[Title 32 CFR ]
[Code of Federal Regulations (annual edition) - July 1, 2016 Edition]
[From the U.S. Government Publishing Office]



[[Page i]]

          

          Title 32

National Defense


________________________

Parts 1 to 190

                         Revised as of July 1, 2016

          Containing a codification of documents of general 
          applicability and future effect

          As of July 1, 2016
                    Published by the Office of the Federal Register 
                    National Archives and Records Administration as a 
                    Special Edition of the Federal Register

[[Page ii]]

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                            Table of Contents



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

  Title 32:
    SUBTITLE A--Department of Defense
          Chapter I--Office of the Secretary of Defense              5
  Finding Aids:
      Table of CFR Titles and Chapters........................    1163
      Alphabetical List of Agencies Appearing in the CFR......    1183
      List of CFR Sections Affected...........................    1193

[[Page iv]]





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

                     Cite this Code: CFR
                     To cite the regulations in 
                       this volume use title, 
                       part and section number. 
                       Thus, 32 CFR 2.1 refers to 
                       title 32, part 2, 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 
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    To determine whether a Code volume has been amended since its 
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EFFECTIVE AND EXPIRATION DATES

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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 
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PAST PROVISIONS OF THE CODE

    Provisions of the Code that are no longer in force and effect as of 
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``[RESERVED]'' TERMINOLOGY

    The term ``[Reserved]'' is used as a place holder within the Code of 
Federal Regulations. An agency may add regulatory information at a 
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INCORPORATION BY REFERENCE

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This material, like any other properly issued regulation, has the force 
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    What is a proper incorporation by reference? The Director of the 
Federal Register will approve an incorporation by reference only when 
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    (a) The incorporation will substantially reduce the volume of 
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    (b) The matter incorporated is in fact available to the extent 
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[[Page vii]]

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    Oliver A. Potts,
    Director,
    Office of the Federal Register.
    July 1, 2016.







[[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, 2016.

    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, Susannah C. Hurley was Chief Editor. The Code of 
Federal Regulations publication program is under the direction of John 
Hyrum Martinez, assisted by Stephen J. Frattini.

[[Page 1]]



                       TITLE 32--NATIONAL DEFENSE




                   (This book contains parts 1 to 190)

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

                    SUBTITLE A--Department of Defense

                                                                    Part

chapter i--Office of the Secretary of Defense...............           2

[[Page 3]]

                    Subtitle A--Department of Defense

[[Page 5]]



              CHAPTER I--OFFICE OF THE SECRETARY OF DEFENSE




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

                        SUBCHAPTER A--ACQUISITION
Part                                                                Page
1               [Reserved]

2               Pilot program policy........................          11
3               Transactions other than contracts, grants, 
                    or cooperative agreements for prototype 
                    projects................................          13
4-8             [Reserved]

                   SUBCHAPTER B--MILITARY COMMISSIONS
9               Procedures for trials by military 
                    commissions of certain non-United States 
                    citizens in the war against terrorism...          22
10              Military commission instructions............          31
11              Crimes and elements for trials by military 
                    commission..............................          32
12              Responsibilities of the Chief Prosecutor, 
                    prosecutors, and assistant prosecutors..          43
13              Responsibilities of the Chief Defense 
                    Counsel, Detailed Defense Counsel, and 
                    Civilian Defense Counsel................          45
14              Qualification of Civilian Defense Counsel...          48
15              Reporting relationships for military 
                    commission personnel....................          53
16              Sentencing..................................          54
17              Administrative procedures...................          55
19-20           [Reserved]

            SUBCHAPTER C--DOD GRANT AND AGREEMENT REGULATIONS
21              DoD grants and agreements--general matters..          58
22              DoD grants and agreements--award and 
                    administration..........................          70
26              Governmentwide requirements for drug-free 
                    workplace (financial assistance)........         104
28              New restrictions on lobbying................         109

[[Page 6]]

32              Administrative requirements for grants and 
                    agreements with institutions of higher 
                    education, hospitals, and other non-
                    profit organizations....................         121
33              Uniform administrative requirements for 
                    grants and cooperative agreements to 
                    State and local governments.............         150
34              Administrative requirements for grants and 
                    agreements with for-profit organizations         178
37              Technology investment agreements............         197
             SUBCHAPTER D--PERSONNEL, MILITARY AND CIVILIAN
44              Screening the Ready Reserve.................         252
45              Certificate of release or discharge from 
                    active duty (DD Form 214/5 Series)......         256
47              Active duty service for civilian or 
                    contractual groups......................         271
48              Retired serviceman's family protection plan.         276
50              Personal commercial solicitation on DoD 
                    installations...........................         286
53              Wearing of the uniform......................         296
54              Allotments for child and spousal support....         297
56              Nondiscrimination on the basis of handicap 
                    in programs and activities assisted or 
                    conducted by the Department of Defense..         301
57              Provision of early intervention and special 
                    education services to eligible DoD 
                    dependents..............................         321
60              Family advocacy command assistance team 
                    (FACAT).................................         370
61              Family advocacy program (FAP)...............         374
64              Management and mobilization of Regular and 
                    Reserve retired military members........         415
65              Post-9/11 GI bill...........................         417
66              Qualification standards for enlistment, 
                    appointment, and induction..............         422
67              Educational requirements for appointment of 
                    Reserve component officers to a grade 
                    above first lieutenant or lieutenant 
                    (junior grade)..........................         431
68              Voluntary education programs................         433
69              School boards for Department of Defense 
                    domestic dependent elementary and 
                    secondary schools.......................         462
70              Discharge Review Board (DRB) procedures and 
                    standards...............................         466
74              Appointment of doctors of osteopathy as 
                    medical officers........................         499
77              Program to encourage public and community 
                    service.................................         500
78              Voluntary State tax withholding from retired 
                    pay.....................................         510

[[Page 7]]

79              Child Development Programs (CDPs)...........         513
80              Provision of early intervention services to 
                    eligible infants and toddlers with 
                    disabilities and their families, and 
                    special education children with 
                    disabilities within the section 6 school 
                    arrangements............................         547
81              Paternity claims and adoption proceedings 
                    involving members and former members of 
                    the Armed Forces........................         570
85              Health promotion............................         571
86              Background checks on individuals in DoD 
                    child care services programs............         576
88              Transition assistance program (TAP) for 
                    military personnel......................         585
93              Acceptance of service of process; release of 
                    official information in litigation; and 
                    testimony by NSA personnel as witnesses.         603
94              Naturalization of aliens serving in the 
                    Armed Forces of the United States and of 
                    alien spouses and/or alien adopted 
                    children of military and civilian 
                    personnel ordered overseas..............         608
96              Acquisition and use of criminal history 
                    record information by the military 
                    services................................         611
97              Release of official information in 
                    litigation and testimony by DoD 
                    personnel as witnesses..................         613
99              Procedures for States and localities to 
                    request indemnification.................         616
100             Unsatisfactory performance of Ready Reserve 
                    obligation..............................         618
101             Participation in Reserve training programs..         623
103             Sexual assault prevention and response 
                    (SAPR) program..........................         626
104             Civilian employment and reemployment rights 
                    for service members, former service 
                    members and applicants of the uniformed 
                    services................................         637
105             Sexual assault prevention and response 
                    program procedures......................         642
107             Personal services authority for direct 
                    health care providers...................         693
108             Health care eligibility under the 
                    Secretarial Designee Program and related 
                    special authorities.....................         695
110             Standardized rates of subsistence allowance 
                    and commutation instead of uniforms for 
                    members of the Senior Reserve Officers' 
                    Training Corps..........................         700
112             Indebtedness of military personnel..........         706
113             Indebtedness procedures of military 
                    personnel...............................         710
117             National Industrial Security Program........         726

[[Page 8]]

142             Copyrighted sound and video recordings......         740
143             DoD policy on organizations that seek to 
                    represent or organize members of the 
                    Armed Forces in negotiation or 
                    collective bargaining...................         741
144             Service by members of the Armed Forces on 
                    State and local juries..................         744
145             Cooperation with the Office of Special 
                    Counsel of the Merit Systems Protection 
                    Board...................................         745
147             Adjudicative guidelines for determining 
                    eligibility for access to classified 
                    information.............................         751
148             National policy and implementation of 
                    reciprocity of facilities...............         763
149             Policy on technical surveillance 
                    countermeasures.........................         767
        SUBCHAPTER E--REGULATIONS PERTAINING TO MILITARY JUSTICE
150             Courts of criminal appeals rules of practice 
                    and procedure...........................         769
151             Status of forces policies and information...         777
152             Review of the Manual for Courts-Martial.....         783
153             Criminal jurisdiction over civilians 
                    employed by or accompanying the Armed 
                    Forces outside the United States, 
                    certain service members, and former 
                    service members.........................         787
                         SUBCHAPTER F--SECURITY
154             Department of Defense Personnel Security 
                    Program regulation......................         808
155             Defense Industrial Personnel Security 
                    Clearance Program.......................         871
156             Department of Defense Personnel Security 
                    Program (PSP)...........................         878
157             DoD investigative and adjudicative guidance 
                    for issuing the Common Access Card (CAC)         886
158             Operational contract support................         899
159             Private security contractors operating in 
                    contingency operations..................         929
161             Identification (ID) cards for members of the 
                    Uniformed Services, their dependents and 
                    other eligible individuals..............         936
                    SUBCHAPTER G--DEFENSE CONTRACTING
162             Productivity Enhancing Capital Investment 
                    (PECI)..................................         993
165             Recoupment of nonrecurring costs (NCs) on 
                    sales of U.S. items.....................         997
168a            National Defense Science and Engineering 
                    Graduate Fellowships....................        1000

[[Page 9]]

169             Commercial activities program...............        1001
169a            Commercial activities program procedures....        1005
171             Implementation of Wildfire Suppression 
                    Aircraft Transfer Act of 1996...........        1047
172             Disposition of proceeds from DoD sales of 
                    surplus personal property...............        1050
173             Competitive information certificate and 
                    profit reduction clause.................        1057
                 SUBCHAPTER H--CLOSURES AND REALIGNMENT
174             Revitalizing base closure communities and 
                    addressing impacts of realignment.......        1061
175             [Reserved]

176             Revitalizing base closure communities and 
                    community assistance--community 
                    redevelopment and homeless assistance...        1075
179             Munitions Response Site Prioritization 
                    Protocol (MRSPP)........................        1084
                       SUBCHAPTER I--CIVIL DEFENSE
182             Defense Support of Civilian Law Enforcement 
                    Agencies................................        1115
183             Defense support of special events...........        1134
185             Defense Support of Civil Authorities (DSCA).        1142
                       SUBCHAPTERS J-K [RESERVED]
                        SUBCHAPTER L--ENVIRONMENT
187             Environmental effects abroad of major 
                    Department of Defense actions...........        1151
188-190         [Reserved]

[[Page 11]]



                        SUBCHAPTER A_ACQUISITION



                            PART 1 [RESERVED]



PART 2_PILOT PROGRAM POLICY--Table of Contents



Sec.
2.1 Purpose.
2.2 Statutory relief for participating programs.
2.3 Regulatory relief for participating programs.
2.4 Designation of participating programs.
2.5 Criteria for designation of participating programs.

    Authority: 10 U.S.C. 2340 note.

    Source: 62 FR 17549, Apr. 10, 1997, unless otherwise noted.



Sec. 2.1  Purpose.

    Section 809 of Public Law 101-510, ``National Defense Authorization 
Act for Fiscal Year 1991,'' as amended by section 811 of Public Law 102-
484, ``National Defense Authorization Act for Fiscal Year 1993'' and 
Public Law 103-160, ``National Defense Authorization Act for Fiscal Year 
1994,'' authorizes the Secretary of Defense to conduct the Defense 
Acquisition Pilot Program. In accordance with section 809 of Public Law 
101-510, the Secretary may designate defense acquisition programs for 
participation in the Defense Acquisition Pilot Program.
    (a) The purpose of the pilot programs is to determine the potential 
for increasing the efficiency and effectiveness of the acquisition 
process. Pilot programs shall be conducted in accordance with the 
standard commercial, industrial practices. As used in this policy, the 
term ``standard commercial, industrial practice'' refers to any 
acquisition management practice, process, or procedure that is used by 
commercial companies to produce and sell goods and services in the 
commercial marketplace. This definition purposely implies a broad range 
of potential activities to adopt commercial practices, including 
regulatory and statutory streamlining, to eliminate unique Government 
requirements and practices such as government-unique contracting 
policies and practices, government-unique specifications and standards, 
and reliance on cost determination rather than price analysis.
    (b) Standard commercial, industrial practices include, but are not 
limited to:
    (1) Innovative contracting policies and practices;
    (2) Performance and commercial specifications and standards;
    (3) Innovative budget policies;
    (4) Establishing fair and reasonable prices without cost data;
    (5) Maintenance of long-term relationships with quality suppliers;
    (6) Acquisition of commercial and non-developmental items (including 
components); and
    (7) Other best commercial practices.



Sec. 2.2  Statutory relief for participating programs.

    (a) Within the limitations prescribed, the applicability of any 
provision of law or any regulation prescribed to implement a statutory 
requirement may be waived for all programs participating in the Defense 
Acquisition Pilot Program, or separately for each participating program, 
if that waiver or limit is specifically authorized to be waived or 
limited in a law authorizing appropriations for a program designated by 
statute as a participant in the Defense Acquisition Pilot Program.
    (b) Only those laws that prescribe procedures for the procurement of 
supplies or services; a preference or requirement for acquisition from 
any source or class of sources; any requirement related to contractor 
performance; any cost allowability, cost accounting, or auditing 
requirements; or any requirement for the management of, testing to be 
performed under, evaluation of, or reporting on a defense acquisition 
program may be waived.
    (c) The requirements in section 809 of Public Law 101-510, as 
amended by section 811 of Public Law 102-484, the requirements in any 
law enacted on or after the enactment of Public Law 101-510 (except to 
the extent that a waiver or limitation is specifically authorized for 
such a defense acquisition program by statute), and any provision of law 
that ensures the financial integrity of

[[Page 12]]

the conduct of a Federal Government program or that relates to the 
authority of the Inspector General of the Department of Defense may not 
be considered for waiver.



Sec. 2.3  Regulatory relief for participating programs.

    (a) A program participating in the Defense Acquisition Pilot Program 
will not be subject to any regulation, policy, directive, or 
administrative rule or guideline relating to the acquisition activities 
of the Department of Defense other than the Federal Acquisition 
Regulation (FAR) \1\, the Defense FAR Supplement (DFARS) \2\, or those 
regulatory requirements added by the Under Secretary of Defense for 
Acquisition and Technology, the Head of the Component, or the DoD 
Component Acquisition Executive.
---------------------------------------------------------------------------

    \1\ Copies of this Department of Defense publication may be obtained 
from the Government Printing Office, Superintendent of Documents, 
Washington, DC 20402.
    \2\ See footnote 1 to Sec. 2.3(a).
---------------------------------------------------------------------------

    (b) Provisions of the FAR and/or DFARS that do not implement 
statutory requirements may be waived by the Under Secretary of Defense 
for Acquisition and Technology using appropriate administrative 
procedures. Provisions of the FAR and DFARS that implement statutory 
requirements may be waived or limited in accordance with the procedures 
for statutory relief previously mentioned.
    (c) Regulatory relief includes relief from use of government-unique 
specifications and standards. Since a major objective of the Defense 
Acquisition Pilot Program is to promote standard, commercial industrial 
practices, functional performance and commercial specifications and 
standards will be used to the maximum extent practical. Federal or 
military specifications and standards may be used only when no practical 
alternative exists that meet the user's needs. Defense acquisition 
officials (other than the Program Manager or Commodity Manager) may only 
require the use of military specifications and standards with advance 
approval from the Under Secretary of Defense for Acquisition and 
Technology, the Head of the DoD Component, or the DoD Component 
Acquisition Executive.



Sec. 2.4  Designation of participating programs.

    (a) Pilot programs may be nominated by a DoD Component Head or 
Component Acquisition Executive for participation in the Defense 
Acquisition Pilot Program. The Under Secretary of Defense for 
Acquisition and Technology shall determine which specific programs will 
participate in the pilot program and will transmit to the Congressional 
defense committees a written notification of each defense acquisition 
program proposed for participation in the pilot program. Programs 
proposed for participation must be specifically designated as 
participants in the Defense Acquisition Pilot Program in a law 
authorizing appropriations for such programs and provisions of law to be 
waived must be specifically authorized for waiver.
    (b) Once included in the Defense Acquisition Pilot Program, decision 
and approval authority for the participating program shall be delegated 
to the lowest level allowed in the acquisition regulations consistent 
with the total cost of the program (e.g., under DoD Directive 5000.1, 
\3\ an acquisition program that is a major defense acquisition program 
would be delegated to the appropriate Component Acquisition Executive as 
an acquisition category IC program)
---------------------------------------------------------------------------

    \3\ Copies may be obtained, at cost, from the National Technical 
Information Service, 5285 Port Royal Road, Springfield, VA 22161.
---------------------------------------------------------------------------

    (c) At the time of nomination approval, the Under Secretary of 
Defense for Acquisition and Technology will establish measures to judge 
the success of a specific program, and will also establish a means of 
reporting progress towards the measures.



Sec. 2.5  Criteria for designation of participating programs.

    (a) Candidate programs must have an approved requirement, full 
program funding assured prior to designation, and low risk. Nomination 
of a candidate program to participate in the Defense Acquisition Pilot 
Program should occur as early in the program's life-cycle as possible. 
Developmental programs will only be considered on an exception basis.

[[Page 13]]

    (b) Programs in which commercial or non-developmental items can 
satisfy the military requirement are preferred as candidate programs. A 
nominated program will address which standard commercial, industrial 
practices will be used in the pilot program and how those practices will 
be applied.
    (c) Nomination of candidate programs must be accompanied by a list 
of waivers being requested to Statutes, FAR, DFARS, DoD Directives \4\ 
and Instructions, \5\ and where applicable, DoD Component regulations. 
Waivers being requested must be accompanied by rationale and 
justification for the waiver. The justification must include:
---------------------------------------------------------------------------

    \4\ See footnote 3 to Sec. 2.4(b).
    \5\ See footnote 3 to Sec. 2.4(b).
---------------------------------------------------------------------------

    (1) The provision of law proposed to be waived or limited.
    (2) The effects of the provision of law on the acquisition, 
including specific examples.
    (3) The actions taken to ensure that the waiver or limitation will 
not reduce the efficiency, integrity, and effectiveness of the 
acquisition process used for the defense acquisition program; and
    (4) A discussion of the efficiencies or savings, if any, that will 
result from the waiver or limitation.
    (d) No nominated program shall be accepted until the Under Secretary 
of Defense has determined that the candidate program is properly 
planned.



PART 3_TRANSACTIONS OTHER THAN CONTRACTS, GRANTS, OR COOPERATIVE
AGREEMENTS FOR PROTOTYPE PROJECTS--Table of Contents



Sec.
3.1 Purpose.
3.2 Background.
3.3 Applicability.
3.4 Definitions.
3.5 Appropriate use.
3.6 Limitations on cost-sharing.
3.7 Comptroller General access.
3.8 DoD access to records policy.
3.9 Follow-on production contracts.

    Authority: Sec. 845, Pub. L. 103-160, 107 Stat. 1547, as amended.

    Source: 66 FR 57383, Nov. 15, 2001, unless otherwise noted.



Sec. 3.1  Purpose.

    This part consolidates rules that implement section 845 of the 
National Defense Authorization Act for Fiscal Year 1994, Public Law 103-
160, 107 Stat. 1547, as amended, and have a significant impact on the 
public. Section 845 authorizes the Secretary of a Military Department, 
the Director of Defense Advanced Research Projects Agency, and any other 
official designated by the Secretary of Defense, to enter into 
transactions other than contracts, grants, or cooperative agreements in 
certain situations for prototype projects that are directly relevant to 
weapons or weapon systems proposed to be acquired or developed by the 
Department of Defense.

[67 FR 54956, Aug. 27, 2002]



Sec. 3.2  Background.

    ``Other transactions'' is the term commonly used to refer to the 10 
U.S.C. 2371 authority to enter into transactions other than contracts, 
grants or cooperative agreements. ``Other transactions'' are generally 
not subject to the Federal laws and regulations limited in applicability 
to contracts, grants or cooperative agreements. As such, they are not 
required to comply with the Federal Acquisition Regulation (FAR) and its 
supplements (48 CFR).

[67 FR 54956, Aug. 27, 2002]



Sec. 3.3  Applicability.

    This part applies to the Secretary of a Military Department, the 
Directors of the Defense Agencies, and any other official designated by 
the Secretary of Defense to enter into transactions other than 
contracts, grants or cooperative agreements for prototype projects that 
are directly relevant to weapons or weapon systems proposed to be 
acquired or developed by the Department of Defense, under authority of 
10 U.S.C. 2371. Such transactions are commonly referred to as ``other 
transaction'' agreements and are hereafter referred to as agreements.

[65 FR 35576, June 5, 2000. Redesignated at 67 FR 54956, Aug. 27, 2002]

[[Page 14]]



Sec. 3.4  Definitions.

    Agency point of contact (POC). The individual identified by the 
military department or defense agency as its POC for prototype OTs.
    Agreements Officer. An individual with the authority to enter into, 
administer, or terminate OTs for prototype projects and make related 
determinations and findings.
    Approving Official. The official responsible for approving the OTs 
acquisition strategy and resulting OT agreement. This official must be 
at least one level above the Agreements Officer and at no lower level 
than existing agency thresholds associated with procurement contracts.
    Awardee. Any business unit that is the direct recipient of an OT 
agreement.
    Business unit. Any segment of an organization, or an entire business 
organization which is not divided into segments.
    Contracting activity. An element of an agency designated by the 
agency head and delegated broad authority regarding acquisition 
functions. It includes elements designated by the Director of a Defense 
Agency which has been delegated contracting authority through its agency 
charter.
    Contracting Officer. A person with the authority to enter into, 
administer, and/or terminate contracts and make related determinations 
and findings as defined in Chapter 1 of Title 48, CFR, Federal 
Acquisition Regulation, Section 2.101(b).
    Cost-type OT. Agreements where payments are based on amounts 
generated from the awardee's financial or cost records or that require 
at least one third of the total costs to be provided by non-Federal 
parties pursuant to statute or require submittal of financial or cost 
records/reports to determine whether additional effort can be 
accomplished for the fixed amount.
    Fixed-price type OT. Agreements where payments are not based on 
amounts generated from the awardee's financial or cost records.
    Head of the contracting activity (HCA). The official who has overall 
responsibility for managing the contracting activity.
    Nontraditional Defense contractor. A business unit that has not, for 
a period of at least one year prior to the date of the OT agreement, 
entered into or performed on (1) any contract that is subject to full 
coverage under the cost accounting standards prescribed pursuant to 
section 26 of the Office of Federal Procurement Policy Act (41 U.S.C. 
422) and the regulations implementing such section; or (2) any other 
contract in excess of $500,000 to carry out prototype projects or to 
perform basic, applied, or advanced research projects for a Federal 
agency, that is subject to the Federal Acquisition Regulation.
    Procurement contract. A contract awarded pursuant to the Federal 
Acquisition Regulation.
    Project Manager. The government manager for the prototype project.
    Qualified Independent Public Accountant. An accountant that is 
licensed or works for a firm that is licensed in the state or other 
political jurisdiction where they operate their professional practice 
and comply with the applicable provisions of the public accountancy law 
and rules of the jurisdiction where the audit is being conducted.
    Segment. One of two or more divisions, product departments, plants, 
or other subdivisions of an organization reporting directly to a home 
office, usually identified with responsibility for profit and/or 
producing a product or service.
    Senior Procurement Executive. The following individuals:
    (1) Department of the Army--Assistant Secretary of the Army 
(Acquisition, Logistics and Technology);
    (2) Department of the Navy--Assistant Secretary of the Navy 
(Research, Development and Acquisition);
    (3) Department of the Air Force--Assistant Secretary of the Air 
Force (Acquisition).
    (4) The Directors of Defense Agencies who have been delegated 
authority to act as Senior Procurement Executive for their respective 
agencies.
    Single Audit Act. Establishes uniform audit requirements for audits 
of state and local government, universities, and non-profit 
organizations that expend Federal awards.
    Subawardee. Any business unit of a party, entity or subordinate 
element

[[Page 15]]

performing effort under the OT agreement, other than the awardee.
    Traditional Defense contractor. Any business unit that does not meet 
the definition of a nontraditional Defense contractor.

[68 FR 27457, May 20, 2003, as amended at 69 FR 16482, Mar. 30, 2004]



Sec. 3.5  Appropriate use.

    In accordance with statute, this authority may be used only when:
    (a) At least one nontraditional Defense contractor is participating 
to a significant extent in the prototype project; or
    (b) No nontraditional Defense contractor is participating to a 
significant extent in the prototype project, but at least one of the 
following circumstances exists:
    (1) At least one third of the total cost of the prototype project is 
to be paid out of funds provided by non-Federal parties to the 
transaction.
    (2) The Senior Procurement Executive for the agency determines in 
writing that exceptional circumstances justify the use of a transaction 
that provides for innovative business arrangements or structures that 
would not be feasible or appropriate under a procurement contract.

[67 FR 54956, Aug. 27, 2002]



Sec. 3.6  Limitations on cost-sharing.

    (a) When a nontraditional Defense contractor is not participating to 
a significant extent in the prototype project and cost-sharing is the 
reason for using OT authority, then the non-Federal amounts counted as 
provided, or to be provided, by the business units of an awardee or 
subawardee participating in the performance of the OT agreement may not 
include costs that were incurred before the date on which the OT 
agreement becomes effective. Costs that were incurred for a prototype 
project by the business units of an awardee or subawardee after the 
beginning of negotiations, but prior to the date the OT agreement 
becomes effective, may be counted as non-Federal amounts if and to the 
extent that the Agreements Officer determines in writing that:
    (1) The awardee or subawardee incurred the costs in anticipation of 
entering into the OT agreement; and
    (2) It was appropriate for the awardee or subawardee to incur the 
costs before the OT agreement became effective in order to ensure the 
successful implementation of the OT agreement.
    (b) As a matter of policy, these limitations on cost-sharing apply 
any time cost-sharing may be recognized when using OT authority for 
prototype projects.

[67 FR 54956, Aug. 27, 2002]



Sec. 3.7  Comptroller General access.

    (a) A clause must be included in solicitations and agreements for 
prototype projects awarded under authority of 10 U.S.C. 2371, that 
provide for total government payments in excess of $5,000,000 to allow 
Comptroller General access to records that directly pertain to such 
agreements.
    (b) The clause referenced in paragraph (a) of this section will not 
apply with respect to a party or entity, or subordinate element of a 
party or entity, that has not entered into any other contract, grant, 
cooperative agreement or ``other transaction'' agreement that provides 
for audit access by a government entity in the year prior to the date of 
the agreement. The clause must be included in all agreements described 
in paragraph (a) of this section in order to fully implement the law by 
covering those participating entities and their subordinate elements 
which have entered into prior agreements providing for Government audit 
access, and are therefore not exempt. The presence of the clause in an 
agreement will not operate to require Comptroller General access to 
records from any party or participating entity, or subordinate element 
of a party or participating entity, or subordinate element of a party or 
participating entity, which is otherwise exempt under the terms of the 
clause and the law.
    (c)(1) The right provided to the Comptroller General in a clause of 
an agreement under paragraph (a) of this part, is limited as provided by 
subparagraph (c)(2) of this part in the case of a party to the 
agreement, an entity that participates in the performance of the 
agreement, or a subordinate element of

[[Page 16]]

that party or entity, if the only cooperative agreements or ``other 
transactions'' that the party, entity, or subordinate element entered 
into with government entities in the year prior to the date of that 
agreement are cooperative agreements or transactions that were entered 
into under 10 U.S.C. 2371 or Section 845 of the National Defense 
Authorization Act for Fiscal Year 1994 (Pub. L. 103-160; 10 U.S.C. 2371 
note).
    (c)(2) The only records of a party, other entity, or subordinate 
element referred to in subparagraph (c)(1) of this part that the 
Comptroller General may examine in the exercise of the right referred to 
in that subparagraph, are records of the same type as the records that 
the government has had the right to examine under the audit access 
clauses of the previous cooperative agreements or transactions referred 
to in such subparagraph that were entered into by that particular party, 
entity, or subordinate element.
    (d) The head of the contracting activity (HCA) that is carrying out 
the agreement may waive the applicability of the Comptroller General 
access requirement if the HCA determines it would not be in the public 
interest to apply the requirement to the agreement. The waiver will be 
effective with respect to the agreement only if the HCA transmits a 
notification of the waiver to the Committees on Armed Services of the 
Senate and the House of Representatives, the Comptroller General, and 
the Director, Defense Procurement before entering into the agreement. 
The notification must include the rationale for the determination.
    (e) The HCA must notify the Director, Defense Procurement of 
situations where there is evidence that the Comptroller General Access 
requirement caused companies to refuse to participate or otherwise 
restricted the Department's access to companies that typically do not do 
business with the Department.
    (f) In no case will the requirement to examine records under the 
clause referenced in paragraph (a) of this section apply to an agreement 
where more than three years have passed after final payment is made by 
the government under such an agreement.
    (g) The clause referenced in paragraph (a) of this section, must 
provide for the following:
    (1) The Comptroller General of the United States, in the discretion 
of the Comptroller General, shall have access to and the right to 
examine records of any party to the agreement or any entity that 
participates in the performance of this agreement that directly pertain 
to, and involve transactions relating to, the agreement.
    (2) Excepted from the Comptroller General access requirement is any 
party to this agreement or any entity that participates in the 
performance of the agreement, or any subordinate element of such party 
or entity, that, in the year prior to the date of the agreement, has not 
entered into any other contract, grant, cooperative agreement, or 
``other transaction'' agreement that provides for audit access to its 
records by a government entity.
    (3)(A) The right provided to the Comptroller General is limited as 
provided in subparagraph (B) in the case of a party to the agreement, 
any entity that participates in the performance of the agreement, or a 
subordinate element of that party or entity if the only cooperative 
agreements or ``other transactions'' that the party, entity, or 
subordinate element entered into with government entities in the year 
prior to the date of that agreement are cooperative agreements or 
transactions that were entered into under 10 U.S.C. 2371 or Section 845 
of the National Defense Authorization Act for Fiscal Year 1994 (Pub. L. 
103-160; 10 U.S.C. 2371 note).
    (B) The only records of a party, other entity, or subordinate 
element referred to in subparagraph (A) that the Comptroller General may 
examine in the exercise of the right referred to in that subparagraph 
are records of the same type as the records that the government has had 
the right to examine under the audit access clauses of the previous 
agreements or transactions referred to in such subparagraph that were 
entered into by that particular party, entity, or subordinate element.
    (4) This clause shall not be construed to require any party or 
entity, or any

[[Page 17]]

subordinate element of such party or entity, that participates in the 
performance of the agreement, to create or maintain any record that is 
not otherwise maintained in the ordinary course of business or pursuant 
to a provision of law.
    (5) The Comptroller General shall have access to the records 
described in this clause until three years after the date the final 
payment is made by the United States under this agreement.
    (6) The recipient of the agreement shall flow down this provision to 
any entity that participates in the performance of the agreement.

[65 FR 35576, June 5, 2000. Redesignated at 67 FR 54956, Aug. 27, 2002]



Sec. 3.8  DoD access to records policy.

    (a) Applicability. This section provides policy concerning DoD 
access to awardee and subawardee records on OT agreements for prototype 
projects. This access is separate and distinct from Comptroller General 
access.
    (1) Fixed-price type OT agreements. (i) General--DoD access to 
records is not generally required for fixed-price type OT agreements. In 
order for an agreement to be considered a fixed-price type OT agreement, 
it must adequately specify the effort to be accomplished for a fixed 
amount and provide for defined payable milestones, with no provision for 
financial or cost reporting that would be a basis for making adjustment 
in either the work scope or price of the effort.
    (ii) Termination considerations. The need to provide for DoD access 
to records in the case of termination of a fixed-price type OT can be 
avoided by limiting potential termination settlements to an amount 
specified in the original agreement or to payment for the last completed 
milestone. However, if a fixed-price agreement provides that potential 
termination settlement amounts may be based on amounts generated from 
cost or financial records and the agreement exceeds the specified 
threshold, the OT should provide that DoD will have access to records in 
the event of termination.
    (2) Cost-type OT agreements. (i) Single Audit Act--In accordance 
with the requirements of Public Law 98-502, as amended by Public Law 
104-156, 110 STAT. 1396-1404, when a business unit that will perform the 
OT agreement, or a subawardee, meets the criteria for an audit pursuant 
to the Single Audit Act, the DoD must have sufficient access to the 
entity's records to assure compliance with the provisions of the Act.
    (ii) Traditional Defense contractors. The DoD shall have access to 
records on cost-type OT agreements with traditional Defense contractors 
that provide for total Government payments in excess of $5,000,000. The 
content of the access to records clause shall be in accordance with 
paragraph (c) of this section. The value establishing the threshold is 
the total value of the agreement including all options.
    (iii) Nontraditional Defense contractors. The DoD should have access 
to records on cost-type OT agreements with nontraditional Defense 
contractors that provide for total Government payments in excess of 
$5,000,000. The content of the access to records clause should be in 
accordance with paragraph (c) of this section. The value establishing 
the threshold is the total value of the agreement including all options.
    (iv) DoD access below threshold. The Agreements Officer has the 
discretion to determine whether to include DoD access to records when 
the OT does not meet any of the requirements in (a)(2)(i) through 
(a)(2)(iii) of this section. The content of that access to records 
clause should be tailored to meet the particular circumstances of the 
agreement.
    (v) Examples of cost-type OT agreements. (A) An agreement that 
requires at least one-third cost share pursuant to statute.
    (B) An agreement that includes payable milestones, but provides for 
adjustment of the milestone amounts based on actual costs or reports 
generated from the awardee's financial or cost records.
    (C) An agreement that is for a fixed-Government amount, but the 
agreement provides for submittal of financial or cost records/reports to 
determine whether additional effort can be accomplished for the fixed 
amount.
    (3) Subawardees. When a DoD access to records provision is included 
in the OT agreement, the awardee shall use the criteria established in 
paragraphs

[[Page 18]]

(a)(2)(i) through (a)(2)(iii) of this section to determine whether DoD 
access to records clauses should be included in subawards.
    (b) Exceptions--(1) Nontraditional Defense contractors--(i) The 
Agreements Officers may deviate, in part or in whole, from the 
application of this access to records policy for a nontraditional 
Defense contractor when application of the policy would adversely impact 
the government's ability to incorporate commercial technology or execute 
the prototype project.
    (ii) The Agreements Officer will document:
    (A) What aspect of the audit policy was not applied;
    (B) Why it was problematic;
    (C) What means will be used to protect the Government's interest; 
and
    (D) Why the benefits of deviating from the policy outweigh the 
potential risks.
    (iii) This determination will be reviewed by the approving official 
as part of the pre-award approval of the agreement and submitted to the 
agency POC within 10 days of award.
    (iv) The agency POC will forward all such documentation received in 
any given fiscal year, to the Director, Defense Procurement by 15 
October of each year.
    (2) Traditional Defense contractor. (i) Any departure from this 
policy for other than nontraditional Defense contractors must be 
approved by the Head of the Contracting Activity prior to award and set 
forth the exceptional circumstances justifying deviation.
    (ii) Additionally, the justification will document:
    (A) What aspect of the policy was not applied;
    (B) Why it was problematic;
    (C) What means will be used to protect the Government's interest; 
and
    (D) Why the benefits of deviating from the policy outweigh the 
potential risks.
    (iii) The HCA will forward documentation associated with such 
waivers in any given fiscal year, to the Director, Defense Procurement 
by 15 October of each year.
    (3) DoD access below the threshold. When the Agreements Officer 
determines that access to records is appropriate for an agreement below 
the $5,000,000 threshold, the content, length and extent of access may 
be mutually agreed to by the parties, without documenting reasons for 
departing from the policy of this section.
    (4) Flow down provisions. The awardee shall submit justification for 
any exception to the DoD access to records policy to the Agreements 
Officer for subawardees. The Agreements Officer will review and obtain 
appropriate approval, as set forth in paragraphs (b)(1) and (b)(2) of 
this section.
    (c) Content of DoD access to records clause. When a DoD access to 
records clause is included as part of the OT agreement, address the 
following areas during the negotiation of the clause:
    (1) Frequency of audits. Audits will be performed when the 
Agreements Officer determines it is necessary to verify statutory cost 
share or to verify amounts generated from financial or cost records that 
will be used as the basis for payment or adjustment of payment.
    (2) Means of accomplishing audits. (i) Business units subject to the 
Single Audit Act--When the awardee or subawardee is a state government, 
local government, or nonprofit organization whose Federal cost 
reimbursement contracts and financial assistance agreements are subject 
to the Single Audit Act (Public Law 98-502, as amended by Public Law 
104-156, 110 STAT. 1396-1404), the clause must apply the provisions of 
that Act for purposes of performing audits of the awardee or subawardee 
under the agreement.
    (ii) Business units not subject to the Single Audit Act currently 
performing on procurement contracts. The clause must provide that DCAA 
will perform any necessary audits if, at the time of agreement award, 
the awardee or subawardee is not subject to the Single Audit Act and is 
performing a procurement contract that is subject to the Cost Principles 
Applicable to Commercial Organizations (48 CFR part 31.2) and/or the 
Cost Accounting Standards (48 CFR part 99).
    (iii) Other business units. DCAA or a qualified IPA may perform any 
necessary audit of a business unit of the awardee or subawardee if, at 
the time of agreement award, the business unit

[[Page 19]]

does not meet the criteria in (c)(2)(i) or (c)(2)(ii) of this section. 
The clause must provide for the use of a qualified IPA if such a 
business unit will not accept the agreement if the Government has access 
to the business unit's records. The Agreements Officer will include a 
statement in the file that the business unit is not performing on a 
procurement contract subject to the Cost Principles or Cost Accounting 
Standards at the time of agreement award, and will not accept the 
agreement if the government has access to the business unit's records. 
The Agreements Officer will also prepare a report (Part III to the 
annual report submission) for the Director, Defense Procurement that 
identifies, for each business unit that is permitted to use an IPA: the 
business unit's name, address and the expected value of its award. When 
the clause provides for use of an IPA to perform any necessary audits, 
the clause must state that:
    (A) The IPA will perform the audit in accordance with Generally 
Accepted Government Auditing Standards (GAGAS). Electronic copies of the 
standards may be accessed at www.gao.gov. Printed copies may be 
purchased from the U.S. Government Printing Office (for ordering 
information, call (202) 512-1800 or access the Internet Site at 
www.gpo.gov).
    (B) The Agreements Officers' authorized representative has the right 
to examine the IPA's audit report and working papers for 3 years after 
final payment or three years after issuance of the audit report, 
whichever is later, unless notified otherwise by the Agreements Officer.
    (C) The IPA will send copies of the audit report to the Agreements 
Officer and the Assistant Inspector General (Audit Policy and Oversight) 
[AIG(APO)], 400 Army Navy Drive, Suite 737, Arlington, VA 22202.
    (D) The IPA will report instances of suspected fraud directly to the 
DoDIG.
    (E) The Government has the right to require corrective action by the 
awardee or subawardee if the Agreements Officer determines (subject to 
appeal under the disputes clause of the agreement) that the audit has 
not been performed or has not been performed in accordance with GAGAS. 
The Agreements Officer should take action promptly once the Agreements 
Officer determines that the audit is not being accomplished in a timely 
manner or the audit is not performed in accordance with GAGAS but 
generally no later than twelve (12) months of the date requested by the 
Agreements Officer. The awardee or subawardee may take corrective action 
by having the IPA correct any deficiencies identified by the Agreements 
Officer, having another IPA perform the audit, or electing to have the 
Government perform the audit. If corrective action is not taken, the 
Agreements Officer has the right to take one or more of the following 
actions:
    (1) Withhold or disallow a specified percentage of costs until the 
audit is completed satisfactorily. The agreement should include a 
specified percentage that is sufficient to enhance performance of 
corrective action while also not being unfairly punitive.
    (2) Suspend performance until the audit is completed satisfactorily; 
and/or
    (3) Terminate the agreement if the agreements officer determines 
that imposition of either (c)(2)(iii)(E)(1) or (c)(2)(iii)(e)(2) of this 
section is not practical.
    (F) If it is found that the awardee or subawardee was performing a 
procurement contract subject to Cost Principles Applicable to Commercial 
Organizations (48 CFR part 31.2) and/or Cost Accounting Standards (48 
CFR part 99) at the time of agreement award, the Agreements Officer, or 
an authorized representative, has the right to audit records of the 
awardee or subawardee to verify the actual costs or reporting 
information used as the basis for payment or to verify statutorily 
required cost share under the agreement, and the IPA is to be paid by 
the awardee or subawardee. The cost of an audit performed in accordance 
with this policy is reimbursable based on the business unit's 
established accounting practices and subject to any limitations in the 
agreement.
    (3) Scope of audit. The Agreements Officer should coordinate with 
the auditor regarding the nature of any audit envisioned.

[[Page 20]]

    (4) Length and extent of access. (i) Clauses that do not provide for 
use of an IPA--The clause must provide for the Agreements Officer's 
authorized representative to have access to directly pertinent records 
of those business units of the awardee or subawardee's performing effort 
under the OT agreement, when needed to verify the actual costs or 
reporting used as the basis for payment or to verify statutorily 
required cost share under the agreement.
    (ii) Clauses that provide for use of an IPA to perform the audits. 
The clause must:
    (A) Provide the Agreements Officer's authorized representative 
access to the IPA's audit reports and working papers to ensure that the 
IPA has performed the audit in accordance with GAGAS.
    (B) State that the Government will make copies of contractor records 
contained in the IPA's work papers if needed to demonstrate that the 
audit was not performed in accordance with GAGAS.
    (C) State that the Government has no direct access to any awardee or 
subawardee records unless it is found that the awardee or subawardee was 
performing a procurement contract subject to Cost Principles (48 CFR 
part 31) and/or Cost Accounting Standards (48 CFR part 99) at the time 
of agreement award.
    (iii) Business Units subject to the Single Audit Act. The clause 
must provide access to the extent authorized by the Single Audit Act.
    (iv) Record Retention/Period of Access. The clause must require that 
the awardee and subawardee retain, and provide access to, the records 
referred to in (c)(4)(i) and (c)(4)(ii) of this section for three years 
after final payment, unless notified of a shorter or longer period by 
the Agreements Officer.
    (5) Awardee flow down responsibilities. Agreements must require 
awardees to include the necessary provisions in subawards that meet the 
conditions set forth in this DoD access to records policy.
    (d) DoDIG and GAO access. In accordance with statute, if an 
agreement gives the Agreements Officer or another DoD component official 
access to a business unit's records, the DoDIG or GAO are granted the 
same access to those records.

[68 FR 27457, May 20, 2003]



Sec. 3.9  Follow-on production contracts.

    (a) Authority. A competitively awarded OT agreement for a prototype 
project that satisfies the condition set forth in law that requires non-
Federal parties to the OT agreement to provide at least one-third of the 
costs of the prototype project may provide for the award of a follow-on 
production contract to the awardee of the OT prototype agreement for a 
specific number of units at specific target prices, without further 
competition.
    (b) Conditions. The Agreements Officer must do the following in the 
award of the prototype project:
    (1) Ensure non-Federal parties to the OT prototype agreement offer 
at least one-third of the costs of the prototype project pursuant to 
subsection (d)(1)(B)(i), 10 U.S.C. 2371 note.
    (2) Use competition to select parties for participation in the OT 
prototype agreement and evaluate the proposed quantity and target prices 
for the follow-on production units as part of that competition.
    (3) Determine the production quantity that may be procured without 
further competition, by balancing of the level of the investment made in 
the project by the non-Federal parties with the interest of the Federal 
Government in having competition among sources in the acquisition of the 
product or products prototyped under the project.
    (4) Specify the production quantity and target prices in the OT 
prototype agreement and stipualte in the agreement that the Contracting 
Officer for the follow-on contract may award a production contract 
without further competition if the awardee successfully completes the 
prototype project and agrees to production quantities and prices that do 
not exceed those specified in the OT prototype agreement (see part 
206.001 of the Defense Federal Acquisition Regulation Supplement).
    (c) Limitation. As a matter of policy, establishing target prices 
for production units should only be considered when the risk of the 
prototype project permits realistic production pricing

[[Page 21]]

without placing undue risks on the awardee.
    (d) Documentation. (1) The Agreements Officer will need to provide 
information to the Contracting Officer from the agreement and award file 
that the conditions set forth in paragraph (b) of this section have been 
satisfied.
    (2) The information shall contain, at a minimum:
    (i) The competitive procedures used;
    (ii) How the production quantities and target prices were evaluated 
in the competition;
    (iii) The percentage of cost-share; and
    (iv) The production quantities and target prices set forth in the OT 
agreement.
    (3) The Project Manager will provide evidence of successful 
completion of the prototype project to the Contracting Officer.

[69 FR 16482, Mar. 30, 2004]

                          PARTS 4	8 [RESERVED]

[[Page 22]]



                    SUBCHAPTER B_MILITARY COMMISSIONS





PART 9_PROCEDURES FOR TRIALS BY MILITARY COMMISSIONS OF CERTAIN NON-
UNITED STATES CITIZENS IN THE WAR AGAINST TERRORISM--Table of Contents



Sec.
9.1 Purpose.
9.2 Establishment of Military Commissions.
9.3 Jurisdiction.
9.4 Commission personnel.
9.5 Procedures accorded the accused.
9.6 Conduct of the trial.
9.7 Regulations.
9.8 Authority.
9.9 Protection of State secrets.
9.10 Other.
9.11 Amendment.
9.12 Delegation.

    Authority: 5 U.S.C. 552(1)(a)(1)(C) and (D).

    Source: 68 FR 39374, July 1, 2003, unless otherwise noted.



Sec. 9.1  Purpose.

    This part implements policy, assigns responsibilities, and 
prescribes procedures under the United States Constitution, Article II, 
section 2 and Military Order of November 13, 2001, ``Detention, 
Treatment, and Trial of Certain Non-Citizens in the War Against 
Terrorism'' (3 CFR, 2001 comp., p. 918, 66 FR 57833), for trials before 
military commissions of individuals subject to the President's Military 
Order. These procedures shall be implemented and construed so as to 
ensure that any such individual receives a full and fair trial before a 
military commission, as required by the President's Military Order. 
Unless otherwise directed by the Secretary of Defense, and except for 
supplemental procedures established pursuant to the President's Military 
Order or this part, the procedures prescribed herein and no others shall 
govern such trials.



Sec. 9.2  Establishment of Military Commissions.

    In accordance with the President's Military Order, the Secretary of 
Defense or a designee (``Appointing Authority'') may issue orders from 
time to time appointing one or more military commissions to try 
individuals subject to the President's Military Order and appointing any 
other personnel necessary to facilitate such trials.



Sec. 9.3  Jurisdiction.

    (a) Over persons. A military commission appointed under this part 
(``Commission'') shall have jurisdiction over only an individual or 
individuals (``the Accused''):
    (1) Subject to the President's Military Order; and
    (2) Alleged to have committed an offense in a charge that has been 
referred to the Commission by the Appointing Authority.
    (b) Over offenses. Commissions established hereunder shall have 
jurisdiction over violations of the laws of war and all other offenses 
triable by military commission.
    (c) Maintaining integrity of commission proceedings. The Commission 
may exercise jurisdiction over participants in its proceedings as 
necessary to preserve the integrity and order of the proceedings.



Sec. 9.4  Commission personnel.

    (a) Members--(1) Appointment. The Appointing Authority shall appoint 
the members and the alternate member or members of each Commission. The 
alternate member or members shall attend all sessions of the Commission, 
but the absence of an alternate member shall not preclude the Commission 
from conducting proceedings. In case of incapacity, resignation, or 
removal of any member, an alternate member shall take the place of that 
member. Any vacancy among the members or alternate members occurring 
after a trial has begun may be filled by the Appointing Authority, but 
the substance of all prior proceedings and evidence taken in that case 
shall be made known to that new member or alternate member before the 
trial proceeds.
    (2) Number of members. Each Commission shall consist of at least 
three but

[[Page 23]]

no more than seven members, the number being determined by the 
Appointing Authority. For each such Commission, there shall also be one 
or two alternate members, the number being determined by the Appointing 
Authority.
    (3) Qualifications. Each member and alternate member shall be a 
commissioned officer of the United States armed forces (``Military 
Officer''), including without limitation reserve personnel on active 
duty, National Guard personnel on active duty in Federal service, and 
retired personnel recalled to active duty. The Appointing Authority 
shall appoint members and alternate members determined to be competent 
to perform the duties involved. The Appointing Authority may remove 
members and alternate members for good cause.
    (4) Presiding Officer. From among the members of each Commission, 
the Appointing Authority shall designate a Presiding Officer to preside 
over the proceedings of that Commission. The Presiding Officer shall be 
a Military Officer who is a judge advocate of any United States armed 
force.
    (5) Duties of the Presiding Officer. (i) The Presiding Officer shall 
admit or exclude evidence at trial in accordance with section 6(d) of 
this part. The Presiding Officer shall have authority to close 
proceedings or portions of proceedings in accordance with Sec. 
9.6(b)(3) of this part and for any other reason necessary for the 
conduct of a full and fair trial.
    (ii) The Presiding Officer shall ensure that the discipline, 
dignity, and decorum of the proceedings are maintained, shall exercise 
control over the proceedings to ensure proper implementation of the 
President's Military Order and this part, and shall have authority to 
act upon any contempt or breach of Commission rules and procedures. Any 
attorney authorized to appear before a Commission who is thereafter 
found not to satisfy the requirements for eligibility or who fails to 
comply with laws, rules, regulations, or other orders applicable to the 
Commission proceedings or any other individual who violates such laws, 
rules, regulations, or orders may be disciplined as the Presiding 
Officer deems appropriate, including but not limited to revocation of 
eligibility to appear before that Commission. The Appointing Authority 
may further revoke that attorney's or any other person's eligibility to 
appear before any other Commission convened under this part.
    (iii) The Presiding Officer shall ensure the expeditious conduct of 
the trial. In no circumstance shall accommodation of counsel be allowed 
to delay proceedings unreasonably.
    (iv) The Presiding Officer shall certify all interlocutory 
questions, the disposition of which would effect a termination of 
proceedings with respect to a charge, for decision by the Appointing 
Authority. The Presiding Officer may certify other interlocutory 
questions to the Appointing Authority as the Presiding Officer deems 
appropriate.
    (b) Prosecution--(1) Office of the Chief Prosecutor. The Chief 
Prosecutor shall be a judge advocate of any United States armed force, 
shall supervise the overall prosecution efforts under the President's 
Military Order, and shall ensure proper management of personnel and 
resources.
    (2) Prosecutors and Assistant Prosecutors. (i) Consistent with any 
supplementary regulations or instructions issued under Sec. 9.7(a), the 
Chief Prosecutor shall detail a Prosecutor and, as appropriate, one or 
more Assistant Prosecutors to prepare charges and conduct the 
prosecution for each case before a Commission (``Prosecution''). 
Prosecutors and Assistant Prosecutors shall be:
    (A) Military Officers who are judge advocates of any United States 
armed force, or
    (B) Special trial counsel of the Department of Justice who may be 
made available by the Attorney General of the United States.
    (ii) The duties of the Prosecution are:
    (A) To prepare charges for approval and referral by the Appointing 
Authority;
    (B) To conduct the prosecution before the Commission of all cases 
referred for trial; and
    (C) To represent the interests of the Prosecution in any review 
process.
    (c) Defense--(1) Office of the Chief Defense Counsel. The Chief 
Defense Counsel shall be a judge advocate of any

[[Page 24]]

United States armed force, shall supervise the overall defense efforts 
under the President's Military Order, shall ensure proper management of 
personnel and resources, shall preclude conflicts of interest, and shall 
facilitate proper representation of all Accused.
    (2) Detailed Defense Counsel. Consistent with any supplementary 
regulations or instructions issued under Sec. 9.7(a), the Chief Defense 
Counsel shall detail one or more Military Officers who are judge 
advocates of any United States armed force to conduct the defense for 
each case before a Commission (``Detailed Defense Counsel''). The duties 
of the Detailed Defense Counsel are:
    (i) To defend the Accused zealously within the bounds of the law 
without regard to personal opinion as to the guilt of the Accused; and
    (ii) To represent the interests of the Accused in any review process 
as provided by this part.
    (iii) Choice of Counsel. (A) The Accused may select a Military 
Officer who is a judge advocate of any United States armed force to 
replace the Accused's Detailed Defense Counsel, provided that Military 
Officer has been determined to be available in accordance with any 
applicable supplementary regulations or instructions issued under Sec. 
9.7(a). After such selection of a new Detailed Defense Counsel, the 
original Detailed Defense Counsel will be relieved of all duties with 
respect to that case. If requested by the Accused, however, the 
Appointing Authority may allow the original Detailed Defense Counsel to 
continue to assist in representation of the Accused as another Detailed 
Defense Counsel.
    (B) The Accused may also retain the services of a civilian attorney 
of the Accused's own choosing and at no expense to the United States 
Government (``Civilian Defense Counsel''), provided that attorney:
    (1) Is a United States citizen;
    (2) Is admitted to the practice of law in a State, district, 
territory, or possession of the United States, or before a Federal 
court;
    (3) Has not been the subject of any sanction or disciplinary action 
by any court, bar, or other competent governmental authority for 
relevant misconduct;
    (4) Has been determined to be eligible for access to information 
classified at the level SECRET or higher under the authority of and in 
accordance with the procedures prescribed in DoD 5200.2-R \1\; and
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    \1\ Available from www.ditc.mil/whs/directives.
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    (5) Has signed a written agreement to comply with all applicable 
regulations or instructions for counsel, including any rules of court 
for conduct during the course of proceedings. Civilian attorneys may be 
pre-qualified as members of the pool of available attorneys if, at the 
time of application, they meet the relevant criteria, or they may be 
qualified on an ad hoc basis after being requested by an Accused. 
Representation by Civilian Defense Counsel will not relieve Detailed 
Defense Counsel of the duties specified in paragraph (c)(2) of this 
section. The qualification of a Civilian Defense Counsel does not 
guarantee that person's presence at closed Commission proceedings or 
that person's access to any information protected under Sec. 9.6(d)(5).
    (4) Continuity of representation. The Accused must be represented at 
all relevant times by Detailed Defense Counsel. Detailed Defense Counsel 
and Civilian Defense Counsel shall be herein referred to collectively as 
``Defense Counsel.'' The Accused and Defense Counsel shall be herein 
referred to collectively as ``the Defense.''
    (d) Other Personnel. Other personnel, such as court reporters, 
interpreters, security personnel, bailiffs, and clerks may be detailed 
or employed by the Appointing Authority, as necessary.



Sec. 9.5  Procedures accorded the accused.

    The following procedures shall apply with respect to the Accused:
    (a) The Prosecution shall furnish to the Accused, sufficiently in 
advance of trial to prepare a defense, a copy of the charges in English 
and, if appropriate, in another language that the Accused understands.
    (b) The Accused shall be presumed innocent until proven guilty.
    (c) A Commission member shall vote for a finding of Guilty as to an 
offense if and only if that member is convinced

[[Page 25]]

beyond a reasonable doubt, based on the evidence admitted at trial, that 
the Accused is guilty of the offense.
    (d) At least one Detailed Defense Counsel shall be made available to 
the Accused sufficiently in advance of trial to prepare a defense and 
until any findings and sentence become final in accordance with Sec. 
9.6(h)(2).
    (e) The Prosecution shall provide the Defense with access to 
evidence the Prosecution intends to introduce at trial and with access 
to evidence known to the Prosecution that tends to exculpate the 
Accused. Such access shall be consistent with Sec. 9.6(d)(5) and 
subject to Sec. 9.9.
    (f) The Accused shall not be required to testify during trial. A 
Commission shall draw no adverse inference from an Accused's decision 
not to testify. This subsection shall not preclude admission of evidence 
of prior statements or conduct of the Accused.
    (g) If the Accused so elects, the Accused may testify at trial on 
the Accused's own behalf and shall then be subject to cross-examination.
    (h) The Accused may obtain witnesses and documents for the Accused's 
defense, to the extent necessary and reasonably available as determined 
by the Presiding Officer. Such access shall be consistent with the 
requirements of Sec. 9.6(d)(5) and subject to Sec. 9.9. The Appointing 
Authority shall order that such investigative or other resources be made 
available to the Defense as the Appointing Authority deems necessary for 
a full and fair trial.
    (i) The Accused may have Defense Counsel present evidence at trial 
in the Accused's defense and cross-examine each witness presented by the 
Prosecution who appears before the Commission.
    (j) The Prosecution shall ensure that the substance of the charges, 
the proceedings, and any documentary evidence are provided in English 
and, if appropriate, in another language that the Accused understands. 
The Appointing Authority may appoint one or more interpreters to assist 
the Defense, as necessary.
    (k) The Accused may be present at every stage of the trial before 
the Commission, consistent with Sec. 9.6(b)(3), unless the Accused 
engages in disruptive conduct that justifies exclusion by the Presiding 
Officer. Detailed Defense Counsel may not be excluded from any trial 
proceeding or portion thereof.
    (l) Except by order of the Commission for good cause shown, the 
Prosecution shall provide the Defense with access before sentencing 
proceedings to evidence the Prosecution intends to present in such 
proceedings. Such access shall be consistent with Sec. 9.6(d)(5) of 
this part and subject to Sec. 9.9.
    (m) The Accused may make a statement during sentencing proceedings.
    (n) The Accused may have Defense Counsel submit evidence to the 
Commission during sentencing proceedings.
    (o) The Accused shall be afforded a trial open to the public (except 
proceedings closed by the Presiding Officer), consistent with Sec. 
9.6(b).
    (p) The Accused shall not again be tried by any Commission for a 
charge once a Commission's finding on that charge becomes final in 
accordance with Sec. 9.6(h)(2).



Sec. 9.6  Conduct of the trial.

    (a) Pretrial procedures--(1) Preparation of the Charges. The 
Prosecution shall prepare charges for approval by the Appointing 
Authority, as provided in Sec. 9.4(b)(2)(i).
    (2) Referral to the Commission. The Appointing Authority may approve 
and refer for trial any charge against an individual or individuals 
within the jurisdiction of a Commission in accordance with Sec. 9.3(a) 
and alleging an offense within the jurisdiction of a Commission in 
accordance with Sec. 9.3(b).
    (3) Notification of the accused. The Prosecution shall provide 
copies of the charges approved by the Appointing Authority to the 
Accused and Defense Counsel. The Prosecution also shall submit the 
charges approved by the Appointing Authority to the Presiding Officer of 
the Commission to which they were referred.
    (4) Plea Agreements. The Accused, through Defense Counsel, and the 
Prosecution may submit for approval to the Appointing Authority a plea 
agreement mandating a sentence limitation or any other provision in 
exchange for an agreement to plead guilty, or any other consideration. 
Any agreement to plead

[[Page 26]]

guilty must include a written stipulation of fact, signed by the 
Accused, that confirms the guilt of the Accused and the voluntary and 
informed nature of the plea of guilty. If the Appointing Authority 
approves the plea agreement, the Commission will, after determining the 
voluntary and informed nature of the plea agreement, admit the plea 
agreement and stipulation into evidence and be bound to adjudge findings 
and a sentence pursuant to that plea agreement.
    (5) Issuance and service of process; obtaining evidence. (i) The 
Commission shall have power to:
    (A) Summon witnesses to attend trial and testify;
    (B) Administer oaths or affirmations to witnesses and other persons 
and to question witnesses;
    (C) Require the production of documents and other evidentiary 
material; and
    (D) Designate special commissioners to take evidence.
    (ii) The Presiding Officer shall exercise these powers on behalf of 
the Commission at the Presiding Officer's own initiative, or at the 
request of the Prosecution or the Defense, as necessary to ensure a full 
and fair trial in accordance with the President's Military Order and 
this part. The Commission shall issue its process in the name of the 
Department of Defense over the signature of the Presiding Officer. Such 
process shall be served as directed by the Presiding Officer in a manner 
calculated to give reasonable notice to persons required to take action 
in accordance with that process.
    (b) Duties of the Commission during trial. The Commission shall:
    (1) Provide a full and fair trial.
    (2) Proceed impartially and expeditiously, strictly confining the 
proceedings to a full and fair trial of the charges, excluding 
irrelevant evidence, and preventing any unnecessary interference or 
delay.
    (3) Hold open proceedings except where otherwise decided by the 
Appointing Authority or the Presiding Officer in accordance with the 
President's Military Order and this part. Grounds for closure include 
the protection of information classified or classifiable under Executive 
Order 12958; information protected by law or rule from unauthorized 
disclosure; the physical safety of participants in Commission 
proceedings, including prospective witnesses; intelligence and law 
enforcement sources, methods, or activities; and other national security 
interests. The Presiding Officer may decide to close all or part of a 
proceeding on the Presiding Officer's own initiative or based upon a 
presentation, including an ex parte, in camera presentation by either 
the Prosecution or the Defense. A decision to close a proceeding or 
portion thereof may include a decision to exclude the Accused, Civilian 
Defense Counsel, or any other person, but Detailed Defense Counsel may 
not be excluded from any trial proceeding or portion thereof. Except 
with the prior authorization of the Presiding Officer and subject to 
section 9 of this part, Defense Counsel may not disclose any information 
presented during a closed session to individuals excluded from such 
proceeding or part thereof. Open proceedings may include, at the 
discretion of the Appointing Authority, attendance by the public and 
accredited press, and public release of transcripts at the appropriate 
time. Proceedings should be open to the maximum extent practicable. 
Photography, video, or audio broadcasting, or recording of or at 
Commission proceedings shall be prohibited, except photography, video, 
and audio recording by the Commission pursuant to the direction of the 
Presiding Officer as necessary for preservation of the record of trial.
    (4) Hold each session at such time and place as may be directed by 
the Appointing Authority. Members of the Commission may meet in closed 
conference at any time.
    (5) As soon as practicable at the conclusion of a trial, transmit an 
authenticated copy of the record of trial to the Appointing Authority.
    (c) Oaths. (1) Members of a Commission, all Prosecutors, all Defense 
Counsel, all court reporters, all security personnel, and all 
interpreters shall take an oath to perform their duties faithfully.
    (2) Each witness appearing before a Commission shall be examined 
under oath, as provided in paragraph (d)(2)(ii) of this section.

[[Page 27]]

    (3) An oath includes an affirmation. Any formulation that appeals to 
the conscience of the person to whom the oath is administered and that 
binds that person to speak the truth, or, in the case of one other than 
a witness, properly to perform certain duties, is sufficient.
    (d) Evidence--(1) Admissibility. Evidence shall be admitted if, in 
the opinion of the Presiding Officer (or instead, if any other member of 
the Commission so requests at the time the Presiding Officer renders 
that opinion, the opinion of the Commission rendered at that time by a 
majority of the Commission), the evidence would have probative value to 
a reasonable person.
    (2) Witnesses--(i) Production of witnesses. The Prosecution or the 
Defense may request that the Commission hear the testimony of any 
person, and such testimony shall be received if found to be admissible 
and not cumulative. The Commission may also summon and hear witnesses on 
its own initiative. The Commission may permit the testimony of witnesses 
by telephone, audiovisual means, or other means; however, the Commission 
shall consider the ability to test the veracity of that testimony in 
evaluating the weight to be given to the testimony of the witness.
    (ii) Testimony. Testimony of witnesses shall be given under oath or 
affirmation. The Commission may still hear a witness who refuses to 
swear an oath or make a solemn undertaking; however, the Commission 
shall consider the refusal to swear an oath or give an affirmation in 
evaluating the weight to be given to the testimony of the witness.
    (iii) Examination of witnesses. A witness who testifies before the 
Commission is subject to both direct examination and cross-examination. 
The Presiding Officer shall maintain order in the proceedings and shall 
not permit badgering of witnesses or questions that are not material to 
the issues before the Commission. Members of the Commission may question 
witnesses at any time.
    (iv) Protection of witnesses. The Presiding Officer shall consider 
the safety of witnesses and others, as well as the safeguarding of 
Protected Information as defined in paragraph (d)(5)(i) of this section, 
in determining the appropriate methods of receiving testimony and 
evidence. The Presiding Officer may hear any presentation by the 
Prosecution or the Defense, including an ex parte, in camera 
presentation, regarding the safety of potential witnesses before 
determining the ways in which witnesses and evidence will be protected. 
The Presiding Officer may authorize any methods appropriate for the 
protection of witnesses and evidence. Such methods may include, but are 
not limited to: testimony by telephone, audiovisual means, or other 
electronic means; closure of the proceedings; introduction of prepared 
declassified summaries of evidence; and the use of pseudonyms.
    (3) Other evidence. Subject to the requirements of paragraph (d)(1) 
of this section concerning admissibility, the Commission may consider 
any other evidence including, but not limited to, testimony from prior 
trials and proceedings, sworn or unsworn written statements, physical 
evidence, or scientific or other reports.
    (4) Notice. The Commission may, after affording the Prosecution and 
the Defense an opportunity to be heard, take conclusive notice of facts 
that are not subject to reasonable dispute either because they are 
generally known or are capable of determination by resort to sources 
that cannot reasonably be contested.
    (5) Protection of Information--(i) Protective Order. The Presiding 
Officer may issue protective orders as necessary to carry out the 
Military Order and this part, including to safeguard ``Protected 
Information,'' which includes:
    (A) Information classified or classifiable pursuant to Executive 
Order 12958;
    (B) Information protected by law or rule from unauthorized 
disclosure;
    (C) Information the disclosure of which may endanger the physical 
safety of participants in Commission proceedings, including prospective 
witnesses;
    (D) Information concerning intelligence and law enforcement sources, 
methods, or activities; or
    (E) Information concerning other national security interests. As 
soon as practicable, counsel for either side will

[[Page 28]]

notify the Presiding Officer of any intent to offer evidence involving 
Protected Information.
    (ii) Limited disclosure. The Presiding Officer, upon motion of the 
Prosecution or sua sponte, shall, as necessary to protect the interests 
of the United States and consistent with Sec. 9.9, direct:
    (A) The deletion of specified items of Protected Information from 
documents to be made available to the Accused, Detailed Defense Counsel, 
or Civilian Defense Counsel;
    (B) The substitution of a portion or summary of the information for 
such Protected Information; or
    (C) The substitution of a statement of the relevant facts that the 
Protected Information would tend to prove. The Prosecution's motion and 
any materials submitted in support thereof or in response thereto shall, 
upon request of the Prosecution, be considered by the Presiding Officer 
ex parte, in camera, but no Protected Information shall be admitted into 
evidence for consideration by the Commission if not presented to 
Detailed Defense Counsel.
    (iii) Closure of proceedings. The Presiding Officer may direct the 
closure of proceedings in accordance with paragraph (b)(3) of this 
section.
    (iv) Protected information as part of the record of trial. All 
exhibits admitted as evidence but containing Protected Information shall 
be sealed and annexed to the record of trial. Additionally, any 
Protected Information not admitted as evidence but reviewed in camera 
and subsequently withheld from the Defense over Defense objection shall, 
with the associated motions and responses and any materials submitted in 
support thereof, be sealed and annexed to the record of trial as 
additional exhibits. Such sealed material shall be made available to 
reviewing authorities in closed proceedings.
    (e) Proceedings during trial. The proceedings at each trial will be 
conducted substantially as follows, unless modified by the Presiding 
Officer to suit the particular circumstances:
    (1) Each charge will be read, or its substance communicated, in the 
presence of the Accused and the Commission.
    (2) The Presiding Officer shall ask each Accused whether the Accused 
pleads ``Guilty'' or ``Not Guilty.'' Should the Accused refuse to enter 
a plea, the Presiding Officer shall enter a plea of ``Not Guilty'' on 
the Accused's behalf. If the plea to an offense is ``Guilty,'' the 
Presiding Officer shall enter a finding of Guilty on that offense after 
conducting sufficient inquiry to form an opinion that the plea is 
voluntary and informed. Any plea of Guilty that is not determined to be 
voluntary and informed shall be changed to a plea of Not Guilty. Plea 
proceedings shall then continue as to the remaining charges. If a plea 
of ``Guilty'' is made on all charges, the Commission shall proceed to 
sentencing proceedings; if not, the Commission shall proceed to trial as 
to the charges for which a ``Not Guilty'' plea has been entered.
    (3) The Prosecution shall make its opening statement.
    (4) The witnesses and other evidence for the Prosecution shall be 
heard or received.
    (5) The Defense may make an opening statement after the 
Prosecution's opening statement or prior to presenting its case.
    (6) The witnesses and other evidence for the Defense shall be heard 
or received.
    (7) Thereafter, the Prosecution and the Defense may introduce 
evidence in rebuttal and surrebuttal.
    (8) The Prosecution shall present argument to the Commission. 
Defense Counsel shall be permitted to present argument in response, and 
then the Prosecution may reply in rebuttal.
    (9) After the members of the Commission deliberate and vote on 
findings in closed conference, the Presiding Officer shall announce the 
Commission's findings in the presence of the Commission, the 
Prosecution, the Accused, and Defense Counsel. The individual votes of 
the members of the Commission shall not be disclosed.
    (10) In the event a finding of Guilty is entered for an offense, the 
Prosecution and the Defense may present information to aid the 
Commission in determining an appropriate sentence. The Accused may 
testify and shall be subject to cross-examination regarding any such 
testimony.

[[Page 29]]

    (11) The Prosecution and, thereafter, the Defense shall present 
argument to the Commission regarding sentencing.
    (12) After the members of the Commission deliberate and vote on a 
sentence in closed conference, the Presiding Officer shall announce the 
Commission's sentence in the presence of the Commission, the 
Prosecution, the Accused, and Defense Counsel. The individual votes of 
the members of the Commission shall not be disclosed.
    (f) Voting. Members of the Commission shall deliberate and vote in 
closed conference. A Commission member shall vote for a finding of 
Guilty as to an offense if and only if that member is convinced beyond a 
reasonable doubt, based on the evidence admitted at trial, that the 
Accused is guilty of the offense. An affirmative vote of two-thirds of 
the members is required for a finding of Guilty. When appropriate, the 
Commission may adjust a charged offense by exceptions and substitutions 
of language that do not substantially change the nature of the offense 
or increase its seriousness, or it may vote to convict of a lesser-
included offense. An affirmative vote of two-thirds of the members is 
required to determine a sentence, except that a sentence of death 
requires a unanimous, affirmative vote of all of the members. Votes on 
findings and sentences shall be taken by secret, written ballot.
    (g) Sentence. Upon conviction of an Accused, the Commission shall 
impose a sentence that is appropriate to the offense or offenses for 
which there was a finding of Guilty, which sentence may include death, 
imprisonment for life or for any lesser term, payment of a fine or 
restitution, or such other lawful punishment or condition of punishment 
as the Commission shall determine to be proper. Only a Commission of 
seven members may sentence an Accused to death. A Commission may 
(subject to rights of third parties) order confiscation of any property 
of a convicted Accused, deprive that Accused of any stolen property, or 
order the delivery of such property to the United States for 
disposition.
    (h) Post-trial procedures--(1) Record of Trial. Each Commission 
shall make a verbatim transcript of its proceedings, apart from all 
Commission deliberations, and preserve all evidence admitted in the 
trial (including any sentencing proceedings) of each case brought before 
it, which shall constitute the record of trial. The court reporter shall 
prepare the official record of trial and submit it to the Presiding 
Officer for authentication upon completion. The Presiding Officer shall 
transmit the authenticated record of trial to the Appointing Authority. 
If the Secretary of Defense is serving as the Appointing Authority, the 
record shall be transmitted to the Review Panel constituted under 
paragraph (h)(4) of this section.
    (2) Finality of findings and sentence. A Commission finding as to a 
charge and any sentence of a Commission becomes final when the President 
or, if designated by the President, the Secretary of Defense makes a 
final decision thereon pursuant to section 4(c)(8) of the President's 
Military Order and in accordance with paragraph (h)(6) of this section. 
An authenticated finding of Not Guilty as to a charge shall not be 
changed to a finding of Guilty. Any sentence made final by action of the 
President or the Secretary of Defense shall be carried out promptly. 
Adjudged confinement shall begin immediately following the trial.
    (3) Review by the Appointing Authority. If the Secretary of Defense 
is not the Appointing Authority, the Appointing Authority shall promptly 
perform an administrative review of the record of trial. If satisfied 
that the proceedings of the Commission were administratively complete, 
the Appointing Authority shall transmit the record of trial to the 
Review Panel constituted under paragraph (h)(4) of this section. If not 
so satisfied, the Appointing Authority shall return the case for any 
necessary supplementary proceedings.
    (4) Review Panel. The Secretary of Defense shall designate a Review 
Panel consisting of three Military Officers, which may include civilians 
commissioned pursuant to section 603 of title 10, United States Code. At 
least one member of each Review Panel shall have experience as a judge. 
The Review Panel shall review the record of trial and, in its 
discretion, any written submissions from the Prosecution and the Defense 
and shall deliberate in closed

[[Page 30]]

conference. The Review Panel shall disregard any variance from 
procedures specified in this part or elsewhere that would not materially 
have affected the outcome of the trial before the Commission. Within 
thirty days after receipt of the record of trial, the Review Panel shall 
either:
    (i) Forward the case to the Secretary of Defense with a 
recommendation as to disposition, or
    (ii) Return the case to the Appointing Authority for further 
proceedings, provided that a majority of the Review Panel has formed a 
definite and firm conviction that a material error of law occurred.
    (5) Review by the Secretary of Defense. The Secretary of Defense 
shall review the record of trial and the recommendation of the Review 
Panel and either return the case for further proceedings or, unless 
making the final decision pursuant to a Presidential designation under 
section 4(c)(8) of the President's Military Order, forward it to the 
President with a recommendation as to disposition.
    (6) Final decision. After review by the Secretary of Defense, the 
record of trial and all recommendations will be forwarded to the 
President for review and final decision (unless the President has 
designated the Secretary of Defense to perform this function). If the 
President has so designated the Secretary of Defense, the Secretary may 
approve or disapprove findings or change a finding of Guilty to a 
finding of Guilty to a lesser-included offense, or mitigate, commute, 
defer, or suspend the sentence imposed or any portion thereof. If the 
Secretary of Defense is authorized to render the final decision, the 
review of the Secretary of Defense under paragraph (h)(5) of this 
section shall constitute the final decision.



Sec. 9.7  Regulations.

    (a) Supplementary regulations and instructions. The Appointing 
Authority shall, subject to approval of the General Counsel of the 
Department of Defense if the Appointing Authority is not the Secretary 
of Defense, publish such further regulations consistent with the 
President's Military Order and this part as are necessary or appropriate 
for the conduct of proceedings by Commissions under the President's 
Military Order. The General Counsel shall issue such instructions 
consistent with the President's Military Order and this part as the 
General Counsel deems necessary to facilitate the conduct of proceedings 
by such Commissions, including those governing the establishment of 
Commission-related offices and performance evaluation and reporting 
relationships.
    (b) Construction. In the event of any inconsistency between the 
President's Military Order and this part, including any supplementary 
regulations or instructions issued under paragraph (a) of this section, 
the provisions of the President's Military Order shall govern. In the 
event of any inconsistency between this part and any regulations or 
instructions issued under paragraph (a) of this section, the provisions 
of this part shall govern.



Sec. 9.8  Authority.

    Nothing in this part shall be construed to limit in any way the 
authority of the President as Commander in Chief of the Armed Forces or 
the power of the President to grant reprieves and pardons. Nothing in 
this part shall affect the authority to constitute military commissions 
for a purpose not governed by the President's Military Order.



Sec. 9.9  Protection of State secrets.

    Nothing in this part shall be construed to authorize disclosure of 
state secrets to any person not authorized to receive them.



Sec. 9.10  Other.

    This part is not intended to and does not create any right, benefit, 
or privilege, substantive or procedural, enforceable by any party, 
against the United States, its departments, agencies, or other entities, 
its officers or employees, or any other person. No provision in this 
part shall be construed to be a requirement of the United States 
Constitution. Section and subsection captions in this document are for 
convenience only and shall not be used in construing the requirements of 
this part. Failure to meet a time period specified in this

[[Page 31]]

part, or supplementary regulations or instructions issued under Sec. 
9.7(a), shall not create a right to relief for the Accused or any other 
person. DoD Directive 5025.1 \2\ shall not apply to this part or any 
supplementary regulations or instructions issued under Sec. 9.7(a).
---------------------------------------------------------------------------

    \2\ Available from www.ditc.mil/whs/directives.
---------------------------------------------------------------------------



Sec. 9.11  Amendment.

    The Secretary of Defense may amend this part from time to time.



Sec. 9.12  Delegation.

    The authority of the Secretary of Defense to make requests for 
assistance under section 5 of the President's Military Order is 
delegated to the General Counsel of the Department of Defense. The 
Executive Secretary of the Department of Defense shall provide such 
assistance to the General Counsel as the General Counsel determines 
necessary for this purpose.



PART 10_MILITARY COMMISSION INSTRUCTIONS--Table of Contents



Sec.
10.1 Purpose.
10.2 Authority.
10.3 Applicability.
10.4 Policies and procedures.
10.5 Construction.
10.6 Non-creation of right.
10.7 Reservation of authority.
10.8 Amendment.

    Authority: 10 U.S.C. 113Id) and 140(b).

    Source: 68 FR 39380, July 1, 2003, unless otherwise noted.



Sec. 10.1  Purpose.

    This part establishes policies for the issuance and interpretation 
of Military Commission Instructions promulgated pursuant to 32 CFR part 
9, and Military Order of November 13, 2001, ``Detention, Treatment, and 
Trial of Certain Non-Citizens in the War Against Terrorism,'' (3 CFR, 
2001 comp., p. 918, 66 FR 57833).



Sec. 10.2  Authority.

    This part is issued pursuant to 32 CFR 9.7(a) and in accordance with 
10 U.S.C. 113(d) and 140(b).



Sec. 10.3  Applicability.

    This part, and, unless stated otherwise, all other Military 
Commission Instructions apply throughout the Department of Defense, 
including to the Office of the Secretary of Defense, the Military 
Departments, the Chairman and Vice Chairman of the Joint Chiefs of Staff 
and the Joint Staff, the Combatant Commands, the Office of the Inspector 
General of the Department of Defense, the Defense Agencies, the 
Department of Defense Field Activities, and all other organizational 
entities within the Department of Defense, to any special trial counsel 
of the Department of Justice who may be made available by the Attorney 
General of the United States to serve as a prosecutor in trials before 
military commissions pursuant to 32 CFR 9.4(b)(2), to any civilian 
attorney who seeks qualification as a member of the pool of qualified 
Civilian Defense Counsel authorized in 32 CFR 9.4(c)(3)(ii), and to any 
attorney who has been qualified as a member of that pool.



Sec. 10.4  Policies and procedures.

    (a) Promulgation. Military Commission Instructions will be issued by 
the General Counsel of the Department of Defense (hereinafter General 
Counsel). Each Instruction will issue over the signature of the General 
Counsel and, unless otherwise specified therein, shall take effect upon 
the signature of the General Counsel. Instructions will be numbered in 
sequence.
    (b) Professional responsibility. Compliance with these Instructions 
shall be deemed a professional responsibility obligation for the 
practice of law within the Department of Defense.
    (c) Compliance breaches. Failure to adhere to these Instructions or 
any other failure to comply with any rule, regulation, or Instruction 
applicable to trials by military commission convened pursuant to 32 CFR 
part 9, and Military Order of November 13, 2001, ``Detention, Treatment, 
and Trial of Certain Non-Citizens in the War Against Terrorism,'' may be 
subject to appropriate action by the Appointing Authority, the General 
Counsel of the

[[Page 32]]

Department of Defense, or the Presiding Officer of a military 
commission. Such action may include permanently barring an individual 
from participating in any military commission proceeding convened 
pursuant to 32 CFR part 9, and Military Order of November 13, 2001, 
``Detention, Treatment, and Trial of Certain Non-Citizens in the War 
Against Terrorism,'' punitive measures imposed under 10 U.S.C. 898, and 
any other lawful sanction.



Sec. 10.5  Construction.

    Military Commission Instructions shall be construed in a manner 
consistent with 32 CFR part 9, and Military Order of November 13, 2001, 
``Detention, Treatment, and Trial of Certain Non-Citizens in the War 
Against Terrorism.'' Nothing in these Military Commission Instructions 
applies with respect to the trial of crimes by military commissions 
convened under other authority. In the event of an inconsistency, the 
provisions of 32 CFR part 9, and Military Order of November 13, 2001, 
``Detention, Treatment, and Trial of Certain Non-Citizens in the War 
Against Terrorism,'' shall govern as provided in Section 7(B) of 
Military Order of November 13, 2001, ``Detention, Treatment, and Trial 
of Certain Non-Citizens in the War Against Terrorism.'' Pronouns 
referring to the male gender shall be construed as applying to both male 
and female.



Sec. 10.6  Non-creation of right.

    Neither this part nor any Military Commission Instruction issued 
hereafter, is intended to and does not create any right, benefit, 
privilege, substantive or procedural, enforceable by any party, against 
the United States, its departments, agencies, or other entities, its 
officers or employees, or any other person. Alleged noncompliance with 
an Instruction does not, of itself, constitute error, give rise to 
judicial review, or establish a right to relief for the Accused or any 
other person.



Sec. 10.7  Reservation of authority.

    Neither this part nor any Military Commission Instruction issued 
hereafter shall be construed to limit, impair, or otherwise affect any 
authority granted by the Constitution or laws of the United States or 
Department of Defense regulation or directive.



Sec. 10.8  Amendment.

    The General Counsel may issue, supplement, amend, or revoke any 
Military Commission Instruction at any time.



PART 11_CRIMES AND ELEMENTS FOR TRIALS BY MILITARY COMMISSION--
Table of Contents



Sec.
11.1 Purpose.
11.2 Authority.
11.3 General.
11.4 Applicable principles of law.
11.5 Definitions.
11.6 Crimes and elements.

    Authority: 10 U.S.C. 821.

    Source: 68 FR 39381, July 1, 2003, unless otherwise noted.



Sec. 11.1  Purpose.

    This part provides guidance with respect to crimes that may be tried 
by military commissions established pursuant to 32 CFR part 9, and 
Military Order of November 13, 2001, ``Detention, Treatment, and Trial 
of Certain Non-Citizens in the War Against Terrorism,'' (3 CFR, 2001 
comp., p. 918, 66 FR 57833) and enumerates the elements of those crimes.



Sec. 11.2  Authority.

    This part is issued pursuant to 32 CFR 9.7(a) and in accordance with 
Military Order of November 13, 2001, ``Detention, Treatment, and Trial 
of Certain Non-Citizens in the War Against Terrorism,'' (66 FR 57833) 
and 10 U.S.C. 113(d), 140(b), and 821. The provisions of 32 CFR part 10 
are applicable to this part.



Sec. 11.3  General.

    (a) Background. The following crimes and elements thereof are 
intended for use by military commissions established pursuant to 32 CFR 
part 9, and Military Order of November 13, 2001, ``Detention, Treatment, 
and Trial of Certain Non-Citizens in the War Against Terrorism,'' the 
jurisdiction of which extends to offenses or offenders that by statute 
or the law of armed

[[Page 33]]

conflict may be tried by military commission as limited by Military 
Order of November 13, 2001, ``Detention, Treatment, and Trial of Certain 
Non-Citizens in the War Against Terrorism.'' No offense is cognizable in 
a trial by military commission if that offense did not exist prior to 
the conduct in question. These crimes and elements derive from the law 
of armed conflict, a body of law that is sometimes referred to as the 
law of war. They constitute violations of the law of armed conflict or 
offenses that, consistent with that body of law, are triable by military 
commission. Because this document is declarative of existing law, it 
does not preclude trial for crimes that occurred prior to its effective 
date.
    (b) Effect of other laws. No conclusion regarding the applicability 
or persuasive authority of other bodies of law should be drawn solely 
from the presence, absence, or similarity of particular language in this 
part as compared to other articulations of law.
    (c) Non-exclusivity. This part does not contain a comprehensive list 
of crimes triable by military commission. It is intended to be 
illustrative of applicable principles of the common law of war but not 
to provide an exclusive enumeration of the punishable acts recognized as 
such by that law. The absence of a particular offense from the corpus of 
those enumerated herein does not preclude trial for that offense.



Sec. 11.4  Applicable principles of law.

    (a) General intent. All actions taken by the Accused that are 
necessary for completion of a crime must be performed with general 
intent. This intent is not listed as a separate element. When the mens 
rea required for culpability to attach involves an intent that a 
particular consequence occur, or some other specific intent, an intent 
element is included. The necessary relationship between such intent 
element and the conduct constituting the actus reus is not articulated 
for each set of elements, but is presumed; a nexus between the two is 
necessary.
    (b) The element of wrongfulness and defenses. Conduct must be 
wrongful to constitute one of the offenses enumerated herein or any 
other offense triable by military commission. Conduct is wrongful if it 
is done without justification or excuse cognizable under applicable law. 
The element of wrongfulness (or the absence of lawful justification or 
excuse), which may be required under the customary law of armed 
conflict, is not repeated in the elements of crimes in Sec. 11.6. 
Conduct satisfying the elements found herein shall be inferred to be 
wrongful in the absence of evidence to the contrary. Similarly, this 
part does not enunciate defenses that may apply for specific offenses, 
though an Accused is entitled to raise any defense available under the 
law of armed conflict. Defenses potentially available to an Accused 
under the law of armed conflict, such as self-defense, mistake of fact, 
and duress, may be applicable to certain offenses subject to trial by 
military commission. In the absence of evidence to the contrary, 
defenses in individual cases shall be presumed not to apply. The burden 
of going forward with evidence of lawful justification or excuse or any 
applicable defense shall be upon the Accused. With respect to the issue 
of combatant immunity raised by the specific enumeration of an element 
requiring the absence thereof, the prosecution must affirmatively prove 
that element regardless of whether the issue is raised by the defense. 
Once an applicable defense or an issue of lawful justification or lawful 
excuse is fairly raised by the evidence presented, except for the 
defense of lack of mental responsibility, the burden is on the 
prosecution to establish beyond a reasonable doubt that the conduct was 
wrongful or that the defense does not apply. With respect to the defense 
of lack of mental responsibility, the Accused has the burden of proving 
by clear and convincing evidence that, as a result of a severe mental 
disease or defect, the Accused was unable to appreciate the nature and 
quality of the wrongfulness of the Accused's acts. As provided in 32 CFR 
9.5(c), the prosecution bears the burden of establishing the Accused's 
guilt beyond a reasonable doubt in all cases tried by a military 
commission. Each element of an offense enumerated herein must be proven 
beyond a reasonable doubt.

[[Page 34]]

    (c) Statute of limitations. Violations of the laws of war listed 
herein are not subject to any statute of limitations.



Sec. 11.5  Definitions.

    (a) Combatant immunity. Under the law of armed conflict, only a 
lawful combatant enjoys ``combatant immunity'' or ``belligerent 
privilege'' for the lawful conduct of hostilities during armed conflict.
    (b) Enemy. ``Enemy'' includes any entity with which the United 
States or allied forces may be engaged in armed conflict, or which is 
preparing to attack the United States. It is not limited to foreign 
nations, or foreign military organizations or members thereof. ``Enemy'' 
specifically includes any organization of terrorists with international 
reach.
    (c) In the context of and was associated with armed conflict. 
Elements containing this language require a nexus between the conduct 
and armed hostilities. Such nexus could involve, but is not limited to, 
time, location, or purpose of the conduct in relation to the armed 
hostilities. The existence of such factors, however, may not satisfy the 
necessary nexus (e.g., murder committed between members of the same 
armed force for reasons of personal gain unrelated to the conflict, even 
if temporally and geographically associated with armed conflict, is not 
``in the context of'' the armed conflict). The focus of this element is 
not the nature or characterization of the conflict, but the nexus to it. 
This element does not require a declaration of war, ongoing mutual 
hostilities, or confrontation involving a regular national armed force. 
A single hostile act or attempted act may provide sufficient basis for 
the nexus so long as its magnitude or severity rises to the level of an 
``armed attack'' or an ``act of war,'' or the number, power, stated 
intent or organization of the force with which the actor is associated 
is such that the act or attempted act is tantamount to an attack by an 
armed force. Similarly, conduct undertaken or organized with knowledge 
or intent that it initiate or contribute to such hostile act or 
hostilities would satisfy the nexus requirement.
    (d) Military Objective. ``Military objectives'' are those potential 
targets during an armed conflict which, by their nature, location, 
purpose, or use, effectively contribute to the opposing force's war-
fighting or war-sustaining capability and whose total or partial 
destruction, capture, or neutralization would constitute a military 
advantage to the attacker under the circumstances at the time of the 
attack.
    (e) Object of the attack. ``Object of the attack'' refers to the 
person, place, or thing intentionally targeted. In this regard, the term 
includes neither collateral damage nor incidental injury or death.
    (f) Protected property. ``Protected property'' refers to property 
specifically protected by the law of armed conflict such as buildings 
dedicated to religion, education, art, science or charitable purposes, 
historic monuments, hospitals, or places where the sick and wounded are 
collected, provided they are not being used for military purposes or are 
not otherwise military objectives. Such property would include objects 
properly identified by one of the distinctive emblems of the Geneva 
Conventions but does not include all civilian property.
    (g) Protected under the law of war. The person or object in question 
is expressly ``protected'' under one or more of the Geneva Conventions 
of 1949 or, to the extent applicable, customary international law. The 
term does not refer to all who enjoy some form of protection as a 
consequence of compliance with international law, but those who are 
expressly designated as such by the applicable law of armed conflict. 
For example, persons who either are hors de combat or medical or 
religious personnel taking no active part in hostilities are expressly 
protected, but other civilians may not be.
    (h) Should have known. The facts and circumstances were such that a 
reasonable person in the Accused's position would have had the relevant 
knowledge or awareness.



Sec. 11.6  Crimes and elements.

    (a) Substantive offenses--war crimes. The following enumerated 
offenses, if applicable, should be charged in separate counts. Elements 
are drafted to

[[Page 35]]

reflect conduct of the perpetrator. Each element need not be 
specifically charged.
    (1) Willful killing of protected persons--(i) Elements. (A) The 
accused killed one or more persons;
    (B) The accused intended to kill such person or persons;
    (C) Such person or persons were protected under the law of war;
    (D) The accused knew or should have known of the factual 
circumstances that established that protected status; and
    (E) The killing took place in the context of and was associated with 
armed conflict.
    (ii) Comments. The intent required for this offense precludes its 
applicability with regard to collateral damage or injury incident to a 
lawful attack.
    (2) Attacking civilians--(i) Elements. (A) The accused engaged in an 
attack;
    (B) The object of the attack was a civilian population as such or 
individual civilians not taking direct or active part in hostilities;
    (C) The accused intended the civilian population as such or 
individual civilians not taking direct or active part in hostilities to 
be an object of the attack; and
    (D) The attack took place in the context of and was associated with 
armed conflict.
    (ii) Comments. The intent required for this offense precludes its 
applicability with regard to collateral damage or injury incident to a 
lawful attack.
    (3) Attacking civilian objects--(i) Elements. (A) The accused 
engaged in an attack;
    (B) The object of the attack was civilian property, that is, 
property that was not a military objective;
    (C) The accused intended such property to be an object of the 
attack;
    (D) The accused knew or should have known that such property was not 
a military objective; and
    (E) The attack took place in the context of and was associated with 
armed conflict.
    (ii) Comments. The intent required for this offense precludes its 
applicability with regard to collateral damage or injury incident to a 
lawful attack.
    (4) Attacking Protected Property--(i) Elements. (A) The accused 
engaged in an attack;
    (B) The object of the attack was protected property;
    (C) The accused intended such property to be an object of the 
attack;
    (D) The accused knew or should have known of the factual 
circumstances that established that protected status; and
    (E) The attack took place in the context of and was associated with 
armed conflict.
    (ii) Comments. The intent required for this offense precludes its 
applicability with regard to collateral damage or injury incident to a 
lawful attack.
    (5) Pillaging--(i) Elements. (A) The accused appropriated or seized 
certain property;
    (B) The accused intended to appropriate or seize such property for 
private or personal use;
    (C) The appropriation or seizure was without the consent of the 
owner of the property or other person with authority to permit such 
appropriation or seizure; and
    (D) The appropriation or seizure took place in the context of and 
was associated with armed conflict.
    (ii) Comments. As indicated by the use of the term ``private or 
personal use,'' legitimate captures or appropriations, or seizures 
justified by military necessity, cannot constitute the crime of 
pillaging.
    (6) Denying quarter--(i) Elements. (A) The accused declared, 
ordered, or otherwise indicated that there shall be no survivors or 
surrender accepted;
    (B) The accused thereby intended to threaten an adversary or to 
conduct hostilities such that there would be no survivors or surrender 
accepted;
    (C) It was foreseeable that circumstances would be such that a 
practicable and reasonable ability to accept surrender would exist;
    (D) The accused was in a position of effective command or control 
over the subordinate forces to which the declaration or order was 
directed; and
    (E) The conduct took place in the context of and was associated with 
armed conflict.
    (ii) Comments. Paragraph (a)(6)(i)(C) of this section precludes this 
offense

[[Page 36]]

from being interpreted as limiting the application of lawful means or 
methods of warfare against enemy combatants. For example, a remotely 
delivered attack cannot give rise to this offense.
    (7) Taking Hostages--(i) Elements. (A) The accused seized, detained, 
or otherwise held hostage one or more persons;
    (B) The accused threatened to kill, injure, or continue to detain 
such person or persons;
    (C) The accused intended to compel a State, an international 
organization, a natural or legal person, or a group of persons to act or 
refrain from acting as an explicit or implicit condition for the safety 
or release of such person or persons; and
    (D) The conduct took place in the context of and was associated with 
armed conflict.
    (ii) Comments. Consistent with Sec. 11.4(b), this offense cannot be 
committed by lawfully detaining enemy combatants or other individuals as 
authorized by the law of armed conflict.
    (8) Employing poison or analogous weapons--(i) Elements. (A) The 
accused employed a substance or a weapon that releases a substance as a 
result of its employment;
    (B) The substance was such that exposure thereto causes death or 
serious damage to health in the ordinary course of events, through its 
asphyxiating, poisonous, or bacteriological properties;
    (C) The accused employed the substance or weapon with the intent of 
utilizing such asphyxiating, poisonous, or bacteriological properties as 
a method of warfare;
    (D) The accused knew or should have known of the nature of the 
substance or weapon; and
    (E) The conduct took place in the context of and was associated with 
armed conflict.
    (ii) Comments. (A) The ``death or serious damage to health'' 
required by paragraph (a)(8)(i)(B) of this section must be a direct 
result of the substance's effect or effects on the human body (e.g., 
asphyxiation caused by the depletion of atmospheric oxygen secondary to 
a chemical or other reaction would not give rise to this offense).
    (B) The clause ``serious damage to health'' does not include 
temporary incapacitation or sensory irritation.
    (C) The use of the ``substance or weapon'' at issue must be 
proscribed under the law of armed conflict. It may include chemical or 
biological agents.
    (D) The specific intent element for this offense precludes liability 
for mere knowledge of potential collateral consequences (e.g., mere 
knowledge of a secondary asphyxiating or toxic effect would be 
insufficient to complete the offense).
    (9) Using protected persons as shields--(i) Elements. (A) The 
accused positioned, or took advantage of the location of, one or more 
civilians or persons protected under the law of war;
    (B) The accused intended to use the civilian or protected nature of 
the person or persons to shield a military objective from attack or to 
shield, favor, or impede military operations; and
    (C) The conduct took place in the context of and was associated with 
armed conflict.
    (ii) [Reserved]
    (10) Using protected property as shields--(i) Elements. (A) The 
accused positioned, or took advantage of the location of, civilian 
property or property protected under the law of war;
    (B) The accused intended to shield a military objective from attack 
or to shield, favor, or impede military operations; and
    (C) The conduct took place in the context of and was associated with 
armed conflict.
    (ii) [Reserved]
    (11) Torture--(i) Elements. (A) The accused inflicted severe 
physical or mental pain or suffering upon one or more persons;
    (B) The accused intended to inflict such severe physical or mental 
pain or suffering;
    (C) Such person or persons were in the custody or under the control 
of the accused; and
    (D) The conduct took place in the context of and was associated with 
armed conflict.
    (ii) Comments. (A) Consistent with Sec. 11.4(b), this offense does 
not include pain or suffering arising only from, inherent in, or 
incidental to, lawfully imposed punishments. This offense does

[[Page 37]]

not include the incidental infliction of pain or suffering associated 
with the legitimate conduct of hostilities.
    (B) Severe ``mental pain or suffering'' is the prolonged mental harm 
caused by or resulting from:
    (1) The intentional infliction or threatened infliction of severe 
physical pain or suffering;
    (2) The administration or application, or threatened administration 
or application, of mind-altering substances or other procedures 
calculated to disrupt profoundly the senses or the personality;
    (3) The threat of imminent death; or
    (4) The threat that another person will imminently be subjected to 
death, severe physical pain or suffering, or the administration or 
application of mind-altering substances or other procedures calculated 
to disrupt profoundly the senses or personality.
    (C) ``Prolonged mental harm'' is a harm of some sustained duration, 
though not necessarily permanent in nature, such as a clinically 
identifiable mental disorder.
    (D) Paragraph (a)(11)(i)(C) of this section does not require a 
particular formal relationship between the accused and the victim. 
Rather, it precludes prosecution for pain or suffering consequent to a 
lawful military attack.
    (12) Causing serious injury--(i) Elements. (A) The accused caused 
serious injury to the body or health of one or more persons;
    (B) The accused intended to inflict such serious injury;
    (C) Such person or persons were in the custody or under the control 
of the accused; and
    (D) The conduct took place in the context of and was associated with 
armed conflict.
    (ii) Comments. ``Serious injury'' includes fractured or dislocated 
bones, deep cuts, torn members of the body, and serious damage to 
internal organs.
    (13) Mutilation or maiming--(i) Elements. (A) The accused subjected 
one or more persons to mutilation, in particular by permanently 
disfiguring the person or persons, or by permanently disabling or 
removing an organ or appendage;
    (B) The accused intended to subject such person or persons to such 
mutilation;
    (C) The conduct caused death or seriously damaged or endangered the 
physical or mental health or appearance of such person or persons.
    (D) The conduct was neither justified by the medical treatment of 
the person or persons concerned nor carried out in the interest of such 
person or persons;
    (E) Such person or persons were in the custody or control of the 
accused; and
    (F) The conduct took place in the context of and was associated with 
armed conflict.
    (ii) [Reserved]
    (14) Use of treachery or perfidy--(i) Elements. (A) The accused 
invited the confidence or belief of one or more persons that they were 
entitled to, or were obliged to accord, protection under the law of war;
    (B) The accused intended to betray that confidence or belief;
    (C) The accused killed, injured, or captured one or more persons;
    (D) The accused made use of that confidence or belief in killing, 
injuring, or capturing such person or persons; and
    (E) The conduct took place in the context of and was associated with 
armed conflict.
    (ii) [Reserved]
    (15) Improper use of flag of truce--(i) Elements. (A) The accused 
used a flag of truce;
    (B) The accused made such use in order to feign an intention to 
negotiate, surrender, or otherwise to suspend hostilities when there was 
no such intention on the part of the accused; and
    (C) The conduct took place in the context of and was associated with 
armed conflict.
    (ii) [Reserved]
    (16) Improper use of protective emblems--(i) Elements. (A) The 
accused used a protective emblem recognized by the law of armed 
conflict;
    (B) The accused undertook such use for combatant purposes in a 
manner prohibited by the law of armed conflict;

[[Page 38]]

    (C) The accused knew or should have known of the prohibited nature 
of such use; and
    (D) The conduct took place in the context of and was associated with 
armed conflict.
    (ii) Comments. ``Combatant purposes,'' as used in paragraph 
(a)(16)(i)(B) of this section, means purposes directly related to 
hostilities and does not include medical, religious, or similar 
activities.
    (17) Degrading treatment of a dead body--(i) Elements. (A) The 
accused degraded or otherwise violated the dignity of the body of a dead 
person;
    (B) The accused intended to degrade or otherwise violate the dignity 
of such body;
    (C) The severity of the degradation or other violation was of such 
degree as to be generally recognized as an outrage upon personal 
dignity; and
    (D) The conduct took place in the context of and was associated with 
armed conflict.
    (ii) Comments. Paragraph (a)(17)(i)(B) of this section precludes 
prosecution for actions justified by military necessity.
    (18) Rape--(i) Elements. (A) The accused invaded the body of a 
person by conduct resulting in penetration, however slight, of any part 
of the body of the victim or of the accused with a sexual organ, or of 
the anal or genital opening of the victim with any object or any other 
part of the body;
    (B) The invasion was committed by force, threat of force or 
coercion, or was committed against a person incapable of giving consent; 
and
    (C) The conduct took place in the context of and was associated with 
armed conflict.
    (ii) Comments. (A) Paragraph (a)(18)(i)(B) of this section 
recognizes that consensual conduct does not give rise to this offense.
    (B) It is understood that a person may be incapable of giving 
consent if affected by natural, induced, or age-related incapacity.
    (C) The concept of ``invasion'' is linked to the inherent 
wrongfulness requirement for all offenses. In this case, for example, a 
legitimate body cavity search could not give rise to this offense.
    (D) The concept of ``invasion'' is gender neutral.
    (b) Substantive offenses--other offenses triable by military 
commission. The following enumerated offenses, if applicable, should be 
charged in separate counts. Elements are drafted to reflect conduct of 
the perpetrator. Each element need not be specifically charged.
    (1) Hijacking or hazarding a vessel or aircraft--(i) Elements. (A) 
The accused seized, exercised control over, or endangered the safe 
navigation of a vessel or aircraft;
    (B) The accused intended to so seize, exercise control over, or 
endanger such vessel or aircraft; and
    (C) The conduct took place in the context of and was associated with 
armed conflict.
    (ii) Comments. A seizure, exercise of control, or endangerment 
required by military necessity, or against a lawful military objective 
undertaken by military forces of a State in the exercise of their 
official duties, would not satisfy the wrongfulness requirement for this 
crime.
    (2) Terrorism--(i) Elements. (A) The accused killed or inflicted 
bodily harm on one or more persons or destroyed property;
    (B) The accused:
    (1) Intended to kill or inflict bodily harm on one or more persons; 
or
    (2) Intentionally engaged in an act that is inherently dangerous to 
another and evinces a wanton disregard of human life;
    (C) The killing, harm or destruction was intended to intimidate or 
coerce a civilian population, or to influence the policy of a government 
by intimidation or coercion; and
    (D) The killing, harm or destruction took place in the context of 
and was associated with armed conflict.
    (ii) Comments. (A) Paragraph (b)(2)(i)(A) of this section includes 
the concept of causing death or bodily harm, even if indirectly.
    (B) The requirement that the conduct be wrongful for this crime 
necessitates that the conduct establishing this offense not constitute 
an attack against a lawful military objective undertaken by military 
forces of a State in the exercise of their official duties.

[[Page 39]]

    (3) Murder by an unprivileged belligerent--(i) Elements. (A) The 
accused killed one or more persons;
    (B) The accused:
    (1) Intended to kill or inflict great bodily harm on such person or 
persons; or
    (2) Intentionally engaged in an act that is inherently dangerous to 
another and evinces a wanton disregard of human life;
    (C) The accused did not enjoy combatant immunity; and
    (D) The killing took place in the context of and was associated with 
armed conflict.
    (ii) Comments. (A) The term ``kill'' includes intentionally causing 
death, whether directly or indirectly.
    (B) Unlike the crimes of willful killing or attacking civilians, in 
which the victim's status is a prerequisite to criminality, for this 
offense the victim's status is immaterial. Even an attack on a soldier 
would be a crime if the attacker did not enjoy ``belligerent privilege'' 
or ``combatant immunity.''
    (4) Destruction of property by an unprivileged belligerent--(i) 
Elements. (A) The accused destroyed property;
    (B) The property belonged to another person, and the destruction was 
without that person's consent;
    (C) The accused intended to destroy such property;
    (D) The accused did not enjoy combatant immunity; and
    (E) The destruction took place in the context of and was associated 
with armed conflict.
    (ii) [Reserved]
    (5) Aiding the enemy--(i) Elements. (A) The accused aided the enemy;
    (B) The accused intended to aid the enemy; and
    (C) The conduct took place in the context of and was associated with 
armed conflict.
    (ii) Comments. (A) Means of accomplishing paragraph (b)(5)(i)(A) of 
this section include, but are not limited to: providing arms, 
ammunition, supplies, money, other items or services to the enemy; 
harboring or protecting the enemy; or giving intelligence or other 
information to the enemy.
    (B) The requirement that conduct be wrongful for this crime 
necessitates that the accused act without proper authority. For example, 
furnishing enemy combatants detained during hostilities with subsistence 
or quarters in accordance with applicable orders or policy is not aiding 
the enemy.
    (C) The requirement that conduct be wrongful for this crime may 
necessitate that, in the case of a lawful belligerent, the accused owe 
allegiance or some duty to the United States of America or to an ally or 
coalition partner. For example, citizenship, resident alien status, or a 
contractual relationship in or with the United States or an ally or 
coalition partner is sufficient to satisfy this requirement so long as 
the relationship existed at a time relevant to the offense alleged.
    (6) Spying--(i) Elements. (A) The accused collected or attempted to 
collect certain information;
    (B) The accused intended to convey such information to the enemy;
    (C) The accused, in collecting or attempting to collect the 
information, was lurking or acting clandestinely, while acting under 
false pretenses; and
    (D) The conduct took place in the context of and was associated with 
armed conflict.
    (ii) Comments. (A) Members of a military organization not wearing a 
disguise and others who carry out their missions openly are not spies, 
if, though they may have resorted to concealment, they have not acted 
under false pretenses.
    (B) Related to the requirement that conduct be wrongful or without 
justification or excuse in this case is the fact that, consistent with 
the law of war, a lawful combatant who, after rejoining the armed force 
to which that combatant belongs, is subsequently captured, can not be 
punished for previous acts of espionage. His successful rejoining of his 
armed force constitutes a defense.
    (7) Perjury or false testimony--(i) Elements. (A) The accused 
testified at a military commission, in proceedings ancillary to a 
military commission, or provided information in a writing executed under 
an oath to tell the truth or a declaration acknowledging the 
applicability of penalties of perjury in connection with such 
proceedings;
    (B) Such testimony or information was material;

[[Page 40]]

    (C) Such testimony or information was false; and
    (D) The accused knew such testimony or information to be false.
    (ii) [Reserved]
    (8) Obstruction of justice related to military commissions--(i) 
Elements. (A) The accused did an act;
    (B) The accused intended to influence, impede, or otherwise obstruct 
the due administration of justice; and
    (C) The accused did such act in the case of a certain person against 
whom the accused had reason to believe:
    (1) There were or would be proceedings before a military commission; 
or
    (2) There was an ongoing investigation of offenses triable by 
military commission.
    (ii) [Reserved]
    (c) Other forms of liability and related offenses. A person is 
criminally liable as a principal for a completed substantive offense if 
that person commits the offense (perpetrator), aids or abets the 
commission of the offense, solicits commission of the offense, or is 
otherwise responsible due to command responsibility. Such a person would 
be charged as a principal even if another individual more directly 
perpetrated the offense. In proving culpability, however, the below 
listed definitions and elements are applicable. Additionally, if a 
substantive offense was completed, a person may be criminally liable for 
the separate offense of accessory after the fact. If the substantive 
offense was not completed, a person may be criminally liable of the 
lesser-included offense of attempt or the separate offense of 
solicitation. Finally, regardless of whether the substantive offense was 
completed, a person may be criminally liable of the separate offense of 
conspiracy in addition to the substantive offense. Each element need not 
be specifically charged.
    (1) Aiding or abetting--(i) Elements. (A) The accused committed an 
act that aided or abetted another person or entity in the commission of 
a substantive offense triable by military commission;
    (B) Such other person or entity committed or attempted to commit the 
substantive offense; and
    (C) The accused intended to or knew that the act would aid or abet 
such other person or entity in the commission of the substantive offense 
or an associated criminal purpose or enterprise.
    (ii) Comments. (A) The term ``aided or abetted'' in paragraph 
(c)(1)(i)(A) of this section includes: assisting, encouraging, advising, 
instigating, counseling, ordering, or procuring another to commit a 
substantive offense; assisting, encouraging, advising, counseling, or 
ordering another in the commission of a substantive offense; and in any 
other way facilitating the commission of a substantive offense.
    (B) In some circumstances, inaction may render one liable as an 
aider or abettor. If a person has a legal duty to prevent or thwart the 
commission of a substantive offense, but does not do so, that person may 
be considered to have aided or abetted the commission of the offense if 
such noninterference is intended to and does operate as an aid or 
encouragement to the actual perpetrator.
    (C) An accused charged with aiding or abetting should be charged 
with the related substantive offense as a principal.
    (2) Solicitation--(i) Elements. (A) The accused solicited, ordered, 
induced, or advised a certain person or persons to commit one or more 
substantive offenses triable by military commission; and
    (B) The accused intended that the offense actually be committed.
    (ii) Comments. (A) The offense is complete when a solicitation is 
made or advice is given with the specific wrongful intent to induce a 
person or persons to commit any offense triable by military commission. 
It is not necessary that the person or persons solicited, ordered, 
induced, advised, or assisted agree to or act upon the solicitation or 
advice. If the offense solicited is actually committed, however, the 
accused is liable under the law of armed conflict for the substantive 
offense. An accused should not be convicted of both solicitation and the 
substantive offense solicited if criminal liability for the substantive 
offense is based upon the solicitation.
    (B) Solicitation may be by means other than speech or writing. Any 
act or conduct that reasonably may be

[[Page 41]]

construed as a serious request, order, inducement, advice, or offer of 
assistance to commit any offense triable by military commission may 
constitute solicitation. It is not necessary that the accused act alone 
in the solicitation, order, inducement, advising, or assistance. The 
accused may act through other persons in committing this offense.
    (C) An accused charged with solicitation of a completed substantive 
offense should be charged for the substantive offense as a principal. An 
accused charged with solicitation of an uncompleted offense should be 
charged for the separate offense of solicitation. Solicitation is not a 
lesser-included offense of the related substantive offense.
    (3) Command/superior responsibility--perpetrating--(i) Elements. (A) 
The accused had command and control, or effective authority and control, 
over one or more subordinates;
    (B) One or more of the accused's subordinates committed, attempted 
to commit, conspired to commit, solicited to commit, or aided or abetted 
the commission of one or more substantive offenses triable by military 
commission;
    (C) The accused either knew or should have known that the 
subordinate or subordinates were committing, attempting to commit, 
conspiring to commit, soliciting, or aiding or abetting such offense or 
offenses; and
    (D) The accused failed to take all necessary and reasonable measures 
within his power to prevent or repress the commission of the offense or 
offenses.
    (ii) Comments. (A) The phrase ``effective authority and control'' in 
paragraph (c)(3)(i)(A) of this section includes the concept of relative 
authority over the subject matter or activities associated with the 
perpetrator's conduct. This may be relevant to a civilian superior who 
should not be held responsible for the behavior of subordinates involved 
in activities that have no relationship to such superior's sphere of 
authority. Subject matter authority need not be demonstrated for command 
responsibility as it applies to a military commander.
    (B) A commander or other military or civilian superior, not in 
command, charged with failing adequately to prevent or repress a 
substantive offense triable by military commission should be charged for 
the related substantive offense as a principal.
    (4) Command/superior responsibility--misprision--(i) Elements. (A) 
The accused had command and control, or effective authority and control, 
over one or more subordinates;
    (B) One or more of the accused's subordinates had committed, 
attempted to commit, conspired to commit, solicited to commit, or aided 
or abetted the commission of one or more substantive offenses triable by 
military commission;
    (C) The accused knew or should have known that the subordinate or 
subordinates had committed, attempted to commit, conspired to commit, 
solicited, or aided or abetted such offense or offenses; and
    (D) The accused failed to submit the matter to competent authorities 
for investigation or prosecution as appropriate.
    (ii) Comments. (A) The phrase, ``effective authority and control'' 
in paragraph (c)(4)(i)(A) of this section includes the concept of 
relative authority over the subject matter or activities associated with 
the perpetrator's conduct. This may be relevant to a civilian superior 
who cannot be held responsible under this offense for the behavior of 
subordinates involved in activities that have nothing to do with such 
superior's sphere of authority.
    (B) A commander or superior charged with failing to take appropriate 
punitive or investigative action subsequent to the perpetration of a 
substantive offense triable by military commission should not be charged 
for the substantive offense as a principal. Such commander or superior 
should be charged for the separate offense of failing to submit the 
matter for investigation and/or prosecution as detailed in these 
elements. This offense is not a lesser-included offense of the related 
substantive offense.
    (5) Accessory after the fact--(i) Elements. (A) The accused 
received, comforted, or assisted a certain person;
    (B) Such person had committed an offense triable by military 
commission;

[[Page 42]]

    (C) The accused knew that such person had committed such offense or 
believed such person had committed a similar or closely related offense; 
and
    (D) The accused intended to hinder or prevent the apprehension, 
trial, or punishment of such person.
    (ii) Comments. Accessory after the fact should be charged separately 
from the related substantive offense. It is not a lesser-included 
offense of the related substantive offense.
    (6) Conspiracy--(i) Elements. (A) The accused entered into an 
agreement with one or more persons to commit one or more substantive 
offenses triable by military commission or otherwise joined an 
enterprise of persons who shared a common criminal purpose that 
involved, at least in part, the commission or intended commission of one 
or more substantive offenses triable by military commission;
    (B) The accused knew the unlawful purpose of the agreement or the 
common criminal purpose of the enterprise and joined in it willfully, 
that is, with the intent to further the unlawful purpose; and
    (C) One of the conspirators or enterprise members, during the 
existence of the agreement or enterprise, knowingly committed an overt 
act in order to accomplish some objective or purpose of the agreement or 
enterprise.
    (ii) Comments. (A) Two or more persons are required in order to have 
a conspiracy. Knowledge of the identity of co-conspirators and their 
particular connection with the agreement or enterprise need not be 
established. A person may be guilty of conspiracy although incapable of 
committing the intended offense. The joining of another conspirator 
after the conspiracy has been established does not create a new 
conspiracy or affect the status of the other conspirators. The agreement 
or common criminal purpose in a conspiracy need not be in any particular 
form or manifested in any formal words.
    (B) The agreement or enterprise must, at least in part, involve the 
commission or intended commission of one or more substantive offenses 
triable by military commission. A single conspiracy may embrace multiple 
criminal objectives. The agreement need not include knowledge that any 
relevant offense is in fact ``triable by military commission.''
    (C) The overt act must be done by one or more of the conspirators, 
but not necessarily the accused, and it must be done to effectuate the 
object of the conspiracy or in furtherance of the common criminal 
purpose. The accused need not have entered the agreement or criminal 
enterprise at the time of the overt act.
    (D) The overt act need not be in itself criminal, but it must 
advance the purpose of the conspiracy. It is not essential that any 
substantive offense be committed.
    (E) Each conspirator is liable for all offenses committed pursuant 
to or in furtherance of the conspiracy by any of the co-conspirators, 
after such conspirator has joined the conspiracy and while the 
conspiracy continues and such conspirator remains a party to it.
    (F) A party to the conspiracy who withdraws from or abandons the 
agreement or enterprise before the commission of an overt act by any 
conspirator is not guilty of conspiracy. An effective withdrawal or 
abandonment must consist of affirmative conduct that is wholly 
inconsistent with adherence to the unlawful agreement or common criminal 
purpose and that shows that the party has severed all connection with 
the conspiracy. A conspirator who effectively withdraws from or abandons 
the conspiracy after the performance of an overt act by one of the 
conspirators remains guilty of conspiracy and of any offenses committed 
pursuant to the conspiracy up to the time of the withdrawal or 
abandonment. The withdrawal of a conspirator from the conspiracy does 
not affect the status of the remaining members.
    (G) That the object of the conspiracy was impossible to effect is 
not a defense to this offense.
    (H) Conspiracy to commit an offense is a separate and distinct 
offense from any offense committed pursuant to or in furtherance of the 
conspiracy, and both the conspiracy and any related offense may be 
charged, tried, and punished separately. Conspiracy should be charged 
separately from the related substantive offense. It is not a lesser-

[[Page 43]]

included offense of the substantive offense.
    (7) Attempt--(i) Elements. (A) The accused committed an act;
    (B) The accused intended to commit one or more substantive offenses 
triable by military commission;
    (C) The act amounted to more than mere preparation; and
    (D) The act apparently tended to effect the commission of the 
intended offense.
    (ii) Comments. (A) To constitute an attempt there must be a specific 
intent to commit the offense accompanied by an act that tends to 
accomplish the unlawful purpose. This intent need not involve knowledge 
that the offense is in fact ``triable by military commission.''
    (B) Preparation consists of devising or arranging means or measures 
apparently necessary for the commission of the offense. The act need not 
be the last act essential to the consummation of the offense. The 
combination of specific intent to commit an offense, plus the commission 
of an act apparently tending to further its accomplishment, constitutes 
the offense of attempt. Failure to complete the offense, whatever the 
cause, is not a defense.
    (C) A person who purposely engages in conduct that would constitute 
the offense if the attendant circumstances were as that person believed 
them to be is guilty of an attempt.
    (D) It is a defense to an attempt offense that the person 
voluntarily and completely abandoned the intended offense, solely 
because of the person's own sense that it was wrong, prior to the 
completion of the substantive offense. The voluntary abandonment defense 
is not allowed if the abandonment results, in whole or in part, from 
other reasons, for example, the person feared detection or apprehension, 
decided to await a better opportunity for success, was unable to 
complete the crime, or encountered unanticipated difficulties or 
unexpected resistance.
    (E) Attempt is a lesser-included offense of any substantive offense 
triable by military commission and need not be charged separately. An 
accused may be charged with attempt without being charged with the 
substantive offense.



PART 12_RESPONSIBILITIES OF THE CHIEF PROSECUTOR, PROSECUTORS,
AND ASSISTANT PROSECUTORS--Table of Contents



Sec.
12.1 Purpose.
12.2 Authority.
12.3 Office of the Chief Prosecutor.
12.4 Duties and responsibilities of the prosecution.
12.5 Policies.

    Authority: 10 U.S.C. 113(d) and 140(b).

    Source: 68 FR 39388, July 1, 2003, unless otherwise noted.



Sec. 12.1  Purpose.

    This part establishes the responsibilities of the Office of the 
Chief Prosecutor and components thereof.



Sec. 12.2  Authority.

    This part is issued pursuant to 32 CFR 9.7(a) and in accordance with 
Military Order of November 13, 2001, ``Detention, Treatment, and Trial 
of Certain Non-Citizens in the War Against Terrorism,'' (3 CFR, 2001 
comp., p. 918, 66 FR 57833) and 10 U.S.C. 113(d) and 140(b). The 
provisions of 32 CFR part 10 are applicable to this part.



Sec. 12.3  Office of the Chief Prosecutor.

    (a) General. The Office of the Chief Prosecutor shall be a component 
of the Office of Military Commissions and shall be comprised of the 
Chief Prosecutor, Prosecutors, and other persons properly under the 
supervision of the Chief Prosecutor.
    (b) Chief Prosecutor. (1) The Chief Prosecutor shall be a judge 
advocate of any United States armed force and shall be designated by the 
General Counsel of the Department of Defense.
    (2) The Chief Prosecutor shall report directly to the Deputy General 
Counsel (Legal Counsel) of the Department of Defense.
    (3) The Chief Prosecutor shall have authority to subpoena any 
individual to appear as a witness, to testify, or to produce any 
evidence in a case referred to military commissions or in a criminal 
investigation associated with a case that may be referred to a military 
commission.
    (4) The Chief Prosecutor shall direct the overall prosecution effort 
pursuant

[[Page 44]]

to 32 CFR part 9, and Military Order of November 13, 2001, ``Detention, 
Treatment, and Trial of Certain Non-Citizens in the War Against 
Terrorism,'' ensuring proper supervision and management of all personnel 
and resources assigned to the Office of the Chief Prosecutor.
    (5) The Chief Prosecutor shall ensure that all personnel assigned to 
the Office of the Chief Prosecutor review, and attest that they 
understand and will comply with, 32 CFR part 9, and Military Order of 
November 13, 2001,'' Detention, Treatment, and Trial of Certain Non-
Citizens in the War Against Terrorism,'' and all Supplementary 
Regulations and Instructions issued in accordance therewith.
    (6) The Chief Prosecutor shall inform the Deputy General Counsel 
(Legal Counsel) of all requirements for personnel, office space, 
equipment, and supplies to ensure the successful functioning and mission 
accomplishment of the Office of the Chief Prosecutor.
    (7) The Chief Prosecutor shall supervise all Prosecutors and other 
personnel assigned to the Office of the Chief Prosecutor including any 
special trial counsel of the Department of Justice who may be made 
available by the Attorney General of the United States.
    (8) The Chief Prosecutor, or his designee, shall fulfill applicable 
performance evaluation requirements associated with Prosecutors and 
other personnel properly under the supervision of the Office of the 
Chief Prosecutor.
    (9) The Chief Prosecutor shall detail a Prosecutor and, as 
appropriate, one or more Assistant Prosecutors to perform the duties of 
the prosecution as set forth in 32 CFR 9.4(b)(2). The Chief Prosecutor 
may detail himself to perform such duties.
    (10) The Chief Prosecutor shall ensure that all Prosecutors and 
Assistant Prosecutors faithfully represent the United States in 
discharging their prosecutorial duties before military commissions 
conducted pursuant to 32 CFR part 9, and Military Order of November 13, 
2001, ``Detention, Treatment, and Trial of Certain Non-Citizens in the 
War Against Terrorism.''
    (11) The Chief Prosecutor shall ensure that all Prosecutors and 
Assistant Prosecutors have taken an oath to perform their duties 
faithfully.
    (12) The Chief Prosecutor shall ensure that all personnel properly 
under the supervision of the Office of the Chief Prosecutor possess the 
appropriate security clearances.
    (c) Prosecutors. (1) Prosecutors shall be detailed by the Chief 
Prosecutor and may be either judge advocates of any United States armed 
force or special trial counsel of the Department of Justice who may be 
made available by the Attorney General of the United States.
    (2) Prosecutors shall represent the United States as Prosecutors or 
Assistant Prosecutors as directed by the Chief Prosecutor and in 
accordance with 32 CFR part 9, and Military Order of November 13, 2001, 
``Detention, Treatment, and Trial of Certain Non-Citizens in the War 
Against Terrorism.''
    (3) Prosecutors shall fulfill all responsibilities detailed in 32 
CFR part 9, and Military Order of November 13, 2001, ``Detention, 
Treatment, and Trial of Certain Non-Citizens in the War Against 
Terrorism,'' those set forth in this part, and those assigned by the 
Chief Prosecutor.
    (4) Prosecutors shall ensure that all court reporters, security 
personnel, and interpreters who are to perform duties in relation to a 
military commission proceeding have taken an oath to perform their 
duties faithfully. As directed by the Presiding Officer, Prosecutors 
also shall administer appropriate oaths to witnesses during military 
commission proceedings.



Sec. 12.4  Duties and responsibilities of the prosecution.

    (a) Regular duties. The Prosecution shall perform all duties 
specified or implied in 32 CFR part 9 as responsibilities of the 
Prosecution.
    (b) Administrative duties. The Prosecution shall, as directed by the 
Presiding Officer or the Appointing Authority, prepare any documentation 
necessary to facilitate the conduct of military commissions proceedings. 
The Prosecution shall, as directed by the Deputy General Counsel (Legal 
Counsel), prepare a trial guide to provide a standardized administrative 
plan for the

[[Page 45]]

conduct of military commission proceedings. Unless directed otherwise by 
the Appointing Authority, the Presiding Officer may, in his discretion, 
depart from this guide as appropriate.
    (c) Special duties. The Prosecution shall perform all other 
functions, consistent with 32 CFR part 9, and Military Order of November 
13, 2001, ``Detention, Treatment, and Trial of Certain Non-Citizens in 
the War Against Terrorism,'' as may be directed by the Appointing 
Authority or the General Counsel of the Department of Defense.



Sec. 12.5  Policies.

    (a) Prohibition on Prosecutors serving as Defense Counsel. Judge 
advocates assigned to the Office of the Chief Prosecutor shall be deemed 
unavailable for service as Defense Counsel under 32 CFR 9.4(c)(3)(i).
    (b) Prohibition on certain disclosures. All Prosecutors must 
strictly comply with 32 CFR 9.6(d)(5) and 9.9 to ensure they do not 
improperly disclose classified information, national security 
information, or state secrets to any person not specifically authorized 
to receive such information.
    (c) Statements to the media. Consistent with DoD Directive 5122.5 
\1\, the Assistant Secretary of Defense for Public Affairs shall serve 
as the sole release authority for DoD information and audiovisual 
materials regarding military commissions. Personnel assigned to the 
Office of the Chief Prosecutor may communicate with news media 
representatives regarding cases and other matters related to military 
commissions only when approved by the Appointing Authority or the 
General Counsel of the Department of Defense.
---------------------------------------------------------------------------

    \1\ Available at http://www.dtic.mil/whs/directives.
---------------------------------------------------------------------------



PART 13_RESPONSIBILITIES OF THE CHIEF DEFENSE COUNSEL, DETAILED
DEFENSE COUNSEL, AND CIVILIAN DEFENSE COUNSEL--Table of Contents



Sec.
13.1 Purpose.
13.2 Authority.
13.3 Office of the Chief Defense Counsel.
13.4 Duties and responsibilities of the defense.
13.5 Policies.

    Authority: 10 U.S.C. 113(d) and 140(b).

    Source: 68 FR 39389, July 1, 2003, unless otherwise noted.



Sec. 13.1  Purpose.

    This part establishes the responsibilities of the Office of Chief 
Defense Counsel and components thereof.



Sec. 13.2  Authority.

    This part is issued pursuant to 32 CFR 9.7(a) and in accordance with 
Military Order of November 13, 2001, ``Detention, Treatment, and Trial 
of Certain Non-Citizens in the War Against Terrorism,'' (3 CFR, 2001 
comp., p. 918, 66 FR 57833) and 10 U.S.C. 113(d) and 140(b). The 
provisions of 32 CFR part 10 are applicable to this part.



Sec. 13.3  Office of the Chief Defense Counsel.

    (a) General. The Office of the Chief Defense Counsel shall be a 
component of the Office of Military Commissions and shall be comprised 
of the Chief Defense Counsel, Defense Counsel, and other such persons 
properly under the supervision of the Chief Defense Counsel.
    (b) Chief Defense Counsel. (1) The Chief Defense Counsel shall be a 
judge advocate of any United States armed force and shall be designated 
by the General Counsel of the Department of Defense.
    (2) The Chief Defense Counsel shall report directly to the Deputy 
General Counsel (Personnel and Health Policy) of the Department of 
Defense.
    (3) The Chief Defense Counsel shall supervise all defense activities 
and the efforts of Detailed Defense Counsel and other office personnel 
and resources pursuant to 32 CFR part 9, and Military Order of November 
13, 2001, ``Detention, Treatment, and Trial of Certain Non-Citizens in 
the War Against Terrorism,'' ensuring proper supervision and management 
of all personnel and resources assigned to the Office of the Chief 
Defense Counsel and facilitating the proper representation of all 
Accused referred to trial before a military commission appointed 
pursuant to 32

[[Page 46]]

CFR part 9, and Military Order of November 13, 2001, ``Detention, 
Treatment, and Trial of Certain Non-Citizens in the War Against 
Terrorism.''
    (4) The Chief Defense Counsel shall ensure that all personnel 
assigned to the Office of the Chief Defense Counsel review, and attest 
that they understand and will comply with, 32 CFR part 9, and Military 
Order of November 13, 2001, ``Detention, Treatment, and Trial of Certain 
Non-Citizens in the War Against Terrorism,'' and all Supplementary 
Regulations and Instructions issued in accordance therewith. 
Furthermore, the Chief Defense Counsel shall regulate the conduct of 
Detailed Defense Counsel as deemed necessary, consistent with 32 CFR 
part 9, and Military Order of November 13, 2001, ``Detention, Treatment, 
and Trial of Certain Non-Citizens in the War Against Terrorism,'' and 
subordinate instructions and regulations, and specifically shall ensure 
that Detailed Defense Counsel have been directed to conduct their 
activities consistent with applicable prescriptions and proscriptions 
specified in Section II of the Affidavit And Agreement By Civilian 
Defense Counsel at Appendix B to 32 CFR part 14.
    (5) The Chief Defense Counsel shall inform the Deputy General 
Counsel (Personnel and Health Policy) of the Department of Defense of 
all requirements for personnel, office space, equipment, and supplies to 
ensure the successful functioning and mission accomplishment of the 
Office of the Chief Defense Counsel.
    (6) The Chief Defense Counsel shall supervise all Defense Counsel 
and other personnel assigned to the Office of the Chief Defense Counsel.
    (7) The Chief Defense Counsel, or his designee, shall fulfill 
applicable performance evaluation requirements associated with Defense 
Counsel and other personnel properly under the supervision of the Chief 
Defense Counsel.
    (8) The Chief Defense Counsel shall detail a judge advocate of any 
United States armed force to perform the duties of the Detailed Defense 
Counsel as set forth in 32 CFR 9.4(c)(2) and shall detail or employ any 
other personnel as directed by the Appointing Authority or the Presiding 
Officer in a particular case. The Chief Defense Counsel may not detail 
himself to perform the duties of Detailed Defense Counsel, nor does he 
form an attorney-client relationship with accused persons or incur any 
concomitant confidentiality obligations.
    (i) The Chief Defense Counsel may, when appropriate, detail an 
additional judge advocate as Assistant Detailed Defense Counsel to 
assist in performing the duties of the Detailed Defense Counsel.
    (ii) The Chief Defense Counsel may structure the Office of the Chief 
Defense Counsel so as to include subordinate supervising attorneys who 
may incur confidentiality obligations in the context of fulfilling their 
supervisory responsibilities with regard to Detailed Defense Counsel.
    (9) The Chief Defense Counsel shall take appropriate measures to 
preclude Defense Counsel conflicts of interest arising from the 
representation of Accused before military commissions. The Chief Defense 
Counsel shall be provided sufficient information (potentially including 
protected information) to fulfill this responsibility.
    (10) The Chief Defense Counsel shall take appropriate measures to 
ensure that each Detailed Defense Counsel is capable of zealous 
representation, unencumbered by any conflict of interest. In this 
regard, the Chief Defense Counsel shall monitor the activities of all 
Defense Counsel (Detailed and Civilian) and take appropriate measures to 
ensure that Defense Counsel do not enter into agreements with other 
Accused or Defense Counsel that might cause them or the Accused they 
represent to incur an obligation of confidentiality with such other 
Accused or Defense Counsel or to effect some other impediment to 
representation.
    (11) The Chief Defense Counsel shall ensure that an Accused tried 
before a military commission pursuant to 32 CFR part 9, and Military 
Order of November 13, 2001, ``Detention, Treatment, and Trial of Certain 
Non-Citizens in the War Against Terrorism,'' is represented at all 
relevant times by Detailed Defense Counsel.
    (12) The Chief Defense Counsel shall administer all requests for 
replacement Detailed Defense Counsel requested in

[[Page 47]]

accordance with 32 CFR 9.4(c)(3). He shall determine the availability of 
such counsel in accordance with this part.
    (13) The Chief Defense Counsel shall administer the Civilian Defense 
Counsel pool, screening all requests for pre-qualification and ad hoc 
qualification, making qualification determinations and recommendations 
in accordance with 32 CFR part 9, this part, and 32 CFR part 14, and 
ensuring appropriate notification to an Accused of civilian attorneys 
available to represent Accused before a military commission.
    (14) The Chief Defense Counsel shall ensure that all Detailed 
Defense Counsel and Civilian Defense Counsel who are to perform duties 
in relation to a military commission have taken an oath to perform their 
duties faithfully.
    (15) The Chief Defense Counsel shall ensure that all personnel 
properly under the supervision of the Office of the Chief Defense 
Counsel possess the appropriate security clearances.
    (c) Detailed Defense Counsel. (1) Detailed Defense Counsel shall be 
judge advocates of any United States armed force.
    (2) Detailed Defense Counsel shall represent the Accused before 
military commissions when detailed in accordance with 32 CFR part 9, and 
Military Order of November 13, 2001, ``Detention, Treatment, and Trial 
of Certain Non-Citizens in the War Against Terrorism.'' In this regard 
Detailed Defense Counsel shall: defend the Accused to whom detailed 
zealously within the bounds of the law and without regard to personal 
opinion as to guilt; represent the interests of the Accused in any 
review process as provided by 32 CFR part 9; and comply with the 
procedures accorded the Accused pursuant to 32 CFR 9.5 and 9.6. Detailed 
Defense Counsel shall so serve notwithstanding any intention expressed 
by the Accused to represent himself.
    (3) Detailed Defense Counsel shall have primary responsibility to 
prevent conflicts of interest related to the handling of the cases to 
which detailed.
    (4) Detailed Defense Counsel shall fulfill all responsibilities 
detailed in 32 CFR part 9, and Military Order of November 13, 2001, 
``Detention, Treatment, and Trial of Certain Non-Citizens in the War 
Against Terrorism,'' those set forth in this part, and those assigned by 
the Chief Defense Counsel.
    (d) Selected Detailed Defense Counsel. (1) The Accused may select a 
judge advocate of any United States armed force to replace the Accused's 
Detailed Defense Counsel, provided that judge advocate has been 
determined to be available by the Chief Defense Counsel in consultation 
with the Judge Advocate General of that judge advocate's military 
department.
    (2) A judge advocate shall be determined not to be available if 
assigned duties: as a general or flag officer; as a military judge; as a 
prosecutor in the Office of Military Commissions; as a judge advocate 
assigned to the Department of Defense Criminal Investigation Task Force 
or Joint Task Force Guantanamo; as a principal legal advisor to a 
command, organization, or agency; as an instructor or student at a 
service school, academy, college or university; or in any other capacity 
that the Judge Advocate General of the Military Department concerned may 
determine not to be available because of the nature or responsibilities 
of their assignments, exigent circumstances, military necessity, or 
other appropriate reasons.
    (3) Consistent with 32 CFR 9.6(b), the selection and replacement of 
new Detailed Defense Counsel shall not unreasonably delay military 
commission proceedings.
    (4) Unless otherwise directed by the Appointing Authority or the 
General Counsel of the Department of Defense, the Chief Defense Counsel 
will, after selection of a new Detailed Defense Counsel, relieve the 
original Detailed Defense Counsel of all duties with respect to that 
case.
    (e) Qualified Civilian Defense Counsel. (1) The Accused may, at no 
expense to the United States, retain the services of a civilian attorney 
of the Accused's own choosing to assist in the conduct of his defense 
before a military commission, provided that the civilian attorney 
retained has been determined to be qualified pursuant to 32 CFR 
9.4(c)(3)(ii).
    (2) Consistent with 32 CFR 9.6(b), the retention of Civilian Defense 
Counsel shall not unreasonably delay military commission proceedings.

[[Page 48]]

    (3) Representation by Civilian Defense Counsel will not relieve 
Detailed Defense Counsel of the duties specified in 32 CFR 9.4(c)(2).
    (4) Neither qualification of a Civilian Defense Counsel for 
membership in the pool of available Civilian Defense Counsel nor the 
entry of appearance in a specific case guarantees that counsel's 
presence at closed military commission proceedings or access to 
information protected under 32 CFR 9.6(d)(5).
    (5) The Chief Defense Counsel shall monitor the conduct of all 
qualified Civilian Defense Counsel for compliance with all rules, 
regulations, and instructions governing military commissions. The Chief 
Defense Counsel will report all instances of noncompliance with the 
rules, regulations, and instructions governing military commissions to 
the Appointing Authority and to the General Counsel of the Department of 
Defense with a recommendation as to any appropriate action consistent 
with 32 CFR part 9 and this part.



Sec. 13.4  Duties and responsibilities of the defense.

    (a) Regular duties. The Defense shall perform all duties specified 
or implied in 32 CFR part 9 as responsibilities of the Defense.
    (b) Special duties. The Office of the Chief Defense Counsel shall 
perform such other functions, consistent with 32 CFR part 9, and 
Military Order of November 13, 2001, ``Detention, Treatment, and Trial 
of Certain Non-Citizens in the War Against Terrorism,'' and the mission 
of the Office of the Chief Defense Counsel, as may be directed by the 
Appointing Authority or the General Counsel of the Department of 
Defense.



Sec. 13.5  Policies.

    (a) Prohibition on certain agreements. No Defense Counsel may enter 
into agreements with any detainee other than his client, or such 
detainee's Defense Counsel, that might cause him or the client he 
represents to incur an obligation of confidentiality with such other 
detainee or Defense Counsel or to effect some other impediment to 
representation.
    (b) Prohibition on certain disclosures. All Defense Counsel must 
strictly comply with 32 CFR 9.6(d)(5) and 9.9 to ensure they do not 
improperly disclose classified information, national security 
information, or state secrets to an Accused or potential Accused or to 
any other person not specifically authorized to receive such 
information.
    (c) Statements to the media. Consistent with DoD Directive 5122.5 
\1\, the Assistant Secretary of Defense for Public Affairs shall serve 
as the sole release authority for DoD information and audiovisual 
materials regarding military commissions. Personnel assigned to the 
Office of the Chief Defense Counsel, as well as all members of the 
Civilian Defense Counsel pool and associated personnel may communicate 
with news media representatives regarding cases and other matters 
related to military commissions only when approved by the Appointing 
Authority or the General Counsel of the Department of Defense.
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PART 14_QUALIFICATION OF CIVILIAN DEFENSE COUNSEL--Table of Contents



Sec.
14.1 Purpose.
14.2 Authority.
14.3 Policies and procedures.

Appendix A to Part 14--United States of America Authorization for 
          Release of Information
Appendix B to Part 14--Affidavit and Agreement by Civilian Defense 
          Counsel

    Authority: 10 U.S.C. 113(d) and 140(b).

    Source: 68 FR 39392, July 1, 2003, unless otherwise noted.



Sec. 14.1  Purpose.

    This part establishes policies and procedures for the creation and 
management of the pool of qualified Civilian Defense Counsel authorized 
in 32 CFR 9.4 (c)(3)(ii) in accordance with Military Order of November 
13, 2001, ``Detention, Treatment, and Trial of Certain Non-Citizens in 
the War Against Terrorism,'' (3 CFR 2001 Comp., 918, 66 FR 57833).

[[Page 49]]



Sec. 14.2  Authority.

    This part is issued pursuant to 32 CFR 9.7(a) and in accordance with 
Military Order of November 13, 2001, ``Detention, Treatment, and Trial 
of Certain Non-Citizens in the War Against Terrorism,'' and 10 U.S.C. 
113(d) and 140(b). The provisions of 32 CFR part 10 are applicable to 
this part.



Sec. 14.3  Policies and procedures.

    (a) Application procedures. (1) Civilian attorneys may be 
prequalified as members of the pool of attorneys eligible to represent 
Accused before military commissions at no expense to the United States 
if, at the time of application, they meet the eligibility criteria set 
forth in 32 CFR 9.4(c)(3)(ii) as further detailed in this part, or they 
may be qualified on an ad hoc basis after being requested by an Accused. 
In both cases, qualification results in membership in the pool of 
available Civilian Defense Counsel.
    (2) An attorney seeking qualification as a member of the pool of 
available Civilian Defense Counsel shall submit an application, by 
letter, to: Office of the General Counsel, Department of Defense, (Attn: 
Chief Defense Counsel, Office of Military Commissions), 1600 Defense 
Pentagon, Washington, DC 20301-1600. Applications will be comprised of 
the letter requesting qualification for membership, together with the 
following documents that demonstrate satisfaction of the criteria set 
forth in 32 CFR 9.4(c)(3)(ii):
    (i) Civilian Defense Counsel shall be United States citizens (32 CFR 
9.4(c)(3)(ii)(A)). Applicants will provide proof of citizenship (e.g., 
certified true copy of passport, birth certificate, or certificate of 
naturalization).
    (ii) Civilian Defense Counsel shall be admitted to the practice of 
law in a State, district, territory or possession of the United States, 
or before a Federal court (32 CFR 9.4(c)(3)(ii)(B)). Applicants will 
submit an official certificate showing that the applicant is an active 
member in good standing with the bar of a qualifying jurisdiction. The 
certificate must be dated within three months of the date of the Chief 
Defense Counsel's receipt of the application.
    (iii) Civilian Defense Counsel shall not have been the subject of 
any sanction or disciplinary action by any court, bar, or other 
competent governmental authority for relevant misconduct (32 CFR 
9.4(c)(2)(iii)).
    (A) An applicant shall submit a statement detailing all sanctions or 
disciplinary actions, pending or final, to which he has been subject, 
whether by a court, bar or other competent governmental authority, for 
misconduct of any kind. The statement shall identify the jurisdiction or 
authority that imposed the sanction or disciplinary action, together 
with any explanation deemed appropriate by the applicant. Additionally, 
the statement shall identify and explain any formal challenge to the 
attorney's fitness to practice law, regardless of the outcome of any 
subsequent proceedings. In the event that no sanction, disciplinary 
action or challenge has been imposed on or made against an applicant, 
the statement shall so state. Further, the applicant's statement shall 
identify each jurisdiction in which he has been admitted or to which he 
has applied to practice law, regardless of whether the applicant 
maintains a current active license in that jurisdiction, together with 
any dates of admission to or rejection by each such jurisdiction and, if 
no longer active, the date of and basis for inactivation. The 
information shall be submitted either in the form of a sworn notarized 
statement or as a declaration under penalty of perjury of the laws of 
the United States. The sworn statement or declaration must be executed 
and dated within three months of the date of the Chief Defense Counsel's 
receipt of the application.
    (B) Further, applicants shall submit a properly executed 
Authorization for Release of Information (Appendix A to this part), 
authorizing the Chief Defense Counsel or his designee to obtain 
information relevant to qualification of the applicant as a member of 
the Civilian Defense Counsel pool from each jurisdiction in which the 
applicant has been admitted or to which he has applied to practice law.
    (iv) Civilian Defense Counsel shall be determined to be eligible for 
access to information classified at the level SECRET or higher under the 
authority of

[[Page 50]]

and in accordance with the procedures described in Department of Defense 
Regulation, DoD 5200.2-R, ``Personnel Security Program.'' \1\ (32 CFR 
9.4(c)(2)(iv)
    (A) Civilian Defense Counsel applicants who possess a valid current 
security clearance of SECRET or higher shall provide, in writing, the 
date of their background investigation, the date such clearance was 
granted, the level of the clearance, and the adjudicating authority.
    (B) Civilian Defense Counsel applicants who do not possess a valid 
current security clearance of SECRET or higher shall state in writing 
their willingness to submit to a background investigation in accordance 
with DoD 5200.2-R and to pay any actual costs associated with the 
processing of the same. The security clearance application, 
investigation, and adjudication process will not be initiated until the 
applicant has submitted an application that otherwise fully complies 
with this part and the Chief Defense Counsel has determined that the 
applicant would otherwise be qualified for membership in the Civilian 
Defense Counsel pool. Favorable adjudication of the applicant's 
personnel security investigation must be completed before an applicant 
will be qualified for membership in the pool of Civilian Defense 
Counsel. The Chief Defense Counsel may, at his discretion, withhold 
qualification and wait to initiate the security clearance process until 
such time as the Civilian Defense Counsel's services are likely to be 
sought.
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    (v) Civilian Defense Counsel shall have signed a written agreement 
to comply with all applicable regulations or instructions for counsel, 
including any rules of court for conduct during the course of 
proceedings (32 CFR 9.4(c)(2)(v)). This requirement shall be satisfied 
by the execution of the Affidavit And Agreement By Civilian Defense 
Counsel at Appendix B to this part. The Affidavit And Agreement By 
Civilian Defense Counsel shall be executed and agreed to without change, 
(i.e., no omissions, additions or substitutions). Proper execution shall 
require the notarized signature of the applicant. The Affidavit And 
Agreement By Civilian Defense Counsel shall be dated within three months 
of the date of the Chief Defense Counsel's receipt of the application.
    (3) Applications mailed in a franked U.S. Government envelope or 
received through U.S. Government distribution will not be considered. 
Telefaxed or electronic mail application materials will not be accepted. 
Failure to provide all of the requisite information and documentation 
may result in rejection of the application. A false statement in any 
part of the application may preclude qualification and/or render the 
applicant liable for disciplinary or criminal sanction, including under 
18 U.S.C. 1001.
    (b) Application review. (1) The Chief Defense Counsel or his 
designee shall review all Civilian Defense Counsel pool applications for 
compliance with 32 CFR part 9 and Military Order of November 13, 2001, 
``Detention, Treatment, and Trial of Certain Non-Citizens in the War 
Against Terrorism,'' and with this part.
    (2) The Chief Defense Counsel shall consider all applicants for 
qualification as members of the Civilian Defense Counsel pool without 
regard to race, religion, color, sex, age, national origin, or other 
non-disqualifying physical or mental disability.
    (3) The Chief Defense Counsel may reject any Civilian Defense 
Counsel application that is incomplete or otherwise fails to comply with 
32 CFR part 9 and Military Order of November 13, 2001, ``Detention, 
Treatment, and Trial of Certain Non-Citizens in the War Against 
Terrorism,'' or with this part.
    (4) Subject to review by the General Counsel of the Department of 
Defense, the Chief Defense Counsel shall determine the number of 
qualified attorneys that shall constitute the pool of available Civilian 
Defense Counsel. Similarly, subject to review by the General Counsel of 
the Department of Defense, the Chief Defense Counsel shall determine the 
qualification of applicants for membership in such pool. This shall 
include determinations as to whether any sanction, disciplinary action, 
or

[[Page 51]]

challenge is related to relevant misconduct that would disqualify the 
Civilian Defense Counsel applicant.
    (5) The Chief Defense Counsel's determination as to each applicant's 
qualification for membership in the pool of qualified Civilian Defense 
Counsel shall be deemed effective as of the date of the Chief Defense 
Counsel's written notification publishing such determination to the 
applicant. Subsequent to this notification, the retention of qualified 
Civilian Defense Counsel is effected upon written entry of appearance, 
communicated to the military commission through the Chief Defense 
Counsel.
    (6) The Chief Defense Counsel may reconsider his determination as to 
an individual's qualification as a member of the Civilian Defense 
Counsel pool on the basis of subsequently discovered information 
indicating material nondisclosure or misrepresentation in the 
application, or material violation of obligations of the Civilian 
Defense Counsel, or other good cause, or the matter may be referred to 
the Appointing Authority or the General Counsel of the Department of 
Defense, who may revoke or suspend the qualification of any member of 
the Civilian Defense Counsel pool.



 Sec. Appendix A to Part 14--United States of America Authorization for 
                         Release of Information

                        United States of America

                Authorization for Release of Information

(Carefully read this authorization to release information about you, 
then sign and date it in ink.)

    I authorize the Chief Defense Counsel, Office of Military 
Commissions, Department of Defense, his designee or other duly 
authorized representative of the Department of Defense who may be 
charged with assessing or determining my qualification for membership in 
the pool of Civilian Defense Counsel available to represent Accused 
before military commissions, to obtain any information from any court, 
the bar of any State, locality, district, territory or possession of the 
United States, or from any other governmental authority.
    This information may include, but is not limited to, information 
relating to: Any application for a security clearance; my admission or 
application for admission to practice law in any jurisdiction, including 
action by the jurisdiction upon such application, together with my 
current status with regard to the practice of law in such jurisdiction; 
any sanction or disciplinary action to which I have been subject for 
misconduct of any kind; and any formal challenge to my fitness to 
practice law, regardless of the outcome of subsequent proceedings.
    I authorize custodians of such records or information and other 
sources of information pertaining to me to release such at the request 
of the officials named above, regardless of any previous agreement to 
the contrary.
    I understand that for certain custodians or sources of information a 
separate specific release may be required and that I may be contacted 
for the purposes of executing such at a later date.
    I understand that the records or information released by custodians 
and other sources of information are for official use by the Department 
of Defense, only for the purposes provided herein, and that they may be 
redisclosed by the Department of Defense only as authorized by law.
    Copies of this authorization that show my signature are as valid as 
the original signed by me. This authorization is valid for five (5) 
years from the date signed or upon termination of my affiliation with 
the Department of Defense, whichever is later.

________________________________________________________________________
Signature (sign in ink) SSN

________________________________________________________________________
Date



Sec. Appendix B to Part 14--Affidavit and Agreement by Civilian Defense 
                                 Counsel

           Affidavit and Agreement by Civilian Defense Counsel

    Pursuant to Section 4(C)(3)(b) of Department of Defense Military 
Commission Order No. 1, ``Procedures for Trials by Military Commissions 
of Certain Non-United States Citizens in the War Against Terrorism,'' 
dated March 21, 2002 (``MCO No. 1''), Military Commission Instructions 
No. 4, ``Responsibilities of the Chief Defense Counsel, Detailed Defense 
Counsel, and Civilian Defense Counsel'' (``MCI No. 4'') and No. 5, 
``Qualification of Civilian Defense Counsel'' (``MCI No. 5''), and in 
accordance with the President's Military Order of November 13, 2001, 
``Detention, Treatment, and Trial of Certain Non-Citizens in the War 
Against Terrorism,'' 66 FR 57833 (Nov. 16, 2001) (``President's Military 
Order''), I [Name of Civilian Attorney], make this Affidavit and 
Agreement for the purposes of applying for qualification as a member of 
the pool of Civilian Defense Counsel available to represent Accused 
before military commissions and serving in that capacity.

[[Page 52]]

    I. Oaths or Affirmations. I swear or affirm that the following 
information is true to the best of my knowledge and belief:
    A. I have read and understand the President's Military Order, MCO 
No. 1, MCI No. 4, MCI No. 5, and all other Military Commission Orders 
and Instructions concerning the rules, regulations and instructions 
applicable to trial by military commissions. I will read all future 
Orders and Instructions applicable to trials by military commissions.
    B. I am aware that my qualification as a Civilian Defense Counsel 
does not guarantee my presence at closed military commission proceedings 
or guarantee my access to any information protected under Section 
6(D)(5) or Section 9 of MCO No. 1.
    II. Agreements. I hereby agree to comply with all applicable 
regulations and instructions for counsel, including any rules of court 
for conduct during the course of proceedings, and specifically agree, 
without limitation, to the following:
    A. I will notify the Chief Defense Counsel and, as applicable, the 
relevant Presiding Officer immediately if, after the execution of this 
Affidavit and Agreement but prior to the conclusion of proceedings 
(defined as the review and final decision of the President or, if 
designated, the Secretary of Defense), if there is any change in any of 
the information provided in my application, including this Affidavit and 
Agreement, for qualification as member of the Civilian Defense Counsel 
pool. I understand that such notification shall be in writing and shall 
set forth the substantive nature of the changed information.
    B. I will be well-prepared and will conduct the defense zealously, 
representing the Accused throughout the military commission process, 
from the inception of my representation through the completion of any 
post trial proceedings as detailed in Section 6(H) of MCO No. 1. I will 
ensure that these proceedings are my primary duty. I will not seek to 
delay or to continue the proceedings for reasons relating to matters 
that arise in the course of my law practice or other professional or 
personal activities that are not related to military commission 
proceedings.
    C. The Defense Team shall consist entirely of myself, Detailed 
Defense Counsel, and other personnel provided by the Chief Defense 
Counsel, the Presiding Officer, or the Appointing Authority. I will make 
no claim against the U.S. Government for any fees or costs associated 
with my conduct of the defense or related activities or efforts.
    D. Recognizing that my representation does not relieve Detailed 
Defense Counsel of duties specified in Section 4(C)(2) of MCO No. 1, I 
will work cooperatively with such counsel to ensure coordination of 
efforts and to ensure such counsel is capable of conducting the defense 
independently if necessary.
    E. During the pendency of the proceedings, unless I obtain approval 
in advance from the Presiding Officer to do otherwise, I will comply 
with the following restrictions on my travel and communications:
    1. I will not travel or transmit documents from the site of the 
proceedings without the approval of the Appointing Authority or the 
Presiding Officer. The Defense Team and I will otherwise perform all of 
our work relating to the proceedings, including any electronic or other 
research, at the site of the proceedings (except that this shall not 
apply during post-trial proceedings detailed in Section 6(H) of MCO No. 
1).
    2. I will not discuss or otherwise communicate or share documents or 
information about the case with anyone except persons who have been 
designated as members of the Defense Team in accordance with this 
Affidavit and Agreement and other applicable rules, regulations and 
instructions.
    F. At no time, to include any period subsequent to the conclusion of 
the proceedings, will I make any public or private statements regarding 
any closed sessions of the proceedings or any classified information or 
material, or document or material constituting protected information 
under MCO No. 1.
    G. I understand and agree to comply with all rules, regulations and 
instructions governing the handling of classified information and 
material. Furthermore, no document or material constituting protected 
information under MCO No. 1, regardless of its classification level, may 
leave the site of the proceedings.
    H. I understand that there may be reasonable restrictions on the 
time and duration of contact I may have with my client, as imposed by 
the Appointing Authority, the Presiding Officer, detention authorities, 
or regulation.
    I. I understand that my communications with my client, even if 
traditionally covered by the attorney-client privilege, may be subject 
to monitoring or review by government officials, using any available 
means, for security and intelligence purposes. I understand that any 
such monitoring will only take place in limited circumstances when 
approved by proper authority, and that any evidence or information 
derived from such communications will not be used in proceedings against 
the Accused who made or received the relevant communication. I further 
understand that communications are not protected if they would 
facilitate criminal acts or a conspiracy to commit criminal acts, or if 
those communications are not related to the seeking or providing of 
legal advice.
    J. I agree that I shall reveal to the Chief Defense Counsel and any 
other appropriate authorities, information relating to the 
representation of my client to the extent that I reasonably believe 
necessary to prevent the

[[Page 53]]

commission of a future criminal act that I believe is likely to result 
in death or substantial bodily harm, or significant impairment of 
national security.
    K. I understand and agree that nothing in this Affidavit and 
Agreement creates any substantive, procedural, or other rights for me as 
counsel or for my client(s).
 /s/____________________________________________________________________
 Print Name:____________________________________________________________
 Address:_______________________________________________________________
 Date:__________________________________________________________________

State of )
County of )

    Sworn to and subscribed before me, by ----------, this ---- day of 
--------, 20----.

                                 Notary

 My commission expires:_________________________________________________



PART 15_REPORTING RELATIONSHIPS FOR MILITARY COMMISSION PERSONNEL
--Table of Contents



Sec.
15.1 Purpose.
15.2 Authority.
15.3 Policies and procedures.

    Authority: 10 U.S.C. 113(d) and 140(b).

    Source: 68 FR 39395, July 1, 2003, unless otherwise noted.



Sec. 15.1  Purpose.

    This part establishes supervisory and performance evaluation 
relationships for military commission personnel.



Sec. 15.2  Authority.

    This part is issued pursuant to 32 CFR 9.7(a) and in accordance with 
Military Order of November 13, 2001, ``Detention, Treatment, and Trial 
of Certain Non-Citizens in the War Against Terrorism,'' (3 CFR 2001 
Comp., p. 918, 66 FR 57833) and 10 U.S.C. 113(d) and 140(b). The 
provisions of 32 CFR part 10 are applicable to this part.



Sec. 15.3  Policies and Procedures.

    (a) Supervisory and performance evaluation relationships. 
Individuals appointed, assigned, detailed, designated or employed in a 
capacity related to the conduct of military commission proceedings 
conducted in accordance with 32 CFR part 9 and Military Order of 
November 13, 2001, ``Detention, Treatment, and Trial of Certain Non-
Citizens in the War Against Terrorism,'' shall be subject to the 
relationships set forth in paragraphs (a)(1) through (a)(9) of this 
section. Unless stated otherwise, the person to whom an individual 
``reports,'' as set forth in paragraphs (a)(1) through (a)(9) of this 
section, shall be deemed to be such individual's supervisor and shall, 
to the extent possible, fulfill all performance evaluation 
responsibilities normally associated with the function of direct 
supervisor in accordance with the subordinate's Military Service 
performance evaluation regulations.
    (1) Appointing Authority: Any Appointing Authority designated by the 
Secretary of Defense pursuant to 32 CFR part 9 shall report to the 
Secretary of Defense in accordance with 10 U.S.C. 113(d).
    (2) Legal Advisor to Appointing Authority: The Legal Advisor to the 
Appointing Authority shall report to the Appointing Authority.
    (3) Chief Prosecutor: The Chief Prosecutor shall report to the 
Deputy General Counsel (Legal Counsel) of the Department of Defense and 
then to the General Counsel of the Department of Defense.
    (4) Prosecutors and Assistant Prosecutors: Prosecutors and Assistant 
Prosecutors shall report to the Chief Prosecutor and then to the Deputy 
General Counsel (Legal Counsel) of the Department of Defense.
    (5) Chief Defense Counsel: The Chief Defense Counsel shall report to 
the Deputy General Counsel (Personnel and Health Policy) of the 
Department of Defense and then to the General Counsel of the Department 
of Defense.
    (6) Detailed Defense Counsel: Detailed Defense Counsel shall report 
to the Chief Defense Counsel and then to the Deputy General Counsel 
(Personnel and Health Policy) of the Department of Defense.
    (7) Review Panel members: Members of the Review Panel shall report 
to the Secretary of Defense.
    (8) Commission members: Commission members shall continue to report 
to their parent commands. The consideration or evaluation of the 
performance of duty as a member of a military commission is prohibited 
in preparing effectiveness, fitness, or evaluation reports of a 
commission member.

[[Page 54]]

    (9) Other personnel: All other military commission personnel, such 
as court reporters, interpreters, security personnel, bailiffs, and 
clerks detailed or employed by the Appointing Authority pursuant to 32 
CFR 9.4(d), if not assigned to the Office of the Chief Prosecutor or the 
Office of the Chief Defense Counsel, shall report to the Appointing 
Authority or his designee.
    (b) Responsibilities of supervisory/reporting officials. Officials 
designated in this part as supervisory/reporting officials shall:
    (1) Supervise subordinates in the performance of their duties.
    (2) Prepare fitness or performance evaluation reports and, as 
appropriate, process awards and citations for subordinates. To the 
extent practicable, a reporting official shall comply with the rated 
subordinate's Military Service regulations regarding the preparation of 
fitness or performance evaluation reports and in executing related 
duties.



PART 16_SENTENCING--Table of Contents



Sec.
16.1 Purpose.
16.2 Authority.
16.3 Available sentences.
16.4 Sentencing procedures.

    Authority: 10 U.S.C. 113(d) and 140(b).

    Source: 68 FR 39396, July 1, 2003, unless otherwise noted.



Sec. 16.1  Purpose.

    This part promulgates policy, assigns responsibilities, and 
prescribes procedures for matters related to sentencing of persons with 
regard to whom a finding of guilty is entered for an offense referred 
for trial by a military commission appointed pursuant to 32 CFR part 9 
and Military Order of November 13, 2001, ``Detention, Treatment, and 
Trial of Certain Non-Citizens in the War Against Terrorism'' (3 CFR 2001 
Comp., p. 918, 66 FR 57833).



Sec. 16.2  Authority.

    This part is issued pursuant to 32 CFR 9.7(a) and in accordance with 
Military Order of November 13, 2001, ``Detention, Treatment, and Trial 
of Certain Non-Citizens in the War Against Terrorism,'' and 10 U.S.C. 
113(d) and 140(b). The provisions of 32 CFR part 10 are applicable to 
this part.



Sec. 16.3  Available sentences.

    (a) General. 32 CFR part 9 permits a military commission wide 
latitude in sentencing. Any lawful punishment or condition of punishment 
is authorized, including death, so long as the prerequisites detailed in 
32 CFR part 9 are met. Detention associated with an individual's status 
as an enemy combatant shall not be considered to fulfill any term of 
imprisonment imposed by a military commission. The sentence 
determination should be made while bearing in mind that there are 
several principal reasons for a sentence given to those who violate the 
law. Such reasons include: punishment of the wrongdoer; protection of 
society from the wrongdoer; deterrence of the wrongdoer and those who 
know of his crimes and sentence from committing the same or similar 
offenses; and rehabilitation of the wrongdoer. In determining an 
appropriate sentence, the weight to be accorded any or all of these 
reasons rests solely within the discretion of commission members. All 
sentences should, however, be grounded in a recognition that military 
commissions are a function of the President's war-fighting role as 
Commander-in-Chief of the Armed Forces of the United States and of the 
broad deterrent impact associated with a sentence's effect on adherence 
to the laws and customs of war in general.
    (b) Conditions of imprisonment. Decisions regarding the location 
designated for any imprisonment, the conditions under which a sentence 
to imprisonment is served, or the privileges accorded one during any 
period of imprisonment should generally not be made by the commission. 
Those decisions and actions, however, may be appropriate subjects for 
recommendation to the person making a final decision on the sentence in 
accordance with of 32 CFR 9.6(h).
    (c) Prospective recommendations for sentence modification. A 
sentence imposed by military commission may be accompanied by a 
recommendation to suspend, remit, commute or otherwise modify the 
adjudged sentence in concert with one or more conditions upon

[[Page 55]]

which the suspension, remission, commutation, or other modification is 
contingent (usually relating to the performance, behavior or conduct of 
the Accused). Unless otherwise directed, a decision or action in 
accordance with such a recommendation will be effected by direction or 
delegation to the Appointing Authority by the official making a final 
decision on the sentence in accordance with of 32 CFR 9.6(h).



Sec. 16.4  Sentencing procedures.

    (a) General. 32 CFR part 9 permits the military commission 
substantial discretion regarding the conduct of sentencing proceedings. 
Sentencing proceedings should normally proceed expeditiously. In the 
discretion of the Presiding Officer, as limited by the Appointing 
Authority, reasonable delay between the announcement of findings and the 
commencement of sentencing proceedings may be authorized to facilitate 
the conduct of proceedings in accordance with of 32 CFR 9.6(b).
    (b) Information relevant to sentencing. 32 CFR 9.6(e)(10) permits 
the Prosecution and Defense to present information to aid the military 
commission in determining an appropriate sentence. Such information may 
include a recommendation of an appropriate sentence, information 
regarding sentence ranges for analogous offenses (e.g., the sentencing 
range under the Federal Sentencing Guidelines that could be applicable 
to the Accused for the most analogous federal offenses), and other 
relevant information. Regardless of any presentation by the Prosecution 
or Defense, the military commission shall consider any evidence admitted 
for consideration prior to findings regarding guilt. The Presiding 
Officer may limit or require the presentation of certain information 
consistent with 32 CFR part 9 and Military Order of November 13, 2001, 
``Detention, Treatment, and Trial of Certain Non-Citizens in the War 
Against Terrorism'.
    (c) Cases involving plea agreements. In accordance with 32 CFR 
9.6(a)(4), after determining the voluntary and informed nature of a plea 
agreement approved by the Appointing Authority, the military commission 
is bound to adjudge findings and a sentence pursuant to that plea 
agreement. Accordingly, the Presiding Officer may exercise the authority 
granted in of 32 CFR 9.6(e) to curtail or preclude the presentation of 
information and argument relative to the military commission's 
determination of an appropriate sentence.
    (d) Special duties. In cases involving plea agreements or 
recommendations for certain conditions of imprisonment or prospective 
sentence modification, the Prosecution and Defense shall provide 
whatever post-trial information or recommendation as is relevant to any 
subsequent decision regarding such condition or suspension, remission, 
commutation, or other modification recommendation associated with the 
sentence.



PART 17_ADMINISTRATIVE PROCEDURES--Table of Contents



Sec.
17.1 Purpose.
17.2 Authority.
17.3 Commission personnel.
17.4 Interlocutory questions.
17.5 Implied duties of the presiding officer.
17.6 Disclosures.

    Authority: 10 U.S.C. 113(d) and 140(b).

    Source: 68 FR 39397, July 1, 2003, unless otherwise noted.



Sec. 17.1  Purpose.

    This part promulgates policy, assigns responsibilities, and 
prescribes procedures for the conduct of trials by a military commission 
appointed pursuant to 32 CFR part 9 and Military Order of November 13, 
2001, ``Detention, Treatment, and Trial of Certain Non-Citizens in the 
War Against Terrorism,'' (3 CFR 2001 Comp., p. 918, 66 FR 57833).



Sec. 17.2  Authority.

    This part is issued pursuant to 32 CFR 9.7(a) and in accordance with 
Military Order of November 13, 2001, ``Detention, Treatment, and Trial 
of Certain Non-Citizens in the War Against Terrorism,'' and 10 U.S.C. 
113(d) and 140(b). The provisions of 32 CFR part 10 are applicable to 
this part.



Sec. 17.3  Commission personnel.

    (a) Appointment and removal of Commission members. (1) In accordance 
with

[[Page 56]]

32 CFR part 9, the Appointing Authority shall appoint at least three but 
no more than seven members and one or two alternate members. The 
Appointing Authority may remove members and alternate members for good 
cause. In the event a member (or alternate member) is removed for good 
cause, the Appointing Authority may replace the member, direct that an 
alternate member serve in the place of the original member, direct that 
proceedings simply continue without the member, or convene a new 
commission. In the absence of guidance from the Appointing Authority 
regarding replacement, the Presiding Officer shall select an alternate 
member to replace the member in question.
    (2) The Presiding Officer shall determine if it is necessary to 
conduct or permit questioning of members (including the Presiding 
Officer) on issues of whether there is good cause for their removal. The 
Presiding Officer may permit questioning in any manner he deems 
appropriate. Consistent with 32 CFR part 9, any such questioning shall 
be narrowly focused on issues pertaining to whether good cause may exist 
for the removal of any member.
    (3) From time to time, it may be appropriate for a Presiding Officer 
to forward to the Appointing Authority information and, if appropriate, 
a recommendation relevant to the question of whether a member (including 
the Presiding Officer) should be removed for good cause. While awaiting 
the Appointing Authority's decision on such matter, the Presiding 
Officer may elect either to hold proceedings in abeyance or to continue. 
The Presiding Officer may issue any appropriate instructions to the 
member whose continued service is in question. A military commission 
shall not engage in deliberations on findings or sentence prior to the 
Appointing Authority's decision in any case in which the Presiding 
Officer has recommended a member's removal.
    (b) Military commission security officer. The Appointing Authority 
may detail a Security Officer to advise a military commission on matters 
related to classified and protected information. In addition to any 
other duties assigned by the Appointing Authority, the Security Officer 
shall ensure that all classified or protected evidence and information 
is appropriately safeguarded at all times and that only personnel with 
the appropriate clearances and authorizations are present when 
classified or protected materials are presented before military 
commissions.
    (c) Other military commission personnel. The Appointing Authority 
may detail court reporters, interpreters, security personnel, bailiffs, 
clerks, and any other personnel to a military commission as deemed 
necessary. In the absence of a detailing by the Appointing Authority, 
the Chief Prosecutor shall be responsible to ensure the availability of 
necessary or appropriate personnel to facilitate the impartial and 
expeditious conduct of full and fair trials by military commission.



Sec. 17.4  Interlocutory questions.

    (a) Certification of interlocutory questions. The Presiding Officer 
shall generally adjudicate all motions and questions that arise during 
the course of a trial by military commission. In accordance with 32 CFR 
9.4(a)(5)(iv), however, the Presiding Officer shall certify all 
interlocutory questions, the disposition of which would effect a 
termination of proceedings with respect to a charge, for decision by the 
Appointing Authority. In addition, the Presiding Officer may certify 
other interlocutory questions to the Appointing Authority as the 
Presiding Officer deems appropriate.
    (b) Submission of interlocutory questions. The Presiding Officer 
shall determine what, if any, documentary or other materials should be 
forwarded to the Appointing Authority in conjunction with an 
interlocutory question.
    (c) Effect of interlocutory question certification on proceedings. 
While decision by the Appointing Authority is pending on any certified 
interlocutory question, the Presiding Officer may elect either to hold 
proceedings in abeyance or to continue.



Sec. 17.5  Implied duties of the presiding officer.

    The Presiding Officer shall ensure the execution of all ancillary 
functions necessary for the impartial and expeditious conduct of a full 
and fair trial by military commission in accordance

[[Page 57]]

with 32 CFR part 9. Such functions include, for example, scheduling the 
time and place of convening of a military commission, ensuring that an 
oath or affirmation is administered to witnesses and military commission 
personnel as appropriate, conducting appropriate in camera meetings to 
facilitate efficient trial proceedings, and providing necessary 
instructions to other commission members. The Presiding Officer shall 
rule on appropriate motions or, at his discretion consistent with 32 CFR 
part 9, may submit them to the commission for decision or to the 
Appointing Authority as a certified interlocutory question.



Sec. 17.6  Disclosures.

    (a) General. Unless directed otherwise by the Presiding Officer upon 
a showing of good cause or for some other reason, counsel for the 
Prosecution and the Defense shall provide to opposing counsel, at least 
one week prior to the scheduled convening of a military commission, 
copies of all information intended for presentation as evidence at 
trial, copies of all motions the party intends to raise before the 
military commission, and names and contact information of all witnesses 
a party intends to call. Motions shall also be provided to the Presiding 
Officer at the time they are provided to opposing counsel. Unless 
directed otherwise by the Presiding Officer, written responses to any 
motions will be provided to opposing counsel and the Presiding Officer 
no later than three days prior to the scheduled convening of a military 
commission.
    (b) Notifications by the prosecution. The Prosecution shall provide 
the Defense with access to evidence known to the Prosecution that tends 
to exculpate the Accused as soon as practicable, and in no instance 
later than one week prior to the scheduled convening of a military 
commission.
    (c) Notifications by the defense. The Defense shall give notice to 
the Prosecution of any intent to raise an affirmative defense to any 
charge at least one week prior to the scheduled convening of a military 
commission.
    (d) Evidence related to mental responsibility. If the Defense 
indicates an intent to raise a defense of lack of mental responsibility 
or introduce expert testimony regarding an Accused's mental condition, 
the prosecution may require that the Accused submit to a mental 
examination by a military psychologist or psychiatrist, and both parties 
shall have access to the results of that examination.

                         PARTS 19	20 [RESERVED]

[[Page 58]]



            SUBCHAPTER C_DoD GRANT AND AGREEMENT REGULATIONS





PART 21_DoD GRANTS AND AGREEMENTS_GENERAL MATTERS--Table of Contents



                         Subpart A_Introduction

Sec.
21.100 What are the purposes of this part?

         Subpart B_Defense Grant and Agreement Regulatory System

21.200 What is the Defense Grant and Agreement Regulatory System 
          (DGARS)?
21.205 What types of instruments are covered by the DGARS?
21.210 What are the purposes of the DGARS?
21.215 Who is responsible for the DGARS?
21.220 What publications are in the DGARS?

            Subpart C_The DoD Grant and Agreement Regulations

21.300 What instruments are subject to the DoD Grant and Agreement 
          Regulations (DoDGARs)?
21.305 What is the purpose of the DoDGARs?
21.310 Who ensures DoD Component compliance with the DoDGARs?
21.315 May DoD Components issue supplemental policies and procedures to 
          implement the DoDGARs?
21.320 Are there areas in which DoD Components must establish policies 
          and procedures to implement the DoDGARs?
21.325 Do acquisition regulations also apply to DoD grants and 
          agreements?
21.330 How are the DoDGARs published and maintained?
21.335 Who can authorize deviations from the DoDGARs?
21.340 What are the procedures for requesting and documenting 
          deviations?

Subpart D_Authorities and Responsibilities for Making and Administering 
                            Assistance Awards

21.400 To what instruments does this subpart apply?
21.405 What is the purpose of this subpart?
21.410 Must a DoD Component have statutory authority to make an 
          assistance award?
21.415 Must the statutory authority specifically mention the use of 
          grants or other assistance instruments?
21.420 Under what types of statutory authorities do DoD Components award 
          assistance instruments?
21.425 How does a DoD Component's authority flow to awarding and 
          administering activities?
21.430 What are the responsibilities of the head of the awarding or 
          administering activity?
21.435 Must DoD Components formally select and appoint grants officers 
          and agreements officers?
21.440 What are the standards for selecting and appointing grants 
          officers and agreements officers?
21.445 What are the requirements for a grants officer's or agreements 
          officer's statement of appointment?
21.450 What are the requirements for a termination of a grants officer's 
          or agreements officer's appointment?
21.455 Who can sign, administer, or terminate assistance instruments?
21.460 What is the extent of grants officers' and agreements officers' 
          authority?
21.465 What are grants officers' and agreements officers' 
          responsibilities?

 Subpart E_Information Reporting on Awards Subject to 31 U.S.C. Chapter 
                                   61

21.500 What is the purpose of this subpart?
21.505 What is the Catalog of Federal Domestic Assistance (CFDA)?
21.510 Why does the DoD report information to the CFDA?
21.515 Who reports the information for the CFDA?
21.520 What are the purposes of the Defense Assistance Awards Data 
          System (DAADS)?
21.525 Who issues policy guidance for the DAADS?
21.530 Who operates the DAADS?
21.535 Do DoD Components have central points for collecting DAADS data?
21.540 What are the duties of the DoD Components' central points for the 
          DAADS?
21.545 Must DoD Components report every obligation to the DAADS?
21.550 Must DoD Components relate reported actions to listings in the 
          CFDA?
21.555 When and how must DoD Components report to the DAADS?
21.560 Must DoD Components assign numbers uniformly to awards?
21.565 Must DoD Components' electronic systems accept Data Universal 
          Numbering System (DUNS) numbers?

                          Subpart F_Definitions

21.605 Acquisition.
21.610 Agreements officer.
21.615 Assistance.

[[Page 59]]

21.620 Award.
21.625 Contract.
21.630 Contracting activity.
21.635 Contracting officer.
21.640 Cooperative agreement.
21.645 Deviation.
21.650 DoD Components.
21.655 Grant.
21.660 Grants officer.
21.665 Nonprocurement instrument.
21.670 Procurement contract.
21.675 Recipient.
21.680 Technology investment agreements.

Appendix A to Part 21--Instruments to Which DoDGARs Portions Apply

    Authority: 5 U.S.C. 301 and 10 U.S.C. 113.

    Source: 68 FR 47153, Aug. 7, 2003, unless otherwise noted.



                         Subpart A_Introduction



Sec. 21.100  What are the purposes of this part?

    This part of the DoD Grant and Agreement Regulations:
    (a) Provides general information about the Defense Grant and 
Agreement Regulatory System (DGARS).
    (b) Sets forth general policies and procedures related to DoD 
Components' overall management of functions related to assistance and 
certain other nonprocurement instruments subject to the DGARS (see Sec. 
21.205(b)).



         Subpart B_Defense Grant and Agreement Regulatory System



Sec. 21.200  What is the Defense Grant and Agreement Regulatory System
(DGARS)?

    The Defense Grant and Agreement Regulatory System (DGARS) is the 
system of regulatory policies and procedures for the award and 
administration of DoD Components' assistance and other nonprocurement 
awards. DoD Directive 3210.6 \1\ established the DGARS.
---------------------------------------------------------------------------

    \1\ Electronic copies may be obtained at the Washington Headquarters 
Services Internet site http://www.dtic.mil/whs/directives. Paper copies 
may be obtained, at cost, from the National Technical Information 
Service, 5285 Port Royal Road, Springfield, VA 22161.
---------------------------------------------------------------------------



Sec. 21.205  What types of instruments are covered by the DGARS?

    The Defense Grant and Agreement Regulatory System (DGARS) applies to 
the following types of funding instruments awarded by DoD Components:
    (a) All grants, cooperative agreements, and technology investment 
agreements.
    (b) Other nonprocurement instruments, as needed to implement 
statutes, Executive orders, or other Federal Governmentwide rules that 
apply to those other nonprocurement instruments, as well as to grants 
and cooperative agreements.



Sec. 21.210  What are the purposes of the DGARS?

    The purposes of the DGARS are to provide uniform policies and 
procedures for DoD Components' awards, in order to meet DoD needs for:
    (a) Efficient program execution, effective program oversight, and 
proper stewardship of Federal funds.
    (b) Compliance with relevant statutes; Executive orders; and 
applicable guidance, such as Office of Management and Budget (OMB) 
circulars.
    (c) Collection from DoD Components, retention, and dissemination of 
management and fiscal data related to awards.



Sec. 21.215  Who is responsible for the DGARS?

    The Director of Defense Research and Engineering, or his or her 
designee, develops and implements DGARS policies and procedures. He or 
she does so by issuing and maintaining the DoD publications that 
comprise the DGARS.



Sec. 21.220  What publications are in the DGARS?

    A DoD publication (DoD 3210.6-R \2\) entitled ``The DoD Grant and 
Agreement Regulations'' is the principal element of the DGARS. The 
Director of Defense Research and Engineering also may publish DGARS 
policies and procedures in DoD instructions and other DoD publications, 
as appropriate.
---------------------------------------------------------------------------

    \2\ See footnote 1 to Sec. 21.200.

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

[[Page 60]]



            Subpart C_The DoD Grant and Agreement Regulations



Sec. 21.300  What instruments are subject to the DoD Grant and 
Agreement Regulations (DoDGARs)?

    (a) The types of instruments that are subject to the DoDGARs vary 
from one portion of the DoDGARs to another. The types of instruments 
include grants, cooperative agreements, and technology investment 
agreements. Some portions of the DoDGARs apply to other types of 
assistance or nonprocurement instruments. The term ``awards,'' as 
defined in subpart D of this part, is used in this part to refer 
collectively to all of the types of instruments that are subject to one 
or more portions of the DoDGARs.
    (b) Note that each portion of the DoDGARs identifies the types of 
instruments to which it applies. However, grants officers and agreements 
officers must exercise caution when determining the applicability of 
some Governmentwide rules that are included within the DoDGARs, because 
a term may be defined differently in a Governmentwide rule than it is 
defined elsewhere in the DoDGARs. One example is part 33 of the DoDGARs 
(32 CFR part 33), which contains administrative requirements for awards 
to State and local governments. That DoDGARs part is the DoD's 
codification of the Governmentwide rule implementing OMB Circular A-102. 
\3\ Part 33 states that it applies to grants, but defines the term 
``grant'' to include cooperative agreements and other forms of financial 
assistance.
---------------------------------------------------------------------------

    \3\ Electronic copies may be obtained at the Internet site http://
www.whitehouse.gov/OMB. For paper copies, contact the Office of 
Management and Budget, EOP Publications, 725 17th St., NW., New 
Executive Office Building, Washington, DC 20503.
---------------------------------------------------------------------------

    (c) For convenience, the table in Appendix A to this part provides 
an overview of the applicability of the various portions of the DoDGARs.



Sec. 21.305  What is the purpose of the DoDGARs?

    The DoD Grant and Agreement Regulations provide uniform policies and 
procedures for the award and administration of DoD Components' awards. 
The DoDGARs are the primary DoD regulations for achieving the DGARS 
purposes described in Sec. 21.210.



Sec. 21.310  Who ensures DoD Component compliance with the DoDGARs?

    The Head of each DoD Component that makes or administers awards, or 
his or her designee, is responsible for ensuring compliance with the 
DoDGARs within that DoD Component.



Sec. 21.315  May DoD Components issue supplemental policies and
procedures to implement the DoDGARs?

    Yes, Heads of DoD Components or their designees may issue 
regulations, procedures, or instructions to implement the DGARS or 
supplement the DoDGARs to satisfy needs that are specific to the DoD 
Component, as long as the regulations, procedures, or instructions do 
not impose additional costs or administrative burdens on recipients or 
potential recipients.



Sec. 21.320  Are there areas in which DoD Components must establish
policies and procedures to implement the DoDGARs?

    Yes, Heads of DoD Components or their designees must establish 
policies and procedures in areas where uniform policies and procedures 
throughout the DoD Component are required, such as for:
    (a) Requesting class deviations from the DoDGARs (see Sec. Sec. 
21.335(b) and 21.340(a)) or exemptions from the provisions of 31 U.S.C. 
6301 through 6308, that govern the appropriate use of contracts, grants, 
and cooperative agreements (see 32 CFR 22.220).
    (b) Designating one or more Grant Appeal Authorities to resolve 
claims, disputes, and appeals (see 32 CFR 22.815).
    (c) Reporting data on assistance awards and programs, as required by 
31 U.S.C. chapter 61 (see subpart E of this part).
    (d) Prescribing requirements for use and disposition of real 
property acquired under awards, if the DoD Component makes any awards to 
institutions of higher education or to other nonprofit organizations 
under which real property is acquired in whole or in

[[Page 61]]

part with Federal funds (see 32 CFR 32.32).



Sec. 21.325  Do acquisition regulations also apply to DoD grants
and agreements?

    Unless the DoDGARs specify that they apply, policies and procedures 
in the following acquisition regulations that apply to procurement 
contracts do not apply to grants, cooperative agreements, technology 
investment agreements, or to other assistance or nonprocurement awards:
    (a) The Federal Acquisition Regulation (FAR)(48 CFR parts 1-53).
    (b) The Defense Federal Acquisition Regulation Supplement (DFARS)(48 
CFR parts 201-270).
    (c) DoD Component supplements to the FAR and DFARS.



Sec. 21.330  How are the DoDGARs published and maintained?

    (a) The DoD publishes the DoDGARs in the Code of Federal Regulations 
(CFR) and in a separate internal DoD document (DoD 3210.6-R).
    (1) The location of the DoDGARs in the CFR currently is in 
transition. They are moving from Chapter I, Subchapter C, Title 32, to a 
new location in Chapter XI, Title 2 of the CFR. During the transition, 
there will be some parts of the DoDGARs in each of the two titles.
    (2) The DoD document is divided into parts, subparts, and sections, 
to parallel the CFR publication. Cross references within the DoD 
document are stated as CFR citations (e.g., a reference to section 
21.215 in part 21 would be to 32 CFR 21.215), which also is how they are 
stated in the CFR publication of the DoDGARs.
    (b) The DoD publishes updates to the DoDGARs in the Federal 
Register. When finalized, the DoD also posts the updates to the internal 
DoD document on the World Wide Web at http://www.dtic.mil /whs/
directives.
    (c) A standing working group recommends revisions to the DoDGARs to 
the Director of Defense Research and Engineering (DDR&E). The DDR&E, 
Director of Defense Procurement, and each Military Department must be 
represented on the working group. Other DoD Components that make or 
administer awards may also nominate representatives. The working group 
meets when necessary.

[68 FR 47153, Aug. 7, 2003, as amended at 72 FR 34986, June 26, 2007]



Sec. 21.335  Who can authorize deviations from the DoDGARs?

    (a) The Head of the DoD Component or his or her designee may 
authorize individual deviations from the DoDGARs, which are deviations 
that affect only one award, if the deviations are not prohibited by 
statute, executive order or regulation.
    (b) The Director of Defense Research and Engineering (DDR&E) or his 
or her designee must approve in advance any class deviation that affects 
more than one award. Note that OMB concurrence also is required for 
class deviations from two parts of the DoDGARs, 32 CFR parts 32 and 33, 
in accordance with 32 CFR 32.4 and 33.6, respectively.



Sec. 21.340  What are the procedures for requesting and documenting
deviations?

    (a) DoD Components must submit copies of justifications and agency 
approvals for individual deviations and written requests for class 
deviations to: Deputy Director of Defense Research and Engineering, 
ATTN: Basic Research, 3080 Defense Pentagon, Washington, DC 20301-3080.
    (b) Grants officers and agreements officers must maintain copies of 
requests and approvals for individual and class deviations in award 
files.



Subpart D_Authorities and Responsibilities for Making and Administering 
                            Assistance Awards



Sec. 21.400  To what instruments does this subpart apply?

    This subpart applies to grants, cooperative agreements, and 
technology investment agreements, which are legal instruments used to 
reflect assistance relationships between the United States Government 
and recipients.

[[Page 62]]



Sec. 21.405  What is the purpose of this subpart?

    This subpart describes the sources and flow of authority to make or 
administer assistance awards, and assigns the broad responsibilities 
associated with DoD Components' use of those instruments.



Sec. 21.410  Must a DoD Component have statutory authority to make
an assistance award?

    Yes, the use of an assistance instrument to carry out a program 
requires authorizing legislation. That is unlike the use of a 
procurement contract, for which Federal agencies have inherent, 
Constitutional authority.



Sec. 21.415  Must the statutory authority specifically mention the
use of grants or other assistance instruments?

    No, the statutory authority described in Sec. 21.410 need not 
specifically say that the purpose of the program is assistance or 
mention the use of any type of assistance instrument. However, the 
intent of the statute must support a judgment that the use of an 
assistance instrument is appropriate. For example, a DoD Component may 
judge that the principal purpose of a program for which it has 
authorizing legislation is assistance, rather than acquisition. The DoD 
Component would properly use an assistance instrument to carry out that 
program, in accordance with 31 U.S.C. chapter 63.



Sec. 21.420  Under what types of statutory authorities do DoD
Components award assistance instruments?

    DoD Components may use assistance instruments under a number of 
statutory authorities that fall into three categories:
    (a) Authorities that statutes provide to the Secretary of Defense. 
These authorities generally are delegated by the Secretary of Defense to 
Heads of DoD Components, usually through DoD directives, instructions, 
or policy memoranda that are not part of the Defense Grant and Agreement 
Regulatory System. Examples of statutory authorities in this category 
are:
    (1) Authority under 10 U.S.C. 2391 to award grants or cooperative 
agreements to help State and local governments alleviate serious 
economic impacts of defense program changes (e.g., base openings and 
closings, contract changes, and personnel reductions and increases).
    (2) Authority under 10 U.S.C. 2413 to enter into cooperative 
agreements with entities that furnish procurement technical assistance 
to businesses.
    (b) Authorities that statutes may provide directly to Heads of DoD 
Components. When a statute authorizes the Head of a DoD Component to use 
a funding instrument to carry out a program with a principal purpose of 
assistance, use of that authority requires no delegation by the 
Secretary of Defense. For example, 10 U.S.C. 2358 authorizes the 
Secretaries of the Military Departments, in addition to the Secretary of 
Defense, to perform research and development projects through grants and 
cooperative agreements. Similarly, 10 U.S.C. 2371 provides authority for 
the Secretaries of the Military Departments and Secretary of Defense to 
carry out basic, applied, or advanced research projects using assistance 
instruments other than grants and cooperative agreements. A Military 
Department's use of the authority of 10 U.S.C. 2358 or 10 U.S.C. 2371 
therefore requires no delegation by the Secretary of Defense.
    (c) Authorities that arise indirectly as the result of statute. For 
example, authority to use an assistance instrument may result from:
    (1) A federal statute authorizing a program that is consistent with 
an assistance relationship (i.e., the support or stimulation of a public 
purpose, rather than the acquisition of a good or service for the direct 
benefit of the Department of Defense). In accordance with 31 U.S.C. 
chapter 63, such a program would appropriately be carried out through 
the use of grants or cooperative agreements. Depending upon the nature 
of the program (e.g., research) and whether the program statute includes 
authority for any specific types of instruments, there also may be 
authority to use other assistance instruments.
    (2) Exemptions requested by the Department of Defense and granted by 
the Office of Management and Budget

[[Page 63]]

under 31 U.S.C. 6307, as described in 32 CFR 22.220.



Sec. 21.425  How does a DoD Component's authority flow to awarding
and administering activities?

    The Head of a DoD Component, or his or her designee, may delegate to 
the heads of contracting activities (HCAs) within the Component, that 
Component's authority to make and administer awards, to appoint grants 
officers and agreements officers (see Sec. Sec. 21.435 through 21.450), 
and to broadly manage the DoD Component's functions related to 
assistance instruments. The HCA is the same official (or officials) 
designated as the head of the contracting activity for procurement 
contracts, as defined at 48 CFR 2.101. The intent is that overall 
management responsibilities for a DoD Component's functions related to 
nonprocurement instruments be assigned only to officials that have 
similar responsibilities for procurement contracts.



Sec. 21.430  What are the responsibilities of the head of the awarding
or administering activity?

    When designated by the Head of the DoD Component or his or her 
designee (see 32 CFR 21.425), the head of the awarding or administering 
activity (i.e., the HCA) is responsible for the awards made by or 
assigned to that activity. He or she must supervise and establish 
internal policies and procedures for that activity's awards.



Sec. 21.435  Must DoD Components formally select and appoint grants
officers and agreements officers?

    Yes, each DoD Component that awards grants or enters into 
cooperative agreements must have a formal process (see Sec. 21.425) for 
selecting and appointing grants officers and for terminating their 
appointments. Similarly, each DoD Component that awards or administers 
technology investment agreements must have a process for selecting and 
appointing agreements officers and for terminating their appointments.



Sec. 21.440  What are the standards for selecting and appointing
grants officers and agreements officers?

    In selecting grants officers and agreements officers, DoD Components 
must use the following minimum standards:
    (a) In selecting a grants officer, the appointing official must 
judge whether the candidate has the necessary experience, training, 
education, business acumen, judgment, and knowledge of assistance 
instruments and contracts to function effectively as a grants officer. 
The appointing official also must take those attributes of the candidate 
into account when deciding the complexity and dollar value of the grants 
and cooperative agreements to be assigned.
    (b) In selecting an agreements officer, the appointing official must 
consider all of the same factors as in paragraph (a) of this section. In 
addition, the appointing official must consider the candidate's ability 
to function in the less structured environment of technology investment 
agreements, where the rules provide more latitude and the individual 
must have a greater capacity for exercising judgment. Agreements 
officers therefore should be individuals who have demonstrated expertise 
in executing complex assistance and acquisition instruments.



Sec. 21.445  What are the requirements for a grants officer's or
agreements officer's statement of appointment?

    A statement of a grants officer's or agreements officer's 
appointment:
    (a) Must be in writing.
    (b) Must clearly state the limits of the individual's authority, 
other than limits contained in applicable laws or regulations. 
Information on those limits of a grants officer's or agreements 
officer's authority must be readily available to the public and agency 
personnel.
    (c) May, if the individual is a contracting officer, be incorporated 
into his or her statement of appointment as a contracting officer (i.e., 
there does not need to be a separate written statement of appointment 
for assistance instruments).

[[Page 64]]



Sec. 21.450  What are the requirements for a termination of a grants
officer's or agreements officer's appointment?

    A termination of a grants officer's or agreements officer's 
authority:
    (a) Must be in writing, unless the written statement of appointment 
provides for automatic termination.
    (b) May not be retroactive.
    (c) May be integrated into a written termination of the individual's 
appointment as a contracting officer, as appropriate.



Sec. 21.455  Who can sign, administer, or terminate assistance
instruments?

    Only grants officers are authorized to sign, administer, or 
terminate grants or cooperative agreements (other than technology 
investment agreements) on behalf of the Department of Defense. 
Similarly, only agreements officers may sign, administer, or terminate 
technology investment agreements.



Sec. 21.460  What is the extent of grants officers' and agreements 
officers' authority?

    Grants officers and agreements officers may bind the Government only 
to the extent of the authority delegated to them in their written 
statements of appointment (see Sec. 21.445).



Sec. 21.465  What are grants officers' and agreements officers' 
responsibilities?

    Grants officers and agreements officers should be allowed wide 
latitude to exercise judgment in performing their responsibilities, 
which are to ensure that:
    (a) Individual awards are used effectively in the execution of DoD 
programs, and are made and administered in accordance with applicable 
laws, Executive orders, regulations, and DoD policies.
    (b) Sufficient funds are available for obligation.
    (c) Recipients of awards receive impartial, fair, and equitable 
treatment.



 Subpart E_Information Reporting on Awards Subject to 31 U.S.C. Chapter 
                                   61



Sec. 21.500  What is the purpose of this subpart?

    This subpart prescribes policies and procedures for compiling and 
reporting data related to DoD awards and programs that are subject to 
information reporting requirements of 31 U.S.C. chapter 61. That chapter 
of the U.S. Code requires the Office of Management and Budget to 
maintain a Governmentwide information system to collect data on Federal 
agencies' domestic assistance awards and programs.



Sec. 21.505  What is the Catalog of Federal Domestic Assistance
(CFDA)?

    The Catalog of Federal Domestic Assistance (CFDA) is a 
Governmentwide compilation of information about domestic assistance 
programs. It covers all domestic assistance programs and activities, 
regardless of the number of awards made under the program, the total 
dollar value of assistance provided, or the duration. In addition to 
programs using grants and agreements, covered programs include those 
providing assistance in other forms, such as payments in lieu of taxes 
or indirect assistance resulting from Federal operations.



Sec. 21.510  Why does the DoD report information to the CFDA?

    The Federal Program Information Act (31 U.S.C. 6101 through 6106), 
as implemented through OMB Circular A-89, \4\ requires the Department of 
Defense and other Federal agencies to provide certain information about 
their domestic assistance programs to the OMB and the General Services 
Administration (GSA). The GSA makes this information available to the 
public by publishing it in the Catalog of Federal Domestic Assistance 
(CFDA) and maintaining the Federal Assistance Programs Retrieval System, 
a computerized data base of the information.
---------------------------------------------------------------------------

    \4\ See footnote 3 to Sec. 21.300(b).

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

[[Page 65]]



Sec. 21.515  Who reports the information for the CFDA?

    (a) Each DoD Component that provides domestic financial assistance 
must:
    (1) Report to the Director of Information, Operations and Reports, 
Washington Headquarters Services (DIOR, WHS) all new programs and 
changes as they occur or as the DoD Component submits its annual updates 
to existing CFDA information.
    (2) Identify to the DIOR, WHS a point-of-contact who will be 
responsible for reporting the program information and for responding to 
inquiries related to it.
    (b) The DIOR, WHS is the Department of Defense's single office for 
collecting, compiling and reporting such program information to the OMB 
and GSA.



Sec. 21.520  What are the purposes of the Defense Assistance Awards 
Data System (DAADS)?

    Data from the Defense Assistance Awards Data System (DAADS) are used 
to provide:
    (a) DoD inputs to meet statutory requirements for Federal 
Governmentwide reporting of data related to obligations of funds by 
assistance instrument.
    (b) A basis for meeting Governmentwide requirements to report to the 
Federal Assistance Awards Data System (FAADS) maintained by the 
Department of Commerce and for preparing other recurring and special 
reports to the President, the Congress, the General Accounting Office, 
and the public.
    (c) Information to support policy formulation and implementation and 
to meet management oversight requirements related to the use of awards.



Sec. 21.525  Who issues policy guidance for the DAADS?

    The Deputy Director, Defense Research and Engineering (DDDR&E), or 
his or her designee, issues necessary policy guidance for the Defense 
Assistance Awards Data System.



Sec. 21.530  Who operates the DAADS?

    The Director of Information Operations and Reports, Washington 
Headquarters Services (DIOR, WHS), consistent with guidance issued by 
the DDDR&E:
    (a) Processes DAADS information on a quarterly basis and prepares 
recurring and special reports using such information.
    (b) Prepares, updates, and disseminates instructions for reporting 
information to the DAADS. The instructions are to specify procedures, 
formats, and editing processes to be used by DoD Components, including 
record layout, submission deadlines, media, methods of submission, and 
error correction schedules.



Sec. 21.535  Do DoD Components have central points for collecting 
DAADS data?

    Each DoD Component must have a central point for collecting DAADS 
information from contracting activities within that DoD Component. The 
central points are as follows:
    (a) For the Army: As directed by the U.S. Army Contracting Support 
Agency.
    (b) For the Navy: As directed by the Office of Naval Research.
    (c) For the Air Force: As directed by the Office of the Secretary of 
the Air Force, Acquisition Contracting Policy and Implementation 
Division (SAF/AQCP).
    (d) For the Office of the Secretary of Defense, Defense Agencies, 
and DoD Field Activities: Each Defense Agency must identify a central 
point for collecting and reporting DAADS information to the DIOR, WHS, 
at the address given in Sec. 21.555(a). DIOR, WHS serves as the central 
point for offices and activities within the Office of the Secretary of 
Defense and for DoD Field Activities.



Sec. 21.540  What are the duties of the DoD Components' central points
for the DAADS?

    The office that serves, in accordance with Sec. 21.535, as the 
central point for collecting DAADS information from contracting 
activities within each DoD Component must:
    (a) Establish internal procedures to ensure reporting by contracting 
activities that make awards subject to 31 U.S.C. chapter 61.

[[Page 66]]

    (b) Collect information required by DD Form 2566, \5\ ``DoD 
Assistance Award Action Report,'' from those contracting activities, and 
report it to DIOR, WHS, in accordance with Sec. Sec. 21.545 through 
21.555.
---------------------------------------------------------------------------

    \5\ Department of Defense forms are available at Internet site 
http://www.dior.whs.mil/ICDHOME/FORMTAB.HTM.
---------------------------------------------------------------------------

    (c) Submit to the DIOR, WHS, any recommended changes to the DAADS.



Sec. 21.545  Must DoD Components report every obligation to the DAADS?

    Yes, DoD Components' central points must collect and report the data 
required by the DD Form 2566 for each individual action that involves 
the obligation or deobligation of Federal funds for an award that is 
subject to 31 U.S.C. chapter 61.



Sec. 21.550  Must DoD Components relate reported actions to listings 
in the CFDA?

    Yes, DoD Components' central points must report each action as an 
obligation or deobligation under a specific programmatic listing in the 
Catalog of Federal Domestic Assistance (CFDA, see Sec. 21.505). The 
programmatic listing to be shown is the one that provided the funds 
being obligated or deobligated. For example, if a grants officer or 
agreements officer in one DoD Component obligates appropriations of a 
second DoD Component's programmatic listing, the grants officer or 
agreements officer must show the CFDA programmatic listing of the second 
DoD Component on the DD Form 2566.



Sec. 21.555  When and how must DoD Components report to the DAADS?

    DoD Components' central points must report:
    (a) On a quarterly basis to DIOR, WHS. For the first three quarters 
of the Federal fiscal year, the data are due by close-of-business (COB) 
on the 15th day after the end of the quarter (i.e., first-quarter data 
are due by COB on January 15th, second-quarter data by COB April 15th, 
and third-quarter data by COB July 15th). Fourth-quarter data are due by 
COB October 25th, the 25th day after the end of the quarter. If any due 
date falls on a weekend or holiday, the data are due on the next regular 
workday. The mailing address for DIOR, WHS is 1215 Jefferson Davis 
Highway, Suite 1204, Arlington, VA 22202-4302.
    (b) On a floppy diskette or by other means permitted either by the 
instructions described in Sec. 21.530(b) or by agreement with the DIOR, 
WHS. The data must be reported in the format specified in the 
instructions.



Sec. 21.560  Must DoD Components assign numbers uniformly to awards?

    Yes, DoD Components must assign identifying numbers to all awards 
subject to this subpart, including grants, cooperative agreements, and 
technology investment agreements. The uniform numbering system parallels 
the procurement instrument identification (PII) numbering system 
specified in 48 CFR 204.70 (in the ``Defense Federal Acquisition 
Regulation Supplement''), as follows:
    (a) The first six alphanumeric characters of the assigned number 
must be identical to those specified by 48 CFR 204.7003(a)(1) to 
identify the DoD Component and contracting activity.
    (b) The seventh and eighth positions must be the last two digits of 
the fiscal year in which the number is assigned to the grant, 
cooperative agreement, or other nonprocurement instrument.
    (c) The 9th position must be a number:
    (1) ``1'' for grants.
    (2) ``2'' for cooperative agreements, including technology 
investment agreements that are cooperative agreements (see Appendix B to 
32 CFR part 37).
    (3) ``3'' for other nonprocurement instruments, including technology 
investment agreements that are not cooperative agreements.
    (d) The 10th through 13th positions must be the serial number of the 
instrument. DoD Components and contracting activities need not follow 
any specific pattern in assigning these numbers and may create multiple 
series of letters and numbers to meet internal needs for distinguishing 
between various sets of awards.

[[Page 67]]



Sec. 21.565  Must DoD Components' electronic systems accept Data
Universal Numbering System (DUNS) numbers?

    The DoD Components must comply with paragraph 5.e of the Office of 
Management and Budget (OMB) policy directive entitled, ``Requirement for 
a DUNS number in Applications for Federal Grants and Cooperative 
Agreements.'' \6\ Paragraph 5.e requires electronic systems that handle 
information about grants and cooperative agreements (which, for the DoD, 
include Technology Investment Agreements) to accept DUNS numbers. Each 
DoD Component that awards or administers grants or cooperative 
agreements must ensure that DUNS numbers are accepted by each such 
system for which the DoD Component controls the system specifications. 
If the specifications of such a system are subject to another 
organization's control and the system can not accept DUNS numbers, the 
DoD Component must alert that organization to the OMB policy directive's 
requirement for use of DUNS numbers with a copy to: Director for Basic 
Sciences, ODDR&E, 3040 Defense Pentagon, Washington, DC 20301-3040.
---------------------------------------------------------------------------

    \6\ This OMB policy directive is available at the Internet site 
http://www.whitehouse.gov/omb/grants/grants--docs.html.

[72 FR 34986, June 26, 2007]



                          Subpart F_Definitions



Sec. 21.605  Acquisition.

    The acquiring (by purchase, lease, or barter) of property or 
services for the direct benefit or use of the United States Government 
(see more detailed definition at 48 CFR 2.101). In accordance with 31 
U.S.C. 6303, procurement contracts are the appropriate legal instruments 
for acquiring such property or services.



Sec. 21.610  Agreements officer.

    An official with the authority to enter into, administer, and/or 
terminate technology investment agreements.



Sec. 21.615  Assistance.

    The transfer of a thing of value to a recipient to carry out a 
public purpose of support or stimulation authorized by a law of the 
United States (see 31 U.S.C. 6101(3)). Grants, cooperative agreements, 
and technology investment agreements are examples of legal instruments 
used to provide assistance.



Sec. 21.620  Award.

    A grant, cooperative agreement, technology investment agreement, or 
other nonprocurement instrument subject to one or more parts of the DoD 
Grant and Agreement Regulations (see appendix A to this part).



Sec. 21.625  Contract.

    See the definition for procurement contract in this subpart.



Sec. 21.630  Contracting activity.

    An activity to which the Head of a DoD Component has delegated broad 
authority regarding acquisition functions, pursuant to 48 CFR 1.601.



Sec. 21.635  Contracting officer.

    A person with the authority to enter into, administer, and/or 
terminate contracts and make related determinations and findings. A more 
detailed definition of the term appears at 48 CFR 2.101.



Sec. 21.640  Cooperative agreement.

    A legal instrument which, consistent with 31 U.S.C. 6305, is used to 
enter into the same kind of relationship as a grant (see definition 
``grant''), except that substantial involvement is expected between the 
Department of Defense and the recipient when carrying out the activity 
contemplated by the cooperative agreement. The term does not include 
``cooperative research and development agreements'' as defined in 15 
U.S.C. 3710a.



Sec. 21.645  Deviation.

    The issuance or use of a policy or procedure that is inconsistent 
with the DoDGARs.



Sec. 21.650  DoD Components.

    The Office of the Secretary of Defense, the Military Departments, 
the

[[Page 68]]

Defense Agencies, and DoD Field Activities.



Sec. 21.655  Grant.

    A legal instrument which, consistent with 31 U.S.C. 6304, is used to 
enter into a relationship:
    (a) Of which the principal purpose is to transfer a thing of value 
to the recipient to carry out a public purpose of support or stimulation 
authorized by a law of the United States, rather than to acquire 
property or services for the Department of Defense's direct benefit or 
use.
    (b) In which substantial involvement is not expected between the 
Department of Defense and the recipient when carrying out the activity 
contemplated by the grant.



Sec. 21.660  Grants officer.

    An official with the authority to enter into, administer, and/or 
terminate grants or cooperative agreements.



Sec. 21.665  Nonprocurement instrument.

    A legal instrument other than a procurement contract. Examples 
include instruments of financial assistance, such as grants or 
cooperative agreements, and those of technical assistance, which provide 
services in lieu of money.



Sec. 21.670  Procurement contract.

    A legal instrument which, consistent with 31 U.S.C. 6303, reflects a 
relationship between the Federal Government and a State, a local 
government, or other recipient when the principal purpose of the 
instrument is to acquire property or services for the direct benefit or 
use of the Federal Government. See the more detailed definition for 
contract at 48 CFR 2.101.



Sec. 21.675  Recipient.

    An organization or other entity receiving an award from a DoD 
Component.



Sec. 21.680  Technology investment agreements.

    A special class of assistance instruments used to increase 
involvement of commercial firms in defense research programs and for 
other purposes related to integrating the commercial and defense sectors 
of the nation's technology and industrial base. Technology investment 
agreements include one kind of cooperative agreement with provisions 
tailored for involving commercial firms, as well as one kind of other 
assistance transaction. Technology investment agreements are described 
more fully in 32 CFR part 37.

[[Page 69]]



 Sec. Appendix A to Part 21--Instruments to Which DoDGARs Portions Apply
[GRAPHIC] [TIFF OMITTED] TR26JN07.007


[72 FR 34986, June 26, 2007]

[[Page 70]]



PART 22_DoD GRANTS AND AGREEMENTS_AWARD AND ADMINISTRATION--
Table of Contents



                            Subpart A_General

Sec.
22.100 Purpose, relation to other parts, and organization.
22.105 Definitions.

             Subpart B_Selecting the Appropriate Instrument

22.200 Purpose.
22.205 Distinguishing assistance from procurement.
22.210 Authority for providing assistance.
22.215 Distinguishing grants and cooperative agreements.
22.220 Exemptions.

                          Subpart C_Competition

22.300 Purpose.
22.305 General policy and requirement for competition.
22.310 Statutes concerning certain research, development, and facilities 
          construction grants.
22.315 Merit-based, competitive procedures.
22.320 Special competitions.
22.325 Historically Black colleges and universities (HBCUs) and other 
          minority institutions (MIs).

     Subpart D_Recipient Qualification Matters_General Policies and 
                               Procedures

22.400 Purpose.
22.405 Policy.
22.410 Grants officers' responsibilities.
22.415 Standards.
22.420 Pre-award procedures.

                    Subpart E_National Policy Matters

22.505 Purpose.
22.510 Certifications, representations, and assurances.
22.515 Provisions of annual appropriations acts.
22.520 Campus access for military recruiting and Reserve Officer 
          Training Corps (ROTC).
22.525 Paperwork Reduction Act.
22.530 Metric system of measurement.

                             Subpart F_Award

22.600 Purpose.
22.605 Grants officers' responsibilities.
22.610 Award instruments.

                     Subpart G_Field Administration

22.700 Purpose.
22.705 Policy.
22.710 Assignment of grants administration offices.
22.715 Grants administration office functions.

                   Subpart H_Post-Award Administration

22.800 Purpose and relation to other parts.
22.805 Post-award requirements in other parts.
22.810 Payments.
22.815 Claims, disputes, and appeals.
22.820 Debt collection.
22.825 Closeout audits.

Appendix A to Part 22--Proposal Provision for Required Certification.
Appendix B to Part 22--Suggested Award Provisions for National Policy 
          Requirements That Often Apply.
Appendix C to Part 22--Administrative Requirements and Issues To Be 
          Addressed in Award Terms and Conditions.

    Authority: 5 U.S.C. 301 and 10 U.S.C. 113.

    Source: 63 FR 12164, Mar. 12, 1998, unless otherwise noted.



                            Subpart A_General



Sec. 22.100  Purpose, relation to other parts, and organization.

    (a) This part outlines grants officers' and DoD Components' 
responsibilities related to the award and administration of grants and 
cooperative agreements.
    (b) In doing so, it also supplements other parts of the DoD Grant 
and Agreement Regulations (DoDGARs) that are either Governmentwide rules 
or DoD implementation of Governmentwide guidance in Office of Management 
and Budget (OMB) Circulars. Those other parts of the DoDGARs, which are 
referenced as appropriate in this part, are:
    (1) The DoD implementation, in 2 CFR part 1125, of OMB guidance on 
nonprocurement debarment and suspension.
    (2) The Governmentwide rule on drug-free workplace requirements, in 
32 CFR part 26.
    (3) The Governmentwide rule on lobbying restrictions, in 32 CFR part 
28.
    (4) Administrative requirements for grants and agreements awarded to 
specific types of recipients:

[[Page 71]]

    (i) For State and local governmental organizations, in the 
Governmentwide rule at 32 CFR part 33.
    (ii) For institutions of higher education and other nonprofit 
organizations, at 32 CFR part 32.
    (iii) For for-profit organizations, at 32 CFR part 34.
    (c) The organization of this part parallels the award and 
administration process, from pre-award through post-award matters. It 
therefore is organized in the same manner as the parts of the DoDGARs 
(32 CFR parts 32, 33, and 34) that prescribe administrative requirements 
for specific types of recipients.

[63 FR 12164, Mar. 12, 1998, as amended at 70 FR 49464, Aug. 23, 2005; 
72 FR 34988, June 26, 2007]



Sec. 22.105  Definitions.

    Other than the terms defined in this section, terms used in this 
part are defined in 32 CFR part 21, subpart F.
    Administrative offset. An action whereby money payable by the United 
States Government to, or held by the Government for, a recipient is 
withheld to satisfy a delinquent debt the recipient owes the Government.
    Advanced research. Advanced technology development that creates new 
technology or demonstrates the viability of applying existing technology 
to new products and processes in a general way. Advanced research is 
most closely analogous to precompetitive technology development in the 
commercial sector (i.e., early phases of research and development on 
which commercial competitors are willing to collaborate, because the 
work is not so coupled to specific products and processes that the 
results of the work must be proprietary). It does not include 
development of military systems and hardware where specific requirements 
have been defined. It is typically funded in Advanced Technology 
Development (Budget Activity 3 and Research Category 6.3A) programs 
within Research, Development, Test and Evaluation (RDT&E).
    Applied research. Efforts that attempt to determine and exploit the 
potential of scientific discoveries or improvements in technology such 
as new materials, devices, methods and processes. It typically is funded 
in Applied Research (Budget Activity 2 and Research Category 6.2) 
programs within Research, Development, Test and Evaluation (RDT&E). 
Applied research normally follows basic research but may not be fully 
distinguishable from the related basic research. The term does not 
include efforts whose principal aim is the design, development, or 
testing of specific products, systems or processes to be considered for 
sale or acquisition; these efforts are within the definition of 
``development.''
    Basic research. Efforts directed toward increasing knowledge and 
understanding in science and engineering, rather than the practical 
application of that knowledge and understanding. It typically is funded 
within Basic Research (Budget Activity 1 and Research Category 6.1) 
programs within Research, Development, Test and Evaluation (RDT&E). For 
the purposes of this part, basic research includes:
    (1) Research-related, science and engineering education, including 
graduate fellowships and research traineeships.
    (2) Research instrumentation and other activities designed to 
enhance the infrastructure for science and engineering research.
    Claim. A written demand or written assertion by one of the parties 
to a grant or cooperative agreement seeking as a matter of right, the 
payment of money in a sum certain, the adjustment or interpretation of 
award terms, or other relief arising under or relating to a grant or 
cooperative agreement. A routine request for payment that is not in 
dispute when submitted is not a claim. The submission may be converted 
to a claim by written notice to the grants officer if it is disputed 
either as to liability or amount, or is not acted upon in a reasonable 
time.
    Debt. Any amount of money or any property owed to a Federal Agency 
by any person, organization, or entity except another United States 
Federal Agency. Debts include any amounts due from insured or guaranteed 
loans, fees, leases, rents, royalties, services, sales of real or 
personal property, or overpayments, penalties, damages, interest, fines 
and forfeitures, and all other claims and similar sources.

[[Page 72]]

Amounts due a nonappropriated fund instrumentality are not debts owed 
the United States, for the purposes of this subchapter.
    Delinquent debt. A debt:
    (1) That the debtor fails to pay by the date specified in the 
initial written notice from the agency owed the debt, normally within 30 
calendar days, unless the debtor makes satisfactory payment arrangements 
with the agency by that date; and
    (2) With respect to which the debtor has elected not to exercise any 
available appeals or has exhausted all agency appeal processes.
    Development. The systematic use of scientific and technical 
knowledge in the design, development, testing, or evaluation of 
potential new products, processes, or services to meet specific 
performance requirements or objectives. It includes the functions of 
design engineering, prototyping, and engineering testing.
    Electronic commerce. The conduct of business through the use of 
automation and electronic media, in lieu of paper transactions, direct 
personal contact, telephone, or other means. For grants and cooperative 
agreements, electronic commerce can include the use of electronic data 
interchange, electronic mail, electronic bulletin board systems, and 
electronic funds transfer for: program announcements or solicitations; 
applications or proposals; award documents; recipients' requests for 
payment; payment authorizations; and payments.
    Electronic data interchange. The exchange of standardized 
information communicated electronically between business partners, 
typically between computers. It is DoD policy that DoD Component EDI 
applications conform to the American National Standards Institute 
(ANSI), Accredited Standards Committee (ASC) X-12 standard. \1\
---------------------------------------------------------------------------

    \1\ Available from Accredited Standards Committee, X-12 Secretariat, 
Data Interchange Standards Association, 1800 Diagonal Road, Suite 355, 
Alexandria, VA 22314-2852; Attention: Manager Maintenance and 
Publications.
---------------------------------------------------------------------------

    Electronic funds transfer. A system that provides the authority to 
debit or credit accounts in financial institutions by electronic means 
rather than source documents (e.g., paper checks). Processing typically 
occurs through the Federal Reserve System and/or the Automated Clearing 
House (ACH) computer network. It is DoD policy that DoD Component EFT 
transmissions conform to the American National Standards Institute 
(ANSI), Accredited Standards Committee (ASC) X-12 standard.
    Historically Black colleges and universities. Institutions of higher 
education determined by the Secretary of Education to meet the 
requirements of 34 CFR 608.2. Each DoD Component's contracting 
activities and grants officers may obtain a list of historically Black 
colleges and universities from that DoD Component's Small and 
Disadvantaged Business Utilization office.
    Institution of higher education. An educational institution that 
meets the criteria in section 1201(a) of the Higher Education Act of 
1965 (20 U.S.C. 1141(a)). Note, however, that institution of higher 
education has a different meaning in Sec. 22.520, as given at Sec. 
22.520(b)(2).
    Minority institutions. Institutions of higher education that meet 
the criteria for minority institutions specified in 10 U.S.C. 2323. Each 
DoD Component's contracting activities and grants officers may obtain 
copies of a current list of institutions that qualify as minority 
institutions under 10 U.S.C. 2323 from that DoD Component's Small and 
Disadvantaged Business Utilization office (the list of minority 
institutions changes periodically, based on Department of Education data 
on institutions' enrollments of minority students).
    Research. Basic, applied, and advanced research, as defined in this 
section.
    Subaward. An award of financial assistance in the form of money, or 
property in lieu of money, made under a DoD grant or cooperative 
agreement by a recipient to an eligible subrecipient. The term includes 
financial assistance for substantive program performance by the 
subrecipient of a portion of the program for which the DoD grant or 
cooperative agreement was made. It

[[Page 73]]

does not include the recipient's procurement of goods and services 
needed to carry out the program.

[63 FR 12164, Mar. 12, 1998, as amended at 68 FR 47160, Aug. 7, 2003]



             Subpart B_Selecting the Appropriate Instrument



Sec. 22.200  Purpose.

    This subpart provides the bases for determining the appropriate type 
of instrument in a given situation.



Sec. 22.205  Distinguishing assistance from procurement.

    Before using a grant or cooperative agreement, the grants officer 
shall make a positive judgment that an assistance instrument, rather 
than a procurement contract, is the appropriate instrument, based on the 
following:
    (a) Purpose. (1) The grants officer must judge that the principal 
purpose of the activity to be carried out under the instrument is to 
stimulate or support a public purpose (i.e., to provide assistance), 
rather than acquisition (i.e., to acquire goods and services for the 
direct benefit of the United States Government). If the principal 
purpose is acquisition, then the grants officer shall judge that a 
procurement contract is the appropriate instrument, in accordance with 
31 U.S.C. chapter 63 (``Using Procurement Contracts and Grant and 
Cooperative Agreements''). Assistance instruments shall not be used in 
such situations, except:
    (i) When a statute specifically provides otherwise; or
    (ii) When an exemption is granted, in accordance with Sec. 22.220.
    (2) For research and development, the appropriate use of grants and 
cooperative agreements therefore is almost exclusively limited to the 
performance of selected basic, applied, and advanced research projects. 
Development projects nearly always shall be performed by contract or 
other acquisition transaction because their principal purpose is the 
acquisition of specific deliverable items (e.g., prototypes or other 
hardware) for the benefit of the Department of Defense.
    (b) Fee or profit. Payment of fee or profit is consistent with an 
activity whose principal purpose is the acquisition of goods and 
services for the direct benefit or use of the United States Government, 
rather than an activity whose principal purpose is assistance. 
Therefore, the grants officer shall use a procurement contract, rather 
than an assistance instrument, in all cases where:
    (1) Fee or profit is to be paid to the recipient of the instrument; 
or
    (2) The instrument is to be used to carry out a program where fee or 
profit is necessary to achieving program objectives.



Sec. 22.210  Authority for providing assistance.

    (a) Before a grant or cooperative agreement may be used, the grants 
officer must:
    (1) Identify the program statute, the statute that authorizes the 
DoD Component to carry out the activity the principal purpose of which 
is assistance (see 32 CFR 21.410 through 21.420.
    (2) Review the program statute to determine if it contains 
requirements that affect the:
    (i) Solicitation, selection, and award processes. For example, 
program statutes may authorize assistance to be provided only to certain 
types of recipients; may require that recipients meet certain other 
criteria to be eligible to receive assistance; or require that a 
specific process shall be used to review recipients' proposals.
    (ii) Terms and conditions of the award. For example, some program 
statutes require a specific level of cost sharing or matching.
    (b) The grants officer shall ensure that the award of DoD 
appropriations through a grant or cooperative agreement for a research 
project meets the standards of 10 U.S.C. 2358, DoD's broad authority to 
carry out research, even if the research project is authorized under a 
statutory authority other than 10 U.S.C. 2358. The standards of 10 
U.S.C. 2358 are that, in the opinion of the Head of the DoD Component or 
his or her designee, the projects must be:
    (1) Necessary to the responsibilities of the DoD Component.

[[Page 74]]

    (2) Related to weapons systems and other military needs or of 
potential interest to the DoD Component.

[63 FR 12164, Mar. 12, 1998, as amended at 68 FR 47160, Aug. 7, 2003]



Sec. 22.215  Distinguishing grants and cooperative agreements.

    (a) Once a grants officer judges, in accordance with Sec. Sec. 
22.205 and 22.210, that either a grant or cooperative agreement is the 
appropriate instrument, the grants officer shall distinguish between the 
two instruments as follows:
    (1) Grants shall be used when the grants officer judges that 
substantial involvement is not expected between the Department of 
Defense and the recipient when carrying out the activity contemplated in 
the agreement.
    (2) Cooperative agreements shall be used when the grants officer 
judges that substantial involvement is expected. The grants officer 
should document the nature of the substantial involvement that led to 
selection of a cooperative agreement. Under no circumstances are 
cooperative agreements to be used solely to obtain the stricter controls 
typical of a contract.
    (b) In judging whether substantial involvement is expected, grants 
officers should recognize that ``substantial involvement'' is a 
relative, rather than an absolute, concept, and that it is primarily 
based on programmatic factors, rather than requirements for grant or 
cooperative agreement award or administration. For example, substantial 
involvement may include collaboration, participation, or intervention in 
the program or activity to be performed under the award.



Sec. 22.220  Exemptions.

    Under 31 U.S.C. 6307, ``the Director of the Office of Management and 
Budget may exempt an agency transaction or program'' from the 
requirements of 31 U.S.C. chapter 63. Grants officers shall request such 
exemptions only in exceptional circumstances. Each request shall specify 
for which individual transaction or program the exemption is sought; the 
reasons for requesting an exemption; the anticipated consequences if the 
exemption is not granted; and the implications for other agency 
transactions and programs if the exemption is granted. The procedures 
for requesting exemptions shall be:
    (a) In cases where 31 U.S.C. chapter 63 would require use of a 
contract and an exemption from that requirement is desired:
    (1) The grants officer shall submit a request for exemption, through 
appropriate channels established by his or her DoD Component (see 32 CFR 
21.320(a)), to the Director of Defense Procurement and Acquisition 
Policy (DDP&AP).
    (2) The DDP&AP, after coordination with the Director of Defense 
Research and Engineering (DDR&E), shall transmit the request to OMB or 
notify the DoD Component that the request has been disapproved.
    (b) In other cases, the DoD Component shall submit a request for the 
exemption through appropriate channels to the DDR&E. The DDR&E shall 
transmit the request to OMB or notify the DoD Component that the request 
has been disapproved.
    (c) Where an exemption is granted, documentation of the approval 
shall be maintained in the award file.

[63 FR 12164, Mar. 12, 1998, as amended at 68 FR 47160, Aug. 7, 2003; 70 
FR 49464, Aug. 23, 2005]



                          Subpart C_Competition



Sec. 22.300  Purpose.

    This subpart establishes DoD policy and implements statutes related 
to the use of competitive procedures in the award of grants and 
cooperative agreements.



Sec. 22.305  General policy and requirement for competition.

    (a) It is DoD policy to maximize use of competition in the award of 
grants and cooperative agreements. This also conforms with:
    (1) 31 U.S.C. 6301(3), which encourages the use of competition in 
awarding all grants and cooperative agreements.
    (2) 10 U.S.C. 2374(a), which sets out Congressional policy that any 
new grant for research, development, test, or evaluation be awarded 
through merit-based selection procedures.

[[Page 75]]

    (b) Grants officers shall use merit-based, competitive procedures 
(as defined by Sec. 22.315) to award grants and cooperative agreements:
    (1) In every case where required by statute (e.g., 10 U.S.C. 2361, 
as implemented in Sec. 22.310, for certain grants to institutions of 
higher education).
    (2) To the maximum extent practicable in all cases where not 
required by statute.



Sec. 22.310  Statutes concerning certain research, development,
and facilities construction grants.

    (a) Definitions specific to this section. For the purposes of 
implementing the requirements of 10 U.S.C. 2374 in this section, the 
following terms are defined:
    (1) Follow-on grant. A grant that provides for continuation of 
research and development performed by a recipient under a preceding 
grant. Note that follow-on grants are distinct from incremental funding 
actions during the period of execution of a multi-year award.
    (2) New grant. A grant that is not a follow-on grant.
    (b) Statutory requirement to use competitive procedures. (1) A 
grants officer shall not award a grant by other than merit-based, 
competitive procedures (as defined by Sec. 22.315) to an institution of 
higher education for the performance of research and development or for 
the construction of research or other facilities, unless:
    (i) In the case of a new grant for research and development, there 
is a statute meeting the criteria in paragraph (c)(1) of this section;
    (ii) In the case of a follow-on grant for research and development, 
or of a grant for the construction of research or other facilities, 
there is a statute meeting the criteria in paragraph (c)(2) of this 
section; and
    (iii) The Secretary of Defense submits to Congress a written notice 
of intent to make the grant. The grant may not be awarded until 180 
calendar days have elapsed after the date on which Congress received the 
notice of intent. Contracting activities must submit a draft notice of 
intent with supporting documentation through channels to the Deputy 
Director, Defense Research and Engineering.
    (2) Because subsequently enacted statutes may, by their terms, 
impose different requirements than set out in paragraph (b)(1) of this 
section, grants officers shall consult legal counsel on a case-by-case 
basis, when grants for the performance of research and development or 
for the construction of research or other facilities are to be awarded 
to institutions of higher education by other than merit-based 
competitive procedures.
    (c) Subsequent statutes. In accordance with 10 U.S.C. 2361 and 10 
U.S.C. 2374, a provision of law may not be construed as requiring the 
award of a grant through other than the merit-based, competitive 
procedures described in Sec. 22.315, unless:
    (1) Institutions of higher education--new grants for research and 
development. In the case of a new grant for research and development to 
an institution of higher education, such provision of law specifically:
    (i) Identifies the particular institution of higher education 
involved;
    (ii) States that such provision of law modifies or supersedes the 
provisions of 10 U.S.C. 2361 (a requirement that applies only if the 
statute authorizing or requiring award by other than competitive 
procedures was enacted after September 30, 1989); and
    (iii) States that the award to the institution of higher education 
involved is required by such provision of law to be made in 
contravention of the policy set forth in 10 U.S.C. 2374(a).
    (2) Institutions of higher education--follow-on grants for research 
and development and grants for the construction of any research or other 
facility. In the case of any such grant to an institution of higher 
education, such provision of law specifically:
    (i) Identifies the particular institution of higher education 
involved; and
    (ii) States that such provision of law modifies or supersedes the 
provisions of 10 U.S.C. 2361 (a requirement that applies only if the 
statute authorizing or requiring award by other than competitive 
procedures was enacted after September 30, 1989).
    (3) Other entities--new grants for research and development--(i) 
General. In

[[Page 76]]

the case of a new grant for research and development to an entity other 
than an institution of higher education, such provision of law 
specifically:
    (A) Identifies the particular entity involved;
    (B) States that the award to that entity is required by such 
provision of law to be made in contravention of the policy set forth in 
10 U.S.C. 2374(a).
    (ii) Exception. The requirement of paragraph (c)(3)(i) of this 
section does not apply to any grant that calls upon the National Academy 
of Sciences to:
    (A) Investigate, examine, or experiment upon any subject of science 
or art of significance to the Department of Defense or any Military 
Department; and
    (B) Report on such matters to the Congress or any agency of the 
Federal Government.



Sec. 22.315  Merit-based, competitive procedures.

    Competitive procedures are methods that encourage participation in 
DoD programs by a broad base of the most highly qualified performers. 
These procedures are characterized by competition among as many eligible 
proposers as possible, with a published or widely disseminated notice. 
Competitive procedures include, as a minimum:
    (a) Notice to prospective proposers. The notice may be a notice of 
funding availability or Broad Agency Announcement that is publicly 
disseminated, with unlimited distribution, or a specific notice that is 
distributed to eligible proposers (a specific notice must be distributed 
to at least two eligible proposers to be considered as part of a 
competitive procedure). Requirements for notices are as follows:
    (1) The format and content of each notice must conform with the 
Governmentwide format for announcements of funding opportunities 
established by the Office of Management and Budget (OMB) in a policy 
directive entitled, ``Format for Financial Assistance Program 
Announcements.'' \2\
---------------------------------------------------------------------------

    \2\ This OMB policy directive is available at the Internet site 
http://www.whitehouse.gov/omb/grants/grants--docs.html (the link is 
``Final Policy Directive on Financial Assistance Program 
Announcements'').
---------------------------------------------------------------------------

    (2) In accordance with that OMB policy directive, DoD Components 
also must post on the Internet any notice under which domestic entities 
may submit proposals, if the distribution of the notice is unlimited. 
DoD Components are encouraged to simultaneously publish the notice in 
other media (e.g., the Federal Register), if doing so would increase the 
likelihood of its being seen by potential proposers. If a DoD Component 
issues a specific notice with limited distribution (e.g., for national 
security considerations), the notice need not be posted on the Internet.
    (3) To comply with an OMB policy directive entitled, ``Requirement 
to Post Funding Opportunity Announcement Synopses at Grants.gov and 
Related Data Elements/Format,'' \3\ DoD Components must post on the 
Internet a synopsis for each notice that, in accordance with paragraph 
(a)(2) of this section, is posted on the Internet. The synopsis must be 
posted at the Governmentwide site designated by the OMB (currently 
http://www.FedGrants.gov). The synopsis for each notice must provide 
complete instructions on where to obtain the notice and should have an 
electronic link to the Internet location at which the notice is posted.
---------------------------------------------------------------------------

    \3\ This OMB policy directive is available at the Internet site 
http://www.whitehouse.gov/omb/grants/grants--docs.html (the link is 
``Office of Federal Financial Management Policy Directive on Use of 
Grants.Gov FIND'').
---------------------------------------------------------------------------

    (4) In accordance with an OMB policy directive entitled, 
``Requirement for a DUNS Number in Applications for Federal Grants and 
Cooperative Agreements,'' \4\ each notice must include a requirement for 
proposers to include Data Universal Numbering System (DUNS) numbers in 
their proposals. If a notice provides for submission of application 
forms, the forms must incorporate the DUNS number. To the extent that 
unincorporated consortia of separate organizations may submit proposals, 
the notice should explain that an unincorporated consortium

[[Page 77]]

would use the DUNS number of the entity proposed to receive DoD payments 
under the award (usually, a lead organization that consortium members 
identify for administrative matters).
---------------------------------------------------------------------------

    \4\ This OMB policy directive is available at the Internet site 
http://www.whitehouse.gov/omb/grants/grants--docs.html (the link is 
``Use of a Universal Identifier by Grant Applicants'').
---------------------------------------------------------------------------

    (b) At least two eligible, prospective proposers.
    (c) Impartial review of the merits of applications or proposals 
received in response to the notice, using the evaluation method and 
selection criteria described in the notice. For research and development 
awards, in order to be considered as part of a competitive procedure, 
the two principal selection criteria, unless statute provides otherwise, 
must be the:
    (1) Technical merits of the proposed research and development; and
    (2) Potential relationship of the proposed research and development 
to Department of Defense missions.

[63 FR 12164, Mar. 12, 1998, as amended at 70 FR 49464, Aug. 23, 2005; 
72 FR 34988, June 26, 2007]



Sec. 22.320  Special competitions.

    Some programs may be competed for programmatic or policy reasons 
among specific classes of potential recipients. An example would be a 
program to enhance U.S. capabilities for academic research and research-
coupled graduate education in defense-critical, science and engineering 
disciplines, a program that would be competed specifically among 
institutions of higher education. All such special competitions shall be 
consistent with program representations in the President's budget 
submission to Congress and with subsequent Congressional authorizations 
and appropriations for the programs.



Sec. 22.325  Historically Black colleges and universities (HBCUs)
and other minority institutions (MIs).

    Increasing the ability of HBCUs and MIs to participate in federally 
funded, university programs is an objective of Executive Order 12876 (3 
CFR, 1993 Comp., p. 671) and 10 U.S.C. 2323. Grants officers shall 
include appropriate provisions in Broad Agency Announcements (BAAs) or 
other announcements for programs in which awards to institutions of 
higher education are anticipated, in order to promote participation of 
HBCUs and MIs in such programs. Also, whenever practicable, grants 
officers shall reserve appropriate programmatic areas for exclusive 
competition among HBCUs and MIs when preparing announcements for such 
programs.



     Subpart D_Recipient Qualification Matters_General Policies and 
                               Procedures



Sec. 22.400  Purpose.

    The purpose of this subpart is to specify policies and procedures 
for grants officers' determination of recipient qualifications prior to 
award.



Sec. 22.405  Policy.

    (a) General. Grants officers normally shall award grants or 
cooperative agreements only to qualified recipients that meet the 
standards in Sec. 22.415. This practice conforms with the 
Governmentwide policy to do business only with responsible persons, 
which is stated in OMB guidance at 2 CFR 180.125(a) and implemented by 
the Department of Defense in 2 CFR part 1125.
    (b) Exception. In exceptional circumstances, grants officers may 
make awards to recipients that do not fully meet the standards in Sec. 
22.415 and include special award conditions that are appropriate to the 
particular situation, in accordance with 32 CFR 32.14, 33.12, or 34.4.

[63 FR 12164, Mar. 12, 1998, as amended at 70 FR 49464, Aug. 23, 2005; 
72 FR 34988, June 26, 2007]



Sec. 22.410  Grants officers' responsibilities.

    The grants officer is responsible for determining a recipient's 
qualification prior to award. The grants officer's signature on the 
award document shall signify his or her determination that either:
    (a) The potential recipient meets the standards in Sec. 22.415 and 
is qualified to receive the grant or cooperative agreement; or
    (b) An award is justified to a recipient that does not fully meet 
the standards, pursuant to Sec. 22.405(b). In such cases, grants 
officers shall document in the award file the rationale for making

[[Page 78]]

an award to a recipient that does not fully meet the standards.



Sec. 22.415  Standards.

    To be qualified, a potential recipient must:
    (a) Have the management capability and adequate financial and 
technical resources, given those that would be made available through 
the grant or cooperative agreement, to execute the program of activities 
envisioned under the grant or cooperative agreement.
    (b) Have a satisfactory record of executing such programs or 
activities (if a prior recipient of an award).
    (c) Have a satisfactory record of integrity and business ethics.
    (d) Be otherwise qualified and eligible to receive a grant or 
cooperative agreement under applicable laws and regulations (see Sec. 
22.420(c)).



Sec. 22.420  Pre-award procedures.

    (a) The appropriate method to be used and amount of effort to be 
expended in deciding the qualification of a potential recipient will 
vary. In deciding on the method and level of effort, the grants officer 
should consider factors such as:
    (1) DoD's past experience with the recipient;
    (2) Whether the recipient has previously received cost-type 
contracts, grants, or cooperative agreements from the Federal 
Government; and
    (3) The amount of the prospective award and complexity of the 
project to be carried out under the award.
    (b) There is no DoD-wide requirement to obtain a pre-award credit 
report, audit, or any other specific piece of information. On a case-by-
case basis, the grants officer will decide whether there is a need to 
obtain any such information to assist in deciding whether the recipient 
meets the standards in Sec. 22.415 (a), (b), and (c).
    (1) Should the grants officer in a particular case decide that a 
pre-award credit report, audit, or survey is needed, he or she should 
consult first with the appropriate grants administration office 
(identified in Sec. 22.710), and decide whether pre-existing surveys or 
audits of the recipient, such as those of the recipient's internal 
control systems under OMB Circular A-133 \5\ will satisfy the need (see 
Sec. 22.715(a)(1)).
---------------------------------------------------------------------------

    \5\ Electronic copies may be obtained at Internet site http://
www.whitehouse.gov/OMB. For paper copies, contact the Office of 
Management and Budget, EOP Publications, 725 17th St. NW., New Executive 
Office Building, Washington, DC 20503.
---------------------------------------------------------------------------

    (2) If, after consulting with the grants administration office, the 
grants officer decides to obtain a credit report, audit, or other 
information, and the report or other information discloses that a 
potential recipient is delinquent on a debt to an agency of the United 
States Government, then:
    (i) The grants officer shall take such information into account when 
determining whether the potential recipient is qualified with respect to 
the grant or cooperative agreement; and
    (ii) If the grants officer decides to make the award to the 
recipient, unless there are compelling reasons to do otherwise, the 
grants officer shall delay the award of the grant or cooperative 
agreement until payment is made or satisfactory arrangements are made to 
repay the debt.
    (c) In deciding whether a recipient is otherwise qualified and 
eligible in accordance with the standard in Sec. 22.415(d), the grants 
officer shall ensure that the potential recipient:
    (1) Is not identified in the Governmentwide Excluded Parties List 
System (EPLS) as being debarred, suspended, or otherwise ineligible to 
receive the award. In addition to being a requirement for every new 
award, note that checking the EPLS also is a requirement for subsequent 
obligations of additional funds, such as incremental funding actions, in 
the case of pre-existing awards to institutions of higher education, as 
described at 32 CFR 22.520(e)(5). The grants officer's responsibilities 
include (see the OMB guidance at 2 CFR 180.425 and 180.430, as 
implemented by the Department of Defense at 2 CFR 1125.425) checking the 
EPLS for:
    (i) Potential recipients of prime awards; and
    (ii) A recipient's principals (as defined in OMB guidance at 2 CFR 
180.995, implemented by the Department of Defense in 2 CFR part 1125), 
potential recipients of subawards, and principals of

[[Page 79]]

those potential subaward recipients, if DoD Component approval of those 
principals or lower-tier recipients is required under the terms of the 
award (e.g., if a subsequent change in a recipient's principal 
investigator or other key person would be subject to the DoD Component's 
prior approval under 32 CFR 32.25(c)(2), 33.30(d)(3), or 
34.15(c)(2)(i)).
    (2) Has provided all certifications and assurances required by 
Federal statute, Executive order, or codified regulation, unless they 
are to be addressed in award terms and conditions at the time of award 
(see Sec. 22.510).
    (3) Meets any eligibility criteria that may be specified in the 
statute authorizing the specific program under which the award is being 
made (see Sec. 22.210(a)(2)).
    (d) Grants officers shall obtain each recipient's Taxpayer 
Identification Number (TIN, which may be the Social Security Number for 
an individual and Employer Identification Number for a business or non-
profit entity) and notify the recipient that the TIN is being obtained 
for purposes of collecting and reporting on any delinquent amounts that 
may arise out of the recipient's relationship with the Government. 
Obtaining the TIN and so notifying the recipient is a statutory 
requirement of 31 U.S.C. 7701, as amended by the Debt Collection 
Improvement Act of 1996 (section 31001(i)(1), Pub. L. 104-134).

[63 FR 12164, Mar. 12, 1998, as amended at 70 FR 49464, Aug. 23, 2005; 
72 FR 34988, June 26, 2007]



                    Subpart E_National Policy Matters



Sec. 22.505  Purpose.

    The purpose of this subpart is to supplement other regulations that 
implement national policy requirements, to the extent that it is 
necessary to provide additional guidance to DoD grants officers. The 
other regulations that implement national policy requirements include:
    (a) The other parts of the DoDGARs (32 CFR parts 32, 33, and 34) 
that implement the Governmentwide guidance in OMB Circulars A-102 \6\ 
and A-110 \7\ on administrative requirements for grants and cooperative 
agreements. Those parts address some national policy matters that appear 
in the OMB Circulars.
---------------------------------------------------------------------------

    \6\ See footnote 5 to Sec. 22.420(b)(1).
    \7\ See footnote 5 to Sec. 22.420(b)(1).
---------------------------------------------------------------------------

    (b) DoD regulations other than the DoDGARs.
    (c) Other Federal agencies' regulations.

[63 FR 12164, Mar. 12, 1998, as amended at 70 FR 49464, Aug. 23, 2005]



Sec. 22.510  Certifications, representations, and assurances.

    (a) Certifications--(1) Policy. Certifications of compliance with 
national policy requirements are to be obtained from recipients only for 
those national policies where a statute, Executive order, or codified 
regulation specifically states that a certification is required. Other 
national policy requirements may be addressed by obtaining 
representations or assurances (see paragraph (b) of this section). 
Grants officers should utilize methods for obtaining certifications, in 
accordance with Executive Order 12866 (3 CFR, 1993 Comp., p. 638), that 
minimize administration and paperwork.
    (2) Procedures. (i) When necessary, grants officers may obtain 
individual, written certifications.
    (ii) Whenever possible, and to the extent consistent with statute 
and codified regulation, grants officers should identify the 
certifications that are required for the particular type of recipient 
and program, and consolidate them into a single certification provision 
that cites them by reference.
    (A) If a grants officer elects to have proposers incorporate 
certifications by reference into their proposals, he or she must do so 
in one of the two following ways. When required by statute or codified 
regulation, the solicitation must include the full text of the 
certifications that proposers are to provide by reference. In other 
cases, the grants officer may include language in the solicitation that 
informs the proposers where the full text may be found (e.g., in 
documents or computer network sites that are readily available to the 
public) and offers to provide it to proposers upon request.

[[Page 80]]

    (B) Appendix A to this part provides language that may be used for 
incorporating by reference the certification on lobbying, which 
currently is the only certification requirement that commonly applies to 
DoD grants and agreements. Because that certification is required by law 
to be submitted at the time of proposal, rather than at the time of 
award, Appendix A includes language to incorporate the certification by 
reference into a proposal.
    (C) Grants officers may incorporate certifications by reference in 
award documents when doing so is consistent with statute and codified 
regulation (that is not the case for the lobbying certification 
addressed in paragraph (a)(2)(ii)(B) of this section). The provision 
that a grants officer would use to incorporate certifications in award 
documents, when consistent with statute and codified regulation, would 
be similar to the provision in Appendix A to this part, except that it 
would be modified to state that the recipient is providing the required 
certifications by signing the award document or by accepting funds under 
the award.
    (b) Representations and assurances. Many national policies, either 
in statute or in regulation, require recipients of grants and 
cooperative agreements to make representations or provide assurances 
(rather than certifications) that they are in compliance with the 
policies. As discussed in Sec. 22.610(b), Appendix B to this part 
suggests award terms and conditions that may be used to address several 
of the more commonly applicable national policy requirements. These 
terms and conditions may be used to obtain required assurances and 
representations, if the grants officer wishes to do so at the time of 
award, rather than through the use of the standard application form (SF-
424 \8\) or other means at the time of proposal.
---------------------------------------------------------------------------

    \8\ For copies of Standard Forms listed in this part, contact 
regional grants administration offices of the Office of Naval Research. 
Addresses for the offices are listed in the ``Federal Directory of 
Contract Administration Services (CAS) Components,'' which may be 
accessed through the Defense Contract Management Agency homepage at: 
http://www.dcma.mil.

[63 FR 12164, Mar. 12, 1998, as amended at 70 FR 49464, Aug. 23, 2005]



Sec. 22.515  Provisions of annual appropriations acts.

    An annual appropriations act can include general provisions stating 
national policy requirements that apply to the use of funds (e.g., 
obligation through a grant or cooperative agreement) appropriated by the 
act. Because these requirements are of limited duration (the period 
during which a given year's appropriations are available for 
obligation), and because they can vary from year to year and from one 
agency's appropriations act to another agency's, the grants officer must 
know the agency(ies) and fiscal year(s) of the appropriations being 
obligated by a given grant or cooperative agreement, and may need to 
consult legal counsel if he or she does not know the requirements 
applicable to those appropriations.



Sec. 22.520  Campus access for military recruiting and Reserve Officer 
Training Corps (ROTC).

    (a) Purpose. (1) The purpose of this section is to implement 10 
U.S.C. 983 as it applies to grants. Under that statute, DoD Components 
are prohibited from providing funds to institutions of higher education 
that have policies or practices, as described in paragraph (c) of this 
section, restricting campus access of military recruiters or the Reserve 
Officer Training Corps (ROTC).
    (2) By addressing the effect of 10 U.S.C. 983 on grants and 
cooperative agreements, this section supplements the DoD's primary 
implementation of that statute in 32 CFR part 216, ``Military Recruiting 
and Reserve Officer Training Corps Program Access to Institutions of 
Higher Education.'' Part 216 establishes procedures by which the 
Department of Defense identifies institutions of higher education that 
have a policy or practice described in paragraph (c) of this section.
    (b) Definition specific to this section. ``Institution of higher 
education'' in this section has the meaning given at 32 CFR 216.3, which 
is different than the meaning given at Sec. 22.105 for other sections 
of this part.

[[Page 81]]

    (c) Statutory requirement of 10 U.S.C. 983. No funds made available 
to the Department of Defense may be provided by grant to an institution 
of higher education (including any subelement of such institution) if 
the Secretary of Defense determines that the institution (or any 
subelement of that institution) has a policy or practice that either 
prohibits, or in effect prevents:
    (1) The Secretary of a Military Department from maintaining, 
establishing, or operating a unit of the Senior ROTC (in accordance with 
10 U.S.C. 654 and other applicable Federal laws) at that institution (or 
any subelement of that institution);
    (2) A student at that institution (or any subelement of that 
institution) from enrolling in a unit of the Senior ROTC at another 
institution of higher education;
    (3) The Secretary of a Military Department or Secretary of Homeland 
Security from gaining access to campuses, or access to students (who are 
17 years of age or older) on campuses, for purposes of military 
recruiting in a manner that is at least equal in quality and scope to 
the access to campuses and to students that is provided to any other 
employer; or
    (4) Access by military recruiters for purposes of military 
recruiting to the following information pertaining to students (who are 
17 years of age or older) enrolled at that institution (or any 
subelement of that institution):
    (i) Names, addresses, and telephone listings.
    (ii) Date and place of birth, levels of education, academic majors, 
degrees received, and the most recent educational institution enrolled 
in by the student.
    (d) Policy. (1) Applicability to cooperative agreements. As a matter 
of DoD policy, the restrictions of 10 U.S.C. 983, as implemented by 32 
CFR part 216, apply to cooperative agreements, as well as grants.
    (2) Deviations. Grants officers may not deviate from any provision 
of this section without obtaining the prior approval of the Director of 
Defense Research and Engineering. Requests for deviations shall be 
submitted, through appropriate channels, to: Director for Basic 
Sciences, ODUSD(LABS), 3040 Defense Pentagon, Washington, D.C. 20301-
3040.
    (e) Grants officers' responsibility. (1) A grants officer shall not 
award any grant or cooperative agreement to an institution of higher 
education that has been identified pursuant to the procedures of 32 CFR 
part 216. Such institutions are identified as being ineligible on the 
Governmentwide Excluded Parties List System (EPLS). The cause and 
treatment code on the EPLS indicates the reason for an institution's 
ineligibility, as well as the effect of the exclusion. Note that OMB 
guidance in 2 CFR 180.425 and 180.430, as implemented by the Department 
of Defense at 2 CFR part 1125, require a grants officer to check the 
EPLS prior to determining that a recipient is qualified to receive an 
award.
    (2) A grants officer shall not consent to a subaward of DoD funds to 
such an institution, under a grant or cooperative agreement to any 
recipient, if the subaward requires the grants officer's consent.
    (3) A grants officer shall include the following award term in each 
grant or cooperative agreement with an institution of higher education 
(note that this requirement does not flow down and that recipients are 
not required to include the award term in subawards):

    ``As a condition for receipt of funds available to the Department of 
Defense (DoD) under this award, the recipient agrees that it is not an 
institution of higher education (as defined in 32 CFR part 216) that has 
a policy or practice that either prohibits, or in effect prevents:
    (A) The Secretary of a Military Department from maintaining, 
establishing, or operating a unit of the Senior Reserve Officers 
Training Corps (in accordance with 10 U.S.C. 654 and other applicable 
Federal laws) at that institution (or any subelement of that 
institution);
    (B) Any student at that institution (or any subelement of that 
institution) from enrolling in a unit of the Senior ROTC at another 
institution of higher education;
    (C) The Secretary of a Military Department or Secretary of Homeland 
Security from gaining access to campuses, or access to students (who are 
17 years of age or older) on campuses, for purposes of military 
recruiting in a manner that is at least equal in quality and scope to 
the access to campuses and to students that is provided to any other 
employer; or

[[Page 82]]

    (D) Access by military recruiters for purposes of military 
recruiting to the names of students (who are 17 years of age or older 
and enrolled at that institution or any subelement of that institution); 
their addresses, telephone listings, dates and places of birth, levels 
of education, academic majors, and degrees received; and the most recent 
educational institutions in which they were enrolled.

If the recipient is determined, using the procedures in 32 CFR part 216, 
to be such an institution of higher education during the period of 
performance of this agreement, the Government will cease all payments of 
DoD funds under this agreement and all other DoD grants and cooperative 
agreements to the recipient, and it may suspend or terminate such grants 
and agreements unilaterally for material failure to comply with the 
terms and conditions of award.''

    (4) If an institution of higher education refuses to accept the 
award term in paragraph (e)(3) of this section, the grants officer 
shall:
    (i) Determine that the institution is not qualified with respect to 
the award. The grants officer may award to an alternative recipient.
    (ii) Transmit the name of the institution, through appropriate 
channels, to the Director for Accession Policy, Office of the Deputy 
Under Secretary of Defense for Military Personnel Policy (ODUSD(MPP)), 
4000 Defense Pentagon, Washington, DC 20301-4000. This will allow 
ODUSD(MPP) to decide whether to initiate an evaluation of the 
institution under 32 CFR part 216, to determine whether it is an 
institution that has a policy or practice described in paragraph (c) of 
this section.
    (5) With respect to any pre-existing award to an institution of 
higher education that currently is listed on the EPLS pursuant to a 
determination under 32 CFR part 216, a grants officer:
    (i) Shall not obligate additional funds available to the DoD for the 
award. A grants officer therefore must check the EPLS before approving 
an incremental funding action or other additional funding for any pre-
existing award to an institution of higher education. The grants officer 
may not obligate the additional funds if the cause and treatment code 
indicates that the reason for an institution's EPLS listing is a 
determination under 32 CFR part 216 that institutional policies or 
practices restrict campus access of military recruiters or ROTC.
    (ii) Shall not approve any request for payment submitted by such an 
institution (including payments for costs already incurred).
    (iii) Shall:
    (A) Terminate the award unless he or she has a reason to believe, 
after consulting with the ODUSD(MPP), 4000 Defense Pentagon, Washington, 
DC 20301-4000), that the institution may be removed from the EPLS in the 
near term and have its eligibility restored; and
    (B) Suspend any award that is not immediately terminated, as well as 
all payments under it.
    (f) Post-award administration responsibilities of the Office of 
Naval Research (ONR). As the DoD office assigned responsibility for 
performing field administration services for grants and cooperative 
agreements with institutions of higher education, the ONR shall 
disseminate the list it receives from the ODUSD(MPP) of institutions of 
higher education identified pursuant to the procedures of 32 CFR part 
216 to:
    (1) ONR field administration offices, with instructions to:
    (i) Disapprove any payment requests under awards to such 
institutions for which post-award payment administration was delegated 
to the ONR; and
    (ii) Alert the DoD offices that made the awards to their 
responsibilities under paragraphs (e)(5)(i) and (e)(5)(iii) of this 
section.
    (2) Awarding offices in DoD Components that may be identified from 
data in the Defense Assistance Awards Data System (see 32 CFR 21.520 
through 21.555) as having awards with such institutions for which post-
award payment administration was not delegated to ONR. The ONR is to 
alert those offices to their responsibilities under paragraph (e)(5) of 
this section.

[70 FR 49465, Aug. 23, 2005, as amended at 72 FR 34988, June 26, 2007]



Sec. 22.525  Paperwork Reduction Act.

    Grants officers shall include appropriate award terms or conditions, 
if a recipient's activities under an award will be subject to the 
Paperwork Reduction Act of 1995 (44 U.S.C. 3500, et seq.):

[[Page 83]]

    (a) Generally, the Act only applies to Federal agencies--it requires 
agencies to obtain clearance from the Office of Management and Budget 
before collecting information using forms, schedules, questionnaires, or 
other methods calling either for answers to:
    (1) Identical questions from ten or more persons other than 
agencies, instrumentalities, or employees of the United States.
    (2) Questions from agencies, instrumentalities, or employees of the 
United States which are to be used for statistical compilations of 
general public interest.
    (b) The Act applies to similar collections of information by 
recipients of grants or cooperative agreements only when:
    (1) A recipient collects information at the specific request of the 
awarding Federal agency; or
    (2) The terms and conditions of the award require specific approval 
by the agency of the information collection or the collection 
procedures.



Sec. 22.530  Metric system of measurement.

    (a) Statutory requirement. The Metric Conversion Act of 1975, as 
amended by the Omnibus Trade and Competitiveness Act of 1988 (15 U.S.C. 
205) and implemented by Executive Order 12770 (3 CFR, 1991 Comp., p. 
343), states that:
    (1) The metric system is the preferred measurement system for U.S. 
trade and commerce.
    (2) The metric system of measurement will be used, to the extent 
economically feasible, in federal agencies' procurements, grants, and 
other business-related activities.
    (3) Metric implementation shall not be required to the extent that 
such use is likely to cause significant inefficiencies or loss of 
markets to United States firms.
    (b) Responsibilities. DoD Components shall ensure that the metric 
system is used, to the maximum extent practicable, in measurement-
sensitive activities supported by programs that use grants and 
cooperative agreements, and in measurement-sensitive outputs of such 
programs.



                             Subpart F_Award



Sec. 22.600  Purpose.

    This subpart sets forth grants officers' responsibilities relating 
to the award document and other actions at the time of award.



Sec. 22.605  Grants officers' responsibilities.

    At the time of award, the grants officer is responsible for ensuring 
that:
    (a) The award instrument contains the appropriate terms and 
conditions, in accordance with Sec. 22.610.
    (b) Information about the award is provided to the office 
responsible for preparing reports for the Defense Assistance Award Data 
System (DAADS), to ensure timely and accurate reporting of data required 
by 31 U.S.C. 6101-6106 (see 32 CFR part 21, subpart E).
    (c)(1) In addition to the copy of the award document provided to the 
recipient, a copy is forwarded to the office designated to administer 
the grant or cooperative agreement, and another copy is forwarded to the 
finance and accounting office designated to make the payments to the 
recipient.
    (2) For any award subject to the electronic funds transfer (EFT) 
requirement described in Sec. 22.810(b)(2), the grants officer shall 
include a prominent notification of that fact on the first page of the 
copies forwarded to the recipient, the administrative grants officer, 
and the finance and accounting office. On the first page of the copy 
forwarded to the recipient, the grants officer also shall include a 
prominent notification that the recipient, to be paid, must submit a 
Payment Information Form (Standard Form SF-3881 \9\) to the responsible 
DoD payment office, if that payment office does not currently have the 
information (e.g., bank name and account number) needed to pay the 
recipient by EFT.
---------------------------------------------------------------------------

    \9\ See footnote 8 to Sec. 22.510(b).

[63 FR 12164, Mar. 12, 1998, as amended at 68 FR 47160, Aug. 7, 2003; 70 
FR 49465, Aug. 23, 2005]

[[Page 84]]



Sec. 22.610  Award instruments.

    (a) Each award document shall include terms and conditions that:
    (1) Address programmatic requirements (e.g., a statement of work or 
other appropriate terms or conditions that describe the specific goals 
and objectives of the project). The grants officer shall develop such 
terms and conditions in coordination with program officials.
    (2) Provide for the recipient's compliance with:
    (i) Pertinent Federal statutes or Executive orders that apply 
broadly to Federal or DoD assistance awards.
    (ii) Any program-specific requirements that are prescribed in the 
program statute (see Sec. 22.210(a)(2)), or appropriation-specific 
requirements that are stated in the pertinent Congressional 
appropriations (see Sec. 22.515).
    (iii) Pertinent portions of the DoDGARs or other Federal 
regulations, including those that implement the Federal statutes or 
Executive orders described in paragraphs (a)(2) (i) and (ii) of this 
section.
    (3) Specify the grants officer's instructions for post-award 
administration, for any matter where the post-award administration 
provisions in 32 CFR part 32, 33, or 34 give the grants officer options 
for handling the matter. For example, under 32 CFR 32.24(b), the grants 
officers must choose among possible methods for the recipient's 
disposition of program income. It is essential that the grants officer 
identify the option selected in each case, to provide clear instructions 
to the recipient and the grants officer responsible for post-award 
administration of the grant or cooperative agreement.
    (b) To assist grants officers:
    (1) Appendix B to this part provides model clauses to implement 
certain Federal statutes, Executive orders, and regulations (see 
paragraph (a)(2)(i) of this section) that frequently apply to DoD grants 
and cooperative agreements. Grants officers may incorporate the model 
clauses into award terms and conditions, as appropriate. It should be 
noted that Appendix B to this part is an aid, and not an exhaustive list 
of all requirements that apply in all cases. Depending on the 
circumstances of a given award, other statutes, Executive orders, or 
codified regulations also may apply (e.g., Appendix B to this part does 
not list program-specific requirements described in paragraph (a)(2)(ii) 
of this section).
    (2) Appendix C to this part is a list of administrative requirements 
that apply to awards to different types of recipients. It also 
identifies post-award administration issues that the grants officer must 
address in the award terms and conditions.



                     Subpart G_Field Administration



Sec. 22.700  Purpose.

    This subpart prescribes policies and procedures for administering 
grants and cooperative agreements. It does so in conjunction with 32 CFR 
parts 32, 33, and 34, which prescribe administrative requirements for 
particular types of recipients.



Sec. 22.705  Policy.

    (a) DoD policy is to have each recipient deal with a single office, 
to the maximum extent practicable, for post-award administration of its 
grants and cooperative agreements. This reduces burdens on recipients 
that can result when multiple DoD offices separately administer grants 
and cooperative agreements they award to a given recipient. It also 
minimizes unnecessary duplication of field administration services.
    (b) To further reduce burdens on recipients, the office responsible 
for performing field administration services for grants and cooperative 
agreements to a particular recipient shall be, to the maximum extent 
practicable, the same office that is assigned responsibility for 
performing field administration services for contracts awarded to that 
recipient.
    (c) Contracting activities and grants officers therefore shall use 
cross-servicing arrangements whenever practicable and, to the maximum 
extent possible, delegate responsibility for post-award administration 
to the cognizant grants administration offices identified in Sec. 
22.710.

[[Page 85]]



Sec. 22.710  Assignment of grants administration offices.

    In accordance with the policy stated in Sec. 22.705(b), the DoD 
offices (referred to in this part as ``grants administration offices'') 
that are assigned responsibility for performing field administration 
services for grants and cooperative agreements are (see the ``Federal 
Directory of Contract Administration Services (CAS) Components'' \10\ 
for specific addresses of administration offices):
---------------------------------------------------------------------------

    \10\ The ``Federal Directory of Contract Administration Services 
(CAS) Components'' may be accessed through the Defense Contract 
Management Agency hompage at http://www.dcma.mil.
---------------------------------------------------------------------------

    (a) Regional offices of the Office of Naval Research, for grants and 
cooperative agreements with:
    (1) Institutions of higher education and laboratories affiliated 
with such institutions, to the extent that such organizations are 
subject to the university cost principles in OMB Circular A-21. \11\
---------------------------------------------------------------------------

    \11\ See footnote 5 to Sec. 22.420(b)(1).
---------------------------------------------------------------------------

    (2) Nonprofit organizations that are subject to the cost principles 
in OMB Circular A-122, \12\ if their principal business with the 
Department of Defense is research and development.
---------------------------------------------------------------------------

    \12\ See footnote 5 to Sec. 22.420(b)(1).
---------------------------------------------------------------------------

    (b) Field offices of the Defense Contract Management Command, for 
grants and cooperative agreements with all other entities, including:
    (1) For-profit organizations.
    (2) Nonprofit organizations identified in Attachment C of OMB 
Circular A-122 that are subject to for-profit cost principles in 48 CFR 
part 31.
    (3) Nonprofit organizations subject to the cost principles in OMB 
Circular A-122, if their principal business with the Department of 
Defense is other than research and development.
    (4) State and local governments.

[63 FR 12164, Mar. 12, 1998, as amended at 70 FR 49466, Aug. 23, 2005; 
72 FR 34989, June 26, 2007]



Sec. 22.715  Grants administration office functions.

    The primary responsibility of cognizant grants administration 
offices shall be to advise and assist grants officers and recipients 
prior to and after award, and to help ensure that recipients fulfill all 
requirements in law, regulation, and award terms and conditions. 
Specific functions include:
    (a) Conducting reviews and coordinating reviews, audits, and audit 
requests. This includes:
    (1) Advising grants officers on the extent to which audits by 
independent auditors (i.e., public accountants or Federal auditors) have 
provided the information needed to carry out their responsibilities. If 
a recipient has had an independent audit in accordance with OMB Circular 
A-133, and the audit report disclosed no material weaknesses in the 
recipient's financial management and other management and control 
systems, additional preaward or closeout audits usually will not be 
needed (see Sec. Sec. 22.420(b) and 22.825(b)).
    (2) Performing pre-award surveys, when requested by a grants 
officer, after providing advice described in paragraph (a)(1) of this 
section.
    (3) Reviewing recipients' systems and compliance with Federal 
requirements, in coordination with any reviews and compliance audits 
performed by independent auditors under OMB Circular A-133, or in 
accordance with the terms and conditions of the award. This includes:
    (i) Reviewing recipients' financial management, property management, 
and purchasing systems, to determine the adequacy of such systems.
    (ii) Determining that recipients have drug-free workplace programs, 
as required under 32 CFR part 26.
    (iii) Determining that governmental, university and nonprofit 
recipients have complied with requirements in OMB Circular A-133, as 
implemented at 32 CFR 32.26 and 33.26, to have single audits and submit 
audit reports to the Federal Audit Clearinghouse. If a recipient has not 
had a required audit, appropriate action must be taken (e.g., contacting 
the recipient and coordinating with the Office of the Assistant 
Inspector General for Audit Policy and Oversight (OAIG(P&O)), Office of 
the Deputy Inspector General for Inspections and Policy, Office of the 
Inspector General of the Department of Defense (OIG, DoD), 400 Army-Navy 
Drive, Arlington, VA 22202).

[[Page 86]]

    (4) Issuing timely management decisions, in accordance with DoD 
Directive 7640.2, ``Policy for Follow-up on Contract Audit Reports,'' 
\13\ on single audit findings referred by the OIG, DoD, under DoD 
Directive 7600.10, ``Audits of States, Local Governments, and Non-Profit 
Organizations.'' \14\
---------------------------------------------------------------------------

    \13\ Electronic copies may be obtained at the Washington 
Headquarters Services Internet site http://www.dtic.mil/whs/directives. 
Paper copies may be obtained, at cost, from the National Technical 
Information Service, 5285 Port Royal Road, Springfield, VA 22161.
    \14\ See footnote 13 to Sec. 22.715(a)(4).
---------------------------------------------------------------------------

    (b) Performing property administration services for Government-owned 
property, and for any property acquired by a recipient, with respect to 
which the recipient has further obligations to the Government.
    (c) Ensuring timely submission of required reports.
    (d) Executing administrative closeout procedures.
    (e) Establishing recipients' indirect cost rates, where the 
Department of Defense is the cognizant or oversight Federal agency with 
the responsibility for doing so.
    (f) Performing other administration functions (e.g., receiving 
recipients' payment requests and transmitting approved payment 
authorizations to payment offices) as delegated by applicable cross-
servicing agreements or letters of delegation.

[63 FR 12164, Mar. 12, 1998, as amended at 70 FR 49466, Aug. 23, 2005; 
72 FR 34989, June 26, 2007]



                   Subpart H_Post-Award Administration



Sec. 22.800  Purpose and relation to other parts.

    This subpart sets forth grants officers' and DoD Components' 
responsibilities for post-award administration, by providing DoD-
specific requirements on payments; debt collection; claims, disputes and 
appeals; and closeout audits.



Sec. 22.805  Post-award requirements in other parts.

    Grants officers responsible for post-award administration of grants 
and cooperative agreements shall administer such awards in accordance 
with the following parts of the DoDGARs, as supplemented by this 
subpart:
    (a) Awards to domestic recipients. Standard administrative 
requirements for grants and cooperative agreements with domestic 
recipients are specified in other parts of the DoDGARs, as follows:
    (1) For awards to domestic institutions of higher education and 
other nonprofit organizations, requirements are specified in 32 CFR part 
32, which is the DoD implementation of OMB Circular A-110.
    (2) For awards to State and local governments, requirements are 
specified in 32 CFR part 33, which is the DoD codification of the 
Governmentwide common rule to implement OMB Circular A-102.
    (3) For awards to domestic for-profit organizations, requirements 
are specified in 32 CFR part 34, which is modeled on the requirements in 
OMB Circular A-110.
    (b) Awards to foreign recipients. DoD Components shall use the 
administrative requirements specified in paragraph (a) of this section, 
to the maximum extent practicable, for grants and cooperative agreements 
to foreign recipients.



Sec. 22.810  Payments.

    (a) Purpose. This section prescribes policies and grants officers' 
post-award responsibilities, with respect to payments to recipients of 
grants and cooperative agreements.
    (b) Policy. (1) It is Governmentwide policy to minimize the time 
elapsing between any payment of funds to a recipient and the recipient's 
disbursement of the funds for program purposes (see 32 CFR 32.22(a) and 
33.21(b), and the implementation of the Cash Management Improvement Act 
at 31 CFR part 205).
    (2) It also is a Governmentwide requirement to use electronic funds 
transfer (EFT) in the payment of any grant for which an application or 
proposal was submitted or renewed on or after July 26, 1996, unless the 
recipient has obtained a waiver by submitting to the head of the 
pertinent Federal agency a certification that it has neither an

[[Page 87]]

account with a financial institution nor an authorized payment agent. 
This requirement is in 31 U.S.C. 3332, as amended by the Debt Collection 
Improvement Act of 1996 (section 31001(x)(1)(A), Pub. L. 104-134), and 
as implemented by Department of Treasury regulations at 31 CFR part 208. 
As a matter of DoD policy, this requirement applies to cooperative 
agreements, as well as grants. Within the Department of Defense, the 
Defense Finance and Accounting Service implements this EFT requirement, 
and grants officers have collateral responsibilities at the time of 
award, as described in Sec. 22.605(c), and in postaward administration, 
as described in Sec. 22.810(c)(3)(iv).
    (3) Expanding on these Governmentwide policies, DoD policy is for 
DoD Components to use electronic commerce, to the maximum extent 
practicable, in the portions of the payment process for grants and 
cooperative agreements for which grants officers are responsible. In 
cases where recipients submit each payment request to the grants 
officer, this includes using electronic methods to receive recipients' 
requests for payment and to transmit authorizations for payment to the 
DoD payment office. Using electronic methods will improve timeliness and 
accuracy of payments and reduce administrative burdens associated with 
paper-based payments.
    (c) Post-award responsibilities. In cases where the recipient 
submits each payment request to the grants officer, the administrative 
grants officer designated to handle payments for a grant or cooperative 
agreement is responsible for:
    (1) Handling the recipient's requests for payments in accordance 
with DoD implementation of Governmentwide guidance (see 32 CFR 32.22, 
33.21, or 34.12, as applicable).
    (2) Reviewing each payment request to ensure that:
    (i) The request complies with the award terms.
    (ii) Available funds are adequate to pay the request.
    (iii) The recipient will not have excess cash on hand, based on 
expenditure patterns.
    (3) Maintaining a close working relationship with the personnel in 
the finance and accounting office responsible for making the payments. A 
good working relationship is necessary, to ensure timely and accurate 
handling of financial transactions for grants and cooperative 
agreements. Administrative grants officers:
    (i) Should be generally familiar with policies and procedures for 
disbursing offices that are contained in Chapter 19 of Volume 10 of the 
DoD Financial Management Regulation (the FMR, DoD 7000.14-R \15\).
---------------------------------------------------------------------------

    \15\ See footnote 13 to Sec. 22.715(a)(4).
---------------------------------------------------------------------------

    (ii) Shall forward authorizations to the designated payment office 
expeditiously, so that payments may be made in accordance with the 
timely payment guidelines in Chapter 19 of Volume 10 of the FMR. Unless 
alternative arrangements are made with the payment office, 
authorizations should be forwarded to the payment office at least 3 
working days before the end of the period specified in the FMR. The 
period specified in the FMR is:
    (A) No more than seven calendar days after receipt of the 
recipient's request by the administrative grants officer, whenever 
electronic commerce is used (i.e., EDI to request and authorize payments 
and electronic funds transfer (EFT) to make payments).
    (B) No more than thirty calendar days after receipt of the 
recipient's request by the administrative grants officer, when it is not 
possible to use electronic commerce and paper transactions are used.
    (C) No more than seven calendar days after each date specified, when 
payments are authorized in advance based on a predetermined payment 
schedule, provided that the payment schedule was received in the 
disbursing office at least 30 calendar days in advance of the date of 
the scheduled payment.
    (iii) Shall ensure that the recipients' Taxpayer Identification 
Number (TIN) is included with each payment authorization forwarded to 
the payment office. This is a statutory requirement of 31 U.S.C. 3325, 
as amended by the Debt Collection Improvement Act of 1996 (section 
31001(y), Pub. L. 104-134).

[[Page 88]]

    (iv) For each award that is required to be paid by EFT (see Sec. 
22.605(c) and (Sec. 22.810(b)(2)), shall prominently indicate that fact 
in the payment authorization.

[63 FR 12164, Mar. 12, 1998, as amended at 70 FR 49467, Aug. 23, 2005]



Sec. 22.815  Claims, disputes, and appeals.

    (a) Award terms. Grants officers shall include in grants and 
cooperative agreements a term or condition that incorporates the 
procedures of this section for:
    (1) Processing recipient claims and disputes.
    (2) Deciding appeals of grants officers' decisions.
    (b) Submission of claims--(1) Recipient claims. If a recipient 
wishes to submit a claim arising out of or relating to a grant or 
cooperative agreement, the grants officer shall inform the recipient 
that the claim must:
    (i) Be submitted in writing to the grants officer for decision;
    (ii) Specify the nature and basis for the relief requested; and
    (iii) Include all data that supports the claim.
    (2) DoD Component claims. Claims by a DoD Component shall be the 
subject of a written decision by a grants officer.
    (c) Alternative Dispute Resolution (ADR)--(1) Policy. DoD policy is 
to try to resolve all issues concerning grants and cooperative 
agreements by mutual agreement at the grants officer's level. DoD 
Components therefore are encouraged to use ADR procedures to the maximum 
extent practicable. ADR procedures are any voluntary means (e.g., mini-
trials or mediation) used to resolve issues in controversy without 
resorting to formal administrative appeals (see paragraph (e) of this 
section) or to litigation.
    (2) Procedures. (i) The ADR procedures or techniques to be used may 
either be agreed upon by the Government and the recipient in advance 
(e.g., when agreeing on the terms and conditions of the grant or 
cooperative agreement), or may be agreed upon at the time the parties 
determine to use ADR procedures.
    (ii) If a grants officer and a recipient are not able to resolve an 
issue through unassisted negotiations, the grants officer shall 
encourage the recipient to enter into ADR procedures. ADR procedures may 
be used prior to submission of a recipient's claim or at any time prior 
to the Grant Appeal Authority's decision on a recipient's appeal (see 
paragraph (e)(3)(iii) of this section).
    (d) Grants officer decisions. (1) Within 60 calendar days of receipt 
of a written claim, the grants officer shall either:
    (i) Prepare a written decision, which shall include the reasons for 
the decision; shall identify all relevant data on which the decision is 
based; shall identify the cognizant Grant Appeal Authority and give his 
or her mailing address; and shall be included in the award file; or
    (ii) Notify the recipient of a specific date when he or she will 
render a written decision, if more time is required to do so. The notice 
shall inform the recipient of the reason for delaying the decision 
(e.g., the complexity of the claim, a need for more time to complete ADR 
procedures, or a need for the recipient to provide additional 
information to support the claim).
    (2) The decision of the grants officer shall be final, unless the 
recipient decides to appeal. If a recipient decides to appeal a grants 
officer's decision, the grants officer shall encourage the recipient to 
enter into ADR procedures, as described in paragraph (c) of this 
section.
    (e) Formal administrative appeals--(1) Grant appeal authorities. 
Each DoD Component that awards grants or cooperative agreements shall 
establish one or more Grant Appeal Authorities to decide formal, 
administrative appeals in accordance with paragraph (e)(3) of this 
section. Each Grant Appeal Authority shall be either:
    (i) An individual at a grade level in the Senior Executive Service, 
if civilian, or at the rank of Flag or General Officer, if military; or
    (ii) A board chaired by such an individual.
    (2) Right of appeal. A recipient has the right to appeal a grants 
officer's decision to the Grant Appeal Authority (but note that ADR 
procedures, as described in paragraph (c) of this section, are the 
preferred means for resolving any appeal).

[[Page 89]]

    (3) Appeal procedures--(i) Notice of appeal. A recipient may appeal 
a decision of the grants officer within 90 calendar days of receiving 
that decision, by filing a written notice of appeal to the Grant Appeal 
Authority and to the grants officer. If a recipient elects to use an ADR 
procedure, the recipient is permitted an additional 60 calendar days to 
file the written notice of appeal to the Grant Appeal Authority and 
grants officer.
    (ii) Appeal file. Within 30 calendar days of receiving the notice of 
appeal, the grants officer shall forward to the Grant Appeal Authority 
and the recipient the appeal file, which shall include copies of all 
documents relevant to the appeal. The recipient may supplement the file 
with additional documents it deems relevant. Either the grants officer 
or the recipient may supplement the file with a memorandum in support of 
its position. The Grant Appeal Authority may request additional 
information from either the grants officer or the recipient.
    (iii) Decision. The appeal shall be decided solely on the basis of 
the written record, unless the Grant Appeal Authority decides to conduct 
fact-finding procedures or an oral hearing on the appeal. Any fact-
finding or hearing shall be conducted using procedures that the Grant 
Appeal Authority deems appropriate.
    (f) Representation. A recipient may be represented by counsel or any 
other designated representative in any claim, appeal, or ADR proceeding 
brought pursuant to this section, as long as the representative is not 
otherwise prohibited by law or regulation from appearing before the DoD 
Component concerned.
    (g) Non-exclusivity of remedies. Nothing in this section is intended 
to limit a recipient's right to any remedy under the law.



Sec. 22.820  Debt collection.

    (a) Purpose. This section prescribes procedures for establishing 
debts owed by recipients of grants and cooperative agreements, and 
transferring them to payment offices for collection.
    (b) Resolution of indebtedness. The grants officer shall attempt to 
resolve by mutual agreement any claim of a recipient's indebtedness to 
the United States arising out of a grant or cooperative agreement (e.g., 
by a finding that a recipient was paid funds in excess of the amount to 
which the recipient was entitled under the terms and conditions of the 
award).
    (c) Grants officer's decision. In the absence of such mutual 
agreement, any claim of a recipient's indebtedness shall be the subject 
of a grants officer decision, in accordance with Sec. 22.815(b)(2). The 
grants officer shall prepare and transmit to the recipient a written 
notice that:
    (1) Describes the debt, including the amount, the name and address 
of the official who determined the debt (e.g., the grants officer under 
Sec. 22.815(d)), and a copy of that determination.
    (2) Informs the recipient that:
    (i) Within 30 calendar days of the grants officer's decision, the 
recipient shall either pay the amount owed to the grants officer (at the 
address that was provided pursuant to paragraph (c)(1) of this section) 
or inform the grants officer of the recipient's intention to appeal the 
decision.
    (ii) If the recipient elects not to appeal, any amounts not paid 
within 30 calendar days of the grants officer's decision will be a 
delinquent debt.
    (iii) If the recipient elects to appeal the grants officer's 
decision the recipient has 90 calendar days, or 150 calendar days if ADR 
procedures are used, after receipt of the grants officer's decision to 
file the appeal, in accordance with Sec. 22.815(e)(3)(i).
    (iv) The debt will bear interest, and may include penalties and 
other administrative costs, in accordance with the debt collection 
provisions in Chapters 29, 31, and 32 of Volume 5 and Chapters 18 and 19 
of Volume 10 of the DoD Financial Management Regulation (DoD 7000.14-R). 
No interest will be charged if the recipient pays the amount owed within 
30 calendar days of the grants officer's decision. Interest will be 
charged for the entire period from the date the decision was mailed, if 
the recipient pays the amount owed after 30 calendar days.
    (d) Follow-up. Depending upon the response from the recipient, the 
grants officer shall proceed as follows:

[[Page 90]]

    (1) If the recipient pays the amount owed within 30 calendar days to 
the grants officer, the grants officer shall forward the payment to the 
responsible payment office.
    (2) If within 30 calendar days the recipient elects to appeal the 
grants officer's decision, further action to collect the debt is 
deferred, pending the outcome of the appeal. If the final result of the 
appeal is a determination that the recipient owes a debt to the Federal 
Government, the grants officer shall send a demand letter to the 
recipient and transfer responsibility for further debt collection to a 
payment office, as described in paragraph (d)(3) of this section.
    (3) If within 30 calendar days the recipient has neither paid the 
amount due nor provided notice of intent to file an appeal of the grants 
officer's decision, the grants officer shall send a demand letter to the 
recipient, with a copy to the payment office that will be responsible 
for collecting the delinquent debt. The payment office will be 
responsible for any further debt collection activity, including issuance 
of additional demand letters (see Chapter 19 of volume 10 of the DoD 
Financial Management Regulation, DoD 7000.14-R). The grants officer's 
demand letter shall:
    (i) Describe the debt, including the amount, the name and address of 
the official that determined the debt (e.g., the grants officer under 
Sec. 22.815(d)), and a copy of that determination.
    (ii) Notify the recipient that the debt is a delinquent debt that 
bears interest from the date of the grants officer's decision, and that 
penalties and other administrative costs may be assessed.
    (iii) Identify the payment office that is responsible for the 
collection of the debt, and notify the recipient that it may submit a 
proposal to that payment office to defer collection, if immediate 
payment is not practicable.
    (e) Administrative offset. In carrying out the responsibility for 
collecting delinquent debts, a disbursing officer may need to consult 
grants officers, to determine whether administrative offset against 
payments to a recipient owing a delinquent debt would interfere with 
execution of projects being carried out under grants or cooperative 
agreements. Disbursing officers may also ask grants officers whether it 
is feasible to convert payment methods under grants or cooperative 
agreements from advance payments to reimbursements, to facilitate use of 
administrative offset. Grants officers therefore should be familiar with 
guidelines for disbursing officers, in Chapter 19 of Volume 10 of the 
Financial Management Regulation (DoD 7000.14-R), concerning withholding 
and administrative offset to recover delinquent debts.



Sec. 22.825  Closeout audits.

    (a) Purpose. This section establishes DoD policy for obtaining 
audits at closeout of individual grants and cooperative agreements. It 
thereby supplements the closeout procedures specified in:
    (1) 32 CFR 32.71 and 32.72, for awards to institutions of higher 
education and other nonprofit organizations.
    (2) 32 CFR 33.50 and 33.51, for awards to State and local 
governments.
    (3) 32 CFR 34.61 and 34.62, for awards to for-profit entities.
    (b) Policy. Grants officers shall use their judgment on a case-by-
case basis, in deciding whether to obtain an audit prior to closing out 
a grant or cooperative agreement (i.e., there is no specific DoD 
requirement to obtain an audit prior to doing so). Factors to be 
considered include:
    (1) The amount of the award.
    (2) DoD's past experience with the recipient, including the presence 
or lack of findings of material deficiencies in recent:
    (i) Audits of individual awards; or
    (ii) Systems-wide financial audits and audits of the compliance of 
the recipient's systems with Federal requirements, under OMB Circular A-
133, where that Circular is applicable. (See Sec. 22.715(a)(1)).

[[Page 91]]



      Sec. Appendix A to Part 22--Proposal Provision for Required 
                              Certification
[GRAPHIC] [TIFF OMITTED] TR23AU05.028


[70 FR 49468, Aug. 23, 2005]

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  Sec. Appendix B to Part 22--Suggested Award Provisions for National 
                  Policy Requirements That Often Apply
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[72 FR 34989, June 26, 2007]

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Sec. Appendix C to Part 22--Administrative Requirements and Issues To Be 
                 Addressed in Award Terms and Conditions
[GRAPHIC] [TIFF OMITTED] TR16MR00.024


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[65 FR 14411, Mar. 16, 2000]

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PART 26_GOVERNMENTWIDE REQUIREMENTS FOR DRUG-FREE WORKPLACE
(FINANCIAL ASSISTANCE)--Table of Contents



                     Subpart A_Purpose and Coverage

Sec.
26.100 What does this part do?
26.105 Does this part apply to me?
26.110 Are any of my Federal assistance awards exempt from this part?
26.115 Does this part affect the Federal contracts that I receive?

      Subpart B_Requirements for Recipients Other Than Individuals

26.200 What must I do to comply with this part?
26.205 What must I include in my drug-free workplace statement?
26.210 To whom must I distribute my drug-free workplace statement?
26.215 What must I include in my drug-free awareness program?
26.220 By when must I publish my drug-free workplace statement and 
          establish my drug-free awareness program?
26.225 What actions must I take concerning employees who are convicted 
          of drug violations in the workplace?
26.230 How and when must I identify workplaces?

        Subpart C_Requirements for Recipients Who Are Individuals

26.300 What must I do to comply with this part if I am an individual 
          recipient?
26.301 [Reserved]

     Subpart D_Responsibilities of DOD Component Awarding Officials

26.400 What are my responsibilities as a DOD Component awarding 
          official?

           Subpart E_Violations of This Part and Consequences

26.500 How are violations of this part determined for recipients other 
          than individuals?
26.505 How are violations of this part determined for recipients who are 
          individuals?
26.510 What actions will the Federal Government take against a recipient 
          determined to have violated this part?
26.515 Are there any exceptions to those actions?

                          Subpart F_Definitions

26.605 Award
26.610 Controlled substance.
26.615 Conviction.
26.620 Cooperative agreement.
26.625 Criminal drug statute.
26.630 Debarment.
26.632 DOD Component.
26.635 Drug-free workplace.
26.640 Employee.
26.645 Federal agency or agency.
26.650 Grant.
26.655 Individual.
26.660 Recipient.
26.665 State.
26.670 Suspension.

    Authority: 41U.S.C.701, et seq.

    Source: 68 FR 66557, 66609, Nov. 26, 2003, unless otherwise noted.



                     Subpart A_Purpose and Coverage



Sec. 26.100  What does this part do?

    This part carries out the portion of the Drug-Free Workplace Act of 
1988 (41 U.S.C. 701 et seq., as amended) that applies to grants. It also 
applies the provisions of the Act to cooperative agreements and other 
financial assistance awards, as a matter of Federal Government policy.



Sec. 26.105  Does this part apply to me?

    (a) Portions of this part apply to you if you are either--
    (1) A recipient of an assistance award from the DOD Component; or
    (2) A(n) DOD Component awarding official. (See definitions of award 
and recipient in Sec. Sec. 26.605 and 26.660, respectively.)
    (b) The following table shows the subparts that apply to you:

------------------------------------------------------------------------
             If you are . . .                    see subparts . . .
------------------------------------------------------------------------
(1) A recipient who is not an individual..  A, B and E.
(2) A recipient who is an individual......  A, C and E.
(3) A(n) DOD Component awarding official..  A, D and E.
------------------------------------------------------------------------



Sec. 26.110  Are any of my Federal assistance awards exempt from this
part?

    This part does not apply to any award that the Head of the DOD 
Component or his or her designee determines that the application of this 
part would be inconsistent with the international obligations of the 
United States or the laws or regulations of a foreign government.

[[Page 105]]



Sec. 26.115  Does this part affect the Federal contracts that I receive?

    It will affect future contract awards indirectly if you are debarred 
or suspended for a violation of the requirements of this part, as 
described in Sec. 26.510(c). However, this part does not apply directly 
to procurement contracts. The portion of the Drug-Free Workplace Act of 
1988 that applies to Federal procurement contracts is carried out 
through the Federal Acquisition Regulation in chapter 1 of Title 48 of 
the Code of Federal Regulations (the drug-free workplace coverage 
currently is in 48 CFR part 23, subpart 23.5).



      Subpart B_Requirements for Recipients Other Than Individuals



Sec. 26.200  What must I do to comply with this part?

    There are two general requirements if you are a recipient other than 
an individual.
    (a) First, you must make a good faith effort, on a continuing basis, 
to maintain a drug-free workplace. You must agree to do so as a 
condition for receiving any award covered by this part. The specific 
measures that you must take in this regard are described in more detail 
in subsequent sections of this subpart. Briefly, those measures are to--
    (1) Publish a drug-free workplace statement and establish a drug-
free awareness program for your employees (see Sec. Sec. 26.205 through 
26.220); and
    (2) Take actions concerning employees who are convicted of violating 
drug statutes in the workplace (see Sec. 26.225).
    (b) Second, you must identify all known workplaces under your 
Federal awards (see Sec. 26.230).



Sec. 26.205  What must I include in my drug-free workplace statement?

    You must publish a statement that--
    (a) Tells your employees that the unlawful manufacture, 
distribution, dispensing, possession, or use of a controlled substance 
is prohibited in your workplace;
    (b) Specifies the actions that you will take against employees for 
violating that prohibition; and
    (c) Lets each employee know that, as a condition of employment under 
any award, he or she:
    (1) Will abide by the terms of the statement; and
    (2) Must notify you in writing if he or she is convicted for a 
violation of a criminal drug statute occurring in the workplace and must 
do so no more than five calendar days after the conviction.



Sec. 26.210  To whom must I distribute my drug-free workplace
statement?

    You must require that a copy of the statement described in Sec. 
26.205 be given to each employee who will be engaged in the performance 
of any Federal award.



Sec. 26.215  What must I include in my drug-free awareness program?

    You must establish an ongoing drug-free awareness program to inform 
employees about--
    (a) The dangers of drug abuse in the workplace;
    (b) Your policy of maintaining a drug-free workplace;
    (c) Any available drug counseling, rehabilitation, and employee 
assistance programs; and
    (d) The penalties that you may impose upon them for drug abuse 
violations occurring in the workplace.



Sec. 26.220  By when must I publish my drug-free workplace statement and establish my drug-free awareness program?

    If you are a new recipient that does not already have a policy 
statement as described in Sec. 26.205 and an ongoing awareness program 
as described in Sec. 26.215, you must publish the statement and 
establish the program by the time given in the following table:

------------------------------------------------------------------------
                 If . . .                          then you . . .
------------------------------------------------------------------------
(a) The performance period of the award is  must have the policy
 less than 30 days.                          statement and program in
                                             place as soon as possible,
                                             but before the date on
                                             which performance is
                                             expected to be completed.
(b) The performance period of the award is  must have the policy
 30 days or more.                            statement and program in
                                             place within 30 days after
                                             award.

[[Page 106]]

 
(c) You believe there are extraordinary     may ask the DOD Component
 circumstances that will require more than   awarding official to give
 30 days for you to publish the policy       you more time to do so. The
 statement and establish the awareness       amount of additional time,
 program.                                    if any, to be given is at
                                             the discretion of the
                                             awarding official.
------------------------------------------------------------------------



Sec. 26.225  What actions must I take concerning employees who are
convicted of drug violations in the workplace?

    There are two actions you must take if an employee is convicted of a 
drug violation in the workplace:
    (a) First, you must notify Federal agencies if an employee who is 
engaged in the performance of an award informs you about a conviction, 
as required by Sec. 26.205(c)(2), or you otherwise learn of the 
conviction. Your notification to the Federal agencies must--
    (1) Be in writing;
    (2) Include the employee's position title;
    (3) Include the identification number(s) of each affected award;
    (4) Be sent within ten calendar days after you learn of the 
conviction; and
    (5) Be sent to every Federal agency on whose award the convicted 
employee was working. It must be sent to every awarding official or his 
or her official designee, unless the Federal agency has specified a 
central point for the receipt of the notices.
    (b) Second, within 30 calendar days of learning about an employee's 
conviction, you must either--
    (1) Take appropriate personnel action against the employee, up to 
and including termination, consistent with the requirements of the 
Rehabilitation Act of 1973 (29 U.S.C. 794), as amended; or
    (2) Require the employee to participate satisfactorily in a drug 
abuse assistance or rehabilitation program approved for these purposes 
by a Federal, State or local health, law enforcement, or other 
appropriate agency.



Sec. 26.230  How and when must I identify workplaces?

    (a) You must identify all known workplaces under each DOD Component 
award. A failure to do so is a violation of your drug-free workplace 
requirements. You may identify the workplaces--
    (1) To the DOD Component official that is making the award, either 
at the time of application or upon award; or
    (2) In documents that you keep on file in your offices during the 
performance of the award, in which case you must make the information 
available for inspection upon request by DOD Component officials or 
their designated representatives.
    (b) Your workplace identification for an award must include the 
actual address of buildings (or parts of buildings) or other sites where 
work under the award takes place. Categorical descriptions may be used 
(e.g., all vehicles of a mass transit authority or State highway 
department while in operation, State employees in each local 
unemployment office, performers in concert halls or radio studios).
    (c) If you identified workplaces to the DOD Component awarding 
official at the time of application or award, as described in paragraph 
(a)(1) of this section, and any workplace that you identified changes 
during the performance of the award, you must inform the DOD Component 
awarding official.



        Subpart C_Requirements for Recipients Who Are Individuals



Sec. 26.300  What must I do to comply with this part if I am an
individual recipient?

    As a condition of receiving a(n) DOD Component award, if you are an 
individual recipient, you must agree that--
    (a) You will not engage in the unlawful manufacture, distribution, 
dispensing, possession, or use of a controlled substance in conducting 
any activity related to the award; and
    (b) If you are convicted of a criminal drug offense resulting from a 
violation occurring during the conduct of any award activity, you will 
report the conviction:
    (1) In writing.
    (2) Within 10 calendar days of the conviction.
    (3) To the DOD Component awarding official or other designee for 
each award that you currently have, unless Sec. 26.301 or the award 
document designates a central point for the receipt of the notices. When 
notice is made to a central point, it must include the

[[Page 107]]

identification number(s) of each affected award.



Sec. 26.301  [Reserved]



     Subpart D_Responsibilities of DOD Component Awarding Officials



Sec. 26.400  What are my responsibilities as a(n) DOD Component
awarding official?

    As a(n) DOD Component awarding official, you must obtain each 
recipient's agreement, as a condition of the award, to comply with the 
requirements in--
    (a) Subpart B of this part, if the recipient is not an individual; 
or
    (b) Subpart C of this part, if the recipient is an individual.



           Subpart E_Violations of this Part and Consequences



Sec. 26.500  How are violations of this part determined for recipients
other than individuals?

    A recipient other than an individual is in violation of the 
requirements of this part if the Head of the DOD Component or his or her 
designee determines, in writing, that--
    (a) The recipient has violated the requirements of subpart B of this 
part; or
    (b) The number of convictions of the recipient's employees for 
violating criminal drug statutes in the workplace is large enough to 
indicate that the recipient has failed to make a good faith effort to 
provide a drug-free workplace.



Sec. 26.505  How are violations of this part determined for recipients
who are individuals?

    An individual recipient is in violation of the requirements of this 
part if the Head of the DOD Component or his or her designee determines, 
in writing, that--
    (a) The recipient has violated the requirements of subpart C of this 
part; or
    (b) The recipient is convicted of a criminal drug offense resulting 
from a violation occurring during the conduct of any award activity.



Sec. 26.510  What actions will the Federal Government take against
a recipient determined to have violated this part?

    If a recipient is determined to have violated this part, as 
described in Sec. 26.500 or Sec. 26.505, the DOD Component may take 
one or more of the following actions--
    (a) Suspension of payments under the award;
    (b) Suspension or termination of the award; and
    (c) Suspension or debarment of the recipient under 32 CFR Part 25, 
for a period not to exceed five years.



Sec. 26.515  Are there any exceptions to those actions?

    The Secretary of Defense or Secretary of a Military Department may 
waive with respect to a particular award, in writing, a suspension of 
payments under an award, suspension or termination of an award, or 
suspension or debarment of a recipient if the Secretary of Defense or 
Secretary of a Military Department determines that such a waiver would 
be in the public interest. This exception authority cannot be delegated 
to any other official.



                          Subpart F_Definitions



Sec. 26.605  Award.

    Award means an award of financial assistance by the DOD Component or 
other Federal agency directly to a recipient.
    (a) The term award includes:
    (1) A Federal grant or cooperative agreement, in the form of money 
or property in lieu of money.
    (2) A block grant or a grant in an entitlement program, whether or 
not the grant is exempted from coverage under the Governmentwide rule 32 
CFR Part 33 that implements OMB Circular A-102 (for availability, see 5 
CFR 1310.3) and specifies uniform administrative requirements.
    (b) The term award does not include:
    (1) Technical assistance that provides services instead of money.
    (2) Loans.
    (3) Loan guarantees.
    (4) Interest subsidies.
    (5) Insurance.
    (6) Direct appropriations.

[[Page 108]]

    (7) Veterans' benefits to individuals (i.e., any benefit to 
veterans, their families, or survivors by virtue of the service of a 
veteran in the Armed Forces of the United States).



Sec. 26.610  Controlled substance.

    Controlled substance means a controlled substance in schedules I 
through V of the Controlled Substances Act (21 U.S.C. 812), and as 
further defined by regulation at 21 CFR 1308.11 through 1308.15.



Sec. 26.615  Conviction.

    Conviction means a finding of guilt (including a plea of nolo 
contendere) or imposition of sentence, or both, by any judicial body 
charged with the responsibility to determine violations of the Federal 
or State criminal drug statutes.



Sec. 26.620  Cooperative agreement.

    Cooperative agreement means an award of financial assistance that, 
consistent with 31 U.S.C. 6305, is used to enter into the same kind of 
relationship as a grant (see definition of grant in Sec. 26.650), 
except that substantial involvement is expected between the Federal 
agency and the recipient when carrying out the activity contemplated by 
the award. The term does not include cooperative research and 
development agreements as defined in 15 U.S.C. 3710a.



Sec. 26.625  Criminal drug statute.

    Criminal drug statute means a Federal or non-Federal criminal 
statute involving the manufacture, distribution, dispensing, use, or 
possession of any controlled substance.



Sec. 26.630  Debarment.

    Debarment means an action taken by a Federal agency to prohibit a 
recipient from participating in Federal Government procurement contracts 
and covered nonprocurement transactions. A recipient so prohibited is 
debarred, in accordance with the Federal Acquisition Regulation for 
procurement contracts (48 CFR part 9, subpart 9.4) and the common rule, 
Government-wide Debarment and Suspension (Nonprocurement), that 
implements Executive Order 12549 and Executive Order 12689.



Sec. 26.632  DOD Component.

    DOD Component means the Office of the Secretary of Defense, a 
Military Department, a Defense Agency, or the Office of Economic 
Adjustment.

[68 FR 66609, Nov. 26, 2003]



Sec. 26.635  Drug-free workplace.

    Drug-free workplace means a site for the performance of work done in 
connection with a specific award at which employees of the recipient are 
prohibited from engaging in the unlawful manufacture, distribution, 
dispensing, possession, or use of a controlled substance.



Sec. 26.640  Employee.

    (a) Employee means the employee of a recipient directly engaged in 
the performance of work under the award, including--
    (1) All direct charge employees;
    (2) All indirect charge employees, unless their impact or 
involvement in the performance of work under the award is insignificant 
to the performance of the award; and
    (3) Temporary personnel and consultants who are directly engaged in 
the performance of work under the award and who are on the recipient's 
payroll.
    (b) This definition does not include workers not on the payroll of 
the recipient (e.g., volunteers, even if used to meet a matching 
requirement; consultants or independent contractors not on the payroll; 
or employees of subrecipients or subcontractors in covered workplaces).



Sec. 26.645  Federal agency or agency.

    Federal agency or agency means any United States executive 
department, military department, government corporation, government 
controlled corporation, any other establishment in the executive branch 
(including the Executive Office of the President), or any independent 
regulatory agency.



Sec. 26.650  Grant.

    Grant means an award of financial assistance that, consistent with 
31 U.S.C.

[[Page 109]]

6304, is used to enter into a relationship--
    (a) The principal purpose of which is to transfer a thing of value 
to the recipient to carry out a public purpose of support or stimulation 
authorized by a law of the United States, rather than to acquire 
property or services for the Federal Government's direct benefit or use; 
and
    (b) In which substantial involvement is not expected between the 
Federal agency and the recipient when carrying out the activity 
contemplated by the award.



Sec. 26.655  Individual.

    Individual means a natural person.



Sec. 26.660  Recipient.

    Recipient means any individual, corporation, partnership, 
association, unit of government (except a Federal agency) or legal 
entity, however organized, that receives an award directly from a 
Federal agency.



Sec. 26.665  State.

    State means any of the States of the United States, the District of 
Columbia, the Commonwealth of Puerto Rico, or any territory or 
possession of the United States.



Sec. 26.670  Suspension.

    Suspension means an action taken by a Federal agency that 
immediately prohibits a recipient from participating in Federal 
Government procurement contracts and covered nonprocurement transactions 
for a temporary period, pending completion of an investigation and any 
judicial or administrative proceedings that may ensue. A recipient so 
prohibited is suspended, in accordance with the Federal Acquisition 
Regulation for procurement contracts (48 CFR part 9, subpart 9.4) and 
the common rule, Government-wide Debarment and Suspension 
(Nonprocurement), that implements Executive Order 12549 and Executive 
Order 12689. Suspension of a recipient is a distinct and separate action 
from suspension of an award or suspension of payments under an award.



PART 28_NEW RESTRICTIONS ON LOBBYING--Table of Contents



                            Subpart A_General

Sec.
28.100 Conditions on use of funds.
28.105 Definitions.
28.110 Certification and disclosure.

                  Subpart B_Activities by Own Employees

28.200 Agency and legislative liaison.
28.205 Professional and technical services.
28.210 Reporting.

            Subpart C_Activities by Other Than Own Employees

28.300 Professional and technical services.

                   Subpart D_Penalties and Enforcement

28.400 Penalties.
28.405 Penalty procedures.
28.410 Enforcement.

                          Subpart E_Exemptions

28.500 Secretary of Defense.

                        Subpart F_Agency Reports

28.600 Semi-annual compilation.
28.605 Inspector General report.

Appendix A to Part 28--Certification Regarding Lobbying
Appendix B to Part 28--Disclosure Form To Report Lobbying

    Authority: Section 319, Public Law 102-121 (31 U.S.C. 1352); 5 
U.S.C. section 301; 10 U.S.C. 113.

    Source: 55 FR 6737, 6752, Feb. 26, 1990, unless otherwise noted. 
Redesignated at 57 FR 6199, Feb. 21, 1992.

    Cross Reference: See also Office of Management and Budget notice 
published at 54 FR 52306, December 20, 1989.



                            Subpart A_General



Sec. 28.100  Conditions on use of funds.

    (a) No appropriated funds may be expended by the recipient of a 
Federal contract, grant, loan, or cooperative ageement to pay any person 
for influencing or attempting to influence an officer or employee of any 
agency, a Member of Congress, an officer or employee of Congress, or an 
employee of a Member of Congress in connection with any of the following 
covered Federal actions: the awarding of any Federal

[[Page 110]]

contract, the making of any Federal grant, the making of any Federal 
loan, the entering into of any cooperative agreement, and the extension, 
continuation, renewal, amendment, or modification of any Federal 
contract, grant, loan, or cooperative agreement.
    (b) Each person who requests or receives from an agency a Federal 
contract, grant, loan, or cooperative agreement shall file with that 
agency a certification, set forth in Appendix A, that the person has not 
made, and will not make, any payment prohibited by paragraph (a) of this 
section.
    (c) Each person who requests or receives from an agency a Federal 
contract, grant, loan, or a cooperative agreement shall file with that 
agency a disclosure form, set forth in Appendix B, if such person has 
made or has agreed to make any payment using nonappropriated funds (to 
include profits from any covered Federal action), which would be 
prohibited under paragraph (a) of this section if paid for with 
appropriated funds.
    (d) Each person who requests or receives from an agency a commitment 
providing for the United States to insure or guarantee a loan shall file 
with that agency a statement, set forth in appendix A, whether that 
person has made or has agreed to make any payment to influence or 
attempt to influence an officer or employee of any agency, a Member of 
Congress, an officer or employee of Congress, or an employee of a Member 
of Congress in connection with that loan insurance or guarantee.
    (e) Each person who requests or receives from an agency a commitment 
providing for the United States to insure or guarantee a loan shall file 
with that agency a disclosure form, set forth in Appendix B, if that 
person has made or has agreed to make any payment to influence or 
attempt to influence an officer or employee of any agency, a Member of 
Congress, an officer or employee of Congress, or an employee of a Member 
of Congress in connection with that loan insurance or guarantee.



Sec. 28.105  Definitions.

    For purposes of this part:
    (a) Agency, as defined in 5 U.S.C. 552(f), includes Federal 
executive departments and agencies as well as independent regulatory 
commissions and Government corporations, as defined in 31 U.S.C. 
9101(1).
    (b) Covered Federal action means any of the following Federal 
actions:
    (1) The awarding of any Federal contract;
    (2) The making of any Federal grant;
    (3) The making of any Federal loan;
    (4) The entering into of any cooperative agreement; and,
    (5) The extension, continuation, renewal, amendment, or modification 
of any Federal contract, grant, loan, or cooperative agreement.

Covered Federal action does not include receiving from an agency a 
commitment providing for the United States to insure or guarantee a 
loan. Loan guarantees and loan insurance are addressed independently 
within this part.
    (c) Federal contract means an acquisition contract awarded by an 
agency, including those subject to the Federal Acquisition Regulation 
(FAR), and any other acquisition contract for real or personal property 
or services not subject to the FAR.
    (d) Federal cooperative agreement means a cooperative agreement 
entered into by an agency.
    (e) Federal grant means an award of financial assistance in the form 
of money, or property in lieu of money, by the Federal Government or a 
direct appropriation made by law to any person. The term does not 
include technical assistance which provides services instead of money, 
or other assistance in the form of revenue sharing, loans, loan 
guarantees, loan insurance, interest subsidies, insurance, or direct 
United States cash assistance to an individual.
    (f) Federal loan means a loan made by an agency. The term does not 
include loan guarantee or loan insurance.
    (g) Indian tribe and tribal organization have the meaning provided 
in section 4 of the Indian Self-Determination and Education Assistance 
Act (25 U.S.C. 450B). Alaskan Natives are included under the definitions 
of Indian tribes in that Act.
    (h) Influencing or attempting to influence means making, with the 
intent to

[[Page 111]]

influence, any communication to or appearance before an officer or 
employee or any agency, a Member of Congress, an officer or employee of 
Congress, or an employee of a Member of Congress in connection with any 
covered Federal action.
    (i) Loan guarantee and loan insurance means an agency's guarantee or 
insurance of a loan made by a person.
    (j) Local government means a unit of government in a State and, if 
chartered, established, or otherwise recognized by a State for the 
performance of a governmental duty, including a local public authority, 
a special district, an intrastate district, a council of governments, a 
sponsor group representative organization, and any other instrumentality 
of a local government.
    (k) Officer or employee of an agency includes the following 
individuals who are employed by an agency:
    (1) An individual who is appointed to a position in the Government 
under title 5, U.S. Code, including a position under a temporary 
appointment;
    (2) A member of the uniformed services as defined in section 101(3), 
title 37, U.S. Code;
    (3) A special Government employee as defined in section 202, title 
18, U.S. Code; and,
    (4) An individual who is a member of a Federal advisory committee, 
as defined by the Federal Advisory Committee Act, title 5, U.S. Code 
appendix 2.
    (l) Person means an individual, corporation, company, association, 
authority, firm, partnership, society, State, and local government, 
regardless of whether such entity is operated for profit or not for 
profit. This term excludes an Indian tribe, tribal organization, or any 
other Indian organization with respect to expenditures specifically 
permitted by other Federal law.
    (m) Reasonable compensation means, with respect to a regularly 
employed officer or employee of any person, compensation that is 
consistent with the normal compensation for such officer or employee for 
work that is not furnished to, not funded by, or not furnished in 
cooperation with the Federal Government.
    (n) Reasonable payment means, with respect to perfessional and other 
technical services, a payment in an amount that is consistent with the 
amount normally paid for such services in the private sector.
    (o) Recipient includes all contractors, subcontractors at any tier, 
and subgrantees at any tier of the recipient of funds received in 
connection with a Federal contract, grant, loan, or cooperative 
agreement. The term excludes an Indian tribe, tribal organization, or 
any other Indian organization with respect to expenditures specifically 
permitted by other Federal law.
    (p) Regularly employed means, with respect to an officer or employee 
of a person requesting or receiving a Federal contract, grant, loan, or 
cooperative agreement or a commitment providing for the United States to 
insure or guarantee a loan, an officer or employee who is employed by 
such person for at least 130 working days within one year immediately 
preceding the date of the submission that initiates agency consideration 
of such person for receipt of such contract, grant, loan, cooperative 
agreement, loan insurance commitment, or loan guarantee commitment. An 
officer or employee who is employed by such person for less than 130 
working days within one year immediately preceding the date of the 
submission that initiates agency consideration of such person shall be 
considered to be regularly employed as soon as he or she is employed by 
such person for 130 working days.
    (q) State means a State of the United States, the District of 
Columbia, the Commonwealth of Puerto Rico, a territory or possession of 
the United States, an agency or instrumentality of a State, and a multi-
State, regional, or interstate entity having governmental duties and 
powers.



Sec. 28.110  Certification and disclosure.

    (a) Each person shall file a certification, and a disclosure form, 
if required, with each submission that initiates agency consideration of 
such person for:
    (1) Award of a Federal contract, grant, or cooperative agreement 
exceeding $100,000; or

[[Page 112]]

    (2) An award of a Federal loan or a commitment providing for the 
United States to insure or guarantee a loan exceeding $150,000.
    (b) Each person shall file a certification, and a disclosure form, 
if required, upon receipt by such person of:
    (1) A Federal contract, grant, or cooperative agreement exceeding 
$100,000; or
    (2) A Federal loan or a commitment providing for the United States 
to insure or guarantee a loan exceeding $150,000,

Unless such person previously filed a certification, and a disclosure 
form, if required, under paragraph (a) of this section.
    (c) Each person shall file a disclosure form at the end of each 
calendar quarter in which there occurs any event that requires 
disclosure or that materially affects the accuracy of the information 
contained in any disclosure form previously filed by such person under 
paragraphs (a) or (b) of this section. An event that materially affects 
the accuracy of the information reported includes:
    (1) A cumulative increase of $25,000 or more in the amount paid or 
expected to be paid for influencing or attempting to influence a covered 
Federal action; or
    (2) A change in the person(s) or individual(s) influencing or 
attempting to influence a covered Federal action; or,
    (3) A change in the officer(s), employee(s), or Member(s) contacted 
to influence or attempt to influence a covered Federal action.
    (d) Any person who requests or receives from a person referred to in 
paragraphs (a) or (b) of this section:
    (1) A subcontract exceeding $100,000 at any tier under a Federal 
contract;
    (2) A subgrant, contract, or subcontract exceeding $100,000 at any 
tier under a Federal grant;
    (3) A contract or subcontract exceeding $100,000 at any tier under a 
Federal loan exceeding $150,000; or,
    (4) A contract or subcontract exceeding $100,000 at any tier under a 
Federal cooperative agreement,


Shall file a certification, and a disclosure form, if required, to the 
next tier above.
    (e) All disclosure forms, but not certifications, shall be forwarded 
from tier to tier until received by the person referred to in paragraphs 
(a) or (b) of this section. That person shall forward all disclosure 
forms to the agency.
    (f) Any certification or disclosure form filed under paragraph (e) 
of this section shall be treated as a material representation of fact 
upon which all receiving tiers shall rely. All liability arising from an 
erroneous representation shall be borne solely by the tier filing that 
representation and shall not be shared by any tier to which the 
erroneous representation is forwarded. Submitting an erroneous 
certification or disclosure constitutes a failure to file the required 
certification or disclosure, respectively. If a person fails to file a 
required certification or disclosure, the United States may pursue all 
available remedies, including those authorized by section 1352, title 
31, U.S. Code.
    (g) For awards and commitments in process prior to December 23, 
1989, but not made before that date, certifications shall be required at 
award or commitment, covering activities occurring between December 23, 
1989, and the date of award or commitment. However, for awards and 
commitments in process prior to the December 23, 1989 effective date of 
these provisions, but not made before December 23, 1989, disclosure 
forms shall not be required at time of award or commitment but shall be 
filed within 30 days.
    (h) No reporting is required for an activity paid for with 
appropriated funds if that activity is allowable under either subpart B 
or C.



                  Subpart B_Activities by Own Employees



Sec. 28.200  Agency and legislative liaison.

    (a) The prohibition on the use of appropriated funds, in Sec. 
28.100 (a), does not apply in the case of a payment of reasonable 
compensation made to an officer or employee of a person requesting or 
receiving a Federal contract, grant, loan, or cooperative agreement if 
the payment is for agency and legislative liaison activities not 
directly related to a covered Federal action.

[[Page 113]]

    (b) For purposes of paragraph (a) of this section, providing any 
information specifically requested by an agency or Congress is allowable 
at any time.
    (c) For purposes of paragraph (a) of this section, the following 
agency and legislative liaison activities are allowable at any time only 
where they are not related to a specific solicitation for any covered 
Federal action:
    (1) Discussing with an agency (including individual demonstrations) 
the qualities and characteristics of the person's products or services, 
conditions or terms of sale, and service capabilities; and,
    (2) Technical discussions and other activities regarding the 
application or adaptation of the person's products or services for an 
agency's use.
    (d) For purposes of paragraph (a) of this section, the following 
agencies and legislative liaison activities are allowable only where 
they are prior to formal solicitation of any covered Federal action:
    (1) Providing any information not specifically requested but 
necessary for an agency to make an informed decision about initiation of 
a covered Federal action;
    (2) Technical discussions regarding the preparation of an 
unsolicited proposal prior to its official submission; and,
    (3) Capability presentations by persons seeking awards from an 
agency pursuant to the provisions of the Small Business Act, as amended 
by Public Law 95-507 and other subsequent amendments.
    (e) Only those activities expressly authorized by this section are 
allowable under this section.

[55 FR 6737, 6752, Feb. 26, 1990. Redesignated and amended at 57 FR 
6199, 6200, Feb. 21, 1992]



Sec. 28.205  Professional and technical services.

    (a) The prohibition on the use of appropriated funds, in Sec. 
28.100 (a), does not apply in the case of a payment of reasonable 
compensation made to an officer or employee of a person requesting or 
receiving a Federal contract, grant, loan, or cooperative agreement or 
an extension, continuation, renewal, amendment, or modification of a 
Federal contract, grant, loan, or cooperative agreement if payment is 
for professional or technical services rendered directly in the 
preparation, submission, or negotiation of any bid, proposal, or 
application for that Federal contract, grant, loan, or cooperative 
agreement or for meeting requirements imposed by or pursuant to law as a 
condition for receiving that Federal contract, grant, loan, or 
cooperative agreement.
    (b) For purposes of paragraph (a) of this section, ``professional 
and technical services'' shall be limited to advice and analysis 
directly applying any professional or technical discipline. For example, 
drafting of a legal document accompanying a bid or proposal by a lawyer 
is allowable. Similarly, technical advice provided by an engineer on the 
performance or operational capability of a piece of equipment rendered 
directly in the negotiation of a contract is allowable. However, 
communications with the intent to influence made by a professional (such 
as a licensed lawyer) or a technical person (such as a licensed 
accountant) are not allowable under this section unless they provide 
advice and analysis directly applying their professional or technical 
expertise and unless the advice or analysis is rendered directly and 
solely in the preparation, submission or negotiation of a covered 
Federal action. Thus, for example, communications with the intent to 
influence made by a lawyer that do not provide legal advice or analysis 
directly and solely related to the legal aspects of his or her client's 
proposal, but generally advocate one proposal over another are not 
allowable under this section because the lawyer is not providing 
professional legal services. Similarly, communications with the intent 
to influence made by an engineer providing an engineering analysis prior 
to the preparation or submission of a bid or proposal are not allowable 
under this section since the engineer is providing technical services 
but not directly in the preparation, submission or negotiation of a 
covered Federal action.
    (c) Requirements imposed by or pursuant to law as a condition for 
receiving a covered Federal award include those required by law or 
regulation, or

[[Page 114]]

reasonably expected to be required by law or regulation, and any other 
requirements in the actual award documents.
    (d) Only those services expressly authorized by this section are 
allowable under this section.

[55 FR 6737, 6752, Feb. 26, 1990. Redesignated and amended at 57 FR 
6199, 6200, Feb. 21, 1992]



Sec. 28.210  Reporting.

    No reporting is required with respect to payments of reasonable 
compensation made to regularly employed officers or employees of a 
person.



            Subpart C_Activities by Other Than Own Employees



Sec. 28.300  Professional and technical services.

    (a) The prohibition on the use of appropriated funds, in Sec. 
28.100 (a), does not apply in the case of any reasonable payment to a 
person, other than an officer or employee of a person requesting or 
receiving a covered Federal action, if the payment is for professional 
or technical services rendered directly in the preparation, submission, 
or negotiation of any bid, proposal, or application for that Federal 
contract, grant, loan, or cooperative agreement or for meeting 
requirements imposed by or pursuant to law as a condition for receiving 
that Federal contract, grant, loan, or cooperative agreement.
    (b) The reporting requirments in Sec. 28.110 (a) and (b) regarding 
filing a disclosure form by each person, if required, shall not apply 
with respect to professional or technical services rendered directly in 
the preparation, submission, or negotiation of any commitment providing 
for the United States to insure or guarantee a loan.
    (c) For purposes of paragraph (a) of this section, ``professional 
and technical services'' shall be limited to advice and analysis 
directly applying any professional or technical discipline. For example, 
drafting of a legal document accompanying a bid or proposal by a lawyer 
is allowable. Similarly, technical advice provided by an engineer on the 
performance or operational capability of a piece of equipment rendered 
directly in the negotiation of a contract is allowable. However, 
communications with the intent to influence made by a professional (such 
as a licensed lawyer) or a technical person (such as a licensed 
accountant) are not allowable under this section unless they provide 
advice and analysis directly applying their professional or technical 
expertise and unless the advice or analysis is rendered directly and 
solely in the preparation, submission or negotiation of a covered 
Federal action. Thus, for example, communications with the intent to 
influence made by a lawyer that do not provide legal advice or analysis 
directly and solely related to the legal aspects of his or her client's 
proposal, but generally advocate one proposal over another are not 
allowable under this section because the lawyer is not providing 
professional legal services. Similarly, communications with the intent 
to influence made by an engineer providing an engineering analysis prior 
to the preparation or submission of a bid or proposal are not allowable 
under this section since the engineer is providing technical services 
but not directly in the preparation, submission or negotiation of a 
covered Federal action.
    (d) Requirements imposed by or pursuant to law as a condition for 
receiving a covered Federal award include those required by law or 
regulation, or reasonably expected to be required by law or regulation, 
and any other requirements in the actual award documents.
    (e) Persons other than officers or employees of a person requesting 
or receiving a covered Federal action include consultants and trade 
associations.
    (f) Only those services expressly authorized by this section are 
allowable under this section.

[55 FR 6737, 6752, Feb. 26, 1990. Redesignated and amended at 57 FR 
6199, 6200, Feb. 21, 1992]



                   Subpart D_Penalties and Enforcement



Sec. 28.400  Penalties.

    (a) Any person who makes an expenditure prohibited herein shall be 
subject to a civil penalty of not less than

[[Page 115]]

$10,000 and not more than $100,000 for each such expenditure.
    (b) Any person who fails to file or amend the disclosure form (see 
Appendix B) to be filed or amended if required herein, shall be subject 
to a civil penalty of not less than $10,000 and not more than $100,000 
for each such failure.
    (c) A filing or amended filing on or after the date on which an 
administrative action for the imposition of a civil penalty is commenced 
does not prevent the imposition of such civil penalty for a failure 
occurring before that date. An administrative action is commenced with 
respect to a failure when an investigating official determines in 
writing to commence an investigation of an allegation of such failure.
    (d) In determining whether to impose a civil penalty, and the amount 
of any such penalty, by reason of a violation by any person, the agency 
shall consider the nature, circumstances, extent, and gravity of the 
violation, the effect on the ability of such person to continue in 
business, any prior violations by such person, the degree of culpability 
of such person, the ability of the person to pay the penalty, and such 
other matters as may be appropriate.
    (e) First offenders under paragraphs (a) or (b) of this section 
shall be subject to a civil penalty of $10,000, absent aggravating 
circumstances. Second and subsequent offenses by persons shall be 
subject to an appropriate civil penalty between $10,000 and $100,000, as 
determined by the agency head or his or her designee.
    (f) An imposition of a civil penalty under this section does not 
prevent the United States from seeking any other remedy that may apply 
to the same conduct that is the basis for the imposition of such civil 
penalty.



Sec. 28.405  Penalty procedures.

    Agencies shall impose and collect civil penalties pursuant to the 
provisions of the Program Fraud and Civil Remedies Act, 31 U.S.C. 
sections 3803 (except subsection (c)), 3804, 3805, 3806, 3807, 3808, and 
3812, insofar as these provisions are not inconsistent with the 
requirements herein.



Sec. 28.410  Enforcement.

    The head of each agency shall take such actions as are necessary to 
ensure that the provisions herein are vigorously implemented and 
enforced in that agency.



                          Subpart E_Exemptions



Sec. 28.500  Secretary of Defense.

    (a) Exemption authority. The Secretary of Defense may exempt, on a 
case-by-case basis, a covered Federal action from the prohibition 
whenever the Secretary determines, in writing, that such an exemption is 
in the national interest. The Secretary shall transmit a copy of each 
such written exemption to Congress immediately after making such a 
determination.
    (b) Policy. It is the policy of the Department of Defense that 
exemptions under paragraph (a) of this section shall be requested only 
rarely and in exceptional circumstances.
    (c) Procedures. Each DoD Component that awards or administers 
Federal grants, Federal cooperative agreements, or Federal loans subject 
to this part shall establish procedures whereby:
    (1) A grants officer wishing to request an exemption for a grant, 
cooperative agreement, or loan shall transmit such request through 
appropriate channels to: Director for Research, ODDR&E(R), 3080 Defense 
Pentagon, Washington, DC. 20301-3080.
    (2) Each such request shall explain why an exemption is in the 
national interest, a justification that must be transmitted to Congress 
for each exemption that is approved.

[63 FR 12188, Mar. 12, 1998]



                        Subpart F_Agency Reports



Sec. 28.600  Semi-annual compilation.

    (a) The head of each agency shall collect and compile the disclosure 
reports (see appendix B) and, on May 31 and November 30 of each year, 
submit to the Secretary of the Senate and the Clerk of the House of 
Representatives a report containing a compilation of the information 
contained in the disclosure reports received during the six-month period 
ending on March 31 or

[[Page 116]]

September 30, respectively, of that year.
    (b) The report, including the compilation, shall be available for 
public inspection 30 days after receipt of the report by the Secretary 
and the Clerk.
    (c) Information that involves intelligence matters shall be reported 
only to the Select Committee on Intelligence of the Senate, the 
Permanent Select Committee on Intelligence of the House of 
Representatives, and the Committees on Appropriations of the Senate and 
the House of Representatives in accordance with procedures agreed to by 
such committees. Such information shall not be available for public 
inspection.
    (d) Information that is classified under Executive Order 12356 or 
any successor order shall be reported only to the Committee on Foreign 
Relations of the Senate and the Committee on Foreign Affairs of the 
House of Representatives or the Committees on Armed Services of the 
Senate and the House of Representatives (whichever such committees have 
jurisdiction of matters involving such information) and to the 
Committees on Appropriations of the Senate and the House of 
Representatives in accordance with procedures agreed to by such 
committees. Such information shall not be available for public 
inspection.
    (e) The first semi-annual compilation shall be submitted on May 31, 
1990, and shall contain a compilation of the disclosure reports received 
from December 23, 1989 to March 31, 1990.
    (f) Major agencies, designated by the Office of Management and 
Budget (OMB), are required to provide machine-readable compilations to 
the Secretary of the Senate and the Clerk of the House of 
Representatives no later than with the compilations due on May 31, 1991. 
OMB shall provide detailed specifications in a memorandum to these 
agencies.
    (g) Non-major agencies are requested to provide machine-readable 
compilations to the Secretary of the Senate and the Clerk of the House 
of Representatives.
    (h) Agencies shall keep the originals of all disclosure reports in 
the official files of the agency.



Sec. 28.605  Inspector General report.

    (a) The Inspector General, or other official as specified in 
paragraph (b) of this section, of each agency shall prepare and submit 
to Congress each year, commencing with submission of the President's 
Budget in 1991, an evaluation of the compliance of that agency with, and 
the effectiveness of, the requirements herein. The evaluation may 
include any recommended changes that may be necessary to strengthen or 
improve the requirements.
    (b) In the case of an agency that does not have an Inspector 
General, the agency official comparable to an Inspector General shall 
prepare and submit the annual report, or, if there is no such comparable 
official, the head of the agency shall prepare and submit the annual 
report.
    (c) The annual report shall be submitted at the same time the agency 
submits its annual budget justifications to Congress.
    (d) The annual report shall include the following: All alleged 
violations relating to the agency's covered Federal actions during the 
year covered by the report, the actions taken by the head of the agency 
in the year covered by the report with respect to those alleged 
violations and alleged violations in previous years, and the amounts of 
civil penalties imposed by the agency in the year covered by the report.



      Sec. Appendix A to Part 28--Certification Regarding Lobbying

 Certification for Contracts, Grants, Loans, and Cooperative Agreements

    The undersigned certifies, to the best of his or her knowledge and 
belief, that:
    (1) No Federal appropriated funds have been paid or will be paid, by 
or on behalf of the undersigned, to any person for influencing or 
attempting to influence an officer or employee of an agency, a Member of 
Congress, an officer or employee of Congress, or an employee of a Member 
of Congress in connection with the awarding of any Federal contract, the 
making of any Federal grant, the making of any Federal loan, the 
entering into of any cooperative agreement, and the extension, 
continuation, renewal, amendment, or modification of any Federal 
contract, grant, loan, or cooperative agreement.
    (2) If any funds other than Federal appropriated funds have been 
paid or will be paid to any person for influencing or attempting

[[Page 117]]

to influence an officer or employee of any agency, a Member of Congress, 
an officer or employee of Congress, or an employee of a Member of 
Congress in connection with this Federal contract, grant, loan, or 
cooperative agreement, the undersigned shall complete and submit 
Standard Form-LLL, ``Disclosure Form to Report Lobbying,'' in accordance 
with its instructions.
    (3) The undersigned shall require that the language of this 
certification be included in the award documents for all subawards at 
all tiers (including subcontracts, subgrants, and contracts under 
grants, loans, and cooperative agreements) and that all subrecipients 
shall certify and disclose accordingly.
    This certification is a material representation of fact upon which 
reliance was placed when this transaction was made or entered into. 
Submission of this certification is a prerequisite for making or 
entering into this transaction imposed by section 1352, title 31, U.S. 
Code. Any person who fails to file the required certification shall be 
subject to a civil penalty of not less than $10,000 and not more than 
$100,000 for each such failure.

            Statement for Loan Guarantees and Loan Insurance

    The undersigned states, to the best of his or her knowledge and 
belief, that:
    If any funds have been paid or will be paid to any person for 
influencing or attempting to influence an officer or employee of any 
agency, a Member of Congress, an officer or employee of Congress, or an 
employee of a Member of Congress in connection with this commitment 
providing for the United States to insure or guarantee a loan, the 
undersigned shall complete and submit Standard Form-LLL, ``Disclosure 
Form to Report Lobbying,'' in accordance with its instructions.
    Submission of this statement is a prerequisite for making or 
entering into this transaction imposed by section 1352, title 31, U.S. 
Code. Any person who fails to file the required statement shall be 
subject to a civil penalty of not less than $10,000 and not more than 
$100,000 for each such failure.

[[Page 118]]

        Appendix B to Part 28--Disclosure Form To Report Lobbying
[GRAPHIC] [TIFF OMITTED] TC23OC91.000


[[Page 119]]


[GRAPHIC] [TIFF OMITTED] TC23OC91.001


[[Page 120]]


[GRAPHIC] [TIFF OMITTED] TC23OC91.002


[[Page 121]]





PART 32_ADMINISTRATIVE REQUIREMENTS FOR GRANTS AND AGREEMENTS WITH
INSTITUTIONS OF HIGHER EDUCATION, HOSPITALS, AND OTHER NON-PROFIT
ORGANIZATIONS--Table of Contents



                            Subpart A_General

Sec.
32.1 Purpose.
32.2 Definitions
32.3 Effect on other issuances.
32.4 Deviations.
32.5 Subawards.

                    Subpart B_Pre-Award Requirements

32.10 Purpose.
32.11 Pre-award policies.
32.12 Forms for applying for Federal assistance.
32.13 Debarment and suspension.
32.14 Special award conditions.
32.15 Metric system of measurement.
32.16 Resource Conservation and Recovery Act (RCRA).
32.17 Certifications and representations.

                    Subpart C_Post-Award Requirements

                    Financial and Program Management

32.20 Purpose of financial and program management.
32.21 Standards for financial management systems.
32.22 Payment.
32.23 Cost sharing or matching.
32.24 Program income.
32.25 Revision of budget and program plans.
32.26 Non-Federal audits.
32.27 Allowable costs.
32.28 Period of availability of funds.

                           Property Standards

32.30 Purpose of property standards.
32.31 Insurance coverage.
32.32 Real property.
32.33 Federally-owned and exempt property.
32.34 Equipment.
32.35 Supplies.
32.36 Intangible property.
32.37 Property trust relationship.

                          Procurement Standards

32.40 Purpose of procurement standards.
32.41 Recipient responsibilities.
32.42 Codes of conduct.
32.43 Competition.
32.44 Procurement procedures.
32.45 Cost and price analysis.
32.46 Procurement records.
32.47 Contract administration.
32.48 Contract provisions.
32.49 Resource Conservation and Recovery Act.

                           Reports and Records

32.50 Purpose of reports and records.
32.51 Monitoring and reporting program performance.
32.52 Financial reporting.
32.53 Retention and access requirements for records.

                       Termination and Enforcement

32.60 Purpose of termination and enforcement.
32.61 Termination.
32.62 Enforcement.

                 Subpart D_After-the-Award Requirements

32.70 Purpose.
32.71 Closeout procedures.
32.72 Subsequent adjustments and continuing responsibilities.
32.73 Collection of amounts due.

Appendix A to Part 32--Contract Provisions

    Authority: 5 U.S.C. 301 and 10 U.S.C. 113.

    Source: 63 FR 12188, Mar. 12, 1998, unless otherwise noted.



                            Subpart A_General



Sec. 32.1  Purpose.

    (a) General. This part implements OMB Circular A-110 \1\ and 
establishes uniform administrative requirements for awards and subawards 
to institutions of higher education, hospitals, and other non-
governmental, non-profit organizations.
---------------------------------------------------------------------------

    \1\ For copies of the Circular, contact the Office of Management and 
Budget, EOP Publications, 725 17th St. NW, New Executive Office 
Building, Washington, DC 20503.
---------------------------------------------------------------------------

    (b) Relationship to other parts. This part is an integral part of 
the DoD Grant and Agreement Regulations (DoDGARs), which comprise this 
subchapter of the Code of Federal Regulations. This part includes 
references to other parts of the DoDGARs that implement Governmentwide 
guidance and provide uniform internal policies and procedures for DoD 
Components that make or administer awards. Although parts 21 and 22 of 
this subchapter do not impose any direct requirements on recipients, and 
recipients therefore are not required to be familiar with those parts, 
the information in those parts

[[Page 122]]

concerning internal policies and procedures should be helpful to 
recipients of DoD awards.
    (c) Prime awards. DoD Components shall apply the provisions of this 
part to awards to recipients that are institutions of higher education, 
hospitals, and other non-profit organizations. DoD Components shall not 
impose additional or inconsistent requirements, except as provided in 
Sec. Sec. 32.4 and 32.14, or unless specifically required by Federal 
statute or executive order.
    (d) Subawards. Any legal entity that receives an award from a DoD 
Component shall apply the provisions of this part to subawards with 
institutions of higher education, hospitals, and other non-profit 
organizations. Thus, a governmental or for-profit organization, whose 
prime award from a DoD Component is subject to 32 CFR part 33 or part 
34, respectively, applies this part to subawards with institutions of 
higher education, hospitals, or other non-profit organizations. It 
should be noted that subawards are for the performance of substantive 
work under awards, and are distinct from contracts for procuring goods 
and services. It should be further noted that non-profit organizations 
that implement Federal programs for the States are also subject to State 
requirements.



Sec. 32.2  Definitions.

    The following are definitions of terms used in this part. Grants 
officers are cautioned that terms may be defined differently in this 
part than they are in other parts of the DoD Grant and Agreement 
Regulations, because this part implements OMB Circular A-110 and uses 
definitions as stated in that Circular. In such cases, the definition 
given in this section applies to the term as it is used in this part, 
and the definition given in other parts applies to the term as it is 
used in those parts. For example, ``suspension'' is defined in this 
section to mean temporary withdrawal of Federal sponsorship under an 
award, but is defined in the part of the DoD Grant and Agreement 
Regulations on nonprocurement suspension and debarment (2 CFR part 1125, 
which implements OMB guidance at 2 CFR part 180) to be an action taken 
to exclude a person from participating in a grant, cooperative 
agreement, or other covered transaction (see definition at 2 CFR 
180.1015).
    Accrued expenditures. The charges incurred by the recipient during a 
given period requiring the provision of funds for:
    (1) Goods and other tangible property received;
    (2) Services performed by employees, contractors, subrecipients, and 
other payees; and
    (3) Other amounts becoming owed under programs for which no current 
services or performance is required.
    Accrued income. The sum of:
    (1) Earnings during a given period from:
    (i) Services performed by the recipient; and
    (ii) Goods and other tangible property delivered to purchasers.
    (2) Amounts becoming owed to the recipient for which no current 
services or performance is required by the recipient.
    Acquisition cost of equipment. The net invoice price of the 
equipment, including the cost of modifications, attachments, 
accessories, or auxiliary apparatus necessary to make the property 
usable for the purpose for which it was acquired. Other charges, such as 
the cost of installation, transportation, taxes, duty or protective in-
transit insurance, shall be included or excluded from the unit 
acquisition cost in accordance with the recipient's regular accounting 
practices.
    Advance. A payment made by Treasury check or other appropriate 
payment mechanism to a recipient upon its request either before outlays 
are made by the recipient or through the use of predetermined payment 
schedules.
    Award. Financial assistance that provides support or stimulation to 
accomplish a public purpose. Awards include grants and other agreements 
in the form of money or property in lieu of money, by the Federal 
Government to an eligible recipient. The term does not include: 
Technical assistance, which provides services instead of money; other 
assistance in the form of loans, loan guarantees, interest subsidies, or 
insurance; direct payments of any kind to individuals; and, contracts 
which

[[Page 123]]

are required to be entered into and administered under procurement laws 
and regulations.
    Cash contributions. The recipient's cash outlay, including the 
outlay of money contributed to the recipient by third parties.
    Closeout. The process by which the grants officer administering an 
award made by a DoD Component determines that all applicable 
administrative actions and all required work of the award have been 
completed by the recipient and DoD Component.
    Contract. A procurement contract under an award or subaward, and a 
procurement subcontract under a recipient's or subrecipient's contract.
    Cost sharing or matching. That portion of project or program costs 
not borne by the Federal Government.
    Date of completion. The date on which all work under an award is 
completed or the date on the award document, or any supplement or 
amendment thereto, on which Federal sponsorship ends.
    Disallowed costs. Those charges to an award that the grants officer 
administering an award made by a DoD Component determines to be 
unallowable, in accordance with the applicable Federal cost principles 
or other terms and conditions contained in the award.
    DoD Component. A Military Department, Defense Agency, DoD field 
activity, or organization within the Office of the Secretary of Defense 
that provides or administers an award to a recipient.
    Equipment. Tangible nonexpendable personal property including exempt 
property charged directly to the award having a useful life of more than 
one year and an acquisition cost of $5,000 or more per unit. However, 
consistent with recipient policy, lower limits may be established.
    Excess property. Property under the control of any DoD Component 
that, as determined by the head thereof, is no longer required for its 
needs or the discharge of its responsibilities.
    Exempt property. Tangible personal property acquired in whole or in 
part with Federal funds, where the DoD Component has statutory authority 
to vest title in the recipient without further obligation to the Federal 
Government. An example of exempt property authority is contained in the 
Federal Grant and Cooperative Agreement Act (31 U.S.C. 6306), for 
property acquired under an award to conduct basic or applied research by 
a non-profit institution of higher education or non-profit organization 
whose principal purpose is conducting scientific research.
    Federal funds authorized. The total amount of Federal funds 
obligated by a DoD Component for use by the recipient. This amount may 
include any authorized carryover of unobligated funds from prior funding 
periods when permitted by agency regulations or agency implementing 
instructions.
    Federal share (of real property, equipment, or supplies). That 
percentage of the property's acquisition costs and any improvement 
expenditures paid with Federal funds.
    Funding period. The period of time when Federal funding is available 
for obligation by the recipient.
    Intangible property and debt instruments. Property that includes, 
but is not limited to, trademarks, copyrights, patents and patent 
applications and such property as loans, notes and other debt 
instruments, lease agreements, stock and other instruments of property 
ownership, whether considered tangible or intangible.
    Obligations. The amounts of orders placed, contracts and grants 
awarded, services received and similar transactions during a given 
period that require payment by the recipient during the same or a future 
period.
    Outlays or expenditures. Charges made to the project or program. 
They may be reported on a cash or accrual basis. For reports prepared on 
a cash basis, outlays are the sum of cash disbursements for direct 
charges for goods and services, the amount of indirect expense charged, 
the value of third party in-kind contributions applied and the amount of 
cash advances and payments made to subrecipients. For reports prepared 
on an accrual basis, outlays are the sum of cash disbursements for 
direct charges for goods and services, the amount of indirect expense 
incurred, the value of in-kind contributions applied, and the net 
increase (or decrease) in the amounts owed by the recipient for goods 
and other property received, for services performed by employees, 
contractors, subrecipients and

[[Page 124]]

other payees and other amounts becoming owed under programs for which no 
current services or performance are required.
    Personal property. Property of any kind except real property. It may 
be tangible, having physical existence, or intangible, having no 
physical existence, such as copyrights, patents, or securities.
    Prior approval. Written approval by an authorized official 
evidencing prior consent.
    Program income. Gross income earned by the recipient that is 
directly generated by a supported activity or earned as a result of the 
award (see exclusions in Sec. 32.24(e) and (h)). Program income 
includes, but is not limited to, income from fees for services 
performed, the use or rental of real or personal property acquired under 
federally-funded projects, the sale of commodities or items fabricated 
under an award, license fees and royalties on patents and copyrights, 
and interest on loans made with award funds. Interest earned on advances 
of Federal funds is not program income. Except as otherwise provided in 
program regulations or the terms and conditions of the award, program 
income does not include the receipt of principal on loans, rebates, 
credits, discounts, etc., or interest earned on any of them.
    Project costs. All allowable costs, as set forth in the applicable 
Federal cost principles, incurred by a recipient and the value of the 
contributions made by third parties in accomplishing the objectives of 
the award during the project period.
    Project period. The period established in the award document during 
which Federal sponsorship begins and ends.
    Property. Real property and personal property (equipment, supplies, 
intangible property and debt instruments), unless stated otherwise.
    Real property. Land, including land improvements, structures and 
appurtenances thereto, but excluding movable machinery and equipment.
    Recipient. An organization receiving financial assistance directly 
from DoD Components to carry out a project or program. The term includes 
public and private institutions of higher education, public and private 
hospitals, and other quasi-public and private non-profit organizations 
such as, but not limited to, community action agencies, research 
institutes, educational associations, and health centers. The term also 
includes consortia comprised of any combination of universities, other 
nonprofit organizations, governmental organizations, for-profit 
organizations, and other entities, to the extent that the consortia are 
legally incorporated as nonprofit organizations. The term does not 
include Government-owned contractor-operated facilities or research 
centers providing continued support for mission-oriented, large-scale 
programs that are Government-owned or controlled, or are designated as 
federally-funded research and development centers.
    Research and development. All research activities, both basic and 
applied, and all development activities that are supported at 
universities, colleges, and other non-profit institutions. Research is 
defined as a systematic study directed toward fuller scientific 
knowledge or understanding of the subject studied. Development is the 
systematic use of knowledge and understanding gained from research 
directed toward the production of useful materials, devices, systems, or 
methods, including design and development of prototypes and processes. 
The term research also includes activities involving the training of 
individuals in research techniques where such activities utilize the 
same facilities as other research and development activities and where 
such activities are not included in the instruction function.
    Small award. An award not exceeding the simplified acquisition 
threshold fixed at 41 U.S.C. 403(11) (currently $100,000).
    Subaward. An award of financial assistance in the form of money, or 
property in lieu of money, made under an award by a recipient to an 
eligible subrecipient or by a subrecipient to a lower tier subrecipient. 
The term includes financial assistance when provided by any legal 
agreement, even if the agreement is called a contract, but does not 
include procurement of goods and services nor does it include any form 
of assistance which is excluded

[[Page 125]]

from the definition of ``award'' in this section.
    Subrecipient. The legal entity to which a subaward is made and which 
is accountable to the recipient for the use of the funds provided.
    Supplies. All personal property excluding equipment, intangible 
property, and debt instruments as defined in this section, and 
inventions of a contractor conceived or first actually reduced to 
practice in the performance of work under a funding agreement (``subject 
inventions''), as defined in 37 CFR part 401, ``Rights to Inventions 
Made by Nonprofit Organizations and Small Business Firms Under 
Government Grants, Contracts, and Cooperative Agreements.''
    Suspension. An action by a DoD Component that temporarily withdraws 
Federal sponsorship under an award, pending corrective action by the 
recipient or pending a decision to terminate the award by the DoD 
Component. Suspension of an award is a separate action from suspension 
of a participant under 2 CFR part 1125.
    Termination. The cancellation of an award, in whole or in part, at 
any time prior to the date of completion.
    Third party in-kind contributions. The value of non-cash 
contributions provided by non-Federal third parties. Third party in-kind 
contributions may be in the form of real property, equipment, supplies, 
and the value of goods and services directly benefiting and specifically 
identifiable to the project or program.
    Unliquidated obligations. The amount of obligations incurred by the 
recipient:
    (1) That have not been paid, if financial reports are prepared on a 
cash basis.
    (2) For which an outlay has not been recorded, if reports are 
prepared on an accrued expenditure basis.
    Unobligated balance. The portion of the funds authorized by a DoD 
Component that has not been obligated by the recipient and is determined 
by deducting the cumulative obligations from the cumulative funds 
authorized.
    Unrecovered indirect cost. The difference between the amount awarded 
and the amount which could have been awarded under the recipient's 
approved negotiated indirect cost rate.
    Working capital advance. A procedure whereby funds are advanced to 
the recipient to cover its estimated disbursement needs for a given 
initial period.

[63 FR 12188, Mar. 12, 1998, as amended at 70 FR 49477, Aug. 23, 2005; 
72 FR 34998, June 26, 2007]



Sec. 32.3  Effect on other issuances.

    For awards subject to this part, all administrative requirements of 
codified program regulations, program manuals, handbooks and other 
nonregulatory materials which are inconsistent with the requirements of 
this part shall be superseded, except to the extent they are required by 
statute, or authorized in accordance with the deviations provision in 
Sec. 32.4.



Sec. 32.4  Deviations.

    (a) Individual deviations. Individual deviations affecting only one 
award may be approved by DoD Components in accordance with procedures 
stated in 32 CFR 21.335(a) and 21.340.
    (b) Small awards. DoD Components may apply less restrictive 
requirements than the provisions of this part when awarding small 
awards, except for those requirements which are statutory.
    (c) Other class deviations. (1) For classes of awards other than 
small awards, the Director of Defense Research and Engineering (DDR&E), 
or his or her designee, may grant exceptions from the requirements of 
this part:
    (i) With the written concurrence of the Office of the Management and 
Budget (OMB). The DDR&E, or his or her designee, shall provide written 
notification to OMB of the Department of Defense's intention to grant a 
class deviation; and
    (ii) When exceptions are not prohibited by statute.
    (2) DoD Components shall request approval for such deviations in 
accordance with 32 CFR 21.335(b) and 21.340. However, in the interest of 
maximum

[[Page 126]]

uniformity, exceptions from the requirements of this part shall be 
permitted only in unusual circumstances.

[63 FR 12188, Mar. 12, 1998, as amended at 68 FR 47160, Aug. 7, 2003]



Sec. 32.5  Subawards.

    Unless sections of this part specifically exclude subrecipients from 
coverage, the provisions of this part shall be applied to subrecipients 
performing work under awards if such subrecipients are institutions of 
higher education, hospitals or other non-profit organizations. State and 
local government subrecipients are subject to the provisions of 32 CFR 
part 33. Subrecipients that are for-profit organizations are subject to 
32 CFR part 34.



                    Subpart B_Pre-Award Requirements



Sec. 32.10  Purpose.

    Sections 32.11 through 32.17 prescribe application forms and 
instructions and other pre-award matters.



Sec. 32.11  Pre-award policies.

    (a) Use of grants, cooperative agreements, and contracts. (1) OMB 
Circular A-110 states that:
    (i) In each instance, the Federal awarding agency shall decide on 
the appropriate award instrument (i.e., grant, cooperative agreement, or 
contract).
    (ii) The Federal Grant and Cooperative Agreement Act (31 U.S.C. 
6301-6308) governs the use of grants, cooperative agreements, and 
contracts. Under that Act:
    (A) A grant or cooperative agreement shall be used only when the 
principal purpose of a transaction is to accomplish a public purpose of 
support or stimulation authorized by Federal statute.
    (B) Contracts shall be used when the principal purpose is 
acquisition of property or services for the direct benefit or use of the 
Federal Government.
    (C) The statutory criterion for choosing between grants and 
cooperative agreements is that for the latter, ``substantial involvement 
is expected between the executive agency and the State, local 
government, or other recipient when carrying out the activity 
contemplated in the agreement.''
    (2) In selecting the appropriate award instruments, DoD Components' 
grants officers shall comply with the DoD implementation of the Federal 
Grant and Cooperative Agreement Act at 32 CFR part 22, subpart B.
    (b) Public notice and priority setting. As a matter of 
Governmentwide policy, Federal awarding agencies shall notify the public 
of intended funding priorities for programs that use discretionary 
awards, unless funding priorities are established by Federal statute. 
For DoD Components, compliance with competition policies and statutory 
requirements implemented in 32 CFR part 22, subpart C, shall constitute 
compliance with this Governmentwide policy.

[63 FR 12188, Mar. 12, 1998, as amended at 68 FR 47160, Aug. 7, 2003]



Sec. 32.12  Forms for applying for Federal assistance.

    (a) DoD Components shall comply with the applicable report clearance 
requirements of 5 CFR part 1320, ``Controlling Paperwork Burdens on the 
Public,'' with regard to all forms used in place of or as a supplement 
to the Standard Form 424 \2\ (SF-424) series.
---------------------------------------------------------------------------

    \2\ For copies of Standard Forms listed in this part, contact 
regional grants administration offices of the Office of Naval Research. 
Addresses for the offices are listed in the ``DoD Directory of Contract 
Administration Services Components,'' DLAH 4105.4, which can be obtained 
from: Defense Logistics Agency, Publications Distribution Division 
(DASC-WDM), 8725 John J. Kingman Rd., Suite 0119, Fort Belvoir, VA 
22060-6220.
---------------------------------------------------------------------------

    (b) Applicants shall use the SF-424 series or those forms and 
instructions prescribed by DoD Components.
    (c) For Federal programs covered by E.O. 12372 (3 CFR, 1982 Comp., 
p. 197), ``Intergovernmental Review of Federal Programs,'' the applicant 
shall complete the appropriate sections of the SF-424 (Application for 
Federal Assistance) indicating whether the application was subject to 
review by the State Single Point of Contact (SPOC). The name and address 
of the SPOC for a particular State can be obtained from the DoD 
Component or the Catalog of Federal Domestic Assistance. The

[[Page 127]]

SPOC shall advise the applicant whether the program for which 
application is made has been selected by that State for review.
    (d) DoD Components that do not use the SF-424 form should indicate 
whether the application is subject to review by the State under E.O. 
12372.



Sec. 32.13  Debarment and suspension.

    DoD Components and recipients shall comply with the policy and 
procedural requirements in the OMB guidance on nonprocurement debarment 
and suspension (2 CFR part 180), as implemented by the Department of 
Defense in 2 CFR part 1125. Those policies and procedures restrict 
subawards and contracts with certain parties that are debarred, 
suspended or otherwise excluded from or ineligible for participation in 
Federal assistance programs or activities.

[72 FR 34998, June 26, 2007]



Sec. 32.14  Special award conditions.

    (a) DoD Components may impose additional requirements as needed, 
over and above those provided in this part, if an applicant or 
recipient:
    (1) Has a history of poor performance;
    (2) Is not financially stable;
    (3) Has a management system that does not meet the standards 
prescribed in this part;
    (4) Has not conformed to the terms and conditions of a previous 
award; or
    (5) Is not otherwise responsible.
    (b) Before imposing additional requirements, DoD Components shall 
notify the applicant or recipient in writing as to:
    (1) The nature of the additional requirements;
    (2) The reason why the additional requirements are being imposed;
    (3) The nature of the corrective action needed;
    (4) The time allowed for completing the corrective actions; and
    (5) The method for requesting reconsideration of the additional 
requirements imposed.
    (c) Any special conditions shall be promptly removed once the 
conditions that prompted them have been corrected.
    (d) Grants officers:
    (1) Should coordinate the imposition and removal of special award 
conditions with the cognizant grants administration office identified in 
32 CFR 22.710.
    (2) Shall include in the award file the written notification to the 
recipient, described in paragraph (b) of this section, and the 
documentation required by 32 CFR 22.410(b).



Sec. 32.15  Metric system of measurement.

    The Metric Conversion Act, as amended by the Omnibus Trade and 
Competitiveness Act (15 U.S.C. 205) declares that the metric system is 
the preferred measurement system for U.S. trade and commerce, and for 
Federal agencies' procurements, grants, and other business-related 
activities. DoD grants officers shall comply with requirements 
concerning the use of the metric system at 32 CFR 22.530.



Sec. 32.16  Resource Conservation and Recovery Act (RCRA).

    Recipients' procurements shall comply with applicable requirements 
of the Resource Conservation and Recovery Act (RCRA), as described at 
Sec. 32.49.



Sec. 32.17  Certifications and representations.

    (a) OMB Circular A-110 authorizes and encourages each Federal 
agency, unless prohibited by statute or codified regulation, to allow 
recipients to submit certifications and representations required by 
statute, executive order, or regulation on an annual basis, if the 
recipients have ongoing and continuing relationships with the agency. 
The Circular further states that annual certifications and 
representations, when used, shall be signed by responsible officials 
with the authority to ensure recipients' compliance with the pertinent 
requirements.
    (b) DoD grants officers shall comply with the provisions concerning 
certifications and representations at 32 CFR 22.510. Those provisions 
ease burdens on recipients to the extent possible, given current 
statutory and regulatory impediments to obtaining all certifications on 
an annual basis. The provisions thereby also comply with the intent of 
OMB Circular A-110, to use less

[[Page 128]]

burdensome methods for obtaining certifications and representations, as 
such methods become feasible.



                    Subpart C_Post-Award Requirements

                    Financial and Program Management



Sec. 32.20  Purpose of financial and program management.

    Sections 32.21 through 32.28 prescribe standards for financial 
management systems, methods for making payments and rules for: 
satisfying cost sharing and matching requirements, accounting for 
program income, budget revision approvals, making audits, determining 
allowability of cost, and establishing fund availability.



Sec. 32.21  Standards for financial management systems.

    (a) DoD Components shall require recipients to relate financial data 
to performance data and develop unit cost information whenever 
practical. For awards that support research, it should be noted that it 
is generally not appropriate to develop unit cost information.
    (b) Recipients' financial management systems shall provide for the 
following.
    (1) Accurate, current and complete disclosure of the financial 
results of each federally-sponsored project or program in accordance 
with the reporting requirements set forth in Sec. 32.52. If a DoD 
Component requires reporting on an accrual basis from a recipient that 
maintains its records on other than an accrual basis, the recipient 
shall not be required to establish an accrual accounting system. These 
recipients may develop such accrual data for its reports on the basis of 
an analysis of the documentation on hand.
    (2) Records that identify adequately the source and application of 
funds for federally-sponsored activities. These records shall contain 
information pertaining to Federal awards, authorizations, obligations, 
unobligated balances, assets, outlays, income and interest.
    (3) Effective control over and accountability for all funds, 
property and other assets. Recipients shall adequately safeguard all 
such assets and assure they are used solely for authorized purposes.
    (4) Comparison of outlays with budget amounts for each award. 
Whenever appropriate, financial information should be related to 
performance and unit cost data. As discussed in paragraph (a) of this 
section, unit cost data is generally not appropriate for awards that 
support research.
    (5) Written procedures to minimize the time elapsing between the 
transfer of funds to the recipient from the U.S. Treasury and the 
issuance or redemption of checks, warrants or payments by other means 
for program purposes by the recipient. To the extent that the provisions 
of the Cash Management Improvement Act (CMIA) (Pub. L. 101-453) govern, 
payment methods of State agencies, instrumentalities, and fiscal agents 
should be consistent with CMIA Treasury-State Agreements or the CMIA 
default procedures codified at 31 CFR part 205, ``Withdrawal of Cash 
from the Treasury for Advances under Federal Grant and Other Programs.''
    (6) Written procedures for determining the reasonableness, 
allocability and allowability of costs in accordance with the provisions 
of the applicable Federal cost principles (see Sec. 32.27) and the 
terms and conditions of the award.
    (7) Accounting records including cost accounting records that are 
supported by source documentation.
    (c) Where the Federal Government guarantees or insures the repayment 
of money borrowed by the recipient, the DoD Component, at its 
discretion, may require adequate bonding and insurance if the bonding 
and insurance requirements of the recipient are not deemed adequate to 
protect the interest of the Federal Government.
    (d) The DoD Component may require adequate fidelity bond coverage 
where the recipient lacks sufficient coverage to protect the Federal 
Government's interest.
    (e) Where bonds are required in the situations described above, the 
bonds shall be obtained from companies holding certificates of authority 
as acceptable sureties, as prescribed in 31 CFR part 223, ``Surety 
Companies Doing Business with the United States.''

[[Page 129]]



Sec. 32.22  Payment.

    (a) Payment methods shall minimize the time elapsing between the 
transfer of funds from the United States Treasury and the issuance or 
redemption of checks, warrants, or payment by other means by the 
recipients. Payment methods of State agencies or instrumentalities shall 
be consistent with Treasury-State agreements under the Cash Management 
Improvement Act (CMIA) (31 U.S.C. 3335 and 6503) or default procedures 
in 31 CFR part 205.
    (b) Recipients are to be paid in advance, provided they maintain or 
demonstrate the willingness to maintain:
    (1) Written procedures that minimize the time elapsing between the 
transfer of funds and disbursement by the recipient; and
    (2) Financial management systems that meet the standards for fund 
control and accountability as established in Sec. 32.21. Cash advances 
to a recipient organization shall be limited to the minimum amounts 
needed and be timed to be in accordance with the actual, immediate cash 
requirements of the recipient organization in carrying out the purpose 
of the approved program or project. The timing and amount of cash 
advances shall be as close as is administratively feasible to the actual 
disbursements by the recipient organization for direct program or 
project costs and the proportionate share of any allowable indirect 
costs.
    (c) Whenever possible, advances shall be consolidated to cover 
anticipated cash needs for all awards made by the DoD Component to the 
recipient.
    (1) Advance payment mechanisms include, but are not limited to, 
Treasury check and electronic funds transfer.
    (2) Advance payment mechanisms are subject to 31 CFR part 205.
    (3) Recipients shall be authorized to submit requests for advances 
and reimbursements at least monthly when electronic fund transfers are 
not used.
    (d) Requests for Treasury check advance payment shall be submitted 
on SF-270, \3\ ``Request for Advance or Reimbursement,'' or other forms 
as may be authorized by OMB. This form is not to be used when Treasury 
check advance payments are made to the recipient automatically through 
the use of a predetermined payment schedule or if inconsistent with DoD 
procedures for electronic funds transfer.
---------------------------------------------------------------------------

    \3\ See footnote 2 to Sec. 32.12(a).
---------------------------------------------------------------------------

    (e) Reimbursement is the preferred method when the requirements in 
paragraph (b) of this section cannot be met. DoD Components may also use 
this method on any construction agreement, or if the major portion of 
the construction project is accomplished through private market 
financing or Federal loans, and the Federal assistance constitutes a 
minor portion of the project.
    (1) When the reimbursement method is used, the responsible DoD 
payment office generally makes payment within 30 calendar days after 
receipt of the billing by the office designated to receive the billing, 
unless the billing is improper (for further information about timeframes 
for payments, see 32 CFR 22.810(c)(3)(ii)).
    (2) Recipients shall be authorized to submit requests for 
reimbursement at least monthly when electronic funds transfers are not 
used.
    (f) If a recipient cannot meet the criteria for advance payments and 
the grants officer, in consultation with the program manager, has 
determined that reimbursement is not feasible because the recipient 
lacks sufficient working capital, the award may provide for cash on a 
working capital advance basis. Under this procedure, the award shall 
provide for advancing cash to the recipient to cover its estimated 
disbursement needs for an initial period generally geared to the 
awardee's disbursing cycle. Thereafter, the award shall provide for 
reimbursing the recipient for its actual cash disbursements. The working 
capital advance method of payment shall not be used for recipients 
unwilling or unable to provide timely advances to their subrecipient to 
meet the subrecipient's actual cash disbursements.
    (g) To the extent available, recipients shall disburse funds 
available from repayments to and interest earned on a revolving fund, 
program income, rebates, refunds, contract settlements, audit recoveries 
and interest earned on such funds before requesting additional cash 
payments.

[[Page 130]]

    (h) Unless otherwise required by statute, grants officers shall not 
withhold payments for proper charges made by recipients at any time 
during the project period unless:
    (1) A recipient has failed to comply with the project objectives, 
the terms and conditions of the award, or Federal reporting 
requirements; or
    (2) The recipient or subrecipient is delinquent in a debt to the 
United States under OMB Circular A-129, ``Managing Federal Credit 
Programs'' (see definitions of ``debt'' and ``delinquent debt,'' at 32 
CFR 22.105). Under such conditions, the grants officer may, upon 
reasonable notice, inform the recipient that payments shall not be made 
for obligations incurred after a specified date until the conditions are 
corrected or the indebtedness to the Federal Government is liquidated 
(also see 32 CFR 22.420(b)(2) and 22.820).
    (i) Standards governing the use of banks and other institutions as 
depositories of funds advanced under awards are as follows:
    (1) Except for situations described in paragraph (i)(2) of this 
section, DoD Components shall not require separate depository accounts 
for funds provided to a recipient or establish any eligibility 
requirements for depositories for funds provided to a recipient. 
However, recipients must be able to account for the receipt, obligation 
and expenditure of funds.
    (2) Advances of Federal funds shall be deposited and maintained in 
insured accounts whenever possible.
    (j) Consistent with the national goal of expanding the opportunities 
for women-owned and minority-owned business enterprises, recipients 
shall be encouraged to use women-owned and minority-owned banks (a bank 
which is owned at least 50 percent by women or minority group members).
    (k) Recipients shall maintain advances of Federal funds in interest 
bearing accounts, unless:
    (1) The recipient receives less than $120,000 in Federal awards per 
year;
    (2) The best reasonably available interest bearing account would not 
be expected to earn interest in excess of $250 per year on Federal cash 
balances; or
    (3) The depository would require an average or minimum balance so 
high that it would not be feasible within the expected Federal and non-
Federal cash resources.
    (l)(1) Interest earned on Federal advances deposited in interest 
bearing accounts shall be remitted annually to Department of Health and 
Human Services, Payment Management System, PO Box 6021, Rockville, MD 
20852.
    (2) In keeping with Electronic Funds Transfer rules (31 CFR part 
206), interest should be remitted to the HHS Payment Management System 
through an electronic medium such as the FEDWIR Deposit System. 
Electronic remittances should be in the format and should include any 
data that are specified by the grants officer as being necessary to 
facilitate direct deposit in HHS' account at the Department of the 
Treasury.
    (3) Recipients that do not have electronic remittance capability 
should use a check.
    (4) Interest amounts up to $250 per year may be retained by the 
recipient for administrative expense.
    (m) Except as noted elsewhere in this part, only the following forms 
shall be authorized for the recipients in requesting advances and 
reimbursements. DoD Components shall not require more than an original 
and two copies of these forms.
    (1) SF-270, Request for Advance or Reimbursement. Each DoD Component 
shall adopt the SF-270 as a standard form for all nonconstruction 
programs when electronic funds transfer or predetermined advance methods 
are not used. DoD Components, however, have the option of using this 
form for construction programs in lieu of the SF-271, \4\ ``Outlay 
Report and Request for Reimbursement for Construction Programs.''
---------------------------------------------------------------------------

    \4\ See footnote 2 to Sec. 32.12(a).
---------------------------------------------------------------------------

    (2) SF-271, Outlay Report and Request for Reimbursement for 
Construction Programs. Each DoD Component shall adopt the SF-271 as the 
standard form to be used for requesting reimbursement for construction 
programs. However, a DoD Component may substitute the SF-270 when the 
DoD Component determines that it provides adequate information to meet 
Federal needs.

[[Page 131]]



Sec. 32.23  Cost sharing or matching.

    (a) All contributions, including cash and third party in-kind, shall 
be accepted as part of the recipient's cost sharing or matching when 
such contributions meet all of the following criteria:
    (1) Are verifiable from the recipient's records.
    (2) Are not included as contributions for any other federally-
assisted project or program.
    (3) Are necessary and reasonable for proper and efficient 
accomplishment of project or program objectives.
    (4) Are allowable under the applicable cost principles.
    (5) Are not paid by the Federal Government under another award, 
except where authorized by Federal statute to be used for cost sharing 
or matching.
    (6) Are provided for in the approved budget when required by the DoD 
Component.
    (7) Conform to other provisions of this part, as applicable.
    (b) Unrecovered indirect costs (see definition in Sec. 32.2) may be 
included as part of cost sharing or matching.
    (c) Values for recipient contributions of services and property 
shall be established in accordance with the applicable cost principles. 
If a DoD Component authorizes recipients to donate buildings or land for 
construction/facilities acquisition projects or long-term use, the value 
of the donated property for cost sharing or matching shall be the lesser 
of:
    (1) The certified value of the remaining life of the property 
recorded in the recipient's accounting records at the time of donation; 
or
    (2) The current fair market value. However, when there is sufficient 
justification, the DoD Component may approve the use of the current fair 
market value of the donated property, even if it exceeds the certified 
value at the time of donation to the project. The DoD Component may 
accept the use of any reasonable basis for determining the fair market 
value of the property.
    (d) Volunteer services furnished by professional and technical 
personnel, consultants, and other skilled and unskilled labor may be 
counted as cost sharing or matching if the service is an integral and 
necessary part of an approved project or program. Rates for volunteer 
services shall be consistent with those paid for similar work in the 
recipient's organization. In those instances in which the required 
skills are not found in the recipient organization, rates shall be 
consistent with those paid for similar work in the labor market in which 
the recipient competes for the kind of services involved. In either 
case, paid fringe benefits that are reasonable, allowable, and allocable 
may be included in the valuation.
    (e) When an employer other than the recipient furnishes the services 
of an employee, these services shall be valued at the employee's regular 
rate of pay (plus an amount of fringe benefits that are reasonable, 
allowable, and allocable, but exclusive of overhead costs), provided 
these services are in the same skill for which the employee is normally 
paid.
    (f) Donated supplies may include such items as office supplies, 
laboratory supplies or workshop and classroom supplies. Value assessed 
to donated supplies included in the cost sharing or matching share shall 
be reasonable and shall not exceed the fair market value of the property 
at the time of the donation.
    (g) The method used for determining cost sharing or matching for 
donated equipment, buildings and land for which title passes to the 
recipient may differ according to the purpose of the award, if the 
purpose of the award is to:
    (1) Assist the recipient in the acquisition of equipment, buildings 
or land, the total value of the donated property may be claimed as cost 
sharing or matching; or
    (2) Support activities that require the use of equipment, buildings 
or land, normally only depreciation or use charges for equipment and 
buildings may be made. However, the full value of equipment or other 
capital assets and fair rental charges for land may be allowed, provided 
that the DoD Component has approved the charges.
    (h) The value of donated property shall be determined in accordance 
with the usual accounting policies of the recipient, with the following 
qualifications.

[[Page 132]]

    (1) The value of donated land and buildings shall not exceed its 
fair market value at the time of donation to the recipient as 
established by an independent appraiser (e.g., certified real property 
appraiser or General Services Administration representative) and 
certified by a responsible official of the recipient.
    (2) The value of donated equipment shall not exceed the fair market 
value of equipment of the same age and condition at the time of 
donation.
    (3) The value of donated space shall not exceed the fair rental 
value of comparable space as established by an independent appraisal of 
comparable space and facilities in a privately-owned building in the 
same locality.
    (4) The value of loaned equipment shall not exceed its fair rental 
value.
    (i) The following requirements pertain to the recipient's supporting 
records for in-kind contributions from third parties:
    (1) Volunteer services shall be documented and, to the extent 
feasible, supported by the same methods used by the recipient for its 
own employees.
    (2) The basis for determining the valuation for personal service and 
property shall be documented.



Sec. 32.24  Program income.

    (a) DoD Components shall apply the standards set forth in this 
section in requiring recipient organizations to account for program 
income related to projects financed in whole or in part with Federal 
funds.
    (b) Except as provided in paragraph (h) of this section, program 
income earned during the project period shall be retained by the 
recipient and, in accordance with the terms and conditions of the award, 
shall be used in one or more of the following ways:
    (1) Added to funds committed to the project by the DoD Component and 
recipient and used to further eligible project or program objectives.
    (2) Used to finance the non-Federal share of the project or program.
    (3) Deducted from the total project or program allowable cost in 
determining the net allowable costs on which the Federal share of costs 
is based.
    (c) When a program regulation or award authorizes the disposition of 
program income as described in paragraphs (b)(1) or (b)(2) of this 
section, program income in excess of any limits stipulated shall be used 
in accordance with paragraph (b)(3) of this section.
    (d) In the event that program regulations or the terms and 
conditions of the award do not specify how program income is to be used, 
paragraph (b)(3) of this section shall apply automatically to all 
projects or programs except research. For awards that support research, 
paragraph (b)(1) of this section shall apply automatically unless the 
terms and conditions specify another alternative or the recipient is 
subject to special award conditions, as indicated in Sec. 32.14.
    (e) Unless program regulations or the terms and conditions of the 
award provide otherwise, recipients shall have no obligation to the 
Federal Government regarding program income earned after the end of the 
project period.
    (f) If authorized by program regulations or the terms and conditions 
of the award, costs incident to the generation of program income may be 
deducted from gross income to determine program income, provided these 
costs have not been charged to the award.
    (g) Proceeds from the sale of property shall be handled in 
accordance with the requirements of the Property Standards (see 
Sec. Sec. 32.30 through 32.37).
    (h) Unless program regulations or the terms and condition of the 
award provide otherwise, recipients shall have no obligation to the 
Federal Government with respect to program income earned from license 
fees and royalties for copyrighted material, patents, patent 
applications, trademarks, and inventions produced under an award. Note 
that the Patent and Trademark Amendments (35 U.S.C. chapter 18) apply to 
inventions made under an experimental, developmental, or research award.



Sec. 32.25  Revision of budget and program plans.

    (a) The budget plan is the financial expression of the project or 
program as approved during the award process. It may include either the 
sum of the Federal and non-Federal shares, or only the Federal share, 
depending upon DoD Component requirements. It shall be

[[Page 133]]

related to performance for program evaluation purposes whenever 
appropriate.
    (b) Recipients are required to report deviations from budget and 
program plans, and request prior approvals for budget and program plan 
revisions, in accordance with this section.
    (c) For nonconstruction awards, recipients shall request prior 
approvals from the cognizant grants officer for one or more of the 
following program or budget related reasons.
    (1) Change in the scope or the objective of the project or program 
(even if there is no associated budget revision requiring prior written 
approval).
    (2) Change in a key person specified in the application or award 
document.
    (3) The absence for more than three months, or a 25 percent 
reduction in time devoted to the project, by the approved project 
director or principal investigator.
    (4) The need for additional Federal funding.
    (5) The transfer of amounts budgeted for indirect costs to absorb 
increases in direct costs, or vice versa, if approval is required by the 
DoD Component. DoD Components should require this prior approval only in 
exceptional circumstances. The requirement in each such case must be 
stated in the award document.
    (6) The inclusion, unless waived by the DoD Component, of costs that 
require prior approval in accordance with OMB Circular A-21, \5\ ``Cost 
Principles for Institutions of Higher Education,'' OMB Circular A-122, 
\6\ ``Cost Principles for Non-Profit Organizations,'' or Appendix E to 
45 CFR part 74, ``Principles for Determining Costs Applicable to 
Research and Development under Grants and Contracts with Hospitals,'' or 
48 CFR part 31, ``Contract Cost Principles and Procedures,'' as 
applicable. However, it should be noted that many of the prior approvals 
in these cost principles are appropriately waived only after 
consultation with the cognizant federal agency responsible for 
negotiating the recipient's indirect costs.
---------------------------------------------------------------------------

    \5\ See footnote 1 to Sec. 32.1(a).
    \6\ See footnote 1 to Sec. 32.1(a).
---------------------------------------------------------------------------

    (7) The transfer of funds allotted for training allowances (direct 
payment to trainees) to other categories of expense.
    (8) Unless described in the application and funded in the approved 
awards, the subaward, transfer or contracting out of any work under an 
award. This provision does not apply to the purchase of supplies, 
material, equipment or general support services.
    (9) If required by the DoD Component, the transfer of funds among 
direct cost categories that is described in paragraph (e) of this 
section.
    (d) (1) Except for requirements listed in paragraphs (c)(1) and 
(c)(4) of this section, OMB Circular A-110 authorizes DoD Components, at 
their option, to waive cost-related and administrative prior written 
approvals required by this part and OMB Circulars A-21 and A-122 (but 
see cautionary note at end of paragraph (c)(5) of this section).
    (2) The two prior approvals listed in paragraphs (d)(2)(i) and (ii) 
of this section are automatically waived unless the award document 
states otherwise. DoD Components should override this automatic waiver 
and require the prior approvals, especially for research awards, only in 
exceptional circumstances. Absent an override in the award terms and 
conditions, recipients need not obtain prior approvals before:
    (i) Incurring pre-award costs 90 calendar days prior to award 
(incurring pre-award costs more than 90 calendar days prior to award 
would still require the prior approval of the DoD Component). All pre-
award costs are incurred at the recipient's risk (i.e., the DoD 
Component is under no obligation to reimburse such costs if for any 
reason the recipient does not receive an award or if the award is less 
than anticipated and inadequate to cover such costs).
    (ii) Carrying forward unobligated balances to subsequent funding 
periods.
    (3) Under certain conditions, a DoD Component may authorize a 
recipient to initiate, without prior approval, a one-time, no-cost 
extension (i.e., an extension in the expiration date of an award that 
does not require additional Federal funds) for a period of up to twelve 
months, as long as the no-cost extension does not involve a change in 
the approved objectives or scope of the

[[Page 134]]

project. The conditions for waiving this prior approval requirement are 
that the DoD Component must:
    (i) Judge that the recipient's subsequently initiating a one-time, 
no-cost extension would not cause the DoD Component to fail to comply 
with DoD funding policies (for further information on the location of 
DoD funding policies, grants officers may refer to Appendix C to 32 CFR 
part 22).
    (ii) Require a recipient that wishes to initiate a one-time, no-cost 
extension to so notify the office that made the award at least 10 
calendar days before the original expiration date of the award.
    (e) The DoD Component may, at its option, restrict the transfer of 
funds among direct cost categories, functions and activities for awards 
in which the Federal share of the project exceeds $100,000 and the 
cumulative amount of such transfers exceeds or is expected to exceed 10 
percent of the total budget as last approved by the DoD Component. As a 
matter of DoD policy, requiring prior approvals for such transfers 
generally is not appropriate for grants to support research. No DoD 
Component shall permit a transfer that would cause any Federal 
appropriation or part thereof to be used for purposes other than those 
consistent with the original intent of the appropriation.
    (f) For construction awards, recipients shall request prior written 
approval promptly from grants officers for budget revisions whenever:
    (1) The revision results from changes in the scope or the objective 
of the project or program;
    (2) The need arises for additional Federal funds to complete the 
project; or
    (3) A revision is desired which involves specific costs for which 
prior written approval requirements may be imposed consistent with 
applicable OMB cost principles listed in Sec. 32.27.
    (g) When a DoD Component makes an award that provides support for 
both construction and nonconstruction work, the DoD Component may 
require the recipient to request prior approval from the grants officer 
before making any fund or budget transfers between the two types of work 
supported.
    (h) No other prior approval requirements for specific items may be 
imposed unless a deviation has been approved, in accordance with the 
deviation procedures in Sec. 32.4(c).
    (i) For both construction and nonconstruction awards, DoD Components 
shall require recipients to notify the grants officer in writing 
promptly whenever the amount of Federal authorized funds is expected to 
exceed the needs of the recipient for the project period by more than 
$5000 or five percent of the Federal award, whichever is greater. This 
notification shall not be required if an application for additional 
funding is submitted for a continuation award.
    (j) When requesting approval for budget revisions, recipients shall 
use the budget forms that were used in the application unless the grants 
officer indicates a letter of request suffices.
    (k) Within 30 calendar days from the date of receipt of the request 
for budget revisions, the grants officer shall review the request and 
notify the recipient whether the budget revisions have been approved. If 
the revision is still under consideration at the end of 30 calendar 
days, the grants officer shall inform the recipient in writing of the 
date when the recipient may expect the decision.



Sec. 32.26  Non-Federal audits.

    (a) Recipients and subrecipients that are institutions of higher 
education or other non-profit organizations (including hospitals) shall 
be subject to the audit requirements contained in the Single Audit Act 
Amendments of 1996 (31 U.S.C. 7501-7507) and revised OMB Circular A-133, 
\7\ ``Audits of States, Local Governments, and Non-Profit 
Organizations.''
---------------------------------------------------------------------------

    \7\ See footnote 1 to Sec. 32.1(a).
---------------------------------------------------------------------------

    (b) State and local governments that are subrecipients shall be 
subject to the audit requirements contained in the Single Audit Act 
Amendments of 1996 (31 U.S.C. 7501-7507) and revised OMB Circular A-133, 
``Audits of States, Local Governments, and Non-Profit Organizations.''
    (c) Hospitals that are subrecipients and are not covered by the 
audit provisions of revised OMB Circular A-133

[[Page 135]]

shall be subject to the audit requirements specified in award terms and 
conditions.
    (d) For-profit organizations that are subrecipients shall be subject 
to the audit requirements specified in 32 CFR 34.16.



Sec. 32.27  Allowable costs.

    (a) General. For each kind of recipient or subrecipient of a cost-
type assistance award, or each contractor receiving a. cost-type 
contract under an assistance award, there is a set of Federal principles 
for determining allowable costs. Allowability of costs shall be 
determined in accordance with the cost principles applicable to the 
entity incurring the costs.
    (b) Governmental organizations. Allowability of costs incurred by 
State, local or federally-recognized Indian tribal governments that may 
be subrecipients or contractors under awards subject to this part is 
determined in accordance with the provisions of OMB Circular A-87, \8\ 
``Cost Principles for State and Local Governments.''
---------------------------------------------------------------------------

    \8\ See footnote 1 to Sec. 32.1(a).
---------------------------------------------------------------------------

    (c) Non-profit organizations. The allowability of costs incurred by 
non-profit organizations that may be recipients or subrecipients of 
awards subject to this part, or contractors under such awards, is 
determined in accordance with the provisions of OMB Circular A-122, 
``Cost Principles for Non-Profit Organizations.''
    (d) Higher educational institutions. The allowability of costs 
incurred by institutions of higher education that may be recipients, 
subrecipients, or contractors is determined in accordance with the 
provisions of OMB Circular A-21, ``Cost Principles for Educational 
Institutions.''
    (e) Hospitals. The allowability of costs incurred by hospitals that 
are recipients, subrecipients, or contractors is determined in 
accordance with the provisions of Appendix E to 45 CFR part 74, 
``Principles for Determining Costs Applicable to Research and 
Development Under Grants and Contracts with Hospitals.''
    (f) For-profit organizations. The allowability of costs incurred by 
subrecipients or contractors that are either for-profit organizations or 
non-profit organizations listed in Attachment C to Circular A-122 is 
determined in accordance with the provisions of the Federal Acquisition 
Regulation (FAR) at 48 CFR part 31; however, the grants officer or the 
award terms and conditions may in rare cases authorize a determination 
of allowable costs that are in accordance with uniform cost accounting 
standards and comply with cost principles acceptable to the Department 
of Defense.



Sec. 32.28  Period of availability of funds.

    Where a funding period is specified, a recipient may charge to the 
award only allowable costs resulting from obligations incurred during 
the funding period and any pre-award costs (see Sec. 32.25(d)(2)(i)) 
authorized by the DoD Component.

                           Property Standards



Sec. 32.30  Purpose of property standards.

    Sections 32.31 through 32.37 set forth uniform standards governing 
management and disposition of property furnished by the Federal 
Government and property whose cost was charged to a project supported by 
a Federal award. DoD Components shall require recipients to observe 
these standards under awards and shall not impose additional 
requirements, unless specifically required by Federal statute. The 
recipient may use its own property management standards and procedures 
provided it observes the provisions of Sec. Sec. 32.31 through 32.37.



Sec. 32.31  Insurance coverage.

    Recipients shall, at a minimum, provide the equivalent insurance 
coverage for real property and equipment acquired with Federal funds as 
provided to property owned by the recipient. Federally-owned property 
need not be insured unless required by the terms and conditions of the 
award.



Sec. 32.32  Real property.

    Each DoD Component that makes awards under which real property is 
acquired in whole or in part with Federal funds shall prescribe 
requirements for

[[Page 136]]

recipients concerning the use and disposition of such property. Unless 
otherwise provided by statute, such requirements, at a minimum, shall 
contain the following:
    (a) Title to real property shall vest in the recipient subject to 
the condition that the recipient shall use the real property for the 
authorized purpose of the project as long as it is needed and shall not 
encumber the property without approval of the DoD Component.
    (b) The recipient shall obtain written approval by the grants 
officer for the use of real property in other federally sponsored 
projects when the recipient determines that the property is no longer 
needed for the purpose of the original project. Use in other projects 
shall be limited to those under federally sponsored projects (i.e., 
awards) or programs that have purposes consistent with those authorized 
for support by the DoD Component.
    (c) When the real property is no longer needed as provided in 
paragraphs (a) and (b) of this section, the recipient shall request 
disposition instructions from the DoD Component or its successor Federal 
agency. The responsible Federal agency shall observe one or more of the 
following disposition instructions:
    (1) The recipient may be permitted to retain title without further 
obligation to the Federal Government after it compensates the Federal 
Government for that percentage of the current fair market value of the 
property attributable to the Federal participation in the project.
    (2) The recipient may be directed to sell the property under 
guidelines provided by the DoD Component and pay the Federal Government 
for that percentage of the current fair market value of the property 
attributable to the Federal participation in the project (after 
deducting actual and reasonable selling and fix-up expenses, if any, 
from the sales proceeds). When the recipient is authorized or required 
to sell the property, proper sales procedures shall be established that 
provide for competition to the extent practicable and result in the 
highest possible return.
    (3) The recipient may be directed to transfer title to the property 
to the Federal Government or to an eligible third party provided that, 
in such cases, the recipient shall be entitled to compensation for its 
attributable percentage of the current fair market value of the 
property.



Sec. 32.33  Federally-owned and exempt property.

    (a) Federally-owned property. (1) Title to federally-owned property 
remains vested in the Federal Government. Recipients shall submit 
annually an inventory listing of federally-owned property in their 
custody to the DoD Component that made the award. Upon completion of the 
award or when the property is no longer needed, the recipient shall 
report the property to the DoD Component for further Federal agency 
utilization.
    (2) If the DoD Component that made the award has no further need for 
the property, it shall be declared excess and either:
    (i) Reported to the General Services Administration, in accordance 
with the Federal Property and Administrative Services Act of 1949 (40 
U.S.C. 483(b)(2)), as implemented by General Services Administration 
regulations at 41 CFR 101-47.202; or
    (ii) Disposed of by alternative methods pursuant to other specific 
statutory authority. For example, DoD Components are authorized by the 
Federal Technology Transfer Act (15 U.S.C. 3710(i)), to donate research 
equipment to educational and non-profit organizations for the conduct of 
technical and scientific education and research activities--donations 
under this Act shall be in accordance with the DoD implementation of 
E.O. 12999 (3 CFR, 1996 Comp., p. 180), ``Educational Technology: 
Ensuring Opportunity for All Children in the Next Century,'' as 
applicable. Appropriate instructions shall be issued to the recipient by 
the DoD Component.
    (b) Exempt property. (1) When statutory authority exists, a DoD 
Component may vest title to property acquired with Federal funds in the 
recipient without further obligation to the Federal Government and under 
conditions the DoD Component considers appropriate. For example, under 
31 U.S.C. 6306, DoD Components may so vest title to tangible personal 
property

[[Page 137]]

under a grant or cooperative agreement for basic or applied research in 
a nonprofit institution of higher education or a nonprofit organization 
whose primary purpose is conducting scientific research. Such property 
is ``exempt property.''
    (2) As a matter of policy, DoD Components shall make maximum use of 
the authority of 31 U.S.C. 6306 to vest title to exempt property in 
institutions of higher education, without further obligation to the 
Government, to enhance the university infrastructure for future 
performance of defense research and related, science and engineering 
education.
    (3) DoD Components may establish conditions, in regulation or in 
award terms and conditions, for vesting title to exempt property. Should 
a DoD Component not establish conditions, title to exempt property upon 
acquisition shall vest in the recipient without further obligation to 
the Federal Government.



Sec. 32.34  Equipment.

    (a) Title to equipment acquired by a recipient with Federal funds 
shall vest in the recipient, subject to conditions of this section.
    (b) The recipient shall not use equipment acquired with Federal 
funds to provide services to non-Federal outside organizations for a fee 
that is less than private companies charge for equivalent services, 
unless specifically authorized by Federal statute, for as long as the 
Federal Government retains an interest in the equipment.
    (c) The recipient shall use the equipment in the project or program 
for which it was acquired as long as needed, whether or not the project 
or program continues to be supported by Federal funds and shall not 
encumber the property without approval of the DoD Component that made 
the award. When no longer needed for the original project or program, 
the recipient shall use the equipment in connection with its other 
federally-sponsored activities, in the following order of priority:
    (1) First, activities sponsored by the DoD Component that funded the 
original project.
    (2) Second, activities sponsored by other DoD Components.
    (3) Then, activities sponsored by other Federal agencies.
    (d) During the time that equipment is used on the project or program 
for which it was acquired, the recipient shall make it available for use 
on other projects or programs if such other use will not interfere with 
the work on the project or program for which the equipment was 
originally acquired. First preference for such other use shall be given 
to other projects or programs sponsored by the DoD Component that 
financed the equipment; second preference shall be given to projects or 
programs sponsored by other DoD Components; and third preference shall 
be given to projects or programs sponsored by other Federal agencies. If 
the property is owned by the Federal Government, use on other activities 
not sponsored by the Federal Government shall be permissible if 
authorized by the DoD Component that financed the property. User charges 
shall be treated as program income.
    (e) When acquiring replacement equipment, the recipient may use the 
equipment to be replaced as trade-in or sell the equipment and use the 
proceeds to offset the costs of the replacement equipment subject to the 
approval of the DoD Component that financed the equipment.
    (f) The recipient's property management standards for equipment 
acquired with Federal funds and federally-owned property shall include 
all of the following:
    (1) Records for equipment and federally-owned property shall be 
maintained accurately and shall include the following information:
    (i) A description of the equipment or federally-owned property.
    (ii) Manufacturer's serial number, model number, Federal stock 
number, national stock number, or other identification number.
    (iii) Source of the equipment or federally-owned property, including 
the award number.
    (iv) Whether title vests in the recipient or the Federal Government.
    (v) Acquisition date (or date received, if the property was 
furnished by the Federal Government) and cost.
    (vi) Information from which one can calculate the percentage of 
Federal

[[Page 138]]

participation in the cost of the equipment (not applicable to property 
furnished by the Federal Government).
    (vii) Location and condition of the equipment or federally-owned 
property and the date the information was reported.
    (viii) Unit acquisition cost.
    (ix) Ultimate disposition data, including date of disposal and sales 
price or the method used to determine current fair market value where a 
recipient compensates the DoD Component that made the award for its 
share.
    (2) Property owned by the Federal Government shall be identified to 
indicate Federal ownership.
    (3) A physical inventory of equipment and federally-owned property 
shall be taken and the results reconciled with the equipment records at 
least once every two years. Any differences between quantities 
determined by the physical inspection and those shown in the accounting 
records shall be investigated to determine the causes of the difference. 
The recipient shall, in connection with the inventory, verify the 
existence, current utilization, and continued need for the equipment or 
federally-owned property.
    (4) A control system shall be in effect to insure adequate 
safeguards to prevent loss, damage, or theft of the equipment or 
federally-owned property. Any loss, damage, or theft of equipment or 
federally-owned property shall be investigated and fully documented; if 
the property was owned by the Federal Government, the recipient shall 
promptly notify the DoD Component.
    (5) Adequate maintenance procedures shall be implemented to keep the 
equipment or federally-owned property in good condition.
    (6) Where the recipient is authorized or required to sell the 
equipment, proper sales procedures shall be established which provide 
for competition to the extent practicable and result in the highest 
possible return.
    (g) When the recipient no longer needs the equipment, the equipment 
may be used for other activities in accordance with the following 
standards.
    (1) For equipment with a current per unit fair market value of 
$5,000 or more, the recipient may retain the equipment for other uses 
provided that compensation is made to the DoD Component that originally 
made the award or its successor. The amount of compensation shall be 
computed by applying the percentage of Federal participation in the cost 
of the original project or program to the current fair market value of 
the equipment.
    (2) If the recipient has no need for the equipment, the recipient 
shall request disposition instructions from the DoD Component. The DoD 
Component shall issue instructions to the recipient no later than 120 
calendar days after the recipient's request and the following procedures 
shall govern:
    (i) The grants officer, in consultation with the program manager, 
shall judge whether the age and nature of the equipment warrant a 
screening procedure to determine whether the equipment is useful to a 
DoD Component or other Federal agency. If a screening procedure is 
warranted:
    (A) The DoD Component shall determine whether the equipment can be 
used to meet DoD requirements.
    (B) If no DoD requirement exists, the availability of the equipment 
shall be reported to the General Services Administration by the DoD 
Component to determine whether a requirement for the equipment exists in 
other Federal agencies.
    (ii) If so instructed or if disposition instructions are not issued 
within 120 calendar days after the recipient's request, the recipient 
shall sell the equipment and reimburse the DoD Component that made the 
award an amount computed by applying to the sales proceeds the 
percentage of Federal participation in the cost of the original project 
or program. However, the recipient shall be permitted to deduct and 
retain from the Federal share $500 or ten percent of the proceeds, 
whichever is less, for the recipient's selling and handling expenses.
    (iii) If the recipient is instructed to ship the equipment 
elsewhere, the recipient shall be reimbursed by the Federal Government 
by an amount which is computed by applying the percentage of the 
recipient's participation in the cost of the original project or program 
to the current fair market value of the equipment, plus any reasonable

[[Page 139]]

shipping or interim storage costs incurred.
    (iv) If the recipient is instructed to otherwise dispose of the 
equipment, the recipient shall be reimbursed by the DoD Component that 
made the award for such costs incurred in its disposition.
    (h) The DoD Component may reserve the right to transfer the title to 
the Federal Government or to a third party named by the Federal 
Government when such third party is otherwise eligible under existing 
statutes. Such transfer shall be subject to the following standards.
    (1) The equipment shall be appropriately identified in the award or 
otherwise made known to the recipient in writing. For exempt property, 
in accordance with Sec. 32.33(b)(3), note that this identification must 
occur by the time of award, or title to the property vests in the 
recipient without further obligation to the Government.
    (2) The DoD Component shall issue disposition instructions within 
120 calendar days after receipt of a final inventory. The final 
inventory shall list all equipment acquired with award funds and 
federally-owned property. If the DoD Component fails to issue 
disposition instructions for equipment within the 120 calendar day 
period, the recipient shall apply the standards of paragraph (g) of this 
section.
    (3) When the DoD Component exercises its right to take title, the 
equipment shall be subject to the provisions for federally-owned 
property.



Sec. 32.35  Supplies.

    (a) Title to supplies shall vest in the recipient upon acquisition. 
If there is a residual inventory of unused supplies exceeding $5,000 in 
total aggregate value upon termination or completion of the project or 
program and the supplies are not needed for any other federally-
sponsored project or program, the recipient shall retain the supplies 
for use on non-Federal sponsored activities or sell them, but shall, in 
either case, compensate the Federal Government for its share. The amount 
of compensation shall be computed in the same manner as for equipment.
    (b) The recipient shall not use supplies acquired with Federal funds 
to provide services to non-Federal outside organizations for a fee that 
is less than private companies charge for equivalent services, unless 
specifically authorized by Federal statute as long as the Federal 
Government retains an interest in the supplies.



Sec. 32.36  Intangible property.

    (a) The recipient may copyright any work that is subject to 
copyright and was developed, or for which ownership was purchased, under 
an award. DoD Components reserve a royalty-free, nonexclusive and 
irrevocable right to reproduce, publish, or otherwise use the work for 
Federal purposes, and to authorize others to do so.
    (b) Recipients are subject to applicable regulations governing 
patents and inventions, including Governmentwide regulations issued by 
the Department of Commerce at 37 CFR part 401, ``Rights to Inventions 
Made by Nonprofit Organizations and Small Business Firms Under 
Government Grants, Contracts and Cooperative Agreements.''
    (c) The Federal Government has the right to:
    (1) Obtain, reproduce, publish or otherwise use the data first 
produced under an award; and
    (2) Authorize others to receive, reproduce, publish, or otherwise 
use such data for Federal purposes.
    (d)(1) In addition, in response to a Freedom of Information Act 
(FOIA) request for research data relating to published research findings 
produced under an award that were used by the Federal Government in 
developing an agency action that has the force and effect of law, the 
DoD Component that made the award shall request, and the recipient shall 
provide, within a reasonable time, the research data so that they can be 
made available to the public through the procedures established under 
the FOIA. If the DoD Component that made the award obtains the research 
data solely in response to a FOIA request, the agency may charge the 
requester a reasonable fee equaling the full incremental cost of 
obtaining the research data. This fee should reflect costs incurred by 
the agency, the recipient, and applicable subrecipients. This fee is in 
addition to any fees the

[[Page 140]]

agency may assess under the FOIA (5 U.S.C. 552(a)(4)(A)).
    (2) The following definitions apply for purposes of this paragraph 
(d):
    (i) Research data is defined as the recorded factual material 
commonly accepted in the scientific community as necessary to validate 
research findings, but not any of the following: preliminary analyses, 
drafts of scientific papers, plans for future research, peer reviews, or 
communications with colleagues. This ``recorded'' material excludes 
physical objects (e.g., laboratory samples). Research data also do not 
include:
    (A) Trade secrets, commercial information, materials necessary to be 
held confidential by a researcher until they are published, or similar 
information which is protected under law; and
    (B) Personnel and medical information and similar information the 
disclosure of which would constitute a clearly unwarranted invasion of 
personal privacy, such as information that could be used to identify a 
particular person in a research study.
    (ii) Published is defined as either when:
    (A) Research findings are published in a peer-reviewed scientific or 
technical journal; or
    (B) A Federal agency publicly and officially cites the research 
findings in support of an agency action that has the force and effect of 
law.
    (iii) Used by the Federal Government in developing an agency action 
that has the force and effect of law is defined as when an agency 
publicly and officially cites the research findings in support of an 
agency action that has the force and effect of law.
    (e) Title to intangible property and debt instruments acquired under 
an award or subaward (rather than developed or produced under the award 
or subaward) vests upon acquisition in the recipient. The recipient 
shall use that property for the originally-authorized purpose, and the 
recipient shall not encumber the property without approval of the DoD 
Component that made the award. When no longer needed for the originally 
authorized purpose, disposition of the intangible property shall occur 
in accordance with the provisions of Sec. 32.34(g).

[63 FR 12188, Mar. 12, 1998, as amended at 65 FR 14407, 14416, Mar. 16, 
2000]



Sec. 32.37  Property trust relationship.

    Real property, equipment, intangible property and debt instruments 
that are acquired or improved with Federal funds shall be held in trust 
by the recipient as trustee for the beneficiaries of the project or 
program under which the property was acquired or improved. DoD 
Components may require recipients to record liens or other appropriate 
notices of record to indicate that personal or real property has been 
acquired or improved with Federal funds and that use and disposition 
conditions apply to the property.

                          Procurement Standards



Sec. 32.40  Purpose of procurement standards.

    Sections 32.41 through 32.48 set forth standards for use by 
recipients in establishing procedures for the procurement of supplies 
and other expendable property, equipment, real property and other 
services with Federal funds. These standards are furnished to ensure 
that such materials and services are obtained in an effective manner and 
in compliance with the provisions of applicable Federal statutes and 
executive orders.



Sec. 32.41  Recipient responsibilities.

    The standards contained in this section do not relieve the recipient 
of the contractual responsibilities arising under its contract(s). The 
recipient is the responsible authority, without recourse to the DoD 
Component that made the award, regarding the settlement and satisfaction 
of all contractual and administrative issues arising out of procurements 
entered into in support of an award or other agreement. This includes 
disputes, claims, protests of award, source evaluation or other matters 
of a contractual nature. Matters concerning violation of statute are to 
be referred to such Federal, State or local authority as may have proper 
jurisdiction.

[[Page 141]]



Sec. 32.42  Codes of conduct.

    The recipient shall maintain written standards of conduct governing 
the performance of its employees engaged in the award and administration 
of contracts. No employee, officer, or agent shall participate in the 
selection, award, or administration of a contract supported by Federal 
funds if a real or apparent conflict of interest would be involved. Such 
a conflict would arise when the employee, officer, or agent, any member 
of his or her immediate family, his or her partner, or an organization 
which employs or is about to employ any of the parties indicated herein, 
has a financial or other interest in the firm selected for an award. The 
officers, employees, and agents of the recipient shall neither solicit 
nor accept gratuities, favors, or anything of monetary value from 
contractors, or parties to subagreements. However, recipients may set 
standards for situations in which the financial interest is not 
substantial or the gift is an unsolicited item of nominal value. The 
standards of conduct shall provide for disciplinary actions to be 
applied for violations of such standards by officers, employees, or 
agents of the recipient.



Sec. 32.43  Competition.

    All procurement transactions shall be conducted in a manner to 
provide, to the maximum extent practical, open and free competition. The 
recipient shall be alert to organizational conflicts of interest as well 
as noncompetitive practices among contractors that may restrict or 
eliminate competition or otherwise restrain trade. In order to ensure 
objective contractor performance and eliminate unfair competitive 
advantage, contractors that develop or draft specifications, 
requirements, statements of work, invitations for bids and/or requests 
for proposals shall be excluded from competing for such procurements. 
Awards shall be made to the bidder or offeror whose bid or offer is 
responsive to the solicitation and is most advantageous to the 
recipient, price, quality and other factors considered. Solicitations 
shall clearly set forth all requirements that the bidder or offeror 
shall fulfill in order for the bid or offer to be evaluated by the 
recipient. Any and all bids or offers may be rejected when it is in the 
recipient's interest to do so.



Sec. 32.44  Procurement procedures.

    (a) All recipients shall establish written procurement procedures. 
These procedures shall provide, at a minimum, that:
    (1) Recipients avoid purchasing unnecessary items;
    (2) Where appropriate, an analysis is made of lease and purchase 
alternatives to determine which would be the most economical and 
practical procurement; and
    (3) Solicitations for goods and services provide for all of the 
following:
    (i) A clear and accurate description of the technical requirements 
for the material, product or service to be procured. In competitive 
procurements, such a description shall not contain features which unduly 
restrict competition.
    (ii) Requirements which the bidder/offeror must fulfill and all 
other factors to be used in evaluating bids or proposals.
    (iii) A description, whenever practicable, of technical requirements 
in terms of functions to be performed or performance required, including 
the range of acceptable characteristics or minimum acceptable standards.
    (iv) The specific features of ``brand name or equal'' descriptions 
that bidders are required to meet when such items are included in the 
solicitation.
    (v) The acceptance, to the extent practicable and economically 
feasible, of products and services dimensioned in the metric system of 
measurement.
    (vi) Preference, to the extent practicable and economically 
feasible, for products and services that conserve natural resources and 
protect the environment and are energy efficient.
    (b) Positive efforts shall be made by recipients to utilize small 
businesses, minority-owned firms, and women's business enterprises, 
whenever possible. Recipients of Federal awards shall take all of the 
following steps to further this goal:
    (1) Ensure that small businesses, minority-owned firms, and women's 
business enterprises are used to the fullest extent practicable.

[[Page 142]]

    (2) Make information on forthcoming opportunities available and 
arrange time frames for purchases and contracts to encourage and 
facilitate participation by small businesses, minority-owned firms, and 
women's business enterprises.
    (3) Consider in the contract process whether firms competing for 
larger contracts intend to subcontract with small businesses, minority-
owned firms, and women's business enterprises.
    (4) Encourage contracting with consortiums of small businesses, 
minority-owned firms and women's business enterprises when a contract is 
too large for one of these firms to handle individually.
    (5) Use the services and assistance, as appropriate, of such 
organizations as the Small Business Administration and the Department of 
Commerce's Minority Business Development Agency in the solicitation and 
utilization of small businesses, minority-owned firms and women's 
business enterprises.
    (c) The type of procuring instruments used (e.g., fixed price 
contracts, cost reimbursable contracts, purchase orders, and incentive 
contracts) shall be determined by the recipient but shall be appropriate 
for the particular procurement and for promoting the best interest of 
the program or project involved. The ``cost-plus-a-percentage-of-cost'' 
or ``percentage of construction cost'' methods of contracting shall not 
be used.
    (d) Contracts shall be made only with responsible contractors who 
possess the potential ability to perform successfully under the terms 
and conditions of the proposed procurement. Consideration shall be given 
to such matters as contractor integrity, record of past performance, 
financial and technical resources or accessibility to other necessary 
resources. In certain circumstances, contracts with certain parties are 
restricted by the DoD implementation, in 2 CFR part 1125, of OMB 
guidance on nonprocurement debarment and suspension (2 CFR part 180)
    (e) Recipients shall, on request, make available for the DoD 
Component's pre-award review, procurement documents such as request for 
proposals or invitations for bids, independent cost estimates, etc., 
when any of the following conditions apply:
    (1) A recipient's procurement procedures or operation fails to 
comply with the procurement standards in this part.
    (2) The procurement is expected to exceed the simplified acquisition 
threshold fixed at 41 U.S.C. 403 (11) (currently $100,000) and is to be 
awarded without competition or only one bid or offer is received in 
response to a solicitation.
    (3) The procurement, which is expected to exceed the simplified 
acquisition threshold, specifies a ``brand name'' product.
    (4) The proposed award over the simplified acquisition threshold is 
to be awarded to other than the apparent low bidder under a sealed bid 
procurement.
    (5) A proposed contract modification changes the scope of a contract 
or increases the contract amount by more than the amount of the 
simplified acquisition threshold.

[63 FR 12188, Mar. 12, 1998, as amended at 72 FR 34998, June 26, 2007]



Sec. 32.45  Cost and price analysis.

    Some form of cost or price analysis shall be made and documented in 
the procurement files in connection with every procurement action. Price 
analysis may be accomplished in various ways, including the comparison 
of price quotations submitted, market prices and similar indicia, 
together with discounts. Cost analysis is the review and evaluation of 
each element of cost to determine reasonableness, allocability and 
allowability.



Sec. 32.46  Procurement records.

    Procurement records and files for purchases in excess of the 
simplified acquisition threshold shall include the following at a 
minimum:
    (a) Basis for contractor selection;
    (b) Justification for lack of competition when competitive bids or 
offers are not obtained; and
    (c) Basis for award cost or price.



Sec. 32.47  Contract administration.

    A system for contract administration shall be maintained to ensure 
contractor conformance with the terms,

[[Page 143]]

conditions and specifications of the contract and to ensure adequate and 
timely follow up of all purchases. Recipients shall evaluate contractor 
performance and document, as appropriate, whether contractors have met 
the terms, conditions and specifications of the contract.



Sec. 32.48  Contract provisions.

    The recipient shall include, in addition to provisions to define a 
sound and complete agreement, the following provisions in all contracts. 
The following provisions shall also be applied to subcontracts:
    (a) Contracts in excess of the simplified acquisition threshold 
shall contain contractual provisions or conditions that allow for 
administrative, contractual, or legal remedies in instances in which a 
contractor violates or breaches the contract terms, and provide for such 
remedial actions as may be appropriate.
    (b) All contracts in excess of the simplified acquisition threshold 
shall contain suitable provisions for termination by the recipient, 
including the manner by which termination shall be effected and the 
basis for settlement. In addition, such contracts shall describe 
conditions under which the contract may be terminated for default as 
well as conditions where the contract may be terminated because of 
circumstances beyond the control of the contractor.
    (c) Except as otherwise required by statute, an award that requires 
the contracting (or subcontracting) for construction or facility 
improvements shall provide for the recipient to follow its own 
requirements relating to bid guarantees, performance bonds, and payment 
bonds unless the construction contract or subcontract exceeds $100,000. 
For those contracts or subcontracts exceeding $100,000, the DoD 
Component may accept the bonding policy and requirements of the 
recipient, provided the grants officer has made a determination that the 
Federal Government's interest is adequately protected. If such a 
determination has not been made, the minimum requirements shall be as 
follows:
    (1) A bid guarantee from each bidder equivalent to five percent of 
the bid price. The ``bid guarantee'' shall consist of a firm commitment 
such as a bid bond, certified check, or other negotiable instrument 
accompanying a bid as assurance that the bidder shall, upon acceptance 
of his bid, execute such contractual documents as may be required within 
the time specified.
    (2) A performance bond on the part of the contractor for 100 percent 
of the contract price. A ``performance bond'' is one executed in 
connection with a contract to secure fulfillment of all the contractor's 
obligations under such contract.
    (3) A payment bond on the part of the contractor for 100 percent of 
the contract price. A ``payment bond'' is one executed in connection 
with a contract to assure payment as required by statute of all persons 
supplying labor and material in the execution of the work provided for 
in the contract.
    (4) Where bonds are required in the situations described in 
Sec. Sec. 32.40 through 32.49, the bonds shall be obtained from 
companies holding certificates of authority as acceptable sureties 
pursuant to 31 CFR part 223, ``Surety Companies Doing Business with the 
United States.''
    (d) All negotiated contracts (except those for less than the 
simplified acquisition threshold) awarded by recipients shall include a 
provision to the effect that the recipient, the Department of Defense, 
the Comptroller General of the United States, or any of their duly 
authorized representatives, shall have access to any books, documents, 
papers and records of the contractor which are directly pertinent to a 
specific program for the purpose of making audits, examinations, 
excerpts and transcriptions.
    (e) All contracts, including those for amounts less than the 
simplified acquisition threshold, by recipients and their contractors 
shall contain the procurement provisions of Appendix A to this part, as 
applicable.



Sec. 32.49  Resource Conservation and Recovery Act.

    Under the Resource Conservation and Recovery Act (RCRA) (section 
6002, Pub. L. 94-580, 42 U.S.C. 6962), any State agency or agency of a 
political subdivision of a State which is using

[[Page 144]]

appropriated Federal funds must comply with section 6002. Section 6002 
requires that preference be given in procurement programs to the 
purchase of specific products containing recycled materials identified 
in guidelines developed by the Environmental Protection Agency (EPA) (40 
CFR parts 247-254). Accordingly, State and local institutions of higher 
education, hospitals, and non-profit organizations that receive direct 
Federal awards or other Federal funds shall give preference in their 
procurement programs funded with Federal funds to the purchase of 
recycled products pursuant to the EPA guidelines.

                           Reports and Records



Sec. 32.50  Purpose of reports and records.

    Sections 32.51 through 32.53 set forth the procedures for monitoring 
and reporting on the recipient's financial and program performance and 
the necessary standard reporting forms. They also set forth record 
retention requirements.



Sec. 32.51  Monitoring and reporting program performance.

    (a) Recipients are responsible for managing and monitoring each 
project, program, subaward, function or activity supported by the award. 
Recipients shall monitor subawards to ensure subrecipients have met the 
audit requirements as delineated in Sec. 32.26.
    (b) The award terms and conditions shall prescribe the frequency 
with which the performance reports shall be submitted. Except as 
provided in paragraph (f) of this section, performance reports shall not 
be required more frequently than quarterly or less frequently than 
annually. Annual reports shall be due 90 calendar days after the award 
year; quarterly or semi-annual reports shall be due 30 calendar days 
after the reporting period. DoD Components may require annual reports 
before the anniversary dates of multiple year awards in lieu of these 
requirements. The final performance reports are due 90 calendar days 
after the expiration or termination of the award.
    (c) If inappropriate, a final technical or performance report shall 
not be required after completion of the project.
    (d) When required, performance reports shall generally contain, for 
each award, brief information on each of the following:
    (1) A comparison of actual accomplishments with the goals and 
objectives established for the period, the findings of the investigator, 
or both. Whenever appropriate and the output of programs or projects can 
be readily quantified, such quantitative data should be related to cost 
data for computation of unit costs. However, unit costs are generally 
inappropriate for research (see Sec. 32.21 (a) and (b)(4)).
    (2) Reasons why established goals were not met, if appropriate.
    (3) Other pertinent information including, when appropriate, 
analysis and explanation of cost overruns or high unit costs.
    (e) Recipients shall not be required to submit more than the 
original and two copies of performance reports.
    (f) Recipients shall immediately notify the grants officer of 
developments that have a significant impact on the award-supported 
activities. Also, notification shall be given in the case of problems, 
delays, or adverse conditions which materially impair the ability to 
meet the objectives of the award. This notification shall include a 
statement of the action taken or contemplated, and any assistance needed 
to resolve the situation.
    (g) DoD Components' representatives may make site visits, as needed.
    (h) DoD Components shall comply with applicable clearance 
requirements of 5 CFR part 1320 when requesting performance data from 
recipients.



Sec. 32.52  Financial reporting.

    (a) The following forms or such other forms as may be approved by 
OMB are authorized for obtaining financial information from recipients:
    (1) SF-269 \9\ or SF-269A, \10\ Financial Status Report. (i) DoD 
Components shall require recipients to use the SF-269 or SF-269A to 
report the status of funds for all nonconstruction projects or programs. 
A DoD Component may, however, have the option of not requiring the SF-
269 or SF-269A when the SF-270,

[[Page 145]]

Request for Advance or Reimbursement, or SF-272, \11\ Report of Federal 
Cash Transactions, is determined to provide adequate information to meet 
agency needs, except that a final SF-269 or SF-269A shall be required at 
the completion of the project when the SF-270 is used only for advances.
---------------------------------------------------------------------------

    \9\ See footnote 2 to Sec. 32.12(a).
    \10\ See footnote 2 to Sec. 32.12(a).
    \11\ See footnote 2 to Sec. 32.12(a).
---------------------------------------------------------------------------

    (ii) The DoD Component shall prescribe whether the report shall be 
on a cash or accrual basis. If the award requires accrual information 
and the recipient's accounting records are not normally kept on the 
accrual basis, the recipient shall not be required to convert its 
accounting system, but shall develop such accrual information through 
best estimates based on an analysis of the documentation on hand.
    (iii) The DoD Component shall determine the frequency of the 
Financial Status Report for each project or program, considering the 
size and complexity of the particular project or program. However, the 
report shall not be required more frequently than quarterly or less 
frequently than annually. A final report shall be required at the 
completion of the award.
    (iv) The DoD Component shall require recipients to submit the SF-269 
or SF-269A (an original and no more than two copies) no later than 30 
calendar days after the end of each specified reporting period for 
quarterly and semi-annual reports, and 90 calendar days for annual and 
final reports. Extensions of reporting due dates may be approved by the 
grants officer upon request of the recipient.
    (2) SF-272, Report of Federal Cash Transactions. (i) When funds are 
advanced to recipients the DoD Component shall require each recipient to 
submit the SF-272 and, when necessary, its continuation sheet, SF-272a. 
\12\ The grants officer shall use this report to monitor cash advanced 
to recipients and to obtain disbursement information for each award to 
the recipients.
---------------------------------------------------------------------------

    \12\ See footnote 2 to Sec. 32.12(a).
---------------------------------------------------------------------------

    (ii) DoD Components may require forecasts of Federal cash 
requirements in the ``Remarks'' section of the report.
    (iii) When practical and deemed necessary, DoD Components may 
require recipients to report in the ``Remarks'' section the amount of 
cash advances received in excess of three working days. Recipients shall 
provide short narrative explanations of actions taken to reduce the 
excess balances.
    (iv) Recipients shall be required to submit not more than the 
original and two copies of the SF-272 15 calendar days following the end 
of each quarter. DoD Components may require a monthly report from those 
recipients receiving advances totaling $1 million or more per year.
    (v) DoD Components may waive the requirement for submission of the 
SF-272 for any one of the following reasons:
    (A) When monthly advances do not exceed $25,000 per recipient, 
provided that such advances are monitored through other forms contained 
in this section;
    (B) If, in the grants officer's opinion, the recipient's accounting 
controls are adequate to minimize excessive Federal advances; or
    (C) When electronic payment mechanisms or SF-270 forms provide 
adequate data.
    (b) When the DoD Component needs additional information or more 
frequent reports, the following shall be observed:
    (1) When additional information is needed to comply with legislative 
requirements, grants officers shall issue instructions to require 
recipients to submit such information under the ``Remarks'' section of 
the reports.
    (2) When a grants officer, after consultation with the Federal 
agency assigned cognizance for a recipient's audit and audit resolution, 
determines that the recipient's accounting system does not meet the 
standards in Sec. 32.21, additional pertinent information to further 
monitor awards may be obtained upon written notice to the recipient 
until such time as the system is brought up to standard. The grants 
officer, in obtaining this information, shall comply with applicable 
report clearance requirements of 5 CFR part 1320.

[[Page 146]]

    (3) Grants officers are encouraged to shade out any line item on any 
report if not necessary.
    (4) DoD Components are encouraged to accept the identical 
information from the recipients in machine readable format or computer 
printouts or electronic outputs in lieu of prescribed formats.
    (5) DoD Components may provide computer or electronic outputs to 
recipients when it expedites or contributes to the accuracy of 
reporting.



Sec. 32.53  Retention and access requirements for records.

    (a) This section sets forth requirements for record retention and 
access to records for awards to recipients. DoD Components shall not 
impose any other record retention or access requirements upon 
recipients.
    (b) Financial records, supporting documents, statistical records, 
and all other records pertinent to an award shall be retained for a 
period of three years from the date of submission of the final 
expenditure report. The only exceptions are the following:
    (1) If any litigation, claim, or audit is started before the 
expiration of the 3-year period, the records shall be retained until all 
litigation, claims or audit findings involving the records have been 
resolved and final action taken.
    (2) Records for real property and equipment acquired with Federal 
funds shall be retained for 3 years after final disposition.
    (3) When records are transferred to or maintained by the DoD 
Component that made the award, the 3-year retention requirement is not 
applicable to the recipient.
    (4) Indirect cost rate proposals, cost allocations plans, and 
related records, for which retention requirements are specified in 
paragraph (g) of this section.
    (c) Copies of original records may be substituted for the original 
records if authorized by the grants officer.
    (d) The grants officer shall request that recipients transfer 
certain records to DoD Component custody when he or she determines that 
the records possess long term retention value. However, in order to 
avoid duplicate recordkeeping, a grants officer may make arrangements 
for recipients to retain any records that are continuously needed for 
joint use.
    (e) DoD Components, the Inspector General, Comptroller General of 
the United States, or any of their duly authorized representatives, have 
the right of timely and unrestricted access to any books, documents, 
papers, or other records of recipients that are pertinent to the awards, 
in order to make audits, examinations, excerpts, transcripts and copies 
of such documents. This right also includes timely and reasonable access 
to a recipient's personnel for the purpose of interview and discussion 
related to such documents. The rights of access in this paragraph are 
not limited to the required retention period, but shall last as long as 
records are retained.
    (f) Unless required by statute, no DoD Component shall place 
restrictions on recipients that limit public access to the records of 
recipients that are pertinent to an award, except when the DoD Component 
can demonstrate that such records shall be kept confidential and would 
have been exempted from disclosure pursuant to the Freedom of 
Information Act (5 U.S.C. 552) if the records had belonged to the DoD 
Component making the award.
    (g) Indirect cost rate proposals, cost allocations plans, etc. 
Paragraphs (g)(1) and (g)(2) of this section apply to the following 
types of documents, and their supporting records: indirect cost rate 
computations or proposals, cost allocation plans, and any similar 
accounting computations of the rate at which a particular group of costs 
is chargeable (such as computer usage chargeback rates or composite 
fringe benefit rates).
    (1) If submitted for negotiation. If the recipient submits an 
indirect-cost proposal, plan, or other computation to the Federal agency 
responsible for negotiating the recipient's indirect cost rate, as the 
basis for negotiation of the rate, or the subrecipient submits such a 
proposal, plan, or computation to the recipient, then the 3-year 
retention period for its supporting records starts on the date of such 
submission.
    (2) If not submitted for negotiation. If the recipient is not 
required to submit

[[Page 147]]

to the cognizant Federal agency or the subrecipient is not required to 
submit to the recipient the proposal, plan, or other computation for 
negotiation purposes, then the 3-year retention period for the proposal, 
plan, or other computation and its supporting records starts at the end 
of the fiscal year (or other accounting period) covered by the proposal, 
plan, or other computation.
    (h) If the information described in this section is maintained on a 
computer, recipients shall retain the computer data on a reliable medium 
for the time periods prescribed. Recipients may transfer computer data 
in machine readable form from one reliable computer medium to another. 
Recipients' computer data retention and transfer procedures shall 
maintain the integrity, reliability, and security of the original 
computer data. Recipients shall also maintain an audit trail describing 
the data transfer. For the record retention time periods prescribed in 
this section, recipients shall not destroy, discard, delete, or write 
over such computer data.

                       Termination and Enforcement



Sec. 32.60  Purpose of termination and enforcement.

    Sections 32.61 and 32.62 set forth uniform suspension, termination 
and enforcement procedures.



Sec. 32.61  Termination.

    (a) Awards may be terminated in whole or in part only as follows:
    (1) By the grants officer, if a recipient materially fails to comply 
with the terms and conditions of an award;
    (2) By the grants officer with the consent of the recipient, in 
which case the two parties shall agree upon the termination conditions, 
including the effective date and, in the case of partial termination, 
the portion to be terminated; or
    (3) By the recipient upon sending to the grants officer written 
notification setting forth the reasons for such termination, the 
effective date, and, in the case of partial termination, the portion to 
be terminated. The recipient must provide such notice at least 30 
calendar days prior to the effective date of the termination. However, 
if the grants officer determines in the case of partial termination that 
the reduced or modified portion of the award will not accomplish the 
purposes for which the award was made, he or she may terminate the award 
in its entirety.
    (b) If costs are allowed under an award, the responsibilities of the 
recipient referred to in Sec. 32.71, including those for property 
management as applicable, shall be considered in the termination of the 
award, and provision shall be made for continuing responsibilities of 
the recipient after termination, as appropriate.



Sec. 32.62  Enforcement.

    (a) Remedies for noncompliance. If a recipient materially fails to 
comply with the terms and conditions of an award, whether stated in a 
Federal statute, regulation, assurance, application, or notice of award, 
the grants officer may, in addition to imposing any of the special 
conditions outlined in Sec. 32.14, take one or more of the following 
actions, as appropriate in the circumstances:
    (1) Temporarily withhold cash payments pending correction of the 
deficiency by the recipient or more severe enforcement action by the 
grants officer and DoD Component.
    (2) Disallow (that is, deny both use of funds and any applicable 
matching credit for) all or part of the cost of the activity or action 
not in compliance.
    (3) Wholly or partly suspend or terminate the current award.
    (4) Withhold further awards for the project or program.
    (5) Take other remedies that may be legally available.
    (b) Hearings and appeals. In taking an enforcement action, the DoD 
Component shall provide the recipient an opportunity for hearing, 
appeal, or other administrative proceeding to which the recipient is 
entitled under any statute or regulation applicable to the action 
involved. Award terms or conditions will incorporate the procedures of 
32 CFR 22.815 for processing recipient claims and disputes and for 
deciding appeals of grants officers' decisions.
    (c) Effects of suspension and termination. Costs of a recipient 
resulting

[[Page 148]]

from obligations incurred by the recipient during a suspension or after 
termination of an award are not allowable unless the grants officer 
expressly authorizes them in the notice of suspension or termination or 
subsequently. Other recipient costs during suspension or after 
termination which are necessary and not reasonably avoidable are 
allowable if the costs:
    (1) Result from obligations which were properly incurred by the 
recipient before the effective date of suspension or termination, are 
not in anticipation of it, and in the case of a termination, are 
noncancellable; and
    (2) Would be allowable if the award were not suspended or expired 
normally at the end of the funding period in which the termination takes 
effect.
    (d) Relationship to debarment and suspension. The enforcement 
remedies identified in this section, including suspension and 
termination, do not preclude a recipient from being subject to debarment 
and suspension under 2 CFR part 1125.

[63 FR 12188, Mar. 12, 1998, as amended at 72 FR 34998, June 26, 2007]



                 Subpart D_After-the-Award Requirements



Sec. 32.70  Purpose.

    Sections 32.71 through 32.73 contain closeout procedures and other 
procedures for subsequent disallowances and adjustments.



Sec. 32.71  Closeout procedures.

    (a) Recipients shall submit, within 90 calendar days after the date 
of completion of the award, all financial, performance, and other 
reports required by the terms and conditions of the award. The grants 
officer may approve extensions when requested by the recipient.
    (b) Unless the grants officer authorizes an extension, a recipient 
shall liquidate all obligations incurred under the award not later than 
90 calendar days after the funding period or the date of completion as 
specified in the terms and conditions of the award or in agency 
implementing instructions.
    (c) The responsible grants officer and payment office shall expedite 
completion of steps needed to close out awards and make prompt, final 
payments to a recipient for allowable reimbursable costs under the award 
being closed out.
    (d) The recipient shall promptly refund any balances of unobligated 
cash that the DoD Component has advanced or paid and that is not 
authorized to be retained by the recipient for use in other projects. 
OMB Circular A-129 \13\ governs unreturned amounts that become 
delinquent debts (see 32 CFR 22.820).
---------------------------------------------------------------------------

    \13\ See footnote 1 to Sec. 32.1(a).
---------------------------------------------------------------------------

    (e) When authorized by the terms and conditions of the award, the 
grants officer shall make a settlement for any upward or downward 
adjustments to the Federal share of costs after closeout reports are 
received.
    (f) The recipient shall account for any real and personal property 
acquired with Federal funds or received from the Federal Government in 
accordance with Sec. Sec. 32.31 through 32.37.
    (g) In the event a final audit has not been performed prior to the 
closeout of an award, the DoD Component shall retain the right to 
recover an appropriate amount after fully considering the 
recommendations on disallowed costs resulting from the final audit.



Sec. 32.72  Subsequent adjustments and continuing responsibilities.

    (a) The closeout of an award does not affect any of the following:
    (1) The right of the Department of Defense to disallow costs and 
recover funds on the basis of a later audit or other review.
    (2) The obligation of the recipient to return any funds due as a 
result of later refunds, corrections, or other transactions.
    (3) Audit requirements in Sec. 32.26.
    (4) Property management requirements in Sec. Sec. 32.31 through 
32.37.
    (5) Records retention as required in Sec. 32.53.
    (b) After closeout of an award, a relationship created under an 
award may be modified or ended in whole or in part with the consent of 
the grants officer and the recipient, provided the responsibilities of 
the recipient referred to in Sec. 32.73(a), including those for 
property management as applicable, are

[[Page 149]]

considered and provisions made for continuing responsibilities of the 
recipient, as appropriate.



Sec. 32.73  Collection of amounts due.

    (a) Any funds paid to a recipient in excess of the amount to which 
the recipient is finally determined to be entitled under the terms and 
conditions of the award constitute a debt to the Federal Government.
    (b) OMB Circular A-110 informs each Federal agency that:
    (1) If a debt is not paid within a reasonable period after the 
demand for payment, the Federal agency may reduce the debt by:
    (i) Making administrative offset against other requests for 
reimbursement.
    (ii) Withholding advance payments otherwise due to the recipient.
    (iii) Taking other action permitted by statute.
    (2) Except as otherwise provided by law, the Federal awarding agency 
shall charge interest on an overdue debt in accordance with 4 CFR 
Chapter II, ``Federal Claims Collection Standards.''
    (c) DoD grants officers shall follow the procedures in 32 CFR 22.820 
for issuing demands for payment and transferring debts to DoD payment 
offices for collection. Recipients will be informed about pertinent 
procedures and timeframes through the written notices of grants 
officers' decisions and demands for payment.



             Sec. Appendix A to Part 32--Contract Provisions

    All contracts awarded by a recipient, including those for amounts 
less than the simplified acquisition threshold, shall contain the 
following provisions as applicable:
    1. Equal Employment Opportunity--All contracts shall contain a 
provision requiring compliance with E.O. 11246 (3 CFR, 1964-1965 Comp., 
p. 339), ``Equal Employment Opportunity,'' as amended by E.O. 11375 (3 
CFR, 1966-1970 Comp., p. 684), ``Amending Executive Order 11246 Relating 
to Equal Employment Opportunity,'' and as supplemented by regulations at 
41 CFR ch. 60, ``Office of Federal Contract Compliance Programs, Equal 
Employment Opportunity, Department of Labor.''
    2. Copeland ``Anti-Kickback'' Act (18 U.S.C. 874 and 40 U.S.C. 
276c)--All contracts and subawards in excess of $2000 for construction 
or repair awarded by recipients and subrecipients shall include a 
provision for compliance with the Copeland ``Anti-Kickback'' Act (18 
U.S.C. 874), as supplemented by Department of Labor regulations (29 CFR 
part 3, ``Contractors and Subcontractors on Public Building or Public 
Work Financed in Whole or in Part by Loans or Grants from the United 
States''). The Act provides that each contractor or subrecipient shall 
be prohibited from inducing, by any means, any person employed in the 
construction, completion, or repair of public work, to give up any part 
of the compensation to which he is otherwise entitled. The recipient 
shall report all suspected or reported violations to the responsible DoD 
Component.
    3. Davis-Bacon Act, as amended (40 U.S.C. 276a to a-7)--This Act 
applies to procurements under awards only when the Federal program 
legislation specifically makes it apply (i.e., Davis-Bacon does not by 
itself apply to procurements under awards). In cases where another 
statute does make the Davis-Bacon Act apply, all construction contracts 
awarded by the recipients and subrecipients of more than $2,000 shall 
include a provision for compliance with the Davis-Bacon Act (40 U.S.C. 
276a to a-7) and as supplemented by Department of Labor regulations (29 
CFR part 5, ``Labor Standards Provisions Applicable to Contracts 
Governing Federally Financed and Assisted Construction''). Under this 
Act, contractors shall be required to pay wages to laborers and 
mechanics at a rate not less than the minimum wages specified in a wage 
determination made by the Secretary of Labor. In addition, contractors 
shall be required to pay wages not less than once a week. The recipient 
shall place a copy of the current prevailing wage determination issued 
by the Department of Labor in each solicitation and the award of a 
contract shall be conditioned upon the acceptance of the wage 
determination. The recipient shall report all suspected or reported 
violations to the Federal awarding agency.
    4. Contract Work Hours and Safety Standards Act (40 U.S.C. 327-
333)--Where applicable, all contracts awarded by recipients in excess of 
$100,000 for construction or other purposes that involve the employment 
of mechanics or laborers shall include a provision for compliance with 
sections 102 and 107 of the Contract Work Hours and Safety Standards Act 
(40 U.S.C. 327-333), as supplemented by Department of Labor regulations 
(29 CFR part 5). Under section 102 of the Act, each contractor shall be 
required to compute the wages of every mechanic and laborer on the basis 
of a standard work week of 40 hours. Work in excess of the standard work 
week is permissible provided that the worker is compensated at a rate of 
not less than 1\1/2\ times the basic rate of pay for all hours worked in 
excess of 40 hours in the work week. Section

[[Page 150]]

107 of the Act is applicable to construction work and provides that no 
laborer or mechanic shall be required to work in surroundings or under 
working conditions which are unsanitary, hazardous or dangerous. These 
requirements do not apply to the purchases of supplies or materials or 
articles ordinarily available on the open market, or contracts for 
transportation or transmission of intelligence.
    5. Rights to Inventions Made Under a Contract, Grant or Cooperative 
Agreement--Contracts, grants, or cooperative agreements for the 
performance of experimental, developmental, or research work shall 
provide for the rights of the Federal Government and the recipient in 
any resulting invention in accordance with 37 CFR part 401, ``Rights to 
Inventions Made by Nonprofit Organizations and Small Business Firms 
Under Government Grants, Contracts and Cooperative Agreements.''
    6. Clean Air Act (42 U.S.C. 7401 et seq.) and the Federal Water 
Pollution Control Act (33 U.S.C. 1251 et seq.), as amended--Contracts 
and subawards of amounts in excess of $100,000 shall contain a provision 
that requires the recipient to agree to comply with all applicable 
standards, orders or regulations issued pursuant to the Clean Air Act 
(42 U.S.C. 7401 et seq.) and the Federal Water Pollution Control Act as 
amended (33 U.S.C. 1251 et seq.). Violations shall be reported to the 
responsible DoD Component and the Regional Office of the Environmental 
Protection Agency (EPA).
    7. Byrd Anti-Lobbying Amendment (31 U.S.C. 1352)--Contractors who 
apply or bid for an award of $100,000 or more shall file the required 
certification. Each tier certifies to the tier above that it will not 
and has not used Federal appropriated funds to pay any person or 
organization for influencing or attempting to influence an officer or 
employee of any agency, a member of Congress, officer or employee of 
Congress, or an employee of a member of Congress in connection with 
obtaining any Federal contract, grant or any other award covered by 31 
U.S.C. 1352. Each tier shall also disclose any lobbying with non-Federal 
funds that takes place in connection with obtaining any Federal award. 
Such disclosures are forwarded from tier to tier up to the recipient.
    8. Debarment and Suspension (E.O.s 12549 and 12689)--A contract 
award with an amount expected to equal or exceed $25,000 and certain 
other contract awards (see 2 CFR 1125.220, which implements OMB guidance 
at 2 CFR 180.220) shall not be made to parties listed on the 
Governmentwide Excluded Parties List System, in accordance with the DoD 
adoption at 2 CFR part 1125 of the OMB guidance implementing E.O.s 12549 
(3 CFR, 1986 Comp., p. 189) and 12689 (3 CFR, 1989 Comp., p. 235), 
``Debarment and Suspension.'' The Excluded Parties List System 
accessible on the Internet at www.epls.gov contains the names of parties 
debarred, suspended, or otherwise excluded by agencies, as well as 
parties declared ineligible under statutory or regulatory authority 
other than E.O. 12549.

[63 FR 12188, Mar. 12, 1998, as amended at 70 FR 49477, Aug. 23, 2005; 
72 FR 34998, June 26, 2007]



PART 33_UNIFORM ADMINISTRATIVE REQUIREMENTS FOR GRANTS AND COOPERATIVE
AGREEMENTS TO STATE AND LOCAL GOVERNMENTS--Table of Contents



                            Subpart A_General

Sec.
33.1 Purpose and scope of this part.
33.2 Scope of subpart.
33.3 Definitions.
33.4 Applicability.
33.5 Effect on other issuances.
33.6 Additions and exceptions.

                    Subpart B_Pre-Award Requirements

33.10 Forms for applying for grants.
33.11 State plans.
33.12 Special grant or subgrant conditions for ``high-risk'' grantees.

                    Subpart C_Post-Award Requirements

                        Financial Administration

33.20 Standards for financial management systems.
33.21 Payment.
33.22 Allowable costs.
33.23 Period of availability of funds.
33.24 Matching or cost sharing.
33.25 Program income.
33.26 Non-Federal audit.

                    Changes, Property, and Subawards

33.30 Changes.
33.31 Real property.
33.32 Equipment.
33.33 Supplies.
33.34 Copyrights.
33.35 Subawards to debarred and suspended parties.
33.36 Procurement.
33.37 Subgrants.

               Reports, Records Retention, and Enforcement

33.40 Monitoring and reporting program performance.
33.41 Financial reporting.
33.42 Retention and access requirements for records.
33.43 Enforcement.
33.44 Termination for convenience.

[[Page 151]]

                 Subpart D_After-the-Grant Requirements

33.50 Closeout.
33.51 Later disallowances and adjustments.
33.52 Collections of amounts due.

Subpart E--Entitlements [Reserved]

    Authority: 5 U.S.C. 301; 10 U.S.C. 113.

    Source: 53 FR 8070, 8087, Mar. 11, 1988, unless otherwise noted. 
Redesignated at 57 FR 6200, Feb. 21, 1992.



                            Subpart A_General



Sec. 33.1  Purpose and scope of this part.

    This part establishes uniform administrative rules for Federal 
grants and cooperative agreements and subawards to State, local and 
Indian tribal governments.



Sec. 33.2  Scope of subpart.

    This subpart contains general rules pertaining to this part and 
procedures for control of exceptions from this part.



Sec. 33.3  Definitions.

    As used in this part:
    Accrued expenditures mean the charges incurred by the grantee during 
a given period requiring the provision of funds for:
    (1) Goods and other tangible property received;
    (2) Services performed by employees, contractors, subgrantees, 
subcontractors, and other payees; and
    (3) Other amounts becoming owed under programs for which no current 
services or performance is required, such as annuities, insurance 
claims, and other benefit payments.
    Accrued income means the sum of:
    (1) Earnings during a given period from services performed by the 
grantee and goods and other tangible property delivered to purchasers, 
and
    (2) Amounts becoming owed to the grantee for which no current 
services or performance is required by the grantee.
    Acquisition cost of an item of purchased equipment means the net 
invoice unit price of the property including the cost of modifications, 
attachments, accessories, or auxiliary apparatus necessary to make the 
property usable for the purpose for which it was acquired. Other charges 
such as the cost of installation, transportation, taxes, duty or 
protective in-transit insurance, shall be included or excluded from the 
unit acquisition cost in accordance with the grantee's regular 
accounting practices.
    Administrative requirements mean those matters common to grants in 
general, such as financial management, kinds and frequency of reports, 
and retention of records. These are distinguished from ``programmatic'' 
requirements, which concern matters that can be treated only on a 
program-by-program or grant-by-grant basis, such as kinds of activities 
that can be supported by grants under a particular program.
    Awarding agency means:
    (1) With respect to a grant, the Federal agency, and
    (2) With respect to a subgrant, the party that awarded the subgrant.
    Cash contributions means the grantee's cash outlay, including the 
outlay of money contributed to the grantee or subgrantee by other public 
agencies and institutions, and private organizations and individuals. 
When authorized by Federal legislation, Federal funds received from 
other assistance agreements may be considered as grantee or subgrantee 
cash contributions.
    Contract means (except as used in the definitions for ``grant'' and 
``subgrant'' in this section and except where qualified by ``Federal'') 
a procurement contract under a grant or subgrant, and means a 
procurement subcontract under a contract.
    Cost sharing or matching means the value of the third party in-kind 
contributions and the portion of the costs of a federally assisted 
project or program not borne by the Federal Government.
    Cost-type contract means a contract or subcontract under a grant in 
which the contractor or subcontractor is paid on the basis of the costs 
it incurs, with or without a fee.
    Equipment means tangible, nonexpendable, personal property having a 
useful life of more than one year and an acquisition cost of $5,000 or 
more per unit. A grantee may use its own definition of equipment 
provided that

[[Page 152]]

such definition would at least include all equipment defined above.
    Expenditure report means:
    (1) For nonconstruction grants, the SF-269 ``Financial Status 
Report'' (or other equivalent report);
    (2) For construction grants, the SF-271 ``Outlay Report and Request 
for Reimbursement'' (or other equivalent report).
    Federally recognized Indian tribal government means the governing 
body or a governmental agency of any Indian tribe, band, nation, or 
other organized group or community (including any Native village as 
defined in section 3 of the Alaska Native Claims Settlement Act, 85 
Stat. 688) certified by the Secretary of the Interior as eligible for 
the special programs and services provided by him through the Bureau of 
Indian Affairs.
    Government means a State or local government or a federally 
recognized Indian tribal government.
    Grant means an award of financial assistance, including cooperative 
agreements, in the form of money, or property in lieu of money, by the 
Federal Government to an eligible grantee. The term does not include 
technical assistance which provides services instead of money, or other 
assistance in the form of revenue sharing, loans, loan guarantees, 
interest subsidies, insurance, or direct appropriations. Also, the term 
does not include assistance, such as a fellowship or other lump sum 
award, which the grantee is not required to account for.
    Grantee means the government to which a grant is awarded and which 
is accountable for the use of the funds provided. The grantee is the 
entire legal entity even if only a particular component of the entity is 
designated in the grant award document.
    Local government means a county, municipality, city, town, township, 
local public authority (including any public and Indian housing agency 
under the United States Housing Act of 1937) school district, special 
district, intrastate district, council of governments (whether or not 
incorporated as a nonprofit corporation under State law), any other 
regional or interstate government entity, or any agency or 
instrumentality of a local government.
    Obligations means the amounts of orders placed, contracts and 
subgrants awarded, goods and services received, and similar transactions 
during a given period that will require payment by the grantee during 
the same or a future period.
    OMB means the United States Office of Management and Budget.
    Outlays (expenditures) mean charges made to the project or program. 
They may be reported on a cash or accrual basis. For reports prepared on 
a cash basis, outlays are the sum of actual cash disbursement for direct 
charges for goods and services, the amount of indirect expense incurred, 
the value of in-kind contributions applied, and the amount of cash 
advances and payments made to contractors and subgrantees. For reports 
prepared on an accrued expenditure basis, outlays are the sum of actual 
cash disbursements, the amount of indirect expense incurred, the value 
of inkind contributions applied, and the new increase (or decrease) in 
the amounts owed by the grantee for goods and other property received, 
for services performed by employees, contractors, subgrantees, 
subcontractors, and other payees, and other amounts becoming owed under 
programs for which no current services or performance are required, such 
as annuities, insurance claims, and other benefit payments.
    Percentage of completion method refers to a system under which 
payments are made for construction work according to the percentage of 
completion of the work, rather than to the grantee's cost incurred.
    Prior approval means documentation evidencing consent prior to 
incurring specific cost.
    Real property means land, including land improvements, structures 
and appurtenances thereto, excluding movable machinery and equipment.
    Share, when referring to the awarding agency's portion of real 
property, equipment or supplies, means the same percentage as the 
awarding agency's portion of the acquiring party's total costs under the 
grant to which the acquisition costs under the grant to which the 
acquisition cost of the property was charged. Only costs are to be 
counted--not the value of third-party in-kind contributions.

[[Page 153]]

    State means any of the several States of the United States, the 
District of Columbia, the Commonwealth of Puerto Rico, any territory or 
possession of the United States, or any agency or instrumentality of a 
State exclusive of local governments. The term does not include any 
public and Indian housing agency under United States Housing Act of 
1937.
    Subgrant means an award of financial assistance in the form of 
money, or property in lieu of money, made under a grant by a grantee to 
an eligible subgrantee. The term includes financial assistance when 
provided by contractual legal agreement, but does not include 
procurement purchases, nor does it include any form of assistance which 
is excluded from the definition of ``grant'' in this part.
    Subgrantee means the government or other legal entity to which a 
subgrant is awarded and which is accountable to the grantee for the use 
of the funds provided.
    Supplies means all tangible personal property other than 
``equipment'' as defined in this part.
    Suspension means depending on the context, either:
    (1) Temporary withdrawal of the authority to obligate grant funds 
pending corrective action by the grantee or subgrantee or a decision to 
terminate the grant, or
    (2) An action taken by a suspending official in accordance with 
agency regulations implementing E.O. 12549 to immediately exclude a 
person from participating in grant transactions for a period, pending 
completion of an investigation and such legal or debarment proceedings 
as may ensue.
    Termination means permanent withdrawal of the authority to obligate 
previously-awarded grant funds before that authority would otherwise 
expire. It also means the voluntary relinquishment of that authority by 
the grantee or subgrantee. ``Termination'' does not include:
    (1) Withdrawal of funds awarded on the basis of the grantee's 
underestimate of the unobligated balance in a prior period;
    (2) Withdrawal of the unobligated balance as of the expiration of a 
grant;
    (3) Refusal to extend a grant or award additional funds, to make a 
competing or noncompeting continuation, renewal, extension, or 
supplemental award; or
    (4) Voiding of a grant upon determination that the award was 
obtained fraudulently, or was otherwise illegal or invalid from 
inception.
    Terms of a grant or subgrant mean all requirements of the grant or 
subgrant, whether in statute, regulations, or the award document.
    Third party in-kind contributions mean property or services which 
benefit a federally assisted project or program and which are 
contributed by non-Federal third parties without charge to the grantee, 
or a cost-type contractor under the grant agreement.
    Unliquidated obligations for reports prepared on a cash basis mean 
the amount of obligations incurred by the grantee that has not been 
paid. For reports prepared on an accrued expenditure basis, they 
represent the amount of obligations incurred by the grantee for which an 
outlay has not been recorded.
    Unobligated balance means the portion of the funds authorized by the 
Federal agency that has not been obligated by the grantee and is 
determined by deducting the cumulative obligations from the cumulative 
funds authorized.



Sec. 33.4  Applicability.

    (a) General. Subparts A through D of this part apply to all grants 
and subgrants to governments, except where inconsistent with Federal 
statutes or with regulations authorized in accordance with the exception 
provision of Sec. 33.6, or:
    (1) Grants and subgrants to State and local institutions of higher 
education or State and local hospitals.
    (2) The block grants authorized by the Omnibus Budget Reconciliation 
Act of 1981 (Community Services; Preventive Health and Health Services; 
Alcohol, Drug Abuse, and Mental Health Services; Maternal and Child 
Health Services; Social Services; Low-Income Home Energy Assistance; 
States' Program of Community Development Block Grants for Small Cities; 
and Elementary and Secondary Education

[[Page 154]]

other than programs administered by the Secretary of Education under 
title V, subtitle D, chapter 2, section 583--the Secretary's 
discretionary grant program) and titles I-III of the Job Training 
Partnership Act of 1982 and under the Public Health Services Act 
(section 1921), Alcohol and Drug Abuse Treatment and Rehabilitation 
Block Grant and part C of title V, Mental Health Service for the 
Homeless Block Grant).
    (3) Entitlement grants to carry out the following programs of the 
Social Security Act:
    (i) Aid to Needy Families with Dependent Children (title IV-A of the 
Act, not including the Work Incentive Program (WIN) authorized by 
section 402(a)19(G); HHS grants for WIN are subject to this part);
    (ii) Child Support Enforcement and Establishment of Paternity (title 
IV-D of the Act);
    (iii) Foster Care and Adoption Assistance (title IV-E of the Act);
    (iv) Aid to the Aged, Blind, and Disabled (titles I, X, XIV, and 
XVI-AABD of the Act); and
    (v) Medical Assistance (Medicaid) (title XIX of the Act) not 
including the State Medicaid Fraud Control program authorized by section 
1903(a)(6)(B).
    (4) Entitlement grants under the following programs of The National 
School Lunch Act:
    (i) School Lunch (section 4 of the Act),
    (ii) Commodity Assistance (section 6 of the Act),
    (iii) Special Meal Assistance (section 11 of the Act),
    (iv) Summer Food Service for Children (section 13 of the Act), and
    (v) Child Care Food Program (section 17 of the Act).
    (5) Entitlement grants under the following programs of The Child 
Nutrition Act of 1966:
    (i) Special Milk (section 3 of the Act), and
    (ii) School Breakfast (section 4 of the Act).
    (6) Entitlement grants for State Administrative expenses under The 
Food Stamp Act of 1977 (section 16 of the Act).
    (7) A grant for an experimental, pilot, or demonstration project 
that is also supported by a grant listed in paragraph (a)(3) of this 
section;
    (8) Grant funds awarded under subsection 412(e) of the Immigration 
and Nationality Act (8 U.S.C. 1522(e)) and subsection 501(a) of the 
Refugee Education Assistance Act of 1980 (Pub. L. 96-422, 94 Stat. 
1809), for cash assistance, medical assistance, and supplemental 
security income benefits to refugees and entrants and the administrative 
costs of providing the assistance and benefits;
    (9) Grants to local education agencies under 20 U.S.C. 236 through 
241-1(a), and 242 through 244 (portions of the Impact Aid program), 
except for 20 U.S.C. 238(d)(2)(c) and 240(f) (Entitlement Increase for 
Handicapped Children); and
    (10) Payments under the Veterans Administration's State Home Per 
Diem Program (38 U.S.C. 641(a)).
    (b) Entitlement programs. Entitlement programs enumerated above in 
Sec. 33.4(a) (3) through (8) are subject to subpart E.

[53 FR 8070. 8087, Mar. 11, 1988. Redesignated and amended at 57 FR 
6199, 6200, Feb. 21, 1992]



Sec. 33.5  Effect on other issuances.

    All other grants administration provisions of codified program 
regulations, program manuals, handbooks and other nonregulatory 
materials which are inconsistent with this part are superseded, except 
to the extent they are required by statute, or authorized in accordance 
with the exception provision in Sec. 33.6.

[53 FR 8070, 8087, Mar. 11, 1988. Redesignated and amended at 57 FR 
6199, 6200, Feb. 21, 1992]



Sec. 33.6  Additions and exceptions.

    (a) For classes of grants and grantees subject to this part, Federal 
agencies may not impose additional administrative requirements except in 
codified regulations published in the Federal Register.
    (b) Exceptions for classes of grants or grantees may be authorized 
only by OMB.
    (c) Exceptions on a case-by-case basis and for subgrantees may be 
authorized by the affected Federal agencies.

[[Page 155]]



                    Subpart B_Pre-Award Requirements



Sec. 33.10  Forms for applying for grants.

    (a) Scope. (1) This section prescribes forms and instructions to be 
used by governmental organizations (except hospitals and institutions of 
higher education operated by a government) in applying for grants. This 
section is not applicable, however, to formula grant programs which do 
not require applicants to apply for funds on a project basis.
    (2) This section applies only to applications to Federal agencies 
for grants, and is not required to be applied by grantees in dealing 
with applicants for subgrants. However, grantees are encouraged to avoid 
more detailed or burdensome application requirements for subgrants.
    (b) Authorized forms and instructions for governmental 
organizations. (1) In applying for grants, applicants shall only use 
standard application forms or those prescribed by the granting agency 
with the approval of OMB under the Paperwork Reduction Act of 1980.
    (2) Applicants are not required to submit more than the original and 
two copies of preapplications or applications.
    (3) Applicants must follow all applicable instructions that bear OMB 
clearance numbers. Federal agencies may specify and describe the 
programs, functions, or activities that will be used to plan, budget, 
and evaluate the work under a grant. Other supplementary instructions 
may be issued only with the approval of OMB to the extent required under 
the Paperwork Reduction Act of 1980. For any standard form, except the 
SF-424 facesheet, Federal agencies may shade out or instruct the 
applicant to disregard any line item that is not needed.
    (4) When a grantee applies for additional funding (such as a 
continuation or supplemental award) or amends a previously submitted 
application, only the affected pages need be submitted. Previously 
submitted pages with information that is still current need not be 
resubmitted.



Sec. 33.11  State plans.

    (a) Scope. The statutes for some programs require States to submit 
plans before receiving grants. Under regulations implementing Executive 
Order 12372, ``Intergovernmental Review of Federal Programs,'' States 
are allowed to simplify, consolidate and substitute plans. This section 
contains additional provisions for plans that are subject to regulations 
implementing the Executive order.
    (b) Requirements. A State need meet only Federal administrative or 
programmatic requirements for a plan that are in statutes or codified 
regulations.
    (c) Assurances. In each plan the State will include an assurance 
that the State shall comply with all applicable Federal statutes and 
regulations in effect with respect to the periods for which it receives 
grant funding. For this assurance and other assurances required in the 
plan, the State may:
    (1) Cite by number the statutory or regulatory provisions requiring 
the assurances and affirm that it gives the assurances required by those 
provisions,
    (2) Repeat the assurance language in the statutes or regulations, or
    (3) Develop its own language to the extent permitted by law.
    (d) Amendments. A State will amend a plan whenever necessary to 
reflect: (1) New or revised Federal statutes or regulations or (2) a 
material change in any State law, organization, policy, or State agency 
operation. The State will obtain approval for the amendment and its 
effective date but need submit for approval only the amended portions of 
the plan.



Sec. 33.12  Special grant or subgrant conditions for ``high-risk''
grantees.

    (a) A grantee or subgrantee may be considered ``high risk'' if an 
awarding agency determines that a grantee or subgrantee:
    (1) Has a history of unsatisfactory performance, or
    (2) Is not financially stable, or
    (3) Has a management system which does not meet the management 
standards set forth in this part, or
    (4) Has not conformed to terms and conditions of previous awards, or

[[Page 156]]

    (5) Is otherwise not responsible; and if the awarding agency 
determines that an award will be made, special conditions and/or 
restrictions shall correspond to the high risk condition and shall be 
included in the award.
    (b) Special conditions or restrictions may include:
    (1) Payment on a reimbursement basis;
    (2) Withholding authority to proceed to the next phase until receipt 
of evidence of acceptable performance within a given funding period;
    (3) Requiring additional, more detailed financial reports;
    (4) Additional project monitoring;
    (5) Requiring the grantee or subgrantee to obtain technical or 
management assistance; or
    (6) Establishing additional prior approvals.
    (c) If an awarding agency decides to impose such conditions, the 
awarding official will notify the grantee or subgrantee as early as 
possible, in writing, of:
    (1) The nature of the special conditions/restrictions;
    (2) The reason(s) for imposing them;
    (3) The corrective actions which must be taken before they will be 
removed and the time allowed for completing the corrective actions and
    (4) The method of requesting reconsideration of the conditions/
restrictions imposed.



                    Subpart C_Post-Award Requirements

                        Financial Administration



Sec. 33.20  Standards for financial management systems.

    (a) A State must expand and account for grant funds in accordance 
with State laws and procedures for expending and accounting for its own 
funds. Fiscal control and accounting procedures of the State, as well as 
its subgrantees and cost-type contractors, must be sufficient to--
    (1) Permit preparation of reports required by this part and the 
statutes authorizing the grant, and
    (2) Permit the tracing of funds to a level of expenditures adequate 
to establish that such funds have not been used in violation of the 
restrictions and prohibitions of applicable statutes.
    (b) The financial management systems of other grantees and 
subgrantees must meet the following standards:
    (1) Financial reporting. Accurate, current, and complete disclosure 
of the financial results of financially assisted activities must be made 
in accordance with the financial reporting requirements of the grant or 
subgrant.
    (2) Accounting records. Grantees and subgrantees must maintain 
records which adequately identify the source and application of funds 
provided for financially-assisted activities. These records must contain 
information pertaining to grant or subgrant awards and authorizations, 
obligations, unobligated balances, assets, liabilities, outlays or 
expenditures, and income.
    (3) Internal control. Effective control and accountability must be 
maintained for all grant and subgrant cash, real and personal property, 
and other assets. Grantees and subgrantees must adequately safeguard all 
such property and must assure that it is used solely for authorized 
purposes.
    (4) Budget control. Actual expenditures or outlays must be compared 
with budgeted amounts for each grant or subgrant. Financial information 
must be related to performance or productivity data, including the 
development of unit cost information whenever appropriate or 
specifically required in the grant or subgrant agreement. If unit cost 
data are required, estimates based on available documentation will be 
accepted whenever possible.
    (5) Allowable cost. Applicable OMB cost principles, agency program 
regulations, and the terms of grant and subgrant agreements will be 
followed in determining the reasonableness, allowability, and 
allocability of costs.
    (6) Source documentation. Accounting records must be supported by 
such source documentation as cancelled checks, paid bills, payrolls, 
time and attendance records, contract and subgrant award documents, etc.
    (7) Cash management. Procedures for minimizing the time elapsing 
between the transfer of funds from the U.S. Treasury and disbursement by 
grantees and subgrantees must be followed

[[Page 157]]

whenever advance payment procedures are used. Grantees must establish 
reasonable procedures to ensure the receipt of reports on subgrantees' 
cash balances and cash disbursements in sufficient time to enable them 
to prepare complete and accurate cash transactions reports to the 
awarding agency. When advances are made by letter-of-credit or 
electronic transfer of funds methods, the grantee must make drawdowns as 
close as possible to the time of making disbursements. Grantees must 
monitor cash drawdowns by their subgrantees to assure that they conform 
substantially to the same standards of timing and amount as apply to 
advances to the grantees.
    (c) An awarding agency may review the adequacy of the financial 
management system of any applicant for financial assistance as part of a 
preaward review or at any time subsequent to award.



Sec. 33.21  Payment.

    (a) Scope. This section prescribes the basic standard and the 
methods under which a Federal agency will make payments to grantees, and 
grantees will make payments to subgrantees and contractors.
    (b) Basic standard. Methods and procedures for payment shall 
minimize the time elapsing between the transfer of funds and 
disbursement by the grantee or subgrantee, in accordance with Treasury 
regulations at 31 CFR part 205.
    (c) Advances. Grantees and subgrantees shall be paid in advance, 
provided they maintain or demonstrate the willingness and ability to 
maintain procedures to minimize the time elapsing between the transfer 
of the funds and their disbursement by the grantee or subgrantee.
    (d) Reimbursement. Reimbursement shall be the preferred method when 
the requirements in paragraph (c) of this section are not met. Grantees 
and subgrantees may also be paid by reimbursement for any construction 
grant. Except as otherwise specified in regulation, Federal agencies 
shall not use the percentage of completion method to pay construction 
grants. The grantee or subgrantee may use that method to pay its 
construction contractor, and if it does, the awarding agency's payments 
to the grantee or subgrantee will be based on the grantee's or 
subgrantee's actual rate of disbursement.
    (e) Working capital advances. If a grantee cannot meet the criteria 
for advance payments described in paragraph (c) of this section, and the 
Federal agency has determined that reimbursement is not feasible because 
the grantee lacks sufficient working capital, the awarding agency may 
provide cash or a working capital advance basis. Under this procedure 
the awarding agency shall advance cash to the grantee to cover its 
estimated disbursement needs for an initial period generally geared to 
the grantee's disbursing cycle. Thereafter, the awarding agency shall 
reimburse the grantee for its actual cash disbursements. The working 
capital advance method of payment shall not be used by grantees or 
subgrantees if the reason for using such method is the unwillingness or 
inability of the grantee to provide timely advances to the subgrantee to 
meet the subgrantee's actual cash disbursements.
    (f) Effect of program income, refunds, and audit recoveries on 
payment. (1) Grantees and subgrantees shall disburse repayments to and 
interest earned on a revolving fund before requesting additional cash 
payments for the same activity.
    (2) Except as provided in paragraph (f)(1) of this section, grantees 
and subgrantees shall disburse program income, rebates, refunds, 
contract settlements, audit recoveries and interest earned on such funds 
before requesting additional cash payments.
    (g) Withholding payments. (1) Unless otherwise required by Federal 
statute, awarding agencies shall not withhold payments for proper 
charges incurred by grantees or subgrantees unless--
    (i) The grantee or subgrantee has failed to comply with grant award 
conditions or
    (ii) The grantee or subgrantee is indebted to the United States.
    (2) Cash withheld for failure to comply with grant award condition, 
but without suspension of the grant, shall

[[Page 158]]

be released to the grantee upon subsequent compliance. When a grant is 
suspended, payment adjustments will be made in accordance with Sec. 
33.43(c).
    (3) A Federal agency shall not make payment to grantees for amounts 
that are withheld by grantees or subgrantees from payment to contractors 
to assure satisfactory completion of work. Payments shall be made by the 
Federal agency when the grantees or subgrantees actually disburse the 
withheld funds to the contractors or to escrow accounts established to 
assure satisfactory completion of work.
    (h) Cash depositories. (1) Consistent with the national goal of 
expanding the opportunities for minority business enterprises, grantees 
and subgrantees are encouraged to use minority banks (a bank which is 
owned at least 50 percent by minority group members). A list of minority 
owned banks can be obtained from the Minority Business Development 
Agency, Department of Commerce, Washington, DC 20230.
    (2) A grantee or subgrantee shall maintain a separate bank account 
only when required by Federal-State agreement.
    (i) Interest earned on advances. Except for interest earned on 
advances of funds exempt under the Intergovernmental Cooperation Act (31 
U.S.C. 6501 et seq.) and the Indian Self-Determination Act (23 U.S.C. 
450), grantees and subgrantees shall promptly, but at least quarterly, 
remit interest earned on advances to the Federal agency. The grantee or 
subgrantee may keep interest amounts up to $100 per year for 
administrative expenses.

[53 FR 8070, 8087, Mar. 11, 1988. Redesignated and amended at 57 FR 
6199, 6200, Feb. 21, 1992]



Sec. 33.22  Allowable costs.

    (a) Limitation on use of funds. Grant funds may be used only for:
    (1) The allowable costs of the grantees, subgrantees and cost-type 
contractors, including allowable costs in the form of payments to fixed-
price contractors; and
    (2) Reasonable fees or profit to cost-type contractors but not any 
fee or profit (or other increment above allowable costs) to the grantee 
or subgrantee.
    (b) Applicable cost principles. For each kind of organization, there 
is a set of Federal principles for determining allowable costs. 
Allowable costs will be determined in accordance with the cost 
principles applicable to the organization incurring the costs. The 
following chart lists the kinds of organizations and the applicable cost 
principles.

------------------------------------------------------------------------
           For the costs of a--                Use the principles in--
------------------------------------------------------------------------
State, local or Indian tribal government..  OMB Circular A-87.
Private nonprofit organization other than   OMB Circular A-122.
 an (1) institution of higher education,
 (2) hospital, or (3) organization named
 in OMB Circular A-122 as not subject to
 that circular.
Educational institutions..................  OMB Circular A-21.
For-profit organization other than a        48 CFR part 31. Contract
 hospital and an organization named in OBM   Cost Principles and
 Circular A-122 as not subject to that       Procedures, or uniform cost
 circular.                                   accounting standards that
                                             comply with cost principles
                                             acceptable to the Federal
                                             agency.
------------------------------------------------------------------------



Sec. 33.23  Period of availability of funds.

    (a) General. Where a funding period is specified, a grantee may 
charge to the award only costs resulting from obligations of the funding 
period unless carryover of unobligated balances is permitted, in which 
case the carryover balances may be charged for costs resulting from 
obligations of the subsequent funding period.
    (b) Liquidation of obligations. A grantee must liquidate all 
obligations incurred under the award not later than 90 days after the 
end of the funding period (or as specified in a program regulation) to 
coincide with the submission of the annual Financial Status Report (SF-
269). The Federal agency may extend this deadline at the request of the 
grantee.



Sec. 33.24  Matching or cost sharing.

    (a) Basic rule: Costs and contributions acceptable. With the 
qualifications and exceptions listed in paragraph (b) of this section, a 
matching or cost sharing requirement may be satisfied by either or both 
of the following:
    (1) Allowable costs incurred by the grantee, subgrantee or a cost-
type contractor under the assistance agreement. This includes allowable 
costs

[[Page 159]]

borne by non-Federal grants or by others cash donations from non-Federal 
third parties.
    (2) The value of third party in-kind contributions applicable to the 
period to which the cost sharing or matching requirements applies.
    (b) Qualifications and exceptions--(1) Costs borne by other Federal 
grant agreements. Except as provided by Federal statute, a cost sharing 
or matching requirement may not be met by costs borne by another Federal 
grant. This prohibition does not apply to income earned by a grantee or 
subgrantee from a contract awarded under another Federal grant.
    (2) General revenue sharing. For the purpose of this section, 
general revenue sharing funds distributed under 31 U.S.C. 6702 are not 
considered Federal grant funds.
    (3) Cost or contributions counted towards other Federal costs-
sharing requirements. Neither costs nor the values of third party in-
kind contributions may count towards satisfying a cost sharing or 
matching requirement of a grant agreement if they have been or will be 
counted towards satisfying a cost sharing or matching requirement of 
another Federal grant agreement, a Federal procurement contract, or any 
other award of Federal funds.
    (4) Costs financed by program income. Costs financed by program 
income, as defined in Sec. 33.25, shall not count towards satisfying a 
cost sharing or matching requirement unless they are expressly permitted 
in the terms of the assistance agreement. (This use of general program 
income is described in Sec. 33.25(g).)
    (5) Services or property financed by income earned by contractors. 
Contractors under a grant may earn income from the activities carried 
out under the contract in addition to the amounts earned from the party 
awarding the contract. No costs of services or property supported by 
this income may count toward satisfying a cost sharing or matching 
requirement unless other provisions of the grant agreement expressly 
permit this kind of income to be used to meet the requirement.
    (6) Records. Costs and third party in-kind contributions counting 
towards satisfying a cost sharing or matching requirement must be 
verifiable from the records of grantees and subgrantee or cost-type 
contractors. These records must show how the value placed on third party 
in-kind contributions was derived. To the extent feasible, volunteer 
services will be supported by the same methods that the organization 
uses to support the allocability of regular personnel costs.
    (7) Special standards for third party in-kind contributions. (i) 
Third party in-kind contributions count towards satisfying a cost 
sharing or matching requirement only where, if the party receiving the 
contributions were to pay for them, the payments would be allowable 
costs.
    (ii) Some third party in-kind contributions are goods and services 
that, if the grantee, subgrantee, or contractor receiving the 
contribution had to pay for them, the payments would have been an 
indirect costs. Costs sharing or matching credit for such contributions 
shall be given only if the grantee, subgrantee, or contractor has 
established, along with its regular indirect cost rate, a special rate 
for allocating to individual projects or programs the value of the 
contributions.
    (iii) A third party in-kind contribution to a fixed-price contract 
may count towards satisfying a cost sharing or matching requirement only 
if it results in:
    (A) An increase in the services or property provided under the 
contract (without additional cost to the grantee or subgrantee) or
    (B) A cost savings to the grantee or subgrantee.
    (iv) The values placed on third party in-kind contributions for cost 
sharing or matching purposes will conform to the rules in the succeeding 
sections of this part. If a third party in-kind contribution is a type 
not treated in those sections, the value placed upon it shall be fair 
and reasonable.
    (c) Valuation of donated services--(1) Volunteer services. Unpaid 
services provided to a grantee or subgrantee by individuals will be 
valued at rates consistent with those ordinarily paid for similar work 
in the grantee's or subgrantee's organization. If the grantee or 
subgrantee does not have employees performing similar work, the rates 
will

[[Page 160]]

be consistent with those ordinarily paid by other employers for similar 
work in the same labor market. In either case, a reasonable amount for 
fringe benefits may be included in the valuation.
    (2) Employees of other organizations. When an employer other than a 
grantee, subgrantee, or cost-type contractor furnishes free of charge 
the services of an employee in the employee's normal line of work, the 
services will be valued at the employee's regular rate of pay exclusive 
of the employee's fringe benefits and overhead costs. If the services 
are in a different line of work, paragraph (c)(1) of this section 
applies.
    (d) Valuation of third party donated supplies and loaned equipment 
or space. (1) If a third party donates supplies, the contribution will 
be valued at the market value of the supplies at the time of donation.
    (2) If a third party donates the use of equipment or space in a 
building but retains title, the contribution will be valued at the fair 
rental rate of the equipment or space.
    (e) Valuation of third party donated equipment, buildings, and land. 
If a third party donates equipment, buildings, or land, and title passes 
to a grantee or subgrantee, the treatment of the donated property will 
depend upon the purpose of the grant or subgrant, as follows:
    (1) Awards for capital expenditures. If the purpose of the grant or 
subgrant is to assist the grantee or subgrantee in the acquisition of 
property, the market value of that property at the time of donation may 
be counted as cost sharing or matching,
    (2) Other awards. If assisting in the acquisition of property is not 
the purpose of the grant or subgrant, paragraphs (e)(2) (i) and (ii) of 
this section apply:
    (i) If approval is obtained from the awarding agency, the market 
value at the time of donation of the donated equipment or buildings and 
the fair rental rate of the donated land may be counted as cost sharing 
or matching. In the case of a subgrant, the terms of the grant agreement 
may require that the approval be obtained from the Federal agency as 
well as the grantee. In all cases, the approval may be given only if a 
purchase of the equipment or rental of the land would be approved as an 
allowable direct cost. If any part of the donated property was acquired 
with Federal funds, only the non-Federal share of the property may be 
counted as cost-sharing or matching.
    (ii) If approval is not obtained under paragraph (e)(2)(i) of this 
section, no amount may be counted for donated land, and only 
depreciation or use allowances may be counted for donated equipment and 
buildings. The depreciation or use allowances for this property are not 
treated as third party in-kind contributions. Instead, they are treated 
as costs incurred by the grantee or subgrantee. They are computed and 
allocated (usually as indirect costs) in accordance with the cost 
principles specified in Sec. 33.22, in the same way as depreciation or 
use allowances for purchased equipment and buildings. The amount of 
depreciation or use allowances for donated equipment and buildings is 
based on the property's market value at the time it was donated.
    (f) Valuation of grantee or subgrantee donated real property for 
construction/acquisition. If a grantee or subgrantee donates real 
property for a construction or facilities acquisition project, the 
current market value of that property may be counted as cost sharing or 
matching. If any part of the donated property was acquired with Federal 
funds, only the non-Federal share of the property may be counted as cost 
sharing or matching.
    (g) Appraisal of real property. In some cases under paragraphs (d), 
(e) and (f) of this section, it will be necessary to establish the 
market value of land or a building or the fair rental rate of land or of 
space in a building. In these cases, the Federal agency may require the 
market value or fair rental value be set by an independent appraiser, 
and that the value or rate be certified by the grantee. This requirement 
will also be imposed by the grantee on subgrantees.

[53 FR 8070, 8087, Mar. 11, 1988. Redesignated and amended at 57 FR 
6199, 6200, Feb. 21, 1992]



Sec. 33.25  Program income.

    (a) General. Grantees are encouraged to earn income to defray 
program costs. Program income includes income from fees for services 
performed, from

[[Page 161]]

the use or rental of real or personal property acquired with grant 
funds, from the sale of commodities or items fabricated under a grant 
agreement, and from payments of principal and interest on loans made 
with grant funds. Except as otherwise provided in regulations of the 
Federal agency, program income does not include interest on grant funds, 
rebates, credits, discounts, refunds, etc. and interest earned on any of 
them.
    (b) Definition of program income. Program income means gross income 
received by the grantee or subgrantee directly generated by a grant 
supported activity, or earned only as a result of the grant agreement 
during the grant period. ``During the grant period'' is the time between 
the effective date of the award and the ending date of the award 
reflected in the final financial report.
    (c) Cost of generating program income. If authorized by Federal 
regulations or the grant agreement, costs incident to the generation of 
program income may be deducted from gross income to determine program 
income.
    (d) Governmental revenues. Taxes, special assessments, levies, 
fines, and other such revenues raised by a grantee or subgrantee are not 
program income unless the revenues are specifically identified in the 
grant agreement or Federal agency regulations as program income.
    (e) Royalties. Income from royalties and license fees for 
copyrighted material, patents, and inventions developed by a grantee or 
subgrantee is program income only if the revenues are specifically 
identified in the grant agreement or Federal agency regulations as 
program income. (See Sec. 33.34.)
    (f) Property. Proceeds from the sale of real property or equipment 
will be handled in accordance with the requirements of Sec. Sec. 33.31 
and 33.32.
    (g) Use of program income. Program income shall be deducted from 
outlays which may be both Federal and non-Federal as described below, 
unless the Federal agency regulations or the grant agreement specify 
another alternative (or a combination of the alternatives). In 
specifying alternatives, the Federal agency may distinguish between 
income earned by the grantee and income earned by subgrantees and 
between the sources, kinds, or amounts of income. When Federal agencies 
authorize the alternatives in paragraphs (g) (2) and (3) of this 
section, program income in excess of any limits stipulated shall also be 
deducted from outlays.
    (1) Deduction. Ordinarily program income shall be deducted from 
total allowable costs to determine the net allowable costs. Program 
income shall be used for current costs unless the Federal agency 
authorizes otherwise. Program income which the grantee did not 
anticipate at the time of the award shall be used to reduce the Federal 
agency and grantee contributions rather than to increase the funds 
committed to the project.
    (2) Addition. When authorized, program income may be added to the 
funds committed to the grant agreement by the Federal agency and the 
grantee. The program income shall be used for the purposes and under the 
conditions of the grant agreement.
    (3) Cost sharing or matching. When authorized, program income may be 
used to meet the cost sharing or matching requirement of the grant 
agreement. The amount of the Federal grant award remains the same.
    (h) Income after the award period. There are no Federal requirements 
governing the disposition of program income earned after the end of the 
award period (i.e., until the ending date of the final financial report, 
see paragraph (a) of this section), unless the terms of the agreement or 
the Federal agency regulations provide otherwise.

[53 FR 8070, 8087, Mar. 11, 1988. Redesignated and amended at 57 FR 
6199, 6200, Feb. 21, 1992]



Sec. 33.26  Non-Federal audit.

    (a) Basic rule. Grantees and subgrantees are responsible for 
obtaining audits in accordance with the Single Audit Act Amendments of 
1996 (31 U.S.C. 7501-7507) and revised OMB Circular A-133, ``Audits of 
States, Local Governments, and Non-Profit Organizations.'' The audits 
shall be made by an independent auditor in accordance with generally 
accepted government auditing standards covering financial audits.

[[Page 162]]

    (b) Subgrantees. State or local governments, as those terms are 
defined for purposes of the Single Audit Act Amendments of 1996, that 
provide Federal awards to a subgrantee, which expends $500,000 or more 
(or other amount as specified by OMB) in Federal awards in a fiscal 
year, shall:
    (1) Determine whether State or local subgrantees have met the audit 
requirements of the Act and whether subgrantees covered by OMB Circular 
A-110, ``Uniform Administrative Requirements for Grants and Agreements 
with Institutions of Higher Education, Hospitals, and Other Non-Profit 
Organizations,'' have met the audit requirements of the Act. Commercial 
contractors (private for-profit and private and governmental 
organizations) providing goods and services to State and local 
governments are not required to have a single audit performed. State and 
local governments should use their own procedures to ensure that the 
contractor has complied with laws and regulations affecting the 
expenditure of Federal funds;
    (2) Determine whether the subgrantee spent Federal assistance funds 
provided in accordance with applicable laws and regulations. This may be 
accomplished by reviewing an audit of the subgrantee made in accordance 
with the Act, Circular A-110, or through other means (e.g., program 
reviews) if the subgrantee has not had such an audit;
    (3) Ensure that appropriate corrective action is taken within six 
months after receipt of the audit report in instance of noncompliance 
with Federal laws and regulations;
    (4) Consider whether subgrantee audits necessitate adjustment of the 
grantee's own records; and
    (5) Require each subgrantee to permit independent auditors to have 
access to the records and financial statements.
    (c) Auditor selection. In arranging for audit services, Sec. 33.36 
shall be followed.

[53 FR 8070, 8087, Mar. 11, 1988. Redesignated and amended at 57 FR 
6199, 6200, Feb. 21, 1992; 62 FR 45939, 45943, Aug. 29, 1997; 70 FR 
49477, Aug. 23, 2005]

                    Changes, Property, and Subawards



Sec. 33.30  Changes.

    (a) General. Grantees and subgrantees are permitted to rebudget 
within the approved direct cost budget to meet unanticipated 
requirements and may make limited program changes to the approved 
project. However, unless waived by the awarding agency, certain types of 
post-award changes in budgets and projects shall require the prior 
written approval of the awarding agency.
    (b) Relation to cost principles. The applicable cost principles (see 
Sec. 33.22) contain requirements for prior approval of certain types of 
costs. Except where waived, those requirements apply to all grants and 
subgrants even if paragraphs (c) through (f) of this section do not.
    (c) Budget changes--(1) Nonconstruction projects. Except as stated 
in other regulations or an award document, grantees or subgrantees shall 
obtain the prior approval of the awarding agency whenever any of the 
following changes is anticipated under a nonconstruction award:
    (i) Any revision which would result in the need for additional 
funding.
    (ii) Unless waived by the awarding agency, cumulative transfers 
among direct cost categories, or, if applicable, among separately 
budgeted programs, projects, functions, or activities which exceed or 
are expected to exceed ten percent of the current total approved budget, 
whenever the awarding agency's share exceeds $100,000.
    (iii) Transfer of funds allotted for training allowances (i.e., from 
direct payments to trainees to other expense categories).
    (2) Construction projects. Grantees and subgrantees shall obtain 
prior written approval for any budget revision which would result in the 
need for additional funds.
    (3) Combined construction and nonconstruction projects. When a grant 
or subgrant provides funding for both construction and nonconstruction 
activities, the grantee or subgrantee must obtain prior written approval 
from the awarding agency before making any

[[Page 163]]

fund or budget transfer from nonconstruction to construction or vice 
versa.
    (d) Programmatic changes. Grantees or subgrantees must obtain the 
prior approval of the awarding agency whenever any of the following 
actions is anticipated:
    (1) Any revision of the scope or objectives of the project 
(regardless of whether there is an associated budget revision requiring 
prior approval).
    (2) Need to extend the period of availability of funds.
    (3) Changes in key persons in cases where specified in an 
application or a grant award. In research projects, a change in the 
project director or principal investigator shall always require approval 
unless waived by the awarding agency.
    (4) Under nonconstruction projects, contracting out, subgranting (if 
authorized by law) or otherwise obtaining the services of a third party 
to perform activities which are central to the purposes of the award. 
This approval requirement is in addition to the approval requirements of 
Sec. 33.36 but does not apply to the procurement of equipment, 
supplies, and general support services.
    (e) Additional prior approval requirements. The awarding agency may 
not require prior approval for any budget revision which is not 
described in paragraph (c) of this section.
    (f) Requesting prior approval. (1) A request for prior approval of 
any budget revision will be in the same budget formal the grantee used 
in its application and shall be accompanied by a narrative justification 
for the proposed revision.
    (2) A request for a prior approval under the applicable Federal cost 
principles (see Sec. 33.22) may be made by letter.
    (3) A request by a subgrantee for prior approval will be addressed 
in writing to the grantee. The grantee will promptly review such request 
and shall approve or disapprove the request in writing. A grantee will 
not approve any budget or project revision which is inconsistent with 
the purpose or terms and conditions of the Federal grant to the grantee. 
If the revision, requested by the subgrantee would result in a change to 
the grantee's approved project which requires Federal prior approval, 
the grantee will obtain the Federal agency's approval before approving 
the subgrantee's request.

[53 FR 8070, 8087, Mar. 11, 1988. Redesignated and amended at 57 FR 
6199, 6200, Feb. 21, 1992]



Sec. 33.31  Real property.

    (a) Title. Subject to the obligations and conditions set forth in 
this section, title to real property acquired under a grant or subgrant 
will vest upon acquisition in the grantee or subgrantee respectively.
    (b) Use. Except as otherwise provided by Federal statutes, real 
property will be used for the originally authorized purposes as long as 
needed for that purposes, and the grantee or subgrantee shall not 
dispose of or encumber its title or other interests.
    (c) Disposition. When real property is no longer needed for the 
originally authorized purpose, the grantee or subgrantee will request 
disposition instructions from the awarding agency. The instructions will 
provide for one of the following alternatives:
    (1) Retention of title. Retain title after compensating the awarding 
agency. The amount paid to the awarding agency will be computed by 
applying the awarding agency's percentage of participation in the cost 
of the original purchase to the fair market value of the property. 
However, in those situations where a grantee or subgrantee is disposing 
of real property acquired with grant funds and acquiring replacement 
real property under the same program, the net proceeds from the 
disposition may be used as an offset to the cost of the replacement 
property.
    (2) Sale of property. Sell the property and compensate the awarding 
agency. The amount due to the awarding agency will be calculated by 
applying the awarding agency's percentage of participation in the cost 
of the original purchase to the proceeds of the sale after deduction of 
any actual and reasonable selling and fixing-up expenses. If the grant 
is still active, the net proceeds from sale may be offset against the 
original cost of the property. When a grantee or subgrantee is directed 
to sell property, sales procedures shall be followed that provide for 
competition

[[Page 164]]

to the extent practicable and result in the highest possible return.
    (3) Transfer of title. Transfer title to the awarding agency or to a 
third-party designated/approved by the awarding agency. The grantee or 
subgrantee shall be paid an amount calculated by applying the grantee or 
subgrantee's percentage of participation in the purchase of the real 
property to the current fair market value of the property.



Sec. 33.32  Equipment.

    (a) Title. Subject to the obligations and conditions set forth in 
this section, title to equipment acquired under a grant or subgrant will 
vest upon acquisition in the grantee or subgrantee respectively.
    (b) States. A State will use, manage, and dispose of equipment 
acquired under a grant by the State in accordance with State laws and 
procedures. Other grantees and subgrantees will follow paragraphs (c) 
through (e) of this section.
    (c) Use. (1) Equipment shall be used by the grantee or subgrantee in 
the program or project for which it was acquired as long as needed, 
whether or not the project or program continues to be supported by 
Federal funds. When no longer needed for the original program or 
project, the equipment may be used in other activities currently or 
previously supported by a Federal agency.
    (2) The grantee or subgrantee shall also make equipment available 
for use on other projects or programs currently or previously supported 
by the Federal Government, providing such use will not interfere with 
the work on the projects or program for which it was originally 
acquired. First preference for other use shall be given to other 
programs or projects supported by the awarding agency. User fees should 
be considered if appropriate.
    (3) Notwithstanding the encouragement in Sec. 33.25(a) to earn 
program income, the grantee or subgrantee must not use equipment 
acquired with grant funds to provide services for a fee to compete 
unfairly with private companies that provide equivalent services, unless 
specifically permitted or contemplated by Federal statute.
    (4) When acquiring replacement equipment, the grantee or subgrantee 
may use the equipment to be replaced as a trade-in or sell the property 
and use the proceeds to offset the cost of the replacement property, 
subject to the approval of the awarding agency.
    (d) Management requirements. Procedures for managing equipment 
(including replacement equipment), whether acquired in whole or in part 
with grant funds, until disposition takes place will, as a minimum, meet 
the following requirements:
    (1) Property records must be maintained that include a description 
of the property, a serial number or other identification number, the 
source of property, who holds title, the acquisition date, and cost of 
the property, percentage of Federal participation in the cost of the 
property, the location, use and condition of the property, and any 
ultimate disposition data including the date of disposal and sale price 
of the property.
    (2) A physical inventory of the property must be taken and the 
results reconciled with the property records at least once every two 
years.
    (3) A control system must be developed to ensure adequate safeguards 
to prevent loss, damage, or theft of the property. Any loss, damage, or 
theft shall be investigated.
    (4) Adequate maintenance procedures must be developed to keep the 
property in good condition.
    (5) If the grantee or subgrantee is authorized or required to sell 
the property, proper sales procedures must be established to ensure the 
highest possible return.
    (e) Disposition. When original or replacement equipment acquired 
under a grant or subgrant is no longer needed for the original project 
or program or for other activities currently or previously supported by 
a Federal agency, disposition of the equipment will be made as follows:
    (1) Items of equipment with a current per-unit fair market value of 
less than $5,000 may be retained, sold or otherwise disposed of with no 
further obligation to the awarding agency.
    (2) Items of equipment with a current per unit fair market value in 
excess of $5,000 may be retained or sold and the

[[Page 165]]

awarding agency shall have a right to an amount calculated by 
multiplying the current market value or proceeds from sale by the 
awarding agency's share of the equipment.
    (3) In cases where a grantee or subgrantee fails to take appropriate 
disposition actions, the awarding agency may direct the grantee or 
subgrantee to take excess and disposition actions.
    (f) Federal equipment. In the event a grantee or subgrantee is 
provided federally-owned equipment:
    (1) Title will remain vested in the Federal Government.
    (2) Grantees or subgrantees will manage the equipment in accordance 
with Federal agency rules and procedures, and submit an annual inventory 
listing.
    (3) When the equipment is no longer needed, the grantee or 
subgrantee will request disposition instructions from the Federal 
agency.
    (g) Right to transfer title. The Federal awarding agency may reserve 
the right to transfer title to the Federal Government or a third part 
named by the awarding agency when such a third party is otherwise 
eligible under existing statutes. Such transfers shall be subject to the 
following standards:
    (1) The property shall be identified in the grant or otherwise made 
known to the grantee in writing.
    (2) The Federal awarding agency shall issue disposition instruction 
within 120 calendar days after the end of the Federal support of the 
project for which it was acquired. If the Federal awarding agency fails 
to issue disposition instructions within the 120 calendar-day period the 
grantee shall follow Sec. 33.32(e).
    (3) When title to equipment is transferred, the grantee shall be 
paid an amount calculated by applying the percentage of participation in 
the purchase to the current fair market value of the property.

