t

.-."•

A R M Y R E G U L A T I O N 10

PERSONNEL SECURITY CLEARANCE

MILITARY PERSONNELSECURITY PROGRAM

Effective 15 November 1969

HEADQUARTERS, D E P A R T M E N T OF THE ARMY SEPTEMBER 1969

TAGO :>960A

*AR 604-10

ARMY REGULATION

No. 604-10HEADQUARTERS

DEPARTMENT OF THE ARMYWASHINGTON, DC 18 September 1969

PERSONNEL SECURITY CLEARANCE

MILITARY PERSONNEL SECURITY PROGRAM

Effective 15 November 1969This revision reduces the length of continuances granted prior to convening field board of in-quiry; eliminates "last chance" letter to the respondent; and limits DA Security ScreeningBoard functions to special registrant cases. Local supplementation of this regulation is pro-hibited except upon approval of the Deputy Chief of Staff for Personnel.

CHAPTER 1. GENERAL PROVISIONSPurpose ... .. .....ScopeExplanation of terms . . . . . . . . ... . . . . - . _ ... ......Responsibilities . . . . . . . .. .. . . . . . . . . . . .Command authentication . . . . . . . . . ... .. .. . . . . .Effect of favorable determination . . . . . . . . . . . . . . . . . . . . . . .Effect of notation that individual is not eligible for a security clearance and/or

assignment to specific geographical area? . . . . . . . . . . . . . . . . . ...Entries on field personnel records .. . . . . . . . . . . . . . .

2. STANDARD AND CRITERIAStandard . . . . . . . . . . . ... . . . . . . ... ......Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . _ . . . - . . - . . . .Application of standard , .. . . . ... . . . . . . . . . ... ... . . . ... ...Denial of acceptance, relief from active duty, or discharge under other

appropriate directives or regulations ....... . . . . .... ... -. . .- . .

Paragraph

. 1-1

. 1-2

. 1-3

. 1-41-5

. 1-6

1-71-8

2-12-22-3

2-4

3. EXECUTION, QUALIFICATION OF, AND REFUSAL TO COMPLETE DDFORM 08 OR DD FORM 398

Armed Forces Security Questionnaire (DD Form 98) ... ........ ... ... . 3-1Applicants for appointment, enlistment, reappointment, or reenlistment; refusal

to complete or qualification of DD Form 98 or DD Form 398 .............. - 3-2Registrants for induction; refusal to complete or qualification of DD Form 98 or

DD Form 398 .. ... . .. .... . . . . . . .... . - - - - - - . - - - - - - 3-3Interview of individuals' qualifying forms . . . . . . . . . . . . . . . . . - - - . . . . . . 3-4

4.4-14-24-34-44-64-64-74-8

1-11-11-11-21-21-3

1-31-3

2-12-12-1

2-1

3-1

S-l

3-23-3

INVESTIGATIONSReporting information . . . . . . . . .. ... . . . . . . . . . . . . . . .Chronology record . . . . . ,. . . . . . . . . . . . - - . - . - . . - -Action by local commander . . . . . . . . . . . . . . . . . . . . .Action by major commander . . . . . . . . . . . . . . . . . . .......Action by control office . . . . . . . . . . . . . . . . - - . - . - - . . - - -Action by oversea commander .. .. . - - - - - - - - - - - - - - - -Investigations .. . . . . _ . . . . . - . . . . . . . . . . . . . . . . . .Discharge or release from active duty; ETS . . . . . . . . . . . . . . . . - - -

"This regulation supersedes AR 604-10, 4 November 1959, including all changes; DA message 742707, 3 Decem-ber 1965; DA menage 783431, 23 September 1966; DA message 843510, 12 December 1967; and DA message 845339,27 December 19€7.

TAGO 6960A

4-14-14-24-44-34-44-44-5

i

AR 604-10 18 September 1969

CHAPTFR 5. ACTIONS TAKEN BY HEAPQUAKTEKS, DEPARTMENT OF THE ARMYAssistant Chief of Staff for Intelligence . . . . . . . . . . . - . . - - - - .Inter-Service Committee on Registrants . .. - - - - - - - - - - - - - -The Judge Advocate General

Paragraph

5-15-25-3

Department of the Army Security Screening Board . . . - - - . - - - - - - - - • 5-4Chief of Personnel Operations . . . . . . . . - - - - - - - - - - - - - - - 5-5Letter o f allegations . . . . . . . . . . . . . . - - . . . . . - - 6 - 6

G. FIELD BOARD OF INQUIRYBoards in genera)- -security matters . . . . . . . . . .Field board of inquiry .. . .. .. . . . . - - .Field board of inquiry—composition . . . . . . .Attorney-adviser . . . . . . . . . . . . . . .Witnesses; spectators . . . . . . . . . . . . .Hearings . . . . . . . . . . . . . .Findings Hnd recommendations . . . . . . . . . . .Payment of fees . . . . . . - . . . .

7. REVIEW OF PROCEEDINGS: DISCHARGEArmy Security Review Board . . . . .Keview and recommendations . . . . .Secretary of the Army . . . . . . .Discharge characterization . .Final actions . . . . . . . . . . .Notification to other agoncies of unfavorable determination

8. APPLICANTS FOR ENROLLMENT IN KOTCCompletion of DP Form 98 . .Investigative procedures . . - .Disposition o f cases . . .

APPENDIX A. SAMPLE LETTER I N V I T I N G WITNESSES

B. REFERENCES

6-16-26-36-46-56-66-76-8

7-17-27-57-47-57-6

8-18-28-3

5-35-15-25-25-25-3

6-16-16-16-26-36-16-56-6

7-17-17-27-27-27-3

8-18-1ft-1

ii AGO C9WA

18 September 1969 AR 604-10

CHAPTER 1

GENERAL PROVISIONS

1-1. Purpose. This regulation prescribes thestandard, criteria, and administrative proce-dures for the reporting, investigation, and dis-position of military personnel in the Army; forthe rejection of applicants for appointment orenlistment; and for the rejection of personswho would otherwise be inducted or involun-tarily ordered into the Army, when retentionin or acceptance into the Army is not clearlyconsistent with the interests of national secur-ity. This regulation applies to those cases inwhich national security is the primary reasonfor initiation of action. It does not, however,preclude trial by court-martial when such ac-tion is considered appropriate by commandersexercising court-martial jurisdiction, or relieffrom active duty or discharge under applicableregulations on grounds other than national se-curity. Except in the case of retired membersserving on active duty, relief from active dutyin lieu of action under this regulation is notauthorized. Action under this regulation willnot be used as the sole basis for relief from ac-tive duty prior to the adjudication of a mem-ber^ case.

1-2. Scope. This regulation applies to all mem-bers and prospective members of the U.S.Army, including the Army National Guard ofthe "United States and the U.S. Army Reserve,whether or not on active duty or in active Fed-eral service; applicants for enrollment in Sen-ior ROTC and recipients of ROTC scholarshipsand aJl registrants determined to be physically,mentally, and morally qualified for inductioninto the U.S. Armed Forces. The Chief, Na-tional Guard Bureau, will issue appropriateimplementing instructions governing membersof the Army National Guard of the UnitedStates neither on active duty nor in active Fed-

eral service. This regulation does not apply tomembers in receipt of or entitled to receive re-tired pay except as otherwise provided in para-graph 3-la (2).

1-3. Explanation of terms, a. National securityrelates to the protection and preservation ofthe military, economic and productivestrength of the United States, including the se-curity of the United States Government in for-eign and domestic affairs against or from es-pionage, sabotage, and subversion, and any andall acts designed to weaken or destroy theUnited States.

b. Flagging action, constitutes controls ini-tiated to suspend favorable personnel actions.See AR 600-31.

c. Credible derogatory information is infor-mation of the nature described in paragraph2-3 received from any reliable source which,when evaluated in the light of all other availa-ble information, indicates that acceptance intoor retention of the individual concerned withinthe U.S. Army may not be clearly consistentwith the interests of national security.

d. Favorable closing under this regulationresults from a determination that acceptanceor retention in the Army is clearly consistentwith the interests of national security. How-ever, a favorable closing does not preclude ac-ceptance of registrants for induction and re-tention of members with the notation "noteligible for a security clearance and/or assign-ment to specific geographical areas, UP AR604-10."

e. Qualification of DD Form 98 (ArmedForces Security Questionnaire) refers to a"yes" answer to any question in paragraph 2,

AGO G960A 1-1

AR 604-10 18 September 1969

section IV (with the exception of section 2r)of the form, or to any entry of national securitysignificance made in the "remarks" section ofthe form, (National security significance withresoect to entries on DD Forms 98 and 398refers to conduct or activity within the purviewof paragraph 2-3.

/. Qualification of DD Form S98 (Statementof Personal History) refers to a "yes" answerto any question in item 17 of the form, or toany entry of national security significance madein items 16 and 19 of the form or the "remarks"section thereof.

fir. Refusal to complete DD Form 08 in itsentirety constitutes a refusal to complete anypart of the form or a claim that the informa-tion requested by the form or any part thereofis privileged under the Constitution or underArticle 31, Uniform Code of Military Justice.

ft. Refusal to complete DD Form S98 in itsentirety constitutes a refusal to complete anypart of items 16, 17, or 19 of the form, or aclaim that the information requested by all orany of these items is privileged under the Con-stitution or under Article 31, Uniform Code ofMilitary Justice.

i. Major command is a specially designatedArmy field command directly subordinate toand established by the authority of Headquar-ters, Department of the Army. Additionally,for the purpose of processing cases under thisregulation, separate Department of the Armyagencies and activities, CONUS Army Com-mands, USAREC, MDW, and Headquarters,DA General and Special Staff Agencies areconsidered major commands. The commanderor chief of a major command is the major com-mander.

j. Control office is the office responsible fordirecting and controlling counterinteJligenceinvestigations (see AR 381-130).

k. Officer means either a commissioned or awarrant officer, unless otherwise specified.

I. Registrant is an individual registeredwith the Selective Service System pursuant tosection 3 of the Military Selective Service Actof 1967 <50U.S.C.App.453).

m. Special registrant is a registrant in themedical, dental, or allied health specialist cate-gories under the Military Selective Service Actof 1967.

n. Specific geographical area refers to theassignment location of an individual as deter-mined by the Chief of Personnel Operations incoordination with the Assistant Chief of Stafffor Intelligence.

1-4. Responsibilities, a. Headquarters, Depart-ment of the Army.

(1) The Deputy Chief of Staff for Person-ne\ exercises overall Army Staff supervision ofthe Military Personnel Security Program.

(2) The Assistant Chief of Staff for Intel-Vgence is responsible for the establishment ofnolicv pertaining to the conduct of investi-gations, for final favorable security determina-tions under this regulation where appropriate,and for submitting appropriate recommenda-tions to The Judge Advocate General and theChief of Personnel Operations under the Mili-tary Personnel Security Program, when appro-priate.

(3) The Judge Advocate General is res-ponsible for the official preparation of allega-tions, when appropriate, in cases in which theAssistant Chief of Staff for Intelligence recom-mends that an individual be rejected or dis-charged under the provisions of this regula-tion.

b. Major commanders are responsible forthe maintenance of an effective military per-sonnel security program as provided in this reg-ulation at all installations and within all ac-tivities under their command jurisdiction. Thisincludes responsibility for flagging actionunder section II, AR 600-31.

1-5, Command authentication. All requests orrecommendations submitted under this regula-tion will be submitted in command channels.Below major command headquarters level,such requests or recommendations wilt be sub-mitted over the personal signature of the com-mander concerned.

1-2 AGO BWOA

18 September 1969 AR 604-10

1-6. Effect of favorable determination, a. Ifproceedings under this regulation result in adetermination that acceptance for enlistment,appointment, or induction into the U.S. Armyor retention of the member concerned on activeduty or in a Reserve component is warranted,such a determination will be conclusive andbinding and, in the absence of subsequently de-veloped derogatory information, may supportassignment of the member to any regular dutyfor which qualified.

b. In those cases in which a favorable deter-mination has been made—

(1) The notation "paragraph 17d, AR604-5 applies" will be entered on the individ-ual's personnel records (DA Form 66, OfficerQualification Record or DA Form 20, EnlistedQualification Record) by the person havingcustody of those records.

