Code v. MchughCross MOTION for Summary JudgmentD.D.C.June 19, 2017 IN THE UNITED STATES DISTRICT COURT FOR THE DISTRICT OF COLUMBIA CHRISTOPHER J. CODE, Plaintiff, v. ROBERT M. SPEER, Acting Secretary, U.S. Department of the Army, Defendant Case. No. 1:15-cv-00031-CKK PLAINTIFF’S CROSS-MOTION FOR SUMMARY JUDGMENT Plaintiff Christopher J. Code, by counsel, moves pursuant to Rule 56 of the Federal Rules of Civil Procedure for judgment as a matter of law. The grounds in support of this motion are set forth in the accompanying memorandum of points and authorities. Pursuant to LCvR 7(f), Plaintiff requests an oral hearing. Respectfully submitted, Christopher J. Code By: /s/ Andrew K. Wible Andrew K. Wible, D.C. Bar No. 988391 awible@cohenmohr.com William F. Savarino, D.C. Bar No. 386706 bsavarino@cohenmohr.com COHEN MOHR LLP 1055 Thomas Jefferson Street, N.W. Suite 504 Washington, D.C. 20007 (202) 342-2550 (202) 342-6147 – fax Attorneys for Christopher J. Code Case 1:15-cv-00031-CKK Document 20 Filed 06/19/17 Page 1 of 1 IN THE UNITED STATES DISTRICT COURT FOR THE DISTRICT OF COLUMBIA CHRISTOPHER J. CODE, Plaintiff, v. ROBERT M. SPEER, Acting Secretary, U.S. Department of the Army, Defendant Case. No. 1:15-cv-00031-CKK PLAINTIFF’S MEMORANDUM IN SUPPORT OF HIS CROSS-MOTION FOR SUMMARY JUDGMENT AND IN OPPOSITION TO DEFENDANT’S MOTION FOR SUMMARY JUDGMENT Andrew K. Wible William F. Savarino COHEN MOHR LLP 1055 Thomas Jefferson Street, NW Suite 504 Washington, DC 20007 (202) 342-2550 Attorneys for Christopher Cole Case 1:15-cv-00031-CKK Document 20-1 Filed 06/19/17 Page 1 of 33 TABLE OF CONTENTS Section Page ii I. Summary .................................................................................................................................. 1 II. Questions Presented ................................................................................................................. 2 III. Statement Of Facts................................................................................................................... 2 IV. Applicable Legal Standard ...................................................................................................... 8 A. Summary Judgment ................................................................................................ 8 B. APA Standard of Review ........................................................................................ 9 C. APA Standard of Review of Decisions of Military Boards of Correction ............. 9 V. Argument In Support Of Motion For Summary Judgment ................................................... 10 A. The Army Decision To Uphold The ROI Is Arbitrary And Capricious Because There No Credible Evidence That Mr. Code Committed A Crime. ....... 10 1. No Evidence Plaintiff Knowingly Submitted False Information To The DoD School. ...................................................................................... 11 2. The Army Relied On Factors That Were Irrelevant And Improper, And Failed To Consider Evidence Of The Shortcomings Of The Investigation. ............................................................................................. 18 B. The Army’s Finding That The Referral Of The ROI To DFAS Was Exempt From The Privacy Act Is Contrary To Law............................................. 20 1. The CID’s Referral Of The ROI To DFAS Violated The Privacy Act. ............................................................................................................ 20 2. The Board’s Decision To Uphold The Amount Of The Loss Is Not Supported By The Record. ........................................................................ 26 C. The Army’s Explanation For Its Decision Denying Expungement Of The CRDA Is Implausible And Cannot Be Ascribed To Agency Expertise. .............. 27 VI. Argument In Opposition To Defendant’s Motion For Summary Judgment ......................... 28 A. Mr. Code Was Clearly Harmed By The CID Agent’s Unauthorized Completion Of The CDRA. .................................................................................. 28 Case 1:15-cv-00031-CKK Document 20-1 Filed 06/19/17 Page 2 of 33 TABLE OF AUTHORITIES Page iii Federal Cases Albino v. United States, 78 F. Supp. 3d 148 (D.D.C. 2015) ........................................................... 8 Bowen v. Am. Hosp. Ass’n, 476 U.S. 610 (1986) ........................................................................... 9 Coburn v. McHugh, 679 F.3d 924 (D.C. Cir. 2012) ....................................................................... 9 Escobedo v. Green, 602 F.Supp.2d 244 (D.D.C. 2009) ................................................................ 11 Haselwander v. McHugh, 774 F.3d 990 (D.C. Cir. 2014) .............................................................. 9 Kreis v. Sec’y of the Air Force, 866 F.2d 1508 (D.C.Cir.1989) ..................................................... 9 Kreis v. Sec'y of Air Force, 406 F.3d 684 (D.C.Cir.2005) ............................................................ 10 Marsh v. Oregon Natural Res. Council, 490 U.S. 360 (1989) ....................................................... 9 Motor Vehicle Mfrs. Ass’n of U.S. v. State Farm Mut. Auto. Ins. Co., 463 U.S. 29 (1983) ........... 9 Occidental Eng’g Co. v. INS, 753 F.2d 766 (9th Cir.1985) ............................................................ 8 Remmie v. Mabus, 898 F. Supp. 2d 108 (D.D.C. 2012) ......................................................... 10, 23 Tourus Records, Inc. v. Drug Enforcement Admin., 259 F.3d 731 (D.C.Cir.2001) ....................... 9 United States v. Bae, 250 F.3d 774 (D.C. Cir. 2001).................................................................... 27 Wilhelmus v. Geren, 796 F.Supp.2d 157 (D.D.C.2011) ............................................................... 10 Federal Statutes 5 U.S.C. § 552a ............................................................................................................................. 21 5 U.S.C. § 706 ................................................................................................................................. 9 Federal Regulations 32 C.F.R. § 505.7 .......................................................................................................................... 21 32 C.F.R. § 581.3 .......................................................................................................................... 17 32 C.F.R. § 635.12 ........................................................................................................................ 11 Department/Service Regulations AR 190-45 ..................................................................................................................................... 12 AR 195-2 ................................................................................................................................. 12, 21 AR 195-2 (June 9, 2014) ............................................................................................................... 12 AR 340-21 ............................................................................................................................... 21, 25 Department of Defense Financial Management Regulation (“FMR”), Volume 7A, Chapter 50 (January 2010) ........................................................................................................................... 25 DoD 5400.11-R ............................................................................................................................. 23 DODI 1342.26............................................................................................................. 13, 14, 16, 23 Case 1:15-cv-00031-CKK Document 20-1 Filed 06/19/17 Page 3 of 33 Page - iv - DODI 5505.2.......................................................................................................................... passim DODI 5505.7................................................................................................................................. 12 Other Authorities MANUAL FOR COURTS-MARTIAL, UNITED STATES pt. II, R.C.M. 306 .................................... 27, 28 MANUAL FOR COURTS-MARTIAL, UNITED STATES pt. II, R.C.M. 401 (2008) .............................. 27 MANUAL FOR COURTS-MARTIAL, UNITED STATES pt. IV, ¶ 31 (2008) ........................................ 13 MANUAL FOR COURTS-MARTIAL, UNITED STATES pt. IV, ¶ 49 (2008) ........................................ 14 MANUAL FOR COURTS-MARTIAL, UNITED STATES pt. IV, ¶ 78 (2008) ........................................ 13 United States v. Spicer, 71 M.J. 470 (C.A.A.F. 2013) .................................................................. 15 Case 1:15-cv-00031-CKK Document 20-1 Filed 06/19/17 Page 4 of 33 - 1 - I. SUMMARY In April 2007, Plaintiff Christopher J. Code enrolled his three dependent children at a Department of Defense (“DoD”) elementary school at Fort Buchanan in San Juan, Puerto Rico for the 2007-2008 school year. One month later, Mr. Code was reassigned to a base in Texas; however, his wife and children remained in Puerto Rico to care for his ailing father, who had just relocated there from the mainland. There is no dispute that under the applicable regulation Mr. Code’s children were eligible to enroll in the school, and Mr. Code believed they were allowed to attend even though he had been reassigned to Texas. The Army contends Mr. Code’s permanent change of station rendered his children ineligible to attend the school; accordingly, the Army believed Mr. Code obtained a benefit he was not entitled to, and reported it to the Defense Finance and Accounting Service (“DFAS”) as a debt to be collected. The primary question before the Court is not whether Mr. Code received a benefit he was not entitled to, but whether his receipt of that benefit was the product of a crime; specifically, whether Mr. Code knowingly provided false information to the school with the intent to deceive in order to obtain a free education for his children. Because there is no credible information in the administrative record that the Mr. Code provided false information on the enrollment application, or that he acted with any intent to deceive the school, he is entitled to judgment as a matter of law. Secondarily, the Court must determine whether the Army’s actions following its criminal investigation—referring the Report of Investigation (“ROI”) to DFAS and the filing of a Commander’s Report of Disciplinary Action (“CRDA”) by an unauthorized Criminal Investigation Command (“CID”) agent—were validly taken and authorized under applicable law. The Army contends that its referral of the report to DFAS was either because DFAS had a legitimate need to know the information, or that such referrals were routine; however, that Case 1:15-cv-00031-CKK Document 20-1 Filed 06/19/17 Page 5 of 33 - 2 - argument is contradicted by the governing regulation, and is otherwise not supported by the Army’s authority. Therefore, Mr. Code is entitled to have the debt canceled as a matter of law. The Army concedes that the CRDA was completed and signed by an individual who was unauthorized to do so under the applicable regulation, yet claims that is insufficient to expunge the report because, although no applicable regulation permits it or any evidence to support it, there is a possibility that Mr. Code’s commanding officer may have directed the CID agent to complete the report. That explanation, however, is both irrational and implausible, and cannot be ascribed to a difference in view or agency expertise. Accordingly, Mr. Code is entitled to have the CRDA expunged as a matter of law. II. QUESTIONS PRESENTED 1. Does the administrative record establish credible evidence that Mr. Code knowingly provided false information with the intent to deceive or defraud in connection with the enrollment of his children at the DoD school? 2. Was the Army’s referral of the ROI to DFAS exempt from the non-disclosure provisions Privacy Act under the “routine use” or “need to know” exceptions? 3. Was the Army’s explanation for its refusal to expunge the unauthorized CRDA rationally based on the evidence established by the administrative record? III. STATEMENT OF FACTS 1. On January 24, 2005, Mr. Code was issued official Permanent Change of Station (“PCS”) Orders requiring him to report to the Military Entrance Processing Station located at Ft. Buchanan, San Juan, Puerto Rico (“San Juan MEPS”) as his permanent duty station no later than August 2005, with a Projected Rotation Date (“PRD”) of July 2008. (A.R. 264-67.) 2. During his assignment to San Juan MEPS, Mr. Code was authorized to reside off the base in private housing with his wife and three dependent children. (A.R. 296-97.) Case 1:15-cv-00031-CKK Document 20-1 Filed 06/19/17 Page 6 of 33 - 3 - 3. Mr. Code enrolled his children and they attended the DoD school at Ft. Buchanan for the school years 2005-2006 and 2006-2007. (A.R. 298 at ¶ 4.) 4. In or about March of 2007, Mr. Code was informally advised that he would receive new PCS Orders transferring him out of Ft. Buchanan prior to the expiration of his current orders. (A.R. 298 at ¶ 5.) 5. In response, Mr. Code was instructed by his command to formally request an extension of his current PCS Orders through August 2008. (A.R. 269, 298 at ¶ 6.) 6. The reason for Mr. Code’s request was so that his wife could care for his ill father who had recently relocated to Puerto Rico from the mainland. (A.R. 269, 298 at ¶ 6.) 7. In addition, Mr. Code’s chain-of-command supported his request, and also sought to extend his orders to facilitate the transition of the MEPS operations to the new incoming command. (A.R. 270-72.) 8. Based on what he was told by his commanding officer, Mr. Code had no reason to doubt the request would be granted. (A.R. 298 at ¶ 6.) 9. The DoD school at Ft. Buchanan conducted enrollment of current students for the 2007-2008 school year during the Spring of 2007 while Mr. Code’s extension request was pending. (A.R. 299 at ¶ 7.) 10. On April 30, 2007, Mr. Code submitted his enrollment application to the school’s Registrar providing the expiration date (July 2008) of his current PCS orders. (A.R. 274, 299 at ¶¶ 7-8.) 11. Mr. Code told the Registrar that his PCS orders could change; the Registrar responded that his children’s eligibility was determined by his official PCS orders at the time of enrollment, which was consistent with applicable DoD regulation, DoDI 1342.26, ¶ 6.3.3. (A.R. Case 1:15-cv-00031-CKK Document 20-1 Filed 06/19/17 Page 7 of 33 - 4 - 299 at ¶ 8.) 12. The application form contained a line that read “If my orders change / terminate before the start of SY 2007 - 2008, I will notify the Registrar immediately,” which Mr. Code inadvertently failed to sign. (A.R. 274, 326.) 13. At the time Mr. Code submitted his application to the Registrar (April 30, 2007), he did not yet know that his request for extension had been denied. (A.R. 299 at ¶ 7.) 14. On or about May 8, 2007, Mr. Code received a letter from Navy Personnel Command dated April 26, 2007, which denied his request for an extension of his current PCS orders. (A.R. 306.) 15. On May 23, 2007, approximately a month following the enrollment of his children, Mr. Code was issued new PCS Orders requiring him to report to Naval Air Station, Kingsville, Texas (“NAS Kingsville”) as his permanent duty station no later than June 2007. (A.R. 280-83.) 16. Upon receipt of his new PCS Orders, Mr. Code verbally notified the Registrar of the Ft. Buchanan school that his status had changed. The Registrar advised Mr. Code that because his children were validly enrolled based on Plaintiff’s official orders as of the date of enrollment on April 30, 2007, his children could remain at the Ft. Buchanan school for the 2007- 2008 school term. (A.R. 299 at ¶ 9, 330 at ¶ 2.) 17. Mr. Code reported to NAS Kingsville on or about June 2007. (A.R. 252.) 18. On November 29, 2007, Mr. Code’s wife was taken into custody for shoplifting at the Ft. Buchanan Post Exchange, and during her processing she stated that she needed access to the base to take her children to and from the school. Upon learning that Mr. Code was stationed in Texas, but his children were attending the Ft. Buchanan school, the CID branch in Florida Case 1:15-cv-00031-CKK Document 20-1 Filed 06/19/17 Page 8 of 33 - 5 - commenced an investigation in January 2008. (A.R. 246.) 19. On January 25, 2008, the CID investigator interviewed someone from San Juan MEPS who incorrectly stated that Mr. Code’s assignment to San Juan MEPS was a 24-month tour, meaning that his 2005 PCS orders expired no later than August 2007. This information was in direct conflict with Mr. Code’s actual 2005 PCS orders, which did not expire until July 2008. (A.R. 248; 264-67.) 20. That same day, the CID investigator interviewed the Registrar. The Agent’s Investigative Report (“AIR”) reflects that he or she “presented the scenario involving [Mr. Code],” and the Registrar “advised that his children could not attend the DoD school on Ft. Buchanan since the sponsor, [Mr. Code] was no longer assigned or stationed in Puerto Rico.” (A.R. 247.) 21. On February 21, 2008, a CID investigator interviewed Mr. Code. The AIR reflects that Mr. Code “requested an explanation of his involvement in this investigation,” and thereafter asserted his right to legal counsel, which terminated the interview. (A.R. 252.) 22. On July 2, 2008, the CID investigator interviewed the Assistant General Counsel for the DoD Education Activity (“DoDEA”), which ran the Ft. Buchanan school. The AIR reflects that the “agent informed [the witness] that on April 26, 2007, [Mr. Code] was denied his request to extend his tour in Puerto Rico….[and] falsely stated and later claimed on April 30, 2007, on [the enrollment application] that his tour on [sic] Puerto Rico would not end until July 2008.” (A.R. 256.) 23. On December 4, 2008, the U.S. Attorney’s Office, San Juan, Puerto Rico, declined prosecution of Plaintiff, referring any further action to DoD or Plaintiff’s chain of command. (A.R. 242.) Case 1:15-cv-00031-CKK Document 20-1 Filed 06/19/17 Page 9 of 33 - 6 - 24. On July 30, 2009, the CID investigator interviewed the individual assigned to Navy Personnel Command who issued the letter denying Mr. Code’s tour extension request in April 2007. The AIR reflects that purpose of the interview was to determine the date when Mr. Code actually received the letter of denial. The witness stated that she no longer had access to old emails or hard copies of the relevant files, but that she believed she scanned and emailed or faxed a copy of the letter to Mr. Code. The witness further stated that: If you are trying to prove that [Mr. Code] intentionally defrauded the local school by saying he thought his extension was approved, I can affirm with absolute confidence that I personally told him otherwise within no more than a few days after the date on the letter…. (A.R. 284-85.) 25. On January 23, 2009, Mr. Code was honorably discharged from the Navy. (A.R. 277-79.) He remains a member of the Naval Reserve. (A.R. 322-23.) 26. In January 2011, the CID issued its final ROI, which concluded that: (a) Mr. Code “knowingly falsified” and submitted the enrollment application “4 days after his Permanent Change of Station (PCS) extension request was denied, transferring him from Puerto Rico to Kingsville, TX”; (b) those facts constituted probable cause to believe that Plaintiff committed the crimes of False Official Statement (U.S.M.J., art. 107) and Larceny (U.S.M.J., art. 121); and (c) the Government suffered a loss of $44,200. (A.R. 242.) 27. On or about September 28, 2010, before issuing the final ROI, CID “presented documentation and a structured time line of events” to DFAS, which reviewed the information and “accepted financial responsibility for the $44,200.00 loss” and agreed to “collect the debt from [Mr. Code] as he is still a Navy Reservist and Naval civilian employee.” (A.R. 242.) Case 1:15-cv-00031-CKK Document 20-1 Filed 06/19/17 Page 10 of 33 - 7 - 28. On September 30, 2010, DFAS issued a letter to Mr. Code advising him that DoD had charged him with a debt in the amount of $44,200.00 based on the larceny charge in the ROI. The DFAS letter was the first notice Plaintiff received regarding the disposition of the CID investigation, or that he had been determined to be indebted to DoD. (A.R. 308-09.) 29. On October 20, 2010, the “Agent in Charge” of the Florida Fraud Resident Agency branch of CID completed a Commander’s Report of Disciplinary Action Form DA 4833 (“CRDA”) with respect to Mr. Code, reflecting that formal administrative action had been ordered in response to the ROI in the form of restitution to the Government in the amount of the alleged loss ($44,200.00). (A.R. 316-21.) 30. On January 24, 2013, Mr. Code formally requested that the Army amend the ROI pursuant to the applicable regulation under the Privacy Act. (A.R. 232-38.) 31. On April 9, 2013, the Army denied Mr. Code’s request. (A.R. 224-25.) 32. On September 26, 2013, Mr. Code petitioned the Army Board for Correction of Military Records (“ABCMR” or “Board”) seeking the same relief. (A.R. 212-23.) 33. On August 12, 2014, the Board denied Mr. Code any relief. (A.R. 199-209.) 34. On January 9, 2015, Plaintiff filed this action under the Administrative Procedures Act (“APA”), asserting that the ABCMR’s 2014 final decision was arbitrary and capricious, an abuse of its discretion, or otherwise not in accordance with law. ECF No. 1, ¶ 2. 35. On October 19, 2015, the Court remanded the case back to the ABCMR to address the specific and substantial deficiencies in its August 2014 decision that were identified in the Complaint. (A.R. 183-93.) 36. On or about May 3, 2016, the Board sought an advisory opinion from the CID asking whether it would pursue the same action against Mr. Code if, among other things: Case 1:15-cv-00031-CKK Document 20-1 Filed 06/19/17 Page 11 of 33 - 8 - (d) he “negligently, instead of criminally, obtained government services to which he was not entitled;” or (e) he “innocently obtained government services to which he was not entitled?” (A.R. 156-58.) 37. On May 26, 2016, the CID responded affirmatively that it would have taken the same action against Mr. Code if he acted negligently or even innocently. (A.R. 156-57.) 38. On January 31, 2017, the ABCMR issued its final decision following remand from the Court, granting Plaintiff partial relief by amending the ROI to replace the charge of “Larceny” with “Obtaining Services under False Pretenses”, but denying all other relief. (A.R. 1-38.) 39. On April 13, 2017, Mr. Code filed his Amended Complaint. ECF No. 17. IV. APPLICABLE LEGAL STANDARD A. Summary Judgment In an action under the Administrative Procedure Act, 5 U.S.C. § 706, the summary judgment standard set forth in Rule 56(a) does not apply because of the court’s limited role in reviewing the administrative record. Albino v. United States, 78 F. Supp. 3d 148, 163 (D.D.C. 2015). Under the APA, the agency’s role is to resolve factual issues to arrive at a decision that is supported by the administrative record, while “the function of the district court is to determine whether or not as a matter of law the evidence in the administrative record permitted the agency to make the decision it did.” Id. (citing Occidental Eng’g Co. v. INS, 753 F.2d 766, 769 (9th Cir.1985)). Summary judgment thus serves as the mechanism for deciding, as a matter of law, whether the agency action is supported by the administrative record and otherwise consistent with the APA standard of review. Id. Case 1:15-cv-00031-CKK Document 20-1 Filed 06/19/17 Page 12 of 33 - 9 - B. APA Standard of Review The APA requires a reviewing court to set aside an agency action that is “arbitrary, capricious, an abuse of discretion, or otherwise not in accordance with law.” 5 U.S.C. § 706(2)(A). Tourus Records, Inc. v. Drug Enforcement Admin., 259 F.3d 731, 736 (D.C.Cir.2001). Specifically, the reviewing court must consider whether the agency’s decision was based on consideration of relevant factors and whether there was a clear error of judgment. Marsh v. Oregon Natural Res. Council, 490 U.S. 360, 378 (1989). This requires that the agency must have considered relevant data and articulated a reasonable explanation establishing a “rational connection between the facts found and the choice made.” Bowen v. Am. Hosp. Ass’n, 476 U.S. 610, 626 (1986). An agency action may be arbitrary or capricious if the agency (1) relied on factors which Congress did not intend it to consider; (2) entirely failed to consider an important aspect of the problem; or (3) offered an explanation for its decision that runs counter to the evidence before the agency or is so implausible that it could not be ascribed to a difference in view or agency expertise. Motor Vehicle Mfrs. Ass’n of U.S. v. State Farm Mut. Auto. Ins. Co., 463 U.S. 29, 43 (1983). C. APA Standard of Review of Decisions of Military Boards of Correction The Court’s review of the decisions of the boards for correction of military records is subject to an “unusually deferential” application of the general APA standard. Kreis v. Sec’y of the Air Force, 866 F.2d 1508, 1514 (D.C.Cir.1989) (Kreis I). Nevertheless, the Board’s action must be supported by “reasoned decisionmaking;” if the “Board’s explanation for its determination lacks any coherence, the court owes no deference to the Board’s purported expertise because [the court] cannot discern it.” Haselwander v. McHugh, 774 F.3d 990, 996 (D.C. Cir. 2014) (internal citations omitted); see also Coburn v. McHugh, 679 F.3d 924, 926 (D.C. Cir. 2012) (finding that because the Board’s decisions were “largely incomprehensible,” Case 1:15-cv-00031-CKK Document 20-1 Filed 06/19/17 Page 13 of 33 - 10 - they were “unworthy of any deference”). However, the “unusually deferential” standard is generally applicable only to decisions implicating “military judgment requiring military expertise,” and does not apply to “nonfrivolous claims of plain legal error involving the Army's failure to comply with statutes, regulations, and mandatory procedures.” Remmie v. Mabus, 898 F. Supp. 2d 108, 118–19 (D.D.C. 2012), citing Kreis v. Sec'y of Air Force, 406 F.3d 684, 686 (D.C.Cir.2005) (Kreis II) and Wilhelmus v. Geren, 796 F.Supp.2d 157, 161–62 (D.D.C.2011). In this case, the Army has determined that the investigation at the heart of this appeal was not a military matter, but rather a DoD investigation conducted by the CID, a Military Criminal Investigation Office (“MCIO”). (A.R. 31 at ¶ 9.) Therefore, the “unusually deferential” standard articulated in Kreis I is not applicable. V. ARGUMENT IN SUPPORT OF MOTION FOR SUMMARY JUDGMENT The Court should grant Mr. Code the relief he requests as a matter of law because the administrative record reveals not only that there was no credible evidence that Mr. Code committed a crime, but that the investigation was conducted in an unfair an improper manner that was designed to support a pre-determined outcome. In upholding the ROI’s conclusion, the Army reached a conclusion that was not supported by the record, and considered factors that were beyond the scope of the relevant inquiry. Independent of that, the Court should cancel the alleged debt and expunge the CRDA because Army’s explanation for its decision is clearly contrary to law and is so implausible that it cannot be ascribed to a difference in opinion or agency expertise. A. The Army Decision To Uphold The ROI Is Arbitrary And Capricious Because There No Credible Evidence That Mr. Code Committed A Crime. In its January 2017 decision denying Mr. Code’s request to amend the ROI and “untitle” him from the report and DCII, the Army concludes there is credible evidence that Mr. Code “did Case 1:15-cv-00031-CKK Document 20-1 Filed 06/19/17 Page 14 of 33 - 11 - know he shortly was to be moved from Puerto Rico” before enrolling his children at the DoD school; specifically, the Army states that Mr. Code was notified orally and/or in writing that his request to extend his tour had been denied. (A.R. 37, ¶ 27.) Further, the Army found “no evidence CID improperly gathered evidence or misapprehended the evidence collected” and “no manifest error…to the way the investigators assessed [Mr. Code’s] culpability.” (A.R. 37, ¶ 26.) These conclusions are contrary to the evidence before the Army, rely on considerations that are irrelevant and improper, and fail to take into account other important factors; accordingly, the decision must be set aside. 1. No Evidence Plaintiff Knowingly Submitted False Information To The DoD School. In determining whether to “untitle” (delete the person’s name from the title block of a report), a request will be granted “if it is determined that there is not probable cause to believe that the individual committed the offense for which he or she is listed as a subject.” 32 C.F.R. § 635.12. 1 The probable cause standard is also applied to determine whether a report is labeled as 1 This DoD regulation is inconsistent with the Army’s regulation, which applies a “credible information” standard: Requests to delete a person’s name from the title block will be granted, if it is determined that credible information did not exist to believe that the individual committed the offense for which titled as a subject at the time the investigation was initiated…. AR195-2, ¶ 4-4(b) (emphasis added), attached as Exhibit 1. When a service regulation conflicts with a DoD regulation, the service regulation must give way. Escobedo v. Green, 602 F.Supp.2d 244, 250 (D.D.C. 2009). The Court should apply the probable cause standard; however, the record fails to meet even the credible information standard. Case 1:15-cv-00031-CKK Document 20-1 Filed 06/19/17 Page 15 of 33 - 12 - “founded” or “unfounded”—i.e., that the alleged crime actually took place. AR 195-2 at 42; 2 AR 190-45 at 136, attached as Exhibit 3. In denying Mr. Code’s request to amend and untitle him from the ROI, the Army concluded that the investigation established probable cause that Mr. Code had committed the crimes of False Official Statement, Uniform Code of Military Justice (“UCMJ”) Art. 107, and Obtaining Services Under False Pretenses, UCMJ Art. 134. See DODI 5505.7 (ECF No. 19-1) at ¶ 6.6.2. Article 107 provides: Any person subject to this chapter who, with intent to deceive, signs any false record, return, regulation, order, or other official document, knowing it to be false…shall be punished as a court- martial may direct. MANUAL FOR COURTS-MARTIAL, UNITED STATES pt. IV, ¶ 31a (2008) [hereinafter MCM]. 3 The elements required to establish the crime are: “(1) That the accused signed a certain official document or made a certain official statement; (2) That the document or statement was false in certain particulars; (3) That the accused knew it to be false at the time of signing it or making it; and (4) That the false document or statement was made with the intent to deceive.” Id., ¶ 31b. The elements required to establish the crime of Obtaining Services Under False Pretenses are: “(1) That the accused wrongfully obtained certain services; (2) That the obtaining was done by using false pretenses; (3) That the accused then knew of the falsity of the pretenses; (4) That the obtaining was with intent to defraud; (5) That the services were of a certain value; 2 In June 2014, this regulation was amended to require that the determination to list an offense as “founded” in a report be made “in conjunction with the appropriate prosecution or legal representative”. See AR 195-2 (June 9, 2014) at 42, attached as Exhibit 2. Mr. Code’s probable cause determination was not made by a trained legal professional, but by an investigator. 3 Referenced excerpts of the MCM are attached as Exhibit 4. Case 1:15-cv-00031-CKK Document 20-1 Filed 06/19/17 Page 16 of 33 - 13 - and (6) That, under the circumstances, the conduct of the accused was to the prejudice of good order and discipline in the armed forces or was of a nature to bring discredit upon the armed forces.” Id., ¶ 78b. “‘Intent to defraud’ means an intent to obtain, through a misrepresentation, an article or thing of value and to apply it to one’s own use and benefit or to the use and benefit of another, either permanently or temporarily.” Id., ¶ 49c(14). Therefore, in order to uphold the ROI, the record must reflect sufficient evidence to support a finding of probable cause that Mr. Code’s enrollment application contained false information, or that he knew his children were not eligible to attend—i.e., that Mr. Code had actual knowledge that his request to extend his tour had been denied and that his forthcoming reassignment would disqualify his children from attending the school. There is simply no such evidence in the record. Indeed, the Board concedes that the evidence at best only suggests Mr. Code “perhaps” acted criminally. (A.R. 36, ¶ 24.) This is a clear admission that the record fails to satisfy the probable cause standard. The relevant factual information provided in the enrollment application concerned Mr. Code’s official orders. Under DODI 1342.26 at ¶ 6.2.2.1, Mr. Code’s children were eligible for a tuition-free education because he was an active duty member of the Navy who was stationed in a territory of the United States and not residing in permanent quarters on the base. (A.R. 259); Statement of Facts (“SOF”), ¶¶ 1-2. On his application, Mr. Code placed an “X” on the line stating “I am on active duty and my current orders expire on July 2008.” SOF ¶ 10. On April 30, 2007, Mr. Code’s official PCS orders were his 2005 orders stationing him at MEPS San Juan through July 2008. SOF ¶ 1; see also DODI 1342.26 at ¶ 6.3.3 (A.R. 260) (“Eligibility under subparagraph 6.2.2.1, above, will be based upon the permanent duty station to which the military sponsor is assigned by official orders.”) (emphasis added). Therefore, the information on the Case 1:15-cv-00031-CKK Document 20-1 Filed 06/19/17 Page 17 of 33 - 14 - application was completely true and accurate; there was no credible information to support a charge of False Official Statement. 4 On remand from the Court, the Board was specifically tasked with reconsidering Mr. Code’s amendment request under DODI 1342.26 (the Board’s August 2014 decision applied the incorrect regulation). (A.R. 189 n.4.) The Board’s January 2017 decision did so, yet reached the same result. Specifically, the Board states “the record indicates the applicant’s duty station was permanently changed from Puerto Rico to Texas prior to his children’s enrollment at the Fort Buchanan school for the SY 2007-2008.” (A.R. 36, ¶ 21 (emphasis added).) That statement is plainly wrong, however, and the Board fails to identify what evidence it relied up to determine that Mr. Code’s official orders, which determined eligibility, changed prior to April 30, 2007. The Board’s misperception and misstatement of the facts was a feature of the CID’s investigation and analysis from the outset. The investigative record includes an AIR dated January 25, 2008, in which a witness incorrectly states that Mr. Code’s 2005 orders were only for 24 months. SOF ¶ 18. That information, however, is not credible because there was no foundation given for the witness’s statement, and it is contradicted by Mr. Code’s official PCS orders. Id. Indeed, there is no indication in the investigative record that the CID investigator ever verified the witness’s statement or otherwise looked at Mr. Code’s 2005 PCS orders; the AIRs indicate only that Mr. Code’s PCS orders dated May 23, 2007 were reviewed. (A.R. 248.) 4 There is also significant doubt that the CID ever considered or could establish the element that application constituted an “official document.” The Court of Appeals for the Armed Forces has interpreted Article 107, UCMJ, as applying only to statement and records affecting military functions, meaning the statements “directly relate to the speaker's official military duties, and statements based on the position of the hearer, when the hearer is either a military member carrying out a military duty or the hearer is a civilian necessarily performing a military function when the statement is made.” United States v. Spicer, 71 M.J. 470, 473–74 (C.A.A.F. 2013), attached as Exhibit 5. The application to the DoD school did not affect any military function, and was not submitted in connection with Mr. Code’s official military duties. Case 1:15-cv-00031-CKK Document 20-1 Filed 06/19/17 Page 18 of 33 - 15 - Nor is there any credible information in the investigative record that establishes Mr. Code knew his request to extend his tour had been denied at the time he submitted the application sufficient to support a charge of false pretenses. The Board’s January 2017 decision asserts the record is “replete with evidence that the applicant did know he shortly was to be moved from Puerto Rico;” however, none of the evidence cited by the Board supports its conclusion. The Board cites a witness interview with the Navy assignments officer as establishing Mr. Code’s knowledge that he would be changing duty stations “well in advance” of enrolling his children. There is no dispute that Mr. Code was advised in early March 2007 that he would be receiving new PCS orders in the Summer of 2007. SOF ¶ 4. However, there is no evidence establishing either that Mr. Code’s transfer was certain, or that he had any knowledge of that fact; on April 30, 2007, when Mr. Code was directed to re-enroll his children for the forthcoming school year, Mr. Code reasonably believed his extension request would be granted. 5 Id. ¶¶ 5-9. The Board also states that there was evidence that Mr. Code “was notified orally and/or in writing by a Navy assignments officer that his request to extend his duty tour in Puerto Rico had been denied.” This, too, is wrong. The letter denying Mr. Code’s request is dated April 26, 2007; however, there is no evidence that it reached Mr. Code prior to April 30, 2007, the date he submitted the application. Indeed, the fax header on the letter, which was provided to Mr. Code in response to his 2010 request for documents supporting the debt, shows that it was transmitted on May 8, 2007, over a week after Mr. Code submitted the enrollment application. SOF ¶ 14. 6 5 The Board incorrectly states that Mr. Code made “many requests” to extend his tour; the record shows that Mr. Code made only one request, but that his commanding officer also submitted a request, which was supported by the other members of the MEPS San Juan command. (A.R. 269-72.) 6 This fact also suggests that the letter did not actually go out on April 26, 2007 as implied. The AIR of the Navy personnel witness stated that the letter was scanned and faxed “at the time the letter was signed out.” (A.R. 284.) Case 1:15-cv-00031-CKK Document 20-1 Filed 06/19/17 Page 19 of 33 - 16 - There is also no evidence that Mr. was orally advised of the denial before April 30, 2007. The Board relies on an AIR dated July 30, 2009—more than two years after the incident—in which a witness states that she personally told Mr. Code about the denial “no more than a few days after the date on the letter.” SOF ¶ 23. That statement does not credibly establish that the conversation occurred prior to April 30, 2007, and the investigator made no attempt to ask the witness that question directly. (A.R. 284-85.) That omission is significant, given that the AIR concedes the materiality of the issue, noting “[t]he reason for the question was due to the closeness on the dates of the false statement (30 Apr 07) and the date of the letter of denial of extension (26 Apr 07).” Therefore, there is simply no evidence to support the finding that Mr. Code enrolled his children under false pretenses. In addition, the investigative record lacks any evidence whatsoever that Mr. Code failed to notify the DoD school once his new PCS orders were issued, which is a material omission. Specifically, DODI 1342.26, which prescribes the eligibility requirements and procedures for enrollment at the school, does not include any provision requiring a sponsor to notify the school or dis-enroll his or her children in the event of a status change. Paragraph 6.3.7, which is the only provision that mentions a status change, states: If the status of the sponsor of a currently enrolled student changes to that the child would no longer be eligible for enrollment in a DDESS arrangement, enrollment may continue for the remainder of the school year. (A.R. 261.) As an initial matter, this provision is ambiguous. The phrase “remainder of the school year” can be reasonably interpreted to mean “remainder of the current school year” or “remainder of the enrolled school year.” This ambiguity is latent in that it would not necessarily manifest if enrollment coincided with the start of the school year; however, in Mr. Code’s case, the DoD school conducted enrollment months in advance of the start of the school year. The Case 1:15-cv-00031-CKK Document 20-1 Filed 06/19/17 Page 20 of 33 - 17 - ambiguity further undercuts the Army’s argument that Mr. Code knew or reasonably should have known that his May 2007 PCS orders disqualified his children from attending the school. (A.R. 37-38.) More importantly, neither the regulation nor the application form states any obligation of a sponsor to dis-enroll their children. The only direction regarding the obligation of the sponsor when there is a change in status appears in the application itself, and only requires the sponsor to notify the Registrar if there is the official PCS orders change or terminate before the start of the school year. SOF ¶ 12. Mr. Code did not see that portion of the application and failed to sign it; however, that failure was irrelevant since his declaration establishes that he did immediately notify the Registrar when he received his new orders. Id. ¶¶ 12, 16. In light of this, the failure of the CID investigator to ever inquire or investigate whether Mr. Code notified the Registrar is material. Without such evidence, there is no credible information to support the element that Mr. Code acted with intent to defraud the government. The Board addressed this evidentiary shortcoming in its original August 2014 decision; however, the Board conveniently rejected Mr. Code’s sworn declaration that he notified the Registrar upon receipt of his new orders because he failed to provide corroborating evidence, such as a statement from the Registrar. (A.R. 207.) The Board based its conclusion that Mr. Code had not notified the Registrar entirely on the presumption of administrative regularity, stating that in absence of evidence to the contrary, it must assume that the Registrar followed the applicable policy. 32 C.F.R. § 581.3(e)(2); (A.R. 208-09.) The Board’s reliance on the presumption of administrative regularity in this manner is wholly improper. The presumption attaches to procedural review of the actions of the CID in conducting its investigation; however, it cannot be used to fill in the gaps of an otherwise Case 1:15-cv-00031-CKK Document 20-1 Filed 06/19/17 Page 21 of 33 - 18 - deficient investigation to supply evidence of a requisite element of a criminal charge. In this case, the CID and the Board assumed the existence of a requisite element of a crime (e.g., Mr. Code’s intent to defraud), placed the burden on Mr. Code to produce evidence that it did not exist, and when he produced such evidence, determined it was insufficient. In any event, the Board’s analysis ignored that the Registrar accepted an enrollment application from Mr. Code that was apparently incomplete because he had failed to sign the line acknowledging his requirement to notify the school if his orders changed or terminated. (A.R. 274.) Given that the application form is the only document establishing any obligation that Mr. Code notify the Registrar in the event of a status change, her acceptance of the application without his acknowledgement of that obligation would clearly be a departure from applicable policy and procedures. For these reasons, the investigative record does not present any credible information that Mr. Code committed a crime, and certainly fails to support a finding of probable cause. 2. The Army Relied On Factors That Were Irrelevant And Improper, And Failed To Consider Evidence Of The Shortcomings Of The Investigation. Not only does the record not support the Board’s conclusions regarding the sufficiency of the evidence, but it reveals that the Board relied on and considered factors that were improper and irrelevant, and failed to acknowledge the problems in how the investigation was conducted. On remand from the Court, the Board sought an advisory opinion from the CID as to whether it would have founded the ROI if it determined Mr. Code acted negligently or innocently. SOF ¶ 35. These queries have no relationship to the question before the Board, whether there was credible information or probable cause that a crime had been committed, and reveal the Board’s fundamental misapprehension of the scope of its inquiry. Worse, the Board completely failed to address the CID’s admission that it would have founded the ROI even if it Case 1:15-cv-00031-CKK Document 20-1 Filed 06/19/17 Page 22 of 33 - 19 - determined Mr. Code had acted innocently. That admission reveals that the CID completely disregarded required elements of the criminal charges it was investigating; namely, that Mr. Code must have been acting with a specific intent to deceive and defraud. 7 (A.R. 156-57.) In addition, the CID’s advisory opinion continued the falsehood that DFAS was the agency responsible for determining that Mr. Code owed a debt. (A.R. 156.) DFAS has consistently denied any responsibility or participation in the determination that Mr. Code was liable for the alleged debt. (A.R. 87, 289.) More significantly, the Board completely disregarded the inherently prejudicial manner in which the CID investigator conducted critical interviews with key witnesses. For example, in the interview with the school Registrar, the investigator did not inquire as to whether the witness had any recollection of the facts and circumstances attending Mr. Code’s enrollment. Rather, the investigator “presented the scenario involving [Mr. Code]” and procured the Registrar’s opinion that Mr. Code’s children could not attend the school. (A.R. 247.) The AIR provides no information into the substance of the “scenario” that was presented to the Registrar, but given that the investigator concluded that Mr. Code “falsified” the documentation he submitted, that scenario was per se inaccurate. (A.R. 242.) Similarly, the CID investigator’s interview with the Assistant General Counsel for the DoDEA reveals that he incorrectly informed the witness that Mr. Code “falsely stated” the expiration date of his orders on his application, in order to solicit the opinion that Mr. Code’s children were therefore not eligible to enroll. (A.R. 256.) These facts reveal that the CID’s investigation of Mr. Code was materially deficient and fundamentally unfair. The CID did not believe it was required to find evidence that Mr. Code acted with an intent to deceive or defraud, and therefore failed to conduct any investigation of 7 The CID’s advisory opinion also continues to adhere to the demonstrably false belief that the date Mr. Code provided on the enrollment application was incorrect. Case 1:15-cv-00031-CKK Document 20-1 Filed 06/19/17 Page 23 of 33 - 20 - those elements. Instead, the CID relied on clearly incorrect information concerning Mr. Code’s orders without actually reviewing those orders, and then presented that inaccurate information to other witnesses to determine that Mr. Code’s children were not eligible to enroll. For these reasons, the Court should order the Board to amend the ROI to be unfounded, to untitle Mr. Code, and remove his name from the DCII. B. The Army’s Finding That The Referral Of The ROI To DFAS Was Exempt From The Privacy Act Is Contrary To Law. The Board’s January 2017 decision concluded that Mr. Code failed to demonstrate by a preponderance of the evidence that CID’s referral of the ROI to DFAS violated the Privacy Act. (A.R. 34-35, ¶ 18.) The Board further found that the amount of the alleged loss of the government was properly determined. (A.R. 36, ¶¶ 22-24.) Accordingly, the Board upheld the debt. This conclusion is not supported by the evidence on the record and otherwise contrary to law. 1. The CID’s Referral Of The ROI To DFAS Violated The Privacy Act. In response to the Court’s order that the Board review the referral of the ROI to DFAS, the Army has struggled to identify a clear source of authority that would except its conduct from the general rule prohibiting disclosure of ROIs without consent. The Army initially attempts to suggest that DFAS was part of the investigation, and therefore had a legitimate “need-to-know” the information; however, the record does not support any inference that DFAS participated in the investigation. The Army then falls back on an argument that the referral falls into either the “routine use” or “need-to-know” exceptions. The Army fails to identify any “routine use” exception, and therefore its explanation is inadequate. With regard to the “need-to-know” exception, the authorities offered by the Army—DODI 5505.2 and an internal memorandum— fails to establish that DFAS had an ongoing need to review Mr. Code’s ROI. Case 1:15-cv-00031-CKK Document 20-1 Filed 06/19/17 Page 24 of 33 - 21 - The Board initially discussed the CID’s contention that the referral of the ROI to DFAS was part of the investigation itself. CID bristled at the very notion that it needed to identify some authority for its referral of the ROI, claiming the question had an “inappropriate basis.” (A.R. 111.) The CID asserted hypothetically that the referral to DFAS was to determine whether Mr. Code was having tuition payments regularly deducted from his pay. (A.R. 30, ¶ 2.) Not only is there no evidence in the record to support any notion that DFAS was enlisted in the investigation or asked whether Mr. Code was having tuition payments deducted, the DoDEA does not accept tuition payments from individuals. 8 The record clearly shows that the CID disclosed the ROI to DFAS for the sole purpose of collecting the debt. (A.R. 242.) Therefore, the question before the Court is whether that disclosure was permitted under an exception to the Privacy Act. The Privacy Act, 5 U.S.C. § 552a, as implemented through AR 340-21 (Exhibit 6), governs the maintenance and release of investigative records, files and reports by the CID. AR 195-2, para. 4-1. In the simplest terms, the Privacy Act and its implementing regulations creates a presumption against disclosure, even within the DoD, subject to limited and specific exceptions. 5 U.S.C. § 552a(b) (“No agency shall disclose any record which is contained in a system of records by any means of communication to any person… except” as specifically prescribed); see also AR 340-21, para. 3-1a; accord 32 C.F.R. § 505.7(b). “Access to USACIDC reports will be limited to those individuals whose official duties require them to have access to such reports and should be restricted to the minimum number of persons necessary.” AR 195-2, para. 4-2e(2) “Release is authorized when it conforms with this regulation…AR 340–21, and policy on external agency information, as applicable.” Id., para. 4-3b. 8 http://www.dodea.edu/Americas/aboutAm/amEligibility.cfm (last checked on June 19, 2017) (“DoDEA Americas schools are not authorized to accept tuition payments from individuals.”). DoDEA accepts tuition only from civilian employees of non-DoD federal agencies. Case 1:15-cv-00031-CKK Document 20-1 Filed 06/19/17 Page 25 of 33 - 22 - The Board then considered the CID’s argument that DODI 5505.2 (ECF No. 19-2) authorized the disclosure to DFAS. (A.R. 30.) However, DODI 5505.2 only prescribes the investigative responsibility and procedures of the CID, it does not establish any basis for disclosure of the ROI to DFAS that would be within either the “routine use” or “need-to-know” exceptions to the Privacy Act. This was apparent to the Board in April 2016. A legal advisor for the Board drafted a memorandum in which he identified that the Board needed to address the propriety of the referral of the ROI to DFAS. (A.R. 92.) The memorandum then addresses DODI 5505.2, which was previously identified by the CID as authorizing the referral. (A.R. 194.) The memorandum, the Board’s legal advisor states “my perusal of the DODI does not disclose the authority [CID] claims.” (A.R. 92, ¶ 1a.) The Board notes that Paragraph 4.4 9 of DODI 5505.2 provides that fraud investigations conducted by MCIOs “are undertaken for the primary purpose of furthering a function of the Department of Defense,” and that one such area the CID is authorized to investigate is allegations of fraud involving DFAS “where they pertain to the DFAS providing services for a… Pay and allowance or travel fraud by a civilian employee or Service member in a Military Department.” DODI 5505.2, ¶ E3.2.2.6 (emphasis added). Based on this reasoning, the Board concluded that the CID was acting in furtherance of a DoD function relating to fraud investigations concerning “pay and allowance,” thereby establishing an ongoing requirement for DFAS to be informed about such investigations. (A.R. 32, ¶ 10.) Because it was acting in furtherance of a DoD function, the Board stated that there are “multiple bases” upon which to conclude that no Privacy Act violation occurred, none of which are identified in any meaningful way. (A.R. 32.) 9 The Board erroneously cited to Paragraph E.2.1.2 in its decision. Case 1:15-cv-00031-CKK Document 20-1 Filed 06/19/17 Page 26 of 33 - 23 - The Board’s conclusion is flawed, however, because it relies on the clearly incorrect theory that the allegation of fraud against Mr. Code involved DFAS’s provision of services related to pay and allowance. They did not; Mr. Code was alleged to have obtained a tuition-free education by fraudulently stating the expiration date of his active PCS orders. (A.R. 242.) There is no allegation whatsoever that Mr. Code’s alleged conduct implicated DFAS. Indeed the first and only mention of DFAS’s putative involvement in the investigation is an August 31, 2016 email in response to the Board’s April 2016 legal memorandum. (A.R. 90.) In the email, the Group Judge Advocate posits that, hypothetically, Code may not have broken the law “if there had been an exception to the policy [DODI 1342.26] and DFAS was collecting the value of that benefit from [Mr. Code].” (Id.) Notwithstanding the fact that there is no exception to DODI 1342.26 that permits an individual to pay tuition to the DoD school (A.R. 257-63), the investigation, which had concluded 5 years prior, provided no support whatsoever for the notion that the CID inquired whether Mr. Code was paying tuition through DFAS. The Army’s factual basis for DFAS’s “need-to-know” was entirely a post-hoc fabrication, concocted out of whole cloth for the sole purpose of justifying its unlawful disclosure of an otherwise protected record. Cf. Remmie, 898 F.Supp.2d at 120 (post-hoc rationalizations cannot support agency action). The Board reliance on DODI 5505.2 is entirely misplaced; it fails to establish that DFAS had any need to know the information contained in the ROI. To the extent the Board claims there are “multiple bases” to permit the disclosure, it fails to adequately identify them. The Board concedes that the regulations implementing the DoD Privacy Act Program permit disclosure of CID ROIs within the DoD only where the requestor has a need to know the information in the performance of their duties. DoD 5400.11-R (Exhibit 7); (A.R. 32, ¶ 11.) In what can only be described as circular pretzel logic, the Board argues that Case 1:15-cv-00031-CKK Document 20-1 Filed 06/19/17 Page 27 of 33 - 24 - notwithstanding the clear language of that regulation, the CID was authorized to sua sponte determine that DFAS needed the ROI, which decision was ratified by the fact that DFAS accepted the ROI for collection. For the reasons stated supra, however, DFAS had no “need-to- know” the information because their provision of pay and allowance services was not implicated in any way. The fact that DFAS attempted to collect the debt cannot justify the CID’s disclosure. The Board’s reliance on the Memorandum of Agreement Between DFAS and CID dated April 2004 (“MOA”) is likewise misplaced. (A.R. 58-63.) First, the MOA expressly applies only to “Army personnel.” The Board dismisses this problem by again relying on DODI 5505.2 to wrongly assert that all investigations involving allegations of fraud are DoD functions, and not limited to a particular service. However, as discussed above, that is true only for fraud allegations involving DFAS, which Mr. Code’s scenario does not. Without the jurisdictional nexus that the allegations involve DFAS’s provision of services, there is no “need-to-know” established for DFAS with respect to the ROI. The Army also contends the MOA provides DFAS with a standing and on-going “need to know” regarding any CID investigation involving fraud, independently of DODI 5505.2. (A.R. 28.) That, too, is incorrect. The scope of the MOA is limited to CID investigations relating to “fraud and larceny of government-appropriated funds,” and is therefore inapplicable to this case. (A.R. 59.) The Board asserted that the phrase “government-appropriated funds” only applies to larceny, but that interpretation is not supported by the language of the document, or the incorporated references. (A.R. 33, ¶ 15.) Specifically, the MOA provides as its concept of operations that the investigation would be initiated by DFAS “[i]f the Field Finance Office suspects and account of fraud.” (A.R. 60, ¶ Case 1:15-cv-00031-CKK Document 20-1 Filed 06/19/17 Page 28 of 33 - 25 - 4.) Thus, far from being independent of DODI 5505.2, the MOA is entirely consistent with its policy that the allegations of fraud must “involve [DFAS] where they pertain to the DFAS providing services….” ECF No. 19-2 at 10. As argued above, DODI 5505.2 describes the authority of the CID to investigate those matters, but does not prescribe procedures governing the disclosure of the investigative files. The MOA was clearly intended to fill that gap. It was not intended to authorize the CID to refer to DFAS for collection ROIs involving allegations of fraud that did not implicate DFAS. This conclusion is further supported by the authority for implementing the MOA derives from the Department of Defense Financial Management Regulation (“FMR”), Volume 7A, Chapter 50, which governs Stoppages and Collections Other Than Courts-Martial Forfeitures. A copy of the FMR is attached as Exhibit 8. The FMR describes where collection may be initiated for debts involuntarily and without the military member’s consent. FMR, Vol. 7A, Ch. 50, ¶ 500102. The FMR lists the types of debt that may be collected involuntarily on Tables 50-1 through 50-5. Id. ¶500102.A(2). None of the types of debt identified in the tables listed in the FMR describe the type of debt Mr. Code is alleged to have incurred, which resulted from his alleged receipt of services under false pretenses. Such debts may only be collected involuntarily where the member has admitted the liability, Table 50-2 at Rule 5, or there is a court judgment, Table 50-4 at Rule 6. In this case, there never was a proper administrative or adjudicative determination that Mr. Code was liable for any debt. The Army Privacy Act Program expressly contemplates that the routine distribution of completed ROIs external to the CID “will be through the next higher field grade commander to the commander responsible for initiation of disciplinary or corrective action.” AR 340-21, ¶ 4-3(c)(1) (emphasis added). This policy is entirely consistent with Case 1:15-cv-00031-CKK Document 20-1 Filed 06/19/17 Page 29 of 33 - 26 - regulations governing the authority to initiate disciplinary or corrective action in connection with a criminal charge. See also MCM, pt. II, R.C.M. 306(a) (“Ordinarily the immediate commander of a person accused or suspected of committing an offense triable by court-martial initially determines how to dispose of that offense.”), 401(a) (“Only persons authorized to convene courts-martial or to administer nonjudicial punishment under Article 15 may dispose of charges.). One such method for the disposition of charges is through administrative action. Id. R.C.M. 306(c). In this case, however, the administrative action was taken by an agent of the CID who was not Mr. Code’s commanding officer and as discussed infra, lacked authority to order restitution. In summary, the Board’s cited authority does not establish that DFAS had any legitimate “need-to-know” the contents of Mr. Code’s ROI in order to perform its official duties; therefore, it does not qualify under any exception to the Privacy Act’s “no disclosure without consent” rule. Nor has the Board adequately identified any “routine use” exception that is applicable in this case. Accordingly, the Army has failed to articulate a reasonable explanation for its decision finding that the referral of the ROI to DFAS was authorized, and the decision must be set aside. 2. The Board’s Decision To Uphold The Amount Of The Loss Is Not Supported By The Record. The Board also upheld the ROI’s conclusion that the “loss to the government” resulting from Mr. Code’s alleged misconduct was $44,200, which was calculated based on the tuition rates the DoDEA charges to non-DoD federal agencies, where applicable. Despite the fact that the DoDEA’s policy expressly states that it is not authorized to accept tuition payments from individuals, the Board concluded that Mr. Code provided insufficient information to apply any other valuation for the alleged loss. It is unclear what information Mr. Code could provide in this instance. The argument is a Case 1:15-cv-00031-CKK Document 20-1 Filed 06/19/17 Page 30 of 33 - 27 - purely legal one. In sentencing a defendant for fraud the district court must make a “reasonable estimate” of the victim's “loss.” United States v. Bae, 250 F.3d 774, 775 (D.C. Cir. 2001). The Board concluded that the fair market value of the educational services in this instance was reasonable; however, there is no market for the educational services at issue, and no basis to conclude that the government would have received fair market value for the services under any set of circumstances. The Board conceded that there was no evidence to support any notion that Mr. Code’s children took slots away from 3 other children, whether tuition-paying or not. (A.R. 37, ¶ 25.) Nor is there any evidence to suggest that, as a result of Mr. Code’s enrollment, the DoD school required a greater appropriation. To the extent there is any “loss” to the government, it can only be reasonably articulated in the marginal cost of educating 3 children it otherwise would not have. Most if not all of that cost is fixed. To conclude otherwise would give a windfall to the government. C. The Army’s Explanation For Its Decision Denying Expungement Of The CRDA Is Implausible And Cannot Be Ascribed To Agency Expertise. Other than reciting its prior decision denying Mr. Code’s request to expunge the CDRA, the Board’s January 2017 decision does not address the issue. (A.R. 14.) The August 2014 decision conceded that the applicable regulation requires that a CDRA be completed by the commanding officer of the member; CID agents are not authorized to complete CDRAs or order administrative action. (A.R. 208.) The Board nevertheless posited that without Mr. Code’s personnel record or a statement from Mr. Code’s commander denying that this information was provided to the agent, it could not determine whether it was an error or injustice. This is plainly wrong. The Board’s admission that the completion of the CDRA by the CID agent was contrary to applicable regulation establishes that Mr. Code presented sufficient evidence to overcome the Case 1:15-cv-00031-CKK Document 20-1 Filed 06/19/17 Page 31 of 33 - 28 - presumption of administrative regularity. However, the Board improperly concluded that was insufficient, and that Mr. Code must also present evidence that excludes any other explanation for the irregularity, regardless of whether that explanation is reasonable or permissible. That is a bridge too far. There is no regulation that permits a commanding officer to delegate his duty to complete a CDRA to a CID agent, nor any indication in the investigative file that any such delegation occurred. Mr. Code should not be required to produce evidence that excludes otherwise impermissible activities in order to obtain relief. He has clearly carried his burden to prove by a preponderance of the evidence that the CDRA completed by the CID agent without authority sufficient to overcome the presumption of administrative regularity. VI. ARGUMENT IN OPPOSITION TO DEFENDANT’S MOTION FOR SUMMARY JUDGMENT Mr. Code has adequately addressed most of the arguments raised by Defendant in support of his motion for summary judgment, and will not belabor those points with needless repetition here. However, Mr. Code will briefly address a few points that were not specifically addressed above. A. Mr. Code Was Clearly Harmed By The CID Agent’s Unauthorized Completion Of The CDRA. The Army argues that Mr. Code failed to demonstrate how he was harmed by the unauthorized CDRA, and does not state that the information contained in the CRDA is incorrect. This argument completely disregards the both the allegations of the Amended Complaint and the evidence in the administrative record. It also offends commons sense. The Amended Complaint expressly states how he was harmed by the unlawful CDRA: Case 1:15-cv-00031-CKK Document 20-1 Filed 06/19/17 Page 32 of 33 - 29 - The existence of the CRDA was first discovered by Plaintiff 2 years later when Plaintiff was withheld from promotion to Lieutenant Commander in the IRR in Fiscal Year 2013. Plaintiff was advised by the Promotion Selection Board that, in addition to the ROI, the CRDA was considered potentially adverse information that affected his qualification for promotion. ECF No. 17, ¶ 57. The evidence of this withheld promotion is also in the administrative record. (A.R. 322-25.) Therefore, clearly Mr. Code has identified how he has been harmed by the CDRA. Further, while Mr. Code may not have expressly challenged the content of the CDRA, he has asserted and demonstrated that the conclusions of the underlying ROI are clearly wrong. Further, by challenging the CID agent’s authority to complete the CDRA, Mr. Code necessarily challenges the validity of the administrative action it purports to represent. The Board has conceded that invalidity, and its refusal to take corrective action therefore arbitrary and capricious. Respectfully submitted, Christopher J. Code By: /s/ Andrew K. Wible Andrew K. Wible, D.C. Bar No. 988391 awible@cohenmohr.com William F. Savarino, D.C. Bar No. 386706 bsavarino@cohenmohr.com COHEN MOHR LLP 1055 Thomas Jefferson Street, N.W. Suite 504 Washington, D.C. 20007 (202) 342-2550 (202) 342-6147 – fax Attorneys for Christopher J. Code Case 1:15-cv-00031-CKK Document 20-1 Filed 06/19/17 Page 33 of 33 Exhibit 1 Case 1:15-cv-00031-CKK Document 20-2 Filed 06/19/17 Page 1 of 51 Army Regulation 195–2 Criminal Investigation Criminal Investigation Activities Headquarters Department of the Army Washington, DC 15 May 2009 Rapid Action Revision (RAR) Issue Date: 6 September 2011 UNCLASSIFIED Case 1:15-cv-00031-CKK Document 20-2 Filed 06/19/17 Page 2 of 51 SUMMARY of CHANGE AR 195–2 Criminal Investigation Activities This rapid action revision, dated 6 September 2011-- o Implements the Don’t Ask, Don’t Tell Repeal Act of 2010 by deleting all references to investigations into a Soldier’s sexual preference or orientation (para 3-3a(8) and table B-1). o Makes administrative changes (app A: corrected titles of AR 40-63 and DD Form 1056; glossary: deleted unused acronyms and corrected titles/abbreviations as prescribed by Army Records Management and Declassification Agency). Case 1:15-cv-00031-CKK Document 20-2 Filed 06/19/17 Page 3 of 51 Headquarters Department of the Army Washington, DC 15 May 2009 Criminal Investigation Criminal Investigation Activities *Army Regulation 195–2 Effective 15 June 2009 History. This publication is a rapid action revision (RAR). This RAR is effective 20 September 2011. The portions affected by t h i s R A R a r e l i s t e d i n t h e s u m m a r y o f change. Summary. This publication is a consoli- dation of AR 195–1 and AR 195–7. It establishes policies on criminal investiga- t i o n a c t i v i t i e s , i n c l u d i n g t h e u t i l i z a t i o n , control, and investigative responsibilities o f a l l p e r s o n n e l a s s i g n e d t o t h e U . S . A r m y C r i m i n a l I n v e s t i g a t i o n C o m m a n d elements. It also delineates responsibility and authority between Military Police and t h e U . S . A r m y C r i m i n a l I n v e s t i g a t i o n Command. Applicability. This regulation applies to t h e A c t i v e A r m y , t h e A r m y N a t i o n a l Guard/Army National Guard of the United States, and the U.S. Army Reserve, unless o t h e r w i s e s t a t e d . I t a l s o a p p l i e s t o t h e Army National Guard when in active Fed- eral service, as prescribed in Section 802, Title 10, United States Code. Proponent and exception authority. The proponent of this regulation is the Provost Marshal General. The proponent has the authority to approve exceptions to t h i s r e g u l a t i o n t h a t a r e c o n s i s t e n t w i t h controlling law and regulations. The pro- ponent may delegate this approval author- ity, in writing, to a division chief within the proponent agency or its direct report- ing unit or field operating agency, in the grade of colonel or the civilian equivalent. Activities may request a waiver to this regulation by providing justification that includes a full analysis of the expected benefits and must include formal review by the activity’s senior legal officer. All waiver requests will be endorsed by the commander or senior leader of the requ- e s t i n g a c t i v i t y a n d f o r w a r d e d t h r o u g h t h e i r h i g h e r h e a d q u a r t e r s t o t h e p o l i c y proponent. Refer to AR 25–30 for specific guidance. Army management control process. This regulation contains management con- t r o l p r o v i s i o n s i n a c c o r d a n c e w i t h A R 11–2, but does not identify key manage- ment controls that must be evaluated. S u p p l e m e n t a t i o n . S u p p l e m e n t a t i o n o f this regulation and establishment of com- mand and local forms are prohibited with- o u t p r i o r a p p r o v a l f r o m t h e P r o v o s t M a r s h a l G e n e r a l ( D A P M – O P S ) , 2 8 0 0 A r m y P e n t a g o n , W a s h i n g t o n , D C 20310–2800. Suggested improvements. Users are invited to send comments and suggested improvements on DA Form 2028 (Recom- m e n d e d C h a n g e s t o P u b l i c a t i o n s a n d Blank Forms) directly to the U.S. Army C r i m i n a l I n v e s t i g a t i o n C o m m a n d (CIIM–ZA), 6010 6th Street, Fort Belvoir, VA 22060–5506. Distribution. This publication is availa- ble in electronic media only and is in- t e n d e d f o r c o m m a n d l e v e l s A f o r t h e Active Army and the U.S. Army Reserve and D for the Army National Guard of the United States. Contents (Listed by paragraph and page number) Chapter 1 General, page 1 Purpose • 1–1, page 1 References • 1–2, page 1 Explanation of abbreviations and terms • 1–3, page 1 Responsibilities • 1–4, page 1 Objectives • 1–5, page 2 Policies • 1–6, page 2 Investigative policies • 1–7, page 2 *This regulation supersedes AR 195–1, dated 12 August 1974; AR 195–2, dated 30 October 1985; and AR 195–7, dated 25 April 1986. This edition publishes a rapid action revision of AR 195–2. AR 195–2 • 15 May 2009/RAR 6 September 2011 i UNCLASSIFIED Case 1:15-cv-00031-CKK Document 20-2 Filed 06/19/17 Page 4 of 51 Contents—Continued Chapter 2 U.S. Army Criminal Investigation Command organization, page 4 General • 2–1, page 4 U.S. Army Criminal Investigation Command support to the Army in the field • 2–2, page 5 Chapter 3 Criminal Investigation Activities, page 5 Section I General, page 5 Investigative authority of the Army • 3–1, page 5 U.S. Army Criminal Investigation Command investigative responsibility • 3–2, page 5 Investigative responsibility of the U.S. Army Criminal Investigation Command and military police • 3–3, page 6 Assumption of investigative responsibility by the U.S. Army Criminal Investigation Command • 3–4, page 8 Agreements between the U.S. Army Criminal Investigation Command and installation law enforcement activities • 3–5, page 8 Referral of investigations • 3–6, page 8 Army Substance Abuse Program • 3–7, page 8 Immigration Customs Enforcement and postal matters • 3–8, page 8 Section II Crime Prevention Surveys, Protective Services, and Procurement Fraud Program, page 9 Crime prevention surveys • 3–9, page 9 Protective services • 3–10, page 9 Procurement Fraud Program • 3–11, page 9 Section III Operational Considerations, page 9 Freedom of movement • 3–12, page 9 Crime scenes • 3–13, page 9 Coordination • 3–14, page 9 Access to Army facilities and records • 3–15, page 10 Security clearances and background investigations • 3–16, page 10 U.S. Army Criminal Investigation Command use of the National Crime Information Center • 3–17, page 10 Warning of rights • 3–18, page 10 Section IV U.S. Army Criminal Investigations Command Special Agents, page 11 General • 3–19, page 11 Utilization • 3–20, page 11 Authority to apprehend or detain • 3–21, page 11 Authority to search and seize • 3–22, page 12 Authority to administer oaths • 3–23, page 12 Firearms • 3–24, page 12 Civilian clothing • 3–25, page 12 Billets and messes • 3–26, page 12 Disclosure of rank or grade • 3–27, page 12 Retention and use of investigative property • 3–28, page 13 Standards of conduct • 3–29, page 13 Section V U.S. Army Criminal Investigation Command Drug Suppression Operations in Foreign Countries, page 13 Purpose • 3–30, page 13 Definitions • 3–31, page 13 Policy considerations • 3–32, page 13 ii AR 195–2 • 15 May 2009 Case 1:15-cv-00031-CKK Document 20-2 Filed 06/19/17 Page 5 of 51 Contents—Continued Approvals and coordination • 3–33, page 14 Section VI U.S. Army Criminal Investigation Command support to the Army and Air Force Exchange System, page 14 Purpose • 3–34, page 14 Air Force Office of Special Investigations • 3–35, page 14 Air Force Office of Special Investigations responsibilities • 3–36, page 15 Army law enforcement responsibilities • 3–37, page 15 General guidelines on types of crimes • 3–38, page 15 Chapter 4 Investigative Records, Files, and Reports, page 16 Policy • 4–1, page 16 Preparation and maintenance • 4–2, page 16 Release and use of information • 4–3, page 16 Individual requests for access to, or amendment of, U.S. Army Criminal Investigations Command reports of investigations • 4–4, page 18 Chapter 5 U.S. Army Crime Records Center, U.S. Army Criminal Investigations Command, page 18 General • 5–1, page 18 Functions • 5–2, page 19 Routine investigative name checks • 5–3, page 19 Immediate name checks • 5–4, page 19 Requesting U.S. Army Crimes Records Center files and reports • 5–5, page 20 Use of information contained in U.S. Army Criminal Investigations Command and military police reports • 5–6, page 20 Chapter 6 U.S. Army Criminal Investigation Laboratory, page 20 General • 6–1, page 20 Responsibilities • 6–2, page 20 Request for examination • 6–3, page 20 Court appearance • 6–4, page 21 On scene assistance • 6–5, page 21 Appendixes A. References, page 22 B. Offense Investigative Responsibility, page 27 C. Preparation of the DA Form 2804, Crime Records Data Reference, page 30 D. Telephone Name Check Format, page 34 E. Sensitive Items, page 36 Table List Table B–1: Offense investigative responsibility, page 27 Table C–1: Race Code, page 31 Table C–2: Ethnic Group, page 32 Table C–3: Ethnic and Race Combinations, page 33 Glossary iiiAR 195–2 • 15 May 2009 Case 1:15-cv-00031-CKK Document 20-2 Filed 06/19/17 Page 6 of 51 Case 1:15-cv-00031-CKK Document 20-2 Filed 06/19/17 Page 7 of 51 Chapter 1 General 1–1. Purpose a. This regulation prescribes responsibilities, mission, objectives, and policies pertaining to the Army Criminal Investigation Program. b. This regulation prescribes Department of the Army (DA) policy on criminal investigation activities, including the utilization, control, investigative authority, and responsibilities of all personnel assigned to elements of the U.S. Army Criminal Investigation Command (USACIDC). c. This regulation constitutes the basic authority for the conduct of criminal investigations, crime prevention surveys, protective service missions, force protection and antiterrorism efforts; computer crimes, procurement fraud, and the collection, retention, and dissemination of criminal information. d. This regulation delineates responsibility and authority between the installation law enforcement activity (Military Police (MP), DA civilian police, DOD civilian police and the USACIDC. 1–2. References Required and related publications and prescribed and referenced forms are listed in appendix A. 1–3. Explanation of abbreviations and terms Abbreviations and special terms used in this regulation are explained in the glossary. 1–4. Responsibilities a. The Commanding General (CG), USACIDC, will exercise command authority, direction, and control of Army criminal investigative activities worldwide. The CG, USACIDC, will— (1) Establish policies for the release of information from, and the amendment of, criminal investigation records and reports of investigations (ROIs). (2) Evaluate Army law enforcement polygraph program activities and provide membership on DOD polygraph committees. (3) Maintain overall responsibility for Army investigations of offenses involving “controlled substances” as defined in Section 812, Title 21, United States Code (21 USC 812). (4) Plan for and provide USACIDC support for each contingency plan maintained by HQDA and its subordinate commands. Plans for criminal investigative support will be coordinated with the commander responsible for the overall contingency plan. b. The Commanding General, U.S. Army Training and Doctrine Command (TRADOC) will oversee the formal training of USACIDC personnel at TRADOC schools as necessary to meet the requirements of USACIDC. c. Commanders of Army commands (ACOMs), Army service component commands (ASCCs), and direct reporting units (DRUs), within their respective areas of responsibilities, will— (1) Ensure that known or suspected criminal activity is reported to the installation law enforcement activity and, when appropriate, to USACIDC for investigation. (2) Support the USACIDC by providing facilities and support required by the USACIDC mission and authorized by applicable regulations or memorandum of understanding to assist the USACIDC in meeting the criminal investigative, crime prevention, force protection, antiterrorism, and protective service requirements of subordinate commands, instal- lations, and other supported Army activities. d. Commanders, supervisors, and special agencies of subordinate USACIC elements will— (1) Provide criminal investigative services to the U.S. Army on an area basis. (2) Provide reports and or statistical data to installation law enforcement activity directors to provide supported commands with the relative number and types of serious crimes and incidents investigated, subjects identified, value of property stolen or recovered, and other information reflecting the status of discipline, law, and order necessary for the completion of reports required by HQDA. Statistical data necessary to support locally established reports may be provided within the administrative and recordkeeping capabilities of the supporting USACIDC element. e . C o m m a n d e r s a n d s u p e r v i s o r s r e c e i v i n g U S A C I D C r e p o r t s f o r a c t i o n o r r e c e i v i n g a c t i o n c o p i e s o f f i n a l USACIDC ROIs pertaining to a member of their organization will— (1) Reply within 45 days through local command channels (using DA Form 4833, Commander’s Report of Disciplinary or Administrative Action), ensuring that battalion commanders or the first lieutenant colonel in the chain of command completes the DA Form 4833 with attached supporting documentation to the USACIDC element preparing the ROI, indicating the judicial, nonjudicial, or administrative action, or lack thereof, taken against persons listed in the title block of the final ROI. Changes to judicial, nonjudicial, or administrative action resulting from subsequent appellate action will also be reported by commanders and supervisors to the USACIDC. The report of action taken is necessary to ensure completion of investigative files and to protect the rights of individuals involved. (2) Notify all persons listed in the title block, who have no action taken against them, that their name will remain in 1AR 195–2 • 15 May 2009 Case 1:15-cv-00031-CKK Document 20-2 Filed 06/19/17 Page 8 of 51 the title block of the report and that the report will be indexed, and, therefore, retrievable by their name. Individuals will also be informed of the purposes for which the reports are used (for example, other criminal investigations, security clearances, other purposes as authorized by the Privacy Act and AR 340–21, para 3–2) and the fact that such use may have an impact upon their military or civilian careers. Individuals will also be informed that the removal of their name from the title block or other amendment of the report may be accomplished only by submitting a written request to the Director, U.S. Army Crime Records Center, 6010 6th Street, Fort Belvoir, VA 22060–5585. Requests for amendment will be considered only as set forth in paragraph 4–4, below. (3) The USACIDC will conduct crime prevention surveys to support commanders in crime prevention efforts. Crime prevention surveys will be initiated by the USACIDC element or will be conducted in response to a request from the supported commander. Commanders or supervisors of activities, facilities, units, or installations who have received a crime prevention survey by the USACIDC will furnish a report of corrective action taken or a statement that no corrective action was taken as a result of the survey, to the USACIDC field element within 90 days of the date of the survey. This report of corrective action must be forwarded by the commanders or supervisors through local command channels to the commander two levels above the activity, unit, facility, or installation surveyed, but in no case will reports be forwarded above Army Command level. A report of corrective action is not required for crime prevention surveys when— (a) Requested by the commanders or supervisors of activities, facilities, units, or installations. (b) Conducted in support of a crime prevention program. (c) Crime conducive conditions are not identified. 1–5. Objectives T h e o p e r a t i o n a l p r o c e d u r e s o f e a c h A r m y U S A C I D C e l e m e n t w i l l b e d i r e c t e d t o w a r d a t t a i n i n g t h e f o l l o w i n g objectives: a. Ensuring known or suspected serious crimes and crimes which may result in damaging the public confidence in the Army are thoroughly and impartially investigated by USACIDC special agents. b. Participating in the Army crime prevention program by identifying areas which are especially vulnerable to crime and by making recommendations to appropriate authorities for elimination of conditions conducive to criminal activity. This USACIDC effort, in the form of crime surveys, includes the examination of all aspects of management and property and fiscal accountability in which malfeasance and misfeasance may occur, as well as criminal conditions, either engaged in or directed against Army personnel, which may affect troop health, discipline, and welfare both on and off military installations. c. Promptly informing appropriate authorities of facts uncovered during criminal investigation and crime prevention activities, and preparing and submitting required reports in accordance with applicable directives. 1–6. Policies Continuing command emphasis and attention will be given to the application of the following policies: a. Criminal incidents in the Army will be reported to the installation law enforcement activity. These criminal incidents include those affecting or involving persons subject to the Uniform Code of Military Justice (UCMJ), civilian employees and contractors of the DOD in connection with their assigned duties, and Government property under Army jurisdiction. Criminal incidents occurring at an installation or activity without an assigned law enforcement activity will be reported to the appropriate supporting installation law enforcement activity. b. Serious crimes and incidents, as defined in this regulation, will be reported to, and investigated by, USACIDC personnel. The commander of the appropriate USACIDC activity will direct the initiation of an investigation immedi- ately upon receipt of information that a criminal incident falling within the investigative purview of USACIDC has occurred or is suspected. Once initiated, a criminal investigation will continue until completion. c. Constant liaison and cooperation will be maintained with civilian and military law enforcement and investigative agencies and military intelligence activities to ensure that criminal investigative, or other information of mutual interest, is exchanged or disseminated. 1–7. Investigative policies a. The USACIDC is the sole agency within the U.S. Army responsible for the criminal investigation of felonies (offenses punishable by death or confinement for more than 1 year), listed in appendix B and relevant felonies identified in Federal, state, or foreign statutes. Exceptions to this general policy are described in AR 190–30, chapter 4, and this regulation. The USACIDC directives and policies, as they relate to criminal investigation activities, will be followed by all USACIDC personnel and elements throughout the U.S. Army. b. Offenses will be reported as follows: (1) Commanders will ensure criminal incidents or allegations whenever an Army interest exists or involving persons subject to the UCMJ, civilian employees, and DOD contractors, if related to their assigned duties or position, Government property under Army jurisdiction, or those incidents occurring in areas under Army control are reported to installation law enforcement activity in accordance with AR 190–45, paragraph 1–4c. Information indicating a violation 2 AR 195–2 • 15 May 2009 Case 1:15-cv-00031-CKK Document 20-2 Filed 06/19/17 Page 9 of 51 of DOD Regulation 5500.7–R or the Federal Acquisition Regulation (FAR) that develops into possible criminal activity will also be reported to the installation law enforcement activity. (2) Barracks larcenies of property of a value of less than $1,500, simple assaults occurring in unit areas and not resulting in hospitalization and bigamy when there is no fraud of entitlements involved, will be reported to law enforcement activities for statistical and crime reporting purposes, but a law enforcement investigation is not required. Unit commanders will take appropriate action on these incidents. A law enforcement investigation will normally be conducted only when it is considered necessary by the provost marshal or security officer, the commander of USACIDC element, or when requested by a field grade commander in the chain of command of the unit concerned. Nothing in this regulation will be construed to allow the withholding of medical treatment to avoid installation law enforcement activity or USACIDC involvement. c. Installation law enforcement activity will promptly refer all crimes or incidents falling within USACIDC inves- tigative responsibility to the appropriate USACIDC element for investigation. Initially, notification will normally be accomplished by direct contact between the installation law enforcement activity desk sergeant and the supporting USACIDC unit. Formal referral will be by DA Form 3975 (Military Police Report (MPR)), or the equivalent report from the installation law enforcement activity. d. Commanders of installations or activities without assigned installation law enforcement will report criminal incidents or allegations to the supporting USACIDC element or the supporting installation law enforcement activity, or both as appropriate. e. The USACIDC will determine appropriate investigative action in accordance with this regulation for all criminal incidents or allegations reported to it or developed through its own sources. Necessary reports will be prepared reflecting the results thereof. f. The USACIDC element receiving reports of criminal incidents or allegations from other than the installation law enforcement activity will notify the appropriate provost marshal or security officer of the incident, unless such notification will compromise the investigation (See para 3–14, below.) g. Title 28 USC 535 (28 USC 535) requires that any information, allegation, or complaint relating to violations of Federal criminal law, involving Government officials and employees will be reported expeditiously to the Department of Justice (DOJ), unless the responsibility to investigate the matter is conferred upon the DOD (for example, an offense under the UCMJ) or as otherwise provided by law or agreement with the Attorney General (for example, the DOD/ DOJ Memorandum of Understanding). (1) For violations in the United States, the normal method of referral and consultation with the appropriate DOJ agency (for example, Federal Bureau of Investigation (FBI), U.S. Attorney) on all such violations involving either military or civilian personnel established pursuant to AR 27–10, chapter 2, will suffice and should be used. (2) In the case of overseas violations or loss or injury to the United States that affect U.S. Armed Forces activities, and which involve any civilian as a suspect or subject, whether or not such person is a DOD employee (for example, a defense contractor), a full report of investigation on the nature and apparent scope of the violation, loss, or injury will be provided through USACIDC channels. Headquarters, USACIDC, will notify DOJ, as appropriate. A prompt initial notification should be submitted through USACIDC channels in all instances involving bribery or conflict of interest, and in those instances of fraud, theft, and unlawful destruction of Government property when the loss to the United States exceeds, or is expected to exceed, $5,000. In overseas areas, civilians may be titled for certain felony offenses under the provisions of the Military Extraterritorial Jurisdiction Act (MEJA) (18 USC 3261) and DODI 5525.11, or during a declared war or contingency operation under Article 2, UCMJ. Civilians may also be titled for violations of local laws. h. Information concerning purely political activities and personalities, or disorders in which no crime is indicated or suspected will not be collected, recorded, or reported by the USACIDC. i. Continuous criminal investigation-military intelligence liaison will be maintained. Information concerning an offense or incident involving any person having access to classified defense information will be expeditiously provided to the proper military intelligence (MI) representative. Similarly, in accordance with AR 381–20, chapter 2, MI components are obliged to expeditiously report criminal information to the appropriate military law enforcement authority. Certain computer intrusions, along with intelligence related crimes such as actual or alleged espionage, treason, or sedition may present situations where MI and USACIDC have concurrent investigative jurisdiction. The primary responsibility of MI is to investigate such incidents for intelligence and security-related purposes. The USACIDC shares the responsibility to investigate the incident to determine and investigate violations of criminal law for the purpose of reporting crime within Army investigative jurisdiction. The USACIDC and MI investigations are carried out on parallel tracks. Neither organization is considered the “lead” in any case. Due to these independent investigative responsibilities, neither USACIDC nor MI has an inherent right of first refusal for offenses within each organization’s respective jurisdiction; however, USACIDC and MI investigations must be closely coordinated. The USACIDC may hold in abeyance its investigation in order to allow MI to first exhaust intelligence or security aspects of an incident. Conversely, in such situations such as known or suspected sabotage, when immediate evaluation of a crime scene is of paramount importance, the USACIDC should not delay investigative activity. Executive Order 12333 3AR 195–2 • 15 May 2009 Case 1:15-cv-00031-CKK Document 20-2 Filed 06/19/17 Page 10 of 51 mandates that intelligence activity authorities shall not interfere with any authorized criminal law enforcement responsibility. j. The receiving USACIDC element will refer information related to systemic weaknesses or managerial deficien- cies, not of a criminal nature, to the appropriate commander. k. Criminal intelligence (law enforcement information gathering activities) will be handled as follows: (1) The USACIDC has primary responsibility to operate a criminal intelligence program. The program will be designed to obtain, record, process, analyze, and disseminate information concerning criminal activities and terrorist threats directed against, involving, or affecting U.S. Army operations, material, personnel, and installations. The program will also develop, analyze, and report on the methods of operations used in criminal activities and terrorist operations. It will also be used to assess the vulnerability of Army activities to crime. The focus of the criminal intelligence program will be the detection, analysis, and prevention of criminal activity affecting the Army. Information gathered may be factual, fragmentary, or unsubstantiated. (2) The USACIDC criminal intelligence gathering activities are not “counter-intelligence related” and are excluded from the provisions of AR 380–13 in accordance with AR 380–13, paragraph 3b(6). Safeguards will be established to preclude unauthorized release of information. (3) The USACIDC units will ensure that within their area of responsibility there is close coordination and mutual exchange of criminal intelligence between their unit and other military and civilian law enforcement agencies on matters of common interest. Source confidentiality will be maintained. (4) In no case will criminal information be restricted to USACIDC channels when that information provides strong indications that an offense is imminent and the commission of that offense will affect the safety or security of U.S. Army operations, personnel, or material. Release will be made only to the extent necessary to prevent the commission of the offense. (5) Information concerning criminal activity of interest to agencies other than the DOD will be reported to the appropriate agency. In overseas areas where representatives of other Federal investigative agencies are not present, information of interest to those agencies will be forwarded to the Commander, USACIDC (CIOP–IN), 6010 6th Street, Fort Belvoir, VA 22060–5506, for appropriate dissemination. All releases of information under this provision will be in accordance with AR 340–21, paragraph 3–2. (6) Criminal intelligence about an individual may be disseminated outside law enforcement channels only to those persons whose official duties create a definite and identifiable need for them to have access. Dissemination will be made to the minimum number of persons possible. All releases of information under this provision will be in accordance with AR 340–21, paragraph 3–2. l. The contents of Army investigative files will be restricted to information that is necessary and relevant to authorized criminal investigation and law enforcement information gathering activities. Off-post incidents: When a U.S. Army Soldier (or in cases outside the United States (not in contingency operation) when a DA civilian in the scope of his duties, or while on Government time, or the immediate Family member of a U.S. Army Soldier) is identified as a suspect/subject for an off-post incident involving one of the following offenses: death (less accidental and natural death, and fatal traffic accident (unless the driver of a Government vehicle is at fault)), all sexual assaults, kidnapping, forcible sodomy, aggravated arson, robbery of a business, and drug offense(s) and weapons theft/smuggling, meeting the Serious and Sensitive Incident reporting criteria as defined in CIDR 195–1, or if a Soldier is the victim of a suspected suicide, coordination will be made with local law enforcement to conduct a Joint investigation. If local law enforcement does not wish to participate in a Joint investigation, Criminal Investigation Command (CID) elements will report the aforementioned investigation as a collateral investigation. Collateral ROIs (transmitting reports of criminal investigations received from civilian agencies) pertaining to other offenses within USACIDC normal investigative responsibility will be forwarded by provost marshals or security officers in accordance with AR 190–45, chapter 4, to the U.S. Army Crime Records Center (USACRC). An information copy of the DA Form 3975, with the civilian police report as an enclosure, will be provided to the supporting USACIDC element to ensure the receipt of criminal information. When the overall interests of the Army would be best served, the USACIDC may assume collateral reporting responsibility for any particular off-post investigation by notifying the appropriate provost marshal or security officer. Chapter 2 U.S. Army Criminal Investigation Command organization 2–1. General a. The USACIDC is a DRU to the Provost Marshal General (see AR 10–87 and DAGO 2006–22). It is composed of a command headquarters, the U.S. Army Criminal Investigation Laboratory (USACIL), the USACRC, and subordinate brigades down to detachments. b. In nontactical situations, each USACIDC unit is a tenant activity at an Army installation, providing investigative support to the installation commander as well as to the commanders of all other Army elements located within a 4 AR 195–2 • 15 May 2009 Case 1:15-cv-00031-CKK Document 20-2 Filed 06/19/17 Page 11 of 51 USACIDC specified geographic area of responsibility. The commander or special agent-in-charge at each unit provides advice and guidance on all USACIDC matters to supported commanders and the installation law enforcement activity. 2–2. U.S. Army Criminal Investigation Command support to the Army in the field a . D u r i n g t a c t i c a l o p e r a t i o n s , f i e l d e x e r c i s e s , a n d i n a c t i v e t h e a t e r s o f o p e r a t i o n , t h e C o m m a n d i n g G e n e r a l , USACIDC, will provide USACIDC support to tactical units and their supporting elements. In accordance with AR 350–28, paragraph 4–10, field exercise planners must coordinate with the supporting USACIDC unit to determine USACIDC participation. b. The selection of the method of support will be coordinated between the appropriate USACIDC headquarters and the headquarters planning for the contingency or operation. The supporting USACIDC unit normally receives adminis- trative and logistical combat support from the supported headquarters or the supporting combat support MP headquar- ters. The Commanding General, USACIDC, maintains command and control of USACIDC units. In all operations, criminal investigations will be conducted, prepared, administered, reported, and distributed in accordance with appro- priate provisions of this regulation, and applicable USACIDC regulations and directives. Chapter 3 Criminal Investigation Activities Section I General 3–1. Investigative authority of the Army a. Investigative authority refers to matters for which the Army has the legal authority and jurisdiction to conduct a criminal investigation. Investigative responsibility refers to those matters within the Army’s overall investigative authority which the USACIDC has responsibility to ensure are properly investigated. b. The Army has investigative authority whenever an Army interest exists and investigative authority has not been specifically reserved to another agency (see AR 27–10, chap 2; and the Memorandum of Understanding between the DOD and the DOJ relating to the Investigation and Prosecution of Certain Crimes, (DODI 5525.07)). Generally, an Army interest exists when one or more of the following apply: (1) The crime is committed on a military installation or facility, or in an area under Army control. (2) There is a reasonable basis to believe that a suspect may be subject to the UCMJ. (3) There is a reasonable basis to believe that a suspect may be a civilian employee of the DOD or a DOD contractor who has committed an offense in connection with his or her assigned contractual duties which adversely affects the Army. (4) The Army is the victim of the crime; for example, the offense involves the loss or destruction of Government property or allegations of fraud (as defined in DOD/DOJ instructions concerning the criminal investigation of fraud offenses) relating to Army programs or personnel. (5) There is a need to protect personnel, property, or activities on Army installations from criminal conduct on, or directed against, military installations that has a direct adverse effect on the Army’s ability to accomplish its mission; for example, the introduction of controlled substances onto Army installations, acts of terrorism, and logistical security. (6) In contingency operations there is a need to investigate crimes to establish law and order as identified by senior mission commander. 3–2. U.S. Army Criminal Investigation Command investigative responsibility a. Inside the continental United States (CONUS), Alaska, Hawaii, U.S. territories and possessions, the USACIDC will normally exercise investigative responsibility for those offenses listed in appendix B and which are within the Army’s investigative authority. However, when Federal, State, or local civil law enforcement authorities have concur- rent jurisdiction, a Joint investigative responsibility exists and the lead agency will be determined in coordination with that authority. When concurrent jurisdiction or authority to investigate exists and neither the Army nor the civil authorities accede to the other’s primary responsibility to investigate, both may pursue the investigation in fulfillment of their respective interests, with neither impeding the other. b. Outside CONUS, Alaska, Hawaii, and U.S. territories and possessions, the USACIDC will normally have investigative responsibility for those violations of the offenses listed in appendix B and for felony violations of extraterritorial federal criminal law and foreign criminal law that are within the Army’s investigative authority. Investigations of foreign nationals known or suspected of committing criminal offenses against the Army may be undertaken for purposes of pursuing prosecution under foreign laws or civil, contractual or administrative remedies. These investigative responsibilities are subject to any limitations imposed by treaty or other international agreements 5AR 195–2 • 15 May 2009 Case 1:15-cv-00031-CKK Document 20-2 Filed 06/19/17 Page 12 of 51 such as a Status of Forces Agreement (SOFA) or by host country laws. In the absence of any agreement, the USACIDC will investigate offenses after coordination with appropriate host country authorities. c. Deployment Considerations. In a deployed environment, USACIDC agents will generally encounter the following regarding foreign Governments: (1) Functioning Government: When the U.S. Army is deployed to a foreign country which has an established and functioning Government and law enforcement system (police, prosecutors, and judicial system), the following applies: (a) Authority to investigate will normally be determined by international treaty or agreement (such as the SOFA), by the policies of the host Government, or the U.S. Ambassador. The USACIDC will not conduct any investigations (however limited or preliminary in nature) in violation of such agreements or policies. (b) The USACIDC will not normally conduct investigations concerning non-DOD affiliated civilians committing crimes on other non-DOD affiliated civilians or non-DOD affiliated equipment/supplies outside Army controlled property. If requested to conduct an investigation by a field grade officer or higher due to Army interest, USACIDC will conduct a Joint investigation to the extent allowed by treaty or policy and local law enforcement authorities. (c) When criminal incidents involve DOD affiliated personnel (military, civilian, or contractor) or DOD property outside of Army controlled property, the conduct of a Joint investigation will be accomplished to the extent allowed by treaty or policy and local law enforcement authorities. (d) When criminal incidents occur on Army controlled property (such as an installation, kaserne or camp), investiga- tions will be conducted in accordance with this regulation and applicable USACIDC regulations and directives. (e) The conduct of such investigations will follow any guidelines, notifications, or other limitations set forth by treaty or policy and local law enforcement authorities. (2) Non-Functioning Government: When the Army is deployed to a foreign country that has no established (or severely limited) functioning Government and no law enforcement system (police, prosecutors and a judicial system), the following applies: (a) Authority to investigate in this situation is usually determined by the Army’s mission and the requests of the senior supported Army commander (or senior U.S. commander in Joint operations). If the senior Army commander delegates an authority, USACIDC will respect requests from this commander’s delegate. If the senior Army com- mander sets threshold criteria for investigations, USACIDC will respect those limitations. The USACIDC will not investigate outside the authority of the senior Army commander (or senior U.S. commander in Joint operations). (b) The USACIDC may conduct investigations concerning non-Army affiliated civilians committing crimes on other non-Army affiliated civilians or equipment/supplies outside of Army controlled property, if such investigations are requested by the senior U.S. supported commander or meet some predetermined threshold criteria established by the U.S. supported commander. (c) When criminal incidents involve Army affiliated personnel (military, civilian or contractor) or Army property, the conduct of the investigation will be accomplished to the extent allowed by local environment and threat conditions. (d) When criminal incidents involving anyone occur on actual Army controlled and occupied property (such as a base camp), investigations will be conducted in accordance with this regulation and CIDR 195–1. 3–3. Investigative responsibility of the U.S. Army Criminal Investigation Command and military police a. The USACIDC is solely responsible for investigating the criminal aspects of those Army related felonies (offenses punishable by death or confinement for more than 1 year) listed in appendix B. Exceptions to this general policy are described in paragraphs a(1) through (13) and 3–4, below. Only CID special agents and other personnel assigned to or under the operational control of USACIDC are authorized to investigate felony crimes as delineated in this regulation. The CID special agents assigned outside of USACIDC are not authorized to conduct felony investiga- tion and are limited to the duties for which they are assigned. (1) Property-related offenses. (a) The USACIDC is responsible for investigating property-related offenses (for example, stolen, destroyed, or damaged) when the fair market value of the property, as determined by AR 735–5, appendix B, is $5,000 or more (except as listed in paras b and c, below, and app B) or when the property is of a sensitive nature (see app E). An investigation by the USACIDC is also required for purposes of determining criminal intent in the case of lost arms, ammunition, and explosives when the quantities involved meet the thresholds in AR 190–11, paragraph 1–8 and appendix E. When no criminal intent is discovered, an initial/final report of investigation will be completed in accordance with applicable USACIDC regulations and directives. The installation law enforcement activity is responsi- ble for investigating property-related offenses when the value is less than $5,000. When requested by a supported commander, the USACIDC may investigate property crimes of lesser value, such as a series of minor larcenies which appears to be the work of an organized group. (b) The USACIDC will conduct investigations regarding the larceny of privately owned vehicles (to include bicycles, motorcycles, all terrain vehicles, and boats) when the current value is more than $30,000. (c) The USACIDC will not investigate thefts of common tables of allowance–50 series (CTA–50) items issued to individual Soldiers regardless of value. (2) Drug offenses. The USACIDC has overall responsibility for offenses involving controlled substances. The 6 AR 195–2 • 15 May 2009 Case 1:15-cv-00031-CKK Document 20-2 Filed 06/19/17 Page 13 of 51 installation law enforcement activity will investigate use, possession, and the positive urinalysis of non-narcotic controlled substances, such as marijuana, and controlled substances described in Schedules IV and V of the Controlled Substances Act (21 USC), in amounts indicative only of personal use. The USACIDC investigates use, possession, manufacture, or distribution of controlled substances described in Schedules I, II, and III of the Controlled Substances Act (21 USC), excluding marijuana unless the quantity of marijuana is indicative of intent to distribute; and the manufacturing and distribution of all non-narcotic controlled substances. When appropriate, the investigation by a Joint USACIDC/installation law enforcement team of all drug offenses on an installation is recommended. This can be accomplished with the primary investigative and reporting procedures of the installation law enforcement activity and USACIDC remaining unchanged. This approach fosters better coordination and is encouraged when deemed in the best interest of the overall drug suppression effort. (3) Misdemeanors. A misdemeanor is any offense not punishable by death or imprisonment for a term exceeding one year; including violations of those provisions of state laws made applicable to U.S. military reservations. The USACIDC retains investigative responsibility of misdemeanor offenses only when they are committed in conjunction with another offense investigated by USACIDC. (4) Non-combat deaths. The USACIDC is responsible for investigating noncombat deaths to the extent necessary to determine whether criminality is involved, with the exception of hospice deaths. Hospice deaths are considered attended deaths when the USACIDC element is notified of the hospice situation by a recognized hospice representative in advance of the death. If during the conduct of a preliminary investigation it is determined and verified that the death was a hospice death and the USACIDC was not notified in advance, the investigation will be terminated and a Serious or Sensitive Incident only report will be generated without further investigation. (5) Military offenses. Certain military offenses, such as misbehavior as a sentinel or disrespect, will not normally be investigated either by the USACIDC or the installation law enforcement activity; however, when the significance of the incident or the complexity of the facts dictate, the USACIDC or the military police may assume investigative responsibility. (6) War crimes. The USACIDC is responsible for investigating suspected war crimes when a violation of 18 USC, the UCMJ, as listed in appendix B of this regulation, when a violation of the law of land warfare is indicated, or when otherwise directed by HQDA. This includes maltreatment or abuse of prisoners of war or detainees when the alleged crime meets the USACIDC threshold as identified in appendix B. (7) Crimes affecting the U.S. Army Reserve and the Army National Guard. Crimes in which the USAR or ARNG are affected by fraud, theft, diversion, or destruction of U.S. Government funds or property may be investigated by the USACIDC. Other cases affecting a U.S. Army interest may be investigated pursuant to instructions of the Commanding General, USACIDC. The USACIDC investigations involving members of the ARNG, when in active Federal service, as prescribed in 10 USC 802, will be reported to the appropriate state adjutant general. Cases involving USAR personnel not in active duty training or extended active duty training status at the time of the offense will be reported to the Commander, Reserve Command (Liaison Officer), 3d MP Group (CID), 4699 North 1st Street, Forest Park, GA 30297–5119. (8) Adult private consensual sexual misconduct. The adult private consensual sexual misconduct (APCSM) or “Sexual Misconduct” is a sexual act or acts in violation of the UCMJ, which occur between consenting adults, in private, whether on or off the installation, such as adultery and indecent acts. The USACIDC or installation law enforcement activity will not investigate adultery when that is the sole offense. The USACIDC and the installation law enforcement activity will not normally initiate an investigation into adult private consensual misconduct where such misconduct is the only offense involved. The offenses will be reported to the appropriate commander. The APCSM will only be investigated by USACIDC when aggravating circumstances exist; and only if approved by the Command- ing General, USACIDC. (9) Fraternization. Will not normally be investigated by either the USACIDC or installation law enforcement activity when this is the only offense. The offense will be reported by the installation law enforcement activity, using DA Form 3975, through command channels to the appropriate commander. (10) Offenses involving senior personnel. Whenever an allegation of criminality or impropriety against senior personnel is received, HQ, USACIDC, G–3, will be notified immediately by the most expeditious means (for example, telephone, e-mail or fax) of the allegation(s). Senior personnel are general or flag officers on active duty or retired; a member (or retired) of a Reserve Component or National Guard; a general officer designee (promotable O–6); a DOD civilian in the grade of Senior Executive Service, or higher; or other personnel of equivalent rank who occupy a key position as designated by an appropriate commander. A determination will be made at HQ, USACIDC if it is a USACIDC or Department of the Army Inspector General responsibility to investigate the allegation. Other offenses involving these personnel as subjects, without regard for the limitations imposed in appendix B, may be investigated by the USACIDC if the sensitivity of the incident or complexity of the matter so dictates. The notification procedure identified above will be followed. (11) Aggravated assaults. The USACIDC is responsible for investigating aggravated assaults which result in the victim being hospitalized for treatment (not mere observation) for a period of more than 24 hours. All other aggravated assaults will be investigated by the installation law enforcement activity. 7AR 195–2 • 15 May 2009/RAR 6 September 2011 Case 1:15-cv-00031-CKK Document 20-2 Filed 06/19/17 Page 14 of 51 (12) Misuse of Government computers. The USACIDC will not routinely investigate allegations of the misuse of Government computers. Misuse as part of a personal business venture may fall under other violations investigated by USACIDC. The USACIDC retains primary investigative jurisdiction over incidents involving child pornography, and unauthorized access and/or intrusions into Army interest computers. (13) Violations of general regulations. The USACIDC will investigate these offenses only when the regulation violated is punitive in nature and the underlying offense is, in itself, a felony crime by statute such as currency violations and certain black-market offenses as listed in appendix B. b. The USACIDC may conduct a preliminary investigation as required to determine whether the USACIDC has investigative authority or responsibility or whether there is an Army interest in the matter. If the preliminary investigation reveals that one or more of the foregoing is lacking, the matter will be referred to the appropriate action agency. 3–4. Assumption of investigative responsibility by the U.S. Army Criminal Investigation Command The USACIDC may assume responsibility for investigating any criminal offense within the investigative authority of the Army when appropriate to a related investigation or to further the law enforcement or crime prevention goals of the Army. When the USACIDC assumes control of an investigation from the installation law enforcement activity and initiates an ROI, the investigation will be carried through to conclusion by the USACIDC unless otherwise specified in paragraph 3–6 of this regulation. Conducting a preliminary investigation does not presuppose assuming control of an investigation. 3–5. Agreements between the U.S. Army Criminal Investigation Command and installation law enforcement activities Modification of investigative responsibility by mutual agreement is not authorized at local, ASCC, DRU, or ACOM levels. Memoranda of understanding establishing drug or other crime suppression teams and delineating their logistical and administrative support are authorized. 3–6. Referral of investigations For some criminal offenses within the USACIDC investigative responsibility, another agency may have primary responsibility to investigate. In such cases, the other agency will be promptly informed of the allegation and, if the other agency assumes the responsibility to investigate the case, it may be referred to that agency. The USACIDC field element will submit a report of investigation reflecting the conduct of the investigation to date and a statement that the other agency has assumed responsibility for the investigation. If the other agency ceases the development or completion of investigative leads, the USACIDC may conduct further investigation, provided the other agency presents no valid objections. If the other agency declines to investigate, the USACIDC may conduct the investigation. 3–7. Army Substance Abuse Program In compliance with the Army’s Army Substance Abuse Program (ASAP) policy, the USACIDC will investigate participants in the ASAP for controlled substance offenses only if the offense occurred after entry into the program or if the participant had been identified as a suspect or subject prior to the time of entry into the program. Participants in ASAP will not be knowingly approached by the USACIDC special agents, installation law enforcement activities, or other investigative personnel for the purpose of soliciting information about controlled substances or distribution, unless the participant voluntarily offers to provide such information. If the ASAP participant volunteers the informa- tion, it will not be obtained in the ASAP facility or in such a manner as to jeopardize the safety of the sources of information or compromise the confidentiality and credibility of the ASAP. The USACIDC special agents, installation law enforcement activities and other investigative personnel will not enroll in or infiltrate the ASAP treatment program for the purpose of law enforcement activities (See AR 600–85, para 1–31n). 3–8. Immigration Customs Enforcement and postal matters a. Immigration Customs Enforcement (ICE) and postal authorities periodically find unauthorized material (for example, contraband, explosives, ammunition, unauthorized or illegal weapons, or illegal drugs). b. When notified by ICE or the U.S. Postal Service of unauthorized material discovered in the mail system or in transit from theater of operations during an ICE inspection, a Joint investigation may be conducted. c. When requested, USACIDC special agents or military police will receive as evidence such confiscated U.S. Government property. Such property will be returned to Government supply channels when no longer required for evidentiary purposes. d. Recovery of weapons, ammunition, and explosives will be reported by the Army installation element to which the item(s) are assigned in accordance with AR 190–11, paragraph 8–2. e. The USACIDC will investigate such incidents when appropriate and in conformance with this regulation, and guidance issued by the Commanding General, USACIDC. 8 AR 195–2 • 15 May 2009 Case 1:15-cv-00031-CKK Document 20-2 Filed 06/19/17 Page 15 of 51 Section II Crime Prevention Surveys, Protective Services, and Procurement Fraud Program 3–9. Crime prevention surveys The USACIDC conducts crime prevention surveys to support commanders within the context of the Army Crime Prevention Program. Crime prevention surveys may be initiated by the USACIDC element commander or may be conducted in response to a request by the supported commander. 3–10. Protective services The USACIDC plans for and conducts protective service operations generally using methods, procedures, and equip- ment similar to those of the United States Secret Service. When conducting such operations, USACIDC personnel will be provided logistical, administrative, and personnel support from U.S. Army elements as required to accomplish its mission. 3–11. Procurement Fraud Program As part of the overall mission to investigate felony crimes in which there is an Army interest as prescribed in this regulation and AR 10–87, chapter 17, USACIDC is responsible for investigating procurement fraud and corruption. Evidence gathered during these investigations is used in criminal, civil, or administrative proceedings. Section III Operational Considerations 3–12. Freedom of movement a. During the course of a criminal investigation, USACIDC special agents or supervisors are authorized freedom of movement between geographical areas of responsibility. b. All USACIDC personnel must obtain special area, country and/or theater clearance for any travel outside the United States, its territories, and possessions. In some cases all, one or more, or none of these clearances may be required. The individual country pages listed in the DOD Foreign Clearance Guide (FCG) General Information Booklet (DOD Guide 4500.54–G) should be consulted when planning to travel. The lead time for requesting travel clearances varies with each individual country, so the FCG should be reviewed during initial travel planning. c. Accredited USACIDC supervisors and special agents may obtain official U.S. passports through their servicing passport control office, military personnel section. Item 12 of the DD Form 1056 (Authorization to Apply for a “No- Fee” Passport and/or Request for VISA), accompanying each application will show the special assignment code of “USACIDC.” Item 11 may be left blank. Item 7 must show the special agent’s military rank, general schedule grade, or National Security Personnel System pay band. d. The USACIDC offices and facilities will not be shared with other units under any circumstances. 3–13. Crime scenes The control and processing of a crime scene and the collection and preservation of the evidence found at the scene are the exclusive responsibilities of the USACIDC special agent or supervisor in charge of the crime scene when the USACIDC has investigative responsibility. To prevent the possible loss or destruction of evidence, the USACIDC special agent or supervisor in charge of the crime scene is authorized to exclude all personnel from the scene. The exercise of this authority in a particular case may be subject to the requirement to preserve human life and the requirement for continuing necessary operations and security. This should be determined in conjunction with the appropriate commander and, where applicable, local host country law enforcement authorities. 3–14. Coordination a. General. All USACIDC elements will establish liaison with the headquarters responsible for the installation, activity, or area supported. Commanders and provost marshals or security officers will be kept informed of the status of criminal investigations and crime prevention surveys in which they have an interest. If the release of this information would prejudice the successful completion of any investigation or survey, this coordination may be delayed or withheld up to and including the level of commanders of ACOMs. When such a release of information is withheld or delayed as determined by the USACIDC detachment commander or special agent-in-charge, the USACIDC element will inform the HQ, USACIDC, Investigative Operations Division, and the USACIDC battalion and the group headquarters. The withholding or delay of the release of such information to commanders of ACOMs requires approval of the Command- ing General, USACIDC, who will inform the Chief of Staff of the Army or the Secretary of the Army of the intention to delay or withhold the release. b. Other services. The USACIDC element will promptly notify the appropriate headquarters of another military service of any known or suspected crime for which the USACIDC has investigative responsibility in which the personnel or property of the other service are involved. Upon request from the headquarters having jurisdiction over the personnel or property concerned, an investigation may be made by the USACIDC. In crimes involving both Army 9AR 195–2 • 15 May 2009 Case 1:15-cv-00031-CKK Document 20-2 Filed 06/19/17 Page 16 of 51 personnel and personnel of another service, local coordination of the investigation with that service’s criminal investigative agency will be accomplished by the USACIDC element concerned. c. Release of derogatory information. Derogatory information that mentions or can be tied to particular individuals will be released only to those persons whose official duties create a definite need to have access to the information. Derogatory information will not be released outside of the DOD except as authorized by 5 USC 552a and AR 340–21, paragraph 3–2. 3–15. Access to Army facilities and records a. The USACIDC special agents, military police investigators (MPI) and DA civilian (DAC) detectives will be granted access to all Army facilities and records when necessary for criminal investigations, protective service missions, or crime prevention surveys, when access is consistent with the provisions of applicable laws governing such access. b. The AR 40–66, chapter 2, and DOD Regulation 6025.18–R, section C7.6, describe policy and procedures to be used by USACIDC special agents, MPI, and DAC Detectives to gain access to information in medical records when conducting official investigations. Authorization for access to information is authorization to make extracts or tran- scripts, for official purposes only, of specific information obtained by the custodian from medical records. The medical records will remain under the control of the records custodian who will make either the records or legible certified copies available for judicial, nonjudicial, or administrative proceedings. 3–16. Security clearances and background investigations a. All accredited USACIDC special agents and supervisors are required to have a top secret clearance based on a single scope background investigation, in accordance with DOD Regulation 5200.2–R, paragraph C3.6.10, and AR 380–67, paragraph 3–609. b. Any USACIDC personnel who have access to investigative records or files are required to have a single scope background investigation, for suitability purposes only, in accordance with DOD Regulation 5200.2–R, paragraph C3.6. 10, and AR 380–67, paragraph 3–609. 3–17. U.S. Army Criminal Investigation Command use of the National Crime Information Center a. All USACIDC elements within CONUS will make maximum use of the National Crime Information Center (NCIC). The USACIDC terminal is located at the USACRC; however, terminals located at CONUS installations are available for use by USACIDC personnel as specified in AR 190–45, chapters 13 and 14. Coordination with the installation law enforcement activity is encouraged. b. The use of the NCIC will be in accordance with AR 190–45, chapters 13 and 14, and the operating instructions of the FBI. The Commanding General, USACIDC will issue appropriate instructions for use of the NCIC by USACIDC elements. c. Data to be entered into the NCIC through the terminals located at CONUS installations will include information pertaining to stolen Government or private property, a theft of which is investigated by the USACIDC and which meets the criteria established by the FBI for entry into the system. Information pertaining to absentees or deserters whose personal identifiers have already been entered by the U.S. Army Deserter Information Point (USADIP) will be entered t h r o u g h t h e U S A C I D C t e r m i n a l a t t h e U S A C R C , i f t h e y h a v e b e c o m e s u s p e c t s o r s u b j e c t s i n a U S A C I D C investigation. d. The USACRC enters stolen property and weapon reports for installation law enforcement activities in overseas locations as specified in AR 190–45, paragraph 14–3. The USACRC will conduct NCIC inquiries for USACIDC special agents in support of criminal investigations or related inquiries for elements in overseas locations, based on a request from the individual USACIDC element. e. The USACIDC and USADIP will establish liaison to ensure timely exchange of information on matters pertaining to absentees and deserters. The USACRC will provide USADIP with the names of those Army deserters in whom the USACIDC has an interest. The USADIP will ensure that notification of apprehension or inquiries from civil law enforcement authorities on subjects of USACIDC investigations are transmitted to the USACRC by the most expedi- tious means. The USACIDC will ensure that timely notification of a cancellation of interest in an absentee or deserter, previously listed in the wanted file, is provided to the USADIP and entered into the NCIC immediately. 3–18. Warning of rights Prior to any questioning, all persons subject to the UCMJ who are reasonably suspected of a criminal offense must be properly advised of their rights in accordance with Article 31, UCMJ, and Military Rule of Evidence (MRE) 305, in the Manual for Courts-Martial (MCM). U.S. civilian subjects, not otherwise subject to the UCMJ, will be warned in accordance with current Federal law. Generally, Federal law requires that civilians be advised of their Constitutional rights only in those circumstances amounting to a “custodial interrogation.” During wartime and contingency opera- tions, or in other circumstances determined by the President of the United States, civilians may be subject to the UCMJ 10 AR 195–2 • 15 May 2009 Case 1:15-cv-00031-CKK Document 20-2 Filed 06/19/17 Page 17 of 51 in accordance with Article 2, UCMJ. Under those circumstances, Article 31 would apply and would require the appropriate rights warning. Section IV U.S. Army Criminal Investigations Command Special Agents 3–19. General a. All USACIDC special agents are authorized to enforce the criminal laws of the United States concerning any offense over which the Army has investigative authority. Nothing in this regulation purports to authorize any action that would constitute a violation of the Posse Comitatus Act (18 USC 1385). b. All USACIDC special agents (military and civilian) are recognized as Federal agents (law enforcement) under Title 28 Code of Federal Regulations (CFR), Part 60.3a(2) (28 CFR 60.3a(2)). 3–20. Utilization a. The USACIDC special agents will not be assigned to other than criminal investigative duties without prior approval of the Commanding General, USACIDC. The USACIDC special agents or supervisory personnel will not be assigned duties such as post or staff duty officer, military police duty officer, casualty assistance officer, membership on boards (except boards considering applicants for appointment as warrant officers in MOS 311A, promotion boards, or reclassification boards requiring a member knowledgeable of duties required of USACIDC personnel). This does not preclude the performance by USACIDC special agents or supervisors of those additional duties assigned by, and performed within, the USACIDC unit. The USACIDC special agents and USACIL personnel will not be assigned to defense counsels to serve as a member of the defense team or as an expert witness for the defense. b. When the interests of effective law enforcement require special expertise or technical assistance, the Commanding General, USACIDC, may authorize civilian or military personnel of the U.S. Army to assist in criminal investigations and to perform other USACIDC related duties, to include administering oaths. c. The USACIDC special agents and certified polygraph examiners may perform all the requirements of their respective duty positions without regard to whether they hold military or civilian status. 3–21. Authority to apprehend or detain a. Pursuant to Rules for Courts-Martial (R.C.M) 302, MCM, U.S., UCMJ, and Article 7 (10 USC 807); USACIDC special agents are authorized to apprehend any person subject to the UCMJ, regardless of location, if there is probable cause to believe that person has committed, is committing, or is about to commit a criminal offense punishable by courts-martial. In affecting apprehensions, such force as may be reasonably necessary, as specified in AR 190–14, chapter 3, may be used. Apprehensions to be made in private dwellings, on or off a military installation, will be accomplished in accordance with the procedures specified in R.C. M. 302 (e)(2). All USACIDC special agents are also authorized to conduct investigative stops of any person subject to the UCMJ, regardless of location, if there is an intelligible and reasonable belief the person has committed, is committing, or is about to commit a criminal offense. b. All USACIDC special agents are authorized to apprehend civilian personnel on military installations, facilities, National defense areas (50 USC 797), or areas under military administration when there is probable cause to believe that person has committed an offense cognizable under the criminal laws of the United States to include offenses assimilated from State law, in areas of exclusive Federal, concurrent Federal-state or proprietary Federal jurisdiction. Such persons will be held only until they can be released to an appropriate Federal, State, or local law enforcement agency, or to civilian authorities in accordance with local procedures. c. No military USACIDC special agents, in their official capacity, have authority to arrest, with or without an arrest warrant, civilians outside the limits of a military installation. When such an arrest is necessary in the conduct of a USACIDC investigation, an arrest warrant must be obtained and executed by a civil law enforcement officer with statutory arrest authority or a civilian USACIDC Special Agent. The USACIDC special agents may accompany the arresting civil law enforcement official for purposes of identifying the person to be arrested and providing backup assistance. d. In accordance with 10 USC 4027, the Secretary of the Army, in conjunction with the Secretary of Defense and the Attorney General, has granted USACIDC civilian special agents statutory arrest authority enabling them to execute and serve arrest warrants, and arrest any person without a warrant off DOD Controlled Property in the United States under specified circumstances. This authority will be exercised under the guidelines that the Secretary of Defense and the Attorney General approved in November 2005. e. The USACIDC military and civilian special agents are authorized to make arrests under the MEJA, outside the United States for offenses subject to prosecution under the MEJA (18 USC 3261 and DODI 5525.11). f. Personnel apprehended by USACIDC special agents will be released to civil or installation law enforcement, as appropriate, for confinement or detention. Confinement or detention in military facilities will be in accordance with AR 190–47, chapter 3. Nothing in this regulation is intended to restrict the inherent authority of military commanders to 11AR 195–2 • 15 May 2009 Case 1:15-cv-00031-CKK Document 20-2 Filed 06/19/17 Page 18 of 51 maintain law and order on the installation for which they are responsible or to restrict the personal authority of special agents under various state laws concerning citizen’s arrest. 3–22. Authority to search and seize a. Searches and seizures within the confines of a U.S. military installation will be conducted in accordance with the MRE, in the MCM; or other applicable law. b. All USACIDC special agents are authorized to seek a search warrant from a civil (state and Federal) magistrate or judge, and, if issued, to execute the search warrant outside of a military installation. This authority is granted under the provisions of Rule 41, Federal Rules of Criminal Procedure (FRCP), and 28 CFR 60, and Executive Order 12473 (MCM), RCM 302(b) and MRE 315, in the MCM, and pertains to those offenses within the investigative authority of the Army over which the USACIDC has assumed investigative responsibility. When executing such a search warrant, military USACIDC special agents will be accompanied by a civil law enforcement officer having statutory arrest authority or a civilian USACIDC special agent. 3–23. Authority to administer oaths The USACIDC special agents, and other personnel designated in accordance with paragraph 3–20b, above, are authorized to administer oaths under the provisions of 10 USC 936 for military investigative personnel and 5 USC 303, for civilian investigative personnel. 3–24. Firearms a. The USACIDC special agents are authorized to carry concealed weapons in accordance with instructions issued by the Commanding General, USACIDC, and AR 190–14, paragraph 2–8. Any weapon lost, stolen, or unaccounted for will be reported immediately to Commanding General, USACIDC (CIOP–COP). b. Unless authorized by the Commanding General, USACIDC, or the commander’s designated representative, only Government issued and acquired weapons and ammunition will be utilized. The use of personally owned weapons and ammunition for official duties (other than officially sanctioned marksmanship competition) is prohibited. 3–25. Civilian clothing a. Unless precluded by theater requirements, (for example, combat operations), or when directed otherwise by a USACIDC unit commander, USACIDC special agents may wear civilian clothing in the performance of their duties, to include permanent change of station travel to a new duty station. The USACIDC supervisors may also wear civilian clothing when appropriate for mission accomplishment. Civilian clothing allowances for USACIDC special agents may be obtained in accordance with AR 700–84, paragraph 8–2a(9). b. The USACIDC special agents and supervisors may obtain nonstandard spectacle frames in accordance with AR 40–63. c. The personal appearance standards of AR 670–1 may be waived by USACIDC supervisors for USACIDC special agents and other personnel attached for investigative duties. 3–26. Billets and messes a. Enlisted USACIDC special agents and laboratory examiners must be billeted with other USACIDC personnel in facilities separate from other Soldiers, or in senior bachelor enlisted or bachelor officer quarters. If a lack of suitable facilities precludes this policy, USACIDC special agents will be provided statements of nonavailability to support claims for basic allowance for housing (BAH) or per diem, as appropriate (AR 420–1). b. The USACIDC unit administrative personnel will be billeted with USACIDC personnel or with military police personnel. Alternate billeting arrangements may be provided when it is determined that the USACIDC mission will not be adversely affected. If a lack of suitable facilities precludes this policy, administrative personnel will be provided statements of nonavailability to support claims for BAH (AR 420–1). c. The policy in paragraphs a and b, above, does not apply when law enforcement personnel are billeted as a unit during combat operations, or field exercises, or other training periods. Housing policy for nonlaw enforcement type personnel prevails during these periods. d. Enlisted USACIDC special agents are authorized basic allowance for subsistence in accordance with the DOD Pay and Finance Regulation (see DOD 7000.14–R, vol 7A, chap 25). e. The above provisions do not apply in overseas areas not authorized BAH and basic allowance for subsistence. 3–27. Disclosure of rank or grade a. The USACIDC special agents conducting USACIDC investigation activities are not required to reveal their military or civilian rank, grade, or position other than as “CID Special Agent.” Their status as members of the U.S. Army or as a USACIDC special agent may also be concealed if such concealment is in the interest of effective law enforcement. 12 AR 195–2 • 15 May 2009 Case 1:15-cv-00031-CKK Document 20-2 Filed 06/19/17 Page 19 of 51 b. The USACIDC special agents will include their military or civilian rank or grade in signing all correspondence except USACIDC ROIs and documents related thereto. c. The USACIDC special agents may wear the “U.S.” insignia in lieu of insignia of rank when wearing field uniforms. d. Civilian USACIDC special agents, as directed by the CG, USACIDC, may wear the field uniform in a combat environment or military operations other than war in the manner described in AR 670–1. 3–28. Retention and use of investigative property The ROIs, files, photographs, exhibits, handwritten notes, sketches, and other material pertaining to USACIDC duties, including copies, negatives, compact discs, and reproductions, are either the property of the DA or in its custody, and will not be retained or used as personal property. Photographs taken during the conduct of criminal investigations or related duties are exempt from the requirements of AR 25–1, paragraph 7–8. 3–29. Standards of conduct Standards of conduct for DOD personnel are contained in the Joint Ethics Regulation (DOD 5500.7–R) and will apply to all personnel in the USACIDC program. Additional restrictions on off-duty employment and any other limitations of personnel assigned to the USACIDC may be determined by the CG, USACIDC. Section V U.S. Army Criminal Investigation Command Drug Suppression Operations in Foreign Countries 3–30. Purpose This section sets forth Army policy for all USACIDC drug suppression operations conducted outside the U.S. and its possessions. It applies to all levels of drug suppression operations, whether conducted on or off a military installation and whether or not conducted in conjunction with other U.S. or non-United States law enforcement agencies. 3–31. Definitions a. Level One Operations are those operations conducted only in overseas areas and using agents in an undercover role intended to identify high level traffickers of narcotics and dangerous drugs and to intercept controlled substances destined for resale and/or use by U.S. Armed Forces personnel. b. Level Two Operations are those drug suppression operations conducted by special agents assigned to local USACIDC units and drug suppression team personnel operating in a semi-undercover capacity with the mission of identifying traffickers, wholesale or retail, who operate on or close to installations or areas where U.S. Armed Forces personnel are stationed and/or who sell directly to U.S. Armed Forces personnel. c. Level Three Operations are those drug suppression operations conducted by special agents assigned to the local USACIDC units who operate in an overt manner investigating reported or detected controlled substance violations by members of the U.S. Armed Forces. Level Three Operations are also conducted by MP/MPI/DAC Police/Detectives assigned to the installation law enforcement activity. The term U.S. Armed Forces personnel includes all employees, military or civilian, of the DOD and the family members of such persons, except where the term is more narrowly defined by provision of applicable treaties or international agreements, in which case that definition will apply. 3–32. Policy considerations Individuals in charge of USACIDC drug suppression operations and the approving authorities set forth in paragraph 3–33, below, will ensure that all operations are conducted in accordance with the following policy considerations. a. The objective of USACIDC drug suppression operations is to support Army commanders by limiting the use or possession of illegal drugs by U.S. Armed Forces personnel and by interdicting the supply of illegal drugs directed to such persons. Drug suppression operations will be conducted only to the extent necessary to achieve this objective and only when resources from other U.S. and non-U.S. law enforcement agencies are not available or cannot be used due to prevailing operational conditions or necessities. A particular drug operation should not be conducted unless there is an identifiable connection between the drug traffickers being investigated and U.S. Armed Forces personnel. Such connection is present only if the traffickers are known or suspected to have had recent drug transactions with U.S. Armed Forces personnel or if the traffickers distribute in an area where experience indicates a substantial portion of the available drug supply is obtained by U.S. Armed Forces personnel. The general scope of drug suppression operations should be coordinated with the supporting staff judge advocate when the operation may have significant impact on nonmilitary personnel. b. Level One Operations will be conducted only as necessary in light of the following factors: (1) The connection of the drug trafficking activities and lines of distribution to the supply of illegal drugs available to U.S. Armed Forces personnel. (2) The resources available to the USACIDC to support the operation. 13AR 195–2 • 15 May 2009 Case 1:15-cv-00031-CKK Document 20-2 Filed 06/19/17 Page 20 of 51 (3) The political effect of a refusal to support a foreign Government in a combined operation that has an impact on U.S. Armed Forces. (4) The effect on relations with foreign law enforcement agencies of providing or failing to provide requested assistance. (5) The potential effect on U.S. Armed Forces should the drug trafficker be successful despite efforts of foreign law enforcement agencies or other U.S. law enforcement agencies. c. Level One and, to a lesser extent, Level Two Operations can adversely impact U.S. relations with other countries. Hence, diplomatic and political considerations must always be taken into account. Questions as to the foreign relations impact of drug suppression operations should be referred to the U.S. Embassy Narcotics Coordinator as set forth in paragraph 3–33a, below. d. To the extent necessary to accomplish the drug suppression objective stated in paragraph a, above, the USACIDC should maintain relations with other U.S. and non-U.S. police organizations and participate in the exchange of law enforcement information and support to assist investigative goals. e. All drug enforcement operations in foreign countries will be conducted in accordance with the provisions of SOFA or other international agreements. f. The USACIDC drug suppression operations overseas represent an effort to counter a significant threat to the health, welfare, morale, and readiness of the Army. In view of the significant Army interest involved, USACIDC narcotics control efforts are generally within the usual SOFA arrangements. However, if any USACIDC investigative activity is outside the authority of such provisions (for example, a host country law enforcement agency requests USACIDC interpreter assistance in a narcotics case having no military interest) the International Narcotics Control Section of the Foreign Assistance Act of 1961 applies. Therefore, when the action to be taken is not within a SOFA arrangement, no USACIDC or other Army personnel or employee may “engage or participate in any direct police arrest action in any foreign country” or “interrogate or be present during the interrogation of any U.S. person arrested in a foreign country with respect to narcotics control efforts without the written consent of such person” (22 USC 2291(c)). 3–33. Approvals and coordination All USACIDC drug suppression operations will be conducted in accordance with the following provisions: a. Embassy narcotics coordinators. The general scope of all levels of operations in a foreign country must be fully coordinated with the Drug Enforcement Administration (DEA) representative and approved by the U.S. Embassy Narcotics Coordinator to ensure compliance with U.S. Embassy policy. In addition, prior case-by-case approval by the Embassy Narcotics Coordinator is required for all Level One Operations. Approval in individual cases will be obtained by the USACIDC group commander before seeking DA and DOD approval. In approving cases, the embassy narcotics coordinator will confirm with the DEA representative that DEA is unable to provide necessary investigative resources. The embassy narcotics coordinator should be contacted regarding Level Two or Three operations if it appears at any time before or during an operation that the operation may adversely affect U.S. foreign relations. b. Foreign Governments. Level one and significant off-post Level Two drug suppression operations will be con- ducted only if, and to the extent requested by, the host country police agency and with the knowledge and concurrence of an appropriate agency in the Government of that country. However, in countries where an agreement giving prior approval to such operations is in effect, the operations may be conducted as prescribed by the agreement. c. Commanders of Army component commands. Must approve all Level One Operations on a case-by-case basis. The USACIDC group commander must obtain this approval prior to seeking DA or DOD approval. d. Department of the Army and Department of Defense. All Level One Operations will be approved on a case-by- case basis by DA and DOD. Requests for approval should be forwarded through USACIDC command channels to the Office of the Army General Counsel. The DA and DOD approval is also necessary prior to the initial commencement of level One Operations in a country. In all cases approved by DA and DOD, the USACIDC will provide periodic follow-up reports explaining the extent and results of off-post activities and all other significant aspects of the approved operations. Section VI U.S. Army Criminal Investigation Command support to the Army and Air Force Exchange System 3–34. Purpose This section sets forth Army policy to support Army-Air Force Exchange Service (AAFES) with criminal investiga- tions and law enforcement functions in conjunction with the U.S. Air Force Office of Special Investigations (AFOSI). 3–35. Air Force Office of Special Investigations The Air Force Office of Special Investigations (AFOSI) is the executive agency providing criminal investigation support for AAFES as agreed upon by the Secretaries of the Army and Air Force. 14 AR 195–2 • 15 May 2009 Case 1:15-cv-00031-CKK Document 20-2 Filed 06/19/17 Page 21 of 51 3–36. Air Force Office of Special Investigations responsibilities The AFOSI, as the executive agency, is responsible for overall coordination of investigations relating to AAFES matters, for ensuring mutual exchange of information by AFOSI and USACIDC elements at all echelons, and for making recommendations to USACIDC elements in cases involving overlapping or conflicting jurisdiction, or other- wise requiring special handling. a. The AFOSI will exercise its responsibility in a way that preserves the individual authority of the U.S. Air Force and Army law enforcement elements. b. The AFOSI responsibilities include— (1) Providing the personnel to consolidate all investigations arising at HQ, AAFES, overseas Exchange System headquarters, and at CONUS Exchange Region headquarters. Matters may be investigated by AFOSI or Air Force security police as determined by Air Force regulations, which will determine if AFOSI or the security police could more appropriately conduct the investigation. (2) Conduct all investigations concerning: (a) Procurement and contract fraud investigation at HQ, AAFES, and at Exchange System and exchange Region headquarters, regardless of location. A Joint investigation may be conducted when located on Army installations. (b) Conduct all criminal and fraud investigations arising at HQ, AAFES. (c) Exchange facilities or offices located on Air Force installations (d) Exchange facilities, offices, or activities not located on installations of either the U.S. Air Force or the Army, but primarily serving Air Force personnel or installations. (3) Serves as the executive representative and professional consultant to the AAFES Commander. (4) Taking part with Army law enforcement activities on Joint investigations. c. Does not investigate an individual or activity under Army jurisdiction without knowledge and concurrence of the Commander, USACIDC. d. Any major disagreement regarding the conduct of AAFES investigations will be resolved between the Command- er, AFOSI, and the Commander, USACIDC or the Chief, Law Enforcement Division, Office of the Provost Marshal General, HQDA, if involving installation law enforcement. 3–37. Army law enforcement responsibilities The AAFES may be investigated by the USACIDC or installation law enforcement as determined by appendix B. Army law enforcement elements are responsible for conducting all investigations concerning: a. Exchange facilities, offices, or activities located on Army installations. Procurement and contract fraud investiga- tions at HQ, AAFES, Exchange System, and exchange Region headquarters located on Army installations may be investigated jointly, although primary responsibility remains with AFOSI. b. Exchange facilities, offices, or activities not located on installations of either the Air Force or the Army, but primarily serving Army personnel or installation. c. Other exchange facilities as agreed on between AFOSI, USACIDC and the Office of the Provost Marshal General. The Chief, Law Enforcement Division, Office of the Provost Marshal General, HQDA is the responsible official for coordinating matters related to installation law enforcement support to AAFES. 3–38. General guidelines on types of crimes The following crimes are particularly applicable to the activity of AAFES and should be referred for investigation in accordance with appendix B: a. Fraud. (1) The AAFES should refer to Army law enforcement elements any manipulation or alteration of records to perpetrate a fraud affecting only one local exchange facility. (2) The AAFES should refer to AFOSI all complaints involving the centralized procurement of goods, services, or concession contracts affecting the AAFES system. Joint investigation may be conducted when the offense occurs on Army installations. b. Pilferage. Promptly refer to Army law enforcement elements for investigative determination of any loss strongly suspected as pilferage by AAFES employees. c. Break-ins. The AAFES will refer to Army law enforcement elements all housebreaking of exchange facilities and warehouses. Usually, this type of offense necessitates a crime scene search requiring investigative expertise. d. Bad checks. (1) Insufficient funds. The AAFES usually administratively processes insufficient funds and checks bearing the true name of the maker. (2) Forgery. The AAFES will refer to Army law enforcement elements checks not bearing the true name of the maker. e. Inventory variance. Normally, AAFES will not refer inventory variances to Army law enforcement elements for investigation unless an internal management review conducted by AAFES indicates criminal involvement. 15AR 195–2 • 15 May 2009 Case 1:15-cv-00031-CKK Document 20-2 Filed 06/19/17 Page 22 of 51 f. Shoplifting. The AAFES Safety and Security personnel must report incidents of shoplifting to the installation law enforcement activity for investigation. Under extraordinary circumstances or when specialized investigative techniques are required, complaints of shoplifting may be investigated by USACIDC. For example, specialized techniques may be required when systematic, undetected shoplifting is apparent and professional criminal activity is suspected. g. Misuse of exchange privileges. The AAFES will refer misuse of exchange privileges to Army law enforcement elements only if misuse indicates exploitation for commercial purposes or, in overseas areas, for black-marketing or customs violations. h. Other violations. In overseas areas, AAFES will refer to Army law enforcement elements other violations involving AAFES matters or facilities committed to the extent or degree indicative of professional criminal activity such as: theft of goods in transport, customs violations, black-marketing, counterfeiting, and currency manipulations. Chapter 4 Investigative Records, Files, and Reports 4–1. Policy Investigative records, files, and reports will be prepared, maintained, and released by USACIDC elements as prescribed by AR 340–21, AR 25–55, AR 25–400–2, AR 190–45, this regulation, and other applicable laws, regulations, or directives. 