[53 FR 8070, 8087, Mar. 11, 1988. Redesignated and amended at 57 FR 
6199, 6201, Feb. 21, 1992]



Sec. 33.33  Supplies.

    (a) Title. Title to supplies acquired under a grant or subgrant will 
vest, upon acquisition, in the grantee or subgrantee respectively.
    (b) Disposition. If there is a residual inventory of unused supplies 
exceeding $5,000 in total aggregate fair market value upon termination 
or completion of the award, and if the supplies are not needed for any 
other federally sponsored programs or projects, the grantee or 
subgrantee shall compensate the awarding agency for its share.



Sec. 33.34  Copyrights.

    The Federal awarding agency reserves a royalty-free, nonexclusive, 
and irrevocable license to reproduce, publish or otherwise use, and to 
authorize others to use, for Federal Government purposes:
    (a) The copyright in any work developed under a grant, subgrant, or 
contract under a grant or subgrant; and
    (b) Any rights of copyright to which a grantee, subgrantee or a 
contractor purchases ownership with grant support.



Sec. 33.35  Subawards to debarred and suspended parties.

    Grantees and subgrantees must comply with the requirements of OMB 
guidance in Subpart C, 2 CFR part 180, as implemented by the Department 
of Defense in 2 CFR part 1125. Those requirements include restrictions 
on entering into a covered transaction with any party which is debarred 
or suspended or is otherwise excluded from or ineligible for 
participation in Federal assistance programs under Executive Order 
12549, ``Debarment and Suspension.''

[53 FR 8070, 8087, Mar. 11, 1988, as amended at 70 FR 49477, Aug. 23, 
2005; 72 FR 34998, June 26, 2007]



Sec. 33.36  Procurement.

    (a) States. When procuring property and services under a grant, a 
State will follow the same policies and procedures it uses for 
procurements from its non-Federal funds. The State will ensure that 
every purchase order or other contract includes any clauses required by 
Federal statutes and executive orders and their implementing 
regulations. Other grantees and subgrantees will follow paragraphs (b) 
through (i) in this section.

[[Page 166]]

    (b) Procurement standards. (1) Grantees and subgrantees will use 
their own procurement procedures which reflect applicable State and 
local laws and regulations, provided that the procurements conform to 
applicable Federal law and the standards identified in this section.
    (2) Grantees and subgrantees will maintain a contract administration 
system which ensures that contractors perform in accordance with the 
terms, conditions, and specifications of their contracts or purchase 
orders.
    (3) Grantees and subgrantees will maintain a written code of 
standards of conduct governing the performance of their employees 
engaged in the award and administration of contracts. No employee, 
officer or agent of the grantee or subgrantee shall participate in 
selection, or in the award or administration of a contract supported by 
Federal funds if a conflict of interest, real or apparent, would be 
involved. Such a conflict would arise when:
    (i) The employee, officer or agent,
    (ii) Any member of his immediate family,
    (iii) His or her partner, or
    (iv) An organization which employs, or is about to employ, any of 
the above, has a financial or other interest in the firm selected for 
award. The grantee's or subgrantee's officers, employees or agents will 
neither solicit nor accept gratuities, favors or anything of monetary 
value from contractors, potential contractors, or parties to 
subagreements. Grantee and subgrantees may set minimum rules where the 
financial interest is not substantial or the gift is an unsolicited item 
of nominal intrinsic value. To the extent permitted by State or local 
law or regulations, such standards or conduct will provide for 
penalties, sanctions, or other disciplinary actions for violations of 
such standards by the grantee's and subgrantee's officers, employees, or 
agents, or by contractors or their agents. The awarding agency may in 
regulation provide additional prohibitions relative to real, apparent, 
or potential conflicts of interest.
    (4) Grantee and subgrantee procedures will provide for a review of 
proposed procurements to avoid purchase of unnecessary or duplicative 
items. Consideration should be given to consolidating or breaking out 
procurements to obtain a more economical purchase. Where appropriate, an 
analysis will be made of lease versus purchase alternatives, and any 
other appropriate analysis to determine the most economical approach.
    (5) To foster greater economy and efficiency, grantees and 
subgrantees are encouraged to enter into State and local 
intergovernmental agreements for procurement or use of common goods and 
services.
    (6) Grantees and subgrantees are encouraged to use Federal excess 
and surplus property in lieu of purchasing new equipment and property 
whenever such use is feasible and reduces project costs.
    (7) Grantees and subgrantees are encouraged to use value engineering 
clauses in contracts for construction projects of sufficient size to 
offer reasonable opportunities for cost reductions. Value engineering is 
a systematic and creative anaylsis of each contract item or task to 
ensure that its essential function is provided at the overall lower 
cost.
    (8) Grantees and subgrantees will make awards only to responsible 
contractors possessing the ability to perform successfully under the 
terms and conditions of a proposed procurement. Consideration will be 
given to such matters as contractor integrity, compliance with public 
policy, record of past performance, and financial and technical 
resources.
    (9) Grantees and subgrantees will maintain records sufficient to 
detail the significant history of a procurement. These records will 
include, but are not necessarily limited to the following: rationale for 
the method of procurement, selection of contract type, contractor 
selection or rejection, and the basis for the contract price.
    (10) Grantees and subgrantees will use time and material type 
contracts only--
    (i) After a determination that no other contract is suitable, and
    (ii) If the contract includes a ceiling price that the contractor 
exceeds at its own risk.
    (11) Grantees and subgrantees alone will be responsible, in 
accordance with

[[Page 167]]

good administrative practice and sound business judgment, for the 
settlement of all contractual and administrative issues arising out of 
procurements. These issues include, but are not limited to source 
evaluation, protests, disputes, and claims. These standards do not 
relieve the grantee or subgrantee of any contractual responsibilities 
under its contracts. Federal agencies will not substitute their judgment 
for that of the grantee or subgrantee unless the matter is primarily a 
Federal concern. Violations of law will be referred to the local, State, 
or Federal authority having proper jurisdiction.
    (12) Grantees and subgrantees will have protest procedures to handle 
and resolve disputes relating to their procurements and shall in all 
instances disclose information regarding the protest to the awarding 
agency. A protestor must exhaust all administrative remedies with the 
grantee and subgrantee before pursuing a protest with the Federal 
agency. Reviews of protests by the Federal agency will be limited to:
    (i) Violations of Federal law or regulations and the standards of 
this section (violations of State or local law will be under the 
jurisdiction of State or local authorities) and
    (ii) Violations of the grantee's or subgrantee's protest procedures 
for failure to review a complaint or protest. Protests received by the 
Federal agency other than those specified above will be referred to the 
grantee or subgrantee.
    (c) Competition. (1) All procurement transactions will be conducted 
in a manner providing full and open competition consistent with the 
standards of Sec. 33.36. Some of the situations considered to be 
restrictive of competition include but are not limited to:
    (i) Placing unreasonable requirements on firms in order for them to 
qualify to do business,
    (ii) Requiring unnecessary experience and excessive bonding,
    (iii) Noncompetitive pricing practices between firms or between 
affiliated companies,
    (iv) Noncompetitive awards to consultants that are on retainer 
contracts,
    (v) Organizational conflicts of interest,
    (vi) Specifying only a ``brand name'' product instead of allowing 
``an equal'' product to be offered and describing the performance of 
other relevant requirements of the procurement, and
    (vii) Any arbitrary action in the procurement process.
    (2) Grantees and subgrantees will conduct procurements in a manner 
that prohibits the use of statutorily or administratively imposed in-
State or local geographical preferences in the evaluation of bids or 
proposals, except in those cases where applicable Federal statutes 
expressly mandate or encourage geographic preference. Nothing in this 
section preempts State licensing laws. When contracting for 
architectural and engineering (A/E) services, geographic location may be 
a selection criteria provided its application leaves an appropriate 
number of qualified firms, given the nature and size of the project, to 
compete for the contract.
    (3) Grantees will have written selection procedures for procurement 
transactions. These procedures will ensure that all solicitations:
    (i) Incorporate a clear and accurate description of the technical 
requirements for the material, product, or service to be procured. Such 
description shall not, in competitive procurements, contain features 
which unduly restrict competition. The description may include a 
statement of the qualitative nature of the material, product or service 
to be procured, and when necessary, shall set forth those minimum 
essential characteristics and standards to which it must conform if it 
is to satisfy its intended use. Detailed product specifications should 
be avoided if at all possible. When it is impractical or uneconomical to 
make a clear and accurate description of the technical requirements, a 
``brand name or equal'' description may be used as a means to define the 
performance or other salient requirements of a procurement. The specific 
features of the named brand which must be met by offerors shall be 
clearly stated; and
    (ii) Identify all requirements which the offerors must fulfill and 
all other factors to be used in evaluating bids or proposals.

[[Page 168]]

    (4) Grantees and subgrantees will ensure that all prequalified lists 
of persons, firms, or products which are used in acquiring goods and 
services are current and include enough qualified sources to ensure 
maximum open and free competition. Also, grantees and subgrantees will 
not preclude potential bidders from qualifying during the solicitation 
period.
    (d) Methods of procurement to be followed--(1) Procurement by small 
purchase procedures. Small purchase procedures are those relatively 
simple and informal procurement methods for securing services, supplies, 
or other property that do not cost more than the simplified acquisition 
threshold fixed at 41 U.S.C. 403(11) (currently set at $100,000). If 
small purchase procedures are used, price or rate quotations shall be 
obtained from an adequate number of qualified sources.
    (2) Procurement by sealed bids (formal advertising). Bids are 
publicly solicited and a firm-fixed-price contract (lump sum or unit 
price) is awarded to the responsible bidder whose bid, conforming with 
all the material terms and conditions of the invitation for bids, is the 
lowest in price. The sealed bid method is the preferred method for 
procuring construction, if the conditions in Sec. 33.36(d)(2)(i) apply.
    (i) In order for sealed bidding to be feasible, the following 
conditions should be present:
    (A) A complete, adequate, and realistic specification or purchase 
description is available;
    (B) Two or more responsible bidders are willing and able to compete 
effectively and for the business; and
    (C) The procurement lends itself to a firm fixed price contract and 
the selection of the successful bidder can be made principally on the 
basis of price.
    (ii) If sealed bids are used, the following requirements apply:
    (A) The invitation for bids will be publicly advertised and bids 
shall be solicited from an adequate number of known suppliers, providing 
them sufficient time prior to the date set for opening the bids;
    (B) The invitation for bids, which will include any specifications 
and pertinent attachments, shall define the items or services in order 
for the bidder to properly respond;
    (C) All bids will be publicly opened at the time and place 
prescribed in the invitation for bids;
    (D) A firm fixed-price contract award will be made in writing to the 
lowest responsive and responsible bidder. Where specified in bidding 
documents, factors such as discounts, transportation cost, and life 
cycle costs shall be considered in determining which bid is lowest. 
Payment discounts will only be used to determine the low bid when prior 
experience indicates that such discounts are usually taken advantage of; 
and
    (E) Any or all bids may be rejected if there is a sound documented 
reason.
    (3) Procurement by competitive proposals. The technique of 
competitive proposals is normally conducted with more than one source 
submitting an offer, and either a fixed-price or cost-reimbursement type 
contract is awarded. It is generally used when conditions are not 
appropriate for the use of sealed bids. If this method is used, the 
following requirements apply:
    (i) Requests for proposals will be publicized and identify all 
evaluation factors and their relative importance. Any response to 
publicized requests for proposals shall be honored to the maximum extent 
practical;
    (ii) Proposals will be solicited from an adequate number of 
qualified sources;
    (iii) Grantees and subgrantees will have a method for conducting 
technical evaluations of the proposals received and for selecting 
awardees;
    (iv) Awards will be made to the responsible firm whose proposal is 
most advantageous to the program, with price and other factors 
considered; and
    (v) Grantees and subgrantees may use competitive proposal procedures 
for qualifications-based procurement of architectural/engineering (A/E) 
professional services whereby competitors' qualifications are evaluated 
and the most qualified competitor is selected, subject to negotiation of 
fair and reasonable compensation. The method, where price is not used as 
a selection factor, can only be used in procurement of A/E professional 
services. It cannot be used to purchase other types

[[Page 169]]

of services though A/E firms are a potential source to perform the 
proposed effort.
    (4) Procurement by noncompetitive proposals is procurement through 
solicitation of a proposal from only one source, or after solicitation 
of a number of sources, competition is determined inadequate.
    (i) Procurement by noncompetitive proposals may be used only when 
the award of a contract is infeasible under small purchase procedures, 
sealed bids or competitive proposals and one of the following 
circumstances applies:
    (A) The item is available only from a single source;
    (B) The public exigency or emergency for the requirement will not 
permit a delay resulting from competitive solicitation;
    (C) The awarding agency authorizes noncompetitive proposals; or
    (D) After solicitation of a number of sources, competition is 
determined inadequate.
    (ii) Cost analysis, i.e., verifying the proposed cost data, the 
projections of the data, and the evaluation of the specific elements of 
costs and profits, is required.
    (iii) Grantees and subgrantees may be required to submit the 
proposed procurement to the awarding agency for pre-award review in 
accordance with paragraph (g) of this section.
    (e) Contracting with small and minority firms, women's business 
enterprise and labor surplus area firms. (1) The grantee and subgrantee 
will take all necessary affirmative steps to assure that minority firms, 
women's business enterprises, and labor surplus area firms are used when 
possible.
    (2) Affirmative steps shall include:
    (i) Placing qualified small and minority businesses and women's 
business enterprises on solicitation lists;
    (ii) Assuring that small and minority businesses, and women's 
business enterprises are solicited whenever they are potential sources;
    (iii) Dividing total requirements, when economically feasible, into 
smaller tasks or quantities to permit maximum participation by small and 
minority business, and women's business enterprises;
    (iv) Establishing delivery schedules, where the requirement permits, 
which encourage participation by small and minority business, and 
women's business enterprises;
    (v) Using the services and assistance of the Small Business 
Administration, and the Minority Business Development Agency of the 
Department of Commerce; and
    (vi) Requiring the prime contractor, if subcontracts are to be let, 
to take the affirmative steps listed in paragraphs (e)(2) (i) through 
(v) of this section.
    (f) Contract cost and price. (1) Grantees and subgrantees must 
perform a cost or price analysis in connection with every procurement 
action including contract modifications. The method and degree of 
analysis is dependent on the facts surrounding the particular 
procurement situation, but as a starting point, grantees must make 
independent estimates before receiving bids or proposals. A cost 
analysis must be performed when the offeror is required to submit the 
elements of his estimated cost, e.g., under professional, consulting, 
and architectural engineering services contracts. A cost analysis will 
be necessary when adequate price competition is lacking, and for sole 
source procurements, including contract modifications or change orders, 
unless price resonableness can be established on the basis of a catalog 
or market price of a commercial product sold in substantial quantities 
to the general public or based on prices set by law or regulation. A 
price analysis will be used in all other instances to determine the 
reasonableness of the proposed contract price.
    (2) Grantees and subgrantees will negotiate profit as a separate 
element of the price for each contract in which there is no price 
competition and in all cases where cost analysis is performed. To 
establish a fair and reasonable profit, consideration will be given to 
the complexity of the work to be performed, the risk borne by the 
contractor, the contractor's investment, the amount of subcontracting, 
the quality of its record of past performance, and industry profit rates 
in the surrounding geographical area for similar work.

[[Page 170]]

    (3) Costs or prices based on estimated costs for contracts under 
grants will be allowable only to the extent that costs incurred or cost 
estimates included in negotiated prices are consistent with Federal cost 
principles (see Sec. 33.22). Grantees may reference their own cost 
principles that comply with the applicable Federal cost principles.
    (4) The cost plus a percentage of cost and percentage of 
construction cost methods of contracting shall not be used.
    (g) Awarding agency review. (1) Grantees and subgrantees must make 
available, upon request of the awarding agency, technical specifications 
on proposed procurements where the awarding agency believes such review 
is needed to ensure that the item and/or service specified is the one 
being proposed for purchase. This review generally will take place prior 
to the time the specification is incorporated into a solicitation 
document. However, if the grantee or subgrantee desires to have the 
review accomplished after a solicitation has been developed, the 
awarding agency may still review the specifications, with such review 
usually limited to the technical aspects of the proposed purchase.
    (2) Grantees and subgrantees must on request make available for 
awarding agency pre-award review procurement documents, such as requests 
for proposals or invitations for bids, independent cost estimates, etc. 
when:
    (i) A grantee's or subgrantee's procurement procedures or operation 
fails to comply with the procurement standards in this section; or
    (ii) The procurement is expected to exceed the simplified 
acquisition threshold and is to be awarded without competition or only 
one bid or offer is received in response to a solicitation; or
    (iii) The procurement, which is expected to exceed the simplified 
acquisition threshold, specifies a ``brand name'' product; or
    (iv) The proposed award is more than the simplified acquisition 
threshold and is to be awarded to other than the apparent low bidder 
under a sealed bid procurement; or
    (v) A proposed contract modification changes the scope of a contract 
or increases the contract amount by more than the simplified acquisition 
threshold.
    (3) A grantee or subgrantee will be exempt from the pre-award review 
in paragraph (g)(2) of this section if the awarding agency determines 
that its procurement systems comply with the standards of this section.
    (i) A grantee or subgrantee may request that its procurement system 
be reviewed by the awarding agency to determine whether its system meets 
these standards in order for its system to be certified. Generally, 
these reviews shall occur where there is a continuous high-dollar 
funding, and third-party contracts are awarded on a regular basis.
    (ii) A grantee or subgrantee may self-certify its procurement 
system. Such self-certification shall not limit the awarding agency's 
right to survey the system. Under a self-certification procedure, 
awarding agencies may wish to rely on written assurances from the 
grantee or subgrantee that it is complying with these standards. A 
grantee or subgrantee will cite specific procedures, regulations, 
standards, etc., as being in compliance with these requirements and have 
its system available for review.
    (h) Bonding requirements. For construction or facility improvement 
contracts or subcontracts exceeding the simplified acquisition 
threshold, the awarding agency may accept the bonding policy and 
requirements of the grantee or subgrantee provided the awarding agency 
has made a determination that the awarding agency's interest is 
adequately protected. If such a determination has not been made, the 
minimum requirements shall be as follows:
    (1) A bid guarantee from each bidder equivalent to five percent of 
the bid price. The ``bid guarantee'' shall consist of a firm commitment 
such as a bid bond, certified check, or other negotiable instrument 
accompanying a bid as assurance that the bidder will, upon acceptance of 
his bid, execute such contractual documents as may be required within 
the time specified.
    (2) A performance bond on the part of the contractor for 100 percent 
of the contract price. A ``performance bond'' is

[[Page 171]]

one executed in connection with a contract to secure fulfillment of all 
the contractor's obligations under such contract.
    (3) A payment bond on the part of the contractor for 100 percent of 
the contract price. A ``payment bond'' is one executed in connection 
with a contract to assure payment as required by law of all persons 
supplying labor and material in the execution of the work provided for 
in the contract.
    (i) Contract provisions. A grantee's and subgrantee's contracts must 
contain provisions in paragraph (i) of this section. Federal agencies 
are permitted to require changes, remedies, changed conditions, access 
and records retention, suspension of work, and other clauses approved by 
the Office of Federal Procurement Policy.
    (1) Administrative, contractual, or legal remedies in instances 
where contractors violate or breach contract terms, and provide for such 
sanctions and penalties as may be appropriate. (Contracts more than the 
simplified acquisition threshold)
    (2) Termination for cause and for convenience by the grantee or 
subgrantee including the manner by which it will be effected and the 
basis for settlement. (All contracts in excess of $10,000)
    (3) Compliance with Executive Order 11246 of September 24, 1965, 
entitled ``Equal Employment Opportunity,'' as amended by Executive Order 
11375 of October 13, 1967, and as supplemented in Department of Labor 
regulations (41 CFR chapter 60). (All construction contracts awarded in 
excess of $10,000 by grantees and their contractors or subgrantees)
    (4) Compliance with the Copeland ``Anti-Kickback'' Act (18 U.S.C. 
874) as supplemented in Department of Labor regulations (29 CFR Part 3). 
(All contracts and subgrants for construction or repair)
    (5) Compliance with the Davis-Bacon Act (40 U.S.C. 276a to 276a-7) 
as supplemented by Department of Labor regulations (29 CFR Part 5). 
(Construction contracts in excess of $2000 awarded by grantees and 
subgrantees when required by Federal grant program legislation)
    (6) Compliance with Sections 103 and 107 of the Contract Work Hours 
and Safety Standards Act (40 U.S.C. 327-330) as supplemented by 
Department of Labor regulations (29 CFR Part 5). (Construction contracts 
awarded by grantees and subgrantees in excess of $2000, and in excess of 
$2500 for other contracts which involve the employment of mechanics or 
laborers)
    (7) Notice of awarding agency requirements and regulations 
pertaining to reporting.
    (8) Notice of awarding agency requirements and regulations 
pertaining to patent rights with respect to any discovery or invention 
which arises or is developed in the course of or under such contract.
    (9) Awarding agency requirements and regulations pertaining to 
copyrights and rights in data.
    (10) Access by the grantee, the subgrantee, the Federal grantor 
agency, the Comptroller General of the United States, or any of their 
duly authorized representatives to any books, documents, papers, and 
records of the contractor which are directly pertinent to that specific 
contract for the purpose of making audit, examination, excerpts, and 
transcriptions.
    (11) Retention of all required records for three years after 
grantees or subgrantees make final payments and all other pending 
matters are closed.
    (12) Compliance with all applicable standards, orders, or 
requirements issued under section 306 of the Clean Air Act (42 U.S.C. 
1857(h)), section 508 of the Clean Water Act (33 U.S.C. 1368), Executive 
Order 11738, and Environmental Protection Agency regulations (40 CFR 
part 15). (Contracts, subcontracts, and subgrants of amounts in excess 
of $100,000)
    (13) Mandatory standards and policies relating to energy efficiency 
which are contained in the state energy conservation plan issued in 
compliance with the Energy Policy and Conservation Act (Pub. L. 94-163, 
89 Stat. 871).

[53 FR 8070, 8087, Mar. 11, 1988. Redesignated and amended at 57 FR 
6199, 6201, Feb. 21, 1992; 60 FR 19639, Apr. 19, 1995]



Sec. 33.37  Subgrants.

    (a) States. States shall follow State law and procedures when 
awarding and

[[Page 172]]

administering subgrants (whether on a cost reimbursement or fixed amount 
basis) of financial assistance to local and Indian tribal governments. 
States shall:
    (1) Ensure that every subgrant includes any clauses required by 
Federal statute and executive orders and their implementing regulations;
    (2) Ensure that subgrantees are aware of requirements imposed upon 
them by Federal statute and regulation;
    (3) Ensure that a provision for compliance with Sec. 33.42 is 
placed in every cost reimbursement subgrant; and
    (4) Conform any advances of grant funds to subgrantees substantially 
to the same standards of timing and amount that apply to cash advances 
by Federal agencies.
    (b) All other grantees. All other grantees shall follow the 
provisions of this part which are applicable to awarding agencies when 
awarding and administering subgrants (whether on a cost reimbursement or 
fixed amount basis) of financial assistance to local and Indian tribal 
governments. Grantees shall:
    (1) Ensure that every subgrant includes a provision for compliance 
with this part;
    (2) Ensure that every subgrant includes any clauses required by 
Federal statute and executive orders and their implementing regulations; 
and
    (3) Ensure that subgrantees are aware of requirements imposed upon 
them by Federal statutes and regulations.
    (c) Exceptions. By their own terms, certain provisions of this part 
do not apply to the award and administration of subgrants:
    (1) Section 33.10;
    (2) Section 33.11;
    (3) The letter-of-credit procedures specified in Treasury 
Regulations at 31 CFR part 205, cited in Sec. 33.21; and
    (4) Section 33.50.

[53 FR 8070, 8087, Mar. 11, 1988. Redesignated and amended at 57 FR 
6199, 6201, Feb. 21, 1992]

              Reports, Records, Retention, and Enforcement



Sec. 33.40  Monitoring and reporting program performance.

    (a) Monitoring by grantees. Grantees are responsible for managing 
the day-to-day operations of grant and subgrant supported activities. 
Grantees must monitor grant and subgrant supported activities to assure 
compliance with applicable Federal requirements and that performance 
goals are being achieved. Grantee monitoring must cover each program, 
function or activity.
    (b) Nonconstruction performance reports. The Federal agency may, if 
it decides that performance information available from subsequent 
applications contains sufficient information to meet its programmatic 
needs, require the grantee to submit a performance report only upon 
expiration or termination of grant support. Unless waived by the Federal 
agency this report will be due on the same date as the final Financial 
Status Report.
    (1) Grantees shall submit annual performance reports unless the 
awarding agency requires quarterly or semi-annual reports. However, 
performance reports will not be required more frequently than quarterly. 
Annual reports shall be due 90 days after the grant year, quarterly or 
semi-annual reports shall be due 30 days after the reporting period. The 
final performance report will be due 90 days after the expiration or 
termination of grant support. If a justified request is submitted by a 
grantee, the Federal agency may extend the due date for any performance 
report. Additionally, requirements for unnecessary performance reports 
may be waived by the Federal agency.
    (2) Performance reports will contain, for each grant, brief 
information on the following:
    (i) A comparison of actual accomplishments to the objectives 
established for the period. Where the output of the project can be 
quantified, a computation of the cost per unit of output may be required 
if that information will be useful.
    (ii) The reasons for slippage if established objectives were not 
met.

[[Page 173]]

    (iii) Additional pertinent information including, when appropriate, 
analysis and explanation of cost overruns or high unit costs.
    (3) Grantees will not be required to submit more than the original 
and two copies of performance reports.
    (4) Grantees will adhere to the standards in this section in 
prescribing performance reporting requirements for subgrantees.
    (c) Construction performance reports. For the most part, on-site 
technical inspections and certified percentage-of-completion data are 
relied on heavily by Federal agencies to monitor progress under 
construction grants and subgrants. The Federal agency will require 
additional formal performance reports only when considered necessary, 
and never more frequently than quarterly.
    (d) Significant developments. Events may occur between the scheduled 
performance reporting dates which have significant impact upon the grant 
or subgrant supported activity. In such cases, the grantee must inform 
the Federal agency as soon as the following types of conditions become 
known:
    (1) Problems, delays, or adverse conditions which will materially 
impair the ability to meet the objective of the award. This disclosure 
must include a statement of the action taken, or contemplated, and any 
assistance needed to resolve the situation.
    (2) Favorable developments which enable meeting time schedules and 
objectives sooner or at less cost than anticipated or producing more 
beneficial results than originally planned.
    (e) Federal agencies may make site visits as warranted by program 
needs.
    (f) Waivers, extensions. (1) Federal agencies may waive any 
performance report required by this part if not needed.
    (2) The grantee may waive any performance report from a subgrantee 
when not needed. The grantee may extend the due date for any performance 
report from a subgrantee if the grantee will still be able to meet its 
performance reporting obligations to the Federal agency.



Sec. 33.41  Financial reporting.

    (a) General. (1) Except as provided in paragraphs (a) (2) and (5) of 
this section, grantees will use only the forms specified in paragraphs 
(a) through (e) of this section, and such supplementary or other forms 
as may from time to time be authorized by OMB, for:
    (i) Submitting financial reports to Federal agencies, or
    (ii) Requesting advances or reimbursements when letters of credit 
are not used.
    (2) Grantees need not apply the forms prescribed in this section in 
dealing with their subgrantees. However, grantees shall not impose more 
burdensome requirements on subgrantees.
    (3) Grantees shall follow all applicable standard and supplemental 
Federal agency instructions approved by OMB to the extend required under 
the Paperwork Reduction Act of 1980 for use in connection with forms 
specified in paragraphs (b) through (e) of this section. Federal 
agencies may issue substantive supplementary instructions only with the 
approval of OMB. Federal agencies may shade out or instruct the grantee 
to disregard any line item that the Federal agency finds unnecessary for 
its decisionmaking purposes.
    (4) Grantees will not be required to submit more than the original 
and two copies of forms required under this part.
    (5) Federal agencies may provide computer outputs to grantees to 
expedite or contribute to the accuracy of reporting. Federal agencies 
may accept the required information from grantees in machine usable 
format or computer printouts instead of prescribed forms.
    (6) Federal agencies may waive any report required by this section 
if not needed.
    (7) Federal agencies may extend the due date of any financial report 
upon receiving a justified request from a grantee.
    (b) Financial Status Report--(1) Form. Grantees will use Standard 
Form 269 or 269A, Financial Status Report, to report the status of funds 
for all nonconstruction grants and for construction grants when required 
in accordance with Sec. 33.41(e)(2)(iii).

[[Page 174]]

    (2) Accounting basis. Each grantee will report program outlays and 
program income on a cash or accrual basis as prescribed by the awarding 
agency. If the Federal agency requires accrual information and the 
grantee's accounting records are not normally kept on the accural basis, 
the grantee shall not be required to convert its accounting system but 
shall develop such accrual information through and analysis of the 
documentation on hand.
    (3) Frequency. The Federal agency may prescribe the frequency of the 
report for each project or program. However, the report will not be 
required more frequently than quarterly. If the Federal agency does not 
specify the frequency of the report, it will be submitted annually. A 
final report will be required upon expiration or termination of grant 
support.
    (4) Due date. When reports are required on a quarterly or semiannual 
basis, they will be due 30 days after the reporting period. When 
required on an annual basis, they will be due 90 days after the grant 
year. Final reports will be due 90 days after the expiration or 
termination of grant support.
    (c) Federal Cash Transactions Report--(1) Form. (i) For grants paid 
by letter or credit, Treasury check advances or electronic transfer of 
funds, the grantee will submit the Standard Form 272, Federal Cash 
Transactions Report, and when necessary, its continuation sheet, 
Standard Form 272a, unless the terms of the award exempt the grantee 
from this requirement.
    (ii) These reports will be used by the Federal agency to monitor 
cash advanced to grantees and to obtain disbursement or outlay 
information for each grant from grantees. The format of the report may 
be adapted as appropriate when reporting is to be accomplished with the 
assistance of automatic data processing equipment provided that the 
information to be submitted is not changed in substance.
    (2) Forecasts of Federal cash requirements. Forecasts of Federal 
cash requirements may be required in the ``Remarks'' section of the 
report.
    (3) Cash in hands of subgrantees. When considered necessary and 
feasible by the Federal agency, grantees may be required to report the 
amount of cash advances in excess of three days' needs in the hands of 
their subgrantees or contractors and to provide short narrative 
explanations of actions taken by the grantee to reduce the excess 
balances.
    (4) Frequency and due date. Grantees must submit the report no later 
than 15 working days following the end of each quarter. However, where 
an advance either by letter of credit or electronic transfer of funds is 
authorized at an annualized rate of one million dollars or more, the 
Federal agency may require the report to be submitted within 15 working 
days following the end of each month.
    (d) Request for advance or reimbursement--(1) Advance payments. 
Requests for Treasury check advance payments will be submitted on 
Standard Form 270, Request for Advance or Reimbursement. (This form will 
not be used for drawdowns under a letter of credit, electronic funds 
transfer or when Treasury check advance payments are made to the grantee 
automatically on a predetermined basis.)
    (2) Reimbursements. Requests for reimbursement under nonconstruction 
grants will also be submitted on Standard Form 270. (For reimbursement 
requests under construction grants, see paragraph (e)(1) of this 
section.)
    (3) The frequency for submitting payment requests is treated in 
Sec. 33.41(b)(3).
    (e) Outlay report and request for reimbursement for construction 
programs--(1) Grants that support construction activities paid by 
reimbursement method. (i) Requests for reimbursement under construction 
grants will be submitted on Standard Form 271, Outlay Report and Request 
for Reimbursement for Construction Programs. Federal agencies may, 
however, prescribe the Request for Advance or Reimbursement form, 
specified in Sec. 33.41(d), instead of this form.
    (ii) The frequency for submitting reimbursement requests is treated 
in Sec. 33.41(b)(3).
    (2) Grants that support construction activities paid by letter of 
credit, electronic funds transfer or Treasury check advance. (i) When a 
construction grant is paid by letter of credit, electronic

[[Page 175]]

funds transfer or Treasury check advances, the grantee will report its 
outlays to the Federal agency using Standard Form 271, Outlay Report and 
Request for Reimbursement for Construction Programs. The Federal agency 
will provide any necessary special instruction. However, frequency and 
due date shall be governed by Sec. 33.41(b) (3) and (4).
    (ii) When a construction grant is paid by Treasury check advances 
based on periodic requests from the grantee, the advances will be 
requested on the form specified in Sec. 33.41(d).
    (iii) The Federal agency may substitute the Financial Status Report 
specified in Sec. 33.41(b) for the Outlay Report and Request for 
Reimbursement for Construction Programs.
    (3) Accounting basis. The accounting basis for the Outlay Report and 
Request for Reimbursement for Construction Programs shall be governed by 
Sec. 33.41(b)(2).

[53 FR 8070, 8087, Mar. 11, 1988. Redesignated and amended at 57 FR 
6199, 6201, Feb. 21, 1992]



Sec. 33.42  Retention and access requirements for records.

    (a) Applicability. (1) This section applies to all financial and 
programmatic records, supporting documents, statistical records, and 
other records of grantees or subgrantees which are:
    (i) Required to be maintained by the terms of this part, program 
regulations or the grant agreement, or
    (ii) Otherwise reasonably considered as pertinent to program 
regulations or the grant agreement.
    (2) This section does not apply to records maintained by contractors 
or subcontractors. For a requirement to place a provision concerning 
records in certain kinds of contracts, see Sec. 33.36(i)(10).
    (b) Length of retention period. (1) Except as otherwise provided, 
records must be retained for three years from the starting date 
specified in paragraph (c) of this section.
    (2) If any litigation, claim, negotiation, audit or other action 
involving the records has been started before the expiration of the 3-
year period, the records must be retained until completion of the action 
and resolution of all issues which arise from it, or until the end of 
the regular 3-year period, whichever is later.
    (3) To avoid duplicate recordkeeping, awarding agencies may make 
special arrangements with grantees and subgrantees to retain any records 
which are continuously needed for joint use. The awarding agency will 
request transfer of records to its custody when it determines that the 
records possess long-term retention value. When the records are 
transferred to or maintained by the Federal agency, the 3-year retention 
requirement is not applicable to the grantee or subgrantee.
    (c) Starting date of retention period--(1) General. When grant 
support is continued or renewed at annual or other intervals, the 
retention period for the records of each funding period starts on the 
day the grantee or subgrantee submits to the awarding agency its single 
or last expenditure report for that period. However, if grant support is 
continued or renewed quarterly, the retention period for each year's 
records starts on the day the grantee submits its expenditure report for 
the last quarter of the Federal fiscal year. In all other cases, the 
retention period starts on the day the grantee submits its final 
expenditure report. If an expenditure report has been waived, the 
retention period starts on the day the report would have been due.
    (2) Real property and equipment records. The retention period for 
real property and equipment records starts from the date of the 
disposition or replacement or transfer at the direction of the awarding 
agency.
    (3) Records for income transactions after grant or subgrant support. 
In some cases grantees must report income after the period of grant 
support. Where there is such a requirement, the retention period for the 
records pertaining to the earning of the income starts from the end of 
the grantee's fiscal year in which the income is earned.
    (4) Indirect cost rate proposals, cost allocations plans, etc. This 
paragraph applies to the following types of documents, and their 
supporting records: indirect cost rate computations or proposals, cost 
allocation plans, and any similar accounting computations of the rate at 
which a particular group of costs is chargeable (such as computer

[[Page 176]]

usage chargeback rates or composite fringe benefit rates).
    (i) If submitted for negotiation. If the proposal, plan, or other 
computation is required to be submitted to the Federal Government (or to 
the grantee) to form the basis for negotiation of the rate, then the 3-
year retention period for its supporting records starts from the date of 
such submission.
    (ii) If not submitted for negotiation. If the proposal, plan, or 
other computation is not required to be submitted to the Federal 
Government (or to the grantee) for negotiation purposes, then the 3-year 
retention period for the proposal plan, or computation and its 
supporting records starts from end of the fiscal year (or other 
accounting period) covered by the proposal, plan, or other computation.
    (d) Substitution of microfilm. Copies made by microfilming, 
photocopying, or similar methods may be substituted for the original 
records.
    (e) Access to records--(1) Records of grantees and subgrantees. The 
awarding agency and the Comptroller General of the United States, or any 
of their authorized representatives, shall have the right of access to 
any pertinent books, documents, papers, or other records of grantees and 
subgrantees which are pertinent to the grant, in order to make audits, 
examinations, excerpts, and transcripts.
    (2) Expiration of right of access. The rights of access in this 
section must not be limited to the required retention period but shall 
last as long as the records are retained.
    (f) Restrictions on public access. The Federal Freedom of 
Information Act (5 U.S.C. 552) does not apply to records Unless required 
by Federal, State, or local law, grantees and subgrantees are not 
required to permit public access to their records.

[53 FR 8070, 8087, Mar. 11, 1988. Redesignated and amended at 57 FR 
6199, 6201, Feb. 21, 1992]



Sec. 33.43  Enforcement.

    (a) Remedies for noncompliance. If a grantee or subgrantee 
materially fails to comply with any term of an award, whether stated in 
a Federal statute or regulation, an assurance, in a State plan or 
application, a notice of award, or elsewhere, the awarding agency may 
take one or more of the following actions, as appropriate in the 
circumstances:
    (1) Temporarily withhold cash payments pending correction of the 
deficiency by the grantee or subgrantee or more severe enforcement 
action by the awarding agency,
    (2) Disallow (that is, deny both use of funds and matching credit 
for) all or part of the cost of the activity or action not in 
compliance,
    (3) Wholly or partly suspend or terminate the current award for the 
grantee's or subgrantee's program,
    (4) Withhold further awards for the program, or
    (5) Take other remedies that may be legally available.
    (b) Hearings, appeals. In taking an enforcement action, the awarding 
agency will provide the grantee or subgrantee an opportunity for such 
hearing, appeal, or other administrative proceeding to which the grantee 
or subgrantee is entitled under any statute or regulation applicable to 
the action involved.
    (c) Effects of suspension and termination. Costs of grantee or 
subgrantee resulting from obligations incurred by the grantee or 
subgrantee during a suspension or after termination of an award are not 
allowable unless the awarding agency expressly authorizes them in the 
notice of suspension or termination or subsequently. Other grantee or 
subgrantee costs during suspension or after termination which are 
necessary and not reasonably avoidable are allowable if:
    (1) The costs result from obligations which were properly incurred 
by the grantee or subgrantee before the effective date of suspension or 
termination, are not in anticipation of it, and, in the case of a 
termination, are noncancellable, and,
    (2) The costs would be allowable if the award were not suspended or 
expired normally at the end of the funding period in which the 
termination takes effect.
    (d) Relationship to debarment and suspension. The enforcement 
remedies identified in this section, including suspension and 
termination, do not preclude grantee or subgrantee from

[[Page 177]]

being subject to ``Debarment and Suspension'' under E.O. 12549 (see 
Sec. 33.35).

[53 FR 8070, 8087, Mar. 11, 1988. Redesignated and amended at 57 FR 
6199, 6201, Feb. 21, 1992]



Sec. 33.44  Termination for convenience.

    Except as provided in Sec. 33.43 awards may be terminated in whole 
or in part only as follows:
    (a) By the awarding agency with the consent of the grantee or 
subgrantee in which case the two parties shall agree upon the 
termination conditions, including the effective date and in the case of 
partial termination, the portion to be terminated, or
    (b) By the grantee or subgrantee upon written notification to the 
awarding agency, setting forth the reasons for such termination, the 
effective date, and in the case of partial termination, the portion to 
be terminated. However, if, in the case of a partial termination, the 
awarding agency determines that the remaining portion of the award will 
not accomplish the purposes for which the award was made, the awarding 
agency may terminate the award in its entirety under either Sec. 33.43 
or paragraph (a) of this section.

[53 FR 8070, 8087, Mar. 11, 1988. Redesignated and amended at 57 FR 
6199, 6201, Feb. 21, 1992]



                 Subpart D_After-The-Grant Requirements



Sec. 33.50  Closeout.

    (a) General. The Federal agency will close out the award when it 
determines that all applicable administrative actions and all required 
work of the grant has been completed.
    (b) Reports. Within 90 days after the expiration or termination of 
the grant, the grantee must submit all financial, performance, and other 
reports required as a condition of the grant. Upon request by the 
grantee, Federal agencies may extend this timeframe. These may include 
but are not limited to:
    (1) Final performance or progress report.
    (2) Financial Status Report (SF 269) or Outlay Report and Request 
for Reimbursement for Construction Programs (SF-271) (as applicable).
    (3) Final request for payment (SF-270) (if applicable).
    (4) Invention disclosure (if applicable).
    (5) Federally-owned property report:

In accordance with Sec. 33.32(f), a grantee must submit an inventory of 
all federally owned property (as distinct from property acquired with 
grant funds) for which it is accountable and request disposition 
instructions from the Federal agency of property no longer needed.
    (c) Cost adjustment. The Federal agency will, within 90 days after 
receipt of reports in paragraph (b) of this section, make upward or 
downward adjustments to the allowable costs.
    (d) Cash adjustments. (1) The Federal agency will make prompt 
payment to the grantee for allowable reimbursable costs.
    (2) The grantee must immediately refund to the Federal agency any 
balance of unobligated (unencumbered) cash advanced that is not 
authorized to be retained for use on other grants.

[53 FR 8070, 8087, Mar. 11, 1988. Redesignated and amended at 57 FR 
6199, 6201, Feb. 21, 1992]



Sec. 33.51  Later disallowances and adjustments.

    The closeout of a grant does not affect:
    (a) The Federal agency's right to disallow costs and recover funds 
on the basis of a later audit or other review;
    (b) The grantee's obligation to return any funds due as a result of 
later refunds, corrections, or other transactions;
    (c) Records retention as required in Sec. 33.42;
    (d) Property management requirements in Sec. Sec. 33.31 and 33.32; 
and
    (e) Audit requirements in Sec. 33.26.

[53 FR 8070, 8087, Mar. 11, 1988. Redesignated and amended at 57 FR 
6199, 6201, Feb. 21, 1992]



Sec. 33.52  Collection of amounts due.

    (a) Any funds paid to a grantee in excess of the amount to which the 
grantee is finally determined to be entitled under the terms of the 
award constitute a debt to the Federal Government. If not paid within a 
reasonable period after demand, the Federal agency may reduce the debt 
by:

[[Page 178]]

    (1) Making an adminstrative offset against other requests for 
reimbursements,
    (2) Withholding advance payments otherwise due to the grantee, or
    (3) Other action permitted by law.
    (b) Except where otherwise provided by statutes or regulations, the 
Federal agency will charge interest on an overdue debt in accordance 
with the Federal Claims Collection Standards (4 CFR Ch. II). The date 
from which interest is computed is not extended by litigation or the 
filing of any form of appeal.

Subpart E--Entitlement [Reserved]



PART 34_ADMINISTRATIVE REQUIREMENTS FOR GRANTS AND AGREEMENTS WITH FOR
-PROFIT ORGANIZATIONS--Table of Contents



                            Subpart A_General

Sec.
34.1 Purpose.
34.2 Definitions.
34.3 Deviations.
34.4 Special award conditions.

                    Subpart B_Post-Award Requirements

                    Financial and Program Management

34.10 Purpose of financial and program management.
34.11 Standards for financial management systems.
34.12 Payment.
34.13 Cost sharing or matching.
34.14 Program income.
34.15 Revision of budget and program plans.
34.16 Audits.
34.17 Allowable costs.
34.18 Fee and profit.

                           Property Standards

34.20 Purpose of property standards.
34.21 Real property and equipment.
34.22 Federally owned property.
34.23 Property management system.
34.24 Supplies.
34.25 Intellectual property developed or produced under awards.

                          Procurement Standards

34.30 Purpose of procurement standards.
34.31 Requirements.

                           Reports and Records

34.40 Purpose of reports and records.
34.41 Monitoring and reporting program and financial performance.
34.42 Retention and access requirements for records.

                       Termination and Enforcement

34.50 Purpose of termination and enforcement.
34.51 Termination.
34.52 Enforcement.
34.53 Disputes and appeals.

                 Subpart C_After-the-Award Requirements

34.60 Purpose.
34.61 Closeout procedures.
34.62 Subsequent adjustments and continuing responsibilities.
34.63 Collection of amounts due.

Appendix A to Part 34--Contract Provisions

    Authority: 5 U.S.C. 301 and 10 U.S.C. 113.

    Source: 63 FR 12204, Mar. 12, 1998, unless otherwise noted.



                            Subpart A_General



Sec. 34.1  Purpose.

    (a) This part prescribes administrative requirements for awards to 
for-profit organizations.
    (b) Applicability to prime awards and subawards is as follows:
    (1) Prime awards. DoD Components shall apply the provisions of this 
part to awards to for-profit organizations. DoD Components shall not 
impose requirements that are in addition to, or inconsistent with, the 
requirements provided in this part, except:
    (i) In accordance with the deviation procedures or special award 
conditions in Sec. 34.3 or Sec. 34.4, respectively; or
    (ii) As required by Federal statute, Executive order, or Federal 
regulation implementing a statute or Executive order.
    (2) Subawards. (i) Any legal entity (including any State, local 
government, university or other nonprofit organization, as well as any 
for-profit entity) that receives an award from a DoD Component shall 
apply the provisions of this part to subawards with for-profit 
organizations. It should be noted that subawards (see definition in 
Sec. 34.2) are financial assistance for substantive programmatic 
performance and do not include recipients' procurement of goods and 
services.

[[Page 179]]

    (ii) For-profit organizations that receive prime awards covered by 
this part shall apply to each subaward the administrative requirements 
that are applicable to the particular type of subrecipient (e.g., 32 CFR 
part 33 specifies requirements for subrecipients that are States or 
local governments, and 32 CFR part 32 contains requirements for 
universities or other nonprofit organizations).



Sec. 34.2  Definitions.

    The following are definitions of terms as used in this part. Grants 
officers are cautioned that terms may be defined differently in this 
part than they are in other parts of the DoD Grant and Agreement 
Regulations (DoDGARs).
    Advance. A payment made by Treasury check or other appropriate 
payment mechanism to a recipient upon its request either before outlays 
are made by the recipient or through the use of predetermined payment 
schedules.
    Award. A grant or a cooperative agreement other than a technology 
investment agreement (TIA). TIAs are covered by part 37 of the DoDGARs 
(32 CFR part 37). Portions of this part may apply to a TIA, but only to 
the extent that 32 CFR part 37 makes them apply.
    Cash contributions. The recipient's cash outlay, including the 
outlay of money contributed to the recipient by third parties.
    Closeout. The process by which the grants officer administering an 
award made by a DoD Component determines that all applicable 
administrative actions and all required work of the award have been 
completed by the recipient and DoD Component.
    Contract. Either:
    (1) A procurement contract made by a recipient under a DoD 
Component's award or by a subrecipient under a subaward; or
    (2) A procurement subcontract under a contract awarded by a 
recipient or subrecipient.
    Cost sharing or matching. That portion of project or program costs 
not borne by the Federal Government.
    Disallowed costs. Those charges to an award that the grants officer 
administering an award made by a DoD Component determines to be 
unallowable, in accordance with the applicable Federal cost principles 
or other terms and conditions contained in the award.
    DoD Component. A Military Department, Defense Agency, DoD Field 
Activity, or organization within the Office of the Secretary of Defense 
that provides or administers an award to a recipient.
    Equipment. Tangible nonexpendable personal property charged directly 
to the award having a useful life of more than one year and an 
acquisition cost of $5,000 or more per unit. That definition applies for 
the purposes of the Federal administrative requirements in this part. 
However, the recipient's policy may be to use a lower dollar value for 
defining ``equipment,'' and nothing in this part should be construed as 
requiring the recipient to establish a higher limit for purposes other 
than the administrative requirements in this part.
    Excess property. Property under the control of any DoD Component 
that, as determined by the head thereof, is no longer required for its 
needs or the discharge of its responsibilities.
    Expenditures. See the definition for outlays in this section.
    Federally owned property. Property in the possession of, or directly 
acquired by, the Government and subsequently made available to the 
recipient.
    Funding period. The period of time when Federal funding is available 
for obligation by the recipient.
    Intellectual property. Intangible personal property such as patents 
and patent applications, trademarks, copyrights, technical data, and 
software rights.
    Obligations. The amounts of orders placed, contracts and grants 
awarded, services received and similar transactions during a given 
period that require payment by the recipient during the same or a future 
period.
    Outlays or expenditures. Charges made to the project or program. 
They may be reported on a cash or accrual basis. For reports prepared on 
a cash basis, outlays are the sum of cash disbursements for direct 
charges for goods and services, the amount of indirect expense charged, 
the value of third party in-kind contributions applied and the

[[Page 180]]

amount of cash advances and payments made to subrecipients. For reports 
prepared on an accrual basis, outlays are the sum of cash disbursements 
for direct charges for goods and services, the amount of indirect 
expense incurred, the value of in-kind contributions applied, and the 
net increase (or decrease) in the amounts owed by the recipient for 
goods and other property received, for services performed by employees, 
contractors, subrecipients and other payees and other amounts becoming 
owed under programs for which no current services or performance are 
required.
    Personal property. Property of any kind except real property. It may 
be:
    (1) Tangible, having physical existence (i.e., equipment and 
supplies); or
    (2) Intangible, having no physical existence, such as patents, 
copyrights, data and software.
    Prior approval. Written or electronic approval by an authorized 
official evidencing prior consent.
    Program income. Gross income earned by the recipient that is 
directly generated by a supported activity or earned as a result of the 
award. Program income includes, but is not limited to, income from fees 
for services performed, the use or rental of real or personal property 
acquired under federally-funded projects, the sale of commodities or 
items fabricated under an award, license fees and royalties on patents 
and copyrights, and interest on loans made with award funds. Interest 
earned on advances of Federal funds is not program income. Except as 
otherwise provided in program regulations or the terms and conditions of 
the award, program income does not include the receipt of principal on 
loans, rebates, credits, discounts, etc., or interest earned on any of 
them.
    Project costs. All allowable costs, as set forth in the applicable 
Federal cost principles, incurred by a recipient and the value of the 
contributions made by third parties in accomplishing the objectives of 
the award during the project period.
    Project period. The period established in the award document during 
which Federal sponsorship begins and ends.
    Property. Real property and personal property (equipment, supplies, 
and intellectual property), unless stated otherwise.
    Real property. Land, including land improvements, structures and 
appurtenances thereto, but excludes movable machinery and equipment.
    Recipient. A for-profit organization receiving an award directly 
from a DoD Component to carry out a project or program.
    Research. Basic, applied, and advanced research activities. Basic 
research is defined as efforts directed toward increasing knowledge or 
understanding in science and engineering. Applied research is defined as 
efforts that attempt to determine and exploit the potential of 
scientific discoveries or improvements in technology, such as new 
materials, devices, methods, and processes. ``Advanced research,'' 
advanced technology development that creates new technology or 
demonstrates the viability of applying existing technology to new 
products and processes in a general way, is most closely analogous to 
precommercialization or precompetitive technology development in the 
commercial sector (it does not include development of military systems 
and hardware where specific requirements have been defined).
    Small award. An award not exceeding the simplified acquisition 
threshold fixed at 41 U.S.C. 403(11) (currently $100,000).
    Small business concern. A concern, including its affiliates, that is 
independently owned and operated, not dominant in the field of operation 
in which it has applied for an award, and qualified as a small business 
under the criteria and size standards in 13 CFR part 121. For more 
details, grants officers should see 48 CFR part 19 in the ``Federal 
Acquisition Regulation.''
    Subaward. Financial assistance in the form of money, or property in 
lieu of money, provided under an award by a recipient to an eligible 
subrecipient or by a subrecipient to a lower tier subrecipient. The term 
includes financial assistance when provided by any legal agreement, even 
if the agreement is called a contract, but the term includes neither 
procurement of goods and services nor any form of assistance

[[Page 181]]

which is excluded from the definition of ``award'' in this section.
    Subrecipient. The legal entity to which a subaward is made and which 
is accountable to the recipient for the use of the funds provided.
    Supplies. Tangible expendable personal property that is charged 
directly to the award and that has a useful life of less than one year 
or an acquisition cost of less than $5000 per unit.
    Suspension. An action by a DoD Component that temporarily withdraws 
Federal sponsorship under an award, pending corrective action by the 
recipient or pending a decision to terminate the award by the DoD 
Component. Suspension of an award is a separate action from suspension 
of a participant under 2 CFR part 1125.
    Termination. The cancellation of an award, in whole or in part, 
under an agreement at any time prior to either:
    (1) The date on which all work under an award is completed; or
    (2) The date on which Federal sponsorship ends, as given on the 
award document or any supplement or amendment thereto.
    Third party in-kind contributions. The value of non-cash 
contributions provided by non-Federal third parties. Third party in-kind 
contributions may be in the form of real property, equipment, supplies 
and other expendable property, and the value of goods and services 
directly benefiting and specifically identifiable to the project or 
program.
    Unobligated balance. The portion of the funds authorized by a DoD 
Component that has not been obligated by the recipient and is determined 
by deducting the cumulative obligations from the cumulative funds 
authorized.

[63 FR 12204, Mar. 12, 1998, as amended at 68 FR 47160, Aug. 7, 2003; 72 
FR 34998, June 26, 2007]



Sec. 34.3  Deviations.

    (a) Individual deviations. Individual deviations affecting only one 
award may be approved by DoD Components in accordance with procedures 
stated in 32 CFR 21.335(a) and 21.340.
    (b) Small awards. DoD Components may apply less restrictive 
requirements than the provisions of this part when awarding small 
awards, except for those requirements which are statutory.
    (c) Other class deviations. For classes of awards other than small 
awards, the Director, Defense Research and Engineering, or his or her 
designee, may grant exceptions from the requirements of this part when 
exceptions are not prohibited by statute. DoD Components shall request 
approval for such deviations in accordance with 32 CFR 21.335 (b) and 
21.340.

[63 FR 12204, Mar. 12, 1998, as amended at 68 FR 47160, Aug. 7, 2003]



Sec. 34.4  Special award conditions.

    (a) Grants officers may impose additional requirements as needed, 
over and above those provided in this part, if an applicant or 
recipient:
    (1) Has a history of poor performance;
    (2) Is not financially stable;
    (3) Has a management system that does not meet the standards 
prescribed in this part;
    (4) Has not conformed to the terms and conditions of a previous 
award; or
    (5) Is not otherwise responsible.
    (b) Before imposing additional requirements, DoD Components shall 
notify the applicant or recipient in writing as to:
    (1) The nature of the additional requirements;
    (2) The reason why the additional requirements are being imposed;
    (3) The nature of the corrective action needed;
    (4) The time allowed for completing the corrective actions; and
    (5) The method for requesting reconsideration of the additional 
requirements imposed.
    (c) Any special conditions shall be promptly removed once the 
conditions that prompted them have been corrected.
    (d) Grants officers:
    (1) Should coordinate the imposition and removal of special award 
conditions with the cognizant grants administration office identified in 
32 CFR 22.710.
    (2) Shall include in the award file the written notification to the 
recipient, described in paragraph (b) of this section, and the 
documentation required by 32 CFR 22.410(b).

[[Page 182]]



                    Subpart B_Post-award Requirements

                    Financial and Program Management



Sec. 34.10  Purpose of financial and program management.

    Sections 34.11 through 34.17 prescribe standards for financial 
management systems; methods for making payments; and rules for cost 
sharing and matching, program income, revisions to budgets and program 
plans, audits, allowable costs, and fee and profit.



Sec. 34.11  Standards for financial management systems.

    (a) Recipients shall be allowed and encouraged to use existing 
financial management systems established for doing business in the 
commercial marketplace, to the extent that the systems comply with 
Generally Accepted Accounting Principles (GAAP) and the minimum 
standards in this section. As a minimum, a recipient's financial 
management system shall provide:
    (1) Effective control of all funds. Control systems must be adequate 
to ensure that costs charged to Federal funds and those counted as the 
recipient's cost share or match are consistent with requirements for 
cost reasonableness, allowability, and allocability in the applicable 
cost principles (see Sec. 34.17) and in the terms and conditions of the 
award.
    (2) Accurate, current and complete records that document for each 
project funded wholly or in part with Federal funds the source and 
application of the Federal funds and the recipient's required cost share 
or match. These records shall:
    (i) Contain information about receipts, authorizations, assets, 
expenditures, program income, and interest.
    (ii) Be adequate to make comparisons of outlays with budgeted 
amounts for each award (as required for programmatic and financial 
reporting under Sec. 34.41. Where appropriate, financial information 
should be related to performance and unit cost data. Note that unit cost 
data are generally not appropriate for awards that support research.
    (3) To the extent that advance payments are authorized under Sec. 
34.12, procedures that minimize the time elapsing between the transfer 
of funds to the recipient from the Government and the recipient's 
disbursement of the funds for program purposes.
    (4) The recipient shall have a system to support charges to Federal 
awards for salaries and wages, whether treated as direct or indirect 
costs. Where employees work on multiple activities or cost objectives, a 
distribution of their salaries and wages will be supported by personnel 
activity reports which must:
    (i) Reflect an after the fact distribution of the actual activity of 
each employee.
    (ii) Account for the total activity for which each employee is 
compensated.
    (iii) Be prepared at least monthly, and coincide with one or more 
pay periods.
    (b) Where the Federal Government guarantees or insures the repayment 
of money borrowed by the recipient, the DoD Component, at its 
discretion, may require adequate bonding and insurance if the bonding 
and insurance requirements of the recipient are not deemed adequate to 
protect the interest of the Federal Government.
    (c) The DoD Component may require adequate fidelity bond coverage 
where the recipient lacks sufficient coverage to protect the Federal 
Government's interest.
    (d) Where bonds are required in the situations described above, the 
bonds shall be obtained from companies holding certificates of authority 
as acceptable sureties, as prescribed in 31 CFR part 223, ``Surety 
Companies Doing Business with the United States.''



Sec. 34.12  Payment.

    (a) Methods available. Payment methods for awards with for-profit 
organizations are:
    (1) Reimbursement. Under this method, the recipient requests 
reimbursement for costs incurred during a time period. In cases where 
the recipient submits each request for payment to the grants officer, 
the DoD payment office reimburses the recipient by electronic funds 
transfer or check after approval of the request by the grants officer 
designated to do so.
    (2) Advance payments. Under this method, a DoD Component makes a

[[Page 183]]

payment to a recipient based upon projections of the recipient's cash 
needs. The payment generally is made upon the recipient's request, 
although predetermined payment schedules may be used when the timing of 
the recipient's needs to disburse funds can be predicted in advance with 
sufficient accuracy to ensure compliance with paragraph (b)(2)(iii) of 
this section.
    (b) Selecting a method. (1) The preferred payment method is the 
reimbursement method, as described in paragraph (a)(1) of this section
    (2) Advance payments, as described in paragraph (a)(2) of this 
section, may be used in exceptional circumstances, subject to the 
following conditions:
    (i) The grants officer, in consultation with the program official, 
must judge that advance payments are necessary or will materially 
contribute to the probability of success of the project contemplated 
under the award (e.g., as startup funds for a project performed by a 
newly formed company). The rationale for the judgment shall be 
documented in the award file.
    (ii) Cash advances shall be limited to the minimum amounts needed to 
carry out the program.
    (iii) Recipients and the DoD Component shall maintain procedures to 
ensure that the timing of cash advances is as close as is 
administratively feasible to the recipients' disbursements of the funds 
for program purposes, including direct program or project costs and the 
proportionate share of any allowable indirect costs.
    (iv) Recipients shall maintain advance payments of Federal funds in 
interest-bearing accounts, and remit annually the interest earned to the 
administrative grants officer responsible for post-award administration 
(the grants officer shall forward the payment to the responsible payment 
office, for return to the Department of Treasury's miscellaneous 
receipts account), unless one of the following applies:
    (A) The recipient receives less than $120,000 in Federal awards per 
year.
    (B) The best reasonably available interest bearing account would not 
be expected to earn interest in excess of $250 per year on Federal cash 
balances.
    (C) The depository would require an average or minimum balance so 
high that it would not be feasible within the expected Federal and non-
Federal cash resources.
    (c) Frequency of payments. For either reimbursements or advance 
payments, recipients shall be authorized to submit requests for payment 
at least monthly.
    (d) Forms for requesting payment. DoD Components may authorize 
recipients to use the SF-270, \1\ ``Request for Advance or 
Reimbursement;'' the SF-271, \2\ ``Outlay Report and Request for 
Reimbursement for Construction Programs;'' or prescribe other forms or 
formats as necessary.
---------------------------------------------------------------------------

    \1\ For copies of Standard Forms listed in this part, contact 
regional grants administration offices of the Office of Naval Research. 
Addresses for the offices are listed in the ``DoD Directory of Contract 
Administration Services Components,'' DLAH 4105.4, which can be obtained 
from either: Defense Logistics Agency, Publications Distribution 
Division (DASC-WDM), 8725 John J. Kingman Rd., Suite 0119, Fort Belvoir, 
VA 22060-6220; or the Defense Contract Management Command home page at 
http://www.dcmc.dcrb.dla.mil.
    \2\ See footnote 1 to this paragraph (d).
---------------------------------------------------------------------------

    (e) Timeliness of payments. Payments normally will be made within 30 
calendar days of the receipt of a recipient's request for reimbursement 
or advance by the office designated to receive the request (for further 
information about timeframes for payments, see 32 CFR 22.810(c)(3)(ii)).
    (f) Precedence of other available funds. Recipients shall disburse 
funds available from program income, rebates, refunds, contract 
settlements, audit recoveries, and interest earned on such funds before 
requesting additional cash payments.
    (g) Withholding of payments. Unless otherwise required by statute, 
grants officers shall not withhold payments for proper charges made by 
recipients during the project period for reasons other than the 
following:
    (1) A recipient has failed to comply with project objectives, the 
terms and conditions of the award, or Federal reporting requirements, in 
which case the grants officer may suspend payments in accordance with 
Sec. 34.52.

[[Page 184]]

    (2) The recipient is delinquent on a debt to the United States (see 
definitions of ``debt'' and ``delinquent debt'' in 32 CFR 22.105). In 
that case, the grants officer may, upon reasonable notice, withhold 
payments for obligations incurred after a specified date, until the debt 
is resolved.



Sec. 34.13  Cost sharing or matching.

    (a) Acceptable contributions. All contributions, including cash 
contributions and third party in-kind contributions, shall be accepted 
as part of the recipient's cost sharing or matching when such 
contributions meet all of the following criteria:
    (1) They are verifiable from the recipient's records.
    (2) They are not included as contributions for any other federally-
assisted project or program.
    (3) They are necessary and reasonable for proper and efficient 
accomplishment of project or program objectives.
    (4) They are allowable under Sec. 34.17.
    (5) They are not paid by the Federal Government under another award, 
except:
    (i) Costs that are authorized by Federal statute to be used for cost 
sharing or matching; or
    (ii) Independent research and development (IR&D) costs. In 
accordance with the for-profit cost principle in 48 CFR 31.205-18(e), 
use of IR&D as cost sharing is permitted, whether or not the Government 
decides at a later date to reimburse any of the IR&D as allowable 
indirect costs. In such cases, the IR&D must meet all of the criteria in 
paragraphs (a) (1) through (4) and (a) (6) through (8) of this section.
    (6) They are provided for in the approved budget, when approval of 
the budget is required by the DoD Component.
    (7) If they are real property or equipment, whether purchased with 
recipient's funds or donated by third parties, they must have the grants 
officer's prior approval if the contributions' value is to exceed 
depreciation or use charges during the project period (paragraphs (b)(1) 
and (b)(4)(ii) of this section discuss the limited circumstances under 
which a grants officer may approve higher values). If a DoD Component 
requires approval of a recipient's budget (see paragraph (a)(6) of this 
section), the grants officer's approval of the budget satisfies this 
prior approval requirement, for real property or equipment items listed 
in the budget.
    (8) They conform to other provisions of this part, as applicable.
    (b) Valuing and documenting contributions--(1) Valuing recipient's 
property or services of recipient's employees. Values shall be 
established in accordance with the applicable cost principles in Sec. 
34.17, which means that amounts chargeable to the project are determined 
on the basis of costs incurred. For real property or equipment used on 
the project, the cost principles authorize depreciation or use charges. 
The full value of the item may be applied when the item will be consumed 
in the performance of the award or fully depreciated by the end of the 
award. In cases where the full value of a donated capital asset is to be 
applied as cost sharing or matching, that full value shall be the lesser 
of the following:
    (i) The certified value of the remaining life of the property 
recorded in the recipient's accounting records at the time of donation; 
or
    (ii) The current fair market value. However, when there is 
sufficient justification, the grants officer may approve the use of the 
current fair market value of the donated property, even if it exceeds 
the certified value at the time of donation to the project. The grants 
officer may accept the use of any reasonable basis for determining the 
fair market value of the property.
    (2) Valuing services of others' employees. When an employer other 
than the recipient furnishes the services of an employee, those services 
shall be valued at the employee's regular rate of pay plus an amount of 
fringe benefits and overhead (at an overhead rate appropriate for the 
location where the services are performed) provided these services are 
in the same skill for which the employee is normally paid.
    (3) Valuing volunteer services. Volunteer services furnished by 
professional and technical personnel, consultants, and other skilled and 
unskilled labor may be counted as cost sharing or matching if the 
service is an integral and necessary part of an approved

[[Page 185]]

project or program. Rates for volunteer services shall be consistent 
with those paid for similar work in the recipient's organization. In 
those instances in which the required skills are not found in the 
recipient organization, rates shall be consistent with those paid for 
similar work in the labor market in which the recipient competes for the 
kind of services involved. In either case, paid fringe benefits that are 
reasonable, allowable, and allocable may be included in the valuation.
    (4) Valuing property donated by third parties. (i) Donated supplies 
may include such items as office supplies or laboratory supplies. Value 
assessed to donated supplies included in the cost sharing or matching 
share shall be reasonable and shall not exceed the fair market value of 
the property at the time of the donation.
    (ii) Normally only depreciation or use charges for equipment and 
buildings may be applied. However, the fair rental charges for land and 
the full value of equipment or other capital assets may be allowed, when 
they will be consumed in the performance of the award or fully 
depreciated by the end of the award, provided that the grants officer 
has approved the charges. When use charges are applied, values shall be 
determined in accordance with the usual accounting policies of the 
recipient, with the following qualifications:
    (A) The value of donated space shall not exceed the fair rental 
value of comparable space as established by an independent appraisal of 
comparable space and facilities in a privately-owned building in the 
same locality.
    (B) The value of loaned equipment shall not exceed its fair rental 
value.
    (5) Documentation. The following requirements pertain to the 
recipient's supporting records for in-kind contributions from third 
parties:
    (i) Volunteer services shall be documented and, to the extent 
feasible, supported by the same methods used by the recipient for its 
own employees.
    (ii) The basis for determining the valuation for personal services 
and property shall be documented.



Sec. 34.14  Program income.

    (a) DoD Components shall apply the standards in this section to the 
disposition of program income from projects financed in whole or in part 
with Federal funds.
    (b) Recipients shall have no obligation to the Government, unless 
the terms and conditions of the award provide otherwise, for program 
income earned:
    (1) From license fees and royalties for copyrighted material, 
patents, patent applications, trademarks, and inventions produced under 
an award. Note, however, that the Patent and Trademark Amendments (35 
U.S.C. Chapter 18), as implemented in Sec. 34.25, apply to inventions 
made under a research award.
    (2) After the end of the project period. If a grants officer 
anticipates that an award is likely to generate program income after the 
end of the project period, the grants officer should indicate in the 
award document whether the recipient will have any obligation to the 
Federal Government with respect to such income.
    (c) If authorized by the terms and conditions of the award, costs 
incident to the generation of program income may be deducted from gross 
income to determine program income, provided these costs have not been 
charged to the award.
    (d) Other than any program income excluded pursuant to paragraphs 
(b) and (c) of this section, program income earned during the project 
period shall be retained by the recipient and used in one or more of the 
following ways, as specified in program regulations or the terms and 
conditions of the award:
    (1) Added to funds committed to the project by the DoD Component and 
recipient and used to further eligible project or program objectives.
    (2) Used to finance the non-Federal share of the project or program.
    (3) Deducted from the total project or program allowable cost in 
determining the net allowable costs on which the Federal share of costs 
is based.
    (e) If the terms and conditions of an award authorize the 
disposition of program income as described in paragraph (d)(1) or (d)(2) 
of this section, and stipulate a limit on the amounts that may be used 
in those ways, program income in excess of the stipulated limits shall

[[Page 186]]

be used in accordance with paragraph (d)(3) of this section.
    (f) In the event that the terms and conditions of the award do not 
specify how program income is to be used, paragraph (d)(3) of this 
section shall apply automatically to all projects or programs except 
research. For awards that support research, paragraph (d)(1) of this 
section shall apply automatically unless the terms and conditions 
specify another alternative or the recipient is subject to special award 
conditions, as indicated in Sec. 34.4.
    (g) Proceeds from the sale of property that is acquired, rather than 
fabricated, under an award are not program income and shall be handled 
in accordance with the requirements of the Property Standards (see 
Sec. Sec. 34.20 through 34.25).



Sec. 34.15  Revision of budget and program plans.

    (a) The budget plan is the financial expression of the project or 
program as approved during the award process. It may include either the 
sum of the Federal and non-Federal shares, or only the Federal share, 
depending upon DoD Component requirements. It shall be related to 
performance for program evaluation purposes whenever appropriate.
    (b) Recipients are required to report deviations from budget and 
program plans, and request prior approvals for budget and program plan 
revisions, in accordance with this section.
    (c) Recipients shall immediately request, in writing, prior approval 
from the cognizant grants officer when there is reason to believe that 
within the next seven calendar days a programmatic or budgetary revision 
will be necessary for certain reasons, as follows:
    (1) The recipient always must obtain the grants officer's prior 
approval when a revision is necessary for either of the following two 
reasons (i.e., these two requirements for prior approval may never be 
waived):
    (i) A change in the scope or the objective of the project or program 
(even if there is no associated budget revision requiring prior written 
approval).
    (ii) A need for additional Federal funding.
    (2) The recipient must obtain the grants officer's prior approval 
when a revision is necessary for any of the following six reasons, 
unless the requirement for prior approval is waived in the terms and 
conditions of the award (i.e., if the award document is silent, these 
prior approvals are required):
    (i) A change in a key person specified in the application or award 
document.
    (ii) The absence for more than three months, or a 25 percent 
reduction in time devoted to the project, by the approved project 
director or principal investigator.
    (iii) The inclusion of any additional costs that require prior 
approval in accordance with applicable cost principles for Federal funds 
and recipients' cost share or match, in Sec. 34.17 and Sec. 34.13, 
respectively.
    (iv) The inclusion of pre-award costs. All such costs are incurred 
at the recipient's risk (i.e., the DoD Component is under no obligation 
to reimburse such costs if for any reason the recipient does not receive 
an award, or if the award is less than anticipated and inadequate to 
cover such costs).
    (v) A ``no-cost'' extension of the project period that does not 
require additional Federal funds and does not change the approved 
objectives or scope of the project.
    (vi) Any subaward, transfer or contracting out of substantive 
program performance under an award, unless described in the application 
and funded in the approved awards. This provision does not apply to the 
purchase of supplies, material, or general support services, except that 
procurement of equipment or other capital items of property always is 
subject to the grants officer's prior approval under Sec. 34.21(a), if 
it is to be purchased with Federal funds, or Sec. 34.13(a)(7), if it is 
to be used as cost sharing or matching.
    (3) The recipient also must obtain the grants officer's prior 
approval when a revision is necessary for either of the following 
reasons, if specifically required in the terms and conditions of the 
award document (i.e., if the award document is silent, these prior 
approvals are not required):
    (i) The transfer of funds among direct cost categories, functions 
and activities for awards in which the Federal

[[Page 187]]

share of the project exceeds $100,000 and the cumulative amount of such 
transfers exceeds or is expected to exceed 10 percent of the total 
budget as last approved by the DoD Component. No DoD Component shall 
permit a transfer that would cause any Federal appropriation or part 
thereof to be used for purposes other than those consistent with the 
original intent of the appropriation.
    (ii) For awards that provide support for both construction and 
nonconstruction work, any fund or budget transfers between the two types 
of work supported.
    (d) Within 30 calendar days from the date of receipt of the 
recipient's request for budget revisions, the grants officer shall 
review the request and notify the recipient whether the budget revisions 
have been approved. If the revision is still under consideration at the 
end of 30 calendar days, the grants officer shall inform the recipient 
in writing of the date when the recipient may expect the decision.



Sec. 34.16  Audits.

    (a) Any recipient that expends $500,000 or more in a year under 
Federal awards shall have an audit made for that year by an independent 
auditor, in accordance with paragraph (b) of this section. The audit 
generally should be made a part of the regularly scheduled, annual audit 
of the recipient's financial statements. However, it may be more 
economical in some cases to have the Federal awards separately audited, 
and a recipient may elect to do so, unless that option is precluded by 
award terms and conditions, or by Federal laws or regulations applicable 
to the program(s) under which the awards were made.
    (b) The auditor shall determine and report on whether:
    (1) The recipient has an internal control structure that provides 
reasonable assurance that it is managing Federal awards in compliance 
with Federal laws and regulations, and with the terms and conditions of 
the awards.
    (2) Based on a sampling of Federal award expenditures, the recipient 
has complied with laws, regulations, and award terms that may have a 
direct and material effect on Federal awards.
    (c) The recipient shall make the auditor's report available to DoD 
Components whose awards are affected.
    (d) The requirement for an annual independent audit is intended to 
ascertain the adequacy of the recipient's internal financial management 
systems and to curtail the unnecessary duplication and overlap that 
usually results when Federal agencies request audits of individual 
awards on a routine basis. Therefore, a grants officer:
    (1) Shall consider whether the independent audit satisfies his or 
her requirements, before requesting any additional audits; and
    (2) When requesting an additional audit, shall:
    (i) Limit the scope of such additional audit to areas not adequately 
addressed by the independent audit.
    (ii) Coordinate the audit request with the Federal agency with the 
predominant fiscal interest in the recipient, as the agency responsible 
for the scheduling and distribution of audits. If DoD has the 
predominant fiscal interest in the recipient, the Defense Contract 
Management Command (DCMC) is responsible for monitoring audits, ensuring 
resolution of audit findings, and distributing audit reports. When an 
additional audit is requested and DoD has the predominant fiscal 
interest in the recipient, DCMC shall, to the extent practicable, ensure 
that the additional audit builds upon the independent audit or other 
audits performed in accordance with this section.
    (e) There may be instances in which Federal auditors have recently 
performed audits, are performing audits, or are planning to perform 
audits, of a recipient. In these cases, the recipient and its Federal 
cognizant agency should seek to have the non-Federal, independent 
auditors work with the Federal auditors to develop a coordinated audit 
approach, to minimize duplication of audit work.
    (f) Audit costs (including a reasonable allocation of the costs of 
the audit of the recipient's financial statement, based on the relative 
benefit to the Government and the recipient) are allowable costs of DoD 
awards.

[63 FR 12204, Mar. 12, 1998, as amended at 70 FR 49477, Aug. 23, 2005]

[[Page 188]]



Sec. 34.17  Allowable costs.

    Allowability of costs shall be determined in accordance with the 
cost principles applicable to the type of entity incurring the costs, as 
follows:
    (a) For-profit organizations. Allowability of costs incurred by for-
profit organizations that are recipients of prime awards from DoD 
Components, and those that are subrecipients under prime awards to other 
organizations, is to be determined in accordance with:
    (1) The for-profit cost principles in 48 CFR parts 31 and 231 (in 
the Federal Acquisition Regulation, or FAR, and the Defense Federal 
Acquisition Regulation Supplement, or DFARS, respectively).
    (2) The supplemental information on allowability of audit costs, in 
Sec. 34.16(f).
    (b) Other types of organizations. Allowability of costs incurred by 
other types of organizations that may be subrecipients under a prime 
award to a for-profit organization is determined as follows:
    (1) Institutions of higher education. Allowability is determined in 
accordance with OMB Circular A-21, \3\ `` Cost Principles for 
Educational Institutions.''
---------------------------------------------------------------------------

    \3\ For copies of the Circular, contact the Office of Management and 
Budget, EOP Publications, 725 17th St. N.W., New Executive Office 
Building, Washington, D.C. 20503.
---------------------------------------------------------------------------

    (2) Other nonprofit organizations. Allowability is determined in 
accordance with OMB Circular A-122, \4\ ``Cost Principles for Non-Profit 
Organizations.'' Note that Attachment C of the Circular identifies 
selected nonprofit organizations for whom cost allowability is 
determined in accordance with the FAR cost principles for for-profit 
organizations.
---------------------------------------------------------------------------

    \4\ See footnote 3 to paragraph (b)(1) of this section.
---------------------------------------------------------------------------

    (3) Hospitals. Allowability is determined in accordance with the 
provisions of 45 CFR part 74, Appendix E, ``Principles for Determining 
Costs Applicable to Research and Development Under Grants and Contracts 
with Hospitals.''
    (4) Governmental organizations. Allowability for State, local, or 
federally recognized Indian tribal governments is determined in 
accordance with OMB Circular A-87, \5\ ``Cost Principles for State and 
Local Governments.''
---------------------------------------------------------------------------

    \5\ See footnote 3 to paragraph (b)(1) of this section.
---------------------------------------------------------------------------



Sec. 34.18  Fee and profit.

    In accordance with 32 CFR 22.205(b), grants and cooperative 
agreements shall not:
    (a) Provide for the payment of fee or profit to the recipient.
    (b) Be used to carry out programs where fee or profit is necessary 
to achieving program objectives.

                           Property Standards



Sec. 34.20  Purpose of property standards.

    Sections 34.21 through 34.25 set forth uniform standards for 
management, use, and disposition of property. DoD Components shall 
encourage recipients to use existing property-management systems, to the 
extent that the systems meet these minimum requirements.



Sec. 34.21  Real property and equipment.

    (a) Prior approval for acquisition with Federal funds. Recipients 
may purchase real property or equipment in whole or in part with Federal 
funds under an award only with the prior approval of the grants officer.
    (b) Title. Title to such real property or equipment shall vest in 
the recipient upon acquisition. Unless a statute specifically authorizes 
a DoD Component to vest title in the recipient without further 
obligation to the Government, and the DoD Component elects to do so, the 
title shall be a conditional title. Title shall vest in the recipient 
subject to the conditions that the recipient:
    (1) Use the real property or equipment for the authorized purposes 
of the project until funding for the project ceases, or until the 
property is no longer needed for the purposes of the project.
    (2) Not encumber the property without approval of the grants 
officer.
    (3) Use and dispose of the property in accordance with paragraphs 
(d) and (e) of this section.
    (c) Federal interest in real property or equipment offered as cost-
share. A recipient may offer the full value of real

[[Page 189]]

property or equipment that is purchased with recipient's funds or that 
is donated by a third party to meet a portion of any required cost 
sharing or matching, subject to the prior approval requirement in Sec. 
34.13(a)(7). If a recipient does so, the Government has a financial 
interest in the property, a share of the property value attributable to 
the Federal participation in the project. The property therefore shall 
be considered as if it had been acquired in part with Federal funds, and 
shall be subject to the provisions of paragraphs (b)(1), (b)(2) and 
(b)(3) of this section, and to the provisions of Sec. 34.23.
    (d) Use. If real property or equipment is acquired in whole or in 
part with Federal funds under an award, and the award provides that 
title vests conditionally in the recipient, the real property or 
equipment is subject to the following:
    (1) During the time that the real property or equipment is used on 
the project or program for which it was acquired, the recipient shall 
make it available for use on other projects or programs, if such other 
use will not interfere with the work on the project or program for which 
the real property or equipment was originally acquired. Use of the real 
property or equipment on other projects will be in the following order 
of priority:
    (i) Activities sponsored by DoD Components' grants, cooperative 
agreements, or other assistance awards;
    (ii) Activities sponsored by other Federal agencies' grants, 
cooperative agreements, or other assistance awards;
    (iii) Activities under Federal procurement contracts, or activities 
not sponsored by any Federal agency. If so used, use charges shall be 
assessed to those activities. For real property or equipment, the use 
charges shall be at rates equivalent to those for which comparable real 
property or equipment may be leased. The use charges shall be treated as 
program income.
    (2) After Federal funding for the project ceases, or when the real 
property or equipment is no longer needed for the purposes of the 
project, the recipient may use the real property or equipment for other 
projects, insofar as:
    (i) There are Federally sponsored projects for which the real 
property or equipment may be used. If the only use for the real property 
or equipment is for projects that have no Federal sponsorship, the 
recipient shall proceed with disposition of the real property or 
equipment, in accordance with paragraph (e) of this section.
    (ii) The recipient obtains written approval from the grants officer 
to do so. The grants officer shall ensure that there is a formal change 
of accountability for the real property or equipment to a currently 
funded, Federal award.
    (iii) The recipient's use of the real property or equipment for 
other projects is in the same order of priority as described in 
paragraph (d)(1) of this section.
    (e) Disposition. (1) When an item of real property or equipment is 
no longer needed for Federally sponsored projects, the recipient shall 
proceed as follows:
    (i) If the property that is no longer needed is equipment (rather 
than real property), the recipient may wish to replace it with an item 
that is needed currently for the project. In that case, the recipient 
may use the original equipment as trade-in or sell it and use the 
proceeds to offset the costs of the replacement equipment, subject to 
the approval of the responsible agency (i.e., the DoD Component or the 
Federal agency to which the DoD Component delegated responsibility for 
administering the equipment).
    (ii) The recipient may elect to retain title, without further 
obligation to the Federal Government, by compensating the Federal 
Government for that percentage of the current fair market value of the 
real property or equipment that is attributable to the Federal 
participation in the project.
    (iii) If the recipient does not elect to retain title to real 
property or equipment (see paragraph (e)(1)(ii) of this section), or 
request approval to use equipment as trade-in or offset for replacement 
equipment (see paragraph (e)(1)(i) of this section), the recipient shall 
request disposition instructions from the responsible agency.

[[Page 190]]

    (2) If a recipient requests disposition instructions, in accordance 
with paragraph (e)(1)(iii) of this section, the responsible grants 
officer shall:
    (i) For equipment (but not real property), consult with the Federal 
program manager and judge whether the age and nature of the equipment 
warrant a screening procedure, to determine whether the equipment is 
useful to a DoD Component or other Federal agency. If a screening 
procedure is warranted, the responsible agency shall determine whether 
the equipment can be used to meet a DoD Component's requirement. If no 
DoD requirement is found, the responsible agency shall report the 
availability of the equipment to the General Services Administration, to 
determine whether a requirement for the equipment exists in other 
Federal agencies.
    (ii) For either real property or equipment, issue instructions to 
the recipient for disposition of the property no later than 120 calendar 
days after the recipient's request. The grants officer's options for 
disposition are to direct the recipient to:
    (A) Transfer title to the real property or equipment to the Federal 
Government or to an eligible third party provided that, in such cases, 
the recipient shall be entitled to compensation for its attributable 
percentage of the current fair market value of the real property or 
equipment, plus any reasonable shipping or interim storage costs 
incurred. If title is transferred to the Federal Government, it shall be 
subject thereafter to provisions for Federally owned property in Sec. 
34.22.
    (B) Sell the real property or equipment and pay the Federal 
Government for that percentage of the current fair market value of the 
property that is attributable to the Federal participation in the 
project (after deducting actual and reasonable selling and fix-up 
expenses, if any, from the sale proceeds). When the recipient is 
authorized or required to sell the real property or equipment, proper 
sales procedures shall be established that provide for competition to 
the extent practicable and result in the highest possible return.
    (3) If the responsible agency fails to issue disposition 
instructions within 120 calendar days of the recipient's request, as 
described in paragraph (e)(2)(ii) of this section, the recipient shall 
dispose of the real property or equipment through the option described 
in paragraph (e)(2)(ii)(B) of this section.



Sec. 34.22  Federally owned property.

    (a) Annual inventory. Recipients shall submit annually an inventory 
listing of all Federally owned property in their custody (property 
furnished by the Federal Government, rather than acquired by the 
recipient with Federal funds under the award), to the DoD Component or 
other Federal agency responsible for administering the property under 
the award.
    (b) Use on other activities. (1) Use of federally owned property on 
other activities is permissible, if authorized by the DoD Component 
responsible for administering the award to which the property currently 
is charged.
    (2) Use on other activities will be in the following order of 
priority:
    (i) Activities sponsored by DoD Components' grants, cooperative 
agreements, or other assistance awards;
    (ii) Activities sponsored by other Federal agencies' grants, 
cooperative agreements, or other assistance awards;
    (iii) Activities under Federal procurement contracts, or activities 
not sponsored by any Federal agency. If so used, use charges shall be 
assessed to those activities. For real property or equipment, the use 
charges shall be at rates equivalent to those for which comparable real 
property or equipment may be leased. The use charges shall be treated as 
program income.
    (c) Disposition of property. Upon completion of the award, the 
recipient shall report the property to the responsible agency. The 
agency may:
    (1) Use the property to meet another Federal Government need (e.g, 
by transferring accountability for the property to another Federal award 
to the same recipient, or by directing the recipient to transfer the 
property to a Federal agency that needs the property, or to another 
recipient with a currently funded award).
    (2) Declare the property to be excess property and either:

[[Page 191]]

    (i) Report the property to the General Services Administration, in 
accordance with the Federal Property and Administrative Services Act of 
1949 (40 U.S.C. 483(b)(2)), as implemented by General Services 
Administration regulations at 41 CFR 101-47.202; or
    (ii) Dispose of the property by alternative methods, if there is 
statutory authority to do so (e.g., DoD Components are authorized by 15 
U.S.C. 3710(i), the Federal Technology Transfer Act, to donate research 
equipment to educational and nonprofit organizations for the conduct of 
technical and scientific education and research activities. Such 
donations shall be in accordance with the DoD implementation of E.O. 
12999 (3 CFR, 1996 Comp., p. 180), ``Educational Technology: Ensuring 
Opportunity for All Children in the Next Century,'' as applicable.) 
Appropriate instructions shall be issued to the recipient by the 
responsible agency.



Sec. 34.23  Property management system.

    The recipient's property management system shall include the 
following, for property that is Federally owned, and for equipment that 
is acquired in whole or in part with Federal funds, or that is used as 
matching share:
    (a) Property records shall be maintained, to include the following 
information:
    (1) A description of the property.
    (2) Manufacturer's serial number, model number, Federal stock 
number, national stock number, or any other identification number.
    (3) Source of the property, including the award number.
    (4) Whether title vests in the recipient or the Federal Government.
    (5) Acquisition date (or date received, if the property was 
furnished by the Federal Government) and cost.
    (6) Information from which one can calculate the percentage of 
Federal participation in the cost of the property (not applicable to 
property furnished by the Federal Government).
    (7) The location and condition of the property and the date the 
information was reported.
    (8) Ultimate disposition data, including date of disposal and sales 
price or the method used to determine current fair market value where a 
recipient compensates the Federal Government for its share.
    (b) Federally owned equipment shall be marked, to indicate Federal 
ownership.
    (c) A physical inventory shall be taken and the results reconciled 
with the property records at least once every two years. Any differences 
between quantities determined by the physical inspection and those shown 
in the accounting records shall be investigated to determine the causes 
of the difference. The recipient shall, in connection with the 
inventory, verify the existence, current utilization, and continued need 
for the property.
    (d) A control system shall be in effect to insure adequate 
safeguards to prevent loss, damage, or theft of the property. Any loss, 
damage, or theft of property shall be investigated and fully documented; 
if the property was owned by the Federal Government, the recipient shall 
promptly notify the Federal agency responsible for administering the 
property.
    (e) Adequate maintenance procedures shall be implemented to keep the 
property in good condition.



Sec. 34.24  Supplies.

    (a) Title shall vest in the recipient upon acquisition for supplies 
acquired with Federal funds under an award.
    (b) Upon termination or completion of the project or program, the 
recipient shall retain any unused supplies. If the inventory of unused 
supplies exceeds $5,000 in total aggregate value and the items are not 
needed for any other Federally sponsored project or program, the 
recipient shall retain the items for use on non-Federal sponsored 
activities or sell them, but shall, in either case, compensate the 
Federal Government for its share.



Sec. 34.25  Intellectual property developed or produced under awards.

    (a) Patents. Grants and cooperative agreements with:
    (1) Small business concerns shall comply with 35 U.S.C. Chapter 18, 
as implemented by 37 CFR part 401, which applies to inventions made 
under grants and cooperative agreements

[[Page 192]]

with small business concerns for research and development. 37 CFR 401.14 
provides a standard clause that is required in such grants and 
cooperative agreements in most cases, 37 CFR 401.3 specifies when the 
clause shall be included, and 37 CFR 401.5 specifies how the clause may 
be modified and tailored.
    (2) For-profit organizations other than small business concerns 
shall comply with 35 U.S.C. 210(c) and Executive Order 12591 (3 CFR, 
1987 Comp., p. 220) (which codifies a Presidential Memorandum on 
Government Patent Policy, dated February 18, 1983).
    (i) The Executive order states that, as a matter of policy, grants 
and cooperative agreements should grant to all for-profit organizations, 
regardless of size, title to patents made in whole or in part with 
Federal funds, in exchange for royalty-free use by or on behalf of the 
Government (i.e., it extends the applicability of 35 U.S.C. Chapter 18, 
to the extent permitted by law, to for-profit organizations other than 
small business concerns).
    (ii) 35 U.S.C. 210(c) states that 35 U.S.C. Chapter 18 is not 
intended to limit agencies' authority to agree to the disposition of 
rights in inventions in accordance with the Presidential memorandum 
codified by the Executive order. It also states that such grants and 
cooperative agreements shall provide for Government license rights 
required by 35 U.S.C. 202(c)(4) and march-in rights required by 35 
U.S.C. 203.
    (b) Copyright, data and software rights. Requirements concerning 
data and software rights are as follows:
    (1) The recipient may copyright any work that is subject to 
copyright and was developed under an award. DoD Components reserve a 
royalty-free, nonexclusive and irrevocable right to reproduce, publish, 
or otherwise use the work for Federal purposes, and to authorize others 
to do so.
    (2) Unless waived by the DoD Component making the award, the Federal 
Government has the right to:
    (i) Obtain, reproduce, publish or otherwise use for Federal 
Government purposes the data first produced under an award.
    (ii) Authorize others to receive, reproduce, publish, or otherwise 
use such data for Federal purposes.

                          Procurement Standards



Sec. 34.30  Purpose of procurement standards.

    Section 34.31 sets forth requirements necessary to ensure:
    (a) Compliance of recipients' procurements that use Federal funds 
with applicable Federal statutes and executive orders.
    (b) Proper stewardship of Federal funds used in recipients' 
procurements.



Sec. 34.31  Requirements.

    The following requirements pertain to recipients' procurements 
funded in whole or in part with Federal funds or with recipients' cost-
share or match:
    (a) Reasonable cost. Recipients procurement procedures shall make 
maximum practicable use of competition, or shall use other means that 
ensure reasonable cost for procured goods and services.
    (b) Pre-award review of certain procurements. Prior to awarding a 
procurement contract under an award, a recipient may be required to 
provide the grants officer administering the award with pre-award 
documents (e.g., requests for proposals, invitations for bids, or 
independent cost estimates) related to the procurement. Recipients will 
only be required to provide such documents for the grants officer's pre-
award review in exceptional cases where the grants officer judges that 
there is a compelling need to do so. In such cases, the grants officer 
must include a provision in the award that states the requirement.
    (c) Contract provisions. (1) Contracts in excess of the simplified 
acquisition threshold shall contain contractual provisions or conditions 
that allow for administrative, contractual, or legal remedies in 
instances in which a contractor violates or breaches the contract terms, 
and provide for such remedial actions as may be appropriate.
    (2) All contracts in excess of the simplified acquisition threshold 
shall contain suitable provisions for termination for default by the 
recipient or for termination due to circumstances beyond the control of 
the contractor.

[[Page 193]]

    (3) All negotiated contracts in excess of the simplified acquisition 
threshold shall include a provision permitting access of the Department 
of Defense, the Comptroller General of the United States, or any of 
their duly authorized representatives, to any books, documents, papers, 
and records of the contractor that are directly pertinent to a specific 
program, for the purpose of making audits, examinations, excerpts, and 
transcriptions.
    (4) All contracts, including those for amounts less than the 
simplified acquisition threshold, awarded by recipients and their 
contractors shall contain the procurement provisions of Appendix A to 
this part, as applicable.

                           Reports and Records



Sec. 34.40  Purpose of reports and records.

    Sections 34.41 and 34.42 prescribe requirements for monitoring and 
reporting financial and program performance and for records retention.



Sec. 34.41  Monitoring and reporting program and financial performance.

    Grants officers may use the provisions of 32 CFR 32.51 and 32.52 for 
awards to for-profit organizations, or may include equivalent technical 
and financial reporting requirements that ensure reasonable oversight of 
the expenditure of appropriated funds. As a minimum, equivalent 
requirements must include:
    (a) Periodic reports (at least annually, and no more frequently than 
quarterly) addressing both program status and business status, as 
follows:
    (1) The program portions of the reports must address progress toward 
achieving program performance goals, including current issues, problems, 
or developments.
    (2) The business portions of the reports shall provide summarized 
details on the status of resources (federal funds and non-federal cost 
sharing or matching), including an accounting of expenditures for the 
period covered by the report. The report should compare the resource 
status with any payment and expenditure schedules or plans provided in 
the original award; explain any major deviations from those schedules; 
and discuss actions that will be taken to address the deviations.
    (3) When grants officers previously authorized advance payments, 
pursuant to Sec. 34.12(a)(2), they should consult with the program 
official and consider whether program progress reported in the periodic 
report, in relation to reported expenditures, is sufficient to justify 
continued authorization of advance payments.
    (b) Unless inappropriate, a final performance report that addresses 
all major accomplishments under the award.



Sec. 34.42  Retention and access requirements for records.

    (a) This section sets forth requirements for records retention and 
access to records for awards to recipients.
    (b) Financial records, supporting documents, statistical records, 
and all other records pertinent to an award shall be retained for a 
period of three years from the date of submission of the final 
expenditure report. The only exceptions are the following:
    (1) If any litigation, claim, or audit is started before the 
expiration of the 3-year period, the records shall be retained until all 
litigation, claims or audit findings involving the records have been 
resolved and final action taken.
    (2) Records for real property and equipment acquired with Federal 
funds shall be retained for 3 years after final disposition.
    (3) When records are transferred to or maintained by the DoD 
Component that made the award, the 3-year retention requirement is not 
applicable to the recipient.
    (4) Indirect cost rate proposals, cost allocations plans, and 
related records, for which retention requirements are specified in Sec. 
34.42(g).
    (c) Copies of original records may be substituted for the original 
records if authorized by the grants officer.
    (d) The grants officer shall request that recipients transfer 
certain records to DoD Component custody when he or she determines that 
the records possess long term retention value. However, in order to 
avoid duplicate recordkeeping, a grants officer may make arrangements 
for recipients to retain any

[[Page 194]]

records that are continuously needed for joint use.
    (e) DoD Components, the Inspector General, Comptroller General of 
the United States, or any of their duly authorized representatives, have 
the right of timely and unrestricted access to any books, documents, 
papers, or other records of recipients that are pertinent to the awards, 
in order to make audits, examinations, excerpts, transcripts and copies 
of such documents. This right also includes timely and reasonable access 
to a recipient's personnel for the purpose of interview and discussion 
related to such documents. The rights of access in this paragraph are 
not limited to the required retention period, but shall last as long as 
records are retained.
    (f) Unless required by statute, no DoD Component shall place 
restrictions on recipients that limit public access to the records of 
recipients that are pertinent to an award, except when the DoD Component 
can demonstrate that such records shall be kept confidential and would 
have been exempted from disclosure pursuant to the Freedom of 
Information Act (5 U.S.C. 552) if the records had belonged to the DoD 
Component making the award.
    (g) Indirect cost proposals, cost allocation plans, and other cost 
accounting documents (such as documents related to computer usage 
chargeback rates), along with their supporting records, shall be 
retained for a 3-year period, as follows:
    (1) If a recipient is required to submit an indirect-cost proposal, 
cost allocation plan, or other computation to the cognizant Federal 
agency, for purposes of negotiating an indirect cost rate or other 
rates, the 3-year retention period starts on the date of the submission. 
This retention requirement also applies to subrecipients submitting 
similar documents for negotiation to the recipient.
    (2) If the recipient or the subrecipient is not required to submit 
the documents or supporting records for negotiating an indirect cost 
rate or other rates, the 3-year retention period for the documents and 
records starts at the end of the fiscal year (or other accounting 
period) covered by the proposal, plan, or other computation.
    (h) If the information described in this section is maintained on a 
computer, recipients shall retain the computer data on a reliable medium 
for the time periods prescribed. Recipients may transfer computer data 
in machine readable form from one reliable computer medium to another. 
Recipients' computer data retention and transfer procedures shall 
maintain the integrity, reliability, and security of the original 
computer data. Recipients shall also maintain an audit trail describing 
the data transfer. For the record retention time periods prescribed in 
this section, recipients shall not destroy, discard, delete, or write 
over such computer data.

                       Termination and Enforcement



Sec. 34.50  Purpose of termination and enforcement.

    Sections 34.51 through 34.53 set forth uniform procedures for 
suspension, termination, enforcement, and disputes.



Sec. 34.51  Termination.

    (a) Awards may be terminated in whole or in part only in accordance 
with one of the following:
    (1) By the grants officer, if a recipient materially fails to comply 
with the terms and conditions of an award.
    (2) By the grants officer with the consent of the recipient, in 
which case the two parties shall agree upon the termination conditions, 
including the effective date and, in the case of partial termination, 
the portion to be terminated.
    (3) By the recipient upon sending to the grants officer written 
notification setting forth the reasons for such termination, the 
effective date, and, in the case of partial termination, the portion to 
be terminated. The recipient must provide such notice at least 30 
calendar days prior to the effective date of the termination. However, 
if the grants officer determines in the case of partial termination that 
the reduced or modified portion of the award will not accomplish the 
purposes for which the award was made, he or she may terminate the award 
in its entirety.

[[Page 195]]

    (b) If costs are allowed under an award, the responsibilities of the 
recipient referred to in Sec. 34.61(b), including those for property 
management as applicable, shall be considered in the termination of the 
award, and provision shall be made for continuing responsibilities of 
the recipient after termination, as appropriate.



Sec. 34.52  Enforcement.

    (a) Remedies for noncompliance. If a recipient materially fails to 
comply with the terms and conditions of an award, whether stated in a 
Federal statute, regulation, assurance, application, or notice of award, 
the grants officer may, in addition to imposing any of the special 
conditions outlined in Sec. 34.4, take one or more of the following 
actions, as appropriate in the circumstances:
    (1) Temporarily withhold cash payments pending correction of the 
deficiency by the recipient or more severe enforcement action by the 
grants officer and DoD Component.
    (2) Disallow (that is, deny both use of funds and any applicable 
matching credit for) all or part of the cost of the activity or action 
not in compliance.
    (3) Wholly or partly suspend or terminate the current award. In the 
case of termination, the recipient will be reimbursed for allowable 
costs incurred prior to termination, with the possible exception of 
those for activities and actions described in paragraph (a)(2) of this 
section.
    (4) Withhold further awards for the project or program.
    (5) Take other remedies that may be legally available.
    (b) Hearings and appeals. In taking an enforcement action, the 
grants officer and DoD Component shall provide the recipient an 
opportunity for hearing, appeal, or other administrative proceeding to 
which the recipient is entitled under any statute or regulation 
applicable to the action involved (see Sec. 34.53 and 32 CFR 22.815).
    (c) Effects of suspension and termination. Costs of a recipient 
resulting from obligations incurred by the recipient during a suspension 
or after termination of an award are not allowable unless the grants 
officer expressly authorizes them in the notice of suspension or 
termination or subsequently. Other recipient costs during suspension or 
after termination which are necessary and not reasonably avoidable are 
allowable if the costs:
    (1) Result from obligations which were properly incurred by the 
recipient before the effective date of suspension or termination, are 
not in anticipation of it, and in the case of a termination, are 
noncancellable; and
    (2) Would be allowable if the award were not suspended or expired 
normally at the end of the funding period in which the termination takes 
effect.
    (d) Relationship to debarment and suspension. The enforcement 
remedies identified in this section, including suspension and 
termination, do not preclude a recipient from being subject to debarment 
and suspension under 2 CFR part 1125.

[63 FR 12188, Mar. 12, 1998, as amended at 72 FR 34998, June 26, 2007]



Sec. 34.53  Disputes and appeals.

    Recipients have the right to appeal certain decisions by grants 
officers. In resolving such issues, DoD policy is to use Alternative 
Dispute Resolution (ADR) techniques, to the maximum practicable extent. 
See 32 CFR 22.815 for standards for DoD Components' dispute resolution 
and formal, administrative appeal procedures.



                 Subpart C_After-the-Award Requirements



Sec. 34.60  Purpose.

    Sections 34.61 through 34.63 contain procedures for closeout and for 
subsequent disallowances and adjustments.



Sec. 34.61  Closeout procedures.

    (a) The cognizant grants officer shall, at least six months prior to 
the expiration date of the award, contact the recipient to establish:
    (1) All steps needed to close out the award, including submission of 
financial and performance reports, liquidation of obligations, and 
decisions on property disposition.
    (2) A schedule for completing those steps.
    (b) The following provisions shall apply to the closeout:

[[Page 196]]

    (1) The responsible grants officer and payment office shall expedite 
completion of steps needed to close out awards and make prompt, final 
payments to a recipient for allowable reimbursable costs under the award 
being closed out.
    (2) The recipient shall promptly refund any unobligated balances of 
cash that the DoD Component has advanced or paid and that is not 
authorized to be retained by the recipient for use in other projects. 
For unreturned amounts that become delinquent debts, see 32 CFR 22.820.
    (3) When authorized by the terms and conditions of the award, the 
grants officer shall make a settlement for any upward or downward 
adjustments to the Federal share of costs after closeout reports are 
received.
    (4) The recipient shall account for any real property and personal 
property acquired with Federal funds or received from the Federal 
Government in accordance with Sec. Sec. 34.21 through 34.25.
    (5) If a final audit is required and has not been performed prior to 
the closeout of an award, the DoD Component shall retain the right to 
recover an appropriate amount after fully considering the 
recommendations on disallowed costs resulting from the final audit.



Sec. 34.62  Subsequent adjustments and continuing responsibilities.

    (a) The closeout of an award does not affect any of the following:
    (1) The right of the Department of Defense to disallow costs and 
recover funds on the basis of a later audit or other review.
    (2) The obligation of the recipient to return any funds due as a 
result of later refunds, corrections, or other transactions.
    (3) Audit requirements in Sec. 34.16.
    (4) Property management requirements in Sec. Sec. 34.21 through 
34.25.
    (5) Records retention as required in Sec. 34.42.
    (b) After closeout of an award, a relationship created under an 
award may be modified or ended in whole or in part with the consent of 
the grants officer and the recipient, provided the responsibilities of 
the recipient referred to in Sec. 34.61(a), including those for 
property management as applicable, are considered and provisions made 
for continuing responsibilities of the recipient, as appropriate.



Sec. 34.63  Collection of amounts due.

    Any funds paid to a recipient in excess of the amount to which the 
recipient is finally determined to be entitled under the terms and 
conditions of the award constitute a debt to the Federal Government. 
Procedures for issuing the demand for payment and pursuing 
administrative offset and other remedies are described in 32 CFR 22.820.



             Sec. Appendix A to Part 34--Contract Provisions

    All contracts awarded by a recipient, including those for amounts 
less than the simplified acquisition threshold, shall contain the 
following provisions as applicable:
    1. Equal Employment Opportunity--All contracts shall contain a 
provision requiring compliance with E.O. 11246 (3 CFR, 1964-1965 Comp., 
p. 339), ``Equal Employment Opportunity,'' as amended by E.O. 11375 (3 
CFR, 1966-1970 Comp., p. 684), ``Amending Executive Order 11246 Relating 
to Equal Employment Opportunity,'' and as supplemented by regulations at 
41 CFR chapter 60, ``Office of Federal Contract Compliance Programs, 
Equal Employment Opportunity, Department of Labor.''
    2. Copeland ``Anti-Kickback'' Act (18 U.S.C. 874 and 40 U.S.C. 
276c)--All contracts and subawards in excess of $2000 for construction 
or repair awarded by recipients and subrecipients shall include a 
provision for compliance with the Copeland ``Anti-Kickback'' Act (18 
U.S.C. 874), as supplemented by Department of Labor regulations (29 CFR 
part 3, ``Contractors and Subcontractors on Public Building or Public 
Work Financed in Whole or in Part by Loans or Grants from the United 
States''). The Act provides that each contractor or subrecipient shall 
be prohibited from inducing, by any means, any person employed in the 
construction, completion, or repair of public work, to give up any part 
of the compensation to which he is otherwise entitled. The recipient 
shall report all suspected or reported violations to the responsible DoD 
Component.
    3. Contract Work Hours and Safety Standards Act (40 U.S.C. 327-
333)--Where applicable, all contracts awarded by recipients in excess of 
$100,000 for construction and other purposes that involve the employment 
of mechanics or laborers shall include a provision for compliance with 
Sections 102 and 107 of the Contract Work Hours and Safety Standards Act 
(40 U.S.C. 327-333), as supplemented by Department of Labor regulations 
(29 CFR part

[[Page 197]]

5). Under Section 102 of the Act, each contractor shall be required to 
compute the wages of every mechanic and laborer on the basis of a 
standard work week of 40 hours. Work in excess of the standard work week 
is permissible provided that the worker is compensated at a rate of not 
less than 1\1/2\ times the basic rate of pay for all hours worked in 
excess of 40 hours in the work week. Section 107 of the Act is 
applicable to construction work and provides that no laborer or mechanic 
shall be required to work in surroundings or under working conditions 
which are unsanitary, hazardous or dangerous. These requirements do not 
apply to the purchases of supplies or materials or articles ordinarily 
available on the open market, or contracts for transportation or 
transmission of intelligence.
    4. Rights to Inventions Made Under a Contract, Grant or Cooperative 
Agreement--Contracts, grants, or cooperative agreements for the 
performance of experimental, developmental, or research work shall 
provide for the rights of the Federal Government and the recipient in 
any resulting invention in accordance with 37 CFR part 401, ``Rights to 
Inventions Made by Nonprofit Organizations and Small Business Firms 
Under Government Grants, Contracts and Cooperative Agreements.''
    5. Clean Air Act (42 U.S.C. 7401 et seq.) and the Federal Water 
Pollution Control Act (33 U.S.C. 1251 et seq.), as amended--Contracts 
and subawards of amounts in excess of $100,000 shall contain a provision 
that requires the recipient to agree to comply with all applicable 
standards, orders or regulations issued pursuant to the Clean Air Act 
(42 U.S.C. 7401 et seq.) and the Federal Water Pollution Control Act as 
amended (33 U.S.C. 1251 et seq.). Violations shall be reported to the 
responsible DoD Component and the Regional Office of the Environmental 
Protection Agency (EPA).
    6. Byrd Anti-Lobbying Amendment (31 U.S.C. 1352)--Contractors who 
apply or bid for an award of $100,000 or more shall file the required 
certification. Each tier certifies to the tier above that it will not 
and has not used Federal appropriated funds to pay any person or 
organization for influencing or attempting to influence an officer or 
employee of any agency, a member of Congress, officer or employee of 
Congress, or an employee of a member of Congress in connection with 
obtaining any Federal contract, grant or any other award covered by 31 
U.S.C. 1352. Each tier shall also disclose any lobbying with non-Federal 
funds that takes place in connection with obtaining any Federal award. 
Such disclosures are forwarded from tier to tier up to the recipient.
    7. Debarment and Suspension (E.O.s 12549 and 12689)--A contract 
award with an amount expected to equal or exceed $25,000 and certain 
other contract awards (see 2 CFR 1125.220, which implements OMB guidance 
at 2 CFR 180.220) shall not be made to parties listed on the 
Governmentwide Excluded Parties List System, in accordance with the DoD 
adoption at 2 CFR part 1125 of the OMB guidance implementing E.O.s 12549 
(3 CFR, 1986 Comp., p. 189) and 12689 (3 CFR, 1989 Comp., p. 235), 
``Debarment and Suspension.'' The Excluded Parties List System 
accessible on the Internet at www.epls.gov contains the names of parties 
debarred, suspended, or otherwise excluded by agencies, as well as 
parties declared ineligible under statutory or regulatory authority 
other than E.O. 12549.

[63 FR 12204, Mar. 12, 1998, as amended at 70 FR 49477, Aug. 23, 2005; 
72 FR 34998, June 26, 2007]



PART 37_TECHNOLOGY INVESTMENT AGREEMENTS--Table of Contents



                            Subpart A_General

Sec.
37.100 What does this part do?
37.105 Does this part cover all types of instruments that 10 U.S.C. 2371 
          authorizes?
37.110 What type of instruments are technology investment agreements 
          (TIAs)?
37.115 For what purposes are TIAs used?
37.120 Can my organization award or administer TIAs?
37.125 May I award or administer TIAs if I am authorized to award or 
          administer other assistance instruments?
37.130 Which other parts of the DoD Grant and Agreement Regulations 
          apply to TIAs?

      Subpart B_Appropriate Use of Technology Investment Agreements

37.200 What are my responsibilities as an agreements officer for 
          ensuring the appropriate use of TIAs?
37.205 What judgments must I make about the nature of the project?
37.210 To what types of recipients may I award a TIA?
37.215 What must I conclude about the recipient's commitment and cost 
          sharing?
37.220 How involved should the Government program official be in the 
          project?
37.225 What judgment must I make about the benefits of using a TIA?
37.230 May I use a TIA if a participant is to receive fee or profit?

  Subpart C_Expenditure-Based and Fixed-Support Technology Investment 
                               Agreements

37.300 What is the difference between an expenditure-based and fixed-
          support TIA?
37.305 When may I use a fixed-support TIA?

[[Page 198]]

37.310 When would I use an expenditure-based TIA?
37.315 What are the advantages of using a fixed-support TIA?

                       Subpart D_Competition Phase

37.400 Must I use competitive procedures to award TIAs?
37.405 What must my announcement or solicitation include?
37.410 Should my announcement or solicitation state that TIAs may be 
          awarded?
37.415 Should I address cost sharing in the announcement or 
          solicitation?
37.420 Should I tell proposers that we will not disclose information 
          that they submit?

                 Subpart E_Pre-Award Business Evaluation

37.500 What must my pre-award business evaluation address?
37.505 What resources are available to assist me during the pre-award 
          business evaluation?

                         Recipient Qualification

37.510 What are my responsibilities for determining that a recipient is 
          qualified?
37.515 Must I do anything additional to determine the qualification of a 
          consortium?

                              Total Funding

37.520 What is my responsibility for determining that the total project 
          funding is reasonable?

                              Cost Sharing

37.525 What is my responsibility for determining the value and 
          reasonableness of the recipient's cost sharing contribution?
37.530 What criteria do I use in deciding whether to accept a 
          recipient's cost sharing?
37.535 How do I value cost sharing related to real property or 
          equipment?
37.540 May I accept fully depreciated real property or equipment as cost 
          sharing?
37.545 May I accept costs of prior research as cost sharing?
37.550 May I accept intellectual property as cost sharing?
37.555 How do I value a recipient's other contributions?

               Fixed-Support or Expenditure-Based Approach

37.560 Must I be able to estimate project expenditures precisely in 
          order to justify use of a fixed-support TIA?
37.565 May I use a hybrid instrument that provides fixed support for 
          only a portion of a project?

               Accounting, Payments, and Recovery of Funds

37.570 What must I do if a CAS-covered participant accounts differently 
          for its own and the Federal Government shares of project 
          costs?
37.575 What are my responsibilities for determining milestone payment 
          amounts?
37.580 What is recovery of funds and when should I consider including it 
          in my TIA?

 Subpart F_Award Terms Affecting Participants' Financial, Property, and 
                           Purchasing Systems

37.600 Which administrative matters are covered in this subpart?
37.605 What is the general policy on participants' financial, property, 
          and purchasing systems?
37.610 Must I tell participants what requirements they are to flow down 
          for subrecipients' systems?

                            Financial Matters

37.615 What standards do I include for financial systems of for-profit 
          firms?
37.620 What financial management standards do I include for nonprofit 
          participants?
37.625 What cost principles or standards do I require for for-profit 
          participants?
37.630 Must I require a for-profit firm to use Federally approved 
          indirect cost rates?
37.635 What cost principles do I require a nonprofit participant to use?
37.640 Must I include a provision for audits of for-profit participants?
37.645 Must I require periodic system audits, as well as award-specific 
          audits, of for-profit participants?
37.650 Who must I identify as the auditor for a for-profit participant?
37.655 Must I specify the frequency of IPAs' periodic audits of for-
          profit participants?
37.660 What else must I specify concerning audits of for-profit 
          participants by IPAs?
37.665 Must I require nonprofit participants to have periodic audits?
37.670 Must I require participants to flow down audit requirements to 
          subrecipients?
37.675 Must I report when I enter into a TIA allowing a for-profit firm 
          to use an IPA?
37.680 Must I require a participant to report when it enters into a 
          subaward allowing a for-profit firm to use an IPA?

                                Property

37.685 May I allow for-profit firms to purchase real property and 
          equipment with project funds?
37.690 How are nonprofit participants to manage real property and 
          equipment?
37.695 What are the requirements for Federally owned property?

[[Page 199]]

37.700 What are the requirements for supplies?

                               Purchasing

37.705 What standards do I include for purchasing systems of for-profit 
          firms?
37.710 What standards do I include for purchasing systems of nonprofit 
          organizations?

      Subpart G_Award Terms Related to Other Administrative Matters

37.800 Which administrative matters are covered in this subpart?

                                Payments

37.805 If I am awarding a TIA, what payment methods may I specify?
37.810 What should my TIA's provisions specify for the method and 
          frequency of recipients' payment requests?
37.815 May the Government withhold payments?
37.820 Must I require a recipient to return interest on advance 
          payments?

                  Revision of Budget and Program Plans

37.825 Must I require the recipient to obtain prior approval from the 
          Government for changes in plans?
37.830 May I let a recipient charge pre-award costs to the agreement?

                             Program Income

37.835 What requirements do I include for program income?

                          Intellectual Property

37.840 What general approach should I take in negotiating data and 
          patent rights?
37.845 What data rights should I obtain?
37.850 Should I require recipients to mark data?
37.855 How should I handle protected data?
37.860 What rights should I obtain for inventions?
37.865 Should my patent provision include march-in rights?
37.870 Should I require recipients to mark documents related to 
          inventions?
37.875 Should my TIA include a provision concerning foreign access to 
          technology?

                  Financial and Programmatic Reporting

37.880 What requirements must I include for periodic reports on program 
          and business status?
37.885 May I require updated program plans?
37.890 Must I require a final performance report?
37.895 How is the final performance report to be sent to the Defense 
          Technical Information Center?
37.900 May I tell a participant that information in financial and 
          programmatic reports will not be publicly disclosed?
37.905 Must I make receipt of the final performance report a condition 
          for final payment?

                Records Retention and Access Requirements

37.910 How long must I require participants to keep records related to 
          the TIA?
37.915 What requirement for access to a for-profit participant's records 
          do I include in a TIA?
37.920 What requirement for access to a nonprofit participant's records 
          do I include in a TIA?

                       Termination and Enforcement

37.925 What requirements do I include for termination and enforcement?

                      Subpart H_Executing the Award

37.1000 What are my responsibilities at the time of award?

                           The Award Document

37.1005 What are my general responsibilities concerning the award 
          document?
37.1010 What substantive issues should my award document address?
37.1015 How do I decide who must sign the TIA if the recipient is an 
          unincorporated consortium?

                  Reporting Information About the Award

37.1020 What must I document in my award file?
37.1025 Must I report information to the Defense Assistance Awards Data 
          System?
37.1030 What information must I report to the Defense Technical 
          Information Center?
37.1035 How do I know if my TIA uses the 10 U.S.C. 2371 authority and I 
          must report additional data under Sec. 37.1030(b)?
37.1040 When and how do I report information required by Sec. 37.1035?

                Distributing Copies of the Award Document

37.1045 To whom must I send copies of the award document?

                   Subpart I_Post-Award Administration

37.1100 What are my responsibilities generally as an administrative 
          agreements officer for a TIA?
37.1105 What additional duties do I have as the administrator of a TIA 
          with advance payments or payable milestones?
37.1110 What other responsibilities related to payments do I have?

[[Page 200]]

37.1115 What are my responsibilities related to participants' single 
          audits?
37.1120 When and how may I request an award-specific audit?

            Subpart J_Definitions of Terms Used in this Part

37.1205 Advance.
37.1210 Advanced research.
37.1215 Agreements officer.
37.1220 Applied research.
37.1225 Articles of collaboration.
37.1230 Assistance.
37.1235 Award-specific audit.
37.1240 Basic research.
37.1245 Cash contributions.
37.1250 Commercial firm.
37.1255 Consortium.
37.1260 Cooperative agreement.
37.1265 Cost sharing.
37.1270 Data.
37.1275 DoD Component.
37.1280 Equipment.
37.1285 Expenditure-based award.
37.1290 Expenditures or outlays.
37.1295 Grant.
37.1300 In-kind contributions.
37.1305 Institution of higher education.
37.1310 Intellectual property.
37.1315 Nonprofit organization.
37.1320 Participant.
37.1325 Periodic audit.
37.1330 Procurement contract.
37.1335 Program income.
37.1340 Program official.
37.1345 Property.
37.1350 Real property.
37.1355 Recipient.
37.1360 Research.
37.1365 Supplies.
37.1370 Termination.
37.1375 Technology investment agreements.

Appendix A to Part 37--What Is the Civil-Military Integration Policy 
          That Is the Basis for Technology Investment Agreements?
Appendix B to Part 37--What Type of Instrument Is a TIA and What 
          Statutory Authorities Does It Use?
Appendix C to Part 37--What Is the Desired Coverage for Periodic Audits 
          of For-Profit Participants To Be Audited by IPAs?
Appendix D to Part 37--What Common National Policy Requirements May 
          Apply and Need To Be Included in TIAs?
Appendix E to Part 37--What Provisions May a Participant Need To Include 
          When Purchasing Goods or Services Under a TIA?

    Authority: 5 U.S.C. 301 and 10 U.S.C. 113.

    Source: 68 FR 47160, Aug. 7, 2003, unless otherwise noted.



                            Subpart A_General



Sec. 37.100  What does this part do?

    This part establishes uniform policies and procedures for the DoD 
Components' award and administration of technology investment agreements 
(TIAs).



Sec. 37.105  Does this part cover all types of instruments that 10
U.S.C. 2371 authorizes?

    No, this part covers only TIAs, some of which use the authority of 
10 U.S.C. 2371 (see appendix B to this part). This part does not cover 
assistance instruments other than TIAs that use the authority of 10 
U.S.C. 2371. It also does not cover acquisition agreements for prototype 
projects that use 10 U.S.C. 2371 authority augmented by the authority in 
section 845 of Public Law 103-160, as amended.



Sec. 37.110  What type of instruments are technology investment 
agreements (TIAs)?

    TIAs are assistance instruments used to stimulate or support 
research. As discussed in appendix B to this part, a TIA may be either a 
kind of cooperative agreement or a type of assistance transaction other 
than a grant or cooperative agreement.



Sec. 37.115  For what purposes are TIAs used?

    The ultimate goal for using TIAs, like other assistance instruments 
used in defense research programs, is to foster the best technologies 
for future defense needs. TIAs differ from and complement other 
assistance instruments available to agreements officers, in that TIAs 
address the goal by fostering civil-military integration (see appendix A 
to this part). TIAs therefore are designed to:
    (a) Reduce barriers to commercial firms' participation in defense 
research, to give the Department of Defense (DoD) access to the broadest 
possible technology and industrial base.
    (b) Promote new relationships among performers in both the defense 
and commercial sectors of that technology and industrial base.

[[Page 201]]

    (c) Stimulate performers to develop, use, and disseminate improved 
practices.



Sec. 37.120  Can my organization award or administer TIAs?

    Your office may award or administer TIAs if it has a delegation of 
the authorities in 10 U.S.C. 2371, as well as 10 U.S.C. 2358. If your 
office is in a Military Department, it must have a delegation of the 
authority of the Secretary of that Military Department under those 
statutes. If your office is in a Defense Agency, it must have a 
delegation of the authority of the Secretary of Defense under 10 U.S.C. 
2358 and 2371. Your office needs those authorities to be able to:
    (a) Enter into cooperative agreements to stimulate or support 
research, using the authority of 10 U.S.C. 2358, as well as assistance 
transactions other than grants or cooperative agreements, using the 
authority of 10 U.S.C. 2371. The reason that both authorities are needed 
is that a TIA, depending upon its patent rights provision (see appendix 
B to this part), may be either a cooperative agreement or a type of 
assistance transaction other than a grant or cooperative agreement.
    (b) Recover funds from a recipient and reuse the funds for program 
purposes, as authorized by 10 U.S.C. 2371 and described in Sec. 37.580.
    (c) Exempt certain information received from proposers from 
disclosure under the Freedom of Information Act, as authorized by 10 
U.S.C. 2371 and described in Sec. 37.420.



Sec. 37.125  May I award or administer TIAs if I am authorized to
award or administer other assistance instruments?

    (a) You must have specific authorization to award or administer 
TIAs. Being authorized to award or administer grants and cooperative 
agreements is not sufficient; a grants officer is an agreements officer 
only if the statement of appointment also authorizes the award or 
administration of TIAs.
    (b) You receive that authorization in the same way that you receive 
authority to award other assistance instruments, as described in 32 CFR 
21.425 and 21.435 through 21.445.



Sec. 37.130  Which other parts of the DoD Grant and Agreement 
Regulations apply to TIAs?

    (a) TIAs are explicitly covered in this part and part 21 of the DoD 
Grant and Agreement Regulations (DoDGARs). Part 21 (32 CFR part 21) 
addresses deviation procedures and other general matters that relate to 
the DoDGARs, to DoD Components' authorities and responsibilities for 
assistance instruments, and to requirements for reporting information 
about assistance awards.
    (b) Two additional parts of the DoDGARs apply to TIAs, although they 
do not mention TIAs explicitly. They are:
    (1) Part 1125 (2 CFR part 1125) on nonprocurement debarment and 
suspension, which applies because it covers nonprocurement instruments 
in general;
    (2) Part 26 (32 CFR part 26), on drug-free workplace requirements, 
which applies because it covers financial assistance in general; and
    (3) Part 28 (32 CFR part 28), on lobbying restrictions, which 
applies by law (31 U.S.C. 1352) to TIAs that are cooperative agreements 
and as a matter of DoD policy to all other TIAs.
    (c) Portions of four other DoDGARs parts apply to TIAs only as cited 
by reference in this part. Those parts of the DoDGARs are parts 22, 32, 
33, and 34 (32 CFR parts 22, 32, 33, and 34).

[68 FR 47160, Aug. 7, 2003, as amended at 70 FR 49477, Aug. 23, 2005; 72 
FR 34999, June 26, 2007]



      Subpart B_Appropriate Use of Technology Investment Agreements



Sec. 37.200  What are my responsibilities as an agreements officer 
for ensuring the appropriate use of TIAs?

    You must ensure that you use TIAs only in appropriate situations. To 
do so, you must conclude that the use of a TIA is justified based on:
    (a) The nature of the project, as discussed in Sec. 37.205;
    (b) The type of recipient, addressed in Sec. 37.210;

[[Page 202]]

    (c) The recipient's commitment and cost sharing, as described in 
Sec. 37.215;
    (d) The degree of involvement of the Government program official, as 
discussed in Sec. 37.220; and
    (e) Your judgment that the use of a TIA could benefit defense 
research objectives in ways that likely would not happen if another type 
of assistance instrument were used. Your answers to the four questions 
in Sec. 37.225 should be the basis for your judgment.



Sec. 37.205  What judgments must I make about the nature of the project?

    You must:
    (a) Conclude that the principal purpose of the project is 
stimulation or support of research (i.e., assistance), rather than 
acquiring goods or services for the benefit of the Government (i.e., 
acquisition);
    (b) Decide that the basic, applied, or advanced research project is 
relevant to the policy objective of civil-military integration (see 
appendix A of this part); and
    (c) Ensure that, to the maximum extent practicable, any TIA that 
uses the authority of 10 U.S.C. 2371 (see appendix B of this part) does 
not support research that duplicates other research being conducted 
under existing programs carried out by the Department of Defense. This 
is a statutory requirement of 10 U.S.C. 2371.
    (d) When your TIA is a type of assistance transaction other than a 
grant or cooperative agreement, satisfy the condition in 10 U.S.C. 2371 
to judge that the use of a standard grant or cooperative agreement for 
the research project is not feasible or appropriate. As discussed in 
appendix B to this part:
    (1) This situation arises if your TIA includes a patent provision 
that is less restrictive than is possible under the Bayh-Dole statute 
(because the patent provision is what distinguishes a TIA that is a 
cooperative agreement from a TIA that is an assistance transaction other 
than a grant or cooperative agreement).
    (2) You satisfy the requirement to judge that a standard cooperative 
agreement is not feasible or appropriate when you judge that execution 
of the research project warrants a less restrictive patent provision 
than is possible under Bayh-Dole.



Sec. 37.210  To what types of recipients may I award a TIA?

    (a) As a matter of DoD policy, you may award a TIA only when one or 
more for-profit firms are to be involved either in the:
    (1) Performance of the research project; or
    (2) The commercial application of the research results. In that 
case, you must determine that the nonprofit performer has at least a 
tentative agreement with specific for-profit partners who plan on being 
involved when there are results to transition. You should review the 
agreement between the nonprofit and for-profit partners, because the 
for-profit partners' involvement is the basis for using a TIA rather 
than another type of assistance instrument.
    (b) Consistent with the goals of civil-military integration, TIAs 
are most appropriate when one or more commercial firms (as defined at 
Sec. 37.1250) are to be involved in the project.
    (c) You are encouraged to make awards to consortia (a consortium may 
include one or more for-profit firms, as well as State or local 
government agencies, institutions of higher education, or other 
nonprofit organizations). The reasons are that:
    (1) When multiple performers are participating as a consortium, they 
are more equal partners in the research performance than usually is the 
case with a prime recipient and subawards. All of them therefore are 
more likely to be directly involved in developing and revising plans for 
the research effort, reviewing technical progress, and overseeing 
financial and other business matters. That feature makes consortia well 
suited to building new relationships among performers in the defense and 
commercial sectors of the technology and industrial base, a principal 
objective for the use of TIAs.
    (2) In addition, interactions among the participants within a 
consortium potentially provide a self-governance mechanism. The 
potential for additional self-governance is particularly

[[Page 203]]

good when a consortium includes multiple for-profit participants that 
normally are competitors within an industry.
    (d) TIAs also may be used for carrying out research performed by 
single firms or multiple performers in prime award-subaward 
relationships. In awarding TIAs in those cases, however, you should 
consider providing for greater involvement of the program official or a 
way to increase self-governance (e.g., a prime award with multiple 
subawards arranged so as to give the subrecipients more insight into and 
authority and responsibility for programmatic and business aspects of 
the overall project than they usually have).



Sec. 37.215  What must I conclude about the recipient's commitment 
and cost sharing?

    (a) You should judge that the recipient has a strong commitment to 
and self-interest in the success of the project. You should find 
evidence of that commitment and interest in the proposal, in the 
recipient's management plan, or through other means. A recipient's self-
interest might be driven, for example, by a research project's potential 
for fostering technology to be incorporated into products and processes 
for the commercial marketplace.
    (b) You must seek cost sharing. The purpose of cost share is to 
ensure that the recipient incurs real risk that gives it a vested 
interest in the project's success; the willingness to commit to 
meaningful cost sharing therefore is one good indicator of a recipient's 
self-interest. The requirements are that:
    (1) To the maximum extent practicable, the non-Federal parties 
carrying out a research project under a TIA are to provide at least half 
of the costs of the project. Obtaining this cost sharing, to the maximum 
extent practicable, is a statutory condition for any TIA under the 
authority of 10 U.S.C. 2371, and is a matter of DoD policy for all other 
TIAs.
    (2) The parties must provide the cost sharing from non-Federal 
resources that are available to them unless there is specific authority 
to use other Federal resources for that purpose (see Sec. 37.530(f)).
    (c) You may consider whether cost sharing is impracticable in a 
given case, unless there is a non-waivable, statutory requirement for 
cost sharing that applies to the particular program under which the 
award is to be made. Before deciding that cost sharing is impracticable, 
you should carefully consider whether there are other factors that 
demonstrate the recipient's self-interest in the success of the current 
project.



Sec. 37.220  How involved should the Government program official be
in the project?

    (a) TIAs are used to carry out cooperative relationships between the 
Federal Government and the recipient, which requires a greater level of 
involvement of the Government program official in the execution of the 
research than the usual oversight of a research grant or procurement 
contract. For example, program officials will participate in recipients' 
periodic reviews of research progress and will be substantially involved 
with the recipients in the resulting revisions of plans for future 
effort. That increased programmatic involvement before and during 
program execution with a TIA can reduce the need for some Federal 
financial requirements that are problematic for commercial firms.
    (b) Some aspects of their involvement require program officials to 
have greater knowledge about and participation in business matters that 
traditionally would be your exclusive responsibility as the agreements 
officer. TIAs therefore also require closer cooperation between program 
officials and you, as the one who decides business matters.



Sec. 37.225  What judgment must I make about the benefits of using a TIA?

    Before deciding that a TIA is appropriate, you also must judge that 
using a TIA could benefit defense research objectives in ways that 
likely would not happen if another type of assistance instrument were 
used (e.g., a cooperative agreement subject to all of the requirements 
of 32 CFR part 34). You, in conjunction with Government program 
officials, must consider the questions in paragraphs (a) through (d)

[[Page 204]]

of this section, to help identify the benefits that may justify using a 
TIA and reducing some of the usual requirements. In accordance with 
Sec. 37.1030, you will report your answers to these questions to help 
the DoD measure the Department-wide benefits of using TIAs and meet 
requirements to report to the Congress. Note that you must give full 
concise answers only to questions that relate to the benefits that you 
perceive for using the TIA, rather than another type of funding 
instrument, for the particular research project. A simple ``no'' or 
``not applicable'' is a sufficient response for other questions. The 
questions are:
    (a) Will the use of a TIA permit the involvement in the research of 
any commercial firms or business units of firms that would not otherwise 
participate in the project? If so:
    (1) What are the expected benefits of those firms' or divisions' 
participation (e.g., is there a specific technology that could be 
better, more readily available, or less expensive)?
    (2) Why would they not participate if an instrument other than a TIA 
were used? You should identify specific provisions of the TIA or 
features of the TIA award process that enable their participation.
    (b) Will the use of a TIA allow the creation of new relationships 
among participants at the prime or subtier levels, among business units 
of the same firm, or between non-Federal participants and the Federal 
Government that will help the DoD get better technology in the future? 
If so:
    (1) Why do these new relationships have the potential for helping 
the DoD get technology in the future that is better, more affordable, or 
more readily available?
    (2) Are there provisions of the TIA or features of the TIA award 
process that enable these relationships to form? If so, you should be 
able to identify specifically what they are. If not, you should be able 
to explain specifically why you think that the relationships could not 
be created if an assistance instrument other than a TIA were used.
    (c) Will the use of a TIA allow firms or business units of firms 
that traditionally accept Government awards to use new business 
practices in the execution of the research that will help us get better 
technology, help us get new technology more quickly or less expensively, 
or facilitate partnering with commercial firms? If so:
    (1) What specific benefits will the DoD potentially get from the use 
of these new practices? You should be able to explain specifically why 
you foresee a potential for those benefits.
    (2) Are there provisions of the TIA or features of the TIA award 
process that enable the use of the new practices? If so, you should be 
able to identify those provisions or features and explain why you think 
that the practices could not be used if the award were made using an 
assistance instrument other than a TIA.
    (d) Are there any other benefits of the use of a TIA that could help 
the Department of Defense better meet its objectives in carrying out the 
research project? If so, you should be able to identify specifically 
what they are, how they can help meet defense objectives, what features 
of the TIA or award process enable the DoD to realize them, and why the 
benefits likely would not be realized if an assistance instrument other 
than a TIA were used.



Sec. 37.230  May I use a TIA if a participant is to receive fee or
profit?

    In accordance with 32 CFR 22.205(b), you may not use a TIA if any 
participant is to receive fee or profit. Note that this policy extends 
to all performers of the research project carried out under the TIA, 
including any subawards for substantive program performance, but it does 
not preclude participants' or subrecipients' payment of reasonable fee 
or profit when making purchases from suppliers of goods (e.g., supplies 
and equipment) or services needed to carry out the research.

[[Page 205]]



  Subpart C_Expenditure-Based and Fixed-Support Technology Investment 
                               Agreements



Sec. 37.300  What is the difference between an expenditure-based and
fixed-support TIA?

    The fundamental difference between an expenditure-based and fixed-
support TIA is that:
    (a) For an expenditure-based TIA, the amounts of interim payments or 
the total amount ultimately paid to the recipient are based on the 
amounts the recipient expends on project costs. If a recipient completes 
the project specified at the time of award before it expends all of the 
agreed-upon Federal funding and recipient cost sharing, the Federal 
Government may recover its share of the unexpended balance of funds or, 
by mutual agreement with the recipient, amend the agreement to expand 
the scope of the research project. An expenditure-based TIA therefore is 
analogous to a cost-type procurement contract or grant.
    (b) For a fixed-support TIA, the amount of assistance established at 
the time of award is not meant to be adjusted later if the research 
project is carried out to completion. In that sense, a fixed-support TIA 
is somewhat analogous to a fixed-price procurement contract (although 
``price,'' a concept appropriate to a procurement contract for buying a 
good or service, is not appropriate for a TIA or other assistance 
instrument for stimulation or support of a project).



Sec. 37.305  When may I use a fixed-support TIA?

    You may use a fixed-support TIA if:
    (a) The agreement is to support or stimulate research with outcomes 
that are well defined, observable, and verifiable;
    (b) You can reasonably estimate the resources required to achieve 
those outcomes well enough to ensure the desired level of cost sharing 
(see example in Sec. 37.560(b)); and
    (c) Your TIA does not require a specific amount or percentage of 
recipient cost sharing. In cases where the agreement does require a 
specific amount or percentage of cost sharing, a fixed-support TIA is 
not practicable because the agreement has to specify cost principles or 
standards for costs that may be charged to the project; require the 
recipient to track the costs of the project; and provide access for 
audit to allow verification of the recipient's compliance with the 
mandatory cost sharing. You therefore must use an expenditure-based TIA 
if you:
    (1) Have a non-waivable requirement (e.g., in statute) for a 
specific amount or percentage of recipient cost sharing; or
    (2) Have otherwise elected to include in the TIA a requirement for a 
specific amount or percentage of cost sharing.



Sec. 37.310  When would I use an expenditure-based TIA?

    In general, you must use an expenditure-based TIA under conditions 
other than those described in Sec. 37.305. Reasons for any exceptions 
to this general rule must be documented in the award file and must be 
consistent with the policy in Sec. 37.230 that precludes payment of fee 
or profit to participants.



Sec. 37.315  What are the advantages of using a fixed-support TIA?

    In situations where the use of fixed-support TIAs is permissible 
(see Sec. Sec. 37.305 and 37.310), their use may encourage some 
commercial firms' participation in the research. With a fixed-support 
TIA, you can eliminate or reduce some post-award requirements that 
sometimes are cited as disincentives for those firms to participate. For 
example, a fixed-support TIA need not:
    (a) Specify minimum standards for the recipient's financial 
management system.
    (b) Specify cost principles or standards stating the types of costs 
the recipient may charge to the project.
    (c) Provide for financial audits by Federal auditors or independent 
public accountants of the recipient's books and records.
    (d) Set minimum standards for the recipient's purchasing system.
    (e) Require the recipient to prepare financial reports for 
submission to the Federal Government.

[[Page 206]]



                       Subpart D_Competition Phase



Sec. 37.400  Must I use competitive procedures to award TIAs?

    DoD policy is to award TIAs using merit-based, competitive 
procedures, as described in 32 CFR 22.315:
    (a) In every case where required by statute; and
    (b) To the maximum extent practicable in all other cases.



Sec. 37.405  What must my announcement or solicitation include?

    Your announcement, to be considered as part of a competitive 
procedure, must include the basic information described in 32 CFR 
22.315(a). Additional elements for you to consider in the case of a 
program that may use TIAs are described in Sec. Sec. 37.410 through 
37.420.



Sec. 37.410  Should my announcement or solicitation state that TIAs
may be awarded?

    Yes, once you consider the factors described in subpart B of this 
part and decide that TIAs are among the types of instruments that you 
may award pursuant to a solicitation, it is important for you to state 
that fact in the solicitation. You also should state that TIAs are more 
flexible than traditional Government funding instruments and that 
provisions are negotiable in areas such as audits and intellectual 
property rights that may cause concern for commercial firms. Doing so 
should increase the likelihood that commercial firms will be willing to 
submit proposals.



Sec. 37.415  Should I address cost sharing in the announcement or
solicitation?

    To help ensure a competitive process that is fair and equitable to 
all potential proposers, you should state clearly in the solicitation:
    (a) That, to the maximum extent practicable, the non-Federal parties 
carrying out a research project under a TIA are to provide at least half 
of the costs of the project (see Sec. 37.215(b)).
    (b) The types of cost sharing that are acceptable;
    (c) How any in-kind contributions will be valued, in accordance with 
Sec. Sec. 37.530 through 37.555; and
    (d) Whether you will give any consideration to alternative 
approaches a proposer may offer to demonstrate its strong commitment to 
and self-interest in the project's success, in accordance with Sec. 
37.215.



Sec. 37.420  Should I tell proposers that we will not disclose
information that they submit?

    Your solicitation should tell potential proposers that:
    (a) For all TIAs, information described in paragraph (b) of this 
section is exempt from disclosure requirements of the Freedom of 
Information Act (FOIA)(codified at 5 U.S.C. 552) for a period of five 
years after the date on which the DoD Component receives the information 
from them.
    (b) As provided in 10 U.S.C. 2371, disclosure is not required, and 
may not be compelled, under FOIA during that period if:
    (1) A proposer submits the information in a competitive or 
noncompetitive process that could result in their receiving a 
cooperative agreement for basic, applied, or advanced research under the 
authority of 10 U.S.C. 2358 or any other type of transaction authorized 
by 10 U.S.C. 2371 (as explained in appendix B to this part, that 
includes all TIAs); and
    (2) The type of information is among the following types that are 
exempt:
    (i) Proposals, proposal abstracts, and supporting documents; and
    (ii) Business plans and technical information submitted on a 
confidential basis.
    (c) If proposers desire to protect business plans and technical 
information for five years from FOIA disclosure requirements, they must 
mark them with a legend identifying them as documents submitted on a 
confidential basis. After the five-year period, information may be 
protected for longer periods if it meets any of the criteria in 5 U.S.C. 
552(b) (as implemented by the DoD in subpart C of 32 CFR part 286) for 
exemption from FOIA disclosure requirements.

[[Page 207]]



                 Subpart E_Pre-Award Business Evaluation



Sec. 37.500  What must my pre-award business evaluation address?

    (a) You must determine the qualification of the recipient, as 
described in Sec. Sec. 37.510 and 37.515.
    (b) As the business expert working with the program official, you 
also must address the financial aspects of the proposed agreement. You 
must:
    (1) Determine that the total amount of funding for the proposed 
effort is reasonable, as addressed in Sec. 37.520.
    (2) Assess the value and determine the reasonableness of the 
recipient's proposed cost sharing contribution, as discussed in 
Sec. Sec. 37.525 through 37.555.
    (3) If you are contemplating the use of a fixed-support rather than 
expenditure-based TIA, ensure that its use is justified, as explained in 
Sec. Sec. 37.560 and 37.565.
    (4) Address issues of inconsistent cost accounting by traditional 
Government contractors, should they arise, as noted in Sec. 37.570.
    (5) Determine amounts for milestone payments, if you use them, as 
discussed in Sec. 37.575.



Sec. 37.505  What resources are available to assist me during the 
pre-award business evaluation?

    Administrative agreements officers of the Defense Contract 
Management Agency and the Office of Naval Research can share lessons 
learned from administering other TIAs. Program officials can be a source 
of information when you are determining the reasonableness of proposed 
funding (e.g., on labor rates, as discussed in Sec. 37.520) or 
establishing observable and verifiable technical milestones for payments 
(see Sec. 37.575). Auditors at the Defense Contract Audit Agency can 
act in an advisory capacity to help you determine the reasonableness of 
proposed amounts, including values of in-kind contributions toward cost 
sharing.

                         Recipient Qualification



Sec. 37.510  What are my responsibilities for determining that
a recipient is qualified?

    Prior to award of a TIA, your responsibilities for determining that 
the recipient is qualified are the same as those of a grants officer who 
is awarding a grant or cooperative agreement. Those responsibilities are 
described in subpart D of 32 CFR part 22. When the recipient is a 
consortium that is not formally incorporated, you have the additional 
responsibility described in Sec. 37.515.



Sec. 37.515  Must I do anything additional to determine the
qualification of a consortium?

    (a) When the prospective recipient of a TIA is a consortium that is 
not formally incorporated, your determination that the recipient meets 
the standard at 32 CFR 22.415(a) requires that you, in consultation with 
legal counsel, review the management plan in the consortium's 
collaboration agreement. The purpose of your review is to ensure that 
the management plan is sound and that it adequately addresses the 
elements necessary for an effective working relationship among the 
consortium members. An effective working relationship is essential to 
increase the research project's chances of success.
    (b) The collaboration agreement, commonly referred to as the 
articles of collaboration, is the document that sets out the rights and 
responsibilities of each consortium member. It binds the individual 
consortium members together, whereas the TIA binds the Government and 
the consortium as a group (or the Government and a consortium member on 
behalf of the consortium, as explained in Sec. 37.1015). The document 
should discuss, among other things, the consortium's:
    (1) Management structure.
    (2) Method of making payments to consortium members.
    (3) Means of ensuring and overseeing members' efforts on the 
project.
    (4) Provisions for members' cost sharing contributions.

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    (5) Provisions for ownership and rights in intellectual property 
developed previously or under the agreement.

                              Total Funding



Sec. 37.520  What is my responsibility for determining that the total
project funding is reasonable?

    In cooperation with the program official, you must assess the 
reasonableness of the total estimated budget to perform the research 
that will be supported by the agreement. Additional guidance follows 
for:
    (a) Labor. Much of the budget likely will involve direct labor and 
associated indirect costs, which may be represented together as a 
``loaded'' labor rate. The program official is an essential advisor on 
reasonableness of the overall level of effort and its composition by 
labor category. You also may rely on your experience with other awards 
as the basis for determining reasonableness. If you have any unresolved 
questions, two of the ways that you might find helpful in establishing 
reasonableness are to:
    (1) Consult the administrative agreements officers or auditors 
identified in Sec. 37.505.
    (2) Compare loaded labor rates of for-profit firms that do not have 
expenditure-based Federal procurement contracts or assistance awards 
with a standard or average for the particular industry. Note that the 
program official may have knowledge about customary levels of direct 
labor charges in the particular industry that is involved. You may be 
able to compare associated indirect charges with Government-approved 
indirect cost rates that exist for many nonprofit and for-profit 
organizations that have Federal procurement contracts or assistance 
awards (note the requirement in Sec. 37.630 for a for-profit 
participant to use Federally approved provisional indirect cost rates, 
if it has them).
    (b) Real property and equipment. In almost all cases, the project 
costs may include only depreciation or use charges for real property and 
equipment of for-profit participants, in accordance with Sec. 37.685. 
Remember that the budget for an expenditure-based TIA may not include 
depreciation of a participant's property as a direct cost of the project 
if that participant's practice is to charge the depreciation of that 
type of property as an indirect cost, as many organizations do.

                              Cost Sharing



Sec. 37.525  What is my responsibility for determining the value and
reasonableness of the recipient's cost sharing contribution?

    You must:
    (a) Determine that the recipient's cost sharing contributions meet 
the criteria for cost sharing and determine values for them, in 
accordance with Sec. Sec. 37.530 through 37.555. In doing so, you must:
    (1) Ensure that there are affirmative statements from any third 
parties identified as sources of cash contributions.
    (2) Include in the award file an evaluation that documents how you 
determined the values of the recipient's contributions to the funding of 
the project.
    (b) Judge that the recipient's cost sharing contribution, as a 
percentage of the total budget, is reasonable. To the maximum extent 
practicable, the recipient must provide at least half of the costs of 
the project, in accordance with Sec. 37.215.



Sec. 37.530  What criteria do I use in deciding whether to accept
a recipient's cost sharing?

    You may accept any cash or in-kind contributions that meet all of 
the following criteria:
    (a) In your judgment, they represent meaningful cost sharing that 
demonstrates the recipient's commitment to the success of the research 
project. Cash contributions clearly demonstrate commitment and they are 
strongly preferred over in-kind contributions.
    (b) They are necessary and reasonable for accomplishment of the 
research project's objectives.
    (c) They are costs that may be charged to the project under Sec. 
37.625 and Sec. 37.635, as applicable to the participant making the 
contribution.
    (d) They are verifiable from the recipient's records.

[[Page 209]]

    (e) They are not included as cost sharing contributions for any 
other Federal award.
    (f) They are not paid by the Federal Government under another award, 
except:
    (1) Costs that are authorized by Federal statute to be used for cost 
sharing; or
    (2) Independent research and development (IR&D) costs, as described 
at 32 CFR 34.13(a)(5)(ii), that meet all of the criteria in paragraphs 
(a) through (e) of this section. IR&D is acceptable as cost sharing, 
even though it may be reimbursed by the Government through other awards. 
It is standard business practice for all for-profit firms, including 
commercial firms, to recover their research and development (R&D) costs 
(which for Federal procurement contracts is recovered as IR&D) through 
prices charged to their customers. Thus, the cost principles at 48 CFR 
part 31 allow a for-profit firm that has expenditure-based, Federal 
procurement contracts to recover through those procurement contracts the 
allocable portion of its R&D costs associated with a technology 
investment agreement.



Sec. 37.535  How do I value cost sharing related to real property
or equipment?

    You rarely should accept values for cost sharing contributions of 
real property or equipment that are in excess of depreciation or 
reasonable use charges, as discussed in Sec. 37.685 for for-profit 
participants. You may accept the full value of a donated capital asset 
if the real property or equipment is to be dedicated to the project and 
you expect that it will have a fair market value that is less than 
$5,000 at the project's end. In those cases, you should value the 
donation at the lesser of:
    (a) The value of the property as shown in the recipient's accounting 
records (i.e., purchase price less accumulated depreciation); or
    (b) The current fair market value. You may accept the use of any 
reasonable basis for determining the fair market value of the property. 
If there is a justification to do so, you may accept the current fair 
market value even if it exceeds the value in the recipient's records.



Sec. 37.540  May I accept fully depreciated real property or equipment
as cost sharing?

    You should limit the value of any contribution of a fully 
depreciated asset to a reasonable use charge. In determining what is 
reasonable, you must consider:
    (a) The original cost of the asset;
    (b) Its estimated remaining useful life at the time of your 
negotiations;
    (c) The effect of any increased maintenance charges or decreased 
performance due to age; and
    (d) The amount of depreciation that the participant previously 
charged to Federal awards.



Sec. 37.545  May I accept costs of prior research as cost sharing?

    No, you may not count any participant's costs of prior research as a 
cost sharing contribution. Only the additional resources that the 
recipient will provide to carry out the current project (which may 
include pre-award costs for the current project, as described in Sec. 
37.830) are to be counted.



Sec. 37.550  May I accept intellectual property as cost sharing?

    (a) In most instances, you should not count costs of patents and 
other intellectual property (e.g., copyrighted material, including 
software) as cost sharing, because:
    (1) It is difficult to assign values to these intangible 
contributions;
    (2) Their value usually is a manifestation of prior research costs, 
which are not allowed as cost share under Sec. 37.545; and
    (3) Contributions of intellectual property rights generally do not 
represent the same cost of lost opportunity to a recipient as 
contributions of cash or tangible assets. The purpose of cost share is 
to ensure that the recipient incurs real risk that gives it a vested 
interest in the project's success.
    (b) You may include costs associated with intellectual property if 
the costs are based on sound estimates of market value of the 
contribution. For example, a for-profit firm may offer the use of 
commercially available software for

[[Page 210]]

which there is an established license fee for use of the product. The 
costs of the development of the software would not be a reasonable basis 
for valuing its use.



Sec. 37.555  How do I value a recipient's other contributions?

    For types of participant contributions other than those addressed in 
Sec. Sec. 37.535 through 37.550, the general rule is that you are to 
value each contribution consistently with the cost principles or 
standards in Sec. 37.625 and Sec. 37.635 that apply to the participant 
making the contribution. When valuing services and property donated by 
parties other than the participants, you may use as guidance the 
provisions of 32 CFR 34.13(b)(2) through (5).

               Fixed-Support or Expenditure-Based Approach



Sec. 37.560  Must I be able to estimate project expenditures precisely
in order to justify use of a fixed-support TIA?

    (a) To use a fixed-support TIA, rather than an expenditure-based 
TIA, you must have confidence in your estimate of the expenditures 
required to achieve well-defined outcomes. Therefore, you must work 
carefully with program officials to select outcomes that, when the 
recipient achieves them, are reliable indicators of the amount of effort 
the recipient expended. However, your estimate of the required 
expenditures need not be a precise dollar amount, as illustrated by the 
example in paragraph (b) of this section, if:
    (1) The recipient is contributing a substantial share of the costs 
of achieving the outcomes, which must meet the criteria in Sec. 
37.305(a); and
    (2) You are confident that the costs of achieving the outcomes will 
be at least a minimum amount that you can specify and the recipient is 
willing to accept the possibility that its cost sharing percentage 
ultimately will be higher if the costs exceed that minimum amount.
    (b) To illustrate the approach, consider a project for which you are 
confident that the recipient will have to expend at least $800,000 to 
achieve the specified outcomes. You must determine, in conjunction with 
program officials, the minimum level of recipient cost sharing that you 
want to negotiate, based on the circumstances, to demonstrate the 
recipient's commitment to the success of the project. For purposes of 
this illustration, let that minimum recipient cost sharing be 40% of the 
total project costs. In that case, the Federal share should be no more 
than 60% and you could set a fixed level of Federal support at $480,000 
(60% of $800,000). With that fixed level of Federal support, the 
recipient would be responsible for the balance of the costs needed to 
complete the project.
    (c) Note, however, that the level of recipient cost sharing you 
negotiate is to be based solely on the level needed to demonstrate the 
recipient's commitment. You may not use a shortage of Federal Government 
funding for the program as a reason to try to persuade a recipient to 
accept a fixed-support TIA, rather than an expenditure-based instrument, 
or to accept responsibility for a greater share of the total project 
costs than it otherwise is willing to offer. If you lack sufficient 
funding to provide an appropriate Federal Government share for the 
entire project, you instead should rescope the effort covered by the 
agreement to match the available funding.



Sec. 37.565  May I use a hybrid instrument that provides fixed support
for only a portion of a project?

    Yes, for a research project that is to be carried out by a number of 
participants, you may award a TIA that provides for some participants to 
perform under fixed-support arrangements and others to perform under 
expenditure-based arrangements. This approach may be useful, for 
example, if a commercial firm that is a participant will not accept an 
agreement with all of the post-award requirements of an expenditure-
based award. Before using a fixed-support arrangement for that firm's 
portion of the project, you must judge that it meets the criteria in 
Sec. 37.305.

[[Page 211]]

               Accounting, Payments, and Recovery of Funds



Sec. 37.570  What must I do if a CAS-covered participant accounts
differently for its own and the Federal Government shares of project
costs?

    (a) If a participant has Federal procurement contracts that are 
subject to the Cost Accounting Standards (CAS) in part 30 of the Federal 
Acquisition Regulation (FAR) and the associated FAR Appendix (48 CFR 
part 30 and 48 CFR 9903.201-1, respectively), you must alert the 
participant during the pre-award negotiations to the potential for a CAS 
violation, as well as the cognizant administrative contracting officer 
(ACO) for the participant's procurement contracts, if you learn that the 
participant plans to account differently for its own share and the 
Federal Government's share of project costs under the TIA. This may 
arise, for example, if a for-profit firm or other organization subject 
to the FAR cost principles in 48 CFR parts 31 and 231 proposes to 
charge:
    (1) Its share of project costs as independent research and 
development (IR&D) costs to enable recovery of the costs through Federal 
Government procurement contracts, as allowed under the FAR cost 
principles; and
    (2) The Federal Government's share to the project, rather than as 
IR&D costs.
    (b) The reason for alerting the participant and the ACO is that the 
inconsistent charging of the two shares could cause a noncompliance with 
Cost Accounting Standard (CAS) 402. Noncompliance with CAS 402 is a 
potential issue only for a participant that has CAS-covered Federal 
procurement contracts (note that CAS requirements do not apply to a for-
profit participant's TIAs).
    (c) For for-profit participants with CAS-covered procurement 
contracts, the cognizant ACO in most cases will be an individual within 
the Defense Contract Management Agency (DCMA). You can identify a 
cognizant ACO at the DCMA by querying the contract administration team 
locator that matches contractors with their ACOs (currently on the World 
Wide Web at http://alerts.dcmdw.dcma.mil/support, a site that also can 
be accessed through the DCMA home page at http://www.dcma.mil).



Sec. 37.575  What are my responsibilities for determining milestone
payment amounts?

    (a) If you select the milestone payment method (see Sec. 37.805), 
you must assess the reasonableness of the estimated amount for reaching 
each milestone. This assessment enables you to set the amount of each 
milestone payment to approximate the Federal share of the anticipated 
resource needs for carrying out that phase of the research effort.
    (b) The Federal share at each milestone need not be the same as the 
Federal share of the total project. For example, you might deliberately 
set payment amounts with a larger Federal share for early milestones if 
a project involves a start-up company with limited resources.
    (c) For an expenditure-based TIA, if you have minimum percentages 
that you want the recipient's cost sharing to be at the milestones, you 
should indicate those percentages in the agreement or in separate 
instructions to the post-award administrative agreements officer. That 
will help the administrative agreements officer decide when a project's 
expenditures have fallen too far below the original projections, 
requiring adjustments of future milestone payment amounts (see Sec. 
37.1105(c)).
    (d) For fixed-support TIAs, the milestone payments should be 
associated with the well-defined, observable and verifiable technical 
outcomes (e.g., demonstrations, tests, or data analysis) that you 
establish for the project in accordance with Sec. Sec. 37.305(a) and 
37.560(a).



Sec. 37.580  What is recovery of funds and when should I consider
including it in my TIA?

    (a) Recovery of funds refers to the use of the authority in 10 
U.S.C. 2371 to include a provision in certain types of agreements, 
including TIAs, that require a recipient to make payments to the 
Department of Defense or another Federal agency as a condition of the 
agreement. Recovery of funds is a good

[[Page 212]]

tool in the right circumstances, at the discretion of the agreements 
officer and the awarding organization, but its purpose is not to augment 
program budgets. It may be used to recover funds provided to a recipient 
through a TIA or another Federal procurement or assistance instrument, 
and the recovery should not exceed the amounts provided. Recovery of 
funds is distinct from program income, as described in Sec. 37.835.
    (b) In accordance with 10 U.S.C. 2371, as implemented by policy 
guidance from the Office of the Under Secretary of Defense 
(Comptroller), the payment amounts may be credited to an existing 
account of the Department of Defense and used for the same program 
purposes as other funds in that account.
    (c) Before you use the authority to include a provision for recovery 
of funds, note that 10 U.S.C. 2371 requires you to judge that it would 
not be feasible or appropriate to use for the research project a 
standard grant or cooperative agreement (in this instance, a ``standard 
cooperative agreement'' means a cooperative agreement without a 
provision for recovery of funds). You satisfy that 10 U.S.C. 2371 
requirement when you judge that execution of the research project 
warrants inclusion of a provision for recovery of funds.



 Subpart F_Award Terms Affecting Participants' Financial, Property, and 
                           Purchasing Systems



Sec. 37.600  Which administrative matters are covered in this
subpart?

    This subpart addresses ``systemic'' administrative matters that 
place requirements on the operation of a participant's financial 
management, property management, or purchasing system. Each 
participant's systems are organization-wide and do not vary with each 
agreement. Therefore, all TIAs should address systemic requirements in a 
uniform way for each type of participant organization.



Sec. 37.605  What is the general policy on participants' financial,
property, and purchasing systems?

    The general policy for expenditure-based TIAs is to avoid 
requirements that would force participants to use different financial 
management, property management, and purchasing systems than they 
currently use for:
    (a) Expenditure-based Federal procurement contracts and assistance 
awards in general, if they receive them; or
    (b) Commercial business, if they have no expenditure-based Federal 
procurement contracts and assistance awards.



Sec. 37.610  Must I tell participants what requirements they are
to flow down for subrecipients' systems?

    If it is an expenditure-based award, your TIA must require 
participants to flow down the same financial management, property 
management, and purchasing systems requirements to a subrecipient that 
would apply if the subrecipient were a participant. For example, a for-
profit participant would flow down to a university subrecipient the 
requirements that apply to a university participant. Note that this 
policy applies to subawards for substantive performance of portions of 
the research project supported by the TIA, and not to participants' 
purchases of goods or services needed to carry out the research.

                            Financial Matters



Sec. 37.615  What standards do I include for financial systems of
for-profit firms?

    (a) To avoid causing needless changes in participants' financial 
management systems, your expenditure-based TIAs will make for-profit 
participants that currently perform under other expenditure-based 
Federal procurement contracts or assistance awards subject to the same 
standards for financial management systems that apply to those other 
awards. Therefore, if a for-profit participant has expenditure-based DoD 
assistance awards other than TIAs, your TIAs are to apply the standards 
in 32 CFR 34.11. You may grant an exception and allow a for-profit 
participant that has other expenditure-based Federal Government awards 
to use an alternative set of standards that meets the minimum criteria 
in paragraph (b) of this section, if there is a compelling programmatic 
or business reason to do so. For each case in which you grant an

[[Page 213]]

exception, you must document the reason in the award file.
    (b) For an expenditure-based TIA, you are to allow and encourage 
each for-profit participant that does not currently perform under 
expenditure-based Federal procurement contracts or assistance awards 
(other than TIAs) to use its existing financial management system as 
long as the system, as a minimum:
    (1) Complies with Generally Accepted Accounting Principles.
    (2) Effectively controls all project funds, including Federal funds 
and any required cost share. The system must have complete, accurate, 
and current records that document the sources of funds and the purposes 
for which they are disbursed. It also must have procedures for ensuring 
that project funds are used only for purposes permitted by the agreement 
(see Sec. 37.625).
    (3) Includes, if advance payments are authorized under Sec. 37.805, 
procedures to minimize the time elapsing between the payment of funds by 
the Government and the firm's disbursement of the funds for program 
purposes.



Sec. 37.620  What financial management standards do I include for
nonprofit participants?

    So as not to force system changes for any State, local government, 
institution of higher education, or other nonprofit organization, your 
expenditure-based TIA's requirements for the financial management system 
of any nonprofit participant are the same as those that apply to the 
participant's other Federal assistance awards. Specifically, the 
requirements are those in:
    (a) 32 CFR 33.20 for State and local governments; and
    (b) 32 CFR 32.21(b) for other nonprofit organizations, with the 
exception of Government-owned, contractor-operated (GOCO) facilities and 
Federally Funded Research and Development Centers (FFRDCs) that are 
excepted from the definition of ``recipient'' in 32 CFR part 32. 
Although it should occur infrequently, if a nonprofit GOCO or FFRDC is a 
participant, you must specify appropriate standards that conform as much 
as practicable with requirements in that participant's other Federal 
awards.



Sec. 37.625  What cost principles or standards do I require for 
for-profit participants?

    (a) So as not to require any firm to needlessly change its cost-
accounting system, your expenditure-based TIAs are to apply the 
Government cost principles in 48 CFR parts 31 and 231 to for-profit 
participants that currently perform under expenditure-based Federal 
procurement contracts or assistance awards (other than TIAs) and 
therefore have existing systems for identifying allowable costs under 
those principles. If there are programmatic or business reasons to do 
otherwise, you may grant an exception from this requirement and use 
alternative standards as long as the alternative satisfies the 
conditions described in paragraph (b) of this section; if you do so, you 
must document the reasons in your award file.
    (b) For other for-profit participants, you may establish alternative 
standards in the agreement as long as that alternative provides, as a 
minimum, that Federal funds and funds counted as recipients' cost 
sharing will be used only for costs that:
    (1) A reasonable and prudent person would incur in carrying out the 
research project contemplated by the agreement. Generally, elements of 
cost that appropriately are charged are those identified with research 
and development activities under the Generally Accepted Accounting 
Principles (see Statement of Financial Accounting Standards Number 2, 
``Accounting for Research and Development Costs,'' October 1974 \1\). 
Moreover, costs must be allocated to DoD and other projects in 
accordance with the relative benefits the projects receive. Costs 
charged to DoD projects must be given consistent treatment with costs 
allocated to the

[[Page 214]]

participants' other research and development activities (e.g., 
activities supported by the participants themselves or by non-Federal 
sponsors).
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    \1\ Copies may be obtained from the Financial Accounting Standards 
Board (FASB), 401 Merritt 7, P.O. Box 5116, Norwalk, CT 06856-5116. 
Information about ordering also may be found at the Internet site http:/
/www.fasb.org or by telephoning the FASB at (800) 748-0659.
---------------------------------------------------------------------------

    (2) Are consistent with the purposes stated in the governing 
Congressional authorizations and appropriations. You are responsible for 
ensuring that provisions in the award document address any requirements 
that result from authorizations and appropriations.



Sec. 37.630  Must I require a for-profit firm to use Federally approved
indirect cost rates?

    In accordance with the general policy in Sec. 37.605, you must 
require a for-profit participant that has Federally approved indirect 
cost rates for its Federal procurement contracts to use those rates to 
accumulate and report costs under an expenditure-based TIA. This 
includes both provisional and final rates that are approved up until the 
time that the TIA is closed out. You may grant an exception from this 
requirement if there are programmatic or business reasons to do 
otherwise (e.g., the participant offers you a lower rate). If you grant 
an exception, the participant must accumulate and report the costs using 
an accounting system and practices that it uses for other customers 
(e.g., its commercial customers). Also, you must document the reason for 
the exception in your award file.



Sec. 37.635  What cost principles do I require a nonprofit participant
to use?

    So as not to force financial system changes for any nonprofit 
participant, your expenditure-based TIA will provide that costs to be 
charged to the research project by any nonprofit participant must be 
determined to be allowable in accordance with:
    (a) OMB Circular A-87, \2\ if the participant is a State or local 
governmental organization.
---------------------------------------------------------------------------

    \2\ Electronic copies may be obtained at Internet site http://
www.whitehouse.gov/OMB. For paper copies, contact the Office of 
Management and Budget, EOP Publications, 725 17th St. NW., New Executive 
Office Building, Washington, DC 20503.
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    (b) OMB Circular A-21, \3\ if the participant is an institution of 
higher education.
---------------------------------------------------------------------------

    \3\ See footnote 2 to Sec. 37.635(a).
---------------------------------------------------------------------------

    (c) 45 CFR part 74, appendix E, if the participant is a hospital.
    (d) OMB Circular A-122, if the participant is any other type of 
nonprofit organization (the cost principles in 48 CFR parts 31 and 231 
are to be used by any nonprofit organization that is identified in 
Circular A-122 as being subject to those cost principles).



Sec. 37.640  Must I include a provision for audits of for-profit
participants?

    If your TIA is an expenditure-based award, you must include in it an 
audit provision that addresses, for each for-profit participant:
    (a) Whether the for-profit participant must have periodic audits, in 
addition to any award-specific audits, as described in Sec. 37.645. 
Note that the DCAA or the Office of the Inspector General, DoD (OIG, 
DoD), can provide advice on the types and scope of audits that may be 
needed in various circumstances.
    (b) Whether the DCAA or an independent public accountant (IPA) will 
perform required audits, as discussed in Sec. 37.650.
    (c) How frequently any periodic audits are to be performed, 
addressed in Sec. 37.655.
    (d) Other matters described in Sec. 37.660, such as audit coverage, 
allowability of audit costs, auditing standards, and remedies for 
noncompliance.



Sec. 37.645  Must I require periodic audits, as well as award-specific
audits, of for-profit participants?

    You need to consider requirements for both periodic audits and 
award-specific audits (as defined in Sec. 37.1325 and Sec. 37.1235, 
respectively). The way that your expenditure-based TIA addresses the two 
types of audits will vary, depending upon the type of for-profit 
participant.
    (a) For for-profit participants that are audited by the DCAA or 
other Federal auditors, as described in Sec. Sec. 37.650(b) and 37.655, 
you need not add specific requirements for periodic audits because the 
Federal audits should be sufficient to address whatever may be needed.

[[Page 215]]

Your inclusion in the TIA of the standard access-to-records provision 
for those for-profit participants, as discussed in Sec. 37.915(a), 
gives the necessary access in the event that you or administrative 
agreements officers later need to request audits to address award-
specific issues that arise.
    (b) For each other for-profit participant, you:
    (1) Should require that the participant have an independent auditor 
(i.e., the DCAA or an independent public accountant) conduct periodic 
audits of its systems if it expends $500,000 or more per year in TIAs 
and other Federal assistance awards. A prime reason for including this 
requirement is that the Federal Government, for an expenditure-based 
award, necessarily relies on amounts reported by the participant's 
systems when it sets payment amounts or adjusts performance outcomes. 
The periodic audit provides some assurance that the reported amounts are 
reliable.
    (2) Must ensure that the award provides an independent auditor the 
access needed for award-specific audits, to be performed at the request 
of the cognizant administrative agreements officer if issues arise that 
require audit support. However, consistent with the government-wide 
policies on single audits that apply to nonprofit participants (see 
Sec. 37.665), you should rely on periodic audits to the maximum extent 
possible to resolve any award-specific issues.



Sec. 37.650  Who must I identify as the auditor for a for-profit 
participant?

    The auditor that you will identify in the expenditure-based TIA to 
perform periodic and award-specific audits of a for-profit participant 
depends on the circumstances, as follows:
    (a) You may provide that an IPA will be the auditor for a for-profit 
participant that does not meet the criteria in paragraph (b) of this 
section, but only if the participant will not agree to give the DCAA 
access to the necessary books and records for audit purposes. Note that 
the allocable portion of the costs of the IPA's audit may be 
reimbursable under the TIA, as described in Sec. 37.660(b). The IPA 
should be the one that the participant uses to perform other audits 
(e.g., of its financial statement), to minimize added burdens and costs. 
You must document in the award file the participant's unwillingness to 
give the DCAA access. The DCAA is to be the auditor if the participant 
grants the necessary access.
    (b) Except as provided in paragraph (c) of this section, you must 
identify the DCAA as the auditor for any for-profit participant that is 
subject to DCAA audits because it is currently performing under a 
Federal award that is subject to the:
    (1) Cost principles in 48 CFR part 31 of the Federal Acquisition 
Regulation (FAR) and 48 CFR part 231 of the Defense FAR Supplement; or
    (2) Cost Accounting Standards in 48 CFR chapter 99.
    (c) If there are programmatic or business reasons that justify the 
use of an auditor other than the DCAA for a for-profit participant that 
meets the criteria in paragraph (b) of this section, you may provide 
that an IPA will be the auditor for that participant if you obtain prior 
approval from the Office of the Inspector General, DoD. You must submit 
requests for prior approval to the Assistant Inspector General 
(Auditing), 400 Army-Navy Drive, Arlington, VA 22202. Your request must 
include the name and address of the business unit(s) for which IPAs will 
be used. It also must explain why you judge that the participant will 
not give the DCAA the necessary access to records for audit purposes 
(e.g., you may submit a statement to that effect from the participant). 
The OIG, DoD, will respond within five working days of receiving the 
request for prior approval, either by notifying you of the decision 
(approval or disapproval) or giving you a date by which they will notify 
you of the decision.



Sec. 37.655  Must I specify the frequency of IPAs' periodic audits of 
for-profit participants?

    If your expenditure-based TIA provides for periodic audits of a for-
profit participant by an IPA, you must specify the frequency for those 
audits. You should consider having an audit performed during the first 
year of the award, when the participant has its IPA do its next 
financial statement audit, unless the participant already

[[Page 216]]

had a systems audit due to other Federal awards within the past two 
years. The frequency thereafter may vary depending upon the dollars the 
participant is expending annually under the award, but it is not 
unreasonable to require an updated audit every two to three years to 
reverify that the participant's systems are reliable (the audit then 
would cover the two or three-year period between audits). The DCAA is a 
source of advice on audit frequencies if your TIA provides for audits by 
IPAs.



Sec. 37.660  What else must I specify concerning audits of for-profit
participants by IPAs?

    If your expenditure-based TIA provides for audits of a for-profit 
participant by an IPA, you also must specify:
    (a) What periodic audits are to cover. It is important that you 
specify audit coverage that is only as broad as needed to provide 
reasonable assurance of the participant's compliance with award terms 
that have a direct and material effect on the research project. Appendix 
C to this part provides guidance to for-profit participants and their 
IPAs that you may use for this purpose. The DCAA and the OIG, DoD, also 
can provide advice to help you set appropriate limits on audit 
objectives and scope.
    (b) Who will pay for periodic and award-specific audits. The 
allocable portion of the costs of any audits by IPAs may be reimbursable 
under the TIA. The costs may be direct charges or allocated indirect 
costs, consistent with the participant's accounting system and 
practices.
    (c) The auditing standards that the IPA will use. Unless you receive 
prior approval from the OIG, DoD, to do otherwise, you must provide that 
the IPA will perform the audits in accordance with the Generally 
Accepted Government Auditing Standards. \4\
---------------------------------------------------------------------------

    \4\ The electronic document may be accessed at www.gao.gov. Printed 
copies may be purchased from the U.S. Government Printing Office; for 
ordering information, call (202) 512-1800 or access the Internet site at 
www.gpo.gov.
---------------------------------------------------------------------------

    (d) The available remedies for noncompliance. The agreement must 
provide that the participant may not charge costs to the award for any 
audit that the agreements officer, with the advice of the OIG, DoD, 
determines was not performed in accordance with the Generally Accepted 
Government Auditing Standards or other terms of the agreement. It also 
must provide that the Government has the right to require the 
participant to have the IPA take corrective action and, if corrective 
action is not taken, that the agreements officer has recourse to any of 
the remedies for noncompliance identified in 32 CFR 34.52(a).
    (e) The remedy if it later is found that the participant, at the 
time it entered into the TIA, was performing on a procurement contract 
or other Federal award subject to the Cost Accounting Standards at 48 
CFR part 30 and the cost principles at 48 CFR part 31. Unless the OIG, 
DoD, approves an exception (see Sec. 37.650(c)), the TIA's terms must 
provide that the DCAA will perform the audits for the agreement if it 
later is found that the participant, at the time the TIA was awarded, 
was performing under awards described in Sec. 37.650(b) that gave the 
DCAA audit access to the participant's books and records.
    (f) Where the IPA is to send audit reports. The agreement must 
provide that the IPA is to submit audit reports to the administrative 
agreements officer and the OIG, DoD. It also must require that the IPA 
report instances of fraud directly to the OIG, DoD.
    (g) The retention period for the IPA's working papers. You must 
specify that the IPA is to retain working papers for a period of at 
least three years after the final payment, unless the working papers 
relate to an audit whose findings are not fully resolved within that 
period or to an unresolved claim or dispute (in which case, the IPA must 
keep the working papers until the matter is resolved and final action 
taken).
    (h) Who will have access to the IPA's working papers. The agreement 
must provide for Government access to working papers.



Sec. 37.665  Must I require nonprofit participants to have periodic
audits?

    Yes, expenditure-based TIAs are assistance instruments subject to 
the Single Audit Act (31 U.S.C. 7501-7507), so nonprofit participants 
are subject to

[[Page 217]]

their usual requirements under that Act and OMB Circular A-133. \5\ 
Specifically, the requirements are those in:
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    \5\ See footnote 2 to Sec. 37.635(a).
---------------------------------------------------------------------------

    (a) 32 CFR 33.26 for State and local governments; and
    (b) 32 CFR 32.26 for other nonprofit organizations. Note that those 
requirements also are appropriate for Government-owned, contractor-
operated (GOCO) facilities and Federally Funded Research and Development 
Centers (FFRDCs) that are excluded from the definition of ``recipient'' 
in 32 CFR part 32, because nonprofit GOCOs and FFRDCs are subject to the 
Single Audit Act.



Sec. 37.670  Must I require participants to flow down audit 
requirements to subrecipients?

    (a) Yes, in accordance with Sec. 37.610, your expenditure-based TIA 
must require participants to flow down the same audit requirements to a 
subrecipient that would apply if the subrecipient were a participant.
    (b) For example, a for-profit participant that is audited by the 
DCAA:
    (1) Would flow down to a university subrecipient the Single Audit 
Act requirements that apply to a university participant.
    (2) Could enter into a subaward allowing a for-profit participant, 
under the circumstances described in Sec. 37.650(a), to use an IPA to 
do its audits.
    (c) This policy applies to subawards for substantive performance of 
portions of the research project supported by the TIA, and not to 
participants' purchases of goods or services needed to carry out the 
research.



Sec. 37.675  Must I report when I enter into a TIA allowing a for-
profit firm to use an IPA?

    Yes, you must include that information with the data you provide for 
your DoD Component's annual submission to the Defense Technical 
Information Center (DTIC), as provided in Sec. 37.1030(c).



Sec. 37.680  Must I require a participant to report when it enters 
into a subaward allowing a for-profit firm to use an IPA?

    Yes, your expenditure-based TIA must require participants to report 
to you when they enter into any subaward allowing a for-profit 
subawardee to use an IPA, as described in Sec. 37.670(b)(2). You must 
provide that information about the new subaward under the TIA for your 
DoD Component's annual submission to the DTIC, even though the TIA may 
have been reported in a prior year and does not itself have to be 
reported again.

                                Property



Sec. 37.685  May I allow for-profit firms to purchase real property
and equipment with project funds?

    (a) With the two exceptions described in paragraph (b) of this 
section, you must require a for-profit firm to purchase real property or 
equipment with its own funds that are separate from the research 
project. You should allow the firm to charge to an expenditure-based TIA 
only depreciation or use charges for real property or equipment (and 
your cost estimate for a fixed-support TIA only would include those 
costs). Note that the firm must charge depreciation consistently with 
its usual accounting practice. Many firms treat depreciation as an 
indirect cost. Any firm that usually charges depreciation indirectly for 
a particular type of property must not charge depreciation for that 
property as a direct cost to the TIA.
    (b) In two situations, you may grant an exception and allow a for-
profit firm to use project funds, which includes both the Federal 
Government and recipient shares, to purchase real property or equipment 
(i.e., to charge to the project the full acquisition cost of the 
property). The two circumstances, which should be infrequent for 
equipment and extremely rare for real property, are those in which you 
either:
    (1) Judge that the real property or equipment will be dedicated to 
the project and have a current fair market value that is less than 
$5,000 by the time the project ends; or

[[Page 218]]

    (2) Give prior approval for the firm to include the full acquisition 
cost of the real property or equipment as part of the cost of the 
project (see Sec. 37.535).
    (c) If you grant an exception in either of the circumstances 
described in paragraphs (b)(1) and (2) of this section, you must make 
the real property or equipment subject to the property management 
standards in 32 CFR 34.21(b) through (d). As provided in those 
standards, the title to the real property or equipment will vest 
conditionally in the for-profit firm upon acquisition. Your TIA, whether 
it is a fixed-support or expenditure-based award, must specify that any 
item of equipment that has a fair market value of $5,000 or more at the 
conclusion of the project also will be subject to the disposition 
process in 32 CFR 34.21(e), whereby the Federal Government will recover 
its interest in the property at that time.



Sec. 37.690  How are nonprofit participants to manage real property
and equipment?

    For nonprofit participants, your TIA's requirements for vesting of 
title, use, management, and disposition of real property or equipment 
acquired under the award are the same as those that apply to the 
participant's other Federal assistance awards. Specifically, the 
requirements are those in:
    (a) 32 CFR 33.31 and 33.32, for participants that are States and 
local governmental organizations.
    (b) 32 CFR 32.32 and 32.33, for other nonprofit participants, with 
the exception of nonprofit GOCOs and FFRDCs that are exempted from the 
definition of ``recipient'' in 32 CFR part 32. Although it should occur 
infrequently, if a nonprofit GOCO or FFRDC is a participant, you must 
specify appropriate standards that conform as much as practicable with 
requirements in that participant's other Federal awards. Note also that:
    (1) If the TIA is a cooperative agreement (see appendix B to this 
part), 31 U.S.C. 6306 provides authority to vest title to tangible 
personal property in a nonprofit institution of higher education or in a 
nonprofit organization whose primary purpose is conducting scientific 
research, without further obligation to the Federal Government; and
    (2) Your TIA therefore must specify any conditions on the vesting of 
title to real property or equipment acquired by any such nonprofit 
participant, or the title will vest in the participant without further 
obligation to the Federal Government, as specified in 32 CFR 
32.33(b)(3).



Sec. 37.695  What are the requirements for Federally owned property?

    If you provide Federally owned property to any participant for the 
performance of research under a TIA, you must require that participant 
to account for, use, and dispose of the property in accordance with:
    (a) 32 CFR 34.22, if the participant is a for-profit firm.
    (b) 32 CFR 33.32(f), if the participant is a State or local 
governmental organization. Note that 32 CFR 33.32(f) requires you to 
provide additional information to the participant on the procedures for 
managing the property.
    (c) 32 CFR 32.33(a) and 32.34(f), if the participant is a nonprofit 
organization other than a GOCO or FFRDC (requirements for nonprofit 
GOCOs and FFRDCs should conform with the property standards that apply 
to their Federal procurement contracts).



Sec. 37.700  What are the requirements for supplies?

    Your expenditure-based TIA's provisions should permit participants 
to use their existing procedures to account for and manage supplies. A 
fixed-support TIA should not include requirements to account for or 
manage supplies.

                               Purchasing



Sec. 37.705  What standards do I include for purchasing systems
of for-profit firms?

    (a) If your TIA is an expenditure-based award, it should require 
for-profit participants that currently perform under DoD assistance 
instruments subject to the purchasing standards in 32 CFR 34.31 to use 
the same requirements for TIAs, unless there are programmatic or 
business reasons to do otherwise (in which case you must document the 
reasons in the award file).

[[Page 219]]

    (b) You should allow other for-profit participants under 
expenditure-based TIAs to use their existing purchasing systems, as long 
as they flow down the applicable requirements in Federal statutes, 
Executive orders or Governmentwide regulations (see appendix E to this 
part for a list of those requirements).
    (c) If your TIA is a fixed-support award, you need only require for-
profit participants to flow down the requirements listed in appendix F 
to this part.



Sec. 37.710  What standards do I include for purchasing systems
of nonprofit organizations?

    (a) So as not to force system changes for any nonprofit participant, 
your expenditure-based TIA will provide that each nonprofit 
participant's purchasing system comply with:
    (1) 32 CFR 33.36, if the participant is a State or local 
governmental organization.
    (2) 32 CFR 32.40 through 32.49 if the participant is a nonprofit 
organization other than a GOCO or FFRDC that is excepted from the 
definition of ``recipient'' in 32 CFR part 32. Although it should occur 
infrequently, if a nonprofit GOCO or FFRDC is a participant, you must 
specify appropriate standards that conform as much as practicable with 
requirements in that participant's other Federal awards.
    (b) If your TIA is a fixed-support award, you need only require 
nonprofit participants to flow down the requirements listed in appendix 
E to this part.



      Subpart G_Award Terms Related to Other Administrative Matters



Sec. 37.800  Which administrative matters are covered in this subpart?

    This subpart addresses ``non-systemic'' administrative matters that 
do not impose organization-wide requirements on a participant's 
financial management, property management, or purchasing system. Because 
an organization does not have to redesign its systems to accommodate 
award-to-award variations in these requirements, a TIA that you award 
may differ from other TIAs in the non-systemic requirements that it 
specifies for a given participant, based on the circumstances of the 
particular research project. To eliminate needless administrative 
complexity, you should handle some non-systemic requirements, such as 
the payment method, in a uniform way for the agreement as a whole.

                                Payments



Sec. 37.805  If I am awarding a TIA, what payment methods may I specify?

    Your TIA may provide for:
    (a) Reimbursement, as described in 32 CFR 34.12(a)(1), if it is an 
expenditure-based award.
    (b) Advance payments, as described in 32 CFR 34.12(a)(2), subject to 
the conditions in 32 CFR 34.12(b)(2)(i) through (iii).
    (c) Payments based on payable milestones. These are payments made 
according to a schedule that is based on predetermined measures of 
technical progress or other payable milestones. This approach relies 
upon the fact that, as research progresses throughout the term of the 
agreement, observable activity will be taking place. The recipient is 
paid upon the accomplishment of the predetermined measure of progress. 
Fixed-support TIAs must use this payment method and each measure of 
progress appropriately would be one of the well-defined outcomes that 
you identify in the agreement (this does not preclude use of an initial 
advance payment, if there is no alternative to meeting immediate cash 
needs). There are cash management considerations when this payment 
method is used as a means of financing for an expenditure-based TIA (see 
Sec. 37.575 and Sec. 37.1105).



Sec. 37.810  What should my TIA's provisions specify for the method
and frequency of recipients' payment requests?

    The procedure and frequency for payment requests depend upon the 
payment method, as follows:
    (a) For either reimbursements or advance payments, your TIA must 
allow recipients to submit requests for payment at least monthly. You 
may authorize the recipients to use the forms or formats described in 32 
CFR 34.12(d).

[[Page 220]]

    (b) If the payments are based on payable milestones, the recipient 
will submit a report or other evidence of accomplishment to the program 
official at the completion of each predetermined activity. The agreement 
administrator may approve payment to the recipient after receiving 
validation from the program manager that the milestone was successfully 
reached.



Sec. 37.815  May the Government withhold payments?

    Your TIA must provide that the administrative agreements officer may 
withhold payments in the circumstances described in 32 CFR 34.12(g), but 
not otherwise.



Sec. 37.820  Must I require a recipient to return interest on advance
payments?

    If your expenditure-based TIA provides for either advance payments 
or payable milestones, the agreement must require the recipient to:
    (a) Maintain in an interest-bearing account any advance payments or 
milestone payment amounts received in advance of needs to disburse the 
funds for program purposes unless:
    (1) The recipient receives less than $120,000 in Federal grants, 
cooperative agreements, and TIAs per year;
    (2) The best reasonably available interest-bearing account would not 
be expected to earn interest in excess of $1,000 per year on the advance 
or milestone payments; or
    (3) The depository would require an average or minimum balance so 
high that it would not be feasible within the expected Federal and non-
Federal cash resources for the project.
    (b) Remit annually the interest earned to the administrative 
agreements officer.

                  Revision of Budget and Program Plans



Sec. 37.825  Must I require the recipient to obtain prior approval
from the Government for changes in plans?

    If it is an expenditure-based award, your agreement must require the 
recipient to obtain the agreement administrator's prior approval if 
there is to be a change in plans that results in a need for additional 
Federal funding (this is unnecessary for a fixed-support TIA because the 
recipient is responsible for additional costs of achieving the 
outcomes). Other than that, the program official's substantial 
involvement in the project should ensure that the Government has advance 
notice of changes in plans.



Sec. 37.830  May I let a recipient charge pre-award costs to the 
agreement?

    Pre-award costs, as long as they are otherwise allowable costs of 
the project, may be charged to an expenditure-based TIA only with the 
specific approval of the agreements officer. All pre-award costs are 
incurred at the recipient's risk (i.e., no DoD Component is obligated to 
reimburse the costs if for any reason the recipient does not receive an 
award or if the award is less than anticipated and inadequate to cover 
the costs).

                             Program Income



Sec. 37.835  What requirements do I include for program income?

    Your TIA should apply the standards of 32 CFR 34.14 for program 
income that may be generated. Note the need to specify whether the 
recipient is to have any obligation to the Federal Government with 
respect to program income generated after the end of the project period 
(the period, as established in the award document, during which Federal 
support is provided). Doing so is especially important if the TIA 
includes a provision for the recipient to return any amounts to the 
Federal Government (see Sec. 37.580).

                          Intellectual Property



Sec. 37.840  What general approach should I take in negotiating data
and patent rights?

    (a) You should confer with program officials and legal counsel to 
develop an overall strategy for intellectual property that takes into 
account inventions and data that may result from the project and future 
needs the Government may have for rights in them. The strategy should 
take into account any intellectual property the Government is furnishing 
and any pre-existing proprietary information that the recipient is 
furnishing, as well as data

[[Page 221]]

and inventions that may be generated under the award (recognizing that 
new data and inventions may be less valuable without pre-existing 
information). All pre-existing intellectual property, both the 
Government's and the recipient's, should be marked to give notice of its 
status.
    (b) Because TIAs entail substantial cost sharing by recipients, you 
must use discretion in negotiating Government rights to data and 
patentable inventions resulting from research under the agreements. The 
considerations in Sec. Sec. 37.845 through 37.875 are intended to serve 
as guidelines, within which you necessarily have considerable latitude 
to negotiate provisions appropriate to a wide variety of circumstances 
that may arise. Your goal should be a good balance between DoD interests 
in:
    (1) Gaining access to the best technologies for defense needs, 
including technologies available in the commercial marketplace, and 
promoting commercialization of technologies resulting from the research. 
Either of these interests may be impeded if you negotiate excessive 
rights for the Government. One objective of TIAs is to help incorporate 
defense requirements into the development of what ultimately will be 
commercially available technologies, an objective that is best served by 
reducing barriers to commercial firms' participation in the research. In 
that way, the commercial technology and industrial base can be a source 
of readily available, reliable, and affordable components, subsystems, 
computer software, and other technological products and manufacturing 
processes for military systems.
    (2) Providing adequate protection of the Government's investment, 
which may be weakened if the Government's rights are inadequate. You 
should consider whether the Government may require access to data or 
inventions for Governmental purposes, such as a need to develop defense-
unique products or processes that the commercial marketplace likely will 
not address.



Sec. 37.845  What data rights should I obtain?

    (a) You should seek to obtain what you, with the advice of legal 
counsel, judge is needed to ensure future Government use of technology 
that emerges from the research, as long as doing so is consistent with 
the balance between DoD interests described in Sec. 37.840(b). You 
should consider data in which you wish to obtain license rights and data 
that you may wish to be delivered; since TIAs are assistance instruments 
rather than acquisition instruments, however, it is not expected that 
data would be delivered in most cases. What generally is needed is an 
irrevocable, world-wide license for the Government to use, modify, 
reproduce, release, or disclose for Governmental purposes the data that 
are generated under TIAs (including any data, such as computer software, 
in which a recipient may obtain a copyright). A Governmental purpose is 
any activity in which the United States Government participates, but a 
license for Governmental purposes does not include the right to use, or 
have or permit others to use, modify, reproduce, release, or disclose 
data for commercial purposes.
    (b) You may negotiate licenses of different scope than described in 
paragraph (a) of this section when necessary to accomplish program 
objectives or to protect the Government's interests. Consult with legal 
counsel before negotiating a license of different scope.
    (c) In negotiating data rights, you should consider the rights in 
background data that are necessary to fully utilize technology that is 
expected to result from the TIA, in the event the recipient does not 
commercialize the technology or chooses to protect any invention as a 
trade secret rather than by a patent. If a recipient intends to protect 
any invention as a trade secret, you should consult with your 
intellectual property counsel before deciding what information related 
to the invention the award should require the recipient to report.



Sec. 37.850  Should I require recipients to mark data?

    To protect the recipient's interests in data, your TIA should 
require the recipient to mark any particular data that it wishes to 
protect from disclosure with a legend identifying the data

[[Page 222]]

as licensed data subject to use, release, or disclosure restrictions.



Sec. 37.855  How should I handle protected data?

    Prior to releasing or disclosing data marked with a restrictive 
legend (as described in Sec. 37.850) to third parties, you should 
require those parties to agree in writing that they will:
    (a) Use the data only for governmental purposes; and
    (b) Not release or disclose the data without the permission of the 
licensor (i.e., the recipient).



Sec. 37.860  What rights should I obtain for inventions?

    (a) You should negotiate rights in inventions that represent a good 
balance between the Government's interests (see Sec. 37.840(b)) and the 
recipient's interests. As explained in appendix B to this part:
    (1) You have the flexibility to negotiate patent rights provisions 
that vary from what the Bayh-Dole statute (Chapter 18 of Title 35, 
U.S.C.) requires in many situations. You have that flexibility because 
TIAs include not only cooperative agreements, but also assistance 
transactions other than grants or cooperative agreements.
    (2) Your TIA becomes an assistance instrument other than a grant or 
cooperative agreement if its patent rights provision varies from what 
Bayh-Dole requires in your situation. However, you need not consider 
that difference in the type of transaction until the agreement is 
finalized, and it should not affect the provision you negotiate.
    (b) As long as it is consistent with the balance between DoD 
interests described in Sec. 37.840(b) and the recipient's interests, 
you should seek to obtain for the Government, when an invention is 
conceived or first actually reduced to practice under a TIA, a 
nonexclusive, nontransferrable, irrevocable, paid-up license to practice 
the invention, or to have it practiced, for or on behalf of the United 
States throughout the world. The license is for Governmental purposes, 
and does not include the right to practice the invention for commercial 
purposes.
    (c) To provide for the license described in paragraph (b) of this 
section, your TIA generally would include the patent-rights clause that 
37 CFR 401.14 specifies to implement the Bayh-Dole statute's 
requirements. Note that:
    (1) The clause is designed specifically for grants, contracts, and 
cooperative agreements awarded to small businesses and nonprofit 
organizations, the types of funding instruments and recipients to which 
the entire Bayh-Dole statute applies. As explained in appendix B to this 
part, only two Bayh-Dole requirements (in 35 U.S.C. sections 202(c)(4) 
and 203) apply to cooperative agreements with other performers, by 
virtue of an amendment to Bayh-Dole at 35 U.S.C. 210(c).
    (2) You may use the same clause, suitably modified, in cooperative 
agreements with performers other than small businesses and nonprofit 
organizations. Doing so is consistent with a 1983 Presidential 
memorandum that calls for giving other performers rights in inventions 
from Federally supported research that are at least as great as the 
rights that Bayh-Dole gives to small businesses and nonprofit 
organizations (see appendix B to this part for details). That 
Presidential memorandum is incorporated by reference in Executive Order 
12591 (52 FR 13414, 3 CFR, 1987 Comp., p. 220), as amended by Executive 
Order 12618 (52 FR 48661, 3 CFR, 1987 Comp., p. 262).
    (3) The clause provides for flow-down of Bayh-Dole patent-rights 
provisions to subawards with small businesses and nonprofit 
organizations.
    (4) There are provisions in 37 CFR part 401 stating when you must 
include the clause (37 CFR 401.3) and, in cases when it is required, how 
you may modify and tailor it (37 CFR 401.5).
    (d) You may negotiate Government rights of a different scope than 
the standard patent-rights provision described in paragraph (c) of this 
section when necessary to accomplish program objectives and foster the 
Government's interests. If you do so:
    (1) With the help of the program manager and legal counsel, you must 
decide what best represents a reasonable arrangement considering the 
circumstances, including past investments, contributions under the 
current TIA, and potential commercial markets. Taking past investments 
as an

[[Page 223]]

example, you should consider whether the Government or the recipient has 
contributed more substantially to the prior research and development 
that provides the foundation for the planned effort. If the predominant 
past contributor to the particular technology has been:
    (i) The Government, then the TIA's patent-rights provision should be 
at or close to the standard Bayh-Dole provision.
    (ii) The recipient, then a less restrictive patent provision may be 
appropriate, to allow the recipient to benefit more directly from its 
investments.
    (2) You should keep in mind that obtaining a nonexclusive license at 
the time of award, as described in paragraph (b) of this section, is 
valuable if the Government later requires access to inventions to enable 
development of defense-unique products or processes that the commercial 
marketplace is not addressing. If you do not obtain a license at the 
time of award, you should consider alternative approaches to ensure 
access, such as negotiating a priced option for obtaining nonexclusive 
licenses in the future to inventions that are conceived or reduced to 
practice under the TIA.
    (3) You also may consider whether you want to provide additional 
flexibility by giving the recipient more time than the standard patent-
rights provision does to:
    (i) Notify the Government of an invention, from the time the 
inventor discloses it within the for-profit firm.
    (ii) Inform the Government whether it intends to take title to the 
invention.
    (iii) Commercialize the invention, before the Government license 
rights in the invention become effective.



Sec. 37.865  Should my patent provision include march-in rights?

    Your TIA's patent rights provision should include the Bayh-Dole 
march-in rights clause at paragraph (j)(1) of 37 CFR 401.14, or an 
equivalent clause, concerning actions that the Government may take to 
obtain the right to use subject inventions, if the recipient fails to 
take effective steps to achieve practical application of the subject 
inventions within a reasonable time. The march-in provision may be 
modified to best meet the needs of the program. However, only 
infrequently should the march-in provision be entirely removed (e.g., 
you may wish to do so if a recipient is providing most of the funding 
for a research project, with the Government providing a much smaller 
share).



Sec. 37.870  Should I require recipients to mark documents related
to inventions?

    To protect the recipient's interest in inventions, your TIA should 
require the recipient to mark documents disclosing inventions it desires 
to protect by obtaining a patent. The recipient should mark the 
documents with a legend identifying them as intellectual property 
subject to public release or public disclosure restrictions, as provided 
in 35 U.S.C. 205.



Sec. 37.875  Should my TIA include a provision concerning foreign
access to technology?

    (a) Consistent with the objective of enhancing the national security 
by increasing DoD reliance on the U.S. commercial technology and 
industrial bases, you must include a provision in the TIA that addresses 
foreign access to technology developed under the TIA.
    (b) The provision must provide, as a minimum, that any transfer of 
the:
    (1) Technology must be consistent with the U.S. export laws, 
regulations and policies (e.g., the International Traffic in Arms 
Regulation at chapter I, subchapter M, title 22 of the CFR (22 CFR parts 
120 through 130), the DoD Industrial Security Regulation in DoD 5220.22-
R, \6\ and the Department of Commerce Export Regulation at chapter VII, 
subchapter C, title 15 of the CFR (15 CFR parts 730 through 774), as 
applicable.
---------------------------------------------------------------------------

    \6\ Electronic copies may be obtained at the Washington Headquarters 
Services Internet site http://www.dtic.mil/whs/directives. Paper copies 
may be obtained, at cost, from the National Technical Information 
Service, 5285 Port Royal Road, Springfield, VA 22161.
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    (2) Exclusive right to use or sell the technology in the United 
States must, unless the Government grants a waiver, require that 
products embodying the technology or produced through

[[Page 224]]

the use of the technology will be manufactured substantially in the 
United States. The provision may further provide that:
    (i) In individual cases, the Government may waive the requirement of 
substantial manufacture in the United States upon a showing by the 
recipient that reasonable but unsuccessful efforts have been made to 
transfer the technology under similar terms to those likely to 
manufacture substantially in the United States or that under the 
circumstances domestic manufacture is not commercially feasible.
    (ii) In those cases, the DoD Component may require a refund to the 
Government of some or all the funds paid under the TIA for the 
development of the transferred technology.
    (c) You may, but are not required to, seek to negotiate a domestic 
manufacture condition for transfers of nonexclusive rights to use or 
sell the technology in the United States, to parallel the one described 
for exclusive licenses in paragraph (b)(2) of this section, if you judge 
that nonexclusive licenses for foreign manufacture could effectively 
preclude the establishment of domestic sources of the technology for 
defense purposes.

                  Financial and Programmatic Reporting



Sec. 37.880  What requirements must I include for periodic reports
on program and business status?

    Your TIA must include either:
    (a) The requirements in 32 CFR 32.51 and 32.52 for status reports on 
programmatic performance and, if it is an expenditure-based award, on 
financial performance; or
    (b) Alternative requirements that, as a minimum, include periodic 
reports addressing program and, if it is an expenditure-based award, 
business status. You must require submission of the reports at least 
annually, and you may require submission as frequently as quarterly 
(this does not preclude a recipient from electing to submit more 
frequently than quarterly the financial information that is required to 
process payment requests if the award is an expenditure-based TIA that 
uses reimbursement or advance payments under Sec. 37.810(a)). The 
requirements for the content of the reports are as follows:
    (1) The program portions of the reports must address progress toward 
achieving program performance goals, including current issues, problems, 
or developments.
    (2) The business portions of the reports, applicable only to 
expenditure-based awards, must provide summarized details on the status 
of resources (federal funds and non-federal cost sharing), including an 
accounting of expenditures for the period covered by the report. The 
report should compare the resource status with any payment and 
expenditure schedules or plans provided in the original award; explain 
any major deviations from those schedules; and discuss actions that will 
be taken to address the deviations. You may require a recipient to 
separately identify in these reports the expenditures for each 
participant in a consortium and for each programmatic milestone or task, 
if you, after consulting with the program official, judge that those 
additional details are needed for good stewardship.



Sec. 37.885  May I require updated program plans?

    In addition to reports on progress to date, your TIA may include a 
provision requiring the recipient to annually prepare updated technical 
plans for the future conduct of the research effort. If your TIA does 
include a requirement for annual program plans, you also must require 
the recipient to submit the annual program plans to the agreements 
officer responsible for administering the TIA.



Sec. 37.890  Must I require a final performance report?

    You need not require a final performance report that addresses all 
major accomplishments under the TIA. If you do not do so, however, there 
must be an alternative that satisfies the requirement in DoD Instruction 
3200.14 \7\ to document all DoD Science and Technology efforts and 
disseminate the results through the Defense Technical Information Center 
(DTIC). An example

[[Page 225]]

of an alternative would be periodic reports throughout the performance 
of the research that collectively cover the entire project.
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    \7\ See footnote 6 to Sec. 37.875(b)(1).
---------------------------------------------------------------------------



Sec. 37.895  How is the final performance report to be sent to the 
Defense Technical Information Center?

    (a) Whether your TIA requires a final performance report or uses an 
alternative means under Sec. 37.890, \8\ you may include an award term 
or condition or otherwise instruct the recipient to submit the 
documentation, electronically if available, either:
---------------------------------------------------------------------------

    \8\ Additional information on electronic submission to the DTIC can 
be found online, currently at http://www.dtic.mil/dtic/submitting/elec--
subm.html.
---------------------------------------------------------------------------

    (1) Directly to the DTIC; or
    (2) To the office that is administering the award (for subsequent 
transmission to the DTIC).
    (b) If you specify that the recipient is to submit the report 
directly to the DTIC, you also:
    (1) Must instruct the recipient to include a fully completed 
Standard Form 298, ``Report Documentation Page,'' with each document, so 
that the DTIC can recognize the document as being related to the 
particular award and properly record its receipt; and
    (2) Should advise the recipient to provide a copy of the completed 
Standard Form 298 to the agreements officer responsible for 
administering the TIA.



Sec. 37.900  May I tell a participant that information in financial and
programmatic reports will not be publicly disclosed?

    You may tell a participant that:
    (a) We may exempt from disclosure under the Freedom of Information 
Act (FOIA) a trade secret or commercial and financial information that a 
participant provides after the award, if the information is privileged 
or confidential information. The DoD Component that receives the FOIA 
request will review the information in accordance with DoD procedures at 
32 CFR 286.23(h) (and any DoD Component supplementary procedures) to 
determine whether it is privileged or confidential information under the 
FOIA exemption at 5 U.S.C. 552(b)(4), as implemented by the DoD at 32 
CFR 286.12(d).
    (b) If the participant also provides information in the course of a 
competition prior to award, there is a statutory exemption for five 
years from FOIA disclosure requirements for certain types of information 
submitted at that time (see Sec. 37.420).



Sec. 37.905  Must I make receipt of the final performance report
a condition for final payment?

    If a final report is required, your TIA should make receipt of the 
report a condition for final payment. If the payments are based on 
payable milestones, the submission and acceptance of the final report by 
the Government representative will be incorporated as an event that is a 
prerequisite for one of the payable milestones.

                Records Retention and Access Requirements



Sec. 37.910  How long must I require participants to keep records
related to the TIA?

    Your TIA must require participants to keep records related to the 
TIA (for which the agreement provides Government access under Sec. 
37.915) for a period of three years after submission of the final 
financial status report for an expenditure-based TIA or final 
programmatic status report for a fixed-support TIA, with the following 
exceptions:
    (a) The participant must keep records longer than three years after 
submission of the final financial status report if the records relate to 
an audit, claim, or dispute that begins but does not reach its 
conclusion within the 3-year period. In that case, the participant must 
keep the records until the matter is resolved and final action taken.
    (b) Records for any real property or equipment acquired with project 
funds under the TIA must be kept for three years after final 
disposition.



Sec. 37.915  What requirement for access to a for-profit participant's
records do I include in a TIA?

    (a) If a for-profit participant currently grants access to its 
records to the DCAA or other Federal Government auditors, your TIA must 
include

[[Page 226]]

for that participant the standard access-to-records requirements at 32 
CFR 34.42(e). If the agreement is a fixed-support TIA, the language in 
32 CFR 34.42(e) may be modified to provide access to records concerning 
the recipient's technical performance, without requiring access to the 
recipient's financial or other records. Note that any need to address 
access to technical records in this way is in addition to, not in lieu 
of, the need to address rights in data (see Sec. 37.845).
    (b) For other for-profit participants that do not currently give the 
Federal Government direct access to their records and are not willing to 
grant full access to records pertinent to the award, there is no set 
requirement to include a provision in your TIA for Government access to 
records. If the audit provision of an expenditure-based TIA gives an IPA 
access to the recipient's financial records for audit purposes, the 
Federal Government must have access to the IPA's reports and working 
papers and you need not include a provision requiring direct Government 
access to the recipient's financial records. For both fixed-support and 
expenditure-based TIAs, you may wish to negotiate Government access to 
recipient records concerning technical performance. Should you negotiate 
a provision giving access only to specific Government officials (e.g., 
the agreements officer), rather than a provision giving Government 
access generally, it is important to let participants know that the OIG, 
DoD, has a statutory right of access to records and other materials to 
which other DoD Component officials have access.



Sec. 37.920  What requirement for access to a nonprofit participant's
records do I include in a TIA?

    Your TIA must include for any nonprofit participant the standard 
access-to-records requirement at:
    (a) 32 CFR 33.42(e), for a participant that is a State or local 
governmental organization.
    (b) 32 CFR 32.53(e), for a participant that is a nonprofit 
organization. The same requirement applies to any nonprofit GOCO or 
FFRDC, even though nonprofit GOCOs and FFRDCs are exempted from the 
definition of ``recipient'' in 32 CFR part 32.

                       Termination and Enforcement



Sec. 37.925  What requirements do I include for termination and
enforcement?

    Your TIA must apply the standards of 32 CFR 34.51 for termination, 
32 CFR 34.52 for enforcement, and your organization's procedures 
implementing 32 CFR 22.815 for disputes and appeals.



                      Subpart H_Executing the Award



Sec. 37.1000  What are my responsibilities at the time of award?

    At the time of the award, you must:
    (a) Ensure that the award document contains the appropriate terms 
and conditions and is signed by the appropriate parties, in accordance 
with Sec. Sec. 37.1005 through 37.1015.
    (b) Document your analysis of the agreement in the award file, as 
discussed in Sec. 37.1020.
    (c) Provide information about the award to offices responsible for 
reporting, as described in Sec. Sec. 37.1025 through 37.1035.
    (d) Distribute copies of the award document, as required by Sec. 
37.1045.

                           The Award Document



Sec. 37.1005  What are my general responsibilities concerning the 
award document?

    You are responsible for ensuring that the award document is complete 
and accurate. Your objective is to create a document that:
    (a) Addresses all issues;
    (b) States requirements directly. It is not helpful to readers to 
incorporate statutes or rules by reference, without sufficient 
explanation of the requirements. You generally should not incorporate 
clauses from the Federal Acquisition Regulation (48 CFR parts 1-53) or 
Defense Federal Acquisition Regulation Supplement (48 CFR parts 201-
253), because those provisions are designed for procurement contracts 
that are used to acquire goods and services, rather than for TIAs or 
other assistance instruments.

[[Page 227]]

    (c) Is written in clear and concise language, to minimize potential 
ambiguity.



Sec. 37.1010  What substantive issues should my award document address?

    You necessarily will design and negotiate a TIA individually to meet 
the specific requirements of the particular project, so the complete 
list of substantive issues that you will address in the award document 
may vary. Every award document must address:
    (a) Project scope. The scope is an overall vision statement for the 
project, including a discussion of the project's purpose, objectives, 
and detailed military and commercial goals. It is a critical provision 
because it provides a context for resolving issues that may arise during 
post-award administration. In a fixed-support TIA, you also must clearly 
specify the well-defined outcomes that reliably indicate the amount of 
effort expended and serve as the basis for the level of the fixed 
support (see Sec. Sec. 37.305 and 37.560(a)).
    (b) Project management. You should describe the nature of the 
relationship between the Federal Government and the recipient; the 
relationship among the participants, if the recipient is an 
unincorporated consortium; and the overall technical and administrative 
management of the project. TIAs are used to carry out collaborative 
relationships between the Federal Government and the recipient. 
Consequently, there must be substantial involvement of the DoD program 
official (see Sec. 37.220) and usually the administrative agreements 
officer. The program official provides technical insight, which differs 
from the usual technical oversight of a project. The management 
provision also should discuss how you and the recipient will make any 
modifications to the TIA.
    (c) Termination, enforcement, and disputes. Your TIA must provide 
for termination, enforcement remedies, and disputes and appeals 
procedures, in accordance with Sec. 37.925.
    (d) Funding. You must:
    (1) Show the total amount of the agreement and the total period of 
performance.
    (2) If the TIA is an expenditure-based award, state the Government's 
and recipient's agreed-upon cost shares. The award document should 
identify values for any in-kind contributions, determined in accordance 
with Sec. Sec. 37.530 through 37.555, to preclude later disagreements 
about them.
    (3) Specify the amount of Federal funds obligated and the 
performance period for those obligated funds.
    (4) State, if the agreement is to be incrementally funded, that the 
Government's obligation for additional funding is contingent upon the 
availability of funds and that no legal obligation on the part of the 
Government exists until additional funds are made available and the 
agreement is amended. You also must include a prior approval requirement 
for changes in plans requiring additional Government funding, in 
accordance with Sec. 37.825.
    (e) Payment. You must choose the payment method and tell the 
recipient how, when, and where to submit payment requests, as discussed 
in Sec. Sec. 37.805 through 37.815. Your payment method must take into 
account sound cash management practices by avoiding unwarranted cash 
advances. For an expenditure-based TIA, your payment provision must 
require the return of interest should excess cash balances occur, in 
accordance with Sec. 37.820. For any TIA using the milestone payment 
method described in Sec. 37.805(c), you must include language notifying 
the recipient that post-award administrators may adjust amounts of 
future milestone payments if a project's expenditures fall too far below 
the projections that were the basis for setting the amounts (see Sec. 
37.575(c) and Sec. 37.1105(c)).
    (f) Records retention and access to records. You must include the 
records retention requirement at Sec. 37.910. You also must provide for 
access to for-profit and nonprofit participants' records, in accordance 
with Sec. 37.915 and Sec. 37.920.
    (g) Patents and data rights. In designing the patents and data 
rights provision, you must set forth the minimum required Federal 
Government rights in intellectual property generated under the award and 
address related matters, as provided in Sec. Sec. 37.840 through 
37.875. It

[[Page 228]]

is important to define all essential terms in the patent rights 
provision.
    (h) Foreign access to technology. You must include a provision, in 
accordance with Sec. 37.875, concerning foreign access and domestic 
manufacture of products using technology generated under the award.
    (i) Title to, management of, and disposition of tangible property. 
Your property provisions for for-profit and nonprofit participants must 
be in accordance with Sec. Sec. 37.685 through 37.700.
    (j) Financial management systems. For an expenditure-based award, 
you must specify the minimum standards for financial management systems 
of both for-profit and nonprofit participants, in accordance with 
Sec. Sec. 37.615 and 37.620.
    (k) Allowable costs. If the TIA is an expenditure-based award, you 
must specify the standards that both for-profit and nonprofit 
participants are to use to determine which costs may be charged to the 
project, in accordance with Sec. Sec. 37.625 through 37.635, as well as 
Sec. 37.830.
    (l) Audits. If your TIA is an expenditure-based award, you must 
include an audit provision for both for-profit and nonprofit 
participants and subrecipients, in accordance with Sec. Sec. 37.640 
through 37.670 and Sec. 37.680.
    (m) Purchasing system standards. You should include a provision 
specifying the standards in Sec. Sec. 37.705 and 37.710 for purchasing 
systems of for-profit and nonprofit participants, respectively.
    (n) Program income. You should specify requirements for program 
income, in accordance with Sec. 37.835.
    (o) Financial and programmatic reporting. You must specify the 
reports that the recipient is required to submit and tell the recipient 
when and where to submit them, in accordance with Sec. Sec. 37.880 
through 37.905.
    (p) Assurances for applicable national policy requirements. You must 
incorporate assurances of compliance with applicable requirements in 
Federal statutes, Executive orders, or regulations (except for national 
policies that require certifications). Appendix D to this part contains 
a list of commonly applicable requirements that you need to augment with 
any specific requirements that apply in your particular circumstances 
(e.g., general provisions in the appropriations act for the specific 
funds that you are obligating).
    (q) Other routine matters. The agreement should address any other 
issues that need clarification, including who in the Government will be 
responsible for post-award administration and the statutory authority or 
authorities for entering into the TIA (see appendix B to this part for a 
discussion of statutory authorities). In addition, the agreement must 
specify that it takes precedence over any inconsistent terms and 
conditions in collateral documents such as attachments to the TIA or the 
recipient's articles of collaboration.



Sec. 37.1015  How do I decide who must sign the TIA if the recipient
is an unincorporated consortium?

    (a) If the recipient is a consortium that is not formally 
incorporated and the consortium members prefer to have the agreement 
signed by all of them individually, you may execute the agreement in 
that manner.
    (b) If they wish to designate one consortium member to sign the 
agreement on behalf of the consortium as a whole, you should not decide 
whether to execute the agreement in that way until you review the 
consortium's articles of collaboration with legal counsel.
    (1) The purposes of the review are to:
    (i) Determine whether the articles properly authorize one 
participant to sign on behalf of the other participants and are binding 
on all consortium members with respect to the research project; and
    (ii) Assess the risk that otherwise could exist when entering into 
an agreement signed by a single member on behalf of a consortium that is 
not a legal entity. For example, you should assess whether the articles 
of collaboration adequately address consortium members' future 
liabilities related to the research project (i.e., whether they will 
have joint and severable liability).
    (2) After the review, in consultation with legal counsel, you should 
determine whether it is better to have all of the consortium members 
sign the agreement individually or to allow them to designate one member 
to sign on all members' behalf.

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                  Reporting Information About the Award



Sec. 37.1020  What must I document in my award file?

    You should include in your award file an agreements analysis in 
which you:
    (a) Briefly describe the program and detail the specific military 
and commercial benefits that should result from the project supported by 
the TIA. If the recipient is a consortium that is not formally 
incorporated, you should attach a copy of the signed articles of 
collaboration.
    (b) Describe the process that led to the award of the TIA, including 
how you and program officials solicited and evaluated proposals and 
selected the one supported through the TIA.
    (c) Explain how you decided that a TIA was the most appropriate 
instrument, in accordance with the factors in Subpart B of this part. 
Your explanation must include your answers to the relevant questions in 
Sec. 37.225(a) through (d).
    (d) Explain how you valued the recipient's cost sharing 
contributions, in accordance with Sec. Sec. 37.530 through 37.555. For 
a fixed-support TIA, you must document the analysis you did (see Sec. 
37.560) to set the fixed level of Federal support; the documentation 
must explain how you determined the recipient's minimum cost share and 
show how you estimated the expenditures required to achieve the project 
outcomes.
    (e) Document the results of your negotiation, addressing all 
significant issues in the TIA's provisions. For example, this includes 
specific explanations if you:
    (1) Specify requirements for a participant's systems that vary from 
the standard requirements in Sec. Sec. 37.615(a), 37.625(a), 37.630, or 
37.705(a) in cases where those sections provide flexibility for you to 
do so.
    (2) Provide that any audits are to be performed by an IPA, rather 
than the DCAA, where permitted under Sec. 37.650. Your documentation 
must include:
    (i) The names and addresses of business units for which IPAs will be 
the auditors;
    (ii) Estimated amounts of Federal funds expected under the award for 
those business units; and
    (iii) The basis (e.g., a written statement from the recipient) for 
your judging that the business units do not currently perform under 
types of awards described in Sec. 37.650(b)(1) and (2) and are not 
willing to grant the DCAA audit access.
    (3) Include an intellectual property provision that varies from 
Bayh-Dole requirements.
    (4) Determine that cost sharing is impracticable.



Sec. 37.1025  Must I report information to the Defense Assistance
Awards Data System?

    Yes, you must give the necessary information about the award to the 
office in your organization that is responsible for preparing DD Form 
2566, ``DoD Assistance Award Action Report,'' reports for the Defense 
Assistance Award Data System, to ensure timely and accurate reporting of 
data required by 31 U.S.C. 6101-6106 (see 32 CFR part 21, subpart E).



Sec. 37.1030  What information must I report to the Defense Technical
Information Center?

    (a) For any TIA, you must give your answers to the questions in 
Sec. 37.225(a) through (d) to the office in your DoD Component that is 
responsible for providing data on TIAs to the DTIC. Contact DTIC staff 
either by electronic mail at [email protected], by telephone at 1-800-225-
3842, or at DTIC-OCA, 8725 John J. Kingman Rd., Suite 0944, Fort 
Belvoir, VA 22060-6218, if you are unsure about the responsible office 
in your DoD Component. The DTIC compiles the information to help the 
Department of Defense measure the Department-wide benefits of using TIAs 
and assess the instruments' value in helping to meet the policy 
objectives described in Sec. 37.205(b) and appendix A to this part.
    (b) If the TIA uses the authority of 10 U.S.C. 2371, as described in 
Sec. 37.1035, your information submission for the DTIC under paragraph 
(a) of this section must include the additional data required for the 
DoD's annual report to Congress.
    (c) If, as permitted under Sec. 37.650, the TIA includes a 
provision allowing a for-

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profit participant to have audits performed by an IPA, rather than the 
DCAA, you must report that fact with the other information you submit 
about the TIA. Note that you also must include information about any use 
of IPAs permitted by subawards that participants make to for-profit 
firms, as provided in Sec. 37.670. Information about a subaward under 
the TIA must be reported even if you receive the information in a 
subsequent year, when information about the TIA itself does not need to 
be reported.
    (d) The requirements in this section to report information to the 
DTIC should not be confused with the post-award requirement to forward 
copies of technical reports to the DTIC, as described at Sec. Sec. 
37.890 and 37.895. The reporting requirements in this section are 
assigned the Report Control Symbol DD-AT&L(A) 1936.



Sec. 37.1035  How do I know if my TIA uses the 10 U.S.C. 2371 authority
and I must report additional data under Sec. 37.1030(b)?

    As explained in appendix B to this part, a TIA uses the authority of 
10 U.S.C. 2371 and therefore must be included in the DoD's annual report 
to Congress on the use of 10 U.S.C. 2371 authorities if it:
    (a) Is an assistance transaction other than a grant or cooperative 
agreement, by virtue of its patent rights provision; or
    (b) Includes a provision to recover funds from a recipient, as 
described at Sec. 37.580.



Sec. 37.1040  When and how do I report information required by
Sec. 37.1035?

    Information that you report, in accordance with Sec. 37.1030, to 
the office that your DoD Component designates as the central point for 
reporting to the DTIC must be:
    (a) Submitted by the dates that your central point establishes 
(which is consistent with the schedule DTIC specifies to DoD 
Components).
    (b) In the format that your central point provides (which is 
consistent with the format that the DTIC specifies to DoD Components).

                Distributing Copies of the Award Document



Sec. 37.1045  To whom must I send copies of the award document?

    You must send a copy of the award document to the:
    (a) Recipient. You must include on the first page of the recipient's 
copy a prominent notice about the current DoD requirements for payment 
by electronic funds transfer (EFT).
    (b) Office you designate to administer the TIA. You are strongly 
encouraged to delegate post-award administration to the regional office 
of the Defense Contract Management Agency or Office of Naval Research 
that administers awards to the recipient. When delegating, you should 
clearly indicate on the cover sheet or first page of the award document 
that the award is a TIA, to help the post-award administrator 
distinguish it from other types of assistance instruments.
    (c) Finance and accounting office designated to make the payments to 
the recipient.



                   Subpart I_Post-Award Administration



Sec. 37.1100  What are my responsibilities generally as an
administrative agreements officer for a TIA?

    As the administrative agreements officer for a TIA, you have the 
responsibilities that your office agreed to accept in the delegation 
from the office that made the award. Generally, you will have the same 
responsibilities as a post-award administrator of a grant or cooperative 
agreement, as described in 32 CFR 22.715. Responsibilities for TIAs 
include:
    (a) Advising agreements officers before they award TIAs on how to 
establish award terms and conditions that better meet research 
programmatic needs, facilitate effective post-award administration, and 
ensure good stewardship of Federal funds.
    (b) Participating as the business partner to the DoD program 
official to ensure the Government's substantial involvement in the 
research project. This may involve attendance with program officials at 
kickoff meetings or post-award conferences with recipients.

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It also may involve attendance at the consortium management's periodic 
meetings to review technical progress, financial status, and future 
program plans.
    (c) Tracking and processing of reports required by the award terms 
and conditions, including periodic business status reports, programmatic 
progress reports, and patent reports.
    (d) Handling payment requests and related matters. For a TIA using 
advance payments, that includes reviews of progress to verify that there 
is continued justification for advancing funds, as discussed in Sec. 
37.1105(b). For a TIA using milestone payments, it includes making any 
needed adjustments in future milestone payment amounts, as discussed in 
Sec. 37.1105(c).
    (e) Coordinating audit requests and reviewing audit reports for both 
single audits of participants' systems and any award-specific audits 
that may be needed, as discussed in Sec. Sec. 37.1115 and 37.1120.
    (f) Responding, after coordination with program officials, to 
recipient requests for permission to sell or exclusively license 
intellectual property to entities that do not agree to manufacture 
substantially in the United States, as described in Sec. 37.875(b). 
Before you grant approval for any technology, you must secure assurance 
that the Government will be able to use the technology (e.g., a 
reasonable license for Government use, if the recipient is selling the 
technology) or seek reimbursement of the Government's investments.
    (g) Notifying the agreements officer who made the award if a 
participant informs you about a subaward allowing a for-profit 
subrecipient to have audits performed by an IPA, rather than the DCAA. 
You should alert the awarding official that he or she must report the 
information, as required by Sec. 37.1030(c).



Sec. 37.1105  What additional duties do I have as the administrator
of a TIA with advance payments or payable milestones?

    Your additional post-award responsibilities as an administrative 
agreements officer for an expenditure-based TIA with advance payments or 
payable milestones are to ensure good cash management. To do so, you 
must:
    (a) For any expenditure-based TIA with advance payments or payable 
milestones, forward to the responsible payment office any interest that 
the recipient remits in accordance with Sec. 37.820(b). The payment 
office will return the amounts to the Department of the Treasury's 
miscellaneous receipts account.
    (b) For any expenditure-based TIA with advance payments, consult 
with the program official and consider whether program progress reported 
in periodic reports, in relation to reported expenditures, is sufficient 
to justify your continued authorization of advance payments under Sec. 
37.805(b).
    (c) For any expenditure-based TIA using milestone payments, work 
with the program official at the completion of each payable milestone or 
upon receipt of the next business status report to:
    (1) Compare the total amount of project expenditures, as recorded in 
the payable milestone report or business status report, with the 
projected budget for completing the milestone; and
    (2) Adjust future payable milestones, as needed, if expenditures lag 
substantially behind what was originally projected and you judge that 
the recipient is receiving Federal funds sooner than necessary for 
program purposes. Before making adjustments, you should consider how 
large a deviation is acceptable at the time of the milestone. For 
example, suppose that the first milestone payment for a TIA you are 
administering is $50,000, and that the awarding official set the amount 
based on a projection that the recipient would have to expend $100,000 
to reach the milestone (i.e., the original plan was for the recipient's 
share at that milestone to be 50% of project expenditures). If the 
milestone payment report shows $90,000 in expenditures, the recipient's 
share at this point is 44% ($40,000 out of the total $90,000 expended, 
with the balance provided by the $50,000 milestone payment of Federal 
funds). For this example, you should adjust future milestones if you 
judge that a 6% difference in the recipient's share at the first 
milestone is too large, but not otherwise. Remember

[[Page 232]]

that milestone payment amounts are not meant to track expenditures 
precisely at each milestone and that a recipient's share will increase 
as it continues to perform research and expend funds, until it completes 
another milestone to trigger the next Federal payment.



Sec. 37.1110  What other responsibilities related to payments do I have?

    If you are the administrative agreements officer, you have the 
responsibilities described in 32 CFR 22.810(c), regardless of the 
payment method. You also must ensure that you do not withhold payments, 
except in one of the circumstances described in 32 CFR 34.12(g).



Sec. 37.1115  What are my responsibilities related to participants'
single audits?

    For audits of for-profit participant's systems, under Sec. Sec. 
37.640 through 37.660, you are the focal point within the Department of 
Defense for ensuring that participants submit audit reports and for 
resolving any findings in those reports. Nonprofit participants send 
their single audit reports to a Governmentwide clearinghouse. For those 
participants, the Office of the Assistant Inspector General (Auditing) 
should receive any DoD-specific findings from the clearinghouse and 
refer them to you for resolution, if you are the appropriate official to 
do so.



Sec. 37.1120  When and how may I request an award-specific audit?

    Guidance on when and how you should request additional audits for 
expenditure-based TIAs is identical to the guidance for grants officers 
in 32 CFR 34.16(d). If you require an award-specific examination or 
audit of a for-profit participant's records related to a TIA, you must 
use the auditor specified in the award terms and conditions, which 
should be the same auditor who performs periodic audits of the 
participant. The DCAA and the OIG, DoD, are possible sources of advice 
on audit-related issues, such as appropriate audit objectives and scope.



            Subpart J_Definitions of Terms Used in This Part



Sec. 37.1205  Advance.

    A payment made to a recipient before the recipient disburses the 
funds for program purposes. Advance payments may be based upon 
recipients' requests or predetermined payment schedules.



Sec. 37.1210  Advanced research.

    Research that creates new technology or demonstrates the viability 
of applying existing technology to new products and processes in a 
general way. Advanced research is most closely analogous to 
precompetitive technology development in the commercial sector (i.e., 
early phases of research and development on which commercial competitors 
are willing to collaborate, because the work is not so coupled to 
specific products and processes that the results of the work must be 
proprietary). It does not include development of military systems and 
hardware where specific requirements have been defined. It is typically 
funded in Research, Development, Test and Evaluation programs within 
Budget Activity 3, Advanced Technology Development.



Sec. 37.1215  Agreements officer.

    An official with the authority to enter into, administer, and/or 
terminate TIAs (see Sec. 37.125).



Sec. 37.1220  Applied research.

    Efforts that attempt to determine and exploit the potential of 
scientific discoveries or improvements in technology such as new 
materials, devices, methods and processes. It typically is funded in 
Research, Development, Test and Evaluation programs within Budget 
Activity 2, Applied Research (also known informally as research category 
6.2) programs. Applied research normally follows basic research but may 
not be fully distinguishable from the related basic research. The term 
does not include efforts whose principal aim is the design, development, 
or testing of specific products, systems or processes to be considered 
for sale or acquisition; these efforts are within the definition of 
``development.''

[[Page 233]]



Sec. 37.1225  Articles of collaboration.

    An agreement among the participants in a consortium that is not 
formally incorporated as a legal entity, by which they establish their 
relative rights and responsibilities (see Sec. 37.515).



Sec. 37.1230  Assistance.

    The transfer of a thing of value to a recipient to carry out a 
public purpose of support or stimulation authorized by a law of the 
United States (see 31 U.S.C. 6101(3)). Grants, cooperative agreements, 
and technology investment agreements are examples of legal instruments 
used to provide assistance.



Sec. 37.1235  Award-specific audit.

    An audit of a single TIA, usually done at the cognizant agreements 
officer's request, to help resolve issues that arise during or after the 
performance of the research project. An award-specific audit of an 
individual award differs from a periodic audit of a participant (as 
defined in Sec. 37.1325).



Sec. 37.1240  Basic research.

    Efforts directed toward increasing knowledge and understanding in 
science and engineering, rather than the practical application of that 
knowledge and understanding. It typically is funded within Research, 
Development, Test and Evaluation programs in Budget Activity 1, Basic 
Research (also known informally as research category 6.1).



Sec. 37.1245  Cash contributions.

    A recipient's cash expenditures made as contributions toward cost 
sharing, including expenditures of money that third parties contributed 
to the recipient.



Sec. 37.1250  Commercial firm.

    A for-profit firm or segment of a for-profit firm (e.g., a division 
or other business unit) that does a substantial portion of its business 
in the commercial marketplace.



Sec. 37.1255  Consortium.

    A group of research-performing organizations that either is formally 
incorporated or that otherwise agrees to jointly carry out a research 
project (see definition of ``articles of collaboration,'' in Sec. 
37.1225).



Sec. 37.1260  Cooperative agreement.

    A legal instrument which, consistent with 31 U.S.C. 6305, is used to 
enter into the same kind of relationship as a grant (see definition of 
``grant,'' in Sec. 37.1295), except that substantial involvement is 
expected between the Department of Defense and the recipient when 
carrying out the activity contemplated by the cooperative agreement. The 
term does not include ``cooperative research and development 
agreements'' as defined in 15 U.S.C. 3710a.



Sec. 37.1265  Cost sharing.

    A portion of project costs that are borne by the recipient or non-
Federal third parties on behalf of the recipient, rather than by the 
Federal Government.



Sec. 37.1270  Data.

    Recorded information, regardless of form or method of recording. The 
term includes technical data, which are data of a scientific or 
technical nature, and computer software. It does not include financial, 
cost, or other administrative information related to the administration 
of a TIA.



Sec. 37.1275  DoD Component.

    The Office of the Secretary of Defense, a Military Department, a 
Defense Agency, or a DoD Field Activity.



Sec. 37.1280  Equipment.

    Tangible property, other than real property, that has a useful life 
of more than one year and an acquisition cost of $5,000 or more per 
unit.



Sec. 37.1285  Expenditure-based award.

    A Federal Government contract or assistance award for which the 
amounts of interim payments or the total amount ultimately paid (i.e., 
the sum of interim payments and final payment) are subject to 
redetermination or adjustment, based on the amounts expended by the 
recipient in carrying out the purposes for which the award was made. 
Most Federal Government grants and cooperative agreements are 
expenditure-based awards.

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Sec. 37.1290  Expenditures or outlays.

    Charges made to the project or program. They may be reported either 
on a cash or accrual basis, as shown in the following table:
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Sec. 37.1295  Grant.

    A legal instrument which, consistent with 31 U.S.C. 6304, is used to 
enter into a relationship:
    (a) The principal purpose of which is to transfer a thing of value 
to the recipient to carry out a public purpose of support or stimulation 
authorized by a law of the United States, rather than to acquire 
property or services for the Department of Defense's direct benefit or 
use.
    (b) In which substantial involvement is not expected between the 
Department of Defense and the recipient when carrying out the activity 
contemplated by the grant.



Sec. 37.1300  In-kind contributions.

    The value of non-cash contributions made by a recipient or non-
Federal third parties toward cost sharing.



Sec. 37.1305  Institution of higher education.

    An educational institution that:
    (a) Meets the criteria in section 101 of the Higher Education Act of 
1965 (20 U.S.C. 1001); and
    (b) Is subject to the provisions of OMB Circular A-110, 
``Administrative Requirements for Grants and Agreements with 
Institutions of Higher Education, Hospitals, and Other Non-Profit 
Organizations,'' as implemented by the Department of Defense at 32 CFR 
part 32.



Sec. 37.1310  Intellectual property.

    Inventions, data, works of authorship, and other intangible products 
of intellectual effort that can be owned by a person, whether or not 
they are patentable or may be copyrighted. The term also includes mask 
works, such as

[[Page 235]]

those used in microfabrication, whether or not they are tangible.



Sec. 37.1315  Nonprofit organization.

    (a) Any corporation, trust, association, cooperative or other 
organization that:
    (1) Is operated primarily for scientific, educational, service, or 
similar purposes in the public interest.
    (2) Is not organized primarily for profit; and
    (3) Uses its net proceeds to maintain, improve, or expand the 
operations of the organization.
    (b) The term includes any nonprofit institution of higher education 
or nonprofit hospital.



Sec. 37.1320  Participant.

    A consortium member or, in the case of an agreement with a single 
for-profit entity, the recipient. Note that a for-profit participant may 
be a firm or a segment of a firm (e.g., a division or other business 
unit).



Sec. 37.1325  Periodic audit.

    An audit of a participant, performed at an agreed-upon time (usually 
a regular time interval), to determine whether the participant as a 
whole is managing its Federal awards in compliance with the terms of 
those awards. Appendix C to this part describes what such an audit may 
cover. A periodic audit of a participant differs from an award-specific 
audit of an individual award (as defined in Sec. 37.1235).



Sec. 37.1330  Procurement contract.

    A Federal Government procurement contract. It is a legal instrument 
which, consistent with 31 U.S.C. 6303, reflects a relationship between 
the Federal Government and a State, a local government, or other 
recipient when the principal purpose of the instrument is to acquire 
property or services for the direct benefit or use of the Federal 
Government. See the more detailed definition of the term ``contract'' at 
48 CFR 2.101.



Sec. 37.1335  Program income.

    Gross income earned by the recipient or a participant that is 
generated by a supported activity or earned as a direct result of a TIA. 
Program income includes but is not limited to: income from fees for 
performing services; the use or rental of real property, equipment, or 
supplies acquired under a TIA; the sale of commodities or items 
fabricated under a TIA; and license fees and royalties on patents and 
copyrights. Interest earned on advances of Federal funds is not program 
income.



Sec. 37.1340  Program official.

    A Federal Government program manager, scientific officer, or other 
individual who is responsible for managing the technical program being 
carried out through the use of a TIA.



Sec. 37.1345  Property.

    Real property, equipment, supplies, and intellectual property, 
unless stated otherwise.



Sec. 37.1350  Real property.

    Land, including land improvements, structures and appurtenances 
thereto, but excluding movable machinery and equipment.



Sec. 37.1355  Recipient.

    An organization or other entity that receives a TIA from a DoD 
Component. Note that a for-profit recipient may be a firm or a segment 
of a firm (e.g., a division or other business unit).



Sec. 37.1360  Research.

    Basic, applied, and advanced research, as defined in this subpart.



Sec. 37.1365  Supplies.

    Tangible property other than real property and equipment. Supplies 
have a useful life of less than one year or an acquisition cost of less 
than $5,000 per unit.



Sec. 37.1370  Termination.

    The cancellation of a TIA, in whole or in part, at any time prior to 
either:
    (a) The date on which all work under the TIA is completed; or
    (b) The date on which Federal sponsorship ends, as given in the 
award document or any supplement or amendment thereto.

[[Page 236]]



Sec. 37.1375  Technology investment agreements.

    A special class of assistance instruments used to increase 
involvement of commercial firms in defense research programs and for 
other purposes (described in appendix A to this part) related to 
integrating the commercial and defense sectors of the nation's 
technology and industrial base. A technology investment agreement may be 
a cooperative agreement with provisions tailored for involving 
commercial firms (as distinct from a cooperative agreement subject to 
all of the requirements in 32 CFR part 34), or another kind of 
assistance transaction (see appendix B to this part).

[[Page 237]]



   Sec. Appendix A to Part 37--What Is the Civil-Military Integration 
     Policy That Is the Basis for Technology Investment Agreements?
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 Sec. Appendix B to Part 37--What Type of Instrument Is a TIA and What 
                   Statutory Authorities Does It Use?
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 Sec. Appendix C to Part 37--What Is the Desired Coverage for Periodic 
        Audits of For-Profit Participants To Be Audited by IPAs?
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Sec. Appendix D to Part 37--What Common National Policy Requirements May 
                 Apply and Need To Be Included in TIAs?

    Whether your TIA is a cooperative agreement or another type of 
assistance transaction, as discussed in Appendix B to this part, the 
terms and conditions of the agreement must provide for recipients' 
compliance with applicable Federal statutes and regulations. This 
appendix lists some of the more common requirements to aid you in 
identifying ones that apply to your TIA. The list is not intended to be 
all-inclusive, however, and you may need to consult legal

[[Page 250]]

counsel to verify whether there are others that apply in your situation 
(e.g., due to a provision in the appropriations act for the specific 
funds that you are using or due to a statute or rule that applies to a 
particular program or type of activity).

                            A. Certifications

    One requirement that applies to all TIAs currently requires you to 
obtain a certification at the time of proposal. That requirement is in a 
Governmentwide common rule about lobbying prohibitions, which is 
implemented by the DoD at 32 CFR part 28. The prohibitions apply to all 
financial assistance. Appendix A to 32 CFR part 22 includes a sample 
provision that you may use, to have proposers incorporate the 
certification by reference into their proposals.

                  B. Assurances That Apply to All TIAs

    DoD policy is to use a certification, as described in the preceding 
paragraph, only for a national policy requirement that specifically 
requires one. The usual approach to communicating other national policy 
requirements to recipients is to incorporate them as award terms or 
conditions, or assurances. Appendix B to 32 CFR part 22 lists national 
policy requirements that commonly apply to grants and cooperative 
agreements. It also has suggested language for assurances to incorporate 
the requirements in award documents. Of those requirements, the 
following six apply to all TIAs:
    1. Requirements concerning debarment and suspension in the OMB 
guidance in 2 CFR part 180, as implemented by the DoD at 2 CFR part 
1125. The requirements apply to all nonprocurement transactions.
    2. Requirements concerning drug-free workplace in the Governmentwide 
common rule that the DoD has codified at 32 CFR part 26. The 
requirements apply to all financial assistance.
    3. Prohibitions on discrimination on the basis of race, color, or 
national origin in Title VI of the Civil Rights Act of 1964 (42 U.S.C. 
2000d, et seq.). These apply to all financial assistance. They require 
recipients to flow down the prohibitions to any subrecipients performing 
a part of the substantive research program (as opposed to suppliers from 
whom recipients purchase goods or services). For further information, 
see item a. under the heading ``Nondiscrimination'' in Appendix B to 32 
CFR part 22.
    4. Prohibitions on discrimination on the basis of age, in the Age 
Discrimination Act of 1975 (42 U.S.C. 6101, et seq.). They apply to all 
financial assistance and require flow down to subrecipients. For further 
information, see item d. under the heading ``Nondiscrimination'' in 
Appendix B to 32 CFR part 22.
    5. Prohibitions on discrimination on the basis of handicap, in 
section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794). They 
apply to all financial assistance and require flow down to 
subrecipients. For further information, see item e.1. under the heading 
``Nondiscrimination'' in Appendix B to 32 CFR part 22.
    6. Preferences for use of U.S.-flag air carriers in the 
International Air Transportation Fair Competitive Practices Act of 1974 
(49 U.S.C. 40118), which apply to uses of U.S. Government funds.

                           C. Other Assurances

    Additional requirements listed in Appendix B to 32 CFR part 22 may 
apply in certain circumstances, as follows:
    1. If construction work is to be done under a TIA or its subawards, 
it is subject to the prohibitions in Executive Order 11246 on 
discrimination on the basis of race, color, religion, sex, or national 
origin. For further information, see item b. under the heading 
``Nondiscrimination'' in Appendix B to 32 CFR part 22.
    2. If the research involves human subjects or animals, it is subject 
to the requirements in item a. or b., respectively, under the heading 
``Live organisms'' in Appendix B to 32 CFR part 22.
    3. If the research involves actions that may affect the environment, 
it is subject to the National Environmental Policy Act, which is item 
b.1. under the heading ``Environmental Standards'' in Appendix B to 32 
CFR part 22. It also may be subject to one or more of the other 
requirements in items b.2. through b.6. under that heading, which 
concern flood-prone areas, coastal zones, coastal barriers, wild and 
scenic rivers, and underground sources of drinking water.
    4. If the project may impact a historic property, it is subject to 
the National Historic Preservation Act of 1966 (16 U.S.C. 470, et seq.), 
as described under the heading ``National Historic Preservation'' in 
Appendix B to 32 CFR part 22.

[68 FR 47160, Aug. 7, 2003, as amended at 70 FR 49477, Aug. 23, 2005; 72 
FR 34999, June 26, 2007]



 Sec. Appendix E to Part 37--What Provisions May a Participant Need To 
         Include When Purchasing Goods or Services Under a TIA?

    A. As discussed in Sec. 37.705, you must inform recipients of any 
national policy requirements that flow down to their purchases of goods 
or services (e.g., supplies or equipment) under their TIAs. Note that 
purchases of goods or services differ from subawards, which are for 
substantive research program performance.

[[Page 251]]

    B. Appendix A to 32 CFR part 34 lists seven national policy 
requirements that commonly apply to firms' purchases under grants or 
cooperative agreements. Of those seven, two that apply to all 
recipients' purchases under TIAs are:
    1. Byrd Anti-Lobbying Amendment (31 U.S.C. 1352). A contractor 
submitting a bid to the recipient for a contract award of $100,000 or 
more must file a certification with the recipient that it has not and 
will not use Federal appropriations for certain lobbying purposes. The 
contractor also must disclose any lobbying with non-Federal funds that 
takes place in connection with obtaining any Federal award. For further 
details, see 32 CFR part 28, the DoD's codification of the 
Governmentwide common rule implementing this amendment.
    2. Debarment and suspension. A contract award with an amount 
expected to equal or exceed $25,000 and certain other contract awards 
(see 2 CFR 1125.220, which implements OMB guidance in 2 CFR 180.220) 
shall not be made to parties listed on the Governmentwide Excluded 
Parties List System, in accordance with the DoD adoption at 2 CFR part 
1125 of the OMB guidance implementing E.O.s 12549 (3 CFR, 1986 Comp., p. 
189) and 12689 (3 CFR, 1989 Comp., p. 235), ``Debarment and 
Suspension.'' The Excluded Parties List System accessible on the 
Internet at www.epls.gov contains the names of parties debarred, 
suspended, or otherwise excluded by agencies, as well as parties 
declared ineligible under statutory or regulatory authority other than 
E.O. 12549.
    C. One other requirement applies only in cases where construction 
work is to be performed under the TIA with Federal funds or recipient 
funds counted toward required cost sharing:
    1. Equal Employment Opportunity. Although construction work should 
happen rarely under a TIA, the agreements officer in that case should 
inform the recipient that Department of Labor regulations at 41 CFR 60-
1.4(b) prescribe a clause that must be incorporated into construction 
awards and subawards. Further details are provided in Appendix B to Part 
22 of the DoDGARs (32 CFR part 22), in section b. under the heading 
``Nondiscrimination.''

[68 FR 47160, Aug. 7, 2003, as amended at 70 FR 49478, Aug. 23, 2005; 72 
FR 34999, June 26, 2007]

[[Page 252]]



              SUBCHAPTER D_PERSONNEL, MILITARY AND CIVILIAN



    Cross Reference: For a revision of Standards for a Merit System of 
Personnel Administration, see 5 CFR part 900.



PART 44_SCREENING THE READY RESERVE--Table of Contents



Sec.
44.1 Purpose.
44.2 Applicability.
44.3 Definitions.
44.4 Policy.
44.5 Responsibilities.

Appendix A to Part 44--Guidance

    Authority: 10 U.S.C. 10145.

    Source: 64 FR 72027, Dec. 23, 1999, unless otherwise noted.



Sec. 44.1  Purpose.

    Updates DoD policy and responsibilities for the screening of Ready 
Reservists under 10 U.S.C. 1003, 1005, and 1209.



Sec. 44.2  Applicability.

    This part applies to the Office of the Secretary of Defense, the 
Military Departments (including the Coast Guard, when it is not 
operating as a Military Service in the Navy by agreement with the 
Department of Transportation), the Chairman of the Joint Chiefs of 
Staff, the Combatant Commands, the Inspector General of the Department 
of Defense, the Defense Agencies, the DoD Field Activities and all other 
organizational entities within the Department of Defense (hereafter 
referred to collectively as the ``DoD Components''). The term ``Military 
Services'' as used in this part, refers to the Army, the Navy, the Air 
Force and the Marine Corps.



Sec. 44.3  Definitions.

    For purposes of this part, the following definitions apply:
    Extreme community hardship. A situation that, because of a 
Reservist's mobilization, may have a substantially adverse effect on the 
health, safety, or welfare of the community. Any request for a 
determination of such hardship shall be made by the Reservist and must 
be supported by documentation, as required by the Secretary concerned.
    Extreme personal hardship. An adverse impact on a Reservist's 
dependents resulting from his or her mobilization. Any request for a 
determination of such hardship shall be made by the Reservist and must 
be supported by documentation, as required by the Secretary concerned.
    Individual Ready Reserve. Within the Ready Reserve of each of the 
Reserve Components there is an Individual Ready Reserve. The Individual 
Ready Reserve consists of members of the Ready Reserve who are not in 
the Selected Reserve or the Inactive National Guard.
    Key employee. Any Federal employee occupying a key position.
    Key position. A Federal position that shall not be vacated during a 
national emergency or mobilization without SERIOUSLY impairing the 
capability of the parent Federal Agency or office to function 
effectively. The four categories of Federal key positions are set out in 
this paragraph. The first three categories are, by definition, key 
positions. However, the third category, Article III Judges, provides for 
exceptions on a case-by-case basis. The fourth category requires a case-
by-case determination and designation as described in the following:
    (1) The Vice President of the United States or any official 
specified in the order of presidential succession as in 3 U.S.C. 19.
    (2) The members of the Congress and the heads of the Federal 
Agencies appointed by the President with the consent of the Senate. For 
this part, the term ``the heads of the Federal Agencies'' does not-
include any person appointed by the President with the consent of the 
Senate to a Federal Agency as a member of a multimember board or 
commission. Such positions may be designated as key positions only in 
accordance with paragraph (4) of this definition.
    (3) Article III Judges. However, each Article III Judge, who is a 
member of the Ready Reserve and desires to remain in the Ready Reserve, 
must have his or her position reviewed by the

[[Page 253]]

Chief Judge of the affected Judge's Circuit. If the Chief Judge 
determines that mobilization of the Article III Judge concerned will not 
seriously impair the capability of the Judge's court to function 
effectively, the Chief Judge will provide a certification to that effect 
to the Secretary of the Military Department concerned. Concurrently, the 
affected Judge will provide a statement to the Secretary concerned 
requesting continued service in the Ready Reserve and acknowledging that 
he or she may be involuntarily called to active duty (AD) under the laws 
of the United States and the Directives and Regulations of the 
Department of Defense and pledging not to seek to be excused from such 
orders based upon his or her judicial duties.
    (4) Other Federal positions determined by the Federal Agency heads, 
or their designees, to be key positions in accordance with the 
guidelines in the appendix to this part.
    Mobilization. Involuntary call-up of Reserve component members in 
accordance with 10 U.S.C. 12301, 12302, or 12304. That includes full 
mobilization, partial mobilization and, selective mobilization 
(Presidential Reserve Call-Up Authority).
    Ready reserve. Reserve unit members or individual Reserve and 
National Guard members, or both, liable for AD, as provided in 10 U.S.C. 
12301, 12302, and, for some members, 10 U.S.C. 12304. It consists of the 
Selected Reserve, the Individual Ready Reserve, and the Inactive 
National Guard.
    Selected reserve. A category of the Ready Reserve in each of the 
Reserve components. The Selected Reserve consists of units, and, as 
designated by the Secretary concerned, of individual Reserve members, 
trained as prescribed in 10 U.S.C. 10147(a)(1) or 32 U.S.C. 502(a), as 
appropriate.
    Standby reserve. The Standby Reserve consists of those units or 
members, or both, of the Reserve components, other than those in the 
Ready Reserve or the Retired Reserve, who are liable for active duty 
only as provided for in 10 U.S.C. 12301 and 12306. The Standby Reserve 
consists of personnel who are maintaining their military affiliation 
without being in the Ready Reserve, but have been designated ``key 
civilian employees,'' or have a temporary hardship or disability. Those 
individuals are not required to perform training and are not part of the 
Ready Reserve. The Standby Reserve is a pool of trained individuals who 
may be mobilized as needed to fill manpower needs in specific skills. 
The Standby Reserve consists of the active status list and the inactive 
status list categories.



Sec. 44.4  Policy.

    It is DoD policy that:
    (a) Members of the Ready Reserve shall be screened (see the appendix 
to this part for specific screening guidance) at least annually to meet 
the provisions of 10 U.S.C. 10149 and to provide a Ready Reserve force 
composed of members who:
    (1) Meet Military Service wartime standards of mental, moral, 
professional, and physical fitness.
    (2) Possess the military qualifications required in the various 
ranks, ratings, and specialties.
    (3) Are available immediately for active duty (AD) during a 
mobilization or as otherwise required by law.
    (b) On mobilization under 10 U.S.C. 12301(a) or 10 U.S.C. 12302, all 
personnel actions relating to the screening program shall be held in 
abeyance, and all members remaining in the Ready Reserve shall be 
considered immediately available for AD service. After such a 
mobilization is ordered, no deferment, delay, or exemption from 
mobilization shall be granted to Ready Reservists because of their 
civilian employment. On involuntary activation of Reserve members under 
10 U.S.C. 12304 (Presidential Reserve Call-Up Authority), the Secretary 
of Defense, or designee, shall make a determination regarding the 
continuation or cessation of personnel actions related to the screening 
program.
    (c) All Ready Reservists shall be retained in the Ready Reserve for 
the entire period of their statutory obligation or voluntary contract. 
Exceptions to that policy are made in paragraphs (g), (h), and (i) of 
this section, or may be made by the Secretaries concerned, in accordance 
with 10 U.S.C. 10145 and 10146.
    (d) A member of the Army National Guard of the United States or the 
Air

[[Page 254]]

National Guard of the United States may be transferred to the Standby 
Reserve only with the consent of the governor or other applicable 
authority of the State, commonwealth, or territory concerned (including 
the District of Columbia) in accordance with 10 U.S.C. 10146.
    (e) Any eligible member of the Standby Reserve may be transferred 
back to the Ready Reserve when the reason for the member's transfer to 
the Standby Reserve no longer exists in accordance with 10 U.S.C. 10150 
and DoD Instruction 1200.15. \1\
---------------------------------------------------------------------------

    \1\ Copies may be obtained at http://web7.whs.osd.mil/corres.htm.
---------------------------------------------------------------------------

    (f) Ready Reservists whose immediate recall to AD during an 
emergency would create an extreme personal or community hardship shall 
be transferred to the Standby Reserve or the Retired Reserve, or shall 
be discharged, as applicable, except as specified in paragraph (b) of 
this section.
    (g) Ready Reservists who are designated key employees or who occupy 
key positions, as defined in this section, shall be transferred to the 
Standby Reserve or the Retired Reserve, or shall be discharged, as 
appropriate, except as specified in paragraph (b) of this section.
    (h) Ready Reservists who are also DoD civilian employees may not 
hold a mobilization assignment to the same positions that they fill as 
civilian employees. Those Ready Reservists shall be reassigned or 
transferred, as applicable. Reserve component military technicians (dual 
status), as members of Reserve units, are excluded from this provision.
    (i) Ready Reservists who are preparing for the ministry in an 
accredited theology or divinity school cannot be involuntarily called to 
AD or required to participate in inactive duty training (IDT) in 
accordance with 10 U.S.C. 12317. Accordingly, such Ready Reservists 
(other than those participating in a military Chaplain Candidate or 
Theology Student Program) shall be transferred to the Standby Reserve 
(active status list) for the duration of their ministerial studies and 
duties at accredited theology or divinity schools. Ready Reservists 
participating in a military Chaplain Candidate or Theology Student 
Program may continue their Ready Reserve affiliation and engage in AD 
and IDT.
    (j) Ready Reservists may not be transferred from the Ready Reserve 
solely because they are students, interns, residents, or fellows in the 
healthcare professions. On mobilization, they either shall be deferred 
or shall be mobilized in a student, intern, resident, or fellow status 
until qualified in the applicable medical specialty, as prescribed by 
the Secretaries of the Military Departments.
    (k) The Secretaries concerned, or their designees, shall make 
determinations for mobilization availability on a case-by-case basis, 
consistent with this part, and not by class or group determinations.



Sec. 44.5  Responsibilities.

    (a) The Deputy Secretary of Defense shall adjudicate, before 
mobilization, conflicts between the mobilization manpower needs of the 
civilian sector and the military that the Ready Reserve Screening 
process has identified, but has not resolved.
    (b) The Assistant Secretary of Defense for Reserve Affairs, under 
the Under Secretary of Defense for Personnel and Readiness, shall:
    (1) Provide oversight and policy support to the overall Ready 
Reserve screening program, and manage and control the Federal sector 
screening program in accordance with 10 U.S.C. 10149, Executive Order 
11190, and pp. 63-66 of House Appropriations Committee Report 95-451, 
which is available from the Government Printing Office, Washington, DC 
20401.
    (2) Annually, provide Federal Agencies with a listing of all Federal 
employees who are also Ready Reservists to assist them in conducting 
employer screening activities.
    (3) Prepare an annual report on the status of Ready Reservists 
employed by the Federal Government.
    (4) Employ the guidance in appendix A of this part in coordinating 
the screening program with employers of Ready Reservists.

[[Page 255]]

    (5) Coordinate conflicts between the mobilization manpower needs of 
the civilian sector and the military identified but not resolved through 
the Ready Reserve Screening process.
    (c) The Secretaries of the Military Departments shall:
    (1) Screen, at least annually, all Ready Reservists under their 
jurisdiction to ensure their immediate availability for active duty (AD) 
and to ensure compliance with 10 U.S.C. 10149.
    (2) Ensure coordination with the Assistant Secretary of Defense for 
Reserve Affairs to resolve conflicts (identified, but not resolved 
through the Ready Reserve screening process) between the mobilization 
manpower needs of the civilian sector and the military.
    (3) Review recommendations for removal of both Federal and other 
civilian employees from the Ready Reserve submitted by employers and 
take applicable action.
    (4) After making a removal determination in response to a petition 
for such action, promptly transmit the results of that determination to 
the Ready Reservist concerned and his/her employer.
    (5) Transfer Ready Reservists identified as occupying key positions 
to the Standby Reserve or the Retired Reserve, or discharge them, as 
applicable.
    (6) Ensure that Ready Reservists not on AD are examined as to 
physical fitness in accordance with DoD Directive 1332.18. \2\
---------------------------------------------------------------------------

    \2\ See footnote 1 to Sec. 44.4(e).
---------------------------------------------------------------------------

    (7) Process members of the Ready Reserve who do not participate 
satisfactorily in accordance with DoD Instruction 1200.15 and DoD 
Directive 1215.13. \3\
---------------------------------------------------------------------------

    \3\ See footnote 1 to Sec. 44.4(e).
---------------------------------------------------------------------------

    (8) Ensure that all Ready Reservists have a favorably completed 
background check for military service suitability on file (e.g., 
Entrance National Agency Check (ENTNAC), NAC).
    (9) Ensure that personnel records systems incorporate information on 
any factors that limit the mobilization availability of a Ready 
Reservist.
    (10) Develop and maintain current information pertaining to the 
mobilization availability of Ready Reservists.



                  Sec. Appendix A to Part 44--Guidance

                       Deputy Secretary of Defense

    The Deputy Secretary of Defense shall adjudicate, before 
mobilization, conflicts between the mobilization manpower needs of the 
civilian sector and the military that the Ready Reserve screening 
process has identified, but has not resolved.

                      Employers of Ready Reservists

                          (a) Federal Employers

    (1) To ensure that Federal employees essential to the continuity of 
the Federal Government are not retained as members of the Ready Reserve, 
the following guidance is provided:
    (i) Conduct annual screening program as provided for by the 
Assistant Secretary of Defense for Reserve Affairs.
    (ii) Responses from Federal Agencies shall be reported under 
Interagency Report Control Number 0912-DoD-AN, ``Ready Reservists in the 
Federal Government,'' in accordance with DoD 8910.1-M. \4\
---------------------------------------------------------------------------

    \4\ See footnote 1 to Sec. 44.4(e).
---------------------------------------------------------------------------

    (iii) Federal Agency heads, or their designees, concerned shall 
designate those positions that are of essential nature to, and within, 
the organization as ``key positions,'' and shall require that they shall 
NOT be filled by Ready Reservists to preclude such positions from being 
vacated during a mobilization. Upon request from Federal Agencies, 
Secretaries of the Military Departments shall verify the essential 
nature of the positions being designated as ``key,'' and shall transfer 
Ready Reservists occupying key positions to the Standby Reserve or the 
Retired Reserve or shall discharge them, as applicable, under 10 U.S.C. 
10149, except as specified in Sec. 44.4 (b).
    (iv) In determining whether or not a position should be designated 
as a ``key position,'' the following questions should be considered by 
the Federal Agency concerned:
    (A) Can the position be filled in a reasonable time after 
mobilization?
    (B) Does the position require technical or managerial skills that 
are possessed uniquely by the incumbent employee?
    (C) Is the position associated directly with defense mobilization?
    (D) Does the position include a mobilization or relocation 
assignment in an Agency having emergency functions, as designated by 
Executive Order 12656?
    (E) Is the position directly associated with industrial or manpower 
mobilization, as designated in Executive Orders 12656 and 12919?
    (F) Are there other factors related to the national defense, health, 
or safety that will make the incumbent of the position unavailable for 
mobilization?

[[Page 256]]

    (2) [Reserved]
    (b) Non-Federal Employers of Ready Reservists. Non-Federal employers 
of Ready Reservists, particularly in the fields of public health and 
safety and defense support industries, are encouraged to adopt personnel 
management procedures designed to preclude conflicts between the 
emergency manpower needs of civilian activities and the military during 
a mobilization. Employers also are encouraged to use the Federal key 
position guidelines contained in this appendix for making their own key 
position designations and, when applicable, for recommending key 
employees for removal from the Ready Reserve.
    (c) All employers who determine that a Ready Reservist is a key 
employee, in accordance with the guidelines in this appendix, should 
promptly report that determination, using the letter format at the end 
of this appendix, to the applicable Reserve personnel center, requesting 
the employee be removed from the Ready Reserve.

                       Individual Ready Reservists

    (a) Each Ready Reservist who is not a member of the Selected Reserve 
is obligated to notify the Secretary concerned of any change of address, 
marital status, number of dependents, or civilian employment and any 
other change that would prevent a member from meeting mobilization 
standards prescribed by the Military Service concerned (10 U.S.C. 
10205).
    (b) All Ready Reservists shall inform their employers of their 
Reserve military obligation.

      List of Reserve Personnel Centers to Which Reserve Screening 
          Determination and Removal Requests Shall be Forwarded

                              Army Reserve

Army Reserve Personnel Command
1 Reserve Way
ATTN: ARPC-PSP-T
St. Louis, MO 63132

                              Naval Reserve

Commander
Navy Personnel Command (Pers 91)
5720 Integrity Drive
Millington, TN 38055-9100

                          Marine Corps Reserve

Commanding General
Marine Corps Reserve Support Command
ATTN: IRR Division
15303 Andrews Road
Kansas City, MO 64147-1207

                            Air Force Reserve

Commander
Air Reserve Personnel Center/DPAF
6760 E. Irvington Pl. 2600
Denver, CO 80280-2600

                       Army and Air National Guard

    Submit requests to the adjutant general of the applicable State, 
commonwealth, or territory (including the District of Columbia).

                           Coast Guard Reserve

Commander (CGPC-RPM)
U.S. Coast Guard Personnel Command
2100 Second St. S.W.
Washington, DC 20593

 Letter Format To Reserve Personnel Centers Requesting That Employee Be 
                     Removed From the Ready Reserve

From: (Employer-Agency or Company)
To: (Appropriate Reserve Personnel Center)
Subject: Request for Employee To Be Removed From the Ready Reserve

    This is to certify that the employee identified below is vital to 
the nation's defense efforts in (his or her) civilian job and cannot be 
mobilized with the Military Services in an emergency for the following 
reasons: [STATE REASONS]
    Therefore, I request that (he/she) be removed from the Ready Reserve 
and that you advise me accordingly when this action has been completed.
    The employee is:

1. Name of employee (last, first, M.I.):
2. Military grade and Reserve component:
3. Social security number:
4. Current home address (street, city, State, and ZIP code):
5. Military unit to which assigned (location and unit number):
6. Title of employee's civilian position:
7. Grade or salary level of civilian position:
8. Date (YYMMDD) hired or assigned to position:

Signature and Title of Agency or Company Official.



PART 45_CERTIFICATE OF RELEASE OR DISCHARGE FROM ACTIVE DUTY (DD FORM
214/5 SERIES)--Table of Contents



Sec.
45.1 Purpose.
45.2 Applicability and scope.
45.3 Policy and procedures.
45.4 Responsibilities.

Appendix A to Part 45--DD Form 214
Appendix B to Part 45--DD Form 214WS
Appendix C to Part 45--DD Form 215
Appendix D to Part 45--State Directors of Veterans Affairs

    Authority: 10 U.S.C. 1168 and 972.

    Source: 54 FR 7409, Feb. 21, 1989, unless otherwise noted.

[[Page 257]]



Sec. 45.1  Purpose.

    (a) This document revises 32 CFR part 45.
    (b) Prescribes procedures concerning the preparation and 
distribution of revised DD Form 214 to comport with the requirements of 
10 U.S.C. 1168, 972, and 32 CFR part 41 and the control and publication 
of separation program designators (SPDs).



Sec. 45.2  Applicability and scope.

    (a) The provisions of this part apply to the Office of the Secretary 
of Defense, the Military Services, the Joint Staff, and the Defense 
Agencies (hereafter referred to as ``DoD Components''). The term 
``Military Services,'' as used here, refers to the Army, Navy, the Air 
Force, the Marine Corps and, by agreement with the Department of 
Transportation, to the Coast Guard.
    (b) Its provisions include procedures on the preparation and 
distribution of DD Forms 214, 214WS, 215 (Appendices A, B, and C) which 
record and report the transfer or separation of military personnel from 
a period of active duty. (NOTE: Computer-generated formats are 
acceptable substitutes provided Assistant Secretary of Defense (Force 
Management and Personnel) approval is obtained.) DD Forms 214 and 215 
(or their substitutes) will provide:
    (1) The Military Services with a source of information relating to 
military personnel for administrative purposes, and for making 
determinations of eligibility for enlistment or reenlistment.
    (2) The Service member with a brief, clear-cut record of the 
member's active service with the Armed Forces at the time of transfer, 
release, or discharge, or when the member changes status or component 
while on active duty.
    (3) Appropriate governmental agencies with an authoritative source 
of information which they require in the administration of Federal and 
State laws applying to personnel who have been discharged, otherwise 
released, or transferred to a Reserve component while on active duty.
    (c) Its provisions include procedures on the control and 
distribution of all lists of SPDs.



Sec. 45.3  Policy and procedures.

    (a) Administrative issuance or reissuance of DD Forms 214 and 215.
    (1) The DD Form 214 will normally be issued by the command from 
which the member was separated. In those instances where a DD Form 214 
was not issued, the Services concerned may establish procedures for 
administrative issuance.
    (2) The DD Form 214, once issued, will not be reissued except:
    (i) When directed by appropriate appellate authority, Executive 
Order, or by the Secretary concerned.
    (ii) When it is determined by the Service concerned that the 
original DD Form 214 cannot be properly corrected by issuance of a DD 
Form 215 or if the correction would require issuance of more than two DD 
Forms 215.
    (iii) When two DD Forms 215 have been issued and an additional 
correction is required.
    (3) Whenever a DD Form 214 is administratively issued or reissued, 
an appropriate entry stating that fact and the date of such action will 
be made in Block 18, Remarks, of the DD Form 214 unless the appellate 
authority, Executive Order, or Secretarial directive specifies 
otherwise.
    (b) The Military Services will ensure that every member (except as 
limited in paragraph (b)(2) of this section and excluding those listed 
in paragraph (c) of this section being separated from the Military 
Services is given a completed DD Form 214 describing relevant data 
regarding the member's service, and the circumstances of termination. DD 
Form 214 may also be issued under other circumstances prescribed by the 
Military Service concerned. A continuation sheet, if required, will be 
bond paper, and will reference: The DD Form 214 being continued; 
information from blocks 1 through 4; the appropriate block(s) being 
continued; the member's signature, date; and the authorizing official's 
signature. DD Forms 214 are not intended to have any legal effect on 
termination of the member's service.
    (1) Release or discharge from active service. (i) The original of DD 
Form 214 showing separation from a period of active service with a 
Military Service, including release from a status that is legally 
determined to be void, will be

[[Page 258]]

physically delivered to the separate prior to departure from the 
separation activity on the effective date of separation; or on the date 
authorized travel time commences.
    (A) Copy No. 4, containing the statutory or regulatory authority, 
reentry code, SPD code, and narrative reason for separation also will be 
physically delivered to the separatee prior to departure, if he/she so 
requested by initiating Block 30, Member Requests Copy 4.
    (B) Remaining copies of DD Form 214 will be distributed on the day 
following the effective date of separation.
    (ii) When separation is effected under emergency conditions which 
preclude physical delivery, or when the recipient departs in advance of 
normal departure time (e.g., on leave in conjunction with retirement; or 
at home awaiting separation for disability), the original DD Form 214 
will be mailed to the recipient on the effective date of separation.
    (iii) If the separation activity is unable to complete all items on 
the DD Form 214, the form will be prepared as completely as possible and 
delivered to the separatee. The separatee will be advised that a DD Form 
215 will be issued by the Military Service concerned when the missing 
information becomes available; and that it will not be necessary for the 
separatee to request a DD Form 215 for such information.
    (iv) If an optical character recognition format is utilized by a 
Military Service, the first carbon copy of the document will be 
physically delivered or mailed to the separatee as prescribed in 
paragraphs (b) (i) through (iii) of this section.
    (2) Release from active duty for training, full-time training duty, 
or active duty for special work. Personnel being separated from a period 
of active duty for training, full-time training duty, or active duty for 
special work will be furnished a DD Form 214 when they have served 90 
days or more, or when required by the Secretary concerned for shorter 
periods. Personnel shall be furnished a DD Form 214 upon separation for 
cause or for physical disability regardless of the length of time served 
on active duty.
    (3) Continuing on active duty. Members who change their status or 
component, as outlined below, while they are serving on active duty will 
be provided a completed DD form 214 upon:
    (i) Discharge for immediate enlistment or reenlistment (optional--at 
the discretion of the Military Services). However, Military Services not 
providing the DD Form 214 will furnish the member a DD Form 256, 
``Honorable Discharge Certificate,'' and will issue instructions 
requiring those military offices which maintain a member's records to 
provide necessary Service data to the member for application to 
appropriate civilian individuals, groups, and governmental agencies. 
Such data will include Service component, entry data and grades.
    (ii) Termination of enlisted status to accept an appointment to 
warrant or commissioned officer grade.
    (iii) Termination of a temporary appointment to accept a permanent 
warrant or commission in the Regular or Reserve components of the Armed 
Forces.
    (iv) Termination of an officer appointment in one of the Military 
Services to accept appointment in another Service.
    (c) DD Form 214 need not be prepared for: (1) Personnel found 
disqualified upon reporting for active duty and who do not enter 
actively upon duties in accordance with orders.
    (2) Personnel whose active duty, active duty for training, full-time 
training duty or active duty for special work is terminated by death.
    (3) Personnel being removed from the Temporary Disability Retired 
List.
    (4) Enlisted personnel receiving temporary appointments to warrant 
or commissioned officer grades.
    (5) Personnel whose temporary warrant or commissioned officer status 
is terminated and who remain on active duty to complete an enlistment.
    (6) Personnel who terminate their Reserve component status to 
integrate into a Regular component.
    (7) Personnel separated or discharged who have been furnished a 
prior edition of this form, unless that form is in need of reissuance 
for some other reason.

[[Page 259]]

    (d) Preparation. The Military Departments will issue instructions 
governing the preparation of DD Form 214, consistent with the following:
    (1) DD Form 214 is an important record of service which must be 
prepared accurately and completely. Any unavoidable corrections and 
changes made in the unshaded areas of the form during preparation shall 
be neat, legible and initialed on all copies by the authenticating 
official. The recipient will be informed that making any unauthorized 
change or alteration of the form will render it void.
    (2) Since DD Form 214 is often used by civilian personnel, 
abbreviations should be avoided.
    (3) Copies of DD Form 214 transmitted to various governmental 
agencies shall be legible, especially those provided to the Veterans 
Administration (Department of Veterans Affairs, effective March 15, 
1989, in accordance with section 18(a), Public Law 100-527 and the 
Department of Labor).
    (4) The authority for a member's transfer or discharge will be cited 
by reference to the appropriate Military Service regulation, 
instruction, or manual, followed by the appropriate separation program 
designator on copies 2, 4, 7, and 8 only. A narrative description to 
identify the reason for transfer or separation will not be used on copy 
1.
    (5) To assist the former Service member in employment placement and 
job counseling, formal inservice training courses successfully completed 
during the period covered by the form will be listed in Block 14, 
Military Education; e.g., medical, dental, electronics, supply, 
administration, personnel or heavy equipment operations. Training 
courses for combat skills will not be listed. See 1978 Guide to the 
Evaluation of Educational Experiences in the Armed Services for commonly 
accepted course titles and abbreviations.
    (6) For the purpose of reemployment rights (DoD Directive 1205.12) 
\1\ all extensions of service, except those under 10 U.S.C. 972, are 
considered to be at the request and for the convenience of the 
Government. In these cases, Block 18 of DD Form 214 will be annotated to 
indicate ``Extension of service was at the request and for the 
convenience of the Government.''
---------------------------------------------------------------------------

    \1\ Copies may be obtained if needed, from the U.S. Naval 
Publications and forms Center, Attn: Code 1062, 5801 Tabor Avenue, 
Philadelphia, PA.
---------------------------------------------------------------------------

    (7) When one or more of the data items on the DD Form 214 are not 
available and the document is issued to the separatee, the applicable 
block(s) will be annotated ``See Remarks.'' In such cases, Block 18 will 
contain the entry ``DD Form 215 will be issued to provide missing 
information.'' When appropriate, Block 18 will also reflect the amount 
of disability pay, and the inclusive dates of any nonpay/excess leave 
days.
    (8) The authorizing official (E-7, GS-7 or above) will sign the 
original in ink ensuring that the signature is legible on all carbon 
copies. If not, a second signature may be necessary on a subsequent 
carbon copy. The authorized official shall be an E-7, GS-7, or higher 
grade, except that the Service concerned may authorize chiefs of 
installation separation activities (E-5, GS-5, or above) to serve in 
this capacity if designated in writing by the responsible commander and/
or director (0-4, or above).
    (9) The following are the only authorized entries in Block 24, 
Character of Service, as appropriate: ``Honorable,'' ``Under Honorable 
Conditions (General),'' ``Under Other Than Honorable Conditions,'' ``Bad 
Conduct,'' ``Dishonorable,'' or ``Uncharacterized.'' When a discharge 
has been upgraded, the DD Form 214 will be annotated on copies 2 through 
8 in Block 18 to indicate the character of service has been upgraded; 
the date the application for upgrade was made; and the effective date of 
the corrective action.
    (10) The date entered in Block 12.a. shall be the date of enlistment 
for the earliest period of continuous active service for which a DD Form 
214 was not previously issued. For members who have previously 
reenlisted without being issued a DD Form 214, and who are being 
separated with any discharge characterization except ``Honorable,'' the 
following statement shall appear as the first entry in Block 18., 
``Remarks,'' on the DD Form 214: ``CONTINUOUS HONORABLE ACTIVE

[[Page 260]]

SERVICE FROM (applicable date) UNTIL (applicable date).'' The ``from'' 
date shall be the date of initial entry into active duty, or the first 
day of service for which a DD Form 214 was not previously issued, as 
applicable; the ``until'' date shall be the date before commencement of 
the current enlistment.
    (11) For Service members retiring from active duty enter in Block 
18., ``Subject to active duty recall by Service Secretary.''
    (12) For Service members being transferred to the Individual Ready 
Reserve, enter in Block 18., ``Subject to active duty recall and/or 
annual screening.''
    (e) Distribution. The Military Services will prescribe procedures 
governing the distribution of copies of the DD Forms 214 and 215, 
consistent with their internal requirements, and the following:
    (1) DD Form 214--(i) Copy No. 1 (original). To the member.
    (ii) Copy No. 2. To be used as the Military Services' record copy.
    (iii) Copy No. 3. To the Veterans Administration (Department of 
Veterans Affairs, effective March 15, 1989, in accordance with section 
18(a), Data Processing Center (214), 1614 E. Woodword Street, Austin, 
Texas 78772. A reproduced copy will also be provided to the hospital 
with the medical records if the individual is transferred to a VA 
hospital. If the individual completes VA Form 21-5267, ``Veterans 
Application for Compensation or Pension,'' include a copy of the DD Form 
214 with medical records forwarded to the VA regional office having 
jurisdiction over the member's permanent address. When an individual is 
in Service and enlisting or reenlisting in an active duty status or 
otherwise continuing on active duty in another status, copy No. 3 will 
not be forwarded to the VA.
    (iv) Copy No. 4. To the member, if the member so requested by having 
initialed Block 30. If the member does not request this copy, it may be 
retained in the master military personnel record, to be available in 
case the member requests a copy later.
    (v) Copy No. 5. To Louisiana UCX/UCFE, Claims Control Center, 
Louisiana Department of Labor, P.O. Box 94246, Capitol Station, Baton 
Rouge, Louisiana 70804-9246.
    (vi) Copy No. 6. To the appropriate State Director of Veterans 
Affairs (see enclosure 4), if the member so requested by having checked 
``Yes'' in Block 20, ``Member Requests Copy Be Sent to Director of 
Veterans Affairs.'' The member must specify the State. If the member 
does not request the copy be mailed, it may be utilized as prescribed by 
the Military Service concerned.
    (vii) Copies No. 7 and 8. To be distributed in accordance with 
regulations issued by the Military Service concerned.
    (viii) Additional Copy Requirements. Discharged Alien Deserters. 
Provide one reproduced copy of Copy No. 1 to the U.S. Department of 
State, Visa Office--SCA/VO, State Annex No. 2, Washington, DC 20520, to 
assist the Visa Office in precluding the unwarranted issuance of visas 
to discharged and alien deserters in accordance with DoD Directive 
1325.2 \2\. Place of birth will be entered in Block 18.
---------------------------------------------------------------------------

    \2\ See footnote 1 to Sec. 545.3(d)(6).
---------------------------------------------------------------------------

    (2) DD Form 214-ws. Utilized to facilitate the preparation of DD 
Form 214. The document will be used and disposed of in accordance with 
regulations issued by the Military Service concerned.
    (3) DD Form 215. Utilized to correct errors in DD Form 214 
discovered after the original has been delivered and/or distribution of 
copies of the form has been made, and to furnish to separatee 
information not available when the DD Form 214 was prepared. The 
distribution of DD Form 215 will be identical to the distribution of DD 
Form 214.
    (4) Requests for Copies of DD Form 214 Subsequent to Separation. 
Agencies maintaining a separatee's DD Form 214 will provide a copy only 
upon written request by the member. Agencies will provide the member 
with 1 copy with the Special Additional Information section, and 1 copy 
with that information deleted. In the case of DD Form 214 issued prior 
to July 1, 1979, agencies will provide the member with 1 copy containing 
all items of information completed, and 1 copy with the following items 
deleted from the form:

[[Page 261]]

Specific authority and narrative reason for separation, reenlistment 
eligibility code, and separation program designator/number.
    (i) In those cases where the member has supplied an authorization to 
provide a copy of the DD Form 214 to another individual or group, the 
copy furnished will not contain the Special Additional Information 
section or, in the case of DD forms issued prior to July 1, 1979, those 
items listed in paragraph (e)(4) of this section.
    (ii) A copy will be provided to authorized personnel for official 
purposes only.
    (f) Procurement. Arrangements for procurement of DD Forms 214, 214-
ws, and 215 will be made by the Military Services.
    (g) Modification of Forms. The modification of the content or format 
of DD Forms 214, 214-ws, and 215 may not be accomplished without prior 
authorization of the Assistant Secretary of Defense (Force Management 
and Personnel) (ASD(FM&P)). Requests to add or delete information will 
be coordinated with the other Military Services in writing, prior to 
submission to the ASD(FM&P). If a Military Service uses computer 
capability to generate forms, the items of information may be arranged, 
the size of the information blocks may be increased or decreased, and 
copies 7 and/or 8 may be deleted at the discretion of the Service.



Sec. 45.4  Responsibilities.

    (a) The DD Forms 214 and 215 are a source of significant and 
authoritative information used by civilian and governmental agencies to 
validate veteran eligibility for benefits. As such, they are valuable 
forms and, therefore, vulnerable to fraudulent use. Since they are 
sensitive, the forms must be safeguarded at all times. They will be 
transmitted, stored, and destroyed in a manner which will prevent 
unauthorized use. The Military Services will issue instructions 
consistent with the following:
    (1) All DD Forms 214 will be surprinted with a reproducible screen 
tint using appropriate security ink on Blocks 1, 3, 4.a, 4.b, 12, and 18 
through 30. In addition Blocks 1, 3, 5, and 7 of the DD Form 215 will be 
similarly surprinted to make alterations readily discernible. No 
corrections will be permitted in the screened areas.
    (2) All forms will be secured after duty hours.
    (3) All obsolete forms will be destroyed.
    (4) All forms to be discarded, including those which are blank or 
partially completed, and reproduced copies of DD Form 214, will be 
destroyed. No forms will be discarded intact.
    (5) Blank forms given to personnel for educational or instructional 
purposes, and forms maintained for such use, are to be clearly voided in 
an unalterable manner.
    (6) The commander or commanding officer of each unit or activity 
authorized to issue DD Form 214 will appoint, in writing, a commissioned 
officer, warrant officer, enlisted member (grade E-7 or above), or DoD 
civilian (GS-7 or above) who will requisition, control, and issue blank 
DD Forms 214 and 215. The Service concerned may authorize an E-5 or GS-5 
to serve in this capacity.
    (7) The Military Services will monitor the use of DD Form 214 and 
review periodically its issuance to insure compliance with procedures 
for safeguarding.
    (b) The DD Form 214-ws will contain the word ``WORKSHEET'' on the 
body of the form (see Appendix B). This DD Form 214-ws will be treated 
in the same manner as the DD Form 214.
    (c) The Military Services will issue appropriate instructions to 
separation activities stressing the importance of the DD Forms 214 and 
215 in obtaining veterans benefits, reemployment rights, and 
unemployment insurance.
    (d) Standard separation program designator (SPD) codes for officer 
and enlisted personnel developed under the provisions of DoD Instruction 
5000.12 \3\ are published in DoD 5000.12-M.
---------------------------------------------------------------------------

    \3\ See footnote 1 to Sec. 45.3(d)(6).
---------------------------------------------------------------------------

    (1) Requests to add, change, or delete an SPD code shall be 
forwarded by the DoD Component concerned with appropriate justification 
to the Assigned Responsible Agency accountable for evaluating, 
recommending approval of, and maintaining such codes: Department of the 
Navy, Office of The Chief of Naval

[[Page 262]]

Operations, (Attention: OP-161), room 1514, Arlington Annex, Washington, 
DC 20350-2000.
    (2) Requests to add, change, or delete an SPD code will be submitted 
in accordance with section V., DoD Instruction 5000.12 with prior 
written approval by the ASD (FM&P), or his/her designee.
    (e) All lists of SPD codes, including supplemental lists, published 
by the DoD Components will be stamped ``For Official Use Only'' and will 
not be furnished to any agency or individual outside the Department of 
Defense.
    (1) Appropriate provisions of the Freedom of Information Act will be 
used to deny the release of the lists to the public. An individual being 
separated or discharged is entitled access only to his/her SPD code. It 
is not intended that these codes stigmatize an individual in any manner. 
They are intended for internal use by the Department of Defense in 
collecting data to analyze statistical reporting trends that may, in 
turn, influence changes in separation policy.
    (2) Agencies or individuals who come into the possession of these 
lists are cautioned on their use because a particular list may be 
outdated and not reveal correctly the full circumstances relating to an 
individual's separation or discharge.

[[Page 263]]



                 Sec. Appendix A to Part 45--DD Form 214
[GRAPHIC] [TIFF OMITTED] TC23OC91.003


[[Page 264]]


[GRAPHIC] [TIFF OMITTED] TC23OC91.004


[[Page 265]]


[GRAPHIC] [TIFF OMITTED] TC23OC91.005


[[Page 266]]


[GRAPHIC] [TIFF OMITTED] TC23OC91.006


[54 FR 9985, Mar. 9, 1989]

[[Page 267]]



                Sec. Appendix B to Part 45--DD Form 214ws
[GRAPHIC] [TIFF OMITTED] TC23OC91.007


[[Page 268]]





                 Sec. Appendix C to Part 45--DD Form 215
[GRAPHIC] [TIFF OMITTED] TC21OC91.050


[[Page 269]]





     Sec. Appendix D to Part 45--State Directors of Veterans Affairs

                                 Alabama

Director, Department of Veterans Affairs, P.O. Box 1509, Montgomery, AL 
36192-3701.

                                 Alaska

Director, Division of Veterans Affairs, Department of Military & 
Veterans Affairs, 3601 C Street, suite 620, Anchorage, AK 99503.

                             American Samoa

Veterans Affairs Officer, Office of Veterans Affairs, American Samoa 
Government, P.O. Box 2586, Pago Pago, AS 96799.

                                 Arizona

Director of Veterans Affairs, Arizona Veterans Service Commission, 3225 
N. Central Avenue, suite 910, Phoenix, AZ 85012.

                                Arkansas

Director, 1200 West 3rd, room 105, Box 1280, Little Rock, AR 72201.

                               California

Director, Department of Veterans Affairs, 1227 O Street, room 200A, 
Sacramento, CA 95814.

                                Colorado

Director, Division of Veterans Affairs, Department of Social Services, 
1575 Sherman Street, room 122, Denver, CO 80203.

                                Delaware

Chairman, Commission of Veterans Affairs, P.O. Box 1401, Dover, DE 
19901.

                          District of Columbia

Chief, Office of Veterans Affairs, 941 North Capitol Street NE., room 
1211 F, Washington, DC 20421.

                                 Florida

Director, Division of Veterans Affairs, P.O. Box 1437, St. Petersburg, 
FL 33731.

                                 Georgia

Commissioner, Department of Veterans Service, Floyd Veterans Memorial 
Bldg, suite E-970, Atlanta, GA 30334.

                                  Guam

Office of Veterans Affairs, P.O. Box 3279, Agana, Guam 96910.

                                 Hawaii

Director, Department of Social Services & Housing, Veterans Affairs 
Section, 3949 Diamond Head Road, Honolulu, HI 96809-0339.

                                  Idaho

Administrator, Division of Veterans Service, P.O. Box 6675, Boise, ID 
83707.

                               Connecticut

Commandant, Veterans Home and Hospital, 287 West Street, Rocky Hill, CT 
06067.

                                 Indiana

Director, Department of Veterans Affairs, 707 State Office Building, 100 
N. Senate Avenue, Indianapolis, IN 46204.

                                  Iowa

Administrator, Veterans Affairs Division, 7700 NW. Beaver Drive, Camp 
Dodge, Johnston, IA 50131-1902.

                                 Kansas

Executive Director, Kansas Veterans Commission, Jayhawk Tower, suite 
701, 700 SW. Jackson Street, Topeka, KS 66603-3150.

                                Kentucky

Director, Kentucky Center for Veterans Affairs, 600 Federal Place room 
1365, Louisville, KY 40202.

                                Louisiana

Executive Director, Department of Veterans Affairs, P.O. Box 94095, 
Capitol Station, Baton Rouge, LA 70804-4095.

                                  Maine

Director, Bureau of Veterans Services, State Office Building Station 
117, Augusta, ME 04333.

                                Maryland

Executive Director, Maryland Veterans Commission, Federal Bldg.--room 
110, 31 Hopkins Plaza, Baltimore, MD 21201.

                                Illinois

Director, Department of Veterans Affairs, 208 West Cook Street, 
Springfield, IL 62705.

                                Michigan

Director, Michigan Veterans Trust Fund, P.O. Box 30026, Ottawa Bldg, No. 
Tower, 3rd Floor, Lansing, MI 48909.

                                Minnesota

Commissioner, Department of Veterans Affairs, Veterans Service Building, 
2nd Floor, St. Paul, MN 55155.

                               Mississippi

President, State Veterans Affairs Board, 120 North State Street, War 
Memorial Building, room B-100, Jackson, MS 39201.

[[Page 270]]

                                Missouri

Director, Division of Veterans Affairs, P.O. Drawer 147, Jefferson City, 
MO 65101.

                                 Montana

Administrator, Veterans Affairs Division, P.O. Box 5715, Helena, MT 
59604.

                                Nebraska

Director, Department of Veterans Affairs, P.O. Box 95083, State Office 
Building, Lincoln, NE 68509.

                                 Nevada

Commissioner, Commission for Veterans Affairs, 1201 Terminal Way, room 
108, Reno, NV 89520.

                              Massachusetts

Commissioner, Department of Veterans Services, 100 Cambridge Street--
room 1002, Boston, MA 02202.

                               New Jersey

Director, Division of Veterans Programs & Special Services, 143 E. State 
Street, room 505, Trenton, NJ 08608.

                               New Mexico

Director, Veterans Service Commission, P.O. Box 2324, Santa Fe, NM 
87503.

                                New York

Director, Division of Veterans Affairs, State Office Building 
6A-19, Veterans Highway, Hauppauge, NY 11788.

                             North Carolina

Asst Secretary for Veterans Affairs, Division of Veterans Affairs, 227 
E. Edenton Street, Raleigh, NC 27601.

                              North Dakota

Commissioner, Department of Veterans Affairs, 15 North Broadway, suite 
613, Fargo, ND 58102.

                                  Ohio

Director, Division of Soldiers Claims & Veterans Affairs, State House 
Annex, room 11, Columbus, OH 43215.

                                Oklahoma

Director, Department of Veterans Affairs, P.O. Box 53067, Oklahoma City, 
OK 73152.

                              New Hampshire

Director, State Veterans Council, 359 Lincoln Street, Manchester, NH 
03103.

                                 Oregon

Director, Department of Veterans Affairs, Oregon Veterans Building, 700 
Summer Street NE., suite 150, Salem, OR 97310-1270.

                              Pennsylvania

Director, Department of Military Affairs, Bureau for Veterans Affairs, 
Fort Indiantown Gap, Bldg 5-0-47, Annville, PA 17003-5002.

                               Puerto Rico

Director, Bureau of Veterans Affairs & Human Resources, Department of 
Labor, 505 Munoz Rivera Avenue, Hato Rey, PR 00918.

                              Rhode Island

Chief, Veterans Affairs Office, Metacom Avenue, Bristol, RI 02809.

                             South Carolina

Director, Department of Veterans Affairs, Brown State Office Building, 
1205 Pendleton Street, Columbia, SC 29201.

                              South Dakota

Director, Division of Veterans Affairs, 500 East Capitol Avenue, State 
Capitol Building, Pierre, SD 57501-5083.

                                Tennessee

Commissioner, Department of Veterans Affairs, 215 8th Avenue, North, 
Nashville, TN 37203.

                                  Texas

Executive Director, Veterans Affairs Commission of Texas, Box 12277, 
Capitol Station, Austin, TX 78711.

                                  Utah

No DVA.

                                 Vermont

Director, Veterans Affairs Office, State Office Building, Montpelier, VT 
05602.

                                Virginia

Director, Division of War Veterans Claims, 210 Franklin Road, SW., room 
1002, P.O. Box 809, Roanoke, VA 24004.

                             Virgin Islands

Director, Division of Veterans Affairs, P.O. Box 890, Christiansted, St. 
Croix, VI 00820.

                               Washington

Director, Department of Veterans Affairs, P.O. Box 9778, Mail Stop PM-
41, Olympia, WA 95804.

[[Page 271]]

                              West Virginia

Director, Department of Veterans Affairs, 605 Atlas Building, 
Charleston, WV 25301-9778.

                                Wisconsin

Secretary, Department of Veterans Affairs, P.O. Box 7843, 77 North 
Dickinson Street, Madison, WI 53707.



PART 47_ACTIVE DUTY SERVICE FOR CIVILIAN OR CONTRACTUAL GROUPS--
Table of Contents



Sec.
47.1 Purpose.
47.2 Applicability and scope.
47.3 Definitions.
47.4 Policy.
47.5 Responsibilities.
47.6 Procedures.

Appendix A to Part 47--Instructions for Submitting Group Applications 
          Under Public Law 95-202
Appendix B to Part 47--The DoD Civilian/Military Service Review Board 
          and the Advisory Panel

    Authority: 38 U.S.C. 106 note.

    Source: 54 FR 39993, Sept. 29, 1989, unless otherwise noted.



Sec. 47.1  Purpose.

    This document:
    (a) Revises 32 CFR part 47 and implements Public Law 95-202.
    (b) Directs the Secretary of the Air Force to determine if an 
established group of civilian employees or contract workers provided 
service to the U.S. Armed Forces in a manner considered active military 
service for Department of Veterans Affairs (VA) benefits.
    (c) Establishes the DoD Civilian/Military Service Review Board and 
the Advisory Panel.
    (d) Establishes policy, assigns responsibilities, prescribes 
application procedures for groups and individuals, and clarifies the 
factors used to determine active duty (AD) service.



Sec. 47.2  Applicability and scope.

    This part:
    (a) Applies to the Office of the Secretary of Defense (OSD), the 
Military Departments, and by agreement with the Department of 
Transportation (DoT), the U.S. Coast Guard.
    (b) Applies to any group application considered under Public Law 95-
202 after September 11, 1989 and to any individual who applies for 
discharge documents as a member of a group recognized by the Secretary 
of the Air Force.



Sec. 47.3  Definitions.

    Armed conflict. A prolonged period of sustained combat involving 
members of the U.S. Armed Forces against a foreign belligerent. The term 
connotes more than a military engagement of limited duration or for 
limited objectives, and involves a significant use of military and 
civilian forces.
    (a) Examples of armed conflict are World Wars I and II, and the 
Korean and Vietnam Conflicts.
    (b) Examples of military actions that are not armed conflicts are as 
follows:
    (1) The incursion into Lebanon in 1958, and the peacekeeping force 
there in 1983 and 1984.
    (2) The incursions into the Dominican Republic in 1965 and into 
Libya in 1986.
    (3) The intervention into Grenada in 1983.
    Civilian or contractual group. An organization similarly situated to 
the Women's Air Forces Service Pilots (a group of Federal civilian 
employees attached to the U.S. Army Air Force in World War II). Those 
organization members rendered service to the U.S. Armed Forces during a 
period of armed conflict in a capacity that was then considered civilian 
employment with the Armed Forces, or the result of a contract with the 
U.S. Government, to provide direct support to the Armed Forces.
    Recognized group. A group whose service the Secretary of the Air 
Force administratively has determined to have been ``active duty for the 
purposes of all laws administered by the Department of Veterans 
Affairs''; i.e., VA benefits under 38 U.S.C. 101.
    Similarly situated. A civilian or contractual group is similarly 
situated to the Women's Air Forces Service Pilots when it existed as an 
identifiable group at the time the service was being rendered to the 
U.S. Armed Forces during a period of armed conflict. Persons who 
individually provided support through civilian employment or contract, 
but

[[Page 272]]

who were not members of an identifiable group at the time the services 
were rendered, are not ``similarly situated'' to the Women's Air Forces 
Service Pilots of World War II.



Sec. 47.4  Policy.

    (a) Eligibility for consideration. To be eligible to apply for 
consideration under Public Law 95-202 and this part, a group must:
    (1) Have been similarly situated to the Women's Air Forces Service 
Pilots of World War II.
    (2) Have rendered service to the United States in what was 
considered civilian employment with the U.S. Armed Forces either through 
formal Civil Service hiring or less formal hiring if the engagement was 
created under the exigencies of war, or as the result of a contract with 
the U.S. Government to provide direct support to the U.S. Armed Forces.
    (3) Have rendered that service during a period of armed conflict.
    (4) Consist of living persons to whom VA benefits can accrue.
    (5) Not have already received benefits from the Federal Government 
for the service in question.
    (b) A determination of AD service that is considered to be 
equivalent to active military service is made on the extent to which the 
group was under the control of the U.S. Armed Forces in support of a 
military operation or mission during an armed conflict. The extent of 
control exerted over the group must be similar to that exerted over 
military personnel and shall be determined by, but not necessarily 
limited to, the following:
    (1) Incidents favoring equivalency--(i) Uniqueness of service. 
Civilian service (civilian employment or contractual service) is a vital 
element of the war-fighting capability of the Armed Forces. Civilian 
service during a period of armed conflict is not necessarily equivalent 
to active military service, even when performed in a combat zone. 
Service must be beyond that generally performed by civilian employees 
and must be occasioned by unique circumstances. For civilian service to 
be recognized under this part, the following factors must be present:
    (A) The group was created or organized by U.S. Government 
authorities to fill a wartime need or, if a group was not created 
specifically for a wartime need, but existed before that time, then its 
wartime mission was of a nature to substantially alter the 
organization's prewar character.
    (B) If the application is based on service in a combat zone, the 
mission of the group in a combat zone must have been substantially 
different from the mission of similar groups not in a combat zone.
    (ii) Organizational authority over the group. The concept of 
military control is reinforced if the military command authority 
determines such things as the structure of the civilian organization, 
the location of the group, the mission and activities of the group, and 
the staffing requirements to include the length of employment and pay 
grades of the members of the group.
    (iii) Integration into the military organization. Integrated 
civilian groups are subject to the regulations, standards, and control 
of the military command authority.
    (A) Examples include the following:
    (1) Exchanging military courtesies.
    (2) Wearing military clothing, insignia, and devices.
    (3) Assimilating the group into the military organizational 
structure.
    (4) Emoluments associated with military personnel; i.e., the use of 
commissaries and exchanges, and membership in military clubs.
    (B) A group fully integrated into the military would give the 
impression that the members of the group were military, except that they 
were paid and accounted for as civilians.
    (C) Integration into the military may lead to an expectation by 
members of the group that the service of the group imminently would be 
recognized as active military service. Such integration acts in favor of 
recognition.
    (iv) Subjection to military discipline. During past armed conflicts, 
U.S. military commanders sometimes restricted the rights or liberties of 
civilian members as if they were military members.
    (A) Examples include the following:
    (1) Placing members under a curfew.
    (2) Requiring members to work extended hours or unusual shifts.

[[Page 273]]

    (3) Changing duty assignments and responsibilities.
    (4) Restricting proximity travel to and from the military 
installation.
    (5) Imposing dress and grooming standards.
    (B) Consequences for noncompliance might include a loss of some 
privilege, dismissal from the group, or trial under military law. Such 
military discipline acts in favor of recognition.
    (v) Subjection to military justice. Military members are subject to 
the military criminal justice system. During times of war, ``persons 
serving with or accompanying an Armed Force in the field'' are subject 
to the military criminal justice code. Those who were serving with the 
U.S. Armed Forces may have been treated as if they were military and 
subjected to court-martial jurisdiction to maintain discipline. Such 
treatment is a factor in favor of recognition.
    (vi) Prohibition against members of the group joining the armed 
forces. Some organizations may have been formed to serve in a military 
capacity to overcome the operation of existing laws or treaty or because 
of a governmentally established policy to retain individuals in the 
group as part of a civilian force. These factors act in favor of 
recognition.
    (vii) Receipt of military training and/or achievement of military 
capability. If a group employed skills or resources that were enhanced 
as the result of military training or equipment designed or issued for 
that purpose, this acts toward recognition.
    (2) Incidents not favoring equivalency--(i) Submission to the U.S. 
Armed Forces for protection. A group that seeks protection and 
assistance from the U.S. Armed Forces and submits to military control 
for its own well-being is not deemed to have provided service to the 
Armed Forces equivalent to AD military service, even though the group 
may have been as follows:
    (A) Armed by the U.S. military for defensive purposes.
    (B) Routed by the U.S. military to avoid the enemy.
    (C) Instructed by the U.S. military for the defense of the group 
when attacked by, or in danger of attack by, the enemy.
    (D) Otherwise submitted themselves to the U.S. military for 
sustenance and protection.
    (ii) Permitted to resign. The ability of members to resign at will 
and without penalty acts against military control. Penalty may be direct 
and severe, such as confinement, or indirect and moderate, such as 
difficult and costly transportation from an overseas location.
    (iii) Prior recognition of group service. Recognition of a group's 
service by agencies of State or local government does not provide 
support in favor of recognition under this part.
    (3) Status of group in international law. In addition to other 
factors, consideration will be given to whether members of the group 
were regarded and treated as civilians, or assimilated to the Armed 
Forces as reflected in treaties, customary international law, judicial 
decisions, and U.S. diplomatic practice.
    (c) Reconsideration. Applications by groups previously denied a 
favorable determination by the Secretary of the Air Force shall be 
reconsidered under this part if the group submits evidence that is new, 
relevant, and substantive. Any request that the DoD Civilian/Military 
Service Review Board established hereunder (see Sec. 47.5(b)) 
determines does not provide new, relevant, and substantive evidence 
shall be returned to the applicant with the reasons for nonacceptance.
    (d) Counsel Representation. Neither the Department of Defense nor 
Department of Transportation shall provide representation by counsel or 
defray the cost of such representation with respect to any matter 
covered by this part.



Sec. 47.5  Responsibilities.

    (a) The Assistant Secretary of Defense (Force Management and 
Personnel) (ASD(FM&P)) shall:
    (1) Appoint a primary and an alternate member in the grade of O-6 or 
GM-15 or higher to the DoD Civilian/Military Service Review Board.
    (2) Exercise oversight over the Military Departments and the U.S. 
Coast Guard for compliance with this Directive and in the issuance of 
discharge documents and casualty reports to members of recognized 
groups.

[[Page 274]]

    (b) The Secretary of the Air Force, as the designated Executive 
Agent of the Secretary of Defense for the administration of Public Law 
95-202 shall:
    (1) Establish the DoD Civilian/Military Service Review Board and the 
Advisory Panel.
    (2) Appoint as board president a member or employee of the Air Force 
in grade O-6 or GM-15 or higher.
    (3) Request the Secretary of Transportation to appoint an additional 
voting member from the U.S. Coast Guard when the board is considering 
the application of a group claiming active Coast Guard service.
    (4) Provide a recorder and an assistant to maintain the records of 
the board and administer the functions of this part.
    (5) Provide nonvoting legal advisors and historians.
    (6) Publish notices of group applications and other Public Law 95-
202 announcements in the Federal Register.
    (7) Consider the rationale and recommendations of the DoD Civilian/
Military Service Review Board.
    (8) Determine whether the service rendered by a civilian or 
contractual group shall be considered AD service to the U.S. Armed 
Forces for all laws administered by the VA. The decision of the 
Secretary of the Air Force is final. There is no appeal.
    (9) Notify the following persons in writing when a group 
determination is made (if the Secretary of the Air Force disagrees with 
the rationale or recommendations of the board, the Secretary of the Air 
Force shall provide the decision and reasons for it in writing to these 
persons):
    (i) The applicant(s) for the group.
    (ii) The Secretary of the Department of Veterans Affairs.
    (iii) The Secretary of the Army.
    (iv) The Secretary of the Navy.
    (v) The ASD (FM&P).
    (vi) The Secretary of Transportation (when a group claims active 
Coast Guard service).
    (c) The Secretary of the Army, Secretary of the Navy, Secretary of 
the Air Force, and Commandant of the Coast Guard shall:
    (1) Appoint to the board a primary and an alternate member in the 
grades of O-6 or GM-15 or higher from their respective Military 
Services.
    (2) Process applications for discharge documents from individuals 
claiming membership in a recognized group in accordance with applicable 
laws, Directives, the Secretary of the Air Force rationale and 
instrument effecting a group determination, and any other instructions 
of the board.
    (3) Determine whether the applicant was a member of a recognized 
group after considering the individual's evidence of membership and 
verifying the service against available Government records.
    (4) Issue a DD Form 214, ``Certificate of Release or Discharge from 
Active Duty,'' and a DD Form 256, ``Honorable Discharge Certificate,'' 
or a DD Form 257, ``General Discharge Certificate,'' as appropriate, 
consistent with DoD Instruction 1336.1 \1\ and DoD Directive 1332.14 \2\ 
and the implementing documents of the appropriate statutes of the 
Military Department concerned or the DoT and the instructions of the DoD 
Civilian/Military Service Review Board.
---------------------------------------------------------------------------

    \1\ Copies may be obtained, if needed, from the U.S. Naval 
Publications and Forms Center, Attn: 1053, 5801 Tabor Avenue, 
Philadelphia, PA 19120.
    \2\ See footnote 1 to Sec. 47.5(c)(4).
---------------------------------------------------------------------------

    (5) Issue a DD Form 1300, ``Report of Casualty,'' in accordance with 
DoD Instruction 1300.9 \3\ if a verified member was killed during the 
period of AD service.
---------------------------------------------------------------------------

    \3\ See footnote 1 to Sec. 47.5(c)(4).
---------------------------------------------------------------------------

    (6) Ensure that each DD Form 214, ``Certificate of Release or 
Discharge from Active Duty,'' and each DD Form 1300, ``Report of 
Casualty,'' have the following statement entered in the ``Remarks'' 
section:

    This document, issued under Public Law 95-202 (38 U.S.C. 106 Note), 
administratively establishes active duty service for the purposes of 
Department of Veterans Affairs benefits.

    (7) Determine the equivalent military pay grade, when required by 
the Department of Veterans Affairs. For VA benefits, a pay grade is 
needed only in cases when an individual was killed or received service-
connected injuries or disease during the recognized period

[[Page 275]]

of AD service. A DD Form 1300 shall be issued with the equivalent pay 
grade annotated for a member who died during the recognized period of 
service. A DD Form 214 shall not include pay grade, unless the 
Department of Veterans Affairs requests that a grade determination be 
given. Determinations of equivalent grade shall be based on the 
following criteria in order of importance:
    (i) Officially recognized organizational grade or equivalent rank.
    (ii) The corresponding rank for civilian pay grade.
    (iii) If neither of the criteria in paragraphs (c)(7) (i) and (ii) 
of this section, and applies, only one of three grades may be issued; 
i.e., O-1, E-4, or E-1. Selection depends on the nature of the job 
performed, the level of supervision exercised, and the military 
privileges to which the individual was entitled.
    (8) Adjudicate applicant challenges to the period of AD service, 
characterization of service, or other administrative aspects of the 
discharge documents issued.



Sec. 47.6  Procedures.

    (a) Submitting group applications. Applications on behalf of a 
civilian or contractual group shall be submitted to the Secretary of the 
Air Force using the instructions in appendix A to this part.
    (b) Processing group applications. (1) When received, the recorder 
shall review the application for sufficiency and either return it for 
more information or accept it for consideration and announce acceptance 
in the Federal Register.
    (2) The recorder shall send the application to the appropriate 
advisory panel for historical review and analysis.
    (3) When received, the recorder shall send the advisory panel's 
report to the applicant for comment. The applicant's comments shall be 
referred to the advisory panel if significant disagreement requires 
resolution. Additional comments from the historians also shall be 
referred to the applicant for comment.
    (4) The DoD Civilian/Military Service Board shall consider the group 
application, as established, in paragraph (a) and paragraphs (b) (1) 
through (3) of this section.
    (5) After the Secretary of the Air Force makes a decision, the 
recorder shall notify the applicant of the decision and announce it in 
the ``Federal Register.''
    (c) Submitting individual applications. When a group is recognized, 
individual members may apply to the appropriate Military Department or 
to the Coast Guard for discharge documents. Submit applications on DD 
Form 2168, ``Application for Discharge of Member or Survivor of Member 
of Group Certified to Have Performed Active Duty with the Armed Forces 
of the United States.'' An application on behalf of a deceased or 
incompetent member submitted by the next of kin must be accompanied by 
proof of death or incompetence.



     Sec. Appendix A to Part 47--Instructions for Submitting Group 
                  Applications Under Public Law 95-202

    A. In Submitting a Group Application: 1. Define the group to include 
the time period that your group provided service to the U.S. Armed 
Forces.
    2. Show the relationship that the group had with the U.S. Armed 
Forces, the manner in which members of the group were employed, and the 
services the members of the group provided to the Armed Forces.
    3. Address each of the factors in Sec. 47.4.
    4. Substantiate and document the application. (The burden of proof 
rests with the applicant.)
    B. Send Completed Group Applications To: Secretary of the Air Force 
(SAF/MRC), DoD Civilian/Military Service Review Board, Washington, DC 
20330-1000.



  Sec. Appendix B to Part 47--The DoD Civilian/Military Service Review 
                      Board and the Advisory Panel

                     A. Organization and Management

    1. The board shall consist of a president selected from the 
Department of the Air Force and one representative each from the OSD, 
the Department of the Army, the Department of the Navy, the Department 
of the Air Force, and the U.S. Coast Guard (when the group claims active 
Coast Guard service). Each member shall have one vote except that the 
president shall vote only to break a tie. The board's decision is 
determined by majority vote. The president and two voting members shall 
constitute a quorum.
    2. The advisory panel shall act as a nonvoting adjunct to the board. 
It shall consist

[[Page 276]]

of historians selected by the Secretaries of the Military Departments 
and, if required, by the Secretary of Transportation. The respective 
Military Departments and the DOT shall ensure that the advisory panel is 
provided with administrative and legal support.

                              B. Functions

    1. The board shall meet in executive session at the call of the 
president, and shall limit its reviews to the following:
    a. Written submissions by an applicant on behalf of a civilian or 
contractual group. Presentations to the board are not allowed.
    b. Written report(s) prepared by the advisory panel.
    c. Any other relevant written information available.
    d. Factors established in this part for determining AD service.
    2. The board shall return to the applicant any application that does 
not meet the eligibility criteria established in Sec. 47.4(a). The 
board only needs to state the reasons why the group is ineligible for 
consideration under this part.
    3. If the board determines that an application is eligible for 
consideration under Sec. 47.4(a), the board shall provide, to the 
Secretary of the Air Force, a recommendation on the AD service 
determination for the group and the rationale for that recommendation 
that shall include, but not be limited to, a discussion of the factors 
listed in Sec. 47.4.
    a. No factors shall be established that require automatic 
recognition. Neither the board nor the Secretary of the Air Force shall 
be bound by any method in reaching a decision.
    b. Prior group determinations made under Public Law 95-202 do not 
bind the board or the Secretary of the Air Force. The board and the 
Secretary of the Air Force fully and impartially shall consider each 
group on its own merit in relation to the factors listed in section D. 
of this Directive.



PART 48_RETIRED SERVICEMAN'S FAMILY PROTECTION PLAN--Table of Contents



                      Subpart A_General Information

Sec.
48.101 Purpose.
48.102 Definitions.

                      Subpart B_Election of Options

48.201 Options.
48.202 Limitation on number of annuities.
48.203 Election of options.
48.204 Change or revocation of election.
48.205 Election form.
48.206 Information regarding elections.

                 Subpart C_Designation of Beneficiaries

48.301 Designation.
48.302 Substantiating evidence regarding dependency and age of 
          dependents.
48.303 Condition affecting entitlement of widow or widower.

                   Subpart D_Reduction of Retired Pay

48.401 Computation of reduction.
48.402 Effective date of reduction.
48.403 Payment of nonwithheld reduction of retired pay.
48.404 Ages to be used.
48.405 Action upon removal from temporary disability retired list.
48.406 Withdrawal and reduction of percentage or amount of 
          participation.

                            Subpart E_Annuity

48.501 General information.
48.502 Effective date of annuity.
48.503 Claims for annuity payments.
48.504 Payment to children.
48.505 Establishing eligibility of annuitants.
48.506 Recovery of erroneous annuity payments.
48.507 Restriction on participation.
48.508 Certain 100 percent disability retirements.

                         Subpart F_Miscellaneous

48.601 Annual report.
48.602 Organization.
48.603 Correction of administrative deficiencies.
48.604 Transition and protective clauses.

    Authority: Sec. 1444, 70A Stat. 111; 10 U.S.C. 1444.

    Source: 34 FR 12092, July 18, 1969, unless otherwise noted.



                      Subpart A_General Information



Sec. 48.101  Purpose.

    The purpose of the Retired Serviceman's Family Protection Plan is to 
permit each member of the uniformed services to elect to receive a 
reduced amount of any retired pay which may be awarded him as a result 
of service in his uniformed service in order to provide an annuity 
payable after his death (while entitled to retired pay) to his widow, 
child, or children, subject to certain limitations specified in the law 
and elaborated in the regulations in this part.

[[Page 277]]



Sec. 48.102  Definitions.

    (a) The terms Plan or RSFPP as hereinafter used means the Retired 
Serviceman's Family Protection Plan (formerly called the Uniformed 
Services Contingency Option Act).
    (b) The term uniformed services means the Army, Navy, Air Force, 
Marine Corps, Coast Guard, Commissioned Corps of Environmental Science 
Services Administration, and Commissioned Corps of Public Health 
Service.
    (c) The term member means a commissioned officer, commissioned 
warrant officer, warrant officer, nurse, flight officer, or a person in 
an enlisted grade (including an aviation cadet) of any of the uniformed 
services, and a person in any of these categories who is entitled to or 
is in receipt of retired pay, except persons excluded in title 10, U.S. 
Code, section 1431(a), as amended.
    (d) The term widow includes widower and refers to the lawful spouse 
of the member on the date of retirement with pay.
    (e) The term child means, in all cases, a member's child, who is 
living on the date of retirement of the member with pay and who meets 
the following requirements:
    (1) A legitimate child under 18 years of age and unmarried.
    (2) A stepchild, under 18 years of age and unmarried, who is in fact 
dependent on the member for support (see paragraphs (f) and (g) of this 
section).
    (3) A legally adopted child, under 18 years of age and unmarried.
    (4) A child, as defined above, who is 18 or more years of age and 
unmarried, and who is incapable of self-support because of being 
mentally defective or physically incapacitated if that condition existed 
prior to reaching age 18.
    (5) A child as defined above, who is at least 18, but under 23 years 
of age and unmarried, who is pursuing a full-time course of study or 
training in a high school, trade school, technical or vocational 
institute, junior college, college, university, or comparable recognized 
educational institution. (Applicable only in the case of members who 
retired on or after Nov. 1, 1968).
    (6) A child loses his eligibility for an annuity under this part if 
he is adopted by a third person before the parent-member's death. His 
eligibility is not affected if he is adopted by a third person after the 
parent-member's death (36 Comp. Gen. 325).
    (f) The term stepchild means a child of a member's spouse by a 
former marriage. The stepchild relationship terminates upon the divorce 
of the parent spouse, but not upon the death of the parent spouse.
    (g) The term in fact dependent means that the stepchild must be 
dependent on the member for over half of his or her support.
    (h) The term retirement means retirement with eligibility to receive 
retired pay.
    (i) The term retired pay includes retired, retirement, equivalent 
and retainer pay awarded as a result of service in the uniformed 
services.
    (j) The term reduced retired pay means the retired pay remaining 
after the cost of participation in RSFPP has been subtracted.
    (k) The term department concerned means (1) the Department of the 
Army with respect to the Army, (2) the Department of the Navy with 
respect to the Navy and Marine Corps, (3) the Department of the Air 
Force with respect to the Air Force, (4) the Department of 
Transportation with respect to the Coast Guard, (5) the Department of 
Commerce with respect to the Environmental Science Services 
Administration, and (6) the Department of Health, Education, and Welfare 
with respect to the Public Health Service.
    (l) The term dependent means the prospective annuitants described in 
paragraphs (d) and (e) of this section.
    (m) The term Board of Actuaries means the Government Actuary in the 
Department of the Treasury, the Chief Actuary of the Social Security 
Administration, and a member of the Society of Actuaries appointed by 
the President to advise the Secretary of Defense on the administration 
of the Plan.
    (n) The term Joint Board means representatives of the uniformed 
services appointed under the provisions of Sec. 48.602.
    (o) The term years of service means years of service creditable in 
the computation of basic pay.
    (p) The term election means the choice of options made by the member 
under the RSFPP. This term includes a

[[Page 278]]

modification of a previous election or an election submitted after a 
revocation of a previous option(s) elected.
    (q) The term elections in effect means valid elections existing on 
the day of retirement.
    (r) A recognized educational institution is defined as a high 
school, trade school, technical or vocational institute, junior college, 
college, university, or comparable recognized educational institution 
which meets one or more of the following criteria:
    (1) It is operated or directly supported by the United States, or a 
State, or local governmental agency.
    (2) It is accredited by a nationally recognized or State recognized 
accrediting agency.
    (3) It is approved as an educational institution by a State or local 
governmental agency.
    (4) Its credits are accepted for transfer (or for admission) by 
three or more accredited schools on the same basis as credits from an 
accredited school.



                      Subpart B_Election of Options



Sec. 48.201  Options.

    As provided in Sec. 48.203, a member may elect one or more of the 
following annuities. The amount must be specified at time of election, 
and may not be for more than 50 per centum nor less than 12\1/2\ per 
centum of his retired pay, in no case may be less than a $25 monthly 
annuity be elected. If the election is made in terms of dollars, the 
amount may be more than 50 per centum of the retired pay that he would 
receive if he were to retire at the time of election; however, if such 
elected amount exceeds 50 per centum of his retired pay when he does 
retire, it shall be reduced to an amount equal to such 50 per centum. 
Also, if the dollar amount elected is less than 12\1/2\ per centum of 
his retired pay when he does retire, it shall be increased to an amount 
equal to such 12\1/2\ per centum.
    (a) Option 1 is an annuity payable to or on behalf of his widow, the 
annuity to terminate upon her death or remarriage.
    (b) Option 2 is an annuity payable to or on behalf of his surviving 
child or children as defined in Sec. 48.102, the annuity to terminate 
when there ceases to be at least one such surviving child eligible to 
receive the annuity. Each payment under such annuity shall be paid in 
equal shares to or on behalf of the surviving children remaining 
eligible at the time the payment is due. A member who had this option in 
effect on the date of retirement, and who retired on or after November 
1, 1968, may apply to the Secretary concerned to have a child (other 
than a child described in Sec. 48.102(e)(4)) who is at least 18 but 
less than 23 years of age considered not to be an eligible beneficiary 
under this paragraph (b) or Sec. 48.202. Normally such applications 
will be approved.
    (c) Option 3 is an annuity to or on behalf of his widow and 
surviving child or children. Such annuity shall be paid to the widow 
until death or remarriage, and thereafter each payment under such 
annuity shall be paid in equal shares to or on behalf of the surviving 
children remaining eligible at the time the payment is due. A member may 
provide for allocating, during the period of the surviving spouse's 
eligibility, a part of the annuity under this subpart B for payment to 
those of his surviving children who are not children of that spouse. The 
sum allotted will not exceed the equitable share for which such children 
would be eligible after the death of the widow.
    (d) When no eligible beneficiary remains to benefit from the option 
elected, the member's retired pay will be restored (except as provided 
in Sec. 48.604, for certain members retired before Aug. 13, 1968). All 
elections on file on Aug. 13, 1968, for members not entitled to receive 
retired pay will be considered to include the restoration feature with 
attendant cost factors being applied at time of retirement. For the 
purpose of this paragraph, a child (other than a child described in 
Sec. 48.102(e)(4)) who is at least 18 but less than 23 years of age, 
and is not pursuing a course of study as defined in Sec. 48.102(e)(5), 
shall be considered an eligible beneficiary unless an approved 
application by the member pursuant to Sec. 48.201(b) that such a child 
is not to be considered an eligible beneficiary is in effect (for 
members who retire on or after Nov. 1, 1968).

[[Page 279]]



Sec. 48.202  Limitation on number of annuities.

    When a member desires to provide both the annuity provided by Option 
1 and Option 2, he may elect amounts that, in total, meet the 
limitations specified in Sec. 48.201. The cost of each annuity, and the 
amount of each annuity shall be determined separately. A member may not 
elect the combination of Options 1 and 3 or Options 2 and 3 in any case. 
The combined amount of the annuities may not be more than 50 per centum 
nor less than 12\1/2\ per centum of his retired pay. In no case may less 
than a $25 per month combined annuity be provided.



Sec. 48.203  Election of options.

    (a) A member who has completed less than 19 years of service as 
defined in Sec. 48.102(o) may elect to receive a reduced amount of 
retired pay in order to provide one or more of the annuities as 
specified in Sec. Sec. 48.201 and 48.202, payable after his death while 
entitled to retired pay to or on behalf of his surviving widow, child, 
or children. To be effective, the election by such a member must be 
dated, signed, witnessed, and delivered to appropriate service 
officials, or postmarked not later than midnight on the day in which he 
completes 19 years of service. Such an election will become effective 
immediately upon subsequent retirement. The latest election, change, or 
revocation made in accordance with this subsection will, if otherwise 
valid, be the effective election, unless superseded by a change as 
provided in paragraph (b) of this section.
    (b) Except as provided in paragraph (c) of this section, a member 
who fails or declines to make an election before completion of 19 years 
of service may make an election after that time. However, unless the 
election is made at least 2 years prior to the date the member becomes 
entitled to receive retired pay, it will not be effective. The same 
applies to subsequent changes or revocations made prior to retirement.
    (c) If an election, revocation, or change was made prior to August 
13, 1968, the 19-year and 2-year provisions are automatically in effect 
on August 13, 1968, for members who were not entitled to retired pay on 
such date, unless the member applies under Sec. 48.604(d) to remain 
under the provisions of the law prior to August 13, 1968. In this case 
the ``18 years of service'' and ``3 years prior to receipt of retired 
pay'' rules will apply.
    (d) A member retired for physical disability on or after November 1, 
1968 who is awarded retired pay prior to completion of 19 years of 
service may make an election which is subject to the restrictions set 
forth in Sec. 48.507. The election by such member shall be made before 
the first day for which he is entitled to retired pay. Elections made 
under this paragraph prior to November 1, 1968, must be made by the 
member retiring for physical disability prior to completing 18 years.
    (e) If, because of military operations, a member is assigned to an 
isolated station, or is missing, interned in a neutral country, captured 
by a hostile force, or beleaguered or besieged, and for that reason is 
unable to make an election before completing 19 years of service, he may 
make the election within 1 year after he ceases to be assigned to that 
station or returns to the jurisdiction of his service as the case may 
be, and such election shall become effective immediately upon subsequent 
retirement.
    (f) A member to whom retired pay is granted retroactively, and who 
is otherwise eligible to make an election, may make the election within 
90 days after receiving notice that such pay has been granted him.
    (g) Whenever a member is determined to be mentally incompetent by 
medical officers of the uniformed services or of the Veterans 
Administration, or is adjudged mentally incompetent by a court of 
competent jurisdiction and because of such mental incompetency is 
incapable of making any election within the time limitations prescribed 
by the Plan, the Secretary of the Department concerned may make the 
appropriate election on behalf of such member upon request of the 
spouse, or if there be no spouse, by or on behalf of the child or 
children of such member. If such member is subsequently determined to be 
mentally competent by the Veterans Administration or a court of 
competent jurisdiction, he may, within 180 days after such determination 
or

[[Page 280]]

judgment, change or revoke the election made on his behalf. In such a 
case, the change or revocation will be effective on the date of the 
member's request for such change or revocation. Deductions previously 
made shall not be refunded.
    (h) All elections on file on August 13, 1968, for members not 
entitled to receive retired pay shall be subject to the provisions of 
this section unless the member makes the application specified in Sec. 
48.604(d).
    (i) A person who was a former member of the armed forces on November 
1, 1953, and who is granted retired pay after that date, may, at the 
time he is granted that pay, make an election as provided in Sec. 
48.201.



Sec. 48.204  Change or revocation of election.

    (a) A change of election is a change in the amount of the annuity or 
annuities under any option, or a change in any option or options 
selected. A revocation is a cancellation of a previous election and 
constitutes a withdrawal from coverage under the Plan.
    (b) A member may change or revoke his election as often as he 
desires prior to the completion of 19 years of service. Such a change or 
revocation must be dated, signed, witnessed, and delivered to 
appropriate service officials, or postmarked not later than midnight on 
the day in which the member completes 19 years of service. The latest 
election, change, or revocation which is submitted in accordance with 
this subsection will be effective at retirement.
    (c) A member who desires to make an election or change or revoke his 
election after he has completed 19 years of service may do so prior to 
his retirement. However, such an election, change or revocation will be 
effective only if at least 2 years elapse between the date of the 
election, change, or revocation and the date of eligibility to receive 
retired pay.
    (d) A revocation will not prohibit the filing of a new election at a 
later date which will become valid under applicable validation 
provisions.
    (e) A member may, on or after November 1, 1968, at any time prior to 
his retirement, change or revoke his election (provided the change does 
not increase the amount of the annuity elected) to reflect a change in 
the marital or dependency status of the member of his family caused by 
death, divorce, annulment, remarriage, or acquisition of a child, if 
such change or revocation is made within 2 years of such change in 
status.
    (f) Notification of a change in family status is not a change of 
election.
    (g) All changes and revocations on file on August 13, 1968, for 
members not entitled to retired pay shall be subject to the provisions 
of this section unless the member makes the application specified in 
Sec. 48.604(d).



Sec. 48.205  Election form.

    The form for making election after October 31, 1968, is prescribed 
as Election of Options, Retired Serviceman's Family Protection Plan, DD 
Form 1688. \1\ It will be submitted as directed herein. All copies will 
be signed, and any otherwise complete, signed copy, when properly 
submitted, may be used to substantiate the fact of election, 
modification, revocation, or change in family status.
---------------------------------------------------------------------------

    \1\ Filed as part of the original document. Copies may be obtained 
from Military Personnel Office.
---------------------------------------------------------------------------



Sec. 48.206  Information regarding elections.

    (a) All members of the Reserve component who will have accumulated 
sufficient service to be eligible for retired pay at age 60, will be 
counseled on the Plan before reaching their 57th birth dates in order to 
insure that valid elections can be made prior to their 58th birth dates. 
An election, modification, or revocation submitted subsequent to 
attaining age 58 will be valid only if it is made and submitted at least 
2 years prior to the first date for which retired pay is granted.
    (b) It is the responsibility of the department concerned to provide 
election forms and to promulgate information concerning the benefits of 
the Plan to all members so as to allow a timely election.
    (c) Members retiring for physical disability prior to the completion 
of 19

[[Page 281]]

years of service will, prior to retirement, be counseled and furnished 
information concerning the operation of the Plan.



                 Subpart C_Designation of Beneficiaries



Sec. 48.301  Designation.

    (a) All legal beneficiaries described in Sec. 48.102 must be named 
at the date of retirement pursuant to the option elected. Although a 
member without dependents may make an election, it will not be effective 
unless he has eligible dependents at the time of his retirement.
    (b) When a change in family status occurs prior to retirement which 
would effect a change as provided in Sec. 48.204(e), new DD Form 1688, 
\1\ Election of Options, Retired Servicemen's Family Protection Plan, 
should be filed to evidence such change.
---------------------------------------------------------------------------

    \1\ See footnote 1 to Sec. 48.205.
---------------------------------------------------------------------------



Sec. 48.302  Substantiating evidence regarding dependency and age of dependents.

    At the time of submitting the election, or prior to retirement, the 
member must indicate his wife's and youngest child birth date as 
applicable to the option elected. At or before the time of his 
retirement, he must submit proof of final dissolution of prior 
marriages, if any, both for himself and his spouse. The age of the 
dependents must be substantiated by a birth certificate or other 
competent evidence. The birth date of a member must be verified by his 
service record. All required substantiating evidence must be at the 
disbursing office which would normally pay the member retired pay or 
retainer pay immediately following retirement so as to permit the 
establishment of accurate pay accounts and to prevent the creation of 
indebtedness or overpayments.



Sec. 48.303  Condition affecting entitlement of widow or widower.

    A member may have a different lawful spouse at the time of 
retirement from the lawful spouse he had at the time of election. The 
lawful spouse at the time of retirement is the spouse eligible for an 
annuity at the time of member's death. Divorce of the member will remove 
the former spouse as a prospective annuitant.



                   Subpart D_Reduction of Retired Pay



Sec. 48.401  Computation of reduction.

    (a) The reduction to be made in the retired pay of a member who has 
made an election shall be computed by the uniformed service concerned in 
each individual case, based upon tables of factors prepared by the Board 
of Actuaries. The computation shall be based upon the applicable table 
in effect on the date of retirement.
    (b) An adjustment may be made in the reduction of retired pay upon 
the finding of an administrative error or a mistake of fact (see Sec. 
48.603).
    (c) If a member elects to be covered by option 3, and on the date he 
is awarded retired pay has no children eligible to receive the annuity, 
or has only a child or children aged 18-22 (other than a child described 
in Sec. 48.102(e)(4) and elects, at retirement, that such child or 
children shall not be considered to be eligible beneficiaries, he shall 
have his costs computed as though he had elected option 1. If he elects 
option 3, and on the date he is awarded retired pay has no wife eligible 
for the annuity, he shall have his costs computed as though he had 
elected option 2.
    (d) If a member elects option 3, and after he becomes entitled to 
retired pay, there is no eligible spouse because of death or divorce, 
upon the retired member's application, no deductions from his retired 
pay shall be made after the last day of the month in which there ceases 
to be an eligible spouse. Children otherwise eligible will continue to 
be eligible for the annuity in event of the member's death. No amounts 
by which the member's retired pay is reduced before that date may be 
refunded to or credited on behalf of that person.
    (e) The amount of reduction in retired pay and the annuity payable 
established for each individual at the time of his retirement shall 
remain unaltered except as provided in Sec. 48.203(g), paragraphs (b) 
and (d) of this

[[Page 282]]

section, and Sec. 48.406, regardless of future pay increases or 
decreases.



Sec. 48.402  Effective date of reduction.

    The effective date of reduction in retired pay will be the effective 
date of retirement with pay. The reduction in retired pay will be 
terminated on the date the member ceases to be entitled to retired pay 
or on the first day of the month following that in which there is no 
eligible beneficiary (for exception to this rule see Sec. 48.604).



Sec. 48.403  Payment of nonwithheld reduction of retired pay.

    (a) A member of a uniformed service who is entitled to retired pay 
and has made an election shall, during any period in which he is not 
receiving retired pay (including periods of active duty), deposit the 
amount which would have been withheld from his retired pay had he been 
receiving that pay.
    (b) Such deposit will be payable to Treasurer of the United States 
and shall be forwarded monthly to the disbursing office which would 
normally pay the member his retired pay.
    (c) The disbursing office will in all cases inform the member of the 
amount to be deposited and when such deposits are to be made.
    (d) In the event deposits are not made within 30 days of the due 
date, the disbursing office will inform the member concerned that he is 
delinquent from such due date and thereafter his designated 
beneficiaries will not be eligible for the annuity provided under the 
Plan until the arrears have been paid. The notification of delinquency 
will advise the member that 15 additional days have been granted to him 
in which to remit his deposit, and that if the arrears are not deposited 
within that period, the member will be charged interest to include the 
first day of delinquency. In no case will the expiration date of the 15 
days exceed a date later than 45 days from the date the deposit was due. 
The interest will be computed monthly and the rate will be that used in 
computing the cost tables in effect on the date of the member's 
retirement. If such member later becomes in receipt of retired pay, any 
arrears with compound interest will be withheld.



Sec. 48.404  Ages to be used.

    Ages to be used for calculating reductions of retired pay will be 
the ages of the member and his eligible dependents on their nearest 
birth dates as of the date of the member's retirement.



Sec. 48.405  Action upon removal from temporary disability retired list.

    (a) Any member on the temporary disability retired list established 
pursuant to title 10, United States Code, chapter 61, who has elected to 
receive reduced retired pay in order to provide one or more of the 
annuities specified in the Plan, and who is subsequently removed from 
the list due to any reason other than permanent retirement, shall have 
refunded to him a sum which represents the difference between the amount 
by which his retired pay has been reduced and the cost of an amount of 
term insurance which is equal to the protection provided his dependents 
during the period he was on the temporary disability retired list.
    (b) If the member concerned is returned to active duty, his election 
as previously made will continue or he may change or revoke the election 
as provided in Sec. 48.204.
    (c) Time creditable for the purpose of the two year interval 
required to make a change, revocation or new election valid includes 
service before, during, and after temporary disability retirement. (See 
Sec. Sec. 48.203 and 48.204 and Comptroller Decision B-144158, Dec. 23, 
1960.) Active duty after removal from a temporary disability retired 
list is a necessity in such a case.



Sec. 48.406  Withdrawal and reduction of percentage or amount of
participation.

    A retired member who is participating in the Plan may revoke his 
election and withdraw from participation, or he may reduce the amount of 
the survivor annuity; however, an approved withdrawal or reduction will 
not be effective earlier than the first day of the seventh month 
beginning after the date his application is received by the Finance 
Center controlling his pay record. (For special rules covering 
participating members retired before Aug. 13, 1968, without option 4, 
see Sec. 48.604.)

[[Page 283]]

No application for reduction will be approved which requests a change in 
options. A request to reduce an annuity or to withdraw from the Plan is 
irrevocable, and a retired member who withdraws may never again 
participate in the Plan. Approval of a request for a reduction will not 
be made when such reduction results in an annuity of less than 12\1/2\ 
per centum of the member's retired pay or less than a $25 monthly 
annuity. The new cost, after such reduction in survivor annuity, will be 
computed from the applicable cost table at the time of retirement. No 
amounts by which a member's retired pay is reduced may be refunded to, 
or credited on behalf of, the member by virtue of an application made by 
him under this section.



                            Subpart E_Annuity



Sec. 48.501  General information.

    Except as provided in Sec. 48.506(a), no annuity payable under the 
Plan shall be assignable, or subject to execution, levy, attachment, 
garnishment, or other legal process. Annuities payable under this Plan 
shall be in addition to any pensions or other payments to which the 
beneficiaries may now or hereafter be entitled under other provisions of 
law (except as provided in Sec. 48.507), and may not be considered as 
income under any law administered by the Veterans Administration, except 
for the purpose of title 38 U.S. Code, section 415(g) and chapter 15.



Sec. 48.502  Effective date of annuity.

    All annuities payable under this Plan except those payable to 
beneficiaries described in Sec. 48.102(e)(5) shall accrue from the 
first day of the month in which the retired member dies and shall be due 
and payable not later than the 15th day of each month following that 
month and in equal monthly installments thereafter, except that no 
annuity shall accrue or be paid for the month in which entitlement to 
that annuity terminates.



Sec. 48.503  Claims for annuity payments.

    Upon official notification of the death of a retired member who has 
elected under the Plan, the department concerned shall forward to the 
eligible surviving beneficiaries the necessary information and forms (DD 
Form 768. Application for Annuity Under Retired Serviceman's Family 
Protection Plan) for making application for annuity payments. Such 
information shall include the place to which the application should be 
forwarded and to which questions regarding annuity payments should be 
addressed.



Sec. 48.504  Payment to children.

    (a) Annuities for a child or children will be paid to the child's 
guardian, or if there is no guardian, to the person(s) who has care, 
custody, and control of the child or children.
    (b) Annuities payable to or on behalf of an eligible child as 
defined in Sec. 48.102(e)(5) accrue as of the first day of the month in 
which--
    (1) The member (upon whose retired pay the annuity is based) dies if 
the eligible child's 18th birthday occurs in the same or a preceding 
month, or
    (2) The 18th birthday of an eligible child occurs if the member 
(upon whose retired pay the annuity is based) died in a preceding month, 
or
    (3) A child first becomes (or again becomes) eligible, if that 
eligible child's 18th birthday and the death of the member (upon whose 
retired pay the annuity is based) both occurred in a preceding month or 
months. An eligible child under this paragraph might become ineligible 
at age 18 and again become eligible by furnishing proof of pursuit of a 
full time course of study or training as enumerated in Sec. 
48.102(e)(5).



Sec. 48.505  Establishing eligibility of annuitants.

    (a) Eligibility for the annuity will be established by such evidence 
as may be required by the department concerned.
    (b) If a child as defined in Sec. 48.102(e)(4) is a designated 
annuitant, the department concerned shall require proof that the 
incapacity for self-support existed prior to the child's reaching age 
18. Proof that continued incapacitation exists will be required every 2 
years after the child passes the age of 18 years, except in a case where 
medical prognosis indicates recovery is impossible.
    (c) If a child as defined in Sec. 48.102(e)(5) is a designated 
annuitant, as specified

[[Page 284]]

in Sec. 48.504(b), the department concerned shall require proof from 
the institution at least semiannually that the child is pursuing a full-
time course of training as prescribed. For the purpose of proving 
eligibility, a child is considered to be pursuing a full-time course of 
study or training during an interval between school periods that does 
not exceed 150 days if he has demonstrated to the satisfaction of the 
department concerned that he has a bona fide intention of commencing, 
resuming, or continuing to pursue a full-time course of study or 
training in a recognized educational institution immediately after that 
interval.



Sec. 48.506  Recovery of erroneous annuity payments.

    (a) The Secretary of the Department concerned is empowered to use 
any means provided by law to recover amounts of annuities erroneously 
paid to any individual under the Plan. He may authorize such recovery by 
adjustment in subsequent payments to which the individual is entitled.
    (b) There need be no recovery when in the judgment of the Secretary 
of the Department concerned and the Comptroller General of the United 
States, the individual to whom the erroneous payment was made is without 
fault and recovery would be contrary to the purpose of the Plan or would 
be against equity and good conscience.



Sec. 48.507  Restriction on participation.

    (a) If a person who has made an election under the Plan retires with 
a physical disability before the completion of 19 years of service and 
then dies in retirement, his widow and eligible children can receive 
monthly survivor annuities only if they are not eligible for Dependency 
and Indemnity Compensation payments from the Veterans Administration. If 
either the widow or children are eligible for dependency and indemnity 
compensation payments, then payment of annuities under the Plan may not 
be made to any member of the family. If the retired member's death was 
not service connected and his widow or children are not eligible for 
payments from the Veterans Administration, they may receive the provided 
annuity payments under the Plan.
    (b) If the beneficiaries on whose behalf the election was made are 
restricted as in paragraph (a) of this section, from receiving 
annuities, the amounts withheld from the elector's retired pay as a 
result of the election will be refunded to the beneficiaries, less the 
amount of any annuity paid, and without interest.
    (c) Upon notification of the death of the member in such a case, the 
department concerned will take the following actions:
    (1) Notify the Central Office of the Veterans Administration of the 
death of the member and request that the department concerned be advised 
if an award is made under chapter 11 or 13, title 38 U.S. Code.
    (2) Request the Central Office of the Veterans Administration to 
forward to the eligible widow and/or children an application form for 
survivor benefits under chapter 11 or 13, title 38 U.S. Code, with 
instructions for completion and submission.



Sec. 48.508  Certain 100 percent disability retirement.

    An election filed on or after August 13, 1968 is not effective if 
the member dies within 30 days following retirement from a disability of 
100 per centum (under the standard schedule of rating disabilities in 
use by the Veterans Administration) for which he was retired under 
chapter 61, title 10 U.S. Code, unless--
    (a) Such disability was the result of injury or disease received in 
line of duty as a direct result of armed conflict, or
    (b) His widow or children are not entitled to dependency and 
indemnity compensation under chapter 13, title 38 U.S. Code.



                         Subpart F_Miscellaneous



Sec. 48.601  Annual report.

    Information and data for the preparation of the annual report of the 
Board of Actuaries will be compiled by the Office of the Secretary of 
Defense after promulgation of appropriate instructions to each of the 
uniformed services.

[[Page 285]]

These instructions will be in consonance with Executive Order 10499 
directing the Secretary of Defense to administer the provisions of the 
law.



Sec. 48.602  Organization.

    (a) The Joint Board for the Retired Serviceman's Family Protection 
Plan shall consist of a principal and alternate member for each of the 
uniformed services appointed by the Department Secretary concerned. 
Alternate members will be authorized to act in the absence of the 
principal. The Board shall meet on call of the Chairman. A quorum shall 
consist of representatives of at least four of the participating 
services.
    (b) The Board shall establish procedures for the orderly conduct of 
business to be approved by the Assistant Secretary of Defense (Manpower 
and Reserve Affairs).
    (c) The duties of the Board will include but not be limited to the 
following:
    (1) Making recommendations to the Secretary of Defense for:
    (i) Changes to the Executive order delegating to him functions 
conferred on the President by law,
    (ii) Changes to these regulations,
    (iii) Changes to the law, and
    (iv) Measures to insure uniform operating policies.
    (2) Promulgating tables of annuity costs as prescribed by the Board 
of Actuaries.
    (3) Promulgating cost of term insurance as required in Sec. 48.405.
    (d) The Chairmanship of the Joint Board will be designated by the 
Assistant Secretary of Defense (Manpower and Reserve Affairs).



Sec. 48.603  Correction of administrative deficiencies.

    (a) The Secretary of the Department concerned may correct any 
election or any change or revocation of an election when he considers it 
necessary to correct an administrative error. Information on such 
corrections shall be compiled by each department for inclusion in the 
report prescribed by Sec. 48.601.
    (b) Except when procured by fraud, a correction under the section is 
final and conclusive on all officers of the United States.
    (c) Information on all corrections to elections under this Plan 
which are made under title 10, section 1552, United States Code, shall 
be compiled and this information forwarded to the Board of Actuaries for 
an actuarial analysis.



Sec. 48.604  Transition and protective clauses.

    (a) A retired member who is participating in the Plan without 
inclusion of former option 4, which provided for restoration of retired 
pay when no eligible beneficiary remained in his election, may before 
September 1, 1969, elect to have that option included in his election. 
The election to include such option 4 becomes effective on the first day 
of the month following the month in which that election was made. The 
retired member must on or before the effective date agree to pay to the 
Treasury both the total additional amount to cover the option had it 
been effective when he retired, and the interest which would have 
accrued on the additional amount up to the effective date of the new 
option 4. No such additional amount (except interest) shall accrue for 
months after the first month for which the individual had no eligible 
beneficiary. However, if undue hardship or financial burden would 
result, payments may be made in from 2 to 12 monthly installments when 
the monthly amount involved is $25 or less, or in from 2 to 36 
installments when the monthly amounts involved exceed $25. No amounts by 
which a member's retired pay was reduced may be refunded to, or credited 
on behalf of, the retired member by virtue of an application made by him 
under this section. A retired member who does not make the additional 
election provided under this section within the time limits will not be 
allowed to reduce an annuity or withdraw from participation in the Plan 
as provided by Sec. 48.406.
    (b) Members who have elected and are not yet retired will 
automatically participate under the provisions of Sec. 48.201.
    (c) Elections in effect on August 13, 1968, will remain under the 
cost tables applicable on the date of the member's retirement.

[[Page 286]]

    (d) Any member who has filed an election, modification, or 
revocation prior to August 13, 1968, may before September 1, 1969, 
submit a written application to the Secretary concerned requesting that 
such election, modification, or revocation remain under the time-of-
election provisions of the law applicable on the date it was filed.



PART 50_PERSONAL COMMERCIAL SOLICITATION ON DOD INSTALLATIONS--
Table of Contents



                           General Provisions

Sec.
50.1 Purpose.
50.2 Applicability.
50.3 Definitions.
50.4 Policy.
50.5 Responsibilities.
50.6 Procedures.
50.7 Information requirements.

Appendix A to Part 50--Life Insurance Products and Securities
Appendix B to Part 50--Overseas Life Insurance Registration Program

    Authority: 5 U.S.C. 301.

    Source: 71 FR 38764, July 10, 2006, unless otherwise noted.

                           General Provisions



Sec. 50.1  Purpose.

    This part:
    (a) Implements section 577 of Public Law No. 109-163 (2006) and 
establishes policy and procedures for personal commercial solicitation 
on DoD installations.
    (b) Continues the established annual DoD registration requirement 
for the sale of insurance and securities on DoD installations overseas.
    (c) Identifies prohibited practices that may cause withdrawal of 
commercial solicitation privileges on DoD installations and establishes 
notification requirements when privileges are withdrawn.
    (d) Establishes procedures for persons solicited on DoD 
installations to evaluate solicitors.
    (e) Prescribes procedures for providing financial education programs 
to military personnel.



Sec. 50.2  Applicability.

    This part:
    (a) Applies to the Office of the Secretary of Defense, the Military 
Departments, the Chairman of the Joint Chiefs of Staff, the Combatant 
Commands, the Office of the Inspector General of the Department of 
Defense, the Defense Agencies, the DoD Field Activities, and all other 
organizational entities in the Department of Defense (hereafter referred 
to collectively as the ``DoD Components'').
    (b) Does not apply to services furnished by residential service 
companies, such as deliveries of milk, laundry, newspapers, and related 
services to personal residences on the installation requested by the 
resident and authorized by the installation commander.
    (c) Applies to all other personal commercial solicitation on DoD 
installations. It includes meetings on DoD installations of private, 
non-profit, tax-exempt organizations that involve commercial 
solicitation. Attendance at these meetings shall be voluntary and the 
time and place of such meetings are subject to the discretion of the 
installation commander or his or her designee.



Sec. 50.3  Definitions.

    Agent. An individual who receives remuneration as a salesperson or 
whose remuneration is dependent on volume of sales of a product or 
products. (Also referred to as ``commercial agent'' or ``producer''). In 
this part, the term ``agent'' includes ``general agent'' unless the 
content clearly conveys a contrary intent.
    ``Authorized'' Bank and/or Credit Union. Bank and/or credit union 
selected by the installation commander through open competitive 
solicitation to provide exclusive on-base delivery of financial services 
to the installation under a written operating agreement.
    Banking institution. An entity chartered by a State or the Federal 
Government to provide financial services.
    Commercial sponsorship. The act of providing assistance, funding, 
goods, equipment (including fixed assets), or services to an MWR program 
or event by an individual, agency, association,

[[Page 287]]

company or corporation, or other entity (sponsor) for a specified 
(limited) period of time in return for public recognition or advertising 
promotions. Enclosure 9 of DoD Instruction 1015.10 \1\ provides general 
policy governing commercial sponsorship.
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    \1\ Copies may be obtained at http://www.dtic.mil/whs/directives/.
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    Credit union. A cooperative nonprofit association, incorporated 
under the Credit Union Act (12 U.S.C. 1751), or similar state statute, 
for the purpose of encouraging thrift among its members and creating a 
source of credit at a fair and reasonable rate of interest.
    DoD installation. For the purposes of this part, any Federally 
owned, leased, or operated base, reservation, post, camp, building, or 
other facility to which DoD personnel are assigned for duty, including 
barracks, transient housing, and family quarters.
    DoD personnel. For the purposes of this part, all active duty 
officers (commissioned and warrant) and enlisted members of the Military 
Departments and all civilian employees, including nonappropriated fund 
employees and special Government employees, of the Department of 
Defense.
    Financial services. Those services commonly associated with 
financial institutions in the United States, such as electronic banking 
(e.g., ATMs), in-store banking, checking, share and savings accounts, 
fund transfers, sale of official checks, money orders and travelers 
checks, loan services, safe deposit boxes, trust services, sale and 
redemption of U.S. Savings Bonds, and acceptance of utility payments and 
any other consumer-related banking services.
    General agent. A person who has a legal contract to represent a 
company. See the definition of ``Agent'' in this section.
    Insurance carrier. An insurance company issuing insurance through an 
association reinsuring or coinsuring such insurance.
    Insurance product. A policy, annuity, or certificate of insurance 
issued by an insurer or evidence of insurance coverage issued by a self-
insured association, including those with savings and investment 
features.
    Insurer. An entity licensed by the appropriate department to engage 
in the business of insurance.
    Military services. See Joint Publication 1-02, ``DoD Dictionary of 
Military and Associated Terms.'' \2\
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    \2\ See http://www.dtic.mil/doctrine/jel/doddict/indexs.html.
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    Normal home enterprises. Sales or services that are customarily 
conducted in a domestic setting and do not compete with an 
installation's officially sanctioned commerce.
    Personal commercial solicitation. Personal contact, to include 
meetings, meals, or telecommunications contact, for the purpose of 
seeking private business or trade.
    Securities. Mutual funds, stocks, bonds, or any product registered 
with the Securities and Exchange Commission except for any insurance or 
annuity product issued by a corporation subject to supervision by State 
insurance authorities.
    Suspension. Temporary termination of privileges pending completion 
of a commander's inquiry or investigation.
    Withdrawal. Termination of privileges for a set period of time 
following completion of a commander's inquiry or investigation.



Sec. 50.4  Policy.

    (a) It is DoD policy to safeguard and promote the welfare of DoD 
personnel as consumers by setting forth a uniform approach to the 
conduct of all personal commercial solicitation and sales to them by 
dealers and their agents. For those individuals and their companies that 
fail to follow this policy, the opportunity to solicit on military 
installations may be limited or denied as appropriate.
    (b) Command authority includes authority to approve or prohibit all 
commercial solicitation covered by this part. Nothing in this part 
limits an installation commander's inherent authority to deny access to 
vendors or to establish time and place restrictions on commercial 
activities at the installation.



Sec. 50.5  Responsibilities.

    (a) The Principal Deputy Under Secretary of Defense for Personnel 
and

[[Page 288]]

Readiness (PDUSD(P&R)), under the Under Secretary of Defense for 
Personnel and Readiness, shall:
    (1) Identify and publish policies and procedures governing personal 
commercial solicitation on DoD installations consistent with the policy 
set forth in this part.
    (2) Maintain and make available to installation commanders and 
appropriate Federal personnel the current master file of all individual 
agents, dealers, and companies who have their privileges withdrawn at 
any DoD installation.
    (3) Develop and maintain a list of all State Insurance 
Commissioners' points of contact for DoD matters and forward this list 
to the Military Services.
    (b) The Heads of the DoD Components shall:
    (1) Ensure implementation of this part and compliance with its 
provisions.
    (2) Require installations under their authority to report each 
instance of withdrawal of commercial solicitation privileges.
    (3) Submit lists of all individuals and companies who have had their 
commercial solicitation privileges withdrawn at installations under 
their authority to the PDUSD(P&R) in accordance with this part.



Sec. 50.6  Procedures.

    (a) General. (1) No person has authority to enter a DoD installation 
to transact personal commercial solicitation as a matter of right. 
Personal commercial solicitation may be permitted only if the following 
requirements are met:
    (i) The solicitor is duly licensed under applicable Federal, State, 
or municipal laws and has complied with installation regulations.
    (ii) A specific appointment has been made for each meeting with the 
individual concerned. Each meeting is conducted only in family quarters 
or in other areas designated by the installation commander.
    (iii) The solicitor agrees to provide each person solicited the 
personal commercial solicitation evaluation included in DD Form 2885 \3\ 
during the initial appointment. The person being solicited is not 
required to complete the evaluation. However, completed evaluations 
should be sent by the person who was solicited to the office designated 
by the installation commander on the back of the evaluation form.
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    \3\ Copies may be obtained from http://www.dtic.mil/whs/directives/
infomgt/forms/forminfo/forminfopage2239.html.
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    (iv) The solicitor agrees to provide DoD personnel with a written 
reminder, prior to their making a financial commitment, that free legal 
advice is available from the Office of the Staff Judge Advocate.
    (2) Solicitors on overseas installations shall be required to 
observe, in addition to the above, the applicable laws of the host 
country. Upon request, the solicitor must present documentary evidence 
to the installation commander that the company they represent, and its 
agents, meet the applicable licensing requirements of the host country.
    (b) Life insurance products and securities. (1) Life insurance 
products and securities offered and sold to DoD personnel shall meet the 
prerequisites described in Sec. 50.3.
    (2) Installation commanders may permit insurers and their agents to 
solicit on DoD installations if the requirements of paragraph (a) of 
this section are met and if they are licensed under the insurance laws 
of the State where the installation is located. Commanders will ensure 
the agent's license status and complaint history are checked with the 
appropriate State or Federal regulators before granting permission to 
solicit on the installation.
    (3) In addition, before approving insurance and financial product 
agents' requests for permission to solicit, commanders shall review the 
list of agents and companies currently barred, banned, or limited from 
soliciting on any or all DoD installations. This list may be viewed via 
the Personal Commercial Solicitation Report ``quick link'' at http://
www.commanderspage.com. In overseas areas, the DoD Components shall 
limit insurance solicitation to those insurers registered under the 
provisions of appendix B to this part.

[[Page 289]]

    (4) The conduct of all insurance business on DoD installations shall 
be by specific appointment. When establishing the appointment, insurance 
agents shall identify themselves to the prospective purchaser as an 
agent for a specific insurer.
    (5) Installation commanders shall designate areas where interviews 
by appointment may be conducted. The opportunity to conduct scheduled 
interviews shall be extended to all solicitors on an equitable basis. 
Where space and other considerations limit the number of agents using 
the interviewing area, the installation commander may develop and 
publish local policy consistent with this concept.
    (6) Installation commanders shall make disinterested third-party 
insurance counseling available to DoD personnel desiring counseling. 
Financial counselors shall encourage DoD personnel to seek legal 
assistance or other advice from a disinterested third-party before 
entering into a contract for insurance or securities.
    (7) In addition to the solicitation prohibitions contained in 
paragraph (d) of this section, DoD Components shall prohibit the 
following:
    (i) The use of DoD personnel representing any insurer, dealing 
directly or indirectly on behalf of any insurer or any recognized 
representative of any insurer on the installation, or as an agent or in 
any official or business capacity with or without compensation.
    (ii) The use of an agent as a participant in any Military Service-
sponsored education or orientation program.
    (iii) The designation of any agent or the use by any agent of titles 
(for example, ``Battalion Insurance Counselor,'' ``Unit Insurance 
Advisor,'' ``Servicemen's Group Life Insurance Conversion Consultant,'') 
that in any manner, states, or implies any type of endorsement from the 
U.S. Government, the Armed Forces, or any State or Federal agency or 
government entity.
    (iv) The use of desk space for interviews for other than a specific 
prearranged appointment. During such appointment, the agent shall not be 
permitted to display desk signs or other materials announcing his or her 
name or company affiliation.
    (v) The use of an installation ``daily bulletin,'' marquee, 
newsletter, Web page, or other official notice to announce the presence 
of an agent and/or his or her availability.
    (c) Supervision of on-base commercial activities. (1) All pertinent 
installation regulations shall be posted in a place easily accessible to 
those conducting and receiving personal commercial solicitation on the 
installation.
    (2) The installation commander shall make available a copy of 
installation regulations to anyone conducting on-base commercial 
solicitation activities warning that failure to follow the regulations 
may result in the loss of solicitation privileges.
    (3) The installation commander, or designated representative, shall 
inquire into any alleged violations of this part or of any questionable 
solicitation practices. The DD Form 2885 is provided as a means to 
supervise solicitation activities on the installation.
    (d) Prohibited practices. The following commercial solicitation 
practices shall be prohibited on all DoD installations:
    (1) Solicitation of recruits, trainees, and transient personnel in a 
group setting or ``mass'' audience and solicitation of any DoD personnel 
in a ``captive'' audience where attendance is not voluntary.
    (2) Making appointments with or soliciting military or DoD civilian 
personnel during their normally scheduled duty hours.
    (3) Soliciting in barracks, day rooms, unit areas, transient 
personnel housing, or other areas where the installation commander has 
prohibited solicitation.
    (4) Use of official military identification cards or DoD vehicle 
decals by active duty, retired or reserve members of the Military 
Services to gain access to DoD installations for the purpose of 
soliciting. When entering the installation for the purpose of 
solicitation, solicitors with military identification cards and/or DoD 
vehicle decals must present documentation issued by the installation 
authorizing solicitation.
    (5) Procuring, attempting to procure, supplying, or attempting to 
supply non-public listings of DoD personnel

[[Page 290]]

for purposes of commercial solicitation, except for releases made in 
accordance with DoD Directive 5400.7. \4\
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    \4\ See footnote 1 to Sec. 50.3.
---------------------------------------------------------------------------

    (6) Offering unfair, improper, or deceptive inducements to purchase 
or trade.
    (7) Using promotional incentives to facilitate transactions or to 
eliminate competition.
    (8) Using manipulative, deceptive, or fraudulent devices, schemes, 
or artifices, including misleading advertising and sales literature. All 
financial products, which contain insurance features, must clearly 
explain the insurance features of those products.
    (9) Using oral or written representations to suggest or give the 
appearance that the Department of Defense sponsors or endorses any 
particular company, its agents, or the goods, services, and commodities 
it sells.
    (10) DoD personnel making personal commercial solicitations or sales 
to DoD personnel who are junior in rank or grade, or to the family 
members of such personnel, except as authorized in Section 2-205 and 5-
409 of the Joint Ethics Regulation, DoD 5500.7-R. \5\
---------------------------------------------------------------------------

    \5\ See footnote 1 to Sec. 50.3.
---------------------------------------------------------------------------

    (11) Entering into any unauthorized or restricted area.
    (12) Using any portion of installation facilities, including 
quarters, as a showroom or store for the sale of goods or services, 
except as specifically authorized by DoD Directive 1330.17 \6\ and DoD 
Instructions 1015.10, 1000.15 \7\ and 1330.21. \8\ This does not apply 
to normal home enterprises that comply with applicable State and local 
laws and installation rules.
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    \6\ See footnote 1 to Sec. 50.3.
    \7\ See footnote 1 to Sec. 50.3.
    \8\ See footnote 1 to Sec. 50.3.
---------------------------------------------------------------------------

    (13) Soliciting door to door or without an appointment.
    (14) Unauthorized advertising of addresses or telephone numbers used 
in personal commercial solicitation activities conducted on the 
installation, or the use of official positions, titles, or organization 
names, for the purpose of personal commercial solicitation, except as 
authorized in DoD 5500.7-R. Military grade and Military Service as part 
of an individual's name (e.g., Captain Smith, U.S. Marine Corps) may be 
used in the same manner as conventional titles, such as ``Mr.'', 
``Mrs.'', or ``Honorable''.
    (15) Contacting DoD personnel by calling a government telephone, 
faxing to a government fax machine, or by sending e-mail to a government 
computer, unless a pre-existing relationship (i.e., the DoD member is a 
current client or requested to be contacted) exists between the parties 
and the DoD member has not asked for contact to be terminated.
    (e) Denial, suspension, and withdrawal of installation solicitation 
privileges. (1) The installation commander shall deny, suspend, or 
withdraw permission for a company and its agents to conduct commercial 
activities on the base if such action is in the best interests of the 
command. The grounds for taking these actions may include, but are not 
limited to, the following:
    (i) Failure to meet the licensing and other regulatory requirements 
prescribed in this part or violations of the State law where the 
installation is located. Commanders will request that appropriate state 
officials determine whether a company or agent violated State law.
    (ii) Commission of any of the practices prohibited in paragraphs 
(b)(6) and (d) of this section.
    (iii) Substantiated complaints and/or adverse reports regarding the 
quality of goods, services, and/or commodities, and the manner in which 
they are offered for sale.
    (iv) Knowing and willful violations of Public Law 90-321.
    (v) Personal misconduct by a company's agent or representative while 
on the installation.
    (vi) The possession of, and any attempt to obtain supplies of direct 
deposit forms, or any other form or device used by Military Departments 
to direct a Service member's pay to a third party, or possession or use 
of facsimiles thereof. This includes using or assisting in using a 
Service member's ``MyPay'' account or other similar Internet medium for 
the purpose of establishing a direct deposit for the purchase of 
insurance or other investment product.

[[Page 291]]

    (vii) Failure to incorporate and abide by the Standards of Fairness 
policies contained in DoD Instruction 1344.9. \9\
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    \9\ See footnote 1 to Sec. 50.3.
---------------------------------------------------------------------------

    (2) The installation commander may determine that circumstances 
dictate the immediate suspension of solicitation privileges while an 
investigation is conducted. Upon suspending solicitation privileges, the 
commander shall promptly inform the agent and the company the agent 
represents, in writing.
    (3) In suspending or withdrawing solicitation privileges, the 
installation commander shall determine whether to limit such action to 
the agent alone or extend it to the company the agent represents. This 
decision shall be based on the circumstances of the particular case, 
including, but not limited to, the nature of the violations, frequency 
of violations, the extent to which other agents of the company have 
engaged in such practices and any other matters tending to show the 
culpability of an individual and the company.
    (4) If the investigation determines an agent or company does not 
possess a valid license or the agent, company, or product has failed to 
meet other State or Federal regulatory requirements, the installation 
commander shall immediately notify the appropriate regulatory 
authorities.
    (5) In a withdrawal action, the commander shall allow the individual 
or company an opportunity to show cause as to why the action should not 
be taken. To ``show cause'' means an opportunity must be given for the 
aggrieved party to present facts on an informal basis for the 
consideration of the installation commander or the commander's designee. 
The installation commander shall make a final decision regarding 
withdrawal based upon the entire record in each case. Installation 
commanders shall report concerns or complaints involving the quality or 
suitability of financial products or concerns or complaints involving 
marketing methods used to sell these products to the appropriate State 
and Federal regulatory authorities. Also, installation commanders shall 
report any suspension or withdrawal of insurance or securities products 
solicitation privileges to the appropriate State or Federal regulatory 
authorities.
    (6) The installation commander shall inform the Military Department 
concerned of any denial, suspension, withdrawal, or reinstatement of an 
agent or company's solicitation privileges and the Military Department 
shall inform the Office of the PDUSD(P&R), which will maintain a list of 
insurance and financial product companies and agents currently barred, 
banned, or otherwise limited from soliciting on any or all DoD 
installations. This list may be viewed at http://www.commanderspage.com. 
If warranted, the installation commander may recommend to the Military 
Department concerned that the action taken be extended to other DoD 
installations. The Military Department may extend the action to other 
military installations in the Military Department. The PDUSD(P&R), 
following consultation with the Military Department concerned, may order 
the action extended to other Military Departments.
    (7) All suspensions or withdrawals of privileges may be permanent or 
for a set period of time. If for a set period, when that period expires, 
the individual or company may reapply for permission to solicit through 
the installation commander or Military Department originally imposing 
the restriction. The installation commander or Military Department 
reinstating permission to solicit shall notify the Office of the 
PDUSD(P&R) and appropriate State and Federal regulatory agencies when 
such suspensions or withdrawals are lifted.
    (8) The Secretaries of the Military Departments may direct the Armed 
Forces Disciplinary Control Boards in all geographical areas in which 
the grounds for withdrawal action have occurred to consider all 
applicable information and take action that the Boards deem appropriate.
    (9) Nothing in this part limits the authority of the installation 
commander or other appropriate authority from requesting or instituting 
other administrative and/or criminal action against any person, 
including those who violate the conditions and restrictions upon which 
installation entry is authorized.

[[Page 292]]

    (f) Advertising and commercial sponsorship. (1) The Department of 
Defense expects voluntary observance of the highest business ethics by 
commercial enterprises soliciting DoD personnel through advertisements 
in unofficial military publications when describing goods, services, 
commodities, and the terms of the sale (including guarantees, 
warranties, and the like).
    (2) The advertising of credit terms shall conform to the provisions 
of 15 U.S.C. 1601 as implemented by Federal Reserve Board Regulation Z 
according to 12 CFR part 226.
    (3) Solicitors may provide commercial sponsorship to DoD Morale, 
Welfare and Recreation programs or events according to DoD Instruction 
1015.10. However, sponsorship may not be used as a means to obtain 
personal contact information for any participant at these events without 
written permission from the individual participant. In addition, 
commercial sponsors may not use sponsorship to advertise products and/or 
services not specifically agreed to in the sponsorship agreement.
    (4) The installation commander may permit organizations to display 
sales literature in designated locations subject to command policies. In 
accordance with DoD 7000.14-R, \10\ Volume 7(a), distribution of 
competitive literature or forms by off-base banks and/or credit unions 
is prohibited on installations where an authorized on-base bank and/or 
credit union exists.
---------------------------------------------------------------------------

    \10\ See footnote 1 to Sec. 50.3.
---------------------------------------------------------------------------

    (g) Educational programs. (1) The Military Departments shall develop 
and disseminate information and provide educational programs for members 
of the Military Services on their personal financial affairs, including 
such subjects as insurance, Government benefits, savings, budgeting, and 
other financial education and assistance requirements outlined in DoD 
Instruction 1342.27. \11\ The Military Departments shall ensure that all 
instructors are qualified as appropriate for the subject matter 
presented. The services of representatives of authorized on-base banks 
and credit unions may be used for this purpose. Under no circumstances 
shall commercial agents, including representatives of loan, finance, 
insurance, or investment companies, be used for this purpose. 
Presentations shall only be conducted at the express request of the 
installation commander.
---------------------------------------------------------------------------

    \11\ See footnote 1 to Sec. 50.3.
---------------------------------------------------------------------------

    (2) The Military Departments shall also make qualified personnel and 
facilities available for individual counseling on loans and consumer 
credit transactions in order to encourage thrift and financial 
responsibility and promote a better understanding of the wise use of 
credit, as prescribed in DoD 7000.14-R.
    (3) The Military Departments shall encourage military members to 
seek advice from a legal assistance officer, the installation financial 
counselor, their own lawyer, or a financial counselor, before making a 
substantial loan or credit commitment.
    (4) Each Military Department shall provide advice and guidance to 
DoD personnel who have a complaint under DoD 1344.9 or who allege a 
criminal violation of its provisions, including referral to the 
appropriate regulatory agency for processing of the complaint.
    (5) Banks and credit unions operating on DoD installations are 
required to provide financial counseling services as an integral part of 
their financial services offerings. Representatives of and materials 
provided by authorized banks and/or credit unions located on military 
installations may be used to provide the educational programs and 
information required by this part subject to the following conditions:
    (i) If the bank or credit union operating on a DoD installation 
sells insurance or securities or has any affiliation with a company that 
sells or markets insurance or other financial products, the installation 
commander shall consider that company's history of complying with this 
part before authorizing the on-base financial institution to provide 
financial education.
    (ii) All prospective educators must agree to use appropriate 
disclaimers in their presentations and on their other educational 
materials. The disclaimers must clearly indicate that they do not 
endorse or favor any commercial supplier, product, or service, or 
promote the services of a specific financial institution.

[[Page 293]]

    (6) Use of other non-government organizations to provide financial 
education programs is limited as follows:
    (i) Under no circumstances shall commercial agents, including 
employees or representatives of commercial loan, finance, insurance, or 
investment companies, be used.
    (ii) The limitation in paragraph (g)(6)(i) of this section does not 
apply to educational programs and information regarding the Survivor 
Benefits Program and other government benefits provided by tax-exempt 
organizations under section (c)(23) of 26 U.S.C. 501 or by any 
organization providing such a benefit under a contract with the 
Government.
    (iii) Educators from non-government, non-commercial organizations 
expert in personal financial affairs and their materials may, with 
appropriate disclaimers, provide the educational programs and 
information required by this part if approved by a Presidentially-
appointed, Senate-confirmed civilian official of the Military Department 
concerned. Presentations by approved organizations shall be conducted 
only at the express request of the installation commander. The following 
criteria shall be used when considering whether to permit a non-
government, non-commercial organization to present an educational 
program or provide materials on personal financial affairs:
    (A) The organization must qualify as a tax-exempt organization under 
5 U.S.C. 501(c)(3) or 5 U.S.C. 501(c)(23).
    (B) If the organization has any affiliation with a company that 
sells or markets insurance or other financial products, the approval 
authority shall consider that company's history of complying with this 
part.
    (C) All prospective educators must use appropriate disclaimers, in 
their presentations and on their other educational materials, which 
clearly indicate that they and the Department of Defense do not endorse 
or favor any commercial supplier, product, or service or promote the 
services of a specific financial institution.



Sec. 50.7  Information requirements.

    The reporting requirements concerning the suspension or withdrawal 
of solicitation privileges have been assigned Report Control Symbol 
(RCS) DD-P&R(Q)2182 in accordance with DoD 8910.1-M. \12\
---------------------------------------------------------------------------

    \12\ See footnote 1 to Sec. 50.3.
---------------------------------------------------------------------------



   Sec. Appendix A to Part 50--Life Insurance Products and Securities

             A. Life Insurance Product Content Prerequisites

    Companies must provide DoD personnel a written description for each 
product or service they intend to market to DoD personnel on DoD 
installations. These descriptions must be written in a manner that DoD 
personnel can easily understand, and fully disclose the fundamental 
nature of the policy. Companies must be able to demonstrate that each 
form to be used has been filed with and approved, where applicable, by 
the insurance department of the State where the installation is located. 
Insurance products marketed to DoD personnel on overseas installations 
must conform to the standards prescribed by the laws of the State where 
the company is incorporated.
    1. Insurance products, other than certificates or other evidence of 
insurance issued by a self-insured association, offered and sold 
worldwide to personnel on DoD installations, must:
    a. Comply with the insurance laws of the State or country in which 
the installation is located and the requirements of this part.
    b. Contain no restrictions by reason of Military Service or military 
occupational specialty of the insured, unless such restrictions are 
clearly indicated on the face of the contract.
    c. Plainly indicate any extra premium charges imposed by reason of 
Military Service or military occupational specialty.
    d. Contain no variation in the amount of death benefit or premium 
based upon the length of time the contract has been in force, unless all 
such variations are clearly described in the contract.
    e. In plain and readily understandable language, and in type font at 
least as large as the font used for the majority of the policy, inform 
Service members of:
    1. The availability and cost of government subsidized Servicemen's 
Group Life Insurance.
    2. The address and phone number where consumer complaints are 
received by the State insurance commissioner for the State in which the 
insurance product is being sold.
    3. That the U.S. Government has in no way sanctioned, recommended, 
or encouraged the sale of the product being offered. With respect to the 
sale or solicitation of insurance on Federal land or facilitates located 
outside the United States, insurance products must contain the address 
and phone number where

[[Page 294]]

consumer complaints are received by the State insurance commissioner for 
the State which has issued the agent a resident license or the company 
is domiciled, as applicable.
    2. To comply with paragraphs A.1.b., A.1.c. and A.1.d., an 
appropriate reference stamped on the first page of the contract shall 
draw the attention of the policyholder to any restrictions by reason of 
Military Service or military occupational specialty. The reference shall 
describe any extra premium charges and any variations in the amount of 
death benefit or premium based upon the length of time the contract has 
been in force.
    3. Variable life insurance products may be offered provided they 
meet the criteria of the appropriate insurance regulatory agency and the 
Securities and Exchange Commission.
    4. Insurance products shall not be marketed or sold disguised as 
investments. If there is a savings component to an insurance product, 
the agent shall provide the customer written documentation, which 
clearly explains how much of the premium goes to the savings component 
per year broken down over the life of the policy. This document must 
also show the total amount per year allocated to insurance premiums. The 
customer must be provided a copy of this document that is signed by the 
insurance agent.

                          B. Sale of Securities

    1. All securities must be registered with the Securities and 
Exchange Commission.
    2. All sales of securities must comply with the appropriate 
Securities and Exchange Commission regulations.
    3. All securities representatives must apply to the commander of the 
installation on which they desire to solicit the sale of securities for 
permission to solicit.
    4. 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 the National 
Association of Securities Dealers or as an associate of a broker or 
dealer registered with the Securities and Exchange Commission--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.

                  C. Use of the Allotment of Pay System

    1. Allotments of military pay for life insurance products shall be 
made in accordance with DoD 7000.14-R.
    2. For personnel in pay grades E-4 and below, in order to obtain 
financial counseling, at least seven calendar days shall elapse between 
the signing of a life insurance application and the certification of a 
military pay allotment for any supplemental commercial life insurance. 
Installation Finance Officers are responsible for ensuring this seven-
day cooling-off period is monitored and enforced. The purchaser's 
commanding officer may grant a waiver of the seven-day cooling-off 
period requirement for good cause, such as the purchaser's imminent 
deployment or permanent change of station.

                        D. Associations--General

    The recent growth and general acceptability of quasi-military 
associations offering various insurance plans to military personnel are 
acknowledged. Some associations are not organized within the supervision 
of insurance laws of either a State or the Federal Government. While 
some are organized for profit, others function as nonprofit associations 
under Internal Revenue Service regulations. Regardless of the manner in 
which insurance is offered to members, the management of the association 
is responsible for complying fully with the policies contained in this 
part.



Sec. Appendix B to Part 50--Overseas Life Insurance Registration Program

                        A. Registration Criteria

                         1. Initial Registration

    a. Insurers must demonstrate continuous successful operation in the 
life insurance business for a period of not less than 5 years on 
December 31 of the year preceding the date of filing the application.
    b. Insurers must be listed in Best's Life-Health Insurance Reports 
and be assigned a rating of B + (Very Good) or better for the business 
year preceding the Government's fiscal year for which registration is 
sought.

                           2. Re-Registration

    a. Insurers must demonstrate continuous successful operation in the 
life insurance business, as described in paragraph A.1.a. of this 
appendix.
    b. Insurers must retain a Best's rating of B + or better, as 
described in paragraph A.1.b. of this appendix.
    c. Insurers must demonstrate a record of compliance with the 
policies found in this part.

                          3. Waiver Provisions

    Waivers of the initial registration or re-registration provisions 
shall be considered for those insurers demonstrating substantial 
compliance with the aforementioned criteria.

                       B. Application Instructions

    1. Applications Filed Annually. Insurers must apply by June 30 of 
each year for solicitation privileges on overseas U.S. military

[[Page 295]]

installations for the next fiscal year beginning October 1. Applications 
e-mailed, faxed, or postmarked after June 30 shall not be considered.
    2. Application prerequisites. A letter of application, signed by the 
President, Vice President, or designated official of the insurance 
company shall be forwarded to the Principal Deputy Under Secretary of 
Defense (Personnel and Readiness), Attention: Morale, Welfare and 
Recreation (MWR) Policy Directorate, 4000 Defense, Pentagon, Washington, 
DC 20301-4000. The registration criteria in paragraph A1.a. or A1.b. of 
this appendix must be met to satisfy application prerequisites. The 
letter shall contain the information set forth below, submitted in the 
order listed. Where criteria are not applicable, the letter shall so 
state.
    a. The overseas Combatant Commands (e.g., U.S. European Command, 
U.S. Pacific Command, U.S. Central Command, U.S. Southern Command) where 
the company presently solicits, or plans to solicit, on U.S. military 
installations.
    b. A statement that the company has complied with, or shall comply 
with, the applicable laws of the country or countries wherein it 
proposes to solicit. ``Laws of the country'' means all national, 
provincial, city, or county laws or ordinances of any country, as 
applicable.
    c. A statement that the products to be offered for sale conform to 
the standards prescribed in appendix A to this part and contain only the 
standard provisions such as those prescribed by the laws of the State 
where the company's headquarters are located.
    d. A statement that the company shall assume full responsibility for 
the acts of its agents with respect to solicitation. If warranted, the 
number of agents may be limited by the overseas command concerned.
    e. A statement that the company shall only use agents who have been 
licensed by the appropriate State and registered by the overseas command 
concerned to sell to DoD personnel on DoD installations.
    f. Any explanatory or supplemental comments that shall assist in 
evaluating the application.
    g. If the Department of Defense requires facts or statistics beyond 
those normally involved in registration, the company shall make separate 
arrangements to provide them.
    h. A statement that the company's general agent and other registered 
agents are appointed in accordance with the prerequisites established in 
section C of this appendix.
    3. If a company is a life insurance company subsidiary, it must be 
registered separately on its own merits.

                          C. Agent Requirements

    The overseas Combatant Commanders shall apply the following 
principles in registering agents:
    1. An agent must possess a current State license. This requirement 
may be waived for a registered agent continuously residing and 
successfully selling life insurance in foreign areas, who, through no 
fault of his or her own, due to State law (or regulation) governing 
domicile requirements, or requiring that the agent's company be licensed 
to do business in that State, forfeits eligibility for a State license. 
The request for a waiver shall contain the name of the State or 
jurisdiction that would not renew the agent's license.
    2. General agents and agents may represent only one registered 
commercial insurance company. This principle may be waived by the 
overseas Combatant Commander if multiple representations are in the best 
interest of DoD personnel.
    3. An agent must have at least 1 year of successful life insurance 
underwriting experience in the United States or its territories, 
generally within the 5 years preceding the date of application, in order 
to be approved for overseas solicitation.
    4. The overseas Combatant Commanders may exercise further agent 
control procedures as necessary.
    5. An agent, once registered in an overseas area, may not change 
affiliation from the staff of one general agent to another and retain 
registration, unless the previous employer certifies in writing that the 
release is without justifiable prejudice. Overseas Combatant Commanders 
will have final authority to determine justifiable prejudice. 
Indebtedness of an agent to a previous employer is an example of 
justifiable prejudice.

                     D. Announcement of Registration

    1. Registration by the Department of Defense upon annual 
applications of insurers shall be announced as soon as practicable by 
notice to each applicant and by a list released annually in September to 
the appropriate overseas Combatant Commanders. Approval does not 
constitute DoD endorsement of the insurer or its products. Any 
advertising by insurers or verbal representation by its agents, which 
suggests such endorsement, is prohibited.
    2. In the event registration is denied, specific reasons for the 
denial shall be provided to the applicant.
    a. The insurer shall have 30 days from the receipt of notification 
of denial of registration (sent certified mail, return receipt 
requested) in which to request reconsideration of the original decision. 
This request must be in writing and accompanied by substantiating data 
or information in rebuttal of the

[[Page 296]]

specific reasons upon which the denial was based.
    b. Action by the Office of the PDUSD(P&R) on a request for 
reconsideration is final.
    c. An applicant that is presently registered as an insurer shall 
have 90 calendar days from final action denying registration in which to 
close operations.
    3. Upon receiving an annual letter approving registration, each 
company shall send to the applicable overseas Combatant Commander a 
verified list of agents currently registered for overseas solicitation. 
Where applicable, the company shall also include the names and prior 
military affiliation of new agents for whom original registration and 
permission to solicit on base is requested. Insurers initially 
registered shall be furnished instructions by the Department of Defense 
for agent registration procedures in overseas areas.
    4. Material changes affecting the corporate status and financial 
condition of the company that occur during the fiscal year of 
registration must be reported to the MWR Policy Directorate at the 
address in paragraph B.2. of this appendix as they occur.
    a. The Office of the PDUSD(P&R) reserves the right to terminate 
registration if such material changes appear to substantially affect the 
financial and operational standards described in section A of this 
appendix on which registration was based.
    b. Failure to report such material changes may result in termination 
of registration regardless of how it affects the standards.
    5. If an analysis of information furnished by the company indicates 
that unfavorable trends are developing that could adversely affect its 
future operations, the Office of the PDUSD(P&R) may, at its option, 
bring such matters to the attention of the company and request a 
statement as to what action, if any, is considered to deal with such 
unfavorable trends.



PART 53_WEARING OF THE UNIFORM--Table of Contents



Sec.
53.1 Purpose.
53.2 Policy.

    Authority: 5 U.S.C. 301, 10 U.S.C. 772.



Sec. 53.1  Purpose.

    This part prescribes limitations on wearing of the uniform by 
members of the Armed Forces, and establishes policy with respect to 
wearing of the uniform by former members of the Armed Forces.

[35 FR 1236, Jan. 30, 1970]



Sec. 53.2  Policy.

    (a) Members of the Armed Forces (including retired members and 
members of reserve components). The wearing of the uniform is prohibited 
under any of the following circumstances:
    (1) At any meeting or demonstration which is a function of, or 
sponsored by an organization, association, movement, group, or 
combination of persons which the Attorney General of the United States 
has designated, pursuant to E.O. 10450 as amended, as totalitarian, 
fascist, communist, or subversive, or as having adopted a policy of 
advocating or approving the commission of acts of force or violence to 
deny others their rights under The Constitution of the United States, or 
as seeking to alter the form of Government of the United States by 
unconstitutional means.
    (2) During or in connection with the furtherance of political 
activities, private employment or commercial interests, when an 
inference of official sponsorship for the activity or interest could be 
drawn.
    (3) Except when authorized by competent Service authority, when 
participating in activities such as public speeches, interviews, picket 
lines, marches, rallies or any public demonstrations (including those 
pertaining to civil rights), which may imply Service Sanction of the 
cause for which the demonstration or activity is conducted.
    (4) When wearing of the uniform would tend to bring discredit upon 
the Armed Forces.
    (5) When specifically prohibited by regulations of the department 
concerned.
    (b) Former members of the Armed Forces. (1) Unless qualified under 
another provision of this part or under the provisions of 10 U.S.C. 772, 
former members who served honorably during a declared or undeclared war 
and whose most recent service was terminated under honorable conditions 
may wear the uniform in the highest grade held during such war service 
only upon the following occasions and in the course of travel incidents 
thereto:
    (i) Military funerals, memorial services, weddings, and inaugurals.

[[Page 297]]

    (ii) Parades on national or State holidays; or other parades or 
ceremonies of a patriotic character in which any active or reserve U.S. 
military unit is taking part.
    (2) Wearing of the uniform or any part thereof at any other time or 
for any other purpose is prohibited.
    (c) Medal of Honor holders. Persons who have been awarded the Medal 
of Honor may wear the uniform at their pleasure except under the 
circumstances set forth in paragraph (a) of this section.

[35 FR 1236, Jan. 30, 1970]



PART 54_ALLOTMENTS FOR CHILD AND SPOUSAL SUPPORT--Table of Contents



Sec.
54.1 Purpose.
54.2 Applicability and scope.
54.3 Definitions.
54.4 Policy.
54.5 Responsibilities.
54.6 Procedures.

    Authority: 15 U.S.C. 1673, 37 U.S.C. 101, 42 U.S.C. 665.

    Source: 51 FR 23755, July 1, 1986, unless otherwise noted.



Sec. 54.1  Purpose.

    Under section 65 of title 42, United States Code, this part provides 
policy on statutorily required child or child and spousal support 
allotments, assigns responsibilities, and prescribes procedures. The 
policy and procedures for this part are also located in the DoD 
Financial Management Regulation (``DoDFMR''), Volume 7B, Chapter 43, 
section 4304, ``Allotments for Child Support and Spousal Support'' (DoD 
7000.14-R).

[51 FR 23755, July 1, 1986, as amended at 71 FR 40656, July 18, 2006]



Sec. 54.2  Applicability and scope.

    (a) This part applies to the Office of the Secretary of Defense 
(OSD) and the Military Departments. The term ``Military Services,'' as 
used herein, refers to the Army, Navy, Air Force, and Marine Corps.
    (b) Its provisions cover members of the Military Services on 
extended active duty. This does not include a member under a call or 
order to active duty for a period of less than 30 days.



Sec. 54.3  Definitions.

    (a) Authorized person. 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 to seek recovery 
of any amounts owed as child or child and spousal support (including, 
when authorized under the State plan, any official of a political 
subdivision); and the court that has authority to issue an order against 
a member for the support and maintenance of a child or any agent of such 
court.
    (b) Child support. Periodic payments for the support and maintenance 
of a child or children, subject to and in accordance with State or local 
law. This includes, but is not limited to, payments to provide for 
health care, education, recreation, and clothing or to meet other 
specific needs of such a child or children.
    (c) Designated official. The representative of the Military Service 
concerned who is authorized to receive and to process notices under this 
part. See Sec. 54.6(f) for a listing of designed officials.
    (d) Notice. A court order, letter, or similar documentation issued 
by an authorized person providing notification that a member has failed 
to make periodic support payments under a support order.
    (e) Spousal support. Periodic payments for the support and 
maintenance of a spouse or former spouse, in accordance with State and 
local law. It includes, but is not limited to, separate maintenance, 
alimony while litigation continues, and maintenance. Spousal support 
does not include any payment for tranfer of property or its value by an 
individual to his or her spouse or former spouse in compliance with any 
community property settlement, equitable distribution of property, or 
other division of property between spouses or former spouses.
    (f) Support order. Any order providing for child or child and 
spousal support issued by a Court of competent jurisdiction within any 
State, territory, or

[[Page 298]]

possession of the United States, including Indian tribal courts, or in 
accordance with administrative procedures established under State law 
that affords substantial due process and is subject to judicial review.



Sec. 54.4  Policy.

    The Department of Defense is obligated by 42 U.S.C. 665 to require 
child, or child and spousal, support allotments from the pay and 
allowances of a member who has failed to make periodic payments under a 
support order in a total amount equal to the support payable for 2 
months or longer. The member's allotment shall be established by the 
Secretary of the Military Department concerned, or the Secretary's 
designee, provided all requirements of this part have been met.



Sec. 54.5  Responsibilities.

    (a) The Assistant Secretary of Defense (Comptroller) (ASD(C)) shall 
provide guidance, monitor compliance with this part, and have the 
authority to change or modify the procedures in Sec. 54.6.
    (b) The Secretaries of the Military Departments shall comply with 
this part.



Sec. 54.6  Procedures.

    (a) Notice to designated official. (1) An authorized person shall 
send to the designated official of the member's Military Service a 
signed notice that includes:
    (i) A statement that delinquent support payments equal or exceed the 
amount of support payable for 2 months under a support order, and a 
request that an allotment be initiated pursuant to 42 U.S.C. 665.
    (ii) A certified copy of the support order.
    (iii) The amount of the monthly support payment. Such amount may 
include arrearages, if a support order specifies the payment of such 
arrearages. The notice shall indicate how much of the amount payable 
shall be applied toward liquidation of the arrearages.
    (iv) A statement that delinquent support payments are more than 12 
weeks in arrears, if appropriate.
    (v) Sufficient information identifying the member to enable 
processing by the designated official. The following information is 
requested:
    (A) Full name;
    (B) Social Security Number;
    (C) Military Service (Army, Navy, Air Force, or Marine Corps).
    (vi) The full name and address of the allottee. The allottee shall 
be an authorized person, the authorized person's designee, or the 
recipient named in the support order.
    (vii) Any limitations on the duration of the support allotment.
    (viii) A certificate that the official sending the notice is an 
authorized person.
    (2) The notice shall be sent by mail or delivered in person to the 
appropriate designated official of the Military Service. The designated 
official shall note the date and time of receipt on the notice.
    (3) The notice is effective when it is received in the office of the 
designated official.
    (4) When the notice does not sufficiently identify the member, it 
shall be returned directly to the authorized person with an explanation 
of the deficiency. However, before the notice is returned, if there is 
sufficient time, an attempt shall be made to inform the authorized 
person who sent the notice that it will not be honored unless adequate 
information is supplied.
    (5) Upon receipt of effective notice of delinquent support payments, 
together with all required supplementary documents and information, the 
designated official shall identify the member from whom moneys are due 
and payable. Under Sec. 54.6(d), the allotment shall be established in 
the amount necessary to comply with the support order and to liquidate 
arrearages if provided by a support order when the maximum amount to be 
allotted under this provision, together with any other moneys withheld 
for support from the member, does not exceed:
    (i) Fifty percent of the member's disposable earnings for any month 
in which the member asserts by affidavit or other acceptable evidence 
that he or she is supporting a spouse, dependent child, or both, other 
than a party in the support order. When the member

[[Page 299]]

submits evidence, copies shall be sent to the authorized person, 
together with notification that the member's support claim shall be 
honored. If the support claim is contested by the authorized person, 
that authorized person may refer this matter to the appropriate court or 
other authority for resolution.
    (ii) Sixty percent of the member's disposable earnings for any month 
in which the member fails to assert by affidavit or other acceptable 
evidence that he or she is supporting a spouse, dependent child, or 
both.
    (iii) Regardless of the limitations above, an additional 5 percent 
of the member's disposable earnings shall be withheld when the notice 
states that the total amount of the member's support payments is 12 or 
more weeks in arrears.
    (b) Disposable Earnings. (1) In determining disposable earnings for 
a member assigned within the contiguous United States, include the 
following payments. For definitions of these items, see DoD 5000.12-M.
    (i) Basic pay (including Military Service academy cadet and 
midshipman pay).
    (ii) Basic allowance for quarters for members with dependents, and 
for members without dependents in grade E-7 or higher.
    (iii) Basic allowance for subsistence for commissioned and warrant 
officers.
    (iv) Special pay for physicians, dentists, optometrists, and 
veterinarians.
    (v) Submarine pay.
    (vi) Flying pay (all crew members).
    (vii) Diving pay.
    (viii) Proficiency pay or special duty assignment pay.
    (ix) Career sea pay.
    (2) To determine disposable earnings for a member assigned outside 
of the contiguous United States, the following shall supplement the 
payments listed in paragraph (b)(1) of this section:
    (i) Foreign duty pay.
    (ii) Special pay for duty subject to hostile fire (applies only to 
members permanently assigned in a designated area).
    (iii) Family separation allowances (only under certain type-II 
conditions).
    (iv) Special pay for overseas extensions
    (c) Calculations of disposable earnings shall exclude:
    (1) Amounts owed by the member to the United States.
    (2) Amounts mandatorily withheld for the U.S. Soldiers' and Airmen's 
Home.
    (3) Fines and forfeitures ordered by a court-martial or by a 
commanding officer.
    (4) Federal and State employment and income taxes withheld to the 
extent that the amount deducted is consistent with the member's tax 
liability.
    (5) Deductions for the Servicemen's Group Life Insurance coverage.
    (6) Advances of pay received by the member before receipt of notice 
(see paragraph (c)(1) of this section) that may be due and payable by 
the member at some future date. Requests for advances received after 
notice for a statutorily required support allotment shall be reduced by 
the amount of the statutorily required support allotment.
    (7) Other amounts required by law to be deducted.
    (d) Notice to member and member's Commanding Officer.
    (1) As soon as possible, but not later than 15 calendar days after 
the date of receipt of notice, the designated official shall send to the 
member, at his or her duty station, written notice:
    (i) That notice has been received from an authorized person, 
including a copy of the documents submitted.
    (ii) Of the maximum limitations provided in 15 U.S.C. 1673, with a 
request that the member submit supporting affidavits or other 
documentation necessary for determining the applicable percentage 
limitation.
    (iii) That the member may submit supporting affidavits or other 
documentation as evidence that the information contained in the notice 
is in error.
    (iv) That by submitting supporting affidavits or other necessary 
documentation, the member consents to the disclosure of such information 
to the party requesting the support allotment.
    (v) Of the amount or percentage that will be deducted if the member 
fails to submit the documentation necessary to

[[Page 300]]

enable the designated official to respond to the notice within the 
prescribed time limits.
    (vi) That a consultation with a judge advocate or legal officer will 
be provided by the Military Service, if possible, and that the member 
should immediately contact the nearest legal services office.
    (vii) Of the date that the allotment is scheduled to begin.
    (2) The designated official shall notify the member's commanding 
officer, or designee, of the need for consultation between the member 
and a judge advocate or legal officer. The designated official shall 
provide the member's commanding officer, or designee, with a copy of the 
notice and other legal documentation served on the designated official.
    (3) The Military Services shall provide the member with the 
following:
    (i) When possible, an in-person consultation with a judge advocate 
or legal officer of the Military Service concerned, to discuss the legal 
and other factors, involved in the member's support obligation and 
failure to make payment.
    (ii) Copies any other documents submitted with the notice.
    (4) The member's commanding officer, or designee, shall confirm in 
writing to the designated official within 30 days of notice that the 
member received a consultation concerning the member's support 
obligation and the consequences of failure to make payments, or when 
appropriate, of the inability to arrange such consultation and the 
status of continuing efforts to fulfill the consultation requirement.
    (5) If, within 30 days of the date of the notice, the member has 
furnished the designated official affidavits or other documentation 
showing the information in the notice to be in error, the designated 
official shall consider the member's response. The designated official 
may return to the authorized person, without action, the notice for a 
statutorily required support allotment together with the member's 
affidavit and other documentation, if the member submits substantial 
proof of error, such as:
    (i) The support payments are not delinquent.
    (ii) The underlying support order in the notice has been amended, 
superseded, or set aside.
    (e) Payments. (1) Except as provided in paragraph (e)(3) the 
Secretary of the Military Department concerned, or designee, shall make 
the support allotment by the first end-of-month payday after the 
designated official is notified that the member has had a consultation 
with a judge advocate or legal officer, or that a consultation was not 
possible, but not later than the first end-of-month payday after 30 days 
have elapsed from the date of the notice to the member. The Military 
Services will not be required to vary their normal military allotment 
payment cycle to comply with the notice.
    (2) If several notices are sent with respect to the same member, 
payments shall be satisfied on a first-come, first-served basis within 
the amount limitations in paragraph (a)(5) of this section.
    (3) When the member identified in the notice is found not to be 
entitled to money due from or payable by the Military Service, the 
designated official shall return the notice to the authorized person and 
shall advise him or her that no money is due from or payable by the 
Military Service to the named individual. When it appears that amounts 
are exhausted temporarily or otherwise unavailable, the authorized 
person shall be told why, and for how long, any money is unavailable, if 
known. If the member separates from active duty, the authorized person 
shall be informed that the allotment is discontinued.
    (4) Payment of statutorily required allotments shall be enforced 
over other voluntary deductions and allotments when the gross amount of 
pay and allowances is not sufficient to permit all authorized deductions 
and collections.
    (5) The authorized person or allottee shall notify the designated 
official promptly if the operative court order upon which the allotment 
is based is vacated, modified, or set aside. The designated official 
shall also be notified of any events affecting the allottee's 
eligibility to receive the allotment, such as the former spouse's 
remarriage, if a part of the payment is for spousal support, and notice 
of a change in eligibility for child support

[[Page 301]]

payments under circumstances of death, emancipation, adoption, or 
attainment of majority of a child whose support is provided through the 
allotment.
    (6) An allotment established under this Directive shall be adjusted 
or discontinued upon notice from the authorized person.
    (7) Neither the Department of Defense, nor any officer or employee 
thereof, shall be liable for any payment made from moneys due from, or 
payable by, the Department of Defense to any individual pursuant to 
notice regular on its face, if such payment is made in accordance with 
this part. If a designated official receives notices based on a support 
order which, on its face, appears to conform to the laws of the 
jurisdiction from which it was issued, the designated official shall not 
be required to ascertain whether the authority that issued the order had 
obtained personal jurisdiction over the member.
    (f) List of designated officials.

Army--Commander, U.S. Army Finance and Accounting Center, ATTN: FINCL-G, 
Indianapolis, IN 46249-0160, (317) 542-2155.
Navy--Director, Navy Family Allowance Activity, Anthony J. Celebrezze 
Federal Building, Cleveland, OH 44199, (216) 522-5301.
Air Force--Commander, Air Force Accounting and Finance Center, ATTN: JA, 
Denver, CO 80279, (303) 370-7524.
Marine Corps--Commanding Officer, Marine Corps Finance Center (Code AA), 
Kansas City, MO 64197, (816) 926-7103.



PART 56_NONDISCRIMINATION ON THE BASIS OF HANDICAP IN PROGRAMS AND 
ACTIVITIES ASSISTED OR CONDUCTED BY THE DEPARTMENT OF DEFENSE--
Table of Contents



Sec.
56.1 Purpose.
56.2 Applicability and scope.
56.3 Definitions.
56.4 Policy.
56.5 Responsibilities.
56.6 Information requirements.
56.7 Programs and activities subject to this part.
56.8 Guidelines for determining discriminatory practices.
56.9 Ensuring compliance with this part in Federal financial assistance 
          programs and activities.
56.10 Ensuring compliance with this part in programs and activities 
          conducted by the Department of Defense.

    Authority: Pub. L. 93-112, sec. 504 29 U.S.C. 794, as amended by 
Pub. L. 95-602, 92 Stat. 2982; Pub. L. 93-112, sec. 7, 29 U.S.C. 706, as 
amended by Pub. L. 93-516, 88 Stat. 1619; Executive Order 12250; 
Executive Order 12291; Executive Order 12067.

    Source: 47 FR 15124, Apr. 8, 1982, unless otherwise noted.



Sec. 56.1  Purpose.

    This part implements section 504 of Public Law 93-112, 
``Rehabilitation Act of 1973,'' September 26, 1973 (29 U.S.C. 794) 
(1976); section 111 of Pub. L. 93-516, ``Rehabilitation Act Amendments 
of 1974,'' December 7, 1974 (29 U.S.C. 706, 780, 790) (1976); section 
119 of Pub. L. 95-602, ``Rehabilitation, Comprehensive Services, and 
Developmental Disabilities Amendments of 1978,'' November 6, 1978 (29 
U.S.C. 794) (supp. III 1979); and Department of Justice Regulation, 
``Implementation of Executive Order 12250, Nondiscrimination on the 
Basis of Handicap in Federally Assisted Programs,'' August 11, 1981 (28 
CFR part 41) to prohibit discrimination based on handicap in programs 
and activities receiving Federal financial assistance disbursed by the 
Department of Defense and in programs and activities conducted by the 
Department of Defense.



Sec. 56.2  Applicability and scope.

    (a) This part applies to the Office of the Secretary of Defense, the 
Military Departments, the Organization of the Joint Chiefs of Staff, the 
National Guard Bureau, and the Defense Agencies (hereafter referred to 
as ``DoD Components'') insofar as they:
    (1) Extend Federal financial assistance to programs and activities 
that affect handicapped persons in the United States and that are 
covered by this part (see Sec. 56.7(b)).
    (2) Conduct programs and activities that affect handicapped persons 
in the United States and that are covered by this part (see Sec. 
56.7(c)).
    (b) This part also applies to each recipient of Federal financial 
assistance disbursed by the Department of Defense and to each program 
and activity

[[Page 302]]

that receives or benefits from such assistance, insofar as such 
recipient, program, or activity affects a handicapped person in the 
United States.



Sec. 56.3  Definitions.

    (a) Facility. All or any portion of buildings, structures, 
equipment, roads, walks, parking lots, or other real or personal 
property or any interest in such property.
    (b) Federal financial assistance. Any grant, loan, contract (other 
than a procurement contract or a contract of insurance or guaranty), or 
any other arrangement by which the Federal Government provides or 
otherwise makes available assistance in the form of:
    (1) Funds.
    (2) Services performed by Federal personnel, including technical 
assistance, counseling, training, and provision of statistical or expert 
information.
    (3) Real and personal property or any interest in or use of such 
property, including:
    (i) Transfers or leases of such property for less than fair market 
value or for reduced consideration.
    (ii) Proceeds from a subsequent transfer or lease of such property 
if the Federal share of its fair market value is not returned to the 
Federal government.
    (c) Handicapped person. Any person who has a physical or mental 
impairment that substantially limits one or more major life activities, 
has a record of such an impairment, or is regarded as having such an 
impairment. For purposes of this Directive as it relates to employment 
programs of recipients, such term does not include any individual who is 
an alcoholic or drug abuser and whose current use of alcohol or drugs 
prevents such individual from performing the duties of the job in 
question, or whose employment, by reason of such current alcohol or drug 
abuse, would constitute a direct threat to property or to the safety of 
others. As used in this paragraph:
    (1) Physical or mental impairment. Any physiological disorder or 
condition, cosmetic disfigurement, or anatomical loss affecting one or 
more of the following body systems: Neurological; musculoskeletal and 
special sense organs; respiratory, including speech organs; 
cardiovascular; reproductive; digestive; genito-urinary; hemic and 
lymphatic; skin; and endocrine; or any mental or psychological disorder, 
such as mental retardation, organic brain syndrome, emotional or mental 
illness, and specific learning disabilities. The term includes such 
diseases and conditions as orthopedic, visual, speech, and hearing 
impairments; cerebral palsy, epilepsy, and muscular dystrophy; multiple 
sclerosis; cancer; heart disease; diabetes; drug abuse; and alcoholism.
    (2) Major life activities. Functions such as caring for one's self, 
performing manual tasks, walking, seeing, hearing, speaking, breathing, 
learning, and working.
    (3) Has a record of such an impairment. Has a history of, or has 
been misclassified as having, a mental or physical impairment that 
substantially limits one or more major life activities.
    (4) Is regarded as having an impairment. Has: (i) A physical or 
mental impairment that does not substantially limit major life 
activities but is treated by a recipient or DoD Component as 
constituting such a limitation;
    (ii) A physical or a mental impairment that substantially limits 
major life activities only as a result of the attitudes of others toward 
such impairment; or
    (iii) None of the impairments defined above, but is treated by a 
recipient or DoD Component as having such an impairment.
    (d) Historic properties. Those properties listed or eligible for 
listing in the National Register of Historic Places.
    (e) Include; such as. Not all the possible items are covered, 
whether like or unlike the ones named.
    (f) Qualified handicapped person. A handicapped person who:
    (1) With respect to employment, can perform the essential functions 
of the job in question with reasonable accommodation.
    (2) With respect to services, meets the essential eligibility 
requirements for receiving the services in question.
    (g) Recipient. Any State or political subdivision or instrumentality 
thereof,

[[Page 303]]

any public or private agency, institution, organization, or other 
entity, or any person that receives Federal financial assistance 
directly or through another recipient, including any successor, 
assignee, or transferee of a recipient, but not the ultimate beneficiary 
of the assistance. The term includes persons and entities applying to be 
recipients.
    (h) Substantial impairment. A significant loss of the integrity of 
finished materials, design quality, or special character resulting from 
a permanent alteration.



Sec. 56.4  Policy.

    It is DoD policy that no qualified handicapped person shall be 
subjected to discrimination on the basis of handicap under any program 
or activity that receives or benefits from Federal financial assistance 
disbursed by a DoD Component or under any Federal program or activity 
that is conducted by a DoD Component. Guidelines for determining actions 
that discriminate against handicapped persons are prescribed in Sec. 
56.8.



Sec. 56.5  Responsibilities.

    (a) The Assistant Secretary of Defense (Manpower, Reserve Affairs, 
and Logistics) (ASD(MRA&L)), or designee, shall monitor compliance with 
this part. In discharging this responsibility, the ASD(MRA&L), or 
designee, shall:
    (1) Coordinate efforts of DoD Components to enforce this part.
    (2) Assist in the development of standards and procedures 
promulgated pursuant to Sec. 56.9.
    (3) Perform the responsibilities assigned to the ASD(MRA&L) in Sec. 
56.8, 9, and 10.
    (4) Otherwise assist DoD Components in implementing this part.
    (b) The Heads of DoD Components shall comply with this part. In 
discharging this responsibility, they shall:
    (1) Designate a policy-level official to ensure compliance with this 
part receive and investigate complaints filed under this part and 
otherwise manage DoD Component responsibilities under this part.
    (2) Notify the ASD(MRA&L), or designee, of the name, position, 
location, and telephone number of persons selected by them to be policy-
level officials within 15 calendar days of such a selection.
    (3) Issue guidelines pursuant to Sec. 56.9.
    (4) Cooperate fully with the ASD(MRA&L), or designee, in that 
official's performance of the responsibilities assigned herein, 
including furnishing to the ASD(MRA&L), or designee, in a timely fashion 
any requested reports and information.
    (5) Assign sufficient personnel to implement and to ensure effective 
enforcement of this part.



Sec. 56.6  Information requirements.

    (a) Each DoD Component shall maintain a log of all complaints that 
are filed with it or its recipients under this part. The log shall 
contain the complainant's name (last name, first, and middle initial) 
and address (street address, city, State, and zip code), the recipient's 
name (if this refers to a person, last name, first, and middle initial) 
and address (street address, city, State, and zip code), the nature of 
the complaint, and the current status of the complaint investigation or 
resolution. Each DoD Component shall submit a narrative summary report 
on complaints by memorandum to the ASD(MRA&L), or designee, before July 
15 and January 15 of each year. This reporting requirement has been 
assigned Report Control Symbol DD-M(SA)1596.
    (b) Each DoD Component shall submit a narrative report by memorandum 
to the ASD(MRA&L), or designee, whenever, pursuant to enclosure 4 of 
this directive, the DoD Component notifies an applicant or recipient 
that noncompliance with this part is indicated. The report shall include 
the recipient's name (if this refers to a person, last name, first, and 
middle initial) and address (street address, city, State, and zip code), 
the date (YYMMDD) and nature of the finding, and the name of the 
applicable federally assisted program or activity. This reporting 
requirement has been assigned Report Control Symbol DD-M(AR)1597.
    (c) The recordkeeping requirements contained in Sec. 56.9(c)(2), 
have been approved by the Office of Management and Budget (OMB) under 44 
U.S.C.

[[Page 304]]

chapter 35 and have been assigned OMB No. 0704-0102.



Sec. 56.7  Programs and activities subject to this part.

    (a) This part applies to all DoD Components and recipients of 
Federal financial assistance disbursed by a DoD Component insofar as the 
programs and activities of the DoD Components and recipients affect 
handicapped persons in the United States. Existing programs and 
activities that are assisted or conducted by a DoD Component and that 
are subject to this part but do not appear in paragraph (b) or (c) of 
this section, are covered even though not listed. DoD Components must 
report new programs and activities that are subject to this part to the 
ASD (MRA&L), or designee, within 15 calendar days of their creation or 
funding.
    (b) Federal financial assistance programs subject to this part 
include: (1) title 32, United States Code, sections 101-716 (1976 and 
supp. III 1979): the Army and Air National Guard.
    (2) Title 40, U.S. Code, sections 483, 484, and 512 (1976); title 
49, U.S. Code, sections 1101 and 1107 (1976); and title 10, U.S. Code, 
sections 2541, 2544, 2571, 2576, 2662, 7308, 7541, 7542, 7545, 7546, and 
7547 (1976 and supp. IV 1980): Various programs involving the loan or 
other disposition of surplus, obsolete, or unclaimed property.
    (3) Title 10 U.S. Code, sections 4307-4311 (1976), and the annual 
Department of Defense Appropriations Act: National Program for the 
Promotion of Rifle Practice.
    (4) Secretary of the Navy Instruction 5720.19E, ``Navy Science 
Cruiser Program,'' February 24, 1977.
    (5) Title 10 U.S. Code, section 9441 (1976 and supp. IV 1980): Civil 
Air Patrol.
    (6) Title 41 U.S. Code, sections 501-509 (supp. III 1979): Federal 
grants and cooperative agreements.
    (7) Title 33 U.S. Code, section 426 (1976 and supp. III 1979): Army 
Corps of Engineers participation in cooperative investigations and 
studies concerning the erosion of shores of coastal and lake waters.
    (8) Title 33 U.S. Code, sections 426e-426h (1976): Army Corps of 
Engineers assistance in the construction of works for the restoration 
and protection of shores.
    (9) Title 16 U.S. Code, section 460d (1976): Construction and 
operation of public park and recreational facilities in water resource 
development projects under the administrative jurisdiction of the 
Department of the Army.
    (10) Title 33 U.S. Code, section 701c-3 (1976): Payment to States of 
lease receipts from lands acquired by the United States for flood 
control, navigation, and allied purposes.
    (11) Title 33 U.S. Code, sections 558c and 702d-1 (1976); title 10, 
U.S. Code, sections 2668 and 2669 (1976); title 43, U.S. Code, section 
961 (1976); and title 40, U.S. Code, section 319 (1976): Grants of 
easements without consideration, or at a nominal or reduced 
consideration, on land under the control of the Department of the Army 
at water resource development projects.
    (12) Title 33 U.S. Code, sections 540 and 577 (1976): Army Corps of 
Engineers assistance in the construction of small boat harbor projects.
    (13) Title 33 U.S. Code, section 701s (1976): Emergency bank 
protection works constructed by the Army Corps of Engineers for 
protection of highways, bridge approaches, and public works.
    (14) Title 33 U.S. Code, section 633 (1976): Army Corps of Engineers 
contracts for the protection, alteration, reconstruction, relocation, or 
replacement of structures and facilities.
    (15) Title 50 U.S. Code, section 453 (1976): Defense Logistics 
Agency loans of industrial equipment to educational institutions (Tools 
for Schools).
    (16) Title 33 U.S. Code, section 610 (1976): Provision of 
specialized services or technical information by the Army Corps of 
Engineers to State and local governments for the control of aquatic 
plant growths in rivers, harbors, and allied waters.
    (17) Title 42 U.S. Code, section 1962d-16 (1976): Provision of 
specialized services by the Army Corps of Engineers to any State for the 
preparation of comprehensive plans for drainage basins located within 
the boundaries of said State.
    (18) Title 33 U.S. Code, section 603a (1976): Provision of 
specialized services

[[Page 305]]

by the Army Corps of Engineers to improve channels for navigation.
    (19) Title 33 U.S. Code, section 701g (1976): Provision of 
specialized services by the Army Corps of Engineers to reduce flood 
damage.
    (20) Title 24 U.S. Code, sections 44c and 47 (1976): United States 
Soldiers' and Airmen's Home.
    (21) Title 10 U.S. Code, chapter 55, as implemented by DoD 6010.8-R, 
``Civilian Health and Medical Program of the Uniformed Services 
(CHAMPUS),'' January 10, 1977.
    (c) All programs and activities conducted by the Department of 
Defense that affect handicapped persons in the United States are subject 
to this part. They include:
    (1) Promulgation of rules and regulations for public comment in a 
manner that grants handicapped persons a reasonable opportunity for such 
comment (such as by making cassette recordings of proposed rules).
    (2) Public meetings, conferences, or seminars sponsored or conducted 
by a DoD Component but held in nongovernmental buildings.
    (3) Public meetings, conferences, or seminars sponsored or conducted 
by a DoD Component or by a non-DoD organization but held in a DoD 
building.
    (4) Open houses, memorial services, tours, or other ceremonies held 
on or in DoD property.
    (5) Military museums.
    (6) Historic vessels.
    (7) Historic buildings and properties maintained by a DoD Component 
and properties designated as historic under a statute of the appropriate 
State or local governmental body.
    (8) Schools operated by the Department of Defense within the United 
States pursuant to section 6 of Public Law 81-874, title 20, U.S. Code, 
section 241 (1976).



Sec. 56.8  Guidelines for determining discriminatory practices.

    (a) General prohibitions against discrimination. (1) No qualified 
handicapped person shall, on the basis of handicap, be excluded from 
participation in, be denied the benefit of, or otherwise be subjected to 
discrimination under any program or activity that is conducted by the 
Department of Defense or that receives or benefits from Federal 
financial assistance disbursed by the Department of Defense.
    (2) A recipient or DoD Component may not, directly or through 
contractual, licensing, or other arrangements, on the basis of handicap:
    (i) Provide different or separate aid, benefits, or services to 
handicapped persons than is provided to others unless such action is 
necessary to provide qualified handicapped persons with aid, benefits, 
or services that are equal to those provided to others;
    (ii) Deny a qualified handicapped person the opportunity to 
participate in or benefit from the aid, benefit, or service;
    (iii) Afford a qualified handicapped person an opportunity to 
participate in or benefit from the aid, benefit, or service that is not 
equal to that afforded others;
    (iv) Provide a qualified handicapped person with an aid, benefit, or 
service that is not as effective as that afforded to others; or
    (v) Otherwise limit a qualified handicapped person in the enjoyment 
of any right, privilege, advantage, or opportunity granted to others 
receiving the aid, benefit, or service.
    (3) A recipient or DoD Component may not deny a qualified 
handicapped person the opportunity to participate in programs or 
activities that are not separate or different from regular programs or 
activities, even if such separate or different programs and activities 
are permissible under paragraph (a)(2)(i) of this section.
    (4) A recipient or DoD Component may not provide assistance to an 
agency, organization, or person that discriminates on the basis of 
handicap in providing any aid, benefit, or service to beneficiaries of 
the recipient's program or activity.
    (5) A recipient of DoD Component may not deny, on the basis of 
handicap, a qualified handicapped person the opportunity to participate 
as a member of planning or advisory boards.
    (6) A recipient or DoD Component may not use, directly or through 
contractual or other arrangements, criteria or methods of administration 
that:

[[Page 306]]

    (i) Subject qualified handicapped persons to discrimination on the 
basis of handicap;
    (ii) Defeat or substantially impair accomplishment of the objectives 
of the recipient's or DoD Component's program or activity with respect 
to handicapped persons; or
    (iii) Perpetuate discrimination by another recipient if both 
recipients are subject to common administrative control or are agencies 
of the same State.
    (7) In determining the site or location of a facility, a recipient 
or DoD Component may not make selections that:
    (i) Exclude handicapped persons from, deny them the benefits of, or 
otherwise subject them to discrimination under any program or activity 
that receives or benefits from Federal financial assistance; or
    (ii) Defeat or substantially impair, with respect to handicapped 
persons, the accomplishment of the objectives of the program or 
activity.
    (8) Recipients and DoD Components shall administer programs and 
activities in the most integrated setting appropriate to the needs of 
qualified handicapped persons.
    (9) Recipients and DoD Components shall take appropriate steps to 
make communications with their applicants, employees, and beneficiaries 
available to persons with impaired vision and hearing.
    (10) This section may not be interpreted to prohibit the exclusion 
of:
    (i) Persons who are not handicapped from benefits, programs, and 
activities limited by Federal statute or Executive order to handicapped 
persons; or
    (ii) One class of handicapped persons from a program or activity 
limited by Federal statute or Executive order to a different class of 
handicapped persons.
    (11) Recipients and DoD Components shall take appropriate steps to 
ensure that no handicapped individual is denied the benefits of, 
excluded from participation in, or otherwise subjected to discrimination 
under any program or activity receiving or benefiting from Federal 
financial assistance disbursed by the Department of Defense or under any 
program or activity conducted by the Department of Defense because of 
the absence of auxiliary aids, such as certified sign-language 
interpreters, telecommunication devises (TDDs), or other telephonic 
devices for individuals with impaired sensory, manual, or speaking 
skills.
    (b) Prohibitions against employment discrimination by recipients. 
(1) No qualified handicapped person shall, on the basis of handicap, be 
subjected to discrimination in employment under any program or activity 
that receives or benefits from Federal financial assistance disbursed by 
the Department of Defense.
    (2) The prohibition against discrimination in employment applies to 
the following:
    (i) Recruitment, advertising, and processing of applications for 
employment.
    (ii) Hiring, upgrading, promotion, award of tenure, demotion, 
transfer, layoff, termination, right of return from layoff, and 
rehiring.
    (iii) Rates of pay or any other form of compensation and changes in 
compensation.
    (iv) Job assignments, job classifications, organizational 
structures, position descriptions, lines of progression, and seniority 
lists.
    (v) Leaves of absence, sick leave, or any other leave.
    (vi) Fringe benefits available by virtue of employment, whether or 
not administered by the recipient.
    (vii) Selection and financial support for training, including 
apprenticeship, professional meetings, conferences and other related 
activities, and selection for leaves of absence for training.
    (viii) Programs and activities sponsored by the employer, including 
social and recreational programs.
    (ix) Any other term, condition, or privilege of employment.
    (3) A recipient may not participate in a contractual or other 
relationship that subjects qualified handicapped applicants or employees 
to discrimination prohibited by this section, including relationships 
with employment and referral agencies, labor unions, organizations 
providing or administering fringe benefits to employees of the 
recipient, and organizations providing training and apprenticeship 
programs.
    (4) A recipient shall make reasonable accommodation to the known 
physical

[[Page 307]]

or mental limitations of an otherwise qualified handicapped applicant or 
employee unless the recipient can demonstrate that the accommodation 
would impose an undue hardship on the operation of its program. 
Reasonable accommodation includes providing ramps, accessible restrooms, 
drinking fountains, interpreters for deaf employees, readers for blind 
employees, amplified telephones, TDDs such as Teletypewriters or 
Telephone Writers (TTYs), and tactile signs on elevators.
    (5) A recipient may not use employment tests or criteria that 
discriminate against handicapped persons, and shall ensure that 
employment tests are adapted for use by persons who have handicaps that 
impair sensory, manual, or speaking skills.
    (6) A recipient may not conduct a preemployment medical examination 
or make a preemployment inquiry about whether an applicant is a 
handicapped person or about the nature or severity of a handicap. A 
recipient may make, however, a preemployment inquiry into an applicant's 
ability to perform job-related functions.
    (7) When a recipient is taking remedial action to correct the 
effects of past discrimination or is taking voluntary action to overcome 
the effects of conditions that have resulted in limited participation by 
handicapped persons in its federally assisted program or activity, the 
recipient may invite applicants for employment to indicate whether and 
to what extent they are handicapped if:
    (i) The recipient makes clear to the applicants that the information 
is intended for use solely in connection with its remedial action 
obligations or its voluntary affirmative action efforts.
    (ii) The recipient makes clear to the applicants that the 
information is being requested on a voluntary basis, that it will be 
kept confidential as provided in paragraph (b)(9) in this section, that 
refusal to provide it will not subject the applicants to any adverse 
treatment, and that it will be used only in accordance with this part.
    (8) Nothing in this section shall prohibit a recipient from 
conditioning an offer of employment on the results of a medical 
examination conducted prior to the employee's entrance on duty if:
    (i) All entering employees are subjected to such an examination, 
regardless of handicap.
    (ii) The results of such an examination are used only in accordance 
with this part which prohibits discrimination against a qualified 
handicapped person on the basis of handicap.
    (9) Information obtained under this section concerning the medical 
condition or history of applicants shall be collected and maintained on 
separate forms that shall be accorded confidentiality as medical 
records, except that:
    (i) Supervisors and managers may be informed about restrictions on 
the work or duties of handicapped persons and about necessary 
accommodations.
    (ii) First aid and safety personnel may be informed, when 
appropriate, if a handicapping condition might require emergency 
treatment.
    (iii) Government officials investigating compliance with section 
504, Pub. L. 93-112, and this part shall be provided relevant 
information upon request.
    (c) Program accessibility--(1) General requirements. No qualified 
handicapped person shall, because a recipient's or DoD Component's 
facilities are inaccessible to or not usable by handicapped persons, be 
denied the benefits of, be excluded from participation in, or otherwise 
be subjected to discrimination under any program or activity that 
receives or benefits from Federal financial assistance disbursed by the 
Department of Defense or under any program or activity conducted by the 
Department of Defense.
    (2) Existing facilities. (i) A recipient or DoD Component shall 
operate each program or activity so that the program or activity, when 
viewed in its entirety, is readily accessible to and usable by 
handicapped persons. This does not necessarily require a recipient or 
DoD Component to make each of its existing facilities or every part of 
an existing facility accessible to and usable by handicapped persons. 
For guidance in determining the accessibility of facilities, see chapter 
18 of DoD 4270.1-M, ``Department of Defense Construction Criteria 
Manual,'' June 1, 1978, and Department of the Army, Office of the

[[Page 308]]

Chief of Engineers, Manual EM 1110-1-103, ``Design for the Physically 
Handicapped,'' October 15, 1976. Inquiries on specific accessibility 
design problems may be addressed to the ASD (MRA&L), or designee.
    (ii) When structural changes are necessary to make programs or 
activities in existing facilities accessible to the exent required by 
paragraph (c)(1) of this section.
    (A) Such changes shall be made as soon as practicable, but not later 
than 3 years after the effective date of this part however, if the 
program or activity is a particular mode of transportation (such as a 
subway station) that can be made accessible only through extraordinarily 
expensive structural changes to, or replacement of, existing facilities 
and if other accessible modes of transportation are available, the DoD 
Component concerned may extend this period of time. This extension shall 
be for a reasonable and definite period, which shall be determined after 
consultation with the ASD(MRA&L), or designee.
    (B) The recipient or DoD Component shall develop, with the 
assistance of interested persons or organizations and within a period to 
be established in each DoD Component's guidelines, a transition plan 
setting forth the steps necessary to complete such changes.
    (C) The recipient or DoD Component shall make a copy of the 
transition plan available for public inspection. At a minimum, the plan 
shall:
    (1) Identify physical obstacles in the recipient's or DoD 
Component's facilities that limit the accessibility of its program or 
activity to handicapped persons.
    (2) Describe in detail the methods that will be used to make the 
facilities accessible.
    (3) Specify the schedule for taking the steps necessary to achieve 
full program accessibility and, if the time period of the transition 
plan is longer than 1 year, identify steps that will be taken during 
each year of the transition period.
    (4) Indicate the person (last name, first, and middle initial) 
responsible for implementation of the transition plan.
    (iii) A recipient or DoD Component may comply with paragraphs 
(c)(2)(i) and (c)(2)(ii) of this section, through such means as the 
acquisition or redesign of equipment, such as telecommunication or other 
telephonic devices; relocation of classes or other services to 
accessible buildings; assignment of aides to beneficiaries, such as 
readers or certified sign-language interpreters; home visits; delivery 
of health, welfare, or other services at accessible alternate sites; 
alteration of existing facilities and construction of new facilities in 
conformance with paragraph (c)(3) in this section; or any other method 
that results in making the program or activity of the recipient or DoD 
Component accessible to handicapped persons.
    (iv) A recipient or DoD Component is not required to make structural 
changes in existing facilities when other methods are effective in 
achieving compliance with this section.
    (v) In choosing among available methods for meeting the requirements 
of this section, a recipient or DoD Component shall give priority to 
those methods that offer programs and activities to handicapped persons 
in the most integrated setting appropriate with nonhandicapped persons.
    (3) New Construction. New facilities shall be designed and 
constructed to be readily accessible to and usable by handicapped 
persons. Alterations to existing facilities shall be designed and 
constructed, to the maximum extent feasible, to be readily accessible to 
and usable by handicapped persons. For guidance in determining the 
accessibility of facilities, see chapter 18 of DoD 4270.1-M and 
Department of the Army, Office of the Chief of Engineers, Manual EM 
1110-1-103. Inquiries about specific accessibility design problems may 
be addressed to the ASD(MRA&L), or designee.
    (4) Historic properties. (i) In the case of historic properties, 
program accessibility shall mean that, when viewed in their entirety, 
programs are readily accessible to and usable by handicapped persons. 
Because the primary benefit of historic properties is the experience of 
the property itself, DoD Components and recipients shall give priority 
to those methods of achieving program accessibility that make the 
historic

[[Page 309]]

property, or portions thereof, physically accessible to handicapped 
persons.
    (ii) Methods of achieving program accessibility include:
    (A) Making physical alterations that give handicapped persons access 
to otherwise inaccessible areas or features of historic properties.
    (B) Using audiovisual materials and devices to depict otherwise 
inaccessible areas or features of historic properties.
    (C) Assigning individuals to guide handicapped persons into or 
through otherwise inaccessible portions of historic properties.
    (D) Adopting other innovative methods.
    (iii) When program accessibility cannot be achieved without causing 
a substantial impairment of significant historic features, the DoD 
Component or recipient may seek a modification or waiver of access 
standards from the ASD (MRA&L), or designee.
    (A) A decision to grant a modification or waiver shall be based on 
consideration of the following:
    (1) Scale of the property, reflecting its ability to absorb 
alterations.
    (2) Use of the property, whether primarily for public or private 
purposes.
    (3) Importance of the historic features of the property to the 
conduct of the program.
    (4) Costs of alterations in comparison to the increase in 
accessibility.
    (B) The ASD(MRA&L), or designee, shall review periodically any 
waiver granted under this paragraph and may withdraw it if technological 
advances or other changes warrant.
    (iv) The decision by the ASD(MRA&L), or designee, to grant a 
modification or waiver of access standards is subject to section 106 of 
the National Historic Preservation Act, as amended, and shall be made in 
accordance with the Advisory Council on Historic Preservation regulation 
on ``Protection of Historic and Cultural Properties'' (36 CFR part 800). 
When the property is federally owned or when Federal funds may be used 
for alterations, the ASD(MRA&L), or designee, shall obtain the comments 
of the Advisory Council on Historic Preservation when required by 
section 106 of the National Historic Preservation Act and the Advisory 
Council on Historic Preservation regulation on ``Protection of Historic 
and Cultural Properties'' (36 CFR part 800) prior to effectuation of 
structural alterations.
    (v) DoD Component guidelines prepared in accordance with Sec. 56.10 
shall include a listing of all historic properties, including historic 
ships, subject to this part and a plan for compliance with paragraph 
(c)(4) of this section.
    (5) Military museums. (i) In the case of military museums, program 
accessibility shall mean that exhibits, displays, tours, lectures, 
circulating or traveling exhibits, and other programs of military 
museums are accessible to and usable by handicapped persons. Methods of 
meeting this requirement include the following:
    (A) Museum programs may be made accessible to deaf and hearing-
impaired persons by means such as training museum staff, such as 
docents, in sign language; providing qualified sign-language 
interpreters to accompany deaf or hearing-impaired visitors; ensuring 
that clear, concise language is used on all museum signs and display 
labels; providing amplification devices; or providing printed scripts 
for films, videotapes, lectures, or tours. DoD Components are encouraged 
to use ``Museums and Handicapped Students: Guidelines for Educators,'' 
published by the National Air and Space Museum, Smithsonian Institution, 
Washington, DC 20560.
    (B) Museum programs may be made accessible to blind and visually-
impaired persons by means such as providing museum catalogues in a 
large-print edition printed over braille; providing cassette tapes, 
records, or discs for museum tours or exhibits; providing readers to 
accompany blind or visually impaired visitors; using large-print and 
braille display cards at exhibits; providing raised-line maps of the 
museum building; using raised-line drawings, reproductions, or models of 
large exhibits to facilitate tactile experiences when touching exhibits 
is prohibited; placing large-print and braille signs to identify 
galleries, elevators, restrooms, and other service areas; and permitting 
guide dogs in all museum facilities.

[[Page 310]]

    (C) Museum programs may be made accessible to other physically 
impaired persons by means such as lowering display cases; spacing 
exhibits to facilitate movement; using ramps in galleries; increasing 
lighting in exhibit areas to facilitate viewing from a distance; 
providing places to sit in exhibit areas; making restrooms accessible; 
using large-print exhibit display cards to facilitate reading from a 
distance; and sensitizing museum staff to consider the needs of 
handicapped visitors when organizing exhibits.
    (ii) DoD Component guidelines developed in accordance with paragraph 
(c)(5) of this section shall identify military museums subject to 
paragraph (c) of this section and shall contain a plan for making museum 
programs accessible to handicapped persons. Technical assistance in the 
preparation and content of these plans may be obtained from the National 
Access Center, 1419 27th Street, NW., Washington, DC 20007 ((202) 333-
1712 or TTY (202) 333-1339). In addition, community organizations that 
serve handicapped persons and handicapped persons themselves shall be 
consulted in the preparation of these plans.
    (d) Reasonable accommodation. (1) A recipient or DoD Component shall 
make reasonable accommodation to the known physical or mental 
limitations of an otherwise qualified handicapped applicant or employee 
unless the recipient or DoD Component demonstrates to the ASD(MRA&L), or 
designee, that the accommodation would impose an undue hardship on the 
operation of its program.
    (2) Reasonable accommodation includes the following:
    (i) Making facilities used by employees readily accessible to and 
usable by handicapped persons.
    (ii) Job restructuring; part-time or modified work schedules; 
acquisition or modification of equipment or devices, such as 
telecommunication or other telephonic instruments; the provision of 
readers or certified sign-language interpreters; and similar actions.
    (3) In determining whether an accommodation would impose an undue 
hardship on the operation of a recipient's or DoD Component's program, 
the ASD(MRA&L), or designee, shall consider the following factors, at a 
minimum:
    (i) The overall size of the recipient's or DoD Component's program 
or activity, such as the number of employees, number and type of 
facilities, and size of budget.
    (ii) The size of the recipient's or DoD Component's operations, 
including the composition and structure of the recipient's or DoD 
Component's workforce.
    (iii) The nature and cost of the accommodation needed.
    (4) A recipient or DoD Component may not deny any employment 
opportunity to a qualified handicapped employee or applicant for 
employment if the basis for the denial is the need to make reasonable 
accommodation to the physical or mental limitations of the employee or 
applicant.



Sec. 56.9  Ensuring compliance with this part in Federal financial
assistance programs and activities.

    (a) Supplementary guidelines issued by DoD Components. (1) Whenever 
necessary, DoD Components shall publish supplementary guidelines for 
each type of program or activity to which they disburse Federal 
financial assistance within 120 days of the effective date of this part 
or of the effective date of any subsequent statute authorizing Federal 
financial assistance to a new type of program or activity. DoD 
Components shall obtain approval of these supplementary guidelines from 
the ASD(MRA&L), or designee, before issuing them. Prior to their 
issuance, the ASD(MRA&L), or designee, shall submit supplementary 
guidelines prepared pursuant to paragraph (a)(1) of this section to the 
Coordination and Review Section, Civil Rights Division, Department of 
Justice, for review and approval. To the extent that supplementary 
guidelines issued by DoD Components deal with the employment of 
civilians in programs and activities subject to this part the 
ASD(MRA&L), or designee, shall also obtain the approval of the Equal 
Employment Opportunity Commission (EEOC) in accordance with Executive 
Order 12067.
    (2) The ASD(MRA&L), or designee, and DoD Components shall ensure 
that

[[Page 311]]

their supplementary guidelines conform to the requirements of this part 
and that they provide:
    (i) A description of the types of programs and activities covered.
    (ii) Examples of prohibited practices likely to arise with respect 
to those types of programs and activities.
    (iii) A list of the data collection and reporting requirements of 
the recipients.
    (iv) Procedures for processing and investigating complaints.
    (v) Procedures for hearings to determine compliance by recipients 
with this part.
    (vi) Requirements or suggestions for affirmative action on behalf of 
qualified handicapped persons.
    (vii) Requirements for the dissemination of program and complaint 
information to the public.
    (viii) A description of the form of the assurances that must be 
executed pursuant to paragraph (b) of this section, and sample 
assurances.
    (ix) Requirements concerning the frequency and nature of 
postapproval reviews conducted pursuant to paragraph (h) of this 
section.
    (x) A period of time, provided for by Sec. 56.8(c)(2)(ii)(B), for 
the development of a transition plan that sets out the steps necessary 
to complete structural changes that might be required by Sec. 56.8(c).
    (xi) The maximum period of time that may be allowed for extensions 
that might be granted pursuant to Sec. 56.8(c)(2)(ii).
    (xii) An appendix that contains a list of identified programs and 
activities of the type covered by the supplementary guidelines, 
including the names of the programs and activities and the authorizing 
statute, regulation, or directive for each program and activity.
    (xiii) Requirements for the recipient to designate a responsible 
official to coordinate the implementation of supplementary guidelines.
    (xiv) Requirements for any other actions or procedures necessary to 
implement this part.
    (3) When the head of a DoD Component determines that it would not be 
appropriate to include on or more of the provisions described in 
paragraph (a)(2) of this section, in the supplementary guidelines of 
that DoD Component or that it is not necessary to issue such guidelines 
at all, the reasons for such determination shall be stated in writing 
and submitted to the ASD(MRA&L), or designee, for review and approval. 
Once that determination is approved, the DoD Component shall make it 
available to the public upon request.
    (4) The heads of DoD Components, or designees, shall be responsible 
for keeping the supplementary guidelines current and accurate. When a 
DoD Component determines that a program or activity should be added to 
or deleted from the guidelines, the DoD Component shall notify the 
ASD(MRA&L), or designee, in writing.
    (b) Required assurances. (1) DoD Components shall require all 
recipients to file written assurances that their programs or activities 
will be conducted in accordance with this part and supplementary 
guidelines promulgated by DoD Components. If a recipient fails to 
provide an assurance that conforms to the requirements of this section, 
the DoD Component shall attempt to effect compliance pursuant to 
paragraphs (f) through (h) of this section, provided that if assistance 
is due and payable to the recipient based on an application approved 
prior to the effective date of this part the DoD Component shall 
continue the assistance while any proceedings required by paragraphs (n) 
through (v) of this section, are pending.
    (2) DoD Components shall advise each recipient of the required 
elements of the assurance and, with respect to each program or activity, 
of the extent to which those receiving assistance from recipients shall 
be required to execute similar assurances.
    (3) DoD Component shall ensure that each assurance:
    (i) Obligates the recipient to advise the DoD Component of any 
complaints received that allege discrimination against handicapped 
persons.
    (ii) Obligates the recipient to collect and provide the items of 
information that the DoD Component lists in its supplementary guidelines 
pursuant to paragraph (a)(2)(iii) of this section.
    (iii) Is made applicable to any Federal financial assistance that 
might be

[[Page 312]]

disbursed by a DoD Component without the submission of a new 
application.
    (iv) Obligates the recipient, when the financial assistance is in 
the form of proprerty, for the period during which the property is used 
under a financial assistance agreement or is possessed by the recipient.
    (v) Includes a provision recognizing that the U.S. Government has 
the right to seek judicial enforcement of section 504 and this part.
    (c) Self-evaluation and consultation with interested persons and 
organizations. (1) DoD Components shall require recipients to conduct, 
within 6 months of the effective date of this part or of first receiving 
Federal financial assistance disbursed by the Department of Defense, a 
self-evaluation with the assistance of interested persons, including 
handicapped persons or organizations that represent them. When 
appropriate, DoD Components also shall require recipients to consult at 
least annually with such persons. The ``Department of Health, Education, 
and Welfare Section 504 Technical Assistance Reserve Directory,'' April 
1980, shall be consulted to identify likely sources for consultation. In 
conducting its self-evaluation, each recipient shall:
    (i) Evaluate the effects of its policies and practices with respect 
to its compliance with this part and the applicable DoD Component's 
supplementary guidelines.
    (ii) Modify any policies that do not meet such requirements.
    (iii) Take appropriate remedial steps to eliminate the 
discriminatory effects of any such policies or practices.
    (2) For at least 3 years following the completion of a self-
evaluation required under paragraph (c)(1) of this section, a recipient 
shall maintain on file, make available for public inspection, and 
provide to the ASD(MRA&L), or designee, upon request:
    (i) A list of the interested persons (last names, first names, and 
middle initials) consulted.
    (ii) A description of areas examined and problems identified, if 
any, with respect to those areas.
    (iii) A description of any modification made and remedial steps 
taken.
    (d) Dissemination of information. (1) Within 90 days of the 
effective date of this part or of first receiving assistance from the 
Department of Defense and on a continuing basis thereafter, each 
recipient shall notify beneficiaries and employees of their rights under 
this part and shall take appropriate steps to notify participants, 
beneficiaries, applicants for employment and employees, including those 
with impaired vision or hearing, and unions or professional 
organizations involved in collective bargaining or professional 
agreements with the recipient that the recipient does not discriminate 
on the basis of handicap in violation of this part. The notification 
shall state, when appropriate, that the recipient does not discriminate 
in admitting or providing access to or treating or employing persons in 
its programs and activities. Such notification may be accomplished by 
posting notices, publishing announcements in newspapers and magazines, 
placing notices in its publications, or distributing memoranda or other 
written communications.
    (2) If a recipient publishes or uses and makes available to 
participants, beneficiaries, applicants for employment, or employees 
recruitment materials or publications containing general information 
about the recipient's programs and activities, it shall include in those 
materials or publications a statement of the policy described in 
paragraph (d)(1) of this section. This may be accomplished by including 
appropriate inserts in existing materials and publications or by 
revising and reprinting the materials and publications.
    (3) Understandable materials developed in accordance with this 
section shall be provided to ensure that all beneficiaries and employees 
of the recipient understand the information. In addition, recipients 
shall disseminate appropriate and comprehensive information about formal 
and informal complaint and appeal procedures, including directions on 
how and where to file complaints and to appeal DoD Component decisions.
    (e) Intimidation and interference. Recipients and DoD Components 
shall take reasonable steps to ensure that no person intimidates, 
threatens, coerces, or discriminates against any individual

[[Page 313]]

for the purpose of retaliating against, interfering with, or 
discouraging the filing of a complaint, furnishing of information, or 
assisting or participating in an investigation, compliance review, 
hearing, or other activity related to the administration of this part.
    (f) Staff responsibilities. All DoD Component determinations of 
recipient compliance with this part shall be subject to reviews by the 
ASD(MRA&L), or designee. When responsibility for approving applications 
for Federal financial assistance disbursed by a DoD Component is 
assigned to regional or area offices of the DoD Component, personnel in 
such offices shall be designated to perform the functions described in 
paragraphs (h) and (o) through (w) of this section.
    (g) Access to records and facilities. Each recipient shall permit 
access to its premises by DoD officials during normal business hours 
when such access is necessary for conducting onsite compliance reviews 
or complaint investigations, and shall allow such officials to 
photograph facilities and to inspect and copy any books, records, 
accounts, and other material relevant to determining the recipient's 
compliance with this part. Information so obtained shall be used only in 
connection with the administration of this part. If the recipient does 
not have the information requested, it shall submit to the DoD Component 
a written report that contains a certification that the information is 
not available and describes the good-faith efforts made to obtain the 
information.
    (h) Compliance review. DoD Components shall determine the compliance 
of each recipient with this part as follows: (1) General. Whenever 
possible, DoD Components shall perform compliance reviews in conjunction 
with their review and audit efforts implementing title VI of the Civil 
Rights Act of 1964.
    (2) Desk audit application review. Before approving an application 
for Federal financial assistance, the DoD Component concerned shall make 
a written determination as to whether the recipient is in compliance 
with this part, based on a review of the assurance of compliance 
executed by a recipient pursuant to paragraph (b) of this section, and 
other data submitted by the recipient. When a determination cannot be 
made from the assurance and other data submitted by the recipient, the 
DoD Component concerned shall require the recipient to submit additional 
information and shall take other steps as necessary to determine the 
recipient's compliance with this part. If this additional information 
demonstrates that the recipient is in compliance with this part, the DoD 
Component shall notify the recipient promptly that it is in compliance.
    (3) Preapproval onsite review. (i) When a desk audit application 
review conducted pursuant to paragraph (h)(2) of this section indicates 
that the recipient might not be in compliance with this part, the DoD 
Component concerned may conduct a preapproval onsite review at the 
recipient's facilities before approving the disbursement of Federal 
financial assistance to the recipient. The DoD Component shall conduct 
such a review:
    (A) When appropriate, if a desk audit application review reveals 
that the recipient's compliance posture is questionable because of a 
history of discrimination complaints, current discrimination complaints, 
a noncompliance determination by another government agency or DoD 
Component, or other indications of possible noncompliance; or
    (B) If Federal financial assistance is requested for construction, 
except under extraordinary circumstances, to determine whether the 
location and design of the project would provide service on a 
nondiscriminatory basis, in conformity with Sec. 56.8(c).
    (ii) Preapproval onsite reviews shall be conducted under DoD 
Component supplementary guidelines and in accordance with the provisions 
of paragraph (h)(4) of this section, concerning postapproval reviews.
    (4) Postapproval reviews. DoD Components shall: (i) Establish and 
maintain effective programs of postapproval reviews.
    (ii) Conduct such reviews of each recipient, the frequency and the 
nature of which shall be prescribed in the DoD Component supplemetary 
guidelines implementing this part.
    (iii) Require recipients periodically to submit compliance reports 
to them.

[[Page 314]]

    (iv) Record the results of the reviews, including findings of fact 
and recommendations.
    (5) A DoD Component shall complete a review within 180 calendar days 
of initiating it unless an extension of time is granted by the 
ASD(MRA&L), or designee, for good cause shown, and shall either:
    (i) Find the recipient to be in compliance and notify the recipient 
of that finding; or
    (ii) Notify the recipient and the ASD(MRA&L), or designee, of a 
finding of probable noncompliance, pursuant to paragraph (o) of this 
section.
    (i) Filing of complaints against recipients. (1) DoD Components 
shall establish and publish in their supplementary guidelines procedures 
for the prompt processing and disposition of complaints against 
recipients, consistent with this section.
    (2) A DoD Component shall consider all complaints that: (i) Are 
filed with it within 180 days of the alleged discrimination or within a 
longer period of time if an extension is granted for good cause by the 
DoD Component with the approval of the ASD(MRA&L), or designee.
    (ii) Include the name, address, and telephone number, if any, of the 
complainant; the name and address of the recipient committing the 
alleged discrimination; a description of the acts or omissions 
considered to be discriminatory; and other pertinent information.
    (iii) Are signed by the complainant or the complainant's authorized 
representative (legal counsel or a person with power of attorney granted 
by the complainant).
    (3) DoD Components shall transmit a copy of each complaint filed 
with them to the ASD(MRA&L), or designee, within 10 calendar days after 
its receipt.
    (4) If the information in a complaint is incomplete, the DoD 
Component shall request the complainant to provide the additional 
information required. If the DoD Component does not receive this 
requested information within 30 calendar days of the date of the 
request, the case may be closed and the complainant so notified in 
writing.
    (5) If a complaint concerning a program or activity is filed with a 
DoD Component that does not have jurisdiction over it, the DoD Component 
shall refer the complaint to the ASD(MRA&L), or designee, and advise the 
complainant in writing of such referral. The ASD(MRA&L), or designee, 
then shall refer the complaint to the appropriate DoD Component and so 
notify the complainant in writing.
    (j) Investigation by DoD components. (1) DoD Components shall 
investigate complaints that involve recipients and that meet the 
standards described in paragraph (i) of this section, unless good cause 
for not investigating is stated in a written notification of the 
disposition of the complaint provided to the complainant.
    (2) If an investigation of a complaint is conducted, the DoD 
Component concerned shall maintain a case record that contains:
    (i) The name (last name, first, and middle initial), address (street 
address, city, State, and zip code), and telephone number of each person 
interviewed.
    (ii) Copies, transcripts, or summaries of pertinent documents.
    (iii) A reference to at least one program or activity conducted by 
the recipient and receiving Federal financial assistance disbursed by a 
DoD Component, and a description of the amount and nature of the 
assistance.
    (iv) A narrative report of the results of the investigation that 
contains references to relevant exhibits and other evidence that relates 
to the alleged violations.
    (k) Investigations by recipients. (1) A DoD Component may require or 
permit recipients to investigate complaints alleging violation of this 
part. In such cases, the DoD Component shall:
    (i) Ensure that the recipient investigates the complaints in 
accordance with the standards, procedures, and requirements prescribed 
in paragraph (j) of this section.
    (ii) Require the recipient to submit a written report of each 
complaint and investigation to the DoD Component.
    (iii) Retain a review responsibility over the investigation and 
disposition of each complaint.

[[Page 315]]

    (iv) Ensure that each complaint investigation is completed within 
180 calendar days of the receipt of the complaint by the proper DoD 
Component, unless an extension of time is granted for good cause by the 
ASD(MRA&L), or designee.
    (v) Require the recipient to maintain a log of all complaints filed 
against it, as described in Sec. 56.6(a)(1).
    (2) DoD Components that require or permit complaint investigations 
to be conducted by recipients shall review recipient complaint 
investigations pursuant to paragraphs (k) and (l) of this section.
    (l) Results of investigations. (1) Within 180 days of the receipt of 
a complaint, the DoD Component, recipient, or the ASD(MRA&L), or 
designee, shall give written notification:
    (i) Of the disposition of the complaint to the complainant and, as 
the case may be, to the recipient or DoD Component.
    (ii) To the complainant that within 30 calendar days of receipt of 
the written notification, the complainant may request that the 
ASD(MRA&L), or designee, review the findings in the notification 
pursuant to paragraph (m) of this section.
    (2) If the complaint investigation results in a determination by the 
DoD Component that a recipient is not complying with this part the DoD 
Component shall proceed as prescribed in paragraph (n) through (v) of 
this section. If the DoD Component determines that the recipient is in 
compliance, the DoD Component shall submit the complete case file to the 
ASD(MRA&L), or designee, within 15 calendar days after the notification 
of the disposition of the investigation to the complainant.
    (m) Reviewing completed investigations. (1) The ASD(MRA&L), or 
designee, may review all completed investigations.
    (2) The ASD(MRA&L), or designee, shall review the results of any 
investigation of a complaint if the complainant requests such a review 
pursuant to paragraph (l)(1)(ii) of this section.
    (3) After reviewing the results of an investigation, the ASD(MRA&L), 
or designee, may:
    (i) Find that no further investigation is necessary and approve the 
results of the investigation;
    (ii) Request further investigation by the DoD Component; or
    (iii) Require the DoD Component to take appropriate corrective 
action.
    (n) Effecting compliance. (1) When a compliance review or complaint 
investigation indicates that a recipient has violated this part, the 
applicable DoD Component's supplementary guidelines, or the assurances 
executed pursuant to paragraph (b) of this section, the responsible DoD 
Component or the ASD(MRA&L), or designee, shall attempt to effect 
compliance in accordance with paragraphs (o) and (p) of this section. 
The inability of a DoD Component to comply with any time frame 
prescribed by this part does not relieve a recipient of the 
responsibility for compliance with this part.
    (2) The DoD Component may require, when necessary to overcome the 
effects of discrimination in violation of this part, a recipient to take 
remedial action:
    (i) With respect to handicapped persons who are no longer 
participants in the recipient's program or activity but who were 
participants in the program or activity when such discrimination 
occurred.
    (ii) With respect to handicapped persons who would have been 
participants in the recipient's program or activity had the 
discrimination not occurred.
    (iii) With respect to handicapped persons presently in the 
recipient's program or activity, but not receiving full benefits or 
equal and integrated treatment within the program or activity.
    (o) Written notice.  After evaluating the investigative report, the 
DoD Component shall issue to the recipient and, pursuant to paragraph 
(n)(2) of this section to the ASD(MRA&L), or designee, a written notice 
that:
    (1) Describes the apparent violation and the corrective actions 
necessary to achieve compliance.
    (2) Extends an offer to meet informally with the recipient.
    (3) Informs the recipient that failure to respond to the notice 
within 15 calendar days of its receipt shall result in

[[Page 316]]

the initiation of enforcement procedures described in paragraphs (r) 
through (v), of this section.
    (p) Attempting to achieve voluntary compliance by recipients. (1) If 
a DoD Component issues a notice pursuant to paragraph (o) of this 
section, the DoD Component shall attempt to meet with the recipient and 
shall attempt to persuade it to take the steps necessary to achieve 
compliance with this part.
    (2) If a recipient agrees to take remedial steps to achieve 
compliance, the DoD Component shall require that the agreement be in 
writing and:
    (i) Be signed by the head of the DoD Component concerned, or 
designee, and by the principal official of the recipient.
    (ii) Specify the action necessary to achieve compliance.
    (iii) Be made available to the public upon request.
    (iv) Be subject to the approval of the ASD(MRA&L), or designee.
    (3) If satisfactory adjustment or a written agreement has not been 
achieved within 60 calendar days of the recipient's receipt of the 
notice issued pursuant to paragraph (o) of this section, the DoD 
Component shall notify the ASD(MRA&L), or designee, and state the 
reasons therefor.
    (4) The DoD Component shall initiate the enforcement actions 
prescribed in paragraphs (r) through (v) of this section if:
    (i) The recipient does not respond to a notice pursuant to paragraph 
(o) of this section, within 15 calendar days of its receipt and 
satisfactory adjustments are not made within 45 calendar days of the 
date of the recipient's response; or
    (ii) The DoD Component or the ASD (MRA&L) determines at any time 
within 90 days after the recipient receives a notice pursuant to 
paragraph (o) of this section, that, despite reasonable efforts, it is 
not likely that the recipient will comply promptly and voluntarily.
    (5) If, pursuant to paragraph (p)(4) of this section, the DoD 
Component initiates enforcement action, it also shall continue its 
attempts to persuade the recipient to comply voluntarily.
    (q) Imposing sanctions--(1) Sanctions available. If a DoD Component 
has taken action pursuant to paragraphs (o) and (p) of this section, the 
DoD Component may, by order, subject to paragraph (q)(2) and (q)(3) of 
this section:
    (i) Terminate, suspend, or refuse to grant or continue assistance to 
such recipient.
    (ii) Refer the case to the Department of Justice for the initation 
of enforcement proceedings at a Federal, State, or local level.
    (iii) Pursue any remedies under State or local law.
    (iv) Impose other sanctions upon consultation with the ASD (MRASL), 
or designee.
    (2) Terminating, suspending, or refusing to grant or continue 
assistance. A DoD Component may not terminate or refuse to grant or 
continue Federal financial assistance unless:
    (i) Such action has been approved by the Secretary of Defense.
    (ii) The DoD Component has given the recipient an opportunity for a 
hearing pursuant to the procedures set out in paragraph (r) of this 
section, and a finding of noncompliance has resulted.
    (iii) Thirty calendar days have elapsed since the Secretary of 
Defense has filed a written report describing the violation and action 
to be taken with the committees of the House of Representatives and 
Senate that have jurisdiction over the program or activity in which the 
violation of this part exists.
    (iv) Such action is limited to affect only the particular activity 
or program, or portion thereof, of the recipient where the violation 
exists.
    (3) Other sanctions. A DoD Component may not impose the sanctions 
set out in paragraphs (q)(1) (iii) and (iv) of this section, unless:
    (i) The DoD Component has given the recipient an opportunity for a 
hearing pursuant to paragraph (r) of this section, and a finding of 
noncompliance has resulted.
    (ii) The action has been approved by the Secretary of Defense.
    (iii) Ten calendar days have elapsed since the mailing of a notice 
informing the recipient of its continuing failure to comply with this 
part the action necessary to achieve compliance, and the sanction to be 
imposed.

[[Page 317]]

    (iv) During those 10 calendar days the DoD Component has made 
additional efforts to persuade the recipient to comply.
    (r) Hearings for recipients--(1) General. When, pursuant to 
paragraph (q)(2)(ii) of this section, an opportunity for a hearing is 
given to a recipient, the DoD Component involved shall follow the 
procedures prescribed in paragraphs (r)(2) through (r)(6) of this 
section.
    (2) Notice. The DoD Component concerned shall notify the recipient 
of the opportunity for a hearing by registered or certified mail, return 
receipt requested, when the recipient denies a tentative finding of 
noncompliance with this part.
    (i) The DoD Component shall ensure that the notice:
    (A) Describes the proposed sanctions to be imposed.
    (B) Cites the section of this part under which the proposed action 
is to be taken.
    (C) States the name and office of the DoD Component official who is 
responsible for conducting the hearing (hereafter referred to as the 
``responsible DoD official'').
    (D) Outlines the issues to be decided at the hearing.
    (E) Advises the recipient either of a date, not less than 20 
calendar days after the date that the notice is received, by which the 
recipient may request that the matter be scheduled for a hearing, or of 
a reasonable time and place of a hearing that is subject to change for 
good cause shown.
    (ii) When a time and place for a hearing are set, the DoD Component 
shall give the recipient and the complainant, if any, reasonable notice 
of such time and place.
    (3) Waiver of a hearing. A recipient may waive a hearing and submit 
to the responsible DoD official, in writing, information or arguments on 
or before the date stated pursuant to paragraph (r)(2)(i)(E) of this 
section.
    (i) A recipient waives its right to a hearing if it fails to request 
a hearing on or before a date stated pursuant to paragraph (r)(2)(i)(E) 
of this section, or fails to appear at a hearing that has been scheduled 
pursuant to that paragraph.
    (ii) If a recipient waives its right to a hearing under this 
section, the responsible DoD official shall decide the issues and render 
a final decision that is based on the information available and that 
conforms to the requirements of paragraph (s)(4) of this section.
    (4) Hearing examiner. Hearings shall be conducted by the responsible 
DoD official or by a hearing examiner designated by the official, 
provided that the hearing examiner shall be a field grade officer or 
civilian employee above the grade of GS-12 (or the equivalent) who is 
admitted to practice law before a Federal court or the highest court of 
a State, territory, commonwealth, or the District of Columbia.
    (5) Right to counsel. In all proceedings under this section, the 
recipient and the DoD Component may be represented by counsel. The 
representation of the recipient will not be at U.S. Government expense.
    (6) Procedures. Hearings authorized under this section shall be 
subject to the following: (i) Hearings shall be open to the public.
    (ii) Formal rules of evidence will not apply. The DoD Component 
concerned and the recipient shall be entitled to introduce all relevant 
evidence on the issues stated in the notice of hearing issued pursuant 
to paragraph (r)(2) of this section, and those designated by the 
responsible DoD official or the hearing examiner at the outset of or 
during the hearing. The responsible DoD official or hearing examiner, 
however, may exclude irrelevant, immaterial, or repetitious evidence.
    (iii) All witnesses may be examined or cross-examined, as the case 
may be, by each party.
    (iv) All parties shall have the opportunity to examine all evidence 
offered or admitted for the record.
    (v) A transcript of the proceedings shall be maintained in either 
electronic or typewritten form and made available to all parties.
    (s) Decisions--(1) Initial or proposed decisions by a hearing 
examiner. If a hearing is conducted by a hearing examiner who is 
designated by the responsible DoD official pursuant to paragraph (r)(4) 
of this section, the hearing examiner shall either:

[[Page 318]]

    (i) Make an initial decision, if so authorized, that conforms to the 
requirements of paragraph (s)(4) of this section; or
    (ii) Certify the entire record and submit to the responsible DoD 
official recommended findings and a proposed decision.
    (2) Review of initial decisions. Initial decisions made by a hearing 
examiner pursuant to paragraph (s)(1)(i) of this section, shall be 
reviewed as follows:
    (i) A recipient may file exceptions to an initial decision within 30 
calendar days of receiving notice of such initial decision. Reasons 
shall be stated for each exception.
    (ii) If the recipient does not file exceptions pursuant to paragraph 
(s)(2)(i) of this section, the responsible DoD official may notify the 
recipient within 45 calendar days of the initial decision that the 
responsible DoD official will review the decisions.
    (iii) If exceptions are filed pursuant to paragraph (s)(2)(i) of 
this section, or a notice of review is issued pursuant to paragraph 
(s)(2)(ii) of this section, the responsible DoD official shall review 
the initial decision and, after giving the recipient reasonable 
opportunity to file a brief or other written statement of its 
contentions, issue a final decision that addresses each finding and 
conclusion in the initial decision and each exception, if any.
    (iv) If the exceptions described in paragraph (s)(2)(i) of this 
section are not filed and the responsible DoD official does not issue 
the notice of review described in paragraph (s)(2)(ii) of this section, 
the initial decision of the hearing examiner shall constitute the final 
decision of the responsible DoD official.
    (3) Decisions by the responsible DoD official who conducts a hearing 
or receives a certified record. If a hearing examiner who is designated 
by the responsible DoD official certifies the entire record and submits 
recommended findings and a proposed decision to the responsible DoD 
official pursuant to paragraph (s)(1)(ii) of this section, or if the 
responsible DoD official conducts the hearing, after giving the 
recipient a reasonable opportunity to file a brief or other written 
statement of its contentions, the responsible DoD official shall render 
a final decision that conforms to paragraph (s)(4) of this section.
    (4) Contents of decisions. Each decision of a hearing examiner or 
responsible DoD official shall state all findings and conclusions and 
identify each violation of this part. The final decision may contain an 
order pursuant to paragraph (q) of this section, providing for the 
suspension or termination of or refusal to grant or continue all or some 
of the Federal financial assistance under the program or activity 
involved and contain terms, conditions, and other provisions that are 
consistent with and intended to achieve compliance with this Directive.
    (5) Notice of decisions and certifications. The responsible DoD 
official shall provide a copy of any certified record of a hearing and 
any initial or final decision to the recipient and the complainant, if 
any.
    (6) Review by the Secretary of Defense. The responsible DoD official 
shall transmit promptly any final decision that orders a suspension, 
termination, or denial of Federal financial assistance through the 
ASD(MRA&L) to the Secretary of Defense. The Secretary may;
    (i) Approve the decision;
    (ii) Vacate the decision; or
    (iii) Remit or mitigate any sanction imposed.
    (t) Restoring eligibility for financial assistance. (1) A recipient 
that is affected adversely by a final decision issued under paragraph 
(s) of this section, may at any time request the responsible DoD 
official to restore fully its eligibility to receive Federal financial 
assistance.
    (2) If the responsible DoD official determines that the information 
supplied by the recipient demonstrates that it has satisfied the terms 
and conditions of the order entered pursuant to paragraph (s) of this 
section, and that is complying with and has provided reasonable 
assurance that it will continue to comply with this part the responsible 
DoD official shall restore such eligibility immediately.
    (3) If the responsible DoD official denies a request for restoration 
of eligibility, the recipient may submit a written request for a hearing 
that states

[[Page 319]]

why it believes the responsible DoD official erred in denying the 
request. Following such a written request, the recipient shall be given 
an expeditious hearing under rules of procedure issued by the 
responsible DoD official to determine whether the requirements described 
in paragraph (t)(2) of this section, have been met. While any such 
proceedings are pending, the sanctions imposed by the order issued under 
paragraph (s) of this section, shall remain in effect.
    (u) Interagency cooperation and delegation. (1) When several 
recipients are receiving assistance for the same or similar purposes 
from a DoD Component and another Federal agency, the DoD Component shall 
notify the ASD (MRA&L), or designee. Such notification shall be in 
writing and shall contain:
    (i) A description of the programs and activities involved.
    (ii) A statement of the amount of money expended on the programs and 
activities in the previous and current fiscal year by the DoD Component 
and the agency.
    (iii) A list of the known primary recipients.
    (2) The ASD(MRA&L), or designee, shall attempt to negotiate with the 
Federal agency a written delegation agreement that designates the agency 
or the DoD Component as the primary agency for purposes of ensuring 
compliance with section 504 of Public Law 93-112, as amended, and this 
part depending upon which of them administers a larger financial 
assistance program with the common recipients and other relevant 
factors. If necessary, the agreement shall establish procedures to 
ensure the enforcement of section 504 of Public Law 93-112, as amended, 
and this part. The ASD(MRA&L), or designee, shall provide written 
notification to recipients of an agreement reached under this 
subsection.
    (3) When several recipients are receiving assistance for the same or 
similar purposes from two or more DoD Components, the DoD Components may 
negotiate a proposed written delegation agreement that:
    (i) Assigns responsibility for ensuring that the recipient complies 
with this part to one of the DoD Components.
    (ii) Provides for the notification to recipients and the responsible 
program officials of the DoD Components involved of the assignment of 
enforcement responsibility.
    (4) No delegation agreement reached in accordance with paragraph 
(u)(3) to this section shall be effective until it is approved by the 
ASD(MRA&L), or designee.
    (5) When possible, existing delegation agreements relating to title 
VI of the Civil Rights Act of 1964 shall be amended to provide for the 
enforcement of this part.
    (6) Any DoD Component conducting a compliance review or 
investigating a complaint of an alleged violation by a recipient shall 
notify any other affected agency or DoD Component through the 
ASD(MRA&L), or designee, upon discovery that the agency or DoD Component 
has jurisdiction over the program or activity in question and shall 
subsequently inform it of the finding made. Such reviews or 
investigations may be conducted on a joint basis.
    (7) When a compliance review or complaint investigation under this 
part reveals a possible violation of Executive Order 11246, titles VI or 
VII of the Civil Rights Act of 1964, or any other Federal law, the DoD 
Component shall notify the appropriate agency, through the ASD(MRA&L), 
or designee.
    (v) Coordination with sections 502 and 503. (1) DoD Components shall 
use DoD 4270.1-M and Department of the Army, Office of the Chief of 
Engineers, Manual EM 1110-1-103, in developing requirements for the 
accessibility of facilities. If DoD Components encounter issues with 
respect to section 502 of the Rehabilitation Act of 1973, as amended, 
that are not covered by these publications, the ASD(MRA&L), or designee, 
may be consulted. If necessary, the ASD(MRA&L), or designee, shall 
consult with the Architectural and Transportation Barriers Compliance 
Board in resolving such problems.
    (2) DoD Components may advise recipients to consult directly with 
the Architectural and Transportation Barriers Compliance Board in 
developing accessibility criteria.

[[Page 320]]

    (3) DoD Components shall coordinate enforcement actions relating to 
the accessibility of facilities with the Architectural and 
Transportation Barriers Compliance Board and shall notify the 
ASD(MRA&L), or designee, of such coordination.
    (4) If a recipient is also a Federal contractor subject to section 
503 of the Rehabilitation Act of 1973, as amended, and the regulations 
thereunder (41 CFR part 60-741) and if a DoD Component has reason to 
believe that the recipient is in violation thereof, the DoD Component 
shall coordinate enforcement actions with the Department of Labor, 
Office of Federal Contract Compliance Programs. The DoD Component shall 
notify the ASD(MRA&L), or designee, of such coordination.



Sec. 56.10  Ensuring compliance with this part in programs and
activities conducted by the Department of Defense.

    (a) Supplementary guidelines. (1) Whenever necessary, the 
ASD(MRA&L), or designee, shall publish supplementary guidelines for 
programs and activities that are conducted by DoD Components and that 
are subject to this Directive. Prior to their issuance, the ASD(MRA&L), 
or designee, shall submit supplementary guidelines prepared pursuant to 
this subsection to the Coordination and Review Section, Civil Rights 
Division, Department of Justice, for review.
    (2) The heads of DoD Components, or designees, shall be responsible 
for keeping the supplementary guidelines described in this section 
current and accurate. When a DoD Component head determines that a 
program or activity should be added to or deleted from the guidelines, 
that official shall notify the ASD(MRA&L), or designee, in writing.
    (b) Staff responsibilities. The ASD(MRA&L), or designee, shall 
determine DoD Component compliance with this part as it pertains to 
programs and activities that are conducted by DoD Components and are 
subject to this part.
    (c) Filing of complaints. (1) Complaints of discrimination in a 
program or activity conducted by a DoD Component may be filed directly 
with the ASD(MRA&L), or designee.
    (2) DoD Components shall develop procedures, such as posters or 
other devices, to notify participants in the programs and activities 
listed in Sec. 56.7(c) of their right to be free of discrimination 
because of handicap in those programs and activities and of their right 
to file complaints of discrimination with the ASD(MRA&L), or designee.
    (d) Investigations of complaints. (1) The ASD(MRA&L), or designee, 
shall investigate complaints of discrimination in programs and 
activities that are conducted by DoD Components and are subject to this 
part.
    (2) A case record of each investigation shall be compiled in 
accordance with Sec. 56.9(j)(2).
    (e) Results of investigations. If the complaint investigation 
results in a determination by the ASD(MRA&L), or designee, that a DoD 
Component's program or activity is not complying with Sec. 56.9, the 
ASD(MRA&L), or designee, shall proceed as prescribed in Sec. 56.9 (n) 
through (v). Hearings prescribed under Sec. 56.9(r) however, need not 
be conducted. If the ASD(MRA&L), or designee, determines that the DoD 
Component is in compliance, the ASD(MRA&L), or designee, shall notify 
the complainant within 15 calendar days of such determination.
    (f) Written notice. If an investigative report concludes that there 
has been a violation of this part in a program or activity conducted by 
a DoD Component and the ASD(MRA&L), or designee, accepts that 
conclusion, that official shall issue to the head of the DoD Component a 
written notice describing the apparent violation, the corrective actions 
necessary to achieve compliance, and a suspense date for completion of 
the corrective actions.
    (g) Effecting compliance. When necessary to overcome the effects of 
discrimination in violation of this part the ASD(MRA&L), or designee, 
may require a DoD Component to take remedial action similar to that in 
Sec. 56.9(n)(2).
    (h) Employment. DoD Components that conduct Federal programs or 
activities covered by this part that involve employment of civilian 
persons to conduct such a program or activity must comply with section 
501 of the Rehabilitation Act of 1973, as amended,

[[Page 321]]

and the implementing rules and regulations of the EEOC.



PART 57_PROVISION OF EARLY INTERVENTION AND SPECIAL EDUCATION SERVICES
TO ELIGIBLE DOD DEPENDENTS--Table of Contents



Sec.
57.1 Purpose.
57.2 Applicability.
57.3 Definitions.
57.4 Policy.
57.5 Responsibilities.
57.6 Procedures.

    Authority: 10 U.S.C. 2164, 20 U.S.C. 921-932 and chapter 33.

    Source: 80 FR 36660, June 25, 2015, unless otherwise noted.



Sec. 57.1  Purpose.

    This part:
    (a) Establishes policy and assigns responsibilities to implement, 
other than the funding and reporting provisions, chapter 33 of 20 U.S.C. 
(also known and hereinafter referred to in this part as ``Individuals 
with Disabilities Education Act (IDEA)'') pursuant to 20 U.S.C. 927(c) 
and 10 U.S.C. 2164(f) for:
    (1) Provision of early intervention services (EIS) to infants and 
toddlers with disabilities and their families, as well as special 
education and related services to children with disabilities entitled 
under this part to receive education services from the DoD in accordance 
with 20 U.S.C. 921-932, 10 U.S.C. 2164, and DoD Directive 1342.20, 
``Department of Defense Education Activity (DoDEA)'' (available at 
http://www.dtic.mil/whs/directives/corres/pdf/134220p.pdf), and the 
IDEA.
    (2) Implementation of a comprehensive, multidisciplinary program of 
EIS for infants and toddlers with disabilities and their DoD civilian-
employed and military families.
    (3) Provision of a free appropriate public education (FAPE), 
including special education and related services for children with 
disabilities who are eligible to enroll in DoDEA schools, as specified 
in their respective individualized education programs (IEP).
    (4) Monitoring of DoD programs providing EIS, or special education 
and related services for compliance with this part.
    (b) Establishes a DoD Coordinating Committee to recommend policies 
and provide compliance oversight for early intervention and special 
education.
    (c) Authorizes the issuance of other guidance as necessary.



Sec. 57.2  Applicability.

    This part applies to:
    (a) Office of the Secretary of Defense (OSD), the Military 
Departments, the Office of the Chairman of the Joint Chiefs of Staff and 
the Joint Staff, the Combatant Commands, the Office of the Inspector 
General of the Department of Defense, the Defense Agencies, the DoD 
Field Activities, and all other organizational entities in the DoD 
(hereinafter referred to collectively as the ``DoD Components'').
    (b) Eligible infants, toddlers, and children receiving or entitled 
to receive early intervention services (EIS) or special education and 
related services from the DoD, whose parents have not elected voluntary 
enrollment in a non-Department of Defense Education Activity (DoDEA) 
school.
    (c) All schools operated under the oversight of the DoDEA, 
including:
    (1) Domestic Dependent Elementary and Secondary Schools (DDESS) 
operated by the DoD pursuant to 10 U.S.C. 2164.
    (2) Department of Defense Dependents Schools (DoDDS) operated by the 
DoD pursuant to 20 U.S.C. 921-932 (hereinafter referred to as 
``overseas'' schools).
    (d) Does not create any substantive rights or remedies not otherwise 
authorized by the IDEA or other relevant law; and may not be relied upon 
by any person, organization, or other entity to allege a denial of 
substantive rights or remedies not otherwise authorized by the IDEA or 
other relevant law.



Sec. 57.3  Definitions.

    Unless otherwise noted, these terms and their definitions are for 
the purpose of this part.
    Age of majority. The age when a person acquires the rights and 
responsibilities of being an adult. For purposes of this part, a child 
attains majority at age 18, unless the child has been determined by a 
court of competent jurisdiction to be incompetent, or, if the

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child has not been determined to be incompetent, he or she is incapable 
of providing informed consent with respect to his or her educational 
program.
    Alternate assessment. An objective and consistent process that 
validly measures the performance of students with disabilities unable to 
participate, even with appropriate accommodations provided as necessary 
and as determined by their respective CSC, in a system-wide assessment.
    Alternative educational setting (AES). A temporary setting in or out 
of the school, other than the setting normally attended by the student 
(e.g., alternative classroom, home setting, installation library) as 
determined by school authorities or the CSC, in accordance with Sec. 
57.6(b)(12) as the appropriate learning environment for a student 
because of a violation of school rules and regulations or disruption of 
regular classroom activities.
    Assistive technology device. Any item, piece of equipment, or 
product system, whether acquired commercially or off the shelf, 
modified, or customized, that is used to increase, maintain, or improve 
functional capabilities of children with disabilities. This term does 
not include a medical device that is surgically implanted or the 
replacement of that device.
    Assistive technology service. Any service that directly assists an 
individual with a disability in the selection, acquisition, or use of an 
assistive technology device. The term includes: Evaluating the needs of 
an individual with a disability, including a functional evaluation in 
the individual's customary environment; purchasing, leasing, or 
otherwise providing for the acquisition of assistive technology devices 
by individuals with disabilities; selecting, designing, fitting, 
customizing, adapting, applying, maintaining, repairing, or replacing 
assistive technology devices; coordinating and using other therapies, 
interventions, or services with assistive technology devices, such as 
those associated with existing educational and rehabilitative plans and 
programs; training or technical assistance for an individual with 
disabilities or the family of an individual with disabilities; and 
training or technical assistance for professionals (including 
individuals providing educational rehabilitative services), employers, 
or other individuals who provide services to, employ, or are otherwise 
substantially involved in the major life functions of an individual with 
a disability.
    Case study committee (CSC). A school-level multidisciplinary team, 
including the child's parents, responsible for making educational 
decisions concerning a child with a disability.
    Child-find. An outreach program used by DoDEA, the Military 
Departments, and the other DoD Components to locate, identify, and 
evaluate children from birth to age 21, inclusive, who may require EIS 
or special education and related services. All children who are eligible 
to attend a DoD school under 20 U.S.C. 921-932 or 10 U.S.C. 2164 fall 
within the scope of the DoD child-find responsibilities. Child-find 
activities include the dissemination of information to Service members, 
DoD employees, and parents of students eligible to enroll in DoDEA 
schools; the identification and screening of children; and the use of 
referral procedures.
    Children with disabilities. Children, ages 3 through 21, inclusive, 
who are entitled to enroll, or are enrolled, in a DoD school in 
accordance with 20 U.S.C. 921-932 and 10 U.S.C. 2164, have not graduated 
from high school or completed the General Education Degree, have one or 
more disabilities in accordance with section 1401(3) of the IDEA, and 
need and qualify for special education and related services.
    Complainant. Person making an administrative complaint.
    Comprehensive system of personnel development (CSPD). A system of 
personnel development that is developed in coordination with the 
Military Departments and the Director, DoDEA. CSPD is the training of 
professionals, paraprofessionals, and primary referral source personnel 
with respect to the basic components of early intervention, special 
education, and related services. CSPD may also include implementing 
innovative strategies and activities for the recruitment and retention 
of personnel providing special education and related services, ensuring

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that personnel requirements are established and maintaining 
qualifications to ensure that personnel necessary to carry out the 
purposes of this part are appropriately and adequately prepared to 
provide special education and related services. Training of personnel 
may include working within the military and with military families, the 
emotional and social development of children, and transition services 
from early intervention to preschool and transitions within educational 
settings and to post-secondary environments.
    Consent. The permission obtained from the parent ensuring they are 
fully informed of all information about the activity for which consent 
is sought, in his or her native language or in another mode of 
communication if necessary, and that the parent understands and agrees 
in writing to the implementation of the activity for which permission is 
sought.
    Continuum of placement options. Instruction in general education 
classes, special classes, special schools, home instruction, and 
instruction in hospitals and institutions; includes provision for 
supplementary services (such as resource room or itinerant instruction) 
to be provided in conjunction with regular class placement.
    Controlled substance. As defined in Sections 801-971 of title 21, 
United States Code (also known as the ``Controlled Substances Act, as 
amended'').
    Day. A calendar day, unless otherwise indicated as a business day or 
a school day.
    (1) Business day. Monday through Friday except for Federal and State 
holidays.
    (2) School day. Any day, including a partial day, that children are 
in attendance at school for instructional purposes. School day has the 
same meaning for all children in school, including children with and 
without disabilities.
    Department of Defense Education Activity (DoDEA). The Department of 
Defense Education Activity is a DoD Field Activity under the direction, 
operation, and control of the Under Secretary of Defense for Personnel & 
Readiness (USD(P&R)) and the Assistant Secretary of Defense for 
Readiness & Force Management (ASD(R&FM)). The mission of DoDEA is to 
provide an exemplary education by effectively and efficiently planning, 
directing, and overseeing the management, operation, and administration 
of the DoD Domestic Dependent Elementary and Secondary Schools (DDESS) 
and the DoD Dependents Schools (DoDDS), which provide instruction from 
kindergarten through grade 12 to eligible dependents.
    Department of Defense Dependents Schools (DoDDS). The overseas 
schools (kindergarten through grade 12) established in accordance with 
20 U.S.C. 921-932.
    Department of Defense Education Activity School. A DDESS or DoDDS 
school operated under the oversight of DoDEA.
    Developmental Delay in children ages 3 through 7. A child three 
through seven (or any subset of that age range, including ages 3 through 
5) who is experiencing developmental delays, as defined for infants and 
toddlers at Sec. 57.6(a)(4)(ii)(A) as measured by appropriate 
diagnostic instruments and procedures, in one or more of the following 
areas: Physical development, cognitive development, communication 
development, social or emotional development, or adaptive development, 
and who, by reason thereof, needs special education and related 
services. A child determined to have a developmental delay before the 
age of 7 may maintain that eligibility through age 9.
    Domestic Dependent Elementary and Secondary Schools (DDESS). The 
schools (pre-kindergarten through grade 12) established in accordance 
with 10 U.S.C. 2164.
    Early intervention service provider. An individual that provides 
early intervention services in accordance with this part.
    Educational and Developmental Intervention Services (EDIS). Programs 
operated by the Military Departments to provide EIS to eligible infants 
and toddlers with disabilities, and related services to eligible 
children with disabilities in accordance with this part.
    EIS. Developmental services for infants and toddlers with 
disabilities, as defined in this part, that are provided

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under the supervision of a Military Department, including evaluation, 
individualized family service plan (IFSP) development and revision, and 
service coordination, provided at no cost to the child's parents (except 
for incidental fees also charged to children without disabilities).
    Extended school year (ESY) services. Special education and related 
services that are provided to a child with a disability beyond the 
normal DoDEA school year, in accordance with the child's IEP, are at no 
cost to the parents, and meet the standards of the DoDEA school system.
    Evaluation. The method used by a multidisciplinary team to conduct 
and review the assessments of the child and other relevant input to 
determine whether a child has a disability and a child's initial and 
continuing need to receive EIS or special education and related 
services.
    Extracurricular and non-academic activities. Services and activities 
including counseling services; athletics; transportation; health 
services; recreational activities; special interest groups or clubs 
sponsored by the DoDEA school system; and referrals to agencies that 
provide assistance to individuals with disabilities and employment of 
students, including employment by a public agency and assistance in 
making outside employment available.
    FAPE. Special education and related services that are provided under 
the general supervision and direction of DoDEA at no cost to parents of 
a child with a disability, in conformity with an IEP, in accordance with 
the requirements of the IDEA and DoD guidance.
    Functional behavioral assessment. A process for identifying the 
events that predict and maintain patterns of problem behavior.
    General education curriculum. The curriculum adopted by the DoDEA 
school systems for all children from preschool through secondary school. 
To the extent applicable to an individual child with a disability, the 
general education curriculum can be used in any educational environment 
along a continuum of alternative placements.
    IEP. A written document that is developed, reviewed, and revised at 
a meeting of the CSC, identifying the required components of the 
individualized education program for a child with a disability.
    Individualized Family Service Plan (IFSP). A written document 
identifying the specially designed services for an infant or toddler 
with a disability and the family of such infant or toddler.
    Independent educational evaluation (IEE). An evaluation conducted by 
a qualified examiner who is not an EDIS examiner or an examiner funded 
by the DoDEA school who conducted the evaluation with which the parent 
is in disagreement.
    Infants and toddlers with disabilities. Children from birth up to 3 
years of age, inclusive, who need EIS because:
    (1) They are experiencing developmental delays as measured by 
appropriate diagnostic instruments and procedures, in one or more of the 
following areas: Cognitive development, physical development including 
vision and hearing, communication development, social or emotional 
development, adaptive development; or
    (2) They have a diagnosed physical or mental condition that has a 
high probability of resulting in developmental delay.
    Inter-component. Cooperation among DoD organizations and programs, 
ensuring coordination and integration of services to infants, toddlers, 
children with disabilities, and their families.
    Manifestation determination. The process in which the CSC reviews 
all relevant information and the relationship between the child's 
disability and the child's behavior to determine whether the behavior is 
a manifestation of the child's disability.
    Mediation. A confidential, voluntary, informal dispute resolution 
process that is provided at no charge to the parents, whether or not a 
due process petition has been filed, in which the disagreeing parties 
engage in a discussion of issues related to the provision of the child's 
EIS or special education and related services in accordance with the 
requirements of IDEA and this part, in the presence of, or through, a 
qualified and impartial mediator who is trained in effective mediation 
techniques.