(2) The DD Form 98 and/or DD Form398, if qualified, will be annotated by enteringthe notation "Paragraph 1-6, AR 604-10 ap-plies" in the "remarks" section of the form. Thisentry will be authenticated by the signature andtyped or stamped name of an officer and willindicate the date the entry was made and theauthority by which the case was favorablyclosed.

c. In cases in which a major commander de-termines that an entry on an individual's DDForm 98 or DD Form 398 does not constitute aqualification within the meaning of paragraphsl-3fi or /, the DD Form 98 and/or DD Form398 will be annotated by entering the notati-on "Entry contained herein is not a qualifica-

tion as defined in AR 604-10" in the "re-marks" section of the form. This entry will beauthenticated by the signature and typed orstamped name of an officer having authority tomake such entry.

1-7. Effect of notation that individual is noteligible for a security clearance and/or assign-ment to specific geographical areas, a. Proceed-ings under this regulation resulting in a deter-mination that an individual is to be retained oraccepted for service with the notation "not eli-gible for a security clearance and/or assign-ment to specific geographical areas, UP AR604-10" are final unless changed by Headquar-ters, Department of the Army, upon recom-mendation of the major commander submittedin the manner prescribed by paragraph 4-4.

5. Upon the individual's discharge, the nota-tion "Paragraph 2-5, AR 601-210 applies" willbe entered in item 30, DD Form 214 (ArmedForces of the United States Report of Transferor Discharge).

c. When an individual on active duty whoserecords are annotated with the notation de-scribed in a above is relieved from active dutyand transferred to a Reserve component, hisrecords will be further annotated "not eligiblefor extended active duty."

1-8. Entries on field personnel records. Exceptas indicated in paragraphs 1-6, 1-7, 3-3, and7-5c, no entry will be made in any militaryfield personnel record which indicates the finaldetermination made in a case processed underthis regulation.

AGO 5960A 1-3

18 September 1969 AR 604-10

CHAPTER 2

STANDARD AND CRITERIA

2-1. Standard, The standard for appointment,enlistment, or induction into, or retentionwithin the Army shall be that, based on all theavailable information, it is determined that theappointment, enlistment, induction, or reten-tion is clearly consistent with the interests ofnational security. When such a determinationhas been made, the following actions may betaken, as appropriate:

a. Appointment, reappointment, enlistment,reenlistment, induction, or voluntary order orrecall to active duty.

b. Induction or retention with the notationthat the individual is not eligible for securityclearance and/or assignment to specific geo-graphical areas.

2-2. Policy. The Department of the Army willassume, in the absence of evidence to the con-trary, that the acceptance or retention of anyindividual is clearly consistent with the inter-ests of national security. However, when it isestablished that acceptance of an individual isnot clearly consistent with the interests of na-tional security, he will not be accepted. Simi-larly, when it is established that the retentionof an individual is not clearly consistent withthe interests of national security, he will bedischarged.

2-3. Application of standard. The activities andassociations listed in table 2-1, whether cur-rent or past and although not all-inclusive, areof varying degrees of seriousness and warrantinitiation of action to determine whether ac-ceptance or retention of the individual isclearly consistent with the interests of nationalsecurity. The existence of information fallingwithin the scope of these criteria does not in it-

self constitute a bar to acceptance or retention.The ultimate determination as to whether ac-ceptance or retention of an individual is clearlyconsistent with the interests of national secur-ity is a reasoned judgment made after consid-eration of all the factors in a particular case.In making the determination in cases concern-ing officers, it must be considered that anofficer holds a position of trust by virtue of hisoffice, and a determination under this regula-tion should reflect consideration of this factor.The factors listed in table 2-1 interpret ratherthan limit the criteria and are not all-inclusive.

2-4. Denial of acceptance, relief from activeduty, or discharge under other appropriatedirectives or regulations. Persons whose con-duct falls within the criteria described beloware examples of individuals whose acceptanceor retention may not be warranted under thestandard prescribed in paragraph 2-1.

a. Willful violation or disregard of securityregulations;

b. Intentional unauthorized disclosure toany person of classified information, or ofother information the disclosure of which isprohibited by law;

c. Any deliberate misrepresentation, falsifi-cation, or omission of material fact;

d. Any criminal, infamous, dishonest, im-moral, or notoriously disgraceful conduct, ha-bitual use of intoxicants to excess, drug addic-tion, or sexual perversion;

e. All other behavior, activities, or associa-tions which tend to show that the member isnot reliable or trustworthy.Action wiU not be initiated to deny occeptxmceor to discharge such persons under this regula-

AGO 5960A 2-1

AR 604-10

tion unless the criteria set forth in paragraph2-S are involved to the degree that national se-curity is the primary consideration and1 actionunder other directives or regulations or theUniform Code of Military Justice has been de-termined to be inappropriate or has proved un-successful. If any question exists as to the pro-priety of instituting either elimination pro-ceedings under this or other regulations or ju-

18 September 1969

dicial proceedings, advice from the appropriateStaff Judge Advocate should be obtained. Inforwarding a person's file to the Chief, U.S.Army Personnel Security Group, Fort Hola-bird, MD 21219, the reasons for failure or re-fusal to take action under other directives, reg-ulations, or the Uniform Code of Military Jus-tice will be enumerated.

Table 2-1Criteria Factors

1. Commission of any act of sabotage, espion-age, treason, or sedition, or attempts there-at or preparation therefor, or conspiringwith or aiding or abetting another to com-mit or attempt to commit any act of sabo-tage, espionage, treason or sedition.

2. Establishing or continuing a sympatheticassociation with a saboteur, spy, traitor,seditionist, anarchist, or revolutionist, orwith an espionage or other secret agent orrepresentative of a foreign nation whoseinterests are inimical to the interest of theUnited States, or with any person who ad-vocates the use of force or violence tooverthrow the Government of the UnitedStates or the alteration of the form ofGovernment of the United States by un-constitutional means.

Whether the investigation discloses that thereare sufficient grounds to establish a reasona-ble belief that an individual's activities fallwithin this criterion.

a. In considering an individual's sympatheticassociation with a saboteur, spy, traitor, se-ditionist, anarchist, revolutionist, espionageor other secret agent or representative of aforeign nation whose interests are inimicalto the United States, only the followingfactors will be considered:

Whether the individual had knowledgeof or could reasonably have been ex-pected to know of the subversive activ-ities of the associate; if so, a satisfac-tory explanation should be given for afailure to report the subversive activi-ties of the associate to the proper au-thorities.

6. In considering an individual's sympatheticassociation with any person who advocatesthe use of force or violence to overthrowthe Government of the United States or thealteration of the form of Government ofthe United States by unconstitutionalmeans, the following factors will be consid-

ered:(1) The seriousness and significance to

the national security of the asso-ciate's activities.

(2) Extent and nature of the sympatheticassociation.Note. The term "sympathetic" as it is

AGO M«A

18 September 1969 AR 604-10

Table 2-1—ContinuedCriteria Factory

3. Advocacy of use of force or violence tooverthrow the Government of the UnitedStates, or of the alteration of the form ofGovernment of the United States by un-constitutional means.

used in these critieria means sympa-thetic association with an individualin relation to his subversive activi-ties, aims, or beliefs. To be consideredsympathetic, the association musthave continued after the person in-volved had knowledge of the asso-ciate's subversive beliefs or activities,or knowledge of the associate's mem-bership in or affiliation with a subver-sive organization. Such knowledgemay be inferred.

c. In addition to knowledge, the following fac-tors will be considered:

(1) Whether the association is the resultof, and limited to, normal business orprofessional relations or chance orcasual meetings.

(2) The circumstances which led to estab-lishment of the association (e.g.,whether the individual voluntarilychose to associate with the personsconcerned, or whether the associationwas a result of a family relationship;a sympathetic association will not beinferred solely on the basis of familyrelationship).

(3) Whether the individual rejected theassociate's beliefs and activities oncehe had knowledge of them.

(4) Age and status of the individual atthe time of the association.

a. The time or period during which the state-ments) or other activity took place.

b. Age, maturity, and status of the individualat the time of the incident.

c. Purpose in making the statement(s), e.g.,passive persuasion, incitement to action,etc.

d. The circumstances under which the state-ment (s) or other activity took place, e.g., injest, in argument, while disgruntled, whileinebriated, etc.

e. Whether the statement(s) were made spon-taneously, thoughtlessly, or after long deli-beration or study.

AGO 6WQA 2-3

AR 604-1018 September 1969

Table 2-1—Continued

CriteriaFactors

4. Membership in, or affiliation or sympa-thetic association with, any foreign or do-mestic organization, association, move-ment, group, or combination of personswhich is totalitarian, Fascist, Communist,or subversive, or which has adopted, orshows, a policy of advocating or approvingthe commission of acts of force or violenceto deny other persons their rights, underthe Constitution of the United States, orwhich seeks to alter the form of Govern-ment of the United States by unconstitu-tional means. (An organization, move-ment, or group, officially designated byThe Attorney General of the United Statesto be totalitarian, Fascist, Communist, orsubversive, to advocate or approve forcibleor violent denial of constitutional rights,or to seek alteration of the form of Gov-ernment of the United States by unconsti-tutional means, shall be presumed to be ofa character thus designated until the con-trary be established.)

Note. A list of organizations desig-nated by The Attorney General is setforth in AR 604-45.

/. Any other information tending to establishthe individual's actual convictions.

a. Time or period of membership, affiliation,or association.

b. Age, maturity, and status of individual atthe time of the individual's membership,affiliation, or association.

c. Extent of domination or control of the or-ganization by subversive elements at thetime of the individual's membership, affili-ation, or association.

d. Whether the individual discontinued hismembership, affiliation, or association atthe time the organization was designatedby The Attorney General, or its subversivecharacter was otherwise established, orwhen he might reasonably be supposed tohave acquired knowledge of its character.

e. Whether the individual was or should havebeen aware of the subversive aims of theorganization.

/. Extent of the individual's activities in theorganization (e.g., was he an official; did heparticipate actively and publicly in meet-ings, social events, demonstrations, or pa-rades, etc.; did he recruit other members,did he subscribe to literature of the organi-zation, etc.).

g. Whether the individual supported the or-ganization financially, or participated indrives, benefits, etc., for strengthening theorganization.

h. Reasons advanced by the individual formembership, affiliation or association, e.g.,to obtain low-cost insurance, improvingconditions of minority groups, or belief inother alleged objectives of a patriotic orsimilar acceptable nature, social activities,etc.

t. Attitude of the individual toward any non-subversive element of the organization.

;. Steps taken by the individual to disaffiliatehimself from the organization or disavowits subversive aims.

2-4 AGO 69MA

18 September 1969 AR 604-10

Table 2-1—ContinuedCriteria Factors

5. So performing or attempting to performhis duties, or otherwise acting, as to servethe interests of another government inpreference to the interests of the UnitedStates.

6. Intentional failure or refusal to sign theDD Form 98; refusal to answer com-pletely questions contained in DD Form98 or DD Form 398; or otherwise failingor refusing to answer any pertinent ques-tion propounded in the course of an officialinvestigation, interrogation, or examina-tion conducted for the purpose of ascer-taining the existence or extent, or both, ofconduct of the nature described in 1through 5 above, and 7 through 13 below.

7. Participation in the activities of an organ-ization as a front for an organization re-ferred to in 4 above, when his personalviews were sympathetic to the subversivepurposes of such organization.

8. Participating in the activities of an organ-ization with knowledge that it has beeninfiltrated by members of subversivegroups under circumstances indicatingthat the individual was part of, or sympa-thetic to, the infiltrating element or sym-pathetic to its purpose.

9. Participation in the activities of an organ-ization referred to in 4 above, in a capac-ity where he should reasonably have hadknowledge of the subversive aims or pur-poses of the organization.

10. Sympathetic association with a member ormembers of an organization referred to in4 above.

11. Currently maintaining a close associationwith a person who has engaged in activi-ties or associations of the type referred inin 1 through 10 above. A close continuingassociation may be considered to exist ifthe individual lives at the same address

Same as 1 above.

Purpose or reasons for failure or refusal tosign or answer pertinent questions; e.g., ad-vice of counsel, lack of understanding, etc.(Action under the Security Program iswarranted by a refusal to furnish informa-tion which the United States Government isentitled to know for the national security.)Whether subsequent to refusal, testimony,or other information pertinent to the issuewas given.

c. Whether the information which was with-held was pertinent to the security qualifica-tions of the individual.

Factors in 4 above, as applicable.

b.

Factors in 4 above, as applicable.

Factors in 4 above, as applicable.

Factors in 2 and 4 above, as applicable.

