ARMY DIR 2018-07-17 PRIORITIZING EFFORTS-READINESS AND LETHALITY (UPDATE 17)

https://armypubs.army.mil/epubs/DR_pubs/DR_c/ARN14178-ARMY_DIR_2018-07-17-000-WEB-2.pdf

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ARMY DIR 2018-22 RETENTION POLICY FOR NON-DEPLOYABLE SOLDIERS

https://armypubs.army.mil/epubs/DR_pubs/DR_a/pdf/web/ARN13963_AD2018_22_Final.pdf

MEMORANDUM FOR SEE DISTRIBUTION
SUBJECT: Army Directive 2018-22 (Retention Policy for Non-Deployable Soldiers)
1. References. See list of references at the enclosure.
2. Purpose. We must have a deployable and fit culture in the Army. Our Nation
deserves no less. Commanders and leaders at all levels are responsible for individual
Soldier readiness and will use all available tools, resources, and authorities to reduce
the number of non-deployable Soldiers within their formations. Likewise, individual
Soldiers will remain personally responsible and prepared for training and worldwide
deployment at all times. Pursuant to reference j, this directive implements procedures
regarding the disposition of non-deployable Soldiers.
3. Applicability. This directive applies to the Regular Army, Army National Guard/Army
National Guard of the United States, and U.S. Army Reserve, unless otherwise stated.
4. Policy
a. Soldiers are considered deployable unless they have a Service-determined
reason that precludes them from deployment. To be deployable, Soldiers must meet
the following criteria:
(1) The Soldier is administratively, legally, and medically cleared for employment
in any environment in which the Army is operating or could operate.
(2) The Soldier can operate in austere areas or areas that regularly experience
significant environmental conditions (e.g., heat, cold, altitude) that would exacerbate
existing medical conditions.
(3) The Soldier can carry and employ an assigned weapon.
(4) The Soldier is capable of executing all individual warrior tasks for his or her
assigned mission.
(5) The Soldier can operate while wearing body armor, helmet, eye protection,
gloves, and/or chemical or biological protective equipment.
S E C R E T A R Y O F T H E A R M Y
W A S H I N G T O N
SUBJECT: Army Directive 2018-22 (Retention Policy for Non-Deployable Soldiers)
2
(6) The Soldier is capable of passing the Army Physical Fitness Test or meeting
the physical demands of tasks required for a specific deployment.
b. Soldiers with temporary profiles of 30 days or less will be considered partially
medically ready/deployable pursuant to reference bb.
c. Commanders in the grade of O-6 or higher in a Soldier’s chain of command may
waive one or more of the criteria listed in paragraph 4a in determining a Soldier’s
deployability status, except in cases when the controlling regulation(s) specifies a
different waiver approval authority.
d. Soldiers who, after the date of this directive, become permanently non-
deployable are considered unqualified to hold any primary branch, military occupational
specialty or functional area (hereinafter “PMOS”), unless an exception to policy is
granted. Soldiers found to be deployable with limitations are exempt from this
paragraph. Soldiers selected for continuation on active duty or continuation in the
active reserve and Soldiers with approved retention waivers are also exempt from this
paragraph and continue to retain their PMOS.
e. Soldiers who are non-deployable for an administrative reason (not medical or
legal as defined in reference j) for more than 6 consecutive months, or
6 nonconsecutive months in a 12-month period, will be processed for administrative
separation. The basis for administrative separation will be the underlying administrative
(not medical or legal) reason(s) causing them to be designated as non-deployable.
Commanders do not have to wait 6 consecutive months, or 6 nonconsecutive months in
a 12-month period, if there is a reasonable expectation that the underlying reason(s)
causing them to be non-deployable for an administrative reason (not medical or legal)
will not be resolved and the Soldier will not become deployable.
f. Exemptions to the requirements of paragraph 4e:
(1) Single Soldiers adopting a child or member of a military couple adopting a
child who have been approved for operational deferment. These exemptions will expire
the day following the expiration of the Soldier’s operational deferment
(2) Soldiers who are temporarily non-deployable as a result of a compassionate
reassignment or stabilization. These exemptions will expire the day following the
expiration of the stabilization period.
(3) Soldiers who are not yet 18 years of age.
(4) Conscientious objectors during the investigation and resolution of their claim.
SUBJECT: Army Directive 2018-22 (Retention Policy for Non-Deployable Soldiers)
3
(5) Unsatisfactory participating members of a Reserve Component who are
recovered prior to exceeding 6 consecutive months of non-deployability or
6 nonconsecutive months of non-deployability in a 12-month period.
(6) Sole surviving family members deferred from serving in a hostile fire zone.
(7) Ex-prisoners of war deferred from serving in a country where they were
formerly held captive.
(8) Transients, trainees, cadets, or other Soldiers who have not completed Initial
Entry Training.
g. A Soldier who is non-deployable due to a permanent medical condition which
makes him or her potentially unfit for the duties of his or her PMOS will be referred into
the Disability Evaluation System (DES) pursuant to reference w. There is no
requirement to wait 12 months before referral to the DES if the Soldier’s medical
condition and predicted recovery meets the criteria for a Medical Retention
Determination Point pursuant to reference l. Soldiers should be immediately referred to
the DES in these instances.
h. A Soldier’s medical deployability will be considered during all healthcare
encounters. Commanders at all levels, in coordination with appropriate medical
authorities, will review individual Soldier medical profile(s) on a monthly basis.
Commanders will refer Soldiers to Fitness for Duty Examinations when they assess the
Soldier is unable to deploy or perform PMOS-related duties due to a chronic medical
condition.
i. It is the personal responsibility of every Soldier to maintain individual readiness,
including medical, dental, physical, and administrative (e.g., maintaining a Family care
plan) readiness. Concurrently, commands must be proactive and enable the individual
readiness and deployability of each Soldier at all times.
(1) Commands will use written counseling and performance evaluations to
document a Soldier’s knowing failure to comply with responsibilities to maintain the
individual readiness (e.g., repeatedly missing medical or dental appointments) required
to be deployable.
(2) Maintaining medical readiness through prescribed health encounters (e.g.,
periodic health assessment, annual dental exam, and medical screenings) are key
components of identifying and correcting non-deployable conditions.