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    Medical services. Those evaluative, diagnostic, and therapeutic, 
services provided by a licensed and credentialed medical provider to 
assist providers of EIS, regular and special education teachers, and 
providers of related services to develop and implement IFSPs and IEPs.
    Multidisciplinary. The involvement of two or more disciplines or 
professions in the integration and coordination of services, including 
evaluation and assessment activities and development of an IFSP or an 
IEP.
    Native language. When used with reference to an individual of 
limited English proficiency, the home language normally used by such 
individuals, or in the case of a child, the language normally used by 
the parents of the child.
    Natural environment. A setting, including home and community, in 
which children without disabilities participate.
    Non-DoD school or facility. A public or private school or other 
educational program not operated by DoD.
    Parent. The natural, adoptive, or foster parent of a child, a 
guardian, an individual acting in the place of a natural or adoptive 
parent with whom the child lives, or an individual who is legally 
responsible for the child's welfare if that person contributes at least 
one-half of the child's support.
    Personally identifiable information. Information that would make it 
possible to identify the infant, toddler, or child with reasonable 
certainty. Information includes: The name of the child, the child's 
parent or other family member; the address of the child; a personal 
identifier, such as the child's social security number or student 
number; or a list of personal characteristics or other information that 
would make it possible to identify the child with reasonable certainty.
    Primary referral source. Parents and the DoD Components, including 
child development centers, pediatric clinics, and newborn nurseries, 
that suspect an infant or toddler has a disability and bring the child 
to the attention of the EDIS.
    Psychological services. Psychological services include: 
Administering psychological and educational tests and other assessment 
procedures; interpreting assessment results; obtaining, integrating and 
interpreting information about child behavior and conditions relating to 
learning; consulting with other staff members in planning school 
programs to meet the special educational needs of children as indicated 
by psychological tests, interviews, direct observations, and behavioral 
evaluations; planning and managing a program of psychological services, 
including psychological counseling for children and parents; and 
assisting in developing positive behavioral intervention strategies.
    Public awareness program. Activities or print materials focusing on 
early identification of infants and toddlers with disabilities. 
Materials may include information prepared and disseminated by a 
military medical department to all primary referral sources and 
information for parents on the availability of EIS. Procedures to 
determine the availability of information on EIS to parents are also 
included in that program.
    Qualified. A person who meets the DoD-approved or recognized 
certification, licensing, or registration requirements or other 
comparable requirements in the area in which the person provides 
evaluation or assessment, EIS, special education or related services to 
an infant, toddler, or child with a disability.
    Rehabilitation counseling. Services provided by qualified personnel 
in individual or group sessions that focus specifically on career 
development, employment preparation, achieving independence, and 
integration in the workplace and community of the student with a 
disability. The term also includes vocational rehabilitation services 
provided to a student with disabilities by vocational rehabilitation 
programs funded in accordance with the Rehabilitation Act of 1973, 29 
U.S.C. chapter 16.
    Related services. Transportation and such developmental, corrective, 
and other supportive services, as required, to assist a child with a 
disability to benefit from special education under the child's IEP. The 
term includes services or consults in the areas of speech-language 
pathology; audiology

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services; interpreting services; psychological services; physical and 
occupational therapy; recreation including therapeutic recreation; 
social work services; and school nurse services designed to enable a 
child with a disability to receive a FAPE as described in the child's 
IEP; early identification and assessment of disabilities in children; 
counseling services including rehabilitation counseling; orientation and 
mobility services; and medical services for diagnostic or evaluative 
purposes. The term does not include a medical device that is surgically 
implanted or the replacement of such.
    Related services assigned to the Military Departments. Medical and 
psychological services, audiology, and optometry for diagnostic or 
evaluative purposes, including consults, to determine whether a 
particular child has a disability, the type and extent of the 
disability, and the child's eligibility to receive special services. In 
the overseas and domestic areas, transportation is provided as a related 
service by the Military Department when transportation is prescribed in 
an IFSP for an infant or toddler, birth to 3 years of age, with 
disabilities.
    Resolution meeting. The meeting between parents and relevant school 
personnel, which must be convened within a specified number of days 
after receiving notice of a due process complaint and prior to the 
initiation of a due process hearing, in accordance with the IDEA and 
this part. The purpose of the meeting is for the parent to discuss the 
due process complaint and the facts giving rise to the complaint so that 
the school has the opportunity to resolve the complaint.
    Resolution period. That period of time following a resolution 
meeting, the length of which is defined in this part, during which the 
school is afforded an opportunity to resolve the parent's concerns 
before the dispute can proceed to a due process hearing.
    Separate facility. A school or a portion of a school, regardless of 
whether it is operated by DoD, attended exclusively by children with 
disabilities.
    Serious bodily injury. A bodily injury, which involves a substantial 
risk of death; extreme physical pain; protracted and obvious 
disfigurement; or protracted loss or impairment of the function of a 
bodily member, organ, or mental faculty.
    Service coordination. Activities of a service coordinator to assist 
and enable an infant or toddler and the family to receive the rights, 
procedural safeguards, and services that are authorized to be provided.
    Special education. Specially designed instruction, which is provided 
at no cost to the parents, to meet the unique needs of a child with a 
disability, including instruction conducted in the classroom, in the 
home, in hospitals and institutions, and in other settings; and 
instruction in physical education.
    Supplementary aids and services. Aids, services, and other supports 
that are provided in regular education classes or other educational-
related settings, and in extracurricular and non-academic settings to 
enable children with disabilities to be educated with non-disabled 
children to the maximum extent appropriate.
    Transition services. A coordinated set of activities for a child 
with a disability that is designed to be within a results-oriented 
process, that is focused on improving the academic and functional 
achievement of the child with a disability to facilitate the child's 
movement from school to post-school activities, including post-secondary 
education, vocational education, integrated employment (including 
supported employment), continuing and adult education, adult services, 
independent living, or community participation, and is based on the 
individual child's needs, taking into account the child's strengths, 
preferences, and interests and includes instruction, related services, 
community experiences, the development of employment and other post-
school adult living objectives, and when appropriate, acquisition of 
daily living skills and functional vocational evaluation.
    Transportation. A service that includes transportation and related 
costs, including the cost of mileage or travel by taxi, common carrier, 
tolls, and parking expenses, that are necessary to: enable an eligible 
child with a disability and the family to receive EIS, when prescribed 
in a child's IFSP;

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enable an eligible child with a disability to receive special education 
and related services, when prescribed as a related service by the 
child's IEP; and enable a child to obtain an evaluation to determine 
eligibility for special education and related services, if necessary. It 
also includes specialized equipment, including special or adapted buses, 
lifts, and ramps needed to transport children with disabilities.
    Weapon. Defined in Department of Defense Education Activity 
Regulation 2051.1, ``Disciplinary Rules and Procedures'' (available at 
http://www.dodea.edu/foia/iod/pdf/2051--1a.pdf).



Sec. 57.4  Policy.

    It is DoD policy that:
    (a) Infants and toddlers with disabilities and their families who 
(but for the children's age) would be entitled to enroll in a DoDEA 
school in accordance with 20 U.S.C. 921-932 or 10 U.S.C. 2164 shall be 
provided EIS.
    (b) The DoD shall engage in child-find activities for all children 
age birth to 21, inclusive, who are entitled by 20 U.S.C. 921-932 or 10 
U.S.C. 2164 to enroll or are enrolled in a DoDEA school.
    (c) Children with disabilities who meet the enrollment eligibility 
criteria of 20 U.S.C. 921-932 or 10 U.S.C. 2164 shall be provided a FAPE 
in the least restrictive environment, including if appropriate to the 
needs of the individual child, placement in a residential program for 
children with disabilities in accordance with the child's IEP and at no 
cost to the parents.
    (d) The Military Departments and DoDEA shall cooperate in the 
delivery of related services prescribed by section 1401(26) of the IDEA 
and this part as may be required to assist eligible children with 
disabilities to benefit from special education.
    (e) Children with disabilities who are eligible to enroll in a DoDEA 
school in accordance with 20 U.S.C. 921-932 or 10 U.S.C. 2164 shall not 
be entitled to provision of a FAPE by DoDEA, or to the procedural 
safeguards prescribed by this part in accordance with the IDEA, if:
    (1) The sponsor is assigned to an overseas area where a DoDEA school 
is available within the commuting area of the sponsor's overseas 
assignment, but the sponsor does not elect to enroll the child in a 
DoDEA school for reasons other than DoDEA's alleged failure to provide a 
FAPE; or
    (2) The sponsor is assigned in the United States or in a U.S. 
territory, commonwealth, or possession and the sponsor's child meets the 
eligibility requirements for enrollment in a DoDEA school, but the 
sponsor does not elect to enroll the child in a DoDEA school for reasons 
other than DoDEA's alleged failure to provide a FAPE.



Sec. 57.5  Responsibilities.

    (a) The ASD(R&FM) under the authority, direction, and control of the 
USD(P&R) shall:
    (1) Establish, in accordance with DoD Instruction 5105.18, ``DoD 
Intergovernmental and Intragovernmental Committee Management Program'' 
(available at http://www.dtic.mil/whs/directives/corres/pdf/
510518p.pdf), a DoD Coordinating Committee to recommend policies 
regarding the provision of early intervention and special education 
services.
    (2) Ensure the development, implementation and administration of a 
system of services for infants and toddlers with disabilities and their 
families and children with disabilities; and provide compliance 
oversight for early intervention and special education in accordance 
with DoD Directive 5124.02, ``Under Secretary of Defense for Personnel 
and Readiness (USD(P&R))'' (available at http://www.dtic.mil/whs/
directives/corres/pdf/512402p.pdf); 20 U.S.C. 921-932; the applicable 
statutory provision of the IDEA; 10 U.S.C. 2164; DoD Directive 1342.20 
and implementing guidance authorized by this part.
    (3) Oversee DoD Component collaboration on the provision of services 
and transition support to infants, toddlers, and school-aged children.
    (4) Develop a DoD-wide comprehensive child-find system to identify 
eligible infants, toddlers, and children ages birth through 21 years, 
inclusive, who may require early intervention or special education 
services, in accordance with the IDEA.
    (5) Develop and provide guidance as necessary for the delivery of 
services for children with disabilities and for

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the protection of procedural rights consistent with the IDEA and 
implementing guidance authorized by this part.
    (6) Coordinate with the Secretaries of the Military Departments to 
ensure that their responsibilities, as detailed in paragraph (f) of this 
section, are completed.
    (7) Direct the development and implementation of a comprehensive 
system of personnel development (CSPD) for personnel serving infants and 
toddlers with disabilities and children with disabilities, and their 
families.
    (8) Develop requirements and procedures for compiling and reporting 
data on the number of eligible infants and toddlers with disabilities 
and their families in need of EIS and children in need of special 
education and related services.
    (9) Require DoDEA schools provide educational information for 
assignment coordination and enrollment in the Services' Exceptional 
Family Member Program or Special Needs Program consistent with DoD 
Instruction 1315.19, ``Authorizing Special Needs Family Members Travel 
Overseas at Government Expense'' (available at http://www.dtic.mil/whs/
directives/corres/pdf/131519p.pdf).
    (10) Identify representatives to serve on the Department of Defense 
Coordinating Committee on Early Intervention, Special Education, and 
Related Services (DoD-CC).
    (11) Ensure delivery of appropriate early intervention and 
educational services to eligible infants, toddlers, and children, and 
their families as appropriate pursuant to the IDEA and this part through 
onsite monitoring of special needs programs and submission of an annual 
compliance report.
    (b) The Assistant Secretary of Defense for Health Affairs (ASD(HA)), 
under the authority, direction, and control of the USD(P&R), shall:
    (1) Advise the USD(P&R) and consult with the General Counsel of the 
Department of Defense (GC, DoD) regarding the provision of EIS and 
related services.
    (2) Oversee development of provider workload standards and 
performance levels to determine staffing requirements for EIS and 
related services. The standards shall take into account the provider 
training needs, the requirements of this part, and the additional time 
required to provide EIS and related services in schools and the natural 
environments, and for the coordination with other DoD Components and 
other service providers, indirect services including analysis of data, 
development of the IFSP, transition planning, and designing 
interventions and accommodations.
    (3) Establish and maintain an automated data system to support the 
operation and oversight of the Military Departments' delivery of EIS and 
related services.
    (4) Assign geographical areas of responsibility for providing EIS 
and related services under the purview of healthcare providers to the 
Military Departments. Periodically review the alignment of geographic 
areas to ensure that resource issues (e.g., base closures) are 
considered in the cost-effective delivery of services.
    (5) Establish a system for measuring EIS program outcomes for 
children and their families.
    (6) Resolve disputes among the DoD Components providing EIS.
    (c) The Director, Defense Health Agency (DHA), under the authority, 
direction, and control of the ASD(HA), shall identify representatives to 
serve on the DoD-CC.
    (d) The Director, DoD Education Activity (DoDEA), under the 
authority, direction, and control of the USD(P&R), and through the 
ASD(R&FM), in accordance with DoD Directive 5124.02, shall ensure that:
    (1) Children who meet the enrollment eligibility criteria of 20 
U.S.C. 921-932 or 10 U.S.C. 2164 are identified and referred for 
evaluation if they are suspected of having disabilities, and are 
afforded appropriate procedural safeguards in accordance with the IDEA 
and implementing guidance authorized by this part.
    (2) Children who meet the enrollment eligibility criteria of 20 
U.S.C. 921-932 or 10 U.S.C. 2164 shall be evaluated in accordance with 
the IDEA and implementing guidance authorized by this part, as needed. 
If found eligible for special education and related services,

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they shall be provided a FAPE in accordance with an IEP, with services 
delivered in the least restrictive environment and procedural safeguards 
in accordance with the requirements of the IDEA and implementing 
guidance authorized by this part.
    (3) Records are maintained on the special education and related 
services provided to children in accordance with this part, pursuant to 
32 CFR part 310.
    (4) Related services as prescribed in an IEP for a child with 
disabilities enrolled in a DoDEA school in the United States, its 
territories, commonwealths, or possessions are provided by DoDEA.
    (5) Transportation is provided by DoDEA in overseas and domestic 
areas as a related service to children with disabilities when 
transportation is prescribed in a child's IEP. The related service of 
transportation includes necessary accommodations to access and leave the 
bus and to ride safely on the bus and transportation between the child's 
home, the DoDEA school, or another location, as specified in the child's 
IEP.
    (6) Appropriate personnel participate in the development and 
implementation of a CSPD.
    (7) Appropriate written guidance is issued to implement the 
requirements pertaining to special education and related services under 
20 U.S.C. 921-932, 10 U.S.C. 2164, and the IDEA.
    (8) Activities to identify and train personnel to monitor the 
provision of services to eligible children with disabilities are funded.
    (9) DoDEA schools that operate pursuant to 20 U.S.C. 921-932 and 10 
U.S.C. 2164 conduct child-find activities for all eligible children;
    (10) A free appropriate public education (FAPE) and procedural 
safeguards in accordance with IDEA and this part available to children 
with disabilities who are entitled to enroll in DoDEA schools under the 
enrollment eligibility criteria of 20 U.S.C. 921-932 or 10 U.S.C. 2164. 
However, a FAPE, or the procedural safeguards prescribed by the IDEA and 
this part, shall NOT be available to such children, if:
    (i) The sponsor is assigned to an overseas area where a DoDEA school 
is available within the commuting area of the sponsor's assignment, but 
the sponsor does not elect to enroll his or her child in a DoDEA school 
for reasons other than DoDEA's alleged failure to provide a FAPE; or
    (ii) The sponsor is assigned in the United States or in a U.S. 
territory, commonwealth, or possession and the sponsor's child meets the 
eligibility requirements for enrollment in a DoDEA school, but the 
sponsor does not elect to enroll the child in a DoDEA school for reasons 
other than DoDEA's alleged failure to provide a FAPE.
    (11) The educational needs of children with and without disabilities 
are met comparably, in accordance with Sec. 57.6(b) of this part.
    (12) Educational facilities and services (including the start of the 
school day and the length of the school year) operated by DoDEA for 
children with and without disabilities are comparable.
    (13) All programs providing special education and related services 
are monitored for compliance with this part and with the substantive 
rights, protections, and procedural safeguards of the IDEA and this part 
at least once every 3 years.
    (14) A report is submitted to the USD(P&R) not later than September 
30 of each year certifying whether all schools are in compliance with 
the IDEA and this part, and are affording children with disabilities the 
substantive rights, protections, and procedural safeguards of the IDEA.
    (15) Transition assistance is provided in accordance with IDEA and 
this part to promote movement from early intervention or preschool into 
the school setting.
    (16) Transition services are provided in accordance with IDEA and 
this part to facilitate the child's movement into different educational 
settings and post-secondary environments.
    (e) The GC, DoD shall identify representatives to serve on the DoD-
CC.
    (f) The Secretaries of the Military Departments shall:
    (1) Establish educational and developmental intervention services 
(EDIS) to ensure infants and toddlers with disabilities are identified 
and provided

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EIS where appropriate, and are afforded appropriate procedural 
safeguards in accordance with the requirements of the IDEA and 
implementing guidance authorized by this part.
    (2) Staff EDIS with appropriate professional staff, based on the 
services required to serve children with disabilities.
    (3) Provide related services required to be provided by a Military 
Department in accordance with the mandates of this part for children 
with disabilities. In the overseas areas served by DoDEA schools, the 
related services required to be provided by a Military Department under 
an IEP necessary for the student to benefit from special education 
include medical services for diagnostic or evaluative purposes; social 
work; community health nursing; dietary, audiological, optometric, and 
psychological testing and therapy; occupational therapy; and physical 
therapy. Transportation is provided as a related service by the Military 
Department when it is prescribed in a child's IFSP for an infant or 
toddler birth up to 3 years of age, inclusive, with disabilities. 
Related services shall be administered in accordance with guidance 
issued pursuant to this part, including guidance from the ASD(HA) on 
staffing and personnel standards.
    (4) Issue implementing guidance and forms necessary for the 
operation of EDIS in accordance with this part.
    (5) Provide EIS to infants and toddlers with disabilities and their 
families, and related services to children with disabilities as required 
by this part at the same priority that medical care is provided to 
active duty military members.
    (6) Provide counsel from the Military Department concerned or 
request counsel from the Defense Office of Hearings and Appeals (DOHA) 
to represent the Military Department in impartial due process hearings 
and administrative appeals conducted in accordance with this part for 
infants and toddlers birth up to 3 years of age, inclusive, with 
disabilities who are eligible for EIS.
    (7) Execute Departmental responsibilities under the Exceptional 
Family Member program (EFMP) prescribed by DoD Instruction 1315.19.
    (8) Train command personnel to fully understand their legal 
obligations to ensure compliance with and provide the services required 
by this part.
    (9) Fund activities to identify and train personnel to monitor the 
provision of services to eligible children with disabilities.
    (10) Require the development of policies and procedures for 
providing, documenting, and evaluating EDIS, including EIS and related 
services provided to children receiving special education in a DoDEA 
school.
    (11) Maintain EDIS to provide necessary EIS to eligible infants and 
toddlers with disabilities and related services to eligible children 
with disabilities in accordance with this part and the substantive 
rights, protections, and procedural safeguards of the IDEA, Sec. 
57.6(a) and Sec. 57.6(c) of this part.
    (12) Implement a comprehensive, coordinated, inter-component, 
community-based system of EIS for eligible infants and toddlers with 
disabilities and their families using the procedures established in 
Sec. 57.6(a) of this part and guidelines from the ASD(HA) on staffing 
and personnel standards.
    (13) Provide transportation for EIS pursuant to the IDEA and this 
part.
    (14) Provide transportation for children with disabilities pursuant 
to the IDEA and this part. The Military Departments are to provide 
transportation for a child to receive medical or psychological 
evaluations at a medical facility in the event that the local servicing 
military treatment facility (MTF) is unable to provide such services and 
must transport the child to another facility.
    (15) Require that EDIS programs maintain the components of an EIS as 
required by the IDEA and this part, to include:
    (i) A comprehensive child-find system, including a system for making 
referrals for services that includes timelines and provides for 
participation by primary referral sources, and that establishes rigorous 
standards for appropriately identifying infants and toddlers with 
disabilities for services.
    (ii) A public awareness program focusing on early identification of 
infants and toddlers with disabilities to include:

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    (A) Preparation of information materials for parents regarding the 
availability of EIS, especially to inform parents with premature infants 
or infants with other physical risk factors associated with learning or 
developmental complications.
    (B) Dissemination of those materials to all primary referral 
sources, especially hospitals and physicians, for distribution to 
parents.
    (C) A definition of developmental delay, consistent with Sec. 
57.6(g) of this part, to be used in the identification of infants and 
toddlers with disabilities who are in need of services.
    (D) Availability of appropriate EIS.
    (iii) A timely, comprehensive, multidisciplinary evaluation of the 
functioning of each infant or toddler and identification of the needs of 
the child's family to assist appropriately in the development of the 
infant or toddler.
    (iv) Procedures for development of an Individualized Family Service 
Plan (IFSP) and coordination of EIS for families of eligible infants and 
toddlers with disabilities.
    (v) A system of EIS designed to support infants and toddlers and 
their families in the acquisition of skills needed to become 
functionally independent and to reduce the need for additional support 
services as toddlers enter school.
    (vi) A central directory of information on EIS resources and experts 
available to military families.
    (16) Implement a comprehensive system of personnel development 
consistent with the requirements of the IDEA.
    (17) Require that EDIS participate in the existing MTF quality 
assurance program, which monitors and evaluates the medical services for 
children receiving such services as described by this part. Generally 
accepted standards of practice for the relevant medical services shall 
be followed, to the extent consistent with the requirements of the IDEA 
including provision of EIS in a natural environment, to ensure 
accessibility, acceptability, and adequacy of the medical portion of the 
program provided by EDIS.
    (18) Require transition services to promote movement from early 
intervention, preschool, and other educational programs into different 
educational settings and post-secondary environments.
    (19) Direct that each program providing EIS is monitored for 
compliance with this part, and the substantive rights, protections, and 
procedural safeguards of the IDEA, at least once every 3 years.
    (20) Submit a report to the USD(P&R) not later than September 30 of 
each year stating whether all EDIS programs are in compliance with this 
part and are affording infants and toddlers the substantive rights, 
protections, and procedural safeguards of the IDEA, as stated in Sec. 
57.6(f) of this part.
    (21) Compile and report EDIS workload and compliance data using the 
system established by the ASD(HA) as stated in Sec. 57.6(f).
    (g) The Director, DOHA, under the authority, direction, and control 
of the GC, DoD/Director, Defense Legal Services Agency, shall:
    (1) Ensure impartial due process hearings are provided in accordance 
with the IDEA and implementing guidance authorized by this part with 
respect to complaints related to special education and related services 
arising under the IDEA.
    (2) Ensure DOHA Department Counsel represents DoDEA in all due 
process proceedings arising under the IDEA for children age 3 through 21 
who are eligible for special education and related services.
    (3) Ensure DOHA Department Counsel, upon request by a Military 
Department, represents the Military Department in due process 
proceedings arising under the IDEA for infants and toddlers birth up to 
3 years of age with disabilities who are eligible for EIS.
    (4) Ensure the DOHA Center for Alternative Dispute Resolution (CADR) 
maintains a roster of mediators qualified in special education disputes 
and, when requested, provides a mediator for complaints related to 
special education and related services arising under the IDEA.



Sec. 57.6  Procedures.

    (a) Procedures for the Provision of EIS for Infants and Toddlers 
with Disabilities--(1) General.

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    (i) There is an urgent and substantial need to:
    (A) Enhance the development of infants and toddlers with 
disabilities to minimize their potential for developmental delay and to 
recognize the significant brain development that occurs during a child's 
first 3 years of life.
    (B) Reduce educational costs by minimizing the need for special 
education and related services after infants and toddlers with 
disabilities reach school age.
    (C) Maximize the potential for individuals with disabilities to live 
independently.
    (D) Enhance the capacity of families to meet the special needs of 
their infants and toddlers with disabilities.
    (ii) All procedures and services within EIS must be in accordance 
with the IDEA and the provisions of this part.
    (2) Identification and screening. (i) Each Military Department shall 
develop and implement in its assigned geographic area a comprehensive 
child-find and public awareness program, pursuant to the IDEA and this 
part, that focuses on the early identification of infants and toddlers 
who are eligible to receive EIS pursuant to this part.
    (ii) The military treatment facility (MTF) and Family Advocacy 
Program must be informed that EDIS will accept direct referrals for 
infants and toddlers from birth up to 3 years of age who are:
    (A) Involved in a substantiated case of child abuse or neglect; or
    (B) Identified as affected by illegal substance abuse or withdrawal 
symptoms resulting from prenatal drug exposure.
    (iii) All other DoD Components will refer infants and toddlers with 
suspected disabilities to EDIS in collaboration with the parents.
    (iv) Upon receipt of a referral, EDIS shall appoint a service 
coordinator.
    (v) All infants and toddlers referred to the EDIS for EIS shall be 
screened to determine the appropriateness of the referral and to guide 
the assessment process.
    (A) Screening does not constitute a full evaluation. At a minimum, 
screening shall include a review of the medical and developmental 
history of the referred infant or toddler through a parent interview and 
a review of medical records.
    (B) If screening is conducted prior to the referral, or if there is 
a substantial or obvious biological risk, a screening following the 
referral may not be necessary.
    (C) If EDIS determines that an evaluation is not necessary based on 
screening results, EDIS will provide written notice to the parents in 
accordance with paragraph (a)(9) of this section.
    (3) Assessment and evaluation--(i) Assessments and evaluations. The 
assessment and evaluation of each infant and toddler must:
    (A) Be conducted by a multidisciplinary team.
    (B) Include:
    (1) A review of records related to the infant's or toddler's current 
health status and medical history.
    (2) An assessment of the infant's or toddler's needs for EIS based 
on personal observation of the child by qualified personnel.
    (3) An evaluation of the infant's or toddler's level of functioning 
in each of the following developmental areas, including a 
multidisciplinary assessment of the unique strengths and needs of the 
child and the identification of services appropriate to meet those 
needs.
    (i) Cognitive development.
    (ii) Physical development, including functional vision and hearing.
    (iii) Communication development.
    (iv) Social or emotional development.
    (v) Adaptive development.
    (4) Informed clinical opinion of qualified personnel if the infant 
or toddler does not qualify based on standardized testing and there is 
probable need for services.
    (ii) Family assessments. (A) Family assessments must include 
consultation with the family members.
    (B) If EDIS conducts an assessment of the family, the assessment 
must:
    (1) Be voluntary on the part of the family.
    (2) Be conducted by personnel trained to utilize appropriate methods 
and procedures.
    (3) Be based on information provided by the family through a 
personal interview.

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    (4) Incorporate the family's description of its resources, 
priorities, and concerns related to enhancing the infant's or toddler's 
development and the identification of the supports and services 
necessary to enhance the family's capacity to meet the developmental 
needs of the infant or toddler.
    (iii) Standards for Assessment Selection and Procedures. EDIS shall 
ensure, at a minimum, that:
    (A) Evaluators administer tests and other evaluations in the native 
language of the infant or toddler, or the family's native language, or 
other mode of communication, unless it is clearly not feasible to do so.
    (B) Assessment, evaluation procedures, and materials are selected 
and administered so as not to be racially or culturally discriminatory.
    (C) No single procedure is used as the sole criterion for 
determining an infant's or toddler's eligibility under this part.
    (D) Qualified personnel conduct evaluations and assessments.
    (iv) Delivery of Intervention Services. With parental consent, the 
delivery of intervention services may begin before the completion of the 
assessment and evaluation when it has been determined by a 
multidisciplinary team that the infant or toddler or the infant's or 
toddler's family needs the service immediately. Although EDIS has not 
completed all assessments, EDIS must develop an IFSP before the start of 
services and complete the remaining assessments in a timely manner.
    (4) Eligibility. (i) The EDIS team shall meet with the parents and 
determine eligibility. The EIS team shall document the basis for 
eligibility in an eligibility report and provide a copy to the parents.
    (ii) Infants and toddlers from birth up to 3 years of age with 
disabilities are eligible for EIS if they meet one of the following 
criteria:
    (A) The infant or toddler is experiencing a developmental delay in 
one or more of the following areas: Physical development; cognitive 
development; communication development; social or emotional development; 
or adaptive development, as verified by a developmental delay of two 
standard deviations below the mean as measured by diagnostic instruments 
and procedures in at least one area; a 25 percent delay in at least one 
developmental area on assessment instruments that yield scores in 
months; a developmental delay of 1.5 standard deviations below the mean 
as measured by diagnostic instruments and procedures in two or more 
areas; or a 20 percent delay in two or more developmental areas on 
assessment instruments that yield scores in months.
    (B) The infant or toddler has a diagnosed physical or mental 
condition that has a high probability of resulting in developmental 
delay. Includes conditions such as, chromosomal abnormalities; genetic 
or congenital disorders; severe sensory impairments; inborn errors of 
metabolism; disorders reflecting disturbance of the development of the 
nervous system; congenital infections; and disorders secondary to 
exposure to toxic substances, including fetal alcohol syndrome.
    (5) Timelines. (i) EIS shall complete the initial evaluation and 
assessment of each infant and toddler (including the family assessment) 
in a timely manner ensuring that the timeline in paragraph (a)(6)(ii) of 
this section is met.
    (ii) The Military Department responsible for providing EIS shall 
develop procedures requiring that, if circumstances make it impossible 
to complete the evaluation and assessment within a timely manner (e.g., 
if an infant or toddler is ill), EDIS shall:
    (A) Document those circumstances.
    (B) Develop and implement an appropriate interim IFSP in accordance 
with this part.
    (6) IFSP. (i) The EDIS shall develop and implement an IFSP for each 
infant and toddler with a disability, from birth up to 3 years of age, 
who meets the eligibility criteria for EIS.
    (ii) EDIS shall convene a meeting to develop the IFSP of an infant 
or toddler with a disability. The meeting shall be scheduled as soon as 
possible following its determination that the infant or toddler is 
eligible for EIS, but not later than 45 days from the date of the 
referral for services.

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    (iii) The IFSP team meeting to develop and review the IFSP must 
include:
    (A) The parent or parents of the infant or toddler.
    (B) Other family members, as requested by the parent, if feasible.
    (C) An advocate or person outside of the family if the parent 
requests that person's participation.
    (D) The service coordinator who has worked with the family since the 
initial referral of the infant or toddler or who is responsible for the 
implementation of the IFSP.
    (E) The persons directly involved in conducting the evaluations and 
assessments.
    (F) As appropriate, persons who shall provide services to the infant 
or toddler or the family.
    (iv) If a participant listed in paragraph (a)(6)(iii) of this 
section is unable to attend a meeting, arrangements must be made for the 
person's involvement through other means, which may include:
    (A) A telephone conference call or other electronic means of 
communication.
    (B) Providing knowledgeable, authorized representation.
    (C) Providing pertinent records for use at the meeting.
    (v) The IFSP shall contain:
    (A) A statement of the infant's or toddler's current developmental 
levels including physical, cognitive, communication, social or 
emotional, and adaptive behaviors based on the information from the 
evaluation and assessments.
    (B) A statement of the family's resources, priorities, and concerns 
about enhancing the infant's or toddler's development.
    (C) A statement of the measurable results or measurable outcomes 
expected to be achieved for the infant or toddler and the family. The 
statement shall contain pre-literacy and language skills, as 
developmentally appropriate for the infant or toddler, and the criteria, 
procedures, and timelines used to determine the degree to which progress 
toward achieving the outcomes is being made and whether modification or 
revision of the results and services are necessary.
    (D) A statement of the specific EIS based on peer-reviewed research, 
to the extent practicable, necessary to meet the unique needs of the 
infant or toddler and the family, including the frequency, intensity, 
and method of delivering services.
    (E) A statement of the natural environments in which EIS will be 
provided including a justification of the extent, if any, to which the 
services shall not be provided in a natural environment because the 
intervention cannot be achieved satisfactorily for the infant or 
toddler. The IFSP must include a justification for not providing a 
particular early intervention service in the natural environment.
    (F) The projected dates for initiation of services and the 
anticipated length, duration, and frequency of those services.
    (G) The name of the service coordinator who shall be responsible for 
the implementation of the IFSP and for coordination with other agencies 
and persons. In meeting these requirements, EDIS may:
    (1) Assign the same service coordinator appointed at the infant or 
toddler's initial referral for evaluation to implement the IFSP;
    (2) Appoint a new service coordinator; or
    (3) Appoint a service coordinator requested by the parents.
    (H) A description of the appropriate transition services supporting 
the movement of the toddler with a disability to preschool or other 
services.
    (vi) EDIS shall explain the contents of the IFSP to the parents and 
shall obtain an informed, written consent from the parents before 
providing EIS described in the IFSP.
    (vii) The IFSP shall be implemented within ten business days of 
completing the document, unless the IFSP team, including the parents, 
documents the need for a delay.
    (viii) If a parent does not provide consent for participation in all 
EIS, EDIS shall still provide those interventions to which a parent does 
give consent.
    (ix) EDIS shall evaluate the IFSP at least once a year and the 
family shall be provided an opportunity to review the plan at 6-month 
intervals (or more

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frequently, based on the needs of the child and family). The purpose of 
the periodic review is to determine:
    (A) The degree to which progress toward achieving the outcomes is 
being made.
    (B) Whether modification or revision of the outcomes or services is 
necessary.
    (x) The review may be carried out by a meeting or by another means 
that is acceptable to the parents and other participants.
    (7) Transition from early intervention services. (i) EDIS shall 
provide a written transition plan for toddlers receiving EIS to 
facilitate their transition to preschool or other setting, if 
appropriate. A transition plan must be recorded on the IFSP between the 
toddler's second and third birthday and not later than 90 days before 
the toddler's third birthday and shall include the following steps to be 
taken:
    (A) A plan for discussions with, and training of, parents, as 
appropriate, regarding future transition from early intervention 
services, and for obtaining parental consent to facilitate the release 
of toddler records in order to meet child-find requirements of DoDEA, 
and to ensure smooth transition of services;
    (B) The specific steps to be taken to help the toddler adjust to, 
and function in, the preschool or other setting and changes in service 
delivery;
    (C) The procedures for providing notice of transition to the DoDEA 
CSC, for setting a pre-transition meeting with the CSC (with notice to 
parents), and for confirmation that child-find information, early 
intervention assessment reports, the IFSP, and relevant supporting 
documentation are transmitted to the DoDEA CSC;
    (D) Identification of transition services or other activities that 
the IFSP team determines are necessary to support the transition of the 
child.
    (ii) Families shall be included in the transition planning. EDIS 
shall inform the toddler's parents regarding future preschool, the 
child-find requirements of the school, and the procedures for 
transitioning the toddler from EIS to preschool.
    (iii) Not later than 6 months before the toddler's third birthday, 
the EDIS service coordinator shall obtain parental consent prior to 
release of identified records of a toddler receiving EIS to the DoD 
local school in order to allow the DoDEA school to meet child-find 
requirements.
    (iv) The EDIS service coordinator shall initiate a pre-transition 
meeting with the CSC, and shall provide the toddler's early intervention 
assessment reports, IFSP, and relevant supporting documentation. The 
parent shall receive reasonable notice of the pre-transition meeting, 
shall receive copies of any documents provided to the CSC, and shall 
have the right to participate in and provide input to the pre-transition 
meeting.
    (v) As soon as reasonably possible following receipt of notice of a 
toddler potentially transitioning to preschool, the local DoDEA school 
shall convene a CSC. The CSC and EDIS shall cooperate to obtain parental 
consent, in accordance with IDEA and this part, to conduct additional 
evaluations if necessary.
    (vi) Based on the information received from EDIS, the CSC, 
coordinating with EDIS, will determine at the pre-transition meeting 
whether:
    (A) No additional testing or observation is necessary to determine 
that the toddler is eligible for special education and related services, 
in which case the CSC shall develop an eligibility report based on the 
EDIS early intervention assessment reports, IFSP, supporting 
documentation and other information obtained at the pre-transition 
meeting, in accordance with paragraph (b) of this section; or
    (B) Additional testing or observation is necessary to determine 
whether the toddler is eligible for special education and related 
services, in which case the CSC shall develop an assessment plan to 
collect all required information necessary to determine eligibility for 
special education and obtain parental consent, in accordance with IDEA 
and this part, for evaluation in accordance with paragraph (b) of this 
section.
    (vii) In the event that the toddler is first referred to EDIS fewer 
than 90 days before the toddler's third birthday, EDIS and the DoDEA 
school shall work cooperatively in the evaluation

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process and shall develop a joint assessment plan to determine whether 
the toddler is eligible for EIS or special education.
    (A) EDIS shall complete its eligibility determination process and 
the development of an IFSP, if applicable.
    (B) The CSC shall determine eligibility for special education.
    (viii) Eligibility assessments shall be multidisciplinary and 
family-centered and shall incorporate the resources of the EDIS as 
necessary and appropriate.
    (ix) Upon completion of the evaluations, the CSC shall schedule an 
eligibility determination meeting at the local school, no later than 90 
days prior to the toddler's third birthday.
    (A) The parents shall receive reasonable notice of the eligibility 
determination meeting, shall receive copies of any documents provided to 
the CSC, and shall have the right to participate in and provide input to 
the meeting.
    (B) EDIS and the CSC shall cooperate to develop an eligibility 
determination report based upon all available data, including that 
provided by EDIS and the parents, in accordance with paragraph (b) of 
this section.
    (x) If the toddler is found eligible for special education and 
related services, the CSC shall develop an individualized education 
program (IEP) in accordance with paragraph (b) of this section, and must 
implement the IEP on or before the toddler's third birthday.
    (xi) If the toddler's third birthday occurs during the period June 
through August (the traditional summer vacation period for school 
systems), the CSC shall complete the eligibility determination process 
and the development of an IEP before the end of the school year 
preceding the toddler's third birthday. An IEP must be prepared to 
ensure that the toddler enters preschool services with an instructional 
program at the start of the new school year.
    (xii) The full transition of a toddler shall occur on the toddler's 
third birthday unless the IFSP team and the CSC determine that an 
extended transition is in the best interest of the toddler and family.
    (A) An extended transition may occur when:
    (1) The toddler's third birthday falls within the last 6 weeks of 
the school year;
    (2) The family is scheduled to have a permanent change of station 
(PCS) within 6 weeks after a toddler's third birthday; or
    (3) The toddler's third birthday occurs after the end of the school 
year and before October 1.
    (B) An extended transition may occur if the IFSP team and the CSC 
determine that extended EIS beyond the toddler's third birthday are 
necessary and appropriate, and if so, how long extended services will be 
provided.
    (1) The IFSP team, including the parents, may decide to continue 
services in accordance with the IFSP until the end of the school year, 
PCS date, or until the beginning of the next school year.
    (2) Extended services must be delivered in accordance with the 
toddler's IFSP, which shall be updated if the toddler's or family's 
needs change on or before the toddler's third birthday.
    (3) The CSC shall maintain in its records meeting minutes that 
reflect the decision for EDIS to provide an extended transition for the 
specified period.
    (4) Prior to the end of the extended transition period, the CSC 
shall meet to develop an IEP that shall identify all special education 
and related services that will begin at the end of the transition period 
and meet all requirements of the IDEA and this part, in accordance with 
paragraph (b) of this section.
    (C) The IFSP team and the CSC may jointly determine that the toddler 
should receive services in the special education preschool prior to the 
toddler's third birthday.
    (1) If only a portion of the child's services will be provided by 
the DoDEA school, the information shall be identified in the IFSP, which 
shall also specify responsibilities for service coordination and 
transition planning. The CSC shall develop an IEP that shall identify 
all services to be delivered at the school, in accordance with paragraph 
(b) of this section.
    (2) If all the toddler's services will be provided by the DoDEA 
school, the services will be delivered pursuant to

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an IEP developed in accordance with paragraph (b) of this section. 
Transition activities and other services under the IFSP will terminate 
with the toddler's entry into the special education preschool.
    (3) Early entry into preschool services should occur only in 
exceptional circumstances (e.g., to facilitate natural transitions).
    (xiii) In the case of a child who may not be eligible for DoDEA 
preschool special education services, with the approval of the parents, 
EDIS shall make reasonable efforts to convene a conference among EDIS, 
the family, and providers of other services for children who are not 
eligible for special education preschool services (e.g., community 
preschools) in order to explain the basis for this conclusion to the 
parents and obtain parental input.
    (8) Maintenance of records. (i) EDIS officials shall maintain all 
EIS records, in accordance with 32 CFR part 310.
    (ii) EIS records, including the IFSP and the documentation of 
services delivered in accordance with the IFSP, are educational records 
consistent with 32 CFR part 285 and shall not be placed in the child's 
medical record.
    (9) Procedural safeguards. (i) Parents of an infant or toddler who 
is eligible for EIS shall be afforded specific procedural safeguards 
that must include:
    (A) The right to confidentiality of personally identifiable 
information in accordance with 32 CFR part 310, including the right of a 
parent to receive written notice and give written consent to the 
exchange of information between the Department of Defense and outside 
agencies in accordance with Federal law and 32 CFR part 310 and 32 CFR 
part 285.
    (B) The opportunity to inspect and review records relating to 
screening, evaluations and assessments, eligibility determinations, 
development and implementation of IFSPs.
    (C) The right to determine whether they or other family members will 
accept or decline any EIS, and to decline such a service after first 
accepting it without jeopardizing the provision of other EIS.
    (D) The right to written parental consent.
    (1) Consent must be obtained before evaluation of the infant or 
toddler in accordance with this section.
    (2) Consent must be obtained before initiation of EIS in accordance 
with this section.
    (3) If consent is not given, EDIS shall make reasonable efforts to 
ensure that the parent:
    (i) Is fully aware of the nature of the evaluation and assessment or 
the services that would be available.
    (ii) Understands that the infant or toddler will not be able to 
receive the evaluation and assessment or services unless consent is 
given.
    (E) The right to prior written notice.
    (1) Prior written notice must be given to the parents of an infant 
or toddler entitled to EIS a reasonable time before EDIS proposes to 
initiate or change, or refuses to initiate or change the identification, 
evaluation, or placement of the infant or toddler, or the provision of 
appropriate EIS to the infant or toddler and any family member.
    (2) The notice must be in sufficient detail to inform the parents 
about:
    (i) The action that is being proposed or refused.
    (ii) The reasons for taking the action.
    (iii) Each of the procedural safeguards that are available in 
accordance with this section, including availability of mediation, 
administrative complaint procedures, and due process complaint 
procedures that are available for dispute resolution as described in 
paragraph (d) of this section, including descriptions of how to file a 
complaint and the applicable timelines.
    (3) The notice must be provided in language written for a general 
lay audience and in the native language of the parent or other mode of 
communication used by the parent, unless it is clearly not feasible to 
do so.
    (F) The right to timely administrative resolution of complaints.
    (G) The availability of dispute resolution with respect to any 
matter relating to the provision of EIS to an infant or toddler, through 
the administrative complaint, mediation and due process procedures 
described in paragraph (d) of this section, except the requirement to 
conduct a resolution

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meeting, in the event of a dispute between the Military Department 
concerned and the parents regarding EIS.
    (H) Any party aggrieved by the decision regarding a due process 
complaint filed in accordance with paragraph (d) of this section shall 
have the right to bring a civil action in a district court of the United 
States of competent jurisdiction without regard to the amount in 
controversy.
    (ii) During the pendency of any proceeding or action involving a 
complaint by the parent of an infant or toddler with a disability 
relating to the provision of EIS, unless the parent and EDIS otherwise 
agree, the infant or toddler shall continue to receive the appropriate 
EIS currently being provided under the most recent signed IFSP or, if 
applying for initial EIS services, shall receive the services not in 
dispute.
    (10) Mediation and due process procedures. Mediation and due process 
procedures, described in paragraph (d) of this section, except the 
requirement to conduct a resolution meeting, are applicable to early 
intervention when the Military Department concerned and the parents will 
be the parties in the dispute.
    (b) Procedures for the provision of educational programs and 
services for children with disabilities, ages 3 through 21 years, 
inclusive--(1) Parent involvement and general provisions. (i) The CSC 
shall take reasonable steps to provide for the participation of the 
parent(s) in the special education program of his or her child. School 
officials shall use devices or hire interpreters or other intermediaries 
who might be necessary to foster effective communications between the 
school and the parent about the child. Special education parental rights 
and responsibilities will be provided in the parent's native language, 
unless it is clearly not feasible to do so, e.g., low incidence language 
or not a written language.
    (ii) The CSC shall afford the child's parents the opportunity to 
participate in CSC meetings to determine their child's initial or 
continuing eligibility for special education and related services, to 
prepare or change the child's IEP, or to determine or change the child's 
placement.
    (iii) No child shall be required to obtain a prescription for a 
substance covered by the Controlled Substances Act, as amended, 21 
U.S.C. 801 et seq. as a condition of attending school, receiving an 
evaluation, or receiving services.
    (iv) For meetings described in this section, the parent of a child 
with a disability and the DoDEA school officials may agree to use 
alternative means of meeting participation, such as video conferences 
and conference calls.
    (2) Identification and referral. (i) DoDEA shall:
    (A) Engage in child-find activities to locate, identify, and screen 
all children who are entitled to enroll in DDESS in accordance with DoD 
Instruction 1342.26, ``Eligibility Requirements for Minor Dependents to 
Attend Department of Defense Domestic Dependent Elementary and Secondary 
Schools (DDESS)'' (available at http://www.dtic.mil/whs/directives/
corres/pdf/134226p.pdf) or in DoDDS in accordance with DoDEA Regulation 
1342.13, ``Eligibility Requirements for Education of Elementary and 
Secondary School-Age Dependents in Overseas Areas'' (available at http:/
/www.dodea.edu/foia/iod/pdf/1342--13.pdf) who may require special 
education and related services.
    (B) Cooperate with the Military Departments to conduct ongoing 
child-find activities and periodically publish any information, 
guidelines, and directions on child-find activities for eligible 
children with disabilities, ages 3 through 21 years, inclusive.
    (C) Conduct the following activities to determine if children may 
need special education and related services:
    (1) Review school records for information about student performance 
on system-wide testing and other basic skills tests in the areas of 
reading and language arts and mathematics.
    (2) Review school health data such as reports of hearing, vision, 
speech, or language tests and reports from healthcare personnel about 
the health status of a child. For children with disabilities, any health 
records or other information that tends to identify a child as a person 
with a disability must be maintained in confidential files that are not 
co-mingled with other records

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and that are available only to essential staff for the purpose of 
providing effective education and services to the child.
    (3) Review school discipline records and maintain the 
confidentiality of such records and any information that tends to 
identify a child as a person with a disability.
    (4) Participate in transition activities of children receiving EIS 
who may require special education preschool services.
    (ii) DoDEA school system officials, related service providers, or 
others who suspect that a child has a possible disabling condition shall 
submit a child-find referral to the CSC containing, at a minimum, the 
name and contact information for the child and the reason for the 
referral.
    (iii) The screening of a student by a teacher or specialist to 
determine appropriate instructional strategies for curriculum 
implementation shall not be considered to be an evaluation for 
eligibility for special education and related services and does not 
require informed consent.
    (3) Incoming students. The DoDEA school will take the following 
actions, in consultation with the parent, when a child transfers to a 
DoDEA school with an active IEP:
    (i) If the current IEP is from a non-DoDEA school:
    (A) Promptly obtain the child's educational records including 
information regarding assessment, eligibility, and provision of special 
education and related services from the previous school.
    (B) Provide FAPE, including services comparable (i.e., similar or 
equivalent) to those described in the incoming IEP, which could include 
extended school year services, in consultation with the parents, until 
the CSC:
    (1) Conducts an evaluation, if determined necessary by such agency.
    (2) Develops, adopts, and implements a new IEP, if appropriate, in 
accordance with the requirements of the IDEA and this part within 30 
school days of receipt of the IEP.
    (ii) If the current IEP is from a DoDEA school, the new school must 
provide the child a FAPE, including services comparable to those 
described in the incoming IEP, until the new school either:
    (A) Adopts the child's IEP from the previous DoDEA school; or
    (B) Develops, adopts, and implements a new IEP that meets the 
requirements of the IDEA and this part within 30 school days of receipt 
of the incoming IEP.
    (iii) Coordinate assessments of children with disabilities who 
transfer with the child's previous school as quickly as possible to 
facilitate prompt completion of full evaluations.
    (4) Referral by a parent. A parent may submit a request for an 
evaluation if they suspect their child has a disability. The CSC shall 
ensure any such request is placed in writing and signed by the 
requesting parent and shall, within 15 school days, review the request 
and any information provided by the parents regarding their concerns, 
confer with the child's teachers, and gather information related to the 
educational concerns. Following a review of the information, the CSC 
shall:
    (i) Convene a conference among the parents, teachers, and one or 
more other members of the CSC to discuss the educational concerns and 
document their agreements. Following the discussion, the parents may 
agree that:
    (A) The child's needs are not indicative of a suspected disability 
and other supports and accommodations will be pursued;
    (B) Additional information is necessary and a pre-referral process 
will be initiated; or
    (C) Information from the conference will be forwarded to the CSC for 
action on the parent's request for an evaluation.
    (ii) Within 10 school days of receipt of information from the 
conference regarding the parents' request for evaluation, agree to 
initiate the preparation of an assessment plan for a full and 
comprehensive educational evaluation or provide written notice to the 
parent denying the formal evaluation.
    (5) Referral by a teacher. (i) Prior to referring a child who is 
struggling academically or behaviorally to the CSC for assessment and 
evaluation and development of an IEP, the teacher shall

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identify the child's areas of specific instructional need and target 
instructional interventions to those needs using scientific, research-
based interventions as soon as the areas of need become apparent.
    (ii) If the area of specific instructional need is not resolved, the 
teacher shall initiate the pre-referral process involving other members 
of the school staff.
    (iii) If interventions conducted during pre-referral fail to resolve 
the area of specific instructional need, the teacher shall submit a 
formal referral to the CSC.
    (6) Assessment and evaluation. (i) A full and comprehensive 
evaluation of educational needs shall be conducted prior to eligibility 
determination and before an IEP is developed or placement is made in a 
special education program, subject to the provisions for incoming 
students transferring to a DoDEA school as set forth in paragraph (b)(3) 
of this section. When the school determines that a child should be 
evaluated for a suspected disability, the school will:
    (A) Issue a prior written notice to the parents of the school's 
intention to evaluate and a description of the evaluation in accordance 
with paragraph (b)(19) of this section.
    (B) Provide parents notice of procedural safeguards.
    (C) Request that the parent execute a written consent for the 
evaluation in accordance with paragraph (b)(17) of this section.
    (D) Make reasonable efforts to obtain the informed consent from the 
parent for an initial evaluation to determine whether the child is a 
child with a disability.
    (ii) The CSC shall ensure that the following elements are included 
in a full and comprehensive assessment and evaluation of a child:
    (A) Screening of visual and auditory acuity.
    (B) Review of existing school educational and health records.
    (C) Observation in an educational environment.
    (D) A plan to assess the type and extent of the disability. A child 
shall be assessed in all areas related to the suspected disability. The 
assessment plan shall include, as appropriate:
    (1) An assessment of the nature and level of communication and the 
level of functioning academically, intellectually, emotionally, 
socially, and in the family.
    (2) An assessment of physical status including perceptual and motor 
abilities.
    (3) An assessment of the need for transition services for students 
16 years and older.
    (iii) The CSC shall involve the parents in the assessment process in 
order to obtain information about the child's strengths and needs and 
family concerns.
    (iv) The CSC, where possible, shall conduct the evaluations in the 
geographic area where the child resides, and shall use all locally 
available community, medical, and school resources, including qualified 
examiners employed by the Military Departments, to accomplish the 
assessment and evaluation. At least one specialist with knowledge in 
each area of the suspected disability shall be a member of the 
multidisciplinary assessment team.
    (v) The CSC must obtain parental consent, in accordance with IDEA 
and this part, before conducting an evaluation. The parent shall not be 
required to give consent for an evaluation without first being informed 
of the specific evaluation procedures that the school proposes to 
conduct.
    (vi) The evaluation must be completed by the school within 45 school 
days following the receipt of the parent's written consent to evaluate 
in accordance with the school's assessment plan.
    (vii) The eligibility determination meeting must be conducted within 
10 school days after completion of the school's formal evaluation.
    (viii) All DoD elements including the CSC and related services 
providers shall:
    (A) Use a variety of assessment tools and strategies to gather 
relevant functional, developmental, and academic information, including 
information provided by the parent, which may assist in determining:
    (1) Whether the child has a disability.

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    (2) The content of the child's IEP, including information related to 
enabling the child to be involved and progress in the general education 
curriculum or, for preschool children, to participate in appropriate 
activities.
    (B) Not use any single measure or assessment as the sole criterion 
for determining whether a child has a disability or determining an 
appropriate educational program for the child.
    (C) Use technically sound instruments that may assess the relative 
contribution of cognitive and behavioral factors, in addition to 
physical or developmental factors.
    (ix) The CSC and DoD related services providers shall ensure that 
assessment materials and evaluation procedures are:
    (A) Selected and administered so as not to be racially or culturally 
discriminatory.
    (B) Provided in the child's native language or other mode of 
communication and in the form most likely to yield accurate information 
on what the child knows and can do academically, developmentally, and 
functionally, unless it is clearly not feasible to so provide and 
administer.
    (C) Selected and administered to assess the extent to which the 
child with limited English proficiency has a disability and needs 
special education, rather than measuring the child's English language 
skills.
    (D) Validated for the specific purpose for which they are used or 
intended to be used.
    (E) Administered by trained and knowledgeable personnel in 
compliance with the instructions of the testing instrument.
    (F) Selected to assess specific areas of educational needs and 
strengths and not merely to provide a single general intelligence 
quotient.
    (G) Administered to a child with impaired sensory, motor, or 
communication skills so that the results accurately reflect a child's 
aptitude or achievement level or other factors the test purports to 
measure, rather than reflecting the child's impaired sensory, manual, or 
speaking skills.
    (x) As part of an initial evaluation and as part of any 
reevaluation, the CSC shall review existing evaluation data on the 
child, including:
    (A) The child's educational records.
    (B) Evaluations and information provided by the parents of the 
child.
    (C) Current classroom-based, local, or system-wide assessments and 
classroom observations.
    (D) Observations by teachers and related services providers.
    (xi) On the basis of that review and input from the child`s parents, 
identify what additional data, if any, are needed to determine:
    (A) Whether the child has a particular category of disability or, in 
the case of a reevaluation of a child, whether the child continues to 
have such a disability.
    (B) The present levels of academic achievement and related 
developmental and functional needs of the child.
    (C) Whether the child needs special education and related services 
or, in the case of a reevaluation of a child, whether the child 
continues to need special education and related services.
    (D) Whether any additions or modifications to the special education 
and related services are needed to enable the child to meet the 
measurable annual goals set out in the IEP and to participate, as 
appropriate, in the general education curriculum.
    (xii) The CSC may conduct its review of existing evaluation data 
without a meeting.
    (xiii) The CSC shall administer tests and other evaluation materials 
as needed to produce the data identified in paragraph (b)(6)(ii) and 
(xi) of this section.
    (7) Eligibility. (i) The CSC shall:
    (A) Require that the full comprehensive evaluation of a child is 
accomplished by a multidisciplinary team including specialists with 
knowledge in each area of the suspected disability and shall receive 
input from the child's parent(s).
    (B) Convene a meeting to determine eligibility of a child for 
special education and related services not later than 10 school days 
after the child has been assessed by the school.
    (C) Afford the child's parents the opportunity to participate in the 
CSC eligibility meeting.

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    (D) Determine whether the child is a child with a disability as 
defined by the IDEA and this part, and the educational needs of the 
child.
    (E) Issue a written eligibility determination report, including a 
synthesis of evaluation findings, that documents a child's primary 
eligibility in one of the disability categories described in paragraph 
(g) of this section, providing a copy of the eligibility determination 
report to the parent.
    (F) Determine that a child does NOT have a disability if the 
determinant factor is:
    (1) Lack of appropriate instruction in essential components of 
reading;
    (2) Lack of instruction in mathematics; or
    (3) Limited English proficiency.
    (ii) The CSC shall reevaluate the eligibility of a child with a 
disability every 3 years, or more frequently, if the child's educational 
or related services needs, including improved academic achievement and 
functional performance, warrant a reevaluation. School officials shall 
not reevaluate more often than once a year, unless the parents and the 
school officials agree otherwise.
    (A) The scope and type of the reevaluation shall be determined 
individually based on a child's performance, behavior, and needs during 
the reevaluation and the review of existing data.
    (B) If the CSC determines that no additional data are needed to 
determine whether the child continues to be a child with a disability, 
the CSC shall, in accordance with paragraph (b)(19) of this section, 
provide prior written notice to the child's parents of:
    (1) The determination that no additional assessment data are needed 
and the reasons for their determination.
    (2) The right of the parents to request an assessment to determine 
whether the child continues to have a disability and to determine the 
child's educational needs.
    (C) The CSC is not required to conduct assessments for the purposes 
described in paragraph Sec. 57.6(b)(7)(ii)(B), unless requested to do 
so by the child's parents.
    (iii) The CSC shall evaluate a child in accordance with paragraph 
(b)(7)(ii) of this section before determining that the child no longer 
has a disability.
    (iv) The CSC is not required to evaluate a child before the 
termination of the child's eligibility due to graduation from secondary 
school with a regular diploma, or due to exceeding the age of 
eligibility for FAPE.
    (v) When a child's eligibility has terminated due to graduation or 
exceeding the age of eligibility, the DoDEA school must provide the 
child, or the parent if the child has not yet reached the age of 
majority or is otherwise incapable of providing informed consent, with a 
summary of the child's academic achievement and functional performance.
    (A) The summary of performance must be completed during the final 
year of a child's high school education.
    (B) The summary must include:
    (1) Child's demographics.
    (2) Child's postsecondary goal.
    (3) Summary of performance in the areas of academic, cognitive, and 
functional levels of performance to include the child's present level of 
performance, and the accommodations, modifications, and assistive 
technology that were essential in high school to assist the student in 
achieving maximum progress.
    (4) Recommendations on how to assist the child in meeting the 
child's post-secondary goals.
    (8) IEP--(i) IEP development. (A) DoDEA shall ensure that the CSC 
develops and implements an IEP to provide FAPE for each child with a 
disability who requires special education and related services as 
determined by the CSC. An IEP shall be in effect at the beginning of 
each school year for each child with a disability eligible for special 
education and related services under the IDEA and this part.
    (B) In developing the child's IEP, the CSC shall consider:
    (1) The strengths of the child.
    (2) The concerns of the parents for enhancing the education of their 
child.
    (3) The results of the initial evaluation or most recent evaluation 
of the child.
    (4) The academic, developmental, and functional needs of the child.
    (ii) IEP development meeting. The CSC shall convene a meeting to 
develop the

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IEP of a child with a disability. The meeting shall:
    (A) Be scheduled within 10 school days from the eligibility meeting 
following a determination by the CSC that the child is eligible for 
special education and related services.
    (B) Include as participants:
    (1) An administrator or school representative other than the child's 
teacher who is qualified to provide or supervise the provision of 
special education and is knowledgeable about the general education 
curriculum and available resources.
    (2) Not less than one general education teacher of the child (if the 
child is, or may be, participating in the general education 
environment).
    (3) Not less than one special education teacher or, where 
appropriate, not less than one special education provider of such child.
    (4) The child's parents.
    (5) An EIS coordinator or other representative of EIS, if the child 
is transitioning from EIS.
    (6) The child, if appropriate.
    (7) A representative of the evaluation team who is knowledgeable 
about the evaluation procedures used and can interpret the instructional 
implications of the results of the evaluation.
    (8) Other individuals invited at the discretion of the parents or 
school who have knowledge or special expertise regarding the child or 
the IDEA, including related services personnel, as appropriate.
    (iii) IEP content. The CSC shall include in the IEP:
    (A) A statement of the child's present levels of academic 
achievement and functional performance including:
    (1) How the child's disability affects involvement and progress in 
the general education curriculum, or
    (2) For preschoolers, how the disability affects participation in 
appropriate activities.
    (3) For children with disabilities who take an alternate assessment, 
a description of short-term objectives.
    (B) A statement of measurable annual goals including academic and 
functional goals designed to meet:
    (1) The child's needs that result from the disability to enable the 
child to be involved in and make progress in the general education 
curriculum.
    (2) Each of the child's other educational needs resulting from his 
or her disability.
    (C) A description of how the child's progress toward meeting the 
annual goals shall be measured, and when periodic progress reports will 
be provided to the parents.
    (D) A statement of the special education and related services, 
supplementary aids and services (which are based on peer-reviewed 
research to the extent practicable and shall be provided to the child or 
on behalf of the child), and a statement of the program modifications or 
supports for school personnel that shall be provided for the child to:
    (1) Advance appropriately toward attaining the annual goals.
    (2) Be involved in and make progress in the general education 
curriculum and participate in extracurricular and other non-academic 
activities.
    (3) Be educated and participate with other children who may or may 
not have disabilities.
    (E) An explanation of the extent, if any, to which the child will 
not participate with non-disabled children in the regular class and in 
non-academic activities.
    (F) A statement of any individualized appropriate accommodations 
necessary to measure the child's academic achievement and functional 
performance on system-wide or district-wide assessments. If the CSC 
determines that the child shall take an alternate assessment of a 
particular system-wide or district-wide assessment of student 
achievement (or part of an assessment), a statement of why:
    (1) The child cannot participate in the regular assessment.
    (2) The particular alternate assessment selected is appropriate for 
the child.
    (G) Consideration of the following special factors:
    (1) Assistive technology devices and services for all children.
    (2) Language needs for the child with limited English proficiency.
    (3) Instruction in Braille and the use of Braille for a child who is 
blind or

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visually impaired, unless the CSC determines, after an evaluation of the 
child's reading and writing skills, needs, and appropriate reading and 
writing media (including an evaluation of the child's future needs for 
instruction in Braille or the use of Braille) that instruction in 
Braille or the use of Braille is not appropriate for the child.
    (4) Interventions, strategies, and supports including positive 
behavioral interventions and supports to address behavior for a child 
whose behavior impedes his or her learning or that of others.
    (5) Language and communication needs, and in the case of a child who 
is deaf or hard of hearing, opportunities for direct communications with 
peers and professional personnel in the child's language and 
communication mode, academic level, and full range of needs, including 
opportunities for direct instruction in the child's communication mode.
    (H) A statement of the amount of time that each service shall be 
provided to the child, including the date for beginning of services and 
the anticipated frequency, number of required related services sessions 
to be provided by EDIS, location and duration of those services 
(including adjusted school day or an extended school year), and 
modifications.
    (I) A statement of special transportation requirements, if any.
    (J) Physical education services, specially designed if necessary, 
shall be made available to every child with a disability receiving a 
FAPE. Each child with a disability must be afforded the opportunity to 
participate in the regular physical education program available to non-
disabled children unless the child is enrolled full-time in a separate 
facility or needs specially designed physical education, as prescribed 
in the child's IEP.
    (iv) Transition services. (A) Beginning not later than the first IEP 
to be in effect when the child turns 16, or younger if determined 
appropriate by the CSC, and updated annually, thereafter, the IEP must 
include:
    (1) Appropriate measurable postsecondary goals based on age-
appropriate transition assessments related to training, education, 
employment and, where appropriate, independent living skills.
    (2) The transition services, including courses of study, needed to 
assist the child in reaching postsecondary goals.
    (B) Beginning at least 1 year before the child reaches the age of 
majority (18 years of age), except for a child with a disability who has 
been determined to be incompetent in accordance with Federal or State 
law, a statement that the child has been informed of those rights that 
transfer to him or her in accordance with this part.
    (9) Implementation of the IEP. (i) The CSC shall ensure that all IEP 
provisions developed for any child entitled to an education by the DoDEA 
school system are fully implemented.
    (ii) The CSC shall:
    (A) Seek to obtain parental agreement and signature on the IEP 
before delivery of special education and related services in accordance 
with that IEP is begun.
    (B) Provide a copy of the child's IEP to the parents.
    (C) Ensure that the IEP is implemented as soon as possible following 
the IEP development meeting.
    (D) Ensure the provision of special education and related services, 
in accordance with the IEP.
    (E) Ensure that the child's IEP is accessible to each general 
education teacher, special education teacher, related service provider, 
and any other service provider who is responsible for its 
implementation, and that each teacher and provider is informed of:
    (1) His or her specific responsibilities related to implementing the 
child's IEP.
    (2) The specific accommodations, modifications, and supports that 
must be provided for the child in accordance with the IEP.
    (F) Review the IEP for each child periodically and at least annually 
in a CSC meeting to determine whether the child has been progressing 
toward the annual goals.
    (G) Revise the IEP, as appropriate, and address:
    (1) Any lack of progress toward the annual goals and in the general 
education curriculum, where appropriate.
    (2) The results of any reevaluation.

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    (3) Information about the child provided by the parents, teachers, 
or related service providers.
    (4) The child's needs.
    (10) Placement and Least Restrictive Environment (LRE). (i) The CSC 
shall determine the educational placement of a child with a disability.
    (ii) The educational placement decision for a child with a 
disability shall be:
    (A) Determined at least annually.
    (B) Made in conformity with the child's IEP.
    (C) Made in conformity with the requirements of IDEA and this part 
for LRE.
    (1) A child with a disability shall be educated, to the maximum 
extent appropriate, with children who are not disabled.
    (2) A child with a disability shall not be removed from education in 
age-appropriate general education classrooms solely because of needed 
modifications in the general education classroom.
    (3) As appropriate, the CSC shall make provisions for supplementary 
services to be provided in conjunction with general education placement.
    (4) Special classes, separate schooling, or other removal of a child 
with a disability from the general education environment shall occur 
only when the nature or severity of the disability is such that 
education in general education classes with the use of supplementary 
aids and services cannot be achieved satisfactorily.
    (5) In providing or arranging for the provision of non-academic and 
extracurricular services and activities, including meals, recess 
periods, assemblies, and study trips, the CSC shall ensure that a child 
with a disability participates with non-disabled children in those 
services and activities to the maximum extent appropriate to the needs 
of that child.
    (iv) In determining the LRE for an individual student, the CSC 
shall:
    (A) Consider the needs of the individual child as well as any 
potential harmful effect on the child or the quality of services that he 
or she needs.
    (B) Make a continuum of placement options available to meet the 
needs of children with disabilities for special education and related 
services. The options on this continuum include the general education 
classroom, special classes (a self-contained classroom in the school), 
home bound instruction, or instruction in hospitals or institutions.
    (v) When special schools and institutions may be appropriate, the 
CSC shall consider such placement options in coordination with the Area 
Special Education Office.
    (vi) In the case of a disciplinary placement, school officials shall 
follow the procedures set forth in paragraph (b)(13) of this section.
    (11) Extended School Year (ESY) services. ESY services must be 
provided only if a child's IEP team determines that the services are 
necessary for the provision of FAPE to the child. DoDEA may not:
    (i) Limit ESY services to particular categories of disability; or
    (ii) Unilaterally limit the type, amount, or duration of ESY 
services.
    (12) Discipline--(i) School discipline. All regular disciplinary 
rules and procedures applicable to children attending a DoDEA school 
shall apply to children with disabilities who violate school rules and 
regulations or disrupt regular classroom activities, except that:
    (A) A manifestation determination must be conducted for discipline 
proposed for children with disabilities in accordance with DoDEA 
disciplinary rules and regulations and paragraph (b)(12)(v) of this 
section, and
    (B) The child subject to disciplinary removal shall continue to 
receive educational services in accordance with DoD disciplinary rules 
and regulations and paragraph (b)(12)(iv) of this section.
    (ii) Change of placement. (A) It is a change of placement if a child 
is removed from his or her current placement for more than 10 
consecutive school days or for a series of removals that cumulates to 
more than 10 school days during the school year that meets the criteria 
of paragraph (b)(12)(ii)(C) of this section.
    (B) It is not a change of placement if a child is removed from his 
or her current academic placement for not more than 10 consecutive or 
cumulative days in a school year for one incident of misconduct. A child 
can be removed

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from the current educational placement for separate incidents of 
misconduct in the same school year (as long as those removals do not 
constitute a change of placement under IDEA) to the extent such a 
disciplinary alternative is applied to children without disabilities.
    (C) If a child has been removed from his or her current placement 
for more than 10 days in a school year, but not more than 10 consecutive 
school days, the CSC shall determine whether the child has been subject 
to a series of removals that constitute a pattern. The determination is 
made on a case-by-case basis and is subject to review by a hearing 
officer in accordance with the provisions of paragraph (d)(5) of this 
section. The CSC will base its determination on whether the child has 
been subjected to a series of removals that constitute a pattern by 
examining whether:
    (1) The child's behavior is substantially similar to his or her 
behavior in previous incidents that resulted in the series of removals, 
and;
    (2) Additional factors such as the length of each removal, the total 
amount of time the child has been removed, and the proximity of the 
removals to one another.
    (D) On the date the decision is made to remove a child with a 
disability because of misconduct, when the removal would change the 
child's placement, the school must notify the parents of that decision 
and provide the parents the procedural safeguards notice described in 
paragraph (b)(19) of this section.
    (iii) Alternate educational setting determination, period of 
removal. School personnel may remove a child with a disability for 
misconduct from his or her current placement:
    (A) To an appropriate interim alternate educational setting (AES), 
another setting, or suspension for not more than 10 consecutive school 
days to the extent those alternatives are applied to children without 
disabilities (for example, removing the child from the classroom to the 
school library, to a different classroom, or to the child's home), and 
for additional removals of not more than 10 consecutive school days in 
that same school year for separate incidents of misconduct as long as 
the CSC has determined that those removals do not constitute a pattern 
in accordance with paragraphs (b)(12)(ii) and (b)(12)(iv)(C) of this 
section; or
    (B) To an AES determined by the CSC for not more than 45 school 
days, without regard to whether the behavior is determined to be a 
manifestation of the child's disability, if the child, at school, on 
school-provided transportation, on school premises, or at a school-
sponsored event:
    (1) Carries a weapon or possesses a weapon;
    (2) Knowingly possesses or uses illegal drugs or sells or solicits 
the sale of a controlled substance; or
    (3) Has inflicted serious bodily injury upon another person; or
    (C) To an AES determined by the CSC, another setting or suspension 
for more than 10 school days, where the behavior giving rise to the 
violation was determined by the CSC not to be a manifestation of the 
child's disability, in accordance with (b)(12)(v) of this section.
    (D) After an expedited hearing if school personnel believe that 
returning the child to his or her current educational placement is 
substantially likely to cause injury to the child or to others.
    (iv) Required services during removal. (A) If a child with a 
disability is removed from his or her placement for 10 cumulative school 
days or less in a school year, the school is required only to provide 
services comparable to the services it provides to a child without 
disabilities who is similarly removed.
    (B) If a child with a disability is removed from his or her 
placement for more than 10 school days, where the behavior that gave 
rise to the violation of the school code is determined in accordance 
with paragraph (b)(12)(v) of this section not to be a manifestation of 
the child's disability, or who is removed under paragraph 
(b)(12)(iii)(B) of this section irrespective of whether the behavior is 
determined to be a manifestation of the child's disability, the school 
must:
    (1) Continue to provide the child with the educational services as 
identified by the child's IEP as a FAPE so as to

[[Page 347]]

enable the child to continue participating in the general education 
curriculum, although in another setting, and to progress toward meeting 
the goals set out in the child's IEP.
    (2) Provide, as appropriate, a functional behavioral assessment and 
behavioral intervention services and modifications designed to address 
the behavior violation so that it does not recur.
    (C) If a child with a disability has been removed for more than 10 
cumulative school days and the current removal is for 10 consecutive 
school days or less, then the CSC must determine whether the pattern of 
removals constitutes a change of placement in accordance with paragraph 
(b)(12)(ii) of this section.
    (1) If the CSC determines the pattern of removals is NOT a change of 
placement, then the CSC must determine the extent to which services are 
needed to enable the child to continue participating in the general 
education curriculum, although in another setting, and to progress 
toward meeting the goals set out in the child's IEP.
    (2) If the CSC determines that the pattern of removals IS a change 
of placement, then the CSC must conduct a manifestation determination.
    (v) Manifestation determination and subsequent action by CSC and 
school personnel. (A) A principal must give the notice required and 
convene a manifestation determination meeting with the CSC within 10 
school days of recommending, in accordance with DoDEA Regulation 2051.1, 
a disciplinary action that would remove a child with disabilities for:
    (1) More than 10 consecutive school days, or
    (2) A period in excess of 10 cumulative school days when the child 
has been subjected to a series of removals that constitute a pattern.
    (B) The manifestation CSC will review all relevant information in 
the child's file (including the IEP, any teacher observations, and any 
information provided by the sponsor or parent) and determine whether the 
misconduct was a manifestation of the child's disability.
    (1) The misconduct must be determined to be a manifestation of the 
child's disability if it is determined the misconduct:
    (i) Was caused by the child's disability or had a direct and 
substantial relationship to the child's disability; or
    (ii) Was the direct result of the school's failure to implement the 
IEP.
    (2) If the determination is made that the misconduct was a 
manifestation of the child's disability, the CSC must:
    (i) Conduct a functional behavioral assessment, unless the school 
conducted a functional behavioral assessment before the behavior that 
resulted in the change of placement occurred, and implement a behavioral 
intervention plan for the child; or
    (ii) Review any existing behavioral intervention or disciplinary 
plan and modify it, as necessary, to address the behavior; and
    (iii) Revise the student's IEP or placement and delivery system to 
address the school's failure to implement the IEP and to ensure that the 
student receives services in accordance with the IEP.
    (3) Unless the parent and school agree to a change of placement as 
part of the modification of the behavioral intervention plan, the CSC 
must return the child to the placement from which the child was removed:
    (i) Not later than the end of 10 days of removal; or
    (ii) Not later than the end of 45 consecutive school days, if the 
student committed a weapon or drug offense or caused serious bodily 
injury for which the student was removed to an AES.
    (4) If the determination is made that the misconduct in question was 
the direct result of the school's failure to implement the IEP, the 
school must take immediate steps to remedy those deficiencies.
    (5) If the determination is made that the behavior is NOT a 
manifestation of the child's disability, school personnel may apply the 
relevant disciplinary procedures in the same manner and for the same 
duration as the procedures that would be applied to children without 
disabilities, and must:
    (i) Forward the case and a recommended course of action to the 
school principal, who may then refer the case to a disciplinary 
committee for processing.

[[Page 348]]

    (ii) Reconvene the CSC following a disciplinary decision that would 
change the student's placement, to identify, if appropriate, an 
educational setting and delivery system to ensure the child receives 
services in accordance with the IEP.
    (vi) Appeals of school decision regarding placement or manifestation 
determination. (A) The parent of a child with a disability who disagrees 
with any decision regarding placement or manifestation determination, or 
a school that believes maintaining the current placement of the child is 
substantially likely to result in injury to the child or others, may 
appeal the decision by requesting an expedited due process hearing 
before a hearing officer by filing a petition in accordance with 
paragraph (d)(5) of this section.
    (B) A hearing officer, appointed in accordance with paragraph (d) of 
this section, hears and makes a determination regarding an appeal. In 
making the determination the hearing officer may:
    (1) Return the child with a disability to the placement from which 
the child was removed if the hearing officer determines that the removal 
was a violation of the authority of school personnel in accordance with 
this part or that the child's behavior was a manifestation of the 
child's disability; or
    (2) Order a change of placement of the child with a disability to an 
appropriate interim AES for not more than 45 school days if the hearing 
officer determines that maintaining the child's current placement is 
substantially likely to result in injury to the child or to others.
    (C) At the end of the placement in the appropriate AES, the 
procedures for placement in an AES may be repeated, with the consent of 
the Area Director, if the school believes that returning the child to 
the original placement is substantially likely to result in injury to 
the child or to others.
    (D) When an appeal has been made by either the parent or the school, 
the child must remain in the interim AES pending the decision of the 
hearing officer or until the expiration of the specified time period, 
whichever occurs first, unless the parent and the DoDEA school system 
agree otherwise.
    (13) Children not yet determined eligible for special education. (i) 
A child who has not been determined to be eligible for special education 
and related services and who is subject to discipline may assert any of 
the protections provided for in paragraph (b)(19) of this section if the 
school had knowledge that the child was a child with a disability before 
the behavior that precipitated the disciplinary action occurred.
    (ii) DoDEA shall be deemed to have knowledge that a child is a child 
with a disability if, before the behavior that precipitated the 
disciplinary action occurred:
    (A) The parent of the child expressed concern in writing to a 
teacher of the child, the school principal or assistant principal, or 
the school special education coordinator that the child was in need of 
special education and related services;
    (B) The child presented an active IEP from another school;
    (C) The parent of the child requested an evaluation of the child; or
    (D) The teacher of the child or other school personnel expressed 
specific concerns about a pattern of behavior demonstrated by the child 
directly to the principal or assistant principal, the special education 
coordinator, or to another teacher of the child.
    (iii) A school is deemed NOT to have knowledge that a child is a 
child with a disability if:
    (A) The parent of the child has not allowed an evaluation of the 
child or the parent has revoked consent, in writing, to the delivery of 
the child's special education and related services, in accordance with 
this part; or
    (B) The child has been evaluated and determined not to be a child 
with a disability.
    (iv) Conditions that apply if there is no basis of knowledge that 
the child is a child with a disability.
    (A) If a school has no basis of knowledge that a child is a child 
with a disability prior to taking disciplinary measures against the 
child, the child may be subjected to the disciplinary measures applied 
to non-disabled children who engage in comparable behaviors in 
accordance with paragraph (b)(12)(i) of this section.

[[Page 349]]

    (B) If a request is made for an evaluation of a child during the 
time period when the child is subjected to disciplinary measures:
    (1) The evaluation must be expedited.
    (2) Until the evaluation is completed, the child remains in his or 
her then current educational placement, which can include suspension or 
expulsion without educational services.
    (v) If the child is determined to be a child with a disability, 
taking into consideration information from the evaluation conducted by 
the agency and information provided by the parents, the school must 
provide special education and related services in accordance with an 
IEP.
    (14) Referral to and action by law enforcement and judicial 
authorities--(i) Rule of construction. Nothing prohibits a school from 
reporting a crime threatened or committed by a child with a disability 
to appropriate authorities, or prevents military, host-nation, or State 
law enforcement and judicial authorities from exercising their 
responsibilities with regard to the application of Federal, host-nation, 
and State law to crimes committed or threatened by a child with a 
disability.
    (ii) Transmittal of records. An agency reporting a crime in 
accordance with this paragraph may transmit copies of the child's 
special education and disciplinary records only to the extent that the 
transmission is in accordance with 32 CFR part 285.
    (15) Children with disabilities who are placed in a non-DoDEA school 
or facility pursuant to an IEP.
    (i) Children with disabilities who are eligible to receive a DoDEA 
school education, but are placed in a non-DoD school or facility by 
DoDEA because a FAPE cannot be provided by DoD, shall have all the 
rights of children with disabilities who are enrolled in a DoDEA school.
    (ii) A child with a disability may be placed at DoD expense in a 
non-DoD school or facility only if required by the IEP.
    (iii) DoDEA school officials shall initiate and conduct a meeting to 
develop an IEP for the child before placement. A representative of the 
non-DoD school or facility should attend the meeting. If the 
representative cannot attend, the DoDEA school officials shall 
communicate in other ways to facilitate participation including 
individual or conference telephone calls. A valid IEP must document the 
necessity of the placement in a non-DoD school or facility. The IEP 
must:
    (A) Be signed by an authorized DoDEA official before it becomes 
valid.
    (B) Include a determination that the DoDEA school system does not 
currently have and cannot reasonably create an educational program 
appropriate to meet the needs of the child with a disability.
    (C) Include a determination that the non-DoD school or facility and 
its educational program and related services conform to the requirements 
of this part.
    (iv) The DoD shall not be required to reimburse the costs of special 
education and related services if DoDEA made FAPE available in 
accordance with the requirements of the IDEA and a parent unilaterally 
places the child in a non-DoD school without the approval of DoDEA.
    (A) Reimbursement may be ordered by a hearing officer if he or she 
determines that DoDEA had not made FAPE available in a timely manner 
prior to enrollment in the non-DoDEA school and that the private 
placement is appropriate.
    (B) Reimbursement may be reduced or denied:
    (1) If, at the most recent CSC meeting that the parents attended 
prior to removal of the child from the DoDEA school, the parents did not 
inform the CSC that they were rejecting the placement proposed by the 
DoDEA school to provide FAPE to their child, including stating their 
concerns and their intent to enroll their child in non-DoD school at DoD 
expense.
    (2) If, at least 10 business days (including for this purpose any 
holidays that occur on a Monday through Friday) prior to the removal of 
the child from the DoDEA school, the parents did not give written notice 
to the school principal or CSC chairperson of the information described 
in paragraph (b)(15)(iv)(B)(1) of this section.
    (3) If, the CSC informed the parents of its intent to evaluate the 
child, using the notice requirement described

[[Page 350]]

in paragraph (b)(6)(i) and paragraph (b)(19) of this section, but the 
parents did not make the child available; or
    (4) Upon a hearing officer finding of unreasonableness with respect 
to actions taken by the parents.
    (C) Reimbursement may not be reduced or denied for failure to 
provide the required notice if:
    (1) The DoDEA school prevented the parent from providing notice;
    (2) The parents had not received notification of the requirement 
that the school provide prior written notice required by paragraph 
(b)(19) of this section;
    (3) Compliance would result in physical or emotional harm to the 
child; or
    (4) The parents cannot read and write in English.
    (16) Confidentiality of the records. The DoDEA school and EDIS 
officials shall maintain all student records in accordance with 32 CFR 
part 310.
    (17) Parental consent--(i) Consent requirements. The consent of a 
parent of a child with a disability or suspected of having a disability 
shall be obtained before:
    (A) Initiation of formal evaluation procedures to determine whether 
the child qualifies as a child with a disability and prior to conducting 
a reevaluation;
    (B) Initial provision of special education and related services.
    (ii) Consent for initial evaluation. If the parent of a child does 
not provide consent for an initial evaluation or fails to respond to a 
request for consent for an initial evaluation, then DoDEA may use the 
procedures described in paragraph (d) of this section to pursue an 
evaluation of a child suspected of having a disability.
    (A) Consent to evaluate shall not constitute consent for placement 
or receipt of special education and related services.
    (B) If a parent declines to give consent for evaluation, DoDEA shall 
not be in violation of the requirement to conduct child-find, the 
initial evaluation, or the duties to follow evaluation procedures or 
make an eligibility determination and write an IEP as prescribed in this 
section.
    (iii) Consent for reevaluation. The school must seek to obtain 
parental consent to conduct a reevaluation. If the parent does not 
provide consent or fails to respond to a request for consent for a 
reevaluation, then the school may conduct the reevaluation without 
parental consent if the school can demonstrate that it has made 
reasonable efforts to obtain parental consent and documented its 
efforts. The documentation must include a record of the school's 
attempts in areas such as:
    (A) Detailed records of telephone calls made or attempted and the 
results of those calls.
    (B) Copies of correspondence sent to the parents and any responses 
received.
    (C) Detailed records of visits made to the parents' home, place of 
employment or duty station, and the results of those visits.
    (iv) Consent for the initial provision of special education and 
related services. The school that is responsible for making a FAPE 
available to a child with a disability under this part must seek to 
obtain informed consent from the parent of such child before providing 
special education and related services to the child. If the parent 
refuses initial consent for services, the DoDEA school:
    (A) May not use the procedures described in paragraph (d) of this 
section (mediation and due process) to obtain agreement or a ruling that 
the special education and related services recommended by the child's 
CSC may be provided to the child without parental consent.
    (B) Shall not be considered to be in violation of the requirement to 
make a FAPE available to the child for its failure to provide those 
services to the child for which parental consent was requested.
    (C) Shall not be required to convene an IEP meeting or develop an 
IEP for the child.
    (18) Parent revocation of consent for continued special education 
and related services. (i) Parents may unilaterally withdraw their 
children from further receipt of all special education and related 
services by revoking their consent for the continued provision of 
special education and related services to their children.
    (ii) Parental revocation of consent must be in writing.

[[Page 351]]

    (iii) Upon receiving a written revocation of consent, the DoDEA 
school must cease the provision of special education and related 
services and must provide the parents prior written notice before 
ceasing the provision of services. The notice shall comply with the 
requirements of paragraph (b)(19) of this section and shall advise the 
parents:
    (A) Of any changes in educational placement and services that will 
result from the revocation of consent.
    (B) That the school will terminate special education and related 
services to the child on a specified date, which shall be within a 
reasonable time following the delivery of the written notice.
    (C) That DoDEA will not be considered to be in violation of the 
requirement to make FAPE available to the child because of the failure 
to provide the child with further special education and related 
services.
    (D) That the DoDEA school will not be deemed to have knowledge that 
the child is a child with a disability and the child may be disciplined 
as a general education student and will not be entitled to the IDEA 
discipline protections.
    (E) That the parents maintain the right to subsequently request an 
initial evaluation to determine if the child is a child with a 
disability who needs special education and related services and that 
their child will not receive special education and related services 
until eligibility has been determined.
    (F) That the DoDEA school will not challenge, through mediation or a 
due process hearing, the revocation of consent to the provision of 
special education or related services.
    (G) That while the school is not required to convene a CSC meeting 
or to develop an IEP for further provision of special education and 
related services, it is willing to convene a CSC meeting upon request of 
the parent prior to the date that service delivery ceases.
    (iv) Revocation of consent for a particular service:
    (A) Upon receiving a revocation of consent for a particular special 
education or related service, the DoDEA school must provide the parent 
prior written notice in accordance with the requirements of paragraph 
(b)(19) of this section.
    (B) If parents disagree with the provision of a particular special 
education or related service and the school members of the CSC and the 
parents agree that the child would be provided a FAPE if the child did 
not receive that service, the child's IEP may be modified to remove the 
service.
    (C) If the parent and the school members of the CSC disagree as to 
whether the child would be provided a FAPE if the child did not receive 
a particular service, the parent may use the mediation or due process 
procedures under this part to obtain a determination as to whether the 
service with which the parent disagrees is or is not appropriate to his 
or her child and whether it is necessary to FAPE, but the school may not 
cease the provision of a particular service.
    (19) Procedural safeguards--(i) Parental rights. Parents of 
children, ages 3 through 21 inclusive, with disabilities must be 
afforded procedural safeguards with respect to the provision of FAPE 
which shall include:
    (A) The right to confidentiality of personally identifiable 
information in accordance with Federal law and DoD regulations.
    (B) The right to examine records and to participate in meetings with 
respect to assessment, screening, eligibility determinations, and the 
development and implementation of the IEP.
    (C) The right to furnish or decline consent in accordance with this 
section.
    (D) The right to prior written notice when the school proposes to 
initiate or change, or refuses to initiate or change the identification, 
evaluation, educational placement, or provision of FAPE to a child with 
a disability.
    (1) The notice shall include:
    (i) A description of the action that is being proposed or refused.
    (ii) An explanation of why the agency proposes or refuses to take 
the action.
    (iii) A description of each evaluation procedure, assessment, 
record, or report used as a basis for the proposed or refused action.
    (iv) A description of the factors that were relevant to the agency's 
proposal or refusal.

[[Page 352]]

    (v) A description of any other options considered by the CSC and the 
reasons why those options were rejected.
    (vi) Each of the procedural safeguards that is available in 
accordance with the IDEA and this part.
    (vii) Sources for parents to contact to obtain assistance in 
understanding the provisions of this part.
    (viii) Dispute resolution procedures, including a description of 
mediation, how to file a complaint, due process hearing procedures, and 
applicable timelines.
    (2) The notice must be provided in language understandable to a lay 
person and in the native language of the parent or other mode of 
communication used by the parent, unless it is clearly not feasible to 
do so.
    (E) The right to obtain an independent educational evaluation (IEE) 
of the child.
    (F) The right to timely administrative resolution of complaints.
    (G) The availability of dispute resolution through the 
administrative complaint, mediation, and due process procedures 
described in paragraph (d) of this section with respect to any matter 
relating to the identification, evaluation, or educational placement of 
the child, or a FAPE for the child, age 3 through 21 years, inclusive.
    (H) The right of any party aggrieved by the decision regarding a due 
process complaint to bring a civil action in a district court of the 
United States of competent jurisdiction in accordance with paragraph 
(d)(21) of this section.
    (ii) Procedural safeguards notice. A DoDEA school shall not be 
required to give parents a copy of the procedural safeguards notice more 
than once a school year, except that a copy must be given to parents 
upon a request from the parents; upon initial referral for evaluation or 
parental request for evaluation; and upon receipt of the first due 
process complaint.
    (A) The procedural safeguards notice must include a full explanation 
of all of the procedural safeguards available, including:
    (1) Independent evaluation for children (3 through 21 years, 
inclusive).
    (2) Prior written notice.
    (3) Parental consent.
    (4) Access to educational records.
    (5) Dispute resolution procedures together with applicable timelines 
including:
    (i) The availability of mediation.
    (ii) Procedures for filing a due process complaint and the required 
time period within which a due process complaint must be filed.
    (iii) The opportunity for the DoDEA school system to resolve a due 
process complaint filed by a parent through the resolution process.
    (iv) Procedures for filing an administrative complaint and for 
administrative resolution of the issues.
    (6) The child's placement during pendency of due process proceedings 
in accordance with paragraph (d)(18) of this section.
    (7) Procedures for children (3 through 21 years, inclusive) who are 
subject to placement in an interim AES.
    (8) Requirements for unilateral placement by parents of children in 
private schools at public expense.
    (9) Due process hearings, including requirements for disclosure of 
evaluation results and recommendations.
    (10) The right to bring a civil action in a district court of the 
United States in accordance with paragraph (d)(21) of this section, 
including the time period in which to file such action.
    (11) The possibility of an award of attorney's fees to the 
prevailing party in certain circumstances.
    (B) The procedural safeguards notice must be:
    (1) Written in language understandable to the general public.
    (2) Provided in the native language of the parent or other mode of 
communication used by the parent, unless it is clearly not feasible to 
do so. If the procedural safeguards notice is not translated into the 
native language of the parent, then the DoDEA school system shall ensure 
that:
    (i) The notice is translated orally or by other means for the parent 
in his or her native language or other mode of communication.
    (ii) The parent understands the content of the notice.
    (iii) There is written evidence that the requirements above have 
been met.
    (iii) Independent Educational Evaluation (IEE)--(A) Obtaining an 
IEE. The DoDEA school system shall provide to

[[Page 353]]

the parents, upon request for an IEE, information about the requirements 
to meet the DoDEA school system criteria, as set forth in paragraph 
(b)(19)(iii)(F) of this section, and identification of qualified 
resources available to meet the requirements of paragraph (b)(iii)(F)(2) 
of this section.
    (B) Right to IEE. The parents of a child with a disability have a 
right to an IEE at the DoDEA school system expense if the parent 
disagrees with an evaluation obtained by the DoDEA school system, 
subject to paragraph (b)(19)(iii)(C) to (H) of this section.
    (C) Written request for IEE. If a parent provides the DoDEA school 
system with a written request for an IEE funded by the school system, 
then the school system shall either:
    (1) Agree to fund an appropriate IEE that meets the criteria the 
DoDEA school system would use for an initial evaluation of a child as 
set forth in paragraph (b)(19)(iii)(F) of this section, or
    (2) Initiate a due process hearing in accordance with paragraph (d) 
of this section, without unnecessary delay, and demonstrate that its 
evaluation was appropriate under this part.
    (i) If the DoDEA school system initiates a due process hearing and 
the final decision is that the school system's evaluation is 
appropriate, the parent still has the right to an IEE, but not at public 
expense.
    (ii) If a parent requests an IEE, the DoDEA school system may ask 
for the parent's reason why he or she objects to the school system's 
evaluation. However, the parent may not be compelled to provide an 
explanation and the DoDEA school system may not unreasonably delay 
either agreeing to fund an IEE that meets DoDEA school system criteria 
or initiating a due process hearing to defend its evaluation.
    (D) Parent-initiated evaluations. If the parent obtains an IEE 
funded by the school system or shares with the DoDEA school system an 
evaluation obtained at private expense:
    (1) The results of the evaluation shall be considered by the DoDEA 
school if it meets the school system's criteria in any decision made 
with respect to the provision of FAPE to the child.
    (2) The results may be presented by any party as evidence at a due 
process hearing under this section regarding that child.
    (3) The DoDEA school system may not be required to fund an IEE that 
has been obtained by a parent if at a due process hearing initiated by 
either party and conducted under this section, the DoDEA school system 
demonstrates either that:
    (i) The parentally obtained evaluation was not educationally 
appropriate or failed to meet agency criteria; or
    (ii) The DoDEA school system's evaluation was appropriate.
    (E) Hearing officer order for evaluation. A hearing officer may only 
order an IEE at the DoDEA school system's expense as part of a due 
process hearing under this section if:
    (1) The school system has failed to demonstrate its assessment was 
appropriate; or
    (2) The school system has not already funded an IEE in response to a 
given school evaluation.
    (F) DoDEA school system criteria. An IEE provided at the DoDEA 
school system's expense must:
    (1) Conform to the requirements of paragraph (b)(6)(viii) and (ix) 
of this section.
    (2) Be conducted, when possible, in the geographic area where the 
child resides utilizing available qualified resources, including 
qualified examiners employed by the Military Department, in accordance 
with (b)(6)(iv) of this part, unless the parent can demonstrate to the 
satisfaction of the DoDEA school system or in a due process hearing 
filed in accordance with paragraph (d) of this section, that the 
geographic limitation renders the IEE impossible.
    (G) Conditions. Except for the criteria in paragraph (b)(19)(iii)(F) 
of this section, the DoDEA school system shall not impose conditions or 
timelines related to obtaining an IEE at the DoDEA school system 
expense.
    (H) Limitations. A parent is entitled to only one IEE at DoDEA 
school system expense in response to a given DoDEA school system 
evaluation with which the parent disagrees.

[[Page 354]]

    (iv) Placement during due process, appeal, or civil procedures. 
While an impartial due process proceeding, appeal proceeding, or civil 
proceeding is pending, unless the DoDEA school system and the parent of 
the child agree otherwise in writing, the child shall remain in his or 
her current placement, subject to the disciplinary procedures prescribed 
in paragraph (b)(12) of this section.
    (v) Transfer of parental rights at age of majority. (A) In the DoDEA 
school system, a child reaches the age of majority at age 18.
    (B) When a child with a disability reaches the age of majority 
(except for a child with a disability who has been determined to be 
incompetent in accordance with Federal or State law) the rights afforded 
to the parents in accordance with the IDEA and this part transfer to the 
child.
    (C) When a child reaches the age of majority, the DoDEA school shall 
notify the child and the parents of the transfer of rights.
    (D) When a child with a disability who has not been determined to be 
incompetent, but who does not have the ability to provide informed 
consent with respect to his or her educational program reaches the age 
of majority, the DoD shall appoint a parent or the parents of the child 
to represent the educational interests of the child throughout the 
period of eligibility for special education services.
    (c) Procedures for provision of related services by the military 
departments to students with disabilities in a DoDDS--(1) Evaluation 
procedures. (i) Upon request by a CSC, the responsible EDIS shall ensure 
that a qualified medical authority conducts or verifies a medical 
evaluation for use by the CSC in determining the medically related 
disability that results in a child's need for special education and 
related services, and shall oversee an EDIS evaluation used in 
determining a child's need for related services.
    (ii) The medical or related services evaluation, including necessary 
consultation with other medical personnel, shall be supervised by a 
physician or other qualified healthcare provider.
    (iii) The medical or related services evaluation shall be specific 
to the concerns addressed in the request from the CSC.
    (iv) The EDIS shall provide to the CSC an evaluation report that 
responds to the questions posed in the original request for an 
evaluation. The written report shall include:
    (A) Demographic information about the child, such as the child's 
name, date of birth, and grade level.
    (B) Behavioral observation of the child during testing.
    (C) Instruments and techniques used.
    (D) Evaluation results.
    (E) Descriptions of the child's strengths and limitations.
    (F) Instructional implications of the findings.
    (G) The impact of the child's medical condition(s), if applicable, 
on his or her educational performance.
    (v) If the EDIS that supports the DoDDS school requires assistance 
to conduct or complete an evaluation, the EDIS shall contact the MTF 
designated by the Military Department with geographic responsibility for 
the area where the EDIS is located.
    (vi) If EDIS determines that in order to respond to the CSC referral 
the scope of its assessment and evaluation must be expanded beyond the 
areas specified in the initial parental permission, EDIS must:
    (A) Obtain parental permission for the additional activities.
    (B) Complete its initial evaluation by the original due date.
    (C) Notify the CSC of the additional evaluation activities.
    (vii) When additional evaluation information is submitted by EDIS, 
the CSC shall review all data and determine the need for program changes 
and the reconsideration of eligibility.
    (viii) An EDIS provider shall serve on the CSC when eligibility, 
placement, or requirements for related services that EDIS provides are 
to be determined.
    (2) IEP--(i) EDIS shall be provided the opportunity to participate 
in the IEP meeting.
    (ii) EDIS shall provide related services assigned to EDIS that are 
listed on the IEP.
    (3) Liaison with DoDDS. Each EDIS shall designate a special 
education liaison officer to:

[[Page 355]]

    (i) Provide liaison between the EDIS and DoDDS on requests for 
evaluations and other matters within their purview.
    (ii) Offer, on a consultative basis, training for school personnel 
on medical aspects of specific disabilities.
    (iii) Offer consultation and advice as needed regarding the medical 
services provided at school (for example, tracheotomy care, tube 
feeding, occupational therapy).
    (iv) Participate with school personnel in developing and delivering 
in-service training programs that include familiarization with various 
conditions that impair a child's educational endeavors, the relationship 
of medical findings to educational functioning, related services, and 
the requirements of the IDEA and this part.
    (d) Dispute resolution and due process procedures--(1) General. This 
section establishes requirements for resolving disputes regarding the 
provision of EIS to an infant or toddler up to 3 years of age, or the 
identification, evaluation, or educational placement of a child (ages 3 
through 21, inclusive), or the provision of a FAPE to such child in 
accordance with the IDEA and this part.
    (2) Conferences. Whenever possible, parties are encouraged to 
resolve disputes through the use of conferences at the lowest level 
possible between the parents and EDIS or the DoDEA school.
    (i) Within a DoDEA school, problems should be brought first to the 
teacher, then the school administrator, and then the district office.
    (ii) At EDIS, problems should be brought first to the EDIS provider, 
then the EDIS program manager, and then the local MTF commander.
    (3) Administrative complaints. (i) A complaint filed with the 
responsible agency, relating to the provision of services under the IDEA 
and this part, other than due process complaints filed in accordance 
with paragraph (d)(5) of this section, is known as an administrative 
complaint.
    (ii) An individual or organization may file an administrative 
complaint alleging issues relating to services required to be delivered 
under the IDEA and this part with:
    (A) The Office of the Inspector General of a Military Department 
when the issue involves services or programs for infants and toddlers 
with disabilities, or related services provided by the Military 
Departments to children with disabilities.
    (B) The DoDEA Director, Office of Investigations and Internal Review 
(OI&IR) when the issue involves the services or programs for children 
ages 3 through 21, inclusive that are under the direction or control of 
the DoDEA school system.
    (iii) An administrative complaint alleging issues relating to 
services required to be delivered under the IDEA or this part must 
include:
    (A) A statement that the Military Service or the DoDEA school system 
has violated a requirement of the IDEA or this part.
    (B) The facts on which the statement is based.
    (C) The signature and contact information for the complainant.
    (D) If alleging violations with respect to specific children:
    (1) The name of the school the child is attending.
    (2) The name and address of the residence of the child.
    (3) A description of the nature of the problem of the child, 
including facts relating to the problem.
    (4) A proposed resolution of the problem to the extent known and 
available to the complainant at the time the complaint is filed.
    (iv) An administrative complaint may not allege a violation that 
occurred more than 1 year prior to the date that the complaint is 
received.
    (v) The complainant filing an administrative complaint alleging 
issues related to services required to be delivered under the IDEA or 
this part must forward a copy of the complaint to the DoDEA school or 
EDIS clinic serving the child at the same time the complainant files the 
complaint with the appropriate authority in paragraph (d)(3)(i) of this 
section.
    (A) Upon receipt of the complaint, the Inspector General of the 
Military Department concerned will notify the Secretary of the Military 
Department concerned, and the OI&IR will notify the Director, DoDEA, of 
the complaint.

[[Page 356]]

    (B) Upon receipt of a complaint, the responsible Military Department 
Inspector General or the OCA shall, if warranted, promptly open an 
investigation consistent with its established procedures for 
investigating complaints.
    (1) The investigation shall afford the complainant an opportunity to 
submit additional information about the allegations.
    (2) The investigation shall afford the DoDEA school system or the 
Military Department an opportunity to:
    (i) Respond to the complaint;
    (ii) Propose a resolution to the complaint; or
    (iii) If the parties are willing, voluntarily engage in mediation of 
the complaint.
    (3) The investigation shall produce a report consistent with those 
the investigating agency routinely provides, shall determine whether its 
findings support the complaint, and shall state whether the DoDEA school 
system or the Military Department is violating a requirement of the IDEA 
or this part.
    (vi) The findings and conclusions of the report of investigation 
related to the administrative complaint shall be made available to the 
complainant and members of the public in accordance with the standard 
operating procedures of the investigating activity and 32 CFR parts 285 
and 310.
    (A) The investigating activity shall provide a copy of the report to 
the Director, DoDEA and the Secretary of a Military Department concerned 
or in accordance with the investigating activity's protocols.
    (B) The report shall be provided, to the extent practicable, within 
60 days of initiating the investigation, unless extended by the 
complainant and the DoDEA school system or the Military Department.
    (vii) The Secretary of the Military Department concerned or the 
Director, DoDEA shall resolve complaints within their respective area of 
responsibility when the Military Service or the DoDEA school system is 
found to have failed to provide appropriate services consistent with the 
requirements of the IDEA or this part. Remediation may include 
corrective action appropriate to address the needs of the child such as 
compensatory services, or monetary reimbursement where otherwise 
authorized by law.
    (viii) When a complaint received under this section is also the 
subject of a due process complaint regarding alleged violations of 
rights afforded under the IDEA and this part, or contains multiple 
issues of which one or more are part of that due process complaint, the 
investigation activity shall set aside any issues alleged in the due 
process complaint until a hearing is concluded in accordance with the 
IDEA and this part. Any issue that is not part of the due process 
hearing must be resolved using the procedures of this section.
    (ix) If an issue raised in a complaint filed under this section has 
been previously decided in a due process hearing involving the same 
parties:
    (A) The due process hearing decision is binding on that issue.
    (B) The Director, DoDEA or the Secretary of the Military Department 
concerned shall so inform the complainant.
    (4) Mediation. (i) A parent, the Military Department concerned, or 
DoDEA may request mediation at any time, whether or not a due process 
petition has been filed, to informally resolve a disagreement on any 
matter relating to the provision of EIS to an infant or toddler (birth 
up to 3 years of age), or the identification, evaluation, or educational 
placement of a child (ages 3 through 21, inclusive), or the provision of 
a FAPE to such child.
    (ii) Mediation must be voluntary on the part of the parties and 
shall not be used to deny or delay a parent's right to a due process 
hearing or to deny other substantive or procedural rights afforded under 
the IDEA.
    (A) DoDEA school officials participate in mediation involving 
special education and related services; the cognizant Military 
Department participates in mediation involving EIS.
    (B) The initiating party's request must be written, include a 
description of the dispute, bear the signature of the requesting party, 
and be provided:
    (1) In the case of a parent initiating mediation, to:
    (i) The local EDIS program manager in disputes involving EDIS; or

[[Page 357]]

    (ii) The school principal in disputes involving a DoDEA school.
    (2) In the case of the school or EDIS initiating mediation, to the 
parent.
    (C) Acknowledgment of the request for mediation shall occur in a 
timely manner.
    (D) Agreement to mediate shall be provided in writing to the other 
party in a timely manner.
    (iii) Upon agreement of the parties to mediate a dispute, the local 
EDIS or DoDEA school shall forward a request for a mediator to the 
Military Department or to DoDEA's Center for Early Dispute Resolution 
(CEDR), respectively.
    (iv) The mediator shall be obtained from the Defense Office of 
Hearings and Appeals (DOHA) unless another qualified and impartial 
mediator is obtained by the Military Department or CEDR.
    (A) Where DOHA is used, the DOHA Center for Alternate Dispute 
Resolution (CADR) shall provide the mediator from its roster of 
mediators qualified in special education disputes.
    (B) Where the Military Department or DoDEA elects to secure a 
mediator through its own DoD Component resources, the mediator shall be 
selected from the Component's roster of mediators qualified in special 
education disputes, or by contract with an outside mediator duly 
qualified in special education disputes and who is trained in effective 
mediation techniques.
    (v) The Military Department or DoDEA through CEDR shall obtain a 
mediator within 15 business days of receipt of a request for mediation, 
or immediately request a mediator from the Director, DOHA, through the 
DOHA CADR.
    (vi) When requested, the Director, DOHA, through the CADR, shall 
appoint a mediator within 15 business days of receiving the request, 
unless a party provides written notice to the Director, DOHA that the 
party refuses to participate in mediation.
    (vii) Unless both parties agree otherwise, mediation shall commence 
in a timely manner after both parties agree to mediation.
    (viii) The parents of the infant, toddler, or child, and EDIS or the 
school shall be parties in the mediation. With the consent of both 
parties, other persons may attend the mediation.
    (ix) Mediation shall be conducted using the following rules:
    (A) The Military Department concerned shall bear the cost of the 
mediation process in mediations concerning EIS.
    (B) DoDEA shall bear the cost of the mediation process in mediations 
concerning special education and related services.
    (C) Discussions and statements made during the mediation process, 
and any minutes, statements or other records of a mediation session 
other than a final executed mediation agreement, shall be considered 
confidential between the parties to that mediation and are not 
discoverable or admissible in a due process proceeding, appeal 
proceeding, or civil proceeding under this part.
    (D) Mediation shall be confidential. The mediator may require the 
parties to sign a confidentiality pledge before the commencement of 
mediation.
    (E) Either party may request a recess of a mediation session to 
consult advisors, whether or not present, or to consult privately with 
the mediator.
    (F) The mediator shall ensure and the contract for mediation 
services shall require that any partial or complete resolution or 
agreement of any issue in mediation is reduced to writing, and that the 
written agreement is signed and dated by the parties, with a copy given 
to each party.
    (x) Any written agreement resulting from the mediation shall state 
that all discussions that occurred during the mediation process and all 
records of the mediation other than a final executed agreement shall be 
confidential and may not be discoverable or admissible as evidence in 
any subsequent due process proceeding, appeal proceeding, or civil 
proceeding, and shall be legally binding upon the parties and 
enforceable in a district court of the United States.
    (xi) All mediation sessions shall be held in a location that is 
convenient to both parties.
    (xii) No hearing officer or adjudicative body shall draw any 
inference from the fact that a mediator or a party withdrew from 
mediation or from

[[Page 358]]

the fact that mediation did not result in settlement of a dispute.
    (5) Due process complaint procedures. (i) Parents of infants, 
toddlers, and children who are covered by this part and the cognizant 
Military Department or DoDEA, are afforded impartial hearings and 
administrative appeals after the parties have waived or participated in 
and failed to resolve a dispute through:
    (A) Mediation, in the case of an infant or toddler; or
    (B) A resolution process, or mediation in lieu of the resolution 
process prior to proceeding to a due process hearing in the case of a 
child (ages 3 through 21 years, inclusive).
    (ii) An impartial due process hearing is available to resolve any 
dispute concerning the provision of EIS to infants and toddlers with 
disabilities or with respect to any matter relating to the 
identification, evaluation, educational placement of, and the FAPE 
provided by the Department of Defense to children (ages 3 through 21, 
inclusive) who are covered by this part, in accordance with the IDEA and 
this part.
    (A) Whenever the parents or the cognizant Military Department 
present a due process complaint (petition) in accordance with this part, 
an impartial due process hearing is available to resolve any dispute 
concerning the provision of EIS.
    (B) When the parents of children ages 3 through 21 years, inclusive, 
or the cognizant Military Department or DoDEA, present a due process 
complaint (petition) in accordance with this part relating to any matter 
regarding the identification, evaluation, placement, or the provision of 
FAPE, the parties shall first proceed in accordance with the 
requirements for a statutory resolution process in accordance with this 
part, after which time an impartial due process hearing is available to 
resolve the dispute set forth by the complaint.
    (iii) An expedited impartial due process hearing may be requested:
    (A) By a parent when the parent disagrees with the manifestation 
determination or any decision regarding the child's disciplinary 
placement.
    (B) By the school when it believes that maintaining a student in his 
or her current educational placement is substantially likely to result 
in injury to the student or others.
    (iv) Any party to a special education dispute may initiate a due 
process hearing by filing a petition stating the specific issues that 
are in dispute. The initiating party is the ``petitioner'' and the 
responding party is the ``respondent.'' The petition itself will remain 
confidential, in accordance with applicable law, not be released to 
those not a party to the litigation and its Personally Identifiable 
Information shall be protected in accordance with the DoD Privacy Act.
    (v) Petitioner and respondent are each entitled to representation by 
counsel at their own expense. The parent and child may choose to be 
assisted by a personal representative with special knowledge or training 
with respect to the problems of disabilities rather than by legal 
counsel.
    (vi) To file a petition that affords sufficient notice of the issues 
and commences the running of relevant timelines, petitioners shall 
specifically include in the petition:
    (A) The name and residential address of the child and the name of 
the school the child is attending or the location of the EDIS serving 
the child.
    (B) A description of the nature of the problem of the child relating 
to the proposed or refused initiation or change including facts (such as 
who, what, when, where, how, why of the problem).
    (C) A proposed resolution of the problem to the extent known and 
available to the petitioner at the time.
    (D) The signature of the parent, or if the petitioner is DoDEA or a 
Military Department, an authorized representative of that petitioner, or 
of the counsel or personal representative for the petitioner, and his or 
her telephone number and mailing address.
    (vii) When the cognizant Military Department or DoDEA petitions for 
a hearing, it shall additionally:
    (A) Inform the parent of the 10 business-day deadline (or 5 school 
days in the case of an expedited hearing) for filing a response that 
specifically addresses the issues raised in the petition.

[[Page 359]]

    (B) Provide the parent with a copy of this part.
    (viii) A special rule applies for expedited hearing requests. The 
petitioner must state, as applicable to his or her petition:
    (A) The disciplinary basis for the child's change in placement to an 
interim AES or other removal from the child's current placement.
    (B) The reasons for the change in placement.
    (C) The reasoning of the manifestation determination committee in 
concluding that a particular act of misconduct was not a manifestation 
of the child's disability.
    (D) How the child's current educational placement is or is not 
substantially likely to result in injury to the child or others.
    (ix) The petition or request for an expedited due process hearing 
must be delivered to:
    (A) The Director, DOHA, by mail to P.O. Box 3656, Arlington, 
Virginia 22203, by fax to 703-696-1831, or email to 
[email protected]. Filing may also be made by hand 
delivery to the office of the Director, DOHA if approval from the 
Director, DOHA is obtained in advance of delivery.
    (B) The respondent by mail, fax, email, or hand delivery.
    (1) If the petitioner is a parent of a child (ages of 3 through 21, 
inclusive), or a child (in the event that rights have been transferred 
in accordance with paragraph (b)(19) of this section, the respondent is 
DoDEA and the petition must be delivered to and received by the 
principal of the school in which the child is enrolled, or if the child 
is enrolled in the Non-DoD School Program (NDSP) to the DoDEA General 
Counsel ([email protected]).
    (2) If the petitioner is the parent of an infant or toddler (birth 
up to 3 years of age), the respondent is the responsible Military 
Department and the petition must be delivered to and received by the 
EDIS manager.
    (3) If the petitioner is the responsible Military Department or 
DoDEA, the petition must be delivered to and received by the parent of 
the child.
    (C) Filing of the due process petition with DOHA is considered 
complete when received by DOHA.
    (x) The timelines for requesting and conducting a due process 
hearing are:
    (A) Timelines for requesting a hearing. A petitioner may not allege 
a violation that occurred more than 2 years before the date the 
petitioner knew, or should have known, about the alleged action that 
forms the basis of the complaint, unless the parent was prevented from 
requesting the hearing due to:
    (1) Specific misrepresentation by DoDEA or EDIS that it had resolved 
the problem forming the basis of the complaint.
    (2) The withholding of information by DoDEA or EDIS from the 
petitioning parent that was required to be provided to the parent in 
accordance with the IDEA and this part.
    (B) Timelines for conducting a due process hearing. Except as 
provided in paragraph (d)(5)(x)(D) and (d)(8)(ii) of this section, a 
hearing officer shall issue findings of fact and conclusions of law not 
later than 50 business days:
    (1) In a case involving EDIS, following the filing and service of a 
legally sufficient petition or amended petition in accordance with this 
section.
    (2) In disputes involving a school and a child age 3 through 21, 
inclusive, following the filing and service of a legally sufficient 
petition or amended petition in accordance with this section and the 
hearing officer's receipt of notice that the 30-day resolution period 
concluded without agreement, the parties waived the resolution meeting, 
or the parties concluded mediation in lieu of the resolution process 
without reaching agreement.
    (C) Exceptions to the timelines for conduct of a hearing. (1) When 
the hearing officer grants a request for discovery made by either party, 
as provided for in paragraph (d)(10) of this section, in which case the 
time required for such discovery does not count toward the 50 business 
days.
    (2) When the hearing officer grants a specific extension of time for 
good cause in accordance with paragraph (d)(8) of this section.
    (D) Timeline for conducting an expedited hearing. In the event of a 
petition for expedited hearing is requested, a DOHA hearing officer 
shall arrange for the hearing to be held not later than 20 school days 
(when school is in session)

[[Page 360]]

of the date the request is filed with DOHA, subject to the timeline for 
scheduling a resolution meeting and the 15 day resolution period 
requirements of this section. The hearing officer must make a 
determination within 10 school days after the hearing.
    (6) Responses and actions required following receipt of a petition 
or request for expedited hearing. (i) Immediately upon receipt of the 
petition, the Director, DOHA, shall appoint a hearing officer to take 
charge of the case.
    (A) The hearing officer shall immediately notify the parties of his 
or her appointment.
    (B) Upon receipt of notice that a hearing officer is appointed, the 
parties shall communicate all motions, pleadings, or amendments in 
writing to the hearing officer, with a copy to the opposing party, 
unless the hearing officer directs otherwise.
    (ii) Within 10 business days of receipt of the petition (5 school 
days when school is in session in the case of a petition for an 
expedited hearing), the respondent shall deliver a copy of the written 
response to the petitioner and file the original written response with 
the hearing officer. Filing may be made by mail to P.O. Box 3656, 
Arlington, Virginia 22203, by fax to 703-696-1831, by hand delivery if 
approved in advance by the hearing officer, or by email to 
[email protected]. If a hearing officer has not yet been 
appointed, the respondent will deliver the original written response to 
the Director, DOHA in accordance with paragraph (d)(5)(ix) of this 
section.
    (iii) The respondent shall specifically address the issues raised in 
the due process hearing petition.
    (iv) If the respondent is the cognizant Military Department or 
DoDEA, the response shall include:
    (A) An explanation of why the respondent proposed or refused to take 
the action at issue in the due process complaint.
    (B) A description of each evaluation procedure, assessment, record, 
or report the DoD Component used as the basis for the proposed or 
refused action.
    (C) A description of the options that the respondent considered and 
the reasons why those options were rejected.
    (D) A description of the other factors that are relevant to the 
respondent's proposed or refused action.
    (v) The respondent may file a notice of insufficient petition within 
15 business days of receiving a petition if the respondent wishes to 
challenge the sufficiency of the petition for failure to state the 
elements required by the IDEA. Within 5 business days of receiving a 
notice of insufficient petition, the hearing officer will issue a 
decision and will notify the parties in writing of that determination.
    (vi) A response to the petitioner under (d)(6)(ii) of this section 
shall not be construed to preclude the respondent from asserting that 
the due process complaint was insufficient using the procedures 
available under (d)(6)(v) of this section.
    (vii) Parties may amend a petition only if:
    (A) The other party consents in writing to such amendment and is 
given the opportunity to resolve the complaint through the resolution 
process; or
    (B) The hearing officer grants permission, except that the hearing 
officer may not grant such permission at any time later than 5 days 
before a due process hearing is scheduled to begin.
    (viii) The filing of an amended petition resets the timelines for:
    (A) The conduct of a resolution meeting and the resolution period 
relating to the amended petition, and
    (B) All deadlines for responses and actions required following the 
receipt of the amended petition, and for conducting a due process 
hearing on the amended petition.
    (7) Statutory resolution process. A resolution meeting shall be 
convened by DoDEA and a resolution period afforded, in accordance with 
this section, for any dispute in which a due process petition has been 
filed regarding the identification, evaluation, or educational 
placement, or the provision of FAPE for children ages 3 to 21, 
inclusive.
    (i) Within 15 calendar days of receiving the parent's petition for 
due process (7 calendar days in the case of an

[[Page 361]]

expedited hearing), DoDEA, through the pertinent school principal or 
superintendent, shall convene a dispute resolution meeting, which must 
be attended by:
    (A) The parents.
    (B) A legal representative of the parents if desired by the parents.
    (C) A DoDEA official designated and authorized by the District 
Superintendent or Area Director to exercise decision-making authority on 
behalf of DoDEA.
    (D) A DoDEA legal representative, only if the parents are 
represented by counsel at the resolution meeting.
    (E) The relevant members of the child's CSC who have specific 
knowledge of the facts identified in the petition.
    (ii) The parties may agree to mediate in lieu of conducting a 
resolution meeting or in lieu of completing the resolution period. The 
resolution meeting need not be held if the parties agree in writing to 
waive the meeting or agree to use the mediation process.
    (iii) Failure to convene or participate in resolution meeting.
    (A) If DoDEA has offered to convene a resolution meeting and has 
been unable to obtain parental participation in the resolution meeting 
after making and documenting its reasonable efforts, DoDEA may, at the 
conclusion of the resolution period (30 days or 15 days in the case of 
an expedited hearing) request that a hearing officer dismiss the 
parent's due process complaint or request for an expedited due process 
hearing.
    (B) If DoDEA fails to convene a resolution meeting within 15 days of 
receipt of a due process complaint or if it fails to participate in the 
resolution meeting, the parent may request the hearing officer to 
immediately convene the due process hearing without waiting for the 30-
day resolution period to expire.
    (iv) DoDEA shall have a 30-day resolution period, counted from the 
receipt of the complaint by the school principal, (15 days in the case 
of an expedited hearing request) within which to resolve the complaint 
to the satisfaction of the parents.
    (v) The resolution period may be adjusted because of one of the 
following events:
    (A) Both parties agree in writing to waive the resolution meeting.
    (B) After the resolution meeting starts, but before the end of the 
applicable resolution period, the parties agree in writing that no 
agreement is possible and agree to waive the balance of the resolution 
period.
    (C) Both parties agree in writing to continue the resolution meeting 
at the end of the applicable resolution period, but later the parent or 
the school withdraws from the resolution process.
    (vi) If a partial or complete resolution to the dispute is reached 
at the resolution meeting, the parties must execute a written agreement 
that is:
    (A) Signed by both the parents and a representative of the school 
with authority to bind the school to the terms of the agreement.
    (B) Legally enforceable in a U.S. District Court of competent 
jurisdiction, unless the parties have voided the agreement within an 
agreement review period of 3 business days following the execution of 
the agreement.
    (vii) Discussions held, minutes, statements, and other records of a 
resolution meeting, and any final executed resolution agreement are not 
presumed confidential and therefore are discoverable and admissible in a 
due process proceeding, appeal proceeding, or civil proceeding, except 
when the parties have agreed to confidentiality.
    (viii) If DoDEA has not resolved the complaint to the satisfaction 
of the parents at the expiration of the resolution period or the 
adjusted resolution period, if applicable:
    (A) DoDEA shall provide written notice to the hearing officer, copy 
to the parents, within 3 business days (1 business day in the case of an 
expedited hearing) of the expiration of the resolution period or 
adjusted resolution period that the parties failed to reach agreement.
    (B) Upon receipt of that notification by the hearing officer, all of 
the applicable timelines for proceeding to a due process hearing under 
this section shall commence.
    (ix) If the parties execute a binding written agreement at the 
conclusion of

[[Page 362]]

the resolution period, and do not subsequently declare it void during 
the 3-business day agreement review period, then:
    (A) DoDEA shall provide written notice to the hearing officer, copy 
to the parents, at the conclusion of the agreement review period that 
the parties have reached an agreement for resolution of complaints set 
forth in the due process petition.
    (B) Upon receipt of that notification by the presiding hearing 
officer, no due process hearing shall proceed on the issues resolved.
    (8) The due process hearing--(i) Purpose. The purpose of the due 
process hearing is to establish the relevant facts necessary for the 
hearing officer to reach a fair and impartial determination of the case.
    (ii) Hearing officer duties. The hearing officer shall be the 
presiding officer, with judicial powers to manage the proceeding and 
conduct the hearing. Those powers shall include, but are not limited to, 
the authority to:
    (A) Determine the adequacy of pleadings.
    (B) Decide whether to allow amendment of pleadings, provided 
permission is granted to authorize the amendment not later than 5 days 
before a due process hearing occurs.
    (C) Rule on questions of timeliness and grant specific extension of 
time for good cause either on his or her own motion or at the request of 
either party.
    (1) Good cause includes the time required for mediation in 
accordance with paragraph (d)(4) of this section where the parties have 
jointly requested an extension of time in order to complete mediation.
    (2) If the hearing officer grants an extension of time, he or she 
shall identify the length of the extension and the reason for the 
extension in the record of the proceeding. Any such extension shall be 
excluded from the time required to convene a hearing or issue a final 
decision, and at the discretion of the hearing officer may delay other 
filing dates specified by this section.
    (D) Rule on requests for discovery and discovery disputes.
    (E) Order an evaluation of the child at the expense of the DoDEA 
school system or the Military Department concerned.
    (F) Rule on evidentiary issues.
    (G) Ensure a full and complete record of the case is developed.
    (H) Decide when the record in a case is closed.
    (I) Issue findings of fact and conclusions of law.
    (J) Issue a decision on substantive grounds based on a determination 
of whether the child received a FAPE. When the petition alleges a 
procedural violation, a hearing officer may find that a child did not 
receive a FAPE only if the procedural inadequacies:
    (1) Impeded the child's right to a FAPE;
    (2) Significantly impeded the parent's opportunity to participate in 
the decision-making process regarding the provision of FAPE to the 
child; or
    (3) Caused a deprivation of educational benefits.
    (K) Order such relief as is necessary for the child to receive a 
FAPE or appropriate EIS, including ordering the DoDEA school system or 
the responsible Military Department to:
    (1) Correct a procedural deficiency that caused a denial of a FAPE 
or appropriate EIS;
    (2) Conduct evaluations or assessments and report to the hearing 
officer;
    (3) Change the school-aged child's placement or order the child to 
an AES for up to 45 days;
    (4) Provide EIS or specific school-age educational or related 
services to a child to remedy a denial of FAPE, including compensatory 
services when appropriate and in accordance with the current early 
intervention or educational program; or
    (5) Placement of a school-aged child in an appropriate residential 
program for children with disabilities at DoD expense, when appropriate 
under the law and upon a determination that DoDEA has failed to provide 
and cannot provide an otherwise eligible child with a FAPE at the 
appropriate DoD facility.
    (i) A residential program must be one that can address the specific 
needs of the child as determined by the DoDEA school.

[[Page 363]]

    (ii) The program should, whenever possible, be located near members 
of the child's family.
    (9) Attendees at the hearing. Attendance at the hearing is limited 
to:
    (i) The parents and the counsel or personal representative of the 
parents.
    (ii) A representative of DoDEA or the EDIS concerned and the counsel 
representing DoDEA or the EDIS.
    (iii) Witnesses for the parties, including but not limited to the 
professional employees of DoDEA or the EDIS concerned and any expert 
witnesses.
    (iv) A person qualified to transcribe or record the proceedings.
    (v) Other persons with the agreement of the parties or the order of 
the hearing officer, in accordance with the privacy interests of the 
parents and the individual with disabilities.
    (10) Discovery. (i) Full discovery shall be available, with the 
Federal Rules of Civil Procedure, Rules 26-37, 28 U.S.C. appendix, 
serving as a guide to parties to a due process hearing or conducted in 
accordance with this part.
    (ii) If voluntary discovery cannot be accomplished, a party seeking 
discovery may file a motion with the hearing officer to accomplish 
discovery. The hearing officer shall grant an order to accomplish 
discovery upon a showing that the document or information sought is 
relevant or reasonably calculated to lead to the discovery of admissible 
evidence. An order granting discovery, or compelling testimony or the 
production of evidence shall be enforceable by all reasonable means 
within the authority of the hearing officer, to include the exclusion of 
testimony or witnesses, adverse inferences, and dismissal or summary 
judgment.
    (iii) Records compiled or created in the regular course of business, 
which have been provided to the opposing party at least 5 business days 
prior to the hearing, may be received and considered by the hearing 
officer without authenticating witnesses.
    (iv) A copy of the written or electronic transcription of a 
deposition taken by a Military Department or DoDEA shall be made 
available by the Military Department or DoDEA without charge to the 
opposing party.
    (11) Right to an open hearing. The parents, or child who has reached 
the age of majority, have the right to an open hearing upon waiving, in 
writing, their privacy rights and those of the individual with 
disabilities who is the subject of the hearing.
    (12) Location of hearing. Subject to modification by the hearing 
officer for good cause shown or upon the agreement of the parties, the 
hearing shall be held:
    (i) In the DoDEA school district attended by the child (ages 3 
through 21, inclusive):
    (ii) On the military installation of the EDIS serving infants and 
toddlers with disabilities; or
    (iii) At a suitable video teleconferencing facility convenient for 
the parents of the child involved in the hearing and available for the 
duration of a hearing.
    (13) Witnesses and documentary evidence. (i) At least 5 business 
days prior to a hearing, the parties shall exchange lists of all 
documents and materials that each party intends to use at the hearing, 
including all evaluations and reports. Each party also shall disclose 
the names of all witnesses it intends to call at a hearing along with a 
proffer of the anticipated testimony of each witness.
    (ii) At least 10 business days prior to a hearing, each party must 
provide the name, title, description of professional qualifications, and 
summary of proposed testimony of any expert witness it intends to call 
at the hearing.
    (iii) Failure to disclose documents, materials, or witnesses may 
result in the hearing officer barring their introduction at the hearing.
    (iv) Parties must limit evidence to the issues pleaded, except by 
order of the hearing officer or with the consent of the parties.
    (v) The rules of evidence shall be relaxed to permit the development 
of a full evidentiary record with the Federal Rules of Evidence, 28 
U.S.C. appendix, serving as guide.
    (vi) All witnesses testifying at the hearing shall be advised by the 
hearing officer that under 18 U.S.C. 1001, it is a criminal offense to 
knowingly and willfully make a materially false, fictitious, or 
fraudulent statement or representation to a department or agency

[[Page 364]]

of the U.S. Government as to any matter within the jurisdiction of that 
department or agency, and may result in a fine or imprisonment.
    (vii) A party calling a witness shall bear the witness' travel and 
incidental expenses associated with testifying at the hearing. The DoDEA 
school system or the Military Department concerned shall pay such 
expenses if a witness is called by the hearing officer.
    (viii) The parties shall have the right to cross-examine witnesses 
testifying at the hearing.
    (ix) The hearing officer may issue an order compelling a party to 
make a specific witness employed by or under control of the party 
available for testimony at the party's expense or to submit specific 
documentary or physical evidence for inspection by the hearing officer 
or for submission into the record on motion of either party or on the 
hearing officer's own motion.
    (x) When the hearing officer determines that a party has failed to 
obey an order to make a specific witness available for testimony or to 
submit specific documentary or physical evidence in accordance with the 
hearing officer's order, and that such failure is in knowing and willful 
disregard of the order, the hearing officer shall so certify as a part 
of the written record in the case and may order appropriate sanctions.
    (14) Transcripts. (i) A verbatim written transcription of any 
deposition taken by a party shall be provided to the opposing party in 
hardcopy written format or as attached to an electronic email with prior 
permission of the recipient. If a Military Department or DoDEA takes a 
deposition, the verbatim written transcript of that deposition shall be 
provided to the parent(s) without charge.
    (ii) A verbatim written transcription of the due process hearing 
shall be arranged by the hearing officer and shall be made available to 
the parties in hardcopy written format, or as an attachment to an 
electronic email, with prior permission of the recipient, on request and 
without cost to the parent(s), and a copy of the verbatim written 
transcript of the hearing shall become a permanent part of the record
    (15) Hearing officer's written decision. (i) The hearing officer 
shall make written findings of fact and conclusions of law and shall set 
forth both in a written decision addressing the issues raised in the due 
process complaint, the resolution of those issues, and the rationale for 
the resolution.
    (ii) The hearing officer's decision of the case shall be based on 
the record, which shall include the petition, the answer, the transcript 
of the hearing, exhibits admitted into evidence, pleadings or 
correspondence properly filed and served on all parties, and such other 
matters as the hearing officer may include in the record, if such matter 
is made available to all parties before the record is closed.
    (iii) The hearing officer shall file the written decision with the 
Director, DOHA, and additionally provide the Director, DOHA with a copy 
of that decision from which all personally identifiable information has 
been redacted.
    (iv) The Director, DOHA, shall forward to parents and to the DoDEA 
or the EDIS concerned, copies, unredacted and with all personally 
identifiable information redacted, of the hearing officer's decision.
    (v) The decision of the hearing officer shall become final unless a 
timely notice of appeal is filed in accordance with paragraph (d)(17) of 
this section.
    (vi) The DoDEA or the EDIS concerned shall implement the decision as 
soon as practicable after it becomes final.
    (16) Determination without hearing. (i) At the request of a parent 
of an infant or toddler, birth to 3 years of age, when EIS are at issue, 
or of a parent of a child age 3 through 21, inclusive, or child who has 
reached the age of majority, when special education (including related 
services) are at issue, the requirement for a hearing may be waived, and 
the case may be submitted to the hearing officer on written documents 
filed by the parties. The hearing officer shall make findings of fact 
and conclusions of law and issue a written decision within the period 
fixed by paragraph (d)(5)(x) of this section.
    (ii) DoDEA or the EDIS concerned may oppose a request to waive a 
hearing. In that event, the hearing officer shall rule on the request.

[[Page 365]]

    (iii) Documentary evidence submitted to the hearing officer in a 
case determined without a hearing shall comply with the requirements of 
paragraph (d)(13) of this section. A party submitting such documents 
shall provide copies to all other parties.
    (17) Appeal of hearing officer decision. (i) A party may appeal the 
hearing officer's findings of fact and decision by filing a written 
notice of appeal within 15 business days of receipt of the hearing 
officer's decision with the Chairperson, DOHA Appeal Board by mail to 
P.O. Box 3656, Arlington, Virginia 22203, by fax to 703-696-1831, by 
email to [email protected], or by hand delivery to the 
office of the Chairperson, DOHA Appeal Board if approval from the 
Chairperson, DOHA Appeal Board is obtained in advance of delivery. The 
notice of appeal must contain the appealing party's certification that a 
copy of the notice of appeal has been provided to the other party by 
mail.
    (ii) Within 30 business days of filing the notice of appeal, the 
appealing party shall file a written statement of issues and arguments 
on appeal with the Chairperson, DOHA Appeal Board by mail to P.O. Box 
3656, Arlington, Virginia 22203, by fax to 703-696-1831, by email to 
[email protected], or by hand delivery to the office of 
the Chairperson, DOHA Appeal Board if approval from the Chairperson, 
DOHA Appeal Board is obtained in advance of filing. The appealing party 
shall deliver a copy to the other party by mail.
    (iii) The non-appealing party shall file any reply within 20 
business days of receiving the appealing party's statement of issues and 
arguments on appeal with the Chairperson, DOHA Appeal Board by mail to 
P.O. Box 3656, Arlington, Virginia 22203, by fax to 703-696-1831, by 
email to [email protected], or by hand delivery to the 
office of the Chairperson, DOHA Appeal Board if approval from the 
Chairperson, DOHA Appeal Board is obtained in advance of filing The non-
appealing party shall deliver a copy of the reply to the appealing party 
by mail.
    (iv) Appeal filings with DOHA are complete upon transmittal. It is 
the burden of the appealing party to provide timely transmittal to and 
receipt by DOHA.
    (v) The DOHA Appeal Board, shall issue a decision on all parties' 
appeals within 45 business days of receipt of the matter.
    (vi) The determination of the DOHA Appeal Board shall be a final 
administrative decision and shall be in written form. It shall address 
the issues presented and set forth a rationale for the decision reached. 
A determination denying the appeal of a parent in whole or in part shall 
state that the parent has the right, in accordance with the IDEA, to 
bring a civil action on the matters in dispute in a district court of 
the United States of competent jurisdiction without regard to the amount 
in controversy.
    (vii) No provision of this part or other DoD guidance may be 
construed as conferring a further right of administrative review. A 
party must exhaust all administrative remedies afforded by this section 
before seeking judicial review of a determination.
    (18) Maintenance of current educational placement. (i) Except when a 
child is in an interim AES for disciplinary reasons, during the pendency 
of any proceeding conducted pursuant to this section, unless the school 
and the parents otherwise agree, the child will remain in the then 
current educational placement.
    (ii) When the parent has appealed a decision to place a child in an 
interim AES, the child shall remain in the interim setting until the 
expiration of the prescribed period or the hearing officer makes a 
decision on placement, whichever occurs first, unless the parent and the 
school agree otherwise.
    (19) General hearing administration. The Director, DOHA, shall:
    (i) Exercise administrative responsibility for ensuring the 
timeliness, fairness, and impartiality of the hearing and appeal 
procedures to be conducted in accordance with this section.
    (ii) Appoint hearing officers from the DOHA Administrative judges 
who shall:
    (A) Be attorneys who are active members of the bar of the highest 
court of a State, U.S. Commonwealth,

[[Page 366]]

U.S. Territory, or the District of Columbia and permitted to engage in 
the active practice of law, who are qualified in accordance with DoD 
Instruction 1442.02, ``Personnel Actions Involving Civilian Attorneys'' 
(available at http://www.dtic.mil/whs/directives/corres/pdf/
144202p.pdf).
    (B) Possess the knowledge of and ability to:
    (1) Understand the provisions of the IDEA and this part, and related 
Federal laws and legal interpretations of those regulations by Federal 
courts.
    (2) Conduct hearings in accordance with appropriate, standard legal 
practice.
    (3) Render and write decisions in accordance with the requirements 
of this part.
    (C) Be disqualified from presiding in any individual case if the 
hearing officer:
    (1) Has a personal or professional interest that conflicts with the 
hearing officer's objectivity in the hearing.
    (2) Is a current employee of, or military member assigned to, DoDEA 
or the Military Medical Department providing services in accordance with 
the IDEA and this part.
    (20) Publication and reporting of final decisions. The Director, 
DOHA, shall ensure that hearing officer and appeal board decisions in 
cases arising in accordance with this section are published and indexed 
with all personally identifiable information redacted to protect the 
privacy rights of the parents who are parties in the due process hearing 
and the children of such parents, in accordance with 32 CFR part 310.
    (21) Civil actions. Any party aggrieved by the final administrative 
decision of a due process complaint shall have the right to file a civil 
action in a district court of the United States of competent 
jurisdiction without regard to the amount in controversy. The party 
bringing the civil action shall have 90 days from the date of the 
decision of the hearing officer or, if applicable, the date of the 
decision of the DOHA Appeal Board, to file a civil action.
    (e) DoD-CC on early intervention, special education, and related 
services--(1) Committee membership. The DoD-CC shall meet at least 
annually to facilitate collaboration in early intervention, special 
education, and related services in the Department of Defense. The 
Secretary of Defense shall appoint representatives to serve on the DoD-
CC who shall be full-time or permanent part-time government employees or 
military members from:
    (i) USD(P&R), who shall serve as the Chair.
    (ii) Secretaries of the Military Departments.
    (iii) Defense Health Agency.
    (iv) DoDEA.
    (v) GC, DoD.
    (2) Responsibilities. The responsibilities of the DoD-CC include:
    (i) Implementation of a comprehensive, multidisciplinary program of 
EIS for infants and toddlers with disabilities and their families.
    (ii) Provision of a FAPE, including special education and related 
services, for children with disabilities who are enrolled full-time in 
the DoDEA school system, as specified in their IEP.
    (iii) Designation of a subcommittee on compliance to:
    (A) Advise and assist the USD(P&R) in the performance of his or her 
responsibilities.
    (B) At the direction of the USD(P&R), advise and assist the Military 
Departments and DoDEA in the coordination of services among providers of 
early intervention, special education, and related services.
    (C) Monitor compliance in the provision of EIS for infants and 
toddlers and special education and related services for children ages 3 
to 21, inclusive.
    (D) Identify common concerns, facilitate coordination of effort, and 
forward issues requiring resolution to the USD(P&R).
    (E) Assist in the coordination of assignments of sponsors who have 
children with disabilities who are or who may be eligible for special 
education and related services through DoDEA or EIS through the Military 
Departments.
    (F) Perform other duties as assigned by the USD(P&R), including 
oversight for monitoring the delivery of services consistent with the 
IDEA and this part.
    (f) Monitoring--(1) Program monitoring and oversight. (i) The 
USD(P&R) shall monitor the implementation of the provisions of the IDEA 
and this part in

[[Page 367]]

the programs operated by the Department of Defense. The USD(P&R) will 
carry out his or her responsibilities under this section primarily 
through the DoD-CC.
    (ii) The primary focus of monitoring shall be on:
    (A) Improving educational results and functional outcomes for all 
children with disabilities.
    (B) Ensuring the DoD programs meet the requirements of the IDEA and 
this part.
    (iii) Monitoring shall include the following priority areas and any 
additional priority areas identified by the USD(P&R):
    (A) Provision of a FAPE in the LRE and the delivery of early 
intervention services.
    (B) Child-find.
    (C) Program management.
    (D) The use of dispute resolution including administrative 
complaints, due process and the mandatory resolution process, and 
voluntary mediation.
    (E) A system of transition services.
    (iv) The USD(P&R) shall develop quantifiable indicators in each of 
the priority areas and such qualitative indicators necessary to 
adequately measure performance.
    (v) DoDEA and the Military Departments shall establish procedures 
for monitoring special services and reviewing program compliance in 
accordance with the requirements of this section.
    (vi) By January 1 of each calendar year, the DoD-CC shall identify 
any additional information required to support compliance activities 
that will be included in the next annual compliance report to be 
submitted no later than September 30 of that year. The results of 
monitoring program areas described in paragraph (f)(1)(iii) of this 
section shall be reported in a manner that does not result in the 
disclosure of data identifiable to individual children.
    (2) Compliance reporting. The Director, DoDEA, and the Military 
Departments shall submit reports to the DoD-CC not later than September 
30 each year that summarize the status of compliance. The reports shall:
    (i) Identify procedures conducted at headquarters and at each 
subordinate level, including on-site visits, to evaluate compliance with 
the IDEA and this part.
    (ii) Summarize the findings and indicate the status of program 
compliance.
    (iii) Describe corrective actions required of the programs that did 
not meet the requirements of the IDEA and this part and identify the 
technical assistance that was or shall be provided to ensure compliance.
    (iv) Include applicable data on the operation of special education 
and early intervention in the Department of Defense. Data must be 
submitted in the format required by the DoD-CC to enable the aggregation 
of data across components. March 31 shall be the census date for 
counting children for the reporting period that begins on July 1 and 
ends on June 30 of the following year.
    (3) School level reporting. (i) The reporting requirements for 
school aged children (3 through 21, inclusive) with disabilities shall 
also include:
    (A) Data to determine if significant disproportionality based on 
race and ethnicity is occurring with respect to:
    (1) The identification of school-aged children as children with 
disabilities including the identification of children as children with 
disabilities affected by a particular impairment described in paragraph 
(g) of this section.
    (2) The placement of these children in particular educational 
settings.
    (3) The incidence, duration, and type of disciplinary suspensions 
and expulsions.
    (4) Removal to an interim AES, the acts or items precipitating those 
removals, and the number of children with disabilities who are subject 
to long-term suspensions or expulsions.
    (5) The number and percentage of school-aged children with 
disabilities, by race, ethnicity, limited English proficiency status, 
gender, and disability category, who are:
    (i) Receiving special education and related services.
    (ii) Participating in regular education.
    (iii) In separate classes, separate schools or facilities, or public 
or private residential facilities.
    (B) The number of due process complaints requested, the number of 
hearings conducted, and the number of

[[Page 368]]

changes in placement ordered as a result of those hearings.
    (C) The number of mediations held and the number of settlement 
agreements reached through such mediations.
    (ii) For each year of age from age 16 through 21, children who 
stopped receiving special education and related services because of 
program completion (including graduation with a regular secondary school 
diploma) or other reasons, and the reasons why those children stopped 
receiving special education and related services.
    (4) Early intervention reporting. The reporting requirements for 
infants and toddlers with disabilities shall also include:
    (i) Data to determine if significant disproportionality based on 
race, gender, and ethnicity is occurring with respect to infants and 
toddlers with disabilities who:
    (A) Received EIS by criteria of developmental delay or a high 
probability of developing a delay.
    (B) Stopped receiving EIS because of program completion or for other 
reasons.
    (C) Received EIS in natural environments.
    (D) Received EIS in a timely manner as defined in paragraph (a) of 
this section.
    (ii) The number of due process complaints requested and the number 
of hearings conducted.
    (iii) The number of mediations held and the number of settlement 
agreements reached through such mediations.
    (5) USD(P&R) oversight. (i) On behalf of the USD(P&R), the DoD-CC 
shall make or arrange for periodic visits, not less than annually, to 
selected programs to ensure the monitoring process is in place; validate 
the compliance data and reporting; and address select focus areas 
identified by the DoD-CC and priority areas identified in paragraph 
(f)(1) of this section. The DoD-CC may use other means in addition to 
periodic visits to ensure compliance with the requirements established 
in this part.
    (ii) The DoD-CC shall identify monitoring team members to conduct 
monitoring activities.
    (iii) For DoD-CC monitoring visits, the Secretaries of the Military 
Departments shall:
    (A) Provide necessary technical assistance and logistical support to 
monitoring teams during monitoring visits to facilities for which they 
are responsible.
    (B) Provide necessary travel funding and support for their 
respective team members.
    (C) Cooperate with monitoring teams, including making all pertinent 
records available to the teams.
    (D) Promptly implement monitoring teams' recommendations concerning 
early intervention and related services for which the Secretary 
concerned has responsibility, including those to be furnished through an 
inter-Service agreement.
    (iv) For DoD-CC monitoring visits, the Director, DoDEA, shall:
    (A) Provide necessary technical assistance and logistical support to 
monitoring teams during monitoring visits to facilities for which he or 
she is responsible.
    (B) Cooperate with monitoring teams, including making all pertinent 
records available to the teams.
    (C) Promptly implement monitoring teams' recommendations concerning 
special education and related services for which the DoDEA school system 
concerned has responsibility.
    (v) The ASD(HA) shall provide technical assistance to the DoD 
monitoring teams when requested.
    (vi) The GC, DoD shall:
    (A) Provide legal counsel to the USD(P&R), and, where appropriate, 
to DoDEA, monitored agencies, and monitoring teams regarding monitoring 
activities conducted pursuant to this part.
    (B) Provide advice about the legal requirements of this part and 
Federal law to the DoDEA school systems, military medical commanders, 
military installation commanders, and to other DoD personnel as 
appropriate, in connection with monitoring activities conducted pursuant 
to this part.
    (g) Types of disabilities in children ages 3 through 21. A child may 
be eligible for services under paragraph (b) of this

[[Page 369]]

section if by reason of one of the following disabilities the child 
needs special education and related services.
    (1) Autism Spectrum Disorder. A developmental disability 
significantly affecting verbal and nonverbal communication and social 
interaction that adversely affects a child's educational performance. 
Other characteristics often associated with autism are engagement in 
repetitive activities and stereotyped movements, resistance to 
environmental change or change in daily routines, and unusual responses 
to sensory experiences. Essential features are typically but not 
necessarily manifested before age 3. Autism may include autism spectrum 
disorders such as but not limited to autistic disorder, pervasive 
developmental disorder not otherwise specified, and Asperger's syndrome. 
The term does not apply if a child's educational performance is 
adversely affected primarily because the child has an emotional 
disturbance.
    (2) Deafness. A hearing loss or deficit so severe that it impairs a 
child's ability to process linguistic information through hearing, with 
or without amplification, and affects the child's educational 
performance adversely.
    (3) Deaf-blindness. A combination of hearing and visual impairments 
causing such severe communication, developmental, and educational needs 
that the child cannot be accommodated in programs specifically for 
children with deafness or children with blindness.
    (4) Developmental delay. A significant discrepancy, as defined and 
measured in accordance with paragraph (a)(4)(ii)(A) and confirmed by 
clinical observation and judgment, in the actual functioning of a child, 
birth through age 7, or any subset of that age range including ages 3 
through 5, when compared with the functioning of a non-disabled child of 
the same chronological age in any of the following developmental areas: 
Physical, cognitive, communication, social or emotional, or adaptive 
development. A child determined to have a developmental delay before the 
age of 7 may maintain that eligibility through age 9.
    (5) Emotional disturbance. A condition confirmed by clinical 
evaluation and diagnosis and that, over a long period of time and to a 
marked degree, adversely affects educational performance and exhibits 
one or more of the following characteristics:
    (i) Inability to learn that cannot be explained by intellectual, 
sensory, or health factors.
    (ii) Inability to build or maintain satisfactory interpersonal 
relationships with peers and teachers.
    (iii) Inappropriate types of behavior or feelings under normal 
circumstances.
    (iv) A general pervasive mood of unhappiness or depression.
    (v) A tendency to develop physical symptoms or fears associated with 
personal or school problems.
    (vi) Includes children who are schizophrenic, but does not include 
children who are socially maladjusted unless it is determined they are 
emotionally disturbed.
    (6) Hearing impairment. An impairment in hearing, whether permanent 
or fluctuating, that adversely affects a child's educational performance 
but is not included under the definition of deafness.
    (7) Intellectual disability. Significantly below-average general 
intellectual functioning, existing concurrently with deficits in 
adaptive behavior. This disability is manifested during the 
developmental period and adversely affects a child's educational 
performance.
    (8) Orthopedic impairment. A severe orthopedic impairment that 
adversely affects a child's educational performance. That term includes 
congenital impairments such as club foot or absence of some member; 
impairments caused by disease, such as poliomyelitis and bone 
tuberculosis; and impairments from other causes such as cerebral palsy, 
amputations, and fractures or burns causing contractures.
    (9) Other health impairment. Limited strength, vitality, or 
alertness including a heightened alertness to environmental stimuli that 
results in limited alertness with respect to the educational 
environment, that is due to chronic or acute health problems and that 
adversely affects a child's educational performance. Such impairments 
may include, but are not necessarily limited to, attention deficit

[[Page 370]]

disorder, attention deficit hyperactivity disorder, heart condition, 
tuberculosis, rheumatic fever, nephritis, asthma, sickle cell anemia, 
hemophilia, seizure disorder, lead poisoning, leukemia, or diabetes.
    (10) Specific learning disability. A disorder in one or more of the 
basic psychological processes involved in understanding or in using 
spoken or written language that may manifest itself as an imperfect 
ability to listen, think, speak, read, write, spell, remember, or do 
mathematical calculations. That term includes such conditions, 
recognizing that they may have been otherwise labeled with terms such as 
perceptual disabilities, brain injury, minimal brain dysfunction, 
dyslexia, and developmental aphasia. This term does not include learning 
problems that are primarily the result of visual, hearing, or motor 
disabilities; intellectual disability; emotional disturbance; or 
environmental, cultural, or economic differences.
    (11) Speech or language impairments. A communication disorder such 
as stuttering; impaired articulation; limited, impaired or delayed 
capacity to use expressive and/or receptive language; or a voice 
impairment that adversely affects a child's educational performance.
    (12) Traumatic brain injury. An acquired injury to the brain caused 
by an external physical force resulting in total or partial functional 
disability or psychosocial impairment (or both) that adversely affects 
educational performance. Includes open or closed head injuries resulting 
in impairments in one or more areas including cognition, language, 
memory, attention, reasoning, abstract thinking, judgment, problem 
solving, sensory, perceptual and motor abilities, psychosocial behavior, 
physical function, information processing, and speech. The term does not 
include brain injuries that are congenital or degenerative or brain 
injuries that are induced by birth trauma.
    (13) Visual impairment, including blindness. An impairment of vision 
that, even with correction, adversely affects a child's educational 
performance. Term includes both partial sight and blindness. DoD also 
recognizes that a child may be eligible for services under paragraph (b) 
if they demonstrate ``Multiple Disabilities'' which DoD defines as: 
``Concomitant impairments (such as intellectual disability-blindness or 
intellectual disability-orthopedic impairment), the combination of which 
causes such severe educational needs that they cannot be accommodated in 
special education programs solely for one of the impairments. Multiple 
disabilities does not include deaf-blindness, which is set forth as its 
own type of disability at Sec. 57.6(g)(3).



PART 60_FAMILY ADVOCACY COMMAND ASSISTANCE TEAM (FACAT)--
Table of Contents



Sec.
60.1 Purpose.
60.2 Applicability.
60.3 Definitions.
60.4 Policy.
60.5 Responsibilities.
60.6 Procedures.

    Authority: 10 U.S.C. 1794; 42 U.S.C. 13031.

    Source: 79 FR 25676, May 6, 2014, unless otherwise noted.



Sec. 60.1  Purpose.

    This part establishes policy, assigns responsibilities, and 
prescribes procedures for implementation and use of the FACAT in 
accordance with 10 U.S.C. 1794.



Sec. 60.2  Applicability.

    (a) This part applies to Office of the Secretary of Defense (OSD), 
the Military Departments, the Office of the Chairman of the Joint Chiefs 
of Staff and the Joint Staff, the Combatant Commands, the Office of the 
Inspector General of the Department of Defense, the Defense Agencies, 
the DoD Field Activities and all other organizational entities in the 
DoD (hereinafter referred to collectively as the ``DoD Components'').
    (b) The term ``Military Services,'' as used herein, refers to the 
Army, Navy, Air Force, and Marine Corps.



Sec. 60.3  Definitions.

    Unless otherwise noted, these terms and their definitions are for 
the purpose of this part.

[[Page 371]]

    Child. An unmarried person under 18 years of age for whom a parent, 
guardian, foster parent, caregiver, employee of a residential facility, 
or any staff person providing out-of-home care is legally responsible. 
The term ``child'' means a biological child, adopted child, stepchild, 
foster child, or ward. The term also includes a sponsor's family member 
(except the sponsor's spouse) of any age who is incapable of self-
support because of a mental or physical incapacity, and for whom 
treatment in a DoD medical treatment program is authorized.
    Child abuse. The physical or sexual abuse, emotional abuse, or 
neglect of a child by a parent, guardian, foster parent, or by a 
caregiver, whether the caregiver is intrafamilial or extrafamilial, 
under circumstances indicating the child's welfare is harmed or 
threatened. Such acts by a sibling, other family member, or other person 
shall be deemed to be child abuse only when the individual is providing 
care under express or implied agreement with the parent, guardian, or 
foster parent.
    Child sexual abuse. The employment, use, persuasion, inducement, 
enticement, or coercion of any child to engage in, or assist any other 
person to engage in, any sexually explicit conduct or simulation of such 
conduct for the purpose of producing a visual depiction of such conduct; 
or the rape, and in cases of caretaker or inter-familial relationships, 
statutory rape, molestation, prostitution, or other form of sexual 
exploitation of children, or incest with children.
    DoD-sanctioned activity. A U.S. Government activity or a 
nongovernmental activity authorized by appropriate DoD officials to 
perform child care or supervisory functions on DoD controlled property. 
The care and supervision of children may be either its primary mission 
or incidental in carrying out another mission (e.g., medical care). 
Examples include Child Development Centers, Department of Defense 
Dependents Schools, Youth Activities, School Age/Latch Key Programs, 
Family Day Care providers, and child care activities that may be 
conducted as a part of a chaplain's program or as part of another 
Morale, Welfare, or Recreation Program.
    FACAT. A multidisciplinary team composed of specially trained and 
experienced individuals who are on-call to provide advice and assistance 
on cases of child sexual abuse that involve DoD-sanctioned activities.
    Family Advocacy Program Director (FAPD). An individual designated by 
the Secretary of the Military Department or the head of another DoD 
Component to manage, monitor, and coordinate the FAP at the headquarters 
level.
    Family Advocacy Program Manager (FAPM). An individual designated by 
the Secretary of the Military Department to manage, monitor, and 
coordinate the FAP at the headquarters level.
    Military criminal investigative organization (MCIO). U.S. Army 
Criminal Investigation Command, Naval Criminal Investigative Service, 
and Air Force Office of Special Investigations.
    Out-of-home care. The responsibility of care for and/or supervision 
of a child in a setting outside the child's home by an individual placed 
in a caretaker role sanctioned by a DoD Component or authorized by a DoD 
Component as a provider of care. Examples include a child development 
center, school, recreation program, family child care, and child care 
activities that may be conducted as a part of a chaplain's program or as 
part of another morale, welfare, or recreation program.



Sec. 60.4  Policy.

    It is DoD policy to:
    (a) Provide a safe and secure environment for DoD personnel and 
their families by promoting the prevention, early identification, and 
intervention in all allegations of child abuse and neglect in accordance 
with DoD Directive 6400.1, ``Family Advocacy Program (FAP)'' (see http:/
/www.dtic.mil/whs/directives/corres/pdf/640001p.pdf).
    (b) Promote early identification and intervention in allegations of 
extrafamilial child sexual abuse in accordance with DoD Directive 6400.1 
as it applies to DoD-sanctioned activities.
    (c) Provide a coordinated and comprehensive DoD response through the 
deployment of the FACAT to assist the

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Military Department upon DoD Component request to address allegations of 
extrafamilial child sexual abuse in DoD-sanctioned activities.
    (d) Foster cooperation among the DoD, other Federal agencies, and 
responsible civilian authorities when addressing allegations of 
extrafamilial child sexual abuse in DoD-sanctioned activities.
    (e) Promote timely and comprehensive reporting of all incidents 
covered by this part.
    (f) As appropriate, actively seek prosecution of alleged 
perpetrators to the fullest extent of the law.
    (g) Ensure that personally identifiable information, to include 
protected health information collected, used, and released by covered 
entities in the execution of this part is protected as required by DoD 
6025.18-R, ``DoD Health Information Privacy Regulation'' (see http://
www.dtic.mil/whs/directives/corres/pdf/602518r.pdf) and 5 U.S.C. 552a as 
implemented in the Department of Defense by 32 CFR part 310.



Sec. 60.5  Responsibilities.

    (a) The Deputy Assistant Secretary of Defense for Military Community 
and Family Policy (DASD(MC&FP)), under the authority, direction, and 
control of the Assistant Secretary of Defense for Readiness and Force 
Management, shall:
    (1) Monitor compliance with this part.
    (2) Train, maintain, and support a team of full-time or permanent 
part-time federal officers or employees from various disciplines to 
comprise the FACAT and respond to child sexual abuse in DoD-sanctioned 
activities.
    (3) Develop and coordinate criteria for determining the appropriate 
professional disciplines, support staff, and the required capabilities 
of FACAT members.
    (4) Ensure that policies and guidelines on activation and use of the 
FACAT are shared and coordinated with the DoD Components.
    (5) Program, budget, and allocate funds for the FACAT.
    (6) Appoint the chief of the FACAT and team members, and provide 
required logistical support when the FACAT is deployed.
    (7) Coordinate the management and interaction of this effort with 
other Federal and civilian agencies as necessary.
    (8) Foster general awareness of FACAT goals and responsibilities.
    (b) The Secretaries of the Military Departments shall:
    (1) Ensure compliance with this part throughout their respective 
Departments.
    (2) Establish departmental procedures to implement with this part.
    (3) Designate nominees for the FACAT upon request and ensure 
replacements are nominated when vacancies are indicated.
    (4) Ensure that commanders and staff are aware of the availability 
and proper use of the FACAT and the procedures for requesting a FACAT to 
assist in addressing extrafamilial child sexual abuse allegations 
covered by this part.
    (5) Encourage timely and comprehensive reporting in accordance with 
this part.



Sec. 60.6  Procedures.

    (a) Reporting requirements. Any person with a reasonable belief that 
an incident of child abuse has occurred in a DoD-sanctioned activity 
must report it to:
    (1) The appropriate civilian agency in accordance with 42 U.S.C. 
13031 and 28 CFR 81.1-81.5.
    (2) The installation FAP as required by DoD Directive 6400.1.
    (b) Notification of suspected abuse--(1) Physical or emotional abuse 
or neglect. If a report of suspected child physical abuse, emotional 
abuse, or neglect in a DoD-sanctioned activity is made to the FAP, the 
FAPM shall:
    (i) Notify the appropriate military or civilian law enforcement 
agency, or multiple law enforcement agencies as appropriate.
    (ii) Contact the appropriate civilian child protective services 
agency, if any, to request assistance.
    (2) Sexual abuse. If a report of suspected child sexual abuse in a 
DoD-sanctioned activity is made to the FAP, the FAPM, in addition to the 
procedures noted in paragraph (b)(1) of this section, shall:

[[Page 373]]

    (i) Immediately notify the servicing MCIO and civilian law 
enforcement as appropriate.
    (ii) Forward the report DD Form 2951, ``Initial Report of Suspected 
Child Sexual Abuse in DoD Operated or Sponsored Activities,'' required 
by 10 U.S.C. 1794 through DoD Component FAP channels to the DASD(MC&FP) 
within 72 hours.
    (iii) Consult with the person in charge of the DoD-sanctioned 
activity and the appropriate law enforcement agency to estimate the 
number of potential victims and determine whether an installation 
response team may be appropriate to address the investigative, medical, 
psychological, and public affairs issues that may arise.
    (iv) Notify the installation commander of the allegation and 
recommend whether an installation response team may be appropriate to 
assess the current situation and coordinate the installation's response 
to the incidents.
    (v) Submit a written follow-up report using DD Form 2952, ``Closeout 
Report of Suspected Child Sexual Abuse in DoD Operated or Sponsored 
Activities,'' through DoD Component channels regarding all allegations 
of child sexual abuse to the DASD(MC&FP) when:
    (A) There have been significant changes in the status of the case;
    (B) There are more than five potential victims;
    (C) The sponsors of the victims are from different Military Services 
or DoD Components;
    (D) There is increased community sensitivity to the allegation; or
    (E) The DASD(MC&FP) has requested a follow-up report.
    (c) Requesting a FACAT. An installation commander may request a 
FACAT through appropriate DoD Component channels from the DASD(MC&FP) 
when alleged child sexual abuse by a care provider in a DoD-sanctioned-
activity has been reported and at least one of the following apply:
    (1) Additional personnel are needed to:
    (i) Fully investigate a report of child sexual abuse by a care 
provider or employee in a DoD-sanctioned activity;
    (ii) Assess the needs of the child victims and their families; or
    (iii) Provide supportive treatment to the child victims and their 
families.
    (2) The victims are from different Military Services or DoD 
Components, or there are multiple care providers who are the subjects of 
the report from different Military Services or DoD Components.
    (3) Significant issues in responding to the allegations have arisen 
between the Military Services or DoD Components and other Federal 
agencies or civilian authorities.
    (4) The situation has potential for widespread public interest that 
could negatively impact performance of the DoD mission.
    (d) Deployment of a FACAT. (1) The DASD(MC&FP) shall deploy a FACAT 
at the request of a DoD Component.
    (2) The DASD(MC&FP) may deploy a FACAT at the request of the Head of 
the DoD Component without a request from the installation commander. 
Such circumstances include a case where:
    (i) The victims are from different Military Services or DoD 
Components, or there are multiple care providers who are the subjects of 
the report from different Military Services or DoD Components;
    (ii) Significant issues in responding to the allegations have arisen 
between the Military Services or DoD Components and other Federal 
agencies or civilian authorities; or
    (iii) The situation has potential for widespread public interest 
that could negatively impact performance of the DoD mission.
    (3) The DASD(MC&FP) shall configure the FACAT based on the 
information and recommendations of the requestor, the installation FAPM, 
and the FAPD of the DoD Component.
    (4) The DASD(MC&FP) shall:
    (i) Request the FAPDs to identify several individuals from the FACAT 
roster who are available for deployment.
    (ii) Request, through the appropriate channels of the DoD Component, 
that the individuals' supervisors release them from normal duty 
positions to serve on temporary duty with the deploying FACAT.

[[Page 374]]

    (5) The DASD(MC&FP) shall provide fund citations to the FACAT 
members for their travel orders and per diem and shall provide 
information regarding travel arrangements. The FACAT members shall be 
responsible for preparing travel orders and making travel arrangements.
    (6) FACAT members who are subject to DoD Instruction 6025.13, 
``Medical Quality Assurance (MQA) and Clinical Quality Management in the 
Military Health System (MHS)'' (see http://www.dtic.mil/whs/directives/
corres/pdf/602513p.pdf) shall be responsible for arranging temporary 
clinical privileges in accordance with DoD 6025.13-R, ``Military Health 
System (MHS) Clinical Quality Assurance (CQA) Program Regulation'' (see 
http://www.dtic.mil/whs/directives/corres/pdf/602513r.pdf) at the 
installation to which they shall be deployed.
    (e) FACAT tasks. The FACAT shall meet with the installation's 
commanding officer, the MCIO, or designated response team to assess the 
current situation and assist in coordinating the installation's response 
to the incidents. Depending on the composition of the team, such tasks 
may include:
    (1) Investigating the allegations.
    (2) Conducting medical and mental health assessment of the victims 
and their families.
    (3) Developing and implementing plans to provide appropriate 
treatment and support for the victims and their families and for the 
non-abusing staff of the DoD-sanctioned activity.
    (4) Coordinating with local officials to manage public affairs 
tasks.
    (f) Reports of FACAT activities. The FACAT chief shall prepare three 
types of reports:
    (1) Daily briefs for the installation commander or designee.
    (2) Periodic updates to the FAPD of the DoD Component and to the 
DASD(MC&FP).
    (3) An after-action brief for the installation commander briefed at 
the completion of the deployment and transmitted to the DASD(MC&FP) and 
the FAPD of the DoD Component.



PART 61_FAMILY ADVOCACY PROGRAM (FAP)--Table of Contents



                 Subpart A_Family Advocacy Program (FAP)

Sec.
61.1 Purpose.
61.2 Applicability.
61.3 Definitions.
61.4 Policy.
61.5 Responsibilities.
61.6 Procedures.

                         Subpart B_FAP Standards

61.7 Purpose.
61.8 Applicability.
61.9 Definitions.
61.10 Policy.
61.11 Responsibilities.
61.12 Procedures.

Subparts C-D [Reserved]

 Subpart E_Guidelines for Clinical Intervention for Persons Reported as 
                            Domestic Abusers

61.25 Purpose.
61.26 Applicability.
61.27 Definitions.
61.28 Policy.
61.29 Responsibilities.
61.30 Procedures.



                 Subpart A_Family Advocacy Program (FAP)

    Authority: 5 U.S.C. 552a; 10 U.S.C. 1058(b), 1783, 1787, and 1794; 
Public Law 103-337, Section 534(d)(2).

    Source: 80 FR 11780, Mar. 4, 2015, unless otherwise noted.



Sec. 61.1  Purpose.

    This part is composed of several subparts, each containing its own 
purpose. This subpart establishes policy and assigns responsibilities 
for addressing child abuse and domestic abuse through the FAP.



Sec. 61.2  Applicability.

    This subpart applies to the Office of the Secretary of Defense 
(OSD), the Military Departments, the Office of the Chairman of the Joint 
Chiefs of Staff and the Joint Staff, the Combatant Commands, the Office 
of the Inspector General of the Department of Defense, the Defense 
Agencies, the DoD Field

[[Page 375]]

Activities, and all other organizational entities within the Department 
of Defense (referred to collectively in this subpart as the ``DoD 
Components'').



Sec. 61.3  Definitions.

    Unless otherwise noted, these terms and their definitions are for 
the purposes of this subpart.
    Alleged abuser. An individual reported to the FAP for allegedly 
having committed child abuse or domestic abuse.
    Child. An unmarried person under 18 years of age for whom a parent, 
guardian, foster parent, caregiver, employee of a residential facility, 
or any staff person providing out-of-home care is legally responsible. 
The term means a biological child, adopted child, stepchild, foster 
child, or ward. The term also includes a sponsor's family member (except 
the sponsor's spouse) of any age who is incapable of self-support 
because of a mental or physical incapacity, and for whom treatment in a 
DoD medical treatment program is authorized.
    Child abuse. The physical or sexual abuse, emotional abuse, or 
neglect of a child by a parent, guardian, foster parent, or by a 
caregiver, whether the caregiver is intrafamilial or extrafamilial, 
under circumstances indicating the child's welfare is harmed or 
threatened. Such acts by a sibling, other family member, or other person 
shall be deemed to be child abuse only when the individual is providing 
care under express or implied agreement with the parent, guardian, or 
foster parent.
    DoD-sanctioned activity. A DoD-sanctioned activity is defined as a 
U.S. Government activity or a nongovernmental activity authorized by 
appropriate DoD officials to perform child care or supervisory functions 
on DoD controlled property. The care and supervision of children may be 
either its primary mission or incidental in carrying out another mission 
(e.g., medical care). Examples include Child Development Centers, 
Department of Defense Dependents Schools, or Youth Activities, School 
Age/Latch Key Programs, Family Day Care providers, and child care 
activities that may be conducted as a part of a chaplain's program or as 
part of another Morale, Welfare, or Recreation Program.
    Domestic abuse. Domestic violence or a pattern of behavior resulting 
in emotional/psychological abuse, economic control, and/or interference 
with personal liberty that is directed toward a person who is:
    (1) A current or former spouse.
    (2) A person with whom the abuser shares a child in common; or
    (3) A current or former intimate partner with whom the abuser shares 
or has shared a common domicile.
    Domestic violence. An offense under the United States Code, the 
Uniform Code of Military Justice (UCMJ), or State law involving the use, 
attempted use, or threatened use of force or violence against a person, 
or a violation of a lawful order issued for the protection of a person 
who is:
    (1) A current or former spouse.
    (2) A person with whom the abuser shares a child in common; or
    (3) A current or former intimate partner with whom the abuser shares 
or has shared a common domicile.
    Family Advocacy Command Assistance Team (FACAT). A multidisciplinary 
team composed of specially trained and experienced individuals who are 
on-call to provide advice and assistance on cases of child sexual abuse 
that involve DoD-sanctioned activities.
    Family advocacy committee (FAC). The policy-making, coordinating, 
recommending, and overseeing body for the installation FAP.
    FAP. A program designed to address prevention, identification, 
evaluation, treatment, rehabilitation, follow-up, and reporting of 
family violence. FAPs consist of coordinated efforts designed to prevent 
and intervene in cases of family distress, and to promote healthy family 
life.
    Family Advocacy Program Manager (FAPM). An individual designated by 
a Secretary of a Military Department or the head of another DoD 
Component to manage, monitor, and coordinate the FAP at the headquarters 
level.
    Incident determination committee (IDC). A multidisciplinary team of 
designated individuals working at the installation level, tasked with 
determining whether a report of domestic abuse or child abuse meets the 
relevant DoD criteria

[[Page 376]]

for entry into the Service FAP Central Registry as child abuse and 
domestic abuse incident. Formerly known as the Case Review Committee.
    Incident status determination. The IDC determination of whether or 
not the reported incident meets the relevant criteria for alleged child 
abuse or domestic abuse for entry into the Service FAP central registry 
of child abuse and domestic abuse reports.
    New Parent Support Program (NPSP). A standardized secondary 
prevention program under the FAP that delivers intensive, voluntary, 
strengths based home visitation services designed specifically for 
expectant parents and parents of children from birth to 3 years of age 
to reduce the risk of child abuse and neglect.
    Restricted reporting. A process allowing an adult victim of domestic 
abuse, who is eligible to receive military medical treatment, including 
civilians and contractors who are eligible to receive military 
healthcare outside the Continental United States on a reimbursable 
basis, the option of reporting an incident of domestic abuse to a 
specified individual without initiating the investigative process or 
notification to the victim's or alleged offender's commander.
    Unrestricted reporting. A process allowing a victim of domestic 
abuse to report an incident using current reporting channels, e.g. chain 
of command, law enforcement or criminal investigative organization, and 
FAP for clinical intervention.



Sec. 61.4  Policy.

    It is DoD policy to:
    (a) Promote public awareness and prevention of child abuse and 
domestic abuse.
    (b) Provide adult victims of domestic abuse with the option of 
making restricted reports to domestic abuse victim advocates and to 
healthcare providers in accordance with DoD Instruction 6400.06, 
``Domestic Abuse Involving DoD Military and Certain Affiliated 
Personnel'' (available at http://www.dtic.mil/whs/directives/corres/pdf/
640006p.pdf).
    (c) Promote early identification; reporting options; and 
coordinated, comprehensive intervention, assessment, and support to:
    (1) Victims of suspected child abuse, including victims of extra-
familial child abuse.
    (2) Victims of domestic abuse.
    (d) Provide assessment, rehabilitation, and treatment, including 
comprehensive abuser intervention.
    (e) Provide appropriate resource and referral information to persons 
who are not covered by this subpart, who are victims of alleged child 
abuse or domestic abuse.
    (f) Cooperate with responsible federal and civilian authorities and 
organizations in efforts to address the problems to which this subpart 
applies.
    (g) Ensure that personally identifiable information (PII) collected 
in the course of FAP activities is safeguarded to prevent any 
unauthorized use or disclosure and that the collection, use, and release 
of PII is in compliance with 5 U.S.C. 552a.
    (h) Develop program standards (PSs) and critical procedures for the 
FAP that reflect a coordinated community risk management approach to 
child abuse and domestic abuse.
    (i) Provide appropriate individualized and rehabilitative treatment 
that supplements administrative or disciplinary action, as appropriate, 
to persons reported to FAP as domestic abusers.
    (j) Maintain a central child abuse and domestic abuse database to:
    (1) Analyze the scope of child abuse and domestic abuse, types of 
abuse, and information about victims and alleged abusers to identify 
emerging trends, and develop changes in policy to address child abuse 
and domestic abuse.
    (2) Support the requirements of DoD Instruction 1402.5, ``Criminal 
History Background Checks on Individuals in Child Care Services'' 
(available at http://www.dtic.mil/whs/directives/corres/pdf/
140205p.pdf).
    (3) Support the response to public, congressional, and other 
government inquiries.
    (4) Support budget requirements for child abuse and domestic abuse 
program funding.

[[Page 377]]



Sec. 61.5  Responsibilities.

    (a) The Under Secretary of Defense for Personnel and Readiness 
(USD(P&R)) will:
    (1) Collaborate with the DoD Component heads to establish programs 
and guidance to implement the FAP elements and procedures in Sec. 61.6 
of this subpart.
    (2) Program, budget, and allocate funds and other resources for FAP, 
and ensure that such funds are only used to implement the policies 
described in Sec. 61.6 of this subpart.
    (b) Under the authority, direction, and control of the USD(P&R), the 
Assistant Secretary of Defense for Readiness and Force Management 
(ASD(R&FM)) or designee will review FAP instructions and policies prior 
to USD(P&R) signature.
    (c) Under the authority, direction, and control of the USD(P&R) 
through the ASD(R&FM), the Deputy Assistant Secretary of Defense for 
Military Community and Family Policy (DASD(MC&FP)) will:
    (1) Develop DoD-wide FAP policy, coordinate the management of FAP 
with other programs serving military families, collaborate with federal 
and State agencies addressing FAP issues, and serve on intra-
governmental advisory committees that address FAP-related issues.
    (2) Ensure that the information included in notifications of extra-
familial child sexual abuse in DoD-sanctioned activities is retained for 
1 month from the date of the initial report to determine whether a 
request for a FACAT in accordance with DoD Instruction 6400.03, ``Family 
Advocacy Command Assistance Team'' (available at http://www.dtic.mil/
whs/directives/corres/pdf/640003p.pdf) may be forthcoming.
    (3) Monitor and evaluate compliance with this subpart.
    (4) Review annual summaries of accreditation/inspection reviews 
submitted by the Military Departments.
    (5) Convene an annual DoD Accreditation/Inspection Review Summit to 
review and respond to the findings and recommendations of the Military 
Departments' accreditation/inspection reviews.
    (d) The Secretaries of the Military Departments will:
    (1) Establish DoD Component policy and guidance on the development 
of FAPs, including case management and monitoring of the FAP consistent 
with 10 U.S.C. 1058(b), this subpart, and published FAP guidance, 
including DoD Instruction 6400.06 and DoD 6400.1-M, ``Family Advocacy 
Program Standards and Self-Assessment Tool'' (available at http://
www.dtic.mil/whs/directives/corres/pdf/640001m.pdf).
    (2) Designate a FAPM to manage the FAP. The FAPM will have, at a 
minimum:
    (i) A masters or doctoral level degree in the behavioral sciences 
from an accredited U.S. university or college.
    (ii) The highest licensure in good standing by a State regulatory 
board in either social work, psychology, or marriage and family therapy 
that authorizes independent clinical practice.
    (iii) 5 years of post-license experience in child abuse and domestic 
abuse.
    (iv) 3 years of experience supervising licensed clinicians in a 
clinical program.
    (3) Coordinate efforts and resources among all activities serving 
families to promote the optimal delivery of services and awareness of 
FAP services.
    (4) Establish standardized criteria, consistent with DoD Instruction 
6025.13, ``Medical Quality Assurance (MQA) and Clinical Quality 
Management in the Military Health System (MHS)'' (available at http://
www.dtic.mil/whs/directives/corres/pdf/602513p.pdf) and DoD 6025.13-R, 
``Military Health System (MHS) Clinical Quality Assurance (CQA) 
Program'' (available at http://www.dtic.mil/whs/directives/corres/pdf/
602513r.pdf), for selecting and certifying FAP healthcare and social 
service personnel who provide clinical services to individuals and 
families. Such staff will be designated as healthcare providers who may 
receive restricted reports from victims of domestic abuse as set forth 
in DoD Instruction 6400.06.
    (5) Establish a process for an annual summary of installation 
accreditation/inspection reviews of installation FAP.
    (6) Ensure that installation commanders or Service-equivalent senior 
commanders or their designees:

[[Page 378]]

    (i) Appoint persons at the installation level to manage and 
implement the local FAPs, establish local FACs, and appoint the members 
of IDCs in accordance with DoD 6400.1-M and supporting guidance issued 
by the USD(P&R).
    (ii) Ensure that the installation FAP meets the standards in DoD 
6400.1-M.
    (iii) Ensure that the installation FAP immediately reports 
allegations of a crime to the appropriate law enforcement authority.
    (7) Notify the DASD(MC&FP) of any cases of extra-familial child 
sexual abuse in a DoD-sanctioned activity within 72 hours in accordance 
with the procedures in Sec. 61.6 of this subpart.
    (8) Submit accurate quarterly child abuse and domestic abuse 
incident data from the DoD Component FAP central registry of child abuse 
and domestic abuse incidents to the Director of the Defense Manpower 
Data Center in accordance with DoD 6400.1-M-1, ``Manual for Child 
Maltreatment and Domestic Abuse Incident Reporting System'' (available 
at http://www.dtic.mil/whs/directives/corres/pdf/640001m1.pdf).
    (9) Submit reports of DoD-related fatalities known or suspected to 
have resulted from an act of domestic abuse; child abuse; or suicide 
related to an act of domestic abuse or child abuse on DD Form 2901, 
``Child Abuse or Domestic Violence Related Fatality Notification,'' by 
fax to the number provided on the form in accordance with DoD 
Instruction 6400.06 or by other method as directed by the DASD(MC&FP). 
The DD Form 2901 can be found at http://www.dtic.mil/whs/directives/
infomgt/forms/formsprogram.htm.
    (10) Ensure that fatalities known or suspected to have resulted from 
acts of child abuse or domestic violence are reviewed annually in 
accordance with DoD Instruction 6400.06.
    (11) Ensure the annual summary of accreditation/inspection reviews 
of installation FAPs are forwarded to OSD FAP as directed by 
DASD(MC&FP).
    (12) Provide essential data and program information to the USD(P&R) 
to enable the monitoring and evaluation of compliance with this subpart 
in accordance with DoD 6400.1-M-1.
    (13) Ensure that PII collected in the course of FAP activities is 
safeguarded to prevent any unauthorized use or disclosure and that the 
collection, use, and release of PII is in compliance with 5 U.S.C. 552a, 
also known as ``The Privacy Act of 1974,'' as implemented in the DoD by 
32 CFR part 310).



Sec. 61.6  Procedures.

    (a) FAP Elements. FAP requires prevention, education, and training 
efforts to make all personnel aware of the scope of child abuse and 
domestic abuse problems and to facilitate cooperative efforts. The FAP 
will include:
    (1) Prevention. Efforts to prevent child abuse and domestic abuse, 
including public awareness, information and education about the problem 
in general, and the NPSP, in accordance with DoD Instruction 6400.05, 
specifically directed toward potential victims, offenders, non-offending 
family members, and mandated reporters of child abuse and neglect.
    (2) Direct Services. Identification, treatment, counseling, 
rehabilitation, follow-up, and other services, directed toward the 
victims, their families, perpetrators of abuse, and their families. 
These services will be supplemented locally by:
    (i) A multidisciplinary IDC established to assess incidents of 
alleged abuse and make incident status determinations.
    (ii) A clinical case staff meeting (CCSM) to make recommendations 
for treatment and case management.
    (3) Administration. All services, logistical support, and equipment 
necessary to ensure the effective and efficient operation of the FAP, 
including:
    (i) Developing local memorandums of understanding with civilian 
authorities for reporting cases, providing services, and defining 
responsibilities when responding to child abuse and domestic abuse.
    (ii) Use of personal service contracts to accomplish program goals.
    (iii) Preparation of reports, consisting of incidence data.
    (4) Evaluation. Needs assessments, program evaluation, research, and 
similar activities to support the FAP.
    (5) Training. All educational measures, services, supplies, or 
equipment used to prepare or maintain the skills of personnel working in 
the FAP.

[[Page 379]]

    (b) Responding to FAP Incidents. The USD(P&R) or designee will 
establish procedures for:
    (1) Reporting and responding to suspected child abuse consistent 
with 10 U.S.C. 1787 and 1794, 42 U.S.C. 13031, and 28 CFR part 81.
    (2) Providing victim advocacy services to victims of domestic abuse 
consistent with DoD Instruction 6400.06 and section 534(d)(2) of Public 
Law 103-337, ``National Defense Authorization Act for Fiscal Year 
1995.''
    (3) Responding to restricted and unrestricted reports of domestic 
abuse consistent with DoD Instruction 6400.06 and 10 U.S.C. 1058(b).
    (4) Collection of FAP data into a central registry and analysis of 
such data in accordance with DoD 6400.1-M-1.
    (5) Coordinating a comprehensive DoD response, including the FACAT, 
to allegations of extra-familial child sexual abuse in a DoD-sanctioned 
activity in accordance with DoD Instruction 6400.03 and 10 U.S.C. 1794.
    (c) Notification of Extra-Familial Child Sexual Abuse in DoD-
Sanctioned Activities. The names of the victim(s) and alleged abuser(s) 
will not be included in the notification. Notification will include:
    (1) Name of the installation.
    (2) Type of child care setting.
    (3) Number of children alleged to be victims.
    (4) Estimated number of potential child victims.
    (5) Whether an installation response team is being convened to 
address the investigative, medical, and public affairs issues that may 
be encountered.
    (6) Whether a request for the DASD(MC&FP) to deploy a FACAT in 
accordance with DoD Instruction 6400.03 is being considered.



                         Subpart B_FAP Standards

    Authority: 5 U.S.C. 552a, 10 U.S.C. chapter 47, 42 U.S.C. 13031.



Sec. 61.7  Purpose.

    (a) This part is composed of several subparts, each containing its 
own purpose. The purpose of the overall part is to implement policy, 
assign responsibilities, and provide procedures for addressing child 
abuse and domestic abuse in military communities.
    (b) This subpart prescribes uniform program standards (PSs) for all 
installation FAPs.



Sec. 61.8  Applicability.

    This subpart applies to OSD, the Military Departments, the Chairman 
of the Joint Chiefs of Staff and the Joint Staff, the Combatant 
Commands, the Office of the Inspector General of the Department of 
Defense, the Defense Agencies, the DoD Field Activities, and all other 
organizational entities in the DoD (referred to collectively in this 
subpart as the ``DoD Components'').



Sec. 61.9  Definitions.

    Unless otherwise noted, the following terms and their definitions 
are for the purposes of this subpart.
    Alleged abuser. Defined in subpart A of this part.
    Case. One or more reported incidents of suspected child abuse or 
domestic abuse pertaining to the same victim.
    Clinical case staff meeting (CCSM). An installation FAP meeting of 
clinical service providers to assist the coordinated delivery of 
supportive services and clinical treatment in child abuse and domestic 
abuse cases, as appropriate. They provide: clinical consultation 
directed to ongoing safety planning for the victim; the planning and 
delivery of supportive services, and clinical treatment, as appropriate, 
for the victim; the planning and delivery of rehabilitative treatment 
for the alleged abuser; and case management, including risk assessment 
and ongoing safety monitoring.
    Child. Defined in subpart A of this part.
    Child abuse. The physical or sexual abuse, emotional abuse, or 
neglect of a child by a parent, guardian, foster parent, or by a 
caregiver, whether the caregiver is intrafamilial or extrafamilial, 
under circumstances indicating the child's welfare is harmed or 
threatened. Such acts by a sibling, other family member, or other person 
shall be deemed to be child abuse only when the individual is providing 
care under express or implied agreement with the parent, guardian, or 
foster parent.

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    Clinical case management. The FAP process of providing or 
coordinating the provision of clinical services, as appropriate, to the 
victim, alleged abuser, and family member in each FAP child abuse and 
domestic abuse incident from entry into until exit from the FAP system. 
It includes identifying risk factors; safety planning; conducting and 
monitoring clinical case assessments; presentation to the Incident 
Determination Committee (IDC); developing and implementing treatment 
plans and services; completion and maintenance of forms, reports, and 
records; communication and coordination with relevant agencies and 
professionals on the case; case review and advocacy; case counseling 
with the individual victim, alleged abuser, and family member, as 
appropriate; other direct services to the victim, alleged abuser, and 
family members, as appropriate; and case transfer or closing.
    Clinical intervention. A continuous risk management process that 
includes identifying risk factors, safety planning, initial clinical 
assessment, formulation of a clinical treatment plan, clinical treatment 
based on assessing readiness for and motivating behavioral change and 
life skills development, periodic assessment of behavior in the 
treatment setting, and monitoring behavior and periodic assessment of 
outside-of-treatment settings.
    Domestic abuse. Domestic violence or a pattern of behavior resulting 
in emotional/psychological abuse, economic control, and/or interference 
with personal liberty that is directed toward a person who is:
    (1) A current or former spouse.
    (2) A person with whom the abuser shares a child in common; or
    (3) A current or former intimate partner with whom the abuser shares 
or has shared a common domicile.
    Domestic violence. An offense under the United States Code, the 
Uniform Code of Military Justice (UCMJ), or State law involving the use, 
attempted use, or threatened use of force or violence against a person, 
or a violation of a lawful order issued for the protection of a person 
who is:
    (1) A current or former spouse.
    (2) A person with whom the abuser shares a child in common; or
    (3) A current or former intimate partner with whom the abuser shares 
or has shared a common domicile.
    Family Advocacy Committee (FAC). Defined in subpart A of this part.
    Family Advocacy Command Assistance Team (FACAT). Defined in subpart 
A of this part.
    Family Advocacy Program (FAP). Defined in subpart A of this part.
    High risk for violence. A level of risk describing families or 
individuals experiencing severe abuse or the potential for severe abuse, 
or offenders engaging in high risk behaviors such as making threats to 
cause grievous bodily harm, preventing victim access to communication 
devices, stalking, etc. Such cases require coordinated community safety 
planning that actively involves installation law enforcement, command, 
legal, and FAP.
    Home visitation. A strategy for delivering services to parents in 
their homes to improve child and family functioning.
    Home visitor. A person who provides FAP services to promote child 
and family functioning to parents in their homes.
    IDC. Defined in subpart A of this part.
    Installation. Any more or less permanent post, camp, station, base 
for the support or carrying on of military activities.
    Installation Family Advocacy Program Manager (FAPM). The individual 
at the installation level designated by the installation commander in 
accordance with Service FAP headquarters implementing guidance to manage 
the FAP, supervise FAP staff, and coordinate all FAP activities. If the 
Service FAP headquarters implementing guidance assigns the 
responsibilities of the local FAPM between two individuals, the FAPM is 
the individual who has been assigned the responsibility for implementing 
the specific procedure.
    NPSP. A standardized secondary prevention program under the FAP that 
delivers intensive, voluntary, strengths based home visitation services 
designed specifically for expectant parents and parents of children from 
birth

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to 3 years of age to reduce the risk of child abuse and neglect.
    Non-DoD eligible extrafamilial caregiver. A caregiver who is not 
sponsored or sanctioned by the DoD. It includes nannies, temporary 
babysitters certified by the Red Cross, and temporary babysitters in the 
home, and other non-DoD eligible family members who provide care for or 
supervision of children.
    Non-medical counseling. Short term, non-therapeutic counseling that 
is not appropriate for individuals needing clinical therapy. Non-medical 
counseling is supportive in nature and addresses general conditions of 
living, life skills, improving relationships at home and at work, stress 
management, adjustment issues (such as those related to returning from a 
deployment), marital problems, parenting, and grief and loss. This 
definition is not intended to limit the authority of the Military 
Departments to grant privileges to clinical providers modifying this 
scope of care consistent with current Military Department policy.
    Out-of-home care. The responsibility of care for and/or supervision 
of a child in a setting outside the child's home by an individual placed 
in a caretaker role sanctioned by a Military Service or Defense Agency 
or authorized by the Service or Defense Agency as a provider of care, 
such as care in a child development center, school, recreation program, 
or family child care. part.
    Primary managing authority (PMA). The installation FAP that has 
primary authority and responsibility for the management and incident 
status determination of reports of child abuse and unrestricted reports 
of domestic abuse.
    Restricted reporting. Defined in subpart A of this part.
    Risk management. The process of identifying risk factors associated 
with increased risk for child abuse or domestic abuse, and controlling 
those factors that can be controlled through collaborative partnerships 
with key military personnel and civilian agencies, including the active 
duty member's commander, law enforcement personnel, child protective 
services, and victim advocates. It includes the development and 
implementation of an intervention plan when significant risk of 
lethality or serious injury is present to reduce the likelihood of 
future incidents and to increase the victim's safety, continuous 
assessment of risk factors associated with the abuse, and prompt 
updating of the victim's safety plan, as needed.
    Safety planning. A process whereby a victim advocate, working with a 
domestic abuse victim, creates a plan, tailored to that victim's needs, 
concerns, and situation, that will help increase the victim's safety and 
help the victim to prepare for, and potentially avoid, future violence.
    Service FAP headquarters. The office designated by the Secretary of 
the Military Department to develop and issue Service FAP implementing 
guidance in accordance with DoD policy, manage the Service-level FAP, 
and provide oversight for Service FAP functions.
    Unrestricted reporting. Defined in subpart A of this part.
    Victim. A child or current or former spouse or intimate partner who 
is the subject of an alleged incident of child maltreatment or domestic 
abuse because he/she was allegedly maltreated by the alleged abuser.
    Victim advocate. An employee of the Department of Defense, a 
civilian working under contract for the Department of Defense, or a 
civilian providing services by means of a formal memorandum of 
understanding between a military installation and a local victim 
advocacy service agency, whose role is to provide safety planning 
services and comprehensive assistance and liaison to and for victims of 
domestic abuse, and to educate personnel on the installation regarding 
the most effective responses to domestic abuse on behalf of victims and 
at-risk family members. The advocate may also be a volunteer military 
member, a volunteer civilian employee of the Military Department, or 
staff assigned as collateral duty.



Sec. 61.10  Policy.

    According to subpart A of this part, it is DoD policy to:
    (a) Promote early identification; reporting; and coordinated, 
comprehensive intervention, assessment, and support to victims of child 
abuse and domestic abuse.

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    (b) Ensure that personally identifiable information (PII) collected 
in the course of FAP activities is safeguarded to prevent any 
unauthorized use or disclosure and that the collection, use, and release 
of PII is in compliance with 5 U.S.C. 552a.



Sec. 61.11  Responsibilities.

    (a) Under the authority, direction, and control of the USD(P&R) 
through the Assistant Secretary of Defense for Readiness and Force 
Management, the Deputy Assistant Secretary of Defense for Military 
Community and Family Policy (DASD(MC&FP)):
    (1) Monitors compliance with this subpart.
    (2) Collaborates with the Secretaries of the Military Departments to 
develop policies and procedures for monitoring compliance with the PSs 
in Sec. 61.12 of this subpart.
    (3) Convenes an annual DoD Accreditation and Inspection Summit to 
review and respond to the findings and recommendations of the Military 
Departments' accreditation or inspection results.
    (b) The Secretaries of the Military Departments:
    (1) Develop Service-wide FAP policy, supplementary standards, and 
instructions to provide for unique requirements within their respective 
installation FAPs to implement the PSs in this subpart as appropriate.
    (2) Require all installation personnel with responsibilities in this 
subpart receive appropriate training to implement the PSs in Sec. 61.12 
of this subpart.
    (3) Conduct accreditation and inspection reviews outlined in Sec. 
61.12 of this subpart.



Sec. 61.12  Procedures.

    (a) Purposes of the standards--(1) Quality Assurance (QA) to address 
child abuse and domestic abuse. The FAP PSs provide DoD and Service FAP 
headquarters QA guidelines for installation FAP-sponsored prevention and 
clinical intervention programs. Therefore, the PSs presented in this 
section and cross referenced in the Index of FAP Topics in the Appendix 
to Sec. 61.12 represent the minimal necessary elements for effectively 
dealing with child abuse and domestic abuse in installation programs in 
the military community.
    (2) Minimum requirements for oversight, management, logistical 
support, procedures, and personnel requirements. The PSs set forth 
minimum requirements for oversight, management, logistical support, 
procedures, and personnel requirements necessary to ensure all military 
personnel and their family members receive family advocacy services from 
the installation FAPs equal in quality to the best programs available to 
their civilian peers.
    (3) Measuring quality and effectiveness. The PSs provide a basis for 
measuring the quality and effectiveness of each installation FAP and for 
systematically projecting fiscal and personnel resources needed to 
support worldwide DoD FAP efforts.
    (b) Installation response to child abuse and domestic abuse--(1) 
FAC--(i) PS 1: Establishment of the FAC. The installation commander must 
establish an installation FAC and appoint a FAC chairperson in 
accordance with subpart A of this part and Service FAP headquarters 
implementing policies and guidance to serve as the policy-making, 
coordinating, and advisory body to address child abuse and domestic 
abuse at the installation.
    (ii) PS 2: Coordinated community response and risk management plan. 
The FAC must develop and approve an annual plan for the coordinated 
community response and risk management of child abuse and domestic 
abuse, with specific objectives, strategies, and measurable outcomes.
    The plan is based on a review of:
    (A) The most recent installation needs assessment.
    (B) Research-supported protective factors that promote and sustain 
healthy family relationships.
    (C) Risk factors for child abuse and domestic abuse.
    (D) The most recent prevention strategy to include primary, 
secondary, and tertiary interventions.
    (E) Trends in the installation's risk management approach to high 
risk for violence, child abuse, and domestic abuse.

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    (F) The most recent accreditation review or DoD Component Inspector 
General inspection of the installation agencies represented on the FAC.
    (G) The evaluation of the installation's coordinated community 
response to child abuse and domestic abuse.
    (iii) PS 3: Monitoring coordinated community response and risk 
management plan. The FAC monitors the implementation of the coordinated 
community response and risk management plan. Such monitoring includes a 
review of:
    (A) The development, signing, and implementation of formal 
memorandums of understanding (MOUs) among military activities and 
between military activities and civilian authorities and agencies to 
address child abuse and domestic abuse.
    (B) Steps taken to address problems identified in the most recent 
accreditation review of the FAP and evaluation of the installation's 
coordinated community response and risk management approach.
    (C) FAP recommended criteria to identify populations at higher risk 
to commit or experience child abuse and domestic abuse, the special 
needs of such populations, and appropriate actions to address those 
needs.
    (D) Effectiveness of the installation coordinated community response 
and risk management approach in responding to high risk for violence, 
child abuse, and domestic abuse incidents.
    (E) Implementation of the installation prevention strategy to 
include primary, secondary, and tertiary interventions.
    (F) The annual report of fatality reviews that Service FAP 
headquarters fatality review teams conduct. The FAC should also review 
the Service FAP headquarters' recommended changes for the coordinated 
community response and risk management approach. The coordinated 
community response will focus on strengthening protective factors that 
promote and sustain healthy family relationships and reduce the risk 
factors for future child abuse and domestic abuse-related fatalities.
    (2) Coordinated Community Response--(i) PS 4: Roles, functions, and 
responsibilities. The FAC must ensure that all installation agencies 
involved with the coordinated community response to child abuse and 
domestic abuse comply with the defined roles, functions, and 
responsibilities in DoD Instruction 6400.06 and the Service FAP 
headquarters implementing policies and guidance.
    (ii) PS 5: MOUs. The FAC must verify that:
    (A) Formal MOUs are established as appropriate with counterparts in 
the local civilian community to improve coordination on: Child abuse and 
domestic abuse investigations; emergency removal of children from homes; 
fatalities; arrests; prosecutions; and orders of protection involving 
military personnel.
    (B) Installation agencies established MOUs setting forth the 
respective roles and functions of the installation and the appropriate 
federal, State, local, or foreign agencies or organizations (in 
accordance with status-of-forces agreements (SOFAs)) that provide:
    (1) Child welfare services, including foster care, to ensure ongoing 
and active collaborative case management between the respective courts, 
child protective services, foster care agencies, and FAP.
    (2) Medical examination and treatment.
    (3) Mental health examination and treatment.
    (4) Domestic abuse victim advocacy.
    (5) Related social services, including State home visitation 
programs when appropriate.
    (6) Safety shelter.
    (iii) PS 6: Collaboration between military installations. The 
installation commander must require that installation agencies have 
collaborated with counterpart agencies on military installations in 
geographical proximity and on joint bases to ensure coordination and 
collaboration in providing child abuse and domestic abuse services to 
military families. Collaboration includes developing MOUs, as 
appropriate.
    (iv) PS 7: Domestic abuse victim advocacy services. The installation 
FAC must establish 24 hour access to domestic abuse victim advocacy 
services through personal or telephone contact in accordance with DoD 
Instruction 6400.06 and Service FAP headquarters implementing policy and 
guidance for

[[Page 384]]

restricted reports of domestic abuse and the domestic abuse victim 
advocate services.
    (v) PS 8: Domestic abuse victim advocate personnel requirements. The 
installation commander must require that qualified personnel provide 
domestic abuse victim advocacy services in accordance with DoD 
Instruction 6400.06 and Service FAP headquarters implementing policy and 
guidance.
    (A) Such personnel may include federal employees, civilians working 
under contract for the DoD, civilians providing services through a 
formal MOU between the installation and a local civilian victim advocacy 
service agency, volunteers, or a combination of such personnel.
    (B) All domestic abuse victim advocates are supervised in accordance 
with Service FAP headquarters policies.
    (vi) PS 9: 24-hour emergency response plan. An installation 24-hour 
emergency response plan to child abuse and domestic abuse incidents must 
be established in accordance with DoD Instruction 6400.06 and the 
Service FAP headquarters implementing policies and guidance.
    (vii) PS 10: FAP Communication with military law enforcement. The 
FAP and military law enforcement reciprocally provide to one another:
    (A) Within 24 hours, FAP will communicate all reports of child abuse 
involving military personnel or their family members to the appropriate 
civilian child protective services agency or law enforcement agency in 
accordance with subpart A of this part, 42 U.S.C. 13031, and 28 CFR 
81.2.
    (B) Within 24 hours, FAP will communicate all unrestricted reports 
of domestic abuse involving military personnel and their current or 
former spouses or their current or former intimate partners to the 
appropriate civilian law enforcement agency in accordance with subpart A 
of this part, 42 U.S.C. 13031, and 28 CFR 81.2.
    (viii) PS 11: Protection of children. The installation FAC in 
accordance with Service FAP headquarters implementing policies and 
guidance must set forth the procedures and criteria for:
    (A) The safety of child victim(s) of abuse or other children in the 
household when they are in danger of continued abuse or life-threatening 
child neglect.
    (B) Safe transit of such child(ren) to appropriate care. When the 
installation is located outside the continental United States, this 
includes procedures for transit to a location of appropriate care within 
the United States.
    (C) Ongoing collaborative case management between FAP, relevant 
courts, and child welfare agencies when military children are placed in 
civilian foster care.
    (D) Notification of the affected Service member's command when a 
dependent child has been taken into custody or foster care by local or 
State courts, or child welfare or protection agencies.
    (3) Risk Management--(i) PS 12: PMA. When an installation FAP 
receives a report of a case of child abuse or domestic abuse in which 
the victim is at a different location than the abuser, PMA for the case 
must be:
    (A) In child abuse cases:
    (1) The sponsor's installation when the alleged abuser is the 
sponsor; a non-sponsor DoD-eligible family member; or a non-sponsor, 
status unknown.
    (2) The alleged abuser's installation when the alleged abuser is a 
non-sponsor active duty Service member; a non-sponsor, DoD-eligible 
extrafamilial caregiver; or a DoD-sponsored out-of-home care provider.
    (3) The victim's installation when the alleged abuser is a non-DoD-
eligible extrafamilial caregiver.
    (B) In domestic abuse cases:
    (1) The alleged abuser's installation when both the alleged abuser 
and the victim are active duty Service members.
    (2) The alleged abuser's installation when the alleged abuser is the 
only sponsor.
    (3) The victim's installation when the victim is the only sponsor.
    (4) The installation FAP who received the initial referral when both 
parties are alleged abusers in bi-directional domestic abuse involving 
dual military spouses or intimate partners.
    (ii) PS 13: Risk management approach--(A) All installation agencies 
involved with the installation's coordinated community risk management 
approach to child abuse and domestic abuse must

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comply with their defined roles, functions, and responsibilities in 
accordance with 42 U.S.C. 13031 and 28 CFR 81.2 and Service FAP 
headquarters implementing policies and guidance.
    (B) When victim(s) and abuser(s) are assigned to different servicing 
FAPs or are from different Services, the PMA is assigned according to PS 
12 (paragraph (b)(3)(i) of this section), and both serving FAP offices 
and Services are kept informed of the status of the case, regardless of 
who has PMA.
    (iii) PS 14: Risk assessments. FAP conducts risk assessments of 
alleged abusers, victims, and other family members to assess the risk of 
re-abuse, and communicate any increased levels of risk to appropriate 
agencies for action, as appropriate. Risk assessments are conducted:
    (A) At least quarterly on all open FAP cases.
    (B) Monthly on FAP cases assessed as high risk and those involving 
court involved children placed in out-of-home care, child sexual abuse, 
and chronic child neglect.
    (C) Within 30 days of any change since the last risk assessment that 
presents increased risk to the victim or warrants additional safety 
planning.
    (iv) PS 15: Disclosure of information in risk assessments. Protected 
information collected during FAP referrals, intake, and risk assessments 
is only disclosed in accordance with DoD 6025.18-R, ``DoD Health 
Information Privacy Regulation'' (available at http://www.dtic.mil/whs/
directives/corres/pdf/602518r.pdf) when applicable, 32 CFR part 310, and 
the Service FAP headquarters implementing policies and guidance.
    (v) PS 16: Risk management and deployment. Procedures are 
established to manage child abuse and domestic abuse incidents that 
occur during the deployment cycle of a Service member, in accordance 
with subpart A of this part and DoD Instruction 6400.06, and Service FAP 
headquarters implementing policies and guidance, so that when an alleged 
abuser Service member in an active child abuse or domestic abuse case is 
deployed:
    (A) The forward command notifies the home station command when the 
deployed Service member will return to the home station command.
    (B) The home station command implements procedures to reduce the 
risk of subsequent child abuse and domestic abuse during the 
reintegration of the Service member into the FAP case management 
process.
    (4) IDC--(i) PS 17: IDC established. An installation IDC must be 
established to review reports of child abuse and unrestricted reports of 
domestic abuse.
    (ii) PS 18: IDC operations. The IDC reviews reports of child abuse 
and unrestricted reports of domestic abuse to determine whether the 
reports meet the criteria for entry into the Service FAP headquarters 
central registry of child abuse and domestic abuse incidents in 
accordance with subpart A of this part and Service FAP headquarters 
implementing policies and guidance.
    (iii) PS 19: Responsibility for training FAC and IDC members. All 
FAC and IDC members must receive:
    (A) Training on their roles and responsibilities before assuming 
their positions on their respective teams.
    (B) Periodic information and training on DoD policies and Service 
FAP headquarters policies and guidance.
    (iv) PS 20: IDC QA. An IDC QA process must be established for 
monitoring and QA review of IDC decisions in accordance with Service FAP 
headquarters implementing policy and guidance.
    (c) Organization and management of the FAP--(1) General organization 
of the FAP--(i) PS 21: Establishment of the FAP. The installation 
commander must establish a FAP to address child abuse and domestic abuse 
in accordance with DoD policy and Service FAP headquarters implementing 
policies and guidance.
    (ii) PS 22: Operations policy. The installation FAC must ensure 
coordination among the following key agencies interacting with the FAP 
in accordance with subpart A of this part and Service FAP headquarters 
implementing policies and guidance:
    (A) Family center(s).
    (B) Substance abuse program(s).
    (C) Sexual assault and prevention response programs.
    (D) Child and youth program(s).

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    (E) Program(s) that serve families with special needs.
    (F) Medical treatment facility, including:
    (1) Mental health and behavioral health personnel.
    (2) Social services personnel.
    (3) Dental personnel.
    (G) Law enforcement.
    (H) Criminal investigative organization detachment.
    (I) Staff judge advocate or servicing legal office.
    (J) Chaplain(s).
    (K) Department of Defense Education Activity (DoDEA) school 
personnel.
    (L) Military housing personnel.
    (M) Transportation office personnel.
    (iii) PS 23: Appointment of an installation FAPM. The installation 
commander must appoint in writing an installation FAPM to implement and 
manage the FAP. The FAPM must direct the development, oversight, 
coordination, administration, and evaluation of the installation FAP in 
accordance with subpart A of this part and Service FAP headquarters 
implementing policy and guidance.
    (iv) PS 24: Funding. Funds received for child abuse and domestic 
abuse prevention and treatment activities must be programmed and 
allocated in accordance with the DoD and Service FAP headquarters 
implementing policies and guidance, and the plan developed under PS 3, 
described in paragraph (b)(1)(ii) of this section.
    (A) Funds that OSD provides for the FAP must be used in direct 
support of the prevention and intervention for domestic abuse and child 
maltreatment; including management, staffing, domestic abuse victim 
advocate services, public awareness, prevention, training, intensive 
risk-focused secondary prevention services, intervention, record 
keeping, and evaluation as set forth in this subpart.
    (B) Funds that OSD provides for the NPSP must be used only for 
secondary prevention activities to support the screening, assessment, 
and provision of home visitation services to prevent child abuse and 
neglect in vulnerable families in accordance with DoD Instruction 
6400.05.
    (v) PS 25: Other resources. FAP services must be housed and equipped 
in a manner suitable to the delivery of services, including but not 
limited to:
    (A) Adequate telephones.
    (B) Office automation equipment.
    (C) Handicap accessible.
    (D) Access to emergency transport.
    (E) Private offices and rooms available for interviewing and 
counseling victims, alleged abusers, and other family members in a safe 
and confidential setting.
    (F) Appropriate equipment for 24/7 accessibility.
    (2) FAP personnel--(i) PS 26: Personnel requirements. The 
installation commander is responsible for ensuring there are a 
sufficient number of qualified FAP personnel in accordance with subpart 
A of this part, DoD Instruction 6400.06, and DoD Instruction 6400.05, 
and Service FAP headquarters implementing policy and guidance. FAP 
personnel may consist of military personnel on active duty, employees of 
the federal civil service, contractors, volunteers, or a combination of 
such personnel.
    (ii) PS 27: Criminal history record check. All FAP personnel whose 
duties involve services to children require a criminal history record 
check in accordance with DoD Instruction 1402.5, ``Criminal History 
Background Checks on Individuals in Child Care Services'' (available at 
http://www.dtic.mil/whs/directives/corres/pdf/140205p.pdf).
    (iii) PS 28: Clinical staff qualifications. All FAP personnel who 
conduct clinical assessment of or provide clinical treatment to victims 
of child abuse or domestic abuse, alleged abusers, or their family 
members must have all of the following minimum qualifications:
    (A) A Master in Social Work, Master of Science, Master of Arts, or 
doctoral-level degree in human service or mental health from an 
accredited university or college.
    (B) The highest licensure in a State or clinical licensure in good 
standing in a State that authorizes independent clinical practice.
    (C) Two years of experience working in the field of child abuse and 
domestic abuse.
    (D) Clinical privileges or credentialing in accordance with Service 
FAP headquarters policies.

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    (iv) PS 29: Prevention and Education Staff Qualifications. All FAP 
personnel who provide prevention and education services must have the 
following minimum qualifications:
    (A) A Bachelor's degree from an accredited university or college in 
any of the following disciplines:
    (1) Social work.
    (2) Psychology.
    (3) Marriage, family, and child counseling.
    (4) Counseling or behavioral science.
    (5) Nursing.
    (6) Education.
    (7) Community health or public health.
    (B) Two years of experience in a family and children's services 
public agency or family and children's services community organization, 
1 year of which is in prevention, intervention, or treatment of child 
abuse and domestic abuse.
    (C) Supervision by a qualified staff person in accordance with the 
Service FAP headquarters policies.
    (v) PS 30: Victim advocate staff qualifications. All FAP personnel 
who provide victim advocacy services must have these minimum 
qualifications:
    (A) A Bachelor's degree from an accredited university or college in 
any of the following disciplines:
    (1) Social work.
    (2) Psychology.
    (3) Marriage, family, and child counseling.
    (4) Counseling or behavioral science.
    (5) Criminal justice.
    (B) Two years of experience in assisting and providing advocacy 
services to victims of domestic abuse or sexual assault.
    (C) Supervision by a Master's level social worker.
    (vi) PS 31: NPSP staff qualifications. All FAP personnel who provide 
services in the NPSP must have qualifications in accordance with DoD 
Instruction 6400.05.
    (3) Safety and home visits--(i) PS 32: Internal and external duress 
system established. The installation FAPM must establish a system to 
identify and manage potentially violent clients and to promote the 
safety and reduce the risk of harm to staff working with clients and to 
others inside the office and when conducting official business outside 
the office.
    (ii) PS 33: Protection of home visitors. The installation FAPM must:
    (A) Issue written FAP procedures to ensure minimal risk and maximize 
personal safety when FAP or NPSP staff perform home visits.
    (B) Require that all FAP and NPSP personnel who conduct home visits 
are trained in FAP procedures to ensure minimal risk and maximize 
personal safety before conducting a home visit.
    (iii) PS 34: Home visitors' reporting of known or suspected child 
abuse and domestic abuse. All FAP and NPSP personnel who conduct home 
visits are to report all known or suspected child abuse in accordance 
with subpart A of this part and 42 U.S.C. 13031, and domestic abuse in 
accordance with DoD Instruction 6400.06 and the Service FAP headquarters 
implementing policy and guidance.
    (4) Management information system--(i) PS 35: Management information 
system policy. The installation FAPM must establish procedures for the 
collection, use, analysis, reporting, and distributing of FAP 
information in accordance with subpart A of this part, DoD 6025.18-R, 32 
CFR part 310, DoD 6400.1-M-1 and Service FAP headquarters implementing 
policy. These procedures ensure:
    (A) Accurate and comparable statistics needed for planning, 
implementing, assessing, and evaluating the installation coordinated 
community response to child abuse and domestic abuse.
    (B) Identifying unmet needs or gaps in services.
    (C) Determining installation FAP resource needs and budget.
    (D) Developing installation FAP guidance.
    (E) Administering the installation FAP.
    (F) Evaluating installation FAP activities.
    (ii) PS 36: Reporting of statistics. The FAP reports statistics 
annually to the Service FAP headquarters in accordance with subpart A of 
this part and the Service FAP headquarters implementing policies and 
guidance, including the accurate and timely reporting of:

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    (A) FAP metrics--(1) The number of new commanders at the 
installation whom the Service FAP headquarters determined must receive 
the FAP briefing, and the number of new commanders who received the FAP 
briefing within 90 days of taking command.
    (2) The number of senior noncommissioned officers (NCOs) in pay 
grades E-7 and higher whom the Service FAP headquarters determined must 
receive the FAP briefing annually, and the number of senior NCOs who 
received the FAP briefing within the year.
    (B) NPSP metric--(1) The number of high risk families who began 
receiving NPSP intensive services (two contacts per month) for at least 
6 months in the previous fiscal year.
    (2) The number of these families with no reports of child 
maltreatment incidents that met criteria for abuse for entry into the 
central registry (formerly, ``substantiated reports'') within 12 months 
after their NPSP services ended, in accordance with DoD Instruction 
6400.05.
    (C) Domestic abuse treatment metric--(1) The number of allegedly 
abusive spouses in incidents that met FAP criteria for domestic abuse 
who began receiving and successfully completed FAP clinical treatment 
services during the previous fiscal year.
    (2) The number of these spouses who were not reported as allegedly 
abusive in any domestic abuse incidents that met FAP criteria within 12 
months after FAP clinical services ended.
    (D) Domestic abuse victim advocacy metrics. The number of domestic 
abuse victims:
    (1) Who receive domestic abuse victim advocacy services, and of 
those, the respective totals of domestic abuse victims who receive such 
services from domestic abuse victim advocates or from FAP clinical 
staff.
    (2) Who initially make restricted reports to domestic abuse victim 
advocates and the total of domestic abuse victims who initially make 
restricted reports to FAP clinical staff, and of each of those, the 
total of domestic abuse victims who report being sexually assaulted.
    (3) Whose initially restricted reports to domestic abuse victim 
advocates became unrestricted reports, and the total of domestic abuse 
victims whose initially restricted reports to FAP clinical staff became 
unrestricted reports.
    (4) Initially making unrestricted reports to domestic abuse victim 
advocates and making unrestricted reports to FAP clinical staff and, of 
each of those, the total of domestic abuse victims who report being 
sexually assaulted.
    (d) Public awareness, prevention, NPSP, and training--(1) Public 
awareness activities--(i) PS 37: Implementation of public awareness 
activities in the coordinated community response and risk management 
plan. The FAP public awareness activities highlight community strengths; 
promote FAP core concepts and messages; advertise specific services; use 
appropriate available techniques to reach out to the military community, 
especially to military families who reside outside of the military 
installation; and are customized to the local population and its needs.
    (ii) PS 38: Collaboration to increase public awareness of child 
abuse and domestic abuse. The FAP partners and collaborates with other 
military and civilian organizations to conduct public awareness 
activities.
    (iii) PS 39: Components of public awareness activities. The 
installation public awareness activities promote community awareness of:
    (A) Protective factors that promote and sustain healthy parent/child 
relationships.
    (1) The importance of nurturing and attachment in the development of 
young children.
    (2) Infant, childhood, and teen development.
    (3) Programs, strategies, and opportunities to build parental 
resilience.
    (4) Opportunities for social connections and mutual support.
    (5) Programs and strategies to facilitate children's social and 
emotional development.
    (6) Information about access to community resources in times of 
need.
    (B) The dynamics of risk factors for different types of child abuse 
and domestic abuse, including information for teenage family members on 
teen dating violence.
    (C) Developmentally appropriate supervision of children.

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    (D) Creating safe sleep environments for infants.
    (E) How incidents of suspected child abuse should be reported in 
accordance with subpart A of this part, 42 U.S.C. 13031, 28 CFR 81.2, 
and DoD Instruction 6400.03, ``Family Advocacy Command Assistance Team'' 
(available at http://www.dtic.mil/whs/directives/corres/pdf/640003p.pdf) 
and the Service FAP headquarters implementing policy and guidance.
    (F) The availability of domestic abuse victim advocates.
    (G) Hotlines and crisis lines that provide 24/7 support to families 
in crisis.
    (H) How victims of domestic abuse may make restricted reports of 
incidents of domestic abuse in accordance with DoD Instruction 6400.06.
    (I) The availability of FAP clinical assessment and treatment.
    (J) The availability of NPSP home visitation services.
    (K) The availability of transitional compensation for victims of 
child abuse and domestic abuse in accordance with DoD Instruction 
1342.24, ``Transitional Compensation for Abused Dependents'' (available 
at http://www.dtic.mil/whs/directives/corres/pdf/134224p.pdf) and 
Service FAP headquarters implementing policy and guidance.
    (2) Prevention activities--(i) PS 40: Implementation of prevention 
activities in the coordinated community response and risk management 
plan. The FAP implements coordinated child abuse and domestic abuse 
primary and secondary prevention activities identified in the annual 
plan.
    (ii) PS 41: Collaboration for prevention of child abuse and domestic 
abuse. The FAP collaborates with other military and civilian 
organizations to implement primary and secondary child abuse and 
domestic abuse prevention programs and services that are available on a 
voluntary basis to all persons eligible for services in a military 
medical treatment facility.
    (iii) PS 42: Primary prevention activities. Primary prevention 
activities include, but are not limited to:
    (A) Information, classes, and non-medical counseling as defined in 
Sec. 61.3 to assist Service members and their family members in 
strengthening their interpersonal relationships and marriages, in 
building their parenting skills, and in adapting successfully to 
military life.
    (B) Proactive outreach to identify and engage families during pre-
deployment, deployment, and reintegration to decrease the negative 
effects of deployment and other military operations on parenting and 
family dynamics.
    (C) Family strengthening programs and activities that facilitate 
social connections and mutual support, link families to services and 
opportunities for growth, promote children's social and emotional 
development, promote safe, stable, and nurturing relationships, and 
encourage parental involvement.
    (iv) PS 43: Identification of populations for secondary prevention 
activities. The FAP identifies populations at higher risk for child 
abuse or domestic abuse from a review of:
    (A) Relevant research findings.
    (B) One or more relevant needs assessments in the locality.
    (C) Data from unit deployments and returns from deployment.
    (D) Data of expectant parents and parents of children 3 years of age 
or younger.
    (E) Lessons learned from Service FAP headquarters and local fatality 
reviews.
    (F) Feedback from the FAC, the IDC, and the command.
    (v) PS 44: Secondary prevention activities. The FAP implements 
secondary prevention activities that are results-oriented and evidence-
supported, stress the positive benefits of seeking help, promote 
available resources to build and sustain protective factors for healthy 
family relationships, and reduce risk factors for child abuse or 
domestic abuse. Such activities include, but are not limited to:
    (A) Educational classes and counseling to assist Service members and 
their family members with troubled interpersonal relationships and 
marriages in improving their interpersonal relationships and marriages.
    (B) The NPSP, in accordance with DoD Instruction 6400.05 and Service 
FAP headquarters implementing policy and guidance.

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    (C) Educational classes and counseling to help improve the parenting 
skills of Service members and their family members who experience 
parenting problems.
    (D) Health care screening for domestic abuse.
    (E) Referrals to essential services, supports, and resources when 
needed.
    (3) NPSP--(i) PS 45: Referrals to NPSP. The installation FAPM 
ensures that expectant parents and parents with children ages 0-3 years 
may self-refer to the NPSP or be encouraged to participate by a health 
care provider, the commander of an active duty Service member who is a 
parent or expectant parent, staff of a family support program, or 
community professionals.
    (ii) PS 46: Informed Consent for NPSP. The FAPM ensures that parents 
who ask to participate in the NPSP are provided informed consent in 
accordance with subpart A of this part and DoD Instruction 6400.05 and 
Service FAP headquarters implementing policy and guidance to be:
    (A) Voluntarily screened for factors that may place them at risk for 
child abuse and domestic abuse.
    (B) Further assessed using standardized and more in-depth 
measurements if the screening indicates potential for risk.
    (C) Receive home visits and additional NPSP services as appropriate.
    (D) Assessed for risk on a continuing basis.
    (iii) PS 47: Eligibility for NPSP. Pending funding and staffing 
capabilities, the installation FAPM ensures that qualified NPSP 
personnel offer intensive home visiting services on a voluntary basis to 
expectant parents and parents with children ages 0-3 years who:
    (A) Are eligible to receive services in a military medical treatment 
facility.
    (B) Have been assessed by NPSP staff as:
    (1) At-risk for child abuse or domestic abuse.
    (2) Displaying some indicators of high risk for child abuse or 
domestic abuse, but whose overall assessment does not place them in the 
at-risk category.
    (3) Having been reported to FAP for an incident of abuse of a child 
age 0-3 years in their care who have previously received NPSP services.
    (iv) PS 48: Review of NPSP screening. Results of NPSP screening are 
reviewed within 3 business days of completion. If the screening 
indicates potential for risk, parents are invited to participate in 
further assessment by a NPSP home visitor using standardized and more 
in-depth measurements.
    (v) PS 49: NPSP services. The NPSP offers expectant parents and 
parents with children ages 0-3, who are eligible for the NPSP, access to 
intensive home visiting services that:
    (A) Are sensitive to cultural attitudes and practices, to include 
the need for interpreter or translation services.
    (B) Are based on a comprehensive assessment of research-based 
protective and risk factors.
    (C) Emphasize developmentally appropriate parenting skills that 
build on the strengths of the parent(s).
    (D) Support the dual roles of the parent(s) as Service member(s) and 
parent(s).
    (E) Promote the involvement of both parents when applicable.
    (F) Decrease any negative effects of deployment and other military 
operations on parenting.
    (G) Provide education to parent(s) on how to adapt to parenthood, 
children's developmental milestones, age-appropriate expectations for 
their child's development, parent-child communication skills, parenting 
skills, and effective discipline techniques.
    (H) Empower parents to seek support and take steps to build 
proactive coping strategies in all domains of family life.
    (I) Provide referral to additional community resources to meet 
identified needs.
    (vi) PS 50: NPSP protocol. The installation FAPM ensures that NPSP 
personnel implement the Service FAP headquarters protocol for NPSP 
services, including the NPSP intervention plan with clearly measurable 
goals, based on needs identified by the standard screening instrument, 
assessment tools, the NPSP staff member's clinical assessment, and 
active input from the family.

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    (vii) PS 51: Frequency of NPSP home visits. NPSP personnel exercise 
professional judgment in determining the frequency of home visits based 
on the assessment of the family, but make a minimum of two home visits 
to each family per month. If at least two home visits are not provided 
to a high risk family enrolled in the program, NPSP personnel will 
document what circumstance(s) occurred to preclude twice monthly home 
visits and what services/contacts were provided instead.
    (viii) PS 52: Continuing NPSP risk assessment. The installation FAPM 
ensures that NPSP personnel assess risk and protective factors impacting 
parents receiving NPSP home visitation services on an ongoing basis to 
continuously monitor progress toward intervention goals.
    (ix) PS 53: Opening, transferring, or closing NPSP cases. The 
installation FAPM ensures that NPSP cases are opened, transferred, or 
closed in accordance with Service FAP headquarters policy and guidance.
    (x) PS 54: Disclosure of information in NPSP cases. Information 
gathered during NPSP screening, clinical assessments, and in the 
provision of supportive services or treatment that is protected from 
disclosure under 5 U.S.C. 552a, DoD 6025.18-R, and 32 CFR part 310 is 
only disclosed in accordance with 5 U.S.C. 552a, DoD 6025.18-R, 32 CFR 
part 310, and the Service FAP headquarters implementing policies and 
guidance.
    (4) Training--(i) PS 55: Implementation of training requirements. 
The FAP implements coordinated training activities for commanders, 
senior enlisted advisors, Service members, and their family members, DoD 
civilians, and contractors.
    (ii) PS 56: Training for commanders and senior enlisted advisors. 
The installation commander or senior mission commander must require that 
qualified FAP trainers defined in accordance with Service FAP 
headquarters implementing policy and guidance provide training on the 
prevention of and response to child abuse and domestic abuse to:
    (A) Commanders within 90 days of assuming command.
    (B) Annually to NCOs who are senior enlisted advisors.
    (iii) PS 57: Training for other installation personnel. Qualified 
FAP trainers as defined in accordance with Service FAP headquarters 
implementing policy and guidance conduct training (or help provide 
subject matter experts who conduct training) on child abuse and domestic 
abuse in the military community to installation:
    (A) Law enforcement and investigative personnel.
    (B) Health care personnel.
    (C) Sexual assault prevention and response personnel.
    (D) Chaplains.
    (E) Personnel in DoDEA schools.
    (F) Personnel in child development centers.
    (G) Family home care providers.
    (H) Personnel and volunteers in youth programs.
    (I) Family center personnel.
    (J) Service members.
    (iv) PS 58: Content of training. FAP training for personnel, as 
required by PS 56 and PS 57, located at paragraphs (d)(4)(ii) and 
(d)(4)(iii) of this section, includes:
    (A) Research-supported protective factors that promote and sustain 
healthy family relationships.
    (B) Risk factors for and the dynamics of child abuse and domestic 
abuse.
    (C) Requirements and procedures for reporting child abuse in 
accordance with subpart A of this part, 42 U.S.C. 13031, 28 CFR 81.2, 
and DoD Instruction 6400.03.
    (D) The availability of domestic abuse victim advocates and response 
to restricted and unrestricted reports of incidents of domestic abuse in 
accordance with DoD Instruction 6400.06.
    (E) The dynamics of domestic abuse, reporting options, safety 
planning, and response unique to the military culture that establishes 
and supports competence in performing core victim advocacy duties.
    (F) Roles and responsibilities of the FAP and the command under the 
installation's coordinated community response to a report of a child 
abuse, including the response to a report of child sexual abuse in a DoD 
sanctioned child or youth activity in accordance with subpart A of this 
part and DoD

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6400.1-M-1, or domestic abuse incident, and actions that may be taken to 
protect the victim in accordance with subpart A of this part and DoD 
Instruction 6400.06.
    (G) Available resources on and off the installation that promote 
protective factors and support families at risk before abuse occurs.
    (H) Procedures for the management of child abuse and domestic abuse 
incidents that happen before a Service member is deployed, as set forth 
in PS 16, located at paragraph (b)(3)(v) of this section.
    (I) The availability of transitional compensation for victims of 
child abuse and domestic abuse in accordance with 5 U.S.C. 552a and DoD 
Instruction 6400.03, and Service FAP headquarters implementing policy 
and guidance.
    (v) PS 59: Additional FAP training for NPSP personnel. The 
installation FAPM ensures that all personnel offering NPSP services are 
trained in the content specified in PS 58, located at paragraph 
(d)(4)(iv) of this section, and in DoD Instruction 6400.05.
    (e) FAP Response to incidents of child abuse or domestic abuse--(1) 
Reports of child abuse--(i) PS 60: Responsibilities in responding to 
reports of child abuse. The installation commander in accordance with 
subpart A of this part and Service FAP headquarters implementing policy 
and guidance must issue local policy that specifies the installation 
procedures for responding to reports of:
    (A) Suspected incidents of child abuse in accordance with subpart A 
of this part, 42 U.S.C. 13031, 28 CFR 81.2, and Service FAP headquarters 
implementing policies and guidance, federal and State laws, and 
applicable SOFAs.
    (B) Suspected incidents of child abuse involving students, ages 3-
18, enrolled in a DoDEA school or any children participating in DoD-
sanctioned child or youth activities or programs.
    (C) Suspected incidents of the sexual abuse of a child in DoD-
sanctioned child or youth activities or programs that must be reported 
to the DASD(MC&FP) in accordance with DoD Instruction 6400.03 and 
Service FAP headquarters implementing policies and guidance.
    (D) Suspected incidents involving fatalities or serious injury 
involving child abuse that must be reported to OSD FAP in accordance 
with subpart A of this part and Service FAP headquarters implementing 
policies and guidance.
    (ii) PS 61: Responsibilities during emergency removal of a child 
from the home. (A) In responding to reports of child abuse, the FAP 
complies with subpart A of this part and Service FAP headquarters 
implementing policy and guidance and installation policies, procedures, 
and criteria set forth under PS 11, located at paragraph (b)(2)(vii) of 
this section, during emergency removal of a child from the home.
    (B) The FAP provides ongoing and direct case management and 
coordination of care of children placed in foster care in collaboration 
with the child welfare and foster care agency, and will not close the 
FAP case until a permanency plan for all involved children is in place.
    (iii) PS 62: Coordination with other authorities to protect 
children. The FAP coordinates with military and local civilian law 
enforcement agencies, military investigative agencies, and civilian 
child protective agencies in response to reports of child abuse 
incidents in accordance with subpart A of this part, 42 U.S.C. 13031, 28 
CFR 81.2, and DoD 6400.1-M-1 and appropriate MOUs under PS 5, located at 
paragraph (b)(2)(i) of this section.
    (iv) PS 63: Responsibilities in responding to reports of child abuse 
involving infants and toddlers from birth to age 3. Services and support 
are delivered in a developmentally appropriate manner to infants and 
toddlers, and their families who come to the attention of FAP to ensure 
decisions and services meet the social and emotional needs of this 
vulnerable population.
    (A) FAP makes a direct referral to the servicing early intervention 
agency, such as the Educational and Developmental Intervention Services 
(EDIS) where available, for infants and toddlers from birth to 3 years 
of age who are involved in an incident of child abuse in accordance with 
20 U.S.C. 921 through 932 and chapter 33.
    (B) FAP provides ongoing and direct case management services to 
families

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and their infants and toddlers placed in foster care or other out-of-
home placements to ensure the unique developmental, physical, social-
emotional, and mental health needs are addressed in child welfare-
initiated care plans.
    (v) PS 64: Assistance in responding to reports of multiple victim 
child sexual abuse in dod sanctioned out-of-home care. (A) The 
installation FAPM assists the installation commander in assessing the 
need for and implementing procedures for requesting deployment of a DoD 
FACAT in cases of multiple-victim child sexual abuse occurring in DoD-
sanctioned or operated activities, in accordance with DoD Instruction 
6400.03 and Service FAP headquarters implementing policies and guidance.
    (B) The installation FAPM acts as the installation coordinator for 
the FACAT before it arrives at the installation.
    (2) PS 65: Responsibilities in Responding to Reports of Domestic 
Abuse. Installation procedures for responding to unrestricted and 
restricted reports of domestic abuse are established in accordance with 
DoD Instruction 6400.06 and Service FAP headquarters implementing policy 
and guidance.
    (3) Informed consent--(i) PS 66: Informed consent for FAP clinical 
assessment, intervention services, and supportive services or clinical 
treatment. Every person referred for FAP clinical intervention and 
supportive services must give informed consent for such assessment or 
services. Clients are considered voluntary, non-mandated recipients of 
services except when the person is:
    (A) Issued a lawful order by a military commander to participate.
    (B) Ordered by a court of competent jurisdiction to participate.
    (C) A child, and the parent or guardian has authorized such 
assessment or services.
    (ii) PS 67: Documentation of informed consent. FAP staff document 
that the person gave informed consent in the FAP case record, in 
accordance with DoD Instruction 6400.06 and the Service FAP headquarters 
implementing policies and guidance.
    (iii) PS 68: Privileged communication. Every person referred for FAP 
clinical intervention and support services is informed of their right to 
the provisions of privileged communication by specified service 
providers in accordance with Military Rules of Evidence 513 and 514 in 
the Manual for Courts Martial, current edition (available at http://
www.apd.army.mil/pdffiles/mcm.pdf, Section III, pages III-34 to III-
36.).
    (4) Clinical case management and risk management--(i) PS 69: FAP 
case manager. A clinical service provider is assigned to each FAP 
referral immediately when the case enters the FAP system in accordance 
with Service FAP headquarters implementing policy and guidance.
    (ii) PS 70: Initial risk monitoring. FAP monitoring of the risk of 
further abuse begins when the report of suspected child abuse or 
domestic abuse is received and continues through the initial clinical 
assessment. The FAP case manager requests information from a variety of 
sources, in addition to the victim and the abuser (whether alleged or 
adjudicated), to identify additional risk factors and to clarify the 
context of the use of any violence, and ascertains the level of risk and 
the risk of lethality using standardized instruments in accordance with 
subpart A of this part and DoD Instruction 6400.06, and Service FAP 
headquarters policies and guidance.
    (iii) PS 71: Ongoing risk assessment. (A) FAP risk assessment is 
conducted from the clinical assessment until the case closes:
    (1) During each contact with the victim;
    (2) During each contact with the abuser (whether alleged or 
adjudicated);
    (3) Whenever the abuser is alleged to have committed a new incident 
of child abuse or domestic abuse;
    (4) During significant transition periods for the victim or abuser;
    (5) When destabilizing events for the victim or abuser occur; or
    (6) When any clinically relevant issues are uncovered during 
clinical intervention services.
    (B) The FAP case manager monitors risk at least quarterly when 
civilian agencies provide the clinical intervention services or child 
welfare services through MOUs with such agencies.

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    (C) The FAP case manager monitors risk at least monthly when the 
case is high risk or involves chronic child neglect or child sexual 
abuse.
    (iv) PS 72: Communication of increased risk. The FAPM communicates 
increases in risk or risk of lethality to the appropriate commander(s), 
law enforcement, or civilian officials. FAP clinical staff assess 
whether the increased risk requires the victim or the victim advocate to 
be urged to review the victim's safety plan.
    (5) Clinical assessment--(i) PS 73: Clinical assessment policy. The 
installation FAPM establishes procedures for the prompt clinical 
assessment of victims, abusers (whether alleged or adjudicated), and 
other family members, who are eligible to receive treatment in a 
military medical facility, in reports of child abuse and unrestricted 
reports of domestic abuse in accordance with subpart A of this part and 
DoD 6025.18-R when applicable and Service FAP headquarters policies and 
guidance, including:
    (A) A prompt response based on the severity of the alleged abuse and 
further risk of child abuse or domestic abuse.
    (B) Developmentally appropriate clinical tools and measures to be 
used, including those that take into account relevant cultural attitudes 
and practices.
    (C) Timelines for FAP staff to complete the assessment of an alleged 
abuse incident.
    (ii) PS 74: Gathering and disclosure of information. Service members 
who conduct clinical assessments and provide clinical services to 
Service member abusers (whether alleged or adjudicated) must adhere to 
Service policies with respect to advisement of rights in accordance with 
10 U.S.C. chapter 47, also known as ``The Uniform Code of Military 
Justice''. Clinical service providers must also seek guidance from the 
servicing legal office when a question of applicability arises. Before 
obtaining information about and from the person being assessed, FAP 
staff fully discuss with such person:
    (A) The nature of the information that is being sought.
    (B) The sources from which such information will be sought.
    (C) The reason(s) why the information is being sought.
    (D) The circumstances in accordance with 5 U.S.C. 552a, DoD 6025.18-
R, 32 CFR part 310, and Service FAP headquarters policies and guidance 
under which the information may be released to others.
    (E) The procedures under 5 U.S.C. 552a, DoD 6025.18-R, 32 CFR part 
310, and Service FAP headquarters policies and guidance for requesting 
the person's authorization for such information.
    (F) The procedures under 5 U.S.C. 552a, DoD 6025.18-R, 32 CFR part 
310, and Service FAP headquarters policies and guidance by which a 
person may request access to his or her record.
    (iii) PS 75: Components of clinical assessment. FAP staff conducts 
or ensures that a clinical service provider conducts a clinical 
assessment of each victim, abuser (whether alleged or adjudicated), and 
other family member who is eligible for treatment in a military medical 
treatment facility, in accordance with PS 73, located at paragraph 
(e)(5)(i) of this section, including:
    (A) An interview.
    (B) A review of pertinent records.
    (C) A review of information obtained from collateral contacts, 
including but not limited to medical providers, schools, child 
development centers, and youth programs.
    (D) A psychosocial assessment, including developmentally appropriate 
assessment tools for infants, toddlers, and children.
    (E) An assessment of the basic health, developmental, safety, and 
special health and mental health needs of infants and toddlers.
    (F) An assessment of the presence and balance of risk and protective 
factors.
    (G) A safety assessment.
    (H) A lethality assessment.
    (iv) PS 76: Ethical conduct in clinical assessments. When conducting 
FAP clinical assessments, FAP staff treat those being clinically 
assessed with respect, fairness, and in accordance with professional 
ethics.
    (6) Intervention strategy and treatment plan--(i) PS 77: 
Intervention strategy and

[[Page 395]]

treatment plan for the alleged abuser. The FAP case manager prepares an 
appropriate intervention strategy based on the clinical assessment for 
every abuser (whether alleged or adjudicated) who is eligible to receive 
treatment in a military treatment facility and for whom a FAP case is 
opened. The intervention strategy documents the client's goals for self, 
the level of client involvement in developing the treatment goals, and 
recommends appropriate:
    (A) Actions that may be taken by appropriate authorities under the 
coordinated community response, including safety and protective 
measures, to reduce the risk of another act of child abuse or domestic 
abuse, and the assignment of responsibilities for carrying out such 
actions.
    (B) Treatment modalities based on the clinical assessment that may 
assist the abuser (whether alleged or adjudicated) in ending his or her 
abusive behavior.
    (C) Actions that may be taken by appropriate authorities to assess 
and monitor the risk of recurrence.
    (ii) PS 78: Commanders' access to relevant information for 
disposition of allegations. FAP provides commanders and senior enlisted 
personnel timely access to relevant information on child abuse incidents 
and unrestricted reports of domestic abuse incidents to support 
appropriate disposition of allegations. Relevant information includes:
    (A) The intervention goals and activities described in PS 77, 
located at paragraph (e)(6)(i) of this section.
    (B) The alleged abuser's prognosis for treatment, as determined from 
a clinical assessment.
    (C) The extent to which the alleged abuser accepts responsibility 
for his or her behavior and expresses a genuine desire for treatment, 
provided that such information obtained from the alleged abuser was 
obtained in compliance with Service policies with respect to advisement 
of rights in accordance with 10 U.S.C. chapter 47.
    (D) Other factors considered appropriate for the command, including 
the results of any previous treatment of the alleged abuser for child 
abuse or domestic abuse and his or her compliance with the previous 
treatment plan, and the estimated time the alleged abuser will be 
required to be away from military duties to fulfill treatment 
commitments.
    (E) Status of any child taken into protective custody.
    (iii) PS 79: Supportive services plan for the victim and other 
family members. The FAP case manager prepares a plan for appropriate 
supportive services or clinical treatment, based on the clinical 
assessments, for every victim or family member who is eligible to 
receive treatment in a military treatment facility, who expresses a 
desire for FAP services, and for whom a FAP case is opened. The plan 
recommends one or more appropriate treatment modalities or support 
services, in accordance with subpart A of this part and DoD Instruction 
6400.05 and Service FAP headquarters policies and guidance.
    (iv) PS 80: Clinical consultation. All FAP clinical assessments and 
treatment plans for persons in incidents of child abuse or domestic 
abuse are reviewed in the CCSM, in accordance with DoD 6025.18-R when 
applicable, 32 CFR part 310, and Service FAP headquarters policies and 
guidance.
    (7) Intervention and treatment--(i) PS 81: Intervention services for 
abusers. Appropriate intervention services for an abuser (whether 
alleged or adjudicated) who is eligible to receive treatment in a 
military medical program are available either from the FAP or from other 
military agencies, contractors, or civilian services providers, 
including:
    (A) Psycho-educationally based programs and services.
    (B) Supportive services that may include financial counseling and 
spiritual support.
    (C) Clinical treatment specifically designed to address risk and 
protective factors and dynamics associated with child abuse or domestic 
abuse.
    (D) Trauma informed clinical treatment when appropriate.
    (ii) PS 82: Supportive services or treatment for victims who are 
eligible to receive treatment in a military treatment facility. 
Appropriate supportive services and treatment are available either from 
the FAP or from other military agencies, contractors, or civilian 
services providers, including:

[[Page 396]]

    (A) Immediate and ongoing domestic abuse victim advocacy services, 
available 24 hours per day through personal or telephone contact, as set 
forth in DoD Instruction 6400.06 and Service FAP headquarters policies 
and guidance.
    (B) Supportive services that may include financial counseling and 
spiritual support.
    (C) Psycho-educationally based programs and services.
    (D) Appropriate trauma informed clinical treatment specifically 
designed to address risk and protective factors and dynamics associated 
with child abuse or domestic abuse victimization.
    (E) Supportive services, information and referral, safety planning, 
and treatment (when appropriate) for child victims and their family 
members of abuse by non-caretaking offenders.
    (iii) PS 83: Supportive services for victims or offenders who are 
not eligible to receive treatment in a military treatment facility. 
Victims must receive initial safety-planning services only and must be 
referred to civilian support services for all follow-on care. Offenders 
must receive referrals to appropriate civilian intervention or treatment 
programs.
    (iv) PS 84: Ethical conduct in supportive services and treatment for 
abusers and victims. When providing FAP supportive services and 
treatment, FAP staff treats those receiving such supportive services or 
clinical treatment with respect, fairness, and in accordance with 
professional ethics.
    (v) PS 85: CCSM review of treatment progress. Treatment progress and 
the results of the latest risk assessment are reviewed periodically in 
the CCSM in accordance with subpart A of this part.
    (A) Child sexual abuse cases are reviewed monthly in the CCSM.
    (B) Cases involving foster care placement of children are reviewed 
monthly in the CCSM.
    (C) All other cases are reviewed at least quarterly in the CCSM.
    (D) Cases must be reviewed within 30 days of any significant event 
or a pending significant event that would impact care, including but not 
limited to a subsequent maltreatment incident, geographic move, 
deployment, pending separation from the Service, or retirement.
    (vi) PS 86: Continuity of services. The FAP case manager ensures 
continuity of services before the transfer or referral of open child 
abuse or domestic abuse cases to other service providers:
    (A) At the same installation or other installations of the same 
Service FAP headquarters.
    (B) At installations of other Service FAP headquarters.
    (C) In the civilian community.
    (D) In child welfare services in the civilian community.
    (8) Termination and case closure--(i) PS 87: Criteria for case 
closure. FAP services are terminated and the case is closed when 
treatment provided to the abuser (whether alleged or adjudicated) is 
terminated and treatment or supportive services provided to the victim 
are terminated.
    (A) Treatment provided to the abuser(s) (whether alleged or 
adjudicated) is terminated only if either:
    (1) The CCSM discussion produced a consensus that clinical 
objectives have been substantially met and the results of a current risk 
assessment indicate that the risk of additional abuse and risk of 
lethality have declined; or
    (2) The CCSM discussion produced a consensus that clinical 
objectives have not been met due to:
    (i) Noncompliance of such abuser(s) with the requirements of the 
treatment program.
    (ii) Unwillingness of such abuser(s) to make changes in behavior 
that would result in treatment progress.
    (B) Treatment and supportive services provided to the victim are 
terminated only if either:
    (1) The CCSM discussion produced a consensus that clinical 
objectives have been substantially met; or
    (2) The victim declines further FAP supportive services.
    (ii) PS 88: Communication of case closure. Upon closure of the case 
the FAP notifies:
    (A) The abuser (whether alleged or adjudicated) and victim, and in a 
child abuse case, the non-abusing parent.
    (B) The commander of an active duty victim or abuser (whether 
alleged or adjudicated).

[[Page 397]]

    (C) Any appropriate civilian court currently exercising jurisdiction 
over the abuser (whether alleged or adjudicated), or in a child abuse 
case, over the child.
    (D) A civilian child protective services agency currently exercising 
protective authority over a child victim.
    (E) The NPSP, if the family has been currently receiving NPSP 
intensive home visiting services.
    (F) The domestic abuse victim advocate if the victim has been 
receiving victim advocacy services.
    (iii) PS 89: Disclosure of information. Information gathered during 
FAP clinical assessments and during treatment or supportive services 
that is protected from disclosure under 5 U.S.C. 552a, DoD 6025.18-R, 
and 32 CFR part 310 is only disclosed in accordance with 5 U.S.C. 552a, 
DoD 6025.18-R, 32 CFR part 310, and Service FAP headquarters 
implementing policies and guidance.
    (f) Documentation and records management--(1) Documentation of NPSP 
cases--(i) PS 90: NPSP case record documentation. For every client 
screened for NPSP services, NPSP personnel must document in accordance 
with Service FAP headquarters policies and guidance, at a minimum:
    (A) The informed consent of the parents based on the services 
offered.
    (B) The results of the initial screening for risk and protective 
factors and, if the risk was high, document:
    (1) The assessment(s) conducted.
    (2) The plan for services and goals for the parents.
    (3) The services provided and whether suspected child abuse or 
domestic abuse was reported.
    (4) The parents' progress toward their goals at the time NPSP 
services ended.
    (ii) PS 91: Maintenance, storage, and security of NPSP case records. 
NPSP case records are maintained, stored, and kept secure in accordance 
with DoD 6025.18-R when applicable, 32 CFR part 310, and Service FAP 
headquarters policies and guidance.
    (iii) PS 92: Transfer of NPSP case records. NPSP case records are 
transferred in accordance with DoD 6025.18-R when applicable, 32 CFR 
part 310, and Service FAP headquarters policies and procedures.
    (iv) PS 93: Disposition of NPSP records. NPSP records are disposed 
of in accordance with DoD 6025.18-R when applicable, 32 CFR part 310, 
and Service FAP headquarters policies and guidance.
    (2) Documentation of reported incidents--(i) PS 94: Reports of child 
abuse and unrestricted reports of domestic abuse. For every new reported 
incident of child abuse and unrestricted report of domestic abuse, the 
FAP documents, at a minimum, an accurate accounting of all risk levels, 
actions taken, assessments conducted, foster care placements, clinical 
services provided, and results of the quarterly CCSM from the initial 
report of an incident to case closure in accordance with Service FAP 
headquarters policies and guidance.
    (ii) PS 95: Documentation of multiple incidents. Multiple reported 
incidents of child abuse and unrestricted reports of domestic abuse 
involving the same Service member or family members are documented 
separately within one FAP case record.
    (iii) PS 96: Maintenance, storage, and security of FAP case records. 
FAP case records are maintained, stored, and kept secure in accordance 
with Service FAP headquarters policies and procedures.
    (iv) PS 97: Transfer of FAP case records. FAP case records are 
transferred in accordance with DoD 6025.18-R when applicable, 32 CFR 
part 310, and Service FAP headquarters policies and procedures.
    (v) PS 98: Disposition of FAP records. FAP records are disposed of 
in accordance with DoD Directive 5015.2, ``DoD Records Management 
Program'' (available at http://www.dtic.mil/whs/directives/corres/pdf/
501502p.pdf) and Service FAP headquarters policies and guidance.
    (3) Central registry of child abuse and domestic abuse incidents--
(i) PS 99: Recording data into the Service FAP headquarters central 
registry of child abuse and domestic abuse incidents. Data pertaining to 
child abuse and unrestricted domestic abuse incidents reported to FAP 
are added to the Service FAP headquarters central registry of child and 
domestic abuse incidents. Quarterly edit checks are conducted in 
accordance with Service FAP headquarters policies and procedures. Data 
that personally identifies the sponsor,

[[Page 398]]

victim, or alleged abuser are not retained in the central registry for 
any incidents that did not meet criteria for entry or on any victim or 
alleged abuser who is not an active duty member or retired Service 
member, DoD civilian employee, contractor, or eligible beneficiary.
    (ii) PS 100: Access to the DoD central registry of child and 
domestic abuse incidents. Access to the DoD central registry of child 
and domestic abuse incidents and disclosure of information therein 
complies with DoD 6400.1-M-1 and Service FAP headquarters policies and 
guidance.
    (iii) PS 101: Access to Service FAP headquarters central registry of 
child and domestic abuse reports. Access to the Service FAP headquarters 
central registry of child and domestic abuse incidents and disclosure of 
information therein complies with DoD 6400.1-M-1 and Service FAP 
headquarters policies and procedures.
    (4) Documentation of restricted reports of domestic abuse--(i) PS 
102: Documentation of restricted reports of domestic abuse. Restricted 
reports of domestic abuse are documented in accordance with DoD 
Instruction 6400.06 and Service FAP headquarters policies and guidance.
    (ii) PS 103: Maintenance, storage, security, and disposition of 
restricted reports of domestic abuse. Records of restricted reports of 
domestic abuse are maintained, stored, kept secure, and disposed of in 
accordance with DoD Instruction 6400.06 and Service FAP headquarters 
policies and procedures.
    (g) Fatality notification and review--(1) Fatality notification--(i) 
PS 104: Domestic abuse fatality and child abuse fatality notification. 
The installation FAC establishes local procedures in compliance with 
Service FAP headquarters implementing policy and guidance to report 
fatalities known or suspected to have resulted from an act of domestic 
abuse, child abuse, or suicide related to an act of domestic abuse or 
child abuse that involve personnel assigned to the installation or 
within its area of responsibility. Fatalities are reported through the 
Service FAP headquarters and the Secretaries of the Military Departments 
to the DASD(MC&FP) in compliance with subpart A of this part and DoD 
Instruction 6400.06, and Service FAP headquarters implementing policy 
and guidance.
    (ii) PS 105: Timeliness of reporting domestic abuse and child abuse 
fatalities to DASD(MC&FP). The designated installation personnel report 
domestic abuse and child abuse fatalities through the Service FAP 
headquarters channels to the DASD(MC&FP) within the timeframe specified 
in DoD Instruction 6400.06 in accordance with the Service FAP 
headquarters implementing policy and guidance.
    (iii) PS 106: Reporting format for domestic abuse and child abuse 
fatalities. Installation reports of domestic abuse and child abuse 
fatalities are reported on the DD Form 2901, ``Child Abuse or Domestic 
Abuse Related Fatality Notification,'' and in accordance with subpart A 
of this part.
    (2) Review of fatalities--(i) PS 107: Information forwarded to the 
Service FAP headquarters fatality review. The installation provides 
written information concerning domestic abuse and child abuse fatalities 
that involve personnel assigned to the installation or within its area 
of responsibility promptly to the Service FAP headquarters fatality 
review team in accordance with DoD Instruction 6400.06 and in the format 
specified in the Service FAP headquarters implementing policy and 
guidance.
    (ii) PS 108: Cooperation with non-DoD fatality review teams. 
Authorized installation personnel provide information about domestic 
abuse and child abuse fatalities that involve personnel assigned to the 
installation or within its area of responsibility to non-DoD fatality 
review teams in accordance with written MOUs and 5 U.S.C. 552a and 32 
CFR part 310.
    (h) QA and accreditation or inspections--(1) QA--(i) PS 109: 
Installation FAP QA program. The installation FAC will establish local 
QA procedures that address compliance with the PSs in this section in 
accordance with subpart A of this part and Service FAP headquarters 
implementing policy and guidance.
    (ii) PS 110: QA Training. All FAP personnel must be trained in 
installation QA procedures.

[[Page 399]]

    (iii) PS 111: Monitoring FAP compliance with PSs. The installation 
FAPM monitors compliance of FAP personnel to installation QA procedures 
and the PSs in this section.
    (2) Accreditation or inspections--(i) PS 112: Accreditation or 
inspections. The installation FAP undergoes accreditation or inspection 
at least every 4 years to monitor compliance with the PSs in this 
section, in accordance with subpart A of this part and Service FAP 
headquarters policies and guidance.
    (ii) PS 113: Review of accreditation and inspection results. The 
installation FAC reviews the results of the FAP accreditation review or 
inspection and submits findings and corresponding corrective action 
plans to the Service FAP headquarters in accordance with its 
implementing policy and guidance.

              Appendix to Sec. 61.12--Index of FAP Topics
------------------------------------------------------------------------
               Topic                   PS number(s)      Page number(s)
------------------------------------------------------------------------
Accreditation/inspection of FAP...            109-113                 37
Case manager......................                 69                 27
Case closure......................              87-89              33-34
Case transfer.....................             92, 97              34-35
Central registry..................             99-101                 35
    Access to DoD central registry                100                 35
    Access to Service FAP                         101                 35
     Headquarters central registry
    Reporting of statistics.......                 36              17-18
Child abuse reports...............              60-64              25-26
    Coordination with other                        62                 26
     authorities..................
    Emergency removal of a child..                 61                 26
    FAP and military law                           10                 10
     enforcement communication....
    Protection of children........                 11                 10
    Involving infants and toddlers                 63                 26
     birth to age three...........
    Sexual abuse in DoD-sanctioned                 64                 26
     activities...................
Clinical assessment policy........                 73                 28
    Components of FAP clinical                     75                 29
     assessment...................
    Ethical conduct...............                 76                 30
    Gathering and disclosing                       74                 29
     information..................
    Informed consent..............              66-68                 27
Clinical consultation.............                 80                 31
Collaboration between military                      6                  9
 installations....................
Continuity of services............                 87                 33
Coordinated community response....                2-4                7-9
    Emergency response plan.......                  9                 10
    FAP and military law                           10                 10
     enforcement..................
    MOUs..........................                  5                  9
Criminal history record check.....                 27                 15
Disclosure of information.........     15, 54, 74, 90     12, 23, 28, 34
Disposition of records............
    FAP records...................                 98                 35
    NPSP records..................                 93                 34
    Restricted reports of domestic                103                 36
     abuse........................
Documentation.....................
    Informed consent..............                 67                 27
    Multiple incidents............                 95                 35
    NPSP cases....................                 90                 34
    Reports of child abuse........                 94                 35
    Restricted reports of domestic                102                 36
     abuse........................
    Unrestricted reports of                        94                 34
     domestic abuse...............
Domestic abuse....................
    Clinical assessment...........              73-76              28-30
    Clinical case management......              69-72              27-28
    FAP and military law                           10                 10
     enforcement communication....
    FAP case manager..............                 69                 27
    Informed consent..............              66-69                 27
    Privileged communication......                 68                 27
    Response to reports...........                 65                 25
    Victim advocacy services......                  7                  9
Emergency response plan...........                  9                 10
FAC...............................                1-4                7-9
    Coordinated community response                  2                  7
     and risk management plan.....
    Establishment.................                  1                  7
    Monitoring of coordinated                       3                  8
     community response and risk
     management...................
    Risk management...............              3, 13              8, 11
    Roles, functions,                               4                  8
     responsibilities.............
FAP...............................

[[Page 400]]

 
    Accreditation/inspection......            109-113                 37
    Clinical staff qualifications.                 28                 15
    Coordinated community response                  2                  7
     and risk management plan.....
    Criminal history background                    27                 15
     check........................
    Establishment.................                 21                 13
    FAP manager...................                 23                 14
    Funding.......................                 24                 14
    Internal and external duress                   32                 16
     system.......................
    Management information system                  35                 17
     policy.......................
    Metrics.......................                 36              17-18
    NPSP staff qualifications.....                 31                 16
    Operations policy.............                 22                 13
    Other resources...............                 25                 14
    Personnel requirements........                 26                 15
    Prevention and education staff                 29                 15
     qualifications...............
    QA............................            110-112                 37
    Victim advocate personnel                       8                  9
     requirements.................
    Victim advocate staff                          30                 16
     qualifications...............
Fatality notification.............            104-106                 36
    Reporting format..............                106                 36
    Timeliness of report to OSD...                105                 36
Fatality review...................            107-108                 36
    Cooperation with non-DoD                      108                 36
     fatality review teams........
    Service FAP headquarters                      107                 36
     fatality review process......
IDC...............................
    Establishment.................                 17                 12
    Operations....................                 18                 12
    QA............................                 20                 13
    Training of IDC members.......                 19                 12
Intervention strategy and
 treatment plan...................
    CCSM review of treatment                       85                 32
     progress.....................
    Clinical consultation.........                 80                 31
    Commander's access to                          78                 30
     information..................
    Communication of case closure.                 88                 33
    Continuity of services........                 86                 32
    Criteria for case closure.....                 87                 33
    Disclosure of information.....                 89                 34
    Ethical conduct in supportive                  84                 32
     services.....................
    Informed consent..............                 66                 27
    Intervention services for                      81                 31
     abusers......................
    Intervention strategy and                      77                 30
     treatment plan for abusers...
    Supportive services and                        82                 31
     treatment for eligible
     victims......................
    Supportive services for                        83                 32
     ineligible victims...........
Management information system.....              35-36              17-18
    Policy........................                 35                 17
    Reporting statistics..........                 36                 17
    Domestic abuse offender                        36                 17
     treatment....................
    Domestic abuse victim advocate                 36                 17
     metrics......................
    FAP metrics...................                 36                 17
    NPSP metrics..................                 36                 18
MOU...............................                  5                  9
Metrics...........................                 36              17-18
    Domestic abuse treatment......                 36                 18
    Domestic abuse victim advocacy                 36                 18
    FAP...........................                 36                 17
    NPSP..........................                 36                 18
NPSP..............................
    Continuing risk assessment....                 53                 23
    Disclosure of information.....                 54                 23
    Disposition of records........                 93                 34
    Eligibility...................                 47                 22
    Frequency of home visits......                 51                 23
    Informed consent..............                 46                 21
    Internal and external duress                   32                 16
     system.......................
    Maintenance, storage, and                      91                 34
     security of records..........
    Opening, transferring, and                     53                 23
     closing cases................
    Protection of home visitors...                 33                 16
    Protocol......................                 50                 23
    Referrals to NPSP.............                 45                 21
    Reporting known or suspected                   34                 17
     child abuse..................
    Screening.....................                 48                 22
    Services......................                 49                 22

[[Page 401]]

 
    Staff qualifications..........                 31                 16
    Training for NPSP personnel...                 59                 25
    Transfer of NPSP records......                 92                 34
Prevention activities.............              40-44              20-21
    Collaboration.................                 41                 20
    Identification of populations                  43                 20
     for secondary prevention
     activities...................
    Implementation of activities                   40                 20
     in coordinated community
     response and risk management
     plan.........................
    Primary prevention activities.                 42                 20
    Secondary prevention                           44                 21
     activities...................
PMA...............................                 12                 11
Public awareness..................              37-39              19-20
    Collaboration to increase                      38                 19
     public awareness.............
    Components....................                 39              19-20
    Implementation of activities                   37                 19
     in the annual FAP plan.......
QA................................            109-113                 37
    FAP QA program................                109                 37
    Monitoring FAP QA.............                111                 37
    Training......................                110                 37
Records Management................
    Disposition of FAP records....                 98                 35
    Disposition of NPSP records...                 93                 34
    FAP case records maintenance,                  96                 35
     storage, and security........
    NPSP case records maintenance,                 91                 34
     storage, and security........
    Transfer of FAP records.......                 97                 35
    Transfer of NPSP records......                 92                 34
    Unrestricted reports of                        94                 35
     domestic abuse...............
Risk management...................                 13                 11
    Assessments...................                 14                 11
    Case manager..................                 69                 27
    Communication of increased                     72                 28
     risk.........................
    Deployment....................                 16                 12
    Disclosure of information.....                 15                 12
    Initial risk monitoring.......                 70                 27
    Ongoing risk assessment.......                 71                 27
    Review and monitoring of the                 2, 3               7, 8
     coordinated community
     response and risk management
     plan.........................
    PMA...........................                 12                 11
Training..........................
    Commanders and senior enlisted                 56                 23
     advisors.....................
    Content.......................                 58                 24
    FAC and IDC...................                 19                 12
    Implementation of training                     55                 23
     requirements.................
    Installation personnel........                 57                 24
    NPSP personnel................                 59                 25
    QA............................                111                 37
------------------------------------------------------------------------

Subparts C-D [Reserved]



 Subpart E_Guidelines for Clinical Intervention for Persons Reported as 
                            Domestic Abusers

    Authority: 10 U.S.C. chapter 47, 42 U.S.C. 5106g, 42 U.S.C. 13031.



Sec. 61.25  Purpose.

    (a) This part is composed of several subparts, each containing its 
own purpose. This subpart implements policy, assigns responsibilities, 
and provides procedures for addressing child abuse and domestic abuse in 
military communities.
    (b) Restricted reporting guidelines are provided in DoD Instruction 
6400.06, ``Domestic Abuse Involving DoD Military and Certain Affiliated 
Personnel'' (available at http://www.dtic.mil/whs/directives/corres/pdf/
640006p.pdf). This subpart prescribes guidelines for Family Advocacy 
Program (FAP) assessment, clinical rehabilitative treatment, and ongoing 
monitoring of individuals who have been reported to FAP by means of an 
unrestricted report for domestic abuse against:
    (1) Current or former spouses, or
    (2) Intimate partners.

[[Page 402]]



Sec. 61.26  Applicability.

    This subpart applies to OSD, the Military Departments, the Office of 
the Chairman of the Joint Chiefs of Staff and the Joint Staff, the 
Combatant Commands, the Office of the Inspector General of the 
Department of Defense, the Defense Agencies, the DoD Field Activities, 
and all other organizational entities within the DoD (referred to in 
this subpart as the ``DoD Components'').



Sec. 61.27  Definitions.

    Unless otherwise noted, the following terms and their definitions 
are for the purpose of this subpart.
    Abuser. An individual adjudicated in a military disciplinary 
proceeding or civilian criminal proceeding who is found guilty of 
committing an act of domestic violence or a lesser included offense, as 
well as an individual alleged to have committed domestic abuse, 
including domestic violence, who has not had such an allegation 
adjudicated.
    Abuser contract. The treatment agreement between the clinician and 
the abuser that specifies the responsibilities and expectations of each 
party. It includes specific abuser treatment goals as identified in the 
treatment plan and clearly specifies that past, present, and future 
allegations and threats of domestic abuse and child abuse or neglect 
will be reported to the active duty member's commander, to local law 
enforcement and child protective services, as appropriate, and to the 
potential victim.
    Clinical case management. Defined in subpart B of this part.
    Clinical case staff meeting (CCSM). Defined in subpart B of the 
part.
    Clinical intervention. Defined in subpart B of this part.
    Domestic abuse. Domestic violence or a pattern of behavior resulting 
in emotional/psychological abuse, economic control, and/or interference 
with personal liberty that is directed toward a person who is:
    (1) A current or former spouse;
    (2) A person with whom the abuser shares a child in common; or
    (3) A current or former intimate partner with whom the abuser shares 
or has shared a common domicile.
    Domestic violence. An offense under the United States Code, the 
UCMJ, or State law involving the use, attempted use, or threatened use 
of force or violence against a person, or a violation of a lawful order 
issued for the protection of a person, who is:
    (1) A current or former spouse.
    (2) A person with whom the abuser shares a child in common; or
    (3) A current or former intimate partner with whom the abuser shares 
or has shared a common domicile.
    FAP Manager. Defined in subpart A of this part.
    Incident determination committee. Defined in subpart A of this part.
    Intimate partner. A person with whom the victim shares a child in 
common, or a person with whom the victim shares or has shared a common 
domicile.
    Risk management. Defined in subpart B of this part.
    Severe abuse. Exposure to chronic pattern of emotionally abusive 
behavior with physical or emotional effects requiring hospitalization or 
long-term mental health treatment. In a spouse emotional abuse incident, 
this designation requires an alternative environment to protect the 
physical safety of the spouse. Exposure to a chronic pattern of 
neglecting behavior with physical, emotional, or educational effects 
requiring hospitalization, long-term mental health treatment, or long-
term special education services. Physical abuse resulting in major 
physical injury requiring inpatient medical treatment or causing 
temporary or permanent disability or disfigurement; moderate or severe 
emotional effects requiring long-term mental health treatment; and may 
require placement in an alternative environment to protect the physical 
safety or other welfare of the victim. Sexual abuse involving oral, 
vaginal, or anal penetration that may or may not require one or more 
outpatient visits for medical treatment; may be accompanied by injury 
requiring inpatient medical treatment or causing temporary or permanent 
disability or disfigurement; moderate or severe emotional effects 
requiring long-term mental health treatment; and may require placement 
in an alternative environment to protect the

[[Page 403]]

physical safety or welfare of the victim.
    Unrestricted report. A process allowing a victim of domestic abuse 
to report an incident using current reporting channels, e.g. chain of 
command, law enforcement or criminal investigative organization, and FAP 
for clinical intervention.



Sec. 61.28  Policy.

    In accordance with subpart A of this part and DoD Instruction 
6400.06, it is DoD policy to:
    (a) Develop PSs and critical procedures for the FAP that reflect a 
coordinated community response to domestic abuse.
    (b) Address domestic abuse within the military community through a 
coordinated community risk management approach.
    (c) Provide appropriate individualized and rehabilitative treatment 
that supplements administrative or disciplinary action, as appropriate, 
to persons reported to FAP as domestic abusers.



Sec. 61.29  Responsibilities.

    (a) The Under Secretary of Defense for Personnel and Readiness 
(USD(P&R)):
    (1) Sponsors FAP research and evaluation and participates in other 
federal research and evaluation projects relevant to the assessment, 
treatment, and risk management of domestic abuse.
    (2) Ensures that research is reviewed every 3 to 5 years and that 
relevant progress and findings are distributed to the Secretaries of the 
Military Departments using all available Web-based applications.
    (3) Assists the Secretaries of the Military Departments to:
    (i) Identify tools to assess risk of recurrence.
    (ii) Develop and use pre- and post-treatment measures of 
effectiveness.
    (iii) Promote training in the assessment, treatment, and risk 
management of domestic abuse.
    (b) The Secretaries of the Military Departments issue implementing 
guidance in accordance with this part. The guidance must provide for the 
clinical assessment, rehabilitative treatment, and ongoing monitoring 
and risk management of Service members and eligible beneficiaries 
reported to FAP for domestic abuse by means of an unrestricted report.



Sec. 61.30  Procedures.

    (a) General principles for clinical intervention--(1) Components of 
clinical intervention. The change from abusive to appropriate behavior 
in domestic relationships is a process that requires clinical 
intervention, which includes ongoing coordinated community risk 
management, assessment, and treatment.
    (2) Military administrative and disciplinary actions and clinical 
intervention. The military disciplinary system and FAP clinical 
intervention are separate processes. Commanders may proceed with 
administrative or disciplinary actions at any time.
    (3) Goals of clinical intervention. the primary goals of clinical 
intervention in domestic abuse are to ensure the safety of the victim 
and community, and promote stopping abusive behaviors.
    (4) Therapeutic alliance--(i) Although clinical intervention must 
address abuser accountability, clinical assessment and treatment 
approaches should be oriented to building a therapeutic alliance with 
the abuser so that he or she is sincerely motivated to take 
responsibility for his or her actions, improve relationship skills, and 
end the abusive behavior.
    (ii) Clinical intervention will neither be confrontational nor 
intentionally or unintentionally rely on the use of shame to address the 
abuser's behavior. Such approaches have been correlated in research 
studies with the abuser's premature termination of or minimal compliance 
with treatment.
    (A) It is appropriate to encourage abusers to take responsibility 
for their use of violence; however, in the absence of a strong, 
supportive, therapeutic relationship, confrontational approaches may 
induce shame and are likely to reduce treatment success and foster 
dropout. Approaches that create and maintain a therapeutic alliance are 
more likely to motivate abusers to seek to change their behaviors, add 
to their relationship skills, and take responsibility for their actions. 
Studies

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indicate that a strong therapeutic alliance is related to decreased 
psychological and physical aggression.
    (B) A clinical style that helps the abuser identify positive 
motivations to change his or her behavior is effective in strengthening 
the therapeutic alliance while encouraging the abuser to evaluate his or 
her own behavior. Together, the therapist and abuser attempt to identify 
the positive consequences of change, identify motivation for change, 
determine the obstacles that lie in the path of change, and identify 
specific behaviors that the abuser can adopt.
    (5) Criteria for clinical intervention approaches. Clinical 
intervention approaches should reflect the current state of knowledge. 
This subpart recommends an approach (or multiple approaches) and 
procedures that have one or more of these characteristics:
    (i) Demonstrated superiority in formal evaluations in comparison to 
one or more other approaches.
    (ii) Demonstrated statistically significant success in formal 
evaluations, but not yet supported by a consensus of experts.
    (iii) The support of a consensus due to significant potential in the 
absence of statistically significant success.
    (iv) Significant potential when consensus does not yet exist.
    (6) Clinical intervention for female abusers. Findings from research 
and clinical experience indicate that women who are domestic abusers may 
require clinical intervention approaches other than those designed 
specifically for male abusers.
    (i) Attention should be given to the motivation and context for 
their use of abusive behaviors to discover whether or not using violence 
against their spouse, former spouse, or intimate partner has been in 
response to his or her domestic abuse.
    (ii) Although both men and women who are domestic abusers may have 
undergone previous traumatic experiences that may warrant treatment, 
women's traumatic experiences may require additional attention within 
the context of domestic abuse.
    (7) Professional standards. Domestic abusers who undergo clinical 
intervention will be treated with respect, fairness, and in accordance 
with professional ethics. All applicable rights of abusers will be 
observed, including compliance with the rights and warnings in 10 U.S.C. 
831, chapter 47, also known and referred to in this subpart as the 
``Uniform Code of Military Justice (UCMJ)'' for abusers who are Service 
members.
    (i) Clinical service providers who conduct clinical assessments of 
or provide clinical treatment to abusers will adhere to Service policies 
with respect to the advisement of rights pursuant to the UCMJ, will seek 
guidance from the supporting legal office when a question of 
applicability arises, and will notify the relevant military law 
enforcement investigative agency if advisement of rights has occurred.
    (ii) Clinical service providers and military and civilian victim 
advocates must follow the Privacy Act of 1974, as amended, and other 
applicable laws, regulations, and policies regarding the disclosure of 
information about victims and abusers.
    (iii) Individuals and agencies providing clinical intervention to 
persons reported as domestic abusers will not discriminate based on 
race, color, religion, gender, disability, national origin, age, or 
socioeconomic status. All members of clinical intervention teams will 
treat abusers with dignity and respect regardless of the nature of their 
conduct or the crimes they may have committed. Cultural differences in 
attitudes will be recognized, respected, and addressed in the clinical 
assessment process.
    (8) Clinical case management. The FAP clinical service provider has 
the responsibility for clinical case management.
    (b) Coordinated community risk management--(1) General. A 
coordinated community response to domestic abuse is the preferred method 
to enhance victim safety, reduce risk, and ensure abuser accountability. 
In a coordinated community response, the training, policies, and 
operations of all civilian and military human service and FAP clinical 
service providers are linked closely with one another. Since no 
particular response to a report of domestic abuse can ensure that a 
further incident will not occur, selection of the

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most appropriate response will be considered one of coordinated 
community risk management.
    (2) Responsibility for coordinated community risk management. 
Overall responsibility for managing the risk of further domestic abuse, 
including developing and implementing an intervention plan when 
significant risk of lethality or serious injury is present, lies with:
    (i) The Service member's commander when a Service member is a 
domestic abuser or is the victim (or their military dependent is the 
victim) of domestic abuse.
    (ii) The commander of the installation or garrison on which a 
Service member who is a domestic abuser or who is the victim (or their 
military dependent who is the victim) of domestic abuse may live.
    (iii) The commander of the military installation on which the 
civilian is housed for a civilian abuser accompanying U.S. military 
forces outside the United States.
    (iv) The FAP clinical service provider or case manager for liaison 
with civilian authorities in the event the abuser is a civilian.
    (3) Implementation. Coordinated community risk management requires:
    (i) The commander of the military installation to participate in 
local coalitions and task forces to enhance communication and strengthen 
program development among activities. In the military community, this 
may include inviting State, local, and tribal government representatives 
to participate in their official capacity as non-voting guests in 
meetings of the Family Advocacy Committee (FAC) to discuss coordinated 
community risk management in domestic abuse incidents that cross 
jurisdictions. (See subpart B of this part for FAC standards.)
    (A) Agreements with non-federal activities will be reflected in 
signed MOU.
    (B) Agreements may be among military installations of different 
Military Services and local government activities.
    (ii) Advance planning through the installation FAC by:
    (A) The commander of the installation.
    (B) FAP and civilian clinical service providers.
    (C) Victim advocates in the military and civilian communities.
    (D) Military chaplains.
    (E) Military and civilian law enforcement agencies.
    (F) Military supporting legal office and civilian prosecutors.
    (G) Military and civilian mental health and substance abuse 
treatment agencies.
    (H) DoDEA school principals or their designees.
    (I) Other civilian community agencies and personnel including:
    (1) Criminal and family court judges.
    (2) Court probation officials.
    (3) Child protective services agencies.
    (4) Domestic abuse shelters.
    (iii) FAP clinical service providers to address:
    (A) Whether treatment approaches under consideration are based on 
individualized assessments and directly address other relevant risk 
factors.
    (B) Whether the operational tempo of frequent and lengthy 
deployments to accomplish a military mission affects the ability of 
active duty Service members to complete a State-mandated treatment 
program.
    (C) Respective responsibilities for monitoring abusers' behavior on 
an ongoing basis, developing procedures for disclosure of relevant 
information to appropriate authorities, and implementing a plan for 
intervention to address the safety of the victim and community.
    (4) Deployment. Risk management of a Service member reported to FAP 
as a domestic abuser prior to a military deployment, when his or her 
deployment is not cancelled, or reported to FAP as a domestic abuser 
while deployed requires planning for his or her return to their home 
station.
    (i) The installation FAC should give particular attention to special 
and early returns so during deployment of a unit, the forward command is 
aware of the procedures to notify the home station command of regularly-
scheduled and any special or early returns of such personnel to reduce 
the risk of additional abuse.
    (ii) An active duty Service member reported as a domestic abuser may 
be

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returned from deployment early for military disciplinary or civilian 
legal procedures, for rest and recuperation (R&R), or, if clinical 
conditions warrant, for treatment not otherwise available at the 
deployed location and if the commander feels early return is necessary 
under the circumstances. To prevent placing a victim at higher risk, the 
deployed unit commander will notify the home station commander and the 
installation FAP in advance of the early return, unless operational 
security prevents such disclosure.
    (5) Clinical case management. Ongoing and active case management, 
including contact with the victim and liaison with the agencies in the 
coordinated community response, is necessary to ascertain the abuser's 
sincerity and changed behavior. Case management requires ongoing liaison 
and contact with multiple information sources involving both military 
and surrounding civilian community agencies. Clinical case management 
includes:
    (i) Initial clinical case management. Initial case management begins 
with the intake of the report of suspected domestic abuse, followed by 
the initial clinical assessment.
    (ii) Periodic clinical case management. Periodic case management 
includes the FAP clinical service provider's assessment of treatment 
progress and the risk of recurrence of abuse. Treatment progress and the 
results of the latest risk assessment should be discussed whenever the 
case is reviewed at the CCSM.
    (iii) Follow-up. As a result of the risk assessment, if there is a 
risk of imminent danger to the victim or to another person, the FAP 
clinical service provider may need to notify:
    (A) The victim or other person at risk and the victim advocate to 
review, and possibly revise, the safety plan.
    (B) The appropriate military command, and military or civilian law 
enforcement agency.
    (C) Other treatment providers to modify their intervention with the 
abuser. For example, the provider of substance abuse treatment may need 
to change the requirements for monitored urinalysis.
    (c) Clinical assessment--(1) Purposes. A structured clinical 
assessment of the abuser is a critical first step in clinical 
intervention. The purposes of clinical assessment are to:
    (i) Gather information to evaluate and ensure the safety of all 
parties--victim, abuser, other family members, and community.
    (ii) Assess relevant risk factors, including the risk of lethality.
    (iii) Determine appropriate risk management strategies, including 
clinical treatment; monitoring, controlling, or supervising the abuser's 
behavior to protect the victim and any individuals who live in the 
household; and victim safety planning.
    (2) Initial information gathering. Initial information gathering and 
risk assessment begins when the unrestricted report of domestic abuse is 
received by FAP.
    (i) Since the immediacy of the response is based on the imminence of 
risk, the victim must be contacted as soon as possible to evaluate her 
or his safety, safety plan, and immediate needs. If a domestic abuse 
victim advocate is available, the victim advocate must contact the 
victim. If a victim advocate is not available, the clinician must 
contact the victim. Every attempt must be made to contact the victim via 
telephone or email to request a face-to-face interview. If the victim is 
unable or unwilling to meet face-to-face, the victim's safety, safety 
plan, and immediate needs will be evaluated by telephone.
    (ii) The clinician must interview the victim and abuser separately 
to maximize the victim's safety. Both victim and abuser must be assessed 
for the risk factors in paragraphs (c)(4) and (c)(6) of this section.
    (A) The clinician must inform the victim and abuser of the limits of 
confidentiality and the FAP process before obtaining information from 
them. Such information must be provided in writing as early as 
practical.
    (B) The clinician must build a therapeutic alliance with the abuser 
using an interviewing style that assesses readiness for and motivates 
behavioral change. The clinician must be sensitive to cultural 
considerations and other barriers to the client's engagement in the 
process.

[[Page 407]]

    (iii) The clinician must also gather information from a variety of 
other sources to identify additional risk factors, clarify the context 
of the use of any violence, and determine the level of risk. The 
assessment must include information about whether the Service member is 
scheduled to be deployed or has been deployed within the past year, and 
the dates of scheduled or past deployments. Such sources of information 
may include:
    (A) The appropriate military command.
    (B) Military and civilian law enforcement.
    (C) Medical records.
    (D) Children and other family members residing in the home.
    (E) Others who may have witnessed the acts of domestic abuse.
    (F) The FAP central registry of child maltreatment and domestic 
abuse reports.
    (iv) The clinician will request disclosure of information and use 
the information disclosed in accordance with 32 CFR part 310 and DoD 
6025.18-R, ``DoD Health Information Privacy Regulation'' (available at 
http://www.dtic.mil/whs/directives/corres/pdf/602518r.pdf).
    (3) Violence contextual assessment. The clinical assessment of 
domestic abuse will include an assessment of the use of violence within 
the context of relevant situational factors to guide intervention. 
Relevant situational factors regarding the use of violence include, but 
are not limited to:
    (i) Exacerbating factors. Exacerbating factors include whether 
either victim or domestic abuser:
    (A) Uses violence as an inappropriate means of expressing 
frustrations with life circumstances.
    (B) Uses violence as a means to exert and maintain power and control 
over the other party.
    (C) Has inflicted injuries on the other party during the 
relationship, and the extent of such injuries.
    (D) Fears the other.
    (ii) Mitigating factors. Mitigating factors include whether either 
victim or domestic abuser uses violence:
    (A) In self-defense.
    (B) To protect another person, such as a child.
    (C) In retaliation, as noted in the most recent incident or in the 
most serious incident.
    (4) Lethality risk assessment. The clinician must assess the risk 
for lethality in every assessment for domestic abuse, whether or not 
violence was used in the present incident. The lethality assessment will 
assess the presence of these factors:
    (i) For both victim and domestic abuser:
    (A) Increased frequency and severity of violence in the 
relationship.
    (B) Ease of access to weapons.
    (C) Previous use of weapons or threats to use weapons.
    (D) Threats to harm or kill the other party, oneself, or another 
(especially a child of either party).
    (E) Excessive use of alcohol and use of illegal drugs.
    (F) Jealousy, possessiveness, or obsession, including stalking.
    (ii) For the domestic abuser only:
    (A) Previous acts or attempted acts of forced or coerced sex with 
the victim.
    (B) Previous attempts to strangle the victim.
    (iii) For the victim only:
    (A) The victim's attempts or statements of intent to leave the 
relationship.
    (B) If the victim is a woman, whether the victim is pregnant and the 
abuser's attitude regarding the pregnancy.
    (C) The victim's fear of harm from the abuser to himself or herself 
or any child of either party or other individual living in the 
household.
    (5) Results of lethality risk assessment. When one or more lethality 
factors are identified:
    (i) The clinician will promptly contact the appropriate commander 
and military or civilian law enforcement agency and the victim advocate.
    (ii) The commander or military law enforcement agency will take 
immediate steps to protect the victim, addressing the lethality 
factor(s) identified.
    (iii) The victim advocate will contact the victim to develop or 
amend any safety plan to address the lethality factor(s) identified.
    (iv) The commander will intensify ongoing coordinated community risk

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management and monitoring of the abuser.
    (6) Assessment of other risk factors. The clinician will separately 
assess the victim and abuser for other factors that increase risk for 
future domestic abuse. Such risk factors to be assessed include, but are 
not limited to, the abuser's:
    (i) Previous physical and sexual violence and emotional abuse 
committed in the current and previous relationships. The greater the 
frequency, duration, and severity of such violence, the greater the 
risk.
    (ii) Use of abuse to create and maintain power and control over 
others.
    (iii) Attitudes and beliefs directly or indirectly supporting 
domestic abusive behavior. The stronger the attitudes and beliefs, the 
greater the risk.
    (iv) Blaming of the victim for the abuser's acts. The stronger the 
attribution of blame to the victim, the greater the risk.
    (v) Denial that his or her abusive acts were wrong and harmful, or 
minimization of their wrongfulness and harmfulness.
    (vi) Lack of motivation to change his or her behavior. The weaker 
the motivation, the greater the risk.
    (vii) Physical and/or emotional abuse of any children in the present 
or previous relationships. The greater the frequency, duration, and 
severity of such abuse, the greater the risk.
    (viii) Physical abuse of pets or other animals. The greater the 
frequency, duration, and severity of such abuse, the greater the risk.
    (ix) Particular caregiver stress, such as the management of a child 
or other family member with disabilities.
    (x) Previous criminal behavior unrelated to domestic abuse. The 
greater the frequency, duration, and severity of such criminal behavior, 
the greater the risk.
    (xi) Previous violations of civil or criminal court orders. The 
greater the frequency of such violations, the greater the risk.
    (xii) Relationship problems, such as infidelity or significant 
ongoing conflict.
    (xiii) Financial problems.
    (xiv) Mental health issues or disorders, especially disorders of 
emotional attachment or depression and issues and disorders that have 
not been treated successfully.
    (xv) Experience of traumatic events during military service, 
including events that resulted in physical injuries.
    (xvi) Any previous physical harm, including head or other physical 
injuries, sexual victimization, or emotional harm suffered in childhood 
and/or as a result of violent crime outside the relationship.
    (xvii) Fear of relationship failure or of abandonment.
    (7) Periodic risk assessment. The FAP clinical service provider will 
periodically conduct a risk assessment with input from the victim, 
adding the results of such risk assessments to the abuser's treatment 
record in accordance with subpart B of this part, and incorporating them 
into the abuser's clinical treatment plan and contract. Risk assessment 
will be conducted:
    (i) At least quarterly, but more frequently as required to monitor 
safety when the current situation is deemed high risk.
    (ii) Whenever the abuser is alleged to have committed a new incident 
of domestic abuse or an incident of child abuse.
    (iii) During significant transition periods in clinical case 
management, such as the change from assessment to treatment, changes 
between treatment modalities, and changes between substance abuse or 
mental health treatment and FAP treatment.
    (iv) After destabilizing events such as accusations of infidelity, 
separation or divorce, pregnancy, deployment, administrative or 
disciplinary action, job loss, financial issues, or health impairment.
    (v) When any clinically relevant issues are uncovered, such as 
childhood trauma, domestic abuse in a prior relationship, or the 
emergence of mental health problems.
    (8) Assessment of events likely to trigger the onset of future 
abuse. The initial clinical assessment will include a discussion of 
potential events that may trigger the onset of future abuse, such as 
pregnancy, upcoming deployment, a

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unilateral termination of the relationship, or conflict over custody and 
visitation of children in the relationship.
    (9) Tools and instruments for assessment. The initial clinical 
assessment process will include the use of appropriate standardized 
tools and instruments, Service-specific tools, and clinical 
interviewing. Unless otherwise indicated, the results from one or more 
of these tools will not be the sole determinant(s) for excluding an 
individual from treatment. The tools should be used for:
    (i) Screening for suitability for treatment.
    (ii) Tailoring treatment approaches, modalities, and content.
    (iii) Reporting changes in the level of risk.
    (iv) Developing risk management strategies.
    (v) Making referrals to other clinical service providers for 
specialized intervention when appropriate.
    (d) Clinical treatment--(1) Theoretical approaches. Based on the 
results of the clinical assessment, the FAP clinical service provider 
will select a treatment approach that directly addresses the abuser's 
risk factors and his or her use of violence. Such approaches include, 
but are not limited to, cognitive and dialectical behavioral therapy, 
psychodynamic therapy, psycho-educational programs, attachment-based 
intervention, and combinations of these and other approaches. See 
paragraph (a)(5) of this section for criteria for clinical intervention 
approaches.
    (2) Treatment Planning. A FAP clinical service provider will develop 
a treatment plan for domestic abuse that is based on a structured 
assessment of the particular relationship and risk factors present.
    (i) The treatment plan will not be based on a generic ``one-size-
fits-all'' approach. The treatment plan will consider that people who 
commit domestic abuse do not compose a homogeneous group, and may 
include people:
    (A) Of both sexes.
    (B) With a range of personality characteristics.
    (C) With mental illness and those with no notable mental health 
problems.
    (D) Who abuse alcohol or other substances and/or use illegal drugs 
and those who do not.
    (E) Who combine psychological abuse with coercive techniques, 
including violence, to maintain control of their spouse, former spouse, 
or intimate partner and those who do not attempt to exert coercive 
control.
    (F) In relationships in which both victim and domestic abuser use 
violence (excluding self-defense).
    (ii) Due to the demographics of the military population, structure 
of military organizations, and military culture, it is often possible to 
intervene in a potentially abusive relationship before the individual 
uses coercive techniques to gain and maintain control of the other 
party. Thus, a reliance on addressing the abuser's repeated use of power 
and control tactics as the sole or primary focus of treatment is 
frequently inapplicable in the military community.
    (iii) Treatment objectives, when applicable, will seek to:
    (A) Educate the abuser about what domestic abuse is and the common 
dynamics of domestic abuse in order for the abuser to learn to identify 
his or her own abusive behaviors.
    (B) Identify the abuser's thoughts, emotions, and reactions that 
facilitate abusive behaviors.
    (C) Educate the abuser on the potential for re-abusing, signs of 
abuse escalation and the normal tendency to regress toward previous 
unacceptable behaviors.
    (D) Identify the abuser's deficits in social and relationship 
skills. Teach the abuser non-abusive, adaptive, and pro-social 
interpersonal skills and healthy sexual relationships, including the 
role of intimacy, love, forgiveness, development of healthy ego 
boundaries, and the appropriate role of jealousy.
    (E) Increase the abuser's empathic skills to enhance his or her 
ability to understand the impact of violence on the victim and empathize 
with the victim.
    (F) Increase the abuser's self-management techniques, including 
assertiveness, problem solving, stress management, and conflict 
resolution.

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    (G) Educate the abuser on the socio-cultural basis for violence.
    (H) Identify and address issues of gender role socialization and the 
relationship of such issues to domestic abuse.
    (I) Increase the abuser's understanding of the impact of emotional 
abuse and violence directed at children and violence that is directed to 
an adult but to which children in the family are exposed.
    (J) Facilitate the abuser's acknowledgment of responsibility for 
abusive actions and consequences of actions. Although the abuser's 
history of victimization should be addressed in treatment, it should 
never take precedence over his or her responsibility to be accountable 
for his or her abusive and/or violent behavior, or be used as an excuse, 
rationalization, or distraction from being held so accountable.
    (K) Identify and confront the abuser's issues of power and control 
and the use of power and control against victims.
    (L) Educate the abuser on the impact of substance abuse and its 
correlation to violence and domestic abuse.
    (iv) These factors should inform treatment planning:
    (A) Special objectives for female abusers. Findings from research 
and clinical experience indicate that clinical treatment based solely on 
analyses of male power and control may not be applicable to female 
domestic abusers. Clinical approaches must give special attention to the 
motivation and context for use of violence and to self-identified 
previous traumatic experiences.
    (B) Special Strategies for Grieving Abusers. When grief and loss 
issues have been identified in the clinical assessment or during 
treatment, the clinician will incorporate strategies for addressing 
grief and loss into the treatment plan. This is especially important if 
a victim has decided to end a relationship with a domestic abuser 
because of the abuse.
    (1) Abusers with significant attachment issues who are facing the 
end of a relationship with a victim are more likely to use lethal 
violence against the victim and children in the family. This is 
exemplified by the statement: ``If I can't have you no one else can have 
you.''
    (2) They are also more likely to attempt suicide. This is 
exemplified by the statement: ``Life without you is not worth living.''
    (C) Co-Occurrence of substance abuse. The coordinated community 
management of risk is made more difficult when the person committing 
domestic abuse also abuses alcohol or other substances. When the person 
committing domestic abuse also abuses alcohol or other substances:
    (1) Treatment for domestic abuse will be coordinated with the 
treatment for substance abuse and information shared between the 
treatment providers in accordance with applicable laws, regulations, and 
policies.
    (2) Special consideration will be given to integrating the two 
treatment programs or providing them at the same time.
    (3) Information about the abuser's progress in the respective 
treatment programs will be shared between the treatment providers. 
Providing separate treatment approaches with no communication between 
the treatment providers complicates the community's management of risk.
    (D) Co-occurrence of child abuse. When a domestic abuser has 
allegedly committed child abuse, the clinician will:
    (1) Notify the appropriate law enforcement agency and other civilian 
agencies as appropriate in accordance with 42 U.S.C. 13031.
    (2) Notify the appropriate child protective services agency and the 
FAP supervisor to ascertain if a FAP child abuse case should be opened 
in accordance with DoD Instruction 6400.06 and 42 U.S.C. 5106g.
    (3) Address the impact of such abuse of the child(ren) as a part of 
the domestic abuser clinical treatment.
    (4) Seek to improve the abuser's parenting skills if appropriate in 
conjunction with other skills.
    (5) Continuously assess the abuser as a parent or caretaker as 
appropriate throughout the treatment process.
    (6) Address the impact of the abuser's domestic abuse directed 
against the victim upon children in the home as a part of the domestic 
abuser clinical treatment.
    (E) Occurrence of sexual abuse within the context of domestic abuse. 
Although

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sexual abuse is a subset of domestic abuse, victims may not recognize 
that sexual abuse can occur in the context of a marital or intimate 
partner relationship. Clinicians should employ specific assessment 
strategies to identify the presence of sexual abuse within the context 
of domestic abuse.
    (F) Deployment. Deployment of an active duty Service member who is a 
domestic abuser is a complicating factor for treatment delivery.
    (1) A Service member who is scheduled to deploy in the near future 
may be highly stressed and therefore at risk for using poor conflict 
management skills.
    (2) While on deployment, a Service member is unlikely to receive 
clinical treatment for the abuse due to mission requirements and 
unavailability of such treatment.
    (3) A deployed Service member reported to FAP as a domestic abuser 
may return from deployment early for military disciplinary or civilian 
legal procedures, for R&R, or if clinical conditions warrant early 
return from deployment for treatment not otherwise available at the 
deployed location and if the commander feels early return is necessary 
under the circumstances. The home station command and installation FAP 
must be notified in advance of the early return of a deployed Service 
member with an open FAP case, unless operational security prevents 
disclosure, so that the risk to the victim can be assessed and managed.
    (4) A Service member who is deployed in a combat operation or in an 
operation in which significant traumatic events occur may be at a higher 
risk of committing domestic abuse upon return.
    (5) The Service member may receive head injuries. Studies indicate 
that such an injury increases the risk of personality changes, including 
a lowered ability to tolerate frustration, poor impulse control, and an 
increased risk of using violence in situations of personal conflict. If 
the Service member has a history of a head injury prior to or during 
deployment, the clinician should ascertain whether the Service member 
received a medical assessment, was prescribed appropriate medication, or 
is undergoing current treatment.
    (6) The Service member may suffer from depression prior to, during, 
or after deployment and may be at risk for post-traumatic stress 
disorder. Studies indicate that males who are depressed are at higher 
risk of using violence in their personal relationships. If the Service 
member presents symptoms of depression, the clinician should ascertain 
whether the Service member has received a medical assessment, was 
prescribed appropriate medication, or is undergoing current treatment.
    (3) Treatment modalities. Clinical treatment may be provided in one 
or more of these modalities as appropriate to the situation:
    (i) Group therapy. Group therapy is the preferred mode of treatment 
for domestic abusers because it applies the concept of problem 
universality and offers opportunities for members to support one another 
and learn from other group members' experiences.
    (A) The decision to assign an individual to group treatment is 
initially accomplished during the clinical assessment process; however, 
the group facilitator(s) should assess the appropriateness of group 
treatment for each individual on an ongoing basis.
    (B) The most manageable maximum number of participants for a 
domestic abuser treatment group with one or two facilitators is 12.
    (C) A domestic abuser treatment group may be restricted to one sex 
or open to both sexes. When developing a curriculum or clinical 
treatment agenda for a group that includes both sexes, the clinician 
should consider that the situations in paragraphs (d)(3)(i)(C)(1) 
through (d)(3)(i)(C)(3) are more likely to occur in a group that 
includes both sexes.
    (1) Treatment-disruptive events such as sexual affairs or emotional 
coupling.
    (2) Jealousy on the part of the non-participant victim.
    (3) Intimidation of participants whose sex is in the minority within 
the group.
    (D) A group may have one or two facilitators; if there are two 
facilitators, they may be of the same or both sexes.
    (ii) Individual treatment. In lieu of using a group modality, 
approaches may be applied in individual treatment

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if the number of domestic abusers at the installation entering treatment 
is too small to create a group.
    (iii) Conjoint treatment with substance abusers. When small numbers 
of both domestic abusers and substance abusers make separate treatment 
groups impractical, therapists should consider combining abusers into 
the same group because co-occurrence of domestic abuse and substance 
abuse has been documented in scientific literature and the content for 
clinical treatment of domestic abuse and substance abuse is very 
similar. When domestic abusers and substance abusers are combined into 
the same group, the facilitator(s) must be certified in substance abuse 
treatment as well as meeting the conditions in paragraph (e) of this 
section.
    (iv) Conjoint treatment of victim and abuser. Domestic abuse in a 
relationship may be low-level in severity and frequency and without a 
pervasive pattern of coercive control.
    (A) Limitations on Use. Conjoint treatment may be considered in such 
cases where the abuser and victim are treated together, but only if all 
of these conditions are met:
    (1) Each of the parties separately and voluntarily indicates a 
desire for this approach.
    (2) Any abuse, especially any violence, was infrequent, not severe, 
and not intended or likely to cause severe injury.
    (3) The risk of future violence is periodically assessed as low.
    (4) Each party agrees to follow safety guidelines recommended by the 
clinician.
    (5) The clinician:
    (i) Has the knowledge, skills, and abilities to provide conjoint 
treatment therapy as well as treat domestic abuse.
    (ii) Fully understands the level of abuse and violence and 
specifically addresses these issues.
    (iii) Takes appropriate measures to ensure the safety of all 
parties, including regular monitoring of the victim and abuser, using 
all relevant sources of information. The clinician will take particular 
care to ensure that the victim participates voluntarily and without fear 
and is contacted frequently to ensure that violence has not recurred.
    (B) Contra-indications. Conjoint treatment will be suspended or 
discontinued if monitoring indicates an increase in the risk for abuse 
or violence. Conjoint treatment will not be used if one or more of these 
factors are present:
    (1) The abuser:
    (i) Has a history or pattern of violent behavior and/or of 
committing severe abuse.
    (ii) Lacks a credible commitment or ability to maintain the safety 
of the victim or any third parties. For example, the abuser refuses to 
surrender personal firearms, ammunition, and other weapons.
    (2) Either the victim or the abuser or both:
    (i) Participates under threat, coercion, duress, intimidation, or 
censure, and/or otherwise participates against his or her will.
    (ii) Has a substance abuse problem that would preclude him or her 
from substantially benefiting from conjoint treatment.
    (iii) Has one or more significant mental health issues (e.g., 
untreated mood disorder or personality disorder) that would preclude him 
or her from substantially benefiting from conjoint treatment.
    (v) Couple's meetings. Periodic case management meetings with the 
couple, as opposed to the ongoing conjoint therapy of a single victim 
and abuser, may be used only after the clinician (or clinicians) has 
made plans to ensure the safety of the victim. All couples meetings must 
be structured and co-facilitated by the clinician(s) providing treatment 
to the abusers and support for the victims to ensure support and 
protection for the victims.
    (4) Treatment contract. Properly informing the abuser of the 
treatment rules is a condition for treating violations as a risk 
management issue. The clinician will prepare and discuss with the abuser 
an agreement between them that will serve as a treatment contract. The 
agreement will be in writing and the clinician will provide a copy to 
the abuser and retain a copy in the treatment record. The contract will 
include:
    (i) Goals. Specific abuser treatment goals, as identified in the 
treatment plan.

[[Page 413]]

    (ii) Time and attendance requirements. The frequency and duration of 
treatment and the number of absences permitted.
    (A) Clinicians may follow applicable State standards specifying the 
duration of treatment as a benchmark unless otherwise indicated.
    (B) An abuser may not be considered to have successfully completed 
clinical treatment unless he or she has completed the total number of 
required sessions. An abuser may not miss more than 10 percent of the 
total number of required sessions. On a case-by-case basis, the 
facilitator should determine whether significant curriculum content has 
been missed and make-up sessions are required.
    (iii) Crisis plan. A response plan for abuser crisis situations 
(information on referral services for 24-hour emergency calls and walk-
in treatment when in crisis).
    (iv) Abuser responsibilities. The abuser must agree to:
    (A) Abstain from all forms of domestic abuse.
    (B) Accept responsibility for previous abusive and violent behavior.
    (C) Abstain from purchasing or possessing personal firearms or 
ammunition.
    (D) Talk openly and process personal feelings.
    (E) Provide financial support to his or her spouse and children per 
the terms of an agreement with the spouse or court order.
    (F) Treat group members, facilitators, and clinicians with respect.
    (G) Contact the facilitator prior to the session when unable to 
attend a treatment session.
    (H) Comply with the rules concerning the frequency and duration of 
treatment, and the number of absences permitted.
    (v) Consequences of treatment contract violations. Violation of any 
of the terms of the abuser contract may lead to termination of the 
abuser's participation in the clinical treatment program.
    (A) Violations of the abuser contract may include, but are not 
limited to:
    (1) Subsequent incidents of abuse.
    (2) Unexcused absences from more than 10 percent of the total number 
of required sessions.
    (3) Statements or behaviors of the abuser that show signs of 
imminent danger to the victim.
    (4) Behaviors of the abuser that are escalating in severity and may 
lead to violence.
    (5) Non-compliance with co-occurring treatment programs that are 
included in the treatment contract.
    (B) If the abuser violates any of the terms of the abuser contract, 
the clinician or facilitator may terminate the abuser from the treatment 
program; notify the command, civilian criminal justice agency, and/or 
civilian court as appropriate; and notify the victim if contact will not 
endanger the victim.
    (C) The command should take any action it deems appropriate when 
notified that the abuser's treatment has been terminated due to a 
contract violation.
    (vi) Conditions of information disclosure. The circumstances and 
procedures, in accordance with applicable laws, regulations, and 
policies, under which information may be disclosed to the victim and to 
any court with jurisdiction.
    (A) Past, present, and future acts and threats of child abuse or 
neglect will be reported to the member's commander; child protective 
services, when appropriate; and the appropriate military and/or civilian 
law enforcement agency in accordance with applicable laws, regulations, 
and policies.
    (B) Recent and future acts and threats of domestic abuse will be 
reported to the member's commander, the appropriate military and/or 
civilian law enforcement agency, and the potential victim in accordance 
with applicable laws, regulations, and policies.
    (vii) Complaints. The procedures according to which the abuser may 
complain regarding the clinician or the treatment.
    (5) Treatment outside the FAP. If the abuser's treatment is provided 
by a clinician outside the FAP, the FAP clinical service provider will 
follow procedures in accordance with relevant laws, regulations, and 
policies regarding the confidentiality and disclosure of information. 
FAP may not close an open FAP case as resolved if the abuser does

[[Page 414]]

not consent to release of information from the outside provider 
confirming goal achievement, treatment progress, or risk reduction.
    (6) Criteria for evaluating treatment progress and risk reduction. 
The FAP clinical service provider will assess progress in treatment and 
reduction of risk consistent with subpart B of this part. If a risk 
factor is not addressed within the FAP but is being addressed by a 
secondary clinical service provider, the FAP clinical service provider 
will ascertain the treatment progress or results in consultation with 
the secondary clinical service provider. Treatment progress should be 
assessed periodically using numerous sources, especially, but not 
limited to, the victim. In making contact with the victim and in using 
the information, promoting victim safety is the priority. Progress in 
clinical treatment and risk reduction is indicated by a combination of:
    (i) Abuser behaviors and attitudes. An abuser is demonstrating 
progress in treatment when, among other indicators, he or she:
    (A) Demonstrates the ability for self-monitoring and assessment of 
his or her behavior.
    (B) Is able to develop a relapse prevention plan.
    (C) Is able to monitor signs of potential relapse.
    (D) Has completed all treatment recommendations.
    (ii) Information from the victim and other relevant sources. The 
abuser is demonstrating progress in treatment when the victim and other 
relevant sources of information state any one or combination of the 
following: That the abuser has:
    (A) Ceased all domestic abuse.
    (B) Reduced the frequency of non-violent abusive behavior.
    (C) Reduced the severity of non-violent abusive behavior.
    (D) Delayed the onset of abusive behavior.
    (E) Demonstrated the use of improved relationship skills.
    (iii) Reduced ratings on risk assessment variables that are subject 
to change. The abuser has successfully reduced risk when the assessment 
of his or her risk is rated at the level the Military Service has 
selected for case closure.
    (e) Personnel qualifications--(1) Minimum qualifications. All 
personnel who conduct clinical assessments of and provide clinical 
treatment to domestic abusers must have these minimum qualifications:
    (i) A master's or doctoral-level human service and/or mental health 
professional degree from an accredited university or college.
    (ii) The highest license in a State or clinical license in good 
standing in a State that authorizes independent clinical practice.
    (iii) 1 year of experience in domestic abuse and child abuse 
counseling or treatment.
    (2) Additional training. All personnel who conduct clinical 
assessments of and/or provide clinical treatment to domestic abusers 
must undergo this additional training:
    (i) Within 6 months of employment, orientation into the military 
culture. This includes training in the Service rank structures and 
military protocol.
    (ii) A minimum of 15 hours of continuing education units within 
every 2 years that are relevant to domestic abuse and child abuse. This 
includes, but is not limited to, continuing education in interviewing 
adult victims of domestic abuse, children, and domestic abusers, and 
conducting treatment groups.
    (iii) Service FAP Managers must develop policies and procedures for 
continued education with clinical skills training that validates 
clinical competence, and not rely solely on didactic or computer 
disseminated training to meet continuing education requirements.
    (f) QA--(1) QA procedures. The FAP Manager must ensure that clinical 
intervention undergoes these QA procedures:
    (i) A quarterly peer review of a minimum of 10 percent of open 
clinical records that includes procedures for addressing any 
deficiencies with a corrective action plan
    (ii) A quarterly administrative audit of a minimum of 10 percent of 
open records that includes procedures for addressing any deficiencies 
with a corrective action plan.
    (2) FAC responsibilities. The installation FAC will analyze trends 
in risk

[[Page 415]]

management, develop appropriate agreements and community programs with 
relevant civilian agencies, promote military interagency collaboration, 
and monitor the implementation of such agreements and programs on a 
regular basis consistent with subpart B of this part.
    (3) Evaluation and accreditation review. The installation domestic 
abuse treatment program will undergo evaluation and/or accreditation 
every 4 years, including an evaluation and/or accreditation of its 
coordinated community risk management program consistent with subpart B 
of this part.



PART 64_MANAGEMENT AND MOBILIZATION OF REGULAR AND RESERVE RETIRED
MILITARY MEMBERS--Table of Contents



Sec.
64.1 Purpose.
64.2 Applicability and scope.
64.3 Definitions.
64.4 Policy.
64.5 Responsibilities.

    Authority: 10 U.S.C. 688, 973, and 12301(a).

    Source: 71 FR 19828, Apr. 18, 2006, unless otherwise noted.



Sec. 64.1  Purpose.

    This part implements 10 U.S.C. 688, 973, 12301(a), and 12307 by 
prescribing uniform policy and guidance governing the peacetime 
management of retired Regular and Reserve military personnel preparing 
for their use during a mobilization.



Sec. 64.2  Applicability and scope.

    This part:
    (a) Applies to the Office of the Secretary of Defense, the Military 
Departments (including the Coast Guard when it is not operating as part 
of the Navy by agreement with the Department of Homeland Security), the 
Chairman of the Joint Chiefs of Staff, the Combatant Commands, the 
Office of the Inspector General of the Department of Defense, the 
Defense Agencies, the DoD Field Activities, and all other organizational 
entities in the Department of Defense (hereafter referred to as the 
``DoD Components''). The term ``Military Services,'' as used herein, 
refers to the Army, the Navy, the Air Force, the Marine Corps, and the 
Coast Guard. The term ``Secretary concerned,'' refers to the respective 
Secretaries of the Military Departments and the Secretary of Homeland 
Security for the Coast Guard when it is not operating as part of the 
Navy. (b) This part also applies to non-DoD organizations that have DoD-
related missions, such as the Department of Homeland Security and the 
Selective Service System, and non-DoD organizations that have North 
Atlantic Treaty Organization-related missions, under agreements with 
those non-DoD organizations.



Sec. 64.3  Definitions.

    (a) Key employee. Any Reservist or any military retiree (Regular or 
Reserve) identified by his or her employer, private or public, as 
filling a key position.
    (b) Key position. A civilian position, public or private (designated 
by an employer and approved by the Secretary concerned), that cannot be 
vacated during war, a national emergency, or mobilization without 
seriously impairing the capability of the parent agency or office to 
function effectively, while meeting the criteria for designating key 
positions as outlined in Department of Defense Directive 1200.7. \1\
---------------------------------------------------------------------------

    \1\ Copies may be obtained from http://www.dtic.mil/whs/directives.
---------------------------------------------------------------------------

    (c) Military retiree categories--(1) Category I. Non-disability 
military retirees under age 60 who have been retired fewer than 5 years.
    (2) Category II. Non-disability military retirees under age 60 who 
have been retired 5 years or more.
    (3) Category III. Military retirees, including those retired for 
disability, other than categories I or II retirees (includes warrant 
officers and healthcare professionals who retire from active duty after 
age 60).
    (d) Military retirees or retired military members. (1) Regular and 
Reserve officers and enlisted members who retire from the Military 
Services under 10 U.S.C. Chapters 61, 63, 65, 1223, 367, 571, or 573, 
and 14 U.S.C. Chapters 11 and 21.
    (2) Reserve officers and enlisted members eligible for retirement 
under one of the provisions of law in Sec. 64.3(d)

[[Page 416]]

who have not reached age 60 and who have not elected discharge or are 
not members of the Ready Reserve or Standby Reserve (including members 
of the Inactive Standby Reserve).
    (3) Members of the Fleet Reserve and Fleet Marine Corps Reserve 
under 10 U.S.C. 6330.



Sec. 64.4  Policy.

    (a) It is DoD policy that military retirees be ordered to active 
duty as needed to perform such duties as the Secretary concerned 
considers necessary in the interests of national defense as described in 
10 U.S.C. 12301 and 688.
    (b) The DoD Components and the Commandant of the U.S. Coast Guard 
shall plan to use as many retirees as necessary to meet national 
security needs.
    (c) The military retirees ordered to active duty may be used 
according to guidance prescribed by the Secretary concerned as follows:
    (1) To fill shortages or to augment deployed or deploying units and 
activities or units in the Continental United States, Alaska, and Hawaii 
supporting deployed units.
    (2) To release other military members for deployment overseas.
    (3) Subject to the limitations of 10 U.S.C. 973, Federal civilian 
workforce shortages in the Department of Defense, the U.S. Coast Guard, 
or other Government entities.
    (4) To meet national security needs in organizations outside the 
Department of Defense with Defense-related missions, if the detail 
outside the Department of Defense is approved according to DoD Directive 
1000.17. \2\
---------------------------------------------------------------------------

    \2\ See Sec. 64.3(b).
---------------------------------------------------------------------------

    (5) To perform other duties that the Secretary concerned considers 
necessary in the interests of national defense.
    (d) Military retirees shall be ordered to active duty with full pay 
and allowances. They may not be used to fill mobilization billets in a 
non-pay status.
    (e) Military retirees serving on active duty may be reassigned to 
meet the needs of the Military Service.



Sec. 64.5  Responsibilities.

    (a) The Assistant Secretary of Defense for Reserve Affairs and the 
Deputy Under Secretary of Defense (Military Personnel Policy) 
(DUSD(MMP)), under the Under Secretary of Defense for Personnel and 
Readiness, shall provide policy guidance for the management and 
mobilization of DoD military retirees.
    (b) The Secretaries of the Military Departments and the Commandant 
of the U.S. Coast Guard shall ensure plans for the management and 
mobilization of military retirees are consistent with this rule.
    (c) The Directors of the Defense Agencies, the Secretary of Homeland 
Security, the Director of the Selective Service System, and Heads of 
Federal Agencies, shall, by agreement, assist in identifying military 
and Federal civilian wartime positions that are suitable to be filled by 
military retirees. They shall also process those requirements according 
to Departmental policy, including any appropriate coordination under 
Department of Defense Directive 1000.17, \3\ before the positions are 
filled by the Military Services. The Secretary of the Military 
Department shall retain the right to disapprove the request if no 
military retiree is available.
---------------------------------------------------------------------------

    \3\ See Sec. 64.3(b).
---------------------------------------------------------------------------

    (d) The Secretaries of the Military Departments, or designees, 
shall:
    (1) Prepare plans and establish procedures for mobilization of 
military retirees according to this rule.
    (2) Determine the extent of military retiree mobilization 
requirements based on existing inventories and inventory projections for 
mobilization of qualified Reservists in an active status in the Ready 
Reserve, including Individual Ready Reserve and the Inactive National 
Guard (when placed in an active status), or the Standby Reserve.
    (3) Develop procedures for identifying retiree Categories I and II 
and conduct screening of retirees according to Department of Defense 
Directive 1200.7. \4\
---------------------------------------------------------------------------

    \4\ See Sec. 64.3(b).
---------------------------------------------------------------------------

    (4) Maintain necessary records on military retirees and their 
military qualifications. Maintain records for

[[Page 417]]

military retiree Categories I and II, including retirees who are key 
employees, and their availability for mobilization, civilian employment, 
and physical condition. Data shall be
    (5) Advise military retirees of their duty to provide the Military 
Services with accurate mailing addresses and any changes in civilian 
employment, military qualifications, availability for service, and 
physical condition.
    (6) Pre-assign retired members, when determined appropriate and as 
necessary.
    (7) Determine refresher training requirements.



PART 65_POST-9/11 GI BILL--Table of Contents



Sec.
65.1 Purpose.
65.2 Applicability.
65.3 Definitions.
65.4 Policy.
65.5 Responsibilities.
65.6 Procedures.

    Authority: 38 U.S.C. chapter 33.

    Source: 78 FR 34251, June 7, 2013, unless otherwise noted.



Sec. 65.1  Purpose.

    This part:
    (a) Establishes policy, assigns responsibilities, and prescribes 
procedures for implementing DoD authorities and responsibilities for 
chapter 33 of title 38, United States Code (U.S.C.) (also known and 
hereafter referred to as ``the Post-9/11 GI Bill'')
    (b) Establishes policy for the use of supplemental educational 
assistance (hereafter referred to as ``kickers'') for Service members 
with critical skills or specialties, or for members serving additional 
service in accordance with 38 U.S.C. 3316.
    (c) Establishes policy for authorizing the transferability of 
education benefits (TEB) in accordance with 38 U.S.C. 3319.
    (d) Assigns responsibility to the DoD Office of the Actuary to 
perform determinations in support of DoD funding responsibilities for 38 
U.S.C. chapter 33 in accordance with 10 U.S.C. 183 and 2006.



Sec. 65.2  Applicability.

    This part applies to the Office of the Secretary of Defense, the 
Military Departments (including the Coast Guard at all times, including 
when it is a Service in the Department of Homeland Security (DHS) by 
agreement with that Department), the Office of the Chairman of the Joint 
Chiefs of Staff and the Joint Staff, the Combatant Commands, the Office 
of the Inspector General of the Department of Defense, the Defense 
Agencies, the DoD Field Activities, and all other organizational 
entities within the DoD (hereinafter referred to collectively as the 
``DoD Components''). Section 65.6 of this part also applies to the 
Commissioned Corps of the Public Health Service (PHS) by agreement with 
the Surgeon General, and to the National Oceanic and Atmospheric 
Administration Commissioned Officer Corps (NOAA Corps) by agreement with 
the Director, NOAA Corps.



Sec. 65.3  Definitions.

    Unless otherwise noted, these terms and their definitions are for 
the purpose of this part:
    Active duty. For the Post-9/11 GI Bill, the term ``active duty'' is 
defined in 38 U.S.C. 3301(1).
    Affiliation kicker. Supplemental educational assistance that may be 
offered by the Secretary of a Military Department to the monthly amount 
of educational assistance otherwise payable to an individual pursuant to 
paragraph (1)(B), or to paragraphs (2) through (7) (as applicable), of 
38 U.S.C. 3313(c), to a Service member who is separating honorably from 
a regular component and who agrees to serve in the Selected Reserve in a 
skill, specialty, or unit in which there is a critical shortage of 
personnel or for which it is difficult to recruit and/or retain.
    Enlistment kicker. Supplemental educational assistance that may be 
offered by a Secretary of a Military Department to the monthly amount of 
educational assistance otherwise payable to an individual pursuant to 
paragraph (1)(B), or to paragraphs (2) through (7) (as applicable), of 
38 U.S.C. 3313(c), who initially enlists in a regular component in a 
skill or specialty in which there is

[[Page 418]]

a critical shortage of personnel or for which it is difficult to 
recruit.
    Family member. A spouse or child as codified in 38 U.S.C. 101 who is 
enrolled in Defense Eligibility Enrollment Reporting System (DEERS).
    Kickers. Supplemental educational assistance that may be offered by 
a Secretary of a Military Department to the monthly amount of 
educational assistance otherwise payable to an individual pursuant to 
paragraph (1)(B), or to paragraphs (2) through (7) (as applicable), of 
38 U.S.C. 3313(c).
    Reenlistment kicker. Supplemental educational assistance that may be 
offered by a Secretary of a Military Department to the monthly amount of 
educational assistance otherwise payable to an individual pursuant to 
paragraph (1)(B), or to paragraphs (2) through (7) (as applicable), of 
38 U.S.C. 3313(c), to a member who, after completing 5 or more years of 
continuous service, signs an agreement to remain on active duty for a 
period of at least 2 years.
    Secretary Concerned. For a member of the Army, the Navy, the Air 
Force, the Marine Corps, and the Coast Guard when it is operating as a 
Service of the Department of the Navy, the term means the Secretary of 
the Military Department with jurisdiction over that Service member. For 
a member of the Coast Guard when the Coast Guard is operating as a 
Service of the DHS, the term means the Secretary of Homeland Security. 
For a member of the PHS, the term means the Surgeon General. For a 
member of the NOAA Corps, the term means the Director, NOAA Corps.
    Service member. An individual serving on active duty or in the 
Selected Reserve. Does not include other members of the Ready Reserve 
(such as the Individual Ready Reserve, standby Reserve, or retired 
Service members, unless they are serving on active duty.) For purposes 
of Sec. 65.6, includes members of the PHS and members of the NOAA 
Corps.



Sec. 65.4  Policy.

    It is DoD policy that:
    (a) Kickers may be authorized to assist in the recruitment, reserve 
affiliation, and retention of individuals into skills or specialties in 
which there are critical shortages or for which it is difficult to 
recruit or, in the case of critical units, to retain personnel.
    (b) Transferability of education benefits may be used to promote 
recruitment and retention.



Sec. 65.5  Responsibilities.

    (a) The Deputy Assistant Secretary of Defense for Military Personnel 
Policy (DASD(MPP)), under the authority, direction, and control of the 
Assistant Secretary of Defense for Readiness and Force Management, 
shall:
    (1) Develop guidance and procedures for implementation and oversight 
of DoD authorities and responsibilities under the Post-9/11 GI Bill.
    (2) Coordinate administrative procedures of the Post-9/11 GI Bill 
with the Department of Veterans Affairs (VA), and other appropriate DoD 
and intergovernmental agencies, as applicable.
    (3) Review and approve each Military Department plan to use 
supplemental assistance in accordance with the provisions of 38 U.S.C. 
3316.
    (4) Establish the standard data elements needed to administer the 
Post-9/11 GI Bill.
    (b) The Under Secretary of Defense (Comptroller) (USD(C))/Chief 
Financial Officer (CFO) (USD(C)/CFO), Department of Defense shall:
    (1) Provide guidance on budgeting, accounting, and funding for the 
educational benefits program in support of plans established in Sec. 
65.6, and for investing the available DoD Education Benefits Fund 
balance.
    (2) In coordination with the DASD(MPP), review and approve the 
Military Department budget estimates for the supplemental payments in 
accordance with the provisions of 38 U.S.C. 3316.
    (c) The Director, Department of Defense Human Resources Activity 
(DoDHRA), under the authority, direction, and control of the Under 
Secretary of Defense for Personnel and Readiness, shall ensure the 
Director, Defense Manpower Data Center (DMDC) shall:
    (1) Replicate Post 9/11 GI Bill eligibility data using the Veterans 
Affairs and DoD Identity Repository (VADIR) with the DVA as needed and 
specified.

[[Page 419]]

    (i) Maintain personnel information needed by the DVA to determine 
benefit entitlement.
    (ii) Maintain DVA payment and usage data for the Post 9/11 GI Bill 
program.
    (2) [Reserved]
    (d) The Secretaries Concerned shall:
    (1) Provide implementing guidance within their Department to govern 
the administration of the Post-9/11 GI Bill consistent with this part 
and other guidance issued by the DASD(MPP) and the USD(C)/CFO consistent 
with the needs of the Military Services. This guidance must include 
Service implementation of kickers and the transfer of unused educational 
benefits as established in 38 U.S.C. 3319, as outlined in Sec. 65.6.
    (2) Ensure that all eligible active duty Service members and members 
of the Reserve Components are aware that they are automatically eligible 
for Post-9/11 GI Bill educational assistance upon serving the required 
active duty time as outlined in 38 U.S.C. 3311.
    (3) Ensure that all officers without earlier established 
eligibility, following commissioning through the Service academies (with 
the exception of the Coast Guard Academy for individuals who enter into 
an agreement to service before January 4, 2011) or Reserve Officer 
Training Corps Scholarship Programs consistent with 10 U.S.C. 2107, are 
aware that their eligible period of active duty for Post-9/11 GI Bill 
benefits does not begin until they have completed their statutory 
obligated active duty service. Ensure that such officers are aware that 
any active duty service after that obligated period of service may 
qualify as active duty service for Post-9/11 GI Bill eligibility.
    (4) Ensure that all Service members participating in the student 
loan repayment program in accordance with 10 U.S.C. chapter 109 are 
aware that their service counted pursuant to 10 U.S.C. chapter 109 does 
not count as qualifying active duty service for Post-9/11 GI Bill 
eligibility. Ensure that such Service members are aware that any service 
after that obligated period of service may qualify as active duty 
service for Post-9/11 GI Bill eligibility.
    (5) Authorize kickers for recruitment and retention of individuals 
with critical skills or in programs that are hard to recruit or retain 
in accordance with 38 U.S.C. 3316, and advise the DASD(MPP) of such 
approval.
    (6) Budget for and transfer funds to support the kickers, in 
accordance with Sec. 65.6 of this part and guidance issued by the 
USD(C)/CFO.
    (7) Ensure pre-separation or release from active duty counseling on 
Post-9/11 GI Bill benefits to active duty members and members of the 
Reserve Components with qualifying active duty service and document this 
counseling accordingly.
    (8) Promulgate guidance for their Service(s) to administer the 
transferability of unused education entitlements to family members to 
support recruiting and retention in accordance with Sec. 65.6.
    (9) Ensure maintenance of records for individuals who receive 
kickers in accordance with 38 U.S.C. 3316. Provide those records to the 
DMDC and VA.
    (10) Report all qualifying active duty pursuant to DoD Manual 
7730.54-M-V1, ``Reserve Component Common Personnel Data System 
(RCCPDS)'' (see http://www.dtic.mil/whs/directives/corres/pdf/773054m--
vol1.pdf).
    (11) Direct use of DoD standard data elements and codes established 
by DoD Instruction 1336.05, ``Automated Extract of Active Duty Military 
Personnel Records'' (see http://www.dtic.mil/whs/directives/corres/pdf/
133605p.pdf) and DoD Manual 7730.54-M when specified.



Sec. 65.6  Procedures.

    (a) General eligibility. Eligibility and administration of the Post-
9/11 GI Bill are the responsibility of the VA. Policies and procedures 
for utilization of Post-9/11 GI Bill benefits are available from that 
agency. Those policies and procedures are codified in 38 CFR part 21 and 
presented and updated at http://www.gibill.va.gov.
    (b) Kickers--(1) Enlistment kickers. The use of enlistment kickers 
should be based on the criticality of the skill or the length of 
enlistment commitment and may be offered in amounts from $150 to $950 a 
month in increments of $100. Reporting codes for enlistment

[[Page 420]]

kickers are listed in DoD Instruction 1336.05 and DoD Manual 7730.54-M-
V1.
    (2) Affiliation kickers. The use of affiliation kickers shall be 
based on the criticality of the skill and/or unit and the length of 
Selected Reserve commitment, and may be offered in amounts from $150 to 
$950 a month in increments of $100. If an individual is already eligible 
for an enlistment kicker, the amount of the affiliation kicker is 
limited to the amount that would take the total to $950. For those 
individuals who are offered an affiliation kicker on top of an 
enlistment kicker, the increases above the enlistment kicker will be in 
$100 increments. Reporting codes for affiliation kickers are the same as 
the codes for enlistment kickers listed in DoD Instruction 1336.05 and 
DoD Manual 7730.54-M-V1.
    (3) Reenlistment kickers. The use of reenlistment kickers should be 
based on the criticality of the skill and may be offered in amounts from 
$100 to $300 a month in increments of $100, based on length of 
additional service. Reporting codes for reenlistment kickers are listed 
in DoD Instruction 1336.05 and DoD Manual 7730.54-M-V1.
    (4) Payment of kickers. Kickers are paid by VA in conjunction with 
the monthly stipend paid pursuant to 38 U.S.C. 3313(c).
    (c) Transferability of unused education benefits to family members. 
Subject to the provisions of this section, the Secretary Concerned, to 
promote recruitment and retention in the Uniformed Services, may permit 
an individual eligible for Post-9/11 GI Bill educational assistance to 
elect to transfer to one or more of his or her family members all or a 
portion of his or her entitlement to such assistance (see paragraphs 
(c)(1) and (c)(2) of this section).
    (1) Eligible individuals. Any Service member on or after August 1, 
2009, who is entitled to the Post-9/11 GI Bill at the time of the 
approval of his or her request to transfer that entitlement under this 
section, may transfer that entitlement provided he or she meets one of 
these conditions:
    (i) Has at least 6 years of service in the Military Services (active 
duty or Selected Reserve), NOAA Corps, or PHS on the date of approval 
and agrees to serve 4 additional years in the Military Services, NOAA 
Corps, or PHS from the date of election.
    (ii) Has at least 10 years of service in the Military Services 
(active duty or Selected Reserve), NOAA Corps, or PHS on the date of 
approval, is precluded by either standard policy (Service or DoD) or 
statute from committing to 4 additional years, and agrees to serve for 
the maximum amount of time allowed by such policy or statute.
    (iii) Is or becomes retirement eligible during the period from 
August 1, 2009, through July 31, 2012, and agrees to serve the 
additional period, if any, specified in paragraphs (c)(1)(iii)(A) 
through (c)(1)(iii)(D) of this section. A Service member is considered 
to be retirement eligible if he or she has completed 20 years of active 
Federal service or 20 qualifying years as computed pursuant to 10 U.S.C. 
12732. This paragraph will no longer be in effect on August 1, 2013, and 
on or after that date all members must comply with paragraphs (c)(1)(i) 
or (c)(1)(ii) of this section to be eligible for transfer of unused 
education benefits to family members.
    (A) For individuals eligible for retirement on August 1, 2009, no 
additional service is required.
    (B) For individuals eligible for retirement after August 1, 2009, 
and before August 1, 2010, 1 year of additional service is required.
    (C) For individuals eligible for retirement on or after August 1, 
2010, and before August 1, 2011, 2 years of additional service is 
required.
    (D) For individuals eligible for retirement on or after August 1, 
2011, and before August 1, 2012, 3 years of additional service is 
required.
    (iv) The provisions of paragraph (c)(1)(iii) of this section will 
apply to Service members recalled to active duty under the provisions of 
10 U.S.C. 688 or members of the Individual Ready Reserve ordered to 
active duty under the provisions of 10 U.S.C. 12301(d) only when the 
active duty is for a period of at least 90 days.
    (2) Eligible family members. (i) An individual approved to transfer 
an entitlement to educational assistance under this section may transfer 
that entitlement to his or her spouse, to one or more of his or her 
children, or to a

[[Page 421]]

combination of his or her spouse and one or more children.
    (ii) For purposes of this provision, the definition of spouse and 
child are as codified in 38 U.S.C. 101. Confirmation of family members 
will be made using the DEERS.
    (iii) Once an individual has designated a child as a transferee, a 
child's subsequent marriage will not affect his or her eligibility to 
receive the educational benefit; however, the individual retains the 
right to revoke or modify the transfer at any time.
    (iv) Once an individual has designated a spouse as a transferee, 
subsequent divorce will not affect the transferee's eligibility to 
receive educational benefits; however, the eligible individual retains 
the right to revoke or modify the transfer at any time.
    (3) Months of transfer. Months transferred must be whole months. The 
number of months of benefits transferred by an individual under this 
section may not exceed the lesser of:
    (i) The months of Post-9/11 GI Bill unused benefits available.
    (ii) 36 months.
    (4) Transferee usage. (i) Policies and procedures for family member 
use of Post-9/11 GI Bill transferred educational benefits are the 
responsibility of the VA. Those policies and procedures are codified in 
38 CFR part 21 and presented and updated at http://www.gibill.va.gov.
    (ii) Commencement of use by a family member is subject to these 
conditions:
    (A) A spouse may start to use the benefit only after the individual 
making the transfer has completed at least 6 years of service in the 
Military Services, NOAA Corps, or PHS.
    (B) A child may start to use the benefit after the individual making 
the transfer:
    (1) Has completed at least 10 years of service in the Military 
Services, NOAA Corps, or PHS, or
    (2) Is separated for one of the reasons referred to in paragraph 
(c)(7)(ii) or (c)(7)(iii) of this section.
    (5) Designation of transferee. An individual transferring an 
entitlement to educational assistance under this section shall, through 
notification to the Secretary Concerned as specified in paragraph (c)(9) 
of this section:
    (i) Designate the family member or members to whom such entitlement 
is being transferred.
    (ii) Designate the number of months of such entitlement to be 
transferred to each family member.
    (iii) Specify the period for which the transfer shall be effective 
for each family member. The effective period must be on or after the 
date of designation.
    (6) Time for transfer, revocation, and modification--(i) Time for 
transfer. An individual approved to transfer entitlement to educational 
assistance under this section may transfer such entitlement to the 
individual's family member only while serving in the Military Services 
(active duty or Selected Reserve.), NOAA Corps, or PHS. An individual 
may not add family members after retirement or separation from the 
Uniformed Services.
    (ii) Modification or revocation. (A) An individual transferring 
entitlement in accordance with this section may modify or revoke at any 
time the transfer of any unused portion of the entitlement so 
transferred.
    (1) An individual may add new family members, modify the number of 
months of the transferred entitlement for existing family members, or 
revoke transfer of entitlement while serving in the Uniformed Services.
    (2) An individual may not add family members after retirement or 
separation from the Military Services, NOAA Corps, or PHS, but may 
modify the number of months of the transferred entitlement or revoke 
transfer of entitlement after retirement or separation for those family 
members who have received transferred benefits prior to separation or 
retirement.
    (B) The modification or revocation of the transfer of entitlement 
shall be made by submitting notice of the action to both the Secretary 
of the Military Department concerned and the Secretary of Veterans 
Affairs. Additions, modifications, or revocations made while in the 
Military Services, NOAA Corps, or PHS will be made through the TEB Web 
site as described in paragraph (c)(8) of this section. Modifications or 
revocations after separation from the Military Services,

[[Page 422]]

NOAA Corps, or PHS will be accomplished through VA.
    (7) Failure to complete service agreement. (i) Except as provided in 
this section, if an individual transferring entitlement under this 
section fails to complete the service agreed to consistent with 
paragraph (c)(1) of this section in accordance with the terms of the 
agreement, the amount of any transferred entitlement that is used as of 
the date of such failure shall be treated as an overpayment of 
educational assistance and shall be subject to collection by VA.
    (ii) Paragraph (c)(7)(i) of this section shall not apply to an 
individual who fails to complete service agreement due to:
    (A) His or her death.
    (B) Discharge or release from active duty or the Selected Reserve 
for a medical condition that pre-existed his or her service and was not 
service-connected.
    (C) Discharge or release from active duty or the Selected Reserve 
for hardship as determined by the Secretary of the Military Department 
concerned.
    (D) Discharge or release from active duty or the Selected Reserve 
for a physical or mental condition, not a disability, that did not 
result from his or her willful misconduct, but did interfere with the 
performance of duty.
    (iii) The transferor is also considered to have completed his or her 
service agreement as a result of being discharged for a disability or a 
reduction in force or force shaping.
    (iv) The Secretaries of the Military Departments may promulgate 
guidance regarding waiver of the military service obligation agreed to 
consistent with paragraph (c)(1) of this section if the individual 
revokes all transfers and no benefits have been used.
    (8) Procedures. All requests and transactions for individuals who 
remain in the Uniformed Services will be completed through the TEB Web 
application at https://www.dmdc.osd.mil/milconnect/. The TEB Users 
Manual, maintained on that site, will provide instruction for 
enrollment; verification; and additions, changes, and revocations. 
Modifications or revocations after separation from the Uniformed 
Services will be accomplished through VA.
    (9) Regulations. The Secretaries of the Military Departments shall 
promulgate guidance to administer the transferability of unused 
education entitlements to family members in accordance with this part. 
Such guidance shall specify:
    (i) The manner of verifying and documenting the additional service 
commitment, if any, consistent with paragraph (c)(1) of this section, to 
be authorized to transfer education benefits.
    (ii) The manner of determining eligibility to authorize the transfer 
of education benefits as allowed in paragraphs (c)(1)(i), (c)(1)(ii), or 
(c)(1)(iii) of this section.



PART 66_QUALIFICATION STANDARDS FOR ENLISTMENT, APPOINTMENT, AND
INDUCTION--Table of Contents



Sec.
66.1 Purpose.
66.2 Applicability.
66.3 Definitions.
66.4 Policy.
66.5 Responsibilities.
66.6 Enlistment, appointment, and induction criteria.
66.7 Enlistment waivers.

    Authority: 10 U.S.C. 504, 505, 520, 532, 12102, 12201, and 12205.

    Source: 80 FR 16270, Mar. 27, 2015, unless otherwise noted.



Sec. 66.1  Purpose.

    In accordance with the authority in DoD Directive 5124.02, ``Under 
Secretary of Defense for Personnel and Readiness (USD(P&R))'' (available 
at http://www.dtic.mil/whs/directives/corres/pdf/512402p.pdf), this 
part:
    (a) Updates established policies and responsibilities for basic 
entrance qualification standards for enlistment, appointment, and 
induction into the Military Services and delegates the authority to 
specify certain standards to the Secretaries of the Military 
Departments.
    (b) Establishes the standards for age, aptitude, citizenship, 
dependents, education, medical, character/conduct, physical fitness, and 
other disqualifying conditions, which are cause for non-qualification 
for military service.

[[Page 423]]

Other standards may be prescribed in the event of national emergency.
    (c) Sets standards designed to ensure that individuals under 
consideration for enlistment, appointment, or induction are able to 
perform military duties successfully, and to select those who are the 
most trainable and adaptable to Service life.



Sec. 66.2  Applicability.

    This part applies to:
    (a) Office of the Secretary of Defense, the Military Departments 
(including the Coast Guard at all times, including when it is a Service 
in the Department of Homeland Security by agreement with that 
Department), the Office of the Chairman of the Joint Chiefs of Staff and 
the Joint Staff, the Combatant Commands, the Office of the Inspector 
General of the Department of Defense, the Defense Agencies, the DoD 
Field Activities, and all other organizational entities within the DoD 
(referred to collectively in this part as the ``DoD Components'').
    (b) Applicants for initial enlistment into the Military Services 
Regular and Reserve Components.
    (c) Applicants for appointment as commissioned or warrant officers 
in the Regular and Reserve Components.
    (d) Applicants for reenlistment following release from active duty 
into subsequent Regular or Reserve Components (including the Army 
National Guard of the United States and the Air National Guard of the 
United States) after a period of more than 6 months has elapsed since 
discharge.
    (e) Applicants for contracting into the Reserve Officer Training 
Corps (ROTC), and all other Military Services special officer personnel 
procurement programs, including the Military Service Academies.
    (f) All individuals being inducted into the Military Services.



Sec. 66.3  Definitions.

    Unless otherwise noted, these terms and their definitions are for 
the purposes of this part.
    Adjudicating authority. Any government official who is empowered to 
make findings or determinations concerning an alleged criminal offense 
(adult and juvenile) and establish responsibility for commission of the 
offense. Examples include judges, courts, magistrates, prosecutors, 
hearing officers, military commanders (for Article 15 actions pursuant 
to 10 U.S.C. chapter 47, suspension of dependent privileges, or similar 
actions), probation officers, juvenile referees, and parole officers or 
boards.
    Adverse adjudication (adult or juvenile).
    (1) A finding, decision, sentence, or judgment by an adjudicating 
authority, against an individual, that was other than unconditionally 
dropped or dismissed or the individual was acquitted is considered 
adverse adjudication. If the adjudicating authority places a condition 
or restraint that leads to dismissal, drops the charges, acquits, or the 
records are later expunged, or the charge is dismissed after a certain 
period of time, the adjudication is still considered adverse. A 
suspension of sentence, not processed, or a dismissal after compliance 
with imposed conditions is also adverse adjudication. This includes 
fines and forfeiture of bond in lieu of trial.
    (2) A conviction for violating any federal law (including 10 U.S.C. 
chapter 47), or any State or municipal law or ordinance) is considered 
an adverse adjudication. For example, a shoplifter is reprimanded and 
required by the on-scene police officer, store security guard, or 
manager to pay for the item before leaving the store but is not charged, 
not found guilty, or is not convicted. In this situation, there is no 
adverse adjudication because no legal proceedings occurred and no 
adjudicating authority was involved.
    Conviction. The act of finding a person guilty of a crime, offense, 
or other violation of the law by an adjudicating authority.
    Dependent.
    (1) A spouse of an applicant for enlistment.
    (2) An unmarried adopted child or an unmarried step-child under the 
age of 18 living with the applicant.
    (3) An unmarried biological child of the applicant under the age of 
18.
    (4) Any person living with the applicant who is, by law or in fact, 
dependent upon the applicant for support, or who is not living with the 
applicant

[[Page 424]]

and is dependent upon the applicant for over one-half of his or her 
support.
    Reserve components. Includes the Army National Guard of the United 
States, the Army Reserve, the Navy Reserve, the Marine Corps Reserve, 
the Air National Guard of the United States, the Air Force Reserve, and 
the Coast Guard Reserve.
    Restitution. Any compensation in time, labor, or money for the 
adverse effects of an offense as a result of agreements from judicial or 
prosecutorial involvement. For example, an individual is adversely 
adjudicated for vandalism and is ordered by the adjudicating authority 
to replace or repair the damaged property.
    Service review. A formal review of condition(s) or event(s) that, 
based on Service-specific standards, may make an applicant for 
enlistment ineligible to serve. Once a Service review is complete, the 
Service may grant an exception to policy to allow an individual to 
serve. These standards are subject to change at the discretion of the 
Service.
    Waiver. A formal request to consider the suitability for service of 
an applicant who because of inappropriate conduct, dependency status, 
current or past medical conditions, or drug use may not be qualified to 
serve. Upon the completion of a thorough examination using a ``whole 
person'' review, the applicant may be granted a waiver. The applicant 
must have displayed sufficient mitigating circumstances that clearly 
justify waiver consideration. The Secretaries of the Military 
Departments may delegate the final approval authority for all waivers.



Sec. 66.4  Policy.

    It is DoD policy to:
    (a) Use common entrance qualification standards for enlistment, 
appointment, and induction into the Military Services.
    (b) Avoid inconsistencies and inequities based on ethnicity, gender, 
race, religion, or sexual orientation in the application of these 
standards by the Military Services.
    (c) Judge the suitability of individuals to serve in the Military 
Services on the basis of their adaptability, potential to perform, and 
conduct.



Sec. 66.5  Responsibilities.

    (a) Under the authority, direction, and control of the Under 
Secretary of Defense for Personnel and Readiness (USD(P&R)), the 
Assistant Secretary of Defense for Reserve Affairs (ASD(RA)) acts as an 
advisor to the USD(P&R) on the Reserve enlistment and appointment 
standards.
    (b) Under the authority, direction, and control of the USD(P&R), the 
Assistant Secretary of Defense for Health Affairs (ASD(HA)) acts as an 
advisor to the USD(P&R) on the medical requirements of the standards in 
Sec. 66.6.
    (c) Under the authority, direction, and control of the USD(P&R), the 
Assistant Secretary of Defense for Readiness and Force Management 
(ASD(R&FM)):
    (1) Acts as an advisor to the USD(P&R) on the height and weight 
requirements of the standards in Sec. 66.6.
    (2) Ensures the U.S. Military Entrance Processing Command assists 
the Military Services in implementing the standards in Sec. 66.6 of 
this part.
    (d) The Secretaries of the Military Departments:
    (1) Oversee conformance with this part.
    (2) Recommend suggested changes to this part to the USD(P&R) as 
necessary.
    (3) Establish other Service-specific standards as necessary to 
implement this part.
    (4) Review all standards on an annual basis.
    (5) Establish procedures to grant waivers, accomplish reviews, and 
require individuals to meet the appropriate standards or be granted an 
exception pursuant to 10 U.S.C. 504(a).
    (6) Request approval from the USD(P&R) for generalized exceptions to 
these standards as permitted by law.
    (7) Use the standards in Sec. 66.6 to determine the entrance 
qualifications for all individuals being enlisted, appointed, or 
inducted into any component of the Military Services.



Sec. 66.6  Enlistment, appointment, and induction criteria.

    (a) General eligibility criteria--(1) Entrance considerations. 
Accession of qualified individuals will be a priority

[[Page 425]]

when processing applicants for the Military Services.
    (2) Eligibility determination. Eligibility will be determined by the 
applicant's ability to meet all requirements of this part, to include 
obtaining waivers. Applicants will not be enlisted, appointed, or 
inducted unless all requirements of this part are met.
    (b) Basic eligibility criteria--(1) Age. (i) To be eligible for 
Regular enlistment, the minimum age for enlistment is 17 years and the 
maximum age is 42 years in accordance with 10 U.S.C. 505. The maximum 
age for a prior service enlistee is determined by adding the 
individual's years of prior service to age 42. The Secretary concerned 
will establish enlistment age standards for the Reserve Components in 
accordance with 10 U.S.C. 12102.
    (ii) Age limitations for appointment as a commissioned or warrant 
officer normally depend on the Military Service concerned. In accordance 
with 10 U.S.C. 532, most persons appointed as commissioned officers must 
be able to complete 20 years of active commissioned service before their 
62nd birthday to receive a Regular commission.
    (iii) In accordance with 10 U.S.C. 12201, a person will be at least 
18 years of age for appointment as a Reserve Officer. The maximum age 
qualification for initial appointment as a Reserve Officer will not be 
less than 47 years of age for individuals in a health profession 
specialty designated by the Secretary concerned as a specialty 
critically needed in wartime.
    (iv) In accordance with 32 U.S.C. 313, to be eligible for original 
enlistment in the National Guard, a person must be at least 17 years of 
age and under 45, or under 64 years of age and a former member of the 
Regular Army, Regular Navy, Regular Air Force, or Regular Marine Corps. 
To be eligible for reenlistment, a person must be under 64 years of age.
    (v) In accordance with 32 U.S.C. 313, to be eligible for appointment 
as an officer of the National Guard, a person must be at least 18 years 
of age and under 64 years of age.
    (2) Citizenship. (i) To be eligible for Regular or Reserve 
enlistment, an individual must meet one of the conditions outlined in 10 
U.S.C. 504(b); however, the Secretary concerned may authorize the 
enlistment of a person not described in this section if the Secretary 
determines that such enlistment is vital to the national interest.
    (ii) To be eligible for appointment as a commissioned officer (other 
than as a commissioned warrant officer) in the Regular Army, Regular 
Navy, Regular Air Force, or Regular Marine Corps, the individual must be 
a citizen of the United States as outlined in 10 U.S.C. 532. The 
Secretary of Defense (or the Secretary of Homeland Security for the 
Coast Guard) may waive the requirement of U.S. citizenship with respect 
to a person who has been lawfully admitted to the United States for 
permanent residence, or for a United States national otherwise eligible 
for appointment as a cadet or midshipman in accordance with 10 U.S.C. 
2107(a), when the Secretary determines that the national security so 
requires, but only for an original appointment in a grade below the 
grade of major or lieutenant commander.
    (iii) To be eligible for appointment as a Reserve Officer in an 
armed force, the individual must be a citizen of the United States or 
lawfully admitted to the United States for permanent residence in 
accordance with 8 U.S.C. 1101 et seq. (also known as the ``Immigration 
and Nationality Act'') or have previously served in the Military 
Services or in the National Security Training Corps as outlined under 10 
U.S.C. 12201.
    (iv) To be eligible for enlistment in the National Guard, a person 
must meet one of the conditions in 10 U.S.C. 504(b); however, the 
Secretary concerned may authorize the enlistment of a person not 
described in this section if the Secretary determines that such 
enlistment is vital to the national interest.
    (v) To become an officer of the Army National Guard of the United 
States or the Air National Guard of the United States, the individual 
must first be appointed to, and be federally recognized in, the same 
grade in the Army National Guard or the Air National Guard. In 
accordance with 10 U.S.C. 12201, the individual must be a citizen of the 
United States or lawfully admitted to the United States for permanent 
residence in accordance with 8 U.S.C.

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1101 et seq. or have previously served in Military Service or in the 
National Security Training Corps.
    (3) Education. (i) Possession of a high school diploma is desirable, 
although not mandatory, for enlistment in any component of the Military 
Services. 10 U.S.C. 520 states that a person who is not a high school 
graduate may not be accepted for enlistment in the Military Services 
unless the score of that person on the Armed Forces Qualification Test 
(AFQT) is at or above the thirty-first percentile. 10 U.S.C. 520 also 
states that a person may not be denied enlistment in the Military 
Services solely because he or she does not have a high school diploma if 
his or her enlistment is needed to meet established strength 
requirements.
    (ii) Bearers of alternative credential (e.g., General Educational 
Development certificates and certificates of attendance) and non-
graduates may be assigned lower enlistment priority based on first-term 
attrition rates for those credentials. DoD Instruction 1145.01, 
``Qualitative Distribution of Military Manpower'' (available at http://
www.dtic.mil/whs/directives/corres/pdf/114501p.pdf) identifies the 
authority for establishing the qualitative distribution objectives for 
accessions.
    (iii) Educational requirements for appointment as a commissioned or 
warrant officer are determined by each Military Service. 10 U.S.C. 12205 
establishes education requirements for certain Reserve appointments. 
Generally, and unless excepted under 10 U.S.C. 12205, a baccalaureate 
degree is required for appointment above the grade of first lieutenant 
in the Army, Air Force, and Marine Corps Reserves or lieutenant junior 
grade in the Navy Reserve, or to be federally recognized in a grade 
above the grade of first lieutenant as a member of the Army National 
Guard or Air National Guard. In addition, special occupations (e.g., 
physician or chaplain) may require additional vocational credentials as 
determined by the Secretary concerned.
    (4) Aptitude. (i) Overall aptitude requirements for enlistment and 
induction are based on applicant scores on the AFQT derived from the 
Armed Services Vocational Aptitude Battery. Applicant scores are grouped 
into percentile categories. Persons who score in AFQT Category V 
(percentiles 1-9) are ineligible to enlist. In accordance with 10 U.S.C. 
520, the number of persons who enlist in any Armed Force during any 
fiscal year (i.e., accession cohort) who score in AFQT Category IV 
(percentiles 10-30) may not exceed 20 percent of the total number of 
persons enlisted by Service. DoD Instruction 1145.01 identifies the 
authority for establishing the qualitative distribution objectives for 
accessions.
    (ii) For officers and warrant officers, no single test or instrument 
is used as an aptitude requirement for appointment.
    (5) Medical. (i) In accordance with DoD Instruction 6130.03, 
``Medical Standards for Appointment, Enlistment, or Induction in the 
Military Services'' (available at http://www.dtic.mil/whs/directives/
corres/pdf/613003p.pdf), the pre-accession screening process will be 
structured to identify any medical condition, including mental health, 
that disqualifies an applicant for military service.
    (ii) Individuals who fail to meet established medical standards, as 
defined in DoD Instruction 6130.03, may be considered for a medical 
waiver. Each Service's waiver authority for medical conditions will make 
a determination based on all available information regarding the issue 
or condition. Waiver requirements are outlined in Sec. 66.7.
    (6) Physical fitness. (i) In accordance with DoD Instruction 1308.3, 
``DoD Physical Fitness and Body Fat Programs Procedures'' (available at 
http://www.dtic.mil/whs/directives/corres/pdf/130803p.pdf), all 
individuals must meet the pre-accession height and weight standards as 
prescribed in Table 1 of DoD Instruction 1308.3.
    (ii) The Military Services may have additional physical fitness 
screening requirements.
    (7) Dependency status. (i) The Military Services may not enlist 
married individuals with more than two dependents under the age of 18 or 
unmarried individuals with custody of any dependents under the age of 
18; however, the Secretary concerned may grant a waiver for particularly 
promising entrants. Waiver requirements are outlined in Sec. 66.7 of 
this part.

[[Page 427]]

    (ii) The Military Services will specify the circumstances under 
which individuals who have dependents may become commissioned officers 
or warrant officers; variations in policy may be affected by the 
commissioning source (e.g., Service Academies, ROTC, or Officer 
Candidate School).
    (8) Character/conduct. The underlying purpose of these enlistment, 
appointment, and induction standards is to minimize entrance of persons 
who are likely to become disciplinary cases, security risks, or who are 
likely to disrupt good order, morale, and discipline. The Military 
Services are responsible for the defense of the Nation and should not be 
viewed as a source of rehabilitation for those who have not subscribed 
to the legal and moral standards of society at-large. As a minimum, an 
applicant will be considered ineligible if he or she:
    (i) Is under any form of judicial restraint (bond, probation, 
imprisonment, or parole).
    (ii) Has a significant criminal record. 10 U.S.C. 504 prohibits any 
person who has been convicted of a felony from being enlisted in any of 
the Military Services; however, 10 U.S.C. 504 authorizes a waiver in 
meritorious cases. Except as limited by paragraph (b)(8)(iii) of this 
section, persons convicted of felonies may request a waiver to permit 
their enlistment. The waiver procedure is not automatic, and approval is 
based on each individual case. Waiver requirements are outlined in Sec. 
66.7 of this part.
    (iii) Has a State or federal conviction or a finding of guilty in a 
juvenile adjudication for a felony crime of rape, sexual abuse, sexual 
assault, incest, any other sexual offense, or when the disposition 
requires the person to register as a sex offender. In these cases, the 
enlistment, appointment, or induction will be prohibited and no waivers 
are allowed.
    (iv) Has been previously separated from the Military Services under 
conditions other than honorable or for the good of the Military Service 
concerned.
    (v) Has exhibited antisocial behavior or other traits of character 
that may render the applicant unfit for service.
    (vi) Receives an unfavorable final determination by the DoD 
Consolidated Adjudication Facility on a completed National Agency Check 
with Law and Credit (NACLC) or higher-level investigation, which is 
adjudicated to the National Security Standards in accordance with 
Executive Order 12968, during the accession process.
    (A) An applicant may be accessed (including shipping him or her to 
training or a first duty assignment) provided that a NACLC or higher-
level investigation was submitted and accepted by the investigative 
service provider (OPM) and an advanced fingerprint was conducted, and 
OPM did not identify any disqualifying background information.
    (B) If NACLC adjudication is not completed until after accession, 
any additional disqualifying information identified during the 
adjudication should be transmitted to the appropriate personnel or human 
resource offices, as determined by the Services, for appropriate action.
    (9) Drugs and alcohol. A current or history of alcohol dependence, 
drug dependence, alcohol abuse, or other drug abuse is incompatible with 
military life and does not meet military standards in accordance with 
DoD Instruction 6130.03. Pursuant to DoD Instruction 1010.01, ``Military 
Personnel Drug Abuse Testing Program (MPDATP)'' (available at http://
www.dtic.mil/whs/directives/corres/pdf/101001p.pdf), the pre-accession 
screening process is structured to identify individuals with a history 
of drug (including pharmaceutical medications, illegal drugs and other 
substances of abuse) and alcohol abuse.
    (i) Drug use (to include illegal drugs, other illicit substances, 
and pharmaceutical medications), drug abuse, and alcohol abuse may be 
self-admitted by an applicant, discovered during the medical screening 
process, or identified by the drug and alcohol test (DAT), which is 
administered at the Military Entrance Processing Stations (MEPS) or 
other approved military processing facility.
    (ii) Current or history of alcohol dependence, drug dependence, 
alcohol abuse, or other drug abuse may be a medically disqualifying 
condition based on the standards in accordance with DoD Instruction 
6130.03. The

[[Page 428]]

MEPS Chief Medical Officer, or equivalent, when the physical is not 
performed at MEPS, will make that determination based on all of the 
information available on a case-by-case basis. These instances will be 
treated as a medical disqualification and handled in accordance with the 
guidance provided in paragraphs (b)(5)(i) through (b)(5)(ii) of this 
section.
    (iii) Individuals who test positive for illegal drugs on the DAT, 
which is administered as part of the accession physical, will be 
disqualified. A waiver may be requested. Waiver requirements are 
outlined in Sec. 66.7.
    (iv) Service qualification standards, regarding drugs and alcohol, 
may be more restrictive.



Sec. 66.7  Enlistment waivers.

    (a) Waiver requirements. In accomplishing whole person reviews of 
enlistment eligibility, the following categories and combinations of 
categories would require a favorable waiver determination by the 
Secretary of the Military Department concerned for the applicant to be 
considered qualified.
    (1) Medical waiver. A medical waiver is required for enlistment 
qualification of an applicant who has or may have had a disqualifying 
medical condition in accordance with DoD Instruction 6130.03.
    (2) Dependent waiver. A dependent waiver is required when an 
applicant is married with more than two dependents under the age of 18 
or when an applicant is unmarried and has custody of any dependents 
under the age of 18.
    (3) Conduct waiver. In processing conduct waiver requests, the 
Military Services will require information about the ``who, what, when, 
where, and why'' of the offense in question; and letters of 
recommendation from responsible community leaders, such as school 
officials, clergy, and law enforcement officials, attesting to the 
applicant's character or suitability for enlistment.
    (i) A Conduct Waiver is required when the final finding of the 
courts or other adjudicating authority is a conviction or other adverse 
adjudication of:
    (A) One ``major misconduct'' offense, or;
    (B) Two ``misconduct'' offenses, or;
    (C) A pattern of misconduct.
    (1) One ``misconduct'' offense and four ``non-traffic'' offenses.
    (2) Five or more ``non-traffic'' offenses.
    (ii) Use the Table of this section to determine the appropriate 
level of offense and applicable code. See paragraph (b) of this section 
for additional guidance.
    (4) Drug waiver. A drug waiver is required when an applicant or 
enlistee is confirmed positive for the presence of drugs at the time of 
the original or subsequent physical examination (i.e., tests positive on 
the DAT at a MEPS or equivalent facility). Drug waivers for these 
applicants may be considered and granted or rejected only after the 
disqualification period established in section 6 of Enclosure 7 of DoD 
Instruction 1010.16, ``Technical Procedures for the Military Personnel 
Drug Abuse Testing Program (MPDATP)'' (available at http://www.dtic.mil/
whs/directives/corres/pdf/101016p.pdf) ends.
    (b) Classifying conduct offenses. The procedures that will be used 
in the classifying and coding of all conduct offenses are:
    (1) Initial classification. Align the offense that is the subject of 
adverse adjudication with an offense from the Table of this section. As 
an exception, any offense classified as a felony under State or federal 
jurisdiction will be treated as a major misconduct offense for DoD 
purposes regardless of where similar charges are listed.
    (2) Non-similar offenses. If unable to find a similar charge, the 
Military Services will:
    (i) Treat the offense as a major misconduct offense if the 
adjudicating authority can impose a maximum period of confinement that 
exceeds 1 year.
    (ii) Treat the offense as a misconduct offense if the adjudicating 
authority can impose a maximum period of confinement that exceeds 6 
months but is not more than 1 year.
    (iii) Treat all other offenses as either other non-traffic offenses 
or traffic offenses, depending on the nature of the offense.

[[Page 429]]



               Table to Sec. 66.7--Conduct Waiver Codes
------------------------------------------------------------------------
         Offense code                         Offense title
------------------------------------------------------------------------
                            TRAFFIC OFFENSES
------------------------------------------------------------------------
100...........................  Bicycle ordinance violation.
101...........................  Blocking or retarding traffic.
102...........................  Contempt of court for minor traffic
                                 offenses.
103...........................  Crossing yellow line; driving left of
                                 center.
104...........................  Disobeying traffic lights, signs, or
                                 signals.
105...........................  Driving on shoulder.
106...........................  Driving uninsured vehicle.
107...........................  Driving with blocked vision and/or
                                 tinted window.
108...........................  Driving with expired plates or without
                                 plates.
109...........................  Driving with suspended or revoked
                                 license.
110...........................  Driving without license.
111...........................  Driving without registration or with
                                 improper registration.
112...........................  Driving wrong way on one-way street.
113...........................  Failure to appear for traffic
                                 violations.
114...........................  Failure to comply with officer's
                                 directive.
115...........................  Failure to have vehicle under control.
116...........................  Failure to signal.
117...........................  Failure to stop or yield to pedestrian.
118...........................  Failure to submit report after accident.
119...........................  Failure to yield right-of-way.
120...........................  Faulty equipment such as defective
                                 exhaust, horn, lights, mirror, muffler,
                                 signal device, steering device, tail
                                 pipe, or windshield wipers.
121...........................  Following too closely.
122...........................  Hitchhiking.
123...........................  Improper backing such as backing into
                                 intersection or highway, backing on
                                 expressway, or backing over crosswalk.
124...........................  Improper blowing of horn.
125...........................  Improper passing such as passing on
                                 right, passing in no-passing zone,
                                 passing stopped school bus, or passing
                                 pedestrian in crosswalk.
126...........................  Improper turn.
127...........................  Invalid or unofficial inspection sticker
                                 or failure to display inspection
                                 sticker.
128...........................  Jaywalking.
129...........................  Leaving key in ignition.
130...........................  Leaving scene of accident (when not
                                 considered hit and run).
131...........................  License plates improperly displayed or
                                 not displayed.
132...........................  Operating overloaded vehicle.
133...........................  Racing, dragging, or contest for speed.
134...........................  Reckless, careless, or imprudent driving
                                 (considered a traffic offense when the
                                 fine is less than $300 and there is no
                                 confinement). Court costs are not part
                                 of a fine.
135...........................  Reserved for future use.
136...........................  Seat belt and/or child restraint
                                 violation.
137...........................  Skateboard, roller skate, or inline
                                 skate violation.
138...........................  Speeding.
139...........................  Spilling load on highway.
140...........................  Spinning wheels, improper start,
                                 zigzagging, or weaving in traffic.
141...........................  Violation of noise control ordinance.
142...........................  Other traffic offenses not specifically
                                 listed.
143...........................  Reserved for future use.
144...........................  Reserved for future use.
------------------------------------------------------------------------
                          NON-TRAFFIC OFFENSES
------------------------------------------------------------------------
200...........................  Altered driver's license or
                                 identification.
201...........................  Assault (simple assault with fine or
                                 restitution of $500 or less and no
                                 confinement).
202...........................  Carrying concealed weapon (other than
                                 firearm); possession of brass knuckles.
203...........................  Check, worthless, making or uttering,
                                 with intent to defraud or deceive (less
                                 than $500).
204...........................  Committing a nuisance.
205...........................  Conspiring to commit misdemeanor.
206...........................  Curfew violation.
207...........................  Damaging road signs.
208...........................  Discharging firearm through carelessness
                                 or within municipal limits.
209...........................  Disobeying summons; failure to appear
                                 (other than traffic).
210...........................  Disorderly conduct; creating
                                 disturbance; boisterous conduct.
211...........................  Disturbing the peace.
212...........................  Drinking alcoholic beverages on public
                                 transportation.
213...........................  Drunk in public.
214...........................  Dumping refuse near highway.
215...........................  Failure to appear, contempt of court
                                 (all offenses except felony
                                 proceedings).
216...........................  Failure to appear, contempt of court
                                 (felony proceedings).
217...........................  Failure to stop and render aid after
                                 accident.

[[Page 430]]

 
218...........................  Fare and/or toll evasion.
219...........................  Harassment, menacing, or stalking.
220...........................  Illegal betting or gambling; operating
                                 illegal handbook, raffle, lottery, or
                                 punchboard; cockfighting.
221...........................  Indecent exposure.
222...........................  Indecent, insulting, or obscene language
                                 communicated directly or by telephone
                                 to another person.
223...........................  Jumping turnstile (to include those
                                 States that adjudicate jumping a
                                 turnstile as petty larceny).
224...........................  Juvenile adjudications such as beyond
                                 parental control, incorrigible,
                                 runaway, truant, or wayward.
225...........................  Killing a domestic animal.
226...........................  Littering.
227...........................  Loitering.
228...........................  Malicious mischief (fine or restitution
                                 of $500 or less and no confinement).
229...........................  Pandering.
230...........................  Poaching.
231...........................  Purchase, possession, or consumption of
                                 alcoholic beverages or tobacco products
                                 by minor.
232...........................  Removing property from public grounds.
233...........................  Removing property under lien.
234...........................  Robbing an orchard.
235...........................  Shooting from highway.
236...........................  Throwing glass or other material in
                                 roadway.
237...........................  Trespass (non-criminal or simple).
238...........................  Unlawful assembly.
239...........................  Unlawful manufacture, sale, possession,
                                 or consumption of liquor in public
                                 place.
240...........................  Unlawful use of long-distance telephone
                                 calling card.
241...........................  Using or wearing unlawful emblem and/or
                                 identification.
242...........................  Vagrancy.
243...........................  Vandalism (fine or restitution of $500
                                 or less and no confinement).
244...........................  Violation of fireworks laws.
245...........................  Violation of fish and game laws.
246...........................  Violation of leash laws.
247...........................  Violation of probation.
248...........................  Other non-traffic offenses not
                                 specifically listed.
249...........................  Reserved for future use.
------------------------------------------------------------------------
                           MISCONDUCT OFFENSES
------------------------------------------------------------------------
300...........................  Aggravated assault, fighting, or battery
                                 (more than $500 fine or restitution or
                                 confinement).
301...........................  Carrying of weapon on school grounds
                                 (other than firearm).
302...........................  Concealment of or failure to report a
                                 felony.
303...........................  Contributing to delinquency of minor.
304...........................  Crimes against the family (non-payment
                                 of court-ordered child support and/or
                                 alimony).
305...........................  Criminal mischief (more than $500 fine
                                 or restitution or confinement).
306...........................  Criminal trespass.
307...........................  Desecration of grave.
308...........................  Domestic battery and/or violence not
                                 considered covered by 18 U.S.C. 922,
                                 referred to in this issuance as the
                                 ``Lautenberg Amendment'').
309...........................  Driving while drugged or intoxicated;
                                 driving while ability impaired;
                                 permitting driving under the influence.
310...........................  Illegal or fraudulent use of a credit
                                 card or bank card (value less than
                                 $500).
311...........................  Larceny or conversion (value less than
                                 $500).
312...........................  Leaving scene of an accident or hit and
                                 run.
313...........................  Looting.
314...........................  Mailbox destruction.
315...........................  Mailing of obscene or indecent matter
                                 (including e-mail).
316...........................  Possession of marijuana or drug
                                 paraphernalia.
317...........................  Prostitution or solicitation for
                                 prostitution.
318...........................  Reckless, careless, or imprudent driving
                                 (considered a misdemeanor when the fine
                                 is $300 or more or when confinement is
                                 imposed; otherwise, considered a minor
                                 traffic offense).
319...........................  Reckless endangerment.
320...........................  Resisting arrest or eluding police.
321...........................  Selling or leasing weapons.
322...........................  Stolen property, knowingly receiving
                                 (value less than $500).
323...........................  Throwing rocks on a highway; throwing
                                 missiles at sporting events; throwing
                                 objects at vehicles.
324...........................  Unauthorized use or taking of a vehicle
                                 or conveyance from family member; joy
                                 riding.
325...........................  Unlawful carrying of firearms or
                                 carrying concealed firearm.
326...........................  Unlawful entry.
327...........................  Use of telephone, Internet, or other
                                 electronic means to abuse, annoy,
                                 harass, threaten, or torment another.
328...........................  Vandalism (more than $500 fine or
                                 restitution or confinement).
329...........................  Willfully discharging firearm so as to
                                 endanger life; shooting in public.
330...........................  Other misconduct offenses not
                                 specifically listed.
331...........................  Reserved for future use.
332...........................  Reserved for future use.
------------------------------------------------------------------------

[[Page 431]]

 
                        MAJOR MISCONDUCT OFFENSES
------------------------------------------------------------------------
400...........................  Aggravated assault; assault with
                                 dangerous weapon; maiming.
401...........................  Arson.
402...........................  Attempt to commit a felony.
403...........................  Breaking and entering with intent to
                                 commit a felony.
404...........................  Bribery.
405...........................  Burglary.
406...........................  Carjacking.
407...........................  Carnal knowledge of a child.
408...........................  Carrying of weapon on school grounds
                                 (firearm).
409...........................  Check, worthless, making or uttering,
                                 with intent to defraud or deceive (over
                                 $500).
410...........................  Child abuse.
411...........................  Child pornography.
412...........................  Conspiring to commit a felony.
413...........................  Criminal libel.
414...........................  Domestic battery and/or violence as
                                 defined in the Lautenberg Amendment.
                                 (Waiver not authorized if applicant was
                                 convicted of this offense.)
415...........................  Embezzlement.
416...........................  Extortion.
417...........................  Forgery, knowingly uttering or passing
                                 forged instrument (except for altered
                                 identification cards).
418...........................  Grand larceny or larceny (value of $500
                                 or more).
419...........................  Grand theft auto.
420...........................  Hate crimes.
421...........................  Illegal and/or fraudulent use of a
                                 credit card, bank card, or automated
                                 card (value of $500 or more).
422...........................  Indecent acts or liberties with a child;
                                 molestation.
423...........................  Indecent assault.
424...........................  Kidnapping or abduction.
425...........................  Mail matter; abstracting, destroying,
                                 obstructing, opening, secreting,
                                 stealing, or taking (not including the
                                 destruction of mailboxes).
426...........................  Manslaughter.
427...........................  Murder.
428...........................  Narcotics or habit-forming drugs,
                                 wrongful possession or use (not
                                 including marijuana).
429...........................  Negligent or vehicular homicide.
430...........................  Perjury or subornation of perjury.
431...........................  Possession or intent to use materials in
                                 a manner to make a bomb or explosive
                                 device to cause bodily harm or
                                 destruction of property.
432...........................  Public record; altering, concealing,
                                 destroying, mutilating, obligation, or
                                 removing.
433...........................  Rape, sexual abuse, sexual assault,
                                 criminal sexual abuse, incest, or other
                                 sex crimes. (See paragraph (b)(8)(iii)
                                 of Sec. 66.6 of this part; waivers
                                 for these offenses are not authorized.)
434...........................  Riot.
435...........................  Robbery (including armed).
436...........................  Sale, distribution, or trafficking of
                                 cannabis (marijuana) or any other
                                 controlled substance (including
                                 intent).
437...........................  Sodomy (only when it is nonconsensual or
                                 involves a minor).
438...........................  Stolen property, knowingly received
                                 (value of $500 or more).
439...........................  Terrorist threats (including bomb
                                 threats).
440...........................  Violation of civil rights.
441...........................  Other major misconduct offenses not
                                 specifically listed.
442...........................  Reserved for future use.
443...........................  Reserved for future use.
------------------------------------------------------------------------



PART 67_EDUCATIONAL REQUIREMENTS FOR APPOINTMENT OF RESERVE COMPONENT
OFFICERS TO A GRADE ABOVE FIRST LIEUTENANT OR LIEUTENANT (JUNIOR GRADE)
--Table of Contents



Sec.
67.1 Purpose.
67.2 Applicability.
67.3 Definitions.
67.4 Policy.
67.5 Responsibilities.
67.6 Procedures.

    Authority: 10 U.S.C. 12205.

    Source: 62 FR 55517, Oct. 27, 1997, unless otherwise noted.



Sec. 67.1  Purpose.

    This part provides guidance for implementing policy, assigns 
responsibilities, and prescribes under 10 U.S.C. 12205 for identifying 
criteria for determining educational institutions that award 
baccalaureate degrees which satisfy the educational requirement for

[[Page 432]]

appointment of officers to a grade above First Lieutenant in the Army 
Reserve, Air Force Reserve, and Marine Corps Reserve, or Lieutenant 
(Junior Grade) in the Naval Reserve, or for officers to be federally 
recognized in a grade level above First Lieutenant as a member of the 
Army National Guard or Air National Guard.



Sec. 67.2  Applicability.

    This part applies to the Office of the Secretary of Defense, and the 
Military Departments; the Chairman of the Joint Chiefs or Staff; and the 
Defense Agencies referred to collectively in this part as the ``DoD 
Components''). The term ``Military Departments,'' as used in this part, 
refers to the Departments of the Army, the Navy, and the Air Force. The 
term ``Secretary concerned'' refers to the Secretaries of the Military 
Departments. The term ``Military Services'' refers to the Army, the 
Navy, the Air Force, the Marine Corps. The term ``Reserve components'' 
refers to the Army Reserve, Army National Guard of the United States, 
Air Force Reserve, Air National Guard of the United States, Naval 
Reserve, Marine Corps Reserve.



Sec. 67.3  Definitions.

    Accredited educational institution. An educational institution 
accredited by an agency recognized by the Secretary of Education.
    Qualifying educational institution. An educational institution that 
is accredited, or an unaccredited educational institution that the 
Secretary of Defense designates pursuant to Sec. 67.6(a) and Sec. 
67.6(b).
    Unaccredited educational institution. An educational institution not 
accredited by an agency recognized by the Secretary of Education.



Sec. 67.4  Policy.

    (a) It is DoD policy under 10 U.S.C. 12205 to require Reserve 
component officers to have at least a baccalaureate degree from a 
qualifying educational institution before appointment to a grade above 
First Lieutenant in the Army Reserve, Air Force Reserve or Marine Corps 
Reserve, or Lieutenant (Junior Grade) in the Naval Reserve, or for 
officers to be federally recognized in a grade above First Lieutenant as 
a member of the Army National Guard or Air National Guard.
    (b) Exempt from this policy is any officer who was:
    (1) Appointed to or recognized in a higher grade for service in a 
health profession for which a baccalaureate degree is not a condition of 
original appointment or assignment.
    (2) Appointed in the Naval Reserve or Marine Corps Reserve as a 
limited duty officer.
    (3) Appointed in the Naval Reserve for service under the Naval 
Aviation Cadet (NAVCAD) program or the Seaman to Admiral program.
    (4) Appointed to or recognized in a higher grade if appointed to, or 
federally recognized in, the grade of captain or, in the case of the 
Navy, lieutenant before October 1, 1995.
    (5) Recognized in the grade of captain or major in the Alaska Army 
National Guard, who resides permanently at a location in Alaska that is 
more than 50 miles from each of the cities of Anchorage, Fairbanks, and 
Juneau, Alaska, by paved road, and who is serving in a Scout unit or a 
Scout support unit.
    (c) The Department of Defense will designate an unaccredited 
educational institution as a qualifying educational institution for the 
purpose of meeting this educational requirement if that institution 
meets the criteria established in this part.



Sec. 67.5  Responsibilities.

    (a) The Assistant Secretary of Defense for Reserve Affairs, under 
the Under Secretary of Defense for Personnel and Readiness, shall:
    (1) Establish procedures by which an unaccredited educational 
institution can apply for DoD designation as a qualifying educational 
institution.
    (2) Publish in the Federal Register DoD requirements and procedures 
for an unaccredited educational institution to apply for designation as 
a qualifying education institution.
    (3) Annually, provide to the Secretaries of the Military Departments 
a list of those unaccredited educational institutions that have been 
approved by the Department of Defense as a qualifying educational 
institution. This list shall include the year or years

[[Page 433]]

for which unaccredited educational institutions are designed as 
qualifying educational institutions.
    (b) The Secretaries of the Military Departments shall establish 
procedures to ensure that after September 30, 1995, those Reserve 
component officers selected for appointment to a grade above First 
Lieutenant in the Army Reserve, Air Force Reserve, or Marine Corps 
Reserve, or Lieutenant (Junior Grade) in the Naval Reserve, or for 
officers to be federally recognized in a grade above First Lieutenant as 
a member of the Army National Guard or Air National Guard, who are 
required to hold a baccalaureate degree, were awarded a baccalaureate 
degree from a qualifying educational institution before appointment to 
the next higher grade. For a degree from an unaccredited educational 
institution that has been recognized as qualifying educational 
institution by the Department of Defense to satisfy the educational 
requirements of 10 U.S.C. 12205, the degree must not have been awarded 
more than 8 years before the date the officer is to be appointed, or 
federally recognized, in the grade of Captain in the Army Reserve, Army 
National Guard, Air Force Reserve, Air National Guard, or Marine Corps 
Reserve, or in the grade of Lieutenant in the Naval Reserve.



Sec. 67.6  Procedures.

    (a) An unaccredited educational institution may obtain designation 
as a qualifying educational institution for a specific Reserve component 
officer who graduated from that educational institution by providing 
certification from registrars at three accredited educational 
institutions that maintain ROTC programs that their educational 
institutions would accept at least 90 percent of the credit hours earned 
by that officer at the unaccredited educational institution, as of the 
year of graduation.
    (b) For an unaccredited educational institution to be designated as 
a qualifying educational institution for a specific year, that 
educational institution must provide the Office of the Assistant 
Secretary of Defense for Reserve Affairs certification from the 
registrars at three different accredited educational institutions that 
maintain ROTC programs listing the major field(s) of study in which that 
educational institution would accept at least 90 percent of the credit 
hours earned by a student who was awarded a baccalaureate degree in that 
major field of study at the unaccredited educational institution.
    (c) For an unaccredited educational institution to be considered for 
designation as a qualifying educational institution, the unaccredited 
educational institution must submit the required documentation no later 
than January 1 of the year for which the unaccredited educational 
institution seeks to be designated a qualifying educational institution.
    (d) The required documentation must be sent to the following 
address: Office of the Assistant Secretary of Defense for Reserve 
Affairs, Attn: DASD (M&P), 1500 Defense Pentagon, Washington, DC 20301-
1500.
    (e) Applications containing the required documentation may also be 
submitted at any time from unaccredited educational institutions 
requesting designation as a qualifying educational institution for prior 
school years.



PART 68_VOLUNTARY EDUCATION PROGRAMS--Table of Contents



Sec.
68.1 Purpose.
68.2 Applicability.
68.3 Definitions.
68.4 Policy.
68.5 Responsibilities.
68.6 Procedures.

Appendix A to Part 68--DoD Voluntary Education Partnership Memorandum of 
          Understanding (MOU) Between DoD Office of the Under Secretary 
          of Defense for Personnel and Readiness (USD(P&R)) and [Name of 
          Educational Institution]
Appendix B to Part 68--Addendum for Education Services Between [Name of 
          Educational Institution] and the U.S. Air Force (USAF)
Appendix C to Part 68--Addendum for Education Services between [Name of 
          Educational Institution] and the U.S. Army
Appendix D to Part 68--Addendum for Education Services between [Name of 
          Educational Institution] and the U.S. Marine Corps

[[Page 434]]

Appendix E to Part 68--Addendum for Education Services between [Name of 
          Educational Institution] and the U.S. Navy

    Authority: 10 U.S.C. 2005, 2007.

    Source: 79 FR 27737, May 15, 2014, unless otherwise noted.



Sec. 68.1  Purpose.

    This part:
    (a) Implements policy, assigns responsibilities, and prescribes 
procedures for the operation of voluntary education programs in the DoD.
    (b) Establishes policy stating the eligibility criteria for tuition 
assistance (TA) and the requirement for a memorandum of understanding 
(MOU) from all educational institutions providing educational programs 
through the DoD TA Program.
    (c) Establishes policy that:
    (1) All educational institutions providing education programs 
through the DoD Tuition Assistance (TA) Program:
    (i) Will provide meaningful information to students about the 
financial cost and attendance at an institution so military students can 
make informed decisions on where to attend school.
    (ii) Will not use unfair, deceptive, and abusive recruiting 
practices.
    (iii) Will provide academic and student support services to Service 
members and their families.
    (2) Creates rules to strengthen existing procedures for access to 
DoD installations by educational institutions.
    (3) Requires an annual review and notification process of uniform 
semester-hour (or equivalent) TA caps and annual TA ceilings.
    (4) Requires the Military Departments to provide their Service 
members with a joint services transcript (JST).
    (5) Implements the DoD Postsecondary Education Complaint System for 
Service members, spouses, and adult family members to register student 
complaints.
    (6) Authorizes the Military Departments to establish Service-
specific TA eligibility criteria and management controls.
    (d) Establishes the Interservice Voluntary Education Board.



Sec. 68.2  Applicability.

    This part applies to the Office of the Secretary of Defense, the 
Military Departments, the Office of the Chairman of the Joint Chiefs of 
Staff and the Joint Staff, the Combatant Commands, the Office of the 
Inspector General of the DoD, the Defense Agencies, the DoD Field 
Activities, and all other organizational entities within the DoD 
(referred to collectively in this part as the ``DoD Components'').



Sec. 68.3  Definitions.

    The following terms and their definitions are for the purpose of 
this part:
    Academic. Relating to education, educational studies, an educational 
institution, or the educational system.
    Academic skills. Competencies in English, reading, writing, 
speaking, mathematics, and computer skills that are essential to 
successful job performance and new learning. Also referred to as 
functional or basic skills.
    Active Guard and Reserve (AGR). National Guard or Reserve members of 
the Selected Reserve (SELRES) who are ordered to active duty or full-
time National Guard duty for a period of 180 consecutive days or more 
for the purpose of organizing, administering, recruiting, instructing, 
or training the Reserve Component (RC) units or duties as prescribed in 
10 U.S.C. 12310. All AGR members must be assigned against an authorized 
mobilization position in the unit they support. (Includes Navy full-time 
support (FTS), Marine Corps Active Reserve (ARs), and Coast Guard 
Reserve Personnel Administrators (RPAs)).
    American Council on Education (ACE). The major coordinating body for 
all of the Nation's higher education institutions. Seeks to provide 
leadership and a unifying voice on key higher education issues and 
publishes the ``Guide to the Evaluation of Educational Experiences in 
the Armed Services.''
    Annual TA Ceiling. The maximum dollar amount authorized for each 
Service member for TA per fiscal year. Each Service member participating 
in off-duty voluntary education programs will be entitled to the full 
amount authorized each fiscal year in accordance with DoD policy.

[[Page 435]]

    Army/American Council on Education Registry Transcript System. A 
document sent directly from the Army American Council on Education 
Registry Transcript System Center to the educational institution to 
articulate a soldier's military experience and training and the American 
Council on Education-recommended college credit for this training and 
experience. The JST consolidates data from the legacy Army/ACE Registry 
Transcript System.
    Degree requirements. A document provided by the educational 
institution that outlines required courses and conditions to complete an 
educational program. The document presents the general education, major-
related, and elective course requirements, degree competencies (e.g., 
foreign language, computer literacy), and other requirements (e.g., 
examination, thesis, dissertation, practicum, grade point average, 
credits by course level, or academic residency) for the specified 
program of study. This document becomes the basis for the evaluated 
educational plan.
    DoD Installation. For the purposes of this Instruction, any active 
duty military, Reserve or National Guard owned, leased, or operated 
base, reservation, post, site, camp, building, or other facility to 
which DoD personnel are assigned for duty.
    Education advisor. A professionally qualified, subject matter expert 
or program manager in the Education Services Series 1740 or possessing 
equivalent qualifications at the education center. The following 
position titles may also be used for an education advisor: Education 
Services Specialist, Education Services Officer (ESO), Voluntary 
Education Director, Navy College Office Director, and Education and 
Training Section (ETS) Chief.
    Education center. A DoD installation facility, including office 
space, classrooms, laboratories, or other features, that is staffed with 
professionally qualified personnel and to conduct voluntary education 
programs. This may be located at an active duty military installation, 
Reserve and National Guard facility (state readiness center, armory, 
unit, etc.), or recruiting center (leased space inside a shopping mall 
or office building). For Navy, this is termed the ``Navy College 
Office.''
    Educational institution. A college, university, or other institution 
of higher education. For the purposes of this Instruction, the parent/
home/main campus and any sub-campuses included in the signed MOU with 
DoD.
    Educational institution agent. A lawful agent of the educational 
institution is limited to persons who have written authorization to act 
on behalf of the educational institutions.
    Educational institution representative. An employee of the 
educational institution.
    Eligible adult family member. The adult family member, over the age 
of 18, of an active duty, Reserve, National Guardsman, or DoD civilian 
with a valid DoD identification card.
    Evaluated educational plan. An individualized official academic 
document provided by the educational institution that:
    (1) Articulates all degree requirements for degree completion or in 
the case of a non-degree program, all educational requirements for 
completion of the program;
    (2) Identifies all courses required for graduation in the 
individual's intended academic discipline and level of postsecondary 
study; and
    (3) Includes an evaluation of all successfully completed prior 
coursework, and evaluated credit for military training and experience, 
and other credit sources applied to the institutional degree 
requirements. At a minimum, the evaluated educational plan will identify 
required courses and where appropriate, College Level Examination 
Program, DSST (formerly known as the DANTES Subject Standardized Tests) 
Program, and potential American Council on Education recommended college 
credits for training and experiences. For participating SOC Degree 
Network System institutions, the SOC Degree Network System Student 
Agreement serves as this evaluated educational plan. For some 
educational institutions this may be termed a degree audit.
    Individual Ready Reserve (IRR). A manpower pool consisting 
principally of individuals who have had training, have previously served 
in the Active

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Component or in the SELRES, and have some period of their military 
service obligation or other contractual obligation remaining. Some 
individuals volunteer to remain in the IRR beyond their military service 
or contractual obligation and participate in programs providing a 
variety of professional assignments and opportunities for earning 
retirement points and military benefits.
    Joint services transcript (JST). An official education transcript 
tool for documenting the recommended ACE college credits for a variety 
of professional military education, training courses, and occupational 
experience of Service members across the Services. The JST consolidates 
data from legacy documents such as the Army/ACE Registry Transcript 
System, the Sailor/Marine ACE Registry Transcript System, the Community 
College of the Air Force transcript, and the Coast Guard Institute 
transcript.
    Needs assessment. A process used to determine the staffing 
requirements, course offerings, size of facilities, funding, or other 
standards for delivery of educational programs.
    Off-duty. Time when the Service member is not scheduled to perform 
official duties.
    Ready Reserve. Composed of military members of the Reserve and 
National Guard, organized in units or as individuals, or both, and 
liable for involuntary order to active duty in time of war or national 
emergency pursuant to 10 U.S.C. 12310 and 12301 and 14 U.S.C. 712 in the 
case of members of the Coast Guard Reserve. The Ready Reserve consists 
of the SELRES, the IRR, and the Inactive National Guard.
    Sailor/Marine American Council on Education Registry Transcript 
System. A document sent directly from the Sailor/Marine ACE Registry 
Transcript System Operations Center to the educational institution to 
articulate a Sailor's or Marine's military experience and training and 
the American Council on Education recommended college credit for this 
training and experience. The JST consolidates data from the legacy 
Sailor/Marine ACE Registry Transcript System.
    Semester-hour TA cap. The maximum dollar amount authorized for TA 
per semester-hour (or equivalent) credit. A Service will pay no more 
than the established DoD cap per semester-unit (or equivalent) for 
tuition.
    Servicemembers Opportunity Colleges (SOC). A consortium of over 
1,800 colleges and universities, created in 1972 that seeks to enhance 
the educational opportunities to Service members who may have difficulty 
in completing college programs due to frequent military moves.
    Third Party Education Assessment. A third-party evaluation of 
voluntary education programs covered by the DoD Voluntary Education 
Partnership MOU.
    Top-Up. An option, under the Montgomery G.I. Bill and the Post-9/11 
G.I. Bill, that enables active duty Service members and certain 
Reservists to receive from the VA those tuition costs that exceed or are 
not authorized in the amount of TA provided to the Service member by his 
or her Service. Entitlement is charged differently depending on which 
G.I. Bill program a Service member uses. The Montgomery G.I. Bill 
entitlement is charged based on the dollar amount of benefits VA pays to 
the individual. The Service member will be charged one month of 
entitlement for each payment received that is equal to the full-time 
monthly rate for the Montgomery G.I. Bill. The Post-9/11 entitlement is 
charged based on the enrolled amount of time and the individual's rate 
of pursuit during the period of enrollment. If a Service member is 
attending classes part-time or at the 1/2 time level, the charge is 1/2 
month of Post-9/11 G.I. Bill benefits for each month enrolled and 
receiving G.I. Bill benefits.
    Troops-to-Teachers program (TTT). A DoD program to assist 
transitioning Service members and veterans in meeting the requirements 
necessary to become a teacher and facilitating their subsequent 
employment.
    Tuition assistance (TA). Funds provided by the Military Services or 
U.S. Coast Guard to pay a percentage of the charges of an educational 
institution for the tuition of an active duty, Reserve or National Guard 
member of the Military Services, or Coast Guard member, enrolled in 
approved courses of study during off-duty time.

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    Voluntary education programs. Continuing, adult, or postsecondary 
education programs of study that Service members elect to participate in 
during their off-duty time, and that are available to other members of 
the military community.



Sec. 68.4  Policy.

    It is DoD policy, consistent with DoD Directive 1322.08E, 
``Voluntary Education Programs for Military Personnel'' (available at 
http://www.dtic.mil/whs/directives/corres/pdf/132208p.pdf), that:
    (a) Members of the Military Services serving on active duty and 
members of the Selected Reserve (SELRES) will be afforded the 
opportunity to complete their high school education through a state-
funded or Service component sponsored program; earn an equivalency 
diploma, improve their academic skills or level of literacy, enroll in 
career and technical education schools, receive college credit for 
military training and experience in accordance with the American Council 
on Education (ACE) Guide to the Evaluation of Educational Experiences in 
the Armed Services (available at http://www.acenet.edu/news-room/Pages/
Military-Guide-Online.aspx), take tests to earn college credit, and 
enroll in postsecondary education programs that lead to industry-
recognized credentials, and undergraduate and graduate degrees.
    (b) Service members' costs to participate in the DoD Voluntary 
Education Program as authorized by 10 U.S.C. 2007, will be reduced 
through financial support, including TA that is administered uniformly 
across the Military Services. On an annual basis and no later than the 
end of the second quarter of the fiscal year, the Under Secretary of 
Defense for Personnel and Readiness (USD(P&R)), in coordination with the 
Military Departments, will review the uniform semester-hour (or 
equivalent) TA caps and annual TA ceilings to determine possible changes 
for the upcoming fiscal year. If there are any changes in the uniform 
semester-hour (or equivalent) caps and annual TA ceilings, a memorandum 
will be released from the USD(P&R), in coordination with the Military 
Departments, and a corresponding notice will be published in the Federal 
Register.
    (c) Professional education counseling will be readily available and 
easy to access so that Service members can make informed decisions 
concerning available educational opportunities and benefits. Education 
counseling will be provided by qualified professional (Education 
Services Series 1740 or an individual with equivalent qualifications) in 
sufficient numbers to operate voluntary education programs as determined 
by individual Service standards.
    (d) In accordance with Executive Order (E.O.) 13607:
    (1) Educational institutions receiving funding from federal military 
educational benefits programs, such as the DoD TA Program, will:
    (i) Provide meaningful information to students on the financial cost 
and attendance at an educational institution so military students can 
make informed decisions on where to attend school as stated in section 3 
of Appendix A.
    (ii) Prevent unfair, deceptive, and abusive recruiting practices 
that target Service members as defined by the Dodd-Frank Wall Street 
Reform and Consumer Protection Act and as stated in section 3 of 
Appendix A.
    (iii) Provide academic and student support services specific to the 
institutions' programs to all enrolled Service members, spouses and 
adult family members.
    (2) DoD will implement a centralized online complaint system for 
Service members, spouses, and adult family members that will register, 
track, and respond to student complaints. DoD or the assigned Military 
Service will work with educational institutions to resolve any filed 
complaints. Educational institutions having recurring, substantive 
complaints or demonstrating an unwillingness to resolve complaints may 
face a range of penalties from a directed Third Party Education 
Assessment to revocation of the DoD Voluntary Education Partnership MOU 
and removal from participation in the DoD TA Program. As appropriate, 
DoD will refer student complaints to other government agencies/
regulators including but not limited to the Federal Trade Commission 
(FTC), Department

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of Justice (DOJ), Consumer Financial Protection Bureau (CFPB), 
Department of Veterans Affairs (VA), and Department of Education (ED).
    (e) Educational institutions accredited by a national or regional 
accrediting agency recognized by ED will be encouraged to provide degree 
programs on DoD installations and the Military Services will facilitate 
their operations on the DoD installations referred to in Sec. 68.6(c).
    (f) To the extent that space is otherwise available, eligible adult 
family members of Service members, DoD civilian employees and their 
eligible adult family members, and military retirees may enroll in 
postsecondary education programs offered on a DoD installation at no 
cost to the individual Service TA programs.



Sec. 68.5  Responsibilities.

    (a) The USD(P&R) will:
    (1) Monitor implementation of and ensure compliance with this part 
and DoD Directive 1322.08E.
    (2) Establish rates of TA and ensure uniformity across the Military 
Services as required by DoD Directive 1322.08E and this part. The 
uniform semester-hour (or equivalent) TA caps and annual TA ceilings 
will be reviewed annually and if changed, a memorandum from the USD(P&R) 
will be released following coordination with each of the Military 
Departments. Additionally, if the uniform TA rates are changed, a notice 
will be published in the Federal Register at approximately the start of 
the fiscal year.
    (3) Establish, under the provisions of DoD Instruction 5105.18, 
``DoD Intergovernmental and Intragovernmental Committee Management 
Program'' (available at http://www.dtic.mil/whs/directives/corres/pdf/
510518p.pdf), the Interservice Voluntary Education Board, which will be 
composed of full-time or permanent part-time federal employees.
    (4) Maintain a program to assess the effectiveness of the voluntary 
education programs.
    (5) Issue written supplemental guidance annually for the funding and 
operation of the Defense Activity for Non-Traditional Education Support 
(DANTES) for those items not reflected in paragraph (f) of Sec. 68.6.
    (b) The Assistant Secretary of Defense for Readiness and Force 
Management (ASD(R&FM)), under the authority, direction, and control of 
the USD(P&R) will:
    (1) Provide administrative assistance to the Deputy Assistant 
Secretary of Defense for Military Community and Family Policy 
(DASD(MCFP)), in support of the voluntary education programs.
    (2) Respond to matters that are referred by the DASD(MCFP).
    (c) The DASD(MCFP), under the authority, direction, and control of 
the ASD(R&FM), will:
    (1) Monitor compliance with this part and DoD Directive 1322.08E and 
related issuances by personnel under his or her authority, direction, 
and control.
    (2) Oversee the DoD Voluntary Education Program.
    (3) Provide ongoing and routine clarifying guidance for the DoD 
Voluntary Education Program.
    (4) Provide representatives to professional education and cross-
agency panels addressing issues impacting the DoD Voluntary Education 
Program, its regulatory scope, clientele, and partners.
    (5) Designate the Voluntary Education Chief within the Office of the 
DASD(MCFP) as the Chair of the Interservice Voluntary Education Board 
and oversee implementation of Board and DANTES procedures as detailed in 
Sec. 68.6 of this part.
    (6) Oversee the DoD Postsecondary Education Complaint System through 
which Service members, spouses, and adult family members receiving 
federal military and veterans educational benefits can register on-line 
complaints that will be tracked and responded to by DoD, VA, ED, CFPB, 
DOJ, FTC, and other relevant agencies. The DoD Postsecondary Education 
Complaint System is web-based and accessible on-line at https://
afaems.langley.af.mil/pecs/DoDPECS. This complaint system contains the 
uniform procedures for the processing of the complaint intake (DD Form 
2961, ``DoD Postsecondary Education Complaint Intake'').
    (7) Oversee the Third-Party Education Assessment, which is a third

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party review process to assess the quality, delivery, and coordination 
of the voluntary education programs provided to military personnel on 
the DoD installation, in the community, and via distance learning (DL). 
It assists in improving the quality of the delivery of these programs 
through recommendation to educational institutions, DoD installations, 
and the Military Services. DASD(MCFP) will monitor actions:
    (i) By the Military Services to resolve recommendations for 
improvement identified on the respective Military Service's installation 
during the Third Party Education Assessment.
    (ii) By the DoD Voluntary Education Chief to resolve recommendations 
for improvement concerning educational institutions operating off the 
DoD installation or via DL identified during Third Party Education 
Assessments. These educational institutions will provide corrective 
actions taken within 6 months of the assessment to the DoD Voluntary 
Education Chief. In instances when the issue cannot be resolved within 
the 6 month timeframe, the educational institution will submit a status 
report every 3 months to the DoD Voluntary Education Chief until the 
recommendation is resolved.
    (8) Prepare written supplemental guidance annually for the USD(P&R) 
regarding the funding and operation of DANTES for those items not 
reflected in paragraph (f) of Sec. 68.6.
    (9) Oversee the policy of the JST.
    (d) The Assistant Secretary of Defense for Reserve Affairs 
(ASD(RA)), under the authority, direction, and control of the USD(P&R), 
will:
    (1) Monitor compliance with this part and DoD Directive 1322.08E and 
related issuances by personnel under his or her authority, direction, 
and control.
    (2) Appoint a representative to serve on the Interservice Voluntary 
Education Board.
    (3) Arrange the assignment of, on a rotating basis, a field grade 
officer, to serve as the RC Advisor to the Voluntary Education Chief and 
a representative on the Interservice Voluntary Education Board.
    (e) The Secretaries of the Military Departments will:
    (1) Monitor compliance with this part and DoD Directive 1322.08E and 
related issuances by personnel under their respective authority, 
direction, and control.
    (2) Establish, maintain, coordinate, and operate voluntary education 
programs that encompass a broad range of educational experiences 
including, but not limited to, academic skills development, high school 
completion programs, vocational programs, career and technical programs, 
and programs leading to the award of undergraduate and graduate degrees.
    (3) Require that sufficient funding is available to provide Service 
members with TA support consistent with the requirements in Sec. 68.6 
and appendices A, B, C, D, and E to this part.
    (4) Require that educational counseling is available to Service 
members so they will have sufficient information and guidance to plan an 
appropriate program of study. Educational counseling will be provided by 
qualified professional (Education Services Series 1740 or an individual 
with equivalent qualifications) individuals.
    (5) Require that voluntary education programs participate in the 
DoD-established third-party review process titled the Third Party 
Education Assessment.
    (i) Within 6 months of the Third Party Education Assessment on their 
installation, the responsible Military Service will resolve 
recommendations received as a result of the assessment and provide the 
resolutions to the DoD Voluntary Education Chief. In instances when the 
issue cannot be resolved within the 6 month timeframe, the Military 
Service will submit a status report every 3 months to the DoD Voluntary 
Education Chief until the recommendation is resolved.
    (ii) If the recommendation(s) requires involvement of an educational 
institution operating on their respective installation, the Military 
Service will coordinate the submission of corrective actions taken by 
the educational institution(s) through the appropriate Education 
Advisor, and forward the submission through their respective Military 
Service leadership to the DoD Voluntary Education Chief.
    (iii) Waivers to the Third Party Education Assessment must be 
submitted

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to and approved by the DoD Voluntary Education Chief.
    (6) Provide one representative to serve on the Interservice 
Voluntary Education Board responsible for their Services' voluntary 
education policy from each of the following Military Services: Army, 
Navy, Air Force, and Marine Corps. Each Service representative's 
membership will be on a permanent basis and changed only when their 
voluntary education policy position is changed.
    (7) Assign, on a rotating basis, a senior enlisted Service member in 
the military pay grade E-9 to serve as the DANTES enlisted advisor.
    (8) Assign, on a rotating basis, a field-grade officer to serve as 
the DANTES RC advisor.
    (9) Require that military test control officers and test centers 
comply with the guidance and procedures published in the DANTES 
Examination Program Handbook, available at http://www.dantes.doded.mil/
Programs/Docs/DEPH--part1.pdf.
    (10) Require that personnel who provide counseling, advice, and 
program management related to voluntary education programs have access 
to the DoD Voluntary Education homepage and other Web sites so they can 
provide current and accurate information to Service members.
    (11) Provide opportunities for Service members to access the 
Internet, where available, to enroll in and complete postsecondary 
courses that are part of their evaluated educational plan leading to an 
educational goal.
    (12) Submit requested quarterly and annual information for the 
Voluntary Education Management Information System (VEMIS) by the 20th 
day of the month after the end of each fiscal quarter for the quarterly 
reports and November 15th each year for the annual report. Reporting 
information includes, but is not limited to, voluntary education program 
data on enrollments, participation, and costs.
    (13) Respond to and resolve Service-specific student complaints 
received and managed through the DoD Postsecondary Education Complaint 
System.
    (14) Provide Service members with a JST. At a minimum, the JST will 
include documented military student data, courses, and military 
occupations evaluated by ACE, including descriptions, learning outcomes, 
and equivalent college credit recommendations, as well as national 
college-level exam results. The U.S. Air Force (USAF) will continue to 
use the Community College of the Air Force (CCAF) to document its 
members' academic and military credit.
    (f) Secretary of the Navy. The Secretary of the Navy, as the DoD 
Executive Agent (DoD EA) for DANTES pursuant to DoD Directive 1322.08E 
and DoD Directive 5101.1, ``DoD Executive Agent'' (available at http://
www.dtic.mil/whs/directives/corres/pdf/510101p.pdf), and in addition to 
the responsibilities in this section, will:
    (1) Transmit supplemental annual guidance issued by the USD(P&R) to 
DANTES for those items not reflected in paragraph (f) of Sec. 68.6.
    (2) Require that the Director, DANTES, provide updates on DANTES 
plans, operations, and activities to the USD(P&R).
    (3) Through its civilian personnel system, advertise the position of 
Director, DANTES, when the position is vacated and appoint the Director, 
DANTES, in accordance with the procedures outlined in Sec. 68.6.



Sec. 68.6  Procedures.

    (a) TA for Service members participating in education programs. (1) 
TA will be available for Service members participating in high school 
completion and approved courses from accredited undergraduate or 
graduate education programs or educational institutions. Approved 
courses are those that are part of an identified course of study leading 
to a postsecondary certificate or degree and non-degree oriented 
language courses integral to the Defense Language Transformation Roadmap 
(available at http://www.defense.gov/news/Mar2005/d20050330roadmap.pdf).
    (i) Use of TA for non-degree oriented language courses is limited to 
those published by the Under Secretary of Defense (P&R) on the DoD 
Strategic Language List.
    (ii) Dominant-in-the-force languages and languages deemed by DoD as 
already having sufficient strategic capacity will not be funded under 10

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U.S.C. 2007, except for assignments outside the continental United 
States.
    (2) TA will be applied as follows:
    (i) For 100 percent of the cost of approved high school completion 
programs for Service members who have not been awarded a high school or 
equivalency diploma and who are enrolled in such programs.
    (ii) In support of the voluntary education of active duty Service 
members during their off-duty periods, each Military Service will pay 
all or a portion, as specified in paragraphs (a)(2)(ii)(A) through (F) 
of this section, of the charges of an educational institution for 
education during the member's off-duty periods. TA funding will only be 
paid to educational institutions accredited by an accrediting 
organization recognized by ED, approved VA funding, and certified to 
participate in federal student aid programs through the ED under Title 
IV of Public Law 89-329, also known and referred to in this part as the 
Higher Education Act of 1965. Whenever ED withdraws the recognition of 
any accrediting agency, an institution of higher education that meets 
the requirements of accreditation, eligibility, and certification on the 
day before such withdrawal, may, notwithstanding the withdrawal, 
continue to participate in the TA program for a period not to exceed 18 
months from the date of the withdrawal of recognition.
    (A) When an educational institution's charges are equal to or less 
than the established cap per semester-hour of credit or its equivalent, 
the responsible Service will pay the entire amount charged by the 
educational institution. In computing credit equivalency, the following 
conversions will apply: 1 quarter-hour credit = 2/3 semester-hour 
credit; and 45 contact hours will be considered equivalent to 1 
semester-hour credit when neither semester- nor quarter-hours are 
specified for the education for which the Service member is enrolled.
    (B) When an educational institution's charges exceed the established 
cap per semester-hour of credit, or its equivalent, the responsible 
Service, will pay no more than the established cap per semester-unit (or 
equivalent) for tuition.
    (C) Each Service member participating in off-duty, voluntary 
education will be allowed no more than the established annual ceiling, 
in aggregate, for each fiscal year.
    (D) Covered charges include those that are submitted to the Service 
by the educational institution for tuition only. Educational 
institutions that bundle tuition, fees, or books into a consolidated 
cost must detail the charges of fees and books separately for Service 
members participating in the TA program. Fees include any charge not 
directly related to course instruction including but not limited to 
costs associated with room, board, distance learning, equipment, 
supplies, books/materials, exams, insurance, parking, transportation, 
admissions, registration, or fines.
    (E) TA funds are not to be used for the purchase of books to include 
textbooks, ebooks, CDs/DVDs, or reference or instructional materials. 
Additionally, institutional education revenue generated from military TA 
funds cannot be used to support textbook grants or scholarships.
    (F) To be eligible to receive TA, a Service member must meet the 
minimum requirement of successfully completing basic training. RC 
members are exempt from the requirement to first attend basic training 
before authorized to receive TA. Additional, respective Service 
requirements must be met to include training qualification, unit 
assignment, and time in service criteria.
    (iii) The TA rate, credit-cap, and annual per capita ceiling, will 
be reviewed annually in consideration of inflation and other effects, 
and will be applicable uniformly whether instruction is delivered 
traditionally in-the-classroom or through distance education. Rates of 
TA other than as identified in paragraphs (a)(2)(ii)(A) through (F) of 
this section are not authorized.
    (3) Service-specific TA eligibility requirements. (i) Service-
specific eligibility criteria and management controls are determined by 
each Military Service.
    (ii) Service-specific TA eligibility criteria and management 
controls may include, but are not limited to, applying TA:

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    (A) For courses leading to a certificate or required for a 
credentialing program. All payments for courses must comply with the 
allowable caps and ceilings.
    (B) For graduate studies through the master's degree level. All 
payments for courses must comply with the allowable caps and ceilings.
    (C) For same level degrees, subject to the availability of funds. 
However, TA is primarily intended to raise the academic degree level of 
the Service member.
    (4) TA is available to a commissioned officer on active duty, other 
than an officer serving in the Ready Reserves (addressed in paragraphs 
(a)(5)(i) and (a)(6)(i) of this section), only if the officer agrees to 
remain on active duty, for a period of at least 2 years after the 
completion of the education or training for which TA was paid (see 10 
U.S.C. 2007).
    (5) The Secretary of the Military Department concerned may only make 
TA available to a member of the SELRES, pursuant to 10 U.S.C. 2007, 
under the following conditions:
    (i) In the case of a commissioned officer, the officer must agree to 
remain a member of the SELRES for at least 4 years after completion of 
the education or training for which TA is paid.
    (ii) In the case of an enlisted member, the Secretary concerned may 
require the member of the SELRES to enter into an agreement to remain a 
member of the SELRES for up to 4 years after completion of the education 
or training for which TA is paid.
    (6) The Secretary of the Military Department concerned may only make 
TA available to a member of the IRR who has a military occupational 
specialty designated by the Secretary concerned pursuant to 10 U.S.C. 
2007 and only under the following conditions:
    (i) In the case of a commissioned officer, the officer must agree to 
remain a member of the SELRES or IRR for at least 4 years after 
completion of the education or training for which TA was paid.
    (ii) In the case of an enlisted member, the Secretary concerned may 
require the member of the IRR to enter into an agreement to remain a 
member of the IRR for up to 4 years after completion of the education or 
training for which TA is paid.
    (7) Members performing Active Guard and Reserve (AGR) duty under 
either 10 U.S.C. 12310 or active duty under 14 U.S.C. 712 are eligible 
for TA under paragraph (a)(4) of this section.
    (8) The Secretary of the Military Department concerned may make TA 
available to National Guard members in accordance with paragraph (a)(4), 
except for National Guard members assigned to the Inactive National 
Guard.
    (9) Reimbursement and repayment requirements:
    (i) If a commissioned officer or member of the RR does not fulfill a 
specified Service obligation as required by 10 U.S.C. 2007, they are 
subject to the repayment provisions of 37 U.S.C. 303a(e).
    (ii) For other conditions pursuant to 10 U.S.C. 2005, the Secretary 
concerned may require a Service member to enter into a written agreement 
when providing advanced education assistance. If the Service member does 
not fulfill any terms or conditions as prescribed by the Secretary 
concerned, the Service member will be subject to the repayment 
provisions of 37 U.S.C. 303a(e).
    (iii) Pursuant to 37 U.S.C. 303a(e), the Secretary concerned may 
establish procedures for determining the amount of the repayment 
required from the Service member and the circumstances under which an 
exception to the required repayment may be granted.
    (iv) Reimbursement will be required from the Service member if a 
successful course completion is not obtained. For the purpose of 
reimbursement, a successful course completion is defined as a grade of 
``C'' or higher for undergraduate courses, a ``B'' or higher for 
graduate courses and a ``Pass'' for ``Pass/Fail'' grades. Reimbursement 
will also be required from the Service member if he or she fails to make 
up a grade of ``I'' for incomplete within the time limits stipulated by 
the educational institution or 6 months after the completion of the 
class, whichever comes first. The Secretary of the Military Department 
will establish recoupment processes for unsuccessful completion of 
courses.
    (10) Students using TA must maintain a cumulative grade point 
average

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(GPA) of 2.0 or higher after completing 15 semester hours, or 
equivalent, in undergraduate studies, or a GPA of 3.0 or higher after 
completing 6 semester hours, or equivalent, in graduate studies, on a 
4.0 grading scale. If the GPA for TA funded courses falls below these 
minimum GPA limits, TA will not be authorized and Service members will 
use alternative funding (such as financial aid or personal funds) to 
enroll in courses to raise the cumulative GPA to 2.0 for undergraduate 
studies or 3.0 for graduate studies.
    (11) TA will not be authorized for any course for which a Service 
member receives reimbursement in whole or in part from any other Federal 
source such as veterans' education benefits (GI Bill and other programs) 
and Service-funded programs (ROTC scholarship, education-related 
incentive or bonus, and advanced civil schooling) when the payment would 
constitute a duplication of benefits paid to that educational 
institution. Federal student aid loan, grant, and work-study programs 
will not be considered a duplication of benefit. Educational 
institutions have the responsibility to notify the Service if there is 
any duplication of benefits, determine the amount of credit that should 
be returned, and credit the amount back to the Service. The use of funds 
related to veterans' education benefits to supplement TA received by 
active duty and RC personnel is authorized in accordance with applicable 
VA guidelines.
    (12) Pell Grants may be used in conjunction with TA assistance to 
pay that portion of tuition costs not covered by TA.
    (13) TA will be provided for courses provided by educational 
institutions awarding degrees based on demonstrated competency, if:
    (i) Competency rates are equated to semester or quarter units of 
credit, and
    (ii) The educational institution publishes traditional grade 
correlations with ``Pass/Fail'' grades, and
    (iii) The educational institution provides a breakdown by course 
equivalent for Service members.
    (14) Enrollment in a professional practicum integral to these types 
of programs is also authorized. However, normal DoD TA caps and ceilings 
apply; the cost of expanded levels of enrollment over and above these 
enrollment levels and normal caps and ceilings must be borne by the 
student.
    (15) When used for postsecondary education, TA will be provided only 
for courses offered by postsecondary educational institutions whose home 
campus is operating within the United States, to include the District of 
Columbia and U.S. territories, which are accredited by a national or 
regional accrediting body recognized by the ED.
    (16) On a date to be determined, but not earlier than 60 days 
following the publication of this part in the Federal Register, to 
receive TA, all educational institution home campuses must sign the 
revised DoD Voluntary Education Partnership Memorandum of Understanding 
(MOU) in appendices A, B, C, D, and E to this part, and the name of the 
educational institution must be posted on the DoD MOU Web site under the 
`Participating Institutions' tab (located at http://www.dodmou.com). One 
signed, revised DoD Voluntary Education Partnership MOU with the 
educational institution's home campus will cover any program offered by 
the educational institution, regardless of location. The requirement to 
sign the revised DoD Voluntary Education Partnership MOU contained in 
this part applies to institutions with a previously approved and signed 
DoD Voluntary Education Partnership MOU posted on the DoD MOU Web site.
    (17) To the extent that any provision of the standard language of 
the DoD Voluntary Education Partnership MOU template in appendices A, B, 
C, D, and E to this part, results from DoD policy that conflicts with a 
state law or regulation, the DASD(MCFP) may authorize amending the 
standard language of the DoD Voluntary Education Partnership MOU 
template on a case-by-case basis to the extent permissible by Federal 
law or regulation.
    (18) A DoD Voluntary Education Partnership MOU with an educational 
institution may be suspended or terminated by DoD in these 
circumstances:
    (i) The DoD Voluntary Education Partnership MOU with an educational 
institution may be terminated by the ASD(R&FM) following written notice 
and an opportunity to respond for the

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failure to comply with any element of this part of the DoD Voluntary 
Education Partnership MOU. In addition, an otherwise qualified 
educational institution may be suspended from participating in the 
tuition assistance program by the ASD(R&FM) following written notice and 
an opportunity to respond through either the termination of an existing 
DoD Voluntary Education Partnership MOU or the refusal by DoD to enter 
into a new DoD Voluntary Education Partnership MOU upon indictment of 
the educational institution or any senior official of the educational 
institution on a criminal charge related to the operation of the 
educational institution. The decision of the ASD(R&FM) in either of 
these cases may be appealed to the USD(P&R), and the decision of the 
USD(P&R) will be deemed to be the final administrative action by DoD on 
the matter.
    (ii) An otherwise qualified educational institution may also be 
immediately suspended from participating in the tuition assistance 
program through either the termination of an existing DoD Voluntary 
Education Partnership MOU or the refusal to enter into a new DoD 
Voluntary Education Partnership MOU by the USD(P&R) on national security 
grounds. Written notice of the action will be provided to the 
educational institution, and, if practicable without damaging national 
security, the written notice will include a short unclassified summary 
of the reasons for the action. Such a decision of the USD(P&R) is only 
appealable to the Secretary of Defense, who has authorized the Deputy 
Secretary of Defense to act on such an appeal.
    (iii) The authorities pursuant to this paragraph are not delegable.
    (b) Guidelines for establishing, maintaining, and operating 
voluntary education programs. (1) Education programs established under 
this part by each Military Service will:
    (i) Provide for the academic, technical, intellectual, personal, and 
professional development of Service members, thereby contributing to the 
readiness of the Military Services and the quality of life of Service 
members and their families.
    (ii) Increase Service members' opportunities for advancement and 
leadership by reinforcing their academic skills and occupational 
competencies with new skills and knowledge.
    (iii) Lead to a credential, such as a high school diploma, 
certificate, or college degree, signifying satisfactory completion of 
the educational program.
    (iv) Include an academic skills program, which allows personnel to 
upgrade their reading, writing, computation, and communication abilities 
in support of academic skills and military occupations and careers. 
Academic skills programs may include English as a Second Language, 
mathematics and basic science.
    (v) Include programs and college offerings that support findings 
from periodic needs assessments conducted by the appropriate DoD 
installation official (normally the Education Services Officer) for 
programs provided on the DoD installation. The DoD installation needs 
assessment process is used to determine such items as staffing 
requirements, course offerings, size of facilities, funding, or other 
standards for delivery of educational programs. Duplication of course 
offerings on a DoD installation should be avoided. However, the 
availability of similar courses through correspondence or electronic 
delivery will not be considered duplication.
    (vi) Be described in a publication or on-line source that includes 
on-installation educational programs, programs available at nearby DoD 
installations, and colleges and universities nearby the DoD 
installation.
    (2) Each Military Service, in cooperation with community educational 
service providers, will provide support essential to operating effective 
education programs. This support includes:
    (i) Adequate funds for program implementation, administration, and 
TA.
    (ii) Adequately trained staff to determine program needs, counsel 
students, provide testing services, and procure educational programs and 
services. Education counseling will be provided by qualified 
professional (Education Services Series 1740 or an individual with 
equivalent qualifications) individuals.

[[Page 445]]

    (iii) Adequate and appropriate classroom, laboratory, and office 
facilities and equipment, including computers to support local needs.
    (iv) Access to telecommunications networks, computers, and physical 
or online libraries at times convenient to active duty personnel.
    (3) In operating its programs, each Military Service will:
    (i) Provide to newly assigned personnel, as part of their 
orientation to each new DoD installation or unit of assignment for RC 
personnel, information about voluntary education programs available at 
that DoD installation, unit, or State for RC personnel.
    (ii) Maintain participants' educational records showing education 
accomplishments and educational goals.
    (iii) Provide for the continuing professional development of their 
education services staff, including the participation of field staff in 
professional, as well as Service-sponsored, conferences, symposiums, and 
workshops.
    (iv) Provide educational services, including TA counseling, academic 
advice and testing to their personnel and to personnel of other Services 
(including the U.S. Coast Guard when operating as a service in the Navy) 
who are assigned for duty at DoD installations of the host Service. 
These educational services will be provided by qualified professional 
(Education Services Series 1740 or an individual with equivalent 
qualifications) individuals in sufficient numbers to operate voluntary 
education programs as determined by individual Service standards. 
Outcomes from these educational services will include:
    (A) A prior learning assessment that includes a review of all 
education transcripts to include the JST, the CCAF transcript, and 
academic transcript recommendations for ACE recommended credit.
    (B) An assessment of the Service members' readiness to accomplish 
the degree requirements as outlined in the evaluated educational plan 
and a discussion of academic skills development programs.
    (C) Discussion and review of technical credentials that can be 
obtained concurrent to academic pursuits.
    (D) Discussion of credit-by-examination options.
    (E) Review of academic program options, leading to a degree plan.
    (F) Discussion with prospective military students on payment options 
and the use of education benefits for postsecondary courses to include 
the DoD TA Program, VA education benefit programs, State and federal 
grants and loans, commercial lending, and out-of-pocket costs for the 
Service member. Discussion will include streamlined tools and 
information to compare educational institutions using key measures of 
affordability and value through the VA eBenefits portal at http://
www.ebenefits.va.gov. The eBenefits portal is updated by VA to 
facilitate access to school performance information and key federal 
financial aid documents.
    (v) Continually assess the state of its voluntary education programs 
and periodically conduct a formal needs assessment by the appropriate 
DoD installation official (normally the Education Services Officer) to 
ensure that the best possible programs are available to their members at 
each DoD installation or in their State or area command for RC 
personnel. It is essential that a formal needs assessment be conducted 
if there is a significant change in the demographic profile of the DoD 
installation population.
    (4) Eligible adult family members of Service members, DoD civilian 
employees and their eligible adult family members, and military retirees 
may participate in installation postsecondary education programs on a 
space-available basis at no cost to the individual Service TA programs.
    (5) At locations where an educational program that is offered on a 
DoD installation is not otherwise conveniently available outside the DoD 
installation, civilians who are not directly employed by the DoD or 
other Federal agencies, and who are not eligible adult family members of 
DoD personnel, may be allowed to participate in DoD installation 
educational programs. While such participation contributes to positive 
community relations, participation must be on a student-funded, space-
available basis at no cost to the individual Service TA programs, after

[[Page 446]]

the registration of Service members, DoD civilian employees, eligible 
adult family members, and military retirees. Additionally, a review of 
these potential participants by the relevant DoD installation ethics 
counselor may be required as part of the installation commander's access 
requirements. Participation may also be subject to the terms of status-
of-forces or other regulating agreements.
    (6) Education centers will maintain liaison with appropriate State 
planning and approving agencies and coordinating councils to ensure that 
planning agencies for continuing, adult, or postsecondary education are 
aware of the educational needs of military personnel located within 
their jurisdiction.
    (7) In supporting a high school completion program, each Military 
Service will:
    (i) Ensure that all Service members with less than a high school 
education have the opportunity to attain a high school diploma or its 
equivalent.
    (ii) Ensure that neither a Military Service nor DANTES issues a 
certificate or similar document to Service members based on performance 
on high school equivalency tests. Military Services will recognize 
attainment of high school completion or equivalency only after a State- 
or territory-approved agency has awarded the appropriate credential.
    (iii) Pay 100 percent of the cost of high school equivalency 
instruction or proficiency testing and credentialing for Service 
members.
    (iv) Ensure that Service sponsored high school diploma programs are 
delivered by institutions that are State-funded or a Service component 
program accredited by a regional accrediting body or recognized by a 
State's secondary school authority.
    (c) Procedures for the responsible education advisor, on behalf of 
the installation commander, to follow to provide voluntary education 
programs and services from postsecondary educational institutions. (1) 
Contacts by an educational institution with a Service member for the 
purpose of asking or encouraging the member to sign up for one of the 
educational institution's programs (assuming the program has some cost) 
are considered personal commercial solicitations. The responsible 
education advisor will ensure educational institutions comply with DoD 
Instruction 1344.07, ``Personal Commercial Solicitation on DoD 
Installations'' (available at http://www.dtic.mil/whs/directives/corres/
pdf/134407p.pdf) and all requirements established by the installation 
commander for solicitation. Materials available through the education 
center that provide basic information about the educational institution 
or its programs or services in compliance with this MOU will not be 
considered personal commercial solicitation including, but not limited 
to, brochures, flyers, and catalogs provided by the educational 
institution. The responsible education advisor will ensure adequate and 
appropriate materials are available at no cost to the Service member and 
at no additional charge to the educational institution meeting the 
requirements as stated in the policy section of this part and in 
compliance with the DoD Voluntary Education Partnership MOU.
    (2) The responsible education advisor will limit DoD installation 
access to educational institutions or their agents meeting the 
requirements as stated in the policy section of this part and in 
compliance with the DoD Voluntary Education Partnership MOU. Agents 
representing education institutions in the performance of contracted 
services are permitted DoD installation access only in accordance with 
the requirements of their contract and/or agreement.
    (3) Educational institutions interested in providing education, 
guidance, training opportunities, and participating in sanctioned 
education fairs on a DoD installation provide their requests to the 
responsible education advisor, who will review and analyze these 
requests on behalf of the installation commander.
    (4) The responsible education advisor will ensure all educational 
institutions and its agents granted access to DoD installations to 
provide education, guidance, training opportunities, and participate in 
sanctioned education fairs to Service members:
    (i) Adhere to federal law, DoD Instruction 1344.07, DoD Instruction

[[Page 447]]

1322.19, ``Voluntary Education Programs in Overseas Areas'' (available 
at http://www.dtic.mil/whs/directives/corres/pdf/132219p.pdf; and the 
cognizant Military Service's policies and regulations.
    (ii) Comply with applicable DoD installation policies and procedures 
designated by the installation commander on such matters as fire and 
safety, environment, physical security, personnel background checks, 
vehicle inspection and registration, and any other applicable statues or 
regulations designated by the installation commander.
    (5) Monitor educational institutions and its agents granted access 
to a DoD installation to ensure they do not:
    (i) Use unfair, deceptive, abusive or fraudulent devices, schemes, 
or artifices, including misleading advertising or sales literature.
    (ii) Engage in unfair, deceptive, or abusive marketing tactics, such 
as during unit briefings or assemblies; engaging in open recruiting 
efforts; or distributing marketing materials on the DoD installation at 
unapproved locations or events.
    (iii) Market to or recruit newly assigned military personnel to the 
DoD installation, unless the Service member has received information 
about voluntary education programs and educational services available at 
that DoD installation, to include TA, from their education services 
staff or as part of their orientation to the new DoD installation.
    (6) Ensure educational institutions granted access to DoD 
installations to provide programs, services, or education guidance to 
their students meet these criteria:
    (i) Have a signed Voluntary Education Partnership MOU with DoD.
    (ii) Are in compliance with State authorization requirements 
consistent with regulations issued by ED including 34 CFR 600.9. 
Educational institutions must meet the requirements of the state where 
services will be rendered to include compliance with all state laws as 
they relate to distance education.
    (iii) Are State approved for the use of veterans' education 
benefits. Copies of the certification will be filed with the appropriate 
State approving agency for the military or veteran student.
    (iv) Are certified to participate in federal student aid programs 
through the ED under Title IV of the Higher Education Act of 1965. Title 
IV certification may be provisional so long as the educational 
institution maintains eligibility to participate in the Federal Direct 
Loan Program.
    (v) Are accredited by a national or regional accrediting body 
recognized by the ED and conduct programs only from among those offered 
or authorized by the main administrative and academic office in 
accordance with standard procedures for authorization of degree programs 
by the educational institution.
    (7) DoD installations seeking an educational institution to provide 
on-installation education programs, through the responsible education 
advisor, must:
    (i) Communicate the educational needs of the DoD installation to a 
wide variety of potential providers.
    (ii) Seek favorable tuition rates, student services, and 
instructional support from providers.
    (iii) Provide to interested providers:
    (A) The level of services and instruction desired, and specific 
degree programs being sought.
    (B) A demographic profile of the DoD installation population and 
probable volume of participation in the program.
    (C) Facilities and level of security at no charge to the educational 
institution.
    (D) Cost associated with equipment and supporting services provided 
at the discretion of the DoD installation.
    (E) A copy of this part.
    (F) Special requirements, such as:
    (1) Format (e.g., distance, evening, or weekend classes), 
independent study, short seminar, or other mode of delivery of 
instruction.
    (2) Unique scheduling problems related to the operational mission of 
the DoD installation.
    (3) Any DoD installation restrictions, limitations, or special 
considerations relevant to using an alternate delivery system (e.g., 
DL).
    (4) Available computer hardware and supporting equipment.

[[Page 448]]

    (5) Electrical, satellite, and network capabilities at the site.
    (8) In evaluating proposals, responsible education advisors must 
ensure potential providers meet, at a minimum, these criteria:
    (i) Programs satisfy objectives defined by the most recent needs 
assessment.
    (ii) Programs, courses, and completion requirements are the same as 
those at the provider's main administrative and academic campus.
    (iii) The educational institution granting undergraduate academic 
credit must adhere to the Servicemembers Opportunity Colleges (SOC) 
Principles and Criteria (available at http://www.soc.aascu.org/
socconsortium/PublicationsSOC.html) regarding the transferability of 
credit, the awarding of credit for military training and experience, and 
residency requirements.
    (iv) The provider is prepared to:
    (A) Offer academic counseling and flexibility in accommodating 
special military schedules.
    (B) Ensure main administrative and academic office approval in 
faculty selection, assignment, and orientation; and participation in 
monitoring and evaluation of programs. Adjunct or part-time faculty will 
possess comparable qualifications as full-time permanent faculty 
members.
    (C) Conduct on-installation or online courses that carry identical 
credit values, represent the same content and experience, and use the 
same student evaluation procedures as courses offered through the main 
administrative and academic campus. All substantive course change 
requirements must follow the schools accreditation agencies 
requirements. If the educational institution's accrediting agency's 
substantive change policy requires new courses or program offerings to 
be submitted to the agency for approval, the educational institution 
will be required to submit such items for approval before admitting 
Service members using military TA.
    (D) Maintain the same admission and graduation standards that exist 
for the same programs at the main administrative and academic office, 
and include credits from courses taken at a branch or auxiliary campus 
of the same educational institution in establishing academic residency 
to meet degree requirements.
    (E) Provide library and other reference and research resources, in 
either print or electronic format, that are appropriate and necessary to 
support course offerings.
    (F) Establish procedures to maintain regular communication among 
central institutional academic leadership and administrators, and off-
campus representatives and faculty. Any educational institution's 
proposal must specify these procedures.
    (G) Provide students with regular and accessible academic and 
financial counseling services either electronically or in-person. At a 
minimum, this includes Title IV and VA education benefits.
    (H) Charge tuition that is not more than tuition charged to 
nonmilitary students.
    (I) Have established policies for awarding credit for military 
training by examinations, experiential learning, and courses completed 
using modes of delivery other than instructor-delivered, on-site 
classroom instruction.
    (J) Conduct programs only from among those offered or authorized by 
the main administrative and academic office in accordance with standard 
procedures for authorization of degree programs by the educational 
institution.
    (d) Requirements and procedures for educational institutions seeking 
access to the DoD installation solely to provide academic counseling or 
student support services to students. (1) Educational institutions must 
meet the criteria in paragraphs (c)(6)(i) through (v) of this section.
    (2) Educational institutions must have a DoD installation student 
population of at least 20 military students, except in overseas 
locations covered by DoD Instruction 1322.19. For this exception, only 
contracted educational institutions are permitted on overseas DoD 
installations. Educational institutions may submit eligible Title IV and 
GI Bill recipients (military or family member) to supplement military TA 
recipients in meeting the minimum requirement.
    (3) Educational institutions must request access through the 
responsible

[[Page 449]]

education advisor via a written proposal. If a request is received from 
an educational institution seeking access to a joint DoD installation, 
the responsible education advisor from the education center will 
determine the appropriate Military Service to work the request. The 
request should include as a minimum:
    (i) Educational institution name and intent or purpose of the visit.
    (ii) Number and names of educational institution representatives 
that will be available.
    (iii) Counseling delivery method: By appointment or walk-in.
    (iv) Communication process used to inform students of their 
availability for counseling.
    (4) The responsible education advisor will review and analyze the 
request on behalf of the installation commander. The installation 
commander has the final authority to approve, deny, suspend, or withdraw 
DoD installation access permission from an educational institution, as 
deemed appropriate.
    (5) If a request is received from an educational institution seeking 
access to a DoD installation, the responsible education advisor will:
    (i) Fully consider requests from those educational institutions 
complying with requirements as stated in paragraphs (d)(1) through (3) 
of this section and be consistent in treatment of educational 
institutions in accordance with this part. Also, consider the value to 
the Service member as it relates to geographic location, accessibility 
and mission tempo.
    (ii) If request is denied, provide a timely response to the 
educational institution and inform the educational institution they may 
reapply for access once reasons for denial are addressed.
    (iii) Maintain copies of all correspondence in accordance with the 
DoD installation records management schedule and disposition, with a 
minimum time requirement of 2 years.
    (6) If a DoD installation grants access to an educational 
institution to provide guidance to their students, the educational 
institution and its agents will:
    (i) Only advise or counsel students at the education center or at a 
location approved by the responsible education advisor.
    (ii) Maintain a record of students counseled and provide a copy to 
the education office. The record will annotate the type of program and 
the status of the Service member (current or reenrollment).
    (iii) Comply with applicable DoD installation policies and 
procedures designated by the installation commander on such matters as 
fire and safety, environment, physical security, personnel background 
checks, vehicle inspection and registration, and any other applicable 
statues or regulations designated by the installation commander.
    (e) Interservice Voluntary Education Board. Under the direction of 
the Voluntary Education Chief, the Interservice Voluntary Education 
Board is composed of full-time or permanent part-time employees of DoD 
or military members, and consists of one representative responsible for 
policy from the Office of the ASD(RA), and the senior voluntary 
education advisor responsible for policy each from the Army, Navy, Air 
Force, and Marine Corps. The Director, DANTES, will serve as an ex-
officio member. Meeting quarterly, the Board will:
    (1) Provide a forum for the exchange of information and discussion 
of issues related to voluntary education programs.
    (2) Develop recommendations for changes in policies and procedures.
    (3) Develop recommendations for DANTES' activities and operations 
that support voluntary education programs.
    (4) Review and prioritize DANTES activities that support DoD 
voluntary education programs, to include budget execution and recommend 
execution year adjustments.
    (5) Develop recommended policy and program guidance for DANTES for 
the Future-Year Defense Program.
    (f) DANTES. (1) Guidance and recommendations for DANTES will be 
developed with the advice of the Interservice Voluntary Education Board.
    (2) The selection and rating of the Director, DANTES will be as 
follows:

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    (i) The DASD(MCFP) will convene and chair the search committee 
responsible for replacing the Director, DANTES, when the position is 
vacated. At the request of the USD(P&R), the Secretaries of the Military 
Departments will provide a senior manager to sit on the search 
committee. The committee will recommend the best qualified candidate to 
the DoD EA for DANTES, for possible appointment as the Director, DANTES.
    (ii) The DoD EA for DANTES will designate the rater of the Director, 
DANTES. The Director, State Liaison and Educational Opportunity within 
the Office of the USD(P&R), MCFP, will provide input to the DoD EA 
designated rater concerning the performance of the Director, DANTES.
    (3) DANTES will:
    (i) Support the Service voluntary education programs by executing 
the program outlined in this part and the annual USD(P&R) supplemental 
guidance for those items not reflected in this paragraph of this 
section.
    (ii) Provide execution information to the Interservice Voluntary 
Education Board quarterly and provide information required to assist 
with the program objective memorandum development as requested by the 
Board.
    (iii) Support DoD off-duty, voluntary education programs and conduct 
special projects and developmental activities in support of education-
related DoD functions.
    (iv) Assist the Military Services in providing high-quality and 
valuable educational opportunities for Service members, their eligible 
adult family members, and DoD personnel, and assist personnel in 
achieving professional and personal educational objectives. This role 
includes the consolidated management of programs that prevent 
duplication of effort among the Services. Through its activities, DANTES 
supports DoD recruitment, retention, and the transition efforts.
    (v) Assume responsibilities and functions that include:
    (A) Managing and facilitating the delivery of a wide variety of 
examinations including the General Equivalency Diploma test, college 
admissions, and credit-by-examination programs.
    (B) Upon request, issuing transcripts for the United States Armed 
Forces Institute and the examination and certification programs.
    (C) Managing the contract through which former DoD Dependents 
Schools students can obtain copies of archived transcripts.
    (D) Managing the contract and functions related to the evaluation of 
educational experiences in the Military Services that are covered by the 
contract.
    (E) Providing or developing and distributing educational materials, 
reference books, counseling publications, educational software, and key 
educational resource information to Defense Agencies and DoD 
installations.
    (F) Managing the SOC program contract and related functions.
    (G) Managing the DoD contract that provides for periodic third-party 
reviews of DoD voluntary education programs titled the Third Party 
Education Assessment.
    (H) Managing the contract and data received on the voluntary 
education programs for the VEMIS, which includes gathering, collating, 
and verifying participation and cost data from the Services. Providing 
requisite consolidated reports to USD(P&R). Requested data from the 
Military Services on voluntary education programs is located and stored 
at https://afaems.langley.af.mil/vemis. A user guide containing 
voluntary education program data and report information for the Military 
Services and DANTES is also available at this Web site, under the 
``Resources'' tab.
    (I) Managing the DoD independent study catalog and its support 
systems, as required.
    (J) Negotiating, administering, and coordinating contracts for DoD 
Worldwide Education Symposiums in support of and in conjunction with the 
Interservice Voluntary Education Board.
    (K) Establishing, refining, updating, and maintaining information on 
worldwide education support of DoD off-duty, voluntary education 
programs on the Internet. Maintaining necessary infrastructure to ensure 
that information on the Internet is always current and available to 
leadership, agency personnel, the public, and others.

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    (L) Administering the TTT program in accordance with section 1154 of 
chapter 58 of 10 U.S.C.
    (M) Monitoring new technological developments, providing reports, 
cost analyses, and recommendations on educational innovations, and 
conducting special projects requested by the Department of Defense and 
the Services, approved by the Interservice Voluntary Education Board, 
and as reflected and approved in DANTES' annual policy guidance.
    (N) Conducting staff development training on DANTES' policies, 
procedures, and practices related to voluntary education testing 
programs, and providing additional training as requested by the Office 
of the Secretary of Defense and the Services.
    (O) Serving as the Defense Media Activity's point of contact for 
information on DANTES programs for military personnel.
    (P) Providing support, as requested, to DoD and Service Quality of 
Life and Transition support programs.
    (Q) Providing other support in mission areas as directed by the 
USD(P&R) and the DASD(MCFP).
    (R) Managing DoD contingency Tri-Service contracts, which provide 
educational opportunities for deployed Service members with guidance and 
oversight from the DoD Voluntary Education Chief.
    (S) Monitoring and maintaining liaison with the office responsible 
for consolidating and distributing the JST for the Services.
    (vi) Maintain liaison with education services officials of the 
Military Services, and appropriate Federal and State agencies and 
educational associations, in matters related to the DANTES mission and 
assigned functions.
    (vii) Serve on panels and working groups designated by the 
DASD(MCFP).
    (viii) Serve as the Executive Secretary at the Interservice 
Voluntary Education Board meeting convened annually to review DANTES 
programs and to develop recommendations for inclusion in annual policy 
guidance for DANTES. In this role, the Director, DANTES, will coordinate 
the meeting, prepare the agenda, review and analyze DANTES programs and 
initiatives outlined in the prior year's operational plan, and provide 
minutes after the meeting.
    (ix) Assist the Services in screening candidates for the DANTES 
Senior Enlisted Advisor and DANTES RC Advisor positions.
    (x) Maintain the repository for the DoD Voluntary Education 
Partnership MOU between USD(P&R) and partner educational institutions, 
to include Service-specific addendums (see the Appendix to this section 
for the template of the DoD Voluntary Education Partnership MOU). DANTES 
will:
    (A) Administer and update the system that is the repository of the 
MOUs per guidance from USD(P&R).
    (B) Create, track, and maintain a centrally managed database for all 
signed documents.
    (C) Publish an Internet-based list of all educational institutions 
that have a signed DoD Voluntary Education Partnership MOU.
    (D) Generate reports in accordance with guidance from the USD(P&R) 
and procedures in DTM 12-004, ``DoD Internal Information Collections'' 
(available at http://www.dtic.mil/whs/directives/corres/pdf/DTM-12-
004.pdf) and DoD 8910-1-M, ``Department of Defense Procedures for 
Management of Information Requirements'' (available at http://
www.dtic.mil/whs/directives/corres/pdf/891001m.pdf).
    (x) Provide data analyses and generate reports required by DoD and 
the Interservice Voluntary Education Board as needed.



    Sec. Appendix A to Part 68--DoD Voluntary Education Partnership 
   Memorandum of Understanding (MOU) Between DoD Office of the Under 
Secretary of Defense for Personnel and Readiness (USD(P&R)) and [Name of 
                        Educational Institution]

    1. Preamble.
    a. Providing access to quality postsecondary education opportunities 
is a strategic investment that enhances the U.S. Service member's 
ability to support mission accomplishment and successfully return to 
civilian life. A forward-leaning, lifelong learning environment is 
fundamental to the maintenance of a mentally powerful and adaptive 
leadership-ready force. Today's fast-paced

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and highly mobile environment, where frequent deployments and 
mobilizations are required to support the Nation's policies and 
objectives, requires DoD to sponsor postsecondary educational programs 
using a variety of learning modalities that include instructor-led 
courses offered both on- and off-installation, as well as distance 
learning options. All are designed to support the professional and 
personal development and progress of the Service members and our DoD 
civilian workforce.
    b. Making these postsecondary programs available to the military 
community as a whole further provides Service members, their eligible 
adult family members, DoD civilian employees, and military retirees ways 
to advance their personal education and career aspirations and prepares 
them for future vocational pursuits, both inside and outside of DoD. 
This helps strengthen the Nation by producing a well-educated citizenry 
and ensures the availability of a significant quality-of-life asset that 
enhances recruitment and retention efforts in an all-volunteer force.
    2. Purpose.
    a. This MOU articulates the commitment and agreement educational 
institutions provide to DoD by accepting funds via each Service's 
tuition assistance (TA) program in exchange for education services.
    b. This MOU is not an obligation of funds, guarantee of program 
enrollments by DoD personnel, their eligible adult family members, DoD 
civilian employees, or retirees in an educational institution's academic 
programs, or a guarantee for DoD installation access.
    c. This MOU covers courses delivered by educational institutions 
through all modalities. These include, but are not limited to, classroom 
instruction, distance education (i.e., web-based, CD-ROM, or multimedia) 
and correspondence courses.
    d. This MOU includes high school programs, academic skills programs, 
and adult education programs for military personnel and their eligible 
adult family members.
    e. This MOU articulates regulatory and governing directives and 
instructions:
    (1) Eligibility of DoD recipients is governed by Federal law, DoD 
Instruction 1322.25, DoD Directive 1322.08E, and the cognizant Military 
Service's policies, regulations, and fiscal constraints.
    (2) Postsecondary educational programs provided to Service members 
using TA on DoD installations outside of the United States, will be 
operated in accordance with guidance from DoD Instruction 1322.25, DoD 
Instruction 1322.19, section 1212 of Public Law 99-145, as amended by 
section 518 of Public Law 101-189; and under the terms of the Tri-
Services contract currently in effect.
    f. This MOU is subject at all times to Federal law and the rules, 
guidelines, and regulations of DoD. Any conflicts between this MOU and 
such Federal law, rules, guidelines, and regulations will be resolved in 
favor of the Federal law, rules, guidelines, or regulations.
    3. Educational Institution (Including Certificate and Degree 
Granting Educational Institutions) Requirements for TA. Educational 
institutions must:
    a. Sign and adhere to requirements of this MOU, including Service-
specific addendums as appropriate, prior to being eligible to receive TA 
payments.
    (1) Those educational institutions that have a current Voluntary 
Education Partnership MOU with DoD will sign this MOU:
    (a) At the expiration of their current MOU (renewal);
    (b) At the request of DoD or the specific Military Service holding a 
separate current MOU. The DoD Voluntary Education Partnership MOU (which 
includes the Service-specific addendums) is required for an educational 
institution to participate in the DoD TA Program. An ``installation 
MOU'' (which is separate from this MOU) is only required if an 
educational institution is operating on a DoD installation. The 
installation MOU:
    1. Contains the installation-unique requirements that the 
responsible education advisor coordinated, documented, and retained; is 
approved by the appropriate Service voluntary education representative; 
and is presented to the installation commander for final approval.
    2. Cannot conflict with the DoD Voluntary Education Partnership MOU 
and governing regulations.
    (2) Educational institutions must comply with this MOU and the 
requirements in Service-specific addendums that do not conflict with 
governing Federal law and rules, guidelines, and regulations, which 
include, but are not limited to, Title 10 of the U.S. Code; DoD 
Directive 1322.08E, ``Voluntary Education Programs for Military 
Personnel''; DoD Instruction 1322.25, ``Voluntary Education Programs''; 
DoD Instruction 1322.19, ``Voluntary Education Programs in Overseas 
Areas''; and all DoD installation requirements imposed by the 
installation commander, if the educational institution has been approved 
to operate on a particular base. Educational institutions failing to 
comply with the requirements set forth in this MOU may receive a letter 
of warning, be denied the opportunity to establish new programs, have 
their MOU terminated, be removed from the DoD installation, and may have 
the approval of the issuance of TA withdrawn by the Service concerned.
    b. Be accredited by a national or regional accrediting agency 
recognized by ED, approved for VA funding, and certified to participate 
in Federal student aid programs

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through ED under Title IV of the Higher Education Act of 1965.
    c. Comply with the regulatory guidance provided by DoD and the 
Services.
    d. Comply with state authorization requirements consistent with 
regulations issued by ED, including 34 CFR 600.9. Educational 
institutions must meet all State laws as they relate to distance 
education as required.
    e. Participate in the Third Party Education Assessment process when 
requested. This requirement applies not only to educational institutions 
providing courses on DoD installations, but also to those educational 
institutions that provide postsecondary instruction located off the DoD 
installation or via DL. Educational institutions may be selected for 
Third Party Education Assessment based on provider offerings (on-
installation, off-installation, or DL), education benefits received 
(large provider in terms of enrollments or TA funds), or an observed 
promising practice. Educational institutions may also be selected as a 
result of reports of non-compliance with the DoD Voluntary Education 
Partnership MOU, complaint(s) received, or negative information received 
from other government agencies and regulators. Educational institutions 
demonstrating an unwillingness to resolve findings may receive a range 
of penalties from a written warning to revocation of the DoD Voluntary 
Education Partnership MOU and removal from participation in the DoD TA 
Program. As appropriate, Third Party Education Assessment findings will 
be shared with other government agencies/regulators including but not 
limited to CFPB, VA, ED, DOJ, and FTC.
    (1) If an educational institution is operating on the DoD 
installation, the educational institution will resolve the assessment 
report findings and provide corrective actions taken within 6 months of 
the Third Party Education Assessment to the responsible education 
advisor on the DoD installation, the appropriate Service Voluntary 
Education Chief, and the DoD Voluntary Education Chief.
    (2) If an educational institution is operating off the DoD 
installation or via DL, the educational institution will resolve the 
assessment report findings and provide corrective actions taken within 6 
months of the Third Party Education Assessment to the DoD Voluntary 
Education Chief.
    (3) In instances when the resolution action cannot be completed 
within the 6 month timeframe, the educational institution will submit a 
status report every 3 months to the responsible education advisor on the 
DoD installation if the educational institution is operating on the DoD 
installation, and the DoD Voluntary Education Chief, until the 
recommendation is resolved.
    f. Before enrolling a Service member, provide each prospective 
military student with specific information to locate, explain, and 
properly use the following ED and CFPB tools:
    (1) The College Scorecard which is a consumer planning tool and 
resource to assist prospective students and their families as they 
evaluate options in selecting a school and is located at: http://
collegecost.ed.gov/scorecard/.
    (2) The College Navigator which is a consumer tool that provides 
school information to include tuition and fees, retention and graduation 
rates, use of financial aid, student loan default rates and features a 
cost calculator and school comparison tool. The College Navigator is 
located at: http://nces.ed.gov/collegenavigator/.
    (3) The Financial Aid Shopping Sheet which is a model aid award 
letter designed to simplify the information that prospective students 
receive about costs and financial aid so they can easily compare 
institutions and make informed decisions about where to attend school. 
The shopping sheet can be accessed at: http://www2.ed.gov/policy/
highered/guid/aid-offer/index.html.
    (4) The `Paying for College' Web page which can be used by 
prospective students to enter the names of up to three schools and 
receive detailed financial information on each one and to enter actual 
financial aid award information. The tool can be accessed at: http://
www.consumerfinance.gov/paying-for-college/.
    g. Designate a point of contact or office for academic and financial 
advising, including access to disability counseling, to assist Service 
members with completion of studies and with job search activities.
    (1) The designated person or office will serve as a point of contact 
for Service members seeking information about available, appropriate 
academic counseling, financial aid counseling, and student support 
services at the educational institution;
    (2) The point of contact will have a basic understanding of the 
military tuition assistance program, ED Title IV funding, education 
benefits offered by the VA, and familiarity with institutional services 
available to assist Service members.
    (3) The point of contact does not need to be exclusively dedicated 
to providing these services and, as appropriate, may refer the Service 
member to other individuals with an ability to provide these services, 
both on- and off-campus.
    h. Before offering, recommending, arranging, signing-up, dispersing, 
or enrolling Service members for private student loans, provide Service 
members access to an institutional financial aid advisor who will make 
available appropriate loan counseling, including, but not limited to:

[[Page 454]]

    (1) Providing a clear and complete explanation of available 
financial aid, including Title IV of the Higher Education Act of 1965, 
as amended.
    (2) Describing the differences between private and federal student 
loans to include terms, conditions, repayment and forgiveness options.
    (3) Disclosing the educational institution's student loan Cohort 
Default Rate (CDR), the percentage of its students who borrow, and how 
its CDR compares to the national average. If the educational 
institution's CDR is greater than the national average CDR, it must 
disclose that information and provide the student with loan repayment 
data.
    (4) Explaining that students have the ability to refuse all or 
borrow less than the maximum student loan amount allowed.
    i. Have a readmissions policy for Service members that:
    (1) Allows Service members and reservists to be readmitted to a 
program if they are temporarily unable to attend class or have to 
suspend their studies due to service requirements.
    (2) Follows the regulation released by ED (34 CFR 668.18) regarding 
readmissions requirements for returning Service members seeking 
readmission to a program that was interrupted due to a Military service 
obligation, and apply those provisions to Service members that are 
temporarily unable to attend classes for less than 30 days within a 
semester or similar enrollment period due to a Military service 
obligation when such absence results in a withdrawal under institution 
policies. A description of the provisions for U.S. Armed Forces members 
and their families is provided in Chapter 3 of Volume 2 of the Federal 
Student Aid Handbook.
    j. Have policies in place compliant with program integrity 
requirements consistent with the regulations issued by ED (34 CFR 
668.71-668.75 and 668.14) related to restrictions on misrepresentation, 
recruitment, and payment of incentive compensation. This applies to the 
educational institution itself and its agents including third party lead 
generators, marketing firms, or companies that own or operate the 
educational institution. As part of efforts to eliminate unfair, 
deceptive, and abusive marketing aimed at Service members, educational 
institutions will:
    (1) Ban inducements including any gratuity, favor, discount, 
entertainment, hospitality, loan, transportation, lodging, meals, or 
other item having a monetary value of more than a de minimis amount to 
any individual, entity, or its agents including third party lead 
generators or marketing firms other than salaries paid to employees or 
fees paid to contractors in conformity with all applicable laws for the 
purpose of securing enrollments of Service members or obtaining access 
to TA funds. Educational institution sponsored scholarships or grants 
and tuition reductions available to military students are permissible.
    (2) Refrain from providing any commission, bonus, or other incentive 
payment based directly or indirectly on securing enrollments or federal 
financial aid (including TA funds) to any persons or entities engaged in 
any student recruiting, admission activities, or making decisions 
regarding the award of student financial assistance.
    (3) Refrain from high-pressure recruitment tactics such as making 
multiple unsolicited contacts (3 or more), including contacts by phone, 
email, or in-person, and engaging in same-day recruitment and 
registration for the purpose of securing Service member enrollments.
    k. Refrain from automatic program renewals, bundling courses or 
enrollments. The student and Military Service must approve each course 
enrollment before the start date of the class.
    l. The educational institution will obtain the approval of their 
accrediting agency for any new course or program offering, provided such 
approval is required under the substantive change requirements of the 
accrediting agency. Approval must be obtained before the enrollment of a 
Service member into the new course or program offering.
    m. If the educational institution is a member of the Servicemembers 
Opportunity Colleges (SOC), in addition to the requirements stated in 
paragraphs 3.a through 3.l of this MOU, the educational institution 
will:
    (1) Adhere to the SOC Principles, Criteria, and Military Student 
Bill of Rights. (located at http://www.soc.aascu.org/socconsortium/
PublicationsSOC.html).
    (2) Provide processes to determine credit awards and learning 
acquired for specialized military training and occupational experience 
when applicable to a Service member's degree program.
    (3) Recognize and use the ACE Guide to the Evaluation of Educational 
Experiences in the Armed Services to determine the value of learning 
acquired in military service. Award credit for appropriate learning 
acquired in military service at levels consistent with ACE Guide 
recommendations and/or those transcripted by CCAF, when applicable to a 
Service member's program.
    n. If an educational institution is not a member of SOC, in addition 
to the requirements stated in paragraphs 3.a. through 3.l. of this MOU, 
the educational institution will:
    (1) Disclose its transfer credit policies and articulated credit 
transfer agreements before a Service member's enrollment. Disclosure 
will explain acceptance of credits in transfer is determined by the 
educational institution to which the student wishes to transfer and 
refrain from making unsubstantiated representations to students about 
acceptance of credits in transfer by another institution.

[[Page 455]]

    (a) If the educational institution accepts transfer credit from 
other accredited institutions, then the educational institution agrees 
to evaluate these credits in conformity with the principles set forth in 
the Joint Statement on the Transfer and Award of Credit developed by 
members of the American Association of Collegiate Registrars and 
Admissions Officers, the American Council on Education, and the Council 
for Higher Education Accreditation. The educational institution will 
then award appropriate credit, to the extent practicable within the 
framework of its institutional mission and academic policies.
    (b) Decisions about the amount of transfer credit accepted, and how 
it will be applied to the student's program, will be left to the 
educational institution.
    (2) Disclose its policies on how they award academic credit for 
prior learning experiences, including military training and experiential 
learning opportunities provided by the Military Services, at or before a 
Service member's enrollment.
    (a) In so far as the educational institution's policies generally 
permit the award of credit for comparable prior learning experiences, 
the educational institution agrees to evaluate the learning experiences 
documented on the Service member's official Service transcripts, and, if 
appropriate, award credit.
    (b) The JST is an official education transcripts tool for 
documenting the recommended college credits for professional military 
education, training courses, and occupational experiences of Service 
members across the Services. The JST incorporates data from documents 
such as the Army/ACE Registry Transcript System, the Sailor/Marine ACE 
Registry Transcript System, the Community College of the Air Force 
transcript, and the Coast Guard Institute transcript.
    (c) Decisions about the amount of experiential learning credit 
awarded, and how it will be applied to the student's program, will be 
left to the educational institution. Once an educational institution has 
evaluated a particular military training or experiential learning 
opportunity for a given program, the educational institution may rely on 
its prior evaluation to make future decisions about awarding credit to 
Service members with the same military training and experience 
documentation, provided that the course content has not changed.
    (3) If general policy permits, award transfer credit or credit for 
prior learning to:
    (a) Replace a required course within the major;
    (b) Apply as an optional course within the major;
    (c) Apply as a general elective;
    (d) Apply as a basic degree requirement; or
    (e) Waive a prerequisite.
    (4) Disclose to Service members any academic residency requirements 
pertaining to the student's program of study, including total and any 
final year or final semester residency requirement at or before the time 
the student enrolls in the program.
    (5) Disclose basic information about the educational institution's 
programs and costs, including tuition and other charges to the Service 
member. This information will be made readily accessible without 
requiring the Service member to disclose any personal or contact 
information.
    (6) Before enrollment, provide Service members with information on 
institutional ``drop/add,'' withdrawal, and readmission policies and 
procedures to include information on the potential impact of military 
duties (such as unanticipated deployments or mobilization, activation, 
and temporary duty assignments) on the student's academic standing and 
financial responsibilities. For example, a Service member's military 
duties may require relocation to an area where he or she is unable to 
maintain consistent computer connectivity with the educational 
institution, which could have implications for the Service member's 
enrollment status. This information will also include an explanation of 
the educational institution's grievance policy and process.
    (7) Conduct academic screening and competency testing; make course 
placement based on student readiness.
    4. TA Program Requirements for Educational Institutions.
    a. One Single Tuition Rate. All Service members attending the same 
educational institution, at the same location, enrolled in the same 
course, will be charged the same tuition rate without regard to their 
Service component. This single tuition rate includes active duty Service 
members and the National Guard and Reservists who are activated under 
Title 10 and using Title 10 Military Tuition Assistance, in order to 
assure that tuition rate distinctions are not made based on the Service 
members' branches of Service.
    (1) It is understood tuition rates may vary by mode of delivery 
(traditional or online), at the differing degree levels and programs, 
and residency designations (in-state or out-of-state). Tuition rates may 
also vary based on full-time or part-time status, daytime vs. evening 
classes, or matriculation date, such as in the case of a guaranteed 
tuition program.
    (2) It is also understood that some States have mandated State rates 
for Guard and Reservists within the State. (Those Guard and Reservists 
not activated on Title 10, U.S. Code orders).
    b. Course Enrollment Information. The educational institutions will 
provide course enrollment, course withdrawal, course cancellation, 
course completion or failure,

[[Page 456]]

grade, verification of degree completion, and billing information to the 
TA issuing Service's education office, as outlined in the Service's 
regulations and instructions.
    (1) Under section 1232g of title 20, United States Code (also known 
as ``The Family Educational Rights and Privacy Act'' and hereinafter 
referred to as ``FERPA''), DoD recognizes that educational institutions 
are required to obtain consent before sharing personally identifiable 
non-directory information with a third party. Service members must 
authorize the educational institutions to release and forward course 
enrollment information required in 4.b. to DoD prior to approval of 
course enrollment using tuition assistance.
    (2) If an educational institution wants to ensure confidentiality 
during the transmission of data to the third party, then the educational 
institution can contact the appropriate Service TA management point of 
contact to discuss security and confidentiality concerns prior to 
transmitting information.
    c. Degree Requirements and Evaluated Educational Plans.
    (1) Educational institutions will disclose general degree 
requirements for the Service member's educational program (evaluated 
educational plan) to the member and his or her Service before the 
enrollment of the Service member at the educational institution. These 
requirements, typically articulated in the educational institution's 
course catalog, should:
    (a) Include the total number of credits needed for graduation.
    (b) Divide the coursework students must complete in accordance with 
institutional academic policies into general education, required, and 
elective courses.
    (c) Articulate any additional departmental or graduate academic 
requirements, such as satisfying institutional and major field grade 
point average requirements, a passing grade in any comprehensive exams, 
or completion of a thesis or dissertation.
    (2) In addition to providing degree requirements, the educational 
institution will provide to Service members who have previous coursework 
from other accredited institutions and relevant military training and 
experiential learning an evaluated educational plan that indicates how 
many, if any, transfer credits it intends to award and how these will be 
applied toward the Service member's educational program. The evaluated 
educational plan will be provided within 60 days after admission to the 
educational institution in which the individual has selected a degree 
program and all required official transcripts have been received.
    (3) When a Service member changes his or her educational goal or 
major at the attending school and the Services' education advisor 
approves the change, then the educational institution will provide a new 
evaluated educational plan to the Service member and the Service within 
60 days. Only courses listed in the Service member's evaluated 
educational plan will be approved for TA.
    (4) Degree requirements in effect at the time of each Service 
member's enrollment will remain in effect for a period of at least 1 
year beyond the program's standard length, provided the Service member 
is in good academic standing and has been continuously enrolled or 
received an approved academic leave of absence. Adjustments to degree 
requirements may be made as a result of formal changes to academic 
policy pursuant to institutional or departmental determination, provided 
that:
    (a) They go into effect at least 2 years after affected students 
have been notified; or
    (b) In instances when courses or programs are no longer available or 
changes have been mandated by a State or accrediting body, the 
educational institution will identify low or no cost solutions, working 
with affected Service members to identify substitutions that would not 
hinder the student from graduating in a timely manner.
    (5) Degree requirements and evaluated educational plans will meet 
educational requirements for credentialing in stated career field and 
graduates of a program will be eligible for relevant professional 
license or certification. Educational institutions will disclose any 
conditions (state or agency limitations) or additional requirements 
(training, experience, or exams) required to obtain relevant 
credentials.
    d. Approved and TA Eligible Courses.
    (1) Approved Courses. If an eligible Service member decides to use 
TA, educational institutions will enroll him or her only after the TA is 
approved by the individual's Service. Service members will be solely 
responsible for all tuition costs without this prior approval. This 
requirement does not prohibit an educational institution from pre-
registering a Service member in a course in order to secure a slot in 
the course. If a school enrolls the Service member before the 
appropriate Service approves Military TA, then the Service member could 
be responsible for the tuition. All Military TA must be requested and 
approved prior to the start date of the course. The Military TA is 
approved on a course-by-course basis and only for the specific course(s) 
and class dates that a Service member requests. If a military student 
``self-identifies'' their eligibility and the Service has not approved 
the funding, then the Service member will be solely responsible for all 
tuition costs, not the Service.
    (2) TA Eligible Courses. Courses will be considered eligible for TA 
if they are:
    (a) Part of an individual's evaluated educational plan; or

[[Page 457]]

    (b) Prerequisites for courses within the individual's evaluated 
educational plan; or
    (c) Required for acceptance into a higher-level degree program, 
unless otherwise specified by Service regulations.
    e. Use of Financial Aid with TA.
    (1) ``Top-Up'' eligible active duty DoD personnel may use their 
Montgomery or Post-9/11 G.I. Bill benefit in conjunction with TA funds 
from their Service to cover those course costs to the Service member 
that exceed the amount of TA paid by his or her Service. RC members who 
qualify for Montgomery G.I. Bill benefits may use those benefits 
concurrently with TA. RC members who have earned entitlement for the 
Post-9/11 G.I. Bill can use both VA education benefits and TA, but VA 
will only pay for the portion of tuition not covered by TA; therefore, 
the combination of VA education benefits and TA will not exceed 100 
percent of the actual costs of tuition.
    (2) DoD personnel are entitled to consideration for all forms of 
financial aid that educational institutions make available to students 
at their home campus. Educational institution financial aid officers 
will provide information and application processes for Title IV student 
aid programs, scholarships, fellowships, grants, loans, etc., to DoD TA 
recipients.
    (3) Service members identified as eligible DoD TA recipients, who 
qualify for Pell Grants through ED's student aid program, will have 
their TA benefits applied to their educational institution's account 
prior to the application of their Pell Grant funds to their account. 
Unlike TA funds, which are tuition-restricted, Pell Grant funds are not 
tuition-restricted and may be applied to other allowable charges on the 
account.
    f. Administration of Tuition.
    (1) The Services will provide TA in accordance with DoD- and 
Service-appropriate regulations.
    (2) Educational institutions will comply with these requirements for 
the return of TA funds:
    (a) Return any TA Program funds directly to the Military Service, 
not to the Service member.
    (b) Up to the start date, return all (100 percent) TA funds to the 
appropriate Military Service when the Service member does not:
    (i) begin attendance at the institution or
    (ii) start a course, regardless of whether the student starts other 
courses
    (c) Return any TA funds paid for a course that is cancelled by the 
educational institution.
    (d) Have an institutional policy that returns any unearned TA funds 
on a proportional basis through at least the 60 percent portion of the 
period for which the funds were provided. TA funds are earned 
proportionally during an enrollment period, with unearned funds returned 
based upon when a student stops attending. In instances when a Service 
member stops attending due to a military service obligation, the 
educational institution will work with the affected Service member to 
identify solutions that will not result in a student debt for the 
returned portion.
    (3) Tuition charged to a Service member will in no case exceed the 
rate charged to nonmilitary students, unless agreed upon in writing by 
both the educational institution and the Service.
    (4) Educational institutions will provide their tuition charges for 
each degree program to the Services on an annual basis. Any changes in 
the tuition charges will be provided to and explained to all the 
Services, as soon as possible, but not fewer than 90 days prior to 
implementation.
    (a) Tuition charges at many public institutions are established by 
entities over which they have no jurisdiction, such as State 
legislatures and boards. As such, in some instances tuition decisions 
will not be made within the 90-day requirement window.
    (b) When this happens, the educational institution will request a 
waiver (via the DoD MOU Web page) and provide the Services with the new 
tuition charges. To the extent practicable by State law or regulation, 
Service members already enrolled will not be impacted by changes in 
tuition charges.
    (5) TA invoicing information is located in the Service-specific 
addendums attached to this MOU.
    g. Course Cancellations. Educational institutions are responsible 
for notifying Service members of class cancellations for both classroom 
and DL courses.
    h. Materials and Electronic Accessibility.
    (1) Educational institutions will ensure that course materials are 
readily available, either electronically or in print medium, and provide 
information about where the student may obtain class materials at the 
time of enrollment or registration.
    (2) Educational institution representatives will refrain from 
encouraging or requiring students to purchase course materials prior to 
confirmation of sufficient enrollments to conduct the class. Students 
will be encouraged to verify course acceptance by CCAF (Air Force only) 
or other program(s), with the responsible education advisor before 
enrolling or requesting TA.
    (3) Educational institutions will provide, where available, 
electronic access to their main administrative and academic center's 
library materials, professional services, relevant periodicals, books, 
and other academic reference and research resources in print or online 
format that are appropriate or necessary to support the courses offered. 
Additionally, educational institutions will ensure adequate print and 
non-print media resources to support all courses being offered are 
available at base or installation library

[[Page 458]]

facilities, on-site Institution resource areas, or via electronic 
transmission.
    i. Graduation Achievement Recognition.
    (1) The educational institution will issue, at no cost to the 
Government, documentation as proof of completion, such as a diploma or 
certificate, to each student who completes the respective program 
requirements and meets all financial obligations.
    (2) In accordance with Service requirements, the educational 
institution will report to the Service concerned those TA recipients who 
have completed a certificate, diploma, or degree program. Reporting will 
occur at least annually and include the degree level, major, and program 
requirements completion date.
    (3) The academic credentials for certificate, diploma, or degree 
completion will reflect the degree-granting educational institution and 
campus authorized to confer the degree.
    (a) If the Service member attends a branch of a large, multi-branch 
university system, the diploma may indicate the credential of the 
specific campus or branch of the educational institution from which the 
student received his or her degree.
    (b) Credentials will be awarded to Service members with the same 
institutional designation as non-Service members who completed the same 
course work for a degree from the same institution.
    (4) The educational institution will provide students with the 
opportunity to participate in a graduation ceremony.
    j. Reporting Requirements and Performance Metrics.
    (1) The educational institution will provide reports via electronic 
delivery on all DoD TA recipients for programs and courses offered to 
personnel as required by the cognizant Service. This includes, but is 
not limited to, TA transactions, final course grades to include 
incompletes and withdrawals, degrees awarded, certificates earned, 
evaluated educational plans, courses offered, and military graduation. 
Educational institutions providing face-to-face courses on a DoD 
installation will provide a class roster to the responsible education 
advisor. The class roster will include information such as the name of 
the instructor, the first and last name of each student (military and 
non-military), the course title, the class meeting day(s), the start and 
ending time of the class, and the class location (e.g., building and 
room number).
    (a) All reporting and transmitting of this information will be done 
in conformity with all applicable privacy laws, including FERPA.
    (b) Educational institutions will respond to these requests in a 
timely fashion, which will vary based on the specific nature and scope 
of the information requested.
    (2) The cognizant Service may evaluate the educational institution's 
overall effectiveness in administering its academic program, courses, 
and customer satisfaction to DoD. A written report of the findings will 
be provided to the educational institution. The educational institution 
will have 90 calendar days to review the report, investigate if 
required, and provide a written response to the findings.
    (3) The Services may request reports from an educational institution 
at any time, but not later than 2 years after termination of the MOU 
with such educational institution. Responses to all requests for reports 
will be provided within a reasonable period of time, and generally 
within 14 calendar days. Institutional response time will depend on the 
specific information sought by the Services in the report.
    5. Requirements and Responsibilities for the Delivery of On-
Installation Voluntary Education Programs and Services
    a. The requirements in this section pertain to educational 
institutions operating on a DoD installation.
    An installation MOU:
    (1) Is required if an educational institution is operating on a DoD 
installation.
    (2) Contains only the installation-unique requirements coordinated 
by the responsible education advisor, with concurrence from the 
appropriate Service voluntary education representative, and approved by 
the installation commander.
    (3) Cannot conflict with the DoD Voluntary Education Partnership MOU 
and governing regulations.
    b. Educational institutions will:
    (1) Agree to have a separate installation MOU if they have a Service 
agreement to provide on-installation courses or degree programs.
    (2) Comply with the installation-unique requirements in the 
installation MOU.
    (3) Agree to coordinate degree programs offered on the DoD 
installation with the responsible education advisor, who will receive 
approval from the installation commander, prior to the opening of 
classes for registration.
    (4) Admit candidates to the educational institution's on-
installation programs at their discretion; however, priority for 
registration in DoD installation classes will be given in the following 
order:
    (a) Service members.
    (b) Federally funded DoD civilian employees.
    (c) Eligible adult family members of Service members and DoD 
civilian employees.
    (d) Military retirees.
    (e) Non-DoD personnel.
    (5) Provide the responsible education advisor, as appropriate, a 
tentative annual schedule of course offerings to ensure that the 
educational needs of the military population

[[Page 459]]

on the DoD installation are met and to ensure no course or scheduling 
conflicts with other on-installation programs.
    (6) Provide instructors for their DoD installation courses who meet 
the criteria established by the educational institution to qualify for 
employment as a faculty member on the main administrative and academic 
center.
    (7) Inform the responsible education advisor about cancellations for 
classroom-based classes on DoD installations per the guidelines set 
forth in the separate installation MOU.
    c. The Services' designated installation representative (usually the 
responsible education advisor), will be responsible for determining the 
local voluntary education program needs for the serviced military 
population and for selecting the off-duty educational programs to be 
provided on the DoD installation, in accordance with the Services' 
policies. The Service, in conjunction with the educational institution, 
will provide support services essential to operating effective 
educational programs. All services provided will be commensurate with 
the availability of resources (personnel, funds, and equipment). This 
support includes:
    (1) Classroom and office space, as available. The Service will 
determine the adequacy of provided space.
    (2) Repairs as required to maintain office and classroom space in 
``good condition'' as determined by the Service, and utility services 
for the offices and classrooms of the educational institution located on 
the DoD installation (e.g., electricity, water, and heat).
    (3) Standard office and classroom furnishings within available 
resources. No specialized equipment will be provided.
    (4) Janitorial services in accordance with DoD installation facility 
management policies and contracts.
    d. The Service reserves the right to disapprove DoD installation 
access to any employee or agent of the educational institution employed 
to carry out any part of this MOU.
    e. Operation of a privately owned vehicle by educational institution 
employees on the DoD installation will be governed by the DoD 
installation's policies.
    f. The responsible education advisor will check with his or her 
Service's responsible office for voluntary education before allowing an 
educational institution to enter into an MOU with the DoD installation.
    6. Review, Modifications, Signatures, Effective Date, Expiration 
Date, and Cancellation Provision.
    a. Review. The signatories (or their successors) will review this 
MOU periodically in coordination with the Services, but no less than 
every 5 years to consider items such as current accreditation status, 
updated program offerings, and program delivery services.
    b. Modifications. Modifications to this MOU will be in writing and, 
except for those required due to a change in State or Federal law, will 
be subject to approval by both of the signatories below, or their 
successors.
    c. Signatures. The authorized signatory for DoD will be designated 
by the USD(P&R). The authorized signatory for the educational 
institution will be determined by the educational institution.
    d. Effective Date. This MOU is effective on the date of the later 
signature.
    e. Expiration Date. This MOU will expire 5 years from the effective 
date, unless terminated or updated prior to that date in writing by DoD 
or the educational institution.
    f. Cancellation Provision. This MOU may be cancelled by either DoD 
or the educational institution 30 days after receipt of the written 
notice from the cancelling party. In addition, termination and 
suspension of an MOU with an educational institution may be done at any 
time for failure to follow a term of this MOU or misconduct in 
accordance paragraphs (a)(18)(i) through (a)(18)(iii) of Sec. 68.6.

FOR THE DEPARTMENT OF DEFENSE:

________________________________________________________________________
DESIGNATED SIGNATORY

________________________________________________________________________
DATE

________________________________________________________________________
FOR THE EDUCATIONAL INSTITUTION:

________________________________________________________________________
PRESIDENT or Designee

________________________________________________________________________
DATE

________________________________________________________________________



  Sec. Appendix B to Part 68--Addendum for Education Services Between 
     [Name of Educational Institution] and the U.S. Air Force (USAF)

    1. Purpose. This addendum is between (Name of Educational 
Institution), hereafter referred to as the ``Institution,'' and the 
United States Air Force (USAF). The purpose of this agreement is to 
provide guidelines and procedures for the delivery of educational 
services to Service members, DoD civilian employees, eligible adult 
family members, military retirees, and non-DoD personnel not covered in 
the DoD Voluntary Education Partnership Memorandum of Understanding 
(MOU) between the DoD Office of the Under Secretary of Defense for 
Personnel and Readiness and the Institution. This addendum is not to be 
construed in any way as giving rise to a contractual obligation of the 
USAF to provide funds to the Institution that would be contrary to 
Federal law.

[[Page 460]]

    2. Responsibilities.
    a. USAF Education and Training Section (ETS) Chief. The USAF ETS 
Chief will:
    (1) Maintain a continuing liaison with the designated Institution 
representative and be responsible for inspections and the acceptance of 
the Institution's services. The ETS Chief will assist the Institution 
representative to provide military and USAF culture orientation to the 
Institution personnel.
    (2) Review requests from Institutions with no on-installation MOU 
for permission of DoD installation access and space within the ETS to 
counsel current students, provide information briefings and materials, 
attend education fairs, and provide other informational services 
approved by the installation commander. Approval depends on the 
installation commander. Approval of any school eligible for Military TA 
will be extended equally to all such schools; same time allotment, 
space, and frequency.
    (3) Assist the Institution or refer them to the information 
technology contractor for training in the use of the Academic 
Institution Portal (AI Portal) regarding input of Institution 
information, degree offerings, tuition rates, grades, invoices, degree 
completions, and search tools pre-built into the USAF online Voluntary 
Education System.
    b. Institutions will:
    (1) Appoint and designate an Institution representative to maintain 
a continuing liaison with the USAF ETS Chief.
    (2) Provide general degree requirements to each member for his or 
her education program and the ETS as soon as he or she makes known their 
intention to register with the Institution and while awaiting final 
evaluation of transfer credits.
    (3) Assume responsibility for the administration and proctoring of 
all course examinations not normally administered and proctored within 
the traditional, in-the-classroom setting.
    (4) Provide to airmen, upon their request, information on 
Institution policies including, but not limited to, course withdrawal 
dates and penalties, course cancellation procedures, course grade 
publication, billing practices, and policy regarding incompletion of a 
course. Face-to-face counseling is not required.
    (5) Register and use the AI Portal to input Institution basic 
information, degree offerings, tuition rates, invoice submission, course 
grades submission, degree completions, and to pull pre-established 
educational institution reports while conducting business with the USAF.
    (6) Submit one consolidated invoice per term via the AI Portal for 
each class in which active duty military airmen are enrolled using Mil 
TA. Submission will be made during the term, no earlier than after the 
final add/drop/census date, and no later than 30 calendar days after the 
end of the term.
    (7) Submit course grades via the AI Portal for each class in which 
active duty military airmen are enrolled using Mil TA. Submission will 
be made no later than 30 calendar days after the end of the term.
    (8) Adopt the AI Portal procedures for all payment processing. 
Institutions with a current waiver may continue to participate at the 
discretion of Air Force Voluntary Education Branch.
    (9) Provide a list of program graduates via the AI Portal consisting 
of student name, program title, program type (such as bachelor's 
degree), and date of graduation no later than 30 calendar days after the 
end of the term in which graduation requirements are completed. If the 
AI Portal is not available, provide directly to the base Education and 
Training Section.
    c. Institutions with no on-installation MOU are authorized to 
request permission for DoD installation access and space within the ETS 
to counsel current students, provide information briefings and 
materials, attend education fairs, and other informational services. 
Approval depends on the installation commander. If approval is granted, 
then all other permissions will be authorized equally for any school 
eligible for Military TA; the same time allotment, space, and frequency.
    d. All Institutions with an on-installation MOU or invitation for an 
on-installation activity, such as an educational fair, are authorized to 
counsel or provide information on any of their programs.
    3. Additional Guidelines
    a. In addition to DoD policy outlined in the DoD Voluntary Education 
Partnership MOU, the authorization of Mil TA is further governed by Air 
Force Instruction (AFI) 36-2306, as well as applicable policy and 
guidance.
    b. DoD installation access of non-DoD and non-installation personnel 
is at the discretion of the installation commander. Access once provided 
can be revoked at any time due to military necessity or due to conduct 
that violates DoD installation rules or policies.
    c. No off-base school will be given permanent space or scheduled for 
regularly recurring time on-base for student counseling.



  Sec. Appendix C to Part 68--Addendum for Education Services Between 
           [Name of Educational Institution] and the U.S. Army

    1. Purpose. This addendum is between (Name of Educational 
Institution), hereafter referred to as the ``Institution,'' and the 
United States Army. The purpose of this

[[Page 461]]

agreement is to provide guidelines and procedures for the delivery of 
educational services to Service members, DoD civilian employees, 
eligible adult family members, military retirees, and non-DoD personnel 
not covered in the DoD Voluntary Education Partnership Memorandum of 
Understanding between the DoD Office of the Under Secretary of Defense 
for Personnel and Readiness and the Institution. This addendum is not to 
be construed in any way as giving rise to a contractual obligation of 
the U.S. Army to provide funds to the Institution that would be contrary 
to Federal law.
    2. Responsibilities.
    a. Army Education Services Officer (ESO): In support of this 
addendum, the Army ESO will maintain a continuing liaison with a 
designated Institution representative and be responsible for inspections 
and the acceptance of the Institution's services. The ESO will provide 
assistance to the Institution representative to provide military and 
Army culture orientation to the Institution personnel.
    b. Institutions. The Institution will:
    (1) Appoint and designate an Institution representative to maintain 
a continuing liaison with the Army ESO.
    (2) Adopt the GoArmyEd processes. GoArmyEd is the Army Continuing 
Education System (ACES) centralized and streamlined management system 
for the Army's postsecondary voluntary education programs. Existing MOUs 
or Memorandums of Agreement, Tri-Services contracts, or other contracts 
that Institutions may have with DoD installations and ACES remain in 
place and will be supplemented with DoD Instruction 1322.25.
    (3) Agree to all of the terms in the ACES policies and procedures, 
available at https://www.hrc.army.mil/site/education/GoArmyEd--School--
Instructions.html, such as: Invoicing, grades, reports, library 
references, etc. For non-Letter of Instruction (LOI) institutions 
satisfying paragraph 3.f. of this MOU, any requirements in ACES policies 
and procedures requiring institutions to be a member of SOC are hereby 
waived.
    (4) Institutions currently participating with GoArmyEd as LOI and 
non-LOI schools, may continue to do so at the discretion of 
Headquarters, ACES. Non-LOI schools will be subject to the requirements 
of paragraphs 2.b.(2) and 2.b.(3) of this MOU only to the extent that 
their existing non-LOI agreement with the U.S. Army provides.



  Sec. Appendix D to Part 68--Addendum for Education Services Between 
       [Name Of Educational Institution] and the U.S. Marine Corps

    1. Purpose. This addendum is between (Name of Educational 
Institution), hereafter referred to as the ``Institution,'' and the U.S. 
Marine Corps. The purpose of this agreement is to provide guidelines and 
procedures for the delivery of educational services to Service members, 
DoD civilian employees, eligible adult family members, military 
retirees, and non-DoD personnel not covered in the DoD Voluntary 
Education Partnership Memorandum of Understanding between the DoD Office 
of the Under Secretary of Defense for Personnel and Readiness and the 
Institution. This addendum is not to be construed in any way as giving 
rise to a contractual obligation of the U.S. Marine Corps to provide 
funds to the Institution that would be contrary to Federal law.
    2. Responsibilities.
    a. Marine Corps Education Services Officer (ESO): In support of this 
addendum, the Marine Corps ESO will maintain a continuing liaison with a 
designated Institution representative and be responsible for inspections 
and the acceptance of the Institution's services. The ESO will provide 
assistance to the Institution representative to provide military and 
Marine Corps culture orientation to the Institution personnel.
    b. Institution. The Institution will:
    (1) Appoint and designate an Institution representative to maintain 
a continuing liaison with the Marine Corps ESO.
    (2) Provide open enrollment during a designated time periods in 
courses conducted through media (e.g., portable media devices or 
computer-aided). Those courses will be on an individual enrollment 
basis.
    (3) When operating on a Marine Corps installation, provide all 
required equipment when the Institution provides instruction via media.
    (4) When operating on a Marine Corps installation, provide library 
services to the Marine Corps installation for students in the form of 
research and reference materials (e.g., books, pamphlets, magazines) of 
similar quality to the support provided students on the institution's 
home campus. Services will also include research and reference material 
in sufficient quantity to meet curriculum and program demands. Materials 
will be, at a minimum, the required readings of the instructor(s) for a 
particular course or program, or the ability for the student to request 
a copy of such material, from the institution's main library, without 
any inconvenience or charge to the student (e.g., a library computer 
terminal that may allow students to order material and have it mailed to 
their residence).
    (5) Permit employment of off-duty military personnel or Government 
civilian employees by the institution, provided such employment does not 
conflict with the policies set forth in DoD Regulation 5500.7-R. 
However, Government personnel employed in any way in the administration 
of this addendum will be excluded from such employment because of 
conflict of interest.

[[Page 462]]

    3. Billing Procedures, And Formal Grades.
    a. Comply with wide area work flow process for invoicing tuition 
assistance available at https://www.navycollege.navy.mil/links.
    b. Grades will be submitted through the Navy College Management 
Information System grade entry application.
    c. Grade reports will be provided to the Naval Education and 
Training Professional Development and Technology Center within 30 days 
of term ending or completion of the course, whichever is earlier.



  Sec. Appendix E to Part 68--Addendum for Education Services Between 
           [Name of Educational Institution] and the U.S. Navy

    1. Purpose. This addendum is between (Name of Educational 
Institution), hereafter referred to as the ``Institution,'' and the U.S. 
Navy. The purpose of this agreement is to provide guidelines and 
procedures for the delivery of educational services to Service members, 
DoD civilian employees, eligible adult family members, military 
retirees, and non-DoD personnel not covered in the DoD Voluntary 
Education Partnership Memorandum of Understanding (MOU) between the DoD 
Office of the Under Secretary of Defense for Personnel and Readiness and 
the Institution. This addendum is not to be construed in any way as 
giving rise to a contractual obligation of the Department of the Navy to 
provide funds to the Institution that would be contrary to Federal law.
    2. Responsibilities.
    a. Commanding Officer responsible for execution of the Voluntary 
Education Program. The commanding officer responsible for execution of 
the voluntary education program will:
    (1) Determine the local voluntary education program needs for the 
Navy population to be served and recommend to the installation commander 
the educational programs to be offered on the base;
    (2) Administer this agreement and provide program management 
support;
    (3) Manage the Navy College Program Distance Learning Partnership 
(NCPDLP) agreements.
    b. Navy College Office (NCO): In support of this addendum, the NCO 
will maintain a continuing liaison with the designated Institution 
representative and be responsible for inspections and the acceptance of 
the Institution's services. The NCO will provide assistance to the 
Institution representative to provide military and Navy culture 
orientation to the Institution personnel.
    c. Institution. The Institution will:
    (1) If a distance learning partner institution:
    (i) Comply with NCPDLP agreements, if an institution participates in 
NCPDLP.
    (ii) Provide a link to the institution through the Navy College 
Program Web site, only if designated as an NCPDLP school.
    (iii) Display the Institution's advertising materials (i.e., 
pamphlets, posters, and brochures) at all NCOs, only if designated as an 
NCPDLP school.
    (2) Appoint and designate an Institution representative to maintain 
a continuing liaison with the NCO staff.
    (3) Comply with wide area work flow processes for invoicing of 
tuition assistance available at https://www.navycollege.navy.mil/links. 
Grades will be submitted to the Navy College Management Information 
System grade entry application.
    (4) Ensure library resource arrangements are in accordance with the 
standards of the Institution's accrediting association and the State 
regulatory agency having jurisdiction over the Institution.
    (5) Respond to email messages from students within a reasonable 
period of time--generally within two workdays, unless extenuating 
circumstances would justify additional time.
    (6) Comply with host command procedures before starting instructor-
based courses on any Navy installation. The NCO will negotiate a 
separate agreement with the Institution in concert with the host command 
procedures.
    (7) Mail an official transcript indicating degree completion, at no 
cost to the sailor or the Government to: Center for Personal and 
Professional Development, ATTN: Virtual Education Center, 1905 Regulus 
Ave., Suite 234, Virginia Beach, VA 23461-2009.



PART 69_SCHOOL BOARDS FOR DEPARTMENT OF DEFENSE DOMESTIC DEPENDENT 
ELEMENTARY AND SECONDARY SCHOOLS--Table of Contents



Sec.
69.1 Purpose.
69.2 Applicability and scope.
69.3 Definitions.
69.4 Policy.
69.5 Responsibilities.
69.6 Procedures.

    Authority: 10 U.S.C. 2164.

    Source: 61 FR 60563, Nov. 29, 1996, unless otherwise noted.



Sec. 69.1  Purpose.

    This part prescribes policies and procedures for the establishment 
and operation of elected School Boards for schools operated by the 
Department of Defense (DoD) under 10 U.S.C. 2164, 32 CFR part 345, and 
Public Law 92-463.

[[Page 463]]



Sec. 69.2  Applicability and scope.