The circumstances which led to establish-ment of the association (e.g., whether theindividual voluntarily chose to associatewith the person concerned, or whether theassociation was the result of a family rela-tionship).

AGO 5960A 2-5

AR 604-1018 September 1969

Table 2-1—ContinuedCriteria

Factors

as, frequently visits, or frequently com-municates with such a person.

12. Close continuing association of the typedescribed in 31 above, even though laterseparated by distance, if the circum-stances indicate that renewal of the asso-ciation is probable,

13. Any facts (other than as set forth in para-graph 2-4) which furnish reason to be-lieve that the individual may be subjectedto coercion, influence, or pressure whichmay cause him to act contrary to the bestinterests of national security. Among mat-

2-6

b. The time and duration of the association.c. The nature, extent, and frequency of, and

the reasons for, the contacts by the individ-ual with the associate.

d. The nature, extent, and significance of thesubversive activities of the associate.

e. Whether the associate has attempted to so-licit official information from the individ-ual, and if so, the individual's reaction tothose attempts.

/. Whether the individual can be or has beencoerced or influenced by the associate.

g. Whether the individual knows or reasona-bly should have known of the associate'smembership in designated organizations, orof his subversive activities or views.

.Vote. This criterion may be applicableeven though the individual has not dem-onstrated any sympathy for the subver-sive activities and views of the associate.For example, it may be applicable ifthere is reason to believe that throughthe association the individual might dis-close classified information to the asso-ciate either unintentionally, or as the re-sult of coercion, influence, or pressure, orotherwise act contrary to the -security in-terests of the United States. In the ab-sence of other derogatory informationhaving security significance, this crite-rion will not be applicable in the case ofan individual who will not be in a posi-tion to adversely affect the security ofthe United States.

Factors in 11 above, as applicable.

a. Attempts, if any, to so coerce, influence, orexert pressure on the individual and hi?reactions thereto.

b. With respect to relatives in areas whose in-terests are inimical to the security of theUnited States:

AGO 6960A

L

18 September 1969 AR 604-10

Table 2-1—ContinuedCriteria

14.

ters which should be considered in thiscategory would be the presence of aspouse, parent, brother, sister, or off-spring in a nation, a satellite thereof, oran occupied area thereof, whose interestsare inimical to the security of the UnitedStates.

Any excessive indebtedness, recurring fin-ancial difficulties, unexplained affluence, orrepetitive absences without leave whichfurnish reason to believe that the individ-ual may act contrary to the best interestsof national security.

Factors

(1) If born a citizen of a foreign country,the circumstances under which the in-dividual left his native country, andtime elapsed since his departure,

(2) Recency or regularity of contact withrelatives or friends in a foreign coun-try.

(3) Expression of attitude by the individ-ual as to the form of government ofnative or foreign country.

AGO 5960A

v£

18 September 1969 AR 604-10

CHAPTER 3

EXECUTION, QUALIFICATION OF AND REFUSALTO COMPLETE DD FORM 98 OR DD FORM 398

3—1. Armed Forces Security Questionnaire (DDForm 98). a. The following individuals willexecute DD Form 98 as prescribed in thischapter:

(1) Each applicant for appointment, en-listment, reappointment, or reenlistment willexecute the form prior to such action, regard-leas of his component or duty status.

(2) Each member of a Reserve componentand each retired member entering on activeduty with his consent will execute the formprior to entry on active duty, except for pe-riods of ACDUTRA of 90 days or less if a pre-viously executed form is contained in his re-cord.

(3) Each member of a Reserve componentand each retired member involuntarily enter-ing on active duty or called into active Federalservice will execute the form immediately uponreporting to his first duty assignment, exceptfor periods of ACDUTRA of 90 days or less ifa previously executed form is contained in hisrecord.

(4) Each registrant will execute the formprior to induction.

b. The Department of the Army may pres-cribe other conditions requiring execution ofthe form. Execution of the form will be wit-nessed by an officer, enlisted member in gradeE-6 or above, or Department of the Army ci-vilian in grade GS-5 or above, who will enterthe statement "Executed prior to oath of officeor reenlistment" in the "remarks" section ofthe form. The individual concerned and thewitness will each initial this entry.

c. DD Forms 98 executed without qualifica-

AGO S960A

tion will be attached to the duplicate copy ofthe enlistment, induction, or appointment re-cord and retained with the service record.

3-2. Applicants for appointment, enlistment,reappointment, or reenlistment; refusal to com-plete or qualification of DD Form 98 or DDForm 398. o> An applicant who refuses tocomplete DD Form 98 or DD Form 398 in itsentirety will be denied appointment, enlist-ment, reappointment, or reenlistment, as ap-propriate. The following data will be enteredon the DD Form 98 or DD Form 398, as appro-priate, in the "remarks" section and will befollowed by the typed or stamped name and ac-tual signature of a person empowered to wit-ness execution of the DD Form 98:

Name:Date of birth:Place of birth:Home address:The above-named individual refused to

(execute this form) (complete this formin its entirety) on—————.

(Date)The DD Form 98 or DD Form 398, as appro-priate, will be forwarded for dispositionthrough command channels and the Chief, U.S.Army Personnel Security Group, Fort Hola-bird, MD 21219 to the United States Army In-vestigative Records Repository, Fort Holabird,MD 21219 for filing.

b. An applicant who qualifies his DD Fprm98 or DD Form 398 will not be appointed orenlisted until action under chapters 4 through8 has been completed. Procedures prescribed in3-3/i will be followed.

c. No applicant will be appointed or enlisted

3-1

AR 604-lfl

without the specific approval of the Secretaryof the Army if he was previously refused ap-pointment or enlistment or was relieved fromactive duty or discharged by another armedforce for national security reasons.

d. A member of the Army National Guard ofthe United States, the U.S. Army Reserve, or aretired member of the Army, being- consideredfor order to extended active duty with his con-sent, who refuses to complete DD Form 98 orDD Form 398 in its entirety or who qualifieseither of these forms will not be ordered to ac-tive duty until action under the chapters 4through 8 has been completed.

3-3. Registrants for induction; refusal to com-plete or qualification of DD Form 98 or DDForm 398. a. A registrant who qualifies DDForm 98 or DD Form 398 or refuses to com-plete either form in its entirety will be eligiblefor induction, if otherwise qualified, as long asthe qualification of the form does not acknowl-edge membership in an organization listed onThe Attorney General's list (see AR 604-45)or that he is a Communist.

b. In cases arising under a above, the Com-manding General, U.S. Army Recruiting Com-mand, Hampton, VA. will initiate DA Form 873(Certificate of Clearance and/or Security De-termination Under EO 10450) with the nota-tion "Acceptable for induction but not eligiblefor a security clearance and 'or assignment tospecific geographical areas until such time asan appropriate investigation can be conductedin accordance with the provisions of AR604-10 to determine subject's eligibility forsuch clearance and assignment and/or reten-tion in the Army." This form will be the firstform in the individual's Military PersonnelRecords Jacket, U.S. Army (DA Form 201)forwarded to the reception station or the sta-tion of initial assignment. The purpose of thisform is to alert personnel so that the entry"Not eligible for a security clearance, see para-graph 3-36, AR 604-10" will be made in item 18of DA Form 20 (Enlisted Qualification Record).Copies of DA Form 873 will also be forwardedby the Commanding General, U.S. Army Re-cruiting Command, to the gaining major com-

3-2

18 September 1969

mander; the Chief of Personnel Operations,ATTN: EPPAW, Department of the Army,Washington, DC 20310; the CommandingOfficer, U.S. Army Personel Services SupportCenter, Fort Benjamin Harrison, IN 46249;and the Chief, U.S. Army Personnel SecurityGroup, Fort Holabird, MD 21219. The Com-manding General, U.S. Army Recruiting Com-mand will notify the Commanding General,U.S. Army Intelligence Command, ATTN: IC-DI-SI, Fort Holabird, MD 21219, by prioritymessage (with information copies to Chief ofPersonnel Operations, Department of theArmy, Washington, DC 20310; Chief, UnitedStates Army Personnel Security Group; andthe major commander concerned) of each inst-ance of induction of an individual who hasqualified his DD Form 98 or DD Form 398 inthe manner described in a above. The messagewill include information that an investigationhas been initiated and the result of the in-vestigation will be forwarded to the majorcommander. In the event of MINIMIZE, notifi-cation will continue by message.

c. A registrant who indicates membership inan organization listed on The Attorney Gen-eral's list or who states on a signed DD Form98 or DD Form 398 that he is a Communist willnot be inducted until action under the follow-ing chapters of this regulation has been takenand the case has been favorably closed. TheCommanding General, U.S. Army RecruitingCommand, Hampton, VA, will insure that in-duction of the registrant is held in abeyanceuntil the case has been resolved and will notifyChief, U.S. Army Personnel Security Group,Fort Holabird, MD 21219 of the individual'sinduction following favorable resolution of thecase. It is emphasized that processing underthis regulation uritt not be undertaken for re-gistrants who are otherwise disQualified for in-duction. Consequently, when a registrantwhose case is being processed under this regu-lation becomes disqualified for induction forreasons other than national security, immedi-ate telegraphic notification of this fact will bemade to the Chief, U.S. Army Personnel Secur-ity Group, Fort Holabird, Maryland, with in-formation copy to the Commanding General,

AGO 6 WO A

18 September 1969 AR 604-10

U.S. Army Intelligence Command, ATTN: IC-DI-SI, Fort Holabird, MD 21219.

d. Refusal to complete DD Form 98 or DDForm 398 in its entirety is not itself a basis fordenial of induction or for elimination of mem-bers previously inducted. In such cases, theChief of Personnel Operations may declare theregistrant acceptable for induction or reten-tion, and cause the notation "Not eligible forsecurity clearance and/or assignment to spe-cific geographical areas, UP AR 604-10" to beentered on appropriate personnel records.

e. A registrant who is willing to submit toinduction, but refuses to subscribe to the oathof allegiance or to (the oath of service and obe-dience), as appropriate, will not be denied in-duction if he is otherwise eligible therefor. Ifotherwise eligible, he will be inducted and thenotation "Not eligible for security clearanceand/or assignment to specific geographicalareas because of refusal to subscribe to (theoath of service and obedience)," will be en-tered on his DA Form 20 (Enlisted Qualifica-tion Record).

/. A registrant who refuses to complete DDForm 98 or DD Form 398 in its entirety will berequested to enter an explanation for his re-fusal in the "remarks" section of the form andto sign the form. A person empowered to wit-ness the execution of DD Form 98 will affix hisown signature and grade or title. If a regis-trant refuses to complete DD Form 98 or DDForm 398 in its entirety and refuses to enteran explanation for the refusal in the "re-marks" section of the form and sign the form,the following statement will be entered in the"remarks" section of the form:

(Registrant's name), a registrant underthe Military Selective Service Act of 1967,was this date given an opportunity to exe-cute DD Form (enter number of form), andin my presence he refused to do so.

This statement will be signed by a person em-powered to witness the execution of DD Form98 (para 3-16).

g. A special registrant who qualifies or re-fuses to complete DD Form 98 or DD Form398 in its entirety will not be inducted until ac-

tion under the chapters 4 through 8 has beencompleted.

h. In cases arising under a, c, e, or g aboveor paragraph 3-26, the commanding officer ofthe Armed Forces Examining and EntranceStation will execute DA Form 2784 (Requestfor and Results of Personnel Security Action)and will forward it, together with the DDForm 98, DD Form 398, DD Form 1584 (De-partment of Defense National Agency CheckRequest), and FD Form 258 (FBI, U.S. Depart-ment of Justice, Fingerprint Card) throughchannels specified by the Commanding Gen-eral, U.S. Army Recruiting Command, to theCommanding General, U.S. Army IntelligenceCommand, ATTN: ICDI-SI, Fort Holabird,MD 21219. In cases arising under c, above theaction agency listed on DA Form 2784 will be"Chief, United States Army Personnel Secur-ity Group:" in all other cases, the actionagency will be the appropriate major com-mand. Cases concerning individuals enteringthe Army other than through an ArmedForces Examining and Entrance Station willforward to the major commander concerned,ATTN: Deputy Chief of Staff for Intelligence(DCSI) or the Assistant Chief of Staff, G-2, asappropriate. A statement as to whether or notthe individual is otherwise qualified for induc-tion, enlistment, or appointment, will be in-cluded. An investigation under chapter 4 willnot be conducted if the individual is not other-wise qualified for entry into the Army.