SUBJECT: Army Directive 2018-22 (Retention Policy for Non-Deployable Soldiers)
4
(3) When Soldiers fail to maintain medical readiness by design or neglect, the
result is a less lethal and deployable force. Accordingly, commands must be diligent in
ensuring Soldiers understand their obligations and document the failure of those who
demonstrate an unwillingness to meet these obligations. Failure of a Soldier to comply
with this policy could ultimately result in administrative separation.
j. A Soldier who is non-deployable due to being confined as a prisoner based upon
the sentence of a court-martial or civil conviction will be processed for administrative
separation upon the Soldier’s release from confinement. This paragraph does not apply
to Soldiers who are sentenced to a punitive discharge at a court-martial. The basis for
administrative separation will be the underlying misconduct that resulted in the court-
martial or civil conviction. This paragraph does not restrict a commander’s authority to
immediately initiate the administrative separation of a Soldier based upon a civil
conviction.
k. For enlisted personnel, pursuant to paragraph 4e, commanders will initiate
administrative separation proceedings under reference n or x, as appropriate. If the
separation authority approves retention, he or she will initiate an action for the exercise
of Secretarial plenary separation authority under reference n or x.
l. For commissioned and warrant officers, pursuant to paragraph 4e, commanders
will initiate an elimination action under reference m or r, as appropriate. Officers
processed for administrative separation under this policy will be referred using the
appropriate underlying basis as identified by current regulation.
m. The Deputy Chief of Staff, G-1 is authorized to grant retention waivers to this
policy for Regular Army Soldiers. The Chief of Army Reserve is authorized to grant
retention waivers for Selected Reserve Soldiers. The Chief, National Guard Bureau is
authorized to grant retention waivers for Army National Guard Soldiers. All requests
must be endorsed with recommendation, at a minimum, by the first general officer in the
chain of command. All Regular Army requests will be forwarded through U.S. Army
Human Resources Command to the Army Deputy Chief of Staff, G-1 for processing. All
Selected Reserve and Army National Guard requests will be forwarded through
Reserve Component personnel channels to Headquarters, U.S. Army Reserve
Command and National Guard Bureau, respectively, for processing.
SUBJECT: Army Directive 2018-22 (Retention Policy for Non-Deployable Soldiers)
5
5. Effective Date. The provisions of this directive are effective upon signature.
Calculation of non-deployable months under this directive begin upon the effective date.
The Assistant Secretary of the Army (Manpower and Reserve Affairs) is the proponent
for this policy and will oversee the publication of appropriate implementing instructions.
Encl Mark T. Esper
DISTRIBUTION:
Principal Officials of Headquarters, Department of the Army
Commander
U.S. Army Forces Command
U.S. Army Training and Doctrine Command
U.S. Army Materiel Command
U.S. Army Futures Command
U.S. Army Pacific
U.S. Army Europe
U.S. Army Central
U.S. Army South
U.S. Army Africa/Southern European Task Force
U.S. Army Special Operations Command
Military Surface Deployment and Distribution Command
U.S. Army Space and Missile Defense Command/Army Strategic Command
U.S. Army Cyber Command
U.S. Army Medical Command
U.S. Army Intelligence and Security Command
U.S. Army Criminal Investigation Command
U.S. Army Corps of Engineers
U.S. Army Military District of Washington
U.S. Army Test and Evaluation Command
U.S. Army Installation Management Command
U.S. Army Human Resources Command
U.S. Army Financial Management Command
U.S. Army Marketing and Engagement Brigade
Superintendent, United States Military Academy
Director, U.S. Army Acquisition Support Center
Superintendent, Arlington National Cemetery
Commandant, U.S. Army War College
Director, U.S. Army Civilian Human Resources Agency
(CONT)
SUBJECT: Army Directive 2018-22 (Retention Policy for Non-Deployable Soldiers)
6
DISTRIBUTION (CONT):
CF:
Director, Army National Guard
Director of Business Transformation
Commander, Eighth Army
Enclosure
REFERENCES
a. Title 10, United States Code, section 1166.
b. Title 10, United States Code, section 1169.
c. Title 10, United States Code, section 1174.
d. Title 10, United States Code, section 1176.
e. Title 10, United States Code, section 1181.
f. Title 10, United States Code, section 1214a.
g. Department of Defense Instruction (DoDI) 1332.14 (Enlisted Administrative
Separations); January 27, 2014; Incorporating Change 3, Effective March 22, 2018.
h. DoDI 1332.18 (Disability Evaluation System (DES)); August 5, 2014; Incorporating
Change 1, Effective May 17, 2018.
i. DoDI 1332.30 (Commissioned Officer Administrative Separations), May 11, 2018.
j. DoDI 1332.45 (Retention Determinations for Non-Deployable Service Members),
July 30, 2018.
k. DoDI 6490.07 (Deployment-Limiting Medical Conditions for Service Members and
DoD Civilian Employees), February 5, 2010.
l. Army Regulation (AR) 40-501 (Standards of Medical Fitness), 14 June 2017.
m. AR 135-175 (Separation of Officers), 29 November 2017.
n. AR 135-178 (Enlisted Administrative Separations), 7 November 2017.
o. AR 220-1 (Army Unit Status Reporting and Force Registration – Consolidated
Policies), 15 April 2010.
p. AR 350-1 (Army Training and Leader Development), 10 December 2017.
q. AR 600-3 (The Army Personnel Development System), 26 February 2009.
r. AR 600-8-24 (Officer Transfers and Discharges), 12 April 2006, Incorporating Rapid
Action Revision Issued 13 September 2011.
2
s. AR 600-8-101 (Personnel Readiness Processing), 6 March 2018.
t. AR 600-43 (Conscientious Objection), 21 August 2006.
u. AR 614-30 (Overseas Service), 22 December 2016.
v. AR 614-200 (Enlisted Assignments and Utilization Management), 29 November
2017.
w. AR 635-40 (Disability Evaluation for Retention, Retirement, or Separation),
19 January 2017.
x. AR 635-200 (Active Duty Enlisted Administrative Separations), 19 December 2016.
y. Department of the Army Pamphlet (DA Pam) 600-8-101 (Personnel Readiness
Procedures), 6 March 2018.
z. DA Pam 611-21 (Military Occupational Classification and Structure), 19 July 2018.
aa. Army Directive 2016-07 (Redesign of Personnel Readiness and Medical
Deployability), 01 Mar 2016.
bb. Army Directive 2018-11 (Update to Redesign of Personnel Readiness and Medical
Deployability), 10 Sep 2018.