4–2. Preparation and maintenance a. Policies and procedures. The Commanding General, USACIDC, will establish policies and procedures for the preparation and maintenance of investigative records and reports as prescribed in this and other applicable regulations. b. Investigative forms. This regulation is the prescribing directive for DA Form 2804 (Crime Records Data Refer- ence). This form will be utilized as an index card for subjects, suspects, and victims of each USACIDC ROI, for subjects of MPI ROIs, and for subjects of MPRs forwarded to the Director, USACRC, for filing. The Automated Criminal Investigative and Intelligence System and Centralized Operations Police Suite produce the form; however, under some circumstances, such as deployments, the form may be produced manually. The MP/MPI/DAC detectives will use DA Form 2804 for subjects of MPI ROIs and MPRs forwarded to the Director, USACRC, with the report. See appendix C for instructions on completing this form. c. Investigative files. (1) The CG, USACIDC, will establish policies and procedures for the transmittal and maintenance of USACIDC investigative records and reports; recommend to DA, Army Records Management and Declassification Agency stand- ards for the retention of this material; direct the conduct of special studies and research utilizing data contained therein; and determine the release ability of information in these files. (2) The CG, USACIDC, will recommend to DA, Army Records Management and Declassification Agency, stand- ards for the retention of selected MPI ROIs and MPRs submitted to the USACRC in accordance with AR 190–45 and for the release of information. d. Requirements control. USACIDC, MP, MPI, and DAC Detective investigative reports are exempt from require- ments control under AR 335–15, paragraph 5–2b(6). e. Classification and safeguards. (1) The USACIDC investigative records and reports will be marked “FOR OFFICIAL USE ONLY” (FOUO) in accordance with AR 25–55, paragraph 4–200, and any clarifying guidance issued by the Commanding General, USACIDC. The USACIDC investigative records and reports are exempt from automatic termination of protective marking. However, when investigative records and reports, or portions thereof, are inserted in, or attached to a record of trial by courts-martial or released outside DOD, the FOUO markings will be automatically cancelled. When the records or reports contain National defense information, classifying and handling will be in accordance with AR 380–5. (2) Access to USACIDC reports will be limited to those individuals whose official duties require them to have access to such reports and should be restricted to the minimum number of persons necessary. (3) Reports procured from USACIDC elements or the USACRC when not under personal control of an authorized individual will be stored in a locked room, file cabinet, desk, shelf-file, or under other conditions which furnish an equivalent or greater degree of physical security. (4) Reports provided by the USACIDC will be destroyed by the requesting agency upon completion of the action for which requested. As a minimum, all USACIDC reports will be destroyed following procedures for FOUO material as described in AR 25–55, paragraph 4–501. Classified reports will be destroyed in accordance with the provisions of AR 380–5, chapter 3. 4–3. Release and use of information a. Release of investigative information. “Release of investigative information” includes any visual access, oral 16 AR 195–2 • 15 May 2009 Case 1:15-cv-00031-CKK Document 20-2 Filed 06/19/17 Page 23 of 51 disclosure, explanation of contents, or reproduction of material in investigative records, reports, or related documents of USACIDC origin. b. Release of U.S. Army Criminal Investigations Command investigative records and reports of investigation. Release is authorized when it conforms with this regulation, AR 190–45, AR 195–6, AR 340–21, and policy on external agency information, as applicable. c. Distribution. Routine distribution for final USACIDC and MPI ROIs will be as follows: (1) Routine distribution within DOD, but external to USACIDC, of final USACIDC ROIs will be through the next higher field grade commander to the commander responsible for initiation of disciplinary or corrective action. Copies will also be provided to the staff judge advocate supporting the action commander, the installation law enforcement activity responsible for law enforcement in the area in which the incident occurred, and as further directed by the Commanding General, USACIDC. Classified ROIs will not be distributed routinely. Classified information will be distributed in accordance with AR 380–5, chapter 2. (2) Routine distribution within DOD, but external to the installation law enforcement activity, of final MPI ROIs will be in accordance with AR 190–45, chapter 3. (3) Disclosures outside DOD, under the authority of this paragraph, must be accounted for in accordance with appropriate USACIDC and MP regulations. (4) When the disclosure of a USACIDC investigation presents a threat of the possible compromise of an operation or investigation, USACIDC may restrict distribution of the report(s) to USACIDC channels only. The decision for limited distribution will be an operational determination based on the facts of each case. Once the potential for compromise no longer exists, the restriction will be lifted and a status report dispatched to all parties requiring notification. d. Law enforcement criminal intelligence exchange. (1) Disclosure of criminal intelligence originated or maintained by the USACIDC may be made to any federal, state, local, or foreign law enforcement agency that has an investigative or law enforcement interest in the matter disclosed, provided the disclosure is not in contravention of any law, regulation, or directive, as applied to law enforcement activities. Disclosures under this paragraph to a non-DOD law enforcement element are a routine use under the Privacy Act and must be accounted for in accordance with AR 340–21, paragraph 3–4. Classified criminal intelligence will be disseminated in accordance with the provisions of AR 380–5, chapter 2. (2) Acquisition of criminal intelligence from Federal, state, local, or foreign law enforcement agencies is authorized provided it relates to a matter within USACIDC investigative authority or responsibility. Criminal intelligence may be acquired for the purpose of determining whether it meets the criteria of this paragraph, but will not be retained if determined to be outside its scope. e. Sensitive investigative information. The identity of sources, information pertaining to USACIDC investigative techniques, and data contained in internal USACIDC records, reports, or indexes thereof, will be released only as authorized by paragraph d, above, or by the Commanding General, USACIDC. All other inquiries or requests regarding this type of information, not made under the provisions of the paragraph below, will be forwarded to the Director, U.S. Army Crime Records Center (CICR–FP), 6010 6th Street, Fort Belvoir, VA 22060–5585. f. Juvenile records. (1) Investigative information pertaining to juveniles identified in any USACIDC report as suspects, subjects, or victims may be disclosed only as provided below. The status of “juvenile” is determined with reference to the age of the person as of the date of the offense. (a) To those persons in the normal distribution channels of USACIDC reports. (b) To other law enforcement authorities when information acquired or maintained by USACIDC indicates criminal activity which may fall within another law enforcement agency’s jurisdiction or responsibility. (c) To other persons as required or authorized by law (for example, parents, pursuant to the Juvenile Justice Act of 1992 (42 USC 72) and 18 USC 5033). (2) The fact that the individual to whom the information pertains has become an adult does not alter the protection provided juvenile records. The USACIDC reports pertaining to juvenile subjects, suspects, or victims will be marked so that they are readily identifiable as juvenile records when filed with other records. This requirement also applies when automated indexing of juvenile records is utilized. (3) Any order from a Federal or state court of competent jurisdiction directing the sealing of juvenile records or juvenile court proceedings will be attached to the file at the local level and, if appropriate, at the USACRC. When it appears that the terms of a court order or statute pertaining to the sealing of juvenile records or court proceedings restrict DOD use of records remaining in the custody of the USACIDC, clarification or guidance must be obtained from the Commanding General, USACIDC (CIJA–ZA), 6010 6th Street, Fort Belvoir, VA 22060–5506. (4) Requests for release of juvenile records that appear to conflict with the guidance in this regulation and proposed denials for such USACIDC juvenile records will be forwarded promptly to the Commanding General, USACIDC (CIJA–ZA), for determination of the USACIDC position and response. g. Requests for information. Legislative or civilian judicial requests from Federal, state or foreign Governments for access to, or copies of, USACIDC reports or information from USACIDC investigative efforts will be forwarded to the 17AR 195–2 • 15 May 2009 Case 1:15-cv-00031-CKK Document 20-2 Filed 06/19/17 Page 24 of 51 Commanding General, USACIDC (CIJA–ZA), 6010 6th Street, Fort Belvoir, VA 22060–5506. Congressional requests will be processed in accordance with AR 1–20, paragraph 2–3, and AR 340–21, paragraph 3–2. Civilian judicial requests or subpoenas, including those originated by prosecution and defense counsel, will also include that information required by AR 27–40, chapter 7. The USACIDC field elements will not release information without prior approval of the Commanding General, USACIDC (CIJA–ZA), 6010 6th Street, Fort Belvoir, VA 22060–5506. h. Official requests. Official requests for information from USACIDC ROIs from agencies of the executive branch of the Federal Government identified as routine users in AR 340–21, paragraph 3–2, and similar requests from other DOD components, will be referred to the Director, U.S. Army Crime Records Center, 6010 6th Street, Fort Belvoir, VA 22060–5585. The Director, USACRC, is authorized direct communication with these agencies and components for this purpose. i. Disclosure. Individuals, agencies, or components that receive USACIDC investigative reports or other information may further disclose such material only for administrative, nonjudicial, or judicial purposes or proceedings. No other disclosure is permitted without the prior approval of the Commanding General, USACIDC. These limitations do not apply to requesters or recipients under the Freedom of Information or Privacy Acts. (See para 4–4.) j. News media requests. Inquiries from news media concerning ongoing criminal investigations will be responded to by USACIDC elements through the public affairs officer of the appropriate supported command. The USACIDC supervisors are authorized to withhold any information, the release of which, in their determination, may jeopardize the successful completion of the investigation and/or apprehension of perpetrators or which meets the criteria of AR 25–55, paragraph 5–101d(2). News media requests under AR 25–55 for USACIDC criminal investigative information not resolved at the investigating element’s level may be directed to the Commanding General, USACIDC (CIIO–PA), 6010 6th Street, Fort Belvoir, VA 22060–5506. Other records requested by the news media through public affairs channels should be released upon request only with prior approval of HQ, USACIDC (CIIO–PA). k. Other requests. All other requests not specifically addressed above for copies of USACIDC investigative reports or information will be referred to the Director, U.S. Army Crime Records Center (CICR–FP), 6010 6th Street, Fort Belvoir, VA 22060–5585. 4–4. Individual requests for access to, or amendment of, U.S. Army Criminal Investigations Command reports of investigations a. Access to U.S. Army Criminal Investigations Command reports. All requests for access to USACIDC reports made under the Privacy Act or Freedom of Information Act will be processed in accordance with AR 340–21, paragraph 2–1, and AR 25–55, paragraph 5–101, respectively. b. Amendment of U.S. Army Criminal Investigations Command reports. The USACIDC ROIs are exempt from the amendment provisions of the Privacy Act and AR 340–21, paragraph 2–10e. Requests for amendment will be considered only under the provisions of this regulation. Requests to amend or unfound offenses in USACIDC ROIs will be granted only if the individual submits new, relevant, and material facts that are determined to warrant revision of the report. The burden of proof to substantiate the request rests with the individual. Requests to delete a person’s name from the title block will be granted if it is determined that credible information did not exist to believe that the individual committed the offense for which titled as a subject at the time the investigation was initiated, or the wrong person’s name has been entered as a result of mistaken identity. The decision to list a person’s name in the title block of a USACIDC ROI is an investigative determination that is independent of judicial, nonjudicial, or administrative action taken against the individual or the results of such action. Within these parameters, the decision to make any changes in the report rests within the sole discretion of the Commanding General, USACIDC. The decision will constitute final action on behalf of the Secretary of the Army with respect to requests for amendment under this regulation. c. Submission of requests. Requests for access to, or amendment of, USACIDC investigative reports will be f o r w a r d e d t o t h e D i r e c t o r , U . S . A r m y C r i m e R e c o r d s C e n t e r ( C I C R – F P ) , 6 0 1 0 6 t h S t r e e t , F o r t B e l v o i r , V A 22060–5585. Chapter 5 U.S. Army Crime Records Center, U.S. Army Criminal Investigations Command 5–1. General The USACRC will receive and maintain the permanent files of USACIDC, selected MPI ROIs, selected MPRs, and commander’s reports of disciplinary or administrative action taken (DA Form 4833). The Director, USACRC, will ensure the retention and proper use of these records and furnish data and copies of files, documents, or information there from to persons or agencies authorized to receive such information. The Director will refer requests to agencies controlling release of the requested information. For crime records purposes, the Director will maintain liaison for the 18 AR 195–2 • 15 May 2009 Case 1:15-cv-00031-CKK Document 20-2 Filed 06/19/17 Page 25 of 51 Commanding General, USACIDC, the Defense Security Services, Intelligence and Security Command, Defense Central Index of Investigations (DCII), the DOD National Agency Check Center, and other Federal agencies, as appropriate. 5–2. Functions The Director, USACRC, will— a. Receive and file all records and reports as directed by the Commanding General, USACIDC. b. Receive and file MPRs and MPI reports acquired under the provisions of AR 190–45, paragraph 1–4e and 2–1j. c. Process for filing all USACIDC and MPI ROIs, other agency criminal investigation reports, and MPRs, to include review of offense coding and ensure that each report is administratively complete. d. Provide emergency and routine records checks for provost marshals or security officers, USACIDC elements, DA, DOD, and other law enforcement agencies identified by the Commanding General, USACIDC, as routine users of records maintained by the USACRC. e. Operate and maintain criminal investigative data reference indexes. f. Provide DCII with indexing data for individuals listed as subjects of all USACIDC ROIs and subjects of MPI and MP reports. g. Develop specialized statistics and reports pertaining to crime within the Army for the USACIDC as required by HQDA. h. Transmit on request, for law enforcement purposes, copies of USACIDC and MPI ROIs and MP reports to provost marshals or security officers, USACIDC elements, DA, and Defense officials who are authorized to obtain and use reports, and other law enforcement agencies identified by the Commanding General, USACIDC, and the Provost Marshal General as routine users of USACIDC and MP records respectively. i. Implement applicable release policy and procedures as delineated in paragraphs 4–3f, h, and i, and 5–2 h, k, and l. j. Refer requests or requesters to appropriate agencies if information requested does not fall within the USACRC control for release action. k. Receive official requests for information from USACIDC ROIs from agencies of the Federal Government identified as routine users in AR 340–21, paragraph 3–2, and similar requests from DOD components. The Director, USACRC, is authorized direct communication with these agencies for this purpose. l. Upon request, transmit copies of final USACIDC and MPI ROIs and MP reports reflecting only founded known subjects to DA and DOD agencies and elements of the executive branch of the Federal Government authorized by statute, executive order, directive, or regulation to have access to law enforcement files to make determinations regarding: (1) Suitability for access to classified National Defense Information. (2) Filing of unfavorable information in official military personnel files (AR 600–37, para 3–3c). (3) Accreditation as provided in AR 190–13, paragraph 3–5, and AR 190–30, paragraph 1–4. (4) Suitability for sensitive positions such as child care providers and promotion to senior positions in the Army. m. Upon written request, transmit USACIDC reports and MP reports to the Office of The Inspector General, HQDA, for those activities authorized in AR 20–1, paragraph 1–9d. 5–3. Routine investigative name checks a. The USACRC will, upon request by authorized individuals, conduct a search of available files and indexes to determine if information pertaining to a particular individual is on file. Commanders will oversee requests to ensure submissions are in accordance with this regulation. b. Name checks are made by full name, date of birth, place of birth, social security number, and former military service number. Military police, security police, and USACIDC elements requesting routine name checks must provide as much of this information as possible and may submit such requests by letter or message to the USACRC. Requests for name checks for other than law enforcement investigation purposes will state the reason for the request and the use to be made of the data. The specific statute, directive, or regulation upon which the request is based will be cited. Requests for law enforcement purposes will include, if available, the MPR number, the USACRC cross-reference number for the military police or security police, and the sequence number or ROI number for USACIDC reports. 5–4. Immediate name checks a. The USACRC has facilities available to conduct expeditious checks for criminal justice purposes. If, during the course of a criminal investigation, the requirement arises to determine if an individual has any previous military criminal record, this may be done by using either telephone, facsimile, or electrical message. Requests for immediate name checks should be limited to situations in which an investigative need for immediate results exists and will include the locally assigned report or sequence number. b. The format to be followed in requesting name checks by telephone is at appendix F. c. Telephonic name checks by appropriate officials pursuant to Freedom of Information Act (AR 25–55, paragraph 4–300) and Privacy Act (AR 340–21, para 3–2) requests are authorized. 19AR 195–2 • 15 May 2009 Case 1:15-cv-00031-CKK Document 20-2 Filed 06/19/17 Page 26 of 51 5–5. Requesting U.S. Army Crimes Records Center files and reports a. Requests for USACIDC and MPI ROIs and MPRs as outlined in paragraph 4–3 and AR 190–45, paragraph 3–4c, will be forwarded to the Director, U.S. Army Crime Records Center (CICR–FP), 6010 6th Street, Fort Belvoir, VA 22060–5585. b. Requests for these reports in connection with law enforcement and investigative activities should include the following: (1) Full name of the subject, or victim of the investigation (and any alias used). (2) Place and date of birth. (3) Social security number and/or former military service number. (4) Complete ROI number. c. Requests in connection with law enforcement or investigative activities for investigative files of the AFOSI, the Naval Criminal Investigative Service, the U.S. Army Intelligence and Security Command, DOD Inspector General for Investigations, and the Defense Investigative Service may also be sent to the USACRC, which will refer them to the appropriate agency. d. Requests for CID and MPI ROIs and MPRs or information from the reports for other than law enforcement purposes will include the following: (1) Full name of the individual. (2) Place and date of birth. (3) Social security number and/or former military service number. (4) Nature and purpose of the request, including the statute, directive, or regulation governing such activity and authorizing that activity to use crime records. 5–6. Use of information contained in U.S. Army Criminal Investigations Command and military police reports If a military police or criminal investigative record is used as a basis for denying any individual a right, privilege, or benefit to which that individual is entitled by Federal law, or for which he would otherwise be eligible, the individual affected will normally be granted access to the record except as provided by this regulation, AR 25–55, paragraph 5–101, or AR 340–21, paragraph 2–9. Classified information will be released in accordance with AR 380–5, chapter 6. Such information will not be released until verification of the person to whom released. Chapter 6 U.S. Army Criminal Investigation Laboratory 6–1. General The USACIL provides forensic laboratory assistance to U.S. Army investigative elements, other DOD investigative agencies, and Federal law enforcement agencies as appropriate. 6–2. Responsibilities The Commanding General, USACIDC, is responsible for policies and procedures concerning the quality control and technical proficiency in USACIL operations, and training laboratory examiners. 6–3. Request for examination a. All requests for laboratory examination will be forwarded to the Director, U.S. Army Criminal Investigation Laboratory, 4930 N. 31st Street, Forest Park, GA 30297–5205, in accordance with AR 195–5, unless an exception is granted by the Director, USACIL. b. Evaluation of materials in investigations involving allegations of product substitution may require unique testing procedures beyond the capabilities of the USACIL. In these cases, DA components with appropriate testing capabilities will, upon request of the investigating USACIDC element, provide testing support necessary to completely identify the defective nature of substituted products. Costs associated with such tests, whether provided by an Army, DOD, or commercial testing facility, will be assumed by the procurement program involved in the investigation. c. Requests for examinations not conducted internally by the USACIL (that is, outside the scope of traditional criminalistics disciplines) should be coordinated through the USACIL prior to submission. d. The USACIL will not re-examine evidence which has been previously examined at the USACIL in the same forensic discipline or has been examined in the same forensic discipline by another laboratory. Exceptions are as follows: (1) When ordered to do so by a court of competent authority 20 AR 195–2 • 15 May 2009 Case 1:15-cv-00031-CKK Document 20-2 Filed 06/19/17 Page 27 of 51 (2) The USACIL has more exacting and sophisticated equipment or techniques for the examination, which could significantly improve the reliability of the findings, as determined by the Director, USACIL. 6–4. Court appearance a. If temporary duty travel is involved, the appearance of laboratory examiners at a legal proceeding will, to the extent practicable, be requested by memorandum or electrical message to reach the Director, USACIL, at least 10 working days prior to the requested appearance date. This lead-time is necessary to avoid conflicts with other commitments and to allow time for administrative processing and court preparation. The request will include at a minimum: (1) The USACIL referral number (from laboratory report). (2) Name of the accused. (3) Examiner(s) completing the examination(s). (4) Date, time, place, and to whom the examiner is to report. (5) Number of days temporary duty is required. (6) The DOD fund cite for travel and per diem. The examiner is not committed to the request for appearance at a legal proceeding until the USACIL receives the fund cite. b. The Director, USACIL, will have appropriate orders published. If an examiner is not available, the Director, USACIL, will notify the requester by return message explaining the reason for the nonavailability of the witness, such as a conflict with another court appearance, and give the exact dates that the witness will be available. c. When the presence of an examiner is desired for trial, the examiner should be requested to appear the day the examiner is expected to testify, rather than the day the trial is to begin. This will assist in reducing, to a minimum, the examiner’s absence from the laboratory. Additionally, the examiner should be released, in order to return to the USACIL, as soon after testifying as permitted. d. Unless otherwise approved by the Director, USACIL, examiners will not be made available as expert witnesses to provide testimony contradicting results of laboratory examinations conducted by other USACIL examiners. Similarly, USACIL examiners will not be made available as consultants to defense counsels. e. The USACIL examiners will be made available for pre-trial conferences with defense counsels and/or trial counsels for specific cases, for the purpose of providing sufficient information for the counsels to understand the findings rendered by the examiners. Whenever possible, pretrial conferences should be conducted telephonically, or through video teleconference, in advance of an examiner’s travel to the site of the legal proceeding. Coordination and arrangements for such conferences are the responsibility of the trial counsel for the specific case. 6–5. On scene assistance When particular expertise is required to process crime scenes, the presence of laboratory examiners may be requested by USACIDC supervisors from the Director, USACIL. 21AR 195–2 • 15 May 2009 Case 1:15-cv-00031-CKK Document 20-2 Filed 06/19/17 Page 28 of 51 Appendix A References Section I Required Publications AR 1–20 Legislative Liaison (Cited in para 4–3g.) AR 10–87 Army Commands, Army Service Component Commands, and Direct Reporting Units (Cited in paras 2–1a and , 3–11.) AR 20–1 Inspector General Activities and Procedures (Cited in para 5–2m.) AR 25–1 Army Knowledge Management and Information Technology (Cited in para 3–28.) AR 25–55 The Department of the Army Freedom of Information Act Program (Cited in paras 4–1, 4–2e(1), 4–2e(4), 4–3j, 4–4a, 5–4c, and 5–6.) AR 25–400–2 The Army Records Information Management System (ARIMS) (Cited in para 4–1.) AR 27–10 Military Justice (Cited in para 1–7g(1) and 3–1b.) AR 27–40 Litigation (Cited in para 4–3g.) AR 40–66 Medical Record Administration and Healthcare Documentation (Cited in para 3–15b.) AR 190–11 Physical Security of Arms, Ammunition, and Explosives (Cited in paras 3–3a, 3–8d, 3–24a, and appendix E.) AR 190–13 The Army Physical Security Program (Cited in para 5–2l(3).) AR 190–14 Carrying of Firearms and Use of Force for Law Enforcement and Security Duties (Cited in paras 3–21a and, 3–24a.) AR 190–30 Military Police Investigations (Cited in para 1–7a and 5–2l(3).) AR 190–45 Law Enforcement Reporting (Cited in paras 1–7b(1), 1–7l, 3–17a, 3–17b, 3–17d, 4–1, 4–2c2, 4–3b, 4–3c(2), 5–2b, 5–5a, and app C.) AR 190–47 The Army Corrections System (Cited in para 3–21f.) AR 195–5 Evidence Procedures (Cited in para 6–3a.) AR 340–21 The Army Privacy Program (Cited in paras 1–4e(2), 1–7k(5), 1–7k(6), 3–14c, 4–1, 4–3b, 4–3d(1), 4–3g, 4–3h, 4–4a, 4–4b, 5–2k, 5–4c, and 5–6.) 22 AR 195–2 • 15 May 2009 Case 1:15-cv-00031-CKK Document 20-2 Filed 06/19/17 Page 29 of 51 AR 350–28 Army Exercises (Cited in para 2–2a.) AR 380–67 The Department of the Army Personnel Security Program (Cited in para 3–16a and 3–16b.) AR 420–1 Army Facilities Management (Cited in para 3–26a and 3–26b.) AR 600–85 The Army Substance Abuse Program (ASAP) (Cited in para 3–7.) AR 670–1 Wear and Appearance of Army Uniforms and Insignia (Cited in para 3–25c and 3–27d.) AR 735–5 Policies and Procedures for Property Accountability (Cited in para 3–3a(1)(a).) DOD Guide 4500.54–G Travel Overseas (Cited in para 3–12b.) (Available at http://www.dtic.mil/whs/directives.) DOD 5200.2–R Personnel Security Program (Cited in para 3–16a and 3–16b.) (Available at http://www.dtic.mil/whs/directives.) DOD 5500.7–R The Joint Ethics Regulation (Cited in paras 1–7b(1), and 3–29.) (Available at http://www.dtic.mil/whs/directives.) DOD 6025.18–R DOD Health Information Privacy Regulation (Cited in para 3–15b.) (Available at http://www.dtic.mil/whs/directives.) DODI 5525.07 Implementation of the Memorandum of Understanding (MOU) Between the Departments of Justice and Defense Relating to the Investigation and Prosecution of Certain Crimes (Cited in para 3–1b.) (Available at http://www.dtic.mil/ whs/directives.) UCMJ Uniform Code of Military Justice (Cited in paras 1–6a, 1–7b(1), 1–7g, 1–7g(2), 3–1b(2), 3–3a(1), 3–18, and 3–21a.) (Available at http://www.au.af.mil/au/awc/awcgate/ucmj.htm.) Section II Related Publications A related publication is a source of additional information. The user does not have to read it to understand this regulation. DOD publications are available at http://www.dtic.mil/whs/directives. U.S. Codes are available at http:// www.gpoaccess.gov/uscode. AR 40–63 (corrected title) Opthamalic Services AR 195–3 Acceptance, Accreditation, and Release of United States Army Criminal Investigation Command Personnel AR 195–6 Department of Army Polygraph Activities AR 335–15 Management Information Control System AR 380–5 Department of Army Information Security Program 23AR 195–2 • 15 May 2009/RAR 6 September 2011 Case 1:15-cv-00031-CKK Document 20-2 Filed 06/19/17 Page 30 of 51 AR 380–13 Acquisition and Storage of Information Concerning Non-Affiliated Persons and Organizations AR 381–20 The Army Counterintelligence Program AR 600–37 Unfavorable Information AR 700–84 Issue and Sale of Personal Clothing 28 CFR 60.3(a)(2) Judicial Administration; Authorization of Federal Law Enforcement Officers to Request the Issuance of a Search Warrant; Agencies with authorized personnel (Department of Defense) (Available at http://www.gpoaccess.gov/cfr/ index.html.) CIDR 195–1 Criminal Investigation Operational Procedures CTA 50–900 Clothing and Individual Equipment CTA 50–909 Field and Garrison Furnishings and Equipment CTA 50–970 Expendable/Durable Items DAGO 2006–22 Reinforcing the Designation of the U.S. Army Criminal Investigation Command as a Direct Reporting Unit DOD 7000.14–R, Volume 7A, Chapter 25 Subsistence Allowances DODI 5525.11 Criminal Jurisdiction Over Civilians Employed By or Accompanying the Armed Forces Outside the United States, Certain Service Members, and Former Service Members Executive Order 12333 United States Intelligence Activities (Available at: http://www.archives.gov/federal-register/codification/executive- order/12333.html.) Executive Order 12473 Courts-Martial Manual, United States, 1984 (Available at: http://www.archives.gov/federal-register/codification/ executive-order/12473.html.) FAR Federal Acquisition Regulation (Available at http://www.arnet.gov/far.) FRCP Federal Rules of Criminal Procedure (Available at http://www.uscourts.gov/rules/civil2007.pdf.) MCM Manual for Courts-Martial, United States (2008 Edition) (Available at http://www.jag.navy.mil/documents/mcm2008. pdf.) 5 USC 303 Oaths to witnesses 24 AR 195–2 • 15 May 2009 Case 1:15-cv-00031-CKK Document 20-2 Filed 06/19/17 Page 31 of 51 5 USC 552a Records maintained on individuals 10 USC 802 Article 2 of the Uniformed Code of Military Justice 10 USC 807 Article 7 of the Uniformed Code of Military Justice 10 USC 936 Authority to administer oaths and to act as a notary 10 USC 4027 Civilian special agents of the Criminal Investigation Command: Authority to execute warrants and make arrests 18 USC 1385 Use of the Army and Air Force as posse comitatus 18 USC 3261 Criminal offenses committed by certain members of the Armed Forces and by persons employed by or accompanying the Armed Forces outside the United States 18 USC 5033 Custody prior to appearance before magistrate judge 21 USC Controlled Substance Act 21 USC 812 Schedule of Controlled Substance 22 USC 2291(c) Foreign Relations and Intercourse—Policy, general authorities, coordination, foreign police actions, definitions, and other provisions 28 USC 535 Investigation of crimes involving Government officers and employees; limitations 42 USC Chapter 72 Juvenile Justice and Delinquency Prevention Act of 2002 50 USC 797 Penalty for violation of security regulations Section III Prescribed Forms Except where otherwise indicated below, forms are available as follows: DA forms are available on the Army Publishing Directorate Web site (http://www.apd.army.mil); DD forms are available from the OSD Web site (http:// www.dtic.mil/wha/directives/infomgt/forms/formsprogram.htm); SF Forms are available at http://www.gsa.gov. DA Form 2804 Crime Records Data Reference (Prescribed in para 4–2b.) Section IV Referenced Forms DA Form 2028 Recommended Changes to Publications and Blank Forms 25AR 195–2 • 15 May 2009 Case 1:15-cv-00031-CKK Document 20-2 Filed 06/19/17 Page 32 of 51 DA Form 3975 Military Police Report DA Form 4833 Commander’s Report of Disciplinary or Administrative Action DD Form 1056 (corrected title) Authorization to Apply for a “No-Fee” Passport and/or Request for Visa 26 AR 195–2 • 15 May 2009/RAR 6 September 2011 Case 1:15-cv-00031-CKK Document 20-2 Filed 06/19/17 Page 33 of 51 Appendix B Offense Investigative Responsibility B–1. Contacting organization for offense investigative responsibility The following table portrays which organization is responsible for investigating a committed criminal offense when the U.S. Army has an interest. Table B–1 Offense investigative responsibility Offense committed USACIDC Installation law enforcement Unit commander Principals of an offense listed in this appen- dix ALL when within USACIDC pur- view. ALL when within installa- tion law enforcement pur- view. All other instances. Accessory after the fact to an offense listed in this appendix ALL Attempts to commit an offense listed in this appendix ALL Conspiracy to commit an offense listed in this appendix ALL Solicitation to mutiny or commit an act of se- dition ALL Effecting an unlawful enlistment, appoint- ment, or separation ALL Violation of a punitive lawful general order or regulation. Criminal offenses not covered by a specific article such as: Currency violations, black- marketing in aggregate amount greater than, or equal to, $5,000, or more in a 30-day period; or conflict of interest. Other when in conjunction with another offense normally investigated by USACIDC. Currency violations, bla- ck-marketing in aggre- gate amount less than, or equal to, $4,999 or less in a 29-day period. All other. Cruelty, oppression, or maltreatment When in conjunction with another offense normally investigated by USACIDC; or there is a pattern of abuse (for example, detainee or trainee) and USACIDC investiga- tion is requested by battalion or brigade commander. When in conjunction with another offense normally investigated by installa- tion law enforcement. All other instances. Mutiny, sedition ALL Prisoners: releasing without proper authority; suffering to escape. ALL Unlawful detention ALL Captured or abandoned property Value greater than, or equal to, $5,000; or any property of a sen- sitive nature as described in ap- pendix E; failing to secure, report and turnover, selling, or otherwise wrongfully dealing in or disposing of; looting or pillaging. Value less than, or equal to, $4,999. False official statements When in conjunction with another offense normally investigated by USACIDC. All other. 27AR 195–2 • 15 May 2009 Case 1:15-cv-00031-CKK Document 20-2 Filed 06/19/17 Page 34 of 51 Table B–1 Offense investigative responsibility—Continued Military property of the United States. Selling or otherwise disposing of an aggregate value greater than, or equal to, $5,000, or any prop- erty of a sensitive nature as de- scribed in appendix E; Willfully damaging, destroying or losing, or willfully suffering to be lost, damaged, destroyed, sold, or wrongfully disposed of greater than, or equal to, $5,000. Selling or otherwise dis- posing of an aggregate value less than, or equal to, $4,999 or more, will- fully damaging, destroy- ing or losing, or willfully suffering to be lost, dam- aged, destroyed, sold, or wrongfully disposed of less than, or equal to, $4,999. Property other than military property of the United States. Wasting, spoiling, destroying, or damaging of an aggregate value or damage greater than, or equal to, $5,000. Wasting, spoiling, destroying, or damaging of an aggregate value or damage less than, or equal to, $4,999. Hazarding or suffering to be hazarded any vessel of the armed forces ALL Wrongful use, possession, manufacture, dis- tribution, introduction, importation, exporta- tion of controlled substances All, except as provided in para- graph 3–3a(2). As provided in paragraph 3–3a(2). Malingering involving intentional self-inflicted injury requiring hospitalization ALL Riot ALL Murder ALL Manslaughter ALL Rape, Rape of a Child, Aggravated Sexual Assault, Aggravated Sexual Assault of a Child, Aggravated Sexual Contact, Aggra- vated Sexual Abuse of a Child, Aggravated Sexual Contact with a Child, Abusive Sexual Contact, Abusive Sexual Contact with a Child, Indecent Act, Forcible Pandering, Wrongful Sexual Contact ALL, except indecent acts, when consensual. Indecent acts when con- sensual. Indecent Exposure Only when committed in conjunc- tion with another offense investi- gated by USACIDC. All other. Stalking ALL Larceny or wrongful appropriation of ves- sels, aircraft, or vehicles (to include automo- biles, bicycles, motorcycles, and all-terrain vehicles). The current value is greater than, or equal to, $30,000. The current value is less than, or equal to, $29,999. Larceny or wrongful appropriation of proper- ty, excluding vessels, aircraft, or vehicles (automobiles, bicycles, motorcycles, and all terrain vehicles). An aggregate value of greater than, or equal to, $5,000 less CTA–50; or of a sensitive nature, as defined in appendix E. An aggregate value of $1,500 to $4,999 $1,500 or less in the unit area Wrongful appropriation of a motor vehicle when damages result When damage is greater than or equal to $5,000. When damage is less than or equal to $4,999. Robbery ALL Forgery The aggregate amount is greater than, or equal to, $5,000. The aggregate amount is less than, or equal to, $4,999. Check, worthless, making, drawing, uttering, or delivering, with intent to defraud (for pro- curement of any article or thing of value) The aggregate amount is greater than, or equal to, $5,000. The aggregate amount is less than, or equal, to $4,999. Maiming ALL Forcible Sodomy ALL 28 AR 195–2 • 15 May 2009/RAR 6 September 2011 Case 1:15-cv-00031-CKK Document 20-2 Filed 06/19/17 Page 35 of 51 Table B–1 Offense investigative responsibility—Continued Arson Aggravated; or simple where property damage is greater than, or equal to, $5,000. Simple where property damage is less than, or equal to, $4,999. Extortion ALL Assault Consummated by a battery on a child under the age of 16 years; or aggravated assault when the victim is hospitalized for more than 24 hours, for other than ob- servation. Simple assaults; Aggra- vated assault when vic- tim is hospitalized for less than 24 hours. Simple assault occurring in the unit area not resulting in hospitalization. Burglary When associated with another crime normally investigated by the USACIDC. All other instances. Housebreaking When associated with another crime normally investigated by the USACIDC. All other instances. Perjury ALL Frauds against the United States The amount involved is greater than, or equal to, $5,000. The amount involved is less than, or equal to, $4,999. Bigamy In conjunction with a fraud greater than, or equal to, $5,000. In conjunction with a fraud of $4,999 or less. All other when no fraud in- volved. Bribe or graft: accepting, asking, receiving, offering, promising, or giving ALL Burning, with intent to defraud The amount involved is greater than, or equal to, $5000. The amount involved is less than, or equal to, $4,999. False pretenses (obtaining services under) Value is greater than, or equal to, $5,000. Value is less than, or equal to, $4,999. Homicide, negligent ALL Impersonating an officer, warrant officer, noncommissioned or petty officer or agent of superior authority, with intent to defraud ALL Kidnapping ALL Mail (taking, opening, secreting, destroying, or stealing) ALL Mail (depositing or causing to be deposited obscene or indecent matters in) ALL Misprision of felony ALL Obstructing justice ALL Perjury (subornation of) ALL Public record, wrongfully altering, conceal- ing, removing, mutilating, obliterating, or destroying ALL Soliciting another to commit an offense listed in this appendix (other than Article 94) ALL Stolen property, knowingly receiving, buying, concealing The aggregate value is greater than, or equal to, $5,000. The aggregate value is less than, or equal to, $4,999. Threat or hoax A bomb, device, or toxic sub- stance is found. All other instances. Identity theft In connection with fraud and or larceny $5,000 or greater. In connection with fraud and or larceny $4,999 or less or involving false documents only. Pandering ALL 29AR 195–2 • 15 May 2009 Case 1:15-cv-00031-CKK Document 20-2 Filed 06/19/17 Page 36 of 51 Table B–1 Offense investigative responsibility—Continued Prostitution Only when committed in conjunc- tion with another offense investi- gated by USACIDC. All other instances. War Trophy Offenses USACIDC Installation law enforcement Unit commander Ammunition Greater than, or equal to, 1,000 rounds Less than, or equal to, 999 rounds Art work (paintings, sculptures, and so forth) ALL Atropine ALL Edged weapons ALL Currency (U.S. and foreign) Greater than, or equal to, $5,000. Less than, or equal to, $4,999. Enemy individual equipment, any (helmets, canteens, and so forth.) ALL Enemy military equipment, any (vehicles, communication, and so forth.) ALL Explosive devices and munitions ALL Non-coalition firearms and any weapons parts ALL Suspected contraband (not previously listed) Greater than, or equal to, $5,000 Less than, or equal to, $4,999. Precious gems/metals ALL B–2. Other investigative responsibility The U.S. Army counterintelligence agents are responsible for investigating the counterintelligence aspects of treason, espionage, subversion, sedition, and terrorist activities directed against the U.S. Army and assassination or incapacita- tion of U.S. Army personnel by terrorists or agents of foreign powers. Appendix C Preparation of the DA Form 2804, Crime Records Data Reference C–1. General Potential investigative assistance can be negated by failure to provide complete data on DA Form 2804, Crime Records Data Reference, by misspelling names, or by listing incorrect data. Careful attention to the completion of this form is essential to its utility. C–2. Requirement A separate DA Form 2804 will be made for each of the following: a. Each individual, firm, or other legal entity listed as a subject of a DA Form 3975, forwarded to the USACRC, USACIDC, in accordance with AR 190–45. b. Each individual, U.S. Government agency or organization, private firm or corporation, or other legal entity listed as a victim in the report of investigation. If the individual is being deleted as a victim, the word “Deletion” will be entered in the remarks section of the form. c. Each alias or other name to include the maiden name and any present or former name of individuals for whom DA Form 2804 has been prepared in accordance with paragraphs a and b, above, when different personal identifiers (date of birth (DOB) or social security number) are used. All known names and all appropriate personal identifiers will be listed in item 6, or if insufficient space is available, in the remarks section, or on the reverse of the form. d. When there is no change in personal identifiers, each alias or other name, to include the maiden name and any 30 AR 195–2 • 15 May 2009 Case 1:15-cv-00031-CKK Document 20-2 Filed 06/19/17 Page 37 of 51 present or former name, will be entered in item 6, or, if there is insufficient space, in the remarks section, or on the reverse side of the form. There is no requirement to prepare separate forms for each name in this situation. C–3. Preparation The items on DA Form 2804 will be completed as follows (shaded blocks will be completed by the USACRC): a. Item 1, Name. Enter the last, first, and middle name of the person or name of the firm or legal entity. If deceased, enter “Deceased” immediately following the name. b. Item 2, Subject Status Code. USACRC use only. c. Item 3, Grade. The appropriate entry will be made in accordance with the following: (1) Military personnel, list the grade of the named individual, for example, “E–4,” “WO3,” “O–5.” (2) U.S. civilian employees of the U.S. Government, show the rating of the named individual, for example, “GS–07,” “WG–5.” (3) Spouses or Family members, show one of the following abbreviations to reflect relationship: (a) “FMW” for dependent wife. (b) “FMH” for dependent husband. (c) “FMS” for dependent son. (d) “FMD” for dependent daughter. (e) “FMO” for other dependent. (4) Other U.S. civilians use the abbreviation “CIV.” (5) Foreign nationals, reflect nationality, for example, “GER,” “KOR,” “THI.” d. Item 4, Major Command Activity Code. Enter the code if applicable. (1) See AR 680–29 for the two-position codes used to identify major commands and subcommands. (2) U.S. civilian employees of the U.S. Army will be coded according to the major command or activity to which their organization of employment is assigned. (3) U.S. civilian DOD employees (employed by other than U.S. Army) will be coded “DF” (Defense Agencies). (4) Military and civilian AAFES employees will be coded “JA” (Joint Activities). (5) Nonappropriated Fund (NAF) activity civilian employees employed by the U.S. Army will be coded according to the major command or activity responsible for operation of the installation on which employed. (6) Foreign military personnel assigned or attached to a U.S. Army element will be coded listing the MCAC of the U.S. Army element to which assigned or attached. (7) Spouses or Family members of U.S. military personnel will be coded to reflect the MCAC of their sponsor. (8) U.S. military personnel other than U.S. Army will be coded “DF” (Defense Agencies). e. Item 5, Social Security Number. Enter the SSN of the individual, where applicable. For foreign nationals, list passport number, identity card, or other numerical identifier, when available. f. Item 6, Aliases/Nicknames. Enter any known alias, nickname, maiden name, or other married name used by the individual named in Block 1. g. Item 7, Sex. Enter “M” for males and “F” for females. h. Item 8, Race. Enter one of the following codes: Table C–1 Race Code Code: C Race: White Explanation: Caucasian-original people of Europe, North Africa, or Middle East Code: M Race: Yellow Explanation: Asian/Mongoloid-original people of Asia, including China, Japan, and Korea Code: N Race: Black Explanation: Negroid-the black racial groups of Africa or other areas Code: R Race: Red Explanation: American Indian-original people of North America Code: X Race: Other Explanation: A racial identification not included above 31AR 195–2 • 15 May 2009 Case 1:15-cv-00031-CKK Document 20-2 Filed 06/19/17 Page 38 of 51 Table C–1 Race Code—Continued Code: Z Race: Unknown Explanation: The racial identification is not known. i. Item 9, Ethnic Group. (1) Enter one of the following ethnic codes: Table C–2 Ethnic Group Ethnic Code: 1 Race: OTHHISPANIC (Other Hispanic Descent) Explanation: Persons of Spanish extraction not determined as Mexican, Puerto Rican, Cuban, or Latin American Ethnic Code: 2 Race: USCANINDIAN (U.S./Canadian Indian Tribes) Explanation: Persons of U.S. or Canadian Indian tribes other than Aleut or Eskimo Ethnic Code: 3 Race: OTHASIAN (Other Asian Descent) Explanation: Persons of Asian descent not determined separately as Chinese, Japanese, Korean, Indian, Filipino, or Vietnamese Ethnic Code: 4 Race: Puerto Rican Explanation: Persons of Puerto Rican descent Ethnic Code: 5 Race: Filipino Explanation: Persons from the Philippine Islands and their descendants Ethnic Code: 6 Race: Mexican Explanation: Persons of Mexican descent and Chicanos Ethnic Code: 7 Race: Eskimo Explanation: Persons of Eskimo descent not including Aleuts Ethnic Code: 8 Race: Aleut Explanation: Person of Aleut descent Ethnic Code: D Race: Indian Explanation: Person from India and their descendants. Ethnic Code: E Race: Melanesian Explanation: Persons of Melanesian descent Ethnic Code: G Race: Chinese Explanation: Persons of Chinese descent Ethnic Code: J Race: Japanese Explanation: Persons of Japanese descent Ethnic Code: K Race: Korean Explanation: Persons of Korean descent 32 AR 195–2 • 15 May 2009 Case 1:15-cv-00031-CKK Document 20-2 Filed 06/19/17 Page 39 of 51 Table C–2 Ethnic Group—Continued Ethnic Code: L Race: Polynesian Explanation: Persons of Polynesian descent Ethnic Code: Q Race: OTHPACISLAND (Other Pacific Island Descent) Explanation: Persons from the Pacific Islands and their descendants not delineated separately as Melanesian, Micronesian, or Polynesian Ethnic Code: S Race: LATINAMER (Latin-American) Explanation: Persons of Central and South American descent who have Spanish heritage Ethnic Code: V Race: Vietnamese Explanation: Persons of Vietnamese descent Ethnic Code: W Race: Micronesian Explanation: Persons of Micronesian descent Ethnic Code: X Race: Other Explanation: Persons who are members of an ethnic group not listed above Ethnic Code: Y Race: None Explanation: Persons not associated with a particular group Ethnic Code: Z Race: Unknown Explanation: Persons who ethnic group is unknown (2) Persons listed in the first row below must have only one of the corresponding race and ethnic codes. No other ethnic and race combinations may be used for these persons. Table C–3 Ethnic and Race Combinations Identity: American Indian Race Code: R Ethnic Code: 8, 7, 2 Identity: Alaskan (original People) Race Code: R Ethnic Code: 8, 7, 2 Identity: Asian Race Code: M, C, N, X, Z Ethnic Code: G, J, K, 5, D, V, 3, W, L, Q Identity: Black Race Code: N Ethnic Code: X, Y, Z Identity: Hispanic Race Code: C, N, X, Z Ethnic Code: 6, 4, 9, S, 1 Identity: Other Race Code: X Ethnic Code: X, Y, Z 33AR 195–2 • 15 May 2009 Case 1:15-cv-00031-CKK Document 20-2 Filed 06/19/17 Page 40 of 51 Table C–3 Ethnic and Race Combinations—Continued Identity: Pacific Islander Race Code: M, C, N, X, Z Ethnic Code: G, J, K, 5, D, V, 3, E, W, L, Q Identity: Unknown Race Code: Z Ethnic Code: X, Y, Z Identity: White Race Code: C Ethnic Code: X, Y, Z j. Item 10, Former Service Number. Enter any previous number held by the listed individual. k. Item 11, Date of Birth. Enter the named individual’s date of birth using numerical designation for year, month, and day, in order; for example, “42–06–20” for 20 June 1942. l. Item 12, Place of Birth. Enter the city and state of birth of the named individual. Country of birth will be entered for individuals born outside the United States. m. Item 13, Report of Investigation or Military Police Report Number. All USACIDC elements will enter the ROI number, if one has been assigned. Otherwise, the USACIDC sequence number will be entered. When an ROI number is entered, it will include the primary offense code for the case under investigation. Military police will enter the MPR number and will include the primary offense code. n. Item 14, Survey Code. USACRC use only. o. Item 15, Other Offense Codes. When an ROI/MPR number has been entered in item 13, offense codes other than the primary code will be entered here. p. Item 16, Organization and Station. Enter the military unit and station to which the individual is assigned. If a military unit is inapplicable, enter the individual’s address. q. Item 17, Station Code. USACRC use only. r. Item 18, Date Opened. USACRC use only. s. Item 19, Date Closed. USACRC use only. t. Item 20, Drug Involvement. USACRC use only. u. Item 21, Other Involvement. USACRC use only. v. Item 22, File Location. USACRC use only. w. Item 23, Suspect/Subject/Victim. Check the appropriate box. Military police will indicate subjects only. x. Item 24, Disposition. USACRC use only. y. Item 25, Date Reported. Enter the date the complaint was reported to the preparing element. z. Item 26, Action Taken. When item 23 reflects a check in the “Subject” box, check the appropriate box in item 26 to indicate whether a report of action taken has been received. Appendix D Telephone Name Check Format D–1. General The USACRC, USACIDC, will conduct records checks on an immediate basis upon receipt of a telephonic request from an authorized user of USACRC services. D–2. Immediate action request procedures a. Immediate action requests may be made to USACRC on a 24-hour-a-day basis by telephoning DSN: 656–0397 or (703) 806–0397. b. Requests transmitted by facsimile will not exceed 20 names of the total number that can be listed double spaced on a single sheet of letter-size paper. c. Requests transmitted orally by telephone will not exceed five names. d. Search may be requested of the Criminal Records Files, the Defense Central Index for Investigation Files, or both. e. The requester will be provided the results of the check of the USACRC records during the same telephone connection. 34 AR 195–2 • 15 May 2009 Case 1:15-cv-00031-CKK Document 20-2 Filed 06/19/17 Page 41 of 51 f. The requester will provide the following information when making a telephone name check: (1) Requestor’s name, organization, and credential or sequence number. The information required. Authorization for the receipt of the requested information. If available, installation law enforcement activity will provide the MPR number or the USACRC cross reference number. The USACIDC requesters will provide the sequence number or report of investigation number. (2) Last name, first name, middle name or initial; date and place of birth; social security number; and service number of the person on whom the check is being requested. Omit any element not available. D–3. United States Army Crime Records Center reply The USACRC reply will state that no record is on file or will cite the specific files available. If any USACRC files are involved, additional data pertaining to the individual(s) will be provided. D–4. Recording telephone name checks The results of all telephone name checks will be recorded for accountability and retained in the appropriate USACIDC or military police file. 35AR 195–2 • 15 May 2009 Case 1:15-cv-00031-CKK Document 20-2 Filed 06/19/17 Page 42 of 51 Appendix E Sensitive Items In accordance with AR 190–11, paragraph 1–8a and b, and appendixes B and E, the USACIDC will conduct a preliminary investigation into losses of all Category I and II AA and E items, regardless of dollar value, to determine if a crime was committed. The USACIDC will conduct a preliminary investigation into losses of Category III and IV items meeting the quantities listed below regardless of dollar value, to determine if a crime was committed. E–1. Missiles and rockets All non-nuclear missile systems in a ready-to-fire configuration or when the launcher tube and explosive rounds are jointly stored or transported. E–2. Arms One or more of the following: a. Machine guns and automatic weapons up to, and including, .50 caliber. b. Launch tube and grip stock for Stinger missile. c. Launch tube, sight assembly, and grip stock for Hamlet and Redeye missiles. d. Tracker for Dragon Missiles. e. Mortar tubes. f. Grenade launchers. g. Rocket and missile launchers, unpacked weight of 100 pounds or less. h. Flame thrower. i. Launcher and/or missile guidance set and/or the optical sight for the Tube-launched Optically-tracked Wire-guided missile. j. Shoulder-fired weapons, other than grenade launchers, not fully automatic. k. Handguns. l. Recoilless rifles up to and including 90mm. m. Major parts (for example, barrels, frames, receivers, major subassemblies). n. Sub caliber training aids capable of firing a projectile by means of a powder charge. o. Other individually operated weapons that are— (1) Portable and can be fired without special mounts or firing devices. (2) Have potential use in civil disturbances. (3) Vulnerable to theft. E–3. Ammunition and explosives One or more of the following: a. Explosive complete rounds or warheads for Category I missiles and rockets. b. Hand or rifle grenades (fragmentation, high explosive, concussion, white phosphorus, or incendiary). c. Mortar rounds up to and including 81mm. d. Mines, antitank, or antipersonnel. e. High-explosive complete rounds or war-heads for missiles and rockets other than Category I (unpacked weight of 50 pounds or less each). f. Safety and arming device. g. Incendiary destroyer. h. 40mm grenades for grenade launcher. i. Demolition kits. j. Ten pounds or more of explosives used in demolition operations (for example, C–4; military dynamite, TNT, and so on). k. 100 or more blasting caps, detonators, destruction or firing devices, primers, squibs, and igniters. l. 100 or more fuses. m. 100 or more supplementary charges. n. 100 or more explosive bolts, explosive cartridges, and related devices. o. 50 pounds or more bulk explosives. p. 1000 feet or more detonating cord and safety fuse. q. Two or more riot control agents, 100-pound package or less. r. Two or more rounds of ammunition of 40mm and larger non automatic weapon. s. One or more artillery, naval, tank, and mortar ammunition, 75mm and larger. t. Ammunition for weapons in paragraph b, above, not otherwise categorized. u. One box or more (normally 16 or more) grenades, illumination, smoke, and tear producing). 36 AR 195–2 • 15 May 2009 Case 1:15-cv-00031-CKK Document 20-2 Filed 06/19/17 Page 43 of 51 v. End items of conventional and guided missile ammunition (except artillery rounds, bombs, and torpedoes) E–4. Biological select agents and toxins All biological select agents and toxins. 37AR 195–2 • 15 May 2009 Case 1:15-cv-00031-CKK Document 20-2 Filed 06/19/17 Page 44 of 51 Glossary Section I Abbreviations AAFES Army and Air Force Exchange Service ACOM Army command AFOSI Air Force Office of Special Investigations APCSM adult private consensual sexual misconduct AR Army regulation ARNG Army National Guard ASAP Army Substance Abuse Program ASCC Army service component command BAH basic allowance for housing CFR Code of Federal Regulations CID Criminal Investigation Command CONUS continental United States CTA common tables of allowance DA Department of the Army DAC Department of the Army civilian DAGO Department of the Army General Order DCII Defense Central Index Investigations DEA Drug Enforcement Administration DOD Department of Defense 38 AR 195–2 • 15 May 2009/RAR 6 September 2011 Case 1:15-cv-00031-CKK Document 20-2 Filed 06/19/17 Page 45 of 51 DODI Department of Defense instruction DOJ Department of Justice DRU direct reporting unit FAR Federal Acquisition Regulation FBI Federal Bureau of Investigation FCG Foreign Clearance Guide FOUO for official use only FRCP Federal Rules of Criminal Procedure HQ headquarters HQDA Headquarters, Department of the Army ICE immigration custom enforcement MCM Manual for Courts-Martial MEJA Military Extraterritorial Jurisdiction Act MI military intelligence MOS military occupational specialty MP military police MPI military police investigator MPR military police report NCIC National Crime Information Center ROI report of investigation 39AR 195–2 • 15 May 2009/RAR 6 September 2011 Case 1:15-cv-00031-CKK Document 20-2 Filed 06/19/17 Page 46 of 51 RCM rule for court-martial SOFA status of forces agreement TRADOC Training and Doctrine Command UCMJ Uniform Code of Military Justice USACIDC United States Army Criminal Investigation Command USACIL United States Army Criminal Investigation Laboratory USACRC United States Army Crime Records Center USADIP United States Army Deserter Information Point USC United States Code USAR United States Army Reserve Section II Terms Army criminal investigation program Includes criminal investigation procedures, techniques, resources, training, and those USACIDC communication proce- dures employed by the USACIDC throughout the Army. Barracks larcenies Larcenies occurring within the living area of a barracks environment involving the theft of personal property or U.S. Government property for which the individual soldier is responsible (for example, CTA–50 property), which theft aggregates less than $1500. Larcenies from unit supply, arms, day or orderly rooms located within barracks buildings are not considered barracks larcenies. Criminal Investigation Command detachment A subordinate operating element of a USACIDC group, district/battalion, or field office; normally consisting of 20 USACIDC special agents who may be geographically dispersed at multiple located CID offices. It provides USACIDC support within a specified geographic area of responsibility. Criminal Investigation Command district/battalion A subordinate operating element of a USACIDC group normally consisting of headquarters leaders and support p e r s o n n e l a n d s u b o r d i n a t e d e t a c h m e n t s . I t p r o v i d e s U S A C I D C s u p p o r t w i t h i n a s p e c i f i e d g e o g r a p h i c a r e a o f responsibility. Criminal Investigation Command field office A subordinate operating element of a USACIDC group normally consisting of headquarters leaders and support p e r s o n n e l a n d s u b o r d i n a t e d e t a c h m e n t s . I t p r o v i d e s U S A C I D C s u p p o r t w i t h i n a s p e c i f i e d g e o g r a p h i c a r e a o f responsibility. 40 AR 195–2 • 15 May 2009/RAR 6 September 2011 Case 1:15-cv-00031-CKK Document 20-2 Filed 06/19/17 Page 47 of 51 Criminal Investigation Command group A major subordinate command and control elements of the USACIDC that controls USACIDC support within an assigned geographic area. Criminal Investigation Command office A subordinate operating element of a USACIDC group, district/battalion, field office, or detachment consisting of between two and twenty USACIDC special agents. It provides USACIDC support within a specified geographic area of responsibility. Controlled substances Those substances defined in Article 112a, UCMJ (10 USC 912a). General categories include, but are not limited to, n a r c o t i c s , d e r i v a t i v e s o f t h e c a n n a b i s p l a n t , a m p h e t a m i n e s , b a r b i t u r a t e s , h a l l u c i n o g e n s , m e t h a q u a l o n e a n d phencyclidine. Criminal Investigation Command The historic term (and acronym) for matters specifically identified with USACIDC activities or organizations. Credible Information Information disclosed to or obtained by an investigator that, considering the source and nature of the information and the totality of the circumstances, is sufficiently believable to indicate that criminal activity has occurred and would cause a reasonable investigator under similar circumstances to pursue further the facts of the case to determine whether a criminal act occurred or may have occurred. Crime prevention survey A formally recorded review and analysis of existing conditions within a specified facility, activity, or area for the purpose of detecting crime, identifying conditions or procedures conducive to criminal activity, and minimizing or eliminating the opportunity to commit a criminal offense or engage in criminal activity. It seeks to determine the nature, extent, and underlying causes of crime, and provides the commander with information for use in the crime prevention program. Criminal intelligence Information compiled and analyzed in an effort to anticipate, prevent, or monitor possible or potential criminal activity or terrorist threats directed at or affecting the U.S. Army operations, material, activities personnel or installations. Criminal investigation An investigation of a criminal incident or allegation conducted by the USACIDC, MPI or DA Detectives. Criminal investigative information Information compiled in the course of a criminal investigation. Criminal justice Refers to the enforcement of criminal laws, including efforts to prevent, control, or reduce crime, or to identify or apprehend criminals, and to the activities of prosecutors, courts, correctional, probation, pardon, or parole authorities. Criminal offense Any criminal act or omission as defined and prohibited by the Uniform Code of Military Justice, the United States Code, State and local codes, foreign law, or international law or treaty. As used herein, this term does not include military offenses as defined below. In the case of juveniles, this term refers to those acts which, if committed by an adult, would be subject to criminal sanctions. Drug suppression team A team composed of USACIDC special agents and, if appropriate, installation law enforcement personnel used for semi-undercover criminal investigations and drug suppression and drug-related criminal information collection opera- tions at military installations. Economic crime A loss (normally a loss of property or funds, but may include nonquantifiable resources such as public confidence) to the Government (not to an individual, although individuals may be affected, for example, through increased taxes or erosion of benefits) due to the subversion of a system (that is, the manipulation or undermining of a visible system, for example, the finance system; or less apparent system, for example, public confidence in elected officials; any system which serves the processes of Government) by a component of that system (whether the component is permanent, for 41AR 195–2 • 15 May 2009 Case 1:15-cv-00031-CKK Document 20-2 Filed 06/19/17 Page 48 of 51 example, a contracting officer; or temporary, for example, an individual contractor, or firm) acting with criminal intent, (for example, that which distinguishes “EC” from simple mismanagement, human error, or non criminal negligence). Felony A criminal offense punishable by death or confinement for more than one year. Founded offense A criminal offense, the commission of which has been adequately substantiated by police investigation. The determina- tion that a founded offense exists is made by the appropriate police agency and is not dependent upon judicial decision. Hospitalization As used in this regulation, hospitalization refers to being admitted to a medical facility for more than 24 hours for medical treatment and not for mere observation. Installation law enforcement As used in this regulation refers to law enforcement body that provides basic police support to an installation, this can be Military Police, Security Police, DA civilian police, DOD civilian police, and so forth. Juvenile For purposes of this regulation, a person under the age of 18 at the time of the offense and who was not at that time a military member. Military offense Any wrongful act or omission which is unique in the military context and has no correlative application in a civilian context. Misdemeanor Any offense not punishable by death or imprisonment for a term exceeding one year. Included are violations of those provisions of state laws made applicable to U.S. military reservations. Narcotics Opium, opium derivatives (morphine, codeine, heroin); synthetic opiates (meperidine, methadone); the coca leaf, and its derivative, cocaine. Non-narcotic controlled substances Those substances or their immediate precursors listed in the current schedules of Title 21, United States Code, section 812, which do not contain a narcotic, such as derivatives of the cannabis plant (marihuana), amphetamines, barbitu- rates, hallucinogens, methaqualone, and phencyclidine. Preliminary investigation An examination by the USACIDC of a particular situation or set of circumstances to determine if there is credible information to believe that a crime may have occurred, or is about to occur, and, if so, whether the USACIDC has investigative authority and responsibility. Protective services Those measures taken to provide personal security to individuals, both domestic and foreign, as designated by higher authority. Report of investigation An official written record of all pertinent information and facts obtained in a criminal investigation. Resident agency A resident agency is normally a subordinate element of a USACIDC district/battalion or field office. It provides USACIDC support within a specified portion of a geographic area of responsibility. Special agent-in-charge A USACIDC special agent appointed as the supervisor of a CID office. 42 AR 195–2 • 15 May 2009 Case 1:15-cv-00031-CKK Document 20-2 Filed 06/19/17 Page 49 of 51 Single scope background investigation An expanded background investigation conducted by the Defense Investigative Service to verify information concern- ing an individual’s personal qualifications, loyalty, and suitability for assignment to a special position of trust. Subject A person about whom probable cause exists to believe that the person committed a particular criminal offense. Suspect A person about whom some credible information exists to believe that the person committed a particular criminal offense. Title section of U.S. Army Criminal Investigation Command report The section of a USACIDC report where suspects, subjects, and victims are identified. This section is similar to the “Subject Block” of the Military Police Report (DA Form 3975). U.S. Army Criminal Investigation Command special agent An individual (military or civilian) who has been accepted or accredited as a criminal investigator by the Commanding General, USACIDC, in accordance with AR 195–3. U.S. Army Criminal Investigation Command supervisor A commissioned officer, special agent, or DA civilian who has been assigned as a group, battalion, district, or field office commander or executive officer or to other positions within the USACIDC as designated by the Commanding General, USACIDC. Also a special agent-in-charge of a CID Office. Section III Special Abbreviations and Terms This section contains no entries. 43AR 195–2 • 15 May 2009 Case 1:15-cv-00031-CKK Document 20-2 Filed 06/19/17 Page 50 of 51 UNCLASSIFIED PIN 002225–000 Case 1:15-cv-00031-CKK Document 20-2 Filed 06/19/17 Page 51 of 51 Exhibit 2 Case 1:15-cv-00031-CKK Document 20-3 Filed 06/19/17 Page 1 of 52 Army Regulation 195–2 Criminal Investigation Criminal Investigation Activities Headquarters Department of the Army Washington, DC 9 June 2014 UNCLASSIFIED Case 1:15-cv-00031-CKK Document 20-3 Filed 06/19/17 Page 2 of 52 SUMMARY of CHANGE AR 195–2 Criminal Investigation Activities This major revision, dated 9 June 2014-- o Requires that the command and its field offices report matters prescribed by AR 381-12 to Army counterintelligence units (para 1-4a(5)). o Provides additional guidance on the sharing of law enforcement and counterintelligence information (para 1-7i). o Corrects verbiage to show that the U.S. Army Criminal Investigation Command is a direct reporting unit to the Provost Marshal General (2-1a). o Changes investigative responsibility for all drug offenses to the U.S. Army Criminal Investigation Command (para 3-3a(2)). o Requires investigations of drug offenses by a joint U.S. Army Criminal Investigation Command and installation law enforcement team, when installation law enforcement resources are available (para 3-3a(2)(a)). o Establishes that the criminal investigation is primary, when investigating noncombat deaths (para 3-3a(4)). o Establishes the requirement for a Manner of Death Review Board (para 3- 3a(4)(b)). o Establishes the Casualty Liaison Officer Program (para 3-3a(4)(c)). o Deletes references to sexual preference or orientation (para 3-3a(8)). o Adds requirement for notification to commanders, when a Soldier is identified as a subject of an investigation (para 3-16d). o Adjusts investigative responsibilities of the U.S. Army Criminal Investigation Command, installation law enforcement, and unit commander (app B). o Makes administrative changes (throughout). Case 1:15-cv-00031-CKK Document 20-3 Filed 06/19/17 Page 3 of 52 Headquarters Department of the Army Washington, DC 9 June 2014 Criminal Investigation Criminal Investigation Activities *Army Regulation 195–2 Effective 9 July 2014 H i s t o r y . T h i s p u b l i c a t i o n i s a m a j o r revision. Summary. This publication consolidates AR 195–1 and AR 195–7. It establishes policies on criminal investigation activi- ties, including the utilization, control, and investigative responsibilities of all person- nel assigned to the U.S. Army Criminal Investigation Command elements. It also delineates responsibility and authority be- tween Military Police and the U.S. Army Criminal Investigation Command. Applicability. This regulation applies to t h e A c t i v e A r m y , t h e A r m y N a t i o n a l Guard/Army National Guard of the United States, and the U.S. Army Reserve, unless o t h e r w i s e s t a t e d . I t a l s o a p p l i e s t o t h e Army National Guard when in active Fed- e r a l s e r v i c e , a s p r e s c r i b e d i n T i t l e 1 0 , United States Code, Section 802. Propo- nent and exception authority. Proponent and exception authority. The proponent has the authority to ap- prove exceptions or waivers to this regu- lation that are consistent with controlling law and regulations. The proponent may delegate this approval authority, in writ- ing, to a division chief within the propo- nent agency or its direct reporting unit or field operating agency, in the grade of colonel or the civilian equivalent. Activi- ties may request a waiver to this regula- t i o n b y p r o v i d i n g j u s t i f i c a t i o n t h a t includes a full analysis of the expected benefits and must include formal review by the activity’s senior legal officer. All waiver requests will be endorsed by the commander or senior leader of the requ- e s t i n g a c t i v i t y a n d f o r w a r d e d t h r o u g h t h e i r h i g h e r h e a d q u a r t e r s t o t h e p o l i c y proponent. Refer to AR 25–30 for specific guidance. Army internal control process. This regulation contains internal control provi- sions in accordance with AR 11–2 and identifies key internal controls that must evaluated (see app F) S u p p l e m e n t a t i o n . S u p p l e m e n t a t i o n o f this regulation and establishment of com- mand and local forms are prohibited with- out prior approval from the Provost Mar- s h a l G e n e r a l ( D A P M – M P O – P S ) , 2 8 0 0 A r m y P e n t a g o n , W a s h i n g t o n , D C 20310–2800. Suggested improvements. Users are invited to send comments and suggested improvements on DA Form 2028 (Recom- m e n d e d C h a n g e s t o P u b l i c a t i o n s a n d Blank Forms) directly to the Office of the P r o v o s t M a r s h a l G e n e r a l (DAPM–MPO–PS), 2800 Army Pentagon, Washington, DC 20310–2800. Distribution. This regulation is available in electronic media only and is intended for command level A for the Active Army and the U.S. Army Reserve and command level D for the Army National Guard of the United States. Contents (Listed by paragraph and page number) Chapter 1 General, page 1 Purpose • 1–1, page 1 References • 1–2, page 1 Explanation of abbreviations and terms • 1–3, page 1 Responsibilities • 1–4, page 1 Objectives • 1–5, page 2 Policies • 1–6, page 2 Investigative policies • 1–7, page 2 *This regulation supersedes AR 195–2, dated 15 May 2009. AR 195–2 • 9 June 2014 i UNCLASSIFIED Case 1:15-cv-00031-CKK Document 20-3 Filed 06/19/17 Page 4 of 52 Contents—Continued Chapter 2 U.S. Army Criminal Investigation Command Organization, page 4 General • 2–1, page 4 U.S. Army Criminal Investigation Command support to the Army in the field • 2–2, page 5 Chapter 3 Criminal Investigation Activities, page 5 Section I General, page 5 Investigative authority of the Army • 3–1, page 5 U.S. Army Criminal Investigation Command investigative responsibility • 3–2, page 5 Investigative responsibility of the U.S. Army Criminal Investigation Command and military police • 3–3, page 6 Assumption of investigative responsibility by the U.S. Army Criminal Investigation Command • 3–4, page 8 Agreements between the U.S. Army Criminal Investigation Command and installation law enforcement activities • 3–5, page 8 Referral of investigations • 3–6, page 8 Army Substance Abuse Program • 3–7, page 8 Immigration customs enforcement and postal matters • 3–8, page 9 Section II Crime Prevention Surveys, Protective Services, Procurement Fraud Program, and Criminal Intelligence Program, page 9 Crime prevention surveys • 3–9, page 9 Protective services • 3–10, page 9 Procurement Fraud Program • 3–11, page 9 Criminal intelligence • 3–12, page 9 Law enforcement reporting of suspicious activity • 3–13, page 9 Section III Operational Considerations, page 9 Freedom of movement • 3–14, page 9 Crime scenes • 3–15, page 10 Coordination • 3–16, page 10 Access to Army facilities and records • 3–17, page 10 Security clearances and background investigations • 3–18, page 10 U.S. Army Criminal Investigation Command use of the National Crime Information Center • 3–19, page 11 Warning of rights • 3–20, page 11 Section IV U.S. Army Criminal Investigation Command Special Agents, page 11 General • 3–21, page 11 Utilization • 3–22, page 11 Authority to apprehend or detain • 3–23, page 11 Authority to search and seize • 3–24, page 12 Authority to administer oaths • 3–25, page 12 Firearms • 3–26, page 12 Civilian clothing • 3–27, page 12 Billets and messes • 3–28, page 13 Disclosure of rank or grade • 3–29, page 13 Retention and use of investigative property • 3–30, page 13 Standards of conduct • 3–31, page 13 Section V U.S. Army Criminal Investigation Command Drug Suppression Operations in Foreign Countries, page 13 Purpose • 3–32, page 13 ii AR 195–2 • 9 June 2014 Case 1:15-cv-00031-CKK Document 20-3 Filed 06/19/17 Page 5 of 52 Contents—Continued Definitions • 3–33, page 13 Policy considerations • 3–34, page 14 Approvals and coordination • 3–35, page 14 Section VI U.S. Army Criminal Investigation Command Support to the Army and Air Force Exchange Service, page 15 Purpose • 3–36, page 15 Air Force Office of Special Investigations • 3–37, page 15 Air Force Office of Special Investigations responsibilities • 3–38, page 15 Army law enforcement responsibilities • 3–39, page 15 General guidelines on types of crimes • 3–40, page 15 Chapter 4 Investigative Records, Files, and Reports, page 16 Policy • 4–1, page 16 Preparation and maintenance • 4–2, page 16 Release and use of information • 4–3, page 17 Individual requests for access to, or amendment of, U.S. Army Criminal Investigation Command reports of investigations • 4–4, page 18 Chapter 5 U.S. Army Crime Records Center, U.S. Army Criminal Investigation Command, page 19 General • 5–1, page 19 Functions • 5–2, page 19 Routine investigative name checks • 5–3, page 19 Immediate name checks • 5–4, page 19 Requesting U.S. Army Crimes Records Center files and reports • 5–5, page 20 Use of information contained in U.S. Army Criminal Investigation Command and Military Police reports • 5–6, page 20 Chapter 6 U.S. Army Criminal Investigation Laboratory, page 20 General • 6–1, page 20 Responsibilities • 6–2, page 20 Request for examination • 6–3, page 20 Court appearance • 6–4, page 21 U.S. Army Criminal Investigation Laboratory quality management documents and accreditation documents • 6–5, page 21 On scene assistance • 6–6, page 21 Appendixes A. References, page 22 B. Offense Investigative Responsibility, page 27 C. Preparation of the DA Form 2804 (Crime Records Data Reference), page 31 D. Telephone Name Check Format, page 36 E. Sensitive Items, page 36 F. Internal Control Evaluation, page 37 Table List Table B–1: Offense investigative responsibility, page 27 Table C–1: Race Code, page 32 Table C–2: Ethnic Group, page 32 iiiAR 195–2 • 9 June 2014 Case 1:15-cv-00031-CKK Document 20-3 Filed 06/19/17 Page 6 of 52 Contents—Continued Table C–3: Ethnic and race combinations, page 34 Glossary iv AR 195–2 • 9 June 2014 Case 1:15-cv-00031-CKK Document 20-3 Filed 06/19/17 Page 7 of 52 Chapter 1 General 1–1. Purpose This regulation prescribes policies and procedures pertaining to criminal investigation activities within the Department of the Army (DA). It prescribes the authority for conducting criminal investigations, crime prevention surveys, protective service missions, force protection and antiterrorism efforts and the collection, retention, and dissemination of criminal information. It delineates responsibility and authority between installation law enforcement (LE) activities and the U.S. Army Criminal Investigation Command (USACIDC). 1–2. References Required and related publications and prescribed and referenced forms are listed in appendix A. 1–3. Explanation of abbreviations and terms Abbreviations and special terms used in this regulation are explained in the glossary. 1–4. Responsibilities a. Commanding General, U.S. Army Criminal Investigation Command. The CG, USACIDC exercises command authority, direction, and control of Army criminal investigative activities worldwide. The CG, USACIDC will— (1) Establish policies for the release of information from, and the amendment of, criminal investigation records and reports of investigations (ROIs). (2) Evaluate Army LE polygraph program activities and provide membership on Department of Defense (DOD) polygraph committees. (3) Maintain overall responsibility for Army investigations of offenses involving controlled substances in accordance with Section 812, Title 21, United States Code (21 USC 812). (4) Plan for and provide USACIDC support for each contingency plan maintained by Headquarters, Department of the Army (HQDA) and its subordinate commands. Plans for criminal investigative support will be coordinated with the commander responsible for the overall contingency plan. (5) Ensure that the command and its field elements report known or suspected espionage, indicators of potential terrorist associated insider threats or extremist activity, and any of the other reportable matters of counterintelligence (CI) interest defined in AR 381–12 and DODD 5240.06 to the nearest Army CI office within 72 hours of receipt of the information. b. Commanding General, U.S. Army Training and Doctrine Command. The CG, TRADOC will oversee the formal training of USACIDC personnel at TRADOC schools to meet the requirements of USACIDC. c. Commanders of Army commands, Army service component commands, and direct reporting units. Commanders of ACOMs, ASCCs, and DRUs, within their respective areas of responsibilities, will— (1) Ensure that known or suspected criminal activity is reported to the installation LE activity and, when appropri- ate, to USACIDC for investigation. (2) Support the USACIDC by providing facilities and support required by the USACIDC mission and authorized by applicable regulations or memorandum of understanding (MOU) to assist the USACIDC in meeting the criminal investigative, crime prevention, force protection, antiterrorism, and protective service requirements of subordinate commands, installations, and other supported Army activities. d. Commanders, supervisors, and special agencies of subordinate USACIDC elements. Commanders, supervisors, and special agencies of subordinate USACIDC elements will— (1) Provide criminal investigative services to the U.S. Army on an area basis. (2) Provide reports and or statistical data to installation activity directors to provide supported commands with the relative number and types of serious crimes and incidents investigated, subjects identified, value of property stolen or recovered, and other information reflecting the status of discipline, law, and order necessary for the completion of reports required by HQDA. (3) Provide statistical data necessary to support locally established reports within the administrative and recordkeep- ing capabilities of the supporting USACIDC element. e. Commanders and supervisors receiving reports. Commanders and supervisors receiving USACIDC reports for action or receiving action copies of final USACIDC ROIs pertaining to a member of their organization will— (1) Reply within 60 days through local command channels (using DA Form 4833 (Commander’s Report of Disciplinary or Administrative Action)), ensuring that battalion commanders or the first lieutenant colonel in the chain of command, in accordance with applicable regulations and USACIDC directives, completes the DA Form 4833 along with DA form 3975 (Military Police Report), 15–6 Investigation executive summary, Commander’s Inquiry Final Report to the USACIDC element preparing the ROI, indicating the judicial, nonjudicial, or administrative action, or lack thereof, taken against persons listed in the title block of the final ROI. Only an 0-6 or higher with special court- martial convening authority will complete the DA Form 4833 within 60 days in cases of rape, sexual assault, and 1AR 195–2 • 9 June 2014 Case 1:15-cv-00031-CKK Document 20-3 Filed 06/19/17 Page 8 of 52 forcible sodomy, in violation of Article 120 or 125, UCMJ, or corresponding civilian statutes, and all attempts to commit such offenses, in violation of Article 80, UCMJ, or corresponding civilian statutes. Changes to judicial, non- judicial, or administrative action resulting from subsequent appellate action will also be reported by commanders and supervisors to the USACIDC. The report of action taken is necessary to ensure completion of investigative files, to protect the rights of individuals involved, and to provide commanders with information for force protection and the state of discipline in their command. (2) Notify all persons listed in the title block, who have no action taken against them, that their name will remain in the title block of the report and that the report will be indexed and therefore, retrievable by their name. Individuals will also be informed of the purposes for which the reports are used (for example, other criminal investigations, security clearances, other purposes as authorized by 5 USC 552a and AR 340–21 and the fact that such use may have an impact upon their military or civilian careers. Individuals will also be informed that the removal of their name from the title block or other amendment of the report may be accomplished only by submitting a written request to the Director, U.S. Army Crime Records Center, 27130 Telegraph Road, Quantico, VA 22134. Requests for amendment will be consid- ered only as set forth in this regulation. (3) Commanders or supervisors of activities, facilities, units, or installations who have received a crime prevention survey by the USACIDC will furnish a report of corrective action taken or a statement that no corrective action was taken as a result of the survey, to the USACIDC field element within 90 days of the date of the survey. This report of corrective action must be forwarded by the commanders or supervisors through local command channels to the commander two levels above the activity, unit, facility, or installation surveyed, but in no case will reports be forwarded above ACOM level. A report of corrective action is not required for crime prevention surveys when— (a) Requested by the commanders or supervisors of activities, facilities, units, or installations. (b) Conducted in support of a crime prevention program. (c) Crime conducive conditions are not identified. 1–5. Objectives T h e o p e r a t i o n a l p r o c e d u r e s o f e a c h A r m y U S A C I D C e l e m e n t w i l l b e d i r e c t e d t o w a r d a t t a i n i n g t h e f o l l o w i n g objectives: a. Ensuring known or suspected serious crimes and crimes which may result in damaging the public confidence in the Army are thoroughly and impartially investigated by USACIDC special agents. b. Participating in the Army crime prevention program by identifying areas which are especially vulnerable to crime and by making recommendations to appropriate authorities for elimination of conditions conducive to criminal activity. This USACIDC effort, in the form of crime surveys, includes the examination of all aspects of management and property and fiscal accountability in which malfeasance and misfeasance may occur. Additionally, these will be conducted when criminal conditions, either engaged in or directed against Army personnel, which may affect troop health, discipline, and welfare both on and off military installations. c. Informing promptly appropriate authorities of facts uncovered during criminal investigations and crime prevention activities by preparing and submitting required reports in accordance with applicable directives. d. Maintaining a proactive criminal intelligence collection, analysis and reporting cycle to alert commanders to threats and criminal elements. Commanders who are provided with validated criminal intelligence can initiate appropri- ate force protection measures. 1–6. Policies The following policies will receive continuing command emphasis and attention: a. Criminal incidents in the Army will be reported to the installation LE activity. These criminal incidents include those affecting or involving persons subject to the Uniform Code of Military Justice (UCMJ), Department of the Army Civilians (DAC) and contractors of the DOD in connection with their assigned duties, and Government property under Army jurisdiction. Criminal incidents occurring at an installation or activity without an assigned LE activity will be reported to the appropriate supporting installation LE activity. b. Serious crimes and incidents, in accordance with this regulation, will be reported to, and investigated by, USACIDC personnel. Commanders will immediately report all incidents or allegations of sexual assault to USACIDC. The commander of the appropriate USACIDC activity will direct the initiation of an investigation immediately upon receipt of information that a criminal incident falling within the investigative purview of USACIDC has occurred or is suspected. Once initiated, a criminal investigation will continue until completion. c. Constant liaison and cooperation will be maintained with civilian and military LE and investigative agencies and military intelligence activities to ensure that criminal investigative, or other information of mutual interest, is ex- changed or disseminated. 1–7. Investigative policies a. The USACIDC is the sole agency within the U.S. Army responsible for the criminal investigation of felonies (offenses punishable by death or confinement for more than one year), listed in appendix B of this regulation and 2 AR 195–2 • 9 June 2014 Case 1:15-cv-00031-CKK Document 20-3 Filed 06/19/17 Page 9 of 52 relevant felonies identified in Federal, state, or foreign statutes. The USACIDC directives and policies, as they relate to criminal investigation activities, will be followed by all USACIDC personnel and elements throughout the U.S. Army. b. Offenses will be reported as follows: (1) Commanders will ensure criminal incidents or allegations whenever an Army interest exists or involving persons subject to the UCMJ, DA civilians, and DOD contractors, if related to their assigned duties or position, government property under Army jurisdiction, or those incidents occurring in areas under Army control are reported to installation LE activity in accordance with AR 190–45. Information indicating a violation of DOD 5500.7–R or the Federal Acquisition Regulation that develops into possible criminal activity will also be reported to the installation LE activity. (2) Barracks larcenies of property of a value of less than $1,500, simple assaults occurring in unit areas and not resulting in hospitalization and bigamy when there is no fraud of entitlements involved, will be reported to LE for statistical and crime reporting purposes, but a LE investigation is not required. Unit commanders will take appropriate action on these incidents. A LE investigation will normally be conducted only when it is considered necessary by the installation provost marshal (PM), Director of Emergency Services (DES), the commander of USACIDC element, or when requested by a field grade commander in the chain of command of the unit concerned. Nothing in this regulation will be construed to allow the withholding of medical treatment to avoid installation LE or USACIDC involvement. c. Installation LE will promptly refer all crimes or incidents falling within USACIDC investigative responsibility to the appropriate USACIDC element for investigation. Initially, notification will normally be accomplished by direct contact between the installation LE desk sergeant and the supporting USACIDC unit. Formal referral will be by DA Form 3975 (Military Police Report). d. Commanders of installations or activities without assigned installation LE will report criminal incidents or allegations to the supporting USACIDC element or the supporting installation LE, or both as appropriate. USACIDC locations and contact information worldwide can be located on the USACIDC Web site (http://www.cid.army.mil/ unit_directory.html). e. The USACIDC will determine appropriate investigative action in accordance with this regulation for all criminal incidents or allegations reported to it or developed through its own sources. Reports will be prepared reflecting the results. f. The USACIDC element receiving reports of criminal incidents or allegations from other than the installation LE will notify the appropriate installation PM/DES of the incident, unless such notification will compromise the investiga- tion in accordance with this regulation. g. 28 USC 535 requires that any information, allegation, or complaint relating to violations of Federal criminal law, involving Government officials and employees will be reported expeditiously to the Department of Justice (DOJ), unless the responsibility to investigate the matter is conferred upon the DOD (for example, an offense under the UCMJ) or as otherwise provided by law or agreement with the Attorney General (for example, the DOD/DOJ memorandum of understanding). (1) For violations in the United States, the normal method of referral and consultation is with the appropriate DOJ agency (for example, Federal Bureau of Investigation (FBI) or U.S. Attorney) on all such violations involving either military or civilian personnel in accordance with AR 27–10. (2) In the case of overseas violations or loss or injury to the United States that affect U.S. Armed Forces activities, and which involve any civilian as a suspect or subject, whether or not such person is a DOD employee (for example, a defense contractor), a full ROI on the nature and apparent scope of the violation, loss, or injury will be provided through USACIDC channels. Headquarters, USACIDC, will notify DOJ as appropriate. A prompt initial notification should be submitted through USACIDC channels in all instances involving bribery or conflict of interest, and in those instances of fraud, theft, and unlawful destruction of government property when the loss to the United States exceeds, or is expected to exceed, $5,000. In overseas areas, civilians may be titled for certain felony offenses under the provisions of 18 USC 3261 and DODI 5525.11, or during a declared war or contingency operation under UCMJ, Art. 2. Civilians may also be titled for violations of local laws. h. Information concerning purely political activities and personalities, or disorders in which no crime is indicated or suspected will not be collected, recorded, or reported by the USACIDC. i. USACIDC elements will share the following types of information with Army CI— (1) Any information reportable to CI under the provisions of AR 381–12, including any information indicating a potential terrorist associated insider threat. (2) Any incident or matter involving DA personnel with access to Top Secret, Sensitive Compartmented Informa- tion, Top Secret crytopgraphic information, Special Access Program information, or critical nuclear weapons design information. j. In accordance with the policy of AR 381–10, Army CI elements will share the following types of information with USACIDC— (1) Any threat to the safety or security of DA personnel, property, or installations. (2) Any criminal matter or incident involving DA personnel which is not under Army CI investigative jurisdiction. k. The USACIDC and Army CI special agents have parallel jurisdiction in matters such as sabotage; known, suspected, or attempted intrusions into Army information systems; personnel who have or had access to classified 3AR 195–2 • 9 June 2014 Case 1:15-cv-00031-CKK Document 20-3 Filed 06/19/17 Page 10 of 52 information who absent themselves without leave or who desert or defect; those who commit or attempt suicide; and deliberate security violations. In these instances, Army CI special agents will generally investigate for the presence of threats to national security, while USACIDC special agents may focus on the criminal aspects of these matters. l. The receiving USACIDC element will refer information related to systemic weaknesses or managerial deficien- cies, not of a criminal nature, to the appropriate commander. m. Criminal intelligence (LE information gathering activities) will be handled as follows: (1) The USACIDC has primary responsibility to operate a criminal intelligence program. The program will be designed to obtain, record, process, analyze, and disseminate information concerning criminal activities and terrorist threats directed against, involving, or affecting U.S. Army operations, material, personnel, and installations. The program will also develop, analyze, and report on the methods of operations used in criminal activities and terrorist operations. It will also be used to assess the vulnerability of Army activities to crime. The focus of the criminal intelligence program will be the detection, analysis, and prevention of criminal activity affecting the Army. Information gathered may be factual, fragmentary, or unsubstantiated. (2) The USACIDC criminal intelligence gathering activities are not “counterintelligence related” and are excluded from the provisions of AR 380–13. Safeguards will be established to preclude unauthorized release of information. (3) The USACIDC units will ensure that within their area of responsibility there is close coordination and mutual exchange of criminal intelligence between their unit and other military and civilian LE agencies on matters of common interest (in accordance with DOD and/or DOJ instructions concerning criminal intelligence sharing). Source confiden- tiality will be maintained. (4) In no case will criminal information be restricted to USACIDC channels, when that information provides strong indications that an offense is imminent and the commission of that offense will affect the safety or security of Army operations, personnel, or material. Release will be made only to the extent necessary to prevent the commission of the offense. (5) Information concerning criminal activity of interest to agencies other than the DOD will be reported to the appropriate agency. In overseas areas where representatives of other Federal investigative agencies are not present, information of interest to those agencies will be forwarded to the Commander, USACIDC (CIOP–IN), 27130 Tele- graph Road, Quantico, VA 22134, for appropriate dissemination. All releases of information under this provision will be in accordance with AR 340–21. (6) Criminal intelligence about an individual may be disseminated outside LE channels only to those persons whose official duties create a definite and identifiable need for them to have access. Dissemination will be made to the minimum number of persons possible. All releases of information under this provision will be in accordance with AR 340–21. n. The contents of Army investigative files will be restricted to information that is necessary and relevant to authorized criminal investigation and LE information gathering activities. When a U.S. Army Soldier (or (in cases outside the United States (not in contingency operation) when a DA civilian in the scope of his duties, or while on Government time, or the immediate Family member of a U.S. Army Soldier) is identified as a suspect/subject for an off-post incident involving one of the following offenses: death (less accidental and natural death and fatal traffic accident (unless the driver of a Government vehicle is at fault), all sexual assaults, kidnapping, forcible sodomy, aggravated arson, robbery of a business, and drug offense(s) and weapons theft/smuggling, meeting the Criminal Investigation Command (CID) criteria for reporting as a serious and sensitive incident, or if a Soldier is the victim of a suspected suicide, coordination will be made with local LE to conduct a joint investigation. If local LE does not wish to participate in a joint investigation, CID elements will report the aforementioned investigation as a collateral investigation. Collateral ROIs (transmitting reports of criminal investigations received from civilian agencies) pertain- ing to other offenses within USACIDC normal investigative responsibility will be forwarded by installation PM/DES in accordance with AR 190–45 to the U.S. Army Crime Records Center (CRC). An information copy of the Military Police Report, with the civilian police report as an enclosure, will be provided to the supporting USACIDC element to ensure the receipt of criminal information. When the overall interests of the Army would be best served, the USACIDC may assume collateral reporting responsibility for any particular off-post investigation by notifying the appropriate installation PM/DES. Chapter 2 U.S. Army Criminal Investigation Command Organization 2–1. General a. The USACIDC is a DRU to the Provost Marshal General (see AR 10–87 and DA General Order 2006–22). It is composed of a command headquarters, the USACIL, the CRC, and subordinate brigades down to detachments. b. In nontactical situations, each USACIDC unit is a tenant activity at an Army installation, providing investigative support to the installation commander, as well as to the commanders of all other Army elements located within a 4 AR 195–2 • 9 June 2014 Case 1:15-cv-00031-CKK Document 20-3 Filed 06/19/17 Page 11 of 52 USACIDC-specified geographic area of responsibility. The commander or special agent-in-charge at each unit provides advice and guidance on all USACIDC matters to supported commanders and the installation LE. 2–2. U.S. Army Criminal Investigation Command support to the Army in the field a. During tactical operations, field exercises, and in active theaters of operation, the CG, USACIDC, will provide support to tactical units and their supporting elements. Pursuant to AR 350–28, field exercise planners must coordinate with the supporting USACIDC unit to determine appropriate participation. b. The selection of the method of support will be coordinated between the appropriate USACIDC headquarters and the headquarters planning for the contingency or operation. The supporting USACIDC unit normally receives adminis- trative and logistical combat support from the supported headquarters or the supporting combat support military police (MP) headquarters. The CG, USACIDC, maintains command and control of USACIDC units. In all operations, criminal investigations will be conducted, prepared, administered, reported, and distributed in accordance with this regulation and applicable USACIDC regulations and directives. Chapter 3 Criminal Investigation Activities Section I General 3–1. Investigative authority of the Army a. Investigative authority refers to matters for which the Army has the legal authority and jurisdiction to conduct a criminal investigation. Investigative responsibility refers to those matters within the Army’s overall investigative authority which the USACIDC has responsibility to ensure are properly investigated. b. The Army has investigative authority whenever an Army interest exists and investigative authority has not been specifically reserved to another agency in accordance with AR 27–10; and the MOU between the DOD and the DOJ relating to the investigation and prosecution of certain crimes (DODI 5525.07). Generally, an Army interest exists when one or more of the following apply: (1) The crime is committed on a military installation or facility, or in an area under Army control. (2) There is a reasonable basis to believe that a suspect may be subject to the UCMJ. (3) There is a reasonable basis to believe that a suspect may be a DOD civilian employee or a DOD contractor who has committed an offense in connection with his or her assigned contractual duties which adversely affects the Army. (4) The Army is the victim of the crime; for example, the offense involves the loss or destruction of government property or allegations of fraud (in accordance with DOD/DOJ instructions concerning the criminal investigation of fraud offenses) relating to Army programs or personnel. (5) There is a need to protect personnel, property, or activities on Army installations from criminal conduct on, or directed against, military installations that has a direct adverse effect on the Army’s ability to accomplish its mission; for example, the introduction of controlled substances onto Army installations, acts of terrorism, and logistical security. (6) In contingency operations there is a need to investigate crimes to establish law and order as identified by senior commander. 3–2. U.S. Army Criminal Investigation Command investigative responsibility a. Inside the U.S. and its territories and possessions, the USACIDC will normally exercise investigative responsibil- ity for those offenses listed in appendix B and which are within the Army’s investigative authority. However, when Federal, State, or local civil LE authorities have concurrent jurisdiction, a Joint investigative responsibility exists and the lead agency will be determined in coordination with that authority. When concurrent jurisdiction or authority to investigate exists and neither the Army nor the civil authorities accede to the other’s primary responsibility to investigate, both may pursue the investigation in fulfillment of their respective interests, with neither impeding the other. b. Outside the U.S. and its territories and possessions, the USACIDC will normally have investigative responsibility for those violations of the offenses listed in appendix B and for felony violations of extraterritorial Federal criminal law and foreign criminal law that are within the Army’s investigative authority. Investigations of foreign nationals known or suspected of committing criminal offenses against the Army may be undertaken for purposes of pursuing prosecu- tion under foreign laws or civil, contractual or administrative remedies. These investigative responsibilities are subject to any limitations imposed by treaty or other international agreements, such as a status of forces agreement (SOFA) or by host country laws. In the absence of any agreement, the USACIDC will investigate offenses after coordination with appropriate host country authorities. 5AR 195–2 • 9 June 2014 Case 1:15-cv-00031-CKK Document 20-3 Filed 06/19/17 Page 12 of 52 c . I n a d e p l o y e d e n v i r o n m e n t , U S A C I D C a g e n t s w i l l g e n e r a l l y e n c o u n t e r t h e f o l l o w i n g r e g a r d i n g f o r e i g n governments: (1) When the Army is deployed to a foreign country which has an established and functioning government and LE system (police, prosecutors, and judicial system), the following applies: (a) Authority to investigate will normally be determined by international treaty or agreement (such as the SOFA), by the policies of the host government, or the U.S. Ambassador. The USACIDC will not conduct any investigations in violation of such agreements or policies. (b) The USACIDC will not normally conduct investigations concerning non-DOD affiliated civilians committing crimes on other non-DOD affiliated civilians or non-DOD affiliated equipment/supplies outside Army controlled property. If requested to conduct an investigation by a field grade officer or higher due to Army interest, USACIDC will conduct a joint investigation to the extent allowed by treaty or policy and local LE authorities. (c) When criminal incidents involve DOD affiliated personnel (military, civilian, or contractor) or DOD property outside of Army controlled property, the conduct of a joint investigation will be accomplished to the extent allowed by treaty or policy and local LE authorities. (d) When criminal incidents occur on Army controlled property (such as an installation, kaserne or camp), investiga- tions will be conducted in accordance with this regulation and applicable USACIDC regulations and directives. (e) The conduct of such investigations will follow any guidelines, notifications, or other limitations set forth by treaty or policy and local LE authorities. (2) When the Army is deployed to a foreign country that has no established (or severely limited) functioning government and no LE system (police, prosecutors and a judicial system), the following applies: (a) Authority to investigate in this situation is usually determined by the Army’s mission and the requests of the senior supported Army commander (or senior U.S. commander in Joint operations). If the senior Army commander delegates an authority, USACIDC will respect requests from this commander’s delegate. If the senior Army com- mander sets threshold criteria for investigations, USACIDC will respect those limitations. The USACIDC will not investigate outside the authority of the senior Army commander (or senior U.S. commander in Joint operations). (b) The USACIDC may conduct investigations concerning non-Army affiliated civilians committing crimes on other non-Army affiliated civilians or equipment/supplies outside of Army controlled property, if such investigations are requested by the senior U.S. supported commander or meet some predetermined threshold criteria established by the U.S. supported commander. (c) When criminal incidents involve Army affiliated personnel (military, civilian or contractor) or Army property, the conduct of the investigation will be accomplished to the extent allowed by local environment and threat conditions. (d) When criminal incidents involving anyone occur on actual Army controlled and occupied property (such as a base camp), investigations will be conducted in accordance with this regulation. 3–3. Investigative responsibility of the U.S. Army Criminal Investigation Command and military police a. The USACIDC is solely responsible for investigating the criminal aspects of those Army related felonies (offenses punishable by death or confinement for more than one year) listed in appendix B. Exceptions to this general policy are described in this regulation. Only CID special agents and other personnel assigned to or under the operational control of USACIDC are authorized to investigate felony crimes as delineated in this regulation. The CID special agents assigned outside of USACIDC are not authorized to conduct felony investigations and are limited to the duties for which they are assigned. (1) Property-related offenses. (a) The USACIDC is responsible for investigating property-related offenses (for example, stolen, destroyed, or damaged) when the fair market value of the property, in accordance with AR 735–5, is $5,000 or more (except as listed in this regulation) or when the property is of a sensitive nature (see this regulation). An investigation by the USACIDC is also required for purposes of determining criminal intent in the case of lost arms, ammunition, and explosives, when the quantities involved meet the thresholds in AR 190–45. When no criminal intent is discovered, an initial/final report of investigation will be completed in accordance with applicable USACIDC regulations and directives. The installation LE is responsible for investigating property-related offenses when the value is less than $5,000. When requested by a supported commander, the USACIDC may investigate property crimes of lesser value, such as a series of minor larcenies which appears to be the work of an organized group. (b) The USACIDC will conduct investigations regarding the larceny of privately owned vehicles (to include bicycles, motorcycles, all terrain vehicles, and boats) when the current value is more than $30,000 or the theft appears to be part of a criminal conspiracy. (c) The USACIDC will not investigate thefts of CTA–50 series items issued to individual Soldiers regardless of value. (2) Drug offenses. The USACIDC has investigative responsibility for all offenses involving substances listed in 21 USC and found controlled substances where a subject is known or likely to be identified. This includes synthetic substances regardless whether they are temporarily or permanently placed in 21 USC. Incidents of found controlled 6 AR 195–2 • 9 June 2014 Case 1:15-cv-00031-CKK Document 20-3 Filed 06/19/17 Page 13 of 52 substances where a subject is not known or likely to be identified will be referred to the installation LE activity, unless a MOU assigns investigative responsibility to the local USACIDC element. (a) The investigation by a joint USACIDC/installation LE team is required when installation LE resources are available. This can be accomplished with the primary investigative and reporting procedures of the installation LE and USACIDC remaining unchanged. This approach fosters better coordination and is encouraged when deemed in the best interest of the overall drug suppression effort. (b) LE Operating Force Installations with an MP battalion headquarters and 3 MP companies will provide a minimum of one MP per 4,000 active duty population in support of drug suppression team initiatives. Active duty service population will be derived from the stationing and installation plan database. An MOU of combined drug suppression team investigative activities should provide for supervisory structure, commitment, and continuity of personnel and operations. An installation MOU may increase the number of personnel assigned to the drug suppression team above one per 4,000 population based on high drug incidents and upon agreement by all signing the MOU. (3) Misdemeanors. A misdemeanor is any offense not punishable by death or imprisonment for a term exceeding 1 year; including violations of those provisions of state laws made applicable to U.S. military reservations. The USACIDC retains investigative responsibility of misdemeanor offenses only when they are committed in conjunction with another offense investigated by USACIDC. USACIDC may assume investigative responsibility for any crime, felony or misdemeanor, if it is in the best interest of Army LE. (4) Noncombat deaths. In accordance with DODI 5505.10, USACIDC will investigate noncombat deaths as potential homicides until evidence establishes otherwise. Pursuant to DODI 5505.03, the criminal investigation has primacy over other "collateral" investigations (for example, AR 15-6). These investigations can be conducted concurrent to, but not impede or interfere with, the criminal investigation. Close coordination between the criminal and collateral investiga- tions will take place to the maximum legal extent and will improve the outcome of all investigations. (a) Hospice deaths are considered attended deaths only when the CID element is notified of the hospice situation by a recognized hospice representative in advance of the death. Absent advanced notification, if a preliminary investiga- tion discloses the death was a hospice death, the investigation can be terminated and a serious or sensitive incident only report will be generated. (b) The Armed Forces Medical Examiner (AFME) has sole responsibility for determining the cause and manner of death. When a USACIDC investigation results in conclusions that conflict with the manner of death as reported by the AFME, USACIDC will convene a Manner of Death Review Board to review the investigative findings and recommend courses of action to the CG, USACIDC in accordance with CIDR 195-1. The AFME staff possess a variety of forensic disciplines (for example, forensic pathology, anthropology, odontology) which are available for investigative consulta- tion. In the event a particular discipline is not available within the AFME, Headquarters (HQ) USACIDC will coordinate and vet any external agency’s subject matter expert (such as Smithsonian Institute, University of Tennessee “Body Farm,” National Association of Forensic Engineers, American Academy of Forensic Sciences) to ensure they possess the necessary credentials to qualify as an expert in their field. (c) In accordance with DODI 5505.10, USACIDC will establish a Casualty Liaison Officer Program, in order keep the next of kin appraised of the progress of the investigation. The appointed casualty liaison officer duties shall be in support of those officials with responsibility for notification, assistance and arranging survivor benefits. (5) Military offenses. Certain military offenses, such as misbehavior as a sentinel or disrespect, will not normally be investigated either by the USACIDC or the installation LE; however, when the significance of the incident or the complexity of the facts dictate, the USACIDC or the LE may assume investigative responsibility. The titling of a person in a USACIDC report for the commission of a military offense (such as dereliction of duty) is authorized and may be appropriate in certain cases. (6) War crimes. The USACIDC is responsible for investigating suspected war crimes when a violation of 18 USC, or the UCMJ, as listed in this regulation, or when a violation of the law of land warfare is indicated, or when otherwise directed by HQDA. This includes maltreatment or abuse of prisoners of war or detainees when the alleged crime meets the USACIDC threshold as identified in appendix B. (7) Crimes affecting the U.S. Army Reserve and the Army National Guard. Crimes in which the USAR or ARNG are affected by fraud, theft, diversion, or destruction of Government funds or property may be investigated by the USACIDC. Other cases affecting a Army interest may be investigated pursuant to instructions of the CG, USACIDC. The USACIDC investigations involving members of the ARNG, when in active Federal service, as prescribed in 10 USC 802, will be reported to the appropriate state adjutant general. Cases involving USAR personnel not in active duty training or extended active duty training status at the time of the offense will be reported to the Commander, Reserve Command responsible for the unit to which the subject belongs. (8) Adult private consensual sexual misconduct. The adult private consensual sexual misconduct (APCSM) or “sexual misconduct” is a sexual act or acts in violation of the UCMJ, which occur between consenting adults, in private, whether on or off the installation, such as, adultery and indecent acts. The USACIDC or installation LE will not investigate APCSM when that is the sole offense. APCSM will only be investigated by USACIDC when aggravating circumstances exist; and only if approved by the CG, USACIDC. When investigated by USACIDC, the offenses will be reported to the appropriate commander. 7AR 195–2 • 9 June 2014 Case 1:15-cv-00031-CKK Document 20-3 Filed 06/19/17 Page 14 of 52 (9) Fraternization. Will not normally be investigated by either the USACIDC or installation LE when this is the only offense. The offense will be reported by the installation LE, using DA Form 3975, through command channels to the appropriate commander. (10) Offenses involving senior personnel. Whenever a law enforcement official receives or becomes aware of an allegation of criminality or impropriety against a senior official, HQ, USACIDC G–3 will be notified immediately by the most expeditious means (for example, telephone, fax, and email) of the allegation. Senior officials are general or flag officers on active duty or retired; a general or flag officer on active duty or retired of the U.S. Army Reserve or National Guard; a general officer designee (promotable O-6); a DoD civilian employee in the grade of Senior Executive Service (SES) or higher; or other personnel of equivalent rank who occupy a key position as designated by an appropriate commander. HQUSACIDC, in coordination with the Office of the Department of the Army Inspector General, will determine if it is a USACIDC or Inspector General responsibility to investigate the allegation. USACIDC may investigate other offenses involving these personnel as subject, without regard for the limitations imposed in this regulation, if the sensitivity of the incident or complexity of the matter so dictates. The notification procedures as noted above will be followed. Commanders and inspector generals are reminded that this guidance is available in AR 20–1, all allegations of impropriety or misconduct (including criminal allegations) against senior officials will be reported to the Department of the Army Inspector General’s Investigations Division within two working days of receipt of an allegation. (11) Aggravated assaults. The USACIDC is responsible for investigating aggravated assaults which result in the victim being hospitalized for treatment (not mere observation) for a period of more than 24 hours. All other aggravated assaults will be investigated by the installation LE. (12) Misuse of government computers. The USACIDC will not routinely investigate allegations of the misuse of government computers. Misuse as part of a personal business venture may fall under other violations investigated by USACIDC. The USACIDC retains primary investigative jurisdiction over incidents involving child pornography, and unauthorized access and/or intrusions into Army interest computers. (13) Violations of general regulations. The USACIDC will investigate these offenses only when the regulation violated is punitive in nature and the underlying offense is, in itself, a felony crime by statute such as currency violations and certain black-market offenses as listed in this regulation. b. The USACIDC may conduct a preliminary investigation as required to determine whether the USACIDC has investigative authority or responsibility or whether there is an Army interest in the matter. If the preliminary investigation reveals that one or more of the foregoing is lacking, the matter will be referred to the appropriate action agency. 3–4. Assumption of investigative responsibility by the U.S. Army Criminal Investigation Command The USACIDC may assume responsibility for investigating any criminal offense within the investigative authority of the Army when appropriate to a related investigation or to further LE, crime prevention, or force protection goals of the Army. When the USACIDC assumes control of an investigation from the installation LE and initiates an ROI, the investigation will be carried through to conclusion by the USACIDC unless otherwise specified in this regulation. Conducting a preliminary investigation does not presuppose assuming control of an investigation. 3–5. Agreements between the U.S. Army Criminal Investigation Command and installation law enforcement activities Modification of investigative responsibility by mutual agreement is not authorized at local, ACOM, ASCC, or DRU levels. A MOU establishing drug or other crime suppression teams and delineating their logistical and administrative support is authorized. 3–6. Referral of investigations For some criminal offenses within the USACIDC investigative responsibility, another agency may have primary responsibility to investigate. In such cases, the other agency will be promptly informed of the allegation and, if the other agency assumes the responsibility to investigate the case, it may be referred to that agency. The USACIDC field element will submit a ROI reflecting the conduct of the investigation to date and a statement that the other agency has assumed responsibility for the investigation. If the other agency ceases the development or completion of investigative leads, the USACIDC may conduct further investigation, provided the other agency presents no valid objections. If the other agency declines to investigate, the USACIDC may conduct the investigation. 3–7. Army Substance Abuse Program In compliance with the Army’s Army Substance Abuse Program (ASAP) policy, the USACIDC will investigate participants in the ASAP for controlled substance offenses only if the offense occurred after entry into the program or if the participant had been identified as a suspect or subject prior to the time of entry into the program. Participants in ASAP will not be knowingly approached by the USACIDC special agents, installation LE , or other investigative personnel for the purpose of soliciting information about controlled substances or distribution, unless the participant voluntarily offers to provide such information. If the ASAP participant volunteers the information, it will not be 8 AR 195–2 • 9 June 2014 Case 1:15-cv-00031-CKK Document 20-3 Filed 06/19/17 Page 15 of 52 obtained in the ASAP facility or in such a manner as to jeopardize the safety of the sources of information or compromise the confidentiality and credibility of the ASAP. The USACIDC special agents, installation LE and other investigative personnel will not enroll in or infiltrate the ASAP treatment program for the purpose of LE activities in accordance with AR 600–85. 3–8. Immigration customs enforcement and postal matters a. ICE and postal authorities periodically find unauthorized material (for example, contraband, explosives, ammuni- tion, unauthorized or illegal weapons, or illegal drugs). b. When notified by ICE or the U.S. Postal Service of unauthorized material discovered in the mail system or in transit from theater of operations during an ICE inspection, a joint investigation may be conducted. c. When requested, USACIDC special agents or LE will receive as evidence such confiscated U.S. Government property. Such property will be returned to Government supply channels, when no longer required for evidentiary purposes. d. Recovery of weapons, ammunition, and explosives will be reported by the Army installation element to which the item(s) are assigned in accordance with AR 190–11. e. The USACIDC will investigate such incidents when appropriate and in conformance with this regulation and according to guidance issued by the CG, USACIDC. Section II Crime Prevention Surveys, Protective Services, Procurement Fraud Program, and Criminal Intelligence Program 3–9. Crime prevention surveys The USACIDC conducts crime prevention surveys to support commanders within the context of the Army Crime Prevention Program. Crime prevention surveys may be initiated by the USACIDC element commander or may be conducted in response to a request by the supported commander. 3–10. Protective services The USACIDC will conduct protective services operations per DODI O-2000.22 and AR 190-58. The USACIDC plans for and conducts protective service operations generally using methods, procedures, and equipment similar to those of the United States Secret Service. When conducting such operations, USACIDC personnel will be provided logistical, administrative, and personnel support from Army elements as required to accomplish its mission. 3–11. Procurement Fraud Program As part of the overall mission to investigate felony crimes in which there is an Army interest in accordance with this regulation and AR 10–87, USACIDC is responsible for investigating procurement fraud and corruption. Evidence gathered during these investigations is used in criminal, civil, or administrative proceedings. 3–12. Criminal intelligence As a part of its overall mission, USACIDC is responsible for the collection, analysis and reporting of actual or potential criminal threats, patterns and trends, actual or potential threats by terrorists or insiders and suspicious activities that may have indicators of such threats. Comparisons among installations or commands will be avoided as there are unique circumstances and situations at each installation/command that cannot be captured just through a statistical data review. Such comparisons often present a flawed or slanted view. 3–13. Law enforcement reporting of suspicious activity a. The authorized DOD LE Suspicious Acting Reporting (SAR) system is eGuardian. In accordance with AR 190- 45, USACIDC and PM/DES will submit SARs using eGuardian. SAR reports submitted via eGuardian will be in addition to any reporting required by AR 381-12 or local command reporting requirements. b. The collection, use, maintenance, and dissemination of information critical to the success of the DOD efforts to counter terrorist threats must comply with all applicable laws, regulations, and policies regarding the safeguarding of personal freedoms, civil liberties, and information privacy. Section III Operational Considerations 3–14. Freedom of movement a. During the course of a criminal investigation, USACIDC special agents or supervisors are authorized freedom of movement between geographical areas of responsibility. b. All USACIDC personnel must obtain special area, country and/or theater clearance for any travel outside the United States, its territories, and possessions. In some cases all, one or more, or none of these clearances may be 9AR 195–2 • 9 June 2014 Case 1:15-cv-00031-CKK Document 20-3 Filed 06/19/17 Page 16 of 52 required. The individual country pages listed in DODD 4500.54E should be consulted when planning to travel. The lead time for requesting travel clearances varies with each individual country, so DODD 4500.54E should be reviewed during initial travel planning. c. Accredited USACIDC supervisors and special agents may obtain official U.S. passports through their servicing passport control office, military personnel section. Item 12 of the DD Form 1056 (Authorization to Apply for a “No- Fee” Passport and/or Request for Visa), accompanying each application will show the special assignment code of “USACIDC.” Item 11 may be left blank. Item 7 must show the special agent’s military rank, general schedule grade, or National Security Personnel System pay band. d. The USACIDC offices and facilities will not be shared with other units under any circumstances. 3–15. Crime scenes The control and processing of a crime scene and the collection and preservation of the evidence found at the scene are the exclusive responsibilities of the USACIDC special agent or supervisor in charge of the crime scene, when the USACIDC has investigative responsibility. To prevent the possible loss or destruction of evidence, the USACIDC special agent or supervisor in charge of the crime scene is authorized to exclude all personnel from the scene. The exercise of this authority in a particular case may be subject to the requirement to preserve human life and the requirement for continuing necessary operations and security. This should be determined in conjunction with the appropriate commander and, where applicable, local host country LE authorities. 3–16. Coordination a. General. All USACIDC elements will establish liaison with the headquarters responsible for the installation, activity, or area supported. Commanders and installation PM/DES will be kept informed of the status of criminal investigations, criminal threats and analysis and crime prevention surveys in which they have an interest. If the release of this information would prejudice the successful completion of any investigation or survey, this coordination may be delayed or withheld up to and including the level of commanders of ACOMs. When such a release of information is withheld or delayed as determined by the USACIDC detachment commander or special agent-in-charge, the USACIDC element will inform the HQ USACIDC, Investigative Operations Division, and the USACIDC battalion and the group headquarters. The withholding or delay of the release of such information to commanders of ACOMs requires approval of the CG, USACIDC, who will inform the Chief of Staff of the Army or the Secretary of the Army of the intent to delay or withhold the release. b. Other services. The USACIDC element will promptly notify the appropriate headquarters of another military service of any known or suspected crime for which the USACIDC has investigative responsibility in which the personnel or property of the other service are involved. Upon request from the headquarters having jurisdiction over the personnel or property concerned, an investigation may be conducted by the USACIDC. In crimes involving both Army personnel and personnel of another service, local coordination of the investigation with that service’s criminal investigative agency will be accomplished by the USACIDC element concerned. c. Release of derogatory information. Derogatory information that mentions or can be tied to particular individuals will be released only to those persons whose official duties create a definite need to have access to the information. Derogatory information will not be released outside of the DOD, except as authorized by 5 USC 552a and AR 340–21. d. Notification of Soldier apprehension. CID will notify commanders within four hours when a Soldier is appre- hended or advised of their UCMJ, Art. 31 rights, and Military Rule of Evidence (MRE) 305 in the Manual for Courts- Martial (MCM). Such notification is subject to delay based on the need to prevent investigative compromise. 3–17. Access to Army facilities and records a. The USACIDC special agents, Military Police Investigators (MPI) and DAC Detectives will be granted access to all Army facilities and records when necessary for criminal investigations, criminal intelligence efforts, protective service missions, or crime prevention surveys, when access is consistent with the provisions of applicable laws governing such access. b. AR 40–66 and DODR 6025.18–R describe policy and procedures to be used by USACIDC special agents, MPI, and DAC Detectives to gain access to information in medical records when conducting official investigations. Approved permission for access to information is authorization to make extracts or transcripts, for official purposes only, of specific information obtained by the custodian from medical records. The medical records will remain under the control of the records custodian who will make either the records or legible certified copies available for judicial, non-judicial, or administrative proceedings. 3–18. Security clearances and background investigations a. All accredited USACIDC special agents and supervisors are required to have a top secret clearance based on a single scope background investigation, in accordance with DOD 5200.2–R, and AR 380–67. b. Any USACIDC personnel who have access to investigative records or files are required to have a single scope background investigation, for suitability purposes only, in accordance with DOD 5200.2–R, and AR 380–67. 10 AR 195–2 • 9 June 2014 Case 1:15-cv-00031-CKK Document 20-3 Filed 06/19/17 Page 17 of 52 3–19. U.S. Army Criminal Investigation Command use of the National Crime Information Center a. All USACIDC elements within the continental United States (CONUS) will make maximum use of the National Crime Information Center (NCIC). The USACIDC terminal is located at the CRC; however, terminals located at CONUS installations are available for use by USACIDC personnel in accordance with AR 190–45. Coordination with the installation LE is encouraged. b. The use of the NCIC will be in accordance with AR 190–45 and the operating instructions of the FBI. The CG, USACIDC will issue appropriate instructions for use of the NCIC by USACIDC elements. c. Data entered into the NCIC through the terminals located at CONUS installations will include information pertaining to stolen Government or private property, a theft of which is investigated by the USACIDC and which meets the criteria established by the FBI for entry into the system. Information pertaining to absentees or deserters whose personal identifiers have already been entered by the U.S. Army Deserter Information Point (USADIP) will be entered through the USACIDC terminal at the CRC, if they have become suspects or subjects in a USACIDC investigation. d. The CRC enters stolen property and weapon reports for installation LE outside the continental United States (OCONUS) locations in accordance with AR 190–45. The CRC will conduct NCIC inquiries for USACIDC special agents in support of criminal investigations or related inquiries for elements in OCONUS locations, based on a request from the individual USACIDC element. e. The USACIDC and USADIP will establish a liaison to ensure timely exchange of information on matters pertaining to absentees and deserters. The CRC will provide USADIP with the names of those Army deserters in whom the USACIDC has an interest. The USADIP will ensure that notification of apprehension or inquiries from civil LE authorities on subjects of USACIDC investigations are transmitted to the CRC by the most expeditious means. The USACIDC will ensure that timely notification of a cancellation of interest in an absentee or deserter, previously listed in the wanted file, is provided to the USADIP and entered into the NCIC immediately. 3–20. Warning of rights Prior to any questioning, all persons subject to the UCMJ who are reasonably suspected of a criminal offense must be properly advised of their rights in accordance with UCMJ, Art. 31 and MRE 305 in the MCM. U.S. civilian subjects, not otherwise subject to the UCMJ, will be warned per current Federal law. Generally, Federal law requires that civilians be advised of their Constitutional rights only in those circumstances amounting to a “custodial interview.” During wartime and contingency operations, or in other circumstances determined by the President of the United States, civilians may be subject to the UCMJ. Under those circumstances, UCMJ, Art. 31 would apply and would require the appropriate rights warning. Section IV U.S. Army Criminal Investigation Command Special Agents 3–21. General a. All USACIDC special agents are authorized to enforce the criminal laws of the United States concerning any offense over which the Army has investigative authority. Nothing in this regulation purports to authorize any action that would constitute a violation of 18 USC 1385. b. All USACIDC special agents (military and civilian) are recognized as Federal LE agents under Title 28 Code of Federal Regulations (CFR), Section 60.3(a)(2) (28 CFR 60.3a(2)). 3–22. Utilization a. The USACIDC special agents will not be assigned to other than criminal investigative duties without prior approval of the CG, USACIDC. The USACIDC special agents or supervisory personnel will not be assigned duties such as post or staff duty officer, LE duty officer, casualty assistance officer, membership on boards (except boards considering applicants for appointment as warrant officers in military occupational specialty 311A, promotion boards, or reclassification boards requiring a member knowledgeable of duties required of USACIDC personnel). This does not preclude the performance by USACIDC special agents or supervisors of those additional duties assigned by, and performed within, the USACIDC unit. The USACIDC special agents and U.S. Army Criminal Investigation Laboratory (USACIL) personnel will not be assigned to defense counsels to serve as a member of the defense team or as an expert witness for the defense for courts-martial proceedings. b. When the interests of effective LE require special expertise or technical assistance, the CG, USACIDC, may authorize civilian or military personnel of the Army to assist in criminal investigations and to perform other USACIDC related duties, to include administering oaths. c. The USACIDC special agents and certified polygraph examiners may perform all the requirements of their respective duty positions without regard to whether they hold military or civilian status. 3–23. Authority to apprehend or detain a. Pursuant to RCM 302, MCM; UCMJ; and 10 USC 807; USACIDC special agents are authorized to apprehend any person subject to the UCMJ, regardless of location, if there is probable cause to believe that person has committed, 11AR 195–2 • 9 June 2014 Case 1:15-cv-00031-CKK Document 20-3 Filed 06/19/17 Page 18 of 52 is committing, or is about to commit a criminal offense punishable by courts-martial. In affecting apprehensions, such force as may be reasonably necessary, in accordance with AR 190–14, may be used. Apprehensions to be made in private dwellings, on or off a military installation, will be accomplished in accordance with the procedures specified in RCM 302 (e)(2). All USACIDC special agents are also authorized to conduct investigative stops of any person subject to the UCMJ, regardless of location, if there is an articulable and reasonable belief the person has committed, is committing, or is about to commit a criminal offense. b. All USACIDC special agents are authorized to apprehend civilian personnel on military installations, facilities, DOD property (50 USC 797) or areas under military administration, when there is probable cause to believe that person has committed an offense cognizable under the criminal laws of the United States to include offenses assimilated from State law, in areas of exclusive Federal, concurrent Federal-State or proprietary Federal jurisdiction. Such persons will be held only until they can be released to an appropriate Federal, State, or local LE agency, or to civilian authorities in accordance with local procedures. c. Military USACIDC special agents, in their official capacity, have no authority to arrest, with or without an arrest warrant, civilians outside the limits of a military installation. When such an arrest is necessary in the conduct of a USACIDC investigation, an arrest warrant must be obtained and executed by a civil LE officer with statutory arrest authority or a civilian USACIDC special agent. The USACIDC special agents may accompany the arresting civil LE official for purposes of identifying the person to be arrested and providing backup assistance. d. In accordance with 10 USC 4027, the Secretary of the Army, in conjunction with the Secretary of Defense and the Attorney General, has granted USACIDC civilian special agents statutory arrest authority enabling them to execute and serve arrest warrants and arrest any person without a warrant off DOD controlled property in the United States under specified circumstances. This authority will be exercised under the guidelines that the Secretary of Defense and the Attorney General approved in November 2005. e. The USACIDC military and civilian special agents are authorized to make arrests outside the United States for offenses subject to prosecution under 18 USC 3261 and DODI 5525.11. f. Personnel apprehended by USACIDC special agents will be released to civil or installation LE, as appropriate, for confinement or detention. Confinement or detention in military facilities will be in accordance with AR 190–47. Nothing in this regulation is intended to restrict the inherent authority of military commanders to maintain law and order on the installation for which they are responsible or to restrict the personal authority of special agents under various state laws concerning citizen’s arrest. 3–24. Authority to search and seize a. Searches and seizures within the confines of a U.S. military installation will be conducted in accordance with the MRE, in the MCM; or other applicable law. b. All USACIDC special agents are authorized to seek a search warrant from a civil (state and Federal) magistrate or judge, and, if issued, to execute the search warrant outside of a military installation. This authority is granted under the provisions of the Federal Rules of Criminal Procedure, 28 CFR 60, Executive Order 12473, RCM 302(b) and MRE 315 in the MCM, and pertains to those offenses within the investigative authority of the Army over which the USACIDC has assumed investigative responsibility. When executing such a search warrant, military USACIDC special agents will be accompanied by a civil LE officer having statutory arrest authority or a civilian USACIDC special agent. 3–25. Authority to administer oaths The USACIDC special agents, and other personnel designated in accordance with this regulation, are authorized to administer oaths under the provisions of 10 USC 936 for military investigative personnel and 5 USC 303, for civilian investigative personnel. 3–26. Firearms a. The USACIDC special agents are authorized to carry concealed weapons in accordance with instructions issued by the CG, USACIDC, and AR 190–14. Any weapon lost, stolen, or unaccounted for will be reported immediately to CG, USACIDC, Investigative Operations b. Unless authorized by the CG, USACIDC, or the commander’s designated representative, only government issued and acquired weapons and ammunition will be utilized. The use of personally owned weapons and ammunition for official duties (other than officially sanctioned marksmanship competition) is prohibited. 3–27. Civilian clothing a. Unless precluded by theater requirements, (for example, combat operations), or when directed otherwise by a USACIDC unit commander, USACIDC special agents may wear civilian clothing in the performance of their duties, to include permanent change of station travel to a new duty station. The USACIDC supervisors may also wear civilian clothing when appropriate for mission accomplishment. Civilian clothing allowances for USACIDC special agents may be obtained in accordance with AR 700–84. b. The USACIDC special agents and supervisors may obtain non-standard spectacle frames in accordance with AR 40–63. 12 AR 195–2 • 9 June 2014 Case 1:15-cv-00031-CKK Document 20-3 Filed 06/19/17 Page 19 of 52 c. The personal appearance standards of AR 670–1 may be waived by USACIDC supervisors for USACIDC special agents and other personnel attached for investigative duties. 3–28. Billets and messes a. Enlisted USACIDC special agents and laboratory examiners must be billeted with other USACIDC personnel in facilities separate from other Soldiers, or in senior bachelor enlisted or bachelor officer quarters. If a lack of suitable facilities precludes this policy, USACIDC special agents will be provided statements of non-availability to support claims for basic allowance for housing (BAH) or per diem, as appropriate in accordance with AR 420–1. b. The USACIDC unit administrative personnel will be billeted with USACIDC personnel or with MP personnel. Alternate billeting arrangements may be provided when it is determined that the USACIDC mission will not be adversely affected. If a lack of suitable facilities precludes this policy, administrative personnel will be provided statements of non-availability to support claims for BAH in accordance with AR 420–1. c. The policy in paragraphs a and b does not apply when LE personnel are billeted as a unit during combat operations, field exercises, or other training periods. Housing policy for non-LE type personnel prevails during these periods. d. Enlisted USACIDC special agents are authorized basic allowance for subsistence (BAS) in accordance with DOD 7000.14–R. e. The above provisions do not apply in OCONUS areas not authorized BAH and BAS. 3–29. Disclosure of rank or grade a. The USACIDC special agents conducting USACIDC investigation activities are not required to reveal their military or civilian rank, grade, or position other than as “CID special agent.” Their status as members of the U.S. Army or as a USACIDC special agent may also be concealed, if such concealment is in the interest of effective LE. b. The USACIDC special agents will include their military or civilian rank or grade in signing all correspondence, except USACIDC ROIs and documents related to the ROIs. c. The USACIDC special agents may wear the “U.S.” insignia in lieu of insignia of rank when wearing field uniforms. d. Civilian USACIDC special agents, as directed by the CG, USACIDC, may wear the field uniform in a combat environment or military operations other than war in the manner in accordance with AR 670–1. 3–30. Retention and use of investigative property The ROIs, files, photographs, exhibits, handwritten notes, sketches, and other material pertaining to USACIDC duties, including copies, negatives, compact discs, and reproductions, are either the property of the DA or in its custody and will not be retained or used as personal property. Photographs taken during the conduct of criminal investigations or related duties are exempt from the requirements of AR 25–1. 3–31. Standards of conduct Standards of conduct for DOD personnel are contained in DOD 5500.07–R and will apply to all personnel in the USACIDC program. Additional restrictions on off-duty employment and any other limitations of personnel assigned to the USACIDC may be determined by the CG, USACIDC. Section V U.S. Army Criminal Investigation Command Drug Suppression Operations in Foreign Countries 3–32. Purpose This section sets forth Army policy for all USACIDC drug suppression operations conducted outside the U.S. and its possessions. It applies to all levels of drug suppression operations, whether conducted on or off a military installation and whether or not conducted in conjunction with other U.S. or non-United States LE agencies. 3–33. Definitions a. Level One operations are those operations conducted only in OCONUS and uses agents in an undercover role intended to identify high level traffickers of narcotics and dangerous drugs and to intercept controlled substances destined for resale and/or use by U.S. Armed Forces personnel. b. Level Two operations are those drug suppression operations conducted by special agents assigned to local USACIDC units and drug suppression team personnel operating in a semi-undercover capacity with the mission of identifying traffickers, wholesale or retail, who operate on or close to installations or areas where U.S. Armed Forces personnel are stationed and/or who sell directly to U.S. Armed Forces personnel. c. Level Three operations are those drug suppression operations conducted by special agents assigned to the local USACIDC units who operate in an overt manner investigating reported or detected controlled substance violations by members of the U.S. Armed Forces. The term U.S. Armed Forces personnel includes all employees, military or 13AR 195–2 • 9 June 2014 Case 1:15-cv-00031-CKK Document 20-3 Filed 06/19/17 Page 20 of 52 civilian, of the DOD and the Family members of such persons, except where the term is more narrowly defined by provision of applicable treaties or international agreements, in which case that definition will apply. 3–34. Policy considerations Individuals in charge of USACIDC drug suppression operations and the approving authorities set forth in this regulation will ensure that all operations are conducted in accordance with the following policy considerations: a. The objective of USACIDC drug suppression operations is to support Army commanders by limiting the use or possession of illegal drugs by U.S. Armed Forces personnel and by interdicting the supply of illegal drugs directed to such persons. Drug suppression operations will be conducted only to the extent necessary to achieve this objective and only when resources from other U.S. and non-U.S. LE agencies are not available or cannot be used due to prevailing operational conditions or necessities. A particular drug operation should not be conducted unless there is an identifiable connection between the drug traffickers being investigated and U.S. Armed Forces personnel. Such a connection is present only if the traffickers are known or suspected to have had recent drug transactions with U.S. Armed Forces personnel or if the traffickers distribute in an area where experience indicates a substantial portion of the available drug supply is obtained by U.S. Armed Forces personnel. The general scope of drug suppression operations should be coordinated with the supporting staff judge advocate, when the operation may have significant impact on nonmilitary personnel. b. Level One operations will be conducted only as necessary in light of the following factors: (1) The connection of the drug trafficking activities and lines of distribution to the supply of illegal drugs available to U.S. Armed Forces personnel. (2) The resources available to the USACIDC to support the operation. (3) The political effect of a refusal to support a foreign government in a combined operation that has an impact on U.S. Armed Forces. (4) The effect on relations with foreign LE agencies of providing or failing to provide requested assistance. (5) The potential effect on U.S. Armed Forces should the drug trafficker be successful, despite efforts of foreign LE agencies or other U.S. LE agencies. c. Level One and, to a lesser extent, Level Two operations can adversely impact U.S. relations with other countries. Hence, diplomatic and political considerations must always be taken into account. Questions as to the foreign relations impact of drug suppression operations should be referred to the U.S. Embassy Narcotics Coordinator as set forth in this regulation. d. To the extent necessary to accomplish the drug suppression objective, the USACIDC should maintain relations with other U.S. and non-U.S. police organizations and participate in the exchange of LE information and support to assist investigative goals. e. All drug enforcement operations in foreign countries will be conducted in accordance with the provisions of SOFA or other international agreements. f. The USACIDC drug suppression operations OCONUS represent an effort to counter a significant threat to the health, welfare, morale, and readiness of the Army. In view of the significant Army interest involved, USACIDC narcotics control efforts are generally within the usual SOFA arrangements. However, if any USACIDC investigative activity is outside the authority of such provisions (for example, a host country LE agency requests USACIDC interpreter assistance in a narcotics case having no military interest) 22 USC 2291c applies. Therefore, when the action to be taken is not within a SOFA arrangement, no USACIDC or other Army personnel or employee may “engage or participate in any direct police arrest action in any foreign country” or “interrogate or be present during the interroga- tion of any U.S. person arrested in a foreign country with respect to narcotics control efforts without the written consent of such person” (22 USC 2291(c)). 3–35. Approvals and coordination All USACIDC drug suppression operations will be conducted in accordance with the following provisions: a. Embassy narcotics coordinators. The general scope of all levels of operations in a foreign country must be fully coordinated with the Drug Enforcement Administration (DEA) representative and approved by the U.S. Embassy Narcotics Coordinator to ensure compliance with U.S. Embassy policy. In addition, prior case-by-case approval by the Embassy Narcotics Coordinator is required for all Level One operations. Approval in individual cases will be obtained by the USACIDC group commander before seeking DA and DOD approval. In approving cases, the Embassy Narcotics Ccoordinator will confirm with the DEA representative that DEA is unable to provide necessary investigative re- sources. The Embassy Narcotics Coordinator should be contacted regarding Level Two or Three operations, if it appears at any time before or during an operation that the operation may adversely affect U.S. foreign relations. b. Foreign governments. Level One and significant off-post Level Two drug suppression operations will be con- ducted only if, and to the extent requested by, the host country police agency and with the knowledge and concurrence of an appropriate agency in the government of that country. However, in countries where an agreement giving prior approval to such operations is in effect, the operations may be conducted as prescribed by the agreement. 14 AR 195–2 • 9 June 2014 Case 1:15-cv-00031-CKK Document 20-3 Filed 06/19/17 Page 21 of 52 c. Commanders of Army service component commands. Must approve all Level One operations on a case-by-case basis. The USACIDC group commander must obtain this approval prior to seeking DA or DOD approval. d. Department of the Army and Department of Defense. All Level One operations will be approved on a case-by- case basis by DA and DOD. Requests for approval should be forwarded through USACIDC command channels to the Office of the Army General Counsel. The DA and DOD approval is also necessary prior to the initial commencement of Level One operations in a country. In all cases approved by DA and DOD, the USACIDC will provide periodic follow-up reports explaining the extent and results of off-post activities and all other significant aspects of the approved operations. Section VI U.S. Army Criminal Investigation Command Support to the Army and Air Force Exchange Service 3–36. Purpose This section sets forth Army policy to support Army and Air Force Exchange Service (AAFES) with criminal investigations and LE functions in conjunction with the U.S. Air Force Office of Special Investigations (AFOSI). 3–37. Air Force Office of Special Investigations The AF is the executive agency for AAFES and AFOSI is the lead criminal investigative agency. 3–38. Air Force Office of Special Investigations responsibilities The AFOSI is responsible for overall coordination of investigations relating to AAFES matters, for ensuring mutual exchange of information by AFOSI and USACIDC elements at all echelons, and for making recommendations to USACIDC elements in cases involving overlapping or conflicting jurisdiction, or otherwise requiring special handling. a. The AFOSI will exercise its responsibility in a way that preserves the individual authority of the U.S. Air Force and Army LE elements. b. The AFOSI responsibilities include the following: (1) Providing the personnel to consolidate all investigations arising at HQ, AAFES, OCONUS Exchange System headquarters, and at CONUS Exchange Region headquarters. Matters may be investigated by AFOSI or Air Force security forces in accordance with U.S. Air Force (USAF) regulations, which will determine if AFOSI or the security forces could more appropriately conduct the investigation. (2) Conduct all investigations concerning— (a) Procurement and contract fraud investigation at HQ AAFES, and at Exchange System and Exchange Region headquarters, regardless of location. A joint investigation may be conducted when located on Army installations. (b) Conduct all criminal and fraud investigations arising at HQ, AAFES. (c) Exchange facilities or offices located on USAF installations (d) Exchange facilities, offices, or activities not located on installations of either the USAF or the Army, but primarily serving USAF personnel or installations. (3) Serves as the executive representative and professional consultant to the AAFES Commander. (4) Taking part with Army LE activities on Joint investigations. c. Does not investigate an individual or activity under Army jurisdiction without knowledge and concurrence of the Commander, USACIDC. d. Any major disagreement regarding the conduct of AAFES investigations will be resolved between the Command- er, AFOSI, and the Commander, USACIDC or the Chief, LE Division, Office of the Provost Marshal General (OPMG), HQDA, if involving installation LE. 3–39. Army law enforcement responsibilities The AAFES may be investigated by the USACIDC or installation LE in accordance with this regulation. Army LE elements are responsible for conducting all investigations concerning— a. Exchange facilities, offices, or activities located on Army installations. Procurement and contract fraud investiga- tions at HQ, AAFES, Exchange System, and Exchange Region headquarters located on Army installations may be investigated jointly, although primary responsibility remains with AFOSI. b. Exchange facilities, offices, or activities not located on installations of either the Air Force or the Army but primarily serving Army personnel or installation. c. Other exchange facilities as agreed on between AFOSI, USACIDC and the OPMG. The Chief, LE Branch, OPMG, HQDA is the responsible official for coordinating matters related to installation LE support to AAFES. 