3-4. Interview of individuals' qualifying forms.a. Before the qualification of DD Form 98 orDD Form 398 is used as a basis for the initia-tion of an investigation pursuant to this regu-lation, a Counterintelligence Special Agentwill interview the individual to—

(1) Advise the individual of his rightsunder the Fifth Amendment to the Constitu-tion and under Article 31, Uniform Code ofMilitary Justice;

(2) Explain the reason behind the Army'sconcern over qualification of the form;

(3) Advise the individual of the effect ofproceedings under this regulation upon his

AGO 5960A

AR 604-10

status in the Army, including the effect of para-graph 1-7; and

(4) Offer him the opportunity to volun-teer as complete a statement as he desires toclarify his position and to furnish any infor-mation which may be useful in making a deter-mination in his case.

b. It is preferable that any statement givenbe a sworn statement and that any informationfurnished be under oath, but such action willbe at the option of the individual. Approval bythe Assistant Chief of Staff for Intelligence to

18 September 1959

conduct an interview under oath is not re-quired. In cases in which the individual hascooperated in furnishing information which initself is insufficient to warrant an unfavorablerecommendation under this regulation, any in-vestigation predicated thereon will be classifiedas a personnel security investigation. At suchtime as the investigation develops credible de-rogatory information, or upon notification bythe control office that a complaint-type investi-gation has been initiated on an individual, themajor commander will initiate flagging actionunder section II, AR 600-31.

3-4AGO G960A

18 September 1969 AR 604-10

CHAPTER 4

INVESTIGATIONS

4-1. Reporting information, a. It is the dutyof every member of the Army to report to hiscommanding officer any information which in-dicates that retention of any member of theArmy may not be clearly consistent with theinterests of national security. Examples of in-formation which provide a basis for reportingare contained in paragraph 2-3.

b. Reports concerning members of the Re-serve components not serving on active dutyand in status as indicated will be referred tothe following commanders:

(1) Individual Ready Reserve—Areacommander, oversea commander (as defined inpara 1-3); CO, U.S. Army Reserve Compo-nents Personnel Center, Fort Benjamin Harri-son, IN 46249, or CO, U.S. Army Administra-tion Center, St. Louis, MO 63132, as appro-priate.

(2) Standby Reserve and Retired Reserve—CO, USAAC.

(3) Troop Program Units, USAR—Ap-propriate area commander in whose area theindividual resides.

(4) ARNGUS—Chief, National GuardBureau, Washington, DC 20310. If the statusof a member of the Reserve component cannotbe determined, inquiry may be made to CO,USAAC.

c. Whenever derogatory information of a na-tional security nature concerning an individualcomes to the attention of a commander, theprocedures described in paragraph 4-3 or 4-4,as appropriate, will be followed. If any doubtexists as to the individual's physical location,the commander possessing the adverse infor-mation will ascertain the individual's assign-ment by the most expeditious means and will

notify the major commander concerned that heis in possession of derogatory information of anational security nature concerning a memberof his command. The assignment of an officerserving on active duty will be obtained fromThe Adjutant General, ATTN: AGPF, Depart-ment of the Army, Washington, DC 20310;the assignment of an enlisted member servingon active duty will be obtained from the Com-manding Officer, U.S. Army Personnel ServicesSupport Center, Fort Benjamin Harrison, IN46249. The assignment of a member of theArmy Reserve not serving on active duty willbe obtained from the Commanding Officer, U.S.Army Administration Center, St. Ixwis, MO63132; and the assignment of a member of theArmy National Guard serving neither on ac-tive duty nor in active Federal service will beobtained from the Chief, National Guard Bu-reau, Washington, DC 20310.

d. The commander concerned, or the Chief,National Guard Bureau (in the case of mem-bers of the Army National Guard of theUnited States) will forward reports receivedby him through intelligence channels to themajor command concerned. The major com-mander will request such investigation as nec-essary to substantiate or disprove the allega-tion or suspicion, and, if substantiated, will ini-tiate action under this regulation.

4-2. Chronology record. Information pertainingto each action taken in a case initiated underthis regulation will be recorded in the spaceprovided on DA Form 2217 (Chronology Re-cord (Military Personnel Security Case)). Theterm "action agency" used in this form refersto each Headquarters, Department of theArmy agency, and each organizational segment

AGO 5960A 4-1

AR 604-10

of each elchelon of command through which thecase passes. DA Form 2217, original only, willbe prepared by the commander requesting theinitiation of an investigation under this regula-tion. The initiator of the proceeding will com-plete the heading of the form. When his action

. is completed, the Date Forwarded and NextAddressee (action agency) blocks will be com-pleted. Each entry will be stamped, typed, orprinted in ink. Subsequent entries will be madeby completing the Date Received, Date For-warded, and Next Addressee blocks. If addi-tional space is required, continuation sheets(8- by 10i/o-inch bond paper) will be used andattached securely to the form. The heading,consisting of the subject's name, SSAX, serv-ice, or Selective Service number, and tfrade, ifany, will be entered at the top of each continu-ation sheet. DA Form 2217 will be the firstpaper following the Security Classificationcover, where applicable. L'pon completion ofthe last action, DA Form 2217 will be filedwith the case file.

4-3. Action by local commander. Upon receiptof derogatory information within the scope ofparagraph 2-3 concerning a member, the fol-lowing actions will be taken by the local com-mander:

a. If the information available is sufficient tosupport a positive recommendation that accept-ance or retention of the member concerned iswarranted, the commander will so recommendand forward the case through command chan-nels to the major commander and will includea statement setting forth the reasons for therecommendation. During the period betweenforwarding and approval of the recommenda-tion, the member may be retained in his cur-rent duty assignment.

b. If the information available is not suffi-cient to support a favorable recommendationthat acceptance or retention of the memberconcerned is warranted, the commander willrecommend that, the major commander requestinitiation of an investigation. The recommen-dation will be forwarded through commandchannels to the major commander and will be

4-2

18 September 1969

accompanied by all correspondence concerned,together with DD Form 98, four completedcopies of DD Form 398, six completed copies ofDD Form 1584, and FD Form 258. Pending afinal determination in the case, the local com-mander may take such action as is necessary toprotect the security of his command, includingsuspension of security clearance, if any, anddenial of access to classified defense informa-tion. Pending the issuance of DA Form 268(Report for Suspension of Favorable Person-nel Actions) by the major commander, thelocal commander will insure that the personnelactions described in paragraph 2, AR 600-31,are not accomplished without the prior ap-proval of Headquarters, Department of theArmy. In cases involving members of theArmy National Guard of the United States nei-ther on active duty nor in active Federal serv-ice, the major commander will forward acopy of DA Form 268 to the Chief, NationalGuard Bureau, and the appropriate State adju-tant general requesting that action be initiatedas required by NCR 35.

c. Requests for removal of suspension of fa-vorable personnel action in cases involving theMilitary Personnel Security Program will be.submitted through the major commander toThe Adjutant General, ATTN: AGPO-SEF,Department of the Army, Washington. DC20315 in writing or by eiectricai message (para56, AR 600-31). In the event of MINIMIZE,notification will continue by message.

4-4. Action by major commander. A recommen-dation based on the criteria set forth in para-graph 2-3 must be made by the major com-mander in each case arising under this regula-tion except those involving registrants arisingunder paragraph 3-3c, The recommendationwill indicate whether, based on all of the avail-able information, acceptance, retention, rejec-tion, or discharge is believed to be warrantedunder the standard set forth in paragraph 2-1-The procedures outlined in this paragraph willbe followed.

«. When the information in the possession ofthe major commander is sufficient to support &favorable recommendation without the neces-

L ,

18 September 1969 AR 604-10

sity for further investigation, the major com-mander may recommend favorable closing ofthe case and —

(1) Forward the case file (the UnitedStates Army Investigative Records Repositorycopy of the Report of Investigation, and the in-dividual's dossier, if any) to the AssistantChief of Staff for Intelligence, Department ofthe Army, ATTN: Chief, U.S. Army PersonnelSecurity Group, Fort Holabird, MD 21219;

(2) Take no further action until notifiedthat the Assistant Chief of Staff for Intelli-gence has approved the favorable closing of thecase; and

(3) Upon receipt of approval of favorableclosing of the case —

(a) Take action required by AR600-31 ;

(6) Restore the member to regular dutyas prescribed by paragraph ]-6a, or direct thatthe applicant be appointed or enlisted and takethe actions prescribed by paragraph l-6o; and

(c) When applicable, forward a letterto the subordinate commanders concerned, set-ting forth the favorable determination. Incases involving qualified DD Form 98 and DDForm 398, the entry "paragraph 4-4a, AR 604-10 applies" will be made in the "remarks" sec-tion of the DD Form 98 and DO Form 398. Thisentry will be authenticated by the signatureand typed name of an officer and will indicatethe date that the entry was made.

b. When the information in the possession ofthe major commander is insufficient to supporta recommendation for either favorable closingor for rejection or elimination, the major com-mander will request that the control office ini-tiate an investigation, and will take flaggingaction under AR 600-31. Upon receipt of thecompleted investigation from the control office,the major commander may recommend favor-able closing of the case as prescribed in aabove or he may make one of the following rec-ommendations as to its eventual disposition:

(1) Discharge in the interests of nationalsecurity and the type of discharge.

(2) Retention on active duty.

(3) Retention in the appropriate Reservecomponent.

(4) Retention on active duty with the no-tation that the member is "not eligible for a se-curity clearance and/or assignment to specificgeographical areas, UP AR 604-10."

(5) Retention in the appropriate Reservecomponent with the notation that the memberis "not eligible for a security clearance and/orassignment to specific geographical areas, UPAR 604-10."

(6) Acceptance of applicant or special reg-istrant for appointment or enlistment.

(7) Rejection of applicant or special reg-istrant for appointment or enlistment.

(8) Acceptance of special registrant forinduction with the notation "not eligible for asecurity clearance and/or assignment to spe-cific geographical areas, UP AR 604-10."If continued processing of the case is recom-mended, the major commander will forwardthe case to the Assistant Chief of Staff for In-telligence, Department of the Army, ATTN'Chief, U.S. Army Personnel Security Group,Fort Holabird, MD 21219. Original copies ofDD Form 98 and DD Form 398 and the majorcommand recommendation must accompanythe case. The major commander will also directthat the actions prescribed by 4-3(2) be takenor continued by the local commander.

4-5. Action by control office. When an individualhas qualified or refused to complete DD Form98, DD Form 398, or FD Form 258 in its en-tirety, or has refused to take the oath of alleg-iance or the oath of service and obedience, orinformation is received that the individual isinvolved in activity of the type described inparagraph 2-3, the control office will conduct alimited investigation (sec. IV, AR 381-130),including a subject interview (para 3^4) or areinterview, if appropriate, and will simulta-neously notify the appropriate major command-er, who will take flagging action under AR600-31. Completed investigations involving reg-istrants (other than special registrants) arisingunder paragraph 3-3c will be forwarded by thecontrol office to the Assistant Chief of Staff for

AGO 6960A

AR 604-10

Intelligence, Department of the Army, ATTN;Chief, U.S. Army Personnel Security Group,Fort Holabird, MD 21219 for further process-ing. All other completed investigations will beforwarded or returned to the appropriatemajor command for action under paragraph4-4.

4-6. Action by oversea commander. It is recog-nized that certain military personnel assignedto oversea commands (i.e., commands otherthan CONUS major commands) should not re-main in any assignment in the oversea com-mand concerned because of possible disloyaltyor disaffection. If, after appropriate investiga-tion in accordance with this regulation, a de-termination is made by the oversea commanderthat a member of his command constitutessuch a risk and should be returned to CONUS,he may order the member's return when ap-proval is granted by Chief of Personnel Op-erations. In no case should this action be usedin lieu of disciplinary action or dischargeunder other regulations. Orders returning mili-tary personnel to CONUS under this para-graph will clearly refer to paragraph 4-6, AR604-10, as the authority for the action. Priorto the issuance of travel orders, the losing com-mander will notify The Adjutant General,ATTN: AGPO-SEF, Department of the Army,Washington, DC by electrically transmittedmessage (with information copies to the appro-priate returnee-reassignment station, the Chiefof Personnel Operations, Department of theArmy, Washington, DC 20310, and the Assist-ant Chjef of Staff for Intelligence, Departmentof the Army, ATTN: Chief, U.S. Army Per-sonnel Security Group, Fort Holabird, MD21219), of the pending assignment, citing theindividual's name, rank, social security accountnumber, the paragraph, special order number,issuing headquarters and date, estimated timeof arrival, expiration of term of service, homeof record, and authority for reassignment. Inthe event of MINIMIZE, notification will con-tinue by message. The losing commander willtake flagging action under AR 600-31 prior tothe individual's departure, and the command ofultimate assignment will insure that flaggingaction is continued. The losing commander will

4-4

18 September 1969

forward by the most expeditious means twocopies of the report of investigation and ordersto the Assistant Chief of Staff for Intelligence,Department of the Army, ATTN: Chief, U.S.Army Personnel Security Group, Fort Hola-bird, MD 21219. The Chief of Personnel Opera-tions, in coordination with the Assistant Chiefof Staff for Intelligence, will determine an ap-propriate assignment.