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ARMY DIR 2018-16 SUITABILITY CRITERIA FOR MILITARY PERSONNEL IN SPECIFIED POSITIONS

https://armypubs.army.mil/epubs/DR_pubs/DR_a/ARN13996-ARMY_DIR_2018-16-000-WEB-1.pdf

MEMORANDUM FOR SEE DISTRIBUTION
SUBJECT: Army Directive 2018–16 (Suitability Criteria for Military Personnel in
Specified Positions)
1. References. A complete list of references is in enclosure 1.
2. Purpose and Applicability
a. This directive revises the Army’s criteria and procedures for determining
suitability and taking suitability actions regarding the selection and assignment of
Soldiers to the following positions:
(1) Training cadre, including Reserve Officers’ Training Corps cadre, Service
School cadre, and drill sergeants at the company level and below.
(2) Recruiting cadre, including all Soldiers performing a direct recruiting function
that supports the accomplishment of the recruiting mission. These positions include
Soldiers holding the primary military occupational specialty 79R, Department of the
Army-select recruiters, recruiting officers, and recruiting warrant officers at the company
level and below.
(3) Sexual Harassment/Assault Response and Prevention (SHARP)
Professionals. SHARP professionals are individuals holding authorized SHARP
positions. Authorized SHARP positions are Program Managers (PMs), Sexual Assault
Response Coordinators (SARCs), and SHARP Victim Advocates (VAs).
(4) Officer Commissioning Sources. The Superintendent, United States Military
Academy; Commander, U.S. Army Cadet Command; and Commander, 3-11 Infantry
(Officer Candidate School) are authorized to request from U.S. Army Human Resources
Command (HRC) similar background checks on Soldiers with unaccompanied access to
cadets, cadet candidates, and other vulnerable populations as the command deems
necessary.
b. This directive applies to the Regular Army (RA), Army National Guard (ARNG)/
Army National Guard of the United States (ARNGUS), and U.S. Army Reserve (USAR).
c. Responsibilities are outlined in enclosure 2.
S E C R E T A R Y O F T H E A R M Y
W A S H I N G T O N
SUBJECT: Army Directive 2018–16 (Suitability Criteria for Military Personnel in
Specified Positions)
2
3. Scope and Method of Suitability Screening
a. This directive prescribes a standardized screening process for personnel
considered for or serving in the positions listed in paragraph 2a. Personnel chosen to
serve or serving in those positions should have the following positive characteristics:
(1) Possess a high degree of maturity, leadership, judgment, self-discipline, and
professionalism.
(2) Display moral attributes, ethical qualities, and personal traits that thoroughly
embrace our Warrior Ethos and Army Values.
(3) Be fully committed to the program they are being considered to join and the
population they are being considered to serve.
b. Screenings are categorized as “centralized screenings” or “local screenings” and
are conducted by the organizations identified in enclosure 3. All screening
requirements for personnel outlined in this directive must be met before assignment to a
designated position. All organizations will report screening results to HRC for RA and
USAR Soldiers or to the Chief, National Guard Bureau for ARNG/ARNGUS Soldiers.
For the RA and USAR, HRC will forward the disqualifying information to the appropriate
authority listed in enclosure 4.
(1) Centralized Screenings
(a) HRC will support the ARNG in the suitability screening for ARNG/ARNGUS
Soldiers, consistent with applicable law, regulation, and policy.
(b) For RA and USAR Soldiers, HRC will conduct or request the following
screens: restricted portion of the Soldier’s Army Military Human Resource Record,
Inspector General files, U.S. Army Criminal Investigation Command Crime Records
Center, and DoD Consolidated Adjudications Facility. The facility does not screen
SHARP professionals.
(c) HRC will manage the selection and screening process for the RA/USAR
training and recruiting cadre.
(d) RA/USAR commanders will submit their requests for centralized screening of
SHARP professionals to their Army Command (ACOM), Army Service Component
Command (ASCC), or Direct Reporting Unit (DRU) SHARP PM. ACOMs, ASCCs, and
DRUs will consolidate centralized screening requests of SHARP professionals from
subordinate commands and units and submit them to HRC. The following data must be
included: full name; complete Social Security number; rank; date of birth; military
SUBJECT: Army Directive 2018–16 (Suitability Criteria for Military Personnel in
Specified Positions)
3
occupational specialty; and duty status. ACOMs, ASCCs, and DRUs will send the data
by encrypted email to usarmy.knox.hrc.mbx.epmd-ebss@mail.mil. HRC will return
screening results to the originating mailbox within 90 calendar days of receipt.
Requestors will receive an outgoing transmittal that identifies Soldiers as cleared,
Type I, Type II, or Type III. Disqualified Soldiers will be notified through the Army
enterprise email that unfavorable information was found, what agency reported the
information, and how to request the information through the Freedom of Information Act.
(e) Commanders must allow enough leadtime to complete centralized screening
before appointment and training. RA/USAR commanders in short-tour locations may
establish expedited screening by coordinating with HRC at usarmy.knox.hrc.mbx.epmd-
ebss@mail.mil.
(f) HRC and the Army Deputy Chief of Staff (DCS), G-1 SHARP Program Office
will communicate screening results to ACOMs, ASCCs, and DRUs.
(2) Local Screenings
(a) Brigade-level commanders will initiate and coordinate local screenings. They
may delegate this responsibility to battalion-level commanders, as appropriate, for
geographically dispersed units. The following organizations will screen or facilitate the
screening of records and provide the results to the requesting commander: Army
Substance Use Disorder Clinical Care for Army Substance Abuse Training records,
military treatment facility for medical records check, installation security office for
installation security records, Defense Information System for Security and Defense
Central Index of Investigations, and installation directorate of emergency services for
local files check.
(b) Commanders will verify with local security managers that all personnel
nominated to designated positions have a favorable National Agency Check with Local
Agency Check and Credit (NACLC), tier 3 investigation or higher background
investigation. Commanders will also complete all local screening requirements before
submitting names for centralized screening. An NACLC is required for credentialing
SHARP SARCs, VAs, and PMs and cannot be waived.
(c) Commanders will check the U.S. Department of Justice National Sex
Offender Public website (NSOPW) at http://www.nsopw.gov. In the event of a name or
photo match, commanders are required to conduct further investigation. If a name
search indicates a potential match with a person serving in or nominated for a
designated position, the commander must communicate with the responsible jurisdiction
or the local law enforcement agency where the offender resides, works, or attends
school (as appropriate) to confirm the identity and information. No adverse action or
suitability determination will be made based solely on information listed in the NSOPW.
SUBJECT: Army Directive 2018–16 (Suitability Criteria for Military Personnel in
Specified Positions)
4
(d) Commanders will review the list provided by the NSOPW. If commanders
are unable to conduct an exhaustive review of the NSOPW, they will note the reason(s)
in the remarks on the screening criteria worksheet (enclosure 5).