    This part applies to:
    (a) The Office of the Secretary of Defense (OSD), the Military 
Departments, the Coast Guard when operating as a service of the 
Department of the Navy or by agreement between DoD and the Department of 
Transportation, the Chairman of the Joint Chiefs of Staff, the Unified 
and Specified Combatant Commands, the Inspector General of the 
Department of Defense, the Uniformed Services University of the Health 
Sciences, the Defense Agencies, and the DoD Field Activities.
    (b) The schools (prekindergarten through grade 12) operated by the 
DoD under 10 U.S.C. 2164 and 32 CFR part 345 within the continental 
United States, Alaska, Hawaii, Puerto Rico, Wake Island, Guam, American 
Samoa, the Northern Mariana Islands, and the Virgin Islands, known as 
DoD DDESS Arrangements.
    (c) This part does not apply to elected school boards established 
under state or local law for DoD DDESS special arrangements.



Sec. 69.3  Definitions.

    (a) Arrangements. Actions taken by the Secretary of Defense to 
provide a free public education to dependent children under 10 U.S.C. 
2164 through DoD DDESS arrangements or DoD DDESS special arrangements:
    (1) DDESS arrangement. A school operated by the Department of 
Defense under 10 U.S.C. 2164 and 32 CFR 345 to provide a free public 
education for eligible children.
    (2) DDESS special arrangement. An agreement, under 10 U.S.C. 2164, 
between the Secretary of Defense, or designee, and a local public 
education agency whereby a school or a school system operated by the 
local public education agency provides educational services to eligible 
dependent children of U.S. military personnel and federally employed 
civilian personnel. Arrangements result in partial or total Federal 
funding to the local public education agency for the educational 
services provided.
    (b) Parent. The biological father or mother of a child when parental 
rights have not been legally terminated; a person who, by order of a 
court of competent jurisdiction, has been declared the father or mother 
of a child by adoption; the legal guardian of a child; or a person in 
whose household a child resides, provided that such person stands in 
loco parentis to that child and contributes at least one-half of the 
child's support.



Sec. 69.4  Policy.

    (a) Each DoD DDESS arrangement shall have an elected school board, 
established and operated in accordance with this part and other 
pertinent guidance.
    (b) Because members of DoD DDESS elected school boards are not 
officers or employees of the United States appointed under the 
Appointments Clause of the United States Constitution (Art. II, Sec. 2, 
Cl. 2), they may not exercise discretionary governmental authority, such 
as the taking of personnel actions or the establishment of governmental 
policies. This part clarifies the role of school boards in the 
development and oversight of fiscal, personnel, and educational 
policies, procedures, and programs for DoD DDESS arrangements, subject 
to these constitutional limitations.
    (c) The DoD DDESS chain of command for matters relating to school 
arrangements operated under 10 U.S.C. 2164 and 32 CFR part 345 shall be 
from the Director, DoD DDESS, to the Superintendent of each school 
arrangement. The Superintendent will inform the school board of all 
matters affecting the operation of the local school arrangement. Direct 
liaison among the school board, the Director, and the Superintendent is 
authorized for all matters pertaining to the local school arrangement.



Sec. 69.5  Responsibilities.

    The Assistant Secretary of Defense for Force Management Policy (ASD 
(FMP)), under the Under Secretary of Defense for Personnel and 
Readiness, shall:
    (a) Make the final decision on all formal appeals to directives and 
other guidance submitted by the school board or Superintendent.
    (b) Ensure the Director, DoD DDESS shall:

[[Page 464]]

    (1) Ensure the establishment of elected school boards in DoD DDESS 
arrangements.
    (2) Monitor compliance by the Superintendent and school boards with 
applicable statutory and regulatory requirements, and this part. In the 
event of suspected noncompliance, the Director, DoD DDESS, shall take 
appropriate action, which will include notification of the 
Superintendent and the school board president of the affected DoD DDESS 
arrangement.
    (3) Determine when the actions of a school board conflict with an 
applicable statute, regulation, or other guidance or when there is a 
conflict in the views of the school board and the Superintendent. When 
such conflicts occur, the Director, DoD DDESS, shall assist the 
Superintendent and the school board in resolving them or direct that 
such actions be discontinued. Such disapprovals must be in writing to 
the school board and the Superintendent concerned and shall state the 
specific supporting reason or reasons.
    (c) Ensure the school board for DoD DDESS arrangements shall:
    (1) Participate in the development and oversight of fiscal, 
personnel, and educational policies, procedures, and programs for the 
DoD DDESS arrangement concerned, consistent with this part.
    (2) Approve agendas and prepare minutes for school board meetings. A 
copy of the approved minutes of school board meetings shall be forwarded 
to the Director, DoD DDESS, within 10 working days after the date the 
minutes are approved.
    (3) Provide to the Director, DoD DDESS, names of applicants for a 
vacancy in the Superintendent's position after a recruitment has been 
accomplished. The school board shall submit to the Director, DoD DDESS, 
a list of all applicants based on its review of the applications and 
interviews (either in person or telephonically) of the applicants. The 
list of applicants will be accompanied by the recommended choice of the 
school board. The Director will select the Superintendent and will 
submit written notice with justification to the school board if the 
recommendation of the school board is not followed.
    (4) Prepare an annual written on-site review of the Superintendent's 
performance for consideration by the Director, DoD DDESS. The written 
review shall be based on critical elements recommended by the school 
board and Superintendent and approved by the Director, DoD DDESS. The 
school board's review will be an official attachment to the 
Superintendent's appraisal.
    (5) Participate in the development of the school system's budget for 
submission to the Director, DoD DDESS, for his or her approval as 
endorsed by the school board; and participate in the oversight of the 
approved budget, in conjunction with the Superintendent, as appropriate 
for operation of the school arrangement.
    (6) Invite the Superintendent or designee to attend all school board 
meetings.
    (7) Provide counsel to the Superintendent on the operation of the 
school and the implementation of the approved budget.
    (8) Channel communications with school employees to the DoD DDESS 
Superintendent. Refer all applications, complaints, and other 
communications, oral or written, to the DoD DDESS Arrangement 
Superintendents.
    (9) Participate in the development of school policies, rules, and 
regulations, in conjunction with the Superintendent, and recommend which 
policies shall be reflected in the School Policy Manual. At a minimum, 
the Policy Manual, which shall be issued by the Superintendent, shall 
include following:
    (i) A statement of the school philosophy.
    (ii) The role and responsibilities of school administrative and 
educational personnel.
    (iii) Provisions for promulgation of an annual school calendar.
    (iv) Provisions on instructional services, including policies for 
development and adoption of curriculum and textbooks.
    (v) Regulations affecting students, including attendance, grading, 
promotion, retention, and graduation criteria, and the student code of 
rights, responsibilities, and conduct.

[[Page 465]]

    (vi) School policy on community relations and noninstructional 
services, including maintenance and custodial services, food services, 
and student transportation.
    (vii) School policy and legal limits on financial operations, 
including accounting, disbursing, contracting, and procurement; 
personnel operations, including conditions of employment, and labor 
management regulations; and the processing of, and response to, 
complaints.
    (viii) Procedures providing for new school board member orientation.
    (ix) Any other matters determined by the school board and the 
superintendent to be necessary.
    (10) Under 10 U.S.C. 2164(b)(4)(B), prepare and submit formal 
appeals to directives and other guidance that in the view of the school 
board adversely impact the operation of the school system either through 
the operation and management of DoD DDESS or a specific DoD DDESS 
arrangement. Written formal appeals with justification and supporting 
documentation shall be submitted by the school board or Superintendent 
to ASD(FMP). The ASD(FMP) shall make the final decision on all formal 
appeals. The Director, Dod DDESS, will provide the appealing body 
written review of the findings relating to the merits of the appeal. 
Formal appeals will be handled expeditiously by all parties to minimize 
any adverse impact on the operation of the DoD DDESS system.
    (d) Ensure school board operating procedures are as follows:
    (1) The school board shall operate from a written agenda at all 
meetings. Matters not placed on the agenda before the start of the 
meeting, but approved by a majority of the school board present, may be 
considered at the ongoing meeting and added to the agenda at that time.
    (2) A majority of the total number of school board members 
authorized shall constitute a quorum.
    (3) School board meetings shall be conducted a minimum of 9 times a 
year. The school board President or designee will provide school board 
members timely notice of all meetings. All regularly scheduled school 
board meetings will be open to the public. Executive session meetings 
may be closed under 10 U.S.C. 2164(d)(6).
    (4) The school board shall not be bound in any way by any action or 
statement of an individual member or group of members of the board 
except when such action or statement is approved by a majority of the 
school board members during a school board meeting.
    (5) School board members are eligible for reimbursement for official 
travel in accordance with the DoD Joint Travel Regulations and guidance 
issued by the Director, DoD DDESS.
    (6) School board members may be removed by the ASD (FMP) for 
dereliction of duty, malfeasance, or other grounds for cause shown. The 
school board concerned may recommend such removal with a two-thirds 
majority vote. Before a member may be removed, the member shall be 
afforded due process, to include written notification of the basis for 
the action, review of the evidence or documentation considered by the 
school board, and an opportunity to respond to the allegations.



Sec. 69.6  Procedures.

    (a) Composition of school board. (1) The school board shall 
recommend to the Director, DoD DDESS, the number of elected school board 
voting members, which shall be not fewer than 3 and no more than 9, 
depending upon local needs. The members of the school board shall select 
by majority vote of the total number of school board members authorized 
at the beginning of each official school board term, one member to act 
as President and another to act as Vice President. The President and 
Vice President shall each serve for 1 year. The President shall preside 
over school board meetings and provide leadership for related activities 
and functions. The Vice President shall serve in the absence of the 
President. If the position of President is vacated for any reason, the 
Vice President shall be the President until the next regularly scheduled 
school board election. The resulting vacancy in the position of the Vice 
President shall be filled by the majority vote of all members of the 
incumbent board.

[[Page 466]]

    (2) The DoD DDESS Arrangement Superintendent, or designee, shall 
serve as a non-voting observer to all school board meetings. The 
Installation Commander, or designee, shall convey command concerns to 
the school board and the Superintendent and keep the school board and 
the Superintendent informed of changes and other matters within the host 
installation that affect school expenditures or operations.
    (3) School board members may not receive compensation for their 
service on the school board.
    (4) Members of the school board may not have any financial interest 
in any company or organization doing business with the school system. 
Waivers to this restriction may be granted on a case-by-case basis by 
the Director, DoD DDESS, in coordination with the Office of General 
Counsel of the Department of Defense.
    (b) Electorate of the school board. The electorate for each school 
board seat shall be composed of parents of the students attending the 
school. Each member of the electorate shall have one vote.
    (c) Election of school board members. (1) To be elected as a member 
of the school board, an individual must be a resident of the military 
installation in which the DoD DDESS arrangement is located, or in the 
case of candidates for the Antilles Consolidated School System School 
Board, be the parent of an eligible child currently enrolled in the 
school system. Personnel employed by a DoD DDESS arrangement may not 
serve as school board members.
    (2) The board shall determine the term of office for elected 
members, not to exceed 3 years, and the limit on the number of terms, if 
any. If the board fails to set these terms by the first day of the first 
full month of the school year, the terms will be set at 3 years, with a 
maximum of 2 consecutive terms.
    (3) When there is a sufficient number of school board vacancies that 
result in not having a quorum, which is defined as a majority of seats 
authorized, a special election shall be called by the DoD DDESS 
Arrangement Superintendent or designee. A special election is an 
election that is held between the regularly scheduled annual school 
board election. The nomination and election procedures for a special 
election shall be the same as those of regularly scheduled school board 
elections. Individuals elected by special election shall serve until the 
next regularly scheduled school board election. Vacancies may occur due 
to the resignation, death, removal for cause, transfer, or disenrollment 
of a school board member's child(ren) from the DoD DDESS arrangement.
    (4) The board shall determine a schedule for regular elections. 
Parents shall have adequate notice of the time and place of the 
election. The election shall be by secret ballot. All votes must be cast 
in person at the time and place of the election. The candidate(s) 
receiving the greatest number of votes shall be elected as school board 
member(s).
    (5) Each candidate for school board membership must be nominated in 
writing by at least one member of the electorate to be represented by 
the candidate. Votes may be cast at the time of election for write-in 
candidates who have not filed a nomination petition if the write-in 
candidates otherwise are qualified to serve in the positions sought.
    (6) The election process shall provide staggered terms for board 
members; e.g., on the last day of the last month of each year, the term 
for some board members will expire.
    (7) The DoD DDESS Superintendent, in consultation with the school 
board, shall be responsible for developing the plans for nominating 
school board members and conducting the school board election and the 
special election process. The DoD DDESS Superintendent shall announce 
election results within 7 working days of the election.



PART 70_DISCHARGE REVIEW BOARD (DRB) PROCEDURES AND STANDARDS--
Table of Contents



Sec.
70.1 Reissuance and purpose.
70.2 Applicability.
70.3 Definitions.
70.4 Responsibilities.
70.5 Procedures.
70.6 Information requirements.
70.7 Effective date and implementation.

[[Page 467]]

70.8 Discharge review procedures.
70.9 Discharge review standards.
70.10 Complaints concerning decisional documents and index entries.
70.11 DoD semiannual report.

    Authority: 10 U.S.C. 1553 and 38 U.S.C. 101 and 3103, as amended.

    Source: 47 FR 37785, Aug. 26, 1982, unless otherwise noted.



Sec. 70.1  Reissuance and purpose.

    This part is reissued and:
    (a) Establishes uniform policies, procedures, and standards for the 
review of discharges or dismissals under 10 U.S.C. 1553.
    (b) Provides guidelines for discharge review by application or on 
motion of a DRB, and the conduct of discharge reviews and standards to 
be applied in such reviews which are designed to ensure historically 
consistent uniformity in execution of this function, as required under 
Pub. L. 95-126.
    (c) Assigns responsibility for administering the program.
    (d) Makes provisions for public inspection, copying, and 
distribution of DRB documents through the Armed Forces Discharge Review/
Correction Board Reading Room.
    (e) Establishes procedures for the preparation of decisional 
documents and index entries.
    (f) Provides guidance for processing complaints concerning 
decisional documents and index entries.



Sec. 70.2  Applicability.

    The provisions of this part 70 apply to the Office of the Secretary 
of Defense (OSD) and the Military Departments. The terms, ``Military 
Services,'' and ``Armed Forces,'' as used herein, refer to the Army, 
Navy, Air Force and Marine Corps.



Sec. 70.3  Definitions.

    (a) Applicant. A former member of the Armed Forces who has been 
discharged or dismissed administratively in accordance with Military 
Department regulations or by sentence of a court-martial (other than a 
general court-martial) and under statutory regulatory provisions whose 
application is accepted by the DRB concerned or whose case is heard on 
the DRB's own motion. If the former member is deceased or incompetent, 
the term ``applicant'' includes the surviving spouse, next-of-kin, or 
legal representative who is acting on behalf of the former member. When 
the term ``applicant'' is used in Sec. Sec. 70.8 through 70.10, it 
includes the applicant's counsel or representative, except that the 
counsel or representative may not submit an application for review, 
waive the applicant's right to be present at a hearing, or terminate a 
review without providing the DRB an appropriate power of attorney or 
other written consent of the applicant.
    (b) Complainant. A former member of the Armed Forces (or the former 
member's counsel) who submits a complaint under Sec. 70.10 with respect 
to the decisional document issued in the former member's own case; or a 
former member of the Armed Forces (or the former member's counsel) who 
submits a complaint under Sec. 70.10 stating that correction of the 
decisional document will assist the former member in preparing for an 
administrative or judicial proceeding in which the former member's own 
discharge will be at issue.
    (c) Counsel or Representative. An individual or agency designated by 
the applicant who agrees to represent the applicant in a case before the 
DRB. It includes, but is not limited to: a lawyer who is a member of the 
bar of a Federal court or of the highest court of a State; an accredited 
representative designated by an organization recognized by the 
Administrator of Veterans Affairs; a representative from a State agency 
concerned with veterans affairs; and representatives from private 
organizations or local government agencies.
    (d) Discharge. A general term used in this Directive that includes 
dismissal and separation or release from active or inactive military 
status, and actions that accomplish a complete severance of all military 
status. This term also includes the assignment of a reason for such 
discharge and characterization of service (32 CFR part 41).
    (e) Discharge Review. The process by which the reason for 
separation, the procedures followed in accomplishing separation, and the 
characterization of

[[Page 468]]

service are evaluated. This includes determinations made under the 
provisions of 38 U.S.C. 3103(e)(2).
    (f) Discharge Review Board (DRB). An administrative board 
constituted by the Secretary of the Military Department concerned and 
vested with discretionary authority to review discharges and dismissals 
under the provisions of 10 U.S.C. 1553. It may be configured as one main 
element or two or more elements as designated by the Secretary 
concerned.
    (g) DRB Panel. An element of a DRB, consisting of five members, 
authorized by the Secretary concerned to review discharges and 
dismissals.
    (h) DRB Traveling or Regional Panel. A DRB panel that conducts 
discharge reviews in a location outside the National Capital Region 
(NCR).
    (i) Hearing. A review involving an appearance before the DRB by the 
applicant or on the applicant's behalf by a counsel or representative.
    (j) Hearing Examination. The process by which a designated officer 
of a DRB prepares a presentation for consideration by a DRB in 
accordance with regulations prescribed by the Secretary concerned.
    (k) National Capital Region (NCR). The District of Columbia; Prince 
Georges and Montgomery Counties in Maryland; Arlington, Fairfax, 
Loudoun, and Prince William Counties in Virginia; and all cities and 
towns included within the outer boundaries of the foregoing counties.
    (l) President, DRB. A person designated by the Secretary concerned 
and responsible for the supervision of the discharge review function and 
other duties as assigned.



Sec. 70.4  Responsibilities.

    (a) The Secretaries of the Military Departments have the authority 
for final decision and the responsibility for the operation for their 
respective discharge review programs under 10 U.S.C. 1553.
    (b) The Assistant Secretary of Defense (Manpower, Reserve Affairs, 
and Logistics) (ASD(MRA&L)) shall:
    (1) Resolve all issues concerning DRBs that cannot be resolved among 
the Military Departments.
    (2) Ensure uniformity among the Military Departments in the rights 
afforded applicants in discharge reviews.
    (3) Modify or supplement the enclosures to this part.
    (4) Maintain the index of decisions and provide for timely 
modification of index categories to reflect changes in discharge review 
policies, procedures, and standards issued by the OSD and the Military 
Departments.
    (c) The Secretary of the Army, as the designated administrative 
focal point for DRB matters, shall:
    (1) Effect necessary coordination with other governmental agencies 
regarding continuing applicability of this part and resolve 
administrative procedures relating thereto.
    (2) Review suggested modifications to this part, including 
implementing documents; monitor the implementing documents of the 
Military Departments; resolve differences, when practicable; recommend 
specific changes; provide supporting rationale to the ASD(MRA&L) for 
decision; and include appropriate documentation through the Office of 
the ASD(MRA&L) and the OSD Federal Register liaison officer to effect 
publication in the Federal Register.
    (3) Maintain the DD Form 293, ``Application for Review of Discharge 
or Separation from the Armed Forces of the United States,'' and 
republish as necessary with appropriate coordination of the other 
Military Departments and the Office of Management and Budget.
    (4) Respond to all inquiries from private individuals, 
organizations, or public officials with regard to DRB matters. When the 
specific Military Service can be identified, refer such correspondence 
to the appropriate DRB for response or designate an appropriate activity 
to perform this task.
    (5) Provide overall guidance and supervision to the Armed Forces 
Discharge Review/Correction Board Reading Room with staff augmentation, 
as required, by the Departments of the Navy and Air Force.
    (6) Ensure that notice of the location, hours of operation, and 
similar types of information regarding the Reading Room is published in 
the Federal Register.

[[Page 469]]



Sec. 70.5  Procedures.

    (a) Discharge review procedures are prescribed in Sec. 70.8.
    (b) Discharge Review Standards are prescribed in Sec. 70.9 and 
constitute the basic guidelines for the determination whether to grant 
or deny relief in a discharge review.
    (c) Complaint Procedures about decisional documents are prescribed 
in Sec. 70.10.



Sec. 70.6  Information requirements.

    (a) Reporting requirements. (1) The reporting requirement prescribed 
in Sec. 70.8(n) is assigned Report Control Symbol DD-M(SA)1489.
    (2) All reports must be consistent with DoD Directive 5000.11, 
``Data Elements and Data Codes Standardization Program,'' December 7, 
1964.
    (b) Use of standard data elements. The data requirements prescribed 
by this part shall be consistent with DoD 5000.12-M, ``DoD Manual for 
Standard Data Elements,'' December 1981. Any reference to a date should 
appear as (YYMMDD), while any name entry should appear as (Last name, 
first name, middle initial).



Sec. 70.7  Effective date and implementation.

    This part is effective immediately for the purpose of preparing 
implementing documents. DoD Directive 1332.28, March 29, 1978, is 
officially canceled, effective November 27, 1982. This part applies to 
all discharge review proceedings conducted on or after November 27, 
1982. Sec. 70.10 applies to all complaint proceedings conducted on or 
after September 28, 1982. Final action on complaints shall not be taken 
until September 28, 1982, unless earlier corrective action is requested 
expressly by the applicant (or the applicant's counsel) whose case is 
the subject of the decisional document. If earlier corrective action is 
requested, it shall be taken in accordance with Sec. 70.10.



Sec. 70.8  Discharge review procedures.

    (a) Application for review--(1) General. Applications shall be 
submitted to the appropriate DRB on DD Form 293, ``Application for 
Review of Discharge or Separation from the Armed Forces of the United 
States,'' with such other statements, affidavits, or documentation as 
desired. It is to the applicant's advantage to submit such documents 
with the application or within 60 days thereafter in order to permit a 
thorough screening of the case. The DD Form 293 is available at most DoD 
installations and regional offices of the Veterans Administration, or by 
writing to: DA Military Review Boards Agency, Attention: SFBA (Reading 
Room), Room 1E520, The Pentagon, Washington, DC 20310.
    (2) Timing. A motion or request for review must be made within 15 
years after the date of discharge or dismissal.
    (3) Applicant's responsibilities. An applicant may request a change 
in the character of or reason for discharge (or both).
    (i) Character of discharge. Block 7 of DD Form 293 provides an 
applicant an opportunity to request a specific change in character of 
discharge (for example, General Discharge to Honorable Discharge; Other 
than Honorable Discharge to General or Honorable Discharge). Only a 
person separated on or after 1 October 1982 while in an entry level 
status may request a change from Other than Honorable Discharge to Entry 
Level Separation. A request for review from an applicant who does not 
have an Honorable Discharge shall be treated as a request for a change 
to an Honorable Discharge unless the applicant requests a specific 
change to another character of discharge.
    (ii) Reason for discharge. Block 7 of DD Form 293 provides an 
applicant an opportunity to request a specific change in the reason for 
discharge. If an applicant does not request a specific change in the 
reason for discharge, the DRB shall presume that the request for review 
does not involve a request for change in the reason for discharge. Under 
its responsibility to examine the propriety and equity of an applicant's 
discharge, the DRB shall change the reason for discharge if such a 
change is warranted.
    (iii) The applicant must ensure that issues submitted to the DRB are 
consistent with the request for change in discharge set forth in block 7 
of the DD Form 293. If an ambiguity is created by a difference between 
an applicant's issue and the request in block 7, the

[[Page 470]]

DRB shall respond to the issue in the context of the action requested in 
block 7. In the case of a hearing, the DRB shall attempt to resolve the 
ambiguity under paragraph (a)(5) of this section.
    (4) Request for consideration of specific issues. An applicant may 
request the DRB to consider specific issues which, in the opinion of the 
applicant, form a basis for changing the character of or reason for 
discharge, or both. In addition to the guidance set forth in this 
section, applicants should consult the other sections in this part 
(particularly paragraphs (c), (d), and (e) of this section and 
Sec. Sec. 70.9 and 70.10 before submitting issues for consideration by 
the DRB.
    (i) Submission of issues on DD Form 293. Issues must be provided to 
the DRB on DD Form 293 before the DRB closes the review process for 
deliberation.
    (A) Issues must be clear and specific. An issue must be stated 
clearly and specifically in order to enable the DRB to understand the 
nature of the issue and its relationship to the applicant's discharge.
    (B) Separate listing of issues. Each issue submitted by an applicant 
should be listed separately. Submission of a separate statement for each 
issue provides the best means of ensuring that the full import of the 
issue is conveyed to the DRB.
    (C) Use of DD Form 293. DD Form 293 provides applicants with a 
standard format for submitting issues to the DRB, and its use:
    (1) Provides a means for an applicant to set forth clearly and 
specifically those matters that, in the opinion of the applicant, 
provide a basis for changing the discharge;
    (2) Assists the DRB in focusing on those matters considered to be 
important by an applicant;
    (3) Assists the DRB in distinguishing between a matter submitted by 
an applicant in the expectation that it will be treated as a decisional 
issue under paragraph (e) of this section, and those matters submitted 
simply as background or supporting materials;
    (4) Provides the applicant with greater rights in the event that the 
applicant later submits a complaint under Sec. 70.10(d)(1)(iii) 
concerning the decisional document;
    (5) Reduces the potential for disagreement as to the content of an 
applicant's issue.
    (D) Incorporation by reference. If the applicant makes an additional 
written submission, such as a brief, in support of the application, the 
applicant may incorporate by reference specific issues set forth in the 
written submission in accordance with the guidance on DD Form 293. The 
reference shall be specific enough for the DRB to identify clearly the 
matter being submitted as an issue. At a minimum, it shall identify the 
page, paragraph, and sentence incorporated. Because it is to the 
applicant's benefit to bring such issues to the DRB's attention as early 
as possible in the review, applicants who submit a brief are strongly 
urged to set forth all such issues as a separate item at the beginning 
of the brief. If it reasonably appears that the applicant inadvertently 
has failed expressly to incorporate an issue which the applicant clearly 
identifies as an issue to be addressed by the DRB, the DRB shall respond 
to such an issue under paragraphs (d) and (e) of this section.
    (E) Effective date of the new Form DD 293. With respect to 
applications received before November 27, 1982, the DRB shall consider 
issues clearly and specifically stated in accordance with the rules in 
effect at the time of submission. With respect to applications received 
on or after November 27, 1982, if the applicant submits an obsolete DD 
Form 293, the DRB shall accept the application, but shall provide the 
applicant with a copy of the new form and advise the applicant that it 
will only respond to issues submitted on the new form in accordance with 
this part.
    (ii) Relationship of issues to character of or reason for discharge. 
If the application applies to both character of and reason for 
discharge, the applicant is encouraged, but not required, to identify 
the issue as applying to the character of or reason for discharge (or 
both). Unless the issue is directed at the reason for discharge 
expressly or by necessary implication, the DRB will presume that it 
applies solely to the character of discharge.

[[Page 471]]

    (iii) Relationship of issues to the standards for discharge review. 
The DRB reviews discharges on the basis of issues of propriety and 
equity. The standards used by the DRB are set forth in Sec. 70.9. The 
applicant is encouraged to review those standards before submitting any 
issue upon which the applicant believes a change in discharge should be 
based.
    (A) Issues concerning the equity of the discharge. An issue of 
equity is a matter that involves a determination whether a discharge 
should by changed under the equity standards of Sec. 70.9. This 
includes any issue, submitted by the applicant in accordance with 
paragraph (a)(4)(i) of this section, that is addressed to the 
discretionary authority of the DRB.
    (B) Issues concerning the propriety of a discharge. An issue of 
propriety is a matter that involves a determination whether a discharge 
should be changed under the propriety standards of Sec. 70.9. This 
includes an applicant's issue, submitted in accordance with paragraph 
(a)(4)(i) of this section, in which the applicant's position is that the 
discharge must be changed because of an error in the discharge 
pertaining to a regulation, statute, constitutional provision, or other 
source of law (including a matter that requires a determination whether, 
under the circumstances of the case, action by military authorities was 
arbitrary, capricious, or an abuse of discretion). Although a numerical 
reference to the regulation or other sources of law alleged to have been 
violated is not necessarily required, the context of the regulation or a 
description of the procedures alleged to have been violated normally 
must be set forth in order to inform the DRB adequately of the basis for 
the applicant's position.
    (C) The applicant's identification of an issue. The applicant is 
encouraged, but not required, to identify an issue as pertaining to the 
propriety or the equity to the discharge. This will assist the DRB in 
assessing the relationship of the issue to propriety or equity under 
paragraph (e)(1)(iii) of this section.
    (iv) Citation of matter from decisions. The primary function of the 
DRB involves the exercise of dicretion on a case-by-case basis. See 
Sec. 70.9(b)(3). Applicants are not required to cite prior decisions as 
the basis for a change in discharge. If the applicant wishes to bring 
the DRB's attention to a prior decision as background or illustrative 
material, the citation should be placed in a brief or other supporting 
documents. If, however, it is the applicant's intention to submit an 
issue that sets forth specific principles and facts from a specific 
cited decision, the following requirements apply with respect to 
applications received on or after November 27, 1982.
    (A) The issue must be set forth or expressly incorporated in the 
``Applicant's Issue'' portion of DD Form 293.
    (B) If an applicant's issue cites a prior decision (of the DRB, 
another Board, an agency, or a court), the applicant shall describe the 
specific principles and facts that are contained in the prior decision 
and explain the relevance of cited matter to the applicant's case.
    (C) To ensure timely consideration of principles cited from 
unpublished opinions (including decisions maintained by the Armed Forces 
Discharge Review Board/Corrective Board Reading Room), applicants must 
provide the DRB with copies of such decisions or of the relevant portion 
of the treatise, manual, or similar source in which the principles were 
discussed. At the applicant's request, such materials will be returned.
    (D) If the applicant fails to comply with the requirements in 
paragraphs (a)(4)(iv) (A), (B), and (C), the decisional document shall 
note the defect, and shall respond to the issue without regard to the 
citation.
    (5) Identification by the DRB of issues submitted by an applicant. 
The applicant's issues shall be identified in accordance with this 
section after a review of the materials noted under paragraph (c)(4), is 
made.
    (i) Issues on DD Form 293. The DRB shall consider all items 
submitted as issues by an applicant on DD Form 293 (or incorporated 
therein) in accordance with paragraph (a)(4)(i). With respect to 
applications submitted before November 27, 1982, the DRB shall consider 
all issues clearly and specifically stated in accordance with the rules 
in effect at the time of the submission.

[[Page 472]]

    (ii) Amendment of issues. The DRB shall not request or instruct an 
applicant to amend or withdraw any matter submitted by the applicant. 
Any amendment or withdrawal of an issue by an applicant shall be 
confirmed in writing by the applicant. Nothing in this provision:
    (A) Limits the DRB's authority to question an applicant as to the 
meaning of such matter;
    (B) Precludes the DRB from developing decisional issues based upon 
such questions;
    (C) Prevents the applicant from amending or withdrawing such matter 
any time before the DRB closes the review process for deliberation; or
    (D) Prevents the DRB from presenting an applicant with a list of 
proposed decisional issues and written information concerning the right 
of the applicant to add to, amend, or withdraw the applicant's 
submission. The written information will state that the applicant's 
decision to take such action (or decline to do so) will not be used 
against the applicant in the consideration of the case.
    (iii) Additional issues identified during a hearing. The following 
additional procedure shall be used during a hearing in order to promote 
the DRB's understanding of an applicant's presentation. If, before 
closing the case for deliberation, the DRB believes that an applicant 
has presented an issue not listed on DD Form 293, the DRB may so inform 
the applicant, and the applicant may submit the issue in writing or add 
additional written issues at that time. This does not preclude the DRB 
from developing its own decisional issues.
    (6) Notification of possible bar to benefits. Written notification 
shall be made to each applicant whose record indicates a reason for 
discharge that bars receipt of benefits under 38 U.S.C. 3103(a). This 
notification will advise the applicant that separate action by the Board 
for Correction of Military or Naval Records or the Veterans 
Administration may confer eligibility for VA benefits. Regarding the bar 
to benefits based upon the 180 days consecutive unauthorized absence, 
the following applies:
    (i) Such absence must have been included as part of the basis for 
the applicant's discharge under other than honorable conditions.
    (ii) Such absence is computed without regard to the applicant's 
normal or adjusted expiration of term of service.
    (b) Conduct of reviews--(1) Members. As designated by the Secretary 
concerned, the DRB and its panels, if any, shall consist of five 
members. One member of the DRB shall be designated as the president and 
may serve as a presiding officer. Other officers may be designated to 
serve as presiding officers for DRB panels under regulations prescribed 
by the Secretary concerned.
    (2) Locations. Reviews by a DRB will be conducted in the NCR and 
such other locations as designated by the Secretary concerned.
    (3) Types of review. An applicant, upon request, is entitled to:
    (i) Record review. A review of the application, available service 
records, and additional documents (if any) submitted by the applicant.
    (ii) Hearing. A review involving an appearance before the DRB by the 
applicant or counsel or representative (or both).
    (4) Applicant's expenses. Unless otherwise specified by law or 
regulation, expenses incurred by the applicant, witnesses, counsel or 
representative will not be paid by the Department of Defense.
    (5) Withdrawal of application. An applicant shall be permitted to 
withdraw an application without prejudice at any time before the 
scheduled review.
    (6) Failure to appear at a hearing or respond to a scheduling 
notice. (i) Except as otherwise authorized by the Secretary concerned, 
further opportunity for a hearing shall not be made available in the 
following circumstances to an applicant who has requested a hearing:
    (A) When the applicant has been sent a letter containing the month 
and location of a proposed hearing and fails to make a timely response; 
or
    (B) When the applicant, after being notified by letter of the time 
and place of the hearing, fails to appear at the appointed time, either 
in person or by representative, without having made a prior, timely 
request for a continuation, postponement, or withdrawal.

[[Page 473]]

    (ii) In such cases, the applicant shall be deemed to have waived the 
right to a hearing, and the DRB shall complete its review of the 
discharge. Further request for a hearing shall not be granted unless the 
applicant can demonstrate that the failure to appear or respond was due 
to circumstances beyond the applicant's control.
    (7) Continuance and postponements. (i) A continuance of a discharge 
review hearing may be authorized by the president of the DRB or 
presiding officer of the panel concerned, provided that such continuance 
is of reasonable duration and is essential to achieving a full and fair 
hearing. When a proposal for continuance is indefinite, the pending 
application shall be returned to the applicant with the option to 
resubmit when the case is fully ready for review.
    (ii) Postponements of scheduled reviews normally shall not be 
permitted other than for demonstrated good and sufficient reason set 
forth by the applicant in a timely manner, or for the convenience of the 
government.
    (8) Reconsideration. A discharge review shall not be subject to 
reconsideration except:
    (i) When the only previous consideration of the case was on the 
motion of the DRB;
    (ii) When the original discharge review did not involve a hearing 
and a hearing is now desired, and the provisions of paragraph (b)(6) of 
this section do not apply;
    (iii) When changes in discharge policy are announced after an 
earlier review of an applicant's discharge, and the new policy is made 
expressly retroactive;
    (iv) When the DRB determines that policies and procedures under 
which the applicant was discharged differ in material respects from 
policies and procedures currently applicable on a Service-wide basis to 
discharges of the type under consideration, provided that such changes 
in policies or procedures represent a substantial enhancement of the 
rights afforded a respondent in such proceedings;
    (v) When an individual is to be represented by a counsel or 
representative, and was not so represented in any previous consideration 
of the case by the DRB;
    (vi) When the case was not previously considered under uniform 
standards published pursuant to Pub. L. 95-126 and such application is 
made within 15 years after the date of discharge; or
    (vii) On the basis of presentation of new, substantial, relevant 
evidence not available to the applicant at the time of the original 
review. The decision whether evidence offered by an applicant in support 
of a request for reconsideration is in fact new, substantial, relevant, 
and was not available to the applicant at the time of the original 
review will be based on a comparison of such evidence with the evidence 
considered in the previous discharge review. If this comparison shows 
that the evidence submitted would have had a probable effect on matters 
concerning the propriety or equity of the discharge, the request for 
reconsideration shall be granted.
    (9) Availability of records and documents. (i) Before applying for 
discharge review, potential applicants or their designated 
representatives may obtain copies of their military personnel records by 
submitting a General Services Administration Standard Form 180, 
``Request Pertaining to Military Records,'' to the National Personnel 
Records Center (NPRC), 9700 Page Boulevard, St. Louis, MO 62132. Once 
the application for discharge review (DD Form 293) is submitted, an 
applicant's military records are forwarded to the DRBs where they cannot 
be reproduced. Submission of a request for an applicant's military 
records, including a request under the Freedom of Information Act (32 
CFR part 286) or Privacy Act (32 CFR part 286a) after the DD Form 293 
has been submitted, shall result automatically in the temporary 
suspension of processing of the application for discharge review until 
the requested records are sent to an appropriate location for copying, 
are copied, and are returned to the headquarters of the DRB. Processing 
of the application shall then be resumed at whatever stage of the 
discharge review process is practicable. Applicants are encouraged to 
submit any request for their military records before applying for 
discharge review rather than after submitting DD Form 293, to avoid 
delays

[[Page 474]]

in processing of applications and scheduling of reviews. Applicants and 
their counsel also may examine their military personnel records at the 
site of their scheduled review before the hearing. DRBs shall notify 
applicants of the dates the records are available for examination in 
their standard scheduling information.
    (ii) If the DRB is not authorized to provide copies of documents 
that are under the cognizance of another government department, office, 
or activity, applications for such information must be made by the 
applicant to the cognizant authority. The DRB shall advise the applicant 
of the mailing address of the government department, office, or activity 
to which the request should be submitted.
    (iii) If the official records relevant to the discharge review are 
not available at the agency having custody of the records, the applicant 
shall be so notified and requested to provide such information and 
documents as may be desired in support of the request for discharge 
review. A period of not less than 30 days shall be allowed for such 
documents to be submitted. At the expiration of this period, the review 
may be conducted with information available to the DRB.
    (iv) A DRB may take steps to obtain additional evidence that is 
relevant to the discharge under consideration beyond that found in the 
official military records or submitted by the applicant, if a review of 
available evidence suggests that it would be incomplete without the 
additional information, or when the applicant presents testimony or 
documents that require additional information to evaluate properly. Such 
information shall be made available to the applicant, upon request, with 
appropriate modifications regarding classified material.
    (A) In any case heard on request of an applicant, the DRB shall 
provide the applicant and counsel or representative, if any, at a 
reasonable time before initiating the decision process, a notice of the 
availability of all regulations and documents to be considered in the 
discharge review, except for documents in the official personnel or 
medical records and any documents submitted by the applicant. The DRB 
shall also notify the applicant or counsel or representative:
    (1) Of the right to examine such documents or to be provided with 
copies of the documents upon request;
    (2) Of the date by which such requests must be received; and
    (3) Of the opportunity to respond within a reasonable period of time 
to be set by the DRB.
    (B) When necessary to acquaint the applicant with the substance of a 
classified document, the classifying authority, on the request of the 
DRB, shall prepare a summary of or an extract from the document, 
deleting all references to sources of information and other matters, the 
disclosure of which, in the opinion of the classifying authority, would 
be detrimental to the national security interests of the United States. 
Should preparation of such summary be deemed impracticable by the 
classifying authority, information from the classified sources shall not 
be considered by the DRB in its review of the case.
    (v) Regulations of a Military Department may be obtained at many 
installations under the jurisdiction of the Military Department 
concerned or by writing to the following address: DA Military Review 
Boards Agency, Attention: SFBA (Reading Room), room 1E520, Washington, 
DC 20310.
    (10) Recorder/Secretary or Assistant. Such a person shall be 
designated to assist in the functioning of each DRB in accordance with 
the procedures prescribed by the Secretary of the Military Department 
concerned.
    (11) Hearings. Hearings (including hearing examinations) that are 
conducted shall recognize the rights of the individual to privacy. 
Accordingly, presence at hearings of individuals other than those 
required shall be limited to persons authorized by the Secretary 
concerned or expressly requested by the applicant, subject to reasonable 
limitations based upon available space. If, in the opinion of the 
presiding officer, the presence of other individuals could be 
prejudicial to the interests of the applicant or the government, 
hearings may be held in closed session.

[[Page 475]]

    (12) Evidence and testimony. (i) The DRB may consider any evidence 
obtained in accordance with this part.
    (ii) Formal rules of evidence shall not be applied in DRB 
proceedings. The presiding officer shall rule on matters of procedure 
and shall ensure that reasonable bounds of relevancy and materiality are 
maintained in the taking of evidence and presentation of witnesses.
    (iii) Applicants undergoing hearings shall be permitted to make 
sworn or unsworn statements, if they so desire, or to introduce 
witnesses, documents, or other information on their behalf, at no 
expense to the Department of Defense.
    (iv) Applicants may also make oral or written arguments personally 
or through counsel or representatives.
    (v) Applicants who present sworn or unsworn statements and witnesses 
may be questioned by the DRB. All testimony shall be taken under oath or 
affirmation unless the applicant specifically requests to make an 
unsworn statement.
    (vi) There is a presumption of regularity in the conduct of 
governmental affairs. This presumption can be applied in any review 
unless there is substantial credible evidence to rebut the presumption.
    (c) Decision process. (1) The DRB or the DRB panel, as appropriate, 
shall meet in plenary session to review discharges and exercise its 
discretion on a case-by-case basis in applying the standards set forth 
in Sec. 70.9.
    (2) The presiding officer is responsible for the conduct of the 
discharge review. The presiding officer shall convene, recess, and 
adjourn the DRB panel as appropriate and shall maintain an atmosphere of 
dignity and decorum at all times.
    (3) Each DRB member shall act under oath or affirmation requiring 
careful, objective consideration of the application. DRB members are 
responsible for eliciting all facts necessary for a full and fair 
hearing. They shall consider all information presented to them by the 
applicant. In addition, they shall consider available Military Service 
and health records, together with other records that may be in the files 
of the Military Department concerned and relevant to the issues before 
the DRB, and any other evidence obtained in accordance with this part.
    (4) The DRB shall identify and address issues after a review of the 
following material obtained and presented in accordance with this part 
and the implementing instructions of the DRB: Available official 
records, documentary evidence submitted by or on behalf of an applicant, 
presentation of a hearing examination, testimony by or on behalf of an 
applicant, oral or written arguments presented by or on behalf of an 
applicant, and any other relevant evidence.
    (5) If an applicant who has requested a hearing does not respond to 
a notification letter or does not appear for a scheduled hearing, the 
DRB may complete the review on the basis of material previously 
submitted.
    (6) Application of standards. (i) When a DRB determines that an 
applicant's discharge was improper (Sec. 70.9(b)), the DRB will 
determine which reason for discharge should have been assigned based 
upon the facts and circumstances before the discharge authority, 
including the Service regulations governing reasons for discharge at the 
time the applicant was discharged. Unless it is also determined that the 
discharge was inequitable (Sec. 70.9(c)), the provisions as to 
characterization in the regulation under which the applicant should have 
been discharged will be considered in determining whether further relief 
is warranted.
    (ii) When the DRB determines that an applicant's discharge was 
inequitable (see Sec. 70.9(c)), any change will be based on the 
evaluation of the applicant's overall record of service and relevant 
regulations of the Military Service of which the applicant was a member.
    (7) Voting shall be conducted in closed session, a majority of the 
five members' votes constituting the DRB decision. Voting procedures 
shall be prescribed by the Secretary of the Military Department 
concerned.
    (8) Details of closed session deliberations of a DRB are privileged 
information and shall not be divulged.
    (9) There is no requirement for a statement of minority views in the 
event of a split vote. The minority, however, may submit a brief 
statement

[[Page 476]]

of its views under procedures established by the Secretary concerned.
    (10) DRBs may request advisory opinions from staff officers of their 
Military Departments. These opinions are advisory in nature and are not 
binding on the DRB in its decision-making process.
    (11) The preliminary determinations required by 38 U.S.C. 3103(e) 
shall be made upon majority vote of the DRB concerned on an expedited 
basis. Such determination shall be based upon the standards set forth in 
Sec. 70.9 of this part.
    (12) The DRB shall: (i) Address items submitted as issues by the 
applicant under paragraph (d) of this section;
    (ii) Address decisional issues under paragraph (e) of this section; 
and
    (iii) Prepare a decisional document in accordance with paragraph (h) 
of this section.
    (d) Response to items submitted as issues by the applicant--(1) 
General guidance. (i) If an issue submitted by an applicant contains two 
or more clearly separate issues, the DRB should respond to each issue 
under the guidance of this paragraph as if it had been set forth 
separately by the applicant.
    (ii) If an applicant uses a ``building block'' approach (that is, 
setting forth a series of conclusions on issues that lead to a single 
conclusion purportedly warranting a change in the applicant's 
discharge), normally there should be a separate response to each issue.
    (iii) Nothing in this paragraph precludes the DRB from making a 
single response to multiple issues when such action would enhance the 
clarity of the decisional document, but such response must reflect an 
adequate response to each separate issue.
    (2) Decisional issues. An item submitted as an issue by an applicant 
in accordance with this part shall be addressed as a decisional issue 
under paragraph (e), in the following circumstances:
    (i) When the DRB decides that a change in discharge should be 
granted, and the DRB bases its decision in whole or in part on the 
applicant's issue; or
    (ii) When the DRB does not provide the applicant with the full 
change in discharge requested, and the decision is based in whole or in 
part on the DRB's disagreement on the merits with an issue submitted by 
the applicant.
    (3) Response to items not addressed as decisional issues. (i) If the 
applicant receives the full change in discharge requested (or a more 
favorable change), that fact shall be noted and the basis shall be 
addressed as a decisional issue. No further response is required to 
other issues submitted by the applicant.
    (ii) If the applicant does not receive the full change in discharge 
requested with respect to either the character of or reason for 
discharge (or both), the DRB shall address the items submitted by the 
applicant under paragraph (e) of this section (decisional issues) unless 
one of the following responses is applicable:
    (A) Duplicate issues. The DRB may state that there is a full 
response to the issue submitted by the applicant under a specified 
decisional issue. This response may be used only when one issue clearly 
duplicates another or the issue clearly requires discussion in 
conjunction with another issue.
    (B) Citations without principles and facts. The DRB may state that 
the applicant's issue, which consists of a citation to a decision 
without setting forth any principles and facts from the decision that 
the applicant states are relevant to the applicant's case, does not 
comply with the requirements of paragraph (a)(4)(iv)(A).
    (C) Unclear issues. The DRB may state that it cannot respond to an 
item submitted by the applicant as an issue because the meaning of the 
item is unclear. An issue is unclear if it cannot be understood by a 
reasonable person familiar with the discharge review process after a 
review of the materials considered under paragraph (c)(4) of this 
section.
    (D) Nonspecific issues. The DRB may state that it cannot respond to 
an item submitted by the applicant as an issue because it is not 
specific. A submission is considered not specific if a reasonable person 
familiar with the discharge review process after a review of the 
materials considered under paragraph (c)(4) of this section, cannot 
determine the relationship between the applicant's submission and the 
particular

[[Page 477]]

circumstances of the case. This response may be used only if the 
submission is expressed in such general terms that no other response is 
applicable. For example, if the DRB disagrees with the applicant as to 
the relevance of matters set forth in the submission, the DRB normally 
will set forth the nature of the disagreement under the guidance in 
paragraph (e) of this section, with respect to decisional issues, or it 
will reject the applicant's position on the basis of paragraphs 
(d)(3)(ii)(A) or (d)(3)(ii)(B) of this section. If the applicant's 
submission is so general that none of those provisions is applicable, 
then the DRB may state that it cannot respond because the item is not 
specific.
    (e) Decisional issues--(1) General. Under the guidance in this 
section, the decisional document shall discuss the issues that provide a 
basis for the decision whether there should be a change in the character 
of or reason for discharge. In order to enhance clarity, the DRB should 
not address matters other than issues relied upon in the decision or 
raised by the applicant.
    (i) Partial change. When the decision changes a discharge, but does 
not provide the applicant with the full change in discharge requested, 
the decisional document shall address both the issues upon which change 
is granted and the issues upon which the DRB denies the full change 
requested.
    (ii) Relationship of issue to character of or reason for discharge. 
Generally, the decisional document should specify whether a decisional 
issue applies to the character of or reason for discharge (or both), but 
it is not required to do so.
    (iii) Relationship of an issue to propriety or equity. (A) If an 
applicant identifies an issue as pertaining to both propriety and 
equity, the DRB will consider it under both standards.
    (B) If an applicant identifies an issue as pertaining to the 
propriety of the discharge (for example, by citing a propriety standard 
or otherwise claiming that a change in discharge is required as a matter 
of law), the DRB shall consider the issue solely as a matter of 
propriety. Except as provided in paragraph (e)(1)(iii)(D) of this 
section, the DRB is not required to consider such an issue under the 
equity standards.
    (C) If the applicant's issue contends that the DRB is required as a 
matter of law to follow a prior decision by setting forth an issue of 
propriety from the prior decision and describing its relationship to the 
applicant's case, the issue shall be considered under the propriety 
standards and addressed under paragraph (e)(2) or (e)(3) of this 
section.
    (D) If the applicant's issue sets forth principles of equity 
contained in a prior DRB decision, describes the relationship to the 
applicant's case, and contends that the DRB is required as a matter of 
law to follow the prior case, the decisional document shall note that 
the DRB is not bound by its discretionary decisions in prior cases under 
the standards in Sec. 70.9. However, the principles cited by the 
applicant, and the description of the relationship of the principles to 
the applicant's case, shall be considered under the equity standards and 
addressed under paragraph (e)(5) or (e)(6) of this section.
    (E) If the applicant's issue cannot be identified as a matter of 
propriety or equity, the DRB shall address it as an issue of equity.
    (2) Change of discharge: issues of propriety. If a change in the 
discharge is warranted under the propriety standards in Sec. 70.9 the 
decisional document shall state that conclusion and list the errors of 
expressly retroactive changes in policy that provide a basis for the 
conclusion. The decisional document shall cite the facts in the record 
that demonstrate the relevance of the error or change in policy to the 
applicant's case. If the change in discharge does not constitute the 
full change requested by the applicant, the reasons for not granting the 
full change shall be addressed under the guidance in paragraph (e)(3) or 
(e)(6) of this section.
    (3) Denial of the full change requested: issues of propriety. (i) If 
the decision rejects the applicant's position on an issue of propriety, 
or if it is otherwise decided on the basis of an issue of propriety that 
the full change in discharge requested by the applicant is not 
warranted, the decisional document shall note that conclusion.
    (ii) The decisional document shall list reasons for its conclusion 
on each

[[Page 478]]

issue of propriety under the following guidance:
    (A) If a reason is based in whole or in part upon a regulation, 
statute, constitutional provision, judicial determination, or other 
source of law, the DRB shall cite the pertinent source of law and the 
facts in the record that demonstrate the relevance of the source of law 
to the particular circumstances in the case.
    (B) If a reason is based in whole or in part on a determination as 
to the occurrence or nonoccurrence of an event or circumstance, 
including a factor required by applicable Service regulations to be 
considered for determination of the character of and reason for the 
applicant's discharge, the DRB shall make a finding of fact for each 
such event or circumstance.
    (1) For each such finding, the decisional document shall list the 
specific source of the information relied upon. This may include the 
presumption of regularity in appropriate cases. If the information is 
listed in the service record section of the decisional document, a 
citation is not required.
    (2) If a finding of fact is made after consideration of 
contradictory evidence in the record (including information cited by the 
applicant or otherwise identified by members of the DRB), the decisional 
document shall set forth the conflicting evidence and explain why the 
information relied upon was more persuasive than the information that 
was rejected. If the presumption of regularity is cited as the basis for 
rejecting such information, the decisional document shall set forth the 
basis for relying on the presumption of regularity and explain why the 
contradictory evidence was insufficient to overcome the presumption. In 
an appropriate case, the explanation as to why the contradictory 
evidence was insufficient to overcome the presumption of regularity may 
consist of a statement that the applicant failed to provide sufficient 
corroborating evidence, or that the DRB did not find the applicant's 
testimony to be sufficiently credible to overcome the presumption.
    (C) If the DRB disagrees with the position of the applicant on an 
issue of propriety, the following guidance applies in addition to the 
guidance in paragraphs (e)(3)(ii) (A) and (B) of this section:
    (1) The DRB may reject the applicant's position by explaining why it 
disagrees with the principles set forth in the applicant's issue 
(including principles derived from cases cited by the applicant in 
accordance with paragraph (e)(4)(iv) of this section).
    (2) The DRB may reject the applicant's position by explaining why 
the principles set forth in the applicant's issue (including principles 
derived from cases cited by the applicant in accordance with paragraph 
(a)(4)(iv) of this section) are not relevant to the applicant's case.
    (3) The DRB may reject an applicant's position by stating that the 
applicant's issue of propriety is not a matter upon which the DRB grants 
a change in discharge, and by providing an explanation for this 
position. When the applicant indicates that the issue is to be 
considered in conjunction with one or more other specified issues, the 
explanation will address all such specified issues.
    (4) The DRB may reject the applicant's position on the grounds that 
other specified factors in the case preclude granting relief, regardless 
of whether the DRB agreed with the applicant's position.
    (5) If the applicant takes the position that the discharge must be 
changed because of an alleged error in a record associated with the 
discharge, and the record has not been corrected by the organization 
with primary responsibility for corrective action, the DRB may respond 
that it will presume the validity of the record in the absence of such 
corrective action. If the organization empowered to correct the record 
is within the Department of Defense, the DRB should provide the 
applicant with a brief description of the procedures for requesting 
correction of the record. If the DRB on its own motion cites this issue 
as a decisional issue on the basis of equity, it shall address the issue 
under paragraph (d)(5) or (d)(6) of this section.
    (6) When an applicant's issue contains a general allegation that a 
certain course of action violated his or her constitutional rights, the 
DRB may respond in appropriate cases by noting

[[Page 479]]

that the action was consistent with statutory or regulatory authority, 
and by citing the presumption of constitutionality that attaches to 
statutes and regulations. If, on the other hand, the applicant makes a 
specific challenge to the constitutionality of the action by challenging 
the application of a statute or regulation in a particular set of 
circumstances, it is not sufficient to respond solely by citing the 
presumption of constitutionality of the statute or regulation when the 
applicant is not challenging the constitutionality of the statute or 
regulation. Instead, the response must address the specific 
circumstances of the case.
    (4) Denial of the full change in discharge requested when propriety 
is not at issue. If the applicant has not submitted an issue of 
propriety and the DRB has not otherwise relied upon an issue of 
propriety to change the discharge, the decisional document shall contain 
a statement to that effect. The DRB is not required to provide any 
further discussion as to the propriety of the discharge.
    (5) Change of discharge: issues of equity. If the DRB concludes that 
a change in the discharge is warranted under the equity standards in 
Sec. 70.9 the decisional document shall list each issue of equity upon 
which this conclusion is based. The DRB shall cite the facts in the 
record that demonstrate the relevance of the issue to the applicant's 
case. If the change in discharge does not constitute the full change 
requested by the applicant, the reasons for not giving the full change 
requested shall be discussed under the guidance in paragraph (e)(6) of 
this section.
    (6) Denial of the full change in discharge requested: issues of 
equity. (i) If the DRB rejects the applicant's position on an issue of 
equity, or if the decision otherwise provides less than the full change 
in discharge requested by the applicant, the decisional document shall 
note that conclusion.
    (ii) The DRB shall list reasons for its conclusion on each issue of 
equity under the following guidance:
    (A) If a reason is based in whole or in part upon a regulation, 
statute, constitutional provision, judicial determination, or other 
source of law, the DRB shall cite the pertinent source of law and the 
facts in the record that demonstrate the relevance of the source of law 
to the exercise of discretion on the issue of equity in the applicant's 
case.
    (B) If a reason is based in whole or in part on a determination as 
to the occurrence or nonoccurrence of an event or circumstance, 
including a factor required by applicable Service regulations to be 
considered for determination of the character of and reason for the 
applicant's discharge, the DRB shall make a finding of fact for each 
such event or circumstance.
    (1) For each such finding, the decisional document shall list the 
specific source of the information relied upon. This may include the 
presumption of regularity in appropriate cases. If the information is 
listed in the service record section of the decisional document, a 
citation is not required.
    (2) If a finding of fact is made after consideration of 
contradictory evidence in the record (including information cited by the 
applicant or otherwise identified by members of the DRB), the decisional 
document shall set forth the conflicting evidence and explain why the 
information relied upon was more persuasive than the information that 
was rejected. If the presumption of regularity is cited as the basis for 
rejecting such information, the decisional document shall set forth the 
basis for relying on the presumption of regularity and explain why the 
contradictory evidence was insufficient to overcome the presumption. In 
an appropriate case, the explanation as to why the contradictory 
evidence was insufficient to overcome the presumption of regularity may 
consist of a statement that the applicant failed to provide sufficient 
corroborating evidence, or that the DRB did not find the applicant's 
testimony to be sufficiently credible to overcome the presumption.
    (C) If the DRB disagrees with the position of the applicant on an 
issue of equity, the following guidance applies in addition to the 
guidance in paragraphs (e)(6)(ii) (A) and (B) of this section:
    (1) The DRB may reject the applicant's position by explaining why it 
disagrees with the principles set forth

[[Page 480]]

in the applicant's issue (including principles derived from cases cited 
by the applicant in accordance with paragraph (a)(4)(iv) of this 
section).
    (2) The DRB may reject the applicant's position by explaining why 
the principles set forth in the applicant's issue (including principles 
derived from cases cited by the applicant) are not relevant to the 
applicant's case.
    (3) The DRB may reject an applicant's position by explaining why the 
applicant's issue is not a matter upon which the DRB grants a change in 
discharge as a matter of equity. When the applicant indicates that the 
issue is to be considered in conjunction with other specified issues, 
the explanation will address all such specified issues.
    (4) The DRB may reject the applicant's position on the grounds that 
other specified factors in the case preclude granting relief, regardless 
of whether the DRB agreed with the applicant's position.
    (5) If the applicant takes the position that the discharge should be 
changed as a matter of equity because of an alleged error in a record 
associated with the discharge, and the record has not been corrected by 
the organization with primary responsibility for corrective action, the 
DRB may respond that it will presume the validity of the record in the 
absence of such corrective action. However, the DRB will consider 
whether it should exercise its equitable powers to change the discharge 
on the basis of the alleged error. If it declines to do so, it shall 
explain why the applicant's position did not provide a sufficient basis 
for the change in the discharge requested by the applicant.
    (D) When the DRB concludes that aggravating factors outweigh 
mitigating factors, the DRB must set forth reasons such as the 
seriousness of the offense, specific circumstances surrounding the 
offense, number of offenses, lack of mitigating circumstances, or 
similar factors. The DRB is not required, however, to explain why it 
relied on any such factors unless the applicability or weight of such a 
factor is expressly raised as an issue by the applicant.
    (E) If the applicant has not submitted any issues and the DRB has 
not otherwise relied upon an issue of equity for a change in discharge, 
the decisional document shall contain a statement to that effect, and 
shall note that the major factors upon which the discharge was based are 
set forth in the service record portion of the decisional document.
    (f) The recommendation of the DRB President--(1) General. The 
president of the DRB may forward cases for consideration by the 
Secretarial Reviewing Authority (SRA) under rules established by the 
Secretary concerned. There is no requirement that the President submit a 
recommendation when a case is forwarded to the SRA. If the president 
makes a recommendation with respect to the character of or reason for 
discharge, however, the recommendation shall be prepared under the 
guidance in paragraph (f)(2) of this section.
    (2) Format for recommendation. If a recommendation is provided, it 
shall contain the president's views whether there should be a change in 
the character of or reason for discharge (or both). If the president 
recommends such a change, the particular change to be made shall be 
specified. The recommendation shall set forth the president's position 
on decisional issues and issues submitted by the applicant under the 
following guidance:
    (i) Adoption of the DRB's decisional document. The recommendation 
may state that the president has adopted the decisional document 
prepared by the majority. The president shall ensure that the decisional 
document meets the requirements of this section.
    (ii) Adoption of the specific statements from the majority. If the 
President adopts the views of the majority only in part, the 
recommendation shall cite the specific matter adopted from the majority. 
If the president modifies a statement submitted by the majority, the 
recommendation shall set forth the modification.
    (iii) Response to issues not included in matter adopted from the 
majority. The recommendation shall set forth the following if not 
adopted in whole or in part from the majority:
    (A) The issues on which the president's recommendation is based. 
Each such decisional issue shall be addressed

[[Page 481]]

by the president under paragraph (e) of this section,
    (B) The president's response to items submitted as issues by the 
applicant under paragraph (d) of this section.
    (C) Reasons for rejecting the conclusions of the majority with 
respect to decisional issues which, if resolved in the applicant's 
favor, would have resulted in greater relief for the applicant than that 
afforded by the president's recommendation. Suh issues shall be 
addressed under the principles in paragraph (e) of this section.
    (g) Secretarial reviewing authority (SRA)--(1) Review by the SRA. 
The Secretarial Reviewing Authority (SRA) is the Secretary concerned or 
the official to whom Secretary's discharge review authority has been 
delegated.
    (i) The SRA may review the following types of cases before issuance 
of the final notification of a decision:
    (A) Any specific case in which the SRA has an interest.
    (B) Any specific case that the president of the DRB believes is of 
significant interest to the SRA.
    (ii) Cases reviewed by the SRA shall be considered under the 
standards set forth in Sec. 70.9.
    (2) Processing the decisional document. (i) The decisional document 
shall be transmitted by the DRB president under paragraph (e) of this 
section.
    (ii) The following guidance applies to cases that have been 
forwarded to the SRA except for cases reviewed on the DRB's own motion 
without the participation of the applicant or the applicant's counsel:
    (A) The applicant and counsel or representative, if any, shall be 
provided with a copy of the proposed decisional document, including the 
DRB president's recommendation to the SRA, if any. Classified 
information shall be summarized.
    (B) The applicant shall be provided with a reasonable period of 
time, but not less than 25 days, to submit to the SRA a rebuttal. An 
issue in rebuttal consists of a clear and specific statement by the 
applicant in support of or in opposition to the statements of the DRB or 
DRB president on decisional issues and other clear and specific issues 
that were submitted by the applicant in accordance with paragraph 
(a)(4)(i) of this section. The rebuttal shall be based solely on matters 
in the record before when the DRB closed the case for deliberation or in 
the president's recommendation.
    (3) Review of the decisional document. If corrections in the 
decisional document are required, the decisional document shall be 
returned to the DRB for corrective action. The corrected decisional 
document shall be sent to the applicant (and counsel, if any), but a 
further opportunity for rebuttal is not required unless the correction 
produces a different result or includes a substantial change in the 
discussion by the DRB (or DRB president) of the issues raised by the 
majority or the applicant.
    (4) The Addendum of the SRA. The decision of the SRA shall be in 
writing and shall be appended as an addendum to the decisional document 
under the guidance in this subsection.
    (i) The SRA's decision. The addendum shall set forth the SRA's 
decision whether there will be a change in the character of or reason 
for discharge (or both); if the SRA concludes that a change is 
warranted, the particular change to be made shall be specified. If the 
SRA adopts the decision recommended by the DRB or the DRB president, the 
decisional document shall contain a reference to the matter adopted.
    (ii) Discussion of issues. In support of the SRA's decision, the 
addendum shall set forth the SRA's position on decisional issues, items 
submitted as issues by an applicant in accordance with paragraph 
(a)(4)(i) of this section, and issues raised by the DRB and the DRB 
president in accordance with the following guidance:
    (A) Adoption of the DRB president's recommendation. The addendum may 
state that the SRA has adopted the DRB president's recommendation.
    (B) Adoption of the DRB's proposed decisional document. The addendum 
may state that the SRA has adopted the proposed decisional document 
prepared by the DRB.
    (C) Adoption of specific statements from the majority or the DRB 
president. If the SRA adopts the views of the DRB or

[[Page 482]]

the DRB president only in part, the addendum shall cite the specific 
statements adopted. If the SRA modifies a statement submitted by the DRB 
or the DRB president, the addendum shall set forth the modification.
    (D) Response to issues not included in matter adopted from the DRB 
or the DRB president. The addendum shall set forth the following if not 
adopted in whole or in part from the DRB or the DRB president:
    (1) A list of the issues on which the SRA's decision is based. Each 
such decisional issue shall be addressed by the SRA under paragraph (e) 
of this section. This includes reasons for rejecting the conclusion of 
the DRB or the DRB president with respect to decisional issues which, if 
resolved in the applicant's favor, would have resulted in change to the 
discharge more favorable to the applicant than that afforded by the 
SRA's decision. Such issues shall be addressed under the principles in 
paragraph (e) of this section.
    (2) The SRA's response to items submitted as issues by the applicant 
under paragraph (d) of this section.
    (iii) Response to the rebuttal. (A) If the SRA grants the full 
change in discharge requested by the applicant (or a more favorable 
change), that fact shall be noted, the decisional issues shall be 
addressed under paragraph (e) of this section, and no further response 
to the rebuttal is required.
    (B) If the SRA does not grant the full change in discharge requested 
by the applicant (or a more favorable change), the addendum shall list 
each issue in rebuttal submitted by an applicant in accordance with this 
section, and shall set forth the response of the SRA under the following 
guidance:
    (1) If the SRA rejects an issue in rebuttal, the SRA may respond in 
accordance with the principles in paragraph (e) of this section.
    (2) If the matter adopted by the SRA provides a basis for the SRA's 
rejection of the rebuttal material, the SRA may note that fact and cite 
the specific matter adopted that responds to the issue in rebuttal.
    (3) If the matter submitted by the applicant does not meet the 
requirements for rebuttal material in paragraph (b)(2)(ii)(B) of this 
section.
    (iv) Index entries. Appropriate index entries shall be prepared for 
the SRA's actions for matters that are not adopted from the DRB's 
proposed decisional document.
    (h) The decisional document. A decisional document shall be prepared 
for each review. At a minimum, this document shall contain:
    (1) The circumstances and character of the applicant's service as 
extracted from available service records, including health records, and 
information provided by other Government authorities or the applicant, 
such as, but not limited to:
    (i) Information concerning the discharge at issue in the review, 
including:
    (A) Date (YYMMDD) of discharge.
    (B) Character of discharge.
    (C) Reason for discharge.
    (D) The specific regulatory authority under which the discharge was 
issued.
    (ii) Date (YYMMDD) of enlistment.
    (iii) Period of enlistment.
    (iv) Age at enlistment.
    (v) Length of service.
    (vi) Periods of unauthorized absence.
    (vii) Conduct and efficiency ratings (numerical or narrative).
    (viii) Highest rank received.
    (ix) Awards and decorations.
    (x) Educational level.
    (xi) Aptitude test scores.
    (xii) Incidents of punishment pursuant to Article 15, Uniform Code 
of Military Justice (including nature and date (YYMMDD) of offense or 
punishment).
    (xiii) Convictions by court-martial.
    (xiv) Prior military service and type of discharge received.
    (2) A list of the type of documents submitted by or on behalf of the 
applicant (including a written brief, letters of recommendation, 
affidavits concerning the circumstances of the discharge, or other 
documentary evidence), if any.
    (3) A statement whether the applicant testified, and a list of the 
type of witnesses, if any, who testified on behalf of the applicant.
    (4) A notation whether the application pertained to the character of 
discharge, the reason for discharge, or both.

[[Page 483]]

    (5) The DRB's conclusions on the following:
    (i) Whether the character of or reason for discharge should be 
changed.
    (ii) The specific changes to be made, if any.
    (6) A list of the items submitted as issues on DD Form 293 or 
expressly incorporated therein and such other items submitted as issues 
by the applicant that are identified as inadvertently omitted under 
paragraph (a)(4)(i)(D) of this section. If the issues are listed 
verbatim on DD Form 293, a copy of the relevant portion of the Form may 
be attached. Issues that have been withdrawn or modified with the 
consent of the applicant need not be listed.
    (7) The response to the items submitted as issues by the applicant 
under the guidance in paragraph (d) of this section.
    (8) A list of decisional issues and a discussion of such issues 
under the guidance in paragraph (e) of this section.
    (9) Minority views, if any, when authorized under rules of the 
Military Department concerned.
    (10) The recommendation of the DRB president when required by 
paragraph (f) of this section.
    (11) The addendum of the SRA when required by paragraph (g) of this 
section.
    (12) Advisory opinions, including those containing factual 
information, when such opinions have been relied upon for final decision 
or have been accepted as a basis for rejecting any of the applicant's 
issues. Such advisory opinions or relevant portions thereof that are not 
fully set forth in the discussion of decisional issues or otherwise in 
response to items submitted as issues by the application shall be 
incorporated by reference. A copy of opinions incorporated by reference 
shall be appended to the decision and included in the record of 
proceedings.
    (13) A record of the voting, including:
    (i) The number of votes for the DRB's decision and the number of 
votes in the minority, if any.
    (ii) The DRB member's names (last name, first name, M.I.) and votes. 
The copy provided to the applicant may substitute a statement that the 
names and votes will be made available to the applicant at the 
applicant's request.
    (14) Index entries for each decisional issue under appropriate 
categories listed in the index of decisions.
    (15) An authentication of the document by an appropriate official.
    (i) Issuance of decisions following discharge review. The applicant 
and counsel or representative, if any, shall be provided with a copy of 
the decisional document and of any further action in review. The 
applicant (and counsel, if any) shall be notified of the availability of 
the complaint process under Sec. 70.10. Final notification of decisions 
shall be issued to the applicant with a copy to the counsel or 
representative, if any, and to the Military Service concerned.
    (1) Notification to applicants, with copies to counsel or 
representatives, shall normally be made through the U.S. Postal Service. 
Such notification shall consist of a notification of decision, together 
with a copy of the decisional document.
    (2) Notification to the Military Services shall be for the purpose 
of appropriate action and inclusion of review matter in personnel 
records. Such notification shall bear appropriate certification of 
completeness and accuracy.
    (3) Actions on review by superior authority, when occurring, shall 
be provided to the applicant and counsel or representative in the same 
manner as the notification of the review decision.
    (j) Record of DRB proceedings. (1) When the proceedings in any 
review have been concluded, a record thereof will be prepared. Records 
may include written records, electromagnetic records, videotape 
recordings, or a combination thereof.
    (2) At a minimum, the record will include the following:
    (i) The application for review;
    (ii) A record of the testimony in verbatim, summarized, or recorded 
form at the option of the DRB concerned;
    (iii) Documentary evidence or copies thereof, considered by the DRB 
other than the Military Service record;
    (iv) Briefs and arguments submitted by or on behalf of the 
applicant;
    (v) Advisory opinions considered by the DRB, if any;

[[Page 484]]

    (vi) The findings, conclusions, and reasons developed by the DRB;
    (vii) Notification of the DRB's decision to the cognizant custodian 
of the applicant's records, or reference to the notification document;
    (viii) Minority reports, if any;
    (ix) A copy of the decisional document.
    (k) Final disposition of the Record of Proceedings. The original 
record of proceedings and all appendices thereto shall in all cases be 
incorporated in the Military Service record of the applicant and the 
Military Service record shall be returned to the custody of the 
appropriate records holding facility. If a portion of the original 
record of the proceedings cannot be stored with the Military Service 
record, the Military Service record shall contain a notation as to the 
place where the record is stored. Other copies shall be filed and 
disposed of in accordance with appropriate Military Service regulations.
    (l) Availability of Discharge Review Board documents for inspection 
and copying. (1) A copy of the decisional document prepared in 
accordance with paragraph (d) of this section shall be made available 
for public inspection and copying promptly after a notice of final 
decision is sent to the applicant.
    (2) To prevent a clearly unwarranted invasion of personal privacy, 
identifying details of the applicant and other persons will be deleted 
from documents made available for public inspection and copying.
    (i) Names, addresses, social security numbers, and Military Service 
numbers must be deleted. Written justification shall be made for all 
other deletions and shall be available for public inspection.
    (ii) Each DRB shall ensure that there is a means for relating a 
decisional document number to the name of the applicant to permit 
retrieval of the applicant's records when required in processing a 
complaint under Sec. 70.10.
    (3) Any other privileged or classified material contained in or 
appended to any documents required by this part to be furnished the 
applicant and counsel or representative or made available for public 
inspection and copying may be deleted therefrom only if a written 
statement of the basis for the deletions is provided the applicant and 
counsel or representative and made available for public inspection. It 
is not intended that the statement be so detailed as to reveal the 
nature of the withheld material.
    (4) DRB documents made available for public inspection and copying 
shall be located in the Armed Forces Discharge Review/Correction Board 
Reading Room. The documents shall be indexed in a usable and concise 
form so as to enable the public, and those who represent applicants 
before the DRBs, to isolate from all these decisions that are indexed, 
those cases that may be similar to an applicant's case and that indicate 
the circumstances under or reasons for (or both) which the DRB or the 
Secretary concerned granted or denied relief.
    (i) The reading file index shall include, in addition to any other 
items determined by the DRB, the case number, the date, character of, 
reason and authority for the discharge. It shall also include the 
decisions of the DRB and reviewing authority, if any, and the issues 
addressed in the statement of findings, conclusions, and reasons.
    (ii) The index shall be maintained at selected permanent locations 
throughout the United States. This ensures reasonable availability to 
applicants at least 30 days before a traveling panel review. A list of 
these locations shall be published in the Federal Register by the 
Department of the Army. The index shall also be made available at sites 
selected for traveling panels or hearing examinations for such periods 
as the DRB or a hearing examiner is present and in operation. An 
applicant who has requested a traveling panel review or a hearing 
examination shall be advised in the notice of such review of the 
permanent index locations.
    (iii) The Armed Forces Discharge Review/Correction Board Reading 
Room shall publish indexes quarterly for all DRBs. All DRBs shall be 
responsible for timely submission to the Reading Room of individual case 
information required for update of the indexes. In addition, all DRBs 
shall be responsible for submission of new index categories based upon 
published changes in policy, procedures, or standards. These indexes 
shall be available for public inspection

[[Page 485]]

or purchase (or both) at the Reading Room. When the DRB has accepted an 
application, information concerning the availability of the index shall 
be provided in the DRB's response to the application.
    (iv) Copies of decisional documents will be provided to individuals 
or organizations outside the NCR in response to written requests for 
such documents. Although the Reading Room shall try to make timely 
responses to such requests, certain factors such as the length of a 
request, the volume of other pending requests, and the impact of other 
responsibilities of the staff assigned to such duties may cause some 
delays. A fee may be charged for such documents under appropriate DoD 
and Department of the Army directives and regulations. The manual that 
accompanies the index of decisions shall notify the public that if an 
applicant indicates that a review is scheduled for a specific date, an 
effort will be made to provide requested decisional documents before 
that date. The individual or organization will be advised if that cannot 
be accomplished.
    (v) Correspondence relating to matters under the cognizance of the 
Reading Room (including requests for purchase of indexes) shall be 
addressed to: DA Military Review Boards Agency, Attention: SFBA (Reading 
Room), Room 1E520, The Pentagon, Washington, DC 20310.
    (m) Privacy Act information. Information protected under the Privacy 
Act is involved in the discharge review functions. The provisions of 
part 286a of this title shall be observed throughout the processing of a 
request for review of discharge or dismissal.
    (n) Information requirement. Each Military Department shall provide 
the Deputy Assistant Secretary of Defense (Military Personnel and Force 
Management) DASD (MP&FM), Office of the ASD (MRA&L), with a semiannual 
report of discharge review actions in accordance with Sec. 70.11.

[47 FR 37785, Aug. 26, 1982, as amended at 48 FR 9855, Mar. 9, 1983; 48 
FR 35644, Aug. 5, 1983]



Sec. 70.9  Discharge review standards.

    (a) Objective of review. The objective of a discharge review is to 
examine the propriety and equity of the applicant's discharge and to 
effect changes, if necessary. The standards of review and the underlying 
factors that aid in determining whether the standards are met shall be 
historically consistent with criteria for determining honorable service. 
No factors shall be established that require automatic change or denial 
of a change in discharge. Neither a DRB nor the Secretary of the 
Military Department concerned shall be bound by any methodology of 
weighting of the factors in reaching a determination. In each case, the 
DRB or the Secretary of the Military Department concerned shall give 
full, fair, and impartial considerations to all applicable factors 
before reaching a decision. An applicant may not rceive a less favorable 
discharge than that issued at the time of separation. This does not 
preclude correction of clerical errors.
    (b) Propriety. (1) A discharge shall be deemed proper unless, in the 
course of discharge review, it is determined that:
    (i) There exists an error of fact, law, procedure, or discretion 
associated with the discharge at the time of issuance; and that the 
rights of the applicant were prejudiced thereby (such error shall 
constitute prejudicial error if there is substantial doubt that the 
discharge would have remained the same if the error had not been made); 
or
    (ii) A change in policy by the Military Service of which the 
applicant was a member, made expressly retroactive to the type of 
discharge under consideration, requires a change in the discharge.
    (2) When a record associated with the discharge at the time of 
issuance involves a matter in which the primary responsibility for 
corrective action rests with another organization (for example, another 
Board, agency, or court), the DRB will recognize an error only to the 
extent that the error has been corrected by the organization with 
primary responsibility for correcting the record.
    (3) The primary function of the DRB is to exercise its discretion on 
issues of equity by reviewing the individual merits of each application 
on a case-by-case basis. Prior decisions in which the DRB exercised its 
discretion to change a discharge based on issues of

[[Page 486]]

equity (including the factors cited in such decisions or the weight 
given to factors in such decisions) do not bind the DRB in its review of 
subsequent cases because no two cases present the same issues of equity.
    (4) The following applies to applicants who received less than fully 
Honorable administrative discharges because of their civilian misconduct 
while in an inactive reserve component and who were discharged or had 
their discharge reviewed on or after April 20, 1971: the DRB shall 
either recharacterize the discharge to Honorable without any additional 
proceedings or additional proceedings shall be conducted in accordance 
with the Court's Order of December 3, 1981, in Wood v. Secretary of 
Defense to determine whether proper grounds exist for the issuance of a 
less than Honorable discharge, taking into account that;
    (i) An Other than Honorable (formerly undesirable) Discharge for an 
inactive reservist can only be based upon civilian misconduct found to 
have affected directly the performance of military duties;
    (ii) A General Discharge for an inactive reservist can only be based 
upon civilian misconduct found to have had an adverse impact on the 
overall effectiveness of the military, including military morale and 
efficiency.
    (c) Equity. A discharge shall be deemed to be equitable unless:
    (1) In the course of a discharge review, it is determined that the 
policies and procedures under which the applicant was discharged differ 
in material respects from policies and procedures currently applicable 
on a Service-wide basis to discharges of the type under consideration 
provided that:
    (i) Current policies or procedures represent a substantial 
enhancement of the rights afforded a respondent in such proceedings; and
    (ii) There is substantial doubt that the applicant would have 
received the same discharge if relevant current policies and procedures 
had been available to the applicant at the time of the discharge 
proceedings under consideration.
    (2) At the time of issuance, the discharge was inconsistent with 
standards of discipline in the Military Service of which the applicant 
was a member.
    (3) In the course of a discharge review, it is determined that 
relief is warranted based upon consideration of the applicant's service 
record and other evidence presented to the DRB viewed in conjunction 
with the factors listed in this section and the regulations under which 
the applicant was discharged, even though the discharge was determined 
to have been otherwise equitable and proper at the time of issuance. 
Areas of consideration include, but are not limited to:
    (i) Quality of service, as evidenced by factors such as:
    (A) Service history, including date of enlistment, period of 
enlistment, highest rank achieved, conduct or efficiency ratings 
(numerical or narrative);
    (B) Awards and decorations;
    (C) Letters of commendation or reprimand;
    (D) Combat service;
    (E) Wounds received in action;
    (F) Records of promotions and demotions;
    (G) Level of responsibility at which the applicant served;
    (H) Other acts of merit that may not have resulted in a formal 
recognition through an award or commendation;
    (I) Length of service during the service period which is the subject 
of the discharge review;
    (J) Prior military service and type of discharge received or 
outstanding postservice conduct to the extent that such matters provide 
a basis for a more thorough understanding of the performance of the 
applicant during the period of service which is the subject of the 
discharge review;
    (K) Convictions by court-martial;
    (L) Records of nonjudicial punishment;
    (M) Convictions by civil authorities while a member of the Service, 
reflected in the discharge proceedings or otherwise noted in military 
service records;
    (N) Records of periods of unauthorized absence;
    (O) Records relating to a discharge instead of court-martial.
    (ii) Capability to serve, as evidenced by factors such as:

[[Page 487]]

    (A) Total capabilities. This includes an evaluation of matters, such 
as age, educational level, and aptitude scores. Consideration may also 
be given whether the individual met normal military standards of 
acceptability for military service and similar indicators of an 
individual's ability to serve satisfactorily, as well as ability to 
adjust to military service.
    (B) Family and Personal Problems. This includes matters in 
extenuation or mitigation of the reason for discharge that may have 
affected the applicant's ability to serve satisfactorily.
    (C) Arbitrary or capricious action. This includes actions by 
individuals in authority that constitute a clear abuse of such authority 
and that, although not amounting to prejudicial error, may have 
contributed to the decision to discharge or to the characterization of 
service.
    (D) Discrimination. This includes unauthorized acts as documented by 
records or other evidence.



Sec. 70.10  Complaints concerning decisional documents and index entries.

    (a) General. (1) The procedures in this section--are established for 
the sole purpose of ensuring that decisional documents and index entries 
issued by the DRBs of the Military Departments comply with the 
decisional document and index entry principles of this part.
    (2) This section may be modified or supplemented by the DASD(MP&FM).
    (3) The following persons may submit complaints:
    (i) A former member of the Armed Forces (or the former member's 
counsel) with respect to the decisional document issued in the former 
member's own case; and
    (ii) A former member of the Armed Forces (or the former member's 
counsel) who states that correction of the decisional document will 
assist the former member in preparing for an administrative or judicial 
proceeding in which the former member's own discharge will be at issue.
    (4) The Department of Defense is committed to processing of 
complaints within the priorities and processing goals set forth in 
paragraph (d)(1)(iii) of this section. This commitment, however, is 
conditioned upon reasonable use of the complaint process under the 
following considerations. The DRBs were established for the benefit of 
former members of the Armed Forces. The complaint process can aid such 
persons most effectively if it is used by former members of the Armed 
Forces when necessary to obtain correction of their own decisional 
documents or to prepare for discharge reviews. If a substantial number 
of complaints submitted by others interferes with the ability of the 
DRBs to process applications for discharge review in a timely fashion, 
the Department of Defense will adjust the processing goals to ensure 
that the system operates to the primary advantage of applicants.
    (5) The DASD(MP&FM) is the final authority with respect to action on 
such correspondence.
    (b) The Joint Service Review Activity (JSRA). A three member JSRA 
consisting of one judge advocate from each Military Department shall 
advise the DASD(MP&FM). The operations of the JSRA shall be coordinated 
by a full-time administrative director, who shall serve as recorder 
during meetings of the JSRA. The members and the administrative director 
shall serve at the direction of the DASD(MP&FM).
    (c) Classification and control of correspondence--(1) Address of the 
JSRA. Correspondence with the OSD concerning decisional documents or 
index entries issued by the DRBs shall be addressed as follows: Joint 
Service Review Activity, OASD(MRA&L) (MP&FM), Washington, DC 20301.
    (2) Docketing. All such correspondence shall be controlled by the 
administrative director through the use of a uniform docketing 
procedure.
    (3) Classification. Correspondence shall be reviewed by the 
administrative director and categorized either as a complaint or an 
inquiry in accordance with the following:
    (i) Complaints. A complaint is any correspondence in which it is 
alleged that a decisional document issued by a DRB or SRA contains a 
specifically identified violation of the Stipulation of Dismissal, 
Settlement Agreement, or related Orders in the Urban Law case or the 
decisional document or index entry principles of this Directive. A

[[Page 488]]

complainant who alleges error with respect to a decisional document 
issued to another person is encouraged to set forth specifically the 
grounds for determining that a reasonable person familiar with the 
discharge review process cannot understand the basis for the decision. 
See paragraph (d)(1)(i)(B) of this section.
    (ii) Inquiries. An inquiry is any correspondence other than a 
complaint.
    (d) Review of complaints--(1) Guidance. The following guidance 
applies to review of complaints:
    (i) Standards. Complaints shall be considered under the following 
standards:
    (A) The applicant's case. A complaint by an applicant with respect 
to the decisional document issued in the applicant's own discharge 
review shall be considered under the Stipulation of Dismissal in the 
Urban Law case and other decisional document requirements applicable at 
the time the document was issued, including those contained in the 
Settlement Agreement and related Orders, subject to any limitations set 
forth therein with respect to dates of applicability. If the authority 
empowered to take corrective action has a reasonable doubt whether a 
decisional document meets applicable requirements of the Urban Law case 
or other applicable rules, the complaint shall be resolved in the 
applicant's favor.
    (B) Other cases. With respect to all other complaints, the standard 
shall be whether a reasonable person familiar with the discharge review 
process can understand the basis for the decision, including the 
disposition of issues raised by the applicant. This standard is designed 
to ensure that the complaint process is not burdened with the need to 
correct minor errors in the preparation of decisional documents.
    (ii) Use of DD Form 293. With respect to any decisional document 
issued on or after November 27, 1982, a complaint alleging failure of 
the DRB to address adequately matter not submitted on DD Form 293 or 
expressly incorporated therein will be resolved in the complainant's 
favor only if the failure to address the issue was arbitrary, 
capricious, or an abuse of discretion.
    (iii) Scope of review. When a complaint concerns a specific issue in 
the applicant's own discharge review, the complaint review process shall 
involve a review of all the evidence that was before the DRB or SRA, 
including the testimony and written submissions of the applicant, to 
determine whether the issue was submitted, and if so, whether it was 
addressed adequately with respect to the Stipulation of Dismissal, 
Settlement Agreement, or related Orders in the Urban Law case and other 
applicable provisions of this Directive. With respect to all other 
complaints about specific issues, the complaint review process may be 
based solely on the decisional document, except when the complainant 
demonstrates that facts present in the review in question raise a 
reasonable likelihood of a violation of applicable provisions of the 
Stipulation of Dismissal and a reasonable person, familiar with the 
discharge review process, could resolve the complaint only after a 
review of the evidence that was before the DRB.
    (iv) Allegations pertaining to an applicant's submission. The 
following additional requirements apply to complaints about modification 
of an applicant's issue or the failure to list or address an applicant's 
issue:
    (A) When the complaint is submitted by the applicant, and the record 
of the hearing is ambiguous on the question whether there was a meeting 
of minds between the applicant and the DRB as to modification or 
omission of the issue, the ambiguity will be resolved in favor of the 
applicant.
    (B) When the complaint is submitted by a person other than the 
applicant, it must set forth facts (other than the mere omission or 
modification of an issue) demonstrating a reasonable likelihood that the 
issue was omitted or modified without the applicant's consent.
    (C) When the complaint is rejected on the basis of the presumption 
of regularity, the response to the complaint must be set forth the 
reasons why the evidence submitted by the complainant was not sufficient 
to overcome the presumption.
    (D) With respect to decisional documents issued on or after the 
effective

[[Page 489]]

date of the amendments to Sec. 70.8, any change in wording of an 
applicant's issue which is effected in violation of the principles set 
forth in Sec. 70.8(a)(5)(iii) constitutes an error requiring corrective 
action. With respect to a decisional document issued before that date, 
corrective action will be taken only when there has been a complaint by 
the applicant or counsel with respect to the applicant's own decisional 
document and it is determined that the wording was changed or the issue 
was omitted without the applicant's consent.
    (E) If there are references in the decisional document to matters 
not raised by the applicant and not otherwise relied upon in the 
decision, there is no requirement under the Urban Law case that such 
matters be accompanied by a statement of findings, conclusions, or 
reasons. For example, when the DRB discusses an aspect of the service 
record not raised as an issue by the applicant, and the issue is not a 
basis for the DRB's decision, the DRB is not required to discuss the 
reasons for declining to list that aspect of the service record as an 
issue.
    (v) Guidance as to other types of complaints. The following guidance 
governs other specified types of complaints:
    (A) The Stipulation of Dismissal requires only that those facts that 
are essential to the decision be listed in the decisional document. The 
requirement for listing specified facts from the military record was not 
established until March 29, 1978, in 32 CFR part 70 Decisional documents 
issued prior to that date are sufficient if they meet the requirements 
of the Stipulation.
    (B) When an applicant submits a brief that contains material in 
support of a proposed conclusion on an issue, the DRB is not required to 
address each aspect of the supporting material in the brief. However, 
the decisional document should permit the applicant to understand the 
DRB's position on the issue and provide reviewing authorities with an 
explanation that is sufficient to permit review of the DRB's decision. 
When an applicant submits specific issues and later makes a statement 
before the DRB that contains matter in support of that issue, it is not 
necessary to list such supporting matter as a separate issue.
    (C) For all decisional documents issued before November 27, 1982, 
failure to respond to an issue raised by an applicant constitutes error 
unless it reasonably may be inferred from the record that the DRB 
response relied on one of the exceptions listed in Sec. 70.8(d)(3)(ii); 
(e)(3)(ii)(C) (3) through (4) and (e)(6)(ii)(C) (3) through (4). If the 
decisional document supports a basis for not addressing an issue raised 
by the applicant (for example, if it is apparent that resolving the 
issue in the applicant's favor would not warrant an upgrade), there is 
no requirement in the Stipulation of Dismissal that the decisional 
document explain why the DRB did not address the issue. With respect to 
decisional documents issued on or after November 27, 1982, a response 
shall be prepared in accordance with the decisional document principles 
set forth in Sec. 70.8.
    (D) When a case is reviewed upon request of an applicant, and the 
DRB upgrades the discharge to ``General,'' the DRB must provide reasons 
why it did not upgrade to ``Honorable'' unless the applicant expressly 
requests lesser relief. This requirement applies to all requests for 
corrective action submitted by an applicant with respect to his or her 
decisional document. In all other cases, this requirement applies to 
decisional documents issued on or after November 9, 1978. When the DRB 
upgrades to General, its explanation for not upgrading to Honorable may 
consist of reference to adverse matter from the applicant's military 
record. When a discharge is upgraded to General in a review on the DRB's 
own motion, there is no requirement to explain why the discharge was not 
upgraded to Honorable.
    (E) There is no requirement under the Stipulation of Dismissal to 
provide reasons for uncontested findings. The foregoing applies to 
decisional documents issued before November 27, 1982. With respect to 
decisional documents issued on or after that date, the following 
guidance applies with respect to an uncontested issue of fact that forms 
the basis for a grant or denial of a change in discharge: the decisional 
document shall list the specific source

[[Page 490]]

of information relied upon in reaching the conclusion, except when the 
information is listed in the portion of the decisional document that 
summarizes the service record.
    (F) The requirements of Sec. 70.8(e)(3) (ii)(B)(2) and (e)(6) 
(ii)(B)(2) with respect to explaining use of the presumption of 
regularity apply only to decisional documents issued on or after 
November 27, 1982. When a complaint concerning a decisional document 
issued before that date addresses the adequacy of the DRB's use of the 
presumption of regularity, or words having a similar import, corrective 
action will be required only if a reasonable person familiar with the 
discharge review process can not understand the basis for relying on the 
presumption.
    (G) When the DRB balances mitigrating factors against aggravating 
factors as the reason for a conclusion, the Stipulation of Dismissal 
does not require the statement of reasons to set forth the specific 
factors that were balanced if such factors are otherwise apparent on the 
fact of the decisional document. The foregoing applies to decisional 
documents prepared before November 27, 1982. With respect to decisional 
documents prepared after that date, the statements addressing decisional 
issues in such a case will list or refer to the factors supporting the 
conclusion in accordance with Sec. 70.8(e)(6)(ii).
    (vi) Documents that were the subject of a prior complaint. The 
following applies to a complaint concerning a decisional document that 
has been the subject of prior complaints:
    (A) If the complaint concerns a decisional document that was the 
subject of a prior complaint in which action was completed, the 
complainant will be informed of the substance and disposition of the 
prior complaint, and will be further informed that no additional action 
will be taken unless the complainant within 30 days demonstrates that 
the prior disposition did not produce a decisional document that 
comports with the requirements of paragraph (d)(1)(i)(A) of this 
section.
    (B) If the complaint concerns a decisional document that is the 
subject of a pending complaint, the complainant will be informed that he 
or she will be provided with the results of the pending complaint.
    (C) These limitations do not apply to the initial complaint 
submitted on or after the effective date of the amendments to this 
section by an applicant with respect to his or her own decisional 
document.
    (2) Duties of the administrative director. The administrative 
director shall take the following actions:
    (i) Acknowledge receipt of the complaint;
    (ii) Assign a docket number and note the date of receipt; and
    (iii) Forward the complaint to the Military Department concerned, 
except that the case may be forwarded directly to the DASD (MP&FM) when 
the administrative director makes an initial determination that 
corrective action is not required.
    (3) Administrative processing. The following guidance applies to 
administrative processing of complaints:
    (i) Complaints normally shall be processed on a first-in/first-out 
basis, subject to the availability of records, pending discharge review 
actions, and the following priorities:
    (A) The first priority category consists of cases in which (1) there 
is a pending discharge review and the complainant is the applicant; and 
(2) the complainant sets forth the relevance of the complaint to the 
complainant's pending discharge review application.
    (B) The second priority category consists of requests for correction 
of the decisional document in the complainant's own discharge review 
case.
    (C) The third priority category consists of complaints submitted by 
former members of the Armed Forces (or their counsel) who state that the 
complaint is submitted to assist the former member's submission of an 
application for review.
    (D) The fourth priority category consists of other complaints in 
which the complainant demonstrates that correction of the decisional 
document will substantially enhance the ability of applicants to present 
a significant issue to the DRBs.
    (E) The fifth priority category consists of all other cases.
    (ii) Complainants who request consideration in a priority category 
shall set

[[Page 491]]

forth in the complaint the facts that give rise to the claim of 
placement in the requested category. If the complaint is relevent to a 
pending discharge review in which the complainant is applicant or 
counsel, the scheduled date of the review should be specified.
    (iii) The administrative director is responsible for monitoring 
compliance with the following processing goals:
    (A) The administrative director normally shall forward 
correspondence to the Military Department concerned within 3 days after 
the date of receipt specified in the docket number. Correspondence 
forwarded directly to the DASD(MP&FM) under paragraph (d)(2)(iii) of 
this section, normally shall be transmitted within 7 days after the date 
of receipt.
    (B) The Military Department normally shall request the necessary 
records within 5 working days after the date of receipt from the 
administrative director. The Military Department normally shall complete 
action under paragraph (d)(4) of this section within 45 days after 
receipt of all necessary records. If action by the Military Department 
is required under paragraph (d)(9) of this section, normally it shall be 
completed within 45 days after action is taken by the DASD(MP&FM).
    (C) The JSRA normally shall complete action under paragraph (d)(7) 
of this section at the first monthly meeting held during any period 
commencing 10 days after the administrative director receives the action 
of the Military Department under paragraph (d)(5) of this section.
    (D) The DASD(MP&FM) normally shall complete action under paragraph 
(d)(8) of this section within 30 days after action is taken by the JSRA 
under paragraph (d)(7) of this section or by the administrative director 
under paragraph (d)(2)(iii) of this section.
    (E) If action is not completed within the overall processing goals 
specified in this paragraph, the complainant shall be notified of the 
reason for the delay by the administrative director and shall be 
provided with an approximate date for completion of the action.
    (iv) If the complaints are submitted in any 30 day period with 
respect to more than 50 decisional documents, the administrative 
director shall adjust the processing goals in light of the number of 
complaints and discharge review applications pending before the DRBs.
    (v) At the end of each month, the administrative director shall send 
each Military Department a list of complaints, if any, in which action 
has not been completed within 60 days of the docket date. The Military 
Department shall inform the administrative director of the status of 
each case.
    (4) Review of complaints by the Military Departments. The Military 
Department shall review the complaint under the following guidance:
    (i) Rejection of complaint. If the Military Department determines 
that all the allegations contained in the complaint are not specific or 
have no merit, it shall address the allegations using the format at 
attachment 1 (Review of Complaint).
    (ii) Partial agreement. If the Military Department determines that 
some of the allegations contained in the complaint are not specific or 
have no merit and that some of the allegations contained in the 
complaint have merit, it shall address the allegations using the format 
at attachment 1 and its DRB shall take appropriate corrective action in 
accordance with paragraph (d)(4)(v) of this section.
    (iii) Full agreement. If the Military Department determines that all 
of the allegations contained in the complaint have merit, its DRB shall 
take appropriate corrective action in accordance with paragraph 
(d)(4)(v) of this section.
    (iv) Other defects. If, during the course of its review, the 
Military Department notes any other defects in the decisional document 
or index entries (under the applicable requirements of the Urban Law 
case or under this part) the DRB shall take appropriate corrective 
action under paragraph (d)(4)(v) of this section. This does not 
establish a requirement for the Military Department to review a 
complaint for any purpose other than to determine whether the 
allegations contained in the complaint are specific and have merit; 
rather, it simply provides a format for the Military Department to 
address other defects noted

[[Page 492]]

during the course of processing the complaint.
    (v) Appropriate corrective action. The following procedures govern 
appropriate corrective action:
    (A) If a complaint concerns the decisional document in the 
complainant's own discharge review case, appropriate corrective action 
consists of amending the decisional document or providing the 
complainant with an opportunity for a new discharge review. An amended 
decisional document will be provided if the applicant requests that form 
of corrective action.
    (B) If a complaint concerns a decisional document involving an 
initial record review under the Special Discharge Review Program or the 
Pub. L. 95-126 rereview program, appropriate corrective action consists 
of (1) amending the decisional document; or (2) notifying the applicant 
and counsel, if any, of the opportunity to obtain a priority review 
using the letter providing at attachment 6. When the DRB takes 
corrective action under this provision by amending a decisional 
document, it shall notify the applicant and counsel, if any, of the 
opportunity to request a de novo review under the Special Discharge 
Review Program or under Pub. L. 95-126 rereview program, as appropriate.
    (C) When corrective action is taken with respect to a decisional 
document in cases prepared under Pub. L. 95-126 the DRB must address 
issues previously raised by the DRB or the applicant during review of 
the same case during the SDRP only insofar as required by the following 
guidance:
    (1) When the DRB bases its decision upon issues previously 
considered during the SDRP, the new decisional document under Pub. L. 
95-126 must address those issues;
    (2) If, during consideration of the case under Pub. L. 95-126 the 
applicant presents issues previously considered during the SDRP, the new 
decisional document must address those issues; and
    (3) If a decisional document concerning an initial record review 
under Pub. L. 95-126 is otherwise defective and corrective action is 
taken after a request by the applicant for a priority review in response 
to the letter at attachment 6, the new decisional document shall address 
all issues previously raised by the applicant during the SDRP.
    (D) Except for cases falling under paragraph (d)(4)(v)(B) of this 
section, if a complaint concerns a decisional document in which the 
applicant received an Honorable Discharge and the full relief requested, 
if any, with respect to the reason for discharge, appropriate corrective 
action consists of amending the decisional document.
    (E) In all other cases, appropriate corrective action consists of 
amending the decisional document or providing the applicant with the 
opportunity for a new review, except that an amended decisional document 
will be provided when the complainant expressly requests that form of 
corrective action.
    (vi) Amended decisional documents. One that reflects a determination 
by a DRB panel (or the SRA) as to what the DRB panel (or SRA) that 
prepared the defective decisional document would have entered on the 
decisional document to support its decision in this case.
    (A) The action of the amending authority does not necessarily 
reflect substantive agreement with the decision of the original DRB 
panel (or SRA) on the merits of the case.
    (B) A corrected decisional document created by amending a decisional 
document in response to a complaint will be based upon the complete 
record before the DRB (or the SRA) at the time of the original defective 
statement was issued, including, if available, a transcript, tape 
recording, videotape or other record of a hearing, if any. The new 
decisional document will be indexed under categories relevant to the new 
statements.
    (C) When an amended decisional document is required under paragraphs 
(d)(4)(v)(A) and (d)(4)(v)(D) of this section and the necessary records 
cannot be located, a notation to that effect will be made on the 
decisional document, and the applicant and counsel, if any, will be 
afforded an opportunity for a new review, and the complainant will be 
informed of the action.
    (D) When an amended decisional document is requested under paragraph 
(d)(4)(v)(C) and the necessary records

[[Page 493]]

cannot be located, a notation to that effect will be made on the 
decisional document, and the complainant will be informed that the 
situation precludes further action.
    (vii) Time limit for requesting a new review. An applicant who is 
afforded an opportunity to request a new review may do so within 45 
days.
    (viii) Interim notification. When the Military Department determines 
that some or all of the allegations contained in the complaint are not 
specific or have no merit but its DRB takes corrective action under 
paragraph (d)(4)(ii) or (d)(4)(iv) of this section, the DRB's 
notification to the applicant and counsel, if any, and to the 
complainant, if other than the applicant or counsel, should include the 
following or similar wording: ``This is in partial response to (your)/
(a) complaint to the Office of the Assistant Secretary of Defense 
(Manpower, Reserve Affairs, and Logistics) dated -------- concerning --
------ Discharge Review Board decisional document --------. A final 
response to (your)/(the) complaint, which has been returned to the 
Office of the Assistant Secretary of Defense (Manpower, Reserve Affairs, 
and Logistics) for further review, will be provided to you in the near 
future.''
    (ix) Final notification. When the Discharge Review Board takes 
corrective action under paragraphs (d)(4)(iii) and (d)(9) of this 
section -------- its notification to the applicant and counsel, if any, 
and to the complainant, if other than the applicant or counsel, should 
include the following or similar wording: ``This is in response to 
(your)/(a) complaint to the Office of the Assistant Secretary of Defense 
(Manpower, Reserve Affairs, and Logistics) dated -------- concerning --
------ Discharge Review Board decisional document --------.
    (5) Transmittal to the administrative director. The Military 
Department shall return the complaint to the administrative Director 
with a copy of the decisional document and, when applicable, any of the 
following documents:
    (i) The ``Review of Complaint.''
    (ii) A copy of the amendment to the decisional document and the 
accompanying transmittal letter or letters to the applicant and counsel, 
if any, and to the complainant, if other than the applicant or counsel.
    (iii) A copy of the notification to the applicant and counsel, if 
any, of the opportunity to request a new review, and a copy of the 
notification to the complainant, if other than the applicant or counsel, 
that the applicant has been authorized a new review.
    (6) Review by the administrative director. The administrative 
director shall review the complaint and accompanying documents to ensure 
the following:
    (i) If the Military Department determined that any of the 
allegations contained in the complaint are not specific or have no 
merit, the JSRA shall review the complaint and accompanying documents. 
The JSRA shall address the allegations using the format at attachment 2 
(Review of and Recommended Action on Complaint) and shall note any other 
defects in the decisional document or index entries not previously noted 
by the Military Department. This does not establish a requirement for 
the JSRA to review such complaints for any purpose other than to address 
the allegations contained in the complaint; rather, it simply provides a 
format for the JSRA to address other defects noted in the course of 
processing the complaint.
    (ii) If the Military Department determined that all of the 
allegations contained in the complaint have merit and its DRB amended 
the decisional document, the amended decisional document shall be 
subject to review by the JSRA on a sample basis each quarter using the 
format at attachment 3 (Review of any Recommendation on Amended 
Decisional Document).
    (iii) If the Military Department determined that all of the 
allegations contained in the complaint have merit and its DRB notified 
the applicant and counsel, if any, of the opportunity to request a new 
review, review of such corrective action is not required.
    (7) Review by the JSRA. The JSRA shall meet for the purpose of 
conducting the reviews required in paragraphs (d)(6)(i), (d)(6)(ii), and 
(d)(9)(iii)(A) of this section. The Administrative director shall call 
meetings once a month, if necessary, or more frequently depending upon 
the

[[Page 494]]

number of matters before the JSRA. Matters before the JSRA shall be 
presented to the members by the recorder. Each member shall have one 
vote in determining matters before the JSRA, a majority vote of the 
members determining all matters. Determinations of the JSRA shall be 
reported to the DASD(MP&FM) as JSRA recommendations using the prescribed 
format. If a JSRA recommendation is not unanimous, the minority member 
may prepare a separate recommendation for consideration by the 
DASD(MP&FM) using the same format. Alternatively, the minority member 
may indicate ``dissent'' next to his signature on the JSRA 
recommendation.
    (8) Review by the DASD(MP&FM). The DASD(MP&FM) shall review all 
recommendations of the JSRA and the administrative director as follows:
    (i) The DASD(MP&FM) shall review complaints using the format at 
Attachment 4 (Review of and Action on Complaint). The DASD(MP&FM) is the 
final authority in determining whether the allegations contained in a 
complaint are specific and have merit. If the DASD(MP&FM) determines 
that no further action by the Military Department is warranted, the 
complainant and the Military Department shall be so informed. If the 
DASD(MP&FM) determines that further action by the Military Department is 
required, the Military Department shall be directed to ensure that 
appropriate corrective action is taken by its DRB and the complainant 
shall be provided an appropriate interim response.
    (ii) The DASD(MP&FM) shall review amended decisional documents using 
the format at attachment 5 (Review of and Action on Amended Decisional 
Document). The DASD(MP&FM) is the final authority in determining whether 
an amended decisional document complies with applicable requirements of 
the Urban Law case and, when applicable, this Directive. If the 
DASD(MP&FM) determines that no further corrective action by the Military 
Department is warranted, the Military Department shall be so informed. 
If the DASD(MP&FM) determines that further corrective action by the 
Military Department is required, the Military Department shall be 
directed to ensure that appropriate corrective action is taken by its 
DRB.
    (iii) It is noted that any violation of applicable requirements of 
the Urban Law case is also a violation of this part. However, certain 
requirements under this part are not requirements under the Urban Law 
case. If the allegations contained in a complaint are determined to have 
merit or if an amended decisional document is determined to be defective 
on the basis of one of these additional requirements under this part the 
DASD(MP&FM) determination shall reflect this fact.
    (9) Further action by the Military Department. (i) With respect to a 
determination by the DASD (MP&FM) that further action by the Military 
Department is required, its DRB shall take appropriate corrective action 
in accordance with paragraph (d)(4) of this section.
    (ii) The Military Department shall provide the administrative 
director with the following documents when relevant to corrective action 
taken in accordance with paragraph (d)(4) of this section:
    (A) A copy of the amendment to the decisional document and the 
accompanying transmittal letter or letters to the applicant and counsel, 
if any, and to the complainant, if other than the applicant or counsel.
    (B) A copy of the notification to the applicant and counsel, if any, 
of the opportunity to request a new review, and a copy of the 
notification to the complainant, if other than the applicant or counsel, 
that the applicant has been authorized a new review.
    (iii) The administrative director shall review the documents 
relevant to corrective action taken in accordance with paragraph (d)(4) 
of this section, and ensure the following:
    (A) If the DRB amended the decisional document, the amended 
decisional document shall be subject to review by the JSRA on a sample 
basis each quarter using the format at attachment 3 (Review of and 
Recommended Action on Amended Decisional Document).
    (B) If the DRB notified the applicant and counsel, if any, of the 
opportunity to request a new review, review of such corrective action is 
not required.

[[Page 495]]

    (10) Documents required by the JSRA or DASD (MP&FM). Upon request, 
the Military Department shall provide the administrative director with 
other documents required by the JSRA or the DASD (MP&FM) in the conduct 
of their reviews.
    (e) Responses to inquiries. The following procedures shall be used 
in processing inquiries:
    (1) The administrative director shall assign a docket number to the 
inquiry.
    (2) The administrative director shall forward the inquiry to the 
Military Department concerned.
    (3) The Military Department shall prepare a response to the inquiry 
and provide the administrative director with a copy of the response.
    (4) The Military Department's response shall include the following 
or similar wording: ``This is in response to your inquiry to the Office 
of the Assistant Secretary of Defense (Manpower, Reserve Affairs, and 
Logistics) dated -------- concerning --------.
    (f) Indexing. The DRB concerned shall reindex all amended decisional 
documents and shall provide copies of the amendments to the decisional 
documents to the Armed Forces Discharge Review/Correction Board Reading 
Room.
    (g) Disposition of documents. The administrative director is 
responsible for the disposition of all Military Department, DRB, JSRA, 
and DASD (MP&FM) documents relevant to processing complaints and 
inquiries.
    (h) Referral by the General Counsel, Department of Defense. The 
Stipulation of Dismissal permits Urban Law plaintiffs to submit 
complaints to the General Counsel, DoD, for comment. The General 
Counsel, DoD, may refer such complaints to the Military Department 
concerned or to the JSRA for initial comment.
    (i) Decisional document and index entry principles. The DASD (MP&FM) 
shall identify significant principles concerning the preparation of 
decisional documents and index entries as derived from decisions under 
this section and other opinions of the Office of General Counsel, DoD. 
This review shall be completed not later than October 1 and April 1 of 
each year, or more frequently if deemed appropriate by the DASD (MP&FM). 
The significant principles identified in the review shall be coordinated 
as proposed as amendments to the sections of this part.
    (j) Implementation of amendments. The following governs the 
processing of any correspondence that is docketed prior to the effective 
date of amendments to this section except as otherwise provided in such 
amendments:
    (1) Any further action on the correspondence shall be taken in 
accordance with the amendments; and
    (2) No revision of any action taken prior to the effective date of 
such amendments is required.

                    Attachment 1--Review of Complaint

                          Military Department:

                       Decisional Document Number:

                          Name of Complainant:

                             Docket Number:

                          Date of this Review:

    1. Specific allegation(s) noted:
    2. With respect in support of the conclusion, enter the following 
information:
    a. Conclusion whether corrective action is required.
    b. Reasons in support of the conclusion, including findings of fact 
upon which the conclusion is based.
    3. Other defects noted in the decisional document or index entries:
(Authentication)

               Attachment 2--Joint Service Review Activity

Office of the Assistant Secretary of Defense (Manpower, Reserve Affairs, 
                             and Logistics)

               Review by the Joint Service Review Activity

                          Military Department:

                       Decisional Document Number:

                          Name of Complainant:

                           Name of Applicant:

                             Docket Number:

                          Date of this Review:

    1. The Military Department's ``Review of Complaint'' is attached as 
enclosure 1.
    2. Specific Allegations: See part 1 of Military Department's 
``Review of Complaint'' (enclosure 1).
    3. Specific allegation(s) not noted by the Military Department:
    4. With respect to each allegation, enter the following information:

[[Page 496]]

    a. Conclusion as to whether corrective action is required.
    b. Reasons in support of the conclusion, including findings of fact 
upon which conclusion is based.

    Note. If JSRA agrees with the Military Departments, the JSRA may 
respond by entering a statement of adoption.

    5. Other defects in the decisional document or index entries not 
noted by the Military Departments:
    6. Recommendation:
    [ ] The complainant and the Military Department should be informed 
that no further action on the complaint is warranted.
    [ ] The Military Department should be directed to take corrective 
action consistent with the above comments.

Army Member, JSRA
Air Force Member, JSRA
Navy Member, JSRA
Recorder, JSRA

               Attachment 3--Joint Service Review Activity

Office of the Assistant Secretary of Defense (Manpower, Reserve Affairs, 
                             and Logistics)

        Review of Amended Decisional Document (Quarterly Review)

                          Military Department:

                       Decisional Document Number:

                          Name of Complainant:

                           Name of Applicant:

                             Docket Number:

                          Date of this Review:

                             Recommendation:

    [ ] The amended decisional document complies with the requirements 
of the Stipulation of Dismissal and, when applicable, DoD Directive 
1332.28. The Military Department should be informed that no further 
corrective action is warranted.
    [ ] The amended decisional document does not comply with the 
Stipulation of Dismissal or DoD Directive 1332.28 as noted herein. The 
Military Department should be directed to ensure that corrective action 
consistent with the defects noted is taken by its Discharge Review 
Board.

Army Member, JSRA
Air Force Member, JSRA
Navy Member, JSRA
Recorder, JSRA

------------------------------------------------------------------------
   Yes       No        NA             Item                 Source
------------------------------------------------------------------------
                              1. Date of discharge  1. DoD Directive
                                                     1332.28, enclosure
                                                     3, subsection H.1.;
                                                     Stipulation (Jan.
                                                     31, 1977) para.
                                                     5.A.(1)(d)(i)
                                                     (reference (1)).
                                a. Date of
                                 discharge.
                                b. Character of
                                 discharge.
                                c. Reason for
                                 discharge.
                                d. Specific
                                 regulatory
                                 authority under
                                 which discharge
                                 was issued.
                              2. Service data.      2. DoD Directive
                               (This requirement     1332.28, enclosure
                               applies only in       3, subsection H.1.;
                               conjunction with      Annex B, (June ----
                               Military Department   , 1982) para. 2-2
                               Implementation of     (reference (1)).
                               General Counsel,
                               DoD, letter dated
                               July 20, 1977, or
                               to discharge
                               reviews conducted
                               on or after March
                               29, 1978.)
                                a. Date of
                                 enlistment.
                                b. Period of
                                 enlistment.
                                c. Age at
                                 enlistment.
                                d. Length of
                                 service.
                                e. Periods of
                                 unauthorized
                                 absence*.
                                f. Conduct and
                                 efficiency
                                 ratings
                                 (numerical and
                                 narrative)*.
                                g. Highest rank
                                 achieved.
                                h. Awards and
                                 decorations*.
                                i. Educational
                                 level.
                                j. Aptitude test
                                 scores.
                                k. Art. 15s
                                 (including nature
                                 and date of
                                 offense or
                                 punishment)*.
                                l. Convictions by
                                 court-martial*.
                                m. Prior military
                                 service and type
                                 of discharge(s)
                                 received*.

[[Page 497]]

 
                              3. Reference to       3. DoD Directive
                               materials presented   1332.28, enclosure
                               by applicant. (This   3, subsection H.2.;
                               requirement applies   H.3.
                               only to discharge
                               reviews conducted
                               on or after March
                               29, 1978.)
                                a. Written brief*.
                                b. Documentary
                                 evidence*.
                                c. Testimony*.....
                              4. Items submitted    4. DoD Directive
                               as issues. (See       1332.28, enclosure
                               issues worksheet).    3, subsection H.6.
                              5. Conclusions. The   5. Dod Directive
                               decisional document   1332.28, enclosure
                               must indicate         3, subsection H.5.;
                               clearly the DRB's     Stipulation (Jan.
                               conclusion            31, 1977),
                               concerning:           paragraph
                                                     5.A.(1)(d)(iv)
                                                     (reference (1)).
                                a. Determination
                                 of whether a
                                 discharge
                                 upgraded under
                                 SDRP would have
                                 been upgraded
                                 under DoD
                                 Directive
                                 1332.28. (This
                                 applies only to
                                 mandatory reviews
                                 under P.L. 95-126
                                 or Special
                                 Discharge Review
                                 Program (SDRP).
                                b. Character of
                                 discharge, when
                                 applicable \1\.
                                c. Reason for
                                 discharge, when
                                 applicable \2\.
                              6. Reasons for        6. DoD Directive
                               conclusions. The      1332.28, enclosure
                               decisional document   3, subsection H.7.,
                               must list and         H.8.; Stipulation
                               discuss the items     (Jan. 31, 1977)
                               submitted as issues   para. 5.A.(1)(d)(v)
                               by the applicant;     (reference (1)).
                               and list and
                               discuss the
                               decisional issues
                               providing the basis
                               for the DRB's
                               conclusion
                               concerning:
                                a. Whether a
                                 discharge
                                 upgraded under
                                 the SDRP would
                                 have been
                                 upgraded under
                                 DoD Directive
                                 1332.28. (This
                                 applies only to
                                 mandatory
                                 rereviews under
                                 P.L. 95-126 or
                                 SDRP reviews.).
                                b. Character of
                                 discharge, where
                                 applicable \1\.
                                c. Reason for
                                 discharge, where
                                 applicable \2\.
                              7. Advisory           7. DoD Directive
                               opinions*.            1332.28, enclosure
                                                     3, subsection
                                                     H.12., Stipulation
                                                     (Jan. 31, 1977)
                                                     para. 5.A.(1)(f)
                                                     (reference (1)).
                              8. Recommendation of  8. DoD Directive
                               DRB President.        1332.28, enclosure
                                                     3, subsection
                                                     H.12., Stipulation
                                                     (Jan. 31, 1977)
                                                     para. 5.A.(1)(g)
                                                     (reference (1)).
                              9. A record of        9. DoD Directive
                               voting.               1332.28, enclosure
                                                     3, subsection
                                                     H.13., Stipulation
                                                     (Jan. 31, 1977)
                                                     para. 5.A.(3)
                                                     (reference (1)).
                              10. Indexing of       10. DoD Directive
                               decisional document.  1332.28, enclosure
                                                     3, subsection
                                                     H.14., Stipulation
                                                     (Jan. 31, 1977)
                                                     para. 5.A.(5)(a)
                                                     (reference (1)).
                              11. Authentication    11. DoD Directive
                               of decisional         1332.28, enclosure
                               document. (This       3, subsection H.15.
                               requirement applies
                               only to discharge
                               reviews conducted
                               on or after March
                               29, 1978.)
                              12. Other...........  12. As appropriate.
------------------------------------------------------------------------
                   Explanation of items marked ``No.''
------------------------------------------------------------------------
 Key:
Yes: The decisional document meets the requirements of the Stipulation
  of Dismissal and, when applicable, DoD Directive 1332.28.
No: The decisional document does not meet the requirements of the
  Stipulation of Dismissal or DoD Directive 1332.28.
NA: Not applicable.
 
*Items marked by an asterisk do not necessarily pertain to each review.
  If the decisional document contains no reference to such an item, NA
  shall be indicated. When there is a specific complaint with respect to
  an item, the underlying discharge review record shall be examined to
  address the complaint.
\1\ In this instance ``when applicable'' means all reviews except:
a. Mandatory rereviews under P.L. 95-126 or SDRP reviews.
b. Reviews in which the applicant requested only a change in the reason
  for discharge and the DRB did not raise the character of discharge as
  a decisional issue.
\2\ In this instance ``when applicable'' means all reviews in which:
a. The applicant requested a change in the reason for discharge.
b. The DRB raised the reason for discharge as a decisional issue.
c. A change in the reason for discharge is a necessary component of a
  change in the character of discharge.


[[Page 498]]


                   Attachment 4--Issues Worksheets \1\
------------------------------------------------------------------------
                                                             Corrective
                                   Listed       Addressed      action
                                                              required
------------------------------------------------------------------------
A. Decisional issues providing
 a basis for the conclusion
 regarding a change in the
 character of or reason for
 discharge. (DoD Directive
 1332.28, enclosure 3,
 subsection D.2):
    1.
    2.
    3.
B. Items submitted as issues
 by the applicant that are not
 identified as decisional
 issues. (DoD Directive
 1332.28, enclosure 3,
 subsection D.3):
    1.
    2.
    3.
C. Remarks:
 
------------------------------------------------------------------------
\1\ This review may be made based upon the decisional document without
  reference to the underlying discharge review record except as follows:
  if there is an allegation that a specific contention made by the
  applicant to the DRB was not addressed by the DRB. In such a case, the
  complaint review process shall involve a review of all the evidence
  that was before the DRB, including the testimony and written
  submissions of the applicant, to determine whether the contention was
  made, and if so, whether it was addressed adequately with respect to
  the Stipulation of Dismissal and, when applicable, DoD Directive
  1332.28.
This review may be based upon the decisional document without reference
  to the regulation governing the discharge in question except as
  follows: if there is a specific complaint that the DRB failed to
  address a specific factor required by applicable regulations to be
  considered for determination of the character of and reason for the
  discharge in question [where such factors are a basis for denial of
  any of the relief requested by the applicant]. (The material in
  brackets pertains only to discharge reviews conducted on or before
  March 28, 1978.)

 Attachment 5--Office of the Assistant Secretary of Defense (Manpower, 
                     Reserve Affairs, and Logistics)

                    Review of Complaint (DASD(MP&FM))

                          Military Department:

                       Decisional Document Number:

                          Name of Complainant:

                           Name of Applicant:

                             Docket Number:

                          Date of this Review:

    1. Each allegation is addressed as follows:
    a. Allegation.
    b. Conclusion whether corrective action is required.
    c. Reasons in support of the conclusion, including findngs of fact 
upon which the conclusion is based.

    Note: If the DASD(MP&FM) agrees with the JSRA, he may respond by 
entering a statement of adoption.

    2. Other defects noted in the decisional document or index entries:
    3. Determinations:
    [ ] No further action on the complaint is warranted.
    [ ] Corrective action consistent with the above comments is 
required.

Deputy Assistant Secretary of Defense
(Military Personnel & Force Management)

 Attachment 6--Office of the Assistant Secretary of Defense (Manpower, 
                     Reserve Affairs, and Logistics)

          Review of Amended Decisional Document (DASD (MP&FM))

                          Military Department:

                       Decisional Document Number:

                          Name of Complainant:

                           Name of Applicant:

                             Docket Number:

                          Date of this Review:

                             Recommendation:

    [ ] The amended decisional document complies with the requirements 
of the Stipulation of Dismissal and, when applicable, DoD Directive 
1332.28. No further corrective action is warranted.
    [ ] The amended decisional document does not comply with the 
Stipulation of Dismissal or DoD Directive 1332.28 as noted herein. 
Further corrective action is required consistent with the defects noted 
in the attachment.

Deputy Assistant Secretary of Defense
(Military Personnel & Force Management)

Remarks:

                              Attachment 7

Dear ------:
    It has been determined that the decisional document issued in your 
case by the (Army) (Navy) (Air Force) Discharge Review Board

[[Page 499]]

during the (Special Discharge Review Program) (rereview program under 
Pub. L. No. 95-126) should be reissued to improve the clarity of the 
statement of findings, conclusions, and reasons for the decision in your 
case.
    In order to obtain a new decisional document you may elect one of 
the following options to receive a new review under the (Special 
Discharge Review Program) (rereview program mandated by Pub. L. No. 95-
126):
    1. You may request a new review, including a personal appearance 
hearing if you so desire, by responding on or before the suspense date 
noted at the top of this letter. Taking this action will provide you 
with a priority review before all other classes of cases.
    2. You may request correction of the original decisional document 
issued to you by responding on or before the suspense date noted at the 
top of this letter. After you receive a corrected decisional document, 
you will be entitled to request a new review, including a personal 
appearance hearing if you so desire. If you request correction of the 
original decisional document, you will not receive priority processing 
in terms of correcting your decisional document or providing you with a 
new review; instead, your case will be handled in accordance with 
standard processing procedures, which may mean a delay of several months 
or more.
    If you do not respond by the suspense date noted at the top of this 
letter, no action will be taken. If you subsequently submit a complaint 
about this decisional document, it will be processed in accordance with 
standard procedures.
    To ensure prompt and accurate processing of your request, please 
fill out the form below, cut it off at the dotted line, and return it to 
the Discharge Review Board of the Military Department in which you 
served at the address listed at the top of this letter.
Check only one:
    [ ] I request a new review of my case on a priority basis. I am 
requesting this priority review rather than requesting correction of the 
decisional document previously issued to me. I have enclosed DD Form 293 
as an application for my new review.
    [ ] I request correction of the decisional document previously 
issued to me. I understand that this does not entitle me to priority 
action in correcting my decisional document. I also understand that I 
will be able to obtain a further review of my case upon my request after 
receiving the corrected decisional document, but that such a review will 
not be held on a priority basis.
Dates___________________________________________________________________
Signatures______________________________________________________________
Printed Name and Address
________________________________________________________________________

[47 FR 37785, Aug. 26, 1982, as amended at 48 FR 9856, Mar. 9, 1983]



Sec. 70.11  DoD semiannual report.

    (a) Semiannual reports will be submitted by the 20th of April and 
October for the preceding 6-month reporting period (October 1 through 
March 31 and April 1 through September 30).
    (b) The reporting period will be inclusive from the first through 
the last days of each reporting period.
    (c) The report will contain four parts:
    (1) Part 1. Regular Cases.
    (2) Part 2. Reconsideration of President Ford's Memorandum of 
January 19, 1977, and Special Discharge Review Program Cases.
    (3) Part 3. Cases Heard under Pub. L. 95-126 by waiver of 10 U.S.C. 
1553, with regard to the statute of limitations.
    (4) Part 4. Total Cases Heard.

                                                Semiannual DRB Report--RCS DD-M(SA) 1489; Summary of Statistics for Discharge Review Board (FY )
                                                                                         [Sample format]
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
                                                 Nonpersonal appearance                                             Personal appearance                                        Total
                               -----------------------------------------------------------------------------------------------------------------------------------------------------------------
         Name of board                                                                                                                                                                 Percent
                                     Applied        Number approved    Percent approved       Applied        Number approved   Percent approved       Applied       Number approved    approved
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
                                .................  .................  .................  .................  .................  ................  ................  ................  ...........
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Note:
 Identify numbers separately for traveling panels, regional panels, or hearing examiners, as appropriate.
 Use of additional footnotes to clarify or amplify the statistics being reported is encouraged.



PART 74_APPOINTMENT OF DOCTORS OF OSTEOPATHY AS MEDICAL OFFICERS--
Table of Contents



Sec.
74.1 Purpose.
74.2 Policy.

    Authority: 10 U.S.C. 3294, 5574, 8294.

    Source: 25 FR 14370, Dec. 31, 1960, unless otherwise noted.

[[Page 500]]



Sec. 74.1  Purpose.

    The purpose of this part is to implement the provisions of Pub. L. 
763, 84th Congress (70 Stat. 608), relating to the appointment of 
doctors of osteopathy as medical officers.



Sec. 74.2  Policy.

    In the interest of obtaining maximum uniformity, the following 
criteria are established for the appointment of doctors of osteopathy as 
medical officers:
    (a) To be eligible for appointment as Medical Corps officers in the 
Army and Navy or designated as medical officers in the Air Force, a 
doctor of osteopathy must:
    (1) Be a citizen of the United States;
    (2) Be a graduate of a college of osteopathy whose graduates are 
eligible for licensure to practice medicine or surgery in a majority of 
the States, and be licensed to practice medicine, surgery, or osteopathy 
in one of the States or Territories of the United States or in the 
District of Columbia;
    (3) Possess such qualifications as the Secretary concerned may 
prescribe for his service, after considering the recommendations for 
such appointment by the Surgeon General of the Army or the Air Force or 
the Chief of the Bureau of Medicine and Surgery of the Navy;
    (4) Have completed a minimum of three years college work prior to 
entrance into a college of osteopathy;
    (5) Have completed a four-year course with a degree of Doctor of 
Osteopathy from a school of osteopathy approved by the American 
Osteopathic Association; and
    (6) Have had subsequent to graduation from an approved school of 
osteopathy 12 months or more of intern or residency training approved by 
the American Osteopathic Association.
    (b) [Reserved]



PART 77_PROGRAM TO ENCOURAGE PUBLIC AND COMMUNITY SERVICE--
Table of Contents



Sec.
77.1 Purpose.
77.2 Applicability and scope.
77.3 Definitions.
77.4 Policy.
77.5 Responsibilities.
77.6 Procedures.

Appendix A to Part 77--DD Form 2580, Operation Transition Department of 
          Defense Outplacement and Referral System/Public and Community 
          Service Individual Application
Appendix B to Part 77--DD Form 2581, Operation Transition Employer 
          Registration
Appendix C to Part 77--DD Form 2581-1, Public and Community Service 
          Organization Validation

    Authority: 10 U.S.C. 1143 (c).

    Source: 59 FR 40809, Aug. 10, 1994, unless otherwise noted.



Sec. 77.1  Purpose.

    This part implements Pub. L. 102-484, Section 4462 and Pub. L. 103-
160, Section 561 by establishing policy, assigning responsibilities, and 
prescribing procedures to:
    (a) Encourage and assist separating Service members, Service members 
retiring with 20 or more years of service, DoD civilian personnel 
leaving the Government, and spouses to enter public and community 
service employment.
    (b) Encourage and assist Service members requesting retirement with 
fewer than 20 years of service to register for public and community 
service employment.



Sec. 77.2  Applicability and scope.

    This part applies to:
    (a) The Office of the Secretary of Defense, the Military 
Departments, the Chairman of the Joint Chiefs of Staff, the Unified 
Combatant Commands, and the Defense Agencies (hereafter referred to 
collectively as ``the DoD Components''). The term ``Military Services,'' 
as used herein, refers to the Army, the Navy, the Air Force, and the 
Marine Corps.
    (b) All active duty Service members and former members under Pub. L. 
102-484, Section 4462 and Pub. L. 103-160, Section 561, and DoD civilian 
personnel leaving the Government, and their spouses.



Sec. 77.3  Definitions.

    (a) Community service employment. Work in nonprofit organizations 
that provide or coordinate services listed in paragraphs (d) (1) through 
(12) of this

[[Page 501]]

section. ``Nonprofit'' is defined as having been recognized by the 
Internal Revenue Service as having a tax-exempt status under 26 U.S.C. 
501 (c)(3) or (c)(4). These organizations shall not be administered by 
businesses organized for profit, labor unions, partisan political 
organizations, or organizations engaged in religious activities, unless 
such activities are unrelated to religious instructions, worship 
services, or any form of proselytization.
    (b) Creditable early retirement public or community service 
employment for service members. Employment in a DoD-registered public 
and community service organization that provides the services listed in 
paragraphs (d) (1) through (12) of this section, or that coordinates the 
provision of the services listed in paragraphs (d) (1) through (12) of 
this section. Federal employment shall count toward recomputed military 
retirement pay and Survivor Benefit Plan base amount for early retirees: 
however, working in a DoD-registered Federal public service organization 
may trigger the dual-compensation restrictions of 5 U.S.C. 5532. 
Employment must have occurred between that date of early retirement and 
the date in which the Service member would have attained 20 years of 
credible service for computing retired pay, or he or she must have 
retired on or after October 23, 1992 and before October 1, 1999.
    (c) Early retirement. Retirement from active duty with at least 15 
but fewer than 20 years of service, as provided by Pub. L. 102-484, 
Section 4403.
    (d) Public and community service organization. Government or private 
organizations that provide or coordinate the provision of the following 
services.
    (1) Elementary, secondary, or post secondary school teaching or 
administration.
    (2) Support of teachers or school administrators.
    (3) Law enforcement.
    (4) Public health care.
    (5) Social services.
    (6) Public safety.
    (7) Emergency relief.
    (8) Public housing.
    (9) Conservation.
    (10) Environment.
    (11) Job training.
    (12) Other public and community service not listed previously, but 
consistent with or related to services described in paragraphs(d)(1) 
through (11) of this section.
    (e) Public service employment. Work in a Federal, state or local 
government organization which provides or coordinates services listed in 
paragraphs (d)(1) through (12) of this section.
    (f) Separation. Normal separation from activity duty or civil 
service, military retirement with 20 or more year's service, release 
from active military service, and reduction in force.
    (g) Transition assistance program counselor. A person charged with 
the responsibility of conducting transition programs. Examples include 
personnel assigned to family centers, military or civilian personnel 
offices, unit transition counselors, and as command career counselors.



Sec. 77.4  Policy.

    It is DoD policy that:
    (a) All separating Service members and former members shall be 
encouraged to enter public or community service employment.
    (b) Service members determined to be eligible by the Secretary of 
their Military Department for, and who do request retirement with fewer 
than 20 years of service, are required by Pub. L. 102-484, Section 4403 
to register for public and community service employment.
    (1) This registration normally shall take place not earlier than 90 
days before retirement or terminal/transition leave.
    (2) In order to have their military retired pay and Survivor Benefit 
Plan base amount (if applicable) recomputed in accordance with DoD 
Instruction 1340.19 \1\ early retirees must be employed with a DoD-
registered public or community service organization that provides the 
services listed in sections 77.3(d)(1) through (d)(12), or that 
coordinates the provision of services listed in section 77.3(d)(1) 
through (d)(12).
---------------------------------------------------------------------------

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

    (c) DoD civilian personnel leaving the Government, their spouses, 
and

[[Page 502]]

spouses of Service members who are seeking employment shall be 
encouraged to register for public and community service employment.



Sec. 77.5  Responsibilities.

    (a) The Under Secretary of Defense for Personnel and Readiness 
shall:
    (1) Monitor compliance with this rule.
    (2) Establish policy and provide guidance related to public and 
community service employment.
    (3) Provide program information to the public on the Department of 
Defense's public and community service employment program.
    (4) Ensure that the Director, Defense Manpower Data Center (DMDC):
    (i) Maintains the Public and Community Service Organizational 
Registry.
    (ii) Maintains the Public and Community Service Personnel Registry.
    (5) Decide the status of requests for reconsideration from employers 
resubmitting their request to be included on the Public and Community 
Service Organizational Registry, but whose first request was 
disapproved.
    (b) The Secretaries of the Military Departments shall:
    (1) Ensure compliance with this rule.
    (2) Encourage public and community service employment for separating 
Service members, their spouses, DoD civilian personnel leaving the 
Government, and their spouses.
    (3) Coordinate with the Under Secretary of Defense for Personnel and 
Readiness before promulgating public and community service employment 
policies and regulations.



Sec. 77.6  Procedures.

    (a) Military personnel offices shall advise Service members desiring 
to apply for early retirement that they shall register, normally, within 
90 days of their retirement date, for public and community service 
(PACS) employment, and refer them to a Transition Assistance Program 
Counselor for registration.
    (b) Personnel offices shall advise separating Service members, DoD 
civilian personnel leaving the Government, and their spouses to contact 
a Transition Assistance Program Counselor about PACS employment and 
registration.
    (c) Transition Assistance Program Counselors shall counsel 
separating Service members (during preseparation counseling established 
by DoD Instruction 1332.36 \2\), DoD civilian personnel leaving the 
Government, and their spouses on PACS employment. Counselors shall 
update into the Defense Outplacement Referral System (DORS) database 
Service members requesting early retirement and other DoD personnel or 
spouses who request registration. Transition Assistance Program 
Counselors shall use DD Form 2580 (Appendix A to this part) to register 
personnel for PACS employment. In addition, Counselors shall ensure that 
Service members who are requesting early retirement are advised that:
---------------------------------------------------------------------------

    \2\ See footnote 1 to section 77.4(b)(2).
---------------------------------------------------------------------------

    (1) Registering for PACS employment is a requirement for 
consummation of their early retirement under Pub. L. 102-484, Section 
4403 or Pub. L. 103-160, Section 561.
    (2) Early retirees must provide a copy of their confirmation DORS 
mini-resume to their servicing military personnel office for filing in 
their Service record before their final retirement processing.
    (3) Subsequent PACS employment is encouraged but not required.
    (4) Working in a DoD-approved Federal public service organization 
may subject him or her to dual compensation restrictions of 5 U.S.C. 
5532.
    (5) DoD-approved PACS employment qualifies the Service member who is 
retired under Pub. L. 102-484, Section 4403 or Pub. L. 103-160, Section 
561 for increased retired pay effective on the first day of the first 
month beginning after the date on which the member or former member 
attains 62 years of age. The former Service member must have worked in 
DoD-approved PACS employment between the date of early retirement and 
the date in which he or she would have attained 20 years of creditable 
service for computing retired pay, and have retired on or after October 
23, 1992 and before October 1, 1999.
    (6) It is the early retiree's responsibility to ensure that the DMDC 
is advised when the early retiree's PACS employment starts, and of any 
subsequent changes.

[[Page 503]]

    (d) Military personnel offices shall ensure a copy of the 
confirmation DORS mini-resume is filed in the permanent document section 
of the Service record of Service members who retire early.
    (e) DMDC shall maintain the PACS Personnel Registry, which includes 
information on the particular job skills, qualifications, and experience 
of registered personnel.
    (f) DMDC shall maintain the PACS Organizational Registry, which 
includes information regarding each organization, including its 
location, size, types of public or community service positions in the 
organization, points of contact, procedures for applying for such 
positions, and a description of each position that is likely to be 
available.
    (g) PACS Organizations shall use DD Form 2581 (Appendix B to this 
part) and DD Form 2581-1 (Appendix C to this part) to request 
registration on the PACS Organizational Registry. Instructions on how to 
complete the forms and where to send them are on the forms.
    (h) DMDC shall register those organizations meeting the definition 
of a PACS organization and include them on the PACS Organizational 
Registry. For organizations that do not appear to meet the criteria, 
DMDC shall refer the request to the Transition Support and Services 
Directorate, Office of the Assistant Secretary of Defense for Personnel 
and Readiness. The Transition Support and Services Directorate may 
consult individually on an ad hoc basis with appropriate agencies to 
determine whether or not the organization meets the validation criteria. 
For organizations which are denied approval as a creditable early 
retirement organization and which request reconsideration, the 
Transition Support and Services Directorate will forward that request to 
the next higher level for a final determination. DMDC shall advise 
organizations of their status.

[[Page 504]]



     Sec. Appendix A to Part 77--DD Form 2580, Operation Transition 
                          Department of Defense

Outplacement and Referral System/Public and Community Service Individual 
                               Application
[GRAPHIC] [TIFF OMITTED] TR10AU94.039


[[Page 505]]


[GRAPHIC] [TIFF OMITTED] TR10AU94.040


[[Page 506]]


[GRAPHIC] [TIFF OMITTED] TR10AU94.041


[[Page 507]]





Sec. Appendix B to Part 77--DD Form 2581, Operation Transition Employer 
                              Registration
[GRAPHIC] [TIFF OMITTED] TR10AU94.042


[[Page 508]]


[GRAPHIC] [TIFF OMITTED] TR10AU94.043


[[Page 509]]





Sec. Appendix C to Part 77--DD Form 2581-1, Public and Community Service 
                         Organization Validation
[GRAPHIC] [TIFF OMITTED] TR10AU94.044


[[Page 510]]


[GRAPHIC] [TIFF OMITTED] TR10AU94.045



PART 78_VOLUNTARY STATE TAX WITHHOLDING FROM RETIRED PAY--
Table of Contents



Sec.
78.1 Purpose.
78.2 Applicability and scope.
78.3 Definitions.
78.4 Policy.
78.5 Procedures.
78.6 Responsibilities.
78.7 Standard agreement.

    Authority: 10 U.S.C. 1045.

    Source: 50 FR 47220, Nov. 15, 1985, unless otherwise noted.

[[Page 511]]



Sec. 78.1  Purpose.

    Under 10 U.S.C. 1045, this part provides implementing guidance for 
voluntary State tax withholding from the retired pay of uniformed 
Service members. The policy and procedures for this part are also 
located in the DoD Financial Management Regulation (``DoDFMR''), Volume 
7B, Chapter 26, ``State and Local Taxes'' (DoD 7000.14-R).

[50 FR 47220, Nov. 15, 1985, as amended at 71 FR 40657, July 18, 2006]



Sec. 78.2  Applicability and scope.

    (a) This part applies to the Office of the Secretary of Defense, the 
Military Departments, the Coast Guard (under agreement with the 
Department of Transportation), the Public Health Service (PHS) (under 
agreement with the Department of Health and Human Services and the 
National Oceanic and Atmospheric Administration (NOAA) (under agreement 
with the Department of Commerce). The term ``Uniformed Services,'' as 
used herein, refers to the Army, Navy, Air Force, Marine Corps, Coast 
Guard, commissioned corps of the PHS, and the Commissioned corps of the 
NOAA.
    (b) It covers members retired from the regular and reserve 
components of the Uniformed Services who are receiving retired pay.



Sec. 78.3  Definitions.

    (a) Income tax. Any form of tax under a State statute where the 
collection of that tax either imposes on employers generally the duty of 
withholding sums from the compensation of employees and making returns 
of such sums to the State, or grants employers generally the authority 
to withhold sums from the compensation of employees if any employee 
voluntarily elects to have such sum withheld. And, the duty to withhold 
generally is imposed, or the authority to withhold generally is granted, 
with respect to the compensation of employees who are residents of such 
State.
    (b) Member. A person originally appointed or enlisted in, or 
conscripted into, a Uniformed Service who has retired from the regular 
or reserve component of the Uniformed Service concerned.
    (c) Retired pay. Pay and benefits received by a member based on 
conditions of the retirement law, pay grade, years of service, date of 
retirement, transfer to the Fleet Reserve or Fleet Marine Corps Reserve, 
or disability. It also is known as retainer pay.
    (d) State. Any State, the District of Columbia, the Commonwealth of 
Puerto Rico, and any territory or possession of the United States.



Sec. 78.4  Policy.

    (a) It is the policy of the Uniformed Services to accept written 
requests from members for voluntary income tax withholding from retired 
pay when the Department of Defense has an agreement for such withholding 
with the State named in the request.
    (b) The Department of Defense shall enter into an agreement for the 
voluntary withholding of State income taxes from retired pay with any 
State within 120 days of a request for agreement from the proper State 
official. The agreement shall provide that the Uniformed Services shall 
withhold State income tax from the monthly retired pay of any member who 
voluntarily requests such withholding in writing.



Sec. 78.5  Procedures.

    (a) The Uniformed Services shall comply with the payment 
requirements of the state, city, or county tax laws. Therefore, the 
payment requirements (biweekly, monthly, or quarterly) of the state, 
city, or county tax laws currently in effect will be observed by the 
Uniformed Services. However, payment will not be made more frequently 
than required by the state, city, or county, or more frequently than the 
payroll is paid by the Uniformed Services. Payment procedures shall 
conform, to the extent practicable, to the usual fiscal practices of the 
Uniformed Services.
    (b) A member may request that the State designated for withholding 
be changed and that the subsequent withholdings be remitted as amended. 
A member may revoke his or her request for withholding at any time. Any 
request for a change in the State designated or any revocation is 
effective

[[Page 512]]

on the first day of the month after the month in which the request or 
revocation is processed by the Uniformed Service concerned, but in no 
event later than on the first day of the second month beginning after 
the day on which the request or revocation is received by the Uniformed 
Service concerned.
    (c) A member may have in effect at any time only one request for 
withholding under this part. A member may not have more than two such 
requests in effect during any one calendar year.
    (d) The agreements with States may not impose more burdensome 
requirements on the United States than on employers generally or subject 
the United States, or any member, to a penalty or liability because of 
such agreements.
    (e) The Uniformed Services shall perform the services under this 
part without accepting payment from States for such services.
    (f) The Uniformed Services may honor a retiree's request for refund 
until a payment has been made to the State. After that, the retiree may 
seek a refund of any State tax overpayment by filing the appropriate 
State tax form with the State that received the voluntary withholding 
payments. The Uniformed Services may honor a retiree's request for 
refund until a payment has been made to the State. State refunds will be 
in accordance with State income tax policy and procedures.
    (g) A member may request voluntary tax withholding by writing the 
retired pay office of his or her Uniformed Service. The request shall 
include: The member's full name, social security number, the fixed 
amount to be withheld monthly from retired pay, the State designated to 
receive the withholding, and the member's current residence address. The 
request shall be signed by the member, or in the case of incompetence, 
his or her guardian or trustee. The amount of the request for State tax 
withholding must be an even dollar amount, not less than $10 or less 
than the State's minimum withholding amount, if higher. The Uniformed 
Services' retired pay office addresses are given as follows:
    (1) Defense Finance and Accounting Service, Attn: DFAS/PRR/CL, 1240 
East Ninth Street, Cleveland, OH 44199-2055.
    (2) Coast Guard: Commanding Officer (RPB), U.S. Coast Guard Human 
Resources Service and Information Center, 444 S. E. Quincy Street, 
Topeka, KS 66683-3591.
    (3) U.S. Public Health Service Compensation Branch, 5600 Fishers 
Lane, Room 4-50, Rockville, MD 20857.
    (4) National Oceanic and Atmospheric Administration, Commanding 
Officer (RPB), U.S. Coast Guard Human Resources Service and Information 
Center, 444 S. E. Quincy Street, Topeka, KS 66683-3591.
    (h) If a member's retired pay is not sufficient to satisfy a 
member's request for a voluntary State tax, then the withholding will 
cease. A member may initiate a new request when such member's retired 
pay is restored in an amount sufficient to satisfy the withholding 
request.
    (i) A State requesting an agreement for the voluntary withholding of 
State tax from the retired pay of members of the Uniformed Services 
shall indicate, in writing, its agreement to be bound by the provisions 
of this part. If the State proposes an agreement that varies from the 
Standard Agreement, the State shall indicate which provisions of the 
Standard Agreement are not acceptable and propose substitute provisions. 
The letter shall be addressed to the Director, Defense Finance and 
Accounting Service, 1931 Jefferson Davis Highway, Arlington, VA 22240. 
To be effective, the letter must be signed by a State official 
authorized to bind the State under an agreement for tax withholding. 
Copies of applicable State laws that authorize employers to withhold 
State income tax and authorize the official to bind the State under an 
agreement for tax withholding shall be enclosed with the letter. The 
letter also shall indicate the title and address of the official whom 
the Uniformed Services may contact to obtain information necessary for 
implementing withholding.
    (j) Within 120 days of the receipt of a letter from a State, the 
Director, Defense Finance and Accounting Service, or designee, will 
notify the State, in writing, that DoD has either entered

[[Page 513]]

into the Standard Agreement or that an agreement cannot be entered into 
with the State and the reasons for that determination.

[50 FR 47220, Nov. 15, 1985, as amended at 50 FR 49930, Dec. 6, 1985; 68 
FR 36914, June 20, 2003]



Sec. 78.6  Responsibilities.

    (a) The Assistant Secretary of Defense (Comptroller) shall provide 
guidance, monitor compliance with this part, and have the authority to 
change or modify the procedures set forth.
    (b) The Secretaries of the Military Departments and Heads of the 
other Uniformed Services shall comply with this part.



Sec. 78.7  Standard agreement.

    Standard Agreement For Voluntary State Tax Withholding From The 
Retired Pay Of Uniformed Service Members

                           Article I--Purpose

    This agreement, hereafter referred to as the ``Standard Agreement,'' 
establishes administrative procedures and assigns responsibilities for 
voluntary State tax withholding from the retired pay of Uniformed 
Service members consistent with section 654 of the Department of Defense 
Authorization Act for Fiscal Year 1985 (Pub. L. 98-525), codified as 10 
U.S.C. 1045.

                           Article II--Parties

    The parties to this agreement are the Department of Defense on 
behalf of the Uniformed Services and the State that has entered into 
this agreement pursuant to 10 U.S.C. 1045.

                         Article III--Procedures

    The parties to the Standard Agreement are bound by the provisions in 
title 32, Code of Federal Regulations, part 78. The Secretary of Defense 
may amend, modify, supplement, or change the procedures for voluntary 
State tax withholding from retired pay of Uniformed Service members 
after giving notice in the Federal Register. In the event of any such 
changes, the State will be given 45 days to terminate this agreement.

                          Article IV--Reporting

    Copies of Internal Revenue Service Form 1099R, ``Distribution From 
Pensions, Annuities, Retirement, or Profit Sharing Plan, IRAs, Insurance 
Contracts, etc.'' may be used for reporting withheld taxes to the State. 
The media for reporting (paper copy, magnetic tape, electronic file 
transfer, etc.) will comply with the state reporting standards that 
apply to employers in general.

                       Article V--Other Provisions

    A. This agreement shall be subject to any amendment of 10 U.S.C. 
1045 and any regulations issued pursuant to such statutory change.
    B. In addition to the provisions of Article III, the agreement may 
be terminated by a party to the Standard Agreement by providing the 
other party with written notice to that effect at least 90 days before 
the proposed termination.
    C. Nothing in this agreement shall be deemed to:
    1. Require the collection of delinquent tax liabilities of retired 
members of the Uniformed Services;
    2. Consent to the application of any provision of State law that has 
the effect of imposing more burdensome requirements upon the United 
States than the State imposes on other employers, or subjecting the 
United States or any member to any penalty or liability;
    3. Consent to procedures for withholding, filing of returns, and 
payment of the withheld taxes to States that do not conform to the usual 
fiscal practices of the Uniformed Services;
    4. Allow the Uniformed Services to accept payment from a State for 
any services performed with regard to State income tax withholding from 
the retired pay of Uniformed Service members.

[50 FR 47220, Nov. 15, 1985, as amended at 68 FR 36915, June 20, 2003]



PART 79_CHILD DEVELOPMENT PROGRAMS (CDPs)--Table of Contents



Sec.
79.1 Purpose.
79.2 Applicability.
79.3 Definitions.
79.4 Policy.
79.5 Responsibilities.
79.6 Procedures.

    Authority: 10 U.S.C. 1783, 1791 through 1800, 2809, and 2812.

    Source: 79 FR 28409, May 16, 2014, unless otherwise noted.



Sec. 79.1  Purpose.

    This part:
    (a) Reissues DoD Instruction (DoDI) 6060.2 in accordance with the 
authority in DoD Directive (DoDD) 5124.02, ``Under Secretary of Defense 
for Personnel and Readiness (USD(P&R))''

[[Page 514]]

(available at http://www.dtic. mil/whs/directives /corres/pdf/ 
512402p.pdf) and DoD Instruction 1342.22, ``Military Family Readiness'' 
(available at http://www.dtic. mil/whs/directives /corres/pdf/ 
134222p.pdf) and the requirements of DoDD 1020.1
    (b) Updates established policy, assigns responsibilities, and 
prescribes procedures for providing care to minor children (birth 
through age 12 years) of individuals who are eligible for care in DoD 
CDPs. This includes:
    (1) Center-based care and community-based care.
    (2) Family child care (FCC).
    (3) School-age care (SAC).
    (4) Supplemental child care.
    (c) Cancels DODI 6060.3
    (d) Implements 10 United States Code (U.S.C.) 1791 through 1800.
    (e) Authorizes the publication of supporting guidance for the 
implementation of CDP policies and responsibilities, including child 
development training modules, program aids, and other management tools.
    (f) Establishes the DoD Effectiveness Rating and Improvement System 
(ERIS), in accordance with 10 U.S.C. 1791 through 1800.



Sec. 79.2  Applicability.

    This part applies to the Office of the Secretary of Defense, the 
Military Departments, the Office of the Chairman of the Joint Chiefs of 
Staff and the Joint Staff, the Combatant Commands, the Office of the 
Inspector General of the Department of Defense, the Defense Agencies, 
the DoD Field Activities, and all other organizational entities within 
the DoD (hereinafter referred to collectively as the ``DoD 
Components'').



Sec. 79.3  Definitions.

    Unless otherwise noted, these terms and their definitions are for 
the purpose of this part.
    Accreditation. Verification that a CDP has been assessed by an 
appropriate, external national accrediting body and meets the standards 
of quality established by that body.
    Affiliated family child care (FCC). Home-based child care services 
that are provided by licensed individuals in homes located off of the 
installation, who agree to comply with the standards outlined in this 
part.
    Appropriated funds (APF). Funds appropriated by Congress and 
received by the U.S. Government as tax dollars.
    APF employees. Civilian employees hired by DoD Components with APF. 
Includes temporary employees, 18 years or older.
    Caregiver. For the purpose of determining priority, a parent or an 
individual who performs the functions of a parent.
    Caregiving personnel. Civilian employees of a CDP who are directly 
involved with the care and supervision of children and are counted in 
the staff to child ratios.
    Child development program (CDP). Child care services for children of 
DoD personnel from birth through 12 years of age.
    CDP employee. A civilian employed by the DoD to work in a DoD CDP 
(regardless of whether the employee is paid from APF or NAF).
    Child(ren). A person under 18 years of age for whom a parent, 
guardian, or foster parent, is legally responsible.
    Child care fees. NAF derived from fees paid by Military members and 
other authorized users of child care services provided at a military CDC 
or other DoD-approved facility-based CDP. Also referred to as user fees 
or parent fees.
    Child care hour. One hour of care provided to one child. If a 
provider cares for six children for 10 hours, that is the equivalent of 
60 child care hours.
    Combat related wounded warrior. A term referring to the entire 
population of wounded, ill and injured Service members and veterans who 
have incurred a wound, illness, or injury for which the member was 
awarded the Purple Heart or whose wound, illness, or injury was incurred 
as a direct result of armed conflict or while engaged in hazardous 
service or in the performance of duty under conditions simulating war, 
or through an instrumentality of war.
    Direct care personnel. Staff members whose main responsibility 
focuses on providing care to children and youth.
    DoD CDP Employee Wage Plan. The wage plan that uses a NAF pay 
banding system to provide direct service personnel with rates of pay 
substantially

[[Page 515]]

equivalent to other employees at the installation with similar training, 
seniority, and experience. Pay increases and promotions are tied to 
completion of training. Completion of training is a condition of 
employment. This wage plan does not apply to CDPs constructed and 
operated by contractors under DoDI 1015.15, ``Establishment, Management 
and Control of Nonappropriated Fund Instrumentalities and Financial 
Management of Supporting Resources'' (see http://www.dtic. mil/whs/
directives /corres/pdf/ 101515p.pdf).
    DoD Certification to Operate. Certification issued to each DoD CDP 
after the program has been inspected by a representative(s) of the DoD 
Component or a major command, and found to be in compliance with DoD 
standards in Sec. 79.6, paragraphs (a), (c)-(f), (i) and (j).
    DoD Child Abuse and Safety Hotline. A hotline (found at DoD's 
Military Homefront Web site) required by 10 U.S.C. 1794 that enables 
parents and visitors to anonymously report suspected child abuse or 
safety violations at a military CDP or home.
    Eligible patron. Patrons who qualify for CDP services, to include 
active duty Military Service members, DoD civilian employees paid from 
APF and NAF, Reserve Component Military Service members on inactive duty 
training, combat related wounded warriors, surviving spouses of military 
members who died from a combat related incident, eligible employees of 
DoD contractors, other Federal employees, and those acting in loco 
parentis of the aforementioned eligible patrons.
    Eligible employee of a DoD contractor. An employee of a DoD 
contractor or subcontractor, or individual under contract or subcontract 
to DoD, who requires physical access to DoD facilities at least two days 
out of a work week.
    Facility-based program. Refers to child care that is provided within 
a building, structure, or other improvement to real property. Does not 
include FCC homes.
    Family child care (FCC). Home-based child care services that are 
provided for Military Service members, DoD civilian employees, or 
eligible employees of a DoD contractor by an individual who is certified 
by the Secretary of the Military Department or Director of the Defense 
Agency or DoD Field Activity concerned as qualified to provide those 
services, and provides those services for 10 hours or more per week per 
child on a regular basis for compensation. Also referred to as family 
home day care, family home care, child development homes, and family day 
care.
    FCC administrator. DoD civilian employees or contract personnel, 
either APF or NAF, who are responsible for FCC program management, 
training, inspections, and other services to assist FCC providers. 
Includes program directors, monitors, outreach workers, United States 
Department of Agriculture (USDA) CACFP monitors, and administrative 
personnel.
    FCC provider. An individual 18 years of age or older who provides 
child care for 10 hours or more per week per child on a regular basis in 
his or her home with the approval and certification of the commanding 
officer, and has responsibility for planning and carrying out a program 
that meets the children's needs at their various stages of development 
and growth.
    Family member. For a Military Service member, the member's spouse or 
unmarried dependent child, or an unmarried dependent child of the 
member's spouse. For an eligible DoD civilian employee or eligible 
employee of a DoD contractor, the employee's spouse or same-sex domestic 
partner, or unmarried dependent child of the employee, employee's 
spouse, or the employee's same-sex domestic partner.
    Financial hardship. A severe hardship resulting from, but not 
limited to: Sudden and unexpected illness or accident of the spouse or 
the same-sex domestic partner of an eligible DoD Civilian employee; loss 
of the spouse's or eligible DoD Civilian's same-sex domestic partner's 
employment or wages; property damage not covered by insurance; 
extraordinary and unforeseeable circumstances arising as a result of 
events beyond the control of the patron.
    Full-day care. This care meets the needs of parents working outside 
the home who require child care services 6 hours or more per day on a 
regular basis, usually at least 4 days per week.

[[Page 516]]

    Hourly care. Care provided in a CDP that meets the needs of parents 
requiring short-term child care services on an intermittent basis. 
Hourly care includes on-site group care.
    Individual with a disability. A handicapped person as defined in 32 
CFR part 56, in accordance with 29 U.S.C. 705, also known as ``Section 7 
of The Rehabilitation Act of 1973,'' as amended, and consistent with 42 
U.S.C. 12102, also known as ``The Americans with Disabilities Act, as 
amended''. Synonymous with the phrase ``person with a disability.''
    Identification Action Team. A multidisciplinary team that supports 
families of children with special needs that consider the needs of the 
child, the disability, and the environment of group care in child 
development facilities or home-based care, staffing needs and training 
requirements, and the resources of the program.
    Infant. A child, aged birth through 12 months.
    In loco parentis. In the place or position of a parent. An ``in loco 
parentis'' relationship is one in which a person takes on the role of a 
lawful parent by assuming the obligations and discharging the duties of 
a parent without formally becoming an adoptive parent or legal guardian. 
The child(ren) must reside with and be supported by the person. A 
special power of attorney to act ``in loco parentis'' is required to be 
on file.
    Military approved community based program. Military approved child 
care available to geographically dispersed eligible families.
    Military CDP facility. A facility on a military installation or 
operated by a DoD Component at which child care services are provided 
for Military Service members or DoD civilian employees or any other 
facility at which such child care services are provided that is operated 
by the Secretary of a Military Department.
    Military installation. Defined in 32 CFR 238.3.
    Mixed-age group. A group of children that includes children from 
more than one age group.
    Multidisciplinary inspection team. An inspection team led by a 
representative of the installation commander with authority to verify 
compliance with standards.
    Non-appropriated funds (NAF). Funds derived from CDP fees paid by 
eligible patrons.
    NAF employees. Civilian employees hired by DoD Components and 
compensated from NAFI funds. Includes temporary employees, 18 years or 
older.
    Off-site group care. An option which provides child care on an 
occasional rather than a daily basis and allows on-site hourly group 
care when parents of children in care are attending command functions in 
the same facility.
    On-site group care. A child care program that provides on-site 
hourly group child care when a parent or guardian of the children in 
care are attending the same function and are in the same facility.
    Operational hardship. A program's inability to operate at full 
capacity due to documented staffing shortages.
    Parent. The biological father or mother of a child; a person who, by 
order of a court of competent jurisdiction, has been declared the father 
or mother of a child by adoption; the legal guardian of a child; or a 
person in whose household a child resides at least 25 percent of the 
time in any month, provided that such person stands in loco parentis to 
that child and contributes at least one-half of the child's support.
    Parent board. A group established pursuant to 10 U.S.C. 1783 and 
1795 comprised of parents who are also Military Service members, retired 
Military Service members, or spouses of Military Service members or 
retired Military Service members of children attending DoD CDPs, 
including FCC. This board shall act in an advisory capacity, providing 
recommendations for improving services. The board shall meet 
periodically with staff of the CDP. The board, with the advice of the 
program staff, shall be responsible for developing and overseeing the 
implementation of the parent participation program in accordance with 10 
U.S.C. 1795.

[[Page 517]]

    Parent participation plan. A planned group of activities and 
projects established by the Parent Board to encourage parents to 
volunteer in CDPs, including special events and activities (such as 
field trips, holiday events, and special curriculum programs), small 
group activities, special projects (such as playground improvement, 
procurement of equipment, and administrative aid), and parent education 
programs and training workshops to include child abuse prevention 
education for parents.
    Part-day care. This care meets the needs of parents working outside 
the home who require child care services on a seasonal or regularly 
scheduled part-day basis for fewer than 6 hours per day, usually fewer 
than 4 days per week.
    Preschool-age. Children 36 months through 5 years of age.
    Pre-toddler. A child 13 months through 24 months of age.
    Qualifying children. Children of an eligible patron or their spouse 
or the same-sex domestic partner of eligible DoD civilian employees.
    Resource and referral (R&R). A service that provides information 
about child care services on and off the installation to meet patrons' 
child care needs and maximize use of available sources of child care.
    Respite child care. Care for children that provides a parent or 
guardian temporary respite from their role as a primary caregiver.
    Same-sex domestic partner. A person in a same-sex domestic 
partnership with a uniformed service member, civilian employee or 
employee of a DoD contractor of the same-sex.
    Same-sex domestic partnership. A committed relationship between two 
adults of the same-sex in which the partners:
    (1) Are each other's sole same-sex domestic partner and intend to 
remain so indefinitely;
    (2) Are not married (legally or by common law) to, joined in civil 
union with, or in a same-sex domestic partnership with anyone else;
    (3) Are at least 18 years of age and mentally competent to consent 
to contract;
    (4) Share responsibility for a significant measure of each other's 
common welfare and financial obligations;
    (5) Are not related in a way that, if they were of opposite sex, 
would prohibit legal marriage in the state or U.S. jurisdiction in which 
they reside; and,
    (6) Maintain a common residence and intend to continue the 
arrangement (or would maintain a common residence but for the 
requirements of military service, an assignment abroad, or other 
employment-related, financial, or similar obstacle).
    School age care (SAC). Either facility-based or home-based care for 
children ages 6-12, or those attending kindergarten, who require 
supervision before and after school, or during duty hours, school 
holidays, or school closures.
    School-age children. Children aged 6 years through 12, or attending 
kindergarten through sixth grade, enrolled in a SAC program.
    Screen time. Time spent watching television, playing video games, or 
on the computer.
    Special needs. Children with special needs are children who may need 
accommodations to make child care accessible or may otherwise require 
more than routine and basic care; including children with or at risk of 
disabilities, chronic illnesses and physical, developmental, behavioral, 
or emotional conditions that require health and related services of a 
type or amount beyond that required by children in general.
    Staff:child ratio. The number of children for whom individual 
caregiving personnel or FCC providers shall be responsible.
    Sudden Infant Death Syndrome (SIDS). The sudden, unexplained death 
of an infant younger than 1 year old.
    Supplemental child care. Child care programs and services that 
augment and support CDC and FCC programs to increase the availability of 
child care for military and DoD civilian employees. These may include, 
but are not limited to, resource and referral services, contract-
provided services, short-term, hourly child care at alternative 
locations, and interagency initiatives.
    Support staff. Person(s) responsible for providing services not 
directly related to direct child care services, such

[[Page 518]]

as, but not limited to, janitorial, food service, clerical, and 
administrative duties.
    Surviving spouse. A spouse of a Service member who dies on active 
duty, active duty training, inactive duty training, or within 120 days 
after release from active duty if the death is due to a service-related 
disability.
    Third party administrator (TPA). An independent organization or 
entity contracted to perform identified services on behalf of the plan 
administrator. These services may include clerical and administrative 
functions such as enrollment and claims administration, payment of 
subsidies to providers and information services.
    Toddler. A child between the ages of 24 and 36 months of age.
    Total family income (TFI). Includes all earned income including 
wages, salaries, tips, long-term disability benefits, voluntary salary 
deferrals, basic allowance for housing Reserve Component/Transit (BAH 
RC/T) and subsistence allowances and in-kind quarters and subsistence 
received by a Military Service member, civilian employee, a spouse, or, 
in the case of an eligible DoD civilian employee, the same-sex domestic 
partner, and anything else of value, even if not taxable, that was 
received for providing services. BAH RC/T and subsistence allowances 
mean the Basic Allowance for Quarters and the Basic Allowance for 
Subsistence received by military personnel and civilian personnel when 
provided (with respect to grade and status) and the value of meals and 
lodging furnished in-kind to military personnel residing on military 
bases.
    Training & curriculum specialist--Personnel whose main 
responsibility is providing training and oversight to other CDC or SAC 
employees.
    Unmet need. The number of children whose parents cannot work outside 
the home because child care is not available.
    Waiting list. List of children waiting for a CDP space and whose 
parents have requested space in a CDP and none is available.



Sec. 79.4  Policy.

    In accordance with DoD Instruction 1342.22, and 10 U.S.C. 1783, 1791 
through 1800, 2809, and 2812, it is DoD policy to:
    (a) Ensure that the CDPs support the mission readiness, family 
readiness, retention, and morale of the total force during peacetime, 
overseas contingency operations, periods of force structure change, 
relocation of military units, base realignment and closure, and other 
emergency situations (e.g. natural disasters, and epidemics). Although 
child care supports working parents, it is not an entitlement and 
parents must pay their share of the cost of child care.
    (b) Reduce the stress of families who have the primary 
responsibility for the health, safety and well-being of their children 
and help them balance the competing demands of family life and the DoD 
mission. CDPs provide access and referral to available, affordable, 
quality programs and services that meet the basic needs of children, 
from birth through 12 years of age, in a safe, healthy, and nurturing 
environment.
    (c) Conduct an annual internal certification process to ensure that 
all installation-operated CDPs are operating in accordance with all 
applicable Federal mandates and statutory requirements.
    (d) Provide child care to support the personnel and the mission of 
DoD. Eligibility is contingent on the status of the sponsor.
    (1) Eligible patrons include:
    (i) Active duty military personnel
    (ii) DoD civilian employees paid from either appropriated funds 
(APF) or non-appropriated funds (NAF).
    (iii) Reserve Component military personnel on active duty or 
inactive duty training status.
    (iv) Combat related wounded warriors.
    (v) Surviving spouses of Military members who died from a combat 
related incident.
    (vi) Those acting in loco parentis for the dependent child of an 
otherwise eligible patron.
    (vii) Eligible employees of DoD contractors.
    (viii) Others authorized on a space available basis.

[[Page 519]]

    (2) In the case of unmarried, legally separated parents with joint 
custody, or divorced parents with joint custody, children are eligible 
for child care only when they reside with the Military Service member or 
eligible civilian sponsor at least 25 percent of the time in a month 
that the child receives child care through a DoD program. There may be 
exceptions as addressed in Sec. 79.6.
    (e) Promote the cognitive, social, emotional, cultural, language and 
physical development of children through programs and services that 
recognize differences in children and encourage self-confidence, 
curiosity, creativity, self-discipline, and resiliency.
    (f) Employ qualified direct program staff whose progression from 
entry level to positions of greater responsibility is determined by 
training, education, experience, and competency. Ensure that civilian 
employees maintain their achieved position and salary as they move 
within the military child care system.
    (g) Certify qualified FCC providers who can support the mission 
requirements of the installation.
    (h) Facilitate the availability and expansion of quality, 
affordable, child care off of military installations that meet the 
standards of this part to ensure that geographically dispersed eligible 
families have access to legally operating military-approved community-
based child care programs.
    (i) Promote the early identification and reporting of alleged child 
abuse and neglect in DoD CDPs in accordance with DoD Directive 6400.1, 
``Family Advocacy Program (FAP)'' (see http://www.dtic. mil/whs/
directives /corres/pdf/ 640001p.pdf).
    (j) Ensure that funding is available to meet Military Child Care Act 
requirements pursuant to 10 U.S.C. 1791 through 1800 and protect the 
health, safety, and well-being of children in care.



Sec. 79.5  Responsibilities.

    (a) The Assistant Secretary of Defense for Readiness and Force 
Management (ASD(R&FM)), under the authority, direction, and control of 
the USD (P&R) shall:
    (1) Monitor compliance with this part by personnel under his or her 
authority, direction, and control.
    (2) Annually review and issue a child care fee policy based upon 
total family income (TFI) for use by programs in the DoD child 
development system of care.
    (b) The Deputy Assistant Secretary of Defense for Military Community 
and Family Policy (DASD(MC&FP)), under the authority, direction, and 
control of the ASD(R&FM), shall:
    (1) Work across functional areas of responsibility and collaborate 
with other federal and non-governmental organizations to ensure access 
to a continuum of quality, affordable CDPs.
    (2) Program, budget, and allocate funds and other resources to meet 
the objectives of this part.
    (3) Issue DD Form 2636, ``Child Development Program, Department of 
Defense Certificate to Operate,'' to the Military Departments for each 
CDP found to be in compliance with this part.
    (4) Require that the policies and related documents are updated and 
relevant to the program.
    (5) Report DoD Component program data to support legislative, 
research, and other requirements.
    (c) The Heads of the DoD Components shall:
    (1) Establish implementing guidance and ensure full implementation 
within 12 months of the publication date, consistent with this part, to 
monitor compliance through regular inspection of CDPs and follow-up 
oversight actions as needed.
    (2) Program, budget, and allocate funds and other resources to meet 
the requirements of this part.
    (3) Establish a priority system for all patrons seeking to enroll 
children in CDPs in accordance with paragraph (a) of Sec. 79.6.
    (4) Assess DoD Component demand and take appropriate action to 
address the child care capability needed on and off the installation in 
accordance with paragraph (g) of Sec. 79.6.
    (5) Establish a hardship waiver policy to address financial and 
operational situations.
    (6) Submit fiscal year annual summary of operations reports to the

[[Page 520]]

DASD(MC&FP) by December 30 of each year using Report Control Symbol DD-
P&R(A) 1884, ``Department of Defense Child Development Program (CDP) 
Annual Summary of Operations.''
    (7) Require that background checks are conducted for individuals who 
have contact with children in DoD CDPs in accordance with DoDI 1402.5, 
``Criminal History Background Checks on Individuals in Child Care 
Services'' (available at http://www.dtic. mil/whs/directives /corres/
pdf/ 140205p.pdf) and 32 CFR part 86 and paragraph (c)(1) of Sec. 79.6.
    (8) Require that all individuals who have contact with children in a 
DoD CDP complete a DD Form X656 ``Basic Criminal History and Statement 
of Admission''.
    (9) Require that each CDP establishes a Parent Board in accordance 
with 10 U.S.C. 1783 and 1795.
    (10) Forward the results of DoD Component inspections to the 
DASD(MC&FP).
    (11) Ensure that all incidents that occur within a DoD CDP and 
involve allegations of child abuse or neglect, revocation of 
accreditation, or hospitalization of a child, are reported to DASD 
(MC&FP) through the Office of Family Policy (OFP/CY) within 72 hours of 
the incident.
    (12) Notify the DASD(MC&FP) through OFP/CY if, at any time, a 
facility in the CDP is closed due to a violation (see paragraph 
(c)(4)(ii) of Sec. 79.6, for more information on violations).
    (13) Provide the DASD(MC&FP) through OFP/CY with a copy of 
applications made in accordance with DoD Instruction 5305.5, ``Space 
Management Procedures, National Capital Region'' (see http://www.dtic. 
mil/whs/directives /corres/pdf/ 530505p.pdf) and 40 U.S.C. 590 to the 
U.S. General Services Administration (GSA) for building space for use in 
providing child care for DoD personnel, and comply with GSA standards 
for funding and operation of child care programs in GSA-controlled 
space.
    (i) Where the DoD is the sole sponsoring agency and the space has 
been delegated to the DoD by the GSA, the space must comply with the 
requirements prescribed in this part.
    (ii) For the National Capital Region, space acquisition procedures 
in DoD Instruction 5305.5 shall be used to gain the assignment of space 
in Government-owned or Government-leased facilities from the GSA.
    (14) Require that CDPs follow the recommendations of the Advisory 
Committee on Immunization Practices (ACIP) and comply with generally 
accepted practices endorsed by the American Academy of Pediatrics (AAP) 
and Centers for Disease Control or the latest guidance provided by OFP/
CY.
    (15) Establish and implement DoD Component-specific child care fees 
based on the DoD-issued fee policy on an annual basis, and issue 
supplemental guidance on fees for school-age programs, hourly care, 
preschool programs, DoD Component approved community-based programs, and 
FCC subsidies. Submit DoD Component-specific requests for waiver for any 
deviation from DoD policy, including selection of the high or low cost 
fee option, to the Office of the DASD (MC&FP) through OFP/CY for 
approval.
    (16) Establish guidelines for communication between command, 
installation, and educational and behavioral support systems.
    (17) Require that all military installations under their authority 
follow guidance that addresses the ages and circumstances under which a 
child under 13 years of age can be left at home alone without adult 
supervision, also known as a ``home alone policy,'' or ``self-care 
policy.'' The installation commander should approve this policy in 
consultation with the installation director of the Family Advocacy 
Program. Guidance is consistent with or more stringent than applicable 
laws and ordinances of the State and country in which the installations 
are located.
    (18) Establish guidance and operating procedures to provide services 
for children with special needs in accordance with 32 CFR part 56, 
``Nondiscrimination on the Basis of Handicap in Programs and Activities 
Assisted or conducted by the Department of Defense'' that implement 
section 504 of the Rehabilitation Act for federally conducted and 
federally assisted programs and 42 U.S.C. 12102, ``The American 
Disabilities Act'' as they apply to children and youth with special 
needs.

[[Page 521]]

    (i) Require procedures for reviewing and making reasonable 
accommodation for children with special needs that do not fundamentally 
alter the nature of the program.
    (ii) Consider the needs of the child, the disability, and the 
environment of group care in child development facilities or home-based 
care, staffing needs and training requirements, and the resources of the 
program.
    (iii) Include CDPs as part of the Multidisciplinary Inclusion Action 
Team that supports families of children with special needs.
    (19) Establish guidance and operating procedures to provide services 
for children of the deployed.
    (20) Establish standard risk management procedures for responding to 
emergency or contingency situations. This includes, but is not limited 
to, natural disasters, pandemic disease outbreaks, allegations of child 
abuse or neglect, active shooter, or an installation or facility 
lockdown.
    (21) Require that vehicles used to transport children comply with 
Federal motor vehicle safety standards in accordance with 49 U.S.C. 
30125 and applicable State or host nation requirements.
    (22) Notify applicable civilian patrons annually of their potential 
tax liability associated with child care subsidies, and ensure that 
information required by the third party administrator (TPA) is provided 
in accordance with 26 U.S.C. 129.
    (23) Require that a current plan to implement direct cash subsidies 
to military-approved child care providers to expand the availability of 
child care spaces and meet specialized child care needs, such as weekend 
and evening care, special needs, deployment support, and respite child 
care support, is in place.
    (d) The Secretaries of the Military Departments, in addition to the 
responsibilities in paragraph (c) of this section, shall:
    (1) Work with the Heads of the DoD Components to implement CDPs in 
accordance with this part.
    (2) Notify the OFP/CY of any Service-wide specific requirements that 
will require a waiver to deviate from existing policy.
    (e) The Installation Commanders (under the authority, direction, and 
control of the Secretary of the Military Department concerned) shall:
    (1) Require that CDPs within his or her jurisdiction are in 
compliance with this part.
    (2) Require that child care fees are used in accordance with DoD 
Instruction 5305.5 and paragraph (c)(2) of Sec. 79.6.
    (3) Require that CDP direct program staff are paid in accordance 
with Volume 1405 of DoD Instruction 1400.25, ``DoD Civilian Personnel 
Management System: Nonappropriated Fund (NAF) Pay and Allowances'' 
(available at http://www.dtic. mil/whs/directives /corres/pdf /1400.25- 
V1405.pdf). Ensure 75 percent of the program's direct program staff 
total labor hours are paid to direct program staff who are in benefit 
status.
    (4) Require that there are adequate numbers of qualified 
professional staff to manage the CDPs according to the Service manpower 
and child space staffing requirements and referenced in paragraphs (c) 
and (d) of Sec. 79.6 of this part.
    (5) Manage child care priority policy, as directed by their 
respective DoD Component.
    (6) Manage hardship waiver policy (financial and operational), as 
directed by their respective DoD Component.
    (7) Review and validate the demand for installation child care 
capacity and take appropriate action to expand the availability of care 
as needed. See paragraph (h) of Sec. 79.6 of this part.
    (8) Convene a Parent Board, and ensure that a viable Parent 
Participation Program is in accordance with 10 U.S.C. 1783 and 1795.
    (9) Implement mandated annual and periodic inspections and complete 
required corrective and follow-up actions within timeframes specified by 
their respective DoD Component.
    (f) Directors of the Defense Agencies and DoD Field Activities. In 
addition to the responsibilities in paragraph (c) of this section, the 
Directors of the Defense Agencies and DoD Field Activities shall:
    (1) Require that CDPs within his or her jurisdiction are in 
compliance with this part.

[[Page 522]]

    (2) Require that child care fees are used in accordance with DoD 
Instruction 5305.5 and paragraph (c)(2) of Sec. 79.6.
    (3) Require that CDP direct program staff are paid in accordance 
with Volume 1405 of DoD Instruction 1400.25. Ensure 75 percent of the 
program's direct program staff total labor hours are paid to direct 
program staff who are in benefit status.
    (4) Require that there are adequate numbers of qualified 
professional staff to manage the CDPs according to the Service manpower 
and child space staffing requirements and referenced in paragraphs (c) 
and (d) of Sec. 79.6 of this part.
    (5) Manage child care priority policy, as directed by their 
respective DoD Component.
    (6) Manage hardship waiver policy (financial and operational), as 
directed by their respective DoD Component.
    (7) Review and validate the demand for installation child care 
capacity and take appropriate action to expand the availability of care, 
as needed. See paragraph (h) of Sec. 79.6 of this part.
    (8) Convene a Parent Board, and require that a viable Parent 
Participation Program is in accordance with 10 U.S.C. 1783 and 1795.
    (9) Implement mandated annual and periodic inspections and complete 
required corrective and follow-up actions within timeframes specified by 
their respective DoD Component.



Sec. 79.6  Procedures.

    (a) Priority System. To the extent possible, CDPs shall be offered 
to the qualifying children of eligible patrons.
    (1) Priority 1. The highest priority for full-time care shall be 
given to qualifying children from birth through 12 years of age of 
combat related wounded warriors, child development program direct care 
staff, single or dual active duty Military Service members, single or 
dual DoD civilian employees paid from APF and NAF, surviving spouses of 
military members who died from a combat related incident, and those 
acting in loco parentis on behalf of the aforementioned eligible 
patrons. With the exception of combat related wounded warriors, ALL 
eligible parents or caregivers residing with the child are employed 
outside the home.
    (2) Priority 2. The second priority for full-time care shall be 
given equally to qualifying children from birth through 12 years of age 
of active duty Military Service members, DoD civilian employees paid 
from APF and NAF, surviving spouses of military members who died from a 
combat related incident, and those acting in loco parentis on behalf of 
the aforementioned eligible patrons, where a non-working spouse, or in 
the case of a DoD civilian employee with a same-sex domestic partner, is 
actively seeking employment. The status of actively seeking employment 
must be verified every 90 days.
    (3) Priority 3. The third priority for full-time care shall be given 
equally to qualifying children from birth through 12 years of age of 
active duty Military Service members, DoD civilian employees paid from 
APF and NAF, surviving spouses of military members who died from a 
combat related incident, and those acting in loco parentis on behalf of 
the aforementioned eligible patrons, where a non-working spouse, or in 
the case of a DoD civilian employee with a same-sex domestic partner, is 
enrolled in an accredited post-secondary institution. The status of 
post-secondary enrollment must be verified every 90 days.
    (4) Space Available. After meeting the needs of parents in 
priorities 1, 2, and 3, CDPs shall support the need for full-time care 
for other eligible patrons such as active duty Military Service members 
with non-working spouses, DoD civilian employees paid from APF and NAF 
with non-working spouses or same-sex domestic partners, eligible 
employees of DoD Contractors, Federal employees from non-DoD agencies, 
and military retirees on a space available basis. In this category, CDPs 
may also authorize otherwise ineligible patrons in accordance with 10 
U.S.C. 1783, 1791 through 1800, 2809, and 2812 to enroll in the CDP to 
make more efficient use of DoD facilities and resources.
    (5) Individual priorities will be determined based on the date of 
application with the DoD Component. Components may only establish sub-
priorities if unique mission related installation requirements are 
identified by higher headquarters.

[[Page 523]]

    (b) Types of Care. The types of care offered for children from birth 
through 12 years of age include 24/7 care and care provided on a full-
day, part-day, short-term or intermittent basis.
    (1) Military-Operated CDPs. Military-operated (on and off 
installation) CDPs generally include:
    (i) CDCs. Reference Table 1 of this section of this part for 
standards of operation for CDCs. CDCs primarily offer care to children 
from birth to 5 years of age, but may also be used to provide SAC 
programs.
    (ii) SAC Programs. Reference Table 1 of this section for SAC 
standards of operation. SAC programs primarily offer care to children 
from 6 to 12 years of age. Care may be offered in CDCs and other 
installation facilities, such as youth centers and schools.
    (iii) FCC. Reference Table 2 of this section for FCC standards of 
operation. Child care services are available to children from infancy 
through 12 years of age and are provided in government housing or in 
state licensed/regulated homes in the community.
    (iv) Supplemental Child Care. Services include short-term 
alternative child care options in approved settings on and off 
installation.
    (v) Part-Day and Hourly Programs. CDP space used for part-day and 
hourly programs, including programs to provide respite child care, shall 
not exceed 20 percent of the CDP program's capacity during duty hours.
    (2) Military Department, Defense Agency, and DoD Field Activity-
Approved Supplemental Child Care Programs. See paragraph (g) of this 
section.
    (c) Administration, Funding and Oversight of Military Operated CDPs. 
Unless otherwise noted, the requirements in this section apply to all 
DoD-operated CDPs.
    (1) Background Checks. All background checks for individuals who 
have regular, recurring contact with children and youth in CDPs, 
including adult family members of FCC providers and any individual over 
the age of 18 living in a home where child care is provided, and persons 
who serve as substitute or backup providers, shall be conducted in 
accordance with 32 CFR part 86.
    (2) Funding. CDPs are funded by a combination of APF and NAF.
    (i) The amount of APF used to operate CDPs shall be no less than the 
amount collected through child care fees, except for CDCs that operate 
under a long-term facility's contract or lease-purchase agreement under 
10 U.S.C. 2809 and 2812.
    (A) A family's child care fee category is determined based on an 
initial and subsequent annual verification of TFI. Families pay the 
child care fee assigned to that TFI category. A family's fees may only 
be adjusted once per year, with exceptions listed in paragraph 
(c)(2)(i)(E) of this section. TFI is determined utilizing DD Form 2652.
    (B) APF may be used to subsidize child care in military-approved 
civilian programs in accordance with 10 U.S.C. 1791 through 1800.
    (C) DoD Components establishing child care fee assistance programs 
for their employees must contribute the amounts required to pay 
subsidies out of agency APFs.
    (D) FCC providers are private contractors. Fees are established 
between the provider and parent, unless such providers receive direct 
monetary subsidies. When FCC providers receive direct monetary subsidies 
to reduce the cost of care for the families they service, the 
installation commander or DoD Component shall determine relevant fees 
charged by FCC providers.
    (E) Fees may be adjusted:
    (1) By the installation commander, Defense Agency Director, or DoD 
Field Activity Director:
    (i) On a case-by-case basis for families who are facing financial 
hardship or unusual circumstances that merit review, in accordance with 
established DoD Component guidance.
    (ii) For parents participating in an approved parent participation 
program.
    (2) By the DoD Components, Defense Agency Director, or DoD Field 
Activity Director:
    (i) To accommodate an optional high market rate when it is necessary 
to pay higher wages to compete with local labor or at those 
installations where wages are affected by non-foreign area cost of 
living allowance (COLA), post differential or locality pay. The optional 
low market rate may be used in

[[Page 524]]

areas where costs for comparable care within the installation catchment 
area are significantly lower. A request to utilize the high or low 
market rate options must be submitted to OFP/CY for approval.
    (ii) To reflect changes in employment status, relocation, and annual 
internal reviews that find inaccurate determination or calculation of 
TFI.
    (iii) For CDP employees when CDC programs are facing operational 
hardships.
    (ii) Child Development Program Element APF may be used for:
    (A) Salaries of CDP employees.
    (B) Food.
    (C) Training and education.
    (D) Program accreditation fees and support services.
    (E) Travel and transportation.
    (F) Marketing, to include recruitment, retention, and participation 
efforts.
    (G) Supplies and equipment, to include lending libraries and 
training materials for use by FCC providers.
    (H) Local travel expenses incurred by FCC program staff using their 
private vehicles to perform government functions.
    (I) Direct monetary subsidies to FCC providers.
    (iii) To the maximum extent possible, child care fees shall cover 
the NAF cost of care, and NAF costs not covered by child care fees are 
to be minimized. Child care fees shall only be used for:
    (A) Compensation of direct care CDP employees who are classified as 
NAF employees, to include training and education, and recruitment and 
retention initiatives approved by the DoD Component.
    (B) Food-related expenses not paid by the USDA or DoD APFs.
    (C) Consumable supplies.
    (3) Facility Requirements and Construction.
    (i) Minimum prescribed construction standards:
    (A) For all Marine Corps, Navy, and Air Force CDC facility 
construction, the Unified Facilities Criteria (UFC) 4-740-14, ``Design: 
Child Development Centers'' (see http://www.wbdg. org/ccb/DOD /UFC/ufc--
4-- 740--14.pdf) apply.
    (B) For all Army CDC facility construction, the Army Standard for 
Child Development Centers (see https://mrsi. usace.army.mil/ fdt/
Army%20Standards /CDC%20age%206wk %20to%205yr%20 Army%20 Standard.pdf) 
apply.
    (C) When SAC is provided in youth facilities, UFC 4-740-06, ``Youth 
Centers'' (see http://www.wbdg. org/ccb/DOD/ UFC/ufc--4-- 740--06.pdf) 
and Service-specific exceptions to the UFC apply.
    (D) State and local construction standards may be used but are not 
required, except if the CDC facility is located on an area over which 
the United States has no legislative jurisdiction and then only if State 
and local standards are more stringent than those in UFC 4-740-14.
    (ii) All facilities shall comply with the structural requirements of 
the National Fire Protection Association 101, ``Life Safety 
Code[supreg]'' 2012 (available at http://www.nfpa. org/aboutthe codes/
AboutThe Codes.asp?DocNum= 101&cookie%5 Ftest=1)
    (4) Oversight.
    (i) DoD Certification Inspection. Installation-operated CDPs in 
which care is provided for 10 or more child care hours per week on a 
regular basis shall be certified to operate through inspections 
occurring no fewer than four (4) times a year. Inspections must be 
unannounced, and parent and staff feedback shall be solicited as part of 
the inspection process.
    (A) Three local inspections and one higher headquarters inspection 
shall be conducted to verify compliance with this part and DoD Component 
implementing guidance. Local inspection teams are led by a 
representative of the installation commander, Defense Agency Director, 
or Defense Field Activity Director, and a multidisciplinary team, to 
include human resource, fire, health, and safety proponents, with 
expertise and authority to verify compliance with this part.
    (1) Local inspections include an annual comprehensive health and 
sanitation inspections, annual comprehensive fire and safety 
inspections, and a multidisciplinary inspection whose team that includes 
parent representation. Community representation on the team by 
appropriate professionals is highly encouraged.

[[Page 525]]

    (2) DoD Component inspection teams inspecting CDPs serving children 
birth through 12 years of age shall include staff possessing:
    (i) A baccalaureate degree in child development, early childhood 
education (ECE), home economics (early childhood emphasis), elementary 
education, special education, or other degree appropriate to the 
position filled from an accredited college;
    (ii) Knowledge of child/youth development programs; or
    (iii) A combination of education and experience that provide 
knowledge comparable to that normally acquired through the successful 
completion of a 4-year degree (experience must include at least 3 years 
of full-time teaching or management experience with children of the 
appropriate age group).
    (3) Parents shall be interviewed as part of the DoD Component 
inspection. Additional inspections shall be conducted in response to 
program complaints in accordance with paragraph (b) of Sec. 79.5.
    (4) Results of DoD Component inspections shall be provided by the 
DoD Component to the ODASD(MC&FP) through OFP/CY. CDPs whose inspection 
results demonstrate compliance with this part shall receive DD Form 
2636. Certificates shall be displayed in a prominent location in the 
CDP.
    (5) Inspection results shall be made available to parents. Results 
from inspections of CDC programs shall be available online.
    (6) Periodic, unannounced inspections shall be made by the 
ODASD(MC&FP) to ensure compliance with the requirements in this part.
    (7) In response to each inspection, a corrective action plan with 
appropriate timelines shall be developed to address any deficiencies 
identified during inspection.
    (ii) Violations. The installation commander, Defense Agency Director 
or DoD Field Activity Director shall ensure the immediate remedy of any 
life-threatening violation of this part or other safety, health, and 
child welfare laws or regulations (discovered at an inspection or 
otherwise) at a DoD CDP, or he or she will close the facility (or 
affected parts of the facility).
    (A) In the case of a violation that is not life-threatening, the 
commander of the major command under which the installation concerned 
operates, or the Director of the Defense Agency or DoD Field Activity 
concerned, may waive the requirement that the violation be remedied 
immediately for up to 90 days beginning on the date of discovery of the 
violation.
    (B) If the violation that is not life-threatening is not remedied by 
the end of that 90-day period, the facility or parts involved will be 
closed until the violation is remedied.
    (C) The Secretary of the Military Department, or Director of the 
Defense Agency or DoD Field Activity concerned, may request a waiver of 
the requirements of the preceding sentence to authorize the program to 
remain open in a case where the violation cannot reasonably be remedied 
within the 90-day period or in which major facility reconstruction is 
required. A waiver request must be submitted to OFP/CY for approval.
    (iii) Accreditation. Eligible CDP facilities (excluding FCC) shall 
be accredited by a DoD-approved national accrediting body. CDP oversight 
is a statutory requirement involving an external nationally recognized 
accreditation process and internal DoD Certification process.
    (A) FCC providers shall be encouraged to seek accreditation from an 
appropriate national accrediting body.
    (B) The percentage of CDP facilities successfully achieving 
accreditation shall be reflected in the Annual Summary of Operations 
report referenced in Sec. 79.5.
    (iv) Monitoring. There shall be a system in place to monitor FCC 
homes on a regular basis during all hours of operation. The following 
information shall be maintained for FCC providers:
    (A) Results of family interview.
    (B) Background check with suitability determination.
    (C) Inspection results.
    (D) Insurance.
    (E) Training records.
    (F) Monitoring visit records.
    (5) Parent Board. In accordance with 10 U.S.C. 1783 and 1795, each 
CDP shall establish a Parent Board to discuss problems and concerns and 
to provide

[[Page 526]]

recommendations for improving CDPs. The Board, with the staff of the 
program, is responsible for coordinating a parent participation program.
    (i) The Board shall be composed only of parents of children enrolled 
in the installation CDP facilities that are Military Service members, 
retired Military Service members, or spouses of Military Service members 
or retired Military Service members, and chaired by such a parent.
    (ii) The Board shall meet periodically with the staff of the program 
and the installation commander, Defense Agency Director, or DoD Field 
Activity Director to discuss problems and concerns. Board 
recommendations shall be forwarded to the installation commander, 
Defense Agency Director, or DoD Field Activity Director for review and 
disposition. These recommendations are reviewed during the DoD 
certification inspection.
    (iii) The Board shall coordinate a parent participation program with 
CDP staff to ensure parents are involved in CDP planning and evaluation. 
In accordance with 10 U.S.C. 1795, parents participating in such program 
may be eligible for child care fees at a rate lower than the rate that 
otherwise applies.
    (6) Enrollment. To enroll in the CDP, parents shall complete DD Form 
2606 or electronic equivalent, DoD Child Development Program Request for 
Care Record. At the time of enrollment in an installation-based CDP, 
parents shall provide:
    (i) Child(ren)'s health and emergency contact information.
    (ii) Documentation that children have been fully immunized.
    (A) Children who have not received their age-appropriate 
immunizations prior to enrollment and do not have a documented religious 
or medical exemption from routine childhood immunizations shall show 
evidence of an appointment for immunizations; the immunization series 
must be initiated within 30 days.
    (B) Children in SAC are not required to provide documentation if 
they are enrolled in a local public school system where proof of 
currency of vaccination is required.
    (iii) Children's records shall be updated annually or as needed for 
their health, safety, or well-being.
    (7) Immunizations. Children enrolling in or currently enrolled in 
DoD CDPs must provide written documentation of immunizations appropriate 
for the child's age. Per AR 40-562/BUMEDINST 6230.15A/AFJI 48-110/CG 
COMDTINST M6230.4F, ``Immunizations and Chemoprophylaxis'' (see http://
www.vaccines. mil/documents/ 969r40-- 562.pdf), immunizations 
recommended by the ACIP are required.
    (i) All records shall be updated at least annually and kept on file. 
Any child not enrolled in a school system where proof of currency of 
vaccination is required must provide proof of currency.
    (ii) Children enrolled in a local public school system and volunteer 
sports coaches are excluded from this requirement.
    (iii) A waiver for an immunization exemption may be granted for 
medical or religious reasons. Philosophical exemptions are not 
permitted. The DoD Component must provide guidance on the waiver 
process.
    (A) A statement from the child's health care provider is required if 
an immunization may not be administered because of a medical condition. 
The statement must document the reason why the child is exempt.
    (B) If an immunization is not administered because of a parent's 
religious beliefs, the parent must provide a written statement stating 
that he or she objects to the vaccination based upon religious beliefs.
    (C) During a documented outbreak of a contagious disease (as 
determined by local DoD Medical authorities) that has a vaccine, the 
child who is attending the program under an immunization waiver for that 
vaccine, will be excluded from the program for his or her protection and 
the safety of the other children and staff until the contagious period 
is over.
    (iv) Civilian employees (including specified regular volunteers) and 
FCC providers shall obtain appropriate immunization against communicable 
diseases in accordance with recommendations from the ACIP. The 
requirement

[[Page 527]]

for appropriate immunization is a condition of continued employment or 
active participation in the program or organization.
    (A) This requirement is waived if a current immunization, a 
protective titer, or a medical exemption is approved and documented. A 
waiver for an immunization exemption may also be granted for religious 
reasons. Philosophical exemptions are not permitted.
    (B) The DoD Component must provide guidance on the waiver process. 
The DoD Component must approve all waivers and documentation of the 
waiver kept on file.
    (C) During a documented outbreak of a contagious disease, staff with 
a waiver will be excluded from the program for their protection and the 
safety of the other children and staff until the contagious period is 
over.
    (8) Child Abuse Prevention and Reporting. In accordance with 10 
U.S.C. 1794, CDPs shall minimize the risk for child abuse.
    (i) CDPs shall have standard operating procedures for reporting 
cases of suspected child abuse and neglect, and all employees, employees 
of DoD contractors, individuals working with CDPs, providers, volunteers 
and parents shall be informed of child abuse prevention, and 
identification and reporting requirements. Staff shall be knowledgeable 
of the child abuse reporting requirements.
    (ii) In accordance with 10 U.S.C. 1794, the DoD Child Abuse and 
Safety Hotline telephone number shall be posted in highly visible areas, 
including the facility lobby, where parents have easy access to the 
telephone number. The hotline number shall be published in parent 
handbooks and other media.
    (9) Programming and Standards of Operation. All CDPs shall establish 
a planned program of developmentally appropriate activities, and adhere 
to the standards of operation outlined in Tables 1 and 2 of this 
section.
    (d) Personnel. Installation-based CDP personnel and FCC providers 
shall meet the following requirements:
    (1) CDC Directors. CDC directors shall have at a minimum:
    (i) A baccalaureate degree in child development, ECE, home economics 
(early childhood emphasis), elementary education, special education, or 
other degree appropriate to the position filled from an accredited 
college; or
    (ii) A combination of education and experiences, which provide 
knowledge comparable to that normally acquired through the successful 
completion of the 4-year course of study in a child-related field.
    (2) SAC Directors. Directors shall have at a minimum:
    (i) A baccalaureate degree in a field of child or youth development, 
such as youth recreation, physical education, elementary education, 
secondary education, child development, psychology, social work, or 
other degree appropriate to the position filled from an accredited 
college; or
    (ii) A combination of education and experiences, which provide 
knowledge comparable to that normally acquired through the successful 
completion of the 4-year course of study in a child development or 
youth-related field.
    (3) Training and Curriculum Specialists. Each program within the CDP 
shall employ at least one training and curriculum specialist. Training 
and curriculum specialists shall have at a minimum:
    (i) A baccalaureate degree with a major course of study directly 
related to child or youth development, ECE or an equivalent field of 
study from an accredited college, or a combination of education and 
experiences, which provide knowledge comparable to that normally 
acquired through the successful completion of the 4-year course of study 
in the field of child or youth development or ECE.
    (ii) Knowledge of early childhood or youth education principles, 
concepts, and techniques to develop, interpret, monitor, and evaluate 
the execution of curriculum and age-appropriate activities.
    (iii) Knowledge of adult learning techniques and strategies and 
experience training adult learners.
    (iv) Ability to support DoD certification, accreditation, and staff 
credentialing (Child Development Associate (CDA), Associate of Arts (AA) 
Degree) by ensuring that required training is administered and 
successfully accomplished to meet statutory and program requirements.

[[Page 528]]

    (4) FCC Administrators. FCC administrators shall have at a minimum:
    (i) A baccalaureate degree with a major course of study directly 
related to child or youth development, family studies, or an equivalent 
field of study from an accredited university; or
    (ii) A combination of education and experiences, which provide 
knowledge comparable to that normally acquired through the successful 
completion of the 4-year course of study in the field of child or youth 
development or family studies.
    (5) CDP Direct Care Personnel, Support Staff, and FCC Providers. CDP 
direct care personnel and support staff, as a condition of employment, 
and FCC providers shall, as a condition of participation:
    (i) Be at least 18 years of age.
    (ii) Hold a high school diploma or equivalent.
    (iii) Read, speak, and write English.
    (iv) Successfully pass a pre-employment physical, maintain current 
immunizations and be physically and behaviorally capable of performing 
the duties of the job.
    (e) Training. Each CDP must have a DoD Component-approved training 
program. Satisfactory completion of training is a condition of 
employment for staff in a center-based program and for providers 
offering care in FCC homes.
    (1) CDP Management Personnel. CDP management personnel, including 
CDP directors (CDC directors, FCC administrators, and SAC directors), 
shall receive annual training, which includes the following topics:
    (i) Child abuse prevention, identification, and reporting.
    (ii) Program administration, including APF and NAF financial 
management, funding metrics, and fiscal accountability.
    (iii) Staff development and personnel management.
    (iv) Prevention of illness and injury and promotion of health.
    (v) Emergency procedures and preparedness.
    (vi) Working with children with special needs.
    (vii) Developmentally appropriate practices.
    (2) Training and Curriculum Specialists. Training and curriculum 
specialists shall receive annual training, to include the following 
topics:
    (i) Child abuse prevention, identification, and reporting.
    (ii) Developmentally appropriate practices.
    (iii) Principles of adult learning.
    (iv) Prevention of illness and injury and promotion of health.
    (v) Emergency procedures.
    (vi) Working with children with special needs.
    (3) CDP Direct Care Personnel and FCC Providers.
    (i) Training requirements for direct care personnel (excluding FCC 
providers) shall be linked to the DoD CDP Employee Wage Plan implemented 
in response to 10 U.S.C. 1783, and 1791 through 1800 to include 
completion of the DoD-approved competency based training modules within 
DoD Component specified time frames.
    (ii) All newly hired CDP direct care personnel and FCC providers 
shall complete 40 hours of orientation. Orientation shall begin prior to 
working with children, with the full 40 hours completed within the first 
90 days of employment. Orientation completion shall be documented for 
each direct care personnel or FCC provider. Orientation includes:
    (A) Working with children of different ages, including 
developmentally appropriate activities and environmental observations.
    (B) Age-appropriate guidance and discipline techniques.
    (C) Applicable regulations, policies, and procedures.
    (D) Child safety and fire prevention.
    (E) Child abuse prevention, identification, and reporting.
    (F) Parent and family relations.
    (G) Health and sanitation procedures, including blood-borne 
pathogens, occupational health hazards for direct care personnel, and 
recognizing symptoms of illness.
    (H) Emergency health and safety procedures, including pediatric 
cardiopulmonary resuscitation (CPR) and first aid.
    (I) Safe infant sleep practices and Sudden Infant Death Syndrome 
(SIDS) prevention.

[[Page 529]]

    (J) Nutrition, obesity prevention, and meal service.
    (K) Working with children with special needs.
    (L) Accountability and child supervision training.
    (M) For FCC providers only, infant and child (pediatric) CPR and 
first aid must be completed prior to accepting children for care. 
Training shall be updated as necessary to maintain current 
certifications.
    (N) For FCC providers only, training in business operations.
    (iii) CDP direct care personnel and FCC providers shall complete 
additional training specified by the DoD Component within 90 days of 
beginning work. The training shall include, at a minimum, in-depth 
training on the subjects covered in the orientation as well as infant 
and child (pediatric) CPR and first aid, which shall be updated as 
necessary to maintain current certifications.
    (iv) CDP direct care personnel and FCC providers shall complete a 
minimum of 24 hours per year of ongoing training by the DoD Component 
approved training program. Training shall include child abuse 
prevention, identification and reporting, safe infant sleep practices 
and SIDS prevention, working with children with special needs, and if 
required, administering medication.
    (v) Substitute FCC providers must complete a basic orientation and 
background checks prior to providing care. Such orientation includes 
child abuse prevention, identification and reporting, working with 
children with special needs, safety procedures and pediatric CPR and 
first aid, and SIDS prevention. The FCC provider's spouse may serve as a 
backup provider on a limited basis, as designated by the DoD Component 
and must complete the required substitute FCC provider training.
    (4) CDP Support Staff. CDP support staff shall participate in annual 
training related to the latest techniques and procedures in child care, 
including topics on child abuse prevention, identification and 
reporting, and other training related to their position.
    (f) Volunteers. All volunteers shall be screened, trained, and 
supervised in accordance with DoD Instruction 1402.5 and 32 CFR part 86; 
and DoD Instruction 1100.21, ``Voluntary Services in the Department of 
Defense'' (see http://www.dtic. mil/whs/directives/ corres/pdf/ 
110021p.pdf) and DoD Component implementing guidance, as appropriate to 
their role. Volunteers may not be alone with children and are not 
counted in the staff ratio. All regularly scheduled volunteers shall be 
trained in:
    (1) Program orientation.
    (2) Age-appropriate learning activities.
    (3) Child abuse identification, reporting and prevention.
    (4) Age-appropriate guidance and discipline.
    (5) Working with children with special needs.
    (6) Child health and safety.
    (7) Safe infant sleep practices and SIDS prevention.
    (8) Emergency procedures.
    (9) Applicable regulations and installation policy.
    (10) Role of the volunteer in the CDP.
    (g) Supplemental Child Care. On-site group care services are 
designed to provide occasional, intermittent care to children on an 
hourly basis, including respite child care.
    (1) When on-site group care is provided in an installation CDP 
facility by CDP staff members, the requirements of this part apply.
    (2) When on-site group care is provided in a non-CDP facility by CDP 
personnel and parents are not on site, the requirements of this part 
apply.
    (3) When on-site group care is provided in a non-CDP facility by CDP 
personnel and parents remain on site, the facility is not required to 
meet the requirements of this part.
    (4) When on-site group care is provided in an alternative facility 
by volunteers or parents, and the parent or guardian remain on site, the 
requirements of this part do not apply.
    (h) Administration and Oversight of Community-Based Care Providers. 
(1) Types of Care. Efforts shall be made to expand the availability of 
these programs through referrals to comparable programs off of the 
installation through participation in consortiums with other Federal and 
non-governmental entities.

[[Page 530]]

    (i) Efforts shall be made to ensure quality, affordable child care 
options exist for all eligible patrons, including those who are 
geographically dispersed active duty military and their families. 
Community-based child care options are designed to supplement, not 
replace, child care programs on the installation.
    (ii) Care may be delivered through military-approved community-based 
CDPs, utilizing a myriad of delivery systems, including existing child 
care facilities, schools, recreation and after-school and summer 
programs, and home-based care programs.
    (iii) Programs that support the needs of eligible deployed families 
in military-approved community-based child care programs where care is 
needed for a short-term basis during the deployment phase must meet the 
State licensing regulations and requirements and be inspected by an 
outside agency once a year. All other types of care must meet the intent 
of this part.
    (iv) Programs shall meet State licensing standards for background 
checks.
    (v) Military-approved community-based child care programs will be 
encouraged to participate in an evaluation process utilizing the ERIS in 
this section, a detailed assessment tool developed by the DoD to 
evaluate facility-based child care providers.
    (2) Subsidies.
    (i) The DoD Components may subsidize a portion of the cost of child 
care incurred by eligible active duty and DoD civilian employees.
    (ii) Subsidies resulting from the child care provided to children of 
active duty military members are excluded from gross income pursuant to 
26 U.S.C. 134.
    (iii) Subsidies provided to DoD civilian employees may qualify for 
exclusion from gross income, provided the specific program used 
qualifies under 26 U.S.C. 129(d) and the employee receives the subsidy 
for an eligible purpose on behalf of an eligible child as described in 
26 U.S.C. 21(a) and 21(b). Subsidies in excess of the excludable amounts 
will be treated as gross income under 26 U.S.C. 61. Employees are 
advised to consult with a qualified tax expert with questions or 
concerns related to taxability of child care subsidies.
    (iv) Child care programs and providers who offer their services 
under this provision must comply with the standards outlined in this 
part and must be approved by the plan administrator or designee prior to 
issuance of subsidy payments by a DoD Component.
    (v) The DoD Components are responsible for budgeting for child care 
subsidies and are not to establish a special fund out of which child 
care subsidies are paid, nor will eligible users of Military Child 
Development Programs be required to make a contribution as a condition 
of receiving a child care subsidy.
    (vi) The DoD Components have the discretion to amend or terminate 
their participation in a child care subsidy program under this plan at 
any time. The benefits in this section are not guaranteed and may be 
reduced by plan amendment.
    (vii) The OFP/CY will designate a TPA to administer the Military 
Department, Defense Agency, and DoD Field Activity civilian child care 
subsidy program for all DoD Components. Each civilian sponsor must 
register with the TPA contracted by the Defense Department.
    (A) The TPA shall annually document family and provider eligibility, 
TFI, child data, and other information required to comply with reporting 
requirements, in accordance with 26 U.S.C. 21(a), 21(b), 61, 129, and 
134.
    (B) The TPA shall provide authorization and payment of child care 
subsidies to the provider. All subsidy payments shall be made to the 
child care provider.
    (C) The TPA shall comply with fee assistance guidelines established 
by the individual DoD Components.
    (i) Augmented Program Support. When possible, CDPs should utilize 
personnel, such as behavioral health consultants and school liaison 
officers to assist the program staff and parents with children's social-
emotional development and behavior. These personnel shall assist staff, 
parents, and children in developing skills to respond to challenging 
behaviors and reduce stress for staff and participating children.

[[Page 531]]

    (j) CDC and SAC Standards of Operation, FCC Standards of Operation, 
and the ERIS. (1) Table 1 outlines the minimum operational standards 
required for installation-based CDCs and SACs to receive the DoD 
Certificate to Operate. These standards implement the policy 
requirements of paragraphs (a), (c)-(f), and (i) of this section. When a 
SAC program operates within a CDC, SAC standards of operation shall be 
used for the SAC portion of the program.
    (2) Table 2 outlines the minimum operational standards required for 
installation-based and affiliated FCC providers to receive the DoD 
Certificate to Operate. These standards implement the policy 
requirements outlined in the body of this part.
    (3) Table 3 outlines the operational standards for community-based 
child care facilities. These standards, in addition to the state 
licensing requirements, may be used to determine eligibility of child 
care subsidies under conditions designated by the DoD Components. 
Programs eligible to receive child care subsidies when the Service 
member is deployed must meet the state licensing requirements and be 
annually inspected.

      Table 1--CDC and School-Age Programs Standards of Operations
------------------------------------------------------------------------
 
-------------------------------------------------------------------------
A. Administrative
------------------------------------------------------------------------
Both CDC and SAC
------------------------------------------------------------------------
The program has implemented the fee policy in accordance with current
 DoD and DoD Component guidance. If appropriate, the program has an
 approved waiver to utilize the high cost fee option.
75 percent of the program's total labor hours are paid to direct program
 staff who are in benefit status.
Unannounced inspections are conducted by program staff following
 complaints.
------------------------------------------------------------------------
B. Facility
------------------------------------------------------------------------
Facility: Both CDC and SAC
------------------------------------------------------------------------
The DoD Certificate to Operate is displayed in a prominent location.
Newly constructed CDP facilities follow the UFC or Service guidance for
 program capacity and capability.
The facility food service area supports the sanitary preparation and
 service of healthy foods.
All playgrounds, playground surfaces, and equipment meet American
 Society for Testing and Materials and Consumer Product Safety
 Commission (CPSC) guidelines.
There is a balance of sun and shade on the playground and a variety of
 surfaces, such as resilient surfaces, and natural elements. CDC
 playgrounds include equipment for riding, climbing, balancing, and
 swinging.
The program provides opportunities for active play every day, indoors
 and outdoors. Children have ample opportunity to do vigorous activities
 such as running, climbing, dancing, skipping, and jumping.
Programs use gardens to educate children about healthy eating.
The square footage of useable space for each child in each activity room
 meets the requirements of the UFC or Service-specific guidelines.
Sound absorbing materials, such as ceiling tiles and rugs are used to
 minimize noise levels.
Areas used by children have adequate lighting for safety, evacuation,
 and security measures, are ventilated and kept at a comfortable
 temperature.
There is adequate and convenient storage space for equipment and
 materials.
Individual space is provided for each child's belongings.
Supervised private areas where children can play or work alone or with a
 friend are available indoors and outdoors.
Bathrooms, drinking water, and hand-washing facilities are easily
 accessible to children.
Clean, sanitary drinking water is readily available at all times.

[[Page 532]]

 
The facility includes a place for adults to take a break away from
 children, an adult bathroom, a secure place for staff to store their
 personal belongings, and an administrative area for planning or
 preparing materials that is separated from the children's areas.
The facility includes soft elements that help create a home-like
 environment.
------------------------------------------------------------------------
Facility: CDC ONLY
------------------------------------------------------------------------
The square footage of activity space per child meets the requirements of
 the UFC or Service specifications for facilities built after 2002. A
 minimum of 50 square feet per child of activity space is provided for
 infants in facilities built prior to 2002.
If more than one care group occupies a single room, each group has its
 own defined physical space and primary interest centers.
Outdoor play areas directly adjoin CDCs. Playgrounds for alternative
 program options must be accessible via a route free from hazards and
 are located within 1/8 mile from the facility.
Playgrounds are enclosed by a fence and meet the requirements of the
 UFC.
The square footage of playground space per child meets the requirements
 of the UFC or Service specific guidelines. The playground area is
 capable of supporting 30 percent of the total capacity of the CDC in a
 center of 100 or more children, and all the children in centers with a
 capacity of fewer than 100 children.
The facility has a designated place set aside for breastfeeding mothers
 who want to come during work to breastfeed, as well as a private area
 with an outlet (not a bathroom) for mothers to pump their breast milk.
------------------------------------------------------------------------
Facility: SAC ONLY
------------------------------------------------------------------------
There are separate male and female bathrooms for children as well as
 separate multi-unit restrooms for staff and visitors or a system to
 ensure that adults and teens do not use the bathrooms at the same time
 as children in SAC.
------------------------------------------------------------------------
C. Health and Sanitation
------------------------------------------------------------------------
Health and Sanitation: Both CDC and SAC
------------------------------------------------------------------------
A comprehensive health and sanitation inspection has been conducted
 within the last 12 months, corrective actions have been completed per
 specified timelines, and the inspection report is available for review.
The program shall require that all children enrolling in CDPs provide
 written documentation of immunizations appropriate for the child's age
 in accordance with Army Standard for Child Development Center. Children
 enrolled in the SAC program are not required to provide documentation
 if they are enrolled in a local public school system.
Staff employed by the CDP and regular volunteers shall be current for
 all immunizations recommended for adults by the ACIP of the Centers for
 Disease Control and Prevention. All must provide written documentation
 of immunization.
There is a policy in place that addresses the daily informal screening
 for illness based on criteria established by the DoD Component. This
 policy also addresses admission back into the CDP after an illness.
There is a policy in place that addresses food or other allergies,
 special accommodations, or potentially life-threatening conditions.
Individual medical problems and accidents are recorded and reported to
 management staff and families, and a written record is kept of such
 incidents.
Only physician-prescribed medications are administered; medications are
 only given with the written approval of the child's parents; and
 medications given are documented.
Providers have documented parental permission to apply basic topical
 care items such as sunscreen, insect repellant, and lotion.
A plan exists for dealing with medical emergencies that include written
 parental consent forms, and transportation arrangements approved by the
 DoD Component.

[[Page 533]]

 
Policies and procedures are followed for administering and storing
 medication. Designated staff are trained to administer medications, and
 the training is updated annually or as required by state laws.
The facility is cleaned daily, and as needed throughout the day. Food
 preparation areas, bathrooms, diapering areas, hand-washing facilities,
 and drinking fountains are sanitary.
A sink with running water at a comfortable temperature of no more than
 110 degrees temperature is very close to bathrooms and diapering areas.
Staff and children wash hands before and after eating, after toileting
 and diapering, after handling animals, after entering the facility from
 outdoors, before water play, after wiping their nose, and after any
 other activity when the hands become contaminated. Signs are posted
 reminding staff and children of proper hand-washing procedures.
Staff and volunteers follow universal precautions to prevent
 transmission of blood-borne diseases and the program has a blood-borne
 pathogen procedure, as required by the Occupational Safety and Health
 Administration (OSHA).
The program requires parents to provide proper attire for active play
 indoors and outdoors.
At least one staff member, who has certification in first aid treatment,
 including CPR for infants and children and emergency management of
 choking, is always present. Current certificates are kept on file.
------------------------------------------------------------------------
Health and Sanitation: CDC ONLY
------------------------------------------------------------------------
Infant equipment is washed and disinfected at least daily. Toys that are
 mouthed are removed immediately after mouthing and are washed and
 sanitized prior to being used by another child.
Individual bedding is washed at least once a week and used by only one
 child between washings. Individual cribs, cots, and mats are washed if
 soiled.
Diapering procedures are in accordance with national recommendations and
 are posted in diapering areas.
Sinks used for diapering are not co-located with food service areas or
 the sink used for dishwashing.
------------------------------------------------------------------------
D. Fire and Safety
------------------------------------------------------------------------
Fire and Safety: Both CDC and SAC
------------------------------------------------------------------------
Comprehensive fire and safety inspections have been completed within the
 last 12 months, corrective actions have been completed per specified
 timelines, and the inspection reports are available for review.
A safety walk-through of all play areas is conducted daily. Safety
 concerns are identified, documented, and corrected immediately or put
 off limits to children until they can be corrected.
The building, playground, and all equipment are maintained in safe,
 clean condition, are in good repair, and there are no observable safety
 hazards in the indoor and outdoor program space.
Stairways and ramps are well lighted and equipped with handrails, where
 appropriate.
Fire extinguishers, smoke detectors, and carbon monoxide detectors,
 where required, are in working order, and documentation shows status is
 checked monthly.
Adequate first aid supplies are readily available and maintained. First
 aid supplies are available during field trips and outings.
Toys and materials do not present a choking hazard for children under
 age 3 years.
Chemicals and potentially dangerous products, such as medicine or
 cleaning supplies, are stored in original, labeled containers in locked
 cabinets inaccessible to children. Diluted bleach solution must be
 accessible to staff in an unlocked location, but inaccessible to
 children.
There is a written plan for reporting and managing emergencies,
 including terrorist attacks, severe storm warnings, medical and
 pandemic emergencies, or a lost or missing child, which includes
 shelter in place and evacuation procedures. Staff and volunteers
 understand the plan.

[[Page 534]]

 
Evacuation drills are conducted monthly at different times of the day or
 evening when children are in care. The drills are documented.
Emergency telephone numbers including police, fire, rescue, and poison
 control services are posted by telephones and are available at all
 times.
Staff and regular volunteers are familiar with primary and secondary
 evacuation routes and practice evacuation procedures monthly with
 children.
A system is in place to keep unauthorized people from taking children
 from the program.
Smoking and use of tobacco is not permitted in the facility or in the
 sight or presence of children.
------------------------------------------------------------------------
Fire and Safety: CDC ONLY
------------------------------------------------------------------------
Cribs meet the current CPSC guidelines.
CPSC crib safety guidelines are followed: infants are placed on their
 backs for sleeping; soft cushions, such as pillows, comforters, thick
 blankets, quilts, or bumper pads are not used in cribs.
------------------------------------------------------------------------
E. Parent Involvement/Participation
------------------------------------------------------------------------
Parent Involvement/Participation: Both CDC and SAC
------------------------------------------------------------------------
Parents have access to their children at all times, are helped to feel
 welcome and comfortable, and are treated with respect.
Written information is available to families, including operating
 policies and procedures, program philosophy, and a parent participation
 plan.
Programs are encouraged to include the culture and language of the
 families they serve. Families are encouraged to share their heritage
 and culture.
Parents are offered a program orientation as a part of the child
 enrollment process.
Parents are informed about the program and curriculum and about policy
 or regulatory changes and other critical issues that could potentially
 affect the program, through newsletters, bulletin boards, technology,
 and other appropriate means.
Families are encouraged to participate in the planning and evaluation of
 the CDC and SAC programs with regards to their child's care and
 development. They are encouraged to be involved in the program in
 various ways, taking into consideration working parents and those with
 little spare time.
There is a parent board that meets on a scheduled basis through in-
 person or virtual meetings. The board meets periodically to provide
 opportunities for families to have input regarding policies,
 procedures, and plans for meeting children's needs.
Staff work in collaborative partnerships with families, establishing and
 maintaining daily or ongoing two-way communication with children's
 parents to build trust, share changes in a child's physical or
 emotional state regularly, facilitate smooth transitions for children,
 and ensure that children's learning and developmental needs are met.
Policies ensure that staff and parents have an effective way of
 negotiating difficulties and differences that arise in their
 interactions.
Programs inform families on how to increase physical activity, improve
 nutrition, and reduce screen time (TV, video games, computers, etc.).
The program provides information to parents to ensure that each child
 has routine health assessment by the child's primary care provider,
 according to standards of the AAP, to include evaluation for nutrition-
 related medical problems.
------------------------------------------------------------------------
Parent Involvement/Participation: CDC ONLY
------------------------------------------------------------------------
Conferences are held at least once per year and at other times, as
 needed, to discuss children's progress, accomplishments, and
 difficulties at home and at the program.
------------------------------------------------------------------------
F. Learning Activities and Interaction with Children
------------------------------------------------------------------------

[[Page 535]]

 
Both CDC and SAC
------------------------------------------------------------------------
Learning activities reflect the program's written statement of its
 philosophy and goals for children. This statement is available to all
 staff and families.
The program is designed to reasonably accommodate and be inclusive of
 all children, including those with identified disabilities as well as
 special learning, medical, and developmental needs.
Programs have established a planned program of developmentally
 appropriate activities that recognizes the individual differences of
 children and provides an environment that encourages children's self-
 confidence, self-help, life skills, curiosity, creativity, and self-
 discipline.
Staff include age-appropriate nutrition education activities in the
 curriculum.
The daily schedule provides a balance of activities in consideration of
 the child's daily routine and experience.
Staff are engaged and interact frequently with children, speaking in a
 friendly, positive, and courteous manner, respectful of gender, race,
 religion, family background, special needs, and culture. The physical
 environment supports these interactions.
Staff conduct smooth and unregimented transitions between activities and
 are flexible in changing planned or routine activities, as appropriate.
 Infants and toddlers are not expected to function in large group
 activities.
Staff use a variety of teaching strategies to enhance children's
 learning and development throughout the day.
Staff addresses bullying and supports positive behavior by modeling
 appropriate behavior, responding consistently to issues, and
 encouraging children to resolve their own conflicts, when possible and
 appropriate.
The outdoor environment meets the needs of children, allows them to be
 independent and creative, and have access to a variety of age-
 appropriate outdoor equipment and games. Staff plan and participate in
 children's active play.
Program materials are in good condition, sufficient for the number of
 children in the program, developmentally appropriate for the age of the
 children, and appropriate to the activities offered.
Screen time and the use of passive media is limited and developmentally
 appropriate. Media viewing and computer use is not permitted for
 children younger than 2 years.
------------------------------------------------------------------------
CDC Only
------------------------------------------------------------------------
There is a DoD Component-approved curriculum that supports school
 readiness. It is based on knowledge of child and youth development and
 learning, and assessment of individual needs and interests.
Developmentally appropriate activities emphasize concrete experiential
 learning and promote development in six developmental domains: social,
 physical, language and literacy, cognitive and intellectual, emotional,
 and cultural.
Individual observations of children's development and learning are
 written, compiled, assessed, and are used as a basis for planning
 appropriate learning activities.
Staff plan with families to make toileting, feeding, and the development
 of other self-regulation skills a positive experience for children.
------------------------------------------------------------------------
SAC Only
------------------------------------------------------------------------
Developmentally appropriate activities encourage physical fitness;
 positive self-esteem; intellectual, social, and physical achievement;
 leadership skills and initiative; lifelong recreation skill; positive
 use of leisure time; moral development and community leadership; self-
 reliance and independence; and respect for diversity.
SAC daily schedules are flexible, provide stability without being rigid,
 allow youth to
meet their physical needs (e.g., water, food, restrooms) in a relaxed
 way, allow children to move smoothly from one activity to another
 (usually at their own pace), and facilitate smooth transitions when it
 is necessary for children to move as a group.
Appropriate protected internet access and programs that teach technology
 are available.
------------------------------------------------------------------------

[[Page 536]]

 
G. Nutrition and Food Service
------------------------------------------------------------------------
Both CDC and SAC
------------------------------------------------------------------------
Meals and snacks are a pleasant, social learning experience for
 children.
The DoD Components will establish policies that are consistent with USDA
 guidelines for meals provided by parents. Under limited circumstances
 when meals are provided by parents, food storage and handling
 procedures are approved by local health and sanitation authorities.
Unless documented circumstances approved by the DoD Component prevent
 enrollment, all programs must enroll in the USDA CACFP (United States
 Department of Agriculture Child and Adult Care Food Program).
Dietary modifications are made on the basis of recommendations by the
 child's primary medical care provider and are documented. Documentation
 is available for religious and medical dietary substitutions. Menus
 contain some vegetarian meals.
The program provides or posts menus showing all foods to be served
 during that month. Core and cyclical menus are approved by a
 nutritionist or registered dietician. Foods typical of the child's
 culture and religious preferences, as well as a variety of healthful
 foods that may not be familiar to the child, are included.
The program provides healthy meals and snacks that include restrictions
 on the provision of juice and beverages with added sweeteners and no
 fried, high-fat, or highly salted foods.
Meals and snacks are conducted using family-style dining. In SAC
 programs, snacks may be served buffet style.
------------------------------------------------------------------------
CDC Only
------------------------------------------------------------------------
The program encourages, provides arrangements for, and supports
 breastfeeding.
There is an accountability system in place for bottles, including
 bottles for breast milk. Bottle-feeding is done in such a way as to
 minimize disease and promote interaction. Infants are held for bottle-
 feeding, bottles are never propped, never heated in a crock pot or
 microwave, and infants are never put to sleep with a bottle.
One adult should not feed more than one infant for bottle feeding, two
 children in high chairs, or three children who need assistance with
 feeding at the same time.
------------------------------------------------------------------------
H. Supervision of Children
------------------------------------------------------------------------
Both CDC and SAC
------------------------------------------------------------------------
The following staffing requirements are met at all times, except during
 nap time (for CDC):
    a. For infants from birth to 12 months, there are never more than
     four children per staff member.
    b. For pre-toddlers 13 months to 24 months, there are never more
     than five children per staff member.
    c. For toddlers, 25 months to 36 months, there are never more than
     seven children per staff member.
    d. For children 37 months through 5 years, there are never more than
     twelve children per staff member.
    e. For children 6 years through 12 years, there are never more than
     fifteen children per staff member.
During rest time, the staff-to-child ratios for children over 24 months
 of age may increase to twice the non-napping staff-to-child ratio.
 Sufficient staff are required to remain in the building during rest
 time to meet the non-napping ratios and be available to assist with
 emergencies.
The following maximum group sizes are followed at all times:
    a. For infants birth to 12 months, there are never more than eight
     children per group.
    b. For pre-toddlers 13 months to 24 months, there are never more
     than ten children per group.
    c. For toddlers, 25 to 36 months, there are never more than fourteen
     children per group.

[[Page 537]]

 
    d. For children thirty-seven months through five years, there are
     never more than twenty-four children per group.
    e. For SAC, there are never more than thirty children per group.
In multi-age groupings, the Service may follow the ratio per age group.
 For example, four infants and five pre-toddlers equal a group of nine
 with two direct care personnel, or seven toddlers and twelve
 preschoolers equal a group of nineteen with two direct care personnel.
Volunteers or persons under 18 years of age may not be counted in
 determining compliance with staff-to-child ratios and are not allowed
 to work alone with children.
The program has an accountability system in place. Each staff member has
 primary responsibility and accountability for a group of children.
 There is specific accountability for each child by one staff member.
 Systems are in place for accounting for children's whereabouts,
 especially during periods of transition and emergencies.
Children are released only to their parents or guardian. Children may be
 released to a designee when signed permission is given by the parent or
 guardian.
Families are notified about procedures and policies for field trips.
 Families are notified of all activities outside the center.
Children are under adult supervision at all times. Staff are not
 permitted to use personal electronic devices (including, but not
 limited to cell phones, iPods, smart phones, etc.) when supervising
 children.
------------------------------------------------------------------------
CDC Only
------------------------------------------------------------------------
At least two staff members must be present with each group of children
 at all times. When one staff person is alone with a single ratio of
 children, the program director or designee frequently monitors the room
 through closed circuit television or visual access panels to ensure
 oversight by more than one adult. In this case, the staff member must
 have an initiated National Agency Check Investigation (NACI) and the
 program director or designee must have a completed NACI.
Infants and toddlers spend the majority of the time interacting with
 staff who have primary responsibility for them each day.
------------------------------------------------------------------------
SAC Only
------------------------------------------------------------------------
At least two paid staff members shall be present whenever children are
 in the facility.
Adult volunteers may supplement paid staff during field trips and other
 activities away from the facility. Only paid staff are counted in the
 ratio.
Signed permission is given by the parent allowing the child to self-
 release for a specific organized activity. Self-release procedures are
 consistent with the installation home alone policy or self-care policy.
------------------------------------------------------------------------
I. Child Abuse Prevention and Reporting
------------------------------------------------------------------------
Both CDC and SAC
------------------------------------------------------------------------
A NACI to include a name-based criminal history record check (State and
 Federal) and fingerprint check has been initiated on all staff.
 Background checks are tracked to ensure completion in a timely manner.
All individuals in a CDP who have contact with children have completed a
 DD Form X656 ``Basic Criminal History and Statement of Admission''
Updates to the background checks are completed every five years.
Newly hired staff without a completed background check are readily
 identifiable and work within line of sight of a staff member with a
 completed check.
Hiring practices include careful checking of references of all potential
 employees and volunteers.
The program has a written guidance, discipline, and touch policy that is
 available to staff and families. Staff do not use corporal punishment
 or other negative discipline methods that hurt, humiliate, or frighten
 children.

[[Page 538]]

 
The program has a child abuse and neglect policy that includes reporting
 requirements for staff as well as procedures to be followed should a
 staff member be accused of abuse or neglect. This information is
 included in employee handbooks. All staff are knowledgeable of the
 policy.
The DoD Child Abuse and Safety Hotline telephone number is displayed in
 a highly visible area where parents can see it. The telephone number is
 published in parent handbooks and other brochures.
The facility is designed in accordance with the Unified Facilities
 Criteria (UFC) 4-740-14, ``Design: Child Development Centers,'' to help
 minimize the risk of child abuse:
    a. Access to children by those not employed by the program is
     restricted.
    b. Areas to which a child or children can be taken out of view of
     others are limited.
    c. All exit doors that do not open onto a fenced area have operating
     alarms, except the main entrance to the facility and the kitchen
     entrance.
    d. Evening or weekend care is provided in rooms located near the
     front entryway to facilitate additional supervision by the front
     desk staff and parents.
    e. In the CDC:
        1) Children can be observed at all times by parents and
         supervisors.
        2) There is visual access into and throughout activity rooms
         used for care, including nap time. Closed-circuit television,
         vision panels, and convex mirrors are used as necessary to
         facilitate visual access.
        3) Diapering areas are visible.
All persons other than employees and family members bringing in or
 picking up children sign in and out at the front desk or with
 appropriate personnel. Visitors to the CDP shall sign in and out of the
 facility and wear a visitors badge at all times while they are in the
 facility or on playgrounds.
If transportation is provided for children by the program, vehicles are
 equipped with age-appropriate restraint devices in accordance with
 State and Federal requirements. The program maintains documentation
 that vehicles used in transporting children are appropriately licensed,
 inspected, and maintained. A current copy of the appropriate driver's
 license and Department of Motor Vehicles driving record is on file for
 staff members who transport children.
In SAC programs, a procedure for accountability when a child fails to
 show for the program is in place and followed.
------------------------------------------------------------------------


                   Table 2--FCC Standards of Operation
------------------------------------------------------------------------
 
-------------------------------------------------------------------------
A. Administrative
------------------------------------------------------------------------
The installation regulates FCC in accordance with DoD Component
 requirements, ensuring care is not permitted unless subject to
 inspection and approval.
Processes are in place to support recruitment and retention of FCC
 providers.
Unannounced inspections are conducted by program staff following
 complaints.
------------------------------------------------------------------------
B. Home
------------------------------------------------------------------------
Where applicable, the DoD Component has a process to register and
 certify homes located off the installation or in privatized government
 housing.
The Certificate to Operate, issued by the DoD Component or designee, is
 displayed in a prominent location.
Providers can demonstrate proof of current liability insurance.
There is a signed contract between each family and provider. Parents are
 informed of changes in the provider's household composition.
Children are cared for by the provider or an approved substitute.
 Parents and the FCC administrator are informed when a substitute
 provider will be caring for their children. Civilian members of the
 provider's household providing care as a substitute must be approved
 and trained. Active duty Military Service members may serve as
 substitute providers only under circumstances approved by the DoD
 component.

[[Page 539]]

 
There is adequate space indoors and outdoors in the home for the number
 of children in care to play, rest, and eat.
------------------------------------------------------------------------
C. Health and Sanitation
------------------------------------------------------------------------
On installations, comprehensive fire, safety, and sanitation inspections
 have been completed within the last 12 months, and the inspection
 reports are available for review.
The provider notifies parents and FCC of medical emergencies,
 communicable diseases or illness of the children, the provider, or the
 provider's family member(s). Health consultants will be informed based
 on installation policy.
Children are informally screened daily for illness based on criteria
 established by the DoD Component. Children are readmitted after illness
 only when their presence no longer endangers the health of other
 children.
Only physician-prescribed medications are administered; medications are
 only given with the written approval of the child's parents; and
 medications given are documented.
Providers have documented parental permission to apply basic topical
 care items such as sunscreen, insect repellant, and lotion.
Procedures for diapering, hand washing, and toileting are followed in
 accordance with national recommendations.
Providers follow universal precautions to prevent transmission of blood-
 borne diseases, and the provider has a blood-borne pathogen procedure,
 as required by OSHA.
Providers and children wash hands before and after eating, after
 toileting and diapering, after handling animals, after entering the
 home from outdoors, before water play, after wiping their nose, and
 after any other activity when the hands become contaminated. Signs are
 posted reminding providers and children of proper hand-washing
 procedures.
Homes are maintained in a sanitary manner.
Individual bedding is washed at least once a week and used by only one
 child between washings. Individual cribs, cots, and mats are washed if
 soiled.
Infant equipment is washed and disinfected at least daily. Toys that are
 mouthed are removed immediately after mouthing and are washed and
 sanitized prior to being used by another child.
All windows used for ventilation are properly screened.
Providers do not consume alcohol while children are in care.
Smoking is not permitted in the home or outdoor area while children are
 in care.
------------------------------------------------------------------------
D. Fire and Safety
------------------------------------------------------------------------
There are policies in place to ensure the home operates to protect
 children against the risk of fire and safety hazards.
There is a policy to keep children protected from hazards stemming from
 poisoning, toxic materials, electrical shock, standing water, unsafe
 playground equipment, and strangulation.
There is a written plan for reporting and managing emergencies,
 including terrorist attacks, severe storm warnings, medical and
 pandemic emergencies, or a lost or missing child, which includes
 shelter in place and evacuation procedures. Providers and volunteers
 understand the plan.
First aid supplies are readily available for emergencies and maintained.
Evacuation drills are conducted monthly at different times of the day or
 evening when children are in care. The drills are documented.
There is a working landline or cellular phone within the home. Emergency
 telephone numbers including police, fire, rescue, and poison control
 services, and instructions are accessible or kept with the
 telephone(s).
Providers use safety gates to prevent children from falls. Door locks
 that can entrap children inside a bathroom or bedroom may be opened
 from the outside.
If there are firearms in the home, the ammunition must be removed from
 the firearm. Firearms and ammunition are stored separately in locked
 cabinets that are inaccessible to children.
Young infants are placed on their backs for sleeping to lower the risk
 of SIDS. Soft cushions, pillows, thick blankets, and comforters are not
 used in cribs.

[[Page 540]]

 
Providers shall not permit children to sleep in family beds unless a
 separate bed is designated for the child and clean linens are provided.
Cribs meet CPSC guidelines. The sides of infants' cribs shall be in a
 locked position when cribs are occupied and do not present a
 strangulation or entrapment hazard.
Providers inform parents if they will be taking children from the home
 while they are in care.
If transportation is provided for children by the provider, age-
 appropriate restraint devices are used, and appropriate safety
 precautions are taken.
A current copy of the driver's license and proof of insurance is on file
 for providers who transport children.
------------------------------------------------------------------------
E. Parent Involvement/Participation
------------------------------------------------------------------------
Parents are given access to the home at all times when their children
 are present.
Parents are provided with a copy of policies governing FCC.
The provider communicates regularly with parents and recognizes them as
 partners in the care of children, and there is a prominent place to
 display information for parents.
Parents are provided with information about the importance of routine
 health supervision by the child's primary care provider, according to
 standards of the AAP, to include evaluation for nutrition-related
 medical problems.
------------------------------------------------------------------------
F. Learning Activities and Interaction with Children
------------------------------------------------------------------------
Activities and experiences are provided daily that enhance children's
 physical, social, emotional, and cognitive development.
Activities include age-appropriate nutrition education.
There are enough toys and materials, home-made or purchased, to engage
 all the children in developmentally appropriate ways.
Toys, materials, and equipment are in good repair and are arranged so
 children are able to select and put toys and materials away with little
 or no assistance.
A variety of daily activities is planned for indoors and outdoors. There
 is a balance between child-initiated and adult-directed activities. A
 daily schedule of activities is posted for parents to see.
The provider plans and participates in children's active play.
The provider interacts frequently with the children and shows them
 affection and respect. The provider speaks to children in a friendly,
 courteous manner.
Children's routines are handled in a relaxed and individualized manner
 that promotes respect and opportunities to develop self-esteem, self-
 discipline, and learning by doing.
Screen time (e.g., non-active video games) and the use of passive media,
 (e.g., television, audio tapes), are limited and developmentally
 appropriate. Media viewing and computer use are not permitted for
 children younger than 2 years.
The provider observes and evaluates each child's growth and development
 for program planning.
------------------------------------------------------------------------
G. Nutrition and Meal Service
------------------------------------------------------------------------
Unless documented circumstances prevent enrollment, providers are
 offered the opportunity to enroll in the USDA CACFP and all meals and
 snacks are prepared, handled, transported, and served according to USDA
 CACFP guidelines found in 7 CFR part 226.
Providers develop written menus showing all foods to be served during
 that month, and the menus are available to parents and guardians. Menus
 are posted for meals and snacks.
Dietary modifications are made on the basis of recommendations by the
 child's primary care provider and are documented. Documentation is
 available for religious and medical dietary substitutions. Menus
 contain some vegetarian meals.
Meals and snacks include restrictions on the provision of juice and
 beverages with added sweeteners and limited high-fat and salted foods.
Food is prepared, served and stored in a sanitary manner. If meals are
 provided by parents, food storage and handling procedures are approved
 by local health and sanitation authorities.

[[Page 541]]

 
All children present are served meals or snacks. Meals and snacks for
 toddlers, preschool, and school-age children use family-style dining.
Bottle-feeding is done in such a way as to minimize disease and promote
 interaction. Infants are held for bottle-feeding. Bottles are never
 propped, never heated in a crock pot or microwave, and infants are
 never put to sleep with a bottle.
There is an accountability system in place for bottles, including
 bottles for breast milk.
The provider encourages, provides arrangements for, and supports
 breastfeeding. There is an accountability system in place for bottles.
------------------------------------------------------------------------
H. Supervision of Children
------------------------------------------------------------------------
The maximum group size in a home is six children per provider, including
 the provider's own children under the age of eight.
    a. When all children are under the age of two, the maximum group
     size at any one time is three.
    b. In mixed-age groups, the number of children under two years of
     age is limited to two children.
    c. When all children are school-age, the maximum group size is
     eight.
Parents sign children in and out of the home on a daily basis. Children
 are only released to persons that parents have authorized in writing.
 Children may sign themselves out of the home consistent with the
 installation home alone policy or self-care policy and parental
 consent.
Providers supervise all children in care both inside and outdoors.
 School-age children may be outside without direct supervision as long
 as they are within sight or sound of the provider.
------------------------------------------------------------------------
I. Child Abuse Prevention and Reporting
------------------------------------------------------------------------
Providers, substitute providers, and individuals age 18 and older living
 in the home, must complete a background check annually.
All individuals in a CDP who have contact with children have completed a
 DD Form X656 ``Basic Criminal History and Statement of Admission''.
The DoD Child Abuse and Safety Hotline telephone number is displayed in
 a highly visible area where parents can see it. The telephone number is
 published in parent materials.
Children are never left alone with a visitor or another adult who is not
 authorized to care for children.
There is a guidance policy in place, and providers do not use corporal
 punishment or other negative discipline methods that hurt, humiliate,
 or frighten children.
------------------------------------------------------------------------


                              Table 3--ERIS
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Oversight
------------------------------------------------------------------------
The State Child Care Licensing/Regulating Agency conducts an annual on-
 site inspection of the facility and program.
------------------------------------------------------------------------
SCR 01--Staff-Child Ratio/Group Size (SCR)
------------------------------------------------------------------------
                                Standard
------------------------------------------------------------------------
SCR 01.01.........................  RATIO (number of children per child
                                     care provider/staff). Ratios must
                                     be equal to or lower than:
                                      1:4 or less for infants (birth to
                                    12 months).
                                      1:5 or less for pre-toddlers (13-
                                    24 months).
                                      1:7 or less for toddlers (25-36
                                    months).
                                      1:12 or less for preschool (37
                                    months-5 years).
                                      1:15 or less for school age (6-12
                                    years).

[[Page 542]]

 
SCR 01.02.........................  GROUP SIZE (the total number of
                                     children within various age
                                     groups). Group size must be equal
                                     to or lower than:
                                      Eight or less for infants (birth
                                    to 12 months) with two caregiving
                                    staff per eight infants.
                                      Ten or less for pre-toddlers (13-
                                    24 months) with two caregiving staff
                                    per ten pre-toddlers.
                                      Fourteen or less for toddlers (25-
                                    36 months) with two caregiving staff
                                    per fourteen toddlers.
                                      Twenty four or less for preschool
                                    (27 months-5 years) with two
                                    caregiving staff per twenty four
                                    preschoolers.
                                      Twenty four/thirty or less for
                                    school age (6-12 years) with two
                                    caregiving staff per twenty four/
                                    thirty school agers.
SCR 01.03.........................  MULTI-AGE GROUPINGS (more than one
                                     age group in a room). No more than
                                     TWO AGE GROUPs may be combined
                                     within 18 month range (THIS DOES
                                     NOT APPLY TO SAC). Each age group
                                     is represented by appropriate
                                     ratio. Examples: two caregiving
                                     staff: four infants and five pre-
                                     toddlers; twp caregiving staff:
                                     five pre-toddlers and seven
                                     toddlers; two caregiving staff:
                                     seven toddlers and twelve
                                     preschoolers.
------------------------------------------------------------------------
BAC 02--Background Check/Child Abuse Prevention (BAC)
------------------------------------------------------------------------
                                Standard
------------------------------------------------------------------------
BAC 2.01..........................  Background checks are completed and
                                     documented for each employee or
                                     regular volunteer who is in contact
                                     with children, including
                                     management, administration,
                                     classroom, support staff, and
                                     individuals contracted for hire.
BAC 02.02.........................  Background checks are renewed and
                                     documented every 5 years for each
                                     employee or regular volunteer who
                                     is in contact with children,
                                     including management and
                                     administration, classroom staff,
                                     and support staff.
BAC 02.03.a.......................  Background checks include
                                     documentation of State Criminal
                                     History Repository completed for
                                     all states that an employee or
                                     prospective employee lists as
                                     current and former residences, in
                                     an employment application by using
                                     fingerprints.
BAC 02.03.b.......................  Background checks include
                                     documentation of FBI fingerprint
                                     check and name-based criminal
                                     history records check of law
                                     enforcement records completed for
                                     any States lived in by applicant
                                     during the past 5 years.
BAC 02.03.c.......................  Background checks include
                                     documentation of a review of the
                                     State Child Abuse Registry.
BAC 02.03.d.......................  Background checks include a review
                                     of the State Sex Offender Registry.
BAC 02.04.........................  Each employee and regular volunteer
                                     is trained annually about child
                                     abuse prevention, common symptoms,
                                     and signs of child abuse.
BAC 02.05.........................  All employees and regular volunteers
                                     are trained annually on HOW to
                                     report, WHERE to report, and WHEN
                                     to report possible child abuse or
                                     neglect.
------------------------------------------------------------------------
SR 03--Staff Requirements (SR)
------------------------------------------------------------------------
                                Standard
------------------------------------------------------------------------
SR 03.01.a........................  Director has a minimum of a
                                     Bachelor's Degree (BA) in childhood
                                     education, child development,
                                     social work, nursing, or other
                                     child-related field AND experience
                                     working with the age groups
                                     enrolled in the program.

[[Page 543]]

 
                                    In the event that the director does
                                     not have a BA degree in those
                                     areas, the director must have an AA
                                     degree and must be working toward
                                     the completion of a BA degree.
SR 03.01.b........................  The director is not responsible for
                                     a classroom of children.
SR 03.02..........................  The direct care personnel are at
                                     least 18 years old and have a high
                                     school diploma or a graduation
                                     equivalency diploma (GED).
------------------------------------------------------------------------
TRG 04--Training Requirements (TRG)
------------------------------------------------------------------------
                                Standard
------------------------------------------------------------------------
TRG 04.01.........................  Orientation is provided for each
                                     staff member and includes training
                                     on the following: early childhood
                                     development and education; child
                                     abuse recognition, prevention, and
                                     reporting; safety; first aid;
                                     proper hygiene; and positive
                                     guidance.
TRG 04.02.a.......................  There is an annual training plan for
                                     directors. Topics shall include,
                                     but are not limited to:
                                      Child abuse prevention and
                                    positive guidance.
                                      Universally accepted health and
                                    safety practices to include hand
                                    washing.
                                      Emergency preparedness and
                                    evacuation procedures.
                                      Social and emotional needs of
                                    children.
                                      Developmentally appropriate
                                    practices.
                                      General management practices, such
                                    as financial management, facility
                                    management, staff development, and
                                    working with parents.
                                      Safe sleep practices.
TRG 04.02.b.......................  There is an annual training plan for
                                     staff that include topics such as:
                                      Child abuse prevention and
                                    positive guidance.
                                      Universally accepted health and
                                    safety practices to include hand
                                    washing.
                                      Social and emotional needs of
                                    children.
                                      Developmentally appropriate
                                    practices.
TRG 04.03.........................  Staff complete forty hours of
                                     initial orientation training within
                                     the first three months.
TRG 04.04.........................  Staff are required to complete at
                                     least 24 hours of training per
                                     year.
TRG 04.05.........................  At least one staff member certified
                                     in emergency pediatric first aid
                                     treatment, including CPR for
                                     infants and children and emergency
                                     management of choking, is present
                                     in the facility during hours of
                                     operation.
------------------------------------------------------------------------
IMM 05--Immunizations (IMM)
------------------------------------------------------------------------
                                Standard
------------------------------------------------------------------------
IMM 05.01.........................  Children's records include EITHER:
                                      Documentation of current age-
                                    appropriate immunizations, as
                                    recommended by the AAP; OR
                                      A letter of exception on file and
                                    a statement of medical religious
                                    exception.
IMM 05.02.........................  Staff files include a copy of a TB
                                     screening. Also included is
                                     documentation of a general health
                                     assessment or a physical
                                     examination completed during
                                     employment in-processing.
                                     Information is available at: http://
                                     www.cdc.gov/media/.
------------------------------------------------------------------------
SUP 06--Supervision/Guidance (SUP)
------------------------------------------------------------------------

[[Page 544]]

 
                                Standard
------------------------------------------------------------------------
SUP 06.01.a.......................  The written policies and practices
                                     of the program specify that staff
                                     supervise children at all times,
                                     including nap times. No child is
                                     left alone or unsupervised.
SUP 06.01.b.......................  The written policies and practices
                                     of the program specify that
                                     children are released only to
                                     persons listed on the child's
                                     registration form or for whom the
                                     parents have provided written
                                     authorization.
SUP 06.01.c.......................  The written policies and practices
                                     of the program specify that parent,
                                     or authorized adult, signs children
                                     in and out upon arrival and
                                     departure each day, and attendance
                                     records are kept.
                                    A system is in place for accounting
                                     for school-age arriving from school
                                     or other activities without the
                                     parent (for example, children
                                     transported to the program by a
                                     school bus).
SUP 06.02.........................  Organizational policy prohibits:
                                     punishment by spanking or hitting
                                     or other physical means, to include
                                     corporal punishment; isolation from
                                     adult sight; confinement, binding,
                                     humiliation, or verbal abuse;
                                     deprivation of food and water,
                                     outdoor play or activities, or
                                     other program components;
                                     inappropriate touch; and punishment
                                     for lapses in toilet training or
                                     refusing food.
------------------------------------------------------------------------
DRL 07--Evacuation and Fire Drills (DRL)
------------------------------------------------------------------------
                                Standard
------------------------------------------------------------------------
DRL 07.01.........................  The program has a written plan for
                                     emergency evacuation (for example,
                                     a plan for evacuating building
                                     occupants in case of fire, tornado,
                                     earthquake, hurricane, or other
                                     disaster that could pose a health
                                     and safety hazard).
DRL 07.02.........................  Procedures are in place to ensure
                                     all children in attendance are
                                     accounted for during an evacuation
                                     drill or event.
DRL 07.03.........................  There is an automatic fire detection
                                     and alarm system in place, and it
                                     is operational.
DRL 07.04.........................  A fire extinguisher is accessible
                                     and in operating condition.
DRL 07.05.........................  Fire and emergency evacuation drill
                                     procedures are practiced at least
                                     monthly.
------------------------------------------------------------------------
HWD 08--Hand Washing and Diapering (HWD)
------------------------------------------------------------------------
                                Standard
------------------------------------------------------------------------
HWD 08.01.........................  Policies are in place to ensure
                                     staff and children wash their hands
                                     with soap and warm running water:
                                      Before eating or food preparation.
                                      After toileting or changing
                                    diapers.
                                      After handling animals, and after
                                    any other activity when the hands
                                    may become contaminated to include
                                    returning from outside.
HWD 08.02.........................  Toileting and diapering areas are
                                     not located in food preparation
                                     areas. The areas are in easily
                                     visible locations and are sanitary.
------------------------------------------------------------------------
MED 09--Medication and Health (MED)
------------------------------------------------------------------------
                                Standard
------------------------------------------------------------------------
                                    If the program does not administer
                                     medications, proceed to 09.02.
MED 09.01.a.......................  The program has a written policy and
                                     clear procedures on administering
                                     medicine, proper storage, and
                                     labeling.

[[Page 545]]

 
MED 09.01.b.......................  If medication (prescription and/or
                                     over-the-counter) is administered,
                                     written parental permission is kept
                                     on file and instructions from a
                                     physician are required (``N/A'' is
                                     allowed if no children currently
                                     receive medication).
MED 09.01.c.......................  Designated staff are trained to
                                     administer the medicine, and the
                                     training is updated annually.
MED 09.02.........................  First aid kits are readily available
                                     and maintained.
MED 09.03.a.......................  Programs provide healthy meals and
                                     snacks consistent the U.S. Dietary
                                     Guidelines and are encouraged to
                                     participate in the USDA CACFP.
MED 09.03.b.......................  Programs are encouraged to limit
                                     sugar-sweetened juices, beverages,
                                     and snacks, and high-fat and high-
                                     salt foods.
MED 09.04.........................  Bottle-feeding is done in such a way
                                     to minimize disease and promote
                                     interaction. For example, infants
                                     are held for bottle-feeding,
                                     bottles are never propped, never
                                     heated in a crock pot or microwave,
                                     and infants are never put to sleep
                                     with a bottle.
------------------------------------------------------------------------
EMG 10--Emergency Plan/Contact Information (EMG)
------------------------------------------------------------------------
                                Standard
------------------------------------------------------------------------
EMG 10.01.a.......................  There is a written plan for
                                     reporting and managing a lost or
                                     missing child.
EMG 10.01.b.......................  There is a written plan for
                                     reporting and managing injuries
                                     requiring medical or dental care,
                                     including hospitalization or
                                     serious injury.
EMG 10.01.c.......................  There is a written plan for
                                     reporting and managing abuse or
                                     neglect of a child.
EMG 10.01.d.......................  There is a written policy that
                                     requires all parents to provide
                                     emergency information to include:
                                      Multiple contact phone numbers
                                    (work, cellular, home).
                                      Emergency contact phone numbers
                                    (relatives or friends) authorized to
                                    pick up the child if parent cannot
                                    be reached.
                                      The child's physician, dentist,
                                    and emergency room preference.
------------------------------------------------------------------------
OUT 11--Outdoor Play Area (OUT)
------------------------------------------------------------------------
                                Standard
------------------------------------------------------------------------
OUT 11.01.........................  The playground and all equipment are
                                     maintained in safe, clean
                                     condition, in good repair, and
                                     there are no observable safety
                                     hazards and no entrapment areas.
OUT 11.02.........................  Playground equipment is surrounded
                                     by resilient surfaces (e.g., fine,
                                     loose sand, wood chips, wood mulch)
                                     of an acceptable depth (9 inches)
                                     or by rubber mats manufactured for
                                     such use.
OUT 11.03.........................  The playground equipment is arranged
                                     to ensure that a child is visible
                                     and supervision is maintained.
OUT 11.04.........................  There is a plan to check and inspect
                                     playgrounds on a weekly basis. Each
                                     staff member is responsible for
                                     immediately reporting hazards or
                                     unsafe areas to the director.
------------------------------------------------------------------------
HAZ 12--Hazardous Materials and General Safety (HAZ)
------------------------------------------------------------------------
                                Standard
------------------------------------------------------------------------
HAZ 12.01.........................  Accident protection and liability
                                     insurance coverage are maintained
                                     for children and adults.

[[Page 546]]

 
HAZ 12.02.........................  All chemicals and potentially
                                     dangerous products, such as
                                     medicine or cleaning supplies are
                                     stored in original, labeled
                                     containers in locked cabinets
                                     inaccessible to children.
HAZ 12.03.........................  Poisonous or potentially harmful
                                     plants on the premises are
                                     inaccessible to children.
HAZ 12.04.........................  Children are protected from
                                     accidental drowning by limiting
                                     access to all bodies of water.
HAZ 12.05.........................  Electrical outlets are covered in
                                     all areas accessible to children,
                                     including corridors.
HAZ 12.06.........................  Toys and art supplies are made of
                                     safe, non-toxic, durable, and
                                     cleanable materials.
HAZ 12.07.........................  There are no items that could cause
                                     choking or strangulation.
                                    Additional information is available
                                     at: http://www.cpsc.gov/.
HAZ 12.08.a.......................  Infants are placed on their backs
                                     for sleeping to lower the risk of
                                     SIDS.
HAZ 12.08.b.......................  Staff make sure that soft surfaces
                                     such as pillows, quilts, thick
                                     blankets, and soft bumpers are not
                                     used in the crib.
HAZ 12.09.........................  The building has been inspected for
                                     dangerous substances such as lead,
                                     radon, formaldehyde, asbestos,
                                     etc., in accordance with State
                                     requirements.
------------------------------------------------------------------------
PAR 13--Parent Involvement (PAR)
------------------------------------------------------------------------
                                Standard
------------------------------------------------------------------------
PAR 13.01.........................  Families are offered an orientation
                                     and information prior to enrolling
                                     to include: hours of operation,
                                     enrollment policies, program costs,
                                     inclusion of special needs
                                     children, and opportunities for
                                     parent involvement.
PAR 13.02.........................  The program policy clearly includes
                                     open door policy; family members
                                     are welcome visitors in the program
                                     at all times.
PAR 13.03.........................  The program provides opportunities
                                     for communication between parents
                                     and staff verbally or in writing on
                                     a daily basis.
------------------------------------------------------------------------
DEV 14--Developmentally Appropriate Environment and Materials (DEV)
------------------------------------------------------------------------
                                Standard
------------------------------------------------------------------------
DEV 14.01.........................  Classrooms are arranged to
                                     facilitate a variety of activities
                                     for each age group and provide
                                     areas where children can play and
                                     work independently or with friends.
DEV 14.02.........................  Classrooms are well lit, ventilated,
                                     and kept at a comfortable
                                     temperature.
DEV 14.03.a.......................  Staff offer a variety of
                                     developmentally appropriate
                                     activities and materials for
                                     children indoors and outdoors that
                                     are respective of children's race,
                                     gender, religion, family
                                     background, culture, age, and
                                     special needs and include:
                                      Language and literacy.
                                      Physical development.
                                      Health, safety, and nutrition.
                                      Creative expression.
                                      Cognitive development.
                                      Social and emotional development.
DEV 14.03.b.......................  Weekly classroom schedules include
                                     opportunities for alternating
                                     periods of quiet and active play,
                                     child-initiated and teacher-
                                     initiated activity, and individual,
                                     small group, and large group
                                     activities. Schedules are available
                                     for parents to review.
DEV 14.03.c.......................  Programs provide an opportunity for
                                     physical activity on a daily basis.

[[Page 547]]

 
DEV 14.03.d.......................  Screen time (e.g., non-active video
                                     games) and the use of passive media
                                     (e.g., television, audio tapes) are
                                     limited and developmentally
                                     appropriate.
------------------------------------------------------------------------



  PART 80_PROVISION OF EARLY INTERVENTION SERVICES TO ELIGIBLE INFANTS
  AND TODDLERS WITH DISABILITIES AND THEIR FAMILIES, AND SPECIAL
  EDUCATION CHILDREN WITH DISABILITIES WITHIN THE SECTION 6 SCHOOL
  ARRANGEMENTS--Table of Contents



Sec.
80.1 Purpose.
80.2 Applicability and scope.
80.3 Definitions.
80.4 Policy.
80.5 Responsibilities.
80.6 Procedures.

Appendix A to Part 80--Procedures for the Provision of Early 
          Intervention Services for Infants and Toddlers With 
          Disabilities, Ages 0-2 (Inclusive), and Their Families
Appendix B to Part 80--Procedures for Special Educational Programs 
          (Including Related Services) and for Preschool Children and 
          Children With Disabilities (3-21 Years Inclusive)
Appendix C to Part 80--Hearing Procedures

    Authority: 20 U.S.C. 1400 et seq.; 20 U.S.C. 241; 20 U.S.C. 241 
note.

    Source: 59 FR 37680, July 25, 1994, unless otherwise noted.



Sec. 80.1  Purpose.

    This part:
    (a) Establishes policies and procedures for the provision of early 
intervention services to infants and toddlers with disabilities (birth 
to age 2 inclusive) and their families, and special education and 
related services to children with disabilities (ages 3-21 inclusive) 
entitled to receive special educational instruction or early 
intervention services from the Department of Defense under Pub. L. 81-
874, sec. 6, as amended; Pub. L. 97-35, sec. 505(c); the Individuals 
with Disabilities Education Act, Pub. L. 94-142, as amended; Pub. L. 
102-119, sec. 23; and consistent with 32 CFR parts 285 and 310, and the 
Federal Rules of Civil Procedures (28 U.S.C.).
    (b) Establishes policy, assigns responsibilities, and prescribes 
procedures for:
    (1) Implementation of a comprehensive, multidisciplinary program of 
early intervention services for infants and toddlers ages birth through 
2 years (inclusive) with disabilities and their families.
    (2) Provision of a free, appropriate education including special 
education and related services for preschool children with disabilities 
and children with disabilities enrolled in the Department of Defense 
Section 6 School Arrangements.
    (c) Establishes a Domestic Advisory Panel (DAP) on Early 
Intervention and Education for Infants, Toddlers, Preschool Children and 
Children with Disabilities, and a DoD Coordinating Committee on Domestic 
Early Intervention, Special Education and Related Services.
    (d) Authorizes the publication of DoD Regulations and Manuals, 
consistent with DoD 5025.1-M, \1\ and DoD forms consistent with DoD 
5000.12-M \2\ and DoD Directive 8910.1 \3\ to implement this part.
---------------------------------------------------------------------------

    \1\ Copies may be obtained, at cost, from the National Technical 
Information Service, 5285 Port Royal Road, Springfield, VA 22161.
    \2\ See footnote 1 to Sec. 80.1(c).
    \3\ See footnote 1 to Sec. 80.1(c).
---------------------------------------------------------------------------



Sec. 80.2  Applicability and scope.

    This part:
    (a) Applies to the Office of the Secretary of Defense, the Military 
Departments, the Chairman of the Joint Chiefs of Staff and the Joint 
Staff, the Unified and Specified Commands, the Inspector General of the 
Department of Defense, the Defense Agencies, and the DoD Field Agencies 
(hereafter referred to collectively as ``the DoD Components'').

[[Page 548]]

    (b) Encompasses infants, toddlers, preschool children, and children 
receiving or entitled to receive early intervention services or special 
educational instruction from the DoD on installations with Section 6 
School Arrangements, and the parents of those individuals with 
disabilities.
    (c) Applies only to schools operated by the Department of Defense 
within the Continental United States, Alaska, Hawaii, Puerto Rico, Wake 
Island, Guam, American Samoa, the Northern Mariana Islands, and the 
Virgin Islands.



Sec. 80.3  Definitions.

    (a) Assistive technology device. Any item, piece of equipment, or 
product system, whether acquired commercially or off the shelf, 
modified, or customized, that is used to increase, maintain, or improve 
functional capabilities of individuals with disabilities.
    (b) Assistive technology service. Any service that directly assists 
an individual with a disability in the selection, acquisition, or use of 
an assistive technology device. This term includes:
    (1) Evaluating the needs of an individual with a disability, 
including a functional evaluation of the individual in the individual's 
customary environment.
    (2) Purchasing, leasing, or otherwise providing for the acquisition 
of assistive technology devices by individuals with disabilities.
    (3) Selecting designing, fitting, customizing, adapting, applying, 
maintaining, repairing, or replacing of assistive technology devices.
    (4) Coordinating and using other therapies, interventions, or 
services with assistive technology devices, such as those associated 
with existing educational and rehabilitative plans and programs.
    (5) Training or technical assistance for an individual with 
disabilities, or, where appropriate, the family of an individual with 
disabilities.
    (6) Training or technical assistance for professionals (including 
individuals providing educational rehabilitative services), employers, 
or other individuals who provide services to, employ, or are otherwise 
substantially involved in the major life functions of an individual with 
a disability.
    (c) Attention deficit disorder (ADD). As used to define students, 
encompasses attention-deficit hyperactivity disorder and attention 
deficit disorder without hyperactivity. The essential features of this 
disorder are developmentally inappropriate degrees of inattention, 
impulsiveness, and hyperactivity.
    (1) A diagnosis of ADD may be made only after the child is evaluated 
by appropriate medical personnel, and evaluation procedures set forth in 
this part (appendix B to this part) are followed.
    (2) A diagnosis of ADD, in and of itself, does not mean that a child 
requires special education; it is possible that a child diagnosed with 
ADD, as the only finding, can have his or her educational needs met 
within the regular education setting.
    (3) For a child with ADD to be eligible for special education, the 
Case Study Committee, with assistance from the medical personnel 
conducting the evaluation, must then make a determination that the ADD 
is a chronic or acute health problem that results in limited alertness, 
which adversely affects educational performance. Children with ADD who 
are eligible for special education and medically related services will 
qualify for services under ``Other Health Impaired'' as described in 
Criterion A, paragraph (h)(1) of this section.
    (d) Autism. A developmental disability significantly affecting 
verbal and non-verbal communication and social interaction generally 
evident before age 3 that adversely affects educational performance. 
Characteristics of autism include irregularities and impairments in 
communication, engagement in repetitive activities and stereotyped 
movements, resistance to environmental change or change in daily 
routines, and unusual responses to sensory experiences. The term does 
not include children with characteristics of the disability of serious 
emotional disturbance.
    (e) Case Study Committee (CSC). A school-based committee that 
determines a child's eligibility for special education, develops and 
reviews a

[[Page 549]]

child's individualized education program (IEP), and determines 
appropriate placement in the least restrictive environment. A CSC is 
uniquely composed for each child. Participants on a CSC must include:
    (1) The designated representative of the Section 6 School 
Arrangement, who is qualified to supervise the provision of special 
education. Such representative may not be the child's special education 
teacher.
    (2) One, or more, of the child's regular education teachers, if 
appropriate.
    (3) A special education teacher.
    (4) One, or both, of the child's parents.
    (5) The child, if appropriate.
    (6) A member of the evaluation team or another person knowledgeable 
about the evaluation procedures used with the child.
    (7) Other individuals, at the discretion of the parent or the 
Section 6 School Arrangement, who may have pertinent information.
    (f) Child-find. The ongoing process used by the Military Services 
and a Section 6 School Arrangement to seek and identify children (from 
birth to 21 years of age) who show indications that they might be in 
need of early intervention services or special education and related 
services. Child-find activities include the dissemination of information 
to the public and identification, screening, and referral procedures.
    (g) Children with disabilities ages 5-21 (inclusive). Those children 
ages 5-21 years (inclusive), evaluated in accordance with this part, who 
are in need of special education as determined by a CSC and who have not 
been graduated from a high school or who have not completed the 
requirements for a General Education Diploma. The terms ``child'' and 
``student'' may also be used to refer to this population. The student 
must be determined eligible under one of the following four categories:
    (1) Criterion A. The educational performance of the student is 
adversely affected, as determined by the CSC, by a physical impairment; 
visual impairment including blindness; hearing impairment including 
deafness; orthopedic impairment; or other health impairment, including 
ADD, when the condition is a chronic or acute health problem that 
results in limited alertness; autism; and traumatic brain injury 
requiring environmental and/or academic modifications.
    (2) Criterion B. A student who manifests a psychoemotional condition 
that is the primary cause of educational difficulties; a student who 
exhibits maladaptive behavior to a marked degree and over a long period 
of time that interferes with skill attainment, classroom functioning or 
performance, social-emotional condition, and who as a result requires 
special education. The term does not usually include a student whose 
difficulties are primarily the result of:
    (i) Intellectual deficit;
    (ii) Sensory or physical impairment;
    (iii) Attention deficit hyperactivity disorder;
    (iv) Antisocial behavior;
    (v) Parent-child or family problems;
    (vi) Disruptive behavior disorders;
    (vii) Adjustment disorders;
    (viii) Interpersonal or life circumstance problems; or
    (ix) Other problems that are not the result of a severe emotional 
disorder.
    (3) Criterion C. The educational performance of the student is 
adversely affected, as determined by the CSC, by a speech and/or 
language impairment.
    (4) Criterion D. The measured academic achievement of the student in 
math, reading, or language is determined by the CSC to be adversely 
affected by underlying disabilities (including mental retardation and 
specific learning disability) including either an intellectual deficit 
or an information processing deficit.
    (5) Criterion E. A child, 0-5 inclusive, whose functioning level as 
determined by the CSC, is developmentally delayed and would qualify for 
special education and related services as determined by this regulation.
    (h) Consent. This term means that:
    (1) The parent of an infant, toddler, child, or preschool child with 
a disability has been fully informed, in his or her native language, or 
in another mode of communication, of all information relevant to the 
activity for which permission is sought.

[[Page 550]]

    (2) The parent understands and agrees in writing to the 
implementation of the activity for which his or her permission is 
sought. The writing must describe that activity, list the child's 
records that will be released and to whom, and acknowledge that the 
parent understands consent is voluntary and may be prospectively revoked 
at any time.
    (3) The parent of an infant, toddler, preschool child or child must 
consent to the release of records. The request for permission must 
describe that activity, list each individual's records that will be 
released and to whom, and acknowledge that the parent understands that 
consent is voluntary and may be prospectively revoked at any time.
    (4) The written consent of a parent of an infant or toddler with a 
disability is necessary for implementation of early intervention 
services described in the individualized family service plan (IFSP). If 
such parent does not provide consent with respect to a particular early 
intervention service, then the early intervention services for which 
consent is obtained shall be provided.
    (i) Deaf. A hearing loss or deficit so severe that the child is 
impaired in processing linguistic information through hearing, with or 
without amplification, to the extent that his or her educational 
performance is adversely affected.
    (j) Deaf-blind. Concomitant hearing and visual impairments, the 
combination of which causes such severe communication and other 
developmental and educational problems that they cannot be accommodated 
in special education programs solely for children with deafness or 
children with blindness.
    (k) Developmental delay. A significant discrepancy in the actual 
functioning of an infant or toddler when compared with the functioning 
of a nondisabled infant or toddler of the same chronological age in any 
of the following areas of development: Physical development, cognitive 
development, communication development, social or emotional development, 
and adaptive development as measured using standardized evaluation 
instruments and confirmed by clinical observation and judgment. A 
significant discrepancy exists when the one area of development is 
delayed by 25 percent or 2 standard deviations or more below the mean or 
when two areas of development are each delayed by 20 percent or 1\1/2\ 
standard deviations or more below the mean. (Chronological age should be 
corrected for prematurity until 24 months of age.)
    (l) Early intervention service coordination services. Case 
management services that include integration and oversight of the 
scheduling and accomplishment of evaluation and delivery of early 
intervention services to an infant or toddler with a disability and his 
or her family.
    (m) Early intervention services. Developmental services that:
    (1) Are provided under the supervision of a military medical 
department.
    (2) Are provided using Military Health Service System and community 
resources.
    (i) Evaluation IFSP development and revision, and service 
coordination services are provided at no cost to the infant's or 
toddler's parents.
    (ii) Incidental fees (e.g., child care fees) that are normally 
charged to infants, toddlers, and children without disabilities or their 
parents may be charged.
    (3) Are designed to meet the developmental needs of an infant or 
toddler with a disability in any one or more of the following areas: 
Physical development, cognitive development, communication development, 
social or emotional development, or adaptive development.
    (4) Meet the standards developed by the Assistant Secretary of 
Defense for Health Affairs (ASD(HA)).
    (5) Include the following services: Family training, counseling, and 
home visits; special instruction; speech pathology and audiology; 
occupational therapy; physical therapy; psychological services; early 
intervention program coordination services; medical services only for 
diagnostic or evaluation purposes; early identification, screening, and 
assessment services; vision services; and social work services. Also 
included are assistive technology

[[Page 551]]

devices and assistive technology services; health services necessary to 
enable the infant or toddler to benefit from the above early 
intervention services; and transportation and related costs that are 
necessary to enable an infant or toddler and the infant's or toddler's 
family to receive early intervention services.
    (6) Are provided by qualified personnel, including: Special 
educators; speech and language pathologists and audiologists; 
occupational therapists; physical therapists; psychologists; social 
workers; nurses' nutritionists; family therapists; orientation and 
mobility specialists; and pediatricians and other physicians.
    (7) To the maximum extent appropriate, are provided in natural 
environments, including the home and community settings in which infants 
and toddlers without disabilities participate.
    (8) Are provided in conformity with an IFSP.
    (n) Evaluation. Procedures used to determine whether an individual 
(birth through 21 inclusive) has a disability under this part and the 
nature and extent of the early intervention services and special 
education and related services that the individual needs. These 
procedures must be used selectively with an individual and may not 
include basic tests administered to, or used with, all infants, 
toddlers, preschool children or children in a school, grade, class, 
program, or other grouping.
    (o) Family training, counseling, and home visits. Services provided, 
as appropriate, by social workers, psychologists, and other qualified 
personnel to assist the family of an infant or toddler eligible for 
early intervention services in understanding the special needs of the 
child and enhancing the infant or toddler's development.
    (p) Free appropriate public education. Special education and related 
services for children ages 3-21 years (inclusive) that:
    (1) Are provided at no cost (except as provided in paragraph (xx)(1) 
of this section, to parents or child with a disability and are under the 
general supervision and direction of a Section 6 School Arrangement.
    (2) Are provided at an appropriate preschool, elementary, or 
secondary school.
    (3) Are provided in conformity with an Individualized Education 
Program.
    (4) Meet the requirements of this part.
    (q) Frequency and intensity. The number of days or sessions that a 
service will be provided, the length of time that the service is 
provided during each session, whether the service is provided during 
each session, and whether the service is provided on an individual or 
group basis.
    (r) Health services. Services necessary to enable an infant or 
toddler, to benefit from the other early intervention services under 
this part during the time that the infant or toddler is receiving the 
other early intervention services. The term includes:
    (1) Such services as clean intermittent catheterization, 
tracheostomy care, tube feeding, the changing of dressings or osteotomy 
collection bags, and other health services.
    (2) Consultation by physicians with other service providers on the 
special health care needs of infants and toddlers with disabilities that 
will need to be addressed in the course of providing other early 
intervention services.
    (3) The term does not include the following:
    (i) Services that are surgical in nature or purely medical in 
nature.
    (ii) Devices necessary to control or treat a medical condition.
    (iii) Medical or health services that are routinely recommended for 
all infants or toddlers.
    (s) Hearing impairment. A hearing loss, whether permanent or 
fluctuating, that adversely affects an infant's, toddler's, preschool 
child's, or child's educational performance.
    (t) High probability for developmental delay. An infant or toddler 
with a medical condition that places him or her at substantial risk of 
evidencing a developmental delay before the age of 5 years without the 
benefit of early intervention services.
    (u) Include; such as. Not all the possible items are covered, 
whether like or unlike the ones named.
    (v) Independent evaluation. An evaluation conducted by a qualified 
examiner

[[Page 552]]

who is not employed by the DoD Section 6 Schools.
    (w) Individualized education program (IEP). A written statement for 
a preschool child or child with a disability (ages 3-21 years inclusive) 
developed and implemented in accordance with this part (appendix B to 
this part).
    (x) Individualized family service plan (IFSP). A written statement 
for an infant or toddler with a disability and his or her family that is 
based on a multidisciplinary assessment of the unique needs of the 
infant or toddler and concerns and the priorities of the family, and an 
identification of the services appropriate to meet such needs, concerns, 
and priorities.
    (y) Individuals with disabilities. Infants and toddlers with 
disabilities, preschool children with disabilities, and children with 
disabilities, collectively, ages birth to 21 years (inclusive) who are 
either entitled to enroll in a Section 6 School Arrangement or would, 
but for their age, be so entitled.
    (z) Infants and toddlers with disabilities. Individuals from birth 
to age 2 years (inclusive), who need early intervention services because 
they:
    (1) Are experiencing a developmental delay, as measured by 
appropriate diagnostic instruments and procedures, of 25 percent (or 2 
standard deviations below the mean), in one or more areas, or 20 percent 
(or 1\1/2\ standard deviations below the mean), in two or more of the 
following areas of development: Cognitive, physical, communication, 
social or emotional, or adaptive development.
    (2) Are at-risk for a developmental delay; i.e., have a diagnosed 
physical or mental condition that has a high probability of resulting in 
developmental delay; e.g., chromosomal disorders and genetic syndromes.
    (aa) Intercomponent. Cooperation among the DoD Components and 
programs so that coordination and integration of services to individuals 
with disabilities and their families occur.
    (bb) Medically related services. (1) Medical services (as defined in 
paragraph (cc) of this section) and those services provided under 
professional medical supervision that are required by a CSC either to 
determine a student's eligibility for special education or, if the 
student is eligible, the special education and related services required 
by the student under this part in accordance with 32 CFR part 345.
    (2) Provision of either direct or indirect services listed on an IEP 
as necessary for the student to benefit from the educational curriculum. 
These services may include: Medical; social work; community health 
nursing; dietary; psychiatric diagnosis; evaluation, and follow up; 
occupational therapy; physical therapy; audiology; ophthalmology; and 
psychological testing and therapy.
    (cc) Medical services. Those evaluative, diagnostic, and supervisory 
services provided by a licensed and credentialed physician to assist 
CSCs and to implement IEPs. Medical services include diagnosis, 
evaluation, and medical supervision of related services that by statute, 
regulation, or professional tradition are the responsibility of a 
licensed and credentialed physician.
    (dd) Mental retardation. Significantly subaverage general 
intellectual functioning, existing concurrently with deficits in 
adaptive behavior and manifested during the developmental period, that 
adversely affects a preschool child's or child's educational 
performance.
    (ee) Multidisciplinary. The involvement of two or more disciplines 
or professions in the provision of integrated and coordinated services, 
including evaluation and assessment activities, and development of an 
IFSP or IEP.
    (ff) Native language. When used with reference to an individual of 
limited English proficiency, the language normally used by such 
individuals, or in the case of an infant, toddler, preschool child or 
child, the language normally used by the parent of the infant, toddler, 
preschool child or child.
    (gg) Natural environments. Settings that are natural or normal for 
the infant or toddler's same age peers who have no disability.
    (hh) Non-section 6 school arrangement or facility. A public or 
private school or other institution not operated in accordance with 32 
CFR part 345. This term includes Section 6 special contractual 
arrangements.

[[Page 553]]

    (ii) Nutrition services. These services include:
    (1) Conducting individual assessments in nutritional history and 
dietary intake; anthropometric, biochemical and clinical variables; 
feeding skills and feeding problems; and food habits and food 
preferences.
    (2) Developing and monitoring appropriate plans to address the 
nutritional needs of infants and toddlers eligible for early 
intervention services.
    (3) Making referrals to appropriate community resources to carry out 
nutrition goals.
    (jj) Orthopedic impairment. A severe physical impairment that 
adversely affects a child's educational performance. The term includes 
congenital impairments (such as club foot and absence of some member), 
impairments caused by disease (such as poliomyelitis and bone 
tuberculosis), and impairments from other causes such as cerebral palsy, 
amputations, and fractures or burns causing contracture.
    (kk) Other health impairment. Having an autistic condition that is 
manifested by severe communication and other developmental and 
educational problems; or having limited strength, vitality, or alertness 
due to chronic or acute health problems that adversely affect a child's 
educational performance as determined by the CSC, such as: ADD, heart 
condition, tuberculosis, rheumatic fever, nephritis, asthma, sickle cell 
anemia, hemophilia, epilepsy, lead poisoning, leukemia, and diabetes.
    (ll) Parent. The biological father or mother of a child; a person 
who, by order of a court of competent jurisdiction, has been declared 
the father or mother of a child by adoption; the legal guardian of a 
child; or a person in whose household a child resides, provided that 
such person stands in loco parentis to that child and contributes at 
least one-half of the child's support.
    (mm) Personally identifiable information. Information that includes 
the name of the infant, toddler, preschool child, child, parent or other 
family member; the home address of the infant, toddler, preschool child, 
child, parent or other family member; another personal identifier, such 
as the infant's, toddler's, preschool child's, child's, parent's or 
other family member's social security number; or a list of personal 
characteristics or other information that would make it possible to 
identify the infant, toddler, preschool child, child, parent, or other 
family member with reasonable certainty.
    (nn) Preschool children with disabilities. These are students, ages 
3-5 years (inclusive), who need special education services because they:
    (1) Are experiencing developmental delays, as measured by 
appropriate diagnostic instruments and procedures in one or more of the 
following areas: Cognitive development, physical development, 
communication development, social or emotional development, and adaptive 
development; and
    (2) Who, by reason thereof, need special education and related 
services.
    (oo) Primary referral source. The DoD Components, including child 
care centers, pediatric clinics, and parents that suspect an infant, 
toddler, preschool child or child has a disability and bring that 
infant, toddler, preschool child or child to the attention of the Early 
Intervention Program or school CSC.
    (pp) Public awareness program. Activities focusing on early 
identification of infants and toddlers with disabilities, including the 
preparation and dissemination by the military medical department to all 
primary referral sources of information materials for parents on the 
availability of early intervention services. Also includes procedures 
for determining the extent to which primary referral sources within the 
Department of Defense, especially within DoD medical treatment 
facilities, and physicians disseminate information on the availability 
of early intervention services to parents of infants or toddlers with 
disabilities.
    (qq) Qualified. With respect to instructional personnel, a person 
who holds at a minimum a current and applicable teaching certificate 
from any of the 50 States, Puerto Rico, or the District of Columbia, or 
has met other pertinent requirements in the areas in which he or she is 
providing special education or related services not of a medical nature 
to children with disabilities. Providers of early intervention services 
and medically related

[[Page 554]]

services must meet standards established by the ASD(HA).
    (rr) Related services. This includes transportation, and such 
developmental, corrective, and other supportive services (including 
speech pathology and audiology; psychological services; physical and 
occupational therapy; recreation, including therapeutic recreation and 
social work services; and medical and counseling services), including 
rehabilitation counseling (except that such medical services shall be 
for diagnostic and evaluative purposes only) as may be required to 
assist a child with a disability to benefit from special education, and 
includes the early identification and assessment of disabling conditions 
in preschool children or children. The following list of related 
services is not exhaustive and may include other developmental, 
corrective, or supportive services (such as clean intermittent 
catheterization), if they are required to assist a child with a 
disability to benefit from special education, as determined by a CSC.
    (1) Audiology. This term includes:
    (i) Audiological, diagnostic, and prescriptive services provided by 
audiologists who have a Certificate of Clinical Competence--Audiology 
(CCC-A) and pediatric experience. Audiology shall not include speech 
therapy.
    (ii) Identification of children with hearing loss.
    (iii) Determination of the range, nature, and degree of hearing 
loss, including referral for medical or other professional attention 
designed to ameliorate or correct that loss.
    (iv) Provision of ameliorative and corrective activities, including 
language and auditory training, speech-reading (lip-reading), hearing 
evaluation, speech conservation, the recommendation of amplification 
devices, and other aural rehabilitation services.
    (v) Counseling and guidance of children, parents, and service 
providers regarding hearing loss.
    (vi) Determination of the child's need for group and individual 
amplification, selecting and fitting an appropriate aid, and evaluating 
the effectiveness of amplification.
    (2) Counseling services. Services provided by qualified social 
workers, psychologists, guidance counselors, or other qualified 
personnel to help a preschool child or child with a disability to 
benefit from special education.
    (3) Early identification. The implementation of a formal plan for 
identifying a disability as early as possible in the individual's life.
    (4) Medical services. Those evaluative, diagnostic, and supervisory 
services provided by a licensed and credentialed physician to assist 
CSCs in determining whether a child has a medically related disability 
condition that results in the child's need for special education and 
related services and to implement IEPs. Medical services include 
diagnosis, evaluation, and medical supervision of related services that, 
by statute, regulation, or professional tradition, are the 
responsibility of a licensed and credentialed physician.
    (5) Occupational therapy. Therapy that provides developmental 
evaluations and treatment programs using selected tasks to restore, 
reinforce, or enhance functional performance. It addresses the quality 
and level of functions in areas such as behavior, motor coordination, 
spatial orientation; visual motor and sensory integration; and general 
activities of daily living. This therapy, which is conducted or 
supervised by a qualified occupational therapist, provides training and 
guidance in using special equipment to improve the patient's functioning 
in skills of daily living, work, and study.
    (6) Parent counseling and training. Assisting parents in 
understanding the special needs of their preschool child or child and 
providing parents with information about child development and special 
education.
    (7) Physical therapy. Therapy that provides evaluations and 
treatment programs using exercise, modalities, and adaptive equipment to 
restore, reinforce, or enhance motor performance. It focuses on the 
quality of movement, reflex development, range of motion, muscle 
strength, gait, and gross motor development, seeking to decrease 
abnormal movement and posture while facilitating normal movement and 
equilibrium reactions. The therapy,

[[Page 555]]

which is conducted by a qualified physical therapist, provides for 
measurement and training in the use of adaptive equipment and prosthetic 
and orthotic appliances. Therapy may be conducted by a qualified 
physical therapist assistant under the clinical supervision of a 
qualified physical therapist.
    (8) Psychological services. Services listed in paragraphs (rr) (8) 
(i) through (rr) (8) (iv) of this section that are provided by a 
qualified psychologist:
    (i) Administering psychological and educational tests and other 
assessment procedures.
    (ii) Interpreting test and assessment results.
    (iii) Obtaining, integrating, and interpreting information about a 
preschool child's or child's behavior and conditions relating to his or 
her learning.
    (iv) Consulting with other staff members in planning school programs 
to meet the special needs of preschool children and children, as 
indicated by psychological tests, interviews, and behavioral 
evaluations.
    (v) Planning and managing a program of psychological services, 
including psychological counseling for preschool children, children, and 
parents. For the purpose of these activities, a qualified psychologist 
is a psychologist licensed in a State of the United States who has a 
degree in clinical or school psychology and additional pediatric 
training and/or experience.
    (9) Recreation. This term includes:
    (i) Assessment of leisure activities.
    (ii) Therapeutic recreational activities.
    (iii) Recreational programs in schools and community agencies.
    (iv) Leisure education.
    (10) School health services. Services provided, pursuant to an IEP, 
by a qualified school health nurse, or other qualified person, that are 
required for a preschool child or child with a disability to benefit 
from special education.
    (11) Social work counseling services in schools. This term includes:
    (i) Preparing a social and developmental history on a preschool 
child or child identified as having a disability.
    (ii) Counseling the preschool child or child with a disability and 
his or her family on a group or individual basis, pursuant to an IEP.
    (iii) Working with problems in a preschool child's or child's living 
situation (home, school, and community) that adversely affect his or her 
adjustment in school.
    (iv) Using school and community resources to enable the preschool 
child or child to receive maximum benefit from his or her educational 
program.
    (12) Speech pathology. This term includes the:
    (i) Identification of preschool children and children with speech or 
language disorders.
    (ii) Diagnosis and appraisal of specific speech or language 
disorders.
    (iii) Referral for medical or other professional attention to 
correct or ameliorate speech or language disorders.
    (iv) Provision of speech and language services for the correction, 
amelioration, and prevention of communicative disorders.
    (v) Counseling and guidance of preschool children, children, 
parents, and teachers regarding speech and language disorders.
    (13) Transportation. This term includes transporting the individual 
with a disability and, when necessary, an attendant or family member or 
reimbursing the cost of travel ((e.g., mileage, or travel by taxi, 
common carrier or other means) and related costs (e.g., tolls and 
parking expenses)) when such travel is necessary to enable a preschool 
child or child to receive special education (including related services) 
or an infant or toddler and the infant's or toddler's family to receive 
early intervention services. Transportation services include:
    (i) Travel to and from school and between schools, including travel 
necessary to permit participation in educational and recreational 
activities and related services.
    (ii) Travel from school to a medically related service site and 
return.
    (iii) Travel in and around school buildings.
    (iv) Travel to and from early intervention services.

[[Page 556]]

    (v) Specialized equipment (including special or adapted buses, 
lifts, and ramps) if required to provide special transportation for an 
individual with a disability.
    (vi) If necessary, attendants assigned to vehicles transporting an 
individual with a disability when that individual requires assistance to 
be safely transported.
    (ss) Section 6 School Arrangement. The schools (pre-kindergarten 
through grade 12) operated by the Department of Defense within the 
CONUS, Alaska, Hawaii, Puerto Rico, Wake Island, Guam, American Samoa, 
the Northern Mariana Islands, and the Virgin Islands. Section 6 School 
Arrangements are operated under DoD Directive 1342.21. \4\
---------------------------------------------------------------------------

    \4\ See footnote 1 to Sec. 80.1(c).
---------------------------------------------------------------------------

    (tt) Separate facility. A school or a portion of a school, 
regardless of whether it is used by the Section 6 School Arrangement, 
that is only attended by children with disabilities.
    (uu) Serious emotional disturbance. The term includes:
    (1) A condition that has been confirmed by clinical evaluation and 
diagnosis and that, over a long period of time and to a marked degree, 
adversely affects educational performance and that exhibits one or more 
of the following characteristics:
    (i) An inability to learn that cannot be explained by intellectual, 
sensory, or health factors.
    (ii) An inability to build or maintain satisfactory interpersonal 
relationships with peers and teachers.
    (iii) Inappropriate types of behavior under normal circumstances.
    (iv) A tendency to develop physical symptoms or fears associated 
with personal or school problems.
    (v) A general, pervasive mood of unhappiness or depression.
    (2) Schizophrenia, but does not include children who are socially 
maladjusted, unless it is determined that they are otherwise seriously 
emotionally disturbed.
    (vv) Service provider. Any individual who provides services listed 
in an IEP or an IFSP.
    (ww) Social work services. This term includes:
    (1) Preparing a social or developmental history on an infant, 
toddler, preschool child or child with a disability.
    (2) Counseling with the infant, toddler, preschool child or child 
and family in a group or individual capacity.
    (3) Working with individuals with disabilities (0-21 inclusive) in 
the home school, and/or community environment to ameliorate those 
conditions that adversely affect development or educational performance.
    (4) Using school and community resources to enable the child to 
receive maximum benefit from his or her educational program or for the 
infant, toddler, and family to receive maximum benefit from early 
intervention services.
    (xx) Special education. Specially designed instruction, at no cost 
to the parent, to meet the unique needs of a preschool child or child 
with a disability, including instruction conducted in the classroom, in 
the home, in hospitals and institutions, and in other settings, and 
instruction in physical education. The term includes speech pathology or 
any other related service, if the service consists of specially designed 
instruction, at no cost to the parents, to meet the unique needs of a 
preschool child or child with a disability, and is considered ``special 
education'' rather than a ``related service.'' The term also includes 
vocational education if it consists of specially designed instruction, 
at no cost to the parents, to meet the unique needs of a child with a 
disability.
    (1) At no cost. With regard to a preschool child or child eligible 
to attend Section 6 School Arrangements, specially designed instruction 
and related services are provided without charge, but incidental fees 
that are normally charged to nondisabled students, or their parents, as 
a part of the regular educational program may be imposed.
    (2) Physical education. The development of:
    (i) Physical and motor fitness.
    (ii) Fundamental motor skills and patterns.
    (iii) Skills in aquatics, dance, and individual and group games and 
sports (including intramural and lifetime sports).

[[Page 557]]

    (iv) A program that includes special physical education, adapted 
physical education, movement education, and motor development.
    (3) Vocational education. This term means organized educational 
programs that are directly related to the preparation of individuals for 
paid or unpaid employment, or for additional preparation for a career 
requiring other than a baccalaureate or advanced degree.
    (yy) Special instruction. This term includes:
    (1) Designing learning environments and activities that promote the 
infant's, toddler's, preschool child's or child's acquisition of skills 
in a variety of developmental areas, including cognitive processes and 
social interaction.
    (2) Planning curriculum, including the planned interaction of 
personnel, materials, and time and space, that leads to achieving the 
outcomes in the infant's, toddler's, preschool child's or child's IEP or 
IFSP.
    (3) Providing families with information, skills, and support related 
to enhancing the skill development of the infant, toddler, or preschool 
child or child.
    (4) Working with the infant, toddler, preschool child, or child to 
enhance the infant's, toddler's, preschool child's or child's 
development and cognitive processes.
    (zz) Specific learning disability. A disorder in one or more of the 
basic psychological processes involved in understanding or in using 
spoken or written language that may manifest itself as an imperfect 
ability to listen, think, speak, read, write, spell, or do mathematical 
calculations. The term includes such conditions as perceptual 
disabilities, brain injury, minimal brain dysfunction, dyslexia, and 
developmental aphasia. The term does not include preschool children or 
children who have learning problems that are primarily the result of 
visual, hearing, or motor disabilities, mental retardation, emotional 
disturbance, or environmental, cultural, or economic differences.
    (aaa) Speech and language impairments. A communication disorder, 
such as stuttering, impaired articulation, voice impairment, or a 
disorder in the receptive or expressive areas of language that adversely 
affects a preschool child's or child's educational performance.
    (bbb) Superintendent. The chief official of a Section 6 School 
Arrangement responsible for the implementation of this part on his or 
her installation.
    (ccc) Transition services. A coordinated set of activities for a 
toddler that may be required to promote movement from early 
intervention, preschool, and other educational programs into different 
programs or educational settings. For a student 14 years of age and 
older, transition services are designed within an outcome-oriented 
process, which promotes movement from school to post-school activities, 
including post-secondary education, vocational training, integrated 
employment (including supported employment), continuing and adult 
education, adult services, independent living, or community 
participation. The coordinated set of activities shall be based upon the 
individual student's needs, taking into account the student's 
preferences and interests, and shall include instruction, community 
experiences, the development of employment and other post-school adult 
living objectives, and when appropriate, acquisition of daily living 
skills and functional vocational evaluation.
    (ddd) Traumatic brain injury. An injury to the brain caused by an 
external physical force or by an internal occurrence, such as stroke or 
aneurysm, resulting in total or partial functional disability or 
psychosocial maladjustment that adversely affects educational 
performance. The term includes open or closed head injuries resulting in 
mild, moderate, or severe impairments in one or more areas, including 
cognition; language, memory; attention; reasoning; abstract thinking; 
judgment; problem solving; sensory; perceptual and motor abilities; 
psychosocial behavior; physical function; and information processing and 
speech. The term does not include brain injuries that are congenital or 
degenerative or brain injuries that are induced by birth trauma.
    (eee) Vision services. Services necessary to ameliorate the effects 
of sensory impairment resulting from a loss of vision.

[[Page 558]]

    (fff) Visual impairment. A sensory impairment including blindness 
that, even with correction, adversely affects a preschool child's or 
child's educational performance. The term includes both partially seeing 
and blind preschool children and children.



Sec. 80.4  Policy.

    It is DoD policy that:
    (a) All individuals with disabilities ages 3 to 21 years receiving 
or entitled to receive educational instruction from the Section 6 School 
Arrangements shall be provided a free, appropriate education under this 
part in accordance with the IDEA as amended, 20 U.S.C. Chapter 33; Pub. 
L. 102-119, Section 23; and DoD Directive 1342.21.
    (b) All individuals with disabilities ages birth through 2 years 
(inclusive) and their families are entitled to receive early 
intervention services under this part, provided that such infants and 
toddlers would be eligible to enroll in a Section 6 School Arrangement 
but for their age.



Sec. 80.5  Responsibilities.

    (a) The Under Secretary of Defense for Personnel and Readiness 
(USD(P&R)) shall:
    (1) Ensure that all infants and toddlers with disabilities (birth 
through 2 years inclusive) who but for their age would be eligible to 
attend the Section 6 Arrangement Schools, and their families are 
provided early intervention services in accordance with IDEA as amended, 
(20 U.S.C., Chapter 33, Subchapter VIII.) and in conformity with the 
procedures in appendix A to this part.
    (2) Ensure that preschool children and children with disabilities 
ages 3-21 years (inclusive) receiving educational instruction from 
Section 6 School Arrangements are provided a free appropriate public 
education and that the educational needs of such preschool children and 
children with disabilities are met using the procedures established by 
this part.
    (3) Ensure that educational facilities and services provided by 
Section 6 School Arrangements for preschool children and children with 
disabilities are comparable to educational facilities and services for 
non-disabled students.
    (4) Maintain records on special education and related services 
provided to children with disabilities, consistent with 32 CFR part 310.
    (5) Ensure the provision of all necessary diagnostic services and 
special education and related services listed on an IEP (including those 
supplied by or under the supervision of physicians) to preschool 
children and children with disabilities who are enrolled in Section 6 
School Arrangements. In fulfilling this responsibility, (USD(P&R)), or 
designee, may use intercomponent arrangements, or act through contracts 
with private parties, when funds are authorized and appropriated.
    (6) Develop and implement a comprehensive system of personnel 
development, in accordance with 20 U.S.C. 1413-(a)(3), for all 
professional staff employed by a Section 6 School Arrangement. This 
system shall include:
    (i) Inservice training of general and special educational 
instructional and support personnel,
    (ii) Implementing innovative strategies and activities for the 
recruitment and retention of medically related service providers,
    (iii) Detailed procedures to assure that all personnel necessary to 
carry out the purposes of this part are appropriately and adequately 
prepared and trained, and
    (iv) Effective procedures for acquiring and disseminating to 
teachers and administrators of programs for children with disabilities 
significant information derived from educational research, 
demonstration, and similar projects, and
    (v) Adopting, where appropriate, promising practices, materials, and 
technology.
    (7) Provide technical assistance to professionals in Section 6 
School Arrangements involved in, or responsible for, the education of 
preschool children or children with disabilities.
    (8) Ensure that child-find activities are coordinated with other 
relevant components and are conducted to locate and identify every 
individual with disabilities.
    (9) Issue guidance implementing this part.

[[Page 559]]

    (10) Undertake evaluation activities to ensure compliance with this 
part through monitoring, technical assistance, and program evaluation.
    (11) Chair the DoD Coordinating Committee on Domestic Early 
Intervention, Special Education, and Related Services, which shall be 
composed of representatives of the Secretaries of the Military 
Departments, the Assistant Secretary of Defense for Health Affairs 
(ASD(HA)), the General Counsel of the Department of Defense (GC, DoD), 
and the Director, Section 6 Schools.
    (12) Through the DoD Coordinating Committee on Demestic Early 
Intervention, Special Education, and Related Services, monitor the 
provision of special education and related services and early 
intervention services furnished under this part, and ensure that related 
services, special education, and early intervention services are 
properly coordinated.
    (13) Ensure that appropriate personnel are trained to provide 
mediation services in cases that otherwise might result in due process 
proceedings under this part.
    (14) Ensure that transition services from early intervention 
services to regular or special education and from special education to 
the world of work are provided.
    (15) Ensure that all DoD programs that provide services to infants 
and toddlers and their families (e.g., child care, medical care, 
recreation) are involved in a comprehensive intercomponent system for 
early intervention services.
    (16) Ensure, whenever practicable, that planned construction not yet 
past the 35 percent design phase and new design begun after the date of 
this part of renovation of school or child care facilities includes 
consideration of the space required for the provision of medically 
related services and early intervention services.
    (17) Shall establish the Domestic Advisory Panel that shall:
    (i) Consist of members appointed by the USD (P&R) or Principal 
Deputy USD (P&R). Membership shall include at least one representative 
from each of the following groups:
    (A) Individuals with disabilities.
    (B) Parents, including minority parents of individuals with 
disabilities from various age groups.
    (C) Section 6 School Arrangements special education teachers.
    (D) Section 6 School Arrangements regular education teachers.
    (E) Section 6 School Arrangements Superintendent office personnel.
    (F) The Office of Director, Section 6 Schools.
    (G) The Surgeons General of the Military Departments.
    (H) The Family Support Programs of the Military Departments.
    (I) Section 6 School Arrangements School Boards.
    (J) Early Intervention service providers on installations with 
Section 6 School Arrangements.
    (K) Other appropriate personnel.
    (ii) Meet as often as necessary.
    (iii) Perform the following duties:
    (A) Review information and provide advice to ASD (P&R) regarding 
improvements in services provided to individuals with disabilities in 
Section 6 Schools and early intervention programs.
    (B) Receive and consider the views of various parent, student, and 
professional groups, and individuals with disabilities.
    (C) When necessary, establish committees for short-term purposes 
composed of representatives from parent, student, family and other 
professional groups, and individuals with disabilities.
    (D) Review the findings of fact and decision of each impartial due 
process hearing conducted pursuant to this part.
    (E) Assist in developing and reporting such information and 
evaluations as may aid Section 6 Schools and the Military Departments in 
the performance of duties under the part.
    (F) Make recommendations, based on program and operational 
information, for changes in the budget, organization, and general 
management of the special education program, and in policy and 
procedure.
    (G) Comment publicly on rules or standards regarding the education 
of individuals with disabilities.
    (H) Assist in developing recommendations regarding the transition

[[Page 560]]

of toddlers with disabilities to preschool services.
    (b) The Assistant Secretary of Defense for Health Affairs in 
consultation with the USD(P&R), the GC, DoD, and the Secretaries of the 
Military Departments, shall:
    (1) Establish staffing and personnel standards for personnel who 
provide early intervention services and medically related services.
    (2) Develop and implement a comprehensive system of personnel 
development in accordance with 20 U.S.C. 1413(a)(3), including the 
training of professionals, paraprofessionals and primary referral 
sources, regarding the basic components of early intervention services 
and medically related services. Such a system may include:
    (i) Implementing innovative strategies and activities for the 
recruitment and retention of early intervention service providers.
    (ii) Ensuring that early intervention service providers and 
medically related service providers are fully and appropriately 
qualified to provide early intervention services and medically related 
services, respectively.
    (iii) Training personnel to work in the military environment.
    (iv) Training personnel to coordinate transition services for 
infants and toddlers with disabilities from an early intervention 
program to a preschool program.
    (3) Develop and implement a system for compiling data on the numbers 
of infants and toddlers with disabilities and their families in need of 
appropriate early intervention services, the numbers of such infants and 
toddlers and their families served, the types of services, and other 
information required to evaluate the implementation of early 
intervention programs.
    (4) Resolve disputes among the DoD Components arising under appendix 
A of this part.
    (c) Secretaries of the Military Departments shall:
    (1) Provide quality assurance for medically related services in 
accordance with personnel standards and staffing standards under DoD 
Directive 6025.13 \5\ developed by the Assistant Secretary of Defense 
for Health Affairs (ASD(HA)).
---------------------------------------------------------------------------

    \5\ See footnote 1 to Sec. 80.1(c).
---------------------------------------------------------------------------

    (2) Plan, develop, and implement a comprehensive, coordinated, 
intercomponent, community-based system of early intervention services 
for infants and toddlers with disabilities (birth through 2 inclusive) 
and their families who are living on an installation with a Section 6 
School Arrangement, or who but for their age, would be entitled to 
enroll in a Section 6 School Arrangement, using the procedures 
established by this part and guidelines from the ASD(HA) on staffing and 
personnel standards.
    (3) Undertake activities to ensure compliance with this part through 
technical assistance, program evaluation, and monitoring.
    (d) The Director, Defense Office of Hearings and Appeals (DOHA) 
shall ensure the provision of impartial due process hearings under 
appendix C of this part.



Sec. 80.6  Procedures.

    (a) Procedures for the provision of early intervention services for 
infants and toddlers with disabilities and their families are in 
appendix A to this part. Provision of early intervention services 
includes establishing a system of coordinated, comprehensive, 
multidisciplinary, intercomponent services providing appropriate early 
intervention services to all eligible infants and toddlers with 
disabilities and their families.
    (b) Procedures for special educational programs (including related 
services) for preschool children and children with disabilities (3-21 
years inclusive) are in appendix B to this part.
    (c) Procedures for adjudicative requirements required by Pub. L. 
101-476, as amended, and Pub. L. 102-119 are in appendix C to this part. 
These procedures establish adjudicative requirements whereby the parents 
of an infant, toddler, preschool child or child with a disability and 
the military department concerned or Section 6 School System are 
afforded an impartial due process hearing on early intervention services 
or on the identification, evaluation, and educational placement of, and 
the free appropriate

[[Page 561]]

public education provided to, such infant, toddler, preschool child or 
child, as the case may be.



   Sec. Appendix A to Part 80--Procedures for the Provision of Early 
 Intervention Services for Infants and Toddlers With Disabilities, Ages 
                0-2 years (Inclusive), and Their Families

       A. Requirements For A System of Early Intervention Services

    1. A system of coordinated, comprehensive, multidisciplinary, and 
intercomponent programs providing appropriate early intervention 
services to all infants and toddlers with disabilities and their 
families shall include the following minimum components:
    a. A timely, comprehensive, multidisciplinary evaluation of the 
functioning of each infant and toddler with a disability and the 
priorities and concerns of the infant's or toddler's family to assist in 
the development of the infant or toddler with a disability.
    b. A mechanism to develop, for each infant and toddler with a 
disability, an IFSP and early intervention services coordination, in 
accordance with such service plan.
    c. A comprehensive child-find system, coordinated with the 
appropriate Section 6 School Arrangement, including a system for making 
referrals to service providers that includes timelines and provides for 
participation by primary referral sources, such as the CDC and the 
pediatric clinic.
    d. A public awareness program including information on early 
identification of infants and toddlers with disabilities and the 
availability of resources in the community to address and remediate 
these disabilities.
    e. A central directory that includes a description of the early 
intervention services and other relevant resources available in the 
community.

B. Each Military Medical Department Shall Develop and Implement a System 
                             To Provide for:

    1. The administration and supervision of early intervention programs 
and services, including the identification and coordination of all 
available resources.
    2. The development of procedures to ensure that services are 
provided to infants and toddlers with disabilities and their families in 
a timely manner.
    3. The execution of agreements with other DoD components necessary 
for the implementation of this appendix. Such agreements must be 
coordinated with the ASD(HA) and the GC, DoD, in consultation with the 
USD(P&R).
    4. The collection and reporting of data required by ASD(HA).
    5. A multidisciplinary assessment of the unique strengths and needs 
of the infant or toddler and the identification of services appropriate 
to meet such needs.
    6. A family-directed assessment of the resources, priorities, and 
concerns of the family and the identification of the supports and 
services necessary to enhance the family's capacity to meet the 
developmental needs of its infant or toddler with a disability.

   C. Each Military Medical Department Shall Develop and Implement a 
 Program To Ensure That an IFSP Is Developed for Each Infant or Toddler 
With a Disability and the Infant's or Toddler's Family According to the 
                          Following Procedures:

    1. The IFSP shall be evaluated once a year and the family shall be 
provided a review of the plan at 6-month intervals (or more often where 
appropriate), based on the needs of the infant or toddler and family.
    2. Each initial meeting and each annual meeting to evaluate the IFSP 
must include the following participants:
    a. The parent or parents of the infant or toddler.
    b. Other family members, as requested by a parent, if feasible to do 
so.
    c. An advocate, if his or her participation is requested by a 
parent.
    d. The Early Intervention Program Services Coordinator who has been 
working with the family since the initial referral of the infant or 
toddler or who has been designated as responsible for the implementation 
of the IFSP.
    e. A person or persons directly involved in conducting the 
evaluation and assessments.
    f. Persons who will be providing services to the infant, toddler, or 
family, as appropriate.
    g. If a person or persons listed in paragraph C.2 of this section is 
unable to attend a meeting, arrangements must be made for involvement 
through other means, including:
    (1) Participating in a telephone call.
    (2) Having a knowledgeable authorized representative attend the 
meeting.
    (3) Making pertinent records available at the meeting.
    3. The IFSP shall be developed within a reasonable time after the 
assessment. With the parent's consent, early intervention services may 
start before the completion of such an assessment under an IFSP.
    4. The IFSP shall be in writing and contain:
    a. A statement of the infant's or toddler's present levels of 
physical development, cognitive development, communication development, 
social or emotional development, and adaptive development, based on 
acceptable objective criteria.
    b. A statement of the family's resources, priorities, and concerns 
for enhancing the development of the family's infant or toddler with a 
disability.

[[Page 562]]

    c. A statement of the major outcomes expected to be achieved for the 
infant or toddler and the family, and the criteria, procedures, and 
timelines used to determine the degree to which progress toward 
achieving the outcomes is being made and whether modifications or 
revisions of the outcomes or services are necessary.
    d. A statement of the specific early intervention services necessary 
to meet the unique needs of the infant or toddler and the family, 
including the frequency, intensity, and the method of delivering 
services.
    e. A statement of the natural environments in which early 
intervention services shall be provided.
    f. The projected dates for initiation of services and the 
anticipated duration of such services.
    g. The name of the Early Intervention Program Service Coordinator.
    h. The steps to be taken supporting the transition of the toddler 
with a disability to preschool services or other services to the extent 
such services are considered appropriate.
    5. The contents of the IFSP shall be fully explained to the parents 
by the Early Intervention Program Service Coordinator, and informed 
written consent from such parents shall be obtained before the provision 
of early intervention services described in such plan. If the parents do 
not provide such consent with respect to a particular early intervention 
service, then the early intervention services to which such consent is 
obtained shall be provided.

       D. Procedural Safeguards for the Early Intervention Program

    1. The procedural safeguards include:
    a. The timely administrative resolution of complaints by the 
parent(s), including hearing procedures (appendix C to this part).
    b. The right to protection of personally identifiable information 
under 32 CFR part 310.
    c. The right of the parent(s) to determine whether they, their 
infant or toddler, or other family members will accept or decline any 
early intervention service without jeopardizing the delivery of other 
early intervention services to which such consent is obtained.
    d. The opportunity for the parent(s) to examine records on 
assessment, screening, eligibility determinations, and the development 
and implementation of the IFSP.
    e. Written prior notice to the parent(s) of the infant or toddler 
with a disability whenever the Military Department concerned proposes to 
initiate or change or refuses to initiate or change the identification, 
evaluation, placement, or the provision of appropriate early 
intervention services to the infant and toddler with a disability.
    f. Procedures designed to ensure that the notice required in 
paragraph D.1.e. of this appendix fully informs the parents in the 
parents' native language, unless it clearly is not feasible to do so.
    g. During the pending of any proceeding under appendix C to this 
part, unless the Military Department concerned and the parent(s) 
otherwise agree, the infant or toddler shall continue to receive the 
early intervention services currently being provided, or, if applying 
for initial services, shall receive the services not in dispute.



Sec. Appendix B to Part 80--Procedures for Special Educational Programs 
 (Including Related Services) for Preschool Children and Children With 
                   Disabilities (3-21 years Inclusive)

                     A. Identification and Screening

    1. Each Section 6 School Arrangement shall locate, identify, and, 
with the consent of a parent of each preschool child or child, evaluate 
all preschool children or children who are receiving or are entitled to 
receive an education from Section 6 School Arrangements and who may need 
special education and/or related services.
    2. Each Section 6 School Arrangement shall:
    a. Provide screening, through the review of incoming records and the 
use of basic skills tests in reading, language arts, and mathematics, to 
determine whether a preschool child or child may be in need of special 
education and related services.
    b. Analyze school health data for those preschool children and 
children who demonstrate possible disabling conditions. Such data shall 
include:
    (1) Results of formal hearing, vision, speech, and language tests.
    (2) Reports from medical practitioners.
    (3) Reports from other appropriate professional health personnel as 
may be necessary, under this part, to aid in identifying possible 
disabling conditions.
    c. Analyze other pertinent information, including suspensions, 
exclusions, other disciplinary actions, and withdrawals, compiled and 
maintained by Section 6 School Arrangements that may aid in identifying 
possible disabling conditions.
    3. Each Section 6 School Arrangement, in cooperation with cognizant 
authorities at the installation on which the Section 6 School 
Arrangement is located, shall conduct ongoing child-find activities that 
are designed to identify all infants, toddlers, preschool children, and 
children with possible disabling conditions who reside on the 
installation or who otherwise either are entitled, or will be entitled, 
to receive services under this part.

[[Page 563]]

    a. If an element of the Section 6 School Arrangement, a qualified 
professional authorized to provide related services, a parent, or other 
individual believes that an infant, toddler, preschool child or child 
has a possible disabling condition, that individual shall be referred to 
the appropriate CSC or early intervention coordinator.
    b. A Section 6 School Arrangement CSC shall work in cooperation with 
the Military Departments in identifying infants, toddlers, preschool 
children and children with disabilities (birth to 21 years inclusive).

                        B. Evaluation Procedures

    1. Each CSC will provide a full and comprehensive diagnostic 
evaluation of special educational, and related service needs to any 
preschool child or child who is receiving, or entitled to receive, 
educational instruction from a Section 6 School Arrangement, operated by 
the Department of Defense under Directive 1342.21, and who is referred 
to a CSC for a possible disability. The evaluation will be conducted 
before any action is taken on the development of the IEP or placement in 
a special education program.
    2. Assessment materials, evaluation procedures, and tests shall be:
    a. Racially and culturally nondiscriminatory.
    b. Administered in the native language or mode of communication of 
the preschool child or child unless it clearly is not feasible to do so.
    c. Validated for the specific purpose for which they are used or 
intended to be used.
    d. Administered by qualified personnel, such as a special educator, 
school psychologist, speech therapist, or a reading specialist, in 
conformity with the instructions provided by the producers of the 
testing device.
    e. Administered in a manner so that no single procedure is the sole 
criterion for determining eligibility and an appropriate educational 
program for a disabled preschool child or child.
    f. selected to assess specific areas of educational strengths and 
needs, not merely to provide a single general intelligence quotient.
    3. The evaluation shall be conducted by a multidisciplinary team and 
shall include a teacher or other specialist with knowledge in the areas 
of the suspected disability.
    4. The preschool child or child shall be evaluated in all areas 
related to the suspected disability. When necessary, the evaluation 
shall include:
    a. The current level of academic functioning, to include general 
intelligence.
    b. Visual and auditory acuity.
    c. Social and emotional status, to include social functioning within 
the educational environment and within the family.
    d. Current physical status, including perceptual and motor 
abilities.
    e. Vocational transitional assessment (for children ages 14-21 years 
(inclusive)).
    5. The appropriate CSC shall met as soon as possible after the 
preschool child's or child's formal evaluation to determine whether he 
or she is in need of special education and related services. The 
preschool child's or child's parents shall be invited to the meeting and 
afforded the opportunity to participate in such a meeting.
    6. The school CSC shall issue a written report that contains:
    a. A review of the formal and informal diagnostic evaluation 
findings of the multidisciplinary team.
    b. A summary of information from the parents, the preschool child or 
child, or other persons having significant previous contact with the 
preschool child or child.
    c. A description of the preschool child's or child's current 
academic progress, including a statement of his or her learning style.
    d. A description of the nature and severity of the preschool child's 
or child's disability(ies).
    7. A preschool child or child with a disability shall receive an 
individual comprehensive diagnostic evaluation every 3 years, or more 
frequently if conditions warrant, or if the preschool child's or child's 
parent, teacher, or related service provider requests an evaluation. The 
scope and nature of the reevaluation shall be determined individually, 
based upon the preschool child's or child's performance, behavior, and 
needs when the reevaluation is conducted, and be used to update or 
revise the IEP.

                C. Individualized Education Program (IEP)

    1. Section 6 School Arrangements shall ensure that an IEP is 
developed and implemented for each preschool child or child with a 
disability enrolled in a Section 6 School Arrangement or placed on 
another institution by a Section 6 School Arrangement CSC under this 
part.
    2. Each IEP shall include:
    a. A statement of the preschool child's or child's present levels of 
educational performance.
    b. A statement of annual goals, including short-term instructional 
objectives.
    c. A statement of the specific special educational services and 
related services to be provided to the preschool child or child 
(including the frequency, number of times per week/month and intensity, 
amount of times each day) and the extent to which the preschool child or 
child may be able to participate in regular educational programs.
    d. The projected anticipated date for the initiation and the 
anticipated length of such activities and services.

[[Page 564]]

    e. Appropriate objective criteria and evaluation procedures and 
schedules for determining, on an annual basis, whether educational goals 
and objectives are being achieved.
    f. A statement of the needed transition services for the child 
beginning no later than age 16 and annually thereafter (and when 
determined appropriate for the child, beginning at age 14 or younger) 
including, when appropriate, a statement of DoD Component 
responsibilities before the child leaves the school setting.
    3. Each preschool child or child with a disability shall be provided 
the opportunity to participate, with adaptations when appropriate, in 
the regular physical education program available to students without 
disabilities unless:
    a. The preschool child or child with a disability is enrolled full-
time in a separate facility; or
    b. The preschool child or child with a disability needs specially 
designed physical education, as prescribed in his or her IEP.
    4. If specially designed physical education services are prescribed 
in the IEP of a preschool child or child with a disability, the Section 
6 School Arrangement shall provide such education directly, or shall 
make arrangements for the services to be provided through a non-Section 
6 School Arrangement or another facility.
    5. Section 6 School Arrangements shall ensure that a preschool child 
or child with a disability, enrolled by a CSC in a separate facility, 
receives appropriate, physical education in compliance with this part.
    6. The IEP for each preschool child or child with a disability shall 
be developed and reviewed at least annually in meetings that include the 
following participants:
    a. The designated representative of the Section 6 School 
Arrangement, who is qualified to supervise the provision of special 
education. Such representative may not be the preschool child's or 
child's special education teacher.
    b. One, or more, of the preschool child's or child's regular 
education teachers, if appropriate.
    c. The preschool child's or child's special education teacher or 
teachers.
    d. One, or both, of the preschool child's or child's parents.
    e. The child, if appropriate.
    f. For a preschool child or child with a disability who has been 
evaluated, a member of the evaluation team or another person 
knowledgeable about the evaluation procedures used with that student and 
familiar with the results of the evaluation.
    g. Other individuals, at the reasonable discretion of the parent(s) 
or the school.
    7. Section 6 School Arrangements shall:
    2a. Ensure that an IEP meeting is held, normally within 10 working 
days, following a determination by the appropriate CSC that the 
preschool child or child is eligible to receive special education and/or 
related services.
    b. Address the needs of a preschool child or child with a current 
IEP who transfers from a school operated by the DoD in accordance with 
32 CFR part \1\ or from a Section 6 School Arrangement to a Section 6 
School Arrangement, by:
---------------------------------------------------------------------------

    \1\ Copies of DoD Directive 1342.6 may be obtained, at cost, from 
the National Technical Information Service, 5285 Port Royal Road, 
Springfield, VA 22161.
---------------------------------------------------------------------------

    (1)Implementing the current IEP; or
    (2) Revising the current IEP with the consent of a parent; or
    (3) Initiating, with the consent of a parent, an evaluation of the 
preschool child or child, while continuing to provide appropriate 
services through a current IEP; or
    (4) Initiating, with the consent of the parent, an evaluation of the 
preschool child or child without the provision of the services in the 
current IEP; or
    (5) Initiating mediation, and if necessary, due process procedures.
    c. Afford the preschool child's or child's parent(s) the opportunity 
to participate in every IEP or CSC meeting about their preschool child 
or child by:
    (1) Providing the parent(s) adequate written notice of the purpose, 
time, and place of the meeting.
    (2) Attempting to schedule the meeting at a mutually agreeable time 
and place.
    8. If neither parent can attend the meeting, other methods to 
promote participation by a parent, such as telephone conservations and 
letters, shall be used.
    9. A meeting may be conducted without a parent in attendance if the 
Section 6 School Arrangement is unable to secure the attendance of the 
parent. In this case, the Section 6 School Arrangement must have written 
records of its attempts to arrange a mutually acceptable time and place.
    10. If the parent(s) attends the IEP meeting, the Section 6 School 
Arrangement shall take necessary action to ensure that at least one of 
the parents understands the proceedings at the meeting, including 
providing an interpreter for a parent who is deaf or whose native 
language is other than English.
    11. The section 6 School Arrangement shall give a parent a copy of 
the preschool child's IEP.
    12. Section 6 School Arrangements shall provide special education 
and related services, in accordance with an IEP, provided that the 
Department of Defense, its constituent elements, and its personnel, are 
not accountable if a preschool child or child does not achieve the 
growth projected in the IEP.

[[Page 565]]

    13. Section 6 School Arrangements shall ensure that an IEP is 
developed and implemented for each preschool child or child with a 
disability whom the CSC places in a non-Section 6 School or other 
facility.

        D. Placement Procedures and Least Restrictive Environment

    1. The placement of a preschool child or child in any special 
education program by the Section 6 School Arrangement shall be made only 
under an IEP and after a determination has been made that such student 
has a disability and needs special education and/or related services.
    2. The Section 6 School Arrangement CSC shall identify the special 
education and related services to be provided under the IEP.
    3. A placement decision may not be implemented without the consent 
of a parent of the preschool child or child, except as otherwise 
provided in accordance with this part.
    4. The placement decision must be designed to educate a preschool 
child or child with a disability in the least restrictive environment so 
that such student is educated to the maximum extent appropriate with 
students who do not have disabilities. Special classes, separate 
schooling, or other removal of preschool children or children with 
disabilities from the regular educational environment shall occur only 
when the nature or severity of the disability is such that the preschool 
child or child with disabilities cannot be educated satisfactorily in 
the regular classes with the use of supplementary aids and services, 
including related services.
    5. Each educational placement for a preschool child or child with a 
disability shall be:
    a. Determined at least annually by the appropriate CSC.
    b. Based on the preschool child or child's IEP.
    c. Located as close as possible to the residence of the parent who 
is sponsoring the preschool child or child for attendance in a Section 6 
School Arrangement.
    d. Designed to assign the preschool child or child to the school 
such student would attend if he or she were not a student with a 
disability, unless the IEP requires some other arrangement.
    e. Predicated on the consideration of all factors affecting the 
preschool child's or child's well-being, including the effects of 
separation from parent(s).
    f. To the maximum extent appropriate, designed so that the preschool 
child or child participates in school activities, including meals and 
recess periods, with students who do not have a disability.

      E. Children With Disabilities Placed in Non-Section 6 School 
                              Arrangements

    1. Before a Section 6 School Arrangement CSC, with the concurrence 
of the Section 6 School Arrangement Superintendent concerned, places a 
preschool child or child with a disability in a non-Section 6 School or 
facility, the Section 6 School CSC shall conduct a meeting in accordance 
with this part to initiate the development of an IEP for such student.
    2. Preschool children and children with disabilities eligible to 
receive instruction in Section 6 School Arrangements who are referred to 
another school or facility by the Section 6 School CSC have all the 
rights of students with disabilities who are attending the Section 6 
School Arrangement.
    a. If a Section 6 School Arrangement CSC places a preschool child or 
child with a disability in a non-Section 6 School Arrangement or 
facility as a means of providing special education and related services, 
the program of that facility, including nonmedical care, room, and 
board, as set forth in the student's IEP, must be at no cost to the 
student or the student's parents.
    b. A Section 6 School Arrangement CSC may place a preschool child or 
child with a disability in a non-Section 6 School Arrangement or 
facility only if required by an IEP. An IEP for a student placed in a 
non-Section 6 School is not valid until signed by the Section 6 School 
Arrangement Superintendent, or designee, who must have participated in 
the IEP meeting. The IEP shall include determinations that:
    (1) The Section 6 School Arrangement does not currently have, and 
cannot reasonably create, an educational program appropriate to meet the 
needs of the student with a disability.
    (2) The non-Section 6 School Arrangement or facility and its 
educational program conform to this part.
    3. A Section 6 School Arrangement is not responsible for the cost of 
a non-Section 6 School Arrangement placement when placement is made 
unilaterally, without the approval of the cognizant CSC and the 
Superintendent, unless it is directed by a hearing officer under 
appendix C of this part or a court of competent jurisdiction.

                        F. Procedural Safeguards

    1. Parents shall be given written notice before the Section 6 School 
Arrangement CSC proposes to initiate or change, or refuses to initiate 
or change, either the identification, evaluation, or educational 
placement of a preschool child or child receiving, or entitled to 
receive, special education and related services from a Section 6 School 
Arrangement, or the provision of a free appropriate public education by 
the Section 6 School Arrangement to the child. The notice shall

[[Page 566]]

fully inform a parent of the procedural rights conferred by this part 
and shall be given in the parent's native language, unless it clearly is 
not feasible to do so.
    2. The consent of a parent of a preschool child or child with a 
disability or suspected of having a disability shall be obtained before 
any:
    a. Initiation of formal evaluation procedures;
    b. Initial special educational placement; or
    c. Change in educational placement.
    3. If a parent refuses consent to any formal evaluation or initial 
placement in a special education program, the Section 6 School 
Arrangement Superintendent may initiate an impartial due process 
hearing, as provided in appendix C of this part to show why an 
evaluation or placement in a special education program should occur 
without such consent. If the hearing officer sustains the Section 6 
School Arrangement CSC position in the impartial due process hearing, 
the appropriate CSC may evaluate or provide special education and 
related services to the preschool child or child without the consent of 
a parent, subject to the parent's due process rights.
    4. A parent is entitled to an independent evaluation of his or her 
preschool child or child at the Section 6 School Arrangement's expense, 
if the parent disagrees with the findings of an evaluation of the 
student conducted by the school and the parent successfully challenges 
the evaluation in an impartial due process hearing.
    a. If an independent evaluation is provided at the expense of a 
Section 6 School Arrangement, it must meet the following criteria:
    (1) Conform to the requirements of this part.
    (2) Be conducted, when possible, within the area where the preschool 
child or child resides.
    (3) Meet applicable DoD standards governing persons qualified to 
conduct an evaluation.
    b. If the final decision rendered in an impartial due process 
hearing sustains the evaluation of the Section 6 School Arrangement CSC, 
the parent has the right to an independent evaluation, but not at the 
expense of the Department of Defense or any DoD Component.
    5. The parents of a preschool child or child with a disability shall 
be afforded an opportunity to inspect and review all relevant 
educational records concerning the identification, evaluation, and 
educational placement of such student, and the provision of a free 
appropriate public education to him or her.
    6. Upon complaint presented in a written petition, the parent of a 
preschool child or child with a disability or the Section 6 School 
System shall have the opportunity for an impartial due process hearing 
provided by the Department of Defense as prescribed by appendix C of 
this part.
    7. During the pendency of any impartial due process hearing or 
judicial proceeding on the identification, evaluation, or educational 
placement of a preschool child or child with a disability receiving an 
education from a Section 6 School Arrangement or the provision of a free 
appropriate public education to such a student, unless the Section 6 
School Arrangement and a parent of the student agree otherwise, the 
student shall remain in his or her present educational placement, 
subject to the disciplinary procedures prescribed in this part.
    8. If a preschool child or child with a disability, without a 
current IEP, who is entitled to receive educational instruction from a 
Section 6 School Arrangement is applying for initial admission to a 
Section 6 School Arrangement, that student shall enter that Arrangement 
on the same basis as a student without a disability.
    9. The parent of a preschool child or child with a disability or a 
Section 6 School Arrangement employee may file a written communication 
with the Section 6 School Arrangement Superintendent about possible 
general violations of this part or Pub. L. 101-476, as amended. Such 
communications will not be treated as complaints under appendix C of 
this part.

                       G. Disciplinary Procedures

    1. All regular disciplinary rules and procedures applicable to 
students receiving educational instruction in the Section 6 School 
Arrangements shall apply to preschool children and children with 
disabilities who violate school rules and regulations or disrupt regular 
classroom activities, subject to the provisions of this section.
    2. The appropriate CSC shall determine whether the conduct of a 
preschool child or child with a disability is the result of that 
disability before the long-term suspension (10 consecutive or cumulative 
days during the school year) or the expulsion of that student.
    3. If the CSC determines that the conduct of such a preschool child 
or child with a disability results in whole or part from his or her 
disability, that student may not be subject to any regular disciplinary 
rules and procedures; and
    a. The student's parent shall be notified in accordance with this 
part of the right to have an IEP meeting before any change in the 
student's special education placement. (A termination of the student's 
education for more than 10 days, either cumulative or consecutive, 
constitutes a change of placement.)
    b. The Section 6 School Arrangement CSC or another authorized school 
official shall ensure that an IEP meeting is held to determine the 
appropriate educational placement for the student in consideration of 
his or her

[[Page 567]]

conduct before the tenth cumulative day of the student's suspension or 
an expulsion.
    4. A preschool child or child with a disability shall neither be 
suspended for more than 10 days nor expelled, and his or her educational 
placement shall not otherwise be changed for disciplinary reasons, 
unless in accordance with this section, except that:
    a. This section shall be applicable only to preschool children and 
children determined to have a disability under this part.
    b. Nothing contained herein shall prevent the emergency suspension 
of any preschool child or child with a disability who endangers or 
reasonable appears to endanger the health, welfare, or safety of himself 
or herself, or any other student, teacher, or school personnel, provided 
that:
    (1) The appropriate Section 6 School Arrangement CSC shall 
immediately meet to determine whether the preschool child's or child's 
conduct results from his or her disability and what change in special 
education placement is appropriate for that student.
    (2) The child's parent(s) shall be notified immediately of the 
student's suspension and of the time, purpose, and location of the CSC 
meeting and their right to attend the meeting.
    (3) A component is included in the IEP that addresses the behavioral 
needs of the student.
    (4) The suspension of the student is only effective for the duration 
of the emergency.



             Sec. Appendix C to Part 80--Hearing Procedures

                               A. Purpose

    This appendix establishes adjudicative requirements whereby the 
parents of infants, toddlers, preschool children, and children who are 
covered by this part and, as the case may be, the cognizant Military 
Department or Section 6 School System are afforded impartial due process 
hearings and administrative appeals on the early intervention services 
or identification, evaluation, and educational placement of, and the 
free appropriate public education provided to, such children by the 
Department of Defense, in accordance with Pub. L. 101-476, as amended, 
20 U.S.C. sec. 1401 et seq.; Pub. L. 81-874, sec. 6, as amended, 20 
U.S.C. sec. 241; Pub. L. 97-35, sec. 505(c), 20 U.S.C. sec. 241 note; 
and Pub. L. 102-119, sec. 23, 20 U.S.C. sec. 241(a).

                            B. Administration

    1. The Directorate for the Defense Office of Hearings and Appeals 
(DOHA) shall have administrative responsibility for the proceedings 
authorized by this appendix.
    2. This appendix shall be administered to ensure that the findings, 
judgments, and determinations made are prompt, fair, and impartial.
    3. Impartial hearing officers, who shall be DOHA Administrative 
Judges, shall be appointed by the Director, DOHA, and shall be attorneys 
who are independent of the Section 6 School System or the Military 
Department concerned in proceedings conducted under this appendix. A 
parent shall have the right to be represented in such proceedings, at no 
cost to the government, by counsel and by persons with special knowledge 
or training with respect to the problems of individuals with 
disabilities. DOHA Department Counsel normally shall appear and 
represent the Section 6 School System in proceedings conducted under 
this appendix, when such proceedings involve a preschool child or child. 
When an infant or toddler is involved, the Military Department 
responsible under this part for delivering early intervention services 
shall either provide its own counsel or request counsel from DOHA.

                              C. Mediation

    1. Mediation can be initiated by either a parent or, as appropriate, 
the Military Department concerned or the Section 6 School System to 
resolve informally a disagreement on the early intervention services for 
an infant or toddler or the identification, evaluation, educational 
placement of, or the free appropriate public education provided to, a 
preschool child or child. The cognizant Military Department, rather than 
the Section 6 School System, shall participate in mediation involving 
early intervention services. Mediation shall consist of, but not be 
limited to, an informal discussion of the differences between the 
parties in an effort to resolve those differences. The parents and the 
appropriate school or Military Department officials may attend mediation 
sessions.
    2. Mediation must be conducted, attempted, or refused in writing by 
a parent of the infant, toddler, preschool child or child whose early 
intervention or special education services (including related services) 
are at issue before a request for, or initiation of, a hearing 
authorized by this appendix. Any request by the Section 6 School System 
or Military Department for a hearing under this appendix shall state how 
this requirement has been satisfied. No stigma may be attached to the 
refusal of a parent to mediate or to an unsuccessful attempt to mediate.

                        D. Practice and Procedure

                               1. Hearing

    a. Should mediation be refused or otherwise fail to resolve the 
issues on the provision of early intervention services or a free, 
appropriate public education to a disabled infant, toddler, preschool 
child or child or the identification, evaluation, or educational 
placement of such an individual, the parent

[[Page 568]]

or either the school principal, on behalf of the Section 6 School 
System, or the military medical treatment facility commander, on behalf 
of the Military Department having jurisdiction over the infant or 
toddler, may request and shall receive a hearing before a hearing 
officer to resolve the matter. The parents of an infant, toddler, 
preschool child or child and the Section 6 School System or Military 
Department concerned shall be the only parties to a hearing conducted 
under this appendix.
    b. The party seeking the hearing shall submit a written request, in 
the form of a petition, setting forth the facts, issues, and proposed 
relief, to the Director, DOHA. The petitioner shall deliver a copy of 
the petition to the opposing party (that is, the parent or the school 
principal, on behalf of the Section 6 School System, or the military 
medical treatment facility commander, on behalf of the Military 
Department), either in person or by first-class mail, postage prepaid. 
Delivery is complete upon mailing. When the Section 6 School System or 
Military Department petitions for a hearing, it shall inform the other 
parties of the deadline for filing an answer under paragraph D.1.c. of 
this appendix, and shall provide the other parties with a copy of this 
part.
    c. An opposing party shall submit an answer to the petition to the 
Director, DOHA, with a copy to the petitioner, within 15 calendar days 
of receipt of the petition. The answer shall be as full and complete as 
possible, addressing the issues, facts, and proposed relief. The 
submission of the answer is complete upon mailing.
    d. Within 10 calendar days after receiving the petition, the 
Director, DOHA, shall assign a hearing officer, who then shall have 
jurisdiction over the resulting proceedings. The Director, DOHA, shall 
forward all pleadings to the hearing officer.
    e. The questions for adjudication shall be based on the petition and 
the answer, provided that a party may amend a pleading if the amendment 
is filed with the hearing officer and is received by the other parties 
at least 5 calendar days before the hearing.
    f. The Director, DOHA, shall arrange for the time and place of the 
hearing, and shall provide administrative support. Such arrangements 
shall be reasonably convenient to the parties.
    g. The purpose of a hearing is to establish the relevant facts 
necessary for the hearing officer to reach a fair and impartial 
determination of the case. Oral and documentary evidence that is 
relevant and material may be received. The technical rules of evidence 
shall be relaxed to permit the development of a full evidentiary record, 
with the Federal Rules of Evidence (28 U.S.C.) serving as a guide.
    h. The hearing officer shall be the presiding officer, with judicial 
powers to manage the proceeding and conduct the hearing. Those powers 
shall include the authority to order an independent evaluation of the 
child at the expense of the Section 6 School System or Military 
Department concerned and to call and question witnesses.
    i. Those normally authorized to attend a hearing shall be the 
parents of the individual with disabilities, the counsel and personal 
representative of the parents, the counsel and professional employees of 
the Section 6 School System or Military Department concerned, the 
hearing officer, and a person qualified to transcribe or record the 
proceedings. The hearing officer may permit other persons to attend the 
hearing, consistent with the privacy interests of the parents and the 
individual with disabilities, provided the parents have the right to an 
open hearing upon waiving in writing their privacy rights and those of 
the individual with disabilities.
    j. A verbatim transcription of the hearing shall be made in written 
or electronic form and shall become a permanent part of the record. A 
copy of the written transcript or electronic record of the hearing shall 
be made available to a parent upon request and without cost. The hearing 
officer may allow corrections to the written transcript or electronic 
recording for the purpose of conforming it to actual testimony after 
adequate notice of such changes is given to all parties.
    k. The hearing officer's decision of the case shall be based on the 
record, which shall include the petition, the answer, the written 
transcript or the electronic recording of the hearing, exhibits admitted 
into evidence, pleadings or correspondence properly filed and served on 
all parties, and such other matters as the hearing officer may include 
in the record, provided that such matter is made available to all 
parties before the record is closed under paragraph D.1.m. of this 
appendix.
    l. The hearing officer shall make a full and complete record of a 
case presented for adjudication.
    m. The hearing officer shall decide when the record in a case is 
closed.
    n. The hearing officer shall issue findings of fact and render a 
decision in a case not later than 50 calendar days after being assigned 
to the case, unless a discovery request under section D.2. of this 
appendix is pending.

                              2. Discovery

    a. Full and complete discovery shall be available to parties to the 
proceeding, with the Federal Rules of Civil Procedure (28 U.S.C.) 
serving as a guide.
    b. If voluntary discovery cannot be accomplished, a party seeking 
discovery may file a motion to accomplish discovery, provided such 
motion is founded on the relevance and

[[Page 569]]

materiality of the proposed discovery to the issues. An order granting 
discovery shall be enforceable as is an order compelling testimony or 
the production of evidence.
    c. A copy of the written or electronic transcription of a deposition 
taken by the Section 6 School System or Military Department concerned 
shall be made available free of charge to a parent.

                  3. Witnesses; Production of Evidence

    a. All witnesses testifying at the hearing shall be advised that it 
is a criminal offense knowingly and willfully to make a false statement 
or representation to a Department or Agency of the United States 
Government as to any matter within the jurisdiction of the Department or 
Agency. All witnesses shall be subject to cross-examination by the 
parties.
    b. A party calling a witness shall bear the witness' travel and 
incidental expenses associated with testifying at the hearing. The 
Section 6 School System or Military Department concerned shall pay such 
expenses when a witness is called by the hearing officer.
    c. The hearing officer may issue an order compelling the attendance 
of witnesses or the production of evidence upon the hearing officer's 
own motion or, if good cause be shown, upon motion of a party.
    d. When the hearing officer determines that a person has failed to 
obey an order to testify or to produce evidence, and such failure is in 
knowing and willful disregard of the order, the hearing officer shall so 
certify.
    e. The party or the hearing officer seeking to compel testimony or 
the production of evidence may, upon the certification provided for in 
paragraph D.3.d. of the section, file an appropriate action in a court 
of competent jurisdiction to compel compliance with the hearing 
officer's order.

           4. Hearing Officer's Findings of Fact and Decision

    a. The hearing officer shall make written findings of fact and shall 
issue a decision setting forth the questions presented, the resolution 
of those questions, and the rationale for the resolution. The hearing 
officer shall file the findings of fact and decision with the Director, 
DOHA, with a copy to the parties.
    b. The Director, DOHA, shall forward to the Director, Section 6 
Schools or the Military Department concerned and the Domestic Advisory 
Panel copies, with all personally identifiable information deleted, of 
the hearing officer's findings of fact and decision or, in cases that 
are administratively appealed, of the final decision of the DOHA Appeal 
Board.
    c. The hearing officer shall have the authority to impose financial 
responsibility for early intervention services, educational placements, 
evaluations, and related services under his or her findings of fact and 
decision.
    d. The findings of fact and decision of the hearing officer shall 
become final unless a notice of appeal is filed under section F.1. of 
this appendix. The Section 6 School System or Military Department 
concerned shall implement a decision as soon as practicable after it 
becomes final.

                    E. Determination Without Hearing

    1. At the request of a parent of the infant, toddler, preschool 
child or child when early intervention or special educational (including 
related) services are at issue, the requirement for a hearing may be 
waived, and the case may be submitted to the hearing officer on written 
documents filed by the parties. The hearing officer shall make findings 
of fact and issue a decision within the period fixed by paragraph D.1.n. 
of this appendix.
    2. The Section 6 School System or Military Department concerned may 
oppose a request to waive the hearing. In that event, the hearing 
officer shall rule on the request.
    3. Documents submitted to the hearing officer in a case determined 
without a hearing shall comply with paragraph D.1.g. of this appendix. A 
party submitting such documents shall provide copies to all other 
parties.

                                F. Appeal

    1. A party may appeal the hearing officer's findings of fact and 
decision by filing a written notice of appeal with the Director, DOHA, 
within 5 calendar days of receipt of the findings of fact and decision. 
The notice of appeal must contain the appellant's certification that a 
copy of the notice of appeal has been provided to all other parties. 
Filing is complete upon mailing.
    2. Within 10 calendar days of the filing the notice of appeal, the 
appellant shall submit a written statement of issues and arguments to 
the Director, DOHA, with a copy to the other parties. The other parties 
shall submit a reply or replies to the Director, DOHA, within 15 
calendar days of receiving the statement, and shall deliver a copy of 
each reply to the appellant. Submission is complete upon mailing.
    3. The Director, DOHA, shall refer the matter on appeal to the DOHA 
Appeal Board. It shall determine the matter, including the making of 
interlocutory rulings, within 60 calendar days of receiving timely 
submitted replies under section F.2. of this appendix. The DOHA Appeal 
Board may require oral argument at a time and place reasonable 
convenient to the parties.

[[Page 570]]

    4. The determination of the DOHA Appeal Board shall be a final 
administrative decision and shall be in written form. It shall address 
the issues presented and set forth a rationale for the decision reached. 
A determination denying the appeal of a parent in whole or in part shall 
state that the parent has the right under Pub. L. 101-476, as amended, 
to bring a civil action on the matters in dispute in a district court of 
the United States without regard to the amount in controversy.
    5. No provision of this part or other DoD guidance may be construed 
as conferring a further right of administrative review. A party must 
exhaust all administrative remedies afforded by this appendix before 
seeking judicial review of a determination made under this appendix.

             G. Publication and Indexing of Final Decisions

    The Director, DOHA, shall ensure that final decisions in cases 
arising under this Appendix are published and indexed to protect the 
privacy rights of the parents who are parties in those cases and the 
children of such parents, in accordance with 32 CFR part 310.



PART 81_PATERNITY CLAIMS AND ADOPTION PROCEEDINGS INVOLVING MEMBERS
AND FORMER MEMBERS OF THE ARMED FORCES--Table of Contents



Sec.
81.1 Reissuance and purpose.
81.2 Applicability.
81.3 Policy.

    Authority: Sec. 301, 80 Stat. 379; (5 U.S.C. 301).

    Source: 43 FR 15149, Apr. 11, 1978, unless otherwise noted.



Sec. 81.1  Reissuance and purpose.

    This part reissued DoD Directive 1344.3, ``Paternity Claims and 
Adoption Proceedings Involving Members and Former Members of the Armed 
Forces,'' to standardize procedures for the handling of:
    (a) Paternity claims against members and former members of the Armed 
Forces, and
    (b) Requests from civilian courts concerning the availability of 
members and former members of the Armed Forces to appear at an adoption 
hearing where it is alleged that such member is the father of an 
illegitimate child.



Sec. 81.2  Applicability.

    The provisions of this part apply to the Military Departments.



Sec. 81.3  Policy.

    (a) Members on active duty. (1) Allegations of paternity against 
members of the Armed Forces who are on active duty will be transmitted 
to the individual concerned by the appropriate military authorities.
    (2) If there exists a judicial order or decree of paternity or child 
support duly rendered by a United States or foreign court of competent 
jurisdiction against such a member, the commanding officer in the 
appropriate Military Departments will advise the member of his moral and 
legal obligations as well as his legal rights in the matter. See 42 
U.S.C. 659. The member will be encouraged to render the necessary 
financial support to the child and take any other action considered 
proper under the circumstances.
    (3) Communications from a judge of a civilian court, including a 
court summons or a judical order, concerning the availability of 
personnel to appear at an adoption hearing, where it is alleged that an 
active duty member is the father of an illegitimate child, shall receive 
a reply that:
    (i) Due to military requirements, the member cannot be granted leave 
to attend any court hearing until (date), or
    (ii) A request by the member for leave to attend an adoption court 
hearing on (date), if made, would be approved, or
    (iii) The member has stated in a sworn written statement (forward a 
copy with response) that he is not the natural parent of the child, or
    (iv) Due to the member's unavailability caused by a specific reason, 
a completely responsive answer cannot be made.
    (4) The member should be informed of the inquiry and the response 
and urged to obtain legal assistance for guidance (including an 
explanation of sections of the Soldiers' and Sailors' Civil Relief Act, 
50 U.S.C. appendix, section 501 et seq., if appropriate).
    (b) Members not on active duty. (1) Allegations of paternity against 
members

[[Page 571]]

of the Armed Forces who are not on active duty shall be forwarded to the 
individual concerned in such manner as to ensure that the allegations 
are delivered to the addressee only. Military channels will be used when 
practicable.
    (2) Communications from a judge of a civilian court, including a 
court summons or judicial order, concerning the availability of 
personnel to appear at an adoption hearing, where it is alleged that the 
member not on active duty is the father of an illegitimate child shall 
receive a reply that such person is not on active duty. A copy of the 
communication and the reply will be forwarded to the named individual.
    (3) When requested by a court, the last known address of inactive 
members may be furnished under the same conditions as set forth for 
former members under paragraph (c)(2) (i) and (ii) of this section.
    (c) Former members. (1) In all cases of allegations of paternity 
against former members of the Armed Forces or communication from a judge 
of a civilian court, including a judicial summons or court order, 
concerning the adoption of an illegitimate child of former members of 
the Armed Forces who have been separated from the Military Services, 
i.e., those members now holding no military status whatsoever, the 
claimant or requester will be (i) informed of the date of discharge, and 
(ii) advised that the individual concerned is no longer a member of the 
Armed Forces in any capacity, and that the Military Departments assume 
no responsibility for the whereabouts of individuals no longer under 
their jurisdiction. The correspondence and all accompanying 
documentation shall be returned to the claimant or requester.
    (2) In addition, the last known address of the former member will be 
furnished to the requester:
    (i) If the request is supported by a certified copy of either:
    (A) A judicial order or decree of paternity or support duly rendered 
against a former member by a United States or foreign court of competent 
jurisdiction; or
    (B) A document which establishes that the former member has made an 
official admission or statement acknowledging paternity or 
responsibility for support of a child before a court of competent 
jurisdiction, administrative or executive agency, or official authorized 
to receive it; or
    (C) A court summons, judicial order, or similar document of a court 
within the United States in a case concerning the adoption of an 
illegitimate child; wherein the former serviceman is alleged to be the 
father.
    (ii) If the claimant, with the corroboration of a physician's 
affidavit, alleges and explains an unusual medical situation which makes 
it essential to obtain information from the alleged father to protect 
the physical health of either the prospective mother or the unborn 
child.



PART 85_HEALTH PROMOTION--Table of Contents



Sec.
85.1 Purpose.
85.2 Applicability and scope.
85.3 Definitions.
85.4 Policy.
85.5 Responsibilities.
85.6 Procedures.

    Authority: 5 U.S.C. 301.

    Source: 53 FR 33123, Aug. 30, 1988, unless otherwise noted.



Sec. 85.1  Purpose.

    (a) This part establishes a health promotion policy within the 
Department of Defense to improve and maintain military readiness and the 
quality of life of DoD personnel and other beneficiaries.
    (b) This part replaces 32 CFR part 203 and establishes policy on 
smoking in DoD occupied buildings and facilities.



Sec. 85.2  Applicability and scope.

    (a) This part applies to the Office of the Secretary of Defense 
(OSD), the Military Departments, and the Defense Agencies.
    (b) It is directed to all military personnel and retirees, their 
families, and, where specified, to civilian employees.



Sec. 85.3  Definitions.

    Health Promotion. Any combination of health education and related 
organizational, social, economic or health care interventions designed 
to facilitate behavioral and environmental alterations that will improve 
or protect health. It

[[Page 572]]

includes those activities intended to support and influence individuals 
in managing their own health through lifestyle decisions and selfcare. 
Operationally, health promotion includes smoking prevention and 
cessation, physical fitness, nutrition, stress management, alcohol and 
drug abuse prevention, and early identification of hypertension.
    Lifestyle. The aggregated habits and behaviors of individuals.
    Military Personnel. Includes all U.S. military personnel on active 
duty, U.S. National Guard or Reserve personnel on active duty, and 
Military Service Academy cadets and midshipmen.
    Self-Care. Includes acceptance of responsibility for maintaining 
personal health, and decisions concerning medical care that are 
appropriate for the individual to make.
    Target Populations. Military personnel, retirees, their families, 
and civilian employees.



Sec. 85.4  Policy.

    It is DoD policy to:
    (a) Encourage military personnel, retirees, their families and 
civilian employees to live healthy lives through an integrated, 
coordinated and comprehensive health promotion program.
    (b) Foster an environment that enhances the development of healthful 
lifestyles and high unit performance.
    (c) Recognize the right of individuals working or visiting in DoD 
occupied buildings to an environment reasonably free of contaminants.
    (d) Disallow DoD Components' participation with manufacturers or 
distributors of alcohol or tobacco products in promotional programs, 
activities, or contests aimed primarily at DoD personnel. This does not 
prevent accepting support from these manufacturers or distributors for 
worthwhile programs benefiting military personnel when no advertised 
cooperation between the Departmment of Defense and the manufacturer or 
distributor directly or indirectly identifying an alcohol or tobacco 
product with the program is required. Neither does it prevent the 
participation of military personnel in programs, activities, or contests 
approved by the manufacturers or distributors of such products when that 
participation is incidental to general public participation.



Sec. 85.5  Responsibilities.

    (a) The Assistant Secretary of Defense (Health Affairs) (ASD(HA)) 
shall coordinate and monitor the DoD health promotion program in 
accordance with this part, executing this responsibility in cooperation 
with the Assistant Secretary of Defense (Force Management and Personnel) 
and the Assistant Secretary of Defense (Reserve Affairs). The Office of 
the Assistant Secretary of Defense (Health Affairs) (ASD(HA)) shall:
    (1) Establish and chair the Health Promotion Coordinating Committee 
comprised of representatives of the Office of the Assistant Secretary of 
Defense (Force Management and Personnel) (OASD(FM&P)), Office of the 
Assistant Secretary of Defense (Acquisition and Logistics) (OASD(A&L)), 
the Office of the Assistant Secretary of Defense (Reserve Affairs) 
(OASD(RA)), each Military Service, and such other advisors as the 
OASD(HA) considers appropriate.
    (2) Facilitate exchanges of technical information and problem 
solving within and among Military Services and Defense Agencies.
    (3) Provide technical assistant, guidance and consultation.
    (4) Coordinate health data collection efforts to ensure 
standardization and facilitate joint studies across DoD components.
    (5) Review dietary standards for DoD dining facilities as specified 
in DoD Directive 3235.2 \1\
---------------------------------------------------------------------------

    \1\ Copies may be obtained, if needed, from the U.S. Naval 
Publications and Forms Center, Attn: Code 1062, 5801 Tabor Avenue, 
Philadelphia, PA 19120.
---------------------------------------------------------------------------

    (b) The Assistant Secretary of Defense (Force Management and 
Personnel) (ASD(FM&P)) shall, in collaboration with the ASD(HA), 
coordinate and monitor relevant aspects of the health promotion program. 
These include:
    (1) Use of tobacco products in DoD occupied facilities.
    (2) Operation of health promotion and screening programs at the 
worksite and in Professional Military Education, DoD Dependents Schools, 
and section 6 schools.

[[Page 573]]

    (3) Dietary regulation of DoD snack concessions, and vending 
machines.
    (4) Reduction of stress in work setting.
    (5) Designate two representatives to the Health Promotion 
Coordinating Committee.
    (c) The Assistant Secretary of Defense (Reserve Affairs) (OASD(RA)) 
shall:
    (1) Coordinate and monitor relevant aspects of the health promotion 
program as it pertains to National Guard and Reserve Personnel.
    (2) Designate a representative to the Health Promotion Coordinating 
Committee.
    (d) The Secretaries of the Military Departments shall:
    (1) Develop a comprehensive health promotion program plan for their 
respective Service(s).
    (2) Establish and operate an integrated, coordinated and 
comprehensive health promotion program as prescribed by this Directive.
    (3) Designate from their respective Service(s) a health promotion 
coordinator who shall also serve as representative to the Health 
Promotion Coordinating Committee.
    (4) Evaluate the effectiveness of their respective health promotion 
program(s).
    (e) The Directors of Defense Agencies shall develop and implement 
health promotion plans and programs for their civilian employees in 
accordance with this part.
    (f) The Assistant Secretary of Defense (Comptroller) (ASD(C)) shall 
develop and implement a health program promotion for OSD civilian 
employees.



Sec. 85.6  Procedures.

    (a) Each Military Service shall establish a health promotion program 
coordinator to serve as the focal point for all health promotion program 
issues and to integrate the activities of the medical and personnel 
departments.
    (b) A Health Promotion Coordinating Committee shall be established 
to enhance communication among the Military Services, recommend joint 
policy and program actions, review program implementation, and recommend 
methodologies and procedures for program evaluation. The Committee shall 
be chaired by the Assistant Secretary of Defense (Health Affairs) 
(ASD(HA)) or designee. Additional members shall include two 
representatives from the Office of the Assistant Secretary of Defense 
(Force Management and Personnel); one representative from the Office of 
the Assistant Secretary of Defense (Reserve Affairs); one representative 
from the office of the Assistant Secretary of Defense (Acquisition & 
Logistics); and the health promotion coordinator from each Military 
Service.
    (c) Each Component shall prepare a plan for the implementation of a 
comprehensive health promotion program that includes specific objectives 
(planned accomplishments) with measurable action steps. The plan shall 
address all of the program elements identified in the definition of 
health promotion for each group in the target populations. The plan 
shall consider workload, systems support, and training needs of 
individuals charged with responsibility at all organizational levels.
    (d) Health promotion plans and programs shall address smoking 
prevention and cessation, physical fitness, nutrition, stress 
management, alcohol and drug abuse, and early identification of 
hypertension.
    (1) Smoking prevention and cessation programs shall aim to create a 
social environment that supports abstinence and discourage use of 
tobacco products, create a healthy working environment, and provide 
smokers with encouragement and professional assistance in quitting. In 
addition to these aims, smoking prevention and cessation programs shall 
include the following elements.
    (i) Smoking shall be permitted in buildings only to the extent that 
it does not endanger the life or property, or risk impairing nonsmokers' 
health.
    (ii) The smoking of tobacco products within DoD occupied space shall 
be controlled in accordance with the following guidelines:
    (A) Smoking shall be prohibited in auditoriums, conference rooms and 
classrooms. No Smoking signs shall be prominently displayed, and 
ashtrays shall not be permitted. Receptacles may be placed at entrances 
so that

[[Page 574]]

visitors may dispose of lighted smoking material when entering a 
nonsmoking area.
    (B) Nonsmoking areas shall be designated and posted in all eating 
facilities in DoD occupied buildings. Smoking areas shall be permitted 
only if adequate space is available for nonsmoking patrons and 
ventilation is adequate to provide them a healthy environment.
    (C) Elevators shall be designated as nonsmoking areas.
    (D) Smoking shall be prohibited in official buses and vans.
    (E) Within the confines of medical treatment facilities, smoking 
shall be restricted to private offices and specially designated areas. 
Smoking by patients shall be limited to specially designated areas, and 
health care providers shall not smoke in the presence of patients while 
performing their duties. Smoking is permitted in visitor waiting areas 
only where space and ventilation capacities permit division into smoking 
and nonsmoking sections.
    (F) Smoking shall not be permitted in common work areas shared by 
smokers and nonsmokers unless adequate space is available for nonsmokers 
and ventilation is adequate to provide them a healthy environment. Where 
feasible, smoking preference should be considered when planning 
individual work stations so that smoking and nonsmoking areas may be 
established.
    (G) When individual living quarters are not available and two or 
more individuals are assigned to one room, smoking and nonsmoking 
preferences shall be considered in the assignment of rooms.
    (H) Smoking by students attending DoD Dependents Schools or section 
6 schools shall not be permitted on school grounds except as provided by 
policy regulations promulgated by the Director, DoDDS. Faculty and staff 
shall smoke only in specifically designated areas and shall not smoke in 
the presence of students.
    (iii) Installations shall assess the current resources, referral 
mechanisms, and need for additional smoking cessation programs. 
Occupational health clinics shall consider the feasibility of smoking 
cessation programs for civilian employees or, at a minimum, be able to 
refer employees to such programs. While smoking cessation should be 
encouraged, care shall be taken to avoid coercion or pressure on 
employees to enter smoking cessation programs against their will. 
Smoking prevention programs shall be made available in DoD Dependents 
Schools and section 6 schools.
    (iv) Information on the health consequences of smoking shall be 
incorporated with the information on alcohol and drug abuse provided to 
military personnel at initial entry and at permanent change of station 
as specified in 32 CFR part 62a. At initial entry, nonsmokers shall be 
encouraged to refrain from smoking. Smokers shall be encouraged to quit 
and be offered assistance in quitting.
    (v) As part of routine physical and dental examinations and at other 
appropriate times, health care providers should be encouraged to inquire 
about the patient's tobacco use, including use of smokeless tobacco 
products; to advise him or her of the risks associated with use, the 
health benefits of abstinence, and of where to obtain help to quit.
    (vi) Appropriate DoD health care providers should advise all 
pregnant smokers of the risks to the fetus.
    (vii) The Military Services shall conduct public education programs 
appropriate to various target audiences on the negative health 
consequences of smoking.
    (2) Physical fitness programs shall aim to encourage and assist all 
target populations to establish and maintain the physical stamina and 
cardiorespiratory endurance necessary for better health and a more 
productive lifestyle. In addition to the provisions of DoD Directive 
1308.1 \2\ and Secretary of Defense Memorandum physical fitness programs 
shall include the following elements.
---------------------------------------------------------------------------

    \2\ See footnote 1 to Sec. 85.5(a)(5).
---------------------------------------------------------------------------

    (i) Health professionals shall consider exercise programs conducive 
to improved health, and encourage appropriate use by patients. For 
military personnel, recommendations shall accord with military readiness 
requirements.

[[Page 575]]

    (ii) Commanders and managers should assess the availability of 
fitness programs at or near work sites and should consider integrating 
fitness regimens into normal work routines for military personnel as 
operational commitments allow.
    (iii) The chain of command should encourage and support community 
activities that develop and promote fitness among all target 
populations. Activities should be designed to encourage the active 
participation of many people rather than competition among a highly 
motivated few.
    (3) Nutrition programs shall aim to encourage and assist all target 
populations to establish and maintain dietary habits contributing to 
good health, disease prevention, and weight control. Weight control 
involves both nutrition and exercise, and is addressed in part in DoD 
Directive 1308.1. Nutrition programs include efforts not only to help 
individuals develop appropriate dietary habits, but also to modify the 
environment so that it encourages and supports appropriate habits. 
Additionally, nutrition programs shall include the following elements.
    (i) Nutritional advice and assistance shall be provided by 
appropriate DoD health care professionals to military personnel, 
retirees, and family members.
    (ii) In military and civilian dining facilities, where feasible, 
calorie information and meals with reduced amounts of fat, salt, and 
calories shall be made readily available.
    (iii) Snack concessions and vending machines, when feasible, shall 
offer nutritious alternatives, such as fresh fruit, fruit juices, and 
whole grain products.
    (iv) Public information campaigns shall be conducted by the Military 
Services to alert all target populations about the relationship between 
diet and risk of chronic diseases.
    (4) Stress management programs shall aim to reduce environmental 
stressors and help target populations cope with stress. Additionally, 
stress management programs shall include the following elements.
    (i) Commanders should develop leadership practices, work policies 
and procedures, and physical settings that promote productivity and 
health for military personnel and civilian employees.
    (ii) Health and fitness professionals are encouraged to advise 
target groups on scientifically supported stress management techniques.
    (iii) The topic of stress management should be considered for 
integration into the curricula at appropriate Professional Military 
Education programs and in the DoD Dependents Schools and section 6 
schools to familiarize students with scientifically supported concepts 
of stress management for day-to-day problems, life transitions, and life 
crises.
    (5) Alcohol and drug abuse prevention programs shall aim to prevent 
the misuse of alcohol and other drugs, eliminate the illegal use of such 
substances, and provide counseling or rehabilitation to abusers who 
desire assistance in accordance with the provisions of 32 CFR parts 62a 
and 62 and DoD Instruction 1010.6 \3\ Additionally, alcohol and drug 
abuse prevention programs shall include the following elements.
---------------------------------------------------------------------------

    \3\ See footnote 1 to Sec. 85.5(a)(5).
---------------------------------------------------------------------------

    (i) Appropriate DoD health care professionals shall advise all 
pregnant patients and patients contemplating pregnancy about the risks 
associated with the use of alcohol and other drugs during pregnancy.
    (ii) The Military Services shall conduct public education programs 
appropriate to various target audiences. Programs should include such 
topics as alcohol and drug use and pregnancy, driving while intoxicated, 
and adolescent alcohol and drug abuse.
    (6) Hypertension prevention programs shall aim to identify 
hypertension early, provide information regarding control and lifestyle 
factors, and provide treatment referral where indicated. Early 
identification of hypertension programs shall include the following 
elements.
    (i) Hypertension screening shall be provided as part of all medical 
examinations and the annual dental examination for active duty service 
members. Screening shall also be provided to other beneficiaries, 
excluding those in the Children's Preventive Dentistry Program, at the 
time of their original

[[Page 576]]

request for care. Patients with abnormal screening results shall receive 
appropriate medical referrals.
    (ii) Each DoD medical facility should periodically offer mass 
hypertension screening to encourage beneficiaries to monitor their blood 
pressure regularly.
    (iii) Occupational health clinics shall make hypertension screening 
readily available to civilian employees, and shall encourage employees 
to use this service.
    (iv) Public information campaigns emphasizing the dangers of 
hypertension and the importance of periodic hypertension screening and 
dietary regulation shall be conducted.



PART 86_BACKGROUND CHECKS ON INDIVIDUALS IN DOD CHILD CARE SERVICES 
PROGRAMS--Table of Contents



Secs.
86.1 Purpose.
86.2 Applicability.
86.3 Definitions.
86.4 Policy.
86.5 Responsibilities.
86.6 Procedures.

    Authority: 5 U.S.C. 2105, 10 U.S.C. chapter 47, and 42 U.S.C. 13041.

    Source: 80 FR 55756, Sept. 17, 2015, unless otherwise noted.



Sec. 86.1  Purpose.

    This part establishes policy, assigns responsibilities, and provides 
procedures to conduct criminal history checks on individuals involved in 
the provision of child care services for children under the age of 18 in 
DoD programs.



Sec. 86.2  Applicability.

    This part applies to the Office of the Secretary of Defense, the 
Military Departments, the Office of the Chairman of the Joint Chiefs of 
Staff and the Joint Staff, the Combatant Commands, the Office of the 
Inspector General of the Department of Defense, the Defense Agencies, 
the DoD Field Activities, and all other organizational entities within 
the DoD (referred to collectively in this part as the ``DoD 
Components'').



Sec. 86.3  Definitions.

    Unless otherwise noted, these terms and their definitions are for 
the purposes of this part.
    Adjudication. The evaluation of pertinent data in a background 
investigation, as well as any other available information that is 
relevant and reliable, to determine whether an individual is suitable 
for work.
    Adult. An individual 18 years of age or older regarded in the eyes 
of the law as being able to manage his or her own affairs.
    Applicant. A person upon whom a criminal history background check 
is, will be, or has been conducted, including individuals who have been 
selected or are being considered for a position subject to a criminal 
history background check, and individuals undergoing a recurring 
criminal history background check. Includes current employees.
    Child. A person under 18 years of age.
    Care provider. Current or prospective individuals hired with 
appropriated funds (APF) and nonappropriated funds (NAFs) for education, 
treatment or healthcare, child care or youth activities; individuals 
employed under contract who work with children; and those who are 
certified for care. Individuals working within programs that include: 
Child Development Programs, DoD dependents schools, DoD-operated or -
sponsored activities, foster care, private organizations on DoD 
installations, and youth programs.
    Child care services. Care or services provided to children under the 
age of 18 in settings including child protective services (including the 
investigation of child abuse and neglect reports), social services, 
health and mental health care, child (day) care, education (whether or 
not directly involved in teaching), foster care, residential care, 
recreational or rehabilitative programs, and detention, correctional, or 
treatment services, as defined in 42 U.S.C. 13041.
    Class. With regard to the designation of positions, a categorical 
descriptor identifying employee, contractor, provider, or volunteer 
positions by group rather than by individual position or title (e.g., 
``doctors'' or ``individuals supervising children in a school'').

[[Page 577]]

    Contractor. Any individual, firm, corporation, partnership, 
association, or other legal non-Federal entity that enters into a 
contract directly with DoD or a DoD Component to furnish supplies, 
services, or both including construction. Foreign governments or 
representatives of foreign governments that are engaged in selling to 
DoD or a DoD Component are defense contractors when acting in that 
context. A subcontractor is any supplier, distributor, vendor, or firm 
that furnishes supplies or services to or for a prime contractor or 
another subcontractor.
    Covered position. Defined in volume 731 of DoD Instruction 1400.25, 
``DoD Civilian Personnel Management System'' (available at http://
www.dtic. mil/whs/directives /corres/pdf /140025v 731.pdf).
    Criminal history background checks. A review of records, 
investigative reports, and other investigative elements to generate 
criminal history background findings to be used to make fitness or 
suitability determinations.
    Derogatory information. Information that may reasonably justify an 
unfavorable personnel suitability or fitness determination because of 
the nexus between the issue or conduct and the core duties of the 
position.
    DoD affiliation. A prior or current association, relationship, or 
involvement with the DoD or any elements of DoD, including the Military 
Departments.
    DoD-sanctioned programs. Any program, facility, or service funded, 
or operated by the DoD, a Military Department or Service, or any agency, 
unit, or subdivision thereof. Examples include, but are not limited to, 
chapel programs, child development centers, family child care (FCC) 
programs, medical treatment facilities, Department of Defense Education 
Activity (DoDEA) schools, recreation and youth programs. These do not 
include programs operated by other State or Federal government agencies 
or private organizations without the official sanction of a DoD entity.
    Duties. Those activities performed as an employee, contractor, 
provider, or volunteer that involve interaction with children, including 
any work performed in a child development program or DoDEA school.
    Employee. An individual, paid from funds appropriated by the 
Congress of the United States, or an individual employed by a NAF 
instrumentality in accordance with 5 U.S.C. 2105(c). Includes foreign 
nationals in accordance with Volume 1231 of DoD Instruction 1400.25, 
``DoD Civilian Personnel Management System'' (available at http://
www.dtic. mil/whs/directives/ corres/pdf/ 1400.25-V12 31.pdf), Military 
Service members working during their off-duty hours, and non-status, 
non-continuing temporary positions with specified employment periods not 
to exceed 1 year such as summer hires, student interns, and seasonal 
hires.
    FAP. Defined in DoD Directive 6400.1, ``Family Advocacy Program 
(FAP)'' (available at http://www.dtic. mil/whs/directives corres/pdf/ 
640001p.pdf).
    FAP records check. A review of FAP records maintained on an 
individual, including records maintained by the installation office and 
records in the Service Child and Spouse Abuse Central Registry in 
accordance with DoD Directive 6400.1. If the individual is the spouse or 
dependent of a Service member, this may entail review of records 
maintained on the sponsoring Service member. Installation and Service 
Central Registry checks are limited to identifying pending and met 
criteria incidents of maltreatment and do not include information 
related to incidents that did not meet criteria or any information 
contained in the clinical case record that is protected by section 
1320d-6 or 5 U.S.C. 552a.
    Federal Bureau of Investigation (FBI) criminal history background 
check. An FBI identification record--often referred to as a criminal 
history record or a ``rapsheet''--is a listing of certain information 
taken from fingerprint submissions retained by the FBI in connection 
with arrests and, in some instances, federal employment, naturalization, 
or military service. The process of responding to an identification 
record request is generally known as a criminal history background 
check.
    FCC. Defined in DoD Instruction 6060.2, ``Child Development Programs 
(CDPs)'' (available at http://www.dtic. mil/whs/directives/ corres/pdf/
606 002p.pdf).

[[Page 578]]

    FCC provider. Defined in DoD Instruction 6060.2.
    FCC adult family members. Any adult, 18 years of age or older, who 
resides in the home of an FCC provider for 30 or more consecutive days.
    Fitness. The reference to a person's level of character and conduct 
determined necessary for an individual to perform work for, or on behalf 
of, a Federal Agency as an employee in the excepted service (other than 
in a position subject to suitability) or as a contractor employee.
    Fitness determination. A decision, based on review of criminal 
history background check findings, that an individual is fit to perform 
duties in a position subject to criminal history background check. 
Fitness determinations will be ``favorable,'' meaning that the 
individual is fit to perform the duties, or ``unfavorable,'' meaning 
that the individual is not.
    Foreign nationals. Individuals who are not citizens of the United 
States.
    Foster care providers. A voluntary or court-mandated program that 
provides 24-hour care and supportive services in a family home or group 
facility, within government-owned or -leased quarters, for children and 
youth who cannot be properly cared for by their own family.
    Healthcare personnel. Military, civilian, or contract staff involved 
in the delivery of healthcare services.
    Host-government check. A criminal history background check conducted 
on foreign nationals in accordance with U.S. and host country treaties 
or agreements.
    Interim suitability or fitness determination. Part of the pre-
screening process in the identification and resolution of suitability or 
fitness issues, which occurs prior to the initiation of the required 
investigation. It involves the review of applications and other 
employment related documents. A favorable interim suitability or fitness 
determination is a status granted on a temporary basis, which permits 
individuals to work under line-of-sight supervision (LOSS) after the 
return of the advance FBI fingerprint check, pending completion of full 
investigative requirements and a final suitability determination.
    Investigative elements. The records, reports, or other individual 
elements that comprise the whole of information collected during a 
criminal history background check and used to make a fitness or 
suitability determination.
    Installations records check (IRC). A query of records maintained on 
an individual by programs and entities at the military installation 
where the individual lives, is assigned, or works, including military 
law enforcement and installation security records, drug and alcohol 
records, and FAP records for a minimum of 2 years before the date of the 
application.
    Investigative service provider (ISP). The company or agency 
authorized to perform background investigations on personnel on behalf 
of the agency.
    Line of Sight Supervision (LOSS). Continuous visual observation and 
supervision of an individual whose background check has not yet cleared, 
and has a favorable interim suitability or fitness determination, while 
engaged in child interactive duties, or in the presence of children in a 
DoD-sanctioned program or activity. The person providing supervision 
must have undergone a background check and received a final favorable 
suitability or fitness determination and be current on all periodic 
reinvestigations as required by this part.
    Met criteria. Reported incident of alleged maltreatment found to 
meet DoD incident determination criteria for child abuse or domestic 
abuse and entry into the Service FAP central registry of child abuse and 
domestic abuse reports.
    Position. An employee, contractor, provider, or volunteer role or 
function.
    Preliminary investigations. Those investigative elements of a 
criminal history background check, including those specified in Sec. 
86.6(f), which must be favorably completed and reviewed before an 
individual may be permitted to perform duties under LOSS.
    Providers. Individuals involved in child care services who have 
regular contact with children or may be alone with children in the 
performance of their duties. Includes FCC providers and individuals with 
overall management responsibility for child and youth programs.
    Regular contact with children. Recurring and more than incidental 
contact

[[Page 579]]

with or access to children in the performance of their duties on a DoD 
installation, program, or as part of a DoD-sanctioned activity.
    Reinvestigation. A criminal history background check conducted after 
the period of time prescribed by this part to ensure the individual 
remains eligible to provide child care services. Reinvestigation 
includes the same checks conducted for the initial investigation as 
outlined in Sec. 86.6(b).
    Respite care providers. Individuals who provide short-term care and 
supportive services in a family home or group facility within 
government-owned or -leased quarters.
    State criminal history repository (SCHR). A repository of criminal 
information that lists past state convictions, current offender 
information, and criminal identification information (fingerprints, 
photographs, and other information or descriptions) that identify a 
person as having been the subject of a criminal arrest or prosecution. 
Checks of the SCHR may include the State child abuse and neglect 
repository and the State sex offender registry.
    Suitability determination. A decision that a person is or is not 
suitable for a covered position within the DoD.
    Supervisor. The person supervising individuals who are permitted to 
perform duties only under LOSS, who is not necessarily the same as an 
employee's supervisor for employment purposes (e.g., ratings, assignment 
of duties).
    Volunteer. There are two types of volunteers:
    (1) Specified volunteers. Individuals who could have extensive or 
frequent contact with children over a period of time. They include, but 
are not limited to, positions involving extensive interaction alone, 
extended travel, or overnight activities with children or youth. Coaches 
and long-term instructors are among those who fall in this category. 
Specified volunteers are designated by the DoD Component head. 
Background checks are required in accordance with Sec. 86.6(b)(4).
    (2) Non-specified volunteers. Individuals who provide services that 
are shorter in duration than is required to perform a criminal history 
background check (e.g., one-day class trip, class party). Because non-
specified volunteers do not receive the same level of background checks 
as specified volunteers, non-specified volunteers must always be in line 
of sight of a staff member with a complete background check.
    Youth program. Defined in DoD Instruction 6060.4, ``Department of 
Defense (DoD) Youth Programs (YPs)'' (available at http://www.dtic. mil/
whs/directives/ corres/pdf/606 004p.pdf).



Sec. 86.4  Policy.

    It is DoD policy that:
    (a) Individuals who have regular contact with children under 18 
years of age in DoD-sanctioned child care services programs will undergo 
a criminal history background check in order to protect the health, 
safety and well-being of children in such programs.
    (b) All individuals who have regular contact with children under 18 
years of age in DoD-sanctioned child care services programs and who also 
have a current or prior DoD affiliation must also undergo an IRC.
    (c) DoD Component heads are delegated the authority to make 
suitability determinations and take subsequent actions in cases 
involving applicants and appointees to covered positions as defined by 5 
CFR 731.101, subject to the conditions in 5 CFR 731.103. This authority 
may be further delegated to authorized management officials, in writing, 
in accordance with volume 731 of DoD Instruction 1400.25.
    (1) The DoD Consolidated Adjudications Facility is responsible for 
making favorable suitability determinations for civilian personnel in 
accordance with Deputy Assistant Secretary of Defense for Civilian 
Personnel and Policy Memorandum, ``Responsibilities Under the Department 
of Defense Suitability and Fitness Adjudications for Civilians Employees 
Programs,'' August 26, 2013.
    (2) Military members are not subject to suitability adjudication 
under Volume 731 of DoD Instruction 1400.25, ``DoD Civilian Personnel 
Management System'' (available at http://www.dtic. mil/whs/directives/ 
corres/pdf/140025 v731.pdf). Military members are subject to the 
background check requirements of DoD Instruction 5200.02, ``Personnel 
Security Program'' (available at http://

[[Page 580]]

www.dtic. mil/whs/directives/ corres/pdf/ 520002-- 2014.pdf) and Sec. 
86.6.
    (d) Suitability and fitness determinations for individuals subject 
to this part will follow the guidance of Volume 731 of DoD Instruction 
1400.25 for APF employees and Subchapter 1403 of DoD Instruction 1400.25 
for NAF employees. Suitability and fitness are to be applied for the 
child care worker population in accordance with Volume 731 of DoD 
Instruction 1400.25 for appropriated fund employees in covered positions 
as defined by 5 CFR part 731.
    (e) Individuals who have received a favorable interim suitability or 
fitness determination based on the FBI criminal history background check 
are permitted to work under LOSS pursuant to 42 U.S.C. 13041(b)(3).



Sec. 86.5  Responsibilities.

    (a) Under the authority, direction, and control of the Under 
Secretary of Defense for Personnel and Readiness (USD(P&R)), the 
Assistant Secretary of Defense for Readiness and Force Management 
(ASD(R&FM)):
    (1) Ensures the conduct of criminal history background checks 
complies with DoD policy and the Criminal Justice Information Services 
Division of the FBI's operational and security policies and procedures.
    (2) Monitors DoD Component compliance with this part, applicable 
laws, and subsequent guidance issued by the applicable ISP.
    (b) Under the authority, direction, and control of the ASD(R&FM), 
the Deputy Assistant Secretary of Defense for Civilian Personnel Policy 
(DASD(CPP)) oversees development of DoD Component policies and 
procedures for the background check initiation, completion, 
adjudication, and suitability or fitness determination process for 
civilian employees in accordance with this part.
    (c) Under the authority, direction, and control of the ASD(R&FM), 
the Deputy Assistant Secretary of Defense for Military Community and 
Family Policy (DASD(MC&FP)) oversees development of DoD Component 
policies and procedures related to the background check initiation, 
completion, adjudication, and fitness determination process for 
specified volunteers, FCC providers and adults residing in their home, 
and others as identified in accordance with this part.
    (d) Under the authority, direction, and control of the ASD(R&FM), 
the Deputy Assistant Secretary of Defense for Military Personnel Policy 
(DASD(MPP)):
    (1) Implements this part for military personnel in accordance with 
DoD Instruction 5200.02.
    (2) Institutes effective quality assurance and quality control 
systems for chaplains, support staff, specified volunteers, and 
contractors who provide support to religious programs and activities 
identified in Sec. 86.6(a)(5)(v) and in accordance with this part.
    (e) Under the authority, direction, and control of the Deputy Chief 
Management Officer (DCMO) of the Department of Defense, the Director of 
Administration ensures that the adjudication of background 
investigations of individuals who have regular contact with children 
under 18 years of age in DoD-sanctioned programs considers the criteria 
for presumptive and automatic disqualification as specified in this 
part.
    (f) The Under Secretary of Defense for Acquisition, Technology, and 
Logistics (USD(AT&L)) establishes policies and procedures for the 
background check initiation, completion, adjudication, and fitness 
determination process for contractors in accordance with the 
requirements of this part.
    (g) The DoD Component heads:
    (1) Ensure Component compliance with the requirements of this part, 
applicable laws, and guidance for civilian employees.
    (2) Ensure compliance with suitability and fitness determination 
policies, requirements, and procedures for individuals in child care 
services in DoD programs as defined in 42 U.S.C. 13041 and DoD 
Instruction 1400.25.
    (3) Ensure compliance with policies, requirements, and procedures 
for LOSS of individuals with a favorable interim suitability 
determination.
    (4) Provide support and resources as required to implement this part 
and any Component-specific policies, requirements, and procedures, and 
ensure implementation.

[[Page 581]]



Sec. 86.6  Procedures.

    (a) Requirements for criminal history background checks. (1) All 
criminal history background checks required by this part must be 
initiated, tracked, and overseen by properly trained and vetted 
individuals who have been determined to be responsible for personnel 
security pursuant to DoD Instruction 5200.02 or human resource functions 
pursuant to Volume 731 of DoD Instruction 1400.25. Program managers, 
supervisors, and others not routinely performing personnel security and 
human resource functions are prohibited from managing the criminal 
history checks.
    (2) All employment applications completed by individuals subject to 
this part must comply with the requirements of 42 U.S.C. 13041(d).
    (3) The DoD Component will ensure that only authorized ISPs are 
used.
    (4) When permitted by the host government, foreign government checks 
of individuals serving on DoD installations overseas must be requested 
directly by the employing Military Service or agency in accordance with 
Volume 1231 of DoD Instruction 1400.25. As an alternative, DoD 
Components may request that overseas Military Service investigative 
elements obtain appropriate host-government checks and accept such 
checks if they are comparable to those required by 42 U.S.C. 13041. 
Where it is not possible to obtain criminal history checks comparable to 
those required by 42 U.S.C. 13041, foreign nationals will not be 
eligible for employment in child care services.
    (5) Individuals subject to criminal history background checks are:
    (i) All personnel employed or performing duties in DoD Child and 
Youth or other sanctioned child care services programs.
    (ii) Individuals providing in-home FCC.
    (iii) Personnel employed or performing duties in child and youth 
recreational and athletic programs (e.g., Morale, Welfare, and 
Recreation), including instructors and, when working in a facility when 
children and youth are present, custodial personnel.
    (iv) Individuals employed or performing duties in a DoDEA school 
(whether or not directly involved with teaching), including but not 
limited to teachers, administrators, other professional staff, aides, 
bus drivers, janitors, cafeteria workers, nurses, and attendants.
    (v) Chaplains, chaplains' assistants, religious program specialists, 
and other individuals employed or performing child care services duties 
for children under 18 years of age on a DoD installation or as part of a 
military-sanctioned program.
    (vi) Foster and respite child care providers on a DoD installation, 
program, or as part of a military-sanctioned activity.
    (vii) Health and mental health care personnel, employed or 
performing child care services duties on a DoD installation, in a DoD 
sanctioned program, or as part of a military-sanctioned activity, 
including but not limited to physicians, dentists, nurse practitioners, 
clinical social workers, physical therapists, speech-language 
pathologists, clinical support staff (including residents), registered 
nurses, licensed practical nurses, nursing assistants, play therapists, 
and technicians.
    (viii) Individuals employed or performing child care duties in 
social services, residential care, rehabilitation programs, detention, 
and correctional services on a DoD installation, program, or as part of 
a military-sanctioned activity.
    (ix) Any other individuals reasonably expected to have regular 
contact with children on a DoD installation, in a DoD sanctioned 
program, or as part of a military-sanctioned activity, including 
specified volunteers and any person 18 years of age or older residing in 
an FCC, foster, or respite care home. Healthcare providers participating 
in TRICARE shall be governed by TRICARE policy.
    (6) The DoD Components will also determine any other classes of 
positions subject to criminal history background checks, taking care to 
ensure that all individuals who have regular contact with children when 
providing child care services are investigated and the requirement must 
pertain to the class as a whole.

[[Page 582]]

    (7) Individuals designated in non-specified volunteer positions must 
always be under direct LOSS in accordance with paragraph (g) of this 
section.
    (b) Types of background checks. Procedures for conducting a 
background check on individuals in paragraphs (a)(5)(i) through (ix) of 
this section differ based on the employment status of the individual. 
Military members are subject to the background check requirements of DoD 
Instruction 5200.02 and this section. The FBI criminal history 
background checks for all categories of individuals must be fingerprint-
based and fingerprints must be captured using an FBI-approved system. 
SCHR checks may require hardcopy fingerprint submissions. State checks 
must include the state child abuse and neglect repository and the state 
sex offender registry. The Component must request a check of the state 
child abuse and neglect repository and the State sex offender registry 
if they are not automatically checked as part of the standard SCHR 
check.
    (1) Criminal history background checks for DoD civilian and military 
personnel who are investigated at the NACI or a higher level pursuant to 
DoD's personnel security program. (i) DoD civilian and military 
personnel required by DoD Instruction 5200.02 to be investigated 
according to the requirements of the National Agency Check and Inquiries 
(NACI) or a higher level investigation and who have regular contact with 
children under 18 years of age in DoD-sanctioned programs will be 
investigated and adjudicated in accordance with the provisions of DoD 
Instruction 5200.02.
    (ii) These personnel will also be subject to the additional 
requirements of the Child Care National Agency Check and Inquiries 
(CNACI) and the criteria for presumptive and automatic disqualification 
as specified in paragraph (c) of this section.
    (2) Criminal history background checks for civilian employees (APF 
and NAF). (i) In accordance with 42 U.S.C. 13041 and Volume 731 and 
Subchapter 1403 of DoD Instruction 1400.25, complete a CNACI, which 
includes an FBI criminal history background check conducted through the 
Criminal Justice Information Services Division of the FBI and SCHR 
checks through State repositories of all States that an employee or 
prospective employee lists as current and former residences on an 
employment application. Results of an advanced FBI fingerprint check 
must be provided before completion of the full CNACI to determine 
employment under LOSS.
    (ii) Individuals with a prior DoD affiliation must also complete an 
IRC, which includes an installation law enforcement check, drug and 
alcohol records check, and a check of the Family Advocacy Program (FAP) 
records for a minimum of 2 years before the date of the application.
    (3) Criminal history background checks for FCC providers and 
contractors. (i) In accordance with 42 U.S.C. 13041, complete a CNACI, 
which includes an FBI criminal history background check conducted 
through the Criminal Justice Identification Services Division of the FBI 
and SCHR checks through State repositories of all States that a provider 
or contractor or prospective provider or contractor lists as current and 
former residences in an employment application. Results of an advanced 
FBI fingerprint check must be provided before completion of the full 
CNACI. Results for contractors may be used to determine employment under 
LOSS.
    (ii) Individuals with a prior DoD affiliation must also complete an 
IRC, including an installation law enforcement check, drug and alcohol 
records check, and a check of the FAP records for a minimum of 2 years 
before the date of the application.
    (4) Criminal history background checks for others. (i) In accordance 
with 42 U.S.C. 13041, only an FBI advanced fingerprint check is required 
for criminal history background checks for volunteers and persons 18 
years of age or older residing in an FCC, foster, or respite care home.
    (ii) Individuals with a prior DoD affiliation must also complete an 
IRC to include: an installation law enforcement check, drug and alcohol 
records check, and a check of the FAP records for a minimum of 2 years 
before the date of the application.
    (5) Timely completion. To ensure timely completion, the DoD 
Components

[[Page 583]]

will establish procedures to initiate or request criminal history 
background check results, follow up to ensure checks have been 
completed, and address situations where there is a delay in receiving 
results. In no event will an individual subject to this part be presumed 
to have a favorable background check merely because there has been a 
delay in receiving the results of the requisite background check. If no 
response from the state(s) is received within 60 days, determinations 
based upon the CNACI report may be made.
    (c) Criteria for disqualification based on results on criminal 
history background checks. The ultimate decision to determine how to use 
information obtained from the criminal history background checks in 
selection for positions involving the care, treatment, supervision, or 
education of children must incorporate a common sense decision based 
upon all known facts. Adverse information is evaluated by the DoD 
Component who is qualified at the appropriate level of command in 
interpreting criminal history background checks. All information of 
record both favorable and unfavorable will be assessed in terms of its 
relevance, recentness, and seriousness. Likewise, positive mitigating 
factors should be considered. Final suitability decisions shall be made 
by that commander or designee. Criteria that will result in 
disqualification of an applicant require careful screening of the data. 
A disqualifying event may be the basis for a non-selection, withdrawal 
of a tentative offer of employment, ineligibility for facility access, 
removal from a contract, a suitability action under 5 CFR part 731, a 
probationary termination, an adverse action, or other appropriate 
action.
    (1) Criteria for automatic disqualification. No person, regardless 
of circumstances, will be approved to provide child care services 
pursuant to this part if the background check discloses:
    (i) That the individual has been convicted in either a civilian or 
military court (to include any general, special or summary court-martial 
conviction) or received non-judicial punishment (under Article 15 or 
chapter 47 of Title 10, U.S.C., also known and referred to in this part 
as ``the Uniform Code of Military Justice (UCMJ)'') for any of the 
following:
    (A) A sexual offense.
    (B) Any criminal offense involving a child victim.
    (C) A felony drug offense.
    (ii) That the individual has been held to be negligent in a civil 
adjudication or administrative proceeding concerning the death or 
serious injury to a child or dependent person entrusted to the 
individual's care.
    (2) [Reserved]
    (d) Suitability and fitness determinations for individuals involved 
with the provision of child care services. Suitability and fitness 
determinations for individuals subject to this part will be made in 
accordance with Volume 731, Volume 1231, and Subchapter 1403 of DoD 
Instruction 1400.25, and part 1201 of 5 U.S.C., as appropriate. The 
following may be the basis for non-selection, withdrawal of a tentative 
offer of employment, ineligibility for facility access, removal from a 
contract, a suitability action under DoD Instruction 1400.25, a 
probationary termination, an adverse action, or other appropriate 
action.
    (1) Criteria for presumptive disqualification. Officials charged 
with making determinations pursuant to this part must include in the 
record a written justification for any favorable determination made 
where background check findings include any of the following 
presumptively disqualifying information:
    (i) A FAP record indicating that the individual met criteria for 
child abuse or neglect or civil adjudication that the individual 
committed child abuse or neglect.
    (ii) Evidence of an act or acts by the individual that tend to 
indicate poor judgment, unreliability, or untrustworthiness in providing 
child care services.
    (iii) Evidence or documentation of the individual's past or present 
dependency on or addiction to any controlled or psychoactive substances, 
narcotics, cannabis, or other dangerous drug without evidence of 
rehabilitation.

[[Page 584]]

    (iv) A conviction, including any general, special, or summary court-
martial conviction, or non-judicial punishment under Article 15 of the 
UCMJ for:
    (A) A crime of violence committed against an adult.
    (B) Illegal or improper use, possession, or addiction to any 
controlled or psychoactive substances, narcotics, cannabis, or other 
dangerous drug.
    (v) A civil adjudication that terminated the individual's parental 
rights to his or her child, except in cases where the birth parent 
places his or her child for adoption.
    (2) Evaluation of presumptively disqualifying information. The DoD 
Components will establish and oversee procedures for the evaluation of 
presumptively disqualifying information for all categories of 
individuals in paragraph (b) of this section. Evaluation of 
presumptively disqualifying information for APF and NAF personnel must 
be in accordance with Volume 731 and Subchapter 1403 of DoD Instruction 
1400.25, respectively.
    (3) Criteria for disqualification under LOSS. If an investigation of 
an individual who is currently working under LOSS subsequently results 
in an unfavorable determination, the DoD Components will take action to 
protect children by reassigning or removing the individual from 
employment, contract, or volunteer status.
    (4) Disputes and appeals. The DoD Components will establish and 
oversee procedures for the communication of determinations and the 
appeal of unfavorable determinations for all categories of individuals 
in paragraph (b) of this section. The procedures for civilian personnel 
are subject to Volume 731 of DoD Instruction 1400.25 for APF employees 
and Subchapter 1403 of DoD Instruction 1400.25 for NAF employees.
    (e) Reinvestigation. (1) All DoD civilian employees (both APF and 
NAF), contractors, military personnel, and any other individuals 
reasonably expected to have regular contact with children on a DoD 
installation, program, or as part of a military-sanctioned activity, 
including specified volunteers and any person 18 years of age or older 
residing in an FCC, foster, or respite care home, who continue to 
perform duties in the position for which their initial background check 
was conducted, must undergo a reinvestigation every 5 years. The 
reinvestigation must consist of the same check conducted for the initial 
investigation as outlined in paragraph (b) of this section.
    (2) All FCC providers and adults residing in an FCC home must 
undergo an annual reinvestigation utilizing the Special Agreement Check 
(SAC) for childcare providers. The SAC reinvestigation consists of an 
update to the initial investigation as outlined in paragraph (b) of this 
section.
    (3) If the reinvestigation results in an unfavorable determination, 
the DoD Components will take action to protect children by reassigning 
or removing the individual from employment, contract, or volunteer 
status.
    (4) If derogatory information surfaces within the 5 years before the 
reinvestigation, the DoD Component will take action to protect children 
by reassigning or suspending from having contact with children, any 
individual, contractor or volunteer until the case is resolved.
    (f) Self-reporting. (1) Individuals who have regular contact with 
children under 18 years of age in DoD-sanctioned programs who have a 
completed background check are required to immediately report subsequent 
automatic disqualification criteria under paragraph (c)(1) of this 
section and presumptive disqualification criteria under paragraphs 
(c)(2)(i), (iv), and (v) of this section.
    (2) The DoD Components will establish procedures for:
    (i) Informing individuals of the requirement to immediately report 
any incident or conviction that may invalidate their prior background 
check and make them ineligible to work or have contact with children.
    (ii) Responding to and evaluating reports made by such individuals, 
and taking appropriate action until the case has been resolved or 
closed.
    (g) Eligibility to perform duties under LOSS. The DoD Components 
will establish Component-specific procedures, policies, and 
requirements, subject to the requirements of this paragraph, to permit 
applicants for whom a criminal

[[Page 585]]

history background check has been initiated but not yet completed, to 
perform duties under LOSS upon favorable findings of preliminary 
investigations.
    (1) No presumption of right. No individual will be permitted to 
perform duties under LOSS in a position subject to criminal history 
background check without authorizing policy or other written permission 
from a DoD Component head.
    (2) Preliminary investigations required. No individual will be 
permitted to perform duties under LOSS in a position subject to criminal 
history background check unless the following investigative elements 
have been reviewed and determined favorably:
    (i) An IRC, including installation law enforcement records check, 
drug and alcohol records, and FAP records check for a minimum of 2 years 
before the date of the application if the individual has a preexisting 
DoD affiliation.
    (ii) Initial results from the advanced FBI fingerprint criminal 
history background check (not the full check).
    (3) Exception for non-specified volunteers. Due to the controlled, 
limited duration of an activity for these individuals, an advanced FBI 
fingerprint criminal history background check is not required. Non-
specified volunteers will be permitted to perform duties and services 
under LOSS for the duration of the activity.
    (4) Supervisor requirements. The supervisor must be a person who:
    (i) Has undergone and successfully completed the required background 
check.
    (ii) Has complied, as required, with the periodic reinvestigation 
requirement for a recurring criminal history background check.
    (iii) Has not previously exhibited reckless disregard for an 
obligation to supervise an employee, contractor, or volunteer.
    (5) Video surveillance. The use of video surveillance equipment to 
provide temporary oversight for individuals whose required background 
checks have been initiated but not completed is acceptable provided it 
is continuously monitored by an individual who has undergone and 
successfully completed all required background checks. This provision 
shall meet the intent of a flexible and reasonable alternative for 
``direct sight supervision.''
    (6) Conspicuous identification of individuals subject to LOSS. 
Individuals permitted to perform duties solely under LOSS must be 
conspicuously marked by means of distinctive clothing, badges, 
wristbands, or other visible and apparent markings. The purpose of such 
markings must be communicated to staff, customers, parents, and 
guardians by conspicuous posting or printed information.
    (7) Permissible performance of duties without supervision. 
Individuals otherwise required to perform duties only under LOSS may 
perform duties without supervision if:
    (i) Interaction with a child occurs in the presence of the child's 
parent or guardian;
    (ii) Interaction with children is in a medical facility, subject to 
supervisory policies of the facility, and in the presence of a mandated 
reporter of child abuse; or
    (iii) Interaction is necessary to prevent death or serious harm to 
the child, and supervision is impractical or unfeasible (e.g., response 
to a medical emergency, emergency evacuation of a child from a hazardous 
location).



PART 88_ TRANSITION ASSISTANCE PROGRAM (TAP) FOR MILITARY PERSONNEL--
Table of Contents



Sec.
88.1 Purpose.
88.2 Applicability.
88.3 Definitions.
88.4 Policy.
88.5 Responsibilities.
88.6 Procedures.

Appendix A to Part 88--Career Readiness Standards
Appendix B to Part 88--MLC TAP
Appendix C to Part 88--Pre-Separation or Transition Counseling
Appendix D to Part 88--IDP and ITP
Appendix E to Part 88--Transition GPS (Goals, Plans, Success)
Appendix F to Part 88--DOLEW Exemptions
Appendix G to Part 88--Virtual Curricula
Appendix H to Part 88--Capstone
Appendix I to Part 88--Data, Information Collection, Data Sharing, and 
          Management Portfolio

    Authority: 10 U.S.C. Chapter 58.

[[Page 586]]


    Source: 80 FR 74683, Nov. 30, 2015, unless otherwise noted.



Sec. 88.1  Purpose.

    This part establishes policy, assigns responsibilities, and 
prescribes procedures for administration of the DoD TAP.



Sec. 88.2  Applicability.

    This part:
    (a) Applies to the Office of the Secretary of Defense (OSD), the 
Military Departments, the Office of the Chairman of the Joint Chiefs of 
Staff (CJCS) and the Joint Staff (JS), the Combatant Commands, the 
Office of the Inspector General of the Department of Defense, the 
Defense Agencies, the DoD Field Activities, and all other organizational 
entities within the DoD (referred to collectively in this part as the 
``DoD Components'').
    (b) Does not apply to members of the Army and Air National Guard 
serving under 32 U.S.C. 101.



Sec. 88.3  Definitions.

    Unless otherwise noted, these terms and their definitions are for 
the purpose of this part.
    Active Component (AC). Defined in 10 U.S.C. 101.
    Active Duty. Defined in 10 U.S.C. 101.
    Active Service. Defined in 10 U.S.C. 101.
    Active Status. Defined in 10 U.S.C. 101.
    Brick and mortar classroom. A learning environment where 
participants attend a Transition Goals, Plans, Success (GPS) module in a 
traditional classroom facility led by an in-person instructor or 
facilitator.
    Credentialing. The act of obtaining certificates, licensure, or 
other official verification of competency accepted by civilian industry 
or federal, State, or local authorities.
    Career Readiness Standards (CRS). A set of common and specific 
activities and associated relevant deliverables (documentation within 
the last 12 months) that must be achieved to demonstrate Service members 
are prepared to transition effectively to pursue their personal post-
separation higher education, career technical training, and civilian 
employment goals.
    Continuum of Military Service Opportunity Counseling. Counseling 
that provides information to AC Service members on the procedures for 
and advantages of affiliating with the Selected Reserve, pursuant to 10 
U.S.C. 1142.
    Department of Labor (DOL) American Job Centers. American Job Centers 
(or AJCs) provide free help to job seekers and employers for a variety 
of career and employment-related needs. More than 2,500 AJCs are located 
throughout the United States. Priority of service applies to employment 
and training programs funded by the Department of Labor. Many locations 
have staff directly assigned to assist veterans in finding employment. 
Although the AJC makes assistance available to everyone looking for a 
job, veterans are given priority. Priority of Service for veterans at 
the AJC is offered to all veterans. This means that veterans are offered 
services before non-veterans and have priority of access to all DOL-
funded employment and training programs offered at the AJC.
    DOL Employment Workshop. Mandatory DOL-led workshop, which focuses 
on the mechanics of resume writing, networking, job search skills, 
interview skills, and labor market research.
    DOL Gold Card. The Gold Card initiative is a joint effort of the 
Department of Labor's Employment and Training Administration (ETA) and 
the Veterans' Employment and Training Service (VETS). An eligible 
veteran can present the Gold Card at his/her local AJC to receive 
enhanced intensive services including up to six months of follow-up.
    Eligible Service member. Defined in 10 U.S.C. 101.
    Facilitator. A person trained or qualified as a subject matter 
expert to deliver appropriate components of Transition GPS. The 
facilitator's primary duty is presenting instruction, information, and 
engaging curricula to ensure Service members meet learning objectives.
    Individual Development Plan (IDP). A written plan designed to meet 
particular goals for individual career development that is aligned with 
the eligible Service member's organizational and operational missions. 
It outlines developmental objectives with training

[[Page 587]]

activities (e.g., professional military education and military 
certifications). Service members will align the IDP effectively to make 
use of active duty time, experiences, training, and education towards 
personal long-term post-transition career goals.
    Individual Transition Plan (ITP). An OSD standardized document that 
is created, evolves and is maintained by the Service member that 
provides the framework to perform detailed assessments of their personal 
and professional preparedness to achieve realistic career goals after 
separation from active duty.
    Involuntary separation. A Service member is considered to be 
involuntarily separated if the member was involuntarily discharged or 
denied reenlistment under adverse or other-than-adverse conditions 
(e.g., force shaping) pursuant to 10 U.S.C. 1141.
    ITP Checklist. An automated tool to document that Service members 
have met the CRS.
    ITP Review. A module in the transition GPS Core Curricula where TAP 
staff explains the purpose, use, function, and responsibilities 
associated with the ITP. Eligible Service members must produce evidence 
of this deliverable indicating they met this CRS before separation, 
retirement, or release from active duty.
    Job placement counseling. Transition services pursuant to 10 U.S.C. 
1142 for one-on-one counseling that refines and guides spouses of 
eligible Service members on all facets of the job search process, to 
include writing resumes.
    Military Occupation Code (MOC) Crosswalk. A curriculum that 
translates military skills, training, and experience into identification 
of required civilian credentialing appropriate for civilian jobs.
    National Guard. Defined in 10 U.S.C. 101 and 32 U.S.C. 101.
    Personal Financial Planning. A curriculum that provides Service 
members with skills to develop a post-separation 12-month budget. It 
also assists Service members in learning how to manage their own 
finances as civilians, both at home and in the workplace.
    Recovering Service member. Defined in Department of Defense/
Department of Veterans Affairs, Wounded, Ill, and Injured Senior 
Oversight Committee Memorandum, ``Implementation of Wounded, Ill and 
Injured Related Standard Definitions,'' December 10, 2008.
    Relocation assistance. Information about the benefits and services 
provided by the Military Departments related to transport of household 
goods for transitioning Service members and their dependents and any 
entitlements for storage.
    Reserve Component (RC). Defined in 10 U.S.C. 101 and 37 U.S.C. 101. 
The Reserve Corps of the Public Health Service is not eligible for TAP 
services.
    Resilient Transitions. A module in the Transition GPS Core 
Curriculum that introduces participants to resources on transition-
related issues, including stress management, considerations for 
families, support systems, value of a mentor, and special issues, that 
eligible Service members and their families may encounter as they 
prepare for a post-military life. These issues may have a significant 
negative impact on the transition process if overlooked. The focus of 
the curriculum is to connect the Service member with agencies and 
organizations based on the individual Service member's need for support 
and guidance.
    Short notice separation. An unanticipated separation with 30 days or 
fewer before separation, retirement, or release from active duty.
    TAP Coordinating Council. Individuals designated in this part to 
participate in updating and improving the TAP. The TAP Coordinating 
Council meets at least quarterly.
    TAP Governance Body. A structure, established in October 2013, 
comprised of interagency senior leadership from the DoD, VA, DOL, 
Department of Homeland Security (DHS), Department of Education (ED), 
Small Business Administration (SBA), and the Office of Personnel 
Management (OPM), that steers and monitors implementation of the TAP 
redesign and modifies TAP, as needed, to meet the changing environment 
consisting of the TAP Executive Council (EC) and the Senior Steering 
Group (SSG). See Interagency Statement of Intent, ``Transition 
Assistance for Separating Service Members'' (available at http://
prhome.defense.gov /

[[Page 588]]

RFM/ TVPO) for a description of the TAP governance structure.
    TAP interagency parties. By law, Federal agencies are required to 
deliver TAP services to transitioning Service members. See Sec. 88.6 
for a list of the TAP interagency parties.
    TAP Staff. Subject matter experts hired by OSD and the Military 
Services, to provide services and programs that prepare Service members 
for transition from active duty to civilian life.
    Targeted population. A population of eligible Service members 
consisting of those who are:
    (1) 18 to 24 years old;
    (2) Completing first-term enlistments;
    (3) Involuntarily separating due to force shaping; and/or
    (4) Separating on short notice from military service.
    Transition. The preparation and process for moving from active duty 
service to the civilian sector.
    Transition GPS. A package of activities and curricula specifically 
designed to provide eligible Service members with the targeted set of 
knowledge, skills, documentation, and assistance required to meet the 
CRS before transition and enable a successful transition from active 
duty to civilian life.
    Transition GPS Core Curricula and Tracks. Components of Transition 
GPS based on value-added learning objectives that enable Service members 
to become career ready. The Core Curricula builds the CRS common to all 
Service members. Transition GPS tracks are chosen by Service members to 
meet Accessing Higher Education and Career Technical Training CRS or to 
pursue business ownership or other self-employment.
    Transition GPS Participant Assessment. A web-based evaluation 
completed by the Service member about the Transition GPS modules, 
tracks, and virtual curricula. It includes curriculum and instruction 
materials, learning outcomes, facilitator performance, facilities, and 
logistics. Participant feedback from the assessment ensures that 
Transition GPS meets the needs and expectations of transitioning Service 
members and is outcome based. Information collected in the assessment 
will support the performance monitoring, evaluation, and reoccurring 
modifications to Transition GPS.
    Transition overview. The Transition GPS module that explains the 
transition process in terms of who, what, where, when, and why. It is 
intended to gain the participant's attention and emphasize the 
importance of preparing for transition and making the most of the 
information provided. It is also intended to provide an overview of the 
Transition GPS Core Curricula program and the benefits of preparation 
for active involvement in each session. A skilled trainer well versed in 
the overall TAP should facilitate the transition assistance overview 
session.
    Unanticipated Separation. Service members released from active duty 
before completion of enlistment, contract, or orders.
    VA Benefits Briefings I and II. VA-led mandatory briefings that 
provide eligible Service members with hands-on training and information 
on available veterans' benefits and services.
    Virtual Transition GPS Curricula. A web-based version of the 
Transition GPS curricula that provides an alternative delivery method 
for Service members who cannot attend installation-based training to 
access Transition GPS classes.
    Warm Handover. A Capstone process between respective Military 
Departments and appropriate interagency parties resulting in the person-
to-person connection of Service members to services and follow-up 
resources as needed. The Warm Handover provides a confirmed introduction 
and assurance that the appropriate interagency party/parties 
acknowledge(s) that an eligible Service member requires post-military 
assistance and the interagency party/parties is/are willing to follow 
through on providing assistance to meet the needs of Service members and 
assist them in attaining the CRS and making a successful transition.

    Effective Date Note: At 81 FR 41808, June 28, 2016, Sec. 88.3 was 
amended by revising the definition of ``Involuntary separation'', 
effective Sept. 1, 2016. For the convenience of the user, the revised 
text is set forth as follows:



Sec. 88.3  Definitions.

                                * * * * *

[[Page 589]]

    Involuntary separation. A Service member is considered to be 
involuntarily separated if the member was involuntarily discharged or 
denied reenlistment under other-than-adverse conditions (e.g., force 
shaping) pursuant to 10 U.S.C. 1141.

                                * * * * *



Sec. 88.4  Policy.

    It is DoD policy that:
    (a) The TAP:
    (1) Prepares all eligible members of the Military Services for a 
transition from Active Duty back to civilian life.
    (2) Enables eligible Service members to fulfill the requirements of 
the VOW to Hire Heroes Act and meet CRS as required by this part.
    (3) Is the overarching program that provides transition assistance, 
information, training, and services to eligible transitioning Service 
members to prepare them to be career ready when they separate, retire, 
or are released from active duty back to civilian life. The TAP consists 
of multiple elements, including: The Transition GPS curricula, the 
components of which are outlined in appendix E to part 88; policy and 
procedures; information technology (IT) infrastructure; research, 
studies and survey data; performance measures and outcomes; assessments; 
curricula development in both brick and mortar and virtual settings and 
modifications; CRS; accountability data; and resources required to 
implement transition assistance.
    (b) Components are integrated throughout the eligible Service 
member's Military Life Cycle (MLC) TAP at key touch points. The 
Transition GPS component of TAP consists of curriculum, counseling, 
information, referral, and deliverables to enable eligible Service 
members to meet the CRS.
    (c) This policy establishes a TAP interagency governance structure 
according to DoD Instruction 5105.18, ``DoD Intergovernmental and 
Intragovernmental Committee Management Program'' (available at http://
www.dtic. mil/whs/directives/ corres/pdf/ 510518p.pdf), referred to in 
this part as the TAP EC and SSG. DoD will support and carry out the DoD 
mission of the governance structure as set out in the Interagency 
Statement of Intent, dated August 15, 2013, ``Transition Assistance for 
Separating Service Members.'' The EC will designate working groups as 
appropriate. DoD representation to working groups will be in accordance 
with Sec. 88.5 of this part.



Sec. 88.5  Responsibilities.

    (a) Under the authority, direction, and control of the Under 
Secretary of Defense (Personnel and Readiness) (USD(P&R)), the Assistant 
Secretary of Defense for Manpower and Reserve Affairs Readiness and 
Force Management (ASD(M&RA)):
    (1) Provides policy, direction, and oversight to the Transition to 
Veterans Program Office (TVPO);
    (2) Provides oversight and governance for the TAP and serves as the 
DoD lead chair of the TAP EC on a rotational basis with DOL and the VA;
    (3) Oversees TAP policy and programs, monitors compliance with TAP 
provisions, and provides guidance to DoD Component heads; and
    (4) Coordinates with the CJCS to provide JS Senior Enlisted Advisor 
participation for the TAP EC and Senior Enlisted Advisor representation 
to the TAP SSG;
    (b) Under the authority, direction, and control of USD(P&R)), the 
Assistant Secretary of Defense for Health Affairs (ASD(HA)):
    (1) Ensures that the Defense Health Agency provides transitional 
medical and dental care information pursuant to 10 U.S.C. 1145 to the 
TVPO for incorporation into Pre-separation Counseling; and
    (2) Provides representation to the TAP EC and SSG working groups, as 
necessary;
    (c) Under the authority, direction, and control of the USD(P&R), the 
Assistant Secretary of Defense for Reserve Affairs (ASD(RA)):
    (1) Helps the TVPO establish and publish guidance for participation 
in the TAP that is specific to eligible RC Service members as defined in 
law and policy;
    (2) Coordinates with TVPO to integrate elements of Transition GPS, 
before the DD Form 214, ``Certificate of Release from Active Duty,'' 
August 20, 2009, into the Yellow Ribbon Reintegration Program in 
conjunction with the policy established in DoD Instruction

[[Page 590]]

1342.28, ``DoD Yellow Ribbon Reintegration Program (YRRP)'' (available 
at http://www.dtic.mil /whs/directives /corres/pdf/ 134228p.pdf), as 
appropriate;
    (3) Provides Executive Director, Family and Employer Programs 
Policy, Senior Executive Service (SES), representation to the TAP SSG; 
and
    (4) Provides representation to the TAP EC and SSG working groups, as 
necessary.
    (d) Under the authority, direction, and control of the (ASD (M&RA), 
the Deputy Assistant Secretary of Defense for Military Community and 
Family Policy (DASD(MC&FP)):
    (1) Develops policy and programs in DoD Instruction 1342.22, 
``Military Family Readiness'' (available at http://www.dtic.mil /whs /
directives /corres /pdf/ 134222p.pdf) and other applicable MC&FP 
issuances that complements TAP;
    (2) Coordinates with TVPO on the roles, responsibilities, and 
policies set out in DoD Instruction 1342.22. The roles include 
coordination with:
    (i) Installation education officers that impact the delivery of the 
Transition GPS Accessing Higher Education track;
    (ii) Certified financial counselors that impact the delivery of the 
Transition GPS Core Curricula Personal Financial Planning for Transition 
module;
    (iii) TAP staff, in conjunction with Military Departments whose 
staff are functionally aligned with DASD(MC&FP), regarding the delivery 
of the Transition GPS components to enable eligible Service members to 
meet CRS;
    (3) Provides policy regarding job placement counseling for the 
spouses of eligible transitioning Service members and career change 
counseling to Service members and dependents of eligible Service members 
in accordance with 10 U.S.C. Chapter 58; and
    (4) Provides representation to the TAP EC and SSG working groups, as 
necessary.
    (e) Under the authority, direction, and control of the (ASD(R&FM)), 
the Deputy Assistant Secretary of Defense for Military Personnel Policy 
(DASD(MPP)) provides:
    (1) Information and updates on entitlements and policies affecting 
eligible Service members as defined in law and policy; and
    (2) Representation to the TAP EC and SSG working groups, as 
necessary.
    (f) Under the authority, direction, and control of the ASD(R&FM), 
the Deputy Assistant Secretary of Defense for Readiness (DASD(R)):
    (1) Provides information and updates on entitlements and policies 
affecting eligible Service members as defined in law and policy;
    (2) To the extent possible and where available, ensures DASD(R) 
programs and policies related to job training, employment skills 
training, apprenticeships, and internships complement those programs and 
policies that govern the TAP that fall under the purview of TVPO in 
conjunction with DoD Instruction 1322.29, ``Job Training, Employment 
Skills Training, Apprenticeships, and Internships (JTEST-A1) for 
Eligible Service Members'' (available at http://www.dtic.mil /whs/
directives /corres/pdf /132 229p.pdf);
    (3) Coordinates private-sector credentialing, licensing, and 
training outreach, and collaborates with the TVPO to align transition 
preparation across the MLC TAP and facilitate the military talent 
pipeline from the Military Departments to the civilian work force; and
    (4) Provides representation to the TAP EC and SSG working groups, as 
necessary;
    (g) Under the authority, direction, and control of the USD(P&R), the 
Director, Department of Defense Human Resource Activity (DoDHRA) 
provides:
    (1) Administrative support to TVPO, including human capital, 
funding, and logistics; and
    (2) Representation to the TAP EC and SSG working groups, as 
necessary.
    (h) Under the authority, direction, and control of the Director, 
DoDHRA, the Director, Defense Suicide Prevention Office (DSPO):
    (1) Provides suicide prevention and resource information to TVPO for 
incorporation into Transition GPS programming for eligible Service 
members as defined in statute and policy pursuant to 10 U.S.C. Chapter 
58;

[[Page 591]]

    (2) Coordinates with TVPO on the role, responsibilities, and 
training of Suicide Prevention Program Managers (SPPMs), in conjunction 
with the Military Departments as it relates to Transition GPS; and
    (3) Provides representation to the TAP EC and SSG working groups, as 
necessary.
    (i) Under the authority, direction, and control of the Director, 
DoDHRA, the Director, Defense Manpower Data Center (DMDC):
    (1) Oversees implementation of the TAP data collection, data 
sharing, and IT portfolio management requirements as described in this 
section;
    (2) Provides assistance to TVPO with the establishment of business 
processes for data collection, data sharing, web services, and cost 
sharing related to IT portfolio management requirements in this part;
    (3) Provides representation to the TAP EC and SSG working groups, as 
necessary; and
    (4) Provides program status updates, as determined by the TVPO, 
based on data housed within DMDC capabilities;
    (j) Under the authority, direction, and control of the ASD(R&FM), 
the Director, TVPO:
    (1) Coordinates TAP policies, programs, and delivery with the 
USD(P&R);
    (2) Develops policy, strategic guidance, and program goals for the 
TAP and Transition GPS; and reviews, modifies, and reissues such 
guidance, as required;
    (3) Oversees the Military Departments' implementation of TAP;
    (4) Implements the requirements of the TAP governance bodies as 
defined by Interagency Statement of Intent, ``Transition Assistance for 
Separating Service Members'';
    (5) In conjunction with ASD(R&FM), supports and coordinates meetings 
and activities for TAP governance bodies, as defined in Sec. 88.3;
    (6) Serves as the DoD lead chair of the TAP SSG on a rotational 
basis with DOL and VA;
    (7) Establishes processes to monitor compliance with statutory 
mandates and other performance management requirements, as appropriate;
    (8) Establishes automated data collection processes through secure 
electronic data transfer, in conjunction with the Military Departments, 
partner agencies, and DMDC. (See paragraph (c) of appendix I to part 
88);
    (9) Before submission of operational execution plans, coordinates 
with the Military Departments and must receive approval from Director, 
TVPO, before final submission of operational execution plans, system 
modifications, or development of new systems that fall under DoD TAP 
data and information requirements.
    (i) Implementation of any new IT system or capability; or
    (ii) Revision to an existing system or capability of the Military 
Departments that support the TAP.
    (10) Coordinates and collaborates with the interagency parties and 
other organizations, as appropriate, in accordance with a Memorandum of 
Understanding among the DoDVADOLEDDHS, SBA, and OPM ``Transition 
Assistance Program for Separating Service Members'' (available at http:/
/prhome. defense.gov /RFM/ TVPO/), to facilitate delivery of Transition 
GPS curricula, resources, and services, and to determine data sharing 
requirements;
    (11) Coordinates with DMDC to provide TVPO-approved web-based 
services to the Military Departments for electronic transmission of DD 
Form 2958, ``Service Member's Individual Transition Plan Checklist'' and 
DD Forms 2648 or 2648-1, ``Pre-separation or Transition Counseling 
Checklist for Active Component (AC) Service Members'' and ``Transition 
Assistance Program (TAP) Checklist for Deactivating/Demobilizing 
National Guard and Reserve Service Members,'' respectively;
    (12) Establishes a performance management framework to determine 
current and future resourcing and requirements;
    (13) Analyzes data to evaluate the overall performance of the TAP;
    (14) Establishes, reviews, assesses, and evaluates the effectiveness 
of Transition GPS;
    (15) Oversees and monitors the development, delivery, maintenance, 
modification, and quality assurance of the Transition GPS brick-and-
mortar and

[[Page 592]]

virtual curricula, products, and CRS deliverables, in accordance with 
this paragraph and MOU among DoD, VA, DOL, ED, DHS, SBA, and OPM, 
``Transition Assistance Program for Separating Service Members.'' 
Develops brick-and-mortar and virtual curricula for the components of 
Transition GPS that fall under the purview of DoD and coordinates with 
interagency partners on their respective curriculums;
    (16) Coordinates with interagency parties, the Military Departments, 
and Joint Knowledge Online (JKO), on the methods, processes, and 
standards used to deliver Transition GPS brick-and-mortar and virtual 
curricula, products, and deliverables used within Transition GPS, in 
accordance with MOU among DoD, VA, DOL, ED, DHS, SBA, and OPM, 
``Transition Assistance Program for Separating Service Members'' and 
this part;
    (17) Monitors Transition GPS curricula delivery by TVPO and Military 
Departments by conducting evaluations and participant assessments;
    (18) Updates DD Forms 2648, 2648-1 and 2958 in conjunction with the 
Military Departments, within 180 days of legislative changes that affect 
eligible Service members, as appropriate;
    (19) Develops, maintains, standardizes, and oversees usage of the 
ITP at the appropriate time in an eligible Service member's MLC TAP in 
conjunction with Military Departments;
    (20) Establishes and leads TAP Coordinating Council consisting of 
subject matter experts from the DoD Components, to formulate, review, 
and update TAP policies and programs. Collaborates and coordinates on 
the development of the Military Departments' implementation plans 
related to TAP. RC members appointed to the TAP Coordinating Council 
will be determined pursuant to guidance from the Director, TVPO and in 
consultation with the Military Departments;
    (21) Designates the DoD lead for the EC Transition Assistance 
Working Group. Conducts outreach to private- and public-sector entities 
to improve transition preparation in order to keep transition services 
aligned to the needs of the civilian labor market; and
    (22) Expands TAP services through online media and other cooperative 
outreach efforts to support eligible Service members and their spouses, 
as defined by statute and policy.
    (k) The Secretaries of the Military Departments:
    (1) Implement and administer TAP in accordance with this part;
    (2) Oversee TAP for their respective AC and RC;
    (3) Coordinate electronically with TVPO their implementation 
guidance pertaining to this part, before publication. A copy of the 
final implementing guidance will be provided to TVPO within 120 days 
from the publication date of this part. Future changes to TAP guidance 
will be forwarded to the TVPO within 30 days of issuance;
    (4) Ensure the Inspector General (IG) of each Military Department, 
including their respective RC, conducts an inspection of TAP in 
accordance with established IG protocols;
    (i) TAP IG inspection findings will be submitted biannually to the 
USD(P&R) no later than January 31 of the fiscal year following the 
previous inspection date.
    (ii) The first TAP IG inspection findings will be submitted two full 
fiscal years from the effective date of this part.
    (5) Internally resource TAP to meet the provisions as defined in law 
and policy;
    (6) Ensure that eligible Service members receive the TVPO 
standardized Transition GPS components, develop a viable ITP, and meet 
CRS;
    (7) Ensure that Service members who do not meet the CRS or do not 
have a viable ITP receive a warm handover, as defined in Sec. 88.3, to 
the appropriate interagency party;
    (8) Align, administer, and reinforce Transition GPS components and 
resources at appropriate key touch points throughout the MLC TAP of 
eligible Service members to ensure they are afforded the opportunity, 
time, and resources for career readiness preparation. At the separation, 
retirement, or release from active duty touch point all Service members 
must meet the CRS;
    (9) Ensure Service member access to Transition GPS brick-and-mortar 
and virtual curricula;

[[Page 593]]

    (10) Provide the opportunity within the officer and enlisted 
evaluation systems to use the rate at which Service members within a 
command have met the CRS, as a performance criteria;
    (11) In order to execute Transition GPS in accordance with MOU among 
DoD, VA, DOL, ED, DHS, SBA, and OPM, ``Transition Assistance Program for 
Separating Service Members'' and DoD 5500.07-R, ``Joint Ethics 
Regulation (JER)'' (available at http://www.dtic. mil/whs/ directives/ 
corres/pdf /550007r.pdf), DoD Instruction 1344.07, ``Personal Commercial 
Solicitation on DoD Installations'' (available at http://www.dtic.mil /
whs/ directives/corres /pdf/134 407p.pdf), DoD Instruction 1000.15, 
``Procedures and Support for Non-Federal Entities Authorized to Operate 
on DoD Installations'' (available at http://www.dtic. mil/whs /
directives/ corres/pdf/ 100015p.pdf), DoDI 1322.25, ``Voluntary 
Education Program,'' and DoDI 1322.19, ``Voluntary Education Program in 
Overseas Areas'' to allow facility access to interagency parties on 
installations in the United States and abroad;
    (12) Encourage installation commanders to permit properly vetted 
civilian employers to have access to transition assistance-related 
events and activities in the United States and abroad in accordance with 
MOU among DoD, VA, DOL, ED, DHS, SBA, and OPM, ``Transition Assistance 
Program for Separating Service Members,'' DoD 5500.07-R, and DoD 
Instruction 1344.07, at no cost to the U.S. Government. Access must be 
for the purpose of offering job opportunities, mentoring, internships, 
or apprenticeships leading to employment. Educational institution access 
will also be in accordance with DoD Instruction 1322.25, ``Voluntary 
Education Program,'' and DoD Instruction 1322.19, ``Voluntary Education 
Program in Overseas Areas;''
    (13) Strongly encourage installation commanders to permit access to 
VSOs and MSOs to transition assistance-related events and activities in 
the United States and abroad in accordance with MOU among DoD, VA, DOL, 
ED, DHS, SBA, and OPM, ``Transition Assistance Program for Separating 
Service Members,'' DoD 5500.07-R, and DoD Instruction 1344.07, at no 
cost to the U.S. Government. Access must be for the purpose of assisting 
Service members with the pre- and post-military disability claim process 
and transition resources and services;
    (14) Assign the appropriate Departmental Deputy Assistant Secretary 
or Director to serve as a TAP SSG member (e.g., Civilian Personnel/
Quality of Life; Air Force Management Integration; Fleet and Family 
Readiness); and
    (15) Provides representatives to the TAP EC working groups, as 
necessary.
    (l) The Chief of the National Guard Bureau assigns the Director of 
Personnel, an SES, to serve as a TAP SSG member.
    (m) In addition to the responsibilities in paragraph (k) of this 
section and in consultation with the Commandant of the U.S. Marine Corps 
(USMC), the Secretary of the Navy (SECNAV):
    (1) Develops joint implementation instructions to ensure statutory 
compliance for all eligible transitioning USMC and U.S. Coast Guard 
(USCG), personnel whenever the Coast Guard operates as a service in the 
Navy pursuant to 10 U.S.C. 5033 and 14 U.S.C. 3.
    (2) Assigns an SES member to serve as TAP SSG member.

    Effective Date Note: At 81 FR 41808, June 28, 2016, Sec. 88.5 was 
amended by revising the introductory text for paragraphs (a), (c), (e), 
(f), and (j), and paragraph (j)(5), effective Sept. 1, 2016. For the 
convenience of the user, the revised text is set forth as follows:



Sec. 88.5  Responsibilities.

    (a) Under the authority, direction, and control of the Under 
Secretary of Defense (Personnel and Readiness) (USD(P&R)), the Assistant 
Secretary of Defense for Readiness (ASD(R)):

                                * * * * *

    (c) Under the authority, direction, and control of the USD (P&R), 
the Assistant Secretary of Defense for Manpower and Reserve Affairs (ASD 
(M&RA)):

                                * * * * *

    (e) Under the authority, direction, and control of the (ASD(M&RA), 
the Deputy Assistant Secretary of Defense for Military Personnel Policy 
(DASD(MPP) provides:

                                * * * * *

    (f) Under the authority, direction, and control of the (ASD(R)), the 
Deputy Assistant

[[Page 594]]

Secretary of Defense for Force Education and Training (DASD(FE&T)):

                                * * * * *

    (j) Under the authority, direction, and control of the (ASD(R)), the 
Director, TVPO:

                                * * * * *

    (5) In conjunction with ASD(R), supports and coordinates meetings 
and activities for TAP governance bodies, as defined in Sec. 88.3;

                                * * * * *



Sec. 88.6  Procedures.

    (a) Military Department Requirements. The Military Services' 
additional requirements include:
    (1) Perform these TAP operations and resource management functions:
    (i) Develop requirements and budgets for the Program Objective 
Memorandum (POM); Future Year Defense Program (FYDP); and program budget 
reviews, as required to comply with TAP requirements. Coordinate with 
OSD TVPO for TAP resource advocacy throughout these cycles.
    (ii) Establish program elements or accounting codes to separately 
and independently verify and review the monthly Military Department-
funded execution data (i.e., program funding levels, obligations, 
disbursements) in Defense Finance and Accounting Service (DFAS) reports 
and submit to TVPO quarterly. Any decrement to Military Department TAP 
annual program funding of 5% or greater must be reported to TVPO.
    (iii) Identify and submit TAP-related issues at the general or flag 
officer and SES equivalent level to the TVPO in a timely manner so that 
TAP-related issues can go before the SSG for discussion and decision.
    (2) Coordinate with TVPO on implementation of any new IT systems or 
capabilities and revisions to existing systems that support the TAP. 
TVPO will have final approval on any new IT systems and or 
modifications. TVPO approval will be obtained before the Military 
Departments implement any IT systems modifications or develop any new 
systems that support TAP. See paragraph (c) of appendix I to part 88.
    (3) Use TVPO-selected standardized individual assessment tools.
    (4) Ensure that Service members receive an individualized 
assessment, pursuant to this paragraph, of the various positions of 
civilian employment in the private sector for which members may be 
qualified as a result of the skills developed through MOC qualification, 
successful completion of resident training courses, attainment of 
military ranks or rates, or other military experiences.
    (5) Develop, maintain, document, and oversee the IDP process.
    (6) Inform and educate unit, command, and installation leadership on 
their responsibility to administer the TAP to ensure that eligible 
Service members meet the CRS before separation, retirement, or release 
from active duty.
    (7) Identify the eligible population for Transition GPS services.
    (8) Identify and provide qualified counselors and trained 
instructors to facilitate the Transition GPS core curricula and 
Accessing Higher Education track.
    (9) Coordinate with DSPO SPPMs at the local installation level to 
provide information in support of the Transition GPS Core Curricula 
module on resilient transitions and to distribute suicide prevention 
information and resources pursuant to 10 U.S.C. Chapter 58 .
    (10) Release eligible Service members during duty hours to complete 
the Transition GPS and exempt them from normal duty for the full 24-hour 
period of each workshop or briefing day and the 12 hours immediately 
preceding and following each workshop or briefing.
    (11) Provide eligible Service members with the link to the TVPO web-
based Transition GPS Participant Assessment and encourage them to 
complete it at the end of each Transition GPS brick-and-mortar and 
virtual curricula module or group of modules. Responses will not 
identify individual Service members.
    (12) Establish a process within the military personnel organizations 
of the Military Departments to receive a legible copy of the completed 
and authenticated DD Forms 2648 or 2648-1 from

[[Page 595]]

the TAP staff. The process will include a mechanism to verify 
transmission of the form to the eligible Service member's permanent 
official military personnel file.
    (13) Maintain or establish permanent employment assistance centers 
at appropriate military installations pursuant to 10 U.S.C. 1143.
    (14) Use appropriate assets at military installations and in the 
local community to enhance Transition GPS in accordance with DoD 
5500.07-R and DoD Instruction 1344.07.
    (15) Coordinate with the appropriate TAP interagency parties for 
scheduling and conducting the VA Benefits Briefings I and II and Career 
Technical Training track; DOLEW and SBA Entrepreneurship track in 
accordance with MOU among DoD, VA, DOL, ED, DHS, SBA, and OPM, 
``Transition Assistance Program for Separating Service Members.''
    (16) Coordinate warm handovers and Capstone support with interagency 
parties.
    (17) Provide classroom space. Classes cannot exceed 50 participants 
(facilitator-to-student ratio should be 1:50 per separate classroom). A 
minimum of 10 participants is required to conduct a class. Military 
Departments will provide classrooms, appropriate facilities, IT 
infrastructure, fully-functioning web access, equipment, including 
classroom computers or accommodation for personal computers to enable 
effective Transition GPS instruction and counseling in accordance with 
MOU among DoD, VA, DOL, ED, DHS, SBA, and OPM, ``Transition Assistance 
Program for Separating Service Members;'' provide adequate facilities 
and workspace for instruction and counseling as agreed to by interagency 
parties also in accordance with MOU among DoD, VA, DOL, ED, DHS, SBA, 
and OPM, ``Transition Assistance Program for Separating Service 
Members.'' Military Departments may request exceptions for classrooms of 
more than 50 or less than 10 participants on a case-by-case basis. Such 
requests will be handled by the local installation level staff with 
partner agencies.
    (18) Provide reasonable accommodations that enable wounded, ill or 
injured recovering Service members to successfully complete TAP.
    (b) TAP Implementation. (1) Development of brick-and-mortar and 
virtual curricula, staff training, and delivery of certain elements of 
the Transition GPS Core Curricula and Transition GPS tracks will be 
conducted in coordination and conjunction with the TVPO and appropriate 
TAP interagency parties in accordance with MOU among DoD, VA, DOL, ED, 
DHS, SBA, and OPM, ``Transition Assistance Program for Separating 
Service Members.''
    (2) Interagency parties, and their respective curriculas consist of:
    (i) VA: Provides the VA Benefits Briefings I and II and Career 
Technical Training track.
    (A) The VA hosts a web portal for connectivity between employers and 
transitioning Service members, Veterans and military spouses.
    (B) The VA web portal supports providing private and public sector 
employers with a direct link to profiles of separating Service members.
    (ii) DOL: Provides the DOLEW.
    (iii) SBA: Provides the Entrepreneurship track.
    (iv) OPM: In conjunction with DOL, reviews and provides federal job 
search curriculum content for use in the DOLEW.
    (v) ED: Consultative reviews of curricula to ensure accuracy of 
content, employment of adult learning principles, and to enhance adult 
learning experiences.
    (vi) DHS: Coordinates and plans for USCG participation in the TAP, 
in accordance with this paragraph. MOU among DoD, VA, DOL, ED, DHS, SBA, 
and OPM, ``Transition Assistance Program for Separating Service 
Members,'' and pursuant to 14 U.S.C. 13
    (vii) DoD provides transition overview, resilient transitions, MOC 
Crosswalk, Financial Planning for Transition, ITP review, and Accessing 
Higher Education.
    (c) TAP Eligibility--(1) Service Members. (i) Eligible Service 
members who have completed their first 180 days or more of continuous 
active duty in accordance with 10 U.S.C. 1142 are eligible for the 
following components of Transition GPS:

[[Page 596]]

    (A) Pre-separation or Transition Counseling.
    (B) Transition GPS Core Curricula.
    (C) Transition GPS Tracks.
    (D) Capstone.
    (ii) RC members may choose to decline pre-separation or transition 
counseling, using the DD Form 2648 or DD Form 2648-1, for each 
successive period of active duty under 10 U.S.C. 1142 consisting of 180 
days or more of continuous active duty.
    (iii) Eligible Service members may choose to participate in one or 
more of the individual Transition GPS tracks, if resources, capacity, 
and operational requirements allow, based on the Service member's 
interests and ability to meet the CRS and complete the track.
    (iv) A minimum day requirement for Pre-separation or Transition 
Counseling does not apply to eligible Service members who are retiring 
or separating due to a disability.
    (v) Administrative and punitive separations change the eligibility 
of Service member's participation as follows:
    (A) Pre-separation or transition counseling will not be provided to 
a Service member who is being discharged or released before the 
completion of that member's first 180 continuous days or more on active 
duty pursuant to 10 U.S.C. 1142.
    (B) All Service members shall participate in all mandatory 
components of Transition GPS. In cases where Service members receive a 
punitive or ``Under Other Than Honorable Conditions'' discharge, 
Commanders have the discretion to determine participation in the 
remaining Transition GPS curricula in consultation with interagency 
partners, as appropriate.
    (2) Spouses and dependents. (i) Pursuant to 10 U.S.C. 1144, spouses 
of eligible Service members are entitled to the DOLEW.
    (ii) Pursuant to 10 U.S.C. 1142 spouses of eligible Service members 
are entitled to:
    (A) Job placement counseling for spouses and career change 
counseling to dependents of eligible members in accordance with 10 
U.S.C. 1142. See paragraph (d)(3) of Sec. 88.5 for the spouse job 
placement counseling responsibilities of the DASD(MC&FP).
    (B) DoD and VA administered survivor benefits information.
    (C) DoD financial planning assistance, including information on 
budgeting, saving, credit, loans, and taxes.
    (E) VA-benefits orientation, such as education, employment, home 
loan services, housing assistance benefits information, and responsible 
borrowing practices counseling.
    (iii) Pursuant to 10 U.S.C. 1142, eligible Service members and their 
dependents are entitled to:
    (A) Career change counseling.
    (B) Information on suicide prevention resource availability 
following military separation, retirement, or release from active duty.
    (iv) Pursuant to 10 U.S.C. 1145, eligible Service members and their 
dependents are entitled to transitional medical and health care that 
will be available for 180 days, beginning on the first day after the 
date of separation, retirement, or release from active duty.
    (v) Unless prohibited by statute, spouses of eligible Service 
members are encouraged to participate in Transition GPS as resources and 
capacity allow. Participating spouses may have their attendance recorded 
in accordance with the privacy and information collection mandates and 
requirements of appendix I to part 88 and 32 CFR part 310.
    (vi) Spouses or designated caregivers completing Pre-separation or 
Transition Counseling (using DD Forms 2648 or 2648-1) on behalf of an 
eligible recovering Service member will provide their Social Security 
Number for data collection purposes in accordance with this paragraph,10 
U.S.C. 1142, DoD Instruction 1342.28 32 CFR part 310 and 14 U.S.C. 5033.
    (d) Transition GPS Priority of Service. The following is the 
descending order of priority for participation in Transition GPS:
    (1) Eligible Service members identified as part of the targeted 
population, as defined in Sec. 88.3 of this part.
    (2) Eligible Service members closest to their dates of separation, 
retirement, or release from active duty.
    (3) Eligible Service members returning from overseas or assigned to 
remote or isolated and geographically dispersed locations.

[[Page 597]]

    (4) All other eligible Service members that do not fall into the 
categories addressed in paragraphs (a) through (c) of this section.
    (5) Eligible Service members who have attended any previous 
Transition GPS component and who want to repeat a component, as 
resources and capacity allow.
    (6) Spouses of eligible Service members, based on statute and 
policy, as resources and capacity allow.
    (e) Transition GPS participation. All eligible Service members must 
participate in Transition GPS and must meet the Common CRS and the 
specific CRS commensurate with their personal higher education or career 
technical training objectives before separation, retirement, or release 
from active duty. This will be reflected by the discharge date recorded 
on the DD Form 214.



         Sec. Appendix A to Part 88--Career Readiness Standards

    (a) The CRS are defined as a set of common and specific activities 
and associated relevant deliverables (documentation within the last 12 
months) that, when achieved, the Service member will be able to 
demonstrate that he or she is prepared to transition to effectively and 
pursue their personal post-separation higher education, career technical 
training, and civilian employment goals. General and flag officers are 
exempt from CRS, completion of the ITP, ITP Checklist, and Capstone.
    (b) The CRS are tangible measures of a Service member's preparedness 
for higher education or direct entry into a civilian career. The 
tangible measures consist of:
    (1) Common CRS. All eligible Service members will show documented 
evidence that they have:
    (i) Completed the TVPO standardized ITP. The ITP must document the 
individual's personal employment; higher education; career technical 
training; or entrepreneurship goals, actions, and milestones ;
    (ii) Completed the TVPO standardized 12-month post-separation 
budget;
    (iii) Registered for VABenefits online account;
    (iv) Completed the Continuum of Military Service Opportunity 
counseling (AC only);
    (v) Evaluated the transferability of military skills to the civilian 
workforce and completed the TVPO standardized gap analysis provided 
during the MOC crosswalk;
    (vi) Identified requirements and eligibility for certification, 
licensure, and apprenticeship in the Service member's desired potential 
career field;
    (vii) Completed a standardized individual assessment tool, as 
determined by TVPO or the Military Departments, to identify personal 
interests and leanings that will enable informed decision-making 
regarding career selection;
    (viii) Received a DOL Gold Card, as defined in Sec. 88.3, for DOL 
American Job Centers; and
    (ix) Completed a job application package, received a job offer 
letter, or provided proof of future employment. The job application 
package must include the Service member's private or public sector 
resume, personal and professional references, and at least two submitted 
job applications.
    (2) Accessing Higher Education and Career Technical Training CRS. 
Eligible Service members seeking higher education or career technical 
training when they depart from military service will show documented 
evidence that they have:
    (i) Completed a standardized individual assessment tool, selected by 
the Military Departments, to assess aptitudes, interests, strengths, or 
skills used to inform a Service member's decisions about selecting 
higher education and career technical training toward a desired future 
career field;
    (ii) Completed a comparison of higher education or career technical 
training institution options;
    (iii) Completed an application or received acceptance letter from a 
higher education or career technical training institution and
    (iv) Confirmed one-on-one counseling with a higher education or 
career technical training institution advisor via telephone, email, or 
letter.



                   Sec. Appendix B to Part 88--MLC TAP

    (a) Key Touch Points. (1) Key touch points of the MLC TAP are 
reflected in the individual Military Service's plans and will include, 
at a minimum:
    (i) First permanent duty station for AC personnel or first home 
station for RC personnel during initial drilling weekends;
    (ii) Reenlistment;
    (iii) Promotion;
    (iv) Deployment and redeployment or mobilization or activation; 
demobilization or deactivation;
    (v) Change of duty station;
    (vi) Major life events (e.g., change in family status, change in 
Military Occupational Specialty, Navy Rating or Air Force Specialty 
Code); and
    (vii) Retirement, separation or release from active duty.
    (2) Transition GPS services may be made available to ineligible RC 
members during the MLC TAP as resources and capacity allow.

[[Page 598]]

    (b) MLC TAP Timeline. (1) The MLC TAP begins at the first permanent 
duty station or home station, continues throughout the military career 
of an eligible Service member, and culminates at Capstone. It includes 
the development of the IDP. Throughout the MLC TAP, Service members will 
be trained, educated, and postured to become career-ready upon 
separation from military service by completing the Transition GPS 
curriculum to meet the CRS. On commencing the transition process, the 
IDP will migrate into the ITP. The MLC TAP will include a Capstone.
    (2) Before participating in Pre-separation or Transition Counseling, 
eligible Service members will complete a standardized individual 
assessment tool, as determined by TVPO or the Military Departments, to 
identify personal interests and leanings that will enable informed 
decision-making regarding career selection.
    (3) Before participating in the Transition GPS Core Curricula, 
eligible Service members will complete a standardized individual 
assessment tool, selected by the Military Departments or TVPO, to assess 
aptitudes, interests, strengths, or skills used to inform a Service 
member's decisions about selecting higher education and career technical 
training toward a desired future career field.
    (4) Eligible RC component Service members, on completion of two or 
more mobilizations, must have a relevant standardized individual 
assessment.



   Sec. Appendix C to Part 88--Pre-Separation or Transition Counseling

    (a) Pre-Separation or Transition Counseling. Mandatory counseling is 
provided to eligible Service members by TAP staff or command career 
counselors to inform members of services, benefits, curricula, 
assessments, CRS deliverables, and ITP during and after their 
separation, retirement, or release from active duty.
    (1) An appropriate legal representative or ethics official will 
brief eligible Service members on ethics pursuant to DoD 5500.07-R, to 
ensure they understand information on post government (military) 
employment counseling (restrictions on employment, imposed by statute 
and regulation). These briefings shall be conducted by the Military 
Services as appropriate.
    (2) Eligible Service members will receive information from a career 
counselor or transition staff member on how to access and use the DD 
Form 2586, ``Verification of Military Experience and Training.''
    (3) Eligible Service members who are voluntarily or involuntarily 
separated under any program initiated by a DoD instruction or directive, 
Congressional directive, Presidential executive order, or Military 
Department regulation, in order to ensure good order and discipline, 
shape the force, or draw down or realign forces, will be briefed by a 
career counselor or transition staff member on any special entitlements 
or benefits associated with these programs.
    (4) Eligible Service members retained on active duty past their 
enlistment or reenlistment or contracts for purposes of mission 
essentiality, deployment continuity, or operational requirements, as 
determined by the Secretary concerned, will be briefed by a career 
counselor or transition staff member on any entitlements and benefits 
incurred during involuntary retention actions.
    (5) Eligible Services members will be counseled and provided 
information or referrals, as requested, on all items listed on DD Forms 
2648 or 2648-1 by the transition staff or command career counselors.
    (b) Pre-Separation or Transition Counseling Timeline. Pursuant to 10 
U.S.C. 1142, Pre-separation or Transition Counseling:
    (1) For retirement purposes, will begin as soon as possible during 
the 24-month period preceding an anticipated retirement date but no 
later than 90 days before retirement; or
    (2) For reasons other than retirement, will begin as soon as 
possible during the 12-month period preceding the anticipated date of 
separation but no later than 90 days before separation, retirement, or 
release from active duty; or.
    (3) Will begin as soon as possible within the remaining period of 
service when:
    (i) A retirement or other separation is unanticipated, and there are 
90 or fewer days before separation, retirement, or release from active 
duty; or,
    (ii) An eligible RC member is being demobilized or deactivated from 
active duty under circumstances in which operational requirements, as 
determined by the Secretary concerned, make the 90-day requirement 
unfeasible.
    (4) Will not be provided to Service members who are discharged or 
released before completing their first 180 continuous days or more on 
active duty, as defined by 10 U.S.C. 1142. This limitation does not 
apply in the case of Service members who retire or separate for a 
disability.
    (c) Involuntary Separations. Eligible Service members, and their 
dependents, undergoing involuntary separation from active duty as 
defined in 10 U.S.C. 1141 and in accordance with DoD Instruction 1332.30 
and DoD Instruction 1332.14, will be made aware that they are entitled 
to:
    (1) Use of commissary and exchange stores during the two-year period 
starting on the date of involuntary separation, pursuant to 10 U.S.C. 
1146;
    (2) Transitional medical and dental health care that will be 
available for 180 days beginning on the first day after the date of 
involuntary separation, pursuant to 10 U.S.C. 1145;

[[Page 599]]

    (3) Extended use of military family housing, subject to overseas 
Status of Forces Agreements, for up to 180 days after separation on a 
space-available basis and potential rental charges, pursuant to 10 
U.S.C. 1147, the Secretary, shall require a reasonable rental charge for 
the continued use of military family housing under paragraph (a) of this 
appendix, except that such Secretary may waive all or any portion of 
such charge in any case of hardship;
    (4) Overseas relocation assistance, including computerized job 
relocation assistance and job search information, pursuant to 10 U.S.C. 
1148;
    (5) Preference in hiring by non-appropriated fund instrumentalities, 
pursuant to 10 U.S.C. 1143; and
    (6) Excess leave for a period not in excess of 30 days or permissive 
temporary duty for a period not in excess of 10 days for the purpose of 
carrying out necessary relocation activities, pursuant to 10 U.S.C. 
1149.
    (d) Pre-Separation or Transition Counseling Checklist (DD Forms 2648 
or 2648-1). (1) The DD Form 2648 and DD Form 2648-1 will be used by 
eligible Service members to record Pre-separation or Transition 
Counseling.
    (2) In accordance with 32 CFR part 310, privacy information 
contained within these forms will be maintained based on the System of 
Records Notification pertaining to these forms.
    (3) All items on the applicable DD Forms 2648 or 2648-1 will be 
addressed during Pre-separation or Transition Counseling.
    (4) Pre-separation or Transition Counseling checklist data will be 
submitted electronically to DMDC through the DMDC web-based service or 
TVPO-approved systems.



                 Sec. Appendix D to Part 88--IDP and ITP

    (a) IDP. (1) Eligible Service members will initiate an IDP in 
accordance with Military Department regulations and procedures.
    (2) Eligible Service members will document on the IDP the actions 
they must take to achieve their military and post-transition career 
goals and meet the CRS before separation, retirement, or release from 
active duty.
    (3) Commanders, or commanders' designees, will ensure eligible 
Service members develop, update, and maintain the IDP at key touch 
points throughout the MLC TAP, in accordance with Military Department 
regulations and procedures.
    (4) The IDP should be initiated in accordance with Military 
Departments regulations, but no later than 180 days after arrival at the 
first permanent active duty station for AC members or first home station 
for RC members during their initial drilling weekends.
    (5) On the eligible Service member's decision to separate or retire 
or on notification of involuntary separation, the IDP will migrate into 
the ITP.
    (b) ITP. (1) Service members will be introduced to the requirement 
of developing an ITP from their IDP during Pre-separation or Transition 
Counseling.
    (2) The ITP is a step-by-step plan derived from the eligible Service 
member's IDP.
    (3) Eligible Service members are required to document their post-
military personal and professional goals and objectives on the ITP.
    (4) The ITP is an evolving document that is reviewed, modified, and 
verified throughout transition preparation.
    (5) ITP responses serve as potential triggers for further action by 
the eligible Service member to connect to the appropriate interagency 
party or subject matter expert for assistance.
    (6) During the ITP review and verification processes, eligible 
Service members must produce evidence of the deliverables that meet the 
CRS before separation, retirement, or release from active duty.
    (c) ITP Checklist (DD Form 2958). (1) The ITP Checklist, in 
conjunction with the ITP, will be used by the commander, or commander's 
designee, to verify that the eligible Service member has or has not met 
the CRS.
    (2) If it is determined that the CRS or a viable ITP have not been 
achieved, then the ITP checklist will document confirmation of a warm 
handover to partner agencies and or other appropriate agencies.
    (3) During the ITP review and verification processes, eligible 
Service members must produce deliverables to serve as evidence that they 
are prepared to meet the CRS before separation, retirement, or release 
from active duty.
    (4) ITP Checklist data will be submitted electronically to DMDC 
through the DMDC web-based service or a TVPO-approved system.
    (5) TAP staff will explain to eligible Service members during Pre-
separation or Transition Counseling how the ITP and Pre-separation or 
Transition Counseling checklists work together to provide the Service 
member with a plan for meeting the CRS.



   Sec. Appendix E to Part 88--Transition GPS (Goals, Plans, Success)

    (a) Transition GPS. (1) Transition GPS is the package of TAP 
resources and services that will be used as a vehicle to enable eligible 
Service members to attain the CRS throughout the MLC TAP.
    (2) Changes, as needed, to the standardized Transition GPS brick-
and-mortar or virtual curricula, services, and learning objectives must 
be approved by TVPO for implementation across all Military Departments.
    (3) The following Transition GPS components require mandatory 
participation unless Service members are exempt:

[[Page 600]]

    (i) Pre-separation or Transition Counseling is mandatory. See 
appendix C to part 88 for Pre-separation or Transition Counseling 
requirements.
    (ii) VA Benefits Briefings I and II are mandatory.
    (iii) Capstone is mandatory. See appendix H to part 88 for Capstone 
requirements.
    (4) Participation in the DOLEW is mandatory, unless exempt. See 
appendix F to part 88 for specific DOLEW exemptions.
    (5) Except for the components designated as mandatory, participation 
in Transition GPS tracks are based on proof of the Service member's 
ability to meet the associated CRS.
    (6) Transition GPS consist of these components:
    (i) Pre-separation or Transition Counseling. Pre-separation or 
Transition Counseling is mandatory for all eligible Service members no 
later than 90 days before separation, in accordance with 10 U.S.C. 1142. 
See appendix C to part 88 for Pre-separation or Transition Counseling 
requirements.
    (ii) Transition GPS Core Curricula. Except for those subcomponents 
designated as mandatory, completion of the following subcomponents is 
determined based on the eligible Service member's ability to attain the 
CRS. The curricula consists of thefollowing subcomponents (defined in 
Sec. 88.3):
    (A) Transition Overview;
    (B) Resilient Transitions;
    (C) MOC Crosswalk;
    (D) Personal Financial Planning for Transition;
    (E) VA Benefits Briefings I and II, to be conducted pursuant to 10 
U.S.C. 1142. Completion of this subcomponent is mandatory;
    (F) DOLEW, to be conducted pursuant to 10 U.S.C. 1144. Completion of 
this subcomponent is mandatory, unless exempt. See appendix F to part 88 
for DOLEW exemption eligibility; and
    (G) ITP Review.
    (iii) Transition GPS Tracks. (A) Eligible Service members may choose 
to participate in one or more, if resources, capability, and operational 
requirements allow of the Transition GPS tracks based on their interests 
and ability to meet the CRS.
    (B) The outcome of completed tracks will be documented in the 
Service member's ITP and on the ITP checklist, as applicable.
    (C) Eligible Service members may participate in one or more, if 
resource availability and operational requirements allow, of the 
following Transition GPS tracks:
    (1) Accessing Higher Education Track. Eligible Service members 
pursuing higher education will receive guidance to prepare for the 
application process. On completing the Accessing Higher Education Track, 
eligible Service members will be prepared to:
    (i) Complete an application to an accredited academic institution 
offering a sound program of study towards the Service member's career 
aspirations within the member's financial means.
    (ii) Schedule a session with a counselor from an academic 
institution.
    (iii) Meet individually with education counselors, as needed.
    (2) Career Technical Training Track. Eligible Service members 
pursuing career technical training will receive guidance and help in 
selecting schools and technical fields. On completion of the Career 
Technical Training Track, eligible Service members will be prepared to:
    (i) Complete an application to an accredited career technical 
training institution offering a sound program of study towards the 
Service member's career aspirations within the member's financial means.
    (ii) Schedule a session with a counselor from a career technical 
training institution.
    (iii) Meet individually with career technical training experts and 
VA vocational education counselors, as applicable.
    (3) Entrepreneurship Track. Eligible Service members pursuing 
business ownership or self-employment in the private or non-profit 
sectors will receive information related to the benefits and challenges 
of entrepreneurship, the steps required to pursue business ownership and 
evaluate the feasibility of a business concept, and the SBA and other 
public and private sector resources available for further technical 
assistance and access to capital and contracting opportunities. Upon 
completing of Entrepreneurship Track, eligible Service members will have 
developed the initial components of a business feasibility plan at no 
cost to the participant.
    (i) Eligible Service members will be given the opportunity to enroll 
in an optional eight-week online entrepreneurship course instructed by 
professors and practitioners.
    (ii) Eligible Service members will be afforded the opportunity to 
connect with a small business owner as a mentor to assist with the 
business start-up process. A warm handover, as needed, will be 
coordinated through procedures established by the SBA.
    (iv) Capstone. (A) Completion of Capstone is mandatory.
    (B) Capstone provides an opportunity for eligible Service members to 
have attainment of the CRS verified by the commander or his or her 
designee.
    (C) At Capstone, if the Service member cannot meet the CRS before 
transition, the commander or his or her designee confirms and documents 
a warm handover to appropriate interagency parties, or local resources. 
If in the judgement of the Commander or commander's designee, it is 
determined that the Service member does not meet CRS or does not have a 
viable ITP, then he or she must confirm that a warm handover takes place 
with the appropriate interagency parties, as needed.

[[Page 601]]

    (b) Command responsibility. (1) Commanders have oversight 
responsibility for Service members achieving CRS via Transition GPS. The 
oversight responsibility may not be delegated. Transition GPS may not be 
delegated except as stated in paragraph (b)(2) of this appendix.
    (2) Commanders will:
    (i) Ensure eligible Service members are afforded the opportunity, 
resources, and time to meet the CRS before separation, retirement, or 
release from active duty.
    (ii) Be fully engaged throughout the MLC TAP in enabling Service 
members the opportunity, resources, and time to meet and attain the CRS 
and comply with statutory mandates before separation, retirement, or 
release from active duty.
    (iii) Verify that eligible Service members have met the CRS and have 
a viable ITP during Capstone and ensure that members who did not meet 
the CRS or do not have a viable ITP receive a warm handover to the 
appropriate interagency parties or local resources.
    (iv) Ensure Transition GPS components are delivered at key touch 
points throughout the MLC TAP.
    (v) Ensure development and maintenance of the IDP throughout the MLC 
TAP and afford Service members the opportunity, resources and time to 
meet the CRS.
    (c) Transition GPS timeline. In anticipation of the discharge or 
release from active duty of an eligible Service member, and during key 
touch points in the MLC TAP, the following timeline is applicable:
    (1) In the case of an anticipated retirement, the components of 
Transition GPS not yet completed will begin as soon as possible during 
the 24-month period before the retirement date;
    (2) In the case of a separation other than a retirement, the 
components of Transition GPS not yet completed will begin as soon as 
possible during the 12-month period before the anticipated discharge 
date;
    (3) The incomplete components of Transition GPS will begin no later 
than 90 days before separation, retirement, or release from active duty 
except in those cases where statute determines specific timelines;
    (4) In the case that there is a retirement or an unanticipated 
separation, and there are 89 days or fewer before discharge or release 
from active duty, the components of Transition GPS not yet completed 
will begin as soon as possible within the remaining period of service or 
the effective date on the DD 214, and the Service member must meet all 
requirements; and
    (5) Transition GPS will begin as soon as possible within the 
remaining period of service when:
    (i) An eligible RC member is being released from active duty under 
circumstances in which operational requirements, as determined by the 
Secretary concerned, make the prescribed timeline unfeasible; or
    (ii) There are 90 or fewer days before the anticipated release from 
active duty.



              Sec. Appendix F to Part 88--DOLEW Exemptions

    (a) The only exemptions to eligible Service member participation in 
the DOLEW portion of the Transition GPS Core Curricula are:
    (1) Eligible Service members retiring after 20 or more years of 
qualifying military service.
    (2) Eligible Service members who, after serving their first 180 
continuous days or more on active duty, pursuant to 10 U.S.C. 1142 meet 
at least one of the following criteria:
    (i) Are able to provide documented evidence of civilian employment; 
or.
    (ii) Are able to provide documented acceptance into an accredited 
career technical training, undergraduate, or graduate degree program; 
or.
    (iii) Have specialized skills which, due to unavoidable 
circumstances, are needed to support a unit on orders scheduled to 
deploy within 60 days. The first commander in the eligible Service 
members' chain of command, with authority pursuant to 10 U.S.C. chapter 
47, also known and referred to as the Uniform Code of Military Justice 
(UCMJ), must certify on the DD Form 2958 any such request for exemption 
from the DOLEW. A make-up plan must accompany the postponement 
certification.
    (iv) Eligible recovering Service members who are separating, 
retiring, or being released from active duty who are enrolled in the 
Education and Employment Initiative, or similar transition program 
designed to secure employment, higher education, or career technical 
training post-separation. The standardized terms and definitions for 
wounded, ill, and injured are outlined in the DoD/VA Wounded, Ill, and 
Injured Senior Oversight Committee Memorandum, ``Implementation of 
Wounded, Ill, and Injured Related Standard Definitions'' (available at 
http://www.health.mil /Policies /2008/ 12/10/Implementation- of-WII- 
Standard- Definitions).-.
    (b) TAP staff will document on the DD Form 2958 the decision of 
eligible Service members who qualify for an exemption and elect not to 
participate in the DOLEW.
    (c) Eligible RC Service members who have previously participated in 
the DOLEW may request an exemption.
    (d) Eligible Service members who qualify for an exemption may still 
elect to participate in the DOLEW.

[[Page 602]]



              Sec. Appendix G to Part 88--Virtual Curricula

    (a) DoD Components and Military Departments, in conjunction with 
JKO, DHS, VA, DOL, OPM, SBA and other appropriate interagency parties, 
must leverage the capabilities of web-based adult learning to ensure the 
transitioning force complies with statutory mandates to meet the CRS 
before separation, retirement, or release from active duty.
    (b) As provided by TVPO or JKO, the virtual curricula provides an 
alternative delivery of Transition GPS to enable compliance with 
statutory mandates and attainment of the CRS as set by this Appendix. 
Those who can use the virtual curricula include:
    (1) Eligible Service members whose duty locations are in remote or 
isolated geographic areas.
    (2) Eligible Service members who are undergoing short-notice 
separation, as defined in the Sec. 88.3 and pursuant to 10 U.S.C. 
chapter 59, and cannot access brick-and-mortar curricula in a timely 
manner.
    (3) Spouses of eligible Service members, as resources and capacity 
allow.
    (c) A Virtual Curricula must:
    (1) Be easily accessible by eligible Service members through JKO;
    (2) Be approved in design, look, color, etc., by the Director of 
TVPO in consultation with the Military Departments and partner agencies;
    (3) Include interactive technology tools to monitor Service member 
participation in the training and knowledge gained;
    (4) Include module materials and activities that engage 
participants, support diverse learning styles, foster frequent 
interaction, and encourage meaningful communication and collaboration 
between the participants and instructors;
    (5) Include a data-capture feature or interface with the TVPO and 
DMDC-provided web service or process to ensure Service members receive 
credit for successfully completing the curricula;
    (6) Ensure Virtual Curricula is compliant with section 508 of the 
Rehabilitation Act of 1973 as amended, 29 U.S.C 792.
    (d) The virtual curricula's educational effectiveness and teaching 
and learning process will be assessed through an evaluation process that 
may include Service members' knowledge gain, retention, and 
satisfaction. TVPO will evaluate assessments in collaboration with the 
Military Departments and partner agencies.
    (e) Intended learning outcomes will be reviewed regularly to ensure 
clarity, utility, and appropriateness.
    (f) Documented procedures will be used to assure that security of 
personally identifiable information (PII) is protected in the conduct of 
assessments and evaluations and in the dissemination of results in 
accordance with 32 CFR part 310 and 14 U.S.C. 5033.
    (g) Changes to the DoD virtual curricula will be approved by TVPO 
for implementation across all Military Departments.



                  Sec. Appendix H to Part 88--Capstone

    (a) Review and verification. Capstone is a two-stage process. Stage 
one is an in-depth review of the Service members ITP and CRS, which is 
conducted by TAP staff. Stage two consists of the Commander or 
Commanders' designee verifying that the Service member has a viable ITP 
and has met the CRS. If the Commander or Commanders' designee determines 
that the Service member does not meet CRS or does not have a viable ITP, 
then he or she must confirm that a warm handover takes place with the 
appropriate interagency parties, as needed. The review and verification 
processes may or may not occur simultaneously.
    (1) Stage One--Capstone review. During the Capstone review, a 
Service member's ITP, CRS deliverables pertaining to the member's 
personal goals and ITP Checklist will be checked to identify shortfalls 
and determine if the member is at risk of not meeting the CRS before 
separation, retirement, or release from active duty.
    (i) The review will be conducted by:
    (A) A TAP staff member or career counselor for eligible Service 
members in the rank of O-5 or below.
    (B) The first Commander with UCMJ authority in the chain of command, 
or his or her designee, for eligible Service members in the rank of O-6 
and above.
    (ii) If during the review a Service member is determined to be 
incapable of meeting the CRS or has gaps in the ITP, the TAP staff will 
introduce the member to the necessary resources to assist him or her in 
becoming career ready. Resources include remedial skills building via 
the Transition GPS curricula, one-on-one assistance from TAP staff, and 
assistance from installation or local community resources.
    (iii) Service members will document the point of contact name, phone 
number, and email address of remedial resources on the ITP.
    (2) Stage Two--Capstone verification. The eligible Service member's 
Commander or his or her designee will review the ITP, CRS deliverables, 
and DD Form 2958 during Capstone verification to determine whether the 
requirements to complete the CRS have been attained.
    (i) In cases where Service members are still not able to meet the 
CRS during Capstone verification, the Commander or his or her designee 
will initiate a warm handover to appropriate partner agencies or local 
resources for post-separation support in the

[[Page 603]]

community where the Service member plans to relocate; and
    (ii) The Commander or his or her designee will confirm the warm 
handover has occurred by documenting it on the DD Form 2958.
    (3) Completion of Capstone. Service members are to be counseled on 
their ITPs during Capstone. If they do not have a viable ITP or meet 
CRS, they will be referred to further training and services, as needed; 
and connected, as needed, to appropriate interagency parties and local 
resources that provide continued benefits, services, and support when 
they become veterans.
    (b) Timeline. (1) Capstone will be completed for each eligible 
Service member in accordance with the timeline prescribed within this 
appendix to verify the member has met the CRS before separation, 
retirement, or release from active duty.
    (2) Capstone will be completed no later than 90 days preceding an 
anticipated separation, retirement, or release from active duty for 
eligible Service members.
    (3) Exceptions to this timeline are:
    (i) In the case of eligible AC Service members with an unanticipated 
separation of 89 days or fewer before discharge or release from active 
duty, Capstone will begin no later than the date of separation as 
reflected on the DD Form 214.
    (ii) In the case of eligible RC members release from active duty, in 
which operational requirements, as determined by the Secretary 
concerned, make the prescribed timeline unfeasible, Capstone will begin 
no later than the date of release from active duty as reflected on the 
DD Form 214.



Sec. Appendix I to Part 88--Data, Information Collection, Data Sharing, 
                        and Management Portfolio

    (a) Data. Individual eligible Service member Transition GPS data and 
attendance will be stored in the DMDC-provided Web service capabilities 
for:
    (1) DD Forms 2648 or 2648-1;
    (2) Transition Overview;
    (3) Resilient Transitions;
    (4) MOC Crosswalk;
    (5) Personal Financial Planning for Transition;
    (6) VA Benefits Briefings I and II;
    (7) DOLEW;
    (8) ITP Review;
    (9) Tracks;
    (10) ITP Checklist; and
    (11) Participant Assessment.
    (b) Data sharing. (1) Specific information regarding data 
collection, data sharing, assessments, and evaluations can be found in 
the MOU among DOD, VA, DOL, ED, DHS, SBA, and OPM, ``Transition 
Assistance Program for Separating Service Members''. This reference 
serves as the basis of an information sharing agreement between the 
interagency parties and the DoD.
    (2) TVPO will oversee and coordinate sharing requirements and 
authorities for DoD TAP data with interagency parties, as applicable.
    (3) DMDC will process, store, host, and maintain data and coordinate 
data sharing on request that meets established DoD information assurance 
standards in accordance with this appendix and 32 CFR part 310.
    (4) Each organization requesting TAP data sharing will prepare a 
business case to support the purpose and type of data requested from 
other parties.
    (i) The business case will clearly articulate how the requested data 
enables the parties to meet their mission and better serve Service 
members and veterans.
    (ii) The business case will be submitted to TVPO for review and 
approval.
    (iii) Approved business cases will be submitted to DMDC to set up 
business processes and cost sharing arrangements.
    (5) To ensure protection of PII and privacy:
    (i) The DoD Components and interagency parties will share Service 
member information in accordance with 32 CFR part 310 and requirements 
for collecting, sharing, storing, and maintaining PII. They will meet 
the need, if required, to establish a system of records notification; 
and
    (ii) All official procedures for safeguarding and retaining PII will 
be followed as established in 32 CFR part 310.
    (c) Management Portfolio. (1) DoD TAP data and information 
requirements governed by this appendix will be reviewed by TVPO for 
alignment to the investment and IT portfolios to ensure no duplication 
of capability or system redundancies occur during requirement 
development or IT acquisition.
    (2) TAP data will be shared in a standard form for the enterprise to 
facilitate compliance verification and to measure effectiveness of the 
program.



PART 93_ACCEPTANCE OF SERVICE OF PROCESS; RELEASE OF OFFICIAL 
INFORMATION IN LITIGATION; AND TESTIMONY BY NSA PERSONNEL AS WITNESSES
--Table of Contents



Sec.
93.1 References.
93.2 Purpose and applicability.
93.3 Definitions.
93.4 Policy.
93.5 Procedures.
93.6 Fees.
93.7 Responsibilities.

    Authority: E.O. 12333, 3 CFR, 1981 Comp., p. 200; 50 U.S.C. apps. 
401, 402.

[[Page 604]]


    Source: 56 FR 51328, Oct. 11, 1991, unless otherwise noted.



Sec. 93.1  References.

    (a) DoD Directive 5405.2, \1\ ``Release of Official Information in 
Litigation and Testimony by DoD Personnel as Witnesses,'' July 23, 1985, 
reprinted in 32 CFR part 97.
---------------------------------------------------------------------------

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

    (b) E.O. 12333, United States Intelligence Activities, 3 CFR, 1981 
Comp., p. 200, reprinted in 50 U.S.C. app. 401.
    (c) The National Security Agency Act of 1959, Public Law No. 86-36, 
as amended, 50 U.S.C. app. 402.
    (d) Rule 4, Federal Rules of Civil Procedure.
    (e) DoD Instruction 7230.7, \2\ ``User Charges'', January 29, 1985.
---------------------------------------------------------------------------

    \2\ See footnote 1 to Sec. 93.1(a).
---------------------------------------------------------------------------

    (f) 28 CFR 50.15.



Sec. 93.2  Purpose and applicability.

    (a) This part implements Sec. 93.1(a) in the National Security 
Agency/Central Security Service including all field sites (hereinafter 
referred to collectively as NSA). The procedures herein are also 
promulgated pursuant to the NSA's independent authority, under Sec. 
1.12(b)(10) of E.O. 12333 referenced under Sec. 93.1(b), to protect the 
security of its activities, information and employees. This part 
establishes policy, assigns responsibilities, and prescribes mandatory 
procedures for service of process at NSA and for the release of official 
information in litigation by NSA personnel, through testimony or 
otherwise.
    (b) This part is intended only to provide guidance for the internal 
operation of the NSA and does not create any right or benefit, 
substantive or procedural, enforceable at law against the United States, 
the Department of Defense, or NSA. This part does not override the 
statutory privilege against the disclosure of the organization or any 
function of the NSA, of any information with respect to the activities 
thereof, or of the names, titles, salaries, or numbers of the persons 
employed by the NSA. See section 6(a) of the DoD Directive referenced 
under Sec. 93.1(a).



Sec. 93.3  Definitions.

    (a) Service of process. Refers to the delivery of a summons and 
complaint, or other document the purpose of which is to give notice of a 
proceeding or to establish the jurisdiction of a court or administrative 
proceeding, in the manner prescribed by Sec. 93.1(d), to an officer or 
agency of the United States named in court or administrative 
proceedings.
    (b) Demand. Refers to the delivery of a subpoena, order, or other 
directive of a court of competent jurisdiction, or other specific 
authority, for the production, disclosure, or release of official 
information, or for the appearance and testimony of NSA personnel as 
witnesses.
    (c) NSA personnel. (or NSA person) Includes present and former 
civilian employees of NSA (including non-appropriated fund activity 
employees), and present and former military personnel assigned to NSA. 
NSA personnel also includes non-U.S. nationals who perform services 
overseas for NSA under the provisions of status of forces or other 
agreements, and specific individuals hired through contractual 
agreements by or on behalf of NSA.
    (d) Litigation. Refers to 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, or other tribunals, foreign and 
domestic. It 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.
    (e) Official information. Is information of any kind, in any storage 
medium, whether or not classified or protected from disclosure by Sec. 
93.l(c) that:
    (1) Is in the custody and control of NSA; or
    (2) Relates to information in the custody and control of NSA; or
    (3) Was acquired by NSA personnel as part of their official duties 
or because of their official status within NSA.
    (f) General Counsel. Refers to the NSA General Counsel (GC), or in 
the GC's absence, the NSA Deputy GC, or in both of their absences, the 
NSA Assistant GC (Administration/Litigation).

[[Page 605]]

    (g) NSA attorney. Refers to an attorney in the NSA Office of General 
Counsel (OGC).



Sec. 93.4  Policy.

    Official information that is not classified, privileged, or 
otherwise protected from public disclosure, should generally be made 
reasonably available for use in Federal and State courts and by other 
governmental bodies.



Sec. 93.5  Procedures.

    (a) Release of official information in litigation. NSA personnel 
shall not produce, disclose, release, comment upon, or testify 
concerning any official information during litigation without the prior 
written approval of the GC. In exigent circumstances, the GC may issue 
oral approval, but a record of such approval will be made and retained 
in the OGC. NSA personnel shall not provide, with or without 
compensation, opinion or expert testimony concerning official NSA 
information, subjects, or activities, except on behalf of the United 
States or a party represented by the Department of Justice (DoJ). Upon a 
showing by the requester of exceptional need or unique circumstances and 
that the anticipated testimony will not be adverse to the interests of 
the NSA or the United States, the GC may, in writing, grant special 
authorization for NSA personnel to appear and testify at no expense to 
the United States. Official information may be released in litigation 
only in compliance with the following procedures.
    (1) If official information is sought, through testimony or 
otherwise, by a litigation 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 (a)(5) of this section, NSA personnel may only 
produce, disclose, release, comment upon or testify concerning those 
matters that were specified in writing and approved by the GC.
    (2) Whenever a litigation demand is made upon NSA personnel for 
official information or for testimony concerning such information, the 
person upon whom the demand was made shall immediately notify the OGC. 
After consultation and coordination with the DoJ, if required, the GC 
shall determine whether the individual is required to comply with the 
demand and shall notify the requester or the court or other authority of 
that determination.
    (3) If a litigation demand requires a response before instructions 
from the GC are received, the GC shall furnish the requester or the 
court or other authority with a copy of Sec. 93.1(a) and this part 93. 
The GC shall also inform the requester or the court or other authority 
that the demand is being reviewed, and seek a stay of the demand pending 
a final determination.
    (4) If a court or other authority declines to stay the demand in 
response to action taken pursuant to paragraph 3 of this section, or if 
such court or other authority orders that the demand must be complied 
with notwithstanding the final decision of the GC, the NSA personnel 
upon whom the demand was made shall notify the GC of such ruling or 
order. If the GC determines that no further legal review of or challenge 
to the ruling or order will be sought, the affected NSA personnel shall 
comply with the demand or order. If directed by the GC, however, the 
affected NSA personnel must decline to provide the information. \3\ The 
NSA personnel shall state the following to the Court:
---------------------------------------------------------------------------

    \3\ See United States ex rel. Touhy v. Ragen, 340 U.S. 462 (1951) 
wherein the Supreme Court held that a government employee could not be 
held in contempt for following an agency regulation requiring agency 
approval before producing government information in response to a court 
order.

    ``I must respectfully advise the Court that under instructions given 
to me by the General Counsel of the National Security Agency, in 
accordance with Department of Defense Directive 5405.2 and NSA 
Regulation 10-62, I must respectfully decline to [produce/disclose] that 
---------------------------------------------------------------------------
information.''

    (5) In the event NSA personnel receive a litigation demand for 
official information originated by another U.S. Government component, 
the GC shall forward the appropriate portions of the request to the 
other component. The GC shall notify the requester, court, or other 
authority of the transfer, unless

[[Page 606]]

such notice would itself disclose classified information.
    (b) Acceptance of service of process. The following are mandatory 
procedures for accepting service of process for NSA personnel sued or 
summoned in their official capacities, and for attempting service of 
process on NSA premises.
    (1) Service on NSA or on NSA personnel in their official capacities. 
Sec. 93.1(d) requires service of process on the NSA or NSA personnel 
sued or summoned in their official capacity to be made by serving the 
United States Attorney for the district in which the action is brought, 
and by sending copies of the summons and complaint by registered or 
certified mail to the Attorney General of the United States and to the 
NSA or such NSA personnel. Only the GC or an NSA attorney is authorized 
to accept the copies of the summons and complaint sent to the NSA or NSA 
personnel pursuant to Sec. 93.1(d). Acceptance of the copies of the 
summons and complaint by the GC or an NSA attorney does not constitute 
an admission or waiver with respect to the validity of the service of 
process or of the jurisdiction of the court or other body. Such copies 
shall be sent by registered or certified mail to: General Counsel, 
National Security Agency, 9800 Savage Road, Fort George G. Meade, MD 
20755-6000. The envelope shall be conspicuously marked ``Copy of Summons 
and Complaint Enclosed.'' Except as provided in paragraph (b)(3) of this 
section, no other person may accept the copies of the summons and 
complaint for NSA or NSA personnel sued or summoned in their official 
capacities, including the sued or summoned NSA personnel, without the 
prior express authorization of the GC.
    (i) Parties who wish to deliver, instead of sending by registered or 
certified mail, the copies of the service of process to NSA or to NSA 
personnel sued or summoned in their official capacities, will comply 
with the procedures for service of process on NSA premises in paragraph 
(b) of this section.
    (ii) Litigants may attempt to serve process upon NSA personnel in 
their official capacities at their residences or other places. Because 
NSA personnel are not authorized to accept such service of process, such 
service is not effective under Sec. 93.1(d). NSA personnel should 
refuse to accept service. However, NSA personnel may find it difficult 
to determine whether they are being sued or summoned in their private or 
official capacity. Therefore, NSA personnel shall notify the OGC as soon 
as possible if they receive any summons or complaint that appears to 
relate to actions in connection with their official duties so that the 
GC can determine the scope of service.
    (2) Service upon NSA personnel in their individual capacities on NSA 
premises. Service of process is not a function of NSA. An NSA attorney 
will not accept service of process for NSA personnel sued or summoned in 
their individual capacities, nor will NSA personnel be required to 
accept service of process on NSA premises. Acceptance of such service of 
process in a person's individual capacity is the individual's 
responsibility. NSA does, however, encourage cooperation with the courts 
and with judicial officials.
    (i) When the NSA person works at NSA Headquarters at Fort George G. 
Meade, Maryland, the process server should first telephone the OGC on 
(301) 688-6054, and attempt to schedule a time for the NSA person to 
accept process. If the NSA person's affiliation with NSA is not 
classified, the NSA attorney will communicate with the NSA person and 
serve as the contact point for the person and the process server. If the 
person consents to accept service of process, the NSA attorney will 
arrange a convenient time for the process server to come to NSA, and 
will notify the Security Duty Officer of the arrangement.
    (ii) A process server who arrives at NSA during duty hours without 
first having contacted the OGC, will be referred to the Visitor Control 
Center (VCC) at Operations Building 2A. The VCC will contact the OGC. If 
an NSA attorney is not available, the process server will be referred to 
the Security Duty Officer, who will act in accordance with Office of 
Security (M5) procedures approved by the GC. Service of process will not 
be accepted during non-duty hours unless prior arrangements have been 
made by the OGC. For

[[Page 607]]

purposes of this part, duty hours at NSA Headquarters are 0800 to 1700, 
Monday through Friday, excluding legal holidays. A process server who 
arrives at NSA during non-duty hours without having made arrangements 
through the OGC to do so will be told to call the OGC during duty hours 
to arrange to serve process.
    (iii) Upon being notified that a process server is at the VCC, an 
NSA attorney will review the service of process and determine whether 
the NSA person is being sued or summoned in his official or individual 
capacity. (If the person is being sued or summoned in his or her 
official capacity, the NSA attorney will accept service of process by 
noting on the return of service form that ``service is accepted in 
official capacity only.'') If the person is being sued or summoned in 
his or her individual capacity, the NSA attorney will contact that 
person to see if that person will consent to accept service.
    (3) Procedures at field activities. Chiefs of NSA field activities 
may accept copies of service of process for themselves or NSA personnel 
assigned to their field component who are sued or summoned in their 
official capacities. Field Chiefs or their designees will accept by 
noting on the return of service form that ``service is accepted in 
official capacity only.'' The matter will then immediately be referred 
to the GC. Additionally, Field Chiefs will establish procedures at the 
field site, including a provision for liaison with local judge 
advocates, to ensure that service of process on persons in their 
individual capacities is accomplished in accordance with local law, 
relevant treaties, and Status of Forces Agreements. Such procedures must 
be approved by the GC. Field Chiefs will designate a point of contact to 
conduct liaison with the OGC.
    (4) No individual will confirm or deny that the person sued or 
summoned is affiliated with NSA until a NSA attorney or the Field Chief 
has ascertained that the individual's relationship with NSA is not 
classified. If the NSA person's association with NSA is classified, 
service of process will not be accepted. In such a case, the GC must be 
immediately informed. The GC will then contact the DoJ for guidance.
    (5) Suits in Foreign Courts. If any NSA person is sued or summoned 
in a foreign court, that person, or the cognizant Field Chief, will 
immediately telefax a copy of the service of process to the OGC. Such 
person will not complete any return of service forms unless advised 
otherwise by an NSA attorney. OGC will coordinate with the DoJ to 
determine whether service is effective and whether the NSA person is 
entitled to be represented at Government expense pursuant to Sec. 
93.1(f).



Sec. 93.6  Fees.

    Consistent with the guidelines in Sec. 93.1(e), NSA may charge 
reasonable fees to parties seeking, by request or demand, official 
information not otherwise available under the Freedom of Information 
Act, 5 U.S.C. 552. Such fees are calculated to reimburse the Government 
for the expense of providing such information, and may include:
    (a) The costs of time expended by NSA employees to process and 
respond to the request or demand;
    (b) 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
    (c) Expenses generated by materials and equipment used to search 
for, produce, and copy the responsive information.



Sec. 93.7  Responsibilities.

    (a) The General Counsel. The GC is responsible for overseeing NSA 
compliance with Sec. 93.1(a) and this part 93, and for consulting with 
DoJ when appropriate. In response to a litigation demand requesting 
official information or the testimony of NSA personnel as witnesses, the 
GC will coordinate NSA action to determine whether official information 
may be released and whether NSA personnel may be interviewed, contacted, 
or used as witnesses. The GC will determine what, if any, conditions 
will be imposed upon such release, interview, contact, or testimony. In 
most cases, an NSA attorney will be present when NSA personnel are 
interviewed or testify concerning official information. The GC may 
delegate these authorities.