4-7. Investigations, a. Investigations initiatedunder this regulation will be conducted by theappropriate investigative agency or commandof the Department of the Army in accordancewith AR 381-130 and FM 30-17.

b. Every effort will be made to avoid dupli-cation of investigations conducted by other De-partment of Defense or Federal agencies thereports for which contain factual findings andwhich are sufficient in scope and detail to per-mit a determination under this regulation.

c. Reports and other information developedthrough investigations conducted under theMilitary Personnel Security Program are theproperty of the agencies concerned, except thatinvestigative information concerning regis-trants will be furnished to the Department ofthe Navy or Department of the Air Force uponthe registrant's induction into either of theseservices. Reports and other investigative mate-rial will be maintained in confidence and willnot be divulged except as provided in AR381-130. Release of information pertaining toinvestigations of members of the Army Na-tional guard of the United States derived fromthe Federal Bureau of Investigation will be inaccordance with procedures prescribed by theAssistant Chief of Staff for Intelligence, theFederal Bureau of Investigation, and theChief, National Guard Bureau. Investigativefiles will not be furnished to any State adju-tant general or to other Army National Guardpersonnel unless such personnel are serving onactive duty or in active Federal service.

rf. Notwithstanding any other provisions ofthis regu lation, i n cases where retentionwithin the Army facilities investigation byother Federal agencies or prosecution by the

AGO 6960A

18 September 1969

Department of Justice, such retention may beauthorized upon request of the agency con-cerned if not inconsistent with paragraph 4-8.Similarly, administrative proceedings underthis regulation may be suspended pending com-pletion of necessary investigation if advice isreceived from the investigative agency con-cerned that its mission would be hampered byinstitution of such proceedings.

4-8. Discharge or release from active duty;ETS. a. The major commander will notify theAssistant Chief of Staff for Intelligence, De-partment of the Army, ATTN: Chief, U.S.Army Personnel Security Group, Fort Hola-bird, MD 21219, of any member whose case is

AR 604-10

being processed under the provisions of this reg-ulation whom a commander proposes to re-lieve from active duty or discharge for anyreason other than for ETS. In order to pre-clude inadvertent retention beyond the mem-ber's expiration of term of service, major com-manders will comply with paragraph 6, AR600-31.

o. If release from active duty and transfer toa Reserve component prior to completion of ac-tion under this regulation is directed by Head-quarters, Department of the Army, the nota-tion "paragraph 2-5, AR 601-210 applies" willbe entered in item 30, DD Form 214 issued tothe member.

AGO 5960A 4-5

18 September 1969 AR 604-10

CHAPTER 5

ACTIONS TAKEN BY HEADQUARTERS, DEPARTMENT OF THE ARMY

5-1. Assistant Chief of Staff for Intelligence.a. The U.S. Army Personnel Security Group,Fort Holabird, Maryland, a special field activ-ity of the Assistant Chief of Staff for Intelli-gence, will review all cases received from thecontrol office and the major commands and willtake one of the following actions for the As-sistant Chief of Staff for Intelligence, as ap-propriate:

(1) When the derogatory informationcontained in the file is deemed sufficient to war-rant discharge or denial of appointment, en-listment, or induction, the case will be for-warded to The Judge Advocate General with arecommendation that he prepare appropriateallegations.

(2) When the derogatory informationcontained in the file is deemed insufficient towarrant discharge or denial of appointment,enlistment, or induction—

(a) The case will be favorably closedand the major commander will be so informed;or

(b) The case will be forwarded withthe appropriate recommendation to the Chiefof Personnel Operations, Department of theArmy, if the individual is considered accepta-ble for induction or retention with the notationthat he is not eligible for a security clearanceand/or assignment to specific geographicalareas.

(3) When the derogatory information isinsufficient to support a recommendation, thecase may be returned to the appropriate con-trol office for further investigation or a subjectinterview, as appropriate.

6. When minor derogatory information isdisclosed during screening of intelligence files,

the Chief, U.S. Army Personnel SecurityGroup may close a case favorably without re-ferral to the major command if further inves-tigation is not warranted. A memorandum forthe record summarizing the derogatory infor-mation will be prepared in these cases and willaccompany the file upon its transmittal to theU.S. Army Investigative Records Repository,Fort Holabird, MD 21219.

c. Derogatory information concerning mem-bers or prospective members of the Army re-ceived by the Assistant Chief of Staff for Intel-ligence from other agencies will be reviewedand transmitted to the appropriate commanderfor information or processing under this regu-lation.

d. Cases received from major commanderspursuant to paragraph 4-4a in which theChief, U.S. Army Personnel Security Group,determines that favorable closing is unwar-ranted without further investigation will bereturned to the major commander with the rec-ommendation that an investigation be initiated.

e. The Assistant Chief of Staff for Intelli-gence will make available a competent securityadviser to provide advice to the Department ofthe Army Security Screening Board and theArmy Security Review Board on such securitymatters as release of information, capabilitiesand limitations of investigative agencies andtechniques, and significance of alleged subver-sive activities. The security adviser will not at-tend closed sessions of the boards.

5-2. Inter-Service Committee on Registrants.This paragraph will be effective only at suchtime as the Department of the Army autho-rizes its use. When the Navy, Marine Corps, orAir Force participates in Selective Service pro-

AGO 5960A 5-1

1

AR 604-10

curement, the provisions of paragraph 5-1 aremodified as indicated in this paragraph. TheAssistant Chief of Staff for Intelligence maynot close a registrant's case favorably. Unlessfurther investigation is required, he will referthe case, together with an appropriate recom-mendation, to the Deputy Chief of Staff forPersonnel, who in turn will refer it to the In-ter-Service Committee on Registrants. The In-ter-Service Committee may request further in-vestigation, may decide to close the case favor-ably, or may decide to offer the registrant anopportunity to appear before a field board ofinquiry appointed pursuant to chapter 6 of thisregulation. Requests for further investigationwill be made to the Assistant Chief of Staff forIntelligence, Department of the Army, Wash-ington, DC 20310; other decisions of the In-ter-Service Committee will be referred to theChief of Personnel Operations, Department ofthe Army, Washington, DC 20310, for imple-mentation.

5-3. The Judge Advocate General. Upon receiptof a case from the Assistant Chief of Staff forIntelligence, The Judge Advocate General willreview the file, determine the presence of cre-dible derogatory information therein, and, ifappropriate, prepare the allegations to be used,in a "Letter of Allegations." The prepared alle-gations will be sufficiently detailed so as to ena-ble the individual to prepare his defense andwill be as complete as security considerationspermit. The Judge Advocate General may re-quire the Assistant Chief of Staff for Intellig-ence to attempt to obtain such additional inves-tigative information as may be necessary tofully substantiate allegations prepared by him.Cases in which allegations are prepared will beforwarded through the Assistant Chief of Stafffor Intelligence to The Adjutant General (incases involving special registrants) or theChief of Personnel Operations (in all othercases). The Assistant Chief of Staff for Intel-ligence will prepare a Summary of Informa-tion and include it in the file being forwarded.If The Judge Advocate General declines to pre-pare allegations, the file will be returned, to-gether with a statement of reasons for the dec-lination, to the Assistant Chief of Staff for In-

5-2

18 September 1969

telligence, who will take one of the actions pre-scribed in paragraph 5~la(2).

5-4. Department of the Army Security Screen-ing Board. Upon receipt of a case concerninga special registrant from the Assistant Chiefof Staff for Intelligence, The Adjutant Generalwill refer the case to the Department of theArmy Security Screening Board. The Depart-ment of the Army Security Screening Boardwill be composed of a minimum of three fieldgrade officers. The board will review the caseand will recommend one of the following ac-tions to the Chief of Personnel Operations:

a. Favorable closing of the case.b. Further investigation (this recommenda-

tion will be forwarded directly to the AssistantChief of Staff for Intelligence).

c. Initiation of rejection action.

d. Referral of the case to a field board of in-quiry for consideration of denial of commissionand induction in an enlisted capacity with thenotation that the individual is "not eligible fora security clearance and/or assignment to spe-cific geographical areas, UP AR 604-10."

5-5. Chief of Personnel Operations, a. The" Chief of Personnel Operations will review ail

cases in which allegations have been preparedby The Judge Advocate General and directthat one of the following actions be taken:

(1) Favorable closing of the case.(2) Further investigation (these cases

will be forwarded directly to the AssistantChief of Staff for Intelligence).

(3) Forwarding of the case to the com-mander concerned for appropriate dispositionunder chapter VII, Manual for Courts-Martial,(1969), if release of evidence contained in themember's dossier has been authorized by theAssistant Chief of Staff for Intelligence for thepurpose of trial by court-martial (para 53<?,(1969) permits convening authorities to ex-clude the public from a trial by court-martialwhen security considerations so dictate).

(4) Initiation of rejection or eliminationaction (or submission to a Department of the

AGO 6960A

18 September 1969 AR 604-10

Army Selection Board in the case of officersserving on active duty). A recommendationwill be made with respect to the character ofdischarge to be awarded in the event a membertenders his resignation or requests dischargein lieu of elimination proceedings under thisregulation.

(5) Initiation of discharge proceedingsunder other appropriate regulations.

(6) Retention with the notation that themember is "not eligible for a security clearanceand/or assignment to specific geographicalareas, UP AR 604-10."

(7) Acceptance for induction with the no-tation that the registrant is "not eligible for asecurity clearance and/or assignment to spe-cific geographical areas, UP AR 604-10."

(8) Referral of cases concerning specialregistrants to a field board of inquiry for con-sideration of denial of a commission and induc-tion in an enlisted capacity with the notationthat the individual is "not eligible for a secur-ity clearance and/or assignment to specific geo-graphical areas, UP AR 604-10."

b. The Adjutant General will implement theprescribed action by notifying the appropriatemajor command of the action to be taken andby submitting cases concerning officers servingon active duty to a Department of the Army Se-lection Board in accordance with AR 635-105.

5-6, Letter of allegations, a. Upon receipt of arequest from the Chief of Personnel Opera-tions that elimination proceedings be initiatedor that an individual be rejected for appoint-ment, enlistment, or induction, The AdjutantGeneral, will transmit the case, together withthe "Letter of Allegations," to the major com-mander (or in the case of registrants, to thearea commander of the area in which the re-gistrant currently resides (para. 4, AR 14-0-1)for dispatch of the letter to the respondent.The major or area commander will cause theletter to be delivered in person to the respon-dent and a signed receipt obtained therefor. Ifpersonal delivery proves unsuccessful, the"Letter of Allegations" will be dispatched tothe respondent at his last known address bycertified mail.

6. The following additional procedure will beapplied with respect to members of the ArmyNational Guard of the United States neither onactive duty nor in active Federal service: The"Letter of Allegations" will be forwarded di-rect to the respondent by the Chief, NationalGuard Bureau (para 4-7c) ; and The AdjutantGeneral will forward the case together with acopy of the "Letter of Allegations" direct tothe area commander concerned. The followingadditional procedures will be applied with res-pect to members of the Individual Ready Re-serve, the Standby Reserve, or the Retired Re-serve: The case, together with the "Letter ofAllegations," will be transmitted by The Adju-tant General to the appropriate area com-mander concerned for dispatch of the letter tothe respondent. An information copy of the"Letter of Allegations" will be transmitted tothe Commanding Officer, U.S. Army Adminis-tration Center, St. Louis, MO 63132, CINCU-SAREUR, or CINCUSARPAC, as appropriate.

c. The letter transmitting the "Letter of Al-legations" will refer specifically to this regula-tion, and will inform the respondent that—

(1) He may, within 5 days of receipt, re-quest retirement if eligible or tender his resig-nation or request discharge in lieu of elimina-tion. A member tendering his resignation orrequesting discharge must agree to accept adischarge of the character specified in the"Letter of Allegations" although final decisionas to the type of discharge to be awarded restswith Headquarters, Department of the Army.A form letter to accomplish tender of resigna-tion or request for discharge will accompanyeach "Letter of Allegations" dispatched to amember (fig. A-3, AR 635-120 will be followedfor officers' resignations; fig. A-5, AR 635-120will be followed for officers' request for dis-charge; fig. 1, AR 635-200 will be followed forenlisted members' resignations).