(e) Disqualification from a designated position is not an independent basis for
disciplinary action. Commanders should consult with their servicing Judge Advocate
regarding the underlying misconduct.
4. Suitability Screening Criteria
a. Disqualifying offenses are listed in enclosure 6.
b. For the purpose of this policy, “adverse information” is any substantiated adverse
finding or conclusion from an officially documented investigation or inquiry, or any other
credible information of an adverse nature. To be credible, the information must be
resolved and supported by a preponderance of the evidence. To be adverse, the
information must be derogatory, unfavorable, or of a nature that reflects clearly
unacceptable conduct, integrity, or judgment on the part of the Soldier (refer to
references d and e).
c. Type I offenses that result in a civilian or military criminal conviction or a finding
of guilty in a field grade Article 15, Uniform Code of Military Justice proceeding are
automatic disqualifiers for appointment to, or retention in, a designated position. Type I
offenses have no expiration and the disqualification may not be appealed. Upon
discovery of a Type I offense listed in enclosure 6 as either a 1, 2, 3, or 7 Type I
offense, commanders will coordinate with their command legal counsel to initiate
elimination proceedings in accordance with applicable law, regulation, and policy.
Information in the Soldier’s record suggestive of a Type I offense that does not result in
a criminal conviction or a finding of guilty in a field grade Article 15 proceeding will be
treated as a Type II offense and reviewed by the approval authority.
d. Type II offenses meeting the definition of adverse information will also result in
automatic disqualification for appointment to, or retention in, a designated position and
are limited to those that occurred during the Soldier’s military career. A disqualification
determination based on a Type II offense may be appealed.
e. Type III offenses meeting the definition of adverse information and committed
within 5 years of the date of a Soldier’s nomination, unless otherwise stated, may be
disqualifying for appointment to, or retention in, a designated position. An approval
authority may favorably adjudicate a Type III offense. A disqualification determination
based on a Type III offense may be appealed.
SUBJECT: Army Directive 2018–16 (Suitability Criteria for Military Personnel in
Specified Positions)
5
5. Rescreening Procedures
a. Soldiers serving in designated positions will be rescreened every 3 years from
the date of their initial assignment to the position. Commands must notify the applicable
screening agencies listed in enclosure 3 at least 120 days before the expiration of a
Soldier’s current screening.
b. If a Soldier is reassigned within 3 years to a different designated position, the
Soldier will not undergo a new screening.
c. Rescreening will search records for the 5 years preceding the rescreening if the
Soldier remains assigned to the same position. Misconduct resulting in disqualifying
information between screenings will subject a Soldier to suspension and potential
disqualification from a designated position.
d. Commands will maintain their screening requirements documentation while the
Soldier is serving in the command. If a Soldier is going to a new designated position
requiring screening, the command will forward the screening documentation to the
Soldier’s gaining command (for example, a SHARP VA moving between commands).
6. Appointing Authority Responsibilities
a. The appointing authority must notify a Soldier, in writing, of disqualifying adverse
information for Type I, Type II, or Type III offenses. The memorandum will include the
basis of disqualification; the Soldier’s right to military counsel or civilian counsel (at the
Soldier’s expense); the process for submitting rebuttal matters to dispute incorrect
information; and the process for submitting an appeal, if authorized. The appointing
authority must provide the Soldier with a copy of the disqualifying information or the
name and address of the agency that reported the disqualifying information.
b. For the appointment of SHARP professionals, commanders must follow the
screening procedures outlined in this policy. Once screening is complete, commanders
must provide completed findings to their ACOM, ASCC, or DRU SHARP PM.
7. Reassignment and Reclassification. For those RA and USAR Soldiers whose
suspension or removal requires reassignment (training and recruiting cadre), the
commander must coordinate with HRC for reassignment, reclassification, or other
personnel action pursuant to references m, n, or o For those ARNG/ARNGUS Soldiers
whose suspension or removal requires reassignment (training and recruiting cadre), the
commander must coordinate with the ARNG for reassignment, reclassification, or other
personnel action pursuant to references m, n, or o.
SUBJECT: Army Directive 2018–16 (Suitability Criteria for Military Personnel in
Specified Positions)
6
8. Procedures. The processes for suspension and removal and approval and appeal
are outlined in enclosure 7. These authorities may not be delegated.
9. Proponent. The proponent for this policy is the DCS, G-1. The DCS, G-1 will revise
the applicable Army regulations to incorporate the provisions of this directive within
2 years from the date of this directive. This directive is rescinded upon publication of all
the revised regulations.
10. Reporting Requirement. The Army Suitability Division, Office of the DCS, G-1 will
publish reporting requirements within 90 days from date of this directive.
11. Point of Contact. Direct any questions about this directive to the Army Suitability
Division, Directorate of Military Personnel Management, Office of the DCS, G-1 at
(703) 571-7226.
Encls Mark T. Esper
DISTRIBUTION:
Chief, National Guard Bureau
Principal Officials of Headquarters, Department of the Army
Commander
U.S. Army Forces Command
U.S. Army Training and Doctrine Command
U.S. Army Futures Command
U.S. Army Materiel Command
U.S. Army Pacific
U.S. Army Europe
U.S. Army Central
U.S. Army North
U.S. Army South
U.S. Army Africa/Southern European Task Force
U.S. Army Special Operations Command
Military Surface Deployment and Distribution Command
U.S. Army Space and Missile Defense Command/Army Strategic Command
U.S. Army Cyber Command
U.S. Army Medical Command
U.S. Army Intelligence and Security Command
U.S. Army Criminal Investigation Command
U.S. Army Corps of Engineers
(CONT)
SUBJECT: Army Directive 2018–16 (Suitability Criteria for Military Personnel in
Specified Positions)
7
DISTRIBUTION: (CONT)
U.S. Army Military District of Washington
U.S. Army Test and Evaluation Command
U.S. Army Installation Management Command
U.S. Army Human Resources Command
U.S. Army Financial Management Command
U.S. Army Marketing and Engagement Brigade
Superintendent, United States Military Academy
Director, U.S. Army Acquisition Support Center
Superintendent, Arlington National Cemetery
Commandant, U.S. Army War College
Director, U.S. Army Civilian Human Resources Agency
CF:
Director, Army National Guard
Director, Business Transformation
Commander, Eighth Army
Army Directive 2018-16 Enclosure 1
REFERENCES
a. Department of Defense (DoD) Instruction 6495.02 (Sexual Assault Prevention and
Response (SAPR) Program Procedures); March 28, 2013; Incorporating Change 3,
May 24, 2017.