3–40. General guidelines on types of crimes The following crimes are particularly applicable to the activity of AAFES and should be referred for investigation in accordance with this regulation: a. Fraud. 15AR 195–2 • 9 June 2014 Case 1:15-cv-00031-CKK Document 20-3 Filed 06/19/17 Page 22 of 52 (1) The AAFES should refer to Army LE elements any manipulation or alteration of records to perpetrate a fraud affecting only one local exchange facility. (2) The AAFES should refer to AFOSI all complaints involving the centralized procurement of goods, services, or concession contracts affecting the AAFES system. Joint investigation may be conducted, when the offense occurs on Army installations. b. Pilferage. Promptly refer to Army LE elements for investigative determination of any loss strongly suspected as pilferage by AAFES employees. c. Break-ins. The AAFES will refer to Army LE elements all housebreaking of exchange facilities and warehouses. Usually, this type of offense necessitates a crime scene search requiring investigative expertise. d. Bad checks. (1) Insufficient funds. The AAFES usually administratively processes insufficient funds and checks bearing the true name of the maker. (2) Forgery. The AAFES will refer to Army LE elements checks not bearing the true name of the maker. e. Inventory variance. Normally, AAFES will not refer inventory variances to Army LE elements for investigation, unless an internal management review conducted by AAFES indicates criminal involvement. f. Shoplifting. The AAFES safety and security personnel must report incidents of shoplifting to the installation LE for investigation. Under extraordinary circumstances or when specialized investigative techniques are required, com- plaints of shoplifting may be investigated by USACIDC. For example, specialized techniques may be required when systematic, undetected shoplifting is apparent and professional criminal activity is suspected. g. Misuse of exchange privileges. The AAFES will refer misuse of exchange privileges to Army LE elements only if m i s u s e i n d i c a t e s e x p l o i t a t i o n f o r c o m m e r c i a l p u r p o s e s o r , i n O C O N U S a r e a s , f o r b l a c k - m a r k e t i n g o r c u s t o m s violations. h. Other violations. In OCONUS, AAFES will refer to Army LE elements other violations involving AAFES matters or facilities committed to the extent or degree indicative of professional criminal activity such as: theft of goods in transport, customs violations, black-marketing, counterfeiting, and currency manipulations. Chapter 4 Investigative Records, Files, and Reports 4–1. Policy Investigative records, files, and reports will be prepared, maintained, and released by USACIDC elements in accord- ance with AR 340–21, AR 25–55, AR 25–400–2, AR 190–45, this regulation, and other applicable laws, regulations, or directives. 4–2. Preparation and maintenance a. Policies and procedures. The CG, USACIDC, will establish policies and procedures for the preparation and maintenance of investigative records and reports as prescribed in this and other applicable regulations. b. Investigative forms. This regulation is the prescribing directive for DA Form 2804 (Crime Records Data Refer- ence). This form will be utilized as an index card for subjects, suspects, and victims of each USACIDC ROI, for subjects of MPI ROIs, and for subjects of DA Form 3975 forwarded to the Director, CRC for filing. The Automated Criminal Investigative and Intelligence System and Centralized Operations Police Suite produce the form; however, under some circumstances, such as deployments, the form may be produced manually. The MP/MPI/DAC detectives will use DA Form 2804 for subjects of MPI ROIs and DA Form 3975s forwarded to the Director, CRC with the report. See this regulation for instructions on completing this form. c. Investigative files. (1) The CG, USACIDC, will establish policies and procedures for the transmittal and maintenance of USACIDC investigative records and reports; recommend to DA, Army Records Management and Declassification Agency (RMDA) standards for the retention of this material; direct the conduct of special studies and research utilizing data contained therein; and determine the release ability of information in these files. (2) The CG, USACIDC, will recommend to DA, RMDA, standards for the retention of selected MPI ROIs and DA Form 3975s submitted to the CRC in accordance with AR 190–45 and for the release of information. d. Requirements control. USACIDC, MP, MPI, and DAC Detective investigative reports are exempt from require- ments control under AR 335–15. e. Classification and safeguards. (1) The USACIDC investigative records and reports will be marked “FOR OFFICIAL USE ONLY” (FOUO) in accordance with AR 25–55 and any clarifying guidance issued by the CG, USACIDC. The USACIDC investigative records and reports are exempt from automatic termination of protective marking. However, when investigative records and reports, or portions thereof, are inserted in, or attached to a record of trial by courts-martial or released outside 16 AR 195–2 • 9 June 2014 Case 1:15-cv-00031-CKK Document 20-3 Filed 06/19/17 Page 23 of 52 DOD, the FOUO markings will be automatically cancelled. When the records or reports contain National Defense Information, classifying and handling will be in accordance with AR 380–5. (2) Access to USACIDC reports will be limited to those individuals whose official duties require them to have access to such reports and should be restricted to the minimum number of persons necessary. (3) Reports procured from USACIDC elements or the CRC, when not under personal control of an authorized individual, will be stored in a locked room, file cabinet, desk, shelf-file, or under other conditions which furnish an equivalent or greater degree of physical security. (4) Reports provided by the USACIDC will be destroyed by the receiving agency upon completion of the action for which requested or required. As a minimum, all USACIDC reports will be destroyed following procedures for FOUO material in accordance with AR 25–55 and other applicable directives. Classified reports will be destroyed in accordance with the provisions of AR 380–5. 4–3. Release and use of information a. Release of investigative information. Release of investigative information includes any visual access, oral disclo- sure, explanation of contents, or reproduction of material in investigative records, reports, or related documents of USACIDC origin. b. Release of U.S. Army Criminal Investigation Command investigative records and reports of investigation. Release is authorized in accordance with AR 27–40, AR 190–45, AR 195–6, AR 340–21, and policy on external agency information, as applicable. c. Distribution. Routine distribution for final USACIDC and MPI ROIs will be as follows: (1) Routine distribution for final USACIDC and MPI ROIs will be as follows: (1) Routine distribution within DOD, but external to USACIDC, of final USACIDC ROIs will be through the next higher field grade commander to the commander responsible for initiation of disciplinary or corrective action. Copies will also be provided to the staff judge advocate supporting the action commander, the installation LE responsible for LE in the area in which the incident occurred, and as further directed by the CG, USACIDC. Classified ROIs will not be distributed routinely. Classified information will be distributed in accordance with AR 380–5. (2) Routine distribution within DOD, but external to the installation LE, of final MPI ROIs will be in accordance with AR 190–45. (3) Disclosures outside DOD, under the authority of this paragraph, must be accounted for in accordance with appropriate USACIDC and MP regulations. (4) When the disclosure of a USACIDC investigation presents a threat of the possible compromise of an operation or investigation, USACIDC may restrict distribution of the report(s) to USACIDC channels only. The decision for limited distribution will be an operational determination based on the facts of each case. Once the potential for compromise no longer exists, the restriction will be lifted and a status report dispatched to all parties requiring notification. d. Law enforcement criminal intelligence exchange. (1) Disclosure of criminal intelligence originated or maintained by the USACIDC may be made to any federal, state, local, or foreign LE agency that has an investigative or LE interest in the matter disclosed, provided the disclosure is not in contravention of any law, regulation, or directive, as applied to LE. Disclosures under this paragraph to non- DOD LE elements are a routine use under 5 USC 552a and must be accounted for in accordance with AR 340–21. Classified criminal intelligence will be disseminated in accordance with the provisions of AR 380–5. (2) Acquisition of criminal intelligence from Federal, state, local, or foreign LE agencies is authorized provided it relates to a matter within USACIDC investigative authority or responsibility. Criminal intelligence may be acquired for the purpose of determining whether it meets the criteria in this regulation but will not be retained, if determined to be outside its scope. e. Sensitive investigative information. The identity of sources, information pertaining to USACIDC investigative techniques, and data contained in internal USACIDC records, reports, or indexes thereof, will be released only as authorized by this regulation or by the CG, USACIDC. All other inquiries or requests regarding this type of information, not made under the provisions of this regulation, will be forwarded to the Director, U.S. Army Crime Records Center (CICR–FP), 27130 Telegraph Road, Quantico, VA 22134. f. Juvenile records. (1) Investigative information pertaining to juveniles identified in any USACIDC report as suspects, subjects, or victims may be disclosed only as provided by this regulation. The status of “juvenile” is determined with reference to the age of the person as of the date of the offense. (a) To those persons in the normal distribution channels of USACIDC reports. (b) To other LE authorities when information acquired or maintained by USACIDC indicates criminal activity which may fall within another LE agency’s jurisdiction or responsibility. (c) To other persons as required or authorized by law (for example, parents, pursuant to 18 USC 5033. (2) The fact that the individual to whom the information pertains has become an adult does not alter the protection provided juvenile records. The USACIDC reports pertaining to juvenile subjects, suspects, or victims will be marked, 17AR 195–2 • 9 June 2014 Case 1:15-cv-00031-CKK Document 20-3 Filed 06/19/17 Page 24 of 52 so that they are readily identifiable as juvenile records when filed with other records. This requirement also applies when automated indexing of juvenile records is utilized. (3) Any order from a Federal or state court of competent jurisdiction directing the sealing of juvenile records or juvenile court proceedings will be attached to the file at the local level and, if appropriate, at the CRC. When it appears that the terms of a court order or statute pertaining to the sealing of juvenile records or court proceedings restrict DOD use of records remaining in the custody of the USACIDC, clarification or guidance must be obtained from the CG, USACIDC (CIJA–ZA), 27130 Telegraph Road, Quantico, VA 22134. (4) Requests for release of juvenile records that appear to conflict with the guidance in this regulation and proposed denials for such USACIDC juvenile records will be forwarded promptly to the CG, USACIDC Staff Judge Advocate for determination of the USACIDC position and response. g. Requests for information. Legislative or civilian judicial requests from Federal, state or foreign governments for access to, or copies of, USACIDC reports or information from USACIDC investigative efforts will be forwarded to the CG, USACIDC (CIJA–ZA), 27130 Telegraph Road, Quantico, VA 22134. Congressional requests will be processed in accordance with AR 1–20 and AR 340–21. Responses to Congressional and White House requests and inquiries will be approved by HQ, USACIDC prior to their return to the Office of the Chief of Legislative Liaison. Civilian judicial requests or subpoenas, including those originated by prosecution and defense counsel, will also include that information in accordance with AR 27–40. The USACIDC field elements will not release information without prior approval of the CG, USACIDC (CIJA–ZA), 27130 Telegraph Road, Quantico, VA 22134. h. Official requests. Official requests for information from USACIDC ROIs from agencies of the executive branch of the Federal Government identified as routine users in AR 340–21 and similar requests from other DOD components, will be referred to the Director, U.S. Army Crime Records Center, 27130 Telegraph Road, Quantico, VA 22134. The Director, CRC is authorized direct communication with these agencies and components for this purpose. i. Disclosure. Individuals, agencies, or components that receive USACIDC investigative reports or other information may further disclose such material only for administrative, non-judicial, or judicial purposes or proceedings. No other disclosure is permitted without the prior approval of the CG, USACIDC. These limitations do not apply to requesters or recipients under 5 USC 552 and 5 USC 552a. j. News media requests. Inquiries from news media concerning ongoing criminal investigations will be responded to by USACIDC elements through the public affairs officer of the appropriate supported command. The USACIDC supervisors are authorized to withhold any information, the release of which, in their determination, may jeopardize the successful completion of the investigation and/or apprehension of perpetrators or which meets the criteria of AR 25–55. News media requests under AR 25–55 for USACIDC criminal investigative information not resolved at the investigat- ing element’s level may be directed to the CG, USACIDC (CIIO–PA), 27130 Telegraph Road, Quantico, VA 22134. Other records requested by the news media through public affairs channels should be released upon request only with prior approval of HQ, USACIDC (CIIO–PA). k. Other requests. All other requests not specifically addressed above for copies of USACIDC investigative reports or information will be referred to the Director, U.S. Army Crime Records Center (CICR–FP), 27130 Telegraph Road, Quantico, VA 22134. 4–4. Individual requests for access to, or amendment of, U.S. Army Criminal Investigation Command reports of investigations a. Access to U.S. Army Criminal Investigation Command reports. Access to U.S. Army Criminal Investigations Command reports. All requests for access to USACIDC reports made under 5 USC 552 and 5 USC 552a will be processed in accordance with AR 340–21 and AR 25–55, respectively. b. Amendment of U.S. Army Criminal Investigation Command reports. The USACIDC ROIs are exempt from the amendment provisions of 5 USC 552a and AR 340–21. Requests for amendment will be considered only under the provisions of this regulation. Requests to amend or unfound offenses in USACIDC ROIs will be granted only if the individual submits new, relevant, and material facts that are determined to warrant revision of the report. The burden of proof to substantiate the request rests with the individual. Requests to delete a person’s name from the title block will be granted, if it is determined that credible information did not exist to believe that the individual committed the offense for which titled as a subject at the time the investigation was initiated, or the wrong person’s name has been entered as a result of mistaken identity. The decision to list a person’s name in the title block of a USACIDC ROI is an investigative determination that is independent of judicial, nonjudicial, or administrative action taken against the individual or the results of such action. Within these parameters, the decision to make any changes in the report rests within the sole discretion of the CG, USACIDC. The decision will constitute final action on behalf of the Secretary of the Army with respect to requests for amendment under this regulation. c. Submission of requests. Requests for access to, or amendment of, USACIDC investigative reports will be forwarded to the Director, U.S. Army Crime Records Center (CICR–FP), 27130 Telegraph Road, Quantico, VA 22134. 18 AR 195–2 • 9 June 2014 Case 1:15-cv-00031-CKK Document 20-3 Filed 06/19/17 Page 25 of 52 Chapter 5 U.S. Army Crime Records Center, U.S. Army Criminal Investigation Command 5–1. General The CRC will receive and maintain the permanent files of USACIDC, selected MPI ROIs, selected DA Form 3975s and the DA Form 4833 (Commander’s Report of Disciplinary or Administrative Action). The Director, CRC will ensure the retention and proper use of these records and furnish data and copies of files, documents, or information to persons or agencies authorized to receive such information. The Director will refer requests to agencies controlling release of the requested information. For crime records purposes, the Director will maintain liaison for the CG, USACIDC, the Defense Security Services, Intelligence and Security Command, Defense Central Investigations Index (DCII), the DOD National Agency Check Center, and other Federal agencies, as appropriate. 5–2. Functions The Director, CRC will— a. Receive and file all records and reports as directed by the CG, USACIDC. b. Receive and file DA Form 3975s acquired under the provisions of AR 190–45. c. Process for filing all USACIDC and MPI ROIs, and DA Form 3975s, to include review of offense coding and ensure that each report is administratively complete. d. Provide emergency and routine records checks for installation PM/DES, USACIDC elements, DA, DOD, and other LE identified by the CG, USACIDC, as routine users of records maintained by the CRC. e. Operate and maintain criminal investigative data reference indexes. f. Provide DCII with indexing data for individuals listed as subjects of all USACIDC ROIs and subjects of MPI and MP reports. g. Transmit on request, for LE purposes, copies of USACIDC and MPI ROIs and MP reports to installation PM/ DES, USACIDC elements, DA, and Defense officials who are authorized to obtain and use reports, and other LE identified by the CG, USACIDC, and the Provost Marshal General as routine users of USACIDC and MP records respectively. h. Implement applicable release policy and procedures as delineated in this regulation. i. Refer requesters to appropriate agencies, if information requested does not fall within the CRC control for release action. j. Receive official requests for information from USACIDC ROIs from agencies of the Federal government identi- fied as routine users in AR 340–21 and similar requests from DOD components. The Director, CRC is authorized direct communication with these agencies for this purpose. k. Upon request, transmit copies of final USACIDC and MPI ROIs and MP reports reflecting only founded known subjects to DA and DOD agencies and elements of the executive branch of the Federal government authorized by statute, executive order, directive, or regulation to have access to LE files to make determinations regarding— (1) Suitability for access to classified National Defense Information. (2) Filing of unfavorable information in official military personnel files in accordance with AR 600–37. (3) Accreditation per AR 190–13, AR 190–30, and AR 190–56. (4) Suitability for sensitive positions such as child care providers and promotion to senior positions in the Army. l. Upon written request, transmit USACIDC reports and MP reports to the Office of the Inspector General, HQDA, for those activities in accordance with AR 20–1. 5–3. Routine investigative name checks a. The CRC will, upon request by authorized individuals, conduct a search of available files and indexes to determine if information pertaining to a particular individual is on file. Commanders will oversee requests to ensure submissions are in accordance with this regulation. b. Name checks are made by full name, date of birth, place of birth, social security number or DOD identification number, and former military service number. The LE and USACIDC elements requesting routine name checks must provide as much of this information as possible and may submit such requests by letter or message to the CRC. Requests for name checks for other than LE investigation purposes will state the reason for the request and the use to be made of the data. The specific statute, directive, or regulation upon which the request is based will be cited. Requests for LE purposes will include, if available, the DA Form 3975 number, the CRC cross-reference number for the LE, and the sequence number or ROI number for USACIDC reports. 5–4. Immediate name checks a. The CRC has facilities available to conduct expeditious checks for criminal justice purposes. If, during the course of a criminal investigation, the requirement arises to determine if an individual has any previous military criminal record, this may be done by using telephone, facsimile, or electronic means. Requests for immediate name checks 19AR 195–2 • 9 June 2014 Case 1:15-cv-00031-CKK Document 20-3 Filed 06/19/17 Page 26 of 52 should be limited to situations in which an investigative need for immediate results exists and will include the locally assigned report or sequence number. b. The format to be followed in requesting name checks by telephone is in this regulation. Telephonic name checks by appropriate officials pursuant to AR 25–55 and AR 340–21 requests are authorized. 5–5. Requesting U.S. Army Crimes Records Center files and reports a. Requests for USACIDC and MPI ROIs and DA Form 3975s as outlined in this regulation and AR 190–45 will be forwarded to the Director, U.S. Army Crime Records Center (CICR–FP), 27130 Telegraph Road, Quantico, VA 22134. b. Requests for these reports in connection with LE and investigative activities should include the following: (1) Full name of the subject or victim of the investigation (and any alias used). (2) Place and date of birth. (3) Social security number and/or former military service number. (4) Complete ROI number. c. Requests in connection with LE or investigative activities for investigative files of the AFOSI, the Naval Criminal Investigative Service, the U.S. Army Intelligence and Security Command, DOD Inspector General for Investigations, and the Defense Investigative Service may also be sent to the CRC, which will refer them to the appropriate agency. d. Requests for CID and MPI ROIs and DA Form 3975s or information from the reports for other than LE purposes will include the following: (1) Full name of the individual. (2) Place and date of birth. (3) Social security number and/or former military service number. (4) Nature and purpose of the request, including the statute, directive, or regulation governing such activity and authorizing that activity to use crime records. 5–6. Use of information contained in U.S. Army Criminal Investigation Command and Military Police reports If a DA Form 3975 or criminal investigative record is used as a basis for denying any individual a right, privilege, or benefit to which that individual is entitled by Federal law, or for which he would otherwise be eligible, the individual affected will normally be granted access to the record except in accordance with this regulation, AR 25–55, or AR 340–21. Classified information will be released in accordance with AR 380–5. Such information will not be released, until verification of the person to whom it is to be released occurs. Chapter 6 U.S. Army Criminal Investigation Laboratory 6–1. General The USACIL provides forensic laboratory assistance to U.S. Army investigative elements, other DOD investigative agencies, and Federal LE when directed. 6–2. Responsibilities The CG, USACIDC, is responsible for policies and procedures concerning the quality control and technical proficiency in USACIL operations and training laboratory examiners. 6–3. Request for examination a. All requests for laboratory examination will be forwarded to the Director, USACIL, 4930 N. 31st Street, Forest Park, GA 30297–5205, in accordance with AR 195–5, unless an exception is granted by the Director, USACIL. b. Evaluation of materials in investigations involving allegations of product substitution may require unique testing procedures beyond the capabilities of the USACIL. In these cases, DA components with appropriate testing capabilities will, upon request of the investigating USACIDC element, provide testing support necessary to completely identify the defective nature of substituted products. Costs associated with such tests, whether provided by an Army, DOD, or commercial testing facility, will be assumed by the procurement program involved in the investigation. c. Requests for examinations not conducted internally by the USACIL (that is, outside the scope of traditional criminalistic disciplines) should be coordinated through the USACIL prior to submission. d. The USACIL will not re-examine evidence which has been previously examined at the USACIL in the same forensic discipline or has been examined in the same forensic discipline by another laboratory. Exceptions are as follows: (1) When ordered to do so by a court of competent authority. 20 AR 195–2 • 9 June 2014 Case 1:15-cv-00031-CKK Document 20-3 Filed 06/19/17 Page 27 of 52 (2) The USACIL has more exacting and sophisticated equipment or techniques for the examination, which could significantly improve the reliability of the findings, as determined by the Director, USACIL. 6–4. Court appearance a. If temporary duty travel is involved, the appearance of laboratory examiners at a legal proceeding will, to the extent practicable, be requested by memorandum or electronic means at usarmy.gillem.usacil.other.dfscoe-mail@mail. mil to reach the Director, USACIL, at least 10 working days prior to the requested appearance date. This lead-time is necessary to avoid conflicts with other commitments and to allow time for administrative processing and court preparation. When USACIL personnel receive a request to appear for litigation in civilian courts, they should forward subpoenas or witness requests to the Army Litigation Division. The request will include at a minimum— (1) The USACIL referral number (from laboratory report). (2) Examiner(s) completing the examination(s). (3) Date, time, place, and to whom the examiner is to report. (4) Number of days temporary duty is required. (5) The DOD fund cite for travel and per diem. The examiner is not committed to the request for appearance at a legal proceeding, until the USACIL receives the approved fund cite. b. The Director, USACIL, will have appropriate orders published. If an examiner is not available, the Director, USACIL, will notify the requester by return message explaining the reason for the non-availability of the witness, such as a conflict with another court appearance, and give the exact dates that the witness will be available. c. When the presence of an examiner is desired for trial, the examiner should be requested to appear the day the examiner is expected to testify, rather than the day the trial is to begin. This will assist in reducing, to a minimum, the examiner’s absence from the laboratory. Additionally, the examiner should be released, in order to return to the USACIL, as soon after testifying as permitted. d. Unless otherwise approved by the Director, USACIL, examiners will not be made available as expert witnesses to provide testimony contradicting results of laboratory examinations conducted by other USACIL examiners. Similarly, USACIL examiners will not be made available as consultants to defense counsels. e. The USACIL examiners will be made available for pre-trial conferences with defense counsels and/or trial counsels for specific cases, for the purpose of providing sufficient information for the counsels to understand the findings rendered by the examiners. Whenever possible, pretrial conferences should be conducted telephonically, or through video teleconference, in advance of examiner’s travel to the site of the legal proceeding. Coordination and arrangements for such conferences are the responsibility of the trial counsel for the specific case. 6–5. U.S. Army Criminal Investigation Laboratory quality management documents and accreditation documents USACIL will not release case file material without a written request by the trial counsel or the staff judge advocate responsible for the case. Such materials will only be released to the responsible trial counsel for the submitting USACIDC agency or activities authorized by the submitting USACIDC agency. The request from the defense counsel shall be submitted through the trial counsel responsible for the case. Requests for USACIL quality management documents, accreditation documents and all discovery requests shall be submitted in accordance with AR 195-3. The requests will be in writing or by common access card signed electronic mail to usarmy.gillem.usacil.other.dfscoe- mail@mail.mil, no later than 20 days prior to the court martial or other hearing for which the documents are needed. 6–6. On scene assistance When particular expertise is required to process crime scenes, the presence of laboratory examiners may be requested by USACIDC supervisors from the Director, USACIL. 21AR 195–2 • 9 June 2014 Case 1:15-cv-00031-CKK Document 20-3 Filed 06/19/17 Page 28 of 52 Appendix A References Section I Required Publications AR 1–20 Legislative Liaison (Cited in para 4–3g.) AR 10–87 Army Commands, Army Service Component Commands, and Direct Reporting Units (Cited in paras 2–1a, 3–11.) AR 20–1 Inspector General Activities and Procedures (Cited in para 5–2m.) AR 25–1 Army Knowledge Management and Information Technology (Cited in para 3–30.) AR 25–55 The Department of the Army Freedom of Information Act Program (Cited in paras 4–1, 4–2e(1), 4–2e(4), 4–3j, 4–4a, 5–4c, and 5–6.) AR 25–400–2 The Army Records Information Management System (Cited in para 4–1.) AR 27–10 Military Justice (Cited in para 1–7g(1) and 3–1b.) AR 27–40 Litigation (Cited in paras 4–3b, 4–3g.) AR 40–66 Medical Record Administration and Healthcare Documentation (Cited in para 3–17b.) AR 190–11 Physical Security of Arms, Ammunition, and Explosives (Cited in para 3–8d and app E.) AR 190–13 The Army Physical Security Program (Cited in para 5–2l(3).) AR 190–14 Carrying of Firearms and Use of Force for Law Enforcement and Security Duties (Cited in paras 3–23a, 3–26a.) AR 190–30 Military Police Investigations (Cited in para 5–2l(3).) AR 190–45 Law Enforcement Reporting (Cited in paras 1–7b(1), 1–7l, 3–3a(1)(a), 3–13a, 3–19a, 3–19b, 3–19d, 4–1, 4–2c2, 4–3b, 4–3c(2), 5–2b, 5–5a, and paras C–2a, and F–4h.) AR 190–47 The Army Corrections System (Cited in para 3–23f.) AR 195–5 Evidence Procedures (Cited in para 6–3a.) AR 340–21 The Army Privacy Program (Cited in paras 1–4e(2), 1–7k(5), 1–7k(6), 3–16c, 4–1, 4–3b, 4–3d(1), 4–3g, 4–3h, 4–4a, 4–4b, 5–2k, 5–4c, and 5–6.) 22 AR 195–2 • 9 June 2014 Case 1:15-cv-00031-CKK Document 20-3 Filed 06/19/17 Page 29 of 52 AR 350–28 Army Exercises (Cited in para 2–2a.) AR 380–67 Personnel Security Program (Cited in paras 3–18a, 3–18b.) AR 381–12 Threat Awareness and Reporting Program (Cited in paras 1–4a (5), 1–7I(1), 3–13a.) AR 420–1 Army Facilities Management (Cited in paras 3–28a, 3–28b.) AR 600–85 The Army Substance Abuse Program (Cited in para 3–7.) AR 670–1 Wear and Appearance of Army Uniforms and Insignia (Cited in paras 3–27c, 3–29d.) AR 735–5 Policies and Procedures for Property Accountability (Cited in para 3–3a(1)(a).) DOD 5200.2–R Personnel Security Program (Cited in paras 3–18a, 3–18b.) (Available at http://www.dtic.mil/whs/directives.) DOD 5500.07–R The Joint Ethics Regulation (Cited in paras 1–7b(1), 3–31.) (Available at http://www.dtic.mil/whs/directives.) DOD 6025.18–R DOD Health Information Privacy Regulation (Cited in para 3–17b.) (Available at http://www.dtic.mil/whs/directives.) DODD 4500.54E DOD Foreign Clearance Program (Cited in para 3–14b.) (Available at http://www.dtic.mil/whs/directives.) DODD 5240.06 Counterintelligence Awareness and Reporting (Cited in para 1–4a(5).) DODI 5525.07 Implementation of the Memorandum of Understanding Between the Departments of Justice and the Defense Relating to the Investigation and Prosecution of Certain Crimes (Cited in para 3–1b.) (Available at http://www.dtic.mil/whs/ directives.) UCMJ, Article 2 Persons Subject to this Chapter (Cited in para 1–7g(2).) (Available at http://www.au.af.mil/au/awc/awcgate/ucmj.htm.) UCMJ, Article 31 Compulsory Self-incrimination Prohibited (Cited in paras 3–16d, 3–20.) (Available at http://www.au.af.mil/au/awc/ awcgate/ucmj.htm.) Section II Related Publications A related publication is a source of additional information. The user does not have to read it to understand this publication. AR 11–2 Managers’ Internal Control Program AR 15–6 Procedures for Investigating Officers and Boards of Officers 23AR 195–2 • 9 June 2014 Case 1:15-cv-00031-CKK Document 20-3 Filed 06/19/17 Page 30 of 52 AR 25–30 The Army Publishing Program AR 40–63 Opthamalic Services AR 190–58 Personal Security AR 195–3 Acceptance, Accreditation, and Release of United States Army Criminal Investigation Command Personnel AR 195–6 Department of Army Polygraph Activities AR 335–15 Management Information Control System AR 380–5 Department of Army Information Security Program AR 380–13 Acquisition and Storage of Information Concerning Non-Affiliated Persons and Organizations AR 381–10 U.S. Army Intelligence Activities AR 381–20 The Army Counterintelligence Program AR 600–20 Army Command Policy AR 600–37 Unfavorable Information AR 700–84 Issue and Sale of Personal Clothing DA General Order 2006–22 Reinforcing the Designation of the U.S. Army Criminal Investigation Command as a Direct Reporting Unit CTA 50–900 Clothing and Individual Equipment CTA 50–909 Field and Garrison Furnishings and Equipment CTA 50–970 Expendable/Durable Items (Except Medical, Class V, repair parts, and heraldic items) DOD 7000.14–R Military Pay Policy and Procedures—Active Duty and Reserve Pay DODI 5505.03 Initiation of Investigations by Defense Criminal Investigative Organizations DODI 5505.10 Investigation of Noncombat Deaths of Active Duty Members of the Armed Forces 24 AR 195–2 • 9 June 2014 Case 1:15-cv-00031-CKK Document 20-3 Filed 06/19/17 Page 31 of 52 DODI 5525.11 Criminal Jurisdiction Over Civilians Employed By or Accompanying the Armed Forces Outside the United States, Certain Service Members, and Former Service Members DODI O–2000.22 Designation and Physical Protection of Department of Defense High Risk Personnel Executive Order 12473 Manual for Courts-Martial, United States, 1984 (Available at: http://www.archives.gov/federal-register/codification/ executive-order/12473.html.) FAR Federal Acquisition Regulation (Available at http://www.acquisition.gov/far.) Federal Rules of Criminal Procedure Federal Rules of Criminal Procedure (Available at http://www.uscourts.gov/.) MCM Manual for Courts-Martial, United States MRE 305 Warnings about rights MRE 315 Probable cause searches RCM 302 Who may apprehend RCM 302(e)(2) Where an apprehension may be made UCMJ, Article 112a Wrongful Use, Possession, Etc., of Controlled Substances 28 CFR 60 Authorization of Federal Law Enforcement Officers to Request the Issuance of a Search Warrant 28 CFR 60.3(a)(2) Agencies with authorized personnel 10 U.S. 436 (1966) Miranda v. Arizona 5 USC 303 Oaths to witnesses 5 USC 552 Public information; agency rules, opinions, orders, records, and proceedings 5 USC 552a Records maintained on individuals 10 USC 802 Persons subject to this chapter 10 USC 807 Apprehension 25AR 195–2 • 9 June 2014 Case 1:15-cv-00031-CKK Document 20-3 Filed 06/19/17 Page 32 of 52 10 USC 912a Wrongful use, possession, etc., of controlled substances) 10 USC 936 Authority to administer oaths and to act as a notary 10 USC 4027 Civilian special agents of the Criminal Investigation Command: authority to execute warrants and make arrests 18 USC Crimes and Criminal Procedure 18 USC 1385 Use of the Army and Air Force as posse comitatus 18 USC 3261 Criminal offenses committed by certain members of the Armed Forces and by persons employed by or accompanying the Armed Forces outside the United States 18 USC 5033 Custody prior to appearance before magistrate judge 21 USC Food and Drugs 21 USC 812 Schedules of controlled substances 22 USC 2291(c) Participation in foreign police actions 28 USC 535 Investigation of crimes involving Government officers and employees; limitations 42 USC 5611 Juvenile Justice and Delinquency Prevention Act of 1974 50 USC 797 Penalty for violation of security regulations and orders Section III Prescribed Forms Unless otherwise indicated, DA Forms are available at http://www.apd.army.mil. DA Form 2804 Crime Records Data Reference (Prescribed in paras 4–2b, app C.) Section IV Referenced Forms Unless otherwise indicated, DA Forms are available at http://www.apd.army.mil and DD Forms are available at http:// www.dtic.mil/whs/directives/infomgt/forms. DA Form 11–2 Internal Control Evaluation Certification DA Form 2028 Recommended Changes to Publications and Blank Forms DA Form 3975 Military Police Report 26 AR 195–2 • 9 June 2014 Case 1:15-cv-00031-CKK Document 20-3 Filed 06/19/17 Page 33 of 52 DA Form 4833 Commander’s Report of Disciplinary or Administrative Action DD Form 1056 Authorization to Apply for a “No-Fee” Passport and/or Request for Visa Appendix B Offense Investigative Responsibility B–1. Contacting organization for offense investigative responsibility The following table portrays which organization is responsible for investigating a committed criminal offense when the U.S. Army has an interest. Table B–1 Offense investigative responsibility Offense committed USACIDC Installation law enforcement Unit commander Principals of an offense listed in this ap- pendix ALL when within USACIDC pur- view. ALL when within installa- tion LE purview. All other instances. Accessory after the fact to an offense lis- ted in this appendix ALL Attempts to commit an offense listed in this appendix ALL Conspiracy to commit an offense listed in this appendix ALL Solicitation to mutiny or commit an act of sedition ALL Effecting an unlawful enlistment, appoint- ment, or separation ALL Violation of a punitive lawful general order or regulation. Criminal offenses not covered by a spe- cific article such as: Currency violations, black- marketing in aggregate amount greater than, or equal to, $5,000, or more in a 30–day period; or conflict of interest. Other when in conjunction with another offense normally investigated by USACIDC. Currency violations, bla- ck-marketing in aggre- gate amount less than, or equal to, $4,999 or less in a 29–day period. All other. Cruelty, oppression, or maltreatment When in conjunction with another offense normally investigated by USACIDC; or there is a pattern of abuse (for example, detainee or trainee) and USACIDC investiga- tion is requested by battalion or brigade commander. When in conjunction with another offense normally investigated by installa- tion LE. All other instances. Mutiny, sedition ALL Prisoners: releasing without proper au- thority; suffering to escape. ALL Unlawful detention ALL Captured or abandoned property Value greater than, or equal to, $5,000; or any property of a sen- sitive nature as described in ap- pendix E; failing to secure, report and turnover, selling, or otherwise wrongfully dealing in or disposing of; looting or pillaging. Value less than, or equal to, $4,999. 27AR 195–2 • 9 June 2014 Case 1:15-cv-00031-CKK Document 20-3 Filed 06/19/17 Page 34 of 52 Table B–1 Offense investigative responsibility—Continued False official statements When in conjunction with another offense normally investigated by USACIDC. All other. Military property of the United States Selling or otherwise disposing of an aggregate value greater than, or equal to, $5,000, or any prop- erty of a sensitive nature as de- scribed in appendix E; Willfully damaging, destroying or losing, or willfully suffering to be lost, damaged, destroyed, sold, or wrongfully disposed of greater than, or equal to, $5,000. Selling or otherwise dis- posing of an aggregate value less than, or equal to, $4,999 or more, will- fully damaging, destroy- ing or losing, or willfully suffering to be lost, dam- aged, destroyed, sold, or wrongfully disposed of less than, or equal to, $4,999. Property other than military property of the United States Wasting, spoiling, destroying, or damaging of an aggregate value or damage greater than, or equal to, $5,000. Wasting, spoiling, destroying, or damaging of an aggregate value or damage less than, or equal to, $4,999. Hazarding or suffering to be hazarded any vessel of the armed forces ALL Wrongful use, possession, manufacture, distribution, introduction, importation, ex- portation of controlled substances ALL Malingering involving intentional self-in- flicted injury requiring hospitalization ALL Riot ALL Murder ALL Manslaughter ALL Rape, Rape of a Child, Sexual Assault, Sexual Assault of a Child, Aggravated Sexual Contact, Sexual Abuse of a Child, Abusive Sexual Contact, Indecent Act, Forcible Pandering, Indecent Visual Recording, Broadcasting or Distribution of an Indecent Visual Recording (Including all applicable sexual assault offenses committed prior to 28 June 2012) ALL, except indecent acts, when consensual. Indecent acts when consen- sual. Indecent Exposure, Indecent Viewing Only when committed in conjunc- tion with another offense investi- gated by USACIDC. All other. Stalking ALL Larceny or wrongful appropriation of ves- sels, aircraft, or vehicles (to include auto- mobiles, bicycles, motorcycles, and all- terrain vehicles). The current value is greater than, or equal to, $30,000. The current value is less than, or equal to, $29,999. Larceny or wrongful appropriation of prop- erty, excluding vessels, aircraft, or vehi- cles (automobiles, bicycles, motorcycles, and all-terrain vehicles). An aggregate value of greater than, or equal to, $5,000 less CTA–50; or of a sensitive nature, as defined in appendix E. An aggregate value of $1,500 to $4,999 $1,500 or less in the unit area Wrongful appropriation of a motor vehicle when damages result When damage is greater than or equal to $5,000. When damage is less than or equal to $4,999. Robbery ALL Forgery The aggregate amount is greater than, or equal to, $5,000. The aggregate amount is less than, or equal to, $4,999. 28 AR 195–2 • 9 June 2014 Case 1:15-cv-00031-CKK Document 20-3 Filed 06/19/17 Page 35 of 52 Table B–1 Offense investigative responsibility—Continued Check, worthless, making, drawing, utter- ing, or delivering, with intent to defraud (for procurement of any article or thing of value) The aggregate amount is greater than, or equal to, $5,000. The aggregate amount is less than, or equal, to $4,999. Maiming ALL Forcible Sodomy ALL Arson Aggravated; or simple where property damage is greater than, or equal to, $5,000. Simple where property damage is less than, or equal to, $4,999. Extortion ALL Assault Consummated by a battery on a child under the age of 16 years; or aggravated assault when the victim is hospitalized for more than 24 hours, for other than ob- servation. Simple assaults; Aggra- vated assault when vic- tim is hospitalized for less than 24 hours. Simple assault occurring in the unit area not resulting in hospitalization. Burglary When associated with another crime normally investigated by the USACIDC. All other instances. Housebreaking When associated with another crime normally investigated by the USACIDC. All other instances. Perjury ALL Frauds against the United States The amount involved is greater than, or equal to, $5,000. The amount involved is less than, or equal to, $4,999. Bigamy In conjunction with a fraud greater than, or equal to, $5,000. In conjunction with a fraud of $4,999 or less. All other when no fraud in- volved. Bribe or graft: accepting, asking, receiv- ing, offering, promising, or giving ALL Burning, with intent to defraud The amount involved is greater than, or equal to, $5,000. The amount involved is less than, or equal to, $4,999. False pretenses (obtaining services under) Value is greater than, or equal to, $5,000. Value is less than, or equal to, $4,999. Homicide, negligent ALL Impersonating an officer, warrant officer, noncommissioned or petty officer or agent of superior authority, with intent to de- fraud ALL Kidnapping ALL Mail (taking, opening, secreting, destroy- ing, or stealing) ALL Mail (depositing or causing to be depos- ited obscene or indecent matters in) ALL Misprision of felony ALL Obstructing justice ALL Perjury (subornation of) ALL Public record, wrongfully altering, con- cealing, removing, mutilating, obliterating, or destroying ALL Soliciting another to commit an offense listed in this appendix (other than Article 94) ALL 29AR 195–2 • 9 June 2014 Case 1:15-cv-00031-CKK Document 20-3 Filed 06/19/17 Page 36 of 52 Table B–1 Offense investigative responsibility—Continued Stolen property, knowingly receiving, buy- ing, concealing The aggregate value is greater than, or equal to, $5,000. The aggregate value is less than, or equal to, $4,999. Threat or hoax Death threats with evidence of planning beyond mere expression of ideation. Any death threat where an explosive device (in- cluding components for an explo- sive device) or toxic substance is found. MPI all other instances. All threats (for example, terrorist, insider) to un- lawfully kill, injure, or in- timidate a person or to unlawfully damage or destroy certain property will be reported to USACIDC for evaluation. Identity theft In connection with fraud and or larceny $5,000 or greater. In connection with fraud and or larceny $4,999 or less or involving false documents only. Pandering ALL Prostitution Only when committed in conjunc- tion with another offense investi- gated by USACIDC. All other instances. Human Trafficking ALL Counterfeiting of U.S. obligations and se- curities Value greater than, or equal to, $5,000; or evidence indicative of manufacturing of counterfeit U.S. currency on a military installation or location under the control of the U.S. Army. Value is less than, or equal to $4,999. War Trophy Offenses, as below USACIDC Installation LE Unit commander Ammunition Greater than, or equal to, 1,000 rounds Less than, or equal to, 999 rounds Art work (paintings and sculptures) ALL Atropine ALL Edged weapons ALL Currency (U.S. and foreign) Greater than, or equal to, $5,000. Less than, or equal to, $4,999. Enemy individual equipment, any hel- mets, canteens, and so forth ALL Enemy military equipment, any vehicles, communication, and so forth ALL Explosive devices and munitions ALL Non-coalition firearms and any weapons parts ALL Suspected contraband (not previously lis- ted) Greater than, or equal to, $5,000 Less than, or equal to, $4,999. Precious gems/metals ALL 30 AR 195–2 • 9 June 2014 Case 1:15-cv-00031-CKK Document 20-3 Filed 06/19/17 Page 37 of 52 B–2. Other investigative responsibility Army CI has primary jurisdiction for the national security crimes of espionage, treason, subversion, sedition, aiding the enemy, and spying. In addition, Army CI has parallel jurisdiction with USACIDC and other agencies regarding those matters cited in this regulation. Appendix C Preparation of the DA Form 2804 (Crime Records Data Reference) C–1. General Potential investigative assistance can be negated by failure to provide complete data on DA Form 2804 (Crime Records Data Reference), by misspelling names, or by listing incorrect data. Careful attention to the completion of this form is essential to its utility. C–2. Requirement A separate DA Form 2804 will be made for each of the following: a. Each individual, firm, or other legal entity listed as a subject of a DA Form 3975, forwarded to the CRC, USACIDC, per AR 190–45. b. Each individual, Government agency or organization, private firm or corporation, or other legal entity listed as a victim in the report of investigation. If the individual is being deleted as a victim, the word “Deletion” will be entered in the remarks section of the form. c. Each alias or other name to include the maiden name and any present or former name of individuals for whom DA Form 2804 has been prepared in accordance with paragraphs a and b, when different personal identifiers (date of birth (DOB) or social security number) are used. All known names and all appropriate personal identifiers will be listed in item 6, or if insufficient space is available, in the remarks section, or on the reverse of the form. d. When there is no change in personal identifiers, each alias or other name, to include the maiden name and any present or former name, will be entered in item 6, or, if there is insufficient space, in the remarks section, or on the reverse side of the form. There is no requirement to prepare separate forms for each name in this situation. C–3. Preparation The items on DA Form 2804 will be completed as follows (shaded blocks will be completed by the CRC): a. Item 1, Name. Enter the last, first, and middle name of the person or name of the firm or legal entity. If deceased, enter “Deceased” immediately following the name. b. Item 2, Subject Status Code. CRC use only. c. Item 3, Grade. The appropriate entry will be made in accordance with the following: (1) Military personnel, list the grade of the named individual, for example, “E–4,” “CW3,” “O–5.” (2) U.S. civilian employees of the U.S. Government, show the rating of the named individual, for example, “GS–07,” “WG–5.” (3) Spouses or Family members, show one of the following abbreviations to reflect relationship: (a) “FMW” for dependent wife. (b) “FMH” for dependent husband. (c) “FMS” for dependent son. (d) “FMD” for dependent daughter. (e) “FMO” for other dependent. (4) Other U.S. civilians use the abbreviation “CIV.” (5) Foreign nationals, reflect nationality, for example, “GER,” “KOR,” “THI.” d. Item 4, Major Command Activity Code (MCAC). Enter the code if applicable. (1) See AR 680–29 for the two-position codes used to identify major commands and subcommands. (2) U.S. civilian employees of the Army will be coded according to the major command or activity to which their organization of employment is assigned. (3) U.S. civilian DOD employees (employed by other than Army) will be coded “DF” (Defense Agencies). (4) Military and civilian AAFES employees will be coded “JA” (Joint Activities). (5) Nonappropriated fund activity civilian employees employed by the Army will be coded according to the major command or activity responsible for operation of the installation on which employed. (6) Foreign military personnel assigned or attached to a U.S. Army element will be coded listing the MCAC of the Army element to which assigned or attached. (7) Spouses or Family members of U.S. military personnel will be coded to reflect the MCAC of their sponsor. (8) U.S. military personnel other than U.S. Army will be coded “DF” (Defense Agencies). 31AR 195–2 • 9 June 2014 Case 1:15-cv-00031-CKK Document 20-3 Filed 06/19/17 Page 38 of 52 e. Item 5, Social Security Number. Enter the social security number of the individual, where applicable. For foreign nationals, list passport number, identity card, or other numerical identifier, when available. f. Item 6, Aliases/Nicknames. Enter any known alias, nickname, maiden name, or other married name used by the individual named in Block 1. g. Item 7, Sex. Enter “M” for males and “F” for females. h. Item 8, Race. Enter one of the following codes: Table C–1 Race Code Code: C Race: White Explanation: Caucasian-original people of Europe, North Africa, or Middle East Code: M Race: Yellow Explanation: Asian-original people of Asia, including China, Japan, and Korea Code: N Race: Black Explanation: African-American-original groups of Africa or other areas Code: R Race: Red Explanation: American Indian-original people of North America Code: X Race: Other Explanation: A racial identification not included above Code: Z Race: Unknown Explanation: The racial identification is not known. i. Item 9, Ethnic Group. (1) Enter one of the following ethnic codes: Table C–2 Ethnic Group Ethnic Code: 1 Race: OTHHISPANIC (Other Hispanic Descent) Explanation: Persons of Spanish extraction not determined as Mexican, Puerto Rican, Cuban, or Latin American Ethnic Code: 2 Race: USCANINDIAN (U.S./Canadian Indian Tribes) Explanation: Persons of U.S. or Canadian Indian tribes other than Aleut or Eskimo Ethnic Code: 3 Race: OTHASIAN (Other Asian Descent) Explanation: Persons of Asian descent not determined separately as Chinese, Japanese, Korean, Indian, Filipino, or Vietnamese Ethnic Code: 4 Race: Puerto Rican Explanation: Persons of Puerto Rican descent Ethnic Code: 5 Race: Filipino Explanation: Persons from the Philippine Islands and their descendants Ethnic Code: 6 Race: Mexican Explanation: Persons of Mexican descent and Chicanos 32 AR 195–2 • 9 June 2014 Case 1:15-cv-00031-CKK Document 20-3 Filed 06/19/17 Page 39 of 52 Table C–2 Ethnic Group—Continued Ethnic Code: 7 Race: Eskimo Explanation: Persons of Eskimo descent not including Aleuts Ethnic Code: 8 Race: Aleut Explanation: Person of Aleut descent Ethnic Code: 9 Race: Cuban Explanation: Persons of Cuban descent Ethnic Code: D Race: Indian Explanation: Persons from India and their descendants. Ethnic Code: E Race: Melanesian Explanation: Persons of Melanesian descent Ethnic Code: G Race: Chinese Explanation: Persons of Chinese descent Ethnic Code: J Race: Japanese Explanation: Persons of Japanese descent Ethnic Code: K Race: Korean Explanation: Persons of Korean descent Ethnic Code: L Race: Polynesian Explanation: Persons of Polynesian descent Ethnic Code: Q Race: OTHPACISLAND (Other Pacific Island Descent) Explanation: Persons from the Pacific Islands and their descendants not delineated separately as Melanesian, Micronesian, or Polynesian Ethnic Code: S Race: LATINAMER (Latin-American) Explanation: Persons of Central and South American descent who have Spanish heritage Ethnic Code: V Race: Vietnamese Explanation: Persons of Vietnamese descent Ethnic Code: W Race: Micronesian Explanation: Persons of Micronesian descent Ethnic Code: X Race: Other Explanation: Persons who are members of an ethnic group not listed above Ethnic Code: Y Race: None Explanation: Persons not associated with a particular group Ethnic Code: Z Race: Unknown Explanation: Persons whose ethnic group is unknown 33AR 195–2 • 9 June 2014 Case 1:15-cv-00031-CKK Document 20-3 Filed 06/19/17 Page 40 of 52 (2) Persons listed in the first row below must have only one of the corresponding race and ethnic codes. No other ethnic and race combinations may be used for these persons. Table C–3 Ethnic and race combinations Identity: American Indian Race Code: R Ethnic Code: 8, 7, 2 Identity: Alaskan (original People) Race Code: R Ethnic Code: 8, 7, 2 Identity: Asian Race Code: M, C, N, X, Z Ethnic Code: G, J, K, 5, D, V, 3, W, L, Q Identity: Black Race Code: N Ethnic Code: X, Y, Z Identity: Hispanic Race Code: C, N, X, Z Ethnic Code: 6, 4, 9, S, 1 Identity: Other Race Code: X Ethnic Code: X, Y, Z Identity: Pacific Islander Race Code: M, C, N, X, Z Ethnic Code: G, J, K, 5, D, V, 3, E, W, L, Q Identity: Unknown Race Code: Z Ethnic Code: X, Y, Z Identity: White Race Code: C Ethnic Code: X, Y, Z j. Item 10, Former Service Number. Enter any previous number held by the listed individual. k. Item 11, Date of Birth (DOB). Enter the named individual’s date of birth using numerical designation for year, month, and day, in order; for example, “42–06–20” for 20 June 1942. l. Item 12, Place of Birth. Enter the city and state of birth of the named individual. Country of birth will be entered for individuals born outside the United States. m. Item 13, Report of Investigation or Military Police Report Number. All USACIDC elements will enter the ROI number, if one has been assigned. Otherwise, the USACIDC sequence number will be entered. When an ROI number is entered, it will include the primary offense code for the case under investigation. The LE will enter the DA Form 3975 and will include the primary offense code. n. Item 14, Survey Code. CRC use only. o. Item 15, Other Offense Codes. When an ROI/MPR number has been entered in item 13, offense codes other than the primary code will be entered here. p. Item 16, Organization and Station. Enter the military unit and station to which the individual is assigned. If a military unit is inapplicable, enter the individual’s address. q. Item 17, Station Code. CRC use only. r. Item 18, Date Opened. CRC use only. s. Item 19, Date Closed. CRC use only. t. Item 20, Drug Involvement. CRC use only. 34 AR 195–2 • 9 June 2014 Case 1:15-cv-00031-CKK Document 20-3 Filed 06/19/17 Page 41 of 52 u. Item 21, Other Involvement. CRC use only. v. Item 22, File Location. CRC use only. w. Item 23, Suspect/Subject/Victim.Check the appropriate box. The LE will indicate subjects only. x. Item 24, Disposition. CRC use only. y. Item 25, Date Reported. Enter the date the complaint was reported to the preparing element. z. Item 26, Action Taken. When item 23 reflects a check in the “Subject” box, check the appropriate box in item 26 to indicate whether a report of action taken has been received. aa. Item 27, Remarks. Enter any remarks as may be needed. 35AR 195–2 • 9 June 2014 Case 1:15-cv-00031-CKK Document 20-3 Filed 06/19/17 Page 42 of 52 Appendix D Telephone Name Check Format D–1. General The CRC, USACIDC, will conduct records checks on an immediate basis upon receipt of a telephonic request from an authorized user of CRC services. D–2. Immediate action request procedures a. Requests for criminal history name checks during normal business hours (0600-1800, Monday through Friday, excluding Federal holidays) may be made to CRC by telephoning (571) 305–4224. Urgent requests for criminal history checks during other than normal business hours can be made to CRC by telephoning (703) 472–7184. Urgent is defined as time-sensitive and necessary for the safety and protection of life and property and/or successful resolution of ongoing criminal investigative activities. b. Requests transmitted by facsimile will not exceed 20 names of the total number that can be listed double spaced on a single sheet of letter-size paper. c. Requests transmitted orally by telephone will not exceed five names. d. The requester will be provided the results of the check of the CRC records during the same telephone connection. e. The requester will provide the following information when making a telephone name check: (1) Requestor’s name, organization, and credential or sequence number. Installation LE activity will provide the DA Form 3975 number or the CRC cross reference number. The USACIDC requesters will provide the sequence number or report of investigation number. (2) Last name, first name, middle name or initial; date and place of birth; social security number; and service number of the person on whom the check is being requested. Omit any element not available. D–3. Crime Records Center reply The CRC reply will state that no record is on file or will cite the specific files available. D–4. Recording telephone name checks The results of all telephone name checks will be recorded for accountability and retained in the appropriate USACIDC or Military Police file. Appendix E Sensitive Items In accordance with AR 190–11, the USACIDC will conduct a preliminary investigation into the theft, suspected or attempted theft, loss, or recovery of arms, ammunition and explosives in the quantities identified below. E–1. Arms One or more of the following: a. Machine guns and automatic weapons. b. Mortar tubes. c. Grenade launchers. d. Rockets, missile launchers, and their components. e. Flame thrower. f. One or more semi-automatic or manually operated firearms. g. Handguns. h. Recoilless rifles. i. Five or more major parts (for example, barrels, frames, receivers, major subassemblies); or reports of systematic theft of major parts. j. Other individually operated weapons that are— (1) Portable and can be fired without special mounts or firing devices. (2) Have potential use in civil disturbances. (3) Vulnerable to theft. E–2. Ammunition and explosives Theft, loss, suspected theft, unaccounted or recovered ammunition and explosives in the following quantities: a. Any missile, rocket, mine, artillery, or mortar rounds. 36 AR 195–2 • 9 June 2014 Case 1:15-cv-00031-CKK Document 20-3 Filed 06/19/17 Page 43 of 52 b. Any fragmentation, concussion, rifle, or high explosive grenade, or other type of device containing explosive materials. c. Any explosives, to include demolition explosives (for example, detonation cord and blocks of explosives (C–4)). d. Sixteen or more riot or smoke grenades, artillery or ground burst simulators. e. Five or more rounds of ammunition greater than .50 caliber. f. One-thousand or more rounds of .50 caliber or smaller ammunition. E–3. Nuclear/Biological/Chemical Weapons/Agents Theft, suspected or attempted theft, loss or recovery of any nuclear, biological, or chemical weapons/agents in any quantity. Appendix F Internal Control Evaluation F–1. Function The function covered by this evaluation is criminal investigation activities. F–2. Purpose The purpose of this evaluation is to assist commanders in evaluating the key internal controls listed. It is intended as a guide and does not cover all controls. F–3. Instructions Answers must be based on the actual testing of key internal controls (for example, document analysis, direct observation, sampling, simulation, other). Answers that indicate deficiencies must be explained and the corrective action identified in supporting documentation. These internal controls must be evaluated at least once every five years. Certification that the evaluation has been conducted must be accomplished on DA Form 11–2 (Internal Control Evaluation Certification). F–4. Test questions a. Are commanders ensuring that known or suspected criminal activity is reported to the installation LE and, when appropriate, to USACIDC for investigation? b. Are commanders ensuring that positive urinalysis results are reported to the installation LE or USACIDC? c. Are commanders and supervisors who receive USACIDC reports for action or receiving action copies of final USACIDC reports of investigation pertaining to a member of their organization ensuring that completes the DA Form 4833 along with DA form 3975 (Military Police Report), 15-6 Investigation executive summary, Commander’s Inquiry Final Report are provided to the appropriate USACIDC element within 45 days? d. Are commanders ensuring that all persons within their commands, who are listed as subjects in the title block of a report of investigation, are notified that they will remain in the title block of the report and that the report will indexed, and, therefore, retrievable by their name? e. Are reported criminal offenses investigated by the responsible organization as prescribed in appendix B? f. Are USACIDC Special Agents utilized in accordance with paragraph 3–20? g. Are USACIDC Special Agents and laboratory examiners billeted in accordance with paragraph 3–26? h. Are procedures in place to ensure that release of LE information is done in accordance with 5 USC 552, 5 USC 552a, AR 190–45, and this regulation? F–5. Supersession No previous internal control evaluation exists for this program. F–6. Comments Help make this a better tool for evaluating internal controls. Submit comments to: Office of the Provost Marshal General, (DAPM–MPO–LE), 2800 Army Pentagon, Washington, DC 20310–2800. 37AR 195–2 • 9 June 2014 Case 1:15-cv-00031-CKK Document 20-3 Filed 06/19/17 Page 44 of 52 Glossary Section I Abbreviations AAFES Army and Air Force Exchange Service ACOM Army command AFME Armed Forces medical examiner AFOSI Air Force Office of Special Investigations APCSM adult private consensual sexual misconduct AR Army regulation ARNG Army National Guard ASAP Army Substance Abuse Program ASCC Army service component command BAH basic allowance for housing BAS basic allowance for subsistence CFR Code of Federal Regulations CG Commanding General CI counterintelligence CID Criminal Investigation Command CONUS continental United States CRC U.S. Army Crime Records Center CTA common tables of allowances DA Department of the Army 38 AR 195–2 • 9 June 2014 Case 1:15-cv-00031-CKK Document 20-3 Filed 06/19/17 Page 45 of 52 DAC Department of the Army Civilian DCII defense central investigations index DEA Drug Enforcement Administration DES Director of Emergency Services DOB date of birth DOD Department of Defense DODD Department of Defense directive DODI Department of Defense instruction DOJ Department of Justice DRU direct reporting unit FBI Federal Bureau of Investigation FOUO for official use only HQ Headquarters HQDA Headquarters, Department of the Army ICE immigration custom enforcement LE law enforcement MCAC Major Command Activity Code MCM Manual for Courts Martial MOU memorandum of understanding MP military police 39AR 195–2 • 9 June 2014 Case 1:15-cv-00031-CKK Document 20-3 Filed 06/19/17 Page 46 of 52 MPI military police investigator MRE Military Rules of Evidence NCIC National Crime Information Center OCONUS outside the continental United States OPMG Office of the Provost Marshal General PM Provost Marshal Officer PMG Provost Marshal General RMDA Records Management and Declassification Agency ROI report of investigation RCM rule for court-martial SAR suspicious acting reporting SOFA status of forces agreement TRADOC U.S. Army Training and Doctrine Command UCMJ Uniform Code of Military Justice USACIDC U.S. Army Criminal Investigation Command USACIL U.S. Army Criminal Investigation Laboratory USADIP U.S. Army Deserter Information Point USAF U.S. Air Force USC United States Code USAR U.S. Army Reserve 40 AR 195–2 • 9 June 2014 Case 1:15-cv-00031-CKK Document 20-3 Filed 06/19/17 Page 47 of 52 Section II Terms Army Criminal Investigation Program Includes criminal investigation procedures, techniques, resources, training, and those USACIDC communication proce- dures employed by the USACIDC throughout the Army. Barracks larcenies Larcenies occurring within the living area of a barracks environment involving the theft of personal property or U.S. Government property for which the individual Soldier is responsible (for example, CTA–50 property), which theft aggregates less than $1500. Larcenies from unit supply, arms, day or orderly rooms located within barracks buildings are not considered barracks larcenies. Controlled substances Those substances defined in Article 112a, UCMJ (10 USC 912a). General categories include, but are not limited to, n a r c o t i c s , d e r i v a t i v e s o f t h e c a n n a b i s p l a n t , a m p h e t a m i n e s , b a r b i t u r a t e s , h a l l u c i n o g e n s , m e t h a q u a l o n e a n d phencyclidine. Credible Information Information disclosed to or obtained by an investigator that, considering the source and nature of the information and the totality of the circumstances, is sufficiently believable to indicate that criminal activity has occurred and would cause a reasonable investigator under similar circumstances to pursue further the facts of the case to determine whether a criminal act occurred or may have occurred. Criminal intelligence Information compiled and analyzed in an effort to anticipate, prevent, or monitor possible or potential criminal activity or terrorist threats directed at or affecting the U.S. Army operations, material, activities personnel or installations. Criminal investigation An investigation of a criminal incident or allegation conducted by the USACIDC, MPI, or DA detectives. Criminal Investigation Division The historic term (and acronym) for matters specifically identified with USACIDC activities or organizations. Criminal Investigation Command detachment A subordinate operating element of a USACIDC Group, Battalion, or Field Office; normally consisting of 20 USACIDC special agents who may be geographically dispersed at multiple located CID offices. It provides USACIDC support within a specified geographic area of responsibility. Criminal Investigation Command battalion A subordinate operating element of a USACIDC Group normally consisting of headquarters leaders and support p e r s o n n e l a n d s u b o r d i n a t e d e t a c h m e n t s . I t p r o v i d e s U S A C I D C s u p p o r t w i t h i n a s p e c i f i e d g e o g r a p h i c a r e a o f responsibility. Criminal Investigation Command field office A subordinate operating element of a USACIDC group normally consisting of headquarters leaders and support p e r s o n n e l a n d s u b o r d i n a t e d e t a c h m e n t s . I t p r o v i d e s U S A C I D C s u p p o r t w i t h i n a s p e c i f i e d g e o g r a p h i c a r e a o f responsibility. Criminal Investigation Command group A major subordinate command and control elements of the USACIDC that controls USACIDC support within an assigned geographic area. Criminal Investigation Command office A subordinate operating element of a USACIDC group, battalion, field office, or detachment consisting of between two a n d t w e n t y U S A C I D C s p e c i a l a g e n t s . I t p r o v i d e s U S A C I D C s u p p o r t w i t h i n a s p e c i f i e d g e o g r a p h i c a r e a o f responsibility. Criminal investigative information Information compiled in the course of a criminal investigation. 41AR 195–2 • 9 June 2014 Case 1:15-cv-00031-CKK Document 20-3 Filed 06/19/17 Page 48 of 52 Criminal justice Refers to the enforcement of criminal laws, including efforts to prevent, control, or reduce crime, or to identify or apprehend criminals, and to the activities of prosecutors, courts, correctional, probation, pardon, or parole authorities. Criminal offense Any criminal act or omission as defined and prohibited by the UCMJ, the USC, State and local codes, foreign law, or international law or treaty. As used herein, this term does not include military offenses as defined below. In the case of juveniles, this term refers to those acts which, if committed by an adult, would be subject to criminal sanctions. Crime Prevention Survey A formally recorded review and analysis of existing conditions within a specified facility, activity, or area for the purpose of detecting crime, identifying conditions or procedures conducive to criminal activity, and minimizing or eliminating the opportunity to commit a criminal offense or engage in criminal activity. It seeks to determine the nature, extent, and underlying causes of crime, and provides the commander with information for use in the crime prevention program. Custodial interview Questioning initiated by law enforcement officers after a civilian subject/suspect is apprehended and not free to leave police custody. Once a person is in police custody, the suspect must be read their Miranda rights (Miranda v. Arizona, 384 U.S. 436 (1966)) if the police want to question him. Drug suppression team A team composed of USACIDC special agents and, if appropriate, installation LE personnel used for semi-undercover criminal investigations and drug suppression and drug-related criminal information collection operations at military installations. Economic crime A loss (normally a loss of property or funds, but may include non-quantifiable resources such as public confidence) to the Government (not to an individual, although individuals may be affected, for example, through increased taxes or erosion of benefits) due to the subversion of a system (that is, the manipulation or undermining of a visible system, for example, the finance system; or less apparent system, for example, public confidence in elected officials; any system which serves the processes of government) by a component of that system (whether the component is permanent, for example, a contracting officer; or temporary, for example, an individual contractor, or firm) acting with criminal intent, (for example, that which distinguishes “economic crime” from simple mismanagement, human error, or non criminal negligence). Felony A criminal offense punishable by death or confinement for more than one year. Founded offense A determination made by law enforcement, in conjunction with the appropriate prosecution or legal representative, that a criminal offense has been committed. The determination that a founded offense exists is a decision independent of any judicial/court finding opinion or disciplinary action taken or not taken. Hospitalization As used in this regulation, hospitalization refers to being admitted to a medical facility for more than 24 hours for medical treatment and not for mere observation. Installation law enforcement As used in this regulation refers to LE body that provides basic police support to an installation, this can be Military Police, Security Police, DA civilian police, and DOD civilian police. Juvenile For purposes of this regulation, a person under the age of 18 at the time of the offense and who was not at that time a military member. Military offense Any wrongful act or omission which is unique in the military context and has no correlative application in a civilian context. 42 AR 195–2 • 9 June 2014 Case 1:15-cv-00031-CKK Document 20-3 Filed 06/19/17 Page 49 of 52 Misdemeanor Any offense not punishable by death or imprisonment for a term exceeding one year. Included are violations of those provisions of state laws made applicable to U.S. military reservations. Narcotics Opium, opium derivatives (morphine, codeine, heroin); synthetic opiates (meperidine, methadone); the coca leaf, and its derivative, cocaine. Noncustodial interview Questioning initiated by law enforcement officers with a civilian subject/suspect who freely wishes to be interviewed concerning a CID investigation, and who is not detained in any manner. A rights advisement is not necessary during a noncustodial interview. The civilian subject/suspect must clearly understand that he may freely terminate the interview at any time. Non-narcotic controlled substances Synthetic cannabinoids. Synthetic cannabinoids are a psychoactive herbal and chemical product which when consumed mimics the effects of cannabis. Synthetic stimulants—Synthetic stimulants are psychoactive chemical products per- ceived as mimics of cocaine, methamphetamines, LSD or MDMA. When consumed they may cause impaired perception, reduced motor control, disorientation, extreme paranoia and violent episodes. Those substances or their immediate precursors listed in the current schedules of 21 USC 812, which do not contain a narcotic, such as d e r i v a t i v e s o f t h e c a n n a b i s p l a n t ( m a r i h u a n a ) , a m p h e t a m i n e s , b a r b i t u r a t e s , h a l l u c i n o g e n s , m e t h a q u a l o n e , a n d phencyclidine. Preliminary investigation An examination by the USACIDC of a particular situation or set of circumstances to determine if there is credible information to believe that a crime may have occurred, or is about to occur, and, if so, whether the USACIDC has investigative authority and responsibility. Protective services Those measures taken to provide personal security to individuals, both domestic and foreign, as designated by higher authority. Report of investigation An official written record of all pertinent information and facts obtained in a criminal investigation. Resident agency A resident agency is normally a subordinate element of a USACIDC Battalion or field office. It provides USACIDC support within a specified portion of a geographic area of responsibility. Single scope background investigation An expanded background investigation conducted by the Defense Investigative Service to verify information concern- ing an individual’s personal qualifications, loyalty, and suitability for assignment to a special position of trust. Special agent-in-charge A USACIDC special agent appointed as the supervisor of a CID office. Subject A person, corporation or other legal entity about whom probable cause exists to believe that the person or entity committed a particular criminal offense. Suspect A person, corporation or other legal entity about which some credible information exists to believe that the person or entity committed a particular criminal offense. Title section of U.S. Army Criminal Investigation Command report The section of a USACIDC report where suspects, subjects, and victims are identified. U.S. Army Criminal Investigation Command special agent An individual (military or civilian) who has been accepted and accredited as a criminal investigator by the CG, USACIDC, in accordance with AR 195–3. 43AR 195–2 • 9 June 2014 Case 1:15-cv-00031-CKK Document 20-3 Filed 06/19/17 Page 50 of 52 U.S. Army Criminal Investigation Command supervisor A commissioned officer, special agent, or DA civilian who has been assigned as a group, battalion, or field office commander or executive officer or to other positions within the USACIDC as designated by the CG, USACIDC. Also a special agent-in-charge of a CID Office. Section III Special Abbreviations and Terms This section contains no entries. 44 AR 195–2 • 9 June 2014 Case 1:15-cv-00031-CKK Document 20-3 Filed 06/19/17 Page 51 of 52 UNCLASSIFIED PIN 002225–000 Case 1:15-cv-00031-CKK Document 20-3 Filed 06/19/17 Page 52 of 52 Exhibit 3 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 1 of 149 Army Regulation 190–45 Military Police Law Enforcement Reporting Headquarters Department of the Army Washington, DC 30 March 2007 UNCLASSIFIED Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 2 of 149 SUMMARY of CHANGE AR 190–45 Law Enforcement Reporting This major revision, dated 30 March 2007-- o Consolidates AR 190-45, Law enforcement Reporting, AR 190-40, Serious Incident Report, AR 190-29, Misdemeanors and Uniform Violation Notices Referred to U.S. Magistrate or District Courts, and AR 190-27, Army Participation in Criminal Justice Information Systems, Federal Bureau of Investigation, into one regulation. o Modifies the offense codes in the 5D series (table 4-1). o Establishes offense codes for self injury without intent to avoid service; protection orders; domestic violence evidence; fraudulent enlistment, appointment or separation; check worthless, making and uttering by dishonorably failing to maintain funds; and registration of sex offender (table 4-1). o Adds a requirement to send a copy of a Military Police Report to United States Army Reserve Command when a Reserve Soldier is listed as the subject of an offense (para 4-7). o Incorporates revisions that address sexual assault reporting and evidence handling procedures (para 4-15). o Incorporates restricted reporting procedures for certain domestic violence cases (para 4-16). Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 3 of 149 Headquarters Department of the Army Washington, DC 30 March 2007 Military Police Law Enforcement Reporting *Army Regulation 190–45 Effective 30 April 2007 H i s t o r y . T h i s p u b l i c a t i o n i s a m a j o r revision. S u m m a r y . T h i s r e g u l a t i o n e s t a b l i s h e s policies and procedures for offense and serious incident reporting within the Ar- my; for reporting to the Department of Defense, and the Department of Justice, as appropriate; and for participation in the Criminal Justice Information System, Fed- eral Bureau of investigation, the National L a w E n f o r c e m e n t T e l e c o m m u n i c a t i o n s System, and state Criminal Justice sys- tems. It implements the reporting require- m e n t s o f D O D D 7 7 3 0 . 4 7 , t h e s e x u a l o f f e n d e r r e g i s t r a t i o n r e q u i r e m e n t s o f DODI 1325.7, and the victim witness re- quirements contained in DODI 1030.2. It I m p l e m e n t s t h e p o r t i o n o f t h e A r m e d Forces Domestic Security Act that makes civilian protection orders have the same force and effect on a military installation that it has within the jurisdiction that is- sued it. It implements portions of section 577(b)(5) of the Ronald Reagan National Defense Authorization Act for Fiscal Year 2 0 0 5 , O c t o b e r 2 8 , 2 0 0 4 , P u b l i c L a w 1 0 8 – 3 7 5 p e r t a i n i n g t o t h e r e p o r t i n g o f sexual assaults. It also implements De- p a r t m e n t o f D e f e n s e p o l i c y c o n c e r n i n g sexual assault. It implements portions of Section 585 of the National Defense Au- thorization Act for Fiscal Year 2000, Pub- l i c L a w 1 0 6 – 6 5 c o n c e r n i n g r e s t r i c t e d reporting for domestic violence. This reg- ulation mandates the use of the Central- i z e d O p e r a t i o n s P o l i c e S u i t e M i l i t a r y Reporting System. It sets forth the revised o b j e c t i v e s a n d p r o c e d u r e s a p p l i c a b l e t o the referral and trial by U.S. magistrates of misdemeanors committed on Army in- s t a l l a t i o n s . I t a l s o d e s c r i b e s t h e p r o p e r u s e , p r e p a r a t i o n , a n d d i s p o s i t i o n o f t h e Central Violations Bureau Form (United S t a t e s D i s t r i c t C o u r t V i o l a t i o n N o t i c e ) used to refer offenses to the U.S. Magis- trate. It meets law enforcement reporting r e q u i r e m e n t s f o r s e l e c t e d c r i m i n a l i n c i - dents and provides law enforcement per- s o n n e l s u c h a s t h e D e p a r t m e n t o f H o m e l a n d S e c u r i t y a n d T r a n s p o r t a t i o n S e c u r i t y A d m i n i s t r a t i o n w i t h t h e m o s t c u r r e n t i n f o r m a t i o n a v a i l a b l e . I t a l s o p r o v i d e s t h e c h a i n o f c o m m a n d w i t h timely information to respond to queries from the Department of Defense, the news media, and others. Applicability. This regulation applies to t h e A c t i v e A r m y , t h e A r m y N a t i o n a l Guard/Army National Guard of the United States, and the U.S. Army Reserve, unless otherwise stated. Also, Department of the Army civilian police and security guard activities and contracted or contractor se- curity force operations and activities. It also applies to the Army National Guard o f t h e U n i t e d S t a t e s w h e n f e d e r a l i z e d under title 10, United States Code. This regulation is required during mobilization. Chapters 10–12 apply to misdemeanor of- fenses committed on United States Army installations in the United States and its t e r r i t o r i e s t h a t h a v e a U . S . M a g i s t r a t e C o u r t . C h a p t e r s 1 0 – 1 2 a p p l y t o U . S . A r m y M i l i t a r y P o l i c e , D i r e c t o r a t e s o f Law Enforcement and Security, Depart- ment of the Army civilian police and se- curity guard activities, and contracted and contractor security force operations when authorized to issue violation notices. Proponent and exception authority. The proponent of this regulation is the Provost Marshal General. The proponent has the authority to approve exceptions or waivers to this regulation that are consis- tent with controlling law and regulations. The proponent will delegate this approval authority, in writing, to a division chief within the proponent agency or a direct reporting unit or field operating agency of the proponent agency in the grade of colo- nel or the civilian equivalent. Activities will request a waiver to this regulation by providing justification that includes a full analysis of the expected benefits and must i n c l u d e f o r m a l r e v i e w b y t h e a c t i v i t y ’ s senior legal officer. All waiver requests will be endorsed by the commander or s e n i o r l e a d e r o f t h e r e q u e s t i n g a c t i v i t y and forwarded through their higher head- quarters to the policy proponent. Refer to AR 25–30 for specific guidance. Army management control process. This regulation contains management con- trol provisions and identifies key manage- ment controls that must be evaluated (see appendix C). S u p p l e m e n t a t i o n . S u p p l e m e n t a t i o n o f this regulation and establishment of local and command forms are prohibited with- out prior approval of HQDA, Office of t h e P r o v o s t M a r s h a l G e n e r a l ( D A P M – M P D – L E ) , W a s h i n g t o n , D C 20310–2800. Suggested improvements. Users are invited to send comments and suggested improvements on DA Form 2028 (Recom- m e n d e d C h a n g e s t o P u b l i c a t i o n s a n d Blank Forms) directly to HQDA, Office o f t h e P r o v o s t M a r s h a l G e n e r a l ( D A P M – M P D – L E ) , W a s h i n g t o n , D C 20310–2800. C o m m i t t e e C o n t i n u a n c e A p p r o v a l . The Department of the Army Committee Management Officer concurs in the estab- lishment and/or continuance of the com- m i t t e e ( s ) o u t l i n e d h e r e i n , i n a c c o r d a n c e with AR 15-1, Committee Management. The AR 15-1 requires the proponent to j u s t i f y e s t a b l i s h i n g / c o n t i n u i n g i t s c o m - m i t t e e ( s ) , c o o r d i n a t e d r a f t p u b l i c a t i o n s , *This regulation supersedes AR 190–45, dated 23 February 2006; AR 190–40, dated 9 February 2006; AR 190–27, dated 8 November 2005; and AR 190–29, dated 25 October 2005. AR 190–45 • 30 March 2007 i UNCLASSIFIED Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 4 of 149 and coordinate changes in committee sta- t u s w i t h t h e D e p a r t m e n t o f t h e A r m y C o m m i t t e e M a n a g e m e n t O f f i c e , A T T N : SAAA-RP, Office of the Administrative Assistant, Resources and Programs Agen- cy, 2511 Jefferson Davis Highway, Taylor B u i l d i n g , 1 3 t h F l o o r , A r l i n g t o n , V A 22202-3926. Further, if it is determined t h a t a n e s t a b l i s h e d " g r o u p " i d e n t i f i e d within this regulation later takes on the characteristics of a committee, the propo- nent will follow all AR 15-1 requirements for establishing and continuing the group as a committee. Distribution. Distribution of this publi- c a t i o n i s a v a i l a b l e i n e l e c t r o n i c m e d i a only and is intended for command levels C, D, and E for the Active Army, the A r m y N a t i o n a l G u a r d / A r m y N a t i o n a l Guard of the United States, and the U.S. Army Reserve. Contents (Listed by paragraph and page number) Chapter 1 Introduction, page 1 Purpose • 1–1, page 1 References • 1–2, page 1 Explanation of abbreviations and terms • 1–3, page 1 Responsibilities • 1–4, page 1 Chapter 2 Records Administration, page 18 General • 2–1, page 18 Safeguarding official information • 2–2, page 18 Special requirements of the Privacy Act of 1974 • 2–3, page 18 Administration of expelled or barred persons file • 2–4, page 19 Police intelligence/criminal information • 2–5, page 19 Name checks • 2–6, page 20 Registration of convicted military sex offenders • 2–7, page 21 Collection of deoxyribonucleic acid • 2–8, page 21 Chapter 3 Release of Information, page 21 General • 3–1, page 21 Guidelines for disclosure within Department of Defense • 3–2, page 21 Release of information • 3–3, page 22 Release of information under the Freedom of Information Act • 3–4, page 22 Release of information under the Privacy Act of 1974 • 3–5, page 22 Amendment of records • 3–6, page 22 Accounting for military police record disclosure • 3–7, page 23 Release of law enforcement information furnished by foreign governments or international organizations • 3–8, page 23 ii AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 5 of 149 Contents—Continued Chapter 4 Offense Reporting, page 23 General • 4–1, page 23 Military Police Report • 4–2, page 24 Identifying criminal incidents and subjects of investigation • 4–3, page 24 Offense codes • 4–4, page 25 Military police codes • 4–5, page 79 U.S. Army Crime Records Center control numbers • 4–6, page 79 Reserve Component, U.S. Army Reserve, and Army National Guard Personnel • 4–7, page 80 DA Form 4833 (Commander’s Report of Disciplinary or Administrative Action) • 4–8, page 80 Updating the Centralized Operating Police Suite Military Police Reporting System • 4–9, page 81 Submission of criminal history data to the Criminal Justice Information System • 4–10, page 81 Procedures for reporting absence without leave and desertion offenses • 4–11, page 83 Vehicle Registration System • 4–12, page 83 Establishing memoranda of understanding • 4–13, page 83 Lost, abandoned, or unclaimed property • 4–14, page 84 Procedures for restricted/unrestricted reporting in sexual assault cases • 4–15, page 84 Procedures for restricted/unrestricted reporting in domestic violence cases • 4–16, page 85 Domestic violence and protection orders • 4–17, page 85 Chapter 5 Army Quarterly Trends and Analysis Report, page 86 General • 5–1, page 86 Crime rate reporting • 5–2, page 86 Chapter 6 Victim and Witness Assistance Procedures, page 87 General • 6–1, page 87 Procedures • 6–2, page 87 Notification • 6–3, page 87 Statistical reporting requirements • 6–4, page 87 Chapter 7 Related Military Police Forms, page 88 General • 7–1, page 88 DD Form 460 (Provisional pass) • 7–2, page 88 DD Form 553 (Deserter/absentee wanted by the Armed Forces) • 7–3, page 88 DD Form 616 (Report of return of absentee) • 7–4, page 88 DD Form 2708 (Receipt for prisoner or detained person) • 7–5, page 89 DD Form 1408 (Armed Forces traffic ticket) • 7–6, page 89 Central Violations Bureau Form (U.S. District Court Violation Notice) • 7–7, page 89 DD Form 1920 (Alcohol Incident Report) • 7–8, page 89 DA Form 2804 (Crime Records Data Reference Card) • 7–9, page 89 DA Form 2823 (Sworn Statement) • 7–10, page 90 DA Form 3881 (Rights Warning Procedure/Waiver Certificate) • 7–11, page 90 DA Form 3626 (Vehicle Registration/Driver Record) • 7–12, page 90 DA Form 3945 (Military Police Log) • 7–13, page 90 DA Form 3946 (Military Police Traffic Accident Report) • 7–14, page 90 DA Form 3997 (Military Police Desk Blotter) • 7–15, page 90 DA Form 4002 (Evidence/Property Tag) • 7–16, page 91 DA Form 4137 (Evidence/Property Custody Document) • 7–17, page 91 Accountability of DD Form 1408 and the Central Violations Bureau Form • 7–18, page 91 iiiAR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 6 of 149 Contents—Continued Chapter 8 Reportable Serious Incidents, page 91 Policy • 8–1, page 91 Category 1 reportable serious incidents • 8–2, page 92 Category 2 reportable serious incidents • 8–3, page 92 Installation Management Command regions, Army Command, Army Service Component Commands, and Direct Reporting Unit directed reporting criteria • 8–4, page 94 Incidents not reportable by serious incident reports • 8–5, page 94 Chapter 9 Serious Incident Report Reporting Procedures, page 94 Special handling of reports • 9–1, page 94 Time requirements and means of reporting • 9–2, page 94 Types of serious incident reports and reporting formats • 9–3, page 94 Reporting incidents when reporting responsibility is transferred • 9–4, page 94 Required information addressees on serious incident reports • 9–5, page 95 Chapter 10 U.S. Magistrate Court, page 103 Relationship to Army • 10–1, page 103 U.S. Magistrate Court objectives • 10–2, page 103 Court appearances • 10–3, page 103 Central Violations Bureau • 10–4, page 103 Chapter 11 Use of Central Violations Bureau Form, page 104 General • 11–1, page 104 Important guidelines for issuing the Central Violations Bureau Form • 11–2, page 104 Issue and disposition procedures • 11–3, page 104 Fines, collateral, and nonpayment delinquencies • 11–4, page 105 Notification to commanders and supervisors • 11–5, page 105 Use of statement of probable cause • 11–6, page 105 Mandatory appearance • 11–7, page 105 Submitting mandatory hearing violations • 11–8, page 105 Submitting violation notices to the Central Violations Bureau • 11–9, page 106 Agency requests to dismiss or void a violation notice • 11–10, page 106 Request for dismissal or void by the defendant • 11–11, page 106 Violation notices issued to unattended vehicles • 11–12, page 106 U.S. Magistrate Judge Docket Report • 11–13, page 106 Request to agency for a better address • 11–14, page 106 Undeliverable warning letters referred to U.S. Magistrate Judge • 11–15, page 107 Notice to appear letters • 11–16, page 107 Warrant • 11–17, page 107 Suspension notices • 11–18, page 107 Agency notification • 11–19, page 107 Hearing types • 11–20, page 107 Forfeiture of collateral on a court docket • 11–21, page 108 Payment by credit card • 11–22, page 108 Payroll deductions • 11–23, page 108 Citations on the docket to be reset • 11–24, page 108 Agency monthly reports • 11–25, page 108 Waiver of venue for plea and sentence • 11–26, page 108 Intra-district transfer • 11–27, page 108 Voice Case Information System • 11–28, page 108 Central Violations Bureau database search option through e–mail • 11–29, page 108 iv AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 7 of 149 Contents—Continued Disposition of personnel subject to the Uniform Code of Military Justice • 11–30, page 109 Disposition of juvenile offenders • 11–31, page 109 Chapter 12 Game Enforcement, page 109 General • 12–1, page 109 Areas under exclusive Federal jurisdiction • 12–2, page 109 Concurrent jurisdiction • 12–3, page 109 Referral to U.S. Magistrate • 12–4, page 109 Chapter 13 National Crime Information Center Policy, page 110 Authority • 13–1, page 110 Standards • 13–2, page 110 Authorized access • 13–3, page 111 Chapter 14 National Crime Information Center Procedures, page 111 Requesting an originating agency identifier • 14–1, page 111 Suspension or revocation • 14–2, page 113 Entry • 14–3, page 113 Modification • 14–4, page 116 Cancellation • 14–5, page 116 Validation • 14–6, page 116 Army participation in Criminal Justice Information System • 14–7, page 116 Appendixes A. References, page 117 B. General Instructions for Completing DA Form 3975, page 122 C. Management Control Checklist, page 129 Table List Table 1–1: Geographical area of responsibility, page 4 Table 4–1: Offense code list, page 25 Table 4–2: List of offenses from the Uniform Code of Military Justice, page 82 Table 12–1: Common Hunting, Fishing, Trapping, Environmental Protection, and Safety Violations, page 110 Figure List Figure 9–1: Format and instructions for preparing a serious incident report, page 96 Figure 9–1: Format and instructions for preparing a serious incident report—Continued, page 97 Figure 9–2: Format for add-on serious incident report, page 98 Figure 9–3: Format for correction to serious incident report, page 98 Figure 9–4: Sample serious incident report, page 99 Figure 9–4: Sample serious incident report—Continued, page 100 Figure 9–5: Sample add-on serious incident report, page 100 Figure 9–6: Sample correction of serious incident report, page 101 Figure 9–7: Message addresses and facsimile numbers, page 102 Figure 9–7: Message addresses and facsimile numbers—Continued, page 103 Figure 14–1: Sample Request for ORI, page 112 Figure 14–2: Sample ORI holder agreement, page 114 Figure 14–2: Sample ORI holder agreement—Continued, page 115 Glossary vAR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 8 of 149 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 9 of 149 Chapter 1 Introduction 1–1. Purpose This regulation— a. Prescribes policies, procedures and responsibilities on the preparation, reporting, use, retention, and disposition of DA Form 3975 (Military Police Reports) (MPRs) and documents related to law enforcement activities, DA Form 3975–1 (Military Police Report-Additional Offenses), DA Form 3975–2 (Military Police Report-Additional Subjects), DA Form 3975–3 (Military Police Report-Additional Victims), DA Form 3975–4 (Military Police Report-Additional Persons Related to Report), and DA Form 3975–5 (Military Police Report-Additional Property). b. Implements crime reporting requirements of the Uniform Federal Crime Reporting Act (Title 10, United States Code, Section 534 (10 USC 534)), the Brady Handgun Violence Prevention Act (18 USC 922), and the Victim Rights and Restitution Act (42 USC 10601). c. Prescribes policies and procedures for submitting criminal history data (fingerprint cards) to the Criminal Justice Information Systems (CJIS) Federal Bureau of Investigation (FBI). d. Mandates the use of the Centralized Operations Police Suite (COPS) Military Police Reporting System (MPRS) as the automated reporting System to standardize law enforcement reporting throughout the Army providing command- ers, Headquarters, Department of the Army (HQDA), and the Department of Defense (DOD) a record of MPRs and services. e. Prescribes responsibilities and updates policy and procedures for reporting serious incidents within the Depart- ment of the Army (DA). The Serious Incident Report (SIR) System— (1) Provides early notice to HQDA that a serious incident has occurred or will have occurred. (2) Provides the chain of command with timely information to respond to queries from DOD, news media, and others. (3) Meets law enforcement reporting requirements for selected criminal incidents and provides law enforcement personnel such as the Department of Homeland Security and Transportation Security Administration the most current information available. (4) Is not designed to be used for statistical comparison of commands. (5) Is not intended to include reporting of all criminal acts. f. Provides policies and procedures for Army participation in the CJIS, National Crime Information Center (NCIC) of the FBI. It supplements standards and procedures established in the NCIC Operating Manual and the National Law Enforcement Telecommunications Systems (NLETS) Operating Manual. g. Sets forth policies and procedures for the handling of misdemeanors referred to U.S. Magistrates or District Courts. It pertains to petty offenses and other misdemeanors, including, but not limited to, most moving and standing traffic violations and certain violations of conservation, environmental protection, and safety laws committed by service members and civilians on military installations. h. Assigns the geographic areas of responsibility to specific installation Provost Marshals (PMs)/Directors of Emergency Services (DES). 1–2. References Required and related publications and prescribed and referenced forms are listed in appendix A. 1–3. Explanation of abbreviations and terms Abbreviations and special terms used in this regulation are explained in the glossary. 1–4. Responsibilities a. The Office of the Provost Marshal General (PMG) will— (1) Establish and develop policy and procedures— (a) For the preparation, use, and disposition of MP records and forms. (b) For the Army’s participation in CJIS, NCIC, NLETS, and Army access to state law enforcement and criminal justice agency information consistent with applicable state and Federal law. (c) For reporting serious incidents. maintain the official record of serious incident reports submitted to HQDA. All official records will be maintained in accordance with AR 25–400–2. (2) Maintain the official record of serious incident reports submitted to HQDA. All official records will be maintained in accordance with AR 25–400–2. (3) Report crime within the Army, develop Armywide crime statistics, and coordinate law enforcement reporting to the CJIS, FBI, and the Department of Justice (DOJ). (4) Establish and manage the COPS System as the automated MPRS within the Army. This includes procedures for 1AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 10 of 149 entering records, retention of records, dissemination of records and use of such records by DA, DOD agencies, and Federal, state, and local law enforcement agencies. (5) Prepare and execute the DA’s agreement to utilize the services of NLETS and participation in CJIS. b. Director, Installation Management Command (IMCOM); Commander, Army Materiel Command (AMC); Com- mander, Medical Command (MEDCOM); other Commanders if Army Commands (ACOMs), Army Service Compo- nent Commands (ASCCs), and Direct Reporting Units (DRUs) who have reporting or oversight responsibilities under this regulation (such as Commander, U.S. Army Forces Command (FORSCOM), Military Surface Deployment and Distribution Command (SDDC), and Commander, U.S. Corps of Engineers (USACE) and Commander, United States Army Reserve Command (USARC)) will ensure that subordinate garrison commanders— (1) Utilize the COPS System to meet reporting requirements prescribed in this regulation. (2) Comply with all referenced provisions of Federal law in this regulation. (3) Submit required criminal history data to the U.S. Army Crime Records Center (USACRC) for transmittal to CJIS. (4) Forward requests for participation in NCIC that meet the criteria of this regulation to Director, U.S. Army Crime Records Center (CICR–CR), 6010 6th Street, Fort Belvoir, VA 22060–5585. (5) Ensure that installation PMs/DESs enter into state user agreements for access to state law enforcement telecom- munications systems and agencies. (6) Report serious incidents to HQDA as prescribed by this regulation. (7) Report incidents occurring off the installation in the geographic areas for PM/DES activities prescribed by table 1–1. (a) Table 1–1 assigns geographic areas of responsibilities to specific PM/DES. (b) The PM/DES will utilize table 1–1 to execute all necessary liaison, coordination, and lawful missions with civilian authorities within their geographic area of responsibility. (8) Establish additional reporting categories as prescribed in paragraph 8–4, if desired. c. Senior mission commanders will— (1) Ensure that commanders at all levels report alleged criminal incidents to the installation Provost Marshal Office (PMO)/DES and U.S. Army Criminal Investigation Command (USACIDC) for appropriate inquiry and investigation. (2) Ensure that battalion commanders or the first lieutenant colonel in the chain of command complete DA Form 4833 (Commander’s Report of Disciplinary or Administrative Action) with supporting documentation (copies of Article 15s, court martial orders, reprimands, and so on) for all USACIDC investigations. The unit and brigade commander or their equivalent will also receive a copy of the DA Form 4833 for all USACIDC investigations. (3) Ensure that company, troop, and battery level commanders complete DA Form 4833 with supporting documenta- tion (copies of Article 15s, court martial orders, reprimands, and so on) in all cases investigated by military police (MP) investigations, civilian detectives employed by the DA, and the PMO/DES. d. The Commanding General, U.S. Army Training and Doctrine Command will ensure that COPS technical training for functional users is incorporated into the instructional programs of service schools. e. The Director, USACRC will— (1) Receive MPRs prepared per this regulation and related Army law enforcement regulations, policies, and procedures. (2) Maintain records that support entries made in the CJIS, FBI. This includes the criminal history file of the NCIC. (3) Respond to requests for information received from local, state, Federal, and international law enforcement agencies. (4) Respond to requests for MPRs submitted under the Freedom of Information Act (FOIA) or Privacy Act. (5) Process amendment requests under the Privacy Act in coordination with installation PMs/DES. (6) Be responsible to the PMG for the coordination of installation PM or DES participation in CJIS and NCIC and resolution of operational issues concerning the DA’s participation in CJIS and NLETS. (7) Be responsible to the Commander, USACIDC for establishing internal NCIC operating policies based on rules and operating policies of the NCIC Advisory Policy Board and state control terminal agencies (CTAs). (8) Appoint a Federal service coordinator to represent the PMG at working group meetings for CJIS and NLETS. (9) Enter into a user agreement with CJIS concerning the Army’s adherence to all CJIS operating policies and regulations and where applicable state criminal justice agencies. f. Installation PMs/DES or security officers charged with law enforcement operations will— (1) Comply with crime records and reporting requirements of this regulation and ensure that documents and forms are accurately completed and forwarded as prescribed in this regulation. (2) Respond to routine requests for information received from local, state, Federal, international law enforcement agencies, and Privacy and FOIA requests for information. (3) Enforce all laws and regulations pertaining to misdemeanors. 2 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 11 of 149 (4) Select, train, and employ Army installation law enforcement personnel in accordance with doctrine contained in Field Manual (FM) 19–10. (5) Assure adherence by Army installation law enforcement personnel to provisions of this regulation with the exception of changes dictated by the U.S. Magistrate or U.S. District Court of the judicial district in which their installation is located. (6) Enter violations issued on the Central Violations Bureau (CVB) Form (United States District Court Violation Notice) into COPS. (7) Ensure that release of law enforcement information complies with the FOIA, the Privacy Act, and chapter 3 of this regulation. (8) Ensure that funding requirements for NCIC equipment, software, and maintenance are submitted through the appropriate resourcing channels. (9) Ensure that all NCIC transactions are in compliance with this regulation, operating policies of the NCIC, and the state CTA. (10) Ensure that NCIC terminals are staffed 24 hours per day. (11) Ensure that NCIC terminal operators successfully complete required training on the NCIC and state system. (12) Appoint an NCIC terminal coordinator in writing, identifying their duties and responsibilities. (13) Conduct NCIC inquiries for the USACIDC special agents in support of criminal investigations or related inquiries. (14) Be responsive to the federal service coordinator and state CTA on operating the NCIC and state law enforce- ment telecommunications systems and access and dissemination of criminal information. (15) Execute all necessary liaison and coordination with civilian authorities within their geographic area of responsi- bility as assigned in table 1–1. g. The COPS systems administrator, appointed in writing by the installation PM/DES, is responsible for maintaining the COPS System. The custodian of MP records will ensure that all reporting requirements are met on schedule. h. The victim witness coordinator, who is appointed, in writing, by the installation PM/DES, is responsible for the law enforcement notification requirements to all identified victims and witnesses of crime. i. All Active Army, Army National Guard (ARNG)/Army National Guard of the United States (ARNGUS), or U.S. Army Reserve (USAR) unit, agency, or activity commanders, to include commanders of Army elements of unified or combined commands, will— (1) Notify the continental United State (CONUS) installation commander having geographic reporting responsibility or the overseas ASCC commander and the appropriate region DES, as appropriate, of serious incidents immediately. (2) Provide follow up information for supplementary reporting, as necessary. j. CONUS installation commanders will transfer reporting responsibility to another CONUS installation commander by mutual agreement, subject to PMG approval. Transfer procedures are described in paragraph 9–4. k. The Director, U.S. Army Criminal Investigation Laboratory (USACIL) will— (1) Be responsible to the PMG for guidance identifying live scan electronic fingerprint equipment that is compatible with the FBI Electronic Fingerprint Transmission Specification standard, the American National Standards Institute/ National Institute of Standards and Technology (ANSI/NIST) national law enforcement standard for finger/palm prints and compatible with USACIL’s Automated Fingerprint Identification System (AFIS). (2) Be responsible to the PMG for guidance identifying live scan electronic palm print equipment that is compatible with the ANSI/NIST national law enforcement standard for finger/palm prints and compatible with USACIL’s AFIS. (3) Be responsible for all Army Integrated Automated Fingerprint Identification System (IAFIS) transactions involv- ing latent finger or palm prints. (4) Be responsible for Army law enforcement coordination with the FBI concerning special latent cognizant file systems in IAFIS. (5) Enter into a user agreement with CJIS concerning the Army’s adherence to all CJIS operating policies and regulations involving latent print transactions and special latent cognizant files. l. The NCIC terminal coordinator will— (1) Ensure the accuracy of entries and validating records. (2) Respond to inquiries. (3) Ensure physical security of the terminal. m. The NCIC Terminal Coordinator, U.S. Army Deserter Information Point (USADIP), will be responsible for— (1) NCIC entries concerning U.S. Army deserters. (2) NCIC terminal operations at the Personnel Control Facility, Fort Knox, KY. (3) Criminal history record checks for identifying and verifying Army deserters, parole violators, and escaped prisoners. (4) NCIC records of parole violators and escaped military prisoners. 3AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 12 of 149 n. Installation staff judge advocates will advise Army installation commanders and PMs/DESs or security officers concerning implementation of this regulation as requested. Table 1–1 Geographical area of responsibility Installation Area of responsibility Fort AP Hill, VA a. Virginia counties (1) Caroline (2) King George (3) Louisa (4) Spotsylvania b. West Virginia counties (1) Boone (2) Clay (3) Fayette (4) Greenbrier (5) Jackson (6) Kanawha (7) Lincoln (8) Logan (9) McDowell (10) Mercer (11) Monroe (12) Nicholas (13) Putman (14) Raleigh (15) Roane (16) Wyoming 4 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 13 of 149 Table 1–1 Geographical area of responsibility—Continued Fort Belvoir, VA a. Virginia counties (1) Albemarle (2) Augusta (3) Bath (4) Clarke (5) Culpepper (6) Fauquier (7) Frederick (8) Greene (9) Highland (10) Madison (11) Orange (12) Page (13) Rappahannock (14) Rockingham (15) Shenandoah (16) Stafford (17) Warren b. West Virginia counties (1) Barbour (2) Berkeley (3) Braxton (4) Brooke (5) Calhoun (6) Dodd-Ridge (7) Gilmer (8) Grant (9) Hampshire (10) Hancock (11) Hardy (12) Harrison (13) Jefferson (14) Lewis (15) Marion (16) Marshall (17) Mineral (18) Monongalia (19) Morgan (20) Ohio (21) Pendleton (22) Pleasants (23) Pocahontas (24) Preston (25) Randolph (26) Ritchie (27) Taylor (28) Tucker (29) Tyler (30) Upshur (31) Webster (32) Wetzel (33) Wirt (34) Wood 5AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 14 of 149 Table 1–1 Geographical area of responsibility—Continued Fort Benning, GA a. Florida counties (1) Bay (2) Calhoun (3) Columbia (4) Dixie (5) Escambia (6) Franklin (7) Gadsden (8) Gilchrist (9) Gulf (10) Hamilton (11) Holmes (12) Jackson (13) Jefferson (14) Lafayette (15) Leon (16) Liberty (17) Madison (18) Okaloosa (19) Santa Rosa (20) Suwannee (21) Taylor (22) Wakulla (23) Walton (24) Washington b. Georgia counties (1) Baker (2) Berrien (3) Bleckley (4) Calhoun (5) Chattahoochee (6) Clay (7) Colquitt (8) Columbus-Muscogee (9) Cook (10) Crawford (11) Crisp (12) Decatur (13) Dooly (14) Dougherty (15) Early (16) Grady (17) Harris (18) Houston (19) Lamar (20) Lee (21) Macon (22) Marion (23) Meriwether (24) Miller (25) Mitchell (26) Monroe (27) Peach (28) Pike (29) Pulaski (30) Quitman (31) Randolph (32) Schley (33) Seminole (34) Stewart (35) Sumter (36) Talbot (37) Taylor (38) Terrell (39) Thomas (40) Tift (41) Troup (42) Turner (43) Upson (44) Webster (45) Wilcox (46) Worth 6 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 15 of 149 Table 1–1 Geographical area of responsibility—Continued Fort Bliss, TX a. All New Mexico counties except (1) Catron (2) Grant (3) Hidalgo b. All Texas counties west of and including (1) Bailey (2) Dawson (3) Hockley (4) Lubbock (5) Lynn (6) Martin (7) Midland (8) Pecos (9) Terrell (10) Upton Fort Bragg, NC a. All North Carolina counties b. Tennessee counties (1) Carter (2) Johnson (3) Sullivan (4) Unicoi (5) Washington c. Virginia counties (1) Bland (2) Buchanan (3) Carroll (4) Dickenson (5) Floyd (6) Grayson (7) Henry (8) Lee (9) Patrick (10) Pulaski (11) Russell (12) Scott (13) Smyth (14) Tazewell (15) Washington (16) Wise (17) Wythe Fort Buchanan, PR a. All of Puerto Rico b. U.S. Virgin Islands 7AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 16 of 149 Table 1–1 Geographical area of responsibility—Continued Fort Campbell, KY a. Arkansas counties (1) Crittenden (2) Lee (3) Mississippi (4) Monroe (5) Phillips (6) St. Francis b. All Illinois counties east and south of and including (1) Clark (2) Cumberland (3) Fayette (4) Franklin (5) Jackson (6) Jefferson (7) Marion (8) Shelby c. All Kentucky counties west of and including (1) Allen (2) Butler (3) Daviess (4) Ohio (5) Warren d. All Mississippi counties north of and including (1) Clay (2) Coahoma (3) Grenada (4) Monroe (5) Tallahatchie (6) Webster e. All Tennessee counties not listed under Fort Bragg, Fort Knox, and Fort McPherson Carlisle Barracks, PA a. All Ohio counties east of and including (1) Coshocton (2) Guernsey (3) Holmes (4) Lorain (5) Medina (6) Monroe (7) Noble (8) Wayne b. All Pennsylvania counties not listed under Fort Dix Fort Carson, CO a. All Colorado counties b. All Montana counties east of including (1) Fergus (2) Park (3) Phillips (4) Sweet Grass (5) Wheatland c. All Nebraska counties west of and including (1) Arthur (2) Grant (3) Hayes (4) Hitchcock (5) Keith (6) Perkins (7) Sheridan d. All Utah counties e. All Wyoming counties Fort Detrick, MD Maryland counties (1) Allegany (2) Carroll (3) Frederick (4) Garrett (5) Washington 8 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 17 of 149 Table 1–1 Geographical area of responsibility—Continued Fort Dix, NJ a. All Maine counties b. All Massachusetts counties c. All New Hampshire counties d. All New Jersey counties e. Pennsylvania counties (1) Berks (2) Bucks (3) Chester (4) Delaware (5) Lancaster (6) Lebanon (7) Lehigh (8) Montgomery (9) Northampton (10) Philadelphia f. All Rhode Island counties g. All Vermont counties Fort Drum, NY All New York counties except those listed under Fort Hamilton Fort Eustis, VA Virginia counties (1) Accomack (2) Charles City (3) Essex (4) Gloucester (5) Hanover (6) James City (7) King and Queen (8) King William (9) Lancaster (10) Mathews (11) Middlesex (12) New Kent (13) Northampton (14) Northumberland (15) Richmond (16) Surry (17) Westmoreland (18) York 9AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 18 of 149 Table 1–1 Geographical area of responsibility—Continued Fort Gordon, GA Georgia counties (1) Baldwin (2) Banks (3) Bibb (4) Bulloch (5) Burke (6) Candler (7) Clarke (8) Columbia (9) Elbert (10) Emanuel (11) Franklin (12) Glascock (13) Greene (14) Habersham (15) Hancock (16) Hart (17) Jackson (18) Jefferson (19) Jenkins (20) Johnson (21) Jones (22) Laurens (23) Lincoln (24) Madison (25) McDuffie (26) Montgomery (27) Morgan (28) Oconee (29) Oglethorpe (30) Putnam (31) Rabun (32) Richmond (33) Screven (34) Stephens (35) Taliaferro (36) Treutlen (37) Twiggs (38) Warren (39) Washington (40) Wheeler (41) Wilkes (42) Wilkinson Fort Hamilton, NY a. All Connecticut counties b. All New York counties south of and including (1) Columbia (2) Greene (3) Sullivan (4) Ulster 10 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 19 of 149 Table 1–1 Geographical area of responsibility—Continued Fort Hood, TX a. All Texas counties east of (1) Dawson (2) Lubbock (3) Lynn (4) Martin (5) Midland (6) Upton b. All Texas counties north of (1) Austin (2) Bastrop (3) Blanco (4) Brazoria (5) Chambers (6) Crockett (7) Fayette (8) Fort Bend (9) Galveston (10) Gillespie (11) Hays (12) Jefferson (13) Kimble (14) Schleicher (15) Travis c. All Texas counties south of and including (1) Archer (2) Baylor (3) Bowie (4) Clay (5) Cooke (6) Dickens (7) Fannin (8) Grayson (9) King (10) Knox (11) Lamar (12) Montague (13) Red River Fort Huachuca, AZ a. All Arizona counties b. New Mexico counties (1) Catron (2) Grant (3) Hidalgo Fort Irwin, CA a. All California counties not listed under Fort Lewis b. All Nevada counties Fort Jackson, SC All South Carolina counties except (1) Beaufort (2) Jasper 11AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 20 of 149 Table 1–1 Geographical area of responsibility—Continued Fort Knox, KY a. All Illinois counties east and north of and including (1) Boone (2) Coles (3) DeKalb (4) DeWitt (5) Edgar (6) LaSalle (7) Livingston (8) Macon (9) McLean (10) Moultrie b. All Indiana counties c. All Kentucky counties east of (1) Allen (2) Butler (3) Daviess (4) Ohio (5) Warren d. All Michigan counties e. All Ohio counties west of (1) Coshocton (2) Guernsey (3) Holmes (4) Lorain (5) Medina (6) Monroe (7) Noble (8) Wayne f. Tennessee counties (1) Campbell (2) Claiborne (3) Clay (4) Fentress (5) Hancock (6) Hawkins (7) Jackson (8) Morgan (9) Overton (10) Pickett (11) Scott g. West Virginia counties (1) Cabell (2) Mason (3) Mingo (4) Wayne Fort Leavenworth, KS a. All Iowa counties b. All Kansas counties east of and including (1) Brown (2) Coffey (3) Jackson (4) Montgomery (5) Osage (6) Shawnee (7) Wilson (8) Woodson c. All Minnesota counties d. All Wisconsin counties 12 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 21 of 149 Table 1–1 Geographical area of responsibility—Continued Fort Lee, VA Virginia counties (1) Alleghany (2) Amelia (3) Amherst (4) Appomattox (5) Bedford (6) Botetourt (7) Brunswick (8) Buckingham (9) Campbell (10) Charlotte (11) Chesterfield (12) Craig (13) Cumberland (14) Dinwiddie (15) Franklin (16) Fluvanna (17) Giles (18) Goochland (19) Halifax (20) Henrico (21) Lunenburg (22) Mecklenburg (23) Montgomery (24) Nelson (25) Nottoway (26) Pittsylvania (27) Powhatan (28) Prince Edward (29) Prince George (30) Roanoke (31) Rockbridge Fort Leonard Wood, MO a. All Arkansas counties not listed under Fort Campbell, Fort Polk, and Fort Sill b. All Illinois counties not listed under Fort Campbell and Fort Knox c. All Missouri counties Fort Lewis, WA a. California Counties (1) Del Norte (2) Humboldt (3) Modoc (4) Shasta (5) Siskiyou (6) Trinity b. All Idaho counties c. All Montana counties west of (1) Fergus (2) Park (3) Phillips (4) Sweet Grass (5) Wheatland d. All Oregon counties e. All Washington counties 13AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 22 of 149 Table 1–1 Geographical area of responsibility—Continued Fort McPherson, GA a. Georgia counties (1) Barrow (2) Bartow (3) Butts (4) Carroll (5) Catoosa (6) Chattooga (7) Cherokee (8) Clayton (9) Cobb (10) Coweta (11) Dade (12) Dawson (13) DeKalb (14) Douglas (15) Fannin (16) Fayette (17) Floyd (18) Forsyth (19) Fulton (20) Gilmer (21) Gordon (22) Gwinnett (23) Hall (24) Haralson (25) Heard (26) Henry (27) Jasper (28) Lumpkin (29) Murray (30) Newton (31) Paulding (32) Pickens (33) Polk (34) Rockdale (35) Spalding (36) Towns (37) Union (38) Walker (39) Walton (40) White (41) Whitfield b. All Tennessee counties south and east of and including (1) Anderson (2) Bledsoe (3) Grainger (4) Greene (5) Hamblen (6) Loudon (7) Marion (8) Meigs (9) Rhea (10) Sequatchie (11) Union Fort Meade, MD a. All Maryland counties not listed under Fort Detrick and Fort Myer b. All Delaware counties Fort Monroe, VA Virginia counties (1) Chesapeake City (2) Greensville (3) Isle of Wight (4) Norfolk City (5) Portsmouth City (6) Southampton (7) Suffolk City (8) Sussex (9) Virginia Beach City 14 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 23 of 149 Table 1–1 Geographical area of responsibility—Continued Fort Myer, VA a. All of District of Columbia b. Maryland counties (1) Montgomery (2) Prince George’s c. Virginia cities (1) Alexandria (2) Fairfax (3) Manassas (4) Manassas Park d. Virginia counties (1) Arlington (2) Fairfax (3) Loudoun (4) Prince William Fort Polk, LA a. All Arkansas counties south of and including (1) Arkansas (2) Desha (3) Garland (4) Grant (5) Jefferson (6) Montgomery (7) Polk (8) Saline b. All Louisiana parishes c. All Mississippi counties west and south of and including (1) Attala (2) Bolivar (3) Carroll (4) Jefferson Davis (5) Leake (6) Leflore (7) Marion (8) Montgomery (9) Rankin (10) Simpson (11) Sunflower Red Stone Arsenal All Alabama counties except those listed under Fort Rucker Fort Riley, KS a. All Kansas counties not listed under Fort Leavenworth b. All Nebraska counties east of (1) Arthur (2) Grant (3) Hayes (4) Hitchcock (5) Keith (6) Perkins (7) Sheridan c. All North Dakota counties d. All South Dakota counties Fort Rucker, AL a. All Alabama counties south of and including (1) Bibb (2) Chambers (3) Chilton (4) Coosa (5) Greene (6) Hale (7) Sumter (8) Tallapoosa b. All Mississippi counties except those listed under Fort Campbell and Fort Polk 15AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 24 of 149 Table 1–1 Geographical area of responsibility—Continued Fort Sam Houston, TX a. Texas counties south and east of and including (1) Austin (2) Bastrop (3) Blanco (4) Brazoria (5) Chambers (6) Crockett (7) Fayette (8) Fort Bend (9) Galveston (10) Gillespie (11) Hays (12) Jefferson (13) Kimble (14) Schleicher (15) Travis (16) Val Verde b. Boundary on the west is Terrell county and the Mexican border Fort Sill, OK a. Arkansas counties (1) Crawford (2) Franklin (3) Logan (4) Scott (5) Sebastian b. All Oklahoma counties c. All Texas counties north of and including (1) Cottle (2) Floyd (3) Foard (4) Hale (5) Lamb (6) Motley (7) Wichita (8) Wilbarger 16 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 25 of 149 Table 1–1 Geographical area of responsibility—Continued Fort Stewart, GA a. All Florida counties except (1) Bay (2) Calhoun (3) Columbia (4) Dixie (5) Escambia (6) Franklin (7) Gadsden (8) Gilchrist (9) Gulf (10) Hamilton (11) Holmes (12) Jackson (13) Jefferson (14) Lafayette (15) Leon (16) Liberty (17) Madison (18) Okaloosa (19) Santa Rosa (20) Suwannee (21) Taylor (22) Wakulla (23) Walton (24) Washington b. Georgia counties (1) Appling (2) Atkinson (3) Bacon (4) Ben Hill (5) Brantley (6) Brooks (7) Bryan (8) Camden (9) Charlton (10) Chatham (11) Clinch (12) Coffee (13) Dodge (14) Effingham (15) Echols (16) Evans (17) Glynn (18) Irwin (19) Jeff Davis (20) Lanier (21) Liberty (22) Long (23) Lowndes (24) McIntosh (25) Pierce (26) Tattnall (27) Telfair (28) Toombs (29) Ware (30) Wayne c. South Carolina counties (1) Beaufort (2) Jasper USARPAC a. All of Alaska b. All of Hawaii Notes: 1 This document outlines the law enforcement area support policy for the Active Army. Active Army and Reserve Component installations not listed in this document will be called upon by the PMG in coordination with IMCOM, the designated ACOM, ASCC, or DRU to provide law enforcement support when it is determined that they are within a 120–mile radius of the designated location. 17AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 26 of 149 Chapter 2 Records Administration 2–1. General a. The MP records and files created under provisions of this regulation will be maintained and disposed of in accordance with instructions and standards prescribed by AR 25–400–2, AR 25–55, AR 340–21, and other applicable HQDA directives. b. Each PM/DES will appoint, in writing, two staff members (one primary and one alternate) to account for and safeguard all records containing personal information protected by law. Action will be taken to ensure that protected personal information is used and stored only where facilities and conditions will preclude unauthorized or unintentional disclosure. c. Personally identifying information means information that identifies an individual, including an individual’s photograph, social security number (SSN), driver identification number, name, address, telephone number, and medical or disability information. d. Access to areas in which MP records are prepared, processed, and stored will be restricted to those personnel whose duties require their presence or to other personnel on official business. The MP records containing personal information will be stored in a locked room or locked filing cabinet when not under the personal control of authorized personnel. Alternate storage systems providing equal or greater protection will be used in accordance with AR 25–55. e. Only personnel on official business can have access to areas in which computers are used to store, process, or retrieve MP records. This includes remote computer terminals and authorized personal computers used for Government business and activities. When processing MP information, computer video display monitors will be positioned so that protected information cannot be viewed by unauthorized persons. Computer output from automated MP systems will be controlled as specified in d above. f. Output from any locally prepared data or automated systems containing personal information subject to the Privacy Act will be controlled per AR 340–21. All locally created or IMCOM, AMC, MEDCOM, and any other ACOM, ASCC, and DRU unique automated systems of records containing law enforcement information must be reported to and approved by HQDA, PMG prior to use. The request must clearly document why the COPS MPRS System cannot meet the requirements or objectives of the organization. After review and approval by HQDA, the installation, IMCOM, AMC, MEDCOM, and other ACOM, ASCC, and DRU such as SDDC and USACE will complete and process the systems notice for publication in the Federal Register per AR 340–21 and the Privacy Act. g. The PMs/DESs using automated systems will appoint, in writing, an Information Assurance Security Officer (IASO) who will ensure implementation of automation security requirements within the organization. Passwords used to control systems access will be generated, issued, and controlled by the IASO. h. Supervisors at all levels will ensure that personnel whose duties involve preparation, processing, filing, and release of MP records are knowledgeable of and comply with policies and procedures contained in this regulation, AR 25–55, AR 340–21, and other applicable HQDA directives. Particular attention will be directed to provisions on the release of information and protection of privacy. i. The MP records identifying juveniles as offenders will be clearly marked as juvenile records and will be kept secure from unauthorized access by individuals. Juvenile records will be stored with adult records, but clearly designated as juvenile records even after the individual becomes of legal age. In distributing information on juveniles, PMs/DESs will ensure that only individuals with a clear reason to know the identity of a juvenile are provided the identifying information on the juvenile. For example, a community commander is authorized to receive pertinent information on juveniles. When an MPR identifying juvenile offenders must be provided to multiple commanders or supervisors, the PM/DES must sanitize each report to withhold juvenile information not pertaining to that commander’s area of responsibility. j. The MP records in the custody of USACRC will be processed, stored, and maintained in accordance with policy established by the Director, USACRC. 2–2. Safeguarding official information a. Military police records are unclassified except when they contain national security information as defined in AR 380–5. b. When MP records containing personal information are transmitted outside the installation law enforcement community to other departments and agencies within DOD, such records will be marked “For Official Use Only” (FOUO). These records will be transmitted as prescribed by AR 25–55. Use of an expanded marking is required for certain records transmitted outside DOD per AR 25–55. c. MP records will also be released to Federal, state, local, or foreign law enforcement agencies as prescribed by AR 340–21. Expanded markings will be applied to these records. 2–3. Special requirements of the Privacy Act of 1974 a. Certain personal information is protected under the Privacy Act and AR 340–21. 18 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 27 of 149 b. Individuals requested to furnish personal information must normally be advised of the purpose for which the information is routinely used. c. Army law enforcement personnel performing official duties often require an individual’s SSN for identification purposes. Personal information will be obtained from identification documents without violating an individual’s privacy and without providing a Privacy Act Statement. This personal information can be used to complete MPRs and records. The following procedures will be used to obtain SSNs: (1) Active Army, USAR, ARNG/ARNGUS, and retired military personnel are required to produce their Common Access Card (CAC), DD Form 2 (Act), DD Form 2 (Res), or DD Form 2 (Ret) (Armed Forces of the United States Geneva Convention Identification Card), or other Government-issued identification, as appropriate. (2) Family members of sponsors will be requested to produce their DD Form 1173 (Uniformed Services Identifica- tion and Privilege Card). Information contained thereon (for example, the sponsor’s SSN) will be used to verify and complete applicable sections of MPRs and related forms. (3) DOD civilian personnel will be requested to produce their appropriate service identification. DA Form 1602 (Civilian Identification) or other authorized forms of identification such as the CAC will be requested from DA civilian employees. If unable to produce such identification, DOD civilians will be requested to provide other verifying documentation. (4) Non-DOD civilians, including family members and those whose status is unknown, will be advised of the provisions of the Privacy Act statement when requested to disclose their SSN. d. Requests for new systems of MP records, changes to existing systems, and continuation systems not addressed in existing public notices will be processed as prescribed in AR 340–21, after approval is granted by HQDA, PMG (DAPM–MPD–LE). 2–4. Administration of expelled or barred persons file a. When action is completed by an installation commander to bar an individual from the installation under 18 USC 1382, the installation PM/DES will be provided with— (1) A copy of the letter or order barring the individual. (2) Reasons for the bar. (3) Effective date of the bar and period covered. b. The PM/DES will maintain a list of barred or expelled persons. When the bar or expulsion action is predicated on information contained in MP investigative records, the bar or expulsion document will reference the appropriate MP record or MPR. When an MPR results in the issuance of a bar letter, the PM/DES will forward a copy of the bar letter to Director, USACRC to be filed with the original MPR. The record of the bar will also be entered into COPS, in the MPRS module, under Barrings. 2–5. Police intelligence/criminal information a. The purpose of gathering police intelligence is to identify individuals or groups of individuals in an effort to anticipate, prevent, or monitor possible criminal activity. If police intelligence is developed to the point where it factually establishes a criminal offense, an investigation by the MP, USACIDC or other investigative agency will be initiated. The crimes in paragraphs 2–5b(2) and (3), below, will be reported to the nearest Army counterintelligence office as required by AR 381–12. b. Information on persons and organizations not affiliated with DOD will not normally be acquired, reported, processed, or stored. Situations justifying acquisition of this information include, but are not limited to— (1) Theft, destruction, or sabotage of weapons, ammunition, equipment facilities, or records belonging to DOD units or installations. (2) Possible compromise of classified defense information by unauthorized disclosure or espionage. (3) Subversion of loyalty, discipline, or morale of DA military or civilian personnel by actively encouraging violation of laws, disobedience of lawful orders and regulations, or disruption of military activities. (4) Protection of Army installations and activities from potential threat. (5) Information received from the FBI, state, local, or international law enforcement agencies which directly pertain to the law enforcement mission and activity of the installation PM/DES office, ACOM, ASCC, or DRU PMO/DES, or that has a clearly identifiable military purpose and connection. A determination that specific information will not be collected, retained, or disseminated by intelligence activities does not indicate that the information is automatically eligible for collection, retention, or dissemination under the provisions of this regulation. The above policies are not intended and will not be used to circumvent any Federal law that restricts gathering, retaining, or dissemination of information on private individuals or organizations. c. Retention and disposition of information on non-DOD affiliated individuals and organizations are subject to the provisions of AR 380–13 and AR 25–400–2. d. Police intelligence such as threat and local observation notice (TALON) events will be captured by utilizing the TALON report format. These reports will be identified as “Pre-TALON” reports. The PMO/DES will forward these reports to the counterintelligence activity which supports their installation/area. The counterintelligence activity will 19AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 28 of 149 determine if the suspicious incident/activity should be entered into the DOD TALON Reporting System. The counterin- telligence activity will inform the submitting Army law enforcement agency as to whether or not the “Pre-TALON” report was submitted into the DOD TALON reporting System. e. In addition to Pre-TALON reporting, installation law enforcement agencies/activities will also comply with their combatant command’s policies regarding the reporting of suspicious activities or events which meet established criteria. f. If a written extract from local police intelligence files is provided to an authorized investigative agency, the following will be included on the transmittal documents: “THIS DOCUMENT IS PROVIDED FOR INFORMATION AND USE. COPIES OF THIS DOCUMENT, ENCLOSURES THERETO, AND INFORMATION THEREFROM, WILL NOT BE FURTHER RELEASED WITHOUT THE PRIOR APPROVAL OF THE INSTALLATION PRO- VOST MARSHAL/DIRECTORATE OF EMERGENCY SERVICES.” g. Local police intelligence files will be exempt from certain disclosure requirements by AR 25–55 and the FOIA. 2–6. Name checks a. Information contained in MP records will be released under the provisions of AR 340–21 to authorized personnel for valid background check purposes. Examples include child care/youth program providers, access control, unique or special duty assignments, and security clearance procedures. Any information released must be restricted to that necessary and relevant to the requester’s official purpose. The PMs/DESs will establish written procedures to ensure that release is accomplished in accordance with AR 340–21. b. Checks will be accomplished by a review of the COPS MPRS. Information will be disseminated according to chapter 3 of this regulation. c. In response to a request for local files or name checks, PMs/DESs will release only founded offenses with final disposition. Offenses determined to be unfounded will not be released. These limitations do not apply to requests submitted by law enforcement agencies for law enforcement purposes and counterintelligence investigative agencies for counterintelligence purposes. d. The COPS MPRS is a database that contains all MPRs filed worldwide. Authorized users of COPS MPRS can conduct name checks for criminal justice purposes. To conduct a name check, users must have either the SSN/foreign national number or the first and last name of the individual. If a search is done by name only, COPS MPRS will return a list of all matches to the data entered. Select the appropriate name from the list. e. A successful query of COPS MPRS would return the following information: (1) MPR number. (2) Report date (3) SSN. (4) Last name. (5) First name. (6) Whether the individual has a protected identity. (7) A link to view the MPR. (8) Whether the individual is a subject, victim, or a person related to the report disposition. f. Name checks will include the criteria established in COPS MPRS and the USACRC. All of the policies and procedures for such checks will conform to the provisions of this regulation. Any exceptions to this policy must be coordinated with HQDA, PMG before any name checks are conducted. The following are examples of appropriate uses of the name check feature of COPS MPRS: (1) Individuals named as the subjects of SIRs. (2) Individuals named as subjects of investigations who must be reported to the USACRC. (3) Employment as child care/youth program providers. (4) Local checks of the COPS MPRS as part of placing an individual in the COPS MPRS System. (5) Name checks for individuals employed in law enforcement positions. g. The PMs/DESs will ensure that an audit trail is established and maintained for all information released from MP records. h. Procedures for the conduct of name checks with the USACRC are addressed in AR 195–2. The following information is required for USACRC name checks (when only the name is available, USACRC should be contacted telephonically for assistance): (1) Full name, date of birth, SSN, and former service number of the individual concerned. (2) The specific statute, directive, or regulation on which the request is based, when requested for other than criminal investigative purposes. i. Third party checks (first party asks second party to obtain information from third party on behalf of first party) will not be conducted. 20 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 29 of 149 2–7. Registration of convicted military sex offenders Soldiers who are convicted by court-martial for certain sexual offenses must comply with all applicable state registra- tion requirements in effect in the state in which they reside (see AR 190–47, chapter 14 and AR 27–10, chapter 24). This is a statutory requirement based on the Jacob Wetterling Act, and implemented by DODI 1325.7, and AR 27–10. The PMs/DESs should coordinate with their local Staff Judge Advocate to determine if an individual must register. The registration process will be completed utilizing the state registration form, which is available through state and local law enforcement agencies. A copy of the completed registration form will be maintained in the installation PMO/DES. Additionally, a DA Form 3975 will be completed as an information entry into COPS. Installation PMs/DESs will provide written notice to state and local law enforcement agencies of the arrival of an offender to the local area so the registration process can be completed. 2–8. Collection of deoxyribonucleic acid In certain instances, a Soldier will be found guilty by special or general court martial of a qualifying military offense (QMO), but not sentenced to confinement. A QMO is any offense under the Uniform Code of Military Justice (UCMJ) punishable by a sentence of confinement for more than one year (regardless of the sentence imposed), or the offenses of prostitution involving a minor, arson, or solicitation to commit any QMO. In those instances the Soldier’s commander is responsible for collecting deoxyribonucleic acid (DNA) samples from the Soldier. The PM/DES will assist the unit commander with obtaining fingerprints The commander is responsible for ensuring that the Soldier is escorted to the appropriate medical facility to collect the DNA sample. The commander then mails the DNA kit to USACIL, 4553 North 2nd Street, Forest Park, GA 30297–5205. The DNA collection kit has a self-addressed stamped box that should be used to return the completed kit to USACIL. Chapter 3 Release of Information 3–1. General a. The policy of HQDA is to conduct activities in an open manner and provide the public accurate and timely information. Accordingly, law enforcement information will be released to the degree permitted by law and Army regulations. b. Any release of MP records or information compiled for law enforcement purposes, whether to persons within or outside the Army, must be in accordance with the FOIA and Privacy Act. c. Requests by individuals for access to MP records about themselves will be processed in compliance with AR 25–55 and AR 340–21. d. The MP records in the temporary possession of another organization remain the property of the originating law enforcement agency. The following procedures apply to any organization authorized temporary use of MP records: (1) Any request from an individual seeking access to MP records will be immediately referred to the originating law enforcement agency for processing. (2) When the temporary purpose of the using organization has been satisfied, the MP records will be destroyed or returned to the originating law enforcement agency. (3) A using organization will maintain information from MP records in their system of records, if approval is obtained from the originating law enforcement agency. This information will include reference to an MP record (for example, MPR number or date of offense), a summary of information contained in the record, or the entire MP record. When a user includes an MP record in its system of records, the originating law enforcement agency will delete portions from that record to protect special investigative techniques, maintain confidentiality, preclude compromise of an investigation, and protect other law enforcement interests. 3–2. Guidelines for disclosure within Department of Defense a. Criminal record information contained in MP documents will not be disseminated unless there is a clearly demonstrated official need to know. A demonstrated official need to know exists when the record is necessary to accomplish a function that is within the responsibility of the requesting activity or individual, is prescribed by statute, DOD directive, regulation, or instruction, or by Army regulation. (1) Criminal record information will be disclosed to commanders or staff agencies to assist in executing criminal justice functions. Only that information reasonably required will be released. Such disclosure must clearly relate to a law enforcement function. (2) Criminal record information related to subjects of criminal justice disposition will be released when required for security clearance procedures. (3) Criminal record information will be released to an activity when matters of national security are involved. (4) When an individual informs an activity of criminal record information pertaining to them, the receiving activity 21AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 30 of 149 will seek verification of this information through the responsible law enforcement agency or will forward the request to that organization. The individual must be advised by the receiving agency of the action being pursued. Law enforce- ment agencies will respond to such requests in the same manner as FOIA and Privacy Act cases. b. Nothing in this regulation will be construed to limit the dissemination of information between military police, the USACIDC, and other law enforcement agencies within the Army and DOD. 3–3. Release of information a. Release of information from Army records to agencies outside DOD will be governed by AR 25–55, AR 340–21, AR 600–37, and this regulation. Procedures for release of certain other records and information is contained in AR 20–1, AR 27–20, AR 27–40, AR 40–66, AR 195–2, AR 360–1, and AR 600–85. Installation drug and alcohol offices will be provided an extract of DA Form 3997 (Military Police Desk Blotter) for offenses involving the use of alcohol or drugs (for example, drunk driving, drunk and disorderly conduct, or positive urinalysis). b. Installation PMs/DESs are the release authorities for MP records under their control. They will release criminal record information to other activities as prescribed in AR 25–55, AR 340–21, and this regulation. c. Authority to deny access to criminal records information rests with the initial denial authority (IDA) for the FOIA and the access and amendment refusal authority (AARA) for Privacy Acts cases, as addressed in AR 25–55 and AR 340–21. 3–4. Release of information under the Freedom of Information Act a. The release and denial authorities for all FOIA cases concerning MP records include PMs/DESs and the Commander, USACIDC. Authority to act on behalf of the Commander, USACIDC is delegated to the Director, USACRC. b. All FOIA requests from members of the press will be coordinated with the installation Public Affairs Officer prior to release of records under the control the installation PM/DES. When the record is on file at the USACRC the request must be forwarded to the Director, USACRC. c. Requests will be processed as prescribed in AR 25–55 and as follows: (1) The PM/DES will review requested reports to determine if any portion is exempt from release. Any discretionary decision to disclose information under the FOIA should be made only after full and deliberate consideration of the institutional, commercial, and personal privacy interests that could be implicated by disclosure of the information. (2) Statutory and policy questions will be coordinated with the local staff judge advocate. (3) Coordination will be completed with the local USACIDC activity to ensure that the release will not interfere with a criminal investigation in progress or affect final disposition of an investigation. (4) If it is determined that a portion of the report or the report in its entirety will not be released, the request to include a copy of the MPR or other MP records will be forwarded to the Director, USACRC, ATTN: CICR–FP, 6010 6th Street, Fort Belvoir, VA 22060–5585. The requestor will be informed that their request has been sent to the Director, USACRC, and provided the mailing address for the USACRC. When forwarding FOIA requests, the outside of the envelope will be clearly marked “FOIA REQUEST.” (5) A partial release of information by a PM/DES is permissible when partial information is acceptable to the requester. (An example would be the deletion of a third party’s SSN, home address, and telephone number, as permitted by law). If the requester agrees to the omission of exempt information, such cases do not constitute a denial. If the requester insists on the entire report, a copy of the report and the request for release will be forwarded to the Director, USACRC. There is no requirement to coordinate such referrals at the installation level. The request will simply be forwarded to the Director, USACRC for action. (6) Requests for MP records that have been forwarded to USACRC and are no longer on file at the installation PMO/DES will be forwarded to the Director, USACRC for processing. (7) Requests concerning USACIDC reports of investigation or USACIDC files will be referred to the Director, USACRC. In each instance, the requestor will be informed of the referral and provided the Director, USACRC address. (8) Requests concerning records that are under the supervision of an Army activity, or other DOD agency, will be referred to the appropriate agency for response. 3–5. Release of information under the Privacy Act of 1974 a. Military police records will be released according to provisions of the Privacy Act of 1974, as implemented by AR 340–21 and this regulation. b. The release and denial authorities for all Privacy Act cases concerning MP records are provided in paragraph 3–3, above. c. Privacy Act requests for access to a record, when the requester is the subject of that record, will be processed as prescribed in AR 340–21. 3–6. Amendment of records a. Policy. An amendment of records is appropriate when such records are established as being inaccurate, irrelevant, 22 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 31 of 149 untimely, or incomplete. Amendment procedures are not intended to permit challenging an event that actually occurred. For example, a request to remove an individual’s name as the subject of a MPR would be proper providing credible evidence was presented to substantiate that a criminal offense was not committed or did not occur as reported. Expungement of a subject’s name from a record because the commander took no action or the prosecutor elected not to prosecute normally will not be approved. In compliance with DOD policy, an individual will still remain entered in the Defense Central Clearance Index (DCII) to track all reports of investigation. b. Procedures. (1) Installation PMs/DESs will review amendment requests. Upon receipt of a request for an amendment of a MP record that is five or less years old, the installation PM/DES will gather all relevant available records at their location. The installation PM/DES will review the request and either approve the request or forward it to the Director, USACRC with recommendation and rational for denial. In accordance with AR 340–21, paragraph 1–7l, the Commanding General, USACIDC is the sole access and amendment authority for criminal investigation reports and MPRs. Access and amendment refusal authority is not delegable If the decision is made to amend an MPR, a supplemental DA Form 3975 will be prepared. The supplemental DA Form 3975 will change information on the original DA Form 3975 and will be mailed to the Director, USACRC with the amendment request from the requestor as an enclosure. The Director, USACRC will file the supplemental DA Form 3975 with the original MPR and notify the requestor of the amendment of the MPR. (2) Requests to amend MP documents that are older than five years will be coordinated through the Director, USACRC. The installation PM/DES will provide the Director, USACRC a copy of an individual’s request to amend a MP record on file at the USACRC. If the Director, USACRC receives an amendment request, the correspondence with any documentation on file at the USACRC will be sent to the originating PMO/DES. The installation PM/DES will review the request and either approve the request or forward it to the Director, USACRC for denial. A copy of the PM/ DES’s decision must be sent to the Director, USACRC to be filed in the USACRC record. If an amendment request is granted, copies of the supplemental DA Form 3975 will be provided to each organization, activity, or individual who received a copy of the original DA Form 3975. (3) If the PMO/DES no longer exists, the request will be staffed with the IMCOM region, ACOM, ASCC, or DRU PMO/DES that had oversight responsibility for the PMO/DES at the time the DA Form 3975 was originated. 3–7. Accounting for military police record disclosure a. AR 340–21 prescribes accounting policies and procedures concerning the disclosure of MP records. b. The PMs/DESs will develop local procedures to ensure that disclosure data requirements by AR 340–21 are available on request. 3–8. Release of law enforcement information furnished by foreign governments or international organizations a. Information furnished by foreign governments or international organizations is subject to disclosure, unless exempted by AR 25–55, AR 340–21, Federal statutes, or executive orders. b. Information will be received from a foreign source under an express pledge of confidentiality as described in AR 25–55 and AR 340–21 (or under an implied pledge of confidentiality given prior to 27 September 1975). (1) Foreign sources will be advised of the provisions of the Privacy Act of 1974, the FOIA, and the general and specific law enforcement exemptions available, as outlined in AR 340–21 and AR 25–55. (2) Information received under an express promise of confidentiality will be annotated in the MPR or other applicable record. (3) Information obtained under terms of confidentiality must clearly aid in furthering a criminal investigation. c. Denial recommendations concerning information obtained under a pledge of confidentiality, like other denial recommendations, will be forwarded by the records custodian to the appropriate IDA or AARA per AR 25–55 or AR 340–21. d. Release of U.S. information (classified military information or controlled unclassified information) to foreign governments is accomplished per AR 380–10. Chapter 4 Offense Reporting 4–1. General a. This chapter establishes policy for reporting founded criminal offenses by Army installation and ACOM, ASCC, DRU PM/DES offices, and IMCOM. b. This chapter prescribes reporting procedures, which require the use of the COPS MPRS and a systems administra- tor to ensure that the system is properly functioning. Reporting requirements include— 23AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 32 of 149 (1) Reporting individual offenders to the USACRC, NCIC, CJIS, and the DOD. (2) Crime reports to the DOD. The DOD collects data from all the Services utilizing the Defense Incident-Based Reporting System (DIBRS). The Army inputs its data into DIBRS utilizing COPS. Any data reported to DIBRS is only as good as the data reported into COPS, so the need for accuracy in reporting incidents and utilizing proper offense codes is critical. The DIBRS data from DOD is eventually sent to the Department of Justice’s National Incident-Based Reporting System (NIBRS). The data is eventually incorporated into the Uniform Crime Report. c. A PMO/DES initiating a DA Form 3975 or other MP investigation has reporting responsibility explained throughout this chapter and this regulation in general. d. In the event the PMO/DES determines that their office does not have investigative responsibility or authority, the MPR will be terminated and the case cleared by exceptional clearance. A case cleared by exceptional clearance is closed by the PM/DES when no additional investigative activity will be performed or the case is referred to another agency. If a case is transferred to the PM/DES from another law enforcement investigation agency the gaining PMO/ DES will have all reporting responsibility using the COPS MPRS System. 4–2. Military Police Report a. General use. DA form 3975 is a multipurpose form used to— (1) Record all information or complaints received or observed by the MP. (2) Serve as a record of all military/DA civilian police and military/DA civilian police investigator activity. (3) Document entries made into the COPS MPRS System and other automated systems. (4) Report information concerning investigations conducted by civilian law enforcement agencies related to matters of concern to the Army. (5) Advise commanders and supervisors of offenses and incidents involving personnel or property associated with their command or functional responsibility. (6) Report information developed by commanders investigating incidents or conducting inspections that result in the disclosure of evidence that a criminal offense has been committed. b. Special use. The DA Form 3975 will be used to— (1) Transmit completed DA Form 3946 (Military Police Traffic Accident Report). This will include statements, sketches, or photographs that are sent to a commander or other authorized official. (2) Transmit the CVB Form when required by local installation or U.S. Magistrate Court policy. The DA Form 3975 is used to advise commanders or supervisors that military, civilian, or contract personnel have been cited on a CVB Form. (3) Match individual subjects with individual victims or witnesses and founded criminal offenses. This is a Federal statutory requirement. This is done using the relationships tab within COPS MPRS. (4) Document victim/witness liaison activity. c. Distribution. The DA Form 3975 will be prepared in three copies, signed by the PM or a designated representa- tive, and distributed as follows: (1) Send original to USACRC. Further information, arising or developed at a later time, will be forwarded to USACRC using a supplemental DA Form 3975. Reports submitted to USACRC will include a good, legible copy of all statements, photographs, sketches, laboratory reports, and other information that substantiates the offense or facilitates the understanding of the report. The USACRC control number must be recorded on every DA Form 3975 sent to the USACRC. A report will not be delayed for adjudication or commander’s action beyond 45 days. (2) One copy retained in the PM’s files. (3) One copy forwarded through the field grade commander to the immediate commander of each subject or organization involved in an offense. d. Changing reports for unfounded offenses. If an offense is determined to be unfounded, after the case has been forwarded to USACRC, the following actions will be completed: (1) A supplemental DA Form 3975, using the same MPR number and USACRC control number will be submitted stating the facts of the subsequent investigation and that the case is unfounded. (2) A copy of the supplemental DA Form 3975 will be provided to those agencies or activities that received a copy of the completed DA Form 3975 at the time of submission to USACRC and to the commander for action. 4–3. Identifying criminal incidents and subjects of investigation a. An incident will not be reported as a founded offense unless adequately substantiated by police investigation. A person or entity will be reported as the subject of an offense on DA Form 3975 when credible information exists that the person or entity will have committed a criminal offense. The decision to title a person is an operational rather than a legal determination. The act of titling and indexing does not, in and of itself, connote any degree of guilt or innocence; but rather, ensures that information in a report of investigation can be retrieved at some future time for law enforcement and security purposes. Judicial or adverse administrative actions will not be based solely on the listing of an individual or legal entity as a subject on DA Form 3975. 