(2) He may, within 5 days of receipt, re-quest a personal appearance before a fieldboard of inquiry, with or without counsel. Hewill be furnished the services of military coun-sel certified under Article 27 (b), Uniform Codeof Military Justice, if reasonably available. Ci-vilian legal counsel will be permitted at his ex-

AGO 5060A 5-3

AR 604-10 18 September 1969

pense. The field board of inquiry will assist inprocuring witnesses who are reasonably avail-able and whose testimony is material to theissue (para 6-5), If the respondent is a mem-ber of a Reserve component neither on activeduty nor in active Federal service, an applicantfor appointment or enlistment, or a registrantfor induction, appearance before a field boardof inquiry will be at his own expense.

(3) He may, if a registrant or an appli-cant for appointment or enlistment, in lieu ofappearance before a board, rebut the letter inwriting within 15 days of receipt and submitsuch documents as he desires. Reasonable ex-tensions of time may be granted by the majoror area commander.The respondent will elect in writing one of thechoices offered by (1), (2) , or (3) above.Should he refuse to elect one of the choices of-fered, he will be advised that his case will beprocessed by Headquarters, Department of theArmy, without further referra] to him, and hewill be advised that such processing may resultin discharge (honorable, general, other thanhonorable, undesirable), rejection for induc-tion, or rejection of application for appoint-

ment, reappointment, enlistment, or reenlist-ment, as appropriate.

rf. Upon receipt of the respondent's reply tothe "Utter of Allegations" or upon expirationof 15 days following receipt of the letter by therespondent (or 15 days following an unsuccess-ful attempt to deliver the letter by the meansdescribed in a above), whichever is sooner, theappropriate commander will refer the case tothe appropriate appointing authority (if a fieldboard of inquiry is requested by the respond-ent) or forward the case, together with therespondent's reply, if any, to The AdjutantGeneral with a recommendation of action to betaken. Resignations and requests for dischargewill be processed in accordance with applicableregulations. Other cases will be referred byThe Adjutant General to the Army SecurityReview Board for final review in accordancewith paragraph 7-1.

e. The commander concerned will notify TheJudge Advocate General, ATTN: Military Af-fairs Division Department of the Army, Wash-ington, DC 20310, of the respondent's requestfor appearance before a field board of inquiryimmediately upon receipt of the request.

L5-4

AGO 6960A

18 September 1969 AR 604-10

CHAPTER 6

FIELD BOARD OF INQUIRY

6-1. Boards in general—security matters. Mem-bers of all boards referred to in this regulationwill have a TOP SECRET security clearancebased on a favorable background investigationunder the provisions of AR 381-130 or an in-vestigation of equal scope. Military personnelmay be assigned to such duties if a backgroundinvestigation has been initiated and an interimTOP SECRET security clearance has beengranted. The recorder and security adviser ofall boards referred to in this regulation andthe attorney-adviser referred to in this chapterwill have a TOP SECRET security clearance.Administrative personnel who are engaged inthe processing of cases under this regulationwill have at least a SECRET security clear-ance.

6-2. Field board of inquiry, a. A field board ofinquiry convened under this regulation is ad-ministrative and not judicial in nature. Theboard is not bound by the rules of evidence orthe procedures prescribed for trials by courts-martial. The hearing is an inquiry directed to-ward obtaining evidence which supports or re-buts the conclusion that the respondent's con-tinued or future service in the Army is clearlyconsistent with the interests of national secur-ity.

ft. Authority to appoint boards of inquiryunder this regulation is vested in commandersexercising general court-martial jurisdiction,except that boards convened to hear the casesof officers on active duty will bo appointed asprovided in AR 635-105 and those convened tohear the cases of members of Reserve compo-nents neither on active duty nor in active Fed-eral service will be appointed by area com-manders (see AH 135-175 concerning Reserveofficers; AR 135-178 for Reserve enlisted mem-

bers). Upon request by the respondent for ap-pearance before a field board of inquiry under

• this regulation, the appropriate commanderwill appoint such a board and will refer thecase, including all evidence related to the alle-gations, the respondent's reply, and such otherinformation as is cleared for inclusion by theAssistant Chief of Staff for Intelligence, to it.Boards of inquiry will, if possible, be convenedin the vicinity of the individual's residence ormilitary location, as appropriate.

6-3. Field board of inquiry—composition, a.Field boards of inquiry appointed under thisregulation will be composed of field grade orgeneral officers who are senior in both tempo-rary and permanent grade to the respondent.Three or more officers will constitute the mem-bership of each field board of inquiry, and nohearing will be held with less than three mem-bers present. Each board member must possessthe qualifications required by paragraph 6-1.No officer will sit as a member of more thanone board considering the case of any one res-pondent. No officer will sit as a member of afield board of inquiry if he is to be or has beencalled as a witness before it, or if he has pre-viously recommended or has been a member ofany board or court-martial which consideredthe respondent for disciplinary action or elimi-nation. If the respondent is female, a femaleofficer of the same corps as the member will bedetailed to the board and will serve as an ad-viser without vote unless such detail is waivedby the respondent.

b. A board appointed to hear the case of amember of a Reserve component neither on ac-tive duty nor in active Federal service will, inaddition to the above, be constituted in themanner provided by paragraph 3c(3), AR

AGO 6960A

AR 604-10

15-6. A board appointed to hear the case of amember of the Army National Guard of theUnited States neither on active duty nor in ac-tive Federal service will include one Army Na-tional Guard of the United States officer on ac-tive duty as a member. A board appointed tohear the case of a member of a Reserve compo-nent on active duty or in active Federal serviceor of a Regular Army warrant officer or enl-isted member who holds a Reserve commissionor warrant will include at least one Reserve of-ficer on active duty as a member.

c. The; appointing authority will designatean officer to serve as recorder without vote forthe board. The recorder will execute the ordersof the board and supervise the preparation andmaintenance of the verbatim record of the pro-ceedings.

d. The appointing authority will furnish asecurity adviser to provide advice to the fieldboard of inquiry on such security matters asrelease of information, capabilities and limita-tions of investigative agencies and techniques,and significance of alleged subversive activi-ties. The security adviser will work with theattorney-adviser in providing guidance con-cerning the significance of alleged subversiveinformation. The security adviser will not at-tend the closed session at which the board ar-rives at its findings and recommendations.

e. The appointing authority will privide theboard with a competent reporter. If a compe-tent enlisted or Government civilian employeereporter is not available, a civilian contract re-porter may be employed if the attorney-adviserso recommends (para 6-8).

6-4. Attorney-adviser, a. The major commanderwithin whose command a field board of inquiryis convened will make available for appoint-ment to the board as attorney-adviser withoutvote a field grade officer of the Judge AdvocateGeneral's Corps serving on active duty whomeets the requirements of paragraph 6-1. Theattorney-adviser will be present at the hearingto assist the board in insuring: that the recordis as complete as possible to the end that allpertinent information, favorable as well as un-

13 September 1969

favorable to the respondent, is brought to theattention of the board and made a matter of re- \cord. No functions performed by the attorney-adviser, however, will relieve the board of itsresponsibility for insuring that the record iscomplete and that all pertinent information isconsidered. The attorney-adviser is in no sensea prosecutor and will not conduct himself asone. He will not attend the closed session atwhich the board arrives at its findings and rec-ommendations. The major commander con-cerned will notify The Judge Advocate Gen-eral, ATTN: Military Affairs Division, Depart-ment of the Army, Washington, DC 20310, ofthe identity of the attorney-adviser and of thedate that the hearing is to be convened. Notifi-cation by electrical message will be dispatchedas soon as a hearing date is fixed, and in anyevent will be made not less than 20 or 30 daysprior to the hearing (CONUS or overseas,respectively). In the event of MINIMIZE, noti-fication will continue by message. The com-mander who appoints the field board of inquirywill reproduce locally one copy of the case file,in accordance with AR 380-5, for the use ofthe attorney-adviser.

b. The duties of the attorney-adviser are as *follows:

(1) Prior to the hearing, he will—(a) Familiarize himself with the con-

tents of the records, reports, and documentsfurnished with the case.

(b) Ascertain from the president of theboard that all witnesses whose testimony, fa-vorable or unfavorable to the respondent, isdeemed material to a fair presentation of thecase, have been ordered or invited to attend thehearing in accordance with paragraph 6-5.

(c) Ascertain, if possible, which wit-nesses invited pursuant to paragraph 6-5 willbe present, and familiarize himself with thetestimony they will offer.

(d) Arrange for the taking of affidavitsand depositions.

(e) Request that necessary documen-tary evidence be secured by the appointing au-thority.

(2) During the hearings—

6-2 AGO B9MA

18 September 1969 AR 604-10

(a) He will examine all witnessescalled by the Government whether their testi-mony is favorable or unfavorable to the res-pondent.

(b) He will, in open session, present tothe board all information, documents, papers,records, and other material which may bemade known to the respondent and ask for itsreceipt as evidence.

(c) He will conduct all necessary exam-ination of witnesses presented by the respon-dent to the end that their testimony may befully developed and their credibility evaluatedby the board.

(d) He may object to the receipt by theboard of testimony, evidence, information, ormaterial tendered on behalf of the respondentwhich is not material to a determination of theissues before the board, or the receipt of whichis contrary to the regulations governing ad-ministrative elimination proceedings, and hemay argue and present authorities in supportof his position. He may also argue in supportof the receipt into evidence of testimony, docu-ments, information, or other material tenderedby him or by the respondent and which is ma-terial to the issues before the board.

(e) Whether or not oral argument ispresented on behalf of the respondent, he willmake such summation of the case as he deemsappropriate. The summation will not be a par-tisan presentation, but will be in the nature ofan objective analysis of all the informationpresented to the board which has been dis-clcsed to or offered by the respondent, and maypoint to the logical conclusions that may bedrawn therefrom.

(3) He will be present at private meet-ings between the board and any witness whohas signified his desire to be heard in private(para 6-5).

(4) At any point in the proceedings, theattorney-adviser may be called upon by thepresident of the board for advice 'concerningthe legal interpretation of pertinent laws andregulations, questions of the propriety of con-sidering certain items of information, testi-mony, documents, etc. If advice is requiredafter the board has retired to deliberate on the

findings and recommendations, the delibera-tions will be suspended during the period inwhich the advice is being given. The advicewill not extend to any participation in the dis-cussion relating to the findings of fact or therecommendations. If advice is sought duringopen hearings attended by the respondent orhis counsel, they will be afforded an opportu-nity to be heard concerning advice given.

c. To the extent that the duties of the attor-ney-adviser duplicate or conflict with the du-ties of the recorder as provided in other perti-nent regulations, the provisions of this regula-tion will govern.

6-5, Witnesses; spectators, a. Department ofthe Army policy is that a respondent who isaccorded a hearing under this regulation beconfronted with the witnesses against him tothe maximum extent possible. To achieve thisobjective, the president of the field board of in-quiry will—

(1) Request the appropriate commanderor Government agency to order witnesses whoare members of the Armed Forces or civilianemployees of the Government to appear andtestify at the hearing. TDY at the expense ofthe command conducting the hearing is autho-rized for this purpose. Members of Reservecomponents not on active duty may be orderedto active duty for this purpose with their con-sent (and with the consent of the appropriateGovernor in the case of members of the ArmyNational Guard of the United States (see AR135-210)). If the appropriate commander orcivilian official or an investigative agency con-siders that concealment of the identity of theparticular witness is in the best interests ofnational security, the president of the boardwill be so advised and supporting reasons willbe given. If the president of the board, afterconsultation with the attorney-adviser, doesnot agree with the denial, the matter will beforwarded through the appropriate major com-mander to the Assistant Chief of Staff for In-telligence, Department of the Army, Washing-ton, DC 20310, for resolution.