b. DoD Instruction 6495.03 (Defense Sexual Assault Advocate Certification Program
(D-SAACP)); September 10, 2015; Incorporating Change 1, April 7, 2017.
c. Department of Defense (DoD) Instruction 1320.04 (Military Officer Actions Requiring
Presidential, Secretary of Defense, or Under Secretary of Defense for Personnel and
Readiness Approval or Senate Confirmation), January 3, 2014.
d. DoD Instruction 1402.05 (Background Checks on Individuals in DoD Child Care
Services Programs), September 11, 2015, Incorporating Change 1, Effective
July 14, 2016.
e. Army Regulation (AR) 15-6 (Procedures for Administrative Investigations and
Boards of Officers), 1 April 2016.
f. AR 20-1 (Inspector General Activities and Procedures), 29 November 2010,
Including Rapid Action Revision Issued 3 July 2012.
g. AR 25-22 (The Army Privacy Program), 22 December 2016.
h. AR 190-45 (Law Enforcement Reporting), 27 September 2016.
i. AR 600-8-2 (Suspension of Favorable Personnel Actions (Flag)), 11 May 2016.
j. AR 600-20 (Army Command Policy), 6 November 2014.
k. AR 600-37 (Unfavorable Information), 10 April 2018.
l. AR 600-85 (The Army Substance Abuse Program), 28 November 2016.
m. AR 601-1 (Assignment of Enlisted Personnel to the U.S. Army Recruiting
Command), 11 October 2016.
n. AR 614-100 (Officer Assignment Policies, Details, and Transfers), 10 January 2006.
o. AR 614-200 (Enlisted Assignments and Utilization Management), 29 November
2017.
p. Memorandum, Secretary of the Army, 28 May 2016, subject: Ensuring the Quality of
Sexual Assault Response Coordinators, Sexual Assault Prevention and Response
Army Directive 2018-16 2
Victim Advocates and Others in Identified Positions of Significant Trust and Authority,
28 May 2013.
q. Memorandum, Secretary of the Army, 12 Feb 2014, subject as above.
r. Memorandum, Secretary of the Army, 17 Jun 16, subject: Exception to Policy
Request for Delegation of Waiver and Removal Authority Pursuant to ALARACT
188/2014, 17 June 2016.
s. Memorandum, Secretary of the Army, 18 Jul 16, subject: Reassigning Positions of
Significant Trust and Authority Removal and Waiver Authorities for Recruiters, Drill
Sergeants, and Training and Doctrine Command Advanced Individual Training Platoon
Sergeants, 18 July 2016.
t. Memorandum, Office of the Assistant Secretary of the Army (Manpower and
Reserve Affairs), 27 Sep 13, subject: Guidance for Civilian Sexual Harassment/Assault
Response and Prevention (SHARP) Program Positions.
u. Headquarters, Department of the Army (HQDA) Execution Order (EXORD) 221-12,
25 Jun 2012, 2012 Sexual Harassment/Assault Response and Prevention (SHARP)
Program Synchronization Order.
v. Fragmentary Order 4 to HQDA EXORD 221-12, 27 Dec 2013, subject: 2012 Sexual
Harassment/Assault Response and Prevention (SHARP) Program Synchronization
Order (All Army Activities (ALARACT) 337/13).
w. HQDA EXORD 161-13, 10 Jun 2013, subject: Sexual Harassment/Assault
Response and Prevention (SHARP) Program Army Stand-Down (ALARACT 147/13).
x. HQDA EXORD 193-14, 26 July 2014, subject: Screening of Sexual
Harassment/Assault Response and Prevention Program Personnel and Others in
Identified Positions of Significant Trust (ALARACT 188/2014).
y. ALARACT 032-18, 2 May 18, subject: Clarifying Guidance on Screening For
Positions of Significant Trust and Authority,.
Army Directive 2018-16 Enclosure 2
RESPONSIBILITIES
1. The Army Deputy Chief of Staff (DCS), G-1 will:
a. oversee the screening process to ensure compliance with all laws, regulations
and policies.
b. distribute the format for the quarterly consolidated approved suitability appeals
report within 30 days of the publication of this directive.
2. The Commander, U.S. Army Human Resources Command (HRC) will:
a. conduct centralized screening for all current and nominated Regular Army (RA)
and U.S. Army Reserve (USAR) SHARP professionals (both full-time and collateral
duty). Provide the findings to requesting Army Commands (ACOMs), Army Service
Component Commands (ASCCs), and Direct Reporting Units (DRUs) and the SHARP
Program Office.
b. conduct centralized screening for all nominated RA and USAR training and
recruiting cadre. Ensure the medical records reviews are completed during the local
screening process of training and recruiting cadre.
c. release summaries of screening results to the appropriate approval or removal
authority, who may use it only to determine suitability for the designated position.
Disqualification from a designated position is not an independent basis for disciplinary
action.
3. The Army Inspector General will:
a. conduct screening for current and nominated SHARP professionals and training
and recruiting cadre upon the request of HRC or the Army National Guard (ARNG).
b. release summaries of screening results to HRC or Chief, National Guard Bureau,
as appropriate.
c. ensure that field and local inspectors general do not conduct local suitability
screenings or release adverse information in accordance with the references. Field and
local inspectors general should direct all questions and requests for screening actions to
the Chief, Department of the Army Inspector General Records Screening and Oversight
Office, (703) 545-1859 or 4539.
Army Directive 2018-16 2
4. The Chief, National Guard Bureau will:
a. conduct and ensure the completion of local and centralized screening of all
ARNG/Army National Guard of the United States (ARNGUS) personnel serving in or
nominated for designated positions. See enclosure 3 for a list of required screening.
b. ensure that the Soldier has a current Periodic Health Assessment and all medical
records are reviewed to ensure the Soldier is medically fit for assignment to the position.
c. provide a quarterly consolidated report of approved suitability appeals to the
Office of the Army DCS, G-1 Suitability Division.
d. ensure the suitability screening process is included in the Organizational
Inspection Program.
e. release summaries of screening results to the appropriate approval or removal
authority, who may use it only to determine suitability for the designated position.
Disqualification from a designated position is not an independent basis for disciplinary
action.