[[Page 608]]

    (b) The Deputy Director for Plans and Policy (DDPP). The DDPP will 
assit the GC, upon request, in identifying and coordinating with NSA 
components that have cognizance over official information requested in a 
litigation demand. Additionally, the DDPP will advise the GC on the 
classified status of official information, and, when necessary, assist 
in declassifying, redacting, substituting, or summarizing official 
information for use in litigation. The DDPP may require the assistance 
of other Key Component Chiefs.
    (c) Chiefs of Key Components and Field Activities. Chiefs of Key 
Components and Field Activities shall ensure that their personnel are 
informed of the contents of this part 93, particularly of the 
requirements to consult with the OGC prior to responding to any 
litigation demand, and to inform the OGC whenever they receive service 
of process that is not clearly in their individual capacities. Field 
Chiefs will notify the OGC of the persons they designate under Sec. 
93.5(b)(3).
    (d) The Deputy Director for Administration (DDA). Within 60 days of 
the date of this part, the DDA shall submit to the GC for approval 
procedures for the attempted delivery of service of process during duty 
hours when an attorney of the OGC is not available.



 PART 94_NATURALIZATION OF ALIENS SERVING IN THE ARMED FORCES OF THE
 UNITED STATES AND OF ALIEN SPOUSES AND/OR ALIEN ADOPTED CHILDREN 
 OF MILITARY AND CIVILIAN PERSONNEL ORDERED OVERSEAS--
 Table of Contents



Sec.
94.1 Purpose.
94.2 Applicability.
94.3 Definitions.
94.4 Policy and procedures.
94.5 Forms required.

    Authority: Sec. 301, 80 Stat. 379; 5 U.S.C. 301.

    Source: 35 FR 17540, Nov. 14, 1970, unless otherwise noted.



Sec. 94.1  Purpose.

    This part prescribes uniform procedures acceptable to the 
Immigration and Naturalization Service of the Department of Justice, to 
(a) facilitate the naturalization of aliens who have served honorably in 
the Armed Forces of the United States and to (b) militarily certify 
alien dependents seeking naturalization under the provisions of 
Immigration and Nationality Act of 1952, as amended, sections 319(b) and 
323(c) (8 U.S.C. 1430(b) and 1434(c)); and furnishes policy guidance to 
the Secretaries of the Military Departments governing discharge or 
release from active duty in the Armed Forces of the United States of 
permanent-residence aliens who desire to be naturalized as U.S. citizens 
under the provisions of Act of June 27, 1952, section 328 (66 Stat. 
249); 8 U.S.C. 1439.



Sec. 94.2  Applicability.

    The provisions of this part apply to the Military Departments.



Sec. 94.3  Definitions.

    (a) Permanent-residence alien is an alien admitted into the United 
States under an immigration visa for permanent residence; or an alien, 
who, after admission without an immigrant visa, has had his status 
adjusted to that of an alien lawfully admitted for permanent residence.
    (b) Armed Forces of the United States denotes collectively all 
components of the Army, Navy, Air Force, Marine Corps, and Coast Guard.



Sec. 94.4  Policy and procedures.

    (a) Naturalization of an alien who has served honorably in the Armed 
Forces of the United States at any time. (1) Under the provisions of Act 
of June 27, 1952, section 328 (66 Stat. 249); 8 U.S.C. 1439, an alien 
who has served in the Armed Forces of the United States for a period(s) 
totaling three (3) years may be naturalized if he:
    (i) Has been lawfully admitted to the United States for permanent 
residence;
    (ii) Was separated from the military service under honorable 
conditions;
    (iii) Files a petition while still in the military service, or 
within six (6) months after the termination of such service; and
    (iv) Can comply in all other respects with the Immigration and 
Nationality Act of 1952, except that (a) no period of

[[Page 609]]

residence or specified period of physical presence in the United States 
or the State in which the petition for naturalization is filed is 
required, and (b) residence within the jurisdiction of the court is not 
required.
    (2) The prescribed 3-year period may be satisfied by a combination 
of active duty and inactive duty in a reserve status.
    (3) An alien member desiring to fulfill naturalization requirements 
through military service shall not be separated prior to completion of 
three (3) full years of active duty unless:
    (i) His performance or conduct does not justify retention, in which 
case he shall be separated in accordance with the provisions of part 41 
of this subchapter and chapter 47, title 10, United States Code (Uniform 
Code of Military Justice), as appropriate; or
    (ii) He is to be transferred to inactive duty in a reserve component 
in order to:
    (a) Complete a reserve obligation under the provisions of part 50 of 
this subchapter, or
    (b) Attend a recognized institution of learning under the early 
release program, as provided in DoD Instruction 1332.15, ``Early Release 
of Military Enlisted Personnel for College or Vocational/Technical 
School Enrollment,'' January 26, 1970. \1\
---------------------------------------------------------------------------

    \1\ Filed as part of original. Copies available from the U.S. Naval 
Publications and Forms Center, 5801 Tabor Avenue, Philadelphia, PA. 
19120, Attention: Code 300.
---------------------------------------------------------------------------

    (4) Caution shall be exercised to ensure that an alien's affiliation 
with the Armed Forces of the United States, whether on active duty or on 
inactive duty in a reserve status, is not terminated even for a few days 
short of the 3-year statutory period, since failure to comply with the 
exact 3-year requirement of Act of June 27, 1952, section 328 (66 Stat. 
249); 8 U.S.C. 1439 will automatically preclude a favorable 
determination by the Immigration and Naturalization Service on any 
petition for naturalization based on an alien's military service.
    (5) During a period of hostilities, as designated by the President 
of the United States, the expeditious naturalization provisions outlined 
in paragraph (b) of this section, will take precedence over the 
foregoing.
    (b) Naturalization of an alien who has served in the Armed Forces of 
the United States during a period of hostilities as designated by the 
President of the United States. (1) Under the provisions of Immigration 
and Nationality Act of 1952, as amended, section 329 (8 U.S.C. 1440), an 
alien who serves honorably on active duty in the Armed Forces of the 
United States during the period beginning February 28, 1961, and ending 
on a date designated by the President, by Executive order, as the date 
of termination of the Vietnam hostilities, or during any future period 
which President, by Executive order, shall designate as a period in 
which the Armed Forces of the United States are or were engaged in 
military operations involving armed conflict with a hostile foreign 
force, and who is otherwise eligible, may be naturalized whether or not 
he has been lawfully admitted to the United States for permanent 
residence, if the member was inducted, enlisted, or reenlisted in the 
United States (inclusive of Puerto Rico, Guam, Virgin Islands, Canal 
Zone, American Samoa, or Swains Island).
    (i) The induction, enlistment, or reenlistment in the United States 
or its stated possessions must actually be in these land areas, in 
ports, harbors, bays, enclosed sea areas along their routes, or within a 
marginal belt of the sea extending from the coastline outward three (3) 
geographical miles.
    (ii) Enlistment or reenlistment aboard a ship on the high seas or in 
foreign waters does not meet the requirements of Immigration and 
Nationality Act of 1952, as amended, section 329 (8 U.S.C. 1440). In 
such instances, the provisions of paragraph (a) of this section may 
apply.
    (2) Each Military Department will establish procedures containing 
the provisions outlined in paragraphs (b)(2) (i) and (ii) of this 
section. In addition, each qualifying alien shall be advised of the 
liberalized naturalization provisions of the Immigration and Nationality 
Act of 1952, as amended, section 329 (8 U.S.C. 1440), i.e., that the 
usual

[[Page 610]]

naturalization requirements concerning age, residence, physical 
presence, court jurisdiction and waiting periods are not applicable, and 
will be given appropriate assistance in processing his naturalization 
application in consonance with procedures contained in ``Naturalization 
Requirements and General Information,'' published by the U.S. Department 
of Justice (Form N-17).
    (i) Military basic training and orientation programs will include 
advice and assistance to interested aliens in completing and submitting 
the application and other forms required to initiate naturalization 
proceedings.
    (ii) In addition, applicants should be advised that:
    (a) Under the laws of certain foreign countries, military service in 
the Armed Forces of the United States may result in the loss of their 
native country citizenship but this same service may make them eligible 
for U.S. citizenship.
    (b) Their eligibility for naturalization, based upon the honorable 
service in an active duty status prescribed in the Immigration and 
Nationality Act of 1952, as amended, section 329 (8 U.S.C. 1440) will be 
retained, even though they apply for naturalization after their return 
to the United States following the termination or completion of their 
overseas assignment, or after their honorable discharge from the Armed 
Forces of the United States.
    (c) If they are stationed at a base in the continental United 
States, Alaska, Hawaii, Puerto Rico, Guam, or the Virgin Islands, they 
should apply for citizenship only if they expect to be stationed at the 
base for at least 60 days following application. Unless the Immigration 
and Naturalization Service has at least 60 days in which to complete the 
case, there is no assurance that it can be completed before the 
applicant is transferred, since the processing procedures outlined below 
take time and are not entirely within the control of the Immigration and 
Naturalization Service.
    (1) Every naturalization application must be processed when received 
by the Immigration and Naturalization Service. Special arrangements have 
been made to expedite the processing of petitions of alien members of 
the Armed Forces.
    (2) After processing, the alien applicant and two citizen witnesses 
must personally appear for examination by an officer of the Immigration 
and Naturalization Service in connection with the filing of a petition 
for naturalization in court.
    (3) Finally, the applicant must appear in person before the 
naturalization court on a date set by the court so that he may be 
admitted to citizenship.
    (d) If the alien member is scheduled for overseas assignment where 
naturalization courts are not available, he should apply for 
naturalization on the earliest possible date but no later than 60 days 
before departure for overseas assignment. No assurance that processing 
will be completed before the applicant's departure for overseas will be 
given by the Immigration and Naturalization Service unless it has 60 
days to complete the matter.
    (1) An alien serviceman who is serving overseas and has submitted or 
submits the required naturalization application and forms to the 
Immigration and Naturalization Service may not be granted ordinary 
leave, or Rest and Recuperation (R&R) leave (where authorized in 
overseas areas) for naturalization purposes, unless a written 
notification from the Immigration and Naturalization Service has been 
received by the serviceman informing him that the processing of his 
application has been completed, and requesting him to appear with two 
U.S. citizen witnesses before a representative of the Immigration and 
Naturalization Service at a designated location for the purpose of 
completing the naturalization.
    (2) If possible, an applicant granted leave for such purposes should 
advise the Immigration and Naturalization Service when he expects to 
arrive in the leave area and, in any event, should contact the 
Immigration and Naturalization Service office immediately upon arrival 
in the area. Every effort will be made to complete the naturalization 
within the leave period.
    (c) Naturalization of alien spouses and/or alien adopted children of 
military and civilian personnel ordered overseas. Alien spouses and/or 
alien adopted children of military and civilian personnel of

[[Page 611]]

the Department of Defense who are authorized to accompany or join their 
sponsors overseas and who wish to obtain U.S. citizenship prior to 
departure will be given maximum assistance by commanders of military 
installations.
    (1) DD Form 1278, ``Certificate of Overseas Assignment to Support 
Application to File Petition for Naturalization,'' \2\ will be issued to 
alien dependents by military commanders at the times indicated below in 
order that the alien may file such certificate with the nearest 
Immigration and Naturalization Service Office to initiate naturalization 
proceedings. Only DD Form 1278 will be accepted by the Immigration and 
Naturalization Service. Military commanders will not issue memoranda or 
letters of any kind in lieu thereof.
---------------------------------------------------------------------------

    \2\ Filed as part of original. Copies may be obtained from 
Departments of the Army, Navy, and Air Force.
---------------------------------------------------------------------------

    (i) When dependents are authorized automatic concurrent travel, DD 
Form 1278 will be issued not earlier than 90 days prior to the 
dependents' schedule date of travel.
    (ii) When advance application for concurrent travel is required, DD 
Form 1278 will be issued after approval is received and not earlier than 
90 days prior to the dependents' scheduled date of departure.
    (iii) When concurrent travel is not authorized, DD Form 1278 will be 
issued after authorization for dependents' movement is received and not 
earlier than 90 days prior to the dependents' scheduled date of travel.
    (2) Upon receipt of DD Form 1278, the alien will file this form, 
together with the application for petition for naturalization, 
Immigration and Naturalization Form N-400 (adult) or N-402 (child) as 
appropriate, if not previously filed, with the nearest office of the 
Immigration and Naturalization Service. The application must be 
accompanied by:
    (i) Three identical photographs.
    (ii) Form FD-358, Applicant Fingerprint Card, and
    (iii) Form G-325, Biographic Information.
    (3) Further processing of the application for citizenship is as 
prescribed by the Immigration and Naturalization Service.
    (4) Upon completion of the naturalization process, immediate 
application for passport should be made, in order that it can be issued 
prior to scheduled departure of the dependent for overseas.



Sec. 94.5  Forms required.

    The following forms required for naturalization purposes may be 
obtained from any office of the Immigration and Naturalization Service:
    (a) N-400 Application to File a Petition for Naturalization (Adult) 
(Submit original form only).
    (b) N-402 Application to File a Petition for Naturalization (Child) 
(Submit original form only).
    (c) G-325 Biographic Information (Submit original and duplicate of 
multileaf form).
    (d) G-325B Biographic Information (Submit original form only).
    (e) FD-258 Applicant Fingerprint Card (Submit one completed card).
    (f) N-426 Certificate of Military or Naval Service (Submit in 
triplicate). (Should be handled on a priority basis so as to avoid 
prejudicing the early completion of the naturalization process, 
particularly for an alien who may receive an overseas assignment.)
    (g) ``Naturalization Requirements and General Information,'' 
published by the U.S. Department of Justice (Form N-17) describes the 
naturalization requirements and lists Immigration and Naturalization 
offices which process applications.



PART 96_ACQUISITION AND USE OF CRIMINAL HISTORY RECORD INFORMATION
BY THE MILITARY SERVICES--Table of Contents



Sec.
96.1 Purpose.
96.2 Applicability.
96.3 Definitions.
96.4 Policy.
96.5 Responsibilities.
96.6 Procedures.

    Authority: 10 U.S.C. 503, 504, 505, and 520a.

    Source: 49 FR 23042, June 4, 1984, unless otherwise noted.

[[Page 612]]



Sec. 96.1  Purpose.

    Under title 10 U.S. Code, sections 503, 504, 505 and 520a, this part 
establishes policy guidance concerning the acquisition of criminal 
history record information for use in determining an enlistment 
applicant's suitability for entry and for participation in special 
programs that require a determination of trustworthiness (part 156 of 
this title), assigns responsibilities, and prescribes procedures.



Sec. 96.2  Applicability.

    This part applies to the Office of the Secretary of Defense, the 
Military Departments, and the Defense Investigative Service (DIS). The 
term ``Military Services,'' as used herein, refers to the Army, Navy, 
Air Force, and Marine Corps.



Sec. 96.3  Definitions.

    (a) Criminal history record information (with respect to any 
juvenile or adult arrest, citation, or conviction). The offense 
involved; age of the person involved; dates of arrest, citation, or 
conviction, if any; place of the alleged offense; place of arrest and 
assigned court; and disposition of the case.
    (b) Criminal justice system. State, county, and local government law 
enforcement agencies; courts and clerks of courts; and other government 
agencies authorized to collect, maintain, and disseminate criminal 
history record information.
    (c) Special programs. Military Services' programs that, because of 
their sensitivity or access to classified information, require the DIS 
to perform the investigations specified in chapter III of DoD 5200.2-R.



Sec. 96.4  Policy.

    Section 503 of title 10 U.S. Code requires the Secretaries of the 
Military Departments to conduct intensive recruiting campaigns to obtain 
enlistments. It is the policy of the Department of Defense that the 
Military Services review the background of applicants for enlistment and 
for participation in special programs to identify:
    (a) Those whose backgrounds pose serious questions as to fitness for 
service (10 U.S.C. 504 and 505) or suitability for participation in 
special programs (part 156 of this title).
    (b) Those who may not be enlisted in the Military Services unless a 
waiver is granted (section 504 of title 10, United States Code).
    (c) Those who may try to enlist fraudulently.



Sec. 96.5  Responsibilities.

    (a) The Assistant Secretary of Defense (Manpower, Installations, and 
Logistics) shall submit the implementing Military Service regulations to 
the Senate and House Committees on Armed Services, in accordance with 
section 520a of title 10 U.S. Code.
    (b) The Secretaries of the Military Departments shall develop and 
prepare uniform implementing regulations concerning acquisition, review, 
and safeguarding of criminal history record information by recruiting 
elements to conform with section 520a of title 10 U.S. Code, policies 
stated herein and shall include in the regulations procedures on 
obtaining and reviewing criminal history record information for 
recruitment purposes and for assignment of personnel to special 
programs.
    (c) The Director, Defense Investigative Service, shall ensure that 
the acquisition of all available criminal history record information, or 
criminal history record information provided to the DIS by other 
government agencies, is safeguarded in accordance with existing laws or 
DoD regulatory documents to ensure protection of the privacy of the 
enlistment applicant on whom the record exists.



Sec. 96.6  Procedures.

    (a) Under section 520a of title 10 U.S. Code, recruiters are 
authorized to request and receive criminal history record information 
from the criminal justice system.
    (b) The Military Services shall obtain criminal history record 
information on enlistment applicants from the criminal justice system 
and from the DIS and shall review this information to determine whether 
applicants are acceptable for enlistment and for assignment to special 
programs. Recruiters shall request such information in each instance by 
addressing their requests to the criminal justice system not

[[Page 613]]

later than 90 days after each application for enlistment is made.
    (c) The Military Services shall ensure the confidentiality of 
criminal history record information obtained for recruiting purposes. 
Personnel who have access to this information may not disclose it except 
for the purposes for which obtained (10 U.S.C. 520a).
    (d) The DIS shall provide additional background information to the 
Military Services as needed to determine the suitability of applicants 
for enlistment and for participation in special programs. This 
additional background information shall be provided by Entrance National 
Agency Checks (ENTNACs) and other investigations as directed by DoD 
5200.2-R.



PART 97_RELEASE OF OFFICIAL INFORMATION IN LITIGATION AND TESTIMONY
BY DoD PERSONNEL AS WITNESSES--Table of Contents



Sec.
97.1 Purpose.
97.2 Applicability and scope.
97.3 Definitions.
97.4 Policy.
97.5 Responsibilities.
97.6 Procedures.

    Authority: 5 U.S.C. 301; 10 U.S.C. 133.

    Source: 50 FR 32056, Aug. 8, 1985, unless otherwise noted.



Sec. 97.1  Purpose.

    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.



Sec. 97.2  Applicability and scope.

    (a) 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.
    (b) This directive does not apply to the release of official 
information or testimony by DoD personnel in the following situations:
    (1) Before courts-martial convened by the authority of the Military 
Departments or in administrative proceedings conducted by or on behalf 
of a DoD Component;
    (2) 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;
    (3) In response to requests by Federal Government counsel in 
litigation conducted on behalf of the United States;
    (4) As part of the assistance required pursuant to DoD Directive 
5220.6, ``Industrial Personnel Security Clearance Program,'' December 20 
1976; or,
    (5) 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.
    (c) This Directive does not supersede or modify existing laws or DoD 
program 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. 552, or the Privacy Act, 5 U.S.C. 552a, 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.
    (d) 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.
    (e) This Directive does not preclude official comment on matters in 
litigation in appropriate cases.
    (f) 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,

[[Page 614]]

enforceable at law against the United States or the Department of 
Defense.



Sec. 97.3  Definitions.

    (a) 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.
    (b) 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 U.S. Armed Forces; and other specific individuals hired through 
contractual agreements by or on behalf of the Department of Defense.
    (c) 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.
    (d) 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 U.S. Armed Forces.



Sec. 97.4  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.



Sec. 97.5  Responsibilities.

    (a) The General Counsel, Department of Defense, 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.
    (b) The Heads of DoD Components shall issue appropriate regulations 
to implement this Directive and to identify official information that is 
involved in litigation.



Sec. 97.6  Procedures.

    (a) Authority to act. (1) 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 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.
    (2) 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.

[[Page 615]]

    (3) Notwithstanding the provisions of paragraph (a) (1) and (2) of 
this section, the General Counsel, DoD, in litigation involving 
terrorism, espionage, nuclear weapons, intelligence means or sources, or 
otherwise as deemed necessary, may notify Components that General 
Counsel, DoD, will assume primary responsibility for coordinating all 
litigation requests and demands for official DoD information or 
testimony of DoD personnel, or both; consulting with the Department of 
Justice, as required; and taking final action on such requests and 
demands.
    (b) Factors to consider. In deciding whether to authorize the 
release of official DoD information or the testimony of DoD personnel 
concerning official information (hereafter referred to as ``the 
disclosure'') pursuant to paragraph (a), DoD officials should consider 
the following types of factors:
    (1) Whether the request or demand is unduly burdensome or otherwise 
inappropriate under the applicable court rules;
    (2) 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;
    (3) Whether the disclosure would violate a statute, executive order, 
regulation, or directive;
    (4) Whether the disclosure, including release in camera, is 
appropriate or necessary under the relevant substantive law concerning 
privilege;
    (5) Whether the disclosure, except when in camera and necessary to 
assert a claim of privilege, would reveal information properly 
classified pursuant to DoD 5200.1-R, ``Information Security Program 
Regulation,'' August 1982; unclassified technical data withheld from 
public release pursuant to DoD Directive 5230.25, ``Withholding of 
Unclassified Technical Data from Public Disclosure,'' November 6, 1984; 
or other matters exempt from unrestricted disclosure; and,
    (6) 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.
    (c) Decisions on litigation requests and demands. (1) Subject to 
paragraph (c)(5) of this section, 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 
Sec. 97.6(a). Oral approval may be granted, but a record of such 
approval will be made and retained in accordance with the applicable 
implementing regulations.
    (2) 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 (c)(5), DoD personnel may only 
produce, disclose, release, comment upon, or testify concerning those 
matters that were specified in writing and properly approved by the 
appropriate DoD official designated in paragraph (a) of this section. 
See United States ex rel. Touhy v. Ragen, 340 U.S. 462 (1951).
    (3) 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 appropriate DoD official designated in 
Sec. 97.6(a) 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 demand. 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.
    (4) If, after DoD personnel have received a litigation request or 
demand and have in turn notified the appropriate DoD official in 
accordance with

[[Page 616]]

paragraph (c)(3) of this section , a response to the request or demand 
is required before instructions from the responsible official are 
received, the responsible official designated in paragraph (a) 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.
    (5) 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 Sec. 97.6(c)(4), 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 order or ruling 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).
    (d) Fees. Consistent with the guidelines in DoD Instruction 7230.7, 
``User Charges,'' January 29, 1985, the appropriate officials designated 
in Sec. 97.6(a) 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 DoD 5400.7-R, ``DoD Freedom of Information Act 
Program,'' March 24, 1980. 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 requst 
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).
    (e) 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 (a) of this section 
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).



PART 99_PROCEDURES FOR STATES AND LOCALITIES TO REQUEST INDEMNIFICATION
--Table of Contents



Sec.
99.1 Scope and purpose.
99.3 General definitions.
99.5 Eligibility for indemnification.
99.7 Procedures for requesting an indemnification agreement.
99.9 Terms of indemnification.

Appendix to Part 99--Addresses of Relevant U.S. Government Agencies

    Authority: Access to Criminal History Records for National Security 
Purposes, of The Intelligence Authorization Act for Fiscal Year 1986, 
Pub. L. No. 99-169, secs. 801-803, 99 Stat. 1002, 1008-1011 (1985) 
(codified in part at 5 U.S.C. 9101).

[[Page 617]]


    Source: 51 FR 42555, Nov. 25, 1986, unless otherwise noted.



Sec. 99.1  Scope and purpose.

    (a) The Department of Defense (DoD), Office of Personnel Management 
(OPM), or Central Intelligence Agency (CIA) has the right to criminal 
history information of States and local criminal justice agencies in 
order to determine whether a person may:
    (1) Be eligible for access to classified information;
    (2) Be assigned to sensitive national security duties; or
    (3) Continue to be assigned to national security duties.
    (b) This part sets out the conditions under which the DoD, OPM, or 
CIA may sign an agreement to indemnify and hold harmless a State or 
locality against claims for damages, costs, and other monetary loss 
caused by disclosure or use of criminal history record information by 
one of these agencies.
    (c) The procedures set forth in this part do not apply to situations 
where a Federal agency seeks access to the criminal history records of 
another Federal agency.
    (d) By law these provisions implementing 5 U.S.C. 9101 (b)(3) shall 
expire December 4, 1988, unless the duration of said section is extended 
or limited by Congress.



Sec. 99.3  General definitions.

    For the purposes of Sec. Sec. 99.1 through 99.9 of this part:
    Criminal history record information: information collected by 
criminal justice agencies on individuals consisting of identifiable 
descriptions and notations of arrests, indictments, information, or 
other formal criminal charges and any disposition arising therefrom, 
sentencing, correction supervision, and release. The term does not 
include identification information such as fingerprint records to the 
extent that such information does not indicate involvement of the 
individual in the criminal justice system. The term does not include 
those records of a State or locality sealed pursuant to law from access 
by State and local criminal justice agencies of that State or locality.
    Criminal justice agency: Federal, State, and local agencies 
including (a) courts, or (b) a government agency or any subunit thereof 
which performs the administration of criminal justice pursuant to a 
statute or executive order, and which allocates a substantial part of 
its annual budget to the administration of criminal justice.
    Department of Defense: the Defense Investigative Service, National 
Security Agency, Naval Investigative Service, Air Force Office of 
Special Investigations, and Army Intelligence and Security Command.
    Federal agency: the Department of Defense, the Office of Personnel 
Management, or the Central Intelligence Agency, or any other Federal 
agency subsequently authorized by Congress to obtain access to criminal 
history records information.
    Locality: any local government authority or agency or component 
thereof within a State having jurisdiction over matters at a county, 
municipal or other local government level.
    State: any of the several States, the District of Columbia, the 
Commonwealth of Puerto Rico, the Northern Mariana Islands, Guam, the 
Virgin Islands, American Samoa, the Trust Territory of Pacific Islands, 
and any other territory or possession of the United States.



Sec. 99.5  Eligibility for indemnification.

    As provided for under 5 U.S.C. 9101(b)(3), a State or locality may 
request an indemnification agreement.
    (a) To be eligible for an indemnification agreement a State or 
locality must have had a law in effect on December 4, 1985 that 
prohibited or had the effect of prohibiting the disclosure of criminal 
history record information to the DoD, OPM, or CIA.
    (b) A State or locality is also eligible for an indemnification 
agreement if it meets the conditions of paragraph (a) of this section, 
but nevertheless provided criminal history record information to the 
DoD, OPM, or CIA on or before December 4, 1985.



Sec. 99.7  Procedures for requesting an indemnification agreement.

    When requesting an indemnification agreement, the State or locality 
must

[[Page 618]]

notify each Federal agency as appropriate, at the address listed in the 
appendix to this part, of its eligibility of an indemnification 
agreement. It must also:
    (a) Certify that on December 4, 1985, the State or locality had in 
effect a law which prohibited or had the effect of prohibiting the 
disclosure of criminal history record information to the DoD, OPM, or 
CIA; and
    (b) Append to the request for an indemnification agreement a copy of 
such law.



Sec. 99.9  Terms of indemnification.

    The terms of the Uniform Federal Agency Indemnification Agreement 
(UFAIA), must conform to the following provisions:
    (a) Eligibility: The State or locality must certify that its law 
prohibits or has the effect of prohibiting the disclosure of criminal 
history record information to the DoD, OPM, or CIA for the purposes 
described in section 910.101(a) and that such law was in effect on 
December 4, 1985.
    (b) Liability: (1) The Federal agency agrees to indemnify and hold 
harmless the State or locality from any claim for damages, costs and 
other monetary loss arising from the disclosure or negligent use by the 
DoD, OPM, or CIA of criminal history record information obtained from 
that State or locality pursuant to 5 U.S.C. 9101(b). The indemnification 
will include the officers, employees, and agents of the State or 
locality.
    (2) The indemnification agreement will not extend to any act or 
omission prior to the transmittal of the criminal history record 
information to the Federal agency.
    (3) The indemnification agreement will not extend to any negligent 
acts on the part of the State or locality in compiling, transcribing or 
failing to delete or purge any of the information transmitted.
    (c) Consent and access requirements: (1) The Federal agency when 
requesting criminal history record information from the State or 
locality for the release of such information will attest that it has 
obtained the written consent of the individual under investigation after 
advising him or her of the purposes for which that information is 
intended to be used.
    (2) The Federal agency will attest that it has advised that 
individual of the right to access that information.
    (d) Purpose requirements: The Federal agency will use the criminal 
history record information only for the purposes stated in Sec. 
910.101(a).
    (e) Notice, litigation and settlement procedures: (1) The State or 
locality must give notice of any claim against it on or before the 10th 
day after the day on which claim against it is received, or it has 
notice of such a claim.
    (2) The notice must be given to the Attorney General and to the U.S. 
Attorney of the district embracing the place wherein the claim is made.
    (3) The Attorney General shall make all determinations regarding the 
settlement or defense of such claims.



Sec. Appendix to Part 99--Addresses of Relevant U.S. Government Agencies

Department of Defense, Office of the General Counsel, Room 3E988, 
Washington, DC 20301-1600
Office of Personnel Management, Office of Federal Investigations, P.O. 
Box 886, Washington, DC 20044
Central Intelligence Agency, Attention: Office of General Counsel, 
Washington, DC 20505



PART 100_UNSATISFACTORY PERFORMANCE OF READY RESERVE OBLIGATION
--Table of Contents



Sec.
100.1 Reissuance and purpose.
100.2 Applicability.
100.3 Policy.
100.4 Responsibility.
100.5 Procedures.
100.6 Definitions.

Enclosure to Part 100--Suggested Format, Affidavit of Service by Mail

    Authority: 10 U.S.C. 510, 511, 593, 597, or 651, and 32 U.S.C. 302.

    Source: 44 FR 51568, Sept. 4, 1979, unless otherwise noted.



Sec. 100.1  Reissuance and purpose.

    This part is reissued to update DoD policy on actions to be taken in 
regard to members of the Ready Reserve

[[Page 619]]

whose performance of duty or participation in Reserve training is 
unsatisfactory; and provides greater flexibility to the Military 
Departments when dealing with unsatisfactory performance.



Sec. 100.2  Applicability.

    The provisions of this part apply to the Office of the Secretary of 
Defense and the Military Departments.



Sec. 100.3  Policy.

    Persons who are enlisted or appointed in, or transferred to a 
Reserve component of the Armed Forces of the United States, under the 
provisions of 10 U.S.C. 510, 511, 593, 597, or 651 and 32 U.S.C. 302 are 
expected to participate and perform satisfactorily as members of the 
Ready Reserve to fulfill their obligation or service agreement. This 
policy is also in accordance with the standards prescribed by 32 CFR 
parts 102 and 101 and the Military Departments concerned.



Sec. 100.4  Responsibility.

    The Secretaries of the Military Departments shall ensure that:
    (a) Ready Reserve applicants understand their obligations for 
satisfactory participation in the Ready Reserve before their enlistment 
or appointment.
    (b) Members of the Ready Reserve continue to understand their 
obligations for satisfactory participation in the Ready Reserve after 
their enlistment or appointment in accordance with 32 CFR part 44.



Sec. 100.5  Procedures.

    (a) Unsatisfactory participation in the Ready Reserve. (1) Members 
of the Selected Reserve who have not fulfilled their statutory military 
service obligation under 10 U.S.C. 651 and whose participation has not 
been satisfactory may be:
    (i) Ordered to active duty, if they have not served on active duty 
or active duty for training for a total period of 24 months, for such 
period of time as may be deemed necessary by the Secretary of the 
Military Department concerned under the provisions of 10 U.S.C. 673a 
(such individuals may be required to serve on active duty until their 
total service on active duty or active duty for training equals 24 
months); or
    (ii) Ordered to active duty for training, regardless of the length 
of prior active duty or active duty for training, for a period of not 
more than 45 days under provisions of 10 U.S.C. 270; or
    (iii) Transferred to the Individual Ready Reserve (IRR) for the 
balance of their statutory military service obligation with a tentative 
characterization of service, normally under other than honorable 
conditions, when the Military Department concerned has determined that 
the individuals still possesses the potential for useful service under 
conditions of full mobilization; or
    (iv) Discharged for unsatisfactory participation under the 
provisions of 32 CFR part 41, when the Military Department concerned has 
determined that the individual has no potential for useful service under 
conditions of full mobilization.
    (2) Members of the Selected Reserve who have fulfilled their 
statutory military service obligation under 10 U.S.C. 651 or who did not 
incur such obligation, \2\ and whose participation has not been 
satisfactory may be:
---------------------------------------------------------------------------

    \2\ This includes women whose current enlistment or appointment was 
effected before February 1, 1978.
---------------------------------------------------------------------------

    (i) Transferred to the IRR for the balance of their current 
enlistment contract or service agreement with a tentative 
characterization of service, normally under other than honorable 
conditions, when the Military Department concerned has determined that 
the individual still has a potential for useful service under conditions 
of full mobilization; or
    (ii) Discharged for unsatisfactory performance under 32 CFR part 41 
when the Military Department concerned has determined that the 
individual has no further potential for useful service under conditions 
of full mobilization.
    (3) When a member of the Selected Reserve is identified as an 
unsatisfactory participant and considered a possible candidate for 
involuntary transfer to the IRR or for discharge, a board of officers 
shall be convened, as required

[[Page 620]]

by 10 U.S.C. 1163 to consider the circumstances and recommend 
appropriate action.
    (4) When an individual is transferred to the IRR as a result of an 
approved board recommendation, no further board action shall be required 
before discharge if the individual fails to take affirmative action in 
an effort to upgrade the tentative characterization of service.
    (5) Members of the IRR who have not fulfilled their statutory 
military service obligation under 10 U.S.C. 651 were enlisted or 
appointed under any program that provided that the obligation could be 
fulfilled by service in the IRR only, and whose participation in such a 
program has not been satisfactory may be:
    (i) Retained in the IRR for the duration of their statutory military 
service obligation with a tentative characterization of service, 
normally under other than honorable conditions, when the Military 
Department concerned has determined that the individual still possesses 
the potential for useful service under conditions of full mobilization; 
or
    (ii) Discharged for unsatisfactory performance under 32 CFR part 41, 
when the Military Department concerned has determined that the 
individual has no potential for useful service under conditions of full 
mobilization.
    (6) When a member of the IRR, whose enlistment or appointment 
provided that the service concerned could be performed entirely in the 
IRR (as opposed to the Selected Reserve), is identified as an 
unsatisfactory participant, a board of officers shall be convened as 
required by 10 U.S.C. 1163 to consider the circumstances and recommend 
appropriate action. When an individual is retained as a result of an 
approved board action, no further board action shall be required before 
discharge if the individual fails to take affirmative action in an 
effort to upgrade the tentative characterization of service.
    (7) Individuals assigned to the Selected Reserve who are ordered to 
active duty under 10 U.S.C. 673a or to active duty for training under 
the provisions of 10 U.S.C. 270 may be returned to their previous unit 
of assignment or transferred to the IRR upon the completion of the 
active duty or active duty for training. When necessary, the 
individual's term of enlistment or service agreement may be extended to 
permit completion of the designated period of active duty or active duty 
for training in accordance with 10 U.S.C. 270(b) and 673(b).
    (8) Individuals who are transferred or assigned to the IRR who have 
a tentative characterization of service of less than honorable because 
of unsatisfactory participation in the Ready Reserve shall be discharged 
at the end of their statutory military service obligation or their 
period of enlistment or service agreement, whichever is later with such 
characterization unless the individuals have taken affirmative action to 
upgrade the tentative characterization of service. Affirmative actions 
may include, but are not limited to, rejoining a unit of the Selected 
Reserve and participating satisfactorily for a period of 12 months, or 
volunteering for and completing a tour of active duty for training of 
not less than 45 days. When necessary, the individual's term of 
enlistment or service agreement may be extended to complete the 
affirmative action and qualify for a more favorable characterization of 
service.
    (9) When members of the Selected Reserve are ordered to active duty, 
active duty for training, or transferred to the IRR because of 
unsatisfactory participation, copies of their orders should be furnished 
to the individuals through personal contact by a member of the command 
and a written acknowledgment of receipt obtained. When such efforts are 
unsuccessful, the orders shall be mailed to the individual.
    (i) Orders mailed to such members shall be sent by Certified Mail 
(Return Receipt Requested), and a Receipt for Certified Mail (PS Form 
3800) obtained. In addition, the individual who mails the orders shall 
prepare a Sworn Affidavit of Service by Mail (format at enclosure) that 
shall be inserted, together with the PS Form 3800, in the member's 
personnel file.
    (ii) Notification shall be made through the mailing of orders to the 
member's most recent mailing address.

[[Page 621]]

    (iii) Provided the orders were properly mailed to the most recent 
address furnished by the member, absence of proof of delivery does not 
change the fact that the member was properly ordered to report for 
active duty, active duty for training, or transferred to the IRR, as 
appropriate.
    (iv) Individuals ordered to active duty who fail to report shall 
have their names entered into the National Crime Information Center of 
the Federal Bureau of Investigation within 30 days following their 
reporting date and appropriate screening by the Deserter Information 
Point concerned.
    (10) Orders affecting members of the IRR that involve active duty 
for training required by the terms of their enlistment or service 
agreement may be handled by mail in the manner prescribed in paragraph 
(a)(9)(i) of this section.
    (11) Each member of the IRR must keep the organization of assignment 
informed of:
    (i) His/her accurate and current mailing address;
    (ii) Any change of address, marital status, number of dependents, 
and civilian employment; and
    (iii) Any change in physical condition that would prevent the member 
from meeting the physical or mental standards prescribed by 10 U.S.C. 
652 and part 44 of this title.
    (12) Individuals involuntarily ordered to active duty or active duty 
for training under provisions of this part may be delayed as prescribed 
by the Secretary of the Military Department concerned.
    (13) Individuals whose involuntary order to active duty would result 
in extreme community or personal hardship may, upon their request, be 
transferred to the Standby Reserve, the Retired Reserve, or discharged, 
as appropriate, in accordance with 10 U.S.C. 673a(c) and part 44 of this 
title.
    (b) Exceptions. As exceptions to the criteria in paragraph (a) of 
this section, members of the Ready Reserve who do not or are unable to 
participate for any of the following reasons shall be processed as 
indicated:
    (1) Members of the Selected Reserve who are unable to participate in 
a unit of the Selected Reserve by reason of an action taken by the 
Military Department concerned, such as unit inactivation or relocation, 
to the effect that they now reside beyond a reasonable commuting 
distance (as defined in Sec. 100.6(e)) of a Reserve unit, shall be 
assigned to the IRR until they are able to join or be assigned to 
another unit, or complete their statutory military service obligation.
    (2) Members of the Selected Reserve who change their residence:
    (i) May lose their unit position. However, they will be transferred 
to another paid-drill unit with the same Reserve component if possible 
or be given 90 days after departing from their original unit to locate 
and join another unit. At the new unit, they will fill an existing 
vacancy or be assigned as a temporary overstrength within the 
congressionally authorized standard-years (defined in Sec. 100.6(f)) or 
funds under paragraph (b)(2)(iii) (A) and (B) of this section.
    (ii) May locate position vacancies that require different 
specialties than the ones they now possess. Therefore, the Secretary of 
the Military Department concerned may provide for the retaining of these 
individuals (with their consent) by ordering them to active duty for 
training to acquire the necessary specialties.
    (iii) Must be accepted in a Reserve unit by their parent Military 
Department regardless of vacancies, subject to the following conditions:
    (A) The losing unit certifies that the reservist's performance of 
service has been satisfactory.
    (B) The reservist's specialty is usable in the unit, the member can 
be retrained by on-the-job training, or the member is willing to be 
retrained as outlined in paragraph (b)(2)(ii) of this section.
    (iv) Are authorized to transfer to another Reserve component under 
the provisions of DoD Directive 1205.51, ``Transfer of Persons Between 
Reserve Components of the Armed Forces,'' June 25, 1959, when the 
conditions outlined in paragraph (b)(2)(iii) apply.
    (3) If members of the Selected Reserve who change their residents 
fail to join another unit within a period of 90

[[Page 622]]

days, and at least 1 unit of their component is within a reasonable 
commuting distance, as such distance is defined in Sec. 100.6(e) they 
shall be processed in accordance with Sec. 100.5(a) unless they are 
considered eligible to be handled as ``exceptions'' under policies 
outlined in paragraph (b) (5) through (8) of this section.
    (4) If members of the Selected Reserve who change their residences 
locate in an area where they reside beyond a reasonable commuting 
distance, as such distance is defined in Sec. 100.6(e) of a paid-drill 
unit of the same Reserve component, they shall be assigned to the IRR of 
their service until they are able to transfer to a paid-drill unit of 
another Reserve component; or complete their statutory military service 
obligation.
    (5) Members of the Ready Reserve who are preparing for, or are 
engaged in, critical civilian occupations will be screened in accordance 
with 32 CFR part 44.
    (6) Individuals who are preparing for the ministry in a recognized 
theological or divinity school may participate voluntarily in the Ready 
Reserve. However, under 10 U.S.C. 685, such individuals may not be 
required to do so. Members who do not wish to participate shall be 
transferred to the Standby Reserve. If such training is terminated 
before graduation, the member may be transferred back to the Ready 
Reserve. A member eligible for assignment to the Standby Reserve under 
the provisions of 10 U.S.C. 268(b), 270, 510, 511, 593, 597, 651, 652, 
672, 673, 673a, 673b, 685, and 1163 who voluntarily remains assigned to 
the Selected Reserve and participates in the training required, waives 
any right to request delay to exemption from any later mobilization on 
the basis of preparation for the ministry.
    (7) Individuals who are enrolled in a course of graduate study in 
one of the health professions shall be screened in accordance with DoD 
Directive 1200.141, ``Reservists Who Are Engaged in Graduate Study or 
Training in Certain Health Progressions,'' July 30, 1969.
    (8) Individuals who incur a bona fide, temporary nonmilitary 
obligation requiring overseas residency outside the United States, or 
religious missionary obligation shall be processed in accordance with 32 
CFR art 103.
    (9) Nothing in this part shall be construed as limiting the right of 
the individual to voluntarily request transfer to the Standby Reserve or 
to the Retired Reserve, or discharge from the Reserve components when 
such action is authorized by regulations of the Military Department 
concerned.
    (10) Nothing in this part shall be construed as precluding action 
against a member of the Ready Reserve, either by court-martial or review 
by a board of officers convened by an authority designated by the 
Secretary of the Military Department concerned, when such action might 
otherwise be warranted under 10 U.S.C. 268(b), 270, 510, 511, 593, 597, 
651, 652, 672, 673, 673a, 673b, 685, and 1163 and the regulations of the 
Military Department concerned.



Sec. 100.6  Definitions.

    (a) Ready Reserve. Consists of the Selected Reserve and the 
Individual Ready Reserve. Members of both are subject to active duty as 
outlined in 10 U.S.C. 672 and 673.
    (b) Selected Reserve. Members of the Ready Reserve in training/pay 
categories A, B, C, F, M and P. These reservists are either members of 
units who participate regularly in drills and annual active duty for 
training, in annual field training in the case of the National Guard, or 
are on initial active duty for training; or they are individuals who 
participate in regular drills and annual active duty on the same basis 
as members of Reserve component units. Excluded from the Selected 
Reserve are Reserve component members who are:
    (1) Participating in annual active duty for training and not paid 
for attendance at regular drills (pay categories D and E), or awaiting, 
in a nonpay status, their initial active duty for training (pay category 
L).
    (2) Enrolled in officer training program (pay category J) members of 
the Individual Ready Reserve pool (pay category H), and reservists on 
extended active duty. (See 10 U.S.C. 268(b) 32 CFR part 102.)
    (3) Members of the Inactive Army National Guard.

[[Page 623]]

    (c) Individual Ready Reserve (IRR). Members of the Ready Reserve not 
assigned to the Selected Reserve and not on active duty.
    (d) Unsatisfactory participation. A member of the Ready Reserve who 
fails to fulfill his/her obligation or agreement as a member of a unit 
of the Ready Reserve described in 10 U.S.C. 268(b), 270, 510, 511, 593, 
597, 651, 652, 672, 673, 673a, 673b, 685, and 1163. Or a member who 
fails to meet the standards as prescribed by the Military Departments 
concerned for attendance at training drills, attendance at active duty 
for training, training advancement, or performance of duty.
    (e) Reasonable commuting distance. The maximum distance a member of 
a Reserve component may travel involuntarily between residence and drill 
training site, in accordance with Sec. 100.5(b)(1). This distance may 
be within:
    (1) A 100-mile radius of the drill site that does not exceed a 
distance that can be traveled by automobile under average conditions of 
traffic, weather, and roads within 3 hours. This applies only to those 
units that normally conduct four drills on 2 consecutive days during the 
training year, if Government meals and quarters are provided at the base 
where the unit drills. (The provisions of this paragraph shall apply 
only to those individuals enlisting, reenlisting, or extending their 
enlistments after November 1, 1972.)
    (2) A 50-mile radius of the drill site that does not exceed a 
distance that can be traveled by automobile under average conditions of 
traffic, weather, and roads within a period of 1\1/2\ hours.
    (f) Standard-year. Personnel authorizations that describe the amount 
of work expected of one individual during a calendar or fiscal year.
    (g) Tentative characterization of service. An interim description of 
the quality of performance during a period which is less than the time 
required to earn an administrative discharge. The quality of performance 
shall be described as honorable, under honorable conditions, or under 
other than honorable conditions. If the quality is described as under 
honorable conditions a General Discharge certificate shall be provided 
upon discharge. If the quality is described as under other than 
honorable conditions a Discharge Under Other Than Honorable Conditions 
certificate shall be provided upon discharge.

[44 FR 51568, Sept. 4, 1979, as amended at 45 FR 48618, July 21, 1980]



 Sec. Enclosure to Part 100--Suggested Format, Affidavit of Service by 
                                  Mail

State of ----------
County of ----------
---------- (Name of individuals who mailed orders), being duly sworn, 
deposes and says:

    I am the ---------- (Job Title, e.g., Personnel Officer) of --------
-- (Unit) on the ------ day of ---------------- 19----, I mailed the 
original orders, a true copy of which is attached hereto, by Certified 
Mail (Return Receipt Requested) to ---------- (Name and address of 
member of orders) that being the last known address given to ---------- 
(Unit) as the one at which official mail would be received by or 
forwarded to the Reserve component member by depositing same in an 
official depository of the U.S. Postal Service at ---------- (Location 
of Postal Facility) in a securely wrapped and sealed U.S. Government 
official postal envelope with a Return Receipt Card (PS Form 3811) 
attached and the envelope addressed to the member at the address 
provided. A Receipt for Certified Mail (PS Form 3800) attesting to such 
action is attached.

---------- (Signature and Rank of Affiant)
Sworn and subscribed before me this ------ day of ----------------------
-- 19----.
---------- (Signature and Rank of Officer Administering Oath)



PART 101_PARTICIPATION IN RESERVE TRAINING PROGRAMS--Table of Contents



Sec.
101.1 Reissuance and purpose.
101.2 Applicability.
101.3 Definitions.
101.4 Responsibilities.
101.5 Requirements.
101.6 Criteria for satisfactory performance.
101.7 Compliance measures.
101.8 Reserve training in sovereign foreign nations.

    Authority: 10 U.S.C. 270 (a), (b), (c), 511 (b), (d), and 673a, and 
32 U.S.C. 502(a).

    Source: 44 FR 53160, Sept. 13, 1979, unless otherwise noted.

[[Page 624]]



Sec. 101.1  Reissuance and purpose.

    This part establishes: (a) The criteria and training requirements 
for satisfactory participation by members of the Reserve components of 
the U.S. Armed Forces who are subject to the provisions of 10 U.S.C. and 
32 U.S.C., and (b) uniform DoD policy for training members of such 
Reserve components who may be temporarily residing in sovereign foreign 
nations.



Sec. 101.2  Applicability.

    The provisions of this part apply to the Office of the Secretary of 
Defense and the Military Departments.



Sec. 101.3  Definitions.

    For the purposes of administering 10 U.S.C. 270(a), the terms 
enlisted and appointed refer to initial entry into an armed force 
through enlistment or appointment.



Sec. 101.4  Responsibilities.

    The Secretaries of the Military Departments will issue regulations 
prescribing criteria and training requirements for satisfactory 
participation in Reserve training programs by members of Reserve 
components of the U.S. Armed Forces and exceptions thereto, consistent 
with Sec. 101.5.



Sec. 101.5  Requirements.

    (a) Reserve participation--(1) Training requirements under 10 U.S.C. 
270(a). (i) Each individual inducted, enlisted, or appointed in the U.S. 
Armed Forces after August 9, 1955, who becomes a member of the Ready 
Reserve (by means other than through membership in the Army National 
Guard of the United States (see Sec. 101.5(a)(2)) during the required 
statutory period in the Ready Reserve, participate or serve as follows, 
except as provided in 32 CFR part 102.
    (A) In at least 48 scheduled drills or training periods and not less 
than 14 days (exclusive of travel time) of active duty training during 
each year; or
    (B) On active duty for training for no more than 30 days each year, 
unless otherwise specifically prescribed by the Secretary of Defense.
    (ii) The provisions of Sec. 101.5(a)(1) do not apply to graduates 
of the Federal and State Maritime Academies who are commissioned in the 
Naval Reserve.
    (2) Training requirements under 32 U.S.C. 502(a) apply to the 
Secretaries of the Army and Air Force only. Members of the Army and Air 
National Guard shall:
    (i) Assemble for drill and instruction at least 48 times a year, and
    (ii) Participate in training encampments, maneuvers, or other 
exercises at least 15 days a year, unless excused by the Secretaries of 
the Army or Air Force.
    (3) Active duty. Enlisted members who have served 2 years on active 
duty or who, under the policy and regulations of the Military Services 
concerned, were credited with having served 2 years of active duty will 
not be required to perform duty as described in paragraph (a)(1)(i) (A) 
and (B) of this section unless such members:
    (i) Enlisted under the provisions of 10 U.S.C. 511(b) or (d) thereby 
incurring a statutory obligation to participate in the Ready Reserve in 
an active training status for a specified period of time after the 2 
years of active duty described above.
    (ii) Performed part or all of their 2 years of active duty as a 
result of being ordered to active duty under 10 U.S.C. 673a for not 
participating satisfactorily in a unit of the Ready Reserve. However, 
the Secretary concerned, or designee, may waive this requirement in 
those cases where involuntary retention would not be in the best 
interest of the Service.
    (iii) Filled a vacancy in the Selected Reserve that otherwise cannot 
be filled, following a diligent recruiting effort by the Secretary 
concerned.
    (iv) Executed a separate written agreement incurring an obligation 
to participate in the Selected Reserve.
    (4) Active duty served in a combat zone. (i) Except as specified in 
paragraph (a)(4)(ii), enlisted members who (A) have served on active 
duty in a combat zone for hostile fire pay (or other areas as prescribed 
by the Secretary of Defense) for a total of 30 days or more, or (B) are 
wounded while on active duty in hostile areas, will not be required to 
perform duty involuntarily (as described paragraph (a) (1)(i)(A) and (2) 
of this section. However, these members

[[Page 625]]

may be required to participate or serve on active duty for no more than 
30 days each year, unless otherwise specifically prescribed by the 
Secretary of Defense.
    (ii) Members, who enlisted under the provisions of 10 U.S.C. 511(b) 
or (d) and serve on active duty described in paragraph (a)(4)(i) are 
obligated to participate in the Ready Reserve in an active duty training 
status during the statutory period of service in the Ready Reserve.
    (5) Exclusion. Notwithstanding the exclusion of the member enlisted 
under the provisions of 10 U.S.C. 511(b) or (d), from the policies set 
forth in paragraph (a) (3) and (4) of this section, the Secretaries of 
the Military Departments may, with the approval of the Secretary of 
Defense, establish criteria which may excuse certain enlistees from 
performing the duty described in Sec. 101.5(a), depending upon the 
particular needs of the Military Department concerned.



Sec. 101.6  Criteria for satisfactory performance.

    Within the general policy outlined in Sec. 101.5(a), the minimum 
amount of annual training prescribed by the Secretaries of the Military 
Departments concerned will be no less than the training required to 
maintain the proficiency of the unit and the skill of the individual. In 
establishing annual training requirements under this policy, the 
Secretaries:
    (a) May grant exceptions under circumstances outlined below for 
individuals who are subject to the training requirements set forth in 
Sec. 101.5(a)(1) and (2):
    (1) To the degree that it is consistent with military requirements, 
the personal circumstances of an individual may be considered in 
assigning him/her to a training category prescribed in 32 CFR part 102, 
except as otherwise provided by 32 CFR part 100.
    (2) Members who have performed a minimum initial tour of extended 
active duty, as prescribed by the Military Departments concerned may be 
placed in Category I (no training) as defined in 32 CFR part 102, when 
the Secretary of the Military Department concerned determines that no 
training for mobilization requirement exists because of
    (i) Changes in military skills required;
    (ii) The degree of military skill held; or
    (iii) Compatibility of the member's civilian occupation with his/her 
military skill.
    (b) May grant exceptions regarding absences after considering the 
member's manner of performance of prescribed training duty under the 
provisions of Sec. 101.5(a)(1) and provided that the absences not so 
excepted do not exceed 10% of scheduled drills or training periods.
    (c) Shall require members to: (1) Meet the standards of satisfactory 
performance of training duty set forth in Sec. 101.6(b); or (2) 
participate satisfactorily in an officer training program. The placement 
of such members in the Standby Reserve as a result of the screening 
process prescribed in 32 CFR part 44, will continue to constitute 
satisfactory performance of service.



Sec. 101.7  Compliance measures.

    Under the provisions of 32 CFR part 100, members of the Ready 
Reserve who fail to meet the criteria for satisfactory performance, as 
set forth in Sec. 101.6, may be:
    (a) Ordered to active duty; or
    (b) Ordered to active duty for training; or
    (c) Transferred to, or retained in the Individual Ready Reserve with 
a tentative characterization of service, normally under other than 
honorable conditions; or
    (d) Discharged for unsatisfactory participation under the provisions 
of 32 CFR part 41, when the Military Department concerned has determined 
that the individual has no potential for useful service under conditions 
of full mobilization.



Sec. 101.8  Reserve training in sovereign foreign nations.

    (a) The Secretaries of the Military Departments may authorize the 
conduct of scheduled drills or training periods, correspondence courses, 
and such other active or inactive duty training as they consider 
appropriate for members of the Reserve components who may be temporarily 
residing in sovereign foreign nations which permit

[[Page 626]]

the United States to maintain troops of the Active Forces (other than 
Military Advisory Assistance Group or attached personnel) within their 
boundaries.
    (b) Prior to authorizing such training, the Secretaries of the 
Military Departments will instruct the attaches representing their 
respective Departments to inform the U.S. Ambassador and the appropriate 
officials of the foreign government of the intent to conduct such 
training. If the foreign government objects, the Secretaries of the 
Military Departments will furnish all the facts and their 
recommendations to the Secretary of Defense.
    (c) This policy does not prohibit the conduct of inactive duty 
training, such as correspondence courses, in those sovereign foreign 
countries in which the United States does not maintain Active Forces and 
where an agreement exists between the United States and the sovereign 
foreign nation concerned for the conduct of such training.
    (d) This policy does not prohibit for a limited duration the 
augmentation of Defense Attache Offices by attache reservists 
(mobilization augmentees or mobilization designees) during periods of 
local emergencies or for short-term (less than 30 days) training 
periods, provided the provisions of paragraph (b) of this section are 
respected. Attache reservists who are available, possess the expertise 
required, and reside temporarily in foreign countries, shall be utilized 
to the maximum extent to augment Defense Attache Offices before the 
continental United States-based attache reservists are utilized.



PART 103_SEXUAL ASSAULT PREVENTION AND RESPONSE (SAPR) PROGRAM--
Table of Contents



Sec.
103.1 Purpose.
103.2 Applicability.
103.3 Definitions.
103.4 Policy.
103.5 Responsibilities.

    Authority: 10 U.S.C. 113; and Public Laws 109-364, 109-163, 108-375, 
106-65, 110-417, and 111-84.

    Source: 78 FR 20445, Apr. 5, 2013, unless otherwise noted.



Sec. 103.1  Purpose.

    (a) This part reissues DoDD 6495.01, pursuant to section 113 of 
Title 10, U.S.C., to implement DoD policy and assign responsibilities 
for the SAPR Program on prevention, response, and oversight to sexual 
assault according to the guidance in:
    (1) This part;
    (2) DoDD 6495.01, ``Sexual Assault Prevention and Response (SAPR) 
Program,'' October 6, 2005 (hereby cancelled);
    (3) Sections 101(d)(3) and 113, chapter 47,\1\ and chapter 80 of 
title 10, U.S.C.;
---------------------------------------------------------------------------

    \1\ Also known as ``The Uniform Code of Military Justice.''
---------------------------------------------------------------------------

    (4) DoDI 6495.02, ``Sexual Assault Prevention and Response Program 
Procedures,'' November 13, 2008 found at http://www.dtic.mil /whs/
directives /corres/pdf /649502p.pdf;
    (5) DoDD 6400.1, ``Family Advocacy Program (FAP),'' August 23, 2004 
found at http://www.dtic.mil /whs/directives /corres/pdf /640001p.pdf;
    (6) DoD Instruction 5025.01, ``DoD Directives Program,'' September 
26, 2012 found at http://www.dtic.mil /whs/directives /corres/pdf /
502512p.pdf;
    (7) DoD Instruction 3020.41, ``Operational Contract Support (OCS),'' 
December 20, 2011 found at http://www.dtic.mil /whs/directives /corres/
pdf /302041p.pdf;
    (8) U.S. Department of Defense, ``Manual for Courts-Martial,'' 2008;
    (9) DoDD 7050.06, ``Military Whistleblower Protection,'' July 23, 
2007 found at http://www.dtic.mil /whs/directives /corres/pdf /
705006p.pdf;
    (10) U.S. Department of Justice, Office on Violence Against Women, 
``A National Protocol for Sexual Assault Medical Forensic Examinations, 
Adults/Adolescents,'' September 2004, or the most recent edition;
    (11) DoDD 5400.11, ``DoD Privacy Program,'' May 8, 2007 found at 
http://www.dtic.mil /whs/directives /corres/pdf/ 540011p.pdf;
    (12) DoD 6025.18-R, ``DoD Health Information Privacy Regulation,'' 
January 24, 2003 found at http://www.dtic.mil /whs/directives /corres/
pdf/ 602518r.pdf;
    (13) DoD 8910.1-M, ``DoD Procedures for Management of Information 
Requirements,'' June 30, 1998 found at

[[Page 627]]

http://www.dtic.mil /whs/directives /corres/pdf/ 891001m.pdf;
    (14) DoDD 5124.02, ``Under Secretary of Defense for Personnel and 
Readiness (USD(P&R)),'' June 23, 2008 found at http://www.dtic.mil /whs/
directives /corres/pdf /512402p.pdf;
    (15) U.S. Department of Defense paper, ``The Department of Defense 
Sexual Assault Prevention Strategy,'' September 30, 2008;
    (16) Section 577 of Public Law 108-375, ``Ronald Reagan National 
Defense Authorization Act for Fiscal Year 2005,'' October 28, 2004;
    (17) Sections 561, 562, and 563 of Public Law 110-417, ``The Duncan 
Hunter National Defense Authorization Act for Fiscal Year 2009,'' 
October 14, 2008;
    (18) Section 567(c) of Public Law 111-84, ``The National Defense 
Authorization Act for Fiscal Year 2010,'' October 28, 2009;
    (19) Joint Publication 1-02, ``Department of Defense Dictionary of 
Military and Associated Terms,'' current edition found at http://
www.dtic.mil /doctrine/new--pubs /jp1--02.pdf; and
    (20) DoD Instruction 5545.02, ``DoD Policy for Congressional 
Authorization and Appropriations Reporting Requirement,'' December 19, 
2008 found at http://www.dtic.mil /whs/directives /corres/pdf /
554502p.pdf.
    (b) [Reserved]



Sec. 103.2  Applicability.

    This part applies to:
    (a) OSD, the Military Departments, the Office of the Chairman of the 
Joint Chiefs of Staff and the Joint Staff, the Combatant Commands, the 
IG, DoD, the Defense Agencies, the DoD Field Activities, and all other 
organizational entities within the DoD (hereafter referred to 
collectively as the ``DoD Components'').
    (b) National Guard, and Reserve Component members who are sexually 
assaulted when performing active service, as defined in section 
101(d)(3) of Title 10, U.S.C., and inactive duty training. Refer to DoDI 
6495.02 for additional SAPR and medical services provided to such 
personnel and eligibility criteria for Restricted Reporting.
    (c) Military dependents 18 years of age and older, who are eligible 
for treatment in the military healthcare system, at installations in the 
continental United States (CONUS) and outside of the continental United 
States (OCONUS), and who were victims of sexual assault perpetrated by 
someone other than a spouse or intimate partner. (The FAP, pursuant to 
DoDD 6400.1, covers adult military dependent sexual assault victims who 
are assaulted by a spouse or intimate partner and military dependent 
sexual assault victims who are 17 years of age and younger.) The FAP 
Program provides the full range of services provided to victims of 
domestic violence to victims who are sexually assaulted, in violation of 
Articles 120 (Rape and Sexual Assault) and 125 (Sodomy), UCMJ, by 
someone with whom they have an intimate partner relationship. The 
installation SARC and the installation family advocacy program (FAP) and 
domestic violence intervention and prevention staff shall direct 
coordination when a sexual assault occurs within a domestic relationship 
or involves child abuse.
    (d) The following non-military personnel, who are only eligible for 
limited medical services in the form of emergency care (see Sec. 103.3 
of this part), unless otherwise eligible to receive treatment in a 
military medical treatment facility. They will also be offered the 
limited SAPR services of a SARC and a SAPR VA while undergoing emergency 
care OCONUS. Refer to DoDI 6495.02 for any additional SAPR and medical 
services provided. These limited medical and SAPR services shall be 
provided to:
    (1) DoD civilian employees and their family dependents 18 years of 
age and older when they are stationed or performing duties OCONUS and 
eligible for treatment in the military healthcare system at military 
installations or facilities OCONUS. Refer to DoDI 6495.02 for reporting 
options available to DoD civilians and their family dependents 18 years 
of age and older; and
    (2) U.S. citizen DoD contractor personnel when they are authorized 
to accompany the Armed Forces in a contingency operation OCONUS and 
their U.S. citizen employees per DoDI

[[Page 628]]

3020.41. Refer to DoDI 6495.02 for reporting options available to DoD 
contractors.
    (e) Service members who are on active duty but were victims of 
sexual assault prior to enlistment or commissioning. They are eligible 
to receive SAPR services and either reporting option. The focus of this 
part and DoDI 6495.02 is on the victim of sexual assault. The DoD shall 
provide support to an active duty Service member regardless of when or 
where the sexual assault took place.
    (f) Supersedes all policy and regulatory guidance within the DoD not 
expressly mandated by law that is inconsistent with its provisions, or 
that would preclude execution.



Sec. 103.3  Definitions.

    Unless otherwise noted, these terms and their definitions are for 
the purpose of this part.
    Confidential communication. Oral, written, or electronic 
communications of personally identifiable information concerning a 
sexual assault victim and the sexual assault incident provided by the 
victim to the SARC, SAPR VA, or healthcare personnel in a Restricted 
Report. This confidential communication includes the victim's sexual 
assault forensic examination (SAFE) Kit and its information. See http://
www.archives.gov/cui.
    Consent. Words or overt acts indicating a freely given agreement to 
the sexual conduct at issue by a competent person. An expression of lack 
of consent through words or conduct means there is no consent. Lack of 
verbal or physical resistance or submission resulting from the accused's 
use of force, threat of force, or placing another person in fear does 
not constitute consent. A current or previous dating relationship or the 
manner of dress of the person involved with the accused in the sexual 
conduct at issue shall not constitute consent. There is no consent where 
the person is sleeping or incapacitated, such as due to age, alcohol or 
drugs, or mental incapacity.
    Crisis intervention. Emergency non-clinical care aimed at assisting 
victims in alleviating potential negative consequences by providing 
safety assessments and connecting victims to needed resources. Either 
the SARC or SAPR VA will intervene as quickly as possible to assess the 
victim's safety and determine the needs of victims and connect them to 
appropriate referrals, as needed.
    Culturally-competent care. Care that provides culturally and 
linguistically appropriate services.
    DSAID. A DoD database that captures uniform data provided by the 
Military Services and maintains all sexual assault data collected by the 
Military Services. This database shall be a centralized, case-level 
database for the uniform collection of data regarding incidence of 
sexual assaults involving persons covered by this part and DoDI 6495.02. 
DSAID will include information when available, or when not limited by 
Restricted Reporting, or otherwise prohibited by law, about the nature 
of the assault, the victim, the offender, and the disposition of reports 
associated with the assault. DSAID shall be available to the Sexual 
Assault and Response Office and the DoD to develop and implement 
congressional reporting requirements. Unless authorized by law, or 
needed for internal DoD review or analysis, disclosure of data stored in 
DSAID will only be granted when disclosure is ordered by a military, 
Federal, or State judge or other officials or entities as required by a 
law or applicable U.S. international agreement. This term and its 
definition are proposed for inclusion in the next edition of Joint 
Publication 1-02.
    Emergency. A situation that requires immediate intervention to 
prevent the loss of life, limb, sight, or body tissue to prevent undue 
suffering. Regardless of appearance, a sexual assault victim needs 
immediate medical intervention to prevent loss of life or undue 
suffering resulting from physical injuries internal or external, 
sexually transmitted infections, pregnancy, or psychological distress. 
Sexual assault victims shall be given priority as emergency cases 
regardless of evidence of physical injury.
    Emergency care. Emergency medical care includes physical and 
emergency psychological medical services and a SAFE consistent with the 
U.S. Department of Justice, Office on Violence Against Women Protocol.

[[Page 629]]

    Gender-responsive care. Care the acknowledges and is sensitive to 
gender differences and gender-specific issues.
    Healthcare personnel. Persons assisting or otherwise supporting 
healthcare providers in providing healthcare services (e.g., 
administrative personnel assigned to a military medical treatment 
facility, or mental healthcare personnel). Healthcare personnel also 
includes all healthcare providers.
    Military Services. The term, as used in the SAPR Program, includes 
Army, Air Force, Navy, Marines, Reserve Components, and their respective 
Military Academies.
    Non-identifiable personal information. Non-identifiable personal 
information includes those facts and circumstances surrounding the 
sexual assault incident or that information about the individual that 
enables the identity of the individual to remain anonymous. In contrast, 
personal identifiable information is information belonging to the victim 
and alleged assailant of a sexual assault that would disclose or have a 
tendency to disclose the person's identity.
    Official investigative process. The formal process a commander or 
law enforcement organization uses to gather evidence and examine the 
circumstances surrounding a report of sexual assault.
    Personal identifiable information. Includes the person's name, other 
particularly identifying descriptions (e.g., physical characteristics or 
identity by position, rank, or organization), or other information about 
the person or the facts and circumstances involved that could reasonably 
be understood to identify the person (e.g., a female in a particular 
squadron or barracks when there is only one female assigned).
    Qualifying conviction. A State or Federal conviction, or a finding 
of guilty in a juvenile adjudication, for a felony crime of sexual 
assault and any general or special court-martial conviction for a 
Uniform Code of Military Justice (UCMJ) offense, which otherwise meets 
the elements of a crime of sexual assault, even though not classified as 
a felony or misdemeanor within the UCMJ. In addition, any offense that 
requires registration as a sex offender is a qualifying conviction.
    Recovery-oriented care. Focus on the victim and on doing what is 
necessary and appropriate to support victim recovery, and also, if a 
Service member, to support that Service member to be fully mission 
capable and engaged.
    Restricted reporting. Reporting option that allows sexual assault 
victims to confidentially disclose the assault to specified individuals 
(i.e., SARC, SAPR VA, or healthcare personnel), in accordance with 
``Victim Centered Care'' of U.S. Department of Justice, Office on 
Violence Against Women, ``A National Protocol for Sexual Assault Medical 
Forensic Examinations, Adults/Adolescents'' and receive medical 
treatment, including emergency care, counseling, and assignment of a 
SARC and SAPR VA, without triggering an official investigation. The 
victim's report provided to healthcare personnel (including the 
information acquired from a SAFE Kit), SARCs, or SAPR VAs will not be 
reported to law enforcement or to the command to initiate the official 
investigative process unless the victim consents or an established 
exception applies in accordance with DoDI 6495.02. The Restricted 
Reporting Program applies to Service Members and their military 
dependents 18 years of age and older. For additional persons who may be 
entitled to Restricted Reporting, see eligibility criteria in DoDI 
6495.02. Only a SARC, SAPR VA, or healthcare personnel may receive a 
Restricted Report, previously referred to as Confidential Reporting. 
This term and its definition are proposed for inclusion in the next 
edition of Joint Publication 1-02.
    SAFE Kit. The medical and forensic examination of a sexual assault 
victim under circumstances and controlled procedures to ensure the 
physical examination process and the collection, handling, analysis, 
testing, and safekeeping of any bodily specimens and evidence meet the 
requirements necessary for use as evidence in criminal proceedings. The 
victim's SAFE Kit is treated as a confidential communication when 
conducted as part of a Restricted Report. This term and its definition 
are proposed for inclusion in the next edition of Joint Publication 1-
02.

[[Page 630]]

    SAPRO. Serves as DoD's single point of authority, accountability, 
and oversight for the SAPR program, except for legal processes and 
criminal investigative matters that are the responsibility of the Judge 
Advocates General of the Military Departments and the IG respectively. 
This term and its definition are proposed for inclusion in the next 
edition of Joint Publication 1-02.
    SAPR Program. A DoD program for the Military Departments and the DoD 
Components that establishes SAPR policies to be implemented worldwide. 
The program objective is an environment and military community 
intolerant of sexual assault. This term and its definition are proposed 
for inclusion in the next edition of Joint Publication 1-02.
    SAPR VA. A person who, as a victim advocate, shall provide non-
clinical crisis intervention, referral, and ongoing non-clinical support 
to adult sexual assault victims. Support will include providing 
information on available options and resources to victims. The SAPR VA, 
on behalf of the sexual assault victim, provides liaison assistance with 
other organizations and agencies on victim care matters and reports 
directly to the SARC when performing victim advocacy duties. Personnel 
who are interested in serving as a SAPR VA are encouraged to volunteer 
for this duty assignment. This term and its definition are proposed for 
inclusion in the next edition of Joint Publication 1-02.
    SARC. The single point of contact at an installation or within a 
geographic area who oversees sexual assault awareness, prevention, and 
response training; coordinates medical treatment, including emergency 
care, for victims of sexual assault; and tracks the services provided to 
a victim of sexual assault from the initial report through final 
disposition and resolution. This term and its definition are proposed 
for inclusion in the next edition of Joint Publication 1-02.
    Senior commander. An officer, usually in the grade of O-6 or higher, 
who is the commander of a military installation or comparable unit and 
has been designated by the Military Service concerned to oversee the 
SAPR Program.
    Service member. An active duty member of a Military Service. In 
addition, National Guard and Reserve Component members who are sexually 
assaulted when performing active service, as defined in section 
101(d)(3) of Title 10, U.S.C., and inactive duty training.
    Sexual assault. Intentional sexual contact characterized by use of 
force, threats, intimidation, or abuse of authority or when the victim 
does not or cannot consent. The term includes a broad category of sexual 
offenses consisting of the following specific UCMJ offenses: rape, 
sexual assault, aggravated sexual contact, abusive sexual contact, 
forcible sodomy (forced oral or anal sex) or attempts to commit these 
acts.
    Unrestricted Reporting. A process that an individual covered by this 
policy uses to disclose, without requesting confidentiality or 
Restricted Reporting, that he or she is the victim of a sexual assault. 
Under these circumstances, the victim's report provided to healthcare 
personnel, the SARC, a SAPR VA, command authorities, or other persons is 
reported to law enforcement and may be used to initiate the official 
investigative process. Additional policy and guidance are provided in 
DoDI 6495.02. This term and its definition are proposed for inclusion in 
the next edition of Joint Publication 1-02.
    Victim. A person who asserts direct physical, emotional, or 
pecuniary harm as a result of the commission of a sexual assault. The 
term encompasses all persons 18 and over eligible to receive treatment 
in military medical treatment facilities; however, the Restricted 
Reporting Program applies to Service Members and their military 
dependents 18 years of age and older. For additional persons who may be 
entitled to Restricted Reporting, see eligibility criteria in DoDI 
6495.02.



Sec. 103.4  Policy.

    It is DoD policy that:
    (a) This part and DoDI 6495.02 implement the DoD SAPR policy.
    (b) The DoD goal is a culture free of sexual assault by providing an 
environment of prevention, education and training, response capability 
(defined

[[Page 631]]

in DoDI 6495.02), victim support, reporting procedures, and 
accountability that enhances the safety and well being of all persons 
covered by this part and DoDI 6495.02.
    (c) The SAPR Program shall:
    (1) Focus on the victim and on doing what is necessary and 
appropriate to support victim recovery, and also, if a Service member, 
to support that Service member to be fully mission capable and engaged. 
The SAPR Program shall provide care that is gender-responsive, 
culturally-competent, and recovery-oriented. (See Sec. 103.3 of this 
part)
    (2) Not provide policy for legal processes within the responsibility 
of the Judge Advocates General of the Military Departments provided in 
Chapter 47 of Title 10, U.S.C. (also known as and hereafter referred to 
as ``UCMJ'') and the Manual for Court's-Martial or for criminal 
investigative matters assigned to the Judge Advocates General of the 
Military Departments and IG, DoD.
    (d) Standardized SAPR requirements, terminology, guidelines, 
protocols, and guidelines for instructional materials shall focus on 
awareness, prevention, and response at all levels as appropriate.
    (e) The terms ``Sexual Assault Response Coordinator (SARC)'' and 
``SAPR Victim Advocate (VA),'' as defined in this part and the DoDI 
6495.02, shall be used as standard terms throughout the DoD to 
facilitate communications and transparency regarding SAPR capacity. For 
further information regarding SARC and SAPR VA roles and 
responsibilities, see DoDI 6495.02.
    (1) SARC. The SARC shall serve as the single point of contact for 
coordinating appropriate and responsive care for sexual assault victims. 
SARCs shall coordinate sexual assault victim care and sexual assault 
response when a sexual assault is reported. The SARC shall supervise 
SAPR VAs, but may be called on to perform victim advocacy duties.
    (2) SAPR VA. The SAPR VA shall provide non-clinical crisis 
intervention and on-going support, in addition to referrals for adult 
sexual assault victims. Support will include providing information on 
available options and resources to victims.
    (f) Command sexual assault awareness and prevention programs, as 
well as law enforcement and criminal justice procedures that enable 
persons to be held accountable for their actions, as appropriate, shall 
be established and supported by all commanders.
    (g) An immediate, trained sexual assault response capability 
(defined in DoDI 6495.02) shall be available for each report of sexual 
assault in all locations, including in deployed locations. The response 
time may be affected by operational necessities, but will reflect that 
sexual assault victims shall be treated as emergency cases.
    (h) Victims of sexual assault shall be protected from coercion, 
retaliation, and reprisal in accordance with DoDD 7050.06.
    (i) Victims of sexual assault shall be protected, treated with 
dignity and respect, and shall receive timely access to comprehensive 
medical treatment, including emergency care treatment and services, as 
described in this part and DoDI 6495.02.
    (j) Emergency care shall consist of emergency medical care and the 
offer of a SAFE consistent with the ``A National Protocol for Sexual 
Assault Medical Forensic Examinations, Adults/Adolescents'' and refer to 
DD Form 2911, ``DoD Sexual Assault Medical Forensic Examination Report'' 
and accompanying instructions. The victim shall be advised that even if 
a SAFE is declined, the victim is encouraged (but not mandated) to 
receive medical care, psychological care, and victim advocacy.
    (1) Sexual assault patients shall be given priority, so that they 
shall be treated as emergency cases. A sexual assault victim needs 
immediate medical intervention to prevent loss of life or suffering 
resulting from physical injuries (internal or external), sexually 
transmitted infections, pregnancy, and psychological distress. 
Individuals disclosing a recent sexual assault shall, with their 
consent, be quickly transported to the exam site, promptly evaluated, 
treated for serious injuries, and then, with the patient's consent, 
undergo a SAFE, pursuant to ``Victim

[[Page 632]]

Centered Care'' of ``A National Protocol for Sexual Assault Medical 
Forensic Examinations, Adults/Adolescents'' and refer to DD Form 2911 
and accompanying instructions.
    (2) Sexual assault patients shall be treated as emergency cases, 
regardless of whether physical injuries are evident. Patients' needs 
shall be assessed for immediate medical or mental health intervention 
pursuant to ``Victim Centered Care,'' and ``Triage and Intake'' of ``A 
National Protocol for Sexual Assault Medical Forensic Examinations, 
Adults/Adolescents.'' Sexual assault victims shall be treated uniformly, 
consistent with ``Victim Centered Care'' of ``A National Protocol for 
Sexual Assault Medical Forensic Examinations, Adults/Adolescents'' and 
DD Form 2911 and accompanying instructions, regardless of their behavior 
because when severely traumatized, sexual assault patients may appear to 
be calm, indifferent, submissive, jocular, angry, emotionally 
distraught, or even uncooperative or hostile towards those who are 
trying to help.
    (k) Service members and their dependents who are 18 years of age or 
older covered by this part (see Sec. 103.2(d)) and DoDI 6495.02 who are 
sexually assaulted have two reporting options: Unrestricted or 
Restricted Reporting. Complete, Unrestricted Reporting of sexual assault 
is favored by the DoD. See DoDI 6495.02 for additional information on 
the DoD sexual assault reporting options and exceptions as they apply to 
Restricted Reporting. Consult DoDD 5400.11 and DoD 6025.18-R for 
protections of personally identifiable information solicited, collected, 
maintained, accessed, used, disclosed, and disposed during the treatment 
and reporting processes. The two reporting options are as follows:
    (1) Unrestricted Reporting allows an eligible person who is sexually 
assaulted to access medical treatment and counseling and request an 
official investigation of the allegation using existing reporting 
channels (e.g., chain of command, law enforcement, healthcare personnel, 
the SARC). When a sexual assault is reported through Unrestricted 
Reporting, a SARC shall be notified as soon as possible, respond, assign 
a SAPR VA, and offer the victim medical care and a SAFE.
    (2) Restricted Reporting allows sexual assault victims (see 
eligibility criteria in Sec. 103.2(c) of this part) to confidentially 
disclose the assault to specified individuals (i.e., SARC, SAPR VA, or 
healthcare personnel), in accordance with DoDD 5400.11, and receive 
medical treatment, including emergency care, counseling, and assignment 
of a SARC and SAPR VA, without triggering an official investigation. The 
victim's report to healthcare personnel (including the information 
acquired from a SAFE Kit), SARCs, or SAPR VAs will not be reported to 
law enforcement or to the victim's command, to initiate the official 
investigative process, unless the victim consents or an established 
exception applies in accordance with DoDI 6495.02. When a sexual assault 
is reported through Restricted Reporting, a SARC shall be notified as 
soon as possible, respond, assign a SAPR VA, and offer the victim 
medical care and a SAFE.
    (i) Eligibility for Restricted Reporting. The Restricted Reporting 
Program applies to Service Members and their military dependents 18 
years of age and older. For additional persons who may be entitled to 
Restricted Reporting, see eligibility criteria in DoDI 6495.02.
    (ii) DoD Dual Objectives. The DoD is committed to ensuring victims 
of sexual assault are protected; treated with dignity and respect; and 
provided support, advocacy, and care. The DoD supports effective command 
awareness and preventive programs. The DoD also strongly supports 
applicable law enforcement and criminal justice procedures that enable 
persons to be held accountable for sexual assault offenses and criminal 
dispositions, as appropriate. To achieve these dual objectives, DoD 
preference is for complete Unrestricted Reporting of sexual assaults to 
allow for the provision of victims' services and to pursue 
accountability. However, Unrestricted Reporting may represent a barrier 
for victims to access services, when the victim desires no command or 
law enforcement involvement. Consequently, the Department recognizes a 
fundamental

[[Page 633]]

need to provide a confidential disclosure vehicle via the Restricted 
Reporting option.
    (iii) Designated Personnel Authorized to Accept a Restricted Report. 
Only the SARC, SAPR VA, or healthcare personnel are designated as 
authorized to accept a Restricted Report.
    (iv) SAFE Confidentiality Under Restricted Reporting. A SAFE and its 
information shall be afforded the same confidentiality as is afforded 
victim statements under the Restricted Reporting option. See DoDI 
6495.02 for additional information.
    (v) Disclosure of Confidential Communications. In cases where a 
victim elects Restricted Reporting, the SARC, assigned SAPR VA, and 
healthcare personnel may not disclose confidential communications or 
SAFE Kit information to law enforcement or command authorities, either 
within or outside the DoD, except as provided in DoDI 6495.02. In 
certain situations when information about a sexual assault comes to the 
commander's or law enforcement official's attention from a source 
independent of the Restricted Reporting avenues and an independent 
investigation is initiated, a SARC, SAPR VA, or healthcare personnel may 
not disclose confidential communications if obtained under Restricted 
Reporting (see exceptions to Restricted Reporting in DoDI 6495.02). 
Improper disclosure of confidential communications under Restricted 
Reporting, improper release of medical information, and other violations 
of this part are prohibited and may result in discipline pursuant to the 
UCMJ, or other adverse personnel or administrative actions.
    (l) Enlistment or commissioning of personnel in the Military 
Services shall be prohibited and no waivers allowed when the person has 
a qualifying conviction (see Sec. 103.3) for a crime of sexual assault.
    (m) The focus of this part and DoDI 6495.02 is on the victim of 
sexual assault. The DoD shall provide support to an active duty Service 
member regardless of when or where the sexual assault took place.



Sec. 103.5  Responsibilities.

    (a) In accordance with the authority in DoDD 5124.02, the USD(P&R) 
shall:
    (1) Develop overall policy and provide oversight for the DoD SAPR 
Program, except legal processes in the UCMJ and criminal investigative 
matters assigned to the Judge Advocates General of the Military 
Departments and IG, DoD respectively.
    (2) Develop strategic program guidance, joint planning objectives, 
standard terminology, and identify legislative changes needed to ensure 
the future availability of resources in support of DoD SAPR policies.
    (3) Develop metrics to measure compliance and effectiveness of SAPR 
training, awareness, prevention, and response policies and programs. 
Analyze data and make recommendations regarding the SAPR policies and 
programs to the Secretaries of the Military Departments.
    (4) Monitor compliance with this part and DoDI 6495.02, and 
coordinate with the Secretaries of the Military Departments regarding 
Service SAPR policies.
    (5) Collaborate with Federal and State agencies that address SAPR 
issues and serve as liaison to them as appropriate. Strengthen 
collaboration on sexual assault policy matters with U.S. Department of 
Veterans Affairs on the issues of providing high quality and accessible 
health care and benefits to victims of sexual assault.
    (6) Oversee the DoD SAPRO. Serving as the DoD single point of 
authority, accountability, and oversight for the SAPR program, SAPRO 
provides recommendations to the USD(P&R) on the issue of DoD sexual 
assault policy matters on prevention, response, and oversight. SAPRO is 
responsible for:
    (i) Implementing and monitoring compliance with DoD sexual assault 
policy on prevention and response, except for legal processes in the 
UCMJ and Manual for Courts-Martial and criminal investigative matters 
assigned to the Judge Advocates General of the Military Departments and 
IG respectively.
    (ii) Providing technical assistance to the Heads of the DoD 
Components in addressing matters concerning SAPR.
    (iii) Acquiring quarterly and annual SAPR data from the Military 
Services, assembling annual congressional reports involving persons 
covered by this

[[Page 634]]

part and DoDI 6495.0, and consult with and relying on the Judge 
Advocates General of the Military Departments in questions concerning 
disposition results of sexual assault cases in their respective 
departments.
    (iv) Establishing reporting categories and monitoring specific goals 
included in the annual SAPR assessments of each Military Service, in 
their respective departments.
    (v) Overseeing the creation, implementation, maintenance, and 
function of DSAID, an integrated database that will meet congressional 
reporting requirements, support Service SAPR Program management, and 
inform DoD SAPRO oversight activities.
    (b) The Assistant Secretary of Defense for Health Affairs (ASD(HA)), 
under the authority, direction, and control of the USD(P&R), shall 
advise the USD(P&R) on DoD sexual assault healthcare policies, clinical 
practice guidelines, related procedures, and standards governing DoD 
healthcare programs for victims of sexual assault. The ASD(HA) shall 
direct that all sexual assault patients be given priority, so that they 
shall be treated as emergency cases.
    (c) The Director of the Defense Human Resources Activity (DoDHRA), 
under the authority, direction, and control of USD(P&R), shall provide 
operational support to the USD(P&R) as outlined in paragraph (a)(6) of 
this section.
    (d) The General Counsel of the DoD (GC, DoD), shall provide legal 
advice and assistance on all legal matters, including the review and 
coordination of all proposed issuances and exceptions to policy and the 
review of all legislative proposals affecting mission and 
responsibilities of the DoD SAPRO.
    (e) The IG, DoD, shall:
    (1) Develop and oversee the promulgation of criminal investigative 
and law enforcement policy regarding sexual assault and establish 
guidelines for the collection and preservation of evidence with non-
identifiable personal information on the victim, for the Restricted 
Reporting process, in coordination with the ASD(HA).
    (2) Oversee criminal investigations of sexual assault conducted by 
the DoD Components.
    (3) Collaborate with the DoD SAPRO on sexual assault matters in the 
development of investigative policy in support of sexual assault 
prevention and response.
    (f) The Secretaries of the Military Departments shall:
    (1) Establish departmental policies and procedures to implement the 
SAPR Program consistent with the provisions of this part and DoDI 
6495.02, to include the Military Academies within their cognizance; 
monitor departmental compliance with this part and DoDI 6495.02.
    (2) Coordinate all Military Service SAPR policy changes with the 
USD(P&R).
    (3) In coordination with USD(P&R), implement recommendations 
regarding Military Service compliance and effectiveness of SAPR 
training, awareness, prevention, and response policies and programs.
    (4) Align Service SAPR Strategic Plans with the DoD SAPR Strategic 
Plan.
    (5) Align Service prevention strategy with the Spectrum of 
Prevention, consistent with the DoD Sexual Assault Prevention Strategy, 
which consists of six pillars:
    (i) Influencing Policy
    (ii) Changing Organizational Practices
    (iii) Fostering Coalitions and Networks
    (iv) Educating Providers
    (v) Promoting Community Education
    (vi) Strengthening Individual Knowledge and Skills
    (6) Require commanders to ensure that medical treatment (including 
emergency care) and SAPR services are provided to victims of sexual 
assaults in a timely manner unless declined by the victim.
    (7) Utilize the terms ``Sexual Assault Response Coordinator (SARC)'' 
and ``SAPR Victim Advocate (VA),'' as defined in this part and DoDI 
6495.02, as standard terms to facilitate communications and transparency 
regarding sexual assault response capacity.
    (8) Establish the position of the SARC to serve as the single point 
of contact for ensuring that sexual assault victims receive appropriate 
and responsive care. The SARC should be a

[[Page 635]]

Service member, DoD civilian employee, or National Guard technician.
    (9) Provide program-appropriate resources to enable the Combatant 
Commanders to achieve compliance with the policies set forth in this 
part and DoDI 6495.02.
    (10) Establish and codify Service SAPR Program support to Combatant 
Commands and Defense Agencies, either as a host activity or in a 
deployed environment.
    (11) Provide SAPR Program and obligation data to the USD(P&R), as 
required.
    (12) Submit quarterly reports to the USD(P&R) that include 
information regarding all sexual assaults reported during the quarter, 
until DSAID becomes fully operational for each individual Service. 
Require confirmation that a multi-disciplinary case management group 
tracks each open Unrestricted Report and that a multi-disciplinary case 
management group meetings are held monthly for reviewing all 
Unrestricted Reports of sexual assaults.
    (13) Provide annual reports of sexual assaults involving persons 
covered by this part and DoDI 6495.02 to the DoD SAPRO for consolidation 
into the annual report to Congress in accordance with sections 577 of 
Public Law 108-375.
    (14) Provide data connectivity, or other means, to authorized users 
to ensure all sexual assaults reported in theater and other joint 
environments are incorporated into the DSAID, or authorized interfacing 
systems for the documentation of reports of sexual assault, as required 
by section 563 of Public Law 110-417.
    (15) Ensure that Service data systems used to report case-level 
sexual assault information into the DSAID are compliant with DoD data 
reporting requirements, pursuant to section 563 of Public Law 110-417.
    (16) Require extensive, continuing in-depth SAPR training for DoD 
personnel and specialized SAPR training for commanders, senior enlisted 
leaders, SARCs, SAPR VAs, investigators, law enforcement officials, 
chaplains, healthcare personnel, and legal personnel in accordance with 
DoDI 6495.02.
    (17) Oversee sexual assault training within the DoD law enforcement 
community.
    (18) Direct that Service military criminal investigative 
organizations require their investigative units to communicate with 
their servicing SARC and participate with the multi-disciplinary Case 
Management Group convened by the SARC, in accordance with this part and 
DoDI 6495.02.
    (19) Provide commanders with procedures that:
    (i) Establish guidance for when a Military Protective Order (MPO) 
has been issued, that the Service member who is protected by the order 
is informed, in a timely manner, of the member's option to request 
transfer from the command to which that member is assigned in accordance 
with section 567(c) of Public Law 111-84.
    (ii) Ensure that the appropriate civilian authorities shall be 
notified of the issuance of an military protective order (MPO) and of 
the individuals involved in the order, when an MPO has been issued 
against a Service member or when any individual addressed in the MPO 
does not reside on a military installation at any time when an MPO is in 
effect. An MPO issued by a military commander shall remain in effect 
until such time as the commander terminates the order or issues a 
replacement order. (See section 561 of Pub. L.110-417.) The issuing 
commander also shall notify the appropriate civilian authorities of any 
change made in a protective order covered by Chapter 80 of Title 10, 
U.S.C., and the termination of the protective order.
    (iii) Ensure that the person seeking the MPO shall be advised that 
the MPO is not enforceable by civilian authorities off base and that 
victims desiring protection off base are advised to seek a civilian 
protective order (see section 561 of 110-417 and section 567(c) of Pub. 
L. 111-84).
    (g) The Chairman of the Joint Chiefs of Staff shall:
    (1) Assess SAPR as part of the overall force planning function of 
any force deployment decision, and periodically reassess the SAPR 
posture of deployed forces.
    (2) Monitor implementation of this part, DoDI 6495.02, and 
implementing

[[Page 636]]

instructions, including during military operations.
    (3) Utilize the terms ``Sexual Assault Response Coordinator (SARC)'' 
and ``SAPR Victim Advocate (VA),'' as defined in this part and DoDI 
6495.02, as standard terms to facilitate communications and transparency 
regarding sexual assault response capacity.
    (4) Review relevant documents, including the Combatant Commanders' 
joint plans, operational plans, concept plans, and deployment orders, to 
ensure they identify and include SAPR Program requirements.
    (h) The Commanders of the Combatant Commands, in coordination with 
the other Heads of the DoD Components and through the Chairman of the 
Joint Chiefs of Staff, shall:
    (1) Establish policies and procedures to implement the SAPR Program 
and oversee compliance with this part and DoDI 6495.02 within their 
areas of responsibility and during military operations.
    (2) Formally document agreements with installation host Service 
commanders, component theater commanders, or other heads of another 
agency or organization, for investigative, legal, medical, counseling, 
or other response support provided to incidents of sexual assault.
    (3) Direct that relevant documents are drafted, including joint 
operational plans and deployment orders, that establish theater-level 
requirements for the prevention of and response to incidents of sexual 
assault that occur, to include during the time of military operations.
    (4) Require that sexual assault response capability information be 
provided to all persons within their area of responsibility covered by 
this part and DoDI 6495.02, to include reporting options and SAPR 
services available at deployed locations and how to access these 
options.
    (5) Ensure medical treatment (including emergency care) and SAPR 
services are provided to victims of sexual assaults in a timely manner 
unless declined by the victim.
    (6) Direct subordinate commanders coordinate relationships and 
agreements for host or installation support at forward-deployed 
locations to ensure a sexual assault response capability is available to 
members of their command and persons covered by this part and DoDI 
6495.02 as consistent with operational requirements.
    (7) Direct that sexual assault incidents are given priority so that 
they shall be treated as emergency cases.
    (8) Direct subordinate commanders provide all personnel with 
procedures to report sexual assaults.
    (9) Require subordinate commanders at all levels to monitor the 
command climate with respect to SAPR, and take appropriate steps to 
address problems.
    (10) Require that SAPR training for DoD personnel and specialized 
training for commanders, senior enlisted leaders, SARCs, SAPR VAs, 
investigators, law enforcement officials, chaplains, healthcare 
personnel, and legal personnel be conducted prior to deployment in 
accordance with DoDI 6495.02.
    (11) Direct subordinate commanders to develop procedures that:
    (i) Establish guidance for when an MPO has been issued, that the 
Service member who is protected by the order is informed, in a timely 
manner, of the member's option to request transfer from the command to 
which that member is assigned in accordance with section 567(c) of 
Public Law 111-84.
    (ii) In OCONUS areas, if appropriate, direct that the appropriate 
civilian authorities be notified of the issuance of an MPO and of the 
individuals involved in an order when an MPO has been issued against a 
Service member or when any individual involved in the MPO does not 
reside on a military installation when an MPO is in effect. An MPO 
issued by a military commander shall remain in effect until such time as 
the commander terminates the order or issues a replacement order. (See 
section 561 of Pub. L. 110-417.) The issuing commander also shall notify 
the appropriate civilian authorities of any change made in a protective 
order covered by Chapter 80 of Title 10, U.S.C. and the termination of 
the protective order.
    (iii) Ensure that the person seeking the MPO is advised that the MPO 
is not enforceable by civilian authorities off base and victims desiring 
protection off base should be advised to seek

[[Page 637]]

a civilian protective order in that jurisdiction pursuant to section 562 
of Public Law 110-417.
    (i) The Director, DoDHRA, shall provide operational support to the 
USD(P&R) as outlined in paragraph (a)(6) of this section.



PART 104_CIVILIAN EMPLOYMENT AND REEMPLOYMENT RIGHTS FOR SERVICE
MEMBERS, FORMER SERVICE MEMBERS AND APPLICANTS OF THE UNIFORMED 
SERVICES--Table of Contents



Sec.
104.1 Purpose.
104.2 Applicability.
104.3 Definitions.
104.4 Policy.
104.5 Responsibilities.
104.6 Procedures.

    Authority: 38 U.S.C. chapter 43, specifically 38 U.S.C. 4312(b) and 
38 U.S.C. 4333.

    Source: 81 FR 10494, Mar. 1, 2016, unless otherwise noted.



Sec. 104.1  Purpose.

    The purpose of this part is to establish policy, assign 
responsibilities, and promulgate procedures for informing current and 
former uniformed Service members of the Department of Defense (DoD) and 
individuals who apply for uniformed service with DoD of their rights, 
benefits, and obligations under USERRA and its implementing regulations 
at 20 CFR part 1002 (applicable to States, local governments, and 
private employers) and 5 CFR part 353 (applicable to the Federal 
Government). Additionally, this part establishes procedures for DOD 
components' responsibilities related to fulfilling their USERRA 
obligations



Sec. 104.2  Applicability.

    This part applies to the Office of the Secretary of Defense, the 
Military Departments (including the Coast Guard at all times, including 
when it is a Service in the Department of Homeland Security by agreement 
with that Department), the Office of the Chairman of the Joint Chiefs of 
Staff and the Joint Staff, the Combatant Commands, the Office of the 
Inspector General of the Department of Defense, the Defense Agencies, 
the DoD Field Activities, and all other organizational entities within 
the DoD (referred to collectively in this part as the ``DoD 
Components''). This part does not apply to the National Disaster Medical 
Response System or with the Commissioned Corps of the Public Health 
Service.



Sec. 104.3  Definitions.

    Unless otherwise noted, the following terms and their definitions 
are for the purposes of this part.
    Critical mission. An operational mission that requires the skills or 
resources available in a Reserve Component or components.
    Critical requirement. A requirement in which the incumbent possesses 
unique knowledge, extensive experience, and specialty skill training to 
successfully fulfill the duties or responsibilities in support of the 
mission and operation or exercise. Also, a requirement in which the 
incumbent must gain the necessary experience to qualify for key senior 
leadership positions within his or her Reserve Component.
    Military necessity. For the purpose of determining when providing 
advance notice of uniformed service is not required, a mission, 
operation, exercise, or requirement that is classified, or a pending or 
ongoing mission, operation, exercise, or requirement that may be 
compromised or otherwise adversely affected by public knowledge is 
sufficient justification for not providing advance notice to an 
employer.
    Officer. For determining those Service officials authorized to 
provide advance notice to a civilian employer of pending uniformed 
service by a Service member or an individual who has applied for 
uniformed service, an officer will include all commissioned officers, 
warrant officers, and non-commissioned officers authorized by the 
Secretary concerned to act in this capacity.
    Uniformed services. The Armed Forces, the Army National Guard and 
the Air National Guard when engaged in active duty for training, 
inactive duty training, or full-time National Guard duty, and any other 
category of persons designated by the President in time of war or 
National emergency. (See 38 U.S.C.

[[Page 638]]

chapter 4303.) The National Disaster Medical Response System and the 
Commissioned Corps of the Public Health Service are not governed by this 
Rule and are therefore excluded from its definition of uniformed 
services. However, their Service members and applicable employees remain 
protected under Title 38 U.S.C. Chapter 43 and its definition of 
Uniformed Services.



Sec. 104.4  Policy.

    It is DoD policy to support uniformed service by taking appropriate 
actions to inform and assist uniformed Service members and former 
Service members and individuals who apply for uniformed service of their 
rights, benefits, and obligations in accordance with 38 U.S.C. chapter 
43.



Sec. 104.5  Responsibilities.

    (a) The Under Secretary of Defense for Personnel and Readiness 
(USD(P&R)):
    (1) In addition to the responsibilities in paragraph (d) of this 
section, the USD(P&R) has overall responsibility for DoD policy 
pertaining to total force management in accordance with DoD Directive 
5124.02.
    (2) Develops and oversees the implementation of DoD policy 
pertaining to civilian employment and reemployment rights, benefits, and 
obligations.
    (b) Under the authority, direction, and control of USD(P&R), the 
Assistant Secretary of Defense for Reserve Affairs (ASD(RA)), with input 
from the Department of Labor's Veterans Employment and Training Service 
(DOL-VETS) and the Office of Personnel Management (OPM), advises the 
USD(P&R) on policies and procedures to promote and inform uniformed 
Service members and employers on civilian employment and reemployment 
rights, benefits and obligations in accordance with USERRA.
    (c) Under the authority, direction, and control of the USD(P&R), the 
Director, Department of Defense Human Resources Activity (DoDHRA), 
oversees the Employer Support of the Guard and Reserve (ESGR).
    (d) The OSD and DoD Component heads develop and implement procedures 
within their respective Components that are appropriate and in 
accordance with public law and DoD policy pertaining to providing 
information to persons entitled to rights, benefits, and obligations 
afforded under USERRA at 38 U.S.C. Chapter 43.



Sec. 104.6  Procedures.

    (a) Service Member Information and Assistance. (1) The Heads of the 
DoD Components and the Commandant of the Coast Guard will:
    (i) Inform the personnel in paragraph (a)(1)(i)(A) and (B) of this 
section of their general employment and reemployment rights, benefits, 
and obligations as described in USERRA.
    (A) Civilian employees who apply for uniformed service.
    (B) Civilian employees who are current members of the uniformed 
services who perform or participate on a voluntary or involuntary basis 
in active duty, inactive duty, or full-time National Guard duty.
    (ii) Provide subject-matter experts to serve as points of contact 
(POCs) to assist applicants for and members of the uniformed service in 
matters related to employment and reemployment rights, benefits, and 
obligations.
    (iii) Provide initial and annual refresher training for all Human 
Resources officials, supervisors, employees, and uniformed Service 
members.
    (2) The Secretaries of the Military Departments and the Commandant 
of the Coast Guard will:
    (i) Provide an annual review of USERRA information to employees of 
the uniformed services.
    (ii) Upon completion of a period of active duty extending beyond 30 
days, and before separation from active duty, advise Active and Reserve 
Component Service members covered by USERRA of their employment and 
reemployment rights, benefits, and obligations as provided under USERRA.
    (iii) Advise members of the uniformed services that as employees 
they must fulfill certain obligations in order to achieve eligibility 
for reemployment rights as specified in USERRA. At a minimum, advice 
given will include the following USERRA notification and reporting 
requirements for returning to civilian employment:

[[Page 639]]

    (A) Advance Notification of Military Service. To be eligible for 
reemployment rights as specified in USERRA, employees must provide 
advance notice of absence due to uniformed service to their civilian 
employers except when giving such notice is prevented by military 
necessity, or otherwise impossible or unreasonable under all the 
circumstances.
    (1) DoD recommends persons applying for and/or performing uniformed 
service to provide advance notice in writing to their civilian employers 
of pending absence.
    (2) Although oral notice is allowed pursuant to USERRA, written 
notice of pending uniformed service provides documentary evidence that 
this basic prerequisite to retaining reemployment rights was fulfilled 
by the Service member and serves to avoid unnecessary disputes.
    (3) Regardless of the means of providing advance notice, whether 
oral or written, it should be provided as early as possible. The DoD 
recommends that advance notice to civilian employers be provided at 
least 30 days prior to departure for uniformed service when feasible, 
based upon the time the Service member receives confirmation of upcoming 
uniformed service duty. While the notice may be informal and does not 
need to follow any particular format, some acceptable methods of 
providing notice include:
    (i) Giving notice on behalf of the employee by an appropriate 
officer in the uniformed Service member's chain of command. Written 
notice is preferred.
    (ii) Providing the employer a copy of the unit's annual training 
schedule for the duty served on those dates, or by providing the 
employer in advance with a signed standardized letter with blanks in 
which the Service member has filled in the appropriate military duty 
dates.
    (iii) Providing advance notification letters. Sample letters are 
provided by the ESGR, DoD's primary office for all matters concerning 
employer support of the National Guard and Reserve. ESGR information is 
provided in Sec. 104.6(c) of this part.
    (B) Reemployment Reporting Requirements. As described in USERRA, 
when notifying employers of their intent to return to work after 
completing uniformed service, employees must meet specific time-lines. 
Depending on the length of service, these time-lines span from less than 
24 hours up to 90 days after completing uniformed service.
    (1) Sample return notification letters are provided by ESGR.
    (2) When the period of service exceeds 30 days from civilian 
employment, the Service member is required to provide documentation of 
service performed if requested by the employer.
    (i) As a matter of policy the Military Departments strongly 
recommend Commanders and Service members provide verification of 
uniformed service absence to civilian employers regardless of the 
duration of service upon request. Failure of an employee to comply with 
this recommendation, does not, affect the legal responsibilities of the 
employer under USERRA including prompt reemployment.
    (ii) Types of documentation satisfying this requirement are detailed 
in 20 CFR part 1002.
    (C) Five-Year Service Limit. USERRA imposes a five-year cumulative 
limit on the absences from each place of civilian employment, due to 
uniformed service, except that any such period of service shall not 
include any service excluded pursuant to 38 U.S.C. 4312(c).
    (D) Character of Service. Service members must not have been 
separated from service under a disqualifying discharge.
    (iv) Determine and certify in writing, periods of service exempt 
from USERRA's five-year cumulative limit. Established exempt periods 
must be reviewed and recertified via policy memorandum, at a minimum, 
every two years. Failure to comply with this administrative requirement 
does not affect the continued validity of exempt periods certified in a 
writing that is more than two years old.
    (A) Determine and certify in writing those additional training 
requirements not already exempt from USERRA five-year cumulative service 
limit, that are necessary for the professional development or skill 
training or retraining for members of the National Guard or Reserve. 
When the Secretary concerned certifies those training requirements, 
performance of uniformed service to

[[Page 640]]

complete a certified training requirement is exempt from USERRA five-
year cumulative service limit.
    (B) Determine and certify in writing those periods of active duty 
when a Service member is ordered to, or retained on, active duty (other 
than for training) under any provision of law because of a war or 
national emergency officially declared by the President or Congress. 
Such orders with the purpose of direct or indirect support of the war or 
national emergency will be annotated accordingly since these periods of 
service are exempt from USERRA five-year cumulative service limit.
    (C) Determine, and certify in writing, those periods of active duty 
performed by a member of the National Guard or Reserve that are 
designated by the Secretary concerned as a critical mission or critical 
requirement, and for that reason are exempt from USERRA five-year 
cumulative service limit.
    (1) The authority for determining what constitutes a critical 
mission or requirement will not be delegated below the Assistant 
Secretary level. The designation of a critical requirement to gain the 
necessary experience to qualify for specific key senior leadership 
positions will be used judiciously, and the necessary experience and 
projected key leadership positions fully documented in the determination 
and certification.
    (2) This authority must not be used to grant exemptions to avoid 
USERRA five-year cumulative service limit or to extend individuals in 
repeated statutory tours.
    (v) Issue orders that span the entire period of service when 
ordering a member of the National Guard or Reserve to active duty for a 
mission or requirement, and reflect USERRA five-year cumulative 
exemption status as appropriate.
    (A) Order modifications will be initiated, as required, to ensure 
continuous active duty should the period required to complete the 
mission or requirement change. Order modifications will be completed, as 
required, to reflect qualifying five-year exemption, as applicable; or 
an official Statement of Service must be generated, indicating original 
qualifying orders as exempt under proper authority, and retained in the 
Service member's personnel file.
    (B) Orders must indicate exemption under USERRA from the five-year 
cumulative service limit on uniformed service absence from employment, 
when applicable. Specify the statutory or Secretarial authority for 
those orders when such authority meets one or more of the exemptions 
from USERRA five-year cumulative service limit. Orders qualifying for 
exemption should include a status reflecting the exemption status and 
authority.
    (vi) Document the length of a Service member's initial period of 
military service obligation performed on active duty.
    (vii) Document those circumstances that prevent a Service member 
from providing advance notification of uniformed service to a civilian 
employer because of military necessity or when advance notification is 
otherwise impossible or unreasonable.
    (viii) Designate those officers who are authorized by the Secretary 
concerned to provide advance notification of service to a civilian 
employer on behalf of a Service member or applicant for uniformed 
service.
    (ix) Provide documentation, upon request from a Service member or 
former Service member that may be used to satisfy the Service member's 
entitlement to statutory reemployment rights and benefits. Appropriate 
documentation may include, as necessary:
    (A) The inclusive dates of the initial period of military service 
obligation performed on active duty.
    (B) Any period of service during which a Service member was required 
to serve because he or she was unable to obtain a release from active 
duty through no fault of the Service member.
    (C) The cumulative length of all periods of active duty performed.
    (D) The authority under which a Service member was ordered to active 
duty when such service was exempt from USERRA five-year cumulative 
service limit.
    (E) The date the Service member was last released from active duty, 
active duty for special work, initial active duty for training, active 
duty for training, inactive duty training, annual

[[Page 641]]

training, or full-time National Guard duty. This documentation 
establishes the timeliness of reporting to, or submitting application to 
return to, a position of civilian employment.
    (F) A statement indicating service requirements prevented providing 
a civilian employer with advance notification of pending service, when 
applicable.
    (G) Proof that the Service member's entitlement to reemployment 
benefits has not been terminated because of the character of service as 
provided in section 4304 of USERRA.
    (H) A statement that sufficient documentation verifying a particular 
period of service, does not exist, when appropriate.
    (x) Establish a central point of contact (POC) at each Reserve 
Component headquarters or Reserve regional command and each National 
Guard State headquarters who can render assistance to:
    (A) Members of the National Guard or Reserve about employment and 
reemployment rights, benefits, and obligations.
    (B) Employers of National Guard and Reserve members about duty or 
training requirements arising from a member's uniformed service or 
service obligation.
    (xi) Inform Reserve Component Service members of services provided 
by ESGR. ESGR's subject-matter expert POCs can render assistance with 
issues regarding employment and reemployment rights, benefits, and 
obligations under USERRA. More information about ESGR is contained in 
paragraph (c) of this section.
    (b) Employer Information and Assistance. The Military Departments 
will:
    (1) Provide verification of absence due to uniformed service to 
civilian employers upon request regardless of the duration of service-
related absence.
    (2) Provide verification of discharge status upon employer request.
    (3) Designate a Reserve Component representative who must be either 
a Commander or Officer in Charge with the military authority to delay, 
defer, cancel, or reschedule military service. The designated Reserve 
Component representative will consider, unless prevented by military 
necessity or otherwise impossible or unreasonable under all the 
circumstances, written requests from civilian employers of National 
Guard and Reserve members to adjust the Service member's absences from 
civilian employment. The civilian employer must submit a written 
justification explaining how the National Guard and Reserve member's 
absence imposes adverse financial or severe operating impact to the 
civilian employer, and advise as to when the hardship due to the Service 
member's absence is anticipated to end. The designated representative 
has discretion to delay, defer, cancel, or rescheduled military service, 
so long as it does not negatively affect military operations. The 
designated representative may make arrangements, other than adjusting 
the period of absence, to accommodate such requests when it serves in 
the best interest of the military and is reasonable to do so. Section 
104.6(b)(3) does not create any right of action against the government 
by any party.
    (c) Agencies Providing USERRA Assistance--(1) ESGR. ESGR is a 
component of the DoDHRA, a DoD Field Activity under the authority, 
direction, and control of the USD(P&R).
    (i) ESGR is the primary DoD office for all matters concerning 
employer support of the National Guard and Reserve, and serves as the 
lead proponent for USERRA matters within DoD.
    (ii) ESGR informs Service members and their civilian employers 
regarding their rights and responsibilities governed by USERRA.
    (iii) ESGR does not have enforcement authority for USERRA, but 
serves as a free resource for Service members and employers.
    (iv) ESGR's trained ombudsmen provide neutral, informal alternative 
dispute mediation services between Service members and employers for 
issues relating to compliance with USERRA. Headquarters ESGR Ombudsman 
Services representatives can be contacted by calling 1-800-336-4590.
    (v) ESGR's Web site (available at http://www.esgr.mil) provides 
local and State contact information. Additionally, the Web site provides 
links to multiple resources for both Service members and employers.

[[Page 642]]

    (2) DOL-VETS. (i) A person may file a complaint with the DOL-VETS or 
initiate private legal action, if alleging that an employer, including 
any Federal Executive Agency or the OPM, has failed or refused, or is 
about to fail or refuse, to comply with employment or reemployment 
rights and benefits under USERRA.
    (ii) Using ESGR's mediation services is not a prerequisite for 
filing a complaint with DOL-VETS. The complaint may be filed in writing, 
or electronically. Instructions and the forms can be accessed at the 
DOL-VETS Web site (available at http://www.dol.gov/elaws/vets/userra/
1010.asp).
    (iii) DOL-VETS receives complaints from veterans and service members 
who believe their USERRA rights were violated. DOL-VETS investigates 
these complaints, and if the evidence supports a conclusion that a 
claimant's USERRA rights have been violated, will work with the employer 
and employee to obtain an appropriate resolution. If those efforts are 
unsuccessful--regardless of the outcome--the employee/claimant may 
request that his or her case be referred to DOJ or OSC for further 
review and consideration of representation in U.S. District Court or 
before the Merit Systems Protection Board (MSPB) as appropriate.
    (3) DOJ. (i) DOJ is the agency under the Attorney General that 
enforces USERRA matters involving State and local government employers 
and private-sector employers. DOJ receives USERRA cases referred by DOL-
VETS.
    (ii) DOJ reviews USERRA cases to determine if representation is 
appropriate. In cases found to have merit, the Attorney General will 
commence court action on behalf of the Service member, to be prosecuted 
by DOJ attorneys.
    (4) OSC. (i) OSC is an independent Federal agency that enforces 
USERRA matters involving State and local government employers and 
private-sector employers. OSC receives USERRA cases referred by DOL-
VETS.
    (ii) OSC reviews USERRA cases to determine if representation is 
appropriate. In cases found to have merit, OSC will initiate an action 
before the Merit Systems Protection Board (MSPB), also an independent, 
Federal agency, serving as the guardian of Federal merit systems. If OSC 
declines representation, the claimant may still file an appeal with the 
MSPB.



PART 105_SEXUAL ASSAULT PREVENTION AND RESPONSE PROGRAM PROCEDURES
--Table of Contents



Sec.
105.1 Purpose.
105.2 Applicability.
105.3 Definitions.
105.4 Policy.
105.5 Responsibilities.
105.6 Procedures.
105.7 Oversight of the SAPR program.
105.8 Reporting options and Sexual Assault Reporting Procedures.
105.9 Commander and management procedures.
105.10 SARC and SAPR VA procedures.
105.11 Healthcare provider procedures.
105.12 SAFE Kit collection and preservation.
105.13 Case management for Unrestricted Reports of sexual assault.
105.14 Training requirements for DoD personnel.
105.15 Defense Sexual Assault Incident Database (DSAID).
105.16 Sexual assault annual and quarterly reporting requirements.
105.17 Sexual assault offense--investigation disposition descriptions.
105.18 Information collection requirements.

    Authority: 10 U.S.C. 113; 10 U.S.C. chapter 47; and Public Laws 106-
65, 108-375, 109-163, 109-364, 110-417, 111-84, 111-383, and 112-81.

    Source: 78 FR 21718, Apr. 11, 2013, unless otherwise noted.



Sec. 105.1  Purpose

    This part, in accordance with the authority in DoDD 5124.02 \1\ and 
32 CFR part 103:
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    (a) Establishes policy and implements 32 CFR part 103, assigns 
responsibilities, and provides guidance and procedures for the SAPR 
Program (see 32 CFR 103.3), can be found at www.dtic.mil/whs/directives/
corres/pdf/649501p.pdf;
    (b) Establishes the processes and procedures for the Sexual Assault 
Forensic Examination (SAFE) Kit; can be found at http://www.sapr.mil /
index.php /toolkit;

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    (c) Establishes the multidisciplinary Case Management Group (CMG) 
(see Sec. 105.3) and provides guidance on how to handle sexual assault;
    (d) Establishes Sexual Assault Prevention and Response (SAPR) 
minimum program standards, SAPR training requirements, and SAPR 
requirements for the DoD Annual Report on Sexual Assault in the Military 
consistent with the DoD Task Force Report on Care for Victims of Sexual 
Assault \2\ and pursuant to DoDD 5124.02 and 32 CFR part 103, 10 U.S.C. 
113, 10 U.S.C. chapter 47 (also known and hereafter referred to as the 
``UCMJ''), and Public Laws 106-65, 108-375, 109-163, 109-364, 110-417, 
111-84, 111-383, and 112-81; and
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    (e) Incorporates DTM 11-063, ``Expedited Transfer of Military 
Service Members Who File Unrestricted Reports of Sexual Assault,'' 
December 16, 2011, can be found at http://www.sapr.mil /media/pdf /
policy/DTM- 11-063.pdf and DTM 11-062, ``Document Retention for 
Restricted and Unrestricted Reports of Sexual Assault,'' December 16, 
2011, can be found at http://www.dtic.mil /whs/directives /corres/pdf /
DTM-11- 062.pdf.
    (f) Implements DoD policy and assigns responsibilities for the SAPR 
Program on prevention, response, and oversight to sexual assault 
according to the policies and guidance in:
    (1) DoDD 5124.02, ``Under Secretary of Defense for Personnel and 
Readiness (USD(P&R)),'' June 23, 2008, can be found at http://
www.dtic.mil /whs/directives /corres/pdf/ 512402p.pdf;
    (2) 32 CFR part 103;
    (3) Under Secretary of Defense for Personnel and Readiness, ``Task 
Force Report on Care for Victims of Sexual Assault,'' April 2004, can be 
found at http://www.sapr.mil /media/pdf/research /Task-Force- Report-
for- Care-of- Victims-of- SA-2004.pdf;
    (4) Sections 101(d)(3), 113, 504, 4331, chapter 47, and chapter 80 
of title 10, U.S.C.;
    (5) Public Law 106-65, ``National Defense Authorization Act for 
Fiscal Year 2000,'' October 5, 1999;
    (6) Public Law 108-375, ``Ronald Reagan National Defense 
Authorization Act for Fiscal Year 2005,'' October 28, 2004;
    (7) Public Law 109-163, ``National Defense Authorization Act for 
Fiscal Year 2006,'' January 6, 2006;
    (8) Public Law 109-364, ``John Warner National Defense Authorization 
Act for Fiscal Year 2007,'' October 17, 2006;
    (9) Sections 561, 562, and 563 of Public Law 110-417, ``Duncan 
Hunter National Defense Authorization Act for Fiscal Year 2009,'' 
October 14, 2008;
    (10) Public Law 111-84, ``National Defense Authorization Act for 
Fiscal Year 2010,'' October 28, 2009;
    (11) Public Law 111-383, ``Ike Skelton National Defense 
Authorization Act for Fiscal Year 2011,'' January 7, 2011;
    (12) Section 585 and 586 of Public Law 112-81, ``National Defense 
Authorization Act for Fiscal Year 2012,'' December 16, 2011;
    (13) DTM 11-063, ``Expedited Transfer of Military Service Members 
Who File Unrestricted Reports of Sexual Assault,'' December 16, 2011 
(hereby cancelled), can be found at http://www.sapr.mil /media/pdf /
policy/DTM- 11-063.pdf;
    (14) DTM 11-062, ``Document Retention in Cases of Restricted and 
Unrestricted Reports of Sexual Assault,'' December 16, 2011, can be 
found at http://www.sapr.mil /media/pdf /policy/DTM- 11-062.pdf;
    (15) DoDD 6400.1, ``Family Advocacy Program (FAP),'' August 23, 
2004, can be found at http://www.dtic.mil /whs/directives /corres/pdf/ 
640001p.pdf;
    (16) DoDI 6400.06, ``Domestic Abuse Involving DoD Military and 
Certain Affiliated Personnel,'' August 21, 2007, as amended, can be 
found at http://www.dtic.mil /whs/directives /corres/pdf/ 640006p.pdf;
    (17) DoDI 3020.41, ``Operational Contract Support (OCS),'' December 
20, 2011, can be found at http://www.dtic.mil /whs/directives /corres/
pdf/ 302041p.pdf;
    (18) U.S. Department of Defense, ``Manual for Courts-Martial, United 
States'';
    (19) DoDI 5505.18, ``Investigation of Adult Sexual Assault in the 
Department of Defense,'' January 25, 2013, can be found at http://
www.dtic.mil /whs/directives /corres/pdf /550518p.pdf;

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    (20) DoDI 5545.02, ``DoD Policy for Congressional Authorization and 
Appropriations Reporting Requirements,'' December 19, 2008, can be found 
at http://www.dtic.mil /whs/directives /corres/pdf/ 554502p.pdf;
    (21) DTM 12-004, ``DoD Internal Information Collections,'' April 24, 
2012, can be found at http://www.dtic.mil /whs/directives /corres/pdf /
DTM-12- 004.pdf;
    (21) DoD 8910.1-M, ``Department of Defense Procedures for Management 
of Information Requirements,'' June 30, 1998, can be found at http://
www.dtic.mil/whs/directives/corres/pdf/891001m.pdf;
    (23) U.S. Department of Justice, Office on Violence Against Women, 
``A National Protocol for Sexual Assault Medical Forensic Examinations, 
Adults/Adolescents,'' current version, can be found at http://
www.ncjrs.gov /pdffiles1/ ovw/ 206554.pdf;
    (24) DoDI 1030.2, ``Victim and Witness Assistance Procedures,'' June 
4, 2004, can be found at http://www.dtic.mil /whs/directives/ corres/
pdf/ 103002p.pdf;
    (25) DoDD 7050.06, ``Military Whistleblower Protection,'' July 23, 
2007, can be found at http://www.dtic.mil /whs/directives /corres/pdf/ 
705006p.pdf;
    (26) Section 102 of title 32, U.S.C.;
    (27) Section 8(c) of Public Law 100-504, ``The Inspector General Act 
of 1978,'' as amended;
    (28) DoD 6025.18-R, ``DoD Health Information Privacy Regulation,'' 
January 24, 2003, can be found at http://www.dtic.mil /whs/directives /
corres/pdf /602518r.pdf;
    (29) Executive Order 13593, ``2011 Amendments to the Manual for 
Courts-Martial, United States,'' December 13, 2011, can be found at 
http://www.gpo.gov /fdsys/pkg/ FR-2011- 12-16/pdf /X11- 11216.pdf;
    (30) DoDD 5400.11, ``DoD Privacy Program,'' May 8, 2007, can be 
found at http://www.dtic.mil /whs/directives /corres/pdf/ 540011p.pdf;
    (31) Public Law 104-191, ``Health Insurance Portability and 
Accountability Act of 1996,'' August 21, 1996;
    (32) Section 552a of title 5, U.S.C.;
    (33) DoDD 1030.01, ``Victim and Witness Assistance,'' April 13, 
2004, can be found at http://www.dtic.mil /whs/directives /corres/pdf/ 
103001p.pdf;
    (34) DoDI 1241.2, ``Reserve Component Incapacitation System 
Management,'' May 30, 2001, can be found at http://www.dtic.mil/whs/
directives/corres/pdf/124102p.pdf;
    (35) Section 1561a of Public Law 107-311, ``Armed Forces Domestic 
Security Act,'' December 2, 2002;
    (36) Secretary of Defense Memorandum, ``Withholding Initial 
Disposition Authority Under the Uniform Code of Military Justice in 
Certain Sexual Assault Cases,'' April 20, 2012, can be found at http://
www.dod.gov /dodgc/images /withhold-- authority.pdf;
    (37) Under Secretary of Defense for Personnel and Readiness 
Memorandum, ``Legal Assistance for Victims of Crime,'' October 17, 2011, 
can be found at http://www.sapr.mil /index.php /law-and- dod-policies/ 
directives-and- instructions; and
    (38) DoD 4165.66-M, ``Base Redevelopment and Realignment Manual,'' 
March 1, 2006, can be found at http://www.dtic.mil /whs/directives /
corres/pdf /416566m.pdf.



Sec. 105.2  Applicability.

    This part applies to:
    (a) Office of the Secretary of Defense (OSD), the Military 
Departments, the Office of the Chairman of the Joint Chiefs of Staff and 
the Joint Staff, the Combatant Commands, the IG, DoD, the Defense 
Agencies, the DoD Field Activities, and all other organizational 
entities within the DoD (hereafter referred to collectively as the 
``DoDComponents'').
    (b) NG and Reserve Component members who are sexually assaulted when 
performing active service, as defined in section 101(d)(3) of title 10, 
U.S.C., and inactive duty training. If reporting a sexual assault that 
occurred prior to or while not performing active service or inactive 
training, NG and Reserve Component members will be eligible to receive 
limited SAPR support services from a SARC and a SAPR VA and are eligible 
to file a Restricted or Unrestricted Report.
    (c) Military dependents 18 years of age and older who are eligible 
for treatment in the MHS, at installations CONUS and OCONUS, and who 
were victims of sexual assault perpetrated by someone other than a 
spouse or intimate partner.

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    (1) Adult military dependents may file unrestricted or restricted 
reports of sexual assault.
    (2) The FAP, consistent with DoDD 6400.1 and DoDI 6400.06, covers 
adult military dependent sexual assault victims who are assaulted by a 
spouse or intimate partner and military dependent sexual assault victims 
who are 17 years of age and younger. The installation SARC and the 
installation family advocacy program (FAP) and domestic violence 
intervention and prevention staff shall direct coordination when a 
sexual assault occurs within a domestic relationship or involves child 
abuse.
    (d) The following non-military individuals who are victims of sexual 
assault are only eligible for limited emergency care medical services at 
a military treatment facility, unless that individual is otherwise 
eligible as a Service member or TRICARE (http://www.tricare.mil) 
beneficiary of the military health system to receive treatment in a 
military MTF at no cost to them. They are only eligible to file an 
Unrestricted Report. They will also be offered the limited SAPR services 
to be defined as the assistance of a SARC and SAPR VA while undergoing 
emergency care OCONUS. These limited medical and SAPR services shall be 
provided to:
    (1) DoD civilian employees and their family dependents 18 years of 
age and older when they are stationed or performing duties OCONUS and 
eligible for treatment in the MHS at military installations or 
facilities OCONUS. These DoD civilian employees and their family 
dependents 18 years of age and older only have the Unrestricted 
Reporting option.
    (2) U.S. citizen DoD contractor personnel when they are authorized 
to accompany the Armed Forces in a contingency operation OCONUS and 
their U.S. citizen employees. DoD contractor personnel only have the 
Unrestricted Reporting option. Additional medical services may be 
provided to contractors covered under this part in accordance with DoDI 
3020.41 as applicable.
    (e) Service members who are on active duty but were victims of 
sexual assault prior to enlistment or commissioning are eligible to 
receive SAPR services (see Sec. 105.3) under either reporting option. 
The DoD shall provide support to an active duty Service member 
regardless of when or where the sexual assault took place.



Sec. 105.3  Definitions.

    Unless otherwise noted, these terms and their definitions are for 
the purpose of this part. Refer to 32 CFR 103.3 for terms not defined in 
this part.
    (a) Accessions training. Training that a Service member receives 
upon initial entry into Military Service through basic military 
training.
    (b) Certification. Refers to the process by which the Department 
credentials SARCs and SAPR VAs, assesses the effectiveness of sexual 
assault advocacy capabilities using a competencies framework, and 
evaluates and performs oversight over SARC and SAPR VA training. The 
certification criteria is established by the Department in consultation 
with subject-matter experts.
    (c) Case Management Group (CMG). A multi-disciplinary group that 
meets monthly to review individual cases of Unrestricted Reports of 
sexual assault. The group facilitates monthly victim updates and directs 
system coordination, accountability, and victim access to quality 
services. At a minimum, each group shall consist of the following 
additional military or civilian professionals who are involved and 
working on a specific case: SARC, SAPR VA, military criminal 
investigator, DoD law enforcement, healthcare provider and mental health 
and counseling services, chaplain, command legal representative or staff 
judge advocate (SJA), and victim's commander.
    (d) Collateral misconduct. Victim misconduct that might be in time, 
place, or circumstance associated with the victim's sexual assault 
incident. Collateral misconduct by the victim of a sexual assault is one 
of the most significant barriers to reporting assault because of the 
victim's fear of punishment. Some reported sexual assaults involve 
circumstances where the victim may have engaged in some form of 
misconduct (e.g., underage drinking or other related alcohol offenses, 
adultery, fraternization, or other violations of certain regulations or 
orders).

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    (e) Confidential communications. Defined in 32 CFR part 103.
    (f) Consent. Defined in 32 CFR part 103.
    (g) Credible information. Information that, considering the source 
and nature of the information and the totality of the circumstances, is 
sufficiently believable to presume that the fact or facts in question 
are true.
    (h) Credible report. Either a written or verbal report made in 
support of an expedited transfer that is determined to have credible 
information.
    (i) Crisis intervention. Defined in 32 CFR part 103.
    (j) Culturally-competent care. Defined in 32 CFR part 103.
    (k) Defense Sexual Assault Incident Database (DSAID). Defined in 32 
CFR part 103.
    (l) Designated activity. The agency that processes permanent change 
of station (PCS) or permanent change of assignment (PCA) for expedited 
transfers.
    (1) Air Force: Air Force Personnel Center.
    (2) Army: Human Resources Command for inter-installation transfers 
and the installation personnel center for intra-installation transfers.
    (3) Navy: Bureau of Naval Personnel.
    (4) U.S. Marine Corps: the order writing section of Headquarters 
Marine Corps.
    (5) Air and Army NG: the National Guard Bureau (NGB) or the Joint 
Forces Headquarters-State for the State involved.
    (m) DoD Safe Helpline. A crisis support service for victims of 
sexual assault in the DoD. The DoD Safe Helpline is available 24/7 
worldwide with ``click, call, or text'' user options for anonymous and 
confidential support. The DoD Safe Helpline can be accessed by logging 
on to www.safehelpline.org or by calling 1-877-995-5247. The DoD Safe 
Helpline does not replace local base and installation SARC or SAPR VA 
contact information.
    (n) Emergency. Defined in 32 CFR part 103.
    (o) Emergency care. Defined in 32 CFR part 103.
    (p) Executive agent. The Head of a DoD Component to whom the 
Secretary of Defense or the Deputy Secretary of Defense has assigned 
specific responsibilities, functions, and authorities to provide defined 
levels of support for operational missions, or administrative or other 
designated activities that involve two or more of the DoD Components.
    (q) Final disposition. Actions taken to resolve the reported 
incident, document case outcome, and address the misconduct by the 
alleged perpetrator, as appropriate. It includes, but is not limited to, 
military justice proceedings, non-judicial punishment, or administrative 
actions, including separation actions taken in response to the offense, 
whichever is the most serious action taken.
    (r) Gender-responsive care. Defined in 32 CFR part 103.
    (s) Healthcare personnel. Persons assisting or otherwise supporting 
healthcare providers in providing healthcare services (e.g., 
administrative personnel assigned to a military MTF). Includes all 
healthcare providers.
    (t) Healthcare provider. Those individuals who are employed or 
assigned as healthcare professionals, or are credentialed to provide 
healthcare services at a MTF, or who provide such care at a deployed 
location or otherwise in an official capacity. This also includes 
military personnel, DoD civilian employees, and DoD contractors who 
provide healthcare at an occupational health clinic for DoD civilian 
employees or DoD contractor personnel. Healthcare providers may include, 
but are not limited to:
    (1) Licensed physicians practicing in the MHS with clinical 
privileges in obstetrics and gynecology, emergency medicine, family 
practice, internal medicine, pediatrics, urology, general medical 
officer, undersea medical officer, flight surgeon, or those having 
clinical privileges to perform pelvic examinations.
    (2) Licensed advanced practice registered nurses practicing in the 
MHS with clinical privileges in adult health, family health, midwifery, 
women's health, or those having clinical privileges to perform pelvic 
examinations.
    (3) Licensed physician assistants practicing in the MHS with 
clinical

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privileges in adult, family, women's health, or those having clinical 
privileges to perform pelvic examinations.
    (4) Licensed registered nurses practicing in the MHS who meet the 
requirements for performing a SAFE as determined by the local 
privileging authority. This additional capability shall be noted as a 
competency, not as a credential or privilege.
    (5) A psychologist, social worker or psychotherapist licensed and 
privileged to provide mental health are or other counseling services in 
a DoD or DoD-sponsored facility.
    (u) Hospital facilities (Level 3). Minimum operational functions 
required for a Level 3 hospital include: command, control, and 
communications; patient administration; nutritional care; supply and 
services; triage; emergency medical treatment; preoperative care; 
orthopedics; general surgery; operating rooms and central materiel and 
supply services; anesthesia, nursing services (to include intensive and 
intermediate care wards); pharmacy; clinical laboratory and blood 
banking; radiology services; and hospital ministry team services.
    (v) Installation. A base, camp, post, station, yard, center, 
homeport facility for any ship, or other activity under the jurisdiction 
of the DoD, including any leased facility. It does not include any 
facility used primarily for civil works, rivers and harbors projects, 
flood control, or other projects not under the primary jurisdiction or 
control of the DoD.
    (w) Installation commander. Commander of a base, camp, post, 
station, yard, center, homeport facility for any ship, or other activity 
under the jurisdiction of the DoD, including any leased facility. It 
does not include any facility used primarily for civil works, rivers and 
harbors projects, flood control, or other projects not under the primary 
jurisdiction or control of the DoD.
    (x) Law enforcement. Includes all DoD law enforcement units, 
security forces, and Military Criminal Investigative Organizations 
(MCIO).
    (y) MCIOs. The U.S. Army Criminal Investigation Command, Naval 
Criminal Investigative Service, and Air Force Office of Special 
Investigations.
    (z) Medical care. Includes physical and psychological medical 
services.
    (aa) Military Services. The term, as used in the SAPR Program, 
includes Army, Air Force, Navy, Marines, Reserve Components, and their 
respective Military Academies.
    (bb) Non-identifiable information. Defined in 32 CFR part 103.
    (cc) Non-participating victim. Victim choosing not to participate in 
the military justice system.
    (dd) Official investigative process. Defined in 32 CFR part 103.
    (ee) Personal identifiable information. Defined in 32 CFR part 103.
    (ff) Qualifying conviction. Defined in 32 CFR part 103.
    (gg) Recovery-oriented care. Defined in 32 CFR part 103.
    (hh) Reprisal. Taking or threatening to take an unfavorable 
personnel action, or withholding or threatening to withhold a favorable 
personnel action, or any other act of retaliation, against a Service 
member for making, preparing, or receiving a communication.
    (ii) Responders. Includes first responders, who are generally 
composed of personnel in the following disciplines or positions: SARCs, 
SAPR VAs, healthcare personnel, law enforcement, and MCIOs. Other 
responders are judge advocates, chaplains, and commanders, but they are 
usually not first responders.
    (jj) Respond, response, or response capability. All locations, 
including deployed areas, have a 24 hour, 7 day per week sexual assault 
response capability. The SARC shall be notified, respond or direct a 
SAPR VA to respond, assign a SAPR VA, and offer the victim healthcare 
treatment and a SAFE. In geographic locations where there is no SARC 
onsite, the on-call SAPR VA shall respond, offer the victim healthcare 
treatment and a SAFE, and immediately notify the SARC of the sexual 
assault. The initial response is generally composed of personnel in the 
following disciplines or positions: SARCs, SAPR VAs, healthcare 
personnel, law enforcement, and MCIOs. Other responders are judge 
advocates, chaplains, and commanders. When victims geographically 
detached from a military installation, the SARC or SAPR VA will refer to 
local civilian

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providers or the DoD Safe Helpline for resources.
    (kk) Restricted reporting. Reporting option that allows sexual 
assault victims to confidentially disclose the assault to specified 
individuals (i.e., SARC, SAPR VA, or healthcare personnel), and receive 
medical treatment, including emergency care, counseling, and assignment 
of a SARC and SAPR VA, without triggering an investigation. The victim's 
report provided to healthcare personnel (including the information 
acquired from a SAFE Kit), SARCs, or SAPR VAs, will not be reported to 
law enforcement or to the command to initiate the official investigative 
process unless the victim consents or an established exception applies. 
The Restricted Reporting Program applies to Service members and their 
military dependents 18 years of age and older. Additional persons who 
may be entitled to Restricted Reporting are NG and Reserve Component 
members. DoD civilians and contractors, at this time, are only eligible 
to file an Unrestricted Report. Only a SARC, SAPR VA, or healthcare 
personnel may receive a Restricted Report, previously referred to as 
Confidential Reporting.
    (ll) Re-victimization. A pattern wherein the victim of abuse or 
crime has a statistically higher tendency to be victimized again, either 
shortly thereafter or much later in adulthood in the case of abuse as a 
child. This latter pattern is particularly notable in cases of sexual 
abuse.
    (mm) SAFE Kit. Defined in 32 CFR part 103.
    (nn) SAPR Integrated Product Team (IPT). A team of individuals that 
advises the Under Secretary of Defense (USD) for Personnel and Readiness 
(P&R) and the Secretary of Defense on policies for sexual assault issues 
involving persons covered by this part. The SAPR IPT serves as the 
implementation and oversight arm of the SAPR Program. It coordinates 
policy and reviews the DoD's SAPR policies and programs consistent with 
this part and 32 CFR part 103 and monitors the progress of program 
elements. The SAPR IPT is chaired by the Director, SAPRO.
    (oo) SAPR Program. Defined in 32 CFR part 103.
    (pp) SAPR services. Services provided by a SARC and SAPR VA.
    (qq) SAPR VA. Defined in 32 CFR part 103.
    (rr) SAPRO. Defined in 32 CFR part 103.
    (ss) SARC. Defined in 32 CFR part 103.
    (tt) Secondary victimization. The re-traumatization of the sexual 
assault, abuse, or rape victim. It is an indirect result of assault that 
occurs through the responses of individuals and institutions to the 
victim. The types of secondary victimization include victim blaming, 
inappropriate behavior or language by medical personnel and by other 
organizations with access to the victim post assault.
    (uu) Service member. Defined in 32 CFR part 103.
    (vv) Sexual assault. Intentional sexual contact characterized by the 
use of force, threats, intimidation, or abuse of authority or when the 
victim does not or cannot consent. As used in this part, the term 
includes a broad category of sexual offenses consisting of the following 
specific UCMJ offenses: rape, sexual assault, aggravated sexual contact, 
abusive sexual contact, forcible sodomy (forced oral or anal sex), or 
attempts to commit these offenses.
    (ww) Trauma informed care. An approach to engage people with 
histories of trauma that recognizes the presence of trauma symptoms and 
acknowledges the role that trauma has played in their lives. Trauma-
informed services are based on an understanding of the vulnerabilities 
or triggers of trauma survivors that traditional service delivery 
approaches may exacerbate, so these services and programs can be more 
supportive and avoid re-traumatization.
    (xx) Unrestricted reporting. Defined in 32 CFR part 103.
    (yy) Victim Witness Assistance Program (VWAP). Provides guidance in 
accordance with DoD 8910.1-M \3\ for assisting victims and witnesses of 
crime from initial contact through investigation, prosecution, and 
confinement. Particular attention is paid to victims of serious and 
violent crime, including

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    (zz) Victim. Defined in 32 CFR part 103.
    (aaa) Working Integrated Product Team (WIPT). A team of individuals 
that focuses on one select issue, is governed by a charter with 
enumerated goals (the details of which will be laid out in individual 
work plans), and is subject to a definitive timeline for the 
accomplishment of the stated goals. The USD(P&R) shall provide decisions 
for WIPT issues that cannot be resolved by the SAPR IPT or that require 
higher level decision-making. Chairs or co-chairs are approved by the 
Director, SAPRO, who serves as the chair of the SAPR IPT. WIPT 
membership shall be comprised of full-time Federal employees and active 
duty military personnel. Membership is explained in individual WIPT work 
plans.
    (bbb) Work plan. Each WIPT is governed by a work plan that provides 
the WIPT's specific subject, chairs or co-chairs, participants, problem 
statement, key issues to address, issues outside the scope of the WIPT, 
timeline, deliverables, and expenses.



Sec. 105.4  Policy.

    It is DoD policy, in accordance with 32 CFR part 103, that:
    (a) This part and 32 CFR part 103 establish and implement the DoD 
SAPR program.
    (b) The DoD goal is a culture free of sexual assault, through an 
environment of prevention, education and training, response capability 
(see Sec. 105.3), victim support, reporting procedures, and appropriate 
accountability that enhances the safety and well being of all persons 
covered by this part and 32 CFR part 103.
    (c) The SAPR Program shall:
    (1) Focus on the victim and on doing what is necessary and 
appropriate to support victim recovery, and also, if a Service member, 
to support that Service member to be fully mission capable and engaged.
    (2) Require that medical care and SAPR services are gender-
responsive, culturally-competent, and recovery-oriented as defined in 32 
CFR 103.3.
    (3) Not provide policy for legal processes within the responsibility 
of the Judge Advocates General (JAG) of the Military Departments 
provided in the UCMJ, the Manual for Courts-Martial, or for criminal 
investigative matters assigned to the IG, DoD.
    (d) Command sexual assault awareness and prevention programs and DoD 
law enforcement (see Sec. 105.3) and criminal justice procedures that 
enable persons to be held appropriately accountable for their actions 
shall be supported by all commanders.
    (e) Standardized SAPR requirements, terminology, guidelines, 
protocols, and guidelines for training materials shall focus on 
awareness, prevention, and response at all levels, as appropriate.
    (f) SARC and SAPR VA shall be used as standard terms as defined in 
and in accordance with 32 CFR part 103 throughout the Military 
Departments to facilitate communications and transparency regarding SAPR 
response capability.
    (g) The SARC shall serve as the single point of contact for 
coordinating care to ensure that sexual assault victims receive 
appropriate and responsive care. All SARCs shall be authorized to 
perform VA duties in accordance with service regulations, and will be 
acting in the performance of those duties.
    (h) All SARCs shall have direct and unimpeded contact and access to 
the installation commander (see Sec. 105.3) for the purpose of this 
part and 32 CFR part 103.
    (1) If an installation has multiple SARCs on the installation, a 
Lead SARC shall be designated by the Service.
    (2) For SARCs that operate within deployable commands that are not 
attached to an installation, they shall have access to the senior 
commander for the deployable command.
    (i) A 24 hour, 7 day per week sexual assault response capability for 
all locations, including deployed areas, shall be established for 
persons covered in this part. An immediate, trained sexual assault 
response capability shall be available for each report of sexual assault 
in all locations, including in deployed locations.
    (j) SARCs, SAPR VAs, and other responders (see Sec. 105.3) will 
assist sexual

[[Page 650]]

assault victims regardless of Service affiliation.
    (k) Service member and adult military dependent victims of sexual 
assault shall receive timely access to comprehensive medical and 
psychological treatment, including emergency care treatment and 
services, as described in this part and 32 CFR part 103.
    (l) Sexual assault victims shall be given priority, and treated as 
emergency cases. Emergency care (see Sec. 105.3) shall consist of 
emergency medical care and the offer of a SAFE. The victim shall be 
advised that even if a SAFE is declined the victim shall be encouraged 
(but not mandated) to receive medical care, psychological care, and 
victim advocacy.
    (m) The prohibition of enlistment or commissioning of persons in the 
Military Services when the person has a qualifying conviction (see Sec. 
105.3) for a crime of sexual assault or is required to be registered as 
a sex offender.
    (n) Improper disclosure of confidential communications under 
Restricted Reporting or improper release of medical information are 
prohibited and may result in disciplinary action pursuant to the UCMJ or 
other adverse personnel or administrative actions. Even proper release 
of Restricted Reporting information should be limited to those with an 
official need to know, or as authorized by law.
    (o) Information regarding Unrestricted Reports should only be 
released to personnel with an official need to know, or as authorized by 
law.
    (p) The DoD will have two separate document retention schedules for 
records of Service members who report that they are victims of sexual 
assault, based on whether the Service member filed a Restricted or 
Unrestricted Report as defined in 32 CFR part 103. The record retention 
system for Restricted Reports shall protect the Service member's desire 
for confidentiality. Restricted Report cases direct that Department of 
Defense Forms (DD Form) 2910 and 2911 be retained for at least 5 years, 
but at the request of a member of the Armed Forces who files a 
Restricted Report on an incident of sexual assault, the DD Forms 2910 
and 2911 filed in connection with the Restricted Report be retained for 
50 years. Unrestricted Report cases direct that DD Forms 2910 and 2911 
be retained for 50 years.
    (1) Document Retention for Unrestricted Reports: The SARC will enter 
the Unrestricted Report DD Form 2910, ``Victim Reporting Preference 
Statement,'' in DSAID (see 32 CFR 103.3) or the DSAID-interface Military 
Service data system as an electronic record, where it will be retained 
for 50 years from the date the victim signed the DD Form 2910. DD Form 
2910 is located at the DoD Forms Management Program Web site at http://
www.dtic.mil /whs/directives /infomgt/forms /index.htm. The DD Form 
2911, ``DoD Sexual Assault Forensic Examination (SAFE) Report,'' shall 
be retained in accordance with this part.
    (2) Document Retention for Restricted Reports;
    (i) The SAFE Kit, which includes the DD Form 2911 or civilian 
forensic examination report, if available, will be retained for 5 years 
in a location designated by the Military Service concerned. The 5-year 
time frame will start from the date the victim signs the DD Form 2910.
    (ii) The SARC will retain a hard copy of the Restricted Report DD 
Form 2910 for 5 years, consistent with DoD guidance for the storage of 
personally identifiable information (PII). The 5-year time frame for the 
DD Form 2910 will start from the date the victim signs the DD Form 2910. 
However, at the request of a member of the Armed Forces who files a 
Restricted Report on an incident of sexual assault, the DD Forms 2910 
and 2911 filed in connection with the Restricted Report be retained for 
50 years.
    (q) Any threat to the life or safety of a Military Service member 
shall be immediately reported to command and DoD law enforcement 
authorities (see Sec. 105.3) and a request to transfer the victim under 
these circumstances will be handled in accordance with established 
Service regulations. DoD recognizes that circumstances may also exist 
that warrant the transfer of a Service member who makes an Unrestricted 
Report of sexual assault but may not otherwise meet established criteria 
for effecting the immediate

[[Page 651]]

transfer of Service members. Those Service members may request a 
transfer pursuant to the procedures in this part.
    (r) Service members who file an Unrestricted Report of sexual 
assault shall be informed by the SARC at the time of making the report, 
or as soon as practicable, of the option to request a temporary or 
permanent expedited transfer from their assigned command or 
installation, or to a different location within their assigned command 
or installation, in accordance with the procedures for commanders in 
Sec. 105.9 of this part.
    (s) Service members who file Unrestricted and Restricted Reports of 
sexual assault shall be protected from reprisal, or threat of reprisal, 
for filing a report.



Sec. 105.5  Responsibilities.

    (a) USD(P&R). The USD(P&R), in accordance with the authority in DoDD 
5124.02 and 32 CFR part 103, shall:
    (1) Oversee the DoD SAPRO (see 32 CFR 103.3) in accordance with 32 
CFR part 103.
    (2) Direct DoD Component implementation of this part in compliance 
with 32 CFR part 103.
    (3) Direct that Director, SAPRO, be informed of and consulted on any 
changes in DoD policy or the UCMJ relating to sexual assault.
    (4) With the Director, SAPRO, update the Deputy Secretary of Defense 
on SAPR policies and programs on a semi-annual schedule.
    (5) Direct the creation, implementation, and maintenance of DSAID.
    (6) Oversee DoD SAPRO in developing DoD requirements for SAPR 
education, training, and awareness for DoD personnel consistent with 
this part.
    (7) Appoint a general or flag officer (G/FO) or Senior Executive 
Service (SES) equivalent in the DoD as the Director, SAPRO.
    (8) In addition to the Director, SAPRO, assign a military officer 
from each of the Military Services in the grade of O-4 or above to SAPRO 
for a minimum tour length of at least 18 months. Of these four officers 
assigned to the SAPRO, at least one officer shall be in the grade of O-6 
or above. See Public Law 112-81.
    (9) Establish a DoD-wide certification program (see Sec. 105.3) 
with a national accreditor to ensure all sexual assault victims are 
offered the assistance of a SARC or SAPR VA who has obtained this 
certification.
    (b) Director, Department of Defense Human Resource Activity 
(DoDHRA). The Director, DoDHRA, under the authority, direction, and 
control of the USD(P&R), shall provide operational support, budget, and 
allocate funds and other resources for the DoD SAPRO as outlined in 32 
CFR part 103.
    (c) Assistant Secretary of Defense for Health Affairs (ASD(HA)). The 
ASD(HA), under the authority, direction, and control of the USD(P&R), 
shall:
    (1) Establish DoD sexual assault healthcare policies, clinical 
practice guidelines, related procedures, and standards governing the DoD 
healthcare programs for victims of sexual assault.
    (2) Oversee the requirements and procedures in Sec. 105.11 of this 
part.
    (3) Establish guidance to:
    (i) Give priority to sexual assault patients at MTFs as emergency 
cases.
    (ii) Require standardized, timely, accessible, and comprehensive 
medical care at MTFs for eligible persons who are sexually assaulted.
    (iii) Require that medical care is consistent with established 
community standards for the healthcare of sexual assault victims and the 
collection of forensic evidence from victims, in accordance with the 
U.S. Department of Justice Protocol, instructions for victim and suspect 
exams found in the SAFE Kit, and DD Form 2911.
    (A) Minimum standards of healthcare intervention that correspond to 
clinical standards set in the community shall include those established 
in the U.S. Department of Justice Protocol. However, clinical guidance 
shall not be solely limited to this resource.
    (B) Healthcare providers providing care to sexual assault victims in 
theaters of operation are required to have access to the current version 
of the U.S. Department of Justice Protocol.
    (iv) Include deliberate planning to strategically position 
healthcare providers skilled in SAFE at predetermined echelons of care, 
for personnel

[[Page 652]]

with the responsibility of assigning medical assets.
    (4) Establish guidance for medical personnel that requires a SARC or 
SAPR VA to be called in for every incident of sexual assault for which 
treatment is sought at the MTFs, regardless of the reporting option.
    (5) Establish guidance in drafting memorandums of understanding 
(MOUs) or memorandums of agreement (MOAs) with local civilian medical 
facilities to provide DoD-reimbursable healthcare (to include 
psychological care) and forensic examinations for Service members and 
TRICARE eligible sexual assault victims. As part of the MOU or MOA, 
Victims shall be asked whether they would like the SARC to be notified 
and, if notified, a SARC or SAPR VA shall respond. Local private or 
public sector providers shall have processes and procedures in place to 
assess that local community standards meet or exceed the recommendations 
for conducting forensic exams of adult sexual assault victims set forth 
in the U.S. Department of Justice Protocol as a condition of the MOUs or 
MOAs.
    (6) Establish guidelines and procedures for the Surgeon Generals of 
the Military Departments to require that an adequate supply of 
resources, to include personnel, supplies, and SAFE Kits, is maintained 
in all locations where SAFEs may be conducted by DoD, including deployed 
locations. Maintaining an adequate supply of SAFE Kits is a shared 
responsibility of the ASD(HA) and Secretaries of the Military 
Departments.
    (7) Establish minimum standards of initial and refresher SAPR 
training required for all personnel assigned to MTFs. Specialized 
responder training is required for personnel providing direct care to 
victims of sexual assault. Minimum standards shall include trauma-
informed care (see Sec. 105.3) and medical and mental health care that 
is gender-responsive, culturally-competent, and recovery-oriented.
    (d) General Counsel of the DoD (GC, DoD). The GC, DoD, shall:
    (1) Provide legal advice and assistance on proposed policies, DoD 
issuances, proposed exceptions to policy, and review of all legislative 
proposals affecting mission and responsibilities of the SAPRO.
    (2) Inform the USD(P&R) of any sexual assault related changes to the 
UCMJ.
    (e) IG DoD. The IG DoD shall:
    (1) Establish guidance and provide oversight for the investigations 
of sexual assault in the DoD to meet the SAPR policy and training 
requirements of this part.
    (2) Inform the USD(P&R) of any changes relating to sexual assault 
investigation policy or guidance.
    (3) DoD IG shall collaborate with SAPRO in the development of 
investigative policy in support of sexual assault prevention and 
response.
    (f) Secretaries of the military departments. The Secretaries of the 
Military Departments shall:
    (1) Establish SAPR policy and procedures to implement this part.
    (2) Coordinate all Military Service SAPR policy changes (Department 
of the Navy-level for the Navy and Marine Corps) with the USD(P&R).
    (3) Establish and publicize policies and procedures regarding the 
availability of a SARC.
    (i) Require that sexual assault victims receive appropriate and 
responsive care and that the SARC serves as the single point of contact 
for coordinating care for victims.
    (ii) Direct that the SARC or a SAPR VA be immediately called in 
every incident of sexual assault on a military installation. There will 
be situations where a sexual assault victim receives medical care and a 
SAFE outside of a military installation through a MOU or MOA with a 
local private or public sector entity. In these cases, the MOU or MOA 
will require that victims shall be asked whether they would like the 
SARC to be notified as part of the MOU or MOA, and, if yes, a SARC or VA 
shall be notified and shall respond.
    (iii) When a victim has a temporary change of station or PCS or is 
deployed, direct that SARCs immediately request victim consent in 
writing to transfer case management documents, which should be 
documented on the DD

[[Page 653]]

Form 2910. Upon receipt of victim consent, SARCs shall expeditiously 
transfer case management documents to ensure continuity of care and SAPR 
services. All Federal, DoD, and Service privacy regulations must be 
strictly adhered to. However, when the SARC has a temporary change of 
station or PCS or is deployed, no victim consent is required to transfer 
the case to the next SARC. Every effort must be made to inform the 
victim of the case transfer. If the SARC has already closed the case and 
terminated victim contact, no other action is needed.
    (iv) Upon the full implementation of the DoD Sexual Assault Advocate 
Certification Program (D-SAACP), sexual assault victims shall be offered 
the assistance of a SARC and/or SAPR VA who has been credentialed by the 
D-SAACP and has passed a National Agency Check (NAC) background check.
    (v) Issue guidance to ensure that equivalent standards are met for 
SAPR where SARCs are not installation-based but instead work within 
operational and/or deployable organizations.
    (4) Establish guidance to meet the SAPR training requirements for 
legal, MCIO, DoD law enforcement, responders and other Service members 
in Sec. 105.14 of this part.
    (5) Upon request, submit a copy of SAPR training programs or SAPR 
training elements to USD(P&R) through SAPRO for evaluation of 
consistency and compliance with DoD SAPR training standards in this 
part. The Military Departments will correct USD(P&R) identified DoD SAPR 
policy and training standards discrepancies.
    (6) Establish and publicize policies and procedures for reporting a 
sexual assault.
    (i) Require first responders (see Sec. 105.3) to be identified upon 
their assignment and trained, and require that their response times be 
continually monitored by their commanders to ensure timely response to 
reports of sexual assault.
    (ii) Ensure established response time is based on local conditions 
but will reflect that sexual assault victims shall be treated as 
emergency cases. (See Sec. 105.14 of this part for training 
requirements.)
    (7) Establish policy that ensures commanders are accountable for 
implementing and executing the SAPR program at their installations 
consistent with this part, 32 CFR part 103, and their Service 
regulations.
    (8) Establish standards and periodic training for healthcare 
personnel and healthcare providers regarding the Unrestricted and 
Restricted Reporting options of sexual assault in accordance with Sec. 
105.14 of this part. Enforce eligibility standards of licensed 
healthcare providers to perform SAFEs.
    (9) Establish guidance to direct that all Unrestricted Reports of 
violations (to include attempts) of sexual assault and non-consensual 
sodomy, as defined in title 10, U.S.C., against adults are immediately 
reported to the MCIO, regardless of the severity of the potential 
punishment authorized by the UCMJ.
    (i) Commander(s) of the Service member(s) who is a subject of a 
sexual assault allegation shall provide in writing all disposition data, 
to include any administrative or judicial action taken, stemming from 
the sexual assault investigation to the MCIO.
    (ii) Once the investigation is completed, MCIOs shall submit case 
disposition data that satisfies the reporting requirements for DSAID 
identified in Sec. 105.15 and the annual reporting requirements in 
Sec. 105.16 of this part. MCIOs shall submit case disposition data even 
when the sexual assault case is referred to other DoD law enforcement.
    (iii) A unit commander who receives an Unrestricted Report of an 
incident of sexual assault shall immediately refer the matter to the 
appropriate MCIO. A unit commander shall not conduct internal command 
directed investigations on sexual assault (i.e., no referrals to 
appointed command investigators or inquiry officers) or delay 
immediately contacting the MCIOs while attempting to assess the 
credibility of the report.
    (10) Establish SAPR policy that encourages commanders to be 
responsive to a victim's desire to discuss his or her case with the 
installation commander tasked by the Military Service with oversight 
responsibility for the

[[Page 654]]

SAPR program in accordance with 32 CFR part 103.
    (11) Establish standards for command assessment of organizational 
SAPR climate, including periodic follow-up assessments. Adhere to 
USD(P&R) SAPR guidance and effectiveness of SAPR training, awareness, 
prevention, and response policies and programs.
    (12) As a shared responsibility with ASD(HA), direct installation 
commanders to maintain an adequate supply of SAFE Kits in all locations 
where SAFEs are conducted, including deployed locations. Direct that 
Military Service SAPR personnel, to include medical personnel, are 
appropriately trained on protocols for the use of the SAFE Kit and 
comply with prescribed chain of custody procedures described in their 
Military Service-specific MCIO procedures.
    (13) Establish procedures that require, upon seeking assistance from 
a SARC, SAPR VA, MCIO, the VWAP, or trial counsel, that each Service 
member who reports that she or he has been a victim of a sexual assault 
be informed of and given the opportunity to:
    (i) Consult with legal assistance counsel, and in cases where the 
victim may have been involved in collateral misconduct (see Sec. 
105.3), to consult with defense counsel.
    (A) When the alleged perpetrator is the commander or in the victim's 
chain of command, inform such victims shall be informed of the 
opportunity to go outside the chain of command to report the offense to 
other commanding officers (CO) or an Inspector General. Victims shall be 
informed that they can also seek assistance from the DoD Safe Helpline 
(see Sec. 105.3).
    (B) The victim shall be informed that legal assistance is optional 
and may be declined, in whole or in part, at any time.
    (C) Commanders shall require that information and services 
concerning the investigation and prosecution be provided to victims in 
accordance with VWAP procedures in DoDI 1030.2.\4\
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    (ii) Have a SARC or SAPR VA present when law enforcement or defense 
counsel interviews the victim.
    (14) Establish procedures to ensure that in the case of a general or 
special court-martial involving a sexual assault as defined in 32 CFR 
part 103, a copy of the prepared record of the proceedings of the court-
martial (not to include sealed materials, unless otherwise approved by 
the presiding military judge or appellate court) shall be given to the 
victim of the offense if the victim testified during the proceedings. 
The record of the proceedings (prepared in accordance with Service 
regulations) shall be provided without charge and as soon as the record 
is authenticated. The victim shall be notified of the opportunity to 
receive the record of the proceedings in accordance with Public Law 112-
81.
    (15) The commanders shall also require that a completed DD Form 
2701, ``Initial Information for Victims and Witnesses of Crime,'' be 
distributed to the victim by DoD law enforcement agents. (DD Form 2701 
may be obtained via the Internet at http://www.dtic.mil /whs/directives 
/infomgt/forms /eforms/ dd2701.pdf.)
    (16) Establish procedures to require commanders to protect the SARC 
and SAPR VA from coercion, retaliation, and reprisals, related to the 
execution of their duties and responsibilities.
    (17) Establish procedures to protect victims of sexual assault from 
coercion, retaliation, and reprisal in accordance with DoDD 7050.06.\5\
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    (18) Establish Military Service-specific guidance to ensure 
collateral misconduct is addressed in a manner that is consistent and 
appropriate to the circumstances, and at a time that encourages 
continued victim cooperation.
    (19) Establish expedited transfer procedures of victims of sexual 
assault in accordance with Sec. Sec. 105.4(r) and 105.9 of this part.
    (20) Appoint a representative to the SAPR IPT in accordance with 
Sec. 105.7 of this part, and provide chairs or co-chairs for WIPTs, 
when requested. Appoint a representative to SAPRO oversight teams upon 
request.

[[Page 655]]

    (21) Provide quarterly and annual reports of sexual assault 
involving Service members to Director, SAPRO, to be consolidated into 
the annual Secretary of Defense report to Congress in accordance with 32 
CFR part 103 and sections 113 and 4331 of title 10, U.S.C. (See Sec. 
105.16 of this part for additional information about reporting 
requirements.)
    (22) Provide budget program and obligation data, as requested by the 
DoD SAPRO.
    (23) Require that reports of sexual assault be entered into DSAID 
through interface with a Military Service data system or by direct data 
entry by SARCs.
    (i) Data systems that interface with DSAID shall be modified and 
maintained to accurately provide information to DSAID.
    (ii) Only SARCs who have, at a minimum, a favorable NAC shall be 
permitted access to enter sexual assault reports into DSAID.
    (24) Provide Director, SAPRO, a written description of any sexual 
assault related research projects contemporaneous with commencing the 
actual research. When requested, provide periodic updates on results and 
insights. Upon conclusion of such research, a summary of the findings 
will be provided to DoD SAPRO as soon as practicable.
    (25) Establish procedures for supporting the DoD Safe Helpline in 
accordance with each Military Service-specific MOU or MOA between SAPRO 
and the Military Departments, to include but not limited to, providing 
and updating SARC contact information for the referral DoD Safe Helpline 
database, providing timely response to victim feedback, and publicizing 
the DoD Safe Helpline to SARCs and Service members.
    (i) Utilize the DoD Safe Helpline as the sole DoD hotline to provide 
crisis intervention, facilitate victim reporting through connection to 
the nearest SARC, and other resources as warranted.
    (ii) The DoD Safe Helpline does not replace local base and 
installation SARC or SAPR VA contact information.
    (26) Establish procedures to implement SAPR training in accordance 
with Sec. 105.14 of this part, to include both prevention and response.
    (27) Require that reports of sexual assaults are provided to the 
Commanders of the Combatant Commands for their respective area of 
responsibility on a quarterly basis, or as requested.
    (28) For CMGs:
    (i) Require the installation commander or the deputy installation 
commander chair the multi-disciplinary CMG (see Sec. 105.13 of this 
part) on a monthly basis to review individual cases of Unrestricted 
Reporting of sexual assault, facilitate monthly victim updates, direct 
system coordination, accountability, and victim access to quality 
services. This responsibility may not be delegated.
    (ii) Require that the installation SARC (in the case of multiple 
SARCs on an installation, then the Lead SARC) serve as the co-chair of 
the CMG. This responsibility may not be delegated.
    (iii) If the installation is a joint base or if the installation has 
tenant commands, the commander of the tenant organization and their 
designated Lead SARC shall be invited to the CMG meetings. The commander 
of the tenant organization shall provide appropriate information to the 
host commander, to enable the host commander to provide the necessary 
supporting services.
    (iv) The Secretaries of the Military Departments shall issue 
guidance to ensure that equivalent standards are met for case oversight 
by CMGs in situations where SARCs are not installation-based but instead 
work within operational and/or deployable organizations.
    (29) Establish document retention procedures for Unrestricted and 
Restricted Reports of sexual assault in accordance with Sec. 105.4(p) 
of this part.
    (30) When drafting MOUs or MOAs with local civilian medical 
facilities to provide DoD-reimbursable healthcare (to include 
psychological care) and forensic examinations for Service members and 
TRICARE eligible sexual assault victims, require commanders to include 
the following provisions:
    (i) Ask the victim whether he or she would like the SARC to be 
notified,

[[Page 656]]

and if yes, a SARC or SAPR VA shall respond.
    (ii) Local private or public sector providers shall have processes 
and procedures in place to assess that local community standards meet or 
exceed those set forth in the U.S. Department of Justice Protocol as a 
condition of the MOUs or MOAs.
    (31) Comply with collective bargaining obligations, if applicable.
    (32) Provide SAPR training and education for civilian employees of 
the military departments in accordance with Section 585 of Public Law 
112-81.
    (g) Chief, NGB. The Chief, NGB, shall on behalf of the Secretaries 
of the Army and Air Force, and in coordination with DoD SAPRO and the 
State Adjutants General, establish and implement SAPR policy and 
procedures for NG members on duty pursuant to title 32, U.S.C.
    (h) Chairman of the Joint Chiefs of Staff. The Chairman of the Joint 
Chiefs of Staff shall monitor implementation of this part and 32 CFR 
part 103.
    (i) Commanders of the Combatant Commands. The Commanders of the 
Combatant Commands, through the Chairman of the Joint Chiefs of Staff 
and in coordination with the other Heads of the DoD Components, shall:
    (1) Require that a SAPR capability provided by the Executive Agent 
(see Sec. 105.3) is incorporated into operational planning guidance in 
accordance with 32 CFR part 103 and this part.
    (2) Require the establishment of an MOU, MOA, or equivalent support 
agreement with the Executive Agent in accordance with 32 CFR part 103 
and this part and requires at a minimum:
    (i) Coordinated efforts and resources, regardless of the location of 
the sexual assault, to direct optimal and safe administration of 
Unrestricted and Restricted Reporting options with appropriate 
protection, medical care, counseling, and advocacy.
    (A) Ensure a 24 hour per day, 7 day per week response capability. 
Require first responders to respond in a timely manner.
    (B) Response times shall be based on local conditions; however, 
sexual assault victims shall be treated as emergency cases.
    (ii) Notice to SARC of every incident of sexual assault on the 
military installation, so that a SARC or SAPR VA can respond and offer 
the victim SAPR services. In situations where a sexual assault victim 
receives medical care and a SAFE outside of a military installation 
through a MOU or MOA with a local private or public sector entities, as 
part of the MOU or MOA, victims shall be asked whether they would like 
the SARC to be notified, and if yes, the SARC or SAPR VA shall be 
notified and shall respond.



Sec. 105.6  Procedures.

    See Sec. 105.7 through Sec. 105.16 of this part.



Sec. 105.7  Oversight of the SAPR Program.

    (a) Director, SAPRO. The Director, SAPRO, under the authority, 
direction and control of the USD(P&R) through the Director, DoDHRA, 
shall serve as the single point of authority, accountability, and 
oversight for the DoD SAPR program. DoD SAPRO provides recommendations 
to the USD(P&R) on the issue of DoD sexual assault policy matters on 
prevention, response, oversight, standards, training, and program 
requirements. The Director, SAPRO shall:
    (1) Assist the USD(P&R) in developing, administering, and monitoring 
the effectiveness of DoD SAPR policies and programs. Implement and 
monitor compliance with DoD sexual assault policy on prevention and 
response.
    (2) With the USD(P&R), update the Deputy Secretary of Defense on 
SAPR policies and programs on a semi-annual schedule.
    (3) Develop DoD programs to direct SAPR education, training, and 
awareness for DoD personnel consistent with this part and 32 CFR part 
103.
    (4) Coordinate the management of DoD SAPR Program and oversee the 
implementation in the Service SAPR Programs.
    (5) Provide technical assistance to the Heads of the DoD Components 
in addressing matters concerning SAPR and facilitate the identification 
and resolution of issues and concerns common to the Military Services 
and joint commands.

[[Page 657]]

    (6) Develop strategic program guidance, joint planning objectives, 
standard terminology, and identify legislative changes needed to advance 
the SAPR program.
    (7) Develop oversight metrics to measure compliance and 
effectiveness of SAPR training, sexual assault awareness, prevention, 
and response policies and programs; analyze data; and make 
recommendations regarding SAPR policies and programs to the USD(P&R) and 
the Secretaries of the Military Departments.
    (8) Establish reporting categories and monitor specific goals 
included in the annual SAPR assessments of each Military Service and its 
respective Military Service Academy, as required by 32 CFR part 103, 
sections 113 and 4331 of title 10, U.S.C., and in accordance with Sec. 
105.16 of this part.
    (9) Acquire quarterly, annual, and installation-based SAPR data from 
the Military Services and assemble annual congressional reports 
involving persons covered by this part and 32 CFR part 103. Consult with 
and rely on the Secretaries of the Military Departments in questions 
concerning disposition results of sexual assault cases in their 
respective Military Department.
    (10) Prepare the annual fiscal year (FY) reports submitted by the 
Secretary of Defense to the Congress on the sexual assaults involving 
Service members and a report on the members of the Military Service 
Academies to Congress submitted by the Secretary of Defense.
    (11) Publicize SAPR outreach, awareness, prevention, response, and 
oversight initiatives and programs.
    (12) Oversee the development, implementation, maintenance, and 
function of the DSAID to meet congressional reporting requirements, 
support Military Service SAPR program management, and conduct DoD SAPRO 
oversight activities.
    (13) Establish, oversee, publicize and maintain the DoD Safe 
Helpline and facilitate victim reporting through its connection to the 
nearest SARC, and other resources as warranted.
    (14) Establish and oversee the D-SAACP to ensure all sexual assault 
victims are offered the assistance of a credentialed SARC or SAPR VA.
    (15) Annually review the Military Services resourcing and funding of 
the U.S. Army Criminal Investigation Laboratory (USACIL) in the area of 
sexual assault.
    (i) Assist the Department of the Army in identifying the funding and 
resources needed to operate USACIL, to facilitate forensic evidence 
being processed within 60 working days from day of receipt in accordance 
with section 113 of title 10, U.S.C.
    (ii) Encourage the Military Services that use USACIL to contribute 
to the operation of USACIL by ensuring that USACIL is funded and 
resourced appropriately to complete forensic evidence processing within 
60 working days.
    (16) Chair the SAPR IPT.
    (b) SAPR IPT. (1) Membership. The SAPR IPT shall include:
    (i) Director, SAPRO. The Director shall serve as the chair.
    (ii) Deputy Assistant Secretaries for Manpower and Reserve Affairs 
of the Departments of the Army and the Air Force.
    (iii) A senior representative of the Department of the Navy SAPRO.
    (iv) A G/FO or DoD SES civilian from: the Joint Staff, Manpower and 
Personnel (J-1); the Office of the Assistant Secretary of Defense for 
Reserve Affairs; the NGB; the Office of the GC, DoD; and the Office of 
the ASD(HA). Other DoD Components representatives shall be invited to 
specific SAPR IPT meetings when their expertise is needed to inform and 
resolve issues being addressed. A senior representative from the Coast 
Guard shall be an invited guest.
    (v) Consistent with Section 8(c) of Public Law 100-504, the IG DoD 
shall be authorized to send one or more observers to attend all SAPR IPT 
meetings in order to monitor and evaluate program performance.
    (2) Duties. The SAPR IPT shall:
    (i) Through the chair, advise the USD(P&R) and the Secretary of 
Defense on SAPR IPT meeting recommendations on policies for sexual 
assault issues involving persons covered by this part.
    (ii) Serve as the implementation and oversight arm of the DoD SAPR 
Program. Coordinate policy and review the DoD's SAPR policies and 
programs

[[Page 658]]

consistent with this part and 32 CFR part 103, as necessary. Monitor the 
progress of program elements.
    (iii) Meet every other month. Ad hoc meetings may be scheduled as 
necessary at the discretion of the chair. Members are selected and 
meetings scheduled according to the SAPR IPT Charter.
    (iv) Discuss and analyze broad SAPR issues that may generate 
targeted topics for WIPTs. WIPTs shall focus on one select issue, be 
governed by a charter with enumerated goals for which the details will 
be laid out in individual work plans (see Sec. 105.3), and be subject 
to a definitive timeline for the accomplishment of the stated goals. 
Issues that cannot be resolved by the SAPR IPT or that require higher 
level decision making shall be sent to the USD(P&R) for resolution.
    (3) Chair duties. The chair shall:
    (i) Advise the USD(P&R) and the Secretary of Defense on SAPR IPT 
recommendations on policies for sexual assault issues involving persons 
covered by this part.
    (ii) Represent the USD(P&R) in SAPR matters consistent with this 
part and 32 CFR part 103.
    (iii) Oversee discussions in the SAPR IPT that generate topics for 
WIPTs. Provide final approval for topics, charters, and timelines for 
WIPTs.



Sec. 105.8  Reporting options and Sexual Assault Reporting Procedures.

    (a) Reporting options. Service members and military dependents 18 
years and older who have been sexually assaulted have two reporting 
options: Unrestricted or Restricted Reporting. Unrestricted Reporting of 
sexual assault is favored by the DoD. However, Unrestricted Reporting 
may represent a barrier for victims to access services, when the victim 
desires no command or DoD law enforcement involvement. Consequently, the 
DoD recognizes a fundamental need to provide a confidential disclosure 
vehicle via the Restricted Reporting option. Regardless of whether the 
victim elects Restricted or Unrestricted Reporting, confidentiality of 
medical information shall be maintained in accordance with DoD 6025.18-
R.\6\ DoD civilian employees and their family dependents and DoD 
contractors are only eligible for Unrestricted Reporting and for limited 
emergency care medical services at an MTF, unless that individual is 
otherwise eligible as a Service member or TRICARE beneficiary of the 
military health system to receive treatment in an MTF at no cost to 
them.
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    (1) Unrestricted Reporting. This reporting option triggers an 
investigation, command notification, and allows a person who has been 
sexually assaulted to access medical treatment and counseling. When a 
sexual assault is reported through Unrestricted Reporting, a SARC shall 
be notified, respond or direct a SAPR VA to respond, assign a SAPR VA, 
and offer the victim healthcare treatment and a SAFE. The completed DD 
Form 2701, which sets out victims' rights and points of contact, shall 
be distributed to the victim in Unrestricted Reporting cases by DoD law 
enforcement agents. If a victim elects this reporting option, a victim 
may not change from an Unrestricted to a Restricted Report.
    (2) Restricted Reporting. This reporting option does not trigger an 
investigation. The command is notified that ``an alleged sexual 
assault'' occurred, but is not given the victim's name or other 
personally identifying information. Restricted Reporting allows Service 
members and military dependents who are adult sexual assault victims to 
confidentially disclose the assault to specified individuals (SARC, SAPR 
VA, or healthcare personnel) and receive healthcare treatment and the 
assignment of a SARC and SAPR VA. When a sexual assault is reported 
through Restricted Reporting, a SARC shall be notified, respond or 
direct a SAPR VA to respond, assign a SAPR VA, and offer the victim 
healthcare treatment and a SAFE. The Restricted Reporting option is only 
available to Service members and adult military dependents. Restricted 
Reporting may not remain an option in a jurisdiction that requires 
mandatory reporting, or if a victim first reports to a civilian facility 
or civilian authority, which will vary by

[[Page 659]]

state, territory, and oversees agreements. (See Sec. 105.8(a)(6).) If a 
victim elects this reporting option, a victim may change from Restricted 
Report to an Unrestricted Report.
    (i) Only the SARC, SAPR VA, and healthcare personnel are designated 
as authorized to accept a Restricted Report. Healthcare personnel, to 
include psychotherapist and other personnel listed in Military Rules of 
Evidence (MRE) 513 pursuant to the Manual for Courts-Martial, United 
States, who received a Restricted Report shall immediately call a SARC 
or SAPR VA to assure that a victim is offered SAPR services and so that 
a DD Form 2910 can be completed.
    (ii) A SAFE and the information contained in its accompanying Kit 
are provided the same confidentiality as is afforded victim statements 
under the Restricted Reporting option. See Sec. 105.12 of this part.
    (iii) In the course of otherwise privileged communications with a 
chaplain or legal assistance attorney, a victim may indicate that he or 
she wishes to file a Restricted Report. If this occurs, a chaplain and 
legal assistance attorney shall facilitate contact with a SARC or SAPR 
VA to ensure that a victim is offered SAPR services and so that a DD 
Form 2910 can be completed. A chaplain or legal assistance attorney 
cannot accept a Restricted Report.
    (iv) A victim has a privilege to refuse to disclose and to prevent 
any other person from disclosing a confidential communication between a 
victim and a victim advocate, in a case arising under the UCMJ, if such 
communication is made for the purpose of facilitating advice or 
supportive assistance to the victim.
    (v) A sexual assault victim certified under the personnel 
reliability program (PRP) is eligible for both the Restricted and 
Unrestricted reporting options. If electing Restricted Reporting, the 
victim is required to advise the competent medical authority of any 
factors that could have an adverse impact on the victim's performance, 
reliability, or safety while performing PRP duties. If necessary, the 
competent medical authority will inform the certifying official that the 
person in question should be temporarily suspended from PRP status, 
without revealing that the person is a victim of sexual assault, thus 
preserving the Restricted Report.
    (3) Non-participating victim (see Sec. 105.3). For victims choosing 
either Restricted or Unrestricted Reporting, the following guidelines 
apply:
    (i) Details regarding the incident will be limited to only those 
personnel who have an official need to know. The victim's decision to 
decline to participate in an investigation or prosecution should be 
honored by all personnel charged with the investigation and prosecution 
of sexual assault cases, including, but not limited to, commanders, DoD 
law enforcement officials, and personnel in the victim's chain of 
command. If at any time the victim who originally chose the Unrestricted 
Reporting option declines to participate in an investigation or 
prosecution, that decision should be honored in accordance with this 
subparagraph. However, the victim cannot change from an Unrestricted to 
a Restricted Report. The victim should be informed by the SARC or SAPR 
VA that the investigation may continue regardless of whether the victim 
participates.
    (ii) The victim's decision not to participate in an investigation or 
prosecution will not affect access to SARC and SAPR VA services or 
medical and psychological care. These services shall be made available 
to all eligible sexual assault victims.
    (iii) If a victim approaches a SARC and SAPR VA and begins to make a 
report, but then changes his or her mind and leaves without signing the 
DD Form 2910 (where the reporting option is selected), the SARC or SAPR 
VA is not under any obligation or duty to inform investigators or 
commanders about this report and will not produce the report or disclose 
the communications surrounding the report. If commanders or law 
enforcement ask about the report, disclosures can only be made in 
accordance with exceptions to MRE 514 privilege.
    (4) Disclosure of confidential communications. In cases where a 
victim elects Restricted Reporting, the SARC, SAPR VA, and healthcare 
personnel may not disclose confidential communications

[[Page 660]]

or the SAFE and the accompanying Kit to DoD law enforcement or command 
authorities, either within or outside the DoD, except as provided in 
this part. In certain situations, information about a sexual assault may 
come to the commander's or DoD law enforcement official's (to include 
MCIO's) attention from a source independent of the Restricted Reporting 
avenues and an independent investigation is initiated. In these cases, a 
SARC, SAPR VA, and healthcare personnel are prevented from disclosing 
confidential communications under Restricted Reporting, unless an 
exception applies. Improper disclosure of confidential communications or 
improper release of medical information are prohibited and may result in 
disciplinary action pursuant to the UCMJ or other adverse personnel or 
administrative actions.
    (5) Victim confiding in another person. In establishing the 
Restricted Reporting option, DoD recognizes that a victim may tell 
someone (e.g., roommate, friend, family member) that a sexual assault 
has occurred before considering whether to file a Restricted or 
Unrestricted Report.
    (i) A victim's communication with another person (e.g., roommate, 
friend, family member) does not, in and of itself, prevent the victim 
from later electing to make a Restricted Report. Restricted Reporting is 
confidential, not anonymous reporting. However, if the person to whom 
the victim confided the information (e.g., roommate, friend, family 
member) is in the victim's officer and non-commissioned officer chain of 
command or DoD law enforcement, there can be no Restricted Report.
    (ii) Communications between the victim and a person other than the 
SARC, SAPR VA, or healthcare personnel are not confidential and do not 
receive the protections of Restricted Reporting.
    (6) Independent investigations. Independent investigations are not 
initiated by the victim. If information about a sexual assault comes to 
a commander's attention from a source other than a victim who has 
elected Restricted Reporting or where no election has been made by the 
victim, that commander shall report the matter to an MCIO and an 
official (independent) investigation may be initiated based on that 
independently acquired information.
    (i) If there is an ongoing independent investigation, the sexual 
assault victim will no longer have the option of Restricted Reporting 
when:
    (A) DoD law enforcement informs the SARC of the investigation, and
    (B) The victim has not already elected Restricted Reporting.
    (ii) The timing of filing a Restricted Report is crucial. The victim 
must take advantage of the Restricted Reporting option before the SARC 
is informed of the investigation. The SARC then shall inform the victim 
of an ongoing independent investigation of the sexual assault. If an 
independent investigation begins after the victim has formally elected 
Restricted Reporting, the independent investigation has no impact on the 
victim's Restricted Report and the victim's communications and SAFE Kit 
remain confidential, to the extent authorized by law.
    (7) Mandatory reporting laws and cases investigated by civilian law 
enforcement. Health care may be provided and SAFE Kits may be performed 
in a jurisdiction bound by State and local laws that require certain 
personnel (usually health care personnel) to report the sexual assault 
to civilian agencies or law enforcement. In some cases, civilian law 
enforcement may take jurisdiction of the sexual assault case, or the 
civilian jurisdiction may inform the military law enforcement or 
investigative community of a sexual assault that was reported to it. In 
such instances, it may not be possible for a victim to make a Restricted 
Report or it may not be possible to maintain the report as a Restricted 
Report. To the extent possible, DoD will honor the Restricted Report; 
however, sexual assault victims need to be aware that their Restricted 
Report is not guaranteed due to circumstances surrounding the 
independent investigation and requirements of individual state laws. In 
order to take advantage of the Restricted Reporting option the victim 
must file a Restricted Report BEFORE the SARC is informed of an ongoing 
independent investigation of the sexual assault.
    (b) Initiating medical care and treatment upon receipt of report. 
Healthcare

[[Page 661]]

personnel will initiate the emergency care and treatment of sexual 
assault victims and notify the SARC or the SAPR VA. See Sec. 105.11 of 
this part. Upon receipt of a Restricted Report, only the SARC or the 
SAPR VA will be notified. There will be no report to DoD law 
enforcement, a supervisory official, or the victim's chain of command by 
the healthcare personnel, unless an exception to Restricted Reporting 
applies or applicable law requires other officials to be notified. 
Regardless of whether the victim elects Restricted or Unrestricted 
Reporting, confidentiality of medical information will be maintained in 
accordance with applicable laws and regulations.
    (c) Implementing DoD dual objectives. The DoD is committed to 
ensuring victims of sexual assault are protected; treated with dignity 
and respect; and provided support, advocacy, and care. The DoD supports 
effective command awareness and prevention programs. The DoD also 
strongly supports applicable DoD law enforcement and criminal justice 
procedures that enable persons to be held appropriately accountable for 
sexual assault offenses and criminal dispositions. To achieve the dual 
objectives of victim support and offender accountability, DoD preference 
is for complete Unrestricted Reporting of sexual assaults to allow for 
the provision of victims' services and to pursue accountability, as 
appropriate. However, Unrestricted Reporting may represent a barrier for 
victims to access services, when the victim desires no command or DoD 
law enforcement involvement. Consequently, the DoD recognizes a 
fundamental need to provide a confidential disclosure vehicle via the 
Restricted Reporting option. This section provides procedural guidance 
and considerations to implement the DoD dual objectives.
    (1) Restricted Reporting impact. Restricted Reporting will impact 
investigations and the ability of the offender's commander to hold the 
alleged offender accountable. However, such risks shall not outweigh the 
overall interest in providing a Restricted Reporting option to sexual 
assault victims.
    (2) Victim's perception of the military justice system. The DoD 
seeks increased reporting by victims of sexual assault. A system that is 
perceived as fair and treats victims with dignity and respect, and 
promotes privacy and confidentiality may have a positive impact in 
bringing victims forward to provide information about being assaulted. 
The Restricted Reporting option is intended to give victims additional 
time and increased control over the release and management of their 
personal information and empowers them to seek relevant information and 
support to make more informed decisions about participating in the 
criminal investigation. A victim who receives support, appropriate care 
and treatment, and is provided an opportunity to make an informed 
decision about a criminal investigation is more likely to develop 
increased trust that the victim's needs are of concern to the command. 
As a result, this trust may eventually lead the victim to decide to 
pursue an investigation and convert the Restricted Report to an 
Unrestricted Report.
    (d) Reports and commanders. (1) Unrestricted Reports to commanders. 
The SARC shall provide the installation commander of sexual assault 
victims with information regarding all Unrestricted Reports within 24 
hours of an Unrestricted Report of sexual assault. This notification may 
be extended by the commander to 48 hours after the Unrestricted Report 
of the incident when there are extenuating circumstances in deployed 
environments.
    (2) Restricted Reports to commanders. For the purposes of public 
safety and command responsibility, in the event of a Restricted Report, 
the SARC shall report non-PII concerning sexual assault incidents 
(without information that could reasonably lead to personal 
identification of the victim or the alleged assailant (see exception in 
Sec. 105.8(e)(2)(ii)) only to the installation commander within 24 
hours of the report. This notification may be extended by the commander 
to 48 hours after the Restricted Report of the incident when there are 
extenuating circumstances in deployed environments. The SARC's 
communications with victims are protected by the Restricted Reporting 
option and the MRE 514 (Executive Order 13593).

[[Page 662]]

    (i) Even if the victim chooses not to pursue an investigation, 
Restricted Reporting gives the installation commander a clearer picture 
of the reported sexual assaults within the command. The installation 
commander can then use the information to enhance preventive measures, 
to enhance the education and training of the command's personnel, and to 
scrutinize more closely the organization's climate and culture for 
contributing factors.
    (ii) Neither the installation commander nor DoD law enforcement may 
use the information from a Restricted Report for investigative purposes 
or in a manner that is likely to discover, disclose, or reveal the 
identities of the victims unless an exception applies as provided in 
paragraph (e) of this section. Improper disclosure of Restricted 
Reporting information may result in discipline pursuant to the UCMJ or 
other adverse personnel or administrative actions.
    (e) Exceptions to Restricted Reporting and disclosures. (1) The SARC 
will evaluate the confidential information provided under the Restricted 
Report to determine whether an exception applies.
    (i) The SARC shall disclose the otherwise protected confidential 
information only after consultation with the SJA of the installation 
commander, supporting judge advocate or other legal advisor concerned, 
who shall advise the SARC whether an exception to Restricted Reporting 
applies. In addition, the SJA, supporting judge advocate or other legal 
advisor concerned will analyze the impact of MRE 514 on the 
communications.
    (ii) When there is uncertainty or disagreement on whether an 
exception to Restricted Reporting applies, the matter shall be brought 
to the attention of the installation commander for decision without 
identifying the victim (using non-PII information). Improper disclosure 
of confidential communications under Restricted Reporting, improper 
release of medical information, and other violations of this guidance 
are prohibited and may result in discipline pursuant to the UCMJ or 
State statute, loss of privileges, loss of certification or 
credentialing, or other adverse personnel or administrative actions.
    (2) The following exceptions to the prohibition against disclosures 
of Restricted Reporting authorize a disclosure of a Restricted Report 
only if one or more of the following conditions apply:
    (i) Authorized by the victim in writing.
    (ii) Necessary to prevent or mitigate a serious and imminent threat 
to the health or safety of the victim or another person; for example, 
multiple reports involving the same alleged suspect (repeat offender) 
could meet this criteria. See similar safety and security exceptions in 
MRE 514 (Executive Order 13593).
    (iii) Required for fitness for duty or disability determinations. 
This disclosure is limited to only the information necessary to process 
duty or disability determinations for Service members.
    (iv) Required for the supervision of coordination of direct victim 
treatment or services. The SARC, SAPR VA, or healthcare personnel can 
disclose specifically requested information to those individuals with an 
official need to know, or as required by law or regulation.
    (v) Ordered by a military official (e.g., a duly authorized trial 
counsel subpoena in a UCMJ case), Federal or State judge, or as required 
by a Federal or State statute or applicable U.S. international 
agreement. The SARC, SAPR VA, and healthcare personnel will consult with 
the installation commander's servicing legal office, in the same manner 
as other recipients of privileged information, to determine if the 
exception criteria apply and whether a duty to disclose the otherwise 
protected information is present. Until those determinations are made, 
only non-PII shall be disclosed.
    (3) Healthcare personnel may also convey to the victim's unit 
commander any possible adverse duty impact related to the victim's 
medical condition and prognosis in accordance with DoD Directive 
5400.11-R.\7\ However, such circumstances do not otherwise warrant a

[[Page 663]]

Restricted Reporting exception to policy. Therefore, the confidential 
communication related to the sexual assault may not be disclosed. 
Improper disclosure of confidential communications, improper release of 
medical information, and other violations of this part and 32 CFR part 
103 are prohibited and may result in discipline pursuant to the UCMJ or 
State statute, loss of privileges, or other adverse personnel or 
administrative actions.
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    (4) The SARC or SAPR VA shall inform the victim when a disclosure in 
accordance with the exceptions in this section is made.
    (5) If a SARC, SAPR VA, or healthcare personnel make an unauthorized 
disclosure of a confidential communication, that person is subject to 
disciplinary action. Unauthorized disclosure has no impact on the status 
of the Restricted Report. All Restricted Reporting information is still 
confidential and protected. However, unauthorized or inadvertent 
disclosures made to a commander or law enforcement shall result in 
notification to the MCIO.
    (f) Actionable rights. Restricted Reporting does not create any 
actionable rights for the victim or alleged offender or constitute a 
grant of immunity for any actionable conduct by the offender or the 
victim.



Sec. 105.9  Commander and management procedures.

    (a) SAPR Management. Commanders, supervisors, and managers at all 
levels are responsible for the effective implementation of the SAPR 
program and policy. Military and DoD civilian officials at each 
management level shall advocate a strong SAPR program and provide 
education and training that shall enable them to prevent and 
appropriately respond to incidents of sexual assault.
    (b) Installation commander SAPR response procedures. Each 
installation commander shall develop guidelines to establish a 24 hour, 
7 day per week sexual assault response capability for their locations, 
including deployed areas. For SARCs that operate within deployable 
commands that are not attached to an installation, senior commanders of 
the deployable commands shall ensure that equivalent SAPR standards are 
met.
    (c) Commander SAPR response procedures. Each Commander shall:
    (1) Encourage the use of the commander's sexual assault response 
protocols for Unrestricted Reports as the baseline for commander's 
response to the victim, an offender, and proper response of a sexual 
assault within a unit. The Commander's Sexual Assault Response Protocols 
for Unrestricted Reports of Sexual Assault are located in the SAPR 
Policy Toolkit, on www.sapr.mil. These protocols maybe expanded to meet 
Military Service-specific requirements and procedures.
    (2) Meet with the SARC within 30 days of taking command for one-on-
one SAPR training. The training shall include a trends brief for unit 
and area of responsibility and the confidentiality requirements in 
Restricted Reporting. The commander must contact the judge advocate for 
training on the MRE 514 privilege.
    (3) Require the SARC to:
    (i) Be notified of every incident of sexual assault involving 
Service members or persons covered in this part, in or outside of the 
military installation when reported to DoD personnel. When notified, the 
SARC or SAPR VA shall respond to offer the victim SAPR services. All 
SARCs shall be authorized to perform VA duties in accordance with 
service regulations, and will be acting in the performance of those 
duties.
    (A) In Restricted Reports, the SARC shall be notified by the 
healthcare personnel or the SAPR VA.
    (B) In Unrestricted Reports, the SARC shall be notified by the DoD 
responders (see Sec. 105.3).
    (ii) Provide the installation commander with information regarding 
an Unrestricted Report within 24 hours of an Unrestricted Report of 
sexual assault.
    (iii) Provide the installation commander with non-PII, as defined in 
Sec. 105.3, within 24 hours of a Restricted Report of sexual assault. 
This notification may be extended to 48 hours after the report of the 
incident if there are extenuating circumstances in the deployed 
environment. Command and installation demographics shall be taken

[[Page 664]]

into account when determining the information to be provided.
    (iv) Be supervised and evaluated by the installation commander or 
deputy installation commander in the performance of SAPR procedures in 
accordance with Sec. 105.10 of this part.
    (v) Receive SARC training to follow procedures in accordance with 
Sec. 105.10 of this part. Upon implementation of the D-SAACP, 
standardized criteria for the selection and training of SARCs and SAPR 
VAs shall comply with specific Military Service guidelines and 
certification requirements, when implemented by SAPRO.
    (vi) Follow established procedures to store the DD Form 2910 
pursuant to Military Service regulations regarding the storage of 
documents with PII. (Copies may be obtained via the Internet at http://
www.dtic.mil/whs/directives/infomgt/forms/eforms/dd2910.pdf.) Follow 
established procedures to store the original DD Form 2910 and ensure 
that all Federal and Service privacy regulations are adhered to.
    (4) Evaluate medical personnel per Military Service regulation in 
the performance of SAPR procedures as described in Sec. 105.11 of this 
part.
    (5) Require adequate supplies of SAFE Kits be maintained by the 
active component. The supplies shall be routinely evaluated to guarantee 
adequate numbers to meet the need of sexual assault victims.
    (6) Require DoD law enforcement and healthcare personnel to comply 
with prescribed chain of custody procedures described in their Military 
Service-specific MCIO procedures. Modified procedures applicable in 
cases of Restricted Reports of sexual assault are explained in Sec. 
105.12 of this part.
    (7) Require that a CMG is conducted on a monthly basis in accordance 
with Sec. 105.13 of this part.
    (i) Chair or attend the CMG, as appropriate. Direct the required CMG 
members to attend.
    (ii) Commanders shall provide victims of a sexual assault who filed 
an Unrestricted Reports monthly updates regarding the current status of 
any ongoing investigative, medical, legal, or command proceedings 
regarding the sexual assault until the final disposition (see Sec. 
105.3) of the reported assault, and to the extent permitted pursuant to 
DoDI 1030.2, Public Law 104-191,\8\ and section 552a of title 5, U.S.C. 
This is a non-delegable commander duty. This update must occur within 72 
hours of the last CMG. Commanders of the NG victims who were sexually 
assaulted when the victim was on title 10 orders and filed unrestricted 
reports are required to update, to the extent allowed by law and 
regulations, the victim's home State title 32 commander as to all or any 
ongoing investigative, medical, and legal proceedings regarding the 
extent of any actions being taken by the active component against 
subjects who remain on title 10 orders.
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    (8) Ensure that resolution of Unrestricted Report sexual assault 
cases shall be expedited.
    (i) A unit commander who receives an Unrestricted Report of a sexual 
assault shall immediately refer the matter to the appropriate MCIO, to 
include any offense identified by title 10, U.S.C. A unit commander 
shall not conduct internal command directed investigations on sexual 
assault (i.e., no referrals to appointed command investigators or 
inquiry officers) or delay immediately contacting the MCIOs while 
attempting to assess the credibility of the report.
    (ii) The final disposition of a sexual assault shall immediately be 
reported by the commander to the assigned MCIO. Dispositions on cases 
referred by MCIOs to other DoD law enforcement agencies shall be 
immediately reported to the MCIOs upon their final disposition. MCIOs 
shall request dispositions on referred cases from civilian law 
enforcement agencies and, if received, those dispositions shall be 
immediately reported by the MCIO in DSAID in order to meet the 
congressional annual reporting requirements. When requested by MCIOs and 
other DoD law enforcement, commanders shall provide final disposition of 
sexual assault cases. Final case disposition is required to be inputted 
into DSAID.
    (iii) If the MCIO has been notified of the disposition in a civilian 
sexual assault case, the MCIO shall notify the

[[Page 665]]

commander of this disposition immediately.
    (9) Appoint a point of contact to serve as a formal liaison between 
the installation SARC and the installation FAP and domestic violence 
intervention and prevention staff (or civilian domestic resource if FAP 
is not available for a Reserve Component victim) to direct coordination 
when a sexual assault occurs within a domestic relationship or involves 
child abuse.
    (10) Ensure appropriate training of all military responders be 
directed and documented in accordance with training standards in Sec. 
105.14 of this part. Direct and document appropriate training of all 
military responders who attend the CMG.
    (11) Identify and maintain a liaison with civilian sexual assault 
victim resources. Where necessary, it is strongly recommended that an 
MOU or MOAs with the appropriate local authorities and civilian service 
organizations be established to maximize cooperation, reciprocal 
reporting of sexual assault information, and consultation regarding 
jurisdiction for the prosecution of Service members involved in sexual 
assault, as appropriate.
    (12) Require that each Service member who reports a sexual assault, 
pursuant to the respective Military Service regulations, be given the 
opportunity to consult with legal assistance counsel, and in cases where 
the victim may have been involved in collateral misconduct, to consult 
with defense counsel. Victims shall be referred to VWAP. Information 
concerning the prosecution shall be provided to victims in accordance 
with VWAP procedures in DoDD 7050.06. The Service member victim shall be 
informed of this opportunity to consult with legal assistance counsel as 
soon as the victim seeks assistance from a SARC, SAPR VA, or any DoD law 
enforcement agent or judge advocate.
    (13) Direct that DoD law enforcement agents and VWAP personnel 
provide victims of sexual assault who elect an Unrestricted Report the 
information outlined in DoDD 1030.01 \9\ and Public Law 100-504 \10\ 
throughout the investigative and legal process. The completed DD Form 
2701 shall be distributed to the victim in Unrestricted Reporting cases 
by DoD law enforcement agents.
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    (14) Require that MCIOs utilize the investigation descriptions found 
in Sec. 105.3 in this part.
    (15) Establish procedures to ensure that in the case of a general or 
special court-martial involving a sexual assault as defined in 32 CFR 
part 103, a copy of the prepared record of the proceedings of the court-
martial (not to include sealed materials, unless otherwise approved by 
the presiding military judge or appellate court) shall be given to the 
victim of the offense if the victim testified during the proceedings. 
The record of the proceedings (prepared in accordance with Service 
regulations shall be provided without charge and as soon as the record 
is authenticated. The victim shall be notified of the opportunity to 
receive the record of the proceedings in accordance with Public Law 112-
81.
    (16) Protect sexual assault victims from coercion, discrimination, 
or reprisals. Commanders shall protect SARCs and SAPR VAs from coercion, 
discrimination, or reprisals related to the execution of their SAPR 
duties and responsibilities.
    (17) Require that sexual assault reports be entered into DSAID 
through interface with a Military Service data system, or by direct data 
entry by authorized personnel.
    (18) Designate an official, usually the SARC, to generate an alpha-
numeric Restricted Reporting case number (RRCN).
    (19) Appoint a healthcare provider, as an official duty, in each MTF 
to be the resident point of contact concerning SAPR policy and sexual 
assault care.
    (c) MOUs or MOAs with local civilian authorities. The purpose of 
MOUs and MOAs is to:
    (1) Enhance communications and the sharing of information regarding 
sexual assault prosecutions, as well as of

[[Page 666]]

the sexual assault care and forensic examinations that involve Service 
members and eligible TRICARE beneficiaries covered by this part.
    (2) Collaborate with local community crisis counseling centers, as 
necessary, to augment or enhance their sexual assault programs.
    (3) Provide liaison with private or public sector sexual assault 
councils, as appropriate.
    (4) Provide information about medical and counseling services 
related to care for victims of sexual assault in the civilian community, 
when not otherwise available at the MTFs, in order that military victims 
may be offered the appropriate healthcare and civilian resources, where 
available and where covered by military healthcare benefits.
    (5) Where appropriate or required by MOU or MOA, facilitate training 
for civilian service providers about SAPR policy and the roles and 
responsibilities of the SARC and SAPR VA.
    (d) Line of Duty (LOD) procedures. (1) Members of the Reserve 
Components, whether they file a Restricted or Unrestricted Report, shall 
have access to medical treatment and counseling for injuries and illness 
incurred from a sexual assault inflicted upon a Service member when 
performing active service, as defined in section 101(d)(3) of title 10, 
U.S.C., and inactive duty training.
    (2) Medical entitlements remain dependent on a LOD determination as 
to whether or not the sexual assault incident occurred in an active duty 
or inactive duty training status. However, regardless of their duty 
status at the time that the sexual assault incident occurred, or at the 
time that they are seeking SAPR services (see Sec. 105.3), Reserve 
Component members can elect either the Restricted or Unrestricted 
Reporting option (see 32 CFR 103.3) and have access to the SAPR services 
of a SARC and a SAPR VA.
    (3) The following LOD procedures shall be followed by Reserve 
Component commanders.
    (i) LOD determinations may be made without the victim being 
identified to DoD law enforcement or command, solely for the purpose of 
enabling the victim to access medical care and psychological counseling, 
and without identifying injuries from sexual assault as the cause.
    (ii) When assessing LOD determinations for sexual assault victims, 
the commander of the Reserve command in each component and the directors 
of the Army and Air NGBs shall designate individuals within their 
respective organizations to process LODs for victims of sexual assault 
when performing active service, as defined in section 101(d)(3) of title 
10, U.S.C., and inactive duty training.
    (A) Designated individuals shall possess the maturity and experience 
to assist in a sensitive situation and, if dealing with a Restricted 
Report, to safeguard confidential communications. These individuals are 
specifically authorized to receive confidential communications as 
defined by Sec. 105.3 of this part for the purpose of determining LOD 
status.
    (B) The appropriate SARC will brief the designated individuals on 
Restricted Reporting policies, exceptions to Restricted Reporting, and 
the limitations of disclosure of confidential communications as 
specified in Sec. 105.8(e) of this part. The SARC and these individuals 
may consult with their servicing legal office, in the same manner as 
other recipients of privileged information for assistance, exercising 
due care to protect confidential communications by disclosing only non-
identifying information. Unauthorized disclosure may result in 
disciplinary action, in accordance with Sec. 105.8(d)(1) and (2) of 
this part.
    (iii) For LOD purposes, the victim's SARC may provide documentation 
that substantiates the victim's duty status as well as the filing of the 
Restricted Report to the designated official.
    (iv) If medical or mental healthcare is required beyond initial 
treatment and follow-up, a licensed medical or mental health provider 
must recommend a continued treatment plan.
    (v) When evaluating pay and entitlements, the modification of the 
LOD process for Restricted Reporting does not extend to pay and 
allowances or travel and transportation incident to the healthcare 
entitlement. However, at any time the Service member may

[[Page 667]]

request an unrestricted LOD to be completed in order to receive the full 
range of entitlements authorized pursuant to DoDI 1241.2.\11\
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    (e) Expedited victim transfer requests. (1) Any threat to life or 
safety of a Service member shall be immediately reported to command and 
DoD law enforcement authorities (see Sec. 105.3) and a request to 
transfer the victim under these circumstances will be handled in 
accordance with established Service regulations.
    (2) Service members who file an Unrestricted Report of sexual 
assault shall be informed by the SARC, SAPR VA, or the Service member's 
CO at the time of making the report, or as soon as practicable, of the 
option to request a temporary or permanent expedited transfer from their 
assigned command or installation, or to a different location within 
their assigned command or installation. The Service members shall 
initiate the transfer request and submit the request to their COs. The 
CO shall document the date and time the request is received.
    (i) A presumption shall be established in favor of transferring a 
Service member (who initiated the transfer request) following a credible 
report (see Sec. 105.3) of sexual assault. The CO, or the appropriate 
approving authority, shall make a credible report determination at the 
time the expedited request is made after considering the advice of the 
supporting judge advocate, or other legal advisor concerned, and the 
available evidence based on an MCIO's investigation's information (if 
available).
    (ii) Expedited transfers of Service members who report that they are 
victims of sexual assault shall be limited to sexual assault offenses 
reported in the form of an Unrestricted Report.
    (A) Sexual assault against adults is defined in 32 CFR part 103.3 
and includes Article 120 and Article 125 of the Manual for Courts-
Martial, United States. This part does not address victims covered under 
the FAP in DoDD 6400.1.
    (B) If the Service member files a Restricted Report in accordance 
with 32 CFR part 103 and requests an expedited transfer, the Service 
member must affirmatively change his or her reporting option to 
Unrestricted Reporting on the DD Form 2910, in order to be eligible for 
an expedited transfer.
    (iii) When the alleged perpetrator is the commander or otherwise in 
the victim's chain of command, the SARC shall inform such victims of the 
opportunity to go outside the chain of command to report the offense to 
MCIOs, other COs or an Inspector General. Victims shall be informed that 
they can also seek assistance from a legal assistance attorney or the 
DoD Safe Helpline.
    (iv) The CO shall expeditiously process a transfer request from a 
command or installation, or to a different location within the command 
or installation. The CO shall request and take into consideration the 
Service member's input before making a decision involving a temporary or 
permanent transfer and the location of the transfer. If approved, the 
transfer orders shall also include the Service member's dependents or 
military spouse (as applicable).
    (v) The CO must approve or disapprove a Service member's request for 
a PCS, PCA, or unit transfer within 72 hours from receipt of the Service 
member's request. The decision to approve the request shall be 
immediately forwarded to the designated activity that processes PCS, 
PCA, or unit transfers (see Sec. 105.3).
    (vi) If the Service member's transfer request is disapproved by the 
CO, the Service member shall be given the opportunity to request review 
by the first G/FO in the chain of command of the member, or a SES 
equivalent (if applicable). The decision to approve or disapprove the 
request for transfer must be made within 72 hours of submission of the 
request for review. If a civilian SES equivalent reviewer approves the 
transfer, the Secretary of the Military Department concerned shall 
process and issue orders for the transfer.
    (vii) Military Departments shall make every reasonable effort to 
minimize disruption to the normal career progression of a Service member 
who reports that he or she is a victim of a sexual assault.

[[Page 668]]

    (viii) Expedited transfer procedures require that a CO or the 
appropriate approving authority make a determination and provide his or 
her reasons and justification on the transfer of a Service member based 
on a credible report of sexual assault. A CO shall consider:
    (A) The Service member's reasons for the request.
    (B) Potential transfer of the alleged offender instead of the 
Service member requesting the transfer.
    (C) Nature and circumstances of the offense.
    (D) Whether a temporary transfer would meet the Service member's 
needs and the operational needs of the unit.
    (E) Training status of the Service member requesting the transfer.
    (F) Availability of positions within other units on the 
installation.
    (G) Status of the investigation and potential impact on the 
investigation and future disposition of the offense, after consultation 
with the investigating MCIOs.
    (H) Location of the alleged offender.
    (I) Alleged offender's status (Service member or civilian).
    (J) Other pertinent circumstances or facts.
    (ix) Service members requesting the transfer shall be informed that 
they may have to return for the prosecution of the case, if the 
determination is made that prosecution is the appropriate command 
action.
    (x) Commanders shall directly counsel the Service member to ensure 
that he or she is fully informed regarding:
    (A) Reasonably foreseeable career impacts.
    (B) The potential impact of the transfer or reassignment on the 
investigation and case disposition or the initiation of other adverse 
action against the alleged offender.
    (C) The effect on bonus recoupment (if, for example, they cannot 
work in their Air Force Specialty or Military Occupational Specialty).
    (D) Other possible consequences of granting the request.
    (xi) Require that expedited transfer procedures for Reserve 
Component, Army NG, and Air NG members who make Unrestricted Reports of 
sexual assault be established by commanders within available resources 
and authorities. If requested by the Service member, the command should 
allow for separate training on different weekends or times from the 
alleged offender or with a different unit in the home drilling location 
to ensure undue burden is not placed on the Service member and his or 
her family by the transfer. Potential transfer of the alleged offender 
instead of the Service member should also be considered. At a minimum, 
the alleged offender's access to the Service member who made the 
Unrestricted Report shall be controlled, as appropriate.
    (xii) Even in those court-martial cases in which the accused has 
been acquitted, the standard for approving an expedited transfer still 
remains whether a credible report has been filed. The commander shall 
consider all the facts and circumstances surrounding the case and the 
basis for the transfer request.
    (f) Military Protective Orders (MPO). In Unrestricted Reporting 
cases, commanders shall execute the following procedures regarding MPOs:
    (1) Require the SARC or the SAPR VA to inform sexual assault victims 
protected by an MPO, in a timely manner, of the option to request 
transfer from the assigned command in accordance with section 567(c) of 
Public Law 111-84.
    (2) Notify the appropriate civilian authorities of the issuance of 
an MPO and of the individuals involved in the order, in the event an MPO 
has been issued against a Service member and any individual involved in 
the MPO does not reside on a military installation at any time during 
the duration of the MPO pursuant to Public Law 110-417.
    (i) An MPO issued by a military commander shall remain in effect 
until such time as the commander terminates the order or issues a 
replacement order.
    (ii) The issuing commander shall notify the appropriate civilian 
authorities of any change made in a protective order, or its 
termination, covered by chapter 80 of title 10, U.S.C., and the 
termination of the protective order.
    (iii) When an MPO has been issued against a Service member and any 
individual involved in the MPO does not

[[Page 669]]

reside on a military installation at any time during the duration of the 
MPO, notify the appropriate civilian authorities of the issuance of an 
MPO and of the individuals involved in the order. The appropriate 
civilian authorities shall include, at a minimum, the local civilian law 
enforcement agency or agencies with jurisdiction to respond to an 
emergency call from the residence of any individual involved in the 
order.
    (3) Advise the person seeking the MPO that the MPO is not 
enforceable by civilian authorities off base and that victims desiring 
protection off base should seek a civilian protective order (CPO). Off 
base violations of the MPO should be reported to the issuing commander, 
DoD law enforcement, and the relevant MCIO for investigation.
    (i) Pursuant to section 1561a of Public Law 107-311,\12\ a CPO shall 
have the same force and effect on a military installation as such order 
has within the jurisdiction of the court that issued such order. 
Commanders, MCIOs, and installation DoD law enforcement personnel shall 
take all reasonable measures necessary to ensure that a CPO is given 
full force and effect on all DoD installations within the jurisdiction 
of the court that issued such order.
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    (ii) If the victim has informed the SARC of an existing CPO, a 
commander shall require the SARC to inform the CMG of the existence of 
the CPO and its requirements. After the CPO information is received at 
the CMG, DoD law enforcement agents shall be required to document CPOs 
for all Service members in their investigative case file, to include 
documentation for Reserve Component personnel in title 10 status.
    (4) Note that MPOs in cases other than sexual assault matters may 
have separate requirements.
    (5) Issuing commanders are required to fill out the DD Form 2873, 
``Military Protective Order (MPO),'' and provide victims and alleged 
offenders with copies of the completed form. Verbal MPOs can be issued, 
but need to be subsequently documented with a DD Form 2873, as soon as 
possible.
    (6) Require DoD law enforcement agents document MPOs for all Service 
members in their investigative case file, to include documentation for 
Reserve Component personnel in title 10 status. The appropriate DoD law 
enforcement agent representative to the CMG shall brief the CMG chair 
and co-chair on the existence of an MPO.
    (7) If the commander's decision is to deny the MPO request, document 
the reasons for the denial. Denials of MPO requests go to the 
installation commander or equivalent command level (in consultation with 
a judge advocate) for the final decision.
    (g) Collateral misconduct in sexual assault cases. (1) Collateral 
misconduct by the victim of a sexual assault is one of the most 
significant barriers to reporting assault because of the victim's fear 
of punishment. Some reported sexual assaults involve circumstances where 
the victim may have engaged in some form of misconduct (e.g., underage 
drinking or other related alcohol offenses, adultery, fraternization, or 
other violations of certain regulations or orders). Commanders shall 
have discretion to defer action on alleged collateral misconduct by the 
sexual assault victims (and shall not be penalized for such a deferral 
decision), until final disposition of the sexual assault case, taking 
into account the trauma to the victim and responding appropriately so as 
to encourage reporting of sexual assault and continued victim 
cooperation, while also bearing in mind any potential speedy trial and 
statute of limitations concerns.
    (2) In accordance with Secretary of Defense Memorandum, the initial 
disposition authority is withheld from all commanders within the DoD who 
do not possess at least special court-martial convening authority and 
who are not in the grade of 0-6 (i.e., colonel or Navy captain) or 
higher, with respect to the alleged offenses of rape, sexual assault, 
forcible sodomy, and all attempts to commit such offenses, in violation 
of Articles 120, 125, and 80 of the Manual for Courts-Martial, United 
States. Commanders may defer taking action on a victim's alleged 
collateral misconduct arising from or that relates to the sexual assault 
incident until the

[[Page 670]]

initial disposition action for the sexual assault investigation is 
completed.
    (3) Commanders and supervisors should take appropriate action for 
the victim's alleged collateral misconduct (if warranted), responding 
appropriately in order to encourage sexual assault reporting and 
continued cooperation, while avoiding those actions that may further 
traumatize the victim. Ultimately, victim cooperation should 
significantly enhance timely and effective investigations, as well as 
the appropriate disposition of sexual assaults.
    (4) Subordinate commanders shall be advised that taking action on a 
victim's alleged collateral misconduct may be deferred until final 
disposition of the sexual assault case. The Military Departments shall 
establish procedures so that commanders and supervisors are not 
penalized for deferring collateral misconduct actions for the sexual 
assault victim until final disposition of the sexual assault case.
    (5) Commanders shall have the authority to determine, in a timely 
manner, how to best manage the disposition of alleged misconduct, to 
include making the decision to defer disciplinary actions regarding a 
victim's alleged collateral misconduct until after the final disposition 
of the sexual assault case, where appropriate. For those sexual assault 
cases for which the victim's alleged collateral misconduct is deferred, 
Military Service reporting and processing requirements should take such 
deferrals into consideration and allow for the time deferred to be 
subtracted, when evaluating whether a commander took too long to resolve 
the collateral misconduct.
    (h) Commander SAPR prevention procedures. Each commander shall 
implement a SAPR prevention program that:
    (1) Establishes a command climate of sexual assault prevention 
predicated on mutual respect and trust, recognizes and embraces 
diversity, and values the contributions of all its Service members.
    (2) Emphasizes that sexual assault is a crime and violates the core 
values of being a professional in the Military Services and ultimately 
destroys unit cohesion and the trust that is essential for mission 
readiness and success.
    (3) Emphasizes DoD and Military Service policies on sexual assault 
and the potential legal consequences for those who commit such crimes.
    (4) Monitors the organization's SAPR climate and responds with 
appropriate action toward any negative trends that may emerge.
    (5) Identifies and remedies environmental factors specific to the 
location that may facilitate the commission of sexual assaults (e.g., 
insufficient lighting).
    (6) Emphasizes sexual assault prevention training for all assigned 
personnel.
    (7) Establishes prevention training that focus on identifying the 
behavior of potential offenders.



Sec. 105.10  SARC and SAPR VA procedures.

    (a) SARC procedures. The SARC shall:
    (1) Serve as the single point of contact to coordinate sexual 
assault response when a sexual assault is reported. All SARCs shall be 
authorized to perform VA duties in accordance with Military Service 
regulations, and will be acting in the performance of those duties.
    (2) Upon implementation of the D-SAACP, comply with DoD Sexual 
Assault Advocate Certification requirements.
    (3) Be trained in and understand the confidentiality requirements of 
Restricted Reporting and MRE 514. Training must include exceptions to 
Restricted Reporting and MRE 514.
    (4) Assist the installation commander in ensuring that victims of 
sexual assault receive appropriate responsive care and understand their 
available reporting options (Restricted and Unrestricted) and available 
SAPR services.
    (5) Be authorized by this part to accept reports of sexual assault 
along with the SAPR VA and healthcare personnel.
    (6) Report directly to the installation commander in accordance with 
32 CFR part 103, to include providing regular updates to the 
installation commander and assist the commander to meet annual SAPR 
training requirements, including providing orientation briefings for 
newly assigned personnel and, as

[[Page 671]]

appropriate, providing community education publicizing available SAPR 
services.
    (7) Provide a 24 hour, 7 day per week response capability to victims 
of sexual assault, to include deployed areas.
    (i) SARCs shall respond (see Sec. 105.3) to every Restricted and 
Unrestricted Report of sexual assault on a military installation and the 
response shall be in person, unless otherwise requested by the victim.
    (ii) Based on the locality, the SARC may ask the SAPR VA to respond 
and speak to the victim.
    (A) There will be situations where a sexual assault victim receives 
medical care and a SAFE outside of a military installation under a MOU 
or MOA with local private or public sector entities. In these cases, 
pursuant to the MOU or MOA, victims shall be asked whether they would 
like the SARC to be notified, and, if so, the SARC or SAPR VA shall be 
notified, and a SARC or SAPR VA shall respond.
    (B) When contacted by the SARC or SAPR VA, a sexual assault victim 
can elect not to speak to the SARC or SAPR VA, or the sexual assault 
victim may ask to schedule an appointment at a later time to speak to 
the SARC or SAPR VA.
    (iii) SARCs shall provide a response that recognizes the high 
prevalence of pre-existing trauma (prior to the present sexual assault 
incident).
    (iv) SARCs shall provide a response that is gender-responsive, 
culturally-competent, and recovery-oriented.
    (v) SARCs shall offer appropriate referrals to sexual assault 
victims and facilitate access to referrals. Provide referrals at the 
request of the victim.
    (A) Encourage sexual assault victims to follow-up with the referrals 
and facilitate these referrals, as appropriate.
    (B) In order to competently facilitate referrals, inquire whether 
the victim is a Reservist or an NG member to ensure that victims are 
referred to the appropriate geographic location.
    (8) Explain to the victim that the services of the SARC and SAPR VA 
are optional and these services may be declined, in whole or in part, at 
any time. The victim may decline advocacy services, even if the SARC or 
SAPR VA holds a position of higher rank or authority than the victim. 
Explain to victims the option of requesting a different SAPR VA (subject 
to availability, depending on locality staffing) or continuing without 
SAPR VA services.
    (i) Explain the available reporting options to the victim.
    (A) Have the victim fill out the DD Form 2910 where the victim 
elects to make a Restricted or Unrestricted Report.
    (B) Inform the victim that the DD Form 2910 will be uploaded to 
DSAID and maintained for 50 years in Unrestricted Reports and retained 
in hard copy for 5 years in Restricted Reports, for the purpose of 
providing the victim access to document their sexual assault 
victimization with the Department of Veterans Affairs for care and 
benefits. However, at the request of a member of the Armed Forces who 
files a Restricted Report on an incident of sexual assault, the DD Forms 
2910 and 2911 filed in connection with the Restricted Report be retained 
for 50 years.
    (C) The SARC or SAPR VA shall tell the victim of any local or State 
sexual assault reporting requirements that may limit the possibility of 
Restricted Reporting. At the same time, the victims shall be briefed of 
the protections and exceptions to MRE 514.
    (ii) Give the victim a hard copy of the DD Form 2910 with the 
victim's signature.
    (A) Advise the victim to keep the copy of the DD Form 2910 in their 
personal permanent records as this form may be used by the victim in 
other matters before other agencies (e.g., Department of Veterans 
Affairs) or for any other lawful purpose.
    (B) Store the original DD Form 2910 pursuant to secure storage 
Military Service regulations and privacy laws. A SARC being reassigned 
shall be required to assure their supervisor of the secure transfer of 
stored DD Forms 2910 to the next SARC. In the event of transitioning 
SARCs, the departing SARC shall inform their supervisor of the secure 
storage location of the DD Forms 2910, and the SARC supervisor will 
ensure the safe transfer of the DD Forms 2910.

[[Page 672]]

    (iii) Explain SAFE confidentiality to victims and the 
confidentiality of the contents of the SAFE Kit.
    (iv) Explain the implications of a victim confiding in another 
person resulting in a third-party report to command or DoD law 
enforcement (Sec. 105.8 of this part).
    (v) Provide the installation commander with information regarding an 
Unrestricted Report within 24 hours of an Unrestricted Report of sexual 
assault. This notification may be extended to 48 hours after the 
Unrestricted Report of the incident if there are extenuating 
circumstances in the deployed environments.
    (vi) Provide the installation commander with non-PII within 24 hours 
of a Restricted Report of sexual assault. This notification may be 
extended to 48 hours after the Restricted Report of the incident if 
there are extenuating circumstances in a deployed environment. Command 
and installation demographics shall be taken into account when 
determining the information to be provided.
    (vii) Exercise oversight responsibility for SAPR VAs authorized to 
respond to sexual assaults when they are providing victim advocacy 
services.
    (viii) Perform victim advocacy duties, as needed. DoD recognizes the 
SARC's authority to perform duties as SAPR VAs, even though the SARC may 
not be designated in writing as a SAPR VA pursuant to Military Service 
regulation.
    (ix) Inform the victim that pursuant to their Military Service 
regulations, each Service member who reports having been sexually 
assaulted shall be given the opportunity to consult with legal 
assistance counsel, and in cases where the victim may have been involved 
in collateral misconduct, to consult with defense counsel.
    (A) Inform the victim that information concerning the prosecution 
shall be provided to them in accordance with DoDI 1030.2.
    (B) The Service member victim shall be informed of the opportunity 
to consult with legal assistance counsel as soon as the victim seeks 
assistance from a SARC or SAPR VA.
    (x) Facilitate education of command personnel on sexual assault and 
victim advocacy services.
    (xi) Facilitate briefings on victim advocacy services to Service 
members, military dependents, DoD civilian employees (OCONUS), DoD 
contractors (accompanying the Military Services in contingency 
operations OCONUS), and other command or installation personnel, as 
appropriate.
    (xii) Facilitate Annual SAPR training.
    (xiii) Facilitate the development and collaboration of SAPR public 
awareness campaigns for victims of sexual assault, including planning 
local events for Sexual Assault Awareness Month. Publicize the DoD Safe 
Helpline on all outreach materials.
    (xiv) Coordinate medical and counseling services between military 
installations and deployed units related to care for victims of sexual 
assault.
    (xv) Conduct an ongoing assessment of the consistency and 
effectiveness of the SAPR program within the assigned area of 
responsibility.
    (xvi) Collaborate with other agencies and activities to improve SAPR 
responses to and support of victims of sexual assault.
    (xvii) Maintain liaison with commanders, DoD law enforcement, and 
MCIOs, and civilian authorities, as appropriate, for the purpose of 
facilitating the following protocols and procedures to:
    (A) Activate victim advocacy 24 hours a day, 7 days a week for all 
incidents of reported sexual assault occurring either on or off the 
installation involving Service members and other persons covered by this 
part.
    (B) Collaborate on public safety, awareness, and prevention 
measures.
    (C) Facilitate ongoing training of DoD and civilian law enforcement 
and criminal investigative personnel on the SAPR policy and program and 
the roles and responsibilities of the SARC and SAPR VAs.
    (xviii) Consult with command legal representatives, healthcare 
personnel, and MCIOs, (or when feasible, civilian law enforcement), to 
assess the potential impact of State laws governing the reporting 
requirements for adult sexual assault that may affect compliance

[[Page 673]]

with the Restricted Reporting option and develop or revise applicable 
MOUs and MOAs, as appropriate.
    (xix) Collaborate with MTFs within their respective areas of 
responsibility to establish protocols and procedures to direct 
notification of the SARC and SAPR VA for all incidents of reported 
sexual assault, and facilitate ongoing training of healthcare personnel 
on the roles and responsibilities of the SARC and SAPR VAs.
    (xx) Collaborate with local private or public sector entities that 
provide medical care Service members or TRICARE eligible beneficiaries 
who are for sexual assault victims and a SAFE outside of a military 
installation through an MOU or MOA.
    (A) Establish protocols and procedures with these local private or 
public sector entities to facilitate direct notification of the SARC for 
all incidents of reported sexual assault and facilitate training of 
healthcare personnel of local private or public sector entities on the 
roles and responsibilities of SARCs and SAPR VAs, for Service members 
and persons covered by this policy.
    (B) Provide off installation referrals to the sexual assault 
victims, as needed.
    (xxi) When a victim has a temporary or PCS or is deployed, request 
victim consent to transfer case management documents and upon receipt of 
victim consent, expeditiously transfer case management documents to 
ensure continuity of care and SAPR services. If the SARC has already 
closed the case and terminated victim contact, no other action is 
needed.
    (xxii) Document and track the services referred to and requested by 
the victim from the time of the initial report of a sexual assault 
through the final case disposition or until the victim no longer desires 
services.
    (A) Enter information into DSAID or Military Service DSAID-interface 
within 48 hours of the report of sexual assault. In deployed locations 
that have internet connectivity issues, the time frame is extended to 96 
hours.
    (B) Maintain in DSAID, or the DSAID-interfaced Military Service data 
system, an account of the services referred to and requested by the 
victim for all reported sexual assault incidents, from medical treatment 
through counseling, and from the time of the initial report of a sexual 
assault through the final case disposition or until the victim no longer 
desires services.
    (xxiii) Provide information to assist installation commanders to 
manage trends and characteristics of sexual assault crimes at the 
Military Service-level and mitigate the risk factors that may be present 
within the associated environment (e.g., the necessity for better 
lighting in the showers or latrines and in the surrounding area).
    (xxiv) Participate in the CMG to review individual cases of 
Unrestricted Reports of sexual assault.
    (A) The installation SARC, shall serve as the co-chair of the CMG. 
This responsibility is not delegable. If an installation has multiple 
SARCs on the installation, a Lead SARC shall be designated by the 
Service concerned, and shall serve as the co-chair.
    (B) Other SARCs and SAPR VAs shall actively participate in each CMG 
meeting by presenting oral updates on their assigned sexual assault 
victim cases, providing recommendations and, if needed, seeking 
assistance from the chair or victim's commander.
    (xxv) Familiarize the unit commanders and supervisors of SAPR VAs 
with the SAPR VA roles and responsibilities, using the DD Form 2909, 
``Victim Advocate Supervisor Statement of Understanding.'' DD Form 2909 
is available via the Internet at http://www.dtic.mil /whs/directives /
infomgt/forms /eforms/ dd2909.pdf.
    (b) SAPR VA procedures. (1) The SAPR VA shall:
    (i) Upon implementation of the D-SAACP, comply with DoD Sexual 
Assault Advocate Certification requirements.
    (ii) Be trained in and understand the confidentiality requirements 
of Restricted Reporting and MRE 514. Training must include exceptions to 
Restricted Reporting and MRE 514.
    (iii) Facilitate care and provide referrals and non-clinical support 
to the adult victim of a sexual assault.

[[Page 674]]

    (A) Support will include providing information on available options 
and resources so the victim can make informed decisions about his or her 
case.
    (B) The SAPR VA will be directly accountable to the SARC in adult 
sexual assault cases (not under the FAP jurisdiction) and shall provide 
victim advocacy for adult victims of sexual assault.
    (iv) Acknowledge their understanding of their advocacy roles and 
responsibilities using DD Form 2909.
    (2) At the Military Service's discretion, victim advocacy may be 
provided by a Service member or DoD civilian employee. Personnel 
responsible for providing victim advocacy shall:
    (i) Be notified and immediately respond upon receipt of a report of 
sexual assault.
    (ii) Provide coordination and encourage victim service referrals and 
ongoing, non-clinical support to the victim of a reported sexual assault 
and facilitate care in accordance with the Sexual Assault Response 
Protocols prescribed SAPR Policy Toolkit located on www.sapr.mil. Assist 
the victim in navigating those processes required to obtain care and 
services needed. It is neither the SAPR VA's role nor responsibility to 
be the victim's mental health provider or to act as an investigator.
    (iii) Report directly to the SARC while carrying out sexual assault 
advocacy responsibilities.



Sec. 105.11  Healthcare provider procedures.

    This section provides guidance on medical management of victims of 
sexual assault to ensure standardized, timely, accessible, and 
comprehensive healthcare for victims of sexual assault, to include the 
ability to elect a SAFE Kit. This policy is applicable to all MHS 
personnel who provide or coordinate medical care for victims of sexual 
assault covered by this part.
    (a) Standardized medical care. To ensure standardized healthcare, 
the Surgeons General of the Military Departments shall:
    (1) Require the recommendations for conducting forensic exams of 
adult sexual assault victims in the U.S. Department of Justice Protocol 
be used to establish minimum standards for healthcare intervention for 
victims of sexual assault. Training for military sexual assault medical 
examiners and healthcare providers shall be provided to maintain optimal 
readiness.
    (2) Require that MTFs that provide SAFEs for Service members or 
TRICARE eligible beneficiaries through an MOU or MOA with private or 
public sector entities verify initially and periodically that those 
entities meet or exceed standards of the recommendations for conducting 
forensic exams of adult sexual victims in the U.S. Department of Justice 
Protocol. In addition, verify that as part of the MOU or MOA, victims 
are be asked whether they would like the SARC to be notified, and if 
notified, that a SARC or SAPR VA actually responds.
    (3) Require that medical providers providing healthcare to victims 
of sexual assault in remote areas or while deployed have access to the 
current version of the U.S. Department of Justice Protocol for 
conducting forensic exams.
    (4) Implement procedures to provide the victim information regarding 
the availability of a SAFE Kit, which the victim has the option of 
refusing. If performed in the MTF, the healthcare provider shall use a 
SAFE Kit and the most current edition of the DD Form 2911.
    (5) Require that the SARC be notified of all incidents of sexual 
assault in accordance with sexual assault reporting procedures in Sec. 
105.8 of this part.
    (i) Require processes be established to support coordination between 
healthcare personnel and the SARC.
    (ii) If a victim initially seeks assistance at a medical facility, 
SARC notification must not delay emergency care treatment of a victim.
    (6) Require that care provided to sexual assault victims shall be 
gender-responsive, culturally competent, and recovery-oriented. 
Healthcare providers giving medical care to sexual assault victims shall 
recognize the high prevalence of pre-existing trauma (prior to present 
sexual assault incident) and the concept of trauma-informed care.
    (7) If the healthcare provider is not appropriately trained to 
conduct a

[[Page 675]]

SAFE Kit, require that he or she arrange for a properly trained DoD 
healthcare provider to do so, if available.
    (i) In the absence of a properly trained DoD healthcare provider, 
the victim shall be offered the option to be transported to a non-DoD 
healthcare provider for the SAFE Kit, if the victim wants a forensic 
exam. Victims who are not beneficiaries of the MHS shall be advised that 
they can obtain a SAFE Kit through a local civilian healthcare provider.
    (ii) When a SAFE Kit is performed at local civilian medical 
facilities, those facilities are bound by State and local laws, which 
may require reporting the sexual assault to civilian law enforcement.
    (iii) If the victim requests to file a report of sexual assault, the 
healthcare personnel, to include psychotherapists and other personnel 
listed in MRE 513 (Executive Order 13593), shall immediately call a SARC 
or SAPR VA, to assure that a victim is offered SAPR services and so that 
a DD Form 2910 can be completed.
    (8) Require that SAFE Kit evidence collection procedures are the 
same for a Restricted and an Unrestricted Report of sexual assault.
    (i) Upon completion of the SAFE Kit and securing of the evidence, 
the healthcare provider will turn over the material to the appropriate 
Military Service-designated law enforcement agency or MCIO as determined 
by the selected reporting option.
    (ii) Upon completion of the SAFE Kit, the sexual assault victim 
shall be provided with a hard copy of the completed DD Form 2911. Advise 
the victim to keep the copy of the DD Form 2911 in their personal 
permanent records as this form may be used by the victim in other 
matters before other agencies (e.g., Department of Veterans Affairs) or 
for any other lawful purpose.
    (9) Publicize availability of medical treatment (to include 
behavioral health), and referral services for alleged offenders who are 
also active duty Service members.
    (10) Require the healthcare provider in the course of, preparing a 
SAFE Kit for Restricted Reports of sexual assault:
    (i) Contact the designated installation official, usually the SARC, 
who shall generate an alpha-numeric RRCN, unique to each incident. The 
RRCN shall be used in lieu of PII to label and identify evidence 
collected from a SAFE Kit (e.g., accompanying documentation, personal 
effects, and clothing). The SARC shall provide (or the SARC will 
designate the SAPR VA to provide) the healthcare provider with the RRCN 
to use in place of PII.
    (ii) Upon completion of the SAFE Kit, package, seal, and completely 
label of the evidence container(s) with the RRCN and notify the Military 
Service designated law enforcement agency or MCIO.
    (11) Require that healthcare personnel must maintain the 
confidentiality of a Restricted Report to include communications with 
the victim, the SAFE, and the contents of the SAFE Kit, unless an 
exception to Restricted reporting applies. Healthcare personnel who make 
an unauthorized disclosure of a confidential communication are subject 
to disciplinary action and that unauthorized disclosure has no impact on 
the status of the Restricted Report; all Restricted Reporting 
information remains confidential and protected. Improper disclosure of 
confidential communications under Restricted Reporting, improper release 
of medical information, and other violations of this guidance are 
prohibited and may result in discipline pursuant to the UCMJ or State 
statute, loss of privileges, or other adverse personnel or 
administrative actions.
    (b) Timely medical care. To comply with the requirement to provide 
timely medical care, the Surgeons General of the Military Departments 
shall:
    (1) Implement processes or procedures giving victims of sexual 
assault priority as emergency cases.
    (2) Provide sexual assault victims with priority treatment as 
emergency cases, regardless of evidence of physical injury, recognizing 
that every minute a patient spends waiting to be examined may cause loss 
of evidence and undue trauma. Priority treatment as emergency cases 
includes activities

[[Page 676]]

relating to access to healthcare, coding, and medical transfer or 
evacuation, and complete physical assessment, examination, and treatment 
of injuries, including immediate emergency interventions.
    (c) Comprehensive medical care. To comply with the requirement to 
provide comprehensive medical care, the Surgeons General of the Military 
Departments shall:
    (1) Establish processes and procedures to coordinate timely access 
to emergency, follow-up, and specialty care that may be provided in the 
direct or civilian purchased care sectors for eligible beneficiaries of 
the Military Health System.
    (2) Evaluate and implement, to the extent feasible, processes 
linking the medical management of the sexually assaulted patient to the 
primary care manager. To locate his or her primary care manager, a 
beneficiary may go to beneficiary web enrollment at https://www.hnfs.com 
/content/hnfs/ home/tn/bene /res/faqs/beneficiary /enrollment--
eligibility /who--pcm.html.
    (d) Clinically stable. Require the healthcare provider to consult 
with the victim, once clinically stable, regarding further healthcare 
options to the extent eligible, which shall include, but are not limited 
to:
    (1) Testing, prophylactic treatment options, and follow-up care for 
possible exposure to human immunodeficiency virus (HIV) and other 
sexually transmitted diseases or infections (STD/I).
    (2) Assessment of the risk of pregnancy, options for emergency 
contraception, and any necessary follow-up care and referral services.
    (3) Assessment of the need for behavioral health services and 
provisions for a referral, if necessary or requested by the victim.
    (e) Other responsibilities. (1) The Surgeons General of the Military 
Departments shall:
    (i) Identify a primary office to represent their Department in 
Military Service coordination of issues pertaining to medical management 
of victims of sexual assault.
    (ii) Assign a healthcare provider at each MTF as the primary point 
of contact concerning DoD and Military Service SAPR policy and for 
updates in sexual assault care.
    (2) The Combatant Commanders shall:
    (i) Require that victims of sexual assault in deployed locations 
within their area of responsibility are transported to an appropriate 
evaluation site, evaluated, treated for injuries (if any), and offered 
SAPR VA assistance and a SAFE as quickly as possible.
    (ii) Require that U.S. theater hospital facilities (Level 3, North 
Atlantic Treaty Organization role 3) (see Sec. 105.3) have appropriate 
capability to provide experienced and trained SARC and SAPR VA services, 
SAFE providers, and those victims of sexual assault, regardless of 
reporting status, are medically evacuated to such facilities as soon as 
possible (within operational needs) of making a report, consistent with 
operational needs.



Sec. 105.12  SAFE Kit collection and preservation.

    For the purposes of the SAPR Program, forensic evidence collection 
and document and evidence retention shall be completed in accordance 
with this section pursuant to 32 CFR part 103, taking into account the 
medical condition, needs, requests, and desires of each sexual assault 
victim covered by this part.
    (a) Medical services offered to eligible victims of sexual assault 
include the ability to elect a SAFE Kit in addition to the general 
medical management related to sexual assault response, to include mental 
healthcare. The SAFE of a sexual assault victim should be conducted by a 
healthcare provider who has specialized education and clinical 
experience in the collection of forensic evidence and treatment of these 
victims. The forensic component includes gathering information in DD 
Form 2911 from the victim for the medical forensic history, an 
examination, documentation of biological and physical findings, 
collection of evidence from the victim, and follow-up as needed to 
document additional evidence.
    (b) The process for collecting and preserving sexual assault 
evidence for the Restricted Reporting option is the

[[Page 677]]

same as the Unrestricted Reporting option, except that the Restricted 
Reporting option does not trigger the official investigative process, 
and any evidence collected has to be placed inside the SAFE Kit, which 
is marked with the RRCN in the location where the victim's name would 
have otherwise been written. The victim's SAFE and accompanying Kit is 
treated as a confidential communication under this reporting option. The 
healthcare provider shall encourage the victim to obtain referrals for 
additional medical, psychological, chaplain, victim advocacy, or other 
SAPR services, as needed. The victim shall be informed that the SARC 
will assist them in accessing SAPR services.
    (c) In situations where installations do not have a SAFE capability, 
the installation commander will require that the eligible victim, who 
wishes to have a SAFE, be transported to a MTF or local off-base, non-
military facility that has a SAFE capability. A local sexual assault 
nurse examiner or other healthcare providers who are trained and 
credentialed to perform a SAFE may also be contracted to report to the 
MTF to conduct the examination.
    (d) The SARC or SAPR VA shall tell the victim of any local or State 
sexual assault reporting requirements that may limit the possibility of 
Restricted Reporting before proceeding with the SAFE.
    (e) Upon completion of the SAFE in an Unrestricted Reporting case, 
the healthcare provider shall package, seal, and label the evidence 
container(s) with the victim's name and notify the Military Service 
designated law enforcement agency or MCIO.
    (1) The DoD law enforcement or MCIO representative shall be trained 
and capable of collecting and preserving evidence to assume custody of 
the evidence using established chain of custody procedures, consistent 
with the guidelines published under the authority and oversight of the 
IG, DoD.
    (2) MOUs and MOAs, with off-base, non-military facilities for the 
purposes of providing medical care to eligible victims of sexual assault 
covered under this part, shall include instructions for the notification 
of a SARC (regardless of whether a Restricted or Unrestricted Report of 
sexual assault is involved), and procedures of the receipt of evidence 
and disposition of evidence back to the DoD law enforcement agency or 
MCIO.
    (f) Upon completion of the SAFE in a Restricted Reporting case, the 
healthcare provider shall package, seal, and label the evidence 
container(s) with the RRCN and store in accordance with Service 
regulations.
    (1) The DoD law enforcement or MCIO representative shall be trained 
and capable of collecting and preserving evidence to assume custody of 
the evidence using established chain of custody procedures, consistent 
with the guidelines published under the authority and oversight of the 
IG, DoD. MOUs and MOAs, with off-base, non-military facilities for the 
purpose of to providing medical care to eligible victims of sexual 
assault covered under this part, shall include instructions for the 
notification of a SARC (regardless of whether a Restricted or 
Unrestricted Report of sexual assault is involved), procedures for the 
receipt of evidence, how to request an RRCN, instructions on where to 
write the RRCN on the SAFE Kit, and disposition of evidence back to the 
DoD law enforcement agency or MCIO.
    (2) Any evidence and the SAFE Kit in Restricted Reporting cases (to 
include the DD Form 2911) shall be stored for 5 years from the date of 
the victim's Restricted Report of the sexual assault, thus allowing 
victims additional time to accommodate, for example, multiple 
deployments or deployments exceeding 12 months.
    (i) The SARC will contact the victim at the 1-year mark of the 
report to inquire whether the victim wishes to change their reporting 
option to Unrestricted.
    (A) If the victim does not change to Unrestricted Reporting, the 
SARC will explain to the victim that the SAFE Kit, DD Form 2911, and the 
DD Form 2910 will be retained for a total of 5 years from the time the 
victim signed the DD Form 2910 (electing the Restricted Report) and will 
then be destroyed. (However, at the request of a member of the Armed 
Forces who files a Restricted Report on an incident of

[[Page 678]]

sexual assault, the Department of Defense Forms 2910 and 2911 filed in 
connection with the Restricted Report be retained for 50 years.) The 
SARC will emphasize to the victim that his or her privacy will be 
respected and he or she will not be contacted again by the SARC. The 
SARC will stress it is the victim's responsibility from that point 
forward, if the victim wishes to change from a Restricted to an 
Unrestricted Report, to affirmatively contact a SARC before the 5-year 
retention period elapses.
    (B) The victim will be advised again to keep a copy of the DD Form 
2910 and the DD Form 2911 in his or her personal permanent records as 
these forms may be used by the victim in other matters with other 
agencies (e.g., Department of Veterans Affairs) or for any other lawful 
purpose.
    (C) If the victim needs another copy of either of these forms, he or 
she can request it at this point and the SARC shall assist the victim in 
accessing the requested copies within 7 business days. The SARC will 
document this request in the DD Form 2910.
    (ii) At least 30 days before the expiration of the 5-year storage 
period, the DoD law enforcement or MCIO shall notify the installation 
SARC that the storage period is about to expire and confirm with the 
SARC that the victim has not made a request to change to Unrestricted 
Reporting or made a request for any personal effects.
    (A) If there has been no change, then at the expiration of the 
storage period in compliance with established procedures for the 
destruction of evidence, the designated activity, generally the DoD law 
enforcement agency or MCIO, may destroy the evidence maintained under 
that victim's RRCN.
    (B) If, before the expiration of the 5-year storage period, a victim 
changes his or her reporting preference to the Unrestricted Reporting 
option, the SARC shall notify the respective MCIO, which shall then 
assume custody of the evidence maintained by the RRCN from the DoD law 
enforcement agency or MCIO, pursuant to established chain of custody 
procedures. MCIO established procedures for documenting, maintaining, 
and storing the evidence shall thereafter be followed.
    (1) The DoD law enforcement agency or MCIO, which will receive 
forensic evidence from the healthcare provider if not already in 
custody, and label and store such evidence shall be designated.
    (2) The designated DoD law enforcement agency or MCIO representative 
must be trained and capable of collecting and preserving evidence in 
Restricted Reports prior to assuming custody of the evidence using 
established chain of custody procedures.
    (iii) Evidence will be stored by the DoD law enforcement agency or 
MCIO until the 5-year storage period for Restricted Reporting is reached 
or a victim changes to Unrestricted Reporting.



Sec. 105.13  Case management for Unrestricted Reports of sexual assault.

    (a) General. (1) The installation commander or the deputy 
installation commander shall chair the CMG on a monthly basis to review 
individual cases, facilitate monthly victim updates, and direct system 
coordination, accountability, entry of disposition and victim access to 
quality services. This responsibility may not be delegated. If there are 
no cases in a given month, the CMG will still meet to ensure training, 
processes, and procedures are complete for the system coordination.
    (2) The installation SARC shall serve as the co-chair of the CMG. 
This responsibility may not be delegated. Only a SARC who is a Service 
member or DoD civilian employee may co-chair the multi-disciplinary CMG.
    (3) Required CMG members shall include: victim's commander; all 
SARCs assigned to the installation (mandatory attendance regardless of 
whether they have an assigned victim being discussed); victim's SAPR VA, 
MCIO and DoD law enforcement who are involved with and working on a 
specific case; victim's healthcare provider or mental health and 
counseling services provider; chaplain, legal representative, or SJA; 
installation personnel trained to do a safety assessment of current 
sexual assault victims; victim's VWAP representative (or civilian victim 
witness liaison, if available). MCIO, DoD law enforcement and the legal 
representative or SJA shall provide case

[[Page 679]]

dispositions. The CMG chair will ensure that the appropriate principal 
is available.
    (4) If the installation is a joint base or if the installation has 
tenant commands, the commander of the tenant organization and the 
designated Lead SARC shall be invited to the CMG meetings. The commander 
of the tenant organization shall provide appropriate information to the 
host commander, to enable the host commander to provide the necessary 
supporting services.
    (5) CMG members shall receive the mandatory SAPR training pursuant 
to Sec. 105.14 of this part.
    (6) Service Secretaries shall issue guidance to ensure that 
equivalent standards are met for case oversight by CMGs in situations 
where SARCs are not installation-based but instead work within 
operational and/or deployable organizations.
    (b) Procedures. (1) The CMG members shall carefully consider and 
implement immediate, short-term, and long-term measures to help 
facilitate and assure the victim's well-being and recovery from the 
sexual assault. They will closely monitor the victim's progress and 
recovery and strive to protect the victim's privacy, ensuring only those 
with an official need to know have the victim's name and related 
details. Consequently, where possible, each case shall be reviewed 
independently bringing in only those personnel associated with the case, 
as well as the CMG chair and co-chair.
    (2) The CMG chair shall:
    (i) Ensure that commander(s) of the Service member(s) who is a 
subject of a sexual assault allegation, provide in writing all 
disposition data, to include any administrative or judicial action 
taken, stemming from the sexual assault investigation to the MCIO. 
Information provided by commanders is used to meet the Department's 
requirements for the submission of criminal history data to the Criminal 
Justice Information System, Federal Bureau of Investigation; and to 
record the disposition of offenders into DSAID.
    (ii) Require that case dispositions are communicated to the sexual 
assault victim within 2 business days of the final disposition decision. 
The CMG chair will require that the appropriate paperwork (pursuant to 
Service regulation) is submitted for each case disposition within 24 
hours, which shall be inputted into DSAID or a DSAID Service interface 
system by the designated officials.
    (iii) Monitor and require immediate transfer of sexual assault 
victim information between SARCs and SAPR VAs, in the event of the 
SARC's or SAPR VA's change of duty station, to ensure continuity of SAPR 
services for victims.
    (iv) Require that the SARCs and SAPR VAs actively participate in 
each CMG meeting by presenting oral updates (without disclosing 
protected communications and victim confidentiality), providing 
recommendations and, if needed, the SARC or the SAPR VA shall 
affirmatively seek assistance from the chair or victim's commander.
    (v) Require an update of the status of each expedited transfer 
request and MPO.
    (vi) If the victim has informed the SARC of an existing CPO, the 
chair shall require the SARC to inform the CMG of the existence of the 
CPO and its requirements.
    (vii) After protective order documentation is presented at the CMG 
from the SARC or the SAPR VA, the DoD law enforcement agents at the CMG 
will document the information provided in their investigative case file, 
to include documentation for Reserve Component personnel in title 10 
status.
    (3) The CMG Co-chair shall:
    (i) Confirm that all reported sexual assaults are entered into DSAID 
or a DSAID Service interface system within 48 hours of the report of 
sexual assault. In deployed locations that have internet connectivity 
issues, the time frame is extended to 96 hours.
    (ii) Confirm that only the SARC is inputting information into DSAID 
or a DSAID Service interface system.
    (iii) Keep minutes of the monthly meetings to include those in 
attendance and issues discussed. CMG participants are only authorized to 
share case information with those who have an official need to know.
    (4) For each victim, the assigned SARC and SAPR VA will confirm at

[[Page 680]]

the CMG that the victim has been informed of their SAPR services to 
include counseling, medical, and legal resources without violating 
victim confidentiality.
    (5) For each victim, each CMG member who is involved with and 
working on a specific case will provide an oral update without violating 
victim confidentiality or disclosing privileged communications.
    (6) For each victim, the victim's commander will confirm at the CMG 
that the victim has received a monthly update from the victim's 
commander of her/his case within 72 hours of the last CMG, to assure 
timely victim updates. This responsibility may not be delegated.
    (7) On a joint base or if the installation has tenant commands:
    (i) The CMG membership will explore the feasibility of joint use of 
existing SAPR resources, to include rotating on-call status of SARCs and 
SAPR VAs. Evaluate the effectiveness of communication among SARCs, SAPR 
VAs, and first responders.
    (ii) The CMG chair will request an analysis of data to determine 
trends and patterns of sexual assaults and share this information with 
the commanders on the joint base or the tenant commands. The CMG 
membership will be briefed on that trend data.
    (8) There will be a safety assessment capability. The CMG chair will 
identify installation personnel who have been trained and are able to 
perform a safety assessment of each sexual assault victim.
    (i) The CMG chair will require designated installation personnel, 
who have been trained and are able to perform a safety assessment of 
each sexual assault victim, to become part of the CMG and attend every 
monthly meeting.
    (ii) The CMG chair will request a safety assessment by trained 
personnel of each sexual assault victim at each CMG meeting, to include 
a discussion of expedited military transfers or MPOs, if needed.
    (iii) The CMG co-chair will confirm that the victims are advised 
that MPOs are not enforceable off-base by civilian law enforcement.
    (iv) If applicable, the CMG chair will confirm that both the suspect 
and the victim have a hard copy of the MPO.
    (v) Form a High-Risk Response Team if a victim is assessed to be in 
a high-risk situation. The CMG chair will immediately stand up a multi-
disciplinary High-Risk Response Team to continually monitor the victim's 
safety, by assessing danger and developing a plan to manage the 
situation.
    (A) The High-Risk Response Team shall be chaired by the victim's 
commander and, at a minimum, include the suspect's commander; the 
victim's SARC and SAPR VA; the MCIO, the judge advocate, and the VWAP 
assigned to the case, victim's healthcare provider or mental health and 
counseling services provider; and the personnel who conducted the safety 
assessment.
    (B) The High-Risk Response Team shall make their first report to the 
installation commander, CMG chair, and CMG co-chair within 24 hours of 
being activated. A briefing schedule for the CMG chair and co-chair will 
be determined, but briefings shall occur at least once a week while the 
victim is on high-risk status.
    (C) The High-Risk Response Team assessment of the victim shall 
include, but is not limited to evaluating:
    (1) Victim's safety concerns.
    (2) Suspect's access to the victim or whether the suspect is 
stalking or has stalked the victim.
    (3) Previous or existing relationship or friendship between the 
victim and the suspect, or the suspect and the victim's spouse, or 
victim's dependents. The existence of children in common. The sharing 
(or prior sharing) of a common domicile.
    (4) Whether the suspect (or the suspect's friends or family members) 
has destroyed victim's property; threatened or attacked the victim; or 
threatened, attempted, or has a plan to harm or kill the victim or the 
victim's family members; or intimidated the victim to withdraw 
participation in the investigation or prosecution.
    (5) Whether the suspect has threatened, attempted, or has a plan to 
commit suicide.
    (6) Whether the suspect has used a weapon, threatened to use a 
weapon, or

[[Page 681]]

has access to a weapon that may be used against the victim.
    (7) Whether the victim has sustained serious injury during the 
sexual assault incident.
    (8) Whether the suspect has a history of law enforcement involvement 
regarding domestic abuse, assault, or other criminal behavior.
    (9) Whether the victim has a civilian protective order or command 
has an MPO against the suspect, or there has been a violation of a 
civilian protective order or MPO by the suspect.
    (10) History of drug or alcohol abuse by either the victim or the 
suspect.
    (11) Whether the suspect exhibits erratic or obsessive behavior, 
rage, agitation, or instability.
    (12) Whether the suspect is a flight risk.



Sec. 105.14  Training requirements for DoD personnel.

    (a) Management of training requirements. (1) Commanders, 
supervisors, and managers at all levels shall be responsible for the 
effective implementation of the SAPR program.
    (2) Military and DoD civilian officials at each management level 
shall advocate a robust SAPR program and provide education and training 
that shall enable them to prevent and appropriately respond to incidents 
of sexual assault.
    (3) Data shall be collected according to the annual reporting 
requirements in accordance with Public Law 111-383 and explained in 
Sec. 105.16 of this part.
    (b) General training requirements. (1) The Secretaries of the 
Military Departments and the Chief, NGB, shall direct the execution of 
the training requirements in this section to individually address SAPR 
prevention and response in accordance with Sec. 105.5 of this part. 
These SAPR training requirements shall apply to all Service members and 
DoD civilian personnel who supervise Service members.
    (i) The Secretaries and the Chief, NGB, shall develop dedicated SAPR 
training to ensure comprehensive knowledge of the training requirements.
    (ii) The SAPR training, at a minimum, shall incorporate adult 
learning theory, which includes interaction and group participation.
    (iii) Upon request, the Secretaries and the Chief, NGB, shall submit 
a copy of SAPR training programs or SAPR training elements to USD(P&R) 
through SAPRO for evaluation of consistency and compliance with DoD SAPR 
training standards in this part. The Military Departments will correct 
USD(P&R) identified DoD SAPR policy and training standards 
discrepancies.
    (2) Commanders and managers responsible for training shall require 
that all personnel (i.e., all Service members, DoD civilian personnel 
who supervise Service members, and other personnel as directed by the 
USD(P&R)) are trained and that completion of training data is annotated. 
Commanders for accession training will ensure all new accessions are 
trained and that completion of training data is annotated.
    (3) If responsible for facilitating the training of civilians 
supervising Service members, the unit commander or civilian director 
shall require all SAPR training requirements in this section are met. 
The unit commander or civilian equivalent shall be accountable for 
requiring data collection regarding the training.
    (4) The required subject matter for the training shall be 
appropriate to the Service member's grade and commensurate with their 
level of responsibility, to include:
    (i) Defining what constitutes sexual assault. Utilizing the term 
``sexual assault'' as defined in 32 CFR part 103.
    (ii) Explaining why sexual assaults are crimes.
    (iii) Defining the meaning of ``consent'' as defined in 32 CFR part 
103.
    (iv) Explaining offender accountability and UCMJ violations.
    (v) Explaining the distinction between sexual harassment and sexual 
assault and that both are unacceptable forms of behavior even though 
they may have different penalties. Emphasizing the distinction between 
civil and criminal actions.
    (vi) Explaining available reporting options (Restricted and 
Unrestricted), the advantages and limitations of each option, the effect 
of independent investigations on Restricted Reports (See

[[Page 682]]

Sec. 105.8(a)(6) of this part) and explaining MRE 514.
    (vii) Providing an awareness of the SAPR program (DoD and Service) 
and command personnel roles and responsibilities, including all 
available resources for victims on and off base.
    (viii) Identifying prevention strategies and behaviors that may 
reduce sexual assault, including bystander intervention, risk reduction, 
and obtaining affirmative consent.
    (ix) Discussing process change to ensure that all sexual assault 
response services are gender-responsive, culturally-competent, and 
recovery-oriented.
    (x) Discussing expedited transfers and MPO procedures.
    (xi) Providing information to victims when the alleged perpetrator 
is the commander or in the victim's chain of command, to go outside the 
chain of command to report the offense to other COs or an Inspector 
General. Victims shall be informed that they can also seek assistance 
from a legal assistance attorney or the DoD Safe Helpline.
    (xii) Discussing of document retention for sexual assault documents 
(DD Forms 2910 and 2911), to include retention in investigative records. 
Explaining why it is recommended that sexual assault victims retain 
sexual assault records for potential use in the Department of Veterans 
Affairs benefits applications.
    (c) DoD personnel training requirements. Refer to Military Service-
specific training officers that maintain personnel training schedules.
    (1) Accessions training shall occur upon initial entry.
    (i) Mirror the General Training Requirements in Sec. 105.14(b).
    (ii) Provide scenario-based, real-life situations to demonstrate the 
entire cycle of prevention, reporting, response, and accountability 
procedures to new accessions to clarify the nature of sexual assault in 
the military environment.
    (2) Annual training shall occur once a year and is mandatory for all 
Service members regardless of rank or occupation or specialty.
    (i) Mirror the General Training Requirements in Sec. 105.14(b).
    (ii) Explain the nature of sexual assault in the military 
environment using scenario-based, real-life situations to demonstrate 
the entire cycle of prevention, reporting, response, and accountability 
procedures.
    (iii) Deliver to Service members in a joint environment from their 
respective Military Services and incorporate adult learning theory.
    (3) Professional military education (PME) and leadership development 
training (LDT).
    (i) For all trainees, PME and LDT shall mirror the General Training 
Requirements in Sec. 105.14.
    (ii) For senior noncommissioned officers and commissioned officers, 
PME and LDT shall occur during developmental courses throughout the 
military career and include:
    (A) Explanation and analysis of the SAPR program.
    (B) Explanation and analysis of the necessity of immediate responses 
after a sexual assault has occurred to counteract and mitigate the long-
term effects of violence. Long-term responses after sexual assault has 
occurred will address the lasting consequences of violence.
    (C) Explanation of rape myths (See SAPR Toolkit on www.sapr.mil), 
facts, and trends pertaining to the military population.
    (D) Explanation of the commander's and senior enlisted Service 
member's role in the SAPR program.
    (E) Review of all items found in the commander's protocols for 
Unrestricted Reports of sexual assault. (See SAPR Toolkit on 
www.sapr.mil.)
    (F) Explanation of what constitutes reprisal according to Sec. 
105.3 and procedures for reporting allegations of reprisal in accordance 
with DoDD 7050.06.
    (4) Pre-deployment training shall be provided.
    (i) Mirror the General Training Requirements in Sec. 105.14(b).
    (ii) Explain risk reduction factors tailored to the deployment 
location.
    (iii) Provide a brief history of the specific foreign countries or 
areas anticipated for deployment, and the area's customs, mores, 
religious practices, and status of forces agreement. Explain cultural 
customs, mores, and

[[Page 683]]

religious practices of coalition partners.
    (iv) Identify the type of trained sexual assault responders who are 
available during the deployment (e.g., law enforcement personnel, legal 
personnel, SARC, SAPR VAs, healthcare personnel, chaplains).
    (v) Upon implementation of the D-SAACP, and unless previously 
credentialed, include completion of certification for SARCs and VAs.
    (5) Post-deployment reintegration training shall occur within 30 
days of returning from deployment and:
    (i) Commanders of re-deploying personnel will ensure training 
completion.
    (ii) Explain available counseling and medical services, reporting 
options, and eligibility benefits for Service members and the Reserve 
Component.
    (iii) Explain MRE 514. Explain that Reserve members not in active 
service at the time of the incident or at the time of the report can 
make a Restricted or Unrestricted report with the SARC or SAPR VA when 
on active duty and then be eligible to receive SAPR services.
    (6) Pre-command training shall occur prior to filling a command 
position.
    (i) Mirror the General Training Requirements in Sec. 105.14(b).
    (A) The personnel trained shall include all officers who are 
selected for command and the unit's senior enlisted Service member.
    (B) The required subject matter for the training shall be 
appropriate to the level of responsibility and commensurate with level 
of command.
    (ii) Explain rape myths, facts, and trends.
    (iii) Provide awareness of the SAPR program and explain the 
commander's and senior enlisted Service member's role in executing their 
SAPR service program.
    (iv) Review all items found in the commander's protocols for 
Unrestricted Reports of sexual assault. (See SAPR Toolkit on 
www.sapr.mil.)
    (v) Explain what constitutes reprisal and procedures for addressing 
reprisal allegations.
    (d) G/FO and SES personnel training requirements. G/FO and SES 
personnel training shall occur at the initial executive level program 
training and annually thereafter. Mirror the General Training 
Requirements in Sec. 105.14(b).
    (1) The Military Services' executive level management offices are 
responsible for tracking data collection regarding the training.
    (2) The required subject matter for the training shall be 
appropriate to the level of responsibility and commensurate with level 
of command.
    (3) Training guidance for other DoD components other than the 
Military Departments, will be provided in a separate issuance.
    (e) Military Recruiters. Military recruiter training shall occur 
annually and mirror the General Training Requirements in Sec. 
105.14(b).
    (f) Training for civilians who supervise service members. Training 
is required for civilians who supervise Service members, for all 
civilians in accordance with section 585 of Public Law 112-81 and, if 
feasible, highly recommended for DoD contractors. Training shall occur 
annually and mirror the General Training Requirements in Sec. 
105.14(b).
    (g) Responder training requirements. To standardize services 
throughout the DoD, as required in 32 CFR part 103, all DoD sexual 
assault responders shall receive the same baseline training. These 
minimum training standards form the baseline on which the Military 
Services and specialized communities can build. First responders are 
composed of personnel in the following disciplines or positions: SARCs; 
SAPR VAs; healthcare personnel; DoD law enforcement; MCIOs; judge 
advocates; chaplains; firefighters and emergency medical technicians. 
Commanders and VWAP personnel can be first responders. Commanders 
receive their SAPR training separately.
    (1) All responder training shall:
    (i) Be given in the form of initial and annual refresher training 
from their Military Service in accordance with Sec. 105.5 of this part. 
Responder training is in addition to annual training.
    (ii) Be developed for each responder functional area from each 
military service and shall:
    (A) Explain the different sexual assault response policies and 
critical issues.

[[Page 684]]

    (1) DoD SAPR policy, including the role of the SARC, SAPR VA, victim 
witness liaison, and CMG.
    (2) Military Service-specific policies.
    (3) Unrestricted and Restricted Reporting as well as MRE 514.
    (4) Exceptions to Restricted Reporting and limitations to use.
    (5) Change in victim reporting preference election.
    (6) Victim advocacy resources.
    (B) Explain the requirement that SARCs must respond in accordance 
with this part.
    (C) Describe local policies and procedures with regards to local 
resources, referrals, procedures for military and civilians as well as 
collaboration and knowledge of resources and referrals that can be 
utilized at that specific geographic location.
    (D) Explain the range of victim responses to sexual assault to 
include:
    (1) Victimization process, including re-victimization and secondary 
victimization.
    (2) Counterintuitive behavior.
    (3) Impact of trauma on memory and recall.
    (4) Potential psychological consequences, including acute stress 
disorder and post traumatic stress disorder.
    (E) Explain deployment issues, including remote location assistance.
    (F) Explain the possible outcomes of investigations of sexual 
assault.
    (G) Explain the possible flow of a sexual assault investigation. 
(See flowchart in the SAPR Policy Toolkit, located at www.sapr.mil.)
    (H) Be completed prior to deployment.
    (I) Recommend, but not require, that SAPR training for responders 
include safety and self care.
    (2) SARC training shall:
    (i) Provide the responder training requirements in Sec. 
105.14(g)(1).
    (ii) Be scenario-based and interactive. Provide for role play where 
a trainee SARC counsels a sexual assault victim and is critiqued by a 
credentialed SARC and/or an instructor.
    (iii) Explain roles and responsibilities and command relationships.
    (iv) Explain the different reporting options, to include the effects 
of independent investigations (see Sec. 105.8 of this part). Explain 
the exceptions to Restricted Reporting, with special emphasis on 
suspending Restricted Reporting where it is necessary to prevent or 
mitigate a serious and imminent threat to the health or safety of the 
victim or another person.
    (v) Provide training on entering reports of sexual assault into 
DSAID through interface with a Military Service data systems or by 
direct data entry. Provide training on potential discovery obligations 
regarding any notes entered in DSAID.
    (vi) Provide training on document retention of Restricted and 
Unrestricted cases.
    (vii) Provide training on expedited transfer and MPO procedures.
    (viii) Provide instruction on all details of SAPR VA screening, 
including addressing:
    (A) What to do if SAPR VA is a recent victim, or knows sexual 
assault victims.
    (B) What to do if SAPR VA was accused of being an offender or knows 
someone who was accused.
    (C) Identifying the SAPR VA's personal biases.
    (D) The necessary case management skills.
    (1) Required reports and proper documentation as well as records 
management.
    (2) Instruction to complete DD Form 2910 and proper storage 
according to Federal service privacy regulations.
    (3) Ability to conduct SAPR training, when requested by the SARC or 
commander.
    (4) Transferring cases to another installation SARC.
    (ix) Explain the roles and responsibilities of the VWAP and DD Form 
2701.
    (x) Inform SARCs of the existence of the SAPRO Web site at http://
www.sapr.mil, and encourage its use for reference materials and general 
DoD-level SAPR information.
    (3) SAPR VA training shall:
    (i) Provide the responder training requirements in Sec. 
105.14(g)(1).
    (ii) Be scenario-based and interactive. Provide for role play where 
a trainee SAPR VA counsels a sexual assault victim, and then that 
counseling session is critiqued by an instructor.

[[Page 685]]

    (iii) Explain the different reporting options, to include the 
effects of independent investigations (see Sec. 105.8 of this part). 
Explain the exceptions to Restricted Reporting, with special emphasis on 
suspending Restricted Reporting where it is necessary to prevent or 
lessen a serious and imminent threat to the health or safety of the 
victim or another person.
    (iv) Include:
    (A) Necessary critical advocacy skills.
    (B) Basic interpersonal and assessment skills.
    (1) Appropriate relationship and rapport building.
    (2) Sensitivity training to prevent re-victimization.
    (C) Crisis intervention.
    (D) Restricted and Unrestricted Reporting options as well as MRE 
514.
    (E) Roles and limitations, to include: command relationship, SAPR 
VA's rights and responsibilities, reporting to the SARC, and recognizing 
personal biases and issues.
    (F) Preparing proper documentation for a report of sexual assault.
    (G) Document retention in Restricted and Unrestricted cases.
    (H) Expedited transfer and MPO procedures.
    (I) Record keeping rules for protected disclosures relating to a 
sexual assault.
    (J) A discussion of ethical issues when working with sexual assault 
victims as a VA.
    (K) A discussion of individual versus system advocacy.
    (L) A review of the military justice process and adverse 
administrative actions.
    (M) Overview of criminal investigative process and military judicial 
requirements.
    (N) A review of the issues in victimology.
    (1) Types of assault.
    (2) Health consequences such as mental and physical health.
    (3) Cultural and religious differences.
    (4) Victims' rights and the victim's role in holding offenders 
appropriately accountable and limitations on offender accountability 
when the victim elects Restricted Reporting.
    (5) Healthcare management of sexual assault and medical resources 
and treatment options to include the medical examination, the forensic 
examination, mental health and counseling, pregnancy, and STD/I and HIV.
    (6) Identification of safety issues and their immediate report to 
the SARC or law enforcement, as appropriate.
    (7) Identification of reprisal and retaliation actions against the 
victim; procedures for responding to reprisal actions and their 
immediate reporting to the SARC and the VWAP; safety planning to include 
how to prevent retaliation or reprisal actions against the victim.
    (8) Separation of the victim and offender as well as the MPO and CPO 
process.
    (9) Expedited transfer process for the victim.
    (O) An explanation of the roles and responsibilities of the VWAP and 
DD Form 2701.
    (P) Safety and self care, to include vicarious trauma.
    (4) Healthcare personnel training shall be in two distinct training 
categories:
    (i) Training for Healthcare Personnel Assigned to an MTF. In 
addition to the responder training requirements in Sec. 105.14(g)(1), 
MTF healthcare personnel shall be trained and remain proficient in 
medical treatment resources, in conducting a sexual assault patient 
interviews, and in conducting the SAFE Kit process. Healthcare personnel 
who received a Restricted Report shall immediately call a SARC or SAPR 
VA, so a DD Form 2910 can be completed.
    (ii) Training for Healthcare Providers Performing SAFEs in MTFs (see 
32 CFR 103.4). In addition to the responder training requirements in 
Sec. 105.14(g)(1), healthcare providers performing SAFEs shall be 
trained and remain proficient in conducting SAFEs. Healthcare providers 
who may be called on to provide comprehensive medical treatment to a 
sexual assault victim, including performing SAFEs are: obstetricians and 
gynecologists and other licensed practitioners (preferably family 
physicians, emergency medicine physicians, and pediatricians); advanced 
practice nurses with specialties in midwifery, women's health, family 
health, and pediatrics; physician assistants trained in family

[[Page 686]]

practice or women's health; and registered nurses with documented 
education, training, and clinical practice in sexual assault 
examinations in accordance with the U.S. Department of Justice Protocol. 
Healthcare personnel who received a Restricted Report shall immediately 
call a SARC or SAPR VA so a DD Form 2910 can be completed.
    (iv) Healthcare personnel and provider training shall:
    (A) Explain how to conduct a sexual assault patient interview to 
obtain medical history and assault information.
    (B) Explain how to conduct a SAFE in accordance with the U.S. 
Department of Justice Protocol and include explanations on:
    (1) SAFE Kit and DD Form 2911.
    (2) Toxicology kit for suspected drug-facilitated cases.
    (3) Chain of custody.
    (4) Translation of findings.
    (5) Proper documentation.
    (6) Storage of evidence in Restricted Reports (e.g., RRCN).
    (7) Management of the alleged offender.
    (8) Relevant local and State laws and restrictions.
    (9) Medical treatment issues during deployments including remote 
location assistance to include: location resources including appropriate 
personnel, supplies (drying device, toluidine blue dye, colposcope, 
camera), standard operating procedures, location of SAFE Kit and DD Form 
2911; and availability and timeliness of evacuation to echelon of care 
where SAFEs are available.
    (C) Explain how to deal with emergency contraception and STD/I 
treatment.
    (D) Discuss physical and mental health assessment.
    (E) Explain how to deal with trauma, to include:
    (1) Types of injury.
    (2) Photography of injuries.
    (3) Behavioral health and counseling needs.
    (4) Consulting and referral process.
    (5) Appropriate follow-up.
    (6) Drug or alcohol facilitated sexual assault, to include review of 
best practices, victim interview techniques, and targeted evidence 
collections.
    (F) Explain medical record management.
    (G) Explain legal process and expert witness testimony.
    (5) DoD law enforcement (those elements of DoD components, to 
include MCIOs, authorized to investigate violations of the UCMJ) 
training shall:
    (i) Include the Responder Training requirements in Sec. 
105.14(g)(1) for DoD law enforcement personnel who may respond to a 
sexual assault complaint.
    (ii) Remain consistent with the guidelines published under the 
authority and oversight of the IG, DoD. In addition, DoD law enforcement 
training shall:
    (A) Explain how to respond in accordance with the SAPR program.
    (1) Notify the command, SARC, and SAPR VA.
    (2) Work with SAPR VAs and SARCs, and medical personnel.
    (B) Explain how to work with sexual assault victims, to include the 
effects of trauma on sexual assault victims. Ensure victims are informed 
of and accorded their rights, in accordance with DoDI 1030.2 and DoDD 
1030.01 by contacting the VWAP.
    (C) Take into consideration the victim's safety concerns and medical 
needs.
    (D) Review IG policy and Military Service regulations regarding the 
legal transfer of the SAFE Kit and the retention of the DD Form 2911 or 
reports from civilian SAFEs in archived files.
    (E) Discuss sex offender issues.
    (6) Training for MCIO agents assigned to investigate sexual assaults 
shall:
    (i) In accordance with Public Law 112-81, be detailed in IG policy.
    (ii) Adhere to the responder training requirements in Sec. 
105.14(g)(1) for military and civilian criminal investigators assigned 
to MCIOs who may respond to a sexual assault complaint.
    (iii) Remain consistent with the guidelines published under the 
authority and oversight of the IG, DoD. In addition, MCIO training 
shall:
    (A) Include initial and annual refresher training on essential tasks 
specific to investigating sexual assault investigations that explain 
that these reports shall be included in sexual assault quarterly and 
annual reporting

[[Page 687]]

requirements found in Sec. 105.16 of this part.
    (B) Include IG policy and Military Service regulations regarding the 
legal transfer of the SAFE Kit and the retention of the DD Form 2911 or 
reports from civilian SAFEs in archived files.
    (C) Explain how to work with victims of sexual assault.
    (1) Effects of trauma on the victim to include impact of trauma and 
stress on memory as well as balancing investigative priorities with 
victim needs.
    (2) Ensure victims are informed of and accorded their rights, in 
accordance with DoDI 1030.2 and DoDD 1030.01 by contacting the VWAP.
    (3) Take into consideration the victim's safety concerns and medical 
needs.
    (D) Explain how to respond to a sexual assault in accordance with to 
32 CFR part 103, this part, and the assigned Military Service 
regulations on:
    (1) Notification to command, SARC, and VWAP.
    (2) Investigating difficult cases to include drug and alcohol 
facilitated sexual assaults, having multiple suspects and sexual 
assaults in the domestic violence context as well as same-sex sexual 
assaults (male/male or female/female).
    (E) Review of available research regarding false information and the 
factors influencing false reports and false information, to include 
possible victim harassment and intimidation.
    (F) Explain unique issues with sex offenders to include identifying, 
investigating, and documenting predatory behaviors.
    (G) Explain how to work with the SARC and SAPR VA to include SAPR VA 
and SARC roles, responsibilities, and limitations; victim services and 
support program; and MRE 514.
    (7) Judge advocate training shall:
    (i) Prior to performing judge advocate duties, adhere to the 
Responder Training requirements in Sec. 105.14(g)(1) for judge 
advocates who are responsible for advising commanders on the 
investigation or disposition of, or who prosecute or defend, sexual 
assault cases.
    (ii) Explain legal support services available to victims.
    (A) Pursuant to the respective Military Service regulations, explain 
that each Service member who reports a sexual assault shall be given the 
opportunity to consult with legal assistance counsel, and in cases where 
the victim may have been involved in collateral misconduct, to consult 
with defense counsel.
    (1) Provide information concerning the prosecution, if applicable, 
in accordance with DoD 8910.1-M. Provide information regarding the 
opportunity to consult with legal assistance counsel as soon as the 
victim seeks assistance from a SARC, SAPR VA, or any DoD law enforcement 
agent or judge advocate.
    (2) Ensure victims are informed of their rights and the VWAP 
program, in accordance with DoDI 1030.2 and DoDD 1030.01.
    (B) Explain the sex offender registration program.
    (iii) Explain issues encountered in the prosecution of sexual 
assaults.
    (A) Typologies (characteristics) of victims and sex offenders in 
non-stranger sexual assaults.
    (B) Addressing the consent defense.
    (C) How to effectively prosecute alcohol and drug facilitated sexual 
assault.
    (D) How to introduce forensic and scientific evidence (e.g., SAFE 
Kits, DNA, serology, toxicology).
    (E) MRE issues and updates to regard sexual assault prosecution in 
accordance with MRE 412, 413, and 615 of the Manual for Courts-Martial, 
United States.
    (F) How to advise victims, SAPR VAs, and VWAP about the military 
justice process, and MRE 514. Explain:
    (1) Victims' rights during trial and defense counsel interviews 
(e.g., guidance regarding answering questions on prior sexual behavior, 
interviewing parameters, coordinating interviews, case outcomes).
    (2) In the case of a general or special court-martial involving a 
sexual assault as defined in 32 CFR part 103, a copy of the prepared 
record of the proceedings of the court-martial (not to include sealed 
materials, unless otherwise approved by the presiding military judge or 
appellate court) shall be given to the victim of the offense if the 
victim testified during the proceedings in accordance with Public Law 
112-81.

[[Page 688]]

    (3) Guidance on victim accompaniment (e.g., who may accompany 
victims to attorney interviews, what is their role, and what should they 
do if victim is being mistreated).
    (4) MRE 412 of the Manual for Courts-Martial, United States, to 
investigations pursuant to an Article 32 hearing.
    (5) Protecting victim privacy (e.g., access to medical records and 
conversations with SARC or SAPR VA, discovery consequences of making 
victim's mental health an issue, MRE 514).
    (8) Legal Assistance Attorney training shall adhere to the 
requirements of annual training in Sec. 105.14(c)(2). Attorneys shall 
receive training in order to have the capability to provide legal 
assistance to sexual assault victims in accordance with the USD(P&R) 
Memorandum. Legal assistance attorney training shall include:
    (i) The VWAP, including the rights and benefits afforded the victim.
    (A) The role of the VWAP and what privileges do or do not exist 
between the victim and the advocate or liaison.
    (B) The nature of the communication made to the VWAP as opposed to 
those made to the legal assistance attorney.
    (ii) The differences between the two types of reporting in sexual 
assault cases.
    (iii) The military justice system, including the roles and 
responsibilities of the trial counsel, the defense counsel, and 
investigators. This may include the ability of the Government to compel 
cooperation and testimony.
    (iv) The services available from appropriate agencies or offices for 
emotional and mental health counseling and other medical services.
    (v) The availability of protections offered by military and civilian 
restraining orders.
    (vi) Eligibility for and benefits potentially available as part of 
transitional compensation benefits found in section 1059 of title 10, 
U.S.C., and other State and Federal victims' compensation programs.
    (vii) Traditional forms of legal assistance.
    (9) Chaplains, chaplain assistants and religious personnel training 
shall:
    (i) Adhere to the responder training requirements in Sec. 
105.14(g)(1).
    (ii) Pre-deployment SAPR training shall focus on counseling services 
needed by sexual assault victims and offenders in contingency and remote 
areas.
    (iii) Address:
    (A) Privileged communications and the Restricted Reporting policy 
rules and limitations, including legal protections for chaplains and 
their confidential communications, assessing victim or offender safety 
issues (while maintaining chaplain's confidentiality), and MRE 514.
    (B) How to support victims with discussion on sensitivity of 
chaplains in addressing and supporting sexual assault victims, 
identifying chaplain's own bias and ethical issues, trauma training with 
pastoral applications, and how to understand victims' rights as 
prescribed in DoDI 1030.2 and DoDD 1030.01.
    (C) Other counseling and support topics.
    (1) Offender counseling should include: assessing and addressing 
victim and offender safety issues while maintaining confidentiality; and 
counseling an offender when the victim is known to the chaplain 
(counseling both the offender and the victim when there is only one 
chaplain at a military installation).
    (2) Potential distress experienced by witnesses and bystanders over 
the assault they witnessed or about which they heard.
    (3) Counseling for SARCs, SAPR VAs, healthcare personnel, chaplains, 
JAGs, law enforcement or any other professionals who routinely works 
with sexual assault victims and may experience secondary effects of 
trauma.
    (4) Providing guidance to unit members and leadership on how to 
mitigate the impact that sexual assault has on a unit and its 
individuals, while keeping in mind the needs and concerns of the victim.



Sec. 105.15  Defense Sexual Assault Incident Database (DSAID).

    (a) Purpose. (1) In accordance with section 563 of Public Law 110-
417, DSAID shall support Military Service SAPR program management and 
DoD SAPRO oversight activities. It shall

[[Page 689]]

serve as a centralized, case-level database for the collection and 
maintenance of information regarding sexual assaults involving persons 
covered by this part. DSAID will include information, if available, 
about the nature of the assault, the victim, services offered to the 
victim, the offender, and the disposition of the reports associated with 
the assault. DSAID will serve as the DoD's SAPR source for internal and 
external requests for statistical data on sexual assault in accordance 
with section 563 of Public Law 110-417. The DSAID has been assigned OMB 
Control Number 0704-0482. DSAID contains information provided by the 
military services, which are the original source of the information.
    (2) Disclosure of data stored in DSAID will only be granted when 
disclosure is authorized or required by law or regulation.
    (b) Procedures. DSAID shall:
    (1) Contain information about sexual assaults reported to the DoD 
involving persons covered by this part, both via Unrestricted and 
Restricted Reporting options.
    (2) Include adequate safeguards to shield PII from unauthorized 
disclosure. The system will not contain PII about victims who make a 
Restricted Report. Information about sexual assault victims and subjects 
will receive the maximum protection allowed under the law. DSAID will 
include stringent user access controls.
    (3) Assist with annual and quarterly reporting requirements, 
identifying and managing trends, analyzing risk factors or problematic 
circumstances, and taking action or making plans to eliminate or to 
mitigate risks. DSAID shall store case information. Closed case 
information shall be available to DoD SAPRO for SAPR program oversight, 
study, research, and analysis purposes. DSAID will provide a set of core 
functions to satisfy the data collection and analysis requirements for 
the system in five basic areas: data warehousing, data query and 
reporting, SARC victim case management functions, subject investigative 
and legal case information, and SAPR program administration and 
management.
    (4) Receive information from the Military Services' existing data 
systems or direct data entry by authorized Military Service personnel.
    (c) Notification procedure and record access procedures. (1) 
Requests for information contained in DSAID are answered by the 
Services. All requests for information should be made to the DoD 
Component that generated the information in DSAID. Individuals seeking 
to determine whether information about themselves is contained in this 
system of records or seeking access to records about themselves should 
address written inquiries to the appropriate Service office (see Service 
list at www.sapr.mil).
    (2) Requests for information to the DoD Components must be responded 
to by the office(s) designated by the Component to respond to Freedom of 
Information Act and Privacy Act requests. Requests shall not be 
informally handled by the SARCs.



Sec. 105.16  Sexual assault annual and quarterly reporting requirements.

    (a) Annual reporting for the military services. The USD(P&R) submits 
annual FY reports to Congress on the sexual assaults involving members 
of the Military Services. Each Secretary of the Military Departments 
must submit their Military Service report for the prior FY to the 
Secretary of Defense through the DoD SAPRO by March 1. The Secretary of 
the Navy must provide separate reports for the Navy and the Marine 
Corps. The annual report is accomplished in accordance with section 
1631(d) of Public Law 111-383, and includes:
    (1) The policies, procedures, and processes in place or implemented 
by the SAPR program during the report year in response to incidents of 
sexual assault.
    (2) An assessment of the implementation of the policies and 
procedures on the prevention, response, and oversight of sexual assaults 
in the military to determine the effectiveness of SAPR policies and 
programs, including an assessment of how Service efforts executed DoD 
SAPR priorities.
    (3) Any plans for the following year on the prevention of and 
response to sexual assault, specifically in the areas of advocacy, 
healthcare provider and

[[Page 690]]

medical response, mental health, counseling, investigative services, 
legal services, and chaplain response.
    (4) Matrices for Restricted and Unrestricted Reports of the number 
of sexual assaults involving Service members, that includes case 
synopses, and disciplinary actions taken in substantiated cases and 
relevant information.
    (5) Analyses of the matrices of the number of sexual assaults 
involving Service members.
    (b) Quarterly reports. The quarterly data reports from the Military 
Services are the basis for annual reports, including the data fields 
necessary for comprehensive reporting. The information collected to 
prepare the quarterly reports has been assigned Reporting Control Symbol 
DD-P&R(A)2205. In quarterly reports, the policies and planned actions 
are not required to be reported. Each quarterly report and subsequent FY 
annual report shall update the status of those previously reported 
investigations that had been reported as opened but not yet completed or 
with action pending at the end of a prior reporting period. Once the 
final action taken is reported, that specific investigation no longer 
needs to be reported. This reporting system will enable the DoD to track 
sexual assault cases from date of initiation to completion of command 
action or disposition. Quarterly reports are due:
    (1) January 31 for investigations opened during the period of 
October 1-December 31.
    (2) April 30 for investigations opened during the period of January 
1-March 31.
    (3) July 31 for investigations opened during the period of April 1-
June 30.
    (4) The final quarterly report (July 1-September 30) shall be 
included as part of the FY annual report.
    (c) Annual reporting for the Military Service Academies (MSA). 
Pursuant to section 532 of Public Law 109-364, the USD(P&R) submits 
annual reports on sexual harassment and violence at MSAs to the House of 
Representatives and Senate Armed Services Committees each academic 
program year (APY). The MSA Sexual Assault Survey conducted by the 
Defense Manpower Data Center (DMDC) has been assigned Report Control 
Symbol DD-P&R(A)2198.
    (1) In odd-numbered APYs, superintendents will submit a report to 
their respective Military Department Secretaries assessing their 
respective MSA policies, training, and procedures on sexual harassment 
and violence involving cadets and midshipmen no later than October 15 of 
the following APY. DMDC will simultaneously conduct gender relations 
surveys of cadets and midshipmen to collect information relating to 
sexual assault and sexual harassment at the MSA to supplement these 
reports. DoD SAPRO will summarize and consolidate the results of each 
MSA's APY assessment, which will serve as the mandated DoD annual report 
to Congress.
    (2) In even-numbered APYs, DoD SAPRO and the DoD Diversity 
Management and Equal Opportunity (DMEO) Office conduct MSA site visits 
and a data call to assess each MSA's policies; training, and procedures 
regarding sexual harassment and violence involving cadets and 
midshipmen; perceptions of Academy personnel regarding program 
effectiveness; the number of reports and corresponding case 
dispositions; program accomplishments progress made; and challenges. 
Together with the DoD SAPRO and DMEO MSA visits, DMDC will conduct focus 
groups with cadets and midshipmen to collect information relating to 
sexual harassment and violence from the MSAs to supplement this 
assessment. DoD SAPRO consolidates the assessments and focus group 
results of each MSA into a report, which serves as the mandated DoD 
annual report to Congress that will be submitted in December of the 
following APY.
    (d) Annual reporting of installation data. Installation data is 
drawn from the annual reports of sexual assault listed in Sec. 
105.16(a). The Secretaries of each Military Department must submit their 
Military Service report of sexual assault for the prior FY organized by 
installation to the Secretary of Defense through the DoD SAPRO by April 
30. The Secretary of the Navy must provide separate reports for the Navy 
and the Marine Corps. Reports will contain matrices for Restricted and 
Unrestricted Reports of the number of

[[Page 691]]

sexual assaults involving Service members organized by military 
installation, and matrices including the synopsis and disciplinary 
actions taken in substantiated cases.



Sec. 105.17  Sexual assault offense--investigation disposition 
descriptions.

    Pursuant to the legislated requirements specified in Public Law 111-
383, the following definitions are used by the Services for annual and 
quarterly reporting of the dispositions of subjects in sexual assault 
investigations conducted by the MCIOs. Services must adapt their 
investigative policies and procedures to comply with these definitions.
    (a) Substantiated reports. Dispositions in this category come from 
Unrestricted Reports that have been investigated and found to have 
sufficient evidence to provide to command for consideration of action to 
take some form of punitive, corrective, or discharge action against an 
offender.
    (1) Substantiated reports against Service member subjects. A 
substantiated report of sexual assault is an Unrestricted Report that 
was investigated by an MCIO, provided to the appropriate military 
command for consideration of action, and found to have sufficient 
evidence to support the command's action against the subject. Actions 
against the subject may include court-martial charge preferral, Article 
15 UCMJ punishment, nonjudicial punishment, administrative discharge, 
and other adverse administrative action that result from a report of 
sexual assault or associated misconduct (e.g., adultery, housebreaking, 
false official statement, etc.).
    (2) Substantiated reports by Service member victims. A substantiated 
report of a sexual assault victim's Unrestricted Report that was 
investigated by a MCIO, and provided to the appropriate military command 
for consideration of action, and found to have sufficient evidence to 
support the command's action against the subject. However, there are 
instances where an Unrestricted Report of sexual assault by a Service 
member victim may be substantiated but the command is not able to take 
action against the person who is the subject of the investigation. These 
categories include the following: the subject of the investigation could 
not be identified; the subject died or deserted from the Service before 
action could be taken; the subject was a civilian or foreign national 
not subject to the UCMJ; or the subject was a Service member being 
prosecuted by a civilian or foreign authority.
    (b) Substantiated report disposition descriptions. In the event of 
several types of action a commander takes against the same offender, 
only the most serious action taken is reported, as provided for in the 
following list, in descending order of seriousness. For each offender, 
any court-martial sentence and non-judicial punishment administered by 
commanders pursuant to Article 15 of the UCMJ is reported annually to 
the DoD in the case synopses or via DSAID. Further additional actions of 
a less serious nature in the descending list should also be included in 
the case synopses reported to the Department. Public Law 111-383 
requires the reporting of the number of victims associated with each of 
the following disposition categories.
    (1) Commander action for sexual assault offense. (i) Court-martial 
charges preferred (initiated) for sexual assault offense. A court-
martial charge was preferred (initiated) for at least one of the 
offenses punishable by Articles 120 and 125 of the UCMJ, or an attempt 
to commit an Article 120 or 125, UCMJ offense that would be charged as a 
violation of Article 80 of the UCMJ. (See Rules for Courts-Martial (RCM) 
307 and 401 of the Manual for Courts-Martial, United States.\13\)
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    \13\ Available: http://www.dod.gov /dodgc/images /mcm2012.pdf.
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    (ii) Nonjudicial punishments (Article 15, UCMJ). Disciplinary action 
for at least one of the UCMJ offenses comprised within the SAPR 
definition of sexual assault that was initiated pursuant to Article 15 
of the UCMJ.
    (iii) Administrative discharges. Commander action taken to 
involuntarily separate the offender from military service that is based 
in whole or in part on an offense within the SAPR definition of sexual 
assault.

[[Page 692]]

    (iv) Other adverse administrative actions. In the absence of an 
administrative discharge action, any other administrative action that 
was initiated (including corrective measures such as counseling, 
admonition, reprimand, exhortation, disapproval, criticism, censure, 
reproach, rebuke, extra military instruction, or other administrative 
withholding of privileges, or any combination thereof), and that is 
based in whole or in part on an offense within the SAPR definition of 
sexual assault. Cases should be placed in this category only when an 
administrative action other than an administrative discharge is the only 
action taken. If an ``other administrative action'' is taken in 
combination with another more serious action (e.g., courts-martial, non-
judicial punishment, administrative discharge, or civilian or foreign 
court action), only report the case according to the more serious action 
taken.
    (2) Commander action for other criminal offense. Report actions 
against subjects in this category when there is probable cause for an 
offense, but only for a non-sexual assault offense (i.e., the commander 
took action on a non-sexual assault offense because an investigation 
showed that the allegations did not meet the required elements of, or 
there was insufficient evidence for, any of the UCMJ offenses that 
constitute the SAPR definition of sexual assault). Instead, an 
investigation disclosed other offenses arising from the sexual assault 
allegation or incident that met the required elements of, and there was 
sufficient evidence for, another offense under the UCMJ. Report court-
martial charges preferred, non-judicial punishments, and sentences 
imposed in the case synopses provided to the DoD. To comply with Public 
Law 111-383, the number of victims associated with each of the following 
categories must also be reported.
    (i) Court-martial charges preferred (initiated) for a non-sexual 
assault offense.
    (ii) Nonjudicial punishments (Article 15, UCMJ) for non-sexual 
assault offense.
    (iii) Administrative discharges for non-sexual assault offense.
    (iv) Other adverse administrative actions for non-sexual assault 
offense.
    (c) Command action precluded. Dispositions reported in this category 
come from an Unrestricted Report that was investigated by a MCIO and 
provided to the appropriate military command for consideration of 
action, but the evidence did not support taking action against the 
subject of the investigation because the victim declined to participate 
in the military justice action, there was insufficient evidence of any 
offense to take command action, the report was unfounded by command, the 
victim died prior to completion of the military justice action, or the 
statute of limitations for the alleged offense(s) expired. Public Law 
111-383 requires the reporting of the number of victims associated with 
each of the following disposition categories.
    (1) Victim declined to participate in the military justice action. 
Commander action is precluded or declined because the victim has 
declined to further cooperate with military authorities or prosecutors 
in a military justice action.
    (2) Insufficient evidence for prosecution. Although the allegations 
made against the alleged offender meet the required elements of at least 
one criminal offense listed in the SAPR definition of sexual assault 
(see 32 CFR part 103), there was insufficient evidence to legally prove 
those elements beyond a reasonable doubt and proceed with the case. (If 
the reason for concluding that there is insufficient evidence is that 
the victim declined to cooperate, then the reason for being unable to 
take action should be entered as ``victim declined to participate in the 
military justice action,'' and not entered as ``insufficient 
evidence.'')
    (3) Victim's death. Victim died before completion of the military 
justice action.
    (4) Statute of limitations expired. Determination that, pursuant to 
Article 43 of the UCMJ, the applicable statute of limitations has 
expired and the case may not be prosecuted.
    (d) Command action declined. Dispositions in this category come from 
an Unrestricted Report that was investigated by a MCIO and provided to 
the

[[Page 693]]

appropriate military command for consideration of action, but the 
commander determined the report was unfounded as to the allegations 
against the subject of the investigation. Unfounded allegations reflect 
a determination by command, with the supporting advice of a qualified 
legal officer, that the allegations made against the alleged offender 
did not occur nor were attempted. These cases are either false or 
baseless. Public Law 111-383 requires the reporting of the number of 
victims associated with this category.
    (1) False cases. Evidence obtained through an investigation shows 
that an offense was not committed nor attempted by the subject of the 
investigation.
    (2) Baseless cases. Evidence obtained through an investigation shows 
that alleged offense did not meet at least one of the required elements 
of a UCMJ offense constituting the SAPR definition of sexual assault or 
was improperly reported as a sexual assault.
    (e) Subject outside DoD's legal authority. When the subject of the 
investigation or the action being taken are beyond DoD's jurisdictional 
authority or ability to act, use the following descriptions to report 
case disposition. To comply with Public Law 111-383, Services must also 
identify the number of victims associated with these dispositions and 
specify when there was insufficient evidence that an offense occurred in 
the following categories.
    (1) Offender is unknown. The investigation is closed because no 
person could be identified as the alleged offender.
    (2) Subject is a civilian or foreign national not subject to UCMJ. 
The subject of the investigation is not amenable to military UCMJ 
jurisdiction for action or disposition.
    (3) Civilian or foreign authority is prosecuting Service member. A 
civilian or foreign authority has the sexual assault allegation for 
action or disposition, even though the alleged offender is also subject 
to the UCMJ.
    (4) Offender died or deserted. Commander action is precluded because 
of the death or desertion of the alleged offender or subject of the 
investigation.
    (f) Report unfounded by MCIO. Determination by the MCIO that the 
allegations made against the alleged offender did not occur nor were 
attempted. These cases are either false or baseless. Public Law 111-383 
requires the reporting of the number of victims associated with this 
category.
    (1) False cases. Evidence obtained through a MCIO investigation 
shows that an offense was not committed nor attempted by the subject of 
the investigation.
    (2) Baseless cases. Evidence obtained through an investigation shows 
that alleged offense did not meet at least one of the required elements 
of a UCMJ offense constituting the SAPR definition of sexual assault or 
was improperly reported as a sexual assault.



Sec. 105.18  Information collection requirements.

    (a) The DSAID and the DD Form 2910, referred to in this Instruction, 
have been assigned OMB control number 0704-0482.
    (b) The annual report regarding sexual assaults involving Service 
members and improvement to sexual assault prevention and response 
programs referred to in Sec. Sec. 105.5(f)(22); 105.7(a)(9), 
105.7(a)(10), and 105.7(a)(12); 105.9(c)(8)(ii); and 105.16(a) and (d) 
of this part is submitted to Congress in accordance with section 1631(d) 
of Public Law 111-383 and is coordinated with the Assistant Secretary of 
Defense for Legislatives Affair in accordance with the procedures in 
DoDI 5545.02.
    (c) The quarterly reports of sexual assaults involving Service 
members referred to in Sec. Sec. 105.5, 105.7, 105.14, 105.15, and 
105.16 of this part are prescribed by DoDD 5124.02 and have been 
assigned a DoD report control symbol in accordance with the procedures 
in DTM 12-004 and DoD 8910.1-M.
    (d) The Service Academy sexual assault survey referred to in Sec. 
105.16(c) of this part has been assigned DoD report control symbol in 
accordance with the procedures in DTM 12-004 and DoD 8910.1-M.



PART 107_PERSONAL SERVICES AUTHORITY FOR DIRECT HEALTH CARE PROVIDERS
--Table of Contents



Sec.
107.1 Purpose.

[[Page 694]]

107.2 Applicability and scope.
107.3 Definitions.
107.4 Policy.
107.5 Procedures.
107.6 Responsibilities.

Enclosure 1 to Part 107--Table of Authorized Compensation Rates

    Authority: 10 U.S.C. 1091; Federal Acquisition Regulation (FAR), 
part 37.

    Source: 50 FR 11693, Mar. 25, 1985, unless otherwise noted.



Sec. 107.1  Purpose.

    This part establishes policy under 10 U.S.C. 1091, ``Contracts For 
Direct Health Care Providers,'' and assigns responsibility for 
implementing the authority for personal services contracts for direct 
health care providers.



Sec. 107.2  Applicability and scope.

    (a) This part applies to the Office of the Secretary of Defense 
(OSD) and the Military Departments.
    (b) It applies only to personal services contracts awarded under 10 
U.S.C. 1091 for direct health care providers.



Sec. 107.3  Definitions.

    (a) Personal Services Contract. A contract that, by its express 
terms or as administered, makes the contractor personnel appear, in 
effect, to be government employees.
    (b) Direct Health Care Providers. Health services personnel who 
participate in clinical patient care and services. This does not include 
personnel whose duties are primarily administrative or clerical, nor 
personnel who provide maintenance or security services.



Sec. 107.4  Policy.

    (a) It is the policy of the Department of Defense that when in-house 
sources are insufficient to support the medical mission of the Military 
Departments, personal services contracts under 10 U.S.C. 1091 may be 
executed.
    (b) It is the purpose of personal services contracts to facilitate 
mission accomplishment, maximize beneficiary access to military MTFs, 
maintain readiness capability, reduce use of the Civilian Health and 
Medical Program of the Uniformed Services (CHAMPUS), and enhance quality 
of care by promoting the continuity of the patient/provider 
relationship.
    (c) Personal services contractors shall be subject to the same 
quality assurance, credentialing processes, and other standards as those 
required of military health care providers. In addition, providers, 
other than para-professionals, must be licensed in accordance with State 
or host country requirements to perform the contract services.
    (d) In establishing lines of authority and accountability, DoD 
supervisors may direct the activities of personal services contractors 
on the same basis as DoD employees. However, the rights, benefits, and 
compensation of personal services contractors shall be determined solely 
in accordance with the personal service contract.
    (e) Requests for personal services contracts contemplating 
reimbursement at the maximum rate of basic pay and allowances under 10 
U.S.C. 1091 shall be approved at the major command level. The 0-6 grade 
shall be used sparingly and subsequently will be subject to review.



Sec. 107.5  Procedures.

    (a) Each contract under 10 U.S.C. 1091 with an individual or with an 
entity, such as a professional corporation or partnership, for the 
personal services of an individual must contain language specifically 
acknowledging the individual as a personal services contractor whose 
performance is subject to supervision and direction by designated 
officials of the Department of Defense.
    (b) The appearance of an employer-employee relationship created by 
the DoD supervision of a personal services contractor will normally 
support a limited recognition of the contractor as equal in status to a 
DoD employee in disposing of personal injury claims arising out of the 
contractor's performance. Personal injury claims alleging negligence by 
the contractor within the scope of his or her contract performance, 
therefore, will be processed as claims alleging negligence by DoD 
military or civil service personnel.
    (c) Compensation for personal services contractors under 10 U.S.C. 
1091 shall be within the limits established in the Table of Authorized 
Compensation Rates (see enclosure 1). Prorated compensation based upon 
hourly, daily, or weekly rates may be awarded when

[[Page 695]]

a contractor's services are not required on a full-time basis. In all 
cases, however, a contractor may be compensated only for periods of time 
actually devoted to the delivery of services required by the contract.
    (d) Contracts for personal services entered into shall be awarded 
and administered pursuant to the provisions of the Federal Acquisition 
Regulation (FAR), part 37 and DoD and departmental supplementary 
contracting provisions.



Sec. 107.6  Responsibilities.

    (a) The Military Departments shall be responsible for the management 
of the direct health care provider contracting program, ensuring that 
effective means of obtaining adequate quality care is achieved in 
compliance with the FAR, part 37. The portion of the Military Department 
regulations ensuring that compensation provided for a particular type of 
service is based on objective criteria and is not susceptible to 
individual favoritism shall be stressed.
    (b) The Office of the Assistant Secretary of Defense (Health 
Affairs) (OASD(HA)) shall be responsible for monitoring the personal 
services contracting program.



  Sec. Enclosure 1 to Part 107--Table of Authorized Compensation Rates

------------------------------------------------------------------------
                                         Compensation rate not to exceed
                                        --------------------------------
       Occupation/specialty group          Pay
                                          grade      Years of service
------------------------------------------------------------------------
I. Physicians and dentists.............     0-6  Over 26.
II. Other individuals, including nurse      0-5  Over 20 but less than
 practitioners, nurse anesthetists, and           22.
 nurse midwives, but excluding
 paraprofessionals.
III. All registered nurses, except          0-4  Over 16 but less than
 those who are included in Group II.              18.
IV. Paraprofessionals..................     0-3  Over 6 but less than 8.
------------------------------------------------------------------------



PART 108_HEALTH CARE ELIGIBILITY UNDER THE SECRETARIAL DESIGNEE 
PROGRAM AND RELATED SPECIAL AUTHORITIES--Table of Contents



Sec.
108.1 Purpose.
108.2 Applicability.
108.3 Definition.
108.4 Policy.
108.5 Eligible senior officials of the U.S. Government.
108.6 Responsibilities.

    Authority: 10 U.S.C. 1074(c); 10 U.S.C. 2559.

    Source: 75 FR 72682, Nov. 26, 2010, unless otherwise noted.



Sec. 108.1  Purpose.

    This part:
    (a) Establishes policy and assigns responsibilities under 10 U.S.C. 
1074(c) for health care eligibility under the Secretarial Designee 
Program.
    (b) Implements the requirement of 10 U.S.C. 2559 that the United 
States receive reimbursement for inpatient health care provided in the 
United States to foreign military or diplomatic personnel or their 
dependents, except in certain cases covered by Reciprocal Health Care 
Agreements (RHCAs) between the Department of Defense and a foreign 
country.



Sec. 108.2  Applicability.

    This part:
    (a) Applies to the Office of the Secretary of Defense, the Military 
Departments, the Office of the Chairman of the Joint Chiefs of Staff and 
the Joint Staff, the Combatant Commands, the Office of the Inspector 
General of the Department of Defense, the Defense Agencies, the DoD 
Field Activities, and all other organizational entities in the 
Department of Defense (hereafter referred to collectively as the ``DoD 
Components'').
    (b) Does not apply to health care services provided to coalition 
forces in operational settings, or to allied forces in overseas training 
exercises and similar activities. Also, does not apply to health care 
services provided to foreign nationals overseas under DoD Instruction 
3000.05,\1\ DoD Instruction 2205.2,\2\ or DoD Instruction 2310.08E.\3\
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    \1\ Copies available on the Internet at http://www.dtic.mil /whs/
directives /corres/pdf/ 300005p.pdf.
    \2\ Copies available on the Internet at http://www.dtic.mil /whs/
directives /corres/pdf/ 220502p.pdf.
    \3\ Copies available on the Internet at http://www.dtic.mil /whs/
directives /corres/pdf/ 231008p.pdf.

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[[Page 696]]



Sec. 108.3  Definition.

    Secretarial Designee Program. The program established under section 
1074(c) to create by regulation an eligibility for health care services 
in military medical treatment facilities (MTFs) as well as dental 
treatment facilities for individuals who have no such eligibility under 
10 U.S.C. chapter 55.



Sec. 108.4  Policy.

    It is DoD policy that:
    (a) General Policy. The use of regulatory authority to establish DoD 
health care eligibility for individuals without a specific statutory 
entitlement or eligibility shall be used very sparingly, and only when 
it serves a compelling DoD mission interest. When used, it shall be on a 
reimbursable basis, unless non-reimbursable care is authorized by this 
part or reimbursement is waived by the Under Secretary of Defense 
(Personnel & Readiness) (USD(P&R)) or the Secretaries of the Military 
Departments when they are the approving authority.
    (b) Foreign Military Personnel and Their Dependents. (1) MTF Care in 
the United States. Foreign military personnel in the United States under 
the sponsorship or invitation of the Department of Defense, and their 
dependents approved by the Department of Defense to accompany them, are 
eligible for space-available care as provided in DoD Instruction 
1000.13.\4\ Consistent with 10 U.S.C. 2559, in cases in which 
reimbursement is required by DoD Instruction 1000.13, a RHCA may provide 
a waiver of reimbursement for inpatient and/or outpatient care in the 
United States in a military medical treatment facility for military 
personnel from a foreign country and their dependents, if comparable 
care is made available to at least a comparable number of U.S. military 
personnel and their dependents in that foreign country. A disparity of 
25 percent or less in the number of foreign personnel and dependents 
above U.S. personnel and dependents shall be considered within the range 
of comparable numbers.
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    \4\ Copies available on the Internet at http://www.dtic.mil /whs/
directives /corres/pdf /100013p.pdf.
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    (2) Non-MTF Care in the United States. Foreign military personnel in 
the United States under the sponsorship or invitation of the Department 
of Defense, and their dependents approved by the Department of Defense 
to accompany them, are not eligible for DoD payment for outpatient or 
inpatient care received from non-DoD providers, except for such 
personnel covered by the North Atlantic Treaty Organization Status of 
Forces Agreement (SOFA) or the Partnership for Peace SOFA and authorized 
care under the TRICARE Standard program according to Sec. 199.3 of 
title 32, Code of Federal Regulations, outpatient care may be provided 
as specified therein.
    (c) Foreign Diplomatic or Other Senior Foreign Officials. Foreign 
diplomatic or other senior foreign officials and the dependents of such 
officials may be provided inpatient or outpatient services in MTFs only 
in compelling circumstances, including both medical circumstances and 
mission interests, and through case-by-case approval.
    (1) In the United States, the approval authority is the USD(P&R). 
The authority to waive reimbursement for care provided in the United 
States, to the extent allowed by law, is the USD(P&R) or the Secretaries 
of the Military Departments when they are the approving authority.
    (2) Requests from the State Department or other agency of the U.S. 
Government will be considered on a reimbursable basis.
    (3) Under 10 U.S.C. 2559, reimbursement to the United States for 
care provided in the United States on an inpatient basis to foreign 
diplomatic personnel or their dependents is required.
    (d) Other Foreign Nationals. Other foreign nationals (other than 
those described in paragraphs (b) and (c) of this section) may be 
designated as eligible for space-available care in MTFs only in 
extraordinary circumstances.
    (1) The authority to waive reimbursement for care provided in the 
United States, to the extent allowed by law, is the USD(P&R) or the 
Secretaries of the Military Departments when they are the approving 
authority. Waiver requests will only be considered based on a direct and 
compelling relationship to a priority DoD mission objective.

[[Page 697]]

    (2) Requests from the State Department or other agency of the U.S. 
Government will be considered on a reimbursable basis. Such requests 
must be supported by the U.S. Ambassador to the country involved and the 
Geographical Combatant Commander for that area of responsibility and 
must be premised on critically important interests of the United States.
    (e) Invited Persons Accompanying the Overseas Force. The Secretaries 
of the Military Departments and the USD(P&R) may designate as eligible 
for space-available care from the Military Health System outside the 
United States those persons invited by the Department of Defense to 
accompany or visit the military force in overseas locations or invited 
to participate in DoD-sponsored morale, welfare, and recreation 
activities. This authority is limited to health care needs arising in 
the course of the invited activities. Separate approval is needed to 
continue health care initiated under this paragraph in MTFs in the 
United States.
    (1) In the case of employees or affiliates of news organizations, 
all care provided under the authority of introductory paragraph (e) of 
this section is reimbursable. For other individuals designated as 
eligible under this paragraph (e), the designation may provide, to the 
extent allowed by law, for outpatient care on a non-reimbursable basis, 
and establish a case-by-case authority for waiver of reimbursement for 
inpatient care.
    (2) This paragraph (e) does not apply to employees of the Executive 
Branch of the United States or personnel affiliated with contractors of 
the United States.
    (f) U.S. Nationals Overseas. Health care for U.S. nationals overseas 
is not authorized, except as otherwise provided in this part.
    (g) U.S. Government Civilian Employees and Contractor Personnel. (1) 
Civilian employees of the Department of Defense and other government 
agencies, and employees of DoD contractors, and the dependents of such 
personnel are eligible for MTF care to the extent provided in DoD 
Instruction 1000.13.
    (2) Occupational health care services provided to DoD employees 
under 5 U.S.C. 7901, authorities cited in DoD Instruction 6055.1,\5\ or 
under other authorities except 10 U.S.C. 1074(c) are not affected by 
this Instruction. The Secretaries of the Military Departments and the 
USD(P&R) may designate DoD civilian employees, applicants for 
employment, and personnel performing services for the Department of 
Defense under Federal contracts as eligible for occupational health care 
services required by the Department of Defense as a condition of 
employment or involvement in any particular assignment, duty, or 
undertaking.
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    \5\ Copies available on the Internet at http://www.dtic.mil /whs/
directives /corres/pdf/ 605501p.pdf.
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    (3) Any health care services provided by the Military Health System 
to employees of DoD non-appropriated fund instrumentalities shall be on 
a reimbursable basis.
    (4) In the case of DoD civilian employees forward deployed in 
support of U.S. military personnel engaged in hostilities, eligibility 
for MTF care (in addition to all eligibility for programs administered 
by the Department of Labor Office of Workers' Compensation Programs 
(OWCP)) is as follows:
    (i) Consistent with Policy Guidance for Provision of Medical Care to 
DoD Civilian Employees Injured or Wounded While Forward Deployed in 
Support of Hostilities,\6\ DoD civilian employees who become ill, 
contract diseases, or are injured or wounded while so deployed are 
eligible for medical evacuation or health care treatment and services in 
MTFs at the same level and scope provided to military personnel, all on 
a non-reimbursable basis, until returned to the United States.
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    \6\ Copies available at OASD (Health Affairs/TMA FHP&RP), 1200 
Defense Pentagon, Room 3E1073, Washington, DC 20301-1200.
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    (ii) DoD civilian employees who, subsequent to such deployment, and 
have been determined to have OWCP-compensable conditions are eligible 
for MTF care for such conditions, all on a non-reimbursable basis.
    (iii) USD(P&R) may, under compelling circumstances, approve 
additional eligibility for care in MTFs for other U.S. Government 
civilian employees

[[Page 698]]

who become ill or injured while so deployed, or other DoD civilian 
employees overseas.
    (5) Contractor Personnel Authorized to Accompany U.S. Armed Forces. 
In the case of contractor personnel authorized to accompany U.S. Armed 
Forces in deployed settings under DoD Instruction 3020.41,\7\ MTF care 
may be provided as stated in DoD Instruction 3020.41.
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    \7\ Copies available on the Internet at http://www.dtic.mil /whs/
directives /corres/pdf/ 302041p.pdf.
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    (h) Emergency Health Care. The Secretaries of the Military 
Departments and the USD(P&R) may designate emergency patients as 
eligible for emergency health care from MTFs in the United States 
pursuant to arrangements with local health authorities or in other 
appropriate circumstances. Such care shall be on a reimbursable basis, 
unless waived by the USD(P&R) or the Secretaries of the Military 
Departments when they are the approving authority.
    (i) Research Subject Volunteers. Research subjects are eligible for 
health care services from MTFs to the extent DoD Components are required 
by DoD Directive 3216.02 \8\ to establish procedures to protect subjects 
from medical expenses that are a direct result of participation in the 
research. Such care is on a non-reimbursable basis and limited to 
research injuries (unless the volunteer is otherwise an eligible health 
care beneficiary). Care is authorized during the pendency of the 
volunteer's involvement in the research, and may be extended further 
upon the approval of the USD(P&R).
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    \8\ Copies available on the Internet at http://www.dtic.mil /whs/
directives /corres/pdf/ 321602p.pdf.
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    (j) Continuity of Care Extensions of Eligibility. The Secretaries of 
the Military Departments and the USD(P&R) may establish temporary 
eligibility on a space-available basis for former members and former 
dependents of members of the seven Uniformed Services for a limited 
period of time, not to exceed 6 months, or in the case of pregnancy the 
completion of the pregnancy, after statutory eligibility expires when 
appropriate to allow completion or appropriate transition of a course of 
treatment begun prior to such expiration. In the case of a pregnancy 
covered by this paragraph, the designation of eligibility may include 
initial health care for the newborn infant. Care under this paragraph is 
authorized on a non-reimbursable basis for the former member or former 
dependent of member. Care under this paragraph for the newborn of those 
former members or former dependents is authorized but on a full 
reimbursable basis unless the Secretary of the Military Department elect 
to use Secretarial Designee status for the newborn.
    (k) Members of the Armed Forces. The Secretaries of the Military 
Departments and the USD(P&R) may establish eligibility not specifically 
provided by statute for critical mission-related health care services 
for designated members of the Armed Forces, such as Reserve Component 
members not in a present duty status. This authority includes payment 
for health care services in private facilities to the extent authorized 
by 10 U.S.C. 1074(c). Care under this paragraph is non-reimbursable.
    (l) Certain Senior Officials of the U.S. Government. The officials 
and others listed in Sec. 108.5 of this part are designated as eligible 
for space-available inpatient and outpatient health care services from 
the Military Health System on a reimbursable basis.
    (m) Nonmedical Attendants. The Secretaries of the Military 
Departments and the USD(P&R) may designate as eligible for space 
available MTF care persons designated as nonmedical attendants as 
defined by 37 U.S.C. 411k(b). Costs of medical care rendered are 
reimbursable unless reimbursement is waived by the Secretary of the 
Military Department concerned or USD(P&R). This authority is limited to 
health care needs arising while designated as a nonmedical attendant.
    (n) Patient Movement. Provisions of this Instruction concerning 
inpatient care shall also apply to requests for patient movement through 
the medical evacuation system under DoD Instruction 6000.11.\9\ 
Aeromedical evacuation transportation assets are reserved for

[[Page 699]]

those individuals designated as Secretarial Designees who need 
transportation to attain necessary health care.
---------------------------------------------------------------------------

    \9\ Copies available on the Internet at http://www.dtic.mil/whs/
directives/corres/pdf/600011p.pdf.
---------------------------------------------------------------------------

    (o) Other Individuals Entitled to DoD Identification (ID) Card. 
Other individuals entitled to a DoD ID card under DoD Instruction 
1000.13 are eligible for space-available MTF health care to the extent 
provided in DoD Instruction 1000.13.
    (p) Reciprocity Among Military Departments. Subject to the 
capabilities of the professional staff, the availability of space and 
facilities, and any other limitation imposed by the approving authority, 
all Services will provide medical treatment to individuals who have been 
granted Secretarial designee status by any of the Secretaries of the 
Military Departments. Each agreement must identify the specific MTF or 
geographical region in which medical care is requested, requiring close 
coordination among service program managers.



Sec. 108.5  Eligible senior officials of the U.S. government.

    (a) The following individuals are Secretarial Designees for space-
available care in MTFs on a reimbursable basis, unless specified 
otherwise by a Service Secretary:
    (1) The President and Vice President, and their spouses and minor 
children.
    (2) Members of Congress.
    (3) Members of the Cabinet.
    (4) Officials of the Department of Defense appointed by the 
President and confirmed by the Senate.
    (5) Article III Federal Judges. (Article III courts are: The Supreme 
Court of the United States, U.S. Courts of Appeal, U.S. District Courts, 
U.S. Court of International Trade, United States Foreign Intelligence 
Surveillance Court, United States Foreign Intelligence Surveillance 
Court of Review.)
    (6) Judges of the U.S. Court of Appeals for the Armed Forces.
    (7) Assistants to the President.
    (8) Director of the White House Military Office.
    (9) Former Presidents of the United States and their spouses, 
widows, and minor children.
    (b) [Reserved]



Sec. 108.6  Responsibilities.

    (a) The USD(P&R) shall:
    (1) Evaluate requests for and where appropriate, grant exceptions to 
policy established by this part and DoD Directive 5124.02,\10\ including 
waiver of reimbursement, to the extent allowed by law.
---------------------------------------------------------------------------

    \10\ Copies available on the Internet at http://www.dtic.mil/whs/
directives/corres/pdf/512402p.pdf.
---------------------------------------------------------------------------

    (2) Following approval of the USD(P) and in coordination with USD(P) 
and the GC, DoD, and in accordance with DoD Directive 5530.3,\11\ begin 
negotiations, negotiate, and have the authority to sign RHCAs.
---------------------------------------------------------------------------

    \11\ Copies available on the Internet at http://www.dtic.mil/whs/
directives/corres/pdf/553003p.pdf.
---------------------------------------------------------------------------

    (b) The USD(P) shall evaluate requests and determine DoD mission 
interest for Secretarial Designee Status and RHCAs to identify those 
agreements that would be in the best interest of the Department of 
Defense and approve negotiations of RHCAs by the USD(P&R).
    (c) The USD(C) shall in coordination with USD(P&R), establish 
appropriate reimbursement rates, including appropriate interagency rates 
and rates applicable to students in International Military Education and 
Training programs.
    (d) The Under Secretary of Defense for Acquisition, Technology, and 
Logistics shall evaluate requests for Exception to the Transportation 
Policy. The authority to grant such a exception is by USD(P&R) or the 
Secretary of the Military Department concerned.
    (e) The Secretaries of the Military Departments shall:
    (1) Issue, revise or modify as appropriate, regulations to comply 
with this part.
    (2) Appoint a Military Department representative who will administer 
the Secretarial Designee Program within the Military Department and 
coordinate with other DoD Components in its effective operation.
    (3) Where and when appropriate, the Military Department concerned 
shall coordinate with U.S. Transportation Command/Global Patient 
Movement Requirements Center.
    (4) Identify Secretarial Designees treated at MTFs.

[[Page 700]]

    (5) Provide an annual consolidated list reflecting the number of 
Secretarial Designees within their departments, reasons for such 
designation, location where designee is receiving treatment, the costs 
and sources of funding, nature and duration of treatment and expiration 
date of designee status to USD(P&R) and USD(C). The annual report is due 
30 days after the start of the fiscal year reflecting the prior fiscal 
year's information.
    (i) In cases where the USD(P&R) designates an individual as a 
Secretarial Designee, the Military Department concerned shall include 
this individual on any lists provided to USD(P&R) and USD(C) for 
reporting purposes.
    (ii) Annually consolidate Secretarial Designee patient costs and 
forward those data to USD(P&R) and OSD(C), along with a report of 
collection for reimbursable costs.
    (f) The Commanders of the Geographic Combatant Commands (GCCs) 
shall:
    (1) Refer requests to waive reimbursement through the Chairman of 
the Joint Chiefs of Staff to the USD(P&R).
    (2) Refer requests for Secretarial Designee status for medical care 
in the United States through the Chairman of the Joint Chiefs of Staff 
to USD(P&R).
    (3) Through the Chairman of the Joint Chiefs of Staff, provide 
written annual reports to the USD(P&R) and USD(C) reflecting the number 
of individuals designated as Secretarial Designees within their 
geographic area of responsibility, the reasons for such designation, the 
expected duration of such designation, the costs and sources of funding 
authorizing the support of such designee status for each designee.
    (4) Identify Secretarial Designees treated at MTFs within their 
geographic area of responsibility.
    (5) Provide for an accounting and collection system for 
reimbursement of medical costs within their geographic area of 
responsibility.
    (g) The Commander, United States Transportation Command shall:
    (1) Coordinate patient movement with all concerned Military 
Departments.
    (2) Upon request of the Military Department concerned or Commanders 
of the GCCs, determine availability of DoD transportation assets, or 
when cost effective, coordinate with civilian ambulance authorities, to 
effect transportation of Secretarial Designee as appropriate.
    (3) Ensure the Global Patient Movement Requirements Center, as the 
regulating agency, will consistently serve as the single point of 
contact for patient movement for Secretarial Designee patients using DoD 
assets upon request.
    (4) Annually consolidate Secretarial Designee patient listing who 
utilized the DoD patient movement system and forward to USD(P&R) and 
USD(C).



PART 110_STANDARDIZED RATES OF SUBSISTENCE ALLOWANCE AND COMMUTATION
INSTEAD OF UNIFORMS FOR MEMBERS OF THE SENIOR RESERVE OFFICERS' 
TRAINING CORPS--Table of Contents



Sec.
110.1 Reissuance and purpose.
110.2 Applicability.
110.3 Policy.
110.4 Responsibilities.
110.5 Procedures.
110.6 Information requirement.

Appendix A to Part 110--Climatic Zones Used To Determine Rates of 
          Commutation Allowance
Appendix B to Part 110--Formula for ROTC Commutation Rates
Appendix C to Part 110--Application of Basic Course Formula (Male and 
          Female Members) (Sample)
Appendix D to Part 110--Application of Advanced Course Formula (Male and 
          Female Members) (Sample)
Appendix E to Part 110--Application of 4-Week Summer Field Training 
          Formula (Sample)

    Authority: 10 U.S.C. 2101-2111, 37 U.S.C. 209, 50 App. U.S.C. 
456(a).

    Source: 51 FR 26886, July 28, 1986, unless otherwise noted.



Sec. 110.1  Reissuance and purpose.

    This part reissues 32 CFR part 110 implementing Pub. L. 88-647, 92-
171, and 98-94 and updates policy, assigns responsibilities, and 
prescribes procedures for determining commutation rates for Reserve 
Officers' Training Corps (ROTC) detachments offered

[[Page 701]]

commutation funds instead of uniforms.



Sec. 110.2  Applicability.

    This part applies to the Office of the Secretary of Defense (OSD), 
the Military Departments, and the Defense Logistics Agency (DLA) 
(hereafter referred to collectively as ``DoD Components''). The term 
``Military Services,'' as used herein, refers to the Army, Navy, Air 
Force, and Marine Corps.



Sec. 110.3  Policy.

    It is DoD policy to provide subsistence allowance in accordance with 
Pub. L. 92-171 and to eligible participants of senior ROTC programs and 
commutation funds instead of uniforms (section 2110, Pub. L. 88-647) for 
members of senior ROTC programs at eligible schools.



Sec. 110.4  Responsibilities.

    (a) The Assistant Secretary of Defense (Force Management and 
Personnel) (ADS(FM&P)), or designee, shall:
    (1) Administer the overall DoD ROTC program.
    (2) Maintain liaison with the Military Departments regarding the 
functioning of the ROTC program.
    (3) Announce the standard rates of commutation instead of uniforms 
to the Military Departments not later than August 1 each year.
    (b) The Director, Defense Logistics Agency (DLA), shall provide the 
Military Departments during December of each year the current unit price 
list of uniform items to be used the following fiscal year.
    (c) The Secretaries of the Military Departments shall:
    (1) Prescribe the standard uniform items for each climatic zone, 
sex, and course (basic and advanced) in quantities authorized to be 
provided.
    (2) Develop the communication rates, based on the standard Military 
Service uniforms, and establish procedures for rate review on an annual 
basis.
    (3) Submit to the ASD(FM&P) an estimate of the rates of commutation, 
based on the latest DLA clothing rate, for climatic zones by sex and 
course not later than July 1 of each year.
    (4) Classify educational institutions as Military Colleges (MC), 
Civilian Colleges (CC), or Military Junior Colleges (MJC), hereafter 
also called schools.
    (5) Conduct inspections to ensure that the schools meet the 
requirements for the respective classifications and that those receiving 
commutation funds provide quality uniforms in sufficient quantities.
    (6) Program and budget for subsistence allowance and commutation, 
instead of uniforms, for members of the senior ROTC program.



Sec. 110.5  Procedures.

    (a) Classification of institutions hosting Senior ROTC Units. 
Educational institutions hosting senior ROTC units maintained by the 
Military Departments shall be classified as essentially military or 
civilian colleges or universities.
    (1) The classification MC shall be assigned to units established in:
    (i) Essentially military colleges or universities that, for purposes 
of qualifying as an MC under 50 U.S.C. App. 456(a)(1):
    (A) Confer baccalaureate or graduate degrees.
    (B) Require a course in military training throughout the 
undergraduate course for all qualified undergraduate students.
    (C) Organize their military students as a corps of cadets under 
constantly maintained military discipline.
    (D) Require all members of the corps, including those nonmembers 
enrolled in the ROTC, to be habitually in uniform when on campus.
    (E) Have as their objective the development of the military 
students' character by means of military training and the regulation of 
their conduct in accordance with the principles of military discipline.
    (F) In general, meet military standards similar to those maintained 
at the Military Service academies.
    (ii) The designation ``all qualified undergraduate students,'' under 
paragraph (a)(i)(B) of this section means all physically fit students 
except:
    (A) Female students who waive their right to participate as provided 
by Pub. L. 95-485, section 809.
    (B) Foreign nationals.

[[Page 702]]

    (C) Students who are not liable for induction by virtue of having 
honorably completed active training and service.
    (D) Students who are pursuing special undergraduate courses beyond 4 
years after completing the required military training.
    (E) Certain categories of students who are excused specifically by 
administrative decision and approved by the ROTC unit commander.
    (2) The classification CC shall be assigned when units are 
established at civilian colleges and universities that are not operated 
on an essentially military basis, but that confer baccalaureate or 
graduate degrees.
    (3) The classification MJC shall be assigned when ROTC units are 
established at essentially military schools that provide junior college 
or junior college and high school instruction, but DO NOT confer 
baccalaureate degrees. Those units shall meet all other requirements of 
an MC. (See Pub. L. 88-647).
    (b) Qualifying for the special rate of commutation. (1) To qualify 
for payment at the special rate of commutation instead of uniforms, an 
institution classified MC or CC shall meet in addition to paragraphs (a) 
(1), or (2), respectively the requirements below. An institution 
classified an MJC shall meet, in addition to paragraph (a)(1) (except 
paragraphs (a)(1)(i) (A) and (B)), the requirements below:
    (i) Organize and maintain within their undergradute student bodies a 
self-contained corps of cadets.
    (ii) Require all members of the corps of cadets to be in appropriate 
uniform at all times while on the campus.
    (iii) House all members of the corps of cadets in barracks separate 
from nonmembers.
    (iv) Require all members of the corps of cadets to be under 
constantly maintained military discipline on a 24-hours-per-day, 7-days-
per-week basis.
    (v) Require all physically qualified members of the above corps of 
cadets to be enrolled in the basic course of ROTC, except:
    (A) Female students who waive their right to participate as provided 
by Pub. L. 95-485.
    (B) Foreign nationals.
    (C) Students who are not liable for induction by virtue of having 
completed honorably active training and service.
    (D) Certain categories of students are excused specifically by 
administrative decisions.
    (E) Other students whose enrollment is prevented by provisions or 
appropriate regulations of a Military Department.
    (2) MCs, CCs, or MJCs may be paid the special rate of commutation 
only for those members of the corps of cadets meeting the requirements 
set forth in paragraph (b)(1), who are enrolled in ROTC. The 
requirements of paragraphs (b)(1) (iii) and (iv), may be waived for 
married students, graduate students, and day students who are not housed 
with the corps of cadets. Day students are those ROTC cadets who are 
authorized by university officials to reside off campus within a 
reasonable commuting distance to the university.
    (3) Institutions designated as MCs may enroll into the ROTC, of the 
appropriate Military Service, those students who, for various reasons, 
are not required to be members of the corps of cadets. These 
institutions shall receive, for such student only, the standard 
commutation rate. The special rate shall be authorized for eligible 
females who elect to participate as enrolled senior ROTC cadets, 
provided that the requirements of paragraphs (b)(1) (ii), (iii), and 
(iv) are met or unless these requirements are waived under the 
provisions of paragraph (a)(1)(ii)(E).
    (c) Subsistence allowance and commutation rates--(1) Subsistence 
allowances. Payment that is made by the Military Departments instead of 
rations to each contract cadet enrolled in the advanced course and for 
each scholarship cadet enrolled in the basic or advanced course.

Payments are as prescribed in the DoD Military Pay and Allowances 
Entitlements Manual, part 8, chapter 4. The following rates are 
established for payment of subsistence allowance:
    (i) Except when on summer fiel training or practice cruises, when 
subsistence in kind is furnished, or when otherwise on active duty, the 
subsistence allowance for each enrolled member of

[[Page 703]]

the advanced training program in the senior ROTC shall be $100 per month 
for not more than a total of 20 months.
    (ii) Except when on summer field training or practice cruises, when 
subsistence in kind is furnished, the subsistence allowance for each 
cadet or midshipman appointed under the financial assistance program for 
specially selected members, under the provisions of Pub. L. 88-647, 
shall be $100 per month for not more than a total of 20 months during 
the basic course training program and $100 per month for not more than a 
total of 20 months during the advanced course training program unless 
the individual has been authorized extended entitlements under the 
provisions of Pub. L. 98-94. The $100 per month subsistence may be 
authorized for not more than a total of 30 months during the advanced 
course training program when an extended financial assistance 
entitlement is approved by the Military Service Secretary of the 
Military Department concerned.
    (2) Commutation instead of uniforms. Commutation is payment made by 
the Military Departments to an institution instead of the issue of 
uniforms to ROTC cadets in accordance with Pub. L. 88-647. Certain MCs, 
CCs, and MJCs that maintain senior ROTC units may elect to receive 
commutation instead of Government clothing. In such instances, the 
commutation rate shall include not only the uniform, but the 
procurement, receipt, storage, maintenance, and issue of the uniform as 
outlined in paragraph (c)(2)(xi), and shown in Appendix B.
    (i) The Military Departments shall develop the commutation rates and 
establish procedures for their review on an annual basis. The review 
shall be scheduled during May so that the current unit price list 
disseminated by the DLA during the previous December of each year can be 
used to develop the commutation rates and made available to institutions 
for use at the beginning of the fall term. The commutation payment shall 
be made to the institutions based on the number of students enrolled and 
in attendance for at least 60 consecutive days.
    (ii) Commutation rates for uniforms shall be based on the latest 
approved items of clothing for each climatic zone and computed using the 
formulas listed in Appendix B. Appendices C, D, and E are examples of 
the application of the various formulas to determine the amounts that 
can be paid to qualifying institutions.
    (iii) Standard commutation rates for the basic course (first 2 
years) of the senior ROTC shall be payable in the indicated amount on an 
annual basis not to exceed 2 years to CCs that offer Military Science 
(MS) I and II or equivalent. The rates shall be paid after cadets have 
been enrolled 60 days.
    (iv) Standard rates for the advanced course cover the 2-year period 
that each member is enrolled in advanced course training in the senior 
ROTC (Appendix D). These rates shall be paid after cadets have been 
enrolled for 60 days in the advanced course. Commutation funds for camp 
uniforms, if paid, shall be in addition to payments for the advanced 
course.
    (v) Special rates of commutation shall be paid for students enrolled 
at MCs, CCs, or MJCs fulfilling the requirements of paragraph (b).
    (vi) Special rates of commutation shall be identical for all the 
Military Services for those qualifying institutions defined in paragraph 
(b). These rates shall be three times the highest standard rate 
submitted by sex and course from the Military Departments for climatic 
zones 1 or 2. Each Military Department shall submit special rate 
estimates for zones 1 and 2 to the Assistant Secretary of Defense 
(ASD(FM&P), or designee, not later than July 1. The special rates shall 
be announced by the ASD(FM&P), or designee, not later than August 1 of 
each year.
    (vii) Special rates of commutation for students enrolled in the 
basic course (MS I and II or equivalent) of MCs, CCs, and MJCs shall be 
paid on an annual basis not to exceed 2 years. Special rates for 
students enrolled in the advanced course (MS III and IV or equivalent) 
of MCs, CCs, or MJCs shall be paid for the 2-year period that each 
member is enrolled in the advanced course.
    (viii) Commutation for the basic course and the advanced course 
shall be paid based on Appendices C and D, respectively.

[[Page 704]]

    (ix) One-half of the special commutation rate shall be paid to the 
institution for those students enrolled in the second year of the 
advanced course for whom the institution previously has not received 
commutation.
    (x) The standard rates shown in Appendix E for summer field training 
are not subject to the special commutation rate adjustment.
    (xi) Commutation of uniform funds may be expended to support ONLY 
the following activities:
    (A) Procurement, receipt, storage, and issue expenses not to exceed 
10 percent of the cost for standard uniform items in quantities as 
prescribed by the Secretary of the Military Department concerned, or 
distinctive uniforms and insignia as prescribed by those institutions 
that meet the requirements of paragraph (b). Marking up or raising the 
price of that paid by an institution when items are purchased from 
military inventories is not authorized.
    (B) Alteration and maintenance of the uniform, which is defined as 
laundry, dry cleaning, renovation, alterations and sizing, not to exceed 
$10 per uniform.
    (C) Salary payments to the property custodian for custody of 
uniforms purchased with commutation funds. Such custodial fees shall not 
exceed the specified percent of the commutation funds received against 
the actual enrollments in each course listed below for the immediate 
past academic year:
    (1) 15 percent of basic course.
    (2) 5 percent of advance course.
    (3) 5 percent of field training (when applicable).
    (D) Purchase of hazard insurance to protect uniform inventory 
against loss.
    (xii) Unexpended commutation of uniform funds is the balance 
remaining after all commitments or obligations relating to the immediate 
past academic year and the amount of retained uniform commutation funds 
(see paragraph (c)(2)(xii)(A)) have been deducted. The unexpended 
balance shall be computed as of July 1 each year. Commitments or 
obligations relating to new year procurement, maintenance, or other 
allowable activities may not be charged against the unexpended balance. 
As an exception, the unexpended balance may be used for paying bills for 
procurements of past academic years that are submitted AFTER the cutoff 
date of the report required by paragraph (c)(2)(xii)(C).
    (A) The amount of unexpended uniform commutation funds an 
institution may retain from 1 academic year to the next for continued 
financing of the uniform program is the greater of $3500 or 20 percent 
of the uniform entitlement for the immediate past academic year.
    (B) Accumulated funds that exceed this limitation shall be returned 
to the Military Services.
    (C) As of July 1 of each year, a uniform commutation report DD Form 
2340, ``Annual Report on Uniform Commutation Fund'' shall be completed 
by the institution receiving commutation funds and submitted to the 
appropriate authority for each Military Service by July 31.
    (1) The uniform commutation report shall include a detailed list of 
expenditures, total funds available for the immediate past academic 
year, including the unexpended balance from the last report, an 
explanation of any monetary adjustments and errors, the balance of funds 
on hand, and the amount being refunded to the appropriate Military 
Service as the unexpended balance, if any. The report shall be 
coordinated with ROTC unit commanders and signed by the appropriate 
institutional official who maintains records of the receipt of funds.
    (2) All records on the receipt and expenditure of commutation funds 
shall be subject to periodic audit and inspection. Institution officials 
shall be responsive to recommendations made.
    (d) Inspection. Inspections shall be conducted when an ROTC unit is 
initially established at an institution that does not already host 
another Military Service ROTC unit. Inspections shall ensure that only 
those institutions that meet the requirements of paragraphs (a)(1) or 
(3), are awarded the MC or MJC classification and only those awarded MC, 
CC, and MJC classifications that meet the additional requirements of 
paragraph (b) shall be authorized the special rate of commutation 
instead of uniforms. Inspections of established units at MCs, CCs, and 
MJCs shall be conducted on an exception basis.

[[Page 705]]

    (1) The Secretaries of Military Departments shall prescribe specific 
inspection procedures applicable to ROTC units of their respective 
Military Services.
    (2) When discrepancies are noted at institutions, their 
classifications shall be subject to review for resolution or withdrawal 
by the Secretaries of the Military Department concerned. In the instance 
of withdrawal of classification, the appropriate Military Service's 
review of, and final notification to, the institution shall be within 30 
days of the date the discrepancy was noted.



Sec. 110.6  Information requirement.

    The reporting requirement for paragraph (c)(2)(xii)(C) is assigned 
OMB No. 0704-0200.



 Sec. Appendix A to Part 110--Climatic Zones Used To Determine Rates of 
                          Commutation Allowance

                                 Zone I

1. Alabama
2. Arizona, only 100 mile-wide belt along south border
3. Arkansas, southern two-thirds
4. California, except area north of 37[deg]
5. Florida
6. Georgia
7. Guam
8. Hawaii
9. Kentucky, southeastern one-third
10. Louisiana
11. Mississippi
12. New Mexico, only 100 mile-wide belt along south border
13. North Carolina
14. Oklahoma, only southeastern portion
15. Puerto Rico
16. South Carolina
17. Tennessee, except northwest corner
18. Texas, except area border of 34[deg] north

                                 Zone II

1. Alaska
2. Arizona, except 100 mile-wide belt along south border
3. Arkansas, northern one-third
4. California, area south of 37[deg] north
5. Colorado
6. Connecticut
7. Delaware
8. District of Columbia
9. Idaho
10. Illinois
11. Indiana
12. Iowa
13. Kansas
14. Kentucky, NW two-thirds
15. Maine
16. Maryland
17. Massachusetts
18. Michigan
19. Minnesota
20. Missouri
21. Montana
22. Nebraska
23. Nevada
24. New Hampshire
25. New Jersey
26. New Mexico, except a 100 mile-wide belt along south border
27. New York
28. North Dakota
29. Ohio
30. Oklahoma, except the southeast portion
31. Oregon
32. Pennsylvania
33. Rhode Island
34. South Dakota
35. Tennessee, only the northwest corner
36. Texas, only area north of 34[deg] north
37. Utah
38. Vermont
39. Virginia
40. Washington
41. West Virginia
42. Wisconsin
43. Wyoming

    The climate zones listed above are to be used as a guide to 
determine clothing requirements for a specific detachment. Wind chill 
equivalent temperatures can vary widely for areas within close proximity 
to each other due to variations in wind velocity and elevation. 
Detachment commanders may request a zone change by submitting evidence 
to the Major Command of the appropriate Military Service that the wind 
chill equivalent temperature for the coldest month has been within the 
limits of the requested zone classification for the past 3 consecutive 
years.

 Attachment to Appendix A to Part 110--Climatic Zones Used To Determine 
                Rates of Commutation Allowance (Formula)

    The Standard and special commutation rates are based on the latest 
approved items of clothing for each climatic zone. The zones are:

------------------------------------------------------------------------
                   Zone                          Temperature range
------------------------------------------------------------------------
1........................................  32 degrees Fahrenheit and
                                            above.
2........................................  Below 32 degrees Fahrenheit.
------------------------------------------------------------------------

    To determine the appropriate zone for each ROTC detachment, use the 
table below. Enter the appropriate dry bulb temperature at the top and 
read down. Find the wind velocity on the left and read across. The 
intersection of the two lines provides the equivalent temperature. For 
example, a combination of 20 degrees Fahrenheit and a 10 mile-per-hour 
wind has a wind chill equivalent

[[Page 706]]

temperature of 3 degrees Fahrenheit. The wind chill equivalent 
temperature is based on the average monthly temperature and wind of the 
coldest month for each of the past 3 consecutive years.



     Sec. Appendix B to Part 110--Formula For ROTC Commutation Rates

                 Basic Course (General Military Course)

Total Pkg. Cost of Auth. Items + 10% Procurement Cost = Adjusted Pkg. 
          Cost--Amortized by: 2-Yr. Life Shoes & Socks; 2-Yr. Life 
          Insignia; 5-Yr. Life Bal. of Pkg.
 + 15% Custodial Fees + $10.00 Uniform Alteration and Maint.= Net Rate 
          Per Yr. (Rounded to nearest $)

             Advanced Course (Professional Officers Course)

Total Pkg. Cost of Auth. Items-\1/2\ Amt. of Insignia Cost (2-yr. 
          Amortization) + 5% Custodial Fees + $10.00 Uniform Alteration 
          & Maint. = Net Rate 2-yr. period (Rounded to nearest $)

                      Summer Camp (Field Training)

Total Pkg. Cost of Auth. Items-Amortized by 2-yr. Life (Entire pkg., 
          except shoes and socks) + 5% Custodial Fees + $10.00 Uniform 
          Alteration & Maint. = Net Rate 2-yr. period (Rounded to 
          nearest $)



 Sec. Appendix C to Part 110--Application of Basic Course Formula (Male 
                      and Female Members) (Sample)

------------------------------------------------------------------------
                                                      Zone I    Zone II
------------------------------------------------------------------------
Total package cost (authorized items).............    $159.29    $180.62
Plus 10% procurement cost.........................      15.93      18.06
                                                   ---------------------
Adjusted package cost.............................     175.22     198.68
                                                   =====================
Amortization:
    2-years socks (50% of $1.28)..................        .64        .64
    2-years shoes (50% of 14.00)..................       7.00       7.00
    2-years insignia (50% of 15.00), if applicable       7.50       7.50
    5-years balance package (20% of $144.94, Zone       28.99      33.68
     I) (20% of $168.40, Zone II).................
                                                   ---------------------
      Amortized package cost......................      44.13      48.82
                                                   =====================
Add:
    15% custodial fees (15% of amortized package         6.62       7.32
     cost)........................................
    Uniform Alteration and Maintenance............      10.00      10.00
                                                   ---------------------
      Total.......................................      16.62      17.32
Net rate..........................................      60.75      66.14
Rounded for official standard rate (per year).....      61.00      66.00
Special commutation rate (per year) (three times       183.00     198.00
 standard rate)...................................
------------------------------------------------------------------------



  Sec. Appendix D to Part 110--Application of Advanced Course Formula 
                   (Male and Female Members) (Sample)

------------------------------------------------------------------------
                                                      Zone I    Zone II
------------------------------------------------------------------------
Total package cost (authorized items).............    $159.29    $180.62
Less insignia amortization (50% of $15.00), if           7.50       7.50
 applicable.......................................
                                                   ---------------------
Adjusted package cost.............................     151.79     173.12
                                                   =====================
Add:
    5% custodial fees (5% of adjusted package            7.59       8.66
     cost)........................................
    Uniform alteration and maintenance............      10.00      10.00
                                                   =====================
                                                        17.59      18.66
Net Rate..........................................     169.38     191.78
Rounded official standard rate (2 years)..........     169.00     192.00
Special commutation rate (2 years) (three times        507.00     576.00
 standard rate)...................................
------------------------------------------------------------------------



Sec. Appendix E to Part 110--Application of 4-Week Summer Field Training 
                            Formula (Sample)

------------------------------------------------------------------------
                                                      Zone I    Zone II
------------------------------------------------------------------------
Total package cost (authorized items).............     $36.56     $48.70
Amortization Schedule:
Total package less $12.75 (boots and socks) (not        23.81      35.95
 reissued)........................................
50% amortization (2-year life)....................      11.91      17.98
Boots and socks added.............................      12.75      12.75
Amortized package cost............................      24.66      30.73
Add:
5% custodial fees.................................       1.23       1.54
Uniform alteration and maintenance................      10.00      10.00
Net rate..........................................      35.89      42.27
Rounded for official rate.........................      36.00      42.00
------------------------------------------------------------------------



PART 112_INDEBTEDNESS OF MILITARY PERSONNEL--Table of Contents



Sec.
112.1 Purpose.
112.2 Applicability and scope.
112.3 Definitions.
112.4 Policy.
112.5 Processing of debt complaints.
112.6 Processing of involuntary allotments.
112.7 Responsibilities.

    Authority: 5 U.S.C. 5520a(k) and 10 U.S.C. 113(d).

    Source: 73 FR 59502, Oct. 9, 2008, unless otherwise noted.



Sec. 112.1  Purpose.

    This part:
    (a) Updates DoD policies and assigns responsibilities governing 
delinquent

[[Page 707]]

indebtedness of members of the Military Services and prescribes policy 
for processing involuntary allotments from the pay of military members 
to satisfy judgment indebtedness in accordance with 5 U.S.C. 5520a(k).
    (b) Establishes responsibility for procedures implementing 5 U.S.C. 
5520a(k), 15 U.S.C. 1601 note, 1601-1614, 1631-1646, 1661-1665a, 1666-
1666j, and 1667-1667e (``Truth in Lending Act''), and 15 U.S.C. 1601 
note, and 1692-1692o (``Fair Debt Collection Practices Act'').



Sec. 112.2  Applicability and scope.

    (a) This part applies to the Office of the Secretary of Defense, the 
Military Departments (including the Coast Guard when it is not operating 
as a Service in the Navy, under agreement with the Department of 
Homeland Security), the Chairman of the Joint Chiefs of Staff, the 
Combatant Commands, the Office of the Inspector General of the 
Department of Defense, the Defense Agencies, the DoD Field Activities, 
and all other organizational entities in the Department of Defense 
(hereafter referred to collectively as the ``DoD Components'').
    (b) This part does not apply to:
    (1) Indebtedness of a member of the Military Services to the Federal 
Government.
    (2) Processing of indebtedness claims to enforce judgments against 
military members for alimony or child support.
    (3) Claims by State or municipal governments under the processing 
guidelines for complaints, including tax collection actions.



Sec. 112.3  Definitions.

    (a) Absence. A member's lack of an ``appearance,'' at any stage of 
the judicial process, as evidenced by failing to physically attend court 
proceedings; failing to be represented at court proceedings by counsel 
of the member's choosing; or failing to timely respond to pleadings, 
orders, or motions.
    (b) Court. A court of competent jurisdiction within any State, 
territory, or possession of the United States.
    (c) Debt Collector. An agency or agent engaged in the collection of 
debts described under 15 U.S.C. 1601 note and 1692-1692o (``Fair Debt 
Collection Practices Act'').
    (d) Exigencies of Military Duty. A military assignment or mission-
essential duty that, because of its urgency, importance, duration, 
location, or isolation, necessitates the absence of a member of the 
Military Services from appearance at a judicial proceeding or prevents 
the member from being able to respond to a notice of application for an 
involuntary allotment. Exigency of military duty is normally presumed 
during periods of war, national emergency, or when the member is 
deployed.
    (e) Judgment. A final judgment must be a valid, enforceable order or 
decree, by a court from which no appeal may be taken, or from which no 
appeal has been taken within the time allowed, or from which an appeal 
has been taken and finally decided. The judgment must award a sum 
certain amount and specify that the amount is to be paid by an 
individual who, at the time of application for the involuntary 
allotment, is a member of the Military Services.
    (f) Just Financial Obligation. A legal debt acknowledged by the 
military member in which there is no reasonable dispute as to the facts 
or the law; or one reduced to judgment that conforms to Sections 501-591 
of title 50 Appendix, United States Code (The Servicemembers Civil 
Relief Act, as amended), if applicable.
    (g) Member of the Military Services. For the purposes of this part, 
any member of the Regular Army, Air Force, Navy, Marine Corps, or Coast 
Guard, and any member of a Reserve component of the Army, Air Force, 
Navy, Marine Corps, or Coast Guard (including the Army National Guard of 
the United States and the Air National Guard of the United States) on 
active duty pursuant to a call or order for a period in excess of 180 
days at the time an application for involuntary allotment is received by 
the Director, DFAS, or Commanding Officer, Coast Guard Pay and Personnel 
Center. The following shall not be considered members:
    (1) Retired personnel, including those placed on the temporary or 
permanent disabled retired list; and
    (2) Personnel in a prisoner of war or missing in action status, as 
determined

[[Page 708]]

by the Secretary of the Military Department concerned.



Sec. 112.4  Policy.

    (a) Members of the Military Services are expected to pay their just 
financial obligations in a proper and timely manner. A Service member's 
failure to pay a just financial obligation may result in disciplinary 
action under the Uniform Code of Military Justice (10 U.S.C. 801-940) or 
a claim pursuant to Article 139 of the Uniform Code of Military Justice. 
Except as stated in this section, and in paragraphs (a)(1) and (a)(2) of 
this section, the DoD Components have no legal authority to require 
members to pay a private debt or to divert any part of their pay for 
satisfaction of a private debt.
    (1) Legal process instituted in civil courts to enforce judgments 
against military personnel for the payment of alimony or child support 
shall be acted on pursuant to 42 U.S.C. 651-665, and Chapter 50, of 
Department of Defense Regulation 7000.14-R Volume 7A. \1\
---------------------------------------------------------------------------

    \1\ Copies may be obtained from the DoD Directives Web page at: 
http://www.dtic.mil/whs/directives.
---------------------------------------------------------------------------

    (2) Involuntary allotments under 5 U.S.C. 5520a(k) shall be 
established in accordance with this part.
    (b) Whenever possible, indebtedness disputes should be resolved 
through amicable means. Claimants may contact military members by having 
correspondence forwarded through the military locator services for an 
appropriate fee.



Sec. 112.5  Processing of debt complaints.

    (a) Debt complaints meeting the requirements of this part and 
procedures established by the Under Secretary of Defense for Personnel 
and Readiness, as required by Sec. 112.7(a)(1) shall receive prompt 
processing assistance from commanders.
    (b) Assistance in indebtedness matters shall not be extended to 
those creditors:
    (1) Who have not made a bona fide effort to collect the debt 
directly from the military member;
    (2) Whose claims are patently false and misleading; or
    (3) Whose claims are obviously exorbitant.
    (c) Some States have enacted laws prohibiting creditors from 
contacting a debtor's employer about indebtedness or communicating facts 
on indebtedness to an employer unless certain conditions are met. The 
conditions that must be met to remove this prohibition are generally 
such things as reduction of a debt to judgment or obtaining written 
permission of the debtor.
    (1) At DoD installations in States having such laws, the processing 
of debt complaints shall not be extended to those creditors who are in 
violation of the State law. Commanders may advise creditors that this 
rule has been established because it is the general policy of the 
Military Services to comply with State law when that law does not 
infringe upon significant military interests.
    (2) The rule in paragraph (c)(1) of this section shall govern even 
though a creditor is not licensed to do business in the State where the 
debtor is located. A similar practice shall be started in any State 
enacting a similar law regarding debt collection.
    (3) Pursuant to 15 U.S.C. 1601 note and 1692-1692o (``Fair Debt 
Collection Practices Act''), contact by a debt collector with third 
parties, such as commanding officers, for aiding debt collection is 
prohibited without a court order or the debtor's prior consent given 
directly to the debt collector. Creditors are generally exempt from this 
requirement, but only when they collect on their own behalf.



Sec. 112.6  Processing of involuntary allotments.

    Pursuant to 5 U.S.C. 5520a(k): (a) In those cases in which the 
indebtedness of a military member has been reduced to a judgment, an 
application for an involuntary allotment from the member's pay may be 
made under procedures prescribed by the Under Secretary of Defense 
(Comptroller). Such procedures shall provide the exclusive remedy 
available.
    (b) An involuntary allotment from a member's pay shall not be 
permitted in any indebtedness case in which:
    (1) Exigencies of military duty caused the absence of the member 
from

[[Page 709]]

the judicial proceeding at which the judgment was rendered; or
    (2) There has not been compliance with the procedural requirements 
of the Servicemembers Civil Relief Act 50, U.S.C. Appendix, sections 
501-591.



Sec. 112.7  Responsibilities.

    (a) The Under Secretary of Defense for Personnel and Readiness 
shall:
    (1) In consultation with the Under Secretary of Defense 
(Comptroller), establish procedures for the processing of debt 
complaints.
    (2) Have policy oversight on the assistance to be provided by 
military authorities to creditors of military personnel who have 
legitimate debt complaints.
    (b) The Under Secretary of Defense (Comptroller) shall:
    (1) In consultation with the Under Secretary of Defense for 
Personnel and Readiness establish procedures for processing debt 
complaints, and administer and process involuntary allotments from the 
pay of members of the Military Services. This includes the authority to 
promulgate forms necessary for the efficient administration and 
processing of involuntary allotments.
    (2) Ensure that the Director, Defense Finance and Accounting 
Service:
    (i) Implements procedures established by the Under Secretary of 
Defense for Personnel and Readiness and the Under Secretary of Defense 
(Comptroller).
    (ii) Considers whether Servicemembers Civil Relief Act 50 U.S.C. 
Appendix, sections 501-591 has been complied with pursuant to 5 U.S.C. 
5520a(k) prior to establishing an involuntary allotment against the pay 
of a member of the Military Services.
    (iii) Publishes, prints, stocks, redistributes, and revises DoD 
forms necessary to process involuntary allotments.
    (c) The Heads of the DoD Components shall urge military personnel to 
meet their just financial obligations, since failure to do so damages 
their credit reputation and affects the public image of all DoD 
personnel. See DoD Directive 5500.7. \2\
---------------------------------------------------------------------------

    \2\ See footnote 1 to Sec. 112.4(a)(1).
---------------------------------------------------------------------------

    (d) The Secretaries of the Military Departments shall:
    (1) Establish, as necessary, procedures to administer and process 
involuntary allotments from the pay of members of the Military Services. 
This includes designating those commanders, or other officials who may 
act in the absence of the commander, who shall be responsible for 
determining whether a member's absence from a judicial proceeding was 
caused by exigencies of military duty, and establishing appeal 
procedures regarding such determinations.
    (2) Require commanders to counsel members to pay their just debts, 
including complying, as appropriate, with court orders and judgments for 
the payments of alimony or child support.
    (3) Emphasize prompt command action to assist with the processing of 
involuntary allotment applications.
    (e) The Chief, Office of Personnel and Training, for the Coast Guard 
shall:
    (1) Establish, as necessary, procedures supplemental to those 
promulgated by the Under Secretary of Defense for Personnel and 
Readiness or the Under Secretary of Defense (Comptroller) to administer 
and process involuntary allotment from the pay of members of the 
Military Services; this includes the authority to promulgate forms 
necessary for the efficient administration and processing of involuntary 
allotments.
    (2) Ensure that the Commanding Officer, Coast Guard Pay and 
Personnel Center:
    (i) Implements procedures established by the Under Secretary of 
Defense for Personnel and Readiness, the Under Secretary of Defense 
(Comptroller), and Chief, Office of Personnel and Training.
    (ii) Considers whether the Servicemembers Civil Relief Act, as 
amended (50 U.S.C. Appendix, sections 501-591) has been complied with 
pursuant to 5 U.S.C. 5520a(k) prior to establishing an involuntary 
allotment against the pay of a member of the Military Services.
    (iii) Acts as the Coast Guard manager for forms necessary to process 
involuntary allotments.

[[Page 710]]



PART 113_INDEBTEDNESS PROCEDURES OF MILITARY PERSONNEL--Table of Contents



Sec.
113.1 Purpose.
113.2 Applicability.
113.3 Definitions.
113.4 Policy.
113.5 Responsibilities.
113.6 Procedures.

Appendix A to Part 113--Certificate of Compliance
Appendix B to Part 113--Standards of Fairness
Appendix C to Part 113--Sample DD Form 2653, ``Involuntary Allotment 
          Application''
Appendix D to Part 113--Sample DD Form 2654, ``Involuntary Allotment 
          Notice and Processing''

    Authority: 5 U.S.C. 5520a(k) and 10 U.S.C. 113(d).

    Source: 60 FR 1722, Jan. 5, 1995, unless otherwise noted.



Sec. 113.1  Purpose.

    This part implements policy, assigns responsibilities, and 
prescribes procedures under 32 CFR part 112 governing delinquent 
indebtedness of members of the Military Services.



Sec. 113.2  Applicability.

    This part applies to the Office of the Secretary of Defense, the 
Military Departments (including the Coast Guard when it is not operating 
as a Military Service in the Navy by agreement with the Department of 
Transportation), the Chairman of the Joint Chiefs of Staff, the Unified 
Combatant Commands, the Inspector General of the Department of Defense, 
the Defense Agencies, and the DoD Field Activities (hereafter referred 
to collectively as ``the DoD Components''). The term ``Military 
Services,'' as used herein, refers to the Army, the Navy, the Air Force, 
the Marine Corps, and the Coast Guard.



Sec. 113.3  Definitions.

    (a) Appearance. The presence and participation of a member of the 
Military Services, or an attorney of the member's choosing, throughout 
the judicial proceeding from which the judgment was issued that is the 
basis for a request for enforcement through involuntary allotment.
    (b) Applicant. The original judgment holder, a successor in 
interest, or attorney or agent thereof who requests an involuntary 
allotment from a member of the Military Services pursuant to DoD 
Directive 1344.9. \1\
---------------------------------------------------------------------------

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

    (c) Pay subject to involuntary allotment. For purposes of complying 
with 32 CFR part 112 and 5 U.S.C. 5520a(k), pay subject to involuntary 
allotment shall be determined by:
    (1) Including:
    (i) Basic pay but excluding reduction for education for education 
benefits under section 38 U.S.C. 1411 (``New G.I. Bill'').
    (ii) Special pay (including enlistment and reenlistment bonuses).
    (iii) Incentive pay.
    (iv) Accrued leave payments (basic pay portion only).
    (v) Readjustment pay.
    (vi) Severance pay (including disability severance pay).
    (vii) Lump-sum Reserve bonus.
    (viii) Inactive duty training pay.
    (2) Excluding:
    (i) Retired pay (including) disability retired pay).
    (ii) Retainer pay.
    (iii) Separation pay, Voluntary Separation Incentive (VSI), and 
Special Separation Benefit (SSB).
    (iv) Allowances paid under titles 10 and 37 of the United States 
Code (e.g., Chapter 53 of title 10 and Chapter 7 of title 37, 
respectively) and other reimbursements for expenses incurred in 
connection with duty in the Military Service or allowances in lieu 
thereof.
    (v) Payments not specifically enumerated in Sec. 113.3(c)(1).
    (3) After including the items in Sec. 113.3(c)(1), subtracting the 
following pay items to compute the final earnings value of the pay 
subject to involuntary allotment:
    (i) Federal and State employment and income tax withholding (amount 
limited only to that which is necessary to fulfill member's tax 
liability).
    (ii) FICA tax.
    (iii) Amounts mandatorily withheld for the United States Soldiers' 
and Airmen's Home.

[[Page 711]]

    (iv) Deductions for the Servicemen's Group Life Insurance coverage.
    (v) Retired Serviceman's Family Protection Plan.
    (vi) Indebtedness to the United States.
    (vii) Fines and forfeitures ordered by a court-martial or a 
commanding officer.
    (viii) Amounts otherwise required by law to be deducted from a 
member's pay (except payments under 42 U.S.C. 659, 661, 662, and 665).
    (d) Preponderence of the evidence. A greater weight of evidence that 
is more credible and convincing to the mind. That which best accords 
with reason and probability. (See Black's Law Dictionary \2\)
---------------------------------------------------------------------------

    \2\ Black's Law Dictionary, Fourth Edition, West Publishing Company, 
Saint Paul, Minnesota (1952).
---------------------------------------------------------------------------

    (e) Proper and Timely Manner. A manner that under the circumstances 
does not reflect discredit on the Military Service.



Sec. 113.4  Policy.

    (a) It is DoD policy under 32 CFR part 112 that procedures be 
established for the processing of debt complaints against members of the 
Military Services and involuntary allotments from the pay of members of 
the Military Services.
    (b) An involuntary allotment shall not exceed the lesser of 25 
percent of a member's pay subject to involuntary allotment or the 
maximum percentage of pay subject to garnishment proceedings under the 
applicable State law.
    (c) The amount of an involuntary allotment under 32 CFR part 112 and 
this part when combined with deductions as a result of garnishments or 
statutory allotments for spousal support and child support under 42 
U.S.C. 659, 661, 662, or 665, may not exceed the lesser of 25 percent of 
a member's pay subject to involuntary allotment or the maximum 
percentage of pay subject to garnishment proceedings under applicable 
State law. In any case in which the maximum percentage would be 
exceeded, garnishments and involuntary allotments for spousal and child 
support shall take precedence over involuntary allotments authorized 
under 32 CFR part 112 and this part. Involuntary allotments established 
under 32 CFR part 112 and this part shall be reduced or stopped as 
necessary to avoid exceeding the maximum percentage allowed.
    (d) The Truth in Lending Act (15 U.S.C. 1601 note, 1601-1614, 1631-
1646, 1661-1666j, and 1667-1667e) prescribes the general disclosure 
requirements that must be met by those offering or extending consumer 
credit and Federal Reserve Board Regulation Z (12 CFR 226) prescribes 
the specific disclosure requirements for both open-end and installment 
credit transactions. In place of Federal Government requirements, State 
regulations apply to credit transactions when the Federal Reserve Board 
has determined that the State regulations impose substantially similar 
requirements and provide adequate enforcement measures. Commanding 
officers, with the assistance of judge advocates, should check 
regulations of the Federal Reserve Board to determine whether Federal or 
State laws and regulations govern.



Sec. 113.5  Responsibilities.

    (a) The Under Secretary of Defense for Personnel and Readiness shall 
monitor compliance with this part.
    (b) The Under Secretary of Defense (Comptroller) shall ensure 
Defense Finance and Accounting Service (DFAS) implementation of this 
part.
    (c) The Heads of the DoD Components shall ensure compliance with 
this part.



Sec. 113.6  Procedures.

    (a) The following procedures apply to the processing of debt 
complaints against members of the Military Services.
    (1) It is incumbent on those submitting indebtedness complaints to 
show that they have met the disclosure requirements of the Truth in 
Lending Act (15 U.S.C. 1601 note, 1601-1614, 1631-1646, 1661-1666j, and 
1667-1667e) and Federal Reserve Board Regulation Z (12 CFR 226), and 
that they complied with the Standards of Fairness (appendix B to this 
part).
    (2) Creditors subject to Federal Reserve Board Regulation Z (12 CFR 
226), and assignees claiming thereunder, shall submit with their debt 
complaint

[[Page 712]]

an executed copy of the Certificate of Compliance (appendix A to this 
part), and a true copy of the general and specific disclosures provided 
the member of the Military Service as required by the Truth in Lending 
Act (15 U.S.C. 1601 note, 1601-1614, 1631-1646, 1661-1666j, and 1667-
1667e). Debt complaints that request assistance but do not meet these 
requirements will be returned without action to the claimant.
    (3) A creditor not subject to Federal Reserve Board Regulation Z (12 
CFR 226), such as a public utility company, shall submit with the 
request a certificate that no interest, finance charge, or other fee is 
in excess of that permitted by the law of the State in which the 
obligation was incurred.
    (4) A foreign-owned company having debt complaints shall submit with 
its request a true copy of the terms of the debt (English translation) 
and shall certify that it has subscribed to the Standards of Fairness 
(appendix B to this part).
    (5) Debt complaints that meet the requirements of this part shall be 
processed by Department of Defense Components. ``Processed'' means that 
Heads of the Department of Defense Components, or designees, shall:
    (i) Review all available facts surrounding the transaction forming 
the basis of the complaint, including the member's legal rights and 
obligations, and any defenses or counterclaims the member may have.
    (ii) Advise the member concerned that:
    (A) Just financial obligations are expected to be paid in a proper 
and timely manner, and what the member should do to comply with that 
policy;
    (B) Financial and legal counseling services are available under DoD 
Directive 1344.7 \3\ in resolving indebtedness; and
---------------------------------------------------------------------------

    \3\ See footnote 1 to Sec. 113.3(b).
---------------------------------------------------------------------------

    (C) That a failure to pay a just debt may result in the creditor 
obtaining a judgment from a court that could form the basis for 
collection of pay from the member pursuant to an involuntary allotment.
    (iii) If a member acknowledges a debt as a result of creditor 
contact with a DoD Component, advise the member that assistance and 
counseling may be available from the on-base military banking office, 
the credit union serving the military field of membership, or other 
available military community service organizations.
    (iv) Direct the appropriate commander to advise the claimant that:
    (A) Those aspects of DoD policy prescribed in 32 CFR part 112.4, are 
pertinent to the particular claim in question; and
    (B) The member concerned has been advised of his or her obligations 
on the claim.
    (v) The commander's response to the claimant shall not undertake to 
arbitrate any disputed debt, or admit or deny the validity of the claim. 
Under no circumstances shall the response indicate whether any action 
has been taken, or will be taken, against the member as a result of the 
complaint.
    (b) The following procedures apply to the processing of involuntary 
allotments from the pay of members of the Military Services.
    (1) Involuntary allotment application. (i) Regardless of the Service 
Affiliation of the member involved, with the exception of members of the 
Coast Guard an application to establish an involuntary allotment from 
the pay of a member of the Military Services shall be made by sending a 
completed DD Form 2653, ``Involuntary Allotment Application'' (appendix 
C to this part) to the appropriate address listed below. Applications 
sent to any other address shall be returned without action to the 
applicant.

(For Army, Navy, Air Force, or Marine Corps)

Defense Finance and Accounting Service, Cleveland Center, Code L, P.O. 
Box 998002, Cleveland, OH 44199-8002

(For Coast Guard only)

Coast Guard Pay and Personnel Center (LGL), 444 S.E. Quincy Street, 
Topeka, KS 66683-3591

    (ii) Each application must include a copy of the final judgment 
certified by the clerk of court and such other documents as may be 
required by Sec. 113.6(b)(1)(iv).
    (iii) A garnishment summons or order is insufficient to satisfy the 
final judgment requirement of Sec. 113.6(b)(1)(ii)

[[Page 713]]

and is not required to apply for an involuntary allotment under this 
part.
    (iv) Involuntary allotment applications must contain the following 
information, certifications, and acknowledgment:
    (A) The full name, social security number, and branch of Service of 
the military member against whose pay an involuntary allotment is 
sought. Although not required, inclusion of the member's current duty 
station and duty address on the application form will facilitate 
processing of the application.
    (B) The applicant's full name and address. If the applicant is not a 
natural person, the application must be signed by an individual with the 
authority to act on behalf of such entity. If the allotment is to be in 
favor of a person other than the original judgment holder, proof of the 
right to succeed to the interest of the original judgment holder is 
required and must be attached to the application.
    (C) The dollar amount of the judgment. Additionally, if the judgment 
awarded interest, the total dollar amount of the interest on the 
judgment accrued to the date of application.
    (D) A certification that the judgment has not been amended, 
superseded, set aside, or satisfied; or, if the judgment has been 
satisfied in part, the extent to which the judgment remains unsatisfied.
    (E) A certification that the judgment was issued while the member 
was not on active duty (in appropriate cases). If the judgment was 
issued while the member was on active duty, a certification that the 
member was present or represented by an attorney of the member's 
choosing in the proceedings, or if the member was not present or 
represented by an attorney of the member's choosing, that the judgment 
complies with the Soldiers' and Sailors' Civil Relief Act of 1940, as 
amended (50 U.S.C. appendix sections 501-591).
    (F) A certification that the member's pay could be garnished under 
applicable State law and section 5520a(k) of the United States Code, if 
the member were a civilian employee.
    (G) A certification that, to the knowledge of the applicant, the 
debt has not been discharged in bankruptcy, nor has the member filed for 
protection from creditors under the bankruptcy laws of the United 
States.
    (H) A certification that if the judgment is satisfied prior to the 
collection of the total amount through the involuntary allotment 
process, the applicant will provide prompt notice that the involuntary 
allotment must be discontinued.
    (I) A certification that if the member overpays the amount owed on 
the judgment, the applicant shall refund the amount of overpayment to 
the member within 30 days of discovery or notice of the overpayment, 
whichever, is earlier, and that if the applicant fails to repay the 
member, the applicant understands he or she may be denied the right to 
collect by involuntary allotment on other debt reduced to judgments.
    (J) Acknowledgment that as a condition of application, the applicant 
agrees that neither the United States, nor any disbursing official or 
Federal employee whose duties include processing involuntary allotment 
applications and payments, shall be liable for any payment or failure to 
make payment from moneys due or payable by the United States to any 
person pursuant to any application made in accordance herewith.
    (v) The original and three copies of the application and supporting 
documents must be submitted by the applicant to DFAS.
    (vi) A complete ``application package'' (the DD Form 2653, 
supporting documentation, and three copies of the application and 
supporting documents), is required for processing of any request to 
establish an involuntary allotment pursuant to this part and 32 CFR part 
112.
    (vii) Applications that do not conform to the requirements of this 
part shall not be processed. If an application is ineligible for 
processing, the application package shall be returned to the applicant 
with an explanation of the deficiency. In cases involving repeated false 
certifications by an applicant, the designated DFAS official may refuse 
to accept or process additional applications by that applicant for such 
period

[[Page 714]]

of time as the official deems appropriate to deter against such 
violations in the future.
    (2) Processing of involuntary allotment applications. (i) Promptly 
upon receipt of DD Form 2653 (Appendix C to this part), the designated 
DFAS official shall review the ``application package'' to ensure 
compliance with the requirements of this part. If the application 
package is complete, the DFAS official shall:
    (A) Complete Section I of DD Form 2654, ``Involuntary Allotment 
Notice and Processing'' (Appendix D to this part), by inserting the 
name, social security number, rank, and branch of service of the 
military member against whom an application for involuntary allotment is 
being processed. Additionally, the DFAS official shall provide the due 
date for receipt of a response at DFAS. The due date shall be 90 days 
from the date DFAS mails the DD Form 2654 to the commander and member 
concerned as provided for in Sec. 113.6(b)(2)(i)(B).
    (B) Mail one copy of the application package to the member and two 
copies of the application package, along with DD Form 2654, to the 
commander of the military member or other official as designated by the 
Military Service concerned during times of war, national emergency, 
deployment, or other similar circumstances, who may act for the 
commander, provided the Military Service concerned has provided DFAS 
with the name or position of the official and the appropriate address 
(hereinafter, the meaning of the term ``commander'' includes such other 
official).
    (C) Within 60 days of mailing the copies of the application package 
and DD Form 2654, DFAS shall provide notice to the member and the 
member's commander that automatic processing of the involuntary 
allotment application shall occur if a response (including notice of an 
approved extension as authorized in Sec. 113.6(b)(2)(iii)(B) and (F), 
is not received by the due date specified in Section I of DD Form 2654. 
In the absence of a response, DFAS may automatically process the 
involuntary allotment application on the fifteenth calendar day after 
the date a response was due. When DFAS has received notice of an 
extension, automatice processing shall not begin until the fifteenth 
calendar day after the approved extension date.
    (D) Retain the original of the application package and DD Form 2654.
    (ii) Upon receipt of an application, the commander shall determine 
if the member identified in Section I of DD Form 2654 is assigned or 
attached to the commander's unit and available to respond to the 
involuntary allotment application. If the member is not assigned or 
attached, or not available to respond (e.g., retired, in a prisoner of 
war status, or in a missing in action status), the commander will 
promptly complete Section II of DD Form 2654 and attach appropriate 
documentation supporting the determination. The commander will then mail 
the application package and DD Form 2654 to DFAS. Section II shall also 
be used by the commander to notify DFAS of extensions beyond the due 
date for a response contained in Section I of DD Form 2654. When such 
extensions are authorized, the commander will complete Section II, make 
a copy of Sections I and II, and promptly mail the copy to DFAS.
    (iii) Within 5 days of receipt of an application package and DD Form 
2654 from the designated DFAS official, the commander shall notify the 
member of the receipt of the application, provide the member a copy of 
the entire application package, and counsel the member using and 
completing Section III of DD Form 2654 about the following:
    (A) That an application for the establishment of an involuntary 
allotment for the lesser of 25 percent of the member's pay subject to 
involuntary allotment or the maximum percentage of pay subject to 
garnishment proceedings under the applicable State law has been 
received.
    (B) That the member has 15 calendar days from the date of receipt of 
the commander's notice to complete Section IV of DD Form 2654. That for 
good cause shown, the commander may grant an extension of reasonable 
time (normally not exceeding 30 calendar days) to submit a response. 
That during times of deployment, war, national emergency, assignment 
outside the United States, hospitalization, or other

[[Page 715]]

similar situations that prevent the member from obtaining necessary 
evidence or from responding in a timely manner, extensions exceeding 30 
calendar days may be granted. That if the member fails to respond within 
the time allowed, the commander will note the member's failure to 
respond in Section V of DD Form 2654 and send the form to DFAS for 
appropriate action.
    (C) That the member's response will either consent to the 
involuntary allotment or contest it.
    (D) That the member may contest the application for any one of the 
following reasons:
    (1) There has not been compliance with the procedural requirements 
of the Soldiers' and Sailors' Civil Relief Act of 1940, as amended (50 
U.S.C. appendix sections 501-591) during the judicial proceeding upon 
which the involuntary allotment application is sought.
    (2) ``Exigencies of military duty'' (as defined in 32 CFR part 
112.3(d)) caused the ``absence'' of the member from appearance in a 
judicial proceeding forming the basis for the judgment upon which the 
application is sought.
    (3) Information in the application is patently false or erroneous in 
material part.
    (4) The judgment has been fully satisfied, superseded, or set aside.
    (5) The judgment has been materially amended, or partially 
satisfied. When asserting this defense, the member shall include 
evidence of the amount of the judgment that has been satisfied.
    (6) There is a legal impediment to the establishment of the 
involuntary allotment (for example, the judgment debt has been 
discharged in bankruptcy, the judgment debtor has filed for protection 
from the creditors under the bankruptcy laws of the United States, the 
applicant is not the judgment holder nor a proper successor in interest 
to that holder, or the applicant has been enjoined by a Federal or state 
court from enforcing the judgment debt).
    (7) Or other appropriate reasons that must be clearly specified and 
explained by the member.
    (E) That, if the member contests the involuntary allotment, the 
member shall provide evidence (documentary or otherwise) in support 
thereof. Furthermore, that any evidence submitted by the member may be 
disclosed to the applicant for the involuntary allotment.
    (F) That the member may consult with a legal assistance attorney, if 
reasonably available, or a civilian attorney at no expense to the 
government. That if a legal assistance attorney is available, the member 
should immediately arrange for an appointment. That the member may 
request a reasonable delay from the commander to obtain legal assistance 
(in cases where an approved delay will cause DFAS to receive the 
member's response after the due date identified in Section I of DD Form 
2654, the commander must immediately notify the designated DFAS official 
of the delay, the date for an expected response, and the reason for the 
delay by completing Section II of DD Form 2654 and forwarding a copy of 
Sections I and II to DFAS). Additionally, that requests for extensions 
of time based on the need for legal assistance shall be denied to 
members who fail to exercise due diligence in seeking such assistance.
    (G) That if the member contests the involuntary allotment on the 
grounds that exigencies of military duty caused the absence of the 
member from the judicial proceeding at which the judgment was rendered, 
then the member's commander shall review and make the final 
determination on this contention, and notify the designated DFAS 
official of the commander's decision by completing Section V of DD Form 
2654 and forwarding the form to DFAS.
    (1) In determining whether exigencies of military duty caused the 
absence of the member, the commander at the level designated by the 
Service concerned shall consider the definition of ``exigencies of 
military duty'' (as defined in 32 CFR part 112.3(d)).
    (2) Additionally, consideration shall be given to whether the 
commander at the time determined the military duties in question to be 
of such paramount importance that they prevented making the member 
available to attend the judicial proceedings, or rendered the member 
unable to timely respond to process, motions, pleadings, or orders of 
the court.
    (H) That if the member contests the involuntary allotment on any 
basis other than exigencies of military duty,

[[Page 716]]

the application package and DD Form 2654 shall be returned to the 
commander who shall forward it to the designated DFAS official for 
appropriate action.
    (I) That if the member fails to respond to the commander within the 
time allowed under Sec. 113.6(b)(2)(iii)(B), the commander shall notify 
the designated DFAS official of the member's failure to respond by 
completing Section V of DD Form 2654, and forwarding the form to DFAS.
    (iv) After counseling the member in accordance with Sec. 
113.6(b)(2)(iii)(A)-(I), the commander shall:
    (A) Date and sign Section III of DD Form 2654.
    (B) Obtain the member's acknowledgment of counseling by having the 
member sign the appropriate space on Section III of DD Form 2654.
    (C) Determine if the member consents to the involuntary allotment or 
needs the time authorized under this part to review the application 
package and take appropriate action. If the member consents to the 
involuntary allotment, the commander shall direct the member to 
appropriately complete Section IV of DD Form 2654. The commander must 
then complete the appropriate item in Section V and promptly forward the 
completed DD Form 2654 to the designated DFAS official.
    (D) Complete the appropriate items in Section V of DD Form 2654 when 
the member fails to respond within the time authorized for a response, 
or asserts that exigencies of military duty caused the absence of the 
member from an appearance in the judicial proceeding upon which the 
Involuntary Allotment Application is sought.
    (1) In determining whether exigencies of military duty caused the 
absence of the member, the commander, at the level designated by the 
Service concerned, shall consider the definition of ``exigencies of 
military duty'' (as defined in 32 CFR part 112.3(d)), the evidence 
provided by the member, any other reasonably available evidence (e.g., a 
copy of the member's personnel record), and whether the commander at the 
time determined the military duties in question to be of such paramount 
importance that they prevented making the member available to attend the 
judicial proceedings, or rendered the member unable to timely respond to 
process, motions, pleadings, or orders of the court.
    (2) The evidentiary standard for a commander to determine whether 
existences of military duty caused the absence of the member from an 
appearance in the judicial proceeding upon which the Involuntary 
Allotment Application is sought is a ``preponderance of the evidence'' 
(as defined in Sec. 113.3(d) of this part).
    (3) If the commander has made a determination on exigencies of 
military duty, the commander must insert in Section V of DD Form 2654, 
the title and address of the appeal authority.
    (E) Promptly following the date the member's response is due to the 
commander as determined by Sec. 113.6(b)(2)(iii)(B), ensure that the DD 
Form 2654 is appropriately completed and mail the form, along with any 
response received from the member, to DFAS.
    (F) Provide the member a copy of the completed DD Form 2654 within 5 
days of mailing to the designated DFAS official.
    (v) Upon receipt of DD Form 2654 and any additional evidence 
submitted by the member, the designated DFAS official shall conduct a 
review of the entire application package, DD Form 2654, and any evidence 
submitted by the member, to determine whether the application for an 
involuntary allotment should be approved and established.
    (A) In those cases where the member's commander has completed 
Section V of DD Form 2654, and determined that exigencies of military 
duty caused the absence of the member from an appearance in a judicial 
proceeding upon which the involuntary allotment application is sought, 
the designated DFAS official shall deny the involuntary allotment 
application and provide the applicant written notice of the denial and 
the reason therefor. The designated DFAS official shall also advise the 
applicant that:
    (1) The responsibility for determining whether exigencies of 
military duty existed belonged to the member's commander and the 
Military Department concerned.

[[Page 717]]

    (2) The commander's decision may be appealed within 60 days of the 
date DFAS mailed the notice of the decision to the applicant.
    (3) An Appeal must be submitted to the appeal authority at the 
address provided by DFAS (as found in Section V of the DD Form 2654) in 
their written notice of denial, and that an appeal submitted to an 
appeal authority and address different from the one provided by DFAS may 
be returned without action.
    (4) An appeal must be submitted in writing and contain sufficient 
evidence to overcome the presumption that the commander's exigency 
determination was correct.
    (5) The appellate authority shall decide an appeal within 30 days of 
its receipt and promptly notify the applicant in writing of the 
decision. The 30 day decision period may be extended during times of 
deployment, war, national emergency, or other similar situations.
    (6) If an appeal is successful, the applicant must submit a written 
request, along with a copy of the appellate authority's decision, to 
DFAS within 15 days of receipt of the appellate authority's decision.
    (B) Upon receiving written notice that an applicant has successfully 
appealed a commander's determination on exigencies of military duty that 
resulted in denial of an involuntary allotment application, DFAS shall 
review the application in accordance with Sec. 113.6(b)(2)(v)(C), and 
determine whether the involuntary allotment should be approved and 
initiated.
    (C) In all cases, other than as described in Sec. 
113.6(b)(2)(v)(A), the designated DFAS official shall deny an 
involuntary allotment application, and give written notice to the 
applicant of the reason(s) for denial, if the designated DFAS official 
determines that:
    (1) There has not been compliance with the procedural requirements 
of the Soldier's and Sailor's Civil Relief Act of 1940, as amended (50 
U.S.C. appendix sections 501-591) during the judicial proceeding upon 
which the involuntary allotment application is sought.
    (2) Information in the application is patently false or erroneous in 
material part.
    (3) The judgment has been fully satisfied, superseded, or set aside.
    (4) The judgment has been materially amended, or partially 
satisfied. In such a case, the request for involuntary allotment may be 
approved only to satisfy that portion of the judgment that remains in 
effect and unsatisfied; the remainder of the request shall be denied.
    (5) There is a legal impediment to the establishment of the 
involuntary allotment (for example, the judgment debt has been 
discharged in bankruptcy, the judgment debtor has filed for protection 
from the creditors under the bankruptcy laws of the United States, the 
applicant is not the judgment creditor nor a proper successor in 
interest to that creditor, or the applicant has been enjoined by a 
Federal or State court from enforcing the judgment debt).
    (6) The member's pay is already subject to one or more involuntary 
allotments or garnishments that equal the lesser of 25 percent of the 
member's pay subject to involuntary allotment or the maximum percentage 
of pay subject to garnishment proceedings under the applicable State 
law.
    (7) The applicant has abused the processing privilege (e.g., an 
applicant, having been notified of the requirements of this part, 
repeatedly refuses or fails to comply therewith).
    (8) Or other appropriate reasons that must be clearly explained to 
the applicant.
    (D) In all cases other than as described in Sec. 113.6(b)(2)(v) (A) 
and (C), the designated DFAS official shall approve the involuntary 
allotment application and establish an involuntary allotment against the 
pay subject to involuntary allotment of the member.
    (vi) The designated DFAS official shall, at any time after 
establishing an involuntary allotment, cancel or suspend such allotment 
and notify the applicant of that cancellation if the member concerned, 
or someone acting on his or her behalf, submits legally sufficient 
proof, by affidavit or otherwise, that the allotment should not continue 
because of the existence of the factors enumerated in Sec. 
113.6(b)(2)(v)(A) and (C)(1)-(8).
    (3) Payments. (i) Payment of an approved involuntary allotment under 
32

[[Page 718]]

CFR part 112 and this part shall commence within 30 days after the 
designated DFAS official has approved the involuntary allotment.
    (ii) Payments under this part shall not be required more frequently 
than once each month, and the designated official shall not be required 
to vary normal pay and disbursement cycles.
    (iii) If the designated DFAS official receives several applications 
on the same member of a Military Service, payments shall be satisfied on 
a first-come, first-served basis.
    (iv) Payments shall continue until the judgment is satisfied or 
until canceled or suspended.
    (A) DFAS shall collect the total judgment, including interest when 
awarded by the judgment. Within 30 days following collection of the 
amount of the judgment, including interest as annotated by the applicant 
in Section I of DD Form 2654, the applicant may submit a final statement 
of interest that accrued during the pay-off period. This final statement 
of interest request must be accompanied by a statement of account 
showing how the applicant computed the interest amount. DFAS will 
collect this post-application interest provided it is an amount owed 
pursuant to the judgment. DFAS shall not accept any further interest 
requests.
    (B) Interest or other costs associated with the debt forming the 
basis for the judgment, but not included as an amount awarded by the 
judgment, shall not be paid to applicants for involuntary allotments.
    (v) If the member is found not to be entitled to money due from or 
payable by the Military Services, the designated official shall return 
the application and advise the applicant that no money is due from or 
payable by the Military Service to the member. When it appears that pay 
subject to an involuntary allotment is exhausted temporarily or 
otherwise unavailable, the applicant shall be told why and for how long 
that money is unavailable, if known. Involuntary allotments shall be 
canceled on or before the date a member retires, is discharged, or is 
released from active duty. The designated DFAS official shall notify the 
applicant of the reason for cancellation.
    (vi) Upon receiving notice from an applicant that a judgment upon 
which an involuntary allotment is based has been satisfied, vacated, 
modified, or set aside, the designated DFAS official shall promptly 
adjust or discontinue the involuntary allotment.
    (vii) The Under Secretary of Defense (Comptroller) may, in DoD 
7000.14-R \4\ Volume 7, Part A, designate the priority to be given to 
involuntary allotments pursuant to 32 CFR part 112 and this part, among 
the deductions and collections taken from a member's pay, except that 
they may not give precedence over deductions required to arrive at a 
member's disposable pay for garnishments or involuntary allotments 
authorized by statute for alimony and child support payments. In the 
absence of a contrary designation by the Comptroller, all other lawful 
deductions (except voluntary allotments by the member) and collections 
shall take precedence over these involuntary allotments.
---------------------------------------------------------------------------

    \4\ See footnote 1 to Sec. 113.3(b).
---------------------------------------------------------------------------



         Sec. Appendix A to Part 113--Certificate of Compliance

    I certify that the (Name of Creditor) upon extending credit

to______________________________________________________________________

on______________________________________________________________________
(Date)

complied with the full disclosure requirements of the Truth-in-Lending 
Act and Regulation Z, and the Fair Debt Collection Practices Act (or the 
laws and regulations of State of --------------------), and that the 
attached statement is a true copy of the general and specific 
disclosures provided the obligor as required by law.
    I further certify that the Standards of Fairness set forth in DoD 
Directive 1344.9 \1\ have been applied to the consumer credit 
transaction to which this form refers. (If the unpaid balance has been 
adjusted as a consequence, the specific adjustments in the finance 
charge and the annual percentage rate should be set forth below.)
---------------------------------------------------------------------------

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

________________________________________________________________________
(Adjustments)

________________________________________________________________________

________________________________________________________________________

________________________________________________________________________


[[Page 719]]

________________________________________________________________________
(Date of Certification)_________________________________________________


________________________________________________________________________
(Signature of Creditor or Authorized Representative)

________________________________________________________________________
(Street)

________________________________________________________________________
(City, State and Zip Code)



           Sec. Appendix B to Part 113--Standards of Fairness

    1. No finance charge contracted for, made, or received under any 
contract shall be in excess of the charge that 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 shall be as established by the 
Department of Defense.
    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.
    3. In loan transactions, defenses that 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.
    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.
    5. No late charge shall be made in excess of 5 percent of the late 
payment, or $5.00, 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 shall 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.
    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. In the event of prepayment, that portion of the finance 
charges that has inured to the benefit of the seller or creditor shall 
be prorated on the basis of the charges that 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.
    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.
    8. If the loan or contract agreement provides for payments in 
installation, 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.
    9. If the security for the debt is repossessed and sold in order to 
satisfy or reduce the debt, the repossession and resale shall be 
governed by the laws of the State in which the security is requested.
    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 shall be listed in the order form or contract.
    a. No termination charge shall 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 that 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 the Truth in Lending Act (15 U.S.C. 1601 note, 1601-1614, 
1631-1646, 1661-1665a, 1666-1666j, and 1667-1667e) and Federal Reserve 
Board Regulation Z (12 CFR 226)).

[[Page 720]]

  Appendix C to Part 113--Sample DD Form 2653, ``Involuntary Allotment 
                              Application''
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[[Page 721]]


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[[Page 722]]





    Sec. Appendix D to Part 113--Sample DD Form 2654, ``Involuntary 
                    Allotment Notice and Processing''
[GRAPHIC] [TIFF OMITTED] TR05JA95.004


[[Page 723]]


[GRAPHIC] [TIFF OMITTED] TR05JA95.005


[[Page 724]]


[GRAPHIC] [TIFF OMITTED] TR05JA95.006


[[Page 725]]


[GRAPHIC] [TIFF OMITTED] TR05JA95.007


[[Page 726]]





PART 117_NATIONAL INDUSTRIAL SECURITY PROGRAM--Table of Contents



Subparts A-B [Reserved]

   Subpart C_Procedures for Government Activities Relating to Foreign 
                 Ownership, Control or Influence (FOCI)

Sec.
117.51 Purpose.
117.52 Applicability.
117.53 Definitions.
117.54 Policy.
117.55 Responsibilities.
117.56 Foreign ownership, control or influence (FOCI).

    Authority: Executive Order (E.O.) 12829, January 6, 1993, 58 FR 
3479.

    Source: 79 FR 19469, Apr. 9, 2014, unless otherwise noted.

Subparts A-B [Reserved]



   Subpart C_Procedures for Government Activities Relating to Foreign 
                 Ownership, Control or Influence (FOCI)



Sec. 117.51  Purpose.

    This part sets forth industrial security procedures and practices 
related to Foreign Ownership, Control or Influence (FOCI) for the 
Department of Defense (DoD) Components, as defined in this part and non-
DoD Components, as defined in this part, to ensure maximum uniformity 
and effectiveness in DoD implementation of the National Industrial 
Security Program (NISP) established by Executive Order (E.O.) 12829 
``National Industrial Security Program,'' (available at http://
www.archives.gov /isoo/policy- documents/eo- 12829.html).



Sec. 117.52  Applicability.

    (a) This part applies to:
    (1) The DoD Components.
    (2) The non-DoD Components. When the term Government Contracting 
Activities (GCAs) is used, it applies to both DoD Components and non-DoD 
Components.
    (b) This part does not:
    (1) Limit in any manner the authority of the Secretary of Defense, 
the Secretaries of the Army, Navy and Air Force; or the Heads of the 
Components, as defined in this part, to grant access to classified 
information under the cognizance of their respective department or 
agency to any individual or entity designated by them. The granting of 
such access is outside the scope of the NISP and is governed by 
Executive Order (E.O.) 13526, ``Classified National Security 
Information,'' (available at http://www.archives.gov/isoo/pdf/cnsi-
eo.pdf) and applicable disclosure policies.
    (2) Limit the authority of a GCA to limit, deny, or revoke access to 
classified information under its statutory, regulatory, or contractual 
jurisdiction.
    (3) Levy requirements on contractors and companies currently in 
process for facility security clearances (FCLs) as they are subject to 
the requirements of DoD 5220.22-M, ``National Industrial Security 
Program Operating Manual (NISPOM)'' (available at http://www.dtic.mil/
whs/directives/corres/pdf/522022m.pdf) and the security requirements of 
their contracts.



Sec. 117.53  Definitions.

    Unless otherwise noted, these terms and their definitions are for 
the purposes of this part only.
    Access. As defined in DoD 5220.22-M.
    Affiliate. As defined in DoD 5220.22-M.
    Board resolution. A formal, written decision of a company's board of 
directors, used to draw attention to a single act or board decision, 
e.g., to approve or adopt a change to a set of rules, a new program or 
contract.
    Carve-out. As defined in DoD Directive 5205.07, ``Special Access 
Program (SAP) Policy,'' (available at http://www.dtic.mil/whs/
directives/corres/pdf/520507p.pdf).
    Classified contract. As defined in DoD 5220.22-M.
    Classified information. As defined in Joint Publication 1-02 ``DoD 
Dictionary of Military and Associated Terms'' (available at http://
www.dtic.mil /doctrine /new-- pubs/jp1-- 02.pdf).
    Company. As defined in DoD 5220.22-M.
    Components. DoD Components and non-DoD Components for which DoD 
provides industrial security services in accordance with E.O. 12829.

[[Page 727]]

    COMSEC. As defined in Joint Publication 6-0, ``Joint Communication 
System'' (available at http://www.dtic.mil /doctrine /new--pubs/ jp6--
0.pdf).
    Contractor. As defined in DoD 5220.22-M.
    Counterintelligence. As defined in Joint Publication 1-02.
    Covered transaction. As defined in DoD Instruction 2000.25, ``DoD 
Procedures for Reviewing and Monitoring Transactions Filed with the 
Committee on Foreign Investment in the United States (CFIUS)''. 
(available at http://www.dtic.mil /whs/directives /corres/pdf /
200025p.pdf).
    CSA. As defined in DoD 5220.22-M.
    Defense articles. As defined in DoD 5220.22-M.
    Defense Industrial Base. As defined in Joint Publication 1-02.
    Document. As defined in E.O. 13526.
    DoD Components. Office of the Secretary of Defense (OSD), the 
Military Departments, the Office of the Chairman of the Joint Chiefs of 
Staff and the Joint Staff, the Combatant Commands, the Office of the 
Inspector General of the Department of Defense, the Defense Agencies, 
the DoD Field Activities, and all other organizational entities within 
DoD.
    Facility. As defined in DoD 5220.22-M.
    Facility security clearance (FCL). As defined in DoD 5220.22-M.
    Facility Security Officer (FSO). A U.S. citizen contractor employee, 
who is cleared as one of the Key Management Personnel required for the 
FCL, to supervise and direct security measures necessary for 
implementing applicable requirements set forth in DoD 5220.22-M.
    FOCI action plan. For purposes of this part, the methods or 
agreements that can be applied to mitigate or negate the risk of foreign 
ownership or control to allow a U.S. contractor to maintain or a U.S. 
company to be granted an FCL.
    FOCI mitigation agreement. For purposes of this part, a signed 
agreement between a foreign interest and a U.S. contractor or a company 
in process for an FCL which, based on an assessment of FOCI information, 
imposes various security measures within an institutionalized set of 
company practices and procedures. Examples include board resolutions, 
security control agreements (SCAs) and special security agreements.
    FOCI negation agreement. For purposes of this part, a signed 
agreement between a foreign interest and U.S. contractor or a company in 
process for an FCL under which the foreign owner relinquishes most 
ownership rights to U.S. citizens who are approved by the U.S. 
Government and have been favorably adjudicated for access to classified 
information based on the results of a personnel security clearance 
investigation. Examples include voting trust agreements (VTAs) and proxy 
agreements (PAs).
    Foreign government information (FGI). As defined in E.O. 13526.
    Foreign interest. As defined in DoD 5220.22-M.
    GCA. As defined in DoD 5220.22-M.
    Industrial security. As defined in DoD 5220.22-M.
    Information. As defined in E.O. 13526.
    Limited Access Authorization (LAA). As defined in DoD 5220.22-M.
    National interest determination (NID). As defined in 32 CFR part 
2004, ``National Industrial Security Program Directive No. 1.''
    Non-DoD Components. Those USG executive branch departments and 
agencies identified in DoD 5220.22-M that have entered into agreements 
with the Secretary of Defense to act as the NISP Cognizant Security 
Agency (CSA) for, and on their behalf, in rendering security services 
for the protection of classified information disclosed to or generated 
by industry pursuant to Section 202 of E.O. 12829.
    Personnel security clearance (PCL). As defined in DoD 5220.22-M.
    Personnel security clearance assurance (PCLSA). A written 
certification by USG or applicable foreign government industrial 
security authorities, which certifies the PCL level or eligibility for a 
PCL at a specified level for their citizens. The assurance is used, in 
the case of the United States, to give an LAA to a non-U.S. citizen, 
provided all other investigative requirements are met.
    Prime contract. As defined in DoD 5220.22-M.

[[Page 728]]

    Proscribed information. TOP SECRET (TS) information, COMSEC 
information excluding controlled cryptographic items when unkeyed and 
utilized with unclassified keys, restricted data (RD), special access 
program (SAP) information, or sensitive compartmented information (SCI).
    Restricted Data (RD). As defined in DoD 5220.22-M.
    Sensitive compartmented information (SCI). As defined in Joint 
Publication 1-02.
    Security assurance. A written confirmation, requested by and 
exchanged between governments, that contains the following elements: 
Verification of the personnel security clearance (PCL) level of the 
sponsoring foreign government's citizens or nationals; a statement by a 
responsible official of the sponsoring foreign government that the 
recipient of the information is approved by the sponsoring foreign 
government for access to information of the security classification 
involved on behalf of the sponsoring government; and an obligation that 
the sponsoring foreign government will ensure compliance with any 
security agreement or other use, transfer and security requirements 
specified by the components. The security assurance usually will be in a 
request for visit authorization or with courier orders or a 
transportation plan; but is not related to the PCL security assurance.
    Special Access Program (SAP). As defined in E.O. 13526.
    Subcontract. As defined in DoD 5220.22-M.



Sec. 117.54  Policy.

    It is DoD policy that DoD FOCI procedures will be used to protect 
against foreign interests:
    (a) Gaining unauthorized access to classified, export-controlled, or 
all communications security (COMSEC) (classified or unclassified) 
information in accordance with E.O. 12829 and DoD Instruction 8523.01, 
``Communications Security'' (available at http://www.dtic.mil /whs/
directives /corres/pdf/ 852301p.pdf). DoD FOCI procedures for access to 
unclassified COMSEC are set forth in National Security Agency Central 
Security Service (NSA/CSS) Policy Manual 3-16, ``Control of 
Communications Security Material'' (available to authorized users of 
SIPRNET at www.iad.nsa.smil.mil/resources/library/nsa--office--of--
policy--section/pdf/NSA--CSS--MAN-3-16--080505.pdf).
    (b) Adversely affecting the performance of classified contracts, in 
accordance with E.O. 12829.
    (c) Undermining U.S. security and export controls, in accordance 
with E.O. 12829.



Sec. 117.55  Responsibilities.

    (a) The Under Secretary of Defense for Intelligence (USD(I)) will, 
in accordance with DoD Directive 5143.01, ``Under Secretary of Defense 
for Intelligence (USD(I))'' (available at http://www.dtic.mil /whs/
directives /corres/pdf/ 514301p.pdf) and DoD Instruction 5220.22, 
``National Industrial Security Program'' (see http://www.dtic.mil /whs/
directives /corres/pdf /522022p.pdf):
    (1) Oversee policy and management of the NISP, to include FOCI 
matters.
    (2) Direct, administer, and oversee the FOCI provisions of the NISP 
to ensure that the program is efficient and consistently implemented.
    (3) Provide additional guidance regarding FOCI matters by memorandum 
as needed.
    (4) Coordinate with the Under Secretary of Defense for Policy 
(USD(P)) and the Under Secretary of Defense for Acquisition, Technology 
and Logistics (USD(AT&L)) on matters under their cognizance that affect 
the NISP consistent with paragraphs (c) and (d) of this section.
    (b) The Director, Defense Security Service (DSS), in addition to the 
responsibilities in paragraph (d) of this section, under the authority, 
direction, and control of the USD(I) will in accordance with DoD 
Instruction 5220.22, ``National Industrial Security Program'' (available 
at http://www.dtic.mil /whs/directives /corres/pdf/ 522022p.pdf).
    (1) Make FOCI determinations on a case-by-case basis for U.S. 
contractors or companies under consideration for an FCL under the NISP.
    (2) Collect information necessary to examine the source, nature, and 
extent of a company's ownership, control, or influence by foreign 
interests.
    (3) Determine, on behalf of the GCAs, whether a U.S. company is 
under FOCI

[[Page 729]]

to such a degree that the granting of an FCL would be inconsistent with 
the U.S. national security interests.
    (4) Determine the security measures necessary to negate or mitigate 
FOCI and make recommendations to the U.S. company and to those GCAs with 
a contractual interest or other equity in the matter.
    (5) Provide GCAs a guide to clarify their roles and responsibilities 
with respect to the FOCI process and to national interest determinations 
(NIDs), in particular. Update the guide, as needed, in coordination with 
the Office of the Under Secretary of Defense for Intelligence (OUSD(I)) 
Security Directorate.
    (6) Determine a U.S. company's eligibility for an FCL on an initial 
and continuing basis depending on recurring security reviews and other 
interactions.
    (7) Develop proposed changes to maintain the currency and 
effectiveness of this part. Forward proposed changes and associated 
justification to the OUSD(I) Security Directorate for consideration as 
future changes to this part.
    (8) Consider and, as warranted, approve requests for exception to 
DoD 5220.22-M in consultation with affected GCAs for specific 
contractors and for specific periods of time (such as, to the completion 
date of a contract) when a contractor is unable to comply with the 
requirements of DoD 5220.22-M. Consideration of such requests will 
include an evaluation of any proposed alternative procedures with 
supporting justification and coordination as applicable, consistent with 
paragraph (a)(4) of this section.
    (9) Coordinate and receive the concurrence of the OUSD(I) Security 
Directorate on requests for exception to DoD 5220.22-M and consistent 
with paragraph (a)(4) of this section when any of the following 
provisions apply:
    (i) The request exceeds the authority of the Director, DSS as 
defined in this section;
    (ii) The proposed exception applies to more than one contractor 
location; or,
    (iii) The exception would be contrary to U.S. national policy or 
international agreements, including those relating to foreign government 
information (FGI) and international issues under the cognizance of the 
USD(P) with coordination as applicable, consistent with paragraph (a)(4) 
of this section.
    (c) The USD(P) will, in accordance with DoD Directive 5111.1, 
``Under Secretary of Defense for Policy (USD(P))'' (available at http://
www.dtic.mil/whs/directives/corres/pdf/511101p.pdf), advise the USD(I) 
and DSS on the foreign relations and international security aspects of 
FOCI, including FGI, foreign disclosures of U.S. classified information, 
exports of defense articles and technical data, security arrangements 
for DoD international programs, North Atlantic Treaty Organization 
security, and international agreements.
    (d) The USD(AT&L) will, in accordance with DoD Directive 5134.01, 
``Under Secretary of Defense for Acquisition, Technology and Logistics 
(USD(AT&L))'' (available at http://www.dtic.mil/whs/directives/corres/
pdf/513401p.pdf):
    (1) Advise the USD(I) on the development and implementation of NISP 
policies, in accordance with DoD Instruction 5220.22.
    (2) Ensure that DoD Components establish and maintain a record 
capturing the current and legitimate need for access to classified 
information by contractors in the Defense Industrial Base.
    (3) Ensure that acquisition elements of DoD Components comply with 
the applicable provisions of DoD 5220.22-M.
    (e) The Director, DoD SAP Central Office (SAPCO) will, in accordance 
with DoD Directive 5205.07, ``Special Access Program (SAP) Policy'' 
(available at http://www.dtic.mil/whs/directives/corres/pdf/
520507p.pdf), notify DSS of the existence of SAP equities when DSS 
considers the acceptability of a contractor's FOCI action plan. In 
addition, the Director, DoD SAPCO, will develop procedures for the 
consideration of a NID when a contractor cleared under a Special 
Security Agreement (SSA) requires access to an unacknowledged Special 
Access Program (SAP).
    (f) The Heads of the Components will:
    (1) Oversee compliance by GCA personnel with applicable procedures 
identified in this subpart.
    (2) Designate in writing an individual who is authorized to make 
decisions

[[Page 730]]

and provide a coordinated GCA position on FOCI matters to DSS within 
timelines established in this part.
    (3) Submit proposed changes to DoD 5220.22-M, as deemed appropriate, 
to the OUSD(I) Security Directorate.



Sec. 117.56  Foreign ownership, control or influence (FOCI).

    (a) General. This section provides guidance for and establishes 
procedures concerning the initial or continued FCL eligibility of U.S. 
companies and U.S. contractors with foreign involvement; provides 
criteria for determining whether U.S. companies are under FOCI; 
prescribes responsibilities in FOCI matters; and outlines security 
measures that DSS may consider to mitigate or negate the effects of FOCI 
to an acceptable level. As stated in DoD 5220.22-M, and in accordance 
with E.O. 12829:
    (1) The Secretary of Defense serves as the Executive Agent for 
inspecting and monitoring contractors who require or will require access 
to, or who store or will store classified information.
    (2) The Components reserve the discretionary authority, and have the 
obligation, to impose any security procedure, safeguard, or restriction 
they believe necessary to ensure that unauthorized access to classified 
information is effectively precluded and that performance of classified 
contracts, as defined in DoD 5220.22-M, is not adversely affected by 
FOCI.
    (b) Procedures -- (1) Criteria. A U.S. company is considered to be 
under FOCI whenever a foreign interest has the power, direct or indirect 
(whether or not exercised, and whether or not exercisable through the 
ownership of the U.S. company's securities, by contractual arrangements 
or other means), to direct or decide matters affecting the management or 
operations of the company in a manner that may result in unauthorized 
access to classified information or may adversely affect the performance 
of classified contracts.
    (2) FOCI Analysis. Conducting an analysis of available information 
on a company to determine the existence, nature, and source of FOCI is a 
critical aspect of evaluating previously uncleared companies for FCLs 
and also in determining continued eligibility of contractors for FCLs.
    (i) A U.S. company determined to be under FOCI is ineligible for an 
FCL unless and until security measures have been put in place to 
mitigate FOCI.
    (ii) In making a determination as to whether a company is under 
FOCI, DSS will consider the information provided by the company or its 
parent entity on the Standard Form (SF) 328, ``Certificate Pertaining to 
Foreign Interests,'' (available at http://www.dtic.mil/whs/directives/
infomgt/forms/eforms/sf0328.pdf) and any other relevant information 
(e.g., filings with the Securities and Exchange Commission (for publicly 
traded companies), articles of incorporation, by-laws, and loan and 
shareholder agreements, as well as other publicly available information 
about the company. Depending on specific circumstances (e.g., extensive 
minority foreign ownership at a cleared subsidiary in the corporate 
family), DSS may request one or more of the legal entities that make up 
a corporate family to submit individual SF 328s and will determine the 
appropriate FOCI action plan(s) that must be put in place.
    (iii) When a contractor has been determined to be under FOCI, the 
primary consideration will be the safeguarding of classified 
information. DSS is responsible for taking whatever interim action is 
necessary to safeguard classified information, in coordination with 
other affected agencies as appropriate consistent with Sec. 117.54.
    (iv) When a merger, sale, or acquisition involving a foreign 
interest and a contractor is finalized prior to having an acceptable 
FOCI mitigation or negation agreement in place, DSS will invalidate any 
existing FCL until such time as DSS determines that the contractor has 
submitted an acceptable FOCI action plan (see DoD 5220.22-M) and has 
agreed to interim measures that address FOCI concerns pending formal 
execution of a FOCI mitigation or negation agreement. Invalidation 
renders the contractor ineligible to receive new classified material or 
to bid on new classified contracts. If the affected GCA determines that 
continued access to classified material is required, DSS may continue 
the FCL in

[[Page 731]]

an invalidated status when there is no indication that classified 
information is at risk of compromise. If classified information remains 
at risk of compromise due to the FOCI, DSS will take action to impose 
appropriate security countermeasures or terminate the FCL, in 
coordination with the affected GCA.
    (v) Changed conditions, such as a change in ownership, indebtedness, 
or a foreign intelligence threat, may justify certain adjustments to the 
security terms under which a contractor is cleared or, alternatively, 
require the use of a particular FOCI mitigation or negation agreement. 
Depending on specific circumstances, DSS may determine that a contractor 
is no longer under FOCI or, conversely, that a contractor is no longer 
eligible for an FCL.
    (vi) If the contractor determined to be under FOCI does not have 
possession of classified material and does not have a current or pending 
requirement for access to classified information, DSS will 
administratively terminate the FCL.
    (3) Assessing the Implications of FOCI. (i) If DSS determines that a 
company is under FOCI, DSS will assess the extent and manner to which 
the FOCI may result in unauthorized access to classified information or 
adverse impact on the performance of classified contracts and the type 
of actions, if any, that would be necessary to mitigate or negate the 
associated risks to a level deemed acceptable to DSS. An analysis of 
some of the FOCI factors may clearly identify risk; while others may 
result in circumstances that would mitigate or negate risks. Therefore, 
these factors must be considered in the aggregate with regard to the 
foreign interest that is the source of the FOCI, the country or 
countries in which the foreign interest is domiciled and has its 
principal place of business (if not in the country of domicile), and any 
other foreign country that is identified by DSS because it is a 
substantial source of the revenue for, or otherwise has significant ties 
to, the foreign interest. DSS will consider the following FOCI factors 
and any other relevant information in the context of threat, 
vulnerability, and sensitivity of the classified information required 
for current or prospective contract performance when rendering a risk 
management assessment and determination of the acceptability of a 
company's FOCI action plan:
    (A) Record of economic and government espionage against U.S. 
targets.
    (B) Record of enforcement and/or engagement in unauthorized 
technology transfer.
    (C) Record of compliance with pertinent U.S. laws, regulations, and 
contracts.
    (D) The type and sensitivity of the information that will be 
accessed.
    (E) The source, nature, and extent of FOCI, including, but not 
limited to, whether a foreign interest holds a majority or substantial 
minority position in the company, taking into consideration the 
immediate, intermediate, and ultimate parent companies of the company or 
prior relationships between the U.S. company and the foreign interest.
    (F) The nature of any relevant bilateral and multilateral security 
and information exchange agreements, (e.g., the political and military 
relationship between the United States Government (USG) and the 
government of the foreign interest).
    (G) Ownership or control, in whole or in part, by a foreign 
government.
    (H) Any other factor that indicates or demonstrates a capability on 
the part of foreign interests to control or influence the operations or 
management of the business organization concerned.
    (ii) As part of its FOCI assessment and evaluation of any FOCI 
action plan, DSS will also request and consider counterintelligence (CI) 
and technology transfer risk assessments and any available intelligence 
from all appropriate USG sources. DSS will request these assessments as 
soon as practicable, for the company itself and for all business 
entities in the company's ownership chain.
    (iii) If a company disputes a DSS determination that the company is 
under FOCI, or disputes the DSS determination regarding the types of 
actions necessary to mitigate or negate the FOCI, the company may appeal 
in writing those determinations to the Director, DSS, for a final agency 
decision no

[[Page 732]]

later than 30 days after receipt of written notification of the DSS 
decision. The company must identify the specific relief sought and 
grounds for that relief in its appeal. In response, the Director, DSS, 
may request additional information from the company. At a minimum, DSS 
will respond to appeals within 30 days, either with a decision or an 
estimate as to when a decision will be rendered. DSS will not release 
pre-decisional information to the company, its legal counsel, or any of 
its representatives without the express written approval of the 
applicable GCAs who own the data and any other USG entities with an 
interest in the company's FOCI action plan.
    (iv) DoD recognizes that FOCI concerns may arise in a variety of 
other circumstances, all of which cannot be listed in this subpart. In 
FOCI cases involving any foreign ownership or control, DSS will advise 
and consult with the appropriate GCAs, including those with special 
security needs, regarding the required FOCI mitigation or negation 
method and provide those GCAs with the details of the FOCI factors and 
any associated risk assessments. DSS and GCAs will meet to discuss the 
FOCI action plan, when determined necessary by either DSS or the 
applicable GCAs. When DSS determines that a company may be ineligible 
for an FCL by virtue of FOCI, or that additional action by the company 
may be necessary to mitigate the FOCI or associated risks, DSS will 
promptly notify the company and require it to submit a FOCI action plan 
to DSS within 30 calendar days of the notification. In addition, DSS 
will advise company management that failure to submit the requested plan 
within the prescribed period of time will result in termination of FCL 
processing or initiation of action to revoke an existing FCL, as 
applicable.
    (v) In instances where the identification of a foreign owner or 
voting interest of five percent or more cannot be adequately ascertained 
(e.g., the participating investors in a foreign investment or hedge 
fund, owning five percent or more of the company, cannot be identified), 
DSS may determine that the company is not eligible for an FCL.
    (vi) DSS will review and consider the FOCI action plan itself, the 
factors identified in paragraph (b)(3)(i) of this section, and any 
threat or risk assessments or other relevant information. If an action 
plan is determined to be unacceptable, DSS can recommend and negotiate 
an acceptable action plan including, but not limited to, the measures 
identified in paragraphs (b)(4)(ii) and (b)(4)(iii) of this section. In 
any event, DSS will provide written feedback to a company or the 
company's designated representative on the acceptability of the FOCI 
action plan within 30 calendar days of receipt.
    (4) Options To Address FOCI. (i) Under all FOCI action plans, 
management positions requiring PCLs in conjunction with the FCL must be 
filled by eligible U.S. citizens residing in the United States in 
accordance with DoD 5220.22-M.
    (ii) When factors related to foreign control or influence are 
present, but unrelated to ownership, the plan must provide positive 
measures that assure that the foreign interest can be effectively denied 
access to classified information and cannot otherwise adversely affect 
performance on classified contracts. Non-exclusive examples of such 
measures include:
    (A) Adoption of special board resolutions.
    (B) Assignment of specific oversight duties and responsibilities to 
independent board members.
    (C) Formulation of special executive-level security committees to 
consider and oversee matters that affect the performance of classified 
contracts.
    (D) The appointment of a technology control officer.
    (E) Modification or termination of loan agreements, contracts, and 
other understandings with foreign interests.
    (F) Diversification or reduction of foreign-source income.
    (G) Demonstration of financial viability independent of foreign 
interests.
    (H) Elimination or resolution of problem debt.
    (I) Physical or organizational separation of the contractor 
component performing on classified contracts.
    (J) Other actions that negate or mitigate foreign control or 
influence.

[[Page 733]]

    (iii) FOCI concerns related to foreign ownership of a company or 
corporate family arise when a foreign interest has the ability, either 
directly or indirectly, whether exercised or exercisable, to control or 
influence the election or appointment of one or more members to the 
company's governing board (e.g., Board of Directors, Board of Managers, 
or Board of Trustees) or its equivalent, by any means. Some methods that 
may be applied to mitigate the risk of foreign ownership are outlined in 
DoD 5220.22-M and further described in this section. While these methods 
are mentioned in relation to specific ownership and control thresholds, 
these descriptions should not be construed as DoD-sanctioned criteria 
mandating the selection or acceptance of a certain FOCI action plan. DSS 
retains the authority to reject or modify any proposed FOCI action plan 
in consultation with the affected GCAs.
    (A) Board Resolution. This method is often used when a foreign 
interest does not own voting interests sufficient to elect, or otherwise 
is not entitled to representation on the company's governing board. In 
such circumstances, the effects of foreign ownership will generally be 
mitigated by a resolution of the board of directors stating the company 
recognizes the elements of FOCI and acknowledges its continuing 
obligations under DD Form 441, ``DoD Security Agreement'' (available at 
http://www.dtic.mil/whs/directives/infomgt/forms/eforms/dd0441.pdf). The 
resolution will identify the foreign shareholders and their 
representatives (if any) and note the extent of foreign ownership. The 
resolution will also include a certification that the foreign 
shareholders and their representatives will not require, will not have, 
and can be effectively excluded from access to all classified 
information in the possession of the contractor, and will not be 
permitted to occupy positions that may enable them to influence the 
organization's policies and practices in the performance of classified 
contracts. Copies of such resolutions will be furnished to all board 
members and principal management officials.
    (B) SCA. The SCA is a tailored FOCI mitigation agreement often used 
when a foreign interest does not effectively own or control a company or 
corporate family (i.e., the company or corporate family are under U.S. 
control), but the foreign interest is entitled to representation on the 
company's board. When an SCA is implemented, a U.S. citizen serves as an 
outside director, as defined in DoD 5220.22-M. DSS may determine the 
need for more than one outside director based on the FOCI analysis and 
risk assessments.
    (C) SSA. The SSA is a tailored FOCI mitigation agreement that 
preserves the foreign owner's right to be represented on the company's 
board (inside directors) with a direct voice in the business management 
of the company while denying the foreign owner unauthorized access to 
classified information. An SSA is based on the analysis of the FOCI 
factors set forth in paragraph (b)(3) and is often used when a foreign 
interest effectively owns or controls a company or corporate family. DSS 
assesses the implications of the FOCI factors in accordance with 
paragraphs (b)(3) and (b)(4)(iii) of this section. U.S. citizens serve 
as outside directors in accordance with DoD 5220.22-M.
    (1) If a GCA requires a contractor cleared under an SSA to have 
access to proscribed information, the GCA will initiate action to 
consider a NID at the pre-contract phase to confirm that disclosure of 
such information is consistent with the national security interests of 
the United States.
    (2) Proscribed information includes TS; COMSEC material, excluding 
controlled cryptographic items when unkeyed and utilized with 
unclassified keys; RD; SAP; and SCI.
    (3) Contractor access to proscribed information will not be granted 
without the approval of the agency with control jurisdiction (i.e., 
National Security Agency (NSA) for COMSEC, whether the COMSEC is 
proscribed information or not; the Office of the Director of National 
Intelligence (ODNI) for SCI; and the Department of Energy (DOE) for RD 
in accordance with its policies).
    (4) In accordance with 32 CFR, part 2004 and the procedures in 
paragraph (b)(5) of this section, GCAs will forward a request for 
concurrence to NSA,

[[Page 734]]

ODNI, or DOE when a proposed NID involves access to COMSEC, SCI, or RD, 
respectively, within 30 calendar days of DSS advisement of the NID 
requirement. NSA, ODNI, and DOE, as appropriate, will then have 30 
calendar days to render a decision.
    (D) VTA or PA. These FOCI negation agreements may be used when a 
foreign interest effectively owns or controls a company or corporate 
family. Under a VTA, PA and associated documentation, the foreign owner 
relinquishes most rights associated with ownership of the company to 
cleared U.S. citizens approved by DSS. Both FOCI agreements can 
effectively negate foreign ownership and control; therefore, neither 
agreement imposes any restrictions on the company's eligibility to have 
access to classified information or to compete for classified contracts 
including contracts with proscribed information. Both FOCI agreements 
can also effectively negate foreign government control (see paragraph 
(b)(11) of this section which provides guidance and requirements 
regarding foreign government ownership or control, including with 
respect to 10 U.S.C. 2536, ``Award of Certain Contracts to Entities 
Controlled by a Foreign Government Prohibition (available at http://
www.gpo.gov /fdsys/granule/ USCODE- 2010-title 10/USCODE- 2010-title 10-
subtitleA- partIV -chap148- subchapV- sec2536/content- detail.html)). 
DSS retains the authority to deny a proposed VTA or PA.
    (iv) When DSS implements a FOCI mitigation or negation agreement at 
a contractor, the agreement may specify that the entire agreement, or 
that particular provisions of the agreement (e.g., the provisions 
restricting unauthorized access to classified information and 
unclassified export-controlled information and the provisions of the 
visitation policy) will apply to and will be made binding upon all 
present and future subsidiaries of the company. If a subsidiary requires 
and is eligible for an FCL at the TS level, the company executing the 
FOCI mitigation agreement and any intermediate parents must be formally 
excluded from TS access unless they have their own requirement and are 
otherwise eligible for TS access.
    (v) DSS will provide a copy of the DSS FOCI assessment, proposed 
FOCI action plan and any associated risk assessments to the GCAs with an 
interest in the company or corporate family. In the absence of written 
objections (signed at the Program Executive Office (PEO) level or 
higher) from GCAs with an interest in the company or corporate family, 
DSS may proceed with implementation of what DSS considers in its 
discretion to be an acceptable FOCI action plan based on available 
information. Unless other regulatory review processes for mergers or 
acquisitions have an earlier suspense date, DSS will provide a 30 
calendar day period for the GCAs with an interest in the company or 
corporate family to provide their PEO level or higher written 
objections.
    (vi) DSS will submit to the USD(I) for approval the DSS templates 
for those FOCI mitigation or negation agreements identified in paragraph 
(b)(4)(iii) of this section as well as templates for any supplements 
thereto (e.g., the electronic communications plan (ECP) or technology 
control plan (TCP)). DSS may propose changes to the contents of these 
template FOCI mitigation or negation agreements. DSS may tailor non-
substantive provisions of the template agreement for any particular FOCI 
case without further approval from the USD(I), provided DSS notifies the 
OUSD(I) Security Directorate of the deviation from the template. DSS may 
provide this notification through the electronic submission of an 
annotated copy of the modified agreement.
    (5) NID. The requirement for a NID to authorize access to proscribed 
information applies only to those foreign-owned U.S. contractors or 
companies in process for an FCL under an SSA which is used as a 
mechanism for FOCI mitigation. A NID does not authorize disclosure of 
classified information to a foreign government, a non-U.S. citizen or a 
non-U.S. entity. Timelines for NID decisions are set forth in 32 CFR 
part 2004 and the provisions of this paragraph. NIDs can be program, 
project, or contract specific, subject to the concurrence of NSA for 
COMSEC, ODNI for SCI or DOE for RD. For program and project NIDs, a 
separate NID

[[Page 735]]

is not required for each contract. DSS will inform the DoD SAPCO of NID 
requirements to allow the SAPCO to advise of awareness of unacknowledged 
SAPs or any carve-out SAP activity.
    (i) A NID is necessary when access to proscribed information is 
required for:
    (A) Pre-contract activities in accordance with paragraph 
(b)(4)(iii)(C)(1) of this section.
    (B) New contracts to be issued to a company in process for an FCL 
that DSS has determined to be under FOCI when an SSA is anticipated, or 
a contractor already cleared under an SSA.
    (C) Existing contracts when a contractor is acquired by foreign 
interests and proposes an SSA as the FOCI action plan.
    (ii) If a contractor is proposing to use an SSA to mitigate FOCI and 
requires access to proscribed information:
    (A) DSS will:
    (1) Request the contractor to provide information on all impacted 
contracts, both prime and subcontracts, unless the contractor is 
prohibited by contract from revealing their existence to DSS. In such 
instances, DSS will request that the contractor notify the government 
contracting officer and Program Security Officer of the need for a NID.
    (2) Provide written notification to the individual designated by the 
Component, in accordance with paragraph (f) of Sec. 117.55 within 30 
calendar days of identifying the requirement for a NID.
    (3) Provide to appropriate GCAs the contractor's proposed FOCI 
action plan, any associated risk assessments, and DSS' recommendation 
for FOCI mitigation.
    (4) Ask the GCA to identify all of the GCA's contracts affected by 
the proposed SSA that require a NID decision, unless the activity is 
unacknowledged. The cognizant SAPCO will inform the DoD SAPCO of any 
unacknowledged SAPs affected by the proposed SSA and consequently the 
NID requirement.
    (5) Provide OUSD(I) Security Directorate and the OUSD(AT&L), Deputy 
Assistant Secretary of Defense for Manufacturing and Industrial Base 
Policy, a monthly report of pending NID decisions that:
    (i) Exceed 30 calendar days from the date of the DSS written notice 
to the applicable GCA.
    (ii) Have been pending for NSA, ODNI, or DOE concurrence for more 
than 30 calendar days.
    (B) OUSD(I) will intervene, as warranted, with GCAs regarding NID 
decisions pending beyond 30 calendar days from the date of the DSS 
written notice, as well as with NSA, ODNI, and DOE regarding concurrence 
decisions that remain pending beyond 30 days from the date of the GCA 
request.
    (C) OUSD(AT&L) will confer, as warranted, with the applicable DoD 
Service Acquisition Executive or component equivalent about unresolved 
NID decisions.
    (D) The GCA will, upon written notification by DSS of the need for a 
NID:
    (1) Review the FOCI action plan proposed by the uncleared company, 
in addition to any associated risk assessments and the DSS analysis of 
the appropriate FOCI mitigation based on the existing FOCI factors.
    (2) Consider the FOCI factors noted in paragraph (b)(3) of this 
section in the aggregate with any associated risk assessments and DSS' 
analysis to determine whether to issue a NID.
    (3) Provide DSS, as appropriate, one of the following within 30 
calendar days of the DSS written notification that a NID is required:
    (i) A final, documented NID with a copy provided to the contractor. 
If the NID is not specific to a single program, project, or contract 
(e.g., a blanket NID), the GCA will also forward a copy of the NID to 
the OUSD(I) Security Directorate.
    (ii) A copy of the GCA's request for NID concurrence sent to NSA, 
ODNI, or DOE, when access to COMSEC, SCI, or RD is involved. The GCA 
will request that NSA, ODNI, or DOE respond within 30 calendar days of 
the date of the GCA's written request directly to DSS with a copy to the 
GCA.
    (iii) A GCA decision that it will not issue a NID.
    (4) Contact DSS to determine an alternative method to the proposed 
SSA when the GCA chooses not to issue a NID (e.g., a contract 
modification, a

[[Page 736]]

contract novation, or a PA or VTA authorized by the Program Executive 
Officer).
    (5) Notify DSS in writing when NSA, ODNI, or DOE renders a decision 
on a proposed NID involving access to COMSEC, SCI, or RD, respectively. 
A GCA's NID decision is not final until NSA, ODNI, or DOE, as 
applicable, respond regarding access to COMSEC, SCI, or RD.
    (6) When denying a NID, retain documentation explaining the 
rationale for the decision.
    (6) Government Security Committee (GSC). (i) Under a VTA, PA, SSA, 
or SCA, DSS will ensure that the contractor establishes a permanent 
committee of its Board of Directors or similar body known as the GSC.
    (A) The members of the GSC are required in accordance with DoD 
5220.22-M to ensure that the contractor maintains policies and 
procedures to safeguard classified and export controlled information 
entrusted to it, and that violations of those policies and procedures 
are promptly investigated and reported to the appropriate authority when 
it has been determined that a violation has occurred.
    (B) The GSC will also take the necessary steps in accordance with 
DoD 5220.22-M to ensure that the contractor complies with U.S. export 
control laws and regulations and does not take action deemed adverse to 
performance on classified contracts. This will include the appointment 
of a Technology Control Officer and the establishment of Technology 
Control Plan (TCP).
    (ii) DSS will provide oversight, advice, and assistance to GSCs. 
These measures are intended to ensure that GSCs:
    (A) Maintain policies and procedures to safeguard classified 
information and export-controlled unclassified information in the 
possession of the contractor with no adverse impact on the performance 
of classified contracts.
    (B) Verify contractor compliance with the DD Form 441 or its 
successor form, the FOCI mitigation agreement or negation agreement and 
related documents, contract security requirements, USG export control 
laws, and the NISP.
    (iii) In the case of an SSA, DSS will ensure that the number of 
outside directors exceeds the number of inside directors, as defined in 
DoD 5220.22-M. DSS will determine if the outside directors should be a 
majority of the Board of Directors based on an assessment of security 
risk factors pertaining to the contractor's access to classified 
information. In the case of an SCA, DSS will require the contractor to 
have at least one outside director, but may require more than one 
outside director based on an assessment of security risk factors.
    (iv) In the case where a contractor is cleared to the SECRET level 
under an SSA, and also has a subsidiary with a TS FCL based on an 
approved NID, some or all of the outside directors of the cleared parent 
contractor may be sponsored for eligibility for access to TS information 
with their TS PCLs held by the subsidiary. Access will be at the level 
necessary for the outside directors to carry out their security or 
business responsibilities for oversight of the subsidiary company in 
accordance with DoD 5220.22-M. If the subsidiary has an approved NID for 
access to SAP or SCI, the applicable GCA may determine that an outside 
director at the parent contractor requires approved access at the 
subsidiary.
    (7) Technology Control Plans (TCPs). Under a VTA, PA, SSA, SCA, or 
Limited FCL, DSS will require the contractor to develop and implement a 
TCP as required in DoD 5220.22-M. DSS will evaluate and, if the plan is 
adequate, approve the TCP. The TCP must include a description of all 
security measures required to prevent the unauthorized disclosure of 
classified or export-controlled information. Although TCPs must be 
tailored to the specific circumstances of the contractor or corporate 
family to be effective, DSS may provide examples of TCPs to the 
contractor to assist plan creation.
    (8) Electronic Communication Plan (ECP). Under a VTA, PA, or SSA, 
DSS will require the contractor to develop and implement an ECP tailored 
to the contractor's operations. DSS will determine the extent of the ECP 
and review the plan for adequacy. The ECP must include a detailed 
network description and configuration diagram

[[Page 737]]

that clearly delineates which networks will be shared and which will be 
protected from access by the foreign parent or its affiliates. The 
network description will address firewalls, remote administration, 
monitoring, maintenance, and separate email servers, as appropriate.
    (9) Administrative Support Agreement (ASA). There may be 
circumstances when the parties to a transaction propose in the FOCI 
action plan that the U.S. contractor provides certain services to the 
foreign interest, or the foreign interest provides services to the U.S. 
contractor. The services to be provided must be such that there is no 
violation of the applicable FOCI mitigation or negation agreement. If 
approved, the extent of such support and limitations on the support will 
be fully documented in an ASA.
    (10) Annual Review and Certification--(i) Annual Meeting. DSS will 
meet at least annually with the GSCs of contractor's operating under a 
VTA, PA, SSA, or SCA to review and discuss the purpose and effectiveness 
of the FOCI mitigation or negation agreement; establish a common 
understanding of the operating requirements and their implementation; 
answer questions from the GSC members; and provide guidance on matters 
related to FOCI mitigation and industrial security. These meetings will 
also include an examination by DSS, with the participation of the (FSO) 
and the GSC members, of:
    (A) Compliance with the approved security arrangement, standard 
rules, and applicable laws and regulations.
    (B) Problems regarding the practical application or utility of the 
security arrangement.
    (C) Security controls, practices, or procedures and whether they 
warrant adjustment.
    (ii) Annual Certification. For contractors operating under a VTA, 
PA, SSA, or SCA, DSS will obtain from the Chair of the GSC an 
implementation and compliance report one year from the effective date of 
the agreement and annually thereafter. DSS will review the annual 
report; address, resolve, or refer issues identified in the report; 
document the results of this review and any follow-up actions; and keep 
a copy of the report and documentation of related DSS actions on file 
for 15 years. The GSC's annual report must include:
    (A) A detailed description stating how the contractor is carrying 
out its obligations under the agreement.
    (B) Changes to security procedures, implemented or proposed, and the 
reasons for those changes.
    (C) A detailed description of any acts of noncompliance with FOCI 
provisions and a discussion of steps taken to prevent such acts from 
recurring.
    (D) Any changes or impending changes of senior management officials 
or key board members, including the reasons for the change.
    (E) Any changes or impending changes in the organizational structure 
or ownership, including any acquisitions, mergers, or divestitures.
    (F) Any other issues that could have a bearing on the effectiveness 
of the applicable agreement.
    (11) Foreign Government Ownership or Control. (i) In accordance with 
10 U.S.C. 2536, the DoD cannot award contracts involving access to 
proscribed information to a company effectively owned or controlled by a 
foreign government unless a waiver has been issued by the Secretary of 
Defense or designee.
    (ii) A waiver is not required if the company is cleared under a PA 
or VTA because both agreements effectively negate foreign government 
control.
    (iii) DSS will, after consultation with the GCA, determine if a 
waiver is needed in accordance with subpart 209.104-1 of the Defense 
Federal Acquisition Regulation Supplement ``Responsible Prospective 
Contractors, General Standards'' (available at http://www.acq.osd.mil /
dpap/dars /dfars/pdf/r2009 0115/209--1.pdf. The GCA will request the 
waiver from the USD(I) and provide supporting information, to include a 
copy of the proposed NID.
    (iv) Upon receipt of an approved waiver, the GCA will forward the 
waiver and the NID to DSS.
    (v) If the USD(I) does not grant the waiver, the company may propose 
to DSS an appropriate PA or VTA. Otherwise, the company is not eligible 
for access to proscribed information.
    (12) Changed Conditions. (i) DSS will require contractors to submit 
timely

[[Page 738]]

reports of changes to FOCI by DSS-designated means in accordance with 
DoD 5220.22-M.
    (ii) Upon receipt of changes to the SF 328 from contractors, DSS 
will assess the changes to determine if they are material; if they 
require the imposition of new FOCI mitigation or modification of 
existing FOCI mitigation; or if they warrant the termination of existing 
FOCI mitigation. DSS will periodically review the definition of material 
change with regard to FOCI and publish updated guidance as to what 
constitutes a reportable material change in coordination with OUSD(I) 
Security Directorate.
    (13) Limited FCL. (i) A Limited FCL may be an option for a single, 
narrowly defined purpose when there is foreign ownership or control of a 
U.S. company. In that respect, a Limited FCL is similar to an LAA for a 
non-U.S. citizen. Consideration of a Limited FCL includes a DSS 
determination that the company is under FOCI and that the company is 
either unable or unwilling to implement FOCI negation or mitigation. A 
GCA or a foreign government may sponsor a Limited FCL consistent with 
the provisions of paragraphs (b)(13)(iii)(A) through (b)(13)(iii)(D) of 
this section.
    (ii) DSS will:
    (A) Document the requirements of each Limited FCL, including the 
limitations of access to classified information.
    (B) Verify a Limited FCL only to the sponsoring GCA or foreign 
government.
    (C) Ensure, in accordance with paragraph (b)(7) of this section, 
that the contractor has and implements a TCP consistent with DoD 
5220.22-M.
    (D) Process a home office along with a branch or division, when the 
GCA or foreign government sponsors the branch or division for a Limited 
FCL and ensure that the limitations of the Limited FCL are applied to 
the home office as well as the branch or division.
    (E) Administratively terminate the Limited FCL when the FCL is no 
longer required.
    (iii) There are four types of Limited FCLs:
    (A) A GCA may sponsor a joint venture company established in the 
United States for the purpose of supporting a cooperative arms program 
involving DoD. An authorized GCA official, at the PEO level or higher, 
must certify in writing that the classified information to be provided 
to the company has been authorized for disclosure to the participating 
governments in compliance with U.S. National Disclosure Policy NDP-1, 
``National Policy and Procedures for the Disclosure of Classified 
Military Information to Foreign Governments and International 
Organizations,'' (available to designated disclosure authorities on a 
need-to-know basis from the Office of the Deputy Under Secretary of 
Defense for Policy Integration and Chief of Staff to the Under Secretary 
of Defense for Policy). Key management personnel (KMPs) and employees 
may be citizens of the countries of ownership, if DSS is able to obtain 
security assurances. The non-U.S. citizens retain their foreign 
government issued personnel security clearances. The company FSO must be 
a cleared U.S. citizen as set forth in DoD 5220.22-M.
    (B) A U.S. subsidiary of a foreign company may be sponsored for a 
Limited FCL by the government of the foreign parent company when the 
foreign government desires to award a contract to the U.S. subsidiary 
involving access to classified information for which the foreign 
government is the original classification authority (i.e., FGI), and 
there is no other need for the U.S, subsidiary to have an FCL. The KMPs 
must all be U.S. citizens. However, if the U.S. subsidiary is to have 
access to U.S. classified information in the performance of the 
contract, the U.S. subsidiary must be considered for one of the FOCI 
agreements set forth in paragraph (b)(4)(iii) of this section.
    (C) A foreign owned freight forwarder may be sponsored for a Limited 
FCL by a foreign government for the purpose of providing services only 
to the sponsoring government. Access to U.S. classified information or 
material will be limited to information and material that has been 
authorized for export to the sponsoring government consistent with an 
approved direct commercial sale contract or foreign military sales 
letter of offer and acceptance. KMPs and employees may be citizens of 
the sponsoring government, if DSS is able

[[Page 739]]

to obtain security assurances on the individuals. As non-U.S. citizens, 
these individuals would not be eligible for a LAA; would be assigned 
under an extended visit authorization, and would retain their foreign 
government issued personnel security clearances. The FSO must be a U.S. 
citizen.
    (D) A senior GCA official, consistent with paragraph (f)(3) of Sec. 
117.55, may sponsor a U.S. company, determined to be under FOCI by DSS, 
for a Limited FCL when the other FOCI agreements described in paragraph 
(b)(4)(iii) and paragraphs (b)(13)(iii)(A) through (b)(13)(iii)(D) of 
this section do not apply, and there is a compelling need for the FCL. 
The official must fully describe the compelling need and certify in 
writing that the sponsoring GCA accepts the risk inherent in not 
negating or mitigating the FOCI. The Limited FCL permits performance 
only on a classified contract issued by the sponsoring GCA.
    (14) Foreign Mergers, Acquisitions, Takeovers and CFIUS. (i) CFIUS 
is a USG interagency committee chaired by the Treasury Department whose 
purpose is to review transactions that could result in the control of a 
U.S. business by a foreign person in order to determine the effect of 
such transactions on the national security of the United States. The 
regulations defining the CFIUS process are at 31 CFR part 800, 
``Regulations Pertaining to Mergers, Acquisitions, and Takeovers by 
Foreign Persons''.
    (ii) DoD is a member of CFIUS. DoD procedures for reviewing and 
monitoring transactions filed with CFIUS are provided in DoD Instruction 
2000.25.
    (iii) The CFIUS review and the DSS industrial security review for 
FOCI are separate processes subject to independent authorities, with 
different time constraints and considerations. However, CFIUS may not 
mitigate national security risks that are adequately addressed by other 
provisions of law.
    (iv) If the NISP process has not begun or has not been completed 
prior to the submission of a CFIUS notice, DSS will review, adjudicate, 
and mitigate FOCI on a priority basis. DSS will provide all relevant 
information to the OUSD(I) Security Directorate specifically, for any 
transaction undergoing concurrent CFIUS and DSS reviews.
    (A) By the 10th calendar day after the CFIUS review period begins 
DSS will advise the OUSD (AT&L) Manufacturing and Industrial Base Policy 
(MIBP) CFIUS Team electronically, with a copy to the OUSD(I) Security 
Directorate, of the U.S. company's FCL status (e.g., no FCL, FCL in 
process, TS/S/C FCL).
    (B) For contractors or U.S. companies in process for an FCL, DSS 
will provide the following input in a signed memorandum with rationale 
included to the Director, Security, OUSD(I) Security Directorate on or 
before the suspense date established by the MIBP CFIUS Team:
    (1) Basic identification information about the contractor, to 
include name, address, and commercial and government entity code.
    (2) FCL level.
    (3) Identification of current classified contracts, to include 
identification of GCAs and any requirement for access to proscribed 
information.
    (4) The nature and status of any discussions DSS has had with the 
contractor or the foreign interest regarding proposed FOCI mitigation 
measures.
    (5) Whether DSS requires additional time beyond the established MIBP 
CFIUS team suspense date to determine and recommend to the OUSD(I) 
Security Directorate whether the proposed FOCI mitigation is sufficient 
to address risks within the scope of DSS's FOCI authorities.
    (6) Identification of any known security issues (e.g., marginal or 
unsatisfactory security rating, unresolved counterintelligence concerns, 
alleged export violations).
    (v) If it appears that an agreement cannot be reached on material 
terms of a FOCI action plan, or if the U.S. company subject to the 
proposed transaction fails to comply with the FOCI reporting 
requirements of DoD 5220.22-M, DSS may recommend additional time through 
the OUSD(I) Security Directorate to resolve any national security issues 
related to FOCI mitigation.
    (vi) If the proposed transaction involves access to proscribed 
information and the contractor is contemplating

[[Page 740]]

the use of an SSA to mitigate FOCI, the GCA will provide DSS with a 
preliminary determination regarding the acceptability of the proposed 
FOCI mitigation. The determination must be provided to DSS one day prior 
to the suspense date established by the MIBP CFIUS Team and must include 
whether a favorable NID will be provided. If the GCA does not notify 
DSS, DSS will not delay implementation of a FOCI action plan pending 
completion of a GCA's NID process as long as there is no indication that 
the NID will be denied.
    (vii) If DSS, under its FOCI authorities, is notified of a 
transaction with respect to which the parties thereto have not filed a 
notice with CFIUS, DSS will notify the MIBP CFIUS Team through the 
OUSD(I) Security Directorate.
    (viii) When a merger, sale, or acquisition of a contractor is 
finalized prior to having an acceptable FOCI mitigation agreement in 
place, DSS will take actions consistent with paragraph (b)(2)(iv) of 
this section.



PART 142_COPYRIGHTED SOUND AND VIDEO RECORDINGS--Table of Contents



Sec.
142.1 Purpose.
142.2 Applicability.
142.3 Policy.
142.4 Procedures.
142.5 Responsibilities.

    Authority: 10 U.S.C. 133.

    Source: 49 FR 49452, Dec. 20, 1984, unless otherwise noted.



Sec. 142.1  Purpose.

    This part provides policy, prescribes procedures, and assigned 
responsibilities regarding the use of copyrighted sound and video 
recordings within the Department of Defense.



Sec. 142.2  Applicability.

    (a) The provisions of this part apply to the Office of the Secretary 
of Defense, the Military Departments, the Organization of the Joint 
Chiefs of Staff, the Unified and Specified commands, and the Defense 
Agencies (hereafter referred to collectively as ``DoD Components'').
    (b) This part does not regulate the procurement or use of 
copyrighted works for authorized official purposes.



Sec. 142.3  Policy.

    (a) It is DoD policy: (1) To recognize the rights to copyright 
owners by establishing specific guidelines for the use of copyrighted 
works by individuals within the DoD community, consistent with the 
Department's unique mission and worldwide commitments, and (2) Not to 
condone, facilitate, or permit unlicensed public performance or unlawful 
reproduction for private or personal use of copyrighted sound or video 
recordings, using government appropriated or nonappropriated-fund-owned 
or leased equipment or facilities.
    (b) Although the policy expressed in this Directive takes into 
account the copyright law of the United States, the application of that 
law to specific situations is a matter for interpretation by the U.S. 
Copyright Office and the Department of Justice.



Sec. 142.4  Procedures.

    (a) Permission or licenses from copyright owners shall be obtained 
for public performance of copyrighted sound and video recordings.
    (b) Component procedures established pursuant to Sec. 142.5, below 
provide guidance for determining whether a performance is ``public.'' 
These general principles will be observed:
    (1) A performance in a residential facility or a physical extension 
thereof is not considered a public performance.
    (2) A performance in an isolated area or deployed unit is not 
considered a public performance.
    (3) Any performance at which admission is charged normally would be 
considered a public performance.
    (c) Government audio and video duplicating equipment and 
appropriated funded playback equipment may not be used for reproduction 
of copyrighted sound or video recordings.



Sec. 142.5  Responsibilities.

    Heads of DoD Components shall establish procedures to comply with 
this Directive and shall provide necessary local guidance and legal 
interpretation.

[[Page 741]]



PART 143_DOD POLICY ON ORGANIZATIONS THAT SEEK TO REPRESENT OR ORGANIZE
MEMBERS OF THE ARMED FORCES IN NEGOTIATION OR COLLECTIVE BARGAINING--
Table of Contents



Sec.
143.1 Purpose.
143.2 Applicability.
143.3 Definitions.
143.4 Policy.
143.5 Prohibited activity.
143.6 Activity not covered by this part.
143.7 Responsibilities.
143.8 Guidelines.

    Authority: 10 U.S.C. 801-940 and 10 U.S.C. 976.

    Source: 71 FR 76914, Dec. 22, 2006, unless otherwise noted.



Sec. 143.1  Purpose.

    This part provides DoD policies and procedures for organizations 
whose objective is to organize or represent members of the Armed Forces 
of the United States for purposes of negotiating or bargaining about 
terms or conditions of military service. The policies and procedures set 
forth herein are designed to promote the readiness of the Armed Forces 
to defend the United States. This part does not modify or diminish the 
existing authority of commanders to control access to, or maintain good 
order and discipline on, military installations; nor does it modify or 
diminish the obligations of commanders and supervisors under 5 U.S.C. 
7101-7135 with respect to organizations representing DoD civilian 
employees.



Sec. 143.2  Applicability.

    (a) The provisions of this part apply to:
    (1) The Office of the Secretary of Defense, the Military 
Departments, the Chairman of the Joint Chiefs of Staff, the Combatant 
Commands, the Office of the Inspector General of the Department of 
Defense, the Defense Agencies, the DoD Field Activities, and all other 
organizational entities in the Department of Defense (hereafter referred 
collectively as the ``DoD Components'').
    (2) Individuals and groups entering, using, or seeking to enter or 
use military installations.
    (b) This part does not limit the application of the Uniform Code of 
Military Justice in 10 U.S.C. 901-940 or 10 U.S.C. 976 including the 
prohibitions and criminal penalties set forth therein with respect to 
matters that are the subject of this part or that are beyond its scope.



Sec. 143.3  Definitions.

    (a) Member of the Armed Forces. A member of the Armed Forces who is 
serving on active duty, or a member of a Reserve component while 
performing inactive duty training.
    (b) Military labor organization. Any organization that engages in or 
attempts to engage in:
    (1) Negotiating or bargaining with any civilian officer or employee, 
or with any member of the Armed Forces, on behalf of members of the 
Armed Forces, concerning the terms or conditions of military service of 
such members in the Armed Forces;
    (2) Representing individual members of the Armed Forces before any 
civilian officer or employee, or any member of the Armed Forces, in 
connection with any grievance or complaint of any such member arising 
out of the terms or conditions of military service of such member in the 
Armed Forces; or
    (3) Striking, picketing, marching, demonstrating, or any other 
similar form of concerted action which is directed against the 
Government of the United States and that is intended to induce any 
civilian officer or employee, or any member of the Armed Forces, to:
    (i) Negotiate or bargain with any person concerning the terms or 
conditions of military service of any member of the Armed Forces,
    (ii) Recognize any organization as a representative of individual 
members of the Armed Forces in connection with complaints and grievances 
of such members arising out of the terms or conditions of military 
service of such members in the Armed Forces, or
    (iii) Make any change with respect to the terms or conditions of 
military service of individual members of the Armed Forces.
    (c) Civilian officer or employee. An employee, as defined in 5 
U.S.C. 2105.

[[Page 742]]

    (d) Military installations. Includes installations, reservations, 
facilities, vessels, aircraft, and other property controlled by the 
Department of Defense.
    (e) Negotiation or bargaining. A process whereby a commander or 
supervisor acting on behalf of the United States engages in discussions 
with a member or members of the Armed Forces (purporting to represent 
other such members), or with an individual, group, organization, or 
association purporting to represent such members, for the purpose of 
resolving bilaterally terms or conditions of military service.
    (f) Terms or conditions of military service. Terms or conditions of 
military compensation or duty including but not limited to wages, rates 
of pay, duty hours, assignments, grievances, or disputes.



Sec. 143.4  Policy.

    It is the policy of the United States under Public Law 95-610 that:
    (a) Members of the Armed Forces of the United States must be 
prepared to fight and, if necessary, to die to protect the welfare, 
security, and liberty of the United States and of their fellow citizens.
    (b) Discipline and prompt obedience to lawful orders of superior 
officers are essential and time-honored elements of the American 
military tradition and have been reinforced from the earliest articles 
of war by laws and regulations prohibiting conduct detrimental to the 
military chain of command and lawful military authority.
    (c) The processes of conventional collective bargaining and labor-
management negotiation cannot and should not be applied to the 
relationships between members of the Armed Forces and their military and 
civilian superiors.
    (d) Strikes, slowdowns, picketing, and other traditional forms of 
job action have no place in the Armed Forces.
    (e) Unionization of the Armed Forces would be incompatible with the 
military chain of command, would undermine the role, authority, and 
position of the commander, and would impair the morale and readiness of 
the Armed Forces.
    (f) The circumstances that could constitute a threat to the ability 
of the Armed Forces to perform their mission are not comparable to the 
circumstances that could constitute a threat to the ability of Federal 
civilian agencies to perform their functions and should be viewed in 
light of the need for effective performance of duty by each member of 
the Armed Forces.

[[Page 743]]



Sec. 143.5  Prohibited activity.

    (a) Membership and enrollment. (1) A member of the Armed Forces, 
knowing of the activities or objectives of a particular military labor 
organization, may not:
    (i) Join or maintain membership in such organization; or
    (ii) Attempt to enroll any other member of the Armed Forces as a 
member of such organization.
    (2) No person on a military installation, and no member of the Armed 
Forces, may enroll in a military labor organization any member of the 
Armed Forces or solicit or accept dues or fees for such an organization 
from any member of the Armed Forces.
    (b) Negotiation or bargaining. (1) No person on a military 
installation, and no member of the Armed Forces, may negotiate or 
bargain, or attempt through any coercive act to negotiate or bargain, 
with any civilian officer or employee, or any member of the Armed 
Forces, on behalf of members of the Armed Forces, concerning the terms 
or conditions of service of such members.
    (2) No member of the Armed Forces, and no civilian officer or 
employee, may negotiate or bargain on behalf of the United States 
concerning the terms or conditions of military service of members of the 
Armed Forces with any person who represents or purports to represent 
members of the Armed Forces.
    (c) Strikes and other concerted activity. (1) No person on a 
military installation, and no member of the Armed Forces, may organize 
or attempt to organize, or participate in, any strike, picketing, march, 
demonstration, or other similar form of concerted action involving 
members of the Armed Forces that is directed against the Government of 
the United States and that is intended to induce any civilian officer or 
employee, or any member of the Armed Forces, to:
    (i) Negotiate or bargain with any person concerning the terms or 
conditions of service of any member of the Armed Forces,
    (ii) Recognize any military labor organization as a representative 
of individual members of the Armed Forces in connection with any 
complaint or grievance of any such member arising out of the terms or 
conditions of service of such member in the Armed Forces, or
    (iii) Make any change with respect to the terms or conditions of 
service in the Armed Forces of individual members of the Armed Forces.
    (2) No person may use any military installation for any meeting, 
march, picketing, demonstration, or other similar activity for the 
purpose of engaging in any activity prohibited by this part.
    (3) No member of the Armed Forces, and no civilian officer or 
employee, may permit or authorize the use of any military installation 
for any meeting, march, picketing, demonstration, or other similar 
activity that is for the purpose of engaging in any activity prohibited 
by this part.
    (d) Representation. A military labor organization may not represent, 
or attempt to represent, any member of the Armed Forces before any 
civilian officer or employee, or any member of the Armed Forces, in 
connection with any grievance or complaint of any such member arising 
out of the terms or conditions of service of such member in the Armed 
Forces.



Sec. 143.6  Activity not covered by this part.

    (a) This part does not limit the right of any member of the Armed 
Forces to:
    (1) Join or maintain membership in any lawful organization or 
association not constituting a ``military labor organization'' as 
defined in Sec. 146.3 of this part;
    (2) Present complaints or grievances concerning the terms or 
conditions of the service of such member in the Armed Forces in 
accordance with established military procedures;
    (3) Seek or receive information or counseling from any source;
    (4) Be represented by counsel in any legal or quasi-legal 
proceeding, in accordance with applicable laws and regulations;
    (5) Petition the Congress for redress of grievances; or
    (6) Take such other administrative action to seek such 
administrative or judicial relief, as is authorized by applicable laws 
and regulations.

[[Page 744]]

    (b) This part does not prevent commanders or supervisors from giving 
consideration to the views of any member of the Armed Forces presented 
individually or as a result of participation on command-sponsored or 
authorized advisory councils, committees, or organizations.
    (c) This part does not prevent any civilian employed at a military 
installation from joining or being a member of an organization that 
engages in representational activities with respect to terms or 
conditions of civilian employment.



Sec. 143.7  Responsibilities.

    (a) The Heads of DoD Components shall:
    (1) Ensure compliance with this part and with the guidelines 
contained in Sec. 143.8 of this part.
    (2) Establish procedures to ensure that any action initiated under 
this part is reported immediately to the Head of the DoD Component 
concerned.
    (3) Report any action initiated under this part immediately to the 
Secretary of Defense.
    (b) The Deputy Under Secretary of Defense (Program Integration) 
shall serve as the administrative point of contact in the Office of the 
Secretary of Defense for all matters relating to this part.



Sec. 143.8  Guidelines.

    The guidelines for making certain factual determinations are as 
follows:
    (a) In determining whether an organization is a military labor 
organization, whether a person is a member of a military labor 
organization, or whether such person or organization is in violation of 
any provision of this part, the history and operation of the 
organization (including its constitution and bylaws, if any) or person 
in question may be evaluated, along with evidence on the conduct 
constituting a prohibited act.
    (b) In determining whether the commission of a prohibited act by a 
person can be imputed to the organization, examples of factors that may 
be considered include: The frequency of such act; the position in the 
organization of persons committing the act; whether the commission of 
such act was known by the leadership of the organization; whether the 
commission of the act was condemned or disavowed by the leadership of 
the organization.
    (c) Any information about persons and organizations not affiliated 
with the Department of Defense needed to make the determinations 
required by this part shall be gathered in strict compliance with the 
provisions of DoD Directive 5200.27 \1\ and shall not be acquired by 
counterintelligence or security investigative personnel. The 
organization itself shall be considered a primary source of information.
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    \1\ Copies are available at http://www.dtic.mil /whs/ directives.
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PART 144_SERVICE BY MEMBERS OF THE ARMED FORCES ON STATE AND LOCAL
JURIES--Table of Contents



Sec.
144.1 Purpose.
144.2 Applicability.
144.3 Definitions.
144.4 Policy.
144.5 Responsibilities.
144.6 Procedures.

    Authority: 10 U.S.C. 982.

    Source: 71 FR 76917, Dec. 22, 2006, unless otherwise noted.



Sec. 144.1  Purpose.

    This part implements 10 U.S.C. 982 to establish uniform DoD policies 
for jury service by members of the Armed Forces on active duty.



Sec. 144.2  Applicability.

    The provisions of this part apply to active-duty members of the 
Armed Forces.



Sec. 144.3  Definitions.

    (a) Armed Forces. The Army, the Navy, the Air Force, the Marine 
Corps.
    (b) State. Includes the 50 United States, U.S. Territories, District 
of Columbia, and the Commonwealth of Puerto Rico.
    (c) 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, and attendance, while in the active 
Military Service, at a school designated as a Service school by law

[[Page 745]]

or by the Secretary of the Military Department concerned.
    (d) Operating Forces. Those forces whose primary missions are to 
participate in combat and the integral supporting elements thereof.



Sec. 144.4  Policy.

    It is DoD policy to permit members of the Armed Forces to maximally 
fulfill their civic responsibilities consistent with their military 
duties. For Service members stationed in the United States, serving on a 
State or local jury is one such civic obligation. Service members are 
exempt from jury duty, when it unreasonably would interfere with 
performance of their military duties or adversely affect the readiness 
of a unit, command, or activity.



Sec. 144.5  Responsibilities.

    The Secretaries of the Military Departments, or designees, in 
accordance with regulations prescribed by the Secretary concerned, shall 
determine whether Service members shall be exempt from jury duty. This 
authority may be delegated no lower than to commanders authorized to 
convene special courts-martial.



Sec. 144.6  Procedures.

    The Secretaries of the Military Departments shall publish procedures 
that provide the following:
    (a) When a Service member on active duty is summoned to perform 
State or local jury duty, the Secretary concerned, or the official to 
whom such authority has been delegated, shall decide if such jury duty 
would:
    (1) Interfere unreasonably with the performance of the Service 
members military duties.
    (2) Affect adversely the readiness of the unit, command, or activity 
to which the member is assigned.
    (b) If such jury service would interfere with the Service member's 
military duties or adversely affect readiness, the Service member shall 
be exempted from jury duty. The decision of the Secretary concerned, or 
the official to whom such authority has been delegated, shall be 
conclusive.
    (c) All general and flag officers, commanding officers, and all 
personnel assigned to the operating forces, in a training status, or 
stationed outside the United States are exempt from serving on a State 
or local jury. Such jury service necessarily would interfere 
unreasonably with the performance of military duties by these members 
and adversely affect the readiness of the unit, command, or activity to 
which they are assigned.
    (d) Service members who serve on State or local juries shall not be 
charged leave or lose any pay or entitlements during the period of 
service. All fees accrued to members for jury service are payable to the 
U.S. Treasury. Members are entitled to any reimbursement from the State 
or local jury authority for expenses incurred in the performance of jury 
duty, such as for transportation costs or parking fees.
    (e) Written notice of each exemption determination shall be provided 
to the responsible State or local official who summoned an exempt member 
for jury duty.



PART 145_COOPERATION WITH THE OFFICE OF SPECIAL COUNSEL OF THE MERIT
SYSTEMS PROTECTION BOARD--Table of Contents



Sec.
145.1 Purpose.
145.2 Applicability and scope.
145.3 Definitions.
145.4 Policy.
145.5 Responsibilities.
145.6 Procedures.

Appendix to Part 145--Legal Representation

    Authority: 5 U.S.C. 301; 10 U.S.C. 133.

    Source: 51 FR 17178, May 9, 1986, unless otherwise noted.



Sec. 145.1  Purpose.

    This part establishes policy, assigns responsibilities, and 
prescribes procedures for cooperation with the Office of Special Counsel 
(OSC) of the Merit Systems Protection Board (MSPB) in fulfilling the 
responsibilities of the Special Counsel under Pub. L. 95-454 and 5 CFR 
1201 and 1250 to conduct investigations of alleged prohibited personnel 
practices and to ensure the investigation of other allegations of 
improper or illegal conduct referred to the Department of Defense by the 
OSC.

[[Page 746]]

This part provides internal guidance to DoD officials, and does not 
establish an independent basis for any person or organization to assert 
a right, benefit, or privilege.



Sec. 145.2  Applicability and scope.

    (a) This part applies to the Office of the Secretary of Defense 
(OSD), the Military Departments, the Office of the Joint Chiefs of Staff 
(OJCS), the Inspector General, Department of Defense (IG, DoD) and the 
Defense Agencies (hereafter referred to collectively ``as DoD 
Components'').
    (b) The provisions of this part that relate to prohibited personnel 
practices do not apply to the Defense Intelligence Agency (DIA) or the 
National Security Agency (NSA), as prescribed by 5 U.S.C. 
2302(a)(2)(C)(ii.).
    (c) This part does not restrict the IG, DoD, in coordinating 
investigative efforts on individual cases with the OSC where concurrent 
jurisdiction exists.



Sec. 145.3  Definitions.

    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.
    Office of the Secretary of Defense (OSD). (a) The immediate offices 
of the Secretary, the Deputy Secretary, the Assistant Secretaries, 
Assistants to the Secretary, and other officials serving the Secretary 
of Defense directly.
    (b) The field activities of the Secretary of Defense.
    (c) The Organization of the Joint Chiefs of Staff.
    (d) The Unified and Specified Commands.
    Personnel action. (a) An appointment.
    (b) A promotion.
    (c) An adverse action under 5 U.S.C. 7501 et seq. or other 
disciplinary or corrective action.
    (d) A detail, transfer, or reassignment.
    (e) A reinstatement.
    (f) A restoration.
    (g) A reemployment.
    (h) A performance evaluation under 5 U.S.C. 4301 et seq.
    (i) A 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.
    Prohibited personnel practice. Action taken by an employee 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 (see 5 U.S.C. 2302(b)(1).
    (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)

[[Page 747]]

for the purpose of improving or injuring the prospects of any particular 
person for employment.
    (g) To appoint, employ, promote, advance, or advocate for 
appointment, employment, promotion, or advancement, in or to a civilian 
position any individual who is a relative (as defined in 5 U.S.C. 3110) 
of the employee if the position is in the agency in which the employee 
is serving as a public official (as defined in 5 U.S.C. 3110) 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. (See whistleblower)
    (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.
    Whistleblower. A present or former Federal employee or applicant for 
Federal employment who discloses information he or she reasonably 
believes evidences:
    (a) A violation of any law, rule, or regulation.
    (b) Mismanagement, a gross waste of funds, or an abuse of authority.
    (c) A substantial or specific danger to public health or safety.
    (d) Such disclosure qualifies if it is not specifically prohibited 
by statute and if such information is not specifically required by 
Executive Order to be kept secret in the interest of national defense or 
the conduct of foreign affairs.
    (e) Where the information disclosed affects only the personal 
situation of the complaintant, it is generally to be regarded as an 
allegation of a prohibited personnel practice or violation of other 
civil service law, rule, or regulation, and the complainant will not be 
considered a whistleblower.



Sec. 145.4  Policy.

    It is DoD policy that:
    (a) Civilian personnel actions taken by DoD management officials, 
civilian and military, shall conform to laws and regulations 
implementing established merit system principles and must be free of any 
prohibited personnel practices, as described in 5 U.S.C. 2302 and Sec. 
145.3 of this part.
    (b) It is the responsibility of each DoD management official to take 
vigorous corrective action and, when appropriate, to initiate 
disciplinary measures when prohibited personnel practices occur.
    (c) DoD Components shall cooperate with the Office of Special 
Counsel by:
    (1) Promoting merit system principles in civilian employment 
programs within the Department of Defense.
    (2) Investigating and reporting on allegations of improper or 
illegal conduct forwarded to the Component by the OSC pursuant to 5 
U.S.C. 1206(b) (2) or (3).
    (3) Facilitating orderly investigation by the OSC of alleged 
prohibited personnel practices and other matters assigned for 
investigation to the OSC by law, such as the Freedom of Information Act 
and the Hatch Act.
    (d) DoD Components shall cooperate with the OSC by providing 
appropriate assistance and information to its representatives during 
their investigations and by furnishing to the OSC investigators copies 
of releasable documents requested under the authority of the Civil 
Service Reform Act of 1978, 5 CFR 1250, the Privacy Act, and Civil 
Service Rule V.
    (e) Close coordination between DoD and OSC personnel during an OSC 
investigation is encouraged to eliminate duplication of effort, and to 
avoid unnecessary delay in initiating, when appropriate, corrective or 
disciplinary action. This coordination shall be conducted in full 
recognition of the independent statutory basis for the OSC, as

[[Page 748]]

provided in Pub. L. 95-454 and of the responsibilities of the Department 
of Defense.
    (f) OSC investigative requests involving classified information 
shall be accorded special attention and prompt consideration under 
existing administrative procedures.
    (g) When OSC and a DoD Component or an employee assigned DoD counsel 
are engaged in litigation, release of information shall be accomplished 
pursuant to MSPB rules of discovery (5 CFR 1201, subpart B.).



Sec. 145.5  Responsibilities.

    (a) The Secretaries of the Military Departments and the Director, 
Defense Logistics Agency (DLA), shall prescribe implementing documents 
to ensure that:
    (1) The policies, standards, and procedures set forth in this part 
are administered in a manner that encourages consistency in responding 
to investigations of alleged prohibited personnel practices.
    (2) Alleged illegal or improper conduct referred to a Military 
Department or the DLA by the OSC or by OSD is carefully investigated.
    (3) There is full cooperation with the IG, DoD, and the General 
Counsel, Department of Defense (GC, DoD), including assignment of 
military and civilian attorneys to represent employees suspected or 
accused by the OSC of committing a prohibited personnel practice or an 
otherwise illegal or improper act.
    (b) The General Counsel, Department of Defense (GC, DoD) shall 
provide overall legal guidance, whether by the issuance of regulations 
or otherwise, on all issues concerning cooperation with the OSC. This 
authority extends to:
    (1) Ensuring that DoD legal counsel is assigned upon request to 
represent a DoD employee suspected or accused by the OSC of committing a 
prohibited personnel practice or an illegal or improper act when the act 
complained of was within the scope of the employee's official 
responsibilities and such representation is in the interest of the 
Department of Defense; or, in unusual situations, that outside legal 
counsel is engaged where the use of DoD counsel would be inappropriate, 
and the same conditions are satisfied.
    (2) Providing DoD legal counsel to seek intervention for the purpose 
of representing the interests of OSD or a Defense agency (other than the 
DLA) in an MSPB hearing resulting from charges of misconduct against an 
employee of OSD or a Defense agency, under the authority of the Civil 
Service Reform Act of 1978.
    (3) Seeking the assistance of the Department of Justice in 
responding to requests by employees for legal representation in 
obtaining judicial review of an order by the MSPB, under 5 U.S.C. 1207.
    (4) Modifying Sec. 145.3 and Appendix to this part and issuing 
supplementary instructions concerning all aspects of DoD cooperation 
with the OSC, including instructions on OSC investigations of allegedly 
arbitrary and capricious withholding of information under the Freedom of 
Information Act or violations of the Hatch Act.
    (5) Reviewing for adequacy and legal sufficiency with the IG, DoD, 
each report of an investigation that must be personally reviewed by the 
Secretary or Deputy Secretary of Defense on action taken or to be taken 
in response to an OSC finding of reasonable cause to believe there has 
been a violation of law, rule, or regulation, not including a prohibited 
personnel practice or allegation referred to the Attorney General of the 
United States for appropriate action.
    (c) The Inspector General, Department of Defense (IG, DoD) shall:
    (1) Investigate, or cause to be investigated, as appropriate, any 
complaint referred to the Department of Defense by OSC.
    (2) Coordinate, where feasible, investigative efforts by DoD 
Components and the OSC, with particular emphasis on those conducted or 
initiated by action of the OSC.
    (3) Submit the results of any investigation conducted under this 
part to the appropriate General Counsel.
    (d) The Deputy Assistant Secretary of Defense (Administration) 
(DASD(A)) shall serve as the Senior Management Official, as described in 
Sec. 145.6(b) concerning allegations by the OSC of prohibited personnel 
practices or other illegal or improper acts in the OSD.

[[Page 749]]

    (e) The General Counsels of the Military Departments and the General 
Counsel of the Defense Logistics Agency shall have the same authority 
for their respective Components as given to the General Counsel, DoD, 
under paragraphs (b) (1) and (2) of this section.



Sec. 145.6  Procedures.

    (a) Allegations of improper or illegal conduct received from the OSC 
under 5 U.S.C. 1206(b)(2), (3), or (c)(3). (1) Allegations of improper 
or illegal conduct referred by the OSC to the Secretary of Defense or to 
a Defense agency (other than the DLA) shall be forwarded to the IG, DoD.
    (2) Allegations of improper or illegal conduct referred to a 
Military Department or to the DLA by the OSC shall be forwarded to the 
General Counsel of that Component.
    (3) Upon receipt of a referral under paragraph (a) (1) or (2) of 
this section IG, DoD, or the GC of the Component concerned, as 
appropriate, shall ensure compliance with the Civil Service Reform Act 
of 1978 by obtaining a suitable investigation of an allegation, 
including compliance with time limits for reporting results of the 
investigation and personal review of the report by the head of the 
Component when required.
    (4) Copies of each allegation referred under paragraph (a)(2) shall 
be forwarded by the General Counsel concerned to the IG, DoD.
    (b) OSC Investigations of Prohibited Personnel Practices. (1) The 
head of each DoD Component shall designate a Senior Management Official 
to:
    (i) Serve as a point of contact in providing assistance to the OSC 
in conducting investigations of alleged prohibited activities before any 
designation of an attorney of record for the Component or individual 
respondent for matters in litigation.
    (ii) Monitor those investigations.
    (iii) Ensure that appropriate Component personnel are fully apprised 
of the nature and basis for an OSC investigation, as well as the rights 
and duties of Component personnel in regard to such investigations.
    (iv) Ensure that any corrective or disciplinary action considered 
appropriate because of facts disclosed by such an investigation is 
accomplished under paragraph (b)(2), in a timely manner.
    (2) The designated Senior Management Official shall have authority 
to:
    (i) Refer to responsible officials recommendations by the OSC for 
corrective action.
    (ii) Seek OSC approval of proposed disciplinary action against an 
employee for an alleged prohibited personnel practice or illegal or 
improper act under investigation by the OSC when it is determined that 
such discipline is warranted.
    (iii) Ensure that disciplinary action against an employee adjudged 
at fault following completion of an OSC investigation has been 
considered to avoid the need for a proceeding before the MSPB.
    (iv) Ensure that information concerning members of the Armed Forces 
who are found by the Component to have committed a prohibited personnel 
practice or other violation of this Directive in the exercise of 
authority over civilian personnel is referred to appropriate military 
authority.
    (3) The Senior Management Official shall:
    (i) Establish a system under which an employee is identified to 
serve as the Liaison Officer for any OSC investigator who may initiate 
an investigation at a facility, base, or installation for which the 
employee is assigned liaison duties. It shall be the responsibility of 
the Liaison Officer to:
    (A) Assist the OSC investigator.
    (B) Ensure that all OSC requests for documents are in writing.
    (C) Process such requests, as well as all requests for interviews.
    (ii) Determine, to the extent practicable, whether an investigation 
is being, or has been, conducted that replicates in whole or in part the 
proposed or incomplete investigation by the OSC, and convey that 
information to the OSC whenever this might avoid redundant investigative 
effort.
    (iii) Inform the General Counsel of the Component concerned of any 
OSC investigation and consult with the General Counsel on any legal 
issue related to an OSC investigation.
    (iv) Ensure that Component personnel involved are given timely legal

[[Page 750]]

and policy advice, through arrangements effected by the Liaison Officer, 
on the nature and basis for an OSC investigation, the authority of the 
OSC, and the rights and duties of Component personnel, including those 
set forth in Appendix.
    (v) Inform the IG, DoD, of any OSC investigation of an alleged 
prohibited personnel practice that is identified as having resulted from 
a whistleblower complaint or involves an allegation of otherwise illegal 
or improper conduct.



             Sec. Appendix to Part 145--Legal Representation

    1. An employee or member of the Armed Forces asked to provide 
information (testimonial or documentary) to the OSC in the course of an 
investigation by that office may obtain legal advice from DoD attorneys, 
both civilian and military, on that employee's or members's rights and 
obligations. This includes assistance at any interviews with OSC 
investigators. However, the attorney-client relationship shall not be 
established unless the employee is suspected or accused by the OSC of 
committing a prohibited personnel practice or other illegal or improper 
act and has been assigned DoD counsel.
    2. An employee who believes that he or she is suspected or has been 
accused by the OSC of committing a prohibited personnel practice or 
other illegal or improper act may obtain legal representation from the 
Department of Defense under the conditions prescribed in Sec. 145(b)(1) 
of this part, except as provided in section 7, below. The attorney 
assigned shall be a military member or employee from another Component 
whenever an attorney from the same Component is likely to face a 
conflict between his or her ethical obligation to the employee client 
and to the Component employer, and in any case where the suspected or 
accused employee has requested representation from another Component. 
Outside legal counsel may be retained by the Component on behalf of the 
employee only under unusual circumstances and only with the personal 
approval of the General Counsel of the Department of Defense.
    3. The General Counsel responsible for authorizing representation 
shall determine whether a conflict is liable to occur if an attorney 
from the same Component is assigned to represent the employee and, in 
that case or in a case in which the suspected or accused employee has 
requested representation from another Component, shall seek the 
assistance of another General Counsel in obtaining representation from 
outside the Component. The General Counsels of the Military Departments 
and the DLA shall ensure the availability of appropriately trained 
counsel for assignment to such cases.
    4. To obtain legal representation the employee:
    a. Must request legal representation, in writing, together with all 
process and pleadings served, and explain the circumstances that justify 
DoD legal assistance.
    b. Indicate whether he or she has retained legal counsel from 
outside the Department of Defense.
    c. Obtain a written certification from his or her supervisor that 
the employee was acting within the scope of his of her official duties, 
and that no adverse or disciplinary personnel action against the 
employee for the conduct being investigated by the OSC has been 
initiated by the Component.
    5. Employee requests for legal representation must be approved by 
the General Counsel, DoD, for employees of OSD or a Defense Agency 
(other than the DLA), or by the General Counsel of a Military Department 
or the General Counsel of the DLA for employees of those Components.
    6. The conditions of legal representation must be explained to the 
accused employee in writing and accepted in writing by that employee.
    7. DoD resources may not be used to provide legal representation for 
an employee with respect to a DoD disciplinary action against the 
employee for committing or participating in a prohibited personnel 
practice or for engaging in illegal or improper conduct, regardless of 
whether that participation or conduct is also the basis for disciplinary 
action proposed by the OSC.
    8. After approval of an employee's request, under section 4, above, 
a DoD attorney shall be assigned (or, in unusual circumstances, outside 
counsel retained) as the employee's representative in matters pending 
before the OSC or MSPB. This approval may be limited to representing the 
employee 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 of his Directive.
    9. An attorney-client relationship shall be established and 
continued between the suspected or accused employee and assigned DoD 
counsel.
    10. In representing a DoD employee under this part, a DoD attorney 
designated counsel for the employee shall act as a vigorous advocate of 
the employee's individual legal interests before the OSC or MSPB; the 
attorney's professional responsibility to the Department of Defense and 
his or her employing Component will be satisfied by fulfilling this 
responsibility to the employee. Legal representation may be terminated 
only with the approval of the General Counsel who authorized 
representation, and normally only on the basis of information not 
available at the time the attorney was assigned.

[[Page 751]]

    11. The attorney-client relationship may be terminated if the 
assigned DoD counsel for the employee determines, with the approval of 
the General Counsel who authorizes representation, that:
    a. The 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.
    b. Termination of the professional representation is not in 
violation of the rules of professional conduct applicable to the 
assigned counsel.
    12. The DoD attorney designated counsel may request relief from the 
duties of representation or counseling without being required to furnish 
explanatory information that might compromise the assurance to the 
client of confidentiality.
    13. This part authorizes cognizant DoD officials to approve a 
represented employee's request for travel, per diem, witness 
appearances, or other departmental support necessary to ensure effective 
legal representation of the employee by the designated counsel.
    14. An employee's participation in OSC investigations, MSPB 
hearings, and other related proceedings shall be considered official 
departmental business for time and attendance requirements and similar 
purposes.
    15. The following advice to employees questioned during the course 
of an OSC investigation may be appropriate in response to the most 
frequent inquiries:
    a. An employee 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 questions.
    b. Requests for clarification of both questions and answers are 
appropriate to avoid misinterpretation.
    c. Means to ensure verification of an interview by OSC investigators 
are appropriate, whether the employee is or is not accompanied by a 
legal representative. 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 interrogator agrees to the tape recording of the 
proceeding.
    d. Any errors that appear in a written summary of an interview 
prepared by the interviewer should be corrected before the employee 
signs the statement. The employee is not required to sign any written 
summary that is not completely accurate. An employee may make a copy of 
the summary for his or her own use as a condition of signing.



PART 147_ADJUDICATIVE GUIDELINES FOR DETERMINING ELIGIBILITY FOR ACCESS
TO CLASSIFIED INFORMATION--Table of Contents



                    Subpart A_Adjudicative Guidelines

Sec.
147.1 Introduction.
147.2 Adjudicative process.
147.3 Guideline A--Allegiance to the United States.
147.4 Guideline B--Foreign influence.
147.5 Guideline C--Foreign preference.
147.6 Guideline D--Sexual behavior.
147.7 Guideline E--Personal conduct.
147.8 Guideline F--Financial considerations.
147.9 Guideline G--Alcohol consumption.
147.10 Guideline H--Drug involvement.
147.11 Guideline I--Emotional, mental, and personality disorders.
147.12 Guideline J--Criminal conduct.
147.13 Guideline K--Security violations.
147.14 Guideline L--Outside activities.
147.15 Guideline M--Misuse of information technology systems.

                    Subpart B_Investigative Standards

147.18 Introduction.
147.19 The three standards.
147.20 Exception to periods of coverage.
147.21 Expanding investigations.
147.22 Transferability.
147.23 Breaks in service.
147.24 The national agency check.

Attachment A to Subpart B of Part 147--Standard A--National Agency Check 
          With Local Agency Checks and Credit Check (NACLC)
Attachment B to Subpart B of Part 147--Standard B--Single Scope 
          Background Investigation (SSBI)
Attachment C to Subpart B of Part 147--Standard C--Single Scope 
          Background Investigation Periodic Reinvestigation (SSBI-PR)
Attachment D to Subpart B of Part 147--Decision Tables

                Subpart C_Guidelines for Temporary Access

147.28 Introduction.
147.29 Temporary eligibility for access.
147.30 Temporary eligibility for access at the CONFIDENTIAL AND SECRET 
          levels and temporary eligibility for ``L'' access 
          authorization.
147.31 Temporary eligibility for access at the TOP SECRET levels and 
          temporary eligibility for ``Q'' access authorization. For 
          someone who is the subject of a favorable investigation not 
          meeting the investigative standards for access at those 
          levels.

[[Page 752]]

147.32 Temporary eligibility for access at the TOP SECRET and SCI levels 
          and temporary eligibility for ``Q'' access authorization: For 
          someone who is not the subject of a current, favorable 
          personnel or personnel-security investigation of any kind.
147.33 Additional requirements by agencies.

    Authority: E.O. 12968 (60 FR 40245, 3 CFR 1995 Comp., p 391).

    Source: 63 FR 4573, Jan. 30, 1998, unless otherwise noted.



                         Subpart A_Adjudication



Sec. 147.1  Introduction.

    The following adjudicative guidelines are established for all United 
States Government civilian and military personnel, consultants, 
contractors, employees of contractors, licensees, certificate holders or 
grantees and their employees and other individuals who require access to 
classified information. They apply to persons being considered for 
initial or continued eligibility for access to classified information, 
to include sensitive compartmented information and special access 
programs and are to be used by government departments and agencies in 
all final clearance determinations.



Sec. 147.2  Adjudicative process.