(2) Invite all other witnesses to attendthe hearing for the purpose of testifying. Invi-

AGO 5960A 6-3

AR 604-10

tations will be extended whether or not thewitness has previously indicated a desire toconceal his identity. Witnesses may be invitedwithout regard to the distances involved, ex-cept that requests for witnesses from noncon-tiguous oversea areas will be made to The Ad-jutant General, ATTN: AGPO-SS, Departmentof the Army, Washington, DC 20315. The wit-ness will be advised that he may be paid thefees and allowances prescribed by AR 37-106for witnesses who upon request appear beforegeneral courts-martial and other boards forthe purpose of testifying (para 6-8). Shouldthe witness respond by requesting an appear-ance before the board in closed session, such arequest should be granted. Should a witnesswho has previously objected to the disclosureof his statement to the respondent decline toattend, he will again be requested to release hisstatement for disclosure to the respondent orto execute a new statement which may be dis-closed. A suggested form of invitation to ap-pear before a field board of inquiry is shown inappendix A.

(3) Consult with the attorney-adviserconcerning the necessity of requesting or invit-ing particular witnesses if there is doubt con-cerning the materiality or relevancy of theirtestimony. The president will also request thatthe attorney-adviser take necessary action toascertain the identity of confidential infor-mants mentioned in classified reports of inves-tigative agencies, where possible, in order thatthe attendance of such witnesses at the hear-ing may be arranged. The attorney-advisermay communicate directly with The Judge Ad-vocate General, ATTN: Military Affairs Divi-sion, Department of the Army, Washington,DC 20310, in regard to ascertaining the iden-tity of confidential informants.

b. At the respondent's request, the presidentof the board may permit the respondent's per-sonal friends or relatives to be present duringboard hearings. However, the respondent willbe informed that the presence of any suchspectator terminates the confidential status(for the respondent's benefit) of the proceed-ings. No individual who is expected to be calledas a witness may attend the hearing as a spec-

18 September 1969

tator. Furthermore, the president of the boardmay exclude from the hearing any spectator \whose presence, in the opinion of the board, in-terferes with the proceedings.

6-6. Hearings, a. Hearings held by field boardsof inquiry convened under this regulation willfollow the procedures outlined in AR 15-6 andsection IV, chapter 3, AR 635-105, in all cases,unless otherwise provided herein.

b. Unless a postponement is granted, thehearing will be convened not later than 30days after the date on which the field board ofinquiry is appointed. A written notice of thetime, date, and place of the hearing will beserved on the respondent in person or dis-patched to him at his last known address byregistered mail with return receipt requestedwithin 5 days of the date on which the fieldboard of inquiry is appointed. The notice willcontain the names, addresses, and the sub-stance of testimony expected of all witnesseswhose names may be furnished to the respon-dent at that time. If the respondent desires apostponement of the hearing date, he shouldforward an application in writ ing stating the *.grounds therefor to the president of the field ^board of inquiry, who may for good causegrant a delay of not more than 15 days. A re-quest for a longer delay will be referred to theappointing authority. Xot more than one delaymay be granted in the absence of a showing bythe respondent that a hearing convened priorto the date requested would cause extremehardship or substantial prejudice to the re-spondent. When a postponement is granted, theattorney-adviser and all witnesses will bepromptly notified.

c. The respondent and his counsel will be af-forded access to all available open records con-cerning his service and the allegations againsthim, and to any records containing classifiedinformation considered by the board. However,if such classified records include evidence orinformation the disclosure of which mightprejudice the sources from which the evidencewas obtained or the safety or interests of theUnited States, the exact nature of such infor-mation or evidence and the methods by or

6-4 AGO 6960A

18 September 1969

sources from which it was obtained will not bedisclosed without specific authority of the As-sistant Chief of Staff for Intelligence, althougha summary of the information containedtherein may be furnished. See AR 380-5.

d. During the course of the board proceed-ings, the line of questioning will be evolved soas to give the respondent all possible informa-tion forming the basis for the allegations, butconfidential sources of information and classi-fied information will be protected. Parts ofwritten statements submitted by informantsand expressions or statements attributed to themember by an informant will be read verbatimto the member if the source of the informationhas authorized its release or if the readingwould not disclose the source. In all othercases, information disclosed to the membershould be phrased in such a manner as to in-sure that the sources of the information arenot compromised,

6-7. Findings and recommendations, a. In theirdeliberations, board members will consider thefact that the respondent may have been handi-capped in his defense by the nondisclosure tohim of classified information or by the lack ofopportunity to cross-examine persons constitut-ing sources of such information, and will eval-uate information carefully in the light of itsrecency, relative seriousness, attendant circum-stances, whether it was given under oath,whether it is relevant, whether the respondenthas had an opportunity to rebut it, andwer.ther similar or supporting information ex-ists.

/). The findings rendered by the board willinclude a determination with respect to each ofthe allegations set forth in the "Letter of Alle-gations" and an analysis of information and adetailed statement of reasoning upon whicheach finding is based. This analysis and sup-porting statement should, whenever possible,include a discussion of the following:

(1) Evaluation of the credibility of allwitnesses,

(2) Overall evaluation of the respondentfrom a national security viewpoint.

AR 604-10

(3) A full discussion of the significance ofany proven allegations in terms of the respon-dent's motivation, subsequent activities, and at-titudes, and

(4) Extent of his participation in subver-sive groups and activities.

c. The board's findings and recommendationswill be signed by all concurring members. Amajority vote of the membership of the boardis required in order that a finding or recom-mendation of the members be that of theboard. Dissenting opinions, where applicable,will be submitted. The board will record theproceedings of each meeting, once it has ini-tially convened. In any case in which a board isunable to complete proceedings (arrival at find-ings and recommendations) because of death,discharge of respondent, or other reasons, theincomplete proceedings, signed by the boardmembers and showing the reason for noncom-pletion, will be forwarded through channels toThe Adjutant General.

d. The board will find that the respondent'sacceptance or retention is or is not clearly con-sistent with the interests of national securityand will recommend one of the following ac-tions:

(1) Retention on active duty with orwithout change of station.

(2) Retention on active duty with the no-tation that the member is not eligible for a se-curity clearance and/or assignment to specificgeographical areas.

(8) Retention in the appropriate Reservecomponent.

(4) Retention in the appropriate Reservecomponent with the notation that the memberis not eligible for a security clearance and/orassignment to specific geographical areas.

(5) Separation in the interests of nationalsecurity and the type of discharge to beawarded.

(0) Acceptance for appointment, enlist-ment, or induction.

(7) Acceptance for induction with the no-tation that the individual is not eligible for a

AGO -i 6-5

AR 604-10

security clearance and/or assignment to spe-cific geographical areas.

(8) Rejection for appointment, enlist-ment, or induction.

(9) Denial of a commission to a specialregistrant and, if otherwise qualified, inductionin an enlisted capacity with the notation thatthe individual is not eligible for a securityclearance and/or assignment to specific geo-graphical areas.

e. The board will inform the respondentthat—

(1) He or his counsel will be furnished acopy of the transcript of the hearing and writ-ten acknowledgment of receipt of the tran-script will be obtained. If the findings arebased upon classified information, release ofthe findings and statement of reasons or an un-classified summary thereof will be authorizedin accordance with AR 345-20 and AR 380-5.

(2) Its recommendations in the case donot constitute final and conclusive action butare subject to review by the appointing author-ity and by Headquarters, Department of theArmy, before final action is taken.

(3) He may submit to The Adjutant Gen-eral, Department of the Army, Washington,DC 20310, in writing within 15 days of receiptof the transcript, a brief and any further evi-dence or information he may desire to have

18 September 1969

considered in a final review of his case by theArmy Security Review Board, and that failureto receive further material within 15 days ofhis receipt of the transcript plus normal mail-ing time will cause his case to be consideredwithout further representation from or forhim.The record of proceedings of the board will in-dicate that the respondent has been so in-formed.

/. The board will execute and attach to theboard proceedings one copy of DA Form 1574(Report of Proceedings by InvestigatingOfficer (Board of Officers)) as a final check ofeach copy of the report of proceedings. Thechecklist may be reproduced as needed.

g. Upon completion of its inquiry, the boardwill refer the case to the appointing authority.The appointing authority will forward the casethrough the major commander to The Adju-tant General. The appointing authority will in-clude his recommendations in the forwardingindorsement.

6-8. Payment of fees. Fees and allowances forwitnesses, reporters, and interpreters requiredin connection with hearings before field boardsof inquiry convened pursuant to the provisionsof this regulation may be paid at the ratesspecified in chapter 13, AR 37-106.

6-6AGO 59MA

18 September 1969 AR 604-10

CHAPTER 7

REVIEW OF PROCEEDINGS: DISCHARGE

7-1. Army Security Review Board, a. Followingreceipt of a case with recommendations of afield board of inquiry and appropriate fieldcommanders, together with additional com-ments from the respondent, if any, or upon theexpiration of 15 days plus normal mailing timeto and from the respondent following his re-ceipt of a transcript of the field board of in-quiry proceedings, whichever is later, The Ad-jutant General will refer the case to the ArmySecurity Review Board for final review andrecommendations. The Adjutant General willalso submit all cases in which a registrant haselected to rebut the "Letter of Allegations" inwriting (para 5-6c(3)) or has neither ap-peared before a field board of inquiry nor re-butted the "Letter of Allegations" in writingto the Army Security Review Board.

b. The Army Security Review Board will becomposed of at least three officers, one ofwhom will be a general officer, one of whomwill be an officer of The Judge Advocate Gen-eral's Corps above the grade of major, and theremainder of whom will be above the grade ofmajor. If a case involves a member of a Reservecomponent, at least one member of the boardwill be a member of a Reserve component.

c. No officer who has considered a case dur-ing any stage of processing prior to its trans-mittal to the Army Security Review Board willserve as a member of the Army Security Re-view Board for that case.

d. The respondent will not appear in personbefore the Army Security Review Board unlessthe board so requests.

7-2. Review and recommendations, a. The ArmySecurity Review Board will —

(1) Review the military record of the re-spondent, the pertinent files of the case, includ-ing the proceedings of a field board of inquiry,if any, and all correspondence between mili-tary authorities and respondent relative to thematter in issue.

(2) Make a specific finding as to each alle-gation contained in the "letter of Allegations*'and include a statement of reasons for suchfinding.

(3) Make a specific finding as to whetheracceptance or retention of the individual con-cerned is or is not clearly consistent with theinterests of national security.

(4) Recommend that one of the actionsindicated in paragraph (>-7rf be taken.

(5) Forward the case to the Secretary ofthe Army or his designated representative forfinal decision.

6. In reviewing each case, members of theArmy Security Review Board will considerthat the respondent may have been handi-capped in his defense by the nondisclosure tohim of classified information or by the lack ofopportunity to cross-examine persons constitut-ing sources of such information, and will eval-uate information carefully in the light of itsrecency, relative seriousness, attendant circum-stances, whether it was given under oath,whether it is relevant, whether the respondenthas had an opportunity to rebut it, andwhether similar or supporting information ex-ists.

c. If the Army Security Review Board deter-mines that a field board of inquiry committederror substantially prejudicing a substantiveright of the respondent, it may recommend tothe Secretary of the Army or his designated

AGO 5980A 7-1

AR 604-10

representative that a rehearing before a newfield board of inquiry be held in accordancewith its recommendations.

d. If the Army Security Review Board deter-mines that there is a procedural error or omis-sion in the record of proceedings which may becorrected without reconsideration of the find-ings and recommendations of the field board, itmay recommend to the Secretary of the Armyor his designated representative that the casebe returned for corrective action.

7-3. Secretary of the Army. The Secretary ofthe Army or his designated representative willreview all recommendations submitted to himby the Army Security Review Board and willprescribe the action to be taken in each case. Ifthe Secretary of the Army or his designatedrepresentative finds that retention of a memberis not clearly consistent with the interests ofnational security, he will direct that the mem-ber be discharged and will prescribe the typeof discharge to be awarded. Following actionby the Secretary of the Army or his designatedrepresentative, the case will be referred to TheAdjutant General or the Chief of PersonnelOperations, as appropriate, for necessary ac-tion in accordance with paragraph 7-5.