24 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 33 of 149 b. A known subject will be reported to the USACRC when the suspected offense is punishable by confinement of six months or more. The COPS MPRS will be used to track all other known subjects. A subject can be a person, corporation, other legal entity, or organization about which credible information exists that would cause a trained law enforcement officer to presume that the person, corporation, other legal entity, or organization will have committed a criminal offense. c. When investigative activity identifies a subject, all facts of the case must be considered. When a person, corporation, or other legal entity is entered in the subject block of the DA Form 3975, their identity is recorded in DA automated systems and the DCII. Once entered into the DCII, the record can only be removed in cases of mistaken identity or if an error was made in applying the credible information standard at the time of listing the entity as a subject of the report. It is emphasized that the credible information error must occur at the time of listing the entity as the subject of the MPR rather than subsequent investigation determining that the MPR is unfounded. This policy is consistent with DOD reporting requirements. The Director, USACRC enters individuals from DA Form 3975 into the DCII. 4–4. Offense codes a. The offense code describes, as nearly as possible, the complaint or offense by using an alphanumeric code. Table 4–1, below, lists the offense codes that are authorized for use within the Army. This list will be amended from time to time based on new reporting requirements mandated by legislation or administrative procedures. The IMCOM, ACOM, ASCC, and DRU commanders and installation PMs/DESs will be notified by special letters of instruction issued in numerical order from the PMG (DAPM–MPD–LE) when additions or deletions are made to list. The COPS MPRS module will be used for all reporting requirements. b. The IMCOM, ACOM, ASCC, DRU, and installations will establish local offense codes in category 2 (command and installation codes) for any offense not otherwise reportable. Locally established offense codes will not duplicate, or be used as a substitute for any offense for which a code is contained for other reportable incidents. Category 2 incidents are not reported to the Director, USACRC or the DOJ. If an offense occurs meeting the reporting description contained in table 4–1, below, that offense code takes precedence over the local offense code. Local offense codes will be included, but explained, in the narrative of the report filed with the USACRC. Use the most descriptive offense code to report offenses. c. Whenever local policy requires the PM/DES to list the subject’s previous offenses on DA Form 3975, entries will reflect a summary of disposition for each offense, if known. Table 4–1 Offense code list Offense code Primary description Article 5 CRIMES AGAINST PERSON(S) 5A ADULTERY, UNLAWFUL FORNICATION AND UNLAW- FUL COHABITATION 5A1 ADULTERY 134 5A2 UNLAWFUL FORNICATION 134 5A3 UNLAWFUL COHABITATION 134 5A4 FRATERNIZATION 134 5A5 PANDERING 134 5A6 PROSTITUTION 134 5B BIGAMY 134 5B1 BIGAMY INVOLVING MULTIPLE HUSBANDS 134 5B2 BIGAMY INVOLVING MULTIPLE WIVES 134 5C ASSAULTS (OTHER THAN SEXUAL) 5C1 AGGRAVATED ASSAULT 5C1A AGGRAVATED ASSAULT USING HANDGUN 128 5C1A1 AGGRAVATED ASSAULT USING CROSSBOW PISTOL 128 5C1B AGGRAVATED ASSAULT USING A SHOULDER WEAPON 128 5C1C AGGRAVATED ASSAULT BY CUTTING OR STABBING 128 25AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 34 of 149 Table 4–1 Offense code list—Continued Offense code Primary description Article 5C1D AGGRAVATED ASSAULT USING CLUB OR BLUDGEON 128 5C1E AGGRAVATED ASSAULT USING GLASS BOTTLES, AND SO ON. 128 5C1F AGGRAVATED ASSAULT USING METAL TOOLS, TIRE IRONS, AND SO ON 128 5C1G AGGRAVATED ASSAULT USING CHAINS 128 5C1H AGGRAVATED ASSAULT USING BRASS KNUCKLES, BLACKJACKS, AND SO ON 128 5C1J AGGRAVATED ASSAULT BY KICKING 128 5C1K AGGRAVATED ASSAULT WITH A BOXER’S FIST 128 5C1L AGGRAVATED ASSAULT MULTIPLE INDIVIDUALS STRIKING VICTIM 128 5C1M AGGRAVATED ASSAULT BY USE OF EXPLOSIVE DE- VICES 128 5C1N AGGRAVATED ASSAULT WITH GRIEVOUS BODILY HARM 128 5C1P AGGRAVATED ASSAULT WITH A VEHICLE 128 5C2 SIMPLE ASSAULT 5C2A SIMPLE ASSAULT BY THREATS 128 5C2B SIMPLE ASSAULT CONSUMMATED BY A BATTERY 128 5C2C ASSAULT ON A CHILD UNDER THE AGE OF 16 128 5C3 SPECIAL ASSAULTS 5C3A SIMPLE ASSAULT ON COMMISSIONED OFFICER 128 5C3B SIMPLE ASSAULT ON WARRANT OFFICER 128 5C3D SIMPLE ASSAULT ON OTHER NCO/PO 128 5C3E SIMPLE ASSAULT ON MILITARY OR CIVILIAN LAW EN- FORCER 128 5C4 MILITARY ASSAULTS 5C4A MILITARY ASSAULT ON OFFICER EXECUTING DUTY 90 5C4B MILITARY ASSAULT IN TIME OF WAR 90 5C4C MILITARY ASSAULT ON WARRANT OFFICER 91 5C4D MILITARY ASSAULT ON SUPERIOR NCO/PO 91 5C4E MILITARY ASSAULT ON OTHER NCO/PO 91 5C5 MAIMING 124 5D1 CHILD NEGLECT 5D2 CHILD MALTREATMENT OR MISTREATMENT 134 5D3 VIOLATION OF A PROTECTIVE ORDER 5D3A VIOLATION OF A MILITARY PROTECTIVE ORDER 5D3B VIOLATION OF A CIVILIAN PROTECTIVE ORDER 5D6 SPOUSE ABUSE 5D6A SPOUSE ABUSE CIVILIAN FEMALE VICTIM 134 5D6B SPOUSE ABUSE MILITARY FEMALE VICTIM 134 5D6C SPOUSE ABUSE CIVILIAN MALE VICTIM 134 5D6D SPOUSE ABUSE MILITARY MALE VICTIM 134 5D7 FAMILY MEMBER ABUSE 26 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 35 of 149 Table 4–1 Offense code list—Continued Offense code Primary description Article 5D7A FAMILY MEMBER ABUSE CHILDREN 5D7A1 CHILD ABUSE DAUGHTER 134 5D7A2 CHILD ABUSE STEP–DAUGHTER 134 5D7A3 CHILD ABUSE SON 134 5D7A4 CHILD ABUSE STEP–SON 134 5D7B FAMILY MEMBER ABUSE GRAND CHILDREN 5D7B1 CHILD ABUSE GRANDDAUGHTER 134 5D7B2 CHILD ABUSE GRANDSON 134 5D7C FAMILY ABUSE PARENTS 134 5D7D FAMILY ABUSE GRANDPARENTS 134 5D9 OTHER FAMILY ABUSE 5E CIVIL RIGHTS 5F EXTORTION 127 5F1 EXTORTION BY BLACKMAIL 127 5F2 EXTORTION BY COERCION 127 5G FORGERY 5G1 FORGERY OF NEGOTIABLE INSTRUMENTS 5G1A FORGERY OF A PERSONAL CHECK 123 5G1B FORGERY OF GOVT CHECK (EXCLUDING PROCURE- MENT, PROPERTY DISPOSAL, AND COMMISSARY CHECKS) 123 5G1C FORGERY OF COMMERCIAL CHECK 123 5G1D FORGERY OF NAF CHECK 123 5G1E FORGERY OF CASHIER’S CHECK 123 5G1F FORGERY OF TRAVELER’S CHECK 123 5G1G FORGERY OF MONEY ORDER 123 5G1H FORGERY OF SAVINGS BOND 123 5G1J FORGERY OF A SECURITY 123 5G1K FORGERY OF WITHDRAWAL FORMS 123 5G1L FORGERY OF GOVT PROCUREMENT CHECK 123 5G1M FORGERY OF GOVT PROPERTY DISPOSAL CHECK 123 5G1N FORGERY OF GOVT COMMISSARY CHECK 123 5G2 FORGERY OF DOCUMENTS 123 5G2A FORGERY OF MILITARY IDENTIFICATION 123 5G2B FORGERY OF MILITARY ORDERS 123 5G2C FORGERY OF POST EXCHANGE RATION CARDS 123 5G2D FORGERY OF PROPERTY RECEIPTS/SALES INVOICES 123 5G2E FORGERY OF PROPERTY RECORDS 123 5G2F FORGERY OF TEST SCORE RESULTS 123 5G2G FORGERY OF CORRESPONDENCE 123 5G2H FORGERY OF LEAVE AND PASS DOCUMENTS 123 5G2J FORGERY OF FINANCE OR FISCAL DOCUMENTS (.0015 FUNDS, AND SO ON) 123 27AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 36 of 149 Table 4–1 Offense code list—Continued Offense code Primary description Article 5G2K FORGERY OF PAY & ALLOWANCE DOCUMENTS (EX- CLUDING CHECKS) 123 5G2L FORGERY OF COMMISSARY DOCUMENTS (EXCLUD- ING CHECKS) 5G2M FORGERY OF PROCUREMENT DOCUMENTS (EXCLUD- ING CHECKS) 123 5G2N FORGERY OF PROPERTY DISPOSAL DOCUMENTS (EXCLUDING CHECKS) 123 5G2X FORGERY OTHER FORGERIES (NOT 5G2A–5G2N) (EX- CLUDING CHECKS) 123 5G3 CHECK, WORTHLESS, MAKING AND UTTERING - - BY DISHONORABLY FAILING TO MAINTAIN FUNDS 134 5H HOMICIDE 5H1 MURDER 5H1A MURDER BY SHOOTING 118 5H1B MURDER BY CUTTING, STABBING OR MUTILATION 118 5H1C MURDER BY STRANGULATION 118 5H1D MURDER BY BLUDGEONING 118 5H1E MURDER BY HANGING 118 5H1F MURDER BY POISONING 118 5H1G MURDER BY GRENADES 118 5H1H MURDER INVOLVING EXPLOSIVES (EXCLUDING GRE- NADES) 118 5H1J MURDER INVOLVING NARCOTICS OR DANGEROUS DRUGS 5H1K MURDER INVOLVING ARSON 118 5H1L MURDER BY DROWNING 118 5H1M MURDER BY SUFFOCATION OR ASPHYXIATION 118 5H1N MURDER BY TRAFFIC 118 5H1P MURDER BY OTHER MEANS 118 5H2 VOLUNTARY MANSLAUGHTER 5H2A VOLUNTARY MANSLAUGHTER BY SHOOTING 119 5H2B VOLUNTARY MANSLAUGHTER BY CUTTING, STAB- BING, OR MUTILATION 119 5H2C VOLUNTARY MANSLAUGHTER BY STRANGULATION 119 5H2D VOLUNTARY MANSLAUGHTER BY BLUDGEONING 119 5H2E VOLUNTARY MANSLAUGHTER BY HANGING 119 5H2F VOLUNTARY MANSLAUGHTER BY POISONING 119 5H2G VOLUNTARY MANSLAUGHTER BY GRENADES 119 5H2H VOLUNTARY MANSLAUGHTER BY EXPLOSIVES (EX- CLUDING GRENADES) 119 5H2J VOLUNTARY MANSLAUGHTER INVOLVING NARCOTICS & DANGEROUS DRUGS 119 5H2K VOLUNTARY MANSLAUGHTER BY ARSON 119 5H2L VOLUNTARY MANSLAUGHTER BY DROWNING 119 5H2M VOLUNTARY MANSLAUGHTER BY SUFFOCATION OR ASPHYXIATION 119 28 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 37 of 149 Table 4–1 Offense code list—Continued Offense code Primary description Article 5H2N VOLUNTARY MANSLAUGHTER BY TRAFFIC 119 5H2P VOLUNTARY MANSLAUGHTER BY OTHER MEANS 119 5H2Q VOLUNTARY MANSLAUGHTER BY LETHAL INJECTION 119 5H3 INVOLUNTARY MANSLAUGHTER 5H3A INVOLUNTARY MANSLAUGHTER BY SHOOTING 119 5H3B INVOLUNTARY MANSLAUGHTER BY CUTTING OR STABBING 119 5H3C INVOLUNTARY MANSLAUGHTER BY STRANGULATION 119 5H3D INVOLUNTARY MANSLAUGHTER BY BLUDGEONING 119 5H3E INVOLUNTARY MANSLAUGHTER BY HANGING 119 5H3F INVOLUNTARY MANSLAUGHTER BY POISONING 119 5H3G INVOLUNTARY MANSLAUGHTER BY GRENADES 119 5H3H INVOLUNTARY MANSLAUGHTER BY EXPLOSIVES (EX- CLUDING GRENADES) 119 5H3J INVOLUNTARY MANSLAUGHTER BY NARCOTICS OR DANGEROUS DRUGS 119 5H3K INVOLUNTARY MANSLAUGHTER INVOLVING ARSON 119 5H3L INVOLUNTARY MANSLAUGHTER BY DROWNING 119 5H3M INVOLUNTARY MANSLAUGHTER BY SUFFOCATION OR ASPHYXIATION 119 5H3N INVOLUNTARY MANSLAUGHTER BY TRAFFIC 119 5H3P INVOLUNTARY MANSLAUGHTER BY OTHER MEANS 119 5H3Q ASSAULT WITH INTENT TO MANSLAUGHTER 134 5H4 NEGLIGENT HOMICIDE 5H4A NEGLIGENT HOMICIDE BY SHOOTING 134 5H4B NEGLIGENT HOMICIDE BY CUTTING OR STABBING 134 5H4C NEGLIGENT HOMICIDE BY POISONING 134 5H4D NEGLIGENT HOMICIDE BY GRENADES 134 5H4E NEGLIGENT HOMICIDE BY EXPLOSIVES (EXCLUDING GRENADES) 134 5H4F NEGLIGENT HOMICIDE BY NARCOTICS OR DAN- GEROUS DRUGS 134 5H4G NEGLIGENT HOMICIDE INVOLVING ARSON 134 5H4H NEGLIGENT HOMICIDE INVOLVING DROWNING 134 5H4J NEGLIGENT HOMICIDE BY SUFFOCATION OR ASPHYX- IATION 134 5H5 NEGLIGENT HOMICIDE (TRAFFIC) 5H6 OTHER HOMICIDE (JUSTIFIABLE, EXCUSABLE) 5H7 ATTEMPTED MURDER/ASSAULT WITH INTENT TO MURDER 134 5H8 ACCIDENTAL DEATH (OTHER THAN TRAFFIC) 5H9 OTHER DEATHS 5H9A NATURAL DEATH 5H9B UNDETERMINED MANNER OF DEATH 5H9C MOBILIZATION/DEPLOYMENT DEATH 29AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 38 of 149 Table 4–1 Offense code list—Continued Offense code Primary description Article 5H9C1 MOBILIZATION/DEPLOYMENT DEATH BY HOSTILE FORCES 5H9C2 MOBILIZATION/DEPLOYMENT DEATH BY FRIENDLY FORCES 5H9D SUDDEN INFANT DEATH SYNDROME (SIDS) 5HP MURDER BY OTHER MEANS 118 5J1A IMPERSONATING A U.S. ARMY OFFICER 134 5J1B IMPERSONATING A U.S. NAVAL OFFICER 134 5J1C IMPERSONATING A U.S. AIR FORCE OFFICER 134 5J1D IMPERSONATING A U.S. MARINE CORPS OFFICER 134 5J1E IMPERSONATING A U.S. COAST GUARD OFFICER 134 5J1F IMPERSONATING A FOREIGN OFFICER 134 5J2 IMPERSONATING AN NCO 5J2A IMPERSONATING A U.S. NCO/PO 134 5J2B IMPERSONATING A FOREIGN NCO/PO 134 5J3 IMPERSONATING AN AGENT 5J3A IMPERSONATING A CIVILIAN CRIMINAL INVESTIGATOR 134 5J3B IMPERSONATING A MILITARY CRIMINAL INVESTIGA- TOR 134 5J3C IMPERSONATING A CIVILIAN INTELLIGENCE INVESTI- GATOR 134 5J3D IMPERSONATING A MILITARY INTELLIGENCE INVESTI- GATOR 134 5J3E IMPERSONATING A FOREIGN CRIMINAL INVESTIGA- TOR 134 5J3F IMPERSONATING A FOREIGN INTELLIGENCE AGENT 134 5J3G IMPERSONATING A CIVILIAN POLICE OFFICER 134 5J3H IMPERSONATING AN AGENT A MEMBER OF THE MILI- TARY POLICE 134 5J4 UNAUTHORIZED WEAR OF MILITARY UNIFORM, INSIG- NIA, AND SO ON 5J4A UNAUTHORIZED WEAR OF MIL UNIFORM, AND SO ON.TO IMPERSONATE A SOLDIER 134 5J4B UNAUTHORIZED WEAR OF MIL UNIFORM, AND SO ON TO COMMIT FRAUD 134 5J4C UNAUTHORIZED WEAR OF MIL UNIFORM, AND SO ON FOR CONFIDENCE GAMES 134 5J4D UNAUTHORIZED WEAR OF MIL UNIFORM, AND SO ON TO GAIN UNLAWFUL ENTRY 134 5J4E UNAUTHORIZED WEAR OF MIL UNIFORM, AND SO ON FELONY (OTHER THAN 5J4A–5J4D) 134 5J4F UNAUTHORIZED WEARING OF UNAUTHORIZED INSIG- NIA 139 5K KIDNAPPING 5K1 KIDNAPPING (RANSOM) 134 5K2 KIDNAPPING (HOSTAGE) 134 5K3 KIDNAPPING (OTHER) 134 5L CONTROLLED SUBSTANCE VIOLATIONS (21 USC 841) 30 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 39 of 149 Table 4–1 Offense code list—Continued Offense code Primary description Article 5L1 OPIATES 5L1A SMUGGLING OF OPIATES 112a 5L1B DISTRIBUTION OF OPIATES 112a 5L1C POSSESSIONS OF OPIATES 112a 5L1D USE OF OPIATES 5L1D1 DETERMINED BY URINALYSIS TEST 112a 5L1D2 DETERMINED BY OTHER THAN URINALYSIS TEST 112a 5L1E GROWING OR MANUFACTURING OPIATES 112a 5L1F MANUFACTURE WITH INTENT TO DISTRIBUTE OPI- ATES 112a 5L1G INTRODUCTION OF OPIATES 112a 5L1H INTRODUCTION WITH INTENT TO DISTRIBUTE OPI- ATES 112a 5L2 MARIJUANA 5L2A SMUGGLING OF MARIJUANA 112a 5L2B DISTRIBUTION OF MARIJUANA 112a 5L2C POSSESSION OF MARIJUANA 112a 5L2D USE OF MARIJUANA 5L2D1 USE OF MARIJUANA DETERMINED BY URINALYSIS TEST 112a 5L2D2 USE OF MARIJUANA DETERMINED BY OTHER THAN URINALYSIS TEST 112a 5L2E USE OF MARIJUANA GROWING OR MANUFACTURING OF MARIJUANA 112a 5L2F USE OF MARIJUANA POSSESSION OF MARIJUANA WITH INTENT TO DISTRIBUTE 112a 5L2G INTRODUCTION OF MARIJUANA 112a 5L3 DANGEROUS DRUGS (AMPHETAMINES/BARBITU- RATES/PCP/AND SO ON) 5L3A SMUGGLING OF DANGEROUS DRUGS 112a 5L3B DISTRIBUTION OF DANGEROUS DRUGS 112a 5L3C POSSESSION OF DANGEROUS DRUGS 112a 5L3D USE OF DANGEROUS DRUGS 5L3D1 USE OF DANGEROUS DRUGS DETERMINED BY URI- NALYSIS TEST 112a 5L3D2 USE OF DANGEROUS DRUGS DETERMINED BY OTHER THAN URINALYSIS TEST 112a 5L3E MANUFACTURING OF DANGEROUS DRUGS 112a 5L3F MANUFACTURE WITH INTENT TO DISTRIBUTE DAN- GEROUS DRUGS 112a 5L3G INTRODUCTION OF DANGEROUS DRUGS 112a 5L3H INTRODUCTION WITH INTENT TO DISTRIBUTE DAN- GEROUS DRUGS 112a 5L4 HALLUCINOGENS (LSD, PEYOTE, MESCALINE, AND SO ON) 112a 5L4A SMUGGLING OF HALLUCINOGENS 112a 5L4B DISTRIBUTION OF HALLUCINOGENS 112a 31AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 40 of 149 Table 4–1 Offense code list—Continued Offense code Primary description Article 5L4C POSSESSION OF HALLUCINOGENS 112a 5L4D USE OF HALLUCINOGENS 5L4D1 USE OF HALLUCINOGENS DETERMINED BY URINALY- SIS TEST 112a 5L4D2 USE OF HALLUCINOGENS DETERMINED BY OTHER THAN URINALYSIS TEST 112a 5L4E GROWING & MANUFACTURING OF HALLUCINOGENS 112a 5L4F MANUFACTURE WITH INTENT TO DISTRIBUTE HALLU- CINOGENS 112a 5L4G INTRODUCTION OF HALLUCINOGENS 112a 5L4H INTRODUCTION WITH INTENT TO DISTRIBUTE HALLU- CINOGENS 112a 5L5 OTHER (SCHEDULE IV OR V) 5L5A SMUGGLING OF OTHER CONTROLLED SUBSTANCE 112a 5L5B DISTRIBUTION OF OTHER CONTROLLED SUBSTANCE 112a 5L5C POSSESSION OF OTHER CONTROLLED SUBSTANCE 112a 5L5D USE OF OTHER CONTROLLED SUBSTANCE 5L5D1 USE OF OTHER CONTROLLED SUBSTANCE DETER- MINED BY URINALYSIS TEST 112a 5L5D2 USE OF OTHER CONTROLLED SUBSTANCE DETER- MINED BY OTHER THAN URINALYSIS TEST 112a 5L5E GROWING/MANUFACTURING OTHER CONTROLLED SUBSTANCE 112a 5L5F MANUFACTURE WITH INTENT TO DISTRIBUTE OTHER CONTROLLED SUBSTANCE 112a 5L5G INTRODUCTION OF OTHER CONTROLLED SUB- STANCES 112a 5L5H INTRODUCTION WITH INTENT TO DISTRIBUTE OTHER CONTROLLED SUBSTANCE 112a 5L6 COCAINE 5L6A SMUGGLING OF COCAINE 112a 5L6B DISTRIBUTION OF COCAINE 112a 5L6C POSSESSION OF COCAINE 112a 5L6D USE OF COCAINE 5L6D1 USE OF COCAINE DETERMINED BY URINALYSIS TEST 112a 5L6D2 USE OF COCAINE DETERMINED BY OTHER THAN URI- NALYSIS TEST 112a 5L6E GROWING OR MANUFACTURING OF COCAINE 112a 5L6F MANUFACTURE WITH INTENT TO DISTRIBUTE CO- CAINE 112a 5L6G INTRODUCTION OF COCAINE 112a 5L6H INTRODUCTION WITH INTENT TO DISTRIBUTE CO- CAINE 112a 5M PERJURY, FALSE SWEARING, FALSE OFFICIAL STATE- MENT 5M1 PERJURY 5M1A PERJURY GIVING FALSE TESTIMONY 107 5M1B PERJURY SUBSCRIBING FALSE STATEMENT 107 32 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 41 of 149 Table 4–1 Offense code list—Continued Offense code Primary description Article 5M1C PERJURY SUBORNATION OF 107 5M2 FALSE SWEARING 5M3 FALSE OFFICIAL STATEMENT 5M3A FALSE OFFICIAL STATEMENT NOT SUBMITTED TO FI- NANCE, PERSONNEL, COMMISSARY, PROCUREMENT, AAFES, PDO, OR NAF INSTRUMENTALITY 107 5M3B FALSE OFFICIAL STATEMENT SUBMITTED TO A FI- NANCE ACTIVITY 107 5M3C FALSE OFFICIAL STATEMENT SUBMITTED TO A PER- SONNEL ACTIVITY 107 5M3D FALSE OFFICIAL STATEMENT SUBMITTED TO A COM- MISSARY ACTIVITY 107 5M3E FALSE OFFICIAL STATEMENT SUBMITTED TO PRO- CUREMENT ACTIVITY 5M3E1 FALSE OFFICIAL STATEMENT REGARDING PROGRESS PAYMENTS 107 5M3E2 FALSE OFFICIAL STATEMENT REGARDING FAST PAY PROCEDURES 107 5M3E3 FALSE OFFICIAL STATEMENT REGARDING REQUEST FOR PROPOSAL OR INVITATION FOR BID 107 5M3E4 FALSE OFFICIAL STATEMENT REGARDING COST AND PRICE DATA 107 5M3E5 FALSE OFFICIAL STATEMENT REGARDING CONTRACT NEGOTIATIONS 107 5M3E6 FALSE OFFICIAL STATEMENT REGARDING DEFECTIVE MATERIALS 107 5M3E7 FALSE OFFICIAL STATEMENT RELEASE OF PROPRIE- TARY INFORMATION 107 5M3F FALSE OFFICIAL STATEMENT SUBMITTED TO AN AAFES ACTIVITY 107 5M3G FALSE OFFICIAL STATEMENT SUBMITTED TO A NAF INSTRUMENTALITY 107 5M3H FALSE OFFICIAL STATEMENT TO PROPERTY DIS- POSAL ACTIVITY 107 5M3J FALSE OFFICIAL STATEMENT INVOLVING WORKER’S COMPENSATION CLAIMS 107 5M3K FALSE OFFICIAL STATEMENT REGARDING CHAMPUS CLAIMS 107 5M4 FALSE CLAIMS (18 USC) 5M4A FALSE CLAIM NOT SUBMITTED TO FINANCE, PERSON- NEL, COMMISSARY, PROCUREMENT, AAFES, PROP- ERTY DISPOSAL, OR NAF INSTRUMENTALITY 132 5M4B FALSE CLAIM SUBMITTED TO A FINANCE ACTIVITY 132 5M4C FALSE CLAIM SUBMITTED TO A PERSONNEL ACTIVITY 132 5M4D FALSE CLAIM SUBMITTED TO A COMMISSARY ACTIV- ITY 132 5M4E FALSE CLAIM SUBMITTED TO A PROCUREMENT AC- TIVITY 132 5M4E1 FALSE CLAIM REGARDING PROGRESS PAYMENTS 132 5M4E2 FALSE CLAIM REGARDING FAST PAY PROCEDURES 132 5M4E3 FALSE CLAIM REGARDING COST AND PRICE DATA 132 33AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 42 of 149 Table 4–1 Offense code list—Continued Offense code Primary description Article 5M4F FALSE CLAIM SUBMITTED TO AN AAFES ACTIVITY 132 5M4G FALSE CLAIM SUBMITTED TO AN NAF INSTRUMENTAL- ITY 132 5M4H FALSE CLAIM SUBMITTED TO A PROPERTY DISPOSAL ACTIVITY 132 5M4J FALSE CLAIM REGARDING WORKER’S COMPENSA- TION 132 5N ROBBERY 5N1 ASSAULT WITH INTENT TO COMMIT ROBBERY/AT- TEMPTED ROBBERY 134 5N2 ROBBERY OF AN INDIVIDUAL 5N2A1 ROBBERY BY AN INDIVIDUAL WITH A HANDGUN 122 5N2A2 ROBBERY BY MORE THAN ONE INDIVIDUAL WITH A HANDGUN 122 5N2B1 ROBBERY BY AN INDIVIDUAL WITH A SHOULDER WEAPON 122 5N2B2 ROBBERY BY MORE THAN ONE INDIVIDUAL WITH A SHOULDER WEAPON 122 5N2C1 ROBBERY BY AN INDIVIDUAL WITH A KNIFE 122 5N2C2 ROBBERY BY MORE THAN ONE INDIVIDUAL USING KNIFE(S) 122 5N2D1 ROBBERY BY AN INDIVIDUAL USING STRONG–ARM METHODS 122 5N2D2 ROBBERY BY MORE THAN ONE INDIVIDUAL USING STRONG–ARM METHODS 122 5N2E1 ROBBERY BY AN INDIVIDUAL USING OTHER METHODS 122 5N2E2 ROBBERY BY MORE THAN ONE INDIVIDUAL USING OTHER METHODS 122 5N3 ROBBERY OF BUSINESS (BANK, STORE, AND SO ON) 5N3A1 ROBBERY OF A BUSINESS BY AN INDIVIDUAL WITH A HANDGUN 122 5N3A2 ROBBERY OF A BUSINESS BY MORE THAN ONE INDI- VIDUAL WITH A HANDGUN 122 5N3B1 ROBBERY OF A BUSINESS BY AN INDIVIDUAL WITH A SHOULDER WEAPON 122 5N3B2 ROBBERY OF A BUSINESS BY MORE THAN ONE INDI- VIDUAL WITH A SHOULDER WEAPON 122 5N3C1 ROBBERY OF A BUSINESS BY AN INDIVIDUAL WITH A KNIFE 122 5N3C2 ROBBERY OF A BUSINESS BY MORE THAN ONE INDI- VIDUAL USING KNIFE(S) 122 5N3D1 ROBBERY OF A BUSINESS BY AN INDIVIDUAL USING STRONG–ARM METHODS 122 5N3D2 ROBBERY OF A BUSINESS BY MORE THAN ONE INDI- VIDUAL USING STRONG–ARM METHODS 122 5N3E1 ROBBERY OF A BUSINESS BY AN INDIVIDUAL USING OTHER METHODS 122 5N3E2 ROBBERY OF A BUSINESS BY MORE THAN ONE INDI- VIDUAL USING OTHER METHODS 122 5P SUICIDE 5P1 SUICIDE - ATTEMPTED 34 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 43 of 149 Table 4–1 Offense code list—Continued Offense code Primary description Article 5P2 SUICIDE - SUCCESSFUL 5P2A SUICIDE OF A FAMILY MEMBER (UNDER 18) 5P2A1 SUICIDE OF A MINOR FAMILY MEMBER BY SHOOTING 5P2A2 SUICIDE OF A MINOR FAMILY MEMBER BY HANGING 5P2A3 SUICIDE OF A MINOR FAMILY MEMBER BY DROWNING 5P2A4 SUICIDE OF A MINOR FAMILY MEMBER BY POISONING (INCLUDING CARBON MONOXIDE AND DRUGS) 5P2A5 SUICIDE OF A MINOR FAMILY MEMBER BY CUTTING, STABBING, OR MUTILATION 5P2A6 SUICIDE OF A MINOR FAMILY MEMBER BY OTHER MEANS 5P2B SUICIDE OF AN ADULT FAMILY MEMBER (18 AND OVER) 5P2B1 SUICIDE OF AN ADULT FAMILY MEMBER BY SHOOT- ING 5P2B2 SUICIDE OF AN ADULT FAMILY MEMBER BY HANGING 5P2B3 SUICIDE OF AN ADULT FAMILY MEMBER BY DROWN- ING 5P2B4 SUICIDE OF AN ADULT FAMILY MEMBER BY POISON- ING (INCLUDING CARBON MONOXIDE AND DRUGS) 5P2B5 SUICIDE OF AN ADULT FAMILY MEMBER BY CUTTING, STABBING, OR MUTILATION 5P2B6 SUICIDE OF AN ADULT FAMILY MEMBER BY OTHER MEANS 5P2C SUICIDE OF AN ENLISTED SOLDIER 5P2C1 SUICIDE OF AN ENLISTED SOLDIER BY SHOOTING 5P2C2 SUICIDE OF AN ENLISTED SOLDIER BY HANGING 5P2C3 SUICIDE OF AN ENLISTED SOLDIER BY DROWNING 5P2C4 SUICIDE OF AN ENLISTED SOLDIER BY POISONING (INCLUDING CARBON MONOXIDE AND DRUGS) 5P2C5 SUICIDE OF AN ENLISTED SOLDIER BY CUTTING, STABBING, OR MUTILATION 5P2C6 SUICIDE OF AN ENLISTED SOLDIER BY OTHER MEANS 5P2D SUICIDE OF AN OFFICER 5P2D1 SUICIDE OF AN OFFICER BY SHOOTING 5P2D2 SUICIDE OF AN OFFICER BY HANGING 5P2D3 SUICIDE OF AN OFFICER BY DROWNING 5P2D4 SUICIDE OF AN OFFICER BY POISONING (INCLUDING CARBON MONOXIDE AND DRUGS) 5P2D5 SUICIDE OF AN OFFICER BY CUTTING, STABBING, OR MUTILATION 5P2D6 SUICIDE OF AN OFFICER BY OTHER MEANS 5P2E SUICIDE OF OTHER PERSONNEL 5P2E1 SUICIDE OF OTHER PERSONNEL BY SHOOTING 5P2E2 SUICIDE OF OTHER PERSONNEL BY HANGING 5P2E3 SUICIDE OF OTHER PERSONNEL BY DROWNING 5P2E4 SUICIDE OF OTHER PERSONNEL BY POISONING (IN- CLUDING CARBON MONOXIDE AND DRUGS) 35AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 44 of 149 Table 4–1 Offense code list—Continued Offense code Primary description Article 5P2E5 SUICIDE OF OTHER PERSONNEL BY CUTTING, STAB- BING, OR MUTILATION 5P2E6 SUICIDE OF OTHER PERSONNEL BY OTHER MEANS 5P3 SUICIDE GESTURE 5Q TRAFFIC 5Q1 TRAFFIC FATALITY 5Q2 DRUNKEN DRIVING 111 5Q3 FLEEING THE SCENE OF A TRAFFIC ACCIDENT 134 5Q4 TRAFFIC ACCIDENT–INJURY/DESTRUCTION OF PROP- ERTY 5Q4A TRAFFIC ACCIDENT RESULTING IN PERSONAL INJURY 134 5Q4B TRAFFIC ACCIDENT RESULTING IN DAMAGE TO PROPERTY 5Q4B1 TRAFFIC ACCIDENT WITH DAMAGE TO GOVERNMENT PROPERTY 134 5Q4B2 TRAFFIC ACCIDENT WITH DAMAGE TO PRIVATE PROPERTY 134 5Q5 TRAFFIC VIOLATIONS, OTHER 5Q5A CARELESS OR RECKLESS DRIVING 111 5Q6 TRAFFIC ACCIDENT WITHOUT INJURY/DAMAGE TO PROPERTY 134 5Q9 ALCOHOL/DRUG RELATED TRAFFIC OFFENSES 134 5R WEAPONS VIOLATIONS 5R1 CONCEALED WEAPONS 5R1A CARRYING A CONCEALED PISTOL/REVOLVER 134 5R1B CARRYING CONCEALED KNIFE, RAZOR, CUTTING IN- STRUMENT 134 5R1C CARRYING A CONCEALED BLACKJACK 134 5R1D CARRYING A CONCEALED SHOTGUN 134 5R1E CARRYING A CONCEALED RIFLE 134 5R1F CARRYING A CONCEALED SUBMACHINE GUN 134 5R2 UNLAWFUL POSSESSION OF WEAPONS 5R2A UNLAWFUL POSSESSION OF A PISTOL/REVOLVER 134 5R2B UNLAWFUL POSSESSION OF KNIFE, RAZOR, CUTTING INSTRUMENT 134 5R2C UNLAWFUL POSSESSION OF A BLACKJACK 134 5R2D UNLAWFUL POSSESSION OF A SHOTGUN 134 5R2E UNLAWFUL POSSESSION OF A RIFLE 134 5R2F UNLAWFUL POSSESSION OF A SUBMACHINE GUN 134 5R2G WRONGFUL POSSESSION OF EXPLOSIVES & EXPLO- SIVE DEVICES 134 5R3 WEAPONS VIOLATIONS, OTHER WEAPON MATTERS 134 5R4 DISCHARGE FIREARM 5R4A DISCHARGE FIREARM, NEGLECT 134 5R4B DISCHARGE FIREARM, WILLFUL 134 5S ESCAPE 36 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 45 of 149 Table 4–1 Offense code list—Continued Offense code Primary description Article 5S1 ESCAPE FROM CONFINEMENT 5S1A ESCAPE FROM PRETRIAL CONFINEMENT 95 5S1B ESCAPE FROM POST–TRIAL CONFINEMENT 95 5S1C RELEASE PRISONER WITHOUT AUTHORITY 96 5S1D ALLOW ESCAPE FROM CONFINEMENT BY NEGLECT 96 5S1E ALLOW ESCAPE FROM CONFINEMENT BY DESIGN 96 5S1F ALLOWING PRISONER TO DO UNAUTHORIZED ACT 134 5S2 ESCAPE FROM CUSTODY 5S2A ESCAPE FROM CUSTODY 95 5S2B ESCAPE FROM CORRECTIONAL CUSTODY 134 5S2C BREACH OF CORRECTIONAL CUSTODY 134 5S3 RESISTING APPREHENSION (MILITARY) 95 5S4 RESISTING ARREST (CIVIL) 5S5 BREAK ARREST 95 5S6 BREAK QUARANTINE 134 5S7 RESTRICTION BREAKING 134 5S8 UNLAWFUL DETENTION 97 5S9 PAROLE VIOLATION 134 5T COMMUNICATIONS INCIDENTS 5T1 COMMUNICATING A THREAT (OTHER THAN TELE- PHONE) 134 5T2 COMMUNICATING A THREAT BY TELEPHONE 134 5T3 BOMB THREATS (ALL TYPES) 134 5U HARASSING COMMUNICATION 5U1 HARASSING COMMUNICATION (BY OTHER THAN TEL- EPHONE) 134 5U2 HARASSING COMMUNICATION BY TELEPHONE 134 5V MALINGERING 5V1 MALINGER DURING TIME OF WAR 115 5V2 MALINGER OTHER THAN TIME OF WAR 115 5V3 INJURE SELF DURING TIME OF WAR 115 5V4 INJURE SELF OTHER THAN TIME OF WAR 115 5V5 SELF–INJURY WITHOUT INTENT TO AVOID SERVICE 134 5W UNAUTHORIZED ABSENCES 5W1 DESERTION 5W1A DESERTION SURRENDERED TO MILITARY/CIVILIAN AUTHORITIES 85 5W1B DESERTION APPREHENDED BY MILITARY AUTHORI- TIES 85 5W1C DESERTION APPREHENDED BY CIVILIAN AUTHORI- TIES 85 5W1D DESERTION TO AVOID HAZARDOUS DUTY 85 5W1E DESERTION DURING TIME OF WAR 85 5W2 AWOL 37AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 46 of 149 Table 4–1 Offense code list—Continued Offense code Primary description Article 5W2A AWOL SURRENDERED TO MILITARY/CIVILIAN AU- THORITIES 86 5W2B AWOL APPREHENDED BY MILITARY AUTHORITIES 86 5W2C AWOL APPREHENDED BY CIVILIAN AUTHORITIES 86 5W2D AWOL FAILED TO GO TO PLACE OF DUTY 86 5W2E AWOL DEPARTED FROM PLACE OF DUTY 86 5W2F ABANDONING WATCH OR GUARD 5W2F1 AWOL, ABSENT FROM WATCH OR GUARD 86 5W2F2 AWOL, ABSENT FROM WATCH OR GUARD WITH IN- TENT TO ABANDON 86 5W2G AWOL, TO AVOID MANEUVERS 86 5W2H MISSING MOVEMENT 5W2H1 MISSING MOVEMENT BY DESIGN 87 5W2H2 MISSING MOVEMENT BY NEGLECT 87 5W3 JUMP VESSEL 134 5W4 STRAGGLING 134 5X OTHER OFFENSES AGAINST PERSONS 5X1 CONSPIRACY 81 5X2 SOLICITATION 82 5X2A SOLICITATION TO DESERT 82 5X2B SOLICITATION TO MUTINY 82 5X2C SOLICITATION TO MISBEHAVE BEFORE ENEMY 82 5X2D SOLICITATION TO SEDITION 82 5X3 SOLICITATION TO SEDITION, ACCESSORY BEFORE THE FACT 77 5X4 SOLICITATION TO SEDITION, ACCESSORY AFTER THE FACT 78 5X5 OBSTRUCTION OF JUSTICE 134 5X6 MISPRISION SERIOUS OFFENSE 134 5X7 REQUEST COMMISSION OF OFFENSE 134 5Y CONDUCT UNBECOMING A MEMBER OF THE MIL. SVC. 5Y1 CONDUCT UNBECOMING A MEMBER OF THE MIL. SERVICE DRUNK AND DISORDERLY 134 5Y1A CONDUCT UNBECOMING A MEMBER OF MILITARY SERVICE (DRUNK IN PUBLIC) 5Y1A1 CONDUCT UNBECOMING A MEMBER OF THE MIL SVC DRINKING UNDERAGE WITH PERMISSION 134 5Y1A2 CONDUCT UNBECOMING A MEMBER OF THE MIL SVC DRINKING UNDERAGE WITHOUT PERMISSION 134 5Y1B DRUNK ON DUTY 112 5Y1B1 DRUNK ON DUTY DRINKING UNDERAGE WITH PER- MISSION 112 5Y1B2 DRUNK ON DUTY DRINKING UNDERAGE WITHOUT PERMISSION 112 5Y1B3 DRUNK ON DUTY UNABLE TO PERFORM DUTIES 134 5Y1B4 DRUNK ON DUTY ABOARD SHIP 134 38 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 47 of 149 Table 4–1 Offense code list—Continued Offense code Primary description Article 5Y1B5 DRUNK ON DUTY OTHER CASE 134 5Y1B6 DRUNK/DISORDERLY ON SHIP 134 5Y1B7 DRUNK/DISORDERLY BRING DISCREDIT 134 5Y1B8 DRUNK/DISORDERLY OTHER 134 5Y1C PRISONER DRINKING 5Y1C1 DRINK LIQUOR WITH PRISONER 134 5Y1C2 DRUNK PRISONER 134 5Y1D DISORDERLY CONDUCT 5Y1D1 DISORDERLY CONDUCT BRING DISCREDIT 134 5Y1D2 DISORDERLY CONDUCT OTHER CASES 134 5Y2 MISCONDUCT (OTHER THAN DRUNK & DISORDERLY) 5Y2A CONTEMPT/DISRESPECT/DISOBEY 5Y2A1 CONTEMPT TOWARDS OFFICIAL 88 5Y2A2 DISRESPECT TOWARDS SUPERIOR 89 5Y2A3 DISRESPECT TO WARRANT OFFICER 91 5Y2A4 DISRESPECT TO SUPERIOR NCO/PO 91 5Y2A5 DISRESPECT TO OTHER NCO/PO 91 5Y2A6 DISOBEY A LAWFUL ORDER OF COMMANDING OFFI- CER 90 5Y2A7 DISOBEY IN TIME OF WAR 90 5Y2A8 DISOBEY WARRANT OFFICER 91 5Y2A9 DISOBEY NCO OR PO 91 5Y2B FAIL TO OBEY GENERAL ORDER 5Y2B0 FAIL TO OBEY GENERAL ORDER OTHER 92 5Y2B1 FAIL TO OBEY GENERAL ORDER APPEARANCE 92 5Y2B2 FAIL TO OBEY GENERAL ORDER BLACK MARKET 92 5Y2B3 FAIL TO OBEY GENERAL ORDER FRATERNIZATION 92 5Y2B4 FAIL TO OBEY GENERAL ORDER PARAPHERNALIA 92 5Y2B5 FAIL TO OBEY GENERAL ORDER SECURITY 92 5Y2B6 FAIL TO OBEY GENERAL ORDER SEXUAL HARASS- MENT 92 5Y2B7 FAIL TO OBEY GENERAL ORDER STANDARDS OF CONDUCT 92 5Y2B8 FAIL TO OBEY GENERAL ORDER TRAFFIC 92 5Y2B9 FAIL TO OBEY GENERAL ORDER WEAPONS 92 5Y2C FAIL TO OBEY OTHER ORDER 92 5Y2D DERELICT DUTIES 5Y2D1 DERELICT DUTIES - NEGLECT 92 5Y2D2 DERELICT DUTIES - WILLFUL 92 5Y2E CRUELTY OF SUBORDINATES 93 5Y2F DUELING 114 5Y2G CONDUCT UNBECOMING OFFICER 5Y2G1 CONDUCT UNBECOMING OFFICER COPY/CHEAT 133 39AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 48 of 149 Table 4–1 Offense code list—Continued Offense code Primary description Article 5Y2G2 CONDUCT UNBECOMING OFFICER DRUNK/DISOR- DERLY 133 5Y2G3 CONDUCT UNBECOMING OFFICER FRATERNIZATION 133 5Y2G4 CONDUCT UNBECOMING OFFICER OTHER 133 5Y2H ABUSING AN ANIMAL 134 5Y2J PROCEDURAL RULES 5Y2J1 DELAY DISPOSITION OF CASE 98 5Y2J2 FAIL TO ENFORCE PROCEDURAL RULE 98 5Y2J3 WRONGFUL INTERFERENCE WITH ADMIN PROCEED- INGS 134 5Y2J4 PUBLIC RECORD: ALTER/REMOVE 134 5Y2J5 REFUSE TO TESTIFY 134 5Y2K SENTINEL MISCONDUCT 5Y2K1 MISBEHAVE, SENTINEL DURING TIME OF WAR 113 5Y2K2 MISBEHAVE, SENTINEL WITH SPECIAL PAY 113 5Y2K3 MISBEHAVE, SENTINEL OTHER PLACES 113 5Y2K4 SENTINEL DISRESPECT 134 5Y2K5 SENTINEL LOITERING IN TIME OF WAR 134 5Y2K6 SENTINEL LOITERING AT OTHER TIMES 134 5Y2L MUTINY 5Y2L1 SOLICIT, MUTINY 82 5Y2L2 MUTINY BY VIOLENCE OR DISTURBANCE 94 5Y2L3 MUTINY BY REFUSING TO OBEY ORDERS OR PER- FORM DUTY 94 5Y2L4 MUTINY BY FAILURE TO PREVENT OR SUPPRESS 94 5Y2L5 MUTINY BY FAILURE TO REPORT 94 5Y2M SEDITION 5Y2M1 SOLICIT, SEDITION 82 5Y2M2 SEDITION 94 5Y2M3 SEDITION FAILURE TO PREVENT OR SUPPRESS 94 5Y2M4 SEDITION FAILURE TO REPORT 94 5Y2N MISCONDUCT BEFORE ENEMY 5Y2N1 MISCONDUCT BEFORE ENEMY - RUN AWAY 99 5Y2N2 MISCONDUCT BEFORE ENEMY SHAMEFUL ABANDON/ SURRENDER/DELIVER 99 5Y2N3 MISCONDUCT BEFORE ENEMY ENDANGER COM- MAND/UNIT/PLACE/SHIP 99 5Y2N4 MISCONDUCT BEFORE ENEMY CAST AWAY ARMS OR AMMUNITION 99 5Y2N5 MISCONDUCT BEFORE ENEMY COWARDLY CONDUCT 99 5Y2N6 MISCONDUCT BEFORE ENEMY QUIT PLACE OF DUTY TO PLUNDER/PILLAGE 99 5Y2N7 MISCONDUCT BEFORE ENEMY CAUSE FALSE ALARM 99 5Y2N8 MISCONDUCT BEFORE ENEMY WILLFUL FAILURE TO ENCOUNTER ENEMY 99 40 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 49 of 149 Table 4–1 Offense code list—Continued Offense code Primary description Article 5Y2N9 MISCONDUCT BEFORE ENEMY FAIL TO AFFORD RE- LIEF OR ASSISTANCE 99 5Y2O OTHER OFFENSE BEFORE ENEMY 5Y2O1 COMPEL SURRENDER 100 5Y2O2 STRIKE FLAG BEFORE ENEMY 100 5Y2O3 DISCLOSE PAROLE/COUNTERSIGN TO UN- AUTHORIZED PERSON 101 5Y2O4 GIVE PAROLE/COUNTERSIGN DIFFERENT FROM AU- THORIZED 101 5Y2O5 FORCING SAFEGUARD 102 5Y2P SPYING/ESPIONAGE/AIDING ENEMY 5Y2P1 SPYING 106 5Y2P2 ESPIONAGE 106 5Y2P3 DISLOYAL STATEMENT 134 5Y2P4 AIDING THE ENEMY 104 5Y2P5 HARBORING OR PROTECTING ENEMY 104 5Y2P6 GIVING INTELLIGENCE TO ENEMY 104 5Y2P7 COMMUNICATING WITH ENEMY 104 5Y2P8 MISCONDUCT AS POW FOR FAVORABLE TREATMENT 105 5Y2P9 MISCONDUCT AS POW MALTREAT PRISONER 105 5Y2Q LOOTING - PILLAGING 103 5Y3 RIOT 116 5Y4 BREACH OF PEACE 116 5Y5 PROVOKING SPEECH/GESTURES 117 5Z CRIMINAL TERRORISM/TERRORISM ACTS 5Z1 CRIMINAL TERRORISM TARGETED AGAINST PERSON 5Z1A TERRORIST THREATS AGAINST PERSONS 5Z1A1 TERRORIST THREATS AGAINST PERSONS BY MAIL 134 5Z1A2 TERRORIST THREATS AGAINST PERSONS BY TELE- PHONE 134 5Z1A3 TERRORIST THREATS AGAINST PERSONS IN PERSON 134 5Z1A4 TERRORIST THREATS AGAINST PERSONS BY COMBI- NATION OF THREATS IN PERSON 134 5Z1A5 TERRORIST THREATS AGAINST PERSONS THROUGH INTERMEDIARY 134 5Z1B CRIMINAL TERRORISM AGAINST PERSONS INVOLV- ING EXPLOSIVE DEVICE 5Z1B1 CRIMINAL TERRORISM AGAINST PERSONS INVOLV- ING TNT OR DYNAMITE 134 5Z1B2 CRIMINAL TERRORISM AGAINST PERSONS INVOLV- ING GASOLINE, FLAMMABLES, AND SO ON 134 5Z1B3 CRIMINAL TERRORISM AGAINST PERSONS INVOLV- ING OTHER EXPLOSIVE DEVICE 134 5Z1B4 CRIMINAL TERRORISM–DEVICE DISCOVERED BEFORE DETONATION 134 5Z1B5 CRIMINAL TERRORISM–DEVICE DISCOVERED AFTER DETONATION 134 41AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 50 of 149 Table 4–1 Offense code list—Continued Offense code Primary description Article 5Z2 TERRORIST THREATS TARGETED AGAINST EQUIP- MENT 5Z2A TERRORIST THREATS AGAINST EQUIPMENT 5Z2A1 TERRORIST THREATS AGAINST EQUIPMENT BY MAIL 134 5Z2A2 TERRORIST THREATS AGAINST EQUIPMENT BY TELE- PHONE 134 5Z2A3 TERRORIST THREATS AGAINST EQUIPMENT IN PER- SON 134 5Z2A4 TERRORIST THREATS AGAINST EQUIPMENT BY COM- BINATION OF THREATS IN PERSON 134 5Z2A5 TERRORIST THREATS AGAINST EQUIPMENT THROUGH INTERMEDIARY 134 5Z2B CRIMINAL TERRORISM AGAINST EQUIPMENT INVOLV- ING EXPLOSIVE DEVICE 5Z2B1 CRIMINAL TERRORISM AGAINST EQUIPMENT INVOLV- ING TNT OR DYNAMITE 134 5Z2B2 CRIMINAL TERRORISM AGAINST EQUIP. INVOLVING GASOLINE, FLAMMABLES, AND SO ON 134 5Z2B3 CRIMINAL TERRORISM AGAINST EQUIPMENT INVOLV- ING OTHER EXPLOSIVE DEVICE 134 5Z2B4 CRIMINAL TERRORISM–DEVICE DISCOVERED BEFORE DETONATION 134 5Z2B5 CRIMINAL TERRORISM–DEVICE DISCOVERED AFTER DETONATION 134 5Z3 CRIMINAL TERRORISM TARGETED AGAINST FACILI- TIES 5Z3A TERRORIST THREAT AGAINST FACILITIES 5Z3A1 TERRORIST THREATS AGAINST FACILITIES BY MAIL 134 5Z3A2 TERRORIST THREATS AGAINST FACILITIES BY TELE- PHONE 134 5Z3A3 TERRORIST THREATS AGAINST FACILITIES IN PER- SON 134 5Z3A4 TERRORIST THREATS AGAINST FAC. BY COMBINA- TION OF THREATS IN PERSON 134 5Z3A5 TERRORIST THREATS AGAINST FACILITIES THROUGH INTERMEDIARY 134 5Z3B CRIMINAL TERRORISM AGAINST FACILITIES INVOLV- ING EXPLOSIVE DEVICE 5Z3B1 CRIMINAL TERRORISM AGAINST MULTIPLE TARGETS INVOLVING TNT OR DYNAMITE 134 5Z3B2 CRIMINAL TERRORISM AGAINST MULTIPLE TARGETS INVOLVING GASOLINE, FLAMMABLES, AND SO ON 134 5Z3B3 CRIMINAL TERRORISM AGAINST MULTIPLE TARGETS INVOLVING OTHER EXPLOSIVE DEVICE 134 5Z3B4 CRIMINAL TERRORISM–DEVICE DISCOVERED BEFORE DETONATION 134 5Z3B5 CRIMINAL TERRORISM–DEVICE DISCOVERED AFTER DETONATION 134 5Z4 CRIMINAL TERRORISM AGAINST MULTIPLE TARGETS, PERSONS, OR EQUIPMENT 5Z4A TERRORIST THREATS AGAINST MULTIPLE TARGETS 42 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 51 of 149 Table 4–1 Offense code list—Continued Offense code Primary description Article 5Z4A1 TERRORIST THREATS AGAINST MULTIPLE TARGETS BY MAIL 134 5Z4A2 TERRORIST THREATS AGAINST MULTIPLE TARGETS BY TELEPHONE 134 5Z4A3 TERRORIST THREATS AGAINST MULTIPLE TARGETS IN PERSON 134 5Z4A4 TERRORIST THREATS AGAINST MULTIPLE TARGETS BY COMBINATION OF THREATS IN PERSON 134 5Z4A5 TERRORIST THREATS AGAINST MULTIPLE TARGETS THROUGH INTERMEDIARY 134 5Z4B CRIMINAL TERRORISM AGAINST MULTIPLE TARGETS INVOLVING EXPLOSIVE 5Z4B1 CRIMINAL TERRORISM AGAINST MULTIPLE TARGETS INVOLVING TNT OR DYNAMITE 134 5Z4B2 CRIMINAL TERRORISM AGAINST MULTIPLE TARGETS INVOLVING GASOLINE, FLAMMABLES, AND SO ON 134 5Z4B3 CRIMINAL TERRORISM AGAINST MULTIPLE TARGETS INVOLVING OTHER EXPLOSIVE DEVICE 134 5Z4B4 CRIMINAL TERRORISM–DEVICE DISCOVERED BEFORE DETONATION 134 5Z4B5 CRIMINAL TERRORISM–DEVICE DISCOVERED AFTER DETONATION 134 6 SEX CRIMES 6A CHILD MOLESTATION 6A1 INDECENT ASSAULT ON A CHILD 134 6A2 INDECENT ACTS UPON A CHILD 134 6A3 ENTICING A CHILD TO COMMIT A LEWD ACT 134 6A4 EXHIBITIONISM OR LEWD GESTURES TOWARD A MI- NOR 134 6C INDECENT ACTS (NOT INVOLVING SODOMY) 6C1 INDECENT ASSAULT (NOT INVOLVING SODOMY) 134 6C2 INDECENT ACTS BETWEEN TWO OR MORE MALES (NOT INVOLVING SODOMY) 134 6C3 INDECENT ACTS BETWEEN TWO OR MORE FEMALES (NOT INVOLVING SODOMY) 134 6C4 INDECENT ACTS BETWEEN MALES & FEMALES (NOT INVOLVING SODOMY) 134 6C5 INDECENT ACTS BETWEEN ADULTS & MINORS (NOT INVOLVING SODOMY) 134 6D PORNOGRAPHY 6D1 PRODUCTION/PUBLICATION OF PORNOGRAPHY 6D1A PRODUCTION OR PUBLICATION OF PORNOGRAPHIC ART 134 6D1B PRODUCTION OR PUBLICATION OF PORNOGRAPHIC LITERATURE 134 6D1C PRODUCTION OR PUBLICATION OF PORNOGRAPHIC MOVIES 134 6D1D PRODUCTION OR PUBLICATION OF PORNOGRAPHIC PHOTOGRAPHS 134 6D2 SMUGGLING/ILLEGAL TRANSPORT OF PORNOGRA- PHY 43AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 52 of 149 Table 4–1 Offense code list—Continued Offense code Primary description Article 6D2A SMUGGLING/ILLEGAL TRANSPORT OF PORNO- GRAPHIC ART 134 6D2B SMUGGLING/ILLEGAL TRANSPORT OF PORNO- GRAPHIC LITERATURE 134 6D2C SMUGGLING/ILLEGAL TRANSPORT OF PORNO- GRAPHIC MOVIES 134 6D2D SMUGGLING/ILLEGAL TRANSPORT OF PORNO- GRAPHIC PHOTOGRAPHS 134 6D3 TRANSPORT OF PORNOGRAPHY (OTHER THAN SMUGGLING) 6D3A ILLEGAL TRANSPORT OF PORNOGRAPHIC ART (OTHER THAN SMUGGLING) 134 6D3B ILLEGAL TRANSPORT OF PORNOGRAPHIC LITERA- TURE (OTHER THAN SMUGGLING) 134 6D3C ILLEGAL TRANSPORT OF PORNOGRAPHIC MOVIES (OTHER THAN SMUGGLING) 134 6D3D ILLEGAL TRANSPORT OF PORNOGRAPHIC PHOTO- GRAPHS (OTHER THAN SMUGGLING) 134 6D4 INTRODUCTION OF PORNOGRAPHY INTO MAIL CHAN- NELS 6D4A INTRODUCTION OF PORNOGRAPHIC ART INTO MAIL CHANNELS 134 6D4B INTRODUCTION OF PORNOGRAPHIC LITERATURE INTO MAIL CHANNELS 134 6D4C INTRODUCTION OF PORNOGRAPHIC MOVIES INTO MAIL CHANNELS 134 6D4D INTRODUCTION OF PORNOGRAPHIC PHOTOGRAPHS INTO MAIL CHANNELS 134 6D5 ILLEGAL SALE OF PORNOGRAPHY 6D5A ILLEGAL SALE OF PORNOGRAPHIC ART 134 6D5B ILLEGAL SALE OF PORNOGRAPHIC LITERATURE 134 6D5C ILLEGAL SALE OF PORNOGRAPHIC MOVIES 134 6D5D ILLEGAL SALE OF PORNOGRAPHIC PHOTOGRAPHS 134 6D6 ILLEGAL EXHIBITION OF PORNOGRAPHY 6D6A ILLEGAL EXHIBITION OF PORNOGRAPHIC ART 134 6D6B ILLEGAL EXHIBITION OF PORNOGRAPHIC LITERA- TURE 134 6D6C ILLEGAL EXHIBITION OF PORNOGRAPHIC MOVIES 134 6D6D ILLEGAL EXHIBITION OF PORNOGRAPHIC PHOTO- GRAPHS 134 6D7 ILLEGAL POSSESSION OF PORNOGRAPHY 6D7A ILLEGAL POSSESSION OF PORNOGRAPHIC ART 134 6D7B ILLEGAL POSSESSION OF PORNOGRAPHIC LITERA- TURE 134 6D7C ILLEGAL POSSESSION OF PORNOGRAPHIC MOVIES 134 6D7D ILLEGAL POSSESSION OF PORNOGRAPHIC PHOTO- GRAPHS 134 6E RAPE & CARNAL KNOWLEDGE 6E1 RAPE 6E1A ASSAULT WITH INTENT TO RAPE 134 44 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 53 of 149 Table 4–1 Offense code list—Continued Offense code Primary description Article 6E1A1 ATTEMPTED RAPE BY FORCE 120 6E1A2 ATTEMPTED RAPE BY FORCE USING A WEAPON 120 6E1A3 GROUP RAPE OF AN ADULT 120 6E1B RAPE OF A CHILD 6E1B1 RAPE OF A CHILD BY FORCE 120 6E1B2 RAPE OF A CHILD USING A WEAPON 120 6E1B3 GROUP RAPE OF A CHILD 120 6E1C RAPE OF A FAMILY MEMBER WIFE 6E1C1 RAPE OF A FAMILY MEMBER WIFE BY FORCE 120 6E1C2 RAPE OF A FAMILY MEMBER WIFE USING A WEAPON 120 6E1C3 GROUP RAPE OF A FAMILY MEMBER WIFE 120 6E1D RAPE OF A FOREIGN NATIONAL 6E1D1 RAPE OF A FOREIGN NATIONAL BY FORCE 120 6E1D2 RAPE OF A FOREIGN NATIONAL USING A WEAPON 120 6E1D3 GROUP RAPE OF A FOREIGN NATIONAL 120 6E1E RAPE OF AN ENLISTED WOMAN 6E1E1 RAPE OF AN ENLISTED WOMAN BY FORCE 120 6E1E2 RAPE OF AN ENLISTED WOMAN USING A WEAPON 120 6E1E3 GROUP RAPE OF AN ENLISTED WOMAN 120 6E1F RAPE OF A FEMALE OFFICER 6E1F1 RAPE OF A FEMALE OFFICER BY FORCE 120 6E1F2 RAPE OF A FEMALE OFFICER USING A WEAPON 120 6E1F3 GROUP RAPE OF A FEMALE OFFICER 120 6E1G RAPE OF A FEMALE (OTHER) 6E1G1 RAPE BY FORCE (OTHER) 120 6E1G2 RAPE BY FORCE USING A WEAPON (OTHER) 120 6E1G3 GROUP RAPE BY FORCE (OTHER) 120 6E2 CARNAL KNOWLEDGE 6F SODOMY 6F1 ASSAULT WITH INTENT TO COMMIT SODOMY/ AT- TEMPT TO COMMIT SODOMY 134 6F8 FORCED, NON–CONSENSUAL SODOMY 125 6F8A FORCED, NON–CONSENSUAL SODOMY INVOLVING A VICTIM 16 YEARS OF AGE OR OLDER 125 6F8B SODOMY INVOLVING A VICTIM UNDER THE AGE OF 16 (FORCED, NON–CONSENSUAL OR CONSENSUAL) 125 6F9 CONSENSUAL SODOMY INVOLVING PERSONS 16 YEARS OF AGE OR OLDER 125 6G BESTIALITY 134 6H EXHIBITIONISM 6H1 INDECENT EXPOSURE 134 6J INCEST 6J1 INCEST - BY NATURAL PARENT 120 6J2 INCEST - BY NATURAL BROTHER 120 45AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 54 of 149 Table 4–1 Offense code list—Continued Offense code Primary description Article 6J3 INCEST - BY NATURAL SISTER 120 6K OBSCENE COMMUNICATION 6K1 TRANSMITTING OBSCENE TELEPHONE CALLS 6K1A OBSCENE TELEPHONE CALLS TO OFF–POST NUM- BERS 134 6K1B OBSCENE TELEPHONE CALLS TO ON–POST QUAR- TERS 134 6K1C OBSCENE TELEPHONE CALLS TO OTHER ON–POST TELEPHONE 134 6K2 OBSCENE VERBAL COMMUNICATIONS 134 6K3 INDECENT LANGUAGE TO CHILD UNDER 16 134 6K4 INDECENT LANGUAGE ALL OTHER 134 6L TRANSVESTITISM 134 6M VOYEURISM 134 6N CRIMINAL ABORTION 6N1 CRIMINAL ABORTION BY A MEMBER OF THE ARMED FORCES 134 6N2 CRIMINAL ABORTION UPON FEMALE MEMBER OF ARMED FORCES 134 6N3 CRIMINAL ABORTION UPON ARMED FORCES FAMILY MEMBER 134 6X OTHER SEX OFFENSES 6X1 CONSPIRACY TO COMMIT OTHER SEX OFFENSES 134 6X2 SOLICITATION TO COMMIT A SEX OFFENSE 134 6X3 OTHER SEX OFFENSES, ACCESSORY BEFORE THE FACT 77 6X4 OTHER SEX OFFENSES, ACCESSORY AFTER THE FACT 78 6X5 OBSTRUCTION OF JUSTICE 134 6Z SEXUAL ASSAULT EVIDENCE KIT 6Z1 SEXUAL ASSAULT EVIDENCE KIT RECEIVED 6Z2 SEXUAL ASSAULT EVIDENCE KIT RELEASED TO IN- VESTIGATIVE AUTHORITIES 6Z3 SEXUAL ASSAULT EVIDENCE KIT DESTROYED 7 CRIMES AGAINST PROPERTY 7A ARSON 7A1 AGGRAVATED ARSON 7A1A AGGRAVATED ARSON OF A DWELLING 126 7A1B AGGRAVATED ARSON OF A BUILDING 126 7A1C AGGRAVATED ARSON OF A BUILDING NOT A DWELL- ING 126 7A1D AGGRAVATED ARSON TO COVER A CRIME 126 7A1E AGGRAVATED ARSON FOR INSURANCE 126 7A2 SIMPLE ARSON 7A2A SIMPLE ARSON OF A DWELLING 126 7A2B SIMPLE ARSON OF A BUILDING 126 46 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 55 of 149 Table 4–1 Offense code list—Continued Offense code Primary description Article 7A2C SIMPLE ARSON OF A BUILDING NOT A DWELLING 126 7A2D SIMPLE ARSON TO COVER A CRIME 126 7A2E SIMPLE ARSON FOR INSURANCE 126 7B BLACK–MARKET (CUSTOMS VIOLATIONS) 7B1 BLACK–MARKET OF NAF MERCHANDISE 7B1A BLACK–MARKET OF ARMY/AIR FORCE EXCHANGE SERVICE (AAFES) MERCHANDISE 7B1A1 UNLAWFUL TRANSFER OF AAFES MERCHANDISE 92 7B1A2 UNLAWFUL POSSESSION OF AAFES MERCHANDISE 92 7B1B BLACK–MARKET OF OPEN MESS MERCHANDISE 7B1B1 UNLAWFUL TRANSFER OF OPEN MESS MERCHAN- DISE 92 7B1B2 UNLAWFUL POSSESSION OF OPEN MESS MERCHAN- DISE 92 7B1C BLACK–MARKET OF NAF PROPERTY (NOT 7B1A–7B1B) 7B1C1 UNLAWFUL TRANSFER OF NAF PROPERTY 92 7B1C2 UNLAWFUL POSSESSION OF NAF PROPERTY 92 7B1D BLACK–MARKET OF OTHER ITEMS (NOT GOVERN- MENT OR NAF PROPERTY) 7B1D1 UNLAWFUL TRANSFER OF OTHER ITEMS (NOT GOV- ERNMENT OR NAF PROPERTY) 108 7B1D2 UNLAWFUL POSSESSION OF OTHER ITEMS (NOT GOVERNMENT OR NAF PROPERTY) 108 7B2 BLACK–MARKET OF GOVERNMENT PROPERTY 7B2A UNLAWFUL TRANSFER OF GOVERNMENT PROPERTY 108 7B2B UNLAWFUL POSSESSION OF GOVERNMENT PROP- ERTY 108 7B2C BLACK–MARKETING OF ITEMS IMPORTED IN HOLD BAGGAGE OR HOUSEHOLD GOODS 7B2C1 UNLAWFUL TRANSFER OF ITEMS IMPORTED IN HOLD BAGGAGE OR HOUSEHOLD GOODS 108 7B2C2 UNLAWFUL POSS. OF ITEMS IMPORTED IN HOLD BAG- GAGE OR HOUSEHOLD GOODS 108 7B3 BLACK–MARKET OF COMMISSARY ITEMS 7B3A UNLAWFUL TRANSFER OF COMMISSARY ITEMS 92 7B3B UNLAWFUL POSSESSION OF COMMISSARY ITEMS 92 7B4 BLACK–MARKET OF POL ITEMS 7B4A UNLAWFUL TRANSFER OF POL ITEMS 92 7B4B UNLAWFUL POSSESSION OF POL ITEMS 92 7B5 BLACK–MARKET OF CLASS VI ITEMS 7B5A UNLAWFUL TRANSFER OF CLASS VI ITEMS 92 7B5B UNLAWFUL POSSESSION OF CLASS VI ITEMS 92 7B6 MISUSE OF APO/FPO TO IMPORT FOR BLA- CK–MARKET 7B6A UNLAWFUL TRANSFER OF ITEMS IMPORTED THROUGH APO/FPO 92 7B6B UNLAWFUL POSSESSION OF ITEMS IMPORTED THROUGH APO/FPO 92 47AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 56 of 149 Table 4–1 Offense code list—Continued Offense code Primary description Article 7B7 UNLAWFUL CURRENCY TRANSACTIONS 92 7B8 ORGANIZED BLACK–MARKET OPERATIONS 92 7B9 ORGANIZED CURRENCY MANIPULATION 92 7C ILLEGAL ENTRY 7C1 BURGLARY 7C1A BURGLARY OF A BARRACKS 129 7C1B BURGLARY OF A FAMILY DWELLING 129 7C1C BURGLARY OF A HOUSE TRAILER/MOBILE HOME 129 7C1D ASSAULT WITH INTENT TO COMMIT BURGLARY 134 7C2 HOUSEBREAKING 7C2A HOUSEBREAKING OF A BARRACKS 130 7C2B HOUSEBREAKING OF A FAMILY DWELLING 130 7C2C HOUSEBREAKING OF A HOUSE TRAILER/MOBILE HOME 130 7C2D HOUSEBREAKING OF A TENT 130 7C2E HOUSEBREAKING OF A WAREHOUSE 130 7C2F HOUSEBREAKING OF FINANCE OFFICE/BANKING FA- CILITY 130 7C2G HOUSEBREAKING OF A DINING FACILITY (APPROPRI- ATED FUND) 130 7C2H HOUSEBREAKING OF EXCHANGE FACILITIES 130 7C2J HOUSEBREAKING OF A NAF ACTIVITIES (NOT EX- CHANGE) 130 7C2K HOUSEBREAKING OF AN ARMS STORAGE FACILITY 130 7C2L HOUSEBREAKING OF A COMMISSARY/GROCERY STORE 130 7C2M HOUSEBREAKING OF AN OFFICE FACILITY 130 7C2N HOUSEBREAKING OF CLOTHING SALES STORE/DE- PARTMENT STORE 130 7C2P HOUSEBREAKING OF GASOLINE SALES/AUTO STORE/ POL POINT 130 7C2Q HOUSEBREAKING OF A BEVERAGE STORE OR TAV- ERN 130 7C2R HOUSEBREAKING OF A HARDWARE STORE 130 7C2S HOUSEBREAKING OF AN EDUCATIONAL FACILITY 130 7C2T HOUSEBREAKING OF A UNIT SUPPLY FACILITY 130 7C2U HOUSEBREAKING OF A COMPUTER FACILITY 130 7C2V ASSAULT WITH INTENT TO COMMIT HOUSEBREAKING 134 7C2X HOUSEBREAKING (OTHER FACILITY) 130 7C3 UNLAWFUL/FORCED ENTRY (INCLUDING AUTOMO- BILES) 7D COUNTERFEITING 7D1 MANUFACTURE/PRODUCTION COUNTERFEIT INSTRU- MENTS 7D1A COUNTERFEITING U.S. GOVERNMENT BONDS 134 7D1B COUNTERFEITING U.S. GOVERNMENT CURRENCY 134 48 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 57 of 149 Table 4–1 Offense code list—Continued Offense code Primary description Article 7D1C COUNTERFEITING DOCUMENTS 134 7D1D COUNTERFEITING FOREIGN CURRENCY 134 7D1E COUNTERFEITING MILITARY PAYMENT CERTIFICATES 134 7D1F COUNTERFEITING PASSES (INSTALLATION & SECURI- TY) 134 7D1F1 MILITARY PASS, WRONGFUL MAKE/TAMPER/ALTER/ COUNTERFEIT 134 7D1F2 MILITARY PASS, WRONGFUL SALE/GIFT/LOAN/DISPO- SITION 134 7D1F3 MILITARY PASS, WRONGFUL USE OR POSSESSION 134 7D1F4 MILITARY PASS, ALL OTHER 134 7D1G COUNTERFEITING RATION DOCUMENTS (EXCEPT POL ITEMS) 132 7D1H COUNTERFEITING TRANSPORTATION CONTROL MOVEMENT DOCUMENTS 132 7D1J COUNTERFEITING POL ITEM RATION DOCUMENTS 132 7D1K COUNTERFEITING PAY & ALLOWANCES DOCUMENTS 132 7D1L COUNTERFEITING COMMISSARY DOCUMENTS 132 7D1M COUNTERFEITING PROCUREMENT DOCUMENTS 132 7D1N COUNTERFEITING PROPERTY DISPOSAL DOCU- MENTS 132 7D1P COUNTERFEITING NAF DOCUMENTS (EXCEPT RATION CARDS) 132 7D2 TRAFFICKING IN COUNTERFEIT INSTRUMENTS 7D2A TRAFFICKING IN COUNTERFEIT INSTRUMENTS - U.S. GOVERNMENT BONDS 134 7D2B TRAFFICKING IN COUNTERFEIT INSTRUMENTS - U.S. CURRENCY 134 7D2C TRAFFICKING IN COUNTERFEIT INSTRUMENTS - DOC- UMENTS 134 7D2D TRAFFICKING IN COUNTERFEIT INSTRUMENTS - FOR- EIGN CURRENCY 134 7D2E TRAFFICKING IN COUNTERFEIT INSTRUMENTS - MILI- TARY PAYMENT CERTIFICATES 134 7D2F TRAFFICKING IN COUNTERFEIT INSTRUMENTS IN- STALLATION/SECURITY PASSES/BADGES 134 7D2G TRAFFICKING IN COUNTERFEIT INSTRUMENTS - RA- TION DOCUMENTS (EXCEPT POL) 134 7D2H TRAFFICKING IN COUNTERFEIT INSTRUMENTS - TRANSPORTATION CONTROL MOVEMENT DOCU- MENTS 134 7D2J TRAFFICKING IN COUNTERFEIT INSTRUMENTS - POL ITEM RATION DOCUMENTS 134 7D2K TRAFFICKING IN COUNTERFEIT INSTRUMENTS - PAY & ALLOWANCES DOCUMENTS 134 7D2L TRAFFICKING IN COUNTERFEIT INSTRUMENTS - COM- MISSARY DOCUMENTS 134 7D2M TRAFFICKING IN COUNTERFEIT INSTRUMENTS - PRO- CUREMENT DOCUMENTS 134 7D2N TRAFFICKING IN COUNTERFEIT INSTRUMENTS - PROPERTY DISPOSAL DOCUMENTS 134 49AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 58 of 149 Table 4–1 Offense code list—Continued Offense code Primary description Article 7D2P TRAFFICKING IN COUNTERFEIT INSTRUMENTS - NAF DOCUMENTS (NOT RATION CARDS) 134 7D3 PASSING COUNTERFEIT INSTRUMENTS - PASSING COUNTERFEIT INSTRUMENTS 7D3A PASSING COUNTERFEIT INSTRUMENTS - U.S. GOV- ERNMENT BONDS 134 7D3B PASSING COUNTERFEIT INSTRUMENTS - U.S. CUR- RENCY 134 7D3C PASSING COUNTERFEIT INSTRUMENTS - DOCU- MENTS 134 7D3D PASSING COUNTERFEIT INSTRUMENTS - FOREIGN CURRENCY 134 7D3E PASSING COUNTERFEIT INSTRUMENTS - MILITARY PAYMENT CERTIFICATES 134 7D3F PASSING COUNTERFEIT INSTRUMENTS - INSTALLA- TION/SECURITY PASSES/BADGES 134 7D3G PASSING COUNTERFEIT INSTRUMENTS - RATION DOCUMENTS (EXCEPT POL) 134 7D3H PASSING COUNTERFEIT INSTRUMENTS - TRANSPOR- TATION CONTROL MOVEMENT DOCUMENTS 134 7D3J PASSING COUNTERFEIT INSTRUMENTS - POL ITEM RATION DOCUMENTS 134 7D3K PASSING COUNTERFEIT INSTRUMENTS - PAY & AL- LOWANCES DOCUMENTS 134 7D3L PASSING COUNTERFEIT INSTRUMENTS - COMMIS- SARY DOCUMENTS 134 7D3M PASSING COUNTERFEIT INSTRUMENTS - PROCURE- MENT DOCUMENTS 134 7D3N PASSING COUNTERFEIT INSTRUMENTS - PROPERTY DISPOSAL DOCUMENTS 134 7D3P PASSING COUNTERFEIT INSTRUMENTS - NAF DOCU- MENTS (NOT RATION CARDS) 134 7D4 POSSESSION OF COUNTERFEIT INSTRUMENTS 7D4A POSSESSION OF COUNTERFEIT U.S. GOVERNMENT BONDS 134 7D4B POSSESSION OF COUNTERFEIT U.S. CURRENCY 134 7D4C POSSESSION OF COUNTERFEIT DOCUMENTS 134 7D4D POSSESSION OF COUNTERFEIT FOREIGN CURRENCY 134 7D4E POSSESSION OF COUNTERFEIT MILITARY PAYMENT CERTIFICATES 134 7D4F POSSESSION OF COUNTERFEIT INSTALLATION/SECU- RITY PASSES/BADGES 134 7D4G POSSESSION OF COUNTERFEIT RATION DOCUMENTS (EXCEPT POL) 134 7D4H POSSESSION OF COUNTERFEIT TRANSPORTATION CONTROL MOVEMENT DOCUMENTS 134 7D4J POSSESSION OF COUNTERFEIT POL ITEM RATION DOCUMENTS 134 7D4K POSSESSION OF COUNTERFEIT PAY & ALLOWANCES DOCUMENTS 134 7D4L POSSESSION OF COUNTERFEIT COMMISSARY DOCU- MENTS 134 50 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 59 of 149 Table 4–1 Offense code list—Continued Offense code Primary description Article 7D4M POSSESSION OF COUNTERFEIT PROCUREMENT DOC- UMENTS 134 7D4N POSSESSION OF COUNTERFEIT PROPERTY DIS- POSAL DOCUMENTS 134 7D4P POSSESSION OF COUNTERFEIT NAF DOCUMENTS (NOT RATION CARDS) 134 7D5 USE COUNTERFEIT INSTRUMENTS WITH INTENT TO DECEIVE 7D5A USE OF COUNTERFEIT U.S. GOVERNMENT BONDS 134 7D5B USE OF COUNTERFEIT U.S. CURRENCY TO DECEIVE OR DEFRAUD 134 7D5C USE OF COUNTERFEIT DOCUMENTS TO DECEIVE OR DEFRAUD 123 7D5D USE OF COUNTERFEIT FOREIGN CURRENCY TO DE- CEIVE OR DEFRAUD 134 7D5E USE OF COUNTERFEIT MILITARY PAYMENT CERTIFI- CATES TO DECEIVE OR DEFRAUD 134 7D5F USE OF COUNTERFEIT INSTALLATION/SECURITY PAS- SES/BADGES TO DECEIVE OR DEFRAUD 123 7D5G USE OF COUNTERFEIT RATION DOCUMENT (EXCEPT POL ITEMS) TO DECEIVE OR DEFRAUD 123 7D5H USE OF COUNTERFEIT TRANSPORTATION CONTROL MOVEMENT DOCUMENTS TO DECEIVE OR DEFRAUD 123 7D5J USE OF COUNTERFEIT POL ITEM RATION DOCU- MENTS TO DECEIVE OR DEFRAUD 123 7D5K USE OF COUNTERFEIT PAY & ALLOWANCE DOCU- MENTS TO DECEIVE OR DEFRAUD 123 7D5L USE OF COUNTERFEIT COMMISSARY DOCUMENTS TO DECEIVE OR DEFRAUD 123 7D5M USE OF COUNTERFEIT PROCUREMENT DOCUMENTS TO DECEIVE OR DEFRAUD 123 7D5N USE OF COUNTERFEIT PROPERTY DISPOSAL DOCU- MENTS TO DECEIVE OR DEFRAUD 123 7D5P USE OF COUNTERFEIT NAF DOCUMENTS (EXCEPT RATION CARDS) TO DECEIVE OR DEFRAUD 123 7E SMUGGLING (OTHER THAN NARCOTIC) 7E1 SMUGGLING INTO THE UNITED STATES 7E1A SMUGGLING AMMUNITION/WEAPONS INTO THE UNITED STATES 134 7E1B SMUGGLING CURRENCY INTO THE UNITED STATES 134 7E1C SMUGGLING PRIVATELY OWNED FIREARMS INTO THE UNITED STATES 134 7E1D SMUGGLING GOVERNMENT WEAPONS INTO THE UNITED STATES 134 7E1E SMUGGLING HOSPITAL/MEDICAL SUPPLIES INTO THE UNITED STATES 134 7E1F SMUGGLING LIQUOR INTO THE UNITED STATES 134 7E1G SMUGGLING MILITARY PROPERTY INTO THE UNITED STATES 134 7E1H SMUGGLING NAF MERCHANDISE INTO THE UNITED STATES 134 51AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 60 of 149 Table 4–1 Offense code list—Continued Offense code Primary description Article 7E1J SMUGGLING WAR TROPHIES INTO THE UNITED STATES 134 7E1K SMUGGLING COMMISSARY ITEMS INTO THE UNITED STATES 134 7E1L SMUGGLING PROCUREMENT ITEMS INTO THE UNITED STATES 134 7E1M SMUGGLING PROPERTY DISPOSAL ITEMS INTO THE UNITED STATES 134 7E2 SMUGGLING INTO EUROPE & BRITISH ISLES 7E2A SMUGGLING AMMUNITION/WEAPONS INTO EUROPE OR BRITISH ISLES 134 7E2B SMUGGLING CURRENCY INTO EUROPE OR BRITISH ISLES 134 7E2C SMUGGLING PRIVATELY OWNED FIREARMS INTO EUROPE OR BRITISH ISLES 134 7E2D SMUGGLING GOVERNMENT WEAPONS INTO EUROPE OR BRITISH ISLES 134 7E2E SMUGGLING HOSPITAL/MEDICAL SUPPLIES INTO EUROPE OR BRITISH ISLES 134 7E2F SMUGGLING LIQUOR INTO EUROPE OR BRITISH ISLES 134 7E2G SMUGGLING MILITARY PROPERTY INTO EUROPE OR BRITISH ISLES 134 7E2H SMUGGLING NAF MERCHANDISE INTO EUROPE OR BRITISH ISLES 134 7E2J SMUGGLING WAR TROPHIES INTO EUROPE OR BRITISH ISLES 134 7E2K SMUGGLING COMMISSARY ITEMS INTO EUROPE OR BRITISH ISLES 134 7E2L SMUGGLING PROCUREMENT ITEMS INTO EUROPE OR BRITISH ISLES 134 7E2M SMUGGLING PROPERTY DISPOSAL ITEMS INTO EUROPE 134 7E3 SMUGGLING INTO CANADA & ALASKA 7E3A SMUGGLING AMMUNITION/WEAPONS INTO CANADA OR ALASKA 134 7E3B SMUGGLING CURRENCY INTO CANADA OR ALASKA 134 7E3C SMUGGLING PRIVATELY OWNED FIREARMS INTO CANADA OR ALASKA 134 7E3D SMUGGLING GOVERNMENT WEAPONS INTO CANADA OR ALASKA 134 7E3E SMUGGLING HOSPITAL/MEDICAL SUPPLIES INTO CANADA OR ALASKA 134 7E3F SMUGGLING LIQUOR INTO CANADA OR ALASKA 134 7E3G SMUGGLING MILITARY PROPERTY INTO CANADA OR ALASKA 134 7E3H SMUGGLING NAF MERCHANDISE INTO CANADA OR ALASKA 134 7E3J SMUGGLING WAR TROPHIES INTO CANADA OR ALASKA 134 7E3K SMUGGLING COMMISSARY ITEMS INTO CANADA OR ALASKA 134 52 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 61 of 149 Table 4–1 Offense code list—Continued Offense code Primary description Article 7E3L SMUGGLING PROCUREMENT ITEMS INTO CANADA OR ALASKA 134 7E3M SMUGGLING PROPERTY DISPOSAL ITEMS INTO CAN- ADA OR ALASKA 134 7E4 SMUGGLING INTO VIETNAM 7E4A SMUGGLING AMMUNITION/WEAPONS INTO VIETNAM 134 7E4B SMUGGLING CURRENCY INTO VIETNAM 134 7E4C SMUGGLING PRIVATELY OWNED FIREARMS INTO VIETNAM 134 7E4D SMUGGLING GOVERNMENT WEAPONS INTO VIETNAM 134 7E4E SMUGGLING HOSPITAL/MEDICAL SUPPLIES INTO VIETNAM 134 7E4F SMUGGLING INTO VIETNAM - SMUGGLING LIQUOR INTO VIETNAM 134 7E4G SMUGGLING INTO VIETNAM - SMUGGLING MILITARY PROPERTY INTO VIETNAM 134 7E4H SMUGGLING INTO VIETNAM - SMUGGLING NAF MER- CHANDISE INTO VIETNAM 134 7E4J SMUGGLING INTO VIETNAM - SMUGGLING WAR TRO- PHIES INTO VIETNAM 134 7E4K SMUGGLING INTO VIETNAM - SMUGGLING COMMIS- SARY ITEMS INTO VIETNAM 134 7E4L SMUGGLING INTO VIETNAM - SMUGGLING PROCURE- MENT ITEMS INTO VIETNAM 134 7E4M SMUGGLING INTO VIETNAM - SMUGGLING PROPERTY DISPOSAL ITEMS INTO VIETNAM 134 7E5 SMUGGLING INTO KOREA 7E5A SMUGGLING AMMUNITION/WEAPONS INTO KOREA 134 7E5B SMUGGLING CURRENCY INTO KOREA 134 7E5C SMUGGLING PRIVATELY OWNED FIREARMS INTO KOREA 134 7E5D SMUGGLING GOVERNMENT WEAPONS INTO KOREA 134 7E5E SMUGGLING HOSPITAL/MEDICAL SUPPLIES INTO KOREA 134 7E5F SMUGGLING LIQUOR INTO KOREA 134 7E5G SMUGGLING MILITARY PROPERTY INTO KOREA 134 7E5H SMUGGLING NAF MERCHANDISE INTO KOREA 134 7E5J SMUGGLING WAR TROPHIES INTO KOREA 134 7E5K SMUGGLING COMMISSARY ITEMS INTO KOREA 134 7E5L SMUGGLING PROCUREMENT ITEMS INTO KOREA 134 7E5M SMUGGLING PROPERTY DISPOSAL ITEMS INTO KOREA 134 7E6 SMUGGLING INTO THAILAND 7E6A SMUGGLING AMMUNITION/WEAPONS INTO THAILAND 134 7E6B SMUGGLING CURRENCY INTO THAILAND 134 7E6C SMUGGLING PRIVATELY OWNED FIREARMS INTO THAILAND 134 7E6D SMUGGLING GOVERNMENT WEAPONS INTO THAILAND 134 53AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 62 of 149 Table 4–1 Offense code list—Continued Offense code Primary description Article 7E6E SMUGGLING HOSPITAL/MEDICAL SUPPLIES INTO THAILAND 134 7E6F SMUGGLING LIQUOR INTO THAILAND 134 7E6G SMUGGLING MILITARY PROPERTY INTO THAILAND 134 7E6H SMUGGLING NAF MERCHANDISE INTO THAILAND 134 7E6J SMUGGLING WAR TROPHIES INTO THAILAND 134 7E6K SMUGGLING COMMISSARY ITEMS INTO THAILAND 134 7E6L SMUGGLING PROCUREMENT ITEMS INTO THAILAND 134 7E6M SMUGGLING PROPERTY DISPOSAL ITEMS INTO THAILAND 134 7E7 SMUGGLING INTO PACIFIC (NOT VIETNAM, KOREA, THAILAND) 7E7A SMUGGLING AMMUNITION/WEAPONS INTO PACIFIC THEATER 134 7E7B SMUGGLING CURRENCY INTO PACIFIC THEATER 134 7E7C SMUGGLING PRIVATELY OWNED FIREARMS INTO PA- CIFIC THEATER 134 7E7D SMUGGLING GOVERNMENT WEAPONS INTO PACIFIC THEATER 134 7E7E SMUGGLING HOSPITAL, MEDICAL SUPPLIES INTO PA- CIFIC THEATER 134 7E7F SMUGGLING LIQUOR INTO PACIFIC THEATER 134 7E7G SMUGGLING MILITARY PROPERTY INTO PACIFIC THE- ATER 134 7E7H SMUGGLING NAF MERCHANDISE INTO PACIFIC THEA- TER 134 7E7J SMUGGLING WAR TROPHIES INTO PACIFIC THEATER 134 7E7K SMUGGLING COMMISSARY ITEMS INTO PACIFIC THE- ATER 134 7E7L SMUGGLING PROCUREMENT ITEMS INTO PACIFIC THEATER 134 7E7M SMUGGLING PROPERTY DISPOSAL ITEMS INTO PA- CIFIC THEATER 134 7E8 SMUGGLING INTO SOUTH AMERICA & CARIBBEAN 7E8A SMUGGLING AMMUNITION/WEAPONS INTO SOUTH AMERICA OR CARIBBEAN 134 7E8B SMUGGLING CURRENCY INTO SOUTH AMERICA OR CARIBBEAN 134 7E8C SMUGGLING PRIVATELY OWNED FIREARMS INTO SOUTH AMERICA OR CARIBBEAN 134 7E8D SMUGGLING GOVERNMENT WEAPONS INTO SOUTH AMERICA OR CARIBBEAN 134 7E8E SMUGGLING HOSPITAL/MEDICAL SUPPLIES INTO SOUTH AMERICA OR CARIBBEAN 134 7E8F SMUGGLING LIQUOR INTO SOUTH AMERICA OR CAR- IBBEAN 134 7E8G SMUGGLING MILITARY PROPERTY INTO SOUTH AMERICA OR CARIBBEAN 134 7E8H SMUGGLING NAF MERCHANDISE INTO SOUTH AMERICA OR CARIBBEAN 134 54 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 63 of 149 Table 4–1 Offense code list—Continued Offense code Primary description Article 7E8J SMUGGLING WAR TROPHIES INTO SOUTH AMERICA OR CARIBBEAN 134 7E8K SMUGGLING COMMISSARY ITEMS INTO SOUTH AMERICA OR CARIBBEAN 134 7E8L SMUGGLING PROCUREMENT ITEMS INTO SOUTH AMERICA OR CARIBBEAN 134 7E8M SMUGGLING PROPERTY DISPOSAL ITEMS INTO SOUTH AMERICA OR CARIBBEAN 134 7E9 SMUGGLING INTO OTHER FOREIGN COUNTRIES 7E9A SMUGGLING AMMUNITION/WEAPONS INTO OTHER COUNTRIES 134 7E9B SMUGGLING CURRENCY INTO OTHER FOREIGN COUNTRIES 134 7E9C SMUGGLING PRIVATELY OWNED FIREARMS INTO OTHER FOREIGN COUNTRIES 134 7E9D SMUGGLING GOVERNMENT WEAPONS INTO OTHER FOREIGN COUNTRIES 134 7E9E SMUGGLING HOSPITAL/MEDICAL SUPPLIES INTO OTHER FOREIGN COUNTRIES 134 7E9F SMUGGLING LIQUOR INTO OTHER FOREIGN COUN- TRIES 134 7E9G SMUGGLING MILITARY PROPERTY INTO OTHER FOR- EIGN COUNTRIES 134 7E9H SMUGGLING NAF MERCHANDISE INTO OTHER FOR- EIGN COUNTRIES 134 7E9J SMUGGLING WAR TROPHIES INTO OTHER FOREIGN COUNTRIES 134 7E9K SMUGGLING COMMISSARY ITEMS INTO OTHER FOR- EIGN COUNTRIES 134 7E9L SMUGGLING PROCUREMENT ITEMS INTO OTHER FOREIGN COUNTRIES 134 7E9M SMUGGLING PROPERTY DISPOSAL ITEMS INTO OTHER FOREIGN COUNTRIES 134 7F LARCENY OF GOVERNMENT PROPERTY 7F1 LARCENY OF GOVERNMENT PROPERTY (NOT FUNDS OR WEAPONS) 7F1A LARCENY OF GOVERNMENT PROPERTY (NOT POL, FUNDS, WEAPONS, PROPERTY DISPOSAL, PROCURE- MENT, OR COMMISSARY PROPERTY) 7F1A1 LARCENY OF GOVERNMENT PROPERTY $500 AND OVER/NOT POL, FUNDS, WEAPONS, PROPERTY DIS- POSAL, PROCUREMENT, OR COMMISSARY PROP- ERTY 121 7F1A2 LARCENY OF GOVERNMENT PROPERTY LESS THAN $500/NOT POL, FUNDS, WEAPONS, PROPERTY DIS- POSAL, PROCUREMENT, OR COMMISSARY PROP- ERTY 121 7F1B LARCENY OF GOVERNMENT PROPERTY (PROPERTY DISPOSAL) 7F1B1 LARCENY OF GOVERNMENT PROPERTY PROPERTY DISPOSAL/$500 OR OVER 121 7F1B2 LARCENY OF GOVERNMENT PROPERTY PROPERTY DISPOSAL/LESS THAN $500 121 55AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 64 of 149 Table 4–1 Offense code list—Continued Offense code Primary description Article 7F1C LARCENY OF GOVERNMENT PROPERTY (PROCURE- MENT) 7F1C1 LARCENY OF GOVERNMENT PROPERTY PROCURE- MENT/$500 OR OVER 121 7F1C2 LARCENY OF GOVERNMENT PROPERTY PROCURE- MENT/LESS THAN $500 121 7F1D LARCENY OF GOVERNMENT PROPERTY (POL ITEMS) 7F1D1 LARCENY OF GOVERNMENT PROPERTY POL ITEMS/ $500 OR OVER 121 7F1D2 LARCENY OF GOVERNMENT PROPERTY POL ITEMS/ LESS THAN $500 121 7F1E LARCENY OF GOVERNMENT PROPERTY (COMMIS- SARY ITEMS) 7F1E1 LARCENY OF GOVERNMENT PROPERTY COMMIS- SARY ITEMS/$500 OR OVER 121 7F1E2 LARCENY OF GOVERNMENT PROPERTY COMMIS- SARY ITEMS/LESS THAN $500 121 7F1F LARCENY OF GOVERNMENT PROPERTY INVOLVING THEFT OF COMPUTER TIME (USE ONLY WHEN OPER- ATIONAL TIME OF A COMPUTER IS STOLEN) 121 7F1G LARCENY OF GOVERNMENT PROPERTY INVOLVING THEFT OF COMPUTER TIME (USE AS A SUPPLEMEN- TAL CODE TO OTHER OFFENSE CODES IN THIS CATE- GORY) 121 7F2 LARCENY OF GOVERNMENT FUNDS 7F2A LARCENY OF GOVERNMENT FUNDS (OTHER THAN CHECK/NOT POL, PROPERTY DISPOSAL PROCURE- MENT, OR COMMISSARY FUNDS) 7F2A1 LARCENY OF GOVERNMENT FUNDS $500 AND OVER/ NOT POL, PROPERTY DISPOSAL, PROCUREMENT, OR COMMISSARY FUNDS 121 7F2A2 LARCENY OF GOVERNMENT FUNDS UNDER $500/NOT POL, PROPERTY DISPOSAL, PROCUREMENT, OR COMMISSARY FUNDS 121 7F2B LARCENY OF GOVERNMENT FUNDS (CHECK/NOT POL, PROPERTY DISPOSAL PROCUREMENT, OR COM- MISSARY FUNDS) 7F2B1 LARCENY OF GOVERNMENT FUNDS $500 AND OVER/ CHECK/NOT POL, PROPERTY DISPOSAL, PROCURE- MENT, OR COMMISSARY FUNDS 121 7F2B2 LARCENY OF GOVERNMENT FUNDS UNDER $500/ CHECK/NOT POL, PROPERTY DISPOSAL, PROCURE- MENT, OR COMMISSARY FUNDS 121 7F2C LARCENY OF PROPERTY DISPOSAL FUNDS 7F2C1 LARCENY OF PROPERTY DISPOSAL FUNDS $500 OR OVER/OTHER THAN CHECK 121 7F2C2 LARCENY OF PROPERTY DISPOSAL FUNDS LESS THAN $500/OTHER THAN CHECK 121 7F2C3 LARCENY OF PROPERTY DISPOSAL FUNDS $500 OR OVER/CHECK 121 7F2C4 LARCENY OF PROPERTY DISPOSAL FUNDS LESS THAN $500/CHECK 121 7F2D LARCENY OF GOVERNMENT PROCUREMENT FUNDS 56 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 65 of 149 Table 4–1 Offense code list—Continued Offense code Primary description Article 7F2D1 LARCENY OF GOVERNMENT PROCUREMENT FUNDS $500 OR OVER/OTHER THAN CHECK 121 7F2D2 LARCENY OF GOVERNMENT PROCUREMENT FUNDS LESS THAN $500/OTHER THAN CHECK 121 7F2D3 LARCENY OF GOVERNMENT PROCUREMENT FUNDS $500 OR OVER/CHECK 121 7F2D4 LARCENY OF GOVERNMENT PROCUREMENT FUNDS LESS THAN $500/CHECK 121 7F2E LARCENY OF GOVERNMENT POL FUNDS 7F2E1 LARCENY OF GOVERNMENT POL FUNDS $500 OR OVER/OTHER THAN CHECK 121 7F2E2 LARCENY OF GOVERNMENT POL FUNDS LESS THAN $500/OTHER THAN CHECK 121 7F2E3 LARCENY OF GOVERNMENT POL FUNDS $500 OR OVER/CHECK 121 7F2E4 LARCENY OF GOVERNMENT POL FUNDS LESS THAN $500/CHECK 121 7F2F LARCENY OF GOVERNMENT COMMISSARY FUNDS 7F2F1 LARCENY OF GOVERNMENT COMMISSARY FUNDS $500 OR OVER/OTHER THAN CHECK 121 7F2F2 LARCENY OF GOVERNMENT COMMISSARY FUNDS LESS THAN $500/OTHER THAN CHECK 121 7F2F3 LARCENY OF GOVERNMENT COMMISSARY FUNDS $500 OR OVER/CHECK 121 7F2F4 LARCENY OF GOVERNMENT COMMISSARY FUNDS LESS THAN $500/CHECK 121 7F2G LARCENY OF GOVERNMENT FUNDS INVOLVING USE OF A COMPUTER (USE AS A SUPPLEMENTAL CODE TO OTHER OFFENSE CODES IN THIS CATEGORY) 121 7F3 WRONGFUL APPROPRIATION OF GOVERNMENT PROPERTY 7F3A WRONGFUL APPROPRIATION OF GOVERNMENT PROPERTY (NOT PROCUREMENT, PROPERTY DIS- POSAL, POL, OR COMMISSARY PROPERTY) 7F3A1 WRONGFUL APPROPRIATION OF GOVERNMENT PROPERTY $500 OR OVER/(NOT PROCUREMENT, PROPERTY DISPOSAL, POL, OR COMMISSARY PROP- ERTY) 121 7F3A2 WRONGFUL APPROPRIATION OF GOVERNMENT PROPERTY LESS THAN $500/(NOT PROCUREMENT, PROPERTY DISPOSAL, POL, OR COMMISSARY PROP- ERTY) 121 7F3B WRONGFUL APPROPRIATION OF PROPERTY (PROP- ERTY DISPOSAL) 7F3B1 WRONGFUL APPROPRIATION OF PROPERTY (PROP- ERTY DISPOSAL) $500 OR OVER/PROPERTY DIS- POSAL 121 7F3B2 WRONGFUL APPROPRIATION OF PROPERTY (PROP- ERTY DISPOSAL) LESS THAN $500/PROPERTY DIS- POSAL 121 7F3C WRONGFUL APPROPRIATION OF GOVERNMENT PROPERTY (PROPERTY PROCUREMENT) 7F3C1 WRONGFUL APPROPRIATION OF GOVERNMENT PROPERTY (PROCUREMENT) $500 OR OVER/PRO- CUREMENT 121 57AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 66 of 149 Table 4–1 Offense code list—Continued Offense code Primary description Article 7F3C2 WRONGFUL APPROPRIATION OF GOVERNMENT PROPERTY (PROCUREMENT) LESS THAN $500/PRO- CUREMENT 121 7F3D WRONGFUL APPROPRIATION OF GOVERNMENT VEHI- CLE 7F3D1 WRONGFUL APPROPRIATION OF GOVERNMENT VEHI- CLE $500 OR OVER 121 7F3D2 WRONGFUL APPROPRIATION OF GOVERNMENT VEHI- CLE LESS THAN $500 121 7F3E WRONGFUL APPROPRIATION OF GOVERNMENT PROPERTY (POL ITEMS) 7F3E1 WRONGFUL APPROPRIATION OF GOVERNMENT PROPERTY (POL ITEMS) $500 OR OVER/POL ITEMS 121 7F3E2 WRONGFUL APPROPRIATION OF GOVERNMENT PROPERTY (POL ITEMS) LESS THAN $500/POL ITEMS 121 7F3F1 WRONGFUL APPROPRIATION OF GOVERNMENT PROPERTY (COMMISSARY) $500 OR OVER/COMMIS- SARY 121 7F3F2 WRONGFUL APPROPRIATION OF GOVERNMENT PROPERTY (COMMISSARY) LESS THAN $500/COMMIS- SARY 121 7F3G WRONGFUL APPROPRIATION OF GOVERNMENT PROPERTY USING A COMPUTER 121 7F3H WRONGFUL APPROPRIATION OF GOVERNMENT (AC- TIVE ARMY) AIRCRAFT 7F3H1 WRONGFUL APPROPRIATION OF GOVERNMENT (AC- TIVE ARMY) AIRCRAFT ON–POST 121 7F3H2 WRONGFUL APPROPRIATION OF GOVERNMENT (AC- TIVE ARMY) AIRCRAFT OFF–POST 121 7F3H3 WRONGFUL APPROPRIATION OF GOVERNMENT (AC- TIVE ARMY) AIRCRAFT FIXED WING 121 7F3H4 WRONGFUL APPROPRIATION OF GOVERNMENT (AC- TIVE ARMY) AIRCRAFT ROTARY 121 7F3H5 WRONGFUL APPROPRIATION OF GOVERNMENT (AC- TIVE ARMY) AIRCRAFT COMPONENTS 121 7F3J WRONGFUL APPROPRIATION OF GOVERNMENT (NA- TIONAL GUARD) AIRCRAFT 7F3J1 WRONGFUL APPROPRIATION OF GOVT (NATIONAL GUARD) AIRCRAFT ON–POST 121 7F3J2 WRONGFUL APPROPRIATION OF GOVT (NATIONAL GUARD) AIRCRAFT OFF–POST 121 7F3J3 WRONGFUL APPROPRIATION OF GOVT (NATIONAL GUARD) AIRCRAFT FIXED WING 121 7F3J4 WRONGFUL APPROPRIATION OF GOVT (NATIONAL GUARD) AIRCRAFT ROTARY 121 7F3J5 WRONGFUL APPROPRIATION OF GOVT (NATIONAL GUARD) AIRCRAFT COMPONENTS 121 7F3K WRONGFUL APPROPRIATION OF GOVT (ARMY RE- SERVE) AIRCRAFT 7F3K1 WRONGFUL APPROPRIATION OF GOVT (ARMY RE- SERVE) AIRCRAFT ON–POST 121 7F3K2 WRONGFUL APPROPRIATION OF GOVT (ARMY RE- SERVE) AIRCRAFT OFF–POST 121 58 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 67 of 149 Table 4–1 Offense code list—Continued Offense code Primary description Article 7F3K3 WRONGFUL APPROPRIATION OF GOVT (ARMY RE- SERVE) AIRCRAFT FIXED WING 121 7F3K4 WRONGFUL APPROPRIATION OF GOVT (ARMY RE- SERVE) AIRCRAFT ROTARY 121 7F3K5 WRONGFUL APPROPRIATION OF GOVT (ARMY RE- SERVE) AIRCRAFT COMPONENTS 121 7F3L WRONGFUL APPROPRIATION OF GOVT (ACTIVE AR- MY) VEHICLES 7F3L1 WRONGFUL APPROPRIATION OF GOVT (ACTIVE AR- MY) VEHICLES ON–POST 121 7F3L2 WRONGFUL APPROPRIATION OF GOVT (ACTIVE AR- MY) VEHICLES OFF–POST 121 7F3L3 WRONGFUL APPROPRIATION OF GOVT (ACTIVE AR- MY) VEHICLES TACTICAL WHEELED 121 7F3L4 WRONGFUL APPROPRIATION OF GOVT (ACTIVE AR- MY) VEHICLES TACTICAL TRACK 121 7F3L5 WRONGFUL APPROPRIATION OF GOVT (ACTIVE AR- MY) VEHICLES COMPONENTS 121 7F3L6 WRONGFUL APPROPRIATION OF GOVT (ACTIVE AR- MY) VEHICLES GSA/COMMERCIAL/RENTAL 121 7F3M WRONGFUL APPROPRIATION OF GOVT (NATIONAL GUARD) VEHICLES 7F3M1 WRONGFUL APPROPRIATION OF GOVT (NATIONAL GUARD) VEHICLES ON–POST 121 7F3M2 WRONGFUL APPROPRIATION OF GOVT (NATIONAL GUARD) VEHICLES OFF–POST 121 7F3M3 WRONGFUL APPROPRIATION OF GOVT (NAT’L GUARD) VEHICLES TACTICAL WHEELED 121 7F3M4 WRONGFUL APPROPRIATION OF GOVT (NATIONAL GUARD) VEHICLES TACTICAL TRACK 121 7F3M5 WRONGFUL APPROPRIATION OF GOVT (NATIONAL GUARD) VEHICLES COMPONENTS 121 7F3M6 WRONGFUL APPROPRIATION OF GOVT (NATIONAL GUARD) VEHICLES GSA/COMMERCIAL/RENTAL 121 7F3N WRONGFUL APPROPRIATION OF GOVT (ARMY RE- SERVE) VEHICLES 7F3N1 WRONGFUL APPROPRIATION OF GOVT (ARMY RE- SERVE) VEHICLES ON–POST 121 7F3N2 WRONGFUL APPROPRIATION OF GOVT (ARMY RE- SERVE) VEHICLES OFF–POST 121 7F3N3 WRONGFUL APPROPRIATION OF GOVT (ARMY RE- SERVE) VEHICLES TACTICAL WHEELED 121 7F3N4 WRONGFUL APPROPRIATION OF GOVT (ARMY RE- SERVE) VEHICLES TACTICAL TRACK 121 7F3N5 WRONGFUL APPROPRIATION OF GOVT (ARMY RE- SERVE) VEHICLES COMPONENTS 121 7F3N6 WRONGFUL APPROPRIATION OF GOVT (ARMY RE- SERVE) VEHICLES GSA/COMMERCIAL/RENTAL 121 7F4 WRONGFUL DISPOSITION OF GOVERNMENT PROP- ERTY 7F4A WRONGFUL DISPOSITION OF GOVERNMENT PROP- ERTY (NOT PROCUREMENT, PROPERTY DISPOSAL, POL, COMMISSARY PROPERTY, OR MOTOR VEHICLE) 59AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 68 of 149 Table 4–1 Offense code list—Continued Offense code Primary description Article 7F4A1 WRONGFUL DISPOSITION OF GOVERNMENT PROP- ERTY $500 OR OVER/NOT PROCUREMENT, PROP- ERTY DISPOSAL, POL, COMMISSARY, OR MOTOR VE- HICLE 108 7F4A2 WRONGFUL DISPOSITION OF GOVERNMENT PROP- ERTY LESS THAN $500/NOT PROCUREMENT, PROP- ERTY DISPOSAL, POL, COMMISSARY, OR MOTOR VE- HICLE 108 7F4B WRONGFUL DISPOSITION OF GOVT PROPERTY (PROPERTY DISPOSAL) 7F4B1 WRONGFUL DISPOSITION OF GOVT PROPERTY $500 OR OVER/PROPERTY DISPOSAL 108 7F4B2 WRONGFUL DISPOSITION OF GOVT PROPERTY LESS THAN $500/PROPERTY DISPOSAL 108 7F4C WRONGFUL DISPOSITION OF GOVT PROPERTY (PRO- CUREMENT) 7F4C1 WRONGFUL DISPOSITION OF GOVT PROPERTY $500 OR OVER/PROCUREMENT 108 7F4C2 WRONGFUL DISPOSITION OF GOVT PROPERTY LESS THAN $500/PROCUREMENT 108 7F4D WRONGFUL DISPOSITION OF GOVT PROPERTY (POL ITEMS) 7F4D1 WRONGFUL DISPOSITION OF GOVT PROPERTY $500 OR OVER/POL ITEMS 108 7F4D2 WRONGFUL DISPOSITION OF GOVT PROPERTY LESS THAN $500/POL ITEMS 108 7F4E WRONGFUL DISPOSITION OF GOVT PROPERTY (COM- MISSARY PROPERTY) 7F4E1 WRONGFUL DISPOSITION OF GOVT PROPERTY $500 OR OVER/COMMISSARY PROPERTY 108 7F4E2 WRONGFUL DISPOSITION OF GOVT PROPERTY LESS THAN $500/COMMISSARY PROPERTY 108 7F4F WRONGFUL DISPOSITION OF GOVERNMENT VEHI- CLES 7F4F1 WRONGFUL DISPOSITION OF GOVERNMENT VEHICLE $500 OR OVER 108 7F4F2 WRONGFUL DISPOSITION OF GOVERNMENT VEHICLE LESS THAN $500 108 7F4G WRONGFUL DISPOSITION OF GOVERNMENT PROP- ERTY USING A COMPUTER 108 7F5 LARCENY OF NAF PROPERTY 7F5A LARCENY OF NAF PROPERTY OTHER THAN POL & NOT AAFES 7F5A1 LARCENY OF NAF PROPERTY $500 & OVER 121 7F5A2 LARCENY OF NAF PROPERTY LESS THAN $500 121 7F5B LARCENY OF AAFES PROPERTY (NOT INCLUDING POL) 7F5B1 LARCENY OF AAFES PROPERTY $500 & OVER 121 7F5B2 LARCENY OF AAFES PROPERTY LESS THAN $500 121 7F5C LARCENY OF NAF PROPERTY, POL ITEMS 7F5C1 LARCENY OF NAF PROPERTY (POL ITEMS) $500 & OVER 121 60 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 69 of 149 Table 4–1 Offense code list—Continued Offense code Primary description Article 7F5C2 LARCENY OF NAF PROPERTY (POL ITEMS) LESS THAN $500 121 7F5D LARCENY OF NAF PROPERTY - INVOLVING USE OF A COMPUTER 121 7F5E LARCENY OF NON–APPROPRIATED FUNDS 7F5E1 LARCENY OF NON APPROPRIATED FUNDS $500 & OVER 121 7F5E2 LARCENY OF NON APPROPRIATED FUNDS LESS THAN $500 121 7F5E3 LARCENY OF NON APPROPRIATED FUNDS BY CHECK, $500 & OVER 121 7F5E4 LARCENY OF NON APPROPRIATED FUNDS BY CHECK, LESS THAN $500 121 7F5E5 LARCENY OF AAFES $500 & OVER 121 7F5E6 LARCENY OF AAFES FUNDS, LESS THAN $500 121 7F5E7 LARCENY OF AAFES FUNDS BY CHECK, $500 & OVER 121 7F5E8 LARCENY OF AAFES FUNDS BY CHECK, LESS THAN $500 121 7F5F LARCENY OF NAF PROPERTY - INVOLVING USE OF COMPUTER 121 7F6 WRONGFUL APPROPRIATION OF NAF PROPERTY 7F6A WRONGFUL APPROPRIATION OF NAF PROPERTY (NOT INCLUDING POL ITEMS/OTHER THAN AAFES) 7F6A1 WRONGFUL APPROPRIATION OF NAF PROPERTY (NOT INCLUDING POL ITEMS/$500 OR OVER/OTHER THAN AAFES) 121 7F6A2 WRONGFUL APPROPRIATION OF NAF PROPERTY (NOT INCLUDING POL ITEMS/LESS THAN $500/OTHER THAN AAFES) 121 7F6B WRONGFUL APPROPRIATION OF AAFES PROPERTY (NOT INCLUDING POL ITEMS) 7F6B1 WRONGFUL APPROPRIATION OF AAFES PROPERTY NOT INCLUDING POL ITEMS/$500 OR OVER 121 7F6B2 WRONGFUL APPROPRIATION OF AAFES PROPERTY NOT INCLUDING POL ITEMS/LESS THAN $500 121 7F6C WRONGFUL APPROPRIATION OF NAF PROPERTY (POL ITEMS) 7F6C1 WRONGFUL APPROPRIATION OF NAF PROPERTY POL ITEMS/$500 & OVER 121 7F6C2 WRONGFUL APPROPRIATION OF NAF PROPERTY POL ITEMS/LESS THAN $500 121 7F6D WRONGFUL APPROPRIATION OF NAF PROPERTY IN- VOLVING USE OF COMPUTER (USE AS SUPPLEMEN- TAL CODE TO OTHER CODES IN THIS CATEGORY) 121 7F7 WRONGFUL DISPOSITION OF NAF PROPERTY 7F7A WRONGFUL DISPOSITION OF NAF PROPERTY (NOT INCLUDING POL ITEMS/OTHER THAN AAFES) 7F7A1 WRONGFUL DISPOSITION OF NAF PROPERTY (NOT INCLUDING POL ITEMS/$500 OR OVER/OTHER THAN AAFES) 108 7F7A2 WRONGFUL DISPOSITION OF NAF PROPERTY (NOT INCLUDING POL ITEMS/LESS THAN $500/OTHER THAN AAFES) 108 61AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 70 of 149 Table 4–1 Offense code list—Continued Offense code Primary description Article 7F7B WRONGFUL DISPOSITION OF NAF PROPERTY (NOT INCLUDING POL ITEMS/AAFES) 7F7B1 WRONGFUL DISPOSITION OF NAF PROPERTY (NOT INCLUDING POL ITEMS/$500 OR MORE/AAFES) 108 7F7B2 WRONGFUL DISPOSITION OF NAF PROPERTY (NOT INCLUDING POL ITEMS/LESS THAN $500/AAFES) 108 7F7C WRONGFUL DISPOSITION OF NAF PROPERTY (POL ITEMS) 7F7C1 WRONGFUL DISPOSITION OF NAF PROPERTY POL ITEMS/LESS THAN $500 108 7F7C2 WRONGFUL DISPOSITION OF NAF PROPERTY POL ITEMS/$500 & OVER 108 7F7D WRONGFUL DISPOSITION OF NAF PROPERTY INVOLV- ING USE OF COMPUTER (USE AS SUPPLEMENTAL CODE TO OTHER CODES IN THIS CATEGORY) 108 7F8 LARCENY OF GOVERNMENT WEAPONS/MUNITIONS 7F8A LARCENY OF GOVERNMENT WEAPONS 7F8A1 LARCENY OF GOVERNMENT WEAPONS $500 & OVER 121 7F8A2 LARCENY OF GOVERNMENT WEAPONS LESS THAN $500 121 7F8A3 LARCENY OF GOVERNMENT WEAPONS INVOLVING USE OF COMPUTER (USE AS SUPPLEMENTAL CODE TO OTHER CODES IN THIS CATEGORY) 121 7F8B LARCENY OF GOVERNMENT MUNITIONS 7F8B1 LARCENY OF GOVERNMENT MUNITIONS $500 & OVER 121 7F8B2 LARCENY OF GOVERNMENT MUNITIONS LESS THAN $500 121 7F8B3 LARCENY OF GOVERNMENT MUNITIONS INVOLVING USE OF COMPUTER (USE AS SUPPLEMENTAL CODE TO OTHER CODES IN THIS CATEGORY) 121 7F8C LARCENY OF GOVERNMENT WEAPONS MUNITIONS PARTS 7F8C1 LARCENY OF GOVERNMENT WEAPONS/MUNITIONS PARTS $500 & OVER 121 7F8C2 LARCENY OF GOVERNMENT WEAPONS/MUNITIONS PARTS LESS THAN $500 121 7F8C3 LARCENY OF GOVERNMENT WEAPONS/MUNITIONS PARTS INVOLVING USE OF COMPUTER (USE AS SUP- PLEMENTAL CODE TO OTHER CODES IN THIS CATE- GORY) 121 7F9 LARCENY OF GOVERNMENT MOTOR VEHICLES 7F9A LARCENY OF GOVERNMENT MOTOR VEHICLES $500 & OVER 121 7F9B LARCENY OF GOVERNMENT MOTOR VEHICLES LESS THAN $500 121 7F9C LARCENY OF GOVERNMENT MOTOR VEHICLES IN- VOLVING USE OF COMPUTER (USE AS SUPPLEMEN- TAL CODE TO OTHER CODES IN THIS CATEGORY) 121 7F9D LARCENY OF GOVERNMENT (ACTIVE ARMY) AIR- CRAFT 7F9D1 LARCENY OF GOVERNMENT (ACTIVE ARMY) AIR- CRAFT ON–POST 121 62 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 71 of 149 Table 4–1 Offense code list—Continued Offense code Primary description Article 7F9D2 LARCENY OF GOVERNMENT (ACTIVE ARMY) AIR- CRAFT OFF–POST 121 7F9D3 LARCENY OF GOVERNMENT (ACTIVE ARMY) AIR- CRAFT FIXED WING 121 7F9D4 LARCENY OF GOVERNMENT (ACTIVE ARMY) AIR- CRAFT ROTARY 121 7F9D5 LARCENY OF GOVERNMENT (ACTIVE ARMY) AIR- CRAFT COMPONENTS 121 7F9E LARCENY OF GOVERNMENT (NATIONAL GUARD) AIR- CRAFT 7F9E1 LARCENY OF GOVERNMENT (NATIONAL GUARD) AIR- CRAFT ON–POST 121 7F9E2 LARCENY OF GOVERNMENT (NATIONAL GUARD) AIR- CRAFT OFF–POST 121 7F9E3 LARCENY OF GOVERNMENT (NATIONAL GUARD) AIR- CRAFT FIXED WING 121 7F9E4 LARCENY OF GOVERNMENT (NATIONAL GUARD) AIR- CRAFT ROTARY 121 7F9E5 LARCENY OF GOVERNMENT (NATIONAL GUARD) AIR- CRAFT COMPONENTS 121 7F9F LARCENY OF GOVERNMENT (ARMY RESERVE) AIR- CRAFT 7F9F1 LARCENY OF GOVERNMENT (ARMY RESERVE) AIR- CRAFT ON–POST 121 7F9F2 LARCENY OF GOVERNMENT (ARMY RESERVE) AIR- CRAFT OFF–POST 121 7F9F3 LARCENY OF GOVERNMENT (ARMY RESERVE) AIR- CRAFT FIXED WING 121 7F9F4 LARCENY OF GOVERNMENT (ARMY RESERVE) AIR- CRAFT ROTARY 121 7F9F5 LARCENY OF GOVERNMENT (ARMY RESERVE) AIR- CRAFT COMPONENTS 121 7F9G LARCENY OF GOVERNMENT (ACTIVE ARMY) VEHICLE 7F9G1 LARCENY OF GOVERNMENT (ACTIVE ARMY) VEHICLE ON–POST 121 7F9G2 LARCENY OF GOVERNMENT (ACTIVE ARMY) VEHICLE OFF–POST 121 7F9G3 LARCENY OF GOVERNMENT (ACTIVE ARMY) VEHICLE TACTICAL WHEELED 121 7F9G4 LARCENY OF GOVERNMENT (ACTIVE ARMY) VEHICLE TACTICAL TRACKED 121 7F9G5 LARCENY OF GOVERNMENT (ACTIVE ARMY) VEHICLE COMPONENTS 121 7F9G6 LARCENY OF GOVERNMENT (ACTIVE ARMY) VEHICLE GSA/COMMERCIAL/RENTAL 121 7F9H LARCENY OF GOVERNMENT (NATIONAL GUARD) VE- HICLE 7F9H1 LARCENY OF GOVERNMENT (NATIONAL GUARD) VE- HICLE ON–POST 121 7F9H2 LARCENY OF GOVERNMENT (NATIONAL GUARD) VE- HICLE OFF–POST 121 7F9H3 LARCENY OF GOVERNMENT (NATIONAL GUARD) VE- HICLE TACTICAL WHEELED 121 63AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 72 of 149 Table 4–1 Offense code list—Continued Offense code Primary description Article 7F9H4 LARCENY OF GOVERNMENT (NATIONAL GUARD) VE- HICLE TACTICAL TRACKED 121 7F9H5 LARCENY OF GOVERNMENT (NATIONAL GUARD) VE- HICLE COMPONENTS 121 7F9H6 LARCENY OF GOVERNMENT (NATIONAL GUARD) VE- HICLE GSA/COMMERCIAL/RENTAL 121 7F9J LARCENY OF GOVERNMENT (ARMY RESERVE) VEHI- CLE 7F9J1 LARCENY OF GOVERNMENT (ARMY RESERVE) VEHI- CLE ON–POST 121 7F9J2 LARCENY OF GOVERNMENT (ARMY RESERVE) VEHI- CLE OFF–POST 121 7F9J3 LARCENY OF GOVERNMENT (ARMY RESERVE) VEHI- CLE TACTICAL WHEELED 121 7F9J4 LARCENY OF GOVERNMENT (ARMY RESERVE) VEHI- CLE TACTICAL TRACKED 121 7F9J5 LARCENY OF GOVERNMENT (ARMY RESERVE) VEHI- CLE COMPONENTS 121 7F9J6 LARCENY OF GOVERNMENT (ARMY RESERVE) VEHI- CLE GSA/COMMERCIAL/RENTAL 121 7G LARCENY OF PRIVATE PROPERTY/FUNDS 7G1 LARCENY OF PRIVATE PROPERTY 7G1A LARCENY OF PRIVATE PROPERTY (NOT POL ITEMS, OR FUNDS, OR AUTOMOBILE, OR FROM TROOP BIL- LETS) 7G1A1 LARCENY OF PRIVATE PROPERTY $500 & OVER/NOT POL ITEMS, OR FUNDS, OR AUTOMOBILE, OR FROM TROOP BILLETS 121 7G1A2 LARCENY OF PRIVATE PROPERTY LESS THAN $500/ NOT POL ITEMS, OR FUNDS, OR AUTOMOBILE, OR FROM TROOP BILLETS 121 7G1B LARCENY OF PRIVATE PROPERTY (FROM TROOP BIL- LETS/NOT FUNDS OR AUTOMOBILE) 7G1B1 LARCENY OF PRIVATE PROPERTY $500 AND OVER/ FROM TROOP BILLETS/NOT FUNDS OR AUTOMOBILE 121 7G1B2 LARCENY OF PRIVATE PROPERTY (LESS THAN $500/ FROM TROOP BILLETS/NOT FUNDS OR AUTOMOBILE 121 7G1C LARCENY OF PRIVATE PROPERTY (POL ITEMS) 7G1C1 LARCENY OF PRIVATE PROPERTY $500 OR MORE/POL ITEMS 121 7G1C2 LARCENY OF PRIVATE PROPERTY LESS THAN $500/ POL ITEMS 121 7G1D LARCENY OF PRIVATE PROPERTY INVOLVING USE OF COMPUTER (USE AS SUPPLEMENTAL CODE TO OTHER CODES IN THIS CATEGORY) 121 7G2 LARCENY OF PRIVATE FUNDS 7G2A LARCENY OF PRIVATE FUNDS (NOT CHECKS OR FROM TROOP BILLETS) 7G2A1 LARCENY OF PRIVATE FUNDS $500 & OVER/NOT CHE- CKS OR FROM BILLETS 121 7G2A2 LARCENY OF PRIVATE FUNDS LESS THAN $500//NOT CHECKS OR FROM BILLETS 121 64 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 73 of 149 Table 4–1 Offense code list—Continued Offense code Primary description Article 7G2B LARCENY OF PRIVATE FUNDS (FROM TROOP BIL- LETS/NOT CHECKS) 7G2B1 LARCENY OF PRIVATE FUNDS $500 & OVER/FROM TROOP BILLETS/NOT CHECKS 121 7G2B2 LARCENY OF PRIVATE FUNDS LESS THAN $500/FROM TROOP BILLETS/NOT CHECKS 121 7G2C LARCENY OF PRIVATE FUNDS INVOLVING USE OF COMPUTER (USE AS SUPPLEMENTAL CODE TO OTHER CODES IN THIS CATEGORY) 121 7G3 LARCENY OF PRIVATE MOTOR VEHICLE 7G3A LARCENY OF PRIVATE AUTOMOBILE, TRUCK, VAN, BOAT, OR AIRCRAFT ($500 & OVER) 121 7G3B LARCENY OF PRIVATE AUTOMOBILE, TRUCK, VAN, BOAT, OR AIRCRAFT (LESS THAN $500) 121 7G3C LARCENY OF PRIVATE MOTORCYCLE, MOTOR SCOOTER, OR MOPED ($500 & OVER) 121 7G3D LARCENY OF PRIVATE MOTORCYCLE, MOTOR SCOOTER, MOPED (LESS THAN $500) 121 7G3E LARCENY OF PRIVATE MOTOR VEHICLE INVOLVING USE OF COMPUTER (USE AS SUPPLEMENTAL CODE TO OTHER CODES IN THIS CATEGORY) 121 7G4 LARCENY OF PRIVATE FUNDS BY MEANS OF CHECK/ MAKING AND UTTERING A WORTHLESS CHECK 7G4A LARCENY OF PRIVATE FUNDS BY MEANS OF CHECK/ MAKING AND UTTERING A WORTHLESS CHECK $500 & OVER 121 7G4B LARCENY OF PRIVATE FUNDS BY MEANS OF CHECK/ MAKING AND UTTERING A WORTHLESS CHECK LESS THAN $500 121 7G4C LARCENY OF PRIVATE FUNDS BY MEANS OF CHECK/ MAKING AND UTTERING A WORTHLESS CHECK IN- VOLVING USE OF COMPUTER (USE AS SUPPLEMEN- TAL CODE TO OTHER CODES IN THIS CATEGORY) 121 7G5 WRONGFUL APPROPRIATION OF PRIVATE PROPERTY 7G5A WRONGFUL APPROPRIATION OF PRIVATE PROPERTY (NOT POL ITEMS AND NOT FROM TROOP BILLETS) 7G5A1 WRONGFUL APPROPRIATION OF PRIVATE PROPERTY $500 & OVER/NOT POL ITEMS AND NOT FROM TROOP BILLETS 121 7G5A2 WRONGFUL APPROPRIATION OF PRIVATE PROPERTY LESS THAN $500/NOT POL ITEMS AND NOT FROM TROOP BILLETS 121 7G5B WRONGFUL APPROPRIATION OF PRIVATE PROPERTY (FROM TROOP BILLETS) 7G5B1 WRONGFUL APPROPRIATION OF PRIVATE PROPERTY $500 & OVER FROM TROOP BILLETS 121 7G5B2 WRONGFUL APPROPRIATION OF PRIVATE PROPERTY LESS THAN $500 FROM TROOP BILLETS 121 7G5C WRONGFUL APPROPRIATION OF PRIVATE PROPERTY (POL ITEMS) 7G5C1 WRONGFUL APPROPRIATION OF PRIVATE PROPERTY (POL ITEMS) $500 & OVER 121 7G5C2 WRONGFUL APPROPRIATION OF PRIVATE PROPERTY (POL ITEMS) LESS THAN $500 121 65AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 74 of 149 Table 4–1 Offense code list—Continued Offense code Primary description Article 7G5D WRONGFUL APPROPRIATION OF PRIVATE PROPERTY INVOLVING USE OF COMPUTER (USE AS A SUPPLE- MENTAL CODE TO OTHER CODES IN THIS CATEGO- RY) 121 7G6 WRONGFUL APPROPRIATION OF PRIVATE MOTOR VE- HICLE 7G6A WRONGFUL APPROPRIATION OF PRIVATE AUTOMO- BILE, TRUCK, VAN, BOAT, OR AIRCRAFT ($500 & OVER) 121 7G6B WRONGFUL APPROPRIATION OF PRIVATE AUTOMO- BILE, TRUCK, VAN, BOAT, OR AIRCRAFT (LESS THAN $500) 121 7G6C WRONGFUL APPROPRIATION OF PRIVATE MOTORCY- CLE, MOTOR SCOOTER, MOPED ($500 & OVER) 121 7G6D WRONGFUL APPROPRIATION OF PRIVATE MOTORCY- CLE, MOTOR SCOOTER, MOPED (LESS THAN $500) 121 7G6E WRONGFUL APPROPRIATION OF PRIVATE MOTOR VE- HICLE INVOLVING USE OF COMPUTER (USE AS SUP- PLEMENTAL CODE TO OTHER CODES IN THIS CATE- GORY) 121 7G7 WRONGFUL DISPOSITION OF PRIVATE PROPERTY 7G7A WRONGFUL DISPOSITION OF PRIVATE PROPERTY (NOT FROM TROOP BILLETS) 7G7A1 WRONGFUL DISPOSITION OF PRIVATE PROPERTY $500 & OVER/NOT FROM TROOP BILLETS 109 7G7A2 WRONGFUL DISPOSITION OF PRIVATE PROPERTY LESS THAN $500/NOT FROM TROOP BILLETS 109 7G7B WRONGFUL DISPOSITION OF PRIVATE PROPERTY (FROM TROOP BILLETS) 7G7B1 WRONGFUL DISPOSITION OF PRIVATE PROPERTY FROM TROOP BILLETS/$500 AND OVER 109 7G7B2 WRONGFUL DISPOSITION OF PRIVATE PROPERTY FROM TROOP BILLETS/LESS THAN $500 109 7G7C WRONGFUL DISPOSITION INVOLVING USE OF COM- PUTER (USE AS SUPPLEMENTAL CODE TO OTHER CODES IN THIS CATEGORY) 109 7H POSTAL VIOLATIONS 7H1 LARCENY OF OR FROM THE U.S. MAIL 134 7H2 OBSTRUCTING OR SECRETING U.S. MAIL 134 7H3 DESTRUCTION OF U.S. MAIL 134 7H4 DEPOSITING PROHIBITED MATTER IN U.S. MAIL 134 7H5 OTHER POSTAL VIOLATIONS 134 7H6 MAIL FRAUDS 7H6A OTHER POSTAL VIOLATIONS NOT INVOLVING MAIL FRAUD OF FINANCE, COMMISSARY, PROCUREMENT, AAFES, PDO, OR NAF ACTIVITY 134 7H6B MAIL FRAUDS OF A FINANCE ACTIVITY 132 7H6C MAIL FRAUDS OF A PERSONNEL ACTIVITY 132 7H6D MAIL FRAUDS OF A COMMISSARY ACTIVITY 132 7H6E MAIL FRAUDS OF A PROCUREMENT ACTIVITY 132 7H6F MAIL FRAUDS OF AN AAFES ACTIVITY 132 7H6G MAIL FRAUDS OF A NAF INSTRUMENTALITY 132 66 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 75 of 149 Table 4–1 Offense code list—Continued Offense code Primary description Article 7H6H MAIL FRAUDS OF A PROPERTY DISPOSAL ACTIVITY 132 7H7 U.S. MAIL: DESTROY/STEAL/TAKE/OPEN 134 7H8 U.S. MAIL: DEPOSIT OBSCENITY 134 7H9 U.S. MAIL: ALL OTHER 134 7J WRONGFUL DESTRUCTION 7J1 WRONGFUL DESTRUCTION OF GOVERNMENT PROP- ERTY (NOT PAY AND ALLOWANCE DOCUMENTS OR COMMISSARY PROPERTY 7J1A WRONGFUL DESTRUCTION OF GOVT PROPERTY (AC- TIVE ARMY) AIRCRAFT ON–POST 108 7J1A1 WRONGFUL DESTRUCTION OF GOVT PROPERTY (AC- TIVE ARMY) AIRCRAFT OFF–POST 108 7J1A2 WRONGFUL DESTRUCTION OF GOVT PROPERTY (AC- TIVE ARMY) AIRCRAFT FIXED WING 108 7J1A3 WRONGFUL DESTRUCTION OF GOVT PROPERTY (AC- TIVE ARMY) AIRCRAFT ROTARY 108 7J1A4 WRONGFUL DESTRUCTION OF GOVT PROPERTY (AC- TIVE ARMY) AIRCRAFT COMPONENTS 108 7J1B WRONGFUL DESTRUCTION OF GOVT PROPERTY (NATL GUARD) AIRCRAFT ON–POST 108 7J1B1 WRONGFUL DESTRUCTION OF GOVT PROPERTY (NATL GUARD) AIRCRAFT OFF–POST 108 7J1B2 WRONGFUL DESTRUCTION OF GOVT PROPERTY (NATL GUARD) AIRCRAFT FIXED WING 108 7J1B3 WRONGFUL DESTRUCTION OF GOVT PROPERTY (NATL GUARD) AIRCRAFT ROTARY 108 7J1B4 WRONGFUL DESTRUCTION OF GOVT PROPERTY (NATL GUARD) AIRCRAFT COMPONENTS 108 7J1C WRONGFUL DESTRUCTION OF GOVT PROPERTY (AR- MY RESERVE) AIRCRAFT ON–POST 108 7J1C1 WRONGFUL DESTRUCTION OF GOVT PROPERTY (AR- MY RESERVE) AIRCRAFT OFF–POST 108 7J1C2 WRONGFUL DESTRUCTION OF GOVT PROPERTY (AR- MY RESERVE) AIRCRAFT FIXED WING 108 7J1C3 WRONGFUL DESTRUCTION OF GOVT PROPERTY (AR- MY RESERVE) AIRCRAFT ROTARY 108 7J1C4 WRONGFUL DESTRUCTION OF GOVT PROPERTY (AR- MY RESERVE) AIRCRAFT COMPONENTS 108 7J1D WRONGFUL DESTRUCTION OF GOVT PROPERTY (AC- TIVE ARMY) VEHICLE ON–POST 108 7J1D1 WRONGFUL DESTRUCTION OF GOVT PROPERTY (AC- TIVE ARMY) VEHICLE OFF–POST 108 7J1D2 WRONGFUL DESTRUCTION OF GOVT PROPERTY (AC- TIVE ARMY) VEHICLE TACTICAL WHEELED 108 7J1D3 WRONGFUL DESTRUCTION OF GOVT PROPERTY (AC- TIVE ARMY) VEHICLE TACTICAL TRACKED 108 7J1D4 WRONGFUL DESTRUCTION OF GOVT PROPERTY (AC- TIVE ARMY) VEHICLE GSA/COMMERCIAL/RENTAL 108 7J1D5 WRONGFUL DESTRUCTION OF GOVT PROPERTY (AC- TIVE ARMY) VEHICLE COMPONENTS 108 7J1E WRONGFUL DESTRUCTION OF GOVT PROPERTY (NATL GUARD) VEHICLE ON–POST 108 67AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 76 of 149 Table 4–1 Offense code list—Continued Offense code Primary description Article 7J1E1 WRONGFUL DESTRUCTION OF GOVT PROPERTY (NATL GUARD) VEHICLE OFF–POST 108 7J1E2 WRONGFUL DESTRUCTION OF GOVT PROPERTY (NATL GUARD) VEHICLE TACTICAL WHEELED 108 7J1E3 WRONGFUL DESTRUCTION OF GOVT PROPERTY (NATL GUARD) VEHICLE TACTICAL TRACKED 108 7J1E4 WRONGFUL DESTRUCTION OF GOVT PROPERTY (NA- TIONAL GUARD) VEHICLE GSA/COMMERCIAL/RENTAL 108 7J1E5 WRONGFUL DESTRUCTION OF GOVT PROPERTY (NATL GUARD) VEHICLE COMPONENTS 108 7J1F WRONGFUL DESTRUCTION OF GOVT PROPERTY (AR- MY RESERVE) VEHICLE ON–POST 108 7J1F1 WRONGFUL DESTRUCTION OF GOVT PROPERTY (AR- MY RESERVE) VEHICLE OFF–POST 108 7J1F2 WRONGFUL DESTRUCTION OF GOVT PROPERTY (AR- MY RESERVE) VEHICLE TACTICAL WHEELED 108 7J1F3 WRONGFUL DESTRUCTION OF GOVT PROPERTY (AR- MY RESERVE) VEHICLE TACTICAL TRACKED 108 7J1F4 WRONGFUL DESTRUCTION OF GOVT PROPERTY (AR- MY RESERVE) VEHICLE GSA/COMMERCIAL/RENTAL 108 7J1F5 WRONGFUL DESTRUCTION OF GOVT PROPERTY (AR- MY RESERVE) VEHICLE COMPONENTS 108 7J2 WRONGFUL DAMAGING OF GOVERNMENT PROPERTY NOT COMMISSARY PROPERTY 108 7J3 LOSS OF GOVERNMENT PROPERTY THROUGH NEG- LECT 108 7J4 WRONGFUL DESTRUCTION OF PRIVATE PROPERTY 109 7J5 WRONGFUL DAMAGING OF PRIVATE PROPERTY 109 7J6 WRONGFUL DESTRUCTION OF PAY & ALLOWANCE DOCUMENTS 108 7J7 WRONGFUL DESTRUCTION OF COMMISSARY PROP- ERTY 108 7J8 WRONGFUL DAMAGING OF COMMISSARY PROPERTY 108 7K RECEIVING STOLEN PROPERTY 7K1 RECEIVING STOLEN PROPERTY OTHER THAN POL OR DOCUMENTS, PROCUREMENT PROPERTY, PROP- ERTY DISPOSAL ITEMS, ITEMS, PAY DOCUMENTS, NAF, OR COMMISSARY PROPERTY 134 7K2 RECEIVING STOLEN PROPERTY/PROPERTY DISPOSAL 134 7K3 RECEIVING STOLEN PROPERTY PROCUREMENT 134 7K4 RECEIVING STOLEN PROPERTY POL ITEMS 134 7K5 RECEIVING STOLEN PROPERTY POL RATION DOCU- MENTS 134 7K6 RECEIVING STOLEN PROPERTY PAY AND ALLOW- ANCE DOCUMENTS 134 7K7 RECEIVING STOLEN PROPERTY NAF PROPERTY 134 7K8 RECEIVING STOLEN PROPERTY COMMISSARY PROP- ERTY OR ITEMS 134 7K9 RECEIVING STOLEN PROPERTY INVOLVING THE USE OF COMPUTER (USE AS A SUPPLEMENTAL CODE TO OTHER CODES IN THIS CATEGORY) 134 7L FAILURE TO PAY JUST DEBT 134 68 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 77 of 149 Table 4–1 Offense code list—Continued Offense code Primary description Article 7M REGISTRATION VIOLATIONS 7M1 REGISTRATION VIOLATIONS VEHICLE 134 7M2 REGISTRATION VIOLATIONS FISH/GAME 134 7M3 REGISTRATION VIOLATIONS OTHER 134 7N ENVIRONMENTAL VIOLATIONS 7N1 VIOLATION OF TOXIC SUBSTANCE ACT (15 USC 2605 SEC 6) 134 7N2 VIOLATION OF OSHA ASBESTOS ACT (29 USC 655/40 USC 3704) 134 7N3 VIOLATION OF WATER POLLUTION CONTROL ACT (33 USC 1251–1387) 134 7N4 VIOLATION OF SAFE DRINKING WATER (42 USC 300 SEC J–6) 134 7N5 VIOLATION OF NATIONAL ENVIRONMENTAL PROTEC- TION ACT (42 USC 4321–4370A) 134 7N6 VIOLATION OF HAZARDOUS WASTE CONTROL ACT (42 USC 6901–6991L) 134 7N7 VIOLATION OF MEDICAL WASTE TRACKING (42 USC 6901) 134 7N8 VIOLATION OF CLEAN AIR ACT (42 USC 7401–7626/ 7418) 134 7N9 VIOLATION OF COMPREHENSIVE ENVIRONMENTAL RESPONSE ACT 134 7Q CAPTURED OR ABANDONED PROPERTY 7Q1 WASTE OR SPOIL CAPTURED OR ABANDONED NON- MILITARY PROPERTY 109 7Q2 FAIL TO SECURE CAPTURED OR ABANDONED PROP- ERTY 103 7Q3 FAIL TO REPORT/TURN OVER CAPTURED OR ABAN- DONED PROPERTY 103 7Q4 DEALING IN CAPTURED OR ABANDONED PROPERTY 103 7R FAILURE TO PREVENT SEIZURE OF CAPTURED OR ABANDONED PROPERTY 103 7X OTHER CRIMES AGAINST PROPERTY 7X1 SHOPLIFTING 121 7X2 CONSPIRACY TO COMMIT OTHER CRIMES AGAINST PROPERTY 134 7X3 SOLICITATION TO COMMIT OTHER CRIMES AGAINST PROPERTY 134 7X4 ACCESSORY BEFORE THE FACT TO COMMIT OTHER CRIMES AGAINST PROPERTY 77 7X5 ACCESSORY AFTER THE FACT TO COMMIT OTHER CRIMES AGAINST PROPERTY 78 7X6 OBSTRUCTION OF JUSTICE 134 8 FRAUD CRIMES 8A BRIBERY 8A1 BRIBERY (OTHER THAN PROCUREMENT, PROPERTY DISPOSAL, PAY AND ALLOWANCE, AND COMMISSARY MATTERS 8A2 BRIBERY (PROPERTY DISPOSAL) 134 69AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 78 of 149 Table 4–1 Offense code list—Continued Offense code Primary description Article 8A3A BRIBERY (PROCUREMENT/REGARDING CONTRACT PROGRESS PAYMENTS) 134 8A3B BRIBERY (PROCUREMENT/REGARDING REQUEST FOR PROPOSAL OR INVITATION FOR BID) 134 8A3C BRIBERY (PROCUREMENT/REGARDING COST AND PRICE DATA) 134 8A3D BRIBERY (PROCUREMENT/REGARDING CONTRACT NEGOTIATIONS) 134 8A3E BRIBERY (PROCUREMENT/REGARDING DEFECTIVE MATERIALS) 134 8A3F BRIBERY (PROCUREMENT/REGARDING RELEASE OF PROPRIETARY INFORMATION) 134 8A4 BRIBERY (PAY AND ALLOWANCE MATTERS) 134 8A5 BRIBERY (COMMISSARY MATTERS) 134 8A6 BRIBERY INVOLVING USE OF A COMPUTER (USE AS SUPPLEMENTAL CODE TO OTHER CODES IN THIS CATEGORY) 134 8A7 GRAFT 134 8B CONFLICT OF INTEREST 8B1 CONFLICT OF INTEREST (OTHER THAN PROCURE- MENT, PROPERTY DISPOSAL, OR COMMISSARY MAT- TERS) 134 8B2 CONFLICT OF INTEREST (PROPERTY DISPOSAL) 134 8B3 CONFLICT OF INTEREST (PROCUREMENT) 134 8B3A CONFLICT OF INTEREST REGARDING CONTRACT PROGRESS PAYMENTS 134 8B3B CONFLICT OF INTEREST REGARDING REQUEST FOR PROPOSAL OR INVITATION FOR BID 134 8B3C CONFLICT OF INTEREST REGARDING COST AND PRICE DATA 134 8B3D CONFLICT OF INTEREST REGARDING CONTRACT NE- GOTIATIONS 134 8B3E CONFLICT OF INTEREST REGARDING DEFECTIVE MATERIALS 134 8B3F CONFLICT OF INTEREST REGARDING RELEASE OF PROPRIETARY INFORMATION 134 8B4 CONFLICT OF INTEREST (COMMISSARY) 134 8B5 CONFLICT OF INTEREST INVOLVING USE OF A COM- PUTER (USE AS A SUPPLEMENTAL CODE TO OTHER OFFENSE CODES IN THIS CATEGORY) 134 8C DEPENDENCY ASSISTANCE FRAUD 8C1 DEPENDENCY ASSISTANCE FRAUD INVOLVING FAM- ILY MEMBER ASSISTANCE 134 8C2 DEPENDENCY ASSISTANCE FRAUD INVOLVING USE OF A COMPUTER (USE AS SUPPLEMENTAL CODE TO OTHER CODES IN THIS CATEGORY) 134 8D PERSONNEL ACTION FRAUD 8D1 PERSONNEL ACTION FRAUD EFFECTING UNLAWFUL ENLISTMENT 84 8D2 PERSONNEL ACTION FRAUD EFFECTING UNLAWFUL SEPARATION 84 70 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 79 of 149 Table 4–1 Offense code list—Continued Offense code Primary description Article 8D3 PERSONNEL ACTION FRAUD EFFECTING UNLAWFUL APPOINTMENT 84 8D4 PERSONNEL ACTION FRAUD EFFECTING ASSIGN- MENT/TRANSFER 84 8D5 PERSONNEL ACTION FRAUD EFFECTING CIVILIAN PERSONNEL ACTIONS (EXCLUDING COMMISSARY CI- VILIAN EMPLOYEES) 132 8D6 PERSONNEL ACTION FRAUD AFFECTING COMMIS- SARY EMPLOYEES AND ASSIGNED MILITARY PER- SONNEL 8D6A PERSONNEL ACTION FRAUD AFFECTING CIVIL SERV- ICE PERSONNEL 132 8D6B PERSONNEL ACTION FRAUD AFFECTING MILITARY PERSONNEL 132 8D6C PERSONNEL ACTION FRAUD AFFECTING COMMIS- SARY CONTRACT PERSONNEL 132 8D6D PERSONNEL ACTION FRAUD AFFECTING CIVILIAN BAG BOYS/GIRLS 132 8D7 PERSONNEL ACTION FRAUD INVOLVING USE OF A COMPUTER (USE AS SUPPLEMENTAL CODE TO OTHER CODES IN THIS CATEGORY) 132 8D8 FRAUDULENT ENLISTMENT, APPOINTMENT, OR SEPA- RATION 8D8A FRAUDULENT ENLISTMENT OR APPOINTMENT 83 8D8B FRAUDULENT SEPERATION 83 8E NAF FRAUD 8E1 NAF FRAUD INVOLVING OFFICERS’ OPEN MESS 132 8E2 NAF FRAUD INVOLVING NCO OPEN MESS 132 8E3 NAF FRAUD INVOLVING EM OPEN MESS 132 8E4 NAF FRAUD INVOLVING ROD & GUN CLUB 132 8E5 NAF FRAUD INVOLVING AAFES FACILITY 132 8E6 NAF FRAUD INVOLVING CENTRAL POST FUNDS 132 8E7 NAF FRAUD INVOLVING OTHER NAF ACTIVITY 132 8E8 NAF FRAUD INVOLVING USE OF A COMPUTER (USE AS SUPPLEMENTAL CODE TO OTHER CODES IN THIS CATEGORY) 132 8F PAY & ALLOWANCE FRAUD 8F1 COLLECTING UNAUTHORIZED TRAVEL PAY FOR FAM- ILY MEMBERS 132 8F2 COLLECTING DUPLICATE TRAVEL PAY 132 8F3 FRAUD INVOLVING TDY PAY 132 8F4 FRAUD INVOLVING PAY OTHER THAN TRAVEL OR TDY (MILITARY/CIVILIAN) 8F4A FRAUD INVOLVING BASE PAY (MILITARY/CIVILIAN) 132 8F4B FRAUD INVOLVING QUARTERS, SUBSISTENCE AND COST OF LIVING ALLOWANCE (NOT INVOLVING USE OF A COMPUTER) 132 8F4C FRAUD INVOLVING ENLISTMENT/REENLISTMENT BO- NUS 132 8F4D FRAUD INVOLVING HOUSEHOLD GOODS MOVEMENT 132 71AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 80 of 149 Table 4–1 Offense code list—Continued Offense code Primary description Article 8F5 FRAUD INVOLVING OTHER PAY & ALLOWANCE MAT- TERS 132 8F6 FRAUD PERTAINING TO PAY AND ALLOWANCE MAT- TERS INVOLVING USE OF A COMPUTER (USE AS SUP- PLEMENTAL CODE TO OFFENSE CODES IN THIS CAT- EGORY) 132 8G PROCUREMENT, SALVAGE, PROPERTY DISPOSAL FRAUD 8G1 PROCUREMENT FRAUD 132 8G2 SALVAGE/PROPERTY DISPOSAL FRAUD 8G2A SALVAGE/PROPERTY DISPOSAL FRAUD INVOLVING A PRIME CONTRACTOR 132 8G2B SALVAGE/PROPERTY DISPOSAL FRAUD INVOLVING A SUBCONTRACTOR 132 8G3 FRAUDS PERTAINING TO PROCUREMENT, SALVAGE, PROPERTY DISPOSAL MATTERS INVOLVING USE OF A COMPUTER (USE AS SUPPLEMENTAL CODE TO OTHER CODES IN THIS CATEGORY) 132 8H FRAUD INVOLVING POL ITEMS AND/OR POL RATION DOCUMENTS 8H1 FRAUD INVOLVING POL ITEMS (NOT RATION DOCU- MENTS) 132 8H2 FRAUD INVOLVING POL RATION DOCUMENTS 132 8H3 FRAUD INVOLVING POL ITEMS/RATION DOCUMENTS (INVOLVING USE OF A COMPUTER) 132 8J FRAUD PERTAINING TO MEDICAL TREATMENT 132 8K ANTITRUST VIOLATIONS 8K1 ANTITRUST VIOLATIONS NOT INVOLVING CONTRAC- TORS ASSOCIATED WITH A COMMISSARY, PROPERTY DISPOSAL ACTIVITY, OR NAF INSTRUMENTALITY 132 8K2 ANTITRUST VIOLATIONS INVOLVING COMMISSARY CONTRACTORS 132 8K3 ANTITRUST VIOLATIONS INVOLVING PROCUREMENT CONTRACTORS 132 8K4 ANTITRUST VIOLATIONS INVOLVING AAFES CON- TRACTORS 132 8K5 ANTITRUST VIOLATIONS INVOLVING NAF CONTRAC- TORS 132 8K6 ANTITRUST VIOLATIONS INVOLVING PROPERTY DIS- POSAL CONTRACTORS 132 8L WIRE FRAUD 8L1 WIRE FRAUD NOT INVOLVING A COMMISSARY, PRO- CUREMENT, AAFES, PROPERTY DISPOSAL ACTIVITY, OR NAF INSTRUMENTALITY 132 8L1A WIRE FRAUD NOT INVOLVING A COMMISSARY, PRO- CUREMENT, AAFES, PROPERTY DISPOSAL ACTIVITY, OR NAF INSTRUMENTALITY WHICH INVOLVES A RE- QUEST FOR CONTRACT PROGRESS PAYMENT 132 8L1B WIRE FRAUD NOT INVOLVING A COMMISSARY, PRO- CUREMENT, AAFES, PROPERTY DISPOSAL ACTIVITY, OR NAF INSTRUMENTALITY WHICH INVOLVES A RE- QUEST FOR BID INFORMATION 132 72 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 81 of 149 Table 4–1 Offense code list—Continued Offense code Primary description Article 8L1C WIRE FRAUD NOT INVOLVING A COMMISSARY, PRO- CUREMENT, AAFES, PROPERTY DISPOSAL ACTIVITY, OR NAF INSTRUMENTALITY WHICH INVOLVES DIS- CLOSURE OF PRICE AND COST DATA 132 8L1D WIRE FRAUD NOT INVOLVING A COMMISSARY, PRO- CUREMENT, AAFES, PROPERTY DISPOSAL ACTIVITY, OR NAF INSTRUMENTALITY WHICH INVOLVES CON- TRACT NEGOTIATIONS 132 8L1E WIRE FRAUD NOT INVOLVING A COMMISSARY, PRO- CUREMENT, AAFES, PROPERTY DISPOSAL ACTIVITY, OR NAF INSTRUMENTALITY WHICH INVOLVES THE USAGE OF DEFECTIVE MATERIALS 132 8L1F WIRE FRAUD NOT INVOLVING A COMMISSARY, PRO- CUREMENT, AAFES, PROPERTY DISPOSAL ACTIVITY, OR NAF INSTRUMENTALITY WHICH INVOLVES THE RELEASE OF PROPRIETARY INFORMATION 132 8L2 WIRE FRAUD INVOLVING A COMMISSARY ACTIVITY 8L2A WIRE FRAUD INVOLVING A COMMISSARY ACTIVITY WHICH INVOLVES A REQUEST FOR CONTRACT PROG- RESS PAYMENTS 132 8L2B WIRE FRAUD INVOLVING A COMMISSARY ACTIVITY WHICH INVOLVES A REQUEST FOR PROPOSAL OR IN- VITATION FOR BID INFORMATION 132 8L2C WIRE FRAUD INVOLVING A COMMISSARY ACTIVITY WHICH INVOLVES DISCLOSURE OF COST AND PRICE DATA 132 8L2D WIRE FRAUD INVOLVING A COMMISSARY ACTIVITY WHICH INVOLVES CONTRACT NEGOTIATIONS 132 8L2E WIRE FRAUD INVOLVING A COMMISSARY ACTIVITY WHICH INVOLVES THE USAGE OF DEFECTIVE MATERIALS 132 8L2F WIRE FRAUD INVOLVING A COMMISSARY ACTIVITY WHICH INVOLVES THE RELEASE OF PROPRIETARY IN- FORMATION 132 8L3 WIRE FRAUD INVOLVING A PROCUREMENT ACTIVITY 8L3A WIRE FRAUD INVOLVING A PROCUREMENT ACTIVITY WHICH INVOLVES A REQUEST FOR CONTRACT PROG- RESS PAYMENTS 132 8L3B WIRE FRAUD INVOLVING A PROCUREMENT ACTIVITY WHICH INVOLVES A REQUEST FOR PROPOSAL OR IN- VITATION FOR BID INFORMATION 132 8L3C WIRE FRAUD INVOLVING A PROCUREMENT ACTIVITY WHICH INVOLVES DISCLOSURE OF COST AND PRICE DATA 132 8L3D WIRE FRAUD INVOLVING A PROCUREMENT ACTIVITY WHICH INVOLVES CONTRACT NEGOTIATIONS 132 8L3E WIRE FRAUD INVOLVING A PROCUREMENT ACTIVITY WHICH INVOLVES THE USAGE OF DEFECTIVE MATERIALS 132 8L3F WIRE FRAUD INVOLVING A PROCUREMENT ACTIVITY WHICH INVOLVES THE RELEASE OF PROPRIETARY IN- FORMATION 132 8L4 WIRE FRAUD INVOLVING AN AAFES ACTIVITY 8L4A WIRE FRAUD INVOLVING AN AAFES ACTIVITY WHICH INVOLVES A REQUEST FOR CONTRACT PROGRESS PAYMENTS 132 73AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 82 of 149 Table 4–1 Offense code list—Continued Offense code Primary description Article 8L4B WIRE FRAUD INVOLVING AN AAFES ACTIVITY WHICH INVOLVES A REQUEST FOR PROPOSAL OR INVITA- TION FOR BID INFORMATION 132 8L4C WIRE FRAUD INVOLVING AN AAFES ACTIVITY WHICH INVOLVES DISCLOSURE OF COST AND PRICE DATA 132 8L4D WIRE FRAUD INVOLVING AN AAFES ACTIVITY WHICH INVOLVES CONTRACT NEGOTIATIONS 132 8L4E WIRE FRAUD INVOLVING AN AAFES ACTIVITY WHICH INVOLVES THE USAGE OF DEFECTIVE MATERIALS 132 8L4F WIRE FRAUD INVOLVING AN AAFES ACTIVITY WHICH INVOLVES THE RELEASE OF PROPRIETARY INFORMA- TION 32 8L5 WIRE FRAUD INVOLVING A NAF INSTRUMENTALITY 8L5A WIRE FRAUD INVOLVING A NAF INSTRUMENTALITY WHICH INVOLVES A REQUEST FOR CONTRACT PROG- RESS PAYMENTS 132 8L5B WIRE FRAUD INVOLVING A NAF INSTRUMENTALITY WHICH INVOLVES A REQUEST FOR PROPOSAL OR IN- VITATION FOR BID INFORMATION 132 8L5C WIRE FRAUD INVOLVING A NAF INSTRUMENTALITY WHICH INVOLVES DISCLOSURE OF COST AND PRICE DATA 132 8L5D WIRE FRAUD INVOLVING A NAF INSTRUMENTALITY WHICH INVOLVES CONTRACT NEGOTIATIONS 132 8L5E WIRE FRAUD INVOLVING A NAF INSTRUMENTALITY WHICH INVOLVES THE USAGE OF DEFECTIVE MATERIALS 132 8L5F WIRE FRAUD INVOLVING A NAF INSTRUMENTALITY WHICH INVOLVES THE RELEASE OF PROPRIETARY IN- FORMATION 132 8L6 WIRE FRAUD INVOLVING A PROPERTY DISPOSAL AC- TIVITY 8L6A WIRE FRAUD INVOLVING A PROPERTY DISPOSAL AC- TIVITY WHICH INVOLVES A REQUEST FOR CONTRACT PROGRESS PAYMENTS 132 8L6B WIRE FRAUD INVOLVING A PROPERTY DISPOSAL AC- TIVITY WHICH INVOLVES A REQUEST FOR PROPOSAL OR INVITATION FOR BID INFORMATION 132 8L6C WIRE FRAUD INVOLVING A PROPERTY DISPOSAL AC- TIVITY WHICH INVOLVES DISCLOSURE OF COST AND PRICE DATA 132 8L6D WIRE FRAUD INVOLVING A PROPERTY DISPOSAL AC- TIVITY WHICH INVOLVES CONTRACT NEGOTIATIONS 132 8L6E WIRE FRAUD INVOLVING A PROPERTY DISPOSAL AC- TIVITY WHICH INVOLVES THE USAGE OF DEFECTIVE MATERIALS 132 8L6F WIRE FRAUD INVOLVING A PROPERTY DISPOSAL AC- TIVITY WHICH INVOLVES THE RELEASE OF PROPRIE- TARY INFORMATION 132 8L7 MAIL FRAUDS 8M PROCUREMENT FRAUD 8M1 PROCUREMENT FRAUD INVOLVING PRODUCT SUB- STITUTION 8M1A PROCUREMENT FRAUD: PRODUCT SUBSTITUTION IN- VOLVING CIVIL WORKS PROJECTS 132 74 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 83 of 149 Table 4–1 Offense code list—Continued Offense code Primary description Article 8M1B PROCUREMENT FRAUD: PRODUCT SUBSTITUTION IN- VOLVING MILITARY CONSTRUCTION PROJECTS 132 8M1C PROCUREMENT FRAUD: PRODUCT SUBSTITUTION IN- VOLVING MAINTENANCE 132 8M1D PROCUREMENT FRAUD INVOLVING PRODUCT SUB- STITUTION OF AVIATION COMPONENTS 8M1D1 PROCUREMENT FRAUD: PRODUCT SUBSTITUTION IN- VOLVING TACTICAL AVIATION COMPONENTS 132 8M1D2 PROCUREMENT FRAUD: PRODUCT SUBSTITUTION IN- VOLVING NON–TACTICAL AVIATION COMPONENTS 132 8M1E PROCUREMENT FRAUD INVOLVING PRODUCT SUB- STITUTION IN VEHICLES 8M1E1 PROCUREMENT FRAUD: PRODUCT SUBSTITUTION IN- VOLVING TACTICAL VEHICLES 132 8M1E2 PROCUREMENT FRAUD: PRODUCT SUBSTITUTION IN- VOLVING NON–TACTICAL VEHICLES 132 8M1E3 PROCUREMENT FRAUD: PRODUCT SUBSTITUTION IN- VOLVING ARMORED VEHICLES 132 8M1F PROCUREMENT FRAUD INVOLVING PRODUCT SUB- STITUTION IN A MISSILE SYSTEM 132 8M1G PROCUREMENT FRAUD INVOLVING PRODUCT SUB- STITUTION OF BIOLOGICAL AGENTS 132 8M1H PROCUREMENT FRAUD INVOLVING PRODUCT SUB- STITUTION OF CHEMICAL AGENTS 132 8M1J PROCUREMENT FRAUD INVOLVING PRODUCT SUB- STITUTION OF COMMUNICATIONS EQUIPMENT 132 8M1K PROCUREMENT FRAUD INVOLVING PRODUCT SUB- STITUTION OF FIRE CONTROL SYSTEMS 132 8M1L PROCUREMENT FRAUD INVOLVING PRODUCT SUB- STITUTION OF ARMAMENTS 8M1L1 PROCUREMENT FRAUD INVOLVING PRODUCT SUB- STITUTION OF ARMAMENTS (LARGE BORE) 132 8M1L2 PROCUREMENT FRAUD INVOLVING PRODUCT SUB- STITUTION OF ARMAMENTS (SMALL BORE) 132 8M1M PROCUREMENT FRAUD INVOLVING PRODUCT SUB- STITUTION OF COMPUTER SYSTEMS 132 8M1N PROCUREMENT FRAUD INVOLVING PRODUCT SUB- STITUTION OF MUNITIONS 8M1N1 PROCUREMENT FRAUD INVOLVING PRODUCT SUB- STITUTION OF CONVENTIONAL EXPLOSIVES 132 8M1N2 PROCUREMENT FRAUD INVOLVING PRODUCT SUB- STITUTION OF SMALL ARMS MUNITIONS 132 8M1N3 PROCUREMENT FRAUD INVOLVING PRODUCT SUB- STITUTION OF NUCLEAR MUNITIONS 132 8M1N4 PROCUREMENT FRAUD INVOLVING PRODUCT SUB- STITUTION OF BIOL. MUNITIONS 132 8M1N5 PROCUREMENT FRAUD INVOLVING PRODUCT SUB- STITUTION OF CHEMICAL MUNITIONS 132 8M2 PROCUREMENT FRAUD INVOLVING DEFECTIVE MATERIALS 132 8M3 PROCUREMENT FRAUD INVOLVING DEFECTIVE COST AND PRICE DATA 132 75AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 84 of 149 Table 4–1 Offense code list—Continued Offense code Primary description Article 8M4 PROCUREMENT FRAUD INVOLVING COST MISCHARG- ING 132 8M5 PROCUREMENT FRAUD INVOLVING LABOR MISCHAR- GING 132 8M6 USED AS A SUPPLEMENTAL CODE FOR THE ABOVE OFFENSES IF THEY WERE COMMITTED BY A PRIME CONTRACTOR 132 8M7 USED AS A SUPPLEMENTAL CODE FOR THE ABOVE OFFENSES IF THEY WERE COMMITTED BY A SUB- CONTRACTOR 132 8M8 USED AS A SUPPLEMENTAL CODE FOR THE ABOVE OFFENSES IF THEY OCCUR AT A CONTRACTOR PLANT REPRESENTATIVE OFFICE (PRO) 132 8P COMPUTER FRAUDS INVOLVING A FEDERAL INTER- EST COMPUTER 8P1 OBTAINING CLASSIFIED INFORMATION FROM A FED- ERAL INTEREST COMPUTER 134 8P2 OBTAINING FINANCIAL OR CREDIT INFORMATION FROM A FEDERAL INTEREST COMPUTER 134 8P3 UNAUTHORIZED ACCESS THAT INTERFERES WITH OR AFFECTS THE OPERATION OF A FEDERAL INTEREST COMPUTER 134 8P4 ACCESSING A COMPUTER WITH INTENT TO DEFRAUD A FEDERAL INTEREST COMPUTER 134 8P5 ALTERING, DAMAGING, OR DESTRUCTION OF INFOR- MATION CAUSING A LOSS OF $1000 OR MORE FROM A FEDERAL INTEREST COMPUTER 134 8P6 ALTERING, DAMAGING, OR DESTRUCTION OF MEDI- CAL INFORMATION IN A FEDERAL INTEREST COM- PUTER 134 8P7 TRAFFICKING PASSWORDS AND OTHER ACCESS CODES FROM FEDERAL INTEREST COMPUTER 134 8P8 ATTEMPTED COMPUTER FRAUD: USED AS A SUPPLE- MENTAL CODE FOR THE ABOVE OFFENSES 134 8Q RESTRICTIONS ON–POST GOVERNMENT EMPLOY- MENT 8Q1 RECEIVING UNAUTHORIZED COMPENSATION IN CON- NECTION WITH GOVT MATTERS 134 8Q2 GOVT EMPLOYEE ACTING AS AGENT FOR A PRIVATE INDIVIDUAL OR OTHER ENTITY 134 8Q3 POST EMPLOYMENT RESTRICTIONS ON FORMER OF- FICERS AND EMPLOYEES 134 8Q4 UNAUTHORIZED RECEIPT OF DUAL COMPENSATION 134 8Q5 NEGOTIATING FOR EMPLOYMENT 134 8Q6 ACTS AFFECTING A PERSONAL FINANCIAL INTEREST 134 8Q7 RESTRICTIONS ON EMPLOYMENT FOR CERTAIN RE- TIRED MILITARY OFFICERS 134 8Q8 VIOLATION OF THE HARBORED AMENDMENT 134 8Q9 VIOLATION OF THE FEDERAL PROCUREMENT POLICY ACT 134 8R WORKER’S COMPENSATION FRAUD 8R1 FALSE STATEMENT TO OBTAIN FEDERAL EMPLOY- EE’S COMPENSATION 134 76 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 85 of 149 Table 4–1 Offense code list—Continued Offense code Primary description Article 8R2 RECEIVING FEDERAL EMPLOYEE’S COMPENSATION AFTER MARRIAGE 134 8R3 FALSE OR WITHHELD REPORT REGARDING FEDERAL EMPLOYEE’S COMPENSATION 134 8R4 FRAUDULENT RECEIPT OF WORKER’S COMPENSA- TION PAYMENTS 134 8S MAKING, DRAWING, OR UTTERING A CHECK WITH IN- SUFFICIENT FUNDS 123a 8T IDENTITY THEFT 134 8T1 FRAUDULENT USE OF ANOTHER’S IDENTITY FOR FI- NANCIAL GAIN 134 8T2 FRAUDULENT USE OF ANOTHER’S IDENTITY TO AVOID ARREST OR DETECTION 134 8T3 FRAUDULENT USE OF ANOTHER’S IDENTITY TO AT- TAIN LEGAL IMMIGRATION STATUS 134 8T4 FRAUDULENT USE OF ANOTHER’S IDENTITY TO OB- TAIN GOVERNMENT BENEFITS 134 8T5 OTHER FRAUDULENT USE OF ANOTHER’S IDENTITY 134 8U BURNING WITH INTENT TO DEFRAUD 134 8X OTHER FRAUD OFFENSES 8X1 OTHER FRAUD OFFENSES INVOLVING USE OF A COM- PUTER (SUPPLEMENTAL CODE) 134 8X2 CONSPIRACY TO COMMIT OTHER FRAUD OFFENSES 134 8X3 SOLICITATION TO COMMIT OTHER FRAUD OFFENSES 134 8X4 ACCESSORY BEFORE THE FACT TO OTHER FRAUD OFFENSES 77 8X5 ACCESSORY AFTER THE FACT TO OTHER FRAUD OF- FENSES 78 8X6 OBSTRUCTION OF JUSTICE 134 8Y FRAUDULENT ACTIVITY IN THE USE OF GOVERNMENT CREDIT CARDS 134 8Y1 FRAUDULENT USE OF THE U.S. GOVERNMENT CREDIT CARD 134 8Y2 FRAUDULENT USE OF THE U.S. GOVERNMENT TRAVEL CARD 134 9 SPECIAL INVESTIGATIVE ACTIVITIES 9A CRIME SURVEY 9A1 CRIME ANALYSIS (CRIME TRENDS AT AN INSTALLA- TION) 9A1A CRIME ANALYSIS CRIMES AGAINST PERSONS 9A1B CRIME ANALYSIS CRIMES AGAINST PROPERTY 9A1C CRIME ANALYSIS GENERAL (COMBINATION OF CATE- GORIES) 9A1D CRIME ANALYSIS OTHER 9A1E DRUG ASSESSMENTS 9A2 CPS–LOGISTICAL DPDO, AMMUNITION PLANTS, AND SO ON 9A3 CPS–INSTALLATION SUPPORT ACTIVITIES CLUBS, AND SO ON 9A4 PERSONNEL SECURITY ASSESSMENTS 77AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 86 of 149 Table 4–1 Offense code list—Continued Offense code Primary description Article 9B INDUSTRIAL SURVEY INDUSTRIAL SURVEY 9C CIVIL LITIGATION 9C1 FALSE CLAMS ACT (31 USC 3729) 9C2 PROGRAM FRAUD CIVIL REMEDIES ACT (31 USC 3801) 9D MILITARY WORKING DOGS 9D1 NARCOTICS/CONTRABAND DETECTOR DOG NARCOT- ICS/CONTRABAND DETECTOR DOG 9D1A DRUG DETECTION DOGS - MARIJUANA 9D1B DRUG DETECTION DOGS - HASHISH 9D2 EXPLOSIVES DETECTOR DOG 9D3 PATROL DOG 9E PHYSICAL SECURITY SURVEY 9F PROTECTIVE SERVICES 9G SCIENTIFIC EXAMINATIONS 9G1 POLYGRAPH EXAMINATION 9G2 CRIME LABORATORY ANALYSIS 9G2A CHEMISTRY 9G2B FINGERPRINTS 9G2C FIREARMS 9G2D DOCUMENTS 9G2E PHOTOGRAPHY 9G2F OTHER 9G3 INVESTIGATIVE HYPNOSIS 9H CRIMINAL INFORMATION 9J EVIDENCE PROCESSING 9J1 DOMESTIC VIOLENCE EVIDENCE 9J1A DOMESTIC VIOLENCE EVIDENCE COLLECTION 9J1B DOMESTIC VIOLENCE EVIDENCE RECEIVED 9J1C DOMESTIC VIOLENCE EVIDENCE RELEASED TO IN- VESTIGATIVE AUTHORITIES 9J1D DOMESTIC VIOLENCE EVIDENCE DESTROYED 9K VOLUNTARY DISCLOSURE INVESTIGATIONS 9K1 VOLUNTARY DISCLOSURE INVESTIGATIONS INVOLV- ING APRIME CONTRACT 9K2 VOLUNTARY DISCLOSURE INVESTIGATIONS INVOLV- ING A SUBCONTRACTOR 9L QUI TAM INVESTIGATION 9L1 QUI TAM INVESTIGATION - INVOLVING A PRIME CON- TRACTOR 9L2 QUI TAM INVESTIGATION - INVOLVING A SUB- CONTRACTOR 9M TOP 100 DEFENSE CONTRACTOR INVESTIGATIONS 9M1 PROCUREMENT: CONTRACT AWARDED TO A TOP 100 CONTRACTOR 9M2 CONTRACT AWARDED TO A SUBSIDIARY OF A TOP 100 78 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 87 of 149 Table 4–1 Offense code list—Continued Offense code Primary description Article 9N PROTECTIVE ORDERS 9N1 PROTECTIVE ORDER ISSUED 9N1A PROTECTIVE ORDER ISSUED - MILITARY 9N1B PROTECTIVE ORDER ISSUED - CIVILIAN 9P MISSING PERSONS 9P1 MILITARY/SPONSOR 9P1A OFFICER 9P1B ENLISTED 9P2 FAMILY MEMBER 9P2A SPOUSE 9P2B SON/STEP–SON 9P2C DAUGHTER/STEP–DAUGHTER 9P2D OTHER FAMILY MEMBER 9P3 OTHER 9Q REGISTRATION OF CONVICTED MILITARY SEX OF- FENDER 9R REVERSE DRUG OPERATION 9T UNIT AND INDIVIDUAL TRAINING 9T1 UNIT TRAINING ACTIVITY 9T2 INDIVIDUAL TRAINING 9T3 BASIC TRAINING 9W ELECTRONIC SURVEILLANCE 4–5. Military police codes a. Military police codes (MPCs) identify individual PMOs/DESs. The Director, USACRC will assign MPCs to PMOs/DESs. b. Requests for assignment of a MPC will be included in the planning phase of military operations, exercises, or missions when law enforcement operations are anticipated. The request for a MPC will be submitted as soon as circumstances permit, without jeopardizing the military operation to HQDA, PMG (DAPM–MPD–LE). Consistent with security precautions, IMCOM, ACOM, ASCC, and DRU will immediately inform HQDA, PMG (DAPM–MPD–LE) when assigned or attached MP units are notified for mobilization, relocation, activation, or inactivation. c. When a MP unit is alerted for deployment to a location not in an existing PM/DES’s operational area, the receiving combatant commander or FORSCOM will request assignment of an MPC number from HQDA, PMG (DAPM–MPD–LE) providing the area of operations does not have an existing MPC number. The receiving combatant commander or FORSCOM is further responsible for establishing an operational COPS System for the deployment. 4–6. U.S. Army Crime Records Center control numbers a. Case numbers to support reporting requirements will be assigned directly to each installation via COPS. To ensure accuracy in reporting criminal incidents, USACRC control numbers will be used only one time and in sequence. Every MPR sent to the USACRC will have a USACRC control number reported. Violation of this policy could result in significant difficulties in tracing reports that require corrective action. b. If during the calendar year IMCOM, ACOM, ASCC, or DRU reassigns control numbers from one installation to another, HQDA, PMG (DAPM–MPD–LE) will be notified. The Director USACRC will receive an information copy of such notification from IMCOM, ACOM, ASCC, or DRU’s law enforcement operations office. c. The USACRC control numbers will be issued along with each newly assigned MPC. d. When the deploying unit will be located in an area where there is an existing PM activity/DES, the deploying unit will use the MPC number and USACRC control numbers of the host PM/DES. 79AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 88 of 149 4–7. Reserve Component, U.S. Army Reserve, and Army National Guard Personnel a. When in a military duty status pursuant to official orders (Federal status for National Guard), Reserve and National Guard personnel will be reported as active duty. Otherwise, they will be reported as civilians. b. The DA Form 3975 and DA Form 4833 will be forwarded directly to the appropriate Regional Readiness Command or the Soldier’s division commander. A copy of the DA Form 3975 will also be forwarded to Chief, Army Reserve/Commander, USAR Command, AFRC–JAM, 1404 Deshler Street, Fort McPherson, GA 30330–1052. The forwarding correspondence will reflect this regulation as the authority to request disposition of the individual. 4–8. DA Form 4833 (Commander’s Report of Disciplinary or Administrative Action) a. Use. DA Form 4833 is used with DA Form 3975 to— (1) Record actions taken against identified offenders. (2) Report the disposition of offenses investigated by civilian law enforcement agencies. b. Preparation by the PM/DES. The installation PM/DES initiates this critical document and is responsible for its distribution and establishing a suspense system to ensure timely response by commanders. Disposition reports are part of the reporting requirements within DA, DOD, and DOJ. c. Completion by the unit commander. Company, troop, and battery level commanders are responsible and accounta- ble for completing DA Form 4833 with supporting documentation in all cases investigated by MP, civilian detectives employed by the DA, and the PMO/DES. The battalion commander or the first lieutenant colonel in the chain of command is responsible and accountable for completing DA Form 4833 with support documentation (copies of Article 15s, court-martial orders, reprimands, and so on) for all USACIDC investigations. The commander will complete the DA Form 4833 within 45 days of receipt. (1) Appropriate blocks will be checked and blanks annotated to indicate the following: (a) Action taken (for example, judicial, non-judicial, or administrative). In the event the commander takes action against the Soldier for an offense other than the one listed on the DA Form 3975, the revised charge or offense will be specified in the “Remarks” section of the DA Form 4833. (b) Sentence, punishment, or administrative action imposed. (c) Should the commander take no action, the DA Form 4833 must be annotated to reflect that fact. (2) If the commander cannot complete the DA Form 4833 within 45 days, a written memorandum is required to explain the circumstances. The delay will have an impact on other reporting requirements (for example, submitting fingerprint cards to the FBI). d. Procedures when subjects are reassigned. When the subject of an offense is reassigned, the PM/DES will forward the DA Form 3975, DA Form 4833, and all pertinent attachments to the gaining installation PM/DES who must ensure that the new commander completes the document. Copies of the documents will be made and retained by the processing PMO/DES before returning the documents to the losing installation PM/DES for completion of automated entries and required reports. e. Report on subjects assigned to other installations. When the DA Form 3975 involves a subject who is assigned to another installation, the initiating PM/DES will forward the original and two copies of DA Form 4833 to the PM/DES of the installation where the Soldier is permanently assigned. The procedures in 4–8d, above, will be followed for Soldiers assigned to other commands. f. Offenses not reportable to USACRC. When the offense is not within a category reportable to USACRC, the original DA Form 4833 is retained by the PM/DES. Otherwise, the original is sent to the Director, USACRC for filing with the MPR. g. Civilian court proceedings. If a Soldier is tried in a civilian court, and the PM/DES has initiated an MPR, the PM/DES must track the civilian trial and report the disposition on DA Form 4833 as appropriate. That portion of the signature block of DA Form 4833 that contains the word “Commanding” will be deleted and the word “Reporting” substituted. The PM/DES or other designated person will sign DA Form 4833 before forwarding it to USACRC. h. Dissemination to other agencies. A copy of the completed DA Form 4833 reflecting offender disposition will also be provided to those agencies or offices that originally received a copy of DA Form 3975 when evidence is involved. The evidence custodian will also be informed of the disposition of the case. Action will then be initiated for final disposition of evidence retained for the case now completed. i. Review of offender disposition by the PM/DES. On receipt of DA Form 4833 reflecting no action taken, the PM/ DES will review the MPR. The review will include, but is not limited to the following: (1) Determination of the adequacy of supporting documentation. (2) Whether or not coordination with the supporting Staff Judge Advocate should have been sought prior to dispatch of the report to the commander for action. (3) Identification of functions that warrant additional training of MP or security personnel (for example, search and seizure, evidence handling, or rights warning). j. Offender disposition summary reports. The PMs/DESs will provide the supported commander (normally, the general courts-martial convening authority or other persons designated by such authority) summary data of offender 80 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 89 of 149 disposition as required or appropriate. Offender disposition summary data will reflect identified offenders on whom final disposition has been reported. This data will be provided in the format and at the frequency specified by the supported commander. 4–9. Updating the Centralized Operating Police Suite Military Police Reporting System Installation PMs/DESs will establish standard operating procedures to ensure that every founded offense is reported into the COPS MPRS. Timely and accurate reporting is critical. If a case remains open, changes will be made as appropriate. This includes reporting additional witnesses and all aspects of the criminal report. 4–10. Submission of criminal history data to the Criminal Justice Information System a. General. This paragraph establishes procedures for submitting criminal history data (fingerprint cards) to CJIS when the PM/DES has completed a criminal inquiry or investigation. The policy only applies to members of the Armed Forces and will be followed when a military member has been read charges and the commander initiates proceedings for— (1) Field Grade Article 15, UCMJ initiation refers to a commander completing action to impose non-judicial punishment. Final disposition will be action on appeal by the next superior authority, expiration of the time limit to file an appeal, or the date the military member indicates that an appeal will not be submitted. (2) A special or general courts-martial initiation refers to the referral of court-martial charges to a specified court by the convening authority or receipt by the commander of an accused Soldier’s request for discharge in lieu of court- martial. Final disposition of military judicial proceedings will be action by the convening authority on the findings and sentence, or final approval of a discharge in lieu of court-martial. The procedures in this chapter meet administrative and technical requirements for submitting fingerprint cards and criminal history information to CJIS. No variances are authorized. Results of summary court-martial will not be reported to the FBI. (3) In instances where final action is taken by a magistrate, the PM/DES will complete the DA Form 4833. (4) The PMOs/DESs will submit fingerprint cards on subjects apprehended as a result of Drug Suppression Team investigations and operations unless the USACIDC is completing the investigative activity for a felony offense. In those cases, the USACIDC will complete the fingerprint report process. b. Procedures. The following procedures must be followed when submitting criminal history data to CJIS. (1) Standard FBI fingerprint cards will be used to submit criminal history data to CJIS. The FBI Form FD 249, (Suspect Fingerprint Card) will be used when a military member is a suspect or placed under apprehension for an offense listed in table 4–2, below. Two FD Form 249s will be completed. One will be retained in the PM file. The second will be sent to the Director, USACRC, and processed with the MPR as prescribed in this chapter. A third set of prints will also be taken on the FBI DOJ Form R–84 (Final Disposition Report). The FBI DOJ Form R–84 requires completion of the disposition portion and entering of the offenses on which the commander took action. Installation PMs are authorized to requisition the fingerprint cards by writing to FBI, J. Edgar Hoover Building, Personnel Division, Printing Unit, Room lB973, 925 Pennsylvania Ave., NW, Washington, DC 20535–0001. (2) Fingerprint cards will be submitted with the MPR to the Director, USACRC, ATTN: CICR–CR, 6010 6th Street, Fort Belvoir, VA 22060–5585 only when the commander has initiated judicial or non-judicial action amounting to a Field Grade Article 15 or greater. The Director, Crime Records Center (CRC) will forward the fingerprint card to CJIS. The USACRC is used as the central repository for criminal history information in the Army. They also respond to inquiries from CJIS, local, state, and other Federal law enforcement agencies. (3) Submission of the MPR with the FD Form 249 to USACRC will normally occur upon a commander’s initiation of judicial or non-judicial proceedings against a military member. If final disposition of the proceeding is anticipated within 60 days of command initiation of judicial or non-judicial proceedings, the FD Form 249 will be held and final disposition recorded on FD Form 249. The PMs and commanders must make every effort to comply with the 60 days reporting requirement to ensure that the FD Form 249 is used as the primary document to submit criminal history to CJIS. Approval of a discharge in lieu of court-martial will be recorded as a final disposition showing the nature and character of the discharge in unabbreviated English (for example, resignation in lieu of court-martial; other than honorable discharge) and will also be forwarded to USACRC. (4) If the commander provides the DA Form 4833 after the 60th day, a letter of transmittal will be prepared by the PM forwarding the FBI DOJ Form R–84 with the DA Form 4833 to the USACRC within 5 days after disposition. Submission of fingerprint cards will not be delayed pending appellate actions. Dispositions that are exculpatory (for example, dismissal of charges, acquittal) will also be filed. (5) The procedures for submitting fingerprint cards will remain in effect until automated systems are in place for submission of fingerprints electronically. 81AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 90 of 149 Table 4–2 List of offenses from the Uniform Code of Military Justice UCMJ ARTICLE OFFENSE 78 Accessory after the fact (Offenses listed in this table) 80 Attempts (Offenses listed in this table) 81 Conspiracy (Offenses listed in this table) 82 Solicitation 85 Desertion 91 Striking or assaulting warrant, noncommissioned, or petty officer 94 Mutiny or sedition 95 Resistance, breach of arrest, and escape 106 Spies 106a Espionage 107 False Official Statements 108 Military property of the United States, loss, damage, destruction, or wrongful disposition 109 Willfully destroying, damaging private property 111 Drunk driving 112a Wrongful Use, possession, and so on, of controlled substance 116 Riot 118 Murder 119 Manslaughter 120 Rape and carnal knowledge 121 Larceny and wrongful appropriation 122 Robbery 123 Forgery 123a Bad checks (in an amount over 100 dollars) 124 Maiming 125 Sodomy 126 Arson 127 Extortion 128 Assault 129 Burglary 130 Housebreaking 131 Perjury 132 Frauds against the United States 134 Assault, indecent assault with intent to commit murder, voluntary manslaughter, rape, robbery, sodomy, arson, burglary, or housebreaking 134 Assaulting a Federal officer in the performance of duties, bribery and graft, burning with intent to defraud, false pretenses, obtaining services under (value more than $100), false swearing, firearm discharge, willfully, under such circumstances as to endanger human life, fleeing the scene of an accident, homicide, negligent, indecent acts or liberties with a child, false impersonation with intent to defraud, indecent exposure. indecent language (communicating to any child under the age of 16), indecent acts with another, kidnapping, mail (taking, open- ing, secreting, destroying, or stealing), mails: depositing or causing to be deposited obscene matters in) 134 Misprision of serious offense, obstructing justice, pandering and prostitution, perjury, subordination of; public record: altering, concealing, removing, mutilating, obliterating or destroying, seizure: destruction, removal or disposal of property to prevent; soliciting another to commit an offense (pertaining to crimes listed) stolen prop- erty: knowingly receiving, buying or concealing (value more than $100); testify: wrongful refusal: threat or hoax; bomb threat: communicating; weapon: concealed, carrying 82 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 91 of 149 4–11. Procedures for reporting absence without leave and desertion offenses a. Absence without leave (AWOL) reporting procedures. (1) The commander will notify the installation PM/DES in writing within 24 hours after a Soldier has been reported AWOL. (2) The PM/DES will initiate an information blotter entry. (3) If the AWOL Soldier surrenders to the parent unit or returns to military control at another installation, the provisions of AR 630–10 will be followed. (4) On receipt of written notification of the AWOL Soldier’s return or upon apprehension, the PM/DES will initiate a reference blotter entry indicating the Soldier’s return to military control and will prepare an initial DA Form 3975, reflecting the total period of unauthorized absence, and the DA Form 4833. Both of these documents will be forwarded through the field grade commander to the unit commander. (5) The unit commander will report action taken on the DA Form 4833 no later than the assigned suspense date or provide a written memorandum to the PM/DES explaining the delay. (6) An original DD Form 460 (Provisional Pass) is issued to the Soldier to facilitate their return to the parent unit. A DD Form 460 will not be required if the PM/DES elects to return the Soldier through a different means. (7) If the Soldier is apprehended at or returns to an installation other than his or her parent installation DA Form 3975 and 4833 with a copy of DD Form 460 will be sent to the parent installation PM/DES. The parent installation PM/DES will initiate an information blotter entry reflecting the AWOL Soldiers return to military control. A DA Form 3975 and 4833 with an appropriate suspense will be sent through the field grade commander to the unit commander. On return of the completed DA Form 4833 from the unit commander, the original and one copy will be sent to the apprehending PM/DES. The parent installation PM/DES will retain a copy of DA Form 3975 and DA Form 4833. b. Desertion reporting procedures. (1) The unit commander must comply with the provisions of AR 630–10 when reporting a Soldier as a deserter. (2) On receipt of the DD Form 553 (Deserter/Absentee Wanted by the Armed Forces), the PM/DES will— (a) Initiate a DA Form 3975 and a blotter entry reflecting the Soldier’s desertion status. (b) Complete portions of DD Form 553 concerning the Soldier’s driver’s license and vehicle identification. In the remarks section, add other information known about the Soldier such as confirmed or suspected drug abuse; of violent acts; history of escapes; attempted escapes from custody; suicidal tendencies; suspicion of involvement in crimes of violence (for which a charge sheet has been prepared and forwarded); history of unauthorized absences; and any other information useful in the apprehension process or essential to protect the deserter or apprehending authorities. (c) An MPR number and a USACRC control number will be assigned to the case and be included in the remarks section of the DD Form 553. (d) The DD Form 553 must be returned to the unit commander within 24 hours. (e) If the deserter surrenders to or is apprehended by the parent installation PM/DES, the PM/DES will telephoni- cally verify the deserter’s status with the USADIP. A reference blotter entry will be completed changing the Soldier’s status from desertion to return to military control. (f) If the deserter surrenders to or is apprehended by an installation not the parent installation, the PM/DES will telephonically verify the deserter’s status with USADIP. An information MPR will be prepared, utilizing the CRC number from the original MPR prepared by the parent installation. A blotter entry will also be prepared. (g) A DD Form 616 (Report of Return of Absentee) will be completed when deserters are apprehended or surrender to military authority. The USACRC control number assigned to the DD Form 553 will be included in the remarks section of the DD Form 616. (h) Upon return of the deserter to military control, DA Forms 3975, 2804 (Crime Records Data Reference), fingerprint card and 4833 will be initiated. The MPR number and USACRC control number will be recorded on all four forms. (i) The original DA Form 3975 and other pertinent documents will be sent to the Director, USACRC. The DA Form 4833 must include the commander’s action taken, to include the Commander, Personnel Control Facility, or other commander who takes action based on the desertion charge. 4–12. Vehicle Registration System The Vehicle Registration System (VRS) is a module within COPS. Use of VRS to register vehicles authorized access to Army installations is mandated in AR 190–5. Within VRS there are various tabs for registration of vehicles authorized access to an installation, to include personal data on the owner of the vehicle. There are also tabs for registering weapons, bicycles, and pets. Information on individuals barred entry to an installation is also maintained within VRS. 4–13. Establishing memoranda of understanding a. Coordination between military law enforcement personnel and local civilian law enforcement personnel is essential to improve information sharing, especially concerning investigations, arrests, and prosecutions involving military personnel. The PMs/DESs or other law enforcement officials will seek to establish formal memoranda of 83AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 92 of 149 understanding (MOU) with their civilian counterparts to establish or improve the flow of information between their agencies, especially in instances involving military personnel. The MOUs can be used to clarify jurisdictional issues for the investigation of incidents, to define the mechanism whereby local law enforcement reports involving active duty Service members will be forwarded to the appropriate installation law enforcement office, to encourage the local law enforcement agency to refer victims of domestic violence to the installation Family Advocacy Office or victim advocate, and to foster cooperation and collaboration between the installation law enforcement agency and local civilian agencies. b. MOUs should address the following issues: (1) A general statement of the purpose of the MOU. (2) An explanation of jurisdictional issues that affect respective responsibilities to and investigating incidents occurring on and off the installation. This section should also address jurisdictional issues when a civilian order of protection is violated on military property (see 10 USC 1561a). (3) Procedures for responding to incidents that occur on the installation involving a civilian alleged offender. (4) Procedures for transmitting incident/investigation reports and other law enforcement information involving active duty Service members from local civilian law enforcement agencies to the installation law enforcement office. (5) Procedures for transmitting civilian protection orders (CPOs) issued by civilian courts or magistrates involving active duty Service members from local law enforcement agencies to the installation law enforcement office. (6) Designation of the title of the installation law enforcement recipient of such information from the local law enforcement agency. (7) Procedures for transmitting military protection orders (MPOs) from the installation law enforcement office to the local civilian law enforcement agency with jurisdiction over the area in which the Service member resides. (8) Designation of the title of the local law enforcement agency recipient of domestic violence and CPO information from the installation law enforcement agency. (9) Respective responsibilities for providing information to victims regarding installation resources when either the victim or the alleged offender is an active duty Service member. (10) Sharing of information and facilities during the course of an investigation in accordance with the Privacy Act of 1974 (see 5 USC 552a(b)(7)). (11) Regular meetings between the local civilian law enforcement agency and the installation law enforcement office to review cases and MOU procedures. 4–14. Lost, abandoned, or unclaimed property Personal property that comes into the possession, custody, or control of the Army and is unclaimed by the owner. Property is considered to be abandoned only after diligent effort has been made to determine and locate its owner, the heir, next of kin, or legal representative. A military person who is ordered overseas and is unable to dispose of their personal property should immediately notify their chain of command. The commander will appoint a board to rule on the disposition of the property. If a law enforcement agency takes custody of the property it will be tagged and a record made as shown in paragraph (a), below. A report will be made to the installation commander who will take action in accordance with DOD 4160.21–M, chapter 4, paragraph 40. Pending board action under DOD 4160.21–M, the law enforcement agency having physical custody is responsible for the safekeeping of seized property. The following procedures should be used: a. Property will be tagged using DA Form 4002 (Evidence/Property Tag) or clearly identified by other means, inventoried, and made a matter of record. These records are kept by the custodian of the property. b. Lost, abandoned, or unclaimed property will be kept in a room or container separate from one used to store property held as evidence. Records or logs of property not held as evidence will be separated from those pertaining to evidence. However, all property will be tagged, accounted for, and receipted for in a similar manner as evidence. c. Property that has been properly identified through board action under DOD 4160.21–M as having an owner will be segregated and tagged with the name of that person. d. Abandoned or unclaimed property will be held until its status can be determined. In many instances, lost property can be returned to the owner upon presentation of proof of ownership. e. In all cases, a receipt should be obtained at time of release. 4–15. Procedures for restricted/unrestricted reporting in sexual assault cases Active duty Soldiers, ARNG/ARNGUS, and USAR Soldiers who are subject to military jurisdiction under the UCMJ can elect either restricted or unrestricted reporting if they are the victim of a sexual assault. See AR 600–20 for further details. a. Unrestricted reporting requires normal law enforcement reporting and investigative procedures. b. Restricted reporting requires that law enforcement and criminal investigative organizations not be informed of a victim’s identity and not initiate investigative procedures. The victim will provide sexual assault response coordinators (SARCs), medical treatment facility (MTF) personnel, or chaplains with specific items (clothing, bedding, and so on) that will be later used as evidence, should they decide to later report the incident to law enforcement. (SARCs, MTF 84 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 93 of 149 personnel and chaplains are neither required nor encouraged to collect evidence; however, circumstances will occur where evidence comes into their possession). In sexual assault cases additional forensic evidence may be collected using the “Sexual Assault Evidence Collection Kit,” (hereafter, “evidence kit”). Personnel from the MTF, SARC, or chaplain’s office releasing evidence to the PMO/DES will comply with AR 195–5. The Chaplain, SARC, MTF will have only temporary possession of the evidence and must immediately notify the installation PMO/DES to transfer custody of evidence. The evidence kit, other items such as clothing or bedding sheets, and any other articles provided by the MTF, SARC, or chaplain will be stored in the installation PM/DES evidence room separate from other evidence and property. The evidence kit, the other items such as clothing or bedding sheets, and any other items will be properly sealed and marked with the Restricted Reporting Control Number that is issued by the SARC. Procedures for handling evidence specified in AR 195–5 will be strictly followed. c. Installation PMs/DESs will complete an information report in COPS for restricted reporting. Reports will be completed utilizing the offense code from the 6Z series. An entry will be made in the journal when the sexual assault evidence kit or property (clothing, bedding, and so on) is received. An entry will not be made in the blotter. Restricted reporting incidents are not reportable as SIRs. Property will be stored for one year and then scheduled/suspensed for destruction, unless earlier released to investigative authorities. Thirty days prior to destruction of the property, a letter will be sent to the SARC by the PM/DES, advising the SARC that the property will be destroyed in 30 days, unless law enforcement personnel are notified by the SARC that the victim has elected unrestricted reporting. If the SARC notifies the PM/DES that the victim has not elected unrestricted reporting, clothing or other personal effects will be released to the SARC for return to the victim. The information report will be updated when the evidence is destroyed, returned to the SARC, or released to investigative authorities. d. In the event that information about a sexual assault that was made under restricted reporting is disclosed to the commander from a source independent of the restricted reporting avenues, or to law enforcement from other sources, the commander will report the matter to law enforcement and law enforcement remains authorized to initiate its own independent investigation of the matter presented. Additionally, a victim’s disclosure of his/her sexual assault to persons outside the protective sphere of the persons covered by the restricted reporting policy will result in an investigation of the allegations. 4–16. Procedures for restricted/unrestricted reporting in domestic violence cases Restricted reporting is a reporting option for adult victims of domestic abuse. For the purposes of this paragraph, restricted reporting is defined as allowing a 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 (OCONUS) on a reimbursable basis, the option of reporting an incident of domestic abuse to specified individuals without initiating the investigative process or notification to the victims or alleged offender’s commander. For the purposes of this paragraph, an adult is a Service member or a person who is not a Service member who has either attained the age of eighteen years of age or is married. a. Unrestricted reporting requires normal law enforcement reporting and investigative procedures. b. Restricted reporting requires that law enforcement and criminal investigative organizations not be informed of a victim’s identity and not initiate investigative procedures. The victim will provide the victim advocate, MTF personnel, or chaplains with specific items that will be later used as evidence, should they decide to later report the incident to law enforcement. (Victim advocates, MTF personnel, and chaplains are neither required nor encouraged to collect evidence; however, circumstances will occur where evidence comes into their possession). Victim advocates, MTF personnel, and chaplains will have only temporary possession of the evidence and must immediately notify the installation PMO/DES to transfer custody of evidence. These items will be stored in the installation PM/DES’s evidence room separate from other evidence and property. Procedures for handling evidence specified in AR 195–5, will be strictly adhered to. c. Installation PMs/DESs will complete an information report in COPS for domestic violence restricted reporting. Reports will be completed utilizing the offense code from the 9J series. An entry will be made in the journal when the property is received. An entry will not be made in the blotter. Restricted reporting incidents are not reportable as SIRs. Property will be stored for one year and then scheduled/suspensed for destruction, unless earlier released to investiga- tive authorities. Thirty days prior to destruction of the property, a letter will be sent to the family advocacy program manager and the victim advocate by the PM/DES, advising the victim advocate that the property will be destroyed in 30 days, unless law enforcement personnel are notified by the victim advocate that the victim has elected unrestricted reporting. The information report will be updated when the evidence is destroyed or released to investigative authorities. d. A victim’s disclosure of his/her domestic violence incident to persons outside the protective sphere could result in an investigation of the allegations. 4–17. Domestic violence and protection orders a. Responding to incidents of spouse abuse requires a coordinated effort by law enforcement, medical, and social work personnel, to include sharing information and records as permitted by law and regulation. AR 608–18 contains additional information about domestic violence and protective orders. 85AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 94 of 149 b. Appendix B includes specific offense codes for domestic violence. All domestic violence incidents will be reported to the local PMO/DES. All reported domestic violence incidents will be entered into MPRS, utilizing DA Form 3975. These codes will be utilized in addition to any other offense code that will be appropriate for an incident. For example, a Soldier strikes his or her spouse. When entering the offense data into MPRS, both the offense code for assault (that is, 5C2B) and the offense code for spouse abuse (from the 5D6 series) will be entered. c. An MPO is a written lawful order issued by a commander that orders a Soldier to avoid contact with his or her spouse or children. The commander should provide a written copy of the order within 24 hours of its issuance to the person with whom the member is ordered not to have contact and the installation law enforcement activity. Violations of an MPO must be reported on DA Form 3975, entered into COPS, and entered into NCIC. All protection orders will be entered into COPS. Law enforcement personnel will complete an information report in COPS whenever an MPO is issued. Violations of an MPO must also be reported on DA Form 3975, entered into COPS, and entered into NCIC. Violations of an MPO will be violations of Article 92, UCMJ. d. A CPO is an order issued by a judge, magistrate or other authorized civilian official, ordering an individual to avoid contact with his or her spouse or children. Pursuant to the Armed Forces Domestic Security Act, a CPO has the same force and effect on a military installation as such order has within the jurisdiction of the court that issued the order. Law enforcement personnel will complete an information report in COPS whenever a CPO is issued that orders a Soldier to avoid contact with his or her spouse or children or orders an individual to avoid contact with his or her military spouse or family members. Violations of a CPO must be reported on DA Form 3975 and entered into COPS. Law enforcement personnel must also coordinate with civilian authorities to ensure they have made an NCIC entry. Chapter 5 Army Quarterly Trends and Analysis Report 5–1. General a. This chapter prescribes policies and procedures for the coordination and standardization of crime statistics reporting with HQDA. Crime statistical reports and trends provided to HQDA and other agencies and those related to special interests inquiries, the media, and the public must reflect uniformity in terminology, methods of presentation, and statistical portrayal to preclude misinterpretation of information. b. Any report containing Armywide aggregate crime data or statistics addressed to the Secretary of the Army, Chief of Staff of the Army, or Vice Chief of Staff of the Army will be coordinated and cleared with HQDA, PMG (DAPM–MPD–LE). Correspondence and reports will be coordinated with HQDA, PMG (DAPM–MPD–LE) prior to release to any agency, activity, or individual. c. HQDA staff agencies and ACOM, ASCC, and DRU authorized by regulation or statute to conduct independent i n v e s t i g a t i o n s , a u d i t s , a n a l y s e s , o r i n q u i r i e s n e e d n o t c o o r d i n a t e r e p o r t e d i n f o r m a t i o n w i t h H Q D A , P M G (DAPM–MPD–LE) unless the information contains crime data for the Army as a whole. For example, reports submitted by USACIDC containing only USACIDC investigative data need not be coordinated with HQDA, PMG (DAPM–MPD–LE). 5–2. Crime rate reporting a. The USACRC is the Army’s collection point and analytic center for all Army aggregate crime data. Requests for Armywide crime data reports will be forwarded through HQDA, PMG (DAPM–MPD–LE) to the Director, USACRC. Replies will be routed back through HQDA PMG (DAPM–MPD–LE) where they will be coordinated, as appropriate, prior to release. Requests for USACIDC, IMCOM, ACOM, ASCC, DRU, or subordinate command specific crime data reports can be made directly to the specific command. Replies need not be coordinated with HQDA. b. Requests for Army aggregate crime reports are limited to data collected and accessible through the Automated Criminal Investigation and Intelligence System and COPS. c. Routine collection of IMCOM, ACOM, ASCC, DRU crime data, for use in Armywide database, will be limited to that data collected by the above systems. IMCOM, ACOM, ASCC, and DRU will determine internal data collection requirements. d. All PM/DES crime data will be recorded and forwarded by installations through IMCOM, ACOM, ASCC, or DRU (as required) using the COPS System. e. The Chief, Operations Division, PMG, will determine the requirements for routine publication of Army aggregate crime statistics in support of the Secretary of the Army and the Office of the Chief of Staff of the Army. f. Normally, raw data will not be released without analysis on routine or non-routine requests. Comparison of command crime data is generally not reported and should be avoided. General categories of CONUS or OCONUS are appropriate. 86 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 95 of 149 Chapter 6 Victim and Witness Assistance Procedures 6–1. General a. This chapter implements procedures to provide assistance to victims and witnesses of crimes that take place on Army installations and activities. The procedures in this chapter apply to— (1) Every victim and witness. (2) Violations of the UCMJ, including crimes assimilated under the Assimilative Crimes Act reported to or investigated by MP. (3) Foreign nationals employed or visiting on an Army installation OCONUS. b. PM/DES personnel should refer to AR 27–10, chapter 18, for additional policy guidance on the Army Victim/ Witness Program. 6–2. Procedures a. As required by Federal law, Army personnel involved in the detection, investigation, and prosecution of crimes must ensure that victims and witnesses rights are protected. Victims rights include— (1) The right to be treated with fairness, dignity, and a respect for privacy. (2) The right to be reasonably protected from the accused offender. (3) The right to be notified of court proceedings. (4) The right to be present at all public court proceedings related to the offense, unless the court determines that testimony by the victim would be materially affected if the victim heard other testimony at trial, or for other good cause. (5) The right to confer with the attorney for the Government in the case. (6) The right to restitution, if appropriate. (7) The right to information regarding conviction, sentencing, imprisonment, and release of the offender from custody. b. In keeping with the requirements listed above, PMs/DESs must ensure that— (1) All law enforcement personnel are provided copies of DD Form 2701 (Initial Information for Victims and Witnesses of Crime). (2) A victim witness coordinator is appointed in writing. (3) Statistics are collected and reported into COPS. (4) Coordination with the installation Staff Judge Advocate victim witness coordinator occurs to ensure that individuals are properly referred for information on restitution, administrative, and judicial proceedings. (5) Coordination with installation Family Advocacy Program’s Victim Advocate occurs to support victims of spouse abuse. Victim Advocacy services include crisis intervention, assistance in securing medical treatment for injuries, information on legal rights and proceedings, and referral to military and civilian shelters and other resources available to victims. 6–3. Notification a. In addition to providing crime victims and witnesses a DD Form 2701, law enforcement personnel must ensure that individuals are notified about— (1) Available military and civilian emergency medical care. (2) Social services, when necessary. (3) Procedures to contact the staff judge advocate victim/witness liaison office for additional assistance. b. Investigating law enforcement personnel, such as MP investigators will— (1) Ensure that victims and witnesses have been offered a DD Form 2701. If not, investigating personnel will give the individual a copy. (2) Provide status on investigation of the crime to the extent that releasing such information does not jeopardize the investigation in coordination with the PM/DES victim witness coordinator. (3) Inform all victims and witnesses of the apprehension of a suspected offender, if requested. 6–4. Statistical reporting requirements a. The DOD policies on victim witness assistance require reporting of statistics on the number of individuals who are notified of their rights. The DA Form 3975 provides for the collection of statistical information. b. The COPS System supports automated reporting of statistics. HQDA, PMG (DAPM–MPD–LE) as the program manager will require periodic reports to meet unique requests for information. c. It is possible that a victim or witness will initially decline a DD Form 2701. As the case progresses, the individual will request information. If a case is still open in the PMO/DES, the PM/DES victim witness coordinator will provide the DA Form 2701 to the individual and update the records. Once the case is referred to the Staff Judge Advocate or 87AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 96 of 149 law enforcement activity ceases, COPS will not be updated without prior coordination with the installation Staff Judge Advocate Office. Chapter 7 Related Military Police Forms 7–1. General a. This chapter establishes policies and procedures for the use of related MP forms. Other forms are referenced in this chapter to assist in meeting law enforcement requirements. b. It also provides special instructions and distribution for each related form and prescribes accountability standards for DD Form 1408 (Armed Forces Traffic Ticket) and the CVB Form. 7–2. DD Form 460 (Provisional pass) a. General. DD Form 460 will be used by the PM/DES to permit members of the Armed Forces to travel to assigned units under the following conditions: (1) A person is apprehended for a violation not serious enough to warrant further custody, but the person is delayed to the extent that reporting to the assigned station within the time limit of existing orders is not possible. (2) An absentee is returned to military control and an escort is not considered necessary in returning the Soldier to the unit of assignment. (3) A Soldier’s leave papers have been lost or destroyed. (4) A Soldier is about to exceed the limits of an authorized leave or travel order. b. Special instructions. (1) The form is self-explanatory. Signature authorities will be prescribed by local policy. (2) Refer to AR 190–9 and AR 630–10 for guidance on use of DD Form 460 in the AWOL and Deserter Apprehension Program. c. Distribution. (1) The original copy is provided to the individual. (2) The first copy (green) is attached to the file copy of the DA Form 3975. (3) The second copy (yellow) is attached to the action or information DA Form 3975, which is forwarded to the commander concerned. 7–3. DD Form 553 (Deserter/absentee wanted by the Armed Forces) a. General. DD Form 553 is used to— (1) Provide the unit commander a means of reporting cases of desertion to the USADIP and to the local PM/DES. (2) Provide USADIP a means of requesting deserter apprehension assistance from Federal, state, and local law enforcement authorities. b. Special instructions. The provisions of AR 630–10 and AR 190–9 must be reviewed and applied to each desertion case. AR 630–10 contains personnel management procedures that must be followed and AR 190–9 provides policy guidance on law enforcement procedures. c. Distribution. (1) Unit commanders will provide the original and one copy of DD Form 553 to the local PM/DES. (2) Installation PMs/DESs will comply with AR 630–10 and 190–9. (3) Until the deserter is returned to military control, USADIP will maintain the active file. 7–4. DD Form 616 (Report of return of absentee) a. General. DD Form 616 is used to advise USADIP, PMs/DESs, and civil authorities of the return to military control of persons previously reported as deserters and to cancel DD Form 553 entered into the NCIC. b. Special instructions. When a deserter is returned to military control, the PM/DES will complete the DD Form 616, per paragraph 4–11 of this regulation, and the provisions of AR 190–9. c. Distribution. (1) The PM/DES receiving custody of a deserter will forward one copy of the DD form 616 to USADIP and retain one copy in the inactive deserter file. (2) The PMs/DESs of other installations who received DD Form 553 from USADIP will retain a copy of DD Form 616 with the DD Form 553 in the inactive deserter file. 88 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 97 of 149 7–5. DD Form 2708 (Receipt for prisoner or detained person) a. General. DD Form 2708 (Receipt for Inmate or Detained Person) is used to transfer custody of prisoners or apprehended persons who cannot be released on their own recognizance. b. Special instructions. For law enforcement purposes, the form is self-explanatory. For confinement facility personnel, see AR 190–47. c. Distribution. (1) The original is attached to the file copy of DA Form 3975. (2) A second copy is provided to the individual receiving custody. 7–6. DD Form 1408 (Armed Forces traffic ticket) a. General. DD Form 1408 is used to report minor traffic violations not reported on the CVB Form or DA Form 3975. b. Special instructions. (1) A Privacy Act Statement will be required to obtain an individual’s SSN. Chapter 2 of this regulation provides additional guidance. (2) The front side will be prepared by the issuing law enforcement official. (3) The rear of the yellow and pink copy is also prepared by the issuing law enforcement official. (4) The issuing PM/DES will complete the rear of the white copy, to include the date, name, organization, “to” and “from” blocks, and will assign a suspense date. (5) The receiving commander will complete the remainder of the rear of the white copy and return the form to the PM/DES. (6) DD Form 1408 will be used as a warning notice. The warning block will be checked and the reason for the warning will be cited in the remarks section. c. Distribution. (1) The original (white copy) will be forwarded through local distribution to the commander concerned. (2) The second copy (yellow) will be filed by the issuing PM/DES until the original is returned. (3) The third copy (pink) will be presented to the violator. 7–7. Central Violations Bureau Form (U.S. District Court Violation Notice) a. General. The CVB Form is an accountable form prepared by law enforcement personnel to report minor offenses to include violations of state traffic laws applicable to military reservations. This form is used only in conjunction with a magistrate court system. When used to cite military and DOD affiliated personnel for violations that are normally processed by mail, the appropriate commander will be informed. An information DA Form 3975, denoting in the appropriate blocks the date, time, place, and type of violation will be used to transmit a copy of the CVB Form to the commander or supervisor. The amount of money subject to forfeiture should also be included. Local policy will determine which offenses are reported to the district court or magistrate. b. Special instructions. (1) A Privacy Act Statement will be required to obtain an individual’s SSN. Chapter 2 of this regulation provides additional guidance. (2) Installation PMs/DESs must maintain liaison with their local U.S. Magistrate to determine accountability of the form and the referral of charges. The U.S. Magistrate inputs data from the CVB Form into the CVB. The provisions of chapter 4 of this regulation provide guidance on reporting offenses that will involve the use of the CVB Form. c. Distribution. Distribution of the form will comply with chapter 4 of this regulation and the instructions printed on the form. 7–8. DD Form 1920 (Alcohol Incident Report) a. General. DD Form 1920 (Alcohol Incident Report) is used to record the condition and behavior of individuals apprehended for offenses in which alcoholic influence is a factor. b. Special instructions. This form will be prepared for all offenses in which alcohol is considered to have been a factor. c. Distribution. DD Form 1920 will be an enclosure to the DA From 3975. 7–9. DA Form 2804 (Crime Records Data Reference Card) a. DA Form 2804 is used to provide identifying information on subjects of MPRs to USACRC. b. One completed form will be submitted for each offender. c. The original is forwarded with the DA Form 3975 to the USACRC. d. If a supplement DA Form 3975 is prepared, a DA Form 2804 will be completed and submitted to the Director, USACRC. This is especially important when a report is changed from founded to unfounded. e. The original is forwarded with the DA Form 3975 to the USACRC. 89AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 98 of 149 f. The copy if filed with the corresponding DA Form 3975 by the initiating PM/DES. 7–10. DA Form 2823 (Sworn Statement) a. DA Form 2823 (Sworn Statement) is used to record written statements of all persons related to MPRs. b. DA Form 3881 (Rights Warning Procedure/Waiver Certificate) (see para 7–11, below) must be prepared before a sworn statement is taken from a subject or suspect. c. One copy of the statement will be attached to each copy of the related DA Form 3975. 7–11. DA Form 3881 (Rights Warning Procedure/Waiver Certificate) a. General. DA Form 3881 is used to provide a standardized, legally sufficient, narrative rights warning for suspects or subjects. b. Special instructions. This form must accompany a DA Form 2823 when the individual is a subject or suspect in a MPR. c. Distribution. The DA Form 3881 must accompany each copy of the DA Form 2823. If a subject declines to be questioned, resulting in no DA Form 2823 being prepared, a copy of the DA Form 3881 will accompany each copy of the DA Form 3975. 7–12. DA Form 3626 (Vehicle Registration/Driver Record) a. General. DA Form 3626 (Vehicle Registration/Driver Record) will be used to— (1) Provide privately owned vehicle registration information for installations with a vehicle registration program. (2) Record traffic violation data on persons operating motor vehicles on Army installations. b. Special instructions. See AR 190–5 for complete instructions and administration of the traffic point System. c. Distribution. See AR 190–5. 7–13. DA Form 3945 (Military Police Log) a. General. DA Form 3945 (Military Police Radio Log) is used to record official MP radio transmissions not recorded by electronic means. b. Special instructions. This form is generally used as a 24-hour record of MP radio traffic reflecting patrol dispatches and calls for service. c. Distribution. No copies are required. The original is filed chronologically in the PMO/DES. 7–14. DA Form 3946 (Military Police Traffic Accident Report) a. General. DA Form 3946 is used to record details of motor vehicle traffic accidents. b. Special instructions. (1) A Privacy Act Statement will be required (see chap 2). (2) General instructions for completion of the form are included with the form. c. Distribution. (1) DA Form 3975 is the transmittal document. (2) The original DA Form 3946 is forwarded to the applicable commander. (3) A copy is retained in the PM/DES’s files. (4) When appropriate, the original will be attached to the original DA Form 3975 and sent to USACRC. In such cases, the first copy will be retained by the PM/DES, and a reproduced copy will be sent to the commander. (5) A copy will be provided to the installation safety office on accidents reported or investigated by MP which resulted in a fatality, personal injury, or estimated damage to Government property or privately owned vehicle in excess of $1,000. 