    (a) The adjudicative process is an examination of a sufficient 
period of a person's life to make an affirmative determination that the 
person is eligible for a security clearance. Eligibility for access to 
classified information is predicated upon the individual meeting these 
personnel security guidelines. The adjudicative process is the careful 
weighing of a number of variables known as the whole person concept. 
Available, reliable information about the person, past and present, 
favorable and unfavorable, should be considered in reaching a 
determination. In evaluating the relevance of an individual's conduct, 
the adjudicator should consider the following actors:
    (1) The nature, extent, and seriousness of the conduct;
    (2) The circumstances surrounding the conduct, to include 
knowledgeable participation;
    (3) The frequency and recency of the conduct;
    (4) The individual's age and maturity at the time of the conduct;
    (5) The voluntariness of participation;
    (6) The presence or absence of rehabilitation and other pertinent 
behavioral changes;
    (7) The motivation for the conduct;
    (8) The potential for pressure, coercion, exploitation, or duress;
    (9) The likelihood of continuation of recurrence.
    (b) Each case must be judged on its own merits, and final 
determination remains the responsibility of the specific department or 
agency. Any doubt as to whether access to classified information is 
clearly consistent with national security will be resolved in favor of 
the national security.
    (c) The ultimate determination of whether the granting or continuing 
of eligibility for a security clearance is clearly consistent with the 
interests of national security must be an overall common sense 
determination based upon careful consideration of the following, each of 
which is to be evaluated in the context of the whole person, as 
explained further below:
    (1) Guideline A: Allegiance to the United States.
    (2) Guideline B: Foreign influence.
    (3) Guideline C: Foreign preference.
    (4) Guideline D: Sexual behavior.
    (5) Guideline E: Personal conduct.
    (6) Guideline F: Financial considerations.
    (7) Guideline G: Alcohol consumption.
    (8) Guideline H: Drug involvement.
    (9) Guideline I: Emotional, mental, and personality disorders.
    (10) Guideline J: Criminal conduct.
    (11) Guideline K: Security violations.
    (12) Guideline L: Outside activities.
    (13) Guideline M: Misuse of Information Technology Systems.
    (d) Although adverse information concerning a single criterion may 
not be sufficient for an unfavorable determination, the individual may 
be disqualified if available information reflects a recent or recurring 
pattern of questionable judgment, irresponsibility, or emotionally 
unstable behavior. Notwithstanding, the whole person concept, pursuit of 
further investigations may be terminated by an

[[Page 753]]

appropriate adjudicative agency in the face of reliable, significant, 
disqualifying, adverse information.
    (e) When information of security concern becomes known about an 
individual who is currently eligible for access to classified 
information, the adjudicator should consider whether the person:
    (1) Voluntarily reported the information;
    (2) Was truthful and complete in responding to questions;
    (3) Sought assistance and followed professional guidance, where 
appropriate;
    (4) Resolved or appears likely to favorably resolve the security 
concern;
    (5) Has demonstrated positive changes in behavior and employment;
    (6) Should have his or her access temporarily suspended pending 
final adjudication of the information.
    (f) If after evaluating information of security concern, the 
adjudicator decides that the information is not serious enough to 
warrant a recommendation of disapproval or revocation of the security 
clearance, it may be appropriate to recommend approval with a warning 
that future incidents of a similar nature may result in revocation of 
access.



Sec. 147.3  Guideline A--Allegiance to the United States.

    (a) The concern. An individual must be of unquestioned allegiance to 
the United States. The willingness to safeguard classified information 
is in doubt if there is any reason to suspect an individual's allegiance 
to the Untied States.
    (b) Conditions that could raise a security concern and may be 
disqualifying include: (1) Involvement in any act of sabotage, 
espionage, treason, terrorism, sedition, or other act whose aim is to 
overthrow the Government of the United States or alter the form of 
government by unconstitutional means;
    (2) Association or sympathy with persons who are attempting to 
commit, or who are committing, any of the above acts;
    (3) Association or sympathy with persons or organizations that 
advocate the overthrow of the United States Government, or any state or 
subdivision, by force or violence or by other unconstitutional means;
    (4) Involvement in activities which unlawfully advocate or practice 
the commission of acts of force or violence to prevent others from 
exercising their rights under the Constitution or laws of the United 
States or of any state.
    (c) Conditions that could mitigate security concerns include: (1) 
The individual was unaware of the unlawful aims of the individual or 
organization and severed ties upon learning of these;
    (2) The individual's involvement was only with the lawful or 
humanitarian aspects of such an organization;
    (3) Involvement in the above activities occurred for only a short 
period of time and was attributable to curiosity or academic interest;
    (4) The person has had no recent involvement or association with 
such activities.



Sec. 147.4  Guideline B--Foreign influence.

    (a) The concern. A security risk may exist when an individual's 
immediate family, including cohabitants and other persons to whom he or 
she may be bound by affection, influence, or obligation are not citizens 
of the Untied States or may be subject to duress. These situations could 
create the potential for foreign influence that could result in the 
compromise of classified information. Contacts with citizens of other 
countries or financial interests in other countries are also relevant to 
security determinations if they make an individual potentially 
vulnerable to coercion, exploitation, or pressure.
    (b) Conditions that could raise a security concern and may be 
disqualifying include: (1) An immediate family member, or a person to 
whom the individual has close ties of affection or obligation, is a 
citizen of, or resident or present in, a foreign country;
    (2) Sharing living quarters with a person or persons, regardless of 
their citizenship status, if the potential for adverse foreign influence 
or duress exists;
    (3) Relatives, cohabitants, or associates who are connected with any 
foreign government;

[[Page 754]]

    (4) Failing to report, where required, associations with foreign 
nationals;
    (5) Unauthorized association with a suspected or known collaborator 
or employee of a foreign intelligence service;
    (6) Conduct which may make the individual vulnerable to coercion, 
exploitation, or pressure by a foreign government;
    (7) Indications that representatives or nationals from a foreign 
country are acting to increase the vulnerability of the individual to 
possible future exploitation, coercion or pressure;
    (8) A substantial financial interest in a country, or in any foreign 
owned or operated business that could make the individual vulnerable to 
foreign influence.
    (c) Conditions that could mitigate security concerns include: (1) A 
determination that the immediate family member(s) (spouse, father, 
mother, sons, daughters, brothers, sisters), cohabitant, or associate(s) 
in question are not agents of a foreign power or in a position to be 
exploited by a foreign power in a way that could force the individual to 
choose between loyalty to the person(s) involved and the United States;
    (2) Contacts with foreign citizens are the result of official United 
States Government business;
    (3) Contact and correspondence with foreign citizens are casual and 
infrequent;
    (4) The individual has promptly complied with existing agency 
requirements regarding the reporting of contacts, requests, or threats 
from persons or organizations from a foreign country;
    (5) Foreign financial interests are minimal and not sufficient to 
affect the individual's security responsibilities.



Sec. 147.5  Guideline C--Foreign preference.

    (a) The concern. When an individual acts in such a way as to 
indicate a preference for a foreign country over the United States, then 
he or she may be prone to provide information or make decisions that are 
harmful to the interests of the United States.
    (b) Conditions that could raise a security concern and may be 
disqualifying include:
    (1) The exercise of dual citizenship;
    (2) Possession and/or use of a foreign passport;
    (3) Military service or a willingness to bear arms for a foreign 
country;
    (4) Accepting educational, medical, or other benefits, such as 
retirement and social welfare, from a foreign country;
    (5) Residence in a foreign country to meet citizenship requirements;
    (6) Using foreign citizenship to protect financial or business 
interests in another country;
    (7) Seeking or holding political office in the foreign country;
    (8) Voting in foreign elections;
    (9) Performing or attempting to perform duties, or otherwise acting, 
so as to serve the interests of another government in preference to the 
interests of the United States.
    (c) Conditions that could mitigate security concerns include: (1) 
Dual citizenship is based solely on parents' citizenship or birth in a 
foreign country;
    (2) Indicators of possible foreign preference (e.g., foreign 
military service) occurred before obtaining United States citizenship;
    (3) Activity is sanctioned by the United States;
    (4) Individual has expressed a willingness to renounce dual 
citizenship.



Sec. 147.6  Guidance D--Sexual behavior.

    (a) The concern. Sexual behavior is a security concern if it 
involves a criminal offense, indicates a personality or emotional 
disorder, may subject the individual to coercion, exploitation, or 
duress, or reflects lack of judgment or discretion. \1\ Sexual 
orientation or preference may not be used as a basis for or a 
disqualifying factor in determining a person's eligibility for a 
security clearance.
---------------------------------------------------------------------------

    \1\ The adjudicator should also consider guidelines pertaining to 
criminal conduct (Guideline J) and emotional, mental and personality 
disorders (Guideline I) in determining how to resolve the security 
concerns raised by sexual behavior.
---------------------------------------------------------------------------

    (b) Conditions that could raise a security concern and may be 
disqualifying include: (1) Sexual behavior of a criminal nature, whether 
or not the individual has been prosecuted;

[[Page 755]]

    (2) Compulsive or addictive sexual behavior when the person is 
unable to stop a pattern or self-destructive or high-risk behavior or 
that which is symptomatic of a personally disorder;
    (3) Sexual behavior that causes an individual to be vulnerable to 
coercion, exploitation, or duress;
    (4) Sexual behavior of a public nature and/or that which reflects 
lack of discretion or judgment.
    (c) Conditions that could mitigate security concerns include: (1) 
The behavior occurred during or prior to adolescence and there is no 
evidence of subsequent conduct of a similar nature;
    (2) The behavior was not recent and there is no evidence of 
subsequent conduct of a similar nature;
    (3) There is no other evidence of questionable judgment, 
irresponsibility, or emotional instability;
    (4) The behavior no longer serves as a basis for coercion, 
exploitation, or duress.



Sec. 147.7  Guideline E--Personal conduct.

    (a) The concern. Conduct involving questionable judgment, 
untrustworthiness, unreliability, lack of candor, dishonesty, or 
unwillingness to comply with rules and regulations could indicate that 
the person may not properly safeguard classified information. The 
following will normally result in an unfavorable clearance action or 
administrative termination of further processing for clearance 
eligibility:
    (1) Refusal to undergo or cooperate with required security 
processing, including medical and psychological testing;
    (2) Refusal to complete required security forms, releases, or 
provide full, frank and truthful answers to lawful questions of 
investigators, security officials or other representatives in connection 
with a personnel security or trustworthiness determination.
    (b) Conditions that could raise a security concern and may be 
disqualifying also include: (1) Reliable, unfavorable information 
provided by associates, employers, coworkers, neighbors, and other 
acquaintances;
    (2) The deliberate omission, concealment, or falsification of 
relevant and material facts from any personnel security questionnaire, 
personal history statement, or similar form used to conduct 
investigations, determine employment qualifications, award benefits or 
status, determine security clearance eligibility or trustworthiness, or 
award fiduciary responsibilities;
    (3) Deliberately providing false or misleading information 
concerning relevant and material matters to an investigator, security 
official, competent medical authority, or other representative in 
connection with a personnel security or trustworthiness determination;
    (4) Personal conduct or concealment of information that may increase 
an individual's vulnerability to coercion, exploitation, or duties, such 
as engaging in activities which, if known, may affect the person's 
personal, professional, or community standing or render the person 
susceptible to blackmail;
    (5) A pattern of dishonesty or rule violations, including violation 
of any written or recorded agreement made between the individual and the 
agency;
    (6) Association with persons involved in criminal activity.
    (c) Conditions that could mitigate security concerns include: (1) 
The information was unsubstantiated or not pertinent to a determination 
of judgment, trustworthiness, or reliability;
    (2) The falsification was an isolated incident, was not recent, and 
the individual has subsequently provided correct information 
voluntarily;
    (3) The individual made prompt, good faith efforts to correct the 
falsification before being confronted with the facts;
    (4) Omission of material facts was caused or significantly 
contributed to by improper or inadequate advice of authorized personnel, 
and the previously omitted information was promptly and fully provided;
    (5) The individual has taken positive steps to significantly reduce 
or eliminate vulnerability to coercion, exploitation, or duress;
    (6) A refusal to cooperate was based on advice from legal counsel or 
other officials that the individual was not required to comply with 
security processing requirements and, upon being made aware of the 
requirement, fully

[[Page 756]]

and truthfully provided the requested information;
    (7) Association with persons involved in criminal activities has 
ceased.



Sec. 147.8  Guideline F--Financial considerations.

    (a) The concern. An individual who is financially overextended is at 
risk of having to engage in illegal acts to generate funds. Unexplained 
affluence is often linked to proceeds from financially profitable 
criminal acts.
    (b) Conditions that could raise a security concern and may be 
disqualifying include: (1) A history of not meeting financial 
obligations;
    (2) Deceptive or illegal financial practices such as embezzlement, 
employee theft, check fraud, income tax evasion, expense account fraud, 
filing deceptive loan statements, and other intentional financial 
breaches of trust;
    (3) Inability or unwillingness to satisfy debts;
    (4) Unexplained affluence;
    (5) Financial problems that are linked to gambling, drug abuse, 
alcoholism, or other issues of security concern.
    (c) Conditions that could mitigate security concerns include: (1) 
The behavior was not recent;
    (2) It was an isolated incident;
    (3) The conditions that resulted in the behavior were largely beyond 
the person's control (e.g., loss of employment, a business downtrun, 
unexpected medical emergency, or a death, divorce or separation);
    (4) The person has received or is receiving counseling for the 
problem and there are clear indications that the problem is being 
resolved or is under control;
    (5) The affluence resulted from a legal source;
    (6) The individual initiated a good-faith effort to repay overdue 
creditors or otherwise resolve debts.



Sec. 147.9  Guideline G--Alcohol consumption.

    (a) The concern. Excessive alcohol consumption often leads to the 
exercise of questionable judgment, unreliability, failure to control 
impulses, and increases the risk of unauthorized disclosure of 
classified information due to carelessness.
    (b) Conditions that could raise a security concern and may be 
disqualifying include: (1) Alcohol-related incidents away from work, 
such as driving while under the influence, fighting, child or spouse 
abuse, or other criminal incidents related to alcohol use;
    (2) Alcohol-related incidents at work, such as reporting for work or 
duty in an intoxicated or impaired condition, or drinking on the job;
    (3) Diagnosis by a credentialed medical professional (e.g., 
physician, clinical psychologist, or psychiatrist) of alcohol abuse or 
alcohol dependence;
    (4) Evaluation of alcohol abuse or alcohol dependence by a licensed 
clinical social worker who is a staff member of a recognized alcohol 
treatment program;
    (5) Habitual or binge consumption of alcohol to the point of 
impaired judgment;
    (6) Consumption of alcohol, subsequent to a diagnosis of alcoholism 
by a credentialed medical professional and following completion of an 
alcohol rehabilitation program.
    (c) Conditions that could mitigate security concerns include: (1) 
The alcohol related incidents do not indicate a pattern;
    (2) The problem occurred a number of years ago and there is no 
indication of a recent problem;
    (3) Positive changes in behavior supportive of sobriety;
    (4) Following diagnosis of alcohol abuse or alcohol dependence, the 
individual has successfully completed impatient or outpatient 
rehabilitation along with aftercare requirements, participates 
frequently in meetings of Alcoholics Anonymous or a similar 
organization, has abstained from alcohol for a period of at least 12 
months, and received a favorable prognosis by a credentialed medical 
professional or a licensed clinical social worker who is a staff member 
of a recognized alcohol treatment program.

[[Page 757]]



Sec. 147.10  Guideline H--Drug involvement.

    (a) The concern. (1) Improper or illegal involvement with drugs 
raises questions regarding an individual's willingness or ability to 
protect classified information. Drug abuse or dependence may impair 
social or occupational functioning, increasing the risk of an 
unauthorized disclosure of classified information.
    (2) Drugs are defined as mood and behavior altering substances, and 
include:
    (i) Drugs, materials, and other chemical compounds identified and 
listed in the Controlled Substances Act of 1970, as amended (e.g., 
marijuana or cannabis, depressants, narcotics, stimulants, and 
hallucinogens),
    (ii) Inhalants and other similar substances.
    (3) Drug abuse is the illegal use of a drug or use of a legal drug 
in a manner that deviates from approved medical direction.
    (b) Conditions that could raise a security concern and may be 
disqualifying include: (1) Any drug abuse (see above definition);
    (2) Illegal drug possession, including cultivation, processing, 
manufacture, purchase, sale, or distribution;
    (3) Diagnosis by a credentialed medical professional (e.g., 
physician, clinical psychologist, or psychiatrist) of drug abuse or drug 
dependence;
    (4) Evaluation of drug abuse or drug dependence by a licensed 
clinical social worker who is a staff member of a recognized drug 
treatment program;
    (5) Failure to successfully complete a drug treatment program 
prescribed by a credentialed medical professional. Recent drug 
involvement, especially following the granting of a security clearance, 
or an expressed intent not to discontinue use, will almost invariably 
result in an unfavorable determination.
    (c) Conditions that could mitigate security concerns include: (1) 
The drug involvement was not recent;
    (2) The drug involvement was an isolated or aberration event;
    (3) A demonstrated intent not to abuse any drugs in the future;
    (4) Satisfactory completion of a prescribed drug treatment program, 
including rehabilitation and aftercare requirements, without recurrence 
of abuse, and a favorable prognosis by a credentialed medical 
professional.



Sec. 147.11  Guideline I--Emotional, mental, and personality disorders.

    (a) The concern: Emotional, mental, and personality disorders can 
cause a significant deficit in an individual's psychological, social and 
occupation functioning. These disorders are of security concern because 
they may indicate a defect in judgment, reliability, or stability. A 
credentialed mental health professional (e.g., clinical psychologist or 
psychiatrist), employed by, acceptable to or approved by the government, 
should be utilized in evaluating potentially disqualifying and 
mitigating information fully and properly, and particularly for 
consultation with the individual's mental health care provider.
    (b) Conditions that could raise a security concern and may be 
disqualifying include: (1) An opinion by a credentialed mental health 
professional that the individual has a condition or treatment that may 
indicate a defect in judgment, reliability, or stability;
    (2) Information that suggests that an individual has failed to 
follow appropriate medical advice relating to treatment of a condition, 
e.g., failure to take prescribed medication;
    (3) A pattern of high-risk, irresponsible, aggressive, anti-social 
or emotionally unstable behavior;
    (4) Information that suggests that the individual's current behavior 
indicates a defect in his or her judgment or reliability.
    (c) Conditions that could mitigate security concerns include: (1) 
There is no indication of a current problem;
    (2) Recent opinion by a credentialed mental health professional that 
an individual's previous emotional, mental, or personality disorder is 
cured, under control or in remission and has a low probability of 
recurrence or exacerbation;
    (3) The past emotional instability was a temporary condition (e.g., 
one caused by a death, illness, or marital breakup), the situation has 
been resolved, and the individual is no longer emotionally unstable.

[[Page 758]]



Sec. 147.12  Guideline J--Criminal conduct.

    (a) The concern. A history or pattern of criminal activity creates 
doubt about a person's judgment, reliability and trustworthiness.
    (b) Conditions that could raise a security concern and may be 
disqualifying include: (1) Allegations or admissions of criminal 
conduct, regardless of whether the person was formally charged;
    (2) A single serious crime or multiple lesser offenses.
    (c) Conditions that could mitigate security concerns include: (1) 
The criminal behavior was not recent;
    (2) The crime was an isolated incident;
    (3) The person was pressured or coerced into committing the act and 
those pressures are no longer present in that person's life;
    (4) The person did not voluntarily commit the act and/or the factors 
leading to the violation are not likely to recur;
    (5) Acquittal;
    (6) There is clear evidence of successful rehabilitation.



Sec. 147.13  Guideline K--Security violations.

    (a) The concern. Noncompliance with security regulations raises 
doubt about an individual's trustworthiness, willingness, and ability to 
safeguard classified information.
    (b) Conditions that could raise a security concern and may be 
disqualifying include. (1) Unauthorized disclosure of classified 
information;
    (2) Violations that are deliberate or multiple or due to negligence.
    (c) Conditions that could mitigate security concerns include actions 
that: (1) Were inadvertent;
    (2) Were isolated or infrequent;
    (3) Were due to improper or inadequate training;
    (4) Demonstrate a positive attitude towards the discharge of 
security responsibilities.



Sec. 147.14  Guideline L--Outside activities.

    (a) The concern. Involvement in certain types of outside employment 
or activities is of security concern if it poses a conflict with an 
individual's security responsibilities and could create an increased 
risk of unauthorized disclosure of classified information.
    (b) Conditions that could raise a security concern and may be 
disqualifying include any service, whether compensated, volunteer, or 
employment with: (1) A foreign country;
    (2) Any foreign national;
    (3) A representative of any foreign interest;
    (4) Any foreign, domestic, or international organization or person 
engaged in analysis, discussion, or publication of material on 
intelligence, defense, foreign affairs, or protected technology.
    (c) Conditions that could mitigate security concerns include: (1) 
Evaluation of the outside employment or activity indicates that it does 
not pose a conflict with an individual's security responsibilities;
    (2) The individual terminates the employment or discontinues the 
activity upon being notified that it is in conflict with his or her 
security responsibilities.



Sec. 147.15  Guideline M--Misuse of Information technology systems.

    (a) The concern. Noncompliance with rules, procedures, guidelines, 
or regulations pertaining to information technology systems may raise 
security concerns about an individual's trustworthiness, willingness, 
and ability to properly protect classified systems, networks, and 
information. Information Technology Systems include all related 
equipment used for the communication, transmission, processing, 
manipulation, and storage of classified or sensitive information.
    (b) Conditions that could raise a security concern and may be 
disqualifying include: (1) Illegal or unauthorized entry into any 
information technology system;
    (2) Illegal or unauthorized modification, destruction, manipulation 
or denial of access to information residing on an information technology 
system;
    (3) Removal (or use) of hardware, software, or media from any 
information technology system without authorization, when specifically 
prohibited by rules, procedures, guidelines or regulations;

[[Page 759]]

    (4) Introduction of hardware, software, or media into any 
information technology system without authorization, when specifically 
prohibited by rules, procedures, guidelines or regulations.
    (c) Conditions that could mitigate security concerns include: (1) 
The misuse was not recent or significant;
    (2) The conduct was unintentional or inadvertent;
    (3) The introduction or removal of media was authorized;
    (4) The misuse was an isolated event;
    (5) The misuse was followed by a prompt, good faith effort to 
correct the situation.



                    Subpart B_Investigative Standards



Sec. 147.18  Introduction.

    The following investigative standards are established for all United 
States Government civilian and military personnel, consultants, 
contractors, employees of contractors, licensees, certificate holders or 
grantees and their employees and other individuals who require access to 
classified information, to include Sensitive Compartmented Information 
and Special Access Programs, and are to be used by government 
departments and agencies as the investigative basis for final clearance 
determinations. However, nothing in these standards prohibits an agency 
from using any lawful investigative procedures in addition to these 
requirements in order to resolve any issue identified in the course of a 
background investigation or reinvestigation.



Sec. 147.19  The three standards.

    There are three standards (Attachment D to this subpart part 
summarizes when to use each one):
    (a) The investigation and reinvestigation standards for ``L'' access 
authorizations and for access to confidential and secret (including all 
secret-level Special Access Programs not specifically approved for 
enhanced investigative requirements by an official authorized to 
establish Special Access Programs by section in 4.4 of Executive Order 
12958) (60 FR 19825, 3 CFR 1995 Comp., p. 33);
    (b) The investigation standard for``Q'' access authorizations and 
for access to top secret (including top secret Special Access Programs) 
and Sensitive Compartmented Information;
    (c) The reinvestigation standard for continued access to the levels 
listed in paragraph (b) of this section.



Sec. 147.20  Exception to periods of coverage.

    Some elements of standards specify a period of coverage (e.g. seven 
years). Where appropriate, such coverage may be shortened to the period 
from the subject's eighteenth birthday to the present or to two years, 
whichever is longer.



Sec. 147.21  Expanding investigations.

    Investigations and reinvestigations may be expanded under the 
provisions of Executive Order 12968 (60 FR 40245, 3 CFR 1995 Comp., p. 
391) and other applicable statutes and Executive Orders.



Sec. 147.22  Transferability.

    Investigations that satisfy the requirements of a given standard and 
are current meet the investigative requirements for all levels specified 
for the standard. They shall be mutually and reciprocally accepted by 
all agencies.



Sec. 147.23  Breaks in service.

    If a person who requires access has been retired or separated from 
U.S. government employment for less than two years and is the subject of 
an investigation that is otherwise current, the agency regranting the 
access will, as a minimum, review an updated Standard Form 86 and 
applicable records. A reinvestigation is not required unless the review 
indicates the person may no longer satisfy the standards of Executive 
Order 12968 (60 FR 40245, 3 CFR 1995 Comp., p. 391); (Attachment D to 
this subpart, Table 2).



Sec. 147.24  The national agency check.

    The National Agency Check is a part of all investigations and 
reinvestigations. It consists of a review of;
    (a) Investigative and criminal history files of the FBI, including a 
technical fingerprint search;
    (b) OPM's Security/Suitability Investigations Index;

[[Page 760]]

    (c) DoD's Defense Clearance and Investigations Index;
    (d) Such other national agencies (e.g., CIA, INS) as appropriate to 
the individual's background.



Sec. Attachment A to Subpart B of Part 147--Standard A--National Agency 
         Check With Local Agency Checks and Credit Check (NACLC)

    (a) Applicability. Standard A applies to investigations and 
reinvestigations for;
    (1) Access to CONFIDENTIAL and SECRET (including all SECRET-level 
Special Access Programs not specifically approved for enhanced 
investigative requirements by an official authorized to establish 
Special Access Programs by sect. 4.4 of Executive Order 12958) (60 FR 
19825, 3 CFR 1995 Comp., p. 333);
    (2) ``L'' access authorizations.
    (b) For Reinvestigation: When to Reinvestigate. The reinvestigation 
may be initiated at any time following completion of, but not later than 
ten years (fifteen years for CONFIDENTIAL) from the date of, the 
previous investigation or reinvestigation. (Attachment D to this 
subpart, Table 2, reflects the specific requirements for when to request 
a reinvestigation, including when there has been a break in service.)
    (c) Investigative Requirements. Investigative requirements are as 
follows:
    (1) Completion of Forms: Completion of Standard Form 86, including 
applicable releases and supporting documentation.
    (2) National Agency Check: Completion of a National Agency Check.
    (3) Financial Review: Verification of the subject's financial 
status, including credit bureau checks covering all locations where the 
subject has resided, been employed, or attended school for six months or 
more for the past seven years.
    (4) Date and Place of Birth: Corroboration of date and place of 
birth through a check of appropriate documentation, if not completed in 
any previous investigation; a check of Bureau of Vital Statistics 
records when any discrepancy is found to exist.
    (5) Local Agency Checks: As a minimum, all investigations will 
include checks of law enforcement agencies having jurisdiction where the 
subject has lived, worked, and/or attended school within the last five 
years, and, if applicable, of the appropriate agency for any identified 
arrests.
    (d) Expanding the Investigation: The investigation may be expanded 
if necessary to determine if access is clearly consistent with the 
national security.



  Sec. Attachment B to Subpart B of Part 147--Standard B--Single Scope 
                     Background Investigation (SSBI)

    (a) Applicability. Standard B applies to initial investigations for;
    (1) Access to TOP SECRET (including TOP SECRET Special Access 
Programs) and Sensitive Compartment Information;
    (2) ``Q'' access authorizations.
    (b) Investigative Requirements. Investigative requirements are as 
follows:
    (1) Completion of Forms: Completion of Standard Form 86, including 
applicable releases and supporting documentation.
    (2) National Agency Check: Completion of a National Agency Check.
    (3) National Agency Check for the Spouse or Cohabitant (if 
applicable): Completion of a National Agency Check, without fingerprint 
cards, for the spouse or cohabitant.
    (4) Date and Place of Birth: Corroboration of date and place of 
birth through a check of appropriate documentation; a check of Bureau of 
Vital Statistics records when any discrepancy is found to exist.
    (5) Citizenship: For individuals born outside the United States, 
verification of US citizenship directly from the appropriate 
registration authority; verification of US citizenship or legal status 
of foreign-born immediate family members (spouse, cohabitant, father, 
mother, sons, daughters, brothers, sisters).
    (6) Education: Corroboration of most recent or most significant 
claimed attendance, degree, or diploma. Interviews of appropriate 
educational sources if education is a primary activity of the subject 
during the most recent three years.
    (7) Employment: Verification of all employments for the past seven 
years; personal interviews of sources (supervisors, coworkers, or both) 
for each employment of six months or more; corroboration through records 
or sources of all periods of unemployment exceeding sixty days; 
verification of all prior federal and military service, including 
discharge type. For military members, all service within one branch of 
the armed forces will be considered as one employment, regardless of 
assignments.
    (8) References: Four references, of whom at least two are developed; 
to the extent practicable, all should have social knowledge of the 
subject and collectively span at least the last seven years.
    (9) Former Spouse: An interview of any former spouse divorced within 
the last ten years.
    (10) Neighborhoods: Confirmation of all residences for the last 
three years through appropriate interviews with neighbors and through 
records reviews.
    (11) Financial Review: Verification of the subject's financial 
status, including credit bureau checks covering all locations where 
subject has resided, been employed, and/or

[[Page 761]]

attended school for six months or more for the last seven years.
    (12) Local Agency Checks: A check of appropriate criminal history 
records covering all locations where, for the last ten years, the 
subject has resided, been employed, and/or attended school for six 
months or more, including current residence regardless of duration.

    Note: If no residence, employment, or education exceeds six months, 
local agency checks should be performed as deemed appropriate.

    (13) Public Records: Verification of divorces, bankruptcies, and 
other court actions, whether civil or criminal, involving the subject.
    (14) Subject Interview: A subject interview, conducted by trained 
security, investigative, or counterintelligence personnel. During the 
investigation, additional subject interviews may be conducted to collect 
relevant information, to resolve significant inconsistencies, or both. 
Sworn statements and unsworn declarations may be taken whenever 
appropriate.
    (15) Polygraph (only in agencies with approved personnel security 
polygraph programs): In departments or agencies with policies 
sanctioning the use of the polygraph for personnel security purposes, 
the investigation may include a polygraph examination, conducted by a 
qualified polygraph examiner.
    (c) Expanding the Investigation. The investigation may be expanded 
as necessary. As appropriate, interviews with anyone able to provide 
information or to resolve issues, including but not limited to 
cohabitants, relatives, psychiatrists, psychologists, other medical 
professionals, and law enforcement professionals may be conducted.



  Sec. Attachment C to Subpart B of Part 147--Standard C--Single Scope 
       Background Investigation Periodic Reinvestigation (SSBI-PR)

    (a) Applicability. Standard C applies to reinvestigation for;
    (1) Access to TOP SECRET (including TOP SECRET Special Access 
Programs) and Sensitive Compartmented Information;
    (2) ``Q'' access authorizations.
    (b) When to Reinvestigate. The reinvestigation may be initiated at 
any time following completion of, but not later than five years from the 
date of, the previous investigation (see Attachment D to this subpart, 
Table 2).
    (c) Reinvestigative Requirements. Reinvestigative requirements are 
as follows:
    (1) Completion of Forms: Completion of Standard Form 86, including 
applicable releases and supporting documentation.
    (2) National Agency Check: Completion of a National Agency Check 
(fingerprint cards are required only if there has not been a previous 
valid technical check of the FBI).
    (3) National Agency Check for the Spouse or Cohabitant (if 
applicable): Completion of a National Agency Check, without fingerprint 
cards, for the spouse or cohabitant. The National Agency Check for the 
spouse or cohabitant is not required if already completed in conjunction 
with a previous investigation or reinvestigation.
    (4) Employment: Verification of all employments since the last 
investigation. Attempts to interview a sufficient number of sources 
(supervisors, coworkers, or both) at all employments of six months or 
more. For military members, all services within one branch of the armed 
forces will be considered as one employment, regardless of assignments.
    (5) References: Interviews with two character references who are 
knowledgeable of the subject; at least one will be a developed 
reference. To the extent practical, both should have social knowledge of 
the subject and collectively span the entire period of the 
reinvestigation. As appropriate, additional interviews may be conducted, 
including with cohabitants and relatives.
    (6) Neighborhoods: Interviews of two neighbors in the vicinity of 
the subject's most recent residence of six months or more. Confirmation 
of current residence regardless of length.
    (7) Financial Review--Financial Status: Verification of the 
subject's financial status, including credit bureau checks covering all 
locations where subject has resided, been employed, and/or attended 
school for six months or more for the period covered by the 
reinvestigation;
    (ii) Check of Treasury's Financial Data Base: Agencies may request 
the Department of the Treasury, under terms and conditions prescribed by 
the Secretary of the Treasury, to search automated data bases consisting 
of reports of currency transactions by financial institutions, 
international transportation of currency or monetary instruments, 
foreign bank and financial accounts, and transactions under $10,000 that 
are reported as possible money laundering violations.
    (8) Local Agency Checks: A check of appropriate criminal history 
records covering all locations where, during the period covered by the 
reinvestigation, the subject has resided, been employed, and/or attended 
school for six months or more, including current residence regardless of 
duration. (Note: If no residence, employment, or education exceeds six 
months, local agency checks should be performed as deemed appropriate.)
    (9) Former Spouse: An interview with any former spouse unless the 
divorce took place before the date of the last investigation or 
reinvestigation.
    (10) Public Records: Verification of divorces, bankruptcies, and 
other court actions,

[[Page 762]]

whether civil or criminal, involving the subject since the date of the 
last investigation.
    (11) Subject Interview: A subject interview, conducted by trained 
security, investigative, or counterintelligence personnel. During the 
reinvestigation, additional subject interviews may be conducted to 
collect relevant information, to resolve significant inconsistencies, or 
both. Sworn statements and unsworn declarations may be taken whenever 
appropriate.
    (d) Expanding the Reinvestigation: The reinvestigation may be 
expanded as necessary. As appropriate, interviews with anyone able to 
provide information or to resolve issues, including but not limited to 
cohabitants, relatives, psychiatrists, psychologists, other medical 
professionals, and law enforcement professionals may be conducted.

         Attachment D to Subpart B of Part 147--Decision Tables

                                     Table 1--Which Investigation to Request
----------------------------------------------------------------------------------------------------------------
                                 And the person has     Based on this    Then the investigation
   If the requirement is for         this access        investigation          required is        Using standard
----------------------------------------------------------------------------------------------------------------
Confidental Secret; ``L''......  None..............  None..............  NACLC.................  A
                                                     Out of date NACLC
                                                      or SSBI.
                                 Conf, Sec; ``L''
Top Secret, SCI; ``Q''.........  None..............  None..............  SSBI..................  B
                                 None; Conf, Sec;    Current or out of
                                  ``L''.              date NACLC
                                                     Out of date SSBI
                                 TS, SCI; ``Q''....                      SSBI-PR...............  C
----------------------------------------------------------------------------------------------------------------


                                      Table 2--Reinvestigation Requirements
----------------------------------------------------------------------------------------------------------------
                                                                     Type required if there has been a break in
                                           And the age of the                        service of
      If the requirement is for             investigation is       ---------------------------------------------
                                                                          0-23 months         24 month's or more
----------------------------------------------------------------------------------------------------------------
Confidential........................  0 to 14 years. 11 mos.......  None (note 1)..........  NACLC
                                      15 yrs. or more.............  NACLC..................
Secret; ``L''.......................  0 to 9 yrs 11 mos...........  None (note 1)..........
                                      10 yrs. or more.............  NACLC
Top Secret, SCI; ``Q''..............  0 to 4 yrs. 11 mos..........  None (note 1)..........  SSBI
                                      5 yrs or more...............  SSBI-PR................
----------------------------------------------------------------------------------------------------------------
Note: As a minimum, review an updated Standard Form 84 and applicable records. A reinvestigation (NACLC or SSBI-
  PR) is not required unless the review indicates the person may no longer satisfy the standards of Executive
  Order 12968.

                Subpart C_Guidelines for Temporary Access

Sec. 147.28  Introduction.

    The following minimum investigative standards, implementing section 
3.3 of Executive Order 12968, Access to Classified Information, are 
established for all United States Government and military personnel, 
consultants, contractors, subcontractors, employees of contractors, 
licensees, certificate holders or grantees and their employees and other 
individuals who require access to classified information before the 
appropriate investigation can be completed and a final determination 
made.

Sec. 147.29  Temporary eligibility for access.

    Based on a justified need meeting the requirements of section 3.3 of 
Executive Order 12968, temporary eligibility for access may be granted 
before investigations are complete and favorably adjudicated, where 
official functions must be performed prior to completion of the 
investigation and adjudication process. The temporary eligibility will 
be valid until completion of the investigation and adjudication; 
however, the agency granting it may revoke it at any time based on 
unfavorable information identified in the course of the investigation.

[[Page 763]]

Sec. 147.30  Temporary eligibility for access at the confidential and 
          secret levels and temporary eligibility for ``L'' access 
          authorization.

    As a minimum, such temporary eligibility requires completion of the 
Standard Form 86, including any applicable supporting documentation, 
favorable review of the form by the appropriate adjudicating authority, 
and submission of a request for an expedited National Agency Check with 
Local Agency Checks and Credit (NACLC).

Sec. 147.31  Temporary eligibility for access at the top secret levels 
          and temporary eligibility for ``Q'' access authorization: For 
          someone who is the subject of a favorable investigation not 
          meeting the investigative standards for access at those 
          levels.

    As a minimum, such temporary eligibility requires completion of the 
Standard Form 86, including any applicable supporting documentation, 
favorable review of the form by the appropriate adjudicating authority, 
and expedited submission of a request for a Single Scope Background 
Investigation (SSBI).

Sec. 147.32  Temporary eligibility for access at the top secret and SCI 
          levels and temporary eligibility for ``Q'' access 
          authorization: For someone who is not the subject of a 
          current, favorable personnel or personnel-security 
          investigation of any kind.

    As a minimum, such temporary eligibility requires completion of the 
Standard Form 86, including any applicable supporting documentation, 
favorable review of the form by the appropriate adjudicating authority, 
immediate submission of a request for an expedited Single Scope 
Background Investigation (SSBI), and completion and favorable review by 
the appropriate adjudicating authority of relevant criminal history and 
investigative records of the Federal Bureau of Investigation and of 
information in the Security/Suitability Investigations Index (SII) and 
the Defense Clearance and Investigations Index (DCII).

Sec. 147.33  Additional requirements by agencies.

    Temporary eligibility for access must satisfy these minimum 
investigative standards, but agency heads may establish additional 
requirements based on the sensitivity of the particular, identified 
categories of classified information necessary to perform the lawful and 
authorized functions that are the basis for granting temporary 
eligibility for access. However, no additional requirements shall exceed 
the common standards for background investigations developed under 
section 3.2(b) of Executive Order 12968. Temporary eligibility for 
access is valid only at the agency granting it and at other agencies who 
expressly agree to accept it and acknowledge understanding of its 
investigative basis. It is further subject to limitations specified in 
sections 2.4(d) and 3.3 of Executive Order 12968, Access to Classified 
Information.



PART 148_NATIONAL POLICY AND IMPLEMENTATION OF RECIPROCITY OF
FACILITIES

   Subpart A_National Policy on Reciprocity of Use and Inspections of 
                               Facilities

Sec.
148.1 Interagency reciprocal acceptance.
148.2 Classified programs.
148.3 Security review.
148.4 Policy documentation.
148.5 Identification of the security policy board.
148.6 Agency review.

Subpart B_Guidelines for the Implementation and Oversight of the Policy 
           on Reciprocity of Use and Inspections of Facilities

148.10 General.
148.11 Policy.
148.12 Definitions.
148.13 Responsibilities.
148.14 Procedures.

    Authority: E.O. 12968 (60 FR 40245, 3 CFR 1995 Comp., p. 391.)

    Source: 63 FR 4580, Jan. 30, 1998, unless otherwise noted.

[[Page 764]]



   Subpart A_National Policy on Reciprocity of Use and Inspections of 
                               Facilities



Sec. 148.1  Interagency reciprocal acceptance .

    Interagency reciprocal acceptance of security policies and 
procedures for approving, accrediting, and maintaining the secure 
posture of shared facilities will reduce aggregate costs, promote 
interoperability of agency security systems, preserve vitality of the 
U.S. industrial base, and advance national security objectives.



Sec. 148.2  Classified programs.

    Once a facility is authorized, approved, certified, or accredited, 
all U.S. Government organizations desiring to conduct classified 
programs at the facility at the same security level shall accept the 
authorization, approval, certification, or accreditation without change, 
enhancements, or upgrades. Executive Order, Safeguarding Directives, 
National Industrial Security Program Operating Manual (NISPOM), the 
NISPOM Supplement, the Director of Central Intelligence Directives, 
interagency agreements, successor documents, or other mutually agreed 
upon methods shall be the basis for such acceptance.



Sec. 148.3  Security review.

    After initial security authorization, approval, certification, or 
accreditation, subsequent security reviews shall normally be conducted 
no more frequently than annually.
    Additionally, such reviews shall be aperiodic or random, and be 
based upon risk management principles. Security reviews may be conducted 
``for cause'', to follow up on previous findings, or to accomplish 
close-out actions. Visits may be made to a facility to conduct security 
support actions, administrative inquiries, program reviews, and 
approvals as deemed appropriate by the cognizant security authority or 
agency.



Sec. 148.4  Policy documentation.

    Agency heads shall ensure that any policy documents their agency 
issues setting out facilities security policies and procedures 
incorporate the policy set out herein, and that such policies are 
reasonable, effective, efficient, and enable and promote interagency 
reciprocity.



Sec. 148.5  Identification of the security policy board.

    Agencies which authorize, approve, certify, or accredit facilities 
shall provide to the Security Policy Board Staff a points of contact 
list to include names and telephone numbers of personnel to be contacted 
for verification of authorized, approved, certified, or accredited 
facility status. The Security Policy Board Staff will publish a 
comprehensive directory of points of contact.



Sec. 148.6  Agency review.

    Agencies will continue to review and assess the potential value 
added to the process of co-use of facilities by development of 
electronic data retrieval across government. As this review continues, 
agencies creating or modifying facilities databases will do so in a 
manner which facilitates community data sharing, interest of national 
defense or foreign policy.



Subpart B_Guidelines for the Implementation and Oversight of the Policy 
           on Reciprocity of use and Inspections of Facilities



Sec. 148.10  General.

    (a) Redundant, overlapping, and duplicative policies and practices 
that govern the co-use of facilities for classified purposes have 
resulted in excessive protection and unnecessary expenditure of funds. 
Lack of reciprocity has also impeded achievement of national security 
objectives and adversely affected economic and technological interest.
    (b) Interagency reciprocal acceptance of security policies and 
procedures for approving, accrediting, and maintaining the secure 
posture of shared facilities will reduce the aggregate costs, promote 
interoperability of agency security systems, preserve the vitality of 
the U.S. industrial base, and advance national security objectives.

[[Page 765]]

    (c) Agency heads, or their designee, are encouraged to periodically 
issue written affirmations in support of the policies and procedures 
prescribed herein and in the Security Policy Board (SPB) policy, 
entitled ``Reciprocity of Use and Inspections of Facilities.''
    (d) The policies and procedures prescribed herein shall be 
applicable to all agencies. This document does not supersede the 
authority of the Secretary of Defense under Executive Order 12829 (58 FR 
3479, 3 CFR 1993 Comp., p. 570); the Secretary of Energy or the Chairman 
of the Nuclear Regulatory Commission under the Atomic Energy Act of 
1954, as amended; the Secretary of State under the Omnibus Diplomatic 
Security and Anti-Terrorism Act of 1986; the Secretaries of the military 
departments and military department installation Commanders under the 
Internal Security Act of 1950; the Director of Central Intelligence 
under the National Security Act of 1947, as amended, or Executive Order 
12333; the Director of the Information Security Oversight Office under 
Executive Order 12829 or Executive Order 12958 (60 FR 19825, 3 CFR 1995 
Comp., p. 333); or substantially similar authority instruments assigned 
to any other agency head.



Sec. 148.11  Policy.

    (a) Agency heads, or their designee, shall ensure that security 
policies and procedures for which they are responsible are reasonable, 
effective, and efficient, and that those policies and procedures enable 
and promote interagency reciprocity.
    (b) To the extent reasonable and practical, and consistent with US 
law, Presidential decree, and bilateral and international obligations of 
the United States, the security requirements, restrictions, and 
safeguards applicable to industry shall be equivalent to those 
applicable within the Executive Branch of government.
    (c) Once a facility is authorized approved, certified, or 
accredited, all government organizations desiring to conduct classified 
programs at the facility at the same security level shall accept the 
authorization, approval, certification, or accreditation without change, 
enhancements, or upgrades.



Sec. 148.12  Definitions.

    Agency. Any ``executive agency,'' as defined in 5 U.S.C. 105; any 
``Military department'' as defined in 5 U.S.C. 102; and any other entity 
within the Executive Branch that comes into possession of classified 
information.
    Classified Information. All information that requires protection 
under Executive Order 12958, or any of its antecedent orders, and the 
Atomic Energy Act of 1954, as amended.
    Cognizant Security Agency (CSA). Those agencies that have been 
authorized by Executive Order 12829 to establish an industrial security 
program for the purpose of safeguarding classified information disclosed 
or released to industry.
    Cognizant Security Office (CSO). The office or offices delegated by 
the head of a CSA to administer industrial security in a contractor's 
facility on behalf of the CSA.
    Facility. An activity of a government agency or cleared contractor 
authorized by appropriate authority to conduct classified operations or 
to perform classified work.
    Industry. Contractors, licensees, grantees, and certificate holders 
obligated by contract or other written agreement to protect classified 
information under the National Industrial Security Program.
    National Security. The national defense and foreign relations of the 
United States.
    Senior Agency Official. Those officials, pursuant to Executive Order 
12958, designated by the agency head who are assigned the responsibility 
to direct and administer the agency's information security program.



Sec. 148.13  Responsibilities.

    (a) Each Senior Agency Official shall ensure that adequate 
reciprocity provisions are incorporated within his or her regulatory 
issuances that prescribe agency safeguards for protecting classified 
information.
    (b) Each Senior Agency Official shall develop, implement, and 
oversee a program that ensures agency personnel adhere to the policies 
and procedures

[[Page 766]]

prescribed herein and the reciprocity provisions of the National 
Industrial Security Program Operating Manual (NISPOM).
    (c) Each Senior Agency Official must ensure that implementation 
encourages reporting of instances of non-compliance, without fear of 
reprisal, and each reported instance is aggressively acted upon.
    (d) The Director, Information Security Oversight Office (ISOO), 
consistent with his assigned responsibilities under Executive Order 
12829, serves as the central point of contact within Government to 
consider and take action on complaints and suggestions from industry 
concerning alleged violations of the reciprocity provisions of the 
NISPOM.
    (e) The Director, Security Policy Board Staff (D/SPBS) or his/her 
designee, shall serve as the central point of contact within Government 
to receive from Federal Government employees alleged violations of the 
reciprocity provisions prescribed herein and the policy ``Reciprocity of 
Use and Inspections of Facilities'' of the SPB.



Sec. 148.14  Procedures.

    (a) Agencies that authorize, approve, certify, or accredit 
facilities shall provide to the SPB Staff a points of contact list to 
include names and telephone numbers of personnel to be contacted for 
verification of the status of facilities. The SPB Staff will publish a 
comprehensive directory of agency points of contact.
    (b) After initial security authorization, approval, certification, 
or accreditation, subsequent reviews shall normally be conducted no more 
frequently than annually. Additionally, such reviews shall be aperiodic 
or random, and be based upon risk-management principles. Security 
Reviews may be conducted ``for cause'', to follow up on previous 
findings, or to accomplish close-out actions.
    (c) The procedures employed to maximize interagency reciprocity 
shall be based primarily upon existing organizational reporting 
channels. These channels should be used to address alleged departures 
from established reciprocity requirements and should resolve all, 
including the most egregious instances of non-compliance.
    (d) Two complementary mechanisms are hereby established to augment 
existing organizational channels: (1) An accessible and responsive venue 
for reporting and resolving complaints/reported instances of non-
compliance. Government and industry reporting channels shall be as 
follows:
    (1) Governnment. (A) Agency employees are encouraged to bring 
suspected departures from applicable reciprocity requirements to the 
attention of the appropriate security authority in accordance with 
established agency procedures.
    (B) Should the matter remain unresolved, the complainant (employee, 
Security Officer, Special Security Officer, or similar official) is 
encouraged to report the matter formally to the Senior Agency Official 
for resolution.
    (C) Should the Senior Agency Official response be determined 
inadequate by the complainant, the matter should be reported formally to 
the Director, Security Policy Board Staff (D/SPBS). The D/SPBS, may 
revisit the matter with the Senior Agency Official or refer the matter 
to the Security Policy Forum as deemed appropriate.
    (D) Should the matter remain unresolved, the Security Policy Forum 
may consider referral to the SPB, the agency head, or the National 
Security Council as deemed appropriate.
    (ii) Industry. (A) Contractor employees are encouraged to bring 
suspected departures from the reciprocity provisions of the NISPOM to 
the attention to their Facility Security Officer (FSO) or Contractor 
Special Security Officer (CSSO), as appropriate, for resolution.
    (B) Should the matter remain unresolved, the complainant (employee, 
FSO, or CSSO) is encouraged to report the matter formally to the 
Cognizant Security Office (CSO) for resolution.
    (C) Should the CSO responses be determined inadequate by the 
complainant, the matter should be reported formally to the Senior Agency 
Official within the Cognizant Security Agency (CSA) for resolution.
    (D) Should the Senior Agency Official response be determined 
inadequately by the complainant, the matter should be reported formally 
to the Director, information Security Oversight Office (ISOO) for 
resolution.

[[Page 767]]

    (E) The Director, ISOO, may revisit the matter with the Senior 
Agency Official or refer the matter to the agency head or the National 
Security Council as deemed appropriate.
    (2) An annual survey administered to a representative sampling of 
agency and private sector facilities to assess overall effectiveness of 
agency adherence to applicable reciprocity requirements.
    (i) In coordination with the D/SPBS, the Director, ISOO, as Chairman 
of the NISP Policy Advisory Committee (NISPPAC), shall develop and 
administer an annual survey to a representative number of cleared 
contractor activities/employees to assess the effectiveness of 
interagency reciprocity implementation. Administration of the survey 
shall be coordinated fully with each affected Senior Agency Official.
    (ii) In coordination with the NISPPAC, the D/SPBS shall develop and 
administer an annual survey to a representative number of agency 
activities/personnel to assess the effectiveness of interagency 
reciprocity implementation. Administration of the survey shall be 
coordinated fully with each affected Senior Agency Official.
    (iii) The goal of annual surveys should not be punitive but 
educational. All agencies and departments have participated in the 
crafting of these facilities policies, therefore, non-compliance is a 
matter of internal education and direction.
    (e) Agencies will continue to review and assess the potential value 
added to the process of co-use of facilities by development of 
electronic data retrieval across government.



PART 149_POLICY ON TECHNICAL SURVEILLANCE COUNTERMEASURES--
Table of Contents



Sec.
149.1 Policy.
149.2 Responsibilities.
149.3 Definitions.

    Authority: E.O. 12968 (60 FR 40245, 3 CFR 1995 Comp., p. 391.)

    Source: 63 FR 4583, Jan. 30, 1998, unless otherwise noted.



Sec. 149.1  Policy.

    (a) Heads of federal departments and agencies which process, 
discuss, and/or store classified national security information, 
restricted data, and sensitive but unclassified information, shall, in 
response to specific threat data and based on risk management 
principles, determine the need for Technical Surveillance 
Countermeasures (TSCM).
    To obtain maximum effectiveness by the most economical means in the 
various TSCM programs, departments and agencies shall exchange technical 
information freely; coordinate programs; practice reciprocity; and 
participate in consolidated programs, when appropriate.



Sec. 149.2  Responsibilities.

    (a) Heads of U.S. Government departments and agencies which plan, 
implement, and manage TSCM programs shall:
    (1) Provide TSCM support consisting of procedures and 
countermeasures determined to be appropriate for the facility, 
consistent with risk management principles.
    (2) Report to the Security Policy Board, attention: Chair, 
Facilities Protection Committee (FPC), for appropriate dissemination, 
all-source intelligence that concerns technical surveillance threats, 
devices, techniques, and unreported hazards, regardless of the source or 
target, domestic or foreign.
    (3) Train a professional cadre of personnel in TSCM techniques.
    (4) Ensure that the FPC and Training and Professional Development 
Committee are kept apprised of their TSCM program activities as well as 
training and research and development requirements.
    (5) Assist other departments and agencies, in accordance with 
federal law, with TSCM services of common concern.
    (6) Coordinate, through the FPC, proposed foreign disclosure of TSCM 
equipment and techniques.
    (b) The FPC shall advise and assist the Security Policy Board in the 
development and review of TSCM policy, including guidelines, procedures, 
and instructions. The FPC shall:
    (1) Coordinate TSCM professional training, research, development, 
test, and evaluation programs.
    (2) Promote and foster joint procurement of TSCM equipment.

[[Page 768]]

    (3) Evaluate the impact on the national security of foreign 
disclosure of TSCM equipment or techniques and recommend policy changes 
as needed.
    (4) Develop guidance for use in obtaining intelligence information 
on the plans, capabilities and actions of organizations hostile to the 
U.S. Government concerning technical penetrations and countermeasures 
against them.
    (5) Biennially, review, update and disseminate the national strategy 
for TSCM.



Sec. 149.3  Definitions.

    Classified National Security Information (CNSI). Information that 
has been determined pursuant to Executive Order 12958 (60 FR 19825, 3 
CFR 1995 Comp., p. 333) or any predecessor order to require protection 
against unauthorized disclosure and is marked to indicate its classified 
status when in documentary form.
    Restricted Data (RD). All data concerning design, manufacture or 
utilization of atomic weapons; the production of special nuclear 
material; or the use of special nuclear material in the production of 
energy, but shall not include data declassified or removed from the RD 
category pursuant to section 102 of the Atomic Energy Act of 1954, as 
amended.
    Sensitive but Unclassified. Any information, the loss, misuse, or 
unauthorized access to or modification of which could adversely affect 
the national interest or the conduct of federal programs, or the privacy 
to which individuals are entitled under 5 U.S.C. 552a, but which has not 
been specifically authorized under criteria established by an Executive 
Order or an Act of Congress to be kept secret in the interest of 
national defense or foreign policy.
    Technical Surveillance Countermeasures (TSCM). Techniques and 
measures to detect and nullify a wide variety of technologies that are 
used to obtain unauthorized access to classified national security 
information, restricted data, and/or sensitive but unclassified 
information.

[[Page 769]]



         SUBCHAPTER E_REGULATIONS PERTAINING TO MILITARY JUSTICE





PART 150_COURTS OF CRIMINAL APPEALS RULES OF PRACTICE AND PROCEDURE
--Table of Contents



Sec.
150.1 Name and seal.
150.2 Jurisdiction.
150.3 Scope of review.
150.4 Quorum.
150.5 Place for filing papers.
150.6 Signing of papers.
150.7 Computation of time.
150.8 Qualification of counsel.
150.9 Conduct of counsel.
150.10 Request for appellate defense counsel.
150.11 Assignment of counsel.
150.12 Retention of civilian counsel.
150.13 Notice of appearance of counsel.
150.14 Waiver or withdrawal of appellate review.
150.15 Assignments of error and briefs.
150.16 Oral arguments.
150.17 En banc proceedings.
150.18 Orders and decisions of the Court.
150.19 Reconsideration.
150.20 Petitions for extraordinary relief, answer, and reply.
150.21 Appeals by the United States.
150.22 Petitions for new trial.
150.23 Motions.
150.24 Continuances and interlocutory matters.
150.25 Suspension of rules.
150.26 Internal rules.
150.27 Recording, photographing, broadcasting, or telecasting of 
          hearings.
150.28 Amendments.

Appendix A to Part 150--Format for Direction for Review in a Court of 
          Criminal Appeals
Appendix B to Part 150--Format for Assignment of Errors and Brief on 
          Behalf of Accused (Sec. 150.15)

    Authority: Article 66(f), Uniform Code of Military Justice (10 
U.S.C. Sec. 866(f) (1994)).

    Source: 62 FR 2017, Jan. 15, 1997, unless otherwise noted.



Sec. 150.1  Name and seal.

    (a) The titles of the Courts of Criminal Appeals of the respective 
services are:
    (1) ``United States Army Court of Criminal Appeals.''
    (2) ``United States Navy-Marine Corps Court of Criminal Appeals.''
    (3) ``United States Air Force Court of Criminal Appeals.''
    (4) ``United States Coast Guard Court of Criminal Appeals.''
    (b) Each Court is authorized a seal in the discretion of the Judge 
Advocate General concerned. The design of such seal shall include the 
title of the Court.



Sec. 150.2  Jurisdiction.

    (a) The jurisdiction of the Court is as follows:
    (1) Review under Article 66. All cases of trial by court-martial in 
which the sentence as approved extends to:
    (i) Death; or
    (ii) Dismissal of a commissioned officer, cadet or midshipman, 
dishonorable or bad-conduct discharge, or confinement for 1 year or 
longer; and in which the accused has not waived or withdrawn appellate 
review.
    (2) Review upon direction of the Judge Advocate General under 
Article 69. All cases of trial by court-martial in which there has been 
a finding of guilty and a sentence:
    (i) For which Article 66 does not otherwise provide appellate 
review, and
    (ii) Which the Judge Advocate General forwards to the Court for 
review pursuant to Article 69(d), and
    (iii) In which the accused has not waived or withdrawn appellate 
review.
    (3) Review under Article 62. All cases of trial by court-martial in 
which a punitive discharge may be adjudged and a military judge 
presides, and in which the government appeals an order or ruling of the 
military judge that terminates the proceedings with respect to a charge 
or specification or excludes evidence that is substantial proof of a 
fact material to the proceedings, or directs the disclosure of 
classified information, imposes sanctions for nondisclosure of 
classified information, or refuses to issue or enforce a protective 
order sought by the United States to prevent the disclosure of 
classified information.
    (4) Review under Article 73. All petitions for a new trial in cases 
of trial by court-martial which are referred to the Court by the Judge 
Advocate General.

[[Page 770]]

    (b) Extraordinary writs. The Court may, in its discretion, entertain 
petitions for extraordinary relief including, but not limited to, writs 
of mandamus, writs of prohibition, writs of habeas corpus, and writs of 
error coram nobis.
    (c) Effect of rules on jurisdiction. Nothing in this part shall be 
construed to extend or limit the jurisdiction of the Courts of Criminal 
Appeals as established by law.



Sec. 150.3  Scope of review.

    In cases referred to it for review pursuant to Article 66, the Court 
may act only with respect to the findings and sentence as approved by 
the convening authority. In reviewing a case or action under Article 
69(d) or in determining an appeal under Article 62, the Court may act 
only with respect to matters of law. The Court may, in addition, review 
such other matters and take such other action as it determines to be 
proper under substantive law.e



Sec. 150.4  Quorum.

    (a) In panel. When sitting in panel, a majority of the judges 
assigned to that panel constitutes a quorum for the purpose of hearing 
or determining any matter referred to the panel. The determination of 
any matter referred to the panel shall be according to the opinion of a 
majority of the judges participating in the decision. However, any judge 
present for duty may issue all necessary orders concerning any 
proceedings pending on panel and any judge present for duty, or a clerk 
of court or commissioner to whom the Court has delegated authority, may 
act on uncontested motions, provided such action does not finally 
dispose of a petition, appeal, or case before the Court.
    (b) En banc. When sitting as a whole, a majority of the judges of 
the Court constitutes a quorum for the purpose of hearing and 
determining any matter before the Court. The determination of any matter 
before the Court shall be according to the opinion of a majority of the 
judge participating in the decision. In the absence of a quorum, any 
judge present for duty may issue all necessary orders concerning any 
proceedings pending in the Court preparatory to hearing or decision 
thereof.



Sec. 150.5  Place for filing papers.

    When the filing of a notice of appearance, brief, or other paper in 
the office of a Judge Advocate General is required by this part, such 
papers shall be filed in the office of the Judge Advocate General of the 
appropriate armed force or in such other place as the Judge Advocate 
General or rule promulgated pursuant to Sec. 150.26 may designate. If 
transmitted by mail or other means, they are not filed until received in 
such office.



Sec. 150.6  Signing of papers.

    All formal papers shall be signed and shall show, typewritten or 
printed, the signer's name, address, military grade (if any), and the 
capacity in which the paper is signed. Such signature constitutes a 
certification that the statements made therein are true and correct to 
the best of the knowledge, information, and belief of the persons 
signing the paper and that the paper is filed in good faith and not for 
purposes of unnecessary delay.



Sec. 150.7  Computation of time.

    In computing any period of time prescribed or allowed by this part, 
by order of the Court, or by any applicable statute, the day of the act, 
event or default after which the designated period of time begins to run 
is not to be included. The last day of the period so computed is to be 
included, unless it is a Saturday, Sunday, or legal holiday, or, when 
the act to be done is the filing of a paper in court, a day on which the 
office of the Clerk of the Court is closed due to weather or other 
conditions or by order of the Chief Judge, in which event the period 
runs until the end of the next day which is neither a Saturday, Sunday, 
nor a holiday.



Sec. 150.8  Qualification of counsel.

    (a) All counsel. Counsel in any case before the Court shall be a 
member in good standing of the bar of a Federal Court, the highest court 
of a State or another recognized bar.
    (b) Military counsel. Assigned appellate defense and appellate 
government counsel shall, in addition, be qualified in accordance with 
Articles 27(b)(1) and

[[Page 771]]

70(a), Uniform Code of Military Justice.
    (c) Admission. Each Court may license counsel to appear before it. 
Otherwise, upon entering an appearance, counsel shall be deemed admitted 
pro hac vice, subject to filing a certificate setting forth required 
qualifications if directed by the Court.
    (d) Suspension. No counsel may appear in any proceeding before the 
Court while suspended from practice by the Judge Advocate General of the 
service concerned.



Sec. 150.9  Conduct of counsel.

    The conduct of counsel appearing before the Court shall be in 
accordance with rules of conduct prescribed pursuant to Rule for Courts-
Martial 109 by the Judge Advocate General of the service concerned. 
However, the Court may exercise its inherent power to regulate counsel 
appearing before it, including the power to remove counsel from a 
particular case for misconduct in relation to that case. Conduct deemed 
by the Court to warrant consideration of suspension from practice or 
other professional discipline shall be reported by the Court to the 
Judge Advocate General concerned.



Sec. 150.10  Request for appellate defense counsel.

    An accused may be represented before the Court by appellate counsel 
detailed pursuant to Article 70(a) or by civilian counsel provided by 
the accused, or both. An accused who does not waive appellate review 
pursuant to Rule for Courts-Martial 1110 shall, within 10 days after 
service of a copy of the convening authority's action under Rule for 
Courts-Martial 1107(h), forward to the convening authority or the Judge 
Advocate General:
    (a) A request for representation by military appellate defense 
counsel, or
    (b) Notice that civilian counsel has been retained or that action 
has been taken to retain civilian counsel (must include name and address 
of civilian counsel), or
    (c) Both a request for representation by military appellate defense 
counsel under paragraph (a) for this section and notice regarding 
civilian counsel under paragraph (b) of this section, or
    (d) A waiver of representation by counsel.



Sec. 150.11  Assignment of counsel.

    (a) When a record of trial is referred to the court--
    (1) If the accused has requested representation by appellate defense 
counsel, pursuant to Article 70(c)(1), counsel detailed pursuant to 
Article 70(a) will be assigned to represented the accused; or
    (2) If the accused gives notice that he or she has retained or has 
taken action to retain civilian counsel, appellate defense counsel shall 
be assigned to represent the interests of the accused pending appearance 
of civilian counsel. Assigned defense counsel will continue to assist 
after appearance by civilian counsel unless excused by the accused; or
    (3) If the accused has neither requested appellate counsel nor given 
notice of action to retain civilian counsel, but has not waived 
representation by counsel, appellate defense counsel will be assigned to 
represent the accused, subject to excusal by the accused or by direction 
of the Court.
    (b) In any case--
    (1) The Court may request counsel when counsel have not been 
assigned.
    (2) Pursuant to Article 70(c)(2), and subject to paragraph (a)(2) of 
this section, appellate defense counsel will represent the accused when 
the United States is represented by counsel before the Court.



Sec. 150.12  Retention of civilian counsel.

    When civilian counsel represents an accused before the Court, the 
Court will notify counsel when the record of trial is received. If both 
civilian and assigned appellate defense counsel represent the accused, 
the Court will regard civilian counsel as primary counsel unless 
notified otherwise. Ordinarily, civilian counsel will use the accused's 
copy of the record. Civilian counsel may reproduce, at no expense to the 
government, appellate defense counsel's copy of the record.

[[Page 772]]



Sec. 150.13  Notice of appearance of counsel.

    Military and civilian appellate counsel shall file a written notice 
of appearance with the Court. The filing of any pleading relative to a 
case which contains the signature of counsel constitutes notice of 
appearance of such counsel.



Sec. 150.14  Waiver or withdrawal of appellate review.

    Withdrawals from appellate review, and waivers of appellate review 
filed after expiration of the period prescribed by the Rule for Courts-
Martial 1110(f)(1), will be referred to the Court for consideration. At 
its discretion, the Court may require the filing of a motion for 
withdrawal, issue a show cause order, or grant the withdrawal without 
further action, as may be appropriate. The Court will return the record 
of trial, in a case withdrawn from appellate review, to the Judge 
Advocate General for action pursuant to Rule for Courts-Martial 1112.



Sec. 150.15  Assignments of error and briefs.

    (a) General provisions. Appellate counsel for the accused may file 
an assignment of error if any are to be alleged, setting forth 
separately each error asserted. The assignment of errors should be 
included in a brief for the accused in the format set forth in Appendix 
B to this part. An original of all assignments of error and briefs, and 
as many additional copies as shall be prescribed by the Court, shall be 
submitted. Briefs and assignments of errors shall be typed or printed, 
double-spaced on white paper, and securely fastened at the top. All 
references to matters contained in the record shall show record page 
numbers and any exhibit designations. A brief on behalf of the 
government shall be of like character as that prescribed for the 
accused.
    (b) Time for filing and number of briefs. Any brief for an accused 
shall be filed within 60 days after appellate counsel has been notified 
of the receipt of the record in the Office of the Judge Advocate 
General. If the Judge Advocate General has directed appellate government 
counsel to represent the United States, such counsel shall file an 
answer on behalf of the government within 30 days after any brief and 
assignment of errors has been filed on behalf of an accused. Appellate 
counsel for an accused may file a reply brief no later than 7 days after 
the filing of a response brief on behalf of the government. If no brief 
is filed on behalf of an accused, a brief on behalf of the government 
may be filed within 30 days after expiration of the time allowed for the 
filing of a brief on behalf of the accused.
    (c) Appendix. The brief of either party may include an appendix. If 
an unpublished opinion is cited in the brief, a copy shall be attached 
in an appendix. The appendix may also include extracts of statutes, 
rules, or regulations. A motion must be filed under Sec. 150.23, infra, 
to attach any other matter.



Sec. 150.16  Oral arguments.

    Oral arguments may be heard in the discretion of the Court upon 
motion by either party or when otherwise ordered by the Court. The 
motion of a party for oral argument shall be made no later than 7 days 
after the filing of an answer to an appellant's brief. Such motion shall 
identify the issue(s) upon which counsel seek argument. The Court may, 
on its own motion, identify the issue(s) upon which it wishes argument.



Sec. 150.17  En banc proceedings.

    (a)(1) A party may suggest the appropriateness of consideration or 
reconsideration by the Court as a whole. Such consideration or 
reconsideration ordinarily will not be ordered except:
    (i) When consideration by the full Court is necessary to secure or 
maintain uniformity of decision, or
    (ii) When the proceedings involve a question of exceptional 
importance, or
    (iii) When a sentence being reviewed pursuant to Article 66 extends 
to death.
    (2) In cases being reviewed pursuant to Article 66, a party's 
suggestion that a matter be considered initially by the Court as a whole 
must be filed with the Court within 7 days after the government files 
its answer to the assignment of errors, or the appellant files a reply 
under Sec. 150.15(b). In other proceedings, the suggestion must be 
filed with the party's initial petition or other initial

[[Page 773]]

pleading, or within 7 days after the response thereto is filed. A 
suggestion for reconsideration by the Court as a whole must be made 
within the time prescribed by Sec. 150.19 for filing a motion for 
reconsideration. No response to a suggestion for consideration or 
reconsideration by the Court as a whole may be filed unless the Court 
shall so order.
    (b) The suggestion of a party for consideration or reconsideration 
by the Court as a whole shall be transmitted to each judge of the Court 
who is present for duty, but a vote need not be taken to determine 
whether the cause shall be considered or reconsidered by the Court as a 
whole on such a suggestion made by a party unless a judge requests a 
vote.
    (c) A majority of the judges present for duty may order that any 
appeal or other proceeding be considered or reconsidered by the Court 
sitting as a whole. However, en banc reconsideration of an en banc 
decision will not be held unless at least one member of the original 
majority concurs in a vote for reconsideration.
    (d) This rule does not affect the power of the Court sua sponte to 
consider or reconsider any case sitting as a whole.



Sec. 150.18  Orders and decisions of the Court.

    The Court shall give notice of its orders and decisions by 
immediately serving them, when rendered, on appellate defense counsel, 
including civilian counsel, if any, government counsel and the Judge 
Advocate General, or designee, as appropriate.



Sec. 150.19  Reconsideration.

    (a) The Court may, in its discretion and on its own motion, enter an 
order announcing its intent to reconsider its decision or order in any 
case not later than 30 days after service of such decision or order on 
appellate defense counsel or on the appellant, if the appellant is not 
represented by counsel, provided a petition for grant of review or 
certificate for review has not been filed with the United States Court 
of Appeals for the Armed Forces, or a record of trial for review under 
Article 67(b) has not been received by that Court. No briefs or 
arguments shall be received unless the order so directs.
    (b) Provided a petition for grant of review or certificate for 
review has not been filed with the United States Court of Appeals for 
the Armed Forces, or a record of trial for review under Article 67(b) or 
writ appeal has not been received by the United States Court of Appeals 
for the Armed Forces, the Court may, in its discretion, reconsider its 
decision or order in any case upon motion filed either:
    (1) By appellate defense counsel within 30 days after receipt by 
counsel, or by the appellant if the appellant is not represented by 
counsel, of a decision or order, or
    (2) By appellate government counsel within 30 days after the 
decision or order is received by counsel.
    (c) A motion for reconsideration shall briefly and directly state 
the grounds for reconsideration, including a statement of facts showing 
jurisdiction in the Court. A reply to the motion for reconsideration 
will be received by the Court only if filed within 7 days of receipt of 
a copy of the motion. Oral arguments shall not be heard on a motion for 
reconsideration unless ordered by the Court. The original of the motion 
filed with the Court shall indicate the date of receipt of a copy of the 
same by opposing counsel.
    (d) The time limitations prescribed by this part shall not be 
extended under the authority of Sec. Sec. 150.24 or 150.25 beyond the 
expiration of the time for filing a petition for review or writ appeal 
with the United States Court of Appeals for the Armed Forces, except 
that the time for filing briefs by either party may be extended for good 
cause.



Sec. 150.20  Petitions for extraordinary relief, answer, and reply.

    (a) Petition for extraordinary relief. A petition for extraordinary 
relief in the number of copies required by the Court shall be 
accompanied by proof of service on each party respondent and will 
contain:
    (1) A previous history of the case including whether prior actions 
have been filed or are pending for the same relief in this or any other 
court and the disposition or status of such actions;

[[Page 774]]

    (2) A concise and objective statement of all facts relevant to the 
issue presented and of any pertinent opinion, order or ruling;
    (3) A copy of any pertinent parts of the record and all exhibits 
related to the petition if reasonably available and transmittable at or 
near the time the petition is filed;
    (4) A statement of the issue;
    (5) The specific relief sought;
    (6) Reasons for granting the writ;
    (7) The jurisdictional basis for relief sought and the reasons why 
the relief sought cannot be obtained during the ordinary course of 
appellate review;
    (8) If desired, a request for appointment of appellate counsel.
    (b) Format. The title of the petition shall include the name, 
military grade and service number of each named party and, where 
appropriate, the official military or civilian title of any named party 
acting in an official capacity as an officer or agent of the United 
States. When an accused has not been named as a party, the accused shall 
be identified by name, military grade and service number by the 
petitioner and shall be designated as the real party in interest.
    (c) Electronic petitions. The Court will docket petitions for 
extraordinary relief submitted by electronic means. A petition submitted 
by electronic means will conclude with the full name and address of 
petitioner's counsel, if any, and will state when the written petition 
and brief, when required, were forwarded to the Court and to all named 
respondents, and by what means they were forwarded.
    (d) Notice to the Judge Advocate General. Immediately upon receipt 
of any petition, the clerk shall forward a copy of the petition to the 
appropriate Judge Advocate General or designee.
    (e) Briefs. Each petition for extraordinary relief must be 
accompanied by a brief in support of the petition unless it is filed in 
propria persona. The Court may issue a show cause order in which event 
the respondent shall file an answer within 10 days of the receipt of the 
show cause order. The petitioner may file a reply to the answer within 7 
days of receipt of the answer.
    (f) Initial action by the Court. The Court may dismiss or deny the 
petition, order the respondent to show cause and file an answer within 
the time specified, or take whatever other action it deems appropriate.
    (g) Oral argument and final action. The Court may set the matter for 
oral argument. However, on the basis of the pleading alone, the Court 
may grant or deny the relief sought or make such other order in the case 
as the circumstances may require. This includes referring the matter to 
a special master, who need not be a military judge, to further 
investigate; to take evidence; and to make such recommendations as the 
Court deems appropriate.



Sec. 150.21  Appeals by the United States.

    (a) Restricted filing. Only a representative of the government 
designated by the Judge Advocate General of the respective service may 
file an appeal by the United States under Article 62.
    (b) Counsel. Counsel must be qualified and appointed, and give 
notice of appearance in accordance with this part and those of the Judge 
Advocate General concerned.
    (c) Form of appeal. The appeal must include those documents 
specified by Rule for Courts-Martial 908 and by applicable regulations 
of the Secretary concerned. A certificate of the Notice of Appeal 
described in Rule for Courts-Martial 908(b)(3) must be included. The 
certificate of service must reflect the date and time of the military 
judge's ruling or order from which the appeal is taken, and the time and 
date of service upon the military judge.
    (d) Time for filing. All procedural Rules of the Court shall apply 
except as noted in this paragraph:
    (1) The representative of the government designated by the Judge 
Advocate General shall decide whether to file the appeal with the Court. 
The trial counsel shall have 20 days from the date written notice to 
appeal is filed with the trial court to forward the appeal, including an 
original and two copies of the record of trial, to the representative of 
the government designated by the Judge Advocate General. The person 
designated by the Judge Advocate General shall promptly file the 
original record with the Clerk of the Court and forward one copy to

[[Page 775]]

opposing counsel. Appellate government counsel shall have 20 days (or 
more upon a showing of good cause made by motion for enlargement within 
the 20 days) from the date the record is filed with the Court to file 
the appeal with supporting brief with the Court. Should the government 
decide to withdraw the appeal after the record is received by the Court, 
appellate government counsel shall notify the Court in writing. 
Appellate brief(s) shall be prepared in the manner prescribed by Sec. 
150.15.
    (2) Appellee shall prepare an answer in the manner prescribed by 
Sec. 150.15 and shall file such answer within 20 days after any filing 
of the government brief.
    (e) The government shall diligently prosecute all appeals by the 
United States and the Court will give such appeals priority over all 
other proceedings where practicable.



Sec. 150.22  Petitions for new trial.

    (a) Whether submitted to the Judge Advocate General by the accused 
in propria persona or by counsel for the accused, a petition for new 
trial submitted while the accused's case is undergoing review by a Court 
of Criminal Appeals shall be filed with an original and two copies and 
shall comply with the requirements of Rule for Courts-Martial 1210(c).
    (b) Upon receipt of a petition for new trial submitted by other than 
appellate defense counsel, the Court will notify all counsel of record 
of such fact.
    (c) A brief in support of a petition for new trial, unless expressly 
incorporated in or filed with the petition, will be filed substantially 
in the format specified by Sec. 150.15 no later than 30 days after the 
filing of the petition or receipt of the notice required by paragraph 
(b) of this section, whichever is later. An appellate's answer shall be 
filed no later than 30 days after the filing of an appellant's brief. A 
reply may be filed no later than 10 days after the filing of the 
appellee's answer.



Sec. 150.23  Motions.

    (a) Content. All motions, unless made during the course of a 
hearing, shall state with particularity the relief sought and the 
grounds therefor. Motions, pleading, and other papers desired to be 
filed with the Court may be combined in the same document, with the 
heading indicating, for example ``MOTION TO FILE (SUPPLEMENTAL 
ASSIGNMENT OF ERRORS) (CERTIFICATE OF CORRECTION) (SUPPLEMENTAL 
PLEADING)''; or ``ASSIGNMENT OF ERRORS AND MOTION TO FILE ATTACHED 
REPORT OF MEDICAL BOARD''.
    (b) Motions to attach documents. If a party desires to attach a 
statement of a person to the record for consideration by the Court on 
any matter, such statement shall be made either as an affidavit or as an 
unsworn declaration under penalty of perjury pursuant to 28 U.S.C. 1746. 
All documents containing language other than English shall have, 
attached, a certified English translation.
    (c) Opposition. Any opposition to a motion shall be filed within 7 
days after receipt by the opposing party of service of the motion.
    (d) Leave to file. Any pleading not authorized or required by this 
part, shall be accompanied by a motion for leave to file such pleading.
    (e) Oral argument. Oral argument shall not normally be permitted on 
motions.



Sec. 150.24  Continuances and interlocutory matters.

    Except as otherwise provided in Sec. 150.19(d), the Court, in its 
discretion, may extend any time limits prescribed and may dispose of any 
interlocutory or other appropriate matter not specifically covered by 
this part, in such manner as may appear to be required for a full, fair, 
and expeditious consideration of the case. See Sec. 150.4.



Sec. 150.25  Suspension of rules.

    For good cause shown, the Court acting as a whole or in panel may 
suspend the requirements or provisions of any of this part in a 
particular case on petition of a party or on its own motion and may 
order proceedings in accordance with its direction.



Sec. 150.26  Internal rules.

    The Chief Judge of the Court has the authority to prescribe internal 
rules for the Court.

[[Page 776]]



Sec. 150.27  Recording, photographing, broadcasting, or telecasting
of hearings.

    The recording, photographing, broadcasting, or televising of any 
session of the Court or other activity relating thereto is prohibited 
unless specifically authorized by the Court.



Sec. 150.28  Amendments.

    Proposed amendments to this part may be submitted to the Chief Judge 
of any Court named in Sec. 150.1 or to a Judge Advocate General. Before 
acting on any proposed amendments not received from the Chief Judges, 
the Judge Advocates General shall refer them to the Chief Judges of the 
Courts for comment. The Chief Judges shall confer on any proposed 
changes, and shall report to the Judge Advocates General as to the 
suitability of proposed changes and their impact on the operation of the 
Courts and on appellate justice.



Sec. Appendix A to Part 150--Format for Direction for Review in a Court 
                           of Criminal Appeals

     In the United States ------------ \1\ Court of Criminal Appeals

United States v.________________________________________________________
(Full typed name, rank, service, & service number of accused)
---------------------------------------------------------------------------

    \1\ Use ``Army,'' ``Navy-Marine Corps,'' ``Air Force,'' or ``Coast 
Guard,'' as applicable.
---------------------------------------------------------------------------

Direction for Review Case No. --------

Tried at (location), on (date(s)) before a (type in court-martial) 
appointed by (convening authority)

To the Honorable, the Judges of the United States ------------ Court of 
                            Criminal Appeals

    1. Pursuant to Article 69 of the Uniform Code of Military Justice, 
10 U.S.C. Sec. 869 (1994) and the Rules of Practice and Procedure for 
Courts of Criminal Appeals, Rule 2(b), the record of trial in the above-
entitled case is forwarded for review.
    2. The accused was found guilty by a (type of court-martial) of a 
violation of Article(s) -------- of the Uniform Code of Military 
Justice, and was sentenced to (include entire adjudged sentence) on 
(insert trial date). The convening authority (approved the sentence as 
adjudged) (approved the following findings and sentence: ------------). 
The officer exercising general court-martial jurisdiction (where 
applicable) took the following action: ------------. The case was 
received for review pursuant to Article 69 on (date).
    3. In review, pursuant to Uniform Code of Military Justice, Article 
66, it is requested that action be taken with respect to the following 
issues:

[set out issues here]
________________________________________________________________________
The Judge Advocate General
    Received a copy of the foregoing Direction for Review this --------
---- (date).
________________________________________________________________________
Appellate Government Counsel

________________________________________________________________________
Address and telephone number

________________________________________________________________________
Appellate Defense Counsel

________________________________________________________________________
Address and telephone number



 Sec. Appendix B to Part 150--Format for Assignment of Errors and Brief 
                   on Behalf of Accused (Sec. 150.15)

     In the United States ------------ \2\ Court of Criminal Appeals

United States v.________________________________________________________
(Full typed name, rank, service, & service number of accused), Appellant
---------------------------------------------------------------------------

    \2\ Use ``Army,'' ``Navy-Marine Corps,'' ``Air Force,'' or ``Coast 
Guard,'' as applicable.
---------------------------------------------------------------------------

Assignment of Errors and Brief on Behalf of Accused Case No. --------

Tried at (location), on (date(s)) before a (type of court-martial) 
appointed by (convening authority)

To the Honorable, the Judges of the United States ------------ Court of 
                            Criminal Appeals

                          Statement of the Case

    [Set forth a concise summary of the chronology of the case, 
including the general nature of the charges, the pleas of the accused, 
the findings and sentence at trial, the action by the convening 
authority, and any other pertinent information regarding the 
proceedings.]

                           Statement of Facts

    [Set forth those facts necessary to a disposition of the assigned 
errors, including specific page references and exhibit numbers. Answers 
may adopt appellant's or petitioner's statement of facts if there is no 
dispute, may state additional facts, or, if there is a dispute, may 
restate the facts as they appear from appellee's or respondent's 
viewpoint. The repetition of uncontroverted matters is not desired.]

[[Page 777]]

                           Errors and Argument

    [Set forth each error alleged in upper case letters, followed by 
separate arguments for each error. Arguments shall discuss briefly the 
question presented, citing and quoting such authorities as are deemed 
pertinent. Each argument shall include a statement of the applicable 
standard of review, and shall be followed by a specific prayer for the 
relief requested.]

                                Appendix

    [The brief of either party may include an appendix containing copies 
of unpublished opinions cited in the brief, and extracts of statutes, 
rules or regulations pertinent to the assigned errors.]

________________________________________________________________________
(Signature of counsel)

________________________________________________________________________
Name (and rank) of counsel, address and telephone number

                    Certificate of Filing and Service

    I certify that a copy of the foregoing was mailed or delivered to 
the Court and opposing counsel on (date).

________________________________________________________________________
Name (rank) (and signature)

________________________________________________________________________
Address and telephone number

-------------------- (Date)



PART 151_STATUS OF FORCES POLICIES AND INFORMATION--Table of Contents



Sec.
151.1 Reissuance and purpose.
151.2 Applicability.
151.3 Policy.
151.4 Procedures and responsibilities.
151.5 Reports on the exercise of foreign criminal jurisdiction.
151.6 Resolution of ratification, with reservations, as agreed to by the 
          Senate on July 15, 1953.
151.7 Fair trial guarantees.

    Authority: 1 U.S.C. 133, 75 Stat. 517.

    Source: 45 FR 20465, Mar. 28, 1980, unless otherwise noted.



Sec. 151.1  Reissuance and purpose.

    This part is reissued to update established DoD policy and 
procedures on trial by foreign courts and treatment in foreign prisons 
of U.S. military personnel, nationals of the U.S. serving with, employed 
by, or accompaning the Armed Forces of the United States, and the 
dependents of both (hereafter referred to as U.S. personnel); and 
provides uniform reporting on the exercise of foreign criminal 
jurisdiction.



Sec. 151.2  Applicability.

    The provisions of this part apply to the Office of the Secretary of 
Defense, the Military Departments, and the Unified and Specified 
Commands. As used herein, the term ``Military Services'' refers to the 
Army, Navy, Air Force, and Marine Corps.



Sec. 151.3  Policy.

    It is the policy of the Department of Defense to protect, to the 
maximum extent possible, the rights of U.S. personnel who may be subject 
to criminal trial by foreign courts and imprisonment in foreign prisons.



Sec. 151.4  Procedures and responsibilities.

    (a) Application of Senate resolution on status of forces. This 
directive implements the Senate Resolution accompanying the Senate's 
consent to ratification of the North Atlantic Treaty (NATO) Status of 
Forces Agreement (Sec. 151.6). Although the Senate Resolution applies 
only to countries where the NATO Status of Forces Agreement is in 
effect, the same procedures for safeguarding the interests of U.S. 
personnel subject to foreign jurisdiction shall be applied insofar as 
practicable in overseas areas where U.S. forces are regularly stationed.
    (b) Orientation of personnel. The Military Services shall issue 
uniform regulations establishing an information and education policy on 
the laws and customs of the host country for personnel assigned to 
foreign areas.
    (c) Designated commanding officer. Formal invocation of the Senate 
Resolution procedure shall be the responsibility of a single military 
commander in each foreign country where United States forces are 
stationed. Attache personnel and other military personnel serving under 
a chief of a diplomatic mission shall not be considered U.S. forces in 
this part.
    (1) In the geographical areas for which a unified command exists, 
the commander shall designate within each country the ``Commanding 
Officer'' referred to in the Senate Resolution (Sec. 151.6).

[[Page 778]]

    (2) In areas where a unified command does not exist, a commanding 
officer in each country shall be nominated by the Military Departments. 
These recommendations shall be forwarded by the Judge Advocate General 
of the Army to the Secretary of Defense, for implementation through the 
Office of the Assistant Secretary of Defense (International Security 
Affairs). In designating the commanding officer to act for all the 
Military Departments, consideration must be given to the availability of 
legal officers and readiness of access to the seat of the foreign 
government. Such an officer may also be appointed by the Military 
Departments for countries where no U.S. forces are regularly stationed.
    (d) Country law studies. (1) For each foreign country where U.S. 
forces are subject to the criminal jurisdiction of foreign authorities, 
the designated commanding officer for such country shall make and 
maintain a current study of the laws and legal procedures in effect. 
Studies of the laws of other countries shall be made when directed. This 
study shall be a general examination of the substantive and procedural 
criminal law of the foreign country, and shall contain a comparison 
thereof with the procedural safeguards of a fair trial in the State 
courts of the United States.
    (2) Copies of these studies shall be forwarded by the designated 
commanding officer to each of the Judge Advocates General of the 
Military Services. Principal emphasis is to be placed on those 
safeguards that are of such a fundamental nature as to be guaranteed by 
the Constitution of the United States in all criminal trials in State 
courts of the United States. See Sec. 151.7 for enumeration of 
safeguards considered important. These country law studies shall be 
subject to a continuing review. Whenever there is a significant change 
in any country's criminal law, the change shall be forwarded by the 
designated commanding officer to each of the Military Service's Judge 
Advocates General.
    (e) Waivers of local jurisdiction--military personnel. (1) In cases 
where it appears probable that release of jurisdiction over U.S. 
military personnel will not be obtained and the accused may not obtain a 
fair trial, the commander exercising general court-martial jurisdiction 
over the accused shall communicate directly with the designated 
commanding officer, report the full facts of the case, and supply a 
recommendation.
    (2) The designated commanding officer shall determine, in the light 
of legal procedures in effect in that country, whether there is danger 
that the accused will not receive a fair trial. A trial shall not be 
considered unfair merely because it is not identical with trials held in 
the United States. Due regard, however, should be given to those United 
States trial rights listed in Sec. 151.7 that are relevant to the facts 
and circumstances of the trial in question.
    (3) If the designated commanding officer determines there is risk of 
an unfair trial, the commanding officer shall decide, after consultation 
with the chief of the diplomatic mission, whether to press a request for 
waiver of jurisdiction through diplomatic channels. If the commanding 
officer so decides, the recommendation shall be submitted through the 
unified commander, if any, and The Judge Advocate General of the 
accused's service, to the Office of the Secretary of Defense. The 
objective in each case is to see that U.S. military personnel obtain a 
fair trial in the receiving state under all circumstances.
    (f) Request to foreign authorities not to exercise their criminal 
jurisdiction over civilians and dependents. The following procedures 
shall be followed when it appears that foreign authorities may assume 
criminal jurisdiction over dependents of U.S. military personnel, 
civilian personnel, and their dependents:
    (1) When the designated commanding officer determines, after a 
careful consideration of all the circumstances, that suitable corrective 
action can be taken under existing administrative regulations, the 
commanding officer may request the local foreign authorities to refrain 
from exercising their criminal jurisdiction.
    (2) When it appears possible that release of jurisdiction will not 
be obtained and that the accused may not obtain a fair trial, the 
commander exercising general court-martial jurisdiction over the command 
in which such

[[Page 779]]

personnel are located shall communicate directly with the designated 
commanding officer, reporting the full facts of the case and supplying a 
recommendation.
    (3) The designated commanding officer shall then determine, in the 
light of legal procedures in effect in that country, whether there is 
danger that the accused will not receive a fair trial.
    (4) If it is determined that there is such danger, the designated 
commanding officer shall decide, after consultation with the chief of 
the diplomatic mission, whether a request should be submitted through 
diplomatic channels to foreign authorities seeking their assurances of a 
fair trial for the accused or, in appropriate circumstances, that they 
forego their right to exercise jurisdiction over the accused. If the 
designated commanding officer so decides, a recommendation shall be 
submitted through the unified commander, if any, and The Judge Advocate 
General of the Military Service concerned, to the Office of the 
Secretary of Defense.
    (g) Trial observers and trial observer report. (1) The designated 
commanding officer shall submit to the chief of the diplomatic mission a 
list of persons qualified to serve as U.S. observers at trials before 
courts of the receiving state. Nominees shall be lawyers, and shall be 
selected for maturity of judgment. The list shall include, where 
possible, representatives of all Military Services whose personnel are 
stationed in that country to enable the chief of the diplomatic mission 
to appoint an observer from the same Military Service as the accused. 
The requirement that nominees shall be lawyers may be waived in cases of 
minor offenses. Incidents that result in serious personal injury or that 
would normally result in sentences to confinement, whether or not 
suspended, shall not be considered minor offenses.
    (2) Trial observers shall attend and prepare formal reports in all 
cases of trials of U.S. personnel by foreign courts or tribunals, except 
for minor offenses. In cases of minor offenses, the observer shall 
attend the trial at the discretion of the designated commanding officer, 
but shall not be required to make a formal report. These reports need 
not be classified, but shall be treated as For Official Use Only 
documents. They shall be forwarded intact to the designated commanding 
officer through such agencies as the designated commanding officer may 
prescribe for transmission to the Judge Advocate General of the 
accused's service, with any comments of the appropriate Military Service 
commander. These reports shall be forwarded immediately upon the 
completion of the trial in the lower court, and shall not be delayed 
because of the possibility of a new trial, rehearing or appeal, reports 
of which shall be forwarded in the same manner. Copies shall also be 
forwarded to the unified commander, if any, and to the chief of the 
diplomatic mission.
    (3) The trial observer report shall contain a factual description or 
summary of the trial proceedings. It should enable an informed judgment 
to be made regarding: (i) Whether there was any failure to comply with 
the procedural safeguards secured by a pertinent status of forces 
agreement, and (ii) whether the accused received a fair trial under all 
the circumstances. The report shall specify the conclusions of the trial 
observer with respect to paragraph (g)(3)(i) of this section, and shall 
state in detail the basis for the conclusions. Unless the designated 
commanding officer directs otherwise, the report shall not contain 
conclusions with respect to paragraph (g)(3)(ii) of this section.
    (4) The designated commanding officer, upon receipt of a trial 
observer report, shall be responsible for determining: (i) Whether there 
was any failure to comply with the procedural safeguards secured by the 
pertinent status of forces agreement, and (ii) whether the accused 
received a fair trial under all the circumstances. Due regard should be 
given to those fair trial rights listed in Sec. 151.7 that are relevant 
to the particular facts and circumstances of the trial. However, a trial 
shall not be found unfair merely because it is not identical with trials 
held in the United States. If the designated commanding officer is of 
the opinion that the procedural safeguards specified in pertinent 
agreements were denied or that the trial was otherwise

[[Page 780]]

unjust, the commanding officer shall submit to the Office of the 
Secretary of Defense, through the unified commander and the Judge 
Advocate General of the Military Service concerned, a recommendation as 
to appropriate action to rectify the trial deficiencies and otherwise to 
protect the rights or interests of the accused. This shall include a 
statement of efforts taken or to be taken at the local level to protect 
the right of the accused. An information copy of the recommendation of 
the designated commanding officer shall be forwarded to the diplomatic 
or consular mission in the country concerned.
    (h) Counsel fees and related assistance. When the Secretary of the 
Military Department concerned or designee considers such action to be in 
the best interests of the United States, representation by civilian 
counsel and other assistance described under 10 U.S.C. 1037 may be 
furnished at Government expense to U.S. personnel tried in foreign 
countries.
    (i) Treatment of U.S. personnel confined in foreign penal 
institutions. (1) Insofar as practicable and subject to the laws and 
regulations of the country concerned and the provisions of any agreement 
therewith, the Department of Defense seeks to ensure that U.S. military 
personnel: (i) When in the custody of foreign authorities are fairly 
treated at all times and (ii) when confined (pretrial and post-trial) in 
foreign penal institutions are accorded the treatment and are entitled 
to all the rights, privileges, and protections of personnel confined in 
U.S. military facilities. Such rights, privileges, and protections are 
enunciated in present Military Service directives and regulations, and 
include, but are not limited to, legal assistance, visitation, medical 
attention, food, bedding, clothing, and other health and comfort 
supplies.
    (2) In consonance with this policy, U.S. military personnel confined 
in foreign penal institutions shall be visited at least every 30 days, 
at which time the conditions of confinement and other matters relating 
to their health and welfare shall be observed. The Military Services 
shall maintain, on a current basis, records of these visits as reports 
by their respective commands. Records of each visit should contain the 
following information:
    (i) Names of personnel conducting visit and date of visit.
    (ii) Name of each prisoner visited, serial number, and sentence.
    (iii) Name and location of prison.
    (iv) Treatment of the individual prisoner by prison warden and other 
personnel (include a short description of the rehabilitation program, if 
any, as applied to the prisoner).
    (v) Conditions existing in the prison, such as light, heat, 
sanitation, food, recreation, and religious activities.
    (vi) Change in status of prisoner, conditions of confinement or 
transfer to another institution.
    (vii) Condition of prisoner, physical and mental.
    (viii) Assistance given to prisoner, such as legal, medical, food, 
bedding, clothing, and health and comfort supplies.
    (ix) Action taken to have any deficiencies corrected, either by the 
local commander or through diplomatic or consular mission.
    (x) Designation of command responsible for prisoner's welfare and 
reporting of visits.
    (xi) Information as to discharge of a prisoner from the Military 
Service or termination of confinement.
    (3) When it is impracticable for the individual's commanding officer 
or representative to make visits, the designated commanding officer 
should be requested to arrange that another unit be responsible for such 
visits or to request that the appropriate diplomatic or consular mission 
assume responsibility therefor. When necessary, a medical officer should 
participate in the visits and record the results of medical 
examinations. If reasonable requests for permission to visit U.S. 
military personnel are arbitrarily denied, or it is ascertained that the 
individual is being mistreated or that the conditions of custody or 
confinement are substandard, the case should be referred to the 
diplomatic or consular mission concerned for appropriate action.
    (4) To the extent possible, military commanders should seek to 
conclude local arrangements whereby U.S. military authorities may be 
permitted to

[[Page 781]]

accord U.S. military personnel confined in foreign institutions the 
treatment, rights, privileges, and protection similar to those accorded 
such personnel confined in U.S. military facilities. The details of such 
arrangements should be submitted to the Judge Advocates General of the 
Military Services.
    (5) The military commanders shall make appropriate arrangements with 
foreign authorities whereby custody of individuals who are members of 
the Armed Forces of the United States shall, when they are released from 
confinement by foreign authorities, be turned over to U.S. military 
authorities. In appropriate cases, diplomatic or consular officers 
should be requested to keep the military authorities advised as to the 
anticipated date of the release of such persons by the foreign 
authorities.
    (6) In cooperation with the appropriate diplomatic or consular 
mission, military commanders shall, insofar as possible, ensure that 
dependents of U.S. military personnel, nationals of the United States 
serving with, employed by or accompanying the armed forces, and 
dependents of such nationals when in the custody of foreign authorities, 
or when confined (pretrial and post-trial) in foreign penal institutions 
receive the same treatment, rights, and support as would be extended to 
U.S. military personnel in comparable situations pursuant to the 
provisions of Sec. 151.4(i).
    (j) Discharge. U.S. military personnel confined in foreign prisons 
shall not be discharged from military service until the completion of 
the term of imprisonment and the return of the accused to the United 
States, except that in unusual cases such discharges may be accomplished 
upon prior authorization of the Secretary of the Military Department 
concerned.
    (k) Information policy. It is the basic policy of the Department of 
Defense that the general public and the Congress must be provided 
promptly with the maximum information concerning status of forces 
matters that are consistent with the national interest. Information 
shall be coordinated and furnished to the public and the Congress in 
accordance with established procedures, including DoD Directive 5122.5, 
\1\ ``Assistant Secretary of Defense (Public Affairs),'' July 10, 1961, 
and parts 286 and 286a of this title.
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    \1\ Copies may be obtained, if needed, from the U.S. Naval 
Publications and Forms Center, 5801 Tabor Avenue, Philadelphia, PA 
19120, Attention: Code 301.
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Sec. 151.5  Reports on the exercise of foreign criminal jurisdiction.

    The following reporting system, which has been implemented by the 
Military Departments, shall be continued after revision in accordance 
with the provisions herein. The Department of the Army is designated as 
executive agent within the Department of Defense for maintaining and 
collating information received on the basis of the reports submitted.
    (a) Annual reports. Annual reports, based on information furnished 
by the Military Departments covering the period December 1 through 
November 30 shall be prepared by the Department of the Army and 
submitted within such time as may be required but not later than 120 
days after the close of the reporting period. The reports shall be 
submitted in one reproducible copy to the Office of the General Counsel, 
DoD, in accordance with departmental implementation of this part. The 
reporting content of this requirement shall be as follows:
    (1) A statistical summary (DD Form 838) by country and type of 
offense of all cases involving U.S. personnel.
    (2) A report signed by the appropriate Military Service commander in 
each country for which DD Form 838 is prepared, concerning the 
commander's personal evaluation of the impact, if any, the local 
jurisdictional arrangements have had upon accomplishment of the mission 
and upon the discipline and morale of the forces, together with specific 
facts or other information, where appropriate, substantiating the 
commanders' opinion.
    (3) A report of the results of visits made and particular actions 
taken by appropriate military commanders under Sec. 151.4(i).
    (4) A report of the implementation of 10 U.S.C. 1037 showing by 
country and Military Service:

[[Page 782]]

    (i) The total number of cases in which funds were expended and
    (ii) Total expenditures in each of the following categories:
    (A) Payment of counsel fees,
    (B) Provision of bail,
    (C) Court costs and other expenses.
    (b) Quarterly reports. (1) Quarterly reports for the periods ending 
November 30, February 28, May 31, and August 31, consisting of lists of 
U.S. personnel imprisoned and released, shall be submitted, in 
accordance with departmental implementation of this part to the 
Department of the Army and by the Department of the Army, as executive 
agent, to the Director, Washington Headquarters Services, in four 
copies, on or before the 15th day following the report quarter as 
follows:
    (i) An alphabetical list of U.S. personnel who were imprisoned 
during the reporting period under sentence of confinement imposed by a 
foreign country, indicating the individual's home address, grade, and 
serial number (where applicable), offense of which found guilty, date 
and place of confinement, length of sentence to confinement imposed, and 
estimated date of release from confinement.
    (ii) A similar list of the names of prisoners released during the 
reporting period.
    (2) An information copy of these lists shall be furnished by the 
appropriate Military Service commander to the diplomatic or consular 
mission in the country concerned.
    (c) Other reports. (1) Each Military Department shall maintain, on a 
current basis, and submit monthly to the Director, Washington 
Headquarters Service, in four copies, a list of the most important cases 
pending, with a brief summary of the salient facts in each case. 
Selection of the cases to be included shall be left to the judgment of 
the appropriate officials of each Military Department. Instances of 
deficiency in the treatment or conditions of confinement in foreign 
penal institutions or arbitrary denial of permission to visit such 
personnel shall be considered important cases. Lists covering the 
previous month shall be submitted on the 6th day of the month following.
    (2) Important new cases or important developments in pending cases 
shall be reported informally and immediately to the Office of the 
General Counsel, DoD.



Sec. 151.6  Resolution of ratification, with reservations, as agreed
to by the Senate on July 15, 1953.

    Resolved (two-thirds of the Senators present concurring therein), 
That the Senate advise and consent to the ratification of Executive T, 
Eighty-second Congress, second session, an agreement between the parties 
to the North Atlantic Treaty Regarding the Status of their Forces, 
signed at London on June 19, 1951. It is the understanding of the 
Senate, which understanding inheres in its advise and consent to the 
ratification of the Agreement, that nothing in the Agreement diminishes, 
abridges, or alters the right of the United States of America to 
safeguard its own security by excluding or removing persons whose 
presence in the United States is deemed prejudicial to its safety or 
security, and that no person whose presence in the United States is 
deemed prejudicial to its safety or security shall be permitted to enter 
or remain in the United States. In giving its advise and consent to 
ratification, it is the sense of the Senate that:
    (a) The criminal jurisdiction provisions of Article VII do not 
constitute a precedent for future agreements;
    (b) Where a person subject to the military jurisdiction of the 
United States is to be tried by the authorities of a receiving state, 
under the treaty the Commanding Officer of the armed forces of the 
United States in such state shall examine the laws of such state with 
particular reference to the procedural safeguards contained in the 
Constitution of the United States;
    (c) If, in the opinion of such Commanding Officer, under all the 
circumstances of the case, there is danger that the accused will not be 
protected becase of the absence or denial of constitutional rights the 
accused would enjoy in the United States, the Commanding Officer shall 
request the authorities of the receiving State to waive jurisdiction in 
accordance with the provisions of paragraph 3(c) of Article VII (which 
requires the receiving

[[Page 783]]

State to give ``sympathetic consideration'' to such request) and if such 
authorities refuse to waive jurisdiction, the commanding officer shall 
request the Department of State to press such request through diplomatic 
channels and notification shall be given by the Executive Branch to the 
Armed Services Committees of the Senate and House of Representatives;
    (d) A representative of the United States to be appointed by the 
Chief of Diplomatic Mission with the advice of the senior U.S. military 
representative in the receiving State will attend the trial of any such 
person by the authorities of a receiving State under the agreement, and 
any failure to comply with the provisions of paragraph 9 of Article VII 
of the Agreement shall be reported to the commanding officer of the 
Armed Forces of the United States in such State who shall then request 
the Department of State to take appropriate action to protect the rights 
of the accused, and notification shall be given by the Executive Branch 
to the Armed Services Committees of the Senate and House of 
Representatives.



Sec. 151.7  Fair trial guarantees.

    The following is a listing of ``fair trial'' safeguards or 
guarantees that are considered to be applicable to U.S. State court 
criminal proceedings, by virtue of the 14th Amendment as interpreted by 
the Supreme Court of the United States. The list is intended as a guide 
for the preparation of country law studies prescribed by Sec. 151.4 and 
for the determinations made by the designated commanding officer under 
Sec. 151.4(e) through Sec. 151.4(g). Designated commanding officers 
should also consider other factors that could result in a violation of 
due process of law in State court proceedings in the United States.
    (a) Criminal statute alleged to be violated must set forth specific 
and definite standards of guilt.
    (b) Accused shall not be prosecuted under an ex post facto law.
    (c) Accused shall not be punished by bills of attainder.
    (d) Accused must be informed of the nature and cause of the 
accusation and have a reasonable time to prepare a defense.
    (e) Accused is entitled to have the assistance of defense counsel.
    (f) Accused is entitled to be present at the trial.
    (g) Accused is entitled to be confronted with hostile witnesses.
    (h) Accused is entitled to have compulsory process for obtaining 
favorable witnesses.
    (i) Use of evidence against the accused obtained through 
unreasonable search or seizure or other illegal means is prohibited.
    (j) Burden of proof is on the Government in all criminal trials.
    (k) Accused is entitled to be tried by an impartial court.
    (l) Accused may not be compelled to be a witness against him or 
herself; and shall be protected from the use of a confession obtained by 
torture, threats, violence, or the exertion of any improper influence.
    (m) Accused shall not be subjected to cruel and unusual punishment.
    (n) Accused is entitled to be tried without unreasonable 
(prejudicial) delay.
    (o) Accused is entitled to a competent interpreter when the accused 
does not understand the language in which the trial is conducted and 
does not have counsel proficient in the language both of the court and 
of the accused.
    (p) Accused is entitled to a public trial.
    (q) Accused may not be subjected to consecutive trials for the same 
offense that are so vexatious as to indicate fundamental unfairness.



PART 152_REVIEW OF THE MANUAL FOR COURTS-MARTIAL--Table of Contents



Sec.
152.1 Purpose.
152.2 Applicability.
152.3 Policy.
152.4 Responsibilities.
152.5 Implementation.

Appendix A to Part 152--Guidance to the Joint Service Committee (JSC)

    Authority: E.O. 12473; 10 U.S.C. 47.

    Source: 68 FR 36916, June 20, 2003, unless otherwise noted.



Sec. 152.1  Purpose.

    This part:

[[Page 784]]

    (a) Implements the requirement established by the President in 
Executive Order 12473 that the Manual for Courts-Martial (MCM), United 
States, 1984, and subsequent editions, be reviewed annually.
    (b) Formalizes the Joint Service Committee (JSC) and defines the 
roles, responsibilities, and procedures of the JSC in reviewing and 
proposing changes to the MCM and proposing legislation to amend the 
Uniform Code of Military Justice (UCMJ) (10 U.S.C., Chapter 47).
    (c) Provides for the designation of a Secretary of a Military 
Department to serve as the Executive Agent for the JSC.



Sec. 152.2  Applicability.

    This part applies to the Office of the Secretary of Defense, the 
Military Departments (including the Coast Guard by agreement with the 
Department of Homeland Security when it is not operating as a Service of 
the Department of the Navy), the Chairman of the Joint Chiefs of Staff, 
the Combatant Commands, the Inspector General of the Department of 
Defense, the Defense Agencies, the DoD Field Activities, and all other 
organizational entities in the Department of Defense (hereafter 
collectively referred to as ``the DoD Components'').



Sec. 152.3  Policy.

    To assist the President in fulfilling his responsibilities under the 
UCMJ, and to satisfy the requirements of Executive Order 12473, the 
Department of Defense shall review the Manual for Courts-Martial 
annually, and, as appropriate, propose legislation amending the UCMJ to 
ensure that the MCM and the UCMJ fulfill their fundamental purpose as a 
comprehensive body of military criminal law and procedure. The role of 
the JSC furthers these responsibilities. Under the direction of the 
General Counsel of the Department of Defense, the JSC is responsible for 
reviewing the MCM and proposing amendments to it and, as necessary, to 
the UCMJ.



Sec. 152.4  Responsibilities.

    (a) The General Counsel to the Department of Defense shall:
    (1) Administer this part, to include coordination on and approval of 
legislative proposals to amend the UCMJ, approval of the annual review 
of the MEM, and coordination of any proposed changes to the MCM under 
OMB Circular A-19. \1\
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    \1\ Available at http://www.whitehouse.gov /omb/circulars /
index.html.
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    (2) Designate the Secretary of a Military Department to serve as the 
joint Service provider for the JSC. The joint Service provider shall act 
on behalf of the JSC for maintaining the JSC's files and historical 
records, and for publication of the updated editions of the MCM to be 
distributed throughout the Department of Defense, as appropriate.
    (3) Invite the Secretary of Homeland Security to appoint 
representatives to the JSC.
    (4) Invite the Chief Judge of the United States Court of Appeals for 
the Armed Forces to provide a staff member to serve as an advisor to the 
JSC.
    (5) Invite the Chairman of the Joint Chiefs of Staff to provide a 
staff member from the Chairman's Office of Legal Counsel to serve as an 
advisor to the JSC.
    (6) Ensure that the Associate Deputy General Counsel (Military 
Justice and Personnel Policy), Office of the General Counsel, Department 
of Defense, shall serve as the General Counsel's representative to the 
JSC in a non-voting capacity. In addition, the United States Court of 
Appeals for the Armed Forces (USCAAF) and the Legal Counsel to the 
Chairman of the Joint Chiefs of Staff shall be invited to provide a 
staff member to serve as an advisor to the JSC in a non-voting capacity.
    (b) The Secretaries of the Military Departments shall ensure that 
the Judge Advocates General of the Military Departments and the Staff 
Judge Advocate to the Commandant of the Marine Corps appoint 
representatives to the JSC.
    (c) The JSC shall further the DoD policy established in section 3 of 
this part and perform additional studies or other duties related to the 
administration of military justice, as the General Counsel of the 
Department of Defense may direct. (See DoD Directive 5105.18,

[[Page 785]]

``DoD Committee Management Program''. \2\) The membership of the JSC 
shall consist of one representative of each of the following, who shall 
comprise the JSC Voting Group:
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    \2\ Available at http://www.dtic.mil /whs/ directives.
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    (1) The Judge Advocate General of the Army.
    (2) The Judge Advocate General of the Navy.
    (3) The Judge Advocate General of the Air Force.
    (4) The Staff Judge Advocate to the Commandant of the Marine Corps; 
and
    (5) By agreement with the Department of Homeland Security, the Chief 
Counsel, United States Coast Guard.
    (d) The JSC Working Group (WG) shall assist the JSC Voting Group in 
fulfilling its responsibilities under this part. The WG consists of non-
voting representatives from each of the Services and may include the 
representatives from the USCAAF, and the Office of the Legal Counsel to 
the Chairman of the Joint Chiefs of Staff.
    (e) The JSC chairmanship rotates biennially among the Services in 
the following order: The Army, the Air Force, the Marine Corps, the 
Navy, and the Coast Guard. Due to its size and manning constraints, a 
Coast Guard's request not to be considered for JSC chairmanship shall be 
honored. The Military Service of the JSC Chairman shall provide an 
Executive Secretary for the JSC.



Sec. 152.5  Implementation.

    The foregoing policies and procedures providing guidelines for 
implementation of this part, as well as those contained in the appendix, 
are intended exclusively for the guidance of military personnel and 
civilian employees of the Department of Defense, and the United States 
Coast Guard by agreement of the Department of Homeland Security. These 
guidelines are intended to improve the internal management of the 
Federal Government and are not intended to create any right, privilege, 
or benefit, substantive of procedural, to any person or enforceable at 
law by any party against the United States, its agencies, its officers, 
or any person.



  Sec. Appendix A to Part 152--Guidance to the Joint Service Committee 
                                 (JSCA)

    (a) Review the Manual for Courts-Martial. (1) The Joint Service 
Committee (JSC) shall conduct an annual review of the Manual for Courts-
Martial (MCM), in light of judicial and legislative developments in 
military and civilian practice, to ensure:
    (i) The MCM implements the Uniform Code of Military Justice (UCMJ) 
and reflects current military practice and judicial precedent.
    (ii) The rules and procedures of the MCM are uniform insofar as 
practicable.
    (iii) The MCM applies, to the extent practicable, the principles of 
law and the rules of evidence generally recognized in the trial of 
criminal cases in United States district courts, but which are not 
contrary to or inconsistent with the UCMJ.
    (iv) The MCM is workable throughout the worldwide jurisdiction of 
the UCMJ; and,
    (v) The MCM is workable across the spectrum of circumstances in 
which courts-martial are conducted, including combat conditions.
    (2) During this review, any JSC voting member may propose for the 
Voting Group's consideration an amendment to the MCM. Proposed 
amendments to the MCM shall ordinarily be referred to the JSC Working 
Group (WG) for study. The WG assists the JSC in staffing various 
proposals, conducting studies of proposals and other military justice 
related topics at the JSC's direction, and making reports to the JSC. 
Any proposed amendment to the MCM, if approved by a majority of the JSC 
voting members, becomes a part of the annual review.
    (3) The JSC shall prepare a draft of the annual review of the MCM 
and forward it to the General Counsel of the Department of Defense, on 
or about December 31st. The General Counsel of the Department of Defense 
may submit the draft of the annual review to the Code Committee 
established by Article 146 of the UCMJ, with an invitation to submit 
comments.
    (4) The draft of the annual review shall set forth any specific 
recommendations for changes to the MCM, including, if not adequately 
addressed in the accompanying discussion or analysis, a concise 
statement of the basis and purpose of any proposed change. If no changes 
are recommended, the draft review shall so state. If the JSC recommends 
changes to the MCM, the draft review shall so state. If the JSC 
recommends changes to the MCM, the public notice procedures of paragraph 
(d)(3) of this appendix are applicable.
    (b) Changes to the Manual for Courts-Martial. (1) By January 1st of 
each year, the JSC voting members shall ensure that a solicitation for 
proposed changes to the MCM is sent

[[Page 786]]

to appropriate agencies within their respective Services that includes, 
but is not limited to, the judiciary, the trial counsel and defense 
counsel organizations, and the judge advocate general schools.
    (2) The Federal Register announcement of each year's annual review 
of proposed changes to the MCM shall also invite members of the public 
to submit any new proposals for JSC consideration during subsequent JSC 
annual reviews.
    (3) When the JSC receives proposed changes to the MCM either by 
solicitation or Federal Register notice, the JSC shall determine whether 
the proposal should be considered under paragraph (a)(2) of this 
appendix by determining if one or more of the JSC voting member(s) 
intends to sponsor the proposed change. The JSC shall determine when 
such sponsored proposals should be considered under the annual review 
process, taking into account any other proposals under consideration and 
any other reviews or studies directed by the General Counsel of the 
Department of Defense.
    (4) Changes to the MCM shall be proposed as part of the annual 
review conducted under paragraph (a) of this appendix. When earlier 
implementation is required, the JSC may send proposed changes to the 
General Counsel of the Department of Defense, for coordination under DoD 
Directive 5500.1. \3\
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    \3\ Available at http://www.dtic.mil /whs/ directives.
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    (c) Proposals to Amend the Uniform Code of Military Justice. The JSC 
may determine that the efficient administration of military justice 
within the Armed Services requires amendments to the UCMJ, or that a 
desired amendment to the MCM makes necessary an amendment to the UCMJ. 
In such cases, the JSC shall forward to the General Counsel of the 
Department of Defense, a legislative proposal to change the UCMJ. The 
General Counsel of the Department of Defense may direct that the JSC 
forward any such legislative proposal to the Code Committee for its 
consideration under Article 146, UCMJ.
    (d) Public Notice and Meeting. (1) Proposals to amend the UCMJ are 
not governed by the procedures set out in this paragraph. (See DoD 
Directive 5105. 18. This paragraph applies only to the JSC 
recommendations to amend the MCM.)
    (2) It is DoD policy to encourage public participation in the JSC's 
review of the MCM. Notice that the Department of Defense, through the 
JSC, intends to propose changes to the MCM normally shall be published 
in the Federal Register before submission of such changes to the 
President. This notice is not required when the Secretary of Defense in 
his sole and unreviewable discretion proposes that the President issue 
the change without such notice on the basis that public notice 
procedures, as set forth in this part, are unnecessary or contrary to 
the sound administration of military justice, or a MCM change 
corresponding to legislation is expeditiously required to keep the MCM 
current and consistent with changes in applicable law.
    (3) The Office of General Counsel of the Department of Defense shall 
facilitate publishing the Federal Register notice required under this 
paragraph.
    (4) The notice under this paragraph shall consist of the publication 
of the full text of the proposed changes, including discussion and 
analysis, unless the General Counsel of the Department of Defense 
determines that such publication in full would unduly burden the Federal 
Register, the time and place where a copy of the proposed change may be 
examined, and the procedure for obtaining access to or a copy of the 
proposed change.
    (5) A period of not fewer than 60 days after publication of notice 
normally shall be allowed for public comment, but a shorter period may 
be authorized when the General Counsel of the Department of Defense 
determines that a 60-day period is unnecessary or is contrary to the 
sound administration of military justice. The Federal Register notice 
shall normally indicate that public comments shall be submitted to the 
Executive Secretary of the JSC.
    (6) The JSC shall provide notice in the Federal Register and hold a 
public meeting during the public comments period, where interested 
persons shall be given a reasonable opportunity to submit views on any 
of the proposed changes contained in the annual review. Public proposals 
and comments to the JSC should include a reference to the specific 
provision to be changed, a rational for the proposed change, and 
specific and detailed proposed language to replace the current language. 
Incomplete submissions might be insufficient to receive the 
consideration desired. The JSC shall seek to consider all views 
presented at the public meeting as well as any written comments 
submitted during the 60-day period when determining the final form of 
any proposed amendments to the MCM.
    (E) Internal Rules and Record-Keeping. (1) In furthering DoD policy, 
studying issues, or performing other duties relating to the 
administration of military justice, the JSC may establish internal rules 
governing its operation.
    (2) The JSC shall create a file system and maintain appropriate JSC 
records.

[[Page 787]]



   PART 153_CRIMINAL JURISDICTION OVER CIVILIANS EMPLOYED BY OR 
   ACCOMPANYING THE ARMED FORCES OUTSIDE THE UNITED STATES, CERTAIN
   SERVICE MEMBERS, AND FORMER SERVICE MEMBERS--Table of Contents



Sec.
153.1 Purpose.
153.2 Applicability and scope.
153.3 Definitions.
153.4 Responsibilities.
153.5 Procedures.

Appendix A to Part 153--Guidelines
Appendix B to Part 153--Acknowledgement of Limited Legal Representation 
          (Sample)

    Authority: 10 U.S.C. 301.

    Source: 71 FR 8947, Feb. 22, 2006, unless otherwise noted.



Sec. 153.1  Purpose.

    This part:
    (a) Implements policies and procedures, and assigns responsibilities 
under the Military Extraterritorial Jurisdiction Act of 2000, as amended 
by section 1088 of the ``Ronald W. Reagan National Defense Authorization 
Act for Fiscal Year 2005,'' October 28, 2004 (hereinafter referred to as 
``the Act'') for exercising extraterritorial criminal jurisdiction over 
certain military personnel, former service members of the United States 
Armed Forces, and over civilians employed by or accompanying the Armed 
Forces outside the United States (U.S.).
    (b) Implements section 3266 of the Act.



Sec. 153.2  Applicability and scope.

    (a) This part applies to the Office of the Secretary of Defense, the 
Military Departments (including the Coast Guard by agreement with the 
Department of Homeland Security when it is not operating as a Service of 
the Department of the Navy), the Chairman of the Joint Chiefs of Staff, 
the Combatant Commands, the Inspector General of the Department of 
Defense, the Defense Agencies, the DoD Field Activities, and all other 
organizational entities within the Department of Defense (hereafter 
referred to collectively as ``the DoD Components''). The term ``Military 
Services,'' as used herein, refers to the Army, the Navy, the Air Force, 
and the Marine Corps.
    (b) Coast Guard. The Coast Guard ordinarily operates as a separate 
branch of the Armed Forces in the Department of Homeland Security (DHS). 
However, upon Presidential Directive, the Coast Guard operates as a 
Service within the Department of the Navy and becomes part of the 
Department of Defense. By agreement with the Secretary of the Department 
of Homeland Security, when the Coast Guard is operating as a separate 
Service within the DHS, this part shall apply to the Coast Guard to the 
extent permitted by the Act. Whether a provision of this Instruction 
applies to a Coast Guard case is determined by whether the Coast Guard 
is operating as a Service in the DHS or as a Service within the 
Department of the Navy.
    (c) While some Federal criminal statutes are expressly or implicitly 
extraterritorial, many acts described therein are criminal only if they 
are committed within ``the special maritime and territorial jurisdiction 
of the United States'' or if they affect interstate or foreign commerce. 
Therefore, in most instances, Federal criminal jurisdiction ends at the 
nation's borders. State criminal jurisdiction, likewise, normally ends 
at the boundaries of each State. Because of these limitations, acts 
committed by military personnel, former service members, and civilians 
employed by or accompanying the Armed Forces in foreign countries, which 
would be crimes if committed in the U.S., often do not violate either 
Federal or State criminal law. Similarly, civilians are generally not 
subject to prosecution under the Uniform Code of Military Justice 
(UCMJ), unless Congress had declared a ``time of war'' when the acts 
were committed. As a result, these acts are crimes, and therefore 
criminally punishable, only under the law of the foreign country in 
which they occurred. See section 2 of Report Accompanying the Act 
(Report to Accompany H.R. 3380, House of Representatives Report 106-778, 
July 20, 2000 hereafter referred to as ``the Report Accompanying the 
Act''). While the U.S. could impose administrative discipline for such 
actions, the Act and

[[Page 788]]

this part are intended to address the jurisdictional gap with respect to 
criminal sanctions.
    (d) Nothing in this part may be construed to deprive a court-
martial, military commission, provost court, or other military tribunal 
of concurrent jurisdiction with respect to offenders or offenses that by 
statute or the law of war may be tried by court-martial, military 
commission, provost court, or other military tribunal (Section 3261(c) 
of title 18). In some cases, conduct that violates section 3261(a) of 
the Act may also violate the UCMJ, or the law of war generally. 
Therefore, for military personnel, military authorities would have 
concurrent jurisdiction with a U.S. District Court to try the offense. 
The Act was not intended to divest the military of jurisdiction and 
recognizes the predominant interest of the military in disciplining its 
service members, while still allowing for the prosecution of members of 
the Armed Forces with non-military co-defendants in a U.S. District 
Court under section 3261(d) of the Act.
    (e) This part, including its enclosures, is intended exclusively for 
the guidance of military personnel and civilian employees of the 
Department of Defense, and of the United States Coast Guard by agreement 
with the Department of Homeland Security. Nothing contained herein 
creates or extends any right, privilege, or benefit to any person or 
entity. See United States v. Caceres, 440 U.S. 741 (1979).



Sec. 153.3  Definitions.

    Accompanying the Armed Forces Outside the United States. As defined 
in section 3267 of the Act, the dependent of:
    (1) A member of the Armed Forces; or
    (2) A civilian employee of the Department of Defense (including a 
non-appropriated fund instrumentality of the Department); or
    (3) A DoD contractor (including a subcontractor at any tier); or
    (4) An employee of a DoD contractor (including a subcontractor at 
any tier); and
    (5) Residing with such member, civilian employee, contractor, or 
contractor employee outside the United States; and
    (6) Not a national of or ordinarily resident in the host nation.
    Active Duty. Full-time duty in the active military service of the 
United States. It includes full-time training duty, annual training 
duty, and attendance, while in the active military service, at a school 
designated as a service school by law or by the Secretary of the 
Military Department concerned. See section 101(d)(1) of title 10, United 
States Code.
    Armed Forces. The Army, the Navy, the Air Force, the Marine Corps, 
and the Coast Guard. See section 101(a)(4) of title 10, United States 
Code.
    Arrest. To be taken into physical custody by law enforcement 
officials.
    Charged. As used in the Act and this part, this term is defined as 
an indictment or the filing of information against a person under the 
Federal Rules of Criminal Procedure. See the analysis to Section 3264 of 
the Report Accompanying the Act.
    Civilian Component. A person or persons employed by the Armed Forces 
outside the United States, as defined in this section and section 
3267(a)(1), as amended, of the Act. A term used in Status of Forces 
Agreements.
    Dependent. A person for whom a member of the Armed Forces, civilian 
employee, contractor (or subcontractor at any tier) has legal 
responsibility while that person is residing outside the United States 
with or accompanying that member of the Armed Forces, civilian employee, 
contractor (or subcontractor at any tier), and while that responsible 
person is so assigned, employed or obligated to perform a contractual 
obligation to the Department of Defense. For purposes of this part, a 
person's ``command sponsorship'' status while outside the United States 
is not to be considered in determining whether the person is a dependent 
within the meaning of this part, except that there shall be a rebuttable 
presumption that a command-sponsored individual is a dependent.
    Designated Commanding Officer (DCO). A single military commander in 
each foreign country where U.S. Forces are stationed and as contemplated 
by DoD Directive 5525.1, Status of Forces Policy and Information.

[[Page 789]]

    Detention. To be taken into custody by law enforcement officials and 
placed under physical restraint.
    District. A District Court of the United States.
    Employed by the Armed Forces Outside the United States. Any person 
employed as:
    (1) A civilian employee of the Department of Defense (including a 
non-appropriated fund instrumentality of the Department); or
    (2) A civilian employee of any other Federal agency, or any 
provisional authority, to the extent such employment relates to 
supporting the mission of the Department of Defense overseas; or
    (3) A contractor (including a subcontractor at any tier) of the 
Department of Defense (including a non-appropriated fund instrumentality 
of the Department of Defense); or
    (4) A contractor (including a subcontractor at any tier) of any 
other Federal agency, or any provisional authority, to the extent such 
employment relates to supporting the mission of the Department of 
Defense overseas; or
    (5) An employee of a contractor (including a subcontractor at any 
tier) of the Department of Defense (including a non-appropriated fund 
instrumentality of the Department of Defense); or
    (6) An employee of a contractor (including a subcontractor at any 
tier) of any other Federal agency, or any provisional authority, to the 
extent such employment relates to supporting the mission of the 
Department of Defense overseas; and, when the person:
    (i) Is present or resides outside the United States in connection 
with such employment; and
    (ii) Is not a national of or ordinarily resident in the host nation.
    Federal Magistrate Judge. As used in the Act and this part, this 
term includes both Judges of the United States and U.S. Magistrate 
Judges, titles that, in general, should be given their respective 
meanings found in the Federal Rules of Criminal Procedure. (See footnote 
32 of the Report Accompanying the Act) The term does not include 
Military Magistrates or Military Judges, as prescribed by the UCMJ, or 
regulations of the Military Departments or the Department of Defense.
    Felony Offense. Conduct that is an offense punishable by 
imprisonment for more than one year if the conduct had been engaged in 
the special maritime and territorial jurisdiction of the United States. 
See sections 3261 of the Act and 18 U.S.C. 7. Although the Act, uses the 
conditional phrase ``if committed within the special maritime and 
territorial jurisdiction of the United States,'' acts that would be a 
Federal crime regardless of where they are committed in the U.S., such 
as drug crimes contained in chapter 13 of title 21, United States Code, 
also fall within the scope of section 3261(a) of the Act. See the 
analysis to section 3261 of the Report Accompanying the Act.
    Host Country National. A person who is not a citizen of the United 
States, but who is a citizen of the foreign country in which that person 
is located.
    Inactive Duty Training. Duty prescribed for Reservists by the 
Secretary of the Military Department concerned under section 206 of 
title 37, United States Code, or any other provision of law; and special 
additional duties authorized for Reservists by an authority designated 
by the Secretary of the Military Department concerned and performed by 
them on a voluntary basis in connection with the prescribed training or 
maintenance activities of the units to which they are assigned. Inactive 
Duty Training includes those duties performed by Reservists in their 
status as members of the National Guard while in Federal service. See 
section 101(d)(7) of title 10, United States Code.
    Juvenile. A person who has not attained his or her eighteenth 
birthday, as defined in section 5031 of title 18, United States Code.
    Military Department. The Department of the Army, the Department of 
the Navy, and the Department of the Air Force. See section 101(a)(8) of 
title 10, United States Code.
    National of the United States. As defined in section 1101(a)(22), of 
title 8, United States Code.
    Outside the United States. Those places that are not within the 
definition of ``United States'' below and, with the exception of 
subparagraph

[[Page 790]]

7(9), those geographical areas and locations that are not within the 
special maritime and territorial jurisdiction of the United States, as 
defined in sections 7 of title 18, United States Code. The locations 
defined in subparagraph 7(9) of title 18, United States Code are to be 
considered ``Outside the United States'' for the purposes of this part. 
See 3261-3267 of title 18, United States Code.
    Qualified Military Counsel. Judge advocates assigned to or employed 
by the Military Services and designated by the respective Judge Advocate 
General, or a designee, to be professionally qualified and trained to 
perform defense counsel responsibilities under the Act.
    Staff Judge Advocate. A judge advocate so designated in the Army, 
the Air Force, the Marine Corps, or the Coast Guard; the principal legal 
advisor of a command in the Navy who is a judge advocate, regardless of 
job title. See Rule for Courts-Martial 103(17), Manual for Courts-
Martial, United States (2002 Edition).
    Third Country National. A person whose citizenship is that of a 
country other than the U.S. and the foreign country in which the person 
is located.
    United States. As defined in section 5 of title 18, United States 
Code, this term, as used in a territorial sense, includes all places and 
waters, continental or insular, subject to the jurisdiction of the 
United States, except for the Panama Canal Zone.



Sec. 153.4  Responsibilities.

    (a) The General Counsel of the Department of Defense shall provide 
initial coordination and liaison with the Departments of Justice and 
State, on behalf of the Military Departments, regarding a case for which 
investigation and/or Federal criminal prosecution under the Act is 
contemplated. This responsibility may be delegated entirely, or 
delegated for categories of cases, or delegated for individual cases. 
The General Counsel, or designee, shall advise the Domestic Security 
Section of the Criminal Division, Department of Justice (DSS/DOJ), as 
soon as practicable, when DoD officials intend to recommend that the DOJ 
consider the prosecution of a person subject to the Act for offenses 
committed outside the United States. The Assistant Attorney General, 
Criminal Division, Department of Justice, has designated the Domestic 
Security Section (DSS/DOJ) as the Section responsible for the Act.
    (b) The Inspector General of the Department of Defense shall:
    (1) Pursuant to Section 4(d) of the Inspector General Act of 1978, 
as amended (5 U.S.C. App. 3), ``report expeditiously to the Attorney 
General whenever the Inspector General has reasonable grounds to believe 
there has been a violation of Federal criminal law.'' This statutory 
responsibility is generally satisfied once an official/special agent of 
the Office of the Inspector General of the Department of Defense 
notifies either the cognizant Department of Justice representative or 
the Assistant Attorney General (Criminal Division) of the ``reasonable 
grounds.''
    (2) Pursuant to Section 8(c)(5) of the Inspector General Act of 
1978, as amended (5 U.S.C. App. 3), and 10 U.S.C. 141(b), ensure the 
responsibilities described in DoD Directive 5525.7, ``Implementation of 
the Memorandum of Understanding Between the Department of Justice and 
the Department of Defense Relating to the Investigation and Prosecution 
of Certain Crimes,'' January 22, 1985, \1\ to ``implement the 
investigative policies [,m]onitor compliance by DoD criminal 
investigative organizations [, and p]rovide specific guidance regarding 
investigative matters, as appropriate'' are satisfied relative to 
violations of the Military Extraterritorial Jurisdiction Act of 2000.
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directives.
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    (c) The Heads of Military Law Enforcement Organizations and Military 
Criminal Investigative Organizations, or their Designees, shall:
    (1) Advise the Commander and Staff Judge Advocate (or Legal Advisor) 
of the Combatant Command concerned, or designees, of an investigation of 
an alleged violation of the Act. Such notice shall be provided as soon 
as practicable. In turn, the General Counsel of the Department of 
Defense, or designee, shall be advised so as to ensure notification of 
and consultation with

[[Page 791]]

the Departments of Justice and State regarding information about the 
potential case, including the host nation's position regarding the case. 
At the discretion of the General Counsel of the Department of Defense, 
other agencies and organizations (such as the Legal Counsel to the 
Chairman of the Joint Chiefs of Staff and Secretary of the Military 
Department that sponsored the person into the foreign country) shall be 
informed, as appropriate. Effective investigations lead to successful 
prosecutions and, therefore, these cases warrant close coordination and 
cooperation between the Departments of Defense, Justice, and State.
    (2) Provide briefings to, and coordinate with, appropriate local law 
enforcement authorities in advance or, if not possible, as soon 
thereafter as is practicable, of investigations or arrests in specific 
cases brought under the Act. If not previously provided to local law 
enforcement authorities, such briefings about the case shall, at a 
minimum, describe the Host Nation's position regarding the exercise of 
jurisdiction under the Act that followed from any briefings conducted 
pursuant to appendix A of this part.
    (d) The Domestic Security Section, Criminal Division, Department of 
Justice (DSS/DOJ) has agreed to:
    (1) Provide preliminary liaison with the Department of Defense, 
coordinate initial notifications with other entities of the Department 
of Justice and Federal law enforcement organizations; make preliminary 
decisions regarding proper venue; designate the appropriate U.S. 
Attorney's Office; and coordinate the further assignment of DOJ 
responsibilities.
    (2) Coordinate with the designated U.S. Attorney's office 
arrangements for a Federal Magistrate Judge to preside over the initial 
proceedings required by the Act. Although the assignment of a particular 
Federal Magistrate Judge shall ordinarily be governed by the 
jurisdiction where a prosecution is likely to occur, such an assignment 
does not determine the ultimate venue of any prosecution that may be 
undertaken. Appropriate venue is determined in accordance with the 
requirements of section 3238 of title 18, United States Code.
    (3) Coordinate the assistance to be provided the Department of 
Defense with the U.S. Attorney's office in the district where venue for 
the case shall presumptively lie.
    (4) Continue to serve as the primary point of contact for DoD 
personnel regarding all investigations that may lead to criminal 
prosecutions and all associated pretrial matters, until such time as 
DSS/DOJ advises that the case has become the responsibility of a 
specific U.S. Attorney's Office.
    (e) The Commanders of the Combatant Commands shall:
    (1) Assist the DSS/DOJ on specific cases occurring within the 
Commander's area of responsibility. These responsibilities include 
providing available information and other support essential to an 
appropriate and successful prosecution under the Act with the assistance 
of the Commanders' respective Staff Judge Advocates (or Legal Advisors), 
or their designees, to the maximum extent allowed and practicable.
    (2) Ensure command representatives are made available, as necessary, 
to participate in briefings of appropriate host nation authorities 
concerning the operation of this Act and the implementing provisions of 
this part.
    (3) Determine when military necessity in the overseas theater 
requires a waiver of the limitations on removal in section 3264(a) of 
the Act and when the person arrested or charged with a violation of the 
Act shall be moved to the nearest U.S. military installation outside the 
United States that is adequate to detain the person and facilitate the 
initial proceedings prescribed in section 3265(a) of the Act and this 
part. Among the factors to be considered are the nature and scope of 
military operations in the area, the nature of any hostilities or 
presence of hostile forces, and the limitations of logistical support, 
available resources, appropriate personnel, or the communications 
infrastructure necessary to comply with the requirements of section 3265 
of the Act governing initial proceedings.
    (4) Annually report to the General Counsel of the Department of 
Defense, by the last day of February for the immediately preceding 
calendar year, all cases involving the arrest of persons

[[Page 792]]

for violations of the Act; persons placed in temporary detention for 
violations of the Act; the number of requests for Federal prosecution 
under the Act, and the decisions made regarding such requests.
    (5) Determine the suitability of the locations and conditions for 
the temporary detention of juveniles who commit violations of the Act 
within the Commander's area of responsibility. The conditions of such 
detention must, at a minimum, meet the following requirements: Juveniles 
alleged to be delinquent shall not be detained or confined in any 
institution or facility in which the juvenile has regular contact with 
adult persons convicted of a crime or awaiting trial on criminal 
charges; insofar as possible, alleged juvenile delinquents shall be kept 
separate from adjudicated delinquents; and every juvenile in custody 
shall be provided adequate food, heat, light, sanitary facilities, 
bedding, clothing, recreation, and medical care, including necessary 
psychiatric, psychological, or other care and treatment.
    (6) As appropriate, promulgate regulations consistent with and 
implementing this part. The Combatant Commander's duties and 
responsibilities pursuant to this part may be delegated.
    (f) The Secretaries of the Military Departments shall:
    (1) Consistent with the provisions of paragraph (c) of this section, 
make provision for defense counsel representation at initial proceedings 
conducted outside the United States pursuant to the Act for those 
persons arrested or charged with violations of section 3261(a) of the 
Act.
    (2) Issue regulations establishing procedures that, to the maximum 
extent practicable, provide notice to all persons covered by the Act who 
are not nationals of the United States but who are employed by or 
accompanying the Armed Forces outside the United States, with the 
exception of individuals who are nationals of or ordinarily resident in 
the host nation, that they are potentially subject to the criminal 
jurisdiction of the United States under the Act. At a minimum, such 
regulations shall require that employees and persons accompanying the 
Armed Forces outside the United States, who are not nationals of the 
United States, be informed of the jurisdiction of the Act at the time 
that they are hired for overseas employment, or upon sponsorship into 
the overseas command, whichever event is earlier applicable. Such notice 
shall also be provided during employee training and any initial 
briefings required for these persons when they first arrive in the 
foreign country. For employees and persons accompanying the Armed Forces 
outside the United States who are not nationals of the United States, 
but who have already been hired or are present in the overseas command 
at the time this part becomes effective, such notice shall be provided 
within 60 days of the effective date of this part.
    (3) Ensure orientation training, as described in paragraph (f)(2) of 
this section, is also provided for all U.S. nationals who are, or who 
are scheduled to be, employed by or accompanying the Armed Forces 
outside the United States, including their dependents, and include 
information that such persons are potentially subject to the criminal 
jurisdiction of the United States under the Act.
    (i) For members of the Armed Forces, civilian employees of the 
Department of Defense and civilians accompanying the Armed Forces 
overseas, notice and briefings on the applicability of the Act shall, at 
a minimum, be provided to them and their dependents when travel orders 
are issued and, again, upon their arrival at command military 
installations or place of duty outside the United States.
    (ii) For civilian employees, contractors (including subcontractors 
at any tier), and employees of contractors (including subcontractors at 
any tier) of any other Federal agency, or any provisional authority, 
permit such persons to attend the above-referenced briefings on a 
voluntary basis. In addition, to the maximum extent practicable, make 
available to representatives of such other Federal agencies or 
provisional authorities such notice and briefing materials as is 
provided to civilian employees, contractors, and contractor employees of 
the Department of Defense overseas.

[[Page 793]]

    (4) Failure to provide notice or orientation training pursuant to 
paragraphs (f)(2) and (f)(3) of this section shall not create any rights 
or privileges in the persons referenced and shall not operate to defeat 
the jurisdiction of a court of the United States or provide a defense or 
other remedy in any proceeding arising under the Act or this part.
    (5) Provide training to personnel who are authorized under the Act 
and designated pursuant to this part to make arrests outside the United 
States of persons who allegedly committed a violation of section 3261(a) 
of the Act. The training, at a minimum, shall include the rights of 
individuals subject to arrest.



Sec. 153.5  Procedures.

    (a) Applicability--(1) Offenses and Punishments. Section 3261(a) of 
the Act establishes a separate Federal offense under 18 U.S.C. for an 
act committed outside the United States that would be a felony crime as 
if such act had been committed within the special maritime and 
territorial jurisdiction of the United States, as defined in section 7 
of 18 U.S.C. Charged as a violation of section 3261(a) of the Act, the 
elements of the offense and maximum punishment are the same as the crime 
committed within the geographical limits of section 7 of 18 U.S.C., but 
without the requirement that the conduct be committed within such 
geographical limits. See section 1 of the Section-By-Section Analysis 
and Discussion to section 3261 in the Report Accompanying the Act.
    (2) Persons subject to this part. This part applies to certain 
military personnel, former military service members, and persons 
employed by or accompanying the Armed Forces outside the United States, 
and their dependents, as those terms are defined in section 153.3 of 
this part, alleged to have committed an offense under the Act while 
outside the United States. For purposes of the Act and this part, 
persons employed by or accompanying the Armed Forces outside the U.S. 
are subject to the ``military law'' of the U.S., but only to the extent 
to which this term has been used and its meaning and scope have been 
understood within the context of a SOFA or any other similar form of 
international agreement.
    (3) Military Service Members. Military service members subject to 
the Act's jurisdiction are:
    (i) Only those active duty service members who, by Federal 
indictment or information, are charged with committing an offense with 
one or more defendants, at least one of whom is not subject to the UCMJ. 
See section 3261(d)(2) of the Act.
    (ii) Members of a Reserve component with respect to an offense 
committed while the member was not on active duty or inactive duty for 
training (in the case of members of the Army National Guard of the 
United States or the Air National Guard of the United States, only when 
in Federal service), are not subject to UCMJ jurisdiction for that 
offense and, as such, are amenable to the Act's jurisdiction without 
regard to the limitation of section 3261(d)(2) of the Act.
    (4) Former Military Service Members. Former military service members 
subject to the Act's jurisdiction are:
    (i) Former service members who were subject to the UCMJ at the time 
the alleged offenses were committed, but are no longer subject to the 
UCMJ with respect to the offense due to their release or separation from 
active duty.
    (ii) Former service members, having been released or separated from 
active duty, who thereafter allegedly commit an offense while in another 
qualifying status, such as while a civilian employed by or accompanying 
the Armed Forces outside the United States, or while the dependent of 
either or of a person subject to the UCMJ.
    (5) Civilians Employed by the Armed Forces. Civilian employees 
employed by the U.S. Armed Forces outside the United States (as defined 
in section 153.3), who commit an offense under the Act while present or 
residing outside the U.S. in connection with such employment, are 
subject to the Act and the provisions of this part. Such civilian 
employees include:
    (i) Persons employed by the Department of Defense (including a non-
appropriated fund instrumentality of the Department of Defense).

[[Page 794]]

    (ii) Persons employed as a DoD contractor (including a subcontractor 
at any tier).
    (iii) Employees of a DoD contractor (including a subcontractor at 
any tier).
    (iv) Civilian employees, contractors (including subcontractors at 
any tier), and civilian employees of a contractor (or subcontractor at 
any tier) of any other Federal agency, or any provisional authority, to 
the extent such employment relates to supporting the mission of the 
Department of Defense overseas.
    (6) Civilians Accompanying the Armed Forces. Subject to the 
requirements of paragraph (a)(6)(ii) of this section, the following 
persons are civilians accompanying the Armed Forces outside the United 
States who are covered by the Act and the provisions of this part:
    (i) Dependents of:
    (A) An active duty service member.
    (B) A member of the reserve component while the member was on active 
duty or inactive duty for training, but in the case of members of the 
Army National Guard of the United States or the Air National Guard of 
the United States, only when in Federal service.
    (C) A former service member who is employed by or is accompanying 
the Armed Forces outside the United States.
    (D) A civilian employee of the Department of Defense (including non-
appropriated fund instrumentalities of the Department of Defense).
    (E) A contractor (including a subcontractor at any tier) of the 
Department of Defense.
    (F) An employee of a contractor (including a subcontractor at any 
tier) of the Department of Defense.
    (ii) In addition to the person being the dependent of a person who 
is listed in paragraph (a)(6)(i) of this section, jurisdiction under the 
Act requires that the dependent also:
    (A) Reside with one of the persons listed in paragraph (a)(6)(i) of 
this section.
    (B) Allegedly commit the offense while outside the United States; 
and
    (C) Not be a national of, or ordinarily resident in, the host nation 
where the offense is committed.
    (iii) Command sponsorship of the dependent is not required for the 
Act and this part to apply.
    (iv) If the dependent is a juvenile, as defined in section 153.3, 
who engaged in conduct that is subject to prosecution under section 
3261(a) of the Act, then the provisions of chapter 403 of title 18, 
United States Code would apply to U.S. District Court prosecutions.
    (7) Persons NOT Subject to the Act or the Procedures of this part. 
(i) Persons who are the nationals of, or ordinarily resident in, the 
host nation where the offense is committed, regardless of their 
employment or dependent status.
    (ii) Persons, including citizens of the United States, whose 
presence outside the United States at the time the offense is committed, 
is not then as a member of the Armed Forces, a civilian employed by the 
Armed Forces outside the United States, or accompanying the Armed Forces 
outside the United States.
    (A) Persons (including members of a Reserve component) whose 
presence outside the United States at the time the offense is committed, 
is solely that of a tourist, a student, or a civilian employee or 
civilian accompanying any other non-federal agency, organization, 
business, or entity (and thereby can not be said to be employed by or 
accompanying the Armed Forces within the definitions of those terms as 
established by the Act, as modified) are not subject to the Act. 
Civilian employees of an agency, organization, business, or entity 
accompanying the Armed Forces outside the U.S. may, by virtue of the 
agency, organization, business, or entity relationship with the Armed 
Forces, be subject to the Act and this part.
    (B) Persons who are subject to the Act and this part remain so while 
present, on official business or otherwise (e.g., performing temporary 
duty or while in leave status), in a foreign country other than the 
foreign country to which the person is regularly assigned, employed, or 
accompanying the Armed Forces outside the United States.
    (iii) Persons who have recognized dual citizenship with the United 
States and who are the nationals of, or ordinarily resident in, the host 
nation where the alleged conduct took place

[[Page 795]]

are not persons ``accompanying the Armed Forces outside the United 
States'' within the meaning of the Act and this part.
    (iv) Juveniles whose ages are below the minimum ages authorized for 
the prosecution of juveniles in U.S. District Court under the provisions 
of chapter 403 of title 18, United States Code.
    (v) Persons subject to the UCMJ (See sections 802 and 803 of title 
10, United States Code) are not subject to prosecution under the Act 
unless, pursuant to section 3261(d) of the Act, the member ceases to be 
subject to the UCMJ or an indictment or information charges that the 
member committed the offense with one or more other defendants, at least 
one of whom is not subject to the UCMJ. A member of a Reserve component 
who is subject to the UCMJ at the time the UCMJ offense was committed is 
not relieved from amenability to UCMJ jurisdiction for that offense. 
Such reserve component members are not subject to the Act unless section 
3261(d)(2) of the Act applies. Retired members of a regular component 
who are entitled to pay remain subject to the UCMJ after retiring from 
active duty. Such retired members are not subject to prosecution under 
the Act unless section 3261(d)(2) of the Act applies.
    (vi) Whether Coast Guard members and civilians employed by or 
accompanying the Coast Guard outside the United States, and their 
dependents, are subject to the Act and this part depends on whether at 
the time of the offense the Coast Guard was operating as a separate 
Service in the Department of Homeland Security or as a Service in the 
Department of the Navy.
    (8) Persons Having a Tenuous Nexus to the United States. Third 
Country Nationals who are not ordinarily resident in the host nation, 
and who meet the definition of ``a person accompanying the Armed Forces 
outside the United States,'' may have a nexus to the United States that 
is so tenuous that it places into question whether the Act's 
jurisdiction should be applied and whether such persons should be 
subject to arrest, detention, and prosecution by U.S. authorities. 
Depending on the facts and circumstances involved, and the relationship 
or connection of the foreign national with the U.S. Armed Forces, it may 
be advisable to consult first with the DSS/DOJ before taking action with 
a view toward prosecution. In addition, to facilitate consultation with 
the government of the nation of which the Third Country National is a 
citizen, the State Department should be notified of any potential 
investigation or arrest of a Third Country National.
    (b) Investigation, Arrest, Detention, And Delivery Of Persons To 
Host Nation Authorities--(1) Investigation. (i) Investigations of 
conduct reasonably believed to constitute a violation of the Act 
committed outside the United States must respect the sovereignty of the 
foreign nation in which the investigation is conducted. Such 
investigations shall be conducted in accordance with recognized 
practices with host nation authorities and applicable international law, 
SOFA and other international agreements. After general coordination with 
appropriate host nation authorities, as referenced in Appendix A of this 
part, specific investigations shall, to the extent practicable, be 
coordinated with appropriate local law enforcement authorities, unless 
not required by agreement with host nation authorities.
    (ii) When a Military Criminal Investigative Organization is the lead 
investigative organization, the criminal investigator, in order to 
assist DSS/DOJ and the designated U.S. Attorney representative in making 
a preliminary determination of whether the case warrants prosecution 
under the Act, shall provide a copy of the Investigative Report, or a 
summary thereof, to the Office of the Staff Judge Advocate of the 
Designated Commanding Officer (DCO) at the location where the offense 
was committed for review and transmittal, through the Combatant 
Commander, to the DSS/DOJ and the designated U.S. Attorney 
representative. The Office of the Staff Judge Advocate shall also 
furnish the DSS/DOJ and the designated U.S. Attorney representative an 
affidavit or declaration from the criminal investigator or other 
appropriate law enforcement official that sets forth the probable cause 
basis for believing that a violation of the Act

[[Page 796]]

has occurred and that the person identified in the affidavit or 
declaration has committed the violation.
    (iii) When the Defense Criminal Investigative Service (DCIS) is the 
lead investigative organization, the criminal investigator, in order to 
assist the DSS/DOJ and the designated U.S. Attorney representative in 
making a preliminary determination of whether the case warrants 
prosecution under the Act, shall provide a copy of the Investigative 
Report, or a summary thereof, to the DSS/DOJ and the designated U.S. 
Attorney representative. The criminal investigator shall also furnish 
the DSS/DOJ and the designated U.S. Attorney representative, an 
affidavit or declaration that sets forth the probable cause basis for 
believing that a violation of the Act has occurred and that the person 
identified in the affidavit or declaration has committed the violation. 
Within the parameters of 10 U.S.C. Chapter 47, the Inspector General may 
also notify the General Counsel of the Department of Defense and the 
DCO's Office of the Staff Judge Advocate at the location where the 
offense was committed, as appropriate.
    (2) Residence Information. To the extent that it can be determined 
from an individual's personnel records, travel orders into the overseas 
theater, passport, or other records, or by questioning upon arrest or 
detention, as part of the routine ``booking'' information obtained, an 
individual's last known residence in the United States shall be 
determined and forwarded promptly to the DSS/DOJ and the designated U.S. 
Attorney representative. See Pennsylvania v. Muniz, 496 U.S. 582, at 601 
(1990) and United States v. D'Anjou, 16 F. 3d 604 (4th Cir. 1993). The 
information is necessary to assist in determining what law enforcement 
authorities and providers of pretrial services, including those who 
issue probation reports, shall ultimately have responsibility for any 
case that may develop. Determination of the individual's ``last known 
address'' in the United States is also important in determining what 
Federal district would be responsible for any possible future criminal 
proceedings.
    (i) Due to the venue provisions of section 3238 of 18 U.S.C. Chapter 
212, Sections 3261-3267, the DSS/DOJ and the designated U.S. Attorney 
representative shall be consulted prior to removal of persons arrested 
or charged with a violation of the Act by U.S. law enforcement 
officials. The venue for Federal criminal jurisdiction over offenses 
committed on the high seas or elsewhere beyond the jurisdiction of a 
particular State or District (as would be required under the Act), is in 
the Federal district in which the offender is arrested or first brought. 
However, if the individual is not so arrested in or brought into any 
Federal district in the United States (i.e., is to be indicted, or 
information obtained, prior to the individual's return to the United 
States), then an indictment or information may be sought in the district 
of the person's last known residence. If no such residence is known, the 
indictment or information may be filed in the District of Columbia.
    (ii) ``First brought'' connotes the location within the U.S. to 
which the person is returned in a custodial status.
    (iii) ``Last known residence'' refers to that U.S. location where 
the person lived or resided. It is not necessarily the same as the 
person's legal domicile or home of record.
    (iv) Prompt transmittal of venue information to the DSS/DOJ and the 
designated U.S. Attorney representative in the United States may prove 
helpful in determining whether a particular case may be prosecuted, and 
may ultimately be a pivotal factor in determining whether the host 
nation or the U.S. shall exercise its jurisdiction over the matter.
    (v) The Investigative Report, and any affidavit or declaration, as 
well as all other documents associated with a case shall be transmitted 
promptly by the command Staff Judge Advocate to the DSS/DOJ and the 
designated U.S. Attorney representative. This may be accomplished 
through the use of facsimile or other means of electronic communication.
    (3) Notice of Complaint or Indictment. Upon receipt of information 
from command authorities or Defense Criminal Investigation Organizations 
(the Defense Criminal Investigation Service, the Army's Criminal 
Investigation

[[Page 797]]

Command, the Naval Criminal Investigative Service, and the Air Force 
Office of Special Investigations) that a person subject to jurisdiction 
under this Act has violated section 3261(a), the U.S. Attorney for the 
District in which there would be venue for a prosecution may, if 
satisfied that probable cause exists to believe that a crime has been 
committed and that the person identified has committed this crime, file 
a complaint under Federal Rule of Criminal Procedure 3. As an 
alternative, the U.S. Attorney may seek the indictment of the person 
identified. In either case, a copy of the complaint or indictment shall 
be provided to the Office of the Staff Judge Advocate of the overseas 
command that reported the offense. The DSS/DOJ and the designated U.S. 
Attorney representative will ordinarily be the source from which the 
command's Staff Judge Advocate is able to obtain a copy of any complaint 
or indictment against a person outside the United States who is subject 
to the jurisdiction under the Act. This may be accomplished through the 
use of facsimile or other means of electronic communication.
    (4) Arrest. (i) Federal Rule of Criminal Procedure 4 takes the 
jurisdiction of the Act into consideration in stating where arrest 
warrants may be executed: ``Location. A warrant may be executed, or a 
summons served, within the jurisdiction of the United States or anywhere 
else a federal statute authorizes an arrest.'' The Advisory Committee 
Note explains that the new language reflects the enactment of the 
Military Extraterritorial Jurisdiction Act permitting arrests of certain 
military and Department of Defense personnel overseas.
    (ii) The Act specifically authorizes persons in DoD law enforcement 
positions, as designated by the Secretary of Defense, to make arrests 
outside the United States, upon probable cause and in accordance with 
recognized practices with host nation authorities and applicable 
international agreements, those persons subject to the Act who violate 
section 3261(a) of the Act. Section 3262(a) of the Act constitutes 
authorization by law to conduct such functions pursuant to 10 U.S.C. 
801-946 and therefore avoids possible restrictions of the Posse 
Comitatus Act regarding military personnel supporting civilian law 
enforcement agencies.
    (iii) When the host nation has interposed no objections after 
becoming aware of the Act, arrests in specific cases shall, to the 
extent practicable, be first coordinated with appropriate local law 
enforcement authorities, unless not required by agreement with host 
nation authorities.
    (iv) Military and civilian special agents assigned to the Defense 
Criminal Investigative Organizations are hereby authorized by the 
Secretary of Defense to make an arrest, outside the United States, of a 
person who has committed an offense under section 3261(a) of the Act. 
Civilian special agents assigned to Defense Criminal Investigative 
Organizations while performing duties outside the U.S. shall make 
arrests consistent with the standardized guidelines established for such 
agents, as approved in accordance with sections 1585a, 4027, 7480, and 
9027 of title 10, United States Code.
    (v) Military personnel and DoD civilian employees (including local 
nationals, either direct hire or indirect hire) assigned to security 
forces, military police, shore patrol, or provost offices at military 
installations and other facilities located outside the United States are 
also authorized to make an arrest, outside the United States, of a 
person who has committed an offense under section 3261(a) of the Act. 
This authority includes similarly-assigned members of the Coast Guard 
law enforcement community, but only when the Coast Guard is operating at 
such locations as a Service of the Department of the Navy.
    (vi) Law enforcement personnel thus designated and authorized by the 
Secretary of Defense in this part may arrest a person, outside the 
United States, who is suspected of committing a felony offense in 
violation of section 3261(a) of the Act, when the arrest is based on 
probable cause to believe that such person violated section 3261(a) of 
the Act, and when made in accordance with applicable international 
agreements. Because the location of the offense and offender is outside 
the United States, it is not normally expected that the arrest would be 
based on a

[[Page 798]]

previously-issued Federal arrest warrant. Law enforcement personnel 
authorized to make arrests shall follow the Secretaries of the Military 
Departments' guidelines for making arrests without a warrant, as 
prescribed by 10 U.S.C. 1585a, 4027, 7480, and 9027. Authorizations 
issued by military magistrates under the UCMJ may not be used as a 
substitute for Federal arrest warrant requirements.
    (vii) The foregoing authorization to DoD law enforcement personnel 
to arrest persons subject to Chapter 212 of title 18, United States 
Code, for violations of the Act is not intended as a limitation upon the 
authority of other Federal law enforcement officers to effect arrests 
when authorized to do so. (E.g., see 18 U.S.C. 3052 authorizing agents 
of the Federal Bureau of Investigation to make arrests ``for any felony 
cognizable under the laws of the United States, 21 U.S.C. 878(a)(3) for 
the same authority for Drug Enforcement Administration agents, and 18 
U.S.C. 3053 for the same authority for U.S. Marshals and their 
deputies.)
    (5) Temporary Detention. (i) The Commander of a Combatant Command, 
or designee, may order the temporary detention of a person, within the 
Commander's area of responsibility outside the United States, who is 
arrested or charged with a violation of the Act. The Commander of the 
Combatant Command, or designee, may determine that a person arrested 
need not be held in custody pending the commencement of the initial 
proceedings required by section 3265 of the Act and paragraph (d) of 
this section. The Commander of the Combatant Command may designate those 
component commanders or DCO commanders who are also authorized to order 
the temporary detention of a person, within the commanding officer's 
area of responsibility outside the United States, who is arrested or 
charged with a violation of the Act.
    (ii) A person arrested may be temporarily detained in military 
detention facilities for a reasonable period, in accordance with 
regulations of the Military Departments and subject to the following:
    (A) Temporary detention should be ordered only when a serious risk 
is believed to exist that the person shall flee and not appear, as 
required, for any pretrial investigation, pretrial hearing or trial 
proceedings, or the person may engage in serious criminal misconduct 
(e.g., the intimidation of witnesses or other obstructions of justice, 
causing injury to others, or committing other offenses that pose a 
threat to the safety of the community or to the national security of the 
United States). The decision as to whether temporary detention is 
appropriate shall be made on a case-by-case basis. Section 3142 of title 
18, United States Code provides additional guidance regarding conditions 
on release and factors to be considered.
    (B) A person arrested or charged with a violation of the Act who is 
to be detained temporarily shall, to the extent practicable, be detained 
in areas that separate them from sentenced military prisoners and 
members of the Armed Forces who are in pretrial confinement pending 
trial by courts-martial.
    (C) Separate temporary detention areas shall be used for male and 
female detainees.
    (D) Generally, juveniles should not be ordered into temporary 
detention. However, should circumstances warrant temporary detention, 
the conditions of such temporary detention must, at a minimum, meet the 
following requirements: juveniles alleged to be delinquent shall not be 
detained or confined in any institution or facility in which the 
juvenile has regular contact with adult persons convicted of a crime or 
awaiting trial on criminal charges; insofar as possible, alleged 
juvenile delinquents shall be kept separate from adjudicated 
delinquents; and every juvenile in custody shall be provided with 
adequate food, heat, light, sanitary facilities, bedding, clothing, 
recreation, and medical care, including necessary psychiatric, 
psychological, or other care and treatment. Appointment of a guardian ad 
litem may be required under 18 U.S.C. 5034 to represent the interests of 
the juvenile when the juvenile's parents are not present or when the 
parents' interests may be adverse to that of the juvenile.
    (iii) Persons arrested or charged with a violation of the Act, upon 
being ordered into temporary detention and

[[Page 799]]

processed into the detention facility, shall, as part of the processing 
procedures, be required to provide the location address of their last 
U.S. residence as part of the routine booking questions securing 
``biographical data necessary to complete booking or pretrial 
services.'' See United States v. D'Anjou, 16 F. 3d 604 (4th Cir.1993). 
This information shall be recorded in the detention documents and made 
available to the DCO's Office of the Staff Judge Advocate. This 
information shall be forwarded with other case file information, 
including affidavits in support of probable cause supporting the arrest 
and detention, to the DSS/DOJ. The information is provided so that the 
DSS/DOJ may make appropriate preliminary decisions about venue. See 
paragraph (b)(2) of this section.
    (A) Notice of the temporary detention of any person for a violation 
of the Act shall be forwarded through command channels, without 
unnecessary delay, to the Combatant Commander, who shall advise the 
General Counsel of the Department of Defense, as the representative of 
the Secretary of Defense, of all such detentions. At the discretion of 
the General Counsel of the Department of Defense, other agencies and 
organizations (such as the Legal Counsel to the Chairman of the Joint 
Chiefs of Staff and Secretary of the Military Department that sponsored 
the person into the foreign country) shall be informed, as appropriate.
    (B) Such notice shall include a summary of the charges, facts and 
circumstances surrounding the offenses, information regarding any 
applicable SOFA or other international agreements affecting jurisdiction 
in the case, and the reasons warranting temporary detention.
    (iv) If military command authorities at the military installation 
outside the United States intend to request a person's detention by 
order of the Federal Magistrate Judge, the military representative 
assigned to the case shall gather the necessary information setting 
forth the reasons in support of a motion to be brought by the attorney 
representing the government at the initial proceeding conducted pursuant 
to section 3265 of the Act.
    (v) This part is not intended to eliminate or reduce existing 
obligations or authorities to detain persons in foreign countries as 
required or permitted by agreements with host countries. See generally, 
United States v. Murphy, 18 M.J. 220 (CMA 1984).
    (6) Custody and Transport of Persons While in Temporary Detention. 
(i) The Department of Defense may only take custody of and transport the 
person as specifically set forth in the Act. This is limited to delivery 
as soon as practicable to the custody of U.S. civilian law enforcement 
authorities for removal to the United States for judicial proceedings; 
delivery to appropriate authorities of the foreign country in which the 
person is alleged to have committed the violation of section 3261(a) of 
the Act in accordance with section 3263; or, upon a determination by the 
Secretary of Defense, or the Secretary's designee, that military 
necessity requires it, removal to the nearest U.S. military installation 
outside the United States adequate to detain the person and to 
facilitate the initial appearance described in 3265(a) of the Act.
    (ii) Responsibility for a detained person's local transportation, 
escort, and custody requirements remains with the command that placed 
the person in temporary detention for a violation of section 3261(a) of 
the Act. This responsibility includes:
    (A) Attendance at official proceedings and other required health and 
welfare appointments (e.g., appointments with counsel, medical and 
dental appointments, etc.).
    (B) Delivery to host nation officials under section 3263 of the Act.
    (C) Attendance at Initial Proceedings conducted under section 3265 
of the Act.
    (D) Delivery under the Act to the custody of U.S. civilian law 
enforcement authorities for removal to the United States.
    (iii) A person who requires the continued exercise of custody and 
transportation to appointments and locations away from the detention 
facility, including delivery of the person to host nation officials 
under section 3263 of the Act, may be transferred under the custody of 
command authorities or

[[Page 800]]

those law enforcement officers authorized to make arrests in paragraphs 
(b)(4)(iv) and (b)(4)(v) of this section. Transportation of a detainee 
outside an installation shall be coordinated with the host nation's 
local law enforcement, as appropriate and in accordance with recognized 
practices.
    (iv) Military authorities retain responsibility for the custody and 
transportation of a person arrested or charged with a violation of the 
Act who is to be removed from one military installation outside the 
United States to another military installation outside the United 
States, including when the person is transferred under the provisions of 
section 3264(b)(5) of the Act. Unless otherwise agreed to between the 
sending and receiving commands, it shall be the responsibility of the 
sending command to make arrangements for the person's transportation and 
custody during the transport or transfer to the receiving command.
    (v) In coordination with appropriate host nation authorities, U.S. 
civilian law enforcement authorities shall be responsible for taking 
custody of a person arrested or charged with a violation of the Act and 
for the removal of that person to the United States for any pretrial or 
trial proceedings. DoD officials shall consult with the DSS/DOJ to 
determine which civilian law enforcement authority (i.e., U.S. Marshals 
Service, Federal Bureau of Investigations, Drug Enforcement Agency, or 
other Federal agency) shall dispatch an officer to the overseas' 
detention facility to assume custody of the person for removal to the 
United States. Until custody of the person is delivered to such U.S. 
civilian law enforcement authorities, military authorities retain 
responsibility for the custody and transportation of the person arrested 
or charged with a violation of the Act, to include transportation within 
the host nation to help facilitate the removal of the person to the 
United States under the Act.
    (7) Release From Temporary Detention. When a person subject to the 
Act has been placed in temporary detention, in the absence of a Criminal 
Complaint or Indictment pursuant to the Federal Rules of Criminal 
Procedure, only the Commander who initially ordered detention, or a 
superior Commander, or a Federal Magistrate Judge, may order the release 
of the detained person. If a Criminal Complaint or Indictment exists, or 
if a Federal Magistrate Judge orders the person detained, only a Federal 
Magistrate Judge may order the release of the person detained. If a 
Federal Magistrate Judge orders the person temporarily detained to be 
released from detention, the Commander who ordered detention, or a 
superior Commander, shall cause the person to be released. When a person 
is released from detention under this provision, the Commander shall 
implement, to the extent practicable within the commander's authority, 
any conditions on liberty directed in the Federal Magistrate Judge's 
order. When the commander who independently ordered the person's 
temporary detention without reliance on a Federal Magistrate Judge's 
order, or a superior commander, orders a person's release before a 
Federal Magistrate Judge is assigned to review the matter, the commander 
may, within the commander's authority, place reasonable conditions upon 
the person's release from detention.
    (i) A person's failure to obey the conditions placed on his or her 
release from detention, in addition to subjecting that person to the 
commander's, or Federal Magistrate Judge's order to be returned to 
detention, may consistent with the commander's authority and applicable 
policy, laws, and regulations, subject the person to potential criminal 
sanctions, or to administrative procedures leading to a loss of command 
sponsorship to the foreign country, as well as the possibility of 
additional disciplinary or adverse action.
    (ii) A copy of all orders issued by a Federal Magistrate Judge 
concerning initial proceedings, detention, conditions on liberty, and 
removal to the United States shall promptly be provided to the Commander 
of the Combatant Command concerned and the Commander of the detention 
facility at which the person is being held in temporary detention.
    (8) Delivery of Persons to Host Nation Authorities. (i) Persons 
arrested may be

[[Page 801]]

delivered to the appropriate authorities of the foreign country in which 
the person is alleged to have violated section 3261(a) of the Act, when:
    (A) Authorities of a foreign country request that the person be 
delivered for trial because the conduct is also a violation of that 
foreign country's laws, and
    (B) Delivery of the person is authorized or required by treaty or 
another international agreement to which the United States is a party.
    (ii) Coast Guard personnel authorized to make arrests pursuant to 
paragraph (b)(4)(v) of this section are also authorized to deliver 
persons to foreign country authorities, as provided in section 3263 of 
the Act.
    (iii) Section 3263(b) of the Act calls upon the Secretary of 
Defense, in consultation with the Secretary of State, to determine which 
officials of a foreign country constitute appropriate authorities to 
which persons subject to the Act may be delivered. For purposes of the 
Act, those authorities are the same foreign country law enforcement 
authorities as are customarily involved in matters involving foreign 
criminal jurisdiction under an applicable SOFA or other international 
agreement or arrangement between the United States and the foreign 
country.
    (iv) No action may be taken under this part with a view toward the 
prosecution of a person for a violation of the Act if a foreign 
government, in accordance with jurisdiction recognized by the United 
States, has prosecuted or is prosecuting such person for the conduct 
constituting such offense(s), except upon the approval of the Attorney 
General or the Deputy Attorney General (or a person acting in either 
such capacity). See section 3261(b) of the Act. Requests for an 
exception shall be written and forwarded to the Combatant Commander. The 
Combatant Commander shall forward the request to the General Counsel of 
the Department of Defense, as representative for the Secretary of 
Defense, for review and transmittal to the Attorney General of the 
United States. At the discretion of the General Counsel of the 
Department of Defense, other agencies and organizations (such as the 
Legal Counsel to the Chairman of the Joint Chiefs of Staff and the 
Secretary of the Military Department that sponsored the person into the 
foreign country) shall be informed, as appropriate.
    (v) Except for persons to be delivered to a foreign country, and 
subject to the limitations of section 3264 of the Act and paragraph 
(e)(5) of this section, persons arrested for conduct in violation of the 
Act shall, upon the issuance of a removal order by a Federal Magistrate 
Judge under section 3264(b) of the Act, be delivered, as soon as 
practicable, to the custody of U.S. civilian law enforcement 
authorities. See paragraph (b)(6)(iv) of this section.
    (c) Representation. (1) Civilian Defense Counsel. (i) Civilian 
defense counsel representation shall not be at the expense of the 
Department of Defense or the Military Departments.
    (ii) The Act contemplates that a person arrested or charged with a 
violation of the Act shall be represented by a civilian attorney 
licensed to practice law in the United States. However, it is also 
recognized that in several host nations where there has been a long-
standing military presence, qualified civilian attorneys (including 
lawyers who are U.S. citizens) have established law practices in these 
host nations to assist assigned U.S. personnel and to represent service 
members in courts-martial, or before host nation courts. With the 
consent of the person arrested or charged with a violation of the Act 
who wishes to remain in the foreign country, these lawyers can provide 
adequate representation for the limited purpose of any initial 
proceedings required by the Act. When the person entitled to an attorney 
or requests counsel, staff judge advocates at such locations should 
assemble a list of local civilian attorneys for the person's 
consideration. The list shall contain a disclaimer stating that no 
endorsement by the United States government or the command is expressed 
or implied by the presence of an attorney's name on the list.
    (A) To the extent practicable, military authorities shall establish 
procedures by which persons arrested or charged with a violation of the 
Act may seek the assistance of civilian defense counsel by telephone. 
Consultation with such civilian counsel shall be

[[Page 802]]

in private and protected by the attorney-client privilege.
    (B) Civilian defense counsel, at no expense to the Department of 
Defense, shall be afforded the opportunity to participate personally in 
any initial proceedings required by the Act that are conducted outside 
the United States. When civilian defense counsel cannot reasonably 
arrange to be personally present for such representation, alternative 
arrangements shall be made for counsel's participation by telephone or 
by such other means that enables voice communication among the 
participants.
    (C) When at least one participant cannot arrange to meet at the 
location outside the United States where initial proceedings required by 
the Act are to be conducted, whenever possible arrangements should be 
made to conduct the proceedings by video teleconference or similar 
means. Command video teleconference communication systems should be used 
for this purpose, if resources permit, and if such systems are not 
otherwise unavailable due to military mission requirements. When these 
capabilities are not reasonably available, the proceedings shall be 
conducted by telephone or such other means that enables voice 
communication among the participants. See section 3265 of the Act.
    (D) The above provisions regarding the use of teleconference 
communication systems apply to any detention proceedings that are 
conducted outside the United States under section 3265(b) of the Act.
    (E) Civilian defense counsel practicing in host nations do not gain 
Department of Defense sponsorship, nor any diplomatic status, as a 
result of their role as defense counsel. To the extent practicable, 
notice to this effect shall be provided to the civilian defense counsel 
when the civilian defense counsel's identity is made known to 
appropriate military authorities.
    (2) Qualified Military Counsel. (i) Counsel representation also 
includes qualified military counsel that the Judge Advocate General of 
the Military Department concerned determines is reasonably available for 
the purpose of providing limited representation at initial proceedings 
required by the Act and conducted outside the United States. By 
agreement with the Department of Homeland Security, Coast Guard commands 
and activities located outside the United States shall seek to establish 
local agreements with military commands for qualified military counsel 
from the Military Departments to provide similar limited representation 
in cases arising within the Coast Guard. The Secretaries of the Military 
Departments shall establish regulations governing representation by 
qualified military counsel. These regulations, at a minimum, shall 
require that the command's Staff Judge Advocate:
    (ii) Prepare, update as necessary, and make available to a Federal 
Magistrate Judge upon request, a list of qualified military counsel who 
are determined to be available for the purpose of providing limited 
representation at initial proceedings.
    (iii) Ensure that the person arrested or charged under the Act is 
informed that any qualified military counsel shall be made available 
only for the limited purpose of representing that person in any initial 
proceedings that are to be conducted outside the United States, and that 
such representation does not extend to further legal proceedings that 
may occur either in a foreign country or the United States. The person 
arrested or charged shall also be required, in writing, to acknowledge 
the limited scope of qualified military counsel's representation and 
therein waive that military counsel's further representation in any 
subsequent legal proceedings conducted within a foreign country or the 
United States. The ``Acknowledgement of Limited Representation,'' at 
appendix B of this part, may be used for this purpose. A copy of the 
``Acknowledgement of Limited Representation'' shall be provided to the 
person arrested or charged under the Act, as well as to the qualified 
military counsel. The original acknowledgment shall be kept on file in 
the DCO's Office of the Staff Judge Advocate.
    (iv) Provide available information that would assist the Federal 
Magistrate Judge make a determination that qualified civilian counsel 
are unavailable, and that the person arrested

[[Page 803]]

or charged under the Act is unable financially to retain civilian 
defense counsel, before a qualified military counsel who has been made 
available is assigned to provide limited representation. See Analysis 
and Discussion of Section 3265 (c), Report Accompanying the Act.
    (3) Union Representation. Agency law enforcement officials shall 
comply with applicable Federal civilian employee rights and 
entitlements, if any, regarding collective bargaining unit 
representation under Chapter 71 of title 5, United States Code, during 
pretrial questioning and temporary detention procedures under this part.
    (4) Military Representative. (i) To assist law enforcement officers 
and the U.S. Attorney's representative assigned to a case, a judge 
advocate, legal officer, or civilian attorney-advisor may be appointed 
as a military representative to represent the interests of the United 
States. As appropriate, the military representative may be appointed as 
a Special Assistant U.S. Attorney. The military representative shall be 
responsible for assisting the command, law enforcement, and U.S. 
Attorney representatives during pretrial matters, initial proceedings, 
and other procedures required by the Act and this part. These 
responsibilities include assisting the U.S. Attorney representative 
determine whether continued detention is warranted, and to provide 
information to the presiding Federal Magistrate Judge considering the 
following:
    (ii) If there is probable cause to believe that a violation of the 
Act has been committed and that the person arrested or charged has 
committed it,
    (iii) If the person being temporarily detained should be kept in 
detention or released from detention, and, if released, whether any 
conditions practicable and reasonable under the circumstances, should be 
imposed.
    (d) Initial Proceedings. (1) A person arrested for or charged with a 
violation of the Act may be entitled to an initial appearance before a 
judge and/or a detention hearing (collectively, the ``initial 
proceedings''). The initial proceedings are intended to meet the 
requirements of the Federal Rules of Criminal Procedure. The initial 
proceedings are not required when the person under investigation for 
violating the Act has not been arrested or temporarily detained by U.S. 
military authorities, or the person's arrest or temporary detention by 
U.S. law enforcement authorities occurs after the person ceases to 
accompany or be employed by the Armed Forces outside the United States, 
or the arrest or detention takes place within the United States.
    (2) The initial proceedings to be conducted pursuant to the Act and 
this part shall not be initiated for a person delivered to foreign 
country authorities and against whom the foreign country is prosecuting 
or has prosecuted the person for the conduct constituting such offense, 
except when the Attorney General or Deputy Attorney General (or a person 
acting in either such capacity) has approved an exception that would 
allow for prosecution in the United States may initial proceedings under 
the Act be conducted, under these circumstances. Requests for approval 
of such an exception shall be forwarded through the Commander of the 
Combatant Command to the General Counsel of the Department of Defense, 
in accordance with paragraph (b)(8)(iv) of this section.
    (3) Initial proceedings required by the Act and this part shall be 
conducted, without unnecessary delay. In accordance with the U.S. 
Supreme Court decision in County of Riverside v. McLaughlin, 500 U.S. 44 
(1991), the initial appearance shall be conducted within 48 hours of the 
arrest. The initial proceedings required by the Act shall be conducted 
when:
    (i) The person arrested has not been delivered to foreign country 
authorities under the provisions of section 3263 of the Act; or
    (ii) The foreign country authorities having custody of the person 
delivers the person to U.S. military authorities without first 
prosecuting the person for such conduct as an offense under the laws of 
that foreign country.
    (4) A Federal Magistrate Judge shall preside over the initial 
proceedings that are required by the Act and this part. The proceedings 
should be conducted from the United States using

[[Page 804]]

video teleconference methods, if practicable, and with all parties to 
the proceedings participating. In the event that there is no video 
teleconference capability, or the video teleconference capability is 
unavailable due to military requirements or operations, the parties to 
the proceeding shall, at a minimum, be placed in contact by telephone.
    (5) Initial proceedings conducted pursuant to the Act and this part 
shall include the requirement for the person's initial appearance under 
the Federal Rules of Criminal Procedure. The Federal Magistrate Judge 
shall determine whether probable cause exists to believe that an offense 
under section 3261(a) of the Act has been committed and that the 
identified person committed it. This determination is intended to meet 
the due process requirements to which the person is entitled, as 
determined by the U.S. Supreme Court in Gerstein v. Pugh, 420 U.S. 103 
(1975).
    (6) Initial proceedings shall also include a detention hearing where 
required under 18 U.S.C. 3142 and the Federal Rules of Criminal 
Procedure. A detention hearing may be required when:
    (i) The person arrested or charged with a violation of the Act has 
been placed in temporary detention and the intent is to request 
continued detention; or
    (ii) The United States seeks to detain a person arrested or charged 
with a violation of the Act who has not previously been detained.
    (7) A detention hearing shall be conducted by a Federal Magistrate 
Judge. When the person arrested or charged requests, the detention 
hearing be conducted while the person remains outside the United States, 
detention hearing shall be conducted by the same Federal Magistrate 
Judge presiding over the initial proceeding and shall be conducted by 
telephone or other means that allow for voice communication among the 
participants, including the person's defense counsel. If the person does 
not so request, or if the Federal Magistrate Judge so orders, the 
detention hearing shall be held in the United States after the removal 
of the person to the United States.
    (8) In the event that the Federal Magistrate Judge orders the 
person's release prior to trial, and further directs the person's 
presence in the district in which the trial is to take place, the U.S. 
Attorney Office's representative responsible for prosecuting the case 
shall inform the military representative and the DCO's Office of the 
Staff Judge Advocate.
    (9) Under circumstances where the person suspected of committing an 
offense in violation of the Act has never been detained or an initial 
proceeding conducted, the presumption is that a trial date shall be 
established at which the defendant would be ordered to appear. Such an 
order would constitute an order under section 3264(b)(4) of the Act that 
``otherwise orders the person to be removed.'' The person's failure to 
appear as ordered shall be addressed by the Court as with any other 
failure to comply with a valid court order.
    (10) The DCO's Office of the Staff Judge Advocate shall assist in 
arranging for the conduct of initial proceedings required by the Act and 
this part, and shall provide a military representative to assist the 
U.S. Attorney's Office representative in presenting the information for 
the Federal Magistrate Judge's review. The military representative shall 
also provide any administrative assistance the Federal Magistrate Judge 
requires at the location outside the United States where the proceedings 
shall be conducted.
    (e) Removal Of Persons To The United States Or Other Countries. (1) 
In accordance with the limitation established by section 3264 of the 
Act, military authorities shall not remove, to the United States or any 
other foreign country, a person suspected of violating section 3261(a) 
of the Act, except when:
    (i) The person's removal is to another foreign country in which the 
person is believed to have committed a violation of section 3261(a) of 
the Act; or
    (ii) The person is to be delivered, upon request, to authorities of 
a foreign country under section 3263 of the Act and paragraph (b)(8) of 
this section; or

[[Page 805]]

    (iii) The person is arrested or charged with a violation of the Act 
and the person is entitled to, and does not waive, a preliminary 
examination under Federal Rule of Criminal Procedure 5.1, in which case 
the person shall be removed to the U.S. for such examination; or
    (iv) The person's removal is ordered by a Federal Magistrate Judge. 
See paragraph (e)(2) of this section; or
    (v) The Secretary of Defense, or the Secretary's designee, directs 
the person be removed, as provided in section 3264(b)(5) of the Act and 
paragraph (e)(3) of this section.
    (2) Removal By Order Of A Federal Magistrate Judge. Military 
authorities may remove a person suspected of violating section 3261(a) 
of the Act to the United States, when:
    (i) A Federal Magistrate Judge orders that the person be removed to 
the United States to be present at a detention hearing; or
    (ii) A Federal Magistrate Judge orders the detention of the person 
prior to trial (See 18 U.S.C. 3142(e)) in which case the person shall be 
promptly removed to the United States for such detention; or
    (iii) A Federal Magistrate Judge otherwise orders the person be 
removed to the United States.
    (3) Removal By Direction of the Secretary of Defense or Designee. 
The Secretary of Defense, or designee, may order a person's removal from 
a foreign country within the Combatant Command's geographic area of 
responsibility when, in his sole discretion, such removal is required by 
military necessity. See section 3264(b)(5) of the Act. Removal based on 
military necessity may be authorized in order to take into account any 
limiting factors that may result from military operations, as well as 
the capabilities and conditions associated with a specific location.
    (i) When the Secretary of Defense, or designee, determines that a 
person arrested or charged with a violation of the Act should be removed 
from a foreign country, the person shall be removed to the nearest U.S. 
military installation outside the United States where the limiting 
conditions requiring such a removal no longer apply, and where there are 
available facilities and adequate resources to temporarily detain the 
person and conduct the initial proceedings required by the Act and this 
part.
    (ii) The relocation of a person under this paragraph does not 
authorize the further removal of the person to the United States, unless 
that further removal is authorized by an order issued by a Federal 
Magistrate Judge under paragraph (e)(2) of this section.
    (iii) Delegation. The Commander of a Combatant Command, and the 
Commander's principal assistant, are delegated authority to make the 
determination, based on the criteria stated in paragraph (e)(3) of this 
section, that a person arrested or charged with a violation of the Act 
shall be removed from a foreign country under section 3264(b)(5) of the 
Act and this part. Further delegation is authorized, but the delegation 
of authority is limited to a subordinate commander within the command 
who is designated as a general court-martial convening authority under 
the UCMJ.
    (4) A person who is removed to the United States under the 
provisions of the Act and this part and who is thereafter released from 
detention, and otherwise at liberty to return to the location outside 
the United States from which he or she was were removed, shall be 
subject to any requirements imposed by a Federal District Court of 
competent jurisdiction.
    (5) Where a person has been removed to the United States for a 
detention hearing or other judicial proceeding and a Federal Magistrate 
Judge orders the person's release and permits the person to return to 
the overseas location, the Department of Defense (including the Military 
Department originally sponsoring the person to be employed or to 
accompany the Armed Forces outside the United States) shall not be 
responsible for the expenses associated with the return of the person to 
the overseas location, or the person's subsequent return travel to the 
United States for further court proceedings that may be required.



                 Sec. Appendix A to Part 153--Guidelines

    (a) Civilians employed by the Armed Forces outside the United States 
who commit felony offenses while outside the U.S. are subject to U.S. 
criminal jurisdiction

[[Page 806]]

under the Act, and shall be held accountable for their actions, as 
appropriate.
    (b) Civilians accompanying the Armed Forces outside the United 
States who commit felony offenses while outside the U.S. are subject to 
U.S. criminal jurisdiction under the Act, and shall be held accountable 
for their actions, as appropriate.
    (c) Former members of the Armed Forces who commit felony offenses 
while serving as a member of the Armed Forces outside the U.S., but who 
ceased to be subject to UCMJ court-martial jurisdiction without having 
been tried by court-martial for such offenses, are subject to U.S. 
criminal jurisdiction under the Act and shall be held accountable for 
their actions, as appropriate.
    (d) The procedures of this part and DoD actions to implement the Act 
shall comply with applicable Status of Forces Agreements, and other 
international agreements affecting relationships and activities between 
the respective host nation countries and the U.S. Armed Forces. These 
procedures may be employed outside the United States only if the foreign 
country concerned has been briefed or is otherwise aware of the Act and 
has not interposed an objection to the application of these procedures. 
Such awareness may come in various forms, including but not limited to 
Status of Forces Agreements containing relevant language, Diplomatic 
Notes or other acknowledgements of briefings, or case-by-case 
arrangements, agreements, or understandings with appropriate host nation 
officials.
    (e) Consistent with the long-standing policy of maximizing U.S. 
jurisdiction over its citizens, the Act and this part provide a 
mechanism for furthering this objective by closing a jurisdictional gap 
in U.S. law and thereby permitting the criminal prosecution of covered 
persons for offenses committed outside the United States. In so doing, 
the Act and this part provide, in appropriate cases, an alternative to a 
host nation's exercise of its criminal jurisdiction should the conduct 
that violates U.S. law also violate the law of the host nation, as well 
as a means of prosecuting covered persons for crimes committed in areas 
in which there is no effective host nation criminal justice system.
    (f) In addition to the limitations imposed upon prosecutions by 
section 3261(b) of the Act, the Act and these procedures should be 
reserved generally for serious misconduct for which administrative or 
disciplinary remedies are determined to be inadequate or inappropriate. 
Because of the practical constraints and limitations on the resources 
available to bring these cases to successful prosecution in the United 
States, initiation of action under this part would not generally be 
warranted unless serious misconduct were involved.
    (g) The procedures set out in the Act and this part do not apply to 
cases in which the return of fugitive offenders is sought through 
extradition and similar proceedings, nor are extradition procedures 
applicable to cases under the Act.



      Sec. Appendix B to Part 153--Acknowledgment of Limited Legal 
                         Representation (Sample)

    1. I, ------------, have been named as a suspect or defendant in a 
matter to which I have been advised is subject to the jurisdiction of 
the Military Extraterritorial Jurisdiction Act of 2000 (section 3261, et 
seq., of title 18, United States Code.); hereinafter referred to as 
``the Act''). I have also been informed that certain initial proceedings 
under 18 U.S.C. 3265 may be required under this Act, for which I am 
entitled to be represented by legal counsel.
    2. I acknowledge and understand that the appointment of military 
counsel for the limited purpose of legal representation in proceedings 
conducted pursuant to the Act is dependent upon my being unable to 
retain civilian defense counsel representation for such proceedings, due 
to my indigent status, and that qualified military defense counsel has 
been made available.
    3. Pursuant to the Act, ------------, a Federal Magistrate Judge, 
has issued the attached Order and has directed that that military 
counsel be made available:

---- For the limited purpose of representing me at an initial proceeding 
to be conducted outside the United States pursuant to 18 U.S.C. 3265,
---- For the limited purpose of representing me in an initial detention 
hearing to be conducted outside the United States pursuant to 18 U.S.C. 
3265(b),

    4. ------------, military counsel, has been made available in 
accordance with Department of Defense Instruction 5525.bb, and as 
directed by the attached Order of a Federal Magistrate Judge.
    5. I (do) (do not) wish to be represented by ------------, military 
counsel ---- (initials).
    6. I understand that the legal representation of ------------, 
military counsel, is limited to:
    a. Representation at the initial proceedings conducted outside the 
United States pursuant to 18 U.S.C. 3265.

---- (Initials)

    b. The initial detention hearing to be conducted outside the United 
States pursuant to the Military Extraterritorial Jurisdiction Act of 
2000 (18 U.S.C. 3261, et seq.).

---- (Initials)

    c. Other proceedings (Specify):

------------. ---- (Initials)

________________________________________________________________________

[[Page 807]]

Signature of Person To Be Represented By Military Counsel

________________________________________________________________________
Signature of Witness*

Attachment:

Federal Magistrate Judge Order

    (Note: The witness must be a person other than the defense counsel 
to be made available for this limited legal representation.)

[[Page 808]]



                          SUBCHAPTER F_SECURITY





PART 154_DEPARTMENT OF DEFENSE PERSONNEL SECURITY PROGRAM REGULATION
--Table of Contents



                      Subpart A_General Provisions

Sec.
154.1 Purpose.
154.2 Applicability.
154.3 Definitions.

                           Subpart B_Policies

154.6 Standards for access to classified information or assignment to 
          sensitive duties.
154.7 Criteria for application of security standards.
154.8 Types and scope of personnel security investigations.
154.9 Authorized personnel security investigative agencies.
154.10 Limitations and restrictions.

         Subpart C_Personnel Security Investigative Requirements

154.13 Sensitive positions.
154.14 Civilian employment.
154.15 Military appointment, enlistment, and induction.
154.16 Security clearance.
154.17 Special access programs.
154.18 Certain positions not necessarily requiring access to classified 
          information.
154.19 Reinvestigation.
154.20 Authority to waive investigative requirements.

 Subpart D_Reciprocal Acceptance of Prior Investigations and Personnel 
                         Security Determinations

154.23 General.
154.24 Prior investigations conducted by DoD investigative 
          organizations.
154.25 Prior personnel security determinations made by DoD authorities.
154.26 Investigations conducted and clearances granted by other agencies 
          of the Federal government.

         Subpart E_Requesting Personnel Security Investigations

154.30 General.
154.31 Authorized requesters.
154.32 Criteria for requesting investigations.
154.33 Request procedures.
154.34 Priority requests.
154.35 Personal data provided by the subject of the investigation.

                         Subpart F_Adjudication

154.40 General.
154.41 Central adjudication.
154.42 Evaluation of personnel security information.
154.43 Adjudicative record.

             Subpart G_Issuing Clearance and Granting Access

154.47 General.
154.48 Issuing clearance.
154.49 Granting access.
154.50 Administrative withdrawal.

              Subpart H_Unfavorable Administrative Actions

154.55 Requirements.
154.56 Procedures.
154.57 Reinstatement of civilian employees.

             Subpart I_Continuing Security Responsibilities

154.60 Evaluating continued security eligibility.
154.61 Security education.

     Subpart J_Safeguarding Personnel Security Investigative Records

154.65 General.
154.66 Responsibilities.
154.67 Access restrictions.
154.68 Safeguarding procedures.
154.69 Records disposition.
154.70 Foreign source information.

                      Subpart K_Program Management

154.75 General.
154.76 Responsibilities.
154.77 Reporting requirements.
154.78 Inspections.

Appendix A to Part 154--Investigative Scope
Appendix B to Part 154--Request Procedures
Appendix C to Part 154--Tables for Requesting Investigations
Appendix D to Part 154--Reporting of Nonderogatory Cases
Appendix E to Part 154--Personnel Security Determination Authorities
Appendix F to Part 154--Guidelines for Conducting Prenomination Personal 
          Interviews
Appendix G to Part 154 [Reserved]
Appendix H to Part 154--Adjudicative Guidelines for Determining 
          Eligibility for Access to Classified Information

[[Page 809]]

Appendix I to Part 154--Overseas Investigations
Appendix J to Part 154--ADP Position Categories and Criteria for 
          Designating Positions

    Authority: E.O. 10450, 18 FR 2489, 3 CFR, 1949-1953 Comp., p. 936; 
E.O. 12356, 47 FR 14874 and 15557, 3 CFR, 1982 Comp., p. 166; E.O. 
10865, 25 FR 1583, 3 CFR, 1959-1963 Comp., p. 398; E.O. 12333, 46 FR 
59941, 3 CFR, 1981 Comp., p. 200.

    Source: 52 FR 11219, Apr. 8, 1987, unless otherwise noted.



                      Subpart A_General Provisions



Sec. 154.1  Purpose.

    (a) To establish policies and procedures to ensure that acceptance 
and retention of personnel in the Armed Forces, acceptance and retention 
of civilian employees in the Department of Defense (DoD), and granting 
members of the Armed Forces, DoD civilian employees, DoD contractors, 
and other affiliated persons access to classified information are 
clearly consistent with the interests of national security.
    (b) This part: (1) Establishes DoD personnel security policies and 
procedures;
    (2) Sets forth the standards, criteria and guidelines upon which 
personnel security determinations shall be based;
    (3) Prescribes the kinds and scopes of personnel security 
investigations required;
    (4) Details the evaluation and adverse action procedures by which 
personnel security determinations shall be made; and
    (5) Assigns overall program management responsibilities.



Sec. 154.2  Applicability.

    (a) This part implements the Department of Defense Personnel 
Security Program and takes precedence over all other departmental 
issuances affecting that program.
    (b) All provisions of this part apply to DoD civilian personnel, 
members of the Armed Forces, excluding the Coast Guard in peacetime, 
contractor personnel and other personnel who are affiliated with the 
Department of Defense except that the unfavorable administrative action 
procedures pertaining to contractor personnel requiring access to 
classified information are contained in DoD 5220.22-R and in 32 CFR part 
155.
    (c) The policies and procedures which govern the National Security 
Agency are prescribed by Public Laws 88-290 and 86-36, Executive Orders 
10450 and 12333, DoD Directive 5210.45 \1\, Director of Central 
Intelligence Directive (DCID) 1/14 \2\ and regulations of the National 
Security Agency.
---------------------------------------------------------------------------

    \1\ Copies may be obtained, at cost, from the National Technical 
Information Service, 5285 Port Royal Road, Springfield, VA 22161.
    \2\ Copies may be obtained, if needed from Central Intelligence 
Agency (CCISCMS/ICS), 1225 Ames Building, Washington, DC 20505.
---------------------------------------------------------------------------

    (d) Under combat conditions or other military exigencies, an 
authority in paragraph A, Appendix E, may waive such provisions of this 
part as the circumstances warrant.

[52 FR 11219, Apr. 8, 1987, as amended at 58 FR 61024, Nov. 19, 1993]



Sec. 154.3  Definitions.

    (a) Access. The ability and opportunity to obtain knowledge of 
classified information. An individual, in fact, may have access to 
classified information by being in a place where such information is 
kept, if the security measures that are in force do not prevent him from 
gaining knowledge of such information.
    (b) Adverse action. A removal from employment, suspension from 
employment of more than 14 days, reduction in grade, reduction in pay, 
or furlough of 30 days or less.
    (c) Background Investigation (BI). A personnel security 
investigation consisting of both record reviews and interviews with 
sources of information as prescribed in paragraph 3, Appendix A, this 
part, covering the most recent 5 years of an individual's life or since 
the 18th birthday, whichever is shorter, provided that at least the last 
2 years are covered and that no investigation will be conducted prior to 
an individual's 16th birthday.
    (d) Classified information. Official information or material that 
requires protection in the interests of national security and that is 
classified for such

[[Page 810]]

purpose by appropriate classifying authority in accordance with the 
provisions of Executive Order 12356.
    (e) Defense Clearance and Investigative Index (DCII). The DCII is 
the single, automated, central DoD repository which identifies 
investigations conducted by DoD investigative agencies, and personnel 
security determinations made by DoD adjudicative authorities.
    (f) DoD component. Includes the Office of the Secretary of Defense; 
the Military Departments; Chairman of the Joint Chiefs of Staff; 
Directors of Defense Agencies and the Unified and Specified Commands.
    (g) Entrance National Agency Check (ENTNAC). A personnel security 
investigation scoped and conducted in the same manner as a National 
Agency Check except that a technical fingerprint search of the files of 
the Federal Bureau of Investigation is not conducted.
    (h) Head of DoD component. The Secretary of Defense; the Secretaries 
of the Military Departments; the Chairman of Joint Chiefs of Staff; and 
the Commanders of Unified and Specified Commands; and the Directors of 
Defense Agencies.
    (i) Immigrant alien. Any alien lawfully admitted into the United 
States under an immigration visa for permanent residence.
    (j) Interim security clearance. A security clearance based on the 
completion of minimum investigative requirements, which is granted on a 
temporary basis, pending the completion of the full investigative 
requirements.
    (k) Limited access authorization. Authorization for access to 
Confidential or Secret information granted to non-US. citizens and 
immigrant aliens, which is limited to only that information necessary to 
the successful accomplishment of their assigned duties and based on a 
background investigation scoped for 10 years (paragraph 3, Appendix A).
    (l) Minor derogatory information. Information that, by itself, is 
not of sufficient importance or magnitude to justify an unfavorable 
administrative action in a personnel security determination.
    (m) National Agency check (NAC). A personnel security investigation 
consisting of a records review of certain national agencies as 
prescribed in paragraph 1, Appendix A, this part, including a technical 
fingerprint search of the files of the Federal Bureau of Investigation 
(FBI).
    (n) National Agency Check Plus Written Inquiries (NACI). A personnel 
security investigation conducted by the Office of Personnel Management, 
combining a NAC and written inquiries to law enforcement agencies, 
former employers and supervisors, references and schools.
    (o) National security. National security means the national defense 
and foreign relations of the United States.
    (p) Need-to-know. A determination made by a possessor of classified 
information that a prospective recipient, in the interest of national 
security, has a requirement for access to, knowledge, or possession of 
the classified information in order to perform tasks or services 
essential to the fulfillment of an official U.S. Government program. 
Knowledge, possession of, or access to, classified information shall not 
be afforded to any individual solely by virtue of the individual's 
office, position, or security clearance.
    (q) Periodic Reinvestigation (PR). An investigation conducted every 
five years for the purpose of updating a previously completed background 
investigation, special background investigation, single scope background 
investigation or PR on persons occupying positions referred to in Sec. 
154.19. Investigative requirements are as prescribed in appendix A to 
part 154, section 5. The period of investigation will not normally 
exceed the most recent 5-year period.
    (r) Personnel Security Investigation (PSI). Any investigation 
required for the purpose of determining the eligibility of DoD military 
and civilian personnel, contractor employees, consultants, and other 
persons affiliated with the Department of Defense, for access to 
classified information, acceptance or retention in the Armed Forces, 
assignment or retention in sensitive duties, or other designated duties 
requiring such investigation. PSIs include investigations of 
affiliations with subversive organizations, suitability information, or 
hostage situations (see Sec. 154.9(d)) conducted for the purpose of

[[Page 811]]

making personnel security determinations. They also include 
investigations of allegations that arise subsequent to adjudicative 
action and require resolution to determine an individual's current 
eligibility for access to classified information or assignment or 
retention in a sensitive position.
    (s) Scope. The time period to be covered and the sources of 
information to be contacted during the prescribed course of a PSI.
    (t) Security clearance. A determination that a person is eligible 
under the standards of this part for access to classified information.
    (u) Senior Officer of the Intelligence Community (SOIC). The DoD 
Senior Officers of the Intelligence Community include: the Director, 
National Security Agency/Central Security Service; Director, Defense 
Intelligence Agency; Assistant Chief of Staff for Intelligence, U.S. 
Army; Assistant Chief of Staff for Intelligence, U.S. Air Force; and the 
Director of Naval Intelligence, U.S. Navy.
    (v) Sensitive position. Any position so designated within the 
Department of Defense, the occupant of which could bring about, by 
virtue of the nature of the position, a materially adverse effect on the 
national security. All civilian positions are either critical-sensitive, 
noncritical-sensitive, or nonsensitive as described in Sec. 154.13(b).
    (w) Significant derogatory information. Information that could, in 
itself, justify an unfavorable administrative action, or prompt an 
adjudicator to seek additional investigation or clarification.
    (x) Special access program. Any program imposing ``need-to-know'' or 
access controls beyond those normally provided for access to 
Confidential, Secret, or Top Secret information. Such a program may 
include, but not be limited to, special clearance, adjudication, 
investigative requirements, material dissemination restrictions, or 
special lists of persons determined to have a need-to-know.
    (y) Special Background Investigation (SBI). A personnel security 
investigation consisting of all of the components of a BI plus certain 
additional investigative requirements as prescribed in paragraph 4, 
Appendix B, this part. The period of investigation for an SBI is the 
last 15 years or since the 18th birthday, whichever is shorter, provided 
that the last 2 full years are covered and that no investigation will be 
conducted prior to an individual's 16th birthday.
    (z) Special Investigative Inquiry (SII). A supplemental personnel 
security investigation of limited scope conducted to prove or disprove 
relevant allegations that have arisen concerning a person upon whom a 
personnel security determination has been previously made and who, at 
the time of the allegation, holds a security clearance or otherwise 
occupies a position that requires a personnel security determination 
under the provisions of this part.
    (aa) Service. Honorable active duty (including attendance at the 
military academies), membership in ROTC Scholarship Program, Army and 
Air Force National Guard, Military Reserve Force (including active 
status and ready reserve), civilian employment in Government service, or 
civilian employment with a DoD contractor or as a consultant involving 
access under the DoD Industrial Security Program. Continuity of service 
is maintained with change from one status to another as long as there is 
no single break in service greater than 12 months.
    (bb) Unfavorable administrative action. Adverse action taken as the 
result of personnel security determinations and unfavorable personnel 
security determinations as defined in this part.
    (cc) Unfavorable personnel security determination. A denial or 
revocation of clearance for access to classified information; denial or 
revocation of access to classified information; denial or revocation of 
a Special Access authorization (including access to SCI); nonappointment 
to or nonselection for appointment to a sensitive position; 
nonappointment to or nonselection for any other position requiring a 
trustworthiness determination under this part; reassignment to a 
position of lesser sensitivity or to a nonsensitive position; and 
nonacceptance for or discharge from the Armed Forces when any of the 
foregoing actions are based on derogatory information of personnel 
security significance.

[[Page 812]]

    (dd) United States Citizen (Native Born). A person born in one of 
the 50 United States, Puerto Rico, Guam, American Samoa, Northern 
Mariana Islands, U.S. Virgin Islands; or Panama Canal Zone (if the 
father or mother (or both) was or is, a citizen of the United States).

[52 FR 11219, Apr. 8, 1987, as amended at 58 FR 61024, Nov. 19, 1993]



                           Subpart B_Policies



Sec. 154.6  Standards for access to classified information or
assignment to sensitive duties.

    (a) General. Only U.S. citizens shall be granted a personnel 
security clearance, assigned to sensitive duties, or granted access to 
classified information unless an authority designated in Appendix E has 
determined that, based on all available information, there are 
compelling reasons in furtherance of the Department of Defense mission, 
including, special expertise, to assign an individual who is not a 
citizen to sensitive duties or grant a Limited Access Authorization to 
classified information. Non-U.S. citizens may be employed in the 
competitive service in sensitive civilian positions only when 
specifically approved by the Office of Personnel Management, pursuant to 
E.O. 11935. Exceptions to these requirements shall be permitted only for 
compelling national security reasons.
    (b) Clearance and sensitive position standard. The personnel 
security standard that must be applied to determine whether a person is 
eligible for access to classified information or assignment to sensitive 
duties is whether, based on all available information, the person's 
loyalty, reliability, and trustworthiness are such that entrusting the 
person with classified information or assigning the person to sensitive 
duties is clearly consistent with the interests of national security.
    (c) Military service standard. The personnel security standard that 
must be applied in determining whether a person is suitable under 
national security criteria for appointment, enlistment, induction, or 
retention in the Armed Forces is that, based on all available 
information, there is no reasonable basis for doubting the person's 
loyalty to the Government of the United States.



Sec. 154.7  Criteria for application of security standards.

    The ultimate decision in applying either of the security standards 
set forth in Sec. 154.6 (b) and (c) must be an overall common sense 
determination based upon all available facts. The criteria for 
determining eligibility for a clearance under the security standard 
shall include, but not be limited to the following:
    (a) Commission of any act of sabotage, espionage, treason, 
terrorism, anarchy, sedition, or attempts thereat or preparation 
therefor, or conspiring with or aiding or abetting another to commit or 
attempt to commit any such act.
    (b) Establishing or continuing a sympathetic association with a 
saboteur, spy, traitor, seditionist, anarchist, terrorist, 
revolutionist, or with an espionage or other secret agent or similar 
representative of a foreign nation whose interests may be inimical to 
the interests of the United States, or with any person who advocates the 
use of force or violence to overthrow the Government of the United 
States or to alter the form of Government of the United States by 
unconstitutional means.
    (c) Advocacy or use of force or violence to overthrow the Government 
of the United States or to alter the form of Government of the United 
States by unconstitutional means.
    (d) Knowing membership with the specific intent of furthering the 
aims of, or adherence to and active participation in any foreign or 
domestic organization, association, movement, group or combination of 
persons (hereafter referred to as organizations) which unlawfully 
advocates or practices the commission of acts of force or violence to 
prevent others from exercising their rights under the Constitution or 
laws of the U.S. or of any State or which seeks to overthrow the 
Government of the U.S. or any State or subdivision thereof by unlawful 
means.
    (e) Unauthorized disclosure to any person of classified information, 
or of other information, disclosure of which

[[Page 813]]

is prohibited by statute, Executive Order or regulation.
    (f) Performing or attempting to perform one's duties, acceptance and 
active maintenance of dual citizenship, or other acts conducted in a 
manner which serve or which could be expected to serve the interests of 
another government in preference to the interests of the United States.
    (g) Disregard of public law, statutes, Executive Orders or 
regulations including violation of security regulations or practices.
    (h) Criminal or dishonest conduct.
    (i) Acts of omission or commission that indicate poor judgment, 
unreliability or untrustworthiness.
    (j) Any behavior or illness, including any mental condition, which, 
in the opinion of competent medical authority, may cause a defect in 
judgment or reliability with due regard to the transient or continuing 
effect of the illness and the medical findings in such case.
    (k) Vulnerability to coercion, influence, or pressure that may cause 
conduct contrary to the national interest. This may be
    (1) The presence of immediate family members or other persons to 
whom the applicant is bonded by affection or obligation in a nation (or 
areas under its domination) whose interests may be inimical to those of 
the United States, or
    (2) Any other circumstances that could cause the applicant to be 
vulnerable.
    (l) Excessive indebtedness, recurring financial difficulties, or 
unexplained affluence.
    (m) Habitual or episodic use of intoxicants to excess.
    (n) Illegal or improper use, possession, transfer, sale or addiction 
to any controlled or psychoactive substance, narcotic, cannabis or other 
dangerous drug.
    (o) Any knowing and willful falsification, coverup, concealment, 
misrepresentation, or omission of a material fact from any written or 
oral statement, document, form or other representation or device used by 
the Department of Defense or any other Federal agency.
    (p) Failing or refusing to answer or to authorize others to answer 
questions or provide information required by a congressional committee, 
court, or agency in the course of an official inquiry whenever such 
answers or information concern relevant and material matters pertinent 
to an evaluation of the individual's trustworthiness, reliability, and 
judgment.
    (q) Acts of sexual misconduct or perversion indicative of moral 
turpitude, poor judgment, or lack of regard for the laws of society.



Sec. 154.8  Types and scope of personnel security investigations.

    (a) General. The types of personnel security investigations 
authorized below vary in scope of investigative effort required to meet 
the purpose of the particular investigation. No other types are 
authorized. The scope of a PSI may be neither raised nor lowered without 
the approval of the Deputy Under Secretary of Defense for Policy.
    (b) National Agency Check. Essentially, a NAC is a records check of 
designated agencies of the Federal Government that maintain record 
systems containing information relevant to making a personnel security 
determination. An ENTNAC is a NAC (scope as outlined in paragraph 1, 
Appendix A) conducted on inductees and first-term enlistees, but lacking 
a technical fingerprint search. A NAC is also an integral part of each 
BI, SBI, and Periodic Reinvestigation (PR). Subpart C prescribes when an 
NAC is required.
    (c) National Agency Check plus written inquiries. The Office of 
Personnel Management (OPM) conducts a NAC plus Written Inquiries (NACIs) 
on civilian employees for all departments and agencies of the Federal 
Government, pursuant to E.O. 10450. NACIs are considered to meet the 
investigative requirements of this regulation for a nonsensitive or 
noncritical sensitive position and/or up to a Secret clearance and, in 
addition to the NAC, include coverage of law enforcement agencies, 
former employers and supervisors, references, and schools covering the 
last 5 years.
    (d) DoD National Agency check plus written inquiries. DIS will 
conduct a DNACI, consisting of the scope contained in paragraph 2, 
Appendix A, for DoD military and contractor personnel

[[Page 814]]

for access to Secret information. Subpart C prescribes when a DNACI is 
required.
    (e) Background investigation. The BI is the principal type of 
investigation conducted when an individual requires Top Secret clearance 
or is to be assigned to a critical sensitive position. The BI normally 
covers a 5-year period and consists of a subject interview, NAC, LACs, 
credit checks, developed character references (3), employment records 
checks, employment references (3), and select scoping as required to 
resolve unfavorable or questionable information. (See paragraph 3, 
Appendix A). Subpart C prescribes when a BI is required.
    (f) Special background investigation. (1) An SBI is essentially a BI 
providing additional coverage both in period of time as well as sources 
of information, scoped in accordance with the provisions of DCID 1/14 
but without the personal interview. While the kind of coverage provided 
for by the SBI determines eligibility for access to SCI, DoD has adopted 
this coverage for certain other Special Access programs. Subpart C 
prescribes when an SBI is required.
    (2) The OPM, FBI, Central Intelligence Agency (CIA), Secret Service, 
and the Department of State conduct specially scoped BIs under the 
provisions of DCID 1/14. Any investigation conducted by one of the 
above-cited agencies under DCID 1/14 standards is considered to meet the 
SBI investigative requirements of this part.
    (3) The detailed scope of an SBI is set forth in paragraph 4, 
Appendix A.
    (g) Special investigative inquiry. (1) A Special Investigative 
Inquiry is a personnel security investigation conducted to prove or 
disprove allegations relating to the criteria outlined in Sec. 154.7(a) 
of this part except current criminal activities (see Sec. 154.9(c)(4)), 
that have arisen concerning an individual upon whom a personnel security 
determination has been previously made and who, at the time of the 
allegation, holds a security clearance or otherwise occupies a position 
that requires a trustworthiness determination.
    (2) Special Investigative Inquiries are scoped as necessary to 
address the specific matters requiring resolution in the case concerned 
and generally consist of record checks and/or interviews with 
potentially knowledgeable persons. An SII may include an interview with 
the subject of the investigation when necessary to resolve conflicting 
information and/or to provide an opportunity to refute or mitigate 
adverse information.
    (3) In those cases when there is a disagreement between Defense 
Investigative Service (DIS) and the requester as to the appropriate 
scope of the investigation, the matter may be referred to the Deputy 
Under Secretary of Defense for Policy for resolution.
    (h) Periodic reinvestigation. As referred to in Sec. 154.19(a) and 
other national directives, certain categories of duties, clearance, and 
access require the conduct of a PR every five years according to the 
scope outlined in paragraph 5, Appendix A. The PR scope applies to 
military, civilian, contractor, and foreign national personnel.
    (i) Personal interview. Investigative experience over the years has 
demonstrated that, given normal circumstances, the subject of a 
personnel security investigation is the best source of accurate and 
relevant information concerning the matters under consideration. 
Further, restrictions imposed by the Privacy Act of 1974 dictate that 
Federal investigative agencies collect information to the greatest 
extent practicable directly from the subject when the information may 
result in adverse determinations about an individual's rights, benefits, 
and privileges under Federal programs. Accordingly, personal interviews 
are an integral part of the DoD personnel security program and shall be 
conducted in accordance with the requirements set forth in the following 
paragraphs of this section.
    (1) BI/PR. A personal interview shall be conducted by a trained DIS 
agent as part of each BI and PR.
    (2) Resolving adverse information. A personal interview of the 
subject shall be conducted by a DIS agent (or, when authorized, by 
investigative personnel of other DoD investigative organizations 
designated in this Regulation to conduct personnel security 
investigations), when necessary, as part of each

[[Page 815]]

Special Investigative Inquiry, as well as during the course of initial 
or expanded investigations, to resolve or clarify any information which 
may impugn the subject's moral character, threaten the subject's future 
Federal employment, raise the question of subject's security 
clearability, or be otherwise stigmatizing.
    (3) Hostage situation. A personal interview shall be conducted by a 
DIS agent (or, when authorized, by investigative personnel of other DoD 
investigative organizations designated in this Regulation to conduct 
personnel security investigations) in those instances in which an 
individual has immediate family members or other persons bound by ties 
of affection or obligation who reside in a nation whose interests are 
inimical to the interests of the United States. (See Sec. 154.9(d).
    (4) Applicants/potential nominees for DoD military or civilian 
positions requiring access to SCI or other positions requiring an SBI. A 
personal interview of the individual concerned shall be conducted, to 
the extent feasible, as part of the selection process for applicants/
potential nominees for positions requiring access to SCI or completion 
of an SBI. The interview shall be conducted by a designee of the 
Component to which the applicant or potential nominee is assigned. 
Clerical personnel are not authorized to conduct these interviews. Such 
interviews shall be conducted utilizing resources in the order of 
priority indicated below:
    (i) Existing personnel security screening systems (e.g., Air Force 
Assessment Screening Program, Naval Security Group Personnel Security 
Interview Program, U.S. Army Personnel Security Screening Program); or
    (ii) Commander of the nominating organization or such official as he 
or she has designated in writing (e.g., Deputy Commander, Executive 
Officer, Security Officer, Security Manager, S-2, Counterintelligence 
Specialist, Personnel Security Specialist, or Personnel Officer); or
    (iii) Agents of investigative agencies in direct support of the 
Component concerned.
    (5) Administrative procedures. (i) The personal interview required 
by paragraph (i)(4) of this section shall be conducted in accordance 
with Appendix F.
    (ii) For those investigations requested subsequent to the personal 
interview requirements of paragraph (i)(4) of this section the following 
procedures apply:
    (A) The DD Form 1879 (Request for Personnel Security Investigation) 
shall be annotated under Item 20 (Remarks) with the statement ``Personal 
Interview Conducted by (cite the duty assignment of the designated 
official (e.g., Commander, Security Officer, Personnel Security 
Specialist, etc.))'' in all cases in which an SBI is subsequently 
requested.
    (B) Unfavorable information developed through the personal interview 
required by paragraph (i)(4) of this section, will be detailed in a 
written report attached to the DD Form 1879 to include full 
identification of the interviewer. Failure to provide such information 
may result in conduct of an incomplete investigation by DIS.
    (C) Whenever it is determined that it is not feasible to conduct the 
personal interview required by paragraph (i)(4) of this section prior to 
requesting the SBI, the DD Form 1879 shall be annotated under Item 20 
citing the reason for not conducting the interview.
    (j) Expanded investigation. If adverse or questionable information 
relevant to a security determination is developed during the conduct of 
a personnel security investigation, regardless of type, the 
investigation shall be expanded, consistent with the restrictions in 
Sec. 154.10(e) to the extent necessary to substantiate or disprove the 
adverse or questionable information.



Sec. 154.9  Authorized personnel security investigative agencies.

    (a) General. The DIS provides a single centrally directed personnel 
security investigative service to conduct personnel security 
investigations within the 50 States, District of Columbia, and 
Commonwealth of Puerto Rico for DoD Components, except as provided for 
in DoD Directive 5100.23. \1\ DIS will request the Military Departments 
or other appropriate Federal Agencies to

[[Page 816]]

accomplish DoD investigative requirements in other geographic areas 
beyond their jurisdiction. No other DoD Component shall conduct 
personnel security investigations unless specifically authorized by the 
Deputy Under Secretary of Defense for Policy. In certain instances 
provided for below, the DIS shall refer an investigation to other 
investigative agencies.
---------------------------------------------------------------------------

    \1\ See footnote 1 to Sec. 154.2(c).
---------------------------------------------------------------------------

    (b) Subversive affiliations--(1) General. In the context of DoD 
investigative policy, subversion refers only to such conduct as is 
forbidden by the laws of the United States. Specifically, this is 
limited to information concerning the activities of individuals or 
groups that involve or will involve the violation of Federal law, for 
the purpose of:
    (i) Overthrowing the Government of the United States or the 
government of a State;
    (ii) Substantially impairing for the purpose of influencing U.S. 
Government policies or decisions:
    (A) The functions of the Government of the United States, or
    (B) The functions of the government of a State;
    (iii) Depriving persons of their civil rights under the Constitution 
or laws of the United States.
    (2) Military Department/FBI jurisdiction. Allegations of activities 
covered by Sec. 154.7 (a) through (f) are in the exclusive 
investigative domain of either the counterintelligence agencies of the 
Military Departments or the FBI, depending on the circumstances of the 
case and the provisions of the Agreement Governing the Conduct of 
Defense Department Counterintelligence Activities in Conjunction with 
the FBI. Whenever allegations of this nature are developed, whether 
before or after a security clearance has been issued or during the 
course of a personnel security investigation conducted by DIS, they 
shall be referred immediately to either the FBI or to a military 
department counterintelligence agency, as appropriate.
    (3) DIS jurisdiction. Allegations of activities limited to those set 
forth in Sec. 154.7 (g) through (j) of this part shall be investigated 
by DIS.
    (c) Suitability information--(1) General. Most derogatory 
information developed through personnel security investigations of DoD 
military or civilian personnel is so-called suitability information, 
that is, information pertaining to activities or situations covered by 
Sec. 154.7 (g) through (q). Almost all unfavorable personnel security 
determinations made by DoD authorities are based on derogatory 
suitability information, although such information is often used as a 
basis for unfavorable administrative actions not of a security nature, 
such as action under the Uniform Code of Military Justice or removal 
from Federal employment under OPM regulations.
    (2) Pre-clearance investigation. Derogatory suitability information, 
except that covered in paragraph (c)(4) of this section, developed 
during the course of a personnel security investigation, prior to the 
issuance of an individual's personnel security clearance, shall be 
investigated by DIS to the extent necessary to confirm or refute its 
applicability to Sec. 154.7 (g) through (q).
    (3) Postadjudication investigation. Derogatory suitability 
allegations, except those covered by paragraph (c)(4) of this section 
arising subsequent to clearance requiring investigation to resolve and 
to determine the individual's eligibility for continued access to 
classified information, reinstatement of clearance/access, or retention 
in a sensitive position shall be referred to DIS to conduct a Special 
Investigative Inquiry. Reinvestigation of individuals for adjudicative 
reconsideration due to the passage of time or evidence of favorable 
behavior shall also be referred to DIS for investigation. In such cases, 
completion of the appropriate statement of personal history by the 
individual constitutes consent to be investigated. Individual consent or 
completion of a statement of personal history is not required when Sec. 
154.19(b) applies. Postadjudication investigation of allegations of a 
suitability nature required to support other types of unfavorable 
personnel security determinations or disciplinary procedures independent 
of a personnel security determination shall be handled in accordance 
with applicable Component administrative regulations. These latter 
categories of allegations lie outside the DoD personnel security program 
and are not a

[[Page 817]]

proper investigative function for departmental counterintelligence 
organizations, Component personnel security authorities, or DIS.
    (4) Allegations of criminal activity. Any allegations of conduct of 
a nature indicating possible criminal conduct, including any arising 
during the course of a personnel security investigation, shall be 
referred to the appropriate DoD, military department or civilian 
criminal investigative agency. Military department investigative 
agencies have primary investigative jurisdiction in cases where there is 
probable cause to believe that the alleged conduct will be the basis for 
prosecution under the Uniform Code of Military Justice.
    (d) Hostage situations--(1) General. A hostage situation exists when 
a member of an individual's immediate family or such other person to 
whom the individual is bound by obligation or affection resides in a 
country whose interests are inimical to the interests of the United 
States. The rationale underlying this category of investigation is based 
on the possibility that an individual in such a situation might be 
coerced, influenced, or pressured to act contrary to the best interests 
of national security.
    (2) DIS jurisdiction. In the absence of evidence of any coercion, 
influence or pressure, hostage investigations are exclusively a 
personnel security matter, rather than counterintelligence, and all such 
investigations shall be conducted by DIS.
    (3) Military Department and/or FBI jurisdiction. Should indications 
be developed that hostile intelligence is taking any action specifically 
directed against the individual concerned--or should there exist any 
other evidence that the individual is actually being coerced, 
influenced, or pressured by an element inimical to the interests of 
national security--then the case becomes a counterintelligence matter 
(outside of investigative jurisdiction of DIS) to be referred to the 
appropriate military department or the FBI for investigation.
    (e) Overseas personnel security investigations. Personnel security 
investigations requiring investigation overseas shall be conducted under 
the direction and control of DIS by the appropriate military department 
investigative organization. Only postadjudication investigations 
involving an overseas subject may be referred by the requester directly 
to the military department investigative organization having 
investigative responsibility in the overseas area concerned (see 
Appendix I) with a copy of the investigative request sent to DIS. In 
such cases, the military department investigative agency will complete 
the investigation, forward the completed report of investigation 
directly to DIS, with a copy to the requester.



Sec. 154.10  Limitations and restrictions.

    (a) Authorized requesters and personnel security determination 
authorities. Personnel security investigations may be requested and 
personnel security clearances (including Special Access authorizations 
as indicated) granted only by those authorities designated in Sec. 
154.31 and Appendix E.
    (b) Limit investigations and access. The number of persons cleared 
for access to classified information shall be kept to a minimum, 
consistent with the requirements of operations. Special attention shall 
be given to eliminating unnecessary clearances and requests for 
personnel security investigations.
    (c) Collection of investigative data. To the greatest extent 
practicable, personal information relevant to security determinations 
shall be obtained directly from the subject of a personnel security 
investigation. Such additional information required to make the 
necessary personnel security determination shall be obtained as 
appropriate from knowledgeable personal sources, particularly the 
subject's peers, and through checks of relevant records including 
school, employment, credit, medical, and law enforcement records.
    (d) Privacy Act notification. Whenever personal information is 
solicited from an individual preparatory to the initiation of a 
personnel security investigation, the individual must be informed of--
    (1) The authority (statute or Executive order that authorized 
solicitation);
    (2) The principal purpose or purposes for which the information is 
to be used;
    (3) The routine uses to be made of the information;

[[Page 818]]

    (4) Whether furnishing such information is mandatory or voluntary;
    (5) The effect on the individual, if any, of not providing the 
information and
    (6) That subsequent use of the data may be employed as part of an 
aperiodic, random process to screen and evaluate continued eligibility 
for access to classified information.
    (e) Restrictions on investigators. Investigation shall be carried 
out insofar as possible to collect only as much information as is 
relevant and necessary for a proper personnel security determination. 
Questions concerning personal and domestic affairs, national origin, 
financial matters, and the status of physical health thus should be 
avoided unless the question is relevant to the criteria of Sec. 154.7. 
Similarly, the probing of a person's thoughts or beliefs and questions 
about conduct that have no personnel security implications are 
unwarranted. When conducting investigations under the provisions of this 
part, investigators shall:
    (1) Investigate only cases or persons assigned within their official 
duties.
    (2) Interview sources only where the interview can take place in 
reasonably private surroundings.
    (3) Always present credentials and inform sources of the reasons for 
the investigation. Inform sources of the subject's accessibility to the 
information to be provided and to the identity of the sources providing 
the information. Restrictions on investigators relating to Privacy Act 
advisements to subjects of personnel security investigations are 
outlined in paragraph (d) of this section.
    (4) Furnish only necessary identity data to a source, and refrain 
from asking questions in such a manner as to indicate that the 
investigator is in possession of derogatory information concerning the 
subject of the investigation.
    (5) Refrain from using, under any circumstances, covert or 
surreptitious investigative methods, devices, or techniques including 
mail covers, physical or photographic surveillance, voice analyzers, 
inspection of trash, paid informants, wiretap, or eavesdropping devices.
    (6) Refrain from accepting any case in which the investigator knows 
of circumstances that might adversely affect his fairness, impartiality, 
or objectivity.
    (7) Refrain, under any circumstances, from conducting physical 
searches of the subject or his property.
    (8) Refrain from attempting to evaluate material contained in 
medical files. Medical files shall be evaluated for personnel security 
program purposes only by such personnel as are designated by DoD medical 
authorities. However, review and collection of medical record 
information may be accomplished by authorized investigative personnel.
    (f) Polygraph restrictions. The polygraph may be used as a personnel 
security screening measure only in those limited instances authorized by 
the Secretary of Defense in DoD Directive 5210.48. \1\
---------------------------------------------------------------------------

    \1\ See footnote 1 to Sec. 154.2(c).
---------------------------------------------------------------------------



         Subpart C_Personnel Security Investigative Requirements



Sec. 154.13  Sensitive positions.

    (a) Designation of sensitive positions. Certain civilian positions 
within the Department of Defense entail duties of such a sensitive 
nature, including access to classified information, that the misconduct, 
malfeasance, or nonfeasance of an incumbent in any such position could 
result in an unacceptably adverse impact upon the national security. 
These positions are referred to in this part as sensitive positions. It 
is vital to the national security that great care be exercised in the 
selection of individuals to fill such positions. Similarly, it is 
important that only positions which truly meet one or more of the 
criteria set forth in paragraph (b) of this section be designated as 
sensitive.
    (b) Criteria for security designation of positions. Each civilian 
position within the Department of Defense shall be categorized, with 
respect to security sensitivity, as either nonsensitive, noncritical-
sensitive, or critical-sensitive.
    (1) The criteria to be applied in designating a position as 
sensitive are:
    (i) Critical-sensitive.

[[Page 819]]

    (A) Access to Top Secret information.
    (B) Development or approval of plans, policies, or programs that 
affect the overall operations of the Department of Defense or of a DoD 
Component.
    (C) Development or approval of war plans, plans or particulars of 
future major or special operations of war, or critical and extremely 
important items of war.
    (D) Investigative and certain investigative support duties, the 
issuance of personnel security clearances or access authorizations, or 
the making of personnel security determinations.
    (E) Fiduciary, public contact, or other duties demanding the highest 
degree of public trust.
    (F) Duties falling under Special Access programs.
    (G) Category I automated data processing (ADP) positions.
    (H) Any other position so designated by the head of the Component or 
designee.
    (ii) Noncritical-sensitive.
    (A) Access to Secret or Confidential information.
    (B) Security police/provost marshal-type duties involving the 
enforcement of law and security duties involving the protection and 
safeguarding of DoD personnel and property.
    (C) Category II automated data processing positions.
    (D) Duties involving education and orientation of DoD personnel.
    (E) Duties involving the design, operation, or maintenance of 
intrusion detection systems deployed to safeguard DoD personnel and 
property.
    (F) Any other position so designated by the head of the Component or 
designee.
    (2) All other positions shall be designated as nonsensitive.
    (c) Authority to designate sensitive positions. The authority to 
designate sensitive positions is limited to those authorities designated 
in paragraph G, Appendix E. These authorities shall designate each 
position within their jurisdiction as to its security sensitivity and 
maintain these designations current vis-a-vis the specific duties of 
each position.
    (d) Limitation of sensitive positions. It is the responsibility of 
those authorities authorized to designate sensitive positions to insure 
that only those positions are designated as sensitive that meet the 
criteria of paragraph (b) and (c) of this section that the designation 
of sensitive positions is held to a minimum consistent with mission 
requirements. Designating authorities shall maintain an accounting of 
the number of sensitive positions by category, i.e., critical or non-
critical sensitive. Such information will be included in annual report 
required in subpart K.
    (e) Billet control system for Top Secret. (1) To standardize and 
control the issuance of Top Secret clearances within the Department of 
Defense, a specific designated billet must be established and maintained 
for all DoD military and civilian positions requiring access to Top 
Secret information. Only persons occupying these billet positions will 
be authorized a Top Secret clearance. If an individual departs from a 
Top Secret billet to a billet/position involving a lower level 
clearance, the Top Secret clearance will be administratively rescinded. 
This Top Secret billet requirement is in addition to the existing billet 
structure maintained for SCI access.
    (2) Each request to DIS for a BI or SBI that involves access to Top 
Secret or SCI information will require inclusion of the appropriate 
billet reference, on the request for investigation. Each Component head 
should in corporate, to the extent feasible, the Top Secret billet 
structure into the component Manpower Unit Manning Document. Such a 
procedure should minimize the time and effort required to maintain such 
a billet structure.
    (3) A report on the number of established Top Secret billets will be 
submitted each year to the DUSD(P) as part of the annual clearance 
report referred to in subpart K.



Sec. 154.14  Civilian employment.

    (a) General. The appointment of each civilian employee in any DoD 
Component is subject to investigation, except for reappointment when the 
break in employment is less than 12 months. The type of investigation 
required is set forth in this section according to position sensitivity.

[[Page 820]]

    (b) Nonsensitive positions. In accordance with the OPM Federal 
Personnel Manual, a NACI shall be requested not later than 3 working 
days after a person is appointed to a nonsensitive position. Although 
there is normally no investigation requirement for per diem, 
intermittent, temporary or seasonal employees in nonsensitive positions 
provided such employment does not exceed an aggregate of 120 days in 
either a single continuous or series of appointments, a NAC may be 
requested of DIS where deemed appropriate by the employing activity.
    (c) Noncritical-sensitive positions. (1) An NACI shall be requested 
and the NAC portion favorably completed before a person is appointed to 
a noncritical-sensitive position (for exceptions see paragraph (e) (1) 
and (2) of this section). An ENTNAC, NAC or DNACI conducted during 
military or contractor employment may also be used for appointment 
provided a NACI has been requested from OPM and there is no more than 12 
months break in service since completion of the investigation.
    (2) Seasonal employees (including summer hires) normally do not 
require access to classified information. For those requiring access to 
classified information the appropriate investigation is required. The 
request for the NAC (or NACI) should be submitted to DIS by entering 
``SH'' (summer hire) in red letters approximately one inch high on the 
DD Form 398-2, Personnel Security Questionnaire (National Agency 
Checklist). Additionally, to ensure expedited processing by DIS, summer 
hire requests should be assembled and forwarded to DIS in bundles, when 
appropriate.
    (d) Critical-sensitive positions. A BI shall be favorably completed 
prior to appointment to critical-sensitive positions (for exceptions see 
paragraph (e) (1) and (2) of this section. Certain critical-sensitive 
positions require a preappointment SBI in accordance with Sec. 154.17. 
Preappointment BIs and SBIs will be conducted by DIS.
    (e) Exceptions--(1) Noncritical-sensitive. In an emergency, a 
noncritical-sensitive position may be occupied pending the completion of 
the NACI if the head of the requesting organization finds that the delay 
in appointment would be harmful to the national security and such 
finding is reduced to writing and made part of the record. In such 
instances, the position may be filled only after the NACI has been 
requested.
    (2) Critical-sensitive. In an emergency, a critical-sensitive 
position may be occupied pending completion of the BI (or SBI, as 
appropriate) if the head of the requesting organization finds that the 
delay in appointment would be harmful to the national security and such 
finding is reduced to writing and made a part of the record. In such 
instances, the position may be filled only when the NAC portion of the 
BI (or SBI) or a previous valid NACI, NAC or ENTNAC has been completed 
and favorably adjudicated.
    (f) Mobilization of DoD civilian retirees. The requirements 
contained in paragraph (a) of this section, regarding the type of 
investigation required by position sensitivity for DoD civilian retirees 
temporary appointment when the break in employment is greater than 12 
months, should either be expedited or waived for the purposes of 
mobilizing selected reemployed annuitants under the provisions of title 
5, United States Code, depending upon the degree of sensitivity of the 
position to which assigned. Particular priority should be afforded to 
newly assigned personnel assigned to the defense intelligence and 
security agencies with respect to granting security clearances in an 
expeditious manner under paragraph (a) of this section.



Sec. 154.15  Military appointment, enlistment, and induction.

    (a) General. The appointment, enlistment, and induction of each 
member of the Armed Forces or their Reserve Components shall be subject 
to the favorable completion of a personnel security investigation. The 
types of investigation required are set forth in this section.
    (b) Entrance investigation. (1) An ENTNAC shall be conducted on each 
enlisted member of the Armed Forces at the time of initial entry into 
the service. A DNACI shall be conducted on each commissioned officer, 
except as

[[Page 821]]

permitted by paragraph (d) of this section, warrant officer, cadet, 
midshipman, and Reserve Officers Training Candidate, at the time of 
appointment. A full NAC shall be conducted upon reentry of any of the 
above when there has been a break in service greater than 12 months.
    (2) If an officer or warrant officer candidate has been the subject 
of a favorable NAC or ENTNAC and there has not been a break in service 
of more than 12 months, a new NAC is not authorized. This includes ROTC 
graduates who delay entry onto active duty pending completion of their 
studies.
    (3) All derogatory information revealed during the enlistment or 
appointment process that results in a moral waiver will be fully 
explained on a written summary attached to the DD Form 398-2.
    (c) Reserve Components and National Guard. Reserve Component and 
National Guard personnel not on active duty are subject to the 
investigative requirements of this section.
    (d) Exceptions for certain commissioned officers of Reserve 
Components. The requirements for entrance investigation shall be rigidly 
adhered to except as follows. Health professionals, chaplains, and 
attorneys may be commissioned in the Reserve Components prior to 
completion of a DNACI provided that:
    (1) A DNACI is initiated at the time an application for a commission 
is received; and
    (2) The applying health professional, chaplain, or attorney agrees 
in writing that, if the results of the investigation are unfavorable, he 
or she will be subject to discharge if found to be ineligible to hold a 
commission. Under this exception, commissions in Reserve Components 
other than the National Guard may be tendered to immigrant alien health 
professionals, chaplains, and attorneys.
    (e) Mobilization of military retirees. The requirements contained in 
paragraph (c) of this section, regarding a full NAC upon reentry to 
active duty of any officer or enlisted regular/reserve military retiree 
or Individual Ready Reserve who has been separated from service for a 
period of greater than 12 months, should be waived for the purposes of 
partial or full mobilization under provisions of title 10, (title 14, 
pertaining to the U.S. Coast Guard as an element of the Navy) U.S. Code, 
to include the period of prescribed service refresher training. 
Particular priority should be afforded to military retirees mobilized 
and assigned to the defense intelligence and security agencies 
communities.



Sec. 154.16  Security clearance.

    (a) General. (1) The authorities designated in paragraph A, Appendix 
E are the only authorities authorized to grant, deny or revoke DoD 
personnel security clearances. The granting of such clearances shall be 
limited to only those persons who require access to classified 
information for mission accomplishment.
    (2) Military, DoD civilian, and contractor personnel who are 
employed by or serving in a consultant capacity to the DoD, may be 
considered for access to classified information only when such access is 
required in connection with official duties. Such individuals may be 
granted either a final or interim personnel security clearance provided 
the investigative requirements set forth below are complied with, and 
provided further that all available information has been adjudicated and 
a finding made that such clearance would be clearly consistent with the 
interests of national security.
    (b) Investigative requirements for clearance--(1) Top Secret. (i) 
Final Clearance:
    (A) BI.
    (B) Established billet per Sec. 154.13(e) (1) through (3) (except 
contractors).
    (ii) Interim Clearance:
    (A) Favorable NAC, ENTNAC, DNACI, or NACI completed
    (B) Favorable review of DD Form 398/SF-86/SF-171/DD Form 49
    (C) BI or SBI has been initiated
    (D) Favorable review of local personnel, base/military police, 
medical, and other security records as appropriate.
    (E) Established billet per Sec. 154.13(e) (1) through (3) (except 
contractors)
    (F) Provisions of paragraph Sec. 154.14(e) (1) and (2) have been 
met regarding civilian personnel.
    (2) Secret. (i) Final Clearance:

[[Page 822]]

    (A) DNACI: Military (except first-term enlistees) and contractor 
employees
    (B) NACI: Civilian employees
    (C) ENTNAC: First-term enlistees
    (ii) Interim Clearance:
    (A) When a valid need to access Secret information is established, 
an interim Secret clearance may be issued in every case, provided that 
the steps outlined in paragraphs (b)(2)(ii) (B) through (E) of this 
section have been complied with.
    (B) Favorable review of DD Form 398-2/SF-85/SF-171/DD Form 48.
    (C) NACI, DNACI, or ENTNAC initiated.
    (D) Favorable review of local personnel, base military police, 
medical, and security records as appropriate.
    (E) Provisions of Sec. 154.14(e) have been complied with regarding 
civilian personnel.
    (3) Confidential. (i) Final Clearance:
    (A) NAC or ENTNAC: Military and contractor employees (except for 
Philippine national members of the United States Navy on whom a BI shall 
be favorably completed.)
    (B) NACI: Civilian employees (except for summer hires who may be 
granted a final clearance on the basis of a NAC).
    (ii) Interim Clearance:
    (A) Favorable review of DD Form 398-2/SF 85/SF 171/ DD Form 48.
    (B) NAC, ENTNAC or NACI initiated.
    (C) Favorable review of local personnel, base military police, 
medical, and security records as appropriate.
    (D) Provisions of Sec. 154.14(e) (1) and (2) have been complied 
with regarding civilian personnel.
    (4) Validity of previously granted clearances. Clearances granted 
under less stringent investigative requirements retain their validity; 
however, if a higher degree of clearance is required, investigative 
requirements of this directive will be followed.
    (c) Access to classified information by non-U.S. citizens. (1) Only 
U.S. citizens are eligible for a security clearance. Therefore, every 
effort shall be made to ensure that non-United States citizens are not 
employed in duties that may require access to classified information. 
However, when there are compelling reasons to grant access to classified 
information to an immigrant alien or a foreign national in furtherance 
of the mission of the Department of Defense, such individuals may be 
granted a ``Limited Access Authorization'' (LAA) under the following 
conditions:
    (i) LAAs will be limited to Secret and Confidential level only; LAAs 
for Top Secret are prohibited.
    (ii) Access to classified information is not inconsistent with that 
determined releasable by designated disclosure authorities, in 
accordance with DoD Directive 5230.11 \1\ to the country of which the 
individual is a citizen.
---------------------------------------------------------------------------

    \1\ See footnote 1 to Sec. 154.2(c).
---------------------------------------------------------------------------

    (iii) Access to classified information must be limited to 
information relating to a specific program or project.
    (iv) Favorable completion of an BI (scoped for 10 years); where the 
full investigative coverage cannot be completed, a counterintelligence 
scope polygraph examination will be required in accordance with the 
provisions of DoD Directive 5210.48.
    (v) Security clearances previously issued to immigrant aliens will 
be reissued as LAAs.
    (vi) The Limited Access Authorization determination shall be made 
only by an authority designated in paragraph B, Appendix E.
    (vii) LAAs issued by the Unified and Specified Commands shall be 
reported to the central adjudicative facility of the appropriate 
military department in accordance with the assigned responsibilities in 
DoD Directive 5100.3 \1\ for inclusion in the Defense Central Index of 
Investigation (DCII).
    (2) In each case of granting a Limited Access Authorization, a 
record shall be maintained as to:
    (i) The identity (including current citizenship) of the individual 
to whom the Limited Access Authorization is granted, to include name and 
date and place of birth;
    (ii) Date and type of most recent investigation to include the 
identity of the investigating agency;
    (iii) The nature of the specific program material(s) to which access 
is authorized (delineated as precisely as possible);

[[Page 823]]

    (iv) The classification level to which access is authorized; and
    (v) The compelling reasons for granting access to the materials 
cited in (iii).
    (vi) Status of the individual (i.e., immigrant alien or foreign 
national).
    (3) Individuals granted LAAs under the foregoing provisions shall be 
the subject of a 5-year periodic reinvestigation as set forth in 
paragraph 5, Appendix A.
    (4) Foreign nationals who are LAA candidates must agree to submit to 
a counterintelligence-scope polygraph examination prior to being granted 
access in accordance with DoD Directive 5210.48.
    (5) If geographical and political situations prevent the full 
completion of the BI (and/or counterintelligence-scope polygraph) 
issuance of an LAA shall not be authorized; exceptions to the policy may 
only be authorized by the DUSD(P).
    (6) A report on all LAAs in effect, including the data required in 
paragraphs (d)(2) (i) through (vi) of this section shall be furnished to 
the Deputy Under Secretary of Defense for Policy within 60 days after 
the end of each fiscal year. (See Sec. 154.77).
    (d) Access by persons outside the Executive Branch. (1) Access to 
classified information by persons outside the Executive Branch shall be 
accomplished in accordance with 32 CFR part 159. The investigative 
requirement shall be the same as for the appropriate level of security 
clearance, except as indicated below.
    (2) Members of the U.S. Senate and House of Representatives do not 
require personnel security clearances. They may be granted access to DoD 
classified information which relates to matters under the jurisdiction 
of the respective Committees to which they are assigned and is needed to 
perform their duties in connection with such assignments.
    (3) Congressional staff members requiring access to DoD classified 
information shall be processed for a security clearance in accordance 
with 32 CFR part 353 and the provisions of this part. The Director, 
Washington Headquarters Services (WHS) will initiate the required 
investigation (initial or reinvestigation) to DIS, adjudicate the 
results and grant, deny or revoke the security clearance, as 
appropriate. The Assistant Secretary of Defense (Legislative Affairs) 
will be notified by WHS of the completed clearance action.
    (4) State governors do not require personnel security clearances. 
They may be granted access to specifically designated classified 
information, on a ``need-to-know'' basis, based upon affirmation by the 
Secretary of Defense or the head of a DoD Component or single designee, 
that access, under the circumstances, serves the national interest. 
Staff personnel of a governor's office requiring access to classified 
information shall be investigated and cleared in accordance with the 
prescribed procedures of this part when the head of a DoD Component, or 
single designee, affirms that such clearance serves the national 
interest. Access shall also be limited to specifically designated 
classified information on a ``need-to-know'' basis.
    (5) Members of the U.S. Supreme Court, the Federal judiciary and the 
Supreme Courts of the individual States do not require personnel 
security clearances. They may be granted access to DoD classified 
information to the extent necessary to adjudicate cases being heard 
before these individual courts.
    (6) Attorneys representing DoD military, civilian or contractor 
personnel, requiring access to DoD classified information to properly 
represent their clients, shall normally be investigated by DIS and 
cleared in accordance with the prescribed procedures in paragraph (b) of 
this section. This shall be done upon certification of the General 
Counsel of the DoD Component involved in the litigation that access to 
specified classified information, on the part of the attorney concerned, 
is necessary to adequately represent his or her client. In exceptional 
instances, when the exigencies of a given situation do not permit timely 
compliance with the provisions of Sec. 154.16(b), access may be granted 
with the written approval of an authority designated in Appendix E 
provided that as a minimum: a favorable name check of the FBI and the 
DCII has been completed, and a DoD Non-

[[Page 824]]

Disclosure Agreement has been executed. In post-indictment cases, after 
a judge has invoked the security procedures of the Classified 
Information Procedures Act (CIPA) the Department of Justice may elect to 
conduct the necessary background investigation and issue the required 
security clearance, in coordination with the affected DoD Component.
    (e) Restrictions on issuance of personnel security clearances. 
Personnel security clearances must be kept to the absolute minimum 
necessary to meet mission requirements. Personnel security clearances 
shall not be issued:
    (1) To persons in nonsensitive positions.
    (2) To persons whose regular duties do not require authorized access 
to classified information.
    (3) For ease of movement of persons within a restricted, controlled, 
or industrial area, whose duties do not require access to classified 
information.
    (4) To persons who may only have inadvertent access to sensitive 
information or areas, such as guards, emergency service personnel, 
firemen, doctors, nurses, police, ambulance drivers, or similar 
personnel.
    (5) To persons working in shipyards whose duties do not require 
access to classified information.
    (6) To persons who can be prevented from accessing classified 
information by being escorted by cleared personnel.
    (7) To food service personnel, vendors and similar commercial sales 
or service personnel whose duties do not require access to classified 
information.
    (8) To maintenance or cleaning personnel who may only have 
inadvertent access to classified information unless such access cannot 
be reasonably prevented.
    (9) To persons who perform maintenance on office equipment, 
computers, typewriters, and similar equipment who can be denied 
classified access by physical security measures.
    (10) To perimeter security personnel who have no access to 
classified information.
    (11) To drivers, chauffeurs and food service personnel.
    (f) Dual citizenship. Persons claiming both U.S. and foreign 
citizenship shall be processed under Sec. 154.16(b) and adjudicated in 
accordance with the ``Foreign Preference'' standard in Appendix I.
    (g) One-time access. Circumstances may arise where an urgent 
operational or contractual exigency exists for cleared DoD personnel to 
have one-time or short duration access to classified information at a 
higher level than is authorized by the existing security clearance. In 
many instances, the processing time required to upgrade the clearance 
would preclude timely access to the information. In such situations, and 
only for compelling reasons in furtherance of the DoD mission, an 
authority referred to in paragraph (h)(1) of this section, may grant 
higher level access on a temporary basis subject to the terms and 
conditions prescribed below. This special authority may be revoked for 
abuse, inadequate record keeping, or inadequate security oversight. 
These procedures do not apply when circumstances exist which would 
permit the routine processing of an individual for the higher level 
clearance. Procedures and conditions for effecting emergency one-time 
access to the next higher classification level are as follows:
    (1) Authorization for such one-time access shall be granted by a 
flag or general officer, a general court-martial convening authority or 
equivalent Senior Executive Service member, after coordination with 
appropriate security officials.
    (2) The recipient of the one-time access authorization must be a 
U.S. citizen, possess a current DoD security clearance, and the access 
required shall be limited to classified information one level higher 
than the current clearance.
    (3) Such access, once granted, shall be cancelled promptly when no 
longer required, at the conclusion of the authorized period of access, 
or upon notification from the granting authority.
    (4) The employee to be afforded the higher level access shall have 
been continuously employed by a DoD Component or a cleared DoD 
contractor for the preceding 24-month period. Higher level access is not 
authorized for part-time employees.

[[Page 825]]

    (5) Pertinent local records concerning the employee concerned shall 
be reviewed with favorable results.
    (6) Whenever possible, access shall be confined to a single instance 
or at most, a few occasions. The approval for access shall automatically 
expire 30 calendar days from date access commenced. If the need for 
access is expected to continue for a period in excess of 30 days, 
written approval of the granting authority is required. At such time as 
it is determined that the need for access is expected to extend beyond 
90 days, the individual concerned shall be promptly processed for the 
level of clearance required. When extended access has been approved, 
such access shall be cancelled at or before 90 days from original date 
of access.
    (7) Access at the higher level shall be limited to information under 
the control and custody of the authorizing official and shall be 
afforded under the general supervision of a properly cleared employee. 
The employee charged with providing such supervision shall be 
responsible for:
    (i) Recording the higher-level information actually revealed,
    (ii) The date(s) such access is afforded; and
    (iii) The daily retrieval of the material accessed.
    (8) Access at the next higher level shall not be authorized for 
COMSEC, SCI, NATO, or foreign government information.
    (9) The exercise of this provision shall be used sparingly and 
repeat use within any 12 month period on behalf of the same individual 
is prohibited. The approving authority shall maintain a record 
containing the following data with respect to each such access approved:
    (i) The name, and SSN of the employee afforded higher level access.
    (ii) The level of access authorized.
    (iii) Justification for the access, to include an explanation of the 
compelling reason to grant the higher level access and specifically how 
the DoD mission would be furthered.
    (iv) An unclassified description of the specific information to 
which access was authorized and the duration of access along with the 
date(s) access was afforded.
    (v) A listing of the local records reviewed and a statement that no 
significant adverse information concerning the employee is known to 
exist.
    (vi) The approving authority's signature certifying (h)(9) (i) 
through (v) of this section.
    (vii) Copies of any pertinent briefing/debriefings administered to 
the employee.
    (h) Access by retired flag/general officers. (1) Upon determination 
by an active duty flag/general officer that there are compelling 
reasons, in furtherance of the Department of Defense mission, to grant a 
retired flag/general officer access to classified information in 
connection with a specific DoD program or mission, for a period not 
greater than 90 days, the investigative requirements of this part may be 
waived. The access shall be limited to classified information at a level 
commensurate with the security clearance held at the time of 
retirement--not including access to SCI.
    (2) The flag/general officer approving issuance of the clearance 
shall, provide the appropriate DoD Component central clearance facility 
a written record to be incorporated into the DCII detailing:
    (i) Full identifying data pertaining to the cleared subject;
    (ii) The classification of the information to which access was 
authorized.
    (3) Such access may be granted only after the compelling reason and 
the specific aspect of the DoD mission which is served by granting such 
access has been detailed and under the condition that the classified 
materials involved are not removed from the confines of a government 
installation or other area approved for storage of DoD classified 
information.

[52 FR 11219, Apr. 8, 1987, as amended at 55 FR 3223, Jan. 31, 1990]



Sec. 154.17  Special access programs.

    (a) General. It is the policy of the Department of Defense to 
establish, to the extent possible, uniform and consistent personnel 
security investigative requirements. Accordingly, investigations 
exceeding established requirements are authorized only when mandated by 
statute, national regulations, or international agreement. In this

[[Page 826]]

connection, there are certain Special Access programs originating at the 
national or international level that require personnel security 
investigations and procedures of a special nature. These programs and 
the special investigative requirements imposed by them are described in 
this section. A Special Access program is any program designed to 
control access, distribution, and protection of particularly sensitive 
information established pursuant to section 4-2 of Executive Order 12356 
and prior Orders. Title 32 CFR part 159 governs the establishment of 
Departmental Special Access Programs.
    (b) Sensitive Compartmented Information (SCI). (1) The investigative 
requirements for access to SCI is an SBI (See paragraph 4, appendix A) 
including a NAC on the individual's spouse or cohabitant. When 
conditions indicate, additional investigation shall be conducted on the 
spouse of the individual and members of the immediate family (or other 
persons to whom the individual is bound by affection or obligation) to 
the extent necessary to permit a determination by the adjudication 
agency that the Personnel Security standards of DCID 1/14 are met.
    (2) A previous investigation conducted within the past five years 
which substantially meets the investigative requirements prescribed by 
this section may serve as a basis for granting access approval provided 
that there has been no break in the individual's military service, DoD 
civilian employment, or access to classified information under the 
Industrial Security Program greater than 12 months. The individual shall 
submit one copy of an updated PSQ covering the period since the 
completion of the last SBI.
    (c) Single Integrated Operation Plan--Extremely Sensitive 
Information (SIOP-ESI). The investigative requirement for access to 
SIOP-ESI is an SBI, including a NAC on the spouse and the individual's 
immediate family who are 18 years of age or over and who are U.S. 
citizens other than by birth or who are resident aliens.
    (d) Presidential support activities. (1) DoD Directive 5210.55 \1\ 
prescribes the policies and procedures for the nomination, screening, 
selection, and continued evaluation of DoD military and civilian 
personnel and contractor employees assigned to or utilized in 
Presidential Support activities. The type of investigation of 
individuals assigned to Presidential Support activities varies according 
to whether the person investigated qualifies for Category One or 
Category Two as indicated below:
---------------------------------------------------------------------------

    \1\ See footnote 1 to Sec. 154.2(c).
---------------------------------------------------------------------------

    (i) Category one. (A) Personnel assigned on a permanent or full-time 
basis to duties in direct support of the President (including the office 
staff of the Director, White House Military Office, and all individuals 
under his control):
    (1) Presidential aircrew and associated maintenance and security 
personnel.
    (2) Personnel assigned to the White House communications activities 
and the Presidential retreat.
    (3) White House transportation personnel.
    (4) Presidential mess attendants and medical personnel.
    (5) Other individuals filling administrative positions at the White 
House.
    (B) Personnel assigned on a temporary or part-time basis to duties 
supporting the President:
    (1) Military Social Aides.
    (2) Selected security, transportation, flight-line safety, and 
baggage personnel.
    (3) Others with similar duties.
    (C) Personnel assigned to the Office of the Military Aide to the 
Vice President.
    (ii) Category two. (A) Personnel assigned to honor guards, 
ceremonial units, and military bands who perform at Presidential 
functions and facilities.
    (B) Employees of contractors who provide services or contractors 
employees who require unescorted access to Presidential Support areas, 
activities, or equipment--including maintenance of the Presidential 
retreat, communications, and aircraft.
    (C) Individuals in designated units requiring a lesser degree of 
access to the President or Presidential Support activities.
    (2) Personnel nominated for Category One duties must have been the 
subject of an SBI, including a NAC on the

[[Page 827]]

spouse and all members of the individual's immediate family of 18 years 
of age or over who are U.S. citizens other than by birth or who are 
resident aliens. The SBI must have been completed within the 12 months 
preceding selection for Presidential Support duties. If such an 
individual marries subsequent to the completion of the SBI, the required 
spouse check shall be made at that time.
    (3) Personnel nominated for Category Two duties must have been the 
subject of a BI, including a NAC on the spouse and all members of the 
individual's immediate family of 18 years of age or over who are U.S. 
citizens other than by birth or who are resident aliens. The BI must 
have been completed within the 12 months preceding selection for 
Presidential Support duties. It should be noted that duties (separate 
and distinct from their Presidential Support responsibilities) of some 
Category Two personnel may make it necessary for them to have special 
access clearances which require an SBI.
    (4) The U.S. citizenship of foreign-born immediate family members of 
all Presidential Support nominees must be verified by investigation.
    (5) A limited number of Category One personnel having especially 
sensitive duties have been designated by the Director, White House 
Military Office as ``Category A.'' These personnel shall be investigated 
under special scoping in accordance with the requirements of the 
Memorandum of Understanding between the Director, White House Military 
Office and the Special Assistant to the Secretary and Deputy Secretary 
of Defense, July 30, 1980.
    (e) Nuclear Weapon Personnel Reliability Program (PRP). (1) DoD 
Directive 5210.42 \1\ sets forth the standards of individual reliability 
required for personnel performing duties associated with nuclear weapons 
and nuclear components. The investigative requirement for personnel 
performing such duties is:
---------------------------------------------------------------------------

    \1\ See footnote 1 to Sec. 154.2(c).
---------------------------------------------------------------------------

    (i) Critical position: BI. In the event that it becomes necessary to 
consider an individual for a critical position and the required BI has 
not been completed, interim certification may be made under carefully 
controlled conditions as set forth below.
    (A) The individual has had a favorable DNACI, NAC (or ENTNAC) within 
the past 5 years without a break in service or employment in excess of 1 
year.
    (B) The BI has been requested.
    (C) All other requirements of the PRP screening process have been 
fulfilled.
    (D) The individual is identified to supervisory personnel as being 
certified on an interim basis.
    (E) The individual is not used in a two-man team with another such 
individual.
    (F) Justification of the need for interim certification is 
documented by the certifying official.
    (G) Should the BI not be completed within 150 days from the date of 
the request, the certifying official shall query the Component clearance 
authority, who shall ascertain from DIS the status of the investigation. 
On the basis of such information, the certifying official shall 
determine whether to continue or to withdraw the interim certification.
    (ii) Controlled position: DNACI/NACI. (A) An ENTNAC completed for 
the purpose of first term enlistment or induction into the Armed Forces 
does not satisfy this requirement.
    (B) Interim certification is authorized for an individual who has 
not had a DNACI/NACI completed within the past 5 years, subject to the 
following conditions:
    (1) The individual has had a favorable ENTNAC/NAC, or higher 
investigation, that is more than 5 years old and has not had a break in 
service or employment in excess of 1 year.
    (2) A DNACI/NACI has been requested at the time of interim 
certification.
    (3) All other requirements of the PRP screening process have been 
fulfilled.
    (4) Should the DNACI/NACI not be completed within 90 days from the 
date of the request, the procedures set forth in paragraph (e)(1)(i)(G) 
of this section for ascertaining the delay of the investigation in the 
case of a critical position shall apply.

[[Page 828]]

    (iii) Additional requirements apply. (A) The investigation upon 
which certification is based must have been completed within the last 5 
years from the date of initial assignment to a PRP position and there 
must not have been a break in service or employment in excess of 1 year 
between completion of the investigation and initial assignment.
    (B) In those cases in which the investigation was completed more 
than 5 years prior to initial assignment or in which there has been a 
break in service or employment in excess of 1 year subsequent to 
completion of the investigation, a reinvestigation is required.
    (C) Subsequent to initial assignment to the PRP, reinvestigation is 
not required so long as the individual remains in the PRP.
    (D) A medical evaluation of the individual as set forth in DoD 
Directive 5210.42.
    (E) Review of the individual's personnel file and other official 
records and information locally available concerning behavior or conduct 
which is relevant to PRP standards.
    (F) A personal interview with the individual for the purpose of 
informing him of the significance of the assignment, reliability 
standards, the need for reliable performance, and of ascertaining his 
attitude with respect to the PRP.
    (G) Service in the Army, Navy and Air Force Reserve does not 
constitute active service for PRP purposes.
    (f) Access to North Atlantic Treaty Organization (NATO) classified 
information. (1) Personnel assigned to a NATO staff position requiring 
access to NATO Cosmic (Top Secret), Secret, or Confidential information 
shall have been the subject of a favorably adjudicated BI (10 year 
scope), DNACI/NACI or NAC/ENTNAC, current within five years prior to the 
assignment, in accordance with USSAN Instruction 1-69 and Sec. 
154.19(f).
    (2) Personnel not assigned to a NATO staff position, but requiring 
access to NATO Cosmic, Secret or Confidential information in the normal 
course of their duties, must possess the equivalent final U.S. security 
clearance based upon the appropriate personnel security investigation 
(appendix A) required by Sec. Sec. 154.16(b) and 154.19(j) of this 
part.
    (g) Other special access programs. Special investigative 
requirements for Special Access programs not provided for in this 
paragraph may not be established without the written approval of the 
Deputy Under Secretary of Defense for Policy.



Sec. 154.18  Certain positions not necessarily requiring access
to classified information.

    (a) General. DoD Directive 5200.8 \1\ outlines the authority of 
military commanders under the Internal Security Act of 1950 to issue 
orders and regulations for the protection of property or places under 
their command. Essential to carrying out this responsibility is a 
commander's need to protect the command against the action of 
untrustworthy persons. Normally, the investigative requirements 
prescribed in this part should suffice to enable a commander to 
determine the trustworthiness of individuals whose duties require access 
to classified information or appointment to positions that are sensitive 
and do not involve such access. However, there are certain categories of 
positions or duties which, although not requiring access to classified 
information, if performed by untrustworthy persons, could enable them to 
jeopardize the security of the command or otherwise endanger the 
national security. The investigative requirements for such positions or 
duties are detailed in this section.
---------------------------------------------------------------------------

    \1\ See footnote 1 to Sec. 154.2(c).
---------------------------------------------------------------------------

    (b) Access to restricted areas, sensitive information or equipment 
not involving access to classified information. (1) Access to restricted 
areas, sensitive information or equipment by DoD military, civilian or 
contractor personnel shall be limited to those individuals who have been 
determined trustworthy as a result of the favorable completion of a NAC 
(or ENTNAC) or who are under the escort of appropriately cleared 
personnel. Where escorting such persons is not feasible, a NAC shall be 
conducted and favorably reviewed by the appropriate component agency or 
activity prior to permitting such access. DoD Components shall not 
request, and

[[Page 829]]

shall not direct or permit their contractors to request, security 
clearances to permit access to areas when access to classified 
information is not required in the normal course of duties or which 
should be precluded by appropriate security measures. In determining 
trustworthiness under this paragraph, the provisions of Sec. 154.7 and 
appendix H will be utilized.
    (2) In meeting the requirements of this paragraph, approval shall be 
obtained from one of the authorities designated in paragraph A, appendix 
E of this part, for authority to request NACs on DoD military, civilian 
or contractor employees. A justification shall accompany each request 
which shall detail the reasons why escorted access would not better 
serve the national security. Requests for investigative requirements 
beyond a NAC shall be forwarded to the Deputy Under Secretary of Defense 
for Policy for approval.
    (3) NAC requests shall--
    (i) Be forwarded to DIS in accordance with the provisions of 
paragraph B, appendix C,
    (ii) Contain a reference to this paragraph on the DD Form 398-2, and
    (iii) List the authority in appendix E who approved the request.
    (4) Determinations to deny access under the provisions of this 
paragraph must not be exercised in an arbitrary, capricious, or 
discriminatory manner and shall be the responsibility of the military or 
installation commander as provided for in DoD Directive 5200.8.
    (c) Nonappropriated fund employees. Each Nonappropriated Fund 
employee who is employed in a position of trust as designated by an 
official authorized in paragraph H, appendix E, shall have been the 
subject of a NAC completed no longer than 12 months prior to employment 
or a prior personnel security investigation with no break in Federal 
service or employment greater than 12 months in accordance with DoD 
Manual 1401.1-M. An individual who does not meet established suitability 
requirements may not be employed without prior approval of the 
authorizing official. Issuance of a Confidential or Secret clearance 
will be based on a DNACI or NACI in accordance with Sec. 154.16(b).
    (d) Customs inspectors. DoD employees appointed as customs 
inspectors, under waivers approved in accordance with DoD 5030.49-R 
shall have undergone a favorably adjudicated NAC completed within the 
past 5 years unless there has been a break in DoD employment greater 
than 1 year in which case a current NAC is required.
    (e) Red Cross/United Service Organizations personnel. A favorably 
adjudicated NAC shall be accomplished on Red Cross or United Service 
Organizations personnel as prerequisite for assignment with the Armed 
Forces overseas (32 CFR part 253).
    (f) Officials authorized to issue security clearances. Any person 
authorized to adjudicate personnel security clearances shall have been 
the subject of a favorably adjudicated BI.
    (g) Personnel security clearance adjudication officials. Any person 
selected to serve with a board, committee, or other group responsible 
for adjudicating personnel security cases shall have been the subject of 
a favorably adjudicated BI.
    (h) Persons requiring DoD building passes. Pursuant to DoD Directive 
5210.46 \1\ each person determined by the designated authorities of the 
Components concerned as having an official need for access to DoD 
buildings in the National Capital Region shall be the subject of a 
favorably, adjudicated NAC prior to issuance of a DoD building pass. 
Conduct of a BI for this purpose is prohibited unless approved in 
advance by ODUSD(P).
---------------------------------------------------------------------------

    \1\ See footnote 1 to Sec. 154.2(c).
---------------------------------------------------------------------------

    (i) Foreign national employees overseas not requiring access to 
classified information. Foreign nationals employed by DoD organizations 
overseas, whose duties do not require access to classified information, 
shall be the subject of the following record checks, initiated by the 
appropriate military department investigative organization consistent 
with Sec. 154.9(e) prior to employment:
    (1) Host government law enforcement and security agency checks at 
the city, state (province), and national level, whenever permissible by 
the laws of the host government; and
    (2) DCII.

[[Page 830]]

    (3) FBI-HQ/ID. (Where information exists regarding residence by the 
foreign national in the United States for one year or more since age 
18).
    (j) Special agents and investigative support personnel. Special 
agents and those noninvestigative personnel assigned to investigative 
agencies whose official duties require continuous access to complete 
investigative files and material require an SBI.
    (k) Persons requiring access to chemical agents. Personnel whose 
duties involve access to or security of chemical agents shall be 
screened initially for suitability and reliability and shall be 
evaluated on a continuing basis at the supervisory level to ensure that 
they continue to meet the high standards required. At a minimum, all 
such personnel shall have had a favorably adjudicated NAC completed 
within the last 5 years prior to assignment in accordance with the 
provisions of DoD Directive 5210.65. \1\
---------------------------------------------------------------------------

    \1\ See footnote 1 to Sec. 154.2(c).
---------------------------------------------------------------------------

    (l) Education and orientation personnel. Persons selected for duties 
in connection with programs involving the education and orientation of 
military personnel shall have been the subject of a favorably 
adjudicated NAC prior to such assignment. This does not include 
teachers/administrators associated with university extension courses 
conducted on military installations in the United States. Non-US 
citizens from a country listed in appendix G shall be required to 
undergo a BI if they are employed in a position covered by this 
paragraph.
    (m) Contract guards. Any person performing contract guard functions 
shall have been the subject of a favorably adjudicated NAC prior to such 
assignment.
    (n) Transportation of arms, ammunition and explosives (AA&E). Any 
DoD military, civilian or contract employee (including commercial 
carrier) operating a vehicle or providing security to a vehicle 
transporting Category I, II or Confidential AA&E shall have been the 
subject of a favorably adjudicated NAC or ENTNAC.
    (o) Personnel occupying information systems positions designated 
ADP-I, ADP-II & ADP-III. DoD military, civilian personnel, consultants, 
and contractor personnel performing on unclassified automated 
information systems may be assigned to one of three position sensitivity 
designations (in accordance with appendix J) and investigated as 
follows:

ADP-I: BI
ADP-II: DNACI/NACI
ADP-III: NAC/ENTNAC


Those personnel falling in the above categories who require access to 
classified information will, of course, be subject to the appropriate 
investigative scope contained in Sec. 154.16(b).
    (p) Others. Requests for approval to conduct an investigation on 
other personnel, not provided for in Sec. 154.18 (b) through (o) 
considered to fall within the general provisions of Sec. 154.18(a) 
shall be submitted, detailing the justification therefor, for approval 
to the Deputy Under Secretary of Defense for Policy. Approval of such 
requests shall be contingent upon an assurance that appropriate review 
procedures exist and that adverse determinations will be made at no 
lower than major command level.



Sec. 154.19  Reinvestigation.

    (a) General. DoD policy prohibits unauthorized and unnecessary 
investigations. There are, however, certain situations and requirements 
that necessitate reinvestigation of an individual who has already been 
investigated under the provisions of this part. It is the policy to 
limit reinvestigation of individuals to the scope contained in paragraph 
5, appendix A to meet overall security requirements. Reinvestigation, 
generally, is authorized only as follows:
    (1) To prove or disprove an allegation relating to the criteria set 
forth in Sec. 154.7 of this part with respect to an individual holding 
a security clearance or assigned to a position that requires a 
trustworthiness determination;
    (2) To meet the periodic reinvestigation requirements of this part 
with respect to those security programs enumerated below; and
    (3) Upon individual request, to assess the current eligibility of 
individuals

[[Page 831]]

who did not receive favorable adjudicative action after an initial 
investigation, if a potential clearance need exists and there are 
reasonable indications that the factors upon which the adverse 
determination was made no longer exists.
    (b) Allegations related to disqualification. Whenever questionable 
behavior patterns develop, derogatory information is discovered, or 
inconsistencies arise related to the disqualification criteria outlined 
in Sec. 154.7 that could have an adverse impact on an individual's 
security status, a Special Investigative Inquiry (SII), psychiatric, 
drug or alcohol evaluation, as appropriate, may be requested to resolve 
all relevant issues in doubt. If it is essential that additional 
relevant personal data is required from the investigative subject, and 
the subject fails to furnish the required data, the subject's existing 
security clearance or assignment to sensitive duties shall be terminated 
in accordance with Sec. 154.56(b).
    (c) Access to Sensitive Compartmented Information (SCI). Each 
individual having current access to SCI shall be the subject of a PR 
conducted on a 5-year recurring basis scoped as set forth in paragraph 
5, appendix A.
    (d) Critical-sensitive positions. Each DoD civilian employee 
occupying a critical sensitive position shall be the subject of a PR 
conducted on a 5-year recurring basis scoped as set forth in paragraph 
5, appendix A.
    (e) Presidential support duties. Each individual assigned 
Presidential Support duties shall be the subject of a PR conducted on a 
5-year recurring basis scoped as set forth in paragraph 5, appendix A.
    (f) NATO staff. Each individual assigned to a NATO staff position 
requiring a COSMIC clearance shall be the subject of a PR conducted on a 
5-year recurring basis scoped as set forth in paragraph 5, appendix A. 
Those assigned to a NATO staff position requiring a NATO SECRET 
clearance shall be the subject of a new NAC conducted on a 5-year 
recurring basis.
    (g) Extraordinarily sensitive duties. In extremely limited 
instances, extraordinary national security implications associated with 
certain SCI duties may require very special compartmentation and other 
special security measures. In such instances, a Component SOIC may, with 
the approval of the Deputy Under Secretary of Defense for Policy, 
request PR's at intervals of less than 5 years as outlined in paragraph 
5, appendix A. Such requests shall include full justification and a 
recommendation as to the desired frequency. In reviewing such requests, 
the Deputy Under Secretary of Defense for Policy shall give due 
consideration to:
    (1) The potential damage that might result from the individual's 
defection or abduction.
    (2) The availability and probable effectiveness of means other than 
reinvestigation to evaluate factors concerning the individual's 
suitability for continued SCI access.
    (h) Foreign nationals employed by DoD organizations overseas. 
Foreign nationals employed by DoD organizations overseas who have been 
granted a ``Limited Access Authorization'' pursuant to Sec. 154.16(d) 
shall be the subject of a PR, as set forth in paragraph 5, appendix A, 
conducted under the auspices of DIS by the appropriate military 
department or other U.S. Government investigative agency consistent with 
Sec. 154.9(e) and appendix I of this part.
    (i) Persons accessing very sensitive information classified Secret. 
(1) Heads of DoD Components shall submit a request to the Deputy Under 
Secretary of Defense for Policy for approval to conduct periodic 
reinvestigations on persons holding Secret clearances who are exposed to 
very sensitive Secret information.
    (2) Generally, the Deputy Under Secretary of Defense for Policy will 
only approve periodic reinvestigations of persons having access to 
Secret information if the unauthorized disclosure of the information in 
question could reasonably be expected to:
    (i) Jeopardize human life or safety.
    (ii) Result in the loss of unique or uniquely productive 
intelligence sources or methods vital to U.S. security.
    (iii) Compromise technologies, plans, or procedures vital to the 
strategic advantage of the United States.
    (3) Each individual accessing very sensitive Secret information who 
has been designated by an authority listed

[[Page 832]]

in paragraph A, appendix E as requiring periodic reinvestigation, shall 
be the subject of a PR conducted on a 5-year recurring basis scoped as 
stated in paragraph 5, appendix A.
    (j) Access to Top Secret information. Each individual having current 
access to Top Secret information shall be the subject of a PR conducted 
on a 5-year recurring basis scoped as outlined in paragraph 5, appendix 
A.
    (k) Personnel occupying computer positions designated ADP-1. All DoD 
military, civilians, consultants, and contractor personnel occupying 
computer positions designated ADP-I, shall be the subject of a PR 
conducted on a 5-year recurring basis as set forth in paragraph 5, 
appendix A.



Sec. 154.20  Authority to waive investigative requirements.

    Authorized officials. Only an official designated in paragraph G, 
appendix E, is empowered to waive the investigative requirements for 
appointment to a sensitive position, assignment to sensitive duties or 
access to classified information pending completion of the investigation 
required by this section. Such waiver shall be based upon certification 
in writing by the designated official that such action is necessary to 
the accomplishment of a DoD mission. A minor investigative element that 
has not been met should not preclude favorable.



 Subpart D_Reciprocal Acceptance of Prior Investigations and Personnel 
                         Security Determinations



Sec. 154.23  General.

    Previously conducted investigations and previously rendered 
personnel security determinations shall be accepted within DoD in 
accordance with the policy set forth below.



Sec. 154.24  Prior investigations conducted by DoD investigative
organizations.

    As long as there is no break in military service/civilian employment 
greater than 12 months, any previous personnel security investigation 
conducted by DoD investigative organizations that essentially is 
equivalent in scope to an investigation required by this part will be 
accepted without requesting additional investigation. There is no time 
limitation as to the acceptability of such investigations, subject to 
the provisions of Sec. Sec. 154.8(h) and 154.25(b) of this part.



Sec. 154.25  Prior personnel security determinations made by DoD
authorities.

    (a) Adjudicative determinations for appointment in sensitive 
positions, assignment to sensitive duties or access to classified 
information (including those pertaining to SCI) made by designated DoD 
authorities will be mutually and reciprocally accepted by all DoD 
Components without requiring additional investigation, unless there has 
been a break in the individual's military service/civilian employment of 
greater than 12 months or unless derogatory information that occurred 
subsequent to the last prior security determination becomes known. A 
check of the DCII should be conducted to accomplish this task.
    (b) Whenever a valid DoD security clearance or Special Access 
authorization (including one pertaining to SCI) is on record, Components 
shall not request DIS or other DoD investigative organizations to 
forward prior investigative files for review unless:
    (1) Significant derogatory information or investigation completed 
subsequent to the date of last clearance or Special Access 
authorization, is known to the requester; or
    (2) The individual concerned is being considered for a higher level 
clearance (e.g., Secret or Top Secret) or the individual does not have a 
Special Access authorization and is being considered for one; or
    (3) There has been a break in the individual's military service/
civilian employment of greater than 12 months subsequent to the issuance 
of a prior clearance.
    (4) The most recent SCI access authorization of the individual 
concerned was based on a waiver.
    (c) Requests for prior investigative files authorized by this part 
shall be made in writing, shall cite the specific justification for the 
request (i.e., upgrade of clearance, issue Special Access

[[Page 833]]

authorization, etc.), and shall include the date, level, and issuing 
organization of the individual's current or most recent security 
clearance or Special Access authorization.
    (d) All requests for non-DoD investigative files, authorized under 
the criteria prescribed by paragraphs (a), (b) (1), (2), (3), and (4) 
and (c) of this section shall be:
    (1) Submitted on DD Form 398-2 to DIS;
    (2) Annotated as a ``Single Agency Check'' of whichever agency or 
agency developed the investigative file or to obtain the check of a 
single national agency.
    (e) When further investigation is desired, in addition to an 
existing non-DoD investigative file, a DD Form 1879 will be submitted to 
DIS with the appropriate security forms attached. The submission of a 
Single Agency Check via DD Form 398-2 will be used to obtain an existing 
investigative file or check a single national agency.
    (f) Whenever a civilian or military member transfers from one DoD 
activity to another, the losing organization's security office is 
responsible for advising the gaining organization of any pending action 
to suspend, deny or revoke the individual's security clearance as well 
as any adverse information that may exist in security, personnel or 
other files. In such instances the clearance shall not be reissued until 
the questionable information has been adjudicated.



Sec. 154.26  Investigations conducted and clearances granted by other
agencies of the Federal government.

    (a) Whenever a prior investigation or personnel security 
determination (including clearance for access to information classified 
under E.O. 12356 of another agency of the Federal Government meets the 
investigative scope and standards of this part, such investigation or 
clearance may be accepted for the investigative or clearance purposes of 
this part, provided that the employment with the Federal agency 
concerned has been continuous and there has been no break longer than 12 
months since completion of the prior investigation, and further provided 
that inquiry with the agency discloses no reason why the clearance 
should not be accepted. If it is determined that the prior investigation 
does not meet the provisions of this paragraph, supplemental 
investigation shall be requested.
    (b) A NACI conducted by OPM shall be accepted and considered 
equivalent to a DNACI for the purposes of this part.
    (c) Department of Defense policy on reciprocal acceptance of 
clearances with the Nuclear Regulatory Commission and the Department of 
Energy is set forth in DoD Directive 5210.2. \1\
---------------------------------------------------------------------------

    \1\ See footnote l to Sec. 154.2(c).
---------------------------------------------------------------------------



         Subpart E_Requesting Personnel Security Investigations



Sec. 154.30  General.

    Requests for personnel security investigations shall be limited to 
those required to accomplish the Defense mission. Such requests shall be 
submitted only by the authorities designated in Sec. 154.31. These 
authorities shall be held responsible for determining if persons under 
their jurisdiction require a personnel security investigation. Proper 
planning must be effected to ensure that investigative requests are 
submitted sufficiently in advance to allow completion of the 
investigation before the time it is needed to grant the required 
clearance or otherwise make the necessary personnel security 
determination.



Sec. 154.31  Authorized requesters.

    Requests for personnel security investigation shall be accepted only 
from the requesters designated below:
    (a) Military Departments. (1) Army.
    (i) Central Clearance Facility.
    (ii) All activity commanders.
    (iii) Chiefs of recruiting stations.
    (2) Navy (including Marine Corps).
    (i) Central Adjudicative Facility.
    (ii) Commanders and commanding officers of organizations listed on 
the Standard Navy Distribution List.
    (iii) Chiefs of recruiting stations.
    (3) Air Force.
    (i) Air Force Security Clearance Office.
    (ii) Assistant Chief of Staff for Intelligence.

[[Page 834]]

    (iii) All activity commanders.
    (iv) Chiefs of recruiting stations.
    (b) Defense Agencies--Directors of Security and activity commanders.
    (c) Organization of the Joint Chiefs of Staff--Chief, Security 
Division.
    (d) Office of the Secretary of Defense--Director for Personnel and 
Security, Washington Headquarters Services.
    (e) Commanders of Unified and Specified Commands or their designees.
    (f) Such other requesters approved by the Deputy Under Secretary of 
Defense for Policy.



Sec. 154.32  Criteria for requesting investigations.

    Authorized requesters shall use the tables set forth in appendix C 
to determine the type of investigation that shall be requested to meet 
the investigative requirement of the specific position or duty 
concerned.



Sec. 154.33  Request procedures.

    To insure efficient and effective completion of required 
investigations, all requests for personnel security investigations shall 
be prepared and forwarded in accordance with Appendix B and the 
investigative jurisdictional policies set forth in Sec. 154.9.



Sec. 154.34  Priority requests.

    To insure that personnel security investigations are conducted in an 
orderly and efficient manner, requests for priority for individual 
investigations or categories of investigations shall be kept to a 
minimum. DIS shall not assign priority to any personnel security 
investigation or categories of investigations without written approval 
of the Deputy Under Secretary of Defense for Policy.



Sec. 154.35  Personal data provided by the subject of the investigation.

    (a) To conduct the required investigation, it is necessary that the 
investigative agency be provided certain relevant data concerning the 
subject of the investigation. The Privacy Act of 1974 requires that, to 
the greatest extent practicable, personal information shall be obtained 
directly from the subject individual when the information may result in 
adverse determinations affecting an individual's rights, benefits, and 
privileges under Federal programs.
    (b) Accordingly, it is incumbent upon the subject of each personnel 
security investigation to provide the personal information required by 
this part. At a minimum, the individual shall complete the appropriate 
investigative forms, provide fingerprints of a quality acceptable to the 
FBI, and execute a signed release, as necessary, authorizing custodians 
of police, credit, education, employment, and medical and similar 
records, to provide relevant record information to the investigative 
agency. When the FBI returns a fingerprint card indicating that the 
quality of the fingerprints is not acceptable, an additional set of 
fingerprints will be obtained from the subject. In the event the FBI 
indicates that the additional fingerprints are also unacceptable, no 
further attempt to obtain more fingerprints need be made; this aspect of 
the investigation will then be processed on the basis of the name check 
of the FBI files. As an exception, a minimum of three attempts will be 
made for all Presidential Support cases, for SCI access nominations if 
the requester so indicates, and in those cases in which more than minor 
derogatory information exists. Each subject of a personnel security 
investigation conducted under the provisions of this part shall be 
furnished a Privacy Act Statement advising of the authority for 
obtaining the personal data, the principal purpose(s) for obtaining it, 
the routine uses, whether disclosure is mandatory or voluntary, the 
effect on the individual if it is not provided, and that subsequent use 
of the data may be employed as part of an aperiodic review process to 
evaluate continued eligibility for access to classified information.
    (c) Failure to respond within the time limit prescribed by the 
requesting organization with the required security forms or refusal to 
provide or permit access to the relevant information required by this 
part shall result in termination of the individual's security clearance 
or assignment to sensitive duties utilizing the procedures of Sec. 
154.59 or further administrative processing of the investigative 
request.

[[Page 835]]



                         Subpart F_Adjudication



Sec. 154.40  General.

    (a) The standard which must be met for clearance or assignment to 
sensitive duties is that, based on all available information, the 
person's loyalty, reliability, and trustworthiness are such that 
entrusting the person with classified information or assigning the 
person to sensitive duties is clearly consistent with the interests of 
national security.
    (b) The principal objective of the DoD personnel security 
adjudicative function, consequently, is to assure selection of persons 
for sensitive positions who meet this standard. The adjudication process 
involves the effort to assess the probability of future behavior which 
could have an effect adverse to the national security. Since few, if 
any, situations allow for positive, conclusive evidence of certain 
future conduct, it is an attempt to judge whether the circumstances of a 
particular case, taking into consideration prior experience with similar 
cases, reasonably suggest a degree of probability of prejudicial 
behavior not consistent with the national security. It is invariably a 
subjective determination, considering the past but necessarily 
anticipating the future. Rarely is proof of trustworthiness and 
reliability or untrustworthiness and unreliability beyond all reasonable 
doubt.
    (c) Establishing relevancy is one of the key objectives of the 
personnel security adjudicative process in evaluating investigative 
material. It involves neither the judgment of criminal guilt nor the 
determination of general suitability for a given position; rather, it is 
the assessment of a person's trustworthiness and fitness for a 
responsibility which could, if abused, have unacceptable consequences 
for the national security.
    (d) While equity demands optimal uniformity in evaluating individual 
cases, assuring fair and consistent assessment of circumstances from one 
situation to the next, each case must be weighed on its own merits, 
taking into consideration all relevant facts, and prior experience in 
similar cases. All information of record, both favorable and 
unfavorable, must be considered and assessed in terms of accuracy, 
completeness, relevance, seriousness, and overall significance. In all 
adjudications the protection of the national security shall be the 
paramount determinant.



Sec. 154.41  Central adjudication.

    (a) To ensure uniform application of the requirement of this part 
and to ensure that DoD personnel security determinations are effected 
consistent with existing statutes and Executive orders, the head of each 
Military Department and Defense Agencies shall establish a single 
Central Adjudication Facility for his/her component. The function of 
such facility shall be limited to evaluating personnel security 
investigations and making personnel security determinations. The chief 
of each Central Adjudication Facility shall have the authority to act on 
behalf of the head of the Component concerned with respect to personnel 
security determinations. All information relevant to determining whether 
a person meets the appropriate personnel security standard prescribed by 
this part shall be reviewed and evaluated by personnel security 
specialists specifically designated by the head of the Component 
concerned, or designee.
    (b) In view of the significance each adjudicative decision can have 
on a person's career and to ensure the maximum degree of fairness and 
equity in such actions, a minimum level of review shall be required for 
all clearance/access determinations related to the following categories 
of investigations:
    (1) BI/SBI/PR/ENAC/SII:
    (i) Favorable: Completely favorable investigations shall be reviewed 
and approved by an adjudicative official in the civilian grade of GS-7/9 
or the military rank of O-3.
    (ii) Unfavorable: Investigations that are not completely favorable 
shall undergo at least two levels of review by adjudicative officials, 
the second of which must be at the civilian grade of GS-11/12 or the 
military rank of O-4. When an unfavorable administrative action is 
contemplated under Sec. 154.56(b), the letter of intent (LOI) to deny 
or revoke must be approved and signed by an adjudicative official at the 
civilian grade of GS-13/14 or the military rank

[[Page 836]]

of O-5. A final notification of unfavorable administrative action, 
subsequent to the issuance of the LOI, must be approved and signed at 
the civilian grade of GS-14/15 or the military rank of O-6.
    (2) NACI/DNACI/NAC/ENTNAC:
    (i) Favorable: A completely favorable investigation may be finally 
adjudicated after one level of review provided that the decisionmaking 
authority is at the civilian grade of GS-5/7 or the military rank of 0-
2.
    (ii) Unfavorable: Investigations that are not completely favorable 
must be reviewed by an adjudicative official in the civilian grade of 
GS-7/9 or the military rank of 0-3. When an unfavorable administrative 
action is contemplated under Sec. 154.56(b), the letter of intent to 
deny/revoke must be signed by an adjudicative official at the civilian 
grade of GS-11/12 or the military rank of 0-4. A final notification of 
unfavorable administrative action subsequent to the issuance of the LOI 
must be signed by an adjudicative official at the civilian grade of GS-
13 or the military rank of 0-5 or above.
    (c) Exceptions to the above policy may only be granted by the Deputy 
Under Secretary of Defense for Policy.



Sec. 154.42  Evaluation of personnel security information.

    (a) The criteria and adjudicative policy to be used in applying the 
principles at Sec. 154.40 are set forth in Sec. 154.7(a) and appendix 
H of this part. The ultimate consideration in making a favorable 
personnel security determination is whether such determination is 
clearly consistent with the interests of national security and shall be 
an overall common sense evaluation based on all available information. 
Such a determination shall include consideration of the following 
factors:
    (1) The nature and seriousness of the conduct;
    (2) The circumstances surrounding the conduct;
    (3) The frequency and recency of the conduct;
    (4) The age of the individual;
    (5) The voluntariness of participation; and
    (6) The absence or presence of rehabilitation.
    (b) Detailed adjudication policy guidance to assist adjudicators in 
determining whether a person is eligible for access to classified 
information or assignment to sensitive duties is contained in appendix 
H. Adjudication policy for access to SCI is contained in DCID 1/14.



Sec. 154.43  Adjudicative record.

    (a) Each adjudicative determinations, whether favorable or 
unfavorable, shall be entered into the Defense Clearance and 
Investigations Index (DCII) on a daily basis, but in no case to exceed 5 
working days from the date of determination.
    (b) The rationale underlying each unfavorable personnel security 
determination, to include the appeal process, and each favorable 
personnel security determination where the investigation or information 
upon which the determination was made included significant derogatory 
information of the type set forth in Sec. 154.7 and appendix H to part 
154, shall be maintained in written or automated form and is subject to 
the provisions of 32 CFR part 285 and 32 CFR part 310. This information 
shall be maintained for a minimum of 5 years from the date of 
determination.

[58 FR 61025, Nov. 19, 1993]



             Subpart G_Issuing Clearance and Granting Access



Sec. 154.47  General.

    (a) The issuance of a personnel security clearance (as well as the 
function of determining that an individual is eligible for access to 
Special Access program information, or is suitable for assignment to 
sensitive duties or such other duties that require a trustworthiness 
determination) is a function distinct from that involving the granting 
of access to classified information. Clearance determinations are made 
on the merits of the individual case with respect to the subject's 
suitability for security clearance. Access determinations are made 
solely on the basis of the individual's need for access to classified 
information in order to

[[Page 837]]

perform official duties. Except for suspension of access pending final 
adjudication of a personnel security clearance, access may not be 
finally denied for cause without applying the provisions of Sec. 
154.56(b).
    (b) Only the authorities designated in paragraph A, appendix E are 
authorized to grant, deny or revoke personnel security clearances or 
Special Access authorizations (other than SCI). Any commander or head of 
an organization may suspend access for cause when there exists 
information raising a serious question as to the individual's ability or 
intent to protect classified information, provided that the procedures 
set forth in Sec. 154.55(b) of this part are complied.
    (c) All commanders and heads of DoD organizations have the 
responsibility for determining those position functions in their 
jurisdiction that require access to classified information and the 
authority to grant access to incumbents of such positions who have been 
cleared under the provisions of this part.



Sec. 154.48  Issuing clearance.

    (a) Authorities designated in paragraph A, appendix E shall record 
the issuance, denial or revocation of a personnel security clearance in 
the DCII (see Sec. 154.43). A record of the clearance issued shall also 
be recorded in an individual's personnel/security file or official 
personnel folder, as appropriate.
    (b) A personnel security clearance remains valid until the 
individual is separated from the Armed Forces, separated from DoD 
civilian employment, has no further official relationship with DoD, 
official action has been taken to deny, revoke or suspend the clearance 
or access, or regular access to the level of classified information for 
which the individual holds a clearance is no longer necessary in the 
normal course of his or her duties. If an individual resumes his or her 
affiliation with DoD no single break in the individual's relationship 
with DoD exists greater than 24 months and/or, the need for regular 
access to classified information at or below the previous level recurs, 
and no record of an unfavorable administrative action exists, the 
appropriate clearance shall be reissued without further investigation or 
adjudication provided there has been no additional investigation or 
development of derogatory information.
    (c) Personnel security clearances of DoD military personnel shall be 
granted denied or revoked only by the designated authority of the parent 
Military Department. Issuance, reissuance, denial, or revocation of a 
personnel security clearance by any DoD Component concerning personnel 
who have been determined to be eligible for clearance by another 
component is expressly prohibited. Investigations conducted on Army, 
Navy, and Air Force personnel by DIS will be returned only to the parent 
service of the subject for adjudication regardless of the source of the 
original request. The adjudicative authority will be responsible for 
expeditiously transmitting the results of the clearance determination. 
As an exception, the employing DoD Component may issue an interim 
clearance to personnel under their administrative jurisdiction pending a 
final eligibility determination by the individual's parent Component. 
Whenever an employing DoD Component issues an interim clearance to an 
individual from another Component, written notice of the action shall be 
provided to the parent Component.
    (d) When a Defense agency, to include Chairman of the Joint Chiefs 
of Staff, initiates an SBI (or PR) for access to SCI on a military 
member, DIS will return the completed investigation to the appropriate 
Military Department adjudicative authority in accordance with paragraph 
(c) of this section for issuance (or reissuance) of the Top Secret 
clearance. Following the issuance of the security clearance, the 
military adjudicative authority will forward the investigative file to 
the Defense agency identified in the ``Return Results To'' block of the 
DD Form 1879. The receiving agency will then forward the completed SBI 
on to DIA for the SCI adjudication in accordance with DCID 1/14.
    (e) The interim clearance shall be recorded in the DCSI (Sec. 
154.43) by the parent DoD Component in the same manner as a final 
clearance.

[52 FR 11219, Apr. 8, 1987, as amended at 58 FR 61025, Nov. 19, 1993]

[[Page 838]]



Sec. 154.49  Granting access.

    (a) Access to classified information shall be granted to persons 
whose official duties require such access and who have the appropriate 
personnel security clearance. Access determinations (other than for 
Special Access programs) are not an adjudicative function relating to an 
individual's suitability for such access. Rather they are decisions made 
by the commander that access is officially required.
    (b) In the absence of derogatory information on the individual 
concerned, DoD commanders and organizational managers shall accept a 
personnel security clearance determination, issued by any DoD authority 
authorized by this part to issue personnel security clearances, as the 
basis for granting access, when access is required, without requesting 
additional investigation or investigative files.
    (c) The access level of cleared individuals will, wherever possible, 
be entered into the Defense Clearance and Investigations Index (DCII), 
along with clearance eligibility. However, completion of the DCII Access 
field is required effective October 1, 1993 in all instances where the 
adjudicator with a personnel security investigation. Agencies are 
encouraged to start completing this field as soon as possible.

[52 FR 11219, Apr. 8, 1987, as amended at 58 FR 61025, Nov. 19, 1993]



Sec. 154.50  Administrative withdrawal.

    As set forth in Sec. 154.48 the personnel security clearance and 
access eligibility must be withdrawn when the events described therein 
occur. When regular access to a prescribed level of classified 
information is no longer required in the normal course of an 
individual's duties, the previously authorized access eligibility level 
must be administratively downgraded or withdrawn, as appropriate.



              Subpart H_Unfavorable Administrative Actions



Sec. 154.55  Requirements.

    (a) General. For purposes of this part, an unfavorable 
administrative action includes any adverse action which is taken as a 
result of a personnel security determination, as defined at Sec. 154.3 
and any unfavorable personnel security determination, as defined at 
Sec. 154.3. This subpart 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 or enlarge the 
jurisdiction or review authority of any court or administrative 
tribunal, including the Merit Systems Protection Board.
    (b) Referral for action. (1) Whenever derogatory information 
relating to the criteria and policy set forth in Sec. 154.7(a) and 
appendix H of this part is developed or otherwise becomes available to 
any DoD element, it shall be referred by the most expeditious means to 
the commander or the security officer of the organization to which the 
individual is assigned for duty. The commander or security officer of 
the organization to which the subject of the information is assigned 
shall review the information in terms of its security significance and 
completeness. If further information is needed to confirm or disprove 
the allegations, additional investigation should be requested. The 
commander of the duty organization shall insure that the parent 
Component of the individual concerned is informed promptly concerning 
the derogatory information developed and any actions taken or 
anticipated with respect thereto. However, referral of derogatory 
information to the commander or security officer shall in no way affect 
or limit the responsibility of the central adjudication facility to 
continue to process the individual for denial or revocation of clearance 
or access to classified information, in accordance with Sec. 154.56(b), 
if such action is warranted and supportable by the criteria and policy 
contained in Sec. 154.7(a) and appendix H. No unfavorable 
administrative action as defined in Sec. 154.3 may be taken by the 
organization to which the individual is assigned for duty without 
affording the person the full range of protections contained in Sec. 
154.56(b) or, in the case of SCI, Annex B, DCID 1/14.
    (2) The Director DIS shall establish appropriate alternative means 
whereby information with potentially serious security significance can 
be reported

[[Page 839]]

other than through DoD command or industrial organization channels. Such 
access shall include utilization of the DoD Inspector General 
``hotline'' to receive such reports for appropriate follow-up by DIS. 
DoD Components and industry will assist DIS in publicizing the 
availability of appropriate reporting channels. Additionally, DoD 
Components will augment the system when and where necessary. Heads of 
DoD Components will be notified immediately to take action if 
appropriate.
    (c) Suspension. (1) The commander or head of the organization shall 
determine whether, on the basis of all facts available upon receipt of 
the initial derogatory information, it is in the interests of national 
security to continue subject's security status unchanged or to take 
interim action to suspend subject's access to classified information or 
assignment to sensitive duties (or other duties requiring a 
trustworthiness determination), if information exists which raises 
serious questions as to the individual's ability to intent to protect 
classified information or execute sensitive duties (or other duties 
requiring a trustworthiness determination) until a final determination 
is made by the appropriate authority designated in appendix F to this 
part.
    (2) Whenever a determination is made to suspend a security clearance 
for access to classified information or assignment to sensitive duties 
(or other duties requiring a trustworthiness determination), the 
individual concerned must be notified of the determination in writing by 
the commander, or head of the component or adjudicative authority, to 
include a brief statement of the reason(s) for the suspension action 
consistent with the interests of national security.
    (3) Component field elements must promptly report all suspension 
actions to the appropriate central adjudicative authority, but not later 
than 10 working days from the date of the suspension action. The 
adjudicative authority will immediately update the DCII Eligibility and 
Access fields to alert all users to the individual's changed status.
    (4) Every effect shall be made to resolve suspension cases as 
expeditiously as circumstances permit. Suspension cases exceeding 180 
days shall be closely monitored and managed by the DoD Component 
concerned until finally resolved. Suspension cases pending in excess of 
12 months will be reported to the DASD(CI&SCM) for review and 
appropriate action.
    (5) A final security clearance eligibility determination shall be 
made for all suspension actions and the determination entered in the 
DCII. If, however, the individual under suspension leaves the 
jurisdiction of the Department of Defense and no longer requires a 
clearance (or trustworthiness determination), entry of the ``Z'' Code 
(adjudication action incomplete due to loss of jurisdiction) if the 
clearance eligibility field is appropriate. In no case shall a 
``suspension'' code (Code Y) remain as a permanent record in the DCII.
    (6) A clearance or access entry in the DCII shall not be suspended 
or downgraded based solely on the fact that a periodic reinvestigation 
was not conducted precisely within the 5 year time period for TOP 
SECRET/SCI or within the period prevailing for SECRET clearances under 
departmental policy. While every effort should be made to ensure that 
PRs are conducted within the prescribed time frame, agencies must be 
flexible in their administration of this aspect of the personnel 
security program so as not to undermine the ability of the Department of 
Defense to accomplish its mission.
    (d) Final unfavorable administrative actions. The authority to make 
personnel security determinations that will result in an unfavorable 
administrative action is limited to those authorities designated in 
appendix E, except that the authority to terminate the employment of a 
civilian employee of a military department or Defense agency is vested 
solely in the head of the DoD component concerned and in such other 
statutory official as may be designated. Action to terminate civilian 
employees of the Office of the Secretary of Defense and DoD Components, 
on the basis of criteria listed in Sec. 154.7 (a) through (f), shall be 
coordinated with the Deputy Under Secretary

[[Page 840]]

of Defense for Policy prior to final action by the head of the DoD 
Component. DoD civilian employees or members of the Armed Forces shall 
not be removed from employment or separated from the Service under 
provisions of this part if removal or separation can be effected under 
OPM regulations or administrative (nonsecurity) regulations of the 
military departments. However, actions contemplated in this regard shall 
not affect or limit the responsibility of the central adjudication 
facility to continue for process the individual for denial or revocation 
of a security clearance, access to classified information on or 
assignment to a sensitive position if warranted and supportable by the 
criteria and standards contained in this part.

[52 FR 11219, Apr. 8, 1987, as amended at 58 FR 61025, Nov. 19, 1993]



Sec. 154.56  Procedures.

    (a) General. No final personnel security determination shall be made 
on a member of the Armed Forces, an employee of the Department of 
Defense, a consultant to the Department of Defense, or any other person 
affiliated with the Department of Defense without granting the 
individual concerned the procedural benefits set forth in paragraph (b) 
of this section when such determination results in an unfavorable 
administrative action (see Sec. 154.55(a)). As an exception, Red Cross/
United Service Organizations employees shall be afforded the procedures 
prescribed by 32 CFR part 253.
    (b) Unfavorable administrative action procedures. Except as provided 
for below, no unfavorable administrative action shall be taken under the 
authority of this part unless the person concerned has been given:
    (1) A written statement of the reasons why the unfavorable 
administrative action is being taken. The statement shall be as 
comprehensive and detailed as the protection of sources afforded 
confidentiality under the provisions of the Privacy Act of 1974 (5 
U.S.C. 552a) and national security permit. The statement will also 
provide the name and address of the agencies (agencies) to which the 
individual may write to obtain a copy of the investigative file(s) upon 
which the unfavorable administrative action is being taken. Prior to 
issuing a statement of reasons to a civilian employee for suspension or 
removal action, the issuing authority must comply with the provisions of 
Federal Personnel Manual, chapter 732, subchapter 1, paragraph 1-6b. The 
signature authority must be as provided for in Sec. 154.41(b) (1)(ii) 
and (2)(ii).
    (2) An opportunity to reply in writing to such authority as the head 
of the Component concerned may designate;
    (3) A written response to any submission under subparagraph b. 
stating the final reasons therefor, which shall be as specific as 
privacy and national security considerations permit. The signature 
authority must be as provided for in Sec. 154.41(b) (1)(ii) and 
(2)(ii). Such response shall be as prompt as individual circumstances 
permit, not to exceed 60 days from the date of receipt of the appeal 
submitted under paragraph (b)(2) of this section provided no additional 
investigative action is necessary. If a final response cannot be 
completed within the time frame allowed, the subject must be notified in 
writing of this fact, the reasons therefor, and the date a final 
response is expected, which shall not, in any case, exceed a total of 90 
days from the date of receipt of the appeal under paragraph (b) of this 
section.
    (4) An opportunity to appeal to a higher level of authority 
designated by the Component concerned.
    (c) Exceptions to policy. Notwithstanding paragraph (b) of this 
section or any other provision of this part, nothing in this part shall 
be deemed to limit or affect the responsibility and powers of the 
Secretary of Defense to find that a person is unsuitable for entrance or 
retention in the Armed Forces, or is ineligible for a security clearance 
or assignment to sensitive duties, if the national security so requires, 
pursuant to section 7532, title 5, U.S. Code. Such authority may not be 
delegated and may be exercised only when it is determined that the 
procedures prescribed in paragraph (b) of this section are not 
appropriate. Such determination shall be conclusive.

[52 FR 11219, Apr. 8, 1987, as amended at 58 FR 61025, Nov. 19, 1993]

[[Page 841]]



Sec. 154.57  Reinstatement of civilian employees.

    (a) General. Any person whose civilian employment in the Department 
of Defense is terminated under the provisions of this part shall not be 
reinstated or restored to duty or reemployed in the Department of 
Defense unless the Secretary of Defense, or the head of a DoD Component, 
finds that such reinstatement, restoration, or reemployment is clearly 
consistent with the interests of national security. Such a finding shall 
be made a part of the personnel security record.
    (b) Reinstatement benefits. A DoD civilian employee whose employment 
has been suspended or terminated under the provisions of this part and 
who is reinstated or restored to duty under the provisions of section 
3571 of title 5 U.S. Code is entitled to benefits as provided for by 
section 3 of Pub. L. 89-380.



             Subpart I_Continuing Security Responsibilities



Sec. 154.60  Evaluating continued security eligibility.

    (a) General. A personnel security determination is an effort to 
assess the future trustworthiness of an individual in terms of the 
likelihood of the individual preserving the national security. Obviously 
it is not possible at a given point to establish with certainty that any 
human being will remain trustworthy. Accordingly the issuance of a 
personnel security clearance or the determination that a person is 
suitable for assignment to sensitive duties cannot be considered as a 
final personnel security action. Rather, there is the clear need to 
assure that, after the personnel security determination is reached, the 
individual's trustworthiness is a matter of continuing assessment. The 
responsibility for such assessment must be shared by the organizational 
commander or manager, the individual's supervisor and, to a large 
degree, the individual himself. Therefore, the heads of DoD Components 
shall establish and maintain a program designed to evaluate on a 
continuing basis the status of personnel under their jurisdiction with 
respect to security eligibility. This program should insure close 
coordination between security authorities and personnel, medical, legal 
and supervisory personnel to assure that all pertinent information 
available within a command is considered in the personnel security 
process.
    (b) Management responsibility. (1) Commanders and heads of 
organizations shall insure that personnel assigned to sensitive duties 
(or other duties requiring a trustworthiness determination under the 
provisions of this part) are initially indoctrinated and periodically 
instructed thereafter on the national security implication of their 
duties and on their individual responsibilities.
    (2) The heads of all DoD components are encouraged to develop 
programs designed to counsel and assist employees in sensitive positions 
who are experiencing problems in their personal lives with respect to 
such areas as financial, medical or emotional difficulties. Such 
initiatives should be designed to identify potential problem areas at an 
early stage so that any assistance rendered by the employing activity 
will have a reasonable chance of precluding long term, job-related 
security problems.
    (c) Supervisory responsibility. Security programs shall be 
established to insure that supervisory personnel are familiarized with 
their special responsibilities in matters pertaining to personnel 
security with respect to personnel under their supervision. Such 
programs shall provide practical guidance as to indicators that may 
signal matters of personnel security concern. Specific instructions 
should be disseminated concerning reporting procedures to enable the 
appropriate authority to take timely corrective action to protect the 
interests of national security as well as to provide any necessary help 
to the individual concerned to correct any personal problem which may 
have a bearing upon the individual's continued eligibility for access.
    (1) In conjunction with the submission of PRs stated in Sec. 
154.19, and paragraph 5, appendix A, supervisors will be required to 
review an individual's DD Form 398 to ensure that no significant adverse 
information of which they are aware and that may have a bearing on

[[Page 842]]

subject's continued eligibility for access to classified information is 
omitted.
    (2) If the supervisor is not aware of any significant adverse 
information that may have a bearing on the subject's continued 
eligibility for access, then the following statement must be documented, 
signed and dated, and forwarded to DIS with the investigative package.

    I am aware of no information of the type contained at Appendix D, 32 
CFR part 154, relating to subject's trustworthiness, reliability, or 
loyalty that may reflect adversely on his/her ability to safeguard 
classified information.

    (3) If the supervisor is aware of such significant adverse 
information, the following statement shall be documented, signed and 
dated and forwarded to DIS with the investigative package, and a written 
summary of the derogatory information forwarded to DIS with the 
investigative package:

    I am aware of information of the type contained in Appendix D, 32 
CFR part 154, relating to subject's trustworthiness, reliability, or 
loyalty that may reflect adversely on his/her ability to safeguard 
classified information and have reported all relevant details to the 
appropriate security official(s).

    (4) In conjunction with regularly scheduled fitness and performance 
reports of military and civilian personnel whose duties entail access to 
classified information, supervisors will include a comment in accordance 
with paragraphs (c) (2) and (3) of this section as well as a comment 
regarding an employee's discharge of security responsibilities, pursuant 
to their Component guidance.
    (d) Individual responsibility. (1) Individuals must familiarize 
themselves with pertinent security regulations that pertain to their 
assigned duties. Further, individuals must be aware of the standards of 
conduct required of persons holding positions of trust. In this 
connection, individuals must recognize and avoid the kind of personal 
behavior that would result in rendering one ineligible for continued 
assignment in a position of trust. In the final analysis, the ultimate 
responsibility for maintaining continued eligibility for a position of 
trust rests with the individual.
    (2) Moreover, individuals having access to classified information 
must report promptly to their security office:
    (i) Any form of contact, intentional or otherwise, with individuals 
of any nationality, whether within or outside the scope of the 
employee's official activities, in which:
    (A) Illegal or unauthorized access is sought to classified or 
otherwise sensitive information.
    (B) The employee is concerned that he or she may be the target of 
exploitation by a foreign entity.
    (ii) Any information of the type referred to in Sec. 154.7 or 
appendix H to this part.
    (e) Co-worker responsibility. Co-workers have an equal obligation to 
advise their supervisor or appropriate security official when they 
become aware of information with potentially serious security 
significance regarding someone with access to classified information or 
employed in a sensitive position.

[52 FR 11219, Apr. 8, 1987, as amended at 58 FR 61025, Nov. 19, 1993]



Sec. 154.61  Security education.

    (a) General. The effectiveness of an individual in meeting security 
responsibilities is proportional to the degree to which the individual 
understands them. Thus, an integral part of the DoD security program is 
the indoctrination of individuals on their security responsibilities. 
Moreover, such indoctrination is essential to the efficient functioning 
of the DoD personnel security program. Accordingly, heads of DoD 
Components shall establish procedures in accordance with this chapter 
whereby persons requiring access to classified information, or being 
assigned to positions that require the occupants to be determined 
trustworthy are periodically briefed as to their security 
responsibilities.
    (b) Initial briefing. (1) All persons cleared for access to 
classified information or assigned to duties requiring a trustworthiness 
determination under this part shall be given an initial security 
briefing. The briefing shall be in accordance with the requirements of 
32 CFR part 159 and consist of the following elements:

[[Page 843]]

    (i) The specific security requirements of their particular job.
    (ii) The techniques employed by foreign intelligence activities in 
attempting to obtain classified information and their responsibility for 
reporting such attempts.
    (iii) The prohibition against disclosing classified information, by 
any means, to unauthorized persons or discussing or handling classified 
information in a manner that would make it accessible to unauthorized 
persons.
    (iv) The penalties that may be imposed for security violations.
    (2) If an individual declines to execute Standard Form 312, 
``Classified Information Nondisclosure Agreement'' (replaced the 
Standard Form 189), the DoD Component shall initiate action to deny or 
revoke the security clearance of such person in accordance with Sec. 
154.56(b).
    (c) Refresher briefing. Programs shall be established to provide, at 
a minimum, annual security training for personnel having continued 
access to classified information. The elements outlined in 32 CFR part 
159 shall be tailored to fit the needs of experienced personnel.
    (d) Foreign travel briefing. While world events during the past 
several years have diminished the threat to our national security from 
traditional cold-war era foreign intelligence services, foreign 
intelligence service continue to pursue the unauthorized acquisition of 
classified or otherwise sensitive U.S. Government information, through 
the recruitment of U.S. Government employees with access to such 
information. Through security briefings and education, the Department of 
Defense continues to provide for the protection of information and 
technology considered vital to the national security interests from 
illegal or unauthorized acquisition by foreign intelligence services.
    (1) DoD Components will establish appropriate internal procedures 
requiring all personnel possessing a DoD security clearance to report to 
their security office all contacts with individuals of any nationality, 
whether within or outside the scope of the employee's official 
activities, in which:
    (i) Illegal or unauthorized access is sought to classified or 
otherwise sensitive information.
    (ii) The employee is concerned that he or she may be the target of 
exploitation by a foreign entity.
    (2) The DoD security manager, security specialist or other qualified 
individual will review and evaluate the reported information. Any facts 
or circumstances of a reported contact with a foreign national that 
appear to:
    (i) Indicate an attempt or intention to obtain unauthorized access 
to proprietary, sensitive, or classified information or technology;
    (ii) Offer a reasonable potential for such; or
    (iii) Indicate the possibility of continued contact with the foreign 
national for such purposes, shall be promptly reported to the 
appropriate counterintelligence agency.
    (e) Termination briefing. (1) Upon termination of employment 
administrative withdrawal of security clearance, or contemplated absence 
from duty or employment for 60 days or more, DoD military personnel and 
civilian employees shall be given a termination briefing, return all 
classified material, and execute a Security Termination Statement. This 
statement shall include:
    (i) An acknowledgment that the individual has read the appropriate 
provisions of the Espionage Act, other criminal statutes, DoD 
Regulations applicable to the safeguarding of classified information to 
which the individual has had access, and understands the implications 
thereof;
    (ii) A declaration that the individual no longer has any documents 
or material containing classified information in his or her possession;
    (iii) An acknowledgment that the individual will not communicate or 
transmit classified information to any unauthorized person or agency; 
and
    (iv) An acknowledgment that the individual will report without delay 
to the FBI or the DoD Component concerned any attempt by any 
unauthorized person to solicit classified information.

[[Page 844]]

    (2) When an individual refuses to execute a Security Termination 
Statement, that fact shall be reported immediately to the security 
manager of the cognizant organization concerned. In any such case, the 
individual involved shall be debriefed orally. The fact of a refusal to 
sign a Security Termination Statement shall be reported to the Director, 
Defense Investigative Service who shall ensure that it is recorded in 
the Defense Clearance and Investigations Index.
    (3) The Security Termination Statement shall be retained by the DoD 
Component that authorized the individual access to classified 
information for the period specified in the Component's records 
retention schedules, but for a minimum of 2 years after the individual 
is given a termination briefing.
    (4) In addition to the provisions of paragraphs (e)(1), (e)(2), and 
(e)(3) of this section, DoD Components shall establish a central 
authority to be responsible for ensuring that Security Termination 
Statements are executed by senior personnel (general officers, flag 
officers and GS-16s and above). Failure on the part of such personnel to 
execute a Security Termination Statement shall be reported immediately 
to the Deputy Under Secretary of Defense for Policy.

[52 FR 11219, Apr. 8, 1987, as amended at 58 FR 61026, Nov. 19, 1993]



     Subpart J_Safeguarding Personnel Security Investigative Records



Sec. 154.65  General.

    In recognition of the sensitivity of personnel security reports and 
records, particularly with regard to individual privacy, it is 
Department of Defense policy that such personal information shall be 
handled with the highest degree of discretion. Access to such 
information shall be afforded only for the purpose cited herein and to 
persons whose official duties require such information. Personnel 
security investigative reports may be used only for the purposes of 
determining eligibility of DoD military and civilian personnel, 
contractor employees, and other persons affiliated with the Department 
of Defense, for access to classified information, assignment or 
retention in sensitive duties or other specifically designated duties 
requiring such investigation, or for law enforcement and 
counterintelligence investigations. Other uses are subject to the 
specific written authorization of the Deputy Under Secretary of Defense 
for Policy.



Sec. 154.66  Responsibilities.

    DoD authorities responsible for administering the DoD personnel 
security program and all DoD personnel authorized access to personnel 
security reports and records shall ensure that the use of such 
information is limited to that authorized by this part and that such 
reports and records are safeguarded as prescribed herein. The heads of 
DoD Components and the Deputy Under Secretary of Defense for Policy for 
the Office of the Secretary of Defense shall establish internal controls 
to ensure adequate safeguarding and limit access to and use of personnel 
security reports and records as required by Sec. Sec. 154.67 and 
154.68.



Sec. 154.67  Access restrictions.

    Access to personnel security investigative reports and personnel 
security clearance determination information shall be authorized only in 
accordance with 32 CFR parts 286 and 286a and with the following:
    (a) DoD personnel security investigative reports shall be released 
outside of the DoD only with the specific approval of the investigative 
agency having authority over the control and disposition of the reports.
    (b) Within DoD, access to personnel security investigative reports 
shall be limited to those designated DoD officials who require access in 
connection with specifically assigned personnel security duties, or 
other activities specifically identified under the provisions of Sec. 
154.65.
    (c) Access by subjects of personnel security investigative reports 
shall be afforded in accordance with 32 CFR part 286a.
    (d) Access to personnel security clearance determination information 
shall be made available, other than provided for in paragraph (c) of 
this

[[Page 845]]

section, through security channels, only to DoD or other officials of 
the Federal Government who have an official need for such information.



Sec. 154.68  Safeguarding procedures.

    Personnel security investigative reports and personnel security 
determination information shall be safeguarded as follows:
    (a) Authorized requesters shall control and maintain accountability 
of all reports of investigation received.
    (b) Reproduction, in whole or in part, of personnel security 
investigative reports by requesters shall be restricted to the minimum 
number of copies required for the performance of assigned duties.
    (c) Personnel security investigative reports shall be stored in a 
vault, safe, or steel file cabinet having at least a lockbar and an 
approved three-position dial-type combination padlock or in a similarly 
protected area/container.
    (d) Reports of DoD personnel security investigations shall be sealed 
in double envelopes or covers when transmitted by mail or when carried 
by persons not authorized access to such information. The inner cover 
shall bear a notation substantially as follows:
TO BE OPENED ONLY BY OFFICIALS DESIGNATED TO RECEIVE REPORTS OF 
    PERSONNEL SECURITY INVESTIGATION
    (e) An individual's status with respect to a personnel security 
clearance or a Special Access authorization is to be protected as 
provided for in 32 CFR part 286.



Sec. 154.69  Records disposition.

    (a) Personnel security investigative reports, to include OPM NACIs 
may be retained by DoD recipient organizations, only for the period 
necessary to complete the purpose for which it was originally requested. 
Such reports are considered to be the property of the investigating 
organization and are on loan to the recipient organization. All copies 
of such reports shall be destroyed within 90 days after completion of 
the required personnel security determination. Destruction shall be 
accomplished in the same manner as for classified information in 
accordance with 32 CFR part 159.
    (b) DoD record repositories authorized to file personnel security 
investigative reports shall destroy PSI reports of a favorable or of a 
minor derogatory nature 15 years after the date of the last action. That 
is, after the completion date of the investigation or the date on which 
the record was last released to an authorized user--whichever is later. 
Personnel security investigative reports resulting in an unfavorable 
administrative personnel action or court-martial or other investigations 
of a significant nature due to information contained in the 
investigation shall be destroyed 25 years after the date of the last 
action. Files in this latter category that are determined to be of 
possible historical value and those of widespread public or 
congressional interest may be offered to the National Archives after 15 
years.
    (c) Personnel security investigative reports on persons who are 
considered for affiliation with DoD will be destroyed after 1 year if 
the affiliation is not completed.



Sec. 154.70  Foreign source information.

    Information that is classified by a foreign government is exempt 
from public disclosure under the Freedom of Information and Privacy 
Acts. Further, information provided by foreign governments requesting an 
express promise of confidentiality shall be released only in a manner 
that will not identify or allow unauthorized persons to identify the 
foreign agency concerned.



                      Subpart K_Program Management



Sec. 154.75  General.

    To ensure uniform implementation of the DoD personnel security 
program throughout the Department, program responsibility shall be 
centralized at DoD Component level.



Sec. 154.76  Responsibilities.

    (a) The Assistant Secretary of Defense for Command, Control, 
Communications, and Intelligence (ASD(C31)) shall have primary 
responsibility for providing guidance, oversight, development and 
approval for policy and procedures governing personnel security

[[Page 846]]

program matters within the Department:
    (1) Provide program management through issuance of policy and 
operating guidance.
    (2) Provide staff assistance to the DoD Components and defense 
agencies in resolving day-to-day security policy and operating problems.
    (3) Conduct inspections of the DoD Components for implementation and 
compliance with DoD security policy and operating procedures.
    (4) Provide policy, oversight, and guidance to the component 
adjudication functions.
    (5) Approve, coordinate and oversee all DoD personnel security 
research initiatives and activities.
    (b) The General Counsel shall ensure that the program is 
administered in a manner consistent with the laws; all proceedings are 
promptly initiated and expeditiously completed; and that the rights of 
individuals involved are protected, consistent with the interests of 
national security. The General Counsel shall also ensure that all 
relevant decisions of the courts and legislative initiatives of the 
Congress are obtained on a continuing basis and that analysis of the 
foregoing is accomplished and disseminated to DoD personnel security 
program management authorities.
    (c) The Heads of the Components shall ensure that:
    (1) The DoD personnel security program is administered within their 
area of responsibility in a manner consistent with this part.
    (2) A single authority within the office of the head of the DoD 
Component is assigned responsibility for administering the program 
within the Component.
    (3) Information and recommendations are provided the Assistant 
Secretary of Defense for Command, Control, Communications, and 
Intelligence (ASD(C31)) and the General Counsel at their request 
concerning any aspect of the program.

[52 FR 11219, Apr. 8, 1987, as amended at 58 FR 61026, Nov. 19, 1993]



Sec. 154.77  Reporting requirements.

    (a) The OASD(C31) shall be provided personnel security program 
management data by the Defense Data Manpower Center (DMDC) by December 
31 each year for the preceding fiscal year. To facilitate accurate 
preparation of this report, all adjudicative determinations must be 
entered into the DC11 by all DoD central adjudication facilities no 
later than the end of the fiscal year. The information required below is 
essential for basic personnel security program management and in 
responding to requests from the Secretary of Defense and Congress. The 
report shall cover the preceding fiscal year, broken out by clearance 
category, according to military (officer or enlisted), civilian or 
contractor status and by the central adjudication facility that took the 
action, using the enclosed format:
    (1) Number of Top Secret, Secret, and Confidential clearances 
issued;
    (2) Number of Top Secret, Secret, and Confidential clearances 
denied;
    (3) Number of Top Secret, Secret, and Confidential clearances 
revoked;
    (4) Number of SCI access determinations issued;
    (5) Number of SCI access determinations denied;
    (6) Number of SCI access determinations revoked; and
    (7) Total number of personnel holding a clearance for Top Secret, 
Secret, Confidential and Sensitive Compartmented Information as of the 
end of the fiscal year.
    (b) The Defense Investigative Service (DIS) shall provide the 
OASD(C3I) a quarterly report that reflects investigative cases opened 
and closed during the most recent quarter, by case category type, and by 
major requester. The information provided by DIS is essential for 
evaluating statistical data regarding investigative workload and the 
manpower required to perform personnel security investigations. Case 
category types include National Agency Checks (NACs); Expanded NACs; 
Single Scope Background Investigations (SSBIs), Periodic 
Reinvestigations (PRs); Secret Periodic Reinvestigations (SPRs); Post 
Adjudicative (PA); Special Investigative Inquiries (SIIs); and Limited 
Inquiries (LIs). This report shall be forwarded to OASD(C3I) within 45 
days after the end of each quarter.

[[Page 847]]

    (c) The reporting requirement for DMDC and DIS has been assigned 
Report Control Symbol DD-C3I(A) 1749.

[58 FR 61026, Nov. 19, 1993]



Sec. 154.78  Inspections.

    The heads of DoD Components shall assure that personnel security 
program matters are included in their administrative inspection 
programs.



            Sec. Appendix A to Part 154--Investigative Scope

    This appendix prescribes the scope of the various types of personnel 
security investigations.
    1. National Agency Check (NAC). Components of a NAC. At a minimum, 
the first three of the described agencies (DCII, FBI/HQ, and FBI/ID) 
below shall be included in each complete NAC; however, a NAC may also 
include a check of any or all of the other described agencies, if 
appropriate.
    a. DCII records consist of an alphabetical index of personal names 
and impersonal titles that appear as subjects or incidentals in 
investigative documents held by the criminal, counterintelligence, 
fraud, and personnel security investigative activities of the three 
military departments, DIS, Defense Criminal Investigative Service 
(DCIS), and the National Security Agency. DCII records will be checked 
on all subjects of DoD investigations.
    b. FBI/HQ has on file copies of investigations conducted by the FBI. 
The FBI/HQ check, included in every NAC, consists of a review of files 
for information of a security nature and that developed during 
applicant-type investigations.
    c. An FBI/ID check, included in every NAC (but not ENTNAC), is based 
upon a technical fingerprint search that consists of a classification of 
the subject's fingerprints and comparison with fingerprint cards 
submitted by law enforcement activities. If the fingerprint card is not 
classifiable, a ``name check only'' of these files is automatically 
conducted.
    d. OPM. The files of OPM contain the results of investigations 
conducted by OPM under Executive Orders 9835 and 10450, those requested 
by the Nuclear Regulatory Commission (NRC), the Department of Energy 
(DOE) and those requested since August 1952 to serve as a basis for 
``Q'' clearances. Prior to that date, ``Q'' clearance investigations 
were conducted by the FBI. A ``Q'' clearance is granted to individuals 
who require access to DOE information. In order to receive a ``Q'' 
clearance, a full field background investigation must be completed on 
the individual requiring access in accordance with the Atomic Energy Act 
of 1954. Also on file are the results of investigations on the operation 
of the Merit System, violations of the Veterans Preference Act, appeals 
of various types, fraud and collusion in Civil Service examinations and 
related matters, data on all Federal employment, and an index of all BIs 
on civilian employees or applicants completed by agencies of the 
Executive Branch of the U.S. Government. The OPM files may also contain 
information relative to U.S. citizens who are, or who were, employed by 
a United Nations organization or other public international organization 
such as the Organization of American States. OPM records are checked on 
all persons who are, or who have been, civilian employees of the U.S. 
Government; or U.S. citizens who are, or who have been, employed by a 
United Nations organization or other public international organization; 
and on those who have been granted security clearances by the NRC or 
DOE.
    e. Immigration and Naturalization Service (I&NS). The files of I&NS 
contain (or show where filed) naturalization certificates, certificates 
of derivative citizenship, all military certificates of naturalization, 
repatriation files, petitions for naturalization and declaration of 
intention, visitors' visas, and records of aliens (including government 
officials and representatives of international organizations) admitted 
temporarily into the U.S. I&NS records are checked when the subject is:
    (1) An alien in the U.S., or
    (2) A naturalized citizen whose naturalization has not been 
verified, or
    (3) An immigrant alien, or
    (4) A U.S. citizen who receives derivative citizenship through the 
naturalization of one or both parents, provided that such citizenship 
has not been verified in a prior investigation.
    f. State Department. The State Department maintains the following 
records:
    (1) Security Division (S/D) files contain information pertinent to 
matters of security, violations of security, personnel investigations 
pertinent to that agency, and correspondence files from 1950 to date. 
These files are checked on all former State Department employees.
    (2) Passport Division (P/D) shall be checked if subject indicates 
U.S. citizenship due to birth in a foreign country of American parents. 
This is a check of State Department Embassy files to determine if 
subject's birth was registered at the U.S. Embassy in the country where 
he was born. Verification of this registration is verification of 
citizenship.
    g. Central Intelligence Agency (CIA). The files of CIA contain 
information on present and former employees, including members of the 
Office of Strategic Services (OSS), applicants for employment, foreign 
nationals, including immigrant aliens in the U.S., and

[[Page 848]]

U.S. citizens traveling outside the U.S. after July 1, 1946. These files 
shall be checked under the following guidelines.

------------------------------------------------------------------------
            Investigation                   Criteria for CIA Checks
------------------------------------------------------------------------
NAC, DNACI or ENTNAC................  Residence anywhere outside of the
                                       U.S. for a year or more since age
                                       18 except under the auspices of
                                       the U.S. Government; and, travel,
                                       education, residence, or
                                       employment since age 18 in any
                                       designated country (Appendix G).
BI..................................  Same as NAC, DNACI, and ENTNAC
                                       requirements plus travel,
                                       residence, employment, and
                                       education outside the U.S. for
                                       more than a continuous 3-month
                                       period during the past 5 years,
                                       or since age 18, except when
                                       under the auspices of the
                                       Government.
SBI.................................  Same as BI requirements except the
                                       period of the investigation will
                                       cover the past 15 years, or since
                                       age 18. Also when subject's
                                       employment, education or
                                       residence has occurred overseas
                                       for a period of more than one
                                       year under the auspices of the
                                       U.S. Government, such checks will
                                       be made.
------------------------------------------------------------------------

    These files shall also be checked if subject has been an employee of 
CIA or when other sources indicate that CIA may have pertinent 
information.
    h. Military Personnel Record Center files are maintained by separate 
departments of the Armed Forces, General Services Administration and the 
Reserve Records Centers. They consist of the Master Personnel Records of 
retired, separated, reserve, and active duty members of the Armed Force. 
These records shall be checked when the requester provides required 
identifying data indicating service during the last 15 years.
    i. Treasury Department. The files of Treasury Department agencies 
(Secret Service, Internal Revenue Service, and Bureau of Customs) will 
be checked only when available information indicates that an agency of 
the Treasury Department may be reasonably expected to have pertinent 
information.
    j. The files of other agencies such as the National Guard Bureau, 
the Defense Industrial Security Clearance Office (DISCO), etc., will be 
checked when pertinent to the purpose for which the investigation is 
being conducted.
    2. DoD National Agency Check plus Written Inquires (DNACI):
    a. Scope: The time period covered by the DNACI is limited to the 
most recent five (5) years, or since the 18th birthday, whichever is 
shorter, provided that the investigation covers at least the last two 
(2) full years of the subject's life, although it may be extended to the 
period necessary to resolve any questionable or derogatory information. 
No investigation will be conducted prior to an individual's 16th 
birthday. All DNACI investigation information will be entered on the DD 
Form 398-2 and FD-Form 258 and forwarded to the Defense Investigative 
Service (paragraph D, Appendix B).
    b. Components of a DNACI:
    (1) NAC. This is the same as described in paragraph 1, above.
    (2) Credit. (a) A credit bureau check will be conducted to cover the 
50 States, the District of Columbia, Puerto Rico, Guam, and the Virgin 
Islands, at all locations where subject has resided (including duty 
stations and home ports), been employed, or attended school for 6 months 
(cumulative) during the past five (5) years.
    (b) When information developed reflects unfavorably upon a person's 
current credit reputation or financial responsibility, the investigation 
will be expanded as necessary.
    (3) Employment--(a) Non-Federal Employment. (1) Verify, via written 
inquiry, all employment within the period of investigation with a 
duration of six (6) months or more. Current employment will be checked 
regardless of duration.
    (2) If all previous employments have been less than 6 months long, 
the most recent employment, in addition to the current, will be checked 
in all cases.
    (3) Seasonal holiday, part-time and temporary employment need not be 
checked unless subparagraph 2 above applies.
    (b) Federal employment. All Federal employment (to include military 
assignments) within the period of investigation will be verified by the 
requester through locally available records, and a statement reflecting 
that such checks have been favorably accomplished will be contained in 
the investigative request. Those that cannot be verified in this fashion 
will be accomplished via written inquiry by DIS (within the 50 United 
States, Puerto Rico, Guam, and the Virgin Islands).
    3. Background Investigation (BI). The period of investigation for 
the BI is 5 years and applies to military, civilian, and contractor 
personnel.
    a. NAC. See paragraph 1, above.
    b. Local Agency Checks (LAC). Same as paragraph 4j, below, except 
period of coverage is five years.
    c. Credit checks. Same as paragraph 4i, below.
    d. SUBJECT Interview (SI). This is the principal component of a BI. 
In some instances an issue will arise after the primary SI and a 
secondary interview will be conducted. Interviews in the latter category 
are normally ``issue'' interviews that will be reported in the standard 
BI narrative format.
    e. Employment records. Employment records will be checked at all 
places where employment references are interviewed with the exception of 
current Federal employment when the requester indicates that such 
employment has been verified with favorable results.
    f. Employment reference coverage. A minimum of three references, 
either supervisors or

[[Page 849]]

co-workers, who have knowledge of the SUBJECT's activities in the work 
environment will be interviewed. At least one employment reference at 
the current place of employment will always be interviewed with the 
exception of an individual attending military basic training, or other 
military training schools lasting less than 90 days. However, if the 
SUBJECT has only been at the current employment for less than 6 months, 
it will be necessary to go not only to his or her current employment 
(for example, for one employment reference) but also to the preceding 
employment of at least 6 months for additional employment references. If 
the SUBJECT has not had prior employment of at least 6 months, 
interview(s) will be conducted at the most recent short-term employment 
in addition to the current employment.
    g. Developed and Listed Character References. A minimum of three 
developed character references (DCR) whose combined association with the 
SUBJECT covers the entire period of investigation will be interviewed. 
If coverage cannot be obtained through the DCRs, listed character 
reference (LCR) will be contacted to obtain coverage.
    h. Unfavorable information. Unfavorable information developed in the 
field will be expanded.
    4. Special Background Investigation (SBI)--a. Components of an SBI. 
The period of investigation for an SBI is the last 15 years or since the 
18th birthday, whichever is the shorter period, provided that the 
investigation covers at least the last 2 full years of the subject's 
life. No investigation will be conducted for the period prior to an 
individual's 16th birthday. Emphasis shall be placed on peer coverage 
whenever interviews are held with personal sources in making education, 
employment, and reference (including developed) contact.
    b. NAC. In addition to conducting a NAC on the subject of the 
investigation, the following additional requirements apply.
    (1) A DCII, FBI/ID name check only and FBI/HQ check shall be 
conducted on subject's current spouse or cohabitant. In addition, such 
other national agency checks as deemed appropriate based on information 
on the subject's SPH or PSQ shall be conducted.
    (2) A check of FBI/HQ files on members of subject's immediate family 
who are aliens in the U.S. or immigrant aliens who are 18 years of age 
or older shall be conducted. As used throughout the part, members of 
subject's immediate family include the following:
    (a) Current spouse.
    (b) Adult children, 18 years of age or older, by birth, adoption, or 
marriage.
    (c) Natural, adopted, foster, or stepparents.
    (d) Guardians.
    (e) Brothers and sisters either by birth, adoption, or remarriage of 
either parent.
    (3) The files of CIA shall be reviewed on alien members of subject's 
immediate family who are 18 years of age or older, regardless of whether 
or not these persons reside in the U.S.
    (4) I&NS files on members of subject's immediate family 18 years of 
age or older shall be reviewed when they are:
    (a) Aliens in the U.S., or
    (b) Naturalized U.S. citizens whose naturalization has not been 
verified in a prior investigation, or
    (c) Immigrant aliens, or
    (d) U.S. citizens born in a foreign country of American parent(s) or 
U.S. citizens who received derivative citizenship through the 
naturalization of one or both parents, provided that such citizenship 
has not been verified in a prior investigation.
    c. Birth. Verify subject's date and place of birth (DPOB) through 
education, employment and/or other records. Verify through Bureau of 
Vital Statistics (BVS) records if not otherwise verified under d., 
below, or if a variance is developed.
    d. Citizenship. Subject's citizenship status must be verified in all 
cases. U.S. citizens who are subjects of investigation will be required 
to produce documentation that will confirm their citizenship. Normally 
such documentation should be presented to the DoD Component concerned 
prior to the initiation of the request for investigation. When such 
documentation is not readily available, investigative action may be 
initiated with the understanding that the designated authority in the 
DoD Component will be provided with the documentation prior to the 
issuance of a clearance. DIS will not check the BVS for native-born U.S. 
citizens except as indicated in 4.c. above. In the case of foreign-born 
U.S. citizens, DIS will check I&NS records. The citizenship status of 
all foreign-born members of subject's immediate family shall be 
verified. Additionally, when the investigation indicates that a member 
of subject's immediate family has not obtained U.S. citizenship after 
having been eligible for a considerable period of time, an attempt 
should be made to determine the reason. The documents listed below are 
acceptable for proof of U.S. citizenship for personnel security 
determination purposes:
    (1) A birth certificate must be presented if the individual was born 
in the United States. To be acceptable, the certificate must show that 
the birth record was filed shortly after birth and must be certified 
with the registrar's signature and the raised, impressed, or 
multicolored seal of his office except for States or jurisdictions 
which, as a matter of policy, do not issue certificates with a raised or 
impressed seal. Uncertified copies of birth certificates are not 
acceptable.
    (a) A delayed birth certificate (a record filed more than one year 
after the date of birth) is acceptable provided that it shows

[[Page 850]]

that the report of birth was supported by acceptable secondary evidence 
of birth as described in subparagraph (b), below.
    (b) If such primary evidence is not obtainable, a notice from the 
registrar stating that no birth record exists should be submitted. The 
notice shall be accompanied by the best combination of secondary 
evidence obtainable. Such evidence may include a baptismal certificate, 
a certificate of circumcision, a hospital birth record, affidavits of 
persons having personal knowledge of the facts of the birth, or other 
documentary evidence such as early census, school, or family bible 
records, newspaper files and insurance papers. Secondary evidence should 
have been created as close to the time of birth as possible.
    (c) All documents submitted as evidence of birth in the United 
States shall be original or certified documents. Uncertified copies are 
not acceptable.
    (2) A certificate of naturalization shall be submitted if the 
individual claims citizenship by naturalization.
    (3) A certificate of citizenship issued by the I&NS shall be 
submitted if citizenship was acquired by birth abroad to a U.S. citizen 
parent or parents.
    (4) A Report of Birth Abroad of A Citizen of The United States of 
America (Form FS-240), a Certification of Birth (Form FS-545 or DS-
1350), or a Certificate of Citizenship is acceptable if citizenship was 
acquired by birth abroad to a U.S. citizen parent or parents.
    (5) A passport or one in which the individual was included will be 
accepted as proof of citizenship.
    e. Education. (1) Verify graduation or attendance at institutions of 
higher learning in the U.S. within the last 15 years, if such attendance 
was not verified during a prior investigation.
    (2) Attempts will be made to review records at overseas educational 
institutions when the subject resided overseas in excess of one year.
    (3) Verify attendance or graduation at the last secondary school 
attended within the past 10 years if there was no attendance at an 
institution of higher learning within the period of investigation.
    (4) Verification of attendance at military academies is only 
required when the subject failed to graduate.
    f. Employment. (1) Non-Federal employment. Verify all employment 
within the period of investigation to include seasonal, holiday, 
Christmas, part-time, and temporary employment. Interview one supervisor 
and one co-worker at subject's current place of employment as well as at 
each prior place of employment during the past 10 years of six months 
duration or longer. The interview requirement for supervisors and co-
workers does not apply to seasonal, holiday, Christmas, part-time, and 
temporary employment (4 months or less) unless there are unfavorable 
issues to resolve or the letter of inquiry provides insufficient 
information.
    (2) Federal employment. All Federal employment will be verified 
within the period of investigation to include Christmas, seasonal 
temporary, summer hire, part-time, and holiday employment. Do not verify 
Federal employment through review of records if already verified by the 
requester. If Federal employment has not been verified by the requester, 
then subject's personnel file at his/her current place of employment 
will be reviewed. All previous Federal employment will be verified 
during this review. In the case of former Federal employees, records 
shall be examined at the Federal Records Center in St. Louis, Missouri. 
Interview one supervisor and one co-worker at all places of employment 
during the past 10 years if so employed for 6 months or more.
    (3) Military employment. Military service for the last 15 years 
shall be verified. The subject's duty station, for the purpose of 
interview coverage, is considered as a place of employment. One 
supervisor and one co-worker shall be interviewed at subject's current 
duty station if subject has been stationed there for 6 months or more; 
additionally, a supervisor and a co-worker at subject's prior duty 
stations where assigned for 6 months or more during the past 10 years 
shall be interviewed.
    (4) Unemployment. Subject's activities during all periods of 
unemployment in excess of 30 consecutive days, within the period of 
investigation, that are not otherwise accounted for shall be verified.
    (5) When an individual has resided outside the U.S. continuously for 
over one year, attempts will be made to confirm overseas employments as 
well as conduct required interviews of a supervisor and co-worker.
    g. References. Three developed character references who have 
sufficient knowledge of subject to comment on his background, 
suitability, and loyalty shall be interviewed personally. Efforts shall 
be made to interview developed references whose combined association 
with subject covers the full period of the investigation with particular 
emphasis on the last 5 years. Employment, education, and neighborhood 
references, in addition to the required ones, may be used as developed 
references provided that they have personal knowledge concerning the 
individual's character, discretion, and loyalty. Listed character 
references will be interviewed only when developed references are not 
available or when it is necessary to identify and locate additional 
developed character references or when it is necessary to verify 
subject's activities (e.g., unemployment).
    h. Neighborhood investigation. Conduct a neighborhood investigation 
to verify each of subject's residences in the U.S. of a period of 6 
months or more on a cumulative basis, during the past 5 years or during 
the period of

[[Page 851]]

investigation, whichever is shorter. During each neighborhood 
investigation, interview two neighbors who can verify subject's period 
of residence in that area and who were sufficiently acquainted to 
comment on subject's suitability for a position of trust. Neighborhood 
investigations will be expanded beyond this 5-year period only when 
there is unfavorable information to resolve in the investigation.
    i. Credit. Conduct credit bureau check in the 50 States, the 
District of Columbia, Puerto Rico and overseas (where APO/FPO addresses 
are provided) at all places where subject has resided (including duty 
stations and home ports), been employed, or attended school for 6 months 
or more, on a cumulative basis, during the last 7 years or during the 
period of the investigation, whichever is shorter. When coverage by a 
credit bureau is not available, credit references located in that area 
will be interviewed. Financial responsibility, including unexplained 
affluence, will be stressed in all reference interviews.
    j. Local Agency Checks (LAC's). LACs, including State central 
criminal history record repositories, will be conducted on subject at 
all places of residence to include duty stations and/or home ports, in 
the 50 States, the District of Columbia, and Puerto Rico, where 
residence occurred during the past 15 years or during the period of 
investigation, whichever is shorter. If subject's place of employment 
and/or education is serviced by a different law enforcement agency than 
that servicing the area of residence, LACs shall be conducted also in 
these areas.
    k. Foreign travel. If subject has been employed, educated, traveled 
or resided outside of the U.S. for more than 90 days during the period 
of investigation, except under the auspices of the U.S. Government, 
additional record checks during the NAC shall be made in accordance with 
paragraph 1.f. of this Appendix. In addition, the following requirements 
apply:
    (1) Foreign travel not under the auspices of the U.S. Government. 
When employment, education, or residence has occurred overseas for more 
than 90 days during the past 15 years or since age 18, which was not 
under the auspices of the U.S. Government, a check of records will be 
made at the Passport Office of the Department of State, the CIA, and 
other appropriate agencies. Efforts shall be made to develop sources, 
generally in the U.S., who knew the individual overseas to cover 
significant employment, education, or residence and to determine whether 
any lasting foreign contacts or connections were established during this 
period. If the individual has worked or lived outside of the U.S. 
continuously for over one year, the investigation will be expanded to 
cover fully this period through the use of such investigative assets and 
checks of record sources as may be available to the U.S. Government in 
the foreign country in which the individual resided.
    (2) Foreign travel under the auspices of the U.S. Government. When 
employment, education, or residence has occurred overseas for a period 
of more than one year, under the auspices of the U.S. Government, a 
record check will be made at the Passport Office of the Department of 
State, the CIA and other appropriate agencies. Efforts shall be made to 
develop sources (generally in the U.S.) who knew the individual overseas 
to cover significant employment, education, or residence and to 
determine whether any lasting foreign contacts or connections were 
established during this period. Additionally, the investigation will be 
expanded to cover fully this period through the use of such 
investigative assets and checks of record sources as may be available to 
the U.S. Government in the foreign country in which the individual 
resided.
    1. Foreign connections. All foreign connections (friends, relatives, 
and/or business connections) of subject and immediate family in the U.S. 
or abroad, except where such association was the direct result of 
subject's official duties with the U.S. Government, shall be 
ascertained. Investigation shall be directed toward determining the 
significance of foreign connections on the part of subject and the 
immediate family, particularly where the association is or has been with 
persons whose origin was within a country whose national interests are 
inimical to those of the U.S. When subject or his spouse has close 
relatives residing in a Communist-controlled country, or subject has 
resided, visited, or traveled in such a country, not under U.S. 
Government auspices, the provisions of Sec. 154.8(i)(3) of this part 
apply.
    m. Organizations. Efforts will be made during reference interviews 
and record reviews to determine if subject and/or the immediate family 
has, or formerly had, membership in, affiliation with, sympathetic 
association towards, or participated in any foreign or domestic 
organization, association, movement, group, or combination of persons of 
the type described in Sec. 154.7(a) through (d) of this part.
    n. Divorce. Divorces, annulments, and legal separations of subject 
shall be verified only when there is reason to believe that the grounds 
for the action could reflect on subject's suitability for a position of 
trust.
    o. Military service. All military service and types of discharge 
during the last 15 years shall be verified.
    p. Medical records. Medical records shall not be reviewed unless:
    (1) The requester indicates that subject's medical records were 
unavailable for review prior to submitting the request for 
investigation, or
    (2) The requester indicates that unfavorable information is 
contained in subject's medical records, or

[[Page 852]]

    (3) The subject lists one or more of the following on the SPH or 
PSQ:
    (a) A history of mental or nervous disorders.
    (b) That subject is now or has been addicted to the use of habit-
forming drugs such as narcotics or barbiturates or is now or has been a 
chronic user to excess of alcoholic beverages.
    q. Updating a previous investigation to SBI standards. If a previous 
investigation does not substantially meet the minimum standards of an 
SBI or if it is more than 5 years old, a current investigation is 
required but may be limited to that necessary to bring the individual's 
file up to date in accordance with the investigative requirements of an 
SBI. Should new information be developed during the current 
investigation that bears unfavorably upon the individual's activities 
covered by the previous investigation, the current inquiries shall be 
expanded as necessary to develop full details of this new information.
    5. Periodic Reinvestigation (PR). a. Each DoD military, civilian, 
consultant and contractor employee (to include non-U.S. citizens 
(foreign nationals and/or immigrant aliens) holding a limited access 
authorization) occupying a critical sensitive position, possessing a TOP 
SECRET clearance, or occupying a special access program position shall 
be the subject of a PR initiated 5 years from the date of completion of 
the last investigation. The PR shall cover the period of the last 5 
years.
    b. Minimum investigative requirements. A PR shall include the 
following minimum scope.
    (1) NAC. A valid NAC on the SUBJECT will be conducted in all cases. 
Additionally, for positions requiring SCI access, checks of DCII, FBI/
HQ, FBI/ID name check only, and other agencies deemed appropriate, will 
be conducted on the SUBJECT's current spouse or cohabitant, if not 
previously conducted. Additionally, NACs will be conducted on immediate 
family members, 18 years of age or older, who are aliens and/or 
immigrant aliens, if not previously accomplished.
    (2) Credit. Credit bureau checks covering all places where the 
SUBJECT resided for 6 months or more, on a cumulative basis, during the 
period of investigation, in the 50 States, District of Columbia, Puerto 
Rico and overseas (where APO/FPO addresses are provided), will be 
conducted.
    (3) Subject interview. The interview should cover the entire period 
of time since the last investigation, not just the last 5-year period. 
Significant information disclosed during the interview, which has been 
satisfactorily covered during a previous investigation, need not be 
explored again unless additional relevant information warrants further 
coverage. An SI is not required if one of the following conditions 
exists:
    (a) The SUBJECT is aboard a deployed ship or in some remote area 
that would cause the interview to be excessively delayed.
    (b) The SUBJECT is in an overseas location serviced by the State 
Department or the FBI.
    (4) Employment. Current employment will be verified. Military and 
Federal service records will not routinely be checked, if previously 
checked by the requester when PR was originally submitted. Also, 
employment records will be checked wherever employment interviews are 
conducted. Records need be checked only when they are locally available, 
unless unfavorable information has been detected.
    (5) Employment references. Two supervisors or co-workers at the most 
recent place of employment or duty station of 6 months; if the current 
employment is less than 6 months employment reference interviews will be 
conducted at the next prior place of employment, which was at least a 6-
month duration.
    (6) Developed Character References (DCRs). Two developed character 
references who are knowledgeable of the SUBJECT will be interviewed. 
Developed character references who were previously interviewed will only 
be reinterviewed when other developed references are not available.
    (7) Local Agency Checks (LACs). DIS will conduct local agency checks 
on the SUBJECT at all places of residence, employment, and education 
during the period of investigation, regardless of duration, including 
overseas locations.
    (8) Neighborhood Investigation. Conduct a neighborhood investigation 
to verify subjects' current residence in the United States. Two 
neighbors who can verify subject's period of residence in that area and 
who are sufficiently acquainted to comment on the subject's suitability 
for a position of trust will be interviewed. Neighborhood investigations 
will be expanded beyond the current residence when unfavorable 
information arises.
    (9) Ex-spouse interview. If the subject of investigation is 
divorced, the ex-spouse will be interviewed when the date of final 
divorce action is within the period of investigation.
    (10) Select scoping. When the facts of the case warrant, additional 
select scoping will be accomplished, as necessary, to fully develop or 
resolve an issue.

[52 FR 11219, Apr. 8, 1987, as amended at 58 FR 61026, Nov. 19, 1993]



             Sec. Appendix B to Part 154--Request Procedures

    A. General. To conserve investigative resources and to insure that 
personnel security investigations are limited to those essential

[[Page 853]]

to current operations and are clearly authorized by DoD policies, 
organizations requesting investigations must assure that continuing 
command attention is given to the investigative request process.
    In this connection, it is particularly important that the provision 
of Executive Order 12356 requiring strict limitations on the 
dissemination of official information and material be closely adhered to 
and that investigations requested for issuing clearances are limited to 
those instances in which an individual has a clear need for access to 
classified information. Similarly, investigations required to determine 
eligibility for appointment or retention in DoD, in either a civilian or 
military capacity, must not be requested in frequency or scope exceeding 
that provided for in this part.
    In view of the foregoing, the following guidelines have been 
developed to simplify and facilitate the investigative request process:
    1. Limit requests for investigation to those that are essential to 
current operations and clearly authorized by DoD policies and attempt to 
utilize individuals who, under the provisions of this part, have already 
met the security standard;
    2. Assure that military personnel on whom investigative requests are 
initiated will have sufficient time remaining in service after 
completion of the investigation to warrant conducting it;
    3. Insure that request forms and prescribed documentation are 
properly executed in accordance with instructions;
    4. Dispatch the request directly to the DIS Personnel Investigations 
Center;
    5. Promptly notify the DIS Personnel Investigations Center if the 
investigation is no longer needed (notify OPM if a NACI is no longer 
needed); and
    6. Limit access through strict need-to-know, thereby requiring fewer 
investigations.
    In summary, close observance of the above-cited guidelines will 
allow the DIS to operate more efficiently and permit more effective, 
timely, and responsive service in accomplishing investigations.
    B. National Agency Check (NAC). When a NAC is requested an original 
only of the DD Form 398-2 (National Agency Check Request) and a 
completed FD 258 (Applicant Fingerprint Card) are required. If the 
request is for an ENTNANC, an original only of the DD Form 398-2 and a 
completed DD Form 2280 (Armed Forces Fingerprint Card) are required. 
Those forms should be sent directly to: Personnel Investigation Center, 
Defense Investigative Service, P.O. Box 1083, Baltimore, Maryland 21203.
    C. National Agency Check plus written Inquiries (NACI). When a NACI 
is requested, an original and one copy of the SF 85 (Data for 
Nonsensitive or Noncritical-sensitive Position), an SF 171 (Personal 
Qualifications Statement), and an SF 87 (U.S. Civil Service Commission 
Fingerprint Chart) shall be sent directly to: Office of Personnel 
Management, Bureau of Personnel Investigations, NACI Center, Boyers, 
Pennsylvania 16018.
    The notation ``ALL REFERENCES'' shall be stamped immediately above 
the title at the top of the Standard Form 85.
    D. DoD National Agency Check with Inquiries (DNACI). 1. When a DNACI 
is requested, one copy of DD Form 1879, an original and two copies of 
the DD Form 398-2 (National Agency Check Request), two copies of FD 258 
(Fingerprint Card), and an original of DD Form 2221 (Authority for 
Release of Information and Records) shall be sent directly to: Personnel 
Investigations Center, Defense Investigative Service, P.O. Box 1083, 
Baltimore, Maryland 21203.
    2. The DD Form 398-2 must be completed to cover the most recent five 
year period. All information, to include items relative to residences 
and employment, must be complete and accurate to avoid delays in 
processing.
    E. Special Background Investigation (SBI)/Background Investigation 
(BI). 1. When requesting a BI or SBI, one copy of DD Form 1879 (Request 
for Personnel Security Investigation), an original and four copies of DD 
Form 398 (Statement of Personnel History), two copies of FD 258, and an 
original of DD Form 2221 (Authority for Release of Information and 
Records) shall be sent directly to the: Personnel Investigations Center, 
Defense Investigative Service, P.O. Box 454, Baltimore, Maryland 21203.
    2. For the BI and SBI, the DD Form 398 must be completed to cover 
the most recent five and 15 year period, respectively, or since the 18th 
birthday, whichever is shorter.
    F. Periodic Reinvestigation (PR). 1. PRs shall be requested only in 
such cases as are authorized by Sec. 154.19 (a) through (k) of this 
part.
    a. For a PR requested in accordance with Sec. 154.19 (a) and (k) 
and the DD Form 1879 must be accompanied by the following documents:
    (1) Original and four copies of DD Form 398.
    (2) Two copies of FD-258.
    (3) Original copy of DD Form 2221.
    b. In processing PRs, previous investigative reports will not be 
requested by the requesting organization, unless significant derogatory 
or adverse information, postdating the most recent favorable 
adjudication, is developed during the course of reviewing other locally 
available records. In the latter instance, requests for previous 
investigative reports may only be made if it is determined by the 
requesting organization that the derogatory information is so 
significant that a review of previous investigative reports is

[[Page 854]]

necessary for current adjudicative determinations.
    2. No abbreviated version of DD Form 398 may be submitted in 
connection with a PR.
    3. The PR request shall be sent to the address in paragraph E.1.
    G. Additional investigation to resolve derogatory or adverse 
information. 1. Requests for additional investigation required to 
resolve derogatory or adverse information shall be submitted by DD Form 
1879 (Request for Personnel Security Investigation) to the: Defense 
Investigative Service, P.O. Box 454, Baltimore, Maryland 21203.
    Such requests shall set forth the basis for the additional 
investigation and describe the specific matter to be substantiated or 
disproved.
    2. The request should be accompanied by an original and four copies 
of the DD Form 398, where appropriate, two copies of FD-258 and an 
original copy of DD Form 2221, unless such documentation was submitted 
within the last 12 months to DIS as part of a NAC or other personnel 
security investigation. If pertinent, the results of a recently 
completed NAC, NACI, or other related investigative reports available 
should also accompany the request.
    H. Obtaining results of prior investigations. Requesters requiring 
verification of a specified type of personnel security investigation, 
and/or requiring copies of prior investigations conducted by the DIS 
shall submit requests by letter or message to: Defense Investigative 
Service Investigative Files Division, P.O. Box 1211, Baltimore, Maryland 
21203, Message Address: DIS PIC BALTIMORE MD/ /D0640.
    The request will include subject's name, grade, social security 
number, date and place of birth, and DIS case control number if known.
    I. Requesting postadjudication cases. 1. Requests pertaining to 
issues arising after adjudication of an investigation (postadjudication 
cases) shall be addressed to DIS on a DD Form 1879 accompanied by a DD 
Form 398, where appropriate.
    2. All requests for initial investigations will be submitted to PIC 
regardless of their urgency. If, however, there is an urgent need for a 
postadjudication investigation, or the mailing of a request to PIC for 
initiation of a postadjudication case would prejudice timely pursuit of 
investigative action, the DD Form 1879 may be directed for initiation, 
in CONUS, to the nearest DIS Field Office, and in overseas locations, to 
the military investigative service element supporting the requester 
(Appendix I). The field element (either DIS or the military 
investigative agency) will subsequently forward either the DD Form 1879 
or completed investigation to PIC.
    3. A fully executed DD Form 1879 and appropriate supporting 
documents may not be immediately available. Further, a case that is 
based on sensitive security issues may be compromised by a request that 
the subject submit a DD Form 398. A brief explanation should appear on 
DD Form 1879s which does not include complete supporting documentation.
    J. Requests involving contractor employees. To preclude duplicative 
investigative requests and double handling of contractor employee cases 
involving access to classified information, all requests for 
investigation of contractor personnel must be submitted, using 
authorized industrial security clearance forms, for processing through 
the Defense Industrial Security Clearance Office, except for programs in 
which specific approval has been obtained from the Deputy Under 
Secretary of Defense for Policy to utilize other procedures.
    K. Responsibility for proper documentation of requests. The official 
signing the request for investigation shall be responsible for insuring 
that all documentation is completed in accordance with these 
instructions.

      Appendix C to Part 154--Tables for Requesting Investigations

                          Guide for Requesting Background Investigations (BI) (Table 1)
----------------------------------------------------------------------------------------------------------------
                  A                                  B                                     C
----------------------------------------------------------------------------------------------------------------
If the individual is a:                And duties require:..........  Then a BI is required before:
----------------------------------------------------------------------------------------------------------------
 
U.S. national military member,         Top Secret clearance.........  Granting final clearance.
 civilian, consultant, or contractor
 employee.
U.S. national civilian employee......  Assignment to a ``Critical''   Assignment to the position.
                                        sensitive position.
U.S. national military member, DoD     Occupying a ``critical''       Occupying a ``critical'' position.
 civilian or contractor employee.       position in the Nuclear
                                        Weapon Personnel Reliability
                                        Program (PRP).
U.S. national military member or       Granting, denying clearances.  Performing clearance functions.
 civilian employee.
U.S. national military member or       Membership on security         Appointment to the board.
 civilian employee.                     screening, hearing, or
                                        review board.
Immigrant alien......................  Limited access to Secret or    Issuing limited access authorization (Note
                                        Confidential information.      1).

[[Page 855]]

 
Non-U.S. national employee excluding   Limited access to Secret or    Issuing limited access authorization.
 immigrant alien.                       Confidential information.
Non-U.S. national nominee military     Education and orientation for  Before performing duties.
 education and orientation program      of military personnel.
 (from a country listed at Appendix
 G).
U.S. national military member DoD      Assignment to a category two   Assignment.
 civilian or contractor employee.       Presidential Support
                                        position.
U.S. national military member, DoD     Access to NATO COSMIC          Access may be granted.
 civilian or contractor employee        information.
 assigned to NATO.
Note 1: BI will cover a 10 year scope.


                     Guide for Requesting Special Background Investigations (SBI) (Table 2)
----------------------------------------------------------------------------------------------------------------
                  A                                  B                                     C
----------------------------------------------------------------------------------------------------------------
If the individual is a:                And duties require:..........  Then a SBI is required before:
----------------------------------------------------------------------------------------------------------------
 
U.S. national military member, DoD     Access to SCI................  Granting Access.
 civilian, consultant, or contractor   Assisgnment to a category one  Assignment.
 employee.                              Presidential Support
                                        position.
                                       Access to SIOP-ESI...........  Granting access.
                                       Assignment to the National     Assignment.
                                        Security Agency.
                                       Access to other Special        Granting access.
                                        Access programs approved
                                        under Sec. 154.17(g).
                                       Assignment to personnel        Assignment.
                                        security,
                                        counterintelligence, or
                                        criminal investigative or
                                        direct investigative support
                                        duties.


                          Guide for Requesting Periodic Reinvestigations (PR) (Table 3)
----------------------------------------------------------------------------------------------------------------
                  A                                  B                                     C
----------------------------------------------------------------------------------------------------------------
If the individual is a:                And duties require:..........  Then a PR is required before:
----------------------------------------------------------------------------------------------------------------
 
U.S. national military member, DoD     Access to SCI................  5 years from date of last SBI/BI or PR.
 civilian, consultant, or contractor    Top Secret Clearance........  5 years from date of last SBI/BI or PR.
 employee.
                                       Access to NATO COSMIC........  5 years from date of last SBI/BI or PR.
                                       Assignment to Presidential     5 years from date of last SBI/BI or PR.
                                        Support activities.
U.S. national civilian employee......  Assignment to a ``Critical''   5 years from last SBI/BI or PR.
                                        sensitive position.
Non-U.S. national employee...........  Current limited access         5 years from last SBI/BI or PR.
                                        authorization to Secret or
                                        Confidential information.


             Guide for Requesting DOD National Agency Check With Inquiries (DNACI) or NACI (Table 4)
----------------------------------------------------------------------------------------------------------------
                  A                                  B                                     C
----------------------------------------------------------------------------------------------------------------
If the individual is a:                And duties require:..........  Then DNACI/NACI is required
----------------------------------------------------------------------------------------------------------------
U.S. national military member or       Secret clearance.............  Before granting clearance (note 1).
 contractor.                           .............................  May be automatically issued (note 2).
                                       Interim Secret Clearance.....
U.S. national civilian employee or     Secret clearance.............  Before granting clearance.
 consultant.                           Interim Secret Clearance.....  May be automatically issued (note 3).
                                       Appointment to ``Non           Before appointment.
                                        Critical'' sensitive
                                        position.
U.S. national military member, DoD     Occupying a ``controlled''     Before assignment.
 civilian or contractor employee.       position in the Nuclear
                                        Weapon PRR.

[[Page 856]]

 
Applicant for appointment as a         Commission in the Award        Before appointment (after appointment for
 commissioned officer.                  Forces.                        health professionals, chaplains, and
                                                                       attorneys, under conditions authorized by
                                                                       Sec. 154.15(d) of this part).
Naval Academy Midshipman, Military     Enrollment...................  To be initiated 90 days after entry.
 Academy Cadet, or Air Force Academy
 Cadet.
Reserve Officer Training Corps Cadet   Entry to advanced course or    Then a DNACI is required to be initiated
 of Midshipman.                         College Scholarship Program.   90 days after entry.
Note 1: First term enlistees shall require an ENTNAC.
Note 2: Provided DD Form 398-2 is favorably reviewed, local records check favorably accomplished, and DNACI
  initiated.
Note 3: Provided an authority designated in Appendix E finds delay in such appointment would be harmful to
  national security; favorable review of DD Form 398-2; NACI initiated; favorable local records check
  accomplished. Table 5.


                           Guide for Requesting National Agency Checks (NAC) (Table 5)
----------------------------------------------------------------------------------------------------------------
                  A                                  B                                     C
----------------------------------------------------------------------------------------------------------------
If the individual is a:                And duties require:..........  Then a NAC is required:
----------------------------------------------------------------------------------------------------------------
A first-term enlistee................  Retention in the Armed Forces  To be initiated NLT three work days after
                                        (including National Guard      entry (note 1).
                                        and Reserve).
Prior service member reentering        Retention in the Armed Forces  To be initiated NLT three work days after
 military service after break in        (including National Guard      reentry.
 Federal employment exceeding 1 year.   and Reserve).
Nominee for military education and     Education and orientation of   Before performing duties (note 2).
 orientation program.                   military personnel.
U.S. national military, DoD civilian,  Access to restricted areas,    Before authorizing entry.
 or contractor employee.                sensitive information, or
                                        equipment as defined in Sec.
                                          154.18(b).
Nonappropriated fund instrumentality   Appointment as NAFI custodian  Before appointment.
 (NAFI) civilian employee.             Accountability for non         Before completion of probationary period.
                                        appropriated funds.
                                       Fiscal responsibility as       Before completion of probationary period.
                                        determined by NAFI custodian.
                                       Other ``positions of trust''.  Before appointment.
Persons requiring access to chemical   Access to or security of       Before assignment.
 agents.                                chemical agents.
U.S. national, civilian employee       Wavier under provisions of     Before appointment (note 3).
 nominee for customs inspection         Sec. 154.18(d).
 duties.
Red Cross/United States Organization   Assignment with the Armed      Before assignment (See note 4 for foreign
 personnel.                             Forces overseas.               national personnel).
U.S. national........................  DoD building pass............  Prior to issuance.
Foreign national employed overseas...  No access to classified        Prior to employment (note 4).
                                        information.
Note 1: Request ENTNAC only.
Note 2: Except where personnel whose country of origin is a country listed at Appendix G, a BI will be required
  (See Sec. 154.18(1)).
Note 3: A NAC not over 5 years old suffices unless there has been a break in employment over 12 months. Then a
  current NAC is required.
Note 4: In such cases, the NAC shall consist of: (a) Host government law enforcement and security agency record
  checks at the city, state (province), and national level, and (b) DCII.



      Sec. Appendix D to Part 154--Reporting of Nonderogatory Cases

    Background Investigation (BI) and Special Background Investigation 
(SBI) shall be considered as devoid of significant adverse information 
unless they contain information listed below:
    1. Incidents, infractions, offenses, charges, citations, arrests, 
suspicion or allegations of illegal use or abuse of drugs or alcohol, 
theft or dishonesty, unreliability, irresponsibility, immaturity, 
instability or recklessness, the use of force, violence or weapons or 
actions that indicate disregard for the law due to multiplicity of minor 
infractions.
    2. All indications of moral turpitude, heterosexual promiscuity, 
aberrant, deviant, or bizarre sexual conduct or behavior, 
transvestitism, transsexualism, indecent exposure, rape, contributing to 
the delinquency of a minor, child molestation, wife-swapping, window-
peeping, and similar situations from whatever source. Unlisted full-time 
employment or education; full-time education or employment that cannot 
be verified by any

[[Page 857]]

reference or record source or that contains indications of falsified 
education or employment experience. Records or testimony of employment, 
education, or military service where the individual was involved in 
serious offenses or incidents that would reflect adversely on the 
honesty, reliability, trustworthiness, or stability of the individual.
    3. Foreign travel, education, visits, correspondence, relatives, or 
contact with persons from or living in a foreign country or foreign 
intelligence service.
    4. Mental, nervous, emotional, psychological, psychiatric, or 
character disorders/behavior or treatment reported or alleged from any 
source.
    5. Excessive indebtedness, bad checks, financial difficulties or 
irresponsibility, unexplained affluence, bankruptcy, or evidence of 
living beyond the individual's means.
    6. Any other significant information relating to the criteria 
included in paragraphs (a) through (q) of Sec. 154.7 or Appendix H of 
this part.

[52 FR 11219, Apr. 8, 1987, as amended at 58 FR 61026, Nov. 19, 1993]



     Sec. Appendix E to Part 154--Personnel Security Determination 
                               Authorities

    A. Officials authorized to grant, deny or revoke personnel security 
clearances (Top Secret, Secret, and Confidential):
1. Secretary of Defense and/or designee
2. Secretary of the Army and/or designee
3. Secretary of the Navy and/or designee
4. Secretary of the Air Force and/or designee
5. Chairman, Joint Chiefs of Staff and/or designee
6. Directors of the Defense Agencies and/or designee
7. Commanders of the Unified and Specified Commands and/or designee

    B. Officials authorized to grant Limited Access Authorizations:

1. Secretaries of the Military Departments and/or designee
2. Director, Washington Headquarters Service for OSD and/or designee
3. Chairman, JCS and/or designee
4. Directors of the Defense Agencies and/or designee
5. Commanders, Unified and Specified Commands and/or designee

    C. Officials authorized to grant access to SCI:

Director, NSA--for NSA
Director, DIA--for OSD, OJCS, and Defense Agencies
Senior Officers of the Intelligence Community of the Army, Navy, and Air 
Force--for their respective Military Departments, or their single 
designee.

    D. Officials authorized to certify personnel under their 
jurisdiction for access to Restricted Data (to include Critical Nuclear 
Weapon Design Information): see enclosure to DoD Directive 5210.2.
    E. Officials authorized to approve personnel for assignment to 
Presidential Support activities: The Executive Secretary to the 
Secretary and Deputy Secretary of Defense or designee.

    F. Officials authorized to grant access to SIOP-ESI:

1. Director of Strategic Target Planning
2. Director, Joint Staff, OJCS
3. Chief of Staff, U.S. Army
4. Chief of Naval Operations
5. Chief of Staff, U.S. Air Force
6. Commandant of the Marine Corps
7. Commanders of Unified and Specified Commands
8. The authority to grant access delegated above may be further 
delegated in writing by the above officials to the appropriate 
subordinates.

    G. Officials authorized to designate sensitive positions:
    1. Heads of DoD Components or their designees for critical-sensitive 
positions.

    2. Organizational commanders for noncritical-sensitive positions.

    H. Nonappropriated Fund Positions of Trust:

    Officials authorized to designate nonappropriated fund positions of 
trust: Heads of DoD Components and/or their designees.



  Sec. Appendix F to Part 154--Guidelines for Conducting Prenomination 
                           Personal Interviews

    A. Purpose. The purpose of the personal interview is to assist in 
determining the acceptability of an individual for nomination and 
further processing for a position requiring an SBI.
    B. Scope. Questions asked during the course of a personal interview 
must have a relevance to a security determination. Care must be taken 
not to inject improper matters into the personal interview. For example, 
religious beliefs and affiliations, beliefs and opinions regarding 
racial matters, political beliefs and affiliations of a nonsubversive 
nature, opinions regarding the constitutionality of legislative 
policies, and affiliations with labor unions and fraternal organizations 
are not proper subjects for inquiry. Department of Defense 
representatives conducting personal interviews should always be prepared 
to explain the relevance of their inquiries. Adverse inferences shall 
not be drawn from the refusal of a person to answer questions the 
relevance of which has not been established.
    C. The interviewer. Except as prescribed in paragraph B. above, 
persons conducting personal interviews normally will have broad

[[Page 858]]

latitude in performing this essential and important function and, 
therefore, a high premium must necessarily be placed upon the exercise 
of good judgment and common sense. To insure that personal interviews 
are conducted in a manner that does not violate lawful civil and private 
rights or discourage lawful political activity in any of its forms, or 
intimidate free expression, it is necessary that interviewers have a 
keen and well-developed awareness of and respect for the rights of 
interviewees. Interviewers shall never offer an opinion as to the 
relevance or significance of information provided by the interviewee to 
eligibility for access to SCI. If explanation in this regard is 
required, the interviewer will indicate that the sole function of the 
interview is to obtain information and that the determination of 
relevance or significance to the individual's eligibility will be made 
by other designated officials.
    D. Interview procedures. 1. The Head of the DoD Component concerned 
shall establish uniform procedures for conducting the interview that are 
designed to elicit information relevant to making a determination of 
whether the interviewee, on the basis of the interview and other locally 
available information (DD 398, Personnel Security Investigation 
Questionnaire, personnel records, security file, etc.), is considered 
acceptable for nomination and further processing.
    2. Such procedures shall be structured to insure the interviewee his 
full rights under the Constitution of the United States, the Privacy Act 
of 1974 and other applicable statutes and regulations.
    E. Protection of interview results. All information developed during 
the course of the interview shall be maintained in personnel security 
channels and made available only to those authorities who have a need-
to-know in connection with the processing of an individual's nomination 
for duties requiring access to SCI or those who need access to 
information either to conduct the required SBI or to adjudicate the 
matter of the interviewee's eligibility for access to SCI, or as 
otherwise authorized by Executive order or statute.
    F. Acceptability determination. 1. The determination of the 
interviewee's acceptability for nomination for duties requiring access 
to sensitive information shall be made by the commander, or designee, of 
the DoD organization that is considering nominating the interviewee for 
such duties.
    2. Criteria guidelines contained in DCID 1/14 upon which the 
acceptability for nomination determination is to be based shall be 
provided to commanders of DoD organizations who may nominate individuals 
for access to SCI and shall be consistent with those established by the 
Senior Officer of the Intelligence Community of the Component concerned 
with respect to acceptability for nomination to duties requiring access 
to SCI.



                 Sec. Appendix G to Part 154 [Reserved]



  Sec. Appendix H to Part 154--Adjudicative Guidelines for Determining 
            Eligibility for Access to Classified Information

    1. Introduction. The following adjudicative guidelines are 
established for all U.S. Government civilian and military personnel, 
consultants, contractors, employees of contractors, licensees, 
certificate holders or grantees and their employees, and other 
individuals who require access to classified information. They apply to 
persons being considered for initial or continued eligibility for access 
to classified information, to include sensitive compartmented 
information and special access programs, and are to be used by 
government departments and agencies in all final clearance 
determinations. Government departments and agencies may also choose to 
apply these guidelines to analogous situations regarding persons being 
considered for access to other types of protected information.
    Decisions regarding eligibility for access to classified information 
take into account factors that could cause a conflict of interest and 
place a person in the position of having to choose between his or her 
commitments to the United States, including the commitment to protect 
classified information, and any other compelling loyalty. Accesses 
decisions also take into account a person's reliability, trustworthiness 
and ability to protect classified information. No coercive policing 
could replace the self-discipline and integrity of the person entrusted 
with the nation's secrets as the most effective means of protecting 
them. When a person's life history shows evidence of unreliability or 
untrustworthiness, questions arise whether the person can be relied on 
and trusted to exercise the responsibility necessary for working in a 
secure environment where protecting classified information is paramount.
    2. The adjudicative process.
    (a) The adjudicative process is an examination of a sufficient 
period of a person's life to make an affirmative determination that the 
person is an acceptable security risk. Eligibility for access to 
classified information is predicated upon the individual meeting these 
personnel security guidelines. The adjudication process is the careful 
weighing of a number of variables known as the whole-person concept. 
Available, reliable information about the person, past and present, 
favorable and unfavorable, should be considered in reaching a 
determination. In evaluating the relevance of an individual's conduct, 
the adjudicator should consider the following factors:
    (1) The nature, extent, and seriousness of the conduct;

[[Page 859]]

    (2) The circumstances surrounding the conduct, to include 
knowledgeable participation;
    (3) The frequency and recency of the conduct;
    (4) The individual's age and maturity at the time of the conduct;
    (5) The extent to which participation is voluntary;
    (6) The presence or absence of rehabilitation and other permanent 
behavioral changes;
    (7) The motivation for the conduct;
    (8) The potential for pressure, coercion, exploitation, or duress; 
and
    (9) The likelihood of continuation or recurrence;
    (b) Each case must be judged on its own merits, and final 
determination remains the responsibility of the specific department or 
agency. Any doubt concerning personnel being considered for access to 
classified information will be resolved in favor of the national 
security.
    (c) The ability to develop specific thresholds for action under 
these guidelines is limited by the nature and complexity of human 
behavior. The ultimate determination of whether the granting or 
continuing of eligibility for a security clearance is clearly consistent 
with the interests of national security must be an overall common sense 
judgment based upon careful consideration of the following guidelines, 
each of which is to be evaluated in the context of the whole person.
    (1) GUIDELINE A: Allegiance to the United States;
    (2) GUIDELINE B: Foreign Influence;
    (3) GUIDELINE C: Foreign Preference;
    (4) GUIDELINE D: Sexual Behavior;
    (5) GUIDELINE E: Personal Conduct;
    (6) GUIDELINE F: Financial Considerations;
    (7) GUIDELINE G: Alcohol Consumption;
    (8) GUIDELINE H: Drug Involvement;
    (9) GUIDELINE I: Psychological Conditions;
    (10) GUIDELINE J: Criminal Conduct;
    (11) GUIDELINE K: Handling Protected Information;
    (12) GUIDELINE L: Outside Activities;
    (13) GUIDELINE M: Use of Information Technology Systems
    (d) Although adverse information concerning a single criterion may 
not be sufficient for an unfavorable determination, the individual may 
be disqualified if available information reflects a recent or recurring 
pattern of questionable judgment, irresponsibility, or emotionally 
unstable behavior. Notwithstanding the whole-person concept, pursuit of 
further investigation may be terminated by an appropriate adjudicative 
agency in the face of reliable, significant, disqualifying, adverse 
information.
    (e) When information of security concern becomes known about an 
individual who is currently eligible for access to classified 
information, the adjudicator should consider whether the person:
    (1) Voluntarily reported the information;
    (2) Was truthful and complete in responding to questions;
    (3) Sought assistance and followed professional guidance, where 
appropriate;
    (4) Resolved or appears likely to favorably resolve the security 
concern;
    (5) Has demonstrated positive changes in behavior and employment;
    (6) Should have his or her access temporarily suspended pending 
final adjudication of the information.
    (f) If after evaluating information of security concern, the 
adjudicator decides that the information is not serious enough to 
warrant a recommendation of disapproval or revocation of the security 
clearance, it may be appropriate to recommend approval with a warning 
that future incidents of a similar nature may result in revocation of 
access.

              Guideline A: Allegiance To The United States

    3. The concern. An individual must be of unquestioned allegiance to 
the United States. The willingness to safeguard classified information 
is in doubt if there is any reason to suspect an individual's allegiance 
to the United States.
    4. Conditions that could raise a security concern and may be 
disqualifying include:
    (a) Involvement in, support of, training to commit, or advocacy of 
any act of sabotage, espionage, treason, terrorism, or sedition against 
the United States of America;
    (b) Association or sympathy with persons who are attempting to 
commit, or who are committing, any of the above acts;
    (c) Association or sympathy with persons or organizations that 
advocate, threaten, or use force or violence, or use any other illegal 
or unconstitutional means, in an effort to:
    (1) Overthrow or influence the government of the United States or 
any state or local government;
    (2) Prevent Federal, state, or local government personnel from 
performing their official duties;
    (3) Gain retribution for perceived wrongs caused by the Federal, 
state, or local government;
    (4) Prevent others from exercising their rights under the 
Constitution or laws of the United States or of any state.
    5. Conditions that could mitigate security concerns include:
    (a) The individual was unaware of the unlawful aims of the 
individual or organization and severed ties upon learning of these;
    (b) The individual's involvement was only with the lawful or 
humanitarian aspects of such an organization;
    (c) Involvement in the above activities occurred for only a short 
period of time and

[[Page 860]]

was attributable to curiosity or academic interest;
    (d) The involvement or association with such activities occurred 
under such unusual circumstances, or so much time has elapsed, that it 
is unlikely to recur and does not cast doubt on the individual's current 
reliability, trustworthiness, or loyalty.

                     Guideline B: Foreign Influence

    6. The concern. Foreign contacts and interests may be a security 
concern if the individual has divided loyalties or foreign financial 
interests, may be manipulated or induced to help a foreign person, 
group, organization, or government in a way that is not in U.S. 
interests, or is vulnerable to pressure or coercion by any foreign 
interest. Adjudication under this Guideline can and should consider the 
identity of the foreign country in which the foreign contact or 
financial interest is located, including, but not limited to, such 
considerations as whether the foreign country is known to target United 
States citizens to obtain protected information and/or is associated 
with a risk of terrorism.
    7. Conditions that could raise a security concern and may be 
disqualifying include:
    (a) Contact with a foreign family member, business or professional 
associate, friend, or other person who is a citizen of or resident in a 
foreign country if that contact creates a heightened risk of foreign 
exploitation, inducement, manipulation, pressure, or coercion;
    (b) Connections to a foreign person, group, government, or country 
that create a potential conflict of interest between the individual's 
obligation to protect sensitive information or technology and the 
individual's desire to help a foreign person, group, or country by 
providing that information;
    (c) Counterintelligence information, that may be classified, 
indicates that the individual's access to protected information may 
involve unacceptable risk to national security;
    (d) Sharing living quarters with a person or persons, regardless of 
citizenship status, if that relationship creates a heightened risk of 
foreign inducement, manipulation, pressure, or coercion;
    (e) A substantial business, financial, or property interest in a 
foreign country, or in any foreign-owned or foreign-operated business, 
which could subject the individual to heightened risk of foreign 
influence or exploitation;
    (f) Failure to report, when required, association with a foreign 
national;
    (g) Unauthorized association with a suspected or known agent, 
associate, or employee of a foreign intelligence service;
    (h) Indications that representatives or nationals from a foreign 
country are acting to increase the vulnerability of the individual to 
possible future exploitation, inducement, manipulation, pressure, or 
coercion;
    (i) Conduct, especially while traveling outside the U.S., which may 
make the individual vulnerable to exploitation, pressure, or coercion by 
a foreign person, group, government, or country.
    8. Conditions that could mitigate security concerns include:
    (a) The nature of the relationships with foreign persons, the 
country in which these persons are located, or the positions or 
activities of those persons in that country are such that it is unlikely 
the individual will be placed in a position of having to choose between 
the interests of a foreign individual, group, organization, or 
government and the interests of the U.S.;
    (b) There is no conflict of interest, either because the 
individual's sense of loyalty or obligation to the foreign person, 
group, government, or country is so minimal, or the individual has such 
deep and longstanding relationships and loyalties in the U.S., that the 
individual can be expected to resolve any conflict of interest in favor 
of the U.S. interest;
    (c) Contact or communication with foreign citizens is so casual and 
infrequent that there is little likelihood that it could create a risk 
for foreign influence or exploitation;
    (d) The foreign contacts and activities are on U.S. Government 
business or are approved by the cognizant security authority;
    (e) The individual has promptly complied with existing agency 
requirements regarding the reporting of contacts, requests, or threats 
from persons, groups, or organizations from a foreign country;
    (f) The value or routine nature of the foreign business, financial, 
or property interests is such that they are unlikely to result in a 
conflict and could not be used effectively to influence, manipulate, or 
pressure the individual.

                     Guideline C: Foreign Preference

    9. The concern. When an individual acts in such a way as to indicate 
a preference for a foreign country over the United States, then he or 
she may be prone to provide information or make decisions that are 
harmful to the interests of the United States.
    10. Conditions that could raise a security concern and may be 
disqualifying include:
    (a) Exercise of any right, privilege or obligation of foreign 
citizenship after becoming a U.S. citizen or through the foreign 
citizenship of a family member. This includes but is not limited to:
    (1) Possession of a current foreign passport;
    (2) Military service or a willingness to bear arms for a foreign 
country;
    (3) Accepting educational, medical, retirement, social welfare, or 
other such benefits from a foreign country;

[[Page 861]]

    (4) Residence in a foreign country to meet citizenship requirements;
    (5) Using foreign citizenship to protect financial or business 
interests in another country;
    (6) Seeking or holding political office in a foreign country;
    (7) Voting in a foreign election;
    (b) Action to acquire or obtain recognition of a foreign citizenship 
by an American citizen;
    (c) Performing or attempting to perform duties, or otherwise acting, 
so as to serve the interests of a foreign person, group, organization, 
or government in conflict with the national security interest;
    (d) Any statement or action that shows allegiance to a country other 
than the United States: for example, declaration of intent to renounce 
United States citizenship; renunciation of United States citizenship.
    11. Conditions that could mitigate security concerns include:
    (a) Dual citizenship is based solely on parents' citizenship or 
birth in a foreign country;
    (b) The individual has expressed a willingness to renounce dual 
citizenship;
    (c) Exercise of the rights, privileges, or obligations of foreign 
citizenship occurred before the individual became a U.S. citizen or when 
the individual was a minor;
    (d) Use of a foreign passport is approved by the cognizant security 
authority.
    (e) The passport has been destroyed, surrendered to the cognizant 
security authority, or otherwise invalidated;
    (f) The vote in a foreign election was encouraged by the United 
States Government.

                      Guideline D: Sexual Behavior

    12. The concern. Sexual behavior that involves a criminal offense 
indicates a personality or emotional disorder, reflects lack of judgment 
or discretion, or which may subject the individual to undue influence or 
coercion, exploitation, or duress can raise questions about an 
individual's reliability, trustworthiness and ability to protect 
classified information. No adverse inference concerning the standards in 
this Guideline may be raised solely on the basis of the sexual 
orientation of the individual.
    13. Conditions that could raise a security concern and may be 
disqualifying include:
    (a) Sexual behavior of a criminal nature, whether or not the 
individual has been prosecuted;
    (b) A pattern of compulsive, self-destructive, or high risk sexual 
behavior that the person is unable to stop or that may be symptomatic of 
a personality disorder;
    (c) Sexual behavior that causes an individual to be vulnerable to 
coercion, exploitation, or duress;
    (d) Sexual behavior of a public nature and/or that reflects lack of 
discretion or judgment.
    14. Conditions that could mitigate security concerns include:
    (a) The behavior occurred prior to or during adolescence and there 
is no evidence of subsequent conduct of a similar nature;
    (b) The sexual behavior happened so long ago, so infrequently, or 
under such unusual circumstances, that it is unlikely to recur and does 
not cast doubt on the individual's current reliability, trustworthiness, 
or good judgment;
    (c) The behavior no longer serves as a basis for coercion, 
exploitation, or duress.
    (d) The sexual behavior is strictly private, consensual, and 
discreet.

                      Guideline E: Personal Conduct

    15. The concern. Conduct involving questionable judgment, lack of 
candor, dishonesty, or unwillingness to comply with rules and 
regulations can raise questions about an individual's reliability, 
trustworthiness and ability to protect classified information. Of 
special interest is any failure to provide truthful and candid answers 
during the security clearance process or any other failure to cooperate 
with the security clearance process.
    The following will normally result in an unfavorable clearance 
action or administrative termination of further processing for clearance 
eligibility:
    (a) Refusal, or failure without reasonable cause, to undergo or 
cooperate with security processing, including but not limited to meeting 
with a security investigator for subject interview, completing security 
forms or releases, and cooperation with medical or psychological 
evaluation;
    (b) Refusal to provide full, frank and truthful answers to lawful 
questions of investigators, security officials, or other official 
representatives in connection with a personnel security or 
trustworthiness determination.
    16. Conditions that could raise a security concern and may be 
disqualifying include:
    (a) Deliberate omission, concealment, or falsification of relevant 
facts from any personnel security questionnaire, personal history 
statement, or similar form used to conduct investigations, determine 
employment qualifications, award benefits or status, determine security 
clearance eligibility or trustworthiness, or award fiduciary 
responsibilities;
    (b) Deliberately providing false or misleading information 
concerning relevant facts to an employer, investigator, security 
official, competent medical authority, or other official government 
representative;
    (c) Credible adverse information in several adjudicative issue areas 
that is not sufficient for an adverse determination under any

[[Page 862]]

other single guideline, but which, when considered as a whole, supports 
a whole-person assessment of questionable judgment, untrustworthiness, 
unreliability, lack of candor, unwillingness to comply with rules and 
regulations, or other characteristics indicating that the person may not 
properly safeguard protected information;
    (d) Credible adverse information that is not explicitly covered 
under any other guideline and may not be sufficient by itself for an 
adverse determination, but which, when combined with all available 
information supports a whole-person assessment of questionable judgment, 
untrustworthiness, unreliability, lack of candor, unwillingness to 
comply with rules and regulations, or other characteristics indicating 
that the person may not properly safeguard protected information. This 
includes but is not limited to consideration of:
    (1) Untrustworthy or unreliable behavior to include breach of client 
confidentiality, release of proprietary information, unauthorized 
release of sensitive corporate or other government protected 
information:
    (2) Disruptive, violent, or other inappropriate behavior in the 
workplace;
    (3) A pattern of dishonesty or rule violations;
    (4) Evidence of significant misuse of Government or other employer's 
time or resources;
    (e) Personal conduct or concealment of information about one's 
conduct that creates a vulnerability to exploitation, manipulation, or 
duress, such as:
    (1) Engaging in activities which, if known, may affect the person's 
personal, professional, or community standing, or
    (2) While in another country, engaging in any activity that is 
illegal in that country or that is legal in that country but illegal in 
the United States and may serve as a basis for exploitation or pressure 
by the foreign security or intelligence service or other group;
    (f) violation of a written or recorded commitment made by the 
individual to the employer as a condition of employment;
    (g) association with persons involved in criminal activity.
    17. Conditions that could mitigate security concerns include:
    (a) The individual made prompt, good-faith efforts to correct the 
omission, concealment, or falsification before being confronted with the 
facts;
    (b) The refusal or failure to cooperate, omission, or concealment 
was caused or significantly contributed to by improper or inadequate 
advice of authorized personnel or legal counsel advising or instructing 
the individual specifically concerning the security clearance process. 
Upon being made aware of the requirement to cooperate or provide the 
information, the individual cooperated fully and truthfully.
    (c) The offense is so minor, or so much time has passed, or the 
behavior is so infrequent, or it happened under such unique 
circumstances that it is unlikely to recur and does not cast doubt on 
the individual's reliability, trustworthiness, or good judgment;
    (d) The individual has acknowledged the behavior and obtained 
counseling to change the behavior or taken other positive steps to 
alleviate the stressors, circumstances, or factors that caused 
untrustworthy, unreliable, or other inappropriate behavior, and such 
behavior is unlikely to recur;
    (e) The individual has taken positive steps to reduce or eliminate 
vulnerability to exploitation, manipulation, or duress;
    (f) The information was unsubstantiated or from a source of 
questionable reliability;
    (g) Association with persons involved in criminal activity has 
ceased or occurs under circumstances that do not cast doubt upon the 
individual's reliability, trustworthiness, judgment, or willingness to 
comply with rules and regulations.

                  Guideline F: Financial Considerations

    18. The concern. Failure or inability to live within one's means, 
satisfy debts, and meet financial obligations may indicate poor self-
control, lack of judgment, or unwillingness to abide by rules and 
regulations, all of which can raise questions about an individual's 
reliability, trustworthiness and ability to protect classified 
information. An individual who is financially overextended is at risk of 
having to engage in illegal acts to generate funds. Compulsive gambling 
is a concern as it may lead to financial crimes including espionage. 
Affluence that cannot be explained by known sources of income is also a 
security concern. It may indicate proceeds from financially profitable 
criminal acts.
    19. Conditions that could raise a security concern and may be 
disqualifying include:
    (a) Inability or unwillingness to satisfy debts;
    (b) Indebtedness caused by frivolous or irresponsible spending and 
the absence of any evidence of willingness or intent to pay the debt or 
establish a realistic plan to pay the debt.
    (c) A history of not meeting financial obligations;
    (d) Deceptive or illegal financial practices such as embezzlement, 
employee theft, check fraud, income tax evasion, expense account fraud, 
filing deceptive loan statements, and other intentional financial 
breaches of trust;
    (e) Consistent spending beyond one's means, which may be indicated 
by excessive indebtedness, significant negative cash flow, high debt-to-
income ratio, and/or other financial analysis;

[[Page 863]]

    (f) Financial problems that are linked to drug abuse, alcoholism, 
gambling problems, or other issues of security concern;
    (g) Failure to file annual Federal, state, or local income tax 
returns as required or the fraudulent filing of the same;
    (h) Unexplained affluence, as shown by a lifestyle or standard of 
living, increase in net worth, or money transfers that cannot be 
explained by subject's known legal sources of income;
    (i) Compulsive or addictive gambling as indicated by an unsuccessful 
attempt to stop gambling, ``chasing losses'' (i.e. increasing the bets 
or returning another day in an effort to get even), concealment of 
gambling losses, borrowing money to fund gambling or pay gambling debts, 
family conflict or other problems caused by gambling.
    20. Conditions that could mitigate security concerns include:
    (a) The behavior happened so long ago, was so infrequent, or 
occurred under such circumstances that it is unlikely to recur and does 
not cast doubt on the individual's current reliability, trustworthiness, 
or good judgment;
    (b) The conditions that resulted in the financial problem were 
largely beyond the person's control (e.g., loss of employment, a 
business downturn, unexpected medical emergency, or a death, divorce or 
separation), and the individual acted responsibly under the 
circumstances;
    (c) The person has received or is receiving counseling for the 
problem and/or there are clear indications that the problem is being 
resolved or is under control;
    (d) The individual initiated a good-faith effort to repay overdue 
creditors or otherwise resolve debts;
    (e) The individual has a reasonable basis to dispute the legitimacy 
of the past-due debt which is the cause of the problem and provides 
documented proof to substantiate the basis of the dispute or provides 
evidence of actions to resolve the issue;
    (f) The affluence resulted from a legal source of income.

                    Guideline G: Alcohol Consumption

    21. The concern. Excessive alcohol consumption often leads to the 
exercise of questionable judgment or the failure to control impulses, 
and can raise questions about an individual's reliability and 
trustworthiness.
    22. Conditions that could raise a security concern and may be 
disqualifying include:
    (a) Alcohol-related incidents away from work, such as driving while 
under the influence, fighting, child or spouse abuse, disturbing the 
peace, or other incidents of concern, regardless of whether the 
individual is diagnosed as an alcohol abuser or alcohol dependent;
    (b) Alcohol-related incidents at work, such as reporting for work or 
duty in an intoxicated or impaired condition, or drinking on the job, 
regardless of whether the individual is diagnosed as an alcohol abuser 
or alcohol dependent;
    (c) Habitual or binge consumption of alcohol to the point of 
impaired judgment, regardless of whether the individual is diagnosed as 
an alcohol abuser or alcohol dependent;
    (d) Diagnosis by a duly qualified medical professional (e.g., 
physician, clinical psychologist, or psychiatrist) of alcohol abuse or 
alcohol dependence;
    (e) Evaluation of alcohol abuse or alcohol dependence by a licensed 
clinical social worker who is a staff member of a recognized alcohol 
treatment program;
    (f) Relapse after diagnosis of alcohol abuse or dependence and 
completion of an alcohol rehabilitation program;
    (g) Failure to follow any court order regarding alcohol education, 
evaluation, treatment, or abstinence.
    23. Conditions that could mitigate security concerns include:
    (a) So much time has passed, or the behavior was so infrequent, or 
it happened under such unusual circumstances that it is unlikely to 
recur or does not cast doubt on the individual's current reliability, 
trustworthiness, or good judgment;
    (b) The individual acknowledges his or her alcoholism or issues of 
alcohol abuse, provides evidence of actions taken to overcome this 
problem, and has established a pattern of abstinence (if alcohol 
dependent) or responsible use (if an alcohol abuser);
    (c) The individual is a current employee who is participating in a 
counseling or treatment program, has no history of previous treatment 
and relapse, and is making satisfactory progress;
    (d) The individual has successfully completed inpatient or 
outpatient counseling or rehabilitation along with any required 
aftercare, has demonstrated a clear and established pattern of modified 
consumption or abstinence in accordance with treatment recommendations, 
such as participation in meetings of Alcoholics Anonymous or a similar 
organization and has received a favorable prognosis by a duly qualified 
medical professional or a licensed clinical social worker who is a staff 
member of a recognized alcohol treatment program.

                      Guideline H: Drug Involvement

    24. The concern. Use of an illegal drug or misuse of a prescription 
drug can raise questions about an individual's reliability and 
trustworthiness, both because it may impair judgment and because it 
raises questions about a person's ability or willingness to comply with 
laws, rules, and regulations.
    (a) Drugs are defined as mood and behavior altering substances, and 
include:

[[Page 864]]

    (1) Drugs, materials, and other chemical compounds identified and 
listed in the Controlled Substances Act of 1970, as amended (e.g., 
marijuana or cannabis, depressants, narcotics, stimulants, and 
hallucinogens), and
    (2) Inhalants and other similar substances;
    (b) Drug abuse is the illegal use of a drug or use of a legal drug 
in a manner that deviates from approved medical direction.
    25. Conditions that could raise a security concern and may be 
disqualifying include:
    (a) Any drug abuse (see above definition); \1\
---------------------------------------------------------------------------

    \1\ Under the provisions of 10 U.S.C. 986 any person who is an 
unlawful user of, or is addicted to, a controlled substance as defined 
in section 102 of the Controlled Substances Act (21 U.S.C. 802), may not 
be granted or have renewed their access to classified information.
---------------------------------------------------------------------------

    (b) Testing positive for illegal drug use;
    (c) Illegal drug possession, including cultivation, processing, 
manufacture, purchase, sale, or distribution; or possession of drug 
paraphernalia;
    (d) Diagnosis by a duly qualified medical professional (e.g., 
physician, clinical psychologist, or psychiatrist) of drug abuse or drug 
dependence;
    (e) Evaluation of drug abuse or drug dependence by a licensed 
clinical social worker who is a staff member of a recognized drug 
treatment program;
    (f) Failure to successfully complete a drug treatment program 
prescribed by a duly qualified medical professional;
    (g) Any illegal drug use after being granted a security clearance;
    (h) Expressed intent to continue illegal drug use, or failure to 
clearly and convincingly commit to discontinue drug use.
    26. Conditions that could mitigate security concerns include:
    (a) The behavior happened so long ago, was so infrequent, or 
happened under such circumstances that it is unlikely to recur or does 
not cast doubt on the individual's current reliability, trustworthiness, 
or good judgment;
    (b) A demonstrated intent not to abuse any drugs in the future, such 
as:
    (1) Disassociation from drug-using associates and contacts;
    (2) Changing or avoiding the environment where drugs were used;
    (3) An appropriate period of abstinence;
    (4) A signed statement of intent with automatic revocation of 
clearance for any violation;
    (c) Abuse of prescription drugs was after a severe or prolonged 
illness during which these drugs were prescribed, and abuse has since 
ended;
    (d) Satisfactory completion of a prescribed drug treatment program, 
including but not limited to rehabilitation and aftercare requirements, 
without recurrence of abuse, and a favorable prognosis by a duly 
qualified medical professional.

                  Guideline I: Psychological Conditions

    27. The concern. Certain emotional, mental, and personality 
conditions can impair judgment, reliability, or trustworthiness. A 
formal diagnosis of a disorder is not required for there to be a concern 
under this guideline. A duly qualified mental health professional (e.g., 
clinical psychologist or psychiatrist) employed by, or acceptable to and 
approved by the U.S. Government, should be consulted when evaluating 
potentially disqualifying and mitigating information under this 
guideline. No negative inference concerning the standards in this 
Guideline may be raised solely on the basis of seeking mental health 
counseling.
    28. Conditions that could raise a security concern and may be 
disqualifying include:
    (a) Behavior that casts doubt on an individual's judgment, 
reliability, or trustworthiness that is not covered under any other 
guideline, including but not limited to emotionally unstable, 
irresponsible, dysfunctional, violent, paranoid, or bizarre behavior;
    (b) An opinion by a duly qualified mental health professional that 
the individual has a condition not covered under any other guideline 
that may impair judgment, reliability, or trustworthiness; \2\
---------------------------------------------------------------------------

    \2\ Under the provisions of 10 U.S.C. 986, any person who is 
mentally incompetent, as determined by a credentialed mental health 
professional approved by the Department of Defense, may not be granted 
or have renewed their access to classified information.
---------------------------------------------------------------------------

    (c) The individual has failed to follow treatment advice related to 
a diagnosed emotional, mental, or personality condition, e.g., failure 
to take prescribed medication.
    29. Conditions that could mitigate security concerns include:
    (a) The identified condition is readily controllable with treatment, 
and the individual has demonstrated ongoing and consistent compliance 
with the treatment plan;
    (b) The individual has voluntarily entered a counseling or treatment 
program for a condition that is amenable to treatment, and the 
individual is currently receiving counseling or treatment with a 
favorable prognosis by a duly qualified mental health professional;
    (c) Recent opinion by a duly qualified mental health professional 
employed by, or acceptable to and approved by the U.S. Government that 
an individual's previous condition is under control or in remission, and 
has a low probability of recurrence or exacerbation;

[[Page 865]]

    (d) The past emotional instability was a temporary condition (e.g., 
one caused by death, illness, or marital breakup), the situation has 
been resolved, and the individual no longer shows indications of 
emotional instability;
    (e) There is no indication of a current problem.

                      Guideline J: Criminal Conduct

    30. The concern. Criminal activity creates doubt about a person's 
judgment, reliability, and trustworthiness. By its very nature, it calls 
into question a person's ability or willingness to comply with laws, 
rules and regulations.
    31. Conditions that could raise a security concern and may be 
disqualifying include:
    (a) A single serious crime or multiple lesser offenses;
    (b) Discharge or dismissal from the Armed Forces under dishonorable 
conditions; \3\
---------------------------------------------------------------------------

    \3\ Under the provisions of 10 U.S.C. 986, a person who has received 
a dishonorable discharge or has been dismissed from the Armed Forces may 
not be granted or have renewed access to classified information. In a 
meritorious case, the Secretaries of the Military Departments or 
designee; or the Directors of WHS, DIA, NSA, DOHA or designee may 
authorize a waiver of this prohibition.
---------------------------------------------------------------------------

    (c) Allegation or admission of criminal conduct, regardless of 
whether the person was formally charged, formally prosecuted or 
convicted;
    (d) Individual is currently on parole or probation;
    (e) Violation of parole or probation, or failure to complete a 
court-mandated rehabilitation program;
    (f) Conviction in a Federal or State court, including a court-
martial of a crime, sentenced to imprisonment for a term exceeding one 
year and incarcerated as a result of that sentence for not less than a 
year. \4\
---------------------------------------------------------------------------

    \4\ Under the above mentioned statute, a person who has been 
convicted in a Federal or State court, including courts martial, 
sentenced to imprisonment for a term exceeding one year and incarcerated 
for not less than one year, may not be granted or have renewed access to 
classified information. The same waiver provision also applies.
---------------------------------------------------------------------------

    32. Conditions that could mitigate security concerns include:
    (a) So much time has elapsed since the criminal behavior happened, 
or it happened under such unusual circumstances that it is unlikely to 
recur and does not cast doubt on the individual's reliability, 
trustworthiness, or good judgment;
    (b) The person was pressured or coerced into committing the act and 
those pressures are no longer present in the person's life;
    (c) Evidence that the person did not commit the offense;
    (d) There is evidence of successful rehabilitation; including but 
not limited to the passage of time without recurrence of criminal 
activity, remorse or restitution, job training or higher education, good 
employment record, or constructive community involvement;
    (e) Potentially disqualifying conditions 31. (b) and (f) may not be 
mitigated unless, where meritorious circumstances exist, the Secretaries 
of the Military Departments or designee; or the Directors of Washington 
Headquarters Services (WHS), Defense Intelligence Agency (DIA), National 
Security Agency (NSA), Defense Office of Hearings and Appeals (DOHA) or 
designee has granted a waiver.

               Guideline K: Handling Protected Information

    33. The concern. Deliberate or negligent failure to comply with 
rules and regulations for protecting classified or other sensitive 
information raises doubt about an individual's trustworthiness, 
judgment, reliability, or willingness and ability to safeguard such 
information, and is a serious security concern.
    34. Conditions that could raise a security concern and may be 
disqualifying include:
    (a) Deliberate or negligent disclosure of classified or other 
protected information to unauthorized persons, including but not limited 
to personal or business contacts, to the media, or to persons present at 
seminars, meetings, or conferences;
    (b) Collecting or storing classified or other protected information 
at home or in any other unauthorized location;
    (c) Loading, drafting, editing, modifying, storing, transmitting, or 
otherwise handling classified reports, data, or other information on any 
unapproved equipment including but not limited to any typewriter, word 
processor, or computer hardware, software, drive, system, gameboard, 
handheld, ``palm'' or pocket device or other adjunct equipment;
    (d) Inappropriate efforts to obtain or view classified or other 
protected information outside one's need to know;
    (e) Copying classified or other protected information in a manner 
designed to conceal or remove classification or other document control 
markings;
    (f) Viewing or downloading information from a secure system when the 
information is beyond the individual's need-to-know;
    (g) Any failure to comply with rules for the protection of 
classified or other sensitive information;
    (h) Negligence or lax security habits that persist despite 
counseling by management.
    (i) Failure to comply with rules or regulations that results in 
damage to the National

[[Page 866]]

Security, regardless of whether it was deliberate or negligent.
    35. Conditions that could mitigate security concerns include:
    (a) So much time has elapsed since the behavior, or it has happened 
so infrequently or under such unusual circumstances, that it is unlikely 
to recur and does not cast doubt on the individual's current 
reliability, trustworthiness, or good judgment;
    (b) The individual responded favorably to counseling or remedial 
security training and now demonstrates a positive attitude toward the 
discharge of security responsibilities;
    (c) The security violations were due to improper or inadequate 
training.

                     Guideline L: Outside Activities

    36. The concern. Involvement in certain types of outside employment 
or activities is of security concern if it poses a conflict of interest 
with an individual's security responsibilities and could create an 
increased risk of unauthorized disclosure of classified information.
    37. Conditions that could raise a security concern and may be 
disqualifying include:
    (a) Any employment or service, whether compensated or volunteer, 
with:
    (1) The government of a foreign country;
    (2) Any foreign national, organization, or other entity;
    (3) A representative of any foreign interest;
    (4) Any foreign, domestic, or international organization or person 
engaged in analysis, discussion, or publication of material on 
intelligence, defense, foreign affairs, or protected technology;
    (b) Failure to report or fully disclose an outside activity when 
this is required.
    38. Conditions that could mitigate security concerns include:
    (a) Evaluation of the outside employment or activity by the 
appropriate security or counterintelligence office indicates that it 
does not pose a conflict with an individual's security responsibilities 
or with the national security interests of the United States;
    (b) The individual terminated the employment or discontinued the 
activity upon being notified that it was in conflict with his or her 
security responsibilities.

           Guideline M: Use of Information Technology Systems

    39. The concern. Noncompliance with rules, procedures, guidelines or 
regulations pertaining to information technology systems may raise 
security concerns about an individual's reliability and trustworthiness, 
calling into question the willingness or ability to properly protect 
sensitive systems, networks, and information. Information Technology 
Systems include all related computer hardware, software, firmware, and 
data used for the communication, transmission, processing, manipulation, 
storage, or protection of information.
    40. Conditions that could raise a security concern and may be 
disqualifying include:
    (a) Illegal or unauthorized entry into any information technology 
system or component thereof;
    (b) Illegal or unauthorized modification, destruction, manipulation 
or denial of access to information, software, firmware, or hardware in 
an information technology system;
    (c) Use of any information technology system to gain unauthorized 
access to another system or to a compartmented area within the same 
system;
    (d) Downloading, storing, or transmitting classified information on 
or to any unauthorized software, hardware, or information technology 
system;
    (e) Unauthorized use of a government or other information technology 
system;
    (f) Introduction, removal, or duplication of hardware, firmware, 
software, or media to or from any information technology system without 
authorization, when prohibited by rules, procedures, guidelines or 
regulations;
    (g) Negligence or lax security habits in handling information 
technology that persist despite counseling by management;
    (h) Any misuse of information technology, whether deliberate or 
negligent, that results in damage to the national security.
    41. Conditions that could mitigate security concerns include:
    (a) So much time has elapsed since the behavior happened, or it 
happened under such unusual circumstances, that it is unlikely to recur 
and does not cast doubt on the individual's reliability, 
trustworthiness, or good judgment;
    (b) The misuse was minor and done only in the interest of 
organizational efficiency and effectiveness, such as letting another 
person use one's password or computer when no other timely alternative 
was readily available;
    (c) The conduct was unintentional or inadvertent and was followed by 
a prompt, good-faith effort to correct the situation and by notification 
of supervisor.

[71 FR 51475, Aug. 30, 2006]



          Sec. Appendix I to Part 154--Overseas Investigations

                               1. Purpose

    The purpose of this appendix is to establish, within the framework 
of this part, 32 CFR part 361 and Defense Investigative Service Manual 
20-1, standardized procedures for the military investigative agencies to 
follow when they perform administrative and investigative functions on 
behalf of DIS at overseas locations.

[[Page 867]]

                          2. Type Investigation

    This part describes in detail Background Investigations (BI) which 
are conducted for Limited Access Authorizations and those Special 
Investigative Inquiries conducted for post-adjudicative purposes. 
Hereafter they are referred to as LAA and Post-adjudicative cases and 
are briefly described in paragraphs a and b below:
    a. Limited access authorization. A level of access to classified 
defense information that may be granted to a non-U.S. citizen under 
certain conditions, one of which is that a BI must have been completed 
with satisfactory results. Sec. 154.16(d) further describes LAA cases.
    b. Post-adjudication investigation. A Personnel Security 
Investigation (PSI) predicated on new, adverse or questionable security, 
suitability or hostage information that arises and requires the 
application of investigation procedures subsequent to adjudicative 
action on a DoD-affiliated person's eligibility for continued access to 
classified information, assignment to or retention in sensitive duties 
or other designated duties requiring such investigation. While these 
cases are normally predicated on the surfacing of unfavorable 
information subsequent to favorable adjudication, they may also be 
opened when favorable information is offered to counter a previous 
unfavorable adjudication. Sec. 154.9(c)(3) further describes these 
cases.

                               3. General

    a. As a rule, investigative activity in most PSIs occurs in the U.S. 
even when the Subject is at an overseas location. Therefore, the 
submission of requests for investigation to the Personnel Investigation 
Center (PIC) at Baltimore is a required procedure as it ensures uniform 
application of DoD PSI policy and the efficient dispatch and 
coordination of leads.
    b. When the purpose of the investigation is for an LAA or post-
adjudication on a Subject overseas, much, if not all of the leads are at 
an overseas location. While these cases also may be submitted directly 
to PIC for action, there is an inherent delay in the mailing of the 
request, the exchange of leads and reports with PIC, and transmittal of 
the reports back to the requester. To avoid this delay, the military 
investigative agencies, when acting for DIS overseas in accordance with 
32 CFR part 361 may, with their Headquarters approval, accept these 
requests for investigations, initiate them and disseminate the results 
from the same level as they open, close, and disseminate their own 
cases. Usually this will greatly improve response time to the requester.
    c. Under the procedures in paragraph b., above, DIS will not often 
be in a position to directly exercise its responsibility for control and 
direction until the case or lead is in progress or even completed; 
therefore, adherence to the policy stated in referenced documents, and 
as modified herein, is mandatory. When the policy of the military 
investigative agency is at variance with the above, the matter will be 
referred to the respective headquarters for resolution.
    d. Since DIS is ultimately responsible for the personnel security 
product, it must be kept informed of all such matters referred to in 
this appendix. For instance, when the investigative agency overseas 
receives a DD Form 1879, Request for Personnel Security Investigation, 
which sets forth an issue outside DIS jurisdiction, it will reject the 
request, inform the requester of the reason and furnish an information 
copy of the DD Form 1879 and rejection letter to PIC. When the issue/
jurisdiction is unclear to the investigative agency, the DD Form 1879 
and the perceived jurisdictional question should be promptly forwarded 
to DIS for action and, if appropriate, to the component's headquarters 
for information. Questions on the interpretation of DIS or DoD policy 
and Directives pertaining to individual PSI cases can usually be 
resolved through direct communications with PIC.
    e. 32 CFR part 361 establishes the supporting relationship of the 
military investigative agencies to DIS in overseas areas, and DIS 
provides these agencies with copies of relevant policy and interpretive 
guidance. For these reasons, the investigative agency vice the 
requester, is responsible for evaluating the request, processing it, 
collecting and evaluating the results within their jurisdiction for 
sufficiency, and forwarding the completed product to the appropriate 
activity.
    f. The magnitude of operations at PIC requires that methods of 
handling LAA and post-adjudicative cases be consistent to the maximum 
extent possible. For this reason, the procedures for LAA cases are 
nearly identical to those for post-adjudicative cases. Briefly, the main 
exceptions are:
    (1) The notification to PIC that a post-adjudication case has been 
opened will be by message, since an issue is present at the outset, 
whereas notification of an LAA case should normally be by mail.
    (2) The scope of the LAA investigation is 10 years or since the 
person's 18th birthday, whichever is shortest, whereas the leads in a 
post-djudication case are limited to resolving the issue.

                             4. Jurisdiction

    a. As set-forth in 32 CFR part 361 DIS is responsible for conducting 
all DoD PSIs in the 50 States, District of Columbia, and Puerto Rico, 
and will request the military departments to accomplish investigative 
requirements elsewhere. The military investigative

[[Page 868]]

agencies in overseas locations routinely respond to personnel security 
investigative leads for DIS.
    b. DIS jurisdiction also includes investigation of subversive 
affiliations, suitability information, and hostage situations when such 
inquiries are required for personnel security purposes; however, 
jurisdiction will rest with the military investigative agencies, FBI 
and/or civil authorities as appropriate when the alleged subversion or 
suitability issue represents a violation of law or, in the case of a 
hostage situation, there is an indication that the person concerned is 
actually being pressured, coerced, or influenced by interests inimical 
to the United States, or that hostile intelligence is taking action 
specifically directed against that person. Specific policy guidance on 
the applicability of these procedures and the jurisdictional 
considerations are stated in Sec. 154.9.

                             5. Case Opening

    a. A request for investigation must be submitted by using DD Form 
1879 and accompanied by supporting documentation unless such 
documentation is not immediately available, or the obtaining of 
documentation would compromise a sensitive investigation. Upon receipt 
of the request, the military investigative component will identify the 
issue(s), scope the leads, and ensure that the proposed action is that 
which is authorized for DIS as delineated in this part, 32 CFR part 361 
and Defense Investigative Service Manual 201-1.
    b. Upon such determination, the Component will prepare an Action 
Lead Sheet (ALS) which fully identifies the Subject and the scope of the 
case, and specifies precisely the leads which each investigative 
component (including DIS/PIC when appropriate) is to conduct.
    c. Case opening procedures described above are identical for LAA and 
post-adjudication cases except with respect to notification of case 
opening to PIC:
    (1) Post-adjudication Cases. These cases, because they involve an 
issue, are potentially sensitive and must be examined as early as 
possible by PIC for conformity to the latest DoD policy. Accordingly, 
the initial notification to PIC of case openings will always be by 
message. The message will contain at a minimum:
    (a) Full identification of the subject;
    (b) A narrative describing the allegation/facts in sufficient detail 
to support opening of the case; and
    (c) A brief listing of the leads that are planned.
    The DD Form 1879 and supporting documents, along with the agency's 
ALS, should be subsequently mailed to PIC.
    (2) LAA Cases. The notification to PIC of case opening will normally 
be accomplished by mailing the DD Form 1879, DD Form 398 (Personal 
History Statement), a copy of the ALS, and any other supporting 
documents to PIC. Message notification to PIC in LAA cases will only be 
required if there is a security or suitability issue apparent in the DD 
Form 1879 or supporting documents.
    (d) Beyond initial actions necessary to test allegation for 
investigative merit and jurisdiction, no further investigative action 
should commence until the notification of case opening to PIC has been 
dispatched.
    (e) PIC will promptly respond to the notification of case opening by 
mail or message specifying any qualifying remarks along with a summary 
of previously existing data. PIC will also provide a DIS case control 
number (CCN). This number must be used by all components on all case 
related paperwork/reports.
    (The investigating agency may assign its unique service CCN for 
interim internal control; however, the case will be processed, 
referenced, and entered into the DCII by the DIS case control number.) 
The first five digits of the DIS CCN will be the Julian date of the case 
opening when received at DIS.

                           6. Case Processing

    a. The expected completion time for leads in LAA cases is 50 
calendar days and for post-adjudication cases, 30 days, as computed from 
the date of receipt of the request. If conditions preclude completion in 
this time period, a pending report of the results to date, along with an 
estimated date of completion will be submitted to PIC.
    b. Copies of all ALSs will be furnished to PIC. In addition, PIC 
will be promptly notified of any significant change in the scope of the 
case, or the development of an investigative issue.
    c. The procedures for implementing the Privacy Act in PSI cases are 
set in DIS Manual 20-1-M 1. Any other restrictions on the release of 
information imposed by an overseas source or by regulations of the 
country where the inquiry takes place will be clearly stated in the 
report.
    d. The report format for these cases will be that used by the 
military investigative agency.
    e. Investigative action outside the jurisdictional area of an 
investigative component office may be directed elsewhere by ALS as 
needed in accordance with that agency's procedures and within the 
following geographical considerations:
    (1) Leads will be sent to PIC if the investigative action is in the 
United States, District of Columbia, Puerto Rico, American Samoa, Bahama 
Islands, the U.S. Virgin Islands, and the following islands in the 
Pacific: Wake, Midway, Kwajalin, Johnston, Carolines, Marshalls, and 
Eniwetok.
    (2) Leads to areas not listed above may be dispatched to other units 
of the investigative agency or even to another military agency's

[[Page 869]]

field units if there is an agreement or memorandum of understanding that 
provides for such action. For case accountability purposes, copies of 
such ``lateral'' leads must be sent to the PIC.
    (3) Leads that cannot be dispatched as described in paragraph (2) 
above, and those that must be sent to a non-DoD investigative agency 
should be sent to PIC for disposition.
    f. The Defense Investigative Manual calls for obtaining PIC approval 
before conducting a Subject interview on a post-adjudicative 
investigation. To avoid the delay that compliance with this procedure 
would create, a military investigative component may conduct the 
interview provided:
    (1) All other investigative leads have been completed and reviewed.
    (2) The CCN has been received, signifying DIS concurrence with the 
appropriateness of the investigation.
    (3) Contrary instructions have not been received from the PIC.
    (4) The interview is limited to the resolution of the relevant 
issues disclosed by the investigation.
    g. Notwithstanding the provisions of paragraphs f.(1) through (4) of 
this Appendix, if time is of the essence due to imminent transfer of the 
subject, a subject interview may be conducted at the discretion of the 
investigative agency.

                    7. Case Responsibility LAA and PA

    Paragraph 3, above, describes the advantages of timely handling 
which accrue when the military investigative components act for DIS 
overseas. These actions for DIS may, however, be limited by the 
component's staffing and resource limitations, especially since some 
cases require more administration and management than others. Post-
adjudication case leads, for instance, will normally be within the 
geographical jurisdiction of the component that accepted the request for 
investigation; therefore, relatively little case management is required. 
In contrast, LAA cases may require leads world-wide, and, therefore, 
create more complex case management and administration, especially in 
the tracking, monitoring and reviewing of leads outside the component's 
geographical area. Accordingly, an investigative component will accept 
the case from the requester, but only assign itself the appropriate 
leads within its own geographical jurisdiction and send the balance to 
PIC for appropriate disposition in accordance with the following:
    a. The investigative agency will accept the request for 
investigation (thereby saving time otherwise lost in mailing to PIC) but 
limit its involvement in case management by extracting only those leads 
it will conduct or manage locally.
    b. The agency should then prepare an ALS that shows clearly what 
leads it will cover and send PIC a copy of this ALS, along with the 
request for investigation and any other appropriate documentation. It 
must be clear in the ALS that PIC is to act on all those leads that the 
unit has not assigned to itself.
    c. PIC, as case manager, will assume responsibility for the complete 
investigative package and, upon receipt of the last lead, will send the 
results to the appropriate activity.
    d. The agency that accepted the case and assigned itself leads may 
send a copy of its report to the activity in the ``Results to'' block at 
the same time it sends the originals to PIC. If so, the letter of 
transmittal must inform the recipient that these reports are only a 
portion of the investigation, and that the balance will be forthcoming 
from PIC. Similarly, PIC must be informed of which investigative reports 
were disseminated. (This is normally done by sending PIC a copy of the 
letter of transmittal.)

                                8. Scope

    a. LAA. The scope of investigation is 10 years or from age 18, 
whichever is the shortest period.
    b. Post-Adjudication Cases. There is no standard scope. The 
inquiries conducted will be limited to those necessary to resolve the 
issue(s).

                       9. Case Closing: LAA and PA

    a. Whether the investigative component or PIC closes out an 
investigation, there are three key elements to consider:
    (1) The investigative results must be reviewed for quality and 
conformance to policy.
    (2) The results must be sent to the activity listed in the ``Results 
to'' block of the DD Form 1879.
    (3) PIC must be informed whether or not any dissemination was made 
by the investigative agency and, if so, what reports were furnished.
    b. Investigative results may also be sent to a requester or higher 
level activity that makes a statement of need for the results. In such 
instances, a copy of the letter requesting the results and the 
corresponding letter of transmittal must be sent to PIC for retention.
    c. When an investigative agency disseminates reports for PIC, it may 
use the transmittal documents, letters, or cover sheets it customarily 
uses for its own cases.
    d. The material that is to be provided to PIC will consist of: The 
originals of all reports, and all other case documentation such as 
original statements, confidential source sheets, interview logs, 
requests for investigation, letters of transmittal to adjudicaters/
requesters, or communications with the requester, such as those that 
modify the scope of the investigation.

[[Page 870]]

    e. For DIS to fulfill its responsibilities under DoD 5220.22-R and 
the Privacy Act of 1974 all inquiries conducted in its behalf must be 
set forth in an ROI for the permanent file, whether the case is 
completed, terminated early, or referred to another agency.

                              10. Referral

    A case may require premature closing at any time after receipt of 
the DD Form 1879 by the investigative component if the information 
accompanying the request, or that which is later developed, is outside 
DIS jurisdiction. For example, alleged violations of law, a 
counterintelligence matter, or actual coercion/influence in a hostage 
situation (see paragraph 4.b. of this Appendix) must be referred to the 
appropriate agency, and DIS involvement terminated. The requester will 
be informed by letter or indorsement to the DD Form 1879 of the 
information developed that, due to jurisdictional consideration, the 
case was referred to (fill in appropriate address) and that the DIS case 
is closed. The agency to which referral was made and PIC will be 
furnished with the results of all investigations conducted under DIS 
auspices. DIS, however, has an interest in the referral agency's actions 
and no information should be solicited from that agency.



 Sec. Appendix J to Part 154--ADP Position Categories and Criteria for 
                          Designating Positions

    OMB Circular A-71 (and Transmittal Memo B1), July 1978 OMB 
Circular A-130, December 12, 1985, and FPM Letter 732, November 14, 1978 
contain the criteria for designating positions under the existing 
categories used in the personnel security program for Federal civilian 
employees as well as the criteria for designating ADP and ADP related 
positions. This policy is outlined below:

                         ADP Position Categories

                     1. Critical-Sensitive Positions

    ADP-I positions. Those positions in which the incumbent is 
responsible for the planning, direction, and implementation of a 
computer security program; major responsibility for the direction, 
planning and design of a computer system, including the hardware and 
software; or, can access a system during the operation or maintenance in 
such a way, and with a relatively high risk for causing grave damage, or 
realize a significant personal gain.

                   2. Noncritical-Sensitive Positions

    ADP-II positions. Those positions in which the incumbent is 
responsible for the direction, planning, design, operation, or 
maintenance of a computer system, and whose work is technically reviewed 
by a higher authority of the ADP-I category to insure the integrity of 
the system.

                        3. Nonsensitive Positions

    ADP-III positions. All other positions involved in computer 
activities.
    In establishing the categories of positions, other factors may enter 
into the determination, permitting placement in higher or lower 
categories based on the agency's judgement as to the unique 
characteristics of the system or the safeguards protecting the system.

                   Criteria for Designating Positions

    Three categories have been established for designating computer and 
computer-related positions--ADP-I, ADP-II, and ADP-III. Specific 
criteria for assigning positions to one of these categories is as 
follows:

------------------------------------------------------------------------
            Category                             Criteria
------------------------------------------------------------------------
ADP-I..........................  Responsibility or the development and
                                  administration of agency computer
                                  security programs, and also including
                                  direction and control of risk analysis
                                  and/or threat assessment.
                                 Significant involvement in life-
                                  critical or mission-critical systems.
                                 Significant involvement in life-
                                  critical or mission-critical systems.
                                 Responsibility for the preparation or
                                  approval of data for input into a
                                  system which does not necessarily
                                  involve personal access to the system,
                                  but with relatively high risk for
                                  effecting grave damage or realizing
                                  significant personal gain.
                                 Relatively high risk assignments
                                  associated with or directly involving
                                  the accounting, disbursement, or
                                  authorization for disbursement from
                                  systems of (1) dollar amounts of $10
                                  million per year or greater, or (2)
                                  lesser amounts if the activities of
                                  the individual are not subject to
                                  technical review by higher authority
                                  in the ADP-I category to ensure the
                                  integrity of the system.
                                 Positions involving major
                                  responsibility for the direction
                                  planning, design, testing,
                                  maintenance, operation, monitoring,
                                  and/or management of systems hardware
                                  and software.
                                 Other positions as designated by the
                                  agency head that involve relatively
                                  high risk for effecting grave damage
                                  or realizing significant personal
                                  gain.
ADP-II.........................  Responsibility for systems design,
                                  operation, testing, maintenance, and/
                                  or monitoring that is carried out
                                  under technical review of higher
                                  authority in the ADP-I category,
                                  includes, but is not limited to:
                                 (1) access to and/or processing of
                                  proprietary data, information
                                  requiring protection under the Privacy
                                  Act of 1974, and Government-developed
                                  privileged information involving the
                                  award of contracts;

[[Page 871]]

 
                                 (2) accounting, disbursement, or
                                  authorization for disbursement from
                                  systems of dollar amounts less than
                                  $10 million per year. Other positions
                                  are designated by the agency head that
                                  involve a degree of access to a system
                                  that creates a significant potential
                                  for damage or personal gain less than
                                  that in ADP-I positions.
ADP-III........................  All other positions involved in Federal
                                  computer activities.
------------------------------------------------------------------------



PART 155_DEFENSE INDUSTRIAL PERSONNEL SECURITY CLEARANCE PROGRAM
--Table of Contents



Sec.
155.1 Purpose.
155.2 Applicability and scope.
155.3 Definitions.
155.4 Policy.
155.5 Responsibilities.
155.6 Procedures.

Appendix A to Part 155--Additional Procedural Guidance

    Authority: E.O. 10865, 3 CFR 1959-1963 Comp., p. 398, as amended by 
E.O. 10909, 3 CFR 1959-1963 Comp., p. 437; E.O. 11382, 3 CFR 1966-1970 
Comp., p. 690; and E.O. 12829, 3 CFR 1993 Comp., p. 570.

    Source: 57 FR 5383, Feb. 14, 1992, unless otherwise noted.



Sec. 155.1  Purpose.

    This part updates policy, responsibilities, and procedures of the 
Defense Industrial Personnel Security Clearance Review Program 
implementing E.O. 10865, as amended.

[57 FR 5383, Feb. 14, 1992, as amended at 59 FR 48565, Sept. 22, 1994]



Sec. 155.2  Applicability and scope.

    This part:
    (a) Applies to the Office of the Secretary of Defense, the Military 
Departments, the Chairman of the Joint Chiefs of Staff and the Joint 
Staff, the Inspector General of the Department of Defense (IG, DoD), and 
the Defense Agencies (hereafter referred to collectively as ``the DoD 
Components'').
    (b) By mutual agreement, also extends to other Federal Agencies that 
include:
    (1) Department of Agriculture.
    (2) Department of Commerce.
    (3) Department of Interior.
    (4) Department of Justice.
    (5) Department of Labor.
    (6) Department of State.
    (7) Department of Transportation.
    (8) Department of Treasury.
    (9) Environmental Protection Agency.
    (10) Federal Emergency Management Agency.
    (11) Federal Reserve System.
    (12) General Accounting Office.
    (13) General Services Administration.
    (14) National Aeronautics and Space Administration.
    (15) National Science Foundation.
    (16) Small Business Administration.
    (17) United States Arms Control and Disarmament Agency.
    (18) United States Information Agency.
    (19) United States International Trade Commission.
    (20) United States Trade Representative.
    (c) Applies to cases that the Defense Industrial Security Clearance 
Office (DISCO) forwards to the ``Defense Office of Hearings and Appeals 
(DOHA)'' for action under this part to determine whether it is clearly 
consistent with the national interest to grant or continue a security 
clearance for the applicant.
    (d) Provides a program that may be extended to other security cases 
at the direction of the Assistant Secretary of Defense for Command, 
Control, Communications, and Intelligence (ASD(C\3\I)).
    (e) Does not apply to cases in which:
    (1) A security clearance is withdrawn because the applicant no 
longer has a need for access to classified information;
    (2) An interim security clearance is withdrawn by the DISCO during 
an investigation; or
    (3) A security clearance is withdrawn for administrative reasons 
that are without prejudice as to a later determination of whether the 
grant or continuance of the applicant's security clearance would be 
clearly consistent with the national interest.
    (f) Does not apply to cases for access to sensitive compartmented 
information or a special access program.

[57 FR 5383, Feb. 14, 1992, as amended at 59 FR 35464, July 12, 1994]

[[Page 872]]



Sec. 155.3  Definitions.

    (a) Applicant. Any U.S. citizen who holds or requires a security 
clearance or any immigrant alien who holds or requires a limited access 
authorization for access to classified information needed in connection 
with his or her employment in the private sector; any U.S. citizen who 
is a direct-hire employee or selectee for a position with the North 
Atlantic Treaty Organization (NATO) and who holds or requires NATO 
certificates of security clearance or security assurances for access to 
U.S. or foreign classified information; or any U.S. citizen nominated by 
the Red Cross or United Service Organizations for assignment with the 
Military Services overseas. The term ``applicant'' does not apply to 
those U.S. citizens who are seconded to NATO by U.S. Departments and 
Agencies or to U.S. citizens recruited through such Agencies in response 
to a request from NATO.
    (b) Clearance Decision. A decision made in accordance with this part 
concerning whether it is clearly consistent with the national interest 
to grant an applicant a security clearance for access to Confidential, 
Secret, or Top Secret information. A favorable clearance decision 
establishes eligibility of the applicant to be granted a security 
clearance for access at the level governed by the documented need for 
such access, and the type of investigation specified for that level in 
32 CFR part 154. An unfavorable clearance decision denies any 
application for a security clearance and revokes any existing security 
clearance, thereby preventing access to classified information at any 
level and the retention of any existing security clearance.



Sec. 155.4  Policy.

    It is DoD policy that:
    (a) All proceedings provided for by this part shall be conducted in 
a fair and impartial manner.
    (b) A clearance decision reflects the basis for an ultimate finding 
as to whether it is clearly consistent with the national interest to 
grant or continue a security clearance for the applicant.
    (c) Except as otherwise provided for by E.O. 10865, as amended, or 
this part, a final unfavorable clearance decision shall not be made 
without first providing the applicant with:
    (1) Notice of specific reasons for the proposed action.
    (2) An opportunity to respond to the reasons.
    (3) Notice of the right to a hearing and the opportunity to cross-
examine persons providing information adverse to the applicant.
    (4) Opportunity to present evidence on his or her own behalf, or to 
be represented by counsel or personal representative.
    (5) Written notice of final clearance decisions.
    (6) Notice of appeal procedures.
    (d) Actions pursuant to this part shall cease upon termination of 
the applicant's need for access to classified information except in 
those cases in which:
    (1) A hearing has commenced;
    (2) A clearance decision has been issued; or
    (3) The applicant's security clearance was suspended and the 
applicant provided a written request that the case continue.

[57 FR 5383, Feb. 14, 1992, as amended at 59 FR 48565, Sept. 22, 1994]



Sec. 155.5  Responsibilities.

    (a) The Assistant Secretary of Defense of Command, Control, 
Communications and Intelligence shall:
    (1) Establish investigative policy and adjudicative standards and 
oversee their application.
    (2) Coordinate with the General Counsel of the Department of Defense 
(GC, DoD) on policy affecting clearance decisions.
    (3) Issue clarifying guidance and instructions as needed.
    (b) The General Counsel of the Department of Defense shall:
    (1) Establish guidance and provide oversight as to legal sufficiency 
of procedures and standards established by this part.
    (2) Establish the organization and composition of the DOHA.
    (3) Designate a civilian attorney to be the Director, DOHA.
    (4) Issue clarifying guidance and instructions as needed.

[[Page 873]]

    (5) Administer the program established by this part.
    (6) Issue invitational travel orders in appropriate cases to persons 
to appear and testify who have provided oral or written statements 
adverse to the applicant relating to a controverted issue.
    (7) Designate attorneys to be Department Counsels assigned to the 
DOHA to represent the Government's interest in cases and related matters 
within the applicability and scope of this part.
    (8) Designate attorneys to be Administrative Judges assigned to the 
DOHA.
    (9) Designate attorneys to be Administrative Judge members of the 
DOHA Appeal Board.
    (10) Provide for supervision of attorneys and other personnel 
assigned or attached to the DOHA.
    (11) Develop and implement policy established or coordinated with 
the GC, DoD, in accordance with this part.
    (12) Establish and maintain qualitative and quantitative standards 
for all work by DOHA employees arising within the applicability and 
scope of this part.
    (13) Ensure that the Administrative Judges and Appeal Board members 
have the requisite independence to render fair and impartial decisions 
consistent with DoD policy.
    (14) Provide training, clarify policy, or initiate personnel 
actions, as appropriate, to ensure that all DOHA decisions are made in 
accordance with policy, procedures, and standards established by this 
part.
    (15) Provide for maintenance and control of all DOHA records.
    (16) Take actions as provided for in Sec. 155.6(b), and the 
additional procedural guidance in appendix A to this part.
    (17) Establish and maintain procedures for timely assignment and 
completion of cases.
    (18) Issue guidance and instructions, as needed, to fulfill the 
foregoing responsibilities.
    (19) Designate the Director, DOHA, to implement paragraphs (b)(5) 
through (b)(18) of this section, under general guidance of the GC, DoD.
    (c) The Heads of the DoD Components shall provide (from resources 
available to the designated DoD Component) financing, personnel, 
personnel spaces, office facilities, and related administrative support 
required by the DOHA.
    (d) The ASD(C\3\I) shall ensure that cases within the scope and 
applicability of this part are referred promptly to the DOHA, as 
required, and that clearance decisions by the DOHA are acted upon 
without delay.

[57 FR 5383, Feb. 14, 1992, as amended at 59 FR 35464, July 12, 1994]



Sec. 155.6  Procedures.

    (a) Applicants shall be investigated in accordance with the 
standards in 32 CFR part 154.
    (b) An applicant is required to give, and to authorize others to 
give, full, frank, and truthful answers to relevant and material 
questions needed by the DOHA to reach a clearance decision and to 
otherwise comply with the procedures authorized by this part. The 
applicant may elect on constitutional or other grounds not to comply; 
but refusal or failure to furnish or authorize the providing of relevant 
and material information or otherwise cooperate at any stage in the 
investigation or adjudicative process may prevent the DOHA from making a 
clearance decision. If an applicant fails or refuses to:
    (1) Provide relevant and material information or to authorize others 
to provide such information; or
    (2) Proceed in a timely or orderly fashion in accordance with this 
part; or
    (3) Follow directions of an Administrative Judge or the Appeal 
Board; then the Director, DOHA, or designee, may revoke any security 
clearance held by the applicant and discontinue case processing. 
Requests for resumption of case processing and reinstatement of a 
security clearance may be approved by the Director, DOHA, only upon a 
showing of good cause. If the request is denied, in whole or in part, 
the decision is final and bars reapplication for a security clearance 
for 1 year from the date of the revocation.
    (c) Each clearance decision must be a fair and impartial common 
sense determination based upon consideration of all the relevant and 
material information and the pertinent criteria in 32 CFR 154.7 and 
adjudication policy in appendix H to 32 CFR part 154, including as 
appropriate:

[[Page 874]]

    (1) Nature and seriousness of the conduct and surrounding 
circumstances.
    (2) Frequency and recency of the conduct.
    (3) Age of the applicant.
    (4) Motivation of the applicant, and the extent to which the conduct 
was negligent, willful, voluntary, or undertaken with knowledge of the 
consequences involved.
    (5) Absence or presence of rehabilitation.
    (6) Probability that the circumstances or conduct will continue or 
recur in the future.
    (d) Whenever there is a reasonable basis for concluding that an 
applicant's continued access to classified information poses an imminent 
threat to the national interest, any security clearance held by the 
applicant may be suspended by the ASD(C\3\I), with the concurrence of 
the GC, DoD, pending a final clearance decision. This suspension may be 
rescinded by the same authorities upon presentation of additional 
information that conclusively demonstrates that an imminent threat to 
the national interest no longer exists. Procedures in appendix A to this 
part shall be expedited whenever an applicant's security clearance has 
been suspended pursuant to this section.
    (e) Nothing contained in this part shall limit or affect the 
responsibility and powers of the Secretary of Defense or the head of 
another Department or Agency to deny or revoke a security clearance when 
the security of the nation so requires. Such authority may not be 
delegated and may be exercised only when the Secretary of Defense or the 
head of another Department or Agency determines that the hearing 
procedures and other provisions of this part cannot be invoked 
consistent with the national security. Such a determination shall be 
conclusive.
    (f) Additional procedural guidance is in appendix A to this part.

[57 FR 5383, Feb. 14, 1992, as amended at 59 FR 35464, July 12, 1994]



       Sec. Appendix A to Part 155--Additional Procedural Guidance

    1. When the DISCO cannot affirmatively find that it is clearly 
consistent with the national interest to grant or continue a security 
clearance for an applicant, the case will be promptly referred to the 
DOHA.
    2. Upon referral, the DOHA shall make a prompt determination whether 
to grant or continue a security clearance, issue a statement of reasons 
(SOR) as to why it is not clearly consistent with the national interest 
to do so, or take interim actions, including but not limited to:
    a. Direct further investigation.
    b. Propound written interrogatories to the applicant or other 
persons with relevant information.
    c. Requiring the applicant to undergo a medical evaluation by a DoD 
Psychiatric Consultant.
    d. Interviewing the applicant.
    3. An unfavorable clearance decision shall not be made unless the 
applicant has been provided with a written SOR that shall be as detailed 
and comprehensive as the national security permits. A letter of 
instruction with the SOR shall explain that the applicant or Department 
Counsel may request a hearing. It shall also explain the adverse 
consequences for failure to respond to the SOR within the prescribed 
time frame.
    4. The applicant must submit a detailed written answer to the SOR 
under oath or affirmation that shall admit or deny each listed 
allegation. A general denial or other similar answer is insufficient. To 
be entitled to a hearing, the applicant must specifically request a 
hearing in his or her answer. The answer must be received by the DOHA 
within 20 days from receipt of the SOR. Requests for an extension of 
time to file an answer may be submitted to the Director, DOHA, or 
designee, who in turn may grant the extension only upon a showing of 
good cause.
    5. If the applicant does not file a timely and responsive answer to 
the SOR, the Director, DOHA, or designee, may discontinue processing the 
case, deny issuance of the requested security clearance, and direct the 
DISCO to revoke any security clearance held by the applicant.
    6. Should review of the applicant's answer to the SOR indicate that 
allegations are unfounded, or evidence is insufficient for further 
processing, Department Counsel shall take such action as appropriate 
under the circumstances, including but not limited to withdrawal of the 
SOR and transmittal to the Director for notification of the DISCO for 
appropriate action.
    7. If the applicant has not requested a hearing with his or her 
answer to the SOR and Department Counsel has not requested a hearing 
within 20 days of receipt of the applicant's answer, the case shall be 
assigned to an Administrative Judge for a clearance decision based on 
the written record. Department Counsel shall provide the applicant with 
a copy of all relevant and material information that could be adduced at 
a hearing. The applicant shall have 30 days from

[[Page 875]]

receipt of the information in which to submit a documentary response 
setting forth objections, rebuttal, extenuation, mitigation, or 
explanation, as appropriate.
    8. If a hearing is requested by the applicant or Department Counsel, 
the case shall be assigned to an Administrative Judge for a clearance 
decision based on the hearing record. Following issuance of a notice of 
hearing by the Administrative Judge, or designee, the applicant shall 
appear in person with or without counsel or a personal representative at 
a time and place designated by the notice of hearing. The applicant 
shall have a reasonable time to prepare his or her case. The applicant 
shall be notified at least 15 days in advance of the time and place of 
the hearing, which generally shall be held at a location in the United 
States within a metropolitan area near the applicant's place of 
employment or residence. A continuance may be granted by the 
Administrative Judge only for good cause. Hearings may be held outside 
of the United States in NATO cases, or in other cases upon a finding of 
good cause by the Director, DOHA, or designee.
    9. The Administrative Judge may require a prehearing conference.
    10. The Administrative Judge may rule on questions of procedure, 
discovery, and evidence and shall conduct all proceedings in a fair, 
timely, and orderly manner.
    11. Discovery by the applicant is limited to non-privileged 
documents and materials subject to control by the DOHA. Discovery by 
Department Counsel after issuance of an SOR may be granted by the 
Administrative Judge only upon a showing of good cause.
    12. A hearing shall be open except when the applicant requests that 
it be closed, or when the Administrative Judge determines that there is 
a need to protect classified information or there is other good cause 
for keeping the proceeding closed. No inference shall be drawn as to the 
merits of a case on the basis of a request that the hearing be closed.
    13. As far in advance as practical, Department Counsel and the 
applicant shall serve one another with a copy of any pleading, proposed 
documentary evidence, or other written communication to be submitted to 
the Administrative Judge.
    14. Department Counsel is responsible for presenting witnesses and 
other evidence to establish facts alleged in the SOR that have been 
controverted.
    15. The applicant is responsible for presenting witnesses and other 
evidence to rebut, explain, extenuate, or mitigate facts admitted by the 
applicant or proven by Department Counsel, and has the ultimate burden 
of persuasion as to obtaining a favorable clearance decision.
    16. Witnesses shall be subject to cross-examination.
    17. The SOR may be amended at the hearing by the Administrative 
Judge on his or her own motion, or upon motion by Department Counsel or 
the applicant, so as to render it in conformity with the evidence 
admitted or for other good cause. When such amendments are made, the 
Administrative Judge may grant either party's request for such 
additional time as the Administrative Judge may deem appropriate for 
further preparation or other good cause.
    18. The Administrative Judge hearing the case shall notify the 
applicant and all witnesses testifying that 18 U.S.C. 1001 is 
applicable.
    19. The Federal Rules of Evidence (28 U.S.C. 101 et seq.) shall 
serve as a guide. Relevant and material evidence may be received subject 
to rebuttal, and technical rules of evidence may be relaxed, except as 
otherwise provided herein, to permit the development of a full and 
complete record.
    20. Official records or evidence compiled or created in the regular 
course of business, other than DoD personnel background reports of 
investigation (ROI), may be received and considered by the 
Administrative Judge without authenticating witnesses, provided that 
such information has been furnished by an investigative agency pursuant 
to its responsibilities in connection with assisting the Secretary of 
Defense, or the Department or Agency head concerned, to safeguard 
classified information within industry under to E.O. 10865, as amended. 
An ROI may be received with an authenticating witness provided it is 
otherwise admissible under the Federal Rules of Evidence (28 U.S.C. 101 
et seq.).
    21. Records that cannot be inspected by the applicant because they 
are classified may be received and considered by the Administrative 
Judge, provided the GC, DoD, has:
    a. Made a preliminary determination that such evidence appears to be 
relevant and material.
    b. Determined that failure to receive and consider such evidence 
would be substantially harmful to the national security.
    22. A written or oral statement adverse to the applicant on a 
controverted issue may be received and considered by the Administrative 
Judge without affording an opportunity to cross-examine the person 
making the statement orally, or in writing when justified by the 
circumstances, only in either of the following circumstances:
    a. If the head of the Department or Agency supplying the statement 
certifies that the person who furnished the information is a 
confidential informant who has been engaged in obtaining intelligence 
information for the Government and that disclosure of his or her 
identity would be substantially harmful to the national interest; or
    b. If the GC, DoD, has determined the statement concerned appears to 
be relevant, material, and reliable; failure to receive and

[[Page 876]]

consider the statement would be substantially harmful to the national 
security; and the person who furnished the information cannot appear to 
testify due to the following:
    (1) Death, severe illness, or similar cause, in which case the 
identity of the person and the information to be considered shall be 
made available to the applicant; or
    (2) Some other cause determined by the Secretary of Defense, or when 
appropriate by the Department or Agency head, to be good and sufficient.
    23. Whenever evidence is received under item 21. or 22., the 
applicant shall be furnished with as comprehensive and detailed a 
summary of the information as the national security permits. The 
Administrative Judge and Appeal Board may make a clearance decision 
either favorable or unfavorable to the applicant based on such evidence 
after giving appropriate consideration to the fact that the applicant 
did not have an opportunity to confront such evidence, but any final 
determination adverse to the applicant shall be made only by the 
Secretary of Defense, or the Department or Agency head, based on a 
personal review of the case record.
    24. A verbatim transcript shall be made of the hearing. The 
applicant shall be furnished one copy of the transcript, less the 
exhibits, without cost.
    25. The Administrative Judge shall make a written clearance decision 
in a timely manner setting forth pertinent findings of fact, policies, 
and conclusions as to the allegations in the SOR, and whether it is 
clearly consistent with the national interest to grant or continue a 
security clearance for the applicant. The applicant and Department 
Counsel shall each be provided a copy of the clearance decision. In 
cases in which evidence is received under items 21. and 22., the 
Administrative Judge's written clearance decision may require deletions 
in the interest of national security.
    26. If the Administrative Judge decides that it is clearly 
consistent with the national interest for the applicant to be granted or 
to retain a security clearance, the DISCO shall be so notified by the 
Director, DOHA, or designee, when the clearance decision becomes final 
in accordance with item 36., below.
    27. If the Administrative Judge decides that it is not clearly 
consistent with the national interest for the applicant to be granted or 
to retain a security clearance, the Director, DOHA, or designee, shall 
expeditiously notify the DISCO, which shall in turn notify the 
applicant's employer of the denial or revocation of the applicant's 
security clearance. The letter forwarding the Administrative Judge's 
clearance decision to the applicant shall advise the applicant that 
these actions are being taken, and that the applicant may appeal the 
Administrative Judge's clearance decision.
    28. The applicant or Department Counsel may appeal the 
Administrative Judge's clearance decision by filing a written notice of 
appeal with the Appeal Board within 15 days after the date of the 
Administrative Judge's clearance decision. A notice of appeal received 
after 15 days from the date of the clearance decision shall not be 
accepted by the Appeal Board, or designated Board Member, except for 
good cause. A notice of cross appeal may be filed with the Appeal Board 
within 10 days of receipt of the notice of appeal. An untimely cross 
appeal shall not be accepted by the Appeal Board, or designated Board 
Member, except for good cause.
    29. Upon receipt of a notice of appeal, the Appeal Board shall be 
provided the case record. No new evidence shall be received or 
considered by the Appeal Board.
    30. After filing a timely notice of appeal, a written appeal brief 
must be received by the Appeal Board within 45 days from the date of the 
Administrative Judge's clearance decision. The appeal brief must state 
the specific issue or issues being raised, and cite specific portions of 
the case record supporting any alleged error. A written reply brief, if 
any, must be filed within 20 days from receipt of the appeal brief. A 
copy of any brief filed must be served upon the applicant or Department 
Counsel, as appropriate.
    31. Requests for extension of time for submission of briefs may be 
submitted to the Appeal Board or designated Board Member.
    A copy of any request for extension of time must be served on the 
opposing party at the time of submission. The Appeal Board, or 
designated Board Member, shall be responsible for controlling the Appeal 
Board's docket, and may enter an order dismissing an appeal in an 
appropriate case or vacate such an order upon a showing of good cause.
    32. The Appeal Board shall address the material issues raised by the 
parties to determine whether harmful error occurred. Its scope of review 
shall be to determine whether or not:
    a. The Administrative Judge's findings of fact are supported by such 
relevant evidence as a reasonable mind might accept as adequate to 
support a conclusion in light of all the contrary evidence in the same 
record. In making this review, the Appeal Board shall give deference to 
the credibility determinations of the Administrative Judge;
    b. The Administrative Judge adhered to the procedures required by 
E.O. 10865, as amended and this part; or
    c. The Administrative Judge's rulings or conclusions are arbitrary, 
capricious, or contrary to law.
    33. The Appeal Board shall issue a written clearance decision 
addressing the material

[[Page 877]]

issues raised on appeal. The Appeal Board shall have authority to:
    a. Affirm the decision of the Administrative Judge;
    b. Remand the case to an Administrative Judge to correct identified 
error. If the case is remanded, the Appeal Board shall specify the 
action to be taken on remand; or
    c. Reverse the decision of the Administrative Judge if correction of 
identified error mandates such action.
    34. A copy of the Appeal Board's written clearance decision shall be 
provided to the parties. In cases in which evidence was received under 
items 21. and 22., the Appeal Board's clearance decision may require 
deletions in the interest of national security.
    35. Upon remand, the case file shall be assigned to an 
Administrative Judge for correction of error(s) in accordance with the 
Appeal Board's clearance decision. The assigned Administrative Judge 
shall make a new clearance decision in the case after correcting the 
error(s) identified by the Appeal Board. The Administrative Judge's 
clearance decision after remand shall be provided to the parties. The 
clearance decision after remand may be appealed pursuant to items 28. to 
35.
    36. A clearance decision shall be considered final when:
    a. A security clearance is granted or continued pursuant to item 2.;
    b. No timely notice of appeal is filed;
    c. No timely appeal brief is filed after a notice of appeal has been 
filed;
    d. The appeal has been withdrawn;
    e. When the Appeal Board affirms or reverses an Administrative 
Judge's clearance decision; or
    f. When a decision has been made by the Secretary of Defense, or the 
Department or Agency head, under item 23.
    The Director, DOHA, or designee, shall notify the DISCO of all final 
clearance decisions.
    37. An applicant whose security clearance has been finally denied or 
revoked by the DOHA is barred from reapplication for 1 year from the 
date of the initial unfavorable clearance decision.
    38. A reapplication for a security clearance must be made initially 
by the applicant's employer to the DISCO and is subject to the same 
processing requirements as those for a new security clearance 
application. The applicant shall thereafter be advised he is responsible 
for providing the Director, DOHA, with a copy of any adverse clearance 
decision together with evidence that circumstances or conditions 
previously found against the applicant have been rectified or 
sufficiently mitigated to warrant reconsideration.
    39. If the Director, DOHA, determines that reconsideration is 
warranted, the case shall be subject to this part for making a clearance 
decision.
    40. If the Director, DOHA, determines that reconsideration is not 
warranted, the DOHA shall notify the applicant of this decision. Such a 
decision is final and bars further reapplication for an additional one 
year period from the date of the decision rejecting the application.
    41. Nothing in this part is intended to give an applicant reapplying 
for a security clearance any greater rights than those applicable to any 
other applicant under this part.
    42. An applicant may file a written petition, under oath or 
affirmation, for reimbursement of loss of earnings resulting from the 
suspension, revocation, or denial of his or her security clearance. The 
petition for reimbursement must include as an attachment the favorable 
clearance decision and documentation supporting the reimbursement claim. 
The Director, DOHA, or designee, may in his or her discretion require 
additional information from the petitioner.
    43. Claims for reimbursement must be filed with the Director, DOHA, 
or designee, within 1 year after the date the security clearance is 
granted. Department Counsel generally shall file a response within 60 
days after receipt of applicant's petition for reimbursement and provide 
a copy thereof to the applicant.
    44. Reimbursement is authorized only if the applicant demonstrates 
by clear and convincing evidence to the Director, DOHA, that all of the 
following conditions are met:
    a. The suspension, denial, or revocation was the primary cause of 
the claimed pecuniary loss; and
    b. The suspension, denial, or revocation was due to gross negligence 
of the Department of Defense at the time the action was taken, and not 
in any way by the applicant's failure or refusal to cooperate.
    45. The amount of reimbursement shall not exceed the difference 
between the earnings of the applicant at the time of the suspension, 
revocation, or denial and the applicant's interim earnings, and further 
shall be subject to reasonable efforts on the part of the applicant to 
mitigate any loss of earnings. No reimbursement shall be allowed for any 
period of undue delay resulting from the applicant's acts or failure to 
act. Reimbursement is not authorized for loss of merit raises and 
general increases, loss of employment opportunities, counsel's fees, or 
other costs relating to proceedings under this part.
    46. Claims approved by the Director, DOHA, shall be forwarded to the 
Department or Agency concerned for payment. Any payment made in response 
to a claim for reimbursement shall be in full satisfaction of any 
further claim against the United States or any Federal Department or 
Agency, or any of its officers or employees.

[[Page 878]]

    47. Clearance decisions issued by Administrative Judges and the 
Appeal Board shall be indexed and made available in redacted form to the 
public.

[57 FR 5383, Feb. 14, 1992, as amended at 59 FR 35464, July 12, 1994; 59 
FR 48565, Sept. 22, 1994]



PART 156_DEPARTMENT OF DEFENSE PERSONNEL SECURITY PROGRAM (PSP)
--Table of Contents



Sec.
156.1 Purpose.
156.2 Applicability.
156.3 Policy.
156.4 Responsibilities.
156.5 National security positions.
156.6 Common access card (CAC) investigation and adjudication.
156.7 Definitions.

    Authority: E.O. 12968, as amended; E.O. 10450, as amended; E.O. 
10865, as amended; E.O. 13526; E.O. 12829, as amended; E.O. 13467; E.O. 
13488; E.O. 12333, as amended; 5 U.S.C 301 and 7532; section 1072 of 
Pub. L. 110-181, as amended; 15 U.S.C. 278g-3; 40 U.S.C. 11331; 10 
U.S.C. 1564; 50 U.S.C. 3343; 5 CFR parts 731, 731.101, 732, and 736; and 
HSPD-12.

    Source: 79 FR 18163, Apr. 1, 2014, unless otherwise noted.



Sec. 156.1  Purpose.

    This part updates policies and responsibilities for the DoD 
Personnel Security Program (PSP) consistent with E.O. 12968, as amended; 
E.O. 10450, as amended; E.O. 10865, as amended; E.O. 13526; E.O. 12829, 
as amended; E.O. 13467; E.O. 13488; E.O. 12333, as amended; 5 U.S.C. 301 
and 7532; section 1072 of Public Law 110-181, as amended; 15 U.S.C. 
278g-3; 40 U.S.C. 11331; 10 U.S.C. 1564; 32 CFR parts 147, 154 through 
156; 50 U.S.C. 3343; 5 CFR parts 731, 731.101, 732 and 736; and HSPD-12.



Sec. 156.2  Applicability.

    This part applies to the Office of the Secretary of Defense, the 
Military Departments, the Office of the Chairman of the Joint Chiefs of 
Staff and the Joint Staff, the Combatant Commands, the Office of the 
Inspector General of the DoD, the Defense Agencies, the DoD Field 
Activities, and all other organizational entities within the DoD 
(hereinafter referred to collectively as the ``DoD Components'').



Sec. 156.3  Policy.

    It is DoD policy that:
    (a) The Department shall establish and maintain a uniform DoD PSP to 
the extent consistent with standards and procedures in E.O. 12968, as 
amended; E.O. 10450, as amended; E.O. 10865, as amended; E.O. 13526; 
E.O. 12829, as amended; E.O. 13467; E.O. 13488; E.O. 12333, as amended; 
32 CFR parts 147, 154 through 156; 5 CFR parts 731, 731.101, 732 and 
736; 5 U.S.C. 301 and 7532; section 1072 of Public Law 110-181, as 
amended; 15 U.S.C. 278g-3; section 11331 of 40 U.S.C.; 10 U.S.C. 1564; 
50 U.S.C. 3343; and the Intelligence Community Directive Number 704 (ICD 
704) (available on the Internet at http://www.dni.gov).
    (b) DoD PSP policies and procedures shall be aligned using 
consistent standards to the extent possible; provide for reciprocal 
recognition of existing investigations and adjudications; be cost-
effective, timely, and provide efficient protection of the national 
interest; and provide fair treatment of those upon whom the Federal 
Government relies to conduct the Nation's business and protect national 
security.
    (c) Discretionary judgments used to determine eligibility for 
national security positions are an inherently governmental function and 
shall be performed by appropriately trained and favorably adjudicated 
Federal Government personnel or appropriate automated procedures.
    (d) No negative inference may be raised solely on the basis of 
mental health counseling. Such counseling may be a positive factor that, 
by itself, shall not jeopardize the rendering of eligibility 
determinations or temporary eligibility for access to national security 
information. However, mental health counseling, where relevant to 
adjudication for a national security position, may justify further 
inquiry to assess risk factors that may be relevant to the DoD PSP.
    (e) The DoD shall not discriminate nor may any inference be raised 
on the basis of race, color, religion, sex, national origin, disability, 
or sexual orientation.

[[Page 879]]

    (f) Discretionary judgments that determine eligibility for national 
security positions shall be clearly consistent with the national 
security interests of the United States. Any doubt shall be resolved in 
favor of national security.
    (g) No person shall be deemed to be eligible for a national security 
position merely by reason of Federal service or contracting, licensee, 
certificate holder, or grantee status, or as a matter of right or 
privilege, or as a result of any particular title, rank, position, or 
affiliation.
    (h) No person shall be appointed or assigned to a national security 
position when an unfavorable personnel security determination has been 
rendered.
    (i) Eligibility for national security positions shall be granted 
only to persons who are U.S. citizens for whom the investigative and 
adjudicative process has been favorably completed. However, based on 
exceptional circumstances where official functions must be performed 
prior to completion of the investigative and adjudicative process, 
temporary eligibility for access to classified information may be 
granted while the investigation is underway.
    (j) As an exception, a non-U.S. citizen who possesses an expertise 
that cannot be filled by a cleared or clearable U.S. citizen, may hold a 
national security position or be granted a limited access authorization 
to classified information in support of a specific DoD program, project, 
or contract following a favorable security determination by an 
authorized adjudication facility.
    (k) The DoD shall establish investigative and adjudicative policy 
and procedures to determine whether to issue, deny or revoke common 
access cards (CACs) in accordance with the standards of the Homeland 
Security Presidential Directive (HSPD)-12 (available in the Public 
Papers of the Presidents of the United States: George W. Bush (2004, 
Book II, page 1765) found on the Internet at http://www.gpo.gov/); 
Office of Management and Budget Memorandum (OMB) M-05-24 (available on 
the Internet at http://www.whitehouse.gov/omb); Federal Information 
Processing Standards Publication 201-1 (FIPS 201-1) or successor 
(available on the Internet at http://csrc.nist.gov/); 48 CFR, Chapter 1, 
Parts 1-99 (Federal Acquisition Regulation); 48 CFR, Chapter 2, Parts 
201-253 (Defense Federal Acquisition Regulation Supplement), and the 
Office of Personnel Management (OPM) Memorandum, ``Final Credentialing 
Standards for Issuing Personal Identity Verification Cards under HSPD-
12,'' dated July 31, 2008 (available on the Internet at http://
www.opm.gov/), as applicable.
    (l) Information about individuals collected as part of the 
investigative and adjudicative process shall be managed in accordance 
with applicable laws and DoD policies, including those related to 
privacy and confidentiality, security of information, and access to 
information.



Sec. 156.4  Responsibilities.

    (a) The Under Secretary of Defense for Intelligence (USD(I)) shall:
    (1) Develop, coordinate, and oversee the implementation of policy, 
programs, and guidance for the DoD PSP.
    (2) In coordination with the Under Secretary of Defense for 
Personnel and Readiness (USD(P&R)) and the General Counsel of the DoD 
(GC, DoD), develop policy for DoD personnel for the CAC personnel 
security investigation (PSI) and adjudication in accordance with HSPD-
12; OMB Memorandum M-05-24; FIPS 201-1; and OPM Memorandum, ``Final 
Credentialing Standards for Issuing Personal Identity Verification Cards 
under HSPD-12.''
    (3) In coordination with the Under Secretary of Defense for 
Acquisition, Technology and Logistics (USD(AT&L)) and the GC, DoD, 
develop policy for contractor investigations for CAC adjudication, 
outside the purview of the National Industrial Security Program, under 
the terms of applicable contracts in accordance with HSPD-12; OMB 
Memorandum M-05-24; FIPS 201-1; the Federal Acquisition Regulation; the 
Defense Federal Acquisition Regulation Supplement; and OPM Memorandum, 
``Final Credentialing Standards for Issuing Personal Identity 
Verification Cards under HSPD-12.''
    (4) Issue guidance implementing the policy in this part.

[[Page 880]]

    (b) The Deputy Under Secretary of Defense for Intelligence & 
Security (DUSD(I&S)), under the authority, direction, and control of the 
USD(I) shall:
    (1) Ensure that the PSP is consistent, cost-effective, efficient, 
and balances the rights of individuals with the interests of national 
security.
    (2) Develop and publish revisions to 32 CFR Part 154.
    (3) Approve, coordinate, and oversee all DoD personnel security 
research initiatives and activities to improve the efficiency, 
effectiveness, and fairness of the DoD PSP.
    (4) Ensure that the Defense Security Service (DSS) provides 
education, training, and awareness support to the DoD PSP.
    (5) Serve as the primary contact between DoD, the Red Cross, United 
Service Organizations, and other organizations with direct DoD 
affiliation for all matters relating to the DoD PSP.
    (6) When appropriate, approve requests for exceptions to the DoD PSP 
relating to national security eligibility requirements for access to 
classified information except North Atlantic Treaty Organization (NATO) 
classified information. Requests for exceptions involving access to NATO 
classified information shall be sent to the Office of the Under 
Secretary of Defense for Policy.
    (7) Develop guidance, interpretation, and clarification regarding 
the DoD PSP as needed.
    (8) Conduct oversight inspections of the DoD Components for 
implementation and compliance with DoD personnel security policy and 
operating procedures.
    (9) In furtherance of coordinated Government-wide initiatives under 
E.O. 13467, develop a framework setting forth an overarching strategy 
identifying goals, performance measures, roles and responsibilities, a 
communications strategy, and metrics to measure the quality of security 
clearance investigations and adjudications to ensure a sound DoD PSP 
that will continue to meet the needs of DoD.
    (c) The USD(AT&L) shall:
    (1) Establish acquisition policy, procedures, and guidance, in 
coordination with the USD(I) that facilitate DoD Component compliance 
with the DoD PSP.
    (2) Establish regulatory requirements within the Federal Acquisition 
Regulation and Defense Federal Acquisition Regulation for contracts and 
agreements that require non-DoD personnel to adhere to personnel 
security procedures in the performance of a contract or agreement.
    (d) The Under Secretary of Defense for Policy (USD(P)) is the 
approval authority for requests for exceptions to the DoD PSP involving 
access to NATO classified information.
    (e) The GC, DoD shall:
    (1) Provide advice and guidance as to the legal sufficiency of 
procedures and standards involved in implementing the DoD PSP and 
exercise oversight of the established administrative due process 
procedures of the DoD PSP.
    (2) Perform functions relating to the DoD PSP including the 
maintenance and oversight of the Defense Office of Hearings and Appeals 
(DOHA).
    (f) The Heads of the DoD Components shall:
    (1) Designate a senior agency official, consistent with the 
provisions of E.O. 12968, as amended, who shall direct and administer 
the DoD PSP consistent with this part.
    (2) Comply with the policy and procedures regarding investigation 
and adjudication for CAC issuance and distribute this guidance to local 
and regional organizations.
    (3) Provide funding to cover Component requirements for PSIs, 
adjudication, and recording of results to comply with the DoD PSP.
    (4) Enforce requirements for prompt reporting of significant 
derogatory information, unfavorable administrative actions, and adverse 
actions to the appropriate personnel security, human resources, and 
counterintelligence official(s), as appropriate, within their respective 
Component.
    (5) Perform functions relating to the DoD Security Professional 
Education Development Program to ensure the security workforce in their 
respective Component has the knowledge and skills required to perform 
security functional tasks.

[[Page 881]]

    (6) Provide requested information and recommendations, as 
appropriate, on any aspect of this part and the DoD PSP to the USD(I).
    (7) Enforce the requirement that DoD personnel security adjudication 
system(s) of records, within their respective Components, shall only be 
used as a personnel security system of records and shall not be used as 
a pre-hiring screening tool.



Sec. 156.5  National security positions.

    (a) Procedures. The objective of the PSP is to ensure persons deemed 
eligible for national security positions remain reliable and 
trustworthy.
    (1) Duties considered sensitive and critical to national security do 
not always involve classified activities or classified matters. 
Personnel security procedures for national security positions are set 
forth in E.O. 12968, as amended; E.O. 10865, 32 CFR parts 154-155; ICD 
704; and DoD Regulation 5220.22-R. The specific procedures applicable in 
each case type are set forth in DoD issuances.
    (2) Employees with access to automated systems that contain active 
duty, guard, or military reservists' personally identifiable information 
or information pertaining to Service members that are otherwise 
protected from disclosure by section 552a of title 5 United States Code, 
may be designated as national security positions within DoD, where such 
access has the potential to cause damage to national security.
    (b) Sensitive Compartmented Information (SCI) Eligibility. 
Investigative and adjudicative requirements for SCI eligibility shall be 
executed in accordance with this part and ICD 704.
    (c) Adjudication. (1) Personnel security criteria and adjudicative 
standards are described in E.O. 12968, as amended; 32 CFR parts 147, 154 
and 155; ICD 704, and DoD Regulation 5220.22-R, as applicable, in 
accordance with Adjudicative Guidelines for Determining Eligibility for 
Access to Classified Information and other types of protected 
information or assignment to national security positions. Adjudications 
of eligibility for national security positions, regardless of whether 
they involve access to classified information, must be made in 
accordance with the Adjudicative Guidelines for Determining Eligibility 
for Access to Classified Information.
    (2) When an unfavorable personnel security determination is 
rendered:
    (i) Individuals cannot be appointed or assigned to national security 
positions.
    (ii) An individual currently occupying a national security position 
will be immediately removed from the national security position and 
placed, in accordance with agency policy, in an existing non-sensitive 
position if available. Placement in a non-sensitive position requires 
compliance with employment suitability standards. The national security 
position is not to be modified or a new position created to circumvent 
an unfavorable personnel security determination. The individual is to be 
placed in an appropriate status, in accordance with agency policy, until 
a final security determination is made. A final security determination 
is the granting, denial or revocation by an appropriate central 
adjudications facility or an appeal board decision, whichever is later.
    (iii) To ensure consistency and quality in determinations of 
eligibility for national security positions, adjudicators must 
successfully complete the full program of professional training provided 
by the DSS Center for Development of Security Excellence (or equivalent 
training) and be certified through the DoD Professional Certification 
Program for Adjudicators within 2 years of program implementation or, 
for new hires, within 2 years of eligibility for certification testing.
    (d) Appeal Procedures--Denial or Revocation of Eligibility. 
Individuals may elect to appeal unfavorable personnel security 
determinations in accordance with the procedures set forth in E.O. 
12968, as amended; parts 154 and 155 of 32 CFR; ICD 704, and DoD 
Regulation 5220.22-R as applicable or as otherwise authorized by law.
    (e) Polygraph. Under certain conditions, DoD Components are 
authorized to use polygraph examinations to resolve credible derogatory 
information developed in connection with a personnel security 
investigation; to aid in the related adjudication; or to facilitate 
classified access decisions.

[[Page 882]]

    (f) Continuous Evaluation. All personnel in national security 
positions shall be subject to continuous evaluation.
    (g) Financial Disclosure. DoD Component implementation of the 
electronic financial disclosure requirement, consistent with E.O. 12968, 
shall be completed by the end of calendar year 2012.
    (h) Reciprocal Acceptance of Eligibility Determinations. (1) DoD 
reciprocally accepts existing national security eligibility 
determinations or clearances from other government agencies in 
accordance with E.O. 13467, OMB Memorandums ``Reciprocal Recognition of 
Existing Personnel Security Clearances'' dated December 12, 2005 (Copies 
available on the Internet at http://www.whitehouse.gov/omb) and July 17, 
2006 (Copies available on the Internet at http://www.whitehouse.gov/
omb).
    (2) Reciprocity for SCI eligibility shall be executed in accordance 
with ICD 704 and associated Director of National Intelligence guidance.
    (3) Personnel who have been determined eligible for national 
security positions should not be subjected to additional security 
reviews, completion of a new security questionnaire, or initiation of a 
new investigative check, unless credible derogatory information that was 
not previously adjudicated becomes known, or the previous adjudication 
was granted by a condition, deviation, or waiver pursuant the provisions 
of OMB Memorandums ``Reciprocal Recognition of Existing Personnel 
Security Clearances'' dated December 12, 2005, or there has been a break 
in service of more than 24 months. Exceptions for access to SCI or 
special access programs are listed in the OMB Memorandums ``Reciprocal 
Recognition of Existing Personnel Security Clearances'' dated July 17, 
2006.
    (i) National Security Agency (NSA)/Central Security Service (CSS). 
Employees, contractors, military assignees, and others with similar 
affiliations with the NSA/CSS must maintain SCI eligibility for access 
to sensitive cryptologic information in accordance with 50 U.S.C. 
chapter 23.
    (j) Wounded Warrior Security and Intelligence Internship Program. 
PSIs in support of wounded warriors may be submitted and processed 
regardless of the time remaining in military service. Investigations 
will be accelerated through a special program code established by the 
Office of the USD(I) to ensure expedited service by the investigating 
and adjudicating agencies.
    (1) Category 2 wounded, ill, or injured uniformed service personnel 
who expect to be separated with a medical disability rating of 30 
percent or greater may submit a PSI for Top Secret clearance with SCI 
eligibility prior to medical separation provided they are serving in or 
have been nominated for a wounded warrior internship program.
    (2) The investigations will be funded by the DoD Component that is 
offering the internship. If the DoD Component does not have funds 
available, the Military Service in which the uniform service personnel 
served may choose to fund the investigation.



Sec. 156.6  Common access card (CAC) investigation and adjudication.

    (a) General. Individuals entrusted with access to Federal property, 
information systems, and any other information bearing on national 
security must not put the Government at risk or provide an avenue for 
terrorism.
    (1) All individuals requiring a CAC must meet credentialing 
standards of OPM Memorandum, ``Final Credentialing Standards for Issuing 
Personal Identity Verification Cards under HSPD-12.'' For those 
individuals who are subject to an interim credentialing decision before 
a security, suitability, or equivalent adjudication is completed, the 
OPM credentialing standards will be the basis for issuing or denying a 
CAC. The subsequent credentialing decision will be made upon receipt of 
the completed investigation from the ISP.
    (2) If an individual is found unsuitable for employment in a covered 
position under 5 CFR 731.101, ineligible for access to classified 
information under E.O. 12968, or disqualified from appointment in the 
excepted service or from working on a contract, the unfavorable decision 
is a sufficient basis for non-issuance or revocation of a CAC, but does 
not necessarily mandate this result.
    (b) Investigation. A favorably adjudicated National Agency Check 
with

[[Page 883]]

Inquiries (NACI) is the minimum investigation required for a final 
credentialing determination for CAC.
    (1) An interim credentialing determination can be made based on the 
results of a completed National Agency Check or an Federal Bureau of 
Investigation National Criminal History Check (fingerprint check), and 
submission of a request for investigation (NACI or greater).
    (2) Individuals identified as having a favorably adjudicated 
investigation on record, equivalent to (or greater than) the NACI do not 
require an additional investigation for CAC issuance.
    (3) There is no requirement to reinvestigate CAC holders unless they 
are subject to reinvestigation for national security or suitability 
reasons as specified in applicable DoD issuances.
    (4) Existing CAC holders without the requisite background 
investigation on record must be investigated in accordance with OMB 
Memorandum M-05-24, ``Implementation of Homeland Security Presidential 
Directive (HSPD) 12--Policy for a Common Identification Standard for 
Federal Employees and Contractors,'' dated August 5, 2005.
    (c) Adjudication. The ultimate determination whether to authorize 
CAC issuance or revoke the CAC must be an overall common-sense judgment 
after careful consideration of the basic and, if applicable, 
supplemental credentialing standards in OPM Memorandum, ``Final 
Credentialing Standards for Issuing Personal Identity Verification Cards 
under HSPD-12,'' each of which is to be evaluated in the context of the 
whole person. These standards shall be evaluated to determine if there 
is a reasonable basis to believe that issuing a CAC to the individual 
poses an unacceptable risk.
    (1) Each case is unique and must be judged on its own merits. To the 
extent pertinent to the individual case, when evaluating the conduct, 
the adjudicator should consider: the nature and seriousness of the 
conduct, the circumstances surrounding the conduct, the recency and 
frequency of the conduct, the individual's age and maturity at the time 
of the conduct, contributing external conditions, and the presence or 
absence of rehabilitation or efforts toward rehabilitation.
    (2) Final credentialing standards are:
    (i) Basic Credentialing Standards. All CAC adjudications must apply 
the basic credentialing standards. CAC shall not be issued when a 
disqualifying factor cannot be mitigated.
    (ii) Supplemental Credentialing Standards. The supplemental 
credentialing standards, in addition to the basic credentialing 
standards, shall apply generally to individuals who are not subject to 
adjudication for eligibility for a sensitive position or access to 
classified information, suitability for Federal employment or fitness. 
These standards may be applied based on the risk associated with the 
position or work on the contract.
    (3) All interim and final adjudicative determinations shall be made 
by cleared and trained Federal Government personnel. Automated 
adjudicative processes shall be used to the maximum extent practicable.
    (4) Adjudication decisions of CAC investigations shall be 
incorporated into the Consolidated Central Adjudication Facility as 
directed by the Deputy Secretary of Defense.
    (5) CAC adjudicators must successfully complete formal training 
through a DoD adjudicator course from the DSS Center for Development of 
Security Excellence to achieve maximum consistency and fairness of 
decisions rendered.
    (6) Federal Government credentialing standards do not prohibit 
employment of convicted felons who have been released from correctional 
institutions, absent other issues, if they have demonstrated clear 
evidence of rehabilitation.
    (d) Appeals. CAC applicants or holders may appeal CAC denial or 
revocation.
    (1) No separate administrative appeal process is allowed when an 
individual has been denied a CAC as a result of a negative suitability 
determination under 5 CFR Part 731, an applicable decision to deny or 
revoke a security clearance, or based on the results of a determination 
to disqualify the person from an appointment in an excepted service 
position or from working on a

[[Page 884]]

contract for reasons other than eligibility for a Federal Credential as 
described in OPM Memorandum, ``Final Credentialing Standards for Issuing 
Personal Identity Verification Cards under HSPD-12.'' If a later denial 
or revocation of a CAC results from an applicable denial or revocation 
of a security clearance, suitability decision, or other action for which 
administrative process was already provided on grounds that support 
denial or revocation of a CAC, no separate appeal for CAC denial or 
revocation is allowed.
    (2) Initial civilian and contractor applicants who have been denied 
a CAC, and for whom an appeal is allowed under this paragraph, may elect 
to appeal to a three member board containing no more than one security 
representative from the sponsoring activity.
    (3) Contractor employees who have had their CAC revoked, and for 
whom an appeal is allowed under this paragraph, may appeal to DOHA under 
the established administrative process set out in 32 CFR Part 155.
    (4) Decisions following appeal are final.
    (5) Individuals whose CACs have been denied or revoked are eligible 
for reconsideration 1 year after the date of final denial or revocation, 
provided the sponsoring activity supports reconsideration. Individuals 
with a statutory or regulatory bar are not eligible for reconsideration 
while under debarment.
    (e) Foreign Nationals. Special considerations for conducting 
background investigations of non-U.S. nationals (foreign nationals) are 
addressed in OPM Memorandum, ``Final Credentialing Standards for Issuing 
Personal Identity Verification Cards under HSPD-12.'' The following 
criteria shall be met prior to CAC issuance to foreign nationals:
    (1) The background investigation must be completed and favorably 
adjudicated before issuing CACs to foreign nationals.
    (2) Foreign nationals are not eligible to receive CAC on an interim 
basis.
    (3) At foreign locations:
    (i) Foreign national background investigations may vary based on 
standing reciprocity treaties concerning identity assurance and 
information exchange that exist between the United States and its 
allies. This includes foreign military, civilian, or contract support 
with a visit status and security assurance that has been confirmed, 
documented, and processed in accordance with USD(P) policy.
    (ii) The type of background investigation may also vary based upon 
agency agreements with the host country when the foreign national CAC 
applicant (such as a DoD direct or indirect hire) has not resided in the 
United States for at least 3 of the past 5 years or is residing in a 
foreign country. The investigation must be consistent with NACI, to the 
extent possible, and include a fingerprint check against the Federal 
Bureau of Investigation (FBI) criminal history database, an FBI 
Investigations Files (name check) search, and a name check against the 
Terrorist Screening Database.
    (4) At U.S.-based locations and in U.S. territories:
    (i) Foreign nationals who have resided in the United States or U.S. 
territory for 3 years or more must have a NACI or greater investigation.
    (ii) Components may delay the background investigation of foreign 
nationals who have resided in the U.S. or U.S. territory for less than 3 
years until the individual has been in the U.S. or U.S. territory for 3 
years. When the investigation is delayed, the Component may, in lieu of 
a CAC, issue an alternative facility access credential at the discretion 
of the relevant Component official based on a risk determination.
    (f) Recording Final Adjudication. Immediately following final 
adjudication, the sponsoring activity shall record the final eligibility 
determination (active, revoked, denied, etc.) in the OPM Central 
Verification System as directed by OPM Memorandum, ``Final Credentialing 
Standards for Issuing Personal Identity Verification Cards under HSPD-
12,'' and maintain local records for posting in a DoD repository when 
available.
    (g) Reciprocity of CAC Determinations. (1) The sponsoring activity 
shall not re-adjudicate CAC determinations for individuals transferring 
from another Federal department or agency, provided:

[[Page 885]]

    (i) Possession of a valid personal identity verification (PIV) card 
or CAC can be verified by the individual's former department or agency.
    (ii) The individual has undergone the required NACI or other 
equivalent suitability, public trust, or national security investigation 
and received favorable adjudication from the former agency.
    (iii) There is no break in service greater than 24 months and the 
individual has no actionable information since the date of the last 
completed investigation.
    (2) Interim CAC determinations are not eligible to be transferred or 
reciprocally accepted. Reciprocity shall be based on final favorable 
adjudication only.



Sec. 156.7  Definitions.