7-4. Discharge characterization. Type of dis-charge awarded will be determined by the Sec-retary of the Army or his designated repre-sentative. Type of discharge awarded will bedetermined solely on the member's military re-cord in the Army and will reflect the characterof service rendered during- the period coveredby the discharge. Consideration will be givento the gravity of any substantiated credible de-rogatory information concerning the individ-ual's subversive activities during this period.Material false statements or falsification ofdocuments in connection with national securitymatters occurring during or pertaining toentry into the current period of service will beconsidered derogatory information of a na-tional security nature relating to the member'sservice. The character of service will not takeinto account limitations on performance ofduty imposed for security reasons.

7-2

18 September 1969

7-5. Final actions, a. The Adjutant General will Anotify the appropriate commander of the finalaction to be taken in cases concerning memberson active duty. In cases involving members ofthe U.S. Army Reserve not on active duty, re-gistrants, and applicants for appointment orenlistment, the Chief of Personnel Operationswill notify the appropriate commander of finalaction to be taken. In cases involving membersof the Army National Guard of the UnitedStates, NCR 35 will be followed.

b. If acceptance for appointment or enlist-ment or retention of the individual is directedby the Secretary of the Army or his designatedrepresentative, the case will be closed favora-bly in the manner indicated in paragraph 1-6.The major commander will be directed to no-tify the individual in writing of the favorabledetermination and remove flagging action, ifany.

c. If acceptance for induction or retentionwith the notation that the individual is "not el-igible for a security clearance and'or assign-ment to specific geographical areas, UP AR604-10" is warranted, the major commander /will be directed by the Chief of Personnel Op- *erations to notify the individual in writing,Flagging action, if any, will be removed. Thenotation will be entered on DA Form 20 andDA Form 873 pertaining to the member. If in-duction is warranted, the Chief of PersonnelOperations wi l l notify the U.S. Army Recruit-ing Command, which will insure that the nota-tion is entered on the individual's DA Form 20following induction.

d. If appointment or enlistment is not war-ranted, the major commander will be directedby the Chief of Personnel Operations to notifythe applicant in writing. Flagging action, ifany, will be removed.

e. If induction is not warranted, action in ac-cordance with paragraph 7-6 will be taken.The U.S. Army Recruiting Command will bedirected by the Chief of Personnel Operationsto notify the registrant in writing. Flaggingaction, if any, will be removed.

/. If discharge is warranted, the member

AGO 69MA ™

18 September 1969

will be discharged and awarded the appro-priate discharge certificate. Separation or dis-charge orders will be issued in letter orderform (see AR 310-10). Separate letter notifi-cation, including authority for discharge andthe fact of ineligibility for reentry into theArmy, will be dispatched by Commanding Of-ficer, U.S. Army Reserve Components Person-nel Center and/or Commanding Officer, U.S.Army Administration Center, as appropriateto each member of a Reserve component who isneither on active duty nor in active Federalservice and who is discharged under this regu-lation. No security citation will be shown onthe discharge certificate. In all cases in whicha discharge other than Honorable is issuedunder this regulation, DD Form 214 issued toenlisted personnel will indicate "AR 604-10SPN 489" in item lie of the form. For officerpersonnel the same notation will be entered ex-cept that the SPN will be specified by Head-quarters, Department of the Army. If it is di-rected that an enlisted member be given an Un-dersirable discharge, the authority accomplish-

AR 604-10

ing the discharge will, if the member is in agrade above E-l, reduce the member to gradeE-l without further administrative procedureby discharging the member in that grade.

g. If referral of the case to a new field boardof inquiry is warranted, the appointing author-ity will be directed by The Adjutant General toappoint a new field board of inquiry in accord-ance with chapter 6 of this regulation.

7-6. Notification to other agencies of unfavor-able determination. In addition to the notifica-tion required by the preceding paragraph, TheAdjutant General, the Chief, National GuardBureau, and Commanding Officer, U.S. ArmyReserve Components Personnel Center will in-form the proper Selective Service Agency, theproper Agent in Charge, Federal Bureau of In-vestigation Field Office, and the other armedforces, of the identity of all individuals whoare discharged from, or denied appointment,enlistment, or induction into, the Army underthis regulation.

AGO 5960A 7-3

18 September 1969AR 604-10

1

CHAPTER 8

APPLICANTS FOR ENROLLMENT IN ROTC

8-1. Completion of DD Form 98. a. Every ap-plicant for enrollment in the advanced courses,senior division, or Military Science and Tactics5 and 6 courses, military schools division,Army Reserve Officers' Training Corps, andevery recipient of a scholarship under theROTC Financial Assistance Program will berequired to complete DD Form 98 at a timeprior to the date of enrollment sufficient to per-mit adjudication of the case prior to enroll-ment. The completion of DD Form 98 at thetime of application for enrollment does not ex-empt the applicant from the requirement forcompletion of DD Form 98 at the time of appli-cation for a commission.

b. If the applicant or recipient does not qual-ify DD Form 98, the form will be retained bythe Professor of Military Science. Upon com-pletion of training, this DD Form 98 will beincorporated as a part of the appointment pa-pers.

c. If the applicant or recipient qualifies PDForm 98, or entries are made thereon whichprovide reason for belief that his enrollmentmight not be clearly consistent with the inter-ests of national security, his enrollment will beheld in abeyance. The DD Form 98 togetherwith three copies of DD Form 398 and onecopy of FD Form 258 will be forwarded to themajor commander for action in accordancewith paragraph 8-2.

d. If the applicant or recipient refuses tocomplete DD Form 98 in its entirety, enroll-ment will be denied. The DD Form 98 will becompleted in accordance with paragraph 3-2and forwarded to the Commanding Officer,United States Army Investigative Records Re-pository, Fort Holabird, MD 21219.

AGO 696QA

8-2. Investigative procedures. Investigativeprocedures, so far as applicable, will be in ac-cordance with chapter 4. For purposes ofROTC cases processed under this regulation,the local commander referred to in chapter 4will be the Professor of Military Science. Ap-propriate investigation will be made subject toprior coordination with the Federal Bureau ofInvestigation under AR 381-115. Recommenda-tions will be limited to approval or denial ofenrollment. Major commanders and the Assist-ant Chief of Staff for Intelligence may requestfurther investigation if information availableis insufficient to make a recommendation.

8-3. Disposition of cases. Disposition of cases,so far as applicable, will be in accordance withchapters 5, 6, and 7. In the case of an applicantfor enrollment, the "Letter of Allegations" willbe appropriately modified and will inform himthat should he elect to appear before a fieldboard of inquiry he may do so with or withoutcounsel. The services of military counsel certi-fied in accordance with Article 27(b), UniformCode of Military Justice, will be furnished ifrequested and if reasonably available. Civiliancounsel may be employed at the applicant's ex-pense. Payment of fees and allowances for wit-nesses will be made in accordance with para-graph 6-8. The Chief of Personnel Operationswill be limited to one of the following recom-mendations:

a. Further investigation.

o. Favorable closing of the case.

c. Initiation of denial of enrollment actionunder this regulation.Field boards of inquiry and the Army Security

8-1

AR 604-10 18 September 1969

Review Board will recommend approval or de- final adjudication of the case, The Adjutantnial of enrollment and the Secretary of the General will notify the applicant the ProfessorArmy or his designated representative will of Military Science, and the major commanderdirect that one of these actions be taken. Upon of the final decision.

8-2AGO

18 September 1969 AR

APPENDIX A(see para 6-5)

SAMPLE LETTER INVITING WITNESSES(Registered Return Receipt Requested)

A field board of inquiry has been convened by (major commander) toconduct a hearing in the case of (full name). You have given informationconcerning this case. The hearing will be held in (city and State) at(time) on (date), and it is requested that you appear to testify as awitness at that time. In he event you cannot appear on the scheduleddate, please advise of a date you will be available.Your appearance before the board will be a public service of great value;moreover, you are advised that the Department of the Army will pay wit-ness fees and reimburse you for travel expenses incidental to your appear-ing as a witness at this hearing.For your convenience a self-addressed envelope is inclosed for your reply.No postage is necessary. In reply you may merely check the appropriatestatements given on the attached sheet and return it.Your cooperation in this matter will be greatly appreciated.

Sincerely yours,President of the Board

A.—1AGO S«OA •"• *•

AR 604-10 18 September 1969

NAME OF CASE (type in full)Check as appropriate:

1. — . — — _ I will come to the hearing and testify.2. _ . ___. I cannot testify on the date set but I will be available

on . _ __.. __.__.3. _..—„. . I will come to the hearing and testify, but only before

a closed session of the board.4. _ . —__ I decline to come to the hearing and testify.5. - _ .___. I desire to make the following comments with regard to

the subject case:

DATE: ..__ .. __..SIGNED .„ ..__.. .——--——-----ADDRESS _..__—.—--————

A~2AGO 6960A

18 September 1969 AR 604-10

APPENDIX B

REFERENCES

The following references are pertinent to this regulation:1. AR 15-6. Procedure for Investigating Officers and Boards of Officers

Conducting Investigations.2. FM 30-17. Counterintelligence Operations.3. AR 37-106. Finance and Accounting for Installations; Travel and

Transportation Allowances.4. AR 50-3. Personnel Security Standards for Nuclear Weapon Duty

Positions.5. AR 135-100. Appointment of Commissioned and Warrant Officers

of the Army.6. AR 135-101. Appointment as Reserve Commissioned Officers for As-

signment to the Medical, Dental, Veterinary, and Medical ServiceCorps Branches of the Army Medical Service.

7. AR 135-175. Separation of Officers.8. AR 135-178. Separation of Enlisted Personnel.9. AR 135-210. Order to Active Duty as Individuals During Peacetime,

National Emergency, or Time of War.10. AR 140-109. Appointment of Physicians and Dentists Registered Un-

der the UMTS Act, as Amended, as Reserve Commissioned Officersof the Army.

11. AR 140-111. Enlistment and Reenlistment.12. AR 145-1. ROTC—Senior Division Organization, Administration,

and Training.13. AR 351-5. Army Officer Candidate Schools.14. AR 381-115, Counterintelligence Investigative Agencies.15. AR 381-130. Counterintelligence Investigations Supervision and Con-

trol.16. AR 600-31. Flag Control Procedures for Military Personnel in Na-

tional Security Cases and Other Investigations or Procedures.17. AR 601-100. Appointment of Commissioned Officers in the Regular

Army.18. AR 601-101. Appointment of Warrant Officers in the Regular Army.

19. AR 601-210. Regular Army Enlistment Program.

B-l

AR 604-10 18 September 1969

20. AR 601-270. Armed Forces Examining and Entrance Stations. |21. AR 604-5. Clearance of Personnel for Access to Classified Defense

Information and Material.22. AR 604-11. Resolution of Adverse Suitability Information.23. AR 604-16. Procedures for the Processing of DD Forms 98 and 398,

and DA Form 1113 of Persons Who Have Penetrated Subversive Or-ganizations.

24. AR 604-45. Designation of Organizations in Connection with theFederal Employee Security Program.

25. AR 611-15. Selection and Retention Criteria for Personnel in Nu-clear Reactor or Nuclear Weapons Positions.

26. AR 635-5. Separation Documents.27. AR 635-100. Officer Personnel.28. AR 635-105. Elimination.29. AR 635-120. Officer Resignations and Discharge.30. AR 635-200. Enlisted Personnel.31. AR 635-212. Discharge—Unfit ness and Unsuitability.32. AR 640-98. Filing of Adverse Suitability Information in Individual

Records and Review of intelligence Files Consulted Prior to TakingPersonnel Action.

33. NGR 20-1. Appointment, Assignment, and Transfer.34. NGR 20-4. Termination of Appointments and Withdrawal of Fed- ™

eral Recognition.35. NGR 25-1. Enlistment and Reenlistment.36. NGR 25-3. Discharge and Separation.37. NGR 35. Security Program.

AGO

18 September 1969 AR 604-10

The proponent agency of this regulation is the Office of the Deputy Chiefof Staff for Personnel. Users are invited to send comments and suggestedimprovements on DA Form 2028 (Recommended Changes to Publications)to Deputy Chief of Staff for Personnel, ATTN: DCSPER-SARD, Departmentof the Army, Washington, DC 20310.

By Order of the Secretary of the Army:

Official:KENNETH G. WICKHAM,Major General, United States Army,The Adjutant General.

W. C. WESTMORELAND,General, United States Army,Chief of Staff.

Distribution:

Active Army, AKNC, l/SAH: To be distributed in accordance with DA Form 12-9 require-ments for AR, Personal Security Clearance—A (Quan Rqr Block No. 446)

£ C.S. GOVERNMENT PRINTING OFFICE 19W-3W-80S/5960A

teetuo

tooo