7–15. DA Form 3997 (Military Police Desk Blotter) a. General. DA Form 3997 is available for use when MP reporting is conducted using a manual system. The form provides a chronological record of MP activities developed from reports, complaints, information incidents, and related events. The COPS provides a chronological record output suitable for electronic transmission or print on plain paper when needed. This is the only authorized form used to record MP activities. b. Special instructions. (1) Entries will not include the names of juvenile subjects, their parents, guardians, or sponsors. Entries will not list the name of any victim of sensitive incidents (for example, rape). When legitimate law enforcement requirements are met, the term “Protected Identify” will be entered where the name, SSN, and address are normally listed. (2) The term “Restricted Entry” will replace the entire blotter entry for cases in which information concerning the matter should be controlled. Examples of restricted cases include all types of sex-related offenses and other cases deemed appropriate by local policy. Use of restricted entry is authorized to protect information related to on-going 90 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 99 of 149 police investigations, when publication could adversely impact the investigation or endanger the lives of law enforce- ment personnel or informants. The responsibility to provide timely and accurate information to commanders, the chain of command, and HQDA will be considered when entering names of subjects. (3) The first page of the complete blotter and all extracts will include the following statement: “This blotter (or blotter extract) is a daily chronological record of police activity developed from reports, complaints, incidents, or information received and actions resulting therefrom. Entries contained in the blotter will not be completely accurate and are not adjudication’s attesting to the guilt or innocence of any person.” Blotters will be stamped “FOUO.” Separate blotter pages or attachments containing protected identity entries will be filed with juvenile records. c. Distribution. A complete blotter will generally be provided to the senior supported commander, Staff Judge Advocate, and USACIDC. Installation information security managers will be authorized by the commander to review the entire blotter for the purpose of submitting derogatory information reports to the Central Clearance Facility. Distribution should be limited to commanders or civilian supervisors of personnel who are the subjects or victims of a crime or accident. Supported commanders will also direct distribution of extracts to staff activities with responsibility for direct support to personnel involved in specified categories of crime or incidents. Examples would be distribution of traffic accident information to the safety officer; distribution of domestic violence reports to the Social Work Services Counselor; or alcohol related crimes to the Drug and Alcohol Abuse Program Coordinator. 7–16. DA Form 4002 (Evidence/Property Tag) a. General. DA Form 4002 is used to identify property seized as evidence or held for safekeeping. b. Special instructions. This form should remain attached to the property until final disposition has been determined. c. Distribution. None. 7–17. DA Form 4137 (Evidence/Property Custody Document) a. General. DA Form 4137 (Evidence/Property Custody Document) is used to maintain a chain of custody on seized, impounded, or retained property passed from one individual to another. This form is also used to record found property recovered by the MP. b. Special instructions. (1) See AR 195–5 for further guidance. (2) The original will remain in the PM/DES’s evidence room or lost and found files until final disposition of the related case. c. Distribution. (1) The original and first copy will remain attached to the property. (2) The second copy will be attached to the related MPR. (3) The third copy to the person releasing the property. (4) The original will be filed with the DA Form 3975 when property not processed through the evidence or lost and found property room is released. 7–18. Accountability of DD Form 1408 and the Central Violations Bureau Form DD Form 1408 and the CVB Form are accountable forms. The PMs/DESs will establish an accounting system to control these forms. An audit trail will be maintained from issue, to use, and eventual filing. All forms must be accounted for, including voided forms. Local policy will determine procedures for voiding forms and investigating missing forms. Chapter 8 Reportable Serious Incidents 8–1. Policy a. Incidents listed in paragraphs 8–2 and 8–3, below, are reportable to HQDA as category 1 and 2 serious incidents, respectively. The lists are not all inclusive. Commanders should report any incident that might concern HQDA as a serious incident, regardless of whether it is specifically listed in paragraphs 8–2 and 8–3, below. In cases of doubt, report the incident. In determining whether an incident is of concern to HQDA, the following factors should be considered: (1) Severity of the incident. (2) Potential for adverse publicity. (3) Potential consequences of the incident. (4) Whether or not the incident is reportable under other reporting systems. (5) Effect of the incident on readiness or the perception of readiness. b. Submission of an SIR will not be delayed due to incomplete information. All pertinent information known at the 91AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 100 of 149 time of SIR submission will be included. Additional required information will be provided in a subsequent add-on report. c. Incidents listed in paragraphs 8–2 and 8–3, below, occurring on Army installations and facilities are clearly reportable. Such incidents occurring off the installation will be reportable based on the degree of Army interest and involvement. Any incident where a Soldier (or a command sponsored family member or DA civilian employee OCONUS) is the subject or victim of a serious incident is reportable no matter where it occurs. Incidents where a family member or DA civilian employee is the subject or victim of a similar incident off post in the U.S. is not reportable, absent other connections to the Army. d. On occasion, HQDA, PMG will direct reporting of incidents or crimes that are not normally reportable. In these instances, the IMCOM region, ACOM, ASCC, DRU, and installation commanders will be notified by message of specific requirements and time periods for reporting. e. All SIRs in which a Soldier is listed as a subject will state whether the Soldier has deployed within the past year. f. The Army’s policy regarding the release of protected health information to law enforcement officials for law enforcement purposes mirrors the policy found in DOD 6025.18–R, paragraph C7.6. 8–2. Category 1 reportable serious incidents Actual or alleged incidents involving the following: a. On- and off-post riots, serious disturbances, or demonstrations targeted against the Army or involving Army personnel. b. War crimes, including mistreatment of enemy prisoners of war, detainees, displaced persons, retained persons, or civilian internees; violations of the Geneva Conventions; and atrocities. c. Requests by members of the Army for political asylum in foreign countries or indications of defection. d. Terrorist activities, sabotage, and incidents, initiated or sponsored by known terrorists, dissident groups, or criminal elements that occur on an installation or involve military personnel or property off an installation. e. Bomb or explosive incidents resulting in death, injury of military personnel, or damage to military property. f. Incidents involving material damage that seriously degrade unit operational or training readiness. g. Threats against Government weapons and ammunition. h. Information on threats, plans, or attempts to harm or kidnap, or other information bearing on the personal security of the President of the United States, Vice President of the United States, or other persons under U.S. Secret Service (USSS) protection. i. Any other incident the commander determines to be of immediate concern to HQDA based on the nature, gravity, potential for adverse publicity, or potential consequences of the incident. 8–3. Category 2 reportable serious incidents Actual or alleged incidents involving the following: a. Theft, suspected theft, wrongful appropriation, or willful destruction of Government property or appropriated funds valued at more than $100,000. b. Theft, suspected theft, negligence, or conflict of interest involving Government non-appropriated funds or property valued at more than $100,000. c. Racially or ethnically motivated criminal acts. d. Loss, theft, wrongful disposition, willful destruction, or mismanagement of the following: (1) Evidence. (2) Sensitive items, other than arms and ammunition, identified by Controlled Inventory Item Code 1–6, 8, 9, Q, R, or Y (see AR 710–2). (3) Controlled Cryptographic Items. (4) Drugs identified in the Comprehensive Drug Abuse Prevention and Control Act of 1970 as Schedules I, II, III, IV, and V controlled substances. Schedule II - V drugs are Government-controlled medical substances and are identified as R and Q controlled medical items in the Federal Supply Catalog. Schedule I drugs, as identified in the Act, are only used by DOD for research, and are not available through the supply system. (5) Any chemical agent, research chemical agent, or biological select agent or toxin. e. Wrongful possession, manufacture, or distribution of controlled substances, to include narcotics, drugs, or marijuana in the quantities listed below: (1) Cocaine, 100 grams or more. (2) Marijuana, 1000 grams or more. (3) Hashish, 1000 grams or more. (4) Heroin, 100 grams or more. (5) Methamphetamines or barbiturates, 100 grams or more. (6) LSD, 6 grams or more. (7) PCP, 100 grams or more. 92 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 101 of 149 (8) For narcotics and dangerous drugs not listed, use quantities for like substances listed above. f. Significant violations of Army standards of conduct, to include bribery, conflict of interest, graft, or acceptance of gratuities by Soldiers or DA or non-appropriated fund (NAF) employees. g. Incidents involving prisoners or detainees of Army confinement or correctional facilities to include escape from confinement or custody, disturbances which require the use of force, wounding, or serious injury to a prisoner, and all prisoner deaths. h. Theft, loss, suspected theft, unaccounted or recovered arms, ammunition, and explosives (AA&E) in the follow- ing quantities: (1) Any missile, rocket, mine, artillery, or mortar rounds. (2) Any machine gun or automatic fire weapon. (3) Any fragmentation, concussion, high explosive grenade, or other type of simulator or device containing explo- sive materials, including artillery or ground burst simulators. (4) Any explosives, to include demolition explosives (for example, detonation cord, blocks of explosives (C–4), and so on). (5) One or more semi-automatic or manually operated firearms. (6) Five or more rounds of ammunition greater than .50 caliber. (7) 1,000 or more rounds of .50 caliber or smaller ammunition. i. Actual or attempted break-ins of arms rooms or storage areas for AA&E. j. Armed robbery or attempted armed robbery of AA&E. k. Any evidence of trafficking of AA&E, such as bartering for narcotics or any other thing of value, to include taking AA&E across international borders, regardless of the quantity of AA&E involved. l. Aggravated arson. m. Except for deaths occurring due to natural causes in medical treatment facilities, all deaths occurring on Army installations must be reported, including, but not limited to, homicides, suicides, and deaths resulting from traffic accidents, training accidents, fires, or other incidents. Additionally, deaths of family members that occur off the installation which are deemed to be criminal in nature will be reported. All deaths of Soldiers that occur off the installation will be reported. If the manner of death is unknown, the incident should be reported as “undetermined manner of death.” The manner of death should be reported by add-on SIR as soon as determined. Whether the next of kin has been notified should be included in the SIR. Seatbelt and alcohol use should also be included in the SIR. n. Kidnapping. o. Major fires or natural disasters involving death, serious injury, property damage in excess of $250,000 (see additional reporting requirements in AR 420–90), or damage that seriously degrades unit operational or training capabilities. p. Group breaches of discipline involving 10 or more persons who collectively act to defy authority. q. Training and troop movement accidents resulting in serious injury or death. r. Maltreatment of Soldiers or DA civilians to include assaults, abuse, or exploitation where the offender has a trainer, supervisor, or cadre-trainee relationship with the victim, regardless of whether they are members of the same organization. Instances of consensual sex are not reportable unless other considerations such as sexual harassment or adverse publicity are involved. s. Violations of Army policy as it pertains to monitoring and recording of conversations (see AR 190–30, AR 190–53, and AR 525–1), or acquisition and storage of non-affiliated U.S. person information (see AR 380–13). t. Actual or alleged incidents of child abuse which takes place within an Army organizational setting or facility (for example, child development center, youth activities center, MTF, gymnasium, and so on) or an Army sponsored or sanctioned activity (for example, quarters-based family child care home, youth sports or recreation activities, field trips, and so on). This paragraph applies to incidents of child abuse occurring within the family unit which involve the use of a weapon (for example, a firearm, knife, or other devices which will cause serious bodily injury), the victim suffers a broken limb, is sexually abused, is choked or strangled, or is admitted to the hospital because of injuries incurred during the incident. u. Serious child injury or death, not resulting from child abuse, while the child is in the Army’s care at a non- medical facility (that is, child development center, quarters-based family child care home, youth activities center, and so on) or within an Army sponsored or sanctioned activity. This paragraph does not apply to sports injuries related to, or potentially inherent in, a youth activity or event. v. Serious domestic violence incidents (unrestricted reporting only). This report will include whether the Soldier was deployed within the past year leading up to the incident. w. Incidents involving firearms that cause injury or death. x. Federal crimes reportable under AR 381–10, when they meet reporting criteria. y. Any other incident that the commander determines to be of concern to HQDA based on the nature, gravity, potential for adverse publicity, or potential consequences of the incident. 93AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 102 of 149 8–4. Installation Management Command regions, Army Command, Army Service Component Commands, and Direct Reporting Unit directed reporting criteria IMCOM regional directors, ACOM, ASCC, and DRU commanders will, by approved supplementation to this regula- tion, establish additional reporting criteria to be known as “Category 3.” Means and format for reporting will be as prescribed by the IMCOM regions, ACOM, ASCC, and DRU commanders with the requirement that numbering sequences for category 3 reports will be separate from those used for reports to HQDA. 8–5. Incidents not reportable by serious incident reports The events or incidents listed below are not normally reportable by SIRs, but will be reported through other channels. a. Those operational events reported according to Joint Chiefs of Staff Publication 6–0. b. Aircraft accidents and related mishaps, unless they meet other SIR criteria. c. Nuclear weapons accidents/incidents (NUCFLASH, BROKEN ARROW, BENT SPEAR, AND DULL SWORD). d. Nuclear reactor mishaps (FADED GIANT). e. Chemical agent accidents or incidents. f. Incidents involving foreign students. g. Requests from civil authorities for military support of civil disturbances or counter-terrorist operations. h. Incidents involving national security crimes and deliberate security compromises will be reported to the nearest Army counterintelligence office as required by AR 381–12. i. Incidents covered under Executive Order 12333, as implemented by DOD 5240.1–R. Chapter 9 Serious Incident Report Reporting Procedures 9–1. Special handling of reports a. Reports submitted according to this regulation are law enforcement reports (see AR 25–55). They will be assigned a proper security classification according to AR 380–5 or marked with a minimum classification of FOUO according to AR 25–55. Reports or any information from them will be released according to AR 25–55 and this regulation. These two regulations implemented the 1974 Amendment to the FOIA (5 USC 552). b. The Privacy Act of 1974 (5 USC 552a) applies to SIRs (see AR 340–21). Dissemination and use of SIRs will be restricted to persons who need the reports to perform their official duties. 9–2. Time requirements and means of reporting a. Category 1 serious incident. Category 1 serious incidents will be reported by telephone to the Army Watch immediately upon discovery or notification at the installation level. The telephonic report will be in the format in figure 9–1. It will be followed by a written report, preferably by electronic mail or if electronic mail is not available, by electronic message, to PMG (DAPM–MPD–LE) and the Army Watch within 12 hours of discovery or notification. Facsimile will be used as a supplemental transmission. b. Category 2 serious incidents. Category 2 serious incidents will be reported by electronic mail or if electronic mail is not available, by electronic message to PMG (DAPM–MPD–LE) and the Army Watch within 24 hours of discovery or notification at the installation level. Facsimile will be used to supplement the transmission. See figure 9–7 for electronic mail addresses, electronic message addresses and facsimile numbers. 9–3. Types of serious incident reports and reporting formats There are three types of SIRs— a. SIR, original submission (see figs 9–1 and 9–4). b. SIR “add-on” submitted to provide information not available at the time of the original report or when more pertinent information, such as results of autopsy, identification of subject, and so on is developed, or in response to a request for more information from HQDA (see figs 9–2 and 9–5). c. SIR “correction,” submitted at any time to correct an error in a previous report (see figures 9–3 and 9–6). 9–4. Reporting incidents when reporting responsibility is transferred When reporting responsibility is transferred between commands— a. The first report submitted after an agreed transfer will contain the name and SIR number of the original submission and a statement added to the “Remarks” paragraph that reporting responsibility was transferred. b. The command and IMCOM region accepting SIR transfer will provide the relinquishing command an information copy of all future reports on the incident. 94 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 103 of 149 9–5. Required information addressees on serious incident reports Commanders will ensure that information addressees are included on SIRs as follows: a . F o r a l l S I R s , t h e r e p o r t i n g c o m m a n d ’ s A C O M , A S C C , o r D R U , t h e r e s p e c t i v e I M C O M r e g i o n a n d t h e USACIDC. b. If the incident involves personnel or equipment of another unit, installation, IMCOM region, ACOM, ASCC, or DRU installation or facility; that unit, installation, or facility and its respective higher headquarters will be information addressees. c. If the incident involves ARNG/ARNGUS personnel, facilities, or equipment, the respective state Adjutant General and the National Guard Bureau will be information addressees. d. If the incident involves USAR personnel, facilities, or equipment, the Commander, USARC, will be an informa- tion addressee. e. If the incident involves MP personnel as the subject of a criminal offense or other misconduct, the Commandant, U.S. Army Military Police School, will be an information addressee. f. If the incident involves threats to the President of the United States, other high Government officials, or anyone under the protection of the USSS, the USSS and Defense Intelligence Agency will be information addressees. g. If the incident involves NAF personnel, resources, or property, child abuse or the injury or death of a child in an Army organizational setting or Army sponsored activity (see para 8–3t and u), or serious domestic violence (see para 8–3v), the Commander, U.S. Army Community and Family Support Center, will be an information addressee. h. If the incident involves Federal crimes reportable under AR 381–10 and this regulation, include the Army General Counsel as a “To” addressee and HQDA Deputy Chief of Staff, G–2 (DAMI–CD) as an information addressee. 95AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 104 of 149 Figure 9–1. Format and instructions for preparing a serious incident report 96 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 105 of 149 Figure 9–1. Format and instructions for preparing a serious incident report—Continued 97AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 106 of 149 Figure 9–2. Format for add-on serious incident report Figure 9–3. Format for correction to serious incident report 98 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 107 of 149 Figure 9–4. Sample serious incident report 99AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 108 of 149 Figure 9–4. Sample serious incident report—Continued Figure 9–5. Sample add-on serious incident report 100 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 109 of 149 Figure 9–6. Sample correction of serious incident report 101AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 110 of 149 Figure 9–7. Message addresses and facsimile numbers 102 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 111 of 149 Figure 9–7. Message addresses and facsimile numbers—Continued Chapter 10 U.S. Magistrate Court 10–1. Relationship to Army The U.S. Magistrate Court provides the DA with the means to process and dispose of certain categories of misdemean- ors by mail or through appearance in magistrate court. The U.S. Magistrates and U.S. District Courts will, by local court rules, establish the payment of a fixed sum in lieu of court appearance in cases involving certain misdemeanors. 10–2. U.S. Magistrate Court objectives The U.S. Magistrate Court provides— a. Uniform procedures for the collection of fines, the forfeiture of collateral in lieu of fines, the forfeiture of collateral in lieu of appearance, the scheduling of mandatory hearings or voluntary hearings requested by defendants, and the keeping of records. b. A simple but sure method of accounting for fines, for collateral, and for violation notices issued. c. Convenience to the public. d. Enforcement of misdemeanors violation of laws on Army installations. 10–3. Court appearances a. Each court will determine, by local court rule, which offenses require mandatory appearances by violators. Installation PMs/DESs or other law enforcement officials will coordinate through installation staff judge advocates with local U.S. Magistrates or U.S. District Courts to secure a court-approved list of offenses requiring mandatory appearance before the local U.S. Magistrate. b. Optional appearances will be requested by violators— (1) At the time a CVB Form is issued. Law enforcement officials issuing the CVB Form will refer violators to the proper U.S. Magistrate if a hearing is requested by the violator. (2) By mail. These violators include those who— (a) Are not present at the time a CVB Form is issued (for example, for a parking violation). (b) Subsequently volunteer to appear before the U.S. Magistrate rather than forfeit the collateral indicated on the CVB Form. (c) Violators who use the mail-in procedure to request an optional appearance before a U.S. Magistrate must place check mark on the appropriate line. The violator will be notified by the clerk of the U.S. District Court of the time, date, and place to appear for the hearing. 10–4. Central Violations Bureau a. The Administrative Office of the U.S. Courts established the CVB for processing violation notices. Each U.S. District Court has a local rule or order that provides or authorizes a preset forfeiture of collateral amount for persons charged with certain petty offenses. Rules for processing misdemeanors and other petty offenses are promulgated under Rule 58 of the Federal Rules of Criminal Procedure and by the individual District Courts. The existence of the local 103AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 112 of 149 rules does not prevent law enforcement personnel from requesting the filing of a complaint against a defendant in lieu of issuing a violation notice. These procedures merely provide an alternative method for handling petty offense cases; a method which is usually more convenient for the law enforcement personnel, the defendant, and the court. b. Even though the amount paid is stated to be a fine, it is actually a posting of collateral which is forfeited if the defendant pays and does not request an appearance before a U.S. magistrate judge. Acceptance of payment by the CVB terminates the proceeding. Local Federal rules and state law determine whether a moving violation will be reported as a conviction to the state Department of Motor Vehicles (DMV). There are certain offenses where forfeiture of collateral is not permitted. Those offenses require a mandatory appearance before a U.S. magistrate judge. Also, a defendant will request a hearing before a U.S. magistrate judge rather than paying the forfeiture of collateral and a hearing will be scheduled. The CVB or the U.S. magistrate judge will process these matters. c. The U.S. Attorney is responsible for all prosecutions in the U.S. District Court and for coordinating law enforcement efforts. Generally, the U.S. Attorney delegates to the individual agencies authority to issue violation notices and to prosecute petty offenses initiated by violation notice. As an example, Judge Advocate Generals have generally been authorized by the U.S. Attorney to prosecute certain crimes in which the Army has an interest. These are commonly referred to as Special Assistant United States Attorneys. Chapter 11 Use of Central Violations Bureau Form 11–1. General a. The basis for initiating action by the U.S. Magistrate System is the CVB Form. The form is designed to provide legal notice of a violation. It also records information required by the U.S. District Court, law enforcement authorities, and, if appropriate, state DMVs. The form is a three-part form printed on chemically carbonized paper and pre- numbered in a series for accounting control. The form will be bound in books of 10 violation notices per book. Installation law enforcement agencies will be accountable for each CVB Form issued and for stock on-hand. Accounta- ble records will be maintained in accordance with AR 25–400–2. b. The PMs/DESs or other law enforcement officials will coordinate through installation Staff Judge Advocates with the U.S. Magistrate of the judicial district in which the installation is located. Information listed below, as a minimum, must be obtained from the U.S. Magistrate before referral of violators to the U.S. Magistrate or U.S. District Court. (1) A list of misdemeanors for which the mail-in procedure is authorized and the amount of collateral for each offense. The district court address will be pre-stamped (using a locally procured stamp) on the violator’s copy of the CVB Form by the issuing authority. (2) A list of misdemeanors requiring mandatory appearance by the violator before the U.S. Magistrate. The magistrate’s name and location and the dates and times of appearance will be cited when scheduling a violator to appear before the U.S. Magistrate. c. The Statement of Probable Cause and the Promise to Appear will be used in compliance with installation staff judge advocate and U.S. Magistrate or U.S. District Court policies and instructions. The Statement of Probable Cause printed on the back of the original CVB Form and is required to support the issuance of a summons or an arrest warrant. The promise to appear, printed with instructions to the violator on the inner flap of the envelope, is optional and some U.S. Magistrates or U.S. District Courts will elect not to use it. 11–2. Important guidelines for issuing the Central Violations Bureau Form The following is a list of important guidelines for the preparation of the CVB Form: a. Complete the violation notice legibly. Printing is preferred. b. Ensure the CVB location code is on every violation notice. c. Mail violation notices to the CVB within three days of being issued to the defendant. d. Only one offense will be cited per violation notice. e. Ensure the proper forfeiture schedule is used for the appropriate U.S. District Court. f. Do not indicate the fine amount on mandatory appearance violations. g. Verify that the Charlotte, North Carolina lockbox address (Central Violations Bureau, P.O. Box 70939, Charlotte, NC 28272–0939) appears on the defendant’s copy to ensure proper mailing. 11–3. Issue and disposition procedures a. Information entered on CVB Form is dependent on— (1) The type of violation (standing, moving traffic violation, or non-traffic offense). (2) Whether the violation cited requires the mandatory appearance of the violator before a U.S. Magistrate. b. A standardized violation notice initiates a petty offense case in a U.S. District Court. It is a multipart document 104 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 113 of 149 designed to provide legal notice to the defendant and to provide the court and the agency with necessary information for processing. c. Each Federal law enforcement agency is responsible for providing its personnel with violation notices. Each agency is also responsible for accounting for all violation notices. d. The violation notice is a three-part form which is distributed as follows: (1) White (original) copy is mailed to: CVB, P.O. Box 780549, San Antonio, Texas 78278–0549. (2) Pink copy is kept by the issuing agency. The CVB recommends five years in accordance with records retention guidelines. (3) Ivory (cardboard) copy is given to the defendant at the time of issuance or upon arrest, placed on the defendant’s vehicle, or mailed to the defendant by the issuing agency. This copy should contain the address of the Charlotte, North Carolina lockbox facility on the front of the envelope. This copy informs the defendant of the charges as well as detailed instruction on how to pay the collateral or plead not guilty and appear in court. The instructions also advise the defendant of the potential consequences for failure to appear or pay, including notifying the state DMV, which will affect their driving privileges and/or registration. The citation also serves as an envelope for mailing forfeiture of collateral payment to the lockbox facility. The issuing agency should ensure the back of this copy contains the address of the lockbox facility. The issuing officer must complete certain items on the violation notice in order to provide the CVB with all necessary information for the U.S. Magistrate Judge. 11–4. Fines, collateral, and nonpayment delinquencies Army law enforcement agencies will— a. Not accept or otherwise collect any fines or collateral or keep records of fines or collateral paid or not paid. b. Take no action concerning nonpayment delinquencies except where warrants are issued for the violator by the proper court authorities. 11–5. Notification to commanders and supervisors When the CVB Form is used to cite military personnel and DOD-affiliated employees for misdemeanors, the violator’s unit commander or supervisor will be advised as follows: a. When the CVB Form is used to cite military personnel and DOD-affiliated employees for mandatory appearance type violations, an information copy of DA Form 3975 will be provided to the violator’s unit commander or supervisor. The DA Form 3975 will denote the date, time, location, type of violation and where the violator is scheduled to appear before the U.S. Magistrate. The DA Form 3975 will be entered in COPS. DA Form 4833 will be generated and used to report action taken by the commander or supervisor. b. When the CVB Form is used to cite military personnel and DOD-affiliated employees for violations that are disposed of by mail, the commander or supervisor will be advised by use of the DA Form 3975. The DA Form 3975 will be entered in COPS. DA Form 4833 will be generated and used to report action taken by the commander or supervisor. 11–6. Use of statement of probable cause In compliance with guidelines issued by the Administrative Office of the U.S. Courts, the reverse side of the violation notice provides the statement of probable cause. This is required by Rule 58(d)(3) of the Federal Rules of Criminal Procedure to support the issuance of a summons or arrest warrant. The statement of probable cause will be printed on the reverse side of the original violation notice, on all copies of the violation notice, or as a separate form. Upon receipt of the probable cause statement by the issuing officer and a finding of sufficient probable cause by the U.S. Magistrate Judge, bench warrants forwarded by the CVB to the U.S. Magistrate Judge will then be signed, dated, and issued. If the statement of probable cause has been properly completed by law enforcement personnel, the U.S. Magistrate Judge can then issue the bench warrant. 11–7. Mandatory appearance Certain offenses require a mandatory appearance before a U.S. Magistrate Judge. When preparing such a violation notice, law enforcement personnel will check the box indicating mandatory appearance. The place and time box of the court appearance will not be completed, unless the CVB or the court authorizes the court date and times to be written on the violation notice. The CVB will notify the defendant of this information by mailing to the defendant a notice to appear (NTA) letter. The CVB will either promptly forward the violation notice to the designated U.S. Magistrate Judge to schedule or CVB will schedule the court appearance. If law enforcement personnel check the box indicating mandatory appearance, then the box indicating a collateral fine will be left blank. 11–8. Submitting mandatory hearing violations In most districts, mandatory appearance violation notices are transmitted to CVB in the same manner as optional appearances. Other districts require mandatory appearance violations be mailed directly to the U.S. Magistrate Judge’s 105AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 114 of 149 office. If the hearing date and time has not been preassigned, it is the responsibility of the U.S. Magistrate Judge’s staff to notify the defendant and the agency of the date. 11–9. Submitting violation notices to the Central Violations Bureau Agencies should submit violation notices within three days in person or by mail. If practical, violation notices should be forwarded to the CVB the same day the violation notices are issued. Transmittal sheets are not required by CVB, but can be used if the agency so desires. If an agency requires a receipt for the notices, they should include the transmittal sheet and a self-addressed, pre-stamped envelope. The transmittal sheet will be stamped “received,” and returned to the agency. This merely acknowledges receipt of the violation notices. 11–10. Agency requests to dismiss or void a violation notice a. If a violation notice has been issued in error, it will be voided in one of two ways. If the agency is still in possession of all copies, void the notice and record that action. If the violation notice has already been placed on a vehicle, given to the defendant, or has been forwarded to the CVB, the notice can only be dismissed by the U.S. Magistrate Judge for that district. b. A written statement signed by the supervisor or chief law enforcement officer from an agency requesting a violation notice or notices be dismissed or voided must be forwarded to the CVB via mail or e-mailed to the following address: cvb@cvb.uscourts.gov. The mailing address is: CVB, P.O. Box 780549, San Antonio, TX 78278–0549. The CVB will enter a request for void into the database and forward it to the magistrate judge with a CVB transmittal letter. Upon reviewing the request from the agency, the U.S. Magistrate Judge will either approve or deny dismissal. (1) To approve the dismissal or void, the U.S. Magistrate Judge will check the block “Dismissal Approved," date, sign, and forward the order to the CVB. The CVB will enter the disposition code NA (Agency Requested Dismissal) into the system and file all related paperwork. (2) To deny the dismissal or void, the U.S. Magistrate Judge will check the block “Further Action to Be Taken," date, sign, and forward the order to the CVB. The CVB will then contact the agency and inform them of any additional information or action ordered by the U.S. Magistrate Judge. c. If an information MPR was initiated, the report should be updated in COPS to reflect that the CVB Form was dismissed or voided. 11–11. Request for dismissal or void by the defendant When a defendant mails evidence to the CVB concerning the offense, (proof of insurance, registration, and so on), or correspondence addressed to the U.S. Magistrate Judge directly, the information is entered into the computer and forwarded to the U.S. Magistrate Judge attached with the docket package. In some instances, a citation or citations will have already been forwarded to the court. These cases will be attached to a CVB transmittal letter and forwarded to the U.S. Magistrate Judge. a. To approve the dismissal or void, the U.S. Magistrate Judge will check the block “Dismissal Approved," date, sign, and forward the order to the CVB. The CVB will enter the disposition code NH (Violator Request) into the system and file all related paperwork. b. To deny the dismissal or void, the U.S. Magistrate Judge will check the block “Further Action to Be Taken," date, sign, and forward the order to the CVB. The CVB will then contact the agency and inform them of any additional information or action ordered by the U.S. Magistrate Judge. 11–12. Violation notices issued to unattended vehicles Violation notices will be issued to unattended motor vehicles. If at all possible, the issuing agency must ascertain the defendant’s name and address before the violation notice is forwarded to CVB. Violation notices without a complete mailing address will be returned to the agency for further action. 11–13. U.S. Magistrate Judge Docket Report The NTA letters are mailed to defendants approximately four weeks before the court date to allow for a response from the defendant and to allow the defendant to forfeit collateral. If the CVB does not hear from the defendant, a computer generated Docket Sheet and Judgment Order is automatically produced 14 days before the court date. Warrants, suspensions, and images of the original violation notice are then forwarded to the U.S. Magistrate Judge with the Docket Sheet and Judgment Order, which lists the violation number, CVB location code, and the defendant’s name and address. The violations are listed in alphabetical order according to the defendant’s last name. The Docket Sheet and Judgment Order has additional space for the U.S. Magistrate Judge’s courtroom deputy to complete at the time of the hearing. Once the hearing is held, the information will be entered on the Docket Sheet and Judgment Order and returned to CVB. 11–14. Request to agency for a better address The CVB requests agencies mail all original citations within three working days of issuance. Violation notices without full name and address information should not be mailed, unless payment has been received by CVB. Violation notices 106 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 115 of 149 received at the CVB without a complete mailing address will be returned to the agency for further action. If a violation notice is entered without a valid address or returned to the CVB as undeliverable a request for a better address will be generated. If the agency obtains a better address for these violations, please notify CVB. Failure to receive better addresses from the issuing agency within 15 days from the date of this list will result in the voidance or dismissal of these violations. 11–15. Undeliverable warning letters referred to U.S. Magistrate Judge Sixteen days after the transmittal "Request to Agency for Better Address" has been printed and forwarded to the agency, and no response has been received, an "Undeliverable Warning Letters Referred to U.S. Magistrate Judge" transmittal will be produced by the CVB. This transmittal will have images of the original violation notices attached and will be forwarded to the U.S. Magistrate Judge. The U.S. Magistrate Judge has two options— a. To approve dismissal for lack of a better address the U.S. magistrate judge will check the block “Dismissal Approved," date, sign and return the transmittal to the CVB. The CVB will enter the disposition code NM (Dismissal Without Prejudice) into the System and file all related paperwork. Agencies will be notified of the disposition by issuance of the "OPEN/CLOSED INDEX" monthly report. b. To deny dismissal for lack of a better address, the U.S. Magistrate Judge will check the block “Further Action to be Taken," date, sign, and return the transmittal to the CVB with instruction on any action to be taken by the CVB or issuing agency. 11–16. Notice to appear letters a. The NTA letters are mailed to defendants four weeks prior to the court date. The NTA letter lists the citation number, location code, date of offense, amount that will be forfeited in lieu of going to court (if the offense committed requires a mandatory appearance, the NTA will read "MANDATORY APPEARANCE REQUIRED"), the date the NTA letter was mailed, the offense, place of offense, and any special instructions the court wishes the defendant to know. The NTA letter will notify the defendant of the location, date and time of hearing. Each NTA letter contains a postage paid business reply envelope. In the event the offense was an "Optional Appearance," the defendant has the opportunity of paying the citation prior to the court date. b. Defendants have the option of calling to obtain their court date from the automated voice case information system at the CVB. A selection on the automated answering system allows them to enter their violation number, and after doing so, the recording will repeat the court date and time. Should the defendants have any questions, an operator will assist them. 11–17. Warrant This is a three-part form produced by CVB. The warrant reflects the defendant’s name and address, the violation number, the date the violation notice was issued, and the offense. If the court date has passed and the defendant has failed to appear, the U.S. Magistrate Judge will issue a warrant. The Notice Before Arrest is mailed by the U.S. Marshal to the defendant upon receipt of the warrant from the U.S. Magistrate Judge. 11–18. Suspension notices If legislation in a state allows acceptance of a Federal citation from the CVB by the state DMV, a defendant who does not pay the forfeiture of collateral amount and does not appear before the U.S. Magistrate Judge on the scheduled court date will have their state drivers license suspended. The CVB will produce a suspension notice to mail to the court together with the final docket. The suspension process normally takes the place of the warrant process. If the court decides to issue the suspension, then the court is responsible for mailing a copy to the defendant and to the DMV, and for retaining a copy for the court’s records. If the defendant pays the forfeiture of collateral amount after receiving notice of the suspension, the court should submit a withdrawal of the suspension to the state DMV. 11–19. Agency notification When the U.S. Magistrate Judge docket is produced by the CVB, a report (Magistrate Referred Listing) of violations is e-mailed to all agencies which have citations on the upcoming docket. 11–20. Hearing types All petty offense violations are either an optional court appearance (O) or a mandatory court appearance (M). The optional violation notice allows for a predetermined forfeiture of collateral amount to be paid which will close the violation notice. The hearing type is listed on the Petty Offense Docket between the violation number and the defendant’s name. Optional is designated as an "O.” A mandatory appearance will be shown as an “M.” If the officer fails to write the forfeiture amount on the violation notice, CVB will automatically enter “M” for mandatory appearance. The court will choose to change hearing types from mandatory to optional and indicate the dollar amount that will be forfeited on the docket. 107AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 116 of 149 11–21. Forfeiture of collateral on a court docket Once the docket, images of the violation notice(s) and warrant(s) have been mailed to the court, the CVB will e-mail the court if a payment has been made on a violation notice on the docket. All payments received by CVB are processed daily. Therefore, the CVB will notify the court of any payments received on the docket the next working day. 11–22. Payment by credit card The CVB can accept payment by Visa, MasterCard, Discover, and American Express for fines to minimize deferred or installment payments for petty offense fines. The U.S. Magistrate Judge courtroom deputy will also provide the defendant with a credit card form to complete. The defendant should mail the completed form to the CVB lockbox facility in Charlotte. Please ensure all fields have been completed. A daytime phone number should be used when applicable. The CVB will process the credit card payment when received. If the credit card company denies the use of the card, the CVB will notify the defendant that the charge was denied. 11–23. Payroll deductions If a court services a military installation, payroll deductions will be used. This allows the fine assessed to be deducted from the defendant’s payroll check and deposited to the U.S. Treasury. The proper forms will be provided by the Military Financial Section. Upon receipt of the docket with a disposition code of "PR" or "TR," the CVB will close the case. 11–24. Citations on the docket to be reset In some cases, additional time is required by the court or the defendant to prepare for the case. The citation will then be reset. The CVB will initially set the cases for the first hearing; thereafter, the court is responsible for all resets. Resets will be placed on a blank AO–254A form (this is a docket that is maintained by CVB staff members) or added to the next CVB docket. Notification to the defendant of the reset must be made by the court. 11–25. Agency monthly reports The Agency Open Index Report is e-mailed monthly to each agency. It lists all pending violation notices. It will also indicate if the violation notice has been set for a hearing. In the form of a two-letter code it shows what, if any, action has occurred on the violation notice. It is the responsibility of each agency to notify the CVB of any changes in personnel. The agency should provide a name, e-mail address, phone, and fax number for each point of contact. The Agency Closed Index Report is e-mailed monthly to the agencies and is similar to the Agency Open Index Report. It lists all violations closed the previous month, the date the violation was disposed of, and in the form of a two letter- code which indicates the disposition of the case. These reports provide an excellent means of comparing agency records with those of the CVB. Agencies should contact the CVB if there are any discrepancies between the reports. 11–26. Waiver of venue for plea and sentence Pursuant to Federal Regulation Criminal Procedure 58(c)(2), a defendant will state in writing a wish to plead guilty or nolo contendere to waive venue and trial in the district where the violation is pending and consent to disposition of the case in a district in which that defendant is present. Unless the defendant thereafter pleads not guilty, the prosecution will be had as if venue were in such district. Notice of the same will be given to the magistrate judge in the district where the violation was originally commenced. The defendant’s statement of a desire to plead guilty or nolo contendere is not admissible against the defendant. The original Rule 58(c)(2) request is then forwarded to the court which currently has jurisdiction of the case for transfer. The magistrate judge signs the request and returns the file and the Rule 58 to the requesting court. A copy of the signed order should be mailed to the CVB. Upon receipt of the original documents, the receiving court will set the case for the next available docket. 11–27. Intra-district transfer When a violation notice is transferred from one U.S. magistrate judge to another in the same district, the notice and any other paperwork is mailed directly from the present U.S. magistrate judge to the receiving U.S. magistrate judge. The CVB is notified in writing of this intra-district transfer so system records can correctly reflect the U.S. Magistrate Judge assigned to the case. 11–28. Voice Case Information System The Voice Case Information System (VCIS) is available by calling CVB’s main number at 1–800–827–2982. The VCIS provides case information over the telephone 24 hours per day. Defendants, agencies, and courts can verify if a payment has been received or a date a citation has been scheduled. 11–29. Central Violations Bureau database search option through e–mail The CVB has an e-mail program that can be used instead of calling VCIS. It is superior to the VCIS telephone functionality in a number of ways. There is no limit to the number of citations that can be checked and it is able to retrieve the information in less time. There is more information available via e-mail. The response will be via e-mail so 108 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 117 of 149 the information can be kept electronically for your records. Simply list the citations in an e-mail and send it to search@cvb.uscourts.gov. To use the system, do the following: a. Compose an e-mail to search@cvb.uscourts.gov. The subject of the e-mail does not matter. The return e-mail will have the same subject as you enter. It is suggested to use something you will recognize. b. Create a list of citations. The list should start with a line containing the word “start” followed by one citation per line. After the last citation add a line containing the word “end”. For example— (1) Start. (2) A1234567. (3) B2345678. (4) C3456. (5) End. (6) In this example, searches for citation numbers A1234567, B2345678, and C3456 will be performed against the CVB database. c. Send your message. d. Wait for a reply. The reply should return to you within a few minutes of submission. 11–30. Disposition of personnel subject to the Uniform Code of Military Justice Personnel subject to the UCMJ who pay a fine or forfeit collateral or whose cases are disposed of in accordance with this regulation will not be punished under the provisions of the UCMJ for the same violation. Installation commanders should establish policies on how to refer Army personnel to the U.S. Magistrate for disposition when the violator’s conduct constitutes a misdemeanor within the magistrate’s jurisdiction and is also a violation of the UCMJ. Such policies must be consistent with directives of higher headquarters and coordinated through installation Staff Judge Advocates and with local U.S. magistrates or U.S. District Courts. 11–31. Disposition of juvenile offenders Juveniles are not subject to the jurisdiction of U.S. magistrates or U.S. District Courts without a certification by the U.S. Attorney General that the state juvenile court lacks jurisdiction, refuses to assume jurisdiction, or does not have adequate programs and services available (18 USC 5032). Therefore, coordination should be made with local juvenile authorities concerning the disposition of offenses committed by juveniles on Army installations. Coordination will also be made with the appropriate Juvenile Disciplinary Advisory Council, which will also have the authority to dispose of offenses committed by juveniles. Chapter 12 Game Enforcement 12–1. General Game enforcement is part of the Fish and Wildlife Management Program that enforces Federal, state, and installation fish and wildlife laws and regulations in support of conservation, environmental protection, and safety policies. (See AR 200–3 and DA Pam 420–7, chapter 4, for the overall fish and wildlife management program.) 12–2. Areas under exclusive Federal jurisdiction On installations or facilities or parts of them over which exclusive Federal jurisdiction exists, the laws of the state relative to fish and game concerning the bag limits and other related measures are operative only as Federal laws pursuant to 10 USC 2671 and are enforceable by Federal officials including military police. A state official will exercise authority as both a state and Federal official. A state game warden will also be a Deputy U.S. Game Marshal and thereby would be authorized to enforce Federal law. 12–3. Concurrent jurisdiction State game laws will be enforced by either Federal or state officials where concurrent jurisdiction exists. 12–4. Referral to U.S. Magistrate Federal and state law violations that apply to military reservations under the provision of 18 USC 13 will be referred to the U.S. magistrate in accordance with the provision of this regulation and established local procedures, using the CVB Form. The MPRs will be completed in accordance with chapter 4 of this regulation, and entered into COPS. 109AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 118 of 149 Table 12–1 Common Hunting, Fishing, Trapping, Environmental Protection, and Safety Violations Hunting, fishing, or trapping without the proper license or permit. Hunting, fishing, or trapping out of regulatory season. Hunting, fishing, or trapping in a closed or unauthorized area. Hunting, fishing, or trapping by unauthorized methods. Hunting, fishing, or trapping with unauthorized equipment. Violations of hunting, fishing, or trapping, taking, or possession (bag) limits. Trespassing. Littering. Polluting waterways. Violation of U.S. Coast Guard regulations. Transporting a loaded firearm in a vehicle. Possession of illegally taken fish or game. Violation of assimilated state hunting, fishing, or trapping laws. Violation of provisions of the Lacey Act, 16 USC 3372, as amended. This act prohibits, among other things, importing, exporting, transporting, selling, receiving, or acquiring any fish, wildlife, or plant taken or possessed in violation of any state, Federal, or foreign law, treaty, or regulation. It also requires the marking and labeling of containers or packages containing fish or wildlife transported in interstate commerce. Violation of the Migratory Bird Treaty Act, 16 USC 703, as amended. This act provides that, except as permitted by regulations, it is un- lawful to pursue, hunt, take, capture, kill, possess, offer for sale, sell, offer to barter, offer to purchase, purchase, exchange, deliver for shipment, or cause to be exported any migratory birds or their parts or nests. Violation of the Migratory Bird Hunting and Conservation Stamp Act, 16 USC 718, as amended. This act requires persons over the age of 16 taking migratory waterfowl to carry a Federal migratory bird hunting and conservation stamp validated by the person’s signature written in ink across the stamp. Violation of the Bald Eagle Protection Act, 16 USC 668, as amended. This act provides that persons will not take, possess, sell, pur- chase, barter, transport, export, or import Bald or Golden Eagles, or their parts, nests, or eggs, except by permit issued by authority for the Secretary of the Interior. Chapter 13 National Crime Information Center Policy 13–1. Authority The authority for Army law enforcement agencies to access CJIS, NCIC, and NLETS is based on this regulation, user agreements between the installation law enforcement activity and the respective state CTA, and issuance of an Originating Agency Identifier (ORI). All transactions must be according to the standards of this regulation, the NCIC Operating Manual, state user manuals, and state user agreements. In instances where there will be a conflict in standards, the strictest policy interpretation will apply. 13–2. Standards The following standards must be followed in operating terminals: a. The NCIC use is limited to authorized criminal justice purposes that is, stolen vehicle checks or wants and warrants). b. Dissemination of information is based on an official need to know. c. Only trained and authorized personnel will operate terminals. d. An Army agency queried over the NCIC must respond within 10 minutes. e. Required NCIC and state written documentation must be prepared and retained for audit by the NCIC or state CTA. f. Army law enforcement agencies will not use DOJ. Joint Automated Book System accounts to directly interface with CJIS. g. Only personnel in the Latent Print Division of the USACIL will submit or receive IAFIS transactions involving latent finger or palm prints. 110 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 119 of 149 13–3. Authorized access a. The NCIC terminal operators are authorized access to files maintained in the NCIC in the performance of their official duties: b. Participation in other Federal, state, and local police information systems is authorized. Chapter 14 National Crime Information Center Procedures 14–1. Requesting an originating agency identifier a. To be considered for participation and assignment of an ORI, an activity must meet the standards of the NCIC and the state CTA. b. Requests for participation are initiated by the PM/DES and submitted to the garrison commander; requests are then forwarded through the regional IMCOM office or ACOM, ASCC, DRU commander. The regional IMCOM office will forward their requests to the HQDA IMCOM and to the Director, USACRC for a decision. The ACOM, ASCC, and DRU commanders will forward their request to the Director, USACRC for a decision. The Director, USACRC, will disapprove requests that do not meet the criteria of this regulation, NCIC or state eligibility requirements. See figure 14–1, below, for an example of a request for an ORI. 111AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 120 of 149 Figure 14–1. Sample Request for ORI 112 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 121 of 149 14–2. Suspension or revocation a. The NCIC and state CTAs have the authority to suspend or revoke an Army terminal’s access to files when operating policies are not correctly followed. b. Notification of serious violations, suspension, or revocation from the use of NCIC and state terminals and NCIC files will be immediately reported directly to the Director, USACRC, Federal Service Coordinator by the most expeditious means. The Federal Service Coordinator will review the circumstances and effect immediate coordination to resolve issues. c. When notified of a serious violation, the installation PM/DES will take corrective action required by the NCIC or state CTA. 14–3. Entry a. Entry messages place a new record in the NCIC using the ORI assigned to the agency. Procedures for entering a new record are explained in each file of the NCIC Operating Manual. (1) The PMs/DESs within the continental United States, Alaska, and Hawaii will enter stolen or missing . Govern- ment property valued at $500 or more and having a unique manufacturer assigned serial number. All Government or privately owned weapons reported lost, stolen, or recovered will be entered into the NCIC gun file, regardless of value. (2) Director, USACRC, enters stolen property and gun reports for PM/DES offices in overseas areas. b. Law enforcement activities not located on an Army installation or having access to a terminal will enter into a written agreement with an installation PM/DES to have the installation provost marshal office enter records and act as the ORI holder. Figure 14–2, below, is an example of an ORI holder agreement. 113AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 122 of 149 Figure 14–2. Sample ORI holder agreement 114 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 123 of 149 Figure 14–2. Sample ORI holder agreement—Continued 115AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 124 of 149 14–4. Modification Modification messages are used to add, delete, or change a portion of data that is part of the NCIC entry. An entering agency will modify a record while it is in an active status following file procedures in the NCIC Operating Manual. 14–5. Cancellation Cancellation of an NCIC entry removes the entire record from the NCIC. A record must be canceled by the entering ORI when it is determined to be invalid. 14–6. Validation The NCIC periodically prepares a listing of records on file for validation by system users. Each state CTA and Federal Service Coordinator receives a letter explaining the records on the validation list, the order in which records are listed, and general procedures for validating the records. Army participants must validate their records and respond to the state CTA. Failure to comply with validation procedures could result in the record being deleted or administrative action taken against the entering agency. 14–7. Army participation in Criminal Justice Information System a. The FBI CJIS Division includes the NCIC, UCR, fingerprint identification that includes the IAFIS and the NIBRS. b. The PM/DES procedures for submitting data to the UCR, IAFIS, and NIBRS are explained paragraph 4–10. c. The purchase of IAFIS equipment must be coordinated and approved by the Installation Management Agency, or the ACOM, ASCC, DRU commanders, and Director, USACRC. This will ensure that all IAFIS devices are compatible and ensure that the Director, USACRC, properly submits all fingerprint submissions to IAFIS and the criminal history file of the NCIC. 116 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 125 of 149 Appendix A References Section I Required Publications AR 25–55 The Department of the Army Freedom of Information Act Program (Cited in paras 2–1, 2–2, 2–5, 3–1, 3–3, 3–4, 3–8, 9–1.) AR 25–400–2 The Army Records Information Management System (ARIMS) (Cited in paras 1–4, 2–1, 2–5, 11–1.) AR 27–10 Military Justice (Cited in paras 2–7, 6–1.) AR 190–9 Absentee Deserter Apprehension Program and Surrender of Military Personnel to Civilian Law Enforcement Agencies (Cited in paras 7–2, 17–3, 17–4.) AR 195–2 Criminal Investigation Activities (Cited in paras 2–6, 3–3.) AR 200–3 Natural Resources - Land, Forest, and Wildlife Management (Cited in para 12–1.) AR 340–21 The Army Privacy Program (Cited in paras 2–1, 2–2, 2–3, 2–6, 3–1, 3–3, 3–5, 3–6, 3–7, 3–8, 9–1.) AR 360–1 The Army Public Affairs Program (Cited in para 3–3.) AR 380–5 Department of the Army Information Security Program (Cited in paras 2–2, 9–1.) AR 380–10 Foreign Disclosure and Contacts with Foreign Representatives (Cited in para 3–8.) AR 380–13 Acquisition and Storage of Information Concerning Nonaffiliated Persons and Organizations (Cited in paras 2–5, 8–3.) AR 381–10 U.S. Army Intelligence Activities (Cited in paras 8–3, 10–5.) AR 600–20 Army Command Policy (Cited in para 4–15.) AR 600–37 Unfavorable Information (Cited in para 3–3.) AR 600–85 Army Substance Abuse Program (ASAP) (Cited in para 3–3.) AR 608–18 The Army Family Advocacy Program (Cited in para 4–17.) AR 630–10 Absence Without Leave, Desertion, and Administration of Personnel Involved in Civilian Court Proceedings (Cited in paras 4–11, 7–2, 7–3.) 117AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 126 of 149 AR 710–2 Supply Policy Below the National Level (Cited in para 8–3.) DOD 4160.21–M Defense Materiel Disposition Manual (Cited in para 4–14.) DOD 6025.18 DOD Health Information Privacy Regulation (Cited in para 8–1.) DA Pam 420–7 Natural Resources - Land, Forest, and Wildlife Management (Cited in para 12–1.) National Crime Information Center Operating Manual National Crime Information Center Operating Manual. (This manual may be obtained from the FBI, Washington, DC, 20535.) (Cited in paras 1–1, 13–1, 14–1.) Section II Related Publications A related publication is merely a source of additional information. The user does not have to read it to understand this publication. AR 15–1 Boards, Commissions, and Committees—Committees Management AR 20–1 Inspector General Activities and Procedures AR 25–11 Record Communications and the Privacy Communications System AR 27–20 Claims AR 27–40 Litigation AR 40–61 Medical Logistics Policies AR 40–66 Medical Record Administration and Health Care Documentation AR 190–5/OPNAV 1200.5D/AFI 31–218(I)/MCO 5110.1D/DLAR 5720.1 Motor Vehicle Traffic Supervision AR 190–11 Physical Security of Arms, Ammunition, and Explosives AR 190–30 Military Police Investigations AR 190–47 The Army Corrections System AR 190–53 Interception of Wire and Oral Communications for Law Enforcement Purposes AR 195–5 Evidence Procedures 118 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 127 of 149 AR 381–12 Subversion and Espionage Directed Against the U.S. Army AR 420–90 Fire and Emergency Services AR 525–1 The Department of the Army Command and Control System (DACCS) AR 600–85 Army Substance Abuse Program (ASAP) DOD 5240.1–R Procedures governing the activities of DOD intelligence components that affect United States persons DODD 5240.1 DOD intelligence activities DODD 7730.47 Defense Incident-Based Reporting System (DIBRS) DODI 1030.2 Victim and Witness Assistance Procedures DODI 1325.7 Administration of Military Correctional Facilities and Clemency and Parole Authority Executive Order 12333 United States Intelligence Activities Federal Eules of Criminal Procedure, Rule 58 Petty Offenses and Other Misdemeanors FM 19–10 The Military Police Law and Order Operations Joint Chiefs of Staff Publication 6–0 Joint Communications System Public Law 106–65 Defense Authorization Act for Fiscal Year 2000 Public Law 108–375 Ronald W. Reagan National Defense Authorization Act for Fiscal Year 2005 Uniform Code of Military Justice, Article 15 Commanding officer’s non-judicial punishment Uniform Code of Military Justice, Article 92 Failure to obey order or regulation 5 USC 552 The Freedom of Information Act 5 USC 552a The Privacy Act 10 USC 1561a Civilian orders of protection: force and effect on military installations 119AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 128 of 149 10 USC 2671 Military reservations and facilities: hunting, fishing, and trapping 15 USC 2605 Toxic Substance Control Act 16 USC 668 The Bald Eagle Protection Act 16 USC 703 The Migratory Bird Treaty Act 16 USC 718 The Migratory Bird Hunting Stamp Act 16 USC 3372 The Lacey Act 18 USC 13 Laws of states adopted for areas within Federal jurisdiction 18 USC 922 The Brady Handgun Violence Prevention Act 18 USC 1382 Entering military, naval, or Coast Guard property 18 USC 5032 Deliquency proceedings in district courts; transfer for criminal proceedings 28 USC 534 The Uniform Federal Crime Reporting Act 29 USC 655 Occupational Health and Safety Administration Asbestos Act 33 USC 1251 Water Pollution Control Act 42 USC 300f et seq Safe Drinking Water Act 42 USC 4321 National Environmental Policy Act 42 USC 6901 Hazardous Waste Control Act 42 USC 7401 Clean Air Act 42 USC 9601 Comprehensive Environmental Response, Compensation, and Liability Act 42 USC 10601 The Victim Rights and Restitution Act Section III Prescribed Forms Except where otherwise indicated below, the following forms are available as follows: DA Forms are available on the 120 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 129 of 149 APD Web site (http://www.apd.army.mil); DD Forms are available from the OSD Web site (http://www.dtic.mil/whs/ directives/infomgt/forms/formsprogram.htm). DA Form 2823 Sworn Statement (Prescribed in paras 7–10, 7–11.) DA Form 3945 Military Police Radio Log (Prescribed in para 7–13.) DA Form 3946 Military Police Traffic Accident Report (Prescribed in paras 4–2, 7–14.) DA Form 3975 Military Police Report (Prescribed in paras 3–6, 4–1, 4–2, 4–3, 6–4, 7–6, 7–7, 7–8.) DA Form 3975–1 Military Police Report - Additional Offenses (Prescribed in para 1–1.) DA Form 3975–2 Military Police Report - Additional Subjects (Prescribed in para 1–1.) DA Form 3975–3 Military Police Report - Additional Victims (Prescribed in para 1–1.) DA Form 3975–4 Military Police Report - Additional Persons Related to Report (Prescribed in para 1–1.) DA Form 3975–5 Military Police Report - Additional Property (Prescribed in para 1–1.) DA Form 3997 Military Police Desk Blotter (Prescribed in para 3–3.) DA Form 4833 Commander’s Report of Disciplinary or Administrative Action (Prescribed in paras 4–7, 4–8.) DD Form 460 Provisional Pass (Prescribed in paras 4–11, 7–2.) DD Form 2701 Initial Information for Victims and Witnesses of Crime (Prescribed in paras 6–3, 6–4.) FBI Form FD 249 Suspect Fingerprint Card (Obtain directly from FBI) (Prescribed in para 4–10.) FBI (DOJ) Form R–84 Final Disposition Report (Obtain directly from FBI) (Prescribed in para 4–10.) Section IV Referenced Forms DA Form 1602 Civilian Identification (Available through normal forms supply channels.) DA Form 2804 Crime Records Data Reference DA Form 3626 Vehicle Registration/Driver Record 121AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 130 of 149 DA Form 3881 Rights Warning Procedure/Waiver Certificate DA Form 4002 Evidence/Property Tag (Available through normal forms supply channels.) DA Form 4137 Evidence/Property Custody Document DD Form 2A or DD Form 2 (ACT) Armed Forces of the United States Geneva Convention Identification Card DD Form 2A (RES) or DD Form 2 (RES) Armed Forces of the United States Geneva Convention Identification (Reserve) DD Form 2 (RET) United States Uniformed Services Identification Card (Retired) DD Form 553 Deserter/Absentee Wanted by the Armed Forces DD Form 616 Report of Return of Absentee DD Form 1173 Uniformed Services Identification and Privilege Card (Available through normal forms supply channels.) DD Form 1408 Armed Forces Traffic Ticket (Available through normal forms supply channels.) DD Form 1920 Alcoholic Influence Report DD Form 2708 (Available through normal forms supply channels) Receipt for Inmate or Detained Person Central Violations Bureau (CVB) Form United States District Court Violation Notice (Obtain directly from the CVB at http://www.cvb.uscourts.gov/.) Appendix B General Instructions for Completing DA Form 3975 This appendix provides block-by-block instructions for completing a MPR utilizing DA Form 3975. B–1. Generating a DA Form 3975 electronically in COPS A DA Form 3975 must be completed for every founded criminal incident. A founded incident, even without a known subject, must be reported using the DA Form 3975 into the COPS MPRS module. The word “unknown” will be entered if there is an unidentified subject. B–2. Other forms If additional space is needed DA Form 3975–1 will be used to report additional offenses. DA Form 3975–3 will be used to report additional subjects. A DA Form 3975–2 will be used to report additional victims. DA Form 3975–4 will be used to report additional persons related to the MPR. A DA Form 3975–5 will be used to report additional property. The MPRs with unknown subjects will also be reported into MPRS. The word “unknown” will be entered for each subject. a. DA Form 3975 — general information. (1) MPR number. The first set of numbers is the sequence number of the report. For example, 00001. The second set is the year, 00001–03, and the third set is the MPC number assigned to the reporting PMO/DES. The completed incident number will appear as 00001–03–MPC032. (2) Date block. Enter the date (YYYY/MM/DD) the report is signed. 122 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 131 of 149 (3) ORI number. Do not use the NCIC ORI number assigned to the PMO/DES. Identify the civilian city or county closest to the installation. Enter the first seven characters of the NCIC ORI for that city or county. The last two characters for every MPR will be DM. For example, a criminal incident occurring on Fort Hood will use the first seven characters of the NCIC ORI assigned to the sheriff or police department in Killeen, TX. The letters DM will be added at the end to identify the MPR as a Federal report completed by the PMO/DES. ORI numbers can be obtained from the state control terminal agency, a query on the NCIC terminal, or calling the local law enforcement agency. (4) USACRC control number. Reports that are prepared for local PM/DES use are assigned local numbers. Local reports are not sent to the CRC. Reports that must be sent to USACRC and reported to NIBRS must have a CRC Number. The first group is the year, 03–XXXXXX–XXXXX–XX, followed by the installation MPcode (that is, 03–MPC002), and the USACRC case number. USACRC numbers will only be used once and are assigned to installation PMs/DESs by the ACOM, ASCC, or DRU or IMCOM region. The report number will now read 03–MPC002–4000C. The final number will include the most serious offense code that was investigated and found to have occurred. (5) THRU: Enter the address of the intermediate commander. (6) TO: Enter the address for the commander of the Soldier(s) or civilian supervisor identified as the subject of the MPR. (7) FROM: Enter the address of the PMO/DES completing the MPR. b. Section I — administrative. (1) Report type. Multiple blocks will be checked. The information block is used to document PM/DES activity that does not get reported to a commander or the USACRC. It is retained only within the PMO/DES. The traffic report block is checked for motor vehicle incidents or to forward traffic accident reports to commanders. The military offense block is checked for violations of the UCMJ and is only used for military subjects in the MPR. The criminal block is checked to identify criminal incidents under the UCMJ or crimes falling within the Assimilated Crimes Act. The complaint box is checked to identify the MPR as documenting that a complaint on some criminal action was received. (2) Status. The initial report block is checked to document that the MPR requires additional follow-up action. The supplemental block is checked if the MPR has been closed and additional information must be added to the MPR. The commander’s action block is checked to forward the MPR to the commander for action and report back to the provost marshal office on the action taken. (3) Evaluation. Mark the appropriate selection when completing the MPR. There will be circumstances when an unfounded case will be processed once it is started. (4) Complaint date. Enter the year (YYYY), month (MM), and day (DD) the complaint was received in the PMO/ DES. (5) Complaint time. Enter time the complaint was received in the PMO/DES (24–hr). (6) Complaint received by. Check the block showing how the individual making the complaint contacted the PMO/ DES. (7) Clearance reason. Check a block when circumstances establish that further investigation will not take place. (8) Exceptional clearance date. Enter the year (YYYY), month (MM), and day (DD), the MPR is cleared. (9) MP action. Check the block for the section within the PMO/DES or another agency that will receive the MPR for some type of action. Use the “other” block to enter agencies and offices not listed (that is, mental hygiene). (10) Date referred. Enter the year (YYYY), month (MM), and day (DD) the MPR is referred to another agency. (11) Involvement. Check the appropriate block if law enforcement involvement was required for a situation listed. This is both an administrative and Federal statute requirement to help identify gang activity, hate crime, bias, domestic violence, and extremist activity. c. Section II — offense. (1) Offense number. Enter a one (1) to report the most serious offense first. Use DA Form 3975–1 to report additional offenses going from the most serious to the least serious. (2) Subject number. Involvement. NIBRS requires the matching of subjects to offenses. Use the appropriate subject number from block 1a on Section III. Use DA Form 3975–2 to report additional subjects. (3) Victim number. Involvement. NIBRS requires the matching of victims to offenses. Use the appropriate victim number from block 1a on Section IV. Use DA Form 3975–3 to report additional victims. (4) NIBRS location code. Use the table at the bottom of page 1 DA Form 3975, NIBRS location codes, to complete this block of information. (5) Attempted/completed. Place a mark in the appropriate box for the offense. If two offenses were committed and one was completed and the other only attempted, then a separate offense form must be used for each offense. (6) Offense data same for all offense codes. This block is used if there is more than one offense code used in the MPR. Place a check mark for yes if all of the related information to the offense is the same for all of the offense codes. For example, two Soldiers are apprehended for larceny and destruction of Government property. All of the NIBRS data is the same for both offenses, with both offenses occurring at the same location. Both offense codes can be placed in block 1g, with the most serious code placed at the top of the block. 123AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 132 of 149 (7) Offense code(s). Enter the offense code(s) starting with the most serious. Multiple offense codes will only be listed here if all of the related offense data is the same for all offenses. For example, a shoplifting occurred at the PX and during the chase of the subject, one of the MPs was assaulted three blocks away by the subject using a chain. The aggravated assault code would be listed on the offense continuation sheet (DA Form 3975–1). The continuation sheet is used because the locations of the two offenses are different, a weapon was used in only one of the offenses and aggravated assault/homicide circumstances are involved in only one of the offenses. (8) Offense description(s). Enter the best description of the criminal offense that took place. For example, simple assault. This description can be obtained from the offense code table 4–1. (9) Offense location address. Enter the location where each offense listed in block 1g occurred. Be specific using street addresses, room numbers, and so on. (10) Begin date. Enter the year (YYYY), month (MM), and date (DD) each offense began. (11) Begin time. Enter the approximate time each offense began. Use the 24–hour clock (that is, 1800, 1730, 0800). (12) End date. Enter the year (YYYY), month (MM), and date (DD) each offense in block 1a was completed. (13) End time. Enter the approximate time each offense was completed. Use the 24–hour clock (that is, 1800, 1730, 0800). (14) Type criminal activity. Check up to three blocks in this section that describes the type of activity the subject(s) was involved with. Use only for counterfeiting, forgery, stolen property, drug/narcotic violations, drug equipment, gambling equipment, pornography/obscene material, and weapons violations. (15) Offense statutory basis. Check the appropriate box to identify the criminal code that was violated. All military offenses (AWOL, Desertion, Fail to Obey Lawful General Order, and so on) are checked as UCMJ violations. If state, local, or Assimilated Crimes Act violations are reported check the state, local, or Federal block. When there is a death and there is no criminal offense, mark the non-criminal block. Use the foreign block for any criminal offense that is referred to authorities of the foreign host government. (16) Offender used. Check up to three for each offense to identify if an offender is suspected of using drugs or alcohol before the criminal incident. Check the computer block only if a computer or computer equipment was used to commit the criminal act. (17) Type weapon/force used. Check up to three for each offense to identify the type weapon, if any, that was used by the subject and whether it was fully automatic. (18) For burglary and housebreaking only. Enter the number of buildings that were entered and check the block to identify whether force was used to gain entry. (19) Aggravated assault/homicide circumstances. Only check one block. These blocks are checked only when investigation shows that an assault or homicide occurred. Reporting of the time for each offense is a requirement for the FBI. Check up to two for each aggravated assault/homicide victim. Traffic fatalities, accidental deaths, and deaths of victims due to their negligence are not reported as negligent manslaughter. (20) Additional justifiable homicide circumstances. Only check one block. This section is used in the event that the subject attempts to evade apprehension, there is an assault by the subject against law enforcement personnel, the subject assaults non-law enforcement individuals, or the subject is killed by law enforcement personnel. (21) Bias motivation. Check the block “yes” only if the criminal incident occurred as a result of a bias item listed in Section IV, part 5. d. Section III — subject. (1) Subject number. Enter the number of the subject starting with one for the first subject. Use DA Form 3975–2 for additional subjects beyond the first one. (2) Name. Enter the subject’s last, first, and full middle name. IF the subject only has a middle initial, record the middle initial followed by the letters in parenthesis (IO). If the subject has no middle name or initial, enter the letters NMN. The suffix (Jr., Sr., I, II, or III) will also be entered. (3) SSN/foreign national number/alien registration number. Enter the subject’s SSN. If the subject is a foreign national, enter a unique number from official Government identification according to local policy. If no Government identification is available, enter the subject’s last name followed by the date of birth (DOB) in DOD format without spaces (that is, kramer620416). (4) Protected identity. Place a check mark if the subject falls within protected identity. Protected identity includes victims of rape, and juvenile offenders. This block relates to how a subject’s information will appear in the blotter. (5) Category. Check only one block to show the status of the individual at the time of offense. Check the Service for military subjects if the individual is a member of an Armed Service. Check civil service, contractor, or other Government employee when the subject is a civilian employed by the Government in some capacity. Check the retired military block if that is their only connection to the military. (6) DOB. Enter the year (YYYY), month (MM), and day of birth (DD) for the subject. (7) Place of birth (POB). Enter the subject’s city, state, and country of birth. (8) Grade. Enter the grade for the military (that is, E–6) and civilian subjects (GS–12, WB–07). For contractors, 124 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 133 of 149 enter the abbreviation CONT. For family members, enter the letters F/W (wife), F/H (husband), F/S (son), and F/D (daughter). (9) Home telephone. Enter the subject’s home telephone number to include the area code. (10) Work telephone. Enter the subject’s duty or place of business telephone number in this block to include the area code. (11) Nickname/alias. Enter up to three nicknames and alias used by the subject. If none, leave blank. (12) Citizenship. Check the appropriate block for U.S. and so forth. If the subject is a resident of a foreign country, enter the full name of the country. If the subject is a naturalized U.S. citizen, do not enter a foreign country. (13) Component. Check the appropriate block to report the military component in which the subject serves. (14) Driver’s license number. Enter the subject’s driver’s license number. (15) License. Check the appropriate issuing authority (foreign, international, state, or other (fill in)). The other block will not be completed for military license or a category not listed. (16) Organization, unit identification code (UIC), and address. Enter the subject’s organization or unit UIC. The COPS system administrators add UIC’s to the MPRS UIC table. Individual users cannot manually enter a UIC into MPRS. Include complete military address for the unit. Leave blank if the subject has no affiliation with the Government. (17) Installation/city. Enter the installation/city where military and civilian subjects are assigned or employed. (18) State/country. Enter the authorized abbreviation for the state and country where military and civilian subjects are assigned or employed. (19) ZIP/APO. Enter the zip code or APO where military and civilian subjects are assigned or employed. (20) Unit telephone. Enter the unit telephone number if different from work number entered in Section III, subject block 1j. Unit orderly room or commander’s phone number is preferable. Leave blank if the individual has no connection to the military. (21) Residence address. Use the physical address of the room, house number, building number, and street name. Do not enter post box addresses unless absolutely necessary. (22) Installation/city. Enter the installation or city for the residence address from block 3a. (23) State/country. Enter the authorized abbreviation for the state and country where military and civilian subjects reside. (24) ZIP/APO. Enter the zip code or APO for the residence address listed in block 3a. Omit APO if the individual has no connection to the military. (25) Hair color. Check the appropriate block for hair color of the subject. If there is an unusual color use the “other” block to report the color. (26) Eye color. Self-explanatory. (27) Complexion. Check the appropriate block to report skin complexion. (28) Age range. For unidentified subjects, estimate the age range (that is, 25–30 and so on). (29) Height. Enter the subject’s height in feet and inches. For unknown subjects, enter an estimate. (30) Weight. Enter the subject’s weight in pounds. For unknown subjects, enter estimated weight range. (31) Juvenile. Check this block if a subject is less than 18 years of age, who is not a military member, spouse of a military member, or otherwise having been declared to have reached their majority at the time of the offense. (32) Sex/gender. Self-explanatory. (33) Race. Check the appropriate race block. Hispanic individuals will be marked as white, black, or unknown, with a subsequent selection of Hispanic in block 8, ethnicity. These race codes are mandated by the DOJ for UCRs. (34) Ethnicity. Check the appropriate block. (35) Identifying marks and location. Write out a description of any scars, marks, tattoos, and their location on the subject’s body. (36) How dressed. Write out a description of the clothing the subject was wearing at the time of offense. (37) Offender disposition. Write whether the offender was released to their commander, parent/guardian, or another law enforcement agency. (38) Security clearance. Check the appropriate block. Check the other block and write the type of clearance if it cannot be determined whether the individual has a security clearance. (39) Marital status. Check the appropriate block. (40) Subject armed with. Check up to two types for weapons the subject was armed with. If the subject was armed with more than two weapons, check the block for the weapon that was most lethal (that is, select rifles before handguns, and automatic and semi-automatic before manual). Circle (F) for fully automatic, (M) for manual, (S) for semi-automatic, or (U) for unknown. (41) Subject involvement. Place a check mark in the primary role the subject played in the activity that resulted in their becoming a subject of the criminal activity. 125AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 134 of 149 (42) Apprehension type. Check the block that describes the law enforcement agency that apprehended the subject or “surrender” if the subject reported to the PMO/DES or his commander. (43) Apprehension date. Enter the year (YYYY), month (MM), and date (DD) the subject was apprehended. (44) Apprehending PMO/DES. Enter the MPC for the apprehending PMO/DES. For civilian agencies, enter their ORI, if known. (45) Detention type. Check the block that describes the type facility where the individual was first confined. Check non-uniformed block when the offender is a member of the Armed Services and is ordered detained in a detention cell or pretrial confinement. (46) How dressed. Write a description of the clothing the subject was wearing at the time of apprehension. (47) Disposition of person under 18 years. Check the “handled internally” block when the juvenile is released to the custody of their parents/guardians. Check the referred to other agency block when the juvenile is released to civilian authorities/agency. Write the organization that took custody of the juvenile (that is, civilian law enforcement agency and hospital). For Soldiers, enter that they were returned to their unit. (48) FBI Form FD 249 submitted. This block is checked when a suspect has been identified and charges have been preferred under the UCMJ. (49) FBI Form R–84 submitted. This block is checked ONLY when a FBI Form FD 249 has been previously submitted. (50) Alcohol involvement. This block is checked if there is reasonable suspicion that the subject consumed alcohol prior to or during the commission of the offense. (51) Blood alcohol count. Place the blood alcohol count that resulted from testing. (52) Illness/injury. Describe any illness or injury the subject suffered due to the use of alcohol. (53) Alcohol/drug involvement remarks. Describe any particular information concerning the use of alcohol or drugs by the subject. (54) Chemical test type. Self-explanatory. (55) Drug involvement. This block is checked if there is reasonable suspicion that the subject used or consumed drugs prior to or during the commission of the offense. (56) Chemical test results. Enter the name of the drug test and the amount of chemicals found in the specimen. (57) Drug detection by the other law enforcement means. Place a check mark in the appropriate block. e. Section IV — victim. (1) Victim number. Enter the number of the victim starting with one for the first victim. Use DA Form 3975–3 for additional victims beyond the first one. (2) Name. Enter the victim’s last, first, and full middle name. If the victim only has a middle initial, record the middle initial followed by the letters in parenthesis (IO). If the victim has no middle name or initial, enter the letters NMN. The suffix (Jr., Sr., I, II, or III) will also be entered. (3) SSN/foreign national number/alien registration number. Enter the victim’s SSN. If the victim is a foreign national, enter a unique number from official Government identification according to local policy. If no Government identification is available, enter the victim’s last name followed by the DOB in DOD format without spaces (that is, kramer620416). (4) Protected identity. Place a check mark if the victim’s identity is protected. (5) Category. Check only one block to show the status of the individual at the time of offense. Check the Service for military victims if the individual is a member of an Armed Service. Check civil service, contractor, or other government employee when the victim is a civilian employed by the Government in some capacity. Check the retired military block if that is their only connection to the military. (6) DOB. Enter the year (YYYY), month (MM), and day of birth (DD) for the victim. (7) POB. Enter victim’s city, state, and country of birth. (8) Grade. Enter the grade for the military and civilian victims. (9) Home telephone. Enter the victim’s home telephone number to include the area code. (10) Work telephone. Enter the victim’s duty or place of business telephone number in this block to include the area code. (11) Nickname/alias. Enter up to three nicknames and alias used by the victim. If none, leave blank. (12) Citizenship. Check the appropriate block for U.S. and so forth. If the victim is a resident of a foreign country enter the full name of the country. If the victim is a naturalized U.S. citizen do not enter a foreign country. (13) Component. Check the appropriate block to report the military component in which the victim serves. (14) Driver’s license number. Enter the victim’s driver’s license number. (15) License. Check the appropriate issuing authority (foreign, international, state, or other (fill in)). The other block will not be completed for military license or a category not listed. (16) Organization, UIC, and address. Enter the victim’s organization or unit UIC. The COPS system administrators 126 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 135 of 149 add UIC’s to the MPRS UIC table. Individual users cannot manually enter a UIC into MPRS. Include complete military address for the unit. Leave blank if the victim has no affiliation with the Government. (17) Installation/city. Enter the installation/city where military and civilian victims are assigned or employed. (18) State/country. Enter the authorized abbreviation for the state and country where military and civilian victims are assigned or employed. (19) ZIP/APO. Enter the zip code or APO where military and civilian victims are assigned or employed. (20) Unit telephone. Enter the unit telephone number if different from work number entered in Section III, victim block 1j. Unit orderly room or commander’s phone number is preferable. Leave blank if the individual has no connection to the military. (21) Residence address. Use the physical address of the room, house number, building number and street name. Do not enter post box addresses unless absolutely necessary. (22) Installation/city. Enter the installation or city for the residence address from block 3a. (23) State/country. Enter the authorized abbreviation for the state and country where military and civilian victims reside. (24) ZIP/APO. Enter the zip code or APO for the residence address listed in block 3a. Omit APO if the individual has no connection to the military. (25) Type of victim. Check the box that describes the victim. (26) Sex. Check the block for the appropriate sex of the victim. This block is only marked for human victims and marked unknown when the sex of the victim cannot be determined. (27) Age. Enter the appropriate age range when the age of the victim cannot be determined. (28) Race. Check the appropriate race block. Hispanic individuals will be marked as white, black, or unknown, with a subsequent selection of Hispanic in block 4e ethnicity. These race codes are mandated by the DOJ for UCRs. (29) Ethnicity. This block is only marked for human victims. (30) Bias motivation. Check the appropriate block if the victim was targeted for one of the anti reasons listed. (31) Relationship of victim to offender. Check blocks that best describe any connection between the victim and the offender. Multiple blocks can be checked. Enter the subject number to the left of the appropriate block describing the relationship to the victim if there is more than one subject. (32) Victim involvement. Victims will play a criminal role in activity that resulted in their becoming a victim of the criminal activity. Check the “accessory” block to show that the victim assisted in the criminal activity. Check the “conspiracy” block if the victim took part in planning the crime(s). Check the “principal” block when the victim was directly involved in the criminal activity. Check the “solicit” block when the victim asked other individuals to assist in the criminal activity. (33) Injury type. Check up to 5 categories to describe the injuries sustained by the victim based upon initial observation by law enforcement personnel. A major injury is identified by injuries that require hospitalization for 24 hours or more as part of a medical treatment regimen. A minor injury is checked when an individual is treated and released. The blocks provide types of common injuries. (34) Victim/witness rights notification. Check the appropriate block to identify if the individual was notified of their rights under the victim/witness rights protection program. (35) Victim declined DD Form 2701. If DD Form 2701 was not issued, check whether the victim declined receipt or none was required to be provided. f. Section V — persons related to report. (1) Persons related to report number. Enter the number of the person related to the report starting with one for the first person. Use DA Form 3975–4 for additional persons beyond the first one. (2) Status. Check the appropriate block that describes the person related to the report (that is, witness). If civilian law enforcement or MP personnel are involved, only items 1a, 1b, 1c, 1d, and 2a need to be completed. (3) Name. Enter the individual’s last, first, and full middle name. If the individual only has a middle initial, record the middle initial followed by the letters in parenthesis (IO). If the individual has no middle name or initial, enter the letters NMN. The suffix (Jr., Sr., I, II, or III) will also be entered. (4) SSN/foreign national number/alien registration number. Enter the victim’s SSN. If the victim is a foreign national, enter a unique number from official Government identification according to local policy. If no Government identification is available, enter the victim’s last name followed by the DOB in DOD format without spaces (that is, kramer620416). (5) Citizenship. Check the appropriate block for U.S. and so forth. If the individual is a resident of a foreign country, enter the full name of the country. If the individual is a naturalized U.S. citizen, do not enter a foreign country. (6) Category. Check only one block to show the status of the individual at the time of offense. Check the Service for military victims if the individual is a member of an Armed Service. Check civil service, contractor, or other government employee when the individual is a civilian employed by the Government in some capacity. If the individual is retired from the military, check the retired military block if that is their only connection to the military. 127AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 136 of 149 (7) DOB. Enter the year (YYYY), month (MM), and day of birth (DD) for the individual. (8) POB. Enter individual’s city, state, and country of birth. (9) Grade. Enter the grade for the military and civilian individuals. (10) Home telephone. Enter the individual’s home telephone number to include the area code. (11) Work telephone. Enter the individual’s duty or place of business telephone number in this block to include the area code. (12) Nickname/alias. Enter up to three nicknames and alias used by the individual If none, leave blank. (13) Component. Check the appropriate block to report the military component in which the individual serves. (14) Driver’s license number. Enter the individual’s driver’s license number. (15) License. Check the appropriate issuing authority (foreign, international, state, or other (fill in)). The other block will not be completed for military license or a category not listed. (16) Organization, UIC, and address. Enter the individual’s organization or unit UIC. The COPS system administra- tors add UIC’s to the MPRS UIC table. Individual users cannot manually enter a UIC into MPRS. Include complete military address for the unit. Leave blank if the individual has no affiliation with the Government. (17) Installation/city. Enter the installation/city where military and civilian individuals are assigned or employed. (18) State/country. Enter the authorized abbreviation for the state and country where military and civilian individuals are assigned or employed. (19) ZIP/APO. Enter the zip code or APO where military and civilian individuals are assigned or employed. (20) Unit telephone. Enter the unit telephone number if different from work number entered in Section III, persons related to report, block 1k. Unit orderly room or commander’s phone number is preferable. Leave blank if the individual has no connection to the military. (21) Residence address. Use the physical address of the room, house number, building number, and street name. Do not enter post box addresses unless absolutely necessary. (22) Installation/city. Enter the installation or city for the residence address from block 3a. (23) State/country. Enter the authorized abbreviation for the state and country where military and civilian individuals reside. (24) ZIP/APO. Enter the zip code or APO for the residence address listed in block 3a. Omit APO if the individual has no connection to the military. (25) Victim/witness rights notification. Check the appropriate block to identify if the individual was notified of their rights under the Victim/Witness Rights Protection Program. (26) Victim declined DD Form 2701. If DD Form 2701 was not issued, check whether the individual declined receipt or none was required to be provided. (27) Number of victims and witnesses notified with DD Form 2701. Enter the total number of victims and witnesses notified with DD Form 2701 who were involved in the MPR. g. Section VI — property. General instructions. Enter a separate property information segment for each type of property. Example #1: Three items of property are stolen during a larceny (a bike, a tennis racket, and a VCR) and subsequently two are recovered. Three property information segments would be filled out. Two on page 4 of the DA Form 3975 and one on DA Form 3975–5, property continuation form. Example #2: A shoplifter is apprehended trying to steal 7 music CD’s found in her purse. Only one property information segment has to be filled out. (1) Item number. Enter sequential numbers for each property segment completed starting with one. (2) Code. Enter in the correct property description code from the property description code table on page 4 of DA Form 3975. (3) Quantity. Enter a numerical value for the quantity of property being listed. (4) Value. Enter the approximate or actual dollar value if available for each item. Use whole dollars. The value entered for each property description should be the total value of the property loss for all of the victims in the incident. If the value is unknown, enter one dollar ($1.00). If more than ten types of property are involved, the values of the ten most valuable properties are to be entered. When drugs or narcotics are involved in other types of crime. Their value is to be entered. (5) Description. Enter a written description of the property. Include the make, model, color, and identifying marks. Be as descriptive as possible. (6) Serial number. Enter the serial number for each item. (7) Date recovered. Enter the year (YYYY), month (MM), and day (DD) the property was recovered. (8) Date returned. Enter the year (YYYY), month (MM), and day (DD) the property was returned. (9) Security. Check the appropriate block to describe safekeeping the property at the time it was stolen. (10) Property ownership. Check the box that describes the owner of the property. (11) Property loss type. Check all types that apply to the property. h. Section VII — narrative. (1) Description. Complete a written description on the events and people that resulted in the MPR being prepared. 128 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 137 of 149 (2) The narrative must answer the questions who, when, where, how, and why concerning the criminal events and the individuals involved (subject, victim, witness, other persons) as well as property. Appendix C Management Control Checklist C–1. Function The function covered by this checklist is the administration of the Law Enforcement Reporting System, use of the CVB Form, the SIR System, and use of the NCIC. C–2. Purpose The purpose of this checklist is to assist assessable unit managers and Management Control Administrators in evaluating the key management controls outlined below. It is not intended to cover all controls. C–3. Instructions Answers must be based on the actual testing of key management controls (for example, document analysis, direct observation, sampling, simulation, other). Answers that indicate deficiencies must be explained and corrective action indicated in supporting documentation. These key management controls must be formally evaluated at least once every five years. C–4. Test questions a. Are law enforcement and PMO administrative personnel trained in the use of COPS? b. Are procedures in place to ensure that release of law enforcement information is done in accordance with the FOIA, the Privacy Act, and this regulation? c. Are procedures in place to ensure that police intelligence information is purged as required by this regulation? d. Does the system administrator for COPS maintain control and accountability of personnel using the system? e. Are procedures in place to ensure reports of commander’s action taken are returned to the PMO in a timely manner? f. Are both military and civilian protection orders being entered into COPS? g. Are PMs/DESs reporting incidents that occur off the installation in their geographic areas in accordance with table 1–1? h. Are thefts, suspected thefts, wrongful appropriation, or willful destruction of Government property or appropri- ated funds valued at more than $100,000 being reported as a category 2 SIR? i. Are category 1 serious incidents being reported to HQDA within 12 hours of discovery or notification at the installation level? j. Are “add-on” SIRs being completed to provide information not available at the time of the original report? k. Are category 2 serious incidents being reported to HQDA within 24 hours of discovery or notification at the installation level? l. Are law enforcement personnel issuing a separate CVB Forms for each offense or violation? m. Are procedures in place to ensure that each CVB Form is accounted for? n. Are procedures in place to ensure that each CVB Form is completed properly, in accordance with CVB procedures? o. Are procedures in place to ensure that all violations issued on CVB Form are entered into COPS? p. Are procedures in place to ensure that the release of law enforcement information is being handled in accordance with the FOIA, the Privacy Act, and chapter 3 of this regulation? q. Are installation PMs/DESs appointing terminal coordinators? r. Are terminal coordinators ensuring that NCIC use is limited to authorized criminal justice purposes? s. Are only trained personnel allowed to operate terminals? t. Are requests for participation initiated by the PM/DES and submitted to the garrison commander? u. Are notification of serious violations, suspension, or revocation from the use of NCIC and state terminals and NCIC files immediately reported to the Director, USACRC, Federal Service Coordinator by the most expeditious means? v. Are all Government or privately owned weapons reported lost, stolen, or recovered entered into the NCIC gun file, regardless of value? 129AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 138 of 149 C–5. Suppression No previous management control evaluation checklist exists for this program. C–6. Comments H e l p t o m a k e t h i s a b e t t e r t o o l f o r e v a l u a t i n g m a n a g e m e n t c o n t r o l s . S u b m i t c o m m e n t s t o : H Q D A , P M G (DAPM–MPD–LE), 2800 Army Pentagon, Washington, DC 20318–2800. 130 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 139 of 149 Glossary Section I Abbreviations AA&E arms, ammunition, and explosives AARA access and amendment refusal authority ACOM Army Command AFIS Automated Fingerprint Identification System AMC U.S. Army Materiel Command ANSI/NIST American National Standards Institute/National Institute of Standards and Technology APO Army Post Office AR Army regulation ARIMS Army Records Information Management System ARNG Army National Guard ARNGUS Army National Guard of the United States ASCC Army Service Component Command AWOL absence without leave CAC common access card CD compact disk CJIS Criminal Justice Information System CONUS continental United States COPS Centralized Operations Police Suite CPO civilian protection orders 131AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 140 of 149 CRC Crime Records Center CTA Control Terminal Agency CTO control terminal officer CVB Central Violations Bureau DA Department of the Army DCII Defense Central Investigations Index DES Directorate of Emergency Services DIBRS Defense Incident-Based Reporting System DMV Department of Motor Vehicles DNA deoxyribonucleic acid DOB date of birth DOD Department of Defense DODD Department of Defense directive DODI Department of Defense instruction DOJ Department of Justice DRU Direct Reporting Unit FM field manual FBI Federal Bureau of Investigation FOIA Freedom of Information Act FORSCOM U.S. Army Forces Command 132 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 141 of 149 FOUO for official use only HQDA Headquarters, Department of the Army IAFIS Integrated Automated Fingerprint Identification System IASO information assurance security officer IDA initial denial authority IMCOM U.S. Army Installation Management Command MEDCOM U.S. Army Medical Command MOU memorandum of understanding MP military police MPC military police code MPR Military Police Report MPRS Military Police Reporting System MTF medical treatment facility NAF non-appropriated fund NCIC National Crime Information Center NIBRS National Incident Based Reporting System NLETS National Law Enforcement Telecommunications Systems NTA notice to appear OCONUS outside the continental United States ORI originating agency identifier 133AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 142 of 149 PM provost marshal PMG (DAPM–MPD–LE) Headquarters, Department of the Army, Office of the Provost Marshal General, Military Police Division, Law Enforcement Branch PMO Provost Marshal Office QMO qualifying military offense SARC sexual assault response coordinator SDDC Military Surface Deployment and Distribution Command SIR Serious Incident Report SSN social security number TALON threat and local observation notice UIC unit identification code USACE U.S. Army Corps of Engineers USACIDC U.S. Army Criminal Investigation Command USACIL U.S. Army Criminal Information Laboratory USACRC U.S. Army Crime Records Center USADIP U.S. Army Deserter Information Point UCMJ Uniform Code of Military Justice UCR Uniform Crime Report USAR U.S. Army Reserve U.S. United States USC United States Code 134 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 143 of 149 USSS United States Secret Service VCIS Voice Case Information System VRS Vehicle Registration System Section II Terms Adult offender A criminal offender who has attained the age of 18, or who, although under the age of 18, was a member of the military at the time of the offense. This will include juveniles who are prosecuted as adult offenders. Anti-bias A crime against an individual or organization based upon race, ethnic background, religious or sexual orientation. (See also hate crime). Army interest Incidents or offenses of interest to the Army because Army personnel are involved, the Army is a victim of the offense, or other substantive ties to the Army or DOD exist. Barred or expelled person A person against whom administrative action has been imposed by the installation commander to preclude future entry or continued presence on the installation. Blotter extract A single or series of entries removed from the chronological form of the full MP blotter, and reflecting the relevant information required by the specific recipient of the extract. Bomb threats Communication by any means specifically threatening to use a bomb to attack against U.S. forces, facilities, or missions. Category 1 serious incident A serious incident that is of immediate concern to HQDA. Incidents that must be reported to HQDA as Category 1 serious incidents are listed in chapter 8, paragraph 8–2. Category 2 serious incident A serious incident that is of concern to HQDA. Incidents that must be reported to HQDA as Category 2 serious incidents are listed in chapter 8, paragraph 8–3. Category 3 serious incident An incident that is of concern to the IMCOM region, ACOM, ASCC, or DRU (see chapter 8 paragraph 8–4), any incident that must be reported to the IMCOM region, ACOM, ASCC, or DRU as a category 3 serious incident according to an approved IMCOM region, ACOM, ASCC, or DRU supplement to this regulation. Establishment of category 3 serious incidents is neither required nor reportable to HQDA. Collateral Payment of a fixed sum in lieu of appearance in court. Control Terminal Agency A state criminal justice agency on the NCIC System providing statewide service to criminal justice users with respect to NCIC data. Controlled cryptographic items Controlled cryptographic items are described as secure telecommunications or information handling equipment, associ- ated cryptographic components, or other hardware items, which perform a critical communication security function. 135AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 144 of 149 Controlled inventory item code Controlled inventory item codes are items that require quarterly inventory with characteristics that require special identification accounting, security, or handling to ensure their safeguard. These items are considered controlled items that require a high degree of protection and control, because of statutory requirements, or regulations; high-value, highly technical, or hazardous items; small arms, ammunition, explosives, demolition material, night vision devices, and navigation systems. Criminal history file Information collected by criminal justice agencies on individuals consisting of descriptions of an individual, notations of arrest, detentions, indictments on serious criminal charges, and any disposition. The term does not include identifica- tion information such as fingerprints. Criminal investigation An investigation of a criminal incident, offense, or allegation conducted by law enforcement personnel Criminal justice Pertaining to the enforcement of criminal laws, including efforts to prevent, control, or reduce crime, or to identify, apprehend, and prosecute criminal offenders. Criminal offense Any act or omission defined and prohibited as a criminal act by the UCMJ, the USC, state and local codes, foreign law, or international law or treaty. For juveniles, this term refers to acts which, if committed by an adult, would be subject to criminal penalties. Dangerous drugs Nonnarcotic drugs that are habit forming or have a potential for abuse because of their stimulant, depressant, or hallucinogenic effect, as determined by the Secretary of Health and Human Services or the Attorney General of the United States. Disclosure The furnishing of information about an individual, by any means, to an organization, Government agency, or to an individual who is not the subject of the record, the subject’s designated agent, or legal guardian. Elicitation Any attempts to obtain security-related or military-specific information by anyone who does not have the appropriate security clearance and the need-to-know. Elicitation attempts will be made by mail, fax, telephone, by computer, or in person. Family member Includes those individuals for whom the Service member provides medical, financial, and logistical (for example, housing, food, and clothing) support. This includes, but is not limited to, the spouse, children under the age of 18, elderly adults, and persons with disabilities. Founded offense An offense adequately substantiated by police investigation as a violation of the UCMJ, the USC, state and local codes, foreign law, international law or treaty, regulation, or other competent policy. Determination that an offense is founded is a law enforcement decision based on probable cause supported by corroborating evidence and is not dependent on final adjudication. Gang A group of individuals whose acts of crime are committed against the public at large as well as other groups. A gang usually has in common one or more of the following traits: geographic area of residence, race, or ethnic background. They have a defined hierarchy that controls the general activities of its members. Hate crime Crimes directed against persons, places of worship, organizations (and their establishments where individuals gather), because of their race, ethnic background, religious, or sexual orientation. 136 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 145 of 149 Informant A person who agrees to confidentially collect or provide recurring information of law enforcement value to police agencies. Initiating Provost Marshal/Director of Emergency Services The PM/DES who first records a complaint, initiates police actions, and subsequently initiates a MPR on a criminal offense or incident. Investigative jurisdiction Jurisdiction with responsibility to investigate criminal offenses based on geographical boundaries or the category of the offense. Juvenile A subject of an incident who is under the age of 18, who was not a military member, spouse of a military member, or otherwise having been declared to have reached their majority at the time of an offense. Law enforcement activity An activity engaged in the enforcement of criminal laws to prevent, control and reduce crime, and apprehend criminals. Live scan An electronic finger and/or palm print capturing system. Military offense Any offense unique to the military. Examples are AWOL, desertion, and uniform violations. Military police Any type of DOD, Army, contracted, or contractor police or security forces responsible for performing law enforce- ment or security on Army installations. Misdemeanor Any offense not punishable by death or imprisonment for a term exceeding 1 year. Included are violations of those provisions of state laws made applicable to military reservations by 18 USC 13. Multiple offenses Two or more offenses occurring within the same reported incident (for example, murder, rape, and robbery of a single victim). Non-Specific Threats Threats received by any means, which contain a specific time, location, or area for an attack against U.S. forces, facilities, or missions. This includes, but is not limited to, any event or incident, or series of events or incidents, which in and of themselves will indicate the potential for a threat to U.S. forces, facilities, or mission, regardless of whether the threat posed is deliberately targeted or collateral. Name check Procedure to determine the existence of prior civilian or military criminal records on an individual. National Crime Information Center A nationwide computerized information System established as a service to all criminal justice agencies. National Law Enforcement Telecommunications Systems Computer-controlled message switching network linking local, state, and Federal criminal justice agencies together for the purpose of information exchange. Offender (same as subject) Person identified and reported by law enforcement officials as the person who committed an offense. Determination that a person committed an offense is based on probable cause supported by corroborating evidence. Offender disposition The result of actions taken by commanders, supervisors, and military or civil courts to dispose of founded offenses. These actions will be judicial, non-judicial, or administrative. 137AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 146 of 149 Officer Any Army installation law enforcement agent, either military or civilian, who is authorized to issue CVB Forms, (including Statement of Probable Cause and, if appropriate, Promise to Appear portions of the CVB Form). Originating agency identifier An identifier assigned by the FBI to an agency meeting the criteria for participation in the NCIC. Originating law enforcement agency Military or civilian law enforcement activity where a criminal incident was originally reported or investigated. Personal information Information about an individual that is intimate or private to the individual, as distinguished from information concerning the person’s official functions or public life. Petty offense Minor misdemeanors that are not punishable by imprisonment for more than 6 months or a fine of more than $500. Pledge of confidentiality Promise not to disclose to an unauthorized person or agency information provided by an individual in confidence. Police intelligence Information compiled in an effort to anticipate, prevent, or monitor possible or potential criminal activity directed at or affecting the Army, or Army personnel. Protected identity A term used in preparation of DA Form 3997, to replace the name and personal data of certain individuals. This term is often used in sensitive cases such as rape or incest. Provost Marshal/Director of Emergency Services The senior officer, military or civilian directly responsible for law enforcement and security, regardless of the individual’s position or title (for example, security officer, security director, and security manager). This individual must occupy a position that involves the administration of criminal justice. Records custodian Person charged with responsibility for proper processing, storage, safekeeping, and disposition of records containing personal information relevant to criminal investigations. Repetitive activities Any activities that meet one of the other criteria listed in chapters 2 through 5 and have occurred two or more times or the same activity by the same person and/or vehicle, within a one month period. Restricted entry A term used in preparation of DA Form 3997 to replace a blotter entry for which dissemination of any information concerning the incident is controlled or restricted. Serious domestic violence Any incident of domestic violence where a weapon (such as a firearm, knife or motor vehicle) is involved; the victim suffers a broken limb, is injured during pregnancy, is sexually abused, is choked or strangled or is admitted to the hospital because of injuries incurred during the incident; domestic violence incidents where a violation of a protective order (military or civilian) has occurred. Serious incident Any actual or alleged incident, accident, misconduct, or act, primarily criminal in nature, that, because of its nature, gravity, potential for adverse publicity, or potential consequences warrants timely notice to HQDA. Serious Incident Report A formal notification to HQDA of a serious incident as prescribed by this regulation. 138 AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 147 of 149 Subject (same as offender) Person identified and reported by law enforcement officials as the person who committed an offense. Determination that a person committed an offense is based on probable cause supported by corroborating evidence. Surveillance Any reported possible activity in which an attempt to record information or to use unusual means to monitor activities is observed. Such attempts will include use of cameras (either still or video), note taking, annotated maps or drawings, hand-drawn maps or diagrams, use of binoculars or other vision-enhancing devices, or any reports from host nation security forces of possible surveillance of U.S. assets. Suspicious activities/incidents Any activity/incident that does not specifically fit into one of the other six categories in Chapter 2–5 yet is believed to represent a force protection threat. Tests of security Any attempts to measure security reaction times or strengths; any attempts to test or to penetrate physical security barriers or procedures; any attempts to acquire or duplicate uniforms, badges, passes, or other security related documents. Unfounded offense A criminal complaint in which a determination is made that a criminal offense was not committed or did not occur. This determination is based on police investigation and not on court-martial findings, civil court verdicts, or command determinations. User agreement A document describing operating policies and responsibilities between an installation PM/DES and a state CTA. Victim A person who has suffered direct physical, emotional, or pecuniary harm as a result of the commission of a crime. When a victim is under 18 years of age, incompetent, incapacitated, or deceased, the term includes a spouse, legal guardian, parent, child, sibling, another family member, or another person designated by the court or the component responsible official or designee Witness A person who has information or evidence about a crime, and provides that knowledge to a DOD component about an offense in the investigative jurisdiction of a DOD component. When the witness is a minor, the term includes a family member or legal guardian. Section III Special Abbreviations and Terms This section contains no entries. 139AR 190–45 • 30 March 2007 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 148 of 149 UNCLASSIFIED PIN 002222–000 Case 1:15-cv-00031-CKK Document 20-4 Filed 06/19/17 Page 149 of 149 Exhibit 4 Case 1:15-cv-00031-CKK Document 20-5 Filed 06/19/17 Page 1 of 12 MANUAL FOR COURTS-MARTIAL UNITED STATES (2008 EDITION) Case 1:15-cv-00031-CKK Document 20-5 Filed 06/19/17 Page 2 of 12 of evidence or of misconduct which, either alone or in conjunction with all other available evidence, jus tifies confinement. Discussion See R.C.M. 304(b) concerning who may order confinement. (m) Exceptions. (1) Operational necessity. The Secretary of De fense may suspend application of subsections (e)(2) and (3), (f), (h)(2)(A) and (C), and (i) of this rule to specific units or in specified areas when operational requirements of such units or in such areas would make application of such provisions impracticable. (2) A t s e a . S u b s e c t i o n s ( e ) ( 2 ) a n d ( 3 ) , ( f ) , (h)(2)(C), and (i) of this rule shall not apply in the case of a person on board a vessel at sea. In such situations, confinement on board the vessel at sea may continue only until the person can be trans ferred to a confinement facility ashore. Such transfer shall be accomplished at the earliest opportunity per mitted by the operational requirements and mission of the vessel. Upon such transfer the memorandum required by subsection (h)(2)(C) of this rule shall be transmitted to the reviewing officer under subsection (i) of this rule and shall include an explanation of any delay in the transfer. Discussion Under this subsection the standards for confinement remain the same (although the circumstances giving rise to the exception could bear on the application of those standards). Also, pretrial confinement remains subject to judicial review. The prisoner’s commander still must determine whether confinement will con tinue under subsection (h)(2)(B) of this rule. The suspension of subsection (h)(2)(A) of this rule removes the 72-hour requirement since in a combat environment, the commander may not be avail able to comply with it. The commander must make the pretrial confinement decision as soon as reasonably possible, however. (This provision is not suspended under subsection (2) since the commander of a vessel is always available.) Rule 306. Initial disposition (a) Who may dispose of offenses. Each commander has discretion to dispose of offenses by members of that command. Ordinarily the immediate commander of a person accused or suspected of committing an offense triable by court-martial initially determines how to dispose of that offense. A superior com- R.C.M. 306(b) mander may withhold the authority to dispose of offenses in individual cases, types of cases, or gen erally. A superior commander may not limit the dis cretion of a subordinate commander to act on cases over which authority has not been withheld. Discussion Each commander in the chain of command has independent, yet overlapping discretion to dispose of offenses within the limits of that officer’s authority. Normally, in keeping with the policy in subsection (b) of this rule, the initial disposition decision is made by the official at the lowest echelon with the power to make it. A decision by a commander ordinarily does not bar a different disposition by a superior authority. See R.C.M. 401(c); 601(f). Once charges are referred to a court-martial by a convening authority competent to do so, they may be withdrawn from that court-martial only in accordance with R.C.M. 604. See Appendix 3 with respect to offenses for which coordina tion with the Department of Justice is required. (b) Policy. Allegations of offenses should be dis posed of in a timely manner at the lowest appropri ate level of disposition listed in subsection (c) of this rule. Discussion The disposition decision is one of the most important and difficult decisions facing a commander. Many factors must be taken into consideration and balanced, including, to the extent practicable, the nature of the offenses, any mitigating or extenuating circum stances, the character and military service of the accused, any recommendations made by subordinate commanders, the interest of justice, military exigencies, and the effect of the decision on the accused and the command. The goal should be a disposition that is warranted, appropriate, and fair. In deciding how an offense should be disposed of, factors the commander should consider, to the extent they are known, include: (A) the character and military service of the accused; (B) the nature of and circumstances surrounding the offense and the extent of the harm caused by the offense, includ ing the offense’s effect on morale, health, safety, welfare, and discipline; (C) appropriateness of the authorized punishment to the particular accused or offense; (D) possible improper motives of the accuser; (E) reluctance of the victim or others to testify; (F) cooperation of the accused in the apprehension or conviction of others; (G) availability and likelihood of prosecution of the same or similar and related charges against the accused by an other jurisdiction; (H) availability and admissibility of evidence; (I) existence of jurisdiction over the accused and the offense; and II-25 Case 1:15-cv-00031-CKK Document 20-5 Filed 06/19/17 Page 3 of 12 R.C.M. 306(b) (J) likely issues. (c) How offenses may be disposed of. Within the limits of the commander’s authority, a commander may take the actions set forth in this subsection to initially dispose of a charge or suspected offense. Discussion P r o m p t d i s p o s i t i o n o f c h a r g e s i s e s s e n t i a l . S e e R . C . M . 7 0 7 (speedy trial requirements). Before determining an appropriate disposition, a commander should ensure that a preliminary inquiry under R.C.M. 303 has been conducted. If charges have not already been preferred, the commander may, if appropriate, prefer them and dispose of them under this rule. But see R.C.M. 601 (c) regarding disqualification of an accuser. If charges have been preferred, the commander should en sure that the accused has been notified in accordance with R.C.M. 308, and that charges are in proper form. See R.C.M. 307. Each commander who forwards or disposes of charges may make mi nor changes therein. See R.C.M. 603(a) and (b). If major changes are necessary, the affected charge should be preferred anew. See R.C.M. 603(d). When charges are brought against two or more accused with a v i e w t o a j o i n t o r c o m m o n t r i a l , s e e R . C . M . 3 0 7 ( c ) ( 5 ) ; 601(e)(3). If it appears that the accused may lack mental capacity to stand trial or may not have been mentally responsible at the times of the offenses, see R.C.M. 706; 909; 916(k). (1) No action. A commander may decide to take no action on an offense. If charges have been pre ferred, they may be dismissed. Discussion A decision to take no action or dismissal of charges at this stage does not bar later disposition of the offenses under subsection (c)(2) through (5) of this rule. See R.C.M. 401(a) concerning who may dismiss charges, and R.C.M. 401(c)(1) concerning dismissal of charges. When a decision is made to take no action, the accused should be informed. (2) Administrative action. A commander may take or initiate administrative action, in addition to or instead of other action taken under this rule, subject to regulations of the Secretary concerned. Adminis trative actions include corrective measures such as counseling, admonition, reprimand, exhortation, dis approval, criticism, censure, reproach, rebuke, extra military instruction, or the administrative withhold ing of privileges, or any combination of the above. Discussion Other administrative measures, which are subject to regulations of t h e S e c r e t a r y c o n c e r n e d , i n c l u d e m a t t e r s r e l a t e d t o e f f i c i e n c y reports, academic reports, and other ratings; rehabilitation and reassignment; career field reclassification; administrative reduc tion for inefficiency; bar to reenlistment; personnel reliability program reclassification; security classification changes; pecuni ary liability for negligence or misconduct; and administrative separation. (3) Nonjudicial punishment. A commander may consider the matter pursuant to Article 15, nonjudi cial punishment. See Part V. (4) Disposition of charges. Charges may be dis posed of in accordance with R.C.M. 401. Discussion If charges have not been preferred, they may be preferred. See R . C . M . 3 0 7 c o n c e r n i n g p r e f e r r a l o f c h a r g e s . H o w e v e r , s e e R.C.M. 601(c) concerning disqualification of an accuser. Charges may be disposed of by dismissing them, forwarding them to another commander for disposition, or referring them to a summary, special, or general court-martial. Before charges may be referred to a general court-martial, compliance with R.C.M. 405 and 406 is necessary. Therefore, if appropriate, an investiga tion under R.C.M. 405 may be directed. Additional guidance on these matters is found in R.C.M. 401-407. (5 ) F o r w a r d i n g f o r d i s p o s i t i o n . A c o m m a n d e r m a y f o r w a r d a m a t t e r c o n c e r n i n g a n o f f e n s e , o r charges, to a superior or subordinate authority for disposition. Discussion The immediate commander may lack authority to take action which that commander believes is an appropriate disposition. In such cases, the matter should be forwarded to a superior officer w i t h a r e c o m m e n d a t i o n a s t o d i s p o s i t i o n . S e e a l s o R . C . M . 401(c)(2) concerning forwarding charges. If allegations are for warded to a higher authority for disposition, because of lack of authority or otherwise, the disposition decision becomes a matter within the discretion of the higher authority. A matter may be forwarded for other reasons, such as for investigation of allegations and preferral of charges, if warranted (see R.C.M. 303; 307), or so that a subordinate can dispose of the matter. (d) National security matters. If a commander not authorized to convene general courts-martial finds that an offense warrants trial by court-martial, but believes that trial would be detrimental to the prose cution of a war or harmful to national security, the II-26 Case 1:15-cv-00031-CKK Document 20-5 Filed 06/19/17 Page 4 of 12 CHAPTER IV. FORWARDING AND DISPOSITION OF CHARGES Rule 401. Forwarding and disposition of charges in general (a) Who may dispose of charges. Only persons au thorized to convene courts-martial or to administer nonjudicial punishment under Article 15 may dis pose of charges. A superior competent authority may withhold the authority of a subordinate to dispose of c h a r g e s i n i n d i v i d u a l c a s e s , t y p e s o f c a s e s , o r generally. Discussion See R.C.M. 504 as to who may convene courts-martial and para graph 2 of Part V as to who may administer nonjudicial punish ment. If the power to convene courts-martial and to administer nonjudicial punishment has been withheld, a commander may not dispose of charges under this rule. Ordinarily charges should be forwarded to the accused’s immediate commander for initial consideration as to disposition. Each commander has independent discretion to determine how charges will be disposed of, except to the extent that the com mander’s authority has been withheld by superior competent au thority. See also R.C.M. 104. Each commander who forwards or disposes of charges may make minor changes therein. See R.C.M. 603(a) and (b). If major changes are necessary, the affected charge should be preferred anew. See R.C.M. 603(d). If a commander is an accuser (see Article 1(9); 307(a)) that commander is ineligible to refer such charges to a general or special court-martial. See R.C.M. 601(c). However, see R.C.M. 1302(b) (accuser may refer charges to a summary court-martial). (b) Prompt determination. When a commander with authority to dispose of charges receives charges, that commander shall promptly determine what disposi t i o n w i l l b e m a d e i n t h e i n t e r e s t o f j u s t i c e a n d discipline. Discussion I n d e t e r m i n i n g w h a t l e v e l o f d i s p o s i t i o n i s a p p r o p r i a t e , s e e R.C.M. 306(b) and (c). When charges are brought against two or more accused with a view to a joint or common trial, see R.C.M. 307(c)(5); 601(e)(3). If it appears that the accused may lack mental capacity to stand trial or may not have been mentally responsible at the times of the offenses, see R.C.M. 706; 909; 916(k). As to the rules concerning speedy trial, see R.C.M. 707. See also Articles 10; 30; 33; 98. Before determining an appropriate disposition, a commander who receives charges should ensure that: (1) a preliminary inquiry under R.C.M. 303 has been conducted; (2) the accused has been notified in accordance with R.C.M. 308; and (3) the charges are in proper form. (c) How charges may be disposed of. Unless the authority to do so has been limited or withheld by superior competent authority, a commander may dis pose of charges by dismissing any or all of them, forwarding any or all of them to another commander for disposition, or referring any or all of them to a court-martial which the commander is empowered to convene. Charges should be disposed of in accord ance with the policy in R.C.M. 306(b). Discussion A commander may dispose of charges individually or collective ly. If charges are referred to a court-martial, ordinarily all known charges should be referred to a single court-martial. See Appendix 3 when the charges may involve matters in which the Department of Justice has an interest. (1) D i s m i s s a l . W h e n a c o m m a n d e r d i s m i s s e s charges further disposition under R.C.M. 306(c) of the offenses is not barred. Discussion Charges are ordinarily dismissed by lining out and initialing the deleted specifications or otherwise recording that a specification is dismissed. When all charges and specifications are dismissed, the accuser and the accused ordinarily should be informed. A charge should be dismissed when it fails to state an of fense, when it is unsupported by available evidence, or when there are other sound reasons why trial by court-martial is not appropriate. Before dismissing charges because trial would be detrimental to the prosecution of a war or harmful to national security, see R.C.M. 401(d); 407(b). If the accused has already refused nonjudicial punishment, charges should not be dismissed with a view to offering nonjudi cial punishment unless the accused has indicated willingness to a c c e p t n o n j u d i c i a l p u n i s h m e n t i f a g a i n o f f e r e d . T h e d e c i s i o n whether to dismiss charges in such circumstances is within the sole discretion of the commander concerned. Charges may be amended in accordance with R.C.M. 603. I t i s a p p r o p r i a t e t o d i s m i s s a c h a r g e a n d p r e f e r a n o t h e r charge anew when, for example, the original charge failed to state an offense, or was so defective that a major amendment was required (see R.C.M. 603(d)), or did not adequately reflect the nature or seriousness of the offense. See R.C.M. 907(b)(2)(C) concerning the effect of dismissing charges after the court-martial has begun. (2) Forwarding charges. II-31 Case 1:15-cv-00031-CKK Document 20-5 Filed 06/19/17 Page 5 of 12 R.C.M. 401(c)(2)(A) (A) F o r w a r d i n g t o a s u p e r i o r c o m m a n d e r . W h e n c h a r g e s a r e f o r w a r d e d t o a s u p e r i o r c o m mander for disposition, the forwarding commander shall make a personal recommendation as to disposi tion. If the forwarding commander is disqualified from acting as convening authority in the case, the basis for the disqualification shall be noted. Discussion A commander’s recommendation is within that commander’s sole discretion. No authority may direct a commander to make a spe cific recommendation as to disposition. When charges are forwarded to a superior commander with a view to trial by general or special court-martial, they should be forwarded by a letter of transmittal or indorsement. To the extent practicable without unduly delaying forwarding the charges, the letter should include or carry as inclosures: a summary of the available evidence relating to each offense; evidence of previous convictions and nonjudicial punishments of the accused; an indi cation that the accused has been offered and refused nonjudicial punishment, if applicable; and any other matters required by su perior authority or deemed appropriate by the forwarding com m a n d e r . O t h e r m a t t e r s w h i c h m a y b e a p p r o p r i a t e i n c l u d e information concerning the accused’s background and character of military service, and a description of any unusual circum stances in the case. The summary of evidence should include available witness statements, documentary evidence, and exhibits. When practicable, copies of signed statements of the witnesses should be forwarded, as should copies of any investigative or laboratory reports. Forwarding charges should not be delayed, however, solely to obtain such statements or reports when it otherwise appears that sufficient evidence to warrant trial is or will be available in time for trial. If because of the bulk of documents or exhibits, it is impracticable to forward them with the letter of transmittal, they should be properly preserved and should be referred to in the letter of transmittal. When it appears that any witness may not be available for later proceedings in the case or that a deposition may be appropri ate, that matter should be brought to the attention of the conven i n g a u t h o r i t y p r o m p t l y a n d s h o u l d b e n o t e d i n t h e l e t t e r o f transmittal. When charges are forwarded with a view to disposition other than trial by general or special court-martial, they should be accompanied by sufficient information to enable the authority receiving them to dispose of them without further investigation. (B) Other cases. When charges are forwarded to a commander who is not a superior of the forward ing commander, no recommendation as to disposi tion may be made. Discussion E x c e p t w h e n d i r e c t e d t o f o r w a r d c h a r g e s , a s u b o r d i n a t e commander may not be required to take any specific action to dispose of charges. See R.C.M. 104. See also paragraph 1d(2) of Part V. When appropriate, charges may be sent or returned to a subordinate commander for compliance with procedural require- m e n t s . S e e, f o r e x a m p l e , R . C . M . 3 0 3 ( p r e l i m i n a r y i n q u i r y ) ; R.C.M. 308 (notification to accused of charges). (3 ) R e f e r r a l o f c h a r g e s . S e e R . C . M . 4 0 3 , 4 0 4 , 407, 601. (d) National security matters. If a commander who is not a general court-martial convening authority finds that the charges warrant trial by court-martial but believes that trial would probably be detrimental to the prosecution of a war or harmful to national security, the charges shall be forwarded to the offi c e r e x e r c i s i n g g e n e r a l c o u r t - m a r t i a l c o n v e n i n g authority. Discussion See R.C.M. 407(b). Rule 402. Action by commander not authorized to convene courts-martial When in receipt of charges, a commander author ized to administer nonjudicial punishment but not authorized to convene courts-martial may: (1) Dismiss any charges; or Discussion See R.C.M. 401(c)(1) concerning dismissal of charges, the effect of dismissal, and options for further action. (2 ) F o r w a r d t h e m t o a s u p e r i o r c o m m a n d e r f o r disposition. Discussion See R.C.M. 401(c)(2) for additional guidance concerning forward ing charges. See generally R.C.M. 303 (preliminary inquiry); 308 (notification to accused of charges) concerning other duties of the immediate commander when in receipt of charges. When the immediate commander is authorized to convene courts-martial, see R.C.M. 403, 404, or 407, as appropriate. Rule 403. Action by commander exercising summary court-martial jurisdiction (a) Recording receipt. Immediately upon receipt of sworn charges, an officer exercising summary court- martial jurisdiction over the command shall cause II-32 Case 1:15-cv-00031-CKK Document 20-5 Filed 06/19/17 Page 6 of 12 ¶30a.c. c. Explanation. (1) Intent. “Intent or reason to believe” that the information “is to be used to the injury of the United S t a t e s o r t o t h e a d v a n t a g e o f a f o r e i g n n a t i o n ” means that the accused acted in bad faith and with out lawful authority with respect to information that is not lawfully accessible to the public. (2 ) N a t i o n a l d e f e n s e i n f o r m a t i o n . “ I n s t r u m e n t , appliance, or information relating to the national de fense” includes the full range of modern technology and matter that may be developed in the future, including chemical or biological agents, computer technology, and other matter related to the national defense. (3) Espionage as a capital offense. Capital pun ishment is authorized if the government alleges and proves that the offense directly concerned (1) nu- c l e a r w e a p o n r y , m i l i t a r y s p a c e c r a f t o r s a t e l l i t e s , early warning systems, or other means of defense or retaliation against large scale attack, (2) war plans, (3) communications intelligence or cryptolineart in formation, or (4) any other major weapons system or major element of defense strategy. See R.C.M. 1004 concerning sentencing proceedings in capital cases. d. Lesser included offense. Although no lesser in cluded offenses are set forth in the Code, federal civilian offenses on this matter may be incorporated through the third clause of Article 134. e. Maximum punishment. (1) Espionage as a capital offense. Death or such other punishment as a court-martial may direct. See R.C.M. 1003. (2) Espionage or attempted espionage. Any pun ishment, other than death, that a court-martial may direct. See R.C.M. 1003. f. Sample specification. In that (personal jurisdiction data), d i d , ( a t / o n b o a r d — l o c a t i o n ) , o n o r about 20 , with intent or reason to believe it would be used to the injury of the U n i t e d S t a t e s o r t o t h e a d v a n t a g e of , a foreign nation, (attempt to) ( c o m m u n i c a t e ) ( d e l i v e r ) ( t r a n s m i t ) ( d e s c r i p t i o n o f i t e m ) , ( a d o c u m e n t ) ( a w r i t i n g ) ( a c o d e b o o k ) ( a s k e t c h ) ( a photograph) (a photolineart negative) (a blueprint) (a plan) (a map) (a model) (a note) (an instrument) (an appliance) (information) relating to the national de fense, ((which directly concerned (nuclear weapon ry) (military spacecraft) (military satellites) (early warning systems) ( , a means of de fense or retaliation against a large scale attack) (war plans) (communications intelligence) (cryptolineart information) ( , a major weapons system) ( , a major element of defense strategy)) to ((a representative of) (an officer of) (an agent of) (an employee of) (a subject of) (a citizen of)) ((a foreign government) (a faction within a foreign country) (a party within a foreign country) (a military force within a foreign country) (a naval f o r c e w i t h i n a f o r e i g n c o u n t r y ) ) ( i n d i r e c t l y by ). 31. Article 107—False official statements a. Text of statute. Any person subject to this chapter who, with intent to deceive, signs any false record, return, r e g u l a t i o n , o r d e r , o r o t h e r o f f i c i a l d o c u m e n t , knowing it to be false, or makes any other false official statement knowing it to be false, shall be punished as a court-martial may direct. b. Elements. (1) That the accused signed a certain official doc ument or made a certain official statement; (2) That the document or statement was false in certain particulars; (3) That the accused knew it to be false at the time of signing it or making it; and (4 ) T h a t t h e f a l s e d o c u m e n t o r s t a t e m e n t w a s made with the intent to deceive. c. Explanation. (1 ) O f f i c i a l d o c u m e n t s a n d s t a t e m e n t s . O f f i c i a l documents and official statements include all docu ments and statements made in the line of duty. (2) Status of victim of the deception. The rank of any person intended to be deceived is immaterial if that person was authorized in the execution of a particular duty to require or receive the statement or document from the accused. The government may be the victim of this offense. (3 ) I n t e n t t o d e c e i v e . T h e f a l s e r e p r e s e n t a t i o n must be made with the intent to deceive. It is not necessary that the false statement be material to the issue inquiry. If, however, the falsity is in respect to a material matter, it may be considered as some e v i d e n c e o f t h e i n t e n t t o d e c e i v e , w h i l e i m materiality may tend to show an absence of this intent. IV-46 Case 1:15-cv-00031-CKK Document 20-5 Filed 06/19/17 Page 7 of 12 (4 ) M a t e r i a l g a i n . T h e e x p e c t a t i o n o f m a t e r i a l gain is not an element of this offense. Such expecta tion or lack of it, however, is circumstantial evi dence bearing on the element of intent to deceive. (5 ) K n o w l e d g e t h a t t h e d o c u m e n t o r s t a t e m e n t w a s f a l s e . T h e f a l s e r e p r e s e n t a t i o n m u s t b e o n e which the accused actually knew was false. Actual knowledge may be proved by circumstantial evi dence. An honest, although erroneous, belief that a statement made is true, is a defense. d. Lesser included offense. Article 80—attempts e . M a x i m u m p u n i s h m e n t . D i s h o n o r a b l e d i s c h a r g e , forfeiture of all pay and allowances, and confine ment for 5 years. f. Sample specification. In that ( personal jurisdiction data), did, (at/on board—loca tion), (subject-matter jurisdiction data, if required), on or about 20 , with intent to de- c e i v e , ( s i g n a n o f f i c i a l ( r e c o r d ) ( r e t u r n ) ( ) , t o w i t : ) ( m a k e t o , a n o f f i c i a l s t a t e m e n t , t o w i t : ) , w h i c h ( r e c o r d ) ( r e t u r n ) ( s t a t e m e n t ) ( ) w a s ( t o t a l l y f a l s e ) ( f a l s e i n that ), and was then known by the said- to be so false. 32. Article 108—Military property of the United States—sale, loss, damage, destruction, or wrongful disposition a. Text of statute. Any person subject to this chapter who, with out proper authority— (1) sells or otherwise disposes of; (2) w i l l f u l l y o r t h r o u g h n e g l e c t d a m a g e s , destroys, or loses; or (3) willfully or through neglect suffers to be lost, damaged, destroyed, sold, or wrongfully dis- p o s e d o f , a n y m i l i t a r y p r o p e r t y o f t h e U n i t e d States, shall be punished as a court-martial may direct. b. Elements. (1 ) S e l l i n g o r o t h e r w i s e d i s p o s i n g o f m i l i t a r y property. (a) That the accused sold or otherwise disposed o f c e r t a i n p r o p e r t y ( w h i c h w a s a f i r e a r m o r explosive); (b) That the sale or disposition was without proper authority; ¶32.c.(2) (c) That the property was military property of the United States; and (d) That the property was of a certain value. (2) D a m a g i n g , d e s t r o y i n g , o r l o s i n g m i l i t a r y property. (a) That the accused, without proper authority, damaged or destroyed certain property in a certain way, or lost certain property; (b) That the property was military property of the United States; (c) That the damage, destruction, or loss was willfully caused by the accused or was the result of neglect by the accused; and (d) That the property was of a certain value or the damage was of a certain amount. (3) Suffering military property to be lost, dam aged, destroyed, sold, or wrongfully disposed of. (a) That certain property (which was a firearm or explosive) was lost, damaged, destroyed, sold, or wrongfully disposed of; (b) That the property was military property of the United States; (c) That the loss, damage, destruction, sale, or wrongful disposition was suffered by the accused, without proper authority, through a certain omission of duty by the accused; (d) That the omission was willful or negligent; and (e) That the property was of a certain value or the damage was of a certain amount. c. Explanation. (1 ) M i l i t a r y p r o p e r t y . M i l i t a r y p r o p e r t y i s a l l property, real or personal, owned, held, or used by one of the armed forces of the United States. If is i m m a t e r i a l w h e t h e r t h e p r o p e r t y s o l d , d i s p o s e d , destroyed, lost, or damaged had been issued to the accused, to someone else, or even issued at all. If it is proved by either direct or circumstantial evidence that items of individual issue were issued to the accused, it may be inferred, depending on all the e v i d e n c e , t h a t t h e d a m a g e , d e s t r u c t i o n , o r l o s s proved was due to the neglect of the accused. Retail merchandise of service exchange stores is not mili tary property under this article. (2) Suffering military property to be lost, dam aged, destroyed, sold, or wrongfully disposed of. “To suffer” means to allow or permit. The willful or n e g l i g e n t s u f f e r a n c e s p e c i f i e d b y t h i s a r t i c l e i n IV-47 Case 1:15-cv-00031-CKK Document 20-5 Filed 06/19/17 Page 8 of 12 ¶48.f.(1) (1) Forgery—making or altering. In that (personal jurisdiction data), did, (at/on board—location) (subject-matter jurisdic t i o n d a t a , i f r e q u i r e d ) , o n o r about 20 , with intent to defraud, f a l s e l y [ m a k e ( i n i t s e n t i r e t y ) ( t h e s i g n a t u r e of as an indorsement to) (the signature of to) ( ) a c e r t a i n ( c h e c k ) ( w r i t i n g ) ( ) in the following words and figures, to wit: ] [alter a certain (check) (writing) ( ) in the following words and figures, to w i t : , b y ( a d d i n g t h e r e t o ) ( ) ] , w h i c h s a i d ( c h e c k ) ( w r i t i n g ) ( ) w o u l d , i f g e n u i n e , a p p a r e n t l y operate to the legal harm of another[*and which (could be) (was) used to the legal harm of , in that ]. [*Note: This allegation should be used when the document specified is not one which by its nature w o u l d c l e a r l y o p e r a t e t o t h e l e g a l p r e j u d i c e o f another—for example, an insurance application. The manner in which the document could be or was used to prejudice the legal rights of another should be alleged in the last blank.] (2) Forgery—uttering. In that (personal jurisdiction data), did, (at/on board—location) (subject-matter jurisdic t i o n d a t a , i f r e q u i r e d ) , o n o r about 20 , with intent to defraud, ( u t t e r ) ( o f f e r ) ( i s s u e ) ( t r a n s f e r ) a c e r t a i n ( c h e c k ) (writing) ( ) in the following words and figures, to wit: , a writing which would, if genuine, apparently operate to the legal harm of a n o t h e r , ( w h i c h s a i d ( c h e c k ) ( w r i t i n g ) ( ) ) ( t h e s i g n a t u r e t o w h i c h s a i d (check) (writing) ( )) ( ) was, as he/she, the said , t h e n w e l l k n e w , f a l s e l y ( m a d e ) ( a l t e r e d ) ( * a n d w h i c h ( c o u l d b e ) ( w a s ) u s e d t o t h e l e g a l h a r m o f , i n that ). [*Note: See the note following (1), above] 49. Article 123a—Making, drawing, or uttering check, draft, or order without sufficient funds a. Text of statute. Any person subject to this chapter who— (1) for the procurement of any article or thing of value, with intent to defraud; or (2) for the payment of any past due obligation, or for any other purpose, with intent to deceive; m a k e s , d r a w s , u t t e r s , o r d e l i v e r s a n y c h e c k , draft, or order for the payment of money upon any bank or other depository, knowing at the time that the maker or drawer has not or will not have sufficient funds in, or credit with, the bank or other depository for the payment of that che ck, draft, or order in full upon its presentment, shall be punished as a court-martial may direct. The making, drawing, uttering, or delivering by a maker or drawer of a check, draft, or order, payment of which is refused by the drawee be- c a u s e o f i n s u f f i c i e n t f u n d s o f t h e m a k e r o r drawer in the drawee’s possession or control, is prima facie evidence of his intent to defraud or deceive and of his knowledge of insufficient funds in, or credit with, that bank or other depository, unless the maker or drawer pays the holder the amount due within five days after receiving no tice, orally or in writing, that the check, draft, or order was not paid on presentment. In this sec tion, the word “credit” means an arrangement or understanding, express or implied, with the bank or other depository for the payment of that che ck, draft, or order. b. Elements. (1) For the procurement of any article or thing of value, with intent to defraud. (a) That the accused made, drew, uttered, or delivered a check, draft, or order for the payment of money payable to a named person or organization; (b) That the accused did so for the purpose of procuring an article or thing of value; (c) That the act was committed with intent to defraud; and (d) That at the time of making, drawing, utter ing, or delivery of the instrument the accused knew that the accused or the maker or drawer had not or would not have sufficient funds in, or credit with, the bank or other depository for the payment thereof upon presentment. (2) For the payment of any past due obligation, or for any other purpose, with intent to deceive. (a) That the accused made, drew, uttered, or delivered a check, draft, or order for the payment of money payable to a named person or organization; IV-92 Case 1:15-cv-00031-CKK Document 20-5 Filed 06/19/17 Page 9 of 12 ¶49.c.