    These terms and their definitions are for the purposes of this part:
    Continuous evaluation. Defined in section 1.3(d) of E.O. 13467.
    Contractor. Defined in E.O. 13467.
    Employee. Defined in E.O. 12968, as amended.
    Limited access authorization. Defined in 32 CFR Part 154.
    National security position. (1) Any position in a department or 
agency, the occupant of which could bring about, by virtue of the nature 
of the position, a material adverse effect on the national security.
    (i) Such positions include those requiring eligibility for access to 
classified information.
    (ii) Other such positions include, but are not limited to, those 
whose duties include:
    (A) Protecting the nation, its citizens and residents from acts of 
terrorism, espionage, or foreign aggression, including those positions 
where the occupant's duties involve protecting the nation's borders, 
ports, critical infrastructure or key resources, and where the 
occupant's neglect, action, or inaction could bring about a material 
adverse effect on the national security;
    (B) Developing defense plans or policies;
    (C) Planning or conducting intelligence or counterintelligence 
activities, counterterrorism activities and related activities concerned 
with the preservation of the military strength of the United States;
    (D) Protecting or controlling access to facilities or information 
systems where the occupant's neglect, action, or inaction could bring 
about a material adverse effect on the national security;
    (E) Controlling, maintaining custody, safeguarding, or disposing of 
hazardous materials, arms, ammunition or explosives, where the 
occupant's neglect, action, or inaction could bring about a material 
adverse effect on the national security;
    (F) Exercising investigative or adjudicative duties related to 
national security, suitability, fitness or identity credentialing, where 
the occupant's neglect, action, or inaction could bring about a material 
adverse effect on the national security;
    (G) Exercising duties related to criminal justice, public safety or 
law enforcement, where the occupant's neglect, action, or inaction could 
bring about a material adverse effect on the national security; or
    (H) Conducting investigations or audits related to the functions 
described in paragraphs (1)(ii)(B) through (G) of this definition, where 
the occupant's neglect, action, or inaction could bring about a material 
adverse effect on the national security.
    (2) The requirements of this part apply to positions in the 
competitive service, positions in the excepted service where the 
incumbent can be noncompetitively converted to the competitive service, 
and career appointments in the Senior Executive Service within the 
executive branch. Departments and agencies may apply the requirements of 
this part to other excepted service positions within the executive 
branch and contractor positions, to the extent consistent with law.
    Unacceptable risk. Threat to the life, safety, or health of 
employees, contractors, vendors, or visitors; to the Government's 
physical assets or information systems; to personal property; to 
records, privileged, proprietary, financial, or medical records; or to 
the privacy of data subjects, which will not be tolerated by the 
Government.

[[Page 886]]



PART 157_DOD INVESTIGATIVE AND ADJUDICATIVE GUIDANCE FOR ISSUING THE
COMMON ACCESS CARD (CAC)--Table of Contents



Sec.
157.1 Purpose.
157.2 Applicability.
157.3 Definitions.
157.4 Policy.
157.5 Responsibilities.
157.6 Procedures.

    Authority: HSPD-12, E.O 13467, E.O. 13488, FIPS 201-2, and OPM 
Memorandum.

    Source: 79 FR 55624, Sept. 17, 2014, unless otherwise noted.



Sec. 157.1  Purpose.

    This part establishes policy, assigns responsibilities, and 
prescribes procedures for investigating and adjudicating eligibility to 
hold a Common Access Card (CAC). The CAC is the DoD personal identity 
verification (PIV) credential.



Sec. 157.2  Applicability.

    This part applies to:
    (a) the Office of the Secretary of Defense, the Military Departments 
(including the Coast Guard at all times, including when it is a Service 
in the Department of Homeland Security by agreement with that 
Department), the Office of the Chairman of the Joint Chiefs of Staff and 
the Joint Staff, the Combatant Commands, the Office of the Inspector 
General of the Department of Defense, the Defense Agencies, the DoD 
Field Activities, and all other organizational entities within the DoD 
(hereinafter referred to collectively as the ``DoD Components'').
    (b) The Commissioned Corps of the U.S. Public Health Service 
(USPHS), under agreement with the Department of Health and Human 
Services, and the National Oceanic and Atmospheric Administration 
(NOAA), under agreement with the Department of Commerce.



Sec. 157.3  Definitions.

    These terms and their definitions are for the purpose of this part.
    Actionable information. Information that potentially justifies an 
unfavorable credentialing determination.
    CAC. The DoD Federal PIV card.
    Contractor. Defined in Executive Order 13467, ``Reforming Processes 
Related to Sustainability for Government Employment, Fitness for 
Contractor Employees, and Eligibility for Access to Classified National 
Security Information''.
    Contractor employee fitness. Defined in E.O. 13467.
    Debarment. A prohibition from taking a competitive service 
examination or from being hired (or retained in) a covered position for 
a specific time period..
    Drugs. Mood and behavior-altering substances, including drugs, 
materials, and other chemical compounds identified and listed in 21 
U.S.C. 801-830 (also known as ``The Controlled Substances Act of 1970, 
as amended'') (e.g., marijuana or cannabis, depressants, narcotics, 
stimulants, hallucinogens), and inhalants and other similar substances.
    Drug abuse. The illegal use of a drug or use of a legal drug in a 
manner that deviates from approved medical direction.
    Employee. Defined in E.O. 12968, ``Access to Classified 
Information''.
    Fitness. Defined in E.O. 13488, ``Granting Reciprocity on Excepted 
Service and Federal Contractor Employee Fitness and Reinvestigating 
Individuals in Positions of Public Trust''.
    Fitness determination. Defined in E.O. 13488.
    Logical and physical access. Defined in E.O. 13467.
    Material. Defined in 5 CFR part 731.
    Reasonable basis. A reasonable basis to believe occurs when a 
disinterested observer, with knowledge of the same facts and 
circumstances, would reasonably reach the same conclusion.
    Terrorism. Defined in 19 U.S.C. 2331.
    Unacceptable risk. A threat to the life, safety, or health of 
employees, contractors, vendors, or visitors; to the U.S. Government 
physical assets or information systems; to personal property; to 
records, including classified, privileged, proprietary, financial, and 
medical records; or to the privacy rights established by The Privacy Act 
of 1974, as amended, or other law that is deemed unacceptable when 
making risk management determinations.
    U.S. National. Defined in U.S. OPM Memorandum, ``Final Credentialing

[[Page 887]]

Standards for Issuing Personal Identity Verification Cards Under HSPD-
12'' (available at http://www.opm.gov /investigate/ resources/final-- 
credentialing-- standards.pdf).



Sec. 157.4  Policy.

    It is DoD policy that:
    (a) Individuals appropriately sponsored for a CAC consistent with 
DoD Manual 1000.13, Volume 1, ``DoD Identification Cards: ID Card Life-
Cycle,'' January 23, 2014, (available at http://www.dtic.mil /whs/
directives /corres/pdf/ 100013-- vol1.pdf) must be investigated and 
adjudicated in accordance with this part. Individuals not CAC eligible 
may be processed for local or regional base passes in accordance with 
Under Secretary of Defense for Intelligence (USD(I)) policy guidance for 
DoD physical access control consistent with DoD Regulation 5200.08-R, 
``Physical Security Program'' (available at http://www.dtic.mil /whs/
directives /corres/pdf /520008r.pdf) and local installation security 
policies and procedures.
    (b) A favorably adjudicated National Agency Check with Inquiries 
(NACI) or equivalent in accordance with revised Federal investigative 
standards is the minimum investigation required for a final 
credentialing determination for a CAC.
    (c) Individuals requiring a CAC must meet the credentialing 
standards in accordance with the U.S. Office of Personnel Management 
(OPM) Memorandum, ``Final Credentialing Standards for Issuing Personal 
Identity Verification Cards Under HSPD-12''; and U.S. Office of 
Personnel Management Memorandum, ``Introduction of Credentialing, 
Suitability, and Security Clearance Decision-Making Guide (available at 
http://www.opm.gov /investigate/ resources/decision-- making-- 
guide.pdf) and this part.
    (d) A CAC may be issued on an interim basis based on a favorable 
National Agency Check or a Federal Bureau of Investigation (FBI) 
National Criminal History Check (fingerprint check) adjudicated by 
appropriate approved automated procedures or by a trained security or 
human resource (HR) specialist and successful submission to the 
investigative service provider (ISP) of a NACI, or a personnel security 
investigation (PSI) equal to or greater in scope than a NACI. 
Additionally, the CAC applicant must present two identity source 
documents, at least one of which is a valid Federal or State government-
issued picture identification.
    (e) The subsequent final credentialing determination will be made 
upon receipt of the completed investigation from the ISP.
    (f) Discretionary judgments used to render an adjudicative 
determination for issuing the CAC are inherently governmental functions 
and must only be performed by trained U.S. Government personnel who have 
successfully completed required training and possess a minimum level of 
investigation (NACI or equivalent in accordance with revised Federal 
investigative standards). Established administrative processes in 32 CFR 
part 156 and DoD Directive 5220.6, ``Defense Industrial Personnel 
Security Clearance Review Program'' (available at http://www.dtic.mil /
whs/directives /corres/pdf /522006p.pdf) must be applied.
    (g) Adjudications rendered for eligibility for access to classified 
information, eligibility to hold a sensitive position, suitability, or 
fitness for Federal employment based on a NACI or higher level 
investigation may result in a concurrent CAC decision for that position.
    (h) Favorable credentialing adjudications from another Federal 
department or agency will be reciprocally accepted in accordance with 
conditions stated in the procedural guidance in this part. Reciprocity 
must be based on final favorable adjudication only.
    (i) CAC applicants or holders may appeal CAC denial or revocation in 
accordance with the conditions stated in the procedural guidance in this 
part. Appeals must be processed as indicated in the procedural guidance 
in this part.
    (j) Non-U.S. nationals at foreign locations are not eligible to 
receive a CAC on an interim basis. Special considerations for conducting 
background investigations of non-U.S. nationals are addressed in U.S. 
OPM Memorandum, ``Final Credentialing Standards for Issuing Personal 
Identity Verification Cards Under HSPD-12.'' An interim

[[Page 888]]

CAC may be issued to non-U.S. nationals in the U.S. or U.S. territories 
if they have resided in the U.S. or U.S. territory for at least 3 years, 
and they satisfy the requirements of paragraph (e) of this section and 
paragraph (a)(4)(ii)(A) of Sec. 157.6.
    (k) Individuals who have been denied a CAC or have had a CAC revoked 
due to an unfavorable credentialing determination are eligible to 
reapply for a credential 1 year after the date of final adjudicative 
denial or revocation.
    (l) Individuals with a statutory or regulatory bar are not eligible 
for reconsideration while under debarment, see paragraph (d)(6) of Sec. 
157.6.
    (m) The Deputy Secretary of Defense directed all reports of 
investigations conducted as required for compliance with Homeland 
Security Presidential Directive-12, ``Policy for a Common Identification 
Standard for Federal Employees and Contractors'' (available at http://
www.dhs.gov /homeland- security- presidential- directive-12) to be sent 
to the consolidated DoD Central Adjudications Facility.
    (n) When eligibility is denied or revoked, CACs shall be recovered 
whenever practicable, and shall immediately be rendered inoperable. In 
addition, agencies' physical and logical access systems shall be 
immediately updated to eliminate the use of a CAC for access.



Sec. 157.5  Responsibilities.

    (a) The USD(I) must:
    (1) In coordination with the Under Secretary of Defense for 
Personnel and Readiness (USD(P&R)) and the General Counsel of the 
Department of Defense (GC, DoD), establish adjudication procedures to 
support CAC credentialing decisions in accordance with DoD Manual 
1000.13, Volume 1, ``DoD Identification (ID) Cards; ID Card Life-
Cycle''; U.S. Office of Personnel Management Memorandum, ``Final 
Credentialing Standards for Issuing Personal Identity Verification Cards 
Under HSPD-12''; U.S. Office of Personnel Management Memorandum, 
``Introduction of Credentialing, Suitability, and Security Clearance 
Decision-Making Guide; Office of Management and Budget Memorandum M-05-
24, ``Implementation of Homeland Security Presidential Directive (HSPD) 
12--Policy for a Common Identification Standard for Federal Employees 
and Contractors'' (available at http://www.whitehouse.gov /sites/default 
/files/omb/ memoranda/ fy2005/m05- 24.pdf); U.S. Office of Personnel 
Management Federal Investigations Notice Number 06-04, ``HSPD 12--
Advanced Fingerprint Results'' (available at http://www.opm.gov /extra/
investigate/ FIN06-- 04.pdf); Homeland Security Presidential Directive-
12, ``Policy for a Common Identification Standard for Federal Employees 
and Contractors''; 5 U.S.C. 552, 552a and 7313; Federal Information 
Processing Standards Publication 201-2, ``Personal Identity Verification 
(PIV) of Federal Employees and Contractors'' (available at http://
csrc.nist.gov /publications/ PubsFIPS.html); Executive Order 13467, 
``Reforming Processes Related to Suitability for Government Employment, 
Fitness for Contractor Employees, and Eligibility for Access to 
Classified National Security Information''; Executive Order 13488, 
``Granting Reciprocity on Excepted Service and Federal Contractor 
Employee Fitness and Reinvestigating Individuals in Positions of Public 
Trust''; 15 U.S.C. 278g-3; 40 U.S.C. 11331; and U.S. Office of Personnel 
Management Federal Investigations Notice Number 10-05, ``Reminder to 
Agencies of the Standards for Issuing Identity Credentials Under HSPD-
12'' (available at http://www.opm.gov /investigate /fins/2010 /fin10- 
05.pdf) for issuing a CAC to Service members and DoD civilian personnel.
    (2) In coordination with the Under Secretary of Defense for 
Acquisition, Technology, and Logistics (USD(AT&L)) and the GC, DoD, 
establish adjudication procedures to support a CAC credentialing 
decision for contractors in accordance with the terms of applicable 
contracts and the references cited in paragraph (a)(1) of this section, 
the Federal Acquisition Regulation (available at http://
www.acquisition.gov /far/current /pdf/ FAR.pdf), and the Defense Federal 
Acquisition Regulation Supplement (available at http://www.acq.osd.mil /
dpap/dars /dfarspgi/current /index.html).

[[Page 889]]

    (3) Issue, interpret, and clarify CAC investigative and adjudicative 
guidance in coordination with the Suitability Executive Agent as 
necessary.
    (b) The USD(P&R) must, in coordination with the GC, DoD, implement 
CAC PSI and adjudication procedures established herein as necessary to 
support issuance of a CAC to Service members and DoD civilian personnel 
in accordance with the references cited in paragraph (a)(1) of this 
section.
    (c) The USD(AT&L) must, in coordination with the GC, DoD, implement 
CAC PSI and adjudication procedures established by the USD(I) for 
contractors in accordance with the terms of applicable contracts and the 
references cited in paragraph (a)(1) of this section, Federal 
Acquisition Regulation, current edition; and Defense Federal Acquisition 
Regulation Supplement, current edition.
    (d) The GC, DoD must:
    (1) Provide advice and guidance as to the legal sufficiency of 
procedures and standards involved in adjudicating CAC investigations.
    (2) Perform functions relating to the DoD Homeland Security 
Presidential Directive (HSPD)-12 Program in accordance with DoD 
Directive 5220.6, ``Defense Industrial Personnel Security Clearance 
Review Program'' (available at http://www.dtic.mil /whs/directives /
corres/pdf/ 522006p.pdf) and DoD Directive 5145.01, ``General Counsel of 
the Department of Defense'' (available at http://www.dtic.mil /whs/
directives /corres/pdf/ 514501p.pdf) including maintenance and oversight 
of the Defense Office of Hearings and Appeals (DOHA) and its involvement 
in contractor CAC revocations as specified in paragraph (b)(6)(i)(B) of 
Sec. 157.6 of this part.
    (3) Coordinate on USD(P&R) implementation of CAC PSI and 
adjudication procedures, in accordance with the references cited in 
paragraph (a)(1) of this section, for Service members and DoD civilian 
personnel, and USD(AT&L) implementation of USD(I) procedures for CAC PSI 
and adjudication in accordance with the terms of applicable contracts 
and the references cited in paragraph (a)(1) of this section, Federal 
Acquisition Regulation and Defense Federal Acquisition Regulation 
Supplement.
    (e) The Heads of the DoD Components must:
    (1) Comply with and implement this part.
    (2) Provide resources for PSIs, adjudication, appeals, and recording 
of final adjudicative results in a centralized database.
    (3) Require individuals sponsored for a CAC to meet eligibility 
requirements stated in DTM 08-003.
    (4) Provide appeals boards for those individuals appealing CAC 
denial or revocation as specified in paragraph (b)(6)(i)(A) of Sec. 
157.6.
    (5) Enforce requirements for reporting of derogatory information, 
unfavorable administrative actions, and adverse actions to personnel 
security, HR, and counterintelligence official(s), as appropriate.
    (6) Require all PSIs submitted for non-DoD personnel to be supported 
by and comply with DoD PIV procedures in contracts that implement 
requirements of paragraphs 4.1303 and 52.204-9 of Federal Acquisition 
Regulation, current edition.
    (7) Require all investigations and adjudications required for non-
DoD personnel to be in response to a current, active contract or 
agreement and that the number of personnel submitted for investigation 
and adjudication does not exceed the specific requirements of that 
contract or agreement while ensuring compliance with HSPD-12.



Sec. 157.6  Procedures.

    (a) CAC Investigative Procedures-- (1) Investigative Requirements. 
(i) A personnel security investigation (NACI or greater) completed by an 
authorized ISP is required to support a CAC credentialing determination 
based on the established credentialing standards promulgated by OPM 
Memorandum, ``Final Credentialing Standards for Issuing Personal 
Identity Verification Cards Under HSPD-12''.
    (ii) Individuals identified as having a favorably adjudicated 
investigation on record, equivalent to or greater than the NACI, do not 
require an additional investigation for CAC issuance.
    (iii) There is no requirement to reinvestigate CAC holders unless 
they are subject to reinvestigation for national security or suitability 
reasons

[[Page 890]]

as specified in applicable DoD issuances.
    (2) Submission of Investigations. Investigative packages must be 
submitted promptly by HR or security personnel to the authorized ISP. 
Fingerprints for CAC applicants must be taken by HR or security 
personnel. DoD Components using the OPM as the ISP may request advanced 
fingerprint check results in accordance with OPM Federal Investigations 
Notice Number 06-04.
    (3) Reciprocity. (i) The sponsoring Component must not re-adjudicate 
CAC determinations for individuals transferring from another Federal 
department or agency, provided:
    (A) The individual's former department or agency verifies possession 
of a valid PIV.
    (B) The individual has undergone the required NACI or other 
equivalent (or greater) suitability or national security investigation 
and received favorable adjudication from the former department or 
agency.
    (C) There is no break in service 2 years or more and the individual 
has no actionable information since the date of the last completed 
investigation.
    (ii) Interim CAC determinations are not eligible to be transferred 
or reciprocally accepted. Reciprocity must be based on final favorable 
adjudication only.
    (4) Foreign (Non-U.S.) Nationals. DoD Components must apply the 
credentialing process and standards in this part to non-U.S. nationals 
who work as employees or contractor employees for the DoD. However, 
special considerations apply to non-U.S. nationals.
    (i) At Foreign Locations. (A) DoD Components must initiate and 
ensure completion of a background investigation before applying the 
credentialing standards to a non-U.S. national at a foreign location. 
The background investigation must be favorably adjudicated before a CAC 
can be issued to a non-U.S. national at a foreign location. The type of 
background investigation may vary based on standing reciprocity treaties 
concerning identity assurance and information exchanges that exist 
between the U.S. and its allies or agency agreements with the host 
country.
    (B) The investigation of a non-U.S. national at a foreign location 
must be consistent with a NACI, to the extent possible, and include a 
fingerprint check against the FBI criminal history database, an FBI 
investigations files (name check) search, and a name check against the 
terrorist screening database.
    (ii) At U.S.-Based Locations and in U.S. Territories (Other than 
American Samoa and Commonwealth of the Northern Mariana Islands). (A) 
Individuals who are non-U.S. nationals in the United States or U.S. 
territory for 3 years or more must have a NACI or equivalent 
investigation initiated after employment authorization is appropriately 
verified.
    (B) Non-U.S. nationals who have been in the United States or U.S. 
territory for less than 3 years do not meet the investigative 
requirements for CAC issuance. DoD Components may delay the background 
investigation of a Non-U.S. national who has been in the U.S. or U.S. 
territory for less than 3 years until the individual has been in the 
United States or U.S. territory for at least 3 years. In the event of 
such a delay, an alternative facility access identity credential may be 
issued at the discretion of the relevant DoD Component official, as 
appropriate based on a risk determination in accordance with DoD 
5200.08-R, ``Physical Security Program'' (available at http://
www.dtic.mil/whs/directives/corres/pdf/520008r.pdf) and U.S. Office of 
Personnel Management Memorandum, ``Final Credentialing Standards for 
Issuing Personal Identity Verification Cards Under HSPD-12.''
    (C) The U.S. territories of American Samoa and the Commonwealth of 
the Northern Mariana Islands are not included in the ``United States'' 
as defined by the Immigration and Nationality Act of 1952, as amended 
(Pub. L. 82-414).
    (5) Investigations Acceptable for CAC Adjudication. A list of 
investigations acceptable for CAC adjudication is located in the Table. 
These investigations are equivalent to or greater than a NACI. This list 
will be updated by the USD(I) as revisions to the Federal investigative 
standards are implemented.

[[Page 891]]



     Table--Favorably Adjudicated Investigations Acceptable for CAC
                              Adjudication
------------------------------------------------------------------------
          Investigation                         Description
------------------------------------------------------------------------
ANACI............................  Access National Agency Check and
                                    Inquires.
BGI-0112.........................  Upgrade Background Investigation (1-
                                    12 months from LBI).
BGI-1336.........................  Upgrade Background Investigation (13-
                                    36 months from LBI).
BGI-3760.........................  Upgrade Background Investigation (37-
                                    60 months from LBI).
BI...............................  Background Investigation.
BIPN.............................  Background Investigation plus Current
                                    National Agency Check.
BIPR.............................  Periodic Reinvestigation of
                                    Background Investigation.
BITN.............................  Background Investigation (10 year
                                    scope).
CNCI.............................  Child Care National Agency Check plus
                                    Written Inquires and Credit.
IBI..............................  Interview Oriented Background
                                    Investigation.
LBI..............................  Limited Background Investigation.
LBIP.............................  Limited Background Investigation plus
                                    Current National Agency Check.
LBIX.............................  Limited Background Investigation--
                                    Expanded.
MBI..............................  Moderate Risk Background
                                    Investigation.
MBIP.............................  Moderate Risk Background
                                    Investigation plus Current National
                                    Agency Check.
MBIX.............................  Moderate Risk Background
                                    Investigation--Expanded.
NACB.............................  National Agency Check/National Agency
                                    Check plus Written Inquires and
                                    Credit Check plus Background
                                    Investigation Requested.
NACI.............................  National Agency Check and Inquires.
NACLC............................  National Agency Check with Law and
                                    Credit.
NACS.............................  National Agency Check/National Agency
                                    Check plus Written Inquires and
                                    Credit Check plus Single Scope B.I.
                                    Requested.
NACW.............................  National Agency Check plus Written
                                    Inquires and Credit.
NACZ.............................  National Agency Check plus Written
                                    Inquires and Credit plus Special
                                    Investigative Inquiry.
NLC..............................  National Agency Check, Local Agency
                                    Check and Credit.
NNAC.............................  National Agency Check plus Written
                                    Inquires and Credit Plus Current
                                    National Agency Check.
NSI..............................  NSI--NACI/Suitability Determination.
PRI..............................  Periodic Reinvestigation.
PRS..............................  Periodic Reinvestigation Secret.
PRSC.............................  Periodic Reinvestigation Secret or
                                    Confidential.
PPR..............................  Phased Periodic Reinvestigation.
SPR..............................  Secret Periodic Reinvestigation.
SSBI.............................  Single Scope Background
                                    Investigation.
SSBI-PR..........................  Periodic Reinvestigation for SSBI.
------------------------------------------------------------------------

    (b) CAC Adjudicative Procedures--(1) Guidance for Applying 
Credentialing Standards During Adjudication. (i) As established in 
Homeland Security Presidential Directive-12, credentialing adjudication 
considers whether or not an individual is eligible for long-term access 
to Federally controlled facilities and/or information systems. The 
ultimate determination to authorize, deny, or revoke the CAC based on a 
credentialing determination of the PSI must be made after consideration 
of applicable credentialing standards in OPM Memorandum, ``Final 
Credentialing Standards for Issuing Personal Identity Verification Cards 
Under HSPD-12.''
    (ii) Each case is unique. Adjudicators must examine conditions that 
raise an adjudicative concern, the overriding factor for all of these 
conditions is unacceptable risk. Factors to be applied consistently to 
all information available to the adjudicator are:
    (A) The nature and seriousness of the conduct. The more serious the 
conduct, the greater the potential for an adverse CAC determination.
    (B) The circumstances surrounding the conduct. Sufficient 
information concerning the circumstances of the conduct must be obtained 
to determine whether there is a reasonable basis to believe the conduct 
poses a risk to people, property or information systems.
    (C) The recency and frequency of the conduct. More recent or more 
frequent conduct is of greater concern.
    (D) The individual's age and maturity at the time of the conduct. 
Offenses committed as a minor are usually treated as less serious than 
the same offenses committed as an adult, unless the offense is very 
recent, part of a pattern, or particularly heinous.
    (E) Contributing external conditions. Economic and cultural 
conditions may be relevant to the determination of whether there is a 
reasonable basis to believe there is an unacceptable risk if the 
conditions are currently removed or countered (generally considered in 
cases with relatively minor issues).

[[Page 892]]

    (F) The absence or presence of efforts toward rehabilitation, if 
relevant, to address conduct adverse to CAC determinations.
    (1) Clear, affirmative evidence of rehabilitation is required for a 
favorable adjudication (e.g., seeking assistance and following 
professional guidance, where appropriate; demonstrating positive changes 
in behavior and employment).
    (2) Rehabilitation may be a consideration for most conduct, not just 
alcohol and drug abuse. While formal counseling or treatment may be a 
consideration, other factors (such as the individual's employment 
record) may also be indications of rehabilitation.
    (iii) CAC adjudicators must successfully complete formal training 
through a DoD CAC adjudicator course from the Defense Security Service 
Center for Development of Security Excellence or a course approved by 
the Suitability Executive Agent.
    (2) Credentialing Standards. HSPD-12 credentialing standards 
contained in OPM Memorandum, ``Final Credentialing Standards for Issuing 
Personal Identity Verification Cards Under HSPD-12'' must be used to 
render a final determination whether to issue or revoke a CAC based on 
results of a qualifying PSI.
    (i) Basic Standards. CAC credentialing standards and the 
adjudicative guidelines described in paragraph (c) of this section are 
designed to guide the adjudicator who must determine, based on results 
of a qualifying PSI, whether CAC issuance is consistent with the basic 
standards, would create an unacceptable risk for the U.S. Government, or 
would provide an avenue for terrorism.
    (ii) Supplemental Standards. The supplemental standards are intended 
to ensure that the issuance of a CAC to an individual does not create 
unacceptable risk. The supplemental credentialing standards must be 
applied, in addition to the basic credentialing standards. In this 
context, an unacceptable risk refers to an unacceptable risk to the 
life, safety, or health of employees, contractors, vendors, or visitors; 
to the Government's physical assets or information systems; to personal 
property; to records, including classified, privileged, proprietary, 
financial, or medical records; or to the privacy of data subjects.
    The supplemental credentialing standards, in addition to the basic 
credentialing standards, must be used for CAC adjudication of 
individuals who are not also subject to the following types of 
adjudication:
    (A) Eligibility to hold a sensitive position or for access to 
classified information,
    (B) Suitability for Federal employment in the competitive service, 
or
    (C) Qualification for Federal employment in the excepted service.
    (3) Application of the Standards. (i) CAC credentialing standards 
shall be applied to all DoD civilian employees, Service members, and 
contractors who are CAC eligible, have been sponsored by a DoD entity, 
and require: (a) Physical access to DoD facilities or non-DoD facilities 
on behalf of DoD; (b) logical access to information systems (whether on 
site or remotely); or (c) remote access to DoD networks that use only 
the CAC logon for user authentication.
    (ii) If an individual is found unsuitable for competitive civil 
service consistent with 5 CFR part 731, ineligible for access to 
classified information pursuant to E.O. 12968, or disqualified from 
appointment in the excepted service or from working on a contract, the 
unfavorable decision may be sufficient basis for non-issuance or 
revocation of a CAC, but does not necessarily mandate this result.
    (4) Adjudication. The CAC adjudicators will consider the information 
provided by the CAC PSI in rendering a CAC credentialing determination. 
The determination will be unfavorable if there is a reasonable basis to 
conclude that a disqualifying factor in accordance with the basic CAC 
credentialing standards is substantiated, or when there is a reasonable 
basis to conclude that derogatory information or conduct relating to 
supplemental CAC credentialing standards presents an unacceptable risk 
for the U.S. Government.
    (i) If a DoD Component or DOHA proposes to deny or revoke a CAC 
under conditions other than those cited in paragraph (b)(3)(ii) of this 
section, the

[[Page 893]]

DoD Component or DOHA, as appropriate in accordance with paragraph 
(b)(6)(i) of this section, must issue the individual a written statement 
(also known as a letter of denial (LOD) or revocation (LOR)) identifying 
the disqualifying condition(s). The statement must contain a summary of 
the concerns and supporting adverse information, instructions for 
responding, and copies of the relevant CAC credentialing standards and 
adjudicative guidelines from this section. The written LOD or LOR must 
be as comprehensive and detailed as permitted by the requirements of 
national security and to protect sources that were granted 
confidentiality, and as allowed pursuant to provisions of 5 U.S.C. 552 
and 552a. (Section 552a is also known and hereinafter referred to as 
``The Privacy Act of 1974, as amended.'')
    (ii) The individual may elect to respond in writing to the DoD 
Component or DOHA, as appropriate, within 30 calendar days from the date 
of the LOD or LOR. Failure to respond to the LOD or LOR will result in 
automatic CAC denial or revocation.
    (iii) When, subsequent to issuance of an interim or final CAC, the 
U.S. Government receives credible information that raises questions as 
to whether a current CAC holder continues to meet the applicable 
credentialing standards, the DoD Component may reconsider the 
credentialing determination using the procedures in this part.
    (5) Denial or Revocation. (i) DoD Components must deny or revoke a 
CAC if the individual fails to respond to the LOD or LOR within the 
specified time-frame or the response to the written statement has not 
provided a basis to reverse the decision.
    (ii) Denial or revocation of a CAC must comply with applicable 
governing laws and regulations:
    (A) The U.S. Coast Guard shall afford individuals appeal rights as 
established in applicable Department of Homeland Security and U.S. Coast 
Guard Issuances.
    (B) CAC provides Service members with Geneva Convention protection 
in accordance with DoD Instruction 1000.1, ``Identification (ID) Cards 
Required by the Geneva Conventions'' (available at http://www.dtic.mil/
whs/directives/corres/pdf/100001p.pdf), and authorized benefits (e.g. 
medical) and must not be revoked or denied pursuant to the provisions of 
this part. CAC for Military Service members will be surrendered only 
upon separation, discharge, or retirement.
    (C) In certain instances a CAC provides other benefits or specific 
privileges to civilian employees (e.g. medical, post exchange and 
commissary) when assigned overseas long-term; or protected status to 
civilian employees and contractors who are accompanying U.S. forces 
during overseas deployments in accordance with DoD Instruction 1000.1. 
CAC for DoD civilians or contractors in this circumstance will not be 
revoked pursuant to the provisions of this part, but may be surrendered 
as part of other adverse employment or contracting actions or 
procedures.
    (iii) When eligibility is denied or revoked, the CAC shall be 
recovered whenever practicable, and shall immediately be rendered 
inoperable. In addition, agency's physical and logical access systems 
shall immediately be updated to eliminate the use of the CAC for access.
    (6) Appeals. (i) Individuals who have been denied a CAC or have had 
a CAC revoked due to an unfavorable credentialing determination must be 
entitled to appeal the determination in accordance with the following 
procedures:
    (A) Except as stated in paragraph (b)(6)(ii) of this section, new 
civilian and contractor applicants who have been denied a CAC may elect 
to appeal to a three member board composed of not more than one security 
representative and one human resources representative.
    (B) Contractor employees who have had their CAC revoked may appeal 
the unfavorable determination to the DOHA in accordance with the 
established administrative process set out in DoD Directive 5220.6.
    (ii) This appeal process does not apply when a CAC is denied or 
revoked as a result of either an unfavorable suitability determination 
consistent with 5 CFR part 731 or a decision to deny or revoke 
eligibility for access to classified information or eligibility for

[[Page 894]]

a sensitive national security position, since the person is already 
entitled to seek review in accordance with applicable suitability or 
national security procedures. Likewise, there is no right to appeal when 
the decision to deny the CAC is based on the results of a separate 
determination to disqualify the person from an appointment in the 
excepted service or to bar the person from working for or on behalf of a 
Federal department or agency.
    (iii) The DoD Component will notify the individual in writing of the 
final determination and provide a statement that this determination is 
not subject to further appeal.
    (7) Recording Final Determination. Immediately following final 
adjudication, the sponsoring activity must record the final eligibility 
determination (e.g., active, revoked, denied) in the OPM Central 
Verification System as directed by OPM Memorandum, ``Final Credentialing 
Standards for Issuing Personal Identity Verification Cards Under HSPD-
12.'' DoD Component records will document the adjudicative rationale. 
Adjudicative records shall be made available to authorized recipients as 
required for appeal purposes.
    (c) Basic Adjudicative Standards. (1) A CAC will not be issued to a 
person if the individual is known to be or reasonably suspected of being 
a terrorist.
    (i) A CAC must not be issued to a person if the individual is known 
to be or reasonably suspected of being a terrorist. Individuals 
entrusted with access to Federal property and information systems must 
not put the U.S. Government at risk or provide an avenue for terrorism.
    (ii) Therefore, conditions that may be disqualifying include 
evidence that the individual has knowingly and willfully been involved 
with reportable domestic or international terrorist contacts or foreign 
intelligence entities, counterintelligence activities, indicators, or 
other behaviors described in DoD Directive 5240.06, 
``Counterintelligence Awareness and Reporting (CIAR)'' (available at 
http://www.dtic.mil/whs/directives/corres/pdf/524006p.pdf).
    (2) A CAC will not be issued to a person if the employer is unable 
to verify the individual's claimed identity.
    (i) A CAC must not be issued to a person if the DoD component is 
unable to verify the individual's claimed identity. To be considered 
eligible for a CAC, the individual's identity must be clearly 
authenticated. The CAC must not be issued when identity cannot be 
authenticated.
    (ii) Therefore, conditions that may be disqualifying include:
    (A) The individual claimed it was not possible to provide two 
identity source documents from the list of acceptable documents in Form 
I-9, Office of Management and Budget No. 1115-0136, ``Employment 
Eligibility Verification,''(available at http://www.uscis.gov/files/
form/i-9.pdf) or provided only one identity source document from the 
list of acceptable documents.
    (B) The individual did not appear in person as required by Federal 
Information Processing Standards Publication 201-2.
    (C) The individual refused to cooperate with the documentation and 
investigative requirements to validate his or her identity.
    (D) The investigation failed to confirm the individual's claimed 
identity.
    (iii) No conditions can mitigate inability to verify the applicant's 
identity.
    (3) A CAC will not be issued to a person if there is a reasonable 
basis to believe the individual has submitted fraudulent information 
concerning his or her identity.
    (i) A CAC must not be issued to a person if there is a reasonable 
basis to believe the individual has submitted fraudulent information 
concerning his or her identity in an attempt to obtain the current 
credential.
    (A) Substitution occurred in the identity proofing process; the 
individual who appeared on one occasion was not the same person that 
appeared on another occasion.
    (B) The fingerprints associated with the identity do not belong to 
the person attempting to obtain a CAC.
    (ii) No conditions can mitigate submission of fraudulent information 
in an attempt to obtain a current credential.

[[Page 895]]

    (4) A CAC will not be issued to a person if there is a reasonable 
basis to believe the individual will attempt to gain unauthorized access 
to classified documents, information protected by the Privacy Act, 
information that is proprietary in nature, or other sensitive or 
protected information.
    (i) Individuals must comply with information-handling regulations 
and rules. Individuals must properly handle classified and protected 
information such as sensitive or proprietary information.
    (ii) Individuals should not attempt to gain unauthorized access to 
classified documents or other sensitive or protected information. 
Unauthorized access to U.S. Government information or improper use of 
U.S. Government information once access is granted may pose a 
significant risk to national security, may compromise individual 
privacy, and may make public information that is proprietary in nature, 
thus compromising the operations and missions of Federal agencies.
    (iii) A CAC must not be issued if there is a reasonable basis to 
believe the individual will attempt to gain unauthorized access to 
classified documents, information protected by the Privacy Act of 1974, 
as amended, information that is proprietary in nature, or other 
sensitive or protected information.
    (iv) Therefore, conditions that may be disqualifying include any 
attempt to gain unauthorized access to classified, sensitive, 
proprietary or other protected information.
    (v) Circumstances relevant to the determination of whether there is 
a reasonable basis to believe there is an unacceptable risk include:
    (A) Since the time of the last act or activities, the person has 
demonstrated a favorable change in behavior.
    (B) The behavior happened so long ago, was minor, or happened under 
such unusual circumstances that it is unlikely to recur and does not 
cast doubt on the individual's ability to safeguard protected 
information.
    (5) A CAC will not be issued to a person if there is a reasonable 
basis to believe the individual will use an identity credential outside 
the workplace unlawfully or inappropriately.
    (i) A CAC must not be issued to a person if there is a reasonable 
basis to believe the individual will use an identity credential outside 
the workplace unlawfully or inappropriately.
    (ii) Therefore, conditions that may be disqualifying include:
    (A) Documented history of fraudulent requests for credentials or 
other official documentation.
    (B) Previous incidents in which the individual used credentials or 
other official documentation to circumvent rules or regulations.
    (C) A history of incidents involving misuse of credentials that put 
physical assets or personal property at risk.
    (iii) Circumstances relevant to the determination of whether there 
is a reasonable basis to believe there is an unacceptable risk include:
    (A) The behavior happened so long ago, was minor, or happened under 
such unusual circumstances that it is unlikely to recur and does not 
cast doubt on the individual's ability and willingness to use 
credentials lawfully and appropriately.
    (6) A CAC will not be issued to a person if there is a reasonable 
basis to believe the individual will use Federally-controlled 
information systems unlawfully, make unauthorized modifications to such 
systems, corrupt or destroy such systems, or engage in inappropriate 
uses of such systems.
    (i) Individuals must comply with rules, procedures, guidelines, or 
regulations pertaining to information technology systems and properly 
protect sensitive systems, networks, and information. The individual 
should not attempt to use federally-controlled information systems 
unlawfully, make unauthorized modifications, corrupt or destroy, or 
engage in inappropriate uses of such systems. A CAC must not be issued 
to a person if there is a reasonable basis to believe the individual 
will do so or has done so in the past.
    (ii) Therefore, conditions that may be disqualifying include:
    (A) Illegal, unauthorized, or inappropriate use of an information 
technology system or component.
    (B) Unauthorized modification, destruction, manipulation of 
information, software, firmware, or hardware

[[Page 896]]

to corrupt or destroy information technology systems or data.
    (iii) Circumstances relevant to the determination of whether there 
is a reasonable basis to believe there is an unacceptable risk include:
    (A) The behavior happened so long ago, was minor, or happened under 
such unusual circumstances that it is unlikely to recur and does not 
cast doubt on the individual's ability and willingness to conform to 
rules and regulations for use of information technology systems.
    (d) Supplemental Adjudicative Standards. (1) A CAC will not be 
issued to a person if there is a reasonable basis to believe, based on 
the individual's misconduct or negligence in employment, that issuance 
of a CAC poses an unacceptable risk.
    (i) An individual's employment misconduct or negligence may put 
people, property, or information systems at risk.
    (ii) Therefore, conditions that may be disqualifying include:
    (A) A previous history of intentional wrongdoing on the job, 
disruptive, violent, or other acts that may pose an unacceptable risk to 
people, property, or information systems.
    (B) A pattern of dishonesty or rule violations in the workplace 
which put people, property or information at risk.
    (C) A documented history of misusing workplace information systems 
to view, download, or distribute pornography.
    (D) Violation of written or recorded commitments to protect 
information made to an employer, such as breach(es) of confidentiality 
or the release of proprietary or other information.
    (E) Failure to comply with rules or regulations for the safeguarding 
of classified, sensitive, or other protected information.
    (iii) Circumstances relevant to the determination of whether there 
is a reasonable basis to believe there is an unacceptable risk include:
    (A) The behavior happened so long ago, was minor, or happened under 
such unusual circumstances that it is unlikely to recur and does not 
cast doubt on the individual's current trustworthiness or good judgment 
relating to the safety of people and proper safeguarding of property and 
information systems.
    (B) The individual was not adequately warned that the conduct was 
unacceptable and could not reasonably be expected to know that the 
conduct was wrong.
    (C) The individual made prompt, good-faith efforts to correct the 
behavior.
    (D) The individual responded favorably to counseling or remedial 
training and has since demonstrated a positive attitude toward the 
discharge of information-handling or security responsibilities.
    (2) A CAC will not be issued to a person if there is a reasonable 
basis to believe, based on the individual's criminal or dishonest 
conduct, that issuance of a CAC poses an unacceptable risk.
    (i) An individual's conduct involving questionable judgment, lack of 
candor, dishonesty, or unwillingness to comply with rules and 
regulations can raise questions about his or her reliability or 
trustworthiness and may put people, property, or information systems at 
risk. An individual's past criminal or dishonest conduct may put people, 
property, or information systems at risk.
    (ii) Therefore, conditions that may be disqualifying include:
    (A) A single serious crime or multiple lesser offenses which put the 
safety of people at risk or threaten the protection of property or 
information. A person's convictions for burglary may indicate that 
granting a CAC poses an unacceptable risk to the U.S. Government's 
physical assets and to employees' personal property on a U.S. Government 
facility.
    (B) Charges or admission of criminal conduct relating to the safety 
of people and proper protection of property or information systems, 
regardless of whether the person was formally charged, formally 
prosecuted, or convicted.
    (C) Dishonest acts (e.g., theft, accepting bribes, falsifying 
claims, perjury, forgery, or attempting to obtain identity documentation 
without proper authorization).

[[Page 897]]

    (D) Deceptive or illegal financial practices such as embezzlement, 
employee theft, check fraud, income tax evasion, expense account fraud, 
filing deceptive loan statements, or other intentional financial 
breaches of trust.
    (E) Actions involving violence or sexual behavior of a criminal 
nature that poses an unacceptable risk if access is granted to 
federally-controlled facilities or federally-controlled information 
systems. For example, convictions for sexual assault may indicate that 
granting a CAC poses an unacceptable risk to the life and safety of 
persons on U.S. Government facilities.
    (F) Financial irresponsibility may raise questions about the 
individual's honesty and put people, property or information systems at 
risk, although financial debt should not in and of itself be cause for 
denial.
    (G) Deliberate omission, concealment, or falsification of relevant 
facts or deliberately providing false or misleading information to an 
employer, investigator, security official, competent medical authority, 
or other official U.S. Government representative, particularly when 
doing so results in personal benefit or which results in a risk to the 
safety of people and proper safeguarding of property and information 
systems.
    (iii) Circumstances relevant to the determination of whether there 
is a reasonable basis to believe there is an unacceptable risk include:
    (A) The behavior happened so long ago, was minor in nature, or 
happened under such unusual circumstances that it is unlikely to recur.
    (B) Charges were dismissed or evidence was provided that the person 
did not commit the offense and details and reasons support his or her 
innocence.
    (C) Improper or inadequate advice from authorized personnel or legal 
counsel significantly contributed to the individual's omission, of 
information. When confronted, the individual provided an accurate 
explanation and made prompt, good-faith effort to correct the situation.
    (D) Evidence has been supplied of successful rehabilitation, 
including but not limited to remorse or restitution, job training or 
higher education, good employment record, constructive community 
involvement, or passage of time without recurrence.
    (3) A CAC will not be issued to a person if there is a reasonable 
basis to believe, based on the individual's material, intentional false 
statement, deception, or fraud in connection with Federal or contract 
employment, that issuance of a CAC poses an unacceptable risk.
    (i) The individual's conduct involving questionable judgment, lack 
of candor, or unwillingness to comply with rules and regulations can 
raise questions about an individual's honesty, reliability, 
trustworthiness, and put people, property, or information systems at 
risk.
    (ii) Therefore, conditions that may be disqualifying include 
material, intentional falsification, deception or fraud related to 
answers or information provided during the employment process for the 
current or a prior Federal or contract employment (e.g., on the 
employment application or other employment, appointment or investigative 
documents, or during interviews.)
    (iii) Circumstances relevant to the determination of whether there 
is a reasonable basis to believe there is an unacceptable risk include:
    (A) The misstated or omitted information was so long ago, was minor, 
or happened under such unusual circumstances that it is unlikely to 
recur.
    (B) The misstatement or omission was unintentional or inadvertent 
and was followed by a prompt, good-faith effort to correct the 
situation.
    (4) A CAC will not be issued to a person if there is a reasonable 
basis to believe, based on the nature or duration of the individual's 
alcohol abuse without evidence of substantial rehabilitation, that 
issuance of a CAC poses an unacceptable risk.
    (i) An individual's abuse of alcohol may put people, property, or 
information systems at risk. Alcohol abuse can lead to the exercise of 
questionable judgment or failure to control impulses, and may put 
people, property, or information systems at risk, regardless of whether 
he or she is diagnosed as an abuser of alcohol or alcohol dependent. A 
person's long-term abuse of alcohol without evidence of substantial

[[Page 898]]

rehabilitation may indicate that granting a CAC poses an unacceptable 
safety risk in a U.S. Government facility.
    (ii) Therefore, conditions that may be disqualifying include:
    (A) A pattern of alcohol-related arrests.
    (B) Alcohol-related incidents at work, such as reporting for work or 
duty in an intoxicated or impaired condition, or drinking on the job.
    (C) Current continuing abuse of alcohol.
    (D) Failure to follow any court order regarding alcohol education, 
evaluation, treatment, or abstinence.
    (iii) Circumstances relevant to the determination of whether there 
is a reasonable basis to believe there is an unacceptable risk include:
    (A) The individual acknowledges his or her alcoholism or issues of 
alcohol abuse, provides evidence of actions taken to overcome this 
problem, and has established a pattern of abstinence (if alcohol 
dependent) or responsible use (if an abuser of alcohol).
    (B) The individual is participating in counseling or treatment 
programs, has no history of previous treatment or relapse, and is making 
satisfactory progress.
    (C) The individual has successfully completed inpatient or 
outpatient counseling or rehabilitation along with any required 
aftercare. He or she has demonstrated a clear and established pattern of 
modified consumption or abstinence in accordance with treatment 
recommendations, such as participation in an alcohol treatment program. 
The individual has received a favorable prognosis by a duly qualified 
medical professional or a licensed clinical social worker who is a staff 
member of a recognized alcohol treatment program.
    (5) A CAC will not be issued to a person if there is a reasonable 
basis to believe, based on the nature or duration of the individual's 
illegal use of narcotics, drugs, or other controlled substances without 
evidence of substantial rehabilitation, that issuance of a CAC poses an 
unacceptable risk.
    (i) An individual's abuse of drugs may put people, property, or 
information systems at risk. Illegal use of narcotics, drugs, or other 
controlled substances, to include abuse of prescription or over-the-
counter drugs, can raise questions about his or her trustworthiness, or 
ability or willingness to comply with laws, rules, and regulations. For 
example, a person's long-term illegal use of narcotics without evidence 
of substantial rehabilitation may indicate that granting a CAC poses an 
unacceptable safety risk in a U.S. Government facility.
    (ii) Therefore, conditions that may be disqualifying include:
    (A) Current or recent illegal drug use, serious narcotic, or other 
controlled substance offense.
    (B) A pattern of drug-related arrests or problems in employment.
    (C) Illegal drug possession, including cultivation, processing, 
manufacture, purchase, sale, or distribution of illegal drugs, or 
possession of drug paraphernalia.
    (D) Diagnosis by a duly qualified medical professional (e.g., 
physician, clinical psychologist, or psychiatrist) of drug abuse or drug 
dependence.
    (E) Evaluation of drug abuse or drug dependence by a licensed 
clinical social worker who is a staff member of a recognized drug 
treatment program.
    (F) Failure to successfully complete a drug treatment program 
prescribed by a duly qualified medical professional.
    (G) Any illegal drug use after formally agreeing to comply with 
rules or regulations prohibiting drug use.
    (H) Any illegal use or abuse of prescription or over-the-counter 
drugs.
    (iii) Circumstances relevant to the determination of whether there 
is a reasonable basis to believe there is an unacceptable risk include:
    (A) The behavior happened so long ago, was so infrequent, or 
happened under such circumstances that it is unlikely to recur (e.g., 
clear, lengthy break since last use; strong evidence the use will not 
occur again).
    (B) A demonstrated intent not to abuse any drugs in the future, such 
as:
    (1) Abstaining from drug use.
    (2) Disassociating from drug-using associates and contacts.
    (3) Changing or avoiding the environment where drugs were used.

[[Page 899]]

    (C) Abuse of prescription drugs followed a severe or prolonged 
illness during which these drugs were prescribed and abuse has since 
ended.
    (D) Satisfactory completion of a prescribed drug treatment program, 
including but not limited to rehabilitation and aftercare requirements 
without recurrence of abuse, and a favorable prognosis by a duly 
qualified medical professional.
    (6) A CAC will not be issued to a person if a statutory or 
regulatory bar prevents the individual's contract employment; or would 
prevent Federal employment under circumstances that furnish a reasonable 
basis to believe that issuance of a CAC poses an unacceptable risk.
    (i) The purpose of this standard is to verify whether there is a bar 
on contract employment, and whether the contract employee is subject to 
a Federal employment debarment for reasons that also pose an 
unacceptable risk in the contracting context. For example, a person's 5-
year bar on Federal employment based on a felony conviction related to 
inciting a riot or civil disorder, as specified in 5 U.S.C. 7313, may 
indicate that granting a CAC poses an unacceptable risk to persons, 
property, and assets in U.S. Government facilities.
    (ii) Therefore, conditions that may be disqualifying include:
    (A) A debarment was imposed by OPM, DoD, or other Federal agencies 
when the conduct poses an unacceptable risk to people, property, or 
information systems.
    (B) The suitability debarment was based on the presence of serious 
suitability issues when the conduct poses an unacceptable risk to 
people, property, or information systems.
    (iii) Circumstances relevant to the determination of whether there 
is a reasonable basis to believe there is an unacceptable risk include:
    (A) Applicant proves the reason(s) for the debarment no longer 
exists.
    (B) The debarment is job or position-specific and is not applicable 
to the job currently under consideration.
    (7) A CAC will not be issued to a person if the individual has 
knowingly and willfully engaged in acts or activities designed to 
overthrow the U.S. Government by force.
    (i) Individuals entrusted with access to U.S. Government property 
and information systems must not put the U.S. Government at risk.
    (ii) Therefore, conditions that may be disqualifying include:
    (A) Illegal involvement in, support of, training to commit, or 
advocacy of any act of sabotage, espionage, treason or sedition against 
the United States of America.
    (B) Association or agreement with persons who attempt to or commit 
any of the acts in paragraph (d)(7)(ii)(A) of this section with the 
specific intent to further those unlawful aims.
    (C) Association or agreement with persons or organizations that 
advocate, threaten, or use force or violence, or use any other illegal 
or unconstitutional means in an effort to overthrow or influence the 
U.S. Government.
    (iii) Circumstances relevant to the determination of whether there 
is a reasonable basis to believe there is an unacceptable risk include:
    (A) The behavior happened so long ago, was minor, or happened under 
such unusual circumstances that it is unlikely to recur and does not 
cast doubt on the individual's current trustworthiness.
    (B) The person was not aware of the person's or organization's 
dedication to illegal, treasonous, or seditious activities or did not 
have the specific intent to further the illegal, treasonous, or 
seditious ends of the person or organization.
    (C) The individual did not have the specific intent to incite others 
to advocate, threaten, or use force or violence, or use any other 
illegal or unconstitutional means to engage in illegal, treasonous, or 
seditious activities.
    (D) The individual's involvement in the activities was for an 
official purpose.



PART 158_OPERATIONAL CONTRACT SUPPORT--Table of Contents



Sec.
158.1 Purpose.
158.2 Applicability.
158.3 Definitions.
158.4 Policy.
158.5 Responsibilities.

[[Page 900]]

158.6 Procedures.
158.7 Guidance for contractor medical and dental fitness.

    Authority: Public Law 110-181; Public Law 110-417.

    Source: 76 FR 81808, Dec. 29, 2011, unless otherwise noted.



Sec. 158.1  Purpose.

    This part establishes policy, assigns responsibilities, and provides 
procedures for operational contract support (OCS), including OCS program 
management, contract support integration, and integration of defense 
contractor personnel into contingency operations outside the United 
States in accordance with the guidance in DoD Directive 3020.49 (see 
http://www.dtic.mil/whs/directives/corres/pdf/302049p.pdf) and the 
authority in DOD Directive 5134.01 (see http://www.dtic.mil/whs/
directives/corres/pdf/513401p.pdf).



Sec. 158.2  Applicability.

    This part applies to:
    (a) The Office of the Secretary of Defense, the Military 
Departments, the Office of the Chairman of the Joint Chiefs of Staff and 
the Joint Staff, the Combatant Commands, the Office of the Inspector 
General of the Department of Defense, the Defense agencies, the DoD 
field activities, and all other organizational entities within the 
Department of Defense (hereinafter referred to collectively as the ``DoD 
Components'').
    (b) DoD operations (contingency, humanitarian assistance, and other 
peace operations) outside the United States; other military operations 
as determined by a Combatant Commander (CCDR); or as directed by the 
Secretary of Defense (hereinafter referred to collectively as 
``applicable contingency operations'').



Sec. 158.3  Definitions.

    Unless otherwise noted, the following terms and their definitions 
are for the purposes of this part.
    Acquisition. Defined in 48 CFR 2.101.
    Contingency acquisition. The process of acquiring supplies, 
services, and construction in support of contingency operations.
    Contingency contract. A legally binding agreement for supplies, 
services, and construction let by Government contracting officers in the 
operational area, as well as other contracts that have a prescribed area 
of performance within a designated operational area. Contingency 
contracts include theater support, external support, and systems support 
contracts.
    Contingency contractor personnel. Individual contractors, individual 
subcontractors at all tiers, contractor employees, and sub-contractor 
employees at all tiers under all contracts supporting the Military 
Services during contingency operations.
    Contingency operation. Defined in Joint Publication 1-02 (see http:/
/www.dtic.mil/doctrine/new--pubs/jp1--02.pdf).
    Contingency program management. The process of planning, organizing, 
staffing, controlling, and leading the operational contract support 
(OCS) efforts to meet joint force commander (JFC) objectives.
    Contract administration. A subset of contracting that includes 
efforts that ensure supplies and services are delivered in accordance 
with the conditions and standards expressed in the contract. Contract 
administration is the oversight function, from contract award to 
contract closeout, performed by contracting professionals and designated 
non-contracting personnel.
    Contract administration delegation. A CCDR policy or process related 
to theater business clearance that allows the CCDR to exercise control 
over the assignment of contract administration for that portion of 
contracted effort that relates to performance in, or delivery to, 
designated area(s) of operations and allows the CCDR to exercise 
oversight to ensure the contractor's compliance with CCDR and 
subordinate task force commander policies, directives, and terms and 
conditions. Whether the CCDR chooses to implement such a process depends 
on the situation.
    Contracting. Defined in 48 CFR 2.101.
    Contracting officer. Defined in 48 CFR 2.101.
    Contracting Officer's Representative (COR). Defined in 48 CFR 
202.101.
    Contractor management. The oversight and integration of contractor 
personnel and associated equipment providing

[[Page 901]]

support to the joint force in a designated operational area.
    Contractors Authorized to Accompany the Force (CAAF). Contractor 
personnel, including all tiers of subcontractor personnel, who are 
authorized to accompany the force in applicable contingency operations 
and who have been afforded CAAF status through Letter of Authorization 
(LOA). CAAF generally include all U.S. citizen and Third Country 
National (TCN) employees not normally residing within the operational 
area whose area of performance is in the direct vicinity of U.S. forces 
and who routinely are co-located with U.S. forces (especially in non-
permissive environments). Personnel co-located with U.S. forces shall be 
afforded CAAF status through LOA. In some cases, CCDR subordinate 
commanders may designate mission-essential Host Nation (HN) or Local 
national (LN) contractor employees (e.g., interpreters) as CAAF. CAAF 
includes contractors identified as contractors deploying with the force 
in DoD Instruction 3020.41 and DoD Directive 3002.01E (see http://
www.dtic.mil/whs/directives/corres/pdf/300201p.pdf). CAAF status does 
not apply to contractor personnel in support of contingencies within the 
boundaries and territories of the United States.
    Defense contractor. Any individual, firm, corporation, partnership, 
association, or other legal non-Federal entity that enters into a 
contract directly with the DoD to furnish services, supplies, or 
construction. Foreign governments, representatives of foreign 
governments, or foreign corporations wholly owned by foreign governments 
that have entered into contracts with the DoD are not defense 
contractors.
    Designated reception site. The organization responsible for the 
reception, staging, integration, and onward movement of contractors 
deploying during a contingency. The designated reception site includes 
assigned joint reception centers and other Service or private reception 
sites.
    Essential contractor service. A service provided by a firm or an 
individual under contract to the DoD to support vital systems including 
ships owned, leased, or operated in support of military missions or 
roles at sea and associated support activities, including installation, 
garrison, base support, and linguist/translator services considered of 
utmost importance to the U.S. mobilization and wartime mission. The term 
also includes services provided to Foreign Military Sales customers 
under the Security Assistance Program. Services are considered essential 
because:
    (1) The DoD Components may not have military or DoD civilian 
employees to perform the services immediately.
    (2) The effectiveness of defense systems or operations may be 
seriously impaired and interruption is unacceptable when the services 
are not available immediately.
    External support contracts. Prearranged contracts or contracts 
awarded during a contingency from contracting organizations whose 
contracting authority does not derive directly from theater support or 
systems support contracting authorities.
    Functional Combatant Commands. U.S. Joint Forces Command (USJFCOM), 
U.S. Special Operations Command, U.S. Strategic Command, and U.S. 
Transportation Command.
    Geographic Combatant Commands. U.S. Africa Command, U.S. Central 
Command, U.S. European Command, U.S. Northern Command, U.S. Pacific 
Command, and U.S. Southern Command.
    Hostile environment. Defined in Joint Publication 1-02.
    Host nation (HN). A nation that permits, either by written agreement 
or official invitation, government representatives and/or agencies of 
another nation to operate, under specified conditions, within its 
borders.
    Letter of authorization (LOA). A document issued by a procuring 
contracting officer or designee that authorizes contractor personnel to 
accompany the force to travel to, from, and within an operational area, 
and outlines Government-furnished support authorizations within the 
operational area, as agreed to under the terms and conditions of the 
contract. For more information, see 48 CFR PGI 225.74.
    Local national (LN). An individual who is a permanent resident of 
the nation in which the United States is conducting contingency 
operations.

[[Page 902]]

    Long-term care. A variety of services that help a person with 
comfort, personal, or wellness needs. These services assist in the 
activities of daily living, including such things as bathing and 
dressing. Sometimes known as custodial care.
    Non-CAAF. Personnel who are not designated as CAAF, such as LN 
employees and non-LN employees who are permanent residents in the 
operational area or TCNs not routinely residing with U.S. forces (and 
TCN expatriates who are permanent residents in the operational area) who 
perform support functions away from the close proximity of, and do not 
reside with, U.S. forces. Government-furnished support to non-CAAF is 
typically limited to force protection, emergency medical care, and basic 
human needs (e.g., bottled water, latrine facilities, security, and food 
when necessary) when performing their jobs in the direct vicinity of 
U.S. forces.
    Operational contract support (OCS). The ability to orchestrate and 
synchronize the provision of integrated contract support and management 
of contractor personnel providing support to the joint force within a 
designated operational area.
    Prime contract. Defined in 48 CFR 3.502.
    Qualifying contingency operation. In accordance with Article 
2(a)(10) of the Uniform Code of Military Justice (UCMJ) (see http://
www.au.af.mil/au/awc/awcgate/ucmj.htm), a military contingency operation 
conducted for the purpose of engaging an enemy or a hostile force in 
combat where disciplinary authority over civilians under Article 
2(a)(10) is governed by the UCMJ, the Secretary of Defense Memorandum, 
``UCMJ Jurisdiction Over DoD Civilian Employees, DoD Contractor 
Personnel, and Other Persons Serving With or Accompanying the Armed 
Forces Overseas During Declared War and in Contingency Operations,'' 
dated March 10, 2008 (see http://www.dtic.mil /whs/directives /corres/
pdf /DTM-08- 009.pdf), and the Manual for Courts-Martial, United States, 
current edition (see http://www.au.af.mil /au/awc /awcgate/law /
mcm.pdf).
    Replacement center. The centers at selected installations that 
ensure personnel readiness processing actions have been completed prior 
to an individual reporting to the aerial port of embarkation for 
deployment to a designated operational area.
    Requiring activity. The organization charged with meeting the 
mission and delivering the requirements the contract supports. This 
activity is responsible for delivering the services to meet the mission 
if the contract is not in effect. The requiring activity may also be the 
organizational unit that submits a written requirement, or statement of 
need, for services required by a contract. This activity is responsible 
for ensuring compliance with DoD Instruction 1100.22 (see http://
www.dtic.mil /whs/directives/ corres/pdf/ 110022p.pdf) and Deputy 
Secretary of Defense Memorandums, ``In-sourcing Contracted Services--
Implementation Guidance'' dated May 28, 2009, and ``Implementation of 
Section 324 of the National Defense Authorization Act for Fiscal Year 
2008 (FY 2008 NDAA)--Guidelines and Procedures on In-Sourcing New and 
Contracted Out Functions'' dated April 4, 2008 (for both Deputy 
Secretary of Defense Memorandums see http://prhome.defense.gov /RSI/
REQUIREMENTS/ INSOURCE/ INSOURCE-- GUIDANCE.ASPX).
    Subcontract. Defined in 48 CFR 3.502.
    Systems support contracts. Prearranged contracts awarded by Service 
acquisition program management offices that provide fielding support, 
technical support, maintenance support, and, in some cases, repair parts 
support, for selected military weapon and support systems. Systems 
support contracts routinely are put in place to provide support to many 
newly fielded weapons systems, including aircraft, land combat vehicles, 
and automated command and control systems. Systems support contracting 
authority, contract management authority, and program management 
authority reside with the Service system materiel acquisition program 
offices. Systems support contractors, made up mostly of U.S. citizens, 
provide support in continental U.S. (CONUS) and often deploy with the 
force in both training and contingency operations. The JFC generally has 
less control over systems support

[[Page 903]]

contracts than other types of contracts.
    Theater business clearance. A CCDR policy or process to ensure 
visibility of and a level of control over systems support and external 
support contracts executing or delivering support in designated area(s) 
of operations. The breadth and depth of such requirements will be 
situational. Theater business clearance is not necessarily discrete and 
can be implemented to varying degrees on a continuum during all phases 
of an operation.
    Theater support contracts. Contingency contracts awarded by 
contracting officers deployed to an operational area serving under the 
direct contracting authority of the Service component, special 
operations force command, or designated joint contracting authority for 
the designated contingency operation.
    Uniquely military functions. Defined in DoD Instruction 1100.22, 
``Policy and Procedures for Determining Workforce Mix.''



Sec. 158.4  Policy.

    It is DoD policy that:
    (a) OCS actions (e.g., planning, accountability, visibility, 
deployment, protection, and redeployment requirements) shall be 
implemented to:
    (1) Incorporate appropriate contingency program management processes 
during applicable contingency operations.
    (2) Comply with applicable U.S., international, and local laws, 
regulations, policies, and agreements.
    (3) Use contract support only in appropriate situations consistent 
with 48 CFR subpart 7.5, 48 CFR 207.503, and DoD Instruction 1100.22, 
``Policy and Procedures for Determining Workforce Mix.''
    (4) Fully consider, plan for, integrate, and execute acquisition of, 
contracted support, including synchronizing and integrating contracted 
support flowing into an operational area from systems support, external 
support and theater support contracts and managing the associated 
contractor personnel, into applicable contingency operations consistent 
with CCDR policies and procedures and Joint Publication (JP) 4-10, 
``Operational Contract Support,'' (see http://www.dtic.mil /doctrine/
new-- pubs/jp4-- 10.pdf).
    (b) Contractors are generally responsible for providing their own 
logistical support. However, in austere, uncertain, and/or hostile 
environments, the DoD may provide logistical support to ensure 
continuation of essential contractor services. CAAF may receive 
Government-furnished support commensurate with the operational situation 
in accordance with the terms and conditions of their contract.
    (c) Contracting officers will ensure that contracts used to support 
DoD operations require:
    (1) That CAAF deploying from outside the operational area be 
processed through formal deployment (replacement) centers or a DoD-
approved equivalent process prior to departure, and through in-theater 
reception centers upon arrival in the operational area, as specified in 
Sec. 158.6 of this part.
    (2) That contractors provide personnel who are medically, dentally, 
and psychologically fit, and if applicable, professionally tested and 
certified, to perform contract duties in applicable contingency 
operations. Section 158.6 of this part details medical support and 
evacuation procedures. Section 158.7 of this part provides guidance on 
contractor medical, psychological, and dental fitness.
    (3) Solicitations and contracts address any applicable host country 
and designated operational area performance considerations.
    (d) Contracts for highly sensitive, classified, cryptologic, and 
intelligence projects and programs shall implement this part to the 
maximum extent practicable, consistent with applicable laws, Executive 
orders, Presidential Directives, and DoD issuances.
    (e) In applicable contingency operations, contractor visibility and 
accountability shall be maintained through a common joint database, the 
Synchronized Predeployment and Operational Tracker (SPOT) or its 
successor.

[[Page 904]]



Sec. 158.5  Responsibilities.

    (a) The Under Secretary of Defense for Acquisition, Technology, and 
Logistics (USD(AT&L)) shall develop, coordinate, establish, and oversee 
the implementation of DoD policy for managing OCS.
    (b) The Director, Defense Procurement and Acquisition Policy (DPAP), 
under the authority, direction, and control of the USD(AT&L), shall:
    (1) Oversee all acquisition and procurement policy matters including 
the development of DoD policies for contingency contracting and the 
coordinated development and publication of contract prescriptions and 
standardized contract clauses in 48 CFR 207.503, 252.225-7040, and 
202.101, and associated contracting officer guidance in 48 CFR PGI 
225.74. This includes working collaboratively with OSD Principal Staff 
Assistants, Chairman of the Joint Chiefs of Staff (CJCS) 
representatives, and the DoD Component Heads in the development of OCS 
related policies and ensuring that contracting equities are addressed.
    (2) Develop contingency contracting policy and implement other OCS 
related policies into DFARS in support of applicable contingency 
operations.
    (3) Ensure implementation by contracting officers and CORs of 
relevant laws and policies in 48 CFR Subparts 4.1301, 4.1303, 52.204-9, 
7.5, 7.503(e), 2.101, and 3.502; 48 CFR Subparts 207.503, 252.225-7040 
and 202.101; and 48 CFR PGI 225.74.
    (4) Propose legislative initiatives that support accomplishment of 
the contingency contracting mission.
    (5) Improve DoD business processes for contingency contracting while 
working in conjunction with senior procurement executives across the 
DoD. Assist other OSD Principal Staff Assistants, CJCS representatives, 
and DoD Component Heads in efforts to improve other OCS related business 
processes by ensuring contracting equities and interrelationships are 
properly addressed.
    (6) Support efforts to resource the OCS toolset under the lead of 
the Deputy Assistant Secretary of Defense for Program Support (DASD(PS)) 
pursuant to paragraph (c)(6)(ii) of this section.
    (7) Coordinate activities with other Government agencies to provide 
unity of effort. Maintain an open, user-friendly source for reports and 
lessons learned and ensure the coordinated development and publication, 
through participation on the FAR Council, of standardized contract 
clauses.
    (8) As a member of the Contracting Functional Integrated Planning 
Team, collaborate with the Defense Acquisition University to offer 
education for all contingency contracting personnel.
    (9) Participate in the OCS Functional Capability Integration Board 
(FCIB) to facilitate development of standard joint OCS concepts, 
policies, doctrine, processes, plans, programs, tools, reporting, and 
training to improve effectiveness and efficiency.
    (10) In concert with the supported Combatant Commander, coordinate 
in advance of execution Executive Agency for Head of Contracting 
Activity requisite Operational Plans (OPLANS), Concept Plans (CONPLANS), 
and operations, where a lead service or a Joint Theater Support 
Contracting Command (JTSCC) will be established.
    (c) The DASD(PS), under the authority, direction, and control of the 
USD(AT&L) through the Assistant Security of Defense for Logistics and 
Materiel Readiness (ASD(L&MR)), is responsible for oversight and 
management to enable the orchestration, integration, and synchronization 
of the preparation and execution of acquisitions for DoD contingency 
operations, and shall:
    (1) Coordinate policy relating to field operations and contingency 
contractor personnel in forward areas and the battlespace. In 
cooperation with the Joint Staff, Military Departments, and OSD, serve 
as the DoD focal point for the community of practice and the community 
of interest for efforts to improve OCS program management and oversight.
    (2) Co-chair with the Vice Director, Directorate for Logistics, 
Joint Staff, (VDJ4) the OCS FCIB to lead and coordinate OCS with OSD, 
Military Department, and Defense Agency senior procurement officers in 
accordance with the OCS FCIB Charter (see http://www.acq.osd.mil /log/
PS/fcib/ OCS--FCIB --charter-- USA000737- 09--signed.pdf).

[[Page 905]]

    (3) Ensure integration of joint OCS activities across other joint 
capability areas and joint warfighting functions.
    (4) Provide input to the Logistics Capability Portfolio Manager and 
the CJCS in the development of capability priorities; review final 
capability priorities; and provide advice to the Under Secretary of 
Defense for Policy (USD(P)) in developing the Quadrennial Defense Review 
(see http://www.defense.gov /qdr/images /QDR--as-- of--12 Feb10-- 
1000.pdf) and defense planning and programming guidance, as appropriate.
    (5) Serve as the DoD lead to:
    (i) Develop a programmatic approach for the preparation and 
execution of orchestrating, integrating, and synchronizing acquisitions 
for contingency operations.
    (ii) Establish and oversee DoD policies for OCS program management 
in the planning and execution of combat, post-combat, and other 
contingency operations involving the Military Departments, other 
Government agencies, multinational forces, and non-governmental 
organizations, as required.
    (6) Improve DoD business practices for OCS.
    (i) In consultation with the Under Secretary of Defense for 
Personnel and Readiness (USD(P&R)); the Director, DPAP; and the CJCS, 
ensure a joint web-based contract visibility and contractor personnel 
accountability system (currently SPOT) is designated and implemented, 
including business rules for its use.
    (ii) Lead the effort to resource the OCS toolset providing improved 
OCS program management, planning, OCS preparation of the battlefield, 
systems support, and theater support contracts, contractor 
accountability systems, and automated contract process capabilities, 
including reach back from remote locations to the national defense 
contract base (e.g., hardware and software).
    (7) In consultation with the Heads of the OSD and DoD Components, 
provide oversight of experimentation efforts focusing on concept 
development for OCS execution.
    (8) Serve as the DoD lead for the oversight of training and 
education of non-acquisition, non-contracting personnel identified to 
support OCS efforts.
    (d) The Director, DLA, under the authority, direction, and control 
of the USD(AT&L), through the ASD(L&MR) shall, through the Joint 
Contingency Acquisition Support Office (JCASO), provide enabler OCS 
support to CCDR OCS planning efforts and training events, and, when 
requested, advise, assist, and support JFC oversight of OCS operations. 
Specifically, the Director, JCASO, shall:
    (1) Provide OCS planning support to the CCDR through Joint OCS 
Planners embedded within the geographic Combatant Command staff. 
Maintain situational awareness of all plans with significant OCS equity 
for the purposes of exercise support and preparation for operational 
deployment. From JCASO forward involvement in exercises and operational 
deployments, develop and submit lessons learned that result in improved 
best practices and planning.
    (2) When requested, assist the Joint Staff in support of the 
Chairman's OCS responsibilities listed in paragraph (l) of this section.
    (3) Facilitate improvement in OCS planning and execution through 
capture and review of joint OCS lessons learned. In cooperation with 
USJFCOM, Military Services, other DoD Components, and interagency 
partners, collect joint operations focused OCS lessons learned and best 
practices from contingency operations and exercises to inform OCS policy 
and recommend doctrine, organization, training, materiel, leadership, 
personnel, and facilities (DOTMLPF) solutions.
    (4) Participate in joint exercises, derive OCS best practices from 
after-action reports and refine tactics/techniques/procedures, 
deployment drills, and personal and functional training (to include 
curriculum reviews and recommendations). Assist in the improvement of 
OCS related policy, doctrine, rules, tools, and processes.
    (5) Provide the geographic CCDRs, when requested, with deployable 
experts to assist the CCDR and subordinate JFCs in managing OCS 
requirements in a contingency environment.

[[Page 906]]

    (6) Practice continuous OCS-related engagement with interagency 
representatives and multinational partners, as appropriate and 
consistent with existing authorities.
    (7) Participate in the OCS FCIB to facilitate development of 
standard joint OCS concepts, policies, doctrine, processes, plans, 
programs, tools, reporting, and training to improve effectiveness and 
efficiency.
    (e) The Director, Defense Contract Management Agency (DCMA) under 
the authority, direction, and control of the USD(AT&L), through the 
Assistant Secretary of Defense for Acquisition (ASD(Acquisition)), plans 
for and performs contingency contract administration services in support 
of the CJCS and CCDRs in the planning and execution of military 
operations, consistent with DCMA's established responsibilities and 
functions.
    (f) The Under Secretary of Defense for Intelligence (USD(I)), as the 
Principal Staff Assistant for intelligence, counterintelligence, and 
security in accordance with DoD Directive 5143.01 (see http://
www.dtic.mil /whs/directives /corres/pdf /514301p.pdf), shall:
    (1) Develop, coordinate, and oversee the implementation of DoD 
security programs and guidance for those contractors covered in DoD 
Instruction 5220.22 (see http://www.dtic.mil /whs/directives /corres/
pdf/ 522022p.pdf.
    (2) Assist the USD(AT&L) in determining appropriate contract clauses 
for intelligence, counterintelligence, and security requirements.
    (3) Establish policy for contractor employees under the terms of the 
applicable contracts that support background investigations in 
compliance with 48 CFR 4.1301, 4.1303, and 52.204-9.
    (4) Coordinate security and counterintelligence policy affecting 
contract linguists with the Secretary of the Army pursuant to DoD 
Directive 5160.41E (see http://www.dtic.mil /whs/directives /corres /
pdf/ 516041p.pdf).
    (g) The Assistant Secretary of Defense for Health Affairs (ASD(HA)), 
under the authority, direction, and control of the USD(P&R), shall 
assist in the development of policy addressing the reimbursement of 
funds for qualifying medical support received by contingency contractor 
personnel in applicable contingency operations.
    (h) The Deputy Assistant Secretary of Defense for Readiness 
(DASD(Readiness)) under the authority, direction, and control of the 
USD(P&R), shall develop policy and set standards for managing contract 
linguist capabilities supporting the total force to include requirements 
for linguists and tracking linguist and role players to ensure that 
force readiness and security requirements are met.
    (i) The Director, Defense Manpower Data Center (DMDC), under the 
authority, direction, and control of the USD(P&R), through the Director, 
DoD Human Resources Activity, shall:
    (1) Serve as the central repository of information for all 
historical data on contractor personnel who have been issued common 
access cards (CAC) and are included in SPOT or its successor, that is to 
be archived.
    (2) Ensure all data elements of SPOT or its successor to be archived 
are USD(P&R)-approved and DMDC-system compatible, and ensure the 
repository is protected at a level commensurate with the sensitivity of 
the information contained therein.
    (j) The Under Secretary of Defense (Comptroller)/Chief Financial 
Officer (USD(C)/CFO), DoD, shall develop policy addressing the 
reimbursement of funds for qualifying medical support received by 
contingency contractor personnel in applicable contingency operations.
    (k) The Secretaries of the Military Departments and the Directors of 
the Defense Agencies and DoD Field Activities shall incorporate this 
part into applicable policy, doctrine, programming, training, and 
operations and ensure:
    (1) Assigned contracting activities populate SPOT with the required 
data in accordance with Assistant Secretary of Defense for Logistics and 
Materiel Readiness Publication, ``Business Rules for the Synchronized 
Predeployment and Operational Tracker (SPOT),'' current edition (see 
http://www.acq.osd.mil/log/PS/spot.html) and that information has been 
reviewed for security and operational security (OPSEC) concerns in 
accordance with paragraph (c)(3)(ii)(E) of Sec. 158.6.

[[Page 907]]

    (2) CAAF meet all theater and/or joint operational area (JOA) 
admission procedures and requirements prior to deploying to or entering 
the theater or JOA.
    (3) Contracting officers include in the contract:
    (i) Appropriate terms and conditions and clause(s) in accordance 
with 48 CFR 252.225-7040 and 48 CFR PGI 225.74.
    (ii) Specific deployment and theater admission requirements 
according to 48 CFR 252.225-7040 and 48 CFR PGI 225.74, and the 
applicable CCDR Web sites.
    (iii) Specific medical preparation requirements according to 
paragraph (c)(8) of Sec. 158.6.
    (iv) The level of protection to be provided to contingency 
contractor personnel in accordance with paragraph (d)(5) of Sec. 158.6. 
Contracting officers shall follow the procedures on the applicable CCDR 
Web sites to obtain theater-specific requirements.
    (v) Government-furnished support and equipment to be provided to 
contractor personnel with prior coordination and approval of theater 
adjudication authorities, as referenced on the applicable CCDR Web 
sites.
    (vi) A requirement for contractor personnel to show and have 
verified by the COR, proof of professional certifications/proficiencies 
as stipulated in the contract.
    (4) Standardized contract accountability financial and oversight 
processes are developed and implemented.
    (5) Requirements packages are completed to include all required 
documentation (e.g., letter of justification, performance work 
statement, nominated COR, independent Government estimate (IGE)) are 
completed and funding strategies are articulated and updated as 
required.
    (6) CORs are planned for, resourced, and sustained as necessary to 
ensure proper contract management capabilities are in place and properly 
executed.
    (7) Assigned contracting activities plan for, and ensure the 
contractor plans for, the resources necessary to implement and sustain 
contractor accountability in forward areas through SPOT or its 
successor.
    (8) Contract support integration plans (CSIPs) and contractor 
management plans (CMPs) are developed as directed by the supported CCDR.
    (9) The risk of premature loss of mission-essential OCS is assessed 
and the mitigation of the loss of contingency contractor personnel in 
wartime or contingency operations who are performing essential 
contractor services is properly planned for.
    (10) Assigned contracting activities comply with theater business 
clearance and contract administration delegation policies and processes 
when implemented by CCDRs to support any phase of a contingency 
operation.
    (11) Agency equities are integrated and conducted in concert with 
the CCDR's plans for OCS intelligence of the battlefield.
    (12) The implementation of a certification of, and a waiver process 
for, contractor-performed deployment and redeployment processing in lieu 
of a formally designated group, joint, or Military Department deployment 
center.
    (13) Support the effort to resource the OCS toolset under the lead 
of the DASD(PS) pursuant to paragraph (c)(6)(ii) of this section.
    (l) The CJCS shall:
    (1) Where appropriate, incorporate program management and elements 
of this part into joint doctrine, joint instructions and manuals, joint 
training, joint education, joint capability development, joint strategic 
planning system (e.g., Joint Operation Planning and Execution System 
(JOPES)), and CCDR oversight.
    (2) Co-chair with the VDJ4 the OCS FCIB to lead and coordinate OCS 
with OSD, Military Department, and Defense Agency senior procurement 
officers in accordance with OCS FCIB charter. Provide the OCS FCIB with 
input and awareness of the CJCS functions and activities as defined in 
10 U.S.C. 153 and 155.
    (3) Perform OCS related missions and functions as outlined in the 
Joint Staff Manual 5100.01 \1\ and the Chairman's authorities as defined 
in 10 U.S.C. (see

[[Page 908]]

http://uscode.house.gov /download/ title--10.shtml).
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    \1\ This document is classified Restricted, and is available via 
Secure Internet Protocol Router Network at http://js.smil.mil. If the 
requester is not an authorized user of the classified network the 
requestor should contact Joint Staff J-1 at (703) 697-9645.
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    (m) The geographic CCDRs and the CDRUSSOCOM (when they are the 
supported commander) shall:
    (1) Plan and execute OCS program management, contract support 
integration, and contractor management actions in all applicable 
contingency operations in their AOR.
    (2) Conduct integrated planning to determine and synchronize 
contract support requirements to facilitate OCS planning and contracting 
and contractor management oversight.
    (3) In coordination with the Services and functional components, 
identify military capabilities shortfalls in all the joint warfighting 
functions that require contracted solutions. Ensure these requirements 
are captured in the appropriate CCDR, subordinate JFC, Service component 
and combat support agency CSIP or other appropriate section of the 
CONPLAN with time-phased force and deployment data (TPFDD), OPLAN or 
operation order (OPORD).
    (4) Require Service component commanders and supporting Defense 
Agencies and DoD Field Activities to:
    (i) Identify and incorporate contract support and operational 
acquisition requirements in supporting plans to OPLANs and CONPLANs with 
TPFDD, and to synchronize their supporting CSIPs, CMPs, and contracted 
requirements and execution plans within geographic CCDR OPLANs and 
CONPLANs with TPFDD.
    (ii) Review their supporting CSIPs and CMPs and identify funding 
strategies for particular contracted capabilities identified to support 
each OPLAN and CONPLAN.
    (iii) Develop acquisition-ready requirements documents as identified 
in CSIPs including performance work statements, IGEs, task order change 
documents, and sole source justifications.
    (iv) Ensure CAAF and their equipment are incorporated into TPFDD 
development and deployment execution processes in accordance with CJCS 
Manual 3122.02C, JOPES Volume III, ``Crisis Action Time-Phased Force and 
Deployment Data Development and Deployment Execution,'' June 19, 2006.
    (v) Ensure financial management policies and procedures are in place 
in accordance with DoD 7000.14-R (see http://comptroller.defense.gov/
fmr/) and applicable service specific financial management 
implementation guidance.
    (5) Develop and publish comprehensive OCS plans. Synchronize OCS 
requirements among all Service components and Defense Agencies and DoD 
Field Activities operating within or in support of their area of 
responsibility (AOR). Optimize operational unity of effort by analyzing 
existing and projected theater support and external support contracts to 
minimize, reduce, and eliminate redundant and overlapping requirements 
and contracted capabilities.
    (6) Ensure OCS requirements for the Defense Agencies, multinational 
partners, and other Governmental agencies are addressed and priorities 
of effort for resources are deconflicted and synchronized with OCS to 
military forces.
    (7) Ensure policies and procedures are in place for reimbursing 
Government-furnished support of contingency contractor personnel, 
including (but not limited to) subsistence, military air, intra-theater 
lift, and medical treatment, when applicable.
    (8) Ensure CAAF and equipment requirements (regardless if provided 
by the Government or the contractor) in support of an operation are 
incorporated into plan TPFDDs.
    (9) Review Service component assessments of the risk of premature 
loss of essential contractor services and review contingency plans to 
mitigate potential premature loss of essential contractor services.
    (10) Establish and communicate to contracting officers theater and/
or JOA CAAF admission procedures and requirements, including country and 
theater clearance, waiver authority, immunizations, required training or 
equipment, and any restrictions necessary to ensure proper deployment, 
visibility, security, accountability, and redeployment of CAAF to their 
AORs and/or JOAs. Implement DoD Foreign Clearance Guide, current edition 
(available at https://www.fcg.pentagon.mil/).

[[Page 909]]

    (11) Coordinate with the Office of the USD(P) to ensure special 
area, country, and theater personnel clearance requirements are current 
in accordance with DoD Foreign Clearance Guide, and coordinate with 
affected agencies (e.g., Intelligence Community agencies) to ensure that 
entry requirements do not impact mission accomplishment.
    (12) Determine and distribute specific theater OCS organizational 
guidance in plans, to include command, control, and coordination, and 
Head Contracting Authority (HCA) relationships.
    (13) Develop and distribute AOR/JOA-wide contractor management 
requirements, directives, and procedures into a separate contractor 
management plan as an annex or the appropriate section of the 
appropriate plan.
    (14) Establish, staff, and execute appropriate OCS-related boards, 
centers, and working groups.
    (15) Integrate OCS into mission rehearsals and training exercises.
    (16) When contracts are being or will be executed in an AOR/JOA, 
designate and identify the organization responsible for managing and 
prescribing processes to:
    (i) Establish procedures and assign authorities for adjudicating 
requests for provision of Government-furnished equipment and services to 
contractors when such support is operationally required. This should 
include procedures for communicating approval to the requiring activity 
and the contracting officer for incorporation into contracts.
    (ii) Authorize trained and qualified contractor personnel to carry 
weapons for personal protection not related to the performance of 
contract-specific duties.
    (iii) Establish procedures for, including coordination of, inter-
theater strategic movements and intra-theater operational and tactical 
movements of contractor personnel and equipment.
    (iv) Collect information on and refer to the appropriate Government 
agency offenses, arrests, and incidents of alleged misconduct committed 
by contractor personnel on or off-duty.
    (v) Collect and maintain information relating to CAAF and selected 
non-CAAF kidnappings, injuries, and deaths.
    (vi) Identify the minimum standards for conducting and processing 
background checks, and for issuing access badges to HN, LN, and TCN 
personnel employed, directly or indirectly, through Government-awarded 
contracts.
    (vii) Remove CAAF from the designated operational area who do not 
meet medical deployment standards, whose contract period of performance 
has expired, or who are noncompliant with contract requirements.
    (viii) Designate additional contractor personnel not otherwise 
covered by personnel recovery policy for personnel recovery support in 
accordance with DoD Directive 3002.01E.
    (ix) Ensure that contract oversight plans are developed, and that 
adequate personnel to assist in contract administration are identified 
and requested, in either a separate contractor management plan as an 
annex of plans and orders and/or within appropriate parts of plans and 
orders.
    (x) Develop a security plan for the protection of contingency 
contractor personnel according to paragraph (d)(5) of Sec. 156.8.
    (xi) Develop and implement theater business clearance and, if 
required, Contract Administration Delegation policies and procedures to 
ensure visibility of and a level of control over systems support and 
external support contracts providing or delivering contracted support in 
contingency operations.
    (17) Enforce the individual arming policy and use of private 
security contractors in accordance with 32 CFR part 159 and DoD 
Directive 5210.56 (see http://www.dtic.mil /whs/directives /corres/pdf/ 
521056p.pdf).
    (18) Establish a process for reviewing exceptions to medical 
standards (waivers) for the conditions in paragraph (j) of Sec. 158.7, 
including a mechanism to track and archive all approved and denied 
waivers and the medical conditions requiring waiver. Additionally, serve 
as the final approval/disapproval authority for all exceptions to this 
policy, except in special operations where the Theater Special 
Operations Command (TSOC) commander has the final approval or 
disapproval authority.

[[Page 910]]

    (19) Establish mechanisms for ensuring contractors are required to 
report offenses alleged to have been committed by or against contractor 
personnel to appropriate investigative authorities.
    (20) Assign responsibility for providing victim and witness 
protection and assistance to contractor personnel in connection with 
alleged offenses.
    (21) Ensure applicable predeployment, deployment, in-theater 
management, and redeployment guidance and procedures are readily 
available and accessible by planners, requiring activities, contracting 
officers, contractors, contractor personnel and other interested parties 
on a Web page, and related considerations and requirements are 
integrated into contracts through contract terms, consistent with 
security considerations and requirements.
    (22) Ensure OCS preparation of the battlefield is vetted with 
intelligence agencies when appropriate.
    (23) Integrate OCS planning with operational planning across all 
primary and special staff sections.
    (n) The functional CCDRs utilizing OCS shall ensure their Commands 
follow the procedures in this part and applicable operational-specific 
guidance provided by the supported geographic CCDR.



Sec. 158.6  Procedures.

    (a) Requirements, Relationships, and Restrictions. In implementing 
this part, the Heads of DoD Components shall abide by applicable laws, 
regulations, DoD policy, and international agreements as they relate to 
contractor personnel supporting applicable contingency operations.
    (1) Status of Contractor Personnel.
    (i) Pursuant to applicable law, contracted services may be utilized 
in applicable contingency operations for all functions not inherently 
governmental. Contractor personnel may be utilized in support of such 
operations in a non-combat role as long as contractor personnel residing 
with the force in foreign contingencies have been designated as CAAF by 
the force they accompany and are provided with an appropriate 
identification card pursuant to the Geneva Convention Relative to the 
Treatment of Prisoners of War (see http://www.icrc.org/ihl.nsf/FULL/
375). If captured during international armed conflict, contractors with 
CAAF status are entitled to prisoner of war status. Some contractor 
personnel may be covered by the Geneva Convention Relative to the 
Protection of Civilian Persons in Time of War (see http://www.icrc.org /
ihl.nsf /385ec 082b509e76c 4125673 9003e636d /67564 82d861 46898c1 
25641e0 04aa3c5) should they be captured during armed conflict. All 
contractor personnel may be at risk of injury or death incidental to 
enemy actions while supporting military operations. CAAF status does not 
apply to contractor personnel supporting domestic contingencies.
    (ii) Contractor personnel may support applicable contingency 
operations such as by providing communications support; transporting 
munitions and other supplies; performing maintenance functions for 
military equipment; providing private security services; providing 
foreign language interpretation and translation services, and providing 
logistic services such as billeting and messing. Each service to be 
performed by contractor personnel in applicable contingency operations 
shall be reviewed on a case-by-case basis in consultation with the 
cognizant manpower official and servicing legal office to ensure 
compliance with DoD Instruction 1100.22 and relevant laws and 
international agreements.
    (2) Local and Third-Country Laws. Subject to the application of 
international agreements, all contingency contractor personnel must 
comply with applicable local and third country laws. Contractor 
personnel may be hired from U.S., LN, or third country sources and their 
status may change (e.g., from non-CAAF to CAAF), depending on where they 
are detailed to work by their employer or on the provisions of the 
contract. The CCDRs, as well as subordinate commanders and Service 
component commanders, and the Directors of the Defense Agencies and DoD 
Field Activities should be cognizant of limiting factors regarding the 
employment of LN and TCN personnel. Limiting factors may include 
imported labor worker permits; workforce and hour restrictions; medical, 
life, and

[[Page 911]]

disability insurance coverage; taxes, customs, and duties; cost of 
living allowances; hardship differentials; access to classified 
information; and hazardous duty pay.
    (3) U.S. Laws. CAAF, with some exceptions, are subject to U.S. laws 
and Government regulations. For example, all U.S. citizen and TCN CAAF 
may be subject to prosecution pursuant to Federal law including, but not 
limited to, 18 U.S.C. 3261 (also known and hereinafter referred to as 
``The Military Extraterritorial Jurisdiction Act of 2000 (MEJA), as 
amended''). MEJA extends U.S. Federal criminal jurisdiction to certain 
defense contractor personnel for offenses committed outside U.S. 
territory. Additionally, CAAF are subject to prosecution pursuant to 10 
U.S.C. chapter 47 (also known and hereinafter referred to as ``The 
Uniform Code of Military Justice (UCMJ)'') in accordance with Secretary 
of Defense Memorandum (``UCMJ Jurisdiction Over DoD Civilian Employees, 
DoD Contractor Personnel, and Other Persons Serving With or Accompanying 
the Armed Forces Overseas During Declared War and in Contingency 
Operations,'' March 10, 2008). Other laws may allow prosecution of 
offenses by contactor personnel, such as 18 U.S.C. 7(9). Immediate 
consultation with the servicing legal office and the contracting officer 
is required in all cases of suspected MEJA and/or UCMJ application to 
conduct by CAAF personnel, especially in non-combat operations or in 
undeclared contingencies.
    (4) Contractual Relationships. The contract is the only legal basis 
for the relationship between the DoD and the contractor. The contract 
shall specify the terms and conditions, to include minimum acceptable 
professional standards, under which the contractor is to perform, the 
method by which the contractor will be notified of the deployment 
procedures to process contractor personnel, and the specific support 
relationship between the contractor and the DoD. The contract shall 
contain standardized clauses to ensure efficient deployment, 
accountability, visibility, protection, authorized levels of health 
service, and other support, sustainment, and redeployment of contractor 
personnel. It shall also specify the appropriate flow-down of provisions 
and clauses to subcontracts, and shall state that the service performed 
by contractor personnel is not considered to be active duty or active 
service in accordance with DoD Directive 1000.20 (see http://
www.dtic.mil /whs/directives /corres/pdf /100020p.pdf) and 38 U.S.C. 
106.
    (5) Restrictions on Contracting Inherently Governmental Functions. 
Inherently governmental functions and duties are barred from private 
sector performance in accordance with DoD Instruction 1100.22, 48 CFR 
207.503, 48 CFR 7.5, Public Law (Pub. L.) 105-270, and Office of 
Management and Budget Circular A-76 (see http://www.whitehouse.gov /omb/
circulars-- a076--a76-- incl--tech-- correction). As required by 48 CFR 
7.503(e), 48 CFR 207.503, and Deputy Secretary of Defense Memorandum, 
``In-sourcing Contracted Services--Implementation Guidance'' dated May 
28, 2009, contracting officials shall request requiring officials to 
certify in writing that functions to be contracted (or to continue to be 
contracted) are not inherently governmental. Requiring officials shall 
determine whether functions are inherently governmental based on the 
guidance in DoD Instruction 1100.22.
    (6) Restrictions on Contracting Functions Exempted From Private 
Sector Performance. As required by 48 CFR 207.503 and Deputy Secretary 
of Defense Memorandum, ``In-sourcing Contracted Services--Implementation 
Guidance,'' May 28, 2009, contracting officials shall request requiring 
officials to certify in writing that functions to be contracted (or 
continue to be contracted) are not exempted from private sector 
performance. Requiring officials shall determine whether functions are 
exempted from private sector performance based on the guidance in DoD 
Instruction 1100.22.
    (7) Requirements for Contracting Commercial Functions. As required 
by 10 U.S.C. 2463 and Deputy Secretary of Defense Memorandum, ``In-
sourcing Contracted Services--Implementation Guidance,'' in advance of 
contracting for commercial functions or continuing to contract for 
commercial functions, requiring officials shall consider using DoD 
civilian employees to perform the

[[Page 912]]

work. Requiring officials shall determine whether DoD civilian employees 
should be used to perform the work based on the guidance in Deputy 
Secretary of Defense Memorandum, ``In-sourcing Contracted Services--
Implementation Guidance'' and Deputy Secretary of Defense Memorandum 
``Implementation of Section 324 of the National Defense Authorization 
Act for Fiscal Year 2008 (FY 2008 NDAA)--Guidelines and Procedures on 
In-Sourcing New and Contracted Out Functions,'' April, 4, 2008.
    (8) International Laws, Local Laws, and Host Nation (HN) Support 
Agreements. Planners and requiring activities, in coordination with 
contracting officers shall take international laws, local laws, and HN 
support agreements into account when planning for contracted support, 
through assistance and coordination of the staff judge advocates (SJAs) 
office of the geographic CCDRs; the Commander, United States Special 
Operations Command (CDRUSSOCOM); the Commander, United States 
Transportation Command (CDRUSTRANSCOM); and the Service component 
commander SJA offices. These laws and support agreements may affect 
contracting by restricting the services to be contracted, limiting 
contracted services to LN or HN contractor sources or, in some cases, by 
prohibiting contractor use altogether.
    (9) Status-of-Forces Agreements (SOFAs). Planners and requiring 
activities, in coordination with contracting officers shall review 
applicable SOFAs and related agreements to determine their affect on the 
status and use of contractors in support of applicable contingency 
operations, with the assistance and coordination of the geographic CCDR 
SJA offices.
    (b) OCS Planning. Combatant and subordinate JFCs determine whether 
contracted support capabilities are appropriate in support of a 
contingency. When contractor personnel and equipment are anticipated to 
support military operations, military planners will develop 
orchestrated, synchronized, detailed, and fully developed CSIPs and CMPs 
as components CONPLANs and OPLANs, in accordance with appropriate 
strategic planning guidance. CONPLANS without TPFDD and OPORDs shall 
contain CSIP- and CMP-like guidance to the extent necessary as 
determined by the CCDR. OCS planning will, at a minimum, consider HN 
support agreements, acquisition cross-servicing agreements, and Military 
logistics support agreements.
    (1) CSIPs. All CCDR CONPLANs with TPFDD and OPLANs shall include a 
separate CSIP (i.e., Annex W) in accordance with Chairman of the Joint 
Chiefs of Staff Manual 3122.02C and Joint Publication 4-0, ``Joint 
Logistics,'' July 18, 2008. Further, plans and orders should contain 
additional contract support guidance, as appropriate, in applicable 
annexes and appendixes within the respective plans (e.g., contracted 
bulk fuel support guidance should be addressed in the Class III(B) 
Appendix to the Logistic Annex). Service component commanders shall 
provide supporting CSIPs as directed by the CCDR.
    (2) CMPs. All CCDR CONPLANs with TPFDD and OPLANs shall include a 
separate CMP and/or requisite contractor management requirements 
document in the applicable appendix or annex of these plans (e.g., 
private security contractor rules for the use of force should be 
addressed in the Rules of Engagement Appendix to the Concept of the 
Operation Annex) in accordance with Chairman of the Joint Chiefs of 
Staff Manual 3122.02C and Joint Publication 4-0, ``Joint Logistics,'' 
July 18, 2008. Service component commanders shall provide supporting 
CMPs as directed by the CCDR.
    (3) Continuation of Essential Contractor Services. To ensure that 
critical capabilities are maintained, it is necessary to assess the risk 
of premature loss of mission-essential contracted support. Supported and 
supporting commanders shall plan for the mitigation from the risk of 
premature loss of contingency contractor personnel who are performing 
essential contractor services. Planning for continuation of essential 
contractor services during applicable contingency operations includes:
    (i) Determining all services provided overseas by defense 
contractors that must continue during an applicable contingency 
operation. Contracts shall obligate defense contractors to ensure

[[Page 913]]

the continuity of essential contractor services during such operations.
    (ii) Developing mitigation plans for those tasks identified as 
essential contractor services to provide reasonable assurance of 
continuation during crisis conditions. These mitigation plans should be 
developed as part of the normal CSIP development process.
    (iii) Ensuring the Secretaries of the Military Departments and the 
geographic CCDRs plan for the mitigation from the risk of premature loss 
of contingency contractor personnel who are performing essential 
contractor services. When the cognizant DoD Component Commander or 
geographic CCDR has a reasonable doubt about the continuation of 
essential services by the incumbent contractor during applicable 
contingency operations, the commander shall prepare a mitigation plan 
for obtaining the essential services from alternative sources (military, 
DoD civilian, HN, or other contractor(s)). This planning requirement 
also applies when the commander has concerns that the contractor cannot 
or will no longer fulfill the terms of the contract:
    (A) Because the threat level, duration of hostilities, or other 
factors specified in the contract have changed significantly;
    (B) Because U.S., international, or local laws; HN support 
agreements; or SOFAs have changed in a manner that affect contract 
arrangements; or
    (C) Due to political or cultural reasons.
    (iv) Encouraging contingency contractor personnel performing 
essential contractor services overseas to remain in the respective 
operations area.
    (4) Requirements for Publication. CCDRs shall make OCS planning 
factors, management policies, and specific contract support requirements 
available to affected contingency contractor personnel. To implement the 
OCS-related requirements of DoD Directive 1100.4 (see http://
www.dtic.mil/whs/directives/corres/pdf/110004p.pdf), DoD Instruction 
1100.19 (see http://www.dtic.mil/whs/directives/corres/pdf/110019p.pdf), 
DoD Directive 5205.02 (see http://www.dtic.mil/whs/directives/corres/
pdf/520502p.pdf), the mandated CCDR Web site at http://www.acq.osd.mil/
dpap/pacc/cc/areas--of--responsibility.html shall include the 
information in paragraphs (b)(4)(i) through (b)(4)(ix) of this section 
(the data owner must review this information for security classification 
and OPSEC considerations prior to its posting).
    (i) Theater Business Clearance and Contract Administration 
Delegation requirements for external support and systems support 
contracts executing or delivering contracted support in the CCDR's AOR 
(implemented at the CCDR's discretion).
    (ii) Restrictions imposed by applicable international and local 
laws, SOFAs, and HN support agreements.
    (iii) CAAF-related deployment requirements and theater reception.
    (iv) Reporting requirements for accountability of contractor 
personnel and visibility of contracts.
    (v) OPSEC plans and restrictions.
    (vi) Force protection policies.
    (vii) Personnel recovery procedures.
    (viii) Availability of medical and other Government-furnished 
support.
    (ix) Redeployment procedures.
    (5) Implementing OCS Plan Decisions Into Contracts.
    (i) Specific contract-related considerations and requirements set 
forth in Annex Ws of CONPLANs with TPFDD and OPLANs shall be reflected 
and addressed in CCDR policies (e.g., Theater Business Clearance/
Contract Administration Delegation) and orders that apply to contractors 
and their personnel, maintained on CCDR OCS Web pages and integrated 
into contracts performing or delivering in a CCDR area of 
responsibility. When such CCDR policies potentially affect contracts 
other than those originated in the CCDR AOR, the CCDR should consult the 
contingency contracting section of the Office of the Director, DPAP, for 
advice on how best to implement these policies. All contracted services 
in support of contingency operations shall be included and accounted for 
in accordance with 10 U.S.C. 235 and 2330a. This accounting shall be 
completed by the operational CCDR requiring the service.
    (ii) When making logistics sustainability recommendations, the DoD 
Components and acquisition managers shall consider the requirements of 
DoD

[[Page 914]]

Instruction 5000.02 (see http://www.dtic.mil/whs/directives/corres/pdf/
500002p.pdf) and paragraph (a)(5) of this section. Early in the 
contingency or crisis action planning process, they shall coordinate 
with the affected supported and supporting commands any anticipated 
requirements for contractor logistics support arrangements that may 
affect existing CONPLANs, OPLANs, and OPORDs. As part of the supporting 
plans, supporting organizations (Service components, defense agencies, 
others) must provide adequate data (e.g., estimates of the numbers of 
contractors and contracts and the types of supplies or services that 
will be required to support their responsibilities within the OPLAN) to 
the supported command planners to ensure the supported commander has 
full knowledge of the magnitude of contracted support required for the 
applicable contingency operation.
    (6) TPFDD Development. Deployment data for CAAF and their equipment 
supporting the Military Services must be incorporated into TPFDD 
development and deployment execution processes in accordance with 
Chairman of the Joint Chiefs of Staff Manual 3122.02C (see https://
ca.dtic.mil/cjcs--directives/cjcs/manuals.htm). The requirement to 
provide deployment data shall be incorporated into known system support 
and external support contracts and shall apply regardless of whether 
defense contractors will provide or arrange their own transportation.
    (c) Deployment and Theater Admission Requirements and Procedures. 
The considerations in this section are applicable during CAAF deployment 
processing.
    (1) General. (i) The CCDR or subordinate JFC shall provide specific 
deployment and theater admission requirements to the DoD Components for 
each applicable contingency operation. These requirements must be 
delineated in supporting contracts as explained in 48 CFR PGI 225.74. At 
a minimum, contracting officers shall ensure that contracts address 
operational area-specific contract requirements and the means by which 
the Government will inform contractors of the requirements and 
procedures applicable to a deployment.
    (ii) A formally designated group, joint, or Military Department 
deployment center (e.g., replacement center, Federal deployment center, 
unit deployment site) shall be used to conduct deployment and 
redeployment processing for CAAF, unless contractor-performed theater 
admission preparation is authorized according to paragraph (c)(5), or 
waived pursuant to paragraph (c)(15), of this section. However, a 
Government-authorized process that incorporates all the functions of a 
deployment center may be used if designated in the contract.
    (2) Country Entry Requirements. Special area, country, and theater 
personnel clearance documents must be current in accordance with the DoD 
Foreign Clearance Guide (available at https://www.fcg.pentagon.mil/) and 
coordinated with affected agencies (e.g., Intelligence Community 
agencies) to ensure that entry requirements do not impact accomplishment 
of mission requirements. CAAF employed in support of a DoD mission are 
considered DoD-sponsored personnel for DoD Foreign Clearance Guide 
purposes. Contracting officers shall ensure contracts include a 
requirement that CAAF must meet theater personnel clearance requirements 
and must obtain personnel clearances prior to entering applicable 
contingency operations. Contracts shall require CAAF to obtain proper 
identification credentials (e.g., passport, visa) as required by the 
terms and conditions of the contract.
    (3) Accountability and Visibility of Contingency Contracts and 
Contractor Personnel.
    (i) DoD contracts and contractors supporting an applicable 
contingency operation shall be accountable and visible in accordance 
with this part, 48 CFR PGI 225.74, and section 862 of Public Law 110-181 
(``National Defense Authorization Act for Fiscal Year 2008,'' January 
28, 2008). Additionally, contract linguist utilization will be tracked 
using the Contract Linguist Enterprise-wide Database in accordance with 
DoD Directive 5160.41E. OCS requirements and contractor accountability 
and visibility must be preplanned and integrated into plans and OPORDs 
in accordance with Joint Publication 4-10 and Chairman of the

[[Page 915]]

Joint Chiefs of Staff Manual 3122.02C and U.S. citizen, U.S. legal alien 
contractor, LN, and TCN information provided in accordance with CJCS 
Manual 3150.13C (see http://www.dtic.mil/cjcs--directives/cdata/unlimit/
m315013.pdf).
    (ii) As stated in the Deputy Under Secretary of Defense (Logistics 
and Materiel Readiness) and Deputy Under Secretary of Defense (Program 
Integration) Memorandum, ``Designation of Synchronized Predeployment and 
Operational Tracker (SPOT) as Central Repository for Information on 
Contractors Deploying with the Force,'' January 25, 2007 (see http://
www2.centcom.mil /sites/contracts/ Synchronized%20 Predeployment 
%20and%20O perational %20Tracker/01- SPOT%20DFARS %20Deviation %202007- 
00004,%2019 %20MAR% 2007.pdf), SPOT was designated as the joint web-
based database to assist the CCDRs in maintaining awareness of the 
nature, extent, and potential risks and capabilities associated with OCS 
for contingency operations, humanitarian assistance and peacekeeping 
operations, or military exercises designated by the CCDR. To facilitate 
integration of contingency contractors and other personnel as directed 
by the USD(AT&L) or the CCDR, and to ensure accountability, visibility, 
force protection, medical support, personnel recovery, and other related 
support can be accurately forecasted and provided, these procedures 
shall apply for establishing, maintaining, and validating the database:
    (A) SPOT or its successor shall:
    (1) Serve as the central repository for up-to-date status and 
reporting on contingency contractor personnel as directed by the 
USD(AT&L), 48 CFR 252.225-7040 and 48 CFR PGI 225.74, or the CCDR, as 
well as other Government agency contractor personnel as applicable.
    (2) Track contract information for all DoD contracts supporting 
applicable contingency operations, as directed by the USD(AT&L), 48 CFR 
PGI 225.74 and Chairman of the Joint Chiefs of Staff Manual 3150.13C, or 
the CCDR. SPOT data elements are intended to provide planners and CCDRs 
an awareness of the nature, extent, and potential risks and capabilities 
associated with contracted support.
    (3) Provide personnel accountability via unique identifier (e.g., 
Electronic Data Interchange Personnel Identifier (EDI-PI)) of DoD 
contingency contractor personnel and other personnel as directed by the 
USD(AT&L), 48 CFR PGI 225.74, Chairman of the Joint Chiefs of Staff 
Manual 3150.13C, or the CCDR.
    (4) Contain, or link to, minimum contract information (e.g., 
contract number, contract category, period of performance, contracting 
agency and contracting office) necessary to establish and maintain 
accountability and visibility of the personnel in paragraph 
(c)(3)(ii)(A)1. of this section, to maintain information on specific 
equipment related to private security contracts, and the contract 
capabilities in contingency operations, humanitarian assistance, and 
peacekeeping operations, or military exercises designated by the CCDR.
    (5) Comply with the personnel identity protection program 
requirements of DoD Directive 5205.02, DoD 5400.11-R (see http://
www.dtic.mil/whs/directives/corres/pdf/540011r.pdf), and DoD 6025.18-R 
(see http://www.dtic.mil/whs/directives/corres/pdf/602518r.pdf); be 
consistent with the DoD Global Information Grid enterprise architecture 
in DoD Directive 8000.01 (see http://www.dtic.mil/whs/directives/corres/
pdf/800001p.pdf); and be compliant with DoD Directive 8320.02 (see 
http://www.dtic.mil/whs/directives/corres/pdf/832002p.pdf), DoD 
Directive 4630.05 (see http://www.dtic.mil/whs/directives/corres/pdf/
463005p.pdf), and DoD Directive 8500.01E (see http://www.dtic.mil/whs/
directives/corres/pdf/850001p.pdf).
    (B) All required data must be entered into SPOT or its successor 
before a contractor employee is permitted to deploy to or enter a 
military theater of operations. Contracting officers, through the terms 
of the contracts, shall require contractors to enter data before an 
employee's deployment and to maintain and update the information for all 
CAAF, as well as non-CAAF as directed by the USD(AT&L), 48 CFR PGI 
225.74, or the CCDR. The contract shall require the contractor to use 
SPOT or its successor, to enter and maintain data on its employees.

[[Page 916]]

    (C) A summary of all DoD contract services or capabilities for all 
contracts that are awarded to support contingency, humanitarian 
assistance, and peacekeeping operations, to include theater, external, 
and systems support contracts, shall be entered into SPOT or its 
successor in accordance with 48 CFR 252.225-7040 and 48 CFR PGI 225.74.
    (D) In accordance with applicable acquisition policy and 
regulations, all defense contractors awarded contracts that support 
applicable contingency operations shall be required, under the terms and 
conditions of each affected contract, to input employee data and 
maintain by-name accountability of designated contractor personnel in 
SPOT or its successor as required by 48 CFR 252.225-7040 and 48 CFR PGI 
225.74. Contractors shall be required under the terms and conditions of 
their contracts to maintain policies and procedures for knowing the 
general location of their employees and to follow the procedures 
provided to them to submit up-to-date, real-time information reflecting 
all personnel deployed or to be deployed in support of contingency, 
humanitarian assistance, and peacekeeping operations. Prime contractors 
shall be required under the terms and conditions of their contract to 
follow the procedure provided to them to submit into SPOT or its 
successor, up-to-date, real-time information regarding their 
subcontractors at all tiers.
    (E) In all cases, classified information responsive to the 
requirements of this part shall be reported and maintained on systems 
approved for the level of classification of the information provided.
    (4) LOA. A SPOT-generated LOA shall be issued by the contracting 
officer or designee to all CAAF as required by the clause in 48 CFR 
subpart 252.225-7040 and selected non-CAAF (e.g., LN private security 
contractors) as required under 48 CFR PGI 225.74 or otherwise designated 
by the CCDR. The contract shall require that all contingency contractor 
personnel who are issued an LOA will carry the LOA with them at all 
times. For systems authorized in accordance with paragraph (c)(3)(ii)(B) 
of this section, DoD Components shall coordinate with the SPOT program 
manager to obtain an LOA handled within appropriate security guidelines.
    (5) Deployment Center Procedures.
    (i) Affected contracts shall require that all CAAF process through a 
designated deployment center or a Government-authorized, contractor-
performed deployment processing facility prior to deploying to an 
applicable contingency operation. Upon receiving the contracted 
company's certification that employees meet deployability requirements, 
the contracting officer or his/her representative will digitally sign 
the LOA. The LOA will be presented to officials at the deployment 
center. The deployment process shall be for, but not limited to:
    (A) Verifying accountability information in SPOT or its successor.
    (B) Issuing applicable Government-furnished equipment.
    (C) Verifying medical and dental screening, including required 
military-specific vaccinations and immunizations (e.g., anthrax, 
smallpox).
    (D) Verifying and, when necessary, providing required training 
(e.g., Geneva Conventions; law of armed conflict; general orders; 
standards of conduct; force protection; personnel recovery; first aid; 
operations security; anti-terrorism; counterintelligence reporting; the 
use of chemical, biological, radiological, nuclear (CBRN) protective 
ensemble), country and cultural awareness briefings, and other training 
and briefings as appropriate.
    (ii) Affected contingency contracts shall require that, prior to 
deployment, contractors certify to the Government authorizing 
representative named in the contract that all required deployment 
processing actions have been completed for each individual.
    (6) CAAF Identification, Training, and Security Clearance 
Requirements. Contracts shall require eligible CAAF to be issued an 
identification card with the Geneva Conventions Accompanying the Force 
designation in accordance with DoD Instruction 1000.13 (see http://
www.dtic.mil/whs/directives/corres/pdf/100013p.pdf) and DTM 08-003 (see 
http://www.dtic.mil/whs/directives/corres/pdf/DTM-08-003.pdf). CAAF 
shall be required to present their SPOT generated LOA as proof of 
eligibility at the time

[[Page 917]]

of ID card issuance. All CAAF shall receive training regarding their 
status under the law of war and the Geneva Convention. In addition and 
to the extent necessary, the contract shall require the defense 
contractor to provide personnel who have the appropriate security 
clearance or are able to satisfy the appropriate background 
investigation to obtain access required for the applicable contingency 
operation.
    (7) Government Support. Generally, contingency contracts shall 
require that contractors provide all life, mission, and administrative 
support to their employees necessary to perform the contract in 
accordance with DoD Instruction 4161.02 (see http://www.dtic.mil/whs/
directives/corres/pdf/416102p.pdf) and CCDR guidance as posted on the 
CCDR OCS Web site. As part of preparing an acquisition requirement, the 
requiring activity will include an estimate of the Government support 
that is required to be provided to CAAF and selected non-CAAF in 
accordance with 48 CFR 4.1301, 4.1303, 52.204-9, 7.5, 7.503(e), 2.101, 
and 3.502 and 48 CFR PGI 225.74. The requiring activity will confirm 
with theater adjudication authorities that the Government has the 
capacity, capability, and willingness to provide the support. However, 
in many contingency operations, especially those in which conditions are 
austere, uncertain, and/or non-permissive, the contracting officer may 
decide it is in the interest of the Government to allow for selected 
life, mission, medical, and administrative support to some contingency 
contractor personnel. Prior to awarding the contract, the contracting 
officer will request the requiring activity to verify that proper 
arrangements for Government support at the deployment center and within 
the designated operational area have been made. The contract shall 
specify the level of Government-furnished support to be provided to CAAF 
and selected non-CAAF and what support is reimbursable to the 
Government. The requiring activity will ensure that approved GFS is 
available.
    (8) Medical Preparation.
    (i) In accordance with Sec. 158.7 of this part, contracts shall 
require that contractors provide medically and physically qualified 
contingency contractor personnel to perform duties in applicable 
contingency operations as outlined in the contract. Any CAAF deemed 
unsuitable to deploy during the deployment process due to medical or 
dental reasons will not be authorized to deploy. The Secretary of 
Defense may direct immunizations as mandatory for CAAF performing DoD-
essential contractor services in accordance with Joint Publication 4-0, 
``Joint Logistics'', and Chairman of the Joint Chiefs of Staff Manual 
3150.13C. For CAAF who are U.S. citizens, contracts shall require 
contractors to make available the medical and dental records (including 
current panographic x-ray) of the deploying employees who grant release 
authorization for this purpose, according to contract terms based on 
this section, DoD Directive 6485.02E (see http://www.dtic.mil/whs/
directives/corres/pdf/648502p.pdf), applicable joint force command 
surgeon guidance, and relevant Military Department policy.
    (ii) Government personnel cannot force a contractor employee to 
receive an immunization or disclose private medical records against his 
or her will; therefore, particularly for medical requirements that arise 
after contract award, the contracting officer will allow contractors 
time to notify and/or hire employees who are willing to meet Government 
medical requirements and disclose their private information.
    (iii) Medical threat pre-deployment briefings will be provided to 
all CAAF to communicate health risks and countermeasures in the 
designated operational area in accordance with DoD Instruction 6490.03 
(see http://www.dtic.mil/whs/directives/corres/pdf/649003p.pdf). Health 
readiness, force health protection capability, either as a 
responsibility of the contractor or the DoD Components, will be fully 
delineated in plans, orders, and contracts to ensure appropriate medical 
staffing in the operational area. Health surveillance activities shall 
also include plans for contingency contractor personnel who are 
providing essential contractor services (as detailed in DoD Directive 
6490.02E (see http://www.dtic.mil/whs/directives/corres/pdf/
649002Ep.pdf)). Deoxyribonucleic acid (DNA) collection

[[Page 918]]

and other medical requirements are further addressed in Sec. 158.7 of 
this part.
    (9) Individual Protective Equipment (IPE). When necessary and 
directed by CCDR, the contracting officer will include language in the 
contract authorizing CAAF and selected non-CAAF, as designated by the 
CCDR, to be issued military IPE (e.g., CBRN protective ensemble, body 
armor, ballistic helmet) in accordance with DoD Directive 1100.4. This 
equipment shall typically be issued at the deployment center, before 
deployment to the designated operational area, and must be accounted for 
and returned to the Government or otherwise accounted for in accordance 
with appropriate DoD Component standing regulations (including DoD 
Instruction 4161.2 (see http://www.dtic.mil/whs/directives/corres/pdf/
416102p.pdf), directives, instructions, and supplementing publications). 
It is important to plan and resource IPE as required by the geographic 
CCDR or subordinate JFC, and the terms of the contract. Training on the 
proper care, fitting, and maintenance of issued protective equipment 
will be provided as part of contractor deployment training. This 
training will include practical exercises within the context of the 
various mission-oriented protective posture levels. When a contractor is 
required under the terms and conditions of the contract to provide IPE, 
such IPE shall meet minimum standards as defined by the contract.
    (10) Clothing. Defense contractors or their personnel are 
responsible for providing their own personal clothing, including casual 
and working clothing required by the assignment. Generally, commanders 
shall not issue military clothing to contractor personnel or allow the 
wearing of military or military look-alike uniforms. However, a CCDR or 
subordinate JFC deployed forward may authorize contractor personnel to 
wear standard uniform items for operational reasons. Contracts shall 
require that this authorization be in writing and maintained in the 
possession of authorized contractor personnel at all times. When 
commanders issue any type of standard uniform item to contractor 
personnel, care must be taken to ensure, consistent with force 
protection measures, that contractor personnel are distinguishable from 
military personnel through the use of distinctive patches, arm bands, 
nametags, or headgear.
    (11) Weapons. Contractor personnel shall not be authorized to 
possess or carry firearms or ammunition during applicable contingency 
operations except as provided in paragraphs (d)(5) and (d)(6) of this 
section and in 32 CFR part 159. The contract shall provide the terms and 
conditions governing the possession of firearms.
    (12) Training. Joint training policy and guidance for the Military 
Services, including DoD contractors, is provided in CJCS Instruction 
3500.01F (see http://www.dtic.mil/doctrine/training/cjcsi3500--01f.pdf). 
Standing training requirements shall be placed on the CCDR OCS Web sites 
for reference by contractors. Training requirements that are specific to 
the operation shall be placed on the CCDR Web sites immediately after a 
declared contingency so contracting officers can incorporate them into 
the appropriate contracts as soon as possible. Training requirements 
must be contained or incorporated by reference in contracts employing 
contractor personnel in support of an applicable contingency operation. 
Training requirements include specific training requirements established 
by the CCDR and training required in accordance with this part, 32 CFR 
part 159, DoD Directive 2000.12 (see http://www.dtic.mil/whs/directives/
corres/pdf/200012p.pdf), and DoD Instruction 2000.16 (see http://
www.dtic.mil/whs/directives/corres/pdf/200016p.pdf and DoD Instruction 
1300.23 (see http://www.dtic.mil/whs/directives/corres/pdf/130023p.pdf).
    (13) Legal Assistance. Individual contractor personnel are 
responsible to have their personal legal affairs in order (including 
preparing and completing powers of attorney, wills, trusts, estate 
plans, etc.) before reporting to deployment centers. Contractor 
personnel are not entitled to military legal assistance either in-
theater or at the deployment center.
    (14) Contractor Integration. It is critical that CAAF brought into 
an operational area are properly integrated into the military operation 
through a formal reception process. This shall include, at a minimum, 
ensuring as they

[[Page 919]]

move into and out of the operational area, and commensurate with local 
threat levels, that they:
    (i) Have met theater entry requirements and are authorized to enter 
the theater.
    (ii) Are accounted for.
    (iii) Possess any required IPE, including CBRN protective ensemble.
    (iv) Have been authorized any required Government-furnished support 
and force protection.
    (15) Waivers. For contract support in the operational area that is 
required for less than 30 consecutive days, the CCDR or designee may 
waive a portion of the formal procedural requirements in paragraph 
(c)(5) of this section, which may include waiving the requirement for 
processing through a deployment center. However, the requirements to 
possess proper identification cards and to establish and maintain 
accountability and visibility for all defense contractors in accordance 
with applicable policy shall not be waived, nor shall any medical 
requirement be waived without the prior approval of qualified medical 
personnel. If contingency contractor personnel are authorized to be 
armed, the requirements of paragraphs (d)(5) and (d)(6) of this section 
cannot be waived.
    (d) Contractor In-Theater Management Requirements. The DoD 
Components shall adhere to the in-theater management policies of this 
section in managing contingency contractor personnel in support of 
applicable contingency operations.
    (1) Reception. All CAAF shall be processed into the operational area 
through a designated reception site. The site shall verify, based upon a 
visual inspection of the LOA, that contractor personnel are entered into 
SPOT or its successor, and verify that personnel meet theater-specific 
entry requirements. Contractor personnel already in the designated 
operational area when a contingency is declared must report to the 
appropriate designated reception site as soon as it is operational. If 
any CAAF does not have the proper documentation, the person will be 
refused entry into the theater, and the contracting officer will notify 
the contractor to take action to resolve the reason for the lack of 
proper documentation for performing in that area. Should the contractor 
fail to take that action, the person shall be sent back to his or her 
departure point, or directed to the Service component command or Defense 
Agency responsible for that specific contract for theater entrance 
processing.
    (2) Contractor Use Restrictions. CCDRs, through their respective 
contracting officers or their representatives, may place specific 
restrictions on locations or timing of contracted support based on the 
prevailing operational situation, in coordination with subordinate 
commanders and the applicable Defense Agencies.
    (3) Contractor Security Screening. Contractor screening requirements 
for CAAF and non-CAAF who require access to U.S. facilities will be 
integrated into OPSEC programs and plans.
    (4) Contractor Conduct and Discipline. Terms and conditions of 
contracts shall require that CAAF comply with theater orders, applicable 
directives, laws, and regulations, and that employee discipline is 
maintained. Non-CAAF who require base access will be directed to follow 
base force protection and security-related procedures as applicable.
    (i) Contracting officers are the legal link between the requiring 
activity and the contractor. The contracting officer may appoint a 
designee (usually a COR) as a liaison between the contracting officer 
and the contractor and requiring activity. This designee monitors and 
reports contractor performance and requiring activity concerns to the 
contracting officer. The requiring activity has no direct contractual 
relationship with or authority over the contractor. However, the ranking 
military commander may, in emergency situations (e.g., enemy or 
terrorist actions or natural disaster), urgently recommend or issue 
warnings or messages urging that CAAF and non-CAAF personnel take 
emergency actions to remove themselves from harm's way or take other 
appropriate self-protective measures.
    (ii) The contractor is responsible for disciplining contingency 
contractor personnel. However, in accordance with paragraph (h)(1) of 48 
CFR 252.225-7040, the contracting officer may direct the

[[Page 920]]

contractor, at its own expense, to remove and replace any contingency 
contractor personnel who jeopardize or interfere with mission 
accomplishment, or whose actual field performance (certification/
professional standard) is well below that stipulated in the contract, or 
who fail to comply with or violate applicable requirements of the 
contract. Such action may be taken at Government discretion without 
prejudice to its rights under any other provision of the contract, 
including the Termination for Default. A commander also has the 
authority to take certain actions affecting contingency contractor 
personnel, such as the ability to revoke or suspend security access or 
impose restrictions from access to military installations or specific 
worksites.
    (iii) CAAF, with some restrictions (e.g., LN CAAF are not subject to 
MEJA), are subject to prosecution under MEJA and UCMJ in accordance with 
18 U.S.C. 7(9), 2441, and 3261 and Secretary of Defense Memorandum, 
``UCMJ Jurisdiction Over DoD Civilian Employees, DoD Contractor 
Personnel, and Other Persons Serving With or Accompanying the Armed 
Forces Overseas During Declared War and in Contingency Operations,'' 
March 10, 2008. Commanders possess significant authority to act whenever 
criminal activity is committed by anyone subject to MEJA and UCMJ that 
relates to or affects the commander's responsibilities. This includes 
situations in which the alleged offender's precise identity or actual 
affiliation is to that point undetermined. Secretary of Defense 
Memorandum, ``UCMJ Jurisdiction Over DoD Civilian Employees, DoD 
Contractor Personnel, and Other Persons Serving With or Accompanying the 
Armed Forces Overseas During Declared War and in Contingency 
Operations,'' March 10, 2008, sets forth the scope of this command 
authority in detail. Contracting officers will ensure that contractors 
are made aware of their status and liabilities as CAAF and the required 
training requirements associated with this status. Subject to local or 
HN law, SOFA, and the jurisdiction of the Department of State (e.g., 
consulate or chief of mission) over civilians in another country, 
commanders retain authority to respond to an incident, restore safety 
and order, investigate, apprehend suspected offenders, and otherwise 
address the immediate needs of the situation.
    (iv) The Department of Justice may prosecute misconduct under 
applicable Federal laws, including MEJA and 18 U.S.C. 2441. Contingency 
contractor personnel are also subject to the domestic criminal laws of 
the local nation absent a SOFA or international agreement to the 
contrary. When confronted with disciplinary problems involving 
contingency contractor personnel, commanders shall seek the assistance 
of their legal staff, the contracting officer responsible for the 
contract, and the contractor's management team.
    (v) In the event of an investigation of reported offenses alleged to 
have been committed by or against contractor personnel, appropriate 
investigative authorities shall keep the contracting officer informed, 
to the extent possible without compromising the investigation, if the 
alleged offense has a potential contract performance implication.
    (5) Force Protection and Weapons Issuance. CCDRs shall develop 
security plans for protection of CAAF and selected non-CAAF (e.g., those 
working on a military facility or as otherwise determined by the 
operational commander) in locations where the civil authority is either 
insufficient or illegitimate, and the commander determines it is in the 
interests of the Government to provide security because the contractor 
cannot obtain effective private security services; such services are 
unavailable at a reasonable cost; or threat conditions necessitate 
security through military means.
    (i) In appropriate cases, the CCDR may provide security through 
military means commensurate with the level of security provided DoD 
civilians. Specific security measures shall be mission and situation 
dependent as determined by the CCDR and provided to the contracting 
officer. The contracting officer shall include in the contract the level 
of protection to be provided to contingency contractor personnel as

[[Page 921]]

determined by the CCDR or subordinate JFC. Specific procedures for 
determining requirements for and integrating contractors into the JOA 
force protection structure will be placed on the geographic CCDR Web 
sites.
    (ii) Contracts shall require all contingency contractor personnel to 
comply with applicable CCDR and local commander force protection 
policies. Contingency contractor personnel working within a U.S. 
Military facility or in close proximity of U.S. Military forces may 
receive incidentally the benefits of measures undertaken to protect U.S. 
forces in accordance with DoD Directive 2000.12 (see http://
www.dtic.mil/whs/directives/corres/pdf/200012p.pdf). However, it may be 
necessary for contingency contractor personnel to be armed for 
individual self-defense. Procedures for arming for individual self-
defense are:
    (A) According to applicable U.S., HN, or international law; relevant 
SOFAs; international agreements; or other arrangements with local 
authorities and on a case-by-case basis when military force protection 
and legitimate civil authority are deemed unavailable or insufficient, 
the CCDR (or a designee no lower than the general/flag officer level) 
may authorize contingency contractor personnel to be armed for 
individual self-defense.
    (B) The appropriate SJA to the CCDR shall review all applications 
for arming contingency contractor personnel on a case-by-case basis to 
ensure there is a legal basis for approval. In reviewing applications, 
CCDRs shall apply the criteria mandated for arming contingency 
contractor personnel for private security services provided in paragraph 
(d)(6) of this section and 32 CFR part 159. In such cases, the 
contractor will validate to the contracting officer, or designee, that 
weapons familiarization, qualification, and briefings regarding the 
rules for the use of force have been provided to contingency contractor 
personnel in accordance with CCDR policies. Acceptance of weapons by 
contractor personnel shall be voluntary and permitted by the defense 
contractor and the contract. In accordance with paragraph (j) of 48 CFR 
252.225-7040, the contract shall require that the defense contractor 
ensure such personnel are not prohibited by U.S. law from possessing 
firearms.
    (C) When armed for personal protection, contingency contractor 
personnel are only authorized to use force for individual self-defense. 
Unless immune from local laws or HN jurisdiction by virtue of an 
international agreement or international law, the contract shall include 
language advising contingency contractor personnel that the 
inappropriate use of force could subject them to U.S. and local or HN 
prosecution and civil liability.
    (6) Use of Contractor Personnel for Private Security Services. If, 
consistent with applicable U.S., local, and international laws; relevant 
HN agreements, or other international agreements and this part, a 
defense contractor may be authorized to provide private security 
services for other than uniquely military functions as identified in DoD 
Instruction 1100.22. Specific procedures relating to contingency 
contractor personnel providing private security services are provided in 
32 CFR part 159.
    (7) Personnel Recovery, Missing Persons, and Casualty Reporting.
    (i) DoD Directive 3002.01E (see http://www.dtic.mil/whs/directives/
corres/pdf/300201p.pdf) outlines the DoD personnel recovery program and 
Joint Publication 3-50 (see http://www.dtic.mil/dpmo/laws--directives/
documents/joint--pu--3--50.pdf) details its doctrine. The DoD personnel 
recovery program covers all CAAF employees regardless of their 
citizenship. If a CAAF becomes isolated or unaccounted for, the 
contractor must expeditiously file a search and rescue incident report 
(SARIR) (available at http://www.armystudyguide.com/content/the--tank/
army--report--and--message--formats/search-and-rescue-inciden.shtml) to 
the theater's personnel recovery architecture, i.e., the component 
personnel recovery coordination cell or the Combatant Command joint 
personnel recovery center.
    (ii) Upon recovery following an isolating event, a CAAF returnee 
shall enter the first of three phases of reintegration in DoD 
Instruction 2310.4 (see http://www.dtic.mil/whs/directives/corres/pdf/
231004p.pdf). The additional

[[Page 922]]

phases of reintegration in DoD Instruction 2310.4 shall be offered to 
the returnee to ensure his or her physical and psychological well being 
while adjusting to the post-captivity environment.
    (iii) Accounting for missing persons, including contractors, is 
addressed in DoD Directive 2310.07E (see http://www.dtic.mil/whs/
directives/corres/pdf/231007p.pdf). Evacuation of dependents of 
contractor personnel is addressed in DoD Directive 3025.14 (see http://
www.dtic.mil/whs/directives/corres/pdf/302514p.pdf). All CAAF and non-
CAAF casualties shall be reported in accordance with Joint Publication 
1-0, ``Personnel Support to Joint Operations,'' October 16, 2006 (see 
http://www.dtic.mil/doctrine/new--pubs/jp1--0.pdf) and ASD(L&MR) 
Publication, ``Business Rules for the Synchronized Predeployment and 
Operational Tracker (SPOT),'' current edition. (See http://
www.acq.osd.mil/log/PS/spot.html)
    (8) Mortuary Affairs.
    (i) CAAF who die while in support of U.S. forces shall be covered by 
the DoD mortuary affairs program as described in DoD Directive 1300.22 
(see http://www.dtic.mil/whs/directives/corres/pdf/130022p.pdf). Every 
effort shall be made to identify remains and account for un-recovered 
remains of contractors and their dependents who die in military 
operations, training accidents, and other multiple fatality incidents. 
The remains of CAAF who are fatalities resulting from an incident in 
support of military operations deserve and shall receive the same 
dignity and respect afforded military remains.
    (ii) The DoD may provide mortuary support for the disposition of 
remains and personal effects at the request of the Department of State. 
The USD(P&R) shall coordinate this support with the Department of State 
to include cost reimbursement, where appropriate. The disposition of 
non-CAAF contractors (LNs and TCNs) shall be given the same dignity and 
respect afforded U.S. personnel. The responsibility for coordinating the 
transfer of these remains to the HN or affected nation resides with the 
geographic CCDR in coordination and conjunction with the Department of 
State through the embassies or the International Red Cross, as 
appropriate, and in accordance with applicable contract provisions.
    (9) Medical Support and Evacuation. Theater-specific contract 
language to clarify available healthcare can be found on the CCDR Web 
sites. During applicable contingency operations in austere, uncertain, 
and/or hostile environments, CAAF may encounter situations in which they 
are unable to access medical support on the local economy. Generally, 
the DoD will only provide resuscitative care, stabilization, 
hospitalization at Level III medical treatment facilities (MTFs), and 
assistance with patient movement in emergencies where loss of life, 
limb, or eyesight could occur. Hospitalization will be limited to 
stabilization and short-term medical treatment with an emphasis on 
return to duty or placement in the patient movement system in accordance 
with DoD Instruction 6000.11 (see http://www.dtic.mil/whs/directives/
corres/pdf/600011p.pdf). All costs associated with the treatment and 
transportation of CAAF to the selected civilian facility are 
reimbursable to the Government and shall be the responsibility of 
contractor personnel, their employers, or their health insurance 
providers. Nothing in this paragraph is intended to affect the 
allowability of costs incurred under a contingency contract. Medical 
support and evacuation procedures are:
    (i) Emergency Medical and Dental Care. All CAAF will normally be 
afforded emergency medical and dental care if injured while supporting 
contingency operations. Additionally, non-CAAF employees who are injured 
while in the vicinity of U.S. forces will also normally receive 
emergency medical and dental care. Emergency medical and dental care 
includes medical care situations in which life, limb, or eyesight is 
jeopardized. Examples of emergency medical and dental care include 
examination and initial treatment of victims of sexual assault; refills 
of prescriptions for life-dependent drugs; repair of broken bones, 
lacerations, infections; and traumatic injuries to the dentition.
    (ii) Primary Care. Primary medical or dental care normally will not 
be authorized or be provided to CAAF by

[[Page 923]]

MTFs. When required and authorized by the CCDR or subordinate JFC, this 
support must be specifically authorized under the terms and conditions 
of the contract and detailed in the corresponding LOA. Primary care is 
not authorized for non-CAAF employees. Primary care includes routine 
inpatient and outpatient services, non-emergency evacuation, 
pharmaceutical support, dental services, and other medical support as 
determined by appropriate military authorities based on recommendations 
from the joint force command surgeon and on the existing capabilities of 
the forward-deployed MTFs.
    (iii) Long-Term Care. The DoD shall not provide long-term care to 
contractor personnel.
    (iv) Quarantine or Restriction of Movement. The CCDR or subordinate 
commander has the authority to quarantine or restrict movement of 
contractor personnel according to DoD Instruction 6200.03 (see http://
www.dtic.mil/whs/directives/corres/pdf/620003p.pdf).
    (v) Evacuation. Patient movement of CAAF shall be performed in 
accordance with DoD Instruction 6000.11 (see http://www.dtic.mil/whs/
directives/corres/pdf/600011p.pdf). When CAAF are evacuated for medical 
reasons from the designated operational area to MTFs funded by the 
Defense Health Program, normal reimbursement policies will apply for 
services rendered by the facility. Should CAAF require medical 
evacuation outside the continental United States (OCONUS), the sending 
MTF shall assist CAAF in making arrangements for transfer to a civilian 
facility of their choice. When U.S. forces provide emergency medical 
care to non-CAAF, these patients will be evacuated or transported via 
national means (when possible) to their local medical systems.
    (10) Other Government-Furnished Support. In accordance with DoD 
Component policy and consistent with applicable laws and international 
agreements, Government-furnished support may be authorized or required 
when CAAF and selected non-CAAF are deployed with or otherwise provide 
support in the theater of operations to U.S. Military forces deployed 
OCONUS. Types of support are listed in 48 CFR PGI 225.74 and may include 
transportation to and within the operational area, mess operations, 
quarters, phone service, religious support, and laundry.
    (i) In operations where no reliable or local mail service is 
available, CAAF who are U.S. citizens will be authorized postal support 
in accordance with DoD 4525.6-M (see http://www.dtic.mil/whs/directives/
corres/pdf/452506m.pdf). CAAF who are not U.S. citizens will be afforded 
occasional mail service necessary to mail their pay checks back to their 
homes of record.
    (ii) Morale, welfare, and recreation (MWR) and exchange services 
will be authorized for CAAF who are U.S. citizens in accordance with 10 
U.S.C. 133. CAAF who are not U.S. citizens and non-CAAF are not 
authorized MWR and exchange services.
    (e) Redeployment Procedures. The considerations in this section are 
applicable during the redeployment of CAAF.
    (1) Transportation Out of Theater. When the terms and conditions of 
the contract state that the Government shall provide transportation out 
of theater:
    (i) Upon completion of the deployment or other authorized release, 
the Government shall, in accordance with each individual's LOA, provide 
contractor employees transportation from the theater of operations to 
the location from which they deployed, unless otherwise directed.
    (ii) Prior to redeployment from the AOR, the contractor employee, 
through their defense contractor, shall coordinate contractor exit times 
and transportation with CONUS Replacement Center (CRC) or designated 
reception site. Additionally, intelligence out-briefs must be completed 
and customs and immigration briefings and inspections must be conducted. 
CAAF are subject to customs and immigration processing procedures at all 
designated stops and their final destination during their redeployment. 
CAAF returning to the United States are subject to U.S. reentry customs 
requirements in effect at the time of reentry.
    (2) Post-Deployment Health Assessment. In accordance with DoD 
Instruction 6490.03, contracts shall require that CAAF complete a post-
deployment

[[Page 924]]

health assessment in the Defense Medical Surveillance System (DMSS) at 
the termination of the deployment (within 30 days of redeployment). 
These assessments will only be used by the DoD to accomplish population-
wide assessments for epidemiological purposes, and to help identify 
trends related to health outcomes and possible exposures. They will not 
be used for individual purposes in diagnosing conditions or informing 
individuals they require a medical followup. Diagnosing conditions 
requiring medical referral is a function of the contractor.
    (3) Redeployment Center Procedures. In most instances, the 
deployment center/site that prepared the CAAF for deployment will serve 
as the return processing center. As part of CAAF redeployment 
processing, the deployment center/site personnel will screen contractor 
records, recover Government-issued identification cards and equipment, 
and conduct debriefings as appropriate. The amount of time spent at the 
return processing center will be the minimum required to complete the 
necessary administrative procedures.
    (i) A special effort will be made to collect all CACs from returning 
deployed contractors.
    (ii) Contractor employees are required to return any issued clothing 
and equipment. Lost, damaged, or destroyed clothing and equipment shall 
be reported in accordance with procedures of the issuing facility. 
Contractor employees shall also receive a post-deployment medical 
briefing on signs and symptoms of diseases to watch for, such as 
tuberculosis. As some countries hosting an intermediate staging base may 
not permit certain items to enter their borders, some clothing and 
equipment, whether issued by the contractor, purchased by the employee, 
or provided by the Government, may not be permitted to exit the AOR. In 
this case, alternate methods of accounting for Government-issued 
equipment and clothing will be used according to CCDR or JFC guidance 
and contract language.
    (4) Update to SPOT. Contracting officers or their designated 
representative must verify that defense contractors have updated SPOT to 
reflect their employee's change in status within 3 days of his or her 
redeployment as well as close out the deployment and collect or revoke 
the LOA.
    (5) Transportation to Home Destination. Transportation of CAAF from 
the deployment center/site to the home destination is the employer's 
responsibility. Government reimbursement to the employer for travel will 
be determined by the terms and conditions of the contract.



Sec. 158.7  Guidance for contractor medical and dental fitness.

    (a) General.
    (1) DoD contracts requiring the deployment of CAAF shall include 
medical and dental fitness requirements as specified in this section. 
Under the terms and conditions of their contracts, defense contractors 
shall provide personnel who meet such medical and dental requirements as 
specified in their contracts.
    (2) The geographic CCDR will establish theater-specific medical 
qualifications. When exceptions to these standards are requested through 
the contracting officer, the geographic CCDR will establish a process 
for reviewing such exceptions and ensuring that a mechanism is in place 
to track and archive all approved and denied waivers, including the 
medical condition requiring the waiver.
    (3) The geographic CCDR shall also ensure that processes and 
procedures are in place to remove contractor personnel in theater who 
are not medically qualified, once so identified by a healthcare 
provider. The geographic CCDR shall ensure appropriate language 
regarding procedures and criteria for requiring removal of contractor 
personnel identified as no longer medically qualified is developed, is 
posted on the CCDR OCS Web site, and also ensure contracting officers 
incorporate the same into all contracts for performance in the AOR.
    (4) Unless otherwise stated in the contract, all pre-, during-, and 
post-deployment medical evaluations and treatment are the responsibility 
of the contractor.
    (b) Medical and Dental Evaluations. (1) All CAAF deploying in 
support of a contingency operation must be medically, dentally, and 
psychologically fit

[[Page 925]]

for deployment as stated in DoD Directive 6200.04 (see http://
www.dtic.mil/whs/directives/corres/pdf/620004p.pdf). Fitness 
specifically includes the ability to accomplish the tasks and duties 
unique to a particular operation and the ability to tolerate the 
environmental and operational conditions of the deployed location. Under 
the terms and conditions of their contracts, defense contractors will 
provide medically, dentally, and psychologically fit contingency 
contractor personnel to perform contracted duties.
    (2) Just as military personnel must pass a complete health 
evaluation, CAAF shall have a similar evaluation based on the functional 
requirements of the job. All CAAF must undergo a medical and dental 
assessment within 12 months prior to arrival at the designated 
deployment center or Government-authorized contractor-performed 
deployment processing facility. This assessment should emphasize 
diagnosing cardiovascular, pulmonary, orthopedic, neurologic, 
endocrinologic, dermatologic, psychological, visual, auditory, dental, 
and other systemic disease conditions that may preclude performing the 
functional requirements of the contract, especially in the austere work 
environments encountered in some contingency operations.
    (3) In accordance with DoD Instruction 6490.03, contracts shall 
require that CAAF complete a pre-deployment health assessment in the 
DMSS at the designated deployment center or a Government-authorized 
contractor-performed deployment processing facility. These assessments 
will only be used by the DoD to accomplish population-wide assessments 
for epidemiological purposes, and to help identify trends related to 
health outcomes and possible exposures. They will not be used for 
individual purposes in diagnosing conditions or informing individuals 
they require a medical followup. Diagnosing conditions requiring medical 
referral is a function of the contractor.
    (4) In general, CAAF who have any of the medical conditions in 
paragraph (j) of this section, based on an individual assessment 
pursuant to DoD Instruction 6490.03, should not deploy.
    (5) Individuals who are deemed not medically qualified at the 
deployment center or at any period during the deployment process based 
upon an individual assessment, or who require extensive preventive 
dental care (see paragraph (j)(2)(xxv) of this section) will not be 
authorized to deploy.
    (6) Non-CAAF shall be medically screened when specified by the 
requiring activity, for the class of labor that is being considered 
(e.g., LNs working in a dining facility).
    (7) Contracts shall require contractors to replace individuals who 
develop, at any time during their deployment, conditions that cause them 
to become medically unqualified.
    (8) In accordance with DoD Instruction 6490.03, contracts shall 
require that CAAF complete a post-deployment health assessment in DMSS 
at the termination of the deployment (within 30 days of redeployment).
    (c) Glasses and Contact Lenses. If vision correction is required, 
contractor personnel will be required to have two pair of glasses. A 
written prescription may also be provided to the supporting military 
medical component so that eyeglass inserts for use in a compatible 
chemical protective mask can be prepared. If the type of protective mask 
to be issued is known and time permits, the preparation of eyeglass 
inserts should be completed prior to deployment. Wearing contact lenses 
in a field environment is not recommended and is at the contingency 
contractor employee's own risk due to the potential for irreversible eye 
damage caused by debris, chemical or other hazards present, and the lack 
of ophthalmologic care in a field environment.
    (d) Medications. Other than force health protection prescription 
products (FHPPPs) to be provided to CAAF and selected non-CAAF, 
contracts shall require that contractor personnel deploy with a minimum 
90-day supply of any required medications obtained at their own expense. 
Contractor personnel must be aware that deployed medical units are 
equipped and staffed to provide emergency care to healthy adults. They 
will not be able to provide or replace many medications required for 
routine treatment of chronic medical conditions, such as high blood 
pressure, heart conditions, and arthritis. The

[[Page 926]]

contract shall require contractor personnel to review both the amount of 
the medication and its suitability in the foreign area with their 
personal physician and make any necessary adjustments before deploying. 
The contract shall require the contractor to be responsible for the re-
supply of required medications.
    (e) Comfort Items. The contract shall require that CAAF take spare 
hearing-aid batteries, sunglasses, insect repellent, sunscreen, and any 
other supplies related to their individual physical requirements. These 
items will not be provided by DoD sources.
    (f) Immunizations. A list of immunizations, both those required for 
entry into the designated area of operations and those recommended by 
medical authorities, shall be produced for each deployment; posted to 
the geographic CCDR Web site or other venue, as appropriate; and 
incorporated in contracts for performance in the designated AOR.
    (1) The geographic CCDR, upon the recommendation of the appropriate 
medical authority (e.g., Combatant Command surgeon), shall provide 
guidance and a list of immunizations required to protect against 
communicable diseases judged to be a potential hazard to the health of 
those deploying to the applicable theater of operation. The Combatant 
Command surgeon of the deployed location shall prepare and maintain this 
list.
    (2) The contract shall require that CAAF be appropriately immunized 
before completing the pre-deployment process.
    (3) The Government shall provide military-specific vaccinations and 
immunizations (e.g., anthrax, smallpox) during pre-deployment 
processing. However, the contract shall stipulate that CAAF obtain all 
other immunizations (e.g., yellow fever, tetanus, typhoid, flu, 
hepatitis A and B, meningococcal, and tuberculin (TB) skin testing) 
prior to arrival at the deployment center.
    (4) Theater-specific medical supplies and FHPPPs, such as anti-
malarials and pyridostigmine bromide, will be provided to CAAF and 
selected non-CAAF on the same basis as they are to active duty military 
members. Additionally, CAAF will be issued deployment medication 
information sheets for all vaccines or deployment-related medications 
that are dispensed or administered.
    (5) A TB skin test is required within 3 months prior to deployment. 
Additionally, the contract shall stipulate that CAAF and selected non-
CAAF bring to the JOA a current copy of Public Health Service Form 791, 
``International Certificate of Vaccination,'' (also known as ``shot 
record,'' available for purchase at http://bookstore.gpo.gov/
collections/vaccination.jsp).
    (g) Human Immunodeficiency Virus (HIV) Testing. HIV testing is not 
mandatory for contingency contractor personnel unless specified by an 
agreement or by local requirements. HIV testing, if required, shall 
occur within 1 year before deployment.
    (h) Armed Forces Repository of Specimen Samples for the 
Identification of Remains (AFRSSIR). For identification of remains 
purposes, all CAAF who are U.S. citizens shall obtain a dental panograph 
and provide a specimen sample suitable for DNA analysis prior to or 
during deployment processing. The DoD Components shall ensure that all 
contracts require CAAF who are U.S. citizens to provide specimens for 
AFRSSIR as a condition of employment according to DoD Instruction 
5154.30 (see http://www.dtic.mil/whs/directives/corres/pdf/515430p.pdf). 
Specimens shall be collected and managed as provided in paragraphs 
(h)(1) through (h)(3) of this section.
    (1) All CAAF who are U.S. citizens processing through a deployment 
center will have a sample collected and forwarded to the AFRSSIR for 
storage. Contracts shall require contractors to verify in SPOT or its 
successor that AFRSSIR has received the sample or that the DNA reference 
specimen sample has been collected by the contractor.
    (2) If CAAF who are U.S. citizens do not process through a 
deployment center or the defense contractor is authorized to process its 
own personnel, the contract shall require that the contractor make its 
own arrangements for collection and storage of the DNA reference 
specimen through a private facility, or arrange for the storage of the

[[Page 927]]

specimen by contacting AFRSSIR. Regardless of what specimen collection 
and storage arrangements are made, all defense contractors deploying 
CAAF who are U.S. citizens must provide the CAAF name and Social 
Security number, location of the sample, facility contact information, 
and retrieval plan to AFRSSIR. If AFRSSIR is not used and a CAAF who is 
a U.S. citizen becomes a casualty, the defense contractor must be able 
to retrieve identification media for use by the Armed Forces Medical 
Examiner (AFME) or other competent authority to conduct a medical-legal 
investigation of the incident and identification of the victim(s). These 
records must be retrievable within 24 hours for forwarding to the AFME 
when there is a reported incident that would necessitate its use for 
human remains identification purposes. The defense contractor shall have 
access to:
    (i) Completed DD Form 93 or equivalent record.
    (ii) Location of employee medical and dental records, including 
panograph.
    (iii) Location of employee fingerprint record.
    (3) In accordance with DoD Instruction 5154.30 (see http://
www.dtic.mil/whs/directives/corres/pdf/515430p.pdf), AFRSSIR is 
responsible for implementing special rules and procedures to ensure the 
protection of privacy interests in the specimen samples and any DNA 
analysis of those samples. Specimen samples shall only be used for the 
purposes outlined in DoD Instruction 5154.30. Other details, including 
retention and destruction requirements of DNA samples, are addressed in 
DoD Instruction 5154.30.
    (i) Pre-Existing Medical Conditions. All evaluations of pre-existing 
medical conditions should be accomplished prior to deployment. Personnel 
who have pre-existing medical conditions may deploy if all of these 
conditions are met:
    (1) The condition is not of such a nature that an unexpected 
worsening is likely to have a medically grave outcome or a negative 
impact on mission execution.
    (2) The condition is stable and reasonably anticipated by the pre-
deployment medical evaluator not to worsen during the deployment under 
contractor-provided medical care in-theater in light of the physical, 
physiological, psychological, environmental, and nutritional effects of 
the duties and location.
    (3) Any required ongoing health care or medications must be 
available or accessible to the contractor, independent of the military 
health system, and have no special handling, storage, or other 
requirements (e.g., refrigeration requirements and/or cold chain, 
electrical power requirements) that cannot be met in the specific 
theater of operations. Personnel must deploy with a minimum 90-day 
supply of prescription medications other than FHPPPs.
    (4) The condition does not and is not anticipated to require duty 
limitations that would preclude performance of duty or to impose 
accommodation. (The nature of the accommodation must be considered. The 
Combatant Command surgeon (or his delegated representative) is the 
appropriate authority to evaluate the suitability of the individual's 
limitations in-theater.)
    (5) There is no need for routine out-of-theater evacuation for 
continuing diagnostics or other evaluations.
    (j) Conditions Usually Precluding Medical Clearance. (1) This 
section is not intended to be comprehensive. A list of all possible 
diagnoses and their severity that should not be approved would be too 
expansive to list in this part. In general, individuals with the 
conditions in paragraphs (j)(2)(i) through (j)(2)(xxx) of this section, 
based on an individual assessment pursuant to DoD Instruction 6490.03, 
will not normally be approved for deployment. The medical evaluator must 
carefully consider whether climate; altitude; nature of available food 
and housing; availability of medical, behavioral health, and dental 
services; or other environmental and operational factors may be 
hazardous to the deploying person's health because of a known physical 
or mental condition.
    (2) Medical clearance for deployment of persons with any of the 
conditions in this section shall be granted only after consultation with 
the appropriate Combatant Command surgeon. The

[[Page 928]]

Combatant Command surgeon makes recommendations and serves as the 
geographic CCDR advisor; however, the geographic CCDR is the final 
approval or disapproval authority except as provided in paragraph (k)(3) 
of this section. The Combatant Command surgeon can determine if adequate 
treatment facilities and specialist support is available at the duty 
station for:
    (i) Physical or psychological conditions resulting in the inability 
to effectively wear IPE, including protective mask, ballistic helmet, 
body armor, and CBRN protective ensemble, regardless of the nature of 
the condition that causes the inability to wear the equipment if wearing 
such equipment may be reasonably anticipated or required in the deployed 
location.
    (ii) Conditions that prohibit immunizations or use of FHPPs required 
for the specific deployment. Depending on the applicable threat 
assessment, required FHPPs, vaccines, and countermeasures may include 
atropine, epinephrine and/or 2-pam chloride auto-injectors, certain 
antimicrobials, antimalarials, and pyridostigmine bromide.
    (iii) Any chronic medical condition that requires frequent clinical 
visits, that fails to respond to adequate conservative treatment, or 
that necessitates significant limitation of physical activity.
    (iv) Any medical condition that requires durable medical equipment 
or appliances or that requires periodic evaluation and/or treatment by 
medical specialists not readily available in theater (e.g., CPAC machine 
for sleep apnea).
    (v) Any unresolved acute or chronic illness or injury that would 
impair duty performance in a deployed environment during the duration of 
the deployment.
    (vi) Active tuberculosis or known blood-borne diseases that may be 
transmitted to others in a deployed environment. (For HIV infections, 
see paragraph (j)(2)(xvii) of this section.)
    (vii) An acute exacerbation of a physical or mental health condition 
that could affect duty performance.
    (viii) Recurrent loss of consciousness for any reason.
    (ix) Any medical condition that could result in sudden 
incapacitation including a history of stroke within the last 24 months, 
seizure disorders, and diabetes mellitus type I or II, treated with 
insulin or oral hypoglycemic agents.
    (x) Hypertension not controlled with medication or that requires 
frequent monitoring to achieve control.
    (xi) Pregnancy.
    (xii) Cancer for which the individual is receiving continuing 
treatment or that requires periodic specialty medical evaluations during 
the anticipated duration of the deployment.
    (xiii) Precancerous lesions that have not been treated and/or 
evaluated and that require treatment and/or evaluation during the 
anticipated duration of the deployment.
    (xiiii) Any medical condition that requires surgery or for which 
surgery has been performed that requires rehabilitation or additional 
surgery to remove devices.
    (xv) Asthma that has a Forced Expiratory Volume-1 (FEV-1) of less 
than or equal to 50 percent of predicted FEV-1 despite appropriate 
therapy, that has required hospitalization at least 2 times in the last 
12 months, or that requires daily systemic oral or injectable steroids.
    (xvi) Any musculoskeletal condition that significantly impairs 
performance of duties in a deployed environment.
    (xvii) HIV antibody positive with the presence of progressive 
clinical illness or immunological deficiency. The Combatant Command 
surgeon should be consulted in all instances of HIV seropositivity 
before medical clearance for deployment.
    (xviii) Hearing loss. The requirement for use of a hearing aid does 
not necessarily preclude deployment. However, the individual must have 
sufficient unaided hearing to perform duties safely.
    (xviiii) Loss of vision. Best corrected visual acuity must meet job 
requirements to safely perform duties.
    (xx) Symptomatic coronary artery disease.
    (xxi) History of myocardial infarction within 1 year of deployment.
    (xxii) History of coronary artery bypass graft, coronary artery 
angioplasty, carotid endarterectomy,

[[Page 929]]

other arterial stenting, or aneurysm repair within 1 year of deployment.
    (xxiii) Cardiac dysrhythmias or arrhythmias, either symptomatic or 
requiring medical or electrophysiologic control (presence of an 
implanted defibrillator and/or pacemaker).
    (xxiv) Heart failure.
    (xxv) Individuals without a dental exam within the last 12 months or 
who are likely to require dental treatment or reevaluation for oral 
conditions that are likely to result in dental emergencies within 12 
months.
    (xxvi) Psychotic and/or bipolar disorders. For detailed guidance on 
deployment-limiting psychiatric conditions or psychotropic medications, 
see ASD(HA) Memorandum ``Policy Guidance for Deployment-Limiting 
Psychiatric Conditions and Medications'' November 7, 2006 (see http://
www.ha.osd.mil/policies/2006/061107--deployment-limiting--psych--
conditions--meds.pdf).
    (xxvii) Psychiatric disorders under treatment with fewer than 3 
months of demonstrated stability.
    (xxviii) Clinical psychiatric disorders with residual symptoms that 
impair duty performance.
    (xxviiii) Mental health conditions that pose a substantial risk for 
deterioration and/or recurrence of impairing symptoms in the deployed 
environment.
    (xxx) Chronic medical conditions that require ongoing treatment with 
antipsychotics, lithium, or anticonvulsants.
    (k) Exceptions to Medical Standards (Waivers). If a contractor 
believes an individual CAAF employee with one of the conditions listed 
in paragraphs (j)(2)(i) through (j)(2)(xxx) of this section can 
accomplish his or her tasks and duties and tolerate the environmental 
and operational conditions of the deployed location, the contractor may 
request a waiver for that individual through the contracting officer or 
designee.
    (1) Waivers are unlikely for contractor personnel and an explanation 
should be given as to why other persons who meet the medical standards 
could not be identified to fulfill the deployed duties. Waivers and 
requests for waivers will include a summary of a detailed medical 
evaluation or consultation concerning the medical condition(s). 
Maximization of mission accomplishment and the protection of the health 
of personnel are the ultimate goals. Justification will include 
statements indicating the CAAF member's experience, position to be 
placed in, any known specific hazards of the position, anticipated 
availability and need for care while deployed, and the benefit expected 
to accrue from the waiver.
    (2) Medical clearance to deploy or continue serving in a deployed 
environment for persons with any of the conditions in paragraphs 
(j)(2)(i) through (j)(2)(xxx) of this section must have the concurrence 
by the Combatant Command surgeon, or his designee, who will recommend 
approval or disapproval to the geographic CCDR. The geographic CCDR, or 
his designee, is the final decision authority for approvals and 
disapprovals.
    (3) For CAAF employees working with Special Operations Forces 
personnel who have conditions in paragraphs (j)(2)(i) through 
(j)(2)(xxx) of this section, medical clearance may be granted after 
consultation with the appropriate Theater Special Operations Command 
(TSOC) surgeon. The TSOC surgeon, in coordination with the Combatant 
Command surgeon and senior in-theater medical authority, will ascertain 
the capability and availability of treatment facilities and specialist 
support in the general duty area versus the operational criticality of 
the particular SOF member. The TSOC surgeon will recommend approval or 
disapproval to the TSOC Commander. The TSOC Commander is the final 
approval or disapproval authority.



PART 159_PRIVATE SECURITY CONTRACTORS OPERATING IN CONTINGENCY 
OPERATIONS--Table of Contents



Sec.
159.1 Purpose.
159.2 Applicability and scope.
159.3 Definitions.
159.4 Policy.
159.5 Responsibilities.
159.6 Procedures.

    Authority: Pub. L. 110-181; Pub. L. 110-417.

[[Page 930]]


    Source: 76 FR 49655, Aug. 11, 2011, unless otherwise noted.



Sec. 159.1  Purpose.

    This part establishes policy, assigns responsibilities and provides 
procedures for the regulation of the selection, accountability, 
training, equipping, and conduct of personnel performing private 
security functions under a covered contract. It also assigns 
responsibilities and establishes procedures for incident reporting, use 
of and accountability for equipment, rules for the use of force, and a 
process for administrative action or the removal, as appropriate, of 
PSCs and PSC personnel.



Sec. 159.2  Applicability and scope.

    This part:
    (a) Applies to:
    (1) The Office of the Secretary of Defense, the Military 
Departments, the Office of the Chairman of the Joint Chiefs of Staff and 
the Joint Staff, the Combatant Commands, the Office of the Inspector 
General of the Department of Defense, the Defense Agencies, the DoD 
Field Activities, and all other organizational entities in the 
Department of Defense (hereafter referred to as the ``DoD Components'').
    (2) The Department of State and other U.S. Federal agencies insofar 
as it implements the requirements of section 862 of Public Law 110-181, 
as amended. Specifically, in areas of operations which require enhanced 
coordination of PSC and PSC personnel working for U.S. Government 
(U.S.G.) agencies, the Secretary of Defense may designate such areas as 
areas of combat operations or other significant military operations for 
the limited purposes of this part. In such an instance, the standards 
established in accordance with this part would, in coordination with the 
Secretary of State, expand from covering only DoD PSCs and PSC personnel 
to cover all U.S.G.-funded PSCs and PSC personnel operating in the 
designated area. The requirements of this part shall not apply to a 
nonprofit nongovernmental organization receiving grants or cooperative 
agreements for activities conducted within an area of other significant 
military operations if the Secretary of Defense and the Secretary of 
State agree that such organization may be exempted. An exemption may be 
granted by the agreement of the Secretaries under this paragraph on an 
organization-by-organization or area-by-area basis. Such an exemption 
may not be granted with respect to an area of combat operations.
    (b) Prescribes policies applicable to all:
    (1) DoD PSCs and PSC personnel performing private security functions 
during contingency operations outside the United States.
    (2) USG-funded PSCs and PSC personnel performing private security 
functions in an area of combat operations or, with the agreement of the 
Secretary of State, other significant military operations as designated 
by the Secretary of Defense.



Sec. 159.3  Definitions.

    Unless otherwise noted, these terms and their definitions are for 
the purpose of this part.
    Area of combat operations. An area of operations designated as such 
by the Secretary of Defense for the purpose of this part, when enhanced 
coordination of PSCs working for U.S.G. agencies is required.
    Contingency operation. A military operation that is either 
designated by the Secretary of Defense as a contingency operation or 
becomes a contingency operation as a matter of law (10 U.S.C. 
101(a)(13)). It is a military operation that:
    (1) Is designated by the Secretary of Defense as an operation in 
which members of the Armed Forces are or may become involved in military 
actions, operations, or hostilities against an enemy of the United 
States or against an opposing military force; or
    (2) Results in the call or order to, or retention on, active duty of 
members of the uniformed services under section 688, 12301(a), 12302, 
12304, 12305, 12406, of 10 U.S.C., chapter 15 of 10 U.S.C. or any other 
provision of law during a war or during a national emergency declared by 
the President or Congress.
    Contractor. The contractor, subcontractor, grantee, or other party 
carrying out the covered contract.

[[Page 931]]

    Covered contract. (1) A DoD contract for performance of services 
and/or delivery of supplies in an area of contingency operations outside 
the United States or a contract of a non-DoD Federal agency for 
performance of services and/or delivery of supplies in an area of combat 
operations or other significant military operations, as designated by 
the Secretary of Defense; a subcontract at any tier under such a 
contract; or a task order or delivery order issued under such a contract 
or subcontract.
    (2) Also includes contracts or subcontracts funded under grants and 
sub-grants by a Federal agency for performance in an area of combat 
operations or other significant military operations as designated by the 
Secretary of Defense.
    (3) Excludes temporary arrangements entered into by non-DoD 
contractors or grantees for the performance of private security 
functions by individual indigenous personnel not affiliated with a local 
or expatriate security company. Such arrangements must still be in 
compliance with local law.
    Other significant military operations. For purposes of this part, 
the term `other significant military operations` means activities, other 
than combat operations, as part of an overseas contingency operation 
that are carried out by United States Armed Forces in an uncontrolled or 
unpredictable high-threat environment where personnel performing 
security functions may be called upon to use deadly force. \1\
---------------------------------------------------------------------------

    \1\ With respect to an area of other significant military 
operations, the requirements of this part shall apply only upon 
agreement of the Secretary of Defense and the Secretary of State. Such 
an agreement of the Secretaries may be made only on an area-by-area 
basis. With respect to an area of combat operations, the requirements of 
this part shall always apply.
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    Private security functions. Activities engaged in by a contractor 
under a covered contract as follows:
    (1) Guarding of personnel, facilities, designated sites, or property 
of a Federal agency, the contractor or subcontractor, or a third 
party.\2\
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    \2\ Contractors performing private security functions are not 
authorized to perform inherently governmental functions. In this regard, 
they are limited to a defensive response to hostile acts or demonstrated 
hostile intent.
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    (2) Any other activity for which personnel are required to carry 
weapons in the performance of their duties in accordance with the terms 
of their contract. For the DoD, DoDI Instruction 3020.41, ``Contractor 
Personnel Authorized to Accompany the U.S. Armed Forces,'' \3\ 
prescribes policies related to personnel allowed to carry weapons for 
self defense.
---------------------------------------------------------------------------

    \3\ Available at http://www.dtic.mil /whs/directives /corres/pdf /
302041p.pdf.
---------------------------------------------------------------------------

    PSC. During contingency operations ``PSC'' means a company employed 
by the DoD performing private security functions under a covered 
contract. In a designated area of combat operations or other significant 
military operations, the term ``PSC'' expands to include all companies 
employed by U.S.G. agencies performing private security functions under 
a covered contract.
    PSC personnel. Any individual performing private security functions 
under a covered contract.



Sec. 159.4  Policy.

    (a) Consistent with the requirements of paragraph (a)(2) of section 
862 of Public Law 110-181, the selection, training, equipping, and 
conduct of PSC personnel including the establishment of appropriate 
processes shall be coordinated between the DoD and the Department of 
State. Coordination shall encompass the contemplated use of PSC 
personnel during the planning stages of contingency operations so as to 
allow guidance to be developed under paragraphs (b) and (c) of this 
section and promulgated under section 159.5 of this part in a timely 
manner that is appropriate for the needs of the contingency operation.
    (b) Geographic Combatant Commanders will provide tailored PSC 
guidance and procedures for the operational environment in their Area of 
Responsibility (AOR) in accordance with this part, the Federal 
Acquisition Regulation (FAR) \4\ and the Defense

[[Page 932]]

Federal Acquisition Regulation Supplement (DFARS).\5\
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    \4\ Published in Title 48 of the Code of Federal Regulations.
    \5\ Published in Title 48 of the Code of Federal Regulations.
---------------------------------------------------------------------------

    (c) In a designated area of combat operations or other significant 
military operations, the relevant Chief of Mission will be responsible 
for developing and issuing implementing instructions for non-DoD PSCs 
and their personnel consistent with the standards set forth by the 
geographic Combatant Commander in accordance with paragraph (b) of this 
section. The Chief of Mission has the option to instruct non-DoD PSCs 
and their personnel to follow the guidance and procedures developed by 
the geographic Combatant Commander and/or a sub unified commander or 
joint force commander (JFC) where specifically authorized by the 
Combatant Commander to do so and notice of that authorization is 
provided to non-DoD agencies.
    (d) The requirements of this part shall not apply to contracts 
entered into by elements of the intelligence community in support of 
intelligence activities.



Sec. 159.5  Responsibilities.

    (a) The Deputy Assistant Secretary of Defense for Program Support, 
under the authority, direction, and control of the Assistant Secretary 
of Defense for Logistics and Materiel Readiness, shall monitor the 
registering, processing, and accounting of PSC personnel in an area of 
contingency operations.
    (b) The Director, Defense Procurement and Acquisition Policy, under 
the authority, direction, and control of the Under Secretary of Defense 
for Acquisition, Technology and Logistics, shall ensure that the DFARS 
and (in consultation with the other members of the FAR Council) the FAR 
provide appropriate guidance and contract clauses consistent with this 
part and paragraph (b) of section 862 of Public Law 110-181.
    (c) The Deputy Chief Management Officer of the Department of Defense 
shall direct the appropriate component to ensure that information 
systems effectively support the accountability and visibility of 
contracts, contractors, and specified equipment associated with private 
security functions.
    (d) The Chairman of the Joint Chiefs of Staff shall ensure that 
joint doctrine is consistent with the principles established by DoD 
Directive 3020.49, ``Orchestrating, Synchronizing, and Integrating 
Program Management of Contingency Acquisition Planning and Its 
Operational Execution,'' \6\ DoD Instruction 3020.41, ``Contractor 
Personnel Authorized to Accompany the U.S. Armed Forces,'' and this 
part.
---------------------------------------------------------------------------

    \6\ Available from http://www.dtic.mil /whs/directives /corres/pdf /
302 040p.pdf.
---------------------------------------------------------------------------

    (e) The geographic Combatant Commanders in whose AOR a contingency 
operation is occurring, and within which PSCs and PSC personnel perform 
under covered contracts, shall:
    (1) Provide guidance and procedures, as necessary and consistent 
with the principles established by DoD Directive 3020.49, 
``Orchestrating, Synchronizing, and Integrating Program Management of 
Contingency Acquisition Planning and Its Operational Execution,'' DoD 
Instruction 3020.41, ``Contractor Personnel Authorized to Accompany the 
U.S. Armed Forces,'' \7\ and this part, for the selection, training, 
accountability and equipping of such PSC personnel and the conduct of 
PSCs and PSC personnel within their AOR. Individual training and 
qualification standards shall meet, at a minimum, one of the Military 
Departments' established standards. Within a geographic combatant 
command, a sub unified commander or JFC shall be responsible for 
developing and issuing implementing procedures as warranted by the 
situation, operation, and environment, in consultation with the relevant 
Chief of Mission in designated areas of combat operations or other 
significant military operations.
---------------------------------------------------------------------------

    \7\ Available at http://www.dtic.mil /whs/directives /corres/html /
302 041.htm.
---------------------------------------------------------------------------

    (2) Through the Contracting Officer, ensure that PSC personnel 
acknowledge, through their PSC, their understanding and obligation to 
comply with the terms and conditions of their covered contracts.
    (3) Issue written authorization to the PSC identifying individual 
PSC personnel who are authorized to be armed.

[[Page 933]]

Rules for the Use of Force shall be included with the written 
authorization, if not previously provided to the contractor in the 
solicitation or during the course of contract administration. Rules for 
the Use of Force shall conform to the guidance in the Chairman of the 
Joint Chiefs of Staff Instruction 3121.01B, ``Standing Rules of 
Engagement/Standing Rules for the Use of Force for U.S. Forces.'' Access 
by offerors and contractors to the rules for the use of force may be 
controlled in accordance with the terms of FAR 52.204-2 (Aug 1996), 
DFARS 252.204-7000 (Dec 1991), or both.\8\
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    \8\ CJCSI 3121.01B provides guidance on the standing rules of 
engagement (SROE) and establishes standing rules for the use of force 
(SRUF) for DOD operations worldwide. This document is classified secret. 
CJCSI 3121.01B is available via Secure Internet Protocol Router Network 
at http://js.smil.mil. If the requester is not an authorized user of the 
classified network, the requester should contact Joint Staff J-3 at 703-
614-0425.
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    (4) Ensure that the procedures, orders, directives and instructions 
prescribed in Sec. 159.6(a) of this part are available through a single 
location (to include an Internet Web site, consistent with security 
considerations and requirements).
    (f) The Heads of the DoD Components shall:
    (1) Ensure that all private security-related requirement documents 
are in compliance with the procedures listed in Sec. 159.6 of this part 
and the guidance and procedures issued by the geographic Combatant 
Command,
    (2) Ensure private security-related contracts contain the 
appropriate clauses in accordance with the applicable FAR clause and 
include additional mission-specific requirements as appropriate.



Sec. 159.6  Procedures.

    (a) Standing Combatant Command Guidance and Procedures. Each 
geographic Combatant Commander shall develop and publish guidance and 
procedures for PSCs and PSC personnel operating during a contingency 
operation within their AOR, consistent with applicable law; this part; 
applicable Military Department publications; and other applicable DoD 
issuances to include DoD Directive 3020.49, ``Orchestrating, 
Synchronizing, and Integrating Program Management of Contingency 
Acquisition Planning and Its Operational Execution,'' DFARS, DoD 
Directive 2311.01E, ``DoD Law of War Program,'' \9\ DoD 5200.8-R, 
``Physical Security Program,'' \10\ CJCSI 3121.01B, ``Standing Rules of 
Engagement/Standing Rules for the Use of Force for U.S. Forces,'' and 
DoD Directive 5210.56, ``Use of Deadly Force and the Carrying of 
Firearms by DoD Personnel Engaged in Law Enforcement and Security 
Duties.'' \11\ The guidance and procedures shall:
---------------------------------------------------------------------------

    \9\ Available at http://www.dtic.mil /whs /directives /corres/html /
231101.htm.
    \10\ Available at http://www.dtic.mil /whs /directives /corres/pdf /
520008r.pdf.
    \11\ Available at http://www.dtic.mil /whs /directives /corres /
html/ 521056.htm.
---------------------------------------------------------------------------

    (1) Contain, at a minimum, procedures to implement the following 
processes, and identify the organization responsible for managing these 
processes:
    (i) Registering, processing, accounting for and keeping appropriate 
records of PSCs and PSC personnel in accordance with DoD Instruction 
3020.41, ``Contractor Personnel Authorized to Accompany the U.S. Armed 
Forces.''
    (ii) PSC verification that PSC personnel meet all the legal, 
training, and qualification requirements for authorization to carry a 
weapon in accordance with the terms and conditions of their contract and 
host country law. Weapons accountability procedures will be established 
and approved prior to the weapons authorization.
    (iii) Arming of PSC personnel. Requests for permission to arm PSC 
personnel shall be reviewed on a case-by-case basis by the appropriate 
Staff Judge Advocate to the geographic Combatant Commander (or a 
designee) to ensure there is a legal basis for approval. The request 
will then be approved or denied by the geographic Combatant Commander or 
a specifically identified designee, no lower than the flag officer 
level. Requests to arm non-DOD PSC personnel shall be reviewed and 
approved in accordance with Sec. 159.4(c) of this part. Requests for 
permission to arm all PSC personnel shall include:

[[Page 934]]

    (A) A description of where PSC personnel will operate, the 
anticipated threat, and what property or personnel such personnel are 
intended to protect, if any.
    (B) A description of how the movement of PSC personnel will be 
coordinated through areas of increased risk or planned or ongoing 
military operations, including how PSC personnel will be rapidly 
identified by members of the U.S. Armed Forces.
    (C) A communication plan, to include a description of how relevant 
threat information will be shared between PSC personnel and U.S. 
military forces and how appropriate assistance will be provided to PSC 
personnel who become engaged in hostile situations. DoD contractors 
performing private security functions are only to be used in accordance 
with DoD Instruction 1100.22, ``Guidance for Determining Workforce 
Mix,'' \12\ that is, they are limited to a defensive response to hostile 
acts or demonstrated hostile intent.
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    \12\ Available at http://www.dtic.mil /whs/directives /corres /pdf/ 
110022p.pdf.
---------------------------------------------------------------------------

    (D) Documentation of individual training covering weapons 
familiarization and qualification, rules for the use of force, limits on 
the use of force including whether defense of others is consistent with 
host nation Status of Forces Agreements or local law, the distinction 
between the rules of engagement applicable to military forces and the 
prescribed rules for the use of force that control the use of weapons by 
civilians, and the Law of Armed Conflict.
    (E) Written acknowledgment by the PSC and its individual PSC 
personnel, after investigation of background of PSC personnel by the 
contractor, verifying such personnel are not prohibited under U.S. law 
to possess firearms.
    (F) Written acknowledgment by the PSC and individual PSC personnel 
that:
    (1) Inappropriate use of force by contractor personnel authorized to 
accompany the U.S. Armed Forces may subject such personnel to United 
States or host nation prosecution and civil liability.\13\
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    \13\ This requirement is specific to arming procedures. Such written 
acknowledgement should not be construed to limit potential civil and 
criminal liability to conduct arising from ``the use of weapons.'' For 
example, PSC personnel could be held criminally liable for any conduct 
that would constitute a Federal offense (see MEJA, 18 U.S.C. 3261(a)).
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    (2) Proof of authorization to be armed must be carried by each PSC 
personnel.
    (3) PSC personnel may possess only U.S.G.-issued and/or -approved 
weapons and ammunition for which they have been qualified according to 
paragraph (a)(1)(iii)(E) of this section.
    (4) PSC personnel were briefed about and understand limitations on 
the use of force.
    (5) Authorization to possess weapons and ammunition may be revoked 
for non-compliance with established rules for the use of force.
    (6) PSC personnel are prohibited from consuming alcoholic beverages 
or being under the influence of alcohol while armed.
    (iv) Registration and identification in the Synchronized 
Predeployment and Operational Tracker (or its successor database) of 
armored vehicles, helicopters, and other vehicles operated by PSC 
personnel.
    (v) Reporting alleged criminal activity or other incidents involving 
PSCs or PSC personnel by another company or any other person. All 
incidents involving the following shall be reported and documented:
    (A) A weapon is discharged by an individual performing private 
security functions;
    (B) An individual performing private security functions is killed or 
injured in the performance of their duties;
    (C) A person other than an individual performing private security 
functions is killed or injured as a result of conduct by PSC personnel;
    (D) Property is destroyed as a result of conduct by a PSC or PSC 
personnel;
    (E) An individual performing private security functions has come 
under attack including in cases where a weapon is discharged against an 
individual performing private security functions or

[[Page 935]]

personnel performing such functions believe a weapon was so discharged; 
or
    (F) Active, non-lethal counter-measures (other than the discharge of 
a weapon) are employed by PSC personnel in response to a perceived 
immediate threat in an incident that could significantly affect U.S. 
objectives with regard to the military mission or international 
relations. (Active non-lethal systems include laser optical distracters, 
acoustic hailing devices, electro-muscular TASER guns, blunt-trauma 
devices like rubber balls and sponge grenades, and a variety of riot-
control agents and delivery systems).
    (vi) The independent review and, if practicable, investigation of 
incidents reported pursuant to paragraphs (a)(1)(v)(A) through 
(a)(1)(v)(F) of this section and incidents of alleged misconduct by PSC 
personnel.
    (vii) Identification of ultimate criminal jurisdiction and 
investigative responsibilities, where conduct of U.S.G.-funded PSCs or 
PSC personnel are in question, in accordance with applicable laws to 
include a recognition of investigative jurisdiction and coordination for 
joint investigations (i.e., other U.S.G. agencies, host nation, or third 
country agencies), where the conduct of PSCs and PSC personnel is in 
question.
    (viii) A mechanism by which a commander of a combatant command may 
request an action by which PSC personnel who are non-compliant with 
contract requirements are removed from the designated operational area.
    (ix) Interagency coordination of administrative penalties or 
removal, as appropriate, of non-DoD PSC personnel who fail to comply 
with the terms and conditions of their contract, as they relate to this 
part.
    (x) Implementation of the training requirements contained below in 
paragraph (a)(2)(ii) of this section.
    (2) Specifically cover:
    (i) Matters relating to authorized equipment, force protection, 
security, health, safety, and relations and interaction with locals in 
accordance with DoD Instruction 3020.41, ``Contractor Personnel 
Authorized to Accompany the U.S. Armed Forces.''
    (ii) Predeployment training requirements addressing, at a minimum, 
the identification of resources and assistance available to PSC 
personnel as well as country information and cultural training, and 
guidance on working with host country nationals and military personnel.
    (iii) Rules for the use of force and graduated force procedures.
    (iv) Requirements and procedures for direction, control and the 
maintenance of communications with regard to the movement and 
coordination of PSCs and PSC personnel, including specifying 
interoperability requirements. These include coordinating with the Chief 
of Mission, as necessary, private security operations outside secure 
bases and U.S. diplomatic properties to include movement control 
procedures for all contractors, including PSC personnel.
    (b) Availability of Guidance and Procedures. The geographic 
Combatant Commander shall ensure the guidance and procedures prescribed 
in paragraph (a) of this section are readily available and accessible by 
PSCs and their personnel (e.g., on a Web page and/or through contract 
terms), consistent with security considerations and requirements.
    (c) Subordinate Guidance and Procedures. A sub unified commander or 
JFC, in consultation with the Chief of Mission, will issue guidance and 
procedures implementing the standing combatant command publications 
specified in paragraph (a) of this section, consistent with the 
situation and operating environment.
    (d) Consultation and Coordination. The Chief of Mission and the 
geographic Combatant Commander/sub unified commander or JFC shall make 
every effort to consult and coordinate responses to common threats and 
common concerns related to oversight of the conduct of U.S.G.-funded 
PSCs and their personnel.

[[Page 936]]



PART 161_IDENTIFICATION (ID) CARDS FOR MEMBERS OF THE UNIFORMED 
SERVICES, THEIR DEPENDENTS, AND OTHER ELIGIBLE INDIVIDUALS--
Table of Contents



    Subpart A_Identification (ID) Cards for Members of the Uniformed 
       Services, Their Dependents, and Other Eligible Individuals

Sec.
161.1 Purpose.
161.2 Applicability.
161.3 Definitions.
161.4 Policy.
161.5 Responsibilities.
161.6 Procedures.

       Subpart B_DoD Identification (ID) Cards: ID Card Life-Cycle

161.7 ID card life-cycle procedures.
161.8 ID card life-cycle roles and responsibilities.

  Subpart C_DoD Identification (ID) Cards: Benefits for Members of the 
  Uniformed Services, Their Dependents, and Other Eligible Individuals

161.9 DoD benefits,
161.10 Benefits for active duty members of the uniformed services.
161.11 Benefits for National Guard and Reserve members of the uniformed 
          services.
161.12 Benefits for former uniformed services members.
161.13 Benefits for retired members of the uniformed services.
161.14 Benefits for MOH recipients.
161.15 Benefits for Disabled American Veterans (DAV).
161.16 Benefits for transitional health care members and dependents.
161.17 Benefits for surviving dependents.
161.18 Benefits for abused dependents.
161.19 Benefits for former spouses.
161.20 Benefits for civilian personnel.
161.21 Benefits for retired civilian personnel.
161.22 Benefits for foreign affiliates.

    Authority: 10 U.S.C. 1061-1064, 1072-1074, 1074a-1074c, 1076, 1076a, 
1077, and 1095(k)(2), and 18 U.S.C. 499, 506, 509, 701, and 1001.

    Source: 79 FR 709, Jan. 6, 2014, unless otherwise noted.



    Subpart A_Identification (ID) Cards for Members of the Uniformed 
       Services, Their Dependents, and Other Eligible Individuals



Sec. 161.1  Purpose.

    This part:
    (a) Establishes policy, assigns responsibilities, and provides 
procedures for the issuing of distinct DoD ID cards. The ID cards shall 
be issued to uniformed service members, their dependents, and other 
eligible individuals and will be used as proof of identity and DoD 
affiliation.
    (b) Sets forth responsibilities and procedures for the DoD ID card 
life-cycle in accordance with this part.
    (c) Prescribes the benefits for commissary; exchange; morale, 
welfare, and recreation (MWR); Military Health Services direct care in 
military treatment facilities (MTFs); and TRICARE civilian health care 
(CHC) in support of the members of the uniformed services, their 
dependents, and other eligible individuals, in accordance with this 
part.



Sec. 161.2  Applicability.

    This part applies to:
    (a) The Office of the Secretary of Defense (OSD), the Military 
Departments (including the Coast Guard at all times, including when it 
is a Service in the Department of Homeland Security by agreement with 
that Department), the Office of the Chairman of the Joint Chiefs of 
Staff and the Joint Staff, the Combatant Commands, the Office of the 
Inspector General of the Department of Defense, the Defense Agencies, 
the DoD Field Activities, and all other organizational entities within 
the Department of Defense (hereafter referred to collectively as the 
``DoD Components'').
    (b) The Commissioned Corps of the U.S. Public Health Service 
(USPHS), under agreement with the Department of Health and Human 
Services, and the National Oceanic and Atmospheric Administration 
(NOAA), under agreement with the Department of Commerce.

[[Page 937]]



Sec. 161.3  Definitions.

    Unless otherwise noted, these terms and their definitions are for 
the purpose of this part.
    20/20/20, 20/20/15, or 10/20/10. See definition of ``former 
spouse.''
    Access to a DoD network. User logon to a Windows active directory 
account on the Nonsecure Internet Protocol Router Network (NIPRNet) or 
an authorized network operating system account on the NIPRNet.
    Access to a DoD network (remote). Authorized NIPRNet users accessing 
a NIPRNet resource from:
    (1) Another NIPRNet resource outside of the originating domain; or
    (2) An authorized system that resides outside of the NIPRNet. This 
includes domain-level access from handheld devices. Remote access 
includes logon for the purposes of telework, Virtual Private Network, 
and remote administration by DoD or non-DoD personnel.
    Active duty. Full-time duty in the active military service of the 
United States. This includes full-time training duty, annual training 
duty, and attendance, while in the active military service, at a school 
designated as a service school by law or by the Secretary of the 
Military Department concerned. Active duty does not include full-time 
National Guard duty.
    Active duty for a period of more than 30 days. Active duty under a 
call or order that does not specify a period of 30 days or less. When 
the ``Active Duty for a Period of More than 30 Days'' is established by 
consecutive sets of orders, their eligible dependents become entitled to 
TRICARE medical benefits on the first day of the set of orders that 
brings the period of active duty over 30 days.
    Adopted child. A child adopted before the age of 21 or, if enrolled 
in a full-time course of study at an institution of higher learning, 
before the age of 23. Except for entitlement to medical care, a child 
with an incapacitating condition that existed before the age of 21 or 
that occurred while the child was a full-time student prior to the age 
of 23, may be adopted at any age provided it is determined that there is 
a BONA FIDE parent-child relationship. Surviving children adopted by a 
non-military member after the death of the sponsor remain eligible for 
medical care only.
    Annulled. The status of an individual, whose marriage has been 
declared a nullity by a court of competent jurisdiction, that restores 
unremarried status to a widow, widower, or former spouse for 
reinstatement of benefits.
    Attainment of age 65. The first day of the month of the anniversary 
of the 65th birthday, unless the birthday falls on the first of the 
month. If the birthday is the first of the month, attainment of age 65 
occurs on the first day of the preceding month.
    Benefits. Entitlements or privileges that are assigned to a person 
or group of persons.
    CAC PIN reset (CPR). A portable, single-purpose system capable of 
providing timely PIN reset capability to the field without requiring a 
Common Access Card (CAC) holder to return to a CAC issuance facility 
(i.e. Real-Time Automated Personnel Identification System (RAPIDS), 
workstation).
    Certified document. Must be a certified true original and should 
convey the appropriate seal or markings of the issuer, or have a means 
to validate the authenticity of the document by a reference or source 
number, or be a notarized legal document or other document approved by a 
Judge Advocate, or have the appropriate certificate of authentication by 
a U.S. Consular Officer in the foreign country of issuance which attests 
to the authenticity of the signature and seal.
    Certified English translation. See requirements for certified 
document.
    CHC. Medical care provided through the TRICARE program including 
networks of CHC professionals, institutions, pharmacies, and suppliers 
to provide access to high-quality health care services.
    Child. A natural child, stepchild, or adopted child of the sponsor 
who is younger than 21 years of age. If 21 or older, the child may 
remain entitled if he or she is:
    (1) 21 or 22 years old and enrolled in a full-time course of 
education.
    (2) 21 or older but incapable of self-support because of a mental or 
physical incapacity that existed before the 21st birthday.

[[Page 938]]

    (3) 21 or 22 years old and was enrolled full-time in an accredited 
institution of higher learning but became incapable of self-support 
because of a mental or physical condition while a full-time student.
    Civilian employee. DoD civilian employees, as defined in 5 U.S.C. 
2105 are individuals appointed to positions by designated officials. 
Appointments to appropriated fund positions are either permanent or 
time-limited and the employees are on full-time, part-time, or 
intermittent work schedules. In some instances, the appointments are 
seasonal with either a full-time, part-time, or intermittent work 
schedule. Positions are categorized further as Senior Executive Service 
(SES), Competitive Service, and Excepted Service positions. In addition, 
DoD employs individuals paid from NAFs, as well as foreign national 
citizens outside the United States, its territories, and its 
possessions, in DoD activities overseas. The terms and conditions of 
host-nation citizen employment are governed by controlling treaties, 
agreements, and memoranda of understanding with the foreign nations.
    Civilian noncombatant personnel. Personnel who have been authorized 
to accompany military forces of the United States in regions of 
conflict, combat, and contingency operations and who are liable to 
capture and detention by the enemy as POWs.
    Commissary. A benefit granted to eligible personnel in accordance 
with this part and DoD Instruction 1330.17 (available at http://
www.dtic.mil /whs/directives /corres/pdf/ 133017p.pdf).
    Competitive service positions. See 5 U.S.C. 2102.
    Contingency operation. Defined in Joint Publication 1-02 (available 
at http://www.dtic.mil/doctrine/new--pubs/jp1--02.pdf).
    Contractor employee. An employee of a firm, or individual under 
contract or subcontract to the DoD, designated as providing services or 
support to the Department.
    Contractors authorized to accompany the force. Defined in Joint 
Publication 1-02.
    Cross-servicing. Agreement amongst all uniformed services to assist 
members regardless of the `parent service' of that member or their 
dependents for all matter ID card or benefits related when appropriate.
    Defense Enrollment Eligibility Reporting System (DEERS). The 
definitive centralized person data repository of identity and enrollment 
and eligibility verification data and associated contact information on 
members of the DoD Components, members of the Uniformed Services, and 
other personnel as designated by the DoD, and their eligible dependents 
and associated contact information.
    Dependent. An individual whose relationship to the sponsor leads to 
entitlement to benefits and privileges.
    Direct Care (DC). Medical care that TRICARE provides through the 
health care resources of the uniformed services through their clinics 
and MTFs. This does not include any medical care provided through the 
TRICARE CHC network.
    Dual eligible. A person who is entitled to Medicare Part A and 
enrolled in Medicare Part B and is also entitled to TRICARE medical 
benefits, in accordance with section 706 of Public Law 106-398 and 
Public Law 102-190, ``National Defense Authorization Act for Fiscal 
Years 1992 and 1993'' (available at http://thomas.loc. gov/cgi-bin /
query/ C?c102:./ temp/c102Uv pYbH).
    Dual status. A person who is entitled to privileges from two sources 
(e.g., a retired member, who is also the dependent of an active duty 
member; a retired-with-pay member who is employed overseas as a civilian 
by the U.S. Government and is qualified for logistical support because 
of that civilian employment; a member of a Reserve Component who is an 
eligible dependent of an active duty military sponsor; or a child, who 
is the natural child of one sponsor and the stepchild and member of a 
household of another sponsor).
    Eligibility documentation. Properly certified birth certificate or 
certificate of live birth authenticated by attending physician or other 
responsible person from a U.S. hospital or a MTF showing the name of at 
least one parent; properly certified marriage certification; properly 
certified final decree of divorce, dissolution, or annulment of marriage 
and statements attesting to

[[Page 939]]

nonremarriage and status of employer-sponsored healthcare; court order 
for adoption or guardianship; statement of incapacity from a physician 
or personnel or medical headquarters of sponsor's parent uniformed 
service; letter from school registrar; retirement orders (providing 
entitlement to retired pay is established) or DD Form 214 ``Certificate 
of Release or Discharge from Active Duty;'' DD Form 1300, ``Report of 
Casualty;'' certification from the Department of Veterans' Affairs of 
100 percent disabled status; orders awarding Medal of Honor (MOH); 
formal determination of eligibility for Medicare Part A benefits from 
the Social Security Administration (SSA); civilian personnel records; 
and invitational travel orders.
    Entitlements. Rights or authorities that are provided based on 
legislative statute.
    Entry level separation. As defined in DoD Instruction 1332.14, 
``Enlisted Administrative Separations'' (available at http://
www.dtic.mil /whs/directives /corres /pdf/ 133214p.pdf), an enlisted 
service member is considered in an entry-level status during the first 
180 days of continuous active military service, or the first 180 days of 
continuous active service after a service break of more than 92 days of 
active service. A Service member of a Reserve Component who is not on 
active duty or who is serving under a call or order to active duty for 
180 days or less begins entry-level status upon enlistment in a Reserve 
Component. Entry-level status for such a Service member of a Reserve 
Component terminates as follows:
    (1) 180 days after beginning training if the Service member is 
ordered to active duty for training for one continuous period of 180 
days or more; or
    (2) 90 days after the beginning of the second period of active duty 
training if the Service member is ordered to active duty for training 
under a program that splits the training into two or more separate 
periods of active duty. For the purposes of characterization of service 
or description of separation, the Service member's status is determined 
by the date of notification as to the initiation of separation 
proceedings.
    Excepted service positions. Defined in 5 U.S.C. 2103.
    Exchange. A benefit that is extended to eligible individuals in 
accordance with DoD Instruction 1330.21.
    Family member. An individual who receives benefits based on his or 
her association to a sponsor. A family member is often a dependent.
    Federally controlled facility. Defined in Office of Management and 
Budget (OMB) Memorandum M-05-24, ``Implementation of Homeland Security 
Presidential Directive (HSPD) 12--Policy for a Common Identification 
Standard for Federal Employees and Contractors'' (available at http://
www.white house.gov/ sites/default /files/omb /memoranda /fy2005/ m05-
24.pdf).
    Foreign affiliate. An individual who is a foreign national, either 
foreign civilian; foreign contractor; or foreign uniformed services 
personnel who through assignment, temporary duty, school, training, 
policy board, or other defined agreement is affiliated with the DoD. 
They are identified to the DoD for benefits and DoD ID card purposes.
    Foreign national civilians and contractors. A category of personnel 
that are CAC-eligible if sponsored by their government as part of an 
official visit or assigned to work on a DoD facility and/or require 
access to DoD networks both on site or remotely (remote access must be 
on an exception only basis for this category).
    Former member. An individual who is eligible to receive retired pay, 
at age 60, for non-regular service pursuant to 10 U.S.C. chapter 1223 
but who has been discharged and who maintains no military affiliation. 
These former members, at age 60, and their eligible dependents are 
entitled to medical care, commissary, exchange, and MWR privileges. 
Under age 60, they and their eligible dependents are entitled to 
commissary, exchange, and MWR privileges only.
    Former spouse. An individual who was married to a uniformed services 
member for at least 20 years, and the member had at least 20 years of 
service creditable toward retirement, and the marriage overlapped as 
follows:
    (1) 20 years marriage, 20 years creditable service for retirement, 
and 20 years overlap between the marriage

[[Page 940]]

and the service (referred to as 20/20/20). The benefits eligibility 
begins on the date of divorce;
    (2) 20 years marriage, 20 years creditable service for retirement, 
and 15 years overlap between the marriage and the service (referred to 
as 20/20/15). The benefits eligibility begins on the date of divorce; or
    (3) A spouse whose marriage was terminated from a uniformed service 
member who has their eligibility to receive retired pay terminated as a 
result of misconduct based on Service-documented abuse of the spouse and 
has 10 years of marriage, 20 years of creditable service for retirement, 
10 years of overlap between the marriage and the service (referred to as 
10/20/10). The benefits eligibility begins on the date of divorce.
    Foster child. A child without parental support and protection, 
placed with a person or family, usually by local welfare services or by 
court order. The foster parent(s) do not have custody, nor is there an 
adoption, but they are expected to treat the foster child as they would 
their own in regard to food, housing, clothing, and education. This is a 
non-medically entitled dependent.
    Full-time work schedule. Full-time employment with a basic 40-hour 
work week.
    ID card sponsor. The person affiliated to a DoD or other Federal 
agency who takes responsibility for verifying and authorizing the 
applicant's need for an ID card.
    Inactive National Guard (ING). Part of the Army National Guard. 
These individuals are Reservists who are attached to a specific National 
Guard unit, but who do not participate in training activities. On 
mobilization, they shall mobilize with their assigned units. These 
members muster with their units once a year. Issuance of DD Form 1173-1 
``United States Uniformed Services Identification and Privilege Card 
(Guard and Reserve Family Member)'' to ING dependents is mandatory.
    Incapacitated person. An individual who is impaired by physical 
disability, mental illness, mental deficiency, or other causes that 
prevent sufficient understanding or capacity to competently manage his 
or her own affairs.
    Institution of higher learning. A college, university, or similar 
institution, including a technical or business school, offering post 
secondary-level academic instruction that leads to an associate or 
higher degree, if the school is empowered by the appropriate State 
education authority under State law to grant an associate or higher 
degree. When there is no State law to authorize the granting of a 
degree, the school may be recognized as an institution of higher 
learning if it is accredited for degree programs by a recognized 
accrediting agency. The term also includes a hospital offering 
educational programs at the post secondary level regardless of whether 
the hospital grants a post secondary degree. The term also includes an 
educational institution that is not located in a State that offers a 
course leading to a standard college degree or equivalent and is 
recognized as such by the Secretary of Education (or comparable 
official) of the country or other jurisdiction in which the institution 
is located.
    Individual Ready Reserve (IRR). Trained individuals who have 
previously served in the active component or Selected Reserve (SelRes) 
and have time remaining on their military service obligation. Includes 
volunteers who do not have time remaining on the military service 
obligation, but are under contractual agreement to be a member of the 
IRR. These individuals are mobilization assets and may be called to 
active duty pursuant to the provisions of 10 U.S.C. chapter 1209. 
Issuance of DD Form 1173-1 to IRR dependents is mandatory.
    Intergovernmental Personnel Act (IPA) employees. The IPA mobility 
program provides temporary assignment of personnel between the Federal 
Government and State and local governments, colleges and universities, 
Indian tribal governments, federally funded research and development 
centers, and other eligible organizations.
    Intermittent work schedule. Employment without a regularly scheduled 
tour of duty.
    Medicare. Health insurance for people age 65 or older, under 65 with 
certain disabilities, and any age with end-stage renal disease. The 
different parts of

[[Page 941]]

Medicare help cover specific services if certain conditions are met.
    (1) Medicare part A. Covers hospice care, home health care, skilled 
nursing facilities, and inpatient hospital stays.
    (2) Medicare part B. Covers doctors' services, outpatient hospital 
care, and other medical services that Part A does not cover, such as 
physical and occupational therapy. Other examples include X-rays, 
medical equipment, or limited ambulance service.
    Member. An individual who is affiliated with a Service, either 
active duty, Reserve, active duty retired, or Retired Reserve. Retired 
members are not former members. Also referred to as the sponsor.
    MWR. A benefit that is extended to eligible individuals in 
accordance with DoD Instruction 1015.10, ``Military Morale, Welfare, and 
Recreation (MWR) Programs'' (available at http://www.dtic. mil/whs/ 
directives/corres/ pdf/ 101510p.pdf).
    National Agency Check with Inquiries (NACI). Is the minimum 
investigation conducted by the Office of Personnel Management (OPM) for 
federal employment in nonsensitive positions and for individuals 
requiring eligibility for logical and physical access. The NACI consists 
of a records check (of designated agencies of the Federal Government 
that maintain record systems containing information relevant to making a 
personnel security determination) plus Written Inquiries to law 
enforcement agencies, former employers and supervisors, references and 
schools covering the last 5 years.
    Nonappropriated fund (NAF) employees. NAF employees are Federal 
employees within the Department who are paid from NAFs. 5 U.S.C. 2105 
explains the status of NAF employees as Federal employees.
    Non-regular service retirement. A person who, as a member of the 
Ready Reserve, serves on active duty or performs active service, after 
the date of the enactment of sections 647 and 1106 of Public Law 110-181 
and may receive retired pay in accordance with 10 U.S.C. 12731. Under 
these provisions the eligibility age for applying for retired pay shall 
be reduced below 60 years of age by 3 months for each aggregate of 90 
days on which the member performs in any fiscal year after such date, 
providing the applicant is at least 50 years of age. However, the member 
must be age 60 to qualify for CHC and CD.
    Part-time work schedule. Part-time employment of 16 to 32 hours a 
week under a schedule consisting of an equal or varied number of hours 
per day.
    Permanent employee. Career or career-conditional appointment in the 
Competitive or SES or an appointment in the Excepted Service that 
carries no restrictions or conditions.
    Placement agency (recognized by the Secretary of Defense). An 
authorized placement agency in the United States or U.S. territories 
must be licensed for adoption by the State or territory in which the 
adoption procedures will be completed. In all other locations, a request 
for recognition must be approved by the appropriate Assistant Secretary 
of the Military Department concerned or an appropriate official to whom 
he or she has delegated approval authority.
    Pre-adoptive child. With respect to determinations of dependency 
made on or after October 5, 1994, an unmarried person who is placed in 
the home of the member or former member by a placement agency 
(recognized by the Secretary of Defense) in anticipation of the legal 
adoption of the person by the member or former member; AND is:
    (1) Younger than 21 years of age and
    (2) Not an eligible dependent of any other member or a former 
member; or,
    (3) Between the ages of 21 and 23 and enrolled in a full-time course 
of study at an institution of higher learning approved by the 
administering Secretary; and is:
    (4) Dependent on the member or former member for over one-half of 
the student's support; or
    (5) Dependent on the member or former member for over one-half of 
the student's support at the time of the member's or former member's 
death.
    (6) Incapable of self support because of a mental or physical 
incapacity that occurred while the person was considered a dependent of 
the member or former member; and:
    (7) Is dependent on the member or former member for over one-half of 
the person's support or was at the time of

[[Page 942]]

the member's or former member's death.
    (8) Resides with the member or former member unless separated by the 
necessity of military service or to receive institutional care as a 
result of disability or incapacitation.
    Privileges. Rights or authorities that are provided based on 
position, authority, or status and may be removed by proper authority.
    Ready Reserve. Military members of the National Guard and Reserve, 
organized in units or as individuals, liable for recall to active duty 
to augment the active components in time of war or national emergency. 
The Ready Reserve consists of three Reserve Component subcategories: The 
SelRes, the IRR, and the ING.
    Remarried parent. A dependent parent of a deceased military member 
who loses dependency-based eligibility for benefits on remarriage.
    Retired Reserve entitled to pay at age 60 (Gray Area Retirees). 
Reserve members who have completed 20 qualifying years for retirement 
and are entitled to receive pay at age 60, but have not yet reached age 
60. Reserve Retirees and their dependents receive commissary, MWR, and 
exchange benefits until the sponsor receives retired pay. Individuals 
may be recalled to active duty in accordance with 10 U.S.C.
    Seasonal employment. Annually recurring periods of work of less than 
12 months each year. Seasonal employees generally are permanent 
employees who are placed in non-duty or non-pay status and recalled to 
duty in accordance with pre-established conditions of employment. 
Seasonal employees may have full-time, part-time, or intermittent work 
schedules.
    Selected Reserve (SelRes). Those National Guard and Reserve units 
and individuals within the Ready Reserve designated by their respective 
Services and approved by the Chairman of the Joint Chiefs of Staff, as 
so essential to initial wartime missions that they have priority over 
all other Reserves. They must be prepared to mobilize within 24 hours. 
The issuance of DD Form 1173-1 to their dependents and participation in 
the Guard and Reserve DEERS Enrollment Program are mandatory.
    Service Project Officer (SPO). The uniformed services, National 
Guard and Reserve Component, and agency-level office that coordinates 
with OUSD(P&R) on policy and functional matters related to DEERS, 
RAPIDS, and Trusted Associate Sponsorship System (TASS), and manages ID 
card operations within the respective organization.
    SES positions. Appropriated fund positions in an agency classified 
above General Service-15 pursuant to 5 U.S.C. 5108 or in level 4 or 5 of 
the Executive Schedule, or an equivalent position, which is not required 
to be filled by an appointment by the President by and with the advice 
and consent of the Senate.
    Site security manager (SSM). The SPO-appointed individual that 
manages the daily operations at a RAPIDS site to include managing users, 
cardstock, and consumables.
    Sponsor. The prime beneficiary who derives his or her eligibility 
based on individual status rather than dependence of another person. 
This beneficiary receives benefits based on his or her direct 
affiliation to the DoD.
    Spouse. A person legally married under the law of the place in which 
the marriage was celebrated to a current, former, or retired uniformed 
service member, eligible civilian employee, or other eligible 
individual, in accordance with Part 1 and Part 2, regardless of gender 
or state of residence.
    Standby Reserve. Personnel who maintain their military affiliation 
without being in the Ready Reserve, who have been designated key 
civilian employees, or who have a temporary hardship or disability. 
These individuals are not required to perform training and are not part 
of units. These individuals are trained and could be mobilized, if 
necessary, to fill manpower needs in specific skills.
    Temporary assignment. An appointment for a specified period not to 
exceed 1 year. A temporary assignment can be extended up to a maximum of 
1 additional year.
    Transitional Health Care (THC). A healthcare system, formerly known 
as Transition Assistance Management Program (TAMP), instituted in 
section 502 of Public Law 101-510. It includes

[[Page 943]]

pre-separation and separation services, the Continued Health Care 
Benefit Program, a voluntary insurance program for sponsors and eligible 
dependents separating from active service; pre-separation counseling 
service for separating uniformed services members; and various other 
transitional initiatives. Uniformed service members separated as 
uncharacterized entry-level separations do not qualify for THC. Section 
706 of Public Law 108-375 replaced the TAMP with the THC program. 
Section 651 of Public Law 110-181 included the 2-year commissary and 
exchange privilege for involuntarily separated uniformed service 
members. The DoD added MWR to the benefit set and extended the same 
benefits to the eligible dependents. To qualify for benefits under this 
program, individuals must be separated with service characterized as 
honorable or general under honorable conditions meeting the separation 
reasons identified in 10 U.S.C. 1145. The THC program is a permanent 
program and made the medical eligibility 180 days for all eligible 
uniformed service members and eligible dependents. Enlisted uniformed 
service members discharged for reasons of misconduct, discharge in lieu 
of court-martial, or other reasons for which service normally is 
characterized as under other than honorable conditions are not eligible 
for transition benefits. Officers discharged as a result of resignation 
in lieu of trial by court-martial, or misconduct or moral or 
professional dereliction if the discharge could be characterized as 
under other than honorable conditions are not eligible for transition 
benefits. Pursuant to 10 U.S.C. 1145, the qualifying periods of active 
duty include:
    (1) A member who is involuntarily separated from active duty.
    (2) A member of a Reserve Component who is separated from active 
duty to which called or ordered in support of a contingency operation if 
the active duty is for a period of more than 30 days.
    (3) A member who is separated from active duty for which the member 
is involuntarily retained in accordance with 10 U.S.C. 12305 in support 
of a contingency operation.
    (4) A member who is separated from active duty served pursuant to a 
voluntary agreement of the member to remain on active duty for a period 
of less than 1 year in support of a contingency operation.
    (5) A member who receives a sole survivorship discharge (as defined 
in 10 U.S.C. 1174); or
    (6) A member who is separated from active duty who agrees to become 
a member of the SelRes. Section 734 of Public Law 110-417, which took 
effect on October 14, 2008 extended THC benefits to a uniformed service 
member who is separated from active duty who agrees to become a member 
of the SelRes of the Ready Reserve of a Reserve Component.
    Trusted Agent (TA). An individual appointed by a TASM that serves as 
a sponsor for eligible populations within TASS, utilizes TASS to 
register data for the DD Form 1172-2 (available at http://www.dtic.mil /
whs/directives /infomgt/forms /eforms /dd1 172-2.pdf), re-verifies CAC 
holder affiliation, and revokes CACs.
    Trusted Agent Security Manager (TASM). An individual appointed by a 
SPO to oversee the activity for a specific TASS site and associated TAs. 
These individuals also serve in the TA role.
    Trusted Associate Sponsorship System (TASS) (formerly known as 
Contractor Verification System (CVS)). A Web application used to verify 
that CAC applicants have the appropriate government sponsorship for the 
purpose of issuing CACs. The TASS web interface automates the DD Form 
1172-2 for tracking the request process and updating DEERS with 
applicant information required for CAC issuance. The system also 
provides a mechanism for periodic re-verification of contractor 
eligibility to ensure that information is current and contractor CACs do 
not remain active when not appropriate. This capability will be expanded 
to support registration and background investigation confirmation for 
additional CAC eligible populations.
    Unmarried. A widow or widower who remarried and whose marriage 
terminated by death or divorce, or a former spouse whose subsequent 
remarriage ended by death or divorce.

[[Page 944]]

    Unremarried. A widow or widower who has never remarried, or a former 
spouse whose only remarriage was to the same military sponsor (periods 
of marriage in this case may be combined to document eligibility for 
former spouse benefits).
    Verifying Official (VO). An individual who is responsible for 
validating eligibility of bona fide beneficiaries to receive benefits 
and entitlements.
    Ward. An unmarried person whose care and physical custody has been 
entrusted to the sponsor by a legal decree or other instrument that a 
court of law or placement agency (recognized by the Secretary of 
Defense) issues. Includes foster children and children for whom a 
managing conservator has been designated. Wards must be dependent on the 
sponsor for over half of their support. An identification card issued to 
a ward may reflect entitlement to medical care benefits with respect to 
determinations of dependency made on or after July 1, 1994, for children 
who are placed in the legal custody of the member or former member as a 
result of an order of a court of competent jurisdiction in the United 
States (or a territory or possession of the United States) for a period 
of at least 12 consecutive months; and either:
    (1) Has not attained the age of 21;
    (2) Has not attained the age of 23 and is enrolled in a full-time 
course of study at an institution of higher learning approved by the 
administering Secretary;
    (3) Is incapable of self support because of a mental or physical 
incapacity that occurred while the person was considered a dependent of 
the member or former member; or
    (4) Is dependent on the member or former member for over one-half of 
the person's support; resides with the member or former member unless 
separated by the necessity of military service or to receive 
institutional care as a result of disability or incapacitation or under 
such other circumstances as the administering Secretary may by 
regulation prescribe; and is not a dependent of a member or a former 
member under any other subparagraph.
    Widow. The spouse of a deceased male in the uniformed services.
    Widower. The spouse of a deceased female in the uniformed services.



Sec. 161.4  Policy.

    (a) It is DoD policy that a distinct DoD ID card shall be issued to 
uniformed service members, their dependents, and other eligible 
individuals and will be used as proof of identity and DoD affiliation.
    (b) DoD ID cards shall serve as the Geneva Convention Card for 
eligible personnel in accordance with DoD Instruction 1000.1, ``Identity 
Cards Required by the Geneva Convention'' (available at http://
www.dtic.mil /whs/ directives/corres /pdf/ 100001p.pdf).
    (c) DoD ID cards shall be issued through a secure and authoritative 
process in accordance with DoD Directive 1000.25, ``DoD Personnel 
Identity Protection (PIP) Program'' (available at http://www.dtic.mil /
whs/directives /corres/pdf /100 025p.pdf).
    (d) The CAC, a form of DoD ID card, shall serve as the Federal 
Personal Identity Verification (PIV) card for DoD implementation of 
Homeland Security Presidential Directive 12, ``Policy for a Common 
Identification Standard for Federal Employees and Contractors'' 
(available at http://www.dhs.gov /xabout/laws /gc--1217616 624097.shtm).
    (e) ID cards, in a form distinct from the CAC, shall be issued and 
will serve as proof of identity and DoD affiliation for eligible 
communities that do not require the Federal PIV card that complies with 
Homeland Security Presidential Directive 12 and FIPS Publication 201-1, 
``Personal Identity Verification (PIV) of Federal Employees and 
Contractors'' (available at http://csrc.nist.gov /publications/fips /
fips201- 1/FIPS- 201-1- chng1.pdf).



Sec. 161.5  Responsibilities.

    (a) The USD(P&R) shall:
    (1) Oversee implementation of the procedures within this part.
    (2) Establish overall policy and procedures for the issuance of ID 
cards to members of the uniformed services, their dependents, and other 
eligible individuals.
    (3) Establish minimum acceptable criteria for establishment and 
confirmation of personal identity, policy

[[Page 945]]

for the issuance of the DoD enterprise personnel identity credentials, 
and approve of additional systems under the PIP Program in accordance 
with DoD Directive 1000.25.
    (4) Act as the Principal Staff Assistant (PSA) for the DEERS, the 
RAPIDS, and the Personnel Identity Protection (PIP) Program in 
accordance with DoD Directive 1000.25.
    (5) Maintain the DEERS data system in support of the Department of 
Defense in accordance with applicable law and directives.
    (6) Develop and field the required RAPIDS infrastructure and all 
elements of field support to issue ID cards including but not limited to 
software distribution, hardware procurement and installation, on-site 
and depot-level hardware maintenance, on-site and Web-based user 
training and central telephone center support, and telecommunications 
engineering and network control center assistance.
    (7) In coordination with the Under Secretary of Defense for 
Intelligence (USD(I)), the Under Secretary of Defense for Acquisition, 
Technology, and Logistics (USD(AT&L)), and the DoD Chief Information 
Officer (DoD CIO) establish policy and oversight for CAC life-cycle 
compliance with FIPS Publication 201-1.
    (8) Establish procedures that will uniquely identify personnel with 
specific associations with the Department of Defense and maintain the 
integrity of the unique personnel identifier in coordination with the 
DoD Components in accordance with DoD Directive 8320.03, ``Unique 
Identification (UID) Standards for a Net-Centric Department of Defense'' 
(available at http://www.dtic.mil /whs/directives /corres /pdf/832 
003p.pdf).
    (b) The Assistant Secretary of Defense for Reserve Affairs 
(ASD(RA)), under the authority, direction, and control of the USD(P&R), 
shall develop policies and establish guidance for the National Guard and 
Reserve Component communities that affect benefits, entitlements, 
identity, and ID cards.
    (c) The Deputy Assistant Secretary of Defense for Military Community 
and Family Policy (DASD(MC&FP)), under the authority, direction, and 
control of the USD(P&R), shall develop policy and procedures to 
determine eligibility for access to DoD programs for MWR; commissaries; 
exchanges; lodging; children and youth; DoD schools; family support; 
voluntary and post-secondary education; and other military community and 
family benefits that affect identity and ID cards.
    (d) The Director, Defense Human Resources Activity (DHRA), under the 
authority, direction, and control of the USD(P&R), shall, in accordance 
with DoD Directive 1000.25:
    (1) Develop policies and procedures for the oversight, funding, 
personnel staffing, direction, and functional management of the PIP 
Program.
    (2) Coordinate with the Principal Under Secretary of Defense for 
Health Affairs (ASD(HA)), and the ASD(RA) on changes to enrollment and 
eligibility policy and procedures pertaining to personnel, medical, and 
dental issues that affect the PIP Program.
    (3) Develop policies and procedures to support the functional 
requirements of the PIP Program, DEERS, and the DEERS client 
applications.
    (4) Secure funding in support of new requirements to support the PIP 
Program or the enrollment and eligibility functions of DEERS and RAPIDS.
    (5) Approve the addition or elimination of population categories 
eligible for ID cards in accordance with applicable law.
    (6) Establish the type and form of ID card issued to eligible 
populations categories and administer pilot programs to determine the 
suitable form of ID card for newly identified populations.
    (e) The USD(AT&L) shall:
    (1) Update the Defense Federal Acquisition Regulation Supplement 
(DFARS), current edition (available at http://www.acq.osd.mil /dpap/dars 
/dfarspgi /current /index.html) to support requirements for CAC and 
Homeland Security Presidential Directive 12 for contracts.
    (2) Ensure that the requirement for contractors to return CACs at 
the completion or termination of each individual's support on a specific 
contract is included in all applicable contracts.
    (f) The USD(I) shall:
    (1) Establish policy for the use of DoD issued ID cards for physical 
access purposes in accordance with DoD

[[Page 946]]

5200.08-R, ``Physical Security Program'' (available at http://
www.dtic.mil /whs/directives /corres /pdf/5200 08r.pdf).
    (2) Establish policy for military, civilian, and contractor employee 
background investigation, submission, and adjudication across the 
Department of Defense, in compliance with Homeland Security Presidential 
Directive 12 and Office of Personnel Management Memorandum, ``Final 
Credentialing Standards for Issuing Personal Identity Verification (PIV) 
Cards Under HSPD-12'' (available at http://www.opm.gov /investigate /
resources /final-- credentialing-- standards.pdf).
    (g) The DoD CIO shall:
    (1) In coordination with the USD(I), USD(P&R), and USD(AT&L), 
establish policy and oversight for CAC life-cycle compliance with 
Federal Information Processing Standards Publication 201-1.
    (2) Provide guidance regarding the use of DoD and non-DoD 
identification credentials on DoD information systems, including the 
Federal PIV cards, for authenticating to DoD network accounts and DoD 
private Web sites.
    (3) Ensure that the DoD Public Key Infrastructure (PKI) conforms to 
all applicable FIPS to the greatest extent possible.
    (h) The Heads of the DoD Components, the Director, USPHS, and the 
NOAA Administrator, shall:
    (1) Develop and implement Component-level procedures for DoD 
directed policies and statutory requirements to support benefits 
eligibility through DEERS.
    (2) Develop and implement Component-level ID card life-cycle 
procedures to comply with the provisions of this Instruction.
    (3) Ensure all DoD employees, uniformed service members, and all 
other eligible CAC applicants, including contractor employees and other 
affiliate CAC applicants, have met the background investigation 
requirements referenced in paragraph (a)(3) of Sec. 161.6 of this part 
prior to approving CAC sponsorship and registration. Background 
investigation status must be verified and documented by the sponsor or 
sponsoring organization in conjunction with application for CAC 
issuance.
    (4) Establish processes and procedures as part of the normal check-
in and check-out process for collection of the CAC for all categories of 
DoD personnel and contractor employees when there is a separation, 
retirement, termination, contract termination or expiration, or CAC 
revocation. Since CACs contain personally identifiable information 
(PII), they shall be treated and controlled in accordance with 32 CFR 
part 310, and DoD 5200.1-M, Volume 4, ``DoD Information Security 
Program: Controlled Unclassified Information (CUI)'' (available at 
http://www.dtic.mil /whs/directives /corres/pd f/520001-- vol4.pdf). 
CACs shall be returned to any RAPIDS issuance location for proper 
disposal in a timely manner once surrendered by the CAC holder.
    (5) Provide appropriate space and staffing for all DoD ID card 
issuing operations, as well as reliable telecommunications to and from 
the Defense Information Systems Agency managed Non-Classified Internet 
Protocol Router Network.
    (6) Provide funding for CAC cardstock, printer consumables, and 
electromagnetically opaque sleeves to Defense Manpower Data Center 
(DMDC).
    (7) Protect cardstock and consumables in accordance with the 
guidelines and standards issued and maintained by DMDC.
    (8) In accordance with Federal Information Processing Standards 
Publication 201-1, provide electromagnetic opaque sleeves or other 
comparable technologies to protect against any unauthorized contactless 
access to the cardholder unique identification number stored on the CAC.
    (9) Manage the distribution and locations of CAC personal 
identification number (PIN) reset workstations.
    (10) To the maximum extent possible, and in accordance with DoD 
Components' designated accrediting authority guidelines, ensure 
networked workstations are properly configured and available for CAC 
holders to use the User Maintenance Portal-Post Issuance Portal (UMP-
PIP) service.
    (11) Oversee supervision of TASS TAs and TA security managers and 
ensure

[[Page 947]]

the number of contractors overseen by any TA is manageable.
    (i) The Secretaries of the Military Departments; Director, USPHS; 
and Administrator, NOAA, shall:
    (1) Appoint project officers from a level that represents the 
Service position of the active, National Guard, and Reserve Components 
for personnel policy to serve on the Joint Uniformed Services Personnel 
Advisory Committee.
    (2) Comply with the provisions of this part and other related policy 
and procedural guidance from the Department of Defense.



Sec. 161.6  Procedures.

    (a) The DoD ID card life cycle shall be supported by an 
infrastructure that is predicated on a systems-based model for 
credentialing as described in FIPS Publication 201-1. Paragraphs (a)(1) 
through (7) of this section represent the baseline requirements for the 
life cycle of all DoD ID cards. The specific procedures and sequence of 
order for these items will vary based on the applicant's employment 
status or affiliation with the DoD and the type of ID card issued. 
Detailed procedures of the ID card life cycle for each category of 
applicant and type of ID card shall be provided by the responsible 
agency.
    (1) Sponsorship and eligibility. Sponsorship shall incorporate the 
processes for confirming eligibility for an ID card. The sponsor is the 
person affiliated with the DoD or other Federal agency who takes 
responsibility for verifying and authorizing the applicant's need for an 
ID card. Applicants for a CAC must be sponsored by a DoD government 
official or employee.
    (2) Registration and enrollment. Sponsorship and enrollment 
information on the ID card applicant shall be registered in DEERS prior 
to card issuance.
    (3) Background investigation. A background investigation is required 
for those individuals eligible for a CAC. A background investigation is 
not currently required for those eligible for other forms of DoD ID 
cards. Sponsored CAC applicants shall not be issued a CAC without a 
favorably adjudicated background investigation stipulated in FIPS 
Publication 201-1. Applicants that have been denied a CAC based on an 
unfavorable adjudication of the background investigation may submit an 
appeal in accordance with FIPS Publication 201-1 and Office of Personnel 
Management Memorandum, ``Final Credentialing Standards for Issuing 
Personal Identity Verification Cards under HSPD-12.''
    (4) Identity and eligibility verification. Identity and eligibility 
verification shall be completed at a RAPIDS workstation. Verifying 
officials (VOs) shall inspect identity and eligibility documentation and 
RAPIDS shall authenticate individuals to ensure that ID cards are 
provided only to those sponsored and with a current affiliation with the 
DoD. RAPIDS shall also capture uniquely identifying characteristics that 
bind an individual to the information maintained on that individual in 
DEERS and to the ID card issued by RAPIDS. These characteristics may 
include, but are not limited to, digital photographs and fingerprints.
    (5) Issuance. ID cards shall be issued at the RAPIDS workstation 
after all sponsorship, enrollment and registration, background 
investigation (CAC only), and identity and eligibility verification 
requirements have been satisfied.
    (6) Use and maintenance. ID cards shall be used as proof of identity 
and DoD affiliation to facilitate access to DoD facilities and systems. 
Additionally, ID cards shall represent authorization for entitled 
benefits and privileges in accordance with DoD policies.
    (7) Retrieval and revocation. ID cards shall be retrieved by the 
sponsor or sponsoring organization when the ID card has expired, when it 
is damaged or compromised, or when the card holder is no longer 
affiliated with the DoD or no longer meets the eligibility requirements 
for the card. The active status of an ID card shall be revoked within 
the DEERS and RAPIDS infrastructure and the PKI certificates on the CAC 
shall be revoked.
    (b) The guidelines and restrictions of this paragraph apply to all 
forms of DoD ID cards.
    (1) Any person willfully altering, damaging, lending, 
counterfeiting, or using these cards in any unauthorized

[[Page 948]]

manner is subject to fine or imprisonment or both, as prescribed in 18 
U.S.C. 499, 506, 509, 701, and 1001. Section 701 of 18 U.S.C. prohibits 
photographing or otherwise reproducing or possessing DoD ID cards in an 
unauthorized manner, under penalty of fine or imprisonment or both. 
Unauthorized or fraudulent use of ID cards would exist if bearers used 
the card to obtain benefits and privileges to which they are not 
entitled. Examples of authorized photocopying include photocopying of 
DoD ID cards to facilitate medical care processing, check cashing, 
voting, tax matters, compliance with 50 U.S.C. appendix 501 (also known 
as ``The Service member's Civil Relief Act''), or administering other 
military-related benefits to eligible beneficiaries. When possible, the 
ID card will be electronically authenticated in lieu of photographing 
the card.
    (2) International agreements (including status-of-forces agreements) 
and host-nation law may limit and/or define the types of support 
available to personnel in overseas areas. Although an ID card may be 
used to verify eligibility in the United States for access to, for 
example, commissary or exchange facilities, the use of such facilities 
overseas may be limited to persons who are stationed or performing 
temporary duty in a foreign country under official orders in support of 
a mutual defense mission with the host nation. ID cards shall be issued 
only for the purposes identified in and in accordance with this 
Instruction, and the Heads of the DoD Components shall use other means, 
such as ration cards, to implement provisions in international 
agreements or to prevent violations of applicable host-nation law. ID 
cards shall not be issued for the sole purpose of implementing 
provisions of international agreements or restrictions based on 
applicable host-nation law.
    (3) All ID cards are property of the U.S. Government and shall be 
returned upon separation, resignation, firing, termination of contract 
or affiliation with the DoD, or upon any other event in which the 
individual no longer requires the use of such ID card.
    (4) To prevent any unauthorized use, ID cards that are expired, 
invalidated, stolen, lost, or otherwise suspected of potential or actual 
unauthorized use shall be revoked in DEERS along with the PKI 
certificates on the CACs immediately revoked.
    (5) There are instances where graphical representations of ID cards 
are necessary to facilitate the DoD mission. When used and distributed, 
the replicas must not be the same size as the ID card, must have the 
word ``SAMPLE'' written on them, and shall not contain an individual's 
PII. All SAMPLE ID cards must be maintained in a controlled environment 
and shall not serve as a valid ID.
    (6) Individuals within the DoD who have multiple personnel category 
codes (e.g., an individual who is both a reservist and a contractor) 
shall be issued a separate ID card in each personnel category for which 
they are eligible. Multiple current ID cards of the same form (e.g., 
CAC) shall not be issued or exist for an individual under a single 
personnel category code.
    (7) ID cards shall not be amended, modified, or overprinted by any 
means. No stickers or other adhesive materials are to be placed on 
either side of an ID card. Holes shall not be punched into ID cards, 
except when a CAC has been requested by the next of kin for an 
individual who has perished in the line of duty. A CAC provided to next 
of kin shall have the status of the card revoked in DEERS, have the 
certificates revoked, and have a hole punched through the integrated 
circuit chip before it is released to the next of kin.
    (8) An ID card shall be in the personal custody of the individual to 
whom it was issued at all times. If required by military authority, it 
shall be surrendered for ID or investigation.
    (c) CAC migration to Federal PIV requirements. The DoD is migrating 
the CAC to meet the Federal requirements for credentialing contained 
within Homeland Security Presidential Directive 12 and FIPS Publication 
201-1. Migration will take place over multiple years as the card 
issuance hardware, software, and supporting systems and processes are 
upgraded. Successful migration will require coordination and 
collaboration within and among all CAC communities (e.g., personnel 
security, operational security, industrial

[[Page 949]]

security, information security, physical security, and information 
technology). The organizations listed in this section will support the 
migration in conjunction with the responsibilities listed in Sec. 
161.5:
    (1) The Director, DMDC shall:
    (i) Procure and distribute CAC consumables, including card stock, 
electromagnetically opaque sleeves, and printer supplies, commensurate 
with funding received from the DoD Components.
    (ii) In coordination with the Office of the Under Secretary of 
Defense for Policy, establish an electronic process for securing CAC 
eligibility information on foreign government military, employee, or 
contract support personnel whose visit status and background 
investigation has been confirmed, documented, and processed in 
accordance with DoD Directive 5230.20, ``Visits and Assignments of 
Foreign Nationals'' (available at http://www.dtic.mil /whs/directives /
corres /pdf/523 020p.pdf).
    (iii) In accordance with FIPS Publication 201-1, electronically 
capture and store source documents in the identity-proofing process at 
the accession points for eligible ID card holders.
    (iv) Implement modifications to the CAC applets and interfaces, add 
contactless capability to the CAC platform and implement modifications 
to the CAC topology to support compliance with FIPS Publication 201-1.
    (v) Establish and implement procedures for capturing biometrics 
required to support CAC issuance, which includes fingerprints and facial 
images specified in FIPS Publication 201-1 and National Institute of 
Standards and Technology Special Publication 800-76-1, ``Biometric Data 
Specification for Personal Identity Verification'' (available at http://
csrc.nist.gov /publications /nistpubs/ 800-76 -1/SP800- 76-1-- 
012407.pdf).
    (vi) In coordination with the Executive Manager for DoD Biometrics 
and the Office of the USD(AT&L), implement the capability to obtain two 
segmented images (primary and secondary) fingerprint minutiae from the 
full 10-print fingerprints captured as part of the initial background 
investigation process for CAC issuance.
    (vii) Maintain a capability for a CAC holder to reset or unlock PINs 
from a system outside of the CAC issuance infrastructure.
    (2) The Executive Manager for DoD Biometrics, as appointed by the 
Secretary of the Army as DoD Executive Agent for DoD Biometrics in 
accordance with DoD Directive 8521.01E, ``Department of Defense 
Biometrics'' (available at http://www.dtic.mil /whs/directives /corres /
pdf/ 852101p.pdf), shall:
    (i) Establish biometric standards for collection, storage, and 
subsequent transmittal of biometric information in accordance with DoD 
Directive 8521.01E (available at http://www.dtic.mil /whs /directives /
corres/pdf /852 101p.pdf).
    (ii) In coordination with the USD(P&R), the USD(I), and the Heads of 
the DoD Components, establish capability for biometric collection and 
enrollment operations to support CAC issuance in accordance with 32 CFR 
part 310 and National Institute of Standards and Technology Special 
Publication 800-76-1 (available at http://csrc.nist.gov /publications /
nistpubs /800-76 -1/SP800- 76-1-- 012407.pdf).
    (3) The Identity Protection and Management Senior Coordinating Group 
shall:
    (i) Monitor the CAC and identity management related activities 
outlined within this Instruction in accordance with DoD Directive 
1000.25 (available at http://www.dtic.mil /whs/directives /corres /pdf/
10 0025p.pdf).
    (ii) Maintain a configuration management process for the CAC and its 
related components to monitor DoD compliance with FIPS Publication 201-
1.



       Subpart B_DoD Identification (ID) Cards: ID Card Life-Cycle



Sec. 161.7  ID card life-cycle procedures.

    (a) Sponsorship and eligibility. In accordance with this part, 
sponsorship shall incorporate the processes for confirming eligibility 
for an ID card. The sponsor is the person affiliated with the DoD or 
other Federal agency who takes responsibility for verifying and 
authorizing the applicant's need for an ID card. Applicants for a CAC 
shall be sponsored by a DoD Government official or employee.
    (1) The population categories and specific ID cards for which 
applicants are eligible are listed in Appendix 1 of

[[Page 950]]

this section. The majority of these populations are eligible to be 
sponsored for an ID card based on either their employment status with 
the DoD or their authorization to receive DoD benefits and entitlements. 
Examples of these population categories include, but are not limited to: 
Uniformed services personnel; DoD civilian employees; military retirees; 
certain DoD beneficiaries; and the eligible dependents for these 
categories.
    (2) Specific populations, listed in paragraph (c)(2)(ii) of Appendix 
1 of this section who are eligible to submit for the ``U.S. DoD/
Uniformed Service ID Card'' may only be sponsored if they meet 
additional criteria. Examples of these population categories include DoD 
contractors, non-DoD Federal civilians, State employees, and other non-
DoD personnel that have an affiliation with the DoD other than through 
employment or contract. Eligibility for these approved population 
categories is based on the DoD Government sponsor's determination of the 
type and frequency of access required to DoD facilities or networks. For 
the populations described in this paragraph, the applicant's sponsor 
must confirm that the applicant meets one of the requirements in 
paragraphs (a)(2)(i) and (iii) of this section:
    (i) Both physical access to a DoD facility and access, via logon, to 
DoD networks on-site or remotely. Access to the DoD network must require 
the use of a computer with Government-controlled configuration or use of 
a DoD-approved remote access procedure in accordance with the Defense 
Information Systems Agency Security Technical Implementation Guide, 
``Secure Remote Computing'' (available at http://iase.disa.mil /stigs/a- 
z.html under ``Remote. . .'').
    (ii) Remote access, via logon, to a DoD network using DoD-approved 
remote access procedures.
    (iii) Physical access to multiple DoD facilities or multiple non-DoD 
federally controlled facilities on behalf of the DoD (applicable to DoD 
contractors only) on a recurring basis for a period of 6 months or more.
    (A) The frequency of ``recurring basis'' for access shall be 
determined by the DoD Component concerned in coordination with 
installation security policies.
    (B) CAC eligibility for applicants requiring physical access to 
multiple DoD facilities on a recurring basis for less than 6 months are 
risk-based decisions that shall be made by the DoD Component concerned 
in coordination with installation security policies. These applicants 
may instead be eligible for local or regional base passes in accordance 
with Office of the Under Secretary of Defense for Intelligence (USD(I)) 
and local installation security policies and procedures.
    (b) Registration and enrollment. In accordance with this part, 
sponsorship and enrollment information about the ID card applicant shall 
be registered in the DEERS prior to card issuance.
    (1) For uniformed services personnel and DoD civilians, all 
submissions to DEERS must be made electronically via an authorized data 
source feed (e.g., Civilian Personnel Management Service). Data source 
feeds for additional population categories shall be approved and 
incorporated by the Office of the USD(P&R) (OUSD(P&R)) as they become 
available.
    (2) The population categories that are not registered via an 
authorized data source feed will be registered in DEERS via the RAPIDS 
using the DD Form 1172-2 or via the TASS (formerly known as CVS, as 
described in Sec. 161.8 of this subpart.
    (c) Background Investigation. In accordance with this subpart, a 
background investigation is required for those individuals eligible for 
a CAC. A background investigation is not currently required for those 
eligible for other forms of DoD ID cards. The use of the CAC, as the DoD 
Federal personal identity verification (PIV) card, is governed and 
supported by additional policies when compared to non-CAC ID cards. 
Sponsored CAC applicants shall not be issued a CAC without the required 
background investigation stipulated in FIPS Publication 201-1, 
``Personal Identity Verification (PIV) of Federal Employees and 
Contractors'' (available at http://csrc.nist.gov /publications /fips /
fips 201-1/ FIPS-201- 1-chng1.pdf).
    (1) A background investigation shall be initiated by the sponsoring 
organization before a CAC can be issued. The

[[Page 951]]

mechanisms required to verify completion of background investigation 
activities for DoD, military, and civilian CAC populations are managed 
within the DoD human resources and personnel security communities and 
are linked to the CAC issuance process. An automated means is not 
currently in place to confirm the vetting for populations other than DoD 
military and civilian personnel such as CAC-eligible contractors and 
non-DoD Federal civilian affiliates. When data is not available within 
the CAC issuance infrastructure on the background investigation status 
for an applicant, the sponsor shall be responsible for confirming that 
the required background investigation procedures comply with the FIPS 
Publication 201-1 before a CAC is authorized for issuance.
    (2) Initial issuance of a CAC requires, at a minimum, the completion 
of the Federal Bureau of Investigation (FBI) fingerprint check with 
favorable results and submission of a NACI (or investigation approved in 
Federal Investigative Standards) to the USD(I) approved investigative 
service provider. Completed NACI's for CAC issuance shall be adjudicated 
in accordance with Office of Personnel Management Memorandum, ``Final 
Credentialing Standards for Issuing Personal Identity Verification Cards 
under HSPD-12'' (available at http://www.opm.gov /investigate /resources 
/final--credentialing --standards.pdf).
    (3) Except for uniformed services members, non-U.S. person CAC 
applicants that do not meet the criteria to complete a NACI (e.g., U.S. 
residency requirements), must meet one of the criteria in paragraph 
(c)(3)(i) or (ii) of this section prior to CAC issuance. CACs issued to 
these non-U.S. persons shall display a blue stripe as described in 
Appendix 2 of this section. Procedures for the acceptance of this CAC 
shall be in accordance with DoD policy for physical and logical access. 
The specific background investigation conducted on the non-U.S. person 
may vary based on governing international agreements. Non-U.S. persons 
must:
    (i) Possess (as foreign military, employee, or contract support 
personnel) a visit status and security assurance that has been 
confirmed, documented, and processed in accordance with international 
agreements pursuant to DoD Directive 5230.20, ``Visits and Assignments 
of Foreign Nationals'' (available at http://www.dtic.mil /whs/directives 
/corres /pdf/523 020p.pdf).
    (ii) Meet (as direct or indirect DoD hire personnel overseas) the 
investigative requirements for DoD employment as recognized through 
international agreements pursuant to Volume 1231 of DoD Instruction 
1400.25, ``DoD Civilian Personnel Management System: Employment of 
Foreign Nationals'' (available at http://www.dtic.mil /whs/directives /
corres/html /CPM-- table2.html). In addition to these investigative 
requirements, a fingerprint check against the FBI criminal history 
database, an FBI investigations files (name check search), and a name 
check against the Terrorist Screening Database shall be required prior 
to CAC issuance in accordance with Office of Personnel Management 
Memorandum, ``Final Credentialing Standards for Issuing Personal 
Identity Verification Cards under HSPD-12.''
    (d) Identity and eligibility verification. In accordance with this 
part, identity and eligibility verification shall be completed at a 
RAPIDS workstation. VOs shall inspect identity and eligibility 
documentation and RAPIDS shall authenticate individuals to ensure that 
ID cards are provided only to those sponsored and who have a current 
affiliation with the DoD. RAPIDS shall also capture uniquely identifying 
characteristics that bind an individual to the information maintained in 
DEERS and to the ID card issued by RAPIDS. These characteristics may 
include, but are not limited to, digital photographs and fingerprints.
    (1) Identity documents. Applicants for initial ID card issuance 
shall submit two identity documents in original form as proof of 
identity. A VO at a RAPIDS workstation shall inspect and verify the 
documents presented by the applicant before ID card issuance. The 
identity documents must come from the list of acceptable documents 
included in the Form I-9 ``Employment Eligibility Verification'' (http:/
/www.uscis.gov /files/form /i-9.pdf) in OMB No. 115-0136 or, for non-
U.S. persons,

[[Page 952]]

other sources as outlined within paragraph (d)(1)(ii). ``Certified 
true'' copies of the identity documentation may be accepted so long as 
they have been issued by the originating source (e.g., a copy of a birth 
certificate may be acceptable so long as it has been certified as valid 
by the issuing State). In accordance with applicable law, at least one 
of the two identity documents shall be a valid (unexpired) State or 
Federal Government-issued picture ID. The identity documents shall be 
inspected for authenticity and scanned and stored in the DEERS in 
accordance with the DMDC, ``Real-time Automated Personnel Identification 
System (RAPIDS) User Guide'' upon issuance of an ID card. The 
requirement for the primary identity document to have a photo cannot be 
waived for initial ID card issuance, consistent with applicable 
statutory requirements. Identity documentation requirements for renewal 
or re-issuance are provided in paragraph (e)(3) of this section. When it 
has been determined that a CAC applicant has purposely misrepresented or 
not provided his or her true identity, the case shall be referred by the 
relevant RAPIDS Service Project office (SPO) to the sponsoring DoD 
Component organization. The DoD Component organization concerned shall 
initiate an investigation or provide appeals procedures as appropriate. 
Exceptions to the identity documentation requirements for initial ID 
card issuance are provided in paragraphs (d)(1)(i) and (d)(1)(ii) of 
this section:
    (i) Children. Children under the age of 18 applying for a dependent 
ID card are only required to provide documentation for the initial 
verification of eligibility or proof of relationship to the sponsor 
described in paragraph (d)(2) of this section.
    (ii) Documentation for non-U.S. persons. At foreign locations, 
eligible non-U.S. persons may not possess identity documentation from 
the Form I-9 required for ID card issuance. These individuals shall 
still provide personal ID as required by the intent of this paragraph 
(d)(1). Non-U.S. persons within the continental United States (CONUS) 
shall present a valid (unexpired) foreign passport as the primary form 
of identity source documentation. DoD organizations based outside the 
CONUS should work with the local consular affairs office to determine 
guidelines for the appropriate identity documentation for eligible non-
U.S. persons in accordance with agreements with host nations. It is 
recommended that a foreign passport be used as the primary form of 
identity source documentation for these individuals. The requirement for 
the primary identity document to have a photo cannot be waived. 
Additional documentation used to verify identity must be original or 
certified true copies. All documentation not in English must have a 
certified English translation.
    (2) Eligibility documents. ID card applicants may be required to 
provide documentation as initial verification of eligibility for 
benefits or proof of relationship to the sponsor. The eligibility 
documents shall be inspected for authenticity by the VO and scanned and 
stored in DEERS in accordance with the procedures in DMDC, ``Real-time 
Automated Personnel Identification System (RAPIDS) User Guide.'' 
Specifications and the types of documents and how they are utilized to 
verify eligibility for a member or dependent based on their status 
(e.g., Retired, Reservist, spouse, former spouse, child) shall be 
established by the uniformed services subject to the guidelines in this 
subpart. All documentation used to verify eligibility must be original 
or certified true copies. All documentation not in English must have a 
certified English translation. Eligibility documentation is not required 
when DEERS can verify eligibility via an authoritative source or 
process.
    (3) DEERS verification. The VO shall utilize DEERS to verify 
affiliation and eligibility for benefits as described in subpart C of 
this part.
    (4) Biometrics. In accordance with DoD Directive 1000.25, ID card 
applicants shall provide two fingerprint biometric scans and a facial 
image, to assist with authenticating the applicant's identity and to 
bind the information maintained on that individual in DEERS and to the 
ID card issued by RAPIDS. These requirements shall be integrated into 
the ID card issuance processes in the following manner:

[[Page 953]]

    (i) A digitized, full-face passport-type photograph will be captured 
for the facial image and stored in DEERS and shall have a plain white or 
off-white background. No flags, posters, or other images shall appear in 
the photo. All ID cards issued will display a photograph.
    (ii) Two fingerprints are captured for storage within DEERS for 
applicable ID card applicants. The right and left index fingers shall 
normally be designated as the primary and secondary finger, 
respectively. However, if those fingers cannot be imaged, the primary 
and secondary designations shall be taken in the following order of 
priority: Right thumb, left thumb, right middle finger, left middle 
finger, right ring finger, left ring finger, right little finger, left 
little finger.
    (iii) If two fingerprints cannot be captured, the facial image will 
be the alternative for authenticating ID card applicants and ID card 
holders during the issuance process. Additionally, when verification or 
capture of biometrics is not possible, authorization will be provided by 
the RAPIDS SSM's digital signature. This transaction shall be subject to 
audit by DMDC and the uniformed services.
    (e) Issuance. In accordance with this part, ID cards shall be issued 
at the RAPIDS workstation after all sponsorship, enrollment and 
registration, background investigation (CAC only), and identity and 
eligibility verification requirements have been satisfied. Initial 
issuance of an ID card to an applicant will be contingent on satisfying 
the criteria in paragraphs (a) through (d) of this section.
    (1) Cross-servicing. The uniformed services agree to cross-service 
the issuance of ID cards when affiliation and eligibility can be 
verified in DEERS. When eligibility cannot be verified through DEERS, 
presentation of documentation shall be required. The uniformed services 
shall restrict cross-servicing for verification of the DD Form 1172-2 
and eligibility documentation to the parent uniformed service for the 
categories in paragraphs (e)(1)(i) through (viii) of this section:
    (i) Initial application for permanently incapacitated individuals 
over age 21 and temporarily incapacitated children over age 21.
    (ii) All dependent parents and parents-in-law.
    (iii) Illegitimate child of a male sponsor, whose paternity has not 
been judicially determined.
    (iv) Illegitimate child of spouse or sponsor.
    (v) Unremarried and unmarried former spouses applying for initial 
issuance of an ID card.
    (vi) Retiree from other services, and former members not currently 
enrolled in DEERS.
    (vii) Surviving dependents of Reserve Retirees on the sponsor's 60th 
birthday.
    (viii) Abused dependents.
    (ix) Wards.
    (2) Expiration dates. (i) Except as noted in paragraphs (e)(2)(i)(A) 
and (B) of this section, CACs shall be issued for a period not to exceed 
3 years from the date of issuance or contract expiration date, whichever 
is shorter. Unfunded contract options shall be considered in the 
determination of the length of contract. For example, a contractor hired 
under DoD contract with a base year plus 2 option years shall be issued 
a CAC with a 3-year expiration. The expiration date of the PKI 
certificates on the CAC shall match the expiration date on the card.
    (A) DD Form 1173, ``United States Uniformed Services ID and 
Privilege Card,'' or CACs issued to DoD civilian employees, contractors, 
and other eligible personnel assigned overseas or deploying in support 
of contingency operations shall have an expiration date coinciding with 
their deployment period end date.
    (B) Service Academy students shall be issued 4-year cards with 3-
year certificates.
    (ii) Non-CAC ID cards shall be given expiration dates in accordance 
with the guidance listed on http://www.cac.mil.
    (3) Renewal and reissuance. Consistent with applicable law, the 
applicant for ID renewal or reissuance shall be required to surrender 
the current DoD ID card that is up for renewal or reissuance except as 
indicated for lost and stolen ID cards in paragraph (e)(3)(iii) of this 
section. To authenticate renewal or reissuance applicants, the VO shall 
visually compare

[[Page 954]]

the applicant against the facial image stored in DEERS. For applicants 
who have fingerprint biometrics stored in DEERS, live fingerprint 
biometrics samples shall be checked against the applicant's DEERS 
record. If the biometric check confirms the identity of the renewal or 
reissuance applicant then no additional documentation is required to 
verify identity other than the ID card that is being renewed or reissued 
(documentation may still be required to verify or re-verify eligibility 
as described in paragraph (d)(2) of this section). As a general practice 
for renewal or re-issuance, two fresh fingerprint biometric captures may 
be stored for applicable personnel through the initial procedures in 
paragraph (d)(4)(ii) of this section to support DMDC's biometric update 
schedule.
    (i) An ID card holder may apply for a renewal starting 90 days prior 
to the expiration of a valid ID. The SPO can provide exceptions to this 
requirement.
    (ii) An ID card shall be reissued when printed information requires 
changes (e.g., pay grade, rank, change in eligibility), when any of the 
media (including printed data, magnetic stripe, bar codes, or integrated 
circuit chip) becomes illegible or inoperable, or when a CAC is known or 
suspected to be compromised.
    (iii) An ID card shall be reissued when it is reported lost or 
stolen. The individual reporting a lost or stolen ID card shall be 
required to provide a valid (unexpired) State or Federal Government-
issued picture ID as noted in paragraph (d)(1) of this section, 
consistent with applicable law, when available. If the individual is 
unable to present the required identity documentation, a biometric 
verification shall be used as proof of identity as described in 
paragraph (e)(3)(iii)(A) of this section. The VO shall verify the 
cardholder's identity against the biometric information stored in DEERS 
and confirm the expiration date of the missing ID card. The individual 
shall also be required to present documentation from the local security 
office or ID card sponsor confirming that the ID card has been reported 
lost or stolen. This documentation must be scanned and stored in DEERS. 
For dependents, the DD Form 1172-2 serves as the supporting 
documentation for a lost or stolen card. For individuals sponsored 
through TASS, the replacement ID card shall have the same expiration 
date as the lost or stolen card.
    (A) If no identity documentation is available but biometric 
information (facial image or fingerprint when applicable) in the DEERS 
database can be verified by the VO, an ID card can be reissued to the 
individual upon the additional approval of a SSM. This transaction shall 
be digitally signed and audited.
    (B) If biometric information cannot be verified, the requirements 
for initial issuance shall apply or a temporary card may be issued in 
accordance with paragraph (e)(4) of this section.
    (4) Temporary cards--(i) Temporary issuance of a CAC. During 
contingency operations, in the event there is no communication with the 
DEERS database or the certificate authority, a temporary CAC may be 
issued with an abbreviated expiration date for a maximum of 10 days. The 
temporary card will not have PKI certificates and will be replaced as 
soon as the member can reach an online RAPIDS station or communications 
have been restored. Additionally, the temporary CAC does not communicate 
or imply eligibility to any DoD benefit. This capability will be enabled 
only at affected RAPIDS sites and must have approval granted by DMDC.
    (ii) Temporary issuance of a Uniformed Services Identification card. 
There are multiple scenarios under which a temporary Uniformed Services 
Identification card may be issued. The uniformed services shall develop 
standard processes and procedures for scenarios requiring issuance of a 
temporary DD Forms 2765 ``Department of Defense/Uniformed Services 
Identification and Privilege Card'' or DD 1173, including but not 
limited to those situations where the applicant needs to obtain the 
necessary legal documentation or the sponsor is unavailable to provide 
an authorizing signature.
    (5) Multiple cards. Individuals shall be issued a separate ID card 
for each population category for which they qualify as described in 
Appendix 1 of this section. In instances where an individual has been 
issued more than one ID card

[[Page 955]]

(e.g., an individual that is eligible for an ID card as both a Reservist 
and as a DoD contractor employee), only the ID card that most accurately 
depicts the capacity in which the individual is affiliated with the DoD 
should be utilized at any given time.
    (f) Use and maintenance. In accordance with this part, ID cards 
shall be used as proof of identity and DoD affiliation to facilitate 
access to DoD facilities and systems. Additionally, ID cards shall 
represent authorization for entitled benefits and privileges in 
accordance with DoD policies. The CAC, as the DoD Federal PIV card, is 
governed and supported by additional policies and infrastructure when 
compared to non-CAC ID cards. This section provides additional guidance 
on CAC use and maintenance:
    (1) Access. The granting of access privileges is determined by the 
facility or system owner as prescribed by the DoD.
    (2) Accountability. CAC holders will maintain accountability of 
their CAC at all times while affiliated with the DoD.
    (3) PKI. Using the RAPIDS platform, DoD PKI identity and PIV 
authentication certificates will be issued on the CAC at the time of 
card issuance in compliance with OPM Memorandum, ``Final Credentialing 
Standards for Issuing Personal Identity Verification Cards under HSPD-
12.'' Email signature, email encryption, or PIV authentication 
certificates may also be available on the CAC either upon issuance or at 
a later time. If the person receiving a CAC does not have an 
organization email address assigned to them, they may return to a RAPIDS 
terminal or use milConnect to receive their email certificate when the 
email address has been assigned. To help prevent inadvertent disclosure 
of controlled information, email addresses assigned by an organization 
shall comply with DoD Instruction 8500.2, ``Information Awareness (IA) 
Implementation'' (available at http://www.dtic.mil /whs /directives /
corres /pdf/850 002p.pdf).
    (4) milConnect. DoD has a self-service Web site available that 
allows an authenticated CAC holder to add applets to the CAC, change the 
email address, add/update Email Signature and Email Encryption 
Certificates, and activate the Personal Identity Verification (PIV) 
Authentication certificate. This capability can be utilized from any 
properly configured UNCLASSIFED networked workstation. The milConnect 
Web site is https://www.dmdc.osd. mil/mil connect.
    (5) CAC Personal ID Number (PIN) Reset. DoD has manned workstations 
capable of resetting the PINs of a CAC holder with a locked card or 
forgotten PIN. These workstations are intended to provide alternative 
locations for CAC holders to service their cards other than RAPIDS 
issuance locations. To authenticate cardholders, live biometric samples 
shall be checked against the biometrics stored in DEERS prior to 
resetting CACs. This process requires the presence of a CPR trusted 
agent (CTA) or TASM or RAPIDS VO or SSM.
    (g) Retrieval and revocation. In accordance with this part, ID cards 
shall be retrieved by the sponsor or sponsoring organization when the ID 
card has expired, when it is damaged or compromised, or when the card 
holder is no longer affiliated with the DoD or no longer meets the 
eligibility requirements for the card. The active status of the card 
shall be terminated within the DEERS and RAPIDS infrastructure. The CAC, 
as the DoD Federal PIV card, is governed and supported by additional 
policies and infrastructure when compared to non-CAC ID cards. This 
section provides additional guidance on CAC retrieval and revocation:
    (1) CACs shall be retrieved as part of the normal organizational or 
command-level check-out processes. The active status of the CAC shall 
also be terminated in special circumstances (e.g., absent without leave, 
unauthorized absence, missing in action) in accordance with organization 
or command-level security policies.
    (2) The DoD sponsor or sponsoring organization is ultimately 
responsible for retrieving CACs from their personnel who are no longer 
supporting their organization or activity. CAC retrieval will be 
documented and treated as personally identifiable information, in 
accordance with DoD Regulation 5200.1-R, and 32 CFR part 310 and 
receipted to

[[Page 956]]

a RAPIDS site for disposition in a timely manner.
    (3) Upon loss, destruction, or revocation of the CAC, the 
certificates thereon are revoked and placed on the certificate 
revocation list in accordance with Assistant Secretary of Defense for 
Networks and Information Integration Certificate Policy, ``X.509 
Certificate Policy for the United States Department of Defense'' 
(available at http://jitc.fhu. disa.mil/pki/ documents/dod-- x509--
certificate-- policy-- v9--0--9-- february--2 005.pdf). All other 
situations that pertain to the disposition of the certificates are 
handled in accordance with Assistant Secretary of Defense for Networks 
and Information Integration Certificate Policy, ``X.509 Certificate 
Policy for the United States Department of Defense'' as implemented.

     Appendix 1 to Sec. 161.7--ID Card Descriptions and Population 
                         Eligibility Categories

    (a) Overview. Paragraphs (b) through (e) of this appendix contain 
information on the CAC type of ID card. The remaining paragraphs in the 
appendix contain information on all other versions of DoD enterprise-
wide ID cards. This appendix describes these cards and lists some of the 
categories of populations that are eligible to be sponsored for the 
cards under the guidelines described in paragraph (a) of Sec. 161.7; 
additional ID-card eligible categories are codified in subpart C of this 
part. RAPIDS accesses DEERS information collected by the DD Form 1172-2 
to generate all of the ID Cards identified in this appendix. The 
benefits and entitlements that support ID card eligibility for 
populations in this appendix are described in subpart C of this part. 
Guidelines and restrictions that pertain to all forms of DoD ID cards 
are included in this part.
    (b) Armed Forces of the United States Geneva Conventions ID Card--
(1) Description. This CAC is the primary ID card for uniformed services 
members and shall be used to identify the member's eligibility for 
benefits and privileges administered by the uniformed services as 
described in subpart C of this part. The CAC shall also be used to 
facilitate standardized, uniform access to DoD facilities, 
installations, and computer systems.
    (i) The card shall also serve as ID for purposes of Geneva 
Convention requirements in accordance with DoD Instruction 1000.01.
    (ii) If a member is captured as a hostage, detainee, or prisoner of 
war (POW), the card shall be shown to the capturing authorities, but, 
insofar as possible, should not be surrendered.
    (2) Eligibility. Those populations eligible for this type of CAC 
include:
    (i) Members of the regular components of the Military Services.
    (ii) Members of the Selected Reserve of the Ready Reserve of the 
Reserve Components.
    (iii) Members of the IRR of the Ready Reserve authorized in 
accordance with regulations prescribed by the Secretary of Defense to 
perform duty in accordance with 10 U.S.C. 10147.
    (iv) Uniformed services members of NOAA and USPHS.
    (c) U.S. DoD or Uniformed Services ID Card--(1) Description. This 
CAC is the primary ID card for eligible civilian employees, contractors, 
and foreign national affiliates and shall be used to facilitate 
standardized, uniform access to DoD facilities, installations, and 
computer systems.
    (2) Eligibility. (i) DoD civilian employees are eligible for this 
CAC, to include:
    (A) Individuals appointed to appropriated fund and NAF positions.
    (B) USCG and NOAA civilian employees.
    (C) Permanent or time-limited employees on full-time, part-time, or 
intermittent work schedules for 6 months or more.
    (D) SES, Competitive Service, and Excepted Service employees.
    (ii) Eligibility for additional populations shall be based on a 
combination of the personnel category and the DoD Government sponsor's 
determination of the type and frequency of access required to DoD 
networks and facilities described in paragraph (a) of Sec. 161.7 of 
this subpart. These personnel categories include:
    (A) Non-DoD civilian employees to include:
    (1) State employees working in support of the National Guard.
    (2) IPA employees.
    (3) Non-DoD Federal employees that are working in support of DoD but 
do not possess a Federal PIV card that is accepted by the sponsoring DoD 
Component. DoD Components shall obtain DHRA approval prior to 
sponsorship.
    (B) DoD contractors.
    (C) USCG and NOAA contractors.
    (D) Persons whose affiliation with DoD is established through:
    (1) Direct and Indirect Hiring Overseas. Non-U.S. citizens hired 
under an agreement with the host nation and paid directly by the 
uniformed services (direct hire) or paid by an entity other than the 
uniformed services for the benefits of the uniformed services (indirect 
hire).
    (2) Assignment as Foreign Military, Foreign Government Civilians, or 
Foreign Government Contractors to Support DoD Missions. Non-U.S. 
citizens who are sponsored by their government as part of an official 
visit or assignment to work with DoD.
    (3) Procurement Contracts, Grant Agreements or Other Cooperative 
Agreements. Individuals who have a established relationship between the 
U.S. Government and a State, a local

[[Page 957]]

government, or other recipient as specified in 31 U.S.C. 6303, 6304, and 
6305.
    (d) U.S. DoD or Uniformed Services ID and Privilege Card--(1) 
Description. This CAC is the primary ID card for civilian employees, 
contractors, and foreign national military, as well as other eligible 
individuals entitled to benefits and privileges administered by the 
uniformed services as described in subpart C of this part. The CAC shall 
be used to facilitate standardized, uniform access to DoD facilities, 
installations, and computer systems.
    (2) Eligibility. Specific population categories are entitled to 
benefits and privileges, in accordance with subpart C of this part, and 
shall be eligible for this CAC, to include:
    (i) DoD and uniformed services civilian employees (both appropriated 
and non-appropriated) when required to reside in a household on a 
military installation within the CONUS, Hawaii, Alaska, Puerto Rico, and 
Guam.
    (ii) DoD and uniformed services civilian employees when stationed or 
employed and residing in foreign countries for a period of at least 365 
days.
    (iii) DoD contractors when stationed or employed and residing in 
foreign countries for a period of at least 365 days.
    (iv) DoD Presidential appointees who have been appointed with the 
advice and consent of the Senate.
    (v) Civilian employees of the Army and Air Force Exchange System, 
Navy Exchange System, and Marine Corps Exchange System and NAF activity 
employees of the Coast Guard Exchange Service.
    (vi) Uniformed and non-uniformed full-time paid personnel of the Red 
Cross assigned to duty with the uniformed services within the CONUS, 
Hawaii, Alaska, Puerto Rico, and Guam, when required to reside in a 
household on a military installation.
    (vii) Uniformed and non-uniformed, full-time, paid personnel of the 
Red Cross assigned to duty with the uniformed services in foreign 
countries.
    (viii) Foreign military who meet the eligibility requirement of 
paragraph (a)(2) of Sec. 161.7 and are in one of the categories in 
paragraphs (d)(2)(viii)(A) through (C) of this appendix. Those foreign 
military not meeting the eligibility requirements for CAC as described 
in paragraph (a)(2) of Sec. 161.7 shall be issued a DD Form 2765 as 
described in paragraph (l) of this appendix.
    (A) Active duty officers and enlisted personnel of North Atlantic 
Treaty Organization (NATO) and Partnership For Peace (PFP) countries 
serving in the United States under the sponsorship or invitation of the 
DoD or a Military Department.
    (B) Active duty officers and enlisted personnel of non-NATO 
countries serving in the United States under the sponsorship or 
invitation of the DoD or a Military Department.
    (C) Active duty officers and enlisted personnel of NATO and non-NATO 
countries when serving outside the United States and outside their own 
country under the sponsorship or invitation of the DoD or a Military 
Department, or when it is determined by the major overseas commander 
that the granting of such privileges is in the best interests of the 
United States and such personnel are connected with, or their activities 
are related to, the performance of functions of the U.S. military 
establishment.
    (e) U.S. DoD or Uniformed Service Geneva Conventions ID Card for 
Civilians Accompanying the Armed Forces--(1) Description. This CAC 
serves as the DoD and/or Uniformed Services Geneva Conventions ID card 
for civilians accompanying the uniformed services and shall be used to 
facilitate standardized, uniform access to DoD facilities, 
installations, and computer systems.
    (2) Eligibility. The following population categories are eligible 
for this CAC:
    (i) Emergency-essential employees as defined in DoD Directive 
1404.10, ``DoD Civilian Expeditionary Workforce'' (available at http://
www.dtic.mil /whs/ directives/ corres/pdf /140410p.pdf).
    (ii) Contractors authorized to accompany the force (contingency 
contractor employees) as defined in Joint Publication 1-02 (available at 
http://www.dtic.mil /doctrine /new--pubs /jp1-- 02.pdf).
    (f) DD Form 2, ``Armed Forces of the United States Identification 
Card (Reserve).''--(1) Description. This is the primary ID card for RC 
members not eligible for a CAC. Benefits and privileges shall be 
administered by the uniformed services as described in subpart C of this 
part.
    (i) The DD Form 2S (RES) shall serve as ID for purposes of the 
Geneva Convention requirements in accordance with DoD Instruction 
1000.01.
    (ii) If a member is captured as a hostage, detainee, or POW, the DD 
Form 2S (RES), shall be shown to the capturing authorities, but, insofar 
as possible, should not be surrendered.
    (2) Eligibility. Those populations eligible for the DD Form 2S (RES) 
include:
    (i) Ready Reserve, who are not otherwise entitled to either DD Form 
2S (RET), ``Armed Forces of the United States Geneva Conventions 
Identification Card (Retired) (Blue),'' or a CAC.
    (ii) The Standby Reserve.
    (iii) The Reserve Officers' Training Corps College Program students 
that have signed a contract leading to military service.
    (g) DD Form 2S (Ret)--(1) Description. This is the primary ID card 
for retired uniformed services members entitled to retired pay. Benefits 
and privileges shall be administered

[[Page 958]]

by the uniformed services as described in subpart C of this part.
    (2) Eligibility. Members of the uniformed services who are entitled 
and in receipt of retired pay, or entitled and have waived their retired 
pay, are eligible for the DD 2S (RET).
    (h) DD Form 2, ``United States Uniformed Services Identification 
Card (Reserve Retired).''--(1) Description. This is the primary ID card 
for members of the National Guard or Reserves who have completed 20 
creditable years of service and have elected to be transferred to the 
Retired Reserve. They will qualify for pay at age 60, or earlier if they 
have qualified contingency service.
    (2) Eligibility. Members of the Reserve Components who are entitled 
to retired pay at age 60 (or earlier if they have qualified contingency 
service) and have not yet attained age 60 are eligible for the DD Form 2 
(Reserve Retired).
    (i) DD Form 1173--(1) Description. This is the primary ID card for 
dependents and other similar categories of individuals eligible for 
benefits and privileges administered by the uniformed services as 
described in subpart C of this part.
    (2) Eligibility. Specific population categories entitled to benefits 
and privileges as described in subpart C of this part are eligible for 
the DD Form 1173 to include:
    (i) Dependents of active duty Service members of the regular 
components, Reserve Component Service members on active duty for more 
than 30 days, and retirees.
    (ii) Surviving dependents of active duty members.
    (iii) Surviving dependents of retired military members.
    (iv) Surviving dependents of MOH recipients and surviving dependents 
of honorably discharged veterans rated by the Department of Veterans 
Affairs (VA) as 100 percent disabled from a uniformed services-connected 
injury or disease at the time of his or her death.
    (v) Accompanying dependents of foreign military.
    (vi) Dependents of authorized civilian personnel overseas.
    (vii) Other benefits eligible categories as described in subpart C 
of this part.
    (j) DD Form 1173-1, ``Department of Defense Guard and Reserve Family 
Member Identification Card.''--(1) Description. This is the primary ID 
card for dependents of Ready Reserve and Standby Reserve members not on 
active duty in excess of 30 days. When accompanied by a set of the 
sponsor's valid active duty orders, the card shall be used in place of a 
DD Form 1173 for a period of time not to exceed 270 days, if the member 
is called to active duty by congressional decree or Presidential call-up 
under 10 U.S.C. chapter 1209.
    (2) Eligibility. Eligible dependents of Reserve Component members 
and retirees as described in subpart C of this part are eligible for the 
DD Form 1173-1.
    (k) DD Form 2764, ``United States DoD/Uniformed Services Geneva 
Conventions Card.''--(1) Description. This is the primary ID for non-CAC 
eligible civilian noncombatant personnel who are deployed in conjunction 
with military operations overseas. The DD Form 2764 also replaces DD 
Form 489, ``Geneva Conventions Identity Card for Civilians Who Accompany 
the Armed Forces.''
    (2) Eligibility. Civilian noncombatant personnel who have been 
authorized to accompany U.S. forces in regions of conflict, combat, and 
contingency operations and who are liable to capture and detention by 
the enemy as POWs are eligible for the DD Form 2764 in accordance with 
DoD Instruction 1000.01.
    (l) DD Form 2765--(1) Description. This is the primary ID card for 
categories of individuals, other than current or retired members of the 
uniformed services, who are eligible for uniformed services benefits and 
privileges in their own right without requiring a current affiliation 
with another sponsor.
    (2) Eligibility. Those populations eligible for the DD Form 2765 
include:
    (i) Foreign national military personnel described in paragraph 
(d)(2)(viii) of this appendix that cannot meet all criteria for CAC 
issuance.
    (ii) Former members.
    (iii) Members eligible for transitional health care (THC). These 
individuals shall be eligible for DD Form 2765 (with a ``TA'' overstamp) 
showing expiration date for each benefit, as shown on the reverse of the 
card.
    (iv) MOH recipients.
    (v) DAV (rated 100 percent disabled by the Department of Veterans 
Affairs).
    (vi) Former spouse (that qualify as a DoD beneficiary).
    (vii) Civilian personnel in the categories listed in paragraphs 
(l)(2)(vii)(A) through (D) of this appendix:
    (A) Other U.S. Government agency civilian employees when stationed 
or employed and residing in foreign countries for a period of at least 
365 days.
    (B) Area executives, center directors, and assistant directors of 
the United Service Organization, when serving in foreign countries.
    (C) United Seaman's Service (USS) personnel in foreign countries.
    (D) Military Sealift Command (MSC) civil service marine personnel 
deployed to foreign countries on MSC-owned and -operated vessels.
    (m) DoD Civilian Retiree Card--(1) Description. This ID shall only 
be used to establish DoD civilian retiree identity and affiliation with 
the DoD.
    (2) Eligibility. Appropriated and NAF civilians that have retired 
from any DoD Service component or agency are eligible for the DoD 
Civilian Retiree Card. These civilians

[[Page 959]]

must have their retired status verified in DEERS before an ID card can 
be issued.
    (n) NOAA Retired Wage Mariner and Family Member Card--(1) 
Description. The NOAA Retired Wage Mariner and Family Member Card is a 
sub-category of the DoD Civilian Retiree Card and shall be used to 
establish identity and affiliation with the DoD and to identify the 
individual's eligibility for benefits and privileges administered by the 
uniformed services as described in subpart C of this part.
    (2) Eligibility. Retired Wage Mariners of NOAA and their dependents 
as described in subpart C of this part are eligible for the NOAA Retired 
Wage Mariners and Family Members Card.

           Appendix 2 to Sec. 161.7--Topology Specifications

    (a) Topology. Graphical representations of all CACs are maintained 
at www.cac.mil.
    (b) CAC stripe color coding. The CAC shall be color-coded as 
indicated in the Table to reflect the status of the holder of the card.
    (1) If a person meets more than one condition as shown in the Table, 
priority will be given to the blue stripe to denote a non-U.S. citizen 
unless the card serves as a Geneva Conventions card.
    (2) FIPS Publication 201-1 reserves the color red to distinguish 
emergency first responder officials. Until the DoD implementation of 
Homeland Security Presidential Directive 12 is complete, the color red 
will also be used to denote non-U.S. personnel in the same manner as the 
blue stripe in the Table (i.e., some cards with red stripes may continue 
to exist in circulation until the 3-year life cycle is complete).

                     Table--CAC Stripe Color Coding
------------------------------------------------------------------------
                                       U.S. military and DoD civilian
             No stripe               personnel or any personnel eligible
                                        for a Geneva Conventions card
------------------------------------------------------------------------
Blue..............................  Non-U.S. personnel, including DoD
                                     contract employees (other than
                                     those persons requiring a Geneva
                                     Conventions card).
------------------------------------------------------------------------
Green.............................  All U.S. citizen personnel under
                                     contract to the DoD (other than
                                     those persons requiring a Geneva
                                     Conventions card).
------------------------------------------------------------------------

    (c) CAC printed statements--(1) Eligible individuals who are 
permanently assigned in foreign countries for at least 365 days (it 
should be noted that local nationals are in their home country, not a 
foreign country) will have the word ``OVERSEAS'' printed within the 
authorized patronage area of the CAC.
    (2) The authorized patronage area for eligible individuals 
permanently assigned within CONUS will be blank. Travel orders authorize 
access for these individuals while en route to the deployment site.
    (3) During a conflict, combat, or contingency operation, civilian 
employees with a U.S. DoD or Uniformed Services Geneva Conventions ID 
Card for Civilians Accompanying the Uniformed Services will be granted 
all commissary; exchange; MWR; and medical privileges available at the 
site of the deployment, regardless of the statements on the ID card. 
Contractor employees possessing this ID card shall receive the benefit 
of those commissary, exchange, MWR, and medical privileges that are 
accorded to such persons by international agreements in force between 
the United States and the host country concerned and their letter of 
authorization.
    (4) The medical area on the card for individuals on permanent 
assignment in a foreign country will contain the statement: ``When TAD/
TDY or stationed overseas on a space available fully reimbursable 
basis.'' However, civilian employees and contractor employees providing 
support when forward deployed during a conflict, combat, or contingency 
operation are treated in accordance with 10 U.S.C. 10147 and chapters 
1209 and 1223 and DoD Instruction 3020.41, ``Operational Contract 
Support'' (available at http://www.dtic.mil /whs /directives/ corres/pdf 
/302 041p.pdf), and the Deputy Secretary of Defense Memorandum, ``Policy 
Guidance for Provision of Medical Care to Department of Defense Civilian 
Employees Injured or Wounded While Forward Deployed in Support of 
Hostilities'' (available at http://cpol.army.mil /library/ nonarmy/ 
dod--09 2407.pdf).
    (d) Blood type indicators. A blood type indicator is an optional 
data element on the ID card and will only appear on the card if the 
blood type is provided by an authoritative data source prescribed by 
TRICARE Management Activity.
    (e) Organ donor indicators. An organ donor indicator is an optional 
data element on the ID card and will only appear if the card applicant 
opts for this feature at the time of card issuance.



Sec. 161.8  ID card life-cycle roles and responsibilities.

    (a) General. This section provides the roles and responsibilities 
associated

[[Page 960]]

with a series of processes and systems that support the ID card life-
cycle. The requirements provided in this section may be supplemented by 
military Service guidance, DoD Component-level procedures and DMDC 
procedural and system documentation on DEERS, RAPIDS, TASS, and CPR.
    (b) Separation of duties. The ID card life-cycle includes a 
requirement for a separation of duties to support the issuance process. 
This rule requires more than one person to serve in an official role 
during the sponsorship and enrollment and issuance processes. 
Authorizing a RAPIDS SSM or VO to exercise the duties of a TASS TASM, 
TA, or sponsor would allow a single individual to control the ID card 
issuance process, from record creation to card issuance. Individuals 
serving in the role of a RAPIDS SSM or VO shall not exercise the role of 
the TASS TASM or TA or the role of the signatory sponsor on the DD Form 
1172-2. (In the case of their own dependents, a RAPIDS SSM or VO can 
serve as the sponsor on the DD Form 1172-2 but cannot serve as the VO 
for card issuance.)
    (c) DD Form 1172-2. The DD Form 1172-2 shall be used to collect the 
information necessary to register ID card and CAC applicants in DEERS 
via RAPIDS who are not enrolled through an authorized personnel data 
feed or are not registered through TASS. The DD Form 577, ``Appointment/
Termination Record--Authorized Signature,'' shall be used to verify the 
sponsoring individual's signature, when verification through RAPIDS is 
unavailable. This form is to be used primarily for DEERS enrollment and 
verification of initial and continued association for dependents and DoD 
affiliates (e.g., foreign national military). The DD Form 1172-2 shall 
also be used to add benefits conditions for eligible personnel in 
accordance with DMDC, ``Real-time Automated Personnel Identification 
System (RAPIDS) User Guide'' and subpart C of this part. Retention and 
disposition of the DD Form 1172-2 shall be in accordance with the 
uniformed services' regulatory instructions. In the absence of 
electronic verification of sponsorship for the enrollment or 
reenrollment of dependents, the sponsor signing block 65 in Section 5 of 
the DD Form 1172-2 for the ID card applicant:
    (1) Shall be a uniformed services member, retiree, civilian employee 
working for the sponsoring organization, or an individual entitled to 
DoD benefits in their own right, without requiring relationship to 
another sponsor, as described in subpart C of this part.
    (2) Must be a DoD ID card or CAC holder.
    (3) Shall establish the applicant's initial and continued 
relationship to the sponsor, affiliation with DoD, and need for a CAC 
card in accordance with this subpart and DoD Component-level procedures.
    (d) TASS. TASS shall serve as the sponsorship and DEERS data 
registration tool for CAC-eligible DoD contractors and other populations 
as determined by the Director, DHRA. TASS employs an automated version 
of the DD Form 1172-2 to collect information necessary for DEERS 
enrollment. Organizations that use TASS shall adhere to the following 
guidelines on user roles:
    (1) Service Point of Contact (SPOC). A DoD Component that utilizes 
TASS shall appoint a SPOC for TASS management and operation. The SPOC 
shall coordinate with the DMDC to establish a site with TASS capability. 
The SPOC shall create policies, operating procedures, and other 
supporting documentation in support of the Service or agency-specific 
implementation. The SPOC will oversee TASM registration, and provide any 
other required field support. The TASS SPOC:
    (i) Must be a U.S. citizen.
    (ii) Must be a uniformed services member, civilian employee working 
for the sponsoring organization, or a DoD contractor providing 
management support to the service or agency implementing TASS (a 
contractor cannot perform the TA or TASM role).
    (iii) Must be capable of sending and receiving digitally signed and 
encrypted email.
    (iv) Must be a CAC holder.
    (v) Shall complete the training provided by DMDC for the TASM and TA 
roles.

[[Page 961]]

    (2) TASM. The TASM will act as a TA and oversee the activity for 
TASS site TAs. A TASS TASM:
    (i) Must be a U.S. citizen.
    (ii) Must be a uniformed services member or a DoD civilian employee 
working for the sponsoring organization.
    (iii) Must be capable of sending and receiving digitally signed and 
encrypted email.
    (iv) Must be a CAC holder.
    (v) Shall complete the training provided by DMDC for the TASM role.
    (3) TA. TAs shall be sponsors for eligible populations within TASS 
and will utilize TASS to register data for the DD Form 1172-2, re-verify 
CAC holder affiliation, and revoke CACs in accordance with this part and 
the DMDC ``Contractor Verification System TASS (CVS) TASM/TA and 
Applicant User Guides, Version 3.03'' (available at https://
www.dmdc.osd.mil /appj/cvs/ login). Sponsoring an applicant is a multi-
step process which includes establishing the individual's eligibility in 
accordance with paragraph (a) of Sec. 161.7 of this subpart and 
verifying that the individual has the necessary background investigation 
completed to be issued a CAC in accordance with paragraph (c) of Sec. 
161.7 of this subpart. A TASS TA:
    (i) Must be a U.S. citizen.
    (ii) Must be a uniformed services member, a DoD civilian employee 
working for the sponsoring organization, or a non DoD Federal agency 
employee approved by DHRA.
    (iii) Must be capable of sending and receiving digitally signed and 
encrypted email.
    (iv) Must be a CAC holder.
    (v) Shall complete the training provided by DMDC for the TA role.
    (vi) Shall manage no more than 100 active contractors at any given 
time within TASS. Exceptions to this limit can be authorized by the DoD 
Component concerned to address specific contract requirements that 
substantiate a need for a larger contractor-to-TA ratio. The DoD 
Component SPOC shall document any authorized exceptions to the 100-
contractors limit and shall, at a minimum, conduct annual audits on the 
oversight functions of these specific TAs.
    (vii) Shall coordinate with their contracting personnel when 
establishing the contractor's initial and continued affiliation with DoD 
and need for CACs in accordance with agency or Component-level 
procedures.
    (viii) Shall coordinate with their contracting, human resources, or 
personnel security organizations to confirm that the appropriate 
background check has been completed for CAC applicants.
    (ix) Shall re-verify a CAC holder's need for a CAC every 6 months 
(180 days) within TASS.
    (x) Shall revoke the CAC within the TASS upon termination of 
employment or completion of affiliation with the DoD.
    (xi) Shall ensure that the CAC is retrieved upon the CAC holder's 
termination of employment or completion of affiliation with the DoD.
    (e) RAPIDS. RAPIDS must be operated in accordance with DMDC, ``Real-
time Automated Personnel Identification System (RAPIDS) User Guide.'' 
RAPIDS shall be supported by:
    (1) SSM. The SSM shall manage the daily operations at a RAPIDS site 
to include managing users, cardstock, and consumables. The SPO shall 
assign a primary and secondary SSM to each site to ensure the site 
continues to function in the absence of one of the SSMs. The SSM shall 
perform all responsibilities of a RAPIDS user (VO), as well as all SSM 
responsibilities. The SSM shall:
    (i) Be a U.S. citizen.
    (ii) Be a uniformed services member, civilian employee working for 
the sponsoring organization, or a DoD contractor.
    (iii) Be a CAC holder.
    (iv) Complete the training provided by DMDC for the SSM and VO 
roles.
    (v) Be responsible for supporting RAPIDS functions delineated in 
DMDC, ``Real-time Automated Personnel Identification System (RAPIDS) 
User Guide.''
    (vi) Must have a favorably adjudicated NACI.
    (2) VO. The VO shall complete identity and eligibility verification 
and card issuance functions in accordance with this part. The VO:
    (i) Must be a U.S. citizen.

[[Page 962]]

    (ii) Must be a uniformed services member, civilian employee working 
for the sponsoring organization, or a DoD contractor.
    (iii) Must be a CAC holder.
    (iv) Shall complete the training provided by DMDC for the VO role.
    (v) Be responsible for supporting RAPIDS functions delineated in 
DMDC, ``Real-time Automated Personnel Identification System (RAPIDS) 
User Guide.''
    (f) CPR. Organizations that utilize CPR shall adhere to the 
guidelines in this section on user roles:
    (1) CPR project officer. The CPR project officer (CPO) shall be 
appointed by the Service or Agency as the focal point for day-to-day CPR 
management and operation. The CPO:
    (i) Must be a U.S. citizen.
    (ii) Must be a uniformed services member, civilian employee working 
for the sponsoring organization, or a DoD contractor.
    (iii) Must be a CAC holder.
    (iv) Must establish sites with CPR capability, oversee CPR TASM 
registration, and ensure other required field support in accordance with 
DMDC and Service- or agency-level guidelines.
    (2) CPR TASM. The CPR TASM manages the CPR trusted agent (CTA) 
operations. The CPR TASM:
    (i) Must be a U.S. citizen.
    (ii) Must be a uniformed services member, civilian employee working 
for the sponsoring organization, or a DoD contractor.
    (iii) Must be a CAC holder.
    (iv) Shall complete the required training and manage CTA operations 
in accordance with DMDC and Service- or agency-level guidelines.
    (3) CTA. The CTA's primary role is to provide PIN reset. The CTA:
    (i) Must be a U.S. citizen.
    (ii) Must be a uniformed services member, civilian employee working 
for the sponsoring organization, or a DoD contractor.
    (iii) Must be a CAC holder.
    (iv) Shall complete the required training and conduct CPR operations 
in accordance with DMDC and Service- or agency-level guidelines.



  Subpart C_DoD Identification (ID) Cards: Benefits for Members of the 
  Uniformed Services, Their Dependents, and Other Eligible Individuals



Sec. 161.9  DoD benefits.

    (a) The benefits population is defined by roles. There are roles 
that have a direct affiliation with the DoD, such as an active duty 
Service member, or those that have an association to someone who is 
affiliated, such as the spouse of an active duty member. This section 
reflects benefit eligibility established by law and affiliated DoD 
policy, and covers the roles that either receive CHC, direct care at an 
MTF, commissary, exchange, and MWR benefits, or are only affiliated to 
be issued a DoD-authorized CAC or uniformed services ID card. Sections 
161.10 through 161.22 identify the categories of eligible persons and 
their authorized benefits as they would be recorded in the Defense 
Eligibility Enrollment Reporting System (DEERS).
    (1) Sections 161.10 through 161.22 reflect the eligibility of 
persons for benefits.
    (2) A sponsor's begin date for benefit eligibility is based on the 
date the sponsor begins their affiliation with the Department.
    (3) A dependent's begin date for benefit eligibility is based on the 
date the dependent becomes associated as an eligible dependent to an 
eligible sponsor.
    (4) Guidance on benefit eligibility begin dates and ID card 
expiration dates based on benefits will be maintained at http://
www.cac.mil.
    (5) Refer to the figure for abbreviations for the tables in this 
subpart.

                  Figure--Benefits Table Abbreviations
------------------------------------------------------------------------
 
------------------------------------------------------------------------
CHC...............................  civilian health care.
DC................................  direct care at MTFs.
C.................................  commissary privileges.
MWR...............................  MWR privileges.
E.................................  exchange privileges.
------------------------------------------------------------------------



Sec. 161.10  Benefits for active duty members of the uniformed services.

    (a) This section describes the benefits for active duty uniformed 
services members and their eligible dependents administered by the 
uniformed services

[[Page 963]]

in accordance with 10 U.S.C. chapter 55 and DoD Instruction 1330.17, 
``Armed Services Commissary Operations'' (available at http://
www.dtic.mil /whs/directives /corres /pdf /133 017p.pdf); DoD 
Instruction 1330.21, ``Armed Services Exchange Regulations'' (available 
at http://www.dtic.mil /whs/ directives/corres /pdf/133 021p.pdf); and 
DoD Instruction 1015.10. Descriptions of benefits for National Guard and 
Reserve members and their eligible dependents are contained in Sec. 
161.11. Descriptions of benefits for surviving dependents of active duty 
uniformed services members are contained in Sec. 161.17.
    (1) Active duty service members. Active duty uniformed services 
members are eligible for benefits administered by the uniformed services 
as shown in Table 1.

                         Table 1 to Part 161--Benefits for Active Duty Members, Not Including National Guard or Reserve Members
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                              CHC                     DC                       C                     MWR                     E
--------------------------------------------------------------------------------------------------------------------------------------------------------
Member (Self).....................  No....................  Yes...................  Yes...................  Yes..................  Yes.
--------------------------------------------------------------------------------------------------------------------------------------------------------

    (2) Dependents of active duty members. Dependents of active duty 
members are eligible for benefits as shown in Table 2 to part 161. 
Benefits for the eligible dependents of National Guard or Reserve 
members, non-regular Service retirees not yet age 60, or members 
entitled to retired pay or who are in receipt of retired pay for non-
regular service, and non-regular Service retirees who are not in receipt 
of retired pay are identified in Sec. Sec. 161.11 through 161.14.

                                           Table 2 to Part 161--Benefits for Dependents of Active Duty Members
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                              CHC                     DC                       C                     MWR                     E
--------------------------------------------------------------------------------------------------------------------------------------------------------
Spouse............................  Yes...................  Yes...................  Yes...................  Yes..................  Yes.
Children, Unmarried, Under 21
 Years:
    Legitimate, adopted,            Yes...................  Yes...................  1.....................  2....................  2.
     stepchild, illegitimate child
     of record of female member,
     or illegitimate child of male
     member whose paternity has
     been judicially determined or
     voluntarily acknowledged.
    Ward..........................  3.....................  3.....................  3.....................  3....................  3.
    Pre-adoptive Child............  4.....................  4.....................  4.....................  4....................  4.
    Foster Child..................  No....................  No....................  1.....................  1....................  1.
Children, Unmarried, 21 Years and   5.....................  5.....................  1, 5..................  5....................  5.
 Over.
Father, Mother, Father-in-Law,      No....................  1.....................  1.....................  2....................  2.
 Mother-in-Law, Stepparent, or
 Parent by Adoption.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Notes:
1. Yes, if a member of a household maintained by or for an authorized sponsor and dependent on that sponsor for over 50 percent of his or her support.
  Children residing in the household of a separated spouse continue to be eligible for commissary privileges until there is a final divorce decree. In
  the case of a divorce, children residing in the household of a former spouse ARE NOT considered to be members of the authorized sponsor's household
  for commissary privileges. Exception: Children who reside with a former spouse meeting requirements for commissary privileges based on 20 years of
  marriage during a period the member or retired member performed 20 years of service, or the dependent is entitled to privileges as a result of sponsor
  abuse pursuant to 10 U.S.C. 1408(h).
2. Yes, if dependent on an authorized sponsor for over 50 percent support or children of a sponsor residing in the household of a former spouse (20-20-
  20 or 10-20-10).
3. Yes, if, for determination of dependency made on or after July 1, 1994, placed in the legal custody of the member as a result of a court of competent
  jurisdiction in the United States (or possession of the United States) for a period of at least 12 consecutive months; and:
a. Is dependent on the member for over 50 percent support.

[[Page 964]]

 
b. Resides with the member unless separated by the necessity of military service or to receive institutional care as a result of a disability or
  incapacitation or under such other circumstances as the administering Secretary or Director may, by regulation, prescribe.
4. Yes, if, for determinations of dependency made on or after October 5, 1994, placed in the home of the member by a placement agency (recognized by the
  Secretary of Defense) or by another organization authorized by State or local law to provide adoption placement, in anticipation of the legal adoption
  by the member.
5. Yes, if the child:
a. Has not attained the age of 23, is enrolled in a full-time course of study at an institution of higher learning approved by the administering
  Secretary and is dependent on the member for over 50 percent of the child's support; or
b. Is incapable of self-support because of a mental or physical incapacity that existed before age 21, or occurred before the age of 23 while a full-
  time student, while a dependent of a member and is dependent on the member for over 50 percent of the child's support.



Sec. 161.11  Benefits for National Guard and Reserve Members of the
Uniformed Services.

    (a) This section describes the benefits for National Guard and 
Reserve members of the uniformed services and their eligible dependents. 
Benefits for members of the Retired Reserve and their eligible 
dependents are described in Sec. 161.13. Benefits for surviving 
dependents of deceased National Guard and Reserve members are described 
in Sec. 161.17.
    (1) National Guard and Reserve members. National Guard and Reserve 
members are eligible for benefits based on being ordered to periods of 
active duty or full-time National Guard duty or active status in the 
SelRes, including Ready Reserve and Standby Reserve and participation in 
the Reserve Officer Training Corps.

                      Table 3 to Part 161--Benefits for National Guard and Reserve Members Not on Active Duty Greater Than 30 Days
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                              CHC                     DC                       C                     MWR                     E
--------------------------------------------------------------------------------------------------------------------------------------------------------
Member (Self).....................  No....................  No....................  Yes...................  Yes..................  Yes.
--------------------------------------------------------------------------------------------------------------------------------------------------------


                  Table 4 to Part 161--Benefits for National Guard and Reserve Members on Active Duty for Periods Greater Than 30 Days
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                              CHC                     DC                       C                     MWR                     E
--------------------------------------------------------------------------------------------------------------------------------------------------------
Member (Self).....................  No....................  Yes...................  Yes...................  Yes..................  Yes.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Notes:
1. This includes reported periods of early identification of Service members in support of a contingency operation in accordance with DoD Instruction
  7730.54, ``Reserve Components Common Personnel Data System (RCCPDS)'' (available at http://www.dtic.mil /whs/directives /corres/pdf/ 773054p.pdf).

    (2) Dependents of National Guard or Reserve Members. Dependents of 
National Guard or Reserve members are eligible for benefits as shown in 
Table 5.

                                    Table 5 to Part 161--Benefits for Dependents of National Guard or Reserve Members
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                              CHC                     DC                       C                     MWR                     E
--------------------------------------------------------------------------------------------------------------------------------------------------------
Spouse............................  1.....................  1.....................  Yes...................  Yes..................  Yes.
Children, Unmarried, Under 21
 Years:
    Legitimate, adopted,            1.....................  1.....................  2.....................  3....................  3.
     stepchild, illegitimate child
     of record of female member,
     or illegitimate child of male
     member whose paternity has
     been judicially determined or
     voluntarily acknowledged.
    Ward..........................  1, 4..................  1, 4..................  4.....................  4....................  4.
    Pre-adoptive Child............  1, 5..................  1, 5..................  5.....................  5....................  5.

[[Page 965]]

 
    Foster Child..................  No....................  No....................  2.....................  2....................  2.
Children, Unmarried, 21 Years and   1, 6..................  1, 6..................  2, 6..................  6....................  6.
 Over.
Father, Mother, Father-in-Law,      No....................  1, 2..................  2.....................  3....................  3.
 Mother-in-Law, Stepparent, or
 Parent by Adoption.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Notes:
1. Yes, if the sponsor is on active duty greater than 30 days. When the order to active duty period is greater than 30 days the eligibility for CHC and
  DC for eligible dependents begins on the first day of the active duty period.
2. Yes, if a member of a household maintained by or for an authorized sponsor and dependent on that sponsor for over 50 percent of his or her support.
  Children residing in the household of a separated spouse continue to be eligible for commissary privileges until there is a final divorce decree. In
  the case of a divorce, children residing in the household of a former spouse ARE NOT considered to be members of the authorized sponsor's household
  for commissary privileges. Exception: Children who reside with a former spouse meeting requirements for commissary privileges based on 20 years of
  marriage during a period the member or retired member performed 20 years of service, or the dependent is entitled to privileges as a result of sponsor
  abuse pursuant to 10 U.S.C. 1408(h).
3. Yes, if dependent on an authorized sponsor for over 50 percent support, or children of a sponsor residing in the household of a former spouse (20-20-
  20 or 10-20-10).
4. Yes, if, for determination of dependency made on or after July 1, 1994, placed in the legal custody of the member as a result of a court of competent
  jurisdiction in the United States (or possession of the United States) for a period of at least 12 consecutive months; and:
a. Is dependent on the member for over 50 percent support.
b. Resides with the member unless separated by the necessity of military service or to receive institutional care as a result of a disability or
  incapacitation or under such other circumstances as the administering Secretary may, by regulation, prescribe.
5. Yes, if, for determinations of dependency made on or after October 5, 1994, placed in the home of the member by a placement agency (recognized by the
  Secretary of Defense) or by another source authorized by State or local law to provide adoption placement, in anticipation of the legal adoption by
  the member.
6. Yes, if the child:
a. Has not attained the age of 23, is enrolled in a full-time course of study at an institution of higher learning approved by the administering
  Secretary, and is dependent on the member for over 50 percent of the child's support; or
b. Is incapable of self-support because of a mental or physical incapacity that existed before age 21, or occurred before the age of 23 while a full-
  time student, while a dependent of a member and is dependent on the member for over 50 percent of the child's support.



Sec. 161.12  Benefits for former uniformed services members.

    (a) This section describes the benefits for former uniformed 
services members and their eligible dependents. Former members are 
eligible to receive retired pay, at age 60, for non-regular service in 
accordance with 10 U.S.C. chapter 1223, but have been discharged from 
their respective Service or agency and maintain no military affiliation.
    (1) Former Members and their Eligible Dependents. Former members and 
their dependents are eligible for benefits as shown in Table 6 to part 
161.

                                             Table 6 to Part 161--Benefits for Former Members and Dependents
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                              CHC                     DC                       C                     MWR                     E
--------------------------------------------------------------------------------------------------------------------------------------------------------
Former Member (Self)..............  1.....................  1.....................  Yes...................  Yes..................  Yes.
Lawful Spouse.....................  1.....................  2.....................  Yes...................  Yes..................  Yes.
Children, Unmarried, Under 21
 Years:
    Legitimate, adopted,            1.....................  2.....................  3.....................  4....................  4.
     stepchild, illegitimate child
     of record of female member,
     or illegitimate child of male
     member whose paternity has
     been judicially determined or
     voluntarily acknowledged.
    Ward..........................  1, 5..................  2, 5..................  5.....................  5....................  5.
    Pre-adoptive Child............  1, 6..................  2, 6..................  6.....................  6....................  6.
    Foster Child..................  No....................  No....................  3.....................  3....................  3.
Children, Unmarried, 21 Years and   1, 7..................  2, 7..................  3, 7..................  7....................  7
 Over.

[[Page 966]]

 
Father, Mother, Father-in-Law,      No....................  2, 3..................  3.....................  4....................  4
 Mother-in-Law, Stepparent, or
 Parent by Adoption.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Notes:
1. Yes, if the former member is age 60 or over and in receipt of retired pay for non-regular service; and is:
a. Not entitled to Medicare Part A hospital insurance through the SSA, or
b. Entitled to Medicare Part A hospital insurance and enrolled in Medicare Part B medical insurance or qualified as an exception in accordance with
  section 706 of Public Law 111-84, ``National Defense Authorization Act for Fiscal Year 2010.''
2. Yes, if former member is age 60 or over and in receipt of retired pay for non-regular service.
3. Yes, if a member of a household maintained by or for an authorized sponsor and dependent on that sponsor for over 50 percent of his or her support.
  Children residing in the household of a separated spouse continue to be eligible for commissary privileges until there is a final divorce decree. In
  the case of a divorce, children residing in the household of a former spouse ARE NOT considered to be members of the authorized sponsor's household
  for commissary privileges. Exception: Children who reside with a former spouse meeting requirements for commissary privileges based on 20 years of
  marriage during a period the member or retired member performed 20 years of service, or the dependent is entitled to privileges as a result of sponsor
  abuse pursuant to 10 U.S.C. 1408(h).
4. Yes, if dependent on an authorized sponsor for over 50 percent support, or children of a sponsor residing in the household of a former spouse (20-20-
  20 or 10-20-10).
5. Yes, if, for determination of dependency made on or after July 1, 1994, placed in the legal custody of the member or former member as a result of a
  court of competent jurisdiction in the United States (or possession of the United States) for a period of at least 12 consecutive months; and:
a. Is dependent on the member for over 50 percent support.
b. Resides with the member or former member unless separated by the necessity of military service or to receive institutional care as a result of a
  disability or incapacitation or under such other circumstances as the administering Secretary may, by regulation, prescribe.
6. Yes, if, for determinations of dependency made on or after October 5, 1994, placed in the home of the member or former member by a placement agency
  (recognized by the Secretary of Defense) or by another source authorized by State or local law to provide adoption placement, in anticipation of the
  legal adoption by the member or former member.
7. Yes, if the child:
a. Has not attained the age of 23, is enrolled in a full-time course of study at an institution of higher learning approved by the administering
  Secretary, and is dependent on the former member for over 50 percent of the child's support; or
b. Is incapable of self-support because of a mental or physical incapacity that existed before age 21, or occurred before the age of 23 while a full-
  time student, while a dependent of a member or former member, and is dependent on the member or former member for over 50 percent of the child's
  support.



Sec. 161.13  Benefits for retired members of the uniformed services.

    (a) This section describes the benefits for retired uniformed 
service members entitled to retired pay and their eligible dependents. 
Retired uniformed service members are entitled to retired pay and 
eligible for benefits administered by the uniformed services in 
accordance with 10 U.S.C., DoD Instruction 1330.17, DoD Instruction 
1330.21, DoD Instruction 1015.10, and TRICARE Policy Manual 6010.57-M 
(available at http://www.tricare.mil /contracting /healthcare /t3manuals 
/change2/ tp08/c8s9--1.pdf). This includes voluntary, temporary, and 
permanent disability retired list (PDRL) retirees. Benefits for former 
members and their eligible dependents are described in Sec. 161.12.
    (1) Retired Members. Benefits for voluntary retired members and PDRL 
retirees are shown in Table 7 to part 161. Benefits for temporary 
disability retired list (TDRL) retirees are shown in Table 8 to part 
161.

                                      Table 7 to Part 161--Benefits for Voluntary Retired Members and PDRL Members
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                              CHC                     DC                       C                     MWR                     E
--------------------------------------------------------------------------------------------------------------------------------------------------------
Member (Self).....................  1.....................  Yes...................  Yes...................  Yes..................  Yes.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Notes:
1. Yes, if:
a. Not entitled to Medicare Part A hospital insurance through the SSA or
b. Entitled to Medicare Part A hospital insurance and enrolled in Medicare Part B medical insurance or qualified as an exception in accordance with
  section 706 of Public Law 111-84.


                                                     Table 8 to Part 161--Benefits for TDRL Members
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                              CHC                     DC                       C                     MWR                     E
--------------------------------------------------------------------------------------------------------------------------------------------------------
Member (Self).....................  1, 2..................  Yes...................  Yes...................  Yes..................  Yes.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Notes:

[[Page 967]]

 
1. If not removed sooner, retention of the service member on the TDRL shall not exceed a period of 5 years. The uniformed service member must be
  returned to active duty, separated with or without severance pay, or retired as PDRL in accordance with 10 U.S.C. 1210.
2. Yes, if:
a. Not entitled to Medicare Part A hospital insurance through the SSA or
b. Entitled to Medicare Part A hospital insurance and enrolled in Medicare Part B medical insurance or qualified as an exception in accordance with
  section 706 of Public Law 111-84.

    (2) Retired Reserve. Benefits for members of the Retired Reserve who 
have attained 20 creditable years of service, have not reached the age 
of 60, and are not in receipt of retired pay are shown in Table 9. When 
a Retired Reserve member is ordered to active duty greater than 30 days, 
their benefits will reflect what is shown in Table 10 to part 161. When 
a Retired Reserve member is in receipt of retired pay under age 60 (non-
regular Service retirement), or upon reaching age 60, their benefits 
will reflect what is shown in Table 11 to part 161.

                                                Table 9 to Part 161--Benefits for Retired Reserve Members
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                              CHC                     DC                       C                     MWR                     E
--------------------------------------------------------------------------------------------------------------------------------------------------------
Member (Self).....................  No....................  No....................  Yes...................  Yes..................  Yes.
--------------------------------------------------------------------------------------------------------------------------------------------------------


                         Table 10 to Part 161--Benefits for Retired Reserve Members Ordered to Active Duty Greater Than 30 Days
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                              CHC                     DC                       C                     MWR                     E
--------------------------------------------------------------------------------------------------------------------------------------------------------
Member (Self).....................  No....................  Yes...................  Yes...................  Yes..................  Yes.
--------------------------------------------------------------------------------------------------------------------------------------------------------


                         Table 11 to Part 161--Benefits for Non-Regular Service Retirement for Qualifying Ready Reserve Members
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                              CHC                     DC                       C                     MWR                     E
--------------------------------------------------------------------------------------------------------------------------------------------------------
Member (Self).....................  1.....................  1.....................  Yes...................  Yes..................  Yes.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Notes:
1. Yes, if age 60 or over, and:
a. Applied for or in receipt of retired pay in accordance with 10 U.S.C. 1074. If in receipt of retired pay in accordance with the provisions of 10
  U.S.C. 12731, after the date of the enactment of section 647 of Public Law 110-181, ``National Defense Authorization Act for Fiscal Year 2008,'' the
  member must be age 60 to qualify for CHC and DC.
b. Not entitled to Medicare Part A hospital insurance through the SSA, or
c. Entitled to Medicare Part A hospital insurance and enrolled in Medicare Part B medical insurance or qualified as an exception in accordance with
  section 706 of Public Law 111-84.

    (3) Dependents. Dependents of retired uniformed services members 
entitled to retired pay, including TDRL and PDRL, non-regular Service 
retirees not yet age 60 not in receipt of retired pay; non-regular 
Service retirees entitled to retired pay in accordance with the 
provisions of 10 U.S.C. 12731 after the date of the enactment of section 
647 of Public Law 110-181; and non-regular Service retirees, age 60 or 
over, in receipt of retired pay for non-regular service in accordance 
with 10 U.S.C. chapter 1223, are eligible for benefits as shown in Table 
12 to part 161.

                                   Table 12 to Part 161--Benefits for Dependents of Retired Uniformed Services Members
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                              CHC                     DC                       C                     MWR                     E
--------------------------------------------------------------------------------------------------------------------------------------------------------
Lawful Spouse.....................  1.....................  2.....................  Yes...................  Yes..................  Yes.
Children, Unmarried, Under 21
 Years:

[[Page 968]]

 
    Legitimate, adopted,            1.....................  2.....................  3.....................  4....................  4.
     stepchild, illegitimate child
     of record of female member,
     or illegitimate child of male
     member whose paternity has
     been judicially determined or
     voluntarily acknowledged.
    Ward..........................  1, 5..................  2, 5..................  5.....................  5....................  5.
    Pre-adoptive Child............  1, 6..................  2, 6..................  6.....................  6....................  6.
    Foster Child..................  No....................  No....................  3.....................  3....................  3.
Children, Unmarried, 21 Years and   1, 7..................  2, 7..................  3, 7..................  7....................  7.
 Over.
Father, Mother, Father-in-Law,      No....................  2, 3..................  3.....................  4....................  4.
 Mother-in-Law, Stepparent, or
 Parent by Adoption.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Notes:
1. Yes, if the sponsor is:
a. Retired (as shown in Tables 7 and 8) and the dependent is not entitled to Medicare Part A hospital insurance through the SSA; or if entitled to
  Medicare Part A hospital insurance and enrolled in Medicare Part B medical insurance or qualified as an exception in accordance with section 706 of
  Public Law 111-84;
b. A National Guard or Reserve member on a period of active duty in excess of 30 days (as shown in Table 10). When the ordered to active duty period is
  greater than 30 days the eligibility for CHC and DC for the eligible dependents begins on the first day of the active duty period; or
c. A medically eligible non-regular Service Reserve Retiree, age 60 or over, as shown in Table 11.
2. Yes, if the sponsor is:
a. Retired (as shown in Tables 7 and 8);
b. A National Guard or Reserve member on a period of active duty in excess of 30 days (as shown in Table 10). When the ordered to active duty period is
  greater than 30 days the eligibility for CHC and DC for the eligible dependents begins on the first day of the active duty period; or
c. A medically eligible non-regular Service Reserve Retiree, age 60 or over, as seen in Table 11.
3. Yes, if a member of a household maintained by or for an authorized sponsor and dependent on that sponsor for over 50 percent of his or her support.
  Children residing in the household of a separated spouse continue to be eligible for commissary privileges until there is a final divorce decree. In
  the case of a divorce, children residing in the household of a former spouse ARE NOT considered to be members of the authorized sponsor's household
  for commissary privileges. Exception: Children who reside with a former spouse meeting requirements for commissary privileges based on 20 years of
  marriage during a period the member or retired member performed 20 years of service, or the dependent is entitled to privileges as a result of sponsor
  abuse pursuant to 10 U.S.C. 1408(h).
4. Yes, if dependent on an authorized sponsor for over 50 percent of his or her support or children of a sponsor residing in the household of a former
  spouse (20-20-20 or 10-20-10).
5. Yes, if, for determination of dependency made on or after July 1, 1994, placed in the legal custody of the member or former member as a result of a
  court of competent jurisdiction in the United States (or possession of the United States) for a period of at least 12 consecutive months; and:
a. Is dependent on the member for over 50 percent support.
b. Resides with the member or former member unless separated by the necessity of military service or to receive institutional care as a result of a
  disability or incapacitation or under such other circumstances as the administering Secretary may, by regulation, prescribe.
6. Yes, if, for determinations of dependency made on or after October 5, 1994, placed in the home of the member or former member by a placement agency
  (recognized by the Secretary of Defense) or by another source authorized by State or local law to provide adoption placement, in anticipation of the
  legal adoption by the member or former member.
7. Yes, if the child:
a. Has not attained the age of 23, is enrolled in a full-time course of study at an institution of higher learning approved by the administering
  Secretary, and is dependent on the former member for over 50 percent of the child's support; or
b. Is incapable of self-support because of a mental or physical incapacity that existed before age 21, or occurred before the age of 23 while a full-
  time student, while a dependent of a member or former member, and is dependent on the member or former member for over 50 percent of the child's
  support.



Sec. 161.14  Benefits for MOH recipients.

    (a) This section describes the benefits for MOH recipients and their 
dependents who are authorized pursuant to section 706 of Public Law 106-
398, ``National Defense Authorization Act for Fiscal Year 2001'' and who 
are not otherwise entitled to military medical and dental care. Section 
706 of Public Law 106-398 authorized MOH recipients not otherwise 
entitled to military medical and dental care and their dependents to be 
given care in the same manner that

[[Page 969]]

such care is provided to former uniformed service members who are 
entitled to military retired pay and the dependents of those former 
members. Eligibility for the benefits described in Table 13 to part 161 
begins on the date of award of the MOH but no earlier than October 30, 
2000.

                                            Table 13 to Part 161--Benefits for MOH Recipients and Dependents
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                              CHC                     DC                       C                     MWR                     E
--------------------------------------------------------------------------------------------------------------------------------------------------------
Self..............................  1.....................  2.....................  Yes...................  Yes..................  Yes.
Lawful Spouse.....................  1.....................  2.....................  Yes...................  Yes..................  Yes.
Children, Unmarried, Under 21
 Years:
    Legitimate, adopted,            1.....................  2.....................  3.....................  4....................  4.
     stepchild, illegitimate child
     of record of female member,
     or illegitimate child of male
     member whose paternity has
     been judicially determined or
     voluntarily acknowledged.
    Ward..........................  1, 5..................  2, 5..................  5.....................  5....................  5.
    Pre-adoptive Child............  1, 6..................  2, 6..................  6.....................  6....................  6.
    Foster Child..................  No....................  No....................  3.....................  3....................  3.
Children, Unmarried, 21 Years and   1, 7..................  2, 7..................  3, 7..................  7....................  7.
 Over.
Father, Mother, Father-in-Law,      No....................  2, 3..................  3.....................  4....................  4.
 Mother-in-Law, Stepparent, or
 Parent by Adoption.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Notes:
1. Yes, if the sponsor is a MOH recipient and is not otherwise entitled to medical care as of or after October 30, 2000 pursuant to section 706 of
  Public Law 106-398 and:
a. Is not entitled to Medicare Part A hospital insurance through the SSA or
b. Is entitled to Medicare Part A hospital insurance and enrolled in Medicare Part B medical insurance or qualified as an exception in accordance with
  section 706 of Public Law 111-84.
2. Yes, if the sponsor is a MOH recipient and is not otherwise entitled to medical care as of or after October 30, 2000 pursuant to section 706 of
  Public Law 106-398.
3. Yes, if a member of a household maintained by or for an authorized sponsor and dependent on that sponsor for over 50 percent of his or her support.
  Children residing in the household of a separated spouse continue to be eligible for commissary privileges until there is a final divorce decree. In
  the case of a divorce, children residing in the household of a former spouse ARE NOT considered to be members of the authorized sponsor's household
  for commissary privileges. Exception: Children who reside with a former spouse meeting requirements for commissary privileges based on 20 years of
  marriage during a period the member or retired member performed 20 years of service, or the dependent is entitled to privileges as a result of sponsor
  abuse pursuant to 10 U.S.C. 1408.
4. Yes, if dependent on an authorized sponsor for over 50 percent of his or her support or children of a sponsor residing in the household of a former
  spouse (20-20-20 or 10-20-10).
5. Yes, if, for determination of dependency made on or after July 1, 1994, placed in the legal custody of the member or former member as a result of a
  court of competent jurisdiction in the United States (or possession of the United States) for a period of at least 12 consecutive months; and:
a. Is dependent on the member for over 50 percent support.
b. Resides with the member or former member unless separated by the necessity of military service or to receive institutional care as a result of a
  disability or incapacitation or under such other circumstances as the administering Secretary may, by regulation, prescribe.
6. Yes, if, for determinations of dependency made on or after October 5, 1994, placed in the home of the member or former member by a placement agency
  (recognized by the Secretary of Defense) or by another source authorized by State or local law to provide adoption placement, in anticipation of the
  legal adoption by the member or former member.
7. Yes, if the child:
a. Has not attained the age of 23, is enrolled in a full-time course of study at an institution of higher learning approved by the administering
  Secretary, and is dependent on the former member for over 50 percent of the child's support or
b. Is incapable of self-support because of a mental or physical incapacity that existed before age 21, or occurred before the age of 23 while a full-
  time student, while a dependent of a member or former member, and is dependent on the member or former member for over 50 percent of the child's
  support.



Sec. 161.15  Benefits for Disabled American Veterans (DAV).

    (a) This section describes the benefits for DAVs rated as 100 
percent disabled or 100 percent unemployable by the VA and their 
eligible dependents. Neither DAVs nor their eligible dependents receive 
CHC or DC benefits from the DoD based on their affiliation. Honorably 
discharged veterans rated by the VA as 100 percent disabled or 100 
percent unemployable from a uniformed service-

[[Page 970]]

connected injury or disease and certified by VA, and their dependents, 
are eligible for benefits as shown in Table 14 to part 161.

                                           Table 14 to Part 161--Benefits for 100 Percent DAVs and Dependents
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                              CHC                     DC                       C                     MWR                     E
--------------------------------------------------------------------------------------------------------------------------------------------------------
Self..............................  No....................  No....................  Yes...................  Yes..................  Yes.
Lawful Spouse.....................  No....................  No....................  Yes...................  Yes..................  Yes.
Children, Unmarried, Under 21
 Years:
    Legitimate, adopted,            No....................  No....................  1.....................  2....................  2.
     stepchild, illegitimate child
     of record of female member,
     or illegitimate child of male
     member whose paternity has
     been judicially determined or
     voluntarily acknowledged.
    Pre-adoptive Child............  No....................  No....................  4.....................  4....................  4.
Children, Unmarried, 21 Years and   No....................  No....................  1, 5..................  5....................  5.
 Over.
Father, Mother, Father-in-Law,      No....................  No....................  1.....................  2....................  2.
 Mother-in-Law, Stepparent, or
 Parent-by-Adoption.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Notes:
1. Yes, if a member of a household maintained by or for an authorized sponsor and dependent on that sponsor for over 50 percent of his or her support.
  Children residing in the household of a separated spouse continue to be eligible for commissary privileges until there is a final divorce decree. In
  the case of a divorce, children residing in the household of a former spouse ARE NOT considered to be members of the authorized sponsor's household
  for commissary privileges. Exception: Children who reside with a former spouse meeting requirements for commissary privileges based on 20 years of
  marriage during a period the member or retired member performed 20 years of service, or the dependent is entitled to privileges as a result of sponsor
  abuse pursuant to 10 U.S.C. 1408.
2. Yes, if dependent on an authorized sponsor for over 50 percent of his or her support or children of a sponsor residing in the household of a former
  spouse (20-20-20 or 10-20-10).
3. Yes, if, for determination of dependency made on or after July 1, 1994, placed in the legal custody of the member or former member as a result of a
  court of competent jurisdiction in the United States (or possession of the United States) for a period of at least 12 consecutive months; and:
a. Is dependent on the member for over 50 percent support.
b. Resides with the member or former member unless separated by the necessity of military service or to receive institutional care as a result of a
  disability or incapacitation or under such other circumstances as the administering Secretary may, by regulation, prescribe.
4. Yes, if, for determinations of dependency made on or after October 5, 1994, placed in the home of the member or former member by a placement agency
  (recognized by the Secretary of Defense) or by another source authorized by State or local law to provide adoption placement, in anticipation of the
  legal adoption by the member or former member.
5. Yes, if the child:
a. Has not attained the age of 23, is enrolled in a full-time course of study at an institution of higher learning approved by the administering
  Secretary, and is dependent on the former member for over 50 percent of the child's support or
b. Is incapable of self-support because of a mental or physical incapacity that existed before age 21, or occurred before the age of 23 while a full-
  time student, while a dependent of a member or former member, and is dependent on the member or former member for over 50 percent of the child's
  support.



Sec. 161.16  Benefits for transitional health care members and
dependents.

    This section shows the benefits for THC members and their eligible 
dependents. THC (formerly the TAMP) was instituted in section 502 of 
Public Law 101-510, ``Department of Defense Appropriations Bill Fiscal 
Year 1991'' effective October 1, 1990. Section 706 of Public Law 108-
375, ``National Defense Authorization Act of for Fiscal Year 2005'' made 
the THC program permanent and made the medical eligibility 180 days for 
all eligible uniformed services members. Section 651 of Public Law 110-
181 extended 2 years' commissary and exchange benefits to THC members. 
Section 734 of Public Law 110-417, ``National Defense Authorization Act 
for Fiscal Year 2009'' extended THC benefits to uniformed service 
members separating from active duty who agree to become members of the 
SelRes of the Ready Reserve of a reserve component. Uniformed service 
members separated as uncharacterized

[[Page 971]]

entry-level separations do not qualify for THC.

                                              Table 15 to Part 161--Benefits for THC Members and Dependents
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                              CHC                     DC                       C                     MWR                     E
--------------------------------------------------------------------------------------------------------------------------------------------------------
THC Member (Self).................  1.....................  1.....................  2, 3, 4...............  2, 3, 4..............  2, 3, 4.
Lawful Spouse.....................  1.....................  1.....................  2, 3, 4...............  2, 3, 4..............  2, 3, 4.
Children, Unmarried, Under 21
 Years:
    Legitimate, adopted,            1.....................  1.....................  2, 3, 4, 5............  2, 3, 4, 6...........  2, 3, 4, 6.
     stepchild, illegitimate child
     of record of female member,
     or illegitimate child of male
     member whose paternity has
     been judicially determined or
     voluntarily acknowledged.
    Ward..........................  1, 7..................  1, 7..................  2, 3, 4, 7............  2, 3, 4, 7...........  2, 3, 4, 7.
    Pre-adoptive Child............  1, 8..................  1, 8..................  2, 3, 4, 8............  2, 3, 4, 8...........  2, 3, 4, 8.
    Foster Child..................  No....................  No....................  2, 3, 4, 5............  2, 3, 4, 5...........  2, 3, 4, 5.
Children, Unmarried, 21 Years and   1, 9..................  1, 9..................  5, 9..................  9....................  9.
 Over.
Father, Mother, Father-in-Law,      No....................  1, 9..................  2, 3, 4, 5............  2, 3, 4, 6...........  2, 3, 4, 6.
 Mother-in-Law, Stepparent, or
 Parent-by-Adoption.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Notes:
1. Yes, medical entitlement for 180 days beginning on the date after the member separated from the qualifying active duty period. There is no exception
  based on entitlement to Medicare Part A. The THC eligible sponsor and eligible dependents receive the medical benefits as if they were active duty
  eligible dependents.
2. No, if the member separated on or after January 1, 2001 but before October 1, 2007; or if separated in accordance with 10 U.S.C. 1145(a)(2)(F).
3. No, if the member separated from active duty to join the SelRes or the Ready Reserve of a Reserve Component.
4. Yes, if the member was separated during the period beginning on October 1, 1990, through December 31, 2001, or after October 1, 2007. Entitlement
  shall be for 2 years, beginning on the date the member separated.
5. Yes, if a member of a household maintained by or for an authorized sponsor and dependent on that sponsor for over 50 percent of his or her support.
  Children residing in the household of a separated spouse continue to be eligible for commissary privileges until there is a final divorce decree. In
  the case of a divorce, children residing in the household of a former spouse are not considered to be members of the authorized sponsor's household
  for commissary privileges, except children who reside with a former spouse meeting requirements for commissary privileges based on 20 years of
  marriage during a period the member or retired member performed 20 years of service.
6. Yes, if dependent on the authorized sponsor for over 50 percent of his or her support or children of a sponsor residing in the household of a former
  spouse (20-20-20 or 10-20-10).
7. Yes, if, for determination of dependency made on or after July 1, 1994, placed in the legal custody of the member or former member as a result of a
  court of competent jurisdiction in the United States (or possession of the United States) for a period of at least 12 consecutive months; and:
a. Is dependent on the member for over 50 percent support.
b. Resides with the member or former member unless separated by the necessity of military service or to receive institutional care as a result of a
  disability or incapacitation or under such other circumstances as the administering Secretary may, by regulation, prescribe.
8. Yes, if, for determinations of dependency made on or after October 5, 1994, placed in the home of the member or former member by a placement agency
  (recognized by the Secretary of Defense) or by another source authorized by State or local law to provide adoption placement, in anticipation of the
  legal adoption by the member or former member.
9. Yes, if the child:
a. Has not attained the age of 23, is enrolled in a full-time course of study at an institution of higher learning approved by the administering
  Secretary, and is dependent on the former member for over 50 percent of the child's support; or
b. Is incapable of self-support because of a mental or physical incapacity that existed before age 21, or occurred before the age of 23 while a full-
  time student, while a dependent of a member or former member, and is dependent on the member or former member for over 50 percent of the child's
  support.



Sec. 161.17  Benefits for surviving dependents.

    (a) This section describes the benefits for surviving dependents of 
active duty deceased uniformed services members, deceased National Guard 
and Reserve service members, deceased MOH recipients, and deceased 100 
percent DAV.
    (1) Surviving dependents of active duty deceased members. Surviving 
dependents of members who died while on active duty under orders that 
specified a period of more than 30 days or members who died while in a 
retired with pay status are eligible for benefits as shown in Table 16 
to part 161.

[[Page 972]]



                                 Table 16 to Part 161--Benefits for Surviving Dependents of Active Duty Deceased Members
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                              CHC                     DC                       C                     MWR                     E
--------------------------------------------------------------------------------------------------------------------------------------------------------
Widow or widower:
    Unremarried...................  1.....................  Yes...................  Yes...................  Yes..................  Yes.
    Remarried.....................  No....................  No....................  No....................  No...................  No.
    Unmarried.....................  No....................  No....................  Yes...................  Yes..................  Yes.
Children, Unmarried, or Under 21
 Years (Including Orphans):
    Legitimate, adopted,            1.....................  Yes...................  2.....................  3....................  3.
     stepchild, illegitimate child
     of record of female member,
     or illegitimate child of male
     member whose paternity has
     been judicially determined or
     voluntarily acknowledged.
    Ward..........................  1, 4..................  1, 4..................  4.....................  4....................  4.
    Pre-adoptive Child............  1, 5..................  1, 5..................  5.....................  5....................  5.
    Foster Child..................  No....................  No....................  2.....................  2....................  2.
Children, Unmarried, 21 Years and   1, 6..................  6.....................  2, 6..................  6....................  6.
 Over.
Father, Mother, Father-in-Law,      No....................  2.....................  2.....................  3....................  3.
 Mother-in-Law, Stepparent, or
 Parent by Adoption.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Notes:
1. Yes, if the sponsor died on active duty (for dependents of National Guard or Reserve members or Retired Reserve members the period of active duty
  must be in excess of 30 days in order to qualify for the benefits in this table) and:
a. If claims are filed less than 3 years from the date of death, there is no Medicare exception for the widow. After 3 years from the date of death, the
  widow is eligible if,
(1) Not entitled to Medicare Part A hospital insurance through the SSA.
(2) Entitled to Medicare Part A hospital insurance and enrolled in Medicare Part B medical insurance or qualified as an exception in accordance with
  section 706 of Public Law 111-84.
b. Yes, for children regardless of the number of years from the date of death or entitlement to Medicare they are entitled.
2. Yes, if at the time of the sponsor's death, the person was living in a home provided by or for an authorized sponsor and was dependent on the sponsor
  for over 50 percent of his or her support. Children residing in the household of the authorized sponsor at the time of death are entitled to
  commissary privileges.
3. Yes, if dependent on an authorized sponsor for over 50 percent of his or her support at the time of the sponsor's death or children of a sponsor
  residing in the household of a former spouse (20-20-20 or 10-20-10).
4. Yes, if, for determinations of dependency made on or after July 1, 1994, and prior to the death of the member, the child had been placed in the legal
  custody of the member as a result of a court of competent jurisdiction in the United States (or possession of the United States) for a period of at
  least 12 consecutive months; and was at the time of the sponsor's death:
a. Dependent on the member for over 50 percent support.
b. Residing with the member unless separated by the necessity of military service or to receive institutional care as a result of a disability or
  incapacitation or under such other circumstances as the administering Secretary may, by regulation, prescribe.
5. Yes, if, for determinations of dependency made on or after October 5, 1994, and prior to the death of the member, the child had been placed in the
  home of the member by a placement agency (recognized by the Secretary of Defense) or by another source authorized by State or local law to provide
  adoption placement, in anticipation of the legal adoption by the member.
6. Yes, if the child:
a. Has not attained the age of 23, is enrolled in a full-time course of study at an institution of higher learning approved by the administering
  Secretary, and is or was at the time of the member's death dependent on the member for over 50 percent of the child's support; or
b. Is incapable of self-support because of a mental or physical incapacity that existed before age 21, or occurred before the age of 23 while a full-
  time student, while a dependent of a member or former member and is or was at the time of the member's death dependent on the member for over 50
  percent of the child's support.

    (2) Surviving dependents of deceased National Guard and Reserve 
members not on an active duty period greater than 30 days. The surviving 
dependents of National Guard and Reserve Service members are eligible 
for the benefits shown in Table 17 to part 161 if:
    (i) The National Guard or Reserve member died from an injury or 
illness incurred or aggravated while on active duty for a period of 30 
days or less, on active duty for training, or on inactive duty training, 
or while traveling to or from the place at which the member was to 
perform, or performed, such active duty, active duty for training, or 
inactive duty training pursuant to 10

[[Page 973]]

U.S.C. 1076 and 1086(c)(2) and if death occurred on or after October 1, 
1985; or
    (ii) The National Guard or Reserve member died from an injury, 
illness, or disease incurred or aggravated while performing, or while 
traveling to or from performing active duty for a period of 30 days or 
less, or active duty for training, or inactive duty training, or while 
performing service on funeral honors in accordance with 10 U.S.C. 1074a 
and if death occurred on or after November 15, 1986.

 Table 17 to Part 161--Benefits for Surviving Dependents of Deceased National Guard and Reserve Members Not On Active Duty for a Period Greater Than 30
                                                                          Days
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                              CHC                     DC                       C                     MWR                     E
--------------------------------------------------------------------------------------------------------------------------------------------------------
Widow or Widower:
    Unremarried...................  1, 2..................  2.....................  2.....................  2....................  2.
    Remarried.....................  No....................  No....................  No....................  No...................  No.
    Unmarried.....................  No....................  No....................  2.....................  2....................  2.
Children, Unmarried, Under 21       1, 2..................  2.....................  2, 3..................  2, 4.................  2, 4.
 Years (Including Orphans):
    Legitimate, adopted,
     stepchild, illegitimate child
     of record of female member,
     or illegitimate child of male
     member whose paternity has
     been judicially determined or
     voluntarily acknowledged.
    Ward..........................  1, 2, 5...............  2, 5..................  2, 5..................  2, 5.................  2, 5.
    Pre-adoptive Child............  1, 2, 6...............  2, 6..................  2, 6..................  2, 6.................  2. 6.
    Foster Child..................  No....................  No....................  2, 3..................  2, 3.................  2, 3.
Children, Unmarried, 21 Years and   1, 2, 7...............  2, 7..................  2, 3, 7...............  2, 7.................  2, 7.
 Over.
Father, Mother, Father-in-Law,      No....................  2, 3..................  2, 3..................  2, 4.................  2, 4.
 Mother-in-Law, Stepparent, or
 Parent by Adoption.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Notes:
1. Yes, if:
a. Not entitled to Medicare Part A hospital insurance through the SSA.
b. Entitled to Medicare Part A hospital insurance and enrolled in Medicare Part B medical insurance or qualified as an exception in accordance with
  section 706 of Public Law 111-84.
2. Yes, only if death occurred on or after 1 October 1985 in accordance with the provisions of 10 U.S.C. 1076, or on or after November 15, 1986 in
  accordance with the provisions of 10 U.S.C. 1074a.
3. Yes, if at the time of the sponsor's death the person was living in a home provided by or for an authorized sponsor and was dependent on the sponsor
  for over 50 percent of his or her support. Children residing in the household of the authorized sponsor at the time of death, but not the household of
  the sponsor's former spouse, are entitled to commissary privileges.
4. Yes, if dependent on an authorized sponsor for over 50 percent of his or her support at the time of the sponsor's death or children of a sponsor
  residing in the household of a former spouse (20-20-20 or 10-20-10).
5. Yes, if, for determinations of dependency made on or after July 1, 1994, and prior to the death of the member, the child had been placed in the legal
  custody of the member as a result of a court of competent jurisdiction in the United States (or possession of the United States) for a period of at
  least 12 consecutive months and was at the time of the sponsor's death:
a. Dependent on the member for over 50 percent support.
b. Residing with the member unless separated by the necessity of military service or to receive institutional care as a result of a disability or
  incapacitation or under such other circumstances as the administering Secretary may, by regulation, prescribe.
6. Yes, if, for determinations of dependency made on or after October 5, 1994, and prior to the death of the member, the child had been placed in the
  home of the member by a placement agency (recognized by the Secretary of Defense) or by another source authorized by State or local law to provide
  adoption placement, in anticipation of the legal adoption.
7. Yes, if the child:
a. Has not attained the age of 23, is enrolled in a full-time course of study at an institution of higher learning approved by the administering
  Secretary, and is or was at the time of the member's death dependent on the member for over 50 percent of the child's support; or
b. Is incapable of self-support because of a mental or physical incapacity that existed before age 21, or occurred before the age of 23 while a full-
  time student, while a dependent of a member and is or was at the time of the member's or former member's death dependent on the member for over 50
  percent of the child's support.

    (3) Surviving dependents of deceased National Guard and Reserve 
members in receipt of their notice of eligibility (NOE), Retired Reserve 
members not yet age 60, and former members not in receipt of retired 
pay. The surviving dependents of

[[Page 974]]

National Guard and Reserve members who have died before the age of 60 
are eligible for the benefits shown in Table 18 to part 161 if the 
deceased sponsor was:
    (i) A Reserve member who had earned 20 qualifying years for 
retirement and received their NOE for retired pay at age 60, but HAD NOT 
transferred to the Retired Reserve.
    (ii) A Retired Reserve member eligible for pay at age 60, not yet 
age 60.
    (iii) A former member who had met time-in-service requirements.

                Table 18 to Part 161--Benefits for Surviving Dependents of National Guard and Reserve Members Who Have Died Before Age 60
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                              CHC                     DC                       C                     MWR                     E
--------------------------------------------------------------------------------------------------------------------------------------------------------
Widow or Widower:
    Unremarried...................  1, 2..................  1.....................  Yes, 8................  Yes, 8...............  Yes, 8.
    Remarried.....................  No....................  No....................  No....................  No...................  No.
    Unmarried.....................  No....................  No....................  Yes, 8................  Yes, 8...............  Yes, 8.
Children, Unmarried, Under 21
 Years (Including Orphans):
    Legitimate, adopted,            1, 2..................  1.....................  3,8...................  4,8..................  4,8.
     stepchild, illegitimate child
     of record of female member,
     or illegitimate child of male
     member whose paternity has
     been judicially determined or
     voluntarily acknowledged.
    Ward..........................  1, 2, 5...............  1, 5..................  3, 5, 8...............  4, 5, 8..............  4, 5, 8.
    Pre-adoptive Child............  1, 2, 6...............  1, 6..................  3, 6, 8...............  4, 6, 8..............  4, 6, 8.
    Foster Child..................  No....................  No....................  3.....................  3....................  3.
Children, Unmarried, 21 Years and   1, 2, 7...............  1, 7..................  3, 7, 8...............  4, 7, 8..............  4, 7, 8.
 Over.
Father, Mother, Father-in-Law,      No....................  3, 8..................  3, 8..................  3, 8.................  3, 8.
 Mother-in-Law, Stepparent, or
 Parent by Adoption.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Notes:
1. Yes, on or after the date the member would have become age 60.
2. Yes, if:
a. Not entitled to Medicare Part A hospital insurance through the SSA or
b. Entitled to Medicare Part A hospital insurance and enrolled in Medicare Part B medical insurance or qualified as an exception in accordance with
  section 706 of Public Law 111-84.
3. Yes, if at the time of the sponsor's death, the person was living in a home provided by or for an authorized sponsor and was dependent on the sponsor
  for over 50 percent of his or her support. Children residing in the household of the authorized sponsor at the time of death, but not the household of
  the sponsor's former spouse, are entitled to commissary privileges. Medical care is only authorized on or after the date the uniformed service member
  would have become age 60.
4. Yes, if dependent on an authorized sponsor for over 50 percent of his or her support at the time of the sponsor's death or children of a sponsor
  residing in the household of a former spouse (20-20-20 or 10-20-10).
5. Yes, if, for determinations of dependency made on or after July 1, 1994, and prior to the death of the member, the child had been placed in the legal
  custody of the member or former member as a result of a court of competent jurisdiction in the United States (or possession of the United States) for
  a period of at least 12 consecutive months; and was at the time of the sponsor's death:
a. Dependent on the member for over 50 percent support.
b. Residing with the member or former member unless separated by the necessity of military service or to receive institutional care as a result of a
  disibility or incapacitation or under such other circumstances as the administering Secretary may, by regulation, prescribe.
6. Yes, if, for determinations of dependency made on or after October 5, 1994, and prior to the death of the member, the child had been placed in the
  home of the member or former member by a placement agency (recognized by the Secretary of Defense) or by another source authorized by State or local
  law to provide adoption placement, in anticipation of the legal adoption.
7. Yes, if the child:
a. Has not attained the age of 23, is enrolled in a full-time course of study at an institution of higher learning approved by the administering
  Secretary, and is or was at the time of the member's or former member's death dependent on the former member for over 50 percent of the child's
  support; or
b. Is incapable of self-support because of a mental or physical incapacity that existed before age 21, or occurred before the age of 23 while a full-
  time student, while a dependent of a member or former member and is, or was at the time of the member's or former member's death, dependent on the
  member or former member for over 50 percent of the child's support.
8. Eligible dependents of deceased former members who died prior to age 60 receive commissary, MWR, and exchange benefits. If the former member dies
  after applying for pay upon reaching age 60 then the eligible dependents are entitled to medical care only in accordance with notes 1 and 2 as
  applicable.


[[Page 975]]

    (4) Surviving dependents of deceased uniformed services retirees or 
deceased MOH recipients. The surviving dependents of deceased uniformed 
services retirees or deceased MOH recipients are eligible for the 
benefits shown in Table 19 to part 161.

               Table 19 to Part 161--Benefits for Surviving Dependents of Deceased Uniformed Services Retirees and Deceased MOH Recipients
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                              CHC                     DC                       C                     MWR                     E
--------------------------------------------------------------------------------------------------------------------------------------------------------
Widow or Widower:
    Unremarried...................  1, 2, 3...............  3, 4..................  Yes...................  Yes..................  Yes.
    Remarried.....................  No....................  No....................  No....................  No...................  No.
    Unmarried.....................  No....................  No....................  Yes...................  Yes..................  Yes.
Children, Unmarried, Under 21
 Years:
    Legitimate, adopted,            1, 2, 3...............  3, 5..................  6.....................  4....................  4.
     stepchild, illegitimate child
     of member, illegitimate child
     of spouse.
    Ward..........................  1, 2, 3, 7............  3, 4, 7...............  7.....................  7....................  7.
    Pre-adoptive Child............  1, 2, 3, 8............  3, 4, 8...............  8.....................  8....................  8.
    Foster Child..................  No....................  No....................  6.....................  6....................  6.
Children, Unmarried, 21 Years and   1, 2, 3, 9............  3, 4, 9...............  6, 9..................  9....................  9.
 Over.
Father, Mother, Father-in-Law,      No....................  No....................  6.....................  4....................  4.
 Mother-in-Law, Stepparent, or
 Parent by Adoption.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Notes:
1. Yes, if the deceased uniformed service member was a retired uniformed service member entitled to retired pay, including TDRL or PDRL, or a non-
  regular Service retiree, age 60 or over, in receipt of retired pay, and if the person is:
a. Not entitled to Medicare Part A hospital insurance through the SSA; or,
b. Entitled to Medicare Part A hospital insurance and enrolled in Medicare Part B medical insurance or qualified as an exception in accordance with
  section 706 of Public Law 111-84.
2. Yes, if the deceased MOH recipient was not otherwise entitled to medical care as of, or after October 30, 2000 in accordance with section 706 of
  Public Law 106-398 and if the person is:
a. Not entitled to Medicare Part A hospital insurance through the SSA; or,
b. Entitled to Medicare Part A, hospital insurance and enrolled in Medicare Part B medical insurance or qualified as an exception in accordance with
  section 706 of Public Law 111-84.
3. No, if the deceased uniformed service member was a non-regular Service Retiree in accordance with the provision of 10 U.S.C. 12731 after the
  enactment of Public Law 110-181, sections 647 and 1106. The eligible surviving dependents will become eligible for CHC and DC on the anniversary of
  the 60th birthday of the deceased uniformed service member. Eligibility for CHC also requires that the person is:
a. Not entitled to Medicare Part A hospital insurance through the SSA; or,
b. Entitled to Medicare Part A hospital insurance and enrolled in Medicare Part B medical insurance or qualified as an exception in accordance with
  section 706 of Public Law 111-84.
4. Yes, if dependent on an authorized sponsor for over 50 percent of his or her support at the time of the sponsor's death or children of a sponsor
  residing in the household of a former spouse (20-20-20 or 10-20-10).
5. Yes, if the deceased was a retired uniformed services member entitled to retired pay, including TDRL or PDRL, or a non-regular Service retiree, age
  60 or over, in receipt of retired pay, or a deceased MOH recipient not otherwise entitled to medical care as of or after, October 30, 2000, or a
  deceased non-regular Service retiree entitled in accordance with the provisions of 10 U.S.C. 12731 after the enactment of Public Law 110-181, sections
  647 and 1106 on the anniversary of the 60th birthday of the deceased uniformed Service member.
6. Yes, if a member of a household maintained by or for an authorized sponsor and dependent on that sponsor for over 50 percent of his or her support.
  Children residing in the household of a separated spouse continue to be eligible for commissary privileges until there is a final divorce decree. In
  the case of a divorce, children residing in the household of a former spouse are not considered to be members of the authorized sponsor's household
  for commissary privileges.
7. Yes, if, for determinations of dependency made on or after July 1, 1994, and prior to the death of the member, the child had been placed in the legal
  custody of the member or former member as a result of a court of competent jurisdiction in the United States (or possession of the United States) for
  a period of at least 12 consecutive months; and was at the time of the sponsor's death:
a. Dependent on the member for over 50 percent support.
b. Residing with the member or former member unless separated by the necessity of military service or to receive institutional care as a result of a
  disability or incapacitation or under such other circumstances as the administering Secretary may, by regulation, prescribe.
8. Yes, if, for determinations of dependency made on or after October 5, 1994, and prior to the death of the member, the child had been placed in the
  home of the member or former member by a placement agency (recognized by the Secretary of Defense) or by another source authorized by State or local
  law to provide adoption placement, in anticipation of the legal adoption.
9. Yes, if the child:
a. Has not attained the age of 23, is enrolled in a full-time course of study at an institution of higher learning approved by the administering
  Secretary, and is or was at the time of the member's or former member's death dependent on the former member for over 50 percent of the child's
  support; or
b. Is incapable of self-support because of a mental or physical incapacity that existed before age 21, or occurred before the age of 23 while a full-
  time student, while a dependent of a member or former member and is or was at the time of the member's or former member's death dependent on the
  member or former member for over 50 percent of the child's support.


[[Page 976]]

    (5) Surviving Dependents of 100 Percent DAVs. Surviving dependents 
of honorably discharged veterans rated as 100 percent disabled or 100 
percent unemployable by the VA from a uniformed services-connected 
injury or disease at the time of his or her death are eligible for 
benefits as shown in Table 20 to part 161.

                                       Table 20 to Part 161--Benefits for Surviving Dependents of 100 Percent DAVs
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                              CHC                     DC                       C                     MWR                     E
--------------------------------------------------------------------------------------------------------------------------------------------------------
Widow or Widower: (DoD
 Beneficiary):
    Unremarried...................  No....................  No....................  Yes...................  Yes..................  Yes.
    Remarried.....................  No....................  No....................  No....................  No...................  No.
    Unmarried.....................  No....................  No....................  Yes...................  Yes..................  Yes.
Children, Unmarried, Under 21
 Years:
    Legitimate, adopted,            No....................  No....................  1.....................  4....................  4.
     stepchild, illegitimate child
     of member, illegitimate child
     of spouse.
    Ward..........................  No....................  No....................  2.....................  2....................  2.
    Pre-adoptive Child............  No....................  No....................  3.....................  3....................  3.
Children, Unmarried, 21 Years and   No....................  No....................  1, 5..................  1, 5.................  1, 5.
 Over.
Father, Mother, Father-in-Law,      No....................  No....................  1.....................  4....................  4.
 Mother-in-Law, Stepparent, or
 Parent by Adoption.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Notes:
1. Yes, if at the time of the sponsor's death, the person was living in a home provided by or for an authorized sponsor and was dependent on the sponsor
  for over 50 percent of his or her support. Children residing in the household of the authorized sponsor at the time of death are entitled to
  commissary privileges.
2. Yes, if, for determination of dependency made on or after July 1, 1994, was placed in the legal custody of the member or former member as a result of
  a court of competent jurisdiction in the United States (or possession of the United States) for a period of at least 12 consecutive months; and was at
  the time of the sponsor's death:
a. Dependent on the member for over 50 percent support.
b. Residing with the member or former member unless separated by the necessity of military service or to receive institutional care as a result of a
  disability or incapacitation or under such other circumstances as the administering Secretary may, by regulation, prescribe.
3. Yes, if, for determinations of dependency made on or after July 1, 1994, and prior to the death of the member, the child had been placed in the home
  of the member or former member by a placement agency (recognized by the Secretary of Defense) or by another source authorized by State or local law to
  provide adoption placement, in anticipation of the legal adoption.
4. Yes, if dependent on an authorized sponsor for over 50 percent of his or her support at the time of the sponsor's death or children of a sponsor
  residing in the household of a former spouse (20-20-20 or 10-20-10).
5. Yes, if the child:
a. Has not attained the age of 23, is enrolled in a full-time course of study at an institution of higher learning approved by the administering
  Secretary, and is or was at the time of the member's or former member's death, dependent on the former member for over 50 percent of the child's
  support; or
b. Is incapable of self-support because of a mental or physical incapacity that existed before age 21, or occurred before the age of 23 while a full-
  time student, while a dependent of a member or former member and is, or was at the time of the member's or former member's death, dependent on the
  member or former member for over 50 percent of the child's support.



Sec. 161.18  Benefits for abused dependents.

    (a) Abused dependents of active duty uniformed services members 
entitled to retired pay based on 20 or more years of service who, on or 
after October, 23, 1992, while a member, have their eligibility to 
receive retired pay terminated as a result of misconduct involving the 
abuse of the spouse or dependent child pursuant to 10 U.S.C. 1408(h), 
are eligible for benefits as shown in Table 21. For the purposes of 
these benefits the eligible spouse or child may not reside in the 
household of the sponsor. See Sec. 161.19 for additional information on 
abused dependents under the 10/20/10 former spouse rule.

                         Table 21 to Part 161--Benefits for Abused Dependents of Retirement Eligible Uniformed Services Members
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                              CHC                     DC                       C                     MWR                     E
--------------------------------------------------------------------------------------------------------------------------------------------------------
Lawful Spouse.....................  1, 2, 6...............  2, 6..................  2, 6..................  2, 6.................  2, 6.

[[Page 977]]

 
Children, Unmarried, Under 18
 Years:
    Legitimate, adopted,            1, 3..................  3.....................  4.....................  4....................  4.
     stepchild, pre-adoptive.
Children, Unmarried, 18 Years and   1, 4, 5...............  4, 5..................  4, 5..................  4, 5.................  4, 5.
 Over (If entitled above).
--------------------------------------------------------------------------------------------------------------------------------------------------------
Notes:
1. Yes, if:
a. Not entitled to Medicare Part A hospital insurance through the SSA.
b. Entitled to Medicare Part A hospital insurance and enrolled in Medicare Part B medical insurance or qualified as an exception in accordance with
  section 706 of Public Law 111-84.
2. Yes, if a court order provides for an annuity for the spouse.
3. Yes, if a member of the household where the abuse occurred.
4. Yes, if a member of the household where the abuse occurred and dependent on that sponsor for over 50 percent of his or her support at the time the
  abuse occurred.
5. Yes, if the child:
a. Is older than 18 years old and is enrolled in a full-time course of study at an institution of higher learning approved by the administering
  Secretary; or
b. Is incapable of self-support because of a mental or physical incapacity that existed before age 18, or occurred before the age of 23 while a full-
  time student.
6. The spouse must have been married to the uniformed service member for at least 10 years, the uniformed service member must have completed 20
  creditable years for retired pay, and they must have been married at least 10 years during the 20 years of creditable service (see Sec. 161.19). The
  uniformed services shall prescribe specific procedures to verify the eligibility of an applicant.

    (b) Dependents of active duty uniformed service members (who have 
served for a continuous period greater than 30 days) not entitled to 
retired pay who have received a dishonorable or bad-conduct discharge, 
dismissal from a uniformed service as a result of a court martial 
conviction for an offense involving physical or emotional abuse of the 
spouse or child, or was administratively discharged as a result of such 
an offense, separated on or after November 30, 1993, are eligible for 
transitional privileges in accordance with DoD Instruction 1342.24, 
``Transitional Compensation for Abused Dependents'' (available at http:/
/www.dtic.mil /whs/ directives /corres/ pdf/134 224p.pdf). For the 
purposes of these benefits the eligible spouse or child may not reside 
in the household of the sponsor. A maximum of up to 36 months of medical 
benefits can be granted by the uniformed services to the transitional 
compensation dependent.

                       Table 22 to Part 161--Benefits for Abused Dependents of Non-Retirement Eligible Uniformed Services Members
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                              CHC                     DC                       C                     MWR                     E
--------------------------------------------------------------------------------------------------------------------------------------------------------
Lawful Spouse.....................  1, 2..................  2.....................  2.....................  2....................  2.
Children, Unmarried, Under 18
 Years:
    Legitimate, adopted, and        1, 2..................  2.....................  2.....................  2....................  2.
     stepchild.
Children, Unmarried, 18 Years and   1, 2, 3...............  2, 3..................  2, 3..................  2, 3.................  2, 3.
 Over (If entitled above).
--------------------------------------------------------------------------------------------------------------------------------------------------------
Notes:
1. Yes, if:
a. Not entitled to Medicare Part A hospital insurance through the SSA.
b. Entitled to Medicare Part A hospital insurance and enrolled in Medicare Part B medical insurance or qualified as an exception in accordance with
  section 706 of Public Law 111-84.
2. Yes, if
a. Residing with the member at the time of the dependent-abuse offense and not residing with the member while receiving transitional compensation for
  abused dependents.
b. Married to and residing with the member at the time of the dependent-abuse offense and while receiving transitional compensation for abused
  dependents.
3. Yes, if:

[[Page 978]]

 
a. 18 years of age or older and incapable of self-support because of a mental or physical incapacity that existed before the age of 18 and who is (or
  was when a punitive or other adverse action was carried out on the member) dependent on the member for over one-half of the child's support; or
b. 18 years of age or older, but less than 23 years of age, is enrolled in a full-time course of study in an institution of higher learning approved by
  the Secretary of Defense and who is (or was when a punitive or other adverse action was carried out on the member) dependent on the member for over
  one-half of the child's support.



Sec. 161.19  Benefits for former spouses.

    (a) 20/20/20 former spouses. Unremarried former spouses of a 
uniformed services member or retired member, married to the member or 
retired member for a period of at least 20 years, during which period 
the member or retired member performed at least 20 years of service that 
is creditable in determining the member's or retired member's 
eligibility for retired or retainer pay, or equivalent pay pursuant to 
10 U.S.C. 1408 and 1072(2)(F), and the period of the marriage and the 
service overlapped by at least 20 years are eligible for benefits as 
shown in Tables 23 and 24 to part 161. The benefit eligibility period 
begins on qualifying date of divorce from the uniformed services member.
    (1) 20/20/20 former spouses of an active duty, regular retired, or a 
non-regular retired sponsor at age 60. 20/20/20 former spouses of an 
active duty, regular retired, or a non-regular retired sponsor at age 60 
are eligible for benefits as shown in Table 23 to part 161.

          Table 23 to Part 161--Benefits for 20/20/20 Former Spouses of Active Duty, Regular Retired, and Non-Regular Retired Members at Age 60
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                              CHC                     DC                       C                     MWR                     E
--------------------------------------------------------------------------------------------------------------------------------------------------------
Former Spouse:
    Unremarried...................  1, 2..................  1.....................  Yes...................  Yes..................  Yes.
    Remarried.....................  No....................  No....................  No....................  No...................  No.
    Unmarried.....................  No....................  No....................  Yes...................  Yes..................  Yes.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Notes:
1. Yes, if the former spouse certifies in writing that he or she has no medical coverage under an employer-sponsored health plan.
2. Yes, if:
a. Not entitled to Medicare Part A hospital insurance through the SSA.
b. Entitled to Medicare Part A hospital insurance and enrolled in Medicare Part B medical insurance with the exception of those individuals who qualify
  in accordance with section 706 of Public Law 111-84.

    (2) 20/20/20 former spouses of a national guard, reserve member, or 
retired reserve member under age 60. (i) In the case of former spouses 
of National Guard, Reserve, or Retired Reserve members or former members 
who are entitled to retired pay at age 60, but have not yet reached age 
60, the former spouse is only entitled to commissary, MWR, and exchange 
benefits as shown in Table 24 to part 161. When the Retired Reserve 
member or former member attains or would have attained, age 60, the 
former spouse will be entitled to benefits as shown in Table 23 to part 
161.
    (ii) In the case of former spouses of National Guard members or 
Reserve members ordered to active duty, or Retired Reserve members under 
age 60 recalled to active duty, they continue to receive benefits as 
shown in Table 24 to part 161 if the orders are for a period of 30 days 
or less. If the National Guard member, Reserve member, or recalled 
Retired Reserve member is on active duty orders in excess of 30 days, 
the former spouse will receive benefits as shown in Table 23 to part 
161.

                               Table 24 to Part 161--Benefits for 20/20/20 Former Spouses for Retired Reserve Under Age 60
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                              CHC                     DC                       C                     MWR                     E
--------------------------------------------------------------------------------------------------------------------------------------------------------
Former Spouse:
    Unremarried...................  No....................  No....................  Yes...................  Yes..................  Yes.
    Remarried.....................  No....................  No....................  No....................  No...................  No.
    Unmarried.....................  No....................  No....................  Yes...................  Yes..................  Yes.
--------------------------------------------------------------------------------------------------------------------------------------------------------


[[Page 979]]

    (b) 20/20/15 former spouses. Unremarried former spouses described in 
paragraph (a)(1) of this section, with the period of overlap of marriage 
and the member's creditable service at least 15 years, but less than 20 
years, are not eligible for the commissary, MWR, or exchange benefits.
    (1) 20/20/15 former spouses of an active duty, regular retired, or a 
non-regular retired sponsor at age 60. 20/20/15 former spouses of an 
active duty, regular retired, or a non-regular retired sponsor at age 60 
are eligible for benefits as shown in Table 25 to part 161.

              Table 25 to Part 161--Benefits for 20/20/15 Former Spouses of Active Duty, Regular Retired, and Non-Regular Retired at Age 60
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                              CHC                     DC                       C                     MWR                     E
--------------------------------------------------------------------------------------------------------------------------------------------------------
Former Spouse:
    Unremarried...................  1, 2, 3...............  1, 3..................  No....................  No...................  No.
    Remarried.....................  No....................  No....................  No....................  No...................  No.
    Unmarried.....................  No....................  No....................  No....................  No...................  No.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Notes:
1. Yes, if former spouse certifies in writing that he or she has no medical coverage under an employer-sponsored health plan.
2. Yes, if:
a. Not entitled to Medicare Part A hospital insurance through the SSA; or
b. Entitled to Medicare Part A hospital insurance and enrolled in Medicare Part B medical insurance or qualified as an exception in accordance with
  section 706 of Public Law 111-84.
3. Yes, if the:
a. Final decree of divorce, dissolution, or annulment of the marriage was before April 1, 1985; or
b. Marriage ended on, or after, September 29, 1988, entitlements shall exist for 1 year, beginning on the date of the divorce, dissolution, or annulment
  pursuant to 10 U.S.C. 1076 and 1072(2)(H).

    (2) 20/20/15 former spouses of a retired reserve member under age 
60. (i) In the case of former spouses of Retired Reserve members or 
former members who are entitled to retired pay at age 60, but have not 
yet reached age 60, the former spouse has no entitlement under age 60. 
The benefit eligible period is 1 year from the date of divorce. If any 
period of eligibility extends beyond the Retired Reserve or former 
member's 60th birthday then the former spouse will receive benefits as 
shown in Table 25 to part 161 for that period.
    (ii) In the case of former spouses of Reserve members or Retired 
Reserve members under age 60 recalled to active duty on orders for a 
period of 30 days or less they are not entitled to any benefits as shown 
in Table 26 to part 161. If the Reserve member or recalled Retired 
Reserve member is on active duty orders in excess of 30 days, the former 
spouse will receive benefits as shown in Table 25 to part 161 if they 
are within 1 year from the date of divorce from the uniformed service 
member.

                           Table 26 to Part 161--Benefits for 20/20/15 Former Spouses of a Retired Reserve Member Under Age 60
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                              CHC                     DC                       C                     MWR                     E
--------------------------------------------------------------------------------------------------------------------------------------------------------
Former Spouse:
    Unremarried...................  No....................  No....................  No....................  No...................  No.
    Remarried.....................  No....................  No....................  No....................  No...................  No.
    Unmarried.....................  No....................  No....................  No....................  No...................  No.
--------------------------------------------------------------------------------------------------------------------------------------------------------

    (c) 10/20/10 former spouses. Unremarried former spouses of a member 
or retired member, married to the member or retired member for a period 
of at least 10 years to a member or retired member who performed at 
least 20 years of service that is creditable in determining the member's 
or retired member's eligibility for retired or retainer pay, when the 
period of overlap of marriage and the member's creditable service was at 
least 10 years and the former spouse is in receipt of an annuity as a 
result of the member being separated from the service due to misconduct 
involving dependent abuse

[[Page 980]]

pursuant to 10 U.S.C. 1408(h), are eligible for benefits as shown in 
Table 27 to part 161.

                                               Table 27 to Part 161--Benefits for 10/20/10 Former Spouses
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                              CHC                     DC                       C                     MWR                     E
--------------------------------------------------------------------------------------------------------------------------------------------------------
Former Spouse:
    Unremarried...................  1, 2..................  1, 2..................  Yes...................  Yes..................  Yes
    Remarried.....................  No....................  No....................  No....................  No...................  No.
    Unmarried.....................  1, 2..................  1, 2..................  Yes...................  Yes..................  Yes.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Notes:
1. Yes, if:
a. Not entitled to Medicare Part A hospital insurance through the SSA.
b. Entitled to Medicare Part A hospital insurance and enrolled in Medicare Part B medical insurance or qualified as an exception in accordance with
  section 706 of Public Law 111-84.
2. The spouse must have been married to the uniformed service member for at least 10 years, the uniformed service member must have completed 20
  creditable years for retired pay, and they must have been married at least 10 years during the 20 years of creditable service (see Sec. 161.18,
  paragraph (a)(1)). The uniformed services shall prescribe specific procedures to verify the eligibility of an applicant.



Sec. 161.20  Benefits for civilian personnel.

    (a) Civilian personnel may be eligible for certain benefits 
described in this section based on their affiliation with DoD, Service-
specific guidelines, or other authorizing conditions. The definition of 
``civilian personnel'' (e.g., civilian employee, DoD contractor, Red 
Cross employee) is specific to each benefit set described.
    (1) Civilian personnel in the United States, to include civilian 
employees of the DoD and other Government agencies, as well as DoD 
contractors and personnel covered by PL 91-648 (also known and 
hereinafter referred to as Public Law 91-648, ``Intergovernmental 
Personnel Act'' (IPA)), may be issued a DoD ID card as a condition of 
employment or assignment in accordance with subpart B of this part. 
Civilian personnel in the United States are eligible for benefits as 
shown in Table 28 to part 161.

                                       Table 28 to Part 161--Benefits for Civilian Employees in the United States
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                              CHC                     DC                       C                     MWR                     E
--------------------------------------------------------------------------------------------------------------------------------------------------------
Self..............................  No....................  No....................  No....................  1....................  No.
Dependents........................  No....................  No....................  No....................  No...................  No.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Note:
1. In accordance with DoD Instruction 1015.10, retired DoD civilian employees are eligible, on a space available basis, to the limited use of MWR
  facilities based on the discretion of the installation commander.

    (2) Civilian personnel required to reside on a military installation 
within the CONUS, Hawaii, or Alaska and their dependents, when residing 
in the same household, are eligible for benefits as shown in Table 29 to 
part 161. For the purposes of this benefit set, ``civilian personnel'' 
includes civilian DoD employees and IPA personnel.

   Table 29 to Part 161--Benefits for Civilian Personnel and Dependents When Required To Reside on a Military Installation in CONUS, Hawaii, or Alaska
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                              CHC                     DC                       C                     MWR                     E
--------------------------------------------------------------------------------------------------------------------------------------------------------
Self..............................  No....................  No....................  1.....................  Yes..................  2.
Lawful Spouse.....................  No....................  No....................  1.....................  Yes..................  2.
Children, Unmarried, Under 21
 Years:
    Legitimate, adopted,            No....................  No....................  1, 3..................  3....................  2, 3.
     stepchild, illegitimate child
     of employee, or illegitimate
     child of spouse.
    Ward..........................  No....................  No....................  1, 3, 4...............  3, 4.................  2, 3, 4.

[[Page 981]]

 
    Pre-adoptive..................  No....................  No....................  1, 3, 5...............  3, 5.................  2, 3, 5.
    Foster Child..................  No....................  No....................  1, 3..................  3....................  2, 3.
Children, Unmarried, 21 Years and   No....................  No....................  1, 6..................  6....................  2, 6.
 Over.
Father, Mother, Father-in-Law,      No....................  No....................  1, 3..................  3....................  2, 3.
 Mother-in-Law, Stepparent, or
 Parent-by-Adoption.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Notes:
1. Yes, but commissary privileges do not include the purchase of tobacco products in those States, including the District of Columbia, that impose a tax
  on such products.
2. Yes, are entitled to limited exchange privileges, which include purchase of all items except uniform articles and State tax-free items.
3. Yes, if dependent on an authorized sponsor for over 50 percent of his or her support.
4. Yes, if, for determination of dependency made on or after July 1, 1994, placed in the legal custody of the member as a result of a court of competent
  jurisdiction in the United States (or possession of the United States) for a period of at least 12 consecutive months.
5. Yes, if, for determinations of dependency made on or after October 5, 1994, placed in the home of the member by a placement agency (recognized by the
  Secretary of Defense) or by another source authorized by State or local law to provide adoption placement, in anticipation of the legal adoption by
  the member.
6. Yes, if the child:
a. Has not attained the age of 23, is enrolled in a full-time course of study at an institution of higher learning approved by the administering
  Secretary, and is dependent on the member for over 50 percent of the child's support; or
b. Is incapable of self-support because of a mental or physical incapacity that existed before age 21, or occurred before the age of 23 while a full-
  time student, while a dependent of a member and is, dependent on the member or former member for over 50 percent of the child's support.

    (3) DoD civilian personnel stationed or employed outside the 
continental United States (OCONUS) and their accompanying dependents, 
when residing in the same household, are eligible for benefits as shown 
in Table 30. For the purposes of this benefit set, ``civilian 
personnel'' includes civilian DoD employees, DoD contractors, and IPA 
personnel. Overseas commanders may never authorize benefits not 
authorized by this section, but they may deny privileges indicated when 
base support facilities cannot handle the burden imposed.

                         Table 30 to Part 161--Benefits for DoD Civilian Personnel Stationed OCONUS and Accompanying Dependents
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                              CHC                     DC                       C                     MWR                     E
--------------------------------------------------------------------------------------------------------------------------------------------------------
Self..............................  No....................  1.....................  Yes...................  Yes..................  Yes.
Lawful Spouse.....................  No....................  1.....................  Yes...................  Yes..................  Yes.
Children, Unmarried, Under 21
 Years:
    Legitimate, adopted,            No....................  1, 2..................  2.....................  2....................  2.
     stepchild, Illegitimate child
     of employee, or Illegitimate
     child of spouse.
    Ward..........................  No....................  1, 2, 3...............  2, 3..................  2, 3.................  2, 3.
    Pre-adoptive..................  No....................  1, 2, 4...............  2, 4..................  2, 4.................  2, 4.
    Foster Child..................  No....................  No....................  2.....................  2....................  2
Children, Unmarried, 21 Years and   No....................  1, 5..................  5.....................  5....................  5.
 Over.
Father, Mother, Father-in-Law,      No....................  No....................  1, 2..................  2....................  2.
 Mother-in-Law, Stepparent, or
 Parent-by-Adoption.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Notes:
1. Yes, on a space-available, fully reimbursable basis. Medical care at uniformed services facilities shall be rendered in accordance with Service
  instructions. Additional guidelines are contained in DoD Instruction 1100.22 and Volume 1231 of DoD Instruction 1400.25.
2. Yes, if dependent on an authorized sponsor for over 50 percent of his or her support.
3. Yes, if, for determination of dependency made on or after July 1, 1994, placed in the legal custody of the member as a result of a court of competent
  jurisdiction in the United States (or possession of the United States) for a period of at least 12 consecutive months.

[[Page 982]]

 
4. Yes, if, for determinations of dependency made on or after October 5, 1994, placed in the home of the member by a placement agency (recognized by the
  Secretary of Defense) or by another source authorized by State or local law to provide adoption placement, in anticipation of the legal adoption by
  the member.
5. Yes, if the child:
a. Has not attained the age of 23, is enrolled in a full-time course of study at an institution of higher learning approved by the administering
  Secretary, and is dependent on the member for over 50 percent of the child's support; or
b.Is incapable of self-support because of a mental or physical incapacity that existed before age 21, or occurred before the age of 23 while a full-time
  student, while a dependent of a member and is, dependent on the member for over 50 percent of the child's support.

    (4) Civilian personnel of non-DoD Government agencies stationed or 
employed OCONUS, and their dependents, when residing in the same 
household, are eligible for benefits as shown in Table 31. For the 
purposes of this benefit set, ``civilian personnel'' includes civilian 
employees of non-DoD Government agencies (e.g., Federal employees of the 
Department of State). Commissary, MWR, and exchange privileges are 
authorized by overseas commanders to the persons designated in Table 31 
when it is within the capability of the facilities and it shall not 
impair the military mission. Overseas commanders may never authorize 
benefits beyond those authorized by this section, but they may deny 
privileges indicated when base support facilities cannot handle the 
burden imposed.

       Table 31 to Part 161--Benefits For Non-DoD Government Agencies Civilian Personnel Stationed or Employed OCONUS and Accompanying Dependents
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                              CHC                     DC                       C                     MWR                     E
--------------------------------------------------------------------------------------------------------------------------------------------------------
Self..............................  No....................  1.....................  Yes...................  Yes..................  Yes.
Lawful Spouse.....................  No....................  1.....................  Yes...................  Yes..................  Yes.
Children, Unmarried, Under 21
 Years:
    Legitimate, adopted,
     stepchild, Illegitimate child
     of employee, or Illegitimate
     child of spouse.
    Ward..........................  No....................  1, 2, 3...............  2, 3..................  2, 3.................  2, 3.
    Pre-adoptive..................  No....................  1, 2, 4...............  2, 3..................  2, 4.................  2, 4.
    Foster Child..................  No....................  No....................  2.....................  2....................  2.
Children, Unmarried, 21 Years and   No....................  1, 5..................  5.....................  5....................  5.
 Over.
Father, Mother, Father-in-Law,      No....................  1, 2..................  2.....................  2....................  2.
 Mother-in-Law, Stepparent, or
 Parent-by-Adoption.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Notes:
1. Yes, on a space-available, fully reimbursable basis. Medical care at uniformed services facilities shall be rendered in accordance with Service
  instructions. Additional guidelines are contained in DoD Instruction 1100.22 and Volume 1231 of DoD Instruction 1400.25.
2. Yes, if dependent on an authorized sponsor for over 50 percent of his or her support.
3. Yes, if, for determination of dependency made on or after July 1, 1994, placed in the legal custody of the member as a result of a court of competent
  jurisdiction in the United States (or possession of the United States) for a period of at least 12 consecutive months.
4. Yes, if, for determinations of dependency made on or after October 5, 1994, placed in the home of the member by a placement agency (recognized by the
  Secretary of Defense) or by another source authorized by State or local law to provide adoption placement, in anticipation of the legal adoption by
  the member.
5. Yes, if the child:
a. Has not attained the age of 23, is enrolled in a full-time course of study at an institution of higher learning approved by the administering
  Secretary, and is dependent on the member for over 50 percent of the child's support; or
b. Is incapable of self-support because of a mental or physical incapacity that existed before age 21, or occurred before the age of 23 while a full-
  time student, while a dependent of a member and is, dependent on the member or former member for over 50 percent of the child's support.

    (5) Civilian personnel stationed or employed in Puerto Rico or Guam 
and their dependents, when residing in the same household, are eligible 
for benefits as shown in Table 32. For the purposes of this benefit set, 
``civilian personnel'' includes civilian DoD employees under a valid 
transportation agreement, as well as civilian employees of other 
Government agencies, DoD contractors, and IPA personnel.

[[Page 983]]



             Table 32 to Part 161--Benefits for Civilian Personnel Stationed or Employed in Puerto Rico or Guam and Accompanying Dependents
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                              CHC                     DC                       C                     MWR                     E
--------------------------------------------------------------------------------------------------------------------------------------------------------
Self..............................  No....................  1.....................  2.....................  Yes..................  3.
Lawful Spouse.....................  No....................  1.....................  2.....................  Yes..................  3.
Children, Unmarried, Under 21
 Years:
    Legitimate, adopted,            No....................  1, 4..................  2, 4..................  4....................  3, 4.
     stepchild, Illegitimate child
     of employee or illegitimate
     child of spouse.
    Ward..........................  No....................  1, 4, 5...............  2, 4, 5...............  4, 5.................  3, 4, 5.
    Pre-adoptive..................  No....................  1, 4, 6...............  2, 4, 6...............  4, 6.................  3, 4, 6.
    Foster Child..................  No....................  No....................  2, 4..................  2, 4.................  2, 3, 4.
Children, Unmarried, 21 Years and   No....................  1, 7..................  2, 7..................  7....................  3, 7.
 Over.
Father, Mother, Father-in-Law,      No....................  1, 4..................  2, 4..................  4....................  3, 4.
 Mother-in-Law, Stepparent, or
 Parent-by-Adoption.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Notes:
1. Yes, on a space-available, fully reimbursable basis only if residing in a household on a military installation. Additional guidelines are contained
  in DoD Instruction 1100.22 and Volume 1231 of DoD Instruction 1400.25.
2. In cases where deviations are granted by the Secretary of a Military Department or the Commander of a Combatant Command permitting access to
  commissary and exchange to non-DoD Federal employees and employees of firms under contract to the U.S. Government, the installation commander shall
  establish procedures to verify status, maintain databases, and issue appropriate identification.
3. Yes, are entitled to limited exchange privileges, which include purchase of all items except articles of uniform and State tax-free items.
4. Yes, if dependent on an authorized sponsor for over 50 percent of his or her support.
5. Yes, if, for determination of dependency made on or after July 1, 1994, placed in the legal custody of the member as a result of a court of competent
  jurisdiction in the United States (or possession of the United States) for a period of at least 12 consecutive months.
6. Yes, if, for determinations of dependency made on or after October 5, 1994, placed in the home of the member by a placement agency (recognized by the
  Secretary of Defense) or by another source authorized by State or local law to provide adoption placement, in anticipation of the legal adoption by
  the member.
7. Yes, if the child:
a. Has not attained the age of 23, is enrolled in a full-time course of study at an institution of higher learning approved by the administering
  Secretary, and is dependent on the member for over 50 percent of the child's support; or
b. Is incapable of self-support because of a mental or physical incapacity that existed before age 21, or occurred before the age of 23 while a full-
  time student, while a dependent of a member, and is dependent on the member for over 50 percent of the child's support.

    (6) DoD OCONUS hires are foreign nationals in host countries who are 
employed by U.S. forces, consistent with any agreement with the host 
country as defined in Volume 1231 of DoD Instruction 1400.25. They are 
entered into DEERS for the purposes of issuing a CAC and are not 
eligible for benefits as shown in Table 33 to part 161.

                                                   Table 33 to Part 161--Benefits for DoD OCONUS Hires
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                              CHC                     DC                       C                     MWR                     E
--------------------------------------------------------------------------------------------------------------------------------------------------------
Self..............................  No....................  No....................  No....................  No...................  No.
--------------------------------------------------------------------------------------------------------------------------------------------------------

    (7) Uniformed and non-uniformed full-time paid personnel of the Red 
Cross assigned to duty with the uniformed services within the CONUS, 
Hawaii, Alaska, and Puerto Rico and their accompanying dependents, when 
required to reside in the same household on a military installation are 
eligible for benefits as shown in Table 34 to part 161.

[[Page 984]]



  Table 34 to Part 161--Benefits for Full-Time Paid Personnel of the Red Cross Assigned to Duty With the Uniformed Services in CONUS, Hawaii, or Alaska
                                      and Required To Reside on a Military Installation and Accompanying Dependents
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                              CHC                     DC                       C                     MWR                     E
--------------------------------------------------------------------------------------------------------------------------------------------------------
Self..............................  No....................  No....................  Yes...................  Yes..................  1.
Lawful Spouse.....................  No....................  No....................  Yes...................  Yes..................  1.
Children, Unmarried, Under 21
 Years:
    Legitimate, adopted,            No....................  No....................  2.....................  2....................  1, 2.
     stepchild, Illegitimate child
     of employee, or illegitimate
     child of spouse.
    Ward..........................  No....................  No....................  2, 3..................  2, 3.................  1, 2, 3.
Children, Unmarried, 21 Years and   No....................  No....................  4.....................  4....................  1, 4.
 Over.
Father, Mother, Father-in-Law,      No....................  No....................  2.....................  2....................  1, 2.
 Mother-in-Law, Stepparent, or
 Parent-by-Adoption.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Notes:
1. If authorized by installation commander, entitled to exchange privileges.
2. Yes, if dependent on an authorized sponsor for over 50 percent of his or her support.
3. Yes, if, for determination of dependency made on or after July 1, 1994, placed in the legal custody of the member as a result of a court of competent
  jurisdiction in the United States (or possession of the United States) for a period of at least 12 consecutive months.
5. Yes, if the child:
a. Has not attained the age of 23, is enrolled in a full-time course of study at an institution of higher learning approved by the administering
  Secretary, and is dependent on the member for over 50 percent of the child's support; or
b. Is incapable of self-support because of a mental or physical incapacity that existed before age 21, or occurred before the age of 23 while a full-
  time student, while a dependent of a member, and is dependent on the member for over 50 percent of the child's support.

    (8) Uniformed and non-uniformed full-time paid personnel of the Red 
Cross assigned to duty with the uniformed services OCONUS and their 
accompanying dependents, when residing in the same household, are 
eligible for benefits as shown in Table 35 to part 161.

Table 35 to Part 161--Benefits for Full-Time Paid Personnel of the Red Cross Assigned to Duty With the Uniformed
                                   Services OCONUS and Accompanying Dependents
----------------------------------------------------------------------------------------------------------------
                                        CHC             DC               C              MWR              E
----------------------------------------------------------------------------------------------------------------
Self............................  No............  1.............  Yes...........  Yes...........  Yes.
Lawful Spouse...................  No............  1.............  Yes...........  Yes...........  Yes.
Children, Unmarried, Under 21
 Years:
    Legitimate, adopted,          No............  1, 2..........  2.............  2.............  2.
     stepchild, Illegitimate
     child of employee or
     illegitimate child of
     spouse.
    Ward........................  No............  No............  2, 3..........  2, 3..........  2, 3.
Children, Unmarried, 21 Years     No............  1, 4..........  4.............  4.............  4.
 and Over.
Father, Mother, Father-in-Law,    No............  1, 2..........  2.............  2.............  2.
 Mother-in-Law, Stepparent, or
 Parent-by-Adoption.
----------------------------------------------------------------------------------------------------------------
Notes:
1. Yes, on a space-available basis at rates specified in uniformed services instructions. Additional guidelines
  are contained in DoD Instruction 1100.22 and Volume 1231 of DoD Instruction 1400.25.
2. Yes, if dependent on an authorized sponsor for over 50 percent of his or her support.
3. Yes, if, for determination of dependency made on or after July 1, 1994, placed in the legal custody of the
  member as a result of a court of competent jurisdiction in the United States (or possession of the United
  States) for a period of at least 12 consecutive months.
4. Yes, if the child:
a. Has not attained the age of 23, is enrolled in a full-time course of study at an institution of higher
  learning approved by the administering Secretary, and is dependent on the member for over 50 percent of the
  child's support; or
b. Is incapable of self-support because of a mental or physical incapacity that existed before age 21, or
  occurred before the age of 23 while a full-time student, while a dependent of a member, and is dependent on
  the member for over 50 percent of the child's support.

    (9) Area executives, center directors, and assistant directors of 
the United Service Organizations (USO) serving OCONUS and their 
accompanying dependents when residing in the same

[[Page 985]]

household are eligible for benefits as shown in Table 36 to part 161.

   Table 36 to Part 161--Benefits for Area Executives, Center Directors, and Assistant Directors of the USO and Accompanying Dependents Serving OCONUS
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                              CHC                     DC                       C                     MWR                     E
--------------------------------------------------------------------------------------------------------------------------------------------------------
Self..............................  No....................  1.....................  Yes...................  Yes..................  Yes.
Lawful Spouse.....................  No....................  1.....................  Yes...................  Yes..................  Yes.
Children, Unmarried, Under 21
 Years:
    Legitimate, adopted,            No....................  1, 2..................  2.....................  2....................  2.
     stepchild, illegitimate child
     of employee, or illegitimate
     child of spouse.
    Ward..........................  No....................  No....................  2, 3..................  2, 3.................  2, 3.
Children, Unmarried, 21 Years and   No....................  1, 4..................  4.....................  4....................  4.
 Over.
Father, Mother, Father-in-Law,      No....................  1, 2..................  2.....................  2....................  2.
 Mother-in-Law, Stepparent, or
 Parent-by-Adoption.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Notes:
1. Yes, on a space-available, fully reimbursable basis. Additional guidelines are contained in DoD Instruction 1100.22 and Volume 1231 of DoD
  Instruction 1400.25.
2. Yes, if dependent on an authorized sponsor for over 50 percent of his or her support.
3. Yes, if, for determination of dependency made on or after July 1, 1994, placed in the legal custody of the member as a result of a court of competent
  jurisdiction in the United States (or possession of the United States) for a period of at least 12 consecutive months.
4. Yes, if the child:
a. Has not attained the age of 23, is enrolled in a full-time course of study at an institution of higher learning approved by the administering
  Secretary, and is dependent on the member for over 50 percent of the child's support; or
b. Is incapable of self-support because of a mental or physical incapacity that existed before age 21, or occurred before the age of 23 while a full-
  time student, while a dependent of a member, and is dependent on the member for over 50 percent of the child's support.

    (10) USS personnel serving OCONUS and their accompanying dependents, 
when residing in the same household, are eligible for benefits as shown 
in Table 37 to part 161.

                               Table 37 to Part 161--Benefits for USS Personnel Serving OCONUS and Accompanying Dependents
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                              CHC                     DC                       C                     MWR                     E
--------------------------------------------------------------------------------------------------------------------------------------------------------
Self..............................  No....................  1.....................  Yes...................  Yes..................  Yes.
Lawful Spouse.....................  No....................  1.....................  Yes...................  Yes..................  Yes.
Children, Unmarried, Under 21
 Years:
    Legitimate, adopted,            No....................  1, 2..................  2.....................  2....................  2.
     stepchild, illegitimate child
     of employee, or illegitimate
     child of spouse.
    Ward..........................  No....................  No....................  2, 3..................  2, 3.................  2, 3.
Children, Unmarried, 21 Years and   No....................  1, 4..................  4.....................  4....................  4.
 Over.
Father, Mother, Father-in-Law,      No....................  1, 2..................  2.....................  2....................  2.
 Mother-in-Law, Stepparent, or
 Parent-by-Adoption.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Notes:
1. Yes, on a space-available, fully reimbursable basis. Additional guidelines are contained in DoD Instruction 1100.22 and Volume 1231 of DoD
  Instruction 1400.25.
2. Yes, if dependent on an authorized sponsor for over 50 percent of his or her support.
3. Yes, if, for determination of dependency made on or after July 1, 1994, placed in the legal custody of the member as a result of a court of competent
  jurisdiction in the United States (or possession of the United States) for a period of at least 12 consecutive months.
4. Yes, if the child:

[[Page 986]]

 
a. Has not attained the age of 23, is enrolled in a full-time course of study at an institution of higher learning approved by the administering
  Secretary, and is dependent on the member for over 50 percent of the child's support; or
b. Is incapable of self-support because of a mental or physical incapacity that existed before age 21, or occurred before the age of 23 while a full-
  time student, while a dependent of a member, and is dependent on the member for over 50 percent of the child's support.

    (11) MSC civil service Marine personnel deployed OCONUS on MSC-owned 
and operated vessels are eligible for benefits as shown in Table 38 to 
part 161.

                           Table 38 to Part 161--Benefits for MSC Personnel Deployed OCONUS on MSC-Owned and Operated Vessels
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                              CHC                     DC                       C                     MWR                     E
--------------------------------------------------------------------------------------------------------------------------------------------------------
Self..............................  No....................  1.....................  Yes...................  Yes..................  2.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Notes:
1. Yes, on a space-available, fully reimbursable basis.
2. Entitled to limited exchange privileges, which includes purchase of all items except distinctive uniform items and State tax-free items.

    (12) Ship's officers and members of the crews of NOAA vessels are 
eligible for benefits in accordance with 33 U.S.C. 3074 as shown in 
Table 39. Ship's officers are not commissioned officers, but civilian 
employees of NOAA.

                               Table 39 to Part 161--Benefits for Ship's Officers and Members of the Crews of NOAA Vessels
                                                              [NOAA Wage Mariner Employees]
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                              CHC                     DC                       C                     MWR                     E
--------------------------------------------------------------------------------------------------------------------------------------------------------
Self..............................  No....................  No....................  Yes...................  Yes..................  Yes.
Lawful Spouse.....................  No....................  No....................  Yes...................  Yes..................  Yes.
Children, Unmarried, Under 21
 Years:
    Legitimate, adopted,            No....................  No....................  1.....................  1....................  1.
     stepchild, Illegitimate child
     of employee, or Illegitimate
     child of spouse.
    Ward..........................  No....................  No....................  1, 2..................  1, 2.................  1, 2.
    Pre-adoptive..................  No....................  No....................  1, 3..................  1, 3.................  1, 3.
    Foster Child..................  No....................  No....................  1.....................  1....................  1.
Children, Unmarried, 21 Years and   No....................  No....................  4.....................  4....................  4.
 Over.
Father, Mother, Father-in-Law,      No....................  No....................  1.....................  1....................  1.
 Mother-in-Law, Stepparent, or
 Parent-by-Adoption.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Notes:
1. Yes, if dependent on an authorized sponsor for over 50 percent of his or her support or children of a sponsor residing in the household of a former
  spouse (20-20-20 or 10-20-10).
2. Yes if, for determination of dependency made on or after July 1, 1994, placed in the legal custody of the member as a result of a court of competent
  jurisdiction in the United States (or possession of the United States) for a period of at least 12 consecutive months.
3. Yes if, for determinations of dependency made on or after October 5, 1994, placed in the home of the member by a placement agency (recognized by the
  Secretary of Defense) or by another source authorized by State or local law to provide adoption placement, in anticipation of the legal adoption by
  the member.
4. Yes, if the child:
a. Has not attained the age of 23, is enrolled in a full-time course of study at an institution of higher learning approved by the administering
  Secretary, and is dependent on the member for over 50 percent of the child's support; or
b. Is incapable of self-support because of a mental or physical incapacity that existed before age 21, or occurred before the age of 23 while a full-
  time student, while a dependent of a member, and is dependent on the member for over 50 percent of the child's support.

    (13) Officers and crews of vessels, lighthouse keepers, and depot 
keepers of the former Lighthouse Service are eligible for benefits as 
shown in Table 40 to part 161.

[[Page 987]]



         Table 40 to Part 161--Benefits for Officers and Crews of Vessels, Lighthouse Keepers and Depot Keepers of the Former Lighthouse Service
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                              CHC                     DC                       C                     MWR                     E
--------------------------------------------------------------------------------------------------------------------------------------------------------
Self..............................  No....................  No....................  Yes...................  Yes..................  Yes.
--------------------------------------------------------------------------------------------------------------------------------------------------------

    (14) Presidential appointees who have been confirmed by the Senate 
(PASs), non-career and career SES employees, and SES equivalents of the 
DoD and the Military Services are eligible for benefits as shown in 
Table 41 to part 161.

                                               Table 41 to Part 161--Benefits for Presidential Appointees
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                              CHC                     DC                       C                     MWR                     E
--------------------------------------------------------------------------------------------------------------------------------------------------------
Self..............................  No....................  1.....................  No....................  No...................  No.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Note:
1. Designation for PASs and other designated civilian officials within the DoD and the Military Departments. This is a specific reimbursable care value
  at the interagency rate outside the National Capital Region.

    (15) Contract surgeons overseas during the period of their contract 
are eligible for benefits as shown in Table 42 to part 161.

                                              Table 42 to Part 161--Benefits for Contract Surgeons Overseas
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                              CHC                     DC                       C                     MWR                     E
--------------------------------------------------------------------------------------------------------------------------------------------------------
Self..............................  No....................  No....................  No....................  Yes..................  Yes.
--------------------------------------------------------------------------------------------------------------------------------------------------------

    (16) State employees of the National Guard may be identified in 
DEERS for the purpose of issuing a CAC to access DoD networks. There are 
no benefits assigned and no dependent benefits are extended as shown in 
Table 43 to part 161.

                                                Table 43 to Part 161--Benefits for State Guard Employees
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                              CHC                     DC                       C                     MWR                     E
--------------------------------------------------------------------------------------------------------------------------------------------------------
Self..............................  No....................  No....................  No....................  No...................  No.
--------------------------------------------------------------------------------------------------------------------------------------------------------



Sec. 161.21  Benefits for retired civilian personnel.

    (a) Retired DoD civilian employees. Retired appropriated and NAF 
employees of the DoD are eligible for benefits as shown in Table 44 to 
part 161.

                                            Table 44 to Part 161--Benefits for Retired DoD Civilian Employees
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                              CHC                     DC                       C                     MWR                     E
--------------------------------------------------------------------------------------------------------------------------------------------------------
Self..............................  No....................  No....................  No....................  1....................  No.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Note:
1. In accordance with DoD Instruction 1015.10, retired DoD civilian employees are eligible, on a space available basis, to the limited use of MWR
  facilities based on the discretion of the installation commander. The August 26, 2008, USD(P&R) Memorandum, ``Department of Defense Civilian Retiree
  Identification Cards'' authorized the issuance of a DoD ID card to this population.

    (b) Retired NOAA Wage Mariner employees and their eligible 
dependents. Retired NOAA Wage Mariners (retired ship's officers and 
members of the crews of NOAA vessels) are eligible for

[[Page 988]]

benefits in accordance with 33 U.S.C. 3074 as shown in Table 45 to part 
161.

                          Table 45 to Part 161--Benefits for Retired NOAA Wage Mariner Employees and Their Eligible Dependents
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                              CHC                     DC                       C                     MWR                     E
--------------------------------------------------------------------------------------------------------------------------------------------------------
Self..............................  No....................  No....................  Yes...................  No...................  Yes.
Lawful Spouse.....................  No....................  No....................  Yes...................  No...................  Yes.
Children, Unmarried, Under 21
 Years:
    Legitimate, adopted,            No....................  No....................  1.....................  No...................  1.
     stepchild, illegitimate child
     of record of female member,
     or illegitimate child of male
     member, whose paternity has
     been judicially determined.
    Ward..........................  No....................  No....................  1, 2..................  No...................  1, 2.
    Pre-adoptive Child............  No....................  No....................  1, 3..................  No...................  1, 3.
    Foster Child..................  No....................  No....................  1.....................  No...................  1.
Children, Unmarried, 21 Years and   No....................  No....................  1, 4..................  No...................  1, 4.
 Over.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Notes:
1. Yes, if a member of a household maintained by or for an authorized sponsor and dependent on that sponsor for over 50 percent of his or her support.
  Children residing in the household of a separated spouse continue to be eligible for commissary privileges until there is a final divorce decree. In
  the case of a divorce, children residing in the household of a former spouse ARE NOT considered to be members of the authorized sponsor's household
  for commissary privileges.
2. Yes, if, for determinations of dependency made on or after July 1, 1994, placed in the legal custody of the member or former member as a result of a
  court of competent jurisdiction in the United States (or possession of the United States) for a period of at least 12 consecutive months.
3. Yes, if, for determinations of dependency made on or after October 5, 1994, placed in the home of the member or former member by a placement agency
  (recognized by the Secretary of Defense) or by another source authorized by State or local law to provide adoption placement, in anticipation of the
  legal adoption by the member or former member.
4. Yes, if the child:
a. Has not attained the age of 23, is enrolled in a full-time course of study at an institution of higher learning approved by the administering
  Secretary, and is dependent on the former member for over 50 percent of the child's support; or
b. Is incapable of self-support because of a mental or physical incapacity that existed before age 21, or occurred before the age of 23 while a full-
  time student, while a dependent of a member or former member, and is dependent on the member or former member for over 50 percent of the child's
  support.



Sec. 161.22  Benefits for foreign affiliates.

    (a) Sponsored NATO and PFP personnel in the United States. Active 
duty officer and enlisted personnel of NATO and PFP countries serving in 
the United States under the sponsorship or invitation of the DoD or a 
Military Service and their accompanying dependents living in the 
sponsor's U.S. household are eligible for benefits as shown in Table 46 
to part 161.

                  Table 46 to Part 161--Benefits for Sponsored NATO and PFP Personnel and Accompanying Dependents in the United States
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                              CHC                     DC                       C                     MWR                     E
--------------------------------------------------------------------------------------------------------------------------------------------------------
Self..............................  No....................  1.....................  Yes...................  Yes..................  Yes.
Lawful Spouse.....................  2.....................  1.....................  Yes...................  Yes..................  Yes.
Children, Unmarried, Under 21
 Years:.
    Legitimate, adopted, stepchild  2, 3..................  1, 3..................  3.....................  3....................  3.
     Illegitimate child of member,
     or Illegitimate child of
     spouse.
    Ward..........................  No....................  No....................  3, 4..................  3, 4.................  3, 4.
Children, Unmarried, 21 Years and   2, 3, 5...............  1, 3, 5...............  1, 5..................  1, 5.................  1, 5.
 Over.

[[Page 989]]

 
Father, Mother, Father-in-Law,      No....................  No....................  3.....................  3....................  3.
 Mother-in-Law, Stepparent, or
 Parent by Adoption.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Notes:
1. Yes, for outpatient care no charge and for inpatient care at full reimbursable rate.
2. Yes, for outpatient care only.
3. Yes, if residing in the household of the foreign service member in the United States.
4. Yes, if, for determination of dependency made on or after July 1, 1994, placed in the legal custody of the member as a result of a court of competent
  jurisdiction in the United States (or possession of the United States) for a period of at least 12 consecutive months.
5. Yes, if the child:
a. Has not attained the age of 23, is enrolled in a full-time course of study at an institution of higher learning approved by the administering
  Secretary, and is dependent on the member for over 50 percent of the child's support; or
b. Is incapable of self-support because of a mental or physical incapacity that existed before age 21, or occurred before the age of 23 while a full-
  time student, while a dependent of a member, and is dependent on the member for over 50 percent of the child's support.

    (b) Sponsored non-NATO personnel in the United States. Active duty 
officer and enlisted personnel of non-NATO countries serving in the 
United States under DoD or Service sponsorship or invitation and their 
dependents, living in the non-NATO personnel's U.S. household, are 
eligible for benefits as shown in Table 47 to part 161.

                    Table 47 to Part 161--Benefits for Sponsored Non-NATO Personnel and Accompanying Dependents in the United States
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                              CHC                     DC                       C                     MWR                     E
--------------------------------------------------------------------------------------------------------------------------------------------------------
Self..............................  No....................  1.....................  Yes...................  Yes..................  Yes.
Lawful Spouse.....................  No....................  1.....................  Yes...................  Yes..................  Yes.
Children, Unmarried, Under 21
 Years:
    Legitimate, adopted,            No....................  1, 3..................  2.....................  2....................  2.
     stepchild, illegitimate child
     of member, or illegitimate
     child of spouse.
    Ward..........................  No....................  No....................  2, 3..................  2, 3.................  2, 3.
Children, Unmarried, 21 Years and   No....................  1, 2, 4...............  2, 4..................  2, 4.................  2, 4.
 Over.
Father, Mother, Father-in-Law,      No....................  No....................  2.....................  2....................  2.
 Mother-in-Law, Stepparent, or
 Parent by Adoption.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Notes:
1. Yes, for outpatient care only on a reimbursable basis.
2. Yes, if residing in the household of the foreign service member in the United States.
3. Yes, if, for determination of dependency made on or after July 1, 1994, placed in the legal custody of the member as a result of a court of competent
  jurisdiction in the United States (or possession of the United States) for a period of at least 12 consecutive months.
4. Yes, if the child:
a. Has not attained the age of 23, is enrolled in a full-time course of study at an institution of higher learning approved by the administering
  Secretary, and is dependent on the member for over 50 percent of the child's support; or
b. Is incapable of self-support because of a mental or physical incapacity that existed before age 21, or occurred before the age of 23 while a full-
  time student, while a dependent of a member, and is dependent on the member for over 50 percent of the child's support.

    (c) Non-sponsored NATO personnel in the United States. Active duty 
officer and enlisted personnel of NATO countries who, in connection with 
their official NATO duties, are stationed in the United States but are 
not under DoD or Service sponsorship and their accompanying dependents 
living in the non-sponsored NATO personnel's U.S. household are eligible 
for benefits as shown in Table 48 to part 161.

[[Page 990]]



                Table 48 to Part 161--Benefits for Non-Sponsored NATO and PFP Personnel in the United States and Accompanying Dependents
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                              CHC                     DC                       C                     MWR                     E
--------------------------------------------------------------------------------------------------------------------------------------------------------
Self..............................  No....................  1.....................  No....................  Yes..................  Yes.
Lawful Spouse.....................  2.....................  1.....................  No....................  No...................  No.
Children, Unmarried, Under 21
 Years:
    Legitimate, adopted,            2, 3..................  1, 3..................  No....................  No...................  No.
     stepchild, illegitimate child
     of member, or illegitimate
     child of spouse.
    Ward..........................  No....................  No....................  No....................  No...................  No.
Children, Unmarried, 21 Years and   2, 3, 4...............  1, 3, 4...............  No....................  No...................  No.
 Over.
Father, Mother, Father-in-Law,      No....................  No....................  No....................  No...................  No.
 Mother-in-Law, Stepparent, or
 Parent by Adoption.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Notes:
1. Yes, for outpatient care no charge and for inpatient care at full reimbursable rate.
2. Yes, for outpatient care only.
3. Yes, if residing in the household of the foreign service member in the United States.
4. Yes, if the child:
a. Has not attained the age of 23, is enrolled in a full-time course of study at an institution of higher learning approved by the administering
  Secretary, and is dependent on the member for over 50 percent of the child's support; or
b. Is incapable of self-support because of a mental or physical incapacity that existed before age 21, or occurred before the age of 23 while a full-
  time student, while a dependent of a member, and is dependent on the member for over 50 percent of the child's support.

    (d) NATO and non-NATO personnel OCONUS. Active duty officer and 
enlisted personnel of NATO and non-NATO countries serving OCONUS and 
outside their own country under DoD or Service sponsorship or invitation 
and their accompanying dependents living with the sponsor are eligible 
for benefits as shown in Table 49 to part 161. These benefits may be 
extended to this category of personnel not under DoD or Service 
sponsorship or invitation when it is determined by the major overseas 
commander that the granting of such privileges is in the best interests 
of the United States and such personnel are connected with, or their 
activities are related to, the performance of functions of the Service 
establishment.

                         Table 49 to Part 161--Benefits for NATO, PFP, and Non-NATO Personnel OCONUS and Accompanying Dependents
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                              CHC                     DC                       C                     MWR                     E
--------------------------------------------------------------------------------------------------------------------------------------------------------
Self..............................  No....................  1.....................  Yes...................  Yes..................  Yes.
Lawful Spouse.....................  No....................  1.....................  Yes...................  Yes..................  Yes.
Children, Unmarried, Under 21
 Years:.
    Legitimate, adopted,            No....................  1, 2..................  2.....................  2....................  2.
     stepchild, illegitimate child
     of member, or illegitimate
     child of spouse.
    Ward..........................  No....................  No....................  2, 3..................  2, 3.................  2, 3.
Children, Unmarried, 21 Years and   No....................  1, 2, 3...............  2, 4..................  2, 4.................  2, 4.
 Over.
Father, Mother, Father-in-Law,      No....................  No....................  2.....................  2....................  2.
 Mother-in-Law, Stepparent, or
 Parent by Adoption.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Notes:
1. Yes, for outpatient care only on a reimbursable basis.
2. Yes, if residing in the household of the foreign service member and dependent on over 50 percent support.

[[Page 991]]

 
3. Yes, if, for determination of dependency made on or after July 1, 1994, placed in the legal custody of the member as a result of a court of competent
  jurisdiction in the United States (or possession of the United States) for a period of at least 12 consecutive months.
4. Yes, if the child:
a. Has not attained the age of 23, is enrolled in a full-time course of study at an institution of higher learning approved by the administering
  Secretary, and is dependent on the member for over 50 percent of the child's support; or
b. Is incapable of self-support because of a mental or physical incapacity that existed before age 21, or occurred before the age of 23 while a full-
  time student, while a dependent of a member, and is dependent on the member for over 50 percent of the child's support

    (e) Korean Augmentation to the U.S. Army (KATUSA). Military service 
is mandatory for all Republic of Korea (ROK) male citizens. Those male 
citizens who speak English often become KATUSA serving with the U.S. 
Army forces in the ROK. This arrangement is provided for in the status 
of forces agreement between the United States and ROK. The KATUSAs are 
identified in DEERS for the purpose of issuing CACs for access to the 
U.S. installations in the ROK. No other benefits are provided as shown 
in Table 50 to part 161.

                                                        Table 50 to Part 161--Benefits for KATUSA
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                              CHC                     DC                       C                     MWR                     E
--------------------------------------------------------------------------------------------------------------------------------------------------------
Self..............................  No....................  No....................  No....................  No...................  No.
--------------------------------------------------------------------------------------------------------------------------------------------------------

    (f) Foreign national civilians. Civilian employees of a foreign 
government who are assigned a support role with the DoD or Military 
Services or attending school at one of the DoD or uniformed services 
advanced schools may be identified in DEERS for the purpose of issuing a 
CAC. The foreign national civilian must be sponsored by the DoD or a 
Military Service regardless of whether the foreign national civilian is 
from a NATO, PFP, or non-NATO country. There are no benefits assigned 
and no dependent benefits are extended as shown in Table 51 to part 161.

                                              Table 51 to Part 161--Benefits for Foreign National Civilians
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                              CHC                     DC                       C                     MWR                     E
--------------------------------------------------------------------------------------------------------------------------------------------------------
Self..............................  No....................  No....................  No....................  No...................  No.
--------------------------------------------------------------------------------------------------------------------------------------------------------

    (g) Foreign National Contractors. Contractor personnel, contracted 
to a foreign government, who are assigned a support role with the DoD or 
Military Services or as a representative of a foreign government at one 
of the DoD or uniformed services advanced schools may be identified in 
DEERS for the purpose of issuing a CAC for physical and logical access 
requirements. The foreign national contractor must be sponsored by the 
DoD or a Military Service regardless of whether the foreign national 
civilian is from a NATO, PFP, or a non-NATO country. There are no 
benefits assigned and no dependent benefits are extended as shown in 
Table 52 to part 161.

                                             Table 52 to Part 161--Benefits for Foreign National Contractors
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                              CHC                     DC                       C                     MWR                     E
--------------------------------------------------------------------------------------------------------------------------------------------------------
Self..............................  No....................  No....................  No....................  No...................  No.
--------------------------------------------------------------------------------------------------------------------------------------------------------

    (h) Personnel Covered by a Reciprocal Health Care Agreement (RHCA) 
in the United States. For countries that have bilateral RHCAs with the 
DoD, RHCAs provide that a limited number of foreign force members and 
their dependents in the United States may be provided inpatient medical 
care at MTFs on a space-available basis without cost (except for a 
subsistence charge, if it

[[Page 992]]

applies). Provision of such care is contingent on comparable care being 
made available to a comparable number of U.S. military personnel and 
their dependents in the foreign country. Benefits are provided as shown 
in Table 53 to part 161.

        Table 53 to Part 161--Benefits for Foreign Force Members and Eligible Dependents Residing in the United States Who Are Covered by an RHCA
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                              CHC                     DC                       C                     MWR                     E
--------------------------------------------------------------------------------------------------------------------------------------------------------
Self..............................  No....................  1.....................  5.....................  6....................  7.
Lawful Spouse.....................  No....................  1.....................  5.....................  6....................  7.
Children, Unmarried, Under 21
 Years:
    Legitimate, adopted,            No....................  1, 2..................  2.....................  2....................  2.
     stepchild, illegitimate child
     of member, or illegitimate
     child of spouse.
    Ward..........................  No....................  No....................  2, 3..................  2, 3.................  2, 3.
Children, Unmarried, 21 Years and   No....................  1, 2, 4...............  2, 4..................  2, 4.................  2, 4.
 Over.
Father, Mother, Father-in-Law,      No....................  No....................  2.....................  2....................  2.
 Mother-in-Law, Stepparent, or
 Parent by Adoption.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Notes:
1. As determined by the appropriate RHCA.
2. Yes, if residing in the household of the foreign force member in the United States.
3. Yes, if, for determination of dependency made on or after July 1, 1994, placed in the legal custody of the member as a result of a court of competent
  jurisdiction in the United States (or possession of the United States) for a period of at least 12 consecutive months.
4. Yes, if the child:
a. Has not attained the age of 23, is enrolled in a full-time course of study at an institution of higher learning approved by the administering
  Secretary, and is dependent on the member for over 50 percent of the child's support; or
b. Is incapable of self-support because of a mental or physical incapacity that existed before age 21, or occurred before the age of 23 while a full-
  time student, while a dependent of a member, and is dependent on the member for over 50 percent of the child's support.
5. Yes, if authorized by DoD Instruction 1330.17.
6. Yes, if authorized by DoD Instruction 1015.10.
7. Yes, if authorized by DoD Instruction 1330.21.


[[Page 993]]



                    SUBCHAPTER G_DEFENSE CONTRACTING





PART 162_PRODUCTIVITY ENHANCING CAPITAL INVESTMENT (PECI)--
Table of Contents



Sec.
162.1 Purpose.
162.2 Applicability and scope.
162.3 Definitions.
162.4 Policy.
162.5 Responsibilities.
162.6 Procedures.
162.7 Information requirements.

Appendix A to Part 162--Reporting Procedures

    Authority: 10 U.S.C. 136: E.O. 12367, 3 CFR, 1988 Comp., p. 566.

    Source: 56 FR 50271, Oct. 4, 1991, unless otherwise noted.



Sec. 162.1  Purpose.

    This part:
    (a) Updates policy, responsibilities, procedures, and guidance for 
the PECI process under DoD Directive 5010.31. \1\
---------------------------------------------------------------------------

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

    (b) Authorizes the publication of DoD 5010.36 36-H- \2\ 
``Productivity Enhancing Capital Investment (PECI) Handbook,'' 
consistent with DoD 5025.1-M. \3\
---------------------------------------------------------------------------

    \2\ Copies will be obtained, at cost, from the National Technical 
Information Service, 5285 Port Royal Road, Springfield, VA 22161.
    \3\ See footnote 1 to Sec. 162.1(a).
---------------------------------------------------------------------------



Sec. 162.2  Applicability and scope.

    This part.
    (a) Applies to the Office of the Secretary of Defense (OSD); the 
Military Departments; Chairman, Joint Chiefs of Staff and the Joint 
Staff; the Defense Agencies; and the DoD Field Activities (hereafter 
referred to collectively as the ``DoD Components'').
    (b) Encompasses the acquisition of equipment and facilities to 
improve the following:
    (1) Productivity, quality, and processes of DoD Components including 
major facilities, equipment, or process modernization.
    (2) Performance of individual jobs, tasks, procedures, operations, 
and processes.
    (c) Encompasses PIF investments at appropriated and industrially 
funded activities, if they are not participating in the Defense Business 
Operations Fund. For industrially funded activities, projects may be 
submitted for PIF on an exception basis; primarily, this includes 
facilities, multi-function projects, prototypes, demonstrations, and 
cross-service initiatives. Investments at Government-owned, contractor-
operated (GOCO) facilities are limited to those for which the Department 
of Defense has responsibility to provide equipment or facilities and 
from which productivity benefits can be recovered within existing 
contractual provisions.



Sec. 162.3  Definition.

    (a) Capital Investment. The acquisition, installation, 
transportation, and other costs needed to place equipment or facilities 
in operation meeting DoD capitalization requirements.
    (b) Economic Life. The time period over which the benefits to be 
gained from a project may reasonably be expected to accrue to the 
Department of Defense.
    (c) Internal Rate of Return (IRR). The discount rate that equates 
the present value of the future cash inflows, e.g. savings and cost 
avoidances, with the present value costs of an investment.
    (d) Life-Cycle Savings. The estimated cumulative budgetary savings 
expected over the life of the project.
    (e) Net Present Value of Investment. The difference between the 
present value benefit and the present value cost at a given discount 
rate.
    (f) Off-the-Shelf. Equipment that is readily available through 
Government or commercial sources or that can be fabricated through 
combination or modification of existing equipment.
    (g) Pay-Back Period. The number of years required for the cumulative 
savings to have the same value as the investment cost.
    (h) PECI Benefits. Benefits resulting from PECIs are classified as 
savings or as cost avoidance:
    (1) Savings. Benefits that can be precisely measured, quantified, 
and placed

[[Page 994]]

under management control at time of realization. Savings can be 
reflected as specific reductions in the approved program or budget, 
after they have been achieved. Examples include costs for manpower 
authorizations and or funded work-year reductions, reduced or eliminated 
operating costs (utilities, travel, and repair), and reduced or 
eliminated parts and contracts.
    (2) Cost-Avoidance. Benefits from actions that obviate the 
requirements for an increase in future levels of manpower or costs that 
would be necessary, if present management practices were continued. The 
effect of cost-avoidance savings is the achievement of a higher level of 
readiness or increased value (quantity, quality or timeliness) of output 
at level staffing cost or the absorption of a growing work load at the 
same level of staffing or cost.
    (i) Post-Investment Assessment (PIA). A PIA is conducted by DoD 
Components to establish accountability and provide information to 
improve future investment strategies.
    (j) Productivity. The efficiency with which resources are used to 
provide a government service or product at specified levels of quality 
and timeliness.
    (k) Productivity Enhancement (or Productivity Improvement). A 
decrease in the unit cost of products and services delivered with equal 
or better levels of quality and timeliness.
    (l) Productivity Enhancing Capital Investment (PECI). Equipment or 
facility funding that shall improve Government service, products, 
quality, or timeliness. PECI projects are funded using PIF, PEIF, and 
CSI programs. These programs are defined as follows:
    (1) Productivity Investment Fund (PIF). PIF projects cost over 
$100,000 and must amortize within 4 years from the date they become 
operational. In FY 1994 the threshold changes to $150,000.
    (2) Productivity Enhancing Incentive Fund (PEIF). PEIF projects cost 
under $100,000 and are expected to amortize within 2 years of the date 
they become operational. In FY 1994 the limit changes to $150,000.
    (3) Component-Sponsored Investment (CSI). CSI projects are fast pay-
back or high interest investments that may have different DoD Component 
selection criteria than those specified for PIF or PEIF projects.
    (m) Quality. The extent to which a product or service meets customer 
requirements and customer expectations.



Sec. 162.4  Policy.

    It is DoD Policy that:
    (a) The PECI program shall be an integral part of DoD Component 
investment planning and of the Defense Planning, Programming, and 
Budgeting System (PPBS) DoD Instruction 7045.7. \4\ PECI planning shall 
include the productivity investment fund (PIF), the productivity 
enhancing incentive fund (PEIF), and component-sponsored investments 
(CSIs). The PECI program is a major DoD strategy to achieve productivity 
goals under E.O. 12637. \5\
---------------------------------------------------------------------------

    \4\ See footnote 1 to Sec. 162.1(a).
    \5\ See footnote 1 to Sec. 162.1(a).
---------------------------------------------------------------------------

    (b) PECI projects shall be selected to improve quality and 
productivity, or to reduce unit cost of outputs in defense operations. 
PECI projects shall be evaluated and approved for funding based on 
recognized principles of economic analysis. Each PECI project shall be 
subject to all restrictions established by public law, DoD policy, and 
other regulatory constraints.
    (c) DoD personnel at all levels shall be encouraged to seek out and 
identify opportunities for quality and productivity improvement. Those 
efforts shall be supported by using the PECI as a means of financing the 
improvements. The PECI Program shall provide incentives for 
participation, supported by the financial management system and 
policies.
    (d) Individuals or groups who successfully identify PECI 
opportunities that result in significant savings or improvements in 
quality or productivity or who aggressively promote PECI incentives 
within their organizations should be recognized through the DoD 
Incentive Awards Program, DoD Instruction 5120.16, \6\ the Secretary of 
Defense Productivity Excellence Awards Program, performance appraisal, 
or other appropriate means. All these savings derived through PECI will 
remain with the originating DoD Component.

[[Page 995]]

As an incentive a portion of these savings, when possible, should remain 
at the submitting activity.
---------------------------------------------------------------------------

    \6\ See footnote 1 to Sec. 162.1(a).
---------------------------------------------------------------------------

    (e) Funds provided through FY 1993 from the centrally managed OSD 
PIF may not be reprogrammed for non-PIF purposes without prior approval 
of the Assistant Secretary of Defense (Force Management and Personnel) 
(ASD(FM&P)). The Heads of DoD Components shall monitor obligation rates 
to ensure PIF projects are executed quickly. If project funding cannot 
be obligated within the specified fiscal year(s) for the type of 
funding, the Head of the DoD Component must reprogram PIF funds to 
alternate approved PIF projects. The PIF projects shall be monitored to 
ensure timely implementation and to validate savings through the 
amortization period. The PECIs are subject to audit as established by 
DoD Instruction 7600.2 \7\ (reference (g)) policy.
---------------------------------------------------------------------------

    \7\ See footnote 1 to Sec. 162.1(a).
---------------------------------------------------------------------------



Sec. 162.5  Responsibilities.

    (a) The Assistant Secretary of Defense (Force Management and 
Personnel (ASD (FM&P)) shall:
    (1) Develop policies and guidance for the overall DoD PECI program.
    (2) Maintain oversight of the PECI program to ensure implementation 
of this instruction. Through FY 1993 that oversight includes total 
process control and coordination of PIF actions to identify, select and 
approve, reprogram, and disapprove projects. Starting FY 1994 and ASD 
(FM&P) shall retain central oversight of the PECI program which is 
decentralized to the Components.
    (3) Evaluate program results and training requirements and provide 
additional guidance, as necessary.
    (4) Develop, maintain, and publish a DoD 5010.36-H consistent with 
DoD 5025.1-M \8\
---------------------------------------------------------------------------

    \8\ See footnote 1 to Sec. 162.1(a).
---------------------------------------------------------------------------

    (5) Coordinate PECI efforts with the Heads of the DoD Components on 
matters that affect their particular areas of responsibility.
    (6) Use the Defense Productivity Program Office (DPPO) to:
    (i) Provide technical guidance and support for PECI efforts.
    (ii) Monitor and evaluate DoD Component PECI efforts.
    (iii) Ensure compliance with DoD Directive 7750.5 \9\
---------------------------------------------------------------------------

    \9\ See footnote 1 to Sec. 162.1(a).
---------------------------------------------------------------------------

    (b) The Inspector General of the Department of Defense (IG, DoD) 
shall provide policy and guidance for the audit of the PECI and 
incorporate the requirement for audit into audit planning and program 
documents.
    (c) The Heads of the DoD Components shall:
    (1) Develop and sustain a formal PECI program that:
    (i) Emphasizes and encourages the improvement of day-to-day 
operations through PECI funding.
    (ii) Provides motivation and opportunities for personnel, at all 
levels, to participate in the identification, documentation, and 
implementation of PECI proposals.
    (iii) Includes PIF, PEIF, and CSI efforts, as appropriate.
    (iv) Reviews and approves submitted projects, broadens project 
applicability when reasonable, applies off-the-shelf technology, and 
integrates capital investment planning into the PPBS.
    (2) Designate an official to be the central point of contact (POC) 
who shall oversee and monitor the PECI program.
    (3) Establish procedures ensuring that the policies contained in 
Sec. 162.4, above, are adhered to.



Sec. 162.6  Procedures.

    The following procedures shall be followed by the DoD Components in 
the identification, documentation, selection, and financing of PECI 
projects:
    (a) Document each PECI project to ensure that it is:
    (1) A desirable action in accordance with the DoD Component's long-
range planning and programing objectives, quality objectives, and 
customer and/or user satisfaction.
    (2) Needed to perform and improve valid operations, functions, or 
services (as established by assigned missions and taskings) that cannot 
be performed as effectively or economically by other means, such as the 
use of existing facilities, methods, processes, or procedures.

[[Page 996]]

    (3) Justified on the basis of a valid economic analysis done in 
accordance with DoD Instruction 7041.3.
    (4) Validated as to reasonableness, completeness, and correct 
appropriation.
    (5) Classified properly as having savings or cost avoidance benefits
    (b) Include resources for PECI in programming documents and budget 
submissions. The level of funding shall be established under quality and 
productivity plans and goals established by the Component.
    (c) Use guidelines for project documentation, pre-investment 
analysis, financing, and post-investment accountability of PECI 
projects, when DoD 5010.36-H is published.
    (d) Classify PECI projects for financing and aggregated reporting as 
follows:
    (1) PIF projects. PIF projects are competitively selected from 
candidate proposals and financed through traditional budget 
appropriation processes from funds set aside for this purpose. PIF 
projects must cost over $100,000 and must amortize within 4 years from 
the date that they become operational. Both equipment and facilities 
investments that conform to public law, or DoD policies governing their 
qualification, may be included. Projects may include a function at 
several activities or locations and be Service-wide or Agency-wide. In 
FY 1994 the threshold will change to $150,000.
    (2) PEIF projects. PEIF projects are financed from the DoD Component 
accounts established in annual appropriations and are expected to 
amortize within 2 years of the date they become operational. Funding for 
PEIF projects shall be included in the DoD Component annual 
appropriations as a single amount to cover projects, as they are 
proposed throughout the budget year. PEIF projects cannot exceed 
$100,000 or cost limitations established by the OSD (whichever is 
greater) and are limited to facility modification and acquisition of 
``off-the shelf'' equipment requiring little or no modification before 
use. In FY 1994 the limit changes to $150,000. Justification for those 
projects shall be based on the potential to improve quality and 
productivity that is realized through improvements in operating methods, 
quality, processes, or procedures.
    (3) CSI. CSI projects are investments financed from the DoD 
Component accounts that may have longer amortization periods than the 
PEIF and may have different DoD Component cost or benefit criteria than 
those specified for PIF projects. The CSI projects shall be identified 
and included in the DoD Component's annual budget.



Sec. 162.7  Information requirements.

    (a) DoD Components shall submit to the ASD (FM&P), by December 15th 
of each year, an annual status report on all PECI programs as outlined 
in appendix A to this part. The DoD Components shall maintain the data 
at a central point to support reporting requirements.
    (b) The Summary Report, ``PECI Program Status,'' is assigned Report 
Control Symbol FM&P (A) 1561, in accordance with DoD Directive 7750.5.



             Sec. Appendix to Part 162--Reporting Procedures

                               A. General

    The PECI reporting requirements provide the OSD with summary 
information required to provide program accountability, and satisfy the 
congressional concerns on program management. Information may be 
submitted in memorandum, letter, or other acceptable form.

                       B. Information Requirements

    1. PIF. Each DoD Component that has a funded PIF project must 
annually report summary PIF information. The information required for 
each project follows:
    a. Project Identification. Provide the 11-digit code for each 
project that has been approved for desired funding, such as follows:
    (1) A92BAxxxxxx
    (a) ``A'' is for an Army project.
    (b) ``92'' is for a FY92 project.
    (c) ``BA'' is an Approved PIF project.
    (d) ``xxxxxx'' is a DoD Component identifier.
    (2) DoD Component PECI points of contact should establish 
identifiers to ensure each project is unique.
    b. Total Funds Provided. For each project provide the cumulative 
amount of PEIC funds invested in the project
    c. Total Amount Obligated. For each project provide the cumulative 
amount of funds obligated against the project.
    d. Actual Savings. For each project provide the cumulative actual 
savings generated.

[[Page 997]]

    e. Projected Life-Cycle Savings. For each PIF project provide the 
estimated amount of savings the project is projected to earn over the 
project's economic life.
    f. Projected Life-Cycle Cost Avoidance. For each PIF project provide 
the estimated amount of cost avoidance the project is projected to 
achieve.
    2. PEIF. Each DoD Component that has funded PEIF projects must 
annually report summary information that includes:
    a. Total Number of Projects.
    b. Total Funds Provided.
    c. Total Amount Obligated.
    d. Total Projected Life-Cycle Savings.
    e. Total Projected Life-Cycle Cost Avoidance.
    3. CSI. Each DoD Component that has funded CSI projects must 
annually report summary information that includes:
    a. Total Number of Projects.
    b. Total Funds Provided.
    c. Total Amount Obligated.
    d. Total Projected Life-Cycle Savings.
    e. Total Projected Life-Cycle Cost Avoidance.
    4. PIA Post-Investment assessments, articles, pictures, and brief 
description of projects and their results are encouraged and may be 
attached to the annual report or submitted throughout the year.



PART 165_RECOUPMENT OF NONRECURRING COSTS (NCs) ON SALES OF U.S. ITEMS--
Table of Contents



Sec.
165.1 Purpose.
 165.2 Applicability.
165.3 Definitions.
165.4 Policy.
165.5 Responsibilities.
165.6 Procedures.
165.7 Waivers (including reductions).

    Authority: 22 U.S.C. 2761(e)(1)(B); 22 U.S.C. 2761 (e)(2); and 22 
U.S.C. 2767(b)

    Source: 78 FR 31400, May 24, 2013, unless otherwise noted.



Sec. 165.1  Purpose.

    This part updates policy, responsibilities, and procedures to 
conform with 22 U.S.C. 2761(e)(1)(B), 2761 (e)(2), and 2767(b) (also 
known as ``sections 21(e)(1)(B), 21(e)(2), and 27(b) of the Arms Export 
Control Act, as amended'') for calculating and assessing NC recoupment 
charges on sales of items developed for or by the Department of Defense 
to non-U.S. Government customers.



Sec. 165.2  Applicability.

    (a) This part applies to the Office of the Secretary of Defense, the 
Military Departments, the Office of the Chairman of the Joint Chiefs of 
Staff and the Joint Staff, the Combatant Commands, the Office of the 
Inspector General of the Department of Defense, the Defense Agencies, 
the DoD Field Activities, and all other organizational entities within 
the Department of Defense (hereafter referred to collectively as the 
``DoD Components'').
    (b) This part does not apply to sales of excess property when 
accountability has been transferred to property disposal activities and 
the property is sold in open competition to the highest bidder.



Sec. 165.3  Definitions.

    The following definitions apply to this part.
    Blanket waiver. An NC recoupment charge waiver that is not related 
to a particular sale; for example, waivers for all sales to a country or 
all sales of a weapon system.
    Cooperative projects. Defined in 22 U.S.C. 2767(b).
    Cost pool. The total cost to be distributed across the specific 
number of units, normally the number of units produced plus those 
planned to be produced. The nonrecurring research, development, test, 
and evaluation cost pool comprises the costs described in the definition 
for nonrecurring research, development, test and evaluation costs in 
this section. The nonrecurring production cost pool comprises costs 
described in the definition for nonrecurring production costs.
    Foreign military sale. A sale by the U.S. Government (U.S.G.) of 
defense items or defense services to a foreign government or 
international organization pursuant to 22 U.S.C. Chapter 39.
    Major defense equipment. Any item of significant military equipment 
on the United States Munitions List having a nonrecurring research, 
development, test, and evaluation cost of more than 50 million dollars 
or a total production cost of more than 200 million dollars. The 
determination of whether an item meets the major defense equipment 
dollar threshold for research, development, test, and evaluation shall 
be

[[Page 998]]

based on DoD obligations recorded to the date the equipment is offered 
for sale. Production costs shall include costs incurred by the 
Department of Defense. Production costs for the foreign military sales 
program and known direct commercial sales production are excluded.
    Model. A basic alpha-numeric designation in a weapon system series 
(e.g., a ship hull series, an equipment or system series, an airframe 
series, or a vehicle series). For example, the AN/TPQ-36(V)2 and the 
(AN/TPQ-36(V)10 are different models in the same radar system series.
    Nonrecurring production costs. Those one-time costs incurred in 
support of previous production of the model specified and those costs 
specifically incurred in support of the total projected production run. 
Those NCs include DoD expenditures for preproduction engineering; 
special tooling; special test equipment; production engineering; product 
improvement; destructive testing; and pilot model production, testing, 
and evaluation. That includes costs of any engineering change proposals 
initiated before the date of calculations of the NC recoupment charge. 
Nonrecurring production costs do not include DoD expenditures for 
machine tools, capital equipment, or facilities for which contractor 
rental payments are made or waived in accordance with the Defense 
Federal Acquisition Regulation Supplement.\1\
---------------------------------------------------------------------------

    \1\ Available at http://www.acq.osd.mil/dpap/dars/dfarspgi/current/
index.html.
---------------------------------------------------------------------------

    Nonrecurring research, development, test and evaluation costs. Those 
costs funded by a research, development, test, and evaluation 
appropriation to develop or improve the product or technology under 
consideration either through contract or in-house DoD effort. This 
includes costs of any engineering change proposal started before the 
date of calculation of the NC recoupment charges as well as projections 
of such costs, to the extent additional effort applicable to the sale 
model or technology is necessary or planned. It does not include costs 
funded by either procurement or operation and maintenance 
appropriations.
    Pro rata recovery of NCs. Equal distribution (proration) of a pool 
of NCs to a specific number of units that benefit from the investment so 
that a DoD Component shall collect from a customer a fair (pro rata) 
share of the investment in the product being sold. The production 
quantity base used to determine the pro rata calculation of major 
defense equipment includes total production.
    Significant change in NCs recoupment charge. (1) A significant 
change in an NC recoupment charge occurs when:
    (i) A new calculation shows a change of 30 percent of the current 
system NC charge.
    (ii) The NC unit charge increases or decreases by 50,000 dollars or 
more, or
    (iii) Where the potential for a 5 million dollar change in 
recoupment exists.
    (2) The total collections may be estimated based on the projected 
sales quantities. A significant change occurs when potential collections 
increase or decrease by 5 million dollars.
    Special research, development, test, and evaluation and nonrecurring 
production costs. Costs incurred under a foreign military sale at the 
request of, or for the benefit of, a foreign customer to develop a 
special feature or unique or joint requirement. Those costs must be paid 
by the customer as they are incurred.



Sec. 165.4  Policy.

    It is DoD policy that:
    (a) The NC recoupment charge shall be imposed for sales of major 
defense equipment only as required by an Act of Congress. The USD(P), 
through the Defense Security Cooperation Agency, may grant a waiver to 
recoupment charges in accordance with in accordance with this part and 
DoD Directive 5105.65.'' \2\
---------------------------------------------------------------------------

    \2\ Available at http://www.dtic.mil/whs/directives/corres/pdf/
510565p.pdf.
---------------------------------------------------------------------------

    (b) The NC charges shall be based on the amount of the Department of 
Defense nonrecurring investment in an item.



Sec. 165.5  Responsibilities.

    (a) Under Secretary of Defense (Comptroller)/Chief Financial Officer

[[Page 999]]

(USD(C)/CFO)) shall provide necessary financial management guidance to 
the Department of Defense regarding the recoupment of NC.
    (b) The Under Secretary of Defense for Acquisition, Technology, and 
Logistics shall take appropriate action to ensure the Defense Federal 
Acquisition Regulation Supplement remains in accordance with this part.
    (c) The USD(P) shall:
    (1) Monitor the application of this part.
    (2) Review and approve NC recoupment charges.
    (3) Review and approve NC recoupment charge waiver requests received 
from foreign countries and international organizations for foreign 
military sales.
    (4) Oversee publication of a listing of items developed for or by 
the Department of Defense to which NC recoupment charges are applicable.
    (5) Use the guidance in Sec. 165.7 of this part to review NC waiver 
requests.
    (d) The Secretaries of the Military Departments and the Directors of 
the Defense Agencies shall:
    (1) Determine the DoD nonrecurring investment in items developed for 
or by the Department of Defense and perform required pro rata 
calculations in accordance with this part and financial management 
guidance from USD(C)/CFO when a military equipment asset type is 
considered a candidate for sale.
    (2) Validate and provide recommended charges to the USD(P). Retain 
supporting documentation until the item has been eliminated from the NC 
recoupment charge listing.
    (3) Review approved NC recoupment charges on a biennial basis to 
determine if there has been a change in factors or assumptions used to 
compute a NC recoupment charge and, if there is a significant change in 
a NC recoupment charge, recommend the change to USD(P) for review, 
approval, and publication in DSCA 5105.38-M, ``Security Assistance 
Management Manual (SAMM).'' \3\
---------------------------------------------------------------------------

    \3\ Available at http://www.dsca.osd.mil/samm/.
---------------------------------------------------------------------------

    (4) Collect charges on foreign military sales, in accordance with 
DoD 7000.14-R.\4\
---------------------------------------------------------------------------

    \4\ Available at http://www.defenselink.mil/comptroller/fmr/.
---------------------------------------------------------------------------

    (5) Deposit collections to accounts as prescribed by the USD(C)/CFO.
    (6) Request guidance from the USD(P), within 90 days after 
determining that an issue concerning an NC recoupment charge cannot be 
resolved.



Sec. 165.6  Procedures.

    (a) The NC recoupment charge to be reimbursed shall be a pro rata 
recovery of NCs for the applicable major defense equipment (MDE). 
Recovery of NC recoupment charges shall cease upon the recovery of total 
DoD nonrecurring investment costs. Such charges shall be based on a cost 
pool as defined in Sec. 165.3. For an MDE system that includes more 
than one component, a ``building block'' approach (i.e., the sum of NC 
recoupment charges for individual components) shall be used to determine 
the NC recoupment charge for the sale of the entire system.
    (b) The NC recoupment charge shall not apply when a waiver has been 
approved by USD(P), in accordance with Sec. 165.7, or when sales are 
financed with USG funds made available on a non-repayable basis. 
Approved revised NC recoupment charges shall not be applied 
retroactively to accepted foreign military sales agreements.
    (c) When MDE is sold at a reduced price due to age or condition, the 
equipment's NC recoupment charge shall be reduced by the same percentage 
reduction.
    (d) The full amount of costs for ``special'' research, development, 
test, and evaluation and nonrecurring production costs incurred for the 
benefit of particular customers shall be paid by those customers. 
However, when a subsequent purchaser requests the same specialized 
features that resulted from the added ``special'' research, development, 
test, and evaluation and nonrecurring production costs, a pro rata share 
of those costs may be paid by the subsequent purchaser and transferred 
to the original customer if those special NCs exceed 50 million dollars. 
The

[[Page 1000]]

pro rata share may be a unit charge determined by the DoD Component as a 
result of distribution of the total costs divided by the total 
production. Unless otherwise authorized by USD(P), special research, 
development, test, and evaluation and nonrecurring production costs will 
not be collected after 10 years have passed since the date the original 
FMS customer accepted the FMS Letter of Offer and Acceptance (LOA) that 
included the special NC charges. The USG shall not be charged any NC 
recoupment charges if it adopts the features for its own use or provides 
equipment with such features under a U.S. grant aid or similar program.
    (e) Cooperative DoD agreements, to include co-production, co-
development and cooperative development agreements, shall use the policy 
in this part to determine the allocation basis for recouping the 
participant investment costs from third-party purchasers. Each 
respective DoD agreement shall bind all parties to the agreement to 
comply with the policies in this part regarding third party sales and 
for the distribution of recouped funds among the parties.



Sec. 165.7  Waivers (including reductions).

    (a) Title 22, U.S.C. 2761(e)(1)(B) requires the recoupment of a 
proportionate amount of NCs of MDE from foreign military sales 
customers.
    (b) Pursuant to 22 U.S.C. 2761(e)(2)(A), a waiver or reduction in 
the NC for a specific sale may be made if the sale will significantly 
advance U.S. Government interests in:
    (1) Standardization with the North Atlantic Treaty Organization.
    (2) Standardization with Australia, Israel, Japan, New Zealand, or 
the Republic of Korea in furtherance of mutual defense treaties with one 
or more of those countries.
    (3) Foreign procurement in the United States under a co-production 
agreement.
    (c) In accordance with 22 U.S.C. 2761(e)(2)(B), a waiver may be made 
if:
    (1) Imposition of an NC recoupment charge likely would result in the 
loss of the sale; or,
    (2) The sale is for an MDE also being procured for the Military 
Services, and will result in DoD unit cost savings that substantially 
offset the revenue foregone by waiving the recoupment charge because the 
total quantity of purchased equipment caused a reduction in the unit 
cost.
    (d) In accordance with 22 U.S.C. 2761(e)(2)(C), any increase in a NC 
charge previously approved as appropriate may be waived for a particular 
sale if the increase results from a correction of an estimate of the 
production quantity base that was used for calculating the charge.
    (e) Requests for waivers should originate with the foreign 
government and shall provide information on the extent of 
standardization to be derived as a result of the waiver.
    (1) Blanket waiver requests should not be submitted and shall not be 
considered.
    (2) A waiver request shall not be considered for a sale that was 
accepted without an NC recoupment charge waiver, unless the acceptance 
was conditional on consideration of the waiver request.
    (3) Requests for waivers shall be processed expeditiously, and 
approved or disapproved by USD(P) within 60 days of receipt. A waiver in 
whole or in part of the recoupment charge or a denial of the request 
shall be provided in writing.



PART 168a_NATIONAL DEFENSE SCIENCE AND ENGINEERING GRADUATE FELLOWSHIPS
--Table of Contents



Sec.
168a.1 Purpose.
168a.2 Applicability.
168a.3 Definition.
168a.4 Policy and procedures.
168a.5 Responsibilities.

    Authority: 10 U.S.C. 2191.

    Source: 55 FR 29844, July 23, 1990, unless otherwise noted.



Sec. 168a.1  Purpose.

    This part:
    (a) Establishes guidelines for the award of National Defense Science 
and Engineering Graduate (NDSEG) Fellowships, as required by 10 U.S.C. 
2191.
    (b) Authorizes, in accordance with 10 U.S.C. 2191 and consistent 
with DoD 5025.1, the publication of a regulation

[[Page 1001]]

which will be codified at 32 CFR part 168b.



Sec. 168a.2  Applicability.

    This part applies to the Office of the Secretary of Defense (OSD), 
the Military Departments, and the Defense Agencies (hereafter referred 
to collectively as ``DoD Components'').



Sec. 168a.3  Definition.

    Sponsoring Agency. A DoD Component or an activity that is designated 
to award NDSEG fellowships under Sec. 168a.5(a).



Sec. 168a.4  Policy and procedures.

    (a) Sponsoring Agencies, in awarding NDSEG fellowships, shall award:
    (1) Solely to U.S. citizens and nationals who agree to pursue 
graduate degrees in science, engineering, or other fields of study that 
are designated, in accordance with Sec. 168a.5(b)(2), to be of priority 
interest to the Department of Defense.
    (2) Through a nationwide competition in which all appropriate 
actions have been taken to encourage applications from members of groups 
(including minorities, women, and disabled persons) that historically 
have been underrepresented in science and engineering.
    (3) Without regard to the geographic region in which the applicant 
lives or the geographic region in which the applicant intends to pursue 
an advanced degree.
    (b) The criteria for award of NDSEG fellowships shall be:
    (1) The applicant's academic ability relative to other persons 
applying in the applicant's proposed field of study.
    (2) The priority of the applicant's proposed field of study to the 
Department of Defense.



Sec. 168a.5  Responsibilities.

    (a) The Deputy Director, Defense Research and Engineering (Research 
and Advanced Technology) [DDDR&E(R&AT)], shall:
    (1) Administer this part and issue DoD guidance, as needed, for 
NDSEG fellowships.
    (2) Designate those DoD Components that will award NDSEG 
fellowships, consistent with relevant statutory authority.
    (3) Issue a regulation in accordance with 10 U.S.C. 2191 and DoD 
5025.1-M.
    (b) The Heads of Sponsoring Agencies, or their designees, in 
coordination with a representative of the Deputy Director, Defense 
Research and Engineering (Research and Advanced Technology) 
[DDDR&E(R&AT)], shall:
    (1) Oversee the nationwide competition to select NDSEG fellowship 
recipients.
    (2) Determine those science, engineering and other fields of 
priority interest to the Department of Defense in which NDSEG 
fellowships are to be awarded.
    (3) Prepare a regulation, in accordance with 10 U.S.C. 2191, that 
prescribes.
    (i) Procedures for selecting NDSEG fellows.
    (ii) The basis for determining the amounts of NDSEG fellowships.
    (iii) The maximum NDSEG fellowship amount that may be awarded to an 
individual during an academic year.



PART 169_COMMERCIAL ACTIVITIES PROGRAM--Table of Contents



Sec.
169.1 Purpose.
169.2 Applicability and Scope.
169.3 Definitions.
169.4 Policy.
169.5 Responsibilities.

    Authority: 5 U.S.C. 301 and 552 and Pub. L. 93-400.

    Source: 54 FR 13373, Apr. 3, 1989, unless otherwise noted.



Sec. 169.1  Purpose.

    This document:
    (a) Revises 32 CFR part 169.
    (b) Updates DoD policies and assigns responsibilities for commercial 
activities (CAs) as required by E.O. 12615, Pub. L. 100-180, sec. 1111, 
and OMB Circular A-76.



Sec. 169.2  Applicability and scope.

    This part:
    (a) Applies to the Office of the Secretary of Defense (OSD), the 
Military Departments, and the Defense Agencies (hereafter referred to 
collectively as ``DoD Components'').

[[Page 1002]]

    (b) Encompasses DoD policy for CAs in the United States, its 
territories and possessions, the District of Columbia, and the 
Commonwealth of Puerto Rico.
    (c) Is not mandatory for CAs staffed solely with DoD civilian 
personnel paid by nonappropriated funds, such as military exchanges. 
However, this part is mandatory for CAs when they are staffed partially 
with DoD civilian personnel paid by or reimbursed from appropriated 
funds, such as libraries, open messes, and other morale, welfare, and 
recreation (MWR) activities. When related installation support functions 
are being cost-compared under a single solicitation, a DoD Component may 
decide that it is practical to include activities staffed solely with 
DoD civilian personnel paid by nonappropriated funds.
    (d) Does not apply to DoD governmental functions as defined Sec. 
169.3.
    (e) Does not apply when contrary to law, Executive orders, or any 
treaty or international agreement.
    (f) Does not apply in times of a declared war or military 
mobilization.
    (g) Does not provide authority to enter into contracts.
    (h) Does not apply to the conduct of research and development, 
except for severable in-house CAs that support research and development, 
such as those listed in enclosure 3 of DoD Instruction 4100.33 \1\ (32 
CFR part 169a).
---------------------------------------------------------------------------

    \1\ Copies may be obtained, if needed, from the U.S. Naval 
Publications and Forms Center, ATTN: Code 1053, 5801 Tabor Avenue, 
Philadelphia, PA 19120.
---------------------------------------------------------------------------

    (i) Does not justify conversion to contract solely to avoid 
personnel ceilings or salary limitations.
    (j) Does not authorize contracts that establish an employer-employee 
relationship between the Department of Defense and contractor employees, 
as described in FAR 37.104.



Sec. 169.3  Definitions.

    Commercial Activity Review. The process of evaluating CAs for the 
purpose of determining whether or not a cost comparison will be 
conducted.
    Commercial Source. A business or other non-Federal activity located 
in the United States, its territories and possessions, the District of 
Columbia, or the Commonwealth of Puerto Rico that provides a commercial 
product or service.
    Conversion to Contract. The changeover of a CA from performance by 
DoD personnel to performance under contract by a commercial source.
    Conversion to In-House. The changeover of a CA from performance 
under contract to performance by DoD personnel.
    Core Logistics. Those functions identified as core logistics 
activities pursuant to section 307 of Pub. L 98-525 and section 1231 of 
Pub. L. 99-145, codified at section 2464, title 10 that are necessary to 
maintain a logistics capability (including personnel, equipment, and 
facilities) to ensure a ready and controlled source of technical 
competence and resources necessary to ensure effective and timely 
response to a mobilization, national defense contingency situation, and 
other emergency requirements.
    Cost Comparison. The process of developing an estimate of the cost 
of performance of a CA by DoD employees and comparing it, in accordance 
with the requirements in DoD Instruction 4100.33 to the cost of 
performance by contract.
    Direct-Conversion. Conversion to contract performance of an in-house 
commercial activity based on a simplified cost comparsion or the 
conversion of an in-house commerical activity performed exclusively by 
military personnel.
    Displaced DoD Employee. Any DoD employee affected by conversion to 
contract operation (including such actions as job elimination, or grade 
reduction). It includes both employees in the function converted to 
contract and employees outside the function who are affected adversely 
by conversion through reassignment or the exercise of bumping or retreat 
rights.
    DoD Commercial Activity (CA). An activity that provides a product or 
service obtainable (or obtained) from a commerical source. A DoD CA may 
be the mission of an organization or a function within the organization. 
It must be type of work that is separable from other functions or 
activities so that it is suitable for performance by contract. A 
representative list of the

[[Page 1003]]

functions performed by such activities is provided in enclosure 3 of DoD 
Instruction 4100.33. A DoD CA falls into one of two categories:
    (a) Contract CA. A DoD CA managed by a DoD Component, but operated 
with contractor personnel.
    (b) In-House CA. A DoD CA operated by a DoD Component with DoD 
personnel.
    DoD Employee. Civilian personnel of the Department of Defense.
    DoD Governmental Function. A function that is related so intimately 
to the public interest as to mandate performance by DoD personnel. These 
functions include those that require either the exercise of discretion 
in applying Government authority or the use of value judgment in making 
the decision for the Department of Defense. Services or products in 
support of Governmental functions, such as those listed in enclosure 3 
of DoD Instruction 4100.33, are CAs and are subject to this part and its 
implementing Instructions. Governmental functions normally fall into two 
categories:
    (a) Act of Governing. The discretionary exercise of Governmental 
authority. Examples include criminal investigations, prosecutions, and 
other judicial functions; management of Government programs requiring 
value judgments, as in direction of the national defense; management and 
direction of the Armed Services; activities performed exclusively by 
military personnel who are subject to deployment in a combat, combat 
support, or combat service support role; conduct of foreign relations; 
selection of program priorities; direction of Federal employees; 
regulation of the use of space, oceans, navigable rivers, and other 
natural resources; management of natural resources on Federal Property; 
direction of intelligence and counterintelligence operations; and 
regulation of industry and commerce, including food and drugs.
    (b) Monetary Transactions and Entitlements. Refers to such actions 
as tax collection and revenue disbursements; control of treasury 
accounts and the money supply, and the administration of public trusts.
    DoD Personnel. Military and civilian personnel of the Department of 
Defense.
    Expansion. The modernization, replacement, upgrading, or enlargement 
of a DoD CA involving a cost increase exceeding either 30 percent of the 
total capital investment or 30 percent of the annual personnel and 
material costs. A consolidation of two or more CAs is not an expansion, 
unless the proposed total capital investment or annual personnel and 
material costs of the consolidation exceeds the total of the individual 
CAs by 30 percent or more.
    Installation. An installation is the grouping of facilities, 
collocated in the same vicinity, that supports particular functions. 
Activities collocated and supported by an installation are considered to 
be tenants.
    Installation Commander. The commanding officer or head of an 
installation or a tenant activity, who has budget and supervisory 
control over resources and personnel.
    New Requirement. A recently established need for a commercial 
product or service. A new requirement does not include interim in-house 
operation of essential services pending reacquisition of the services 
prompted by such action as the termination of an existing contract 
operation.
    Preferential Procurement Programs. Preferential procurement programs 
include mandatory source programs such as Federal Prison Industries 
(FPI) and the workshops administered by the Committee for Purchase from 
the Blind and Other Severely Handicapped under Pub. L. 92-98. Small, 
minority, and disadvantaged businesses; and labor surplus area set-
asides and awards made under Pub. L. 85-536, section 8(a) and Pub. L. 
95-507 are included under preferential procurement programs.
    Right of First Refusal of Employment. Contractors provide Government 
employees, displaced as a result of the conversion to contract 
performance, the right of first refusal for employment openings under 
the contract in positions for which they are qualified, if that 
employment is consistent with post-Government employment conflict of 
interest standards.

[[Page 1004]]



Sec. 169.4  Policy.

    (a) Ensure DoD Mission Accomplishment. When complying with this part 
and its implementing Instruction, DoD Components shall consider the 
overall DoD mission and the defense objective of maintaining readiness 
and sustainability to ensure a capability for mobilizing the defense and 
support structure.
    (b) Achieve Economy and Quality through Competition. Encourage 
competition with the objective of enhancing quality, economy, and 
performance. When performance by a commercial source is permissible, a 
comparsion of the cost of contracting and the cost of in-house 
performance shall be performed to determine who shall provide the best 
value for the Government, considering price and other factors included 
in the solicitation. The restriction of a solicitation to a preferential 
procurement program does not negate the requirement to perform a cost 
comparison. Performance history will be considered in the source 
selection process, and high quality performance should be rewarded.
    (c) Retain Governmental Functions In-House. Certain functions that 
are inherently governmental in nature, and intimately related to the 
public interest, mandate performance by DoD personnel only. These 
functions are not in competition with commercial sources; therefore, 
these functions shall be performed by DoD personnel.
    (d) Rely on the Commercial Sector. DoD Components shall rely on 
commercially available sources to provide commercial products and 
services except when required for national defense, when no satisfactory 
commercial source is available, or when in the best interest of direct 
patient care. DoD Components shall not consider an in-house new 
requirement, an expansion of an in-house requirement, conversion to in-
house, or otherwise carry on any CAs to provide commercial products or 
services if the products or services can be procured more economically 
from commercial sources.
    (e) Delegate Decision Authority and Responsibility. DoD Components 
shall delegate decision authority and responsibility to lower 
organization levels, giving more authority to the doers, and linking 
responsibility with that authority. This shall facilitate the work that 
installation commanders must perform without limiting their freedom to 
do their jobs. When possible, the installation commanders should have 
the freedom to make intelligent use of their resources, while preserving 
the essential wartime capabilities of U.S. support organizations in 
accordance with DoD Directive 4001.1. \2\
---------------------------------------------------------------------------

    \2\ See footnote 1 to Sec. 169.2(h)
---------------------------------------------------------------------------

    (f) Share Resources Saved. When possible, make available to the 
installation commander a share of any resources saved or earned so that 
the commander can improve operations or working and living conditions on 
the installation.
    (g) Provide Placement Assistance. Provide a variety of placement 
assistance to employees whose Federal jobs are eliminated through CA 
competitions.

[54 FR 13373, Apr. 3, 1989; 54 FR 21726, May 19, 1989]



Sec. 169.5  Responsibilities.

    (a) The Assistant Secretary of Defense (Production and Logistics) 
(ASD (P&L)), or designee, shall:
    (1) Formulate and develop policy consistent with this part for the 
DoD CA program.
    (2) Issue Instructions to implement the policies of this part.
    (3) Maintain an inventory of in-house DoD CAs and the Commercial 
Activities Management Information System (CAMIS).
    (4) Establish criteria for determining whether a CA is required to 
be retained in-house for national defense.
    (5) Approve or disapprove core logistics waiver requests.
    (b) The Comptroller of the Department of Defense (C, DoD) shall 
provide inflation factors and/or price indices and policy guidance to 
the DoD Components on procedures and systems for obtaining cost data for 
use in preparing the in-house cost estimate.
    (c) The Heads of DoD Components shall:
    (1) Comply with this part and DoD Instruction 4100.33.
    (2) Designate an official at the Military Service Assistant 
Secretary level, or equivalent, to implement this part.

[[Page 1005]]

    (3) Establish an office as a central point of contact for 
implementing this part.
    (4) Encourage and facilitate CA competitions.
    (5) Delegate, as much as practicable, broad authority to 
installation commanders to decide how best to use the CA program to 
accomplish the mission. Minimally, as prescribed by P.L. 100-180, 
section 1111 and E.O. 12615, installation commanders shall have the 
authority and responsibility to carry out the following:
    (i) Prepare an inventory each fiscal year of commercial activities 
carried out by Government personnel on the military installation in 
accordance with DoD Instruction 4100.33.
    (ii) Decide which commercial activities shall be reviewed under the 
procedures and requirements of E.O. 12615, OMB Circular A-76, and DoD 
Instruction 4100.33. This authority shall not be applied retroactively. 
Cost comparisons and direct conversions initiated, as of December 4, 
1987, shall be continued.
    (iii) Conduct a cost comparison of those commercial activities 
selected for conversion to contractor performance under OMB Circular A-
76.
    (iv) To the maximum extent practicable, assist in finding suitable 
employment for any DoD employee displaced because of a contract entered 
into with a contractor for performance of a commercial activity on the 
military installation.
    (6) Develop specific national defense guidance consistent with DoD 
Instruction 4100.33.
    (7) Establish administrative appeal procedures consistent with DoD 
Instruction 4100.33.
    (8) Ensure that contracts resulting from cost comparisons conducted 
under this part are solicited and awarded in accordance with the FAR and 
the DFARS.
    (9) Ensure that all notification and reporting requirements 
established in DoD Instruction 4100.33 are satisfied.
    (10) Ensure that the Freedom of Information Act Program is complied 
with in responding to requests for disclosure of contractor-supplied 
information obtained in the course of procurement.
    (11) Ensure that high standards of objectivity and consistency are 
maintained in compiling and maintaining the CA inventory and conducting 
the reviews and cost comparisons.
    (12) Provide, when requested, assistance to installation commanders 
to ensure effective CA program implementation and technical competence 
in management and implementation of the CA program.
    (13) Ensure that maximum efforts are exerted to assist displaced DoD 
employees in finding suitable employment, to include, as appropriate:
    (i) Providing priority placement assistance for other Federal jobs.
    (ii) Training and relocation when these shall contribute directly to 
placement.
    (iii) Providing outplacement assistance for employment in other 
sectors of the economy with particular attention to assisting eligible 
employees to exercise their right of first refusal with the successful 
contractor.
    (14) Maintain the technical competence necessary to ensure effective 
and efficient management of the CA program.
    (15) Ensure, once the cost comparison is initiated, that the 
milestones are met, and completion of the cost comparison is without 
unreasonable delay.



PART 169a_COMMERCIAL ACTIVITIES PROGRAM PROCEDURES--Table of Contents



                            Subpart A_General

Sec.
169a.1 Purpose.
169a.2 Applicability and scope.
169a.3 Definitions.
169a.4 Policy.

                          Subpart B_Procedures

169a.8 Inventory and review schedule (Reports Control Symbol DD-P&L(A)).
169a.9 Reviews: Existing in-house commercial activities.
169a.10 Contracts.
169a.11 Expansions.
169a.12 New requirements.
169a.13 CAs involving forty-five or fewer DoD civilian employees.
169a.14 Military personnel commercial activity.
169a.15 Special considerations.
169a.16 Independent review.
169a.17 Solicitation considerations.

[[Page 1006]]

169a.18 Administrative appeal procedures.
169a.19 Study limits.

                    Subpart C_Reporting Requirements

169a.21 Reporting requirements.
169a.22 Responsibilities.

Appendix A to Part 169a--Codes and Definitions of Functional Areas
Appendix B to Part 169a--Commercial Activities Inventory Report and 
          Five-year Review Schedule
Appendix C to Part 169a--Simplified Cost Comparisons for Direct 
          Conversion of CAs
Appendix D to Part 169a--Commercial Activities Management Information 
          System (CAMIS)

    Authority: 5 U.S.C. 301 and 552.

    Source: 50 FR 40805, Oct. 7, 1985, unless otherwise noted.



                            Subpart A_General



Sec. 169a.1  Purpose.

    This part:
    (a) Reissues DoD Instruction 4100.33 \1\ to update policy, 
procedures, and responsibilities required by DoD Directive 4100.15 \2\ 
and OMB Circular A-76 \3\ for use by the Department of Defense (DoD) to 
determine whether needed commercial activities (CAs) should be 
accomplished by DoD personnel or by contract with a commercial source.
---------------------------------------------------------------------------

    \1\ Copies may be obtained, at cost, from the National Technical 
Information Service, 5285 Port Royal Road, Springfield, VA 22161
    \2\ See footnote 1 to Sec. 169a.1(a).
    \3\ Copies may be obtained if needed, from the Office of Management 
and Budget, Executive Office Building, Washington, DC 20503.
---------------------------------------------------------------------------

    (b) Cancels DoD 4100.33-H, \4\ ``DoD In-House vs. Contract 
Commercial and Industrial Activities Cost Comparison Handbook.''
---------------------------------------------------------------------------

    \4\ See footnote 1 to Sec. 169a.1(a).
---------------------------------------------------------------------------



Sec. 169a.2  Applicability and scope.

    This part:
    (a) Applies to the Office of the Secretary of Defense (OSD), the 
Military Departments, the Defense Agencies and DoD Field Activities 
(hereafter referred to collectively as the ``DoD Components'').
    (b) Contains DoD procedures for CAs in the United States, its 
territories and possessions, the District of Columbia, and the 
Commonwealth of Puerto Rico.
    (c) Is not mandatory for CAs staffed solely with DoD civilian 
personnel paid by nonappropriated funds, such as military exchanges. 
However, this part is mandatory for CAs when they are staffed partially 
with DoD civilian personnel paid by or reimbursed from appropriated 
funds, such as libraries, open messes, and other morale, welfare, and 
recreation (MWR) activities. When related installation support functions 
are being cost-compared under a single solicitation, a DoD Component may 
decide that it is practical to include activities staffed solely with 
DoD civilian personnel paid by nonappropriated funds.
    (d) Does not apply to DoD governmental functions are defined in 
Sec. 169a.3.
    (e) Does not apply when contrary to law, Executive orders, or any 
treaty or international agreement.
    (f) Does not apply in times of a declared war or military 
mobilization.
    (g) Does not provide authority to enter into contracts.
    (h) Does not apply to the conduct of research and development, 
except for severable in-house CAs that support research and development, 
such as those listed in appendix A to this part.
    (i) Does not justify conversion to contract solely to avoid 
personnel ceilings or salary limitations.
    (j) Doe not authorize contracts that establish employer-employee 
relations between the Department of Defense and contractor employees as 
described in the Federal Acquisition Regulation (FAR), 48 CFR 37.104.
    (k) Does not establish and shall not be construed to create any 
substantive or procedural basis for anyone to challenge any DoD action 
or inaction on the basis that such action or inaction was not in 
accordance with this part except as specifically set forth in Sec. 
169a.15(d).

[57 FR 29207, July 1, 1992]



Sec. 169a.3  Definitions.

    Commercial activity review. The process of evaluating CAs for the 
purpose of determining whether or not a cost comparison will be 
conducted.
    Commercial source. A business or other non-Federal activity located 
in the United States, its territories and possessions, the District of 
Columbia, or

[[Page 1007]]

the Commonwealth of Puerto Rico that provides a commercial product or 
service.
    Conversion to contract. The changeover of a CA from performance by 
DoD personnel to performance under contract by a commercial source.
    Conversion to in-house. The changeover of a CA from performance 
under contract by a commercial source to performance by DoD personnel.
    Cost comparison. The process of developing an estimate of the cost 
of performance of a CA by DoD employees and comparing it, in accordance 
with the requirements in this part, to the cost to the Government for 
contract performance of the CA.
    Directly affected parties. DoD employees and their representative 
organizations and bidders or offerers on the solicitation.
    Displaced DoD employee. Any DoD employee affected by conversion to 
contract operation (including such actions as job elimination, grade 
reduction, or reduction in rank). It includes both employees in the 
function converted to contract and to employees outside the function who 
are affected adversely by conversion through reassignment or the 
exercise of bumping or retreat rights.
    DoD Commercial Activity (CA). An activity that provides a product or 
service obtainable (or obtained) from a commercial source. A DoD CA is 
not a Governmental function. A DoD CA may be an organization or part of 
another organization. It must be a type of work that is separable from 
other functions or activities so that it is suitable for performance by 
contract. A representative list of the functions performed by such 
activities is provided in Enclosure 1. A DoD CA falls into one of two 
categories:
    (a) In-house CA. A DoD CA operated by a DoD Component with DoD 
personnel.
    (b) Contract CA. A DoD CA managed by a DoD Component operated with 
contractor personnel.
    DoD Employee. Refers to only civilian personnel of the Department of 
Defense.
    DoD governmental function. A function that is related so intimately 
to the public interest as to mandate performance by DoD personnel. These 
functions require either the exercise of discretion in applying 
Government authority or the use of value judgement in making the 
decision for the Department of Defense.
    Services or products in support of Governmental functions such as 
those listed in enclosure 3 of DoD Instruction 4100.33 are normally 
subject to this part and its implementing instructions. Governmental 
functions normally fall into two categories:
    (a) The act of governing; that is, the discretionary exercise of 
Governmental authority. Examples include criminal investigations, 
prosecutions, and other judicial functions; management of Governmental 
programs requiring value judgments, as in direction of the national 
defense; management and direction of the Armed Services; activities 
performed exclusively by military personnel who are subject to 
deployment in a combat, combat support, or combat service support role; 
conduct of foreign relations; selection of program priorities; direction 
of Federal employees; regulation of the use of space, oceans, navigable 
rivers, and other natural resources; direction of intelligence and 
counterintelligence operations; and regulation of industry and commerce, 
including food and drugs.
    (b) Monetary transactions and entitlements, such as tax collection 
and revenue disbursements; control of the money supply treasury 
accounts; and the administration of public trusts.
    DoD personnel. Refers to both military and civilian personnel of the 
Department of Defense.
    Expansion. The modernization, replacement, upgrading, or enlargement 
of a DoD CA involving a cost increase exceeding either 30 percent of the 
total capital investment or 30 percent of the annual personnel and 
material costs. A consolidation of two or more CAs is not an expansion 
unless the proposed total capital investment or annual personnel and 
material costs of the consolidation exceeds the total of the individual 
CAs by 30 percent or more.

[[Page 1008]]

    New requirement. A recently established need for a commercial 
product or service. A new requirement does not include interim in-house 
operation of essential services pending reacquisition of the services 
prompted by such action as the termination of an existing contract 
operation.
    Preferential procurement programs. Mandatory source programs such as 
Federal Prison Industries (FPI) and the workshops administered by the 
Committee for Purchase from the Blind and Other Severely Handicapped 
under the Javits-Wagner-O'Day Act. Also included are small, minority and 
disadvantaged businesses, and labor surplus area set-asides and awards 
made under 15 U.S.C. section 637.

[50 FR 40805, Oct. 7, 1985, as amended at 57 FR 29207, July 1, 1992]



Sec. 169a.4  Policy.

    (a) Ensure DoD mission accomplishment. The implementation of this 
part shall consider the overall DoD mission and the defense objective of 
maintaining readiness and sustainability to ensure a capability for 
mobilizing the defense and support structure.
    (b) Retain governmental functions in-house. Certain functions that 
are inherently governmental in nature, and intimately related to the 
public interest, mandate performance by DoD personnel only. These 
functions are not in competition with commercial sources; therefore, 
these functions shall be performed by DoD personnel.
    (c) Rely on the commercial sector. DoD Components shall rely on 
commercially available sources to provide commercial products and 
services, except when required for national defense, when no 
satisfactory commercial source is available, or when in the best 
interest of direct patient care. DoD Components shall not consider an 
in-house new requirement, an expansion of an in-house requirement, 
conversion to in-house, or otherwise carry on any CAs to provide 
commercial products or services if the products or services can be 
procured more economically from commercial sources.
    (d) Achieve economy and enhance productivity. Encourage competition 
with the objective of enhancing quality, economy, and performance.

When performance by a commercial source is permissible, a comparison of 
the cost of contracting and the cost of in-house performance shall be 
performed to determine who shall provide the best value for the 
Government, considering price and other factors included in the 
solicitation. If the installation commander has reason to believe that 
it may not be cost effective to make an award under mandatory source 
programs, section 8(a) of the Small Business Act or any other 
noncompetitive preferential procurement program, a cost comparison, or 
any other cost analysis, although not required by OMB Circular A-76, may 
be performed. Performance history will be considered in the source 
selection process, and high quality performance should be rewarded.
    (e) Delegate decision authority and responsibility. DoD Components 
shall delegate decision authority and responsibility to lower 
organization levels, giving more authority to the doers, and linking 
responsibility with that authority. This shall facilitate the work that 
installation commanders must perform without limiting their freedom to 
do their jobs. When possible, the installation commanders should have 
the freedom to make intelligent use of their resources, while preserving 
the essential wartime capabilities of U.S. support organizations in 
accordance with DoD Directive 4001.15. \5\
---------------------------------------------------------------------------

    \5\ See footnote 1 to Sec. 169a.1(a).
---------------------------------------------------------------------------

    (f) Share resources saved. When possible, make available to the 
installation commander a share of any resources saved or earned so that 
the commander can improve operations or working and living conditions on 
the installation.
    (g) Provide Placement Assistance. Provide a variety of placement 
assistance to employees whose Federal jobs are eliminated through CA 
competitions.
    (h) Permit interim-in-house operation. A DoD in-house CA may be 
established on a temporary basis if a contractor defaults. Action shall 
be taken to resolicit bids or proposals in accordance with this part.

[57 FR 29207, July 1, 1992]

[[Page 1009]]



                          Subpart B_Procedures



Sec. 169a.8  Inventory and review schedule (Report Control Symbol
DD-P&L(A)).

    (a) Information in each DoD Component's inventory shall be used to 
assess DoD implementation of OMB Circular A-76 and for other purposes. 
Each Component's inventory shall be updated at least annually to reflect 
changes to their review schedule and the results of reviews, cost 
comparisons, and direct conversions. Updated inventories for all DoD 
Components except National Security Agency/Central Security Service 
(NSA/CSS) and the Defense Intelligence Agency (DIA) Shall be submitted 
to the Assistant Secretary of Defense Production and Logistics) 
(ASD(P&L)) within 90 days after the end of each fiscal year. Inventory 
data pertaining to NSA/CSS and DIA shall be held at the specific Agency 
concerned for subsequent review by properly cleared personnel. Appendix 
A to this part provides the codes and explanations for functional areas 
and Appendix B to this part provides procedures for submitting the 
inventory.
    (b) DoD component's review schedules should be coordinated with the 
DoD Component's Efficiency Review Program and the Defense Regional 
Interservice Support (DRIS) Program to preclude duplication of efforts 
and to make use of information already available.
    (c) Review of CAs that provide interservice support shall be 
scheduled by the supplying DoD Component. Subsequent cost comparisons, 
when appropriate, shall be executed by the same DoD Component. All 
affected DoD Components shall be notified of the intent to perform a 
review.

[50 FR 40805, Oct. 7, 1985, as amended at 57 FR 29208, July 1, 1992]



Sec. 169a.9  Reviews: Existing in-house commercial activities.

    (a) DoD components shall conduct reviews of in-house CAs in 
accordance with their established review schedules. Existing in-house 
CAs, once reviewed shall be retained in-house without a cost comparison 
only when certain conditions are satisfied. (Detailed documentation will 
be maintained to support the decision to continue in-house performance). 
These conditions are as follows:
    (1) National Defense. In most cases, application of this criteria 
shall be made considering the wartime and peacetime duties of the 
specific positions involved rather than in terms of broad functions.
    (i) A CA, staffed with military personnel who are assigned to the 
activity, may be retained in-house for national defense reason when the 
following apply.
    (A) The CA is essential for training or experience in required 
military skills;
    (B) The CA is needed to provide appropriate work assignments for a 
rotation base for overseas or sea-to-shore assignments; or
    (C) The CA is necessary to provide career progression to needed 
military skill levels.
    (ii) Core logistics activities. The core logistics capability 
reported to Congress, March 29, 1984, under the provisions of 10 U.S.C. 
2646 is comprised of the facilities, equipment, and management personnel 
at the activities listed in the report. The work at those activities may 
be performed by either government or contractor personnel, whichever is 
more cost effective. Core logistics activities reported to Congress 
under the provisions of 10 U.S.C. 2646, shall be retained in-house 
unless the Secretary of Defense grants a waiver as provided for in 10 
U.S.C. 2464. Requests for waivers shall be submitted to the ASD (P&L). 
DoD Components may propose to the ASD (P&L) additional core logistics 
capability for inclusion in the list of core logistics activities. Core 
logistics activities reported to Congress as additions to the original 
list shall be retained in-house unless subsequently waived by the 
Secretary of Defense.
    (iii) If the DoD Component has a larger number of similar CAs with a 
small number of essential military personnel in each CA, action shall be 
taken, when appropriate, to consolidate the military positions 
consistent with military requirements so that economical performance by 
either DoD civilian employees or by contract can

[[Page 1010]]

be explored for accomplishing a portion of the work.
    (iv) The DoD Components may propose to the ASD (P&L) other criteria 
for exempting CAs for national defense reasons.
    (2) No satisfactory commercial source available. A DoD commercial 
activity may be performed by DoD personnel when it can be demonstrated 
that:
    (i) There is no satisfactory commercial source capable of providing 
the product or service that is needed. Before concluding that there is 
no satisfactory commercial source available, the DoD Component shall 
make all reasonable efforts to identify available sources.
    (A) DoD Components' efforts to find satisfactory commercial sources 
shall be carried out in accordance with the FAR and Defense FAR 
Supplement (DFAS) including review of bidders lists and inventories of 
contractors, consideration of preferential procurement programs, and 
requests for help from Government agencies such as the Small Business 
Administration.
    (B) Where the availability of commercial sources is uncertain, the 
DoD Component will place up to three notices of the requirement in the 
Commerce Business Daily (CBD) over a 90-day period. (Notices will be in 
the format specified in FAR, 48 CFR part 5 and part 7, subpart 7.3) When 
a bona fide urgent requirement occurs, the publication period in the CBD 
may be reduced to two notices, 15 days apart. Specifications and 
requirements in the notice will not be unduly restrictive and will not 
exceed those required of Government personnel or operations.
    (ii) Use of a commercial source would cause an unacceptable delay or 
disruption of an essential program. In-house operation of a commercial 
activity on the basis that use of a commercial source would cause an 
unacceptable delay or disrupt an essential DoD program requires a 
specific documented explanation.
    (A) The delay or disruption must be specific as to cost, time, and 
performance measures.
    (B) The disruption must be shown to be a lasting or unacceptable 
nature. Temporary disruption caused by conversion to contract is not 
sufficient support for the use of this criteria.
    (C) The fact that a DoD commercial activity involves a classified 
program, or is part of a DoD Component's basic mission, or that there is 
the possibility of a strike by contract employees is not adequate reason 
for Government performance of that activity. Further, urgency alone is 
not an adequate reason to continue Government operation of a commercial 
activity. It must be shown that commercial sources are not able, and the 
Government is able, to provide the product or service when needed.
    (D) Use of an exemption due to an unacceptable delay or disruption 
of an essential program shall be approved by the DoD Component's central 
point of contact office. This authority may be redelegated.
    (3) Patient Care. Commercial activities at DoD hospitals may be 
performed by DoD personnel when it is determined by the head of the DoD 
Component or his designee, in consultation with the DoD Component's 
chief medical director, that performance by DoD personnel would be in 
the best interest of direct patient care.

[50 FR 40805, Oct. 7, 1985, as amended at 57 FR 29208, July 1, 1992]



Sec. 169a.10  Contracts.

    When contract cost becomes unreasonable or performance becomes 
unsatisfactory, the requirement must be resolicited. If the DoD 
Component competes in the resolicitation, then a cost comparison of a 
contracted CA shall be performed in accordance with part III of the 
Supplement to OMB Circular A-76 (Office of Federal Procurement Policy 
pamphlet No. 4) \6\, part II of the Supplement to OMB Circular A-76 
(Management Study Guide) \7\, part IV of the Supplement to OMB Circular 
A-76 (Cost Comparison Handbook) \8\, if in-house performance is 
feasible. When contracted CAs are justified for conversion to in-house 
performance, the contract will be allowed to expire (options

[[Page 1011]]

will not be exercised) once in-house capability is established.
---------------------------------------------------------------------------

    \6\ See footnote 3 to Sec. 169a.1(a).
    \7\ See footnote 3 to Sec. 169a.1(a).
    \8\ See footnote 3 to Sec. 169a.1(a).

[57 FR 29208, July 1, 1992]



Sec. 169a.11  Expansions.

    In cases where expansion of an in-house commercial activity is 
anticipated, a review of the entire commercial activity, including the 
proposed expansion, shall be conducted to determine if performance by 
DoD personnel is authorized for national defense reasons, because no 
commercial source is available, or because it is in the best interest of 
direct patient care. If performance by DoD personnel is not justified 
under these criteria, a cost comparison of the entire activity shall be 
performed. Government facilities and equipment normally will not be 
expanded to accommodate expansions if adequate and cost effective 
contractor facilities and equipment are available.

[50 FR 40805, Oct. 7, 1985, as amended at 57 FR 29208, July 1, 1992]



Sec. 169a.12  New requirements.

    (a) In cases where a new requirement for a commercial product or 
service is anticipated, a review shall be conducted to determine if 
performance by DoD personnel is authorized for national defense reasons, 
because no commercial source is available, or because it is in the best 
interest of direct patient care. If performance by DoD personnel is not 
justified under these criteria, then the new requirement normally shall 
be performed by contract.
    (b) If there is reason to believe that commercial prices may be 
unreasonable, a preliminary cost analysis shall be conducted to 
determine whether it is likely that the work can be performed in-house 
at a cost that is less than anticipated for contract performance. If in-
house performance appears to be more economical, a cost comparison shall 
be scheduled. The appropriate conversion differentials will be added to 
the preliminary in-house cost before it is determined that in-house 
performance is likely to be more economical.
    (c) Government facilities and equipment normally will not be 
expanded to accommodate new requirements if adequate and cost-effective 
contractor facilities are available. The requirement for Government 
ownership of facilities does not obviate the possibility of contract 
operation. If justification for in-house operation is dependent on 
relative cost, the cost comparison may be delayed to accommodate the 
lead time necessary for acquiring the facilities.
    (d) Approval or disapproval of in-house performance of new 
requirements involving a capital investment of $500,000 or more will not 
be redelegated below the level of DAS or equivalent.
    (e) Approval to budget for a major capital investment associated 
with a new requirement will not constitute OSD approval to perform the 
new requirement with DoD personnel. Government performance shall be 
determined in accordance with this part.



Sec. 169a.13  CAs involving forty-five or fewer DoD civilian employees.

    (a) When adequately justified under the criteria required in 
Appendix C to this part, CAs involving 11 to 45 DoD civilian employees 
may be competed based on simplified cost comparison procedures and 10 or 
fewer DoD civilian employees may be directly converted to contract 
without the use of a simplified cost comparison. Such conversion shall 
be approved by the DoD Component's central point of contact office 
having the responsibility for implementation of this part. Part IV of 
the Supplement to OMB Circular A-76 and Appendix C to this part shall be 
utilized to define the specific elements of costs to be estimated in the 
simplified cost comparison.
    (b) In no case shall any CA involving more than forty-five employees 
be modified, reorganized, divided, or in any way changed for the purpose 
of circumventing the requirement to perform a full cost comparison.
    (c) The decision to perform a simplified cost comparison on a CA 
involving military personnel and 11 to 45 DoD Civilian employees 
reflects a management decision that the work need not be performed in-
house. Therefore, all direct military personnel costs will be estimated 
in the simplified cost comparison (see Appendix C to this part) on the 
basis of civilian performance.
    (d) A most efficient and cost-effective organization analysis 
certification is

[[Page 1012]]

required for studies involving 11 to 45 DoD civilian employees (see 
Appendix C to this part).

[57 FR 29208, July 1, 1992]



Sec. 169a.14  Military personnel commercial activity.

    Commercial activities performed exclusively by military personnel 
not subject to deployment in a combat, combat support, or combat service 
support role may be converted to contract without a cost comparison, 
when adequate competition is available and reasonable prices can be 
obtained from qualified commercial sources.



Sec. 169a.15  Special considerations.

    (a) Signals Intelligence, Telecommunications (SIGINT) and Automated 
Information System (AIS) security.
    (1) Before making a determination that an activity involving SIGINT 
as prescribed in Executive Order 12333, and AIS, security should be 
subjected to a cost comparison, the DoD Component shall specifically 
identify the risk to national security and complete a risk assessment to 
determine if the use of commercial resources poses a potential threat to 
national security. Information copies of the risk assessment and a 
decision memorandum containing data on the acceptable and/or 
unacceptable risk will be maintained within the requesting DoD 
Component's contracting office.
    (2) The National Security Agency (NSA) considers the polygraph 
program an effective means to enhance security protection for special 
access type information. The risk to national security is of an 
acceptable level if contractor personnel assigned to the maintenance and 
operation of SIGINT, Computer Security (COMPUSEC) and Communications 
Security (COMSEC) equipment agree to an aperiodic counter-intelligence 
scope polygraph examination. The following clause should be included in 
every potential contract involving SIGINT, Telecommunications, and AIS 
systems:

Contract personnel engaged in operation or maintaining SIGINT, COMSEC or 
COMPUSEC equipment or having access to classified documents or key 
material must consent to an aperiodic counter-intelligence scope 
polygraph examination administered by the Government. Contract personnel 
who refuse to take the polygraph examination shall not be considered for 
selection.
    (b) National intelligence. Before making a determination that an 
activity involving the collection/processing/production/dissemination of 
national intelligence as prescribed in Executive Order 12333 should be 
subjected to a cost comparison, the DoD Component must specifically 
identify the risk to national intelligence of using commercial sources. 
Except as noted in paragraph (a) of this section, the DoD Component 
shall provide its assessment of the risk to national intelligence of 
using commercial sources to the Director, DIA, who shall make the 
determination if the risk to national intelligence is unacceptable. DIA 
shall consult with other organizations as deemed necessary and shall 
provide the decision to the DoD Component. (Detailed documentation shall 
be maintained to support the decision).
    (c) Accountable Officer. (1) The functions and responsibilities of 
the Accountable Officer are defined by DoD 7200.10-M. \9\ Those 
functions of the Accountable Officer that involve the exercise of 
substantive discretionary authority in determining the Government's 
requirements and controlling Government assets cannot be performed by a 
contractor and must be retained in-house. The responsibilities of the 
Accountable Officer as an individual and the position of the Accountable 
Officer are not contractable.
---------------------------------------------------------------------------

    \9\ See footnote 1 to Sec. 169a.1(a).
---------------------------------------------------------------------------

    (2) Contractors can perform functions in support of the Accountable 
Officer and functions where they are performing in accordance with 
criteria defined by the Government. For instance, contractors can 
process requisitions, maintain stock control records, perform storage 
and warehousing, and make local procurements of items specified as 
deliverables in the contract.
    (3) The responsibility for administrative fund control must be 
retained in-house. The contractor can process all

[[Page 1013]]

required paperwork up to funds obligation which must be done by the 
Government employee designated as responsible for funds control. The 
contractor can also process such documents as reports of survey and 
adjustments to stockage levels, but approval must rest with the 
Accountable Officer. In all cases, the administrative control of funds 
must be retained by the Government since contractors or their employees 
cannot be held responsible for violations of the United States Code.
    (d) Cost Comparison Process. If performance of a commercial activity 
by DoD personnel cannot be justified under national defense, non-
availability of commercial source, or patient care criteria, than a full 
cost comparison shall be conducted in accordance with part II of the 
Supplement to OMB Circular No. A-76, part III of the Supplement to OMB 
Circular No. A-76, and part IV of the Supplement to OMB Circular A-76, 
to determine if performance by DoD employees is justified on the basis 
of lower cost (unless the criteria of Sec. 169a. and Sec. 169a. are 
met). The conclusion that a commercial activity will be cost compared 
reflects a management decision that the work need not be accomplished by 
military personnel. Therefore, all direct personnel costs shall be 
estimated on the basis of civilian performance. Funds shall be budgeted 
to cover either the cost of the appropriate in-house operation required 
to accomplish the work or the estimated cost of the contract. Neither 
funds nor manpower authorizations shall be removed from the activity's 
budget in anticipation of the outcome of a study.
    (1) Notification--(i) Congressional notification. DoD Components 
shall notify Congress of the intention to do a cost comparison involving 
46 or more DoD civilian personnel. DoD Components shall annotate the 
notification when a cost comparison is planned at an activity listed in 
the report to Congress on core logistics (see section 169a.9(a)(1)(ii)). 
The DoD Component shall notify the ADS(P&L) of any such intent at least 
5 working days before the Congressional notification. The cost 
comparison process begins on the date of Congressional notification.
    (ii) DoD employee notification. DoD Components shall, in accordance 
with 10 U.S.C. 2467(b), at least monthly during the development and 
preparation of the performance work statement (PWS) and management 
study, consult with DoD civilian employees who will be affected by the 
cost comparison and consider the views of such employees on the 
development and preparation of the PWS and management study. DoD 
Components may consult with such employees more frequently and on other 
matters relating to the cost comparison. In the case of DoD employees 
represented by a labor organization accorded exclusive recognition under 
5 U.S.C. 7111, consultation with representatives of the labor 
organization satisfies the consultation requirement. Consultation with 
nonunion DoD civilian employees may be through such means as group 
meetings. Alternatively, DoD civilian employees may be invited to 
designate one or more representatives to speak for them. Other methods 
may be implemented if adequate notice is provided to the nonunion DOD 
civilian employees and the right to be represented during the 
consultations is ensured.
    (iii) Local notification. It is suggested that upon starting the 
cost comparison process, the installation make an announcement of the 
cost comparison, including a brief explanation of the cost-comparison 
process to the employees of the activity and the community. The 
installations' labor relations specialist also should be apprised to 
ensure appropriate notification to employees and their representatives 
in accordance with applicable collective bargaining agreements. Local 
Interservice Support Coordinators (ISCs) and the Chair of the 
appropriate Joint Interservice Regional Support Group (JIRSG) also 
should be notified of a pending cost comparison.
    (2) Performance Work Statement (PWS). (i) The PWS and its Quality 
Assurance Plan shall be prepared in accordance with part II of the 
Supplement to OMB Circular No. A-76 5 for full cost comparison, 
simplified cost comparisons, and direct conversions of DoD personnel 
commercial activities. The PWS shall include reasonable performance 
standards that can be used to ensure a

[[Page 1014]]

comparable level of performance for both Government and contractor and a 
common basis for evaluation. Employees and/or their bargaining unit 
representatives should be encouraged to participate in preparing or 
reviewing the PWS.
    (ii) Each DoD Component shall:
    (A) Prepare PWSs that are based on accurate and timely historical or 
projected workload data and that provide measurable and verifiable 
performance standards.
    (B) Monitor the development and use of prototype PWSs.
    (C) Review and initiate action to correct disagreements on PWS 
discrepancies.
    (D) Approve prototype PWSs for Component-wide use.
    (E) Coordinate these efforts with the other DoD Components to avoid 
duplication and to provide mutual assistance.
    (iii) Guidance on Government Property:
    (A) For the purposes of this instruction, Government property is 
defined in accordance with the 48 CFR part 45.
    (B) The decision to offer or not to offer Government property to a 
contractor shall be determined by a cost-benefit analysis justifying 
that the decision is in the government's best interest. The 
determination on Government property must be supported by current, 
accurate, complete information and be readily available for the 
independent reviewing activity. The design of this analysis shall not 
give a decided advantage or disadvantage to either in-house or contract 
competitors. The management of Government property offered to the 
contractor shall also be in compliance with 48 CFR part 45.
    (iv) If a commercial activity provides critical or sensitive 
services, the PWS shall include sufficient data for the in-house 
organization and commercial sources to prepare a plan for expansion in 
emergency situations.
    (v) DoD Components that provide interservice support to other DoD 
Components or Federal agencies through interservice support agreements 
or other arrangements shall ensure that the PWS includes this work load 
and is coordinated with all affected Dod Components and Federal 
Agencies.
    (vi) If there is a requirement for the commercial source to have 
access to classified information in order to provide the product or 
service, the commercial source shall be processed for a facility 
security clearance under the Defense Industrial Security Program in 
accordance with DoD Directive 5220.22 \10\ and DoD Regulation 5220.22-R. 
\11\ However, if no bona fide requirement for access to classified 
information exists, no action shall be taken to obtain security 
clearance for the commercial source.
---------------------------------------------------------------------------

    \10\ See footnote 1 to Sec. 169a.1(a).
    \11\ See footnote 1 to Sec. 169a.1(a).
---------------------------------------------------------------------------

    (vii) Employees of commercial sources who do not require access to 
classified information for work performance, but require entry into 
restricted areas of the installation, may be authorized unescorted entry 
only when the provisions of DoD Regulation 5200.2-R \12\ apply.
---------------------------------------------------------------------------

    \12\ See footnote 1 to Sec. 169a.1(a).
---------------------------------------------------------------------------

    (3) Management Study. A management study shall be performed to 
analyze completely the method of operation necessary to establish the 
most efficient and cost-effective in-house organization (MEO) needed to 
accomplish the requirements in the PWS. The MEO must reflect only 
approved resources for which the commercial activity has been 
authorized. As a part of the management study, installations should 
determine if specific requirements can be met through an Inter/
Intraservice Support Agreement (ISA) with other activities or Government 
Agencies which have excess capacity or capability.
    (i) The commercial activity management study is mandatory. Part III 
of the Supplement to OMB Circular No. A-76 provides guidance on how to 
conduct the management study. The study shall identify essential 
functions to be performed, determine performance factors, organization 
structure, staffing, and operating procedures for the most efficient and 
cost effective in-house performance of the commercial activity. The MEO 
becomes the basis of the Government estimate for the cost comparison 
with potential contractors. In

[[Page 1015]]

this context, ``efficient'' (or cost-effective) means that the required 
level of workload (output, as described in the performance work 
statement) is accomplished with as little resource consumption (input) 
as possible without degradation in the required quality level of 
products or services.
    (ii) DoD Components have formal programs and training for the 
performance of management studies, and those programs are appropriate 
for teaching how to conduct commercial activity management studies. Part 
III of the Supplement to OMB Circular No. A-76 does not purport to 
replace the DoD Component's own management techniques, but merely to 
establish the basic criteria and the interrelationship between the 
management study and the PWS.
    (iii) If a commercial activity provides critical or sensitive 
services, the management study shall include a plan for expansion in 
emergency situations.
    (iv) Early in the management study, management will solicit the 
views of the employees in the commercial activity under review, and/or 
their representatives for their recommendations as to the MEO or ways to 
improve the method of operation.
    (v) The management study will be the basis on which the DoD 
Component certifies that the Government cost estimate is based on the 
most efficient and cost effective organization practicable.
    (vi) Implementation of the MEO shall be initiated no later than 1 
month after cancellation of the soliciation and completed within 6 
months. DoD Components shall take action, within 1 month, to schedule 
and conduct a subsequent cost comparison when the MEO is not initiated 
and completed as prescribed above. Subsequent cost comparisons may be 
delayed by the DoD Component's central point of contact office, when 
situations outside the control of the DoD Component prevent timely or 
full implementation of the MEO. This authority may not be redelegated.
    (vii) DoD Components shall establish procedures to ensure that the 
in-house operation, as specified in the MEO, is capable of performing in 
accordance with the requirements of the PWS. The procedures also shall 
ensure that the resources (facilities, equipment, and personnel) 
specified in the MEO are available to the in-house operation and that 
in-house performance remains within the requirements and resources 
specified in the PWS and MEO for the period of the cost comparison, 
unless documentation to support changes in workload/scope is available.
    (viii) A management study is not required for simplified cost 
comparisons however, a MEO analysis and certification is required.
    (4) Cost Comparisons. Cost comparisons shall include all significant 
costs of both Government and contract performance. Common costs; that 
is, costs that would be the same for either in-house or contract 
operation, need not be computed, but the basis of those common costs 
must be identified and included in the cost comparison documentation. 
Part IV of the Supplement to OMB Circular A-76 (Cost Comparison 
Handbook) provides the basic guidance for conducting full cost 
comparisons. Appendix D provides guidance for conducting simplified cost 
comparisons. The supplemental guidance contained below is intended to 
establish uniformity and to ensure all factors are considered when 
making cost comparisons. Deviation from the guidance contained in part 
IV of the Supplement to OMB Circular A-76, will not be allowed, except 
as provided in the following subparagraphs.
    (i) In-house Cost Estimate. (A) The in-house cost estimate shall be 
based on the most efficient and cost-effective in-house organization 
needed to accomplish the requirements in the PWS.
    (B) Heads of DoD Components or their designees shall certify that 
the in-house cost estimate is based on the most efficient and cost-
effective operation practicable. Such certification shall be made before 
the bid opening or the date for receipt of initial proposals.
    (C) The ASD(P&L) shall provide inflation factors for adjusting costs 
for the first and subsequent performance periods. These factors shall be 
the only acceptable factors for use in cost comparisons. Inflation 
factors for outyear (second and subsequent) performance periods will not 
be applied to portions

[[Page 1016]]

of the in-house estimate that are comparable with those portions of the 
contract estimate subject to economic price adjustment clauses.
    (D) Military positions in the organization under cost comparison 
shall be converted to civilian positions for costing purposes. Civilian 
grades and series shall be based on the work described in the PWS and 
the MEO, determined by the management study rather than on the current 
organization structure.
    (E) DoD Components shall not use the DLA Wholesale Stock Fund Rate 
and/or the DLA Direct Delivery rate for supplies and materials as 
reflected in paragraph 3.a. (1) and (2) of part IV of the Supplement to 
OMB Circular No. A-76. The current standard and pricing formula includes 
full cost under the Defense Business Operations Fund (DBOF). No further 
mark-up is required.
    (F) DoD Components shall assume for the purpose of depreciation 
computations that residual value is equal to the disposal values listed 
in Appendix C of part IV of the Supplemental to OMB Circular No. 76 
(Cost Comparison Handbook) if more precise figures are not available 
from the official accounting records or other knowledgeable authority. 
Therefore, the basis for depreciation shall be the original cost plus 
the cost of capital improvements (if any) less the residual value. The 
original cost plus the cost of capital improvements less the residual 
value shall be divided by the useful life (as projected for the 
commercial activity cost comparison) to determine the annual 
depreciation.
    (G) Purchased services which augment the current in-house work 
effort and that are included in the PWS should be included in line 3 
(other specifically attributable costs). When these purchased services 
are long-term and contain labor costs subject to economic price 
adjustment clauses, then the applicable labor portion will not be 
escalated by outyear inflation factors. In addition, purchased services 
shall be offset for potential Federal income tax revenue by applying the 
appropriate rate in Appendix D of part IV of the Supplement to OMB 
Circular A-76 (Cost Comparison Handbook) to total cost of purchased 
services.
    (H) Overhead costs shall be computed only when such costs will not 
continue in the event of contract performance. This includes the cost of 
any position (full time, part time, or intermittent) that is dedicated 
to providing support to the activity(ies) under cost comparison 
regardless of the support organization's location. Military positions 
provided overhead support shall be costed using current military 
composite standard rates that include PCS costs multiplied by the 
appropriate support factor.
    (ii) Cost of Contract Performance. (A) The contract cost estimate 
shall be based on firm bids or negotiated proposals solicited in 
accordance with the FAR and the DoD FAR Supplement (DFARS) for full cost 
comparisons. Existing contract prices (such as those from GSA Supply 
Schedules) will not be used in a cost comparison. For simplified cost 
comparisons, the guidance in Appendix C of this part applies.
    (B) Standby costs are costs incurred for the upkeep of property in 
standby status. Such costs neither add to the value of the property nor 
prolong its life, but keep it in efficient operating condition or 
available for use. When an in-house activity is terminated in favor of 
contract performance and an agency elects to hold Government equipment 
and facilities on standby solely to maintain performance capability, 
this is a management decision, and such standby costs will not be 
charged to the cost of contracting.
    (C) A specific waiver is required to use contract administration 
factors that exceed the limits established in Table 3-1 of part IV of 
the Supplement to OMB Circular No. A-76 (Cost Comparison Handbook). The 
reason for the deviation from the limits, the supporting alternative 
computation, and documentation supporting the alternative method, shall 
be provided to the DoD Component's central point of contact office for 
advance approval on a case-by-case basis. The authority may not be 
redelegated. ASD(A&L) shall be notified within 30 days of any such 
decisions.
    (D) The following guidance pertains to one-time conversion costs:

[[Page 1017]]

    (1) Material Related Costs. The cost factors below shall be used, if 
more precise costs are not known, to estimate the cost associated with 
disposal/transfer of excess government material which result from a 
conversion to contract performance:

------------------------------------------------------------------------
                                                  Percentage of current
                                                     replacement cost
------------------------------------------------------------------------
Packing, crating , and handling (PCH)..........                      3.5
Transportation.................................                     3.75
------------------------------------------------------------------------

    (2) Labor-Related Costs. If unique circumstances prevail when a 
strict application of the 2 percent factor for computation of severance 
pay results in a substantial overstatement or understatement of this 
cost, an alternative methodology may be employed. The reason for the 
deviation from this standard, the alternative computation, and 
documentation supporting the alternative method shall be provided to the 
appropriate DoD Component's central point of contact office for advance 
approval on a case-by-case basis. This authority may not be redelegated.
    (3) Other Transition Costs. Normally, government personnel 
assistance after the contract start date (to assist in transition from 
in-house performance to contract performance) should not be necessary. 
When transition assistance will not be made available, this condition 
should be stated clearly in the solicitation so that contractors will be 
informed that they will be expected to meet full performance 
requirements from the first date of the contract. Also, when 
circumstances require full performance on the contract start date, the 
solicitation shall state that time will be made available for contractor 
indoctrination prior to the start date of the contract. The inclusion of 
personnel transition costs in a cost comparison requires advance 
approval of the DoD Component's central point of contact office. This 
authority may not be redelegated.
    (E) Gain or Loss on Disposal/Transfer of Assets. If more precise 
costs are not available from the Defense Reutilization and Marketing 
Office or appropriate authority, then:
    (1) The same factors for PCH and transportation costs as prescribed 
in Sec. 169a.12E(ii)(D)(1) for the costs associated with disposal/
transfer of materials may be used.
    (2) The estimated disposal value may be calculated from the net book 
value as derived from the table in Appendix C of part IV of the 
Supplement to OMB Circular No. A-76 (Cost Comparison Handbook), minus 
the disposal/transfer costs. This figure shall be entered as a gain or 
loss on line 11 or line 13 of the cost comparison form as appropriate.