5. The Commander, U.S. Army Reserve Command will:
a. complete local screening and request centralized screening of all USAR training
cadre and SHARP professionals.
b. ensure that the Soldier has a current Periodic Health Assessment and all medical
records are reviewed to make sure the Soldier is medically fit for assignment to the
position.
c. provide a quarterly consolidated report of approved suitability appeals to the
Office of the DCS, G-1 Army Suitability Division.
d. ensure the suitability screening process is included in the Organizational
Inspection Program.
e. release summaries of screening results to the appropriate approval or removal
authority, who may use it only to determine suitability for the designated position.
Disqualification from a designated position is not an independent basis for disciplinary
action.
6. The Commanders of ACOMs, ASCCs, and DRUs will:
a. complete local screening and request centralized screening of SHARP
professionals.
Army Directive 2018-16 3
b. ensure that the Soldier has a current Periodic Health Assessment and all medical
records are reviewed to make sure the Soldier is medically fit for assignment to the
position.
c. ensure the assignment of SHARP Program Managers (PMs).
d. ensure the assignment of a collateral duty SHARP professional at the battalion
(or equivalent) level. Units and organizations will maintain the current authorizations for
full-time Sexual Assault Response Coordinators (SARCs) and SHARP Victim
Advocates (VAs) at the brigade (or equivalent) level.
e. authorize company-level VAs for exceptional situations, such as geographic
dispersion or large units.
f. provide a quarterly consolidated report of approved suitability appeals to the
Office of the DCS, G-1 Army Suitability Division.
g. ensure the suitability screening process is included in the Organizational
Inspection Program.
h. release summaries of screening results to the appropriate approval or removal
authority, who may use it only to determine suitability for the designated position.
Disqualification from a designated position is not an independent basis for disciplinary
action.
7. The Commander, U.S. Army Training and Doctrine Command (TRADOC) will also
complete local screening and request centralized screening of all recruiting cadre
(including USAR recruiting cadre).
8. The Commander, U.S. Army Medical Command (MEDCOM) will:
a. ensure the Soldier has a current Periodic Health Assessment and all medical
records are reviewed to make sure the Soldier is medically fit for assignment to the
position.
b. ensure medical records reviews are conducted by independently credentialed
health providers for Soldiers serving in or nominated for designated positions.
9. The Commander, U.S. Army Installation Management Command will ensure that
Army Substance Abuse Program (ASAP) records are screened for Soldiers serving in or
nominated for designated positions.
a. Upon the request of units or the ARNG, conduct ASAP reviews for personnel
serving in or nominated for designated positions assigned to the installation or in the
installation’s area of responsibility.
Army Directive 2018-16 4
b. The program official should provide the requesting unit representative with one of
the following four answers: no positive tests, one positive test more than 5 years ago,
one positive test in the past 5 years, or multiple positive tests.
c. The confidentiality of ASAP information will be maintained in accordance with
reference l and provided only to individuals within the Army who have an official need to
know.
10. The Commander, U.S. Army Criminal Investigation Command/U.S. Army Crime
Records Center will:
a. conduct military criminal records checks for military personnel serving in or
nominated for designated positions at the request of HRC or the Chief, National Guard
Bureau.
b. release results of military criminal background checks for current and nominated
RA/USAR training and recruiting cadre to HRC. For current training and recruiting
cadre, HRC may release the results to the appropriate appointing/approval authorities.
c. release results of military criminal background checks for ARNG/ARNGUS
personnel to the Chief, National Guard Bureau.
d. release results of military criminal background checks for current and nominated
SHARP professionals to HRC. HRC may release the results to the appropriate
appointing/approval authorities, who may use them only to determine suitability for duty
as a SHARP professional. Disqualification from a designated position is not an
independent basis for disciplinary action.
Army Directive 2018-16 Enclosure 3
SCREENING MATRIX
Screening Criteria
SHARP SARC/VA/PM
Recruiting Cadre Training CadreFull-Time Collateral Duty
Minimum Rank Unit Unit N/A N/A
Deployable Unit Unit N/A N/A
Recommendation
Letter Unit Unit N/A N/A
NACLC/Tier 3
Investigation
Unit Unit HRC HRC
ASAP RA/USAR: Unit
ARNG
RA/USAR: Unit
ARNG
RA/USAR: Unit
ARNG
RA/USAR: Unit
ARNG
National Sex
Offender Public
Website
Unit Unit Unit Unit
Medical Records
Review
Unit (RA and AGR
Only)
N/A Unit Unit
OMPF incl. R-Fiche
Review
RA/USAR: HRC
ARNG
RA/USAR: HRC
ARNG
RA/USAR: HRC
ARNG
RA/USAR: HRC
ARNG
Inspector General
Files
RA/USAR: HRC
ARNG
RA/USAR: HRC
ARNG
RA/USAR: HRC
ARNG
RA/USAR: HRC
ARNG
CID/CRC
Databases
RA/USAR: HRC
ARNG
RA/USAR: HRC
ARNG
RA/USAR: N/A*
ARNG
RA/USAR: N/A*
ARNG
DoD Central
Adjudication
Facility
N/A N/A RA/USAR: HRC
ARNG: N/A
RA/USAR: HRC
ARNG: N/A
* Checks performed at DoD Consolidated Adjudication Facility.
Abbreviations Used:
CRC = Crime Records Center
NACLC = National Agency Check with Local Agency Check and Credit
OMPF = Official Military Personnel File
Army Directive 2018-16 Enclosure 4
AUTHORITY MATRIX FOR TYPE II OFFENSES
Appointing
Authority
Removal
Authority Approval Authority Appeal Authority
SHARP SARCs
and PMs
(RA/USAR)
GO/SES BDE CDR or
O-6 Equivalent
Automatically
Disqualifying
First 3-Star GO in
Chain of Command
Full-Time SHARP
VAs (RA/USAR)
BDE CDR or
O-6 Equivalent
BDE CDR or
O-6 Equivalent
Automatically
Disqualifying
First 3-Star GO in
Chain of Command
Collateral Duty
SHARP SARCs
and VAs
(RA/USAR)
BDE CDR or
O-6 Equivalent
BDE CDR or
O-6 Equivalent
Automatically
Disqualifying
First 3-Star GO in
Chain of Command
Full-Time SHARP
SARCs, VAs, and
PMs (ARNG)
State Adjutant
General
BDE CDR or
O-6 Equivalent
Automatically
Disqualifying
Chief, National Guard
Bureau
Collateral Duty
SHARP SARCs
and VAs (ARNG)
BDE CDR or
O-6 Equivalent
BDE CDR or
O-6 Equivalent
Automatically
Disqualifying
State Adjutant
General
Recruiting Cadre
(RA/USAR)
BDE CDR or
O-6 Equivalent
Initial:* N/A
Current:**
BDE CDR or
O-6 Equivalent
Automatically
Disqualifying
Initial:* CG, HRC***
Current:** DCG,
TRADOC or CG,
MEDCOM
Recruiting Cadre
(ARNG)
State Adjutant
General
BDE CDR or
O-6 Equivalent
Automatically
Disqualifying
Chief, National Guard
Bureau
Training Cadre
(RA/USAR)
Training Cadre
(TRADOC and
MEDCOM)
BDE CDR or
O-6 Equivalent
Initial:* N/A
Current:**
BDE CDR or
O-6 Equivalent
Automatically
Disqualifying
Initial:* CG, HRC***
Current:** DCG,
TRADOC, or CG,
MEDCOM
Training Cadre
(ARNG)
State Adjutant
General
BDE CDR or
O-6 Equivalent
Automatically
Disqualifying
Chief, National Guard
Bureau
Notes:
* Initial pre-assignment screening conducted at HRC.
** Current: Soldier currently serving in a position when an offense occurs.
*** Authorities for initial assignment of RA/USAR training and recruiting cadre.
Abbreviations Used:
BDE = Brigade DCG = Deputy Commanding General
CDR = Commander GO = General Officer
CG = Commanding General SES = Senior Executive Service
Army Directive 2018-16 2
AUTHORITY MATRIX FOR TYPE III OFFENSES
Appointing
Authority
Removal
Authority Approval Authority Appeal Authority
SHARP SARC
and PMs
(RA/USAR)
First GO/SES
in Chain of
Command/
Supervision
BDE CDR or
O-6 Equivalent
First 2-Star GO in Chain of
Command
First 3-Star GO in
Chain of Command
Full-Time
SHARP VAs
(RA/USAR)
BDE CDR or
O-6 Equivalent
BDE CDR or
O-6 Equivalent
First 2-Star GO in Chain of
Command
First 3-Star GO in
Chain of Command
Collateral Duty
SHARP
SARCs, VAs,
and PMs
(RA/USAR)
BDE CDR or
O-6 Equivalent
BDE CDR or
O-6 Equivalent
First 2-Star GO in Chain of
Command
First 3-Star GO in
Chain of Command
Full-Time
SHARP
SARCs, VAs,
and PMs
(ARNG)
BDE CDR or
O-6 Equivalent
BDE CDR or
O-6 Equivalent
First 1-Star GO in Chain of
Command
State Adjutant
General
Collateral Duty
SHARP SARCs
and VAs
(ARNG)
BDE CDR or
O-6 Equivalent
BDE CDR or
O-6 Equivalent
First 1-Star GO in Chain of
Command
State Adjutant
General
Recruiting
Cadre
(RA/USAR)
Recruiting BDE
CDR or O-6
Equivalent
Initial:* N/A
Current:* BDE
CDR or O-6
Equivalent
Initial:* Chief, Distribution
Div, HRC***
Current:** BDE CDR or
O-6 Equivalent
Initial:* CG, HRC***
Current:** DCG,
TRADOC or CG,
MEDCOM
Recruiting
Cadre (ARNG)
BDE CDR or
O-6 Equivalent
BDE CDR or
O-6 Equivalent
First 1-Star GO in Chain of
Command
State Adjutant
General
Training Cadre
(RA/USAR)
Training Cadre
(TRADOC and
MEDCOM)
Training BDE
CDR or O-6
Equivalent
Initial:* N/A
Current:**
BDE CDR or
O-6 Equivalent
Initial:* Chief Distribution
Div, HRC***
Current:** BDE CDR or
O-6 Equivalent
Initial:* CG, HRC***
Current:** DCG,
TRADOC or CG,
MEDCOM
Training Cadre
(ARNG)
BDE CDR or
O-6 Equivalent
BDE CDR or
O-6 Equivalent
First 1-Star GO in Chain of
Command
State Adjutant
General
Notes:
* Initial pre-assignment screening conducted at HRC.
** Current: Soldier currently serving in a position when an offense occurs.
*** Authorities for initial assignment of RA/USAR training and recruiting cadre.
Army Directive 2018-16 Enclosure 5
SCREENING CRITERIA WORKSHEET
Soldier’s Last name,
First name, MI
Rank: Army installation and unit:
Part 1: Local Screening Requirements for Soldiers
PART 1
Unit/installation completes the following screening
before submitting to ACOM, ASC, or DRU for HRC
screening for Soldiers in designated positions Coordinate
With Go
No
Go
1.1 Minimum Rank Appointing
Authority
1.2 Deployable Appointing
Authority
1.3 Recommendation letter Appointing
Authority
1.4 NACLC/Tier 3 Investigation Appointing
Authority
1.5 National Sex Offender Public Website
(www.nsopw.gov)
Appointing
Authority
1.6 Army Substance Abuse Program (ASAP) ASAP
1.7
Medical Records Review Coordinate
With Unit
Senior
Medical
Officer
Go (Submit to ACOM, ASCC, or DRU for part 2 screening)
No Go (No further action)
Local Screening Completed by: ____________________________________________
Position: _____________________________________________________________
Signature: __________________________________Date:______________________
Army Directive 2018-16 2
Part 2: Human Resources Command Centralized Screening Requirements for
Soldiers. HRC will not provide actual source documents (for example, CID report).
The HRC background screening is limited to need-to-know information, not
source documents. For example: “no finding,” “Type I finding – domestic violence,” or
Type II finding – nondomestic assault.” Specific details and source documents will not
be provided. Background screening results will be secured safely.
SHARP: Before approving the candidate for SHARP training, the ACOM, ASCC, or
DRU SHARP PM will submit via encrypted email the last name, first name, middle
initial, and Social Security number to usarmy.knox.HRC.mbx.epmd-ebss@mail.mil.
Part 2
Submitted by the ACOM, ASCC, or DRU to HRC Centralized
Screening for Soldiers serving in or nominated for designated
positions Go
No
Go
2.1 Army Human Resource Record Fiche Review
2.2 Inspector General Files
2.3 Army Law Enforcement Reporting and Tracking System (ALERTS)
CID/CRC Databases
Go No Go - Not authorized for designated positions
Validated by: _________________________________________________________
Position: _____________________________________________________________
Signature: __________________________________ Date: ____________________
Army Directive 2018-16 Enclosure 6
TYPE I, TYPE II, AND TYPE III REPORTS OF
UNFAVORABLE INFORMATION OR OFFENSES
Type I Offenses (Over the Soldier’s Lifetime):
1. Possessing, distributing, receiving, or viewing child pornography (Article 134 Uniform
Code of Military Justice (UCMJ)).