(12) (b) That the accused did so for the purpose or purported purpose of effecting the payment of a past due obligation or for some other purpose; (c) That the act was committed with intent to deceive; and (d) That at the time of making, drawing, utter ing, or delivering of the instrument, the accused knew that the accused or the maker or drawer had not or would not have sufficient funds in, or credit with, the bank or other depository for the payment thereof upon presentment. c. Explanation. (1) Written instruments. The written instruments covered by this article include any check, draft (in cluding share drafts), or order for the payment of money drawn upon any bank or other depository, whether or not the drawer bank or depository is actually in existence. It may be inferred that every check, draft, or order carries with it a representation that the instrument will be paid in full by the bank or other depository upon presentment by a holder when due. (2) Bank or other depository. “Bank or other de pository” includes any business regularly but not necessarily exclusively engaged in public banking activities. (3) Making or drawing. “Making” and “drawing” are synonymous and refer to the act of writing and signing the instrument. (4) U t t e r i n g o r d e l i v e r i n g . “ U t t e r i n g ” a n d “ d e l i v e r i n g ” h a v e s i m i l a r m e a n i n g s . B o t h m e a n transferring the instrument to another, but “uttering” has the additional meaning of offering to transfer. A person need not personally be the maker or drawer of an instrument in order to violate this article if that person utters or delivers it. For example, if a person holds a check which that person knows is worthless, and utters or delivers the check to another, that per son may be guilty of an offense under this article despite the fact that the person did not personally draw the check. (5) For the procurement. “For the procurement” means for the purpose of obtaining any article or thing of value. It is not necessary that an article or thing of value actually be obtained, and the purpose of the obtaining may be for the accused’s own use or benefit or for the use or benefit of another. (6) For the payment. “For the payment” means for the purpose or purported purpose of satisfying in whole or in part any past due obligation. Payment need not be legally effected. (7) For any other purpose. “For any other pur pose” includes all purposes other than the payment of a past due obligation or the procurement of any article or thing of value. For example, it includes paying or purporting to pay an obligation which is not yet past due. The check, draft, or order, whether made or negotiated for the procurement of an article or thing of value or for the payment of a past due obligation or for some other purpose, need not be intended or represented as payable immediately. For example, the making of a postdated check, delivered at the time of entering into an installment purchase contract and intended as payment for a future install ment, would, if made with the requisite intent and knowledge, be a violation of this article. (8) Article or thing of value. “Article or thing of value” extends to every kind of right or interest in property, or derived from contract, including inter ests and rights which are intangible or contingent or which mature in the future. (9) Past due obligation. A “past due obligation” is an obligation to pay money, which obligation has legally matured before making, drawing, uttering, or delivering the instrument. (10) Knowledge. The accused must have knowl edge, at the time the accused makes, draws, utters, or delivers the instrument, that the maker or drawer, whether the accused or another, has not or will not have sufficient funds in, or credit with, the bank or other depository for the payment of the instrument in full upon its presentment. Such knowledge may be proved by circumstantial evidence. (11) Sufficient funds. “Sufficient funds” refers to a condition in which the account balance of the maker or drawer in the bank or other depository at the time of the presentment of the instrument for payment is not less than the face amount of the instrument and has not been rendered unavailable for payment by garnishment, attachment, or other legal procedures. (12) Credit. “Credit” means an arrangement or understanding, express or implied, with the bank or other depository for the payment of the check, draft, or order. An absence of credit includes those situa tions in which an accused writes a check on a non existent bank or on a bank in which the accused has no account. IV-93 Case 1:15-cv-00031-CKK Document 20-5 Filed 06/19/17 Page 10 of 12 ¶49.c.(13) (1 3 ) U p o n i t s p r e s e n t m e n t . “ U p o n i t s p r e s e n t ment” refers to the time the demand for payment is made upon presentation of the instrument to the bank or other depository on which it was drawn. (14) Intent to defraud. “Intent to defraud” means an intent to obtain, through a misrepresentation, an article or thing of value and to apply it to one’s own use and benefit or to the use and benefit of another, either permanently or temporarily. (15) Intent to deceive. “Intent to deceive” means a n i n t e n t t o m i s l e a d , c h e a t , o r t r i c k a n o t h e r b y means of a misrepresentation made for the purpose of gaining an advantage for oneself or for a third person, or of bringing about a disadvantage to the interests of the person to whom the representation was made or to interests represented by that person. (16) The relationship of time and intent. Under this article, two times are involved: (a) when the accused makes, draws, utters, or delivers the instru ment; and (b) when the instrument is presented to t h e b a n k o r o t h e r d e p o s i t o r y f o r p a y m e n t . W i t h respect to (a), the accused must possess the requisite intent and must know that the maker or drawer does not have or will not have sufficient funds in, or credit with, the bank or the depository for payment of the instrument in full upon its presentment when d u e . W i t h r e s p e c t t o ( b ) , i f i t c a n o t h e r w i s e b e shown that the accused possessed the requisite intent and knowledge at the time the accused made, drew, uttered, or delivered the instrument, neither proof of presentment nor refusal of payment is necessary, as when the instrument is one drawn on a nonexistent bank. (17) Statutory rule of evidence. The provision of this article with respect to establishing prima facie evidence of knowledge and intent by proof of notice and nonpayment within 5 days is a statutory rule of evidence. The failure of an accused who is a maker or drawer to pay the holder the amount due within 5 d a y s a f t e r r e c e i v i n g e i t h e r o r a l o r w r i t t e n n o t i c e from the holder of a check, draft, or order, or from any other person having knowledge that such check, draft, or order was returned unpaid because of insuf ficient funds, is prima facie evidence (a) that the accused had the intent to defraud or deceive as al leged; and (b) that the accused knew at the time the accused made, drew, uttered, or delivered the check, draft, or order that the accused did not have or would not have sufficient funds in, or credit with, the bank or other depository for the payment of such check, draft, or order upon its presentment for pay ment. Prima facie evidence is that evidence from which the accused’s intent to defraud or deceive and the accused’s knowledge of insufficient funds in or credit with the bank or other depository may be inferred, depending on all the circumstances. The failure to give notice referred to in the article, or payment by the accused, maker, or drawer to the holder of the amount due within 5 days after such n o t i c e h a s b e e n g i v e n , p r e c l u d e s t h e p r o s e c u t i o n from using the statutory rule of evidence but does not preclude conviction of this offense if all the elements are otherwise proved. (18) Affirmative defense. Honest mistake is an af firmative defense to offenses under this article. See R.C.M. 916(j). d. Lesser included offenses. (1 ) A r t i c l e 1 3 4 — m a k i n g , d r a w i n g , u t t e r i n g o r delivering a check, draft, or order, and thereafter wrongfully and dishonorably failing to maintain suf ficient funds (2) Article 80—attempts e. Maximum punishment. (1) For the procurement of any article or thing of value, with intent to defraud, in the face amount of: (a) $ 5 0 0 . 0 0 o r l e s s . B a d - c o n d u c t d i s c h a r g e , forfeiture of all pay and allowances, and confine ment for 6 months. (b) M o r e t h a n $ 5 0 0 . 0 0 . D i s h o n o r a b l e d i s charge, forfeiture of all pay and allowances, and confinement for 5 years. (2) For the payment of any past due obligation, or for any other purpose, with intent to deceive. Bad-conduct discharge, forfeiture of all pay and al lowances, and confinement for 6 months. f. Sample specifications. (1) For the procurement of any article or thing of value, with intent to defraud. I n t h a t ( p e r s o n a l j u r i s d i c t i o n d a t a ) , did, (at/on board—location) (subject-matter jurisdic t i o n d a t a , i f r e q u i r e d ) , o n o r about 20 , with intent to defraud and for the procurement of (lawful currency) (and) ( (an article) (a thing) of value), wrong fully and unlawfully ((make (draw)) (utter) (deliver) to ,) a certain (check) (draft) (money or der) upon the ( Bank) ( de- p o s i t o r y ) i n w o r d s a n d f i g u r e s a s f o l l o w s , t o w i t : , t h e n k n o w i n g t h a t ( h e / s h e ) IV-94 Case 1:15-cv-00031-CKK Document 20-5 Filed 06/19/17 Page 11 of 12 c a r d ) ( ) i n w o r d s a n d f i g u r e s a s follows: . (2) Wrongful sale, gift, loan, or disposition of a military or official pass, permit, discharge certifi cate, or identification card. In that (personal jurisdiction data), did, (at/on board—location) (subject-matter jurisdic t i o n d a t a , i f r e q u i r e d ) , o n o r a b o u t 2 0 , w r o n g f u l l y ( s e l l t o ) ( g i v e t o ) ( l o a n to ) (dispose of by ) (a cer tain instrument purporting to be) (a) (an) (another’s) (naval) (military) (official) (pass) (permit)(discharge c e r t i f i c a t e ) ( i d e n t i f i c a t i o n c a r d ) ( ) i n words and figures as follows: , he/ s h e , t h e s a i d , t h e n w e l l k n o w i n g t h e same to be (false) (unauthorized). (3) Wrongful use or possession of a false or un a u t h o r i z e d m i l i t a r y o r o f f i c i a l p a s s , p e r m i t , d i s charge certificate, or identification card. In that (personal jurisdiction data), did (at/on board—location) (subject-matter jurisdic t i o n d a t a , i f r e q u i r e d ) , o n o r a b o u t 2 0 , wrongfully (use) (possess) (with intent to (defraud) (deceive)) (a certain instrument purporting to be) (a) (an) (another’s) (naval) (military) (official) (pass) (permit) (discharge certificate) (identification card) ( ) , h e / s h e , t h e said , then well knowing the same to be (false) (unauthorized). 78. Article 134—(False pretenses, obtaining services under) a. Text of statute. See paragraph 60. b. Elements. (1) That the accused wrongfully obtained certain services; (2) That the obtaining was done by using false pretenses; (3) That the accused then knew of the falsity of the pretenses; (4) That the obtaining was with intent to defraud; (5) That the services were of a certain value; and (6) That, under the circumstances, the conduct of the accused was to the prejudice of good order and discipline in the armed forces or was of a nature to bring discredit upon the armed forces. ¶79.c.(1) c. Explanation. This offense is similar to the of f e n s e s o f l a r c e n y a n d w r o n g f u l a p p r o p r i a t i o n b y false pretenses, except that the object of the obtain- i n g i s s e r v i c e s ( f o r e x a m p l e , t e l e p h o n e s e r v i c e ) rather than money, personal property, or articles of value of any kind as under Article 121. See para graph 46c. See paragraph 49c(14) for a definition of “intent to defraud.” d. Lesser included offense. Article 80—attempts e. Maximum punishment. Obtaining services under false pretenses. (1) Of a value of $500.00 or less. Bad-conduct discharge, forfeiture of all pay and allowances, and confinement for 6 months. (2) Of a value of more than $500.00. Dishonora ble discharge, forfeiture of all pay and allowances, and confinement for 5 years. f. Sample specification. In that (personal jurisdiction data), did, (at/on board—location) (subject-matter jurisdic t i o n d a t a , i f r e q u i r e d ) , o n o r about 20 , with intent to defraud, f a l s e l y p r e t e n d to that , then knowing that the pretenses were false, and by means thereof did wrongfully obtain from services, of a value of (about) $ , to wit: . 79. Article 134—(False swearing) a. Text of statute. See paragraph 60. b. Elements. (1) That the accused took an oath or equivalent; (2) That the oath or equivalent was administered to the accused in a matter in which such oath or equivalent was required or authorized by law; (3) That the oath or equivalent was administered by a person having authority to do so; (4) That upon this oath or equivalent the accused made or subscribed a certain statement; (5) That the statement was false; (6 ) T h a t t h e a c c u s e d d i d n o t t h e n b e l i e v e t h e statement to be true; and (7) That, under the circumstances, the conduct of the accused was to the prejudice of good order and discipline in the armed forces or was of a nature to bring discredit upon the armed forces. c. Explanation. (1) Nature of offense. False swearing is the mak IV-125 Case 1:15-cv-00031-CKK Document 20-5 Filed 06/19/17 Page 12 of 12 Exhibit 5 Case 1:15-cv-00031-CKK Document 20-6 Filed 06/19/17 Page 1 of 8 U.S. v. Spicer, 71 M.J. 470 (2013) © 2017 Thomson Reuters. No claim to original U.S. Government Works. 1 KeyCite Yellow Flag - Negative Treatment Distinguished by U.S. v. Passut, U.S. Armed Forces, January 8, 2014 71 M.J. 470 U.S. Court of Appeals for the Armed Forces. UNITED STATES, Appellee, v. David G. SPICER Jr., Private First Class, U.S. Army, Appellant. No. 12–0414. Crim.App. No. 20090608. Argued Oct. 10, 2012. Decided Feb. 6, 2013. Synopsis Background: Accused was convicted by general court-martial, Debra L. Boudreau and Michael J. Hargis, JJ., of making a false official statement and child endangerment. The United States Army Court of Criminal Appeals, 2012 WL 346653, affirmed. Review was granted. [Holding:] The United States Court of Appeals for the Armed Forces, Baker, C.J., held that accused’s false statements to civilian law enforcement officials about the purported kidnapping of his infant son were not “official” within meaning of the false official statement article. Affirmed in part and reversed in part. Stucky, J., filed dissenting opinion. West Headnotes (8) [1] Military Justice Scope of review in general United States Court of Appeals for the Armed Forces reviews questions of legal sufficiency de novo. Cases that cite this headnote [2] Military Justice Scope of review in general The test for legal sufficiency is whether, considering the evidence in the light most favorable to the prosecution, any reasonable fact-finder could have found all the essential elements beyond a reasonable doubt. 1 Cases that cite this headnote [3] Military Justice In general; nature and elements Article barring false official statements applies to statements affecting military functions, which encompasses matters within the jurisdiction of the military departments and services; this includes statements based on the standpoint of the speaker, where either the speaker is acting in the line of duty or the statements directly relate to the speaker’s official military duties, and statements based on the position of the hearer, when the hearer is either a military member carrying out a military duty or the hearer is a civilian necessarily performing a military function when the statement is made. UCMJ, Art. 107, 10 U.S.C.A. § 907. 9 Cases that cite this headnote [4] Military Justice In general; nature and elements Purpose the false official statement article is to protect the authorized functions of the military from the perversion which might result from the deceptive practices described in the context of the civilian false statement statute. UCMJ, Art. 107, 10 U.S.C.A. § 907; 18 U.S.C.A. § 1001. Case 1:15-cv-00031-CKK Document 20-6 Filed 06/19/17 Page 2 of 8 U.S. v. Spicer, 71 M.J. 470 (2013) © 2017 Thomson Reuters. No claim to original U.S. Government Works. 2 1 Cases that cite this headnote [5] Military Justice In general; nature and elements To determine whether a false statement is official, or capable of perverting authorized military functions, for purposes of the false official statement article, the critical distinction is whether the statements relate to the official duties of either the speaker or the hearer, and whether those official duties fall within the scope of the Uniform Code of Military Justice’s (UCMJ) reach. UCMJ, Art. 107, 10 U.S.C.A. § 907. 4 Cases that cite this headnote [6] Military Justice In general; nature and elements A speaker may make a false official statement in the line of duty, or to civilian law enforcement officials if the statement bears a clear and direct relationship to the speaker’s official duties; alternatively, a statement may be official if the hearer is a military member carrying out a military duty at the time the statement is made. UCMJ, Art. 107, 10 U.S.C.A. § 907. 14 Cases that cite this headnote [7] Military Justice In general; nature and elements Statements may be official for purposes of the false official statement article if the hearer is a civilian who is performing a military function at the time the speaker makes the statement. UCMJ, Art. 107, 10 U.S.C.A. § 907. 14 Cases that cite this headnote [8] Military Justice In general; nature and elements Accused’s false statements to civilian law enforcement officials about the purported kidnapping of his infant son were not “official” within meaning of the false official statement article; accused did not make the statements in the line of duty or disobey a specific order to provide for his family, the statements did not bear a clear and direct relationship to his official duties, and while the statements ultimately affected on-base persons performing official military functions, accused made the statements to civilian officials who were not conducting any military function. UCMJ, Art. 107, 10 U.S.C.A. § 907. 7 Cases that cite this headnote *471 BAKER, C.J., delivered the opinion of the Court, in which ERDMANN and RYAN, JJ., and COX, S.J., joined. STUCKY, J., filed a dissenting opinion. For Appellant: Major Daniel E. Goldman (argued); Lieutenant Colonel Jonathan F. Potter and Frank J. Spinner (on brief); Captain E. Patrick Gilman, Captain Matthew T. Grady, Captain Kristin McGrory, and Captain James S. Trieschmann Jr. For Appellee: Captain Steve T. Nam (argued); Lieutenant Colonel Amber J. Roach (on brief); Major Robert A. Rodrigues and Captain Frank E. Kostik Jr. Chief Judge BAKER delivered the opinion of the Court. A general court-martial composed of members was convened in Fort Carson, Colorado. Contrary to his pleas, Appellant was convicted of two specifications of making a false official statement,1 and two specifications of child endangerment,2 in violation of Articles 107 and 134, Uniform Code of Military Justice (UCMJ), 10 U.S.C. §§ 907, 934 (2006). The adjudged and approved sentence included a dishonorable discharge, confinement for ten years, forfeiture of all pay and allowances, and reduction to pay grade E–1. In a summary disposition, the United States Army Court of Criminal Appeals affirmed the Case 1:15-cv-00031-CKK Document 20-6 Filed 06/19/17 Page 3 of 8 U.S. v. Spicer, 71 M.J. 470 (2013) © 2017 Thomson Reuters. No claim to original U.S. Government Works. 3 findings and the sentence. United States v. Spicer, No. ARMY 20090608, 2012 CCA LEXIS 30, at *4, 2012 WL 346653, at *1 (A.Ct.Crim.App. Jan. 31, 2012). We granted review on the following issue: 1 The specific offenses were: Charge I: Violation of the UCMJ, Article 107 Specification 1: In that PFC David G. Spicer, Jr., U.S. Army, did, at or near Colorado Springs, Colorado on or about 24 July 2008, with intent to deceive, make to Detective John W. Koch, Colorado Springs Police Department, an official statement, to wit: His infant son’s [C.S.’s] babysitter (Jessica Landing) failed to return his (David G. Spicer, Jr.’s) son to him and demanded money in exchange for him, or words to that effect, which statement was totally false, and was then known by PFC David G. Spicer, Jr. to be so false. Specification 2: In that PFC David G. Spicer, Jr., U.S. Army, did, at or near Colorado Springs, Colorado on or about 24 July 2008, with intent to deceive, make to Detective Carlotta Rivera, Colorado Springs Police Department, an official statement, to wit: He had witnessed a possible narcotics transaction and the alleged drug dealers subsequently kidnapped his son, [C.S.], threatening to kill him [C.S.] if he, David G. Spicer, Jr., failed to meet their demands, or words to that effect, which statement was totally false, and was then known by PFC David G. Spicer, Jr. to be so false. 2 Appellant pleaded guilty to child endangerment by culpable negligence, but the Government proved the charged, greater offense of child endangerment by design. WHETHER THE EVIDENCE IS LEGALLY SUFFICIENT TO SUPPORT THE FINDINGS OF GUILTY OF MAKING FALSE OFFICIAL STATEMENTS UNDER CHARGE I. FACTS From June 17 to July 24, 2008, Appellant left his infant son, C.S., and toddler son, T.S., in his Fort Carson quarters without supervision during the duty day. C.S. suffered from malnourishment and diaper rash, and T.S. was malnourished and “emotionally injured” because his father “was not caring for him properly.” *472 On July 24, 2008, Appellant realized that C.S. was sick when his neck became swollen and he developed sores on his fingers. Appellant called the Fort Carson police, but was transferred to the Colorado Springs 911 operator because he was located in that jurisdiction when he made the call. Appellant requested an ambulance, stating that a babysitter had kidnapped C.S. and had “not tak[en] care of him.” Appellant gave a statement to Detective John W. Koch of the Colorado Springs Police Department (CSPD) at the police station. Appellant described the babysitter in detail, saying that she had been caring for his children for several months, first at Appellant’s residence and then at her home on base. Appellant claimed that the babysitter had returned C.S. to Appellant after demanding a ransom and not properly caring for the child. Detective Koch and CSPD Detective Carlotta L. Rivera had already checked several databases after Appellant’s initial statement to a responding patrol officer, and could not locate a record for the babysitter. Detective Koch expressed skepticism about the story, but Appellant maintained that he was telling the truth. During a break in the questioning, Appellant began to speak with CSPD Detective Rivera outside the interview room. Over the course of two hours, Appellant began to explain that the babysitter story was false and had been fabricated by someone else. Appellant told Detective Rivera that he had witnessed a drug deal, and that an African American drug dealer had threatened him. Appellant claimed that to ensure his silence the drug dealer took C.S. for a two-month period, returning him only once during that time. The drug dealer also supposedly instructed Appellant to remove T.S. from day care. According to Appellant, the drug dealer concocted the story about a babysitter and told Appellant to fake the kidnapping. At some point, the police contacted military law enforcement. About twenty to thirty minutes into their interview of Appellant, the police asked military law enforcement to “get involved” because the alleged kidnapping had occurred on Fort Carson and the babysitter may have been a servicemember or had some connection to the military. The police relayed information to CID Special Agent (SA) Christopher P. Schrock, and worked on a search warrant for Appellant’s base quarters. SA Schrock watched a portion of Appellant’s interview through live closed-circuit television. The police asked CID for assistance to conduct interviews and search Appellant’s residence. SA Schrock performed interviews on base with a CSPD detective, and searched military databases for the alleged babysitter. The CSPD and CID searched the residence, with military police present for security purposes. After the search, CSPD left with items of evidence, including a piece of paper with the alleged babysitter’s name written on it. CID opened a joint Case 1:15-cv-00031-CKK Document 20-6 Filed 06/19/17 Page 4 of 8 U.S. v. Spicer, 71 M.J. 470 (2013) © 2017 Thomson Reuters. No claim to original U.S. Government Works. 4 investigation with the CSPD serving as the lead agency. On July 30, 2008, SA David Simon interviewed Appellant, who admitted fabricating the stories. DISCUSSION [1] [2] Appellant argues that the evidence in this case is legally insufficient to support the findings of guilty of making false official statements. This Court reviews questions of legal sufficiency de novo. United States v. Winckelmann, 70 M.J. 403, 406 (C.A.A.F.2011). The test for legal sufficiency is whether, “considering the evidence in the light most favorable to the prosecution, any reasonable fact-finder could have found all the essential elements beyond a reasonable doubt.” United States v. Day, 66 M.J. 172, 173–74 (C.A.A.F.2008) (citing United States v. Turner, 25 M.J. 324, 324 (C.M.A.1987)). Article 107, UCMJ states: Any person subject to this chapter who, with intent to deceive, signs any false record, return, regulation, order, or other official document, knowing it to be false, or makes any other false official statement knowing it to be false, shall be punished as a court-martial may direct. The essential elements for the false official statement offense are: (1) That the accused signed a certain official document or made a certain official statement; *473 (2) That the document or statement was false in certain particulars; (3) That the accused knew it to be false at the time of signing it or making it; and (4) That the false document or statement was made with the intent to deceive. Manual for Courts–Martial, United States pt. IV, para. 31.b. (2012 ed.) (MCM); see also Article 107, UCMJ. The element at issue in this case is whether the evidence was legally sufficient to find that Appellant’s statements were “official.” The interpretive challenge is that the element in question can be read in more than one manner. Moreover, prior case law has left the matter unsettled. There are at least three possible ways to interpret the phrase “Any person ... who makes any other false official statement ....” At its most expansive, the clause could reach any false statement that is in some way official, that is, any statement implicating a military, federal, or state function. At the other extreme, the clause could be read exclusively from the standpoint of the person making the statement, in which case, the speaker must be acting in the line of duty, or the statement must relate to the speaker’s official duties in order to fall under Article 107, UCMJ. Finally, the clause could be read to cover statements that implicate the official acts and functions of the hearer as well as the speaker. In such a category, the hearer could be a military member carrying out a military duty or function; a civilian necessarily performing a military function at the time the statement is made, such as a base fireman or base 911 operator; or, a civilian performing a civilian function that would predictably and necessarily require the invocation of or influence a military function. This Court recognized the possibility of this latter category in a footnote in Day, but ultimately did not express a conclusion regarding the reach of “official statement.”3 We take the opportunity to do so now, in part, because it is clear from Day that the law could benefit from increased clarity. 3 Day, 66 M.J. at 175 n. 4 (“In theory, statements made to an off-base 911 operator might implicate Article 107, UCMJ, in situations where, among other things, there is a predictable and necessary nexus to on-base persons performing official military functions on behalf of the command.”). [3] For the following reasons, we interpret Article 107, UCMJ, as applying to statements affecting military functions, a phrase derived from Supreme Court case law, and which encompasses matters within the jurisdiction of the military departments and services. United States v. Rodgers, 466 U.S. 475, 478–79, 104 S.Ct. 1942, 80 L.Ed.2d 492 (1984) (interpreting 18 U.S.C. § 1001’s phrase “within the jurisdiction” as differentiating “the official, authorized functions of an agency or department from matters peripheral to the business of that body”). This includes statements based on the standpoint of the speaker, where either the speaker is acting in the line of duty or the statements directly relate to the speaker’s official military duties, and statements based on the position of the hearer, when the hearer is either a military member carrying out a military duty or the hearer is a civilian necessarily performing a military function when the statement is made. This also removes any ambiguity suggested by footnote four in Day; a matter must affect a military function at the time the statement is made. The Case 1:15-cv-00031-CKK Document 20-6 Filed 06/19/17 Page 5 of 8 U.S. v. Spicer, 71 M.J. 470 (2013) © 2017 Thomson Reuters. No claim to original U.S. Government Works. 5 putative accused, in other words, is on fair notice of his or her liability based on an actual connection to military functions, rather than on the fortuity or likelihood that a matter will subsequently be referred to military jurisdiction. This conclusion is based on the legislative history as well as the purpose of Article 107, UCMJ. First, Article 107, UCMJ, is derived from Articles of War 56 and 57. And, while Article 107, UCMJ, is drafted in a more expansive manner than the Articles of War, these particular Articles of War were specifically intended to address the integrity of military functions, in particular false muster and false returns or omission to render returns.4 Uniform Code of Military Justice: *474 Hearings on H.R. 2498 Before a Subcomm. of the H. Comm. on Armed Servs., 81st Cong. 1229–30 (1949), reprinted in Index and Legislative History, Uniform Code of Military Justice (1950) (not separately paginated). In other words, the Articles of War did not address every false statement, only those pertaining to military functions. 4 Article of War 57, enacted in National Defense Act Amendments, ch. 227, 41 Stat. 759, 800 (1920) (“Every officer whose duty it is to render to the War Department or other superior authority a return of the state of the troops under his command, or of the arms, ammunition, clothing, funds, or other property thereunto belonging, who knowingly makes a false return thereof shall be dismissed from the service and suffer such other punishment as a court-martial may direct.”). [4] The purpose of Article 107, UCMJ, is also derived from a parallel understanding of its civilian counterpart, 18 U.S.C. § 1001 (2006).5 Thus, in 1955, this Court first looked to § 1001 to determine the meaning of Article 107: 5 18 U.S.C. § 1001(a) (2006), states: Except as otherwise provided in this section, whoever, in any matter within the jurisdiction of the executive, legislative, or judicial branch of the Government of the United States, knowingly and willfully— (1) falsifies, conceals, or covers up by any trick, scheme, or device a material fact; (2) makes any materially false, fictitious, or fraudulent statement or representation; or (3) makes or uses any false writing or document knowing the same to contain any materially false, fictitious, or fraudulent statement or entry.... In United States v. Gilliland, the Supreme Court of the United States held that the purpose of the false statement statute [§ 1001] is “to protect the authorized functions of governmental departments and agencies from the perversion which might result from the deceptive practices described.” We think that also succinctly states the purpose of Article 107. United States v. Hutchins, 5 C.M.A. 422, 427, 18 C.M.R. 46 (1955) (citation omitted). This Court’s cases since 1955 have continued to refer to § 1001 by analogy to derive the purpose and scope of Article 107, UCMJ. United States v. Dorsey, 38 M.J. 244, 248 (C.M.A.1993); United States v. Jackson, 26 M.J. 377, 378 (C.M.A.1988); United States v. Davenport, 9 M.J. 364, 370 (C.M.A.1980). Thus, this Court held that “the word ‘official’ used in Article 107 is the substantial equivalent of the phrase ‘any matter within the jurisdiction of any department or agency of the United States’ found in § 1001.” Jackson, 26 M.J. at 378 (citation omitted) (quotation marks omitted). Based on the legislative history of Article 107, UCMJ, and a parallel construction of 18 U.S.C. § 1001, it follows that the purpose of Article 107, UCMJ, is to protect the authorized functions of the military from the perversion which might result from the deceptive practices described in the context of § 1001. 18 U.S.C. § 1001, in turn, protects the official functions of the federal government more broadly, while parallel state statutes would protect state functions.6 6 In the past, this Court’s case law has also described Article 107, UCMJ, as “more expansive” than its civilian counterpart. United States v. Teffeau, 58 M.J. 62, 68–69 (C.A.A.F.2003) (citing United States v. Solis, 46 M.J. 31, 34 (C.A.A.F.1997)). Our analysis does not rely on such a judgment. On the one hand, Article 107, UCMJ, could be viewed as more expansive because it potentially reaches matters affecting good order and discipline, for which there is no civilian counterpart. On the other hand, 18 U.S.C. § 1001 applies to any agency or department of the United States, whereas Article 107, UCMJ, addresses only false official military statements. [5] [6] Thus, as stated in Day, to determine whether a false statement is official, or capable of perverting authorized military functions, “the critical distinction is .... whether the statements relate to the official duties of either the speaker or the hearer, and whether those official duties fall within the scope of the UCMJ’s reach.” Day, 66 M.J. at 174. The speaker may make a false official statement “in the line of duty,” MCM pt. IV, para. 31.c.(1), or to civilian law enforcement officials if the statement bears a “clear and direct relationship” to the speaker’s official duties. Teffeau, 58 M.J. at 69. Alternatively, a statement may be official if the hearer is a military member “ Case 1:15-cv-00031-CKK Document 20-6 Filed 06/19/17 Page 6 of 8 U.S. v. Spicer, 71 M.J. 470 (2013) © 2017 Thomson Reuters. No claim to original U.S. Government Works. 6 ‘carrying out a military duty’ at the time the statement is made.” United States v. Cummings, 3 M.J. 246, 247 (C.M.A.1977) (citing United States v. Arthur, 8 C.M.A. 210, 211, 24 C.M.R. 20, 21 (1957)). *475 [7] Finally, the statements at issue may be official if the hearer is a civilian who is performing a military function at the time the speaker makes the statement. The application of Article 107, UCMJ, here hinges on a critical temporal distinction: the hearer must be performing a military function at the time the statement is made, and not afterwards as a result of the statement. A statement made to a civilian law enforcement official acting in a civilian capacity cannot be said to pervert a military function until the law enforcement officer invokes, involves, or transfers the matter to military authorities.7 7 That does not mean that military members are immune from prosecution for false official statements made to civilian officials who are not performing military functions at the time. Rather, it reflects a determination that in a legal context that includes 18 U.S.C. § 1001, Article 107, UCMJ, and relevant state law prohibitions on false statements, whether the appropriate mechanism for charging misconduct is Article 107, UCMJ, or Article 134(3), UCMJ, will depend on the circumstances. [8] Applying this legal framework to the present facts and in light of the purposes of Article 107, UCMJ, Appellant’s statements were appropriately determined to be false, but were not official. Appellant did not make the statements in the line of duty. He did not disobey a specific order to provide for his family, and the statements do not bear a clear and direct relationship to his official duties. Furthermore, while Appellant’s statements ultimately affected on-base persons performing official military functions, Appellant made the statements to civilian law enforcement officials who were not conducting any military function at the time the statements were made. When Appellant made the statements, the CSPD detectives were not operating a joint investigation with military officials or performing any other military functions. Thus, the present facts do not fall within the meaning of an official statement for the purposes of Article 107, UCMJ. Accordingly, we hold that the evidence was not legally sufficient to support the findings of guilty of making false official statements under Charge I. DECISION The decision of the United States Army Court of Criminal Appeals is reversed as to Charge I and the specifications thereunder and the sentence. Charge I and its specifications are dismissed. The remaining findings are affirmed. The record is returned to the Judge Advocate General of the Army for remand to the Court of Criminal Appeals for reassessment of the sentence. Alternatively, a rehearing on the sentence is authorized. STUCKY, Judge (dissenting): The majority opinion undertakes to define the term “official statement,” as used in Article 107, UCMJ, 10 U.S.C. § 907 (2006), because “the law could benefit from increased clarity.” United States v. Spicer, 71 M.J. 470, 473 (C.A.A.F.2013). I agree that clarity is desirable. Unfortunately, the majority opinion instead adds more confusion to our admittedly less-than-clear jurisprudence on false official statements. Our duty in interpreting a statute is to implement the will of Congress, “so far as the meaning of the words fairly permit[ ].” Sec. & Exch. Comm’n v. Joiner, 320 U.S. 344, 351, 64 S.Ct. 120, 88 L.Ed. 88 (1943). As in all statutory construction cases, we begin with the language of the statute. The first step is to determine whether the language at issue has a plain and unambiguous meaning with regard to the particular dispute in the case. The inquiry ceases if the statutory language is unambiguous and the statutory scheme is coherent and consistent. Barnhart v. Sigmon Coal Co., 534 U.S. 438, 450, 122 S.Ct. 941, 151 L.Ed.2d 908 (2002) (quotation marks and citations omitted). Whether the statutory language is ambiguous is determined “by reference to the language itself, the specific context in which that language is used, and the broader context of the statute as a whole.” Robinson v. Shell Oil Co., 519 U.S. 337, 341, 117 S.Ct. 843, 136 L.Ed.2d 808 (1997). If the language of the statute is ambiguous, we may resort to the legislative history “[i]n aid of the process *476 of construction.” United States v. Great Northern Ry., 287 U.S. 144, 154, 53 S.Ct. 28, 77 L.Ed. 223 (1932). Article 107 states: “Any person subject to this chapter who, with intent to deceive, signs any false record, return, Case 1:15-cv-00031-CKK Document 20-6 Filed 06/19/17 Page 7 of 8 U.S. v. Spicer, 71 M.J. 470 (2013) © 2017 Thomson Reuters. No claim to original U.S. Government Works. 7 regulation, order, or other official document, knowing it to be false, or makes any other false official statement knowing it to be false, shall be punished as a court-martial may direct.” 10 U.S.C. § 907 (2006) (emphasis added). By using the phrase “or makes any other false official statement,” Congress clearly expressed its will that the statute be broadly interpreted, see United States v. Day, 66 M.J. 172, 174 (C.A.A.F.2008) (citing United States v. Teffeau, 58 M.J. 62, 68–69 (C.A.A.F.2003)), and that false official statements are not limited, as the majority insists, to “statements affecting military functions.” Spicer, 71 M.J. at 473. Even if I were to conclude that the phrase “or makes any other false official statement” is ambiguous, resort to legislative history would not change my belief that Article 107 is not restricted to “statements affecting military functions.” The legislative history of Article 107 is very brief, consisting of a short commentary by the drafters: [Article 107] consolidates A.W. 56 and 57. It is broader in scope in that it is not limited to particular types of documents, and its application includes all persons subject to this code. The article extends to oral statements, and the mandatory dismissal for officers has been deleted. Uniform Code of Military Justice: Hearings on H.R. 2498 Before a Subcomm. of the H. Comm. on Armed Servs., 81st Cong. 1230 (1949), reprinted in Index and Legislative History, Uniform Code of Military Justice (1950) (not separately paginated). As noted by the majority, Article 107, UCMJ, is derived from Articles of War 56 and 57.1 Spicer, 71 M.J. at 473. The majority is correct in noting that those “Articles of War were specifically intended to address the integrity of military functions.” Id. Article of War 56 prohibited an officer from knowingly making a false muster. See 41 Stat. at 800. Article of War 57 prohibited an officer whose duty it was to render a report on the state of the troops, arms, ammunition, or other property, from knowingly making a false report. Id. But the brief and ambiguous legislative history quoted above is hardly a basis from which to conclude that Congress meant to limit the scope of Article 107 to “statements affecting military functions.” 1 See National Defense Act Amendments, ch. 227, 41 Stat. 759, 800 (1920). The majority claims that the “purpose of Article 107, UCMJ, is also derived from a parallel understanding of its civilian counterpart, 18 U.S.C. § 1001 (2006).” Spicer, 71 M.J. at 474. Section 1001(a), however, specifically restricts criminality for false statements to those made “in any matter within the jurisdiction of the executive, legislative, or judicial branch of Government of the United States.” Congress chose not to so limit Article 107. Had it wanted to, it could easily have done so by adding one word—military—between “false official” and “statement.” Congress knows how to do this and has done it in other parts of the UCMJ. See, e.g., Article 94(a), UCMJ, 10 U.S.C. § 894(a) (2006) (subsection (1) prohibits one acting in concert with another from refusing to obey orders with the intent to usurp military authority; subsection (2) prohibits one, acting in concert with another, from revolting with intent to overthrow lawful civil authority). I conclude that Congress intended Article 107 to criminalize false statements made to civilian law enforcement agents acting in their official capacity. I would therefore affirm the judgment of the United States Army Court of Criminal Appeals. End of Document © 2017 Thomson Reuters. No claim to original U.S. Government Works. Case 1:15-cv-00031-CKK Document 20-6 Filed 06/19/17 Page 8 of 8 Exhibit 6 Case 1:15-cv-00031-CKK Document 20-7 Filed 06/19/17 Page 1 of 27 Army Regulation 340–21 Office Management The Army Privacy Program Headquarters Department of the Army Washington, DC 5 July 1985 Unclassified Case 1:15-cv-00031-CKK Document 20-7 Filed 06/19/17 Page 2 of 27 SUMMARY of CHANGE AR 340–21 The Army Privacy Program This revision incorporates only minor administrative changes including updating of office symbols and ZIP codes. A summary of changes made tomhis regulation will appear on this page in all future issues of this publication. This publication has been reorganized to make it compatible with the Army electronic publishing database. No content has been changed. Case 1:15-cv-00031-CKK Document 20-7 Filed 06/19/17 Page 3 of 27 Headquarters Department of the Army Washington, DC 5 July 1985 Office Management The Army Privacy Program *Army Regulation 340–21 Effective 5 July 1985 History. This UPDATE printing publishes a r e v i s i o n w h i c h i s e f f e c t i v e 5 J u l y 1 9 8 5 . Because the structure of the entire revised text h a s b e e n r e o r g a n i z e d , n o a t t e m p t h a s b e e n m a d e t o h i g h l i g h t c h a n g e s f r o m t h e e a r l i e r regulation dated 27 August 1975. Summary. This regulation on the Army Pri- vacy Program has been revised. It supple- m e n t s D O D D i r e c t i v e 5 4 0 0 . 1 1 a n d D O D 5400.11–R. Applicability. This regulation applies to the Active Army, the Army National Guard, the U.S.Army Reserve, and the Army and Air Force Exchange Service. P r o p o n e n t a n d e x c e p t i o n a u t h o r i t y . Not applicable A r m y m a n a g e m e n t c o n t r o l p r o c e s s . Supplementation. Supplementation of this r e g u l a t i o n i s p r o h i b i t e d w i t h o u t p r i o r a p - proval from HQDA(DAAG–AMR–S), ALEX VA 22331–0301. Interim changes. Interim changes to this r gulation are not official unless they are au- thenticated by The Adjutant General. Users will destroy interim changes on their expira- tion dates unless sooner superseded or re- scinded. S u g g e s t e d I m p r o v e m e n t s . T h e p r o p o - nent agency of this regulation is the Office of T h e A d j u t a n t G e n e r a l . U s e r s a r e i n v i t e d t o send comments and suggested improvements on DA Form 2028(Recommended Changes to P u b l i c a t i o n s a n d B l a n k F o r m s ) d i r e c t l y t o H Q D A ( D A A G – A M R – S ) , A L E X V A 22331–0301. Distribution. Active Army, B; ARNG, D; USAR, D. Contents (Listed by paragraph and page number) Chapter 1 General Information, page 1 Purpose • 1–1, page 1 References • 1–2, page 1 Explanation of abbreviations and terms • 1–3, page 1 Responsibilities • 1–4, page 1 Policy • 1–5, page 1 Authority • 1–6, page 1 Access and amendment refusal authority • 1–7, page 1 DA Privacy Review Board • 1–8, page 2 Privacy official • 1–9, page 2 Chapter 2 Individual Rights of Access and Amendment, page 2 Access under the Privacy Act • 2–1, page 2 Notifying the individual • 2–2, page 2 Relationship between the Privacy Act and the Freedom of Information Act • 2–3, page 2 Functional requests • 2–4, page 2 Medical records • 2–5, page 2 Third party information • 2–6, page 2 Referral of records • 2–7, page 2 Fees • 2–8, page 2 Denial of access • 2–9, page 2 Amendment of records • 2–10, page 3 Procedures • 2–11, page 3 Privacy case files • 2–12, page 3 Chapter 3 Disclosure of Personnel Information to Other Agencies and Third Parties, page 3 Disclosure without consent • 3–1, page 3 Blanket routine use disclosures • 3–2, page 4 Disclosure to third parties • 3–3, page 4 Accounting of disclosure • 3–4, page 4 Chapter 4 Recordkeeping Requirements Under the Privacy Act, page 5 Systems of records • 4–1, page 5 Privacy Act Statement • 4–2, page 5 Social Security Number • 4–3, page 5 Safeguarding personal information • 4–4, page 5 First amendment rights • 4–5, page 5 System notice • 4–6, page 5 Reporting requirements • 4–7, page 6 Rules of conduct • 4–8, page 6 Judicial sanctions • 4–9, page 6 Chapter 5 Exemptions, page 6 Exempting systems of records • 5–1, page 6 General exemptions • 5–2, page 6 Specific exemptions • 5–3, page 6 Procedures • 5–4, page 7 Exempt Army records • 5–5, page 7 Exempt OPM records • 5–6, page 15 Glossary *This regulation supersedes AR 340–21, 27 August 1975. AR 340–21 • 5 July 1985 i Unclassified Case 1:15-cv-00031-CKK Document 20-7 Filed 06/19/17 Page 4 of 27 RESERVED ii AR 340–21 • 5 July 1985 Case 1:15-cv-00031-CKK Document 20-7 Filed 06/19/17 Page 5 of 27 Chapter 1 General Information 1–1. Purpose This regulation sets forth policies and procedures that govern per- sonal information kept by the Department of the Army (DA) in systems of records. 1–2. References a. Required publications. (1) AR 195–2, Criminal Investigation Activities. (Cited in para 2–10e.) (2) AR 340–17, Release of Information and Records from Army Files. (Cited in paras 2–8 and 4–4c.) (3) AR 340–21–8, The Army Privacy Program; System Notices and Exemption Rules for Civilian Personnel Functions. (Cited in para 2–9c.) (4) AR 380–380, Automated Systems Security. (Cited in paras 4–4band 4–6c(8).) b. Related publications. (A related publication is merely a source of additional information. The user does not have to read it to understand this regulation.) (1) DODD 5400.11, DOD Privacy Program. (2) DOD 5400.11–R, DOD Privacy Program. (3) Treasury Fiscal Requirements Manual. This publication can be obtained from The Treasury Department, 15th and Pennsylvania Ave, NW, Washington, DC 20220. 1–3. Explanation of abbreviations and terms Abbreviations and special terms used in this regulation are ex- plained in the glossary. 1–4. Responsibilities a . T h e A s s i s t a n t C h i e f o f S t a f f f o r I n f o r m a t i o n M a n a g e m e n t (ACSIM) is responsible for issuing policy and guidance for the A r m y P r i v a c y P r o g r a m i n c o n s u l t a t i o n w i t h t h e A r m y G e n e r a l Counsel. b. The Adjutant General (TAG) is responsible for developing and recommending policy to ACSIM concerning the Army Privacy Pro- gram and for overall execution of the program under the policy and guidance of ACSIM. c. Heads of Army Staff agencies, field operating agencies, major Army commands(MACOMs), and subordinate commands are re- sponsible for supervision and execution of the privacy program in functional areas and activities under their command. d. Heads of Joint Service agencies or commands for which the Army is the Executive Agent, or otherwise has responsibility for providing fiscal, logistical, or administrative support, will adhere to the policies and procedures in this regulation. e. Commander, Army and Air Force Exchange Service (AAFES), is responsible for the supervision and execution of the privacy program within that command pursuant to this regulation. 1–5. Policy Army policy concerning the privacy rights of individuals and the A r m y ’ s r e s p o n s i b i l i t i e s f o r c o m p l i a n c e w i t h o p e r a t i o n a l r e q u i r e - ments established by the Privacy Act are as follows: a. Protect, as required by the Privacy Act of 1974 (5 USC 552a), as amended, the privacy of individuals from unwarranted intrusion. Individuals covered by this protection are living citizens of the United States and aliens lawfully admitted for permanent residence. b. Collect only the personal information about an individual that is legally authorized and necessary to support Army operations. Disclose this information only as authorized by the Privacy Act and this regulation. c. Keep only personal information that is timely, accurate, com- plete, and relevant to the purpose for which it was collected. d. Safeguard personal information to prevent unauthorized use, access, disclosure, alteration, or destruction. e. Let individuals know what records the Army keeps on them and let them review or get copies of these records, subject to exemptions authorized by law and approved by the Secretary of the Army. (See chap 5.) f. Permit individuals to amend records about themselves con- tained in Army systems of records, which they can prove are factu- ally in error, not up-to-date, not complete, or not relevant. g. Allow individuals to ask for an administrative review of deci- sions that deny them access to or the right to amend their records. h. Maintain only information about an individual that is relevant and necessary for Army purposes required to be accomplished by statute or Executive Order. i. Act on all requests promptly, accurately, and fairly. 1–6. Authority The Privacy Act of 1974 (5 USC 552a), as amended, is the statutory basis for the Army Privacy Program. Within the Department of Defense (DOD), the Act is implemented by DODD 5400.11 and DOD 5400–11–R. The Act assigns— a. Overall Government-wide responsibilities for implementation to the Office of Management and Budget (OMB). b. Specific responsibilities to the Office of Personnel Manage- ment (OPM) and the General Services Administration (GSA). 1–7. Access and amendment refusal authority Each access and amendment refusal authority (AARA) is responsi- ble for action on requests for access to, or amendment of, records referred to them under this regulation. The officials listed below are the sole AARAs for records in their functional areas: a. The Adjutant General—for personnel records of Army retired, separated, and reserve military members; DOD dependent school student transcripts; and records not within the jurisdiction of another AARA. b. The Administrative Assistant to the Secretary of the Army— for records of the Secretariat and its serviced activities, as well as those records requiring the personal attention of the Secretary of the Army. c. The president or executive secretary of boards, councils, and similar bodies established by DA to consider personnel matters, excluding the Army Board for Correction of Military Records. d. Chief of Chaplains—for ecclesiastical records. e. Chief of Engineers—for records pertaining to civil works, in- cluding litigation; military construction; engineer procurement; other engineering matters not under the purview of another AARA; ecolo- gy; and contractor qualifications. f. Comptroller of the Army—for financial records. g. Deputy Chief of Staff for Personnel—for the records listed below. (1) Personnel records of current Federal civilian employees and active and former nonappropriated fund employees (except those in the AAFES). (2) Military police records. (3) Prisoner confinement and correctional records. (4) Safety records. (5) Alcohol and drug abuse treatment records. Note. (Requests from former civilian employees to amend a record in an OPM system of records such as the Official Personnel Folder should be sent to the Office of Personnel Management, Assistant Director for Workforce Information, Compliance and Investigations Group, 1900 E Street, NW, WASH DC 20415–0001.) h. The Inspector General (TIG)—for TIG investigative records. i. The Judge Advocate General (TJAG)—for legal records under TJAG responsibility. j. The Surgeon General—for medical records, except those prop- erly part of the Official Personnel Folder (OPM/GOVT–1 system of records). k. Commander, AAFES—for records pertaining to employees, patrons, and other matters that are the responsibility of the Ex- change Service. l. Commanding General, U.S. Army Criminal Investigation Com- mand(USACIDC)—for criminal investigation reports and military police reports included therein. 1AR 340–21 • 5 July 1985 Case 1:15-cv-00031-CKK Document 20-7 Filed 06/19/17 Page 6 of 27 m. Commanding General, U.S. Army Intelligence and Security Command—for intelligence and security investigative records. n. Commanding General, U.S. Army Materiel Command—for re- cords of Army contractor personnel, exclusive of those ineabove. o. Commanding General, U.S. Army Military Personnel Center— for personnel and personnel-related records of Active duty Army members. p . C o m m a n d e r , M i l i t a r y T r a f f i c M a n a g e m e n t C o m m a n d — f o r transportation records. q. Chief, National Guard Bureau—for personnel records of the Army National Guard. 1–8. DA Privacy Review Board The DA Privacy Review Board acts on behalf of the Secretary of the Army to decide appeals from refusal of the appropriate AARAs to amend records. Board membership is comprised of the Adminis- trative Assistant to the Secretary of the Army, The Adjutant Gener- al, and The Judge Advocate General, or their representatives. The AARA may serve as a nonvoting member when the Board considers matters in the AARA’s area of functional specialization. The Adju- tant General chairs the Board and provides the Recording Secretary. 1–9. Privacy official a. Heads of Army Staff agencies and commanders of MACOMs and subordinate commands and activities will designate a privacy official who will serve as a staff adviser on privacy matters. This function will not be assigned below battalion level. b. The privacy official will insure that— (1) Requests are processed promptly and responsively. (2) Records subject to the Privacy Act in his or her command or agency are described properly by a published system notice. (3) Privacy statements are included on forms and questionnaires that seek personal information from an individual. (4) Procedures are in place to meet reporting requirements. Chapter 2 Individual Rights of Access and Amendment 2–1. Access under the Privacy Act a. Upon a written or oral request, an individual, or his or her designated agent or legal guardian, will be granted access to a record pertaining to that individual, maintained in a system of re- cords, unless— (1) The record is subject to an exemption and the system man- ager has invoked the exemption (see chap 5), or (2) The record is information compiled in reasonable anticipation of a civil action or proceeding. b. The requester does not have to state a reason or justify the need to gain access. An individual cannot be denied access solely for refusal to provide his or her Social Security Number(SSN) unless the SSN was required for access by statute or regulation adopted prior to January 1,1975. The request should be submitted to the custodian of the record. 2–2. Notifying the individual The custodian of the record will acknowledge requests for access within 10 work days of receipt. Releasable records will be provided within 30 days, excluding Saturdays, Sundays, and legal public holidays. 2–3. Relationship between the Privacy Act and the Freedom of Information Act A Privacy Act request for access to records will be processed also as a Freedom of Information Act request. If all or any portion of the requested material is to be denied, it must be considered under the substantive provisions of both the Privacy Act and the Freedom of Information Act. Any withholding of information must be justified by asserting a legally applicable exemption in each Act. 2–4. Functional requests If an individual asks for his or her record and does not cite or reasonably imply either the Privacy Act or the Freedom of Informa- tion Act, and another prescribing directive authorizes release, the records should be released under that directive. Examples of func- tional requests are military members asking to see their Military Personnel Records Jacket, or civilian employees asking to see their Official Personnel Folder. 2–5. Medical records If it is determined that releasing medical information to the data subject could have an adverse effect on the mental or physical health of that individual, the requester will be asked to name a physician to receive the record. The data subject’s failure to desig- nate a physician is not a denial under the Privacy Act and cannot be appealed. 2–6. Third party information Third party information pertaining to the data subject may not be deleted from a record when the data subject requests access to the record unless there is an established exemption. (See para 5–5.) However, personal data such as SSN and home address of a third party in the data subject’s record normally do not pertain to the data subject and therefore may be withheld. Information about the rela- tionship between the data subject and the third party would normally be disclosed as pertaining to the data subject. 2–7. Referral of records Requests for access to Army systems of records containing records that originated with other DOD components or Federal agencies that claimed exemptions for them will be coordinated with or referred to the originator for release determination. The requester will be noti- fied of the referral. 2–8. Fees Requesters will be charged only for reproduction of requested docu- ments. Normally, there will be no charge for the first copy of a r e c o r d p r o v i d e d t o a n i n d i v i d u a l t o w h o m t h e r e c o r d p e r t a i n s . Thereafter, fees will be computed as set forth in AR 340–17. 2–9. Denial of access a. The only officials authorized to deny a request from a data subject for records in a system of records pertaining to that individ- ual are the appropriate AARAs, or the Secretary of the Army, acting through the General Counsel. (See para 1–7.) Denial is appropriate only if the record— (1) Was compiled in reasonable anticipation of a civil action or proceeding, or (2) Is properly exempted by the Secretary of the Army from the disclosure provisions of the Privacy Act (see chap 5), there is a legitimate governmental purpose for invoking the exemption, and it is not required to be disclosed under the Freedom of Information Act. b. Requests for records recommended to be denied will be for- warded to the appropriate AARA within 5 workdays of receipt, together with the request, disputed records, and justification for withholding. The requester will be notified of the referral. c. Within the 30 workday period, the AARA will give the follow- ing information to the requester in writing if the decision is to deny the request for access: (See para 2–2.) (1) Official’s name, position title, and business address. (2) Date of the denial. (3) Reasons for the denial, including citation of appropriate sec- tions of the Privacy Act and this regulation. (4) The opportunity for further review of the denial by the Gen- ral Counsel, Office of the Secretary of the Army, The Pentagon, WASH DC 20310–0104, through the AARA within 60 calendar days. (For denials made by the Army when the record is maintained in one of OPM’s Government-wide systems of records, notices for which are described in AR340–21–8, appendix A, an individual’s 2 AR 340–21 • 5 July 1985 Case 1:15-cv-00031-CKK Document 20-7 Filed 06/19/17 Page 7 of 27 request for further review must be addressed to the Assistant Direc- tor for Agency Compliance and Evaluation, Office of Personnel Management, 1900 E Street, NW, WASH DC 20415–0001.) 2–10. Amendment of records a. Individuals may request the amendment of their records, in writing, when such records are believed to be inaccurate as a matter of fact rather than judgment, irrelevant, untimely, or incomplete. b. The amendment procedures are not intended to permit chal- lenges of an event in a record that actually occurred, or to permit collateral attack upon an event that has been the subject of a judicial or quasi-judicial action. c. Consideration of a request for amendment would be appropri- ate if it can be shown that— (1) Circumstances leading up to the event recorded on the docu- ment were challenged through administrative procedures and found to be inaccurately described. (2) The document is not identical to the individual’s copy, or (3) The document was not constructed in accordance with the applicable record-keeping requirements prescribed. d. For an example of cabove, the amendment provisions do not allow an individual to challenge the merits of an adverse action. However, if the form thatdocuments the adverse action contains an error on the fact of the record (for example, the individual’s name is misspelled, or an improper date of birth or SSN was recorded), the amendment procedures may be used to request correction of the record. e. USACIDC reports of investigation (records in system notices A 0 5 0 1 . 0 8 e I n f o r m a n t R e g i s t e r , A 0 5 0 8 . 1 1 b C r i m i n a l I n f o r m a t i o n Reports and Cross Index Card Files, and A0508.25a Index to Crimi- nal Investigative Case Files) have been exempted from the amend- ment provisions of the Privacy Act. Requests to amend these reports will be considered under AR 195–2 by the Commander, U.S. Army Criminal Investigation Command. Action by the Commander, U.S.- Army Criminal Investigation Command, will constitute final action on behalf of the Secretary of the Army under that regulation. f. Records placed in the National Archives are exempted from the Privacy Act provision allowing individuals to request amendment of records. Most provisions of the Privacy Act apply only to those systems of records that are under the legal control of the originating agency; for example, an agency’s current operating files or records stored at a Federal Records Center. 2–11. Procedures a. Requests to amend a record should be addressed to the custo- dian or system manager of that record. The request must reasonably describe the record to be amended and the changes sought (that is, deletion, addition, or amendment). The burden of proof rests with t h e r e q u e s t e r ; t h e r e f o r e , t h e a l t e r a t i o n o f e v i d e n c e p r e s e n t e d t o courts, boards, and other official proceedings is not permitted. (An individual acting for the requester must supply a written consent signed by the requester.) b. The custodian or system manager will acknowledge the re- q u e s t w i t h i n 1 0 w o r k d a y s a n d m a k e f i n a l r e s p o n s e s w i t h i n 3 0 workdays. c. The record for which amendment is sought must be reviewed by the proper system manager or custodian for accuracy, relevance, timeliness, and completeness to assure fairness to the individual in any determination made about that individual on the basis of that record. d. If the amendment is proper, the custodian or system manager will physically amend the record by adding or deleting information, or destroying the record or a portion of it. He or she will notify the requester of such action. e. If the amendment is not justified, the request and all relevant documents, including reasons for not amending, will be forwarded to the proper AARA within 5 workdays; the requester will be notified. f. The AARA, on the basis of the evidence, either will amend the record and notify the requester and the custodian or deny the request and inform the requester of— (1) Reasons for not amending. (2) His or her right to seek further review by the DA Privacy Review Board (through the AARA). g. On receipt of an appeal from a denial to amend, the AARA will append any additional records or background information that substantiates the refusal or renders the case complete and, within 5 workdays of receipt, forward the appeal to the DA Privacy Review Board. h. The DA Privacy Review Board, on behalf of the Secretary of the Army, will complete action on a request for further review within 30 workdays of its receipt by the AARA. The General Coun- sel may authorize an additional 30 days when unusual circumstances and good cause so warrant. The Board may seek additional informa- tion, including the appellant’s official personnel file, if relevant and necessary to decide the appeal. (1) If the Board determines that amendment is justified, it will amend the record and notify the requester, the AARA, the custodian of the record, and any prior recipients of the record. (2) If the Board denies the request, it will obtain the General C o u n s e l ’ s c o n c u r r e n c e . R e s p o n s e t o t h e a p p e l l a n t w i l l i n c l u d e reasons for denial and the appellant’s right to file a statement of disagreement with the Board’s action and to seek judicial review of the Army’s refusal to amend. i. Statements of disagreement will be an integral part of the record to which they pertain so the fact that the record is disputed is apparent to anyone who may have access to, use of, or need to disclose from it. The disclosing authority may include a brief sum- mary of the Board’s reasons for not amending the disputed record. The summary will be limited to the reasons stated to the individual by the Board. 2–12. Privacy case files Whenever an individual submits a Privacy Act request, a case file will be established. (See system notice A0240.01DAAG.) In no instance will the individual’s request and Army actions thereon be included in the individual’s personnel file. The case file will com- prise the request for access/amendment, grants, refusals, coordina- tion action, and related papers. This file will not be used to make any determinations about the individual. Chapter 3 Disclosure of Personnel Information to Other Agencies and Third Parties 3–1. Disclosure without consent The Army is prohibited from disclosing a record from a system of records without obtaining the prior written consent of the data sub- ject, except when disclosure is— a. Made to officers and employees of DOD who have a need for the record in the performance of their duties. b. Required under the Freedom of Information Act. (See para 3–3 for information normally releasable.) c. Permitted by a routine use that has been published in the Federal Register. d. Made to the Bureau of the Census for planning or carrying out a census or survey, or to a related activity pursuant to title 13 of the United States Code. e. Made to a recipient who has provided the Army with advance written assurance that the record will be— (1) Used solely as a statistical research or reporting record. (2) Transferred in a form that is not individually identifiable. f. Made to the National Archives of the United States as a record that has sufficient historical or other value to warrant its continued preservation by the U.S. Government, or for determination of such value by the Administrator of the General Services Administration (GSA), or designee. (Records sent to Federal Records Centers for 3AR 340–21 • 5 July 1985 Case 1:15-cv-00031-CKK Document 20-7 Filed 06/19/17 Page 8 of 27 storage remain under Army control. These transfers are not disclo- sures and do not therefore need an accounting.) g. Made to another agency or to an instrumentality of any gov- ernmental jurisdiction within or under the control of the United States for a civil or criminal law enforcement activity if— (1) The activity is authorized by law. (2) The head of the agency or instrumentality has made a written request to the Army element that maintains the record. The request must specify the particular portion desired and the law enforcement activity for which the record is sought. h. Made to a person pursuant to a showing of compelling circum- stances affecting the health or safety of an individual. Upon such disclosure notification will be transmitted to the last known address of such individual. i. Made to either House of Congress, or, to the extent of matter within its jurisdiction, any committee or subcommittee thereof, any joint committee of Congress, or subcommittee of any such joint committee. j. Made to the Comptroller General, or authorized representa- tives, in the course of the performance of the duties of the General Accounting Office(GAO). k. Pursuant to the order signed by a judge of a court of compe- tent jurisdiction.(Reasonable efforts must be made to notify the subject individual if the legal process is a matter of public record.) l. Made to a consumer reporting agency under section 3(d) of the Federal Claims Collection Act of 1966 (originally codified at 31 USC 952(d); recodified at 31 USC 3711(f)). The name, address, SSN, and other information identifying the individual; amount, sta- tus, and history of the claim; and the agency or program under which the case arose may be disclosed in this instance. 3–2. Blanket routine use disclosures In addition to routine uses in each system notice, the following blanket routine uses apply to all records from systems of records maintained by the Army except those which state otherwise. a. Law enforcement. Relevant records maintained to carry out Army functions may be referred to Federal, State, local, or foreign law enforcement agencies if the record indicates a violation or potential violation of law. The agency to which the records are referred must be the appropriate agency charged with the responsi- bility of investigating or prosecuting the violation or charged with enforcing or implementing the statute, rule, regulation, or order issued pursuant thereto. b. Disclosure when requesting information. A record may be disclosed to a Federal, State, or local agency that maintains civil, criminal, or other relevant enforcement information, or other perti- nent information, such as licensing, to obtain data relevant to an Army decision concerning— (1) Hiring or retention of an employee. (2) Issuance of a security clearance. (3) Letting of a contract. (4) Issuance of a license, grant, or other benefit. c. Disclosure of requested information. If the information is rele- vant and necessary to the requesting agency’s decision, a record may be disclosed to a Federal agency in response to its request in connection with— (1) Hiring or retention of an employee. (2) Issuance of a security clearance. (3) Reporting of an investigation of an employee. (4) Letting of a contract. (5) Issuance of a license, grant, or other benefit. d. Congressional inquiries. Disclosure from a system of records maintained by the Army may be made to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual. e. Private relief legislation. Relevant information in all systems of records of DOD published on or before August 22, 1975, will be disclosed to OMB for review of private relief legislation, as set forth in OMB Circular A–19. Information may be disclosed at any stage of the legislative coordination and clearance process. f. Disclosures required by international agreements. A record m a y b e d i s c l o s e d t o f o r e i g n l a w e n f o r c e m e n t , s e c u r i t y , i n v e s - tigatory, or administrative authorities. These disclosures are in com- pliance with requirements imposed by, or to claim rights conferred in, international agreements and arrangements including those regu- lating the stationing and status in foreign countries of DOD military and civilian personnel. g. Disclosure to State and local taxing authorities. Any informa- tion normally contained in Internal Revenue Service Form W–2, which is maintained in a record from a system of records of the Army, may be disclosed to State and local taxing authorities with which the Secretary of the Treasury has entered into agreements under 5 USC 5516, 5517, and 5520; only to those State and local taxing authorities for which an employee or military member is or was subject to tax regardless of whether tax is or was withheld.This routine use complies with Treasury Fiscal Requirements Manual, sec 5060. h. Disclosure to OPM. A record may be disclosed to OPM con- cerning information on pay and leave, benefits, retirement deduc- tion, and any other information necessary for OPM to carry out its legally authorized Government-wide personnel management func- tions and studies. i. Disclosure to National Archives and Records Service (NARS), GSA. A record may be disclosed to NARS, GSA, in records man- agement inspections conducted under 44 USC, 2904 and 2906. j. Disclosure to the Department of Justice for litigation. A record may be disclosed as a routine use to any component of the Depart- ment of Justice for the purpose of representing DOD, or any officer, employee, or member of DOD in pending or potential litigation to which the record is pertinent. 3–3. Disclosure to third parties Personal information that may be disclosed under the Freedom of Information Act is as follows: a. Military personnel. (1) Name, rank, date of rank, gross salary, present and past duty assignments, future assignments that are officially established, office or duty telephone number, source of commission, promotion se- quence number, awards and decorations, military and civilian educa- tional level, and duty status at any given time. (2) Lists or compilations of unit or office addresses or telephone numbers of military personnel are not released where the requester’s primary purpose in seeking the information is to use it for commer- cial solicitation. b. Civilian employees. (1) Name and present and past position titles, grades, salaries, and duty stations that include office or duty telephone numbers. (2) Disclosure of information in (1) above will not be made when the request is a list of present or past position titles, grades, salaries, and/or duty stations and— (a) Is selected to constitute a clearly unwarranted invasion of personal privacy. For example, the nature of the request calls for a response that would reveal more about the employee than the items in (1) above. (b) Would be protected from mandatory disclosure under an ex- emption of the Freedom of Information Act. (3) In addition to the information in (1) above, the following information may be made available to a prospective employer of a current or former Army employee: (a) Tenure of employment. (b) Civil service status. (c) Length of service in the Army and the Government. (d) Date and reason for separation shown on SF 50 (Notification of Personnel Action). 3–4. Accounting of disclosure a. An accounting of disclosure is required whenever a record from an Army system of records is disclosed to someone other than the data subject, except when that record— (1) Is disclosed to officials within DOD who have a need for it to perform official business. 4 AR 340–21 • 5 July 1985 Case 1:15-cv-00031-CKK Document 20-7 Filed 06/19/17 Page 9 of 27 (2) Is required to be disclosed under the Freedom of Information Act. b . S i n c e t h e c h a r a c t e r i s t i c s o f r e c o r d s m a i n t a i n e d w i t h i n t h e Army vary widely, no uniform method for keeping the disclosure of accounting is prescribed. For most paper records, the accounting may be affixed to the record being disclosed. It must be a written record and consist of— (1) Description of the record disclosed. (2) Name, position title, and address of the person to whom disclosure was made. (3) Date, method, and purpose of the disclosure. (4) Name and position title of the person making the disclosure. c . P u r p o s e o f t h e a c c o u n t i n g o f d i s c l o s u r e i s t o e n a b l e a n individual— (1) To ascertain those persons or agencies that have received information about the individual. (2) To provide a basis for informing recipients of subsequent amendments or statements of dispute concerning the record. d. When an individual requests such an accounting, the system manager or designee will respond within 10 workdays and inform the individual of the items inbabove. e. The only bases for not furnishing the data subject an account- ing of disclosures are if disclosure was made for law enforcement purposes under 5 USC 552a(b)(7), or the disclosure was from a system of records for which an exemption from 5 USC 552a(c)(3) has been claimed. (See table 5–1.) Chapter 4 Recordkeeping Requirements Under the Privacy Act 4–1. Systems of records a. Notices of all Army systems of records are required by the Privacy Act to be published in theF deral Register. An example is at figure 4–1. When new systems are established, or major changes occur in existing systems, which meet the criteria of OMB guide- lines summarized in paragraph 4–6b, advance notice must be fur- n i s h e d O M B a n d t h e C o n g r e s s b e f o r e t h e s y s t e m o r p r o p o s e d changes become operational. b. Uncirculated personal notes, papers, and records that are re- tained at the author’s discretion and over which the Army exercises no control or dominion are not considered Army records within the meaning of the Privacy Act. Individuals who maintain such notes must restrict their use to that of memory aids. Any disclosure from personal notes, either intentional or through carelessness, removes the information from the category of memory aids and the notes then become subject to provisions of the Act. c. Only personal information that is necessary to accomplish a purpose or mission of the Army, required by Federal statute or Executive Order of the President, will be maintained in Army sys- tems of records. Statutory authority or regulatory authority to estab- lish and maintain a system of records does not convey unlimited authority to collect and maintain all information that may be useful or convenient. The authority is limited to relevant and necessary information. d. Except for statistical records, most records could be used to determine an individual’s rights, benefits, or privileges. To ensure accuracy, personal information to be included in a system of records will be collected directly from the individual if possible. Collection of information from third parties will be limited to verifying infor- mation for security or employment suitability or obtaining perform- ance data or opinion-type evaluations. 4–2. Privacy Act Statement a. Whenever personal information is requested from an individ- ual that will become part of a system of records retrieved by refer- e n c e t o t h e i n d i v i d u a l ’ s n a m e o r o t h e r p e r s o n a l i d e n t i f i e r , t h e individual will be furnished a Privacy Act Statement. This State- ment is to ensure that individuals know why this information is being collected so they can make an informed decision on whether or not to furnish it. As a minimum, the Privacy Act Statement will include the following information in language that is explicit and easily understood and not so lengthy as to deter an individual from reading it: (1) Cite the specific statute or Executive order, including a brief title or subject, that authorizes the Army to collect the personal information requested. Inform the individual whether or not a re- sponse is mandatory or voluntary and any possible consequences of failing to respond. (2) Cite the principal purposes for which the information will be used. (3) Cite the probable routine uses for which the information may be used. This may be a summary of information published in the applicable system notice. b. The above information normally will be printed on the form used to record the information. In certain instances, it may be printed in a public notice in a conspicuous location such as at check-cashing facilities; however, if the individual requests a copy of its contents, it must be provided. 4–3. Social Security Number Executive Order 9397 authorizes DA to use the SSN as a system to identify Army members and employees. Once a military member or civilian employee of DA has disclosed his or her SSN for purposes of establishing personnel, financial, or medical records upon entry into Army service or employment, the SSN becomes his or her identification number. No other use of this number is authorized. Therefore, whether the SSN alone is requested from the individual, or the SSN together with other personal information, the Privacy Act Statement must make clear that disclosure of the number is voluntary. If the individual refuses to disclose the SSN, the Army activity must be prepared to identify the individual by alternate means. 4–4. Safeguarding personal information a. The Privacy Act requires establishment of proper administra- tive, technical, and physical safeguards to— (1) Ensure the security and confidentiality of records. (2) Protect against any threats or hazards to the subject’s security or integrity that could result in substantial harm, embarrassment, inconvenience, or unfairness. b. At each location, and for each system of records, an official will be designated to safeguard the information in that system. Consideration must be given to such items as sensitivity of the data need for accuracy and reliability in operations, general security of the area, and cost of safeguards. (See AR 380–380.) c. Ordinarily, personal information must be afforded at least the protection required for information designated “For Official Use Only.”(See AR340–17, chap IV.) Privacy Act data will be afforded reasonable safeguards to prevent inadvertent or unauthorized disclo- sure of record content during processing, storage, transmission, and disposal. 4–5. First amendment rights No record describing how an individual exercises rights guaranteed by the first amendment will be kept unless expressly authorized by Federal statute, by the subject individual, or unless pertinent to and within the scope of an authorized law enforcement activity. Exercise of these rights includes, but is not limited to, religious and political beliefs, freedom of speech and the press, and the right of assembly and to petition. 4–6. System notice a. The Army publishes in the Federal Registera notice describing e a c h s y s t e m o f r e c o r d s f o r w h i c h i t i s r e s p o n s i b l e . A n o t i c e contains— (1) Name and locations of the records. (2) Categories of individuals on whom records are maintained. (3) Categories of records in the system. 5AR 340–21 • 5 July 1985 Case 1:15-cv-00031-CKK Document 20-7 Filed 06/19/17 Page 10 of 27 ( 4 ) A u t h o r i t y ( s t a t u t o r y o r e x e c u t i v e o r d e r ) a u t h o r i z i n g t h e system. (5) Purpose of the system. (6) Routine uses of the records, including categories of users and purposes of such uses. (7) Policies and practices for storing, retrieving, accessing, retain- ing, and disposing of the records. (8) Position title and business address of the responsible official. (9) Procedures an individual must follow to learn if a system of records contains a record about the individual. (10) Procedures an individual must follow to gain access to a record about that individual in a system of records, to contest con- tents, and to appeal initial determinations. (11) Categories of sources of records in the system. (12) Exemptions from the Privacy Act claimed for the system. (See table 5–1.) b. New, or altered systems that meet the requirements below require a report to the Congress and OMB. A new system is one for which no system notice is published in theFederal Register. An altered system is one that— (1) Increases or changes the number or types of individuals on whom records are kept so that it significantly alters the character and purpose of the system of records. (2) Expands the types or categories of information maintained. (3) Alters the manner in which records are organized, indexed, or retrieved to change the nature or scope of those records. (4) Alters the purposes for which the information is used, or adds a routine use that is not compatible with the purpose for which the system is maintained. (5) Changes the equipment configuration on which the system is operated, to create potential for either greater or easier access. c . R e p o r t o f a n e w o r a l t e r e d s y s t e m m u s t b e s e n t t o HQDA(DAAG–AMR–S) at least 120 days before the system or changes become operational and include a narrative statement and supporting documentation. The narrative statement must contain the following items: (1) System identification and name. (2) Responsible official. (3) Purpose of the system, or nature of changes proposed (if an altered system). (4) Authority for the system. (5) Number (or estimate) of individuals on whom records will be kept. (6) Information on First Amendment activities. (7) Measures to assure information accuracy. (8) Other measures to assure system security. (Automated sys- tems require risk assessment under AR 380–380.) (9) Relations to State/local government activities. (See fig 4–2.) d. Supporting documentation consists of system notice for the proposed new or altered system and proposed exemption rule, if applicable. 4–7. Reporting requirements a. The annual report required by the Privacy Act, as amended by Public Law 97–375, 96 Statute 1821, focuses on two primary areas: (1) Information describing the exercise of individuals’ rights of access to and amendment of records. (2) Changes or additions to systems of records. b. Specific reporting requirements will be disseminated each year by HQDA(DAAG–AMR–S) in a letter to reporting elements. 4–8. Rules of conduct Systems managers will ensure that all personnel, including Govern- ment contractors or their employees who are involved in the design, development, operation, maintenance, or control of any system of records are informed of all requirements to protect the privacy of individuals who are subjects of the records. 4–9. Judicial sanctions The Privacy Act has both civil remedies and criminal penalties for violations of its provisions. a. Civil remedies An individual may file a civil suit against the Army if Army personnel fail to comply with the Privacy Act. b. Criminal penalties A member or employee of the Army may be found guilty of a misdemeanor and fined not more than $5,000 for willfully— (1) Maintaining a system of records without first meeting the public noticerequirements of publishing in the F deral Register. (2) Disclosing individually identifiable personal information to one not entitled to it. (3) Asking for or getting another’s record under false pretenses. Chapter 5 Exemptions 5–1. Exempting systems of records The Secretary of the Army may exempt Army systems of records from certain requirements of the Privacy Act. The two kinds of exemptions are general and specific. The general exemption relieves systems of records from most requirements of the Act; the specific exemptions from only a few. (See table 5–1.) 5–2. General exemptions Only Army activities actually engaged in the enforcement of crimi- nal laws as their primary function may claim the general exemption. To qualify for this exemption, a system must consist of— a. Information compiled to identify individual criminals and al- leged criminals, which consists only of identifying data and arrest records; type and disposition of charges; sentencing, confinement, and release records; and parole and probation status. b. Information compiled for the purpose of a criminal investiga- tion, including efforts to prevent, reduce, or control crime, and reports of informants and investigators associated with an identifia- ble individual. c. Reports identifiable to an individual, compiled at any stage of the process of enforcement of the criminal laws, from arrest or indictment through release from supervision. 5–3. Specific exemptions The Secretary of the Army has exempted from certain parts of the Privacy Act all properly classified information and a few systems of records that have the following kinds of information. The Privacy Act exemption cited appears in parentheses after each category. a. Classified information in every Army system of records. This exemption is not limited to the systems listed in paragraph 5–5. Before denying an individual access to classified information, the Access and Amendment Refusal Authority must make sure that it was properly classified under the standards of Executive Order 11652, 12065, or 12356 and that it must remain so in the interest of national defense or foreign policy. (5 USC 552a(k)(1)) b. Investigatory data for law enforcement purposes (other than that claimed under the general exemption). However, if this infor- mation has been used to deny someone a right, privilege, or benefit to which the individual is entitled by Federal law, it must be re- leased, unless doing so would reveal the identity of a confidential source. (5 USC 552a(k)(2)) c. Records maintained in connection with providing protective services to the President of the United States or other individuals protected pursuant to 18 USC 3056. (5 USC 552a(k)(3)) d. Statistical data required by statute and used only for statistical purposes and not to make decisions on the rights, benefits, or en- titlements of individuals, except for census records that may be disclosed under 13 USC 8. (5 USC 552a(k)(4)) e. Data compiled to determine suitability, eligibility, or qualifica- tions for Federal service, Federal contracts, or access to classified information. This information may be withheld only to the extent 6 AR 340–21 • 5 July 1985 Case 1:15-cv-00031-CKK Document 20-7 Filed 06/19/17 Page 11 of 27 that disclosure would reveal the identity of a confidential source. (5 USC 552a(k)(5)) f. Testing material used to determine if a person is qualified for appointment or promotion in the Federal service. This information may be withheld only if disclosure would compromise the objectiv- ity or fairness of the examination process. (5 USC 552a(k)(6)) g. Information to determine promotion potential in the Armed Forces. Information may be withheld, but only to the extent that disclosure would reveal the identity of a confidential source.(5 USC 552a(k)(7)) 5–4. Procedures a. When a system manager seeks an exemption for a system of r e c o r d s , t h e f o l l o w i n g i n f o r m a t i o n w i l l b e f u r n i s h e d t o HQDA(DAAG–AMR–S), Alexandria, VA 22331–0301: (1) Applicable system notice. (2) Exemptions sought. (3) Justification. b. After appropriate staffing and approval by the Secretary of the Army, a proposed rule will be published in the F deral Register, followed by a final rule 30 days later. No exemption may be in- voked until these steps have been completed. 5–5. Exempt Army records The following records are exempt from certain parts of the Privacy Act: a. ID–AO224.04DAIG. (1) Sysname. Inspector General Investigative Files. (2) Exemption. All portions of this system of records that fall within 5 USC 552a(k)(2) or (5) are exempt from the following provisions of 5 USC 552a: (c)(3), (d), (e)(4)(G), (e)(4)(H), and(f). (3) Authority. 5 USC 552a(k)(2) and (5). (4) Reasons. Selected portions and/or records in this system are compiled for the purposes of enforcing civil, criminal, or military law, including Executive orders or regulations validly adopted pur- suant to law. Granting individuals access to information collected a n d m a i n t a i n e d i n t h e s e f i l e s c o u l d i n t e r f e r e w i t h e n f o r c e m e n t proceedings; deprive a person of a right to fair trial or an impartial adjudication or be prejudicial to the conduct of administrative action affecting rights, benefits, or privileges of individuals; constitute an unwarranted invasion of personal privacy; disclose the identity of a confidential source; disclose nonroutine investigative techniques and procedures, or endanger the life or physical safety of law enforce- ment personnel; violate statutes which authorize or require certain information to be withheld from the public such as: trade or finan- cial information, technical data, National Security Agency informa- tion, or information relating to inventions.Exemption from access necessarily includes exemption from the other requirements. b. ID–AO224.05DAIG. (1) Sysname. Inspector General Action Request/Complaint Files. (2) Exemption. All portions of this system of records which fall within 5 USC 552a(k)(2) or (5) are exempt from the following provisions of 5 USC 552a: (c)(3), (d), (e)(4)(G), (e)(4)(H), and(f). (3) Authority. 5 USC 552a(k)(2) and (5). (4) Reasons. Selected portions and/or records in this system are compiled for the purposes of enforcing civil, criminal, or military law, including executive orders or regulations validly adopted pur- suant to law. Granting individuals access to information collected a n d m a i n t a i n e d i n t h e s e f i l e s c o u l d i n t e r f e r e w i t h e n f o r c e m e n t proceedings; deprive a person of a right to fair trial or an impartial adjudication or be prejudicial to the conduct of administrative action affecting rights, benefits, or privileges of individuals; constitute an unwarranted invasion of personal privacy; disclose the identity of a confidential source; disclose nonroutine investigative techniques and procedures, or endanger the life or physical safety of law enforce- ment personnel; violate statutes that authorize or require certain information to be withheld from the public such as trade or financial information, technical data, National Security Agency information, or information relating to inventions.Exemption from access neces- sarily includes exemption from the other requirements. c. ID–AO239.01DAAG. (1) Sysname. Request for Information Files. (2) Exemption. Portions of this system of records that fall within 5 USC 552a(j)(2) are exempt from the following provisions of 5 U S C 5 5 2 a : ( c ) ( 3 ) , ( c ) ( 4 ) , ( d ) , ( e ) ( 1 ) , ( e ) ( 2 ) , ( e ) ( 3 ) , ( e ) ( 4 ) ( G ) , (e)(4)(H), (e)(5), (e)(8), (f), and (g). Portions of the system main- tained by offices of Initial Denying Authorities that do not have a l a w e n f o r c e m e n t m i s s i o n a n d t h a t f a l l w i t h i n 5 U S C 552a(k)(1)through (k)(7) are exempt from the following provisions of 5 USC 552a: (c)(3), (d), (e)(1),(e)(4)(G), (e)(4)(H), and (f). (3) Authority. 5 USC 552a(j)(2) and (k)(1) through (k)(7). (4) Reasons. This system of records is maintained solely for the p u r p o s e o f a d m i n i s t e r i n g t h e F r e e d o m o f I n f o r m a t i o n A c t a n d processing routine requests for information. To ensure an accurate and complete file on each case, it is sometimes necessary to include copies of records that have been the subject of a Freedom of Infor- mation Act request. This situation applies principally to cases in which an individual has been denied access and/or amendment of personal records under an exemption authorized by 5 USC 552. The same justification for the original denial would apply to a denial of access to copies maintained in the Freedom of Information Act file. It should be emphasized that the majority of records in this system are available on request to the individual and that all records are used solely to process requests. This file is not used to make any o t h e r d e t e r m i n a t i o n s o n t h e r i g h t s , b e n e f i t s , o r p r i v i l e g e s o f individuals. d. ID–AO240.01DAAG. (1) Sysname. Privacy Act Case Files. (2) Exemptions. Portions of this system that fall within 5 USC 552a(j)(2) are exempt from the following provisions of 5 USC 552a: (c)(3), (c)(4), (d), (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H),(e)(5), (e)(8), (f), and (g). Portions of this system maintained by the DA Privacy Review Board and by those Access and Amendment Re- fusal Authorities that do not have a law enforcement mission and that fall within 5 USC 552a(k)(1) through (k)(7) are exempt from t h e f o l l o w i n g p r o v i s i o n s o f 5 U S C 5 5 2 a : ( c ) ( 3 ) , ( d ) , ( e ) ( 1 ) , (e)(4)(G), (e)(4)(H), and (f). (3) Authority. 5 USC 552a(j)(2) and (k)(1) through (k)(7). (4) Reasons. This system of records is maintained solely for the purpose of administering the Privacy Act of 1974. To ensure an accurate and complete file on each case, it is sometimes necessary to include copies of records which have been the subject of a Privacy Act request. This situation applies principally to cases in which an individual has been denied access and/or amendment of personnel records under an exemption authorized by 5 USC 552a. The same justification for the original denial would apply to a denial of access and/or amendment of copies maintained in the Privacy Act Case File. It should be emphasized that the majority of records in this system are available on request to the individual and that all records are used solely to administer Privacy Act requests. This file is not used to make any other determinations on the rights, benefits, or privileges of individuals. e. ID–AO241.01HQDA. (1) Sysname. HQDA Correspondence and Control/Central File System. (2) Exemption. Portions of this system of records that fall within 5 USC 552a(k)(1) through (k)(7)are exempt from the following provisions of 5 USC 552a: (c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), and (f). (3) Authority. 5 USC 552a(k)(1) through (k)(7). (4) Reasons. Documents are generated by other elements of the Army or are received from other agencies and individuals. Because of the broad scope of the contents of this system and since the introduction of documents is largely unregulatable, specific portions or documents that may require an exemption cannot be predeter- mined. Therefore, and to the extent that such material is received and maintained, selected individual documents may be exempted from disclosure under any of the provisions of 5 USC 552a(k)(1) through (k)(7). f. ID–AO401.08DAJA. (1) Sysname. Prosecutorial Files. 7AR 340–21 • 5 July 1985 Case 1:15-cv-00031-CKK Document 20-7 Filed 06/19/17 Page 12 of 27 (2) Exemption. Portions of this system of records that fall within 5 USC 552a(j)(2) are exempt from the following provisions of 5 USC 552a: (c)(3), (e)(4), (d), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(8), (f), and (g). (3) Authority. 5 USC 552a(j)(2). (4) Reasons. (a) From subsection (c)(4), (d), (e)(4)(G), (e)(4)(H), (f), and (g) because granting individuals access to information collected and maintained by this component relating to the enforcement of laws could interfere with proper investigations and the orderly adminis- tration of justice. Disclosure of this information could result in the concealment, alteration or destruction of evidence; the identification of offenders or alleged offenders; nature and disposition of char- ges;and jeopardize the safety and well-being of informants, wit- nesses and their families, and law enforcement personnel and their families. Disclosure of this information could also reveal and render ineffectual investigative techniques, sources and methods used by this component, and could result in the invasion of the privacy of individuals only incidentally related to an investigation.Exemption f r o m a c c e s s n e c e s s a r i l y i n c l u d e s e x e m p t i o n f r o m o t h e r requirements. (b) From subsection (c)(3) because the release of accounting of disclosure would place the subject of an investigation on notice that he or she is under investigation and provide him or her with signifi- cant information concerning the nature of the investigation, thus resulting in a serious impediment to law enforcement investigations. (c) From subsection (e)(2) because in a criminal or other law enforcement investigation, the requirement that information be col- lected to the greatest extent practicable from the subject individual would alert the subject as to the nature or existence of the investiga- tion and thereby present a serious impediment to effective law enforcement. (d) From subsection (e)(3) because compliance would constitute a serious impediment to law enforcement in that it could compro- mise the existence of a confidential investigation or reveal the iden- tity of witnesses or confidential informants. (e) From subsection (e)(8) because compliance with this provi- sion would provide an impediment to law enforcement by interfer- ing with the ability to issue warrants or subpoenas and by revealing investigative techniques, procedures, or evidence. g. ID–AO402.01aDAJA. (1) Sysname. General Legal Files. (2) Exemption. Those portions of this system of records falling within 5 USC 552a(k)(1), (2), (5),(6), and (7) may be exempt from the following provisions of 5 USC 552a: (c)(3), (d), (e)(1), and(f). (3) Authority. 5 USC 552a(k)(1), (2), (5), (6), and (7). (4) Reasons. Various records from other exempted systems of records are sometimes submitted for legal review or other action. A copy of such records may be permanently incorporated into the General Legal Files system of records as evidence of the facts upon which a legal opinion or review was based. Exemption of the Gen- eral Legal Files system of records is necessary in order to ensure that such records continue to receive the same protection afforded them by exemptions granted to the system of records in which they were originally filed h. ID–AO404.02DAJA. (1) Sysname. Courts-Martial Files. (2) Exemption. All portions of this system that fall under 5 USC 552a(j)(2) are exempt from the following provisions of 5 USC 552a: (d)(2), (d)(3), (d)(4), (e)(2), (e)(3), (e)(4)(H), and(g). (3) Authority. 5 USC 552a(j)(2). (4) Reasons. Courts-martial files are exempt because a large body of existing criminal law governs trials by court-martial to the exclu- sion of the Privacy Act. The Congress recognized the judicial nature of court-martial proceedings and exempted them from the Adminis- trative Procedures Act by specifically excluding them from the defi- n i t i o n o f t h e t e r m “ a g e n c y ” ( 5 U S C 5 5 1 ( 1 ) ( f ) ) . S u b s t a n t i v e a n d procedural law applicable in trials by court-martial is set forth in the Constitution, the Uniform Code of Military Justice (UCMJ) Manual for Courts-Martial, 1984, and the decisions of the U.S. Court of Military Appeals and Courts of Military Review. The right of the accused not to be compelled to be a witness against himself or herself and the need to obtain accurate and reliable information with regard to criminal misconduct necessitate the collection of informa- tion from sources other than the individual accused. (a) Advising the accused or any other witness of the authority for collection of the information, the purpose for which it is to be used, whether disclosure is voluntary or mandatory, and the effects on the individual of not providing the information would unnecessarily disrupt and confuse court-martial proceedings. It is the responsibility of the investigating officer or military judge to determine what information will be considered as evidence. In making the determi- nation, the individual’s rights are weighed against the accused’s right to a fair trial. The determination is final for the moment and the witness’ failure to comply with the decision would delay the proceeding and may result in prosecution of the witness for wrong- ful refusal to testify. (b) In a trial by court-martial, the accused has a unique opportu- nity to assure that the record is accurate, relevant, timely, and complete as it is made. He or she has the right to be present at the trial, to be represented by counsel at general and special courts- martial, and to consult with counsel in summary courts-martial, to review and challenge all information before it is introduced into evidence, to cross-examine all witnesses against him or her, to present evidence in his or her behalf, and in general and special courts-martial, to review and comment upon the record of trial before it is authenticated. Procedures for correction of the record are controlled by the Manual for Courts-Martial, 1984. After completion of appellate review, the record may not be amended. The Uniform Code of Military Justice (10 USC 876) provides that the proceed- i n g s , f i n d i n g s , a n d s e n t e n c e s o f c o u r t s - m a r t i a l a s a p p r o v e d , r e - viewed, or affirmed are final and conclusive and binding upon all departments, courts, agencies, and officers of the United States sub- ject only to action upon a petition for new trial, action by the Secretary concerned, and the authority of the President. i. ID–AO501.08eUSACIDC. (1) Sysname. Informant Register. (2) Exemption. All portions of this system of records that fall within 5 USC 552a(j)(2) are exempt from the following provisions of 5 USC 552a: (c)(3), (c)(4), (d), (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(5), (e)(8), (f), and (g). (3) Authority. 5 USC 552a(j)(2). (4) Reasons. (a) From subsection (c)(3) because release of accounting of dis- closures would provide the informant with significant information concerning the nature of a particular investigation, the internal meth- ods and techniques involved in criminal investigation, and the inves- tigative agencies(State, local or foreign) involved in a particular case resulting in a serious compromise of the criminal law enforcement processes. (b) From subsection (c)(4), (d), (e)(4)(G), (e)(4)(H), (f), and (g) because disclosure of portions of the information in this system of records would seriously impair the prudent andefficient handling of t h e s e u n i q u e l y f u n c t i o n i n g i n d i v i d u a l s ; h a m p e r t h e i n c l u s i o n o f comments and evaluations concerning the performance qualification, character, identity, and propensities of the informant; and prema- turely compromise criminal investigations which either concern the conduct of the informant, or investigations wherein he or she is integrally or only peripherally involved.Additionally, the exemption from access necessarily includes exemption from amendment, cer- tain agency requirements relating to access and amendment of re- cords and civil liability predicated upon agency compliance with specific provisions of the Privacy Act. (c) From subsections (d), (e)(4)(G), (e)(4)(H), and (f) are also necessary to protect the security of information properly classified in the interest of national defense and foreign policy. (d) From subsection (e)(1) because the nature of the criminal investigative function creates unique problems in prescribing what information concerning informants is relevant or necessary. Due to close liaison and existing relationships with other Federal, State, 8 AR 340–21 • 5 July 1985 Case 1:15-cv-00031-CKK Document 20-7 Filed 06/19/17 Page 13 of 27 local, and foreign law enforcement agencies, information about in- formants may be received, which may relate to a case then under the investigative jurisdiction of another Government agency; but it is necessary to maintain this information in order to provide leads for appropriate law enforcement purposes and to establish patterns of activity that may relate to the jurisdiction of both the USACIDC and other agencies. Additionally, the failure to maintain all known information about informants could affect the effective utilization of the individual and substantially increase the operational hazards incumbent in the employment of an informant in very compromising and sensitive situations. (e) From subsection (e)(2) because collecting information from the informant would potentially thwart both the criminal investiga- tive process and the required management control over these indi- viduals by appraising the informant of investigations or management actions concerning his or her involvement in criminal activity or with USACIDC personnel. (f) From subsection (e)(3) because supplying an informant with a form containing the information specified could result in the com- promise of an investigation, tend to inhibit the cooperation of the informant, and render ineffectual investigative techniques and meth- ods utilized by USACIDC in the performance of its criminal law enforcement duties. (g) From subsection (e)(5) because this requirement would un- duly hamper the criminal investigative process due to type of re- cords maintained and necessity for rapid information retrieval and dissemination. Also, in the collection of information about inform- ants, it is impossible to determine what information is then accurate, relevant, timely, and complete. With the passage of time, seemingly irrelevant or untimely information may acquire new significance as further investigation or contact brings new details to light. In the criminal investigative process, accuracy and relevance of informa- tion concerning informants can only be determined in a court of law. The restrictions imposed by subsection (e)(5) would restrict the ability of trained investigators to exercise their judgment in report- ing information relating to informant’s actions and would impede the development of criminal intelligence necessary for effective law enforcement. (h) From subsection (e)(8) because the notice requirements of this provision could present a serious impediment to criminal law enforcement by revealing investigative techniques, procedures, and the existence of confidential investigations. j. ID–AO501.10DAMI. (1) Sysname. Counterintelligence Research File System(CIRFS). (2) Exemption. All portions of this system of records which fall within 5 USC 552a(k)(1), (2), or(5) are exempt from the following provisions of 5 USC 552a: (c)(3), (d), (e)(1), (e)(4)(G),(e)(4)(H), (e)(4)(I), and (f). (3) Authority. 5 USC 552a(k)(1), (2), and (5). (4) Reasons. Information in the files is obtained from overt and sensitive intelligence sources, and contains information classified in the interest of national security under the provisions of EO 12356 and predecessor orders. The system contains investigatory material compiled for law enforcement purposes as well as for determining the suitability for employment or military service and thus will also require the protection of confidential sources. Information may re- flect the efforts of hostile intelligence services in the collection effort against the U.S. Army. Additionally, the following factors are at issue in disclosure of data from this system of records: release of exempted information would endanger the safety of sources in- volved in intelligence programs; release would invade the privacy of those individuals involved in intelligence programs; release would compromise and thus negate specialized techniques used to support intelligence programs; and release would interfere with and negate the orderly conduct of intelligence operations. Exemption from the remaining provisions is predicated upon the exemption from disclo- s u r e o r u p o n t h e n e e d f o r c o n d u c t i n g c o m p l e t e a n d p r o p e r investigations. k. ID–AO502.03DAMI. (1) Sysname. Intelligence Collection Files. (2) Exemption. All portions of this system of records that fall within 5 USC 552a(k)(1), (2) or (5)are exempt from the following provisions of 5 USC 552a; (c)(3), (d), (e)(4)(G), (e)(4)(H), (e)(4)(I), and (f). (3) Authority. 5 USC 552a(k)(1), (2), and (5). (4) Reasons. Executive Order 12356 and predecessor orders pro- vide for the protection of some official information and material which, because it bears directly on the effectiveness of our national defense and the conduct of our foreign relations, must be subject to some constraints for the security of our Nation and the safety of our people and our Allies. To protect against actions hostile to the United States, of both overt and covert nature, it is essential that such official information and material be given only limited dissem- ination. This exemption is also essential to protect the privacy and personal safety of the sources involved. It is vital to the conduct of secure operations under Director, Central Intelligence Directives 4 and 5 and Defense Intelligence Agency Manual 58–11. Additional- ly, the disclosure of data within this system of records is exempt to the extent the disclosure of such data would reveal the identity of sources who furnished information to the Government under an express or implied promise that source identities would be held in confidence. These assurances are essential to the candid disclosure of information that is essential to the investigative purpose. Confi- dence in the integrity of government assurances must be maintained or the investigative process will be severely damaged. Exemption from the other requirements is premised on and follows from the rationale that requires exemption from access. l. ID–AO502.03bDAMI. (1) Sysname. Technical Surveillance Index. (2) Exemption. All portions of this system of records that fall within 5 USC 552a(k)(1), (2), or (5)are exempt from the following provisions of 5 USC 552a: (c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), and (e)(4)(I). (3) Authority. 5 USC 552a(k)(1), (2), or (5). (4) Reasons. The material contained in this record system con- tains data concerning sensitive sources and operational methods whose dissemination must be strictly controlled because of national security intelligence considerations. Disclosure of documents or the disclosure accounting record may compromise the effectiveness of the operation, and negate specialized techniques used to support intelligence or criminal investigative programs, or otherwise inter- fere with the orderly conduct of intelligence operations or criminal investigations. m. ID–AO502.10aDAMI. (1) Sysname. USAINTA Investigative File System. (2) Exemption. All portions of this system of records that fall within 5 USC 552a(k)(1), (2), or (5)are exempt from the following provisions of 5 USC 552a: (d), (e)(4)(G), (e)(4)(H), and(e)(4)(I). (3) Authority. 5 USC 552a(k)(1), (2), and (5). ( 4 ) R e a s o n s . E x e c u t i v e O r d e r 1 2 3 5 6 a n d p r e d e c e s s o r o r d e r s provides for the protection of some official information and material which, because it bears directly on the effectiveness of our national defense and the conduct of our foreign relations, must be subject to some constraints for the security of our Nation and the safety of our people and our Allies. To protect against actions hostile to the United States, of both overt and covert nature, it is essential that such official information and material be given only limited dissem- ination. Additionally, in the conduct of such operations which pro- duce these records, at times the methods and arrangements with our Allies pertinent to the conduct of intelligence operations are relevant to this issue of national security interests and must be safeguarded. Further, the disclosure of unclassified data within this record system is exempt only to the extent that the disclosure of such material would reveal the identity of a source who furnished information to the Government under an express or implied promise that the iden- tity of the source would be held in confidence. These assurances are essential to the candid disclosure of information that is essential to the purposes of these investigations. Confidence in the integrity of the Government’s assurances must be maintained or the investiga- tive process will be severely damaged. Exemption from the other 9AR 340–21 • 5 July 1985 Case 1:15-cv-00031-CKK Document 20-7 Filed 06/19/17 Page 14 of 27 requirements is premised on and follows from the rationale that requires exemption from access. n. ID–AO503.03aDAMI. (1) Sysname. Department of the Army Operational Support Ac- tivities Files. (2) Exemption. All portions of this system of records that fall within 5 USC 552a(k)(1), (2), or (5)are exempt from the following provisions of 5 USC 552a: (c)(3), (d), (e)(4)(G), (e)(4)(H), (e)(4)(I), and (f). (3) Authority. 5 USC 552a(k)(1), (2), and (5). (4) Reasons. Executive Order 12356 and predecessor orders pro- vide for the protection of official information and material which, because it bears directly on the effectiveness of our national defense and the conduct of our foreign relations, must be limited in its accessibility. To protect against hostile actions, both overt and cov- ert, it is essential that such official information and material be given only limited dissemination. Additionally, the following factors are at issue in disclosure of data from this system of records: release of exempted information would endanger the safety of sources in- volved in intelligence programs; release would invade the privacy of those individuals involved in intelligence programs; release would compromise and thus negate specialized techniques used to support intelligence programs; and release would interfere with and negate the orderly conduct of intelligence operations. Exemption from the other provisions is premised on and follows from the rationale that exempts access to this system of records. o. ID–AO503.06aDAMI. (1) Sysname. Counterintelligence Operations File. (2) Exemption. All portions of this system of records that fall within 5 USC 552a(k)(1), (2) or (5)are exempt from provisions of 5 USC 552a: (c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I), and(f). (3) Authority. 5 USC 552a(k)(1), (2), and (5). (4) Reasons. Executive Order 12356 and predecessor orders pro- vide for the protection of official information and material which, because it bears directly on the effectiveness of our national defense and the conduct of our foreign relations, must be limited in its accessibility. To protect against hostile actions, both overt and cov- ert, it is essential that such official information and material be given only limited dissemination. Additionally, the following factors are at issue in disclosure of data from this system of records: release of exempted information would endanger the safety of sources in- volved in intelligence programs; release would invade the privacy of those individuals involved in intelligence programs; release would compromise and thus negate specialized techniques used in support of intelligence programs; and release would interfere with and ne- gate the orderly conduct of intelligence operations. Relevant to the above considerations, exemption is necessary from the requirements to provide an individual an accounting of disclosures and to inform an individual whether a record exists on him or her within this system of records, during the period in which an investigative inter- est and activity remains concerning that individual.Exemption is necessary to avoid disclosure of the existence of ongoing law en- forcement investigations and compromise of the purposes and objec- tives for such ongoing investigations.Further, the disclosure of data within this record system is exempt to the extent that the disclosure of such material would reveal the identity of a source who furnished information to the Government under an express or implied promise that the identity of the source would be held in confidence.These assurances are essential to the candid disclosure of information, which is essential to the purposes of these investigations. Confi- dence in the integrity of the Government’s assurances must be maintained or the investigative process will be severely damaged. The exemption of an individual’s right of access to records on him or her in this system of records and the reasons therefor necessitate and provide the rationale for the exemption of this system of records from the requirements of amendment and other cited provisions. Maintaining information that is strictly relevant to law enforcement purposes may result in exclusion of seemingly irrelevant data of significant value in determining the qualifications and suitability of individuals for Federal civilian employment, military service, Fed- eral contracts, or access to classified information. p. ID–AO506.01fDAMI. (1) Sysname. Personnel Security Clearance Information Files. (2) Exemption. All portions of this system which fall within 5 USC 552a(k)(1), (2), or (5) are exempt from the following provi- sions of 5 USC 552a: (d), (e)(4)(G), (e)(4)(H), (e)(4)(I), and(f). (3) Authority. 5 USC 552a(k)(1), (2), and (5). (4) Reasons. Material contained in this record system that is properly and currently classified under Executive Order 12356 and predecessor orders includes data concerning sensitive source and operational methods whose dissemination must be strictly controlled because of its relationship to national security intelligence consider- ations. Additionally, in the conduct of operations that produce these records, at times the methods and arrangements with our Allies pertinent to the conduct of intelligence operations are relevant to this issue of national security interests and must be safeguarded. Further, the disclosure of unclassified data is exempt only to the extent that the disclosure of such material would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence, or, prior to the effective date of 5 USC 552a, under an implied promise that the identity of the source would be held in confidence. These assurances are essential to the purposes of these investigations. Confidence in the integrity of the Government’s as- surance must be maintained or the investigative process will be severely damaged. Exemption from access necessarily includes ex- emption from the other requirements. q. ID–AO508.07USACIDC. (1) Sysname. Criminal Investigation Accreditation Files. (2) Exemption. All portions of this system of records that fall within 5 USC 552a(k)(2), (5), or (7)are exempt from the following provisions of 5 USC 552a: (d), (e)(1), (e)(4)(G), (e)(4)(H), and(f). (3) Authority. 5 USC 552a(k)(2), (5), and (7). (4) Reasons. (a) From subsections (d), (e)(4)(G), (e)(4)(H), and (f) because disclosure of portions of the information in this system of records w o u l d s e r i o u s l y i m p a i r t h e s e l e c t i o n a n d m a n a g e m e n t o f t h e s e u n i q u e l y f u n c t i o n i n g i n d i v i d u a l s ; h a m p e r t h e i n c l u s i o n o f c o m - ments, reports, and evaluations concerning the performance, qualifi- c a t i o n s , c h a r a c t e r , a c t i o n s , a n d p r o p e n s i t i e s o f t h e a g e n t ; a n d prematurely compromise investigations which either concern the conduct of the agent himself or herself or investigations wherein he or she is integrally or only peripherally involved. Additionally, the exemption from access necessarily includes exemptions from the amendment and the agency procedures that would otherwise be required to process these types of requests. (b) From subsection (e)(1) because the failure to maintain all known information about agents could affect the effective utilization of the individual and substantially increase the operational hazards incumbent in the employment of agents in very compromising and sensitive situations. r. ID–AO508.11aUSACIDC. (1) Sysname. Criminal Investigation and Crime Laboratory Files. (2) Exemption. All portions of this system of records that fall within 5 USC 552a(j)(2) are exempt from the following provisions of 5 USC 552a: (c)(3), (c)(4), (d), (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(5), (e)(8), (f), and (g). (3) Authority. 5 USC 552a(j)(2). (4) Reasons. (a) From subsection (c)(3) because the release of accounting of disclosures would place the subject of an investigation on notice that he or she is under investigation and provide him or her with signifi- c a n t i n f o r m a t i o n c o n c e r n i n g c o o r d i n a t e d i n v e s t i g a t i v e e f f o r t a n d t chniques and the nature of the investigation, resulting in a serious impediment to criminal law enforcement activities or the compro- mise of properly classified material. (b) From subsection (c)(4), (d), (e)(4)(G), (e)(4)(H), (f), and (g) because access might compromise ongoing investigations, reveal classified information, investigatory techniques or the identity of 10 AR 340–21 • 5 July 1985 Case 1:15-cv-00031-CKK Document 20-7 Filed 06/19/17 Page 15 of 27 confidential informants, or invade the privacy of persons who pro- vide information in connection with a particular investigation. The exemption from access necessarily includes exemption from amend- ment, certain agency requirements relating to access and amendment of records, and civil liability predicated upon agency compliance with those specific provisions of the Privacy Act. The exemption f r o m a c c e s s n e c e s s a r i l y i n c l u d e s e x e m p t i o n f r o m o t h e r requirements. (c) From subsection (e)(1) because the nature of the investigative function creates unique problems in prescribed specific perimeters in a particular case as to what information is relevant or necessary. Also, due to close liaison and working relationships with other Federal, State, local, and foreign law enforcement agencies, infor- mation may be received that may relate to a case then under the investigative jurisdiction of another Government agency, but it is necessary to maintain this information in order to provide leads for appropriate law enforcement purposes and to establish patterns of activity that may relate to the jurisdiction of both the USACIDC and other agencies. (d) From subsection (e)(2) because collecting information from the subject of criminal investigations would thwart the investigative process by placing the subject of the investigation on notice thereof. (e) From subsection (e)(3) because supplying an individual with a form containing the information specified could result in the compromise of an investigation, tend to inhibit the cooperation of the individual queried, and render ineffectual investigation tech- niques and methods utilized by the USACIDC in the performance of their criminal law enforcement duties. (f) From subsection (e)(5) because this requirement would unduly hamper the criminal investigative process due to the great volume of records maintained and the necessity for rapid information retrieval and dissemination. Also, in the collection of information for law enforcement purposes, it is impossible to determine what informa- tion is then accurate, relevant, timely, and complete. With the pas- sage of time, seemingly irrelevant or untimely information may acquire new significance as further investigation brings new details to light. In the criminal investigative process, accuracy and rele- vance of information can only be determined in a court of law. The restrictions imposed by subsection (e)(5) would restrict the ability of trained investigators to exercise their judgment in reporting on in- vestigations and impede the development of criminal intelligence necessary for effective law enforcement. (g) From subsection (e)(8) because the notice requirements of this provision could present a serious impediment to criminal law enforcement by revealing investigative techniques, procedures, and the existence of confidential investigations. s. ID–AO508.11bUSACIDC. (1) Sysname. Criminal Information Reports and Cross Index Card Files. (2) Exemption. All portions of this system of records that fall within 5 USC 552a(j)(2) are exempt from the following provisions of 5 USC 552a: (c)(3), (c)(4), (d), (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(5), (e)(8), (f), and (g). (3) Authority. 5 USCa(j)(2). (4) Reasons. (a) From subsection (c)(3) because the release of accounting of disclosures would place the subject of an investigation on notice that he or she is under investigation and provide him or her with signifi- c a n t i n f o r m a t i o n c o n c e r n i n g c o o r d i n a t e d i n v e s t i g a t i v e e f f o r t a n d techniques and the nature of the investigation, resulting in a serious impediment to criminal law enforcement activities or the compro- mise of properly classified material. (b) From subsections (c)(4), (d), (e)(4)(G), (e)(4)(H), (f), and (g) because access might compromise ongoing investigations, reveal investigatory techniques and the identity of confidential informants, and invade the privacy of persons who provide information in con- nection with a particular investigation. The exemption from access necessarily includes exemption from amendment, certain agency requirements relating to access and amendment of records, and civil liability predicated upon agency compliance with those specific pro- visions of the Privacy Act. In addition, subsections (d), (e)(4)(G), (e)(4)(H), and (f) are necessary to protect the security of information properly classified in the interest of national and foreign policy. (c) From subsection (e)(1) because the nature of the criminal investigative function creates unique problems in prescribing spe- cific perimeters in a particular case what information is relevant or necessary. Also, due to close liaison and working relationships with other Federal, State, local, and foreign law enforcement agencies, information may be received that may relate to a case then under the investigative jurisdiction of another Government agency, but it is necessary to maintain this information in order to provide leads for appropriate law enforcement purposes and to establish patterns of activity that may relate to the jurisdiction of both the USACIDC and other agencies. (d) From subsection (e)(2) because collecting information from the subject of criminal investigation would thwart the investigative process by placing the subject of the investigation on notice thereof. (e) From subsection (e)(3) because supplying an individual with a form containing the information specified could result in the compromise of an investigation, tend to inhibit the cooperation of the individuals queried, and render ineffectual investigative tech- niques and methods utilized by USACIDC in the performance of their criminal law enforcement duties. (f) From subsection (e)(5) because this requirement would unduly hamper the criminal investigative process due to the great volume of records maintained and the necessity for rapid information retrieval and dissemination. Also, in the collection of information for law enforcement purposes, it is impossible to determine what informa- tion is then accurate, relevant, timely, and complete. With the pas- sage of time, seemingly irrelevant or untimely information may acquire new significance as further investigation brings new details to light. In the criminal investigative process, accuracy and rele- vance of information can only be determined in a court of law. The restrictions imposed by subsection (e)(5) would restrict the ability of trained investigators to exercise their judgment in reporting on in- vestigations and impede the development of criminal intelligence necessary for effective law enforcement. (g) From subsection (e)(8) because the notice requirements of this provision could present a serious impediment to criminal law enforcement by revealing investigative techniques, procedures, and the existence of confidential investigations. t. ID–AO508.16DAPE (1) Sysname. Absentee Case Files. (2) Exemption. All portions of this system of records that fall within 5 USC 552a(j)(2) are exempt from the following provisions of 5 USC 552a: (c)(3), (c)(4), (d), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(8), (f), and (g). (3) Authority. 5 USC 552a(j)(2). (4) Reasons. (a) From subsection (c)(4), (d), (e)(4)(G), (e)(4)(H), (f), and (g) because granting individuals access to information collected and maintained by this component relating to the enforcement of laws could interfere with proper investigations and the orderly adminis- tration of justice. Disclosure of this information could result in the concealment, alteration, or destruction of evidence, the identification of offenders or alleged offenders, nature and disposition of charges; and jeopardize the safety and well-being of informants, witnesses and their families, and law enforcement personnel and their families. Disclosure of this information could also reveal and render ineffec- tual investigative techniques, sources and methods used by this component, and could result in the invasion of the privacy of indi- viduals only incidentally related to an investigation.Exemption from access necessarily includes exemption from the other requirements. (b) From subsection (c)(3) because the release of accounting of disclosure would place the subject of an investigation on notice that he or she is under investigation and provide him or her with signifi- cant information concerning the nature of the investigation, thus resulting in a serious impediment to law enforcement investigations. (c) From subsection (e)(2) because in a criminal or other law 11AR 340–21 • 5 July 1985 Case 1:15-cv-00031-CKK Document 20-7 Filed 06/19/17 Page 16 of 27 enforcement investigation, the requirement that information be col- lected to the greatest extent practicable from the subject individual would alert the subject as to the nature or existence of the investiga- tion and thereby present a serious impediment to effective law enforcement. (d) From subsection (e)(3) because compliance would constitute a serious impediment to law enforcement in that it could compro- mise the existence of a confidential investigation or reveal the iden- tity of witnesses or confidential informants. (e) From subsection (e)(8) because compliance with this provi- sion would provide an impediment to law enforcement by interfer- ing with the ability to issue warrants or subpoenas and by revealing investigative techniques, procedures, or evidence. u. ID–AO508.24aDAPE. (1) Sysname. Serious Incident Reporting Files. (2) Exemption. All portions of this system of records that fall within 5 USC 552a(j)(2) are exempt from the following provisions of 5 USC 552a: (c)(3), (c)(4), (d), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(8), (f), and (g). (3) Authority. 5 USC 552a(j)(2). (4) Reasons. (a) From subsections (c)(4), (d), (e)(4)(G), (e)(4)(H), (f), and (g) because granting individuals access to information collected and maintained by this component relating to the enforcement of crimi- nal laws could interfere with orderly investigations and the orderly administration of justice. Disclosure of this information could result in the concealment, alteration or destruction of evidence, the identi- fication of offenders or alleged offenders, nature and disposition of charges; and jeopardize the safety and well-being of informants, witnesses and their families, and law enforcement personnel and their families. Disclosure of this information could also reveal and r e n d e r i n e f f e c t u a l i n v e s t i g a t i v e t e c h n i q u e s , s o u r c e s a n d m e t h o d s used by this component, and could result in the invasion of the p r i v a c y o f i n d i v i d u a l s o n l y i n c i d e n t a l l y r e l a t e d t o a n i n v e s - tigation.Exemption from access necessarily includes exemption from the other requirements. (b) From subsection (c)(3) because the release of accounting of disclosure would place the subject of an investigation on notice that he or she is under investigation and provide him or her with signifi- cant information concerning the nature of the investigation thus resulting in a serious impediment to law enforcement investigations. (c) From subsection (e)(2) because in a criminal or other law enforcement investigation, the requirement that information be col- lected to the greatest extent practicable from the subject individual would alert the subject as to the nature or existence of the investiga- tion and thereby present a serious impediment to effective law enforcement. (d) From subsection (e)(3) because compliance would constitute a serious impediment to law enforcement in that it could compro- mise the existence of a confidential investigation or reveal the iden- tity of witnesses or confidential informants. (e) From subsection (e)(8) because compliance with this provi- sion would provide an impediment to law enforcement by interfer- ing with the ability to issue warrants or subpoenas and by revealing investigative techniques, procedures, or evidence. v. ID–AO508.25aUSACIDC. (1) Sysname. Index to Criminal Investigative Case Files. (2) Exemption. All portions of this system of records that fall within 5 USC 552a(j)(2) are exempt from the following provisions of 5 USC 552a: (c)(3), (c)(4), (d), (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(5), (e)(8), (f), and (g). (3) Authority. 5 USC 552a(j)(2). (4) Reasons. (a) From subsection (c)(3) because the release of accounting of disclosures would place the subject of an investigation on notice that he or she is under investigation and provide him or her with signifi- c a n t i n f o r m a t i o n c o n c e r n i n g c o o r d i n a t e d i n v e s t i g a t i v e e f f o r t a n d techniques and the nature of the investigation, resulting in a serious impediment to criminal law enforcement activities or the compro- mise of properly classified material. (b) From subsection (c)(4), (d), (e)(4)(G), (e)(4)(H), (f), and (g) because access might compromise ongoing investigations, reveal investigatory techniques and the identity of confidential informants, and invade the privacy of persons who provide information in con- nection with a particular investigation. The exemption from access necessarily includes exemption from amendment, certain agency requirements relating to access and amendment of records, and civil liability predicated upon agency compliance with those specific pro- visions of the Privacy Act. In addition, subsections (d), (e)(4)(G), (e)(4)(H), and (f) are necessary to protect the security of information properly classified in the interest of national and foreign policy. (c) From subsection (e)(1) because the nature of the criminal investigative function creates unique problems in prescribing spe- cific perimeters in a particular case what information is relevant or necessary. Also, due to close liaison and working relationships with other Federal, State, local and foreign law enforcement agencies, information may be received that may relate to a case then under the investigative jurisdiction of another Government agency, but it is necessary to maintain this information in order to provide leads for appropriate law enforcement purposes and to establish patterns of activity that may relate to the jurisdiction of both the USACIDC and other agencies. (d) From subsection (e)(2) because collecting information from the subject of criminal investigations would thwart the investigative process by placing the subject of the investigation on notice thereof. (e) From subsection (e)(3) because supplying an individual with a form containing the information specified could result in the compromise of an investigation, tend to inhibit the cooperation of the individuals queried, and render ineffectual investigative tech- niques and methods utilized by USACIDC in the performance of their criminal law enforcement duties. (f) From subsection (e)(5) because this requirement would unduly hamper the criminal investigative process due to the great volume of records maintained and the necessity for rapid information retrieval and dissemination. Also, in the collection of information for law enforcement purposes, it is impossible to determine what informa- tion is then accurate, relevant, timely, and complete. With the pas- sage of time, seemingly irrelevant or untimely information may acquire new significance as further investigation brings new details to light. In the criminal investigative process, accuracy and rele- vance of information can only be determined in a court of law. The restrictions imposed by subsection (e)(5) would restrict the ability of trained investigators to exercise their judgment in reporting on in- vestigations and impede the development of criminal intelligence necessary for effective law enforcement. (g) From subsection (e)(8) because the notice requirements of this provision could present a serious impediment to criminal law enforcement by revealing investigative techniques, procedures, and the existence of confidential investigations. w. ID–AO509.08DAPE. (1) Sysname. Registration and Permit Files. (2) Exemption. This system of records insofar as it contains in- formation falling within 5 USC 552a(k)(2) is exempted from the following provisions of 5 USC 552a:(c)(3). (3) Authority. 5 USC 552a(k)(2). (4) Reasons. From subsection (c)(3) because the release of ac- counting of disclosures would place the subject of an investigation on notice that he or she is under investigation and provide him or her with significant information concerning the nature of the investi- gation thus resulting in a serious impediment to criminal law en- forcement investigations, activities, or the compromise of properly classified material. x. ID–AO509.10DAPE. ( 1 ) S y s n a m e . L a w E n f o r c e m e n t : O f f e n s e R e p o r t i n g System(MPMIS). (2) Exemption. All portions of this system of records that fall within 5 USC 552a(j)(2) are exempt from the following provisions of 5 USC 552a: (c)(3), (c)(4), (d), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(8), (f), and (g). (3) Authority. 5 USC 552a(j)(2). (4) Reasons 12 AR 340–21 • 5 July 1985 Case 1:15-cv-00031-CKK Document 20-7 Filed 06/19/17 Page 17 of 27 (a) From subsections (c)(4), (d), (e)(4)(G), (e)(4)(H), (e)(8), (f), and (g) because granting individuals access to information collected and maintained by this component relating to the enforcement of criminal laws could interfere with orderly investigations and the o r d e r l y a d m i n i s t r a t i o n o f j u s t i c e . D i s c l o s u r e o f t h i s i n f o r m a t i o n could result in the concealment, alteration, or destruction of evi- dence; the identification of offenders or alleged offenders; nature and disposition of charges; and jeopardize the safety and well-being of informants, witnesses, and their families and law enforcement personnel and their families. Disclosure of this information could also reveal and render ineffectual, investigative techniques, sources, and methods used by this component, and could result in the inva- sion of the privacy of individuals only incidentally related to an investigation. (b) From subsection (c)(3) because the release of accounting of disclosure would place the subject of an investigation on notice that he or she is under investigation and provide him or her with signifi- cant information concerning the nature of the investigation, thus resulting in a serious impediment to law enforcement investigations. (c) From subsection (e)(2) because in a criminal or other law enforcement investigation, the requirement that information be col- lected to the greatest extent practicable from the subject individual would alert the subject as to the nature or existence of the investiga- t i o n a n d t h e r e b y p r e s e n t s e r i o u s i m p e d i m e n t t o e f f e c t i v e l a w enforcement. (d) From subsection (e)(3) because compliance would constitute a serious impediment to law enforcement in that it would compro- mise the existence of a confidential investigation, or reveal the identity of witnesses or confidential informants. (e) From section (e)(8) because compliance with this provision would provide an impediment to law enforcement by interfering with the ability to issue warrants or subpoenas and by revealing investigative techniques, procedures, or evidence. y. ID–AO509.18bDAPE. (1) Sysname. Expelled or Barred Person Files. (2) Exemption. All portions of this system of records that fall within 5 USC 552a(j)(2) are exempt from the following provisions of 5 USC 552a: (c)(3), (c)(4), (d), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(8), (f), and (g). (3) Authority. 5 USC 552a(j)(2). (4) Reasons. (a) From subsections (c)(4), (d), (e)(4)(G), (e)(4)(H), (f), and (g) because granting individuals access to information collected and maintained by this component relating to the enforcement of crimi- nal laws could interfere with orderely investigations and the orderly administration of justice. Disclosure of this information could result in the concealment, alteration or destruction of evidence, the identi- fication of offenders or alleged offenders, and the nature and dispo- s i t i o n o f c h a r g e s ; a n d j e o p a r d i z e t h e s a f e t y a n d w e l l - b e i n g o f informants, witnesses, and their families and law enforcement per- sonnel and their families. Disclosure of this information could also reveal and render ineffectual investigative techniques, sources, and methods used by this component, and could result in the invasion of t h e p r i v a c y o f i n d i v i d u a l s o n l y i n c i d e n t a l l y r e l a t e d t o a n investigation. (b) From subsection (c)(3) because the release of accounting of disclosures would place the subject of an investigation on notice that he or she is under investigation and provide him or her with signifi- cant information concerning the nature of the investigation, thus resulting in a serious impediment to law enforcement investigations. (c) From subsection (e)(2) because in a criminal or other law enforcement investigation, the requirement that information be col- lected to the greatest extent practicable from the subject individual would alert the subject as to the nature or existence of the investiga- tion and thereby present a serious impediment to effective law enforcement. (d) From subsection (e)(3) because compliance would constitute a serious impediment to law enforcement in that it could compro- mise the existence of a confidential investigation or reveal the iden- tity of witnesses or confidential informants. (e) From subsection (e)(8) because compliance with this provi- sion would provide an impediment to law enforcement by interfer- ing with the ability to issue warrants or subpoenas and by revealing investigative techniques, procedures, or evidence. z. ID–AO509.19DAPE. (1) Sysname. Military Police Investigator Certification Files. (2) Exemption. All portions of this system of records that fall within 5 USC 552a(k)(2), (5), or (7)are exempt from the following provisions of 5 USC 552a: (d), (e)(4)(G), (e)(4)(H), and(f). (3) Authority. 5 USC 552a(k)(2), (5), and (7). (4) Reasons. From subsections (d), (e)(4)(G), (e)(4)(H), and (f) because disclosure of portions of the information in this system of records would seriously impair the selection and management of t h e s e u n i q u e l y f u n c t i o n i n g i n d i v i d u a l s ; h a m p e r t h e i n c l u s i o n o f c o m m e n t s , r e p o r t s a n d e v a l u a t i o n s c o n c e r n i n g t h e p e r f o r m a n c e , qualifications, character, actions, and propensities of the agent; and prematurely compromise investigations which either concern the conduct of the agent himself or herself, or investigations wherein he or she is integrally or only peripherally involved. Additionally, the exemption from access necessarily includes exemptions from the amendment and the agency procedures that would otherwise be required to process these types of requests. aa. ID–AO509.21DAPE. (1) Sysname. Local Criminal Information Files. (2) Exemptions. All portions of this system of records that fall within 5 USC 552a(j)(2) are exempt from the following provisions of 5 USC 552a: (c)(3), (c)(4), (d), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(8), (f), and (g). (3) Authority. 5 USC 552a(j)(2). (4) Reasons. (a) From subsections (c)(4), (d), (e)(4)(G), (e)(4)(H), (f), and (g) because granting individuals access to information collected and maintained by this component relating to the enforcement of laws could interfere with proper investigations and the orderly adminis- tration of justice. Disclosure of this information could result in the concealment, alteration, or destruction of evidence; the identification of offenders or alleged offenders; nature and disposition of charges; and jeopardize the safety and well-being of informants, witnesses, and their families and law enforcement personnel and their families. Disclosure of this information could also reveal and render ineffec- tual investigative techniques, sources, and methods used by this component, and could result in the invasion of the privacy of indi- viduals only incidentally related to an investigation.Exemption from access necessarily includes exemption from the other requirements. (b) From subsection (c)(3) because the release of accounting of disclosure would place the subject of an investigation on notice that he or she is under investigation and provide him or her with signifi- cant information concerning the nature of the investigation, thus resulting in a serious impediment to law enforcement investigations. (c) From subsection (e)(2) because, in a criminal or other law enforcement investigation, the requirement that information be col- lected to the greatest extent practicable from the subject individual would alert the subject as to the nature or existence of the investiga- tion and thereby present a serious impediment to effective law enforcement. (d) From subsection (e)(3) because compliance would constitute a serious impediment to law enforcement in that it could compro- mise the existence of a confidential investigation or reveal the iden- tity of witnesses or confidential informants. (e) From subsection (e)(8) because compliance with this provi- sion would provide an impediment to law enforcement by interfer- ing with the ability to issue warrants or subpoenas and by revealing investigative techniques, procedures, or evidence. ab. ID–AO511.05DAPE. ( 1 ) S y s n a m e . T r a f f i c L a w E n f o r c e m e n t / V e h i c l e R e g i s t r a t i o n System:MPMIS. (2) Exemption. All portions of this system of records that fall within 5 USC 552a(j)(2) are exempt from the following provisions of 5 USC 552a: (c)(3), (c)(4), (d), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(8), (f), and (g). (3) Authority. 5 USC 552a(j)(2). 13AR 340–21 • 5 July 1985 Case 1:15-cv-00031-CKK Document 20-7 Filed 06/19/17 Page 18 of 27 (4) Reasons. (a) From subsections (c)(4), (d), (e)(4)(G), (e)(4)(H), (f), and (g) because granting individuals access to information collected and maintained by this component relating to the enforcement of laws could interfere with proper investigations and the orderly adminis- tration of justice. Disclosure of this information could result in the concealment, alteration, or destruction of evidence; the identification of offenders or alleged offenders; nature and disposition of char- ges;and jeopardize the safety and well-being of informants, wit- nesses, and their families and law enforcement personnel and their families. Disclosure of this information could also reveal and render ineffectual investigative techniques, sources, and methods used by this component and could result in the invasion of the privacy of individuals only incidentally related to an investigation.Exemption f r o m a c c e s s n e c e s s a r i l y i n c l u d e s e x e m p t i o n f r o m t h e o t h e r requirements. (b) From subsection (c)(3) because the release of accounting of disclosure would place the subject of an investigation on notice that he or she is under investigation and provide him or her with signifi- cant information concerning the nature of the investigation, thus resulting in a serious impediment to law enforcement investigations. (c) From subsection (e)(2) because in a criminal or other law enforcement investigation, the requirement that information be col- lected to the greatest extent practicable from the subject individual would alert the subject as to the nature or existence of the investiga- tion and thereby present a serious impediment to effective law enforcement. (d) From subsection (e)(3) because compliance would constitute a serious impediment to law enforcement in that it could compro- mise the existence of a confidential investigation or reveal the iden- tity of witnesses or confidential informants. (e) From subsection (e)(8) because compliance with this provi- sion would provide and impediment to law enforcement by interfer- ing with the ability to issue warrants or subpoenas and by revealing investigative techniques, procedures, or evidence. ac. ID–AO702.03aUSAREC. (1) Sysname. Enlistment Eligibility Files. (2) Exemption. All portions of this system of records that fall within 5 USC 552a(k)(5) are exempt from the following provisions of 5 USC 552a: (d). (3) Authority. 5 USC 552a(k)(5). (4) Reasons. It is imperative that the confidential nature of evalu- ations and investigatory material on applicants applying for enlist- ment furnished to the U.S. Army Recruiting Command under an express promise of confidentiality be maintained to ensure the can- did presentation of information necessary in determinations of en- listment and suitability for enlistment into the United States Army. ad. ID–AO702.08aDASG. (1) Sysname. Army Medical Procurement Applicant Files. (2) Exemption. All portions of this system of records that fall within 5 USC 552a(k)(5) are exempt from the following provisions of 5 USC 552a: (d). (3) Authority. 5 USC 552a (k)(5). (4) Reasons. It is imperative that the confidential nature of evalu- ation and investigatory material on applicants furnished to the Army Medical Procurement Program under an express promise of con- fidentiality be maintained to ensure that candid presentation of in- f o r m a t i o n n e c e s s a r y i n d e t e r m i n a t i o n s i n v o l v i n g s e l e c t i o n f o r AMEDD training programs and for suitability for commissioned service and future promotion. ae. ID–AO704.10bMEPCOM. (1) Sysname. ASVAB Institutional Test Scoring and Reporting System. (2) Exemption. All portions of this system that fall within 5 USC 552a(k)(6) are exempt from the following provision of 5 USC 552a: (d). (3) Authority. 5 USC 552a(k)(6). (4) Reasons. Exemption is needed for the portion of records that pertains to individual item response on tests, to preclude compro- mise of scoring keys. af. ID–AO709.01aDAPE. (1) Sysname. United States Military Academy Candidate Files. (2) Exemption. All portions of this system that fall within 5 USC 552a(k)(5), (6), or (7) are exempt from the following provisions of 5 USC 552a: (d). (3) Authority. 5 USC 552a(k)(5), (6), and (7). (4) Reasons. ( a ) F r o m s u b s e c t i o n ( d ) b e c a u s e a c c e s s m i g h t r e v e a l i n v e s - tigatory and testing techniques. The exemption from access neces- s a r i l y i n c l u d e s e x e m p t i o n f r o m a m e n d m e n t , c e r t a i n a g e n c y requirements relating to access and amendment of records, and civil liability predicated upon agency compliance with those specific pro- visions of the Privacy Act. (b) Exemption is necessary to protect the identity of individuals who furnished information to the U.S. Military Academy, which is used in determining suitability, eligibility, or qualifications for mili- tary service and which was provided under an express promise of confidentiality. (c) Exemption is needed for the portion of records compiled within the Academy that pertain to testing or examination material used to rate individual qualifications, the disclosure of which would compromise the objectivity or fairness of the testing or examination process. (d) Exemption is required for evaluation material used by the Academy in determining potential for promotion in the Armed Serv- ices, to protect the identity of a source who furnished information to the Academy under an express promise of confidentiality. ag. ID–AO709.03DAPE. (1) Sysname. U.S. Military Academy Personnel Cadet Records. (2) Exemption. All portions of this system of records that fall within 5 USC 552a(k)(5) or (7) are exempt from the following provisions of 5 USC 552a: (d) (3) Authority. 5 USC 552a(k)(5) and (7). (4) Reasons. It is imperative that the confidential nature of evalu- ation and investigatory material on candidates, cadets, and gradu- ates, furnished to the U.S. Military Academy under promise of confidentiality be maintained to ensure the candid presentation of information necessary in determinations involving admission to the Military Academy and suitability for commissioned service and fu- ture promotion. ah. ID–AO713.09aTRADOC. (1) Sysname. Skill Qualification Test. (2) Exemption. All portions of this system that fall under 5 USC 552a(k)(6) are exempt from the following provision of 5 USC 552a: (d). (3) Authority. 5 USC 552a(K)(6). (4) Reasons. An exemption is required for those portions of the Skill Qualification Test system pertaining to individual item re- sponses and scoring keys to preclude compromise of the test and to ensure fairness and objectivity of the evaluation system. ai. ID–AO720.04DAPE. (1) Sysname. Army Correctional System: Correctional Treatment Records. (2) Exemption. All portions of this system of records that fall within 5 USC 552a(J)(2) are exempt from the following provisions of 5 USC 552a: (c)(3), (c)(4), (d), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(5), (e)(8), (f), and (g). (3) Authority. 5 USC 552a(j)(2). (4) Reasons. Granting individuals access to information collected and maintained by this component relating to the enforcement of criminal laws could interfere with the orderly administration of justice. Disclosure of this information could jeopardize the safety and well-being of information sources, correctional supervisors, and other confinement facility administrators.Disclosure of the informa- tion could also result in the invasion of privacy of persons who provide information used in developing individual treatment pro- grams. Further, disclosure could result in a deterioration of a prison- e r ’ s s e l f - i m a g e a n d a d v e r s e l y a f f e c t m e a n i n g f u l r e l a t i o n s h i p s between a prisoner and his or her counselor or supervisor. These factors are, of course, essential to the rehabilitative process. Exemp- tion from the remaining provisions is predicated upon the exemption 14 AR 340–21 • 5 July 1985 Case 1:15-cv-00031-CKK Document 20-7 Filed 06/19/17 Page 19 of 27 from disclosure, or upon the need for proper functioning of correc- tional programs. aj. ID–AO917.10DASG. (1) Sysname. Family Advocacy Case Management Files. (2) Exemption. All portions of this system that fall within 5 USC 552a (k)(2) and (5) are exempt from the following provision of 5 USC 552a: (d). (3) Authority. 