    Note: If a cost-benefit analysis, as prescribed in Sec. 
169a.12(B)(iii), indicates that the retention of Government-owned 
facilities, equipment, or real property for use elsewhere in the 
Government is cost advantageous to the Government, then the cost 
comparison form shall reflect a gain to the Government and therefore a 
decrease to the cost of contracting on line 11 or line 13 of the cost 
comparison form as appropriate.

[50 FR 40805, Oct. 7, 1985, as amended at 57 FR 29209, July 1, 1992]



Sec. 169a.16  Independent review.

    (a) The estimates of in-house and contracting costs that can be 
computed before the cost comparison shall be reviewed by a qualified 
activity, independent of the Task Group preparing the cost comparison. 
This review shall be completed far enough in advance of the bid or 
initial proposal opening date to allow the DoD Component to correct any 
discrepancies found before sealing the in-house cost estimate.
    (b) The independent review shall substantiate the currency, 
reasonableness, accuracy, and completeness of the inhouse estimate. The 
review shall ensure that the in-house cost estimate is based on the same 
required services, performance standards, and workload contained in the 
solicitation. The reviewer shall scrutinize and attest to the adequacy 
and authenticity of the supporting documentation. Supporting 
documentation shall be sufficient to require no additional 
interpretation.
    (c) The purpose of the independent review is to ensure costs have 
been estimated and supported in accordance with provisions of this 
Instruction. If no (or only minor) discrepancies are noted during this 
review, the reviewer indicates the minor discrepancies, signs, dates, 
and returns the CCF to the preparer. If significant discrepancies are 
noted during the review, the

[[Page 1018]]

discrepancies shall be reported to the preparer for recommended 
correction and resubmission.
    (d) The independent review is not required for simplified cost 
comparisons.

[50 FR 40805, Oct. 7, 1985, as amended at 57 FR 29210, July 1, 1992]



Sec. 169a.17  Solicitation considerations.

    (a) Every effort must be made to avoid postponement or cancellation 
of CA solicitations even if there are significant changes, omissions, or 
defects in the Government's in-house cost estimate. Such corrections 
shall be made before the expiration of bids or proposals and may require 
the extensions of bids or proposals. When there is no alternative, 
contracting officers must clearly document the reason(s).
    (b) Bidders or offerers shall be informed that an in-house cost 
estimate is being developed and that a contract may or may not result.
    (c) Bids or proposals shall be on at least a 3-year multi-year basis 
(when appropriate) or shall include prepriced renewal options to cover 2 
fiscal years after the initial period.
    (d) All contracts awarded as a result of a conversion (whether or 
not a cost comparison was performed) shall comply with all requirements 
of the FAR and DFARS.
    (e) Solicitations shall be restricted for preferential procurement 
when the requirements applicable to such programs (such as, small 
business set-asides or other required sources of supplies and services) 
are met, in accordance with the FAR.
    (f) Solicitations will not be restricted for preferential 
procurement unless the contracting officer determines that there is a 
reasonable expectation that the commercial prices will be fair and 
reasonable, in accordance with the FAR.
    (g) Contract defaults may result in temporary performance by 
Government personnel or other suitable means; such as, an interim 
contract source. Personnel detailed to such a temporary assignment 
should be clearly informed that they will return to their permanent 
assignment when a new contract is awarded. If the default occurs within 
the first year of contract performance, the following procedures apply:
    (1) If the Government was the next lowest bidder/offerer, and in-
house performance is still feasible, the function may be returned to in-
house performance. If in-house performance is no longer feasible, the 
contracting officer shall obtain the requirement by contract in 
accordance with the requirements of the FAR, 48 CFR part 49. A return to 
in-house performance under the above criteria shall be approved by the 
DoD Component's central point of contact office. This authority may not 
be redelegated.
    (2) If the contract wage rates are no longer valid or if the 
contracting officer, after a review of the availability of the next 
lowest responsible and responsive bidders/offerers, determines that 
resolicitation is appropriate, the Government may submit a bid for 
comparison with other bids/offers from the private sector. Submission of 
a Government bid requires a determination by the DoD Component that 
performance by DoD employees is still feasible and that a likelihood 
exists that such performance may be more economical than performance by 
contract. In such cost comparisons, the conversion differentials will 
not be applied to the costs of either in-house or contract performance.
    (h) If contract default occurs during the second or subsequent year 
of contract performance, the procedures of Sec. 169a.8(b)(2)(i) of this 
part apply.
    (1) Grouping of Commercial Activities. (i) The installation 
commander shall determine carefully which CAs should be grouped in a 
single solicitation. The installation commander should keep in mind that 
the grouping of commercial activities can influence the amount of 
competition (number of commercial firms that will bid or submit 
proposals) and the eventual cost to the Government.
    (ii) [Reserved]
    (2) The installation commander shall consider the adverse impacts 
that the grouping of commercial activities into a single solicitation 
may have on small and small disadvantaged business concerns. Commercial 
activities being performed wholly by small or small disadvantaged 
businesses will not be incorporated into a cost comparison unless 
consolidation is necessary to meet

[[Page 1019]]

mission requirements. Actions must be taken to ensure that such 
contractors are not displaced merely to accomplish consolidation. 
Similarly, care must be taken so that nonincumbent small and small 
disadvantaged business contractors are not handicapped or prejudiced 
unduly from competing effectively at the prime contractor level.
    (3) In developing solicitations for commercial activities, the 
procurement plan should reflect an analysis of the advantages and 
disadvantages to the Government that might result from making more than 
one award. The decision to group commercial activities should reflect an 
analysis of all relevant factors including the following:
    (A) The effect on competition.
    (B) The duplicative management functions and costs to be eliminated 
through grouping.
    (C) The economies of administering multifunction vs. single function 
contracts, including cost risks associated with the pricing structure of 
each.
    (D) The feasibility of separating unrelated functional tasks or 
groupings.
    (E) The effect grouping will have on the performance of the 
functions.
    (4) When the solicitation package includes totally independent 
functions which are clearly divisible, severable, limited in number, and 
not price interrelated, they shall be solicited on the basis of an ``any 
or all'' bid or offer. Commerical bidders or offerors shall be permitted 
to submit bids or offers on one or any combination of the functions 
being solicited. These bids or offers shall be evaluated to determine 
the lowest aggregate contract cost to the Government. This lowest 
aggregate contract cost then will be compared to the in-house cost 
estimate based on the MEO for performance of the functions in the single 
solicitation. The procedures in part IV of the Supplement to OMB 
Circular No. A-76 (Cost Comparison Handbook) apply.
    (5) There are instances when this approach to contracting for CAs 
may not apply; such as, situations when physical limitations of site 
(where the activities are to be performed) preclude allowing more than 
one contractor to perform, when the function cannot be divided for 
purposes of performance accountability, or for other national security 
considerations. However, if an ``all or none'' solicitation is issued, 
the decision to do so must include a cost analysis to reflect that the 
``all or none'' solicitation is less costly to the Government or an 
analysis indicating it is otherwise in the best interest of the 
Government, all factors considered.
    (6) It is recognized that in some cases, decisions will result in 
the elimination of prime contracting opportunities for small business. 
In such cases special measures shall be taken. At a minimum, small and 
small disadvantaged business concerns shall be given preferential 
consideration by all competing prime contractors in the award of 
subcontracts. For negotiated procurements the degree to which this is 
accomplished will be a weighted factor in the evaluation and source 
selection process leading to contract award.
    (7) The contract files shall be documented fully to demonstrate 
compliance with these procedures.
    (i) If no bids or proposals, or no responsive or responsible bids or 
proposals are received in response to a solicitation, the in-house cost 
estimate shall remain unopened. The contracting officer shall examine 
the solicitation to ascertain why no responses were received. Depending 
on the results of this review, the contracting officer shall consider 
restructuring the requirement, if feasible and reissue it under 
restricted or unrestricted solicitation procedures, as appropriate.
    (j) Continuation of an in-house CA for lack of a satisfactory 
commercial source will not be based upon lack of response to a 
restricted solicitation.
    (k) The guidance of subparagraph E.3.f. applies to sumplified cost 
comparisons and direct conversions of military personnel CAs.
    (l) To ensure that bonds and/or insurance requirements are being 
used in the best interest of the Government, as a general rule, 
requirements (for other than construction related services) above the 
levels established in the FAR and DFARS should not be included in 
acquisitions.

[50 FR 40805, Oct. 7, 1985, as amended at 56 FR 27901, June 18, 1991; 57 
FR 29210, July 1, 1992]

[[Page 1020]]



Sec. 169a.18  Administrative appeal procedures.

    (a) Appeals of Cost Comparison Decisions. (1) Each DoD Component 
shall establish an administrative appeals procedure to resolve questions 
from directly affected parties relating to determinations resulting from 
cost comparisons performed in compliance with this part. The appeal 
procedure will not apply to questions concerning the following:
    (i) Award to one contractor in preference to another;
    (ii) DoD management decisions.
    (2) The appeals procedure is to provide an administrative safeguard 
to ensure that DoD Component decisions are fair, equitable, and in 
accordance with procedures in this part. The procedure does not 
authorize an appeal outside the DoD Component or a judicial review.
    (3) The appeals procedure shall be independent and objective and 
provide for a decision on the appeal within 30 calendar days of receipt 
of the appeal. The decision shall be made by an impartial official at a 
level organizationally higher than the official who approved the cost 
comparison decision. The appeal decision shall be final, unless the DoD 
Component procedures provide for further discretionary review within the 
DoD Component.
    (4) All detailed documentation supporting the initial cost 
comparison decision shall be made available to directly affected parties 
upon request when the initial decision is announced. The detailed 
documentation shall include, at a minimum, the following: the in-house 
cost estimate with detailed supporting documentation (see Sec. 
169a.5(c)(ii) of this part), the completed CCF, name of the tentative 
winning contractor (if the decision is to contract), or the price of the 
bidder whose bid or proposal would have been most advantageous to the 
Government (if the decision is to perform in-house). If the 
documentation is not available when the initial decision is announced, 
the time alloted for submission of appeals shall be extended the number 
of days equal to the delay.
    (5) To be considered eligible for review under the DoD Component 
appeals procedures, appeals shall:
    (i) Be received by the DoD Component in writing within 15 working 
days after the date the supporting documentation is made available to 
directly affected parties.
    (ii) Address specific line items on the CCF and the rationale for 
questioning those items.
    (iii) Demonstrate that the result of the appeal may change the 
decision.
    (b) Appeals of Simplified Cost Comparisons and Direct Conversions. 
(1) Directly affected parties may appeal decision to convert to contract 
based on a simplified cost comparison involving 11-45 DoD civilian 
employees or a direct conversion involving 10 or fewer DoD civilian 
employees. The appeal must address reasons why fair and reasonable 
prices will not be obtainable.
    (2) Each DoD Component shall establish an administrative appeal 
procedure that is independent and objective; Installation Commanders 
must make available, upon request, the documentation supporting the 
decision to directly convert activities; appeals of direct conversions 
must be filed within 30 calendar days after the decision is announced in 
the Commerce Business Daily and/or Federal Register, and the supporting 
documentation is made available; an impartial official one level 
organizationally higher than the official who approved the direct 
conversion decision shall hear the appeal; officials shall provide an 
appeal decision within 30 calendar days of receipt of the appeal.
    (c) Since the appeal procedure is intended to protect the rights of 
all directly affected parties, the DoD Component's procedures, as well 
as the decision upon appeal, will not be subject to negotiation, 
arbitration, or agreement.
    (d) DoD Components shall include administrative appeal procedures as 
part of their implementing documents.

[50 FR 40805, Oct. 7, 1985, as amended at 57 FR 29210, July 1, 1992]



Sec. 169a.19  Study limits.

    No DoD funds shall be available to perform any cost study pursuant 
to the provisions of OMB Circular A-76 if the study being performed 
exceeds a period of 24 months after initiation of such study with 
respect to a single function

[[Page 1021]]

activity or 48 months after initiation of such study for a multi-
function activity.

[60 FR 67328, Dec. 29, 1995]



                    Subpart C_Reporting Requirements



Sec. 169a.21  Reporting requirements.

    (a) Inventory and Review Schedule (Report Control Symbol DD-A&T(A) 
1540). See Sec. 169a.8(a) of this part.
    (b) Commercial Activities Management Information System (CAMIS) 
(Report Control Symbol DD-A&T(Q) 1542). (1) The purpose of CAMIS is to 
maintain an accurate DoD data base of commercial activities that undergo 
an OMB Circular A-76 cost comparison and CAs that are converted directly 
to contract without a cost comparison. The CAMIS is used to provide 
information to the Congress, Office of Management Budget (OMB), General 
Accounting Office (GAO), OSD, and others. The CAMIS is divided into two 
parts. Part I contains data on CAs that undergo cost comparison. Part II 
contains data on commercial activities converted to contract without a 
full cost comparison.
    (2) The CAMIS report shall be submitted in accordance with the 
procedures in Appendix C.
    (c) Congressional Data Reports on CA (Report Control Symbol DD-
A&T(A&AR) 1949) and Reports on savings on Costs from Increased Use of 
DoD Civilian Personnel (Report Control Symbol DD-A&T(AR) 1950). To 
insure consistent application of the requirements stated in 10 U.S.C. 
2461 and 2463, the following guidance is provided:
    (1) The geographic scope of section 10 U.S.C. 2461 applies to the 
United States, its territories and possessions, the District of 
Columbia, and the Commonwealth of Puerto Rico.
    (2) Section 10 U.S.C. 2461 applies to proposed conversions of DoD 
CAs that on October 1, 1980, were being performed by more than forty-
five DoD civilian employees. 10 U.S.C. 2463 applies to conversions from 
contract to in-house involving 50 or more contractor employees.
    (3) DoD Components must not proceed with a CA study until 
notification to Congress, as required by 10 U.S.C. 2461. DoD Components 
shall notify the ASD(ES) of any such intent at least 5 working days 
before congressional notification.
    (4) DoD Components shall annotate announcements to Congress when a 
cost comparison is planned at an activity listed in the report to 
Congress on Core Logistics (see Sec. 169a.8(b)(1)(i)(2) of this part).
    (5) The DoD Components shall notify Congress, at least 5 working 
days before sending the detailed summary report required by 10 U.S.C. 
2461 to Congress. The detailed summary of the cost shall include: the 
amount of the offer accepted for the performance of the activity by the 
private contractor; the costs and expenditures that the Government will 
incur because of the contract; the estimated cost of performance of the 
activity by the most efficient Government organization; a statement 
indicating the life of the contract; and certifications that the entire 
cost comparison is available, and that the Government calculation for 
the cost of performance of such function by DoD employees is based on an 
estimate of the most efficient and cost-effective organization for 
performance of such function by DoD employees.
    (6) The potential economic effect on the employees affected, the 
local community, and the Federal Government of contracting for 
performance of the function shall be included in the report to accompany 
the above certifications, if more than 75 total employees (including 
military and civilian, both permanent and temporary) are potentially 
affected. It is suggested that the Army Corps of Engineers' model (or 
equivalent) be used to generate this information. The potential impact 
on affected employees shall be included in the report, regardless of the 
number of employees involved. Also include in the report a statement 
that the decision was made to convert to contractor performance, the 
projected date of contract award, the projected contract start date, and 
the effect of contracting the function on the military mission of that 
function.
    (7) By December 15th of each year, each DoD Component shall submit 
to

[[Page 1022]]

the ASD(P&L) the data required by 10 U.S.C. 2461(c). In describing the 
extent to which CA functions were performed by DoD contractors during 
the preceding fiscal year, include the estimated number of work years 
for the in-house operation as well as for contract operation (including 
percentages) by major OSD functional areas in Appendix A to this part; 
such as, Social Services, Health Services, Installation Services, etc. 
For the estimate of the percentage of CA functions that will be 
performed in-house and those that will be performed by contract during 
the fiscal year during which the report is submitted, include the 
estimated work years for in-house CAs as well as for contracted CAs and 
the rationale for significant changes when compared to the previous 
year's data. Also, include the number of studies you expect to complete 
in the next fiscal year showing total civilian and military FTEs.

[50 FR 40805, Oct. 7, 1985, as amended at 57 FR 29210, July 1, 1992; 60 
FR 67329, Dec. 29, 1995]



Sec. 169a.22  Responsibilities.

    The responsibilities for implementing the policies and procedures of 
the DoD CA Program are prescribed in DoD Directive 4100.15 (32 CFR part 
169) and appropriate paragraphs of this part.

[57 FR 29210, July 1, 1992]



 Sec. Appendix A to Part 169a--Codes and Definitions of Functional
 Areas

    This list of functional codes and their definitions does not 
restrict the applicability or scope of the commerical activity Program 
within DoD. Section B. of DoD Directive 4100.15 defines the 
applicability and scope of the program. The commerical activity program 
still applies to CAs not defined in this listing. These codes and 
definitions are a guide to assist reporting. As new functions are 
identified, codes will be added or existing definitions will be 
expanded.

                             Social Services

    G001 Care of Remains of Deceased Personnel and/or Funeral Services. 
Includes CAs that provide mortuary services, including transportation 
from aerial port of embarkation (APOE) to mortuary of human remains 
received from overseas mortuaries, inpection, restoration, provision of 
uniform and insignia, dressing, flag, placement in casket, and 
preparation for onward shipment.
    G008 Commissary Store Operation. Includes CAs that provide all 
ordering, receipt, storage, stockage, and retailing for commissaries. 
Excludes procurement of goods for issue or resale.
    G008A: Shelf Stocking.
    G008B: Check Out.
    G008C: Meat Processing.
    G008D: Produce Processing.
    G008E: Storage and Issue.
    G008F: Other.
    G008G: Troop Subsistance Issue Point.
    G009 Clothing Sales Store Operation. Includes commercial activities 
that provide ordering, receipt, storage, stockage, and retailing of 
clothing. Stores operated by the Army and Air Force Exchange Services, 
Navy Exchange Services, and Marine Corps Exchange Services are excluded.
    G010 Recreational Library Services. Includes operation of libraries 
maintained primarily for off-duty use by military personnel and their 
dependents.
    G011 Other Morale, Welfare, and Recreation Services. Operation of 
commercial activities maintained primarily for the off-duty use of 
military personnel and their dependents, including both appropriated and 
partially nonappropriated fund activities. The operation of clubs and 
messes, and morale support activities are included in code G011. 
Examples of activities performing G011 functions are arts and crafts, 
entertainment, sports and athletics, swimming, bowling, marina and 
boating, stables, youth activities, centers, and golf. DoD Directive 
1015.1 \1\ contains amplification of the categories reflected below. 
(NOTE: commercial activities procedures are not mandatory for functions 
staffed solely by civilian personnel paid by nonappropriated funds.)
---------------------------------------------------------------------------

    \1\ See footnote 1 to Sec. 169.1(a).
---------------------------------------------------------------------------

    G011A: All Category II Nonappropriated Fund Instrumentalities 
(NAFIs), except Package Beverage Branch.
    G011B: Package Beverage Branch.
    G011C: All Category IIIa NAFIs.
    G011D: All Category IIIb1, except Libraries.
    G011E: Category IIIb2 Arts and Crafts.
    G011F: Category IIIb2 Music & Theatre.
    G011G: Category IIIb2 Outdoor Recreation.
    G011H: Category IIIb2 Youth Activities.
    G011I: Category IIIb2 Child Development Service.
    G011J: Category IIIb2 Sports--Competitive.
    G011K: All Category IIIb3 except Armed Forces Recreation Center 
(AFRC) Golf Bowling, and membership associations converted from Category 
VI.
    G011L: Category IIIb3 AFRC.
    G011M: Category IIIb3 Golf.
    G011N: Category IIIb3 Bowling.
    G011O: Category IIIb3 membership associations converted from 
Category VI.
    G011P: Category III Information Tour and Travel (ITT).

[[Page 1023]]

    G011Q: All Category IV.
    G011R: All Category V.
    G011S: All Category VI, except those converted to Category IIIb3.
    G011T: All Category VII.
    G011U: All Category VIII, except billeting and hotels.
    G011V: Category VIII Billeting.
    G011W: Category VIII Hotels.
    G012 Community Services. DoD Directive 1015.1 contains further 
amplification of the categories.
    G012A: Information and Referral.
    G012B: Relocation Assistance.
    G012C: Exceptionl Family Member.
    G012D: Family Advocacy (Domestic Violence).
    G012E: Foster Care.
    G012F: Family Member Employment.
    G012G: Installation Volunteer Coordination.
    G012H: Outreach.
    G012I: Volunteer Management.
    G012J: Office Management.
    G012K: Consumer Affairs/Financial Assistance.
    G012L: General and Emergency Family Assistance.
    G900 Chaplain Activities and Support Services. Includes commercial 
activities that provide non-military unique support services that 
supplement the command religious program such as non-pastoral 
counseling, organists, choir directors, and directions of religious 
education. The command religious program, which includes chaplains and 
enlisted support personnel, is a Governmental function and is excluded 
from this category.
    G901 Berthing BOQ/BEQ. Includes commercial activities that provide 
temporary or permanent accommodations for officer or enlisted personnel. 
Management of the facility, room service, and daily cleaning are 
included.
    G904 Family Services. Includes commercial activities that perform 
various social services for families, such as family counseling, 
financial counseling and planning, the operation of an abuse center, 
child care center, or family aid center.
    G999 Other Social Services. This code will only be used for unusual 
circumstances and will not be used to report organizations or work that 
can be accommodated under a specifically defined code.

                             Health Services

    H101 Hospital Care. Includes commercial activities that provide 
outpatient and inpatient care and consultative evaluation in the medical 
specialties, including pediatrics and psychiatry; the coordination of 
health care delivery relative to the examination, diagnosis, treatment, 
and disposition of medical inpatients.
    H102 Surgical Care. Includes commercial activities that provide 
outpatient and inpatient care and consultative evaluation in the 
surgical specialties, including obstetrics, gynecology, ophthalmology 
and otorhinolaryngology; the coordination of health care delivery 
relative to the examination, treatment, diagnosis, and disposition of 
surgical patients.
    H105 Nutritional Care. Includes commercial activities that provide 
hospital food services for inpatients and outpatients, dietetic 
treatment, counseling of patients, and nutritional education.
    H106 Pathology Services. Includes commercial activities involved in 
the operation of laboratories providing comprehensive clinical and 
anatomical pathology services; DoD military blood program and blood bank 
activities; and area reference laboratories.
    H107 Radiology Services. Includes commercial activities that provide 
diagnostic and therapeutic radiologic service to inpatients and 
outpatients, including the processing, examining, interpreting, and 
storage and retrieval of radiographs, fluorographs, and radiotherapy.
    H108 Pharmacy Services. Includes commercial activities that produce, 
preserve, store, compound, manufacture, package, control, assay, 
dispense, and distribute medications (including intravenous solutions) 
for inpatients and outpatients.
    H109 Physical Therapy. Includes commercial activities that provide 
care and treatment to patients whose ability to function is impaired or 
threatened by disease or injury; primarily serve patients whose actual 
impairment is related to neuromusculoskeletal, pulmonary, and 
cardiovascular systems; evaluate the function and impairment of these 
systems, and select and apply therapeutic procedures to maintain, 
improve, or restore these functions.
    H110 Materiel Services. Includes commercial activities that provide 
or arrange for the supplies, equipment, and certain services necessary 
to support the mission of the medical facility; responsibilities include 
procurement, inventory control, receipt, storage, quality assurance, 
issue, turn-in, disposition, property accounting, and reporting actions 
for designated medical and nonmedical supplies and equipment.
    H111 Orthopedic Services. Includes commercial activities that 
construct orthopedic appliances such as braces, casts, splints, 
supports, and shoes from impressions, forms, molds, and other 
specifications.
    H112 Ambulance Service. Includes commercial activities that provide 
transportation for personnel who are injured, sick, or otherwise require 
medical treatment, including standby duty in support of military 
activities and ambulance bus services.
    H113 Dental Care. Includes commercial activities that provide oral 
examinations, patient education, diagnosis, treatment, and

[[Page 1024]]

care including all phases of restorative dentistry, oral surgery, 
prosthodontics, oral pathology, periodontics, orthodontics, endodontics, 
oral hygiene, preventive dentistry, and radiodontics.
    H114 Dental Laboratories. Includes commercial activities that 
operate dental prosthetic laboratories required to support the provision 
of comprehensive dental care; services may include preparing casts and 
models, repairing dentures, fabricating transitional, temporary, or 
orthodontic appliances, and finishing dentures.
    H115 Clinics and Dispensaries. Includes commercial activities that 
operate freestanding clinics and dispensaries that provide health care 
services. Operations are relatively independent of a medical treatment 
facility and are separable for in-house or contract performance. Health 
clinics, occupational health clinics, and occupational health nursing 
offices.
    H116 Veterinary Services. Includes commercial activities that 
provide a complete wholesomeness and quality assurance food inspection 
program, including sanitation, inspection of food received, surveillance 
inspections, and laboratory examination and analysis; a complete 
zoonosis control program; complete medical care for Government-owned 
animals; veterinary medical support for biomedical research and 
development; support to other Federal agencies when requested and 
authorized; assistance in a comprehensive preventive medicine program; 
and determination of fitness of all foods that may have been 
contaminated by chemical, bacteriological, or radioactive materials.
    H117 Medical Records Transcription. Includes commercial activities 
that transcribe, file, and maintain medical records.
    H118 Nursing Services. Includes commercial activities that provide 
care and treatment for inpatients and outpatients not required to be 
performed by a doctor.
    H119 Preventive Medicine. Includes commercial activities that 
operate wellness or holistic clinics (preventive medicine), information 
centers, and research laboratories.
    H120 Occupational Health. Includes commercial activities that 
develop, monitor, and inspect installation safety conditions.
    H121 Drug Rehabilitation. Includes commercial activities that 
operate alcohol treatment facilities, urine testing for drug content, 
and drug/alcohol counseling centers.
    H999 Other Health Services. This code will only be used for unusual 
circumstances and will not be used to report organizations or work that 
can be accommodated under a specifically defined code.

  Intermediate, Direct, or General Repair and Maintenance of Equipment

    Definition. Maintenance authorized and performed by designated 
maintenance commercial activities in support of using activities. 
Normally, it is limited to replacement and overhaul of unserviceable 
parts, subassemblies, or assemblies. It includes (1) intermediate/
direct/general maintenance performed by fixed activities that are not 
designed for deployment to combat areas and that provide direct support 
of organizations performing or designed to perform combat missions from 
bases in the United States, and (2) any testing conducted to check the 
repair procedure. Commercial activities engaged in intermediate/direct/
general maintenance and/or repair of equipment are to be grouped 
according to the equipment predominantly handled, as follows:
    J501 Aircraft. Aircraft and associated equipment. Includes armament, 
electronic and communications equipment, engines, and any other 
equipment that is an integral part of an aircraft.
    J502 Aircraft Engines. Aircraft engines that are not repaired while 
an integral part of the aircraft.
    J503 Missiles. Missile systems and associated equipment. Includes 
mechanical, electronics, and communication equipment that is an integral 
part of missile systems.
    J504 Vessels. All vessels, including armament, electronics, 
communications and any other equipment that is an integral part of the 
vessel.
    J505 Combat Vehicles. Tanks, armored personnel carriers, self-
propelled artillery, and other combat vehicles. Includes armament, fire 
control, electronic, and communications equipment that is an integral 
part of a combat vehicle.
    J506 Noncombat Vehicles. Automotive equipment, such as tactical, 
support, and administrative vehicles. Includes electronic and 
communications equipment that is an integral part of the noncombat 
vehicle.
    J507 Electronic and Communications Equipment. Stationary, mobile, 
portable, and other electronic and communications equipment. Excludes 
electronic and communications equipment that is an integral part of 
another weapon/support system. Maintenance of Automatic Data Processing 
Equipment (ADPE) not an integral part of a communications system shall 
be reported under functional code W825; maintenance of tactical ADPE 
shall be reported under function code J999.
    J510 Railway Equipment. Locomotives of any type or gauge, including 
steam, compressed air, straight electric, storage battery, diesel 
electric, gasoline, electric, diesel mechanical locomotives, railway 
cars, and cabooses. Includes electrical equipment for locomotives and 
cars, motors, generators, wiring supplies for railway tracks for both 
propulsion and signal circuits, and on-board communications and control 
equipment.

[[Page 1025]]

    J511 Special Equipment. Construction equipment, weight lifting, 
power, and materiel handling equipment (MHE).
    J512 Armament. Small arms, artillery and guns, nuclear munitions, 
chemical, biological, and radiological (CBR) items, conventional 
ammunition, and all other ordnance items. Excludes armament that is an 
integral part of another weapon or support system.
    J513 Dining Facility Equipment. Dining facility kitchen appliances 
and equipment.
    J514 Medical and Dental Equipment. Medical and dental equipment.
    J515 Containers, Textiles, Tents, and Tarpaulins. Containers, tents, 
tarpaulins, other textiles, and organizational clothing.
    J516 Metal Containers. Container Express (CONEX) containers, 
gasoline containers, and other metal containers.
    J517 Training Devices and Audiovisual Equipment. Training devices 
and audiovisual equipment. Excludes maintenance of locally fabricated 
devices and functions reported under codes T807 and T900.
    J519 Industrial Plant Equipment. That part of plant equipment with 
an acquisition cost of $3,000 or more, used to cut, abrade, grind, 
shape, form, join, test, measure, heat, or otherwise alter the physical, 
electrical, or chemical properties of materiels, components, or end 
items entailed in manufacturing, maintenance, supply processing, 
assembly, or research and development operations.
    J520 Test, Measurement, and Diagnostic Equipment. Test, measurement, 
and diagnostic equipment (TMDE) that has resident in it a programmable 
computer. Included is equipment referred to as automated test equipment 
(ATE).
    J521 Other Test, Measurement, and Diagnostic Equipment. Test, 
measurement, and diagnostic equipment not classified as ATE or that does 
not contain a resident programmable computer. Includes such items as 
electronic meters, armament circuit testers, and other specialized 
testers.
    J522 Aeronautical Support Equipment. Aeronautical support equipment 
excluding TMDE (and ATE). Includes such items as ground electrical power 
carts, aircraft tow tractors, ground air conditioners, engine stands, 
and trailers. Excludes aeronautical equipment reported under J501.
    J999 Other Intermediate, Direct, or General Repair and Maintenance 
of Equipment. This code will only be used for unusual circumstances and 
will not be used to report organizations or work that can be 
accommodated under a specifically defined code.

  Depot Repair, Maintenance, Modification, Conversion, or Overhaul of 
                                Equipment

    Definition. The maintenance performed on materiel that requires 
major overhaul or a complete rebuild of parts, assemblies, 
subassemblies, and end items, including the manufacture of parts, 
modifications, testing, and reclamation, as required. Depot maintenance 
serves to support lower categories of maintenance. Depot maintenance 
provides stocks of serviceable equipment by using more extensive 
facilities for repair than are available in lower level maintenance 
activities. (See DoD Instruction 4151.15 \2\ for further amplification 
of the category definitions reflected below.) Depot or indirect 
maintenance functions are identified by the type of equipment maintained 
or repaired.
---------------------------------------------------------------------------

    \2\ See footnote 1 to Sec. 169a.1(a).
---------------------------------------------------------------------------

    K531 Aircraft. Aircraft and associated equipment. Includes armament, 
electronics and communications equipment, engines, and any other 
equipment that is an integral part of an aircraft. Aeronautical support 
equipment not reported separately under code K548.
    K532 Aircraft Engines. Aircraft engines that are not repaired while 
an integral part of the aircraft.
    K533 Missiles. Missile systems and associated equipment. Includes 
mechanical, electronic, and communications equipment that is an integral 
part of missile systems.
    K534 Vessels. All vessels, including armament, electronics, and 
communications equipment, and any other equipment that is an integral 
part of a vessel.
    K535 Combat Vehicles. Tanks, armored personnel carriers, self-
propelled artillery, and other combat vehicles. Includes armament, fire 
control, electronics, and communications equipment that is an integral 
part of a combat vehicle.
    K536 Noncombat Vehicles. Automotive equipment, such as tactical 
support and administrative vehicles. Includes electronic and 
communications equipment that is an integral part of the vehicle.
    K537 Electronic and Communications Equipment. Stationary, mobile, 
portable, and other electronics and communications equipment. Excludes 
electronic and communications equipment that is an integral part of 
another weapon/support system. Maintenance of ADPE, not an integral part 
of a communications system, is reported under functional code W825.
    K538 Railway Equipment. Locomotives of any type or gauge, including 
steam, compressed air, straight electric, storage battery, diesel 
electric, gasoline, electric, diesel mechanical locomotives, railway 
cars, and cabooses. Includes electrical equipments for locomotives and 
cars, motors, generators, wiring supplies for railway tracks for both 
propulsion and signal circuits, and on-board communication and control 
equipment.
    K539 Special Equipment. Construction equipment, weight lifting, 
power, and materiel-handling equipment.

[[Page 1026]]

    K540 Armament. Small arms; artillery and guns; nuclear munitions, 
CBR items; conventional ammunition; and all other ordnance items. 
Excludes armament that is an integral part of another weapon or support 
system.
    K541 Industrial Plant Equipment. That part of plant equipment with 
an acquisition cost of $3,000 or more, used to cut, abrade, grind, 
shape, form, join, test, measure, heat, or otherwise alter the physical, 
electrical, or chemical properties of materials, components, or end 
items entailed in manufacturing, maintenance, supply, processing, 
assembly, or research and development operations.
    K542 Dining Facility Equipment. Dining facility kitchen applicances 
and equipment. This includes field feeding equipment.
    K543 Medical and Dental Equipment. Medical and dental equipment.
    K544 Containers, Textiles, Tents and Tarpaulins. Containers, tents, 
tarpaulins, and other textiles.
    K545 Metal Containers.  CONEX containers, gasoline containers, and 
other metal containers.
    K546 Test Measurement and Diagnostic Equipment. Test measurement and 
diagnostic equipment (TMDE) that has resident in it a programmable 
computer. Included is equipment referred to as automated test equipment 
(ATE).
    K547 Other Test Measurement and Diagnostic Equipment. Test 
measurement and diagnostic equipment not classfied as ATE or that does 
not contain a resident programmable computer. Includes such items as 
electronic meters, armament circuit testers, and other specialized 
testers.
    K548 Aeronautical Support Equipment. Aeronautical support equipment 
excluding TMDE (and ATE). Includes such items as ground electrical power 
carts, aircraft tow tractors, ground air conditioners, engine stands, 
and trailers. Excludes aeronautical support equipment reported under 
code K531.
    K999 Other Depot Repair, Maintenance, Modification, Conversion, or 
Overhaul of Equipment. This code will only be used for unusual 
circumstances and will not be used to report organizations or work that 
can be accommodated under a specifically defined code.

                Base Maintenance/Multifunction Contracts

    P100 Base Maintenance/Multifunction Contracts. Includes all 
umbrella-type contracts where the contractor performs more than one 
function at one or more installations. (Identify specific functions as 
nonadd entries.)

       Research, Development, Test, and Evaluation (RDT&E) Support

    R660 RDT&E Support. Includes all effort not reported elsewhere 
directed toward support of installation or operations required for 
research, development, test, and evaluation use. Included are 
maintenance support of laboratories, operation and maintenance of test 
ranges, and maintenance of test aircraft and ships.

                          Installation Services

    S700 Natural Resource Services. Includes those commercial activities 
that provide products or services that implement natural resource 
management plans in the areas of fish, game, wildlife, forestry, 
watershed areas or ground water table, erosion control, and mineral 
deposit management. Natural resources planning and management is a 
governmental function and will not be reported.
    S701 Advertising and Public Relations Services. Includes commercial 
activities responsible for advertising and public relations in support 
of public affairs offices, installation newspapers and publications, and 
information offices.
    S702 Financial and Payroll Services. Includes commercial activities 
that prepare payroll, print checks, escrow, or change payroll accounts 
for personnel. Includes other services normally associated with banking 
operations.
    S703 Debt Collection. Includes commercial activities that monitor, 
record, and collect debts incurred by overdrafts, bad checks, or 
delinquent accounts.
    S706 Installation Bus Services. Includes commercial activities that 
operate local, intrapost, and interpost scheduled bus services. Includes 
scheduled movement of personnel over regular routes by administrative 
motor vehicles to include taxi and dependent school bus services.
    S706A Scheduled Bus Services.
    S706B  Unscheduled Bus Services
    S706C  Dependent School Bus Services.
    S706D  Other Bus Services.
    S708 Laundry and Dry Cleaning Services. Including commercial 
activities that operate and maintain laundry and dry cleaning 
facilities.
    S709 Custodial Services. Includes commercial activities that provide 
janitorial and housekeeping services to maintain safe and sanitary 
conditions and preserve property.
    S710 Pest Management. Includes commercial activities that provide 
control measures directed against fungi, insects, rodents, and other 
pests.
    S712 Refuse Collection and Disposal Services. Includes commercial 
activities that operate incinerators, sanitary fills, and regulated 
dumps, and perform all other approved refuse collection and disposal 
services.

[[Page 1027]]

    S713 Food Services. Includes commercial activities engaged in the 
operation and administration of food preparation and serving facilities. 
Excludes operation of central bakeries, pastry kitchens, and central 
meat processing facilities that produce a product and are reported under 
functional area X934. Excludes hospital food service operations (under 
code H105).
    S713A: Food Preparation and Administration.
    S713B: Mess Attendants and Housekeeping Services.
    S714 Furniture. Includes commercial activities that repair and 
refurbish furniture.
    S715 Office Equipment. Includes commercial activities that maintain 
and repair typewriters, calculators, and adding machines.
    S716 Motor Vehicle Operation. Includes commercial activities that 
operate local administrative motor transportation services. Excludes 
installation bus services reported in functional area S706.
    S716A: Taxi Service.
    S716B: Bus Service (unless in S706).
    S716C: Motor Pool Operations.
    S716D: Crane Operation (includes rigging, excludes those listed in 
T800G).
    S716E: Heavy Truck Operation.
    S716F: Construction Equipment Operation.
    S716I: Driver/Operator Licensing & Test.
    S716J: Other Vehicle Operations (Light Truck/Auto).
    S716K: Fuel Truck Operations.
    S716M: Tow Truck Operations.
    S717 Motor Vehicle Maintenance. Includes commercial activities that 
perform maintenance on automotive equipment, such as support and 
administrative vehicles. Includes electronic and communications 
equipment that are an integral part of the vehicle.
    S717A: Upholstery Maintenance and Repair.
    S717B: Glass Replacement and Window Repair.
    S717C: Body Repair and Painting.
    S717D: Accessory Overhaul.
    S717E: General Repairs/Minor Maintenance.
    S717F: Battery Maintenance and Repair.
    S717G: Tire Maintenance and Repair.
    S717H: Major Component Overhaul.
    S717I: Material Handling Equipment Maintenance.
    S717J: Crane Maintenance.
    S717K: Construction Equipment Maintenance.
    S717L: Frame and Wheel Alignment.
    S717M: Other Motor Vehicle Maintenance.
    S718 Fire Prevention and Protection. Includes commercial activities 
that operate and maintain fire protection and preventive services. 
Includes routine maintenance and repair of fire equipment and the 
installation of fire prevention equipment.
    S718A: Fire Protection Engineering.
    S718B: Fire Station Administration.
    S718C: Fire Prevention.
    S718D: Fire Station Operations.
    S718E: Crash and Rescue.
    S718F: Structural Fire Suppression.
    S718G: Fire & Crash/Rescue Equipment Major Maintenance.
    S718H: Other Fire Prevention and Protection.
    S719: Military Clothing. Includes commercial activities that order, 
receive, store, issue, and alter military clothing and repair military 
shoes. Excludes repair of organizational clothing reported under code 
J515.
    S724: Guard Service. Includes commercial activities engaged in 
physical security operations that provide for installation security and 
intransit protection of military property from loss or damage.
    S724A: Ingress and egress control. Regulation of persons, material, 
and vehicles entering or exiting a designated area to provide protection 
of the installation and Government property.
    S724B: Physical security patrols and posts. Mobile and static 
physical security guard activities that provide protection of 
installation or Government property.
    S724C: Conventional arms, ammunition, and explosives (CAAE) 
security. Dedicated security guards for CAAE.
    S724D: Animal control. Patrolling for, capture of, and response to 
complaints about uncontrolled, dangerous, and disabled animals on 
military installations.
    S724E: Visitor information services. Providing information to 
installation resident and visitors about street, agency, unit, and 
activity locations.
    S724F: Vehicle impoundment. Removal, accountability, security, and 
processing of vehicles impounded on military installations.
    S724G: Registration functions. Administration, filing, processing, 
and retrieval information about privately owned items that must be 
registered on military installations.
    S724S: Other guard service.
    S725 Electrical Plants and Systems. Includes commercial activities 
that operate, maintain, and repair Government-owned electrical plants 
and systems.
    S726 Heating Plants and Systems. Includes commercial activities that 
operate, maintain, and repair Government-owned heating plants and 
systems over 750,000 British Thermal Unit (BTU) capacity. Codes Z991 or 
Z992 will be used for systems under 750,000 BTU capacity, as applicable.
    S727 Water Plants and Systems. Includes commercial activities that 
operate, maintain, and repair Government-owned water plants and systems.
    S728 Sewage and Waste Plants and Systems. Includes commercial 
activities that operate, maintain, and repair Government-owned sewage 
and waste plants and systems.

[[Page 1028]]

    S729 Air Conditioning and Refrigeration Plants. Includes commercial 
activities that operate, maintain, and repair Government-owned air 
conditioning and refrigeration plants over 5-ton capacity. Codes Z991 or 
Z992 shall be used for plants under 5-ton capacity as applicable.
    S730 Other Services or Utilities. Includes commercial activities 
that operate, maintain, and repair other Government-owned services or 
utilities.
    S731 Base Supply Operations. Includes commercial activities that 
operate centralized installation supply functions providing supplies and 
equipment to all assigned or attached units. Performs all basic supply 
functions to determine requirements for all requisition, receipt, 
storage, issuance, and accountability for materiel.
    S732 Warehousing and Distribution of Publications. Includes 
commercial activities that receive, store, and distribute publications 
and blank forms.
    S740 Installation Transportation Office. Includes technical, 
clerical, and administrative commercial activities that support traffic 
management services related to the procurement of freight and passenger 
service from commercial ``for hire'' transportation companies. Excludes 
restricted functions that must be performed by Government employees such 
as the review, approval, and signing of documents related to the 
obligation of funds; selection of mode or carrier; evaluation of carrier 
performance; and carrier suspension. Excludes installation 
transportation functions described under codes S706, S716, S717, T810, 
T811, T812, and T814.
    S740A: Installation Transportation Management and Administration.
    S740B: Materiel Movements.
    S740C: Personnel Movements.
    S740D: Personal Property Activities.
    S740E: Quality Control and Inspection.
    S740F: Unit Movements.
    S750 Museum Operations.
    S760 Contractor-Operated Parts Stores and Contractor-Operated Civil 
Engineering Supply Stores.
    S999 Other Installation Services. This code will only be used for 
unusual circumstances and will not be used to report organizations or 
work that can be accommodated under a specifically defined code.

                    Other Nonmanufacturing Operations

    T800 Ocean Terminal Operations. Includes commercial activities that 
operate terminals transferring cargo between overland and sealift 
transportation. Includes handling of Government cargo through commercial 
water terminals.
    T800A: Pier Operations. Includes commercial activities that provide 
stevedore and shipwright carpentry operations supporting the loading, 
stowage, and discharge of cargo and containers on and off ships, and 
supervision of operations at commercial piers and military ocean 
terminals.
    T800B: Cargo Handling Equipment. Includes commercial activities that 
operate and maintain barge derricks, gantries, cranes, forklifts, and 
other materiel handling equipment used to handle cargo within the 
terminal area.
    T800C: Port Cargo Operations. Includes commercial activities that 
load and unload railcars and trucks, pack, repack, crate, warehouse, and 
store cargo moving through the terminal, and stuff and unstuff 
containers.
    T800D: Vehicle Preparation. Includes commercial activites that 
prepare Government and privately owned vehicles (POVs) for ocean 
shipment, inspection, stowage in containers, transportation to pier, 
processing, and issue of import vehicles to owners.
    T800E: Lumber Operations. Includes commercial activities that 
segregate reclaimable lumber from dunnage removed from ships, railcars, 
and trucks; remove nails; even lengths; inspect; and return the lumber 
to inventory for reuse. Includes receipt, storage, and issue of new 
lumber.
    T800F: Materiel Handling Equipment (MHE) Operations. Includes 
commercial activities that deliver MHE to user agencies, perform onsite 
fueling, and operate special purpose and heavy capacity equipment.
    T800G: Crane Operations. Includes commercial activities that operate 
and perform first-echelon maintenance of barge derricks, gantries, and 
truck-mounted cranes in support of vessels and terminal cargo 
activities.
    T800H: Breakbulk Cargo Operations. Includes commercial activities 
that provide stevedoring, shipwright carpentry, stevedore 
transportation, and the loading and unloading of noncontainerized cargo.
    T800I: Other Ocean Terminal Operations.
    T801 Storage and Warehousing. Includes commercial activities that 
receive materiel into depots and other storage and warehousing 
facilities, provide care for supplies, and issue and ship materiel. 
Excludes installation supply in support of unit and tenet activities 
described in S731.
    T801A: Receipt. Includes commercial activities that receive supplies 
and related documents and information. This includes materiel handling 
and related actions, such as materials segregation and checking, and 
tallying incident to receipt.
    T801B: Packing and Crating of Household Goods. Includes commercial 
activities performing packing and crating operations described in T801H, 
incident to the movement or storage of household goods.
    T801C: Shipping. Includes commercial activities that deliver stocks 
withdrawn from storage to shipping. Includes onloading and offloading of 
stocks from transportation carriers, blocking, bracing, dunnage, 
checking, tallying, and materiel handling in central

[[Page 1029]]

shipping area and related documentation and information operations.
    T801D: Care, Rewarehousing, and Support of Materiel. Includes 
commercial activities that provide for actions that must be taken to 
protect stocks in storage, including physical handling, temperature 
control, assembly placement and preventive maintenance of storage aids, 
and realigning stock configuration; provide for movement of stocks from 
one storage location to another and related checking, tallying, and 
handling; and provide for any work being performed within general 
storage support that cannot be identified clearly as one of the 
subfunctions described above.
    T801E: Preservation and Packaging. Includes commercial activities 
that preserve, represerve, and pack materiel to be placed in storage or 
to be shipped. Excludes application of final (exterior) shipping 
containers.
    T801F: Unit and Set Assembly and Disassembly. Includes commercial 
activities that gather or bring together items of various nomenclature 
(parts, components, and basic issue items) and group, assemble, or 
restore them to or with an item of another nomenclature (such as parent 
end item or assemblage) to permit shipment under a single document. This 
also includes blocking, bracing, and packing preparations within the 
inner shipping container; physical handling and loading; and reverse 
operation of assembling such units.
    T801G: Special Processing of Non Stock Fund-Owned Materiel. Includes 
commercial activities performing special processing actions described 
below that must be performed on Inventory Control Point (ICP)-
controlled, nonstock fund-owned materiel by technically qualified depot 
maintenance personnel, using regular or special maintenance tools or 
equipment. Includes disassembly or reassembly or reserviceable ICP-
controlled materiel being readied for movement, in-house storage, or 
out-of-house location such as a port to a commercial or DoD-operated 
maintenance or storage facility, property disposal or demilitarization 
activity, including blocking, bracing, cushioning, and packing.
    T801H: Packing and Crating. Includes commercial activities that 
place supplies in their final, exterior containers ready for shipment. 
Includes the nailing, strapping, sealing, stapling, masking, marking, 
and weighing of the exterior container. Also, includes all physical 
handling, unloading, and loading of materiel, within the packing and 
shipping area; checking and tallying material in and out; all operations 
incident to packing, repacking, or recrating for shipment, including on-
line fabrication of tailored boxes, crates, bit inserts, blocking, 
bracing and cushioning shrouding, overpacking, containerization, and the 
packing of materiel in transportation containers. Excludes packing of 
household goods and personnel effects reported under code T801B.
    T801I: Other Storage and Warehousing.
    T802 Cataloging. Includes commercial activity that prepare supply 
catalogs and furnish cataloging data on all items of supply for 
distribution to all echelons worldwide. Includes catalog files, 
preparation, and revision of all item identifications for all logistics 
functions; compilation of Federal catalog sections and allied 
publication; development of Federal item identification guides, and 
procurement identification descriptions. Includes printing and 
publication of Federal supply catalogs and related allied publications.
    T803 Acceptance Testing. Includes commercial activities that inspect 
and test supplies and materiel to ensure that products meet minimum 
requirements of applicable specifications, standards, and similar 
technical criteria; laboratories and other facilities with inspection 
and test capabilities; and activities engaged in production acceptance 
testing of ammunition, aircraft armament, mobility material, and other 
military equipment.
    T803A: Inspection and Testing of Oil and Fuel.
    T803B: Other Acceptance Testing.
    T804 Architect-Engineering Services. Includes commercial activities 
that provide Architect/Engineer (A/E) services. Excludes Engineering 
Technical Services (ETS) reported in functional area T813, and those 
required under 40 U.S.C. 541-554.
    T805 Operation of Bulk Liquid Storage. Includes commercial 
activities that operate bulk petroleum storage facilities. Includes 
operation of off-vessel discharging and loading facilities, fixed and 
portable bulk storage facilities, pipelines, pumps, and other related 
equipment within or between storage facilities or extended to using 
agencies (excludes aircraft fueling services); handling of drums within 
bulk fuel activities. Excludes aircraft fueling services reported under 
code T814.
    T806 Printing and Reproduction. Includes commercial activities that 
print, duplicate, and copy. Excludes user-operated office copying 
equipment.
    T807 Audiovisual and Visual Information Services. Includes 
commercial activities that provide base audiovisual (AV) and visual 
information (VI) support, production, depositories, technical 
documentation, and broadcasting.
    T807A: Base VI Support. Includes commercial activities that provide 
production activities that provide general support to all installation, 
base, facility or site, organizations or activities. Typically, they 
supply motion picture, still photography, television, and audio 
recording for nonproduction documentary purposes, their laboratory 
support, graphic arts, VI libraries, and presentation services.

[[Page 1030]]

    T807B: AV Production. Includes commercial activities that provide a 
self-contained, complete presentation, developed according to a plan or 
script, combining sound with motion media (film, tape or disc) for the 
purpose of conveying information to, or communicating with, an audience. 
(An AV production is distinguished from a VI production by the absence 
of combined sound and motion media in the latter.)
    T807C: VI Depositories. Includes commercial activities that are 
especially designed and constructed for the low-cost and efficient 
storage and furnishing of reference service on semicurrent records 
pending their ultimate disposition. Includes records centers.
    T807D: VI Technical Documentation. Includes commercial activities 
that provide a technical documentation (TECDOC) which is a continuous 
visual recording (with or without sound as an integral documentation 
component) of an actual event made for purposes of evaluation. 
Typically, TECDOC contributes to the study of human or mechanical 
factors, procedures and processes in the context of medicine, science 
logistics, research, development, test and evaluation, intelligence, 
investigations and armament delivery.
    T807E: Electronic Media Transmission. Includes commercial activities 
that transmit and receive audio and video signals for closed circuit 
local and long distance multi-station networking and broadcast 
operations.
    T807F: VI Documentation. Includes commercial activities that provide 
motion media (film or tape) still photography and audio recording of 
technical and nontechnical events, as they occur, usually not controlled 
by the recording crew. VI documentation (VIDOC) encompasses Operational 
Documentation (OPDOC) and TECDOC. OPDOC is VI (photographic or 
electronic) recording of activities, or multiple perspectives of the 
same activity, to convey information about people, places and things.
    T807G: AV Central Library (Inventory Control Point). Includes 
commercial activities that receive, store, issue, and maintain AV 
products at the central library level. May or may not include records 
center operations for AV products.
    T807K: AV or VI Design Service. Includes commercial activities that 
provide professional consultation services involving the selection, 
design, and development of AV or VI equipment or facilities.
    T808 Mapping and Charting. Includes commercial activities that 
design, compile, print, and disseminate cartographic and geodetic 
products.
    T809 Administrative Telephone Service. Includes commercial 
activities that operate and maintain the common-user, administrative 
telephone systems at DoD installations and activities. Includes 
telephone operator services; range communications; emergency action 
consoles; and the cable distribution portion of a fire alarm, intrusion 
detection, emergency monitoring and control data, and similar systems 
that require use of a telephone system.
    T810 Air Transportation Services. Includes commercial activities 
that operate and maintain nontactical aircraft that are assigned to 
commands and installations and used for administrative movement of 
personnel and supplies.
    T811 Water Transportation Services. Includes commercial activities 
that operate and maintain nontactical watercraft that are assigned to 
commands and installations and are used for administrative movement of 
personnel and supplies.
    T811A: Water Transportation Services (except tug operations).
    T811B: Tug Operations.
    T812 Rail Transportation Services. Includes commercial activities 
that operate and maintain nontactical rail equipment assigned to 
commands and installation and used for administrative movement of 
personnel and supplies.
    T813 Engineering and Technical Services. Includes commercial 
activities that advise, instruct, and train DoD personnel in the 
installation, operation, and maintenance of DoD weapons, equipment, and 
systems.
    These services include transmitting the technical skill capability 
to DoD personnel in order for them to install, maintain, and operate 
such equipment and keep it in a high state of military readiness.
    T813A: Contractor Plant Services. Includes commercial manufacturers 
of military equipment contracted to provide technical and engineering 
services to DoD personnel. Qualified employees of the manufacturer 
furnish these services in the manufacturer plants and facilities. 
Through this program, the special skills, knowledge, experience, and 
technical data of the manufacturer are provided for use in training, 
training aid programs, and other essential services directly related to 
the development of the technical capability required to install, 
operate, maintain, supply, and store such equipment.
    T813B: Contract Field Services (CFS). Includes commercial activities 
that provide services of qualified contractor personnel who provide 
onsite technical and engineering services to DoD personnel.
    T813C: In-house Engineering and Technical Services. Includes 
commercial activities that provide technical and engineering services 
described in codes T813A and T813B above that are provided by Government 
employees.
    T813D: Other Engineering and Technical Services.

[[Page 1031]]

    T814 Fueling Service (Aircraft). Includes commercial activities that 
distribute aviation petroleum/oil/lubricant products. Includes operation 
of trucks and hydrants.
    T815 Scrap Metal Operation. Includes commercial activities that bale 
or shear metal scrap and melt or sweat aluminum scrap.
    T816 Telecommunication Centers. Includes commercial activities that 
operate and maintain telecommunication centers, nontactical radios, 
automatic message distribution systems, technical control facilities, 
and other systems integral to the communication center. Includes 
operations and maintenance of air traffic control equipment and 
facilities.
    T817 Other Communications and Electronics Systems. Includes 
commercial activities that operate and maintain communications and 
electronics systems not included in T809 and T816.
    T818 Systems Engineering and Installation of Communications Systems. 
Includes commercial activities that provide engineering and installation 
services, including design and drafting services associated with 
functions specified in T809, T816, and T817.
    T819 Preparation and Disposal of Excess and Surplus Property. 
Includes commercial activities that accept, classify, and dispose of 
surplus Government property, including scrap metal.
    T820 Administrative Support Services. Includes commercial activities 
that provide centralized administrative support services not included 
specifically in another functional category. These activities render 
services to multiple activities throughout an organization or to 
multiple organizations; such as, a steno or typing pool rather than a 
secretary assigned to an individual. Typical activities included are 
word processing centers, reference and technical libraries, 
microfilming, messenger service, translation services, publication 
distribution centers, etc.
    T820A: Word Processing Centers.
    T820B: Reference and Technical Libraries.
    T820C: Microfilming.
    T820D: Internal Mail and Messenger Services.
    T820E: Translation Services.
    T820F: Publication Distribution Centers.
    T820G: Field Printing and Publication. Includes those activities 
that print or reproduce official publications, regulations, and orders. 
Includes management and operation of the printing facility.
    T820H: Compliance Auditing.
    T820I: Court Reporting.
    T821 Special Studies and Analyses. Includes commercial activities 
that perform research, collect data, conduct time-motion studies, or 
pursue some other planned methodology in order to analyze a specific 
issue, system, device, boat, plane, or vehicle for management.
    Such activities may be temporary or permanent in nature.
    T821A: Cost Benefit Analyses.
    T821B: Statistical Analyses.
    T821C: Scientific Data Studies.
    T821D: Regulatory Studies.
    T821E: Defense, Education, Energy Studies.
    T821F: Legal/Litigation Studies.
    T821G: Management Studies.
    T900 Training Devices and Simulators. Includes commercial activities 
that provide training aids, devices, simulator design, fabrication, 
issue, operation, maintenance, support, and services.
    T900A: Training Aids, Devices, and Simulator Support. Includes 
commercial activities that design, fabricate, stock, store, issue, 
receive, and account for and maintain training aids, devices, and 
simulators (does not include audiovisual production and associated 
services or audiovisual support).
    T900B: Training Device and Simulator Operation. Includes commercial 
activities that operate and maintain training device and simulator 
systems.
    T999 Other Nonmanufacturing Operations.

                         Education and Training

    Includes commercial activities that conduct courses of instruction 
attended by civilian or military personnel of the Department of Defense. 
Terminology of categories and subcategories primarily for military 
personnel (marked by an asterisk) follows the definitions of the 
statutory Military Manpower Training Report submitted annually to the 
Congress. This series includes only the conduct of courses of 
instruction; it does not include education and training support 
functions (that is, Base Operations Functions in the S series and 
Nonmanufacturing Operations in the T series). A course is any separately 
identified instructional entity or unit appearing in a formal school or 
course catalog.
    U100 Recruit Training.* The instruction of recruits.
    U200 Officer Acquisition Training.* Programs concerned with officer 
acquisition training.
    U300 Specialized Skill Training.* Includes Army One-Station Unit 
Training, Naval Apprenticeship Training, and health care training.
    U400 Flight Training.* Includes flight familiarization training.
    U500 Professional Development Education*
    U510 Professional Military Education.* Generally, the conduct of 
instruction at basic, intermediate, and senior Military Service schools 
and colleges and enlisted leadership training does not satisfy the 
requirements of the definition of a DoD CA and is excluded from the 
provision of this Instruction.
    U520 Graduate Education, Fully Funded, Full-Time*
    U530 Other Full-Time Education Programs*
    U540 Off-Duty (Voluntary) and On-Duty Education Programs.* Includes 
the conduct of

[[Page 1032]]

Basic Skills Education Program (BSEP), English as a Second Language 
(ESL), skill development courses, graduate, undergraduate, vocational/
technical, and high school completion programs for personnel without a 
diploma.
    U600 Civilian Education and Training. Includes the conduct of 
courses intended primarily for civilian personnel.
    U700 Dependent Education. Includes the conduct of elementary and 
secondary school courses of instruction for the dependents of DoD 
overseas personnel.
    U800 Training Development and Support (not reported elsewhere)
    U999 Other Training. This code will only be used for unusual 
circumstances and will not be used to report organizations or work that 
can be accommodated under a specifically defined code.

                        Automatic Data Processing

    W824 Data Processing Services. Includes commercial activities that 
provide ADP processing services by using Government-owned or -leased ADP 
equipment; or participating in Government-wide ADP sharing program; or 
procuring of time-sharing processing services (machine time) from 
commercial sources. Includes all types of data processing services 
performed by general purpose ADP and peripheral equipment.
    W824A: Operation of ADP Equipment.
    W824B: Production Control and Customer Services.
    W824C: ADP Magnetic Media Library.
    W824D: Data Transcription/Data Entry Services.
    W824E: Transmission and Teleprocessing Equipment Services.
    W824F: Acceptance Testing and Recovery Systems.
    W824G: Punch Card Processing Services.
    W824H: Other ADP Operations and Support.
    W825 Maintenance of ADP Equipment. Includes commercial activities 
that maintain and repair all Government-owned ADP equipment and 
peripheral equipment.
    W826 Systems Design, Development, and Programing Services. Includes 
commercial activities that provide software services associated with 
nontactical ADP operation.
    W826A: Development and Maintenance of Applications Software.
    W826B: Development and Maintenance of Systems Software.
    W827 Software Services for Tactical Computers and Automated Test 
Equipment. Includes commercial activities that provide software services 
associated with tactical computers and TMDE and ATE hardware.
    W999 Other Automatic Data Processing. This code will only be used 
for unusual circumstances and will not be used to report organizations 
or work that can be accommodated under a specifically defined code.

              Products Manufactured and Fabricated In-House

    Commercial activities that manufacture and/or fabricate products in-
house are grouped according to the products predominantly handled as 
follows:
    X931 Ordnance Equipment. Ammunition and related products.
    X932 Products Made from Fabric or Similar Materials. Including the 
assembly and manufacture of clothing, accessories, and canvas products.
    X933 Container Products and Related Items. Including the design, 
engineering, and manufacture of wooden boxes, crates, and other 
containers; includes the fabrication of fiberboard boxes, and assembly 
of paperboard boxes with metal straps. Excludes on-line fabrication of 
boxes and crates reported in functional area T801.
    X934 Food and Bakery Products. Including the operation of central 
meat processing plants, pastry kitchens, and bakery facilities. Excludes 
food services reported in functional areas S713 and H105.
    X935 Liquid, Gaseous, and Chemical Products. Including the providing 
of liquid oxygen and liquid nitrogen.
    X936 Rope, Cordage, and Twine Products; Chains and Metal Cable 
Products
    X937 Logging and Lumber Products. Logging and sawmill operations.
    X938 Communications and Electronic Products.
    X939 Construction Products. The operation of quarries and pits, 
including crushing, mixing, and concrete and asphalt batching plants.
    X940 Rubber and Plastic Products.
    X941 Optical and Related Products.
    X942 Sheet Metal Products.
    X943 Foundry Products.
    X944 Machined Parts.
    X999 Other Products Manufactured and Fabricated In-House. This code 
will only be used for unusual circumstances and will not be used to 
report organizations or work that can be accommodated under a 
specifically defined code.

    Maintenance, Repair, Alteration, and Minor Construction of Real 
                                Property.

    Z991 Buildings and Structures--Family Housing. Includes commercial 
activities that are engaged in exterior and interior painting and 
glazing; roofing, interior plumbing; interior electric; interior heating 
equipment, including heat sources under 750,000 BTU capacity; installed 
food service and related equipment, air conditioning and refrigeration 
under a 5-ton capacity; elevators; and other equipment affixed as part 
of the building and not included in other activities. Includes fencing, 
flagpoles, and other miscellaneous structures associated with family 
housing.

[[Page 1033]]

    Z991A: Rehabilitation--Tenant Change.
    Z991B: Roofing.
    Z991C: Glazing.
    Z991D: Tiling.
    Z991E: Exterior Painting.
    Z991F: Interior Painting
    Z991G: Flooring.
    Z991H: Screens, Blinds, etc.
    Z991I: Appliance Repair.
    Z991J: Electrical Repair. Includes elevators, escalators, and moving 
walks.
    Z991K: Plumbing.
    Z991L: Heating Maintenance.
    Z991M: Air Conditioning Maintenance.
    Z991N: Emergency/Service Work.
    Z991T: Other Work.
    Z992 Buildings and Structures (Other Than Family Housing). Includes 
commercial activities that are engaged in exterior and interior painting 
and glazing; roofing, interior plumbing; interior electric; interior 
heating equipment, including heat sources under 750,000 BTU capacity; 
installed foor service and related equipment; air conditioning and 
refrigeration under a 5-ton capacity; elevators; and other equipment 
affixed as part of the building and not reported under other functional 
codes. Includes fencing, flagpoles, guard and watchtowers, grease racks, 
unattached loading ramps, training facilities other than buildings, 
monuments, grandstands and bleachers, elevated garbage racks, and other 
miscellaneous structures.
    Z992A: Rehabilitation--Tenant Change.
    Z992B: Roofing.
    Z992C: Glazing.
    Z992D: Tiling.
    Z992E: Exterior Painting.
    Z992F: Interior Painting.
    Z992G: Flooring.
    Z992H: Screens, Blinds, etc.
    Z992I: Appliance Repair.
    Z992J: Electrical Repair. Includes elevators, escalators, and moving 
walkways.
    Z992K: Plumbing.
    Z992L: Heating Maintenance.
    Z992M: Air Conditioning Maintenance.
    Z992N: Emergency/Service Work.
    Z992T: Other Work.
    Z993 Grounds and Surfaced Areas. Commercial activities that 
maintain, repair, and alter grounds and surfaced areas defined in codes 
Z993A, B, and C, below.
    Z993A: Grounds (Improved). Includes improved grounds, including 
lawns, drill fields, parade grounds, athletic and recreational 
facilities, cemeteries, other ground areas, landscape and windbreak 
plants, and accessory drainage systems.
    Z993B: Grounds (Other than Improved). Small arms ranges, antenna 
fields, drop zones, and firebreaks. Also grounds such as wildlife 
conservation areas, maneuver areas, artillery ranges, safety and 
security zones, desert, swamps, and similar areas.
    Z993C: Surfaced Areas. Includes airfield pavement, roads, walks, 
parking and open storage areas, traffic signs and markings, storm 
sewers, culverts, ditches, and bridges. Includes sweeping and snow 
removal from streets and airfields.
    Z997 Railroad Facilities. Includes commercial activities that 
maintain, repair, and alter narrow and standard gauge two-rail tracks, 
including spurs, sidings, yard, turnouts, frogs, switches, ties, 
ballast, and roadbeds, with accessories and appurtenances, drainage 
facilities, and trestles.
    Z998 Waterways and Waterfront Facilities. Includes commercial 
activities that maintain, repair, and alter approaches, turning basin, 
berth areas and maintenance dredging, wharves, piers, docks, ferry 
racks, transfer bridges, quays, bulkheads, marine railway dolphins, 
mooring, buoys, seawalls, breakwaters, causeways, jetties, revetments, 
etc. Excludes waterways maintained by the Army Corps of Engineers (COE) 
rivers and harbors programs. Also excludes buildings, grounds, 
railroads, and surfaced areas located on waterfront facilities.
    Z999 Other Maintenance, Repair, Alteration, and Minor Construction 
of Real Property. This code will only be used for unusual circumstances 
and will not be used to report organizations or work that can be 
accommodated under a specifically defined code.

[50 FR 40805, Oct. 7, 1985, as amended at 57 FR 29210, July 1, 1992]



Sec. Appendix B to Part 169a--Commercial Activities Inventory Report and 
                        Five-Year Review Schedule

                         A. General Instructions

    1. Forward your inventory report before January 1 to the Director, 
Installations Management, 400 Army Navy Drive, Room 206, Arlington, VA 
22202-2884. Use Report Control Symbol ``DD-A&T(A) 1540'' as your 
authority to collect this data.
    2. Transmit by use of floppy diskette. Data files must be in 
American Standard Code Information Interchange text file format on a 
MicroSoft-Disk Operating System formatted 3.5 inch floppy diskette. 
Provide submissions in the Defense Utility Energy Reporting System 
format as specified below.
    3. Data Format: In-House DoD Commercial Activities

------------------------------------------------------------------------
                                    Tape
          Data element           positions      Field      Type data \1\
------------------------------------------------------------------------
Designator.....................      1      A              A
Installation...................  .........  A1             .............
  --State, territory, or           2-3      A1a            N
   possession.
  --Place......................    4-9      A1b            A/N
 + Function....................  10-14      A2             A/N
In-house civilian workload.....  15-20      A3             N
Military workload..............  21-26      A4             N
 + Reason for in-house              49      A8             A
 operation.

[[Page 1034]]

 
 + Most recent year in-house     50-51      A9             N
 operation approved.
 + Year DoD CA scheduled for     52-53      A10            N
 next review.
Installation name..............  76-132     A11            A
------------------------------------------------------------------------
\1\ A = Alpha; N = Numeric. A and A/N data shall be left justified space
  filled, N data shall be right justified and zero filled. + Items
  marked with a cross ( + ) have been registered in the DoD Data Element
  Dictionary.

    4. When definite coding instructions are not provided, reference 
must be made to DoD 5000.12-M. \1\ Failure to follow the coding 
instructions contained in this document, or those published in DoD 
5000.12-M makes the DoD Component responsible for noncompliance of 
required concessions in data base communication.
---------------------------------------------------------------------------

    \1\ See Footnote 1 to Sec. 169a.1(a).
---------------------------------------------------------------------------

                          B. Entry Instructions

------------------------------------------------------------------------
              Field                             Instruction
------------------------------------------------------------------------
A                                 Enter an A to designate that the data
                                   to follow on this record pertains to
                                   a particular DoD CA.
A1a                               Enter the two-position numeric code
                                   for State (Data element reference ST-
                                   GA) or U.S. territory or possession,
                                   as shown in attachment 1 to Appendix
                                   B of this part.
A1b                               Enter the unique alpha-numeric code
                                   established by the DoD Component for
                                   military installation, named
                                   populated place, or related entity
                                   where the CA workload was performed
                                   during the fiscal year covered by
                                   this submission. A separate look-up
                                   listing or file should be provided
                                   showing each unique place code and
                                   its corresponding place name.
A2                                Enter the function code from Appendix
                                   A to this part that best describes
                                   the type of CA workload principally
                                   performed by the CA covered by this
                                   submission. Left justify.
A3                                Enter total (full- and part-time) in-
                                   house civilian workyear equivalents
                                   applied to the performance of the
                                   function during fiscal year. Round
                                   off to the nearest whole workyear
                                   equivalent. (If amount is equal to or
                                   greater than .5, round up. If amount
                                   is less than .5, round down. Amounts
                                   between zero and 0.9 should be
                                   entered as one). Right justify. Zero
                                   fill.
A4                                Enter total military workyear
                                   equivalents applied to the
                                   performance of the function in the
                                   fiscal year. Round off to the nearest
                                   whole workyear equivalent. (Amounts
                                   between zero and one should be
                                   entered as one). Right justify. Zero
                                   fill.
A8                                Enter the reason for in-house
                                   operation of the CA, as shown in
                                   attachment 2 to Appendix B of this
                                   part.
A9                                Enter the last two digits of the most
                                   recent fiscal year corresponding to
                                   the reason for in-house operation of
                                   the CA, as stated in Field A8.
A10                               Enter the last two digits of the
                                   fiscal year the function is scheduled
                                   for study or next review. (Data
                                   element reference YE-NA.)
A11                               Enter the named populated place, or
                                   related entity, where the CA workload
                                   was performed.
------------------------------------------------------------------------

  Attachment 1 to Appendix B to Part 169a--Codes For Denoting States, 
           Territories, and Possessions of the United States.

          a. Numeric State Codes (Data element reference ST-GA)

                                  Code

01 Alabama
02 Alaska
04 Arizona
05 Arkansas
06 California
08 Colorado
09 Connecticut
10 Delaware
11 District of Columbia
12 Florida
13 Georgia
15 Hawaii
16 Idaho
17 Illinois
18 Indiana
19 Iowa
20 Kansas
21 Kentucky
22 Louisiana
23 Maine
24 Maryland
25 Massachusetts
26 Michigan
27 Minnesota
28 Mississippi
29 Missouri
30 Montana
31 Nebraska
32 Nevada
33 New Hampshire
34 New Jersey
35 New Mexico
36 New York
37 North Carolina
38 North Dakota
39 Ohio
40 Oklahoma
41 Oregon
42 Pennsylvania
44 Rhode Island
45 South Carolina
46 South Dakota
47 Tennessee
48 Texas
49 Utah
50 Vermont
51 Virginia
53 Washington
54 West Virginia
55 Wisconsin
56 Wyoming

      b. Numeric Codes for Territories and Possessions (FIPS 55-2)

60 American Samoa
66 Guam
69 Northern Marianna Islands
71 Midway Islands
72 Puerto Rico

[[Page 1035]]

75 Trust Territory of the Pacific Islands
76 Navassa Islands
78 Virgin Islands
79 Wake Island
81 Baker Island
86 Jarvis Island
89 Kingman Reef
95 Palmyra Atoll

 Attachment 2 to Appendix B to Part 169a--Codes for Denoting Compelling 
    Reasons for In-House Operations of Planned Changes in Method or 
                               Performance

    1. PERFORMANCE (for entry in field A8)

------------------------------------------------------------------------
              Code                              Explanation
------------------------------------------------------------------------
A                                 Indicates that the DoD CA has been
                                   retained in-house for national
                                   defense reasons in accordance with
                                   paragraph E.2.a(1) of DoD Instruction
                                   4100.33, other than CAs reported
                                   under code ``C'' of this attachment.
C                                 Indicates that the DoD CA is retained
                                   in-house because the CA is essential
                                   for training or experience in
                                   required military skills, or the CA
                                   is needed to provide appropriate work
                                   assignments for a rotation base for
                                   overseas or sea-to-shore assignments,
                                   or the CA is necessary to provide
                                   career progression to a needed
                                   military skill level in accordance
                                   with paragraph E.2.a(1)(a) of DoD
                                   Instruction 4100.33.
D                                 Indicates procurement of a product or
                                   service from a commercial source
                                   would cause an unacceptable delay or
                                   disruption of an essential DoD
                                   program.
E                                 Indicates that there is no
                                   satisfactory commercial source
                                   capable of providing the product or
                                   service needed.
F                                 Indicates that a cost comparison has
                                   been conducted and that the
                                   Government is providing the product
                                   or service at a lower total cost as a
                                   result of a cost comparison.
G                                 Indicates that the CA is being
                                   performed by DoD personnel now, but
                                   decision to continue in-house or
                                   convert to contract is pending
                                   results of a scheduled cost
                                   comparison.
H                                 Indicates that the CA is being
                                   performed by DoD employees now, but
                                   will be converted to contract because
                                   of cost comparison results.
J                                 Indicates that the CA is being
                                   performed by DoD hospital and, in the
                                   best interest of direct patient care,
                                   is being retained in-house.
K                                 Indicates that the CA is being
                                   performed by DoD employees now, but a
                                   decision has been made to convert to
                                   contract for reasons other than cost.
N                                 Indicates that the CA is performed by
                                   DoD employees now, but a review is in
                                   progress pending a decision. (i.e.,
                                   base closure, realignment, or
                                   consolidation).
X                                 Indicates that the Installation
                                   commander is not scheduling this CA
                                   for cost study under the provisions
                                   of congressional authority.
Y                                 Indicates that the CA is retained in-
                                   house because the cost study exceeded
                                   the time limit prescribed by law.
Z                                 Indicates that the CA is retained in-
                                   house for reasons not included above.
                                   (i.e., a law, Executive order,
                                   treaty, or international agreement).
------------------------------------------------------------------------

    2. USE OF OTHER CODES. Other codes may be assigned as designated by 
the ODASD (I).

[50 FR 40805, Oct. 7, 1985, as amended at 57 FR 29210, July 1, 1992; 60 
FR 67329, Dec. 29, 1995]



  Sec. Appendix C to Part 169a--Simplified Cost Comparison and Direct 
                            Conversion of CAs

    A. This appendix provides guidance on procedures to be followed in 
order to convert a commercial activity employing 45 or fewer DoD 
civilian employees to contract performance without a full cost 
comparison. DoD Components may directly convert functions with 10 or 
fewer civilian employees without conducting a simplified cost 
comparison. Simplified cost comparisons may only be conducted on 
activities with 45 or fewer DoD civilian employees.
    B. Direct conversions with 10 or fewer DoD civilian employees must 
meet the following criteria:
    1. The activity is currently performed by 10 or fewer civilian 
employees.
    2. The direct conversion makes sense from a management or 
performance standpoint.
    3. The direct conversion is cost effective.
    4. The installation commander should attempt to place or retrain 
displaced DoD civilian employees by
    a. Placing or retraining employees in available permanent vacant 
positions, or
    b. Assigning displaced employees to valid temporary or over-hire 
positions in similar activities for gainful employment until permanent 
vacancies are available. The type of employee appointment (e.g., career, 
career-conditional, etc., or change from competitive to excepted service 
or vice versa) must not change, or
    c. Where no vacancies exist or are projected, offer employees 
retraining opportunities under the Job Training Partnership Act or 
similar retraining programs for transitioning into the private sector.
    5. The function to be directly converted does not include any DoD 
civilian positions that were as a result of DoD Component streamlining 
plans and/or were removed with buyout offers that satisfied Section 5 of 
the Federal Workforce Restructuring Act requirements.
    C. The following provides general guidance for completion of a 
simplified cost comparison:
    1. Estimated contractor costs should be based on either the past 
history of similar contracts at other installations or on the 
contracting officer's best estimate of what would constitute a fair and 
reasonable price.
    2. For activities small in total size (45 or fewer civilian and 
military personnel):
    a. Estimated in-house cost generally should not include overhead 
costs, as it is

[[Page 1036]]

unlikely that they would be a factor for a small activity.
    b. Similarly, estimated contractor costs generally should not 
include contract administration, on-time conversion costs, or other 
contract price add-ons associated with full cost comparisons.
    3. For activities large in total size (including those with a mix of 
civilian and military personnel) all cost elements should be considered 
for both in-house and contractor estimated costs.
    4. In either case, large or small, the 10 percent conversion 
differential contained in part IV of the Supplement to OMB Circular No. 
A-76 should be applied.
    5. Part IV of the Supplement to OMB Circular No. A-76 shall be 
utilized to define the specific elements of cost to be estimated.
    6. Clearance for CA simplified cost comparison decisions are 
required for Agencies without their own Legislative Affairs (LA) and 
Public Affairs (PA) offices. Those Agencies shall submit their draft 
decision brief to the Deputy Assistant Secretary of Defense 
(Installations) room 3E813, the Pentagon, Washington, DC 20301 for 
release to Congress.
    7. Provide CA simplified cost comparison approvals containing a 
certification of the MEO analysis, a copy of the approval to convert, a 
copy of the cost comparison, with back-up data, before conversion to the 
following:
    a. Committee on Appropriations of the House of Representatives and 
the Senate (11-45 civilian employees only).
    b. Copies of the following:
    (1) Assistant Secretary of Defense (LA), room 3D918, the Pentagon, 
Washington, DC 20301.
    (2) Assistant Secretary of Defense (PA), room 2E757, the Pentagon, 
Washington, DC 20301.
    (3) Office of Economic Adjustment, room 4C767, the Pentagon, 
Washington, DC 20301.
    (4) Deputy Assistant Secretary of Defense, (Installations), room 
3E813, the Pentagon, Washington, DC 20301. (exception--no copies 
required from Agencies that do not have legislative and public affairs 
offices).
    8. Most Efficient and Cost-Effective Analysis for Contractor 
Performance of an Activity (Report Control Symbol DD-A&T(AR) 1951. The 
installation commander must certify that the estimated in-house cost for 
activities involving 11 to 45 DoD civilian employees are based on a 
completed most efficient and cost effective organization analysis. 
Certification of this MEO analysis, as required by Public Law 103-139, 
shall be provided to the Committee on Appropriations of the House of 
Representatives and the Senate before conversion to contract 
performance.

[57 FR 29212, July 1, 1992, as amended at 60 FR 67329, Dec. 29, 1995]



     Sec. Appendix D to Part 169a--Commercial Activities Management 
                       Information System (CAMIS)

    Each DoD Component shall create and manage their CAMIS data base. 
The CAMIS data base shall have a comprehensive edit check on all input 
data in the computerized system. All data errors in the CAMIS data base 
shall be corrected as they are found by the established edit check 
program. The data elements described in this appendix represents the DoD 
minimum requirements.
    On approval of a full cost comparison, a simplified cost comparison, 
or a direct conversion CA, the DoD Component shall create the initial 
entry using the data elements in part I for full cost comparisons and 
data elements in part II for all other conversions. Within 30 days of 
the end of each quarter the DoD Component shall submit a floppy 
diskette. Data files must be in American Standard Code Information 
Interchange text file format on a MicroSoft-Disk Operating System 
formatted 3.5 inch floppy diskette. Provide submissions in the Defense 
Utility Energy Reporting System format. The data shall be submitted in 
the Director, Installations Management (D,IM), 400 Army Navy Drive, Room 
206, Arlington, VA 22202-2884 at least 60 days prior to the end of the 
quarter. The D,IM shall use the automated data to update the CAMIS. If 
the DoD Component is unable to provide data in an automated format, the 
D,IM shall provide quarterly printouts of cost comparison records (CCR) 
and conversion and/or comparison records (DCSCCR) that may be annotated 
and returned within 30 days of the end of each quarter to the D,IM. The 
D,IM then shall use the annotated printouts to update the CAMIS.

                         Part I--Cost Comparison

    The record for each cost comparison is divided into six sections. 
Each of these sections contains information provided by the DoD 
Components. The first five sections are arranged in a sequence of 
milestone events occurring during a cost comparison. Each section is 
completed immediately following the completion of the milestone event. 
These events are as follows:
    1. Cost comparison is approved by DoD Component.
    2. Solicitation is issued.
    3. In-house and contractor costs are compared.
    4. Contract is awarded/solicitation is canceled.
    5. Contract starts.
    The events are used as milestones because upon their completion some 
elements of significant information concerning the cost comparison 
become known.

[[Page 1037]]

    A sixth section is utilized for CCRs that result in award of a 
contract. This section contains data elements on contract cost and 
information on subsequent contract actions during the second and third 
year of contract operation.
    The data elements that comprise these six sections are defined in 
this enclosure.

       Part II--Direct Conversions and Simplified Cost Comparisons

    The record for each direct conversion and simplified cost comparison 
is divided into six sections. Each of the first five sections is 
completed immediately following the completion of the following events:
    1. DoD Component approves CA action.
    2. The solicitation is issued.
    3. In-house and contractor costs are compared.
    4. Contract is awarded or solicitation is canceled.
    5. Contract starts.
    A sixth section is utilized for tracking historical data after the 
direct conversion or simplified cost comparison is completed. This 
section contains data elements on contracts and cost information during 
the second and third performance period. The data elements that comprise 
the six sections in part II, of this Appendix, are defined in the CAMIS 
Entry and Update Instruction, Part II--Direct Conversions and Simplified 
Cost Comparisons.

                   Camis Entry and Update Instructions

                        Part I--Cost Comparisons

    The bracketed number preceding each definition in sections one 
through five is the DoD data element number. All date fields should be 
in the format MMDDYY (such as, June 30, 1983 = 063083).

                               Section One

       Event: DoD Component Approves Conducting a Cost Comparison

    All entries in this section of CCR shall be submitted by DoD 
Components on the first quarter update after approving the start of a 
cost comparison.
    These entries shall be used to establish the CCR and to identify the 
geographical, organizational, political, and functional attributes of 
the activity (or activities) undergoing cost comparison as well as to 
provide an initial estimate of the manpower associated with the activity 
(or activities). The initial estimate of the manpower in this section of 
the CCR will be in all cases those manpower figures identified in the 
correspondence approving the start of the cost comparison.
    DoD Components shall enter the following data elements to establish 
a CCR:
    [1] Cost Comparison Number. The number assigned by the DoD Component 
to uniquely identify a specific cost comparison. The first character of 
the cost comparison number must be a letter designating DoD Component as 
noted in data element [3], below. The cost comparison number may vary in 
length from five to ten characters, of which the second and subsequent 
may be alpha or numeric and assigned under any system desired by the DoD 
Component.
    [2] Announcement and/or approval date. Date Congress is notified 
when required by 10 U.S.C. 2461, of this part or date DoD Component 
approves studies being performed by 45 or fewer DoD civilian employees.
    [3] DOD Component Code. Use the following codes to identify the 
Military Service or Defense Agency conducting the cost comparison:

A--Department of the Army
B--Defense Mapping Agency
C--Strategic Defense Initiatives Organization
D--Civilian Health and Medical Program of the Uniformed Services 
(CHAMPUS) [3D1]
E--Defense Advanced Research Projects Agency
F--Department of the Air Force
G--National Security Agency/Central Security Service
H--Defense Nuclear Agency
J--Joint Chiefs of Staff (including the Joint Staff, Unified and 
Specified Commands, and Joint Service Schools)
K--Defense Information Systems Agency (DISA)
L--Defense Intelligence Agency
M--United States Marine Corps
N--United States Navy
R--Defense Contract Audit Agency
S--Defense Logistics Agency
T--Defense Security Assistance Agency
V--Defense Investigative Service
W--Uniform Services University of the Health Sciences
X--Inspector General, Department of Defense
Y--On Site Inspection Agency (OSIA)
2--Defense Finance & Accounting Service (DFAS)
3--Defense Commissary Agency (DeCA)
4--Defense Technical Information Center (DTIC)
5--U.S. Army Corps of Engineers (USACE) Civil Works

    [4] Command code. The code established by the DoD Component 
headquarters to identify the command responsible for operating the 
commercial activity undergoing cost comparison.
    [5] Installation code. The code established by the DoD Component 
headquarters to identify the installation where the CA(s) under

[[Page 1038]]

cost comparison is and/or are located physically. Two or more codes (for 
cost comparison packages encompassing more than one installation) should 
be separated by commas.
    [6] State code. A two-position numeric code for the State (Data 
element reference ST-GA.) or U.S. Territory (FIPS 55-2), as shown in 
attachment 1 to appendix B to this part, where element [5] is located. 
Two or more codes shall be separated by commas.
    [7] Congressional District (CD). Number of the congressional 
district(s) where [5] is located. If representatives are elected ``at 
large,'' enter ``01'' in this data element; for a delegate or resident 
commissioner (such as, District of Columbia or Puerto Rico) enter 
``98.'' If the installation is located in two or more CDs, all CDs 
should be entered and separated by commas.
    [8] [Reserved]
    [9] Title of Cost Comparison. The title that describes the 
commercial activity(s) under cost comparision (for instance, 
``Facilities Engineering Package,'' ``Installation Bus Service,'' or 
``Motor Pool''). Use a clear title, not acronyms of function codes in 
this data element.
    [10] DOD Functional Area Code(s). The four of five alpha/numeric 
character designators listed in Appendix A of this part that describe 
the type of CA undergoing cost comparison. There would be one code for a 
single CA or possible several codes for a large cost comparison package. 
A series of codes shall be separated by commas.
    [11] Prior Operation Code. A single alpha character that identifies 
the mode of operation for the activity at the time the cost comparison 
is started. Despite the outcome of the cost comparison, this code does 
not change. The coding as as follows:

I--In-house
C--Contract
N--New requirement
E--Expansion

    [12] Cost Comparison Status Code. A single alpha character that 
identifies the current status of the cost comparison. Enter one of the 
following codes:

P--In progress
C--Complete
X--Canceled. The CCR shall be excluded from future updates.
Z--Consolidated. The cost comparison has been consolidated with one or 
more other cost comparisons into a single cost comparison package. The 
CCR for the cost comparison that has been consolidated shall be excluded 
from future updates. (See data element [15].)
B--Broken out. The cost comparison package has been broken into two or 
more separate cost comparisons. The previous CCR shall be excluded from 
future updates. (See data element [15].)

    [13] Announcement--personnel estimate civilian, and [14] 
announcement--personnel estimate military. The number of civilian and 
military personnel allocated to the CAs undergoing cost comparison when 
the cost comparison is approved by the DoD Component or announced to 
Congress. This number in all cases shall be those personnel figures 
identified in the correspondence announcing the start of a cost 
comparison and will include authorized positions, temporaries, and 
borrowed labor. The number is used to give a preliminary estimate of the 
size of the activity.
    [15] Revised and/or original cost comparison number. When a 
consolidation occurs, create a new CCR containing the attributes of the 
consolidated cost comparison. In the CCR of each cost comparison being 
consolidated, enter the cost comparison number of the new CCR in this 
data element and code ``Z'' in data element [12] of this attachment. In 
the new CCR, this data element should be blank and data element [12] of 
this attachment should denote the current status of the cost comparison. 
Once the consolidation has occurred, only the new CCR requires future 
updates. When a single cost comparison is being broken into multiple 
cost comparisons, create a new CCR for each cost comparison broken out 
from the original cost comparison. Each new CCR shall contain its own 
unique set of attributes; in data element [15] of this attachment enter 
the cost comparison number of the original cost comparison from which 
each was derived, and in data element [12] of this attachment enter the 
current status of each cost comparison. For the original cost 
comparison, data element [15] of this attachment, should be blank and 
data element [12] of this attachment should have a code ``B'' entry. 
Only the derivative record entries require future updates. When a 
consolidation or a breakout occurs, an explanatory remark shall be 
entered in data element [57] of this attachment (such as, ``part of SW 
region cost comparison,'' or, ``separated into three cost 
comparisons'').

                               Section Two

                    Event: The Solicitation is Issued

    The entries in this section of the CCR provide information on the 
personnel authorized to perform the workload in the PWS, the number of 
workyears used to accomplish the workload in the PWS, and the type and 
kind of solicitation.
    The DoD Component shall enter the following data elements at the 
first quarterly update subsequent to the issuance of the solicitation:
    [17] [Reserved]
    [18] Solicitation-Type Code. A one-character alpha designator that 
identifies the type of solicitation used to obtain contract bids or 
offers. Use either the CBD as the

[[Page 1039]]

source document or information received from the contracting officer for 
this entry. Solicitations under section 8(a) of the Small Business Act 
are negotiated. Enter one of the following codes:

S--Sealed Bid
N--Negotiated

    [19] Solicitation Kind Code. A one-character (or two-character, if 
``W'' suffix is used) alpha designator indicating whether the 
competition for the contract has been limited to a specific class of 
bidders or offerors. Use either the CBD as the source document or 
information received from the contracting officer to enter one of the 
following codes:

A--Restrict to small business
B--Small Business Administration 8(a) Set Aside
C--Javits-Wagner-O'Day Act (JWOD)
D--Other mandatory sources
U--Unrestricted
W--(optional suffix) Unrestricted after initial restriction

    [20] Current Authorized Civilians and [21] Current Authorized 
Military. The number of civilian and military authorizations allocated 
on the DoD Component's manpower documents to perform the work described 
in the PWS. This number refines the initial authorization estimate 
(section one, data elements [13] and [14]).
    [22] Baseline Annual Workyears Civilian and [23] Baseline Annual 
Workyears Military. The number of annual workyears it has taken to 
perform the work described by the PWS before the DoD Component conducts 
the MEO study of the in-house organizations; do not include contract 
monitor requirements. Military workyears include assigned, borrowed, 
diverted, and detailed personnel.
    An annual workyear is the use of 2,087 hours (including authorized 
leave and paid time off for training). For example, when full-time 
employees whose work is completely within the PWS are concerned, ``one 
workyear'' normally is comparable to ``one employee'' or two part-time 
employees, each working 1,043 hours in a fiscal year. Also include in 
this total the workyears for full-time employees who do not work on a 
full-time basis on the work described by the PWS. For example, some 
portion of the workload is performed by persons from another work center 
who are used on an ``as needed'' basis. Their total hours performing 
this workload is 4,172 hours. This would be reflected as two workyears. 
Less than one-half year of effort should be rounded down, and one-half 
year or more should be rounded up.
    These workyear figures shall be the baseline for determining the 
manpower savings identified by the management study.

                              Section Three

 Event: The In-House and the Contractor Costs of Operation are Compared

    The entries in this section provide information on the date of the 
cost comparison (initial decision), the preliminary results, the number 
of bids or offers received, and the costing method used in the cost 
comparison.
    The DoD Component shall enter the following data elements in the 
first quarterly update subsequent to the date of the comparison of in-
house and contractor costs (date of initial decision):
    [24] Scheduled Initial Decision Date. Date the initial decision is 
scheduled at the start of a cost comparison.
    [24A] Actual Initial Decision Date. Date the initial decision is 
announced. The initial decision is based on the apparent low bid or 
offer and is subject to preaward surveys and resolution of all appeals 
and protests. In a sealed bid procurement, the initial decision is 
announced at bid opening. In a negotiated procurement, the initial 
decision is announced when the cost comparison is made between the in-
house estimate and the proposal of the selected offeror.
    [25] Cost Comparison Preliminary Results Code. A one-character alpha 
designator indicating the results of the cost comparison as announced by 
the contracting officer at the time the bids or offers are compared. The 
entries are limited to two possibilities:

I--In-house
C--Contract

    [26]-[27] [Reserved]

                              Section Four

Event: The Contracting Officer Either Awards the Contract or Commercial 
                    Activity Cancels the Solicitation

    The entries in this section identify the final result, information 
on the contract, the in-house bid, and costing information from the cost 
comparison record.
    The DoD Component shall enter the following data elements in the 
first quarterly update subsequent to the date the contracting officer 
either awards a contract or cancels the solicitation:
    [28] Contract Award/Solicitation Commercial Activity Cancellation 
Date. For conversions to contract, this is the date a contract was 
awarded in a sealed bid solicitation or the date the contractor was 
authorized to proceed on a conditional award contract in a negotiated 
solicitation. For retentions in-house, this is the date the solicitation 
was canceled (when the contracting officer publishes an amendment to the 
solicitation canceling it).
    [29] Cost Comparison Final Result Code. A one-character alpha 
designator identifying the final result of the comparison between

[[Page 1040]]

in-house and contractor costs; the contracting officer either awards the 
contract or cancels the solicitation. Enter one of the following codes:

I--In-house
C--Contract

    [30] Decision Rationale Code. A one-character alpha designator that 
identifies the rationale for awarding a contract or canceling the 
solicitation. The work shall be performed in-house or by contractor, 
based on cost, or the work shall be performed in-house because no 
satisfactory commercial source was available (no bids or offers were 
received or the preaward survey resulted in the determination that no 
commercial sources were responsive or responsible). Enter one of the 
following codes:

C--Cost
N--No satisfactory commercial source
O--Other

    [31] [Reserved]
    [31a] Prime Contractor Size. Enter one of the following

S--Small or small/disadvantaged business
L--Large business

    [32] MEO Workyears. The number of annual workyears it takes to 
perform the work described in the PWS after the MEO study has been 
conducted. Do not include the minimum cost differential (line 14 in CCF 
or line 16 in the ENCR CCF) in the computation of any of these data 
elements.
    For data elements [33] through [36], enter all data after all 
adjustments required by appeals board decisions. Do not include the 
minimum cost differential (line 31 old CCF or line 14 new CCF or line 16 
new ENRC form) in the computation of any of these data elements. If a 
valid cost comparison was not conducted (that is, all bidders or 
offerors disqualified, no bids or offers received, etc.) do not complete 
data elements [33] through [36]. Explain lack of valid cost data in data 
element [57], DOD Component Comments.
    [33] First Performance Period. Expressed in months, the length of 
time covered by the contract. Do not include any option periods.
    [34] Cost Comparison Period. Expressed in months, the total period 
of operation covered by the cost comparison; this is the period used as 
the basis for data elements [35] and [36], below.
    [35] Total in-house Cost ($000). Enter the total cost of in-house 
performance in thousands of dollars, rounded to the nearest thousand. 
This is the total of line 6 of the new CCF or line 8 of the ENCR CCF. An 
entry is required although the activity remains in-house due to absence 
of a satisfactory commercial source.
    [36] Total Contract Cost ($000). Enter the total cost of contract 
performance in thousands of dollars, rounded to the nearest thousand. 
This is the total of line 13 of the CCF or line 15 of the ENCR CCF.
    [37] Scheduled Contract or MEO Start Date. Date the contract and/or 
MEO was scheduled to start at the beginning of a cost comparison.

                              Section Five

                     Event: The Contract/MEO Starts

    The entries in this section identify the contract or MEO start date 
and the personnel actions taken as a result of the cost comparison.
    The DoD Component shall enter the following data elements in the 
first quarterly update subsequent to the start of the contract:
    [38] Contract/MEO Start Date. The actual date the contractor began 
operation of the contract or the Government implements the MEO.
    [39] Permanent Employees Reassigned to Equivalent Positions. The 
number of permanent employees who were reassigned to positions of 
equivalent grade as of the contract start date.
    [40] Permanent Employee Changed To Lower Positions. The number of 
permanent employees who were reassigned to lower grade positions as of 
the contract start date.
    [41] Employees Taking Early Retirement. The number of employees who 
took early retirement as of the contract start date.
    [42] Employees Taking Normal Retirement. The number of employees who 
took normal retirement as of the contract start date.
    [43] Permanent Employees Separated. The number of permanent 
employees who were separated from Federal employment as of the contract 
start date.
    [44] Temporary Employees Separated. The number of temporary 
employees who were separated from Federal employment as of the contract 
start date.
    [45] Employees Entitled to Severance Pay. The estimated number of 
employees entitled to severance pay on their separation from Federal 
employment as of the contract start date.
    [46] Total Amount of Severance Entitlements ($000). The total 
estimated amount of severance to be paid to all employees, in thousands 
of dollars, rounded to the nearest thousand, as of the contract start 
date.
    [47] Number Of Employees Hired by The Contractor. The number of 
estimated DoD civilian employees (full-time or otherwise) that will be 
hired by the contractors, or their subcontractors, at the contract start 
date.

                          Administrative Appeal

    [48] Filed. Were administrative appeals filed?
    N--No

[[Page 1041]]

    Y--Yes
    [49] Source. Who filed the appeal?
    B--Both
    C--Contractor
    I--In-house
    [50] Result. Were the appeals finally upheld? (If both appealed, 
explain result in data element [57], of this section).
    N--No
    P--Still in progress
    Y--Yes

                               GAO Protest

    [51] Filed. Was a protest filed with GAO?
    N--No
    Y--Yes
    [52] Source. Who filed the protest?
    B--Both
    C--Contractor
    I--In-house
    [53] Result. Was the protest finally upheld? (Explain result in data 
element [57], below).
    N--No
    P--Still in progress
    Y--Yes

                               Arbitration

    [54] Requested. Was there a request for arbitration?
    N--No
    Y--Yes
    [55] Result. Was the case found arbitrable? (Explain result in data 
element [57], below).
    N--No
    P--Still in progress
    Y--Yes

                           General Information

     + [56] Total Staff-Hours Expended. Enter the estimated number of 
staff-hours expended by the installation for the cost comparison. 
Include direct and indirect hours expended from the time of PWS until a 
final decision is made.
     + [56a] Estimated Cost Of Conducting The Cost Comparison. Enter the 
estimated cost of the total staff-hours identified in data element [56] 
of this section non-labor (travel, reproduction costs, etc.) associated 
with the cost comparision.
     + Data elements [56] and [56A] will only be completed by DoD 
Components that are participating in the pilot test of these data 
elements.
    [57] DoD Component Comments. Enter comments, as required, to explain 
situations that affect the conduct of the cost comparision. Where 
appropriate, precede each comment with the CAMIS data element being 
referenced.
    [58] Effective Date. ``As of'' date of the most current update for 
the cost comparison. This data element will be completed by the DMDC.
    [59] (Leave blank, for DoD computer program use).

                               Section Six

         Event: Quarter Following Contract and/or Option Renewal

    The entries in this section identify original costs, savings, 
information on subsequent performance periods and miscellaneous contract 
data. The DoD Component shall enter the following data elements in the 
first quarterly update annually.
    [60] Original Cost of Function(s) ($000). The estimated total cost 
of functions before to development of an MEO in thousands of dollars, 
rounded to the nearest thousand for the base year and option years. 
(Begin entry when study began for data element [2] after 1 October 
1989).
    [60A] Estimated Dollar Savings ($000). The DoD Component's estimated 
savings from the cost comparison for the base year plus option years, in 
thousands of dollars, rounded to the nearest thousand, for either in-
house or contract performance. Documentation will be available at the 
DoD Component level. (Begin entry after 1 October 1989).
    [61] Contract Or In-House Bid First Performance Period ($000). For 
studies resulting in continued in-house performance, enter the total in-
house cost (Line 6 from the CCF) for the first performance period. For 
studies resulting in conversion to contract performance, enter the 
contract price (Line 7 from the CCF) for the first performance period. 
Figures shall be shown in thousands of dollars, rounded to the nearest 
thousand.
    [61A] Actual Contract or In-House Costs First Performance Period 
($000). Enter the actual first performance period contract cost 
including all change orders (Plus changes in the scope of work) or 
actual in-house performance cost including changes in the scope of work, 
in thousands of dollars, rounded to the nearest thousand. No entry is 
required for actual in-house performance during the second and third 
performance periods.
    [61B] Adjusted Contract Costs First Performance Period ($000). Enter 
an adjusted first performance period contract cost that includes actual 
DoL wage increases and costs for omissions and/or errors in the original 
PWS, but exclude new requirement costs and their associated wage 
increases, in thousands of dollars, rounded to the nearest thousand. 
(Begin entry after 1 October 1989).
    [61C] Adjusted In-House Costs First Performance Period ($000). Enter 
the total first performance period in-house cost of the MEO, including 
civil service pay increases, but excluding increases associated with new 
mission requirements not included in the original scope of work of the 
function. Show costs in thousands of dollars, rounded to the nearest 
thousand. Entry is required even if the function went to contract. 
(Begin entry after 1 October 1989).
    [62] Contract Or In-House Bid Second Performance Period ($000). For 
studies resulting

[[Page 1042]]

in continued in-house performance, enter the total in-house cost (Line 6 
from the CCF) for the second performance period. For studies resulting 
in conversion to contract performance, enter the contract price (Line 7 
from the CCF) for the second performance period. Figures shall be shown 
in thousands of dollars, rounded to the nearest thousand.
    [62A] Actual Contract Costs Second Performance Period ($000). Enter 
the actual second performance period contract cost including all change 
orders (Plus changes in the scope of work), in thousands of dollars, 
rounded to the nearest thousand. No entry is required when the function 
remained in-house.
    [62B] Adjusted Contract Costs Second Performance Period ($000). 
Enter an adjusted second performance period contract cost that includes 
actual DoL wage increases and costs for omissions and/or errors in the 
original PWS, but exclude new requirement costs and their associated 
wage increases, in thousands of dollars, rounded to the nearest 
thousand. (Begin entry after 1 October 1989).
    [62] Adjusted In-House Costs Second Performance Period ($000). Enter 
the total second performance period in-house cost of the MEO, including 
civil service pay increases, but excluding increases associated with new 
mission requirements not included in the original scope of work of the 
function. Show costs in thousands of dollars, rounded to the nearest 
thousand. Entry is required even if the function went to contract. 
(Begin entry after 1 October 1989).
    [63] Contract Or In-house Bid Third Performance Period ($000). For 
studies resulting in continued in-house performance, enter the total in-
house cost (Line 6 from the CCF) for the third performance period. For 
studies resulting in conversion to contract performance, enter the 
contract price (Line 7 from the CCF) for the third performance period. 
Figures shall be shown in thousands of dollars, rounded to the nearest 
thousand.
    [63A] Actual Contract Costs Third Performance Period ($000). Enter 
the actual third performance period contract cost including all change 
orders (Plus changes in the scope of work), in thousands of dollars, 
rounded to the nearest thousand. No entry is required when the function 
remained in-house.
    [63B] Adjusted Contract Costs Third Performance Period ($000). Enter 
an adjusted third performance period contract cost that includes actual 
DoL wage increases and costs for omissions and/or errors in the original 
PWS, but exclude new requirement costs and their associated wage 
increases, in thousands of dollars, rounded to the nearest thousand 
(Begin entry after 1 October 1989).
    [63C] Adjusted In-House Costs Third Performance Period ($000). Enter 
the total third performance period in-house cost of the MEO, including 
civil service pay increases, but excluding increases associated with new 
mission requirements not included in the original scope of work of the 
function. Show costs in thousands of dollars, rounded to the nearest 
thousand. Entry is required even if the function went to contract (Begin 
entry after 1 October 1989).
    [64] Contractor Change. Enter one of the following alpha designators 
to indicate whether the contract for the second or third performance 
period has changed from the original contractor.
    N--No, the contractor has not changed.
    Y--Yes, the contractor has changed.
    Data elements [65] through [66] of this section are not required if 
the answer to [64] of this section is no (N).
    [65] New Contractor Size (If data element [66] of this section 
contains the alpha designator ``I'' or ``R,'' no entry is required).
    L--New contractor is large business.
    S--New contractor is small and/or small disadvantaged business.
    [66] Reason For Change. DoD Components shall enter one of the 
following designators listed in this section, followed by the last two 
digits of the fiscal year which the change occurred.
    C--Contract workload consolidated with other existing contract 
workload.
    D--New contractor takes over because original contractor defaults.
    I--Returned in-house because original contractor defaults within 12 
months of start date and in-house bid is the next lowest.
    N--New contractor replaced original contractor because Government 
opted not to renew contract in option years.
    R--Returned in-house temporarily pending resolicitation due to 
contract default, etc.
    U--Contract workload consolidated into a larger (umbrella) cost 
comparison.
    X--Other-function either returned in-house or eliminated because of 
base closure, realignment, budget reduction or other change in 
requirements.
    [67] Contract Administration Staffing. The actual number of contract 
administration personnel hired to administer the contract.

                   Camis Entry and Update Instruction

       Part II--Direct Conversions and Simplified Cost Comparisons

    The bracketed number preceding each definition in sections One 
through six of this section, is the DoD data element number. All date 
fields should be in the format YYMMDD (Data element reference DA-FA).

[[Page 1043]]

                               Section One

               Event: DoD Component Approves the CA Action

    All entries in this section of the DCSCCR record shall be submitted 
by DoD Components on the first quarter update after approving the start 
of a cost comparison. These entries shall be used to establish the 
DCSCCR and to identify the geographical, organizational, political, and 
functional attributes of the activity (or activities) undergoing 
conversion and/or comparison as well as to provide an initial estimate 
of the manpower associated with the activity (or activities). The 
initial estimate of the personnel in this section of the DCSCCR will be, 
in all cases, those personnel figures identified in the correspondence 
approving the start of the conversion and/or comparison. DoD Components 
shall enter the following data elements to establish a DCSCCR:
    [1] Direct Conversion/Simplified Cost Comparison Number. The number 
assigned by the DoD Component to uniquely identify a specific conversion 
and/or comparison. The first character of the conversion and/or 
comparison number must be a letter designating the DoD Component as 
noted in data element [3] of this section. The conversion and/or 
comparison number may vary in length from five to ten characters, of 
which the second and subsequent may be alpha or numeric and assigned 
under any system desired by the DoD Component.
    [2] Approval Date. The date has simplified cost comparison or direct 
conversion was approved.
    [3] DoD Component Code. Use the following codes to identify the 
Military Service or Defense Agency and/or Field Activity conducting the 
cost comparison:
    A--Department of the Army
    B--Defense Mapping Agency (DMA)
    D--Civilian Health and Medical Program of the Uniformed Services 
(CHAMPUS) [3D1]
    D--Washington Headquarters Service (WHS) [3D2]
    F--Department of the Air Force
    G--National Security Agency/Central Security Service (NSA/CSS)
    H--Defense Nuclear Agency (DNA)
    J--Joint Chiefs of Staff (JCS) (including the Joint Staff, Unified 
and Specified Commands, and Joint Service Schools)
    K--Defense Information Systems Agency (DISA)
    L--Defense Intelligence Agency (DIA)
    M--United States Marine Corps (USMC)
    N--United States Navy (USN)
    R--Defense Contract Audit Agency (DCAA)
    S--Defense Logistics Agency (DLA)
    T--Defense Security Assistance Agency (DSAA)
    V--Defense Investigative Service (DIS)
    W--Uniformed Services University of the Health Sciences (USUHS)
    Y--On Site Inspection Agency (OSIA)
    2--Defense Finance & Accounting Service (DFAS)
    3--Defense Commissary Agency (DeCA)
    4--Defense Technical Information Center (DTIC)
    5--U.S. Army Corps of Engineers (USACE) Civil Works
    [4] Command code. The code established by the DoD Component 
headquarters to identify the command responsible for operating the 
commercial activity undergoing cost comparison.
    [5] Installation code. The code established by the DoD Component 
headquarters to identify the installation where the CA(s) under cost 
comparison is and/or are located physically. Two or more codes (for cost 
comparison packages encompassing more than one installation) should be 
separated by commas.
    [6] State Code. A two-position numeric code for the State (Data 
element reference ST-GA.) or U.S. Territory (FIPS 55-2), as shown in 
attachment 1 to appendix B of this part, where element [5] is located. 
Two or more codes shall be separated by commas.
    [7] Congressional District (CD). Number of the CDs where [5] of this 
section, is located. If representatives are elected ``at large,'' enter 
``01'' in this data element; for a delegate or resident commissioner 
(i.e., District of Columbia or Puerto Rico) enter ``98.'' If the 
installation is located in two or more CDs, all CDs should be entered 
and separated by commas.
    [8] (Leave blank)
    [9] Title of Conversion and/or Comparison. The title that describes 
the CA(s) under conversion/comparison (for instance, ``Facilities 
Engineering Package'', ``Installation Bus Service,'' or ``Motor Pool''). 
Use a clear title, not acronyms or function codes in this data element.
    [10] DoD Functional Area Code(s). The four- or five-alpha and/or 
numeric character designators listed in appendix A of this part that 
describes the type of CA undergoing conversion and/or comparison. This 
would be one code for a single CA or possibly several codes for a large 
cost comparison package. A series of codes shall be separated by commas.
    [11] Prior Operation Code. A single alpha character that identifies 
the mode of operation for the activity at the time the conversion and/or 
comparison is started. Despite the outcome of the conversion and/or 
comparison, this code does not change. The coding is as follows:

C--Contract
E--Expansion
I--In-house
N--New requirement
    [12] Conversion and/or Comparison Status Code. A single alpha 
character that identifies the current status of the conversion and/

[[Page 1044]]

or comparison. Enter one of the following codes:
B--Broken out. The cost comparison package has been broken into two or 
more separate cost comparisons. The previous DCSCCR shall be excluded 
from future updates. (See data element [15] of this section.)
C--Complete
P--In progress
X--Canceled. The DCSCCR shall be excluded from future updates.
Z--Consolidated. The cost comparison has been consolidated with one or 
more other cost comparisons into a single cost comparison package. The 
DCSCCR for the cost comparison that has been consolidated shall be 
excluded from future updates. (See data element [15] of this section.)
    [13] Announcement--personnel estimate civilian, and [14] 
announcement--personnel estimate military. The number of civilian and 
military personnel allocated to the CAs undergoing conversion and/or 
comparison at the time the start of the conversion and/or comparison is 
approved. This number is all cases shall be those personnel figures 
identified when the conversion and/or comparison was approved and will 
include authorized positions, temporaries, and borrowed labor. The 
number is used to give a preliminary estimate of the size of the 
activity.
    [15] Revised and/or original cost comparison number. When a 
consolidation occurs, create a new DCSCCR containing the attributes of 
the consolidated conversion and/or comparison. In the DCSCCR of each 
conversion and/or comparison being consolidated, enter the conversion 
and/or comparison number of the new DCSCCR in this data element and code 
``Z'' in data element [12] of this section. In the new DCSCCR, this data 
element should be blank and data element [12] of this section should 
denote the current status of the conversion and/or comparison. Once the 
consolidation has occurred, only the new DCSCCR requires future updates.
    When a single conversion and/or comparison is being broken into 
multiple conversion and/or comparisons, create a new DCSCCR for each 
conversion and/or comparison broken out from the original conversion 
and/or comparison. Each new DCSCCR shall contain its own unique set of 
attributes; in data element [15] of this section enter the conversion 
and/or comparison number of the original conversion and/or comparison 
from which each was derived, and in data element [12] of this section 
enter the current status of each conversion and/or comparison. For the 
original conversion and/or comparison, data element [15] of this section 
should be blank and data element [12] of this section should have a code 
``B'' entry. Only the derivative record entries require future updates.
    When a consolidation or a breakout occurs, an explanatory remark 
shall be entered in data element [56] of this section (such as, ``part 
of SW region cost comparison,'' or, ``separated into three cost 
comparisons'').
    [16] (Leave blank)

                               Section Two

                    Event: The Solicitation is Issued

    The entries in this section of the DCSCCR provide information on the 
personnel authorized to perform the workload in the PWS, the number of 
workyears used to accomplish the workload in the PWS, and the type and 
kind of solicitation.
    The DoD Component shall enter the following data elements at the 
first quarterly update subsequent to the issuance of the solicitation:
    [17] (Leave blank)
    [18] Solicitation-Type code. A one-character alpha designator that 
identifies the type of solicitation used to obtain contract bids or 
offers. Use either the CBD as the source document or information 
received from the contracting officer for this entry. Solicitations 
under section 8(a) of ``The Small Business Act'' are negotiated. Enter 
one of the following codes:

N--Negotiated
S--Sealed Bid
    [19] Solicitation-Kind code. A one-character (or two-character, if 
``W'' suffix is used) alpha designator indicating whether the 
competition for the contract has been limited to a specific class of 
bidders or offerors. Use either the CBD as the source document or 
information received from the contracting officer to enter one of the 
following codes:

A--Restrict to small business
B--Small Business Administration 8(a) Set Aside
C--``Javits-Wagner-O'Day Act'' (JWOD)
D--Other mandatory sources
U--Unrestricted
W--(Optional suffix) Unrestricted after initial restriction
    [20] Current Authorized Civilians, and [21] Current Authorized 
Military. The number of civilian and military authorizations allocated 
on the DoD Component's manpower documents to perform the work described 
in the PWS. This number refines the initial authorization estimate 
(section one, data elements [13] and [14] of this section).
    [22] Baseline Annual Workyears Civilian, and [23] Baseline Annual 
Workyears Military. The number of annual workyears it has taken to 
perform the work described by the PWS before the DoD Component conducts 
the MEO analysis of the in-house organization. Do not include contract 
monitor requirements. Military workyears include assigned, borrowed, 
diverted, and detailed personnel. Less than one-half a year of effort 
should be rounded down, and one-half a year or more should be rounded 
up. These

[[Page 1045]]

workyear figures shall be the baseline for determining the personnel 
savings identified by the most efficient organization analysis.

                              Section Three

 Event: The In-House And The Contractor Costs Of Operations Are Compared

    The entries in this section provide information on the date of the 
conversion and/or comparison (initial decision), the preliminary 
results, the number of bids or offers received, and the costing method 
used in the conversion and/or comparison.
    The DoD Component shall enter the following data elements in the 
first quarterly update subsequent to the date of the comparison of in-
house and contractor costs (date of initial decision):
    [24] Scheduled Initial Decision Date. Date the initial decision is 
scheduled at the start of a conversion and/or comparison
    [24A] Actual Initial Decision Date. Date the initial decision is 
announced. The initial decision is based on the apparent low bid or 
offer and is subject to preaward surveys and resolution of all appeals 
and protests. In a sealed bid procurement, the initial decision is 
announced at bid opening. In a negotiated procurement, the initial 
decision is announced when the cost comparison is made between the in-
house estimate and the proposal of the selected offeror. In a 
conversion, the initial decision is announced when the in-house cost 
estimate is evaluated against proposed contractor proposals.
    [25] Cost Comparison Preliminary Results Code. A one-character alpha 
designator indicating the results of the cost comparison as announced by 
the contracting officer at the time of the comparison (No entry required 
for a direct conversion). The entries are limited to two possibilities:

C--Contract
I--In-house
    [26] (Leave blank)
    [27] (Leave blank)

                              Section Four

Event: The Contracting Officer Either Awards The Contract or Cancels The 
                              Solicitation

    The entries in this section identify the final result, information 
on the contract, the in-house bid, and costing information from the 
direct conversion and/or simplified cost comparison fact sheet.
    The DoD Component shall enter the following data elements in the 
first quarterly update subsequent to the date the contracting officer 
either awards a contract or cancels the solicitation:
    [28] Contract Award or Solicitation Cancellation Date. For 
conversions to contract, this is the date a contract was awarded in a 
sealed bid solicitation or the date the contractor was authorized to 
proceed on a conditional award contract in a negotiated solicitation. 
For retentions in-house, this is the date the solicitation was canceled 
(when the contracting officer publishes an amendment to cancel the 
solicitation).
    [29] Cost Comparison Final Result Code. A one-character alpha 
designator identifying the final result of the comparison between in-
house and contractor costs; the contracting officer either awards the 
contract or cancels the solicitation. Enter one of the following codes:

C--Contract
I--In-house
    [30] Decision Rationale Code. A one-character alpha designator that 
identifies the rationale for awarding a contract or canceling the 
solicitation. The work shall be performed in-house or by contractor 
based on cost, for other than cost, or the work shall be performed in-
house because no satisfactory commercial source was available (no bids 
or offers were received or the pre-award survey resulted in the 
determination that no commercial sources were responsive or 
responsible). Enter one of the following codes:

C--Cost
N--No satisfactory commercial source
O--Other
    [31] (Leave blank)
    [31A] Prime Contractor Size. Enter one of the following:

L--Large business
S--Small or small and/or disadvantaged business
    [32] MEO Workyears. The number of annual workyears it takes to 
perform the work described in the PWS after the MEO analysis has been 
conducted. This entry will be equal to the number of annual workyears in 
the in-house bid (No entry required for a direct conversion).
    For data elements [33] through [36] of this section enter all data 
after all adjustments required by appeal board decisions. Do not include 
minimum cost differential in the computation of any of these data 
elements. If a valid conversion and/or comparison was not conducted 
(i.e., all bidders or offerors disqualified, no bids or offers received, 
etc.) do not complete data elements [33], [34] and [36] of this section. 
Explain lack of valid cost data in data element [56], ``DoD Component 
Comments'' of this section.
    [33] First Performance Period. Expressed in months, the length of 
time covered by the contract. Do not include any option periods.
    [34] Conversion and/or Comparison Period. Expressed in months, the 
total period of operation covered by the conversion or cost comparison; 
this is the period used as the basis for data elements [35] and [36] of 
this section.
    [35] Total In-House Cost ($000). Enter the total estimated cost of 
in-house performance

[[Page 1046]]

for the base year plus option years, in thousands of dollars, rounded to 
the nearest thousand. An entry is required although the activity remains 
in-house due to absence of a satisfactory commercial source (No entry 
required for a direct conversion).
    [36] Total Contract Cost ($000). Enter the total estimated cost of 
contract performance for the base year plus option years, in thousands 
of dollars, rounded to the nearest thousand.
    [37] Scheduled Contract or MEO Start Date. Date the contract and/or 
MEO was scheduled to start at the beginning of a conversion and/or 
comparison.

                              Section Five

                     Event: The Contract MEO Starts.

    The entries in this section identify the contract or MEO start date 
and the personnel actions taken as a result of the conversion and/or 
comparison.
    The DoD Component shall enter the following data elements in the 
first quarterly update subsequent to the start of the contract:
    [38] Contract and/or MEO Start Date. The actual date the contractor 
began operation of the contract or the Government implements the MEO.
    [39] Permanent Employees Reassigned to Equivalent Positions. The 
number of permanent employees who were reassigned to positions of 
equivalent grade as of the contract start date.
    [40] Permanent Employees Changed to Lower Positions. The number of 
permanent employees who were reassigned to lower grade positions as of 
the contract start date.
    [41] Employees Taking Early Retirement. The number of employees who 
took early retirement as of the contract start date.
    [42] Employees Taking Normal Retirement. The number of employees who 
took normal retirement as of the contract start date.
    [43] Permanent Employees Separated. The number of permanent 
employees who were separated from Federal employment as of the contract 
start date.
    [44] Temporary Employees Separated. The number of temporary 
employees who were separated from Federal employment as of the contract 
start date.
    [45] Employees Entitled to Severance Pay. The estimated number of 
employees entitled to severance pay on their separation from Federal 
employment as of the contract start date.
    [46] Total Amount of Severance Entitlements ($000). The total 
estimated amount of severance to be paid to all employees, in thousands 
of dollars, rounded to the nearest thousand, as of the contract start 
date.
    [47] Number of Employees Hired by the Contractor. The number of 
estimated DoD civilian employees (full-time or otherwise) that will be 
hired by the contractors, or their subcontractors, at the contract start 
date.

                          Administrative Appeal

    [48] Filed. Were administrative appeals filed?

N--No
Y--Yes
    [49] Source. Who filed the appeal?

B--Both
C--Contractor
I--In-House
    [50] Result. Were the appeals finally upheld? (if both appealed, 
explain result in data element [56] of this section).

N--No
P--Still in Progress
Y--Yes

                               GAO Protest

    [51] Filed. Was a protest filed with GAO?

N--No
Y--Yes
    [52] Source. Who filed the protest?

B--Both
C--Contractor
I--In-House
    [53] Result. Was the protest finally upheld? (explain result in data 
element [56], of this section).

N--No
P--Still in Progress
Y--Yes

                               Arbitration

    [54] Requested. Was there a request for arbitration?

N--No
Y--Yes
    [55] Result. Was the case found arbitrable? (explain result in data 
element [56], of this section).

N--No
P--Still in Progress
Y--Yes

                           General Information

    [56] DoD Component Comments. Enter comments, as required, to explain 
situations that affect the conduct of the conversion and/or comparison. 
Where appropriate, precede each comment with the CAMIS data element 
being referenced.
    [57] Effective Date. ``As of'' date of the most current update for 
the conversion and/or comparison. This data element will be completed by 
the DMDC.
    [58] (Leave blank, for DoD computer program use).

[[Page 1047]]

                               Section Six

         Event: Quarter Following Contract and/or Option Renewal

    The entries in this section identify information on subsequent 
performance periods and miscellaneous contract data. The DoD Component 
shall enter the following data elements in the first quarterly update 
annually:
    [59] Actual Contract Cost First Performance Period ($000). Enter the 
actual contractor cost for the first performance period, in thousands of 
dollars, rounded to the nearest thousand.
    [60] Actual Contract Cost Second Performance Period ($000). Enter 
the actual contractor cost for the second performance period, in 
thousands of dollars, rounded to the nearest thousand.
    [61] Actual Contract Cost Third Performance Period ($000). Enter the 
actual contractor cost for the third performance period, in thousands of 
dollars, rounded to the nearest thousand.
    [62] Contractor Change. Enter one of the following alpha designators 
to indicate whether the contractor for the second or third performance 
period has changed from the original contractor.

N--No, the contractor has not changed
Y--Yes, the contractor has changed
    Data elements [63] through [64] of this section are not required if 
the answer to [62] of this section is no (N).
    [63] New Contractor Size. (If data element [64] of this section 
contains the alpha designator ``I'' or ``R,'' no entry is required)

L--New contractor is large business
S--New contractor is small and/or small disadvantaged business.
    [64] Reason For Change. DoD Components shall enter one of the 
following designators listed in the following, followed by the last two 
digits of the FY in which the change occurred.

C--Contract workload consolidated with other existing contract workload.
D--New contractor takes over because original contractor defaults.
I--Returned in-house because of original contractor defaults; etc., 
within 6 months of start date and in-house bid is the next lowest.
N--New contractor replaced original contractor because Government opted 
not to renew contract in option years.
R--Returned in-house temporarily pending resolicitation due to contract 
default, etc.
U--Contract workload consolidated with other existing contract workload.
X--Other-Function either returned in-house or eliminated because of base 
closure, realignment, budget reduction or other change in requirements.
    [65] Contract Administration Staffing. The actual number of contract 
administration personnel hired to administer the contract.

[50 FR 40805, Oct. 7, 1985, as amended at 57 FR 29212, July 1, 1992; 60 
FR 67329, Dec. 29, 1995]



PART 171_IMPLEMENTATION OF WILDFIRE SUPPRESSION AIRCRAFT TRANSFER ACT
OF 1996--Table of Contents



Sec.
171.1 Background and purpose.
171.2 Applicability.
171.3 Restrictions.
171.4 Qualifications.
171.5 Sale procedures.
171.6 Reutilization and transfer procedures.
171.7 Reporting requirements.
171.8 Expiration.

    Authority: 10 U.S.C. 2576 note.

    Source: 68 FR 8823, Feb. 26, 2003, unless otherwise noted.



Sec. 171.1  Background and purpose.

    The Wildfire Suppression Aircraft Transfer Act of 1996 (the 
``Act''), as amended, allows the Department of Defense (DOD), during the 
period 1 October 1996 through 30 September 2005, to sell aircraft and 
aircraft parts to entities that contract with the Federal Government for 
the delivery of fire retardant by air in order to suppress wildfire. 
This part implements the Act.



Sec. 171.2  Applicability.

    The regulations in this part apply to aircraft and aircraft parts 
determined to be DOD excess under the definition of the Federal Property 
Management Regulations (FPMR) and listed in Attachment 1 of Chapter 4 of 
DOD 4160.21-M as Category A aircraft authorized for commercial use.



Sec. 171.3  Restrictions.

    Aircraft and aircraft parts sold under the Act shall be used only 
for wildfire suppression purposes and shall not be flown or removed from 
the U.S. unless dispatched by the National Interagency Fire Center in 
support of an international agreement to assist in wildfire suppression, 
or for other purposes jointly approved in advance, in writing, by the 
Secretary of Defense and the Secretary of Agriculture.

[[Page 1048]]



Sec. 171.4  Qualifications.

    The Secretary of Agriculture must certify in writing to the 
Secretary of Defense prior to sale that the person or entity is capable 
of meeting the terms and conditions of a contract to deliver fire 
retardant by air.
    (a) Prior to sales offerings of aircraft or aircraft parts, the U.S. 
Department of Agriculture (USDA) must provide to the Defense 
Reutilization and Marketing Service (DRMS), in writing, a list of 
persons or entities eligible to bid under this Act, including expiration 
date of each USDA contract, and locations covered by the USDA contract.
    (b) This requirement may not be delegated to the U.S. Forest Service 
(USFS).



Sec. 171.5  Sale procedures.

    Disposal of aircraft and aircraft parts must be in accordance with 
the provisions of Chapter 4 of DOD 4160.21-M, paragraph B2, and with 
other pertinent parts of this manual, with the following changes and 
additions:
    (a) Sales shall be limited to the aircraft types listed in 
Attachment 1 of Chapter 4 of DOD 4160.21-M, and parts thereto (i.e., no 
aircraft or aircraft parts listed as Munitions List Items on the State 
Department's U.S. Munitions List).
    (b) Sales shall be made at fair market value (FMV), as determined by 
the Secretary of Defense and, to the extent practicable, on a 
competitive basis.
    (1) DRMS must conduct sales utilizing FMVs that are either provided 
by the Military Services on the Disposal Turn-In Documents (DTIDs) or 
based on DRMS' professional expertise and knowledge of the market. 
Advice regarding FMV shall be provided to DRMS by USDA, as appropriate.
    (2) If the high bid for a sale item does not equal or exceed the 
FMV, DRMS is vested with the discretion to reject all bids and reoffer 
the item:
    (i) On another wildfire suppression sale if there is indication that 
reoffer may be successful, or,
    (ii) With DLA concurrence, as normal surplus under the FPMR if there 
is no such indication.
    (3) Disposition of proceeds from sale of aircraft under the Act will 
be as prescribed in guidance from the Under Secretary of Defense 
(Comptroller).
    (c) Purchases shall certify that aircraft and aircraft parts will be 
used only in accordance with conditions stated in Sec. 171.3.
    (1) Sales solicitations will require bidders to submit end-use 
certificates with their bids, stating the intended use and proposed 
areas of operations.
    (2) The completed end-use certificates shall be used in the bid 
evaluation process.
    (d) Sales contracts shall include terms and conditions for verifying 
and enforcing the use of the aircraft and aircraft parts in accordance 
with provisions of this guidance.
    (1) The DRMS Sales Contracting Officer (SCO) is responsible for 
verifying and enforcing the use of aircraft and aircraft parts in 
accordance with the terms and conditions of the sales contract.
    (i) Sales contracts include provisions for on-site visits to the 
purchaser's place(s) of business and/or worksite(s).
    (ii) Sales contracts require the purchaser to make available to the 
SCO, upon his or her request, all records concerning the use of aircraft 
and aircraft parts.
    (2) USDA shall nominate in writing, and the SCO shall appoint, 
qualified Government employees (not contract employees) to serve as 
Contracting Officer's Representatives (CORs) for the purpose of 
conducting on-site verification and enforcement of the use of aircraft 
and aircraft parts for those purposes permitted by the sales contract.
    (i) COR appointments must be in writing and must state the COR's 
duties, the limitations of the appointment, and the reporting 
requirements.
    (ii) USDA bears all COR costs.
    (iii) The SCO may reject any COR nominee for cause, or terminate any 
COR appointment for cause.
    (3) Sales contracts require purchasers to comply with the Federal 
Aviation Agency (FAA) requirements in Chapter 4 of DOD 4160.21-M, 
paragraphs B 2 b (4)(d)2 through (40)(d)5.
    (4) Sales contracts require purchasers to comply with the Flight 
Safety Critical Aircraft Parts regime in Chapter 4 of DOD 4160.21-M, 
paragraph B 26 c and

[[Page 1049]]

d, and in Attachment 3 of Chapter 4 of DOD 4160.21-M.
    (5) Sales contracts require purchasers to obtain the prior written 
consent of the SCO for resale of aircraft or aircraft parts purchased 
from DRMS under this Act. Resales are only permitted to other entities 
which, at time of resale, meet the qualifications required of initial 
purchasers. The SCO must seek, and USDA must provide, written assurance 
as to the acceptability of a prospective repurchaser before approving 
resale. Resales will normally be approved for airtanker contracts which 
have completed their contracts, or which have had their contracts 
terminated, or which can provide other valid reasons for seeking resale 
which are acceptable to the SCO.
    (i) If it is determined by the SCO that there is no interest in the 
aircraft or aircraft parts being offered for resale among entities 
deemed qualified repurchasers by USDA, the SCO may permit resale to 
entities outside the airtanker industry.
    (ii) When an aircraft or aircraft parts are determined to be 
uneconomically repairable and suitable only for cannibalization and/or 
scrapping, the purchaser shall advise the SCO in writing and provide 
evidence in the form of a technical inspection document from a qualified 
FAA airframe and powerplant mechanic, or equivalent.
    (iii) The policy outlined in paragraph (d)(5) of this section also 
applies to resales by repurchasers, and to all other manner of proposed 
title transfer (including, but no limited to, exchange and barters).
    (iv) Sales of aircraft and aircraft parts under the Act are intended 
for principals only. Sales offerings will caution prospective purchasers 
not to buy with the expectation of acting as brokers, dealers, agents, 
or middlemen for other interested parties.
    (6) The failure of a purchaser to comply with the sales contract 
terms and conditions may be cause for suspension and/or debarment, in 
addition to other administrative, contractual, civil, and criminal 
(including, but not limited to, 18 U.S.C. 1001) remedies which may be 
available to DOD.
    (7) Aircraft parts will be made available in two ways:
    (i) DRMS may, based on availability and demand, offer for sale under 
the Act whole unflyable aircraft, aircraft carcasses for 
cannibalization, or aircraft parts, utilizing substantially the same 
provisions outlined in paragraphs (a) through (d)(6) of this section for 
flyable aircraft.
    (A) If USDA directs that DRMS set aside parts for sale under the 
Act, USDA must provide listings of parts required, by National Stock 
Number and Condition Code.
    (B) Only qualified airtanker operators which fly the end-term 
aircraft will be allowed to purchase unflyable aircraft, aircraft 
carcasses, or aircraft parts applicable to that end-item.
    (C) FMVs are not required for aircraft parts. DRMS must utilize 
historic prices received for similar parts in making sale 
determinations.
    (ii) As an agency of the Federal Government, USDA remains eligible 
to receive no-cost transfers of excess DOD aircraft parts under the 
FPMR.



Sec. 171.6  Reutilization and transfer procedures.

    Prior to any sales effort, the Secretary of Defense shall, to the 
maximum extent practicable, consult with the Administrator of GSA, and 
with the heads of other Federal departments and agencies as appropriate, 
regarding reutilization and transfer requirements for aircraft and 
aircraft parts under this Act (see Chapter 4 of DOD 4160.21-M, 
paragraphs B 2 b (1) through B 2 b (3)).
    (a) DOD reutilization:
    (1) USDA shall notify Army, Navy, and/or Air Force, in writing, of 
their aircraft requirements as they arise, by aircraft type listed in 
Attachment 1 of Chapter 4 of DOD 4160.21-M.
    (2) If a DOD requirement exists, the owning Military Service shall 
advise USDA, in writing, that it will be issuing the aircraft to satisfy 
the DOD reutilization requirement. If USDA disputes the validity of the 
DOD requirement, it shall send a written notice of dispute to the owning 
Military Service and ADUSD(L&MR/SCI) within thirty (30) days of its 
notice from the Military Service. ADUSD(L&MR/SCI) shall then

[[Page 1050]]

resolve the dispute, in writing. The aircraft may not be issued until 
the dispute has been resolved.
    (b) Federal agency transfer:
    (1) The Military Service must report aircraft which survive 
reutilization screening to GSA Region 9 on a Standard Form 120. GSA 
shall screen for Federal agency transfer requirements in accordance with 
the FPMR.
    (2) If a Federal agency requirement exists, GSA shall advise USDA, 
in writing, that it will be issuing the aircraft to satisfy the Federal 
agency requirement. If USDA disputes the validity of the Federal 
requirement, it shall send a written notice of dispute to the owning 
Military Service and ADUSD(L&MR/SCI) within thirty (30) days of its 
notice from the Military Service. ADUSD(L&MR/SCI) shall then resolve the 
dispute, in writing. The aircraft cannot be issued until the dispute has 
been resolved.
    (c) The Military Services shall:
    (1) Report aircraft which survive transfer screening and are ready 
for sale to Headquarters, Defense Reutilization and Marketing Service, 
ATTN: DRMS-LMI, Federal Center, 74 Washington Avenue North, Battle 
Creek, Michigan 49017-3092. The Military Services must use a DD Form 
1348-1A, DTID, for this purpose.
    (2) Transfer excess DOD aircraft to the Aerospace Maintenance and 
Regeneration Center (AMARC), Davis-Monthan AFB, AZ, and place the 
aircraft in an ``excess'' storage category while aircraft are undergoing 
screening and/or wildfire suppression aircraft sale. Aircraft shall not 
be available nor offered to airtanker operators from the Military 
Service's airfield. The Military Service shall be responsible for the 
AMARC aircraft induction charges. The gaining customer will be liable 
for all AMARC withdrawal charges, to include any aircraft preparation 
required from AMARC. Sale of parts required for aircraft preparation is 
limited to those not required for the operational mission forces, and 
only if authorized by specific authority of the respective Military 
Service's weapon system program manager.

[68 FR 8823, Feb. 26, 2003; 68 FR 11633, Mar. 11, 2003]



Sec. 171.7  Reporting requirements.

    Not later than 31 March 2000, the Secretary of Defense must submit 
to the Committee on Armed Services of the Senate and the Committee on 
National Security of the House of Representatives a report setting forth 
the following:
    (a) The number and type of aircraft sold under this authority, and 
the terms and conditions under which the aircraft were sold.
    (b) The persons or entities to which the aircraft were sold.
    (c) An accounting of the current use of the aircraft sold.
    (d) USDA must submit to Headquarters, Defense Reutilization and 
Marketing Service, ATTN: DRMS-LMI, Federal Center, 74 Washington Avenue 
North, Battle Creek, Michigan, 49017-3092, not later than 1 February 
2000, a report setting forth an accounting of the current disposition of 
all aircraft sold under the authority of the Act.
    (e) DRMS must compile the report, based on sales contract files and 
(for the third report element) input from the USDA. The report must be 
provided to HQ DLA not later than 1 March 2000. HQ DLA shall forward the 
report to DOD not later than 15 March 2000.



Sec. 171.8  Expiration.

    This part expires on 30 September 2005.



PART 172_DISPOSITION OF PROCEEDS FROM DOD SALES OF SURPLUS PERSONAL
PROPERTY--Table of Contents



Sec.
172.1 Purpose.
172.2 Applicability and scope.
172.3 Policy.
172.4 Responsibilities.
172.5 Procedures.
172.6 Information requirements.

Appendix A to Part 172--Efforts and Costs Associated With the Disposal 
          of Recyclable Material
Appendix B to Part 172--Disposition of Amounts Collected From Successful 
          Bidders

    Authority: 40 U.S.C. 484 and 485, 10 U.S.C. 2577.

    Source: 54 FR 35483, Aug. 28, 1989, unless otherwise noted.

[[Page 1051]]



Sec. 172.1  Purpose.

    This document provides revised and expanded instructions on the 
collection and disposition of cash and cash equivalents received by the 
DoD Components for the DoD sale of surplus personal property.



Sec. 172.2  Applicability and scope.

    This part:
    (a) Applies to the Office of the Secretary of Defense (OSD), the 
Military Departments, the Joint Chiefs of Staff (JCS) and the Joint 
Staff, the Unified and Specified Commands, the Inspector General of the 
Department of Defense (IG, DoD), the Defense Agencies, and DoD Field 
Activities (hereafter referred to collectively as ``DoD Components'').
    (b) Applies to the proceeds resulting from sales made under 
authority of Public Law 152 and to the following:
    (1) Personal property governed by DoD 4160.21-M.
    (2) Surplus Government-owned personal property in the possession of 
contractors, as described in FAR subpart 45.6.
    (3) Recyclable material governed by 10 U.S.C. 2577. Such materials 
would otherwise be sold as scrap or discarded as waste, but are capable 
of being reused after undergoing some type of physical or chemical 
processing. The recycling of hazardous materials or hazardous waste 
shall be accomplished with due recognition of the types of materials 
being processed and the applicable regulation governing the handling and 
disposal of such materials. Qualified recyclable materials do not 
include the following:
    (i) Precious metal-bearing scrap and those items that may be used 
again for their original purposes or functions without any special 
processing; e.g., used vehicles, vehicle or machine parts, bottles (not 
scrap glass), electrical components, and unopened containers of oil or 
solvent.
    (ii) Ships, planes, or weapons that must undergo demilitarization or 
mutilation before sale.
    (iii) Scrap generated from DoD industrial fund (IF) operations that 
has been routinely sold with the proceeds being used to offset customer 
costs.
    (iv) Bones, fats, and meat trimmings generated by a commissary store 
or exchange.



Sec. 172.3  Policy.

    (a) Cash or cash equivalents in the prescribed amounts shall 
accompany bid deposits for a bid to be considered responsive. Similarly, 
cash or cash equivalents for the total sales price shall be received by 
the DoD Components or, in authorized cases, by contractors before the 
transfer of physical possession to the successful bidder.
    (b) Amounts collected by the DoD Components in connection with the 
sale of excess and surplus property shall be deposited promptly to the 
U.S. Treasury accounts prescribed in accordance with this instruction. 
The use of suspense accounts shall be minimal. If the account, 
ultimately to be credited with the proceeds of a sale, can be determined 
reasonably at the time funds are collected, the deposit shall be made 
immediately to that account.
    (c) The Secretary of each Military Department shall establish 
qualified recycling programs. The effort associated with the collecting, 
processing and selling of recyclable material is in appendix A to this 
part.
    (1) Proceeds from the sale of recyclable material shall be used to 
reimburse installation-level costs incurred in operation of the 
recyclable program.
    (2) After reimbursement of the cost incurred by the installation to 
operate the recycling program, installation commanders may use up to 50 
percent of remaining sale proceeds for pollution abatement, energy 
conservation, and occupational safety and health activities. A project 
may not be carried out for an amount greater than 50 percent of the 
amount established by law as the maximum amount for a minor construction 
project.
    (3) Any sale proceeds remaining after paragraphs (c)(1) and (2) of 
this section may be transferred to installation morale or welfare 
activities.



Sec. 172.4  Responsibilities.

    The Heads of DoD Components that sell surplus personal property 
shall implement the procedures prescribed in this part for the 
disposition of cash and

[[Page 1052]]

cash equivalents received in connection with such sales.



Sec. 172.5  Procedures.

    (a) Required bid deposits. When a sale conducted by a DoD Component 
provides for bid deposit with subsequent removal, the following 
procedures shall apply:
    (1) Term bid. This type of bid deposit is applicable when the sale 
involves the purchase of scrap or disposable material that will be 
generated over time with periodic removal by the successful bidder. The 
amount of the bid deposit required to accompany such bids is the average 
estimated quantity of such material to be generated during a 3 month 
period multiplied by 20 percent of the bid price. The calculation is 
illustrated, as follows:

Estimated quantity of material to be        3,000
 generated each quarter (pounds).
Bid price--$1.00 per pound................   x $1.00
                                           -----------------------------
      Subtotal............................  $3,000
20 percent of bid price...................  20
                                           -----------------------------
      Amount to accompany bid.............  $600
 

    (2) Other than term bid. With the exception of term bids, payment in 
the amount of 20 percent of the bid shall accompany the bid.
    (b) Payment terms. When a sale conducted by a DoD Component provides 
for immediate pickup, the entire amount of the sales price shall be 
collected from the buyer at the conclusion of the sale. If the sale 
provides for a bid deposit, the balance of the bid price shall be paid 
before removal of the property.
    (c) Form of payment--(1) Cash and certified checks. When a sale is 
conducted by a DoD Component, cash or its equivalent shall be collected 
for bid deposits and for remaining amounts due. Guaranteed negotiable 
instruments, such as cashiers checks, certified checks, travelers 
checks, bank drafts, or postal money orders are acceptable as a cash 
equivalent.
    (2) Personal checks. Personal checks may be accepted by a DoD 
Component only when a performance bond or a bank letter of credit is on 
hand that will cover the amount due. If the check is dishonored, amounts 
due shall be collected from the issuer of the performance bond or letter 
of credit.
    (i) If a bidder intends to use a bond or letter of credit without an 
accompanying personal check, the claim against the performance bond or 
letter of credit shall be made for any amounts due.
    (ii) If personal checks are used, the bond or letter of credit shall 
be returned intact after the applicable personal checks are honored, 
unless other instructions have been received from the bidder.
    (2) Credit cards. Approved credit cards may be accepted by a DoD 
Component for payment.
    (i) Before initiating any credit card transactions, the selling DoD 
Component shall enter into an agreement with a network commercial bank. 
Currently, the Treasury has approved the use of ``Master Card'' and 
``Visa'' charge cards. Changes or additions to approved credit cards are 
announced in Comptroller of the Department of Defense (C, DoD) memoranda 
or in changes to the TFM. Except for equipment and communication costs, 
the Treasury pays any fees normally charged to sellers. If the Treasury 
policy of paying such charges is changed, any charges for the processing 
of approved credit card transactions shall be assessed to the buyer.
    (ii) If a credit card is used for the bid deposit and authorization 
is declined, the bid shall be rejected as nonresponsive and other 
bidders considered.
    (iii) Approval for charges against credit cards shall be processed 
as follows:
    (A) The credit card presented shall be passed through the DoD 
installation's credit card swiper. The swiper is connected 
electronically with the network commercial bank selected by the DoD 
Component, and keys are provided to enter the proposed charge amount. If 
the charge is approved, the swiper will provide an approval number that 
shall be recorded on the charge slip.

    Note: A swiper is an electronic device that is used to capture the 
magentic information contained on a credit card and transmit it to the 
network commercial bank for validation and authorization of a sale. The 
information captured normally includes the account number, issuing bank, 
date of expiration of

[[Page 1053]]

the card, and any credit restrictions that may apply.

    (B) The bidder shall sign a standard credit card charge form at the 
sale contracting office. A copy of this form shall be returned to the 
card holder at that time. A copy of the charge slip shall be retained by 
the selling DoD activity as a record of the sale. On the following 
business day, the installation finance and accounting officer or the 
activity providing accounting support shall submit the signed credit 
card forms with a supporting cover sheet showing the total charges to 
the network commercial bank. Accounting control must be maintained over 
such in-transit deposits.
    (C) On receipt of the credit card charge forms, the network 
commercial bank shall charge the bidder's credit card account and 
deposit the funds to the Treasury general account. The network 
commercial bank also is required to forward a copy of the deposit slip 
to the DoD installation making the sale within 1 business day. On 
receipt of the deposit slip, the in-transit account shall be cleared and 
appropriate accounts credited following the procedures in paragraph (d) 
of this section:
    (iv) If a contractor's bid is provided by message, mail, or 
telephone to the U.S. Government using a credit card instead of other 
forms of payment, the following information is required:
    (A) Account number.
    (B) Bidders name, as it appears on the credit card.
    (C) Date of expiration of the card.
    (D) Issuing bank.
    (E) Type of card.

Any additional cost incurred by the Department of Defense in connection 
with the use of the charge card, such as telephone calls to obtain 
approval from the network bank, shall be billed to the purchaser as an 
additive charge.
    (d) Disposition of proceeds. (1) Proceeds from the sale of surplus 
personal property shall be deposited by the collecting DoD Component 
promptly to the U.S. Treasury accounts prescribed in appendix B to this 
part. The use of suspense accounts shall be minimal. If the account 
ultimately to be credited with the proceeds of a sale can be determined 
reasonably at the time the funds are collected, the deposit shall be 
made immediately to that account.
    (2) See paragraph (f) of this section for special instructions on 
the processing of proceeds resulting from the sale of recyclable 
material.
    (e) Return of bid deposits to unsuccessful bidders. (1) Cash 
collected from unsuccessful bidders by a DoD Component shall be 
deposited to account X6875, ``Suspense,'' and a check shall be drawn on 
that account to reimburse unsuccessful bidders.
    (2) Normally, noncash bid deposits shall be returned to unsuccessful 
bidders by DoD Components through the mail. However, when a bidder has 
requested expedited return and has provided the name of a carrier and a 
charge account number, the designated carrier shall be called to pick up 
the deposit with the explicit condition that applicable carrier costs 
will be charged to the bidder's account.
    (f) Sales of recyclable material. The efforts associated with 
collection and processing of recyclable material are reflected in 
appendix A to this part. The following transactions for others (TFO) 
procedures apply:
    (1) Proceeds from the sale of recyclable material shall be deposited 
in F3875, ``Budget Clearing Account (Suspense).'' The deposit to F3875 
shall identify the fiscal station and the name of the installation (use 
the full name and do not abbreviate) that is to receive the proceeds. 
Deposits that do not provide the necessary information shall be referred 
formally to the property disposal cashier for the required information.
    (2) The Military Department's finance and accounting office 
receiving the sales proceeds shall mail a copy of the cash collection 
voucher to the fiscal station shown on the collection voucher. This 
advance copy shall be used by the fiscal station to record the 
collection of proceeds to its account and shall be used for followup 
purposes, as necessary. The copy received through the financial network 
shall be used to clear the undistributed collection. These vouchers 
shall be mailed in the weekly TFO cycle.
    (3) The Military Department's finance and accounting office shall:

[[Page 1054]]

    (i) Report weekly transactions to the responsible fiscal station 
cited on the collection voucher.
    (ii) Report the collections within the same month in the ``Statement 
of Transactions'' to the Treasury.
    (g) Contractor sales of surplus Government-furnished property. (1) 
DFARS Sec. 245.610 provides overall direction for crediting proceeds 
from contractor conducted sales of surplus Government furnished 
property. Paragraph (g)(5) of this section provides the procedures that 
shall be used to ensure proper accounting for such proceeds.
    (2) The contractor making the sale may follow normal company policy 
on bid deposits and form of payment. However, any loss associated with 
dishonored payment shall be the contractor's responsibility.
    (3) The plant clearance officer (PLCO) is responsible for notifying 
the appropriate accounting office of the amounts collected by the 
contractor. The PLCO shall also notify the accounting office whether 
such collections:
    (i) Represent an increase in the dollar value of the applicable 
contract(s).
    (ii) Were made instead of disbursements on the applicable 
contract(s).
    (iii) Were returned to miscellaneous receipt account 972651, ``Sale 
of Scrap and Salvage, Materials, Defense.''
    (4) The accounting office for the contract is identified in the 
accounting classification code. See DoD 7220.9-M, chapter 17 for 
additional information.
    (5) The accounting office shall prepare the source documents 
necessary to account properly for the transaction. The value of 
applicable Government property general-ledger-asset accounts shall be 
reduced for each alternative set forth in paragraph (g)(3) of this 
section. Additionally, for alternatives (addressed in paragraph 
(g)(3)(i) or (g)(3)(ii) of this section, an accounting entry shall be 
made to reflect the creation of reimbursable obligational authority and 
the use of such authority.



Sec. 172.6  Information requirements.

    The reports cited in Sec. Sec. 172.5(f)(3) (i) and (ii) of this 
part are exempt from licensing in accordance with paragraph E.4g. of DoD 
7750.5-M.

[[Page 1055]]



   Sec. Appendix A to Part 172--Efforts and Costs Associated With the 
                     Disposal of Recyclable Material
[GRAPHIC] [TIFF OMITTED] TC21OC91.060


[[Page 1056]]





   Sec. Appendix B to Part 172--Disposition of Amounts Collected From 
                           Successful Bidders

------------------------------------------------------------------------
                                              Disposition of:
                                 ---------------------------------------
        Type of property                                (80%) remaining
                                   (20%) bid deposit        balance
------------------------------------------------------------------------
1. Scrap turned in by industrial  IF................  IF.
 fund (IF) activities.
2. Usable personal property       IF................  IF.
 purchased by and turned in by
 IF activities.
3. Property purchased with funds  -- X8420..........  -- X8420.
 from trust fund -- X8420,
 ``Surcharge Collections, Sales
 of Commissary Stores''.
4. Automatic data processing      -- F3875, Budget    -- F3875. Upon
 equipment owned by the General    Clearing Account    receipt of the
 Services Administration (GSA)     (Suspense).         entire amount due
 and leased to DoD.                                    from the bidder,
                                                       a check shall be
                                                       drawn on the
                                                       suspense account
                                                       and forwarded to
                                                       GSA at the
                                                       following
                                                       address: General
                                                       Services
                                                       Administration
                                                       Office of Finance
                                                       (WBCRC),
                                                       Collections and
                                                       Securities, 7th
                                                       and I Streets
                                                       NW., Washington,
                                                       DC 20407.
5. Section 605(d) the Foreign
 Assistance Act of 1965,
 provides that proceeds from the
 sale of defense articles shall
 be credited to the
 appropriation, fund or account
 used to procure the article or
 to the account currently
 available for the same general
 purpose.
  a. Pre-MAP merger (Pre FY 82)   11--1082,           11--1082.
   property issued under the       ``Foreign
   Military Assistance Program     Military
   (MAP) and returned as no        Financing
   longer needed, and all MAP      Program''
   funded personal property        (Effective 1
   belong to Security Assistance   October 1989 the
   Offices (SAO).                  11--1080,
                                   ``Military
                                   Assitance,''
                                   account is no
                                   longer available
                                   for the receipt
                                   of proceeds).
  b. Security Assistance Offices  978242 XDM--        978242 XDM--
   (SAO) personal property         S843000.            S843000.
   purchased with Foreign
   Military Sales Administrative
   Funds (11x8242).
6. Coast Guard property under     -- F3875..........  -- F3875. Upon
 the physical control of the                           receipt of the
 Coast Guard at the time of sale.                      entire amount due
                                                       from the bidder,
                                                       a check shall be
                                                       drawn on the
                                                       suspense account
                                                       and forwarded to
                                                       the Coast Guard
                                                       at the following
                                                       address:
                                                       Commandant, U.S.
                                                       Coast Guard
                                                       (GFAC),
                                                       Washington, DC
                                                       20593.
7. Property owned by              -- X6874,           -- X6875. Upon
 nonappropriated fund              ``Suspense''.       receipt of the
 instrumentalities, excluding                          entire amount due
 garbage suitable for animal                           from the bidder,
 consumption that is disposed of                       a check shall be
 under a multiple-pickup                               drawn on the
 contract.                                             suspense account
                                                       and forwarded to
                                                       the applicable
                                                       instrumentality.
8. Recyclable material..........  -- F3875 \1\......  -- F3875.\1\ Upon
                                                       receipt of the
                                                       entire amount due
                                                       from the bidder,
                                                       deposit total
                                                       proceeds to the
                                                       accounts
                                                       designated by the
                                                       DoD Military
                                                       Installation that
                                                       gave the material
                                                       up for disposal.
9. Lost, abandoned, or unclaimed  972651,``Sale of    -- X6001,
 privately owned personal          Scrap and Salvage   ``Proceeds of
 property.                         Materials,          Sales of Lost,
                                   Defense''.          Abandoned or
                                                       Unclaimed
                                                       Personal
                                                       Property.'' The
                                                       owner(s) of lost,
                                                       abandoned, or
                                                       unclaimed
                                                       property may
                                                       claim the net
                                                       proceeds from
                                                       sale of that
                                                       property within 5
                                                       years of the date
                                                       of the sale by
                                                       providing proof
                                                       of ownership to
                                                       the government.
                                                       After 5 years
                                                       from the date of
                                                       the sale, any
                                                       unclaimed net
                                                       proceeds shall be
                                                       transferred from
                                                       -- X6001 to
                                                       general fund
                                                       miscellaneous
                                                       receipt account --
                                                       1060,
                                                       ``Forfeitures of
                                                       Unclaimed Money
                                                       and Property.''

[[Page 1057]]

 
10. Property owned by a country   Operation and       -- X6875. Upon
 or international organization.    maintenance         receipt of the
                                   appropriation of    entire amount due
                                   the DoD Component   from the bidder,
                                   that sells the      a check for 80%
                                   property. (This     of the sales
                                   is reimbursement    price shall be
                                   for selling         drawn on the
                                   expenses.).         suspense account
                                                       and forwarded to
                                                       the applicable
                                                       foreign country
                                                       or international
                                                       organization.
11. Bones, fats, and meat         Stock Fund........  Stock Fund.
 trimmings generated by a
 commissary store.
12. Government furnished          (\2\).............  (\2\).
 property sold by contractors.
13. All other property..........  972651............  972651.
------------------------------------------------------------------------
\1\ 10 U.S.C. 2577 limits the amounts which can be held in F3875 at the
  end of any fiscal year resulting from the program to $2 million.
  Amounts in excess of $2 million are to be transferred to Miscellaneous
  Receipts of the Treasury. This instruction provides for immediate
  distribution of all sales proceeds received from the recyclable
  program.
\2\ See subsection D.7. of the basic Instruction.


[55 FR 13903, Apr. 13, 1990]



PART 173_COMPETITIVE INFORMATION CERTIFICATE AND PROFIT REDUCTION 
CLAUSE--Table of Contents



Sec.
173.1 Scope.
173.2 Competitive Information Certification.
173.3 Profit reduction clause.

Appendix to Part 173--List of Contractors for Whom Certification is 
          Required

    Authority: 10 U.S.C. 2202.

    Source: 53 FR 42948, Oct. 25, 1988, unless otherwise noted.



Sec. 173.1  Scope.

    (a) The purpose of the Competitive Information Certificate is to 
provide the Contracting Officer sufficient information and assurance to 
support award of a contract in those circumstances where certification 
is required.
    (b) Although a Competitive Information Certificate provides 
reasonable assurance to the Government, the possibility remains that 
even a diligent internal review by the contractor may fail to identify 
illegal or improper actions. The purpose of the Profit Reduction Clause 
is to ensure effective protection of the Government's interest in making 
contract awards when a Competitive Information Certification is 
required. The Profit Reduction Clause is required in all competitively 
awarded new contracts over $100,000 when a Competitive Information 
Certificate is required prior to award.



Sec. 173.2  Competitive Information Certification.

    (a) The Competitive Information Certificate is required prior to 
award of all competitively awarded new contracts of a value exceeding 
$100,000 to contractors subject to the requirement.
    (1) Corporate activities required to provide the Certificate are 
corporations or corporate divisions which have been the subject of 
search warrants, or as to which other official information indicates 
such certification should be required, and their subsidiaries and 
affiliates. A list of contractors from whom certification is required is 
maintained and published as required under authority of the Department 
of Defense Procurement Task Force.
    (2) The requirement to provide the Certificate may be further 
limited to certain divisions or subsidiaries, contracts or programs upon 
the basis of official information, furnished by the contractor or 
otherwise, sufficient to establish to the satisfaction of the Department 
of Defense that the investigation is so limited. Such information may 
include copies of search warrants, subpoenas and affidavits from 
corporate officials concerning the scope and conduct of the 
investigation. The sufficiency of such information is solely within the 
discretion of the Department of Defense.
    (3) Contractors from whom certification in certain instances is 
required

[[Page 1058]]

will be relieved of the certification requirement when the Department of 
Defense determines that information developed in the ``Ill Wind'' 
investigation has been resolved in such a manner that certification is 
no longer required to protect the interests of the Government.
    (4) A Certificate will not be required prior to the exercise of 
options or noncompetitive award of contracts. This does not limit in any 
manner the Government's ability to inquire into, or require information 
concerning, the circumstances surrounding an underlying competitive 
award.
    (b) With respect to information disclosed under paragraph (1) of the 
Certificate, the offeror must attach to the Certificate a written 
statement detailing what information was obtained, and how, when, and 
from whom it was obtained. This information shall be evaluated at the 
levels prescribed by the contracting component to determine whether 
award of the contract should be made to the offeror. If during this 
review it is determined that the offeror may have obtained an unfair 
competitive advantage from the information and that there is no other 
reason for denying award to the offeror, the reviewing authority shall 
consider whether action may be taken to neutralize the potential unfair 
competitive advantage. Any decision to deny award to an offeror based 
upon information disclosed in the Certificate shall be reviewed and 
approved by the Service Acquisition Executive.
    (c) This certificate and any accompanying statements required, must 
be executed by the offeror's corporate president or his designee at no 
more than one level below the president's level.
    (d) If a contractor from whom certification is required is uncertain 
as to whether competitive information otherwise required to be disclosed 
was generally available to offerors, the uncertainty should be resolved 
by disclosure.
    (e) Contracting Officers may continue to accept Certificates of 
Business Ethics and Integrity complying with the Interim rule in lieu of 
Competitive Information Certificates.
    (f) The Competitive Information Certificate shall be in the 
following form:

                   Competitive Information Certificate

    (1) (Name of the offeror) certifies, to the best of its knowledge 
and belief, that
    (i) With the exception of any information described in an attachment 
to this certificate, and any information the offeror reasonably believes 
was made generally available to prospective offerors, the offeror has 
not knowingly obtained, directly or indirectly from the Government, any 
written information or oral extract or account thereof relating to this 
solicitation which was
    (A) Submitted to the Government by offerors or potential offerors in 
response to the Government's solicitation for bid or proposal;
    (B) Marked by an offeror or potential offeror to indicate the 
information was submitted to the Government subject to an assertion of 
privilege against disclosure;
    (C) Marked or otherwise identified by the Government pursuant to law 
or regulation as classified, source selection sensitive, or for official 
use only; or
    (D) The disclosure of which to the offeror or potential offeror by a 
Government employee would, under the circumstances, otherwise violate 
law or regulation.
    (ii) The offeror named above
    (A) Determined the prices in its offer independently, without, for 
the purpose of restricting competition, any consultation, 
communications, or agreement, directly or indirectly, with any other 
offeror or competitor relating to (1) those prices, (2) the intention to 
submit an offer, or (3), the methods or factors used to calculate the 
prices offered;
    (B) Has not knowingly disclosed the prices in its offer, directly or 
indirectly, to any other offeror or competitor before bid opening (in 
the case of a sealed bid solicitation) or contract award (in the case of 
a negotiated solicitation) unless otherwise required by law;
    (C) Has not attempted to induce any other concern to submit or not 
to submit an offer for the purpose of restricting competition.

[[Page 1059]]

    (iii) The offeror has attached an accurate description of the 
internal review forming the basis for the certifications provided 
herein.

Corporate President or Designee.



Sec. 173.3  Profit reduction clause.

    The following profit reduction clause is required in all 
competitively awarded new contracts over $100,000 when a Competitive 
Information Certificate is required prior to award.
    Profit Reduction for Illegal or Improper Activity
    (a) The government, at its election, may reduce the contract price 
by the amount of any anticipated profit determined as set forth in 
paragraph (b) of this section; if
    (1) A person or business entity is convicted for violating 18 U.S.C. 
201-224 (bribery, graft, and conflicts of interest), 18 U.S.C. 371 
(conspiracy), 18 U.S.C. 641 (theft of public money, property, or 
records), 18 U.S.C. 1001 (false statements), 18 U.S.C. 1341 (fraud), 18 
U.S.C. 1343 (fraud by wire) for any act in connection with or related to 
the obtaining of this contract; or
    (2) The Secretary of Defense, or his designee, determines that the 
Competitive Information Certificate submitted by the offeror in 
connection with award of this contract
    (i) Was materially false at the time it was filed, or
    (ii) Notwithstanding the offeror's best knowledge and belief, was 
materially incomplete or inaccurate.

Prior to making such a determination, the Secretary or his designee, 
shall provide to the contractor a written statement of the action being 
considered and the basis therefor. The contractor shall have not less 
than 30 calendar days after receipt to submit in person, in writing, or 
through a representative, information and argument in opposition to the 
proposed reduction. The Secretary or his designee may, upon good cause 
shown, determine to reduce the contract price by less than the amount of 
any profit determined under paragraph (b) of this section.
    (b) The amount of anticipated profits referred to in Sec. 173.3(a) 
shall be:
    (1) In the case of a cost-plus-fixed-fee contract, the amount of the 
fee specified in the contract at the time of award;
    (2) In the case of fixed-price-incentive-profit or cost-plus-
incentive-fee contract, the amount of the target profit or fee specified 
in the contract at the time of award; or
    (3) In the case of a firm-fixed-price contract, the amount of 
anticipated profit determined by the contracting officer, after notice 
to the contractor and opportunity to comment, from records or documents 
in existence prior to the date of the award of the contract.
    (c) The rights and remedies of the government provided in this 
cluase shall not be exclusive and are in addition to any other rights 
and remedies provided by law or under this contract.



Sec. Appendix to Part 173--List of Contractors for Whom Certification Is 
                                Required

Armtec, Incorporated, 410 Highway 19 South, Palatka, FL 32077
Cubic Corporation, 9333 Balboa Avenue, San Diego, CA 92123 as to 
          contracts originating in the following division:
Cubic Defense Systems, Incorporated, San Diego, CA
Executive Resource Associates, 2011 Crystal Drive, suite 813, Arlington, 
VA 22202
Hazeltine Corporation, 500 Commack Road, Commack, NY 11725 and all 
          divisions and subsidiaries as follows:
Hazeltine Corporation, Electro-Acoustic Division, 115 Bay State Drive, 
Braintree, MA 02184
Hazeltine Corporation, Government Systems & Products Division, Cuba Hill 
Road, Greenlawn, NY 11740
Hazeltine Research, Incorporated, 188 Industrial Drive, Elmhurst, IL 
60126
Kane Paper Corporation, 2365 Milburn Avenue, Baldwin, NY 11510
Litton Data Systems, Incorporated, 8000 Woodley Ave., Van Nuys, CA 91408
Loral Defense Systems Akron, 1210 Massillon Rd., Akron, OH 44315
McDonnel Douglas Corporation, Banshee Rd., P.O. Box 516, St. Louis, MO 
          63166 as to contracts originating in the following division:
McDonnell Aircraft Company, St. Louis, MO
Northrop Corporation, Ventura Division, 1515 Rancho Conejo Boulevard, 
Newbury Park, CA 91320
Teledyne Electronics, 649 Lawrence Drive, Newbury Park, CA 91320

[[Page 1060]]

Unisys Corporation, One Unisys Place, Detroit, MI 48232, as to contracts 
          originating in the following divisions or subsidiaries:
Unisys Corporation, Defense Systems Division, 3333 Pilot Knob Road, 
Eagan, MN
Unisys Corporation, Defense Systems Division, Neil Armstrong Boulevard, 
Eagan, MN
Unisys Shipboard & Ground Systems Group, Marquis Avenue, Great Neck, NY 
11020
United Technologies Corporation, UT Bldg., Hartford, CT 06101 as to 
          contracts originating in the following divisions or 
          subsidiaries:
Norden Systems, Incorporated
Pratt & Whitney
Varian Associates, Incorporated, 611 Hansen Way, Palo Alto, CA as to 
          contracts originating in the following division:
*Continental Electronics Manufacturing Company, Dallas, TX
---------------------------------------------------------------------------

    *Firm suspended as of July 6, 1988.
---------------------------------------------------------------------------

Whittaker Corporation (Lee Telecommunications Corporation (LTC), Route 
1, Farmington, AR 72730)
Zubier Enterprises, 6201 Pine Street, Harrisburg, PA.

[[Page 1061]]



                  SUBCHAPTER H_CLOSURES AND REALIGNMENT





PART 174_REVITALIZING BASE CLOSURE COMMUNITIES AND ADDRESSING IMPACTS
OF REALIGNMENT--Table of Contents



                            Subpart A_General

Sec.
174.1 Purpose.
174.2 Applicability.
174.3 Definitions.

                            Subpart B_Policy

174.4 Policy.
174.5 Responsibilities.

              Subpart C_Working with Communities and States

174.6 LRA and the redevelopment plan.

                         Subpart D_Real Property

174.7 Retention for DoD Component use and transfers to other Federal 
          agencies.
174.8 Screening for properties covered by the Base Closure Community 
          Redevelopment and Homeless Assistance Act of 1994, cross-
          reference.
174.9 Economic development conveyances.
174.10 [Reserved]
174.11 Leasing of real property to non-Federal entities.
174.12 Leasing of transferred real property by Federal agencies.

                       Subpart E_Personal Property

174.13 Personal property.

                    Subpart F_Maintenance and Repair

174.14 Maintenance and repair.

                     Subpart G_Environmental Matters

174.15 Indemnification under Section 330 of the National Defense 
          Authorization Act for Fiscal Year 1993.
174.16 Real property containing explosive or chemical agent hazards.
174.17 NEPA.
174.18 Historic preservation.

    Authority: 10 U.S.C. 113 and 10 U.S.C. 2687 note.

    Source: 71 FR 9919, Feb. 28, 2006, unless otherwise noted.



                            Subpart A_General



Sec. 174.1  Purpose.

    This part:
    (a) Establishes policy, assigns responsibilities, and implements 
base closure laws and associated provisions of law relating to the 
closure and the realignment of installations. It does not address the 
process for selecting installations for closure or realignment.
    (b) Authorizes the publication of DoD 4165.66-M, ``Base 
Redevelopment and Realignment Manual,'' in accordance with DoD 5025.1-M 
\1\, ``DoD Directive System Procedures,'' March 2003.
---------------------------------------------------------------------------

    \1\ Copies may be obtained at http://www.dtic.mil/whs/directives/
corres/publ.html.
---------------------------------------------------------------------------



Sec. 174.2  Applicability.

    This part applies to:
    (a) The Office of the Secretary of Defense, the Military 
Departments, the Chairman of the Joint Chiefs of Staff and the Joint 
Staff, the Combatant Commands, the Office of the Inspector General of 
the Department of Defense, the Defense Agencies, the DoD Field 
Activities, and all other organizational entities in the Department of 
Defense (hereafter referred to collectively as the ``DoD Components'').
    (b) Installations in the United States selected for closure or 
realignment under a base closure law.
    (c) Federal agencies and non-Federal entities that seek to obtain 
real or personal property on installations selected for closure or 
realignment.



Sec. 174.3  Definitions.

    (a) Base closure law. This term has the same meaning as provided in 
10 U.S.C. Sec. 101(a)(17)(B) and (C).
    (b) Closure. An action that ceases or relocates all current missions 
of an installation and eliminates or relocates all current personnel 
positions (military, civilian, and contractor), except for personnel 
required for caretaking, conducting any ongoing environmental cleanup, 
or property disposal. Retention of a small enclave, not associated

[[Page 1062]]

with the main mission of the base, is still a closure.
    (c) Consultation. Explaining and discussing an issue, considering 
objections, modifications, and alternatives; but without a requirement 
to reach agreement.
    (d) Date of approval. This term has the same meaning as provided in 
section 2910(8) of the Defense Base Closure and Realignment Act of 1990, 
Pub. L. 101-510.
    (e) Excess property. This term has the same meaning as provided in 
40 U.S.C. Sec. 102(3).
    (f) Installation. This term has the same meaning as provided in the 
definition for ``military installation'' in section 2910(4) of the 
Defense Base Closure and Realignment Act of 1990, Pub. L. 101-510.
    (g) Local Redevelopment Authority (LRA). This term has the same 
meaning as provided in the definition for ``redevelopment authority'' in 
section 2910(9) of the Defense Base Closure and Realignment Act of 1990, 
Pub. L. 101-510.
    (h) Military Department. This term has the same meaning as provided 
in 10 U.S.C. 101(a)(8).
    (i) National Environmental Policy Act (NEPA). The National 
Environmental Policy Act of 1969, Pub. L. 91-190, 42 U.S.C. 4321 et 
seq., as amended.
    (j) Realignment. This term has the same meaning as provided in 
section 2910(5) of the Defense Base Closure and Realignment Act of 1990, 
Pub. L. 101-510.
    (k) Secretary concerned. This term has the same meaning as provided 
in 10 U.S.C. 101(a)(9)(A), (B), and (C).
    (l) Surplus property. This term has the same meaning as provided in 
40 U.S.C. 102(10).
    (m) Transition coordinator. This term has the same meaning as used 
in section 2915 of the National Defense Authorization Act for Fiscal 
Year 1994, Public Law 103-160.



                            Subpart B_Policy



Sec. 174.4  Policy.

    It is DoD policy to:
    (a) Act expeditiously whether closing or realigning. Relocating 
activities from installations designated for closure will, when 
feasible, be accelerated to facilitate the transfer of real property for 
community reuse. In the case of realignments, the Department will pursue 
aggressive planning and scheduling of related facility improvements at 
the receiving location.
    (b) Fully utilize all appropriate means to transfer property. 
Federal law provides the Department with an array of legal authorities, 
including public benefit transfers, economic development conveyances at 
cost and no cost, negotiated sales to state or local government, 
conservation conveyances, and public sales, by which to transfer 
property on closed or realigned installations. Recognizing that the 
variety of types of facilities available for civilian reuse and the 
unique circumstances of the surrounding communities does not lend itself 
to a single universal solution, the Department will use this array of 
authorities in a way that considers individual circumstances.
    (c) Rely on and leverage market forces. Community redevelopment 
plans and military conveyance plans should be integrated to the extent 
practical and should take account of any anticipated demand for surplus 
military land and facilities.
    (d) Collaborate effectively. Experience suggests that collaboration 
is the linchpin to successful installation redevelopment. Only by 
collaborating with the local community can the Department close and 
transfer property in a timely manner and provide a foundation for solid 
economic redevelopment.
    (e) Speak with one voice. The Department of Defense, acting through 
the DoD Components, will provide clear and timely information and will 
encourage affected communities to do the same.
    (f) Work with communities to address growth. The Department will 
work with the surrounding community so that the public and private 
sectors can provide the services and facilities needed to accommodate 
new personnel and their families. The Department recognizes that 
installation commanders and local officials, as appropriate (e.g., 
State, county, and tribal), need to integrate and coordinate elements of 
their

[[Page 1063]]

local and regional growth planning so that appropriate off-base 
facilities and services are available for arriving personnel and their 
families.



Sec. 174.5  Responsibilities.

    (a) The Under Secretary of Defense for Acquisition, Technology, and 
Logistics shall issue DoD Instructions as necessary to further implement 
applicable public laws affecting installation closure and realignment 
implementation and shall monitor compliance with this part. All 
authorities and responsibilities of the Secretary of Defense--
    (1) Vested in the Secretary of Defense by a base closure law, but 
excluding those provisions relating to the process for selecting 
installations for closure or realignment;
    (2) Delegated from the Administrator of General Services relating to 
base closure and realignment matters;
    (3) Vested in the Secretary of Defense by any other provision 
relating to base closure and realignment in a national defense 
authorization act, a Department of Defense appropriations act, or a 
military construction appropriations act, but excluding section 330 of 
the National Defense Authorization Act for Fiscal Year 1993; or
    (4) Vested in the Secretary of Defense by Executive Order or 
regulation and relating to base closure and realignment, are hereby 
delegated to the Under Secretary of Defense for Acquisition, Technology, 
and Logistics.
    (b) The authorities and responsibilities of the Secretary of Defense 
delegated to the Under Secretary of Defense for Acquisition, Technology, 
and Logistics under paragraph (a) of this section are hereby re-
delegated to the Deputy Under Secretary of Defense (Installations and 
Environment).
    (c) The Heads of the DoD Components shall ensure compliance with 
this part and any implementing guidance.
    (d) Subject to the delegations in paragraphs (a) and (b) of this 
section, the Secretaries concerned shall exercise those authorities and 
responsibilities specified in subparts C through G of this part.
    (e) The cost of recording deeds and other transfer documents is the 
responsibility of the transferee.



              Subpart C_Working with Communities and States



Sec. 174.6  LRA and the redevelopment plan.

    (a) The LRA should have broad-based membership, including, but not 
limited to, representatives from those jurisdictions with zoning 
authority over the property. Generally, there will be one recognized LRA 
per installation.
    (b) The LRA should focus primarily on developing a comprehensive 
redevelopment plan based upon local needs. The plan should recommend 
land uses based upon an exploration of feasible reuse alternatives. If 
applicable, the plan should consider notices of interest received under 
a base closure law. This section shall not be construed to require a 
plan that is enforceable under state and local land use laws, nor is it 
intended to create any exemption from such laws.
    (c)(1) The Secretary concerned will develop a disposal plan and, to 
the extent practicable, complete the appropriate environmental 
documentation no later than 12 months after receipt of the redevelopment 
plan. The redevelopment plan will be used as part of the proposed 
Federal action in conducting environmental analyses required under NEPA.
    (2) In the event there is no LRA recognized by DoD or if a 
redevelopment plan is not received from the LRA within 9 months from the 
date referred to in section 2905(b)(7)(F)(iv) of Pub. L. 101-510, 
(unless an extension of time has been granted by the Deputy Under 
Secretary of Defense (Installations and Environment)), the Secretary 
concerned shall, after required consultation with the governor and heads 
of local governments, proceed with the disposal of property under 
applicable property disposal and environmental laws and regulations.



                         Subpart D_Real Property



Sec. 174.7  Retention for DoD Component use and transfer to other
Federal agencies.

    (a) To speed the economic recovery of communities affected by 
closures and

[[Page 1064]]

realignments, the Department of Defense will identify DoD and Federal 
interests in real property at closing and realigning installations as 
quickly as possible. The Secretary concerned shall identify such 
interests. The Secretary concerned will keep the LRA informed of these 
interests. This section establishes a uniform process, with specified 
timelines, for identifying real property that is available for use by 
DoD Components (which for purposes of this section includes the United 
States Coast Guard) or is excess to the needs of the Department of 
Defense and available for use by other Federal agencies, and for the 
disposal of surplus property for various purposes.
    (b) The Secretary concerned should consider LRA input, if provided, 
in making determinations on the retention of property (location and size 
of cantonment area).
    (c) Within one week of the date of approval of the closure or 
realignment, the Secretary concerned shall issue a notice of 
availability to the DoD Components and other Federal agencies covering 
closing and realigning installation buildings and property available for 
transfer to the DoD Components and other Federal agencies. The notice of 
availability should describe the property and buildings available for 
transfer. Withdrawn public domain lands which the Secretary of the 
Interior has determined are suitable for return to the jurisdiction of 
the Department of the Interior (DoI) will not be included in the notice 
of availability.
    (d) To obtain consideration of a requirement for such available 
buildings and property, a DoD Component or Federal agency is required to 
provide a written, firm expression of interest for buildings and 
property within 30 days of the date of the notice of availability. An 
expression of interest must explain the intended use and the 
corresponding requirement for the buildings and property.
    (e)(1) Within 60 days of the date of the notice of availability, the 
DoD Component or Federal agency expressing interest in buildings or 
property must submit an application for transfer of such property to a 
Military Department or Federal agency. In the case of a DoD Component 
that would normally, under the circumstances, obtain its real property 
needs from the Military Department disposing of the real property, the 
application should indicate the property would not transfer to another 
Military Department but should be retained by the current Military 
Department for the use of the DoD Component. To the extent a different 
Military Department provides real property support for the requesting 
DoD Component, the application must indicate the concurrence of the 
supporting Military Department.
    (2) Within 90 days of the notice of availability, the Federal 
Aviation Administration (FAA) should survey the air traffic control and 
air navigation equipment at the installation to determine what is needed 
to support the air traffic control, surveillance, and communications 
functions supported by the Military Department, and to identify the 
facilities needed to support the National Airspace System. FAA requests 
for property to manage the National Airspace System will not be governed 
by paragraph (h) of this section. Instead, the FAA shall work directly 
with the Military Department to prepare an agreement to assume custody 
of the property necessary for control of the airspace being relinquished 
by the Military Department.
    (f) The Secretary concerned will keep the LRA informed of the 
progress in identifying interests. At the same time, the LRA is 
encouraged to contact Federal agencies which sponsor public benefit 
conveyances for information and technical assistance. The Secretary 
concerned will provide to the LRA points of contact at the Federal 
agencies.
    (g) DoD Components and Federal agencies are encouraged to discuss 
their plans and needs with the LRA, if an LRA exists. If an LRA does not 
exist, the consultation should be pursued with the governor or the heads 
of the local governments in whose jurisdiction the property is located. 
DoD Components and Federal agencies are encouraged to notify the 
Secretary concerned of the results of this consultation. The Secretary 
concerned, the Transition Coordinator, and the DoD Office of Economic 
Adjustment Project Manager are available to help

[[Page 1065]]

facilitate communication between the DoD Components and Federal 
agencies, and the LRA, governor, and heads of local governments.
    (h) An application for property from a DoD Component or Federal 
agency must contain the following information:
    (1) A completed GSA Form 1334, Request for Transfer (for requests 
from DoD Components, a DD Form 1354 will be used). This must be signed 
by the head of the Component or agency requesting the property. If the 
authority to acquire property has been delegated, a copy of the 
delegation must accompany the form;
    (2) A statement from the head of the requesting Component or agency 
that the request does not establish a new program (i.e., one that has 
never been reflected in a previous budget submission or Congressional 
action);
    (3) A statement that the requesting Component or agency has reviewed 
its real property holdings and cannot satisfy its requirement with 
existing property. This review must include all property under the 
requester's accountability, including permits to other Federal agencies 
and outleases to other organizations;
    (4) A statement that the requested property would provide greater 
long-term economic benefits for the program than acquisition of a new 
facility or other property;
    (5) A statement that the program for which the property is requested 
has long-term viability;
    (6) A statement that considerations of design, layout, geographic 
location, age, state of repair, and expected maintenance costs of the 
requested property clearly demonstrate that the transfer will prove more 
economical over a sustained period of time than acquiring a new 
facility;
    (7) A statement that the size of the property requested is 
consistent with the actual requirement;
    (8) A statement that fair market value reimbursement to the Military 
Department will be made at the later of January of 2008, or at the time 
of transfer, unless this obligation is waived by the Office of 
Management and Budget and the Secretary concerned, or a public law 
specifically provides for a non-reimbursable transfer (this requirement 
does not apply to requests from DoD Components);
    (9) A statement that the requesting DoD Component or Federal agency 
agrees to accept the care and custody costs for the property on the date 
the property is available for transfer, as determined by the Secretary 
concerned; and
    (10) A statement that the requesting agency agrees to accept 
transfer of the property in its existing condition, unless this 
obligation is waived by the Secretary concerned.
    (i) The Secretary concerned will make a decision on an application 
from a DoD Component or Federal agency based upon the following factors:
    (1) The requirement must be valid and appropriate;
    (2) The proposed use is consistent with the highest and best use of 
the property;
    (3) The proposed transfer will not have an adverse impact on the 
transfer of any remaining portion of the installation;
    (4) The proposed transfer will not establish a new program or 
substantially increase the level of a Component's or agency's existing 
programs;
    (5) The application offers fair market value for the property, 
unless waived;
    (6) The proposed transfer addresses applicable environmental 
responsibilities to the satisfaction of the Secretary concerned; and
    (7) The proposed transfer is in the best interest of the Government.
    (j) When there is more than one acceptable application for the same 
building or property, the Secretary concerned shall consider, in the 
following order--
    (1) The need to perform the national defense missions of the 
Department of Defense and the Coast Guard;
    (2) The need to support the homeland defense mission; and
    (3) The LRA's comments as well as other factors in the determination 
of highest and best use.
    (k) If the Federal agency does not meet its commitment under 
paragraph (h)(8) of this section to provide the required reimbursement, 
and the requested property has not yet been

[[Page 1066]]

transferred to the agency, the requested property will be declared 
surplus and disposed of in accordance with the provisions of this part.
    (l) Closing or realigning installations may contain ``public domain 
lands'' which have been withdrawn by the Secretary of the Interior from 
operation of the public land laws and reserved for use by the Department 
of Defense. Lands deemed suitable for return to the public domain are 
not real property governed by title 40, United States Code, and are not 
governed by the property management and disposal provisions of a base 
closure law. Public domain lands are under the jurisdiction of the 
Secretary of the Interior and administered by the Bureau of Land 
Management (BLM) unless the Secretary of the Interior has withdrawn the 
lands and reserved them for another Federal agency's use.
    (1) The Secretary concerned will provide the BLM with information 
about which, if any, public domain lands will be affected by the 
installation's closure or realignment.
    (2) The BLM will review the information to determine if any 
installations contain withdrawn public domain lands. The BLM will review 
its land records to identify any withdrawn public domain lands at the 
closing installations. Any records discrepancies between the BLM and 
Military Departments should be resolved. The BLM will notify the 
Secretary concerned as to the final agreed upon withdrawn and reserved 
public domain lands at an installation.
    (3) Upon agreement as to what withdrawn and reserved public domain 
lands are affected at closing installations, the BLM will initiate a 
screening of DoI agencies to determine if these lands are suitable for 
programs of the Secretary of the Interior.
    (4) The Secretary concerned will transmit a Notice of Intent to 
Relinquish (see 43 CFR Part 2370) to the BLM as soon as it is known that 
there is no DoD Component interest in reusing the public domain lands. 
The BLM will complete the suitability determination screening process 
within 30 days of receipt of the Secretary's Notice of Intent to 
Relinquish. If a DoD Component is approved to reuse the public domain 
lands, the BLM will be notified and BLM will determine if the current 
authority for military use of these lands needs to be modified or 
amended.
    (5) If BLM determines the land is suitable for return, it shall 
notify the Secretary concerned that the intent of the Secretary of the 
Interior is to accept the relinquishment of the land by the Secretary 
concerned.
    (6) If BLM determines the land is not suitable for return to the 
DoI, the land should be disposed of pursuant to base closure law.
    (m) The Secretary concerned should make a surplus determination 
within six (6) months of the date of approval of closure or realignment, 
and shall inform the LRA of the determination. If requested by the LRA, 
the Secretary may postpone the surplus determination for a period of no 
more than six (6) additional months after the date of approval if the 
Secretary determines that such postponement is in the best interests of 
the communities affected by the closure or realignment.
    (1) In unusual circumstances, extensions beyond six months can be 
granted by the Deputy Under Secretary of Defense (Installations and 
Environment).
    (2) Extensions of the surplus determination should be limited to the 
portions of the installation where there is an outstanding interest, and 
every effort should be made to make decisions on as much of the 
installation as possible, within the specified timeframes.
    (n) Once the surplus determination has been made, the Secretary 
concerned shall follow the procedures in part 176 of this title.
    (o) Following the surplus determination, but prior to the disposal 
of property, the Secretary concerned may, at the Secretary's discretion, 
withdraw the surplus determination and evaluate a Federal agency's late 
request for excess property.
    (1) Transfers under this paragraph shall be limited to special 
cases, as determined by the Secretary concerned.
    (2) Requests shall be made to the Secretary concerned, as specified 
under paragraphs (h) and (i) of this section, and the Secretary shall 
notify the LRA of such late request.

[[Page 1067]]

    (3) Comments received from the LRA and the time and effort invested 
by the LRA in the planning process should be considered when the 
Secretary concerned is reviewing a late request.



Sec. 174.8  Screening for properties covered by the Base Closure
Community Redevelopment and Homeless Assistance Act of 1994,
cross-reference.

    The Departments of Defense and Housing and Urban Development have 
promulgated regulations to address state and local screening and 
approval of redevelopment plans for installations covered by the Base 
Closure Community Redevelopment and Homeless Assistance Act of 1994 
(Pub. L. 103-421). The Department of Defense regulations can be found at 
part 176 of this title. The Department of Housing and Urban Development 
regulations can be found at 24 CFR part 586.



Sec. 174.9  Economic development conveyances.

    (a) The Secretary concerned may transfer real property and personal 
property to the LRA for purposes of job generation on the former 
installation. Such a transfer is an Economic Development Conveyance 
(EDC).
    (b) An LRA is the only entity eligible to receive property under an 
EDC.
    (c) The Secretary concerned shall use the completed application, 
along with other relevant information, to decide whether to enter into 
an EDC with an LRA. An LRA may submit an EDC application only after it 
adopts a redevelopment plan. The Secretary concerned shall establish a 
reasonable time period for submission of an EDC application after 
consultation with the LRA.
    (d) The application shall include:
    (1) A copy of the adopted redevelopment plan.
    (2) A project narrative including the following:
    (i) A general description of the property requested.
    (ii) A description of the intended uses.
    (iii) A description of the economic impact of closure or realignment 
on the local community.
    (iv) A description of the economic condition of the community and 
the prospects for redevelopment of the property.
    (v) A statement of how the EDC is consistent with the overall 
redevelopment plan.
    (3) A description of how the EDC will contribute to short- and long-
term job generation on the installation, including the projected number 
and type of new jobs it will assist in generating.
    (4) A business/operational plan for development of the EDC parcel, 
including at least the following elements:
    (i) A development timetable, phasing schedule, and cash flow 
analysis.
    (ii) A market and financial feasibility analysis describing the 
economic viability of the project, including an estimate of net proceeds 
over the planned life of the redevelopment project, but in no event for 
less than fifteen years after the initial transfer of property, and the 
proposed consideration or payment to the Department of Defense. The 
proposed consideration should describe the methodology for payment and 
include draft documents or instruments proposed to secure such payment.
    (iii) A cost estimate and justification for infrastructure and other 
investments needed for redevelopment of the EDC parcel.
    (iv) A proposed local investment and financing plan for the 
development.
    (5) A statement describing why an EDC will more effectively enable 
achievement of the job generation objectives of the redevelopment plan 
regarding the parcel requested for conveyance than other federal real 
property disposal authorities.
    (6) Evidence of the LRA's legal authority to acquire and dispose of 
the property.
    (7) Evidence that:
    (i) The LRA has authority to perform the actions required of it, 
pursuant to the terms of the EDC, and
    (ii) That the officers submitting the application and making the 
representations contained therein on behalf of the LRA have the 
authority to do so.
    (8) A commitment from the LRA that the proceeds from any sale or 
lease of the EDC parcel (or any portion thereof) received by the LRA 
during at least the first seven years after the date of the initial 
transfer of property, except

[[Page 1068]]

proceeds that are used to pay consideration to the Secretary concerned 
under paragraph (h) of this section, shall be used to support economic 
redevelopment of, or related to, the installation. In the case of phased 
transfers, the Secretary concerned shall require that this commitment 
apply during at least the first seven years after the date of the last 
transfer of property to the LRA. For the purposes of calculating this 
reinvestment period, a lease in furtherance of conveyance shall 
constitute a transfer. The use of proceeds to pay for, or offset the 
costs of, public investment on or related to the installation for any of 
the following purposes shall be considered a use to support the economic 
redevelopment of, or related to, the installation--
    (i) Road construction;
    (ii) Transportation management facilities;
    (iii) Storm and sanitary sewer construction;
    (iv) Police and fire protection facilities and other public 
facilities;
    (v) Utility construction;
    (vi) Building rehabilitation;
    (vii) Historic property preservation;
    (viii) Pollution prevention equipment or facilities;
    (vix) Demolition;
    (x) Disposal of hazardous materials and hazardous waste generated by 
demolition;
    (xi) Landscaping, grading, and other site or public improvements; 
and
    (xii) Planning for or the marketing of the development and reuse of 
the installation.
    (9) A commitment from the LRA to execute the agreement for transfer 
of the property and accept control of the property within a reasonable 
time, as determined by the Secretary concerned after consultation with 
the LRA, after the date of the property disposal record of decision. The 
determination of reasonable time should take account of the ability of 
the Secretary concerned to provide the deed covenants, or covenant 
deferral, provided for under section 120(h)(3) and (4) of the 
Comprehensive Environmental Response, Compensation, and Liability Act of 
1980 (42 U.S.C. 9620(h)(3) and (4)).
    (e) The Secretary concerned shall review the application and, to the 
extent practicable, provide a preliminary determination within 30 days 
of receipt as to whether the Military Department can accept the 
application for negotiation of terms and conditions, subject to the 
following findings:
    (1) The LRA submitting the application has been duly recognized by 
the DoD Office of Economic Adjustment;
    (2) The application is complete. With respect to the elements of the 
application specified in paragraph (d)(6) and (d)(7)(i) of this section, 
the Secretary concerned may accept the application for negotiation of 
terms and conditions without this element, provided the Secretary 
concerned is satisfied that the LRA has a reasonable plan in place to 
provide the element prior to transfer of the property; and
    (3) The proposed EDC will more effectively enable achievement of the 
job generation objectives of the redevelopment plan regarding the parcel 
requested than the application of other federal real property disposal 
authorities.
    (f) Upon acceptance of an EDC application, the Secretary concerned 
shall determine if the proposed terms and conditions are fair and 
reasonable. The Secretary concerned may propose and negotiate any 
alternative terms or conditions that the Secretary considers necessary. 
The following factors shall be considered, as appropriate, in evaluating 
the terms and conditions of the proposed transfer, including price, time 
of payment, and other relevant methods of compensation to the Federal 
government:
    (1) Local economic conditions and adverse impact of closure or 
realignment on the region and potential for economic recovery through an 
EDC.
    (2) Extent of short- and long-term job generation.
    (3) Consistency with the entire redevelopment plan.
    (4) Financial feasibility of the development and proposed 
consideration, including financial and market analysis and the need and 
extent of proposed infrastructure and other investments.
    (5) Extent of state and local investment, level of risk incurred, 
and the LRA's ability to implement the redevelopment plan. Higher risk 
assumed and investment made by the LRA

[[Page 1069]]

should be recognized with more favorable terms and conditions, to 
encourage local investment to support job generation.
    (6) Current local and regional real estate market conditions, 
including market demand for the property.
    (7) Incorporation of other Federal agency interests and concerns, 
including the applicability of other Federal surplus property disposal 
authorities.
    (8) Economic benefit to the Federal Government, including protection 
and maintenance cost savings, environmental clean-up savings, and 
anticipated consideration from the transfer.
    (9) Compliance with applicable Federal, state, interstate, and local 
laws and regulations.
    (g) The Secretary concerned shall negotiate the terms and conditions 
of each transaction with the LRA. The Secretary concerned shall have the 
discretion and flexibility to enter into agreements that specify the 
form of payment and the schedule.
    (h)(1) The Secretary concerned may accept, as consideration, any 
combination of the following:
    (i) Cash, including a share of the revenues that the local 
redevelopment authority receives from third-party buyers or lessees from 
sales and leases of the conveyed property (i.e., a share of the revenues 
generated from the redevelopment project);
    (ii) Goods and services;
    (iii) Real property and improvements; and
    (iv) Such other consideration as the Secretary considers 
appropriate.
    (2) The consideration may be accepted over time.
    (3) All cash consideration for property at a military installation 
where the date of approval of closure or realignment is before January 
1, 2005, shall be deposited in the account established under Section 
2906(a) of the Defense Base Closure and Realignment Act of 1990 (part A 
of title XXIX of Pub. L. 101-510; 10 U.S.C. 2687 note). All cash 
consideration for property at a military installation where the date of 
approval of closure or realignment is after January 1, 2005, shall be 
deposited in the account established under Section 2906A(a) of the 
Defense Base Closure and Realignment Act of 1990 (part A of title XXIX 
of Pub. L. 101-510; 10 U.S.C. 2687 note).
    (4) The Secretary concerned may use in-kind consideration received 
from an LRA at any location under control of the Secretary concerned.
    (i) The LRA and the Secretary concerned may agree on a schedule for 
sale of parcels and payment participation.
    (j) Additional provisions shall be incorporated in the conveyance 
documents to protect the Department's interest in obtaining the agreed 
upon consideration, which may include such items as predetermined 
release prices, accounting standards, or other appropriate clauses 
designed to ensure payment and protect against fraudulent transactions. 
Every agreement for an EDC shall contain provisions allowing the 
Secretary concerned to recoup from the LRA such portion of the proceeds 
from a sale or lease by the LRA as the Secretary concerned determines 
appropriate if the LRA does not use the proceeds to support economic 
redevelopment of or related to the installation during the period 
specified in paragraph (d)(8) of this section. The Secretary concerned 
and an LRA may enter into a mutually agreed participation agreement 
which may include input by the Secretary concerned on the LRA's disposal 
of EDC parcels.
    (k) The Secretary concerned should take account of property value 
but is not required to formally determine the estimated fair market 
value of the property for any EDC. The consideration negotiated should 
be based on a business plan and development pro-forma that assumes the 
uses in the redevelopment plan. The Secretary concerned may determine 
the nature and extent of any additional information needed for purposes 
of an informed negotiation. This may include, but is not limited to, an 
economic and market analysis, construction estimates, a real estate pro 
forrma analysis, or an appraisal. To the extent not prohibited by law, 
information used should be shared with the LRA.
    (l) After evaluating the application based upon the criteria 
specified in

[[Page 1070]]

paragraph (f) of this section, and negotiating terms and conditions, the 
Secretary concerned shall present the proposed EDC to the Deputy Under 
Secretary of Defense (Installations and Environment) for formal 
coordination before announcing approval of the application.

[76 FR 70880, Nov. 16, 2011]



Sec. 174.10  [Reserved]



Sec. 174.11  Leasing of real property to non-Federal entities.

    (a) Leasing of real property to non-Federal entities prior to the 
final disposition of closing and realigning installations may facilitate 
state and local economic adjustment efforts and encourage economic 
redevelopment, but the Secretary concerned will always concentrate on 
the final disposition of real and personal property.
    (b) In addition to leasing property at fair market value, to assist 
local redevelopment efforts the Secretary concerned may also lease real 
and personal property, pending final disposition, for less than fair 
market value if the Secretary determines that:
    (1) A public interest will be served as a result of the lease; and,
    (2) The fair market value of the lease is unobtainable or not 
compatible with such public benefit.
    (c) Pending final disposition of an installation, the Secretary 
concerned may grant interim leases which are short-term leases that make 
no commitment for future use or ultimate disposal. When granting an 
interim lease, the Secretary will generally lease to the LRA but can 
lease property directly to other entities. If the interim lease (after 
complying with NEPA) is entered into prior to completion of the final 
disposal decisions, the term may be for up to five years, including 
options to renew, and may contain restrictions on use. Leasing should 
not delay the final disposal of the property. After completion of the 
final disposal decisions, the term of the lease may be longer than five 
years.
    (d) If the property is leased for less than fair market value to the 
LRA and the interim lease permits the property to be subleased, the 
interim lease shall provide that rents from the subleases will be 
applied by the lessee to the protection, maintenance, repair, 
improvement, and costs related to the property at the installation 
consistent with 10 U.S.C. 2667.



Sec. 174.12  Leasing of transferred real property by Federal agencies.

    (a) The Secretary concerned may transfer real property that is still 
needed by a Federal agency (which for purposes of this section includes 
DoD Components) to an LRA provided the LRA agrees to lease the property 
to the Federal agency in accordance with all statutory and regulatory 
guidance.
    (b) The decision whether to transfer property pursuant to such a 
leasing arrangement rests with the Secretary concerned. However, a 
Secretary shall only transfer property subject to such a leasing 
arrangement if the Federal agency that needs the property agrees to the 
leasing arrangement.
    (c) If the subject property cannot be transferred pursuant to such a 
leasing arrangement (e.g., the relevant Federal agency prefers 
ownership, the LRA and the Federal agency cannot agree on terms of the 
lease, or the Secretary concerned determines that such a lease would not 
be in the Federal interest), such property shall remain in Federal 
ownership unless and until the Secretary concerned determines that it is 
surplus.
    (d) If a building or structure is proposed for transfer pursuant to 
this section, that which is leased by the Federal agency may be all or a 
portion of that building or structure.
    (e) Transfers pursuant to this section must be to an LRA.
    (f) Either existing Federal tenants or Federal agencies desiring to 
locate onto the property after operational closure may make use of such 
a leasing arrangement. The Secretary concerned may not enter into such a 
leasing arrangement unless:
    (1) In the case of a Defense Agency, the Secretary concerned is 
acting in an Executive Agent capacity on behalf of the Agency that 
certifies that such a leasing arrangement is in the interest of that 
Agency; or,
    (2) In the case of a Military Department, the Secretary concerned 
certifies that such a leasing arrangement

[[Page 1071]]

is in the best interest of the Military Department and that use of the 
property by the Military Department is consistent with the obligation to 
close or realign the installation in accordance with the recommendations 
of the Defense Base Closure and Realignment Commission.
    (g) Property eligible for such a leasing arrangement is not surplus 
because it is still needed by the Federal Government. Even though the 
LRA would not otherwise have to include such property in its 
redevelopment plan, it should include the property in its redevelopment 
plan anyway to take into account the planned Federal use of such 
property.
    (h) The terms of the LRA's lease to the Federal Government should 
afford the Federal agency rights as close to those associated with 
ownership of the property as is practicable. The requirements of the 
General Services Administration (GSA) Federal Acquisition Regulation (48 
CFR part 570) are not applicable to the lease, but provisions in that 
regulation may be used to the extent they are consistent with this part. 
The terms of the lease are negotiable subject to the following:
    (1) The lease shall be for a term of no more than 50 years, but may 
provide for options for renewal or extension of the term at the request 
of the Federal Government. The lease term should be based on the needs 
of the Federal agency.
    (2) The lease, or any renewals or extensions thereof, shall not 
require rental payments.
    (3) Notwithstanding paragraph (h)(2) of this section, if the lease 
involves a substantial portion of the installation, the Secretary 
concerned may obtain facility services for the leased property and 
common area maintenance from the LRA or the LRA's assignee as a 
provision of the lease.
    (A) Such services and common area maintenance shall be provided at a 
rate no higher than the rate charged to non-Federal tenants of the 
transferred property.
    (B) Such services and common area maintenance shall not include--
    (i) Municipal services that a State or local government is required 
by law to provide to all landowners in its jurisdiction without direct 
charge, including police protection; or
    (ii) Firefighting or security-guard functions.
    (C) The Federal agency may be responsible for services such as 
janitorial, grounds keeping, utilities, capital maintenance, and other 
services normally provided by a landlord. Acquisition of such services 
by the Federal agency is to be accomplished through the use of Federal 
Acquisition Regulation procedures or otherwise in accordance with 
applicable statutory and regulatory requirements.
    (4) The lease shall include a provision prohibiting the LRA from 
transferring fee title to another entity during the term of the lease, 
other than one of the political jurisdictions that comprise the LRA, 
without the written consent of the Federal agency occupying the leased 
property.
    (5)(i) The lease shall include an option specifying that if the 
Federal agency no longer needs the property before the expiration of the 
term of the lease, the remainder of the lease term may be satisfied by 
the same or another Federal agency that needs property for a similar 
use. (``Similar use'' is a use that is comparable to or essentially the 
same as the use under the original lease, as determined by the Secretary 
concerned.)
    (ii)(B) If the tenant is a DoD Component, before notifying GSA of 
the availability of the leasehold, it shall determine whether any other 
DoD Component has a requirement for the leasehold; in doing so, it shall 
consult with the LRA. If another DoD Component has a requirement for the 
leasehold, that DoD Component shall be allowed to assume the leasehold 
for the remainder of its term. If no DoD Component has a requirement for 
the leasehold, the tenant shall notify GSA in accordance with paragraph 
(h)(5)(ii)(A) of this section.
    (A) The Federal tenant shall notify the GSA of the availability of 
the leasehold. GSA will then decide whether to exercise this option 
after consulting with the LRA or other property owner. The GSA shall 
have 60 days from the date of notification in which to identify a 
Federal agency to serve out the term of the lease and to notify

[[Page 1072]]

the LRA or other property owner of the new tenant. If the GSA does not 
notify the LRA or other property owner of a new tenant within such 60 
days, the leasehold shall terminate on a date agreed to by the Federal 
tenant and the LRA or other property owner.
    (B) If the GSA decides not to exercise this option after consulting 
with the LRA or other property owner, the leasehold shall terminate on a 
date agreed to by the Federal tenant and the LRA or other property 
owner.
    (6) The terms of the lease shall provide that the Federal agency may 
repair and improve the property at its expense after consultation with 
the LRA.
    (i) Property subject to such a leasing arrangement shall be conveyed 
in accordance with the existing EDC procedures. The LRA shall submit the 
following in addition to the application requirements outlined in Sec. 
174.9(e) of this part:
    (1) A description of the parcel or parcels the LRA proposes to have 
transferred to it and then to lease to a Federal agency;
    (2) A written statement signed by an authorized representative of 
the Federal agency that it agrees to accept the lease of the property; 
and,
    (3) A statement explaining why such a leasing arrangement is 
necessary for the long-term economic redevelopment of the installation 
property.
    (j) The exact amount of consideration, or the formula to be used to 
determine that consideration, as well as the schedule for payment of 
consideration must be agreed upon in writing before transfer pursuant to 
this section.



                       Subpart E_Personal Property



Sec. 174.13  Personal property.

    (a) This section outlines procedures to allow transfer of personal 
property to the LRA for the effective implementation of a redevelopment 
plan. Personal property does not include fixtures.
    (b) The Secretary concerned, supported by DoD Components with 
personal property on the installation, will take an inventory of the 
personal property, including its condition, within 6 months after the 
date of approval of closure or realignment. This inventory will be 
limited to the personal property located on the real property to be 
disposed of by the Military Department. The inventory will be taken in 
consultation with LRA officials. If there is no LRA, the Secretary 
concerned shall consult with the local government in whose jurisdiction 
the installation is wholly located, or a local government agency or a 
State government agency designated for that purpose by the Governor of 
the State. Based on these consultations, the installation commander will 
determine the items or category of items that have the potential to 
enhance the reuse of the real property.
    (c) Except for property subject to the exemptions in paragraph (e) 
of this section, personal property with potential to enhance the reuse 
of the real property shall remain at an installation being closed or 
realigned until the earlier of:
    (1) One week after the Secretary concerned receives the 
redevelopment plan;
    (2) The date notified by the LRA that there will be no redevelopment 
plan;
    (3) 24 months after the date of approval of the closure or 
realignment of the installation; or
    (4) 90 days before the date of the closure or realignment of the 
installation.
    (d) National Guard property under the control of the United States 
Property and Fiscal Officer is subject to inventory and may be made 
available for redevelopment planning purposes.
    (e) Personal property may be removed upon approval of the 
installation commander or higher authority, as prescribed by the 
Secretary concerned, after the inventory required in paragraph (b) of 
this section has been sent to the LRA, when:
    (1) The property is required for the operation of a unit, function, 
component, weapon, or weapons system at another installation;
    (2) The property is uniquely military in character and is likely to 
have no civilian use (other than use for its material content or as a 
source of commonly used components). This property consists of 
classified items; nuclear, biological, and chemical items; weapons and 
munitions; museum property or

[[Page 1073]]

items of significant historic value that are maintained or displayed on 
loan; and similar military items;
    (3) The property is not required for the reutilization or 
redevelopment of the installation (as jointly determined by the 
Secretary concerned and the LRA);
    (4) The property is stored at the installation for purposes of 
distribution (including spare parts or stock items) or redistribution 
and sale (DoD excess/surplus personal property). This property includes 
materials or parts used in a manufacturing or repair function but does 
not include maintenance spares for equipment to be left in place;
    (5) The property meets known requirements of an authorized program 
of a DoD Component or another Federal agency that would have to purchase 
similar items, and is the subject of a written request by the head of 
the DoD Component or other Federal agency. If the authority to acquire 
personal property has been delegated, a copy of the delegation must 
accompany the request. (For purposes of this paragraph, ``purchase'' 
means the DoD Component or Federal agency intends to obligate funds in 
the current quarter or next six fiscal quarters.) The DoD Component or 
Federal agency must pay packing, crating, handling, and transportation 
charges associated with such transfers of personal property;
    (6) The property belongs to a nonappropriated fund instrumentality 
(NAFI) of the Department of Defense; separate arrangements for 
communities to purchase such property are possible and may be negotiated 
with the Secretary concerned;
    (7) The property is not owned by the Department of Defense, i.e., it 
is owned by a Federal agency outside the Department of Defense or by 
non-Federal persons or entities such as a State, a private corporation, 
or an individual; or,
    (8) The property is needed elsewhere in the national security 
interest of the United States as determined by the Secretary concerned. 
This authority may not be re-delegated below the level of an Assistant 
Secretary. In exercising this authority, the Secretary may transfer the 
property to any DoD Component or other Federal agency.
    (f) Personal property not subject to the exemptions in paragraph (e) 
of this section may be conveyed to the LRA as part of an EDC for the 
real property if the Secretary concerned makes a finding that the 
personal property is necessary for the effective implementation of the 
redevelopment plan.
    (g) Personal property may also be conveyed separately to the LRA 
under an EDC for personal property. This type of EDC can be made if the 
Secretary concerned determines that the transfer is necessary for the 
effective implementation of a redevelopment plan with respect to the 
installation. Such determination shall be based on the LRA's timely 
application for the property, which should be submitted to the Secretary 
upon completion of the redevelopment plan. The application must include 
the LRA's agreement to accept the personal property after a reasonable 
period and will otherwise comply with the requirements of Sec. Sec. 
174.9 and 174.10 of this part. The transfer will be subject to 
reasonable limitations and conditions on use.
    (h) Personal property that is not needed by a DoD Component or a 
tenant Federal agency or conveyed to an LRA (or a state or local 
jurisdiction in lieu of an LRA), or conveyed as related personal 
property together with the real property, will be transferred to the 
Defense Reutilization and Marketing Office for disposal in accordance 
with applicable regulations.
    (i) Useful personal property not needed by the Federal Government 
and not qualifying for transfer to the LRA under an EDC may be donated 
to the community or LRA through the appropriate State Agency for Surplus 
Property (SASP) under 41 CFR part 102-37 surplus program guidelines. 
Personal property donated under this procedure must meet the usage and 
control requirements of the applicable SASP.



                    Subpart F_Maintenance and Repair



Sec. 174.14  Maintenance and repair.

    (a) Facilities and equipment located on installations being closed 
are often important to the eventual reuse of the installation. This 
section provides maintenance procedures to preserve

[[Page 1074]]

and protect those facilities and items of equipment needed for reuse in 
an economical manner that facilitates installation redevelopment.
    (b) In order to ensure quick reuse, the Secretary concerned, in 
consultation with the LRA, will establish initial levels of maintenance 
and repair needed to aid redevelopment and to protect the property for 
the time periods set forth in paragraph (c) of this section. Where 
agreement between the Secretary and the LRA cannot be reached, the 
Secretary will determine the required levels of maintenance and repair 
and its duration. In no case will these initial levels of maintenance:
    (1) Exceed the standard of maintenance and repair in effect on the 
date of approval of closure or realignment;
    (2) Be less than maintenance and repair required to be consistent 
with Federal Government standards for excess and surplus properties as 
provided in the Federal Management Regulations of the GSA, 41 CFR part 
102;
    (3) Be less than the minimum levels required to support the use of 
such facilities or equipment for nonmilitary purposes; or,
    (4) Require any property improvements, including construction, 
alteration, or demolition, except when the demolition is required for 
health, safety, or environmental purposes, or is economically justified 
in lieu of continued maintenance expenditures.
    (c) Unless the Secretary concerned determines that it is in the 
national security interest of the United States, the levels of 
maintenance and repair specified in paragraph (b) of this section shall 
not be changed until the earlier of:
    (1) One week after the Secretary concerned receives the 
redevelopment plan;
    (2) The date notified by the LRA that there will be no redevelopment 
plan;
    (3) 24 months after the date of approval of the closure or 
realignment of the installation; or
    (4) 90 days before the date of the closure or realignment of the 
installation.
    (d) The Secretary concerned may extend the time period for the 
initial levels of maintenance and repair for property still under the 
Secretary's control for an additional period, if the Secretary 
determines that the LRA is actively implementing its redevelopment plan, 
and such levels of maintenance are justified.
    (e) Once the time period for the initial or extended levels of 
maintenance and repair expires, the Secretary concerned will reduce the 
levels of maintenance and repair to levels consistent with Federal 
Government standards for excess and surplus properties as provided in 
the Federal Management Regulations of the GSA, except in the case of 
facilities still being used to perform a DoD mission.



                     Subpart G_Environmental Matters



Sec. 174.15  Indemnification under Section 330 of the National Defense
Authorization Act for Fiscal Year 1993.

    Section 330 of the National Defense Authorization Act for Fiscal 
Year 1993, Pub. L. 102-484, as amended, provides for indemnification of 
transferees of closing Department of Defense properties under 
circumstances specified in that statute. The authority to implement this 
provision of law has been delegated by the Secretary of Defense to the 
General Counsel of the Department of Defense; therefore, this provision 
of law shall only be referred to or recited in any deed, sales 
agreement, bill of sale, lease, license, easement, right-of-way, or 
transfer document for real or personal property after obtaining the 
written concurrence of the Deputy General Counsel (Environment and 
Installations), Office of the General Counsel, Department of Defense.



Sec. 174.16  Real property containing explosive or chemical agent
hazards.

    The DoD Component controlling real property known to contain or 
suspected of containing explosive or chemical agent hazards from past 
DoD military munitions-related or chemical warfare-related activities 
shall, prior to transfer of the property out of Department of Defense 
control, obtain the DoD Explosives Safety Board's approval of measures 
planned to ensure protectiveness from such hazards, in accordance with 
DoD Directive 6055.9E, Explosives Safety Management and the DoD 
Explosives Safety Board.

[[Page 1075]]



Sec. 174.17  NEPA.

    At installations subject to this part, NEPA analysis shall comply 
with the promulgated NEPA regulations of the Military Department 
exercising real property accountability for the installation, including 
any requirements relating to responsibility for funding the analysis. 
See 32 CFR parts 651 (for the Army), 775 (for the Navy), and 989 (for 
the Air Force). Nothing in this section shall be interpreted as 
releasing a Military Department from complying with its own NEPA 
regulation.



Sec. 174.18  Historic preservation.

    (a) The transfer, lease, or sale of National Register-eligible 
historic property to a non-Federal entity at installations subject to 
this part may constitute an ``adverse effect'' under the regulations 
implementing the National Historic Preservation Act (36 CFR 
800.5(a)(2)(vii)). One way of resolving this adverse effect is to 
restrict the use that may be made of the property subsequent to its 
transfer out of Federal ownership or control through the imposition of 
legally enforceable restrictions or conditions. The Secretary concerned 
may include such restrictions or conditions (typically a real property 
interest in the form of a restrictive covenant or preservation easement) 
in any deed or lease conveying an interest in historic property to a 
non-Federal entity. Before doing so, the Secretary should first consider 
whether the historic character of the property can be protected 
effectively through planning and zoning actions undertaken by units of 
State or local government; if so, working with such units of State or 
local government to protect the property through these means is 
preferable to encumbering the property with such a covenant or easement.
    (b) Before including such a covenant or easement in a deed or lease, 
the Secretary concerned shall consider--
    (1) Whether the jurisdiction that encompasses the property 
authorizes such a covenant or easement; and
    (2) Whether the Secretary can give or assign to a third party the 
responsibility for monitoring and enforcing such a covenant or easement.

                           PART 175 [RESERVED]



PART 176_REVITALIZING BASE CLOSURE COMMUNITIES AND COMMUNITY ASSISTANCE
-COMMUNITY REDEVELOPMENT AND HOMELESS ASSISTANCE--Table of Contents



Sec.
176.1 Purpose.
176.5 Definitions.
176.10 Applicability.
176.15 Waivers and extensions of deadlines.
176.20 Overview of the process.
176.25 HUD's negotiations and consultations with the LRA.
176.30 LRA application.
176.35 HUD's review of the application.
176.40 Adverse determinations.
176.45 Disposal of buildings and property.

    Authority: 10 U.S.C. 2687 note.

    Source: 62 FR 35346, July 1, 1997, unless otherwise noted.



Sec. 176.1  Purpose.

    This part implements the Base Closure Community Redevelopment and 
Homeless Assistance Act, as amended (10 U.S.C. 2687 note), which 
instituted a new community-based process for addressing the needs of the 
homeless at base closure and realignment sites. In this process, Local 
Redevelopment Authorities (LRAs) identify interest from homeless 
providers in installation property and develop a redevelopment plan for 
the installation that balances the economic redevelopment and other 
development needs of the communities in the vicinity of the installation 
with the needs of the homeless in those communities. The Department of 
Housing and Urban Development (HUD) reviews the LRA's plan to see that 
an appropriate balance is achieved. This part also implements the 
process for identifying interest from State and local entities for 
property under a public benefit transfer. The LRA is responsible for 
concurrently identifying interest from homeless providers and State and 
local entities interested in property under a public benefit transfer.



Sec. 176.5  Definitions.

    As used in this part:
    CERCLA. Comprehensive Environmental Response, Compensation, and 
Liability Act (42 U.S.C. 9601 et seq.).

[[Page 1076]]

    Communities in the vicinity of the installation. The communities 
that constitute the political jurisdictions (other than the State in 
which the installation is located) that comprise the LRA for the 
installation. If no LRA is formed at the local level, and the State is 
serving in that capacity, the communities in the vicinity of the 
installation are deemed to be those political jurisdiction(s) (other 
than the State) in which the installation is located.
    Continuum of care system.
    (1) A comprehensive homeless assistance system that includes:
    (i) A system of outreach and assessment for determining the needs 
and condition of an individual or family who is homeless, or whether 
assistance is necessary to prevent an individual or family from becoming 
homeless;
    (ii) Emergency shelters with appropriate supportive services to help 
ensure that homeless individuals and families receive adequate emergency 
shelter and referral to necessary service providers or housing finders;
    (iii) Transitional housing with appropriate supportive services to 
help those homeless individuals and families who are not prepared to 
make the transition to independent living;
    (iv) Housing with or without supportive services that has no 
established limitation on the amount of time of residence to help meet 
long-term needs of homeless individuals and families; and,
    (v) Any other activity that clearly meets an identified need of the 
homeless and fills a gap in the continuum of care.
    (2) Supportive services are services that enable homeless persons 
and families to move through the continuum of care toward independent 
living. These services include, but are not limited to, case management, 
housing counseling, job training and placement, primary health care, 
mental health services, substance abuse treatment, child care, 
transportation, emergency food and clothing family violence services, 
education services, moving services, assistance in obtaining 
entitlements, and referral to veterans services and legal services.
    Consolidated Plan. The plan prepared in accordance with the 
requirements of 24 CFR part 91.
    Day. One calendar day including weekends and holidays.
    DoD. Department of Defense.
    HHS. Department of Health and Human Services.
    Homeless person.
    (1) An individual or family who lacks a fixed, regular, and adequate 
nighttime residence; and
    (2) An individual or family who has a primary nighttime residence 
that is:
    (i) A supervised publicly or privately operated shelter designed to 
provide temporary living accommodations (including welfare hotels, 
congregate shelters and transitional housing for the mentally ill);
    (ii) An institution that provides a temporary residence for 
individuals intended to be institutionalized; or,
    (iii) A public or private place not designed for, or ordinarily used 
as, a regular sleeping accommodation for human beings.
    (3) This term does not include any individual imprisoned or 
otherwise detained under an Act of the Congress or a State law.
    HUD. Department of Housing and Urban Development.
    Installation. A base, camp, post, station, yard, center, homeport 
facility for any ship or other activity under the jurisdiction of DoD, 
including any leased facility, that is approved for closure or 
realignment under the Base Closure and Realignment Act of 1988 (Pub. L. 
100-526). as amended, or the Defense Base Closure and Realignment Act of 
1990 (Pub. L. 101-510), as amended (both at 10 U.S.C. 2687, note).
    Local redevelopment authority (LRA). Any authority or 
instrumentality established by State or local government and recognized 
by the Secretary of Defense, through the Office of Economic Adjustment, 
as the entity responsible for developing the redevelopment plan with 
respect to the installation or for directing implementation of the plan.
    NEPA. National Environmental Policy Act of 1969 (42 U.S.C. 4320).
    OEA. Office of Economic Adjustment, Department of Defense.
    Private nonprofit organization. An organization, no part of the net 
earnings

[[Page 1077]]

of which inures to the benefit of any member, founder, contributor, or 
individual; that has a voluntary board; that has an accounting system or 
has designated an entity that will maintain a functioning accounting 
system for the organization in accordance with generally accepted 
accounting procedures; and that practices nondiscrimination in the 
provision of assistance.
    Public benefit transfer. The transfer of surplus military property 
for a specified public purpose at up to a 100-percent discount in 
accordance with 40 U.S.C. 471 et seq. or 49 U.S.C. 47151-47153.
    Redevelopment plan. A plan that is agreed by the LRA with respect to 
the installation and provides for the reuse or redevelopment of the real 
property and personal property of the installation that is available for 
such reuse and redevelopment as a result of the closure of the 
installation.
    Representative(s) of the homeless. A State or local government 
agency or private nonprofit organization, including a homeless 
assistance planning board, that provides or proposes to provide services 
to the homeless.
    Substantially equivalent. Property that is functionally suitable to 
substitute for property referred to in an approved Title V application. 
For example, if the representative of the homeless had an approved Title 
V application for a building that would accommodate 100 homeless persons 
in an emergency shelter, the replacement facility would also have to 
accommodate 100 at a comparable cost for renovation.
    Substantially equivalent funding. Sufficient funding to acquire a 
substantially equivalent facility.
    Surplus property. Any excess property not required for the needs and 
the discharge of the responsibilities of all Federal Agencies. Authority 
to make this determination, after screening with all Federal Agencies, 
rests with the Military Departments.
    Title V. Title V of the Steward B. McKinney Homeless Assistance Act 
of 1987 (42 U.S.C. 11411) as amended by the National Defense 
Authorization Act for Fiscal Year 1994 (Pub. L. 103-160).
    Urban county. A county within a metropolitan area as defined at 24 
CFR 570.3.



Sec. 176.10  Applicability.

    (a) General. This part applies to all installations that are 
approved for closure/realignment by the President and Congress under 
Pub. L. 101-510 after October 25, 1994.
    (b) Request for inclusion under this process. This part also applies 
to installations that were approved for closure/realignment under either 
Public Law 100-526 or Public Law 101-510 prior to October 25, 1994 and 
for which an LRA submitted a request for inclusion under this part to 
DoD by December 24, 1994. A list of such requests was published in the 
Federal Register on May 30, 1995 (60 FR 28089).
    (1) For installations with Title V applications pending but not 
approved before October 25, 1994, the LRA shall consider and 
specifically address any application for use of buildings and property 
to assist the homeless that were received by HHS prior to October 25, 
1994, and were spending with the Secretary of HHS on that date. These 
pending requests shall be addressed in the LRA's homeless assistance 
submission.
    (2) For installations with Title V applications approved before 
October 25, 1994 where there is an approved Title V application, but 
property has not been assigned or otherwise disposed of by the Military 
Department, the LRA must ensure that its homeless assistance submission 
provides the Title V applicant with:
    (i) The property requested;
    (ii) Properties, on or off the installation, that are substantially 
equivalent to those requested;
    (iii) Sufficient funding to acquire such substantially equivalent 
properties;
    (iv) Services and activities that meet the needs identified in the 
application; or,
    (v) A combination of the properties, funding, and services and 
activities described in Sec. 176.10(b)(2)(i)-(iv) of this part.
    (c) Revised Title V process. All other installations approved for 
closure or realignment under either Public Law

[[Page 1078]]

100-526 or Public Law 101-510 prior to October 25, 1994, for which there 
was no request for consideration under this part, are covered by the 
process stipulated under Title V. Buildings or property that were 
transferred or leased for homeless use under Title V prior to October 
25, 1994, may not be reconsidered under this part.



Sec. 176.15  Waivers and extensions of deadlines.

    (a) After consultation with the LRA and HUD, and upon a finding that 
it is in the interest of the communities affected by the closure/
realignment of the installation, DoD, through the Director of the Office 
of Economic Adjustment, may extend or postpone any deadline contained in 
this part.
    (b) Upon completion of a determination and finding of good cause, 
and except for deadlines and actions required on the part of DoD, HUD 
may waive any provision of Sec. Sec. 176.20 through 176.45 of this part 
in any particular case, subject only to statutory limitations.



Sec. 176.20  Overview of the process.

    (a) Recognition of the LRA. As soon as practicable after the list of 
installations recommended for closure or realignment is approved, DoD, 
through OEA, will recognize an LRA for the installation. Upon 
recognition, OEA shall publish the name, address, and point of contact 
for the LRA in the Federal Register and in a newspaper of general 
circulation in the communities in the vicinity of the installation.
    (b) Responsibilities of the Military Department. The Military 
Department shall make installation properties available to other DoD 
components and Federal agencies in accordance with the procedures set 
out at 32 CFR part 174. The Military Department will keep the LRA 
informed of other Federal interest in the property during this process. 
Upon completion of this process the Military Department will notify HUD 
and either the LRA or the Chief Executive Officer of the State, as 
appropriate, and publish a list of surplus property on the installation 
that will be available for reuse in the Federal Register and a newspaper 
of general circulation in the communities in the vicinity of the 
installation.
    (c) Responsibilities of the LRA. The LRA should begin to conduct 
outreach efforts with respect to the installation as soon as is 
practicable after the date of approval of closure/realignment of the 
installation. The local reuse planning process must begin no later than 
the date of the Military Department's Federal Register publication of 
available property described at Sec. 176.20(b). For those installations 
that began the process described in this part prior to August 17, 1995, 
HUD will, on a case-by-case basis, determine whether the statutory 
requirements have been fulfilled and whether any additional requirements 
listed in this part should be required. Upon the Federal Register 
publication described in Sec. 176.20(b), the LRA shall:
    (1) Publish, within 30 days, in a newspaper of general circulation 
in the communities in the vicinity of the installation, the time period 
during which the LRA will receive notices of interest from State and 
local governments, representatives of the homeless, and other interested 
parties. This publication shall include the name, address, telephone 
number and the point of contact for the LRA who can provide information 
on the prescribed form and contents of the notices of interest. The LRA 
shall notify DoD of the deadline specified for receipt of notices of 
interest. LRAs are strongly encouraged to make this publication as soon 
as possible within the permissible 30 day period in order to expedite 
the closure process.
    (i) In addition, the LRA has the option to conduct an informal 
solicitation of notices of interest from public and non-profit entities 
interested in obtaining property via a public benefit transfer other 
than a homeless assistance conveyance under either 40 U.S.C. 471 et. 
seq. or 49 U.S.C. 47151-47153. As part of such a solicitation, the LRA 
may wish to request that interested entities submit a description of the 
proposed use to the LRA and the sponsoring Federal agency.
    (ii) For all installations selected for closure or realignment prior 
to 1995 that elected to proceed under Public Law 103-421, the LRA shall 
accept notices of interest for not less than 30 days.

[[Page 1079]]

    (iii) For installations selected for closure or realignment in 1995 
or thereafter, notices of interest shall be accepted for a minimum of 90 
days and not more than 180 days after the LRA's publication under Sec. 
176.20(c)(1).
    (2) Prescribe the form and contents of notices of interest.
    (i) The LRA may not release to the public any information regarding 
the capacity of the representative of the homeless to carry out its 
program, a description of the organization, or its financial plan for 
implementing the program, without the consent of the representative of 
the homeless concerned, unless such release is authorized under Federal 
law and under the law of the State and communities in which the 
installation concerned is located. The identity of the representative of 
the homeless may be disclosed.
    (ii) The notices of interest from representatives of the homeless 
must include:
    (A) A description of the homeless assistance program proposed, 
including the purposes to which the property or facility will be put, 
which may include uses such as supportive services, job and skills 
training, employment programs, shelters, transitional housing or housing 
with no established limitation on the amount of time of residence, food 
and clothing banks, treatment facilities, or any other activity which 
clearly meets an identified need of the homeless and fills a gap in the 
continuum of care;
    (B) A description of the need for the program;
    (C) A description of the extent to which the program is or will be 
coordinated with other homeless assistance programs in the communities 
in the vicinity of the installation;
    (D) Information about the physical requirements necessary to carry 
out the program including a description of the buildings and property at 
the installation that are necessary to carry out the program;
    (E) A description of the financial plan, the organization, and the 
organizational capacity of the representative of the homeless to carry 
out the program; and,
    (F) An assessment of the time required to start carrying out the 
program.
    (iii) The notices of interest from entities other than 
representatives of the homeless should specify the name of the entity 
and specific interest in property or facilities along with a description 
of the planned use.
    (3) In addition to the notice required under Sec. 176.20(c)(1), 
undertake outreach efforts to representatives of the homeless by 
contacting local government officials and other persons or entities that 
may be interested in assisting the homeless within the vicinity of the 
installation.
    (i) The LRA may invite persons and organizations identified on the 
HUD list of representatives of the homeless and any other 
representatives of the homeless with which the LRA is familiar, 
operating in the vicinity of the installation, to the workshop described 
in Sec. 176.20(c)(3)(ii).
    (ii) The LRA, in coordination with the Military Department and HUD, 
shall conduct at least one workshop where representatives of the 
homeless have an opportunity to:
    (A) Learn about the closure/realignment and disposal process;
    (B) Tour the buildings and properties available either on or off the 
installation;
    (C) Learn about the LRA's process and schedule for receiving notices 
of interest as guided by Sec. 176.20(c)(2); and,
    (D) Learn about any known land use constraints affecting the 
available property and buildings.
    (iii) The LRA should meet with representatives of the homeless that 
express interest in discussing possible uses for these properties to 
alleviate gaps in the continuum of care.
    (4) Consider various properties in response to the notices of 
interest. The LRA may consider property that is located off the 
installation.
    (5) Develop an application, including the redevelopment plan and 
homeless assistance submission, explaining how the LRA proposes to 
address the needs of the homeless. This application shall consider the 
notices of interest received from State and local governments, 
representatives of the homeless, and other interested parties. This 
shall

[[Page 1080]]

include, but not be limited to, entities eligible for public benefit 
transfers under either 40 U.S.C. 471 et. seq., or 49 U.S.C. 47151-47153; 
representatives of the homeless; commercial, industrial, and residential 
development interests; and other interests. From the deadline date for 
receipt of notices of interest described at Sec. 176.20(c)(1), the LRA 
shall have 270 days to complete and submit the LRA application to the 
appropriate Military Department and HUD. The application requirements 
are described at Sec. 176.30.
    (6) Make the draft application available to the public for review 
and comment periodically during the process of developing the 
application. The LRA must conduct at least one public hearing on the 
application prior to its submission to HUD and the appropriate Military 
Department. A summary of the public comments received during the process 
of developing the application shall be included in the application when 
it is submitted.
    (d) Public benefit transfer screening. The LRA should, while 
conducting its outreach efforts, work with the Federal agencies that 
sponsor public benefit transfers under either 40 U.S.C. 471 et. seq. or 
49 U.S.C. 47151-47153. Those agencies can provide a list of parties in 
the vicinity of the installation that might be interested in and 
eligible for public benefit transfers. The LRA should make a reasonable 
effort to inform such parties of the availability of the property and 
incorporate their interests within the planning process. Actual 
recipients of property are to be determined by sponsoring Federal 
agency. The Military Departments shall notify sponsoring Federal 
agencies about property that is available based on the community 
redevelopment plan and keep the LRA apprised of any expressions of 
interest. Such expressions of interest are not required to be 
incorporated into the redevelopment plan, but must be considered.

[62 FR 35346, July 1, 1997, as amended at 71 FR 9927, Feb. 28, 2006]



Sec. 176.25  HUD's negotiations and consultations with the LRA.

    HUD may negotiate and consult with the LRA before and during the 
course of preparation of the LRA's application and during HUD's review 
thereof with a view toward avoiding any preliminary determination that 
the application does not meet any requirement of this part. LRAs are 
encouraged to contact HUD for a list of persons and organizations that 
are representatives of the homeless operating in the vicinity of the 
installation.



Sec. 176.30  LRA application.

    (a) Redevelopment plan. A copy of the redevelopment plan shall be 
part of the application.
    (b) Homeless assistance submission. This component of the 
application shall include the following:
    (1) Information about homelessness in the communities in the 
vicinity of the installation.
    (i) A list of all the political jurisdictions which comprise the 
LRA.
    (ii) A description of the unmet need in the continuum of care system 
within each political jurisdiction, which should include information 
about any gaps that exist in the continuum of care for particular 
homeless subpopulations. The source for this information shall depend 
upon the size and nature of the political jurisdictions(s) that comprise 
the LRA. LRAs representing:
    (A) Political jurisdictions that are required to submit a 
Consolidated Plan shall include a copy of their Homeless and Special 
Needs Population Table (Table 1), Priority Homeless Needs Assessment 
Table (Table 2), and narrative description thereof from that 
Consolidated Plan, including the inventory of facilities and services 
that assist the homeless in the jurisdiction.
    (B) Political jurisdictions that are part of an urban county that is 
required to submit a Consolidated Plan shall include a copy of their 
Homeless and Special Needs Population Table (Table 1), Priority Homeless 
Needs Assessment Table (Table 2), and narrative description thereof from 
that Consolidated Plan, including the inventory of facilities and 
services that assist the homeless in the jurisdiction. In addition, the 
LRA shall explain what portion of the homeless population and 
subpopulations described in the Consolidated Plan are attributable to 
the political jurisdiction it represents.

[[Page 1081]]

    (C) A political jurisdiction not described by Sec. 
176.30(b)(1)(ii)(A) or Sec. 176.30(b)(1)(ii)(B) shall submit a 
narrative description of what it perceives to be the homeless population 
within the jurisdiction and a brief inventory of the facilities and 
services that assist homeless persons and families within the 
jurisdiction. LRAs that represent these jurisdictions are not required 
to conduct surveys of the homeless population.
    (2) Notices of interest proposing assistance to homeless persons 
and/or families.
    (i) A description of the proposed activities to be carried out on or 
off the installation and a discussion of how these activities meet a 
portion or all of the needs of the homeless by addressing the gaps in 
the continuum of care. The activities need not be limited to expressions 
of interest in property, but may also include discussions of how 
economic redevelopment may benefit the homeless;
    (ii) A copy of each notice of interest from representatives of the 
homeless for use of buildings and property and a description of the 
manner in which the LRA's application addresses the need expressed in 
each notice of interest. If the LRA determines that a particular notice 
of interest should not be awarded property, an explanation of why the 
LRA determined not to support that notice of interest, the reasons for 
which may include the impact of the program contained in the notice of 
interest on the community as described in Sec. 176.30(b)(2)(iii); and,
    (iii) A description of the impact that the implemented redevelopment 
plan will have on the community. This shall include information on how 
the LRA's redevelopment plan might impact the character of existing 
neighborhoods adjacent to the properties proposed to be used to assist 
the homeless and should discuss alternative plans. Impact on schools, 
social services, transportation, infrastructure, and concentration of 
minorities and/or low income persons shall also be discussed.
    (3) Legally binding agreements for buildings, property, funding, 
and/or services.
    (i) A copy of the legally binding agreements that the LRA proposes 
to enter into with the representative(s) of the homeless selected by the 
LRA to implement homeless programs that fill gaps in the existing 
continuum of care. The legally binding agreements shall provide for a 
process for negotiating alternative arrangements in the event that an 
environmental analysis conducted under Sec. 176.45(b) indicates that 
any property identified for transfer in the agreement is not suitable 
for the intended purpose. Where the balance determined in accordance 
with Sec. 176.30(b)(4) provides for the use of installation property as 
a homeless assistance facility, legally binding agreements must provide 
for the reversion or transfer, either to the LRA or to another entity or 
entities, of the buildings and property in the event they cease to be 
used for the homeless. In cases where the balance proposed by the LRA 
does not include the use of buildings or property on the installation, 
the legally binding agreements need not be tied to the use of specific 
real property and need not include a reverter clause. Legally binding 
agreements shall be accompanied by a legal opinion of the chief legal 
advisor of the LRA or political jurisdiction or jurisdictions which will 
be executing the legally binding agreements that the legally binding 
agreements, when executed, will constitute legal, valid, binding, and 
enforceable obligations on the parties thereto;
    (ii) A description of how buildings, property, funding, and/or 
services either on or off the installation will be used to fill some of 
the gaps in the current continuum of care system and an explanation of 
the suitability of the buildings and property for that use; and,
    (iii) Information on the availability of general services such as 
transportation, police, and fire protection, and a discussion of 
infrastructure such as water, sewer, and electricity in the vicinity of 
the proposed homeless activity at the installation.
    (4) An assessment of the balance with economic and other development 
needs.
    (i) An assessment of the manner in which the application balances 
the expressed needs of the homeless and the needs of the communities 
comprising

[[Page 1082]]

the LRA for economic redevelopment and other development; and
    (ii) An explanation of how the LRA's application is consistent with 
the appropriate Consolidated Plan(s) or any other existing housing, 
social service, community, economic, or other development plans adopted 
by the jurisdictions in the vicinity of the installation.
    (5) A description of the outreach undertaken by the LRA. The LRA 
shall explain how the outreach requirements described at Sec. 
176.20(c)(1) and Sec. 176.20(c)(3) have been fulfilled. This 
explanation shall include a list of the representatives of the homeless 
the LRA contacted during the outreach process.
    (c) Public comments. The LRA application shall include the materials 
described at Sec. 176.20(c)(6). These materials shall be prefaced with 
an overview of the citizen participation process observed in preparing 
the application.



Sec. 176.35  HUD's review of the application.

    (a) Timing. HUD shall complete a review of each application no later 
than 60 days after its receipt of a completed application.
    (b) Standards of review. The purpose of the review is to determine 
whether the application is complete and, with respect to the expressed 
interest and requests of representatives of the homeless, whether the 
application:
    (1) Need. Takes into consideration the size and nature of the 
homeless population in the communities in the vicinity of the 
installation, the availability of existing services in such communities 
to meet the needs of the homeless in such communities, and the 
suitability of the buildings and property covered by the application for 
use and needs of the homeless in such communities. HUD will take into 
consideration the size and nature of the installation in reviewing the 
needs of the homeless population in the communities in the vicinity of 
the installation.
    (2) Impact of notices of interest. Takes into consideration any 
economic impact of the homeless assistance under the plan on the 
communities in the vicinity of the installation, including:
    (i) Whether the plan is feasible in light of demands that would be 
placed on available social services, police and fire protection, and 
infrastructure in the community; and,
    (ii) Whether the selected notices of interest are consistent with 
the Consolidated Plan(s) of any other existing housing, social service, 
community economic, or other development plans adopted by the political 
jurisdictions in the vicinity of the installation.
    (3) Legally binding agreements. Specifies the manner in which the 
buildings, property, funding, and/or services on or off the installation 
will be made available for homeless assistance purposes. HUD will review 
each legally binding agreement to verify that:
    (i) They include all the documents legally required to complete the 
transactions necessary to realize the homeless use(s) described in the 
application;
    (ii) They include all appropriate terms and conditions;
    (iii) They address the full range of contingencies including those 
described at Sec. 176.30(b)(3)(i);
    (iv) They stipulate that the buildings, property, funding, and/or 
services will be made available to the representatives of the homeless 
in a timely fashion; and,
    (v) They are accompanied by a legal opinion of the chief legal 
advisor of the LRA or political jurisdiction or jurisdictions which will 
be executing the legally binding agreements that the legally binding 
agreements will, when executed, constitute legal, valid, binding, and 
enforceable obligations on the parties thereto.
    (4) Balance. Balances in an appropriate manner a portion or all of 
the needs of the communities in the vicinity or the installation for 
economic redevelopment and other development with the needs of the 
homeless in such communities.
    (5) Outreach. Was developed in consultation with representatives of 
the homeless and the homeless assistance planning boards, if any, in the 
communities in the vicinity of the installation and whether the outreach 
requirements described at Sec. 176.20(c)(1) and Sec. 176.20(c)(3) have 
been fulfilled by the LRA.

[[Page 1083]]

    (c) Notice of determination. (1) HUD shall, no later than the 60th 
day after its receipt of the application, unless such deadline is 
extended pursuant to Sec. 176.15(a), send written notification both to 
DoD and the LRA of its preliminary determination that the application 
meets or fails to meet the requirements of Sec. 176.35(b). If the 
application fails to meet the requirements, HUD will send the LRA:
    (i) A summary of the deficiencies in the application;
    (ii) An explanation of the determination; and,
    (iii) A statement of how the LRA must address the determinations.
    (2) In the event that no application is submitted and no extension 
is requested as of the deadline specified in Sec. 176.20(c)(5), and the 
State does not accept within 30 days a DoD written request to become 
recognized as the LRA, the absence of such application will trigger an 
adverse determination by HUD effective on the date of the lapsed 
deadline. Under these conditions, HUD will follow the process described 
at Sec. 176.40.
    (d) Opportunity to cure. (1) The LRA shall have 90 days from its 
receipt of the notice of preliminary determination under Sec. 
176.35(c)(1) within which to submit to HUD and DoD a revised application 
which addresses the determinations listed in the notice. Failure to 
submit a revised application shall result in a final determination, 
effective 90 days from the LRA's receipt of the preliminary 
determination, that the redevelopment plan fails to meet the 
requirements of Sec. 176.35(b).
    (2) HUD shall, within 30 days of its receipt of the LRA's 
resubmission send written notification of its final determination of 
whether the application meets the requirements of Sec. 176.35(b) to 
both DOD and the LRA.



Sec. 176.40  Adverse determinations.

    (a) Review and consultation. If the resubmission fails to meet the 
requirements of Sec. 176.35(b) or if no resubmission is received, HUD 
will review the original application, including the notices of interest 
submitted by representatives of the homeless. In addition, in such 
instances or when no original application has been submitted, HUD:
    (1) Shall consult with the representatives of the homeless, if any, 
for purposes of evaluation the continuing interest of such 
representatives in the use of buildings or property at the installation 
to assist the homeless;
    (2) May consult with the applicable Military Department regarding 
the suitability of the buildings and property at the installation for 
use to assist the homeless; and,
    (3) May consult with representatives of the homeless and other 
parties as necessary.
    (b) Notice of decision. (1) Within 90 days of receipt of an LRA's 
revised application which HUD determines does not meet the requirements 
of Sec. 176.35(b), HUD shall, based upon its reviews and consultations 
under Sec. 176.40(a):
    (i) Notify DoD and the LRA of the buildings and property at the 
installation that HUD determines are suitable for use to assist the 
homeless, and;
    (ii) Notify DoD and the LRA of the extent to which the revised 
redevelopment plan meets the criteria set forth in Sec. 176.35(b).
    (2) In the event that an LRA does not submit a revised redevelopment 
plan under Sec. 176.35(d), HUD shall, based upon its reviews and 
consultations under Sec. 176.40(a), notify DoD and the LRA of the 
buildings and property at the installation that HUD determines are 
suitable for use to assist the homeless, either
    (i) Within 190 days after HUD sends its notice of preliminary 
adverse determination under Sec. 176.35(c)(1), if an LRA has not 
submitted a revised redevelopment plan; or
    (ii) Within 390 days after the Military Department's Federal 
Register publication of available property under Sec. 176.20(b), if no 
redevelopment plan has been received and no extension has been approved.



Sec. 176.45  Disposal of buildings and property.

    (a) Puglic benefit transfer screening. Not later than the LRA's 
submission of its redevelopment plan to DoD and HUD, the Military 
Development will conduct an official public benefit

[[Page 1084]]

transfer screening in accordance with the Federal Property Management 
Regulations (41 CFR 101-47.303-2) based upon the uses identified in the 
redevelopment plan. Federal sponsoring agencies shall notify eligible 
applicants that any request for property must be consistent with the 
uses identified in the redevelopment plan. At the request of the LRA, 
the Military Department may conduct the official State and local public 
benefit screening at any time after the publication of available 
property described at Sec. 176.20(b).
    (b) Environmental analysis. Prior to disposal of any real property, 
the Military Department shall, consistent with NEPA and section 2905 of 
the Defense Base Closure and Realignment Act of 1990, as amended (10 
U.S.C. 2687 note), complete an environmental impact analysis of all 
reasonable disposal alternatives. The Military Department shall consult 
with the LRA throughout the environmental impact analysis process to 
ensure both that the LRA is provided the most current environmental 
information available concerning the installation, and that the Military 
Department receives the most current information available concerning 
the LRA's redevelopment plans for the installation.
    (c) Disposal. Upon receipt of a notice of approval of an application 
from HUD under Sec. 176.35(c)(1) or Sec. 176.35(d)(2), DoD shall 
dispose of buildings and property in accordance with the record of 
decision or other decision document prepared under Sec. 176.45(b). 
Disposal of buildings and property to be used as homeless assistance 
facilities shall be to either the LRA or directly to the 
representative(s) of the homeless and shall be without consideration. 
Upon receipt of a notice from HUD under Sec. 176.40(b), DoD will 
dispose of the buildings and property at the installation in 
consultation with HUD and the LRA.
    (d) LRA's responsibility. The LRA shall be responsible for the 
implementation of and compliance with legally binding agreements under 
the application.
    (e) Reversions to the LRA. If a building or property reverts to the 
LRA under a legally binding agreement under the application, the LRA 
shall take appropriate actions to secure, to the maximum extent 
practicable, the utilization of the building or property by other 
homeless representatives to assist the homeless. An LRA may not be 
required to utilize the building or property to assist the homeless.



PART 179_MUNITIONS RESPONSE SITE PRIORITIZATION PROTOCOL (MRSPP)
--Table of Contents



Sec.
179.1 Purpose.
179.2 Applicability and scope.
179.3 Definitions.
179.4 Policy.
179.5 Responsibilities.
179.6 Procedures.
179.7 Sequencing.

Appendix A to Part 179--Tables of the Munitions Response Site 
          Prioritization Protocol (MRSPP).

    Authority: 10 U.S.C. 2710 et seq.

    Source: 70 FR 58028, Oct. 5, 2005, unless otherwise noted.



Sec. 179.1  Purpose.

    The Department of Defense (the Department) is adopting this 
Munitions Response Site Prioritization Protocol (MRSPP) (hereinafter 
referred to as the ``rule'') under the authority of 10 U.S.C. 2710(b). 
Provisions of 10 U.S.C. 2710(b) require that the Department assign to 
each defense site in the inventory required by 10 U.S.C. 2710(a) a 
relative priority for response activities based on the overall 
conditions at each location and taking into consideration various 
factors related to safety and environmental hazards.



Sec. 179.2  Applicability and scope.

    (a) This part applies to the Office of the Secretary of Defense, the 
Military Departments, the Defense Agencies and the Department Field 
Activities, and any other Department organizational entity or 
instrumentality established to perform a government function (hereafter 
referred to collectively as the ``Components'').
    (b) The rule in this part shall be applied at all locations:
    (1) That are, or were, owned by, leased to, or otherwise possessed 
or used by the Department, and

[[Page 1085]]

    (2) That are known to, or suspected of, containing unexploded 
ordnance (UXO), discarded military munitions (DMM), or munitions 
constituents (MC), and
    (3) That are included in the inventory established pursuant to 10 
U.S.C. 2710(a).
    (c) The rule in this part shall not be applied at the locations not 
included in the inventory required under 10 U.S.C. 2710(a). The 
locations not included in the inventory are:
    (1) Locations that are not, or were not, owned by, leased to, or 
otherwise possessed or used by the Department,
    (2) Locations neither known to contain, or suspected of containing, 
UXO, DMM, or MC,
    (3) Locations outside the United States,
    (4) Locations where the presence of military munitions results from 
combat operations,
    (5) Currently operating military munitions storage and manufacturing 
facilities,
    (6) Locations that are used for, or were permitted for, the 
treatment or disposal of military munitions, and
    (7) Operational ranges.



Sec. 179.3  Definitions.

    This part includes definitions for many terms that clarify its scope 
and applicability. Many of the terms relevant to this part are already 
defined, either in 10 U.S.C. 101, 10 U.S.C. 2710(e), or the Code of 
Federal Regulations. Where this is the case, the statutory and 
regulatory definitions are repeated here strictly for ease of reference. 
Citations to the U.S. Code or the Code of Federal Regulations are 
provided with the definition, as applicable. Unless used elsewhere in 
the U.S. Code or the Code of Federal Regulations, these terms are 
defined only for purposes of this part.
    Barrier means a natural obstacle or obstacles (e.g., difficult 
terrain, dense vegetation, deep or fast-moving water), a man-made 
obstacle or obstacles (e.g., fencing), and combinations of natural and 
man-made obstacles.
    Chemical agent (CA) means a chemical compound (to include 
experimental compounds) that, through its chemical properties produces 
lethal or other damaging effects on human beings, is intended for use in 
military operations to kill, seriously injure, or incapacitate persons 
through its physiological effects. Excluded are research, development, 
testing and evaluation (RDTE) solutions; riot control agents; chemical 
defoliants and herbicides; smoke and other obscuration materials; flame 
and incendiary materials; and industrial chemicals. (This definition is 
based on the definition of ``chemical agent and munition'' in 50 U.S.C. 
1521(j)(1).)
    Chemical Agent (CA) Hazard is a condition where danger exists 
because CA is present in a concentration high enough to present 
potential unacceptable effects (e.g., death, injury, damage) to people, 
operational capability, or the environment.
    Chemical Warfare Materiel (CWM) means generally configured as a 
munition containing a chemical compound that is intended to kill, 
seriously injure, or incapacitate a person through its physiological 
effects. CWM includes V- and G-series nerve agents or H-series (mustard) 
and L-series (lewisite) blister agents in other-than-munition 
configurations; and certain industrial chemicals (e.g., hydrogen cyanide 
(AC), cyanogen chloride (CK), or carbonyl dichloride (called phosgene or 
CG)) configured as a military munition. Due to their hazards, 
prevalence, and military-unique application, chemical agent 
identification sets (CAIS) are also considered CWM. CWM does not include 
riot control devices; chemical defoliants and herbicides; industrial 
chemicals (e.g., AC, CK, or CG) not configured as a munition; smoke and 
other obscuration-producing items; flame and incendiary-producing items; 
or soil, water, debris, or other media contaminated with low 
concentrations of chemical agents where no CA hazards exist. For the 
purposes of this Protocol, CWM encompasses four subcategories of 
specific materials:
    (1) CWM, explosively configured are all munitions that contain a CA 
fill and any explosive component. Examples are M55 rockets with CA, the 
M23 VX mine, and the M360 105-mm GB artillery cartridge.
    (2) CWM, nonexplosively configured are all munitions that contain a 
CA fill, but that do not contain any explosive

[[Page 1086]]

components. Examples are any chemical munition that does not contain 
explosive components and VX or mustard agent spray canisters.
    (3) CWM, bulk container are all non-munitions-configured containers 
of CA (e.g., a ton container) and CAIS K941, toxic gas set M-1 and K942, 
toxic gas set M-2/E11.
    (4) CAIS are military training aids containing small quantities of 
various CA and other chemicals. All forms of CAIS are scored the same in 
this rule, except CAIS K941, toxic gas set M-1; and CAIS K942, toxic gas 
set M-2/E11, which are considered forms of CWM, bulk container, due to 
the relatively large quantities of agent contained in those types of 
sets.
    Components means the Office of the Secretary of Defense, the 
Military Departments, the Defense Agencies, the Department Field 
Activities, and any other Department organizational entity or 
instrumentality established to perform a government function.
    Defense site means locations that are or were owned by, leased to, 
or otherwise possessed or used by the Department. The term does not 
include any operational range, operating storage or manufacturing 
facility, or facility that is used for or was permitted for the 
treatment or disposal of military munitions. (10 U.S.C. 2710(e)(1))
    Discarded military munitions (DMM) means military munitions that 
have been abandoned without proper disposal or removed from storage in a 
military magazine or other storage area for the purpose of disposal. The 
term does not include UXO, military munitions that are being held for 
future use or planned disposal, or military munitions that have been 
properly disposed of consistent with applicable environmental laws and 
regulations. (10 U.S.C. 2710(e)(2))
    Explosive hazard means a condition where danger exists because 
explosives are present that may react (e.g., detonate, deflagrate) in a 
mishap with potential unacceptable effects (e.g., death, injury, damage) 
to people, property, operational capability, or the environment.
    Military munitions means all ammunition products and components 
produced for or used by the armed forces for national defense and 
security, including ammunition products or components under the control 
of the Department of Defense, the Coast Guard, the Department of Energy, 
and the National Guard. The term includes confined gaseous, liquid, and 
solid propellants; explosives, pyrotechnics, chemical and riot control 
agents, smokes, and incendiaries, including bulk explosives and chemical 
warfare agents; chemical munitions, rockets, guided and ballistic 
missiles, bombs, warheads, mortar rounds, artillery ammunition, small 
arms ammunition, grenades, mines, torpedoes, depth charges, cluster 
munitions and dispensers, and demolition charges; and devices and 
components of any item thereof. The term does not include wholly inert 
items, improvised explosive devices, and nuclear weapons, nuclear 
devices, and nuclear components, other than nonnuclear components of 
nuclear devices that are managed under the nuclear weapons program of 
the Department of Energy after all required sanitization operations 
under the Atomic Energy Act of 1954 (42 U.S.C. 2011 et seq.) have been 
completed. (10 U.S.C. 101(e)(4))
    Military range means designated land and water areas set aside, 
managed, and used to research, develop, test, and evaluate military 
munitions, other ordnance, or weapon systems, or to train military 
personnel in their use and handling. Ranges include firing lines and 
positions, maneuver areas, firing lanes, test pads, detonation pads, 
impact areas, and buffer zones with restricted access and exclusionary 
areas. (40 CFR 266.201)
    Munitions and explosives of concern distinguishes specific 
categories of military munitions that may pose unique explosives safety 
risks, such as UXO, as defined in 10 U.S.C. 101(e)(5); discarded 
military munitions, as defined in 10 U.S.C. 2710(e)(2); or munitions 
constituents (e.g., TNT, RDX), as defined in 10 U.S.C. 2710(e)(3), 
present in high enough concentrations to pose an explosive hazard.
    Munitions constituents means any materials originating from UXO, 
discarded military munitions, or other military munitions, including 
explosive and nonexplosive materials, and

[[Page 1087]]

emission, degradation, or breakdown elements of such ordnance or 
munitions. (10 U.S.C. 2710(e)(3))
    Munitions response means response actions, including investigation, 
removal actions, and remedial actions, to address the explosives safety, 
human health, or environmental risks presented by UXO, discarded 
military munitions (DMM), or munitions constituents (MC), or to support 
a determination that no removal or remedial action is required.
    Munitions response area (MRA) means any area on a defense site that 
is known or suspected to contain UXO, DMM, or MC. Examples are former 
ranges and munitions burial areas. An MRA comprises one or more 
munitions response sites.
    Munitions response site (MRS) means a discrete location within an 
MRA that is known to require a munitions response.
    Operational range means a range that is under the jurisdiction, 
custody, or control of the Secretary of Defense and that is used for 
range activities, or although not currently being used for range 
activities, that is still considered by the Secretary to be a range and 
has not been put to a new use that is incompatible with range 
activities. (10 U.S.C. 101(e)(3))
    Range means a designated land or water area that is set aside, 
managed, and used for range activities of the Department of Defense. The 
term includes firing lines and positions, maneuver areas, firing lanes, 
test pads, detonation pads, impact areas, electronic scoring sites, 
buffer zones with restricted access, and exclusionary areas. The term 
also includes airspace areas designated for military use in accordance 
with regulations and procedures prescribed by the Administrator of the 
Federal Aviation Administration. (10 U.S.C. 101(e)(1)(A) and (B))
    Range activities means research, development, testing, and 
evaluation of military munitions, other ordnance, and weapons systems; 
and the training of members of the armed forces in the use and handling 
of military munitions, other ordnance, and weapons systems. (10 U.S.C. 
101(3)(2))
    Unexploded ordnance (UXO) means military munitions that:
    (1) Have been primed, fuzed, armed, or otherwise prepared for 
action;
    (2) Have been fired, dropped, launched, projected, or placed in such 
a manner as to constitute a hazard to operations, installations, 
personnel, or material; and
    (3) Remain unexploded, whether by malfunction, design, or any other 
cause. (10 U.S.C. 101(e)(5))
    United States means, in a geographic sense, the states, territories, 
and possessions and associated navigable waters, contiguous zones, and 
ocean waters of which the natural resources are under the exclusive 
management authority of the United States. (10 U.S.C. 2710(e)(10))



Sec. 179.4  Policy.

    (a) In assigning a relative priority for response activities, the 
Department generally considers those MRSs posing the greatest hazard as 
being the highest priority for action. The priority assigned should be 
based on the overall conditions at each MRS, taking into consideration 
various factors relating to safety and environmental hazard potential.
    (b) In addition to the priority assigned to an MRS, other 
considerations (e.g., availability of specific equipment, intended 
reuse, stakeholder interest) can affect the sequence in which munitions 
response actions at a specific MRS are funded.
    (c) It is Department policy to ensure that U.S. EPA, other federal 
agencies (as appropriate or required), state regulatory agencies, tribal 
governments, local restoration advisory boards or technical review 
committees, and local stakeholders are offered opportunities to 
participate in the application of the rule in this part and making 
sequencing recommendations.



Sec. 179.5  Responsibilities.

    Each Component shall:
    (a) Apply the rule in this part to each MRS under its administrative 
control when sufficient data are available to populate all the data 
elements within any or all of the three hazard evaluation modules that 
comprise the rule. Upon further delineation and characterization of an 
MRA into more than one MRS, Components shall reapply

[[Page 1088]]

the rule to all MRSs within the MRA. In such cases where data are not 
sufficient to populate one or two of the hazard evaluation modules 
(e.g., there are no constituent sampling data for the Health Hazard 
Evaluation [HHE] module), Components will assign a priority based on the 
hazard evaluation modules evaluated and reapply the rule once sufficient 
data are available to apply the remaining hazard evaluation modules.
    (b) Ensure that the total acreage of each MRA is evaluated using 
this rule (i.e., ensure the all MRSs within the MRA are evaluated).
    (c) Ensure that EPA, other federal agencies (as appropriate or 
required), state regulatory agencies, tribal governments, local 
restoration advisory boards or technical review committees, local 
community stakeholders, and the current landowner (if the land is 
outside Department control) are offered opportunities as early as 
possible and throughout the process to participate in the application of 
the rule and making sequencing recommendations.
    (1) To ensure EPA, other federal agency, state regulatory agencies, 
tribal governments, and local government officials are aware of the 
opportunity to participate in the application of the rule, the Component 
organization responsible for implementing a munitions response at the 
MRS shall notify the heads of these organizations (or their designated 
point of contact), as appropriate, seeking their involvement prior to 
beginning prioritization. Records of the notification will be placed in 
the Administrative Record and Information Repository for the MRS.
    (2) Prior to beginning prioritization, the Component organization 
responsible for implementing a munitions response at the MRS shall 
publish an announcement in local community publications requesting 
information pertinent to prioritization or sequencing decisions to 
ensure the local community is aware of the opportunity to participate in 
the application of the rule.
    (d) Establish a quality assurance panel of Component personnel to 
review, initially, all MRS prioritization decisions. Once the Department 
determines that its Components are applying the rule in a consistent 
manner and the rule's application leads to decisions that are 
representative of site conditions, the Department may establish a 
sampling-based approach for its Components to use for such reviews. This 
panel reviewing the priority assigned to an MRS shall not include any 
participant involved in applying the rule to that MRS. If the panel 
recommends a change that results in a different priority, the Component 
shall report, in the inventory data submitted to the Office of the 
Deputy Under Secretary of Defense (Installations & Environment) 
(ODUSD[I&E]), the rationale for this change. The Component shall also 
provide this rationale to the appropriate regulatory agencies and 
involved stakeholders for comment before finalizing the change.
    (e) Following the panel review, submit the results of applying the 
rule along with the other inventory data that 10 U.S.C. 2710(c) requires 
be made publicly available, to the ODUSD(I&E). The ODUSD(I&E) shall 
publish this information in the report on environmental restoration 
activities for that fiscal year. If sequencing decisions result in 
action at an MRS with a lower MRS priority ahead of an MRS with a higher 
MRS priority, the Component shall provide specific justification to the 
ODUSD(I&E).
    (f) Document in a Management Action Plan (MAP) or its equivalent all 
aspects of the munitions responses required at all MRSs for which that 
MAP is applicable. Department guidance requires that MAP be developed 
and maintained at an installation (or Formerly Used Defense Site [FUDS] 
property) level and address each site at that installation or FUDS. For 
the FUDS program, a statewide MAP may also be developed.
    (g) Develop sequencing decisions at installations and FUDS with 
input from appropriate regulators and stakeholders (e.g., community 
members of an installation's restoration advisory board or technical 
review committee), and document this development in the MAP. Final 
sequencing may be impacted by Component program management 
considerations. If the sequencing of any MRS is changed from the 
sequencing reflected in the current MAP,

[[Page 1089]]

the Component shall provide information to the appropriate regulators 
and stakeholders documenting the reasons for the sequencing change, and 
shall request their review and comment on that decision.
    (h) Ensure that information provided by regulators and stakeholders 
that may influence the priority assigned to an MRS or sequencing 
decision concerning an MRS is included in the Administrative Record and 
the Information Repository.
    (i) Review each MRS priority at least annually and update the 
priority as necessary to reflect new information. Reapplication of the 
rule is required under any of the following circumstances:
    (1) Upon completion of a response action that changes site 
conditions in a manner that could affect the evaluation under this rule.
    (2) To update or validate a previous evaluation at an MRS when new 
information is available.
    (3) To update or validate the priority assigned where that priority 
has been previously assigned based on evaluation of only one or two of 
the three hazard evaluation modules.
    (4) Upon further delineation and characterization of an MRA into 
MRSs.
    (5) To categorize any MRS previously classified as ``evaluation 
pending.''



Sec. 179.6  Procedures.

    The rule in this part comprises the following three hazard 
evaluation modules.
    (a) Explosive Hazard Evaluation (EHE) module.
    (1) The EHE module provides a single, consistent, Department-wide 
approach for the evaluation of explosive hazards. This module is used 
when there is a known or suspected presence of an explosive hazard. The 
EHE module is composed of three factors, each of which has two to four 
data elements that are intended to assess the specific conditions at an 
MRS. These factors are:
    (i) Explosive hazard, which has the data elements Munitions Type and 
Source of Hazard and constitutes 40 percent of the EHE module score. 
(See appendix A to this part, tables 1 and 2.)
    (ii) Accessibility, which has the data elements Location of 
Munitions, Ease of Access, and Status of Property and constitutes 40 
percent of the EHE module score. (See appendix A, tables 3, 4, and 5.)
    (iii) Receptors, which has the data elements Population Density, 
Population Near Hazard, Types of Activities/Structures, and Ecological 
and/or Cultural Resources and constitutes 20 percent of the EHE module 
score. (See appendix A, tables 6, 7, 8, and 9.)
    (2) Based on MRS-specific information, each data element is assigned 
a numeric score, and the sum of these score is the EHE module score. The 
EHE module score results in an MRS being placed into one of the 
following ratings. (See appendix A, table 10.)
    (i) EHE Rating A (Highest) is assigned to MRSs with an EHE module 
score from 92 to 100.
    (ii) EHE Rating B is assigned to MRSs with an EHE module score from 
82 to 91.
    (iii) EHE Rating C is assigned to MRSs with an EHE module score from 
71 to 81.
    (iv) EHE Rating D is assigned to MRSs with an EHE module score from 
60 to 70.
    (v) EHE Rating E is assigned to MRSs with an EHE module score from 
48 to 59.
    (vi) EHE Rating F is assigned to MRSs with an EHE module score from 
38 to 47.
    (vii) EHE Rating G (Lowest) is assigned to MRSs with an EHE module 
score less than 38.
    (3) There are also three other possible outcomes for the EHE module:
    (i) Evaluation pending. This category is used when there are known 
or suspected UXO or DMM, but sufficient information is not available to 
populate the nine data elements of the EHE module.
    (ii) No longer required. This category is reserved for MRSs that no 
longer require an assigned priority because the Department has conducted 
a response, all objectives set out in the decision document for the MRS 
have been achieved, and no further action, except for long-term 
management and recurring reviews, is required.

[[Page 1090]]

    (iii) No known or suspected explosive hazard. This category is 
reserved for MRSs that do not require evaluation under the EHE module.
    (4) The EHE module rating shall be considered with the CHE and HHE 
module ratings to determine the MRS priority.
    (5) MRSs lacking information for determining an EHE module rating 
shall be programmed for additional study and evaluated as soon as 
sufficient data are available. Until an EHE module rating is assessed, 
MRSs shall be rated as ``evaluation pending'' for the EHE module.
    (b) Chemical Warfare Materiel Hazard Evaluation (CHE) module. (1) 
The CHE module provides an evaluation of the chemical hazards associated 
with the physiological effects of CWM. The CHE module is used only when 
CWM are known or suspected of being present at an MRS. Like the EHE 
module, the CHE module has three factors, each of which has two to four 
data elements that are intended to assess the conditions at an MRS.
    (i) CWM hazard, which has the data elements CWM Configuration and 
Sources of CWM and constitutes 40 percent of the CHE score. (See 
appendix A to this part, tables 11 and 12.)
    (ii) Accessibility, which focuses on the potential for receptors to 
encounter the CWM known or suspected to be present on an MRS. This 
factor consists of three data elements, Location of CWM, Ease of Access, 
and Status of Property, and constitutes 40 percent of the CHE score. 
(See appendix A, tables 13, 14, and 15.)
    (iii) Receptor, which focuses on the human and ecological 
populations that may be impacted by the presence of CWM. It has the data 
elements Population Density, Population Near Hazard, Types of 
Activities/Structures, and Ecological and/or Cultural Resources and 
constitutes 20 percent of the CHE score. (See appendix A, tables 16, 17, 
18, and 19.)
    (2) Similar to the EHE module, each data element is assigned a 
numeric score, and the sum of these scores (i.e., the CHE module score) 
is used to determine the CHE rating. The CHE module score results in an 
MRS being placed into one of the following ratings. (See appendix A, 
table 20.)
    (i) CHE Rating A (Highest) is assigned to MRSs with a CHE score from 
92 to 100.
    (ii) CHE Rating B is assigned to MRSs with a CHE score from 82 to 
91.
    (iii) CHE Rating C is assigned to MRSs with a CHE score from 71 to 
81.
    (iv) CHE Rating D is assigned to MRSs with a CHE score from 60 to 
70.
    (v) CHE Rating E is assigned to MRSs with a CHE score from 48 to 59.
    (vi) CHE Rating F is assigned to MRSs with a CHE score from 38 to 
47.
    (vii) CHE Rating G (Lowest) is assigned to MRSs with a CHE score 
less than 38.
    (3) There are also three other potential outcomes for the CHE 
module:
    (i) Evaluation pending. This category is used when there are known 
or suspected CWM, but sufficient information is not available to 
populate the nine data elements of the CHE module.
    (ii) No longer required. This category is reserved for MRSs that no 
longer require an assigned priority because the Department has conducted 
a response, all objectives set out in the decision document for the MRS 
have been achieved, and no further action, except for long-term 
management and recurring reviews, is required.
    (iii) No known or suspected CWM hazard. This category is reserved 
for MRSs that do not require evaluation under the CHE module.
    (4) The CHE rating shall be considered with the EHE module and HHE 
module ratings to determine the MRS priority.
    (5) MRSs lacking information for assessing a CHE module rating shall 
be programmed for additional study and evaluated as soon as sufficient 
data are available. Until a CHE module rating is assigned, the MRS shall 
be rated as ``evaluation pending'' for the CHE module.
    (c) Health Hazard Evaluation (HHE) module.
    (1) The HHE provides a consistent Department-wide approach for 
evaluating the relative risk to human health and the environment posed 
by MC. The HHE builds on the RRSE framework that is used in the 
Installation Restoration Program (IRP) and has been

[[Page 1091]]

modified to address the unique requirements of MRSs. The HHE module 
shall be used for evaluating the potential hazards posed by MC and other 
chemical contaminants. The HHE module is intended to evaluate MC at 
sites. Any incidental nonmunitions-related contaminants may be addressed 
incidental to a munitions response under the MMRP.
    (2) The module has three factors:
    (i) Contamination Hazard Factor (CHF), which indicates MC, and any 
nonmunitions-related incidental contaminants present; this factor 
contributes a level of High (H), Middle (M), or Low (L) based on 
Significant, Moderate, or Minimal contaminants present, respectively. 
(See appendix A to this part, table 21.)
    (ii) Receptor Factor (RF), which indicates the receptors; this 
factor contributes a level of H, M, or L based on Identified, Potential, 
or Limited receptors, respectively. (See appendix A, table 21.)
    (iii) Migration Pathway Factor (MPF), which indicates environmental 
migration pathways, and contributes a level of H, M, or L based on 
Evident, Potential or Confined pathways, respectively. (See appendix A, 
table 21.)
    (3) The H, M, and L levels for the CHF, RF, and MPF are combined in 
a matrix to obtain composite three-letter combination levels that 
integrate considerations of all three factors. (See appendix A, table 
22.)
    (4) The three-letter combination levels are organized by frequency, 
and the resulting frequencies result in seven HHE ratings. (See appendix 
A, table 23.)
    (i) HHE Rating A (Highest) is assigned to MRSs with an HHE 
combination level of high for all three factors.
    (ii) HHE Rating B is assigned to MRSs with a combination level of 
high for CHF and RF and medium for MPF (HHM).
    (iii) HHE Rating C is assigned to MRSs with a combination level of 
high for the CHF and RF and low for MPF (HHL), or high for CHF and 
medium for the RF and MPF (HMM).
    (iv) HHE Rating D is assigned to MRSs with a combination level of 
high for the CHF, medium for the RF, and low for the MPF (HML), or 
medium for all three factors (MMM).
    (v) HHE Rating E is assigned to MRSs with a combination level of 
high for the CHF and low for the RF and MPF (HLL), or medium for the CHF 
and RF and low for the MPF (MML).
    (vi) HHE Rating F is assigned to MRSs with a combination level of 
medium for the CHF and low for the RF and MPF (MLL).
    (vii) HHE Rating G (Lowest) is assigned to MRSs with a combination 
level of low for all three factors (LLL).
    (5) The HHE three-letter combinations are replaced by the seven HHE 
ratings. (See appendix A, table 24.)
    (6) There are also three other potential outcomes for the HHE 
module:
    (i) Evaluation pending. This category is used when there are known 
or suspected MC, and any incidental nonmunitions-related contaminants 
present, but sufficient information is not available to determine the 
HHE module rating.
    (ii) No longer required. This category is reserved for MRSs that no 
longer require an assigned MRS priority because the Department has 
conducted a response, all objectives set out in the decision document 
for the MRS have been achieved, and no further action, except for long-
term management and recurring reviews, is required.
    (iii) No known or suspected munitions constituent hazard. This 
rating is reserved for MRSs that do not require evaluation under the HHE 
module.
    (7) The HHE module rating shall be considered with the EHE and CHE 
module ratings to determine the MRS priority.
    (8) MRSs lacking information sufficient for assessing an HHE module 
rating shall be programmed for additional study and evaluated as soon as 
sufficient data are available. Until an HHR module rating is assigned, 
the MRS shall be classified as ``evaluation pending'' for the HHE 
module.
    (d) Determining the MRS priority. (1) An MRS priority is determined 
based on integrating the ratings from the EHE, CHE, and HHE modules. 
Until all three hazard evaluation modules have been evaluated, the MRS 
priority shall be based on the results of the modules completed.

[[Page 1092]]

    (2) Each MRS is assigned to one of eight MRS priorities based on the 
ratings of the three hazard evaluation modules, where Priority 1 
indicates the highest potential hazard and Priority 8 the lowest 
potential hazard. Under the rule in this part, only MRSs with CWM can be 
assigned to Priority 1 and no MRS with CWM can be assigned to Priority 
8. (See appendix A to this part, table 25.)
    (3) An ``evaluation pending'' rating is used to indicate that an MRS 
requires further evaluation. This designation is only used when none of 
the three modules has a numerical rating (i.e., 1 through 8) and at 
least one module is rated ``evaluation pending.'' The Department shall 
develop program metrics focused on reducing the number of MRSs with a 
status of ``evaluating pending'' for any of the three modules. (See 
appendix A, table 25.)
    (4) A ``no longer required'' rating is used to indicate that an MRS 
no longer requires prioritization. The MRS will receive this rating when 
none of the three modules has a numerical (i.e., 1 through 8) or an 
``evaluation pending'' designation, and at least one of the modules is 
rated ``no longer required.''
    (5) A rating of ``no known or suspected hazard'' is used to indicate 
that an MRS has no known or expected hazard. This designation is used 
only when the hazard evaluation modules are rated as ``no known or 
suspected explosive hazard,'' ``no known or suspected CWM hazard,'' and 
``no known or suspected MC hazard.'' (See appendix A, table 25.)



Sec. 179.7  Sequencing.

    (a) Sequencing considerations. The sequencing of MRSs for action 
shall be based primarily on the MRS priority determined through applying 
the rule in this part. Generally, an MRS that presents a greater 
relative risk to human health, safety, or the environment will be 
addressed before an MRS that presents a lesser relative risk. Other 
factors, however, may warrant consideration when determining the 
sequencing for specific MRSs. In evaluating other factors in sequencing 
decisions, the Department will consider a broad range of issues. These 
other, or risk-plus factors, do not influence or change the MRS 
priority, but may influence the sequencing for action. Examples of 
factors that the Department may consider are:
    (1) Concerns expressed by regulators or stakeholders.
    (2) Cultural and social factors.
    (3) Economic factors, including economic considerations pertaining 
to environmental justice issues, economies of scale, evaluation of total 
life cycle costs, and estimated valuations of long-term liabilities.
    (4) Findings of health, safety, or ecological risk assessments or 
evaluations based on MRS-specific data.
    (5) Reasonably anticipated future land use, especially when planning 
response actions, conducting evaluations of response alternatives, or 
establishing specific response action objectives.
    (6) A community's reuse requirements at Base Realignment and Closure 
(BRAC) installations.
    (7) Specialized considerations of tribal trust lands (held in trust 
by the United States for the benefit of any tribe or individual). The 
United States holds the legal title to the land and the tribe holds the 
beneficial interest.
    (8) Implementation and execution considerations (e.g., funding 
availability; the availability of the necessary equipment and people to 
implement a particular action; examination of alternatives to responses 
that entail significant capital investments, a lengthy period of 
operation, or costly maintenance; alternatives to removal or treatment 
of contamination when existing technology cannot achieve established 
standards [e.g., maximum contaminant levels]).
    (9) Mission-driven requirements.
    (10) The availability of appropriate technology (e.g., technology to 
detect, discriminate, recover, and destroy UXO).
    (11) Implementing standing commitments, including those in formal 
agreements with regulatory agencies, requirements for continuation of 
remedial action operations until response objectives are met, other 
long-term management activities, and program administration.
    (12) Established program goals and initiatives.

[[Page 1093]]

    (13) Short-term and long-term ecological effects and environmental 
impacts in general, including injuries to natural resources.
    (b) Procedures and documentation for sequencing decisions. (1) Each 
installation or FUDS is required to develop and maintain a Management 
Action Plan (MAP) or its equivalent. Sequencing decisions, which will be 
documented in the MAP at military installations and FUDS, shall be 
developed with input from appropriate regulators and stakeholders (e.g., 
community members of an installation's restoration advisory board or 
technical review committee). If the sequencing of an MRS is changed from 
the sequencing reflected in the current MAP, information documenting the 
reasons for the sequencing change will be provided for inclusion in the 
MAP. Notice of the change in the sequencing shall be provided to those 
regulators and stakeholders that provided input to the sequencing 
process.
    (2) In addition to the information on prioritization, the Components 
shall ensure that information provided by regulators and stakeholders 
that may influence the sequencing of an MRS is included in the 
Administrative Record and the Information Repository.
    (3) Components shall report the results of sequencing to ODUSD(I&E) 
(or successor organizations). ODUSD(I&E) shall compile the sequencing 
results reported by each Component and publish the sequencing in the 
report on environmental restoration activities for that fiscal year. If 
sequencing decisions result in action at an MRS with a lower MRS 
priority ahead of an MRS with a higher priority, specific justification 
shall be provided to the ODUSD(I&E).



   Sec. Appendix A to Part 179--Tables of the Munitions Response Site 
                         Prioritization Protocol

    The tables in this Appendix are solely for use in implementing 32 
CFR part 179.

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[[Page 1115]]



                       SUBCHAPTER I_CIVIL DEFENSE





PART 182_DEFENSE SUPPORT OF CIVILIAN LAW ENFORCEMENT AGENCIES--
Table of Contents



Sec.
182.1 Purpose.
182.2 Applicability and scope.
182.3 Definitions.
182.4 Policy.
182.5 Responsibilities.
182.6 Procedures.

    Authority: 10 U.S.C. 113, 331-334, 371-382, 2576, and 2667; 14 
U.S.C. 141; 16 U.S.C. 23, 78, 593, and 1861; 18 U.S.C. 112, 351, 831, 
1116, 1385, and 1751; 22 U.S.C. 408, 461-462; 25 U.S.C.180; 31 U.S.C. 
1535; 42 U.S.C. 97, 1989, and 5121-5207; 50 U.S.C. 1621-1622; and Public 
Law 94-524.

    Source: 78 FR 21828, Apr. 12, 2013, unless otherwise noted.



Sec. 182.1  Purpose.

    This part:
    (a) Establishes DoD policy, assigns responsibilities, and provides 
procedures for DoD support to Federal, State, Tribal, and local civilian 
law enforcement agencies, including responses to civil disturbances 
within the United States, including the District of Columbia, the 
Commonwealth of Puerto Rico, the U.S. Virgin Islands, Guam, American 
Samoa, the Commonwealth of the Northern Mariana Islands, and any 
territory or possession of the United States or any other political 
subdivision thereof in accordance with 32 CFR part 185.
    (b) Prescribes the regulations required by 10 U.S.C. 375.



Sec. 182.2  Applicability and scope.

    This part:
    (a) Applies to the Office of the Secretary of Defense (OSD), the 
Military Departments, the Office of the Chairman of the Joint Chiefs of 
Staff and the Joint Staff, the Combatant Commands, the Defense Agencies, 
the DoD Field Activities, and all other organizational entities within 
the Department of Defense (hereafter referred to collectively as the 
``DoD Components'').
    (b) Applies to the Office of the Inspector General of the Department 
of Defense (IG, DoD) only to the extent that this part does not conflict 
with any of the duties and responsibilities assigned to the IG, DoD 
pursuant to section 8(g) of Appendix, title 5, U.S.C. (also known as 
``The Inspector General Act of 1978, as amended'').
    (c) Governs all DoD Component planning for and participation in 
Defense support of civilian law enforcement activities, including 
domestic emergencies and civil disturbance operations (CDO) (formerly 
referred to as ``military assistance for civil disturbances'').
    (d) Applies to National Guard (NG) personnel only in title 10, 
U.S.C., status only.
    (e) Applies to civilian employees of the DoD Components and the 
activities of DoD contractors performed in support of the DoD 
Components.
    (f) Does not apply to:
    (1) Counternarcotics activities.
    (2) Assistance to foreign law enforcement officials.
    (3) The Defense Intelligence and Counterintelligence Components, 
except when providing assistance to civilian law enforcement activities 
in accordance with paragraph 2.6. of Executive Order 12333 and Procedure 
12 of DoD 5240.1-R.\1\
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    \1\ Available at http://www.dtic.mil/whs/directives/corres/pdf/
524001r.pdf.
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    (4) Requests for sensitive support, which are governed by DoD 
Directive S-5210.36.\2\
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    \2\ Authorized users may obtain a copy at www.dtic.smil.mil/whs/
directives. Others may send a written request by email to 
[email protected].
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    (5) NG personnel in State active duty or title 32, U.S.C., status.
    (6) Maritime Homeland Security Operations, defined as time-critical 
requests by the United States Coast Guard for short duration (less than 
48 hours) DoD support in countering an immediate maritime security 
threat, that are governed by the DoD-Department of Homeland Security 
Memorandum of Agreement for Department of Defense Support to the United 
States Coast Guard for Maritime Homeland Security.

[[Page 1116]]

    (7) Aircraft piracy operations conducted pursuant to title 10, 
U.S.C.



Sec. 182.3  Definitions.

    The following definitions apply to this part:
    Civil authorities. Those elected and appointed officers and 
employees who constitute the government of the United States, the 
governments of the 50 States, the District of Columbia, the Commonwealth 
of Puerto Rico, U.S. possessions and territories, and political 
subdivisions thereof.
    Civil disturbance. Group acts of violence and disorder prejudicial 
to public law and order.
    Civilian law enforcement official. An officer or employee of a 
civilian Federal, State, local, and tribal law enforcement agency with 
responsibility for enforcement of the laws within the jurisdiction of 
that agency.
    DoD personnel. Federal military officers and enlisted personnel and 
civilian employees of the Department of Defense.
    Domestic emergencies. Emergencies affecting the public welfare and 
occurring within the 50 states, District of Columbia, Commonwealth of 
Puerto Rico, U.S. possessions and territories, or any political 
subdivision thereof, as a result of enemy attack, insurrection, civil 
disturbance, earthquake, fire, flood, or other public disasters or 
equivalent emergencies that endanger life and property or disrupt the 
usual process of government. Domestic emergencies include civil defense 
emergencies, civil disturbances, major disasters, and natural disasters.
    Emergency authority. A Federal military commander's authority, in 
extraordinary emergency circumstances where prior authorization by the 
President is impossible and duly constituted local authorities are 
unable to control the situation, to engage temporarily in activities 
that are necessary to quell large-scale, unexpected civil disturbances 
because:
    (1) Such activities are necessary to prevent significant loss of 
life or wanton destruction of property and are necessary to restore 
governmental function and public order; or
    (2) Duly constituted Federal, State, or local authorities are unable 
or decline to provide adequate protection for Federal property or 
Federal governmental functions.
    Explosives or munitions emergency. A situation involving the 
suspected or detected presence of unexploded ordnance (UXO), damaged or 
deteriorated explosives or munitions, an improvised explosive device 
(IED), other potentially explosive material or device, or other 
potentially harmful military chemical munitions or device, that creates 
an actual or potential imminent threat to human health, including 
safety, or the environment, including property, as determined by an 
explosives or munitions emergency response specialist. Such situations 
may require immediate and expeditious action by an explosives or 
munitions emergency response specialist to control, mitigate, or 
eliminate the threat.
    Law enforcement agency. Any of a number of agencies (outside the 
Department of Defense) chartered and empowered to enforce U.S. laws in 
the following jurisdictions: the United States, a State (or political 
subdivision) of the United States, a territory (or political 
subdivision) of the United States, a federally recognized Native 
American tribe or Alaskan Native Village, or within the borders of a 
host nation.



Sec. 182.4  Policy.

    It is DoD policy that:
    (a) The Department of Defense shall be prepared to support civilian 
law enforcement agencies consistent with the needs of military 
preparedness of the United States, while recognizing and conforming to 
the legal limitations on direct DoD involvement in civilian law 
enforcement activities.
    (b) Support of civilian law enforcement agencies by DoD personnel 
shall be provided in accordance with 18 U.S.C. 112, 351, 831, 1116, 
1751, and 1385 (also known and hereinafter referred to as ``The Posse 
Comitatus Act, as amended''); 10 U.S.C. chapter 18; 2 U.S.C. 1970 (for 
support to the U.S. Capitol Police); and other Federal laws, including 
those protecting the civil rights and civil liberties of individuals, as 
applicable.

[[Page 1117]]

    (c) The restrictions in Sec. 182.6(a)(1)(iii) shall apply to all 
actions of DoD personnel worldwide.
    (d) Exceptions, based on compelling and extraordinary circumstances, 
may be granted to the restrictions in Sec. 182.6(a)(1)(iii) for 
assistance to be provided outside the United States; only the Secretary 
of Defense or Deputy Secretary of Defense may grant such exceptions.
    (e) Requests for law enforcement support shall be evaluated using 
the criteria in 32 CFR part 185.



Sec. 182.5  Responsibilities.

    (a) The Under Secretary of Defense for Policy (USD(P)) shall 
establish DoD policy governing defense support of civilian law 
enforcement agencies and facilitate the coordination of that policy with 
Federal departments and agencies; State, local, and tribal agencies; and 
the DoD Components, as appropriate.
    (b) The Assistant Secretary of Defense for Homeland Defense and 
Americas' Security Affairs (ASD(HD&ASA)), under the authority, 
direction, and control of the USD(P) and in accordance with DoD 
Directive 5111.13,\3\ ``Assistant Secretary of Defense for Homeland 
Defense and Americas' Security Affairs (ASD(HD&ASA)),'' shall develop, 
coordinate, recommend, and supervise the implementation of policy for 
defense support of civilian law enforcement agencies and defense support 
of civil authorities (DSCA), including law enforcement support 
activities. In executing this responsibility for DoD law enforcement 
support activities, the ASD(HD&ASA) shall:
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    (1) Develop procedures and issue appropriate direction as necessary 
for defense support of civilian law enforcement agencies in coordination 
with the General Counsel of the Department of Defense, and in 
consultation with the Attorney General of the United States (Attorney 
General), as appropriate, and in accordance with responsibilities 
assigned in 32 CFR part 185 and DoD Directive 5111.13. This includes 
tasking the DoD Components to plan for and to commit DoD resources in 
response to requests from civil authorities for CDO (such a commitment 
of DoD resources for CDO must be authorized by the President of the 
United States and directed by the Secretary of Defense).
    (2) Serve as the principal point of contact between the Department 
of Defense and the Department of Justice for planning and executing CDO.
    (3) Coordinate with civilian law enforcement agencies on policies to 
further DoD cooperation with civilian law enforcement agencies.
    (4) Provide guidance for the use of Reserve Component personnel in 
support of civilian law enforcement agencies, in coordination with the 
Secretaries of the Military Departments and the Assistant Secretary of 
Defense for Reserve Affairs (ASD(RA)), and with the Chief, National 
Guard Bureau (NGB), as appropriate. This will include guidance for use 
by approving authorities in evaluating the effect on military 
preparedness of requests for civilian law enforcement assistance that 
may involve use of the Reserve Components.
    (5) Assist in the development of policy regulating plans, 
procedures, and requirements of the DoD Components with authority over 
defense resources that may be employed to provide law enforcement 
support.
    (6) Inform the ASD(RA) of all requests for assistance by civilian 
law enforcement agencies that may be met using Reserve Component 
personnel and resources.
    (i) Inform the Chief, NGB, of all requests for assistance by 
civilian law enforcement agencies that may be met using NG personnel.
    (ii) Coordinate with the ASD(RA) and others as appropriate regarding 
duty status policies (e.g., performance of duty pursuant to 10 U.S.C. 
331-334 and 371-382).
    (7) Coordinate with the Chairman of the Joint Chiefs of Staff (CJCS) 
in advance of the commitment of any Federal military forces.
    (8) Coordinate with the Under Secretary of Defense (Comptroller)/
Chief Financial Officer, Department of Defense, when providing 
assistance to civilian law enforcement agencies to ensure an appropriate 
funding approach in accordance with Sec. 182.6(g).

[[Page 1118]]

    (9) In coordination with the Under Secretary of Defense for 
Intelligence (USD(I)), the CJCS, the Commanders of the Combatant 
Commands with DSCA responsibilities, and the Secretaries of the Military 
Departments, establish protocols and guidance for ensuring that the 
needs of civilian law enforcement officials for information are taken 
into account in the planning and execution of military training and 
operations.
    (10) Ensure, in coordination with the Assistant Secretary of Defense 
for Special Operations and Low-Intensity Conflict (ASD(SO/LIC)), the 
proper use of electronic counter-measures (ECM) by or in support of DoD 
explosive ordnance disposal (EOD) personnel when supporting civil 
authorities is addressed in interagency agreements and contingency 
plans.
    (c) The USD(I) shall:
    (1) Establish DoD processes and procedures to provide support to 
civilian law enforcement officials with Defense Intelligence Component 
resources in accordance with appropriate statutory authorities and DoD 
and Intelligence Community policy.
    (2) Facilitate consultation on DoD policy regarding intelligence 
support of law enforcement officials, with appropriate Federal 
departments and agencies; State, local, and tribal agencies; and the DoD 
Components.
    (d) The IG, DoD, shall issue guidance on cooperation with civilian 
law enforcement officials with respect to audits and investigations 
conducted, supervised, monitored, or initiated pursuant to DoD Directive 
5106.01,\4\ ``Inspector General of the Department of Defense (IG DoD).''
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    (e) The Under Secretary of Defense for Personnel and Readiness 
(USD(P&R)) shall monitor and oversee the development of integrated 
training capabilities related to defense support to civilian law 
enforcement officials and the integration of these training capabilities 
into exercises and training to build, sustain, and assess readiness in 
accordance with DoD Directive 1322.18,\5\ ``Military Training.''
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    (f) The ASD(RA), under the authority, direction, and control of the 
USD(P&R), shall assist the ASD(HD&ASA) in the development of guidance 
for use by approving authorities in evaluating the effect on military 
preparedness of requests for civilian law enforcement assistance that 
may involve use of the Reserve Components.
    (g) The Heads of the DoD Components shall:
    (1) Strictly comply with and disseminate throughout their Components 
the guidance issued by the ASD(HD&ASA) pursuant to paragraph (b) of this 
section.
    (2) Identify appropriate resources for civilian law enforcement 
support that are consistent with law and DoD policy to carry out the 
intent of this part.
    (3) Review training and operational programs to determine how and 
where assistance can best be provided to civilian law enforcement 
officials, consistent with the responsibilities established in this 
section. This review should include recommendations regarding activities 
for which reimbursement could be waived in accordance with Sec. 
182.6(g)(2).
    (4) Issue implementing guidance, in coordination with the 
ASD(HD&ASA), incorporating the procedures in this part, including:
    (i) Procedures for prompt transfer of relevant information to law 
enforcement agencies.
    (ii) Procedures for establishing local contact points in subordinate 
commands for purposes of coordination with Federal, State, tribal, and 
local civilian law enforcement officials.
    (iii) Guidelines for evaluating requests for assistance in terms of 
effect on military readiness of the United States.
    (5) Inform the CJCS of all requests requiring approval of the 
ASD(HD&ASA) or the Secretary of Defense, in accordance with this part.

[[Page 1119]]

    (h) The Secretaries of the Military Departments, in addition to the 
responsibilities in paragraph (g) of this section, shall:
    (1) Provide resources to the DoDComponents, consistent with DoD 
policies, goals, and objectives, to carry out the purpose of this part.
    (2) Coordinate with the Commanders of the Combatant Commands with 
DSCA responsibilities to ensure that the needs of civilian law 
enforcement officials for information are taken into account in the 
planning and execution of military training and operations.
    (i) The CJCS, in addition to the responsibilities in paragraph (g) 
of this section, shall:
    (1) Assist the ASD(HD&ASA) in developing recommendations for 
responding to requests for CDO and developing interagency policies on 
CDO.
    (2) Develop processes to evaluate the effect of requests for 
civilian law enforcement assistance on military preparedness of the 
United States.
    (3) Advise the Secretary of Defense, ASD(HD&ASA), or Heads of the 
DoDComponents, upon request, on the effect on military preparedness of 
the United States of any request for defense assistance with respect to 
CDO.
    (j) The Commanders of the Combatant Commands with DSCA 
responsibilities, through the CJCS, shall, in addition to the 
responsibilities in paragraph (g) of this section:
    (1) Provide support of civilian law enforcement authorities as 
directed by the Secretary of Defense.
    (2) Implement the provisions of this part in appropriate training 
and exercises.
    (3) When designated as a supported commander, coordinate with 
supporting DoDComponents all reimbursement for assistance provided under 
the provisions of this part.
    (4) When designated as a supported commander, coordinate with the 
CJCS, the ASD(HD&ASA), and the ASD(SO/LIC) (for the employment of 
special operations forces) for all military preparations and operations, 
including the employment of Federal military forces as requested by the 
Attorney General and approved by the Secretary of Defense, as a result 
of any domestic emergency, including a terrorist incident, civil 
disturbance, or a natural disaster. Commanders shall observe all such 
law enforcement policies as the Attorney General may determine 
appropriate.
    (5) For a terrorist incident having the potential for a request for 
military assistance by mutual agreement of DoD and the Federal Bureau of 
Investigation (FBI), designated Combatant Commanders may dispatch 
observers to the incident site to evaluate the situation. Any dispatch 
of DoD counterterrorism forces must be specifically authorized by the 
Secretary of Defense through the CJCS.
    (6) Coordinate with the Secretaries of the Military Departments to 
ensure that the needs of civilian law enforcement officials for 
information are taken into account in the planning and execution of 
military training and operations.
    (k) The Commanders of U.S. Northern Command (USNORTHCOM), U.S. 
Pacific Command (USPACOM), and U.S. Special Operations Command 
(USSOCOM), through the CJCS and in addition to the responsibilities in 
paragraphs (g) and (j) of this section, shall:
    (1) Serve as the DoD planning agents for support of civilian law 
enforcement activities, including CDO, following the guidance of the 
ASD(HD&ASA) and in coordination with the CJCS.
    (2) Lead planning activities for support of civilian law enforcement 
activities, including CDO, of the DoDComponents in accordance with Sec. 
182.6(b)(3). Serve as the DoD financial managers for their respective 
CDO operations in accordance with Sec. 182.6(g)(2).
    (l) The Chief, NGB, shall:
    (1) Implement the procedures in this part.
    (2) Assist the ASD(HD&ASA) in accordance with DoD Directive 
5105.77,\6\ ``National Guard Bureau (NGB),'' in developing policy 
guidance regarding the use of NG personnel for DoD support of civilian 
law enforcement agencies.
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    (3) Assist the ASD(HD&ASA) in the development of policy guidance for 
use by approving authorities in evaluating the effect on military 
preparedness if

[[Page 1120]]

NG personnel are used to fulfill requests for civilian law enforcement 
assistance.
    (4) Serve as an advisor to the Commanders of the Combatant Commands 
on NG matters pertaining to Combatant Command responsibilities under 
this part, and support planning and coordination for such activities as 
requested by the CJCS or the Commanders of other Combatant Commands.
    (5) On all matters pertaining to the NG, serve as the channel of 
communications between: the Secretary of Defense, the CJCS, and the DoD 
Components (other than the Department of the Army and the Department of 
the Air Force); and the States. The Chief, NGB, shall keep the 
Secretaries of the Army and the Air Force informed of all communications 
unless otherwise directed by the Secretary of Defense.
    (6) Coordinate the sharing of State contingency plans for the use of 
non-federalized NG forces in CDO roles between the responsible State 
Adjutants General and the responsible Combatant Commander.



Sec. 182.6  Procedures.

    (a) Participation of DoD Personnel in Civilian Law Enforcement 
Activities--(1) Guiding Statutory Requirements and Supporting Policies--
(i) Statutory Restrictions. (A) The primary restriction on DoD 
participation in civilian law enforcement activities is the Posse 
Comitatus Act. It provides that whoever willfully uses any part of the 
Army or the Air Force as a posse comitatus or otherwise to execute U.S. 
laws, except in cases and under circumstances expressly authorized by 
the Constitution or Act of Congress, shall be fined under title 18, 
U.S.C., or imprisoned not more than 2 years, or both.
    (B) 10 U.S.C. 375 provides that the Secretary of Defense shall 
prescribe such regulations as may be necessary to ensure that any 
activity (including the provision of any equipment or facility or the 
assignment or detail of any personnel) under 10 U.S.C. chapter 18 does 
not include or permit direct participation by a member of the Army, 
Navy, Air Force, or Marine Corps in a search, seizure, arrest, or other 
similar activity unless participation in such activity by such member is 
otherwise authorized by law.
    (ii) Permissible Direct Assistance. Categories of active 
participation in direct law-enforcement-type activities (e.g., search, 
seizure, and arrest) that are not restricted by law or DoD policy are: 
(A) Actions taken for the primary purpose of furthering a DoD or foreign 
affairs function of the United States, regardless of incidental benefits 
to civilian authorities. This does not include actions taken for the 
primary purpose of aiding civilian law enforcement officials or 
otherwise serving as a subterfuge to avoid the restrictions of the Posse 
Comitatus Act. Actions under this provision may include (depending on 
the nature of the DoD interest and the authority governing the specific 
action in question):
    (1) Investigations and other actions related to enforcement of the 
Uniform Code of Military Justice (10 U.S.C. chapter 47).
    (2) Investigations and other actions that are likely to result in 
administrative proceedings by the Department of Defense, regardless of 
whether there is a related civil or criminal proceeding. (See DoD 
Instruction 5525.07 \7\ and the Memorandum of Agreement Between the 
Attorney General and the Secretary of Defense with respect to matters in 
which the Department of Defense and the Department of Justice both have 
an interest.)
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    (3) Investigations and other actions related to a commander's 
inherent authority to maintain law and order on a DoD installation or 
facility.
    (4) Protection of classified defense information or equipment or 
controlled unclassified information (e.g., trade secrets and other 
proprietary information), the unauthorized disclosure of which is 
prohibited by law.
    (5) Protection of DoD personnel, equipment, and official guests.
    (6) Such other actions that are undertaken primarily for a military 
or foreign affairs purpose.
    (B) Audits and investigations conducted by, under the direction of, 
or at the request of the IG, DoD, pursuant to

[[Page 1121]]

the Inspector General Act of 1978, as amended.
    (C) When permitted under emergency authority in accordance with 32 
CFR part 185, Federal military commanders have the authority, in 
extraordinary emergency circumstances where prior authorization by the 
President is impossible and duly constituted local authorities are 
unable to control the situation, to engage temporarily in activities 
that are necessary to quell large-scale, unexpected civil disturbances 
because:
    (1) Such activities are necessary to prevent significant loss of 
life or wanton destruction of property and are necessary to restore 
governmental function and public order; or
    (2) When duly constituted Federal, State, or local authorities are 
unable or decline to provide adequate protection for Federal property or 
Federal governmental functions. Federal action, including the use of 
Federal military forces, is authorized when necessary to protect Federal 
property or functions.
    (D) DoD actions taken pursuant to 10 U.S.C. 331-334, relating to the 
use of Federal military forces in specified circumstances with respect 
to insurrection, domestic violence, or conspiracy that hinders the 
execution of State or Federal law.
    (E) Actions taken under express statutory authority to assist 
officials in executing the laws, subject to applicable limitations. The 
laws that permit direct DoD participation in civilian law enforcement 
include:
    (1) Protection of national parks and certain other Federal lands 
consistent with 16 U.S.C. 23, 78, and 593.
    (2) Enforcement of the Fishery Conservation and Management Act of 
1976, as amended, pursuant to 16 U.S.C. 1861(a).
    (3) Assistance in the case of crimes against foreign officials, 
official guests of the United States, and other internationally 
protected persons pursuant to 18 U.S.C. 112 and 1116.
    (4) Assistance in the case of crimes against Members of Congress, 
Members-of-Congress-elect, Justices of the Supreme Court and nominees, 
and certain senior Executive Branch officials and nominees in accordance 
with 18 U.S.C. 351.
    (5) Assistance in the case of crimes involving nuclear materials in 
accordance with 18 U.S.C. 831.
    (6) Protection of the President, Vice President, and other 
designated dignitaries in accordance with 18 U.S.C. 1751 and Public Law 
94-524.
    (7) Actions taken in support of the neutrality laws in accordance 
with 22 U.S.C. 408 and 461-462.
    (8) Removal of persons unlawfully present on Indian lands in 
accordance with 25 U.S.C. 180.
    (9) Execution of quarantine and certain health laws in accordance 
with 42 U.S.C. 97 and DoD Instruction 6200.03,\8\ ``Public Health 
Emergency Management Within the Department of Defense.''
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    (10) Removal of unlawful enclosures from public lands in accordance 
with 43 U.S.C. 1065.
    (11) Protection of the rights of a discoverer of an island covered 
by 48 U.S.C. 1418.
    (12) Support of territorial governors if a civil disorder occurs, in 
accordance with 48 U.S.C. 1422 and 1591.
    (13) Actions in support of certain customs laws in accordance with 
50 U.S.C. 220.
    (F) Actions taken to provide search and rescue support domestically 
under the authorities provided in the National Search and Rescue Plan 
and DoD Instruction 3003.01.\9\
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    (iii) Restrictions on Direct Assistance. (A) Except as authorized in 
this part (e.g., in paragraphs (a) and (b) of this section), DoD 
personnel are prohibited from providing the following forms of direct 
civilian law enforcement assistance:
    (1) Interdiction of a vehicle, vessel, aircraft, or other similar 
activity.
    (2) A search or seizure.
    (3) An arrest; apprehension; stop and frisk; engaging in interviews, 
interrogations, canvassing, or questioning of potential witnesses or 
suspects; or similar activity.
    (4) Using force or physical violence, brandishing a weapon, 
discharging or

[[Page 1122]]

using a weapon, or threatening to discharge or use a weapon except in 
self-defense, in defense of other DoD persons in the vicinity, or in 
defense of non-DoD persons, including civilian law enforcement 
personnel, in the vicinity when directly related to an assigned activity 
or mission.
    (5) Evidence collection; security functions; crowd and traffic 
control; and operating, manning, or staffing checkpoints.
    (6) Surveillance or pursuit of individuals, vehicles, items, 
transactions, or physical locations, or acting as undercover agents, 
informants, investigators, or interrogators.
    (7) Forensic investigations or other testing of evidence obtained 
from a suspect for use in a civilian law enforcement investigation in 
the United States unless there is a DoD nexus (e.g., the victim is a 
member of the Military Services or the crime occurred on an installation 
under exclusive DoD jurisdiction) or the responsible civilian law 
enforcement official requesting such testing declares in writing that 
the evidence to be examined was obtained by consent. Requests for 
exceptions to this restriction must be made through channels to the 
ASD(HD&ASA), who will evaluate, in coordination with the General Counsel 
of the Department of Defense, whether to seek Secretary of Defense 
authorization for an exception to policy.
    (B) The use of deputized State or local law enforcement powers by 
DoD uniformed law enforcement personnel shall be in accordance with DoD 
Instruction 5525.13,\10\ ``Limitation of Authority to Deputize DoD 
Uniformed Law Enforcement Personnel by State and Local Governments.''
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    (C) Except as otherwise directed by the Secretary of Defense, the 
rules for the use of force and authority for the carrying of firearms by 
DoD personnel providing authorized support under this part shall be in 
accordance with DoD Directive 5210.56,\11\ ``Carrying of Firearms and 
the Use of Force by DoD Personnel Engaged in Security, Law and Order, or 
Counterintelligence Activities,'' and any additional Secretary of 
Defense-approved rules for the use of force contained in CJCS 
Instruction 3121.01B, ``Standing Rules of Engagement Standing Rules for 
the Use of Force for U.S. Forces.''
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    (D) Exceptions to these restrictions for assistance may be granted 
when the assistance is to be provided outside the United States. Only 
the Secretary of Defense or the Deputy Secretary of Defense may grant 
such exceptions, based on compelling and extraordinary circumstances.
    (iv) Use of DoD Personnel to Operate or Maintain Equipment. The use 
of DoD personnel to operate or maintain, or to assist in operating or 
maintaining, equipment shall be limited to situations when the use of 
non-DoD personnel for operation or maintenance of such equipment would 
be unfeasible or impractical from a cost or time perspective and would 
not otherwise compromise military preparedness of the United States. In 
general, the head of the civilian law enforcement agency may request a 
DoD Component to provide personnel to operate or maintain, or to assist 
in operating or maintaining, equipment for the civilian agency. This 
assistance shall be subject to this guidance:
    (A) Such assistance may not involve DoD personnel directly 
participating in a law enforcement operation (as described in paragraph 
(a)(1)(iii) of this section).
    (B) The performance of such assistance by DoD personnel shall be at 
a location where there is not a reasonable likelihood of a confrontation 
between law enforcement personnel and civilians.
    (C) The use of DoD aircraft to provide transportation for civilian 
law enforcement agencies may be provided only in accordance with DoD 
4515.13-R.\12\
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    (D) A request for DoD personnel to operate or maintain, or to assist 
in operating or maintaining, equipment must be made pursuant to 10 
U.S.C. 374 or other applicable law that permits

[[Page 1123]]

DoD personnel to provide such assistance to civilian law enforcement 
officials. A request that is made pursuant to 10 U.S.C. 374 must be made 
by the head of a civilian agency empowered to enforce any of these laws:
    (1) 21 U.S.C. 801-904 and 951-971.
    (2) 8 U.S.C. 1324-1328.
    (3) A law relating to the arrival or departure of merchandise, as 
defined in 19 U.S.C. 1401, into or out of the customs territory of the 
United States, as defined in 19 U.S.C. 1401, or any other territory or 
possession of the United States.
    (4) 46 U.S.C. chapter 705.
    (5) Any law, foreign or domestic, prohibiting terrorist activities.
    (E) In addition to the assistance authorized under paragraph 
(a)(1)(ii)(A) of this section:
    (1) DoD personnel may be made available to a Federal law enforcement 
agency to operate or assist in operating equipment, to the extent the 
equipment is used in a supporting role, with respect to:
    (i) A criminal violation of the laws specified in paragraph 
(a)(1)(iv)(D) of this section.
    (ii) Assistance that the Federal law enforcement agency is 
authorized to furnish to a State, local, or foreign government that is 
involved in the enforcement of laws similar to those in paragraph 
(a)(1)(iv)(D) of this section.
    (iii) A foreign or domestic counter-terrorism operation, including 
support of FBI Joint Terrorism Task Forces.
    (iv) Transportation of a suspected terrorist from a foreign country 
to the United States to stand trial.
    (2) DoD personnel made available to a civilian law enforcement 
agency pursuant to 10 U.S.C. 374 may operate equipment for:
    (i) Detection, monitoring, and communication of the movement of air 
and sea traffic.
    (ii) Detection, monitoring, and communication of the movement of 
surface traffic outside of the geographic boundary of the United States 
and, if the initial detection occurred outside of the boundary, within 
the United States, not to exceed 25 miles of the boundary.
    (iii) Aerial reconnaissance (does not include satellite 
reconnaissance).
    (iv) Interception of vessels or aircraft detected outside the land 
area of the United States for the purposes of communicating with such 
vessels and aircraft to direct such vessels and aircraft to go to a 
location designated by appropriate civilian officials.
    (v) Operation of equipment to facilitate communications in 
connection with the law enforcement programs specified in paragraph 
(a)(1)(iv)(D) of this section.
    (vi) The following activities that are subject to joint approval by 
the Secretary of Defense and the Attorney General (and the Secretary of 
State in the case of a law enforcement operation outside of the land 
area of the United States): the transportation of civilian law 
enforcement personnel along with any other civilian or military 
personnel who are supporting, or conducting, a joint operation with 
civilian law enforcement personnel; the operation of a base of 
operations for civilian law enforcement and supporting personnel; and 
the transportation of suspected terrorists from foreign countries to the 
United States for trial (so long as the requesting Federal law 
enforcement agency provides all security for such transportation and 
maintains custody over the suspect through the duration of the 
transportation).
    (vii) The detection, monitoring, and tracking of the movement of 
weapons of mass destruction under the circumstances described above when 
outside the United States.
    (F) DoD personnel made available to operate equipment for the 
purposes in paragraphs (a)(1)(iv)(E)(2)(i) and (a)(1)(iv)(E)(2)(iv) of 
this section may continue to operate such equipment in cases involving 
the pursuit of vessels or aircraft into the land area of the United 
States where the detection began outside such land area.
    (G) With the approval of the Secretary of Defense, DoD personnel may 
be made available to any Federal, State, or local civilian law 
enforcement agency to operate equipment for purposes other than 
described in paragraph (a)(2) of this section, only to the extent that 
such support does not involve direct assistance by such personnel in a 
civilian law enforcement

[[Page 1124]]

operation unless such direct participation is otherwise authorized by 
law and is authorized by the Secretary of Defense.
    (H) Nothing in this part restricts the authority of Federal military 
commanders to take emergency action to prevent loss of life or wanton 
destruction of property as provided in paragraph (a)(1)(ii)(C) of this 
section.
    (I) When DoD personnel are otherwise assigned to provide assistance 
with respect to the laws specified in paragraph (a)(1)(ii)(E) of this 
section, the participation of such personnel shall be consistent with 
the limitations in such laws, if any, and such restrictions as may be 
established by policy or the DoD Components concerned.
    (v) Expert Advice. DoD Components may provide, subject to paragraph 
(a)(5) of this section, expert advice to Federal, State, or local law 
enforcement officials in accordance with 10 U.S.C. 373. This does not 
permit direct assistance by DoD personnel in activities that are 
fundamentally civilian law enforcement operations, except as otherwise 
authorized in this section.
    (vi) Training. (A) The DoD Components may provide, subject to 
paragraph (a)(5) of this section, training to Federal, State, and local 
civilian law enforcement officials. This does not permit large-scale or 
elaborate DoD training, and does not permit regular or direct 
involvement of DoD personnel in activities that are fundamentally 
civilian law enforcement operations, except as otherwise authorized in 
this section.
    (B) Training of Federal, State, and local civilian law enforcement 
officials shall be provided according to this guidance:
    (1) Assistance shall be limited to situations when the use of non-
DoD personnel would be unfeasible or impractical from a cost or time 
perspective and would not otherwise compromise military preparedness of 
the United States.
    (2) Assistance may not involve DoD personnel participating in a law 
enforcement operation, except as otherwise authorized by law.
    (3) Assistance of DoD personnel shall be provided at a location 
where there is not a reasonable likelihood of a confrontation between 
law enforcement personnel and civilians, except as otherwise authorized 
by this part.
    (C) This paragraph does not apply to advanced military training, 
which is addressed in Deputy Secretary of Defense Memorandum, ``DoD 
Training Support to U.S. Civilian Law Enforcement Agencies,'' June 29, 
1996,\13\ and Deputy Secretary of Defense Memorandum, ``Request for 
Exception to Policy,'' November 12, 1996.\14\ Additional exceptions to 
the policy in Deputy Secretary of Defense Memorandum, ``DoD Training 
Support to U.S. Civilian Law Enforcement Agencies,'' may be requested on 
a case-by-case basis. Requests for such exceptions shall be forwarded 
through the ASD(HD&ASA). Advanced military training:
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    \13\ Available from OASD(HD&ASA)/Room 3D247, 2600 Defense Pentagon, 
Washington, DC 20301.
    \14\ Available from OASD(HD&ASA)/Room 3D247, 2600 Defense Pentagon, 
Washington, DC 20301.
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    (1) Includes advanced marksmanship training, including sniper 
training, military operations in urban terrain (MOUT), advanced MOUT, 
close quarters battle/close quarters combat, and similar training.
    (2) Does not include basic military skills such as basic 
marksmanship, patrolling, mission planning, medical, and survival.
    (vii) Other Permissible Assistance. These forms of indirect 
assistance are not prohibited by law or DoD policy:
    (A) Transfer to Federal, State, or local law enforcement officials 
of information acquired in the normal course of DoD operations that may 
be relevant to a violation of any Federal or State laws.
    (B) Information obtained through procedures, means, or devices 
authorized by Federal law exclusively for use in gathering, obtaining, 
or acquiring national intelligence or military intelligence may be 
transferred unless specifically prohibited by law. Information shall not 
be transferred if it meets any of the following criteria:
    (1) The acquisition of that information violates applicable law 
protecting the privacy or constitutional rights of any person, including 
rights protected

[[Page 1125]]

by 5 U.S.C. 552a (also known as ``The Privacy Act of 1974, as 
amended'').
    (2) It would have been illegal for those civilian law enforcement 
officials to have obtained the information or employ the procedures, 
means, or devices used by the DoD Component to obtain the information.
    (C) Such other actions, approved in accordance with procedures 
established by the DoD Components concerned, that do not subject 
civilians to the use of DoD power that is regulatory, prescriptive, 
proscriptive, or compulsory.
    (2) Exceptions Based on Status. The restrictions in paragraph (a) of 
this section do not apply to:
    (i) A member of a Reserve Component when not on active duty, active 
duty for training, or inactive duty for training.
    (ii) A member of the NG when not in Federal service.
    (iii) A civilian employee. If the civilian employee is under the 
direct control of a military officer, assistance will not be provided 
unless it is permitted by paragraph (a)(3) of this section.
    (iv) A member of a Military Service when off duty and in a private 
capacity. A Service member is acting in a private capacity when he or 
she responds on his or her own volition to assist law enforcement 
officials instead of acting under the direction or control of DoD 
authorities.
    (v) A member of the Civil Air Patrol, except when performing 
missions pursuant to 10 U.S.C. 9442(b).
    (3) Exceptions Based on Military Service. By policy, Posse Comitatus 
Act restrictions (as well as other restrictions in this part) are 
applicable to the Department of the Navy (including the Marine Corps) 
with such exceptions as the Secretary of Defense may authorize in 
advance on a case-by-case basis.
    (i) Such exceptions shall include requests from the Attorney General 
for assistance pursuant to 21 U.S.C. 873(b).
    (ii) Requests for approval of other exceptions should be made by a 
senior official of the civilian law enforcement agency concerned, who 
verifies that:
    (A) The size or scope of the suspected criminal activity poses a 
serious threat to the interests of the United States and enforcement of 
a law within the jurisdiction of the civilian agency would be seriously 
impaired if the assistance were not provided because civilian assets are 
not available to perform the mission; or
    (B) Civilian law enforcement assets are not available to perform the 
mission, and temporary assistance is required on an emergency basis to 
prevent loss of life or wanton destruction of property.
    (4) Military Readiness. Assistance may not be provided if such 
assistance could adversely affect military preparedness. Implementing 
documents issued by the Heads of the DoD Components shall ensure that 
approval for the disposition of equipment is vested in officials who can 
assess the effect of such disposition on military preparedness.
    (5) Approval Authority. Requests by civilian law enforcement 
officials for use of DoD personnel to provide assistance to civilian law 
enforcement agencies shall be forwarded to the appropriate approval 
authority.
    (i) The Secretary of Defense is the approval authority for requests 
for direct assistance in support of civilian law enforcement agencies, 
including those responding with assets with the potential for lethality, 
except for the use of emergency authority as provided in paragraph 
(a)(1)(ii)(C) of this section and in 32 CFR part 185, and except as 
otherwise provided below.
    (ii) Requests that involve the Defense Intelligence and 
Counterintelligence entities are subject to approval by the Secretary of 
Defense and the guidance in DoD Directive 5240.01 \15\ and DoD 5240.1-R.
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    \15\ Available at http://www.dtic.mil/whs/directives/corres/pdf/
524001p.pdf.
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    (iii) The Secretaries of the Military Departments and the Directors 
of the Defense Agencies may, in coordination with the ASD(HD&ASA), 
approve the use of DoD personnel:
    (A) To provide training or expert advice in accordance with 
paragraphs (a)(1)(v) and (a)(1)(vi) of this section.
    (B) For equipment maintenance in accordance with paragraph 
(a)(1)(iv) of this section.
    (C) To monitor and communicate the movement of air and sea traffic 
in accordance with paragraphs

[[Page 1126]]

(a)(1)(iv)(E)(2)(i) and (a)(1)(iv)(E)(2)(iv) of this section.
    (iv) All other requests, including those in which subordinate 
authorities recommend disapproval, shall be submitted promptly to the 
ASD(HD&ASA) for consideration by the Secretary of Defense, as 
appropriate.
    (v) The views of the CJCS of shall be obtained on all requests that 
are considered by the Secretary of Defense or the ASD(HD&ASA), that 
otherwise involve personnel assigned to a unified or specified command, 
or that may affect military preparedness.
    (vi) All requests that are to be considered by the Secretary of 
Defense or the ASD(HD&ASA) that may involve the use of Reserve Component 
personnel or equipment shall be coordinated with the ASD(RA). All 
requests that are to be considered by the Secretary of Defense or the 
ASD(HD&ASA) that may involve the use of NG personnel also shall be 
coordinated with the Chief, NGB. All requests that are to be considered 
by the Secretary of Defense or the ASD(HD&ASA) that may involve the use 
of NG equipment also shall be coordinated with the Secretary of the 
Military Department concerned and the Chief, NGB.
    (b) DoD Support of CDO. (1) Guiding Statutory Requirements and 
Supporting Policies. (i) The President is authorized by the Constitution 
and laws of the United States to employ the Armed Forces of the United 
States to suppress insurrections, rebellions, and domestic violence 
under various conditions and circumstances. Planning and preparedness by 
the Federal Government, including DoD, for civil disturbances is 
important due to the potential severity of the consequences of such 
events for the Nation and the population.
    (ii) The primary responsibility for protecting life and property and 
maintaining law and order in the civilian community is vested in State 
and local governments. Supplementary responsibility is vested by statute 
in specific agencies of the Federal Government other than DoD. The 
President has additional powers and responsibilities under the 
Constitution of the United States to ensure that law and order are 
maintained.
    (iii) Any employment of Federal military forces in support of law 
enforcement operations shall maintain the primacy of civilian authority, 
and, unless otherwise directed by the President, responsibility for the 
management of the Federal response to civil disturbances rests with the 
Attorney General. The Attorney General is responsible for receiving 
State requests for Federal military assistance, coordinating such 
requests with the Secretary of Defense and other appropriate Federal 
officials, and presenting such requests to the President who will 
determine what Federal action will be taken.
    (iv) The employment of Federal military forces to control civil 
disturbances shall only occur in a specified civil jurisdiction under 
specific circumstances as authorized by the President, normally through 
issuance of an Executive order or other Presidential directive 
authorizing and directing the Secretary of Defense to provide for the 
restoration of law and order in a specific State or locality in 
accordance with 10 U.S.C. 331-334.
    (v) Planning by the DoD Components for CDO shall be compatible with 
contingency plans for national security emergencies, and with planning 
for DSCA pursuant to 32 CFR part 185. For example:
    (A) Guidelines concerning the use of deputized State or local law 
enforcement powers by DoD uniformed law enforcement personnel are 
outlined in DoD Instruction 5525.13.
    (B) Guidelines concerning the use of deadly force and/or the 
carrying of firearms by DoD personnel while engaged in duties related to 
security or law and order, criminal investigations, or 
counterintelligence investigations; protecting personnel; protecting 
vital Government assets; or guarding Government installations and sites, 
property, and persons (including prisoners) are outlined in DoD 
Directive 5210.56 and any additional Secretary of Defense-approved rules 
for the use of force contained in CJCS Instruction 3121.01B, ``Standing 
Rules of Engagement/Standing Rules for the Use of Force for U.S. 
Forces,'' June 13, 2005.
    (2) DoD Requirements. (i) Federal military forces shall not be used 
for CDO

[[Page 1127]]

unless specifically authorized by the President, except under emergency 
authority as provided in 32 CFR part 185 and paragraph (a)(1)(ii)(C) of 
this section.
    (ii) Federal military forces shall be made available for CDO as 
directed by the President. The Secretary of Defense or other authorized 
DoD official may, where authorized and consistent with the direction of 
the President, establish the source and composition of those forces to 
achieve appropriate balance with other national security or DoD 
priorities.
    (iii) Federal military forces employed in CDO shall remain under 
Secretary of Defense command and control at all times.
    (iv) The pre-positioning of Federal military forces for CDO shall 
not exceed a battalion-sized unit in a single location unless a larger 
force is authorized by the President.
    (v) DoD Components shall not take charge of any function of civil 
government unless absolutely necessary under conditions of extreme 
emergency (e.g., when using emergency authority as described in 32 CFR 
part 185 and paragraph (a)(1)(ii)(C) of this section). Any commander who 
is directed, or undertakes, to control such functions shall strictly 
limit DoD actions to emergency needs and shall facilitate the 
reestablishment of civil responsibility at the earliest time possible.
    (3) CDO Planning. (i) To ensure essential control and sound 
management of all Federal military forces employed in CDO, centralized 
direction from the Secretary of Defense, through the ASD(HD&ASA), shall 
guide planning by the DoD Components, whether alone or with civil 
authorities. Execution of CDO missions shall be decentralized through 
the Commanders of USNORTHCOM, USPACOM, or USSOCOM, or through joint task 
force commanders, and only when specifically directed by the Secretary 
of Defense or as described in paragraph (a)(1)(ii)(C) of this section.
    (ii) The Commanders of USNORTHCOM, USPACOM, and USSOCOM, as the DoD 
planning agents for CDO in accordance with Sec. 182.5(k) of this part, 
shall lead the CDO planning activities of the DoD Components in these 
areas:
    (A) USNORTHCOM. The 48 contiguous States, Alaska, the District of 
Columbia, the Commonwealth of Puerto Rico, and the U.S. Virgin Islands.
    (B) USPACOM. Hawaii and the U.S. possessions and territories in the 
Pacific area.
    (C) USSOCOM. CDO activities involving special operations forces.
    (iii) CDO plans and readiness measures shall foster efficient 
employment of Federal equipment controlled by NG forces, whether 
employed under State or Federal authority, as well as other resources of 
the DoD Components.
    (4) Role of the National Guard. (i) NG forces in a State active duty 
status have primary responsibility to support State and local Government 
agencies for disaster responses and in domestic emergencies, including 
in response to civil disturbances; such activities would be directed by, 
and under the command and control of, the Governor, in accordance with 
State or territorial law and in accordance with Federal law.
    (ii) NG forces may be ordered or called into Federal service to 
ensure unified command and control of all Federal military forces for 
CDO when the President determines that action to be necessary in extreme 
circumstances.
    (iii) Federal military forces shall conduct CDO in support of the 
Attorney General or designee (unless otherwise directed by the 
President) to assist State law enforcement authorities. Federal military 
forces will always remain under the command and control of the President 
and Secretary of Defense. Federal military forces also could conduct CDO 
in concert with State NG forces under the command of a dual-status 
commander, if determined to be appropriate by the Secretary of Defense 
and the Governor(s) concerned, or in close coordination with State NG 
forces using direct liaison.
    (iv) Chief, NGB, will coordinate the sharing of State contingency 
plans for the use of non-federalized NG forces in CDO roles between the 
responsible State Adjutants General and the responsible Combatant 
Commander.

[[Page 1128]]

    (5) Cooperation with Civil Authorities. (i) The Attorney General 
shall receive and coordinate preliminary requests for CDO from civil 
authorities pursuant to 10 U.S.C. 331-334.
    (A) Formal requests for CDO shall be addressed to the President.
    (B) The Attorney General may assign a component law enforcement 
agency of the Department of Justice, such as the FBI or Bureau of 
Alcohol, Tobacco, Firearms, and Explosives, to lead the operational 
response to a civil disturbance incident.
    (C) The President may provide, through the Attorney General or other 
Federal official, a personal representative to communicate the 
President's policy guidance to the military commander conducting CDO. 
That representative may augment, but shall not replace, the military 
chain of command. In addition, an individual may be designated by the 
Attorney General as the Senior Civilian Representative of the Attorney 
General.
    (ii) The ASD(HD&ASA) shall represent DoD in coordinating CDO 
planning and execution with the Department of Justice, and other Federal 
and State law enforcement agencies, as appropriate.
    (6) Approval Authority. (i) The President is the approval authority 
for requests for assistance for CDO, except for emergency authority as 
provided in paragraph (a)(1)(ii)(C) of this section and in 32 CFR part 
185.
    (ii) If the President directs the use of Federal military forces for 
CDO, the ASD(HD&ASA) and the CJCS shall provide advice to the Secretary 
of Defense regarding the employment of DoD personnel and resources to 
implement the direction of the President. Secretary of Defense approval 
of such employment shall be communicated to the Combatant Commanders 
through the CJCS.
    (iii) The ASD(HD&ASA) shall provide any request, contingency plan, 
directive, or order affecting the employment of special operations 
forces to the ASD(SO/LIC), who supervises the activities of those forces 
on behalf of the Secretary of Defense in accordance with DoD Directive 
5111.10,\16\ ``Assistant Secretary of Defense for Special Operations and 
Low-Intensity Conflict (ASD(SO/LIC)).''
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511110p.pdf.
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    (iv) Additionally, the ASD(HD&ASA), in coordination with the ASD(SO/
LIC) for the employment of special operations forces, shall provide 
overall policy oversight of the employment of DoD personnel and 
resources for CDO responding to terrorist incidents and other similar 
events in coordination with the CJCS.
    (c) Domestic EOD Support of Civilian Law Enforcement Agencies. (1) 
Guiding Statutory Requirements and Supporting Policies. DoD EOD 
personnel may provide immediate response for EOD support in support of 
civil authorities, when requested, in accordance with 32 CFR part 185 
and may provide for disposition of military munitions in accordance with 
40 CFR parts 260-270.
    (2) DoD Requirements. (i) DoD personnel will not participate in 
search or seizure of ordnance as part of a civilian law enforcement 
investigation. DoD personnel may, as described in paragraph (c) of this 
section, render safe military munitions and take possession of military 
munitions for appropriate disposition at the request of civilian law 
enforcement officials when such military munitions have already been 
discovered and seized by civilian law enforcement personnel.
    (ii) DoD officials, including local military commanders, may provide 
EOD and explosive detection dog support to local civil authorities to 
save lives, prevent human suffering, and mitigate great property damage 
under imminently serious conditions in accordance with 32 CFR part 185. 
Guidance for planning and execution requirements for Combatant 
Commanders and the Military Departments in responding to DoD military 
munitions is found in DoD Manual 6055.09, Volume 7,\17\ ``DoD Ammunition 
And Explosives Safety Standards: Munitions, and Material Potentially 
Presenting an Explosive Hazard.''
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    \17\ Available at http://www.dtic.mil/whs/directives/corres/pdf/
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    (iii) Such an immediate response may include actions to provide 
advice and assistance to civil authorities,

[[Page 1129]]

when requested, in the mitigation, rendering safe, and disposition of 
suspected or detected presence of unexploded ordnance (UXO), damaged or 
deteriorated explosives or munitions, an improvised explosive device 
(IED), other potentially explosive material or device, or other 
potentially harmful military chemical munitions or device, that creates 
an actual or potential imminent threat.
    (iv) Military munitions, discarded military munitions, and UXO in an 
unauthorized location under the jurisdiction of public officials 
potentially present an imminent and substantial danger to public safety 
and health and to the environment, and may require an immediate EOD 
response.
    (A) These conditions include:
    (1) Items that were illegally removed from military installations.
    (2) Military munitions that land off range.
    (3) Munitions located on property formerly leased or owned by DoD 
(including manufacturing areas, pads, pits, basins, ponds, streams, 
burial sites, and other locations incident to such operations).
    (4) Transportation accidents involving military munitions.
    (5) Unauthorized public possession of military munitions.
    (B) Military munitions found in the conditions in paragraph 
(c)(2)(iv) of this section should be considered extremely hazardous and 
should not be disturbed or moved until technically qualified EOD 
personnel assess and determine the hazard.
    (C) DoD officials, including local military commanders:
    (1) Will provide EOD support for military munitions, discarded 
military munitions, and UXO that have (or appear to have) DoD origins.
    (2) May, in accordance with 32 CFR part 185, provide EOD support for 
military munitions or foreign ordnance that do not appear to have DoD 
origins found in the United States under the conditions in paragraph 
(c)(2)(iv) of this section.
    (v) Rendering safe and disposing of improvised devices, non-military 
commercial explosives, or similar dangerous articles reported or 
discovered outside of DoD installations are primarily the responsibility 
of civil authorities. However, due to the potential lethality and danger 
to public safety, DoD EOD personnel may provide assistance upon request 
in accordance with 32 CFR part 185.
    (vi) When responding to requests for assistance from civil 
authorities under immediate response authority pursuant to 32 CFR part 
185, the closest capable EOD unit regardless of Military Service will 
provide support.
    (vii) Requests from civil authorities for non-immediate DoD EOD 
support are subject to approval by the Secretary of Defense. Examples of 
non-immediate DoD EOD support include, but are not limited to, post-
blast analysis, use of DoD material and equipment, and support of pre-
planned events. Exceptions include those activities in support of the 
U.S. Secret Service that, in accordance with DoD Directive 3025.13,\18\ 
``Employment of DoD Capabilities in Support of the U.S. Secret Service 
(USSS), Department of Homeland Security (DHS),'' do not require 
Secretary of Defense approval and those activities undertaken in 
response to requests for technical assistance or assessment of military 
munitions that are performed solely for safety purposes.
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    \18\ Available at http://www.dtic.mil/whs/directives/corres/pdf/
302513p.pdf.
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    (viii) DoD EOD forces providing support under immediate response 
authority under 32 CFR part 185 will also comply with 40 CFR parts 260-
270, ``Hazardous Waste Management System: General,'' and other 
applicable local, State, and Federal laws and regulations, including 
environmental laws and regulations.
    (ix) The National Joint Operations and Intelligence Center (NJOIC) 
and the FBI's Strategic Information Operations Center shall be advised 
immediately of the recovery and disposition of military munitions, as 
well as responses to non-military munitions and explosives. DoD 
Components also shall ensure that reports are submitted within 72 hours, 
in accordance with 18 U.S.C. 846 and DoD Manual 5100.76,\19\

[[Page 1130]]

``Physical Security of Sensitive Conventional Arms, Ammunitions, and 
Explosives (AA&E),'' to: Bureau of Alcohol, Tobacco, Firearms, and 
Explosives, U.S. Bomb Data Center, 99 New York Ave. NE., 8S 295, 
Washington, DC 20226.
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510076m.pdf.
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    (3) Planning and Execution. (i) Combatant Commanders will:
    (A) Maintain situational awareness of all EOD elements in support of 
civil authorities, consolidate Service EOD incident reports, and provide 
to the ASD(HD&ASA) and the ASD(SO/LIC) a monthly consolidated report 
highlighting:
    (1) DoD EOD support of civil authorities, resources, and work-hours 
expended.
    (2) Final determination of the item, as well as the agency 
supported.
    (3) Final disposition of the hazard, as well as a cost estimate of 
the support provided.
    (4) A status of reimbursement by the supported entity. Reimbursement 
will not be sought for EOD response to military munitions that have (or 
appear to have) DoD origins.
    (B) Coordinate with the DoD Explosives Safety Board and the 
Executive Manager for EOD Training and Technology to ensure information 
sharing.
    (ii) In situations where DoD EOD personnel are asked to provide 
support to DOJ/FBI in conducting electronic countermeasures (ECM), such 
personnel may only employ ECM in the United States if approved by the 
Secretary of Defense and in accordance with the DOJ program for applying 
ECM in the United States in response to threats of radio-controlled 
improvised explosive devices (DOJ Federal ECM Program) approved by the 
National Telecommunications and Information Administration (NTIA) (see 
Section 7.25 of the NTIA Manual of Regulations and Procedures for 
Federal Radio Frequency Management). NTIA has approved the use of DoD 
military ECM assets in support of the DOJ Federal ECM Program, however, 
only those DoD military ECM assets/systems that have been approved by 
NTIA for employment in the United States under the DOJ Federal ECM 
Program may be used by DoD EOD personnel in providing the requested 
support to DOJ/FBI.
    (A) DoD officials may provide ECM equipment, and expert advice 
regarding the FBI's use of the equipment, in accordance with paragraph 
(c)(2) of this section when the FBI has approved use of ECM and when 
there is insufficient time to obtain Secretary of Defense approval.
    (B) All use of ECM equipment or devices while conducting EOD 
operations supporting civil authorities will be coordinated with and 
follow procedures established by the FBI's Strategic Information 
Operations Center and reported to the NJOIC.
    (iii) In consideration of the Military Departments' and the 
Combatant Commanders' planning requirements and in consultation with 
appropriate local civilian agencies, installation commanders will 
identify off-installation critical infrastructure and key resources, 
such as nuclear power stations, power plants, communications hubs, and 
water treatment plants. Combatant Commanders and other responsible DoD 
officials will assist in developing priorities for EOD support of civil 
authorities. Installations without resident EOD forces will develop 
plans to seek support from the nearest DoD EOD organization.
    (iv) Combatant Commanders, as appropriate, will maintain situational 
awareness of all EOD elements in support of civil authorities, 
coordinate and de-conflict Military Services' EOD domestic areas of 
response, and develop consolidated reporting procedures to permit 
accurate and timely collection of data from the supporting Services.
    (v) Service EOD reports shall be used to indicate that DoD is 
reclaiming accountability of DoD military munitions that were found 
outside the custody of DoD. The Military Departments will forward 
reports of reclaimed military munitions to installations for ammunitions 
logistics management and submission to the DoD Explosives Safety Board 
in accordance with DoD Manual 6055.09, Volume 7,

[[Page 1131]]

DoD Manual 5100.76, and DoD Instruction 5160.68,\20\ ``Single Manager 
for Conventional Ammunition (SMCA): Responsibilities of the SMCA, the 
Military Services, and the United States Special Operations Command 
(USSOCOM).''
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    (vi) Reimbursement is not required for EOD support involving 
military munitions, discarded military munitions, and UXO that have DoD 
origins or appear to have DoD origins. Combatant Commanders will 
coordinate with the DoD Explosives Safety Board and the Executive 
Manager for EOD Training and Technology to ensure information sharing.
    (vii) In accordance with DoD Instruction 6055.17,\21\ ``DoD 
Installation Emergency Management (IEM) Program,'' and applicable 
Military Department issuances, commanders of EOD organizations will:
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605517p.pdf.
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    (A) Coordinate with installation emergency managers to:
    (1) Establish local processes and procedures to respond to and 
report military and non-military munitions support requests from civil 
law enforcement agencies.
    (2) Determine priorities of EOD support for protecting critical 
infrastructure and key resources when requested.
    (B) Participate in installation emergency response exercises.
    (C) Determine training requirements for conducting DSCA response 
missions.
    (4) Cooperation with Civil Authorities. (i) DoD EOD forces will 
maintain relationships with local, State, tribal, and other Federal bomb 
disposal and other law enforcement agency assets near their geographical 
locations. Such relationships may include conferences and training 
exercises to increase the interoperability and integration with local 
bomb squad agencies, to improve the response capabilities to civil 
authorities when requested, and to enhance the consolidated response 
capabilities.
    (ii) DoD EOD personnel may conduct UXO and explosive ordnance 
awareness and education programs that inform and promote public safety 
of the hazards associated with military munitions and explosive items.
    (d) Domestic terrorist incident support. (1) DoD guidance. Only the 
Secretary of Defense may authorize the use of DoD personnel in support 
of civilian law enforcement officials during a domestic terrorism 
incident, except as described in paragraph (d)(1)(ii) of this section. 
The Commanders of USNORTHCOM, USPACOM, and USSOCOM, in coordination with 
the CJCS, ASD(HD&ASA), and ASD(SO/LIC), have primary responsibility for 
all military preparations and--when authorized by the Secretary of 
Defense--operations, including the employment of armed Federal military 
forces at the scene of any domestic terrorist incident.
    (i) In discharging those functions, the Commanders of USNORTHCOM, 
USPACOM, and USSOCOM shall operate in a manner consistent with law 
enforcement policies established by the Attorney General.
    (ii) When a terrorist incident develops that has a potential for 
military involvement, the Commanders of USNORTHCOM, USPACOM, and USSOCOM 
may dispatch military observers to the incident site, with the 
concurrence of the senior FBI official at the site, to appraise the 
situation before any decision is made by the Secretary of Defense to 
commit Federal military forces. Any dispatch of U.S. counterterrorism 
forces as observers must be specifically authorized by the Secretary of 
Defense through the CJCS.
    (2) Requirement for vocal orders to be published. When the Secretary 
of Defense authorizes U.S. counterterrorism forces to assist with the 
resolution of a domestic terrorist incident, the CJCS shall issue the 
appropriate order on behalf of the Secretary of Defense. That order 
shall designate the command relationships for the deploying forces.
    (e) Use of information collected during DoD operations. (1) 
Acquisition and dissemination. DoD Components are encouraged to provide 
to Federal, State, or local civilian law enforcement officials any 
information collected during the normal course of military operations 
that may be relevant to a violation of State or Federal law within the

[[Page 1132]]

jurisdiction of such officials, except as described in paragraph 
(a)(6)(vii)(B) of this section. The DoD Components shall prescribe 
procedures for releasing information upon reasonable belief that there 
has been such a violation.
    (i) The assistance provided shall be in accordance with DoD 5400.11-
R,\22\ ``Department of Defense Privacy Program,'' and with 10 U.S.C. 371 
and other applicable laws.
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    (ii) The acquisition and dissemination of information under 
paragraph (e) of this section shall be in accordance with DoD Directive 
5200.27,\23\ ``Acquisition of Information Concerning Persons and 
Organizations not Affiliated with the Department of Defense,'' DoD 
Directive 5240.01,\24\ ``DoD Intelligence Activities,'' and, for DoD 
intelligence components, DoD 5240.1-R,\25\ ``Procedures Governing the 
Activities of DoD Intelligence Components that Affect United States 
Persons.''
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520027p.pdf.
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524001p.pdf.
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    (iii) The DoD Components shall establish procedures for ``routine 
use'' disclosures of such information in accordance with DoD Instruction 
5160.68,\26\ ``Single Manager for Conventional Ammunition (SMCA): 
Responsibilities of the SMCA, the Military Services, and the United 
States Special Operations Command (USSOCOM),'' and DoD Directive 
5400.11,\27\ ``DoD Privacy Program.''
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    (iv) Under guidance established by the DoD Components concerned, the 
planning and execution of compatible DoD training and operations shall, 
to the maximum extent practicable, take into account the needs of 
civilian law enforcement officials for information when the collection 
of the information is an incidental aspect of training or operations 
performed by Federal military forces consistent with 10 U.S.C. 371.
    (v) The needs of civilian law enforcement officials shall, to the 
maximum extent practicable, be considered when scheduling routine 
training missions, consistent with 10 U.S.C. 371. This does not permit 
the planning or creation of missions or training for the primary purpose 
of aiding civilian law enforcement officials, and it does not permit 
conducting training or missions for the purpose of routinely collecting 
information about U.S. citizens.
    (vi) Civilian law enforcement agents may accompany routinely 
scheduled training flights as observers for the purpose of collecting 
law enforcement information. This provision does not authorize the use 
of DoD aircraft to provide point-to-point transportation and training 
flights for civilian law enforcement officials. Such assistance may be 
provided only in accordance with DoD 4515.13-R,\28\ ``Air Transportation 
Eligibility.''
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    (vii) Intelligence information held by the DoD Components and 
relevant to drug interdiction or other civilian law enforcement matters 
shall be provided promptly to appropriate civilian law enforcement 
officials, unless sharing that information is determined by the head of 
that DoD Component to be inconsistent with national security. Under 
procedures established by the DoD Components concerned, information 
concerning illegal drugs that is provided to civilian law enforcement 
officials under provisions of DoD 5240.1-R shall also be provided to law 
enforcement officials at the El Paso Intelligence Center.
    (viii) Nothing in this section modifies DoD procedures for 
dissemination of information for foreign intelligence or 
counterintelligence purposes.
    (ix) The DoD Components are encouraged to participate in the 
Department of Justice law enforcement coordinating committees situated 
in each Federal judicial district.
    (x) The assistance provided under paragraph (e) of this section may 
not include or permit direct participation by DoD personnel in the 
interdiction of a vessel, aircraft, or land vehicle, or in

[[Page 1133]]

a search, seizure, arrest, or other similar activity, unless the 
member's participation in such activity is otherwise authorized by law 
in accordance with paragraph (a)(1)(ii) of this section.
    (2) Military readiness. Information shall not be provided under 
paragraph (e) of this section if it could adversely affect military 
preparedness of the United States.
    (f) Use of DoD equipment and facilities. (1) Equipment and 
facilities. The DoD Components may make equipment, base facilities, or 
research facilities available to Federal, State, or local civilian law 
enforcement officials for law enforcement purposes in accordance with 
the guidance in paragraph (f) of this section.
    (i) The ASD(HD&ASA) shall issue guidance to ensure that the 
assistance provided under paragraph (f) of this section is in accordance 
with applicable provisions of law, including:
    (A) 10 U.S.C. 372, 377, 2576, and 2667.
    (B) 31 U.S.C. 1535 (also known and referred to in this part as ``The 
Economy Act of 1932, as amended'') and 31 U.S.C. 6501-6508 (also known 
as ``The Intergovernmental Cooperation Act of 1968, as amended'').
    (C) Title 40, U.S.C.
    (D) 41 U.S.C. 102-103, 105-115, 151-153, 3101, 3105, 3301, 3303-
3305, 3509, 3901, 3905-3906, 4501-4506, 4701, and 6101.
    (E) 44 U.S.C. chapters 21, 25, 29, and 31.
    (ii) The ASD(HD&ASA) guidance shall also ensure compliance with DoD 
Instruction 4165.70,\29\ ``Real Property Management,'' and DoD Directive 
5410.12,\30\ ``Economic Adjustment Assistance to Defense-Impacted 
Communities,'' and other guidance that may be issued by the Under 
Secretary of Defense (Comptroller)/Chief Financial Officer, Department 
of Defense.
---------------------------------------------------------------------------

    \29\ Available at http://www.dtic.mil/whs/directives/corres/pdf/
416570p.pdf.
    \30\ Available at http://www.dtic.mil/whs/directives/corres/pdf/
541012p.pdf.
---------------------------------------------------------------------------

    (2) Limitations on the use of personnel. The DoD Components shall 
follow the guidance in paragraph (a)(1)(iv) of this section in 
considering requests for DoD personnel to operate or maintain, or to 
assist in operating or maintaining, equipment made available according 
to paragraph (f)(1) of this section.
    (3) Military readiness. Assistance may not be provided under 
paragraph (f) of this section if such assistance could adversely affect 
military preparedness. Each request shall be evaluated using the 
criteria provided in 32 CFR part 185 for evaluating legality, lethality, 
risk, cost, appropriateness, and readiness. The implementing documents 
issued by the DoD Components shall ensure that approval for the 
disposition of equipment is vested in officials who can assess the 
effect of such disposition on military preparedness.
    (4) Approval authority. (i) Requests by civilian law enforcement 
officials for DoD assistance for the use of DoD equipment and facilities 
shall be forwarded to the appropriate approval authority under the 
guidance in this section. All requests, including those in which 
subordinate authorities recommend denial, shall be submitted promptly to 
the approving authority. Requests will be forwarded and processed 
according to the urgency of the situation.
    (A) Requests for the use of equipment or facilities outside the 
United States, other than for arms, ammunition, combat vehicles, 
vessels, and aircraft, shall be considered in accordance with procedures 
established by the applicable DoD Component.
    (B) Requests from other Federal agencies to purchase equipment 
(permanent retention) from a DoD Component, that are accompanied by 
appropriate funding documents, may be submitted directly to the DoD 
Component concerned.
    (C) Requests for training, expert advice, or use of personnel to 
operate or maintain equipment shall be forwarded in accordance with 
paragraph (a)(5) of this section.
    (D) For loans pursuant to 31 U.S.C. 1535 and 6501-6508, which are 
limited to agencies of the Federal Government, and for leases pursuant 
to 10 U.S.C. 2667, which may be made to entities outside the Federal 
Government, this guidance applies:
    (1) Requests for arms, ammunition, combat vehicles, vessels, and 
aircraft shall be submitted to the Secretary of Defense for approval.

[[Page 1134]]

    (2) Requests for loan or lease or other use of equipment or 
facilities are subject to approval by the heads of the DoD Components, 
unless approval by a higher official is required by statute or DoD 
issuance applicable to the particular disposition.
    (ii) The Heads of the DoD Components shall issue implementing policy 
and direction for taking action on requests for loan, lease, or other 
use of equipment or facilities that are not governed by paragraphs 
(f)(4)(i)(D)(1) and (f)(4)(i)(D)(2) of this section. Such implementing 
policy and direction shall ensure compliance with applicable law and DoD 
issuances, including requiring specific levels of approval with respect 
to particular dispositions.
    (g) Funding. (1) General. Reimbursement is required when equipment 
or services are provided to agencies outside DoD.
    (i) The primary sources of reimbursement requirements are the 
Economy Act of 1932, as amended, for provision of equipment or services 
to Federal departments and agencies and 10, U.S.C. 2667. 10 U.S.C. 377 
requires reimbursement unless the Secretary of Defense elects to waive 
reimbursement using the criteria described in paragraph (g)(2)(iii) of 
this section.
    (ii) Other statutes may apply to particular types of assistance or 
may apply to assistance to specific civilian law enforcement entities. 
Payment of fair market value under 10 U.S.C. 2667 may only be waived 
under the provisions of 10 U.S.C. 2667.
    (iii) A requirement for reimbursement does not apply when DoD 
Components provide information, collected during the normal course of 
military training or operations, to Federal, State, or local civilian 
law enforcement agencies pursuant to 10 U.S.C. 371.
    (2) Procedural requirements. (i) Defense support of civilian law 
enforcement agencies is normally an unprogrammed requirement for DoD. 
DoD 7000.14-R,\31\ ``Department of Defense Financial Management 
Regulations (FMRs),'' Volumes 1-15, prescribes procedures for financing 
and reporting costs. DoD Components shall comply with these procedures 
and shall consider the factors presented in paragraph (g)(2)(iii) of 
this section to determine or recommend whether financing is to be 
accomplished on a reimbursable or non-reimbursable basis.
---------------------------------------------------------------------------

    \31\ Available at http://comptroller.defense.gov/fmr/.
---------------------------------------------------------------------------

    (ii) The Commanders of USNORTHCOM, USPACOM, and USSOCOM shall serve 
as the financial managers responsible for DoD oversight of all 
operations executed in their areas of responsibility in accordance with 
Sec. 182.5(k).
    (iii) The Secretary of Defense may waive reimbursement for DoD 
support to civilian law enforcement agencies provided pursuant to 10 
U.S.C. 18, or support provided by NG personnel performing duty pursuant 
to 32 U.S.C. 502(f), in accordance with 10 U.S.C. 377, if such support:
    (A) Is provided in the normal course of DoD training or operations; 
or
    (B) Results in a benefit to the DoD element or the NG personnel 
providing the support that is substantially equivalent to that which 
would otherwise be obtained from military operations or training.
    (3) Personnel duty status. Funding for State active duty of NG 
personnel is the responsibility of the State involved.



PART 183_DEFENSE SUPPORT OF SPECIAL EVENTS--Table of Contents



Sec.
183.1 Purpose.
183.2 Applicability and scope.
183.3 Definitions.
183.4 Policy.
183.5 Responsibilities.
183.6 Procedures.

    Authority: 2 U.S.C. 1966, 2 U.S.C. 1970, 10 U.S.C. 372-374, 10 
U.S.C. 377, 10 U.S.C. 2012, 10 U.S.C. 2553-2555, 10 U.S.C. 2564, 18 
U.S.C. 1385, 18 U.S.C. 3056, 31 U.S.C. 1535-1536, 32 U.S.C. 502, 32 
U.S.C. 508, Pub. L. 94-524, and Section 5802 of Pub. L. 104-208, as 
amended.

    Source: 77 FR 22671, Apr. 17, 2012, unless otherwise noted.



Sec. 183.1  Purpose.

    This part:
    (a) Establishes DoD policy, assigns responsibilities, and provides 
procedures for support of civil authorities

[[Page 1135]]

and qualifying entities during the conduct of special events in 
accordance with the authority in DoD Directive (DoDD) 5111.1 (see http:/
/www.dtic.mil/whs/directives/corres/pdf/511101p.pdf) and the Deputy 
Secretary of Defense Memorandum, ``Delegations of Authority,'' November 
30, 2006 (available by written request to Deputy Secretary of Defense, 
1010 Defense Pentagon, Washington, DC 20301-1010). This support will be 
referred to as ``support of special events.''
    (b) Implements provisions of DoDD 5111.1; the Deputy Secretary of 
Defense Memorandum, ``Delegations of Authority,'' November 30, 2006; 
title 2, United States Code (U.S.C.), sections 1966 and 1970; title 10, 
U.S.C., sections 372-374, 377, 2012, 2553-2555, and 2564; title 18, 
U.S.C. sections 1385 and 3056; title 31, U.S.C., sections 1535-1536; 
title 32, U.S.C., sections 502 and 508; Public Law 94-524; Section 5802 
of Public Law 104-208, as amended; and title 32, Code of Federal 
Regulations (CFR) part 185, addressing matters pertaining to Defense 
Support of Civil Authorities (DSCA) for special events, including 
support for qualifying entities.



Sec. 183.2  Applicability and scope.

    (a) Applies to the Office of the Secretary of Defense (OSD), the 
Military Departments, the Office of the Chairman of the Joint Chiefs of 
Staff (CJCS) and the Joint Staff, the Combatant Commands, the Office of 
the Inspector General of the Department of Defense, the Defense 
Agencies, the DoD Field Activities, National Guard personnel providing 
support of special events in title 32, U.S.C., status, and all other 
organizational entities in DoD (hereinafter referred to collectively as 
the ``DoD Components'').
    (b) Does not apply to installation commanders or Heads of DoD 
Components providing localized support to a special event solely under 
the auspices of community relations, public outreach, or recruitment 
efforts pursuant to DoDD 5410.18 (see http://www.dtic.mil/whs/
directives/corres/pdf/541018p.pdf) and DoD Instruction (DoDI) 5410.19 
(see http://www.dtic.mil/whs/directives/corres/pdf/541019p.pdf) or other 
similar authority.



Sec. 183.3  Definitions.

    Unless otherwise noted, these terms and definitions are for the 
purpose of this part only.
    Civil Authorities. Defined in Joint Publication 1-02 (see http://
www.dtic.mil/doctrine/new--pubs/jp1--02.pdf.)
    Integrated Federal Support Overview (IFSO). A collaborative effort 
of the Special Events Working Group. The purpose of the IFSO is to 
inform the Secretary of Homeland Security and other appropriate senior 
Federal officials, including the Federal coordinator for the special 
event, of all the Federal activities and support in preparation for and 
execution of a special event. The IFSO facilitates the Federal 
coordinator's ability to lead a unified coordination group initially in 
case of an incident to support the Secretary of Homeland Security's 
incident management responsibilities. It also educates Federal 
interagency partners on Federal resources committed to the special 
event.
    National Special Security Event (NSSE). An event of national 
significance as determined by the Secretary of Homeland Security. These 
national or international events, occurrences, contests, activities, or 
meetings, which, by virtue of their profile or status, represent a 
significant target, and therefore warrant additional preparation, 
planning, and mitigation efforts. The USSS, FBI, and FEMA are the 
Federal agencies with lead responsibilities for NSSEs; other Federal 
agencies, including DoD, may provide support to the NSSE if authorized 
by law.
    NSSE Executive Steering Committee. Established when the Secretary of 
Homeland Security designates a specific event to be an NSSE. The group, 
led by the USSS, comprises Federal, State, and local public safety and 
security officials whose primary responsibility is to coordinate and 
develop a specific security plan for the designated NSSE.
    Qualifying entity. A non-governmental organization to which the 
Department of Defense may provide assistance by virtue of statute, 
regulation, policy, or other approval by the Secretary of Defense or his 
or her authorized designee.
    Special event. An international or domestic event, contest, 
activity, or

[[Page 1136]]

meeting, which by its very nature, or by specific statutory or 
regulatory authority, may warrant security, safety, and other logistical 
support or assistance from the Department of Defense. Event status is 
not determined by the Department of Defense, and support may be 
requested by either civil authorities or non-governmental entities. 
Support provided may be reimbursable.
    Special Event Working Group. A single forum designed to ensure 
comprehensive and coordinated Federal interagency awareness of, and 
appropriate support to, special events. The Special Event Working Group 
is co-chaired by representatives from DHS (including the USSS and FEMA) 
and the FBI, and comprises representatives from more than 40 Federal 
departments and agencies, including the Department of Defense, the 
Departments of Homeland Security, Justice, State, Energy, Labor, Health 
and Human Services, and Commerce, the Office of the Director of National 
Intelligence, and the Environmental Protection Agency. The Department of 
Defense representative on the Special Event Working Group is designated 
by the Assistant Secretary of Defense for Homeland Defense and Americas' 
Security Affairs (ASD(HD&ASA)).



Sec. 183.4  Policy.

    It is DoD policy that:
    (a) DoD capabilities may be used to provide support for 
international and domestic special events as authorized by law and DoD 
policy. DoD resources in support of special events may be provided only 
after the resources of all other relevant governmental and non-
governmental entities are determined not to be available, unless there 
is a statutory exception or the Department of Defense is the only source 
of specialized capabilities. DoD support should not be provided if use 
of commercial enterprises would be more appropriate.
    (b) DoD Components shall provide support to civil authorities or 
qualifying entities for special events only as authorized in this part.
    (c) The Department of Defense may support such events with 
personnel, equipment, and services in accordance with applicable laws, 
regulations, and interagency agreements. Most support shall be provided 
on a non-interference basis, with careful consideration given to effects 
on readiness and current operations. Support for National Special 
Security Events (NSSEs) shall be in accordance with National Security 
Presidential Directive-46/Homeland Security Presidential Directive-15, 
Annex II.
    (d) DoD security and safety-related support for an event shall have 
priority over logistics assistance. However, logistics assistance may be 
provided if deemed appropriate and necessary, consistent with applicable 
statutes and policy guidance.
    (e) Funding for special events is subject to the following:
    (1) The Department of Defense may receive separate funding or 
authority to provide support to specific special events.
    (2) Support of special events for which the Department of Defense 
does not receive appropriations or for which DoD funds are not available 
for such support must be approved by the Secretary of Defense and must 
be provided on a reimbursable basis in accordance with title 10, U.S.C., 
sections 377, 2553-2555, and 2564; title 31, U.S.C., sections 1535-1536; 
or other applicable statutes.
    (3) Reimbursement for DoD support provided to civilian law 
enforcement agencies during special events is required, in accordance 
with title 10 U.S.C. 377, unless the Secretary of Defense elects to 
waive reimbursement after determining that the support:
    (i) Is provided in the normal course of military training or 
operations; or
    (ii) Results in a benefit to the personnel providing the support 
that is substantially equivalent to that which would otherwise be 
obtained from military operations or training.
    (4) The DoD will provide support to NSSEs in accordance with HSPD 
15/NSPD 46, as authorized by law and policy.
    (5) Security and safety of special events are responsibilities 
shared by Federal, State, and local authorities. If Federal funds will 
be provided to State or local authorities to offset the costs of 
enhanced security and public safety for special events and if State or 
local officials request the employment of National Guard personnel in a 
Federal pay status, States shall be encouraged

[[Page 1137]]

to use those funds to employ those National Guard personnel in a State 
pay status or to reimburse the Department of Defense for costs related 
to the employment of the National Guard personnel in a Federal pay 
status.
    (f) DoD support of special events that includes support to civilian 
law enforcement officials must comply with DoDD 5525.5 (see http://
www.dtic.mil/whs/directives/corres/pdf/552505p.pdf).
    (g) DoD support of special events that includes support to civilian 
intelligence officials must comply with DoD 5240.1-R (see http://
www.dtic.mil/whs/directives/corres/pdf/524001r.pdf).



Sec. 183.5  Responsibilities.

    (a) The Under Secretary of Defense for Policy (USD(P)) shall 
establish policy for and facilitate the interagency coordination of 
special events with Federal, State, and local agencies, and qualifying 
entities and the DoD Components, as required.
    (b) The ASD(HD&ASA), under the authority, direction, and control of 
the USD(P), shall:
    (1) In coordination with the CJCS, oversee the management and 
coordination of DoD support of special events including events covered 
under title 10, U.S.C., section 2564.
    (2) Serve as the principal civilian advisor to the Secretary of 
Defense and the USD(P) on DoD support of special events.
    (3) In accordance with DoDD 5111.13 (see http://www.dtic.mil/whs/
directives/corres/pdf/511113p.pdf), approve requests for assistance from 
civil authorities and qualifying entities for DoD support of special 
events. Such requests shall be coordinated with appropriate offices 
within OSD, with the CJCS, and with the heads of appropriate DoD 
Components. The ASD(HD&ASA) will immediately notify the Secretary of 
Defense and the USD(P) when this authority is exercised.
    (4) Coordinate, or consult on, special event support policy with 
other Federal departments and agencies (which may include the Department 
of Homeland Security (DHS), the Federal Bureau of Investigation (FBI), 
the U.S. Secret Service (USSS), and the Federal Emergency Management 
Agency (FEMA)) and with other qualifying entities as appropriate.
    (5) Develop, coordinate, and oversee the implementation of DoD 
support of special events.
    (6) Through the CJCS, monitor the activation, deployment, and 
employment of DoD personnel, facilities, and other resources involved in 
DoD support of special events.
    (7) Coordinate DoD support of special events with the General 
Counsel of the Department of Defense (GC, DoD) and the Under Secretary 
of Defense (Comptroller)/Chief Financial Officer, Department of Defense 
(USD(C)/CFO).
    (8) Coordinate with the Assistant Secretary of Defense for Public 
Affairs (ASD(PA)) to ensure that information relating to DoD support of 
special events receives appropriate dissemination using all approved 
media.
    (9) Represent the Department of Defense regarding special events to 
other Federal departments and agencies, State and local authorities, and 
qualifying entities, including designating the Department of Defense 
representatives for the working groups identified in Sec. 183.6(b) of 
this part.
    (10) Manage, in conjunction with the USD(C)/CFO, the Support for 
International Sporting Competitions (SISC) Defense Account.
    (11) In accordance with section 5802 of Public Law 104-208, as 
amended, notify the congressional defense committees of DoD plans to 
obligate funds in the SISC Defense Account.
    (12) In accordance with title 10 U.S.C. 2564, submit an annual 
report to Congress, no later than January 30 of each year following a 
year in which the Department of Defense provides assistance under title 
10 U.S.C. 2564, detailing DoD support to certain sporting competitions.
    (c) The Under Secretary of Defense for Personnel and Readiness 
(USD(P&R)) shall coordinate on DoD support of special events and, in 
coordination with the CJCS, provide advice regarding the effect the 
requested support will have on readiness and military operations.
    (d) The USD(C)/CFO shall:

[[Page 1138]]

    (1) Coordinate on DoD support of special events, and provide advice 
regarding the effect on the DoD budget and on DoD financial resources.
    (2) Maintain the SISC Defense Account in conjunction with the 
ASD(HD&ASA).
    (e) The Under Secretary of Defense for Acquisition, Technology, and 
Logistics (USD(AT&L)) shall coordinate on DoD logistical support of 
special events.
    (f) The GC, DoD shall coordinate and provide legal counsel on DoD 
support of special events.
    (g) The ASD(PA) shall provide policy guidance and review, 
coordinate, and approve requests for ceremonial and entertainment 
support for special events covered by this part, in accordance with DoDD 
5410.18 (see http://www.dtic.mil/whs/directives/corres/pdf/541018p.pdf), 
DoDI 5410.19 (see http://www.dtic.mil/whs/directives/corres/pdf/
541019p.pdf) and DoDD 5122.05 (see http://www.dtic.mil/whs/directives/
corres/pdf/512205p.pdf).
    (h) The Heads of the DoD Components shall:
    (1) Designate and maintain an office of primary responsibility (OPR) 
for special events or a special events coordinator, and provide that OPR 
designation and contact information to the CJCS within 60 days of the 
publication of this part. Changes to OPR designation and contact 
information shall be provided to the CJCS within 30 days of the change.
    (2) Provide personnel, equipment, and support of special events as 
directed.
    (3) Ensure that personnel supporting special events comply with 
applicable antiterrorism and force protection training and standards.
    (4) Provide other support of special events as directed.
    (i) The CJCS shall:
    (1) Provide planning guidance to DoD Components for all special 
events for which DoD support may require the employment of military 
forces or centralized command and control.
    (2) Review all requests for DoD support of special events and, in 
coordination with the USD(P&R), provide advice on the effect that the 
requested support will have on readiness and military operations.
    (3) Prepare, staff, and issue orders and messages on DoD support of 
special events that has been approved by authorized DoD officials.
    (4) Issue guidance to the Combatant Commanders on the implementation 
of this part.
    (5) Process requests for DoD support of special events.
    (6) Maintain sufficient staff to manage the day-to-day operational 
aspects of DoD support of special events.
    (7) Manage and maintain equipment that is procured to support DoD 
special events.
    (i) Establish and operate a system for delivering DoD assets to 
authorized recipients and for recovering loaned assets at the conclusion 
of the event.
    (ii) Ensure the civil authorities and qualifying entities authorized 
to accept DoD assets provide a surety bond or other suitable insurance 
protection to cover the cost of lost, stolen, or damaged DoD property.
    (iii) Plan and program for the life-cycle replacement of special 
events equipment procured under title 10 U.S.C. 2553, 2554, and 2564.
    (iv) Procure goods and services through contracting, when necessary 
and authorized by law.
    (8) Administer the expenditure of appropriated funds, and ensure 
that the Department of Defense is reimbursed for its support of special 
events when required by law or DoD policy.
    (i) With the assistance of the DoD Components, provide cost 
estimates of DoD support to a special event that is under consideration 
for approval.
    (ii) Upon approval, administer the execution of funding for DoD 
support of special events.
    (iii) At the conclusion of DoD support to a special event, collect 
and provide a financial accounting for all DoD funds expended in support 
of that special event.
    (9) Establish and maintain effective liaison with DoD Components for 
the timely exchange of information about special event projects.
    (10) Provide other support of special events as directed.
    (j) The Chief, National Guard Bureau (NGB), under the authority, 
direction, and control of the Secretary of Defense

[[Page 1139]]

through the Secretary of the Army and the Secretary of the Air Force, 
shall:
    (1) Serve as the channel of communications for all matters 
pertaining to the National Guard between DoD Components and the States 
in accordance with DoDD 5105.77 (see http://www.dtic.mil/whs/directives/
corres/pdf/510577p.pdf).
    (2) Report National Guard special event support of civil authorities 
or qualifying entities when using Federal resources, equipment, or 
funding to the National Joint Operations and Intelligence Center.
    (3) Serve as an advisor to the Combatant Commanders on National 
Guard matters pertaining to the combatant command missions, and support 
planning and coordination for DoD support of special events as requested 
by the CJCS or the Combatant Commanders.
    (4) Ensure that National Guard appropriations are appropriately 
reimbursed for special event activities.
    (5) Advocate for needed special event capabilities.
    (6) Develop, in accordance with DoDD 5105.77 and in coordination 
with the Secretaries of the Army and Air Force and the ASD(HD&ASA), 
guidance regarding this part as it relates to National Guard matters.



Sec. 183.6  Procedures.

    (a) General Provisions. (1) This section provides the basic 
procedures for DoD support to special events.
    (2) As appropriate, amplifying procedures regarding DoD support to 
special events shall be published separately and maintained by the 
Office of the ASD(HD&ASA) and released as needed in the most effective 
medium consistent with DoD Directive 8320.02 (see http://www.dtic.mil/
whs/directives/corres/pdf/832002p.pdf).
    (b) Special Event Process. (1) Engagement. (i) Engagement may be 
initiated by the Department of Defense, civil authorities, or qualifying 
entities. If the initial engagement is not a written request for 
assistance (RFA), representatives of the ASD(HD&ASA) and the Joint Staff 
will confer to determine actual requirements.
    (ii) Engagement may involve informational briefings and meetings 
between DoD representatives and special event organizers, civil 
authorities, or qualifying entities. These informal engagements may 
result in non-DoD entities submitting an RFA to the DoD Executive 
Secretary, requesting DoD support for a special event.
    (iii) Once an RFA is received, it will be sent to the ASD(HD&ASA) 
and the CJCS simultaneously for staffing and recommendation. Additional 
engagement with the requestor may be required to quantify the scope and 
magnitude of the support requested.
    (2) Planning. (i) The direction and focus of DoD special-event 
planning will depend on the nature of the event and scope and magnitude 
of the support requested or anticipated. International events may 
require additional planning, procedures, and coordination with the 
government of the host country.
    (ii) For National Special Security Events (NSSEs) and events that 
may require the employment of military forces and centralized command 
and control, the CJCS will issue a planning order requesting a Combatant 
Commander to initiate planning and notify potential supporting commands 
or organizations and the Chief, NGB, as appropriate. When possible, 
established CJCS-directed planning procedures will be used for the 
Combatant Commander to provide an assessment and request for forces.
    (A) The NSSE designation process generally is initiated by a formal 
written request to the Secretary of Homeland Security by the State or 
local government hosting the event. In other situations where the event 
is federally sponsored, an appropriate Federal official will make the 
request.
    (B) Once the request is received by DHS, the USSS and the FBI will 
send an NSSE questionnaire to the responsible host official for 
completion. The request, completed questionnaires, and other supporting 
information are reviewed by the NSSE Working Group (which includes a 
non-voting DoD member), which provides a recommendation to the Secretary 
of Homeland Security regarding NSSE designation.
    (C) The Secretary of Homeland Security makes the final determination 
to

[[Page 1140]]

designate an event as an NSSE pursuant to Homeland Security Presidential 
Directive 7 (see http://www.gpo.gov/fdsys/pkg/PPP-2003-book2/pdf/PPP-
2003-book2-doc-pg1739.pdf).
    (iii) There are numerous events where DoD support should be 
anticipated and a planning order issued to the appropriate Combatant 
Commander. These include, but are not limited to:
    (A) The President's State of the Union Address or other addresses to 
a Joint Session of Congress.
    (B) Annual meetings of the United Nations General Assembly.
    (C) National Presidential nominating conventions.
    (D) Presidential inaugural activities.
    (E) International summits or meetings.
    (F) State funerals.
    (G) The National Boy Scout Jamboree.
    (H) Certain international or domestic sporting competitions.
    (iv) There are other events that the Department of Defense supports 
that do not involve the assignment of military forces or centralized 
command and control by Combatant Commanders, which include planning 
requirements by the host organizations. These include, but are not 
limited to:
    (A) Military Department or Service-sponsored events, such as:
    (1) The Marine Corps Marathon.
    (2) The Army 10-Miler.
    (3) Navy Fleet Weeks.
    (4) Installation or Joint Service Open Houses.
    (5) Service or Joint Air Shows.
    (B) Community relations activities authorized in accordance with 
DoDI 5410.19.
    (v) The Department of Defense may provide support to certain 
sporting events that are included under subsection (c) of section 2564 
of title 10, U.S.C., by providing technical, contracting, and 
specialized equipment support. These events may be funded by the SISC 
Defense Account pursuant to title 10 U.S.C. 2564 and include:
    (A) The Special Olympics.
    (B) The Paralympics.
    (C) Sporting events sanctioned by the United States Olympic 
Committee (USOC) through the Paralympic Military Program.
    (D) Other international or domestic Paralympic sporting events that 
are held in the United States or its territories, governed by the 
International Paralympic Committee, and sanctioned by the USOC:
    (1) For which participation exceeds 100 amateur athletes.
    (2) In which at least 10 percent of the athletes participating in 
the sporting event are either members or former members of U.S. Military 
Services who are participating in the sporting event based upon an 
injury or wound incurred in the line of duty or veterans who are 
participating in the sporting event based upon a service-connected 
disability.
    (vi) Planning for DoD support to the Olympics and certain other 
sporting events requires additional considerations.
    (A) Subsections (a) and (b) of section 2564 of title 10, U.S.C., 
authorize the Secretary of Defense to provide assistance for the 
Olympics and certain other sporting events. Unless the event meets the 
specific requirements stated in paragraph (b)(2)(v) of this section, the 
Attorney General must certify that DoD security and safety assistance is 
necessary to meet essential security and safety needs of the event.
    (B) The Department of Defense, led by the ASD(HD&ASA), will 
collaborate with the CJCS, the Department of Justice, including the FBI, 
and other appropriate DoD Components and Federal departments or 
agencies, usually as part of a Joint Advisory Committee (JAC), to 
provide a recommendation to the Attorney General on what categories of 
support the Department of Defense may be able to provide to meet 
essential security and safety needs of the event.
    (C) Support other than safety and security may be authorized for 
sporting events, but only to the extent that:
    (1) Such needs cannot reasonably be met by a source other than the 
Department of Defense.
    (2) Such assistance does not adversely affect military preparedness.
    (3) The requestor of such assistance agrees to reimburse the 
Department of

[[Page 1141]]

Defense, in accordance with the provisions of title 10 U.S.C. 377, 2553-
2555, and 2564; title 31 U.S.C. 1535-1536; and other applicable 
provisions of law.
    (vii) Types of support that the Department of Defense can provide 
include, but are not limited to:
    (A) Aviation.
    (B) Communications (e.g., radios, mobile telephones, signal 
integrators).
    (C) Security (e.g., magnetometers, closed-circuit televisions, 
perimeter alarm systems, undercarriage inspection devices).
    (D) Operations and Command Centers (e.g., design and configuration, 
video walls).
    (E) Explosive ordnance detection and disposal (technical advice, 
explosive ordnance disposal teams, explosive detector dog, dog teams).
    (F) Logistics (transportation, temporary facilities, food, lodging).
    (G) Ceremonial support (in coordination with the ASD(PA)).
    (H) Chemical, biological, radiological, and nuclear threat 
identification, reduction, and response capabilities.
    (I) Incident response capabilities (in coordination with the 
Department of Justice, DHS, the Department of Health and Human Services, 
and in consultation with appropriate State and local authorities).
    (viii) DoD personnel support of special events is provided using a 
total force sourcing solution that may include Active Duty and Reserve 
Component military personnel, DoD civilian personnel, and DoD contractor 
personnel. The Department of Defense also may decide to respond to 
requests for assistance by approving, with the consent of the 
Governor(s) concerned, National Guard forces performing duty pursuant to 
title 32 U.S.C. 502.
    (A) National Guard personnel conducting support of special events 
while on State active duty, at the direction of their Governor or 
Adjutant General, are not considered to be providing DoD support of 
special events.
    (B) This part does not limit or affect Department of Defense and 
National Guard personnel volunteering to support special events during 
their non-duty time. This volunteer support is not considered as part of 
DoD support of special events. Volunteers are prohibited from obligating 
or using DoD resources to support a special event while in a volunteer 
status except as authorized by separate statute or authority.
    (3) Coordination. (i) Coordination of DoD support of special events 
will likely take place simultaneously with engagement and planning; 
operate across the full spectrum of strategic, operational, and tactical 
levels; and occur internally among DoD Components and externally with 
supported civil authorities and qualifying entities.
    (A) Policy coordination at the departmental level between the 
Department of Defense and other Federal departments or agencies is the 
responsibility of the ASD(HD&ASA). Other DoD Components may send 
representatives to these meetings with the prior concurrence of the 
ASD(HD&ASA). Standing departmental-level special events coordination 
meetings include:
    (1) USSS-led NSSE Working Group.
    (2) DHS-led Special Events Working Group.
    (3) Department of State, Bureau of Diplomatic Security-led 
International Sporting Event Group.
    (B) Coordination within the Department of Defense is led by the 
ASD(HD&ASA) and is facilitated by the CJCS for the Combatant Commands 
and other joint commands and by other DoD Component Heads for their 
constituent elements.
    (C) The CJCS will work with the Military Service Chiefs, the Chief 
of the National Guard Bureau, and the Heads of DoD Components when 
subject matter expertise is needed for the event organizers. This will 
be based upon location and other criteria, as needed.
    (ii) Inputs to the DHS-produced Integrated Federal Support Overview 
(IFSO) will be solicited by the CJCS and sent to the ASD(HD&ASA) for 
consolidation and deconfliction prior to final submission to DHS. DoD 
Component Heads not tasked by the Joint Staff will submit their input 
directly to the ASD(HD&ASA).
    (iii) RFAs for DoD support will adhere to the following:
    (A) An RFA for DoD support to a special event may be made by 
Federal,

[[Page 1142]]

State, or local civil authorities, or by qualifying entities.
    (B) RFAs will be in writing and addressed to the Secretary of 
Defense, the Deputy Secretary of Defense, or the DoD Executive 
Secretary, 1000 Defense, Pentagon, Washington, DC 20301-1000. DoD 
Components who receive RFAs directly from the requestor will immediately 
forward them to the DoD Executive Secretary for disposition, 
distribution, and tracking.
    (C) At a minimum, the RFA will be distributed to the ASD(HD&ASA) and 
the CJCS for staffing and recommendation. If the RFA is for a single 
capability for which a DoD Component is the OPR or serves as a DoD 
Executive Agent, the RFA is sent to that Component for action with an 
information copy provided to the ASD(HD&ASA) and the CJCS.
    (D) Vetting of RFAs will be in accordance with the DoD Global Force 
Management process and consistent with criteria published in DoD 
8260.03-M, Volume 2 (see http://www.dtic.mil/whs/directives/corres/pdf/
826003m--vol2.pdf).
    (E) Heads of DoD Components will consult with the DoD Executive 
Secretary on which DoD official will communicate DoD special event 
support decisions to the requesting authorities.
    (4) Execution. Execution of DoD support of special events is a 
shared responsibility. The scope and magnitude of the support being 
provided will determine the OPR and level of execution.
    (i) When joint military forces or centralized command and control of 
DoD support to a special event are anticipated or required, a Combatant 
Commander may be identified as the supported commander in a properly 
approved order issued by the CJCS. The designated Combatant Command 
shall be the focal point for execution of DoD support to that special 
event with other DoD Components in support. Reporting requirements shall 
be in accordance with the properly approved order issued by the CJCS and 
standing business practices.
    (ii) When there are no joint military forces required and there is 
no need for centralized command and control, DoD support of special 
events shall be executed by the CJCS or the Head of a DoD Component, as 
designated in a properly approved order or message issued by the CJCS. 
Oversight of DoD support will be provided by the ASD(HD&ASA).
    (iii) As described in the Joint Action Plan for Developing Unity of 
Effort, when Federal military forces and State military forces are 
employed simultaneously in support of civil authorities in the United 
States, appointment of a dual-status commander is the usual and 
customary command and control arrangement. Appointment of a dual-status 
commander requires action by the President and the appropriate Governor 
(or their designees).
    (5) Recovery. (i) Durable, non-unit equipment procured by the 
Department of Defense to support a special event shall be retained by 
the CJCS for use during future events in accordance with Sec. 
183.5(i)(7) of this part.
    (ii) An after-action report shall be produced by the Combatant 
Command or OPR and sent to the ASD(HD&ASA) and the CJCS within 60 days 
of completion of the event.



PART 185_DEFENSE SUPPORT OF CIVIL AUTHORITIES (DSCA)--Table of Contents



Sec.
185.1 Purpose.
185.2 Applicability and scope.
185.3 Definitions.
185.4 Policy.
185.5 Responsibilities.

    Authority: Legal authority includes, 10 U.S.C. sections 113, 331-
335, 371-382, 2553, 2554, 2555, and 2564; 31 U.S.C. 1535-1536 (Economy 
Act); 42 U.S.C. section 5121 et seq. (Robert T. Stafford Disaster Relief 
and Emergency Assistance Act, as amended (Stafford Act)); and Public Law 
94-524, as amended (Presidential Protection Assistance Act of 1976).

    Source: 76 FR 2248, Jan. 13, 2011, unless otherwise noted.



Sec. 185.1  Purpose.

    This part:
    (a) Establishes policy and assigns responsibilities for DSCA, also 
referred to as civil support.

[[Page 1143]]

    (b) Supplements the regulations (in DoD Directive 5525.5) \1\ 
required by section 375 of title 10, United States Code (U.S.C.), 
regarding military support for civilian law enforcement.
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    \1\ Available for downloading at http://www.dtic.mil/whs/directives/
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    (c) Sets forth policy guidance for the execution and oversight of 
DSCA when requested by civil authorities or by qualifying entities and 
approved by the appropriate DoD official, or as directed by the 
President, within the United States, including the District of Columbia, 
the Commonwealth of Puerto Rico, the U.S. Virgin Islands, Guam, American 
Samoa, the Commonwealth of the Northern Mariana Islands, and any 
territory or possession of the United States or any political 
subdivision thereof.
    (d) Authorizes immediate response authority for providing DSCA, when 
requested.
    (e) Authorizes emergency authority for the use of military force, 
under dire situations, as described in Sec. 185.4(i) of this part.



Sec. 185.2  Applicability and scope.

    This part:
    (a) Applies to the Office of the Secretary of Defense, the Military 
Departments, the Office of the Chairman of the Joint Chiefs of Staff and 
the Joint Staff, the Combatant Commands, the Office of the Inspector 
General of the Department of Defense, the Defense Agencies, the DoD 
Field Activities, and all other organizational entities within the 
Department of Defense (hereafter referred to collectively as the ``DoD 
Components'').
    (b) Applies to the Army National Guard and the Air National Guard 
(hereafter referred to collectively as the ``National Guard'') personnel 
when under Federal command and control. Also applies to National Guard 
personnel when the Secretary of Defense determines that it is 
appropriate to employ National Guard personnel in title 32, U.S.C., 
status to fulfill a request for DSCA, the Secretary of Defense requests 
the concurrence of the Governors of the affected States, and those 
Governors concur in the employment of National Guard personnel in such a 
status.
    (c) Applies to all DSCA (except the specific forms of DSCA listed in 
paragraph (d) of this section), including but not limited to:
    (1) Mutual or automatic aid, also known as reciprocal fire 
protection agreements (see chapter 15A of title 42 U.S.C.).
    (2) DoD fire and emergency services programs (see DoD Instruction 
6055.06) \2\.
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    \2\ Available by downloading at http://www.dtic.mil/whs/directives/
corres/pdf/605506p.pdf.
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    (3) Support of special events in accordance with applicable laws and 
DoD policy (see DoD Directive 2000.15) \3\.
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    \3\ Available by downloading at http://www.dtic.mil/whs/directives/
corres/pdf/200015p.pdf.
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    (4) United States Army Corps of Engineers (USACE) activities as the 
DoD Coordinating and Primary Agency for Emergency Support Function 
3, Public Works and Engineering, of the National Response 
Framework.
    (5) Defense support to civilian law enforcement agencies (see DoDD 
3025.12 \4\ and DoD Directive 5525.5).
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    \4\ Available by downloading at http://www.dtic.mil/whs/directives/
corres/pdf/302512p.pdf.
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    (d) Does not apply to the following:
    (1) Support in response to foreign disasters provided in accordance 
with DoD Directive 5100.46 \5\.
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    \5\ Available by downloading at http://www.dtic.mil/whs/directives/
corres/pdf/510046p.pdf.
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    (2) Joint investigations conducted by the Inspector General of the 
Department of Defense, the Defense Criminal Investigative Service, and 
the military criminal investigative organizations with civil law 
enforcement agencies on matters within their respective jurisdictions 
using their own forces and equipment.
    (3) Detail of DoD personnel to duty outside the Department of 
Defense in accordance with DoD Instruction 1000.17 \6\.
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    \6\ Available by downloading at http://www.dtic.mil/whs/directives/
corres/pdf/100017p.pdf.
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    (4) Counternarcotics operations conducted under the authority of 
section 1004 of Public Law 101-510 (1991).

[[Page 1144]]

    (5) Support provided by the USACE when accomplishing missions and 
responsibilities under the authority of section 701n of title 33, U.S.C. 
and Executive Order 12656.
    (6) Assistance provided by DoD intelligence and counterintelligence 
components in accordance with DoD Directive 5240.01 \7\, Executive 
Orders 12333 and 13388, DoD 5240.1-R \8\, and other applicable laws and 
regulations.
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    \7\ Available by downloading at http://www.dtic.mil /whs/directives 
/corres/pdf /524001p.pdf.
    \8\ Available by downloading at http://www.dtic.mil /whs/directives 
/corres/pdf /524001r.pdf.
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    (7) Military community relations programs and activities 
administered by the Assistant Secretary of Defense for Public Affairs 
(see DoD Directive 5410.18 \9\ and DoD Instruction 5410.19 \10\).
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    \9\ Available by downloading at http://www.dtic.mil /whs/directives 
/corres/pdf /541018p.pdf.
    \10\ Available by downloading at http://www.dtic.mil /whs/directives 
/corres/pdf/ 541019p.pdf.
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    (8) Sensitive support in accordance with DoD Directive S-5210.36 
\11\.
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    \11\ Document is classified and copies maybe requested by contacting 
USD(I), [email protected]
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    (9) Activities performed by the Civil Air Patrol in support of civil 
authorities or qualifying entities when approved by the Air Force as 
auxiliary missions in accordance with section 9442 of title 10, U.S.C. 
and DoD 3025.1-M \12\ except as restricted by Sec. 185.4(j) of this 
part.
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    \12\ Available by downloading at http://www.dtic.mil /whs/directives 
/corres/pdf /302501m.pdf.
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    (10) Innovative readiness training (formerly called ``civil-military 
cooperative action programs'') (see DoD Directive 1100.20) \13\.
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    \13\ Available by downloading at http://www.dtic.mil /whs/directives 
/corres/ pdf/ 110020p.pdf.
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Sec. 185.3  Definitions.

    Civil Authorities. See Joint Publication 1-02 \14\.
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    \14\ Available by downloading at http://www.dtic.mil /doctrine /
new--pubs /jp1--02.pdf.
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    Civil Disturbances. See Joint Publication 1-02.
    Defense Domestic Crisis Manager. The lead DoD official responsible 
for DoD's domestic crisis management response, ensuring the information 
needs and other requirements of the Secretary of Defense are met, and 
developing, coordinating, and overseeing the implementation of DoD 
policy for crisis management to ensure DoD capability to develop and 
execute options to prevent, mitigate, or respond to a potential or 
actual domestic crisis. The Assistant Secretary of Defense for Homeland 
Defense and Americas' Security Affairs (ASD(HD&ASA)) serves as the 
Defense Domestic Crisis Manager.
    Defense Support of Civil Authorities (DSCA). Support provided by 
U.S. Federal military forces, DoD civilians, DoD contract personnel, DoD 
Component assets, and National Guard forces (when the Secretary of 
Defense, in coordination with the Governors of the affected States, 
elects and requests to use those forces in title 32, U.S.C., status) in 
response to requests for assistance from civil authorities for domestic 
emergencies, law enforcement support, and other domestic activities, or 
from qualifying entities for special events. Also known as civil 
support.
    Direct Liaison. An authority for Federal military forces to consult 
with, coordinate with, and respond to State authorities (including 
National Guard units and personnel operating in Title 32 status or in 
State Active Duty status) or Federal civilian authorities in the 
tactical-level execution of assigned tasks, pursuant to an order by the 
Secretary of Defense or the President to provide support to those 
authorities.
    Emergency Authority. A Federal military commander's authority, in 
extraordinary emergency circumstances where prior authorization by the 
President is impossible and duly constituted local authorities are 
unable to control the situation, to engage temporarily in activities 
that are necessary to quell large-scale, unexpected civil disturbances 
because (1) such activities are necessary to prevent significant loss of 
life or wanton destruction of property and are necessary to restore 
governmental function and public order or (2) duly constituted Federal, 
State, or local authorities are unable or decline to provide adequate 
protection for Federal property or Federal governmental functions.

[[Page 1145]]

    Federal Military Forces. Army, Navy, Marine Corps and Air Force 
personnel (including Reserve Component personnel) on Federal active duty 
and National Guard personnel when under Federal command and control.
    Immediate Response Authority. A Federal military commander's, DoD 
Component Head's, and/or responsible DoD civilian official's authority 
temporarily to employ resources under their control, subject to any 
supplemental direction provided by higher headquarters, and provide 
those resources to save lives, prevent human suffering, or mitigate 
great property damage in response to a request for assistance from a 
civil authority, under imminently serious conditions when time does not 
permit approval from a higher authority within the United States. 
Immediate response authority does not permit actions that would subject 
civilians to the use of military power that is regulatory, prescriptive, 
proscriptive, or compulsory. State immediate response is addressed in 
Sec. 185.4(h) of this part.
    Qualifying Entity. A non-Governmental organization to which the 
Department of Defense may provide assistance for special events by 
virtue of statute, regulation, policy, or other approval by the 
Secretary of Defense or his or her authorized designee.
    Responsible DoD Civilian. For purposes of DSCA, the Head of a DoD 
Component or other DoD civilian official who has authority over DoD 
assets that may be used for a DSCA response.
    Special Event. An international or domestic event, contest, 
activity, or meeting, which by its very nature, or by specific statutory 
or regulatory authority, may warrant security, safety, and/or other 
logistical support or assistance from the Department of Defense.
    Total Force. See DoD Directive 1200.17 \15\.
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    \15\ Available by downloading at http://www.dtic.mil /whs/directives 
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Sec. 185.4  Policy.

    It is DoD policy that:
    (a) This part shall be implemented consistent with national security 
objectives and military readiness.
    (b) Unless expressly stated otherwise, the provisions of this part 
should not be construed to rescind any existing authorities of the Heads 
of DoD Components, commanders, and/or responsible DoD civilians to 
provide DSCA in accordance with existing laws, DoD issuances, and 
Secretary of Defense-approved orders.
    (c) DSCA is initiated by a request for DoD assistance from civil 
authorities or qualifying entities or is authorized by the President or 
Secretary of Defense.
    (d) All requests for DSCA shall be written, and shall include a 
commitment to reimburse the Department of Defense in accordance with the 
Stafford Act, Economy Act, or other authorities except requests for 
support for immediate response, and mutual or automatic aid, in 
accordance with Sec. 185.4(g) and (m) of this part. Unless approval 
authority is otherwise delegated by the Secretary of Defense, all DSCA 
requests shall be submitted to the office of the Executive Secretary of 
the Department of Defense. For assistance provided according to Sec. 
185.4(g) of this part, civil authorities shall be informed that oral 
requests for assistance in an emergency must be followed by a written 
request that includes an offer to reimburse the Department of Defense at 
the earliest available opportunity. States also must reimburse the 
United States Treasury in accordance with section 9701 of title 31, 
U.S.C. Support may be provided on a non-reimbursable basis only if 
required by law or if both authorized by law and approved by the 
appropriate DoD official.
    (e) All requests from civil authorities and qualifying entities for 
assistance shall be evaluated for:
    (1) Legality (compliance with laws).
    (2) Lethality (potential use of lethal force by or against DoD 
Forces).
    (3) Risk (safety of DoD Forces).
    (4) Cost (including the source of funding and the effect on the DoD 
budget).
    (5) Appropriateness (whether providing the requested support is in 
the interest of the Department).

[[Page 1146]]

    (6) Readiness (impact on the Department of Defense's ability to 
perform its primary mission).
    (f) DSCA plans shall be compatible with the National Response 
Framework; the National Incident Management System; all contingency 
plans for operations in the locations listed in Sec. 185.1(c) of this 
part; and any other national plans (approved by the President or 
Secretary of Defense) or DoD issuances governing DSCA operations. DSCA 
planning will consider command and control options that will emphasize 
unity of effort, and authorize direct liaison if authorized by the 
Secretary of Defense.
    (g) Federal military commanders, Heads of DoD Components, and/or 
responsible DoD civilian officials (hereafter referred to collectively 
as ``DoD officials'') have immediate response authority as described in 
this part. In response to a request for assistance from a civil 
authority, under imminently serious conditions and if time does not 
permit approval from higher authority, DoD officials may provide an 
immediate response by temporarily employing the resources under their 
control, subject to any supplemental direction provided by higher 
headquarters, to save lives, prevent human suffering, or mitigate great 
property damage within the United States. Immediate response authority 
does not permit actions that would subject civilians to the use of 
military power that is regulatory, prescriptive, proscriptive, or 
compulsory.
    (1) The DoD official directing a response under immediate response 
authority shall immediately notify the National Joint Operations and 
Intelligence Center (NJOIC), through the chain of command, of the 
details of the response. The NJOIC will inform appropriate DoD 
Components to including the geographic Combatant Command.
    (2) An immediate response shall end when the necessity giving rise 
to the response is no longer present (e.g., when there are sufficient 
resources available from State, local, and other Federal agencies to 
respond adequately and that agency or department has initiated response 
activities) or when the initiating DoD official or a higher authority 
directs an end to the response. The DoD official directing a response 
under immediate response authority shall reassess whether there remains 
a necessity for the Department of Defense to respond under this 
authority as soon as practicable but, if immediate response activities 
have not yet ended, not later than 72 hours after the request of 
assistance was received.
    (3) Support provided under immediate response authority should be 
provided on a cost-reimbursable basis, where appropriate or legally 
required, but will not be delayed or denied based on the inability or 
unwillingness of the requester to make a commitment to reimburse the 
Department of Defense.
    (h) The authority of State officials is recognized to direct a State 
immediate response using National Guard personnel under State command 
and control (including personnel in a title 32, U.S.C. (hereafter 
referred to as ``Title 32'') status) in accordance with State law, but 
National Guard personnel will not be placed in or extended in Title 32 
status to conduct State immediate response activities.
    (i) Federal military commanders are provided emergency authority 
under this part. Federal military forces shall not be used to quell 
civil disturbances unless specifically authorized by the President in 
accordance with applicable law (e.g., chapter 15 of title 10, U.S.C.) or 
permitted under emergency authority, as described below (See DoD 
Directive 3025.12 \16\ and DoD Directive 5525.5 \17\.) In these 
circumstances, those Federal military commanders have the authority, in 
extraordinary emergency circumstances where prior authorization by the 
President is impossible and duly constituted local authorities are 
unable to control the situation, to engage temporarily in activities 
that are necessary to quell large-scale, unexpected civil disturbances 
because:
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    (1) Such activities are necessary to prevent significant loss of 
life or wanton destruction of property and are necessary to restore 
governmental function and public order, or,

[[Page 1147]]

    (2) When duly constituted Federal, State, or local authorities are 
unable or decline to provide adequate protection for Federal property or 
Federal governmental functions. Federal action, including the use of 
Federal military forces, is authorized when necessary to protect the 
Federal property or functions.
    (j) Except for immediate response and emergency authority as 
described in Sec. 185.4(g) and Sec. 185.4(i) of this part, only the 
Secretary of Defense may approve requests from civil authorities or 
qualifying entities for Federal military support for:
    (1) Defense assistance in responding to civil disturbances (requires 
Presidential authorization) in accordance with DoD Directive 3025.12.
    (2) Defense response to CBRNE events (see DoD Instruction 2000.18) 
\18\.
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/corres/pdf/ 200018p.pdf.
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    (3) Defense assistance to civilian law enforcement organizations, 
except as authorized in DoD Directive 5525.5.
    (4) Assistance in responding with assets with potential for 
lethality. This support includes loans of arms; vessels or aircraft; or 
ammunition. It also includes assistance under section 382 of title 10, 
U.S.C., and section 831 of title 18, U.S.C.; all support to 
counterterrorism operations; and all support to civilian law enforcement 
authorities in situations where a confrontation between civilian law 
enforcement and civilian individuals or groups is reasonably 
anticipated.
    (k) Federal military forces employed for DSCA activities shall 
remain under Federal military command and control at all times.
    (l) Special event support to a qualifying entity shall be treated as 
DSCA.
    (m) All requests for DSCA mutual and automatic aid via the DoD Fire 
& Emergency Services programs shall be in accordance with DoD 
Instruction 6055.06.
    (n) DSCA is a total force mission (see DoD Directive 1200.17).
    (o) No DoD unmanned aircraft systems (UAS) will be used for DSCA 
operations, including support to Federal, State, local, and tribal 
government organizations, unless expressly approved by the Secretary of 
Defense. Use of armed UAS for DSCA operations is not authorized. (See 
DoD Directive 5240.01, Executive Orders 12333 and 13388, and DoD 5240.1-
R.)
    (p) Direct liaison between DoD Components and the States should 
occur only when time does not permit compliance with Sec. 185.5(m)(1) 
of this part. In each such instance, the Chief, National Guard Bureau, 
will be informed of the direct liaison.



Sec. 185.5  Responsibilities.

    (a) The Under Secretary of Defense for Policy (USD(P)) shall:
    (1) Coordinate DSCA policy with other Federal departments and 
agencies, State agencies, and the DoD Components, as appropriate.
    (2) Establish DoD policy governing DSCA.
    (b) The Assistant Secretary of Defense for Homeland Defense and 
Americas' Security Affairs (ASD(HD&ASA)), under the authority, 
direction, and control of the USD(P) shall:
    (1) Serve as the principal civilian advisor to the Secretary of 
Defense and the USD(P) for DSCA.
    (2) Serve as the Defense Domestic Crisis Manager.
    (3) As delegated by the Secretary of Defense in accordance with DoD 
Directive 5111.13 \19\, serve as approval authority for requests for 
assistance from civil authorities or qualifying entities sent to the 
Secretary of Defense, except for those items retained in Sec. 185.4(j) 
and (o) of this part, or delegated to other officials. This authority 
may not be delegated further than the Principal Deputy Assistant 
Secretary of Defense for Homeland Defense and Americas' Security 
Affairs. When carrying out this authority, the ASD(HD&ASA) shall:
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    (i) Coordinate requests with the Chairman of the Joint Chiefs of 
Staff, the Commanders of the Combatant Commands with DSCA 
responsibilities in the matter, and Military Department Secretaries and 
other DoD officials as appropriate.

[[Page 1148]]

    (ii) Immediately notify the Secretary of Defense of the use of this 
authority.
    (4) Develop, coordinate, and oversee the implementation of DoD 
policy for DSCA plans and activities, including:
    (i) Requests for assistance during domestic crises, emergencies, or 
civil disturbances.
    (ii) Domestic consequence management.
    (iii) Coordination or consultation, as appropriate, with the 
Department of Homeland Security and other Federal agencies on the 
development and validation of DSCA requirements.
    (iv) DoD support for national special security events.
    (v) DoD support for national and international sporting events, in 
accordance with section 2564 of title 10, U.S.C.
    (vi) Direct the fullest appropriate dissemination of information 
relating to all aspects of DSCA, using all approved media and in 
accordance with DoD Directive 8320.02 \20\.
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    \20\ Available by downloading at http://www.dtic.mil /whs/directives 
/corres/pdf /832002p.pdf.
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    (5) Exercise staff cognizance over DoD Directive 5525.5.
    (c) The Assistant Secretary of Defense for Special Operations and 
Low Intensity Conflict and Interdependent Capabilities, under the 
authority, direction, and control of the USD(P), shall support planning 
by the Defense Domestic Crisis Manager during DSCA operations, as 
required.
    (d) The Under Secretary of Defense (Comptroller)/Chief Financial 
Officer shall:
    (1) Establish policies and procedures to ensure timely reimbursement 
to the Department of Defense for reimbursable DSCA activities.
    (2) Assist in management of statutory resources for DSCA in support 
of appropriate international and domestic sporting events.
    (e) The Under Secretary of Defense for Personnel and Readiness 
(USD(P&R)) shall identify, monitor, and oversee the development of 
integrated DSCA training capabilities and the integration of these 
training capabilities into exercises and training to build, sustain, and 
assess DSCA readiness in accordance with DoD Directive 1322.18 \21\.
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    \21\ Available by downloading at http://www.dtic.mil /whs/
directives/corres /pdf/ 132218p.pdf.
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    (f) The Assistant Secretary of Defense for Health Affairs (ASD(HA)), 
under the authority, direction, and control of the USD(P&R), as the 
principal advisor to the Secretary of Defense for all DoD health policy 
shall:
    (1) Provide guidance and support for all domestic crisis situations 
or emergencies that require health or medical-related DSCA to 
ASD(HD&ASA).
    (2) Exercise authority in accordance with section 300hh-11 of title 
42, U.S.C., and according to DoD Directive 6010.22 \22\, for 
participation in the National Disaster Medical System.
---------------------------------------------------------------------------

    \22\ Available by downloading at http://www.dtic.mil /whs/directives 
/corres/pdf /601022p.pdf.
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    (g) The Assistant Secretary of Defense for Reserve Affairs, under 
the authority, direction, and control of USD(P&R), shall provide 
recommendations, guidance, and support on the use of the Reserve 
Components to perform DSCA missions to ASD(HD&ASA).
    (h) The Under Secretary of Defense for Acquisition, Technology, and 
Logistics (USD(AT&L)) shall establish policies and procedures, in 
coordination with ASD(HD&ASA), to implement DSCA requirements for DoD 
Fire and Emergency Services programs and mutual or automatic aid that 
may be part of that program.
    (i) The Heads of the DoD Components shall:
    (1) Direct that any DSCA-related DoD issuances, concept plans, 
interagency agreements, and memorandums of understanding or agreement 
with external agencies are in full compliance with this part.
    (2) Direct Component compliance with financial management guidance 
related to support provided for DSCA operations, including guidance 
related to tracking costs and seeking reimbursement.
    (3) When approved by the Secretary of Defense, plan, program, and 
budget for DSCA capabilities in accordance with law, policy, and 
assigned missions.

[[Page 1149]]

    (j) The Secretaries of the Military Departments in addition to the 
responsibilities in Sec. 185.5(i) of this part, shall:
    (1) Establish the necessary policies and procedures to ensure the 
appropriate personnel are trained to execute DSCA plans as directed by 
the Secretary of Defense.
    (2) Direct that requests for reimbursement of actual DSCA 
expenditures (performance of work or services, payments to contractors, 
or delivery from inventory) begin within 30 calendar days after the 
month in which performance occurred. Final billing invoices shall be 
submitted to supported departments and agencies within 90 calendar days 
of the termination of the supported event.
    (k) The Chairman of the Joint Chiefs of Staff in addition to the 
responsibilities in Sec. 185.5(i) of this part, shall:
    (1) Advise the Secretary of Defense on the effects of requests for 
DSCA on national security and military readiness.
    (2) Identify available resources for support in response to DSCA 
requests and release related orders when approved by the Secretary of 
Defense.
    (3) Incorporate DSCA into joint training and exercise programs in 
consultation with the USD(P&R), the Chief, National Guard Bureau (NGB), 
and appropriate officials from the Department of Homeland Security and 
other appropriate Federal departments and agencies.
    (4) Advocate for needed DSCA capabilities.
    (l) The Commanders of Combatant Commands with DSCA responsibilities, 
in addition to the responsibilities in Sec. 185.5(i) of this part and 
in accordance with the Unified Command Plan shall:
    (1) In coordination with the Chairman of the Joint Chiefs of Staff, 
plan and execute DSCA operations in their areas of responsibility in 
accordance with this part, the Unified Command Plan and the Global Force 
Management Implementation Guidance.
    (2) In coordination with the Chairman of the Joint Chiefs of Staff, 
incorporate DSCA into joint training and exercise programs in 
consultation with the Department of Homeland Security, other appropriate 
Federal departments and agencies, and the NGB.
    (3) Advocate for needed DSCA capabilities and requirements through 
the Joint Requirements Oversight Council, subject to Sec. 185.5(i) of 
this part, and the planning, programming, budgeting, and execution 
process.
    (4) Work closely with subordinate commands to ensure that they are 
appropriately reimbursed for DSCA in accordance with Sec. 185.5(j) of 
this part.
    (5) Exercise Training Readiness Oversight (TRO) over assigned 
Reserve Component forces when not on active duty or when on active duty 
for training in accordance with DoD Instruction 1215.06 \23\.
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    \23\ Available by downloading at http://www.dtic.mil /whs/directives 
/corres/pdf /121506p.pdf.
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    (m) The Chief, NGB, under the authority, direction, and control of 
the Secretary of Defense, normally through the Secretary of the Army and 
the Secretary of the Air Force, shall:
    (1) Serve as the channel of communications for all matters 
pertaining to the National Guard between DoD Components and the States 
in accordance with DoD Directive 5105.77 \24\.
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    \24\ Available by downloading at http://www.dtic.mil /whs/directives 
/corres/pdf /510577p.pdf.
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    (2) Annually assess the readiness of the National Guard of the 
States to conduct DSCA activities and report on this assessment to the 
Secretaries of the Army and the Air Force; the USD(P&R), ASD(HD&ASA), 
and ASD(RA); and, through the Chairman of the Joint Chiefs of Staff, to 
the Secretary of Defense and appropriate Combatant Commanders.
    (3) Report National Guard support of civil authorities or qualifying 
entities when using Federal resources, equipment, and/or funding to the 
NJOIC.
    (4) Serve as an advisor to the Combatant Commanders on National 
Guard matters pertaining to the combatant command missions, and support 
planning and coordination for DSCA activities as requested by the 
Chairman of the Joint Chiefs of Staff or the Combatant Commanders.
    (5) Ensure that National Guard appropriations are appropriately 
reimbursed for DSCA activities.
    (6) Advocate for needed DSCA capabilities.

[[Page 1150]]

    (7) Develop and promulgate, in accordance with DoD Directive 5105.77 
and in coordination with the Secretaries of the Army and Air Force and 
the ASD(HD&ASA), guidance regarding this part as it relates to National 
Guard matters.



                       SUBCHAPTERS J	K [RESERVED]



[[Page 1151]]



                        SUBCHAPTER L_ENVIRONMENT





PART 187_ENVIRONMENTAL EFFECTS ABROAD OF MAJOR DEPARTMENT OF DEFENSE
ACTIONS--Table of Contents



Sec.
187.1 Purpose.
187.2 Applicability.
187.3 Definitions.
187.4 Policy.
187.5 Responsibilities.
187.6 Information requirements.

Enclosure 1 to Part 187--Requirements for Environmental Considerations--
          Global Commons
Enclosure 2 to Part 187--Requirements for Environmental Considerations--
          Foreign Nations and Protected Global Resources

    Authority: Title 10 U.S.C. 131.

    Source: 44 FR 21786, Apr. 14, 1979, unless otherwise noted. 
Redesignated at 56 FR 64481, Dec. 10, 1991.



Sec. 187.1  Purpose.

    Executive Order 12114 provides the exclusive and complete 
requirement for taking account of considerations with respect to actions 
that do significant harm to the environment of places outside the United 
States. This part provides policy and procedures to enable Department of 
Defense (DoD) officials to be informed and take account of environmental 
considerations when authorizing or approving certain major Federal 
actions that do significant harm to the environment of places outside 
the United States. Its sole objective is to establish internal 
procedures to achieve this purpose, and nothing in it shall be construed 
to create a cause of action. Guidance for taking account of 
considerations with respect to the environment of places within the 
United States is set out in 32 CFR part 188 (under rev.) That guidance 
is grounded on legal and policy requirements different from those 
applicable to this part.

[44 FR 21786, Apr. 14, 1979. Redesignated and amended at 56 FR 64481, 
Dec. 10, 1991]



Sec. 187.2  Applicability.

    The provisions of this part apply to the Office of the Secretary of 
Defense, the Military Departments, the Organization of the Joint Chiefs 
of Staff, the Unified and Specified Commands, and the Defense Agencies 
(hereafter referred to as ``DoD components'').



Sec. 187.3  Definitions.

    (a) Environment means the natural and physical environment, and it 
excludes social, economic, and other environments. Social and economic 
effects do not give rise to any requirements under this part.
    (b) Federal Action means an action that is implemented or funded 
directly by the United States Government. It does not include actions in 
which the United States participates in an advisory, information-
gathering, representational, or diplomatic capacity but does not 
implement or fund the action; actions taken by a foreign government or 
in a foreign country in which the United States is a beneficiary of the 
action, but does not implement or fund the action; or actions in which 
foreign governments use funds derived indirectly from United States 
funding.
    (c) Foreign Nation means any geographic area (land, water, and 
airspace) that is under the jurisdiction of one or more foreign 
governments; any area under military occupation by the United States 
alone or jointly with any other foreign government; and any area that is 
the responsibility of an international organization of governments. 
``Foreign nation'' includes contiguous zones and fisheries zones of 
foreign nations. ``Foreign government'' in this context includes 
governments regardless of whether recognized by the United States, 
political factions, and organizations that exercise governmental power 
outside the United States.
    (d) Global Commons are geographical areas that are outside the 
jurisdiction of any nation, and include the oceans outside territorial 
limits and Antarctica. Global commons do not include contiguous zones 
and fisheries zones of foreign nations.
    (e) Major Action means an action of considerable importance 
involving substantial expenditures of time, money,

[[Page 1152]]

and resources, that affects the environment on a large geographic scale 
or has substantial environmental effects on a more limited geographical 
area, and that is substantially different or a significant departure 
from other actions, previously analyzed with respect to environmental 
considerations and approved, with which the action under consideration 
may be associated. Deployment of ships, aircraft, or other mobile 
military equipment is not a major action for purposes of this part.
    (f) United States means all States, territories, and possessions of 
the United States; and all waters and airspace subject to the 
territorial jurisdiction of the United States. The territories and 
possessions of the United States include the Virgin Islands, American 
Samoa, Wake Island, Midway Island, Guam, Palmyra Island, Johnston Atoll, 
Navassa Island, and Kingman Reef.



Sec. 187.4  Policy.

    (a) Executive Order 12114 is based on the authority vested in the 
President by the Constitution and the laws of the United States. The 
objective of the Order is to further foreign policy and national 
security interests while at the same time taking into consideration 
important environmental concerns.
    (b) The Department of Defense acts with care in the global commons 
because the stewardship of these areas is shared by all the nations of 
the world. The Department of Defense will take account of environmental 
considerations when it acts in the global commons in accordance with 
procedures set out in Enclosure 1 and its attachment.
    (c) The Department of Defense also acts with care within the 
jurisdiction of a foreign nation. Treaty obligations and the sovereignty 
of other nations must be respected, and restraint must be exercised in 
applying United States laws within foreign nations unless Congress has 
expressly provided otherwise. The Department of Defense will take 
account of environmental considerations in accordance with Enclosure 2 
and its attachments when it acts in a foreign nation.
    (d) Foreign policy considerations require coordination with the 
Department of State on communications with foreign governments 
concerning environmental agreements and other formal arrangements with 
foreign governments concerning environmental matters under this part.

Informal working-level communications and arrangements are not included 
in this coordination requirement. Consultation with the Department of 
State also is required in connection with the utilization of additional 
exemptions from this part as specified in paragraph C.3.b. of Enclosure 
2. Coordination and consultation with the Department of State will be 
through the Assistant Secretary of Defense (International Security 
Affairs).
    (e) Executive Order 12114, implemented by this part prescribes the 
exclusive and complete procedural measures and other actions to be taken 
by the Department of Defense to further the purpose of the National 
Environmental Policy Act with respect to the environment outside the 
United States.



Sec. 187.5  Responsibilities.

    (a) The Assistant Secretary of Defense (Manpower, Reserve Affairs, 
and Logistics) shall:
    (1) Serve as the responsible Department of Defense official for 
policy matters under Executive Order 12114 and this part;
    (2) Modify or supplement any of the enclosures to this part in a 
manner consistent with the policies set forth in this part;
    (3) Maintain liaison with the Council on Environmental Quality with 
respect to environmental documents;
    (4) Participate in determining whether a recommendation should be 
made to the President that a natural or ecological resource of global 
importance be designated for protection; and
    (5) Consult with the Assistant Secretary of Defense (International 
Security Affairs) on significant or sensitive actions or decisions 
affecting relations with another nation.
    (b) The Assistant Secretary of Defense (International Security 
Affairs) shall:
    (1) Maintain liaison and conduct consultations with the Department 
of State as required under this part; and
    (2) Serve as the responsible official, in consultation with the 
Assistant Secretary of Defense (Manpower, Reserve

[[Page 1153]]

Affairs, and Logistics), for monitoring the continuing cooperation and 
the exchange of information with other nations concerning the 
environment.
    (c) The General Counsel, DoD, shall provide advice and assistance 
concerning the requirements of Executive Order 12114 and this part.
    (d) The Secretaries of the Military Departments, Directors of the 
Defense Agencies, and Commanders of the Unified and Specified Commands, 
for operations under their jurisdiction, shall:
    (1) Prepare and consider environmental documents when required by 
this directive for proposed actions within their respective DoD 
component (this reporting requirement has been assigned Report Control 
Symbol DD-M(AR) 1327 (Sec. 187.6));
    (2) Insure that regulations and other major policy issuances are 
reviewed for consistency with Executive Order 12114 and this part;
    (3) Designate a single point-of-contact for matters pertaining to 
this part; and
    (4) Consult with the Assistant Secretary of Defense (International 
Security Affairs) on significant or sensitive actions or decisions 
affecting relations with another nation.

[44 FR 21786, Apr. 14, 1979. Redesignated and amended at 56 FR 64481, 
Dec. 10, 1991]



Sec. 187.6  Information requirements.

    The documents to be prepared under Sec. 187.5(d) and Enclosures 1 
and 2, ``Requirements for Environmental Considerations--Global 
Commons,'' and ``Requirements for Environmental Considerations--Foreign 
Nations and Protected Global Resources,'' respectively, are assigned 
Report Control Symbol DD-M(AR) 1327.

[44 FR 21786, Apr. 14, 1979. Redesignated and amended at 56 FR 64481, 
Dec. 10, 1991]



      Sec. Enclosure 1 to Part 187--Requirements for Environmental 
                     Considerations--Global Commons

    A. General. This enclosure implements the requirements of Executive 
Order 12114 with respect to major Department of Defense actions that do 
significant harm to the environment of the global commons. The focus is 
not the place of the action, but the location of the environment with 
respect to which there is significant harm. The actions prescribed by 
this enclosure are the exclusive and complete requirement for taking 
account of environmental considerations with respect to Department of 
Defense activities that affect the global commons.
    B. Actions included. The requirements of this enclosure apply only 
to major Federal actions that do significant harm to the environment of 
the global commons.
    C. Environmental Document Requirements--1. General. When an action 
is determined to be a major Federal action that significantly harms the 
environment of the global commons, an environmental impact statement, as 
described below, will be prepared to enable the responsible decision-
making official to be informed of pertinent environmental 
considerations. The statement may be a specific statement for the 
particular action, a generic statement covering the entire class of 
similar actions, or a program statement.
    2. Limitations on Actions. Until the requirements of this enclosure 
have been met with respect to actions involving the global commons, no 
action concerning the proposal may be taken that does significant harm 
to the environment or limits the choice of reasonable alternatives.
    3. Emergencies. Where emergency circumstances make it necessary to 
take an action that does significant harm to the environment without 
meeting the requirements of this enclosure, the DoD component concerned 
shall consult with the Assistant Secretary of Defense (Manpower, Reserve 
Affairs, and Logistics). This includes actions that must be taken to 
promote the national defense or security and that cannot be delayed, and 
actions necessary for the protection of life or property.
    4. Combining Documents. Environmental documents may be combined with 
other agency documents to reduce duplication. If an environmental impact 
statement for a particular action already exists, regardless of what 
Federal agency prepared it, no new statement is required by this part.
    5. Collective Statements. Consideration should be given to the use 
of generic and program statements. Generic statements may include 
actions with relevant similarities such as common timing, environmental 
effects, alternatives, methods of implementation, or subject matter.
    6. Tiering. Consideration should be given to tiering of 
environmental impact statements to eliminate repetitive discussions of 
the same issue and to focus the issues. Tiering refers to the coverage 
of general matters in broader environmental impact statements, with 
succeeding narrower statements or environmental analyses that 
incorporate by reference the general discussion and concentrate only on 
the issues specific to the statement subsequently prepared.

[[Page 1154]]

    7. Lead Agency. When one or more other Federal agencies are involved 
with the Department of Defense in an action or program, a lead agency 
may be designated to supervise the preparation of the environmental 
impact statement. In appropriate cases, more than one agency may act as 
joint lead agencies. The following factors should be considered in 
making the lead agency designation:
    a. The magnitude of agency involvement;
    b. Which agency or agencies have project approval and disapproval 
authority;
    c. The expert capabilities concerning the environmental effects of 
the action;
    d. The duration of agency involvement; and
    e. The sequence of agency involvement.
    8. Categorical Exclusions. The Department of Defense may provide 
categorical exclusions for actions that normally do not, individually or 
cumulatively, do significant harm to the environment. If an action is 
covered by a categorical exclusion no environmental assessment or 
environmental impact statement is required. Categorical exclusions will 
be established by the Assistant Secretary of Defense (Manpower, Reserve 
Affairs, and Logistics) and will be identified in Attachment 1 to this 
enclosure, to be entitled, ``Categorical Exclusions--Global commons. 
``DoD components identifying recurring actions that have been 
determined, after analysis, not to do significant harm to the 
environment should submit recommendations for cateorical exclusions and 
accompanying justification to the Assistant Secretary of Defense 
(Manpower, Reserve Affairs, and Logistics).
    9. Environmental Assessments. The purpose of an environmental 
assessment is to assist DoD components in determining whether an 
environmental impact statement is required for a particular action. The 
assessment should be brief and concise but should include sufficient 
information on which a determination can be made whether the proposed 
action is major and Federal, and whether it significantly harms the 
environment of the global commons. As a minimum, the assessment should 
include consideration of the need for the proposed action and the 
environmental effect of the proposed action. The environmental 
assessment will be made available to the public in the United States 
upon request, but there is no requirement that it be distributed for 
public comment.
    D. Environmental Impact Statements. 1. General. Environmental impact 
statements will be concise and no longer than necessary to permit an 
informed consideration of the environmental effects of the proposed 
action on the global commons and the reasonable alternatives. If an 
action requiring an environmental impact statement also has effects on 
the environment of a foreign nation or on a resource designated as one 
of global importance, the statement need not consider or be prepared 
with respect to these effects. The procedures for considering these 
effects are set out in Enclosure 2, of this part.
    2. Draft Statement. Environmental impact statements will be prepared 
in two stages and may be supplemented. The first, or draft statement, 
should be sufficiently complete to permit meaningful analysis and 
comment. The draft statement will be made available to the public, in 
the United States, for comment. The Department of State, the council on 
environmental Quality, and other interested Federal agencies will be 
informed of the availability of the draft statement and will be afforded 
an opportunity to comment. Contacts with foreign governments are 
discussed in Sec. 187.4(d) and subsection D.11. of this enclosure.
    3. Final statement. Final statements will consider, either 
individually or collectively, substantive comments received on the draft 
statement. The final statement will be made available to the public in 
the United States.
    4. Supplemental statement. Supplements to the draft or final 
statement should be used when substantial changes to the proposed action 
are made relative to the environment of the global commons or when 
significant new information or circumstances, relevant to environmental 
concerns, bears on the proposed action or its environmental effects on 
the global commons. Supplemental statements will be circulated for 
comment as in subsection 2. of this enclosure unless alternative 
procedures are approved by the Assistant Secretary of Defense (Manpower, 
Reserve Affairs, and Logistics).
    5. Statement content. The statement will include: A section on 
consideration of the purpose of and need for the proposed action; a 
section on the environmental consequences of the proposed action and 
reasonable alternatives; a section that provides a succinct description 
of the environment of the global commons affected by the proposed action 
and reasonable alternatives; and a section that analyzes, in comparative 
form, the environmental effects on the global commons of the proposed 
action and reasonable alternatives.
    6. Incomplete Information. The statement should indicate when 
relevant information is missing due to unavailability or scientific 
uncertainty.
    7. Hearings. Public hearings are not required. consideration should 
be given in appropriate cases to holding or sponsoring public hearings. 
Factors in this consideration include: Foreign relations sensitivities; 
whether the hearings would be an infringement or create the appearance 
of infringement on the sovereign responsibilities of another government; 
requirements of domestic and foreign governmental confidentiality; 
requirements of national security; whether meaningful information could 
be obtained through hearings; time considerations; and

[[Page 1155]]

requirements for commercial confidentiality. There is no requirement 
that all factors listed in this section be considered when one or more 
factors indicate that public hearings would not produce a substantial 
net benefit to those responsible for authorizing or approving the 
proposed action.
    8. Decision. Relevant environmental documents developed in 
accordance with this enclosure will accompany the proposal for action 
through the review process to enable officials responsible for 
authorizing or approving the proposed action to be informed and to take 
account of environmental considerations. One means of making an 
appropriate record with respect to this requirement is for the decision-
maker to sign and date a copy of the environmental impact statement 
indicating that it has been considered in the decision-making process. 
Other means of making an appropriate record are also acceptable.
    9. Timing. No decision on the proposed action may be made until the 
later of 90 days after the draft statement has been made available and 
notice thereof published in the Federal Register, or 30 days after the 
final statement has been made available and notice thereof published in 
the Federal Register. The 90-day period and the 30-day period may run 
concurrently. Not less than 45 days may be allowed for public comment. 
The Assistant Secretary of Defense (Manpower, Reserve Affairs, and 
Logistics) may, upon a showing of probable important adverse effect on 
national security or foreign policy, reduce the 30-day, 45-day, and 90-
day periods.
    10. Classified Information. Environmental assessments and impact 
statements that address classified proposals will be safeguarded and 
classified information will be restricted from public dissemination in 
accordance with Department of Defense procedures (32 CFR part 159) 
established for such information under Executive Order 12065. The 
requirements of that Executive Order take precedence over any 
requirement of disclosure in this part. Only unclassified portions of 
environmental documents may be disseminated to the public.
    11. Foreign Governments. Consideration will be given to whether any 
foreign government should be informed of the availability of 
environmental documents. Communications with foreign governments 
concerning environmental agreements and other formal arrangements with 
foreign governments concerning environmental matters under this part 
will be coordinated with the Department of State. Informal, working-
level communications and arrangements are not included in this 
coordination requirement. Coordination with the Department of State will 
be through the Assistant Secretary of Defense (International Security 
Affairs).

[44 FR 21786, Apr. 14, 1979. Redesignated and amended at 56 FR 64481, 
Dec. 10, 1991]



      Sec. Enclosure 2 to Part 187--Requirements for Environmental 
     Considerations--Foreign Nations and Protected Global Resources

    A. General. This enclosure implements the requirements of Executive 
Order 12114 to provide for procedural and other actions to be taken to 
enable officials to be informed of pertinent environmental 
considerations when authorizing or approving certain major Department of 
Defense actions that do significant harm to the environment of a foreign 
nation or to a protected global resource.
    B. Actions included. 1. The requirements of this enclosure apply 
only to the following actions:
    a. Major Federal actions that significantly harm the environment of 
a foreign nation that is not involved in the action. The involvement of 
the foreign nation may be directly by participation with the United 
States in the action, or it may be in conjunction with another 
participating nation. The focus of this category is on the geographical 
location of the environmental harm and not on the location of the 
action.
    b. Major Federal actions that are determined to do significant harm 
to the environment of a foreign nation because they provide to that 
nation: (1) A product, or involve a physical project that produces a 
principal product, emission, or effluent, that is prohibited or strictly 
regulated by Federal law in the United States because its toxic effects 
on the environment create a serious public health risk; or (2) a 
physical project that is prohibited or strictly regulated in the United 
States by Federal law to protect the environment against radioactive 
substances. Included in the category of ``prohibited or strictly 
regulated'' are the following: asbestos, vinyl chloride, acrylonitrile, 
isocyanates, polychlorinated biphenyls, mercury, beryllium, arsenic, 
cadmium, and benzene.
    c. Major Federal actions outside the United States that 
significantly harm natural or ecological resources of global importance 
designated for protection by the President or, in the case of such a 
resource protected by international agreement binding on the United 
States, designated for protection by the Secretary of State. Such 
determinations by the President or the Secretary of State to be listed 
in Attachment 1 to this enclosure, entitled, ``Protected Global 
Resources''.
    2. The actions prescribed by this enclosure are the exclusive and 
complete requirement

[[Page 1156]]

for taking account of environmental considerations with respect to 
Federal actions that do significant harm to the environment of foreign 
nations and protected global resources as described in subsection B.1., 
of this enclosure. No action is required under this enclosure with 
respect to Federal actions that affect only the environment of a 
participating or otherwise involved foreign nation and that do not 
involve providing products or physical projects producing principal 
products, emissions, or effluents that are prohibited or strictly 
regulated by Federal law in the United States, or resources of global 
importance that have been designated for protection.
    C. Environmental Document Requirements.
    1. General. a. There are two types of environmental documents 
officials shall use in taking account of environmental considerations 
for actions covered by this enclosure:
    (1) Environmental studies--bilateral or multilateral environmental 
studies, relevant or related to the proposed action, by the United 
States and one or more foreign nations or by an international body or 
organization in which the United States is a member or participant; and
    (2) Environmental reviews--concise reviews of the environmental 
issues involved that are prepared unilaterally by the United States.
    b. This section identifies the procedures for the preparation of 
environmental studies or reviews when required by this enclosure and the 
exceptions from the requirement to prepare environmental studies or 
reviews. If an environmental document already exists for a particular 
action, regardless of what Federal agency prepared it, no new document 
is required by this enclosure.
    2. Lead Agency. When one or more other Federal agencies are involved 
with the Department of Defense in an action or program, a lead agency 
may be designated to supervise the preparation of environmental 
documentation. In appropriate cases, more than one agency may act as 
joint lead agencies. The following factors should be considered in 
making the lead agency designation:
    a. The magnitude of agency involvement;
    b. Which agency or agencies have project approval and disapproval 
authority;
    c. The expert capabilities concerning the environmental effects of 
the action;
    d. The duration of agency involvement; and
    e. The sequence of agency involvement.
    3. Exemptions. There are general exemptions from the requirements of 
this enclosure provided by Executive Order 12114, and the Secretary of 
Defense has the authority to approve additional exemptions.
    a. General Exemptions. The following actions are exempt from the 
procedural and other requirements of this enclosure under general 
exemptions established for all agencies by Executive Order 12114:
    (1) Actions that the DoD component concerned determines do not do 
significant harm to the environment outside the United States or to a 
designated resource of global importance.
    (2) Actions taken by the President. These include: Signing bills 
into law; signing treaties and other international agreements; the 
promulgation of Executive Orders; Presidential proclamations; and the 
issuance of Presidental decisions, instructions, and memoranda. This 
includes actions taken within the Department of Defense to prepare or 
assist in preparing recommendations, advice, or information for the 
President in connection with one of these actions by the President. It 
does not include actions taken within the Department of Defense to 
implement or carry out these instruments and issuances after they are 
promulgated by the President.
    (3) Actions taken by or pursuant to the direction of the President 
or a cabinet officer in the course of armed conflict. The term ``armed 
conflict'' refers to: hostilities for which Congress has declared war or 
enacted a specific authorization for the use of armed forces; 
hostilities or situations for which a report is prescribed by section 
4(a)(1) of the War Powers Resolution, 50 U.S.C.A. 1543(a)(1) (Supp. 
1978); and other actions by the armed forces that involve defensive use 
or introduction of weapons in situations where hostilities occur or are 
expected. This exemption applies as long as the armed conflict 
continues.
    (4) Actions taken by or pursuant to the direction of the President 
or a cabinet officer when the national security or national interest is 
involved. The determination that the national security or national 
interest is involved in actions by the Department of Defense must be 
made in writing by the Assistant Secretary of Defense (Manpower, Reserve 
Affairs, and Logistics).
    (5) The activities of the intelligence components utilized by the 
Secretary of Defense under Executive Order 12036, 43 FR 3674 (1978). 
These components include the Defense Intelligence Agency, the National 
Security Agency, the offices for the collection of specialized 
intelligence through reconnaissance programs, the Army Office of the 
Assistant Chief of Staff for Intelligence, the Office of Naval 
Intelligence, and the Air Force Office of the Assistant Chief of Staff 
for Intelligence.
    (6) The decisions and actions of the Office of the Assistant 
Secretary of Defense (International Security Affairs), the Defense 
Security Assistance Agency, and the other responsible offices within DoD 
components with respect to arms transfers to foreign nations. The term 
``arms transfers'' includes the grant, loan, lease, exchange, or sale of

[[Page 1157]]

defense articles or defense services to foreign governments or 
international organizations, and the extension or guarantee of credit in 
connection with these transactions.
    (7) Votes and other actions in international conferences and 
organizations. This includes all decisions and actions of the United 
States with respect to representation of its interests at international 
organizations, and at multilateral conferences, negotiations, and 
meetings.
    (8) Disaster and emergency relief actions.
    (9) Actions involving export licenses, export permits, or export 
approvals, other than those relating to nuclear activities. This 
includes: Advice provided by DoD components to the Department of State 
with respect to the issuance of munitions export licenses under section 
38 of the Arms Export Control Act, 22 U.S.C. 2778 (1976); advice 
provided by DoD components to the Department of Commerce with respect to 
the granting of export licenses under the Export Administration Act of 
1969, 50 U.S.C. App. 2401-2413 (1970 & Supp. V 1975); and direct exports 
by the Department of Defense of defense articles and services to foreign 
governments and international organizations that are exempt from 
munitions export licenses under section 38 of the Arms Export Control 
Act, 22 U.S.C. 2778 (1976). The term ``export approvals'' does not mean 
or include direct loans to finance exports.
    (10) Actions relating to nuclear activities and nuclear material, 
except actions providing to a foreign nation a nuclear production or 
utilization facility, as defined in the Atomic Energy Act of 1954, as 
amended, or a nuclear waste management facility.
    b. Additional Exemptions. The Department of Defense is authorized 
under Executive Order 12114 to establish additional exemptions that 
apply only to the Department's operations. There are two types of 
additional exemptions: Case-by-case and class.
    (1) Case-by-Case Exemptions. Exemptions other than those specified 
above may be required because emergencies, national security 
considerations, exceptional foreign policy requirements, or other 
special circumstances preclude or are inconsistent with the preparation 
of environmental documentation and the taking of other actions 
prescribed by this enclosure. The following procedures apply for 
approving these exemptions:
    (a) Emergencies. This category includes actions that must be taken 
to promote the national defense or security and that cannot be delayed, 
and actions necessary for the protection of life or property. The heads 
of the DoD components are authorized to approve emergency exemptions on 
a case-by-case basis. The Department of Defense is required to consult 
as soon as feasible with the Department of State and the Council on 
Environmental Quality with respect to emergency exemptions. The 
requirement to consult as soon as feasible is not a requirement of prior 
consultation. A report of the emergency action will be made by the DoD 
component head to the Assistant Secretary of Defense (Manpower, Reserve 
Affairs, and Logistics), who, with the Assistant Secretary of Defense 
(International Security Affairs), shall undertake the necessary 
consultations.
    (b) Other Circumstances. National security considerations, 
exceptional foreign policy requirements, and other special circumstances 
not identified in paragraph C.3.a. of this enclosure, may preclude or be 
inconsistent with the preparation of environmental documentation. In 
these circumstances, the head of the DoD component concerned is 
authorized to exempt a particular action from the environmental 
documentation requirements of this enclosure after obtaining the prior 
approval of the Assistant Secretary of Defense (Manpower, Reserve 
Affairs, and Logistics), who, with the Assistant Secretary of Defense 
(International Security Affairs), shall consult, before approving the 
exemption, with the Department of State and the Council on Environmental 
Quality. The requirement for prior consultation is not a requirement for 
prior approval.
    (2) Class Exemptions. Circumstances may exist where a class 
exemption for a group of related actions is more appropriate than a 
specific exemption. Class exemptions may be established by the Assistant 
Secretary of Defense (Manpower, Reserve Affairs, and Logistics), who, 
with the Assistant Secretary of Defense (International Security 
Affairs), shall consult, before approving the exemption, with the 
Department of State and the Council on Environmental Quality. The 
requirement for prior consultation is not a requirement for prior 
approval. Requests for class exemptions will be submitted by the head of 
the DoD component concerned to the Assistant Secretary of Defense 
(Manpower, Reserve Affairs, and Logistics) after coordination with other 
interested DoD components. Notice of the establishment of a class 
exemption will be issued as Attachment 2 to this enclosure to be 
entitled, ``Class Exemptions--Foreign Nations and Protected Global 
Resources.''
    4. Categorical Exclusions. The Department of Defense is authorized 
by Executive Order 12114 to provide for categorical exclusions. A 
categorical exclusion is a category of actions that normally do not, 
individually or cumulatively, do significant harm to the environment. If 
an action is covered by a categorical exclusion, no environmental 
document is required. Categorical exclusions will be established by the 
Assistant Secretary of Defense (Manpower, Reserve Affairs, and 
Logistics), and will be identified in Attachment 3 to this enclosure to 
be entitled, ``Categorical Exclusions--Foreign Nations and Protected 
Global

[[Page 1158]]

Resources.'' DoD components identifying recurring actions that have been 
determined, after analysis, not to do significant harm to the 
environment should submit requests for categorical exclusions and 
accompanying justification to the Assistant Secretary of Defense 
(Manpower, Reserve Affairs, and Logistics).
    D. Environmental studies. 1. General. Environmental studies are one 
of two alternative types of documents to be used for actions described 
by section B. of this enclosure.
    a. An environmental study is an analysis of the likely environmental 
consequences of the action that is to be considered by DoD components in 
the decision-making process. It includes a review of the affected 
environment, significant actions taken to avoid environmental harm or 
otherwise to better the environment, and significant environmental 
considerations and actions by the other participating nations, bodies, 
or organizations.
    b. An environmental study is a cooperative action and not a 
unilateral action undertaken by the United States. It may be bilateral 
or multilateral, and it is prepared by the United States in conjunction 
with one or more foreign nations, or by an international body or 
organization in which the United States is a member or participant. The 
environmental study, because it is prepared as a cooperative 
undertaking, may be best suited for use with respect to actions that 
provide strictly regulated or prohibited products or projects to a 
foreign nation (B.l.b.) and actions that affect a protected global 
resource (B.l.c.).
    2. Department of State Coordination. Communications with foreign 
governments concerning environmental studies and other formal 
arrangements with foreign governments concerning environmental matters 
under this directive will be coordinated with the Department of State. 
Informal, working-level communications and arrangements are not included 
in this coordination requirement. Coordination with the Department of 
State will be through the Assistant Secretary of Defense (International 
Security Affairs).
    3. Whether to Prepare an Environmental Study. The judgment whether 
the action is one that would do significant harm to one of the 
environments covered by this enclosure normally will be made in 
consultation with concerned foreign governments or organizations. If a 
negative decision is made, the file will be documented with a record of 
that decision and the decision-makers who participated. If a decision is 
made to prepare a study then, except as provided by this enclosure, no 
action concerning the proposal may be taken that would do significant 
harm to the environment until the study has been completed and the 
results considered.
    4. Content of the Study. The document is a study of the 
environmental aspects of the proposed action to be considered in the 
decision-making process. The precise content of each study must be 
flexible because of such considerations as the sensitivity of obtaining 
information from foreign governments, the availability of useful and 
understandable information, and other factors identified under 
``Limitations,'' (subsection D.6., of this enclosure). The study should, 
however, include consideration of the following:
    a. A general review of the affected environment;
    b. The predicted effect of the action on the environment;
    c. Significant known actions taken by governmental entities with 
respect to the proposed action to protect or improve the environment; 
and
    d. If no actions are being taken to protect or enhance the 
environment, whether the decision not to do so was made by the affected 
foreign government or international organization.
    5. Distribution of the Study. Except as provided under 
``Limitations,'' (subsection D.6., of this enclosure), and except where 
classified information is involved, environmental studies will be made 
available to the Department of State, the Council on Environmental 
Quality, other interested Federal agencies, and, on request, to the 
public in the United States. Interested foreign governments also may be 
informed of the studies, subject to the ``Limitations'' (subsection 
D.6., of this enclosure) and controls on classified information, and 
furnished copies of the documents. No distribution is required prior to 
the preparation of the final version of the study or prior to taking the 
action that caused the study to be prepared.
    6. Limitations. The requirements with respect to the preparation, 
content, and distribution of environmental studies in the international 
context must remain flexible. The specific procedures must be determined 
on a case-by-case basis and may be modified where necessary to:
    a. Enable the component to act promptly. Considerations such as 
national security and foreign government involvement may require prompt 
action that must take precedence in the environmental review process;
    b. Avoid adverse impacts on relations between the United States and 
foreign governments and international organizations;
    c. Avoid infringement or the appearance of infringement on the 
sovereign responsibilities of another government. The collection of 
information and the preparation and distribution of environmental 
documentation for actions in which another nation is involved, or with 
respect to the environment and resources of another nation, unless done 
with proper regard to the sovereign authority of that nation, may be 
viewed by that nation as an interference in its internal affairs

[[Page 1159]]

and its responsibility to evaluate requirements with respect to the 
environment;
    d. Ensure consideration of:
    (1) Requirements of governmental confidentiality. This refers to the 
need to protect sensitive foreign affairs information and information 
received from another government with the understanding that it will be 
protected from disclosure regardless of its classification;
    (2) National security requirements. This refers to the protection of 
classified information and other national security interests;
    (3) Availability of meaningful information. Information on the 
environment of foreign nations may be unavailable, incomplete, or not 
susceptible to meaningful evaluation, particularly where the affected 
foreign nation is not a participant in the analysis. This may reduce or 
change substantially the normal content of the environmental study;
    (4) The extent of the participation of the DoD component concerned 
and its ability to affect the decision made. The utility of the 
environmental analysis and the need for an in-depth review diminishes as 
DoD's role and control over the decision lessens; and
    (5) International commercial, commercial confidentiality, 
competitive, and export promotion factors. This refers to the 
requirement to protect domestic and foreign trade secrets and 
confidential business information from disclosure. Export promotion 
factors includes the concept of not unnecessarily hindering United 
States exports.
    7. Classified Information. Classified information will be 
safeguarded from disclosure in accordance with the Department of Defense 
procedures (32 CFR 159) established for such information under Executive 
Order 12065. The requirements of that Executive Order take precedence 
over any requirement of disclosure in this directive.
    E. Environmental Reviews. 1. General. Environmental reviews are the 
second of the two alternative types of documents to be used for actions 
covered by section B. of this enclosure.
    a. An environmental review is a survey of the important 
environmental issues involved. It includes identification of these 
issues, and a review of what if any consideration has been or can be 
given to the environmental aspects by the United States and by any 
foreign government involved in taking the action.
    b. An environmental review is prepared by the DoD component 
concerned either unilaterally or in conjunction with another Federal 
agency. While an environmental review may be used for any of the actions 
identified by section B., it may be uniquely suitable, because it is 
prepared unilaterally by the United States, to actions that affect the 
environment of a nation not involved in the undertaking (B.l.a.).
    2. Department of State Coordination. Communications with foreign 
governments concerning environmental agreements and other formal 
arrangements with foreign governments concerning environmental matters 
under this enclosure will be coordinated with the Department of State. 
Informal working-level communications and arrangements are not included 
in this coordination requirement. Coordination with the Department of 
State will be through the Assistant Secretary of Defense (International 
Security Affairs).
    3. Whether to Prepare an Environmental Review. Sufficient 
information will be gathered, to the extent it is reasonably available, 
to permit an informed judgment as to whether the proposed action would 
do significant harm to the environments covered by this enclosure. If a 
negative decision is made, a record will be made of that decision and 
its basis. If a decision is made to prepare a review, then, except as 
provided by this enclosure, no action concerning the proposal may be 
taken that would do significant environmental harm until the review has 
been completed.
    4. Content of the Review. An environmental review is a survey of the 
important environmental issues associated with the proposed action that 
is to be considered by the DoD component concerned in the decision-
making process. It does not include all possible environmental issues 
and it does not include the detailed evaluation required in an 
environmental impact statement under Enclosure 1 of this part. There is 
no foreign government or international organization participation in its 
preparation, and the content therefore may be circumscribed because of 
the availability of information and because of foreign relations 
sensitivities. Other factors affecting the content are identified under 
``Limitations,'' (subsection E.6., of this enclosure). To the extent 
reasonably practical the review should include consideration of the 
following:
    a. A statement of the action to be taken including its timetable, 
physical features, general operating plan, and other similar broad-guage 
descriptive factors;
    b. Identification of the important environmental issues involved;
    c. The aspects of the actions taken or to be taken by the DoD 
component that ameliorate or minimize the impact on the environment; and
    d. The actions known to have been taken or to be planned by the 
government of any participating and affected foreign nations that will 
affect environmental considerations.
    5. Distribution. Except as provided under ``Limitations,'' 
(subsection E.6., of this enclosure), and except where classified 
information is involved, environmental reviews will be made available to 
the Department of

[[Page 1160]]

State, the Council on Environmental Quality, other interested Federal 
agencies, and, on request, to the public in the United States. 
Interested foreign governments also may be informed of the reviews and, 
subject to the ``Limitations'' (subsection E.6., of this enclosure) and 
controls on classified information, will be furnished copies of the 
documents on request. This provision for document distribution is not a 
requirement that distribution be made prior to taking the action that is 
the subject of the review.
    6. Limitations. The requirements with respect to the preparation, 
content, and distribution of environmental reviews in the international 
context must remain flexible. The specific procedures must be determined 
on a case-by-case basis and may be modified where necessary to:
    a. Enable the component to act promptly. Considerations such as 
national security and foreign government involvement may require prompt 
action that must take precedence in the environmental review process;
    b. Avoid adverse impacts on relations between the United States and 
foreign governments and international organizations;
    c. Avoid infringement or the appearance of infringement on the 
sovereign responsibilities of another government. The collection of 
information and the preparation and distribution of environmental 
documentation for actions in which another nation is involved or with 
respect to the environment and resources of another nation, unless done 
with proper regard to the sovereign authority of that nation, may be 
viewed by that nation as an interference in its internal affairs and its 
prerogative to evaluate requirements with respect to the environment; 
and
    d. Ensure consideration of:
    (1) Requirements of governmental confidentiality. This refers to the 
need to protect sensitive foreign affairs information and information 
received from another government with the understanding that it will be 
protected from disclosure regardless of its classification;
    (2) National security requirements. This refers to the protection of 
classified information;
    (3) Availability of meaningful information. Information on the 
environment of foreign nations may be unavailable, incomplete, or not 
susceptable to meaningful evaluation, and this may reduce or change 
substantially the normal content of the environmental review;
    (4) The extent of the participation of the DoD component concerned 
and its ability to affect the decision made. The utility of the 
environmental analysis and the need for an in-depth review diminishes as 
the role of the Department of Defense and control over the decision 
lessens; and
    (5) International commercial, commercial confidentiality, 
competitive, and export promotion factors. This refers to the 
requirements to protect domestic and foreign trade secrets and 
confidential business information from disclosure. Export promotion 
factors includes the concept of not unnecessarily hindering United 
States exports.
    7. Classified Information. Classified information will be 
safeguarded from disclosure in accordance with the DoD procedures (32 
CFR 159) established for such information under Executive Order 12065. 
The requirements of that Executive Order take precedence over any 
requirement of disclosure in this part.

                        PARTS 188	190 [RESERVED]

[[Page 1161]]



                              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 1163]]



                    Table of CFR Titles and Chapters




                      (Revised as of July 1, 2016)

                      Title 1--General Provisions

         I  Administrative Committee of the Federal Register 
                (Parts 1--49)
        II  Office of the Federal Register (Parts 50--299)
       III  Administrative Conference of the United States (Parts 
                300--399)
        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 2--199)
        II  Office of Management and Budget Guidance (Parts 200--
                299)
            Subtitle B--Federal Agency Regulations for Grants and 
                Agreements
       III  Department of Health and Human Services (Parts 300--
                399)
        IV  Department of Agriculture (Parts 400--499)
        VI  Department of State (Parts 600--699)
       VII  Agency for International Development (Parts 700--799)
      VIII  Department of Veterans Affairs (Parts 800--899)
        IX  Department of Energy (Parts 900--999)
         X  Department of the Treasury (Parts 1000--1099)
        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 
                1800--1899)
        XX  United States Nuclear Regulatory Commission (Parts 
                2000--2099)
      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)

[[Page 1164]]

    XXVIII  Department of Justice (Parts 2800--2899)
      XXIX  Department of Labor (Parts 2900--2999)
       XXX  Department of Homeland Security (Parts 3000--3099)
      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)
     XXXIV  Department of Education (Parts 3400--3499)
      XXXV  Export-Import Bank of the United States (Parts 3500--
                3599)
     XXXVI  Office of National Drug Control Policy, Executive 
                Office of the President (Parts 3600--3699)
    XXXVII  Peace Corps (Parts 3700--3799)
     LVIII  Election Assistance Commission (Parts 5800--5899)
       LIX  Gulf Coast Ecosystem Restoration Council (Parts 5900--
                5999)

                        Title 3--The President

         I  Executive Office of the President (Parts 100--199)

                           Title 4--Accounts

         I  Government Accountability Office (Parts 1--199)

                   Title 5--Administrative Personnel

         I  Office of Personnel Management (Parts 1--1199)
        II  Merit Systems Protection Board (Parts 1200--1299)
       III  Office of Management and Budget (Parts 1300--1399)
        IV  Office of Personnel Management and Office of the 
                Director of National Intelligence (Parts 1400--
                1499)
         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)
       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)

[[Page 1165]]

      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)
     XXXIV  Securities and Exchange Commission (Parts 4400--4499)
      XXXV  Office of Personnel Management (Parts 4500--4599)
     XXXVI  Department of Homeland Security (Parts 4600--4699)
    XXXVII  Federal Election Commission (Parts 4700--4799)
        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)
      XLVI  Postal Rate Commission (Parts 5600--5699)
     XLVII  Federal Trade Commission (Parts 5700--5799)
    XLVIII  Nuclear Regulatory Commission (Parts 5800--5899)
      XLIX  Federal Labor Relations Authority (Parts 5900--5999)
         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)
       LXX  Court Services and Offender Supervision Agency for the 
                District of Columbia (Parts 8000--8099)
      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)

[[Page 1166]]

     LXXVI  Federal Retirement Thrift Investment Board (Parts 
                8600--8699)
    LXXVII  Office of Management and Budget (Parts 8700--8799)
      LXXX  Federal Housing Finance Agency (Parts 9000--9099)
   LXXXIII  Special Inspector General for Afghanistan 
                Reconstruction (Parts 9300--9399)
    LXXXIV  Bureau of Consumer Financial Protection (Parts 9400--
                9499)
    LXXXVI  National Credit Union Administration (Parts 9600--
                9699)
     XCVII  Department of Homeland Security Human Resources 
                Management System (Department of Homeland 
                Security--Office of Personnel Management) (Parts 
                9700--9799)
     XCVII  Council of the Inspectors General on Integrity and 
                Efficiency (Parts 9800--9899)
      XCIX  Military Compensation and Retirement Modernization 
                Commission (Parts 9900--9999)
         C  National Council on Disability (Partys 10000--10049)

                      Title 6--Domestic Security

         I  Department of Homeland Security, Office of the 
                Secretary (Parts 1--199)
         X  Privacy and Civil Liberties Oversight Board (Parts 
                1000--1099)

                         Title 7--Agriculture

            Subtitle A--Office of the Secretary of Agriculture 
                (Parts 0--26)
            Subtitle B--Regulations of the Department of 
                Agriculture
         I  Agricultural Marketing Service (Standards, 
                Inspections, Marketing Practices), Department of 
                Agriculture (Parts 27--209)
        II  Food and Nutrition Service, Department of Agriculture 
                (Parts 210--299)
       III  Animal and Plant Health Inspection Service, Department 
                of Agriculture (Parts 300--399)
        IV  Federal Crop Insurance Corporation, Department of 
                Agriculture (Parts 400--499)
         V  Agricultural Research Service, Department of 
                Agriculture (Parts 500--599)
        VI  Natural Resources Conservation Service, Department of 
                Agriculture (Parts 600--699)
       VII  Farm Service Agency, Department of Agriculture (Parts 
                700--799)
      VIII  Grain Inspection, Packers and Stockyards 
                Administration (Federal Grain Inspection Service), 
                Department of Agriculture (Parts 800--899)
        IX  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Fruits, Vegetables, Nuts), Department 
                of Agriculture (Parts 900--999)
         X  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Milk), Department of Agriculture 
                (Parts 1000--1199)

[[Page 1167]]

        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)
       XXV  Office of Advocacy and Outreach, Department of 
                Agriculture (Parts 2500--2599)
      XXVI  Office of Inspector General, Department of Agriculture 
                (Parts 2600--2699)
     XXVII  Office of Information Resources Management, Department 
                of Agriculture (Parts 2700--2799)
    XXVIII  Office of Operations, Department of Agriculture (Parts 
                2800--2899)
      XXIX  Office of Energy Policy and New Uses, Department of 
                Agriculture (Parts 2900--2999)
       XXX  Office of the Chief Financial Officer, Department of 
                Agriculture (Parts 3000--3099)
      XXXI  Office of Environmental Quality, Department of 
                Agriculture (Parts 3100--3199)
     XXXII  Office of Procurement and Property Management, 
                Department of Agriculture (Parts 3200--3299)
    XXXIII  Office of Transportation, Department of Agriculture 
                (Parts 3300--3399)
     XXXIV  National Institute of Food and Agriculture (Parts 
                3400--3499)
      XXXV  Rural Housing Service, Department of Agriculture 
                (Parts 3500--3599)
     XXXVI  National Agricultural Statistics Service, Department 
                of Agriculture (Parts 3600--3699)
    XXXVII  Economic Research Service, Department of Agriculture 
                (Parts 3700--3799)
   XXXVIII  World Agricultural Outlook Board, Department of 
                Agriculture (Parts 3800--3899)
       XLI  [Reserved]
      XLII  Rural Business-Cooperative Service and Rural Utilities 
                Service, Department of Agriculture (Parts 4200--
                4299)

                    Title 8--Aliens and Nationality

         I  Department of Homeland Security (Immigration and 
                Naturalization) (Parts 1--499)

[[Page 1168]]

         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 1300--
                1399)
      XVII  Defense Nuclear Facilities Safety Board (Parts 1700--
                1799)
     XVIII  Northeast Interstate Low-Level Radioactive Waste 
                Commission (Parts 1800--1899)

                      Title 11--Federal Elections

         I  Federal Election Commission (Parts 1--9099)
        II  Election Assistance Commission (Parts 9400--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)
         X  Bureau of Consumer Financial Protection (Parts 1000--
                1099)
        XI  Federal Financial Institutions Examination Council 
                (Parts 1100--1199)
       XII  Federal Housing Finance Agency (Parts 1200--1299)
      XIII  Financial Stability Oversight Council (Parts 1300--
                1399)
       XIV  Farm Credit System Insurance Corporation (Parts 1400--
                1499)

[[Page 1169]]

        XV  Department of the Treasury (Parts 1500--1599)
       XVI  Office of Financial Research (Parts 1600--1699)
      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--1199)
         V  National Aeronautics and Space Administration (Parts 
                1200--1299)
        VI  Air Transportation System Stabilization (Parts 1300--
                1399)

                 Title 15--Commerce and Foreign Trade

            Subtitle A--Office of the Secretary of Commerce (Parts 
                0--29)
            Subtitle B--Regulations Relating to Commerce and 
                Foreign Trade
         I  Bureau of the Census, Department of Commerce (Parts 
                30--199)
        II  National Institute of Standards and Technology, 
                Department of Commerce (Parts 200--299)
       III  International Trade Administration, Department of 
                Commerce (Parts 300--399)
        IV  Foreign-Trade Zones Board, Department of Commerce 
                (Parts 400--499)
       VII  Bureau of Industry and Security, Department of 
                Commerce (Parts 700--799)
      VIII  Bureau of Economic Analysis, Department of Commerce 
                (Parts 800--899)
        IX  National Oceanic and Atmospheric Administration, 
                Department of Commerce (Parts 900--999)
        XI  Technology Administration, Department of Commerce 
                (Parts 1100--1199)
      XIII  East-West Foreign Trade Board (Parts 1300--1399)

[[Page 1170]]

       XIV  Minority Business Development Agency (Parts 1400--
                1499)
            Subtitle C--Regulations Relating to Foreign Trade 
                Agreements
        XX  Office of the United States Trade Representative 
                (Parts 2000--2099)
            Subtitle D--Regulations Relating to Telecommunications 
                and Information
     XXIII  National Telecommunications and Information 
                Administration, Department of Commerce (Parts 
                2300--2399)

                    Title 16--Commercial Practices

         I  Federal Trade Commission (Parts 0--999)
        II  Consumer Product Safety Commission (Parts 1000--1799)

             Title 17--Commodity and Securities Exchanges

         I  Commodity Futures Trading Commission (Parts 1--199)
        II  Securities and Exchange Commission (Parts 200--399)
        IV  Department of the Treasury (Parts 400--499)

          Title 18--Conservation of Power and Water Resources

         I  Federal Energy Regulatory Commission, Department of 
                Energy (Parts 1--399)
       III  Delaware River Basin Commission (Parts 400--499)
        VI  Water Resources Council (Parts 700--799)
      VIII  Susquehanna River Basin Commission (Parts 800--899)
      XIII  Tennessee Valley Authority (Parts 1300--1399)

                       Title 19--Customs Duties

         I  U.S. 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  U.S. 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)

[[Page 1171]]

         V  Employment and Training Administration, Department of 
                Labor (Parts 600--699)
        VI  Office of Workers' Compensation Programs, 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)
         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  Millennium 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)

[[Page 1172]]

       III  National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 1300--1399)

                Title 24--Housing and Urban Development

            Subtitle A--Office of the Secretary, Department of 
                Housing and Urban Development (Parts 0--99)
            Subtitle B--Regulations Relating to Housing and Urban 
                Development
         I  Office of Assistant Secretary for Equal Opportunity, 
                Department of Housing and Urban Development (Parts 
                100--199)
        II  Office of Assistant Secretary for Housing-Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Parts 200--299)
       III  Government National Mortgage Association, Department 
                of Housing and Urban Development (Parts 300--399)
        IV  Office of Housing and Office of Multifamily Housing 
                Assistance Restructuring, Department of Housing 
                and Urban Development (Parts 400--499)
         V  Office of Assistant Secretary for Community Planning 
                and Development, Department of Housing and Urban 
                Development (Parts 500--599)
        VI  Office of Assistant Secretary for Community Planning 
                and Development, Department of Housing and Urban 
                Development (Parts 600--699) [Reserved]
       VII  Office of the Secretary, Department of Housing and 
                Urban Development (Housing Assistance Programs and 
                Public and Indian Housing Programs) (Parts 700--
                799)
      VIII  Office of the Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Section 8 Housing Assistance 
                Programs, Section 202 Direct Loan Program, Section 
                202 Supportive Housing for the Elderly Program and 
                Section 811 Supportive Housing for Persons With 
                Disabilities Program) (Parts 800--899)
        IX  Office of Assistant Secretary for Public and Indian 
                Housing, Department of Housing and Urban 
                Development (Parts 900--1699)
         X  Office of Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Interstate Land Sales 
                Registration Program) (Parts 1700--1799)
       XII  Office of Inspector General, Department of Housing and 
                Urban Development (Parts 2000--2099)
        XV  Emergency Mortgage Insurance and Loan Programs, 
                Department of Housing and Urban Development (Parts 
                2700--2799) [Reserved]
        XX  Office of Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Parts 3200--3899)
      XXIV  Board of Directors of the HOPE for Homeowners Program 
                (Parts 4000--4099) [Reserved]
       XXV  Neighborhood Reinvestment Corporation (Parts 4100--
                4199)

[[Page 1173]]

                           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--End)

           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)
       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)

[[Page 1174]]

        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  Bureau of Safety and Environmental Enforcement, 
                Department of the Interior (Parts 200--299)
        IV  Geological Survey, Department of the Interior (Parts 
                400--499)
         V  Bureau of Ocean Energy Management, Department of the 
                Interior (Parts 500--599)
       VII  Office of Surface Mining Reclamation and Enforcement, 
                Department of the Interior (Parts 700--999)
       XII  Office of Natural Resources Revenue, Department of the 
                Interior (Parts 1200--1299)

                 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)

[[Page 1175]]

      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)
         X  Financial Crimes Enforcement Network, Department of 
                the Treasury (Parts 1000--1099)

                      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)
        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)

[[Page 1176]]

        IV  Office of Career, Technical and Adult Education, 
                Department of Education (Parts 400--499)
         V  Office of Bilingual Education and Minority Languages 
                Affairs, Department of Education (Parts 500--599) 
                [Reserved]
        VI  Office of Postsecondary Education, Department of 
                Education (Parts 600--699)
       VII  Office of Educational Research and Improvement, 
                Department of Education (Parts 700--799) 
                [Reserved]
            Subtitle C--Regulations Relating to Education
        XI  [Reserved]
       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)

             Title 37--Patents, Trademarks, and Copyrights

         I  United States Patent and Trademark Office, Department 
                of Commerce (Parts 1--199)
        II  U.S. Copyright Office, Library of Congress (Parts 
                200--299)
       III  Copyright Royalty Board, Library of Congress (Parts 
                300--399)
        IV  Assistant Secretary for Technology Policy, Department 
                of Commerce (Parts 400--599)

           Title 38--Pensions, Bonuses, and Veterans' Relief

         I  Department of Veterans Affairs (Parts 0--199)
        II  Armed Forces Retirement Home (Parts 200--299)

[[Page 1177]]

                       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)
      VIII  Gulf Coast Ecosystem Restoration Council (Parts 1800--
                1899)

          Title 41--Public Contracts and Property Management

            Subtitle A--Federal Procurement Regulations System 
                [Note]
            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)
   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)
  103--104  [Reserved]
       105  General Services Administration (Parts 105-1--105-999)
       109  Department of Energy Property Management Regulations 
                (Parts 109-1--109-99)
       114  Department of the Interior (Parts 114-1--114-99)
       115  Environmental Protection Agency (Parts 115-1--115-99)
       128  Department of Justice (Parts 128-1--128-99)
  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)

[[Page 1178]]

       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--599)
         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 400--999)
        II  Bureau of Land Management, Department of the Interior 
                (Parts 1000--9999)
       III  Utah Reclamation Mitigation and Conservation 
                Commission (Parts 10000--10099)

             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)

                       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)

[[Page 1179]]

        VI  National Science Foundation (Parts 600--699)
       VII  Commission on Civil Rights (Parts 700--799)
      VIII  Office of Personnel Management (Parts 800--899)
         X  Office of Community Services, Administration for 
                Children and Families, Department of Health and 
                Human Services (Parts 1000--1099)
        XI  National Foundation on the Arts and the Humanities 
                (Parts 1100--1199)
       XII  Corporation for National and Community Service (Parts 
                1200--1299)
      XIII  Office of Human Development Services, Department of 
                Health and Human Services (Parts 1300--1399)
       XVI  Legal Services Corporation (Parts 1600--1699)
      XVII  National Commission on Libraries and Information 
                Science (Parts 1700--1799)
     XVIII  Harry S. Truman Scholarship Foundation (Parts 1800--
                1899)
       XXI  Commission on Fine Arts (Parts 2100--2199)
     XXIII  Arctic Research Commission (Part 2301)
      XXIV  James Madison Memorial Fellowship Foundation (Parts 
                2400--2499)
       XXV  Corporation for National and Community Service (Parts 
                2500--2599)

                          Title 46--Shipping

         I  Coast Guard, Department of Homeland Security (Parts 
                1--199)
        II  Maritime Administration, Department of Transportation 
                (Parts 200--399)
       III  Coast Guard (Great Lakes Pilotage), Department of 
                Homeland Security (Parts 400--499)
        IV  Federal Maritime Commission (Parts 500--599)

                      Title 47--Telecommunication

         I  Federal Communications Commission (Parts 0--199)
        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)
        IV  National Telecommunications and Information 
                Administration, Department of Commerce, and 
                National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 400--499)

           Title 48--Federal Acquisition Regulations System

         1  Federal Acquisition Regulation (Parts 1--99)
         2  Defense Acquisition Regulations System, Department of 
                Defense (Parts 200--299)

[[Page 1180]]

         3  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 (Parts 5300--5399) 
                [Reserved]
        54  Defense Logistics Agency, Department of Defense (Parts 
                5400--5499)
        57  African Development Foundation (Parts 5700--5799)
        61  Civilian Board of Contract Appeals, General Services 
                Administration (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)

[[Page 1181]]

                       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 (Parts 1000--1399)
        XI  Research and Innovative Technology Administration, 
                Department of Transportation (Parts 1400--1499) 
                [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)
         V  Marine Mammal Commission (Parts 500--599)
        VI  Fishery Conservation and Management, National Oceanic 
                and Atmospheric Administration, Department of 
                Commerce (Parts 600--699)

[[Page 1183]]





           Alphabetical List of Agencies Appearing in the CFR




                      (Revised as of July 1, 2016)

                                                  CFR Title, Subtitle or 
                     Agency                               Chapter

Administrative Committee of the Federal Register  1, I
Administrative Conference of the United States    1, III
Advisory Council on Historic Preservation         36, VIII
Advocacy and Outreach, Office of                  7, XXV
Afghanistan Reconstruction, Special Inspector     5, LXXXIII
     General for
African Development Foundation                    22, XV
  Federal Acquisition Regulation                  48, 57
Agency for International Development              2, VII; 22, II
  Federal Acquisition Regulation                  48, 7
Agricultural Marketing Service                    7, I, IX, X, XI
Agricultural Research Service                     7, V
Agriculture Department                            2, IV; 5, LXXIII
  Advocacy and Outreach, Office of                7, XXV
  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
  Economic Research Service                       7, XXXVII
  Energy Policy and New Uses, 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
  National Institute of Food and Agriculture      7, XXXIV
  Natural Resources Conservation Service          7, VI
  Operations, Office of                           7, XXVIII
  Procurement and Property Management, Office of  7, XXXII
  Rural Business-Cooperative Service              7, XVIII, XLII
  Rural Development Administration                7, XLII
  Rural Housing Service                           7, XVIII, XXXV
  Rural Telephone Bank                            7, XVI
  Rural Utilities Service                         7, XVII, XVIII, XLII
  Secretary of Agriculture, Office of             7, Subtitle A
  Transportation, Office of                       7, XXXIII
  World Agricultural Outlook Board                7, XXXVIII
Air Force Department                              32, VII
  Federal Acquisition Regulation Supplement       48, 53
Air Transportation Stabilization Board            14, VI
Alcohol and Tobacco Tax and Trade Bureau          27, I
Alcohol, Tobacco, Firearms, and Explosives,       27, II
     Bureau of
AMTRAK                                            49, VII
American Battle Monuments Commission              36, IV
American Indians, Office of the Special Trustee   25, VII

[[Page 1184]]

Animal and Plant Health Inspection Service        7, III; 9, I
Appalachian Regional Commission                   5, IX
Architectural and Transportation Barriers         36, XI
     Compliance Board
Arctic Research Commission                        45, XXIII
Armed Forces Retirement Home                      5, XI
Army Department                                   32, V
  Engineers, Corps of                             33, II; 36, III
  Federal Acquisition Regulation                  48, 51
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
Career, Technical and Adult Education, Office of  34, IV
Census Bureau                                     15, I
Centers for Medicare & Medicaid Services          42, IV
Central Intelligence Agency                       32, XIX
Chemical Safety and Hazardous Investigation       40, VI
     Board
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
Council of the Inspectors General on Integrity    5, XCVIII
     and Efficiency
Court Services and Offender Supervision Agency    5, LXX
     for the District of Columbia
Coast Guard                                       33, I; 46, I; 49, IV
Coast Guard (Great Lakes Pilotage)                46, III
Commerce Department                               2, XIII; 44, IV; 50, VI
  Census Bureau                                   15, I
  Economic Analysis, Bureau of                    15, VIII
  Economic Development Administration             13, III
  Emergency Management and Assistance             44, IV
  Federal Acquisition Regulation                  48, 13
  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
  National Oceanic and Atmospheric                15, IX; 50, II, III, IV, 
       Administration                             VI
  National Telecommunications and Information     15, XXIII; 47, III, IV
       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 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 Financial Protection Bureau              5, LXXXIV; 12, X
Consumer Product Safety Commission                5, LXXI; 16, 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    5, LXX; 28, VIII
     for the District of Columbia
Customs and Border Protection                     19, I
Defense Contract Audit Agency                     32, I

[[Page 1185]]

Defense Department                                2, XI; 5, XXVI; 32, 
                                                  Subtitle A; 40, VII
  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
  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          5, LXX; 28, VIII
     Offender Supervision Agency for the
Drug Enforcement Administration                   21, II
East-West Foreign Trade Board                     15, XIII
Economic Analysis, Bureau of                      15, VIII
Economic Development Administration               13, III
Economic Research Service                         7, XXXVII
Education, Department of                          2, XXXIV; 5, LIII
  Bilingual Education and Minority Languages      34, V
       Affairs, Office of
  Career, Technical and Adult Education, Office   34, IV
       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
  Career, Technical, and Adult Education, Office  34, IV
       of
Educational Research and Improvement, Office of   34, VII
Election Assistance Commission                    2, LVIII; 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                             2, IX; 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
  Environmental Quality, Council on               40, V
  Management and Budget, Office of                2, Subtitle A; 5, III, 
                                                  LXXVII; 14, VI; 48, 99

[[Page 1186]]

  National Drug Control Policy, Office of         2, XXXVI; 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                       5, XXXVII; 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                    5, LXXX; 12, XII
Federal Housing Finance Board                     12, IX
Federal Labor Relations Authority                 5, XIV, XLIX; 22, XIV
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
Financial Crimes Enforcement Network              31, X
Financial Research Office                         12, XVI
Financial Stability Oversight Council             12, XIII
Fine Arts, Commission on                          45, XXI
Fiscal Service                                    31, II
Fish and Wildlife Service, United States          50, I, IV
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

[[Page 1187]]

Forest Service                                    36, II
General Services Administration                   5, LVII; 41, 105
  Contract Appeals, Board of                      48, 61
  Federal Acquisition Regulation                  48, 5
  Federal Management Regulation                   41, 102
  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
Gulf Coast Ecosystem Restoration Council          2, LIX; 40, VIII
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                  2, XXX; 5, XXXVI; 6, I; 8, 
                                                  I
  Coast Guard                                     33, I; 46, I; 49, IV
  Coast Guard (Great Lakes Pilotage)              46, III
  Customs and Border Protection                   19, I
  Federal Emergency Management Agency             44, I
  Human Resources Management and Labor Relations  5, XCVII
       Systems
  Immigration and Customs Enforcement Bureau      19, IV
  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 Review, Executive Office for          8, V

[[Page 1188]]

Independent Counsel, Office of                    28, VII
Independent Counsel, Offices of                   28, VI
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, XV
Institute of Peace, United States                 22, XVII
Inter-American Foundation                         5, LXIII; 22, X
Interior Department                               2, XIV
  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
  National Indian Gaming Commission               25, III
  National Park Service                           36, I
  Natural Resource Revenue, Office of             30, XII
  Ocean Energy Management, Bureau of              30, V
  Reclamation, Bureau of                          43, I
  Safety and Enforcement Bureau, Bureau of        30, II
  Secretary of the Interior, Office of            2, XIV; 43, Subtitle A
  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 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, XXVIII; 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
  Independent Counsel, Offices of                 28, VI
  Prisons, Bureau of                              28, V
  Property Management Regulations                 41, 128
Labor Department                                  2, XXIX; 5, XLII
  Employee Benefits Security Administration       29, XXV
  Employees' Compensation Appeals Board           20, IV

[[Page 1189]]

  Employment and Training Administration          20, V
  Employment Standards Administration             20, VI
  Federal Acquisition Regulation                  48, 29
  Federal Contract Compliance Programs, Office    41, 60
       of
  Federal Procurement Regulations System          41, 50
  Labor-Management Standards, Office of           29, II, IV
  Mine Safety and Health Administration           30, I
  Occupational Safety and Health Administration   29, XVII
  Public Contracts                                41, 50
  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, VII
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 Royalty Board                         37, III
  U.S. Copyright Office                           37, II
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
Military Compensation and Retirement              5, XCIX
     Modernization Commission
Millennium Challenge Corporation                  22, XIII
Mine Safety and Health Administration             30, I
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   2, XXII; 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                    5, C; 34, XII
National Counterintelligence Center               32, XVIII
National Credit Union Administration              5, LXXXVI; 12, VII
National Crime Prevention and Privacy Compact     28, IX
     Council
National Drug Control Policy, Office of           2, XXXVI; 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 Geospatial-Intelligence Agency           32, I
National Highway Traffic Safety Administration    23, II, III; 47, VI; 49, V
National Imagery and Mapping Agency               32, I
National Indian Gaming Commission                 25, III
National Institute of Food and Agriculture        7, XXXIV
National Institute of Standards and Technology    15, II
National Intelligence, Office of Director of      5, IV; 32, XVII
National Labor Relations Board                    5, LXI; 29, I
National Marine Fisheries Service                 50, II, IV
National Mediation Board                          29, X
National Oceanic and Atmospheric Administration   15, IX; 50, II, III, IV, 
                                                  VI

[[Page 1190]]

National Park Service                             36, I
National Railroad Adjustment Board                29, III
National Railroad Passenger Corporation (AMTRAK)  49, VII
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, IV
     Administration
National Transportation Safety Board              49, VIII
Natural Resources Conservation Service            7, VI
Natural Resource Revenue, Office of               30, XII
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                     2, XX; 5, XLVIII; 10, I
  Federal Acquisition Regulation                  48, 20
Occupational Safety and Health Administration     29, XVII
Occupational Safety and Health Review Commission  29, XX
Ocean Energy Management, Bureau of                30, V
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                                       2, XXXVII; 22, III
Pennsylvania Avenue Development Corporation       36, IX
Pension Benefit Guaranty Corporation              29, XL
Personnel Management, Office of                   5, I, XXXV; 5, IV; 45, 
                                                  VIII
  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
Privacy and Civil Liberties Oversight Board       6, X
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
Rural Development Administration                  7, XLII
Rural Housing Service                             7, XVIII, XXXV
Rural Telephone Bank                              7, XVI
Rural Utilities Service                           7, XVII, XVIII, XLII

[[Page 1191]]

Safety and Environmental Enforcement, Bureau of   30, II
Saint Lawrence Seaway Development Corporation     33, IV
Science and Technology Policy, Office of          32, XXIV
Science and Technology Policy, Office of, and     47, II
     National Security Council
Secret Service                                    31, IV
Securities and Exchange Commission                5, XXXIV; 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 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
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; 47, IV; 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
  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                               2, X;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                   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
  Financial Crimes Enforcement Network            31, X
  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
[[Page 1192]]

U.S. Copyright Office                             37, II
Utah Reclamation Mitigation and Conservation      43, III
     Commission
Veterans Affairs Department                       2, VIII; 38, I
  Federal Acquisition Regulation                  48, 8
Veterans' Employment and Training Service,        41, 61; 20, IX
     Office of the Assistant Secretary for
Vice President of the United States, Office of    32, XXVIII
Wage and Hour Division                            29, V
Water Resources Council                           18, VI
Workers' Compensation Programs, Office of         20, I, VII
World Agricultural Outlook Board                  7, XXXVIII

[[Page 1193]]



List of CFR Sections Affected



All changes in this volume of the Code of Federal Regulations (CFR) that 
were made by documents published in the Federal Register since January 
1, 2011 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, parts and 
subparts as well as sections for revisions.
For changes to this volume of the CFR prior to this listing, consult the 
annual edition of the monthly List of CFR Sections Affected (LSA). The 
LSA is available at www.fdsys.gov. For changes to this volume of the CFR 
prior to 2001, see the ``List of CFR Sections Affected, 1949-1963, 1964-
1972, 1973-1985, and 1986-2000'' published in 11 separate volumes. The 
``List of CFR Sections Affected 1986-2000'' is available at 
www.fdsys.gov.

                                  2011

32 CFR
                                                                   76 FR
                                                                    Page
Chapter I
158 Added; interim.................................................81808
159 Regulation at 74 FR 34691 confirmed; revised...................49655
174.9 Revised......................................................70880
174.10 Removed.....................................................70882
185 Revised.........................................................2248

                                  2012

32 CFR
                                                                   77 FR
                                                                    Page
Chapter I
68 Added...........................................................72944
103 Added; interim..................................................4241
183 Added..........................................................22671

                                  2013

32 CFR
                                                                   78 FR
                                                                    Page
Chapter I
18 Removed..........................................................3325
65 Revised; eff. 7-8-13............................................34251
68 Stayed to 2-5-13.................................................6208
103 Revised........................................................20445
105 Added; interim.................................................21718
158 Policy statement...............................................72572
165 Revised........................................................31400
182 Added..........................................................21828

                                  2014

32 CFR
                                                                   79 FR
                                                                    Page
Chapter I
60 Added...........................................................25676
68 Revised; eff. 7-14-14...........................................27737
79 Added; interim..................................................28409
117 Added; interim.................................................19469
156 Revised........................................................18163
157 Added; interim.................................................55624
161 Added; interim...................................................709

                                  2015

32 CFR
                                                                   80 FR
                                                                    Page
Chapter I
57 Revised; eff. 7-27-15...........................................36660
61 Added; interim..................................................11780
66 Added; interim..................................................16270
86 Revised.........................................................55756
88 Revised; interim................................................74683
    Technical correction...........................................76206

                                  2016

   (Regulations published from January 1, 2016, through July 1, 2016)

32 CFR
                                                                   81 FR
                                                                    Page
Chapter I
88.3 Amended; eff. 9-1-16..........................................41808

[[Page 1194]]

88.5 (a) introductory text, (c) introductory text, (e) 
        introductory text, (f) introductory text, (j) introductory 
        text and (5) revised; eff. 9-1-16..........................41808
104 Revised........................................................10494


                                  [all]