2. Forcible sodomy or bestiality (Article 125 UCMJ) (Article 120 or 134 after
1 January 2019).
3. Any offense punishable under Article 120, 120a, 120b, and 120c UCMJ
(Articles 120, 120b, 120c, and 130 after 1 January 2019); similar civilian offense (rape,
sexual assault, aggravated sexual contact, abusive sexual contact, stalking, sexual
abuse of a child); or any attempt to commit such acts (Article 88 UCMJ).
4. Prohibited activities with a subject of recruiting efforts, future Soldier, or initial entry
trainee that fall under DoD Instruction 1304.33, enclosure 3, paragraph 1a(1)(a–c).
(Article 93a after 1 January 2019)
5. Domestic violence or child abuse (as defined in DoDI 6495.03 or AR 608-18); violent
crimes; similar civilian offenses; or attempts to commit such acts (Article 88 UCMJ).
6. Previous separation from any Service for any Type I offense listed above.
7. Any conviction that requires an individual to register as a sex offender.
Type II Offenses (Over a Soldier’s Military Career, Including Sister Services):
1. Sexual harassment (Article 92, Article 93, or Article 117 UCMJ).
2. Prostitution or pandering (Article 134 UCMJ).
3. Sexual activity with a subordinate or fraternization of a sexual nature.
4. Conduct in violation of the Army’s policy regarding participation in extremist
organizations or activities or criminal gangs (as defined in AR 600-20, paragraph 4-12).
5. Any special or general court-martial conviction or any civilian criminal felony
conviction (other than a conviction for Type I offenses).
6. Any criminal offense involving a child or children (other than Type I offenses).
Army Directive 2018-16 2
7. Extramarital sexual conduct or inappropriate relationship in violation of AR 600-20,
paragraphs 4-14 or 4-15 (other than sexual activity with a subordinate or fraternization
of a sexual nature).
8. Wrongful broadcast or distribution of intimate visual images (Article 117a UCMJ).
9. Illegal drug use or possession or distribution, including abuse of prescription
medication and synthetic drugs (Article 112a UCMJ).
10. Initial enlistment waivers for derogatory information related to any Type I offense.
11. Type I offenses for which the Soldier was not convicted in a court of law or received
an Article 15 or higher UCMJ action.
12. Alcohol abuse (as defined in AR 600-85).
Type III Offenses (Within the Last 5 Years Unless Otherwise Stated):
1. Relief for cause noncommissioned officer evaluation report or officer evaluation
report while in current grade or in the past 5 years, whichever is longer.
2. Previous separation from any Service for any Type III offense.
3. Initial enlistment waivers for derogatory information (not related to an offense listed
under Type II).
4. Assault (other than categories listed under Type I).
5. Larceny, fraud, or robbery (Articles 121, 122, and 132 UCMJ).
6. Burglary (Article 129).
7. Prohibited activities with a subject of recruiting efforts, future Soldier, or initial entry
trainee that fall under DoDI 1304.33, enclosure 3, paragraph 1a(1)(d-n).
Administrative Reports That Prevent Initial Appointment to These Positions:
1. Soldiers who are flagged, barred from reenlistment, or coded with any administrative
information indicating legal investigation is underway are prohibited from initial
appointment to these positions until the flag, bar, or code is removed.
2. Soldiers pending determination by a Medical Evaluation Board, Physical Evaluation
Board, or Military Occupational Specialty Administrative Retention Review process are
Army Directive 2018-16 3
not eligible for appointment as training or recruiting cadre or SHARP professionals
unless found fit for continued duty.
3. Soldiers with a current revoked, denied, or suspended security clearance, who failed
to attain or maintain a favorable NACLC, tier 3 investigation or higher, are not eligible
for appointment to these positions.
Army Directive 2018-16 Enclosure 7
PROCEDURES
Suspension and Removal Process
1. The removal authority listed in enclosure 4 will give written notice to a Soldier whose
service in a designated position is in jeopardy because of adverse information. The
written notice must explain the basis for the proposed suspension or removal; the
Soldier’s right to consult with military counsel or civilian counsel (at the Soldier’s own
expense); the Soldier’s right to request an adjudication and/or appeal an unfavorable
adjudication, if authorized; and the Soldier’s right to submit matters in defense,
extenuation, or mitigation. The removal authority must also provide the Soldier with a
copy of the disqualifying information (or the name and address of the agency that
reported the disqualifying information) and removal notice of his or her additional skill
identifier (ASI).
2. The removal authority must immediately suspend and temporarily reassign a Soldier
serving in a designated position upon notification that the Soldier is under investigation
for a Type I, II, or III offense, or upon notification of adverse information that the Soldier
has committed an offense listed in enclosure 6.
3. The commander must flag Soldiers under investigation, pursuant to reference i, and
monitor the investigation until it is complete.
4. Before suspending or removing enlisted training cadre from their positions,
commanders must comply with the requirements of reference o.
5. Before suspending or removing enlisted recruiting cadre from their positions,
commanders must comply with the requirements of reference m.
6. For SHARP professionals, the removal authority must coordinate with the SHARP
PM, who will also coordinate with the HQDA SHARP PM, to ensure the Soldier’s
Defense Sexual Assault Advocate Certification Program certification and ASI are
suspended or removed, as appropriate.
7. Soldiers may dispute incorrect information by following the process outlined in
paragraph 2 of this enclosure.
8. If the investigation result is unsubstantiated, the commander must notify the removal
authority to lift the suspension and reinstate the Soldier to the designated position.
SHARP professionals will need to work with their SHARP PM, who will also coordinate
with the HQDA SHARP PM, to apply for reinstatement of their certification and ASI.
9. If the investigation result is substantiated for a Type I, II, or III offense, or if the
commander receives adverse information that the Soldier has committed an offense
Army Directive 2018-16 2
listed in enclosure 6, the commander must provide the disqualifying information to the
removal authority listed in enclosure 4.
10. Soldiers who wish to seek reconsideration by the appeal authority must follow the
procedures in paragraph 2 of this enclosure.
11. The removal authority will remove a Soldier from a designated position based upon
a Type I offense. If the removal authority believes a Soldier who has committed a
Type II or III offense should be retained in a designated position, the removal authority
must submit a recommendation to the appeal authority for a decision, along with any
matters the Soldier submitted in defense, extenuation, or mitigation