5 USC 552a(k)(2) and (5). (4) Reasons. Exemptions are needed in order to encourage per- sons having knowledge of abusive or neglectful acts toward children to report such information and to protect such sources from embar- rassment or recriminations as well as to protect their right to priva- cy. It is essential that the identities of all individuals who furnish information under an express promise of confidentiality be pro- tected. In the case of spouse abuse, it is important to protect the privacy of spouses seeking treatment. Additionally, granting individ- uals access to information relating to criminal and civil law enforce- ment could interfere with ongoing investigations and the orderly administration of justice in that it could result in the concealment, alteration, destruction, or fabrication of information; could hamper the identification of offenders or alleged offenders; and the disposi- tion of charges; and could jeopardize the safety and well-being of parents, children, and abused spouses. ak. ID–A1012.01DPE. ( 1 ) S y s n a m e . A p p l i c a n t s / S t u d e n t s , U S M i l i t a r y A c a d e m y P r e p School. ( 2 ) E x e m p t i o n . P a r t s o f t h i s s y s t e m t h a t f a l l w i t h i n 5 U S C 552a(k)(5) and (7) are exempt from subsection (d) of 5 USC 552a. (3) Authority. 5 USC 552a(k)(5) and (7). (4) Reasons. It is imperative that the confidential nature of evalu- ation material on individuals, furnished to the U.S. Military Acad- emy Preparatory School under an express promise of confidentiality, be maintained to ensure the candid presentation of information nec- essary in determinations involving admission to or retention at the U.S. Military Academy Preparatory School and subsequent admis- sion to the U.S. Military Academy and suitability for commissioned military service. 5–6. Exempt OPM records Three OPM systems of records apply to Army employees, except for nonappropriated fund employees. These systems, the specific exemptions determined to be necessary and proper, the records ex- empted, provisions of the Privacy Act from which exempted, and justification are set forth below. a. Personnel Investigations Records (OPM/CENTRAL–9). (1) All material and information in these records that meets the criteria stated in 5 USC 552a(k)(1), (2), (3), (5), and (6) is exempt from the requirements of 5 USC 552a(c)(3) and (d).These provi- sions of the Privacy Act relate to making accountings of disclosures a v a i l a b l e t o t h e d a t a s u b j e c t a n d a c c e s s t o a n d a m e n d m e n t o f records. (2) The specific applicability of the exemptions to this system and the reasons for the exemptions are as follows: ( a ) P e r s o n n e l i n v e s t i g a t i o n s m a y o b t a i n f r o m a n o t h e r F e d e r a l agency, properly classified information that pertains to National defense and foreign policy. Application of exemption(k)(1) may be necessary to preclude the data subject’s access to and amendment of such classified information under 5 USC 552a(d). (b) Personnel investigations may contain investigatory material compiled for law enforcement purposes other than material within the scope of 5 USC 552a(j)(2), e.g., investigations into the adminis- tration of the merit system. Application of exemption (k)(2) may be necessary to preclude the data subject’s access to or amendment of such records, under 552a(c)(3) and (d). ( c ) P e r s o n n e l i n v e s t i g a t i o n s m a y o b t a i n f r o m a n o t h e r F e d e r a l agency information that relates to providing protective services to the President of the United States or other individuals pursuant to section 3056 of title 18. Application of exemption (k)(3) may be necessary to preclude the data subject’s access to and amendment of such records under 5 USC 552a(d). (d) All information about individuals in these records that meets the criteria stated in 5 USC 552a(k)(5) is exempt from the require- ments of 5 USC 552a(c)(3) and (4). These provisions of the Privacy Act relate to making accountings of disclosures available to the data subject and access to and amendment of records. (e) All material and information in these records that meets the criteria stated in 5 USC 552a(k)(6) is exempt from the requirements of 5 USC 552a(d), relating to access to and amendment of records by the data subject. This exemption is claimed because portions of this system relate to testing or examination materials used solely to determine individual qualifications for appointment or promotion in the Federal Service. Access to or amendment of this information by the data subject would compromise the objectivity and fairness of the testing or examination process. (3) Exemptions (a) through (d) are claimed because this system contains investigatory material compiled solely for the purpose of determining suitability, eligibility, and qualifications for Federal ci- vilian employment. To the extent that the disclosure of material would reveal the identity of source who furnished information to the Government under an express promise that the identity of the source would be held in confidence, or, prior to September 27, 1975, under an implied promise that the identity of the source would be held in confidence, the application of exemption(k)(5) will be required to honor such a promise should the data subject request access to or amendment of the record, or access to the accounting of disclosures of the record. b . R e c r u i t i n g , E x a m i n i n g , a n d P l a c e m e n t R e c o r d s ( O P M / GOVT–5). (1) All information about individuals in these records that meets the criteria stated in 5 USC 552a(k)(5) is exempt from the require- ments of 5 USC 552a(c)(3) and (d). These provisions of the Privacy Act relate to making accountings of disclosures available to the data subject and access to and amendment of records. These exemptions are claimed because this system containsinvestigative material com- piled solely for the purpose of determining the appropriateness of a request for approval of an objection to an eligible’s qualification for employment in the Federal Service. To the extent that the disclosure of such material would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence, the application of exemption (k)(5) will be required to honor such a promise should the data subject request access to the accounting of disclosures of the record or access to or amendment of the record. (2) All material and information in these records that meets the criteria stated in 5 USC 552a(k)(6) are exempt from the require- ments of 5 USC 552a(d), relating to access to andamendment of records by the subject. This exemption is claimed because portions of this system relate to testing or examination materials used solely to determine individual qualification for appointment or promotion in the Federal Service and access to or amendment of this informa- tion by the data subject would compromise the objectivity and fairness of the testing or examining process. c. Personnel Research Test Validation Records (OPM/GOVT–6). Al material and information in these records that meets the criteria stated in 5 USC 552a(k)(6) is exempt from the requirements of 5 USC 552a(d), relating to access to and amendment of the records by the data subject. This exemption is claimed because portions of this system relate to testing or examination materials used solely to determine individual qualifications appointment or promotion in the Federal Service. Access to or amendment of this information by the data subject would compromise the objectivity and fairness of the testing or examination process. 15AR 340–21 • 5 July 1985 Case 1:15-cv-00031-CKK Document 20-7 Filed 06/19/17 Page 20 of 27 Table 5–1 Provisions of the Privacy Act from which a general or specific exemption may be claimed Exemption (j)(2): No Exemption (k)(1&nd: &No Section of the Privacy Act: (b)(1) Disclosures within the DOD Exemption (j)(2): No Exemption (k)(1&nd: &No Section of the Privacy Act: (b)(2) Disclosures to the public Exemption (j)(2): No Exemption (k)(1&nd: &No Section of the Privacy Act: (b)(3) Disclosures for a “Routine Use” Exemption (j)(2): No Exemption (k)(1&nd: &No Section of the Privacy Act: (b)(4) Disclosures to the Bureau of Census Exemption (j)(2): No Exemption (k)(1&nd: &No Section of the Privacy Act: (b)(5) Disclosures for statistical research and reporting Exemption (j)(2): No Exemption (k)(1&nd: &No Section of the Privacy Act: (b)(6) Disclosures to the National Archives Exemption (j)(2): No Exemption (k)(1&nd: &No Section of the Privacy Act: (b)(7) Disclosures for law enforcement purposes Exemption (j)(2): No Exemption (k)(1&nd: &No Section of the Privacy Act: (b)(8) Disclosures under emergency circumstances Exemption (j)(2): No Exemption (k)(1&nd: &No Section of the Privacy Act: (b)(9) Disclosures to the Congress Exemption (j)(2): No Exemption (k)(1&nd: &No Section of the Privacy Act: (b)(10) Disclosures to the General Accounting Office Exemption (j)(2): No Exemption (k)(1&nd: &No Section of the Privacy Act: (b)(11) Disclosures pursuant to court orders Exemption (j)(2): No Exemption (k)(1&nd: &No Section of the Privacy Act: (b)(12) Disclosures to consumer reporting agencies Exemption (j)(2): No Exemption (k)(1&nd: &No Section of the Privacy Act: (c)(1) Making disclosure accountings Exemption (j)(2): No Exemption (k)(1&nd: &No Section of the Privacy Act: (c)(2) Retaining disclosure accountings Exemption (j)(2): Yes Exemption (k)(1&nd: &Yes Section of the Privacy Act: (c)(3) Making disclosure accountings available to the individual Exemption (j)(2): Yes Exemption (k)(1&nd: &Yes Section of the Privacy Act: (c)(4) Informing prior recipients of corrections Exemption (j)(2): Yes Exemption (k)(1&nd: &Yes Section of the Privacy Act: (d)(1) Individual access to records Exemption (j)(2): Yes Exemption (k)(1&nd: &Yes Table 5–1 Provisions of the Privacy Act from which a general or specific exemption may be claimed—Continued Section of the Privacy Act: (d)(2) Amending records Exemption (j)(2): Yes Exemption (k)(1&nd: &Yes Section of the Privacy Act: (d)(3) Review of the component’s refusal to amend a record Exemption (j)(2): Yes Exemption (k)(1&nd: &Yes Section of the Privacy Act: (d)(4) Disclosure of disputed information Exemption (j)(2): Yes Exemption (k)(1&nd: &Yes Section of the Privacy Act: (d)(5) Access to information compiled in anticipation of civil action Exemption (j)(2): Yes Exemption (k)(1&nd: &Yes Section of the Privacy Act: (e)(1) Restrictions on collecting information Exemption (j)(2): Yes Exemption (k)(1&nd: &Yes Section of the Privacy Act: (e)(2) Collection directly from the individual Exemption (j)(2): Yes Exemption (k)(1&nd: &No Section of the Privacy Act: (e)(3) Informing individuals from whom information is requested Exemption (j)(2): No Exemption (k)(1&nd: &No Section of the Privacy Act: (e)(4)(A) Describing the name and location of the system Exemption (j)(2): No Exemption (k)(1&nd: &No Section of the Privacy Act: (e)(4)(B) Describing categories of individuals Exemption (j)(2): No Exemption (k)(1&nd: &No Section of the Privacy Act: (e)(4)(C) Describing categories of records Exemption (j)(2): No Exemption (k)(1&nd: &No Section of the Privacy Act: (e)(4)(D) Describing routine uses Exemption (j)(2): No Exemption (k)(1&nd: &No Section of the Privacy Act: (e)(4)(E) Describing records management policies and practices Exemption (j)(2): No Exemption (k)(1&nd: &No Section of the Privacy Act: (e)(4)(F) Identifying responsible officials Exemption (j)(2): Yes Exemption (k)(1&nd: &Yes Section of the Privacy Act: (e)(4)(G) Procedures for determining if a system contains a record on an individual Exemption (j)(2): Yes Exemption (k)(1&nd: &Yes Section of the Privacy Act: (e)(4)(H) Procedures for gaining access Exemption (j)(2): Yes Exemption (k)(1&nd: &Yes Section of the Privacy Act: (e)(4)(I) Describing categories of information sources Exemption (j)(2): Yes Exemption (k)(1&nd: &Yes Section of the Privacy Act: (e)(5) Standards of accuracy Exemption (j)(2): No Exemption (k)(1&nd: &No Section of the Privacy Act: (e)(6) Validating records before disclosure Exemption (j)(2): No 16 AR 340–21 • 5 July 1985 Case 1:15-cv-00031-CKK Document 20-7 Filed 06/19/17 Page 21 of 27 Table 5–1 Provisions of the Privacy Act from which a general or specific exemption may be claimed—Continued Exemption (k)(1&nd: &No Section of the Privacy Act: (e)(7) Records of First Amendment Activities Exemption (j)(2): No Exemption (k)(1&nd: &No Section of the Privacy Act: (e)(8) Notification of disclosure under compulsory legal process Exemption (j)(2): No Exemption (k)(1&nd: &No Section of the Privacy Act: (e)(9) Rules of conduct Exemption (j)(2): No Exemption (k)(1&nd: &No Section of the Privacy Act: (e)(10) Administrative, technical, and physical safeguards Exemption (j)(2): No Exemption (k)(1&nd: &No Section of the Privacy Act: (e)(11) Notices for new and revised routine uses Exemption (j)(2): Yes Exemption (k)(1&nd: &Yes Section of the Privacy Act: (f)(1) Rules for determining if an individual is the subject of a record Exemption (j)(2): Yes Exemption (k)(1&nd: &Yes Section of the Privacy Act: (f)(2) Rules for handling access requests Exemption (j)(2): Yes Exemption (k)(1&nd: &Yes Section of the Privacy Act: (f)(3) Rules for granting access Exemption (j)(2): Yes Exemption (k)(1&nd: &Yes Section of the Privacy Act: (f)(4) Rules for amending records Exemption (j)(2): Yes Exemption (k)(1&nd: &Yes Section of the Privacy Act: (f)(5) Rules regarding fees Exemption (j)(2): Yes Exemption (k)(1&nd: &No Section of the Privacy Act: (g)(1) Basis for civil action Exemption (j)(2): Yes Exemption (k)(1&nd: &No Section of the Privacy Act: (g)(2) Basis for judicial review and remedies for refusal to amend Exemption (j)(2): Yes Exemption (k)(1&nd: &No Section of the Privacy Act: (g)(3) Basis for judicial review and remedies for denial of access Exemption (j)(2): Yes Exemption (k)(1&nd: &No Section of the Privacy Act: (g)(4) Basis for judicial review and remedies for other failure to comply Exemption (j)(2): Yes Exemption (k)(1&nd: &No Section of the Privacy Act: (g)(5) Jurisdiction and time limits Exemption (j)(2): Yes Exemption (k)(1&nd: &No Section of the Privacy Act: (h) Rights of legal guardians Exemption (j)(2): No Exemption (k)(1&nd: &No Section of the Privacy Act: (i)(1) Criminal penalties for unauthorized disclosure Exemption (j)(2): No Exemption (k)(1&nd: &No Table 5–1 Provisions of the Privacy Act from which a general or specific exemption may be claimed—Continued Section of the Privacy Act: (i)(2) Criminal penalties for failure to publish Exemption (j)(2): No Exemption (k)(1&nd: &No Section of the Privacy Act: (i)(3) Criminal penalties for obtaining records under false pretenses Exemption (j)(2): Yes Exemption (k)(1&nd: &No Section of the Privacy Act: (j) Rulemaking requirement Exemption (j)(2): N/A Exemption (k)(1&nd: &No Section of the Privacy Act: (j)(1) General exemption for the Central Intelligence Agency Exemption (j)(2): N/A Exemption (k)(1&nd: &No Section of the Privacy Act: (j)(2) General exemption for criminal law enforcement records Exemption (j)(2): Yes Exemption (k)(1&nd: &N/A Section of the Privacy Act: (k)(1) Exemption for classified material Exemption (j)(2): N/A Exemption (k)(1&nd: &N/A Section of the Privacy Act: (k)(2) Exemption for law enforcement material Exemption (j)(2): Yes Exemption (k)(1&nd: &N/A Section of the Privacy Act: (k)(3) Exemption for records pertaining to Presidential protection Exemption (j)(2): Yes Exemption (k)(1&nd: &N/A Section of the Privacy Act: (k)(4) Exemption for statistical records Exemption (j)(2): Yes Exemption (k)(1&nd: &N/A Section of the Privacy Act: (k)(5) Exemption for investigatory material compiled for determining suitability for employment or service Exemption (j)(2): Yes Exemption (k)(1&nd: &N/A Section of the Privacy Act: (k)(6) Exemption for testing or examination material Exemption (j)(2): Yes Exemption (k)(1&nd: &N/A Section of the Privacy Act: (k)(7) Exemption for promotion evaluation materials used by the Armed Forces Exemption (j)(2): Yes Exemption (k)(1&nd: &No Section of the Privacy Act: (l)(1) Records stored in GSA records centers Exemption (j)(2): Yes Exemption (k)(1&nd: &No Section of the Privacy Act: (l)(2) Records archived before September 27, 1975 Exemption (j)(2): Yes Exemption (k)(1&nd: &No Section of the Privacy Act: (l)(3) Records archived on or after September 27, 1975 Exemption (j)(2): Yes Exemption (k)(1&nd: &No Section of the Privacy Act: (m) Applicability to Government contractors Exemption (j)(2): Yes Exemption (k)(1&nd: &No Section of the Privacy Act: (n) Mailing Lists Exemption (j)(2): Yes Exemption (k)(1&nd: &No 17AR 340–21 • 5 July 1985 Case 1:15-cv-00031-CKK Document 20-7 Filed 06/19/17 Page 22 of 27 Table 5–1 Provisions of the Privacy Act from which a general or specific exemption may be claimed—Continued Section of the Privacy Act: (o) Reports on new systems Exemption (j)(2): Yes Exemption (k)(1&nd: &No Section of the Privacy Act: (p) Annual report 18 AR 340–21 • 5 July 1985 Case 1:15-cv-00031-CKK Document 20-7 Filed 06/19/17 Page 23 of 27 AO319.01DACA System name: Out-of-Service Accounts Receivables System location: U.S. Army Finance and Accounting Center, Ft Benjamin Harrison, IN 46249–1536. Categories of individuals covered by the system: Separated and retired military/civilian personnel and others indebted to the U.S. Army. Categories of records in the system: Records of current and former military members and civilian employees’ pay accounts showing entitlements, deductions, payments made, and any indebtedness resulting from deductions and payments exceeding entitlements. These records include, but are not limited to: a. Individual military pay records, substantiating documents such as military pay orders, pay adjustment authorizations, military master pay account printouts from the Joint Uniform Military Pay System (JUMPS), records of travel payments, financial record data folders, miscellaneous vouchers, personal financial records, credit reports, promissory notes, individual financial statements, and correspondence. b. Applications for waiver of erroneous payments or for remission of indebtedness with supporting documents, including, but not limited to, statements of financial status (personal income and expenses), statements of commanders and/or accounting and finance officers, and correspondence with members and employees. c. Claims of individuals requesting additional payments for service rendered with supporting documents including, but not limited to time and attendance reports, leave and earnings statements, travel orders and/or vouchers, and correspondence with members and employees. d. Delinquent accounts receivable from field accounting and finance officers including, but not limited to returned checks, medical services billings, collection records, and summaries of the Army Criminal Investigations Command and/or Federal Bureau of Investigation reports. e. Reports from probate courts regarding estates of deceased debtors. f. Reports from bankruptcy courts regarding claims of the United States against debtors. Authority for maintenance of the system: 31 USC 3711; 10 USC 2774; and 12 USC 1715. Purpose: To process, monitor, and post-audit accounts receivable, to administer the Federal Claims Collection Act, and to answer inquiries pertaining thereto. Routine uses of records maintained in the system, including categories of users and the purposes of such uses: Information may be disclosed to— a. U.S. Attorneys, Department of Justice—for legal action or final disposition of the debt claims. The litigation briefs (comprehensive, written referral recommendations) will restructure the entire scope of the collection cases. b. Internal Revenue Service (IRS)—to obtain locator status for delinquent accounts receivables (automated controls exist to preclude redisclosure of solicited IRS address data), or to report writeoff amounts as taxable income pertaining to amounts compromised and accounts barred from litigation due to age. c. Private collection agencies—for collection action when the Army has exhausted its internal collection efforts. Disclosure to Consumer Reporting Agencies: Disclosures pursuant to 5 USC 552a(b)(12) may be made to consumer reporting agencies as defined in the Fair Credit Reporting Act (15 USC 1681a (f), or the Federal Claims Collection Act of 1966 (31 USC 3701(a)(3)) when an individual is responsible for a debt to the U.S. Army. This is provided the debt has been validated, is overdue, and the debtor has been advised of the disclosure and the right to dispute, appeal, or review the claim; and/or whenever a financial status report is requested for use in the administration of the Federal Claims Collection Act. Claims of the United States may be compromised, terminated, or suspended when warranted by information collected. Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system: Storage: Paper records in collection file folders and bulk storage; card files, computer magnetic tapes, and printouts; and microfiche. Retrievability: By SSN, name, substantiating document number and conventional indexing is used to retrieve data. Safeguards: The U.S. Army Finance and Accounting Center employs security guards. An employee badge and visitor registration system is in effect. Hard copy records are maintained in areas accessible only to authorized personnel who are properly screened, cleared, and trained. Computerized records are accessed by the custodian of the records system and by persons responsible for servicing the record system in the performance of their official duties. Certifying finance and accounting officers of debts have access to debt information to confirm if the debt is valid and collection action is to be continued. Computer equipment and files are located in a separate secured area. Retention and disposal: Individual military pay records and accounts receivables are converted to microfiche and retained for 6 years. Destruction is by shredding.Retention periods for other records vary according to category, but total retention does not exceed 56 years; these records are sent to the Federal Records Center, GSA at Dayton, Ohio; destruction is by burning or salvage as waste paper. System manager(s) and address: Commander, U.S. Army Finance and Accounting Center, Indianapolis, IN 46249-1536. Notification procedure: Individuals desiring to know whether this system of records contains information about them should contact the System Manager, ATTN:FINCP–F, furnishing full name, SSN, and military status, or other information verifiable from the record itself. Record access procedures: Individuals seeking access to records in this system pertaining to them should submit a written request as indicated in “Notification procedure”and furnish information required therein. Contesting record procedures: The Army’s rules for access to records and for contesting contents and appealing initial determinations are contained in AR340–21(32 CFR, part 505). Record source categories: Information is received from DOD staff and field installations, Social Security Administration, Treasury Department, financial organizations, and automated systems interface. Systems exempted from certain provisions of the act:None. Figure 4-1. Sample of a System of Records Notice 19AR 340–21 • 5 July 1985 Case 1:15-cv-00031-CKK Document 20-7 Filed 06/19/17 Page 24 of 27 NARRATIVE STATEMENT 1.System identification and name: A0404.02DAJA, Courts-Martial Files. 2.Responsible official: Mr. James D. Kemper, U.S. Army Legal Services Agency, Office of The Judge Advocate General, Room 204B, Nassif Building, Falls Church, VA 22041–5013. 3. Purpose of the system: Records of trial by court-martial are necessary for the purpose of legal review and final action in court-martial cases. After completion of appellate review, they protect each accused against a subsequent trial for the same offense. 4. Authority for the system: Title 10 USC, chapter 47, section 865 states that in the case of a general court-martial, or when a sentence that includes a bad-conduct discharge is approved by the convening authority in a special court-martial, the record will be sent to TJAG. All other special and summary courts-martial records will be reviewed by a judge advocate. 5. Number (or estimate) of individuals on whom records will be maintained:Approximately 7,000,000. 6. Information of first amendment activities: The system contains no information on first amendment activities; the system may include records of trial in which the charged misconduct was an activity protected by the First Amendment. 7. Measures to assure information accuracy: In a trial by court-martial, the accused has a unique opportunity to assure that his or her record is accurate, relevant, timely, and complete as it is made. He or she has the right to— a. Be present at trial. b. Be represented by counsel in general and special courts-martial. c. Consult with counsel prior to a summary court-martial. d. Review and challenge all information before it is introduced into evidence. e. Cross-examine all witnesses against him or her. f. Present evidence in his or her behalf. g. Review and comment upon the record of trail before the convening authority’s action in general and special courts-martial. 8.Other measures to assure system security : As courts-martial records reflect criminal proceedings ordinarily open to the public, copies are normally releasable to the public pursuant to the Freedom of Information Act. However, access to the original records is limited to authorized individuals. Security measures consist of standard physical security devices and civilian and military guards. 9. Relationship to State/local Government activities: None. 10. Supporting documentation: Proposed system notice and proposed exemption rule are at enclosures 1 and 2, respectively. Figure 4-2. Sample of a report for a new system of records 20 AR 340–21 • 5 July 1985 Case 1:15-cv-00031-CKK Document 20-7 Filed 06/19/17 Page 25 of 27 Glossary Section I Abbreviations AAFES Army and Air Force Exchange Service AARA Access and Amendment Refusal Authority ACSIM A s s i s t a n t C h i e f o f S t a f f f o r I n f o r m a t i o n Management DA Department of the Army DOD Department of Defense GAO General Accounting Office GSA General Services Administration JUMPS Joint uniform military pay system MACOM major Army command MPMIS M i l i t a r y P o l i c e m a n a g e m e n t i n f o r m a t i o n system NARS National Archives and Records Service NGB National Guard Bureau OMB Office of Management and Budget OPM Office of Personnel Management SSN Social Security Number TAG The Adjutant General TIG The Inspector General TJAG The Judge Advocate General USACIDC U.S. Army Criminal Investigation Command Section II Terms Access The review of a record or obtaining a copy of a r e c o r d o r p a r t s t h e r e o f i n a s y s t e m o f records. Agency The DOD is a single agency for the purpose of disclosing records subject to The Privacy Act of 1974. For other purposes, including access, amendment, appeals from denials of access or amendment, exempting systems of r e c o r d s , a n d r e c o r d - k e e p i n g f o r r e l e a s e t o non-DOD agencies, the DA is an agency. Access and Amendment Refusal Authority The Army Staff agency head or major Army commander designated sole authority by this r e g u l a t i o n t o d e n y a c c e s s t o , o r r e f u s e amendment of, records in his or her assigned area or functional specialization. Confidential source A person or organization that has furnished information to the Federal Government under an express promise that its identity would be w i t h h e l d , o r u n d e r a n i m p l i e d p r o m i s e o f such confidentiality if this implied promise was made before September 27,1975. Data subject T h e i n d i v i d u a l a b o u t w h o m t h e A r m y i s m a i n t a i n i n g i n f o r m a t i o n i n a s y s t e m o f records. Disclosure The furnishing of information about an indi- v i d u a l , b y a n y m e a n s , t o a n o r g a n i z a t i o n , Government agency, or to an individual who is not the subject of the record, the subject’s designated agent or legal guardian. Within the context of the Privacy Act and this regu- lation, this term applies only to personal in- f o r m a t i o n t h a t i s a p a r t o f a s y s t e m o f records. Individual A living citizen of the United States or an alien admitted for permanent residence.The Privacy Act rights of an individual may be exercised by the parent or legal guardian of a minor or an incompetent. (The Privacy Act confers no rights on deceased persons, nor may their next-of-kin exercise any rights for them.) Maintain Collect, use, maintain, or disseminate. Official use Any action by a member or employee of DOD that is prescribed or authorized by law or a regulation and is intended to perform a mission or function of the Department. Personal information Information about an individual that is inti- mate or private to the individual, as distin- guished from information related solely to the individual’s official functions or public life. Privacy Act request A request from an individual for information about the existence of, or for access to or amendment of, a record about him or her that is in a system of records. The request must cite or implicitly refer to the Privacy Act. Record Any item, collection, or grouping of informa- tion about an individual that— Routine use Disclosure of a record outside DOD without the consent of the subject individual for a use that is compatible with the purpose for which the information was collected and maintained by DA. The routine use must be included in the published system notice for the system of records involved. Statistical record A record maintained only for statistical re- search or reporting purposes and not used in whole or in part in making determinations about specific individuals. System manager The official responsible for policies and pro- cedures for operating and safeguarding a sys- t e m o f r e c o r d s . T h i s o f f i c i a l i s l o c a t e d normally at Headquarters, DA. System of records A group of records under the control of DA from which information is retrieved by the i n d i v i d u a l ’ s n a m e o r b y s o m e i d e n t i f y i n g number, symbol, or other identifying particu- lar assigned to the individual. System notices for all systems of records must be published in theFederal Register. (A grouping or files series of records arranged chronologically or subjectively that is not retrieved by individ- ual identifier is not a system of records, even though individual information could be re- trieved by such an identifier, such as through a paper-by-paper search.) Section III Special Abbreviations and Terms There are no special terms. 21AR 340–21 • 5 July 1985 Case 1:15-cv-00031-CKK Document 20-7 Filed 06/19/17 Page 26 of 27 Unclassified PIN 002344–000 Case 1:15-cv-00031-CKK Document 20-7 Filed 06/19/17 Page 27 of 27 Exhibit 7 Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 1 of 111 DoD 5400.11-R DEPARTMENT OF DEFENSE PRIVACY PROGRAM May 14, 2007 OFFICE OF THE DIRECTOR, ADMINISTRATION AND MANAGEMENT Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 2 of 111 DoD 5400.11-R, May 14, 2007 2 FOREWORD This Regulation is reissued under the authority of DoD Directive 5400.11, “DoD Privacy Program,” May 8, 2007 (Reference (a)). It provides guidance on section 552a of title 5 United States Code (U.S.C.), the Privacy Act of 1974, as amended, (Reference (b)), and prescribes uniform procedures for implementation of the DoD Privacy Program. DoD 5400.11-R, “Department of Defense Privacy Program,” August 13, 1983, is hereby canceled. This Regulation applies to the Office of the Secretary of Defense, the Military Departments, 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 as the “DoD Components”). The provisions of this Regulation shall be applicable by contract or other legally binding action to U.S. Government contractors whenever a DoD contract requires the performance of any activities associated with maintaining a system of records, including the collection, use, and dissemination of records on behalf of the contracting DoD Component. When maintaining a system of records or a portion of a system of records, contractors and their employees shall be considered employees of the contracting DoD Component for purposes of the criminal penalties of the Act. This Regulation does not apply to: • Requests for information made under the Freedom of Information Act (DoD Directive 5400.7) (Reference (c)). They are processed in accordance with DoD 5400.7-R (Reference (d)). • Requests for information from systems of records controlled by the Office of Personnel Management (OPM), although maintained by a DoD Component. These are processed in accordance with policies established by OPM (Reference (e)). • Requests for personal information from the General Accountability Office. These are processed in accordance with DoD Directive 7650.1 (Reference (f)). • Requests for personal information from Congress. These are processed in accordance with DoD Directive 5400.4 (Reference (g)), except for the specific provisions in Chapter 4 of this Regulation. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 3 of 111 DoD 5400.11-R, May 14, 2007 3 This Regulation is effective immediately and its use is mandatory for all DoD Components. The Heads of the DoD Components may issue supplementary instructions only when necessary to provide for unique requirements within their Components. Such instructions may not conflict with the provisions of this Regulation. Send recommended changes to this Regulation to the following address: Director, Defense Privacy Office 1901 South Bell Street, Room 920 Arlington, VA 22202-4512 The DoD Components may obtain copies of this Regulation through their own publication channels. Approved for public release; distribution unlimited. Copies are available via the World Wide Web at http://www.dtic.mil/whs/directives. Authorized registered users may obtain copies of the publication from the Defense Technical Information Center, 8725 John J. Kingman Road, Fort Belvoir, VA 22060-6218. Other Federal Agencies and the public may obtain copies from the U.S Department of Commerce, National Technical Information Service, 5285 Port Royal Road, Springfield, VA 22161. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 4 of 111 DoD 5400.11-R, May 14, 2007 TABLE OF CONTENTS 4 TABLE OF CONTENTS Page FOREWORD 2 TABLE OF CONTENTS 4 REFERENCES 7 DEFINITIONS 8 CHAPTER 1 – SYSTEMS OF RECORDS 11 C1.1. GENERAL 11 C1.2. STANDARDS OF ACCURACY 13 C1.3. GOVERNMENT CONTRACTORS 13 C1.4. SAFEGUARDING PERSONAL INFORMATION 15 C1.5. NOTIFICATION WHEN INFORMATION IS LOST, STOLEN OR 16 COMPROMISED CHAPTER 2 – COLLECTING PERSONAL INFORMATION 18 C2.1. GENERAL CONSIDERATIONS 18 C2.2. FORMS 20 CHAPTER 3 - ACCESS BY INDIVIDUALS 22 C3.1. INDIVIDUAL ACCESS TO PERSONAL INFORMATION 22 C3.2. DENIAL OF INDIVIDUAL ACCESS 27 C3.3. AMENDMENT OF RECORDS 29 C3.4. REPRODUCTION FEES 35 CHAPTER 4 – DISCLOSURE OF PERSONAL INFORMATION TO OTHER 37 AGENCIES AND THIRD PARTIES C4.1. CONDITIONS OF DISCLOSURE 37 C4.2. NON-CONSENSUAL CONDITIONS OF DISCLOSURES 38 C4.3. DISCLOSURES TO COMMERCIAL ENTERPRISES 46 C4.4. DISCLOSURES TO THE PUBLIC FROM MEDICAL RECORDS 47 C4.5. DISCLOSURE ACCOUNTING 47 CHAPTER 5 – EXEMPTIONS 49 C5.1. USE AND ESTABLISHMENT OF EXEMPTIONS 49 C5.2. ACCESS EXEMPTON 51 C5.3. GENERAL EXEMPTIONS 51 C5.4. SPECIFIC EXEMPTIONS 52 Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 5 of 111 DoD 5400.11-R, May 14, 2007 TABLE OF CONTENTS 5 CHAPTER 6 – PUBLICATION REQUIREMENTS 54 C6.1. FEDERAL REGISTER PUBLICATION 54 C6.2. EXEMPTION RULES 56 C6.3. SYSTEM NOTICES 56 C6.4. NEW AND ALTERED RECORD SYSTEMS 62 C6.5. AMENDMENT AND DELETION OF SYSTEM NOTICES 66 CHAPTER 7 – TRAINING REQUIREMENTS 67 C7.1. STATUTORY TRAINING REQUIREMENTS 67 C7.2. OMB TRAINING GUIDELINES 67 C7.3. DoD TRAINING PROGRAMS 67 C7.4. TRAINING METHODOLOGY AND PROCEDURES 68 C7.5. FUNDING FOR TRAINING 68 CHAPTER 8 – REPORTS 69 C8.1. REQUIREMENT FOR REPORTS 69 C8.2. SUSPENSE FOR SUBMISSION OF REPORTS 69 C8.3. REPORTS CONTROL SYMBOL 69 CHAPTER 9 – INSPECTIONS 70 C9.1. PRIVACY ACT INSPECTIONS 70 C9.2. INSPECTION REPORTING 70 CHAPTER 10 – PRIVACY ACT VIOLATIONS 71 C10.1. ADMINISTRATIVE REMEMDIES 71 C10.2. CIVIL ACTIONS 71 C10.3. CIVIL REMEDIES 71 C10.4. CRIMINAL PENALTIES 71 C10.5. LITIGATION STATUS SHEET 71 C10.6. LOST, STOLEN, OR COMPROMISED INFORMATION 72 CHAPTER 11 – COMPUTER MATCHING PROGRAM PROCEDURES 74 C11.1. GENERAL 74 C11.2. COMPUTER MATCHING PUBLICATION AND 75 REVIEW REQUIREMENTS C11.3. COMPUTER MATCHING AGREEMENTS (CMA) 76 APPENDICES AP1. SAFEGUARDING PERSONALLY IDENTIFIABLE INFORMATION 79 AP2. SAMPLE NOTIFICATION LETTER 82 AP3. DoD BLANKET ROUTINE USES 83 AP4. PROVISIONS OF THE PRIVACY ACT FROM WHICH A 86 GENERAL OR A SPECIFIC EXEMPTION MAY BE CLAIMED AP5. SAMPLE OF NEW OR ALTERED SYSTEM OF RECORDS 89 NOTICE IN FEDERAL REGISTER FORMAT AP6. FORMAT FOR NEW OR ALTERED SYSTEM REPORT 98 Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 6 of 111 DoD 5400.11-R, May 14, 2007 TABLE OF CONTENTS 6 AP7. SAMPLE AMENDMENTS AND DELETIONS TO SYSTEMS 102 NOTICES IN FEDERAL REGISTER FORMAT AP8. LITIGATION STATUS SHEET 107 Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 7 of 111 DoD 5400.11-R, May 14, 2007 DEFINITIONS 7 REFERENCES (a) DoD Directive 5400.11, “DoD Privacy Program,” May 8, 2007 (b) Section 552a of title 5, United States Code (c) DoD Directive 5400.7, “DoD Freedom of Information (FOIA) Program,” October 28, 2005 (d) DoD 5400.7-R, “DoD Freedom of Information Act Program,” September 1998 (e) Title 5, Code of Federal Regulations, Parts 293, 294, 297, 735, and 736, current edition (f) DoD Directive 7650.1, “General Accountability Office (GAO) and Comptroller General Access to Records,” September 11, 1997 (g) DoD Directive 5400.4, “Provision of Information to Congress,” January 30, 1978 (h) DoD 5200.1-R, “Information Security Program,” January 14, 1997 (i) Section 3303a of title 44, United States Code (j) Federal Acquisition Regulation, Subpart 24.1, “Protection of Individual Privacy,” current edition (k) Section 3711(e) of title 31, United States Code (l) Executive Order 9397, “Numbering System for Federal Accounts Relating to Individual Persons,” November 30, 1943 (m) DoD Instruction 7750.7, “DoD Forms Management Program,” May 31, 1990 (n) Section 1746 of title 28, United States Code (o) DoD 6025.18-R, “DoD Health Information Privacy Regulation,” January 24, 2003 (p) Section 552 of title 5, United States Code, as amended (q) Public Law 86-36, “National Security Agency-Officers and Employees,” (r) Sections 130b, 424, 3013, 5013, and 8013 of title 10, United States Code (s) Section 6 of title 13, United States Code (t) DoD Directive 1344.9, “Indebtedness of Military Personnel,” October 27, 1994 (u) Section 3056 of title 18, United States Code (v) DoD 5025.1-M, “Directives System Procedures,” March 2003 (w) Administrative Instruction 102, “Office of the Secretary of Defense (OSD) Federal Register (FR) System,” November 6, 2006 (x) Section 301 of title 5, United States Code (y) Federal Register, Volume 40, page 28948, July 9, 1975 (z) Chairman of the Joint Chiefs of Staff Manual 6510.01, “Defense-in-Depth: Information Assurance (IA) and Computer Network Defense (CND),” Change 3, March 8, 2006 (aa) Federal Register, Volume 54, page 25818, June 19, 1989 (ab) Office of Management and Budget Circular No. A-130, “Management of Federal Information Resources,” February 8, 1996, as amended (ac) DoD Directive 8500.1, “Information Assurance (IA),” October 24, 2002 (ad) Section 3501 of title 44, United States Code, Note (Public Law 107-347, section 208, “Privacy Provisions,” E-Government Act of 2002) (ae) DoD Instruction 8500.2, “Information Assurance (IA) Implementation,” February 6, 2002 (af) DoD Deputy Chief Information Officer Memorandum, “Department of Defense (DoD) Privacy Impact Assessment (PIA) Guidance,” October 28, 2005 (ag) DoD Memorandum, “Disposition of Unclassified DoD Computer Hard Drives,” June 4, 2001 (ah) DoD 8910.1-M, “DoD Procedures for Management of Information Requirements,” June 30, 1998 Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 8 of 111 DoD 5400.11-R, May 14, 2007 DEFINITIONS 8 DL1. DEFINITIONS DL1.1. Access. For the purposes of this Regulation, the review of a record or a copy of a record, or parts thereof, in a system of records by any individual. DL1.2. Agency. For the purposes of disclosing records subject to the Privacy Act (Reference (b)) among the DoD Components, the Department of Defense is a considered a single agency. For all other purposes, to include requests for access and amendment, denial of access, or amendment, appeals from denials, and record keeping, as relating to the release of records to non-DoD Agencies, each DoD Component is considered an agency within the meaning of Reference (b). DL1.3. Computer Matches. The computerized comparison of two or more automated systems of records or a system of records with non-Federal records. Manual comparison of systems of records or a system of records with non-Federal records are not covered. DL1.4. Confidential Source. A person or organization who has furnished information to the Federal Government under an express promise, if made on or after September 27, 1975, that the person’s or the organization’s identity shall be held in confidence or under an implied promise of such confidentiality if this implied promise was made on or before September 26, 1975. DL1.5. Disclosure. The transfer of any personal information from a system of records by any means of communication (such as oral, written, electronic, mechanical, or actual review) to any person, private entity, or Government Agency, other than the subject of the record, the subject’s designated agent, or the subject’s legal guardian. DL1.6. Federal Benefit Program. A program administered or funded by the Federal Government, or by any agent or State on behalf of the Federal Government, providing cash or in-kind assistance in the form of payments, grants, loans, or loan guarantees to individuals. DL1.7. Federal Personnel. Officers and employees of the Government of the United States, members of the uniformed services (including members of the Reserve Components), individuals entitled to receive immediate or deferred retirement benefits under any retirement program of the United States (including survivor benefits). DL1.8. Individual. A living person who is a citizen of the United States or an alien lawfully admitted for permanent residence. The parent of a minor or the legal guardian of any individual may also act on behalf of an individual. Members of the U.S. Armed Forces are “individuals.” Corporations, partnerships, sole proprietorships, professional groups, businesses, whether incorporated or unincorporated, and other commercial entities are not “individuals” when acting in an entrepreneurial capacity with the Department of Defense, but are “individuals” when acting in a personal capacity (e.g., security clearances, entitlement to DoD privileges or benefits, etc.). DL1.9. Individual Access. Access to information pertaining to the individual by the individual or his or her designated agent or legal guardian. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 9 of 111 DoD 5400.11-R, May 14, 2007 DEFINITIONS 9 DL1.10. Lost, Stolen, or Compromised Information. Actual or possible loss of control, unauthorized disclosure, or unauthorized access of personal information where persons other than authorized users gain access or potential access to such information for an other than authorized purposes where one or more individuals will be adversely affected. Such incidents also are known as breaches. DL1.11. Maintain. To maintain, collect, use, or disseminate records contained in a system of records. DL1.12. Non-Federal Agency. Any state or local government, or agency thereof, which receives records contained in a system of records from a source agency for use in a computer matching program. DL1.13. Official Use. Within the context of this Regulation, this term is used when officials and employees of a DoD Component have demonstrated a need for the use of any record or the information contained therein in the performance of their official duties, subject to DoD 5200.1-R (Reference h)). DL1.14. Personal Information. Information about an individual that identifies, links, relates, or is unique to, or describes him or her, e.g., a social security number; age; military rank; civilian grade; marital status; race; salary; home/office phone numbers; other demographic, biometric, personnel, medical, and financial information, etc. Such information is also known as personally identifiable information (i.e., information which can be used to distinguish or trace an individual’s identity, such as their name, social security number, date and place of birth, mother’s maiden name, biometric records, including any other personal information which is linked or linkable to a specified individual). DL1.15. Privacy Act. The Privacy Act of 1974, as amended, 5 U.S.C. 552a (Reference (b)). DL1.16. Privacy Act Request. A request from an individual for notification as to the existence of, access to, or amendment of records pertaining to that individual. These records must be maintained in a system of records. DL1.17. Member of the Public. Any individual or party acting in a private capacity to include Federal employees or military personnel. DL1.18. Recipient (matching) Agency. Any agency, or contractor thereof, receiving records contained in a system of records from a source agency for use in a computer matching program. DL1.19. Record. Any item, collection, or grouping of information, whatever the storage media (paper, electronic, etc.), about an individual that is maintained by a DoD Component, including, but not limited to, an individual’s education, financial transactions, medical history, criminal or employment history, and that contains his or her name, or the identifying number, symbol, or other identifying particular assigned to the individual, such as a finger or voice print, or a photograph. DL1.20. Risk Assessment. An analysis considering information sensitivity, vulnerabilities, and cost in safeguarding personal information processed or stored in the facility or activity. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 10 of 111 DoD 5400.11-R, May 14, 2007 DEFINITIONS 10 DL1.21. Routine Use. The disclosure of a record outside the Department of Defense for a use that is compatible with the purpose for which the information was collected and maintained by the Department of Defense. The routine use must be included in the published system notice for the system of records involved. DL1.22. Source Agency. Any agency which discloses records contained in a system of records to be used in a computer-matching program, or any state or local government or agency thereof, which discloses records to be used in a computer-matching program. DL1.23. Statistical Record. A record maintained only for statistical research or reporting purposes and not used in whole or in part in making determinations about specific individuals. DL1.24. System of Records. A group of records under the control of a DoD Component from which personal information about an individual is retrieved by the name of the individual, or by some other identifying number, symbol, or other identifying particular assigned, that is unique to the individual. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 11 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 1 11 C1. CHAPTER 1 SYSTEMS OF RECORDS C1.1. GENERAL C1.1.1. System of Records. To be subject to the provisions of this Regulation a “system of records” must: C1.1.1.1. Consist of “records,” (as defined in paragraph DL1.19) that are retrieved by the name of an individual or some other personal identifier; and C1.1.1.2. Be under the control of a DoD Component. C1.1.2. Retrieval Practices C1.1.2.1. Records in a group of records that may be retrieved by a name or personal identifier are not covered by this Regulation, even if the records contain personal data and are under control of a DoD Component. The records must be retrieved by name or other personal identifier to become a system of records for the purpose of this Regulation. C1.1.2.1.1. When records are contained in an automated Information Technology (IT) system that is capable of being manipulated to retrieve information about an individual, this does not automatically transform the system into a system of records, as defined in this Regulation. C1.1.2.1.2. In determining whether an automated system is a system of records that is subject to this Regulation, retrieval policies and practices shall be evaluated. If DoD Component policy is to retrieve personal information by name or other unique personal identifier, it is a system of records. If DoD Component policy prohibits retrieval by name or other identifier, but the actual practice of the Component is to retrieve information by name or identifier, even if done infrequently, it is a system of records. C1.1.2.2. If records are retrieved by name or personal identifier, a system notice must be submitted in accordance with paragraph C6.4 of Chapter 6. C1.1.2.3. If records that are not retrieved by name or personal identifier but then are rearranged in such a manner that they are retrieved by name or personal identifier, a new systems notice must be submitted in accordance with paragraph C6.4 of Chapter 6. C1.1.2.4. If records in a system of records are rearranged so that retrieval is no longer by name or other personal identifier, the records are no longer subject to this Regulation, and the system notice for the records shall be deleted in accordance with paragraph C6.5 of Chapter 6. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 12 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 1 12 C1.1.3. Relevance and Necessity. Information or records about an individual shall only be maintained in a system of records that is relevant and necessary to accomplish a DoD Component purpose required by a Federal statute or an Executive Order. C1.1.4. Authority to Establish Systems of Records. Identify the specific statute or the Executive Order that authorizes maintaining personal information in each system of records. The existence of a statute or Executive Order mandating the maintenance of a system of records does not abrogate the responsibility to ensure that the information in the system of records is relevant and necessary. If a statute or Executive Order does not expressly direct the creation of a system of records, but the establishment of a system of records is necessary in order to discharge the requirements of the statute or Executive Order, the statute or Executive Order shall be cited as the authority. C1.1.5. Exercise of First Amendment Rights C1.1.5.1. Do not maintain any records describing how an individual exercises his or her rights guaranteed by the First Amendment of the U.S. Constitution, except when: C1.1.5.1.1. Expressly authorized by Federal statute; C1.1.5.1.2. Expressly authorized by the individual; or C1.1.5.1.3. Maintenance of the information is pertinent to and within the scope of an authorized law enforcement activity. C1.1.5.2. First Amendment rights include, but are not limited to, freedom of religion, freedom of political beliefs, freedom of speech, freedom of the press, the right to assemble, and the right to petition. C1.1.6. System Manager’s Evaluation C1.1.6.1. Evaluate the information to be included in each new system before establishing the System, and evaluate periodically the information contained in each existing system of records for relevancy and necessity. Such a review shall also occur when a system notice alteration or amendment is prepared. See sections C6.4 and C6.5 of Chapter 6. C1.1.6.2. Consider the following: C1.1.6.2.1. The relationship of each item of information retained and collected to the purpose for which the system is maintained; C1.1.6.2.2. The specific impact on the purpose or mission of not collecting each category of information contained in the system; C1.1.6.2.3. The possibility of meeting the informational requirements through use of information not individually identifiable or through other techniques, such as sampling; Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 13 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 1 13 C1.1.6.2.4. The length of time each item of personal information must be retained; C1.1.6.2.5. The cost of maintaining the information; and C1.1.6.2.6. The necessity and relevancy of the information to the purpose for which it was collected. C1.1.7. Discontinued Information Requirements C1.1.7.1. Stop collecting immediately any category or item of personal information for which retention is no longer justified. Also delete this information from existing records, when feasible. C1.1.7.2. Do not destroy any records that must be retained in accordance with disposal authorizations established under Section 3303a of 44 U.S.C. (Reference (i)). C1.2. STANDARDS OF ACCURACY C1.2.1. Accuracy of Information Maintained. Maintain all personal information that is used or may be used to make any determination about an individual with such accuracy, relevance, timeliness, and completeness as is reasonably necessary to ensure fairness to the individual in making any such determination. C1.2.2. Accuracy Determinations before Dissemination. Before disseminating any personal information from a system of records to any person outside the Department of Defense, other than a Federal Agency, make reasonable efforts to ensure that the information to be disclosed is accurate, relevant, timely, and complete for the purpose it is being maintained. See also paragraph C4.1.4 of Chapter 4. C1.3. GOVERNMENT CONTRACTORS C1.3.1. Applicability to Government Contractors C1.3.1.1. When a DoD Component contract requires the operation or maintenance of a system of records or a portion of a system of records or requires the performance of any activities associated with maintaining a system of records, including the collection, use, and dissemination of records, the record system or the portion of the record system affected are considered to be maintained by the DoD Component and are subject to this Regulation. The Component is responsible for applying the requirements of this Regulation to the contractor. The contractor and its employees are to be considered employees of the DoD Component for the purposes of the criminal provisions of Reference (b) during the performance of the contract. Consistent with subpart 24.1 of the Federal Acquisition Regulation (Reference (j)), contracts requiring the maintenance or operation of a system of records or the portion of a system of records shall include in the solicitation and resulting contract such terms as are prescribed by Reference (j). Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 14 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 1 14 C1.3.1.2. If the contractor must use, have access to, or disseminate individually identifiable information subject to this Regulation in order to perform any part of a contract, and the information would have been collected, maintained, used, or disseminated by the DoD Component but for the award of the contract, these contractor activities are subject to this Regulation. C1.3.1.3. The restriction in subparagraphs C1.3.1.1 and C1.3.1.2 of this Chapter do not apply to records: C1.3.1.3.1. Established and maintained to assist in making internal contractor management decisions, such as records maintained by the contractor for use in managing the contract; C1.3.1.3.2. Maintained as internal contractor employee records even when used in conjunction with providing goods and services to the Department of Defense; C1.3.1.3.3. Maintained as training records by an educational organization contracted by a DoD Component to provide training when the records of the contract students are similar to and commingled with training records of other students (for example, admission forms, transcripts, academic counseling and similar records); C1.3.1.3.4. Maintained by a consumer reporting agency to which records have been disclosed under contract in accordance with section 3711(e) of 31 U.S.C., the Federal Claims Collection Act of 1966, (Reference (k)); or C1.3.1.3.5. Maintained by the contractor incident to normal business practices and operations. C1.3.1.4. The DoD Components shall publish instructions that: C1.3.1.4.1. Furnish DoD Privacy Program guidance to their personnel who solicit, award, or administer Government contracts; C1.3.1.4.2. Inform prospective contractors of their responsibilities, and provide training, as appropriate, regarding the DoD Privacy Program; and C1.3.1.4.3. Establish an internal system of contractor performance review to ensure compliance with the DoD Privacy Program. C1.3.2. Contracting Procedures. The Defense Acquisition Regulations Council is responsible for developing the specific policies and procedures to be followed when soliciting bids, awarding contracts or administering contracts that are subject to this Regulation. C1.3.3. Contractor Compliance. Through the various contract surveillance programs, ensure contractors comply with the procedures established in accordance with paragraph C1.3.2 of this Chapter. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 15 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 1 15 C1.3.4. Disclosure of Records to Contractors. Disclosure of records contained in a system of records by a DoD Component to a contractor for use in the performance of a DoD contract is considered a disclosure within the Department of Defense. See paragraph C4.1.2 of Chapter 4. The contractor is considered the agent of the contracting DoD Component and to be maintaining and receiving the records for that Component. C1.4. SAFEGUARDING PERSONAL INFORMATION C1.4.1. General Responsibilities. DoD Components shall establish appropriate administrative, technical and physical safeguards to ensure that the records in each system of records are protected from unauthorized access, alteration, or disclosure and that their confidentiality is preserved and protected. Records shall be protected against reasonably anticipated threats or hazards that could result in substantial harm, embarrassment, inconvenience, or unfairness to any individual about whom information is kept. C1.4.2. Minimum Standards C1.4.2.1. Tailor system safeguards to conform to the type of records in the system, the sensitivity of the personal information stored, the storage medium used and, to a degree, the number of records maintained. C1.4.2.2. Treat all unclassified records that contain personal information that normally would be withheld from the public under Freedom of Information Exemption Numbers 6 and 7, chapter 3 of Reference (d) as “For Official Use Only (FOUO),” and safeguard them accordingly, in accordance with DoD 5200.1-R (Reference (h)), even if they are not actually marked “FOUO.” C1.4.2.3. Personal information that does not meet the criteria discussed in paragraph C1.4.2.2 of this Chapter shall be accorded protection commensurate with the nature and type of information involved. C1.4.2.4. Special administrative, physical, and technical procedures are required to protect data that is stored or processed in an IT system to protect against threats unique to an automated environment. See Appendix 1. C1.4.2.5. Tailor safeguards specifically to the vulnerabilities of the system. C1.4.3. Records Disposal C1.4.3.1. Dispose of records containing personal data so as to prevent inadvertent compromise. Disposal methods are those approved by the Component or the National Institute of Standards and Technology. For paper records, disposal methods, such as tearing, burning, melting, chemical decomposition, pulping, pulverizing, shredding, or mutilation are acceptable. For electronic records and media, disposal methods, such as overwriting, degaussing, disintegration, pulverization, burning, melting, incineration, shredding or sanding are acceptable. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 16 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 1 16 C1.4.3.2. Disposal methods are considered adequate if the personal data is rendered unrecognizable or beyond reconstruction. C1.5. NOTIFICATION WHEN INFORMATION IS LOST, STOLEN, OR COMPROMISED C1.5.1. If records containing personal information are lost, stolen, or compromised (see paragraph DL1.1.10), the potential exists that the records may be used for unlawful purposes, such as identity theft, fraud, stalking, etc. The personal impact on the affected individual may be severe if the records are misused. To assist the individual, the Component shall promptly notify the individual of any loss, theft, or compromise. See also, paragraph 10.6.1 of Chapter 10 for reporting of the breach to the Senior Component Official for Privacy and the Defense Privacy Office. C1.5.1.1. The notification shall be made whenever a breach occurs that involves personal information pertaining to a service member, civilian employee (appropriated or non-appropriated fund), military retiree, family member, DoD contractor, other persons that are affiliated with the Component (e.g., volunteers), and/or any other member of the public on whom information is maintained by the Component or by a contractor on behalf of the Component. C1.5.1.2. The notification shall be made as soon as possible, but not later than 10 working days after the loss, theft, or compromise is discovered and the identities of the individuals ascertained. C1.5.1.2.1. The 10-day period begins after the Component is able to determine the identities of the individuals whose records were lost. C1.5.1.2.2. If the Component is only able to identify some but not all of the affected individuals, notification shall be given to those that can be identified with follow-up notifications made to those subsequently identified. C1.5.1.2.3. If the Component cannot readily identify the affected individuals or will not be able to identify the individuals, the Component shall provide a generalized notice to the potentially impacted population by whatever means the Component believes is most likely to reach the affected individuals. C1.5.1.3. When personal information is maintained by a DoD contractor on behalf of the Component, the contractor shall notify the Component immediately upon discovery that a loss, theft, or compromise has occurred. C1.5.1.3.1. The Component shall determine whether the Component or the contractor shall make the required notification. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 17 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 1 17 C1.5.1.3.2. If the contractor is to notify the impacted population, it shall submit the notification letters to the Component for review and approval. The Component shall coordinate with the contractor to ensure that the letters meet the requirements of subparagraph C1.5. C1.5.1.4. Subject to subparagraph C1.5.1.2, the Component shall inform the Deputy Secretary of Defense of the reasons why notice was not provided to the individuals or the affected population within the 10-day period. C1.5.1.4.1. If for good cause (e.g., law enforcement authorities request delayed notification as immediate notification will jeopardize investigative efforts), notice can be delayed, but the delay shall only be for a reasonable period of time. In determining what constitutes a reasonable period of delay, the potential harm to the individual must be weighed against the necessity for delayed notification. C1.5.1.4.2. The required notification shall be prepared and forwarded to the Senior Component Official for Privacy (Reference (a)) who shall forward it to the Defense Privacy Office. The Defense Privacy Office, in coordination with the Office of the Under Secretary of Defense for Personnel and Readiness, shall forward the notice to the Deputy Secretary. C1.5.1.5. The notice to the individual, at a minimum, shall include the following: C1.5.1.5.1. The individuals shall be advised of what specific data was involved. It is insufficient to simply state that personal information has been lost. Where names, Social Security Numbers (SSNs), and dates of birth are involved, it is critical that the individual be advised that these data elements potentially have been compromised. C1.5.1.5.2. The individual shall be informed of the facts and circumstances surrounding the loss, theft, or compromise. The description of the loss should be sufficiently detailed so that the individual clearly understands how the compromise occurred. C1.5.1.5.3. The individual shall be informed of what protective actions the Component is taking or the individual can take to mitigate against potential future harm. The Component should refer the individual to the Federal Trade Commission’s public web site on identity theft at http://www.consumer.gov/idtheft/con_steps.htm. The site provides valuable information as to what steps individuals can take to protect themselves if their identities potentially have been or are stolen. C1.5.1.5.4. A sample notification letter is at Appendix 2. C1.5.2. The notification shall be made whether or not the personal information is contained in a system of records. See subparagraph C1.1.1 of this Chapter. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 18 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 2 18 C2. CHAPTER 2 COLLECTING PERSONAL INFORMATION C2.1. GENERAL CONSIDERATIONS C2.1.1. Collect Directly from the Individual. Collect to the greatest extent practicable personal information directly from the individual to whom it pertains, if the information may result in adverse determinations about an individual’s rights, privileges, or benefits under any Federal program. C2.1.2. Collecting SSNs C2.1.2.1. It is unlawful for any Federal, State, or local governmental agency to deny an individual any right, benefit, or privilege provided by law because the individual refuses to provide his or her SSN. However, if a Federal statute requires that the SSN be furnished, or if the SSN is furnished to a DoD Component maintaining a system of records in existence that was established and in operation before January 1, 1975, and the SSN was required under a statute or regulation adopted prior to this date for purposes of verifying the identity of an individual, this restriction does not apply. C2.1.2.2. When an individual is requested to provide his or her SSN, he or she must be told: C2.1.2.2.1. What uses will be made of the SSN; C2.1.2.2.2. The statute, regulation, or rule authorizing the solicitation of the SSN; and C2.1.2.2.3. Whether providing the SSN is voluntary or mandatory. C2.1.2.3. Include in any systems notice for any system of records that contains SSNs a statement indicating the authority for maintaining the SSN. C2.1.2.4. Executive Order 9397 (Reference (l)) authorizes solicitation and use of SSNs as a numerical identifier for Federal personnel that are identified in most Federal record systems. However, it does not constitute authority for mandatory disclosure of the SSN. C2.1.2.5. Upon entrance into military service or civilian employment with the Department of Defense, individuals are asked to provide their SSNs. The SSN becomes the service or employment number for the individual and is used to establish personnel, financial, medical, and other official records. The notification in subparagraph C2.1.2.2 of this Chapter shall be provided to the individual when originally soliciting his or her SSN. The notification is not required if an individual is requested to furnish his SSN for identification purposes and the SSN is solely used to verify the SSN that is contained in the records. However, if the SSN is solicited and retained for any purposes other than verifying the existing SSN in the records, the requesting official shall provide the individual the notification required by subparagraph C2.1.2.2 of this Chapter. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 19 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 2 19 C2.1.2.6. Components shall ensure that the SSN is only collected when there is demonstrated need for collection. If collection is not essential for the purposes for which the record or records are being maintained, it should not be solicited. C2.1.2.7. DoD Components shall continually review their use of the SSN to determine whether such use can be eliminated, restricted, or concealed in Component business processes, systems and paper and electronic forms. While use of the SSN may be essential for program integrity and national security when information about an individual is disclosed outside the DoD, it may not be as critical when the information is being used for internal Departmental purposes. C2.1.3. Collecting Personal Information from Third Parties. When information being solicited is of an objective nature and is not subject to being altered, the information should first be collected from the individual. But, it may not be practicable to collect personal information first from the individual in all cases. Some examples of this are: C2.1.3.1. Verification of information through third-party sources for security or employment suitability determinations; C2.1.3.2. Seeking third-party opinions such as supervisor comments as to job knowledge, duty performance, or other opinion-type evaluations; and C2.1.3.3. When obtaining information first from the individual may impede rather than advance an investigative inquiry into the actions of the individual. C2.1.3.4. Contacting a third party at the request of the individual to furnish certain information, such as exact periods of employment, termination dates, copies of records, or similar information. C2.1.4. Privacy Act Statements C2.1.4.1. When an individual is requested to furnish personal information about himself or herself for inclusion in a system of records, a Privacy Act statement is required regardless of the medium used to collect the information (paper or electronic forms, personal interviews, telephonic interviews, or other methods). The Privacy Act statement consists of the elements set forth in subparagraph C2.1.4.2 of this Chapter. The statement enables the individual to make an informed decision whether to provide the information requested. If the personal information solicited is not to be incorporated into a system of records, the statement need not be given. However, personal information obtained without a Privacy Act Statement shall not be incorporated into any system of records. When soliciting SSNs for any purpose, see subparagraph C2.1.2.2 of this Chapter. C2.1.4.2. The Privacy Act statement shall include: C2.1.4.2.1. The Federal statute or Executive Order that authorizes collection of the requested information. See paragraph C1.1.4 of Chapter 1. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 20 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 2 20 C2.1.4.2.2. The principal purpose or purposes for which the information is to be used; C2.1.4.2.3. The routine uses that will be made of the information. See paragraph C4.2.3 of Chapter 4; C2.1.4.2.4. Whether providing the information is voluntary or mandatory. See paragraph C2.1.5. of this Chapter; and C2.1.4.2.5. The effects on the individual if he or she chooses not to provide the requested information. C2.1.4.3. The Privacy Act statement shall be concise, current, and easily understood. C2.1.4.4. The Privacy Act statement may appear as a public notice (sign or poster), conspicuously displayed in the area where the information is collected, such as at check-cashing facilities or identification photograph facilities. See paragraph C2.2.1 of this Chapter. C2.1.4.5. The individual normally is not required to sign the Privacy Act statement. C2.1.4.6. The individual shall be provided a written copy of the Privacy Act statement upon request. This must be done regardless of the method chosen to furnish the initial advisement. C2.1.5. Mandatory as Opposed to Voluntary Disclosures. Include in the Privacy Act statement specifically whether furnishing the requested personal data is mandatory or voluntary. A requirement to furnish personal data is mandatory only when the DoD Component is authorized to impose a penalty on the individual for failure to provide the requested information. If a penalty cannot be imposed, disclosing the information is always voluntary. C2.2. FORMS C2.2.1. DoD Forms C2.2.1.1. DoD Instruction 7750.7 (Reference (m)) provides guidance for preparing Privacy Act statements for use with forms (see also paragraph C2.2.1.2 of this Chapter). C2.2.1.2. When forms are used to collect personal information, the Privacy Act statement shall appear as follows (listed in the order of preference): C2.2.1.2.1. In the body of the form, preferably just below the title so that the reader will be advised of the contents of the statement before he or she begins to complete the form. C2.2.1.2.2. On the reverse side of the form with an appropriate annotation under the title giving its location; C2.2.1.2.3. On a tear-off sheet attached to the form; or Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 21 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 2 21 C2.2.1.2.4. As a separate supplement to the form. C2.2.2. Forms Issued by Non-DoD Activities C2.2.2.1. Forms subject to Reference (b) issued by other Federal Agencies must have a Privacy Act statement. Always ensure that the statement prepared by the originating Agency is adequate for the purpose for which the form shall be used by the DoD activity. If the Privacy Act statement provided is inadequate, the DoD Component concerned shall prepare a new statement or a supplement to the existing statement before using the form. C2.2.2.2. Forms issued by agencies not subject to Reference (b) (State, municipal, and other local agencies) do not contain Privacy Act statements. Before using a form prepared by such agencies to collect personal data subject to this Regulation, an appropriate Privacy Act statement must be added. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 22 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 3 22 C3. CHAPTER 3 ACCESS BY INDIVIDUALS C3.1. INDIVIDUAL ACCESS TO PERSONAL INFORMATION C3.1.1. Individual Access C3.1.1.1. The access provisions of this Regulation are intended for use by individuals who seek access to records about themselves that are maintained in a system of records. Release of personal information to individuals under this Regulation is not considered public release of the information. C3.1.1.2. Make available to the individual to whom the record pertains all of the personal information contained in the system of records except where access may be denied pursuant to an exemption claimed for the system. See Chapter 5 of this Regulation. However, when the access provisions of this chapter are not available to the individual due to a claimed exemption, the request shall be processed to provide information that is disclosable pursuant to Reference (d). C3.1.2. Individual Requests for Access. Individuals shall address requests for access to personal information in a system of records to the system manager or to the office designated in the DoD Component procedural rules or the system notice. C3.1.3. Verification of Identity C3.1.3.1. Before granting access to personal data, an individual may be required to provide reasonable proof his or her identity. C3.1.3.2. Identity verification procedures shall not: C3.1.3.2.1. Be so complicated as to unnecessarily discourage individuals from seeking access to information about themselves; or C3.1.3.2.2. Be required of an individual seeking access to records that normally would be available under Reference (d). C3.1.3.3. When an individual seeks personal access to records pertaining to themselves in person, proof of identity is normally provided by documents that an individual ordinarily possesses, such as employee and military identification cards, driver’s license, other licenses, permits, or passes used for routine identification purposes. C3.1.3.4. When access is requested by mail, identity verification may consist of the individual providing certain minimum identifying data, such as full name, date and place of birth, or such other personal information necessary to locate the record sought and information that is ordinarily only known to the individual. If the information sought is of a sensitive nature, Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 23 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 3 23 additional identifying data may be required. An unsworn declaration under penalty of perjury in accordance with section 1746 of 28 U.S.C. (Reference (n)) or notarized signatures are acceptable as a means of proving the identity of the individual. C3.1.3.4.1. If an unsworn declaration is executed within the United States, its territories, possessions, or commonwealths, it shall read “I declare (or certify, verify, or state) under penalty of perjury that the foregoing is true and correct. Executed on (date). (Signature).” C3.1.3.4.2. If an unsworn declaration is executed outside the United States, it shall read “I declare (or certify, verify, or state) under penalty of perjury under the laws of the United States of America that the foregoing is true and correct. Executed on (date). (Signature).” C3.1.3.5. If an individual wishes to be accompanied by a third party when seeking access to his or her records or to have the records released directly to a third party, the individual may be required to furnish a signed access authorization granting the third-party access. C3.1.3.6. An individual shall not be refused access to his or her record solely because he or she refuses to provide his or her SSN, unless the SSN is the only method by which retrieval can be made. See paragraph C2.1.2 of Chapter 2. C3.1.3.7. The individual is not required to explain or justify his or her need for access to any record under this Regulation. C3.1.3.8. Only a denial authority may deny access, and the denial must be in writing and contain the information required by paragraph C3.2.2 of this Chapter. C3.1.4. Granting Individual Access to Records C3.1.4.1. Grant the individual access to the original record or an exact copy of the original record without any changes or deletions, except when deletions have been made in accordance with paragraph C3.1.5 of this Chapter. For the purpose of granting access, a record that has been amended under paragraph C3.3.2 of this Chapter is considered to be the original. See paragraph C3.1.5 of this Chapter for the policy regarding the use of summaries and extracts. C3.1.4.2. Provide exact copies of the records when furnishing the individual copies of records under this Regulation. C3.1.4.3. Explain in terms understood by the requestor any record or portion of a record that is not clear. C3.1.5. Illegible, Incomplete, or Partially Exempt Records C3.1.5.1. Do not deny an individual access to a record or a copy of a record solely because the physical condition or format of the record does not make it readily available (deteriorated state or on magnetic tape). Either prepare an extract, or recopy the document exactly. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 24 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 3 24 C3.1.5.2. If a portion of the record contains information that is exempt from access, an extract or summary containing all of the information in the record that is releasable shall be prepared. C3.1.5.3. When the physical condition of the record or its state makes it necessary to prepare an extract for release, ensure that the extract can be understood by the requester. C3.1.5.4. Explain to the requester all deletions or changes to the records. C3.1.6. Access to Medical Records C3.1.6.1. Access to medical records is not only governed by the access provisions of this Regulation, but also by the access provisions of DoD 6025.18-R (Reference (o)). The Privacy Act (Reference (b)), as implemented by this regulation, however, provides greater access to an individual’s medical records than that authorized by Reference (o). C3.1.6.2. Medical records in a system of records shall be disclosed to the individual to whom they pertain, even if a minor; but, when it is believed that access to such records could have an adverse effect on the mental or physical health of the individual or may result in harm to a third party, the following special procedures apply: C3.1.6.2.1. If a determination is made in consultation with a medical doctor that release of the medical information may be harmful to the mental or physical health of the individual, or to a third party, the Component shall: C3.1.6.2.1.1. Send the record to a physician named by the individual; and C3.1.6.2.1.2. In the transmittal letter to the physician, explain why access by the individual without proper professional supervision could be harmful (unless it is obvious from the record). C3.1.6.2.2. The Component shall not require the physician to request the records for the individual. C3.1.6.3. If the individual refuses or fails to designate a physician, the record shall not be provided. Such refusal of access is not considered a denial under the Privacy Act. See paragraph C3.2.1 and C3.2.2 of this Chapter. C3.1.6.4. If records are provided to the designated physician, but the physician declines or refuses to provide the records to the individual, the DoD Component is under an affirmative duty to take action to deliver the records to the individual by whatever means deemed appropriate. Such action should be taken expeditiously, especially if there has been a significant delay between the time the records were furnished the physician and the decision by the physician not to release the records. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 25 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 3 25 C3.1.6.5. Access to a minor’s medical records may be granted to his or her parents or legal guardians. However, access is subject to the restrictions as set forth at paragraph C9.7.3 of Reference (o). C3.1.6.6. Members of the Military Services and all married persons are not considered minors regardless of age, and the parents of these individual do not have access to their medical records without written consent of the individual. C3.1.7. Access to Information Compiled in Anticipation of a Civil Action. (See Chapter 5 of this Regulation). C3.1.8. Non-Agency Records C3.1.8.1. Certain documents under the physical control of DoD personnel and used to assist them in performing official functions, are not considered “Agency records” within the meaning of this Regulation. Uncirculated personal notes and records that are not disseminated or circulated to any person or organization (for example, personal telephone lists or memory aids) that are retained or discarded at the author’s discretion and over which the Component exercises no direct control are not considered Agency records. However, if personnel are officially directed or encouraged, either in writing or orally, to maintain such records, they may become “Agency records” and may be subject to this Regulation. C3.1.8.2. The personal uncirculated handwritten notes of unit leaders, office supervisors, or military supervisory personnel concerning subordinates are not systems of records within the meaning of this Regulation. Such notes are an extension of the individual’s memory. These notes, however, must be maintained and discarded at the discretion of the individual’s supervisor and not circulated to others. Any established requirement to maintain such notes (such as, written or oral directives, regulations, or command policy) may transform these notes into “Agency records,” and they then must be made a part of a system of records. If the notes are circulated, they must be made a part of a system of records. Any action that gives personal notes the appearance of official Agency records is prohibited, unless the notes have been incorporated into a system of records. C3.1.9. Relationship between the Privacy Act (Reference (b)) and section 552 of 5 U.S.C., the Freedom of Information Act (Reference (p)). Not all requesters are knowledgeable of the appropriate statutory authority to cite when requesting records. In some instances, they may cite neither Act, but will imply one or both Acts. The below guidelines are provided to ensure that requesters are given the maximum amount of information as authorized under both statutes. C3.1.9.1. Process requests for individual access as follows: C3.1.9.1.1. If the records are required to be released under the Privacy Act, FOIA does not bar release even if a FOIA exemption could be invoked if the request had been processed solely under FOIA. Conversely, if the records are required to be released under FOIA, the Privacy Act does not bar disclosure. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 26 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 3 26 C3.1.9.1.2. Requesters who seek records about themselves contained in a Privacy Act system of records, and who cite or imply only the Privacy Act, will have their records processed under the provisions of this Regulation and Reference (d). If the system of records is exempt from the access provisions of this Regulation, and if the records, or any portion thereof, are exempt under FOIA, the requester shall be advised and informed of the appropriate Privacy and FOIA exemptions. Only if the records can be denied under both statutes may the Department of Defense withhold the records from the individual. Appeals shall be processed under both Acts. C3.1.9.1.3. Requesters who seek records about themselves that are not contained in a Privacy Act system of records, and who cite or imply only the Privacy Act, will have their requests processed under the provisions of Reference (d)), since the access provisions of this Regulation do not apply. Appeals shall be processed under the FOIA. C3.1.9.1.4. Requesters who seek records about themselves that are contained in a Privacy Act system of records, and who cite or imply FOIA or both Acts, will have their requests processed under the provisions of this Regulation and Reference (d). If the system of records is exempt from the access provisions of this Regulation, and if the records, or any portion thereof, are exempt under FOIA, the requester shall be advised and informed of the appropriate Privacy and FOIA exemptions. Appeals shall be processed under both Acts. C3.1.9.1.5. Requesters who seek records about themselves that are not contained in a Privacy Act system of records, and who cite or imply the Privacy Act and FOIA, will have their requests processed under Reference (d), since the access provisions of this Regulation do not apply. Appeals shall be processed under FOIA. C3.1.9.2. Do not deny individuals’ access to personal information concerning them that would otherwise be releasable to them under either Act solely because they fail to cite or imply either Act or cite the wrong Act, Regulation, or Instruction. C3.1.9.3. Explain to the requester which Act(s) was(were) used when granting or denying access under either Act. C3.1.10. Time Limits. DoD Components normally shall provide access within 20 working days after receipt of the request. If access cannot be given within the 20 working day period, the requester shall be notified in an interim response. C3.1.11. Privacy Act Case File. Establish a Privacy Act case file, when required. See paragraph C3.3.16 of this Chapter. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 27 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 3 27 C3.2. DENIAL OF INDIVIDUAL ACCESS C3.2.1. Denying Individual Access C3.2.1.1. An individual may be denied access to a record pertaining to him or her only if the record: C3.2.1.1.1. Was compiled in reasonable anticipation of a civil action or proceeding. See paragraph C5.2 of Chapter 5. C3.2.1.1.2. Is in a system of records that has been exempted from the access provisions of this Regulation under one of the permitted exemptions. See paragraphs 5.3 and 5.4 of Chapter 5. C3.2.1.1.3. Contains classified information that has been exempted from the access provisions of this Regulation under the blanket exemption for such material claimed for all DoD records systems. See paragraph C5.1.3. of Chapter 5. C3.2.1.1.4. Is contained in a system of records for which access may be denied under some other Federal statute that excludes the record from coverage of Reference (b). C3.2.1.2. Where a basis for denial exists, do not deny the record, or portions of the record, if denial does not serve a legitimate governmental purpose. C3.2.2. Other Reasons to Refuse Access C3.2.2.1. An individual may be refused access if: C3.2.2.1.1. The record is not described well enough to enable it to be located with a reasonable amount of effort on the part of an employee familiar with the file; or C3.2.2.1.2. Access is sought by an individual who fails or refuses to comply with the established procedural requirements, including refusing to name a physician to receive medical records, when required, (see paragraph C3.1.6 of this Chapter), or to pay fees (see section C3.4 of this Chapter). C3.2.2.2. Always explain to the individual the specific reason access has been refused and how he or she may obtain access. C3.2.3. Notifying the Individual. Formal denials of access must be in writing and include at a minimum: C3.2.3.1. The name, title or position, and signature of a designated Component denial authority; C3.2.3.2. The date of the denial; Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 28 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 3 28 C3.2.3.3. The specific reason for the denial, including specific citations to the appropriate sections of the Privacy Act or other statutes, this Regulation, DoD Component instructions, or Code of Federal Regulations (CFR) authorizing the denial; C3.2.3.4. Notice to the individual of his or her right to appeal the denial through the Component appeal procedure within 60 calendar days; and C3.2.3.5. The title or position and address of the Privacy Act appeals official for the Component. C3.2.4. DoD Component Appeal Procedures. Establish internal appeal procedures that, at a minimum, provide for: C3.2.4.1. Review by the Head of the Component, or his or her designee, of any appeals by an individual from a denial of access to Component records. C3.2.4.2. Formal written notification to the individual by the appeal authority that shall: C3.2.4.2.1. Include, at a minimum, the following, if the denial is sustained totally or in part: C3.2.4.2.1.1. The exact reason for denying the appeal, to include specific citations to the provisions of the Act or other statutes, this Regulation, Component instructions, or the CFR upon which the determination is based; C3.2.4.2.1.2. The date of the appeal determination; C3.2.4.2.1.3. The name, title, and signature of the appeal authority; and C3.2.4.2.1.4. A statement informing the applicant of his or her right to seek judicial relief. C3.2.4.2.2. If the appeal is granted, notify the individual and provide access to the material to which access has been granted. C3.2.4.3. The written appeal notification granting or denying access is the final Component action regarding access. C3.2.4.4. The individual shall file any appeal from denial of access within no less than 60 calendar days of receipt of the denial notification. C3.2.4.5. Process all appeals within 30 days of receipt, unless the appeal authority determines that a fair and equitable review cannot be made within that period. Notify the applicant in writing if additional time is required for the appellate review. The notification must include the reasons for the delay and state when the individual may expect an answer to the appeal. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 29 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 3 29 C3.2.5. Denial of Appeals by Failure to Act. A requester may consider his or her appeal formally denied if the appeal authority fails: C3.2.5.1. To act on the appeal within 30 days; C3.2.5.2. To provide the requester with a notice of extension within 30 days; or C3.2.5.3. To act within the time limits established in the Component’s notice of extension. See paragraph C3.2.4.5 of this Chapter. C3.2.6. Denying Access to OPM Records Held by the DoD Components C3.2.6.1. The records in all systems of records maintained in accordance with the OPM Government-wide system notices are technically only in the temporary custody of the Department of Defense. C3.2.6.2. All requests for access to these records must be processed in accordance with part 297 of Reference (e) as well as applicable Component procedures. C3.2.6.3. When a DoD Component refuses to grant access to a record in an OPM system, the Component shall advise the individual that his or her appeal must be directed to the Assistant Director for Workforce Information, Personnel Systems and Oversight Group, U.S. Office of Personnel Management, 1900 E Street, N.W., Washington, D.C. 20415, in accordance with the procedures of part 297 of Reference (e). C3.3. AMENDMENT OF RECORDS C3.3.1. Individual Review and Correction. Individuals are encouraged to periodically review the personal information being maintained about them by the DoD Components and to avail themselves of the procedures established by this Regulation and other Regulations to update their records. C3.3.2. Amending Records C3.3.2.1. An individual may request the amendment of any record contained in a system of records pertaining to him or her unless the system of record has been exempted specifically from the amendment procedures of this Regulation under paragraph C5.1.2 of Chapter 5. Normally, amendments under this Regulation are limited to correcting factual matters and not matters of official judgment, such as performance ratings, promotion potential, and job performance appraisals. C3.3.2.2. While a Component may require that the request for amendment be in writing, this requirement shall not be used to discourage individuals from requesting valid amendments, or to unnecessarily delay the amendment process. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 30 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 3 30 C3.3.2.3. A request for amendment must include: C3.3.2.3.1. A description of the item or items to be amended; C3.3.2.3.2. The specific reason for the amendment; C3.3.2.3.3. The type of amendment action sought (deletion, correction, or addition); and C3.3.2.3.4. Copies of available documentary evidence supporting the request. C3.3.3. Burden of Proof. The applicant must adequately support his or her claim. C3.3.4. Identification of Requesters C3.3.4.1. Individuals may be required to provide identification to ensure that they are indeed seeking to amend a record pertaining to themselves and not, inadvertently or intentionally, the records of others. C3.3.4.2. The identification procedures shall not be used to discourage legitimate requests or to needlessly burden or delay the amendment process. (See paragraph C3.1.3. of this Chapter.) C3.3.5. Limits on Attacking Evidence Previously Submitted C3.3.5.1. The amendment process is not intended to permit the alteration of records presented in the course of judicial or quasi-judicial proceedings. Any amendments or changes to these records are typically made through the specific procedures established for the amendment of such records. C3.3.5.2. Nothing in the amendment process is intended or designed to permit a collateral attack upon what has already been the subject of a judicial or quasi-judicial determination. However, while the individual may not attack the accuracy of the judicial or quasi-judicial determination under this Regulation, he or she may challenge the accuracy of the recording of that action. C3.3.6. Sufficiency of a Request to Amend. Consider the following factors when evaluating the sufficiency of a request to amend: C3.3.6.1. The accuracy of the information itself; and C3.3.6.2. The relevancy, timeliness, completeness, and necessity of the recorded information. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 31 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 3 31 C3.3.7. Time Limits C3.3.7.1. Provide written acknowledgment of a request to amend within 10 working days of its receipt by the appropriate systems manager. If the action is completed within 10 working days and the individual is so informed, the request does not need to be acknowledged. C3.3.7.2. The letter of acknowledgment shall clearly identify the request and advise the individual when he or she may expect to be notified of the completed action. C3.3.7.3. Only under the most exceptional circumstances shall more than 30 days be required to reach a decision on a request to amend. Document fully and explain in the Privacy Act case file (see paragraph C3.3.16 of this Chapter) any such decision that takes more than 30 days to resolve. C3.3.8. Agreement to Amend. If the decision is made to grant all or part of the request for amendment, amend the record accordingly and notify the requester. C3.3.9. Notification of Previous Recipients C3.3.9.1. Notify all previous recipients of the record, as reflected in the disclosure accounting records, that an amendment has been made and the substance of the amendment. Recipients who are known to be no longer retaining the information need not be advised of the amendment. All DoD Components and Federal Agencies known to be retaining the record or information, even if not reflected in a disclosure record, shall be notified of the amendment. Advise the requester of these notifications. C3.3.9.2. Honor all requests by the requester to notify specific Federal Agencies of the amendment action. C3.3.10. Denying Amendment. If the request for amendment is denied in whole or in part, promptly advise the individual, in writing, of the decision, to include: C3.3.10.1. The specific reason and authority for not amending; C3.3.10.2. Notification that he or she may seek further independent review of the decision by the Head of the DoD Component or his or her designee; C3.3.10.3. The procedures for appealing the decision citing the position and address of the official to whom the appeal shall be addressed; and C3.3.10.4. Where he or she can receive assistance in filing the appeal. C3.3.11. DoD Component Appeal Procedures. Establish procedures to ensure the prompt, complete, and independent review of each amendment denial upon appeal by the individual. These procedures must ensure that: Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 32 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 3 32 C3.3.11.1. The appeal with all supporting materials both that furnished the individual and that are contained in Component records is provided to the reviewing official; and C3.3.11.2. If the appeal is denied completely or in part, the individual is notified, in writing, by the reviewing official that: C3.3.11.2.1. The appeal has been denied and the specific reason and authority for the denial; C3.3.11.2.2. The individual may file a statement of disagreement with the appropriate authority and the procedures for filing a statement; C3.3.11.2.3. If filed properly, the statement of disagreement shall be included in the records, furnished to all future recipients of the records, and provided to all prior recipients of the disputed records who are known to hold the record; and C3.3.11.2.4. The individual may seek a judicial review of the decision not to amend. C3.3.11.3. If the record is amended, ensure that: C3.3.11.3.1. The requester is promptly notified of the decision; C3.3.11.3.2. All prior known recipients of the records who are known to be retaining the record are notified of the decision and the specific nature of the amendment (see paragraph C3.3.9 of this Chapter); and C3.3.11.3.3. The requester is notified which DoD Components and Federal Agencies have been told of the amendment. C3.3.11.4. Process all appeals within 30 days unless the appeal authority determines that a fair review cannot be made within this time limit. If additional time is required for the appeal, notify the requester, in writing, of the delay, the reason for the delay, and when he or she may expect a final decision on the appeal. Document fully all requirements for additional time in the Privacy Act case file. See paragraph C3.3.16. of this Chapter. C3.3.12. Denying Amendment of OPM Records Held by the DoD Components C3.3.12.1. The records in all systems of records controlled by the OPM Government-wide system notices are technically only temporarily in the custody of the Department of Defense. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 33 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 3 33 C3.3.12.2. All requests for amendment of these records must be processed in accordance with Part 297 of Reference (e). The Component denial authority may deny a request. However, when an amendment request is denied, the DoD Component shall advise the individual that his or her appeal must be directed to the Assistant Director for Workforce Information, Personnel Systems and Oversight Group, U.S. Office of Personnel Management, 1900 E Street N.W., Washington, DC 20415, in accordance with the procedures of 297 (Reference (e)). C3.3.13. Statements of Disagreement Submitted by Individuals C3.3.13.1. If the appellate authority refuses to amend the record as requested, the individual may submit a concise statement of disagreement setting forth his or her reasons for disagreeing with the decision not to amend. C3.3.13.2. If an individual chooses to file a statement of disagreement, annotate the record to indicate that the statement has been filed. See paragraph C3.3.14. of this Chapter. C3.3.13.3. Furnish copies of the statement of disagreement to all DoD Components and Federal Agencies that have been provided copies of the disputed information and who may be maintaining the information. C3.3.14. Maintaining Statements of Disagreement C3.3.14.1. When possible, incorporate the statement of disagreement into the record. C3.3.14.2. If the statement cannot be made a part of the record, establish procedures to ensure that it is apparent from the records that a statement of disagreement has been filed and maintain the statement so that it can be obtained readily when the disputed information is used or disclosed. C3.3.14.3. Automated record systems that are not programmed to accept statements of disagreement shall be annotated or coded so that they clearly indicate that a statement of disagreement is on file, and clearly identify the statement with the disputed information in the system. C3.3.14.4. Provide a copy of the statement of disagreement whenever the disputed information is disclosed for any purpose. C3.3.15. The DoD Component Statement of Reasons for Refusing to Amend C3.3.15.1. A statement of reasons for refusing to amend may be included with any record for which a statement of disagreement is filed. C3.3.15.2. Include in this statement only the reasons furnished to the individual for not amending the record. Do not comment on or respond to comments contained in the statement of disagreement. Normally, both statements are filed together. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 34 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 3 34 C3.3.15.3. When disclosing information for which a statement of reasons has been filed, a copy of the statement may be released whenever the record and the statement of disagreement are disclosed. C3.3.16. Privacy Case Files C3.3.16.1. Establish a separate Privacy Case File to retain the documentation received and generated during the amendment or access process. C3.3.16.2. The Privacy Case File shall contain as a minimum: C3.3.16.2.1. The request for amendment and access; C3.3.16.2.2. Copies of the DoD Component’s reply granting or denying the request; C3.3.16.2.3. Any appeals from the individual; C3.3.16.2.4. Copies of the action regarding the appeal with supporting documentation that is not in the basic file; and C3.3.16.2.5. Any other correspondence generated in processing the appeal, to include coordination documentation. C3.3.16.3. Only the items listed in subparagraphs C3.3.16.4. and C3.3.16.5. of this Chapter may be included in the system of records challenged for amendment or for which access is sought. Do not retain copies of the original record in the basic record system if the request for amendment is granted and the record has been amended. C3.3.16.4. The following items relating to an amendment request may be included in the disputed record system: C3.3.16.4.1. Copies of the amended record. C3.3.16.4.2. Copies of the individual’s statement of disagreement. See paragraph C3.3.13. of this Chapter. C3.3.16.4.3. Copies of the Component’s statement of reasons for refusing to amend. See paragraph C3.3.15. of this Chapter. C3.3.16.4.4. Supporting documentation submitted by the individual. C3.3.16.5. The following items relating to an access request may be included in the basic records system: C3.3.16.5.1. Copies of the request; Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 35 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 3 35 C3.3.16.5.2. Copies of the Component’s action granting total or partial access (a separate Privacy case file need not be created in such cases); C3.3.16.5.3. Copies of the Component’s action denying access; C3.3.16.5.4. Copies of any appeals filed; and C3.3.16.5.5. Copies of the reply to the appeal. C3.3.16.6. Privacy case files shall not be furnished or disclosed to anyone for use in making any determination about the individual other than determinations made under this Regulation. C3.4. REPRODUCTION FEES C3.4.1. Assessing Fees C3.4.1.1. Charge the individual only the direct cost of reproduction. C3.4.1.2. Do not charge reproduction fees if copying is: C3.4.1.2.1. The only means to make the record available to the individual (for example, a copy of the record must be made to delete classified information). C3.4.1.2.2. For the convenience of the DoD Component (for example, the Component has no reading room where an individual may review the record, or reproduction is done to keep the original in the Component’s file). C3.4.1.2.3. No fees shall be charged when the record may be obtained without charge under any other Regulation, Directive, or statute. C3.4.1.2.4. Do not use fees to discourage requests. C3.4.2. No Minimum Fees Authorized. Use fees only to recoup direct reproduction costs associated with granting access. Minimum fees for duplication are not authorized and there is no automatic charge for processing a request. C3.4.3. Prohibited Fees. Do not charge or collect fees for: C3.4.3.1. Search and retrieval of records; C3.4.3.2. Review of records to determine releasability; C3.4.3.3. Copying records for the DoD Component convenience, or when the individual has not specifically requested a copy; Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 36 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 3 36 C3.4.3.4. Transportation of records and personnel; or C3.4.3.5. Normal postage. C3.4.4. Waiver of Fees C3.4.4.1. Normally, fees are waived automatically if the direct costs of a given request are less than $30. This fee waiver provision does not apply when a waiver has been granted to the individual before, and later requests appear to be an extension or duplication of that original request. A DoD Component may, however, set aside this automatic fee waiver provision when, on the basis of good evidence, it determines that the waiver of fees is not in the public interest. C3.4.4.2. Decisions to waive or reduce fees that exceed the automatic waiver threshold shall be made on a case-by-case basis. C3.4.5. Fees for Members of Congress. Do not charge members of Congress for copying records furnished, even when the records are requested under the Privacy Act on behalf of a constituent. See paragraph C4.2.11 of Chapter 4. When replying to a constituent inquiry and the fees involved are substantial, consider suggesting to the Congressman that the constituent can obtain the information directly by writing to the appropriate offices and paying the costs. When practical, suggest to the Congressman that the record can be examined at no cost if the constituent wishes to visit the custodian of the record. C3.4.6. Reproduction Fees Computation. Compute fees using the appropriate portions of the fee schedule in Reference (d). Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 37 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 4 37 C4. CHAPTER 4 DISCLOSURE OF PERSONAL INFORMATION TO OTHER AGENCIES AND THIRD PARTIES C4.1. CONDITIONS OF DISCLOSURE C4.1.1. Disclosures to Third Parties C4.1.1.1. The Privacy Act only compels disclosure of records from a system of records to the individuals to whom they pertain unless the records are contained in a system for which an exemption to the access provisions of this Regulation has been claimed. C4.1.1.2. Requests by other individuals (third parties) for the records of individuals that are contained in a system of records shall be processed under Reference (d), except for requests by the parents of a minor, or the legal guardian of an individual, for access to the records pertaining to the minor or individual. C4.1.2. Disclosures among the DoD Components. For the purposes of disclosure and disclosure accounting, the Department of Defense is considered a single agency. See paragraph C4.2.1. of this Chapter. C4.1.3. Disclosures outside the Department of Defense. Do not disclose personal information from a system of records outside the Department of Defense unless: C4.1.3.1. The record has been requested by the individual to whom it pertains; C4.1.3.2. The written consent of the individual to whom the record pertains has been obtained for release of the record to the requesting Agency, activity, or individual; or C4.1.3.3. The release is authorized pursuant to one of the specific non-consensual conditions of disclosure as set forth in section C4.2. of this Chapter. C4.1.4. Validation before Disclosure. Except for releases made in accordance with Reference (d), the following steps shall be taken before disclosing any records to any recipient outside the Department of Defense, other than a Federal Agency or the individual to whom it pertains: C4.1.4.1. Ensure that the records are accurate, timely, complete, and relevant for agency purposes; C4.1.4.2. Contact the individual, if reasonably available, to verify the accuracy, timeliness, completeness, and relevancy of the information, if this cannot be determined from the record; or Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 38 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 4 38 C4.1.4.3. If the information is not current and the individual is not reasonably available, advise the recipient that the information is believed accurate as of a specific date and any other known factors bearing on its accuracy and relevancy. C4.2. NON-CONSENSUAL CONDITIONS OF DISCLOSURES C4.2.1. Disclosures within the Department of Defense C4.2.1.1. Records pertaining to an individual may be disclosed to a DoD official or employee provided: C4.2.1.1.1. The requester has a need for the record in the performance of his or her assigned duties. The requester shall articulate in sufficient detail why the records are required so that the custodian of the records may make an informed decision regarding their release; C4.2.1.1.2. The intended use of the record generally relates to the purpose for which the record is maintained; and C4.2.1.1.3. Only those records as are minimally required to accomplish the intended use are disclosed. The entire record is not released if only a part of the record will be responsive to the request. C4.2.1.2. Rank, position, or title alone does not authorize access to personal information about others. C4.2.2. Disclosures Required by FOIA (Reference (p)) C4.2.2.1. All records must be disclosed if their release is required by Reference (p), as implemented by Reference (d). The FOIA requires that records be made available to the public unless withholding is authorized pursuant to one of nine exemptions or one of three law enforcement exclusions under the Act. C4.2.2.1.1. The DoD Component must be in receipt of a FOIA request and a determination made that the records are not withholdable pursuant to a FOIA exemption or exclusion before the records may be disclosed. C4.2.2.1.2. Records that have traditionally been held to be in the public domain or which are required to be disclosed to the public, such as press releases, may be disclosed whether or not a FOIA request has been received. C4.2.2.2. The standard for exempting most personal records, such as personnel, medical, and similar records, is FOIA Exemption 6 (paragraph C3.2.1.6. of Reference (d)). Under that exemption, records can be withheld when disclosure, if other than to the individual about whom the information pertains, would result in a clearly unwarranted invasion of the individual’s personal privacy. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 39 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 4 39 C4.2.2.3. The standard for exempting personal records compiled for law enforcement purposes, including personnel security investigation records, is FOIA Exemption 7(C) (C3.2.1.7.1.3. of Reference (d)). Under that exemption, records can be withheld when disclosure, if other than to the individual about whom the information pertains, would result in an unwarranted invasion of the individual’s personal privacy. C4.2.2.4. If records or information are exempt from disclosure pursuant to the standards set forth in subparagraphs C4.2.2.2. and/or C4.2.2.3., and the records are contained in a system of records (See Chapter 1 of this Regulation), Reference (b) prohibits release. C4.2.2.5. Personal Information That Is Normally Releasable C4.2.2.5.1. DoD Civilian Employees C4.2.2.5.1.1. Some examples of personal information regarding DoD civilian employees that normally may be released without a clearly unwarranted invasion of personal privacy include: C4.2.2.5.1.1.1. Name. C4.2.2.5.1.1.2 Present and past position titles. C4.2.2.5.1.1.3. Present and past grades. C4.2.2.5.1.1.4. Present and past annual salary rates. C4.2.2.5.1.1.5. Present and past duty stations. C4.2.2.5.1.1.6. Office and duty telephone numbers. C4.2.2.5.1.1.7. Position Descriptions. C4.2.2.5.1.2. All disclosures of personal information regarding Federal civilian employees shall be made in accordance with OPM release policies. See Part 293.311 of Reference (e). C4.2.2.5.2. Military Members C4.2.2.5.2.1.While it is not possible to identify categorically information that must be released or withheld from military personnel records in every instance, the following items of personal information regarding individual military members normally may be disclosed without a clearly unwarranted invasion of their personal privacy: C4.2.2.5.2.1.1. Full name. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 40 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 4 40 C4.2.2.5.2.1.2. Rank. C4.2.2.5.2.1.3 Date of rank. C4.2.2.5.2.1.4. Gross salary. C4.2.2.5.2.1.5. Past duty assignments. C4.2.2.5.2.1.6. Present duty assignment. C4.2.2.5.2.1.7. Future assignments that are officially established. C4.2.2.5.2.1.8. Office or duty telephone numbers. C4.2.2.5.2.1.9. Source of commission. C4.2.2.5.2.1.10. Promotion sequence number. C4.2.2.5.2.1.11. Awards and decorations. C4.2.2.5.2.1.12. Attendance at professional military schools. C4.2.2.5.2.1.13. Duty status at any given time. C4.2.2.5.2.1.14. Home of record (identification of the state only). C4.2.2.5.2.1.15. Length of military service C4.2.2.5.2.1.16. Basic Pay Entry Date C4.2.2.5.2.1.17. Official Photo C4.2.2.5.2.2 All disclosures of personal information regarding military members shall be made in accordance with Reference (d). C4.2.2.5.3. Civilian Employees Not Under the Authority of OPM C4.2.2.5.3.1. While it is not possible to identify categorically those items of personal information that must be released regarding civilian employees not subject to Reference (e), such as nonappropriated fund employees, normally the following items may be released without a clearly unwarranted invasion of personal privacy: C4.2.2.5.3.1.1. Full name. C4.2.2.5.3.1.2. Grade or position. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 41 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 4 41 C4.2.2.5.3.1.3. Date of grade. C4.2.2.5.3.1.4. Gross salary. C4.2.2.5.3.1.5. Present and past assignments. C4.2.2.5.3.1.6. Future assignments, if officially established. C4.2.2.5.3.1.7. Office or duty telephone numbers. C4.2.2.5.3.2. All releases of personal information regarding civilian personnel in this category shall be made in accordance with Reference (d). C4.2.2.6. When military or civilian personnel are assigned, detailed, or employed by the National Security Agency, the Defense Intelligence Agency, the National Reconnaissance Office, or the National Geospatial-Intelligence agency, information about such personnel may only be disclosed as authorized by Public Law 86-36 (1959 ) (Reference (q)) and Section 424 of 10 U.S.C. (Reference (r)). When military and civilian personnel are assigned, detailed or employed by an overseas unit, a sensitive unit, or to a routinely deployable unit, information about such personnel may only be disclosed as authorized by section 130b of Reference (r). C4.2.2.7. Information about military or civilian personnel that otherwise may be disclosable consistent with subparagraph C4.2.2.5. may not be releasable if a requester seeks listings of personnel currently or recently assigned/detailed/employed within a particular component, unit, organization, or office with the Department of Defense, if the disclosure of such a list would pose a privacy or security threat. C4.2.3. Disclosures for Established Routine Uses C4.2.3.1. Records may be disclosed outside the Department of Defense pursuant to a routine use that has been established for the system of records that contains the records. C4.2.3.2. A routine use shall: C4.2.3.2.1. Be compatible with the purpose for which the record was collected; C4.2.3.2.2. Identify the persons or organizations to whom the record may be released; C4.2.3.2.3. Identify specifically the intended uses of the information by the persons or organization; and C4.2.3.2.4. Have been published in the Federal Register. See paragraph C6.3.9 of Chapter 6. C4.2.3.3. If a Federal statute or an Executive Order of the President directs that records contained in a system of records be disclosed outside the Department of Defense, the statute or Executive Order serves as authority for the establishment of a routine use. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 42 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 4 42 C4.2.3.4. New or altered routine uses must be published in the Federal Register at least 30 days before any records may be disclosed pursuant to the terms of the routine use (see Chapter 6). C4.2.3.5. In addition to the specific routine uses established for each of the individual system notices, blanket routine uses have been established (see Appendix 3) that are applicable to all DoD system of records. However, in order for the blanket routine uses to apply to a specific system of records, the system notice shall expressly state that the blanket routine uses apply. These blanket routine uses are published only at the beginning of the listing of system notices for each Component in the Federal Register. C4.2.4. Disclosures to the Bureau of the Census. Records in DoD systems of records may be disclosed without the consent of the individuals to whom they pertain to the Bureau of the Census for purposes of planning or carrying out a census survey or related activities pursuant to the provisions of section 6 of 13 U.S.C. (Reference (s)). C4.2.5. Disclosures for Statistical Research or Reporting C4.2.5.1. Records may be disclosed for statistical research or reporting but only after the intended recipient provides, in writing, the purpose for which the records are sought and assurances that the records will be used only for statistical research or reporting purposes. C4.2.5.2. The records shall be transferred to the requester in a form that is not individually identifiable. DoD Components disclosing records under this provision are required to assure that information being disclosed cannot reasonably be used in any way to make determinations about individuals. C4.2.5.3. The records will not be used, in whole or in part, to make any determination about the rights, benefits, or entitlements of specific individuals. C4.2.5.4. The written statement by the requester shall be made part of the Component’s accounting of disclosures. See paragraph C4.5.1 of this Chapter. C4.2.6. Disclosures to the National Archives and Records Administration (NARA), General Services Administration (GSA). C4.2.6.1. Records may be disclosed to the NARA: C4.2.6.1.1. If they have historical or other value to warrant continued preservation; or C4.2.6.1.2. For evaluation by the Archivist of the United States, or his or her designee, to determine if a record has such historical or other value. C4.2.6.2. Records transferred to a Federal Records Center (FRC) for safekeeping and storage do not fall within this category. These records are owned by the Component and remain under the control of the transferring Component. FRC personnel are considered agents of the Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 43 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 4 43 Component that retains control over the records. No disclosure accounting is required for the transfer of records to the FRCs. C4.2.7. Disclosures for Law Enforcement Purposes C4.2.7.1. Records may be disclosed to another Agency or an instrumentality of any Governmental jurisdiction within or under control of the United States for a civil or criminal law enforcement activity, provided: C4.2.7.1.1. The civil or criminal law enforcement activity is authorized by law. C4.2.7.1.2. The head of the law enforcement activity or a designee has made a written request specifying the particular records desired and the law enforcement purpose (such as criminal investigations, enforcement of a civil law, or a similar purpose) for which the record is sought; and. C4.2.7.1.3. There is no Federal statute that prohibits the disclosure of the records. C4.2.7.2. Blanket requests for any and all records pertaining to an individual shall not be honored absent justification. C4.2.7.3. When a record is released to a law enforcement activity under this subparagraph, the disclosure accounting (See paragraph C4.5 of this chapter) for the release shall not be made available to the individual to whom the record pertains if the law enforcement activity requests that the disclosure not be disclosed. C4.2.7.4. The blanket routine use for law enforcement (Appendix 3, section AP3.1.) applies to all DoD Component systems notices. See paragraph C4.2.3.5. of this Chapter. This permits Components, on their own initiative, to report indications of violations of law found in a system of records to a law enforcement activity C4.2.7.5. Disclosures may be made to Federal, State, or local but not foreign law enforcement agencies. Disclosures to Foreign law enforcement agencies may be made if a routine use has been established for the system of records from which the records are to be released. C4.2.8. Emergency Disclosures C4.2.8.1. Records may be disclosed if disclosure is made under compelling circumstances affecting the health or safety of any individual. The affected individual need not be the subject of the record disclosed. C4.2.8.2. When such a disclosure is made, the Component shall notify the individual who is the subject of the record. Notification sent to the last known address of the individual as known to the Component is sufficient. C4.2.8.3. The specific data to be disclosed is at the discretion of the Component. C4.2.8.4. Emergency medical information may be released by telephone. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 44 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 4 44 C4.2.9. Disclosures to Congress C4.2.9.1. Records may be disclosed to either House of the Congress or to any committee, joint committee or subcommittee of Congress if the release pertains to a matter within the jurisdiction of the committee. Disclosure is only authorized when in response to an official request on behalf of either House, committee, subcommittee, or joint committee. C4.2.9.2. Requests from members of Congress who are seeking records in their individual capacity or on behalf of a constituent . C4.2.9.2.1. Requests made in their individual capacity. Request for records shall be processed under the provisions of Reference (d). C4.2.9.2.2. Requests made on behalf of constituents. C4.2.9.2.2.1. The blanket routine use for “Congressional Inquiries” (see Appendix 3, section AP3.4.) applies to all systems. When an individual requests the assistance of the Congressional member, the blanket routine use permits the disclosure of records pertaining to the individual without the express written consent of the individual. C4.2.9.2.2.2. If necessary, accept constituent letters requesting a member of Congress to investigate a matter pertaining to the individual as written authorization to provide access to the records to the congressional member or his or her staff. C4.2.9.2.2.3. When a Congressional inquiry indicates that the request is being made on the basis of a request from the individual to whom the record pertains, consent can be inferred, even if the constituent request is not provided the Component. The verbal statement by a Congressional staff member is acceptable to establish that a request has been received by the Member of Congress from the person to whom the records pertain. C4.2.9.2.2.4. If the constituent inquiry is being made on behalf of someone other than the individual to whom the record pertains, the Member of Congress shall be provided only that information releasable under Reference (d). Advise the Congressional member that the written consent of the individual to whom the record pertains is required before any additional information may be disclosed. Do not contact individuals to obtain their consents for release to Congressional members unless a Congressional office specifically requests that this be done. C4.2.9.2.2.5. Nothing in subparagraph C4.2.9.2.2.1. of this Chapter prohibits a Component, when appropriate, from providing the record directly to the individual and notifying the Congressional office that this has been done without providing the record to the Congressional member. C4.2.9.3. See paragraph C3.4.5. of Chapter 3 for the policy on assessing fees for Members of Congress. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 45 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 4 45 C4.2.9.4. Make a disclosure accounting each time a record is disclosed to either House of Congress, to any committee, joint committee, or subcommittee of Congress, or to any congressional member. C4.2.10. Disclosures to the General Accountability Office. Records may be disclosed to the Comptroller General, or any of his authorized representatives, in the course of the performance of the duties of the General Accountability Office. C4.2.11. Disclosures under Court Orders C4.2.11.1. Records may be disclosed without the consent of the person to whom they pertain under a court order signed by a judge of a court of competent jurisdiction. C4.2.11.2. When a record is disclosed under this provision, make reasonable efforts to notify the individual to whom the record pertains, if the legal process is a matter of public record. C4.2.11.3. If the process is not a matter of public record at the time it is issued, seek information as to when the process is to be made public and make reasonable efforts to notify the individual at that time. C4.2.11.4. Notification sent to the last known address of the individual as reflected in the records is considered a reasonable effort to notify. C4.2.11.5. Make a disclosure accounting each time a record is disclosed under a court order or compulsory legal process. C4.2.12. Disclosures to Consumer Reporting Agencies C4.2.12.1. Certain personal information may be disclosed to consumer reporting agencies, as provided by Reference (k). C4.2.12.2. Upon compliance with the requirements of Reference (k), the following information may be disclosed to a consumer reporting agency: C4.2.12.2.1. Name, address, taxpayer identification number (SSN), and other information necessary to establish the identity of the individual. C4.2.12.2.2. The amount, status, and history of the claim. C4.2.12.2.3. The Agency or program under which the claim arose. C4.2.12.3. Reference (k) requires that the system notice for the system of records from which the information will be disclosed indicate that the information may be disclosed to a consumer reporting agency. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 46 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 4 46 C4.3. DISCLOSURES TO COMMERCIAL ENTERPRISES C4.3.1. General Policy C4.3.1.1. Make releases of personal information as authorized under the criteria established by Reference (d). C4.3.1.2. The relationship of commercial enterprises to their clients or customers and to the Department of Defense is not changed by this Regulation. C4.3.1.3. The DoD policy on personal indebtedness for military personnel is contained in DoD Directive 1344.9 (Reference (t)) and for civilian employees in Part 735 of Reference (e). C4.3.2. Release of Personal Information C4.3.2.1. Any information that must be released under Reference (d) may be released to a commercial enterprise without the individual’s consent. See paragraph C4.2.2. of this Chapter. C4.3.2.2. Commercial enterprises may present a signed consent statement setting forth specific conditions for release of personal information. Statements such as the following, if signed by the individual, are considered valid: “I hereby authorize the Department of Defense to verify my Social Security Number or other identifying information, and to disclose my home address and telephone number to authorized representatives of [name of commercial enterprise], so that they may use this information in connection with my commercial dealings with that enterprise. All information furnished shall be used in connection with my financial relationship with [name of commercial enterprise].” C4.3.2.3. When a statement of consent as outlined in paragraph C4.3.2.2. of this Chapter is presented, provide the requested information, if its release is not prohibited by some other regulation or statute. C4.3.2.4. Blanket statements of consent that do not identify the Department of Defense or any of its Components, or that do not specify exactly the type of information to be released, may be honored if it is clear that the individual in signing the consent statement intended to obtain a personal benefit (for example, a loan to buy a house) and was aware of the type information that would be sought. Care should be exercised in these situations to release only the minimum amount of personal information essential to obtain the benefit sought. C4.3.2.5. Do not honor requests from commercial enterprises for official evaluation of personal characteristics, such as evaluation of personal financial habits. C4.4. DISCLOSURES TO THE PUBLIC FROM MEDICAL RECORDS C4.4.1. Disclosures from medical records are not only governed by the requirement of this regulation but also by the disclosure provisions of Reference (o). Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 47 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 4 47 C4.4.2. Any medical records that are subject to both this regulation and Reference (o) may only be disclosed if disclosure is authorized under both regulations. If disclosure is permitted under this Regulation (e.g., pursuant to a routine use), but the disclosure is not authorized under Reference (o), disclosure is not authorized. If a disclosure is authorized under Reference (o) (e.g., releases outside the Department of Defense), but the disclosure is not authorized under this regulation, disclosure is not authorized. C4.5. DISCLOSURE ACCOUNTING C4.5.1. Disclosure Accountings C4.5.1.1. Keep an accurate record of all disclosures made from any system of records except disclosures: C4.5.1.1.1. To DoD personnel for use in the performance of their official duties; or C4.5.1.1.2. Under Reference (p). C4.5.1.2. In all other cases, a disclosure accounting is required, even if the individual has consented to the disclosure of the information. C4.5.1.3. Disclosure accountings: C4.5.1.3.1. Permit individuals to determine to whom information has been disclosed; C4.5.1.3.2. Enable the activity to notify past recipients of disputed or corrected information (paragraphs C3.3.9. of Chapter 3); and C4.5.1.3.3. Provide a method of determining compliance with paragraph C4.1.3. of this Chapter. C4.5.2. Contents of Disclosure Accounts. At a minimum, disclosure accounting shall contain: C4.5.2.1. The date of the disclosure; C4.5.2.2. A description of the information released; C4.5.2.3. The purpose of the disclosure; and C4.5.2.4. The name and address of the person or Agency to whom the disclosure was made. C4.5.3. Methods of Disclosure Accounting. Use any system of disclosure accounting that shall provide readily the necessary disclosure information. See paragraph C4.5.1.3. of this Chapter. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 48 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 4 48 C4.5.4. Accounting for Mass Disclosures. When numerous similar records are released, identify the category of records disclosed and include the data required by paragraph C4.5.2. of this Chapter in a form that can be used to construct an accounting disclosure record for individual records if required. See subparagraph C4.5.1.3. of this Chapter. C4.5.5. Disposition of Disclosure Accounting Records. Retain disclosure accounting records for 5 years after the disclosure or the life of the record, whichever is longer. C4.5.6. Furnishing Disclosure Accountings to the Individual C4.5.6.1. Make available to the individual to whom the record pertains all disclosure accountings except when: C4.5.6.1.1. The disclosure has been made to a law enforcement activity under paragraph C4.2.7. of this Chapter and the law enforcement activity has requested that disclosure not be made; or C4.5.6.1.2. The system of records has been exempted from the requirement to furnish the disclosure accounting under the provisions of paragraph C5.1.2. of Chapter 5. C4.5.6.2. If disclosure accountings are not maintained with the record and the individual requests access to the accounting, prepare a listing of all disclosures. See paragraph C4.5.2. this Chapter, and provide this to the individual upon request. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 49 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 5 49 C5. CHAPTER 5 EXEMPTIONS C5.1. USE AND ESTABLISHMENT OF EXEMPTIONS C5.1.1. Types of Exemptions C5.1.1.1. There are three types of exemptions permitted by Reference (b). C5.1.1.1.1. An access exemption (section 552a(d)(5) of (Reference (b)) that exempts records compiled in reasonable anticipation of a civil action or proceeding from the access provisions of the Act. C5.1.1.1.2. General exemptions (section 552a(j) of Reference (b)) that authorize the exemption of a system of records from all but certain specifically identified provisions of the Act See Appendix 4. C5.1.1.1.3. Specific exemptions (section 552(k) of Reference (b)) that allow a system of records to be exempted only from certain designated provisions of the Act. See Appendix 4. C5.1.1.2. Nothing in the Act permits exemption of any system of records from all provisions of the Act. C5.1.2. Establishing Exemptions C5.1.2.1. The access exemption is self-executing. It does not require an implementing rule to be effective. C5.1.2.2. Neither a general nor a specific exemption is established automatically for any system of records. The Heads of the DoD Components maintaining the system of records must make a determination whether the system is one for which an exemption properly may be claimed and then propose and establish an exemption rule for the system. No system of records within the Department of Defense shall be considered exempted until the Head of the Component has approved the exemption and an exemption rule has been published as a final rule in the Federal Register. See paragraph C6.1.5. of Chapter 6. C5.1.2.3. Only the Head of the DoD Component or an authorized designee may claim an exemption for a system of records. C5.1.2.4. A system of records is considered exempt only from those provision of Reference (b) that are identified specifically in the Component exemption rule for the system and that are authorized by Reference (b). C5.1.2.5. To establish an exemption rule, see paragraph C6.2.1. of Chapter 6. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 50 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 5 50 C5.1.3. Blanket Exemption for Classified Material C5.1.3.1. Component rules shall include a blanket exemption under section 552a(k)(1) (Reference (b)) from the access provisions (section 552a(d) of Reference (b)), and the notification of access procedures (section 552a(e)(4)(H) of Reference (b)) for all classified material in any systems of records maintained. C5.1.3.2. Do not claim specifically an exemption under section 552a(k)(1) (Reference (b)) for any system of records. The blanket exemption affords protection to all classified material in all system of records maintained. C5.1.4. Provisions From Which Exemptions May Be Claimed. The Head of a DoD Component may claim an exemption from any provision of the Act from which an exemption is allowed. See Appendix 4. C5.1.5. Use of Exemptions C5.1.5.1. Use exemptions only for the specific purposes set forth in the exemption rules. See paragraph C6.2.2. of Chapter 6. C5.1.5.2. Use exemptions only when they are in the best interest of the Government, and limit them to the specific portions of the records requiring protection. C5.1.5.3. Do not use an exemption to deny an individual access to any record to which he or she would have access under (Reference (d)). C5.1.6. Exempt Records in Non-Exempt Systems C5.1.6.1. Exempt records temporarily in the custody of another Component are considered the property of the originating Component. Access to these records is controlled by the system notices and rules of the originating Component. C5.1.6.2. Exempt records that have been incorporated into a non-exempt system of records are still exempt, but only to the extent to which the provisions of the Act for which an exemption has been claimed are identified and an exemption claimed for the system of records from which the record is obtained and only when the purposes underlying the exemption for the record are still valid and necessary to protect the contents of the record. C5.1.6.3. If a record is accidentally misfiled into a system of records, the system notice and rules for the system in which it should actually be filed shall govern. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 51 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 5 51 C5.2. ACCESS EXEMPTION C5.2.1. An individual is not entitled to access information that is compiled in reasonable anticipation of a civil action or proceeding. C5.2.2. The term “civil action or proceeding” is intended to include court proceedings, preliminary judicial steps, and quasi-judicial administrative hearings or proceedings (i.e., adversarial proceedings that are subject to rules of evidence). C5.2.3. Any information prepared in anticipation of such actions or proceedings, to include information prepared to advise the DoD Component officials of the possible legal or other consequences of a given course of action, is protected. C5.2.4. The exemption is similar to the attorney work-product privilege, except that it applies even when the information is prepared by non-attorneys. C5.2.5. The exemption does not apply to information compiled in anticipation of criminal actions or proceedings. C5.3. GENERAL EXEMPTIONS C5.3.1. A DoD Component is not authorized to claim the exemption for records maintained by the Central Intelligence Agency established by section 552a(j)(1) of Reference (b). C5.3.2. The general exemption established by section 552a(j)(2) of Reference (b) may be claimed to protect investigative records created and maintained by law-enforcement activities of a DoD Component. C5.3.3. To qualify for the (j)(2) exemption, the system of records must be maintained by a DoD Component, or element thereof, that performs as its principal function any activity pertaining to the enforcement of criminal laws, such as the U.S. Army Criminal Investigation Command, the Naval Criminal Investigative Service, the Air Force Office of Special Investigations, and military police activities. However, where DoD offices perform multiple functions, but have an investigative Component in which law enforcement is the principal function, such as the DoD Inspector General Defense Criminal Investigative Service, or Criminal Law Divisions of Staff Judge Advocates Offices, the exemption may be claimed. Law enforcement includes police efforts to detect, prevent, control, or reduce crime; to apprehend or identify criminals; and the activities of military trial counsel, correction, probation, pardon, or parole authorities. C5.3.4. Information that may be protected under the (j)(2) exemption includes: C5.3.4.1. Records compiled for the purpose of identifying criminal offenders and alleged offenders consisting only of identifying data and notations of arrests, the nature and disposition of criminal charges, sentencing, confinement, release, parole, and probation status (so-called criminal history records). Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 52 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 5 52 C5.3.4.2. Reports and other records compiled during criminal investigations, to include supporting documentation. C5.3.4.3. Other records compiled at any stage of the criminal law enforcement process from arrest or indictment through the final release from parole supervision, such as pre-sentence and parole reports. C5.3.5. The (j)(2) exemption does not apply to: C5.3.5.1. Investigative records prepared or maintained by activities without primary law- enforcement missions. It may not be claimed by any activity that does not have law enforcement as its principal function except as indicated in subparagraph C5.3.3. C5.3.5.2. Investigative records compiled by any activity concerning employee suitability, eligibility, qualification, or for individual access to classified material regardless of the principal mission of the compiling DoD Component. C5.4. SPECIFIC EXEMPTIONS C5.4.1. The specific exemption established by section 552a(k) of Reference (b) may be claimed to protect records that meet the following criteria (parenthetical References are to the appropriate subsection of Reference (b)): C5.4.1.1. (k)(1). Information that is subject to section 552(b)(1) of Reference (p). (See also paragraph C5.1.3 of this Chapter.) C5.4.1.2. (k)(2). Investigatory information compiled for law enforcement purposes, other than information that is covered by the general exemption (subparagraph C5.3. of this Chapter). If an individual is denied any right, privilege, or benefit that he or she is otherwise entitled by Federal law, or for which he or she would otherwise be eligible as a result of the maintenance of the information, the individual shall be provided access to the information except to the extent that disclosure would reveal the identity of a confidential source. This exemption provides limited protection of investigative reports maintained in a system of records used in personnel or administrative actions. C5.4.1.2.1. The information must be compiled for some investigative law enforcement purpose, such as a criminal investigation by a DoD office, whose principal function is not law enforcement, or a civil investigation. C5.4.1.2.2. The exemption does not apply to investigations conducted solely for the purpose of a routine background investigation (see subparagraph C5.4.1.5. of this Chapter), but will apply if the investigation is for the purpose of investigating DoD personnel who are suspected of violating statutory or regulatory authority. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 53 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 5 53 C5.4.1.2.3. The exemption can continue to be claimed even after the investigation has concluded and there is no future likelihood of further enforcement proceedings. C5.4.1.3 (k)(3). Records maintained in connection with providing protective services to the President and other individuals under section 3056 of 18 U.S.C. (Reference (u)). C5.4.1.4. (k)(4). Records maintained solely for statistical research or program evaluation purposes and that are not used to make decisions on the rights, benefits, or entitlement of an individual except for census records that may be disclosed under Reference (s). C5.4.1.5. (k)(5). Investigatory material compiled solely for the purpose of determining suitability, eligibility, or qualifications for Federal civilian employment, military service, Federal contracts, or access to classified information, but only to the extent such material would reveal the identity of a confidential source. C5.4.1.5.1. This exemption permits protection of confidential sources used in background investigations, employment inquiries, and similar inquiries that are for personnel screening to determine suitability, eligibility, or qualifications. C5.4.1.5.2. This exemption is applicable not only to investigations conducted prior to the hiring of an employee, but it also applies to investigations conducted to determine continued employment suitability or eligibility. C5.4.1.6. (k)(6). Testing or examination material used solely to determine individual qualifications for appointment or promotion in the Federal or military service, if the disclosure would compromise the objectivity or fairness of the test or examination process. C5.4.1.7. (k)(7). Evaluation material used to determine potential for promotion in the Military Services, but only to the extent that the disclosure of such material would reveal the identity of a confidential source. C5.4.2. Promises of Confidentiality C5.4.2.1. Only the identity of sources that have been given an express promise of confidentiality may be protected from disclosure under paragraphs C5.4.1.2., C5.4.1.5., and C5.4.1.7. However, the identity of sources who were given implied promises of confidentiality in inquiries conducted before September 27, 1975, also may be protected from disclosure. C5.4.2.2. Ensure that promises of confidentiality are not automatically given but are used sparingly. Establish appropriate procedures and identify fully categories of individuals who may make such promises. Promises of confidentiality shall be made only when they are essential to obtain the information sought (see Part 736 of Reference (e)). C5.4.3. Access to Records for which Specific Exemptions are Claimed. Deny the individual access only to those portions of the records for which the claimed exemption applies. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 54 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 6 54 C6. CHAPTER 6 PUBLICATION REQUIREMENTS C6.1. FEDERAL REGISTER PUBLICATION C6.1.1. What Must Be Published in the Federal Register? C6.1.1.1. Four types of documents relating to the Privacy Program must be published in the Federal Register: C6.1.1.1.1. DoD Component Privacy Procedural rules. C6.1.1.1.2. DoD Component exemption rules. C6.1.1.1.3. System notices. C6.1.1.1.4. Match notices (see Chapter 11). C6.1.1.2. See DoD 5025.1-M (Reference (v)) and Administrative Instruction No. 102 (Reference (w)) for information pertaining to the preparation of documents for publication in the Federal Register. C6.1.2. The Effect of Publication in the Federal Register. Publication of a document in the Federal Register constitutes official public notice of the existence and content of the document. C6.1.3. DoD Component Rules C6.1.3.1. Component Privacy Program procedures and Component exemption rules are subject to the rulemaking procedures prescribed in Reference (w). C6.1.3.2. System notices are not subject to formal rulemaking and are published in the Federal Register as “Notices,” not rules. C6.1.3.3. Privacy procedural and exemption rules are incorporated automatically into the CFR. System notices are not published in the CFR. C6.1.4. Submission of Rules for Publication C6.1.4.1. Submit to the Defense Privacy Office, Office of the Director of Administration and Management, all proposed rules implementing this Regulation in proper format. See References (v) and (w)) for publication in the Federal Register. C6.1.4.2. This Regulation has been published as a final rule in the Federal Register (32 CFR part 310). Therefore, incorporate it into your Component rules by reference, rather than by re-publication (see Reference (w)). Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 55 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 6 55 C6.1.4.3. DoD Component procedural rules that simply implement this Regulation need only be published as final rules in the Federal Register (see References (v) and (w)). But, if the Component procedural rule supplements the Regulation in any manner, they must be published as proposed rule before being published as a final rule. C6.1.4.4. Amendments to Component rules are submitted like the basic rules. C6.1.4.5. The Defense Privacy Office submits the rules and amendments thereto to the Federal Register for publication. C6.1.5. Submission of Exemption Rules for Publication C6.1.5.1. No system of records within the Department of Defense shall be considered exempt from any provision of this Regulation until the exemption and the exemption rule for the system has been published as a final rule in the Federal Register. C6.1.5.2. Submit exemption rules in proper format to the Defense Privacy Office. All exemption rules are coordinated with the Office of General Counsel of the Department of Defense. After coordination, the Defense Privacy Office shall submit the rules to the Federal Register for publication. C6.1.5.3. Exemption rules require publication both as proposed rules and final rules. See Reference (w). C6.1.5.4. Section C6.2.2. of this Chapter discusses the content of an exemption rule. C6.1.5.5. Submit amendments to exemption rules in the same manner used for establishing these rules. C6.1.6. Submission of System Notices for Publication C6.1.6.1. System notices are not subject to formal rulemaking procedures. However, Reference (b) requires that a system notice be published in the Federal Register of the existence and character of a new or altered system of records. Until publication of the notice, DoD Components shall not begin to operate the system of records (i.e., collect and use the information). The notice procedures require that: C6.1.6.1.1. The system notice describes what kinds of records are in the system, on whom they are maintained, what uses are made of the records, and how an individual may access, or contest, the records contained in the system. C6.1.6.1.2. The public be given 30 days to comment on any proposed routine uses before any disclosures are made pursuant to the routine use; and C6.1.6.1.3. The notice contain the date on which the system shall become effective. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 56 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 6 56 C6.1.6.2. Submit system notices to the Defense Privacy Office in the Federal Register format (see Reference (w) and Appendix 5). The Defense Privacy Office transmits the notices to the Federal Register for publication. C6.1.6.3. Section C6.3. of this Chapter discusses the specific elements required in a system notice. C6.2. EXEMPTION RULES C6.2.1. General Procedures. Chapter 5 provides the general guidance for establishing exemptions for systems of records. C6.2.2. Contents of Exemption Rules C6.2.2.1. Each exemption rule submitted for publication must contain the following: C6.2.2.1.1. The record system identifier and system name of the system for which the exemption is claimed. (See paragraphs C6.3.2 and C6.3.3 of this Chapter.) C6.2.2.1.2. The specific sections of Reference (b) under which the exemption for the system is claimed (for example, sections 552a(j)(2), 552a(k)(3), or 552a(k)(7) of Reference (b)). C6.2.2.1.3. The specific sections of Reference (b) from which the system is to be exempted (for example, sections 552a(c)(3) or 552a(d)(l)-(5) of Reference (b)) (see Appendix 4)). C6.2.2.1.4. The specific reasons why an exemption is being claimed from each section of the Act identified. C6.2.2.2. Do not claim an exemption for classified material for individual systems of records. The blanket exemption applies. (See paragraph C5.1.3 of Chapter 5.) C6.3. SYSTEM NOTICES C6.3.1. Contents of the System Notices C6.3.1.1. The following data captions are included in each system notice: C6.3.1.1.1. Systems identifier. (See paragraph C6.3.2. of this Chapter.) C6.3.1.1.2. System name. (See paragraph C6.3.3. of this Chapter.) C6.3.1.1.3. System location. (See paragraph C6.3.4 of this Chapter.) Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 57 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 6 57 C6.3.1.1.4. Categories of individuals covered by the system. (See paragraph C6.3.5. of this Chapter.) C6.3.1.1.5. Categories of records in the system. (See paragraph C6.3.6. of this Chapter.) C6.3.1.1.6. Authority for maintenance of the system. (See paragraph C6.3.7. of this Chapter.) C6.3.1.1.7. Purpose(s). (See paragraph C6.3.8. of this Chapter.) C6.3.1.1.8. Routine uses of records maintained in the system, including categories of users and the purposes of such uses. (See paragraph C6.3.9. of this Chapter.) C6.3.1.1.9. Disclosure to Consumer Reporting Agencies. This element is optional but required when disclosing to consumer reporting agencies. (See paragraph C4.2.12 of Chapter 4.) C6.3.1.1.10. Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system. (See paragraph C6.3.10. of this Chapter.) C6.3.1.1.11. Systems manager(s) and address. (See paragraph C6.3.11. of this Chapter.) C6.3.1.1.12. Notification procedure. (See paragraph C6.3.12. of this Chapter.) C6.3.1.1.13. Record access procedures. (See paragraph C6.3.13. of this Chapter.) C6.3.1.1.14. Contesting records procedures. (See paragraph C6.3.14. of this Chapter.) C6.3.1.1.15. Record source categories. (See paragraph C6.3.15. of this Chapter.) C6.3.1.1.16. Exemptions claimed for the system. (See paragraph C6.3.16. of this Chapter.) C6.3.1.2. The captions listed in subparagraph C6.3.1.1. of this Chapter have been mandated by the Office of the Federal Register and must be used exactly as presented. C6.3.1.3. A sample system notice is shown in Appendix 5. C6.3.2. System Identifier. The system identifier must appear on all system notices and is limited to 120 positions, unless an exception is granted by the Defense Privacy Office, including Component code, file number and symbols, punctuation, and spacing. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 58 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 6 58 C6.3.3. System Name C6.3.3.1. The name of the system reasonably identifies the general purpose of the system and, if possible, the general categories of individuals involved. C6.3.3.2. Use acronyms only parenthetically following the title or any portion thereof, such as, “Defense Civilian Payroll System (DCPS).” Do not use acronyms that are not commonly known unless they are preceded by an explanation. C6.3.3.3. The system name may not exceed 55 character positions, unless an exception is granted by the Defense Privacy Office, including punctuation and spacing. C6.3.3.4. The system name should not be the name of the database or the IT system if the name does not meet the criteria in subparagraph C6.3.3.1. C6.3.4. System Location C6.3.4.1. For systems maintained in a single location provide the exact office name, organizational identity, and address. C6.3.4.2. For geographically or organizationally decentralized systems, specify each level of organization or element that maintains a segment of the system, to include their mailing address, or indicate that the official mailing addresses are published as an Appendix to the Component’s compilation of system of records notices, or provide an address where a complete listing of locations can be obtained. C6.3.4.3. Use the standard U.S. Postal Service two-letter State abbreviation symbols and 9- digit Zip Codes for all domestic addresses. C6.3.5. Categories of Individuals Covered by the System C6.3.5.1. Set forth the specific categories of individuals to whom records in the system pertain in clear, easily understood, non-technical terms. C6.3.5.2. Avoid the use of broad over-general descriptions, such as “all Army personnel“ or “all military personnel” unless this actually reflects the category of individuals involved. C6.3.6. Categories of Records in the System C6.3.6.1. Describe in clear, non-technical terms the types of records maintained in the system. C6.3.6.2. Only documents actually maintained in the system of records shall be described, not source documents that are used only to collect data and then destroyed. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 59 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 6 59 C6.3.7. Authority for Maintenance of System C6.3.7.1. Cite the specific provision of the Federal statute or Executive Order that authorizes the maintenance of the system. C6.3.7.2. Include with citations for statutes the popular names, when appropriate (for example, Section 2103 of title 51, United States Code, “Tea-Tasters Licensing Act”), and for Executive Orders, the official title (for example, Executive Order No. 9397, “Numbering System for Federal Accounts Relating to Individual Persons”). C6.3.7.3. If direct statutory authority or an Executive Order does not exist, indirect statutory authority may be cited if the authority requires the operation or administration of a program, the execution of which will require the collection and maintenance of a system of records. C6.3.7.4. If direct or indirect authority does not exist, the DoD, as well as the Army, Navy, and Air Force general “housekeeping” statutes (e.g., section 301 of 5 U.S.C. (Reference (x) and Sections 3013, 5013, and 8013 of Reference (r)) may be cited if the Secretary, or those offices to which responsibility has been delegated, are required to collect and maintain systems of records in order to discharge assigned responsibilities. If the housekeeping statute is cited, the regulatory authority implementing the statute within the Department of Defense or Component also shall be identified. C6.3.7.5. If the SSN is being collected and maintained, Executive Order 9397 (Reference (l)) shall be cited. C6.3.8. Purpose or Purposes C6.3.8.1. List the specific purposes for maintaining the system of records by the Component. C6.3.8.2. All internal uses of the information within the Department or Component shall be identified. Such uses are the so-called “internal routine uses.” C6.3.9. Routine Uses C6.3.9.1. Except as otherwise authorized by Chapter 4 of this Regulation, disclosure of information from a system of records to any person or entity outside the Department of Defense (See subparagraph C4.1.2) may only be made pursuant to a routine use that has been established for the specific system of records. C6.3.9.2. Each routine use shall include to whom the information is being disclosed and what use and purpose the information will be used. Routine uses shall be written as follows: Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 60 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 6 60 C6.3.9.2.1. “To….[person or entity outside of DoD that will receive the information] to….[what will be done with the information] for the purpose(s) of …[what objective is sought to be achieved].” C6.3.9.2.2. To the extent practicable, general statements, such as “to other Federal agencies as required,” or “to any other appropriate Federal agency” shall be avoided. C6.3.9.3. Blanket routine uses (Appendix 3) have been adopted that apply to all Component system notices. The blanket routine uses appear at the beginning of each Component’s compilation of its system notices. C6.3.9.3.1. Each system notice shall contain a statement whether or not the blanket routine uses apply to the system. C6.3.9.3.2. Each notice may state that none of the blanket routine uses apply or that one or more do not apply. C6.3.10. Policies and Practices For Storing, Retiring, Accessing, Retaining, and Disposing of Records. This caption is subdivided into four parts: C6.3.10.1. Storage. Indicate the medium in which the records are maintained. For example, a system may be “automated, maintained on compact disks, diskettes,” “manual, maintained in paper files,” or “hybrid, maintained in a combination of paper and automated form.” Storage does not refer to the container or facility in which the records are kept. C6.3.10.2. Retrievability. Specify how the records are retrieved (for example, name, SSN, or some other unique personal identifier assigned the individual). C6.3.10.3. Safeguards. Identify the system safeguards, such as storage in safes, vaults, locked cabinets or rooms, use of guards, visitor registers, personnel screening, or password protected IT systems, encrypted IT systems. Also identify personnel who have access to the systems. Do not describe safeguards in such detail as to compromise system security. C6.3.10.4. Retention and Disposal. Indicate how long the record is retained. When appropriate, also state the length of time the records are maintained by the Component, when they are transferred to a Federal Records Center, time of retention at the Records Center and when they are transferred to the National Archivist or are destroyed. A Reference to a Component regulation without further detailed information is insufficient. If records are eventually destroyed instead ofretired, identify the method of destruction (e.g., shredding, burning, pulping). C6.3.11. System Manager(s) and Address C6.3.11.1. List the title and address of the official responsible for the management of the system. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 61 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 6 61 C6.3.11.2. If the title of the specific official is unknown, such as for a local system, specify the local commander or office head as the systems manager. C6.3.11.3. For geographically separated or organizationally-decentralized activities for which individuals may deal directly with officials at each location in exercising their rights, list the position or duty title of each category of officials responsible for the system or a segment thereof. C6.3.11.4. Do not include business or duty addresses if they are listed in the Component address directory. C6.3.12. Notification Procedures C6.3.12.1. Describe how an individual may determine if there are records pertaining to him or her in the system. The procedural rules may be cited, but include a brief procedural description of the needed data. Provide sufficient information in the notice to allow an individual to exercise his or her rights without referral to the formal rules. C6.3.12.2. As a minimum, the caption shall include: C6.3.12.2.1. The official title (normally the system manager) and official address to which the request is to be directed; C6.3.12.2.2. The specific information required to determine if there is a record of the individual in the system; C6.3.12.2.3. Identification of the offices through which the individual may obtain notification; and C6.3.12.2.4. A description of any proof of identity required. See paragraph C3.1.3. of Chapter 3. C6.3.12.3. When appropriate, the individual may be referred to a Component official, who shall provide this information to him or her. C6.3.13. Record Access Procedures C6.3.13.1. Describe how an individual can gain access to the records pertaining to him or her in the system. The procedural rules may be cited, but include a brief procedural description of the needed data. Provide sufficient information in the notice to allow an individual to exercise his or her rights without referral to the formal rules. C6.3.13.2. As a minimum, the caption shall include: C6.3.13.2.1. The official title (normally the system manager) and official address to which the request is to be directed; Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 62 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 6 62 C6.3.13.2.2. A description of any proof of identity required. (See paragraph C3.1.3. of Chapter 3); and C6.3.13.3. When appropriate, the individual may be referred to a Component official, who shall provide the records to him or her. C6.3.14. Contesting Record Procedures C6.3.14.1. Describe how an individual may contest the content of a record pertaining to him or her in the system. C6.3.14.2. The detailed procedures for contesting a record need not be identified if the Component procedural rules are readily available to the public. (For example, “The Office of the Secretary of Defense” rules for contesting contents are contained in 32 CFR 311.) All Component procedural rules are set forth at a Departmental public Web site (see http://www.defenselink.mil/privacy/cfr-rules.html). C6.3.14.3. The individual may also be referred to the system manager to determine these procedures. C6.3.15. Record Source Categories C6.3.15.1. Describe where (the individual, other Component documentation, other Federal agencies, etc.) the information contained in the system was obtained. C6.3.15.2. Specific individuals or institutions need not be identified by name, particularly if these sources have been granted confidentiality. See paragraph C5.4.2. of Chapter 5. C6.3.16. Exemptions Claimed for the System C6.3.16.1. If no exemption has been claimed for the system, indicate “None.” C6.3.16.2. If an exemption is claimed, cite the exemption as well as identifying the CFR section containing the exemption rule for the system. C6.3.17. Maintaining the Master DoD System Notice Registry C6.3.17.1. The Defense Privacy Office maintains a master registry of all DoD record systems notices. C6.3.17.2. The Defense Privacy Office also posts all DoD system notices to a public Web site (see http://www.defenselink.mil/privacy/notices). C6.4. NEW AND ALTERED RECORD SYSTEMS Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 63 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 6 63 C6.4.1. Criteria for a New Record System C6.4.1.1. If a Component is maintaining a system of records as contemplated by paragraph C1.1.1., and a system notice has not been published for it in the Federal Register, the Component shall establish a system notice consistent with the requirements of this Chapter. C6.4.1.2. If a notice for a system of records has been canceled or deleted, but a determination is subsequently made that the system will be reinstated or reused, the system may not be operated (information collected or used) until a new notice is published in the Federal Register. C6.4.2. Criteria for an Altered Record System. A system is considered altered whenever one of the following actions occurs or is proposed: C6.4.2.1. A significant increase or change in the number or type of individuals about whom records are maintained. C6.4.2.1.1. Only changes that alter significantly the character and purpose of the record system are considered alterations. C6.4.2.1.2. Increases in numbers of individuals due to normal growth are not considered alterations unless they truly alter the character and purpose of the system. C6.4.2.1.3. Increases that change significantly the scope of population covered (for example, expansion of a system of records covering a single command’s enlisted personnel to include all of the Component’s enlisted personnel would be considered an alteration). C6.4.2.1.4. A reduction in the number of individuals covered is not an alteration, but only an amendment. See paragraph C6.5.1. of this Chapter. C6.4.2.1.5. All changes that add new categories of individuals to system coverage require a change to the “Categories of individuals covered by the system” caption of the notice (see paragraph C6.3.5. of this Chapter) and may require changes to the “Purpose(s)” caption (see paragraph C6.3.8. of this Chapter). C6.4.2.2. An expansion in the types or categories of information maintained. C6.4.2.2.1. The addition of any new category of records not described under the “Categories of Records in the System” caption is considered an alteration. C6.4.2.2.2. Adding a new data element that is clearly within the scope of the categories of records described in the existing notice is an amendment. (See paragraph C6.5.1. of this Chapter.) An amended notice may not be required if the data element is clearly covered by the record category identified in the existing system notice. C6.4.2.2.3. All changes under this criterion require a change to the “Categories of Records in the System” caption of the notice. (See paragraph C6.3.6. of this Chapter.) Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 64 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 6 64 C6.4.2.3. An alteration of how the records are organized or the manner in which the records are indexed and retrieved. C6.4.2.3.1. The change must alter the nature of use or scope of the records involved (for example, combining records systems in a reorganization). C6.4.2.3.2. Any change under this criterion requires a change in the “Retrievability” caption of the system notice. (See paragraph C6.3.10.2. of this Chapter.) C6.4.2.3.3. If the records are no longer retrieved by name or personal identifier cancel the system notice. (See paragraph C1.1.2. of Chapter 1.) C6.4.2.4. A change in the purpose for which the information in the system is used. C6.4.2.4.1. The new purpose must not be compatible with the existing purposes for which the system is maintained. C6.4.2.4.2. If the use is compatible and reasonably expected, there is no change in purpose and no alteration occurs. C6.4.2.4.3. Any change under this criterion requires a change in the “Purpose(s)” caption (see paragraph C6.3.8. of this Chapter) and may require a change in the “Authority for maintenance of the system” caption (see paragraph C6.3.7. of this Chapter). C6.4.2.5. Changes that alter the computer environment (such as changes to equipment configuration, software, or procedures) so as to create the potential for greater or easier access. C6.4.2.5.1. Increasing the number of offices with direct access is an alteration. C6.4.2.5.2. Software applications, such as operating systems and system utilities, which provide for easier access are considered alterations. C6.4.2.5.3. The addition of an on-line capability to a previously batch-oriented system is an alteration. C6.4.2.5.4. The addition of peripheral devices such as tape devices, disk devices, card readers, printers, and similar devices to an existing IT system constitute an amendment if system security is preserved. (See paragraph C6.5.1. of this Chapter.) C6.4.2.5.5. Changes to existing equipment configuration with on-line capability need not be considered alterations to the system if: C6.4.2.5.5.1. The change does not alter the present security posture; or Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 65 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 6 65 C6.4.2.5.5.2. The addition of terminals does not extend the capacity of the current operating system and existing security is preserved. C6.4.2.5.6. The connecting of two or more formerly independent automated systems or networks together creating a potential for greater access is an alteration. C6.4.2.5.7. Any change under this caption requires a change to the “Storage” caption element of the systems notice. (See paragraph C6.3.10.1. of this Chapter.) C6.4.3. Reports of New and Altered Systems C6.4.3.1. Components shall submit a report for all new or altered systems to the Defense Privacy Office consistent with the requirements of this chapter and in the format prescribed at Appendix 6. C6.4.3.1.1. Components shall include the following when submitting an alteration for a system notice for publication in the Federal Register: C6.4.3.1.1.1. The system identifier and name. (See paragraphs C6.3.2. and C6.3.3. of this Chapter.) C6.4.3.1.1.2. A description of the nature and specific changes proposed. C6.4.3.1.2. The full text of the system notice need not be submitted if the master registry contains a current system notice for the system. (See paragraph C6.3.17. of this Chapter.) C6.4.3.2. The Defense Privacy Office coordinates all Congressional and OMB reports of new and altered systems with the Office of the Assistant Secretary of Defense (Legislative Affairs), Department of Defense. C6.4.3.3. The Defense Privacy Office prepares and sends a transmittal letter that forwards the report, as well as the new or altered system notice, to OMB and Congress. C6.4.3.4. The Defense Privacy Office shall publish in the Federal Register a system notice for new or altered systems. C6.4.4. Time Restrictions on the Operation of a New or Altered System C6.4.4.1. The reports, and the new or altered system notice, must be provided OMB and Congress at least 40 days prior to the operation of the new or altered system. The 40-day review period begins to run on the date that the transmittal letters are signed and dated. C6.4.4.2. The system notice must be published in the Federal Register before a Component begins to operate the system (i.e., collect and use the information). If the new system has routine uses or the altered system adds a new routine use, no records may be disclosed pursuant to the routine use until the public has had 30 days to comment on the proposed use. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 66 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 6 66 C6.4.4.3. The time periods run concurrently. C6.4.5. Exemptions for New Systems. See paragraph C6.1.5. of this Chapter for the procedures to follow in submitting exemption rules for a new system of records or for submitting an exemption rule for an existing system of records. C6.5. AMENDMENT AND DELETION OF SYSTEMS NOTICES C6.5.1. Criteria for an Amended System Notice C6.5.1.1. Certain minor changes to published systems notices are considered amendments and not alterations. See paragraph C6.4.2. of this Chapter. C6.5.1.2. Amendments do not require a report of an altered system (see paragraph C6.4.3. of this Chapter), but must be published in the Federal Register. C6.5.2. System Notices for Amended Systems. Components shall include the following when submitting an amendment for a system notice for publication in the Federal Register: C6.5.2.1. The system identifier and name. (See paragraphs C6.3.2. and C6.3.3. of this Chapter.) C6.5.2.2. A description of the nature and specific changes proposed. C6.5.2.3. The full text of the system notice need not be submitted if the master registry contains a current system notice for the system. (See paragraph C6.3.17. of this Chapter.) C6.5.3. Deletion of System Notices C6.5.3.1. Whenever a system is discontinued, combined into another system, or determined no longer to be subject to this Regulation, a deletion notice is required. C6.5.3.2. The notice of deletion shall include: C6.5.3.2.1. The system identification and name. C6.5.3.2.2. The reason for the deletion. C6.5.3.3. When the system is eliminated through combination or merger, identify the successor system or systems in the deletion notice. C6.5.4. Submission of Amendments and Deletions for Publication Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 67 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 6 67 C6.5.4.1. Submit amendments and deletions to the Defense Privacy Office for transmittal to the Federal Register for publication. C6.5.4.2. Multiple deletions and amendments may be combined into a single submission. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 68 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 7 68 C7. CHAPTER 7 TRAINING REQUIREMENTS C7.1. STATUTORY TRAINING REQUIREMENTS The Privacy Act (Reference (b)) requires each Agency to establish rules of conduct for all persons involved in the design, development, operation, and maintenance of any system of record and to train these persons with respect to these rules. C7.2. OMB TRAINING GUIDELINES The OMB guidelines (Reference (y)) require all Agencies additionally to: C7.2.1. Instruct their personnel in their rules of conduct and other rules and procedures adopted in implementing the Act, to ensure that they are reminded of their specific responsibilities for safeguarding personally identifiable information, the rules for acquiring and using such information, and the penalties for non-compliance. C7.2.2. Incorporate training on the special requirements of the Act into both formal and informal (on-the-job) training programs. C7.3. DoD TRAINING PROGRAMS C7.3.1. The training shall include information regarding information privacy laws, regulations, policies and procedures governing the Department’s collection, maintenance, use, or dissemination of personal information. The objective is to establish a culture of sensitivity to, and knowledge about, privacy issues involving individuals throughout the Department. C7.3.2. To meet these training requirements, Components may establish three general levels of training for those persons, to include contractor personnel, who are involved in any way with the design, development, operation, or maintenance of privacy protected systems of records. These are: C7.3.2.1. Orientation. Training that provides basic understanding of this Regulation as it applies to the individual’s job performance. This training shall be provided to personnel, as appropriate, and should be a prerequisite to all other levels of training. C7.3.2.2. Specialized Training. Training that provides information as to the application of specific provisions of this Regulation to specialized areas of job performance. Personnel of particular concern include, but are not limited to medical personnel, intelligence specialists, finance officers, DoD personnel who may expected to deal with the news media or the public, special investigators, paperwork managers, and other specialists (reports, forms, records, and related functions), computer systems development personnel, computer systems operations personnel, Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 69 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 7 69 statisticians dealing with personal data and program evaluations, contractors that will either operate systems of records on behalf of the Component or will have access to such systems incident to performing the contract, and anyone responsible for implementing or carrying out functions under this Regulation. C7.3.2.3. Management. Training designed to identify for responsible managers (such as, senior system managers, denial authorities, and decision makers) considerations that they should take into account when making management decisions regarding operational programs and activities having privacy implications. C7.3.3. Include Privacy Act training in other courses of training when appropriate. Stress individual responsibilities and advise individuals of their rights and responsibilities under this Regulation to ensure that it is understood that, where personally identifiable information is involved, individuals should handle and treat the information as if it was their information. C7.4. TRAINING METHODOLOGY AND PROCEDURES C7.4.1. Each DoD Component is responsible for the development of training procedures and methodology. C7.4.2. The Defense Privacy Office shall assist the Components in developing these training programs and may develop privacy training programs for use by all DoD Components. C7.4.3. Components shall conduct training as frequently as believed necessary so that personnel who are responsible for or are in receipt of information protected by Reference (b) are sensitive to the requirements of this regulation, especially the access, use, and dissemination restrictions. Components shall give consideration to whether annual training and/or annual certification should be mandated for all or specified personnel whose duties and responsibilities require daily interaction with personally identifiable information. C7.4.4. Components shall conduct training that reaches the widest possible audience. Web- based training and video conferencing have been effective means to provide such training. C7.5. FUNDING FOR TRAINING Each DoD Component shall fund its own privacy training program. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 70 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 8 70 C8. CHAPTER 8 REPORTS C8.1. REQUIREMENT FOR REPORTS The Defense Privacy Office shall establish requirements for DoD Privacy Reports and the DoD Components shall be required to provide data. C8.2. SUSPENSE FOR SUBMISSION OF REPORTS The suspenses for submission of all reports shall be established by the Defense Privacy Office. C8.3. REPORTS CONTROL SYMBOL Any report established by this Chapter in support of the Privacy Program shall be assigned Report Control Symbol DD-COMP(A)1379. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 71 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 9 71 C9. CHAPTER 9 INSPECTIONS C9.1. PRIVACY ACT INSPECTIONS During internal inspections, Component inspectors shall be alert for compliance with this Regulation and for managerial, administrative, and operational problems associated with the implementation of the Defense Privacy Program. Programs shall be reviewed as frequently as considered necessary by Components, or the Component Inspector General. C9.2. INSPECTION REPORTING C9.2.1. Document the findings of the inspectors in official reports that are furnished to the responsible Component officials. These reports, when appropriate, shall reflect overall assets of the Component Privacy Program inspected, or portion thereof, identify deficiencies, irregularities, and significant problems. Also document remedial actions taken to correct problems identified. C9.2.2. Retain inspections reports and later follow-up reports in accordance with established records disposition standards. These reports shall be made available to the Privacy Program officials concerned upon request. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 72 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 10 72 C10. CHAPTER 10 PRIVACY ACT VIOLATIONS C10.1. ADMINISTRATIVE REMEDIES Any individual who believes he or she has a legitimate complaint or grievance against the Department of Defense or any DoD employee concerning any right granted by this Regulation shall be permitted to seek relief through appropriate administrative channels. C10.2. CIVIL ACTIONS An individual may file a civil suit against a DoD Component, if the individual believes his or her rights under the Act have been violated (See Section 552a(g) of Reference (b)). C10.3. CIVIL REMEDIES In addition to specific remedial actions, Reference (b) provides for the payment of damages, court costs, and attorney fees in some cases. C10.4. CRIMINAL PENALTIES C10.4.1. The Act also provides for criminal penalties (see section 552a(i) of Reference (b)). Any official or employee may be found guilty of a misdemeanor and fined not more than $5,000 if he or she willfully: C10.4.1.1. Discloses information from a system of records, knowing that dissemination is prohibited, to anyone not entitled to receive the information (see Chapter 4); or C10.4.1.2. Maintains a system of records without publishing the required public notice in the Federal Register. (See Chapter 6.) C10.4.2. Any person who knowingly and willfully requests or obtains access to any record concerning another individual under false pretenses may be found guilty of misdemeanor and fined up to $5,000. C10.5. LITIGATION STATUS SHEET Whenever a complaint citing the Privacy Act is filed in a U.S. District Court against the Department of Defense, a DoD Component, or any DoD employee, the responsible system manager shall notify the Defense Privacy Office. The litigation status sheet at Appendix 8 provides a standard format for this notification. The initial litigation status sheet forwarded shall, as a Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 73 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 10 73 minimum, provide the information required by items 1 through 6. A revised litigation status sheet shall be provided at each stage of the litigation. When a court renders a formal opinion or judgment, copies of the judgment and opinion shall be provided to the Defense Privacy Office with the litigation status sheet reporting that judgment or opinion. C10.6. LOST, STOLEN, OR COMPROMISED INFORMATION C10.6.1. When a loss, theft, or compromise of information occurs (See Chapter 1 of this regulation), the breach shall be reported to: C10.6.1.1. The United States Computer Emergency Readiness Team (US CERT) within one hour of discovering that a breach of personally identifiable information has occurred. Components shall establish procedures to ensure that US CERT reporting is accomplished in accordance with the guidance set forth at www.us-cert.gov. The underlying incident that led to the loss or suspected loss of PII (e.g., computer incident, theft, loss of material, etc.) shall continue to be reported in accordance with established procedures (e.g., to designated computer Network Defense (CND) Service Providers, Chairman of the Joint Chiefs of Staff Manual 6510.01 (Reference (z)), law enforcement authorities, the chain of command, etc). C10.6.1.2. The Senior Component Official for Privacy (Reference (a)) within 24 hours of discovering that a breach of personally identifiable information has occurred. The Senior Component Official for Privacy, or their designee, shall notify the Defense Privacy Office of the breach within 48 hours upon being notified that a loss, theft, or compromise has occurred. The notification shall include the following information: C10.6.1.2.1. Identify the Component/organization involved. C10.6.1.2.2. Specify the date of the breach and the number of individuals impacted, to include whether they are DoD civilian, military, or contractor personnel; DoD civilian or military retirees; family members; other Federal personnel or members of the public, etc. C10.6.1.2.3. Briefly describe the facts and circumstances surrounding the loss, theft, or compromise. C10.6.1.2.4. Briefly describe actions taken in response to the breach, to include whether the incident was investigated and by whom; the preliminary results of the inquiry if then known; actions taken to mitigate any harm that could result from the breach; whether the affected individuals are being notified, and if this will not be accomplished within 10 working days, that action will be initiated to notify the Deputy secretary (See paragraph C1.5.1.4.) ; what remedial actions have been, or will be, taken to prevent a similar such incident in the future, e.g., refresher training conducted, new or revised guidance issued; and any other information considered pertinent as to actions to be taken to ensure that information is properly safeguarded. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 74 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 10 74 C10.6.2. The Component shall determine whether administrative or disciplinary action is warranted and appropriate for those individuals determined to be responsible for the loss, theft, or compromise. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 75 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 11 75 C11. CHAPTER 11 COMPUTER MATCHING PROGRAM PROCEDURES C11.1. GENERAL C11.1.1. Computer matches cover two kinds of matching programs, 54 Federal Register 25818, (Reference (aa)). If covered, the matches are subject to the requirements of this chapter. The covered programs are: C11.1.1.1. Matches using records from Federal personnel or payroll systems of records, or C11.1.1.2 Matches involving Federal benefits program if: C11.1.1.2.1. To determine eligibility for a Federal benefit, C11.1.1.2.2. To determine compliance with benefit program requirements, or C11.1.1.2.3. To effect recovery of improper payments or delinquent debts under a Federal benefit program. . C11.1.2. The requirements of this Regulation do not apply if matches are: C11.1.2.1 Performed solely to produce aggregated statistical data without any personal identifiers. Personally identifying data can be used for purposes of conducting the match. However, the results of the match shall be stripped of any data that would identify an individual. Under no circumstances shall match results be used to take action against specific individuals. C11.1.2.2. Performed to support research or statistical projects. Personally identifying data can be used for purposes of conducting the match and the match results may contain identifying data about individuals. However, the match results shall not be used to make a decision that affects the rights, benefits, or privileges of specific individuals. C11.1.2.3. Performed by an agency, or a component thereof, whose principal function is the enforcement of criminal laws, subsequent to the initiation of a specific criminal or civil law enforcement investigation of a named individual or individuals. C11.1.2.3.1. The match must flow from an investigation already underway which focuses on a named person or persons. “Fishing expeditions” in which the subjects are generically identified, such as “program beneficiaries” are not covered. C11.1.2.3.2. The match must be for the purpose of gathering evidence against the named individual or individuals. C11.1.2.4. Performed for tax information-related purposes. C11.1.2.5. Performed for routine administrative purposes using records relating to Federal personnel. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 76 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 11 76 C11.1.2.5.1. The records to be used in the match must predominantly relate to Federal personnel (i.e., the percentage of records in the system of records that are about Federal personnel must be greater than of any other category). C11.1.2.5.2. The purpose of the match must not be for purposes of taking any adverse financial, personnel, disciplinary, or other unfavorable action against an individual. C11.1.2.6. Performed using only records from systems of records maintained by an agency. C11.1.2.6.1. The purpose of the match must not be for purposes of taking any adverse financial, personnel, disciplinary, or other unfavorable action against an individual. C11.1.2.6.2. A match of DoD personnel using records in a system of records for purposes of identifying fraud, waste, and abuse is not covered. C11.1.2.7. Performed to produce background checks for security clearances of Federal or contractor personnel or performed for foreign counter-intelligence purposes. C11.2. COMPUTER MATCHING PUBLICATION AND REVIEW REQUIREMENTS C11.2.1. DoD Components shall identify the systems of records that will be used in the match to ensure that the publication requirements of Chapter 6 of this Regulation have been satisfied. If the match will require disclosure of records outside the Department of Defense, Components shall ensure that a routine use has been established, and that the publication and review requirements met, before any disclosures are made (See Chapter 6 of this Regulation). C11.2.2. If a computer matching program is contemplated, the DoD Component shall contact the Defense Privacy Office and provide information regarding the contemplated match. The DoD Privacy Office (DPO) shall ensure that any proposed computer matching program satisfies the requirements of References (b) and (aa). C11.2.3. A computer matching agreement (CMA) shall be prepared by the Component, consistent with the requirements of paragraph C11.3. and submitted to the DPO. If the CMA satisfies the requirements of References (b) and (aa), as well as this Regulation, it shall be forwarded to the Defense Data Integrity Board (DIB) for approval or disapproval. C11.2.3.1. If the CMA is approved by the DIB, the DPO shall prepare and forward a report to both Houses of Congress and to OMB as required by, and consistent with, OMB Circular A-130 (Reference (ab)). Congress and OMB shall have 40 days to review and comment on the proposed match. Any comments received must be resolved before matching can take place. C11.2.3.2. If the CMA is approved by the DIB, the DPO shall prepare and forward a match notice as required by Reference (ab) for publication in the Federal Register. The public shall be given 30 days to comment on the proposed match. Any comments received must be resolved before matching can take place. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 77 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 11 77 C11.3. COMPUTER MATCHING AGREEMENTS (CMA) C11.3.1. If a match is to be conducted internally within the Department of Defense, a memorandum of understanding (MOU) shall be prepared. It shall contain the same elements as a CMA, except as otherwise indicated in C11.3.2.4.2. C11.3.2. A CMA shall contain the following elements: C11.3.2.1. Purpose. Why the match is being proposed and what will be achieved by conducting the match. C11.3.2.2. Legal Authority. What is the Federal or state statutory or regulatory basis for conducting the match. The Privacy Act does not constitute independent authority for matching. Other legal authority shall be identified. C11.3.2.3. Justification and Expected Results. Explain why computer matching as opposed to some other administrative means is being proposed and what the expected results will be, including a specific estimate of any savings (see paragraph C11.3.2.13 of this Chapter.) C11.3.2.4. Records Description. Identify: C11.3.2.4.1. The system of records or non-Federal records. For DoD systems of records, provide the Federal Register citation for the system notice; C11.3.2.4.2. The specific routine use in the system notice if records are to be disclosed outside the Department of Defense (see paragraph 4.2.3 of Chapter 4). If records are disclosed within the Department of Defense for an internal match, disclosures are permitted pursuant to paragraph 4.2.1 of Chapter 4. C11.3.2.4.3 The number of records involved; C11.3.2.4.4. The data elements to be included in the match; C11.3.2.4.5. The projected start and completion dates of the match. CMAs remain in effect for 18 months, but can be renewed for an additional 12 months provided: C11.3.2.4.5.1. The match will be conducted without any change, and C11.3.2.4.5.2. Each party to the match certifies in writing that the program has been conducted in compliance with the CMA or MOU. C11.3.2.4.6. How frequently will the records be matched. C11.3.2.5. Records Accuracy Assessment. Provide an assessment by the source and recipient agencies as to the quality of the information that will be used for the match. The poorer the quality, the more likely that the program will not be cost-effective. C11.3.2.6. Notice Procedures. Identify what direct and indirect means will be used to inform individuals that matching will taken place. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 78 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 11 78 C11.3.2.6.1. Direct Notice. Indicate whether the individual is advised that matching may be conducted when he or she applies for a Federal benefit program. Such an advisory should normally be part of the Privacy Act Statement that is contained in the application for benefits. Individual notice sometimes is provided by a separate notice that is furnished the individual upon receipt of the benefit. C11.3.2.6.2 Indirect Notice. Indicate whether the individual is advised that matching may be conducted by constructive notice. Indirect or constructive notice is achieved by publication of a routine use in the Federal Register when the matching is between agencies or is achieved by publication of the match notice in the Federal Register. C11.3.2.7. Verification Procedures. Explain how information produced as a result of the match will be independently verified to ensure that any adverse information obtained is that of the individual identified in the match. C11.3.2.8. Due Process Procedures. Describe what procedures will be used to notify individuals of any adverse information uncovered as a result of the match and to give such individuals an opportunity to either explain the information or how they may contest the information. No adverse action shall be taken against the individual until the due process procedures have been satisfied. C11.3.2.8.1. Unless other statutory or regulatory authority provides for a longer period of time, the individual shall be given 30 calendar days from the date of the notice to respond to the notice. C11.3.2.8.2. If an individual contacts the agency within the notice period and indicates his or her acceptance of the validity of the adverse information, the agency may take final action. If the period expires without a response, the agency may take final action. C11.3.2.8.3. If the agency determines that there is a potentially significant effect on public health or safety, it may take appropriate action notwithstanding the due process provisions. C11.3.2.9. Security Procedures. Describe the administrative, technical, and physical safeguards that will be established to preserve and protect the privacy and confidentiality of the records involved in the match. The level of security must be commensurate with the level of the sensitivity of the records. C11.3.2.10. Records Usage, Duplication, and Redisclosure Restrictions. Describe any restrictions imposed by the source agency or by statute or regulation on the collateral uses of the records. Recipient agencies may not use the records obtained for matching purposes for any other purpose absent a specific statutory requirement or where the disclosure is essential to the conduct of the matching program. C11.3.2.11. Disposition Procedures. Clearly state that the records used in the match will be retained only for the time required for conducting the match. Once the matching purpose has been achieved, the records will be destroyed unless the records must be retained as directed by other legal authority. Unless the source agency requests that the records be returned, identify the means by which destruction will occur, e.g., shredding, burning, electronic erasure. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 79 of 111 DoD 5400.11-R, May 14, 2007 CHAPTER 11 79 C11.3.2.12. Comptroller General Access. Include a statement that the Comptroller General may have access to all records of the recipient agency to monitor or verify compliance with the terms of the CMA. C11.3.2.13. Cost-Benefit Analysis. C11.3.2.13.1 A cost-benefit analysis shall be conducted for the proposed computer matching program unless: C11.3.2.13.1.1. The Data Integrity Board waives the requirement in writing, or C11.3.2.13.1.2. The matching program is required by a specific statute. C11.3.2.13.2. The analysis must demonstrate that the program is likely to be cost- effective. This analysis is to ensure that agencies are following sound management practices. The analysis provides an opportunity to examine the programs and to reject those that will only produce marginal results. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 80 of 111 DoD 5400.11-R, May 14, 2007 APPENDIX 1 80 AP1. APPENDIX 1 SAFEGUARDING PERSONALLY IDENTIFIABLE INFORMATION (PII) AP1.1. GENERAL AP1.1.1. The IT environment subjects personal information to special hazards as to unauthorized compromise, alteration, dissemination, and use. Therefore, special considerations must be given to safeguarding personal information in IT systems consistent with the requirements of DoD Directive 8500.1 (Reference (ac)) and (ae). AP1.1.2. Personally identifiable information must also be protected while it is being processed or accessed in computer environments outside the data processing installation (such as remote job entry stations, terminal stations, minicomputers, microprocessors, and similar activities). AP1.1.3. IT facilities authorized to process classified material have adequate procedures and security for the purposes of this Regulation. However, all unclassified information subject to this Regulation must be processed following the procedures used to process and access information designated “FOUO.” (See Reference (h).) AP1.2. RISK MANAGEMENT AND SAFEGUARDING STANDARDS AP1.2.1. Establish administrative, technical, and physical safeguards that are adequate to protect the information against unauthorized disclosure, access, or misuse. (See OMB Circular A-130, Reference (ab) and DoD Instruction 8500.2 (Reference (ae).) AP1.2.2. Tailor safeguards to the type of system, the nature of the information involved, and the specific threat to be countered. AP1.3. MINIMUM ADMINISTRATIVE SAFEGUARDS The minimum safeguarding standards as set forth in paragraph C1.4.2. of Chapter 1 apply to all personal data within any IT system. In addition: AP1.3.1. Consider the following when establishing IT safeguards: AP1.3.1.1. The sensitivity of the data being processed, stored and accessed. AP1.3.1.2. The installation environment. AP1.3.1.3. The risk of exposure. AP1.3.1.4. The cost of the safeguard under consideration. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 81 of 111 DoD 5400.11-R, May 14, 2007 APPENDIX 1 81 AP1.3.2. Label or designate media products containing personal information that do not contain classified material in such a manner as to alert those using or handling the information of the need for special protection. Designating products “For Official Use Only” in accordance with Reference (h) satisfies this requirement. AP1.3.3. Mark and protect all computer products containing classified data in accordance with References (h) and (ac). AP1.3.4. Mark and protect all computer products containing “For Official Use Only” material in accordance with Reference (h). AP1.3.5. Ensure that safeguards for protected information stored at secondary sites are appropriate. AP1.3.6. If there is a computer failure, restore all protected information being processed at the time of the failure using proper recovery procedures to ensure data integrity. AP1.3.7. Train personnel involved in processing information subject to this Regulation in proper safeguarding procedures. AP1.4. PHYSICAL SAFEGUARDS AP1.4.1. For all unclassified facilities, areas, and devices that process information subject to this Regulation, establish physical safeguards that protect the information against reasonably identifiable threats that could result in unauthorized access or alteration. AP1.4.2. Develop access procedures for unclassified computer rooms, tape libraries, micrographic facilities, decollating shops, product distribution areas, or other direct support areas that process or contain personal information subject to this Regulation that control adequately access to these areas. AP1.4.3. Safeguard on-line devices directly coupled to IT systems that contain or process information from systems of records to prevent unauthorized disclosure, use, or alteration. AP1.4.4. Dispose of paper records following appropriate record destruction procedures. (See paragraph C1.4.3. and Reference (h).) AP1.5. TECHNICAL SAFEGUARDS AP1.5.1. Components are to ensure that all PII not explicitly cleared for public release is protected according to Confidentially Level Sensitive, as established in DoD Instruction 8500.2 (Reference (ae)). In addition, all DoD information and data owners shall conduct risk assessments of compilations of PII and identify those needing more stringent protection for remote access or mobile computing. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 82 of 111 DoD 5400.11-R, May 14, 2007 APPENDIX 1 82 AP1.5.2. Encrypt unclassified personal information in accordance with current Information Assurance (IA) policies and procedures, as issued. AP1.5.3. Remove personal data stored on magnetic storage media by methods that preclude reconstruction of the data. AP1.5.4. Ensure that personal information is not inadvertently disclosed as residue when transferring magnetic media between activities. AP1.5.5 Only DoD authorized devices shall be used for remote access. Any remote access, whether for user or privileged functions, must conform to IA controls specified in Reference (ae). AP1.5.6 Remote access for processing PII should comply with the latest IA policies and procedures. AP1.5.7. Minimize access to data fields necessary to accomplish an employee’s task - normally, access shall be granted only to those data elements (fields) required for the employee to perform his or her job rather than granting access to the entire database. AP1.5.8. Do not totally rely on proprietary software products to protect personnel data during processing or storage. AP1.6. SPECIAL PROCEDURES AP1.6.1. Managers shall: AP1.6.1.1. Prepare and submit for publication all system notices and amendments and alterations thereto. (See paragraph C6.1.6. of Chapter 6.) AP1.6.1.2. Identify required controls and individuals authorized access to PII and maintain updates to the access authorizations. AP1.6.1.3. When required, ensure Privacy Impact Assessments are prepared consistent with the requirements of Section 3501 of title 44, U.S.C. (Reference (ad)) and the DoD Deputy Chief Information Officer Memorandum (Reference (af)). AP1.6.1.4. Train all personnel whose official duties require access to the system of records in the proper safeguarding and use of the information and ensure that they receive Privacy Act training. AP1.7. RECORD DISPOSAL Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 83 of 111 DoD 5400.11-R, May 14, 2007 APPENDIX 1 83 AP1.7.1. Dispose of records subject to this Regulation so as to prevent compromise. (See paragraph C1.4.3. of Chapter 1.) Magnetic tapes or other magnetic medium may be cleared by degaussing, overwriting, or erasing. (See the DoD Memorandum (Reference (ag).) AP1.7.2. Do not use respliced waste computer products containing personal data. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 84 of 111 DoD 5400.11-R, May 14, 2007 APPENDIX 2 84 AP2. APPENDIX 2 SAMPLE NOTIFICATION LETTER Dear Mr. John Miller: On January 1, 2006, a DoD laptop computer was stolen from the parked car of a DoD employee in Washington, D.C. after normal duty hours while the employee was running a personal errand. The laptop contained personally identifying information on 100 DoD employees who were participating in the xxx Program. The compromised information is the name, social security number, residential address, date of birth, office and home email address, office, and home telephone numbers of the Program participants. The theft was immediately reported to local and DoD law enforcement authorities, who are now conducting a joint inquiry into the loss. We believe that the laptop was the target of the theft as opposed to any information that the laptop might contain. Because the information in the laptop was password protected and encrypted, we also believe that the probability is low that the information will be acquired and used for an unlawful purpose. However, we cannot say with certainty that this might not occur. We therefore believe that you should consider taking such actions as are possible to protect against the potential that someone might use the information to steal your identity. You should be guided by the actions recommended by the Federal Trade Commission (FTC) at its Web site at http://www.consumer.gov/idtheft/con_steps.htm. The FTC urges that you immediately place an initial fraud alert on your credit file. The Fraud alert is for a period of 90 days, during which, creditors are required to contact you before a new credit card is issued or an existing card changed. The site also provides other valuable information that can be taken now or in the future if problems should develop. The Department of Defense takes this loss very seriously and is reviewing its current policies and practices with a view of determining what must be changed to preclude a similar occurrence in the future. At a minimum, we will be providing additional training to personnel to ensure that they understand that personally identifiable information must at all times be treated in a manner that preserves and protects the confidentiality of the data. We deeply regret and apologize for any inconvenience and concern this theft may cause you. Should you have any questions, please call ____________________. Sincerely, Signature Block (Directorate level or higher) Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 85 of 111 DoD 5400.11-R, May 14, 2007 APPENDIX 3 85 AP3. APPENDIX 3 DoD BLANKET ROUTINE USES AP3.1. ROUTINE USE - LAW ENFORCEMENT If a system of records maintained by a DoD Component to carry out its functions indicates a violation or potential violation of law, whether civil, criminal, or regulatory in nature, and whether arising by general statute or by regulation, rule, or order issued pursuant thereto, the relevant records in the system of records may be referred, as a routine use, to the agency concerned, whether Federal, State, local, or foreign, charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, rule, regulation, or order issued pursuant thereto. AP3.2. ROUTINE USE - DISCLOSURE WHEN REQUESTING INFORMATION A record from a system of records maintained by a Component may be disclosed as a routine use to a Federal, State, or local agency maintaining civil, criminal, or other relevant enforcement information or other pertinent information, such as current licenses, if necessary to obtain information relevant to a Component decision concerning the hiring or retention of an employee, the issuance of a security clearance, the letting of a contract, or the issuance of a license, grant, or other benefit. AP3.3. ROUTINE USE - DISCLOSURE OF REQUESTED INFORMATION A record from a system of records maintained by a Component may be disclosed to a Federal Agency, in response to its request, in connection with the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency’s decision on the matter. AP3.4. ROUTINE USE - CONGRESSIONAL INQUIRIES Disclosure from a system of records maintained by a Component may be made to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual. AP3.5. ROUTINE USE - PRIVATE RELIEF LEGISLATION Relevant information contained in all systems of records of the Department of Defense published on or before August 22, 1975, may be disclosed to the Office of Management and Budget in connection with the review of private relief legislation as set forth in OMB Circular A-19 at any stage of the legislative coordination and clearance process as set forth in that circular. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 86 of 111 DoD 5400.11-R, May 14, 2007 APPENDIX 3 86 AP3.6. ROUTINE USE - DISCLOSURES REQUIRED BY INTERNATIONAL AGREEMENTS A record from a system of records maintained by a Component may be disclosed to foreign law enforcement, security, investigatory, or administrative authorities to comply with requirements imposed by, or to claim rights conferred in, international agreements and arrangements, including those regulating the stationing and status in foreign countries of Department of Defense military and civilian personnel. AP3.7. ROUTINE USE - DISCLOSURE TO STATE AND LOCAL TAXING AUTHORITIES Any information normally contained in Internal Revenue Service (IRS) Form W-2 which is maintained in a record from a system of records maintained by a Component may be disclosed to State and local taxing authorities with which the Secretary of the Treasury has entered into agreements under sections 5516, 5517, 5520 of 5 U.S.C., and only to those State and local taxing authorities for which an employee or military member is or was subject to tax regardless of whether tax is or was withheld. This routine use is in accordance with Treasury Fiscal Requirements Manual Bulletin No. 76-07. AP3.8. ROUTINE USE - DISCLOSURE TO THE OFFICE OF PERSONNEL MANAGEMENT A record from a system of records subject to the Privacy Act and maintained by a Component may be disclosed to the Office of Personnel Management (OPM) concerning information on pay and leave, benefits, retirement deductions, and any other information necessary for the OPM to carry out its legally authorized government-wide personnel management functions and studies. AP3.9. ROUTINE USE - DISCLSOURE TO THE DEPARTMENT OF JUSTICE FOR LITIGATION A record from a system of records maintained by a Component may be disclosed as a routine use to any Component of the Department of Justice for the purpose of representing the Department of Defense, or any officer, employee or member of the Department in pending or potential litigation to which the record is pertinent. AP3.10. ROUTINE USE - DISCLOSURE TO MILITARY BANKING FACILITIES Information as to current military addresses and assignments may be provided to military banking facilities who provide banking services overseas and who are reimbursed by the Government for certain checking and loan losses. For personnel separated, discharged, or retired from the Armed Forces, information as to last known residential or home of record address may be provided to the military banking facility upon certification by a banking facility officer that the facility has a returned or dishonored check negotiated by the individual or the individual has defaulted on a loan and that if restitution is not made by the individual, the U.S. Government will be liable for the losses the facility may incur. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 87 of 111 DoD 5400.11-R, May 14, 2007 APPENDIX 3 87 AP3.11. ROUTINE USE - DISCLOSURE OF INFORMTION TO THE GENERAL SERVICES ADMINISTRATION A record from a system of records maintained by a Component may be disclosed as a routine use to GSA for the purpose of records management inspections conducted under authority of 44 U.S.C. 2904 and 2906. AP3.12. ROUTINE USE - DISCLOSURE OF INFORMATION TO THE NATIONAL ARCHIVES AND RECORDS ADMINISTRATION A record from a system of records maintained by a Component may be disclosed as a routine use to NARA for the purpose of records management inspections conducted under authority of 44 U.S.C. 2904 and 2906. AP3.13. ROUTINE USE - DISCLOSURE TO THE MERIT SYSTEMS PROTECTION BOARD A record from a system of records maintained by a Component may be disclosed as a routine use to the Merit Systems Protection Board, including the Office of the Special Counsel, for the purpose of litigation, including administrative proceedings, appeals, special studies of the civil service and other merit systems, review of OPM or Component rules and regulations, investigation of alleged or possible prohibited personnel practices, including administrative proceedings involving any individual subject of a DoD investigation, and such other functions, promulgated in 5 U.S.C. 1205 and 1206 or as may be authorized by law. AP3.14. ROUTINE USE - COUNTERINTELLIGENCE PURPOSES A record from a system of records maintained by a Component may be disclosed as a routine use outside the Department of Defense or the U.S. Government for the purpose of counterintelligence activities authorized by U.S. law or Executive Order, or for the purpose of enforcing laws that protect the national security of the United States. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 88 of 111 DoD 5400.11-R, May 14, 2007 APPENDIX 4 88 AP4. APPENDIX 4 PROVISIONS OF THE PRIVACY ACT FROM WHICH A GENERAL OR A SPECIFIC EXEMPTION MAY BE CLAIMED Exemptions (j)(2) (k) (1-7) Section of the Privacy Act No No (b)(1) Disclosures within the Department of Defense. No No (2) Disclosures to the public. No No (3) Disclosures for a “Routine Use.” No No (4) Disclosures to the Bureau of Census. No No (5) Disclosures for statistical research and reporting. No No (6) Disclosures to the National Archives. No No (7) Disclosures for law enforcement purposes. No No (8) Disclosures under emergency circumstances. No No (9) Disclosures to the Congress. No No (10) Disclosures to the General Accounting Office. No No (11) Disclosures pursuant to court orders. No No (12) Disclosure to consumer reporting agencies. No No (c)(1) Making disclosure accountings. No No (2) Retaining disclosure accountings. Yes Yes (c)(3) Making disclosure accounting available to the individual. Yes No (c)(4) Informing prior recipients of corrections. Yes Yes (d)(1) Individual access to records. Yes Yes (2) Amending records. Yes Yes (3) Review of the Component’s refusal to amend a record. Yes Yes (4) Disclosure of disputed information. Yes Yes (5) Access to information compiled in anticipation of civil action. Yes Yes (e)(1) Restrictions on collecting information. Yes No (e)(2) Collecting directly from the individual. Yes No (3) Informing individuals from whom information is requested. No No (e)(4)(A) Describing the name and location of the system. No No (B) Describing categories of individuals. No No (C) Describing categories of records. No No (D) Describing routine uses. No No (E) Describing records management policies and practices. No No (F) Identifying responsible officials. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 89 of 111 DoD 5400.11-R, May 14, 2007 APPENDIX 4 89 Exemptions (j)(2) (k) (1-7) Section of the Privacy Act Yes Yes (e)(4)(G) Procedures for determining if a system contains a record on an individual. Yes Yes (H) Procedures for gaining access. Yes Yes (I) Describing categories of information sources. Yes No (e)(5) Standards of accuracy. No No (e)(6) Validating records before disclosure. No No (e)(7) Records of First Amendment activities. No No (e)(8) Notification of disclosure under compulsory legal process. No No (e)(9) Rules of conduct. No No (e)(10) Administrative, technical, and physical safeguards. No No (11) Notice for new and revised routine uses. Yes Yes (f)(1) Rules for determining if an individual is subject of a record. Yes Yes (f)(2) Rules for handling access requests. Yes Yes (f)(3) Rules for granting access. Yes Yes (f)(4) Rules for amending records. Yes Yes (f)(5) Rules regarding fees. Yes No (g)(1) Basis for civil action. Yes No (g)(2) Basis for judicial review and remedies for refusal to amend. Yes No (g)(3) Basis for judicial review and remedies for denial of access. Yes No (g)(4) Basis for judicial review and remedies for other failure to comply. Yes No (g)(5) Jurisdiction and time limits. Yes No (h) Rights of legal guardians. No No (i)(1) Criminal penalties for unauthorized disclosure. No No (2) Criminal penalties for failure to publish. No No (3) Criminal penalties for obtaining records under false pretenses. No No (j) Rulemaking requirement. N/A N/A (j)(1) General exemption for the Central Intelligence Agency. N/A N/A (j)(2) General exemption for criminal law enforcement records. No No (k) Rulemaking requirement. N/A N/A (k)(1) Exemption for classified material. N/A N/A (k)(2) Exemption for law enforcement material. N/A N/A (k)(3) Exemption for records pertaining to Presidential protection. N/A N/A (k)(4) Exemption for statistical records. N/A N/A (k)(5) Exemption for investigatory material compiled for determining suitability for employment or service. N/A N/A (k)(6) Exemption for testing or examination material. Exemptions (j)(2) (k) (1-7) Section of the Privacy Act N/A N/A (k)(7) Exemption for promotion evaluation materials used by the Armed Forces. Yes No (l)(1) Records stored in GSA records centers. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 90 of 111 DoD 5400.11-R, May 14, 2007 APPENDIX 4 90 Yes No (l)(2) Records archived before September 27, 1975. Yes No (l)(3) Records archived on or after September 27, 1975. Yes No (m) Applicability to Government contractors. Yes No (n) Mailing lists. N/A N/A (o) Matching Agreements. N/A N/A (p) Verification and Opportunity to Contest Findings. N/A N/A (q) Sanctions. No No (r) Reports on New Systems and Matching Programs. N/A N/A (s) Biennial Report. N/A N/A (t) Effect of other laws. N/A N/A (u) Data Integrity Boards. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 91 of 111 DoD 5400.11-R, May 14, 2007 APPENDIX 5 91 AP5. APPENDIX 5 SAMPLE OF NEW OR ALTERED SYSTEM OF RECORDS NOTICE IN FEDERAL REGISTER FORMAT New System of Records Notice DEPARTMENT OF DEFENSE Office of the Secretary Privacy Act of 1974; System of Records AGENCY: Office of the Secretary, DoD ACTION: Notice to Add a System of Records SUMMARY: The Office of the Secretary of Defense proposes to add a system of records to its inventory of record systems subject to the Privacy Act of 1974 (5 U.S.C. 552a), as amended. DATES: The changes will be effective on (insert date thirty days after publication in the Federal Register) unless comments are received that would result in a contrary determination. ADDRESSES: Send comments to OSD Privacy Act Coordinator, Records Management Section, Washington Headquarters Services, 1155 Defense Pentagon, Washington, DC 20301-1155. FOR FURTHER INFORMATION CONTACT: Ms. Mary Smith at (703) 000-0000. SUPPLEMENTARY INFORMATION: The Office of the Secretary of Defense notices for systems of records subject to the Privacy Act of 1974 (5 U.S.C. 552a), as amended, have been published in the Federal Register and are available from the address above. The proposed systems reports, as required by 5 U.S.C. 552a(r) of the Privacy Act of 1974, as amended, were submitted on January 20, 2006, to the House Committee on Government Reform, the Senate Committee on Homeland Security and Governmental Affairs, and the Office of Management and Budget (OMB) pursuant to paragraph 4c of Appendix I to OMB Circular No. A- 130, “Federal Agency Responsibilities for Maintaining Records About Individuals,”dated February 8, 1996 (February 20, 1996, 61 FR 6427). Dated: February 1, 2006. John Miller Alternate OSD Federal Register Liaison Officer, Department of Defense. NSLRB 01 System name: The National Security Labor Relations Board (NSLRB). Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 92 of 111 DoD 5400.11-R, May 14, 2007 APPENDIX 5 92 System location: National Security Labor Relations Board (NSLRB), 1401 Wilson Boulevard, Arlington, VA 22209- 2325. Categories of individuals covered by the system: Current and former civilian Federal Government employees who have filed unfair labor practice charges, negotiability disputes, exceptions to arbitration awards, and impasses with the National Security Labor Relations Board (NSLRB) pursuant to the National Security Personnel System (NSPS). Categories of records in the system: Documents relating to the proceedings before the Board, including the name of the individual initiating NSLRB action, statements of witnesses, reports of interviews and hearings, examiner’s findings and recommendations, a copy of the original decision, and related correspondence and exhibits. Authority for maintenance of the system: The National Defense Authorization Act for FY 2004, Pub Law 108-136, Section 1101; 5 U.S.C. 9902(m), Labor Management Relations in the Department of Defense; and 5 CFR 9901.907, National Security Labor Relations Board. Purpose(s): To establish a system of records that will document adjudication of unfair labor practice charges, negotiability disputes, exceptions to arbitration awards, and impasses filed with the National Security Labor Relations Board. Routine uses of records maintained in the system, including categories of users and the purposes of such uses: In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, these records or information contained therein may specifically be disclosed outside the DoD as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows: To The Federal Labor Relations Authority (FLRA) or the Equal Employment Opportunity Commission, when requested, for performance of functions authorized by law. To disclose, in response to a request for discovery or for appearance of a witness, information that is relevant to the subject matter involved in a pending judicial or administrative proceeding. To provide information to officials of labor organizations recognized under 5 U.S.C. Chapter 71 when relevant and necessary to their duties of exclusive representation concerning personnel policies, practices, and matters affecting work conditions. The DoD “Blanket Routine Uses” set forth at the beginning of OSD’s compilation of systems of records notices apply to this system. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 93 of 111 DoD 5400.11-R, May 14, 2007 APPENDIX 5 93 Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system: Storage: Records are maintained on electronic storage media and paper. Retrievability: Records will be retrieved in the system by the following identifiers: assigned case number; individual’s name; labor organizations filing the unfair labor practice charges; negotiability disputes; exceptions to arbitration awards; date, month, year or filing; complaint type; and the organizational component from which the complaint arises. Safeguards: Records are maintained in a controlled facility. Physical entry is restricted by the use of locks, guards, and is accessible only to authorized personnel. Access to records is limited to person(s) responsible for servicing the record in performance of their official duties and who are properly screened and cleared for need-to-know. Access to computerized data is restricted by passwords, which are changed periodically. Retention and disposal: Records are disposed of 5 years after final resolution of case. System manager(s) and address: Executive Director, National Security Personnel System, Program Executive Office, 1401 Wilson Boulevard, Arlington, VA 22209-2325. Notification procedure: Individuals seeking to determine whether this system of records contains information about themselves should address written inquiries to the Executive Director, National Security Personnel System, Program Executive Office, 1401 Wilson Boulevard, Arlington, VA 22209-2325. Request should contain name; assigned case number; approximate case date (day, month, and year); case type; the names of the individuals and/or labor organizations filed the unfair labor practice charges; negotiability disputes; exceptions to arbitration awards; and impasses. Record access procedures: Individuals seeking access to records about themselves contained in this system of records should address written inquiries to the Executive Director, National Security Personnel System, Program Executive Office, 1401 Wilson Boulevard, Arlington, VA 22209-2325. Request should contain name; assigned case number; approximate case date (day, month, and year); case type; the names of the individuals and/or labor organizations filed the unfair labor practice charges; negotiability disputes; exceptions to arbitration awards; and impasses. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 94 of 111 DoD 5400.11-R, May 14, 2007 APPENDIX 5 94 Contesting record procedures: The OSD’s rules for accessing records, for contesting contents and appealing initial agency determinations are published in OSD Administrative Instruction No. 81; 32 CFR part 311; or may be obtained from the system manager. Record source categories: Individual; other officials or employees; and departmental and other records containing information pertinent to the NSLRB action. Exemptions claimed for the system: None. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 95 of 111 DoD 5400.11-R, May 14, 2007 APPENDIX 5 95 Altered System of Record Notice DEPARTMENT OF DEFENSE Defense Logistics Agency Privacy Act of 1974; Systems of Records AGENCY: Defense Logistics Agency ACTION: Notice to Alter a System of Records SUMMARY: The Defense Logistics Agency proposes to alter a system of records notice in its inventory of record systems subject to the Privacy Act of 1974 (5 U.S.C. 552a), as amended. The alteration adds two routine uses, revises the purpose category, and makes other administrative changes to the system notice. DATES: This action will be effective without further notice on (insert date thirty days after publication in the Federal Register) unless comments are received that would result in a contrary determination. ADDRESSES: Send comments to the Privacy Act Officer, Headquarters, Defense Logistics Agency, ATTN: DSS-B, 8725 John J. Kingman Road, Suite 2533, Fort Belvoir, VA 22060-6221. FOR FURTHER INFORMATION CONTACT: Ms. Mary Smith at (703) 000-0000. SUPPLEMENTARY INFORMATION: The Defense Logistics Agency notices for systems of records subject to the Privacy Act of 1974 (5 U.S.C. 552a), as amended, have been published in the Federal Register and are available from the address above. The proposed system report, as required by 5 U.S.C. 552a(r) of the Privacy Act of 1974, as amended, was submitted on January 29, 2004, to the House Committee on Government Reform, the Senate Committee on Governmental Affairs, and the Office of Management and Budget (OMB) pursuant to paragraph 4c of Appendix I to OMB Circular No. A-130, “Federal Agency Responsibilities for Maintaining Records About Individuals,”dated February 8, 1996 (February 20, 1996, 61 FR 6427). Dated: February 2, 2004. John Miller Alternate OSD Federal Register Liaison Officer, Department of Defense. S253.10 DLA-G System name: Invention Disclosure (February 22, 1993, 58 FR 10854). Changes: Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 96 of 111 DoD 5400.11-R, May 14, 2007 APPENDIX 5 96 * * * * * System identifier: Replace “S253.10 DLA-G” with “S100.70.” * * * * * Categories of individuals covered by the system: Delete “to the DLA General Counsel” at the end of the sentence and replace with “to DLA.” * * * * * Categories of records in the system: Delete entry and replace with Inventor’s name, Social Security Number, address, and telephone numbers; descriptions of inventions; designs or drawings, as appropriate; evaluations of patentability; recommendations for employee awards; licensing documents; and similar records. Where patent protection is pursued by DLA, the file may also contain copies of applications, Letters Patent, and related materials. * * * * * Authority for maintenance of the system: Delete entry and replace with 5 U.S.C. 301, Departmental Regulations; 5 U.S.C. 4502, General provisions; 10 U.S.C. 2320, Rights in technical data; 15 U.S.C. 3710b, Rewards for scientific, engineering, and technical personnel of federal agencies; 15 U.S.C. 3711d, Employee activities; 35 U.S.C. 181-185, Secrecy of Certain Inventions and Filing Applications in Foreign Countries; E.O. 9397 (SSN); and E.O. 10096 (Inventions Made by Government Employees) as amended by E.O. 10930. * * * * * Purpose(s): Delete entry and replace with “Data is maintained for making determinations regarding and recording DLA interest in the acquisition of patents; for documenting the patent process; and for documenting any rights of the inventor. The records may also used in conjunction with the employee award program, where appropriate.” * * * * * Routine uses of records maintained in the system, including categories of users and the purpose of such uses: Add two new paragraphs “To the U.S. Patent and Trademark Office for use in processing applications and performing related functions and responsibilities under title 35 of the U.S. Code. To foreign government patent offices for the purpose of securing foreign patent rights.” Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 97 of 111 DoD 5400.11-R, May 14, 2007 APPENDIX 5 97 * * * * * Safeguards: Delete entry and replace with “Access is limited to those individuals who require the records for the performance of their official duties. Paper records are maintained in buildings with controlled or monitored access. During non-duty hours, records are secured in locked or guarded buildings, locked offices, or guarded cabinets. The electronic records systems employ user identification and password or smart card technology protocols.” * * * * * Retention and disposal: Delete entry and replace with “Records maintained by Headquarters and field Offices of Counsel are destroyed 26 years after file is closed. Records maintained by field level Offices of Counsel where patent applications are not prepared are destroyed 7 years after closure.” * * * * * Record source categories: Delete entry and replace with “Inventors, reviewers, evaluators, officials of U.S. and foreign patent offices, and other persons having a direct interest in the file.” * * * * * S100.70 System name: Invention Disclosure. System location: Office of the General Counsel, HQ DLA-DG, 8725 John J. Kingman Road, Stop 2533, Fort Belvoir, VA 22060-6221, and the offices of counsel of the DLA field activities. Official mailing addresses are published as an appendix to DLA’s compilation of systems of records notices. Categories of individuals covered by the system: Employees and military personnel assigned to DLA who have submitted invention disclosures to DLA. Categories of records in the system: Inventor’s name, Social Security Number, address, and telephone numbers; descriptions of inventions; designs or drawings, as appropriate; evaluations of patentability; recommendations for employee awards; licensing documents; and similar records. Where patent protection is pursued by DLA, the file may also contain copies of applications, Letters Patent, and related materials. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 98 of 111 DoD 5400.11-R, May 14, 2007 APPENDIX 5 98 Authority for maintenance of the system: 5 U.S.C. 301, Departmental Regulations; 5 U.S.C. 4502, General provisions; 10 U.S.C. 2320, Rights in technical data; 15 U.S.C. 3710b, Rewards for scientific, engineering, and technical personnel of federal agencies; 15 U.S.C. 3711d, Employee activities; 35 U.S.C. 181-185, Secrecy of Certain Inventions and Filing Applications in Foreign Countries; E.O. 9397 (SSN); and E.O. 10096 (Inventions Made by Government Employees) as amended by E.O. 10930. Purpose(s): Data is maintained for making determinations regarding and recording DLA interest in the acquisition of patents, for documenting the patent process, and for documenting any rights of the inventor. The records may also be used in conjunction with the employee award program, where appropriate. Routine uses of records maintained in the system, including categories of users and the purposes of such uses: In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, these records or information contained therein may specifically be disclosed outside the DoD as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows: To the U.S. Patent and Trademark Office for use in processing applications and performing related functions and responsibilities under Title 35 of the U. S. Code. To foreign government patent offices for the purpose of securing foreign patent rights. Information may be referred to other government agencies or to non-government agencies or to non-government personnel (including contractors or prospective contractors) having an identified interest in a particular invention and the Government’s rights therein. The DoD “Blanket Routine Uses” set forth at the beginning of DLA’s compilation of systems of records notices apply to this system. Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system: Storage: Records are maintained in paper and computerized form. Retrievability: Filed by names of inventors. Safeguards: Access is limited to those individuals who require the records for the performance of their official duties. Paper records are maintained in buildings with controlled or monitored access. During non-duty hours, records are secured in locked or guarded buildings, locked offices, or guarded cabinets. The electronic records systems employ user identification and password or smart card technology protocols. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 99 of 111 DoD 5400.11-R, May 14, 2007 APPENDIX 5 99 Retention and disposal: Records maintain by the HQ and field Offices of Counsel are destroyed 26 years after file is closed. Records maintained by field level Offices of Counsel where patent applications are not prepared are destroyed 7 years after closure. System manager(s) and address: Office of the General Counsel, Headquarters, Defense Logistics Agency, ATTN: DG, 8725 John J. Kingman Road, Stop 2533, Fort Belvoir, VA 22060-6221. Notification procedure: Individuals seeking to determine whether information about themselves is contained in this system should address written inquiries to the Privacy Officer, Headquarters, Defense Logistics Agency, ATTN: DSS-B, 8725 John J. Kingman Road, Stop 6220, Fort Belvoir, VA 22060-6221, or the Privacy Officers at DLA field activities. Official mailing addresses are published as an appendix to DLA’s compilation of systems of records notices. Record access procedures: Individuals seeking access to information about themselves contained in this system should address written inquiries to the Privacy Officer, Headquarters, Defense Logistics Agency, ATTN: DSS-B, 8725 John J. Kingman Road, Stop 6220, Fort Belvoir, VA 22060-6221, or the Privacy Officers at the DLA field activities. Official mailing addresses are published as an appendix to DLA’s compilation of systems of records notices. Individuals should provide information that contains full name, current address and telephone numbers of requester. For personal visits, each individual shall provide acceptable identification, e.g., driver’s license or identification card. Contesting record procedures: The DLA rules for accessing records, contesting contents, and appealing initial agency determinations are contained in 32 CFR part 323, or may be obtained from the Privacy Act Officer, Headquarters, Defense Logistics Agency, ATTN: DSS-B, 8725 John J. Kingman Road, Stop 6220, Fort Belvoir, VA 22060-6221. Record source categories: Inventors, reviewers, evaluators, officials of U.S. and foreign patent offices, and other persons having a direct interest in the file. Exemptions claimed for the system: None. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 100 of 111 DoD 5400.11-R, May 14, 2007 APPENDIX 6 100 AP6. APPENDIX 6 FORMAT FOR NEW OR ALTERED SYSTEM REPORT The report on a new or altered system shall consist of a transmittal letter, a narrative statement, and include supporting documentation. A. TRANSMITTAL LETTER. The transmittal letter shall be prepared by the Defense Privacy Office and shall contain assurances that the new or altered system does not duplicate any existing Component systems, DoD-wide systems or government-wide systems. The narrative statement, and the system notice, shall be attached thereto. B. NARRATIVE STATEMENT. The statement shall include information on the following: 1. System Identifier and name; 2. Responsible official; 3. Purpose of establishing the system [for a new system only) or Nature of the changes proposed for the system [for altered system only]; 4. Authority for maintenance of the System; 5. Probable or potential effects on the privacy of individuals; 6. Is the system, in whole or part, being maintained by a contractor; 7. Steps taken to minimize risk of unauthorized access; 8. Routine use compatibility; 9. OMB information collection requirements; and 10. Supporting documentation. Attachments - 2 AP6.A1. Format for Narrative Statement AP6.A2. Sample Narrative Statement Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 101 of 111 DoD 5400.11-R, May 14, 2007 APPENDIX 6, ATTACHMENT 1 101 AP6.A1. APPENDIX 6, ATTACHMENT 1 FORMAT FOR NARRATIVE STATEMENT DEPARTMENT OF DEFENSE [Component Name] Narrative Statement on a [New/Altered] system of records Under the Privacy Act of 1974 1. System Identifier and Name. This caption sets forth the identification and name of the system (see paragraphs C6.3.2. and C6.3.3. of Chapter 6). 2. Responsible Official. The name, title, address, and telephone number of the official responsible for the report and to whom inquiries and comments about the report may be directed by Congress, the Office of Management and Budget, or the Defense Privacy Office. 3. Purpose of establishing the system or nature of the changes proposed for the system: Describe the purpose of the new system or how an existing system is being changed. 4. Authority for maintenance of the system. See paragraph C6.3.7. of Chapter 6. 5. Probable or potential effects on the privacy of individuals. What effect, if any, will the new or altered system impact the personal privacy of the affected individuals. 6. Is the system, in whole or in part, being maintained by a contractor. If yes, Components shall ensure that the contract has incorporated the Federal Acquisition privacy clause (Reference (k)). 7. Steps taken to minimize risk of unauthorized access. Describe actions taken to reduce the vulnerability of the system to potential threats. See Appendix 1 to this regulation. 8. Routine use compatibility. Provide assurances that any records contained in the system that are disclosed outside the DoD shall be for a use that is compatible with the purpose for which the record was collected. Advise whether or not the blanket routine uses apply to this system. 9. OMB collection requirements. If information is to be collected from members of the public, the requirements of Reference (ag) apply and OMB must be advised. 10. Supporting documentation. The following are typical enclosures that may be required: a. An advance copy of the system notice for a new or altered system that is proposed for publication. b. An advance copy of a proposed exemption rule if the new or altered system is to be exempted in accordance with Chapter 5. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 102 of 111 DoD 5400.11-R, May 14, 2007 APPENDIX 6, ATTACHMENT 1 102 c. Any other supporting documentation that may be pertinent or helpful in understanding the need for the system or clarifying its intended use. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 103 of 111 DoD 5400.11-R, May 14, 2007 APPENDIX 6, ATTACHMENT 2 103 AP6.A2. APPENDIX 6, ATTACHMENT 2 SAMPLE NARRATIVE STATEMENT DEPARTMENT OF DEFENSE Office of the Secretary Narrative Statement on a New System of Records Under the Privacy Act of 1974 1. System identifier and name: NSLRB 01, entitled “The National Security Labor Relations Board (NSLRB).” 2. Responsible official: Mr. John Miller, National Security Labor Relations Board (NSLRB), 0000 Smith Boulevard, Arlington, VA 22209, Telephone (703) 000-0000. 3. Purpose of establishing the system: The Office of the Secretary of Defense is proposing to establish a system of records that will document adjudication of unfair labor practice charges, negotiability disputes, exceptions to arbitration awards, and impasses filed with the National Security Labor Relations Board. 4. Authority for the maintenance of the system: The National Defense Authorization Act for FY 2004, Pub Law 108-136, Section 1101; 5 U.S.C. 9902(m), Labor Management Relations in the Department of Defense; and 5 CFR 9901.907, National Security Labor Relations Board. 5. Probable or potential effects on the privacy of individuals: None 6. Is the system, in whole or in part, being maintained by a contractor? No 7. Steps taken to minimize risk of unauthorized access: Records are maintained in a controlled facility. Physical entry is restricted by the use of locks, guards, and is accessible only to authorized personnel. Access to records is limited to person(s) responsible for servicing the record in performance of their official duties and who are properly screened and cleared for need-to-know. Access to computerized data is restricted by passwords, which are changed periodically. 8. Routine use compatibility: Any release of information contained in this system of records outside of the DoD will be compatible with purposes for which the information is collected and maintained. The DoD “Blanket Routine Uses” apply to this system of records. 9. OMB information collection requirements: None. 10. Supporting documentation: None. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 104 of 111 DoD 5400.11-R, May 14, 2007 APPENDIX 7 104 AP7. APPENDIX 7 SAMPLE AMENDMENTS OR DELETIONS TO SYSTEMS NOTICES IN FEDERAL REGISTER FORMAT Amendment of system notice DEPARTMENT OF DEFENSE Department of the Army Privacy Act of 1974; System of Records AGENCY: Department of the Army, DoD. ACTION: Notice to Amend a System of Records. SUMMARY: The Department of the Army is proposing to amend a system of records notice in its existing inventory of records systems subject to the Privacy Act of 1974, (5 U.S.C. 552a), as amended. DATES: This proposed action will be effective without further notice on (insert date thirty days after publication in Federal Register) unless comments are received which result in a contrary determination. ADDRESSES: Department of the Army, Freedom of Information / Privacy Division, U.S. Army Records Management and Declassification Agency, ATTN: AHRC-PDD-FPZ, 7701 Telegraph Road, Casey Building, Suite 144, Alexandria, VA 22325-3905. FOR FURTHER INFORMATION CONTACT: Ms. Mary Smith at (703) 000-0000. SUPPLEMENTARY INFORMATION: The Department of the Army systems of records notices subject to the Privacy Act of 1974, (5 U.S.C. 552a), as amended, have been published in the Federal Register and are available from the address above. The specific changes to the records systems being amended are set forth below followed by the notices, as amended, published in their entirety. The proposed amendments are not within the purview of subsection (r) of the Privacy Act of 1974, (5 U.S.C. 552a), as amended, which requires the submission of a new or altered system report. Dated: February 3, 2006. John Miller Alternate OSD Federal Register Liaison Officer, Department of Defense. A0055 USEUCOM System name: Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 105 of 111 DoD 5400.11-R, May 14, 2007 APPENDIX 7 105 Europe Command Travel Clearance Records (August 23, 2004, 69 FR 51817). Changes: * * * * * System name: Delete system identifier and replace with: “A0055 USEUCOM DoD”. * * * * * A0055 USEUCOM DoD System name: Europe Command Travel Clearance Records. System location: Headquarters, United States European Command, Computer Network Operations Center, Building 2324, P.O. Box 1000, APO AE 09131-1000. Categories of individuals covered by the system: Military, DoD civilians, and non-DoD personnel traveling under DoD sponsorship (e.g., contractors, foreign nationals and dependents) and includes temporary travelers within the United States European Command’s (USEUCOM) area of responsibility as define by the DoD Foreign Clearance Guide Program. Categories of records in the system: Travel requests, which contain the individual’s name; rank/pay grade; Social Security Number; military branch or department; passport number; Visa Number; office address and telephone number, official and personal email address, detailed information on sites to be visited, visitation dates and purpose of visit. Authority for the maintenance of the system: 10 U.S.C. 3013, Secretary of the Army; 10 U.S.C. 5013, Secretary of the Navy; 10 U.S.C. 8013, Secretary of the Air Force; DoD 4500.54-G, Department of Defense Foreign Clearance Guide; Public Law 99-399, Omnibus Diplomatic Security and Antiterrorism Act of 1986; 22 U.S.C. 4801, 4802, and 4805, Foreign Relations and Intercourse; E.O.12333, United States Intelligence Activities; Army Regulation 55-46, Travel Overseas; and E.O. 9397 (SSN). Purpose (s): To provide the DoD with an automated system to clear and audit travel within the United States European Command’s area of responsibility and to ensure compliance with the specific clearance requirements outline in the DoD Foreign Clearance Guide; to provide individual travelers with intelligence and travel warnings; and to provide the Defense Attaché and other DoD authorized officials with information necessary to verify official travel by DoD personnel. Routine uses of records maintained in the system, including categories of users and the purposes of such uses: Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 106 of 111 DoD 5400.11-R, May 14, 2007 APPENDIX 7 106 In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, these records or information contained therein may specifically be disclosed outside the DoD as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows: To the Department of State Regional Security Officer, U.S. Embassy officials, and foreign police for the purpose of coordinating security support for DoD travelers. The DoD “Blanket Routine Uses” set forth at the beginning of the Army’s compilation of systems of records notices also apply to this system Policies and practices for storing, retiring, accessing, retaining, and disposing of records. Storage: Electronic storage media. Retrievability: Retrieved by individual’s surname, Social Security Number and/or passport number. Safeguards: Electronic records are located in the United States European Command’s Theater Requirements Automated Clearance System (TRACS) computer database with built in safeguards. Computerized records are maintained in controlled areas accessible only to authorized personnel with an official need to know access. In addition, automated files are password protected and in compliance with the applicable laws and regulations. Another built in safeguard of the system is records are access to the data through secure network. Retention and disposal: Records are destroyed 3 months after travel is completed. System manager(s) and address: Special Assistant for Security Matters, Headquarters, United States European Command, Unit 30400, P.O. Box 1000, APO AE 09131-1000. Notification procedures: Individuals seeking to determine whether information about themselves is contained in this system of records should address written inquiries to the Special Assistant for Security Matters, Headquarters, United States European Command, Unit 30400, P.O. Box 1000, APO AE 09131- 1000. Requests should contain individual’s full name, Social Security Number, and/or passport number. Record access procedures: Individuals seeking to access information about themselves that is contained in this system of records should address written inquiries to the Special Assistant for Security Matters, Headquarters, United States European Command, Unit 30400, P.O. Box 1000, APO AE 09131-1000. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 107 of 111 DoD 5400.11-R, May 14, 2007 APPENDIX 7 107 Requests should contain individual’s full name, Social Security Number, and/or passport number. Contesting record procedures: The Army’s rules for accessing records and for contesting contents and appealing initial agency determinations are contained in Army Regulation 340-21; 32 CFR part 505; or may be obtained from the system manager. Record source categories: From individuals. Exemptions claimed for the system: None. Deletion of system notice DEPARTMENT OF DEFENSE Office of the Secretary Privacy Act of 1974; System of Records AGENCY: Office of the Secretary, DoD. ACTION: Notice to Delete Systems of Records. SUMMARY: The Office of the Secretary of Defense is deleting a system of records notice from its existing inventory of records systems subject to the Privacy Act of 1974, (5 U.S.C. 552a), as amended. DATES: This proposed action will be effective without further notice on (insert date thirty days after publication in Federal Register) unless comments are received which result in a contrary determination. ADDRESSES: OSD Privacy Act Coordinator, Records Management Section, Washington Headquarters Services, 1155 Defense Pentagon, Washington, DC 20301-1155. FOR FURTHER INFORMATION CONTACT: Ms. Mary Smith at (703) 000-0000. SUPPLEMENTARY INFORMATION: The Office of the Secretary of Defense systems of records notices subject to the Privacy Act of 1974, (5 U.S.C. 552a), as amended, have been published in the Federal Register and are available from the address above. The specific changes to the records system being amended are set forth below followed by the notice, as amended, published in its entirety. The proposed amendments are not within the purview of subsection (r) of the Privacy Act of 1974, (5 U.S.C. 552a), as amended, which requires the submission of a new or altered system report. Dated: April 2, 2006. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 108 of 111 DoD 5400.11-R, May 14, 2007 APPENDIX 7 108 John Miller OSD Federal Register Liaison Officer, Department of Defense. DODDS 27 System name: DoD Domestic and Elementary School Employee File (May 9, 2003, 68 FR 24935). Reason: The records contained in this system of records are covered by OPM/GOVT-1 (General Personnel Records), a government wide system notice. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 109 of 111 DoD 5400.11-R, May 14, 2007 APPENDIX 8 109 AP8. APPENDIX 8 LITIGATION STATUS SHEET 1. Case Number1 2. Requester 3. Document Title or Description2 4. Litigation a. Date Complaint Filed b. Court c. Case File Number1 5. Defendants (DoD Component and individual) 6. Remarks (brief explanation of what the case is about) 7. Court Action a. Court’s Finding b. Disciplinary Action (as appropriate) 8. Appeal (as appropriate) a. Date Complaint Filed b. Court c. Case File Number d. Court’s Finding e. Disciplinary Action (as appropriate) Footnotes: 1. Number used by the Component for Reference purposes. Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 110 of 111 DoD 5400.11-R, May 14, 2007 APPENDIX 8 110 2. Indicate the nature of the case, such as, “Denial of access,” “Refusal to amend,” “Incorrect records,” or other violations of the Act (specify). Case 1:15-cv-00031-CKK Document 20-8 Filed 06/19/17 Page 111 of 111 Exhibit 8 Case 1:15-cv-00031-CKK Document 20-9 Filed 06/19/17 Page 1 of 32 DoD Financial Management Regulation Volume 7A, Chapter 50 January 2010 SUMMARY OF MAJOR CHANGES TO DoD 7000.14-R, VOLUME 7A, CHAPTER 50 “STOPPAGES AND COLLECTIONS OTHER THAN COURTS-MARTIAL FORFEITURES” All changes are denoted by blue font Substantive revisions are denoted by a preceding the section, paragraph, table, or figure that includes the revision Hyperlinks are denoted by underlined, bold, italic, blue font PARAGRAPH EXPLANATION OF CHANGE/REVISION PURPOSE 500104.A.1. Redefined the processing categories of debts. Update 500104.A. Defined administrative debts at two-thirds of pay. Update 500104.A.1.a.(2) Defined due-process debts to include 20 percent rate of collection for debts due to no fault of the member. Update 500104.A.1.a.(2) Added change from 20 percent to 15 percent effective on or after October 29, 2009 in accordance with Fiscal Year (FY) 2010 National Defense Authorization Act (NDAA). Update 500104.A.1.b Defined Combat Zone/Combat Operation debts. Update 500104.A.1.b Added change in collection of debts incurred at no fault by the member if wounded, injured or ill while serving in a combat zone, in accordance with FY 2010 NDAA. Update 500104.A.2 Defined collection of debts at separation. Update 500104.A.2.a Added reference to the appropriate rate of deduction from final separation pay. Add 500104.B Listed new address for forwarding debt paperwork. Update 500104.B.3 Lowered dollar threshold for Routine Administrative Adjustment. Update Former 500109 Deleted paragraph 500109 on Bankruptcies. Delete 500109 Renumbered paragraph 500110, “Pay Not Affected by Civil Process,” to 500109. Update Former 5002 Deleted section 5002 on “Legal Process for Enforcement of Child Support and Alimony Obligations.” Delete 5002 Added new section, “Centralized Processing of Involuntary Withholding of Member Pay for the Services’ Exchange Commands,” from DoDFMR, Volume 7C, Chapter 8. Update 50-1 Case 1:15-cv-00031-CKK Document 20-9 Filed 06/19/17 Page 2 of 32 DoD Financial Management Regulation Volume 7A, Chapter 50 January 2010 SUMMARY OF MAJOR CHANGES TO DoD 7000.14-R, VOLUME 7A, CHAPTER 50 “STOPPAGES AND COLLECTIONS OTHER THAN COURTS-MARTIAL FORFEITURES” All changes are denoted by blue font Substantive revisions are denoted by a preceding the section, paragraph, table, or figure that includes the revision Hyperlinks are denoted by underlined, bold, italic, blue font PARAGRAPH EXPLANATION OF CHANGE/REVISION PURPOSE Former 5003 Deleted section 5003 on “Involuntary Allotment of Pay for Enforcement of Commercial Debts” and renumbered sections 5004, 5005, 5007, and 5008. Delete 500301 Revised authority for remission of indebtedness. Update 500303.A Added Table 50-2 for debts that may be remitted. Update 5008 Added new “Bankruptcies” section. Update Table 50-1 Changed rule number 4 to number 6. Update Table 50-1 Added new rule number 4 and number 5 for debts due to no fault of the member. Add Table 50-6 Deleted duplicate Rule number 4. Delete Table 50-6 Added new rule number 5 for 20 percent collection for debts due to no fault of the member. Add Table 50-6 Added new rule number 6 for 15 percent collection for debts due to no fault of the member. Add Bibliography Updated Bibliography. Update 50-2 Case 1:15-cv-00031-CKK Document 20-9 Filed 06/19/17 Page 3 of 32 DoD Financial Management Regulation Volume 7A, Chapter 50 January 2010 TABLE OF CONTENTS STOPPAGES AND COLLECTIONS OTHER THAN COURTS-MARTIAL FORFEITURES 5001 Voluntary and Involuntary Collections 500101 Collection With Member’s Consent 500102 Collection Without Member’s Consent 500103 Limitation on Collections 500104 Installment Deduction for Indebtedness to the United States 500105 Interest, Penalties, and Administrative Costs 500106 Collection From Retired Pay 500107 Indebtedness Incurred in National Guard or Reserve 500108 Early Payment 500109 Pay Not Affected by Civil Process 5002 Centralized Processing of Involuntary Withholding of Member Pay for the Services’ Exchange Commands 500201 General Provisions 500202 Applicability and Scope 500203 General Procedures 500204 Certification 500205 System Overview 5003 Remission/Cancellation of Indebtedness 500301 Authority 500302 Restriction for Reserve Component Personnel 500303 Indebtedness Which May be Remitted 500303 How to Apply 5004 Appeals 500401 Right of Appeal 500402 Processing Appeals 500403 Claim for Refund 5005 Waiver of Claims for Erroneous Payments of Pay and Allowances 5006 Validation of Payments Based on Purported Marriages 500601 Authority for Validation 500602 Responsibility for Validation 500603 Payments Not Validated 50-3 Case 1:15-cv-00031-CKK Document 20-9 Filed 06/19/17 Page 4 of 32 DoD Financial Management Regulation Volume 7A, Chapter 50 January 2010 TABLE OF CONTENTS (Continued) STOPPAGES AND COLLECTIONS OTHER THAN COURTS-MARTIAL FORFEITURES 5007 Board of Correction of Military Records Offset 5008 Bankruptcies 500801 General Information 500802 Chapter 7, Bankruptcy 500803 Chapter 13, Wage Earner’s Plan Under the Bankruptcy Act 500804 Procedures Table 50-1 Indebtedness Due to Erroneous Payments, GAO Disallowances, and Notices of Exception Table 50-2 Indebtedness Due to Loss of Public Funds Table 50-3 Indebtedness Due to Loss or Damage to Public Property or Supplies Table 50-4 Miscellaneous Indebtedness to United States Table 50-5 Indebtedness to Individuals and Government Instrumentalities and Agents Table 50-6 Rates of Collection Bibliography 50-4 Case 1:15-cv-00031-CKK Document 20-9 Filed 06/19/17 Page 5 of 32 DoD Financial Management Regulation Volume 7A, Chapter 50 January 2010 CHAPTER 50 STOPPAGES AND COLLECTIONS OTHER THAN COURTS-MARTIAL FORFEITURES 5001 VOLUNTARY AND INVOLUNTARY COLLECTIONS 500101. Collection With Member’s Consent. Members indebted to the United States will be encouraged to discharge their indebtedness through lump-sum cash payment when possible. When the amount of the debt relative to the member’s ability to repay indicates that lump-sum settlement would create financial hardship for the member, installment payments will be accepted. Members will be encouraged to voluntarily accept liability for their indebtedness and to agree to a repayment schedule which adequately protects the interests of both the United States and the member. 500102. Collection Without Member’s Consent A. Current Pay 1. Current pay is available for repayment of an indebtedness without the member’s consent only if such recovery is authorized expressly by statute. 2. Where Tables 50-1 through 50-5 authorize collection to be made “involuntarily,” there is a statute authorizing such collection. When the indebtedness is a type for which there is no statute authorizing collection from pay, the tables authorize collection “with member’s consent.” B. Final Pay. When a member receives final pay on separation, indebtedness to the United States may be collected under the general rule of offset without specific statutory authority, subject to the limitations in paragraph 500104.A.2 and Table 50-6. Under this rule, debts which may be collected from current pay only with the member’s consent may be collected from final pay and allowances without the member’s consent. Amounts owed to a Service relief society (i.e., Army Emergency Relief, the Navy Relief Society, the Air Force Aid Society, or the Coast Guard Mutual Assistance) also may be collected from final pay without the member’s consent (Title 37, United States Code (U.S.C.), section 1007(c) and (h)). 500103. Limitation on Collections A. Current Pay. Some of the laws authorizing collection of indebtedness from a member’s pay impose restrictions on the amount that may be collected, on the items that may be collected, or on the items of pay from which collection may be made. These limitations are shown in Tables 50-1 through 50-6. When a member voluntarily authorizes collection, a rate of collection agreeable to the member and the disbursing officer is determined within guidelines shown in the referenced tables; however, collection in greater amounts may be authorized or requested by the member. 50-5 Case 1:15-cv-00031-CKK Document 20-9 Filed 06/19/17 Page 6 of 32 DoD Financial Management Regulation Volume 7A, Chapter 50 January 2010 B. Final Pay. Table 50-6 shows which items of final pay and allowances are available for offset of debts. The items shown as not available are specifically exempted by statute. C. Gross Pay. Compute gross pay by adding together basic pay, all special and incentive pays, and all reenlistment bonuses. Gross pay does not include allowances or reductions in pay, such as forfeitures and the Montgomery GI Bill. D. Disposable Pay. Disposable pay, when used to calculate maximum allowable deduction, is computed by deducting the following from gross pay of active-duty members: Federal Insurance Contributions Act (FICA); Armed Forces Retirement Home; Federal Income Tax Withholdings (FITW); Servicemembers’ Group Life Insurance (SGLI) (including Family SGLI (FSGLI) and Traumatic SGLI (TSGLI)); and State Income Tax Withholdings (SITW). For reservists, the deductions to calculate disposable pay are: FICA; FITW; SITW; and SGLI (including FSGLI and TSGLI). 500104. Installment Deduction for Indebtedness to the United States. Statutory authority to collect indebtedness to the United States by deductions from the member’s pay exists under 37 U.S.C. 1007(c) and 5 U.S.C. 5514. Other statutes authorize collection of specific classes of debts. Debts administratively determined to be owed the United States or any of its instrumentalities, other than the Department of Defense (DoD), shall be collected under 5 U.S.C. 5514. Court judgments against a member in favor of the United States may not be collected under Public Law 97-276, October 2, 1982. A. Collections Under 37, U.S.C., section 1007(c). This statute authorizes the deduction from a member’s pay of amounts that the Secretary of the Military Department concerned (or designee) administratively determines to be owed the United States or any of its instrumentalities. Pursuant to this section, two-thirds of the member’s disposable pay is the maximum amount that may be deducted from his/her monthly pay. Where a member of one Military Service owes a debt to another Military Service and the creditor Service makes an administrative determination of indebtedness, the creditor Service may forward that determination, along with a certification of compliance with the appropriate procedures set forth in this section, to the cognizant finance/disbursing activity servicing the member for collection action. 1. Categories of Debt a. Due Process Debt. Administrative debts greater than $50 and any non-administrative debt regardless of amount requiring formal notification in the form of a due process letter from the servicing finance/disbursing office will be processed pursuant to subparagraph 500104.A.3. (1) Fault of the Member. An overpayment of pay or allowances determined to be caused by fault of the member will be recovered in monthly installments not to exceed two-thirds of the member’s disposable monthly pay. The field office will initiate formal due-process notification to the member after receipt of a management notice 50-6 Case 1:15-cv-00031-CKK Document 20-9 Filed 06/19/17 Page 7 of 32 DoD Financial Management Regulation Volume 7A, Chapter 50 January 2010 from the pay system and initiate debt collection based on an appropriate liquidation schedule. A greater percentage may be deducted with the member’s consent. (2) No Fault by the Member. An overpayment of pay or allowances determined to be through no fault of the member will be recovered in monthly installments. For overpayments described in this subparagraph that are made on or after October 29, 2009, the Secretary concerned is required to provide a reasonable opportunity for the member to request a delay in the imposition of the repayment requirement to recover the overpayment. Before beginning collection efforts, the Secretary concerned shall consider the reasons provided by the member for the requested delay, including the financial ability of the member to repay the indebtedness, and the hardship that immediate collection would impose on the member and the member’s dependents. (a) If overpayment was made to member on or before October 28, 2009, then the overpayment will be recovered in monthly installments not to exceed 20 percent of the member’s disposable pay for each month. (b) If overpayment was made to member on or after October 29, 2009, then the overpayment will be recovered in monthly installments not to exceed 15 percent of the member’s disposable pay for each month. NOTE: The field office will initiate formal due-process notification to the member after receipt of a management notice from the pay system, and initiate debt collection based on an appropriate liquidation schedule. A greater percentage may be deducted with the member’s consent. b. Combat Zone/Combat Operation Debts. If a member of the Uniformed Services, through no fault of the member, incurs a wound, injury, or illness while in the line of duty in a combat operation or combat zone designated by the President or the Secretary of Defense, then any overpayment of pay or allowances made to the member while the member recovers from the wound, injury, or illness may not be deducted from the member's pay until: (1) The member is notified of the overpayment; and (2) The later of the following occurs: (a) The end of the 180-day period beginning on the date of the completion of the tour of duty of the member in the combat operation or combat zone. (b) The end of the 90-day period beginning on the date of the reassignment of the member from a military treatment facility or other medical unit outside of the theater of operations. However, after receiving notification of the overpayment, a member may request initiation of collection action at an earlier date. The field finance/disbursing office will determine the 50-7 Case 1:15-cv-00031-CKK Document 20-9 Filed 06/19/17 Page 8 of 32 DoD Financial Management Regulation Volume 7A, Chapter 50 January 2010 appropriate rate of collection pursuant to subparagraph 500104.A.1.a.(2). See subparagraph 500104.A.3 for due-process procedures. 2. Collecting Debt from Final Separation Pay a. An amount due from an enlisted member of the Army or Air Force may be deducted from their final separation pay. The appropriate rate of collection in subparagraph 500104.A.1.a applies to collection from the member’s final separation payment. b. There is no limitation on the amount that may be deducted from an officer of any service or an enlisted member of the Navy or Marine Corps from their final separation pay. 3. Due-Process Procedures. Before initiating any collection action other than routine adjustments as defined in subparagraph 500104.B.3, the member shall be given at least 30 days written notice of the indebtedness. These procedures do not apply when the member has previously consented to collection of the debt. The notice shall stipulate: a. The nature and amount of the debt due the United States, and the intent to commence collection through deductions from pay. b. That the member has the opportunity to inspect and copy government records related to the debt. c. That the member has an opportunity for review of all the decisions related to the debt. d. That the member has an opportunity to enter into a written agreement with the Secretary of the Military Service concerned (or designee) under terms agreeable to both parties to establish a schedule for repayment of the debt. e. That any portion of the debt remaining uncollected at the time of the member’s separation shall be collected from the member’s final pay and allowances. f. That the member has the right to seek waiver or remission/cancellation of the debt, if appropriate. NOTE: The procedures specified in subparagraph 500104.B.3 need not be completed prior to commencement of collection action if the time remaining before the member’s estimated date of separation is not sufficient to complete collection and the Government would be substantially prejudiced in its ability to collect the debt. 50-8 Case 1:15-cv-00031-CKK Document 20-9 Filed 06/19/17 Page 9 of 32 DoD Financial Management Regulation Volume 7A, Chapter 50 January 2010 B. Collections Under 5 U.S.C. 5514 1. Heads of Federal Agencies. A Federal agency, other than the DoD, may determine that a military member is indebted to the United States and that collection action against the member’s monthly pay under the authority of 5 U.S.C. 5514 is warranted. In such case, the agency should forward the collection request to the following office: Defense Finance and Accounting Service (DFAS)-Cleveland DFAS-CL/JDCBB 1240 E. 9th Street Cleveland, OH 44199-8002 2. Collections. May be made in monthly installments or at established pay intervals not to exceed 15 percent of disposable pay for any pay period, unless a greater percentage is authorized by written consent of the member. Unsatisfied debts at discharge or retirement shall be deducted from subsequent payments of any nature due the member. The collection of a debt owed to departments and agencies, other than DoD, its instrumentalities, or other Uniformed Services resulting from a court judgment, is included under this authority. The creditor agency is responsible for providing due process to member debtors and for certifying to the Secretary of Defense that due-process rights have been provided when requesting collection action. 3. Routine Administrative Adjustment. Routine administrative adjustments consist of administrative adjustments that correct overpayments resulting from clerical or administrative errors, delays in processing pay documents, or an automated pay system error, which is discovered and collected within no more than 2 monthly pay periods after the date of overpayment, or adjustments of $50 or less (regardless of when discovered or collected). a. The requirement for due process does not apply to routine administrative adjustments of pay. However, the member shall be provided with notice of adjustment when it is made, or as soon thereafter as practicable. The notice should provide a point of contact at the creditor agency for any questions or disputes the member may have. b. “No Pay Due” Notice. To prevent hardship to the member, a “no pay due” management notice will be generated to the servicing field office when a debt creates a “no pay due” situation for that member. 500105. Interest, Penalties, and Administrative Costs A. With respect to collections other than routine adjustments, the Secretary of the Military Department concerned (or designee) shall charge a minimum annual rate of interest on an outstanding debt to the United States that is equal to the average investment rate for the Treasury tax and loan accounts for the 12-month period ending on September 30 of each year, rounded to the nearest whole percentage point. 50-9 Case 1:15-cv-00031-CKK Document 20-9 Filed 06/19/17 Page 10 of 32 DoD Financial Management Regulation Volume 7A, Chapter 50 January 2010 B. Interest shall accrue from the date on which notice of debt and the interest requirements are first mailed or hand delivered to the debtor or such date as specified in the notice. C. Interest may not be charged if the amount due on the claim is paid within 30 days after the date from which interest accrues in subparagraph 500105.B. D. The Secretary concerned shall assess charges to cover administrative costs of processing and handling a delinquent debt. E. A penalty charge not to exceed 6 percent a year shall be assessed for failure to pay a part of a debt more than 90 days past due. The charge will be calculated on the 91st day of delinquency, but shall accrue from the date the debt became delinquent. F. Interest does not accrue on charges assessed under subparagraphs 500105.D and 500105.E. However, if the member defaults on a repayment agreement, then uncollected interest, administrative costs, and penalty charges shall be added to the principal to be repaid. G. The Secretary concerned may prescribe regulations identifying circumstances appropriate to waiving collection of interest and charges under subparagraphs 500105.A, 500105.D, and 500105.E. 500106. Collection From Retired Pay. Conditions for collection of active-duty debts from retired pay are in Chapter 28, Volume 7B of this Regulation. 500107. Indebtedness Incurred in National Guard or Reserve. When a member reenters active military service, collect for unsatisfied indebtedness incurred in a National Guard or Reserve status. 500108. Early Payment. Payday payments made in advance in accordance with paragraph 320107 are not considered “indebtedness” if the member dies before the date through which the pay was computed and paid. 500109. Pay Not Affected by Civil Process. An officer or enlisted member may not be deprived of pay by civil process, except as follows: A. Garnishment for child support or alimony (see Chapter 41). B. Levy for delinquent Federal income taxes (see section 4102). C. Levy for child support (see Chapter 41). D. Statutorily required child or child-and-spousal support allotments (see Chapter 41). 50-10 Case 1:15-cv-00031-CKK Document 20-9 Filed 06/19/17 Page 11 of 32 DoD Financial Management Regulation Volume 7A, Chapter 50 January 2010 5002 CENTRALIZED PROCESSING OF INVOLUNTARY WITHHOLDING OF MEMBER PAY FOR THE SERVICES’ EXCHANGE COMMANDS 500201. General Provisions A. Authority. Under 37 U.S.C. 1007(c) and regulations prescribed by the Secretary of the Military Department concerned, an amount that a member of the Uniformed Services is administratively determined to owe the United States or any of its instrumentalities may be deducted from the member’s pay in monthly installments. After the deduction of pay forfeited by the sentence of a court-martial, if any, or otherwise authorized by law to be withheld, the deductions authorized by this section may not reduce the pay actually received for any month to less than one-third of the pay. B. Purpose. This section provides the policy and procedures for collecting in-service debts for the Army and Air Force Exchange Service (AAFES), the Navy Exchange Command (NEXCOM), and the Marine Corps Exchange Command (referred to collectively as “The Exchange Commands”). It applies when active-duty, Reserve, and retired military members are delinquent in repayment of a dishonored check or in their credit plan. Through an automated DD Form 139 (Pay Adjustment Authorization) process, DFAS deducts payment from these members. C. Policy. When a member is indebted to a service exchange, under the authority of 37 U.S.C. 1007(c), the creditor agency (AAFES, NEXCOM, and Marine Corps Exchange) may forward to DFAS such determination. DFAS shall honor the request based on certification from the creditor that it complied with appropriate debt-collection procedures noted in subparagraph 500104.B. Under debt-collection procedures, if the debt has not been paid within 60 days after the date that the first notice is sent to the member, then the crediting agency may submit the debt for collection action to DFAS. The initiation of the pay deduction by DFAS will be in accordance with the rules of precedence of pay deductions and collections noted in Table 52-1. 500202. Applicability and Scope A. These procedures apply to the pay of Army, Navy, Air Force, and Marine Corps members serviced by the Defense Joint Military Pay System or the Marine Corps Total Force System. B. DFAS shall collect the amounts requested on monthly submissions, as long as the total monthly amount collected, including the amounts collected under 5 U.S.C. 5514, does not exceed two-thirds of the member’s disposable pay. Monthly collection amounts are reduced when the pay due a member is insufficient to cover authorized deductions or collections. Debt collection is subject to the priority of deductions and collections presented in Table 52-1. 500203. General Procedures A. Exchange Commands must certify that the member was provided due 50-11 Case 1:15-cv-00031-CKK Document 20-9 Filed 06/19/17 Page 12 of 32 DoD Financial Management Regulation Volume 7A, Chapter 50 January 2010 process in accordance with subparagraph 500104.A.3 and Table 50-5. Exchange Commands shall maintain “due process” documentation (demand letters) on individual delinquent debt accounts. B. Collection of any portion of the debt remaining uncollected at the time of a member’s separation shall be subject to subparagraph 500104.A.2. C. Exchange Commands may collect delinquent debts at a maximum deduction rate of two-thirds of the disposable pay. D. When a member enrolls in a credit plan, the Exchange Command shall advise the member of the maximum deduction for delinquent accounts. DFAS or field finance/disbursing offices are responsible for ensuring that collections do not exceed two-thirds of the member’s disposable monthly pay. E. DFAS or the field finance/disbursing office shall override the debt amount by inputting a transaction to change the deduction. This applies in cases where the repayment amount exceeds the maximum deduction limitation. F. DFAS or the field finance/disbursing office shall answer inquiries from the member on how exchange debt transactions are reflected on the Leave and Earning Statement. 500204. Certification A. Exchange Commands will handle telephone inquiries from a member concerning his or her debts and deduction amounts. B. Exchange Commands may not deduct from a member’s pay account money for a dishonored check written by a dependent without consent of the member. C. Exchange Commands use a listing of basic pay rates plus income data received from the member to determine the amount that is equal to or less than two-thirds of the member’s pay. D. If a member separates from active duty or if retired pay is suspended, then any uncollected amount is returned to the Exchange Commands for collection. E. Exchange Commands are responsible for overpaid debts. When a member has overpaid a debt, the Exchange Commands shall issue a refund immediately to the member for the overpayment. F. Exchange Commands will honor an agreement in which a member voluntarily agrees to repay the debt. If the member voluntarily repays the debt (off-line), then the Exchange Command cancels the offset request and notifies DFAS immediately. 50-12 Case 1:15-cv-00031-CKK Document 20-9 Filed 06/19/17 Page 13 of 32 DoD Financial Management Regulation Volume 7A, Chapter 50 January 2010 G. For audit purposes, Exchange Commands will maintain and ensure the availability of all documentation pertaining to these debts. 500205. System Overview A. Once a collection action is deemed necessary, the determining Exchange Command will transmit a monthly update transaction requesting a pay deduction. The input should be applied to the pay account in the appropriate sequence (see Table 52-1). B. DFAS provides new basic pay rates or other pay data to the Exchange Command as it becomes available. C. During a processing month, Exchange Commands submit the electronic pay-adjustment transaction, with name, Social Security Number, total debt, and the deduction amount for the month. Exchange Commands electronically submit the information in time to adjust in the payment processing update. D. The Exchange Command input identifies the balance due and the monthly collection amounts. If the debt is collected off-line after submitting the input, then the exchange is responsible for the refund. E. If the deduction amount input by the Exchange Command is greater than two-thirds, then DFAS or field finance/disbursing offices either change the deduction amount or return the debt to the Exchange Command to process. After the deduction is processed, DFAS notifies the Exchange Command of any adjustments. F. The Exchange Command manages the entire debt amount internally. Exchange Commands are responsible for notifying the member of the debt balance and encouraging the member to voluntarily submit payments. DFAS provides management notices (listing) to the servicing finance/disbursing office, if applicable, which identifies the member’s pay account to which the deduction is charged. G. Rejects are downloaded to the Exchange Commands after each update. Exchange Commands are required to work rejects on a daily basis. H. At the end of each processing month, DFAS sites wire-transfer the amounts deducted via electronic funds transfer to a central processing location for each Exchange Command identifying the affected members. 50-13 Case 1:15-cv-00031-CKK Document 20-9 Filed 06/19/17 Page 14 of 32 DoD Financial Management Regulation Volume 7A, Chapter 50 January 2010 5003 REMISSION/CANCELLATION OF INDEBTEDNESS 500301. Authority. If the Secretary of the Military Department considers it to be in the best interest of the United States, then the Secretary may remit or cancel any part of the indebtedness of a military member, to the United States, or any instrumentality of the United States that was incurred while the member was serving on active duty as a member of the applicable Military Department. This authority may be exercised with respect to any debt incurred on or after October 7, 2001. 500302. Restriction for Reserve Component Personnel. Remission/cancellation of indebtedness is not applicable for Reserve Component personnel performing inactive duty training or active duty for training, except as stated in subparagraph 500302.A and B. A. Army. An enlisted member of the Army National Guard who is charged with liability for government property that is lost, damaged, or destroyed on or after October 1, 1980, may have such liability remitted or cancelled under regulations prescribed by the Secretary of the Military Service concerned (or designee). B. Air Force. Any member of the Air National Guard (officer or enlisted member) who is charged with liability for government property that is lost, damaged, or destroyed on or after October 1, 1980, may have such liability remitted or cancelled under regulations prescribed by the Secretary of the Military Service concerned (or designee). 500303. Indebtedness Which May Be Remitted A. Debts to United States. Generally, any indebtedness may be considered for remission/cancellation (including those listed in Tables 50-1, 50-2, 50-3, and 50-4). Debts for erroneous payments may be processed for remission/cancellation if relief action has been denied under the appeal provisions referenced in section 5004 of this chapter; however, debts arising from erroneous payment of basic pay due to noncollection of courts-martial forfeitures may not be remitted or cancelled. B. Debts Within Jurisdiction of Military Service Concerned. The debt must be one over which the Military Department concerned has jurisdiction. For example, a Secretary of one Military Department may not remit a member’s indebtedness because of liability for damage to property of another Military Service. 500304. How to Apply. Process applicants for remission/cancellation of indebtedness as prescribed in procedural regulations of the Military Service concerned. 50-14 Case 1:15-cv-00031-CKK Document 20-9 Filed 06/19/17 Page 15 of 32 DoD Financial Management Regulation Volume 7A, Chapter 50 January 2010 5004 APPEALS 500401. Right of Appeal. When it is established that a member is indebted to the United States because of an erroneous payment made by any Military Service within DoD, the member has the right to appeal. A member may appeal the validity of the debt, the amount, or the liability for that debt. A member may also request review of the rate of collection on the basis of undue hardship, or upon proof that the rate of collection is inequitable. 500402. Processing Appeals. Process appeals as prescribed in procedural regulations of the Military Service concerned. 500403. Claim for Refund. A member may file a written claim for any amounts considered erroneously collected from the pay account. The claim is sent to the disbursing officer or, if separated, to the cognizant DFAS site. If the claim is denied, in whole or in part, then an appeal should be submitted to Defense Office of Hearings and Appeals under the procedures set forth at Title 32, Code of Federal Regulations (C.F.R.), Part 282, Appendix E. 5005 WAIVER OF CLAIMS FOR ERRONEOUS PAYMENTS OF PAY AND ALLOWANCES When a member applies for waiver of a claim by the United States arising out of erroneous payments under 10 U.S.C. 2774, forward such applications to the cognizant DFAS site. Only the waiver application processing office, as designated by the directors of the DFAS sites, has authority to suspend collection action pending action on a waiver application under 10 U.S.C. 2774. 5006 VALIDATION OF PAYMENTS BASED ON PURPORTED MARRIAGES 500601. Authority for Validation. Payment of allowances based on a purported marriage and made under Title 37, United States Code, or prior laws, before the marriage is annulled or terminated, are valid if: A. A court of competent jurisdiction adjudges or decrees that the military member entered the marriage in good faith. B. In the absence of such judgment or decree, a finding of good faith is made by the Secretary of the Military Service concerned or a person designated by the Secretary of the Military Department concerned to investigate the matter. 500602. Responsibility for Validation. Findings of good faith under subparagraph 500601.B are submitted to the DFAS offices listed in the Joint Federal Travel Regulation (JFTR), subparagraph U10104.G.3, Member’s Marriage Status Determination. Purported marriages requiring such findings as listed in the JFTR, paragraph, U10104.G. 50-15 Case 1:15-cv-00031-CKK Document 20-9 Filed 06/19/17 Page 16 of 32 DoD Financial Management Regulation Volume 7A, Chapter 50 January 2010 500603. Payments Not Validated. Payments based on invalid marriages are considered erroneous payments or overpayments unless validated. 5007 BOARD OF CORRECTION OF MILITARY RECORDS OFFSET Earnings received from civilian employment, self-employment, or any income protection plan for such employment during any period for which active-duty pay and allowances are payable shall be deducted from the settlement. To the extent authorized by law and regulation, amounts found due shall be reduced by the amount of any existing indebtedness to the Government arising from military service. 5008 BANKRUPTCIES 500801. General Information A. A member may file a petition of bankruptcy under 11 U.S.C., Chapters 7 or 13 of the Bankruptcy Code. The law waives the United States Government’s sovereign immunity for purposes of compliance with payroll deduction orders issued by the bankruptcy courts. Accordingly, DFAS will honor the bankruptcy orders. B. When the amount of indebtedness owed to the United States is incurred prior to the filing date of the petition, the debt is termed pre-petition indebtedness. Such debt may be collected by offset from the member’s pay account only through the day prior to the date the bankruptcy petition is filed. C. Continuing deductions from the member’s pay after the filing of a petition in a bankruptcy is improper and violates the automatic stay provisions of the bankruptcy statute. All voluntary deductions to liquidate the listed indebtedness must be discontinued promptly upon notice or actual knowledge of the filing of the bankruptcy petition. Amounts withheld after the date the bankruptcy petition is filed must be refunded to the member. D. Upon notice or actual knowledge of the filing of a bankruptcy petition, when the member has listed the U.S. Government as a creditor, the military pay office will file a proof of claim with the Federal court concerned. E. If the bankruptcy petition is approved and the list of debts discharged, then the listed indebtedness to the United States is discharged. The bankruptcy proceedings have no bearing on the liquidation of any new item of indebtedness discovered after the filing of a petition in bankruptcy and not included in the petition. F. If the court subsequently dismisses a bankruptcy case, then collection is permitted by offset if otherwise authorized. 50-16 Case 1:15-cv-00031-CKK Document 20-9 Filed 06/19/17 Page 17 of 32 DoD Financial Management Regulation Volume 7A, Chapter 50 January 2010 500802. Chapter 7, Bankruptcy A. Upon notice or actual knowledge of the filing of a bankruptcy petition, when the debtor has listed the U.S. Government as a creditor, the DFAS-Cleveland Site, Garnishment Operations, will request that the appropriate pay office file a claim with the Federal court concerned, or B. If the bankruptcy petition is approved for discharge of debts, then the debts listed as indebtedness to the United States may be discharged. The bankruptcy proceedings usually will have no bearing on the liquidation of any new item of indebtedness incurred after the filing of a petition in bankruptcy and not included in the original bankruptcy petition. 500803. Chapter 13, Wage Earner’s Plan Under the Bankruptcy Act A. A member may file a petition with the court to enter into a “Chapter 13 Plan” under the Bankruptcy Code. Under Chapter 13, a member must submit a proposed repayment plan to the bankruptcy court that provides, among other things, that all or a specified amount of future income as is necessary to pay priority claims under the plan will be sent to the control of the bankruptcy trustee. B. When the plan is confirmed by the court, its provisions are binding upon the member and all creditors of the member, regardless of whether they are affected by the plan or have been included in the plan. C. Once the bankruptcy court confirms a plan, it usually orders the employer to pay a specific amount of a member’s income to the trustee named in the order. D. The pay of a member is subject to payment to the trustee appointed by the court, pursuant to Chapter 13 of the Bankruptcy Act. The payment by DFAS of part of the member’s pay in response to a court order issued under a Chapter 13 Wage Earner’s Plan case does not violate 31 U.S.C. 3713 (Priority of Government Claims). Compliance with such a court order gives the Government a valid acquittance against the member since the court order is binding on the member. E. If the United States is both the employer and creditor when the member files a Chapter 13 Wage Earner’s Plan, then the Government’s priority under 31 U.S.C. 3713 (Priority of Government Claims) may be asserted in the absence of a judicial determination to the contrary. This is done through a filing of the proof of claim by the appropriate pay office. 50-17 Case 1:15-cv-00031-CKK Document 20-9 Filed 06/19/17 Page 18 of 32 DoD Financial Management Regulation Volume 7A, Chapter 50 January 2010 500804. Procedures A. Bankruptcy withholding orders should be submitted or faxed to: DFAS-Cleveland Garnishment Operations P.O. Box 998002 Cleveland, OH 44199-8002 Commercial Fax: (877) 622-5390 (216) 522-6960 DSN Fax: 580-6960 B. The following information should be included with the bankruptcy order: 1. Full name. 2. Full Social Security number. C. The bankruptcy notice is effective when it is signed by the court and the provisions of the automatic stay are effective with that date. D. When the notice does not sufficiently identify the member, it will be returned directly to the person who submitted the order, with an explanation of the deficiency. E. Upon receipt of an effective bankruptcy order, together with all the required information, the Garnishment Operations (office of the designated official) will review the case to determine if there are any involuntary allotments or garnishments that need to be terminated as a result of the automatic stay (child support, alimony, and child-support arrears are not terminated unless the bankruptcy order specifically states so). The Garnishment Operations will then establish the withholding against the member’s pay to comply with the bankruptcy order within 30 days. Withholdings will continue until the amount specified in the order is collected or the order is cancelled or suspended. 1. Within 30 calendar days after the date of receipt of the order, the designated official will send notice to the member stating this fact. 2. The letter will inform the member of the date that the withholding is scheduled to begin and the amount or percentage that will be deducted. 3. When the member identified in the order is found not to be entitled to money due from, or payable by, DFAS, the designated official will return the order to the person who submitted it and advise him or her that no money is due from, or payable by, DFAS to the named individual. When it appears that amounts are exhausted temporarily or are otherwise unavailable, the authorized person shall be told why and for how long any money is unavailable, if known. 50-18 Case 1:15-cv-00031-CKK Document 20-9 Filed 06/19/17 Page 19 of 32 DoD Financial Management Regulation Volume 7A, Chapter 50 January 2010 F. Proof of claims will be submitted by the appropriate pay office when the Government has a debt that can be properly collected under proof of claim. 50-19 Case 1:15-cv-00031-CKK Document 20-9 Filed 06/19/17 Page 20 of 32 DoD Financial Management Regulation Volume 7A, Chapter 50 January 2010 INDEBTEDNESS DUE TO ERRONEOUS PAYMENTS, GAO DISALLOWANCES, AND NOTICES OF EXCEPTION R U L E A B C D E F If an of is indebted to the United States for and then collect from current pay at monthly rate not to exceed that shown in this table or in rule cited 1 officer or enlisted member any Military Service payment disallowed by Government Accountability Office (GAO) or GC, DoD in accounts of a disbursing or certifying officer involuntarily (note 1) disposable pay (see subparagraph 500103.D). 2 debt cited in GAO notice of exception or informal inquiries (note 2) Table 50-6, rule 2. 3 erroneous payment (including allotments the member knew or reasonably should have known were erroneous) made to or on behalf of the member of any Uniformed Service (note 3) the Secretary of the Military Department concerned or the Secretary's designee has determined the indebtedness is valid 4 officer or enlisted member recovering from a wound, injury or illness incurred through no fault of the member in the line of duty in a combat operation or zone an overpayment of pay or allowances through no fault of the member incurred on or before October 28, 2009 the Secretary of the Military Department concerned or the Secretary’s designee has determined the indebtedness is valid after a 90 day delay or member’s consent (see subparagraph 500104.A.1. b Table 50-6, rule 5. Table 50-1. Indebtedness Due to Erroneous Payments, GAO Disallowances, and Notices of Exception 50-20 Case 1:15-cv-00031-CKK Document 20-9 Filed 06/19/17 Page 21 of 32 DoD Financial Management Regulation Volume 7A, Chapter 50 January 2010 INDEBTEDNESS DUE TO ERRONEOUS PAYMENTS, GAO DISALLOWANCES, AND NOTICES OF EXCEPTION R U L E A B C D E F If an of is indebted to the United States for and then collect from current pay at monthly rate not to exceed that shown in this table or in rule cited 5 officer or enlisted member recovering from a wound, injury or illness incurred through no fault of the member in the line of duty in a combat operation or zone any Military Service an overpayment of pay or allowances through no fault of the member incurred on or after October 29, 2009 the Secretary of the Military Department concerned or the Secretary’s designee has determined the indebtedness is valid after a 180 day delay or member’s consent (see subparagraph 500104.A.1. b Table 50-6, rule 6. 6 an officer a Military Department erroneous payment of allotment caused by failure to report, as required, the death of the allotter or any other fact making the allotment not payable appropriate investigation is made, and the overpaid amount is not recovered from the allottee with officer’s consent; or with approval of the Secretary concerned amount applicable. NOTES: 1. This does not change rules on collections of indebtedness of accountable, certifying, or disbursing officers. 2. If notice of exception covers erroneous payment by a Uniformed Service, then rule 3 will be applied. 3. When a member’s pay is not promptly reduced to allow for court-marital forfeiture, the resulting indebtedness is considered an erroneous payment within this rule. Table 50-1. Indebtedness Due to Erroneous Payments, GAO Disallowances, and Notices of Exception (Continued) 50-21 Case 1:15-cv-00031-CKK Document 20-9 Filed 06/19/17 Page 22 of 32 DoD Financial Management Regulation Volume 7A, Chapter 50 January 2010 INDEBTEDNESS DUE TO LOSS OF PUBLIC FUNDS R U L E A B C D E F If an of is indebted to the United States for and then withhold from current pay at monthly rate not to exceed that shown in this table or in rule cited 1 account- able officer (note 1) the Armed Forces arrears in accounts because of failure to account for funds entrusted to the member debt is admitted by officer (note 4) involuntarily disposable pay (see subparagraph 500103.D). 2 debt is shown by the judgment of a court 3 debt is shown by special order issued by the Secretary of the Military Department concerned rate directed by special order of Secretary of the Military Department concerned (all pay excluding allowances, or lesser amount). 4 account- able enlisted member (note 2) any Military Service disposable pay (see subparagraph 500103.D). 5 officer or enlisted member public funds obtained or converted to own use through fraud, larceny, embezzlement, or other unlawful means the mis- appropriation of funds is admitted by the member involuntarily, or as prescribed by regulations of the Military Department concerned Table 50-6, rule 2 (note 3). NOTES: 1. Applies to officers who hold in trust sums or balances of public money for which they are required to account, such as disbursing officers and deputies or agents to disbursing officers. 2. Applies to enlisted members who are entrusted with public funds. It includes military postal clerks and members who, though not bonded, are entrusted with public funds for small purchases. 3. If exact amount of debt is not known at the time the loss is discovered, then establish the debt at the amount then known and adjust when investigation is completed. 4. A mere acknowledgment or report of a shortage in accordance with Military Service regulations is not an admission for the purpose of this rule. The phrase “debt is admitted” means either a written statement made by the accountable officer admitting indebtedness, acknowledged or witnessed before a person authorized to administer oaths or, another person designated by higher authority, or if the accountable officer refuses to sign a statement, then a certification by a commissioned officer that the accountable officer clearly and unequivocally admitted the indebtedness is sufficient to authorize the withholding from officer’s current pay. Table 50-2. Indebtedness Due to Loss of Public Funds 50-22 Case 1:15-cv-00031-CKK Document 20-9 Filed 06/19/17 Page 23 of 32 DoD Financial Management Regulation Volume 7A, Chapter 50 January 2010 INDEBTEDNESS DUE TO LOSS OR DAMAGE TO PUBLIC PROPERTY OR SUPPLIES R U L E A B C D E F G If of is indebted to the United States for and and then collect from current pay at monthly rate not to exceed that shown in this table or in rule cited 1 an account- able officer the Army or Air Force loss or damage to military supplies, upon final settlement of accounts of officer charged with issue of the supplies the officer fails to show satisfactorily that the loss or damage of property was not due to any fault on the officer’s part the officer is found pecuniarily liable by a report of survey or by a board of officers, and findings are approved by the Secretary concerned involuntarily disposable pay (see subparagraph 500103.D). 2 the Navy or Marine Corps loss or damage to public property entrusted to the officer, such as stores, supplies and receipts from sale of public property the Commander, Naval Supply Systems Command or the Commandant of the Marine Corps (Installation and Logistics) renders determination the Director, DFAS- Cleveland Site issues instructions to the member’s commanding officer on action to take to liquidate debt disposable pay (see subparagraph 500103.D) or lesser amount approved by the Assistant Secretary of the Navy (Financial Management and Comptroller) or the Commandant of the Marine Corps. 3 an officer or enlisted member the Army or Air Force damage or cost of repairs to arms or equipment the member had the care of, or was using the property when damaged negligence or abuse in care or use of property is established by a board of officers or on a report of survey, and findings are approved by Secretary concerned disposable pay (see subparagraph 500103.D). 4 a non- accountable officer or enlisted member any Uni- formed Service loss of or damage to government property liability is established under regulations of the Military Service concerned case is not within the scope of rule 3 Table 50-6, rule 2. 5 an officer or enlisted member Armed Forces damage to or failure to satisfactorily clean assigned housing or damage to or loss of equipment or furnishings of such housing the damage, loss or requirement for cleaning was caused by the abuse or negligence of the member, the member’s dependent(s) or a guest of either the member or the member’s dependent(s) the negligence or abuse is established by administrative determination under regulations of the Military Service concerned. Table 50-3. Indebtedness Due to Loss or Damage to Public Property or Supplies 50-23 Case 1:15-cv-00031-CKK Document 20-9 Filed 06/19/17 Page 24 of 32 DoD Financial Management Regulation Volume 7A, Chapter 50 January 2010 MISCELLANEOUS INDEBTEDNESS TO UNITED STATES R U L E A B C D If of any Military Service is indebted to the United States then collect from current pay at monthly rate not to ex- ceed that shown in this table or in rule cited 1 an enlisted member enlistment or reenlistment bonus for period unserved involuntarily Table 50-6, rule 2. 2 an officer or enlisted member unpaid hospital bills for medical services furnished a dependent involuntarily or pursuant to Military Service regulations 3 excess cost of shipment of household goods 4 a medical officer compensation or stipend payments received from state, county, municipal, or privately owned hospitals for medical service amount received. 5 an officer or enlisted member jury duty fees (as distinguished from expenses) from any court, except while on authorized leave, and receiving active duty pay and allowances involuntarily 6 amount due the DoD, its instrumentalities, or other Uniformed Services by reason of court judgment Table 50-6, rule 2. 7 a debt determined valid from a federal agency outside DoD or other Uniformed Service including debts resulting from court judgments Table 50-6, rule 3. 8 a travel advance in excess of entitlements (note) involuntarily or pursuant to Military Service regulations Table 50-6, rule 2. NOTE: If the member has not filed a claim on a timely basis as defined by Military Service regulations, then the entire amount of the advance is considered to be in excess of entitlements. Table 50-4. Miscellaneous Indebtedness to United States 50-24 Case 1:15-cv-00031-CKK Document 20-9 Filed 06/19/17 Page 25 of 32 DoD Financial Management Regulation Volume 7A, Chapter 50 January 2010 INDEBTEDNESS TO INDIVIDUALS AND GOVERNMENT INSTRUMENTALITIES AND AGENTS R U L E A B C D E F G If of is indebted to for and then collect from current pay at monthly rate not to exceed that shown in this table or in rule cited 1 an officer or enlisted member any Military Service any person willfully damaging or wrongfully taking property of that person the commander has convened a board to investigate complaint, and board has assessed damages, and commander has approved an amount of assessment involuntarily amount approved by commander not to exceed disposable pay (see subpara- graph 500103.D). 2 member’s spouse, former spouse or child court ordered child support or alimony (see Chapter 41, section 4102 3 the Army or Air Force a commissary an uncollectible check which member or member’s authorized agent has issued or endorsed to the commissary (notes 1 and 3) disposable pay (see subpara- graph 500103.D). 4 the Navy or Marine Corps involuntarily or pursuant to Military Service regulations Table 50-6, rule 2. 5 the Armed Forces other appropriated fund activity or office an uncollectible check endorsed or issued by member or member’s agent (note 1) 6 any Military Service a nonappropriated fund activity any indebtedness by member or member’s agent the custodian of the nonappropriated fund instrumentality has tried all means for direct collection from member, and a request has been sent to member’s commander for assistance in obtaining direct payment 7 the Internal Revenue Service delinquent income taxes or court ordered child support (note 2) IRS Notice of Levy is served (see Chapter 41, section 4103 and Chapter 41, section 4102). Table 50-5. Indebtedness to Individuals and Government Instrumentalities and Agents 50-25 Case 1:15-cv-00031-CKK Document 20-9 Filed 06/19/17 Page 26 of 32 DoD Financial Management Regulation Volume 7A, Chapter 50 January 2010 INDEBTEDNESS TO INDIVIDUALS AND GOVERNMENT INSTRUMENTALITIES AND AGENTS R U L E A B C D E F G If of is indebted to for and then collect from current pay at monthly rate not to exceed that shown in this table or in rule cited 8 an officer or enlisted member any Military Service a military banking facility overseas an uncollectible check endorsed or issued by the mem- ber or a defaulted loan made to the member military banking facility overseas has complied with required procedures involuntarily Table 50-6, rule 2. NOTES: 1. Generally, an agent is one who has been given a power of attorney by the member. 2. Upon certification from Department of Health and Human Services to the Department of the Treasury, an Internal Revenue Service Notice of Levy may be issued for delinquent child support. (See Chapter 41, section 4103 of this volume) 3. Effective February 1, 1999, collection of dishonored checks written by the member or the person who presented the check based upon their status and relationship to the member as well as costs associated with that check may be collected involuntarily. Table 50-5. Indebtedness to Individuals and Government Instrumentalities and Agents (Continued) 50-26 Case 1:15-cv-00031-CKK Document 20-9 Filed 06/19/17 Page 27 of 32 DoD Financial Management Regulation Volume 7A, Chapter 50 January 2010 RATES OF COLLECTION R U L E A B C D E If is indebted for then the Military Service may authorize or approve liquidation by monthly installments that and if debt remains at time of separation, collect from final pay and if total debt is not liquidated from final pay, establish collection from 1 officer or enlisted member of any Military Service court-ordered child support or alimony and garnishment or attachment of pay is directed by court order do not exceed limitations set forth in chapter section 4102 as directed by court order retired pay, retainer pay, or pay in new enlistment and limited by Chapter 41, paragraph 410106. 2 an administratively determined indebtedness to the United States or its instrumentalities do not exceed maximum limitation specified in subparagraph 500104.A unless member consents to collection of greater amount. Commander may authorize collection of a lesser amount when justified or as provided for in the regulations of the Military Service concerned (note 1) unpaid pay and allowances, separation payments under Chapter 35, (except donation); Reservists’ Involuntary Separation Payment; amounts deducted for United States savings bonds including undelivered bonds; separation travel allowance for officers; reimbursement for transportation of household goods, dislocation and trailer allowance (for enlisted members, do not collect from separation travel allowance, or donation on discharge). If member is retiring, then see paragraph 500106 (notes 1, 2, 5 and 6) retired pay (see paragraph 500105) or pay in new enlistment. 3 an administratively determined indebtedness to the United States excluding the DoD and its instrumentalities or other Uniformed Services do not exceed 15 percent of disposable pay for that month (see subparagraph 500104.B) Table 50-6. Rates of Collection 50-27 Case 1:15-cv-00031-CKK Document 20-9 Filed 06/19/17 Page 28 of 32 DoD Financial Management Regulation Volume 7A, Chapter 50 January 2010 RATES OF COLLECTION R U L E A B C D E If is indebted for then the Military Service may authorize or approve liquidation by monthly installments that and if debt remains at time of separation, then collect from final pay and if total debt is not liquidated from final pay, then establish collection from 4 an officer or enlisted member of any Military Service any indebtedness incurred on or after December 4, 1987, to a Service relief society, (Army Emergency Relief, Air Force Aid Society, Navy Relief Society, or Coast Guard Mutual Assistance) do not exceed 15 percent of disposable pay for that month (see subparagraph 500104.B) involuntarily or pursuant to Military Service regulations (note 3) retired pay (see paragraph 500105) or pay in new enlistment. 5 an overpayment of pay or allowances through no fault of the member (for overpayments made on or after October 17, 2006 through October 28, 2009) do not exceed 20 percent of disposable pay for that month involuntarily or pursuant to Military Service regulations (note 3) retired pay (see paragraph 500106) or pay in a subsequent period of military service. 6 an overpayment of pay or allowances through no fault of the member (for overpayments made on or after October 29, 2009) do not exceed 15 percent of disposable pay for that month. NOTES: 1. For Army and Air Force enlisted members do not exceed the maximum limitation specified in subparagraph 500104.A. This limitation does not apply to enlisted members whose accounts are being settled on discharge for fraud, desertion, or because of mental incompetence. 2. For enlisted members, travel allowances remaining due after the completion of separation travel may be collected. 3. Do not exceed maximum limitation specified in subparagraph 500104.A.1.a. 4. In unusual circumstances, the initiation of collection action of travel advances pursuant to a consent agreement may be delayed if the delay is approved by the Director, Defense Finance and Accounting Service (or designee). However, the repayment period shall, in all cases, be scheduled to repay the advance before the member's expected date of separation. 5. For members transferring to the Retired Reserve and receiving Reservists' Special Separation Pay (RSSP), the entire amount of the RSSP payment(s) is available for offset. 6. If indebtedness is a result of an unfulfilled bonus agreement, and separation is under the Special Separation Benefit (SSB) or Voluntary Separation Incentive (VSI) program, then see subparagraph 350702.F for SSB or 350802.D for VSI. Table 50-6. Rates of Collection (Continued) 50-28 Case 1:15-cv-00031-CKK Document 20-9 Filed 06/19/17 Page 29 of 32 DoD Financial Management Regulation Volume 7A, Chapter 50 January 2010 BIBLIOGRAPHY CHAPTER 50 – STOPPAGES AND COLLECTIONS OTHER THAN COURTS- MARTIAL FORFEITURES 5001 – VOLUNTARY AND INVOLUNTARY COLLECTIONS 500102.A.1 23 Comp Gen 555, 911 Dig Op JAG 1912-40, section 1520a, p715 3 Dig Ops, Pay and Allowances, section 101.1 500102.A.2 37 U.S.C. 1007(c) 500102.B Public Law 100-180, section 633, December 4, 1987 500103.C 5 U.S.C. 5514 500104 and 500104.A MS Comp Gen B-230865, October 17, 1990 500104.A.1 37 U.S.C. 1007(c) 500104.A.1.d(2) 31 U.S.C. 3716 64 Comp Gen 907 (1985) 500104.A.2 Public Law 100-180, section 633, December 4, 1987 500104.A.3 37 U.S.C. 1007(c) 500104.B 5 U.S.C. 5514 500104.B.3 5 U.S.C. 5514, as amended by Public Law 104-134, section 301, April 26,1996 500105 31 U.S.C. 3717 500106 5 U.S.C. 5514 500108 37 U.S.C. 1106(g) 500109 Bankruptcy Reform Act of 1978 500110 Dig Ops 1912, p78 42 U.S.C. 659 500110.E Public Law 103-94, section 9, October 6, 1993 5002 - CENTRALIZED PROCESSING OF INVOLUNTARY WITHHOLDING OF MEMBER PAY FOR THE SERVICES’ EXCHANGE COMMANDS 500201 37 U.S.C. 1007(c) 500202 5 U.S.C. 5514 5003 – REMISSION/CANCELLATION OF INDEBTEDNESS 500301 Public Law 109-163, section 683, January 6, 2006 Public Law 109-364, section 673, October 17, 2006 500302 Public Law 96-328, August 8, 1980 ASD(M&RA) Memo, March 12, 1982 32 U.S.C. 710 500303.A 35 Comp Gen 421 50-29 Case 1:15-cv-00031-CKK Document 20-9 Filed 06/19/17 Page 30 of 32 DoD Financial Management Regulation Volume 7A, Chapter 50 January 2010 41 Comp Gen 269 500303.B 37 Comp Gen 45 38 Comp Gen 788 43 Comp Gen 162 MS Comp Gen B-153635, March 25, 1964 5004 – APPEALS 500403 4 GAO 5.1 5005 – WAIVER OF CLAIMS FOR ERRONEOUS PAYMENTS OF PAY AND ALLOWANCES 500501 10 U.S.C. 2774(a)(2) as amended by Public Law 102-190, section 657, December 5, 1991 32 U.S.C. 716 5006 – VALIDATION OF PAYMENTS BASED ON PURPORTED MARRIAGES 500601 37 U.S.C. 423 5008 – BANKRUPTCIES 11 U.S.C. 101 – 1330 (Bankruptcy Reform Act of 2005) 500803.D 31 U.S.C. 3713 500803.E 31 U.S.C. 3713 Table 50-1 Rule 1 5 U.S.C. 5513 Rule 3 5 U.S.C. 5514 Rule 4 37 U.S.C. 1007 Rule 5 37 U.S.C. 1007 Rule 6 31 U.S.C. 3727 37 U.S.C. 701(d) Rule 14 IRS Ltr, February 18, 1993 Notes 11, 12 IRS Ltr, February 18, 993 Table 50-2 Rules 1, 2, & 3 5 U.S.C. 5512 37 U.S.C. 1007(a) Dig Op JAG 1912-40, section 1516(1), p711 42 Comp Gen 83 Rule 4 5 U.S.C. 5512 37 Comp Gen 344 Rule 5 37 U.S.C. 1007(c) Table 50-3 Rule 1 37 U.S.C. 1007(f) 50-30 Case 1:15-cv-00031-CKK Document 20-9 Filed 06/19/17 Page 31 of 32 DoD Financial Management Regulation Volume 7A, Chapter 50 January 2010 Rule 2 31 U.S.C. 3531 Rule 3 37 U.S.C. 1007(a) Rule 4 37 U.S.C. 1007(c) DOD(C)/MS Memo, March 28, 1991 DoD 7200.10-M Rule 5 10 U.S.C. 2775 Rule 6 10 U.S.C. 2775 Table 50-4 Rules 1 and 2 37 U.S.C. 1007(c) Rule 3 5 U.S.C. 5724 Rule 4 30 Comp Gen 246 32 Comp Gen 454 37 Comp Gen 29 Rule 5 62 Comp Gen 39 Rule 6 MS Comp Gen B-230865, October 17, 1990 Rule 7 5 U.S.C. 5514 Rule 8 37 U.S.C. 1007(c) Table 50-5 Rule 1 10 U.S.C. 939 Rule 2 42 U.S.C. 659 Rule 3 37 U.S.C. 1007(b) & (g) Public Law 105-261, section 364, October 17, 1998 DFAS-HQ/FCD Memo, March 11, 1999 Rule 4 PL 105-261, section 364, October 17, 1998 DFAS-HQ/FCD Memo, March 11, 1999 Rule 5 37 U.S.C. 1007(c) Rule 6 26 U.S.C. 6305(a) Table 50-6 Rule 1 42 U.S.C. 659 Rule 2 37 U.S.C. 1007(c) 39 Comp Gen 46 34 Comp Gen 164 Rule 3 5 U.S.C. 5514 Rule 4 Public Law 97-276, section 124, October 2, 1982 Rule 5 Public Law 111-84, section 661, October, 28, 2009 Rule 6 Public Law 111-84, section 661, October 28, 2009 Note 2 65 Comp Gen 497 Note 4 DFAS General Counsel Memo, September 25, 1992 Note 6 Public Law 103-139, section 8127, November 11, 1993 50-31 Case 1:15-cv-00031-CKK Document 20-9 Filed 06/19/17 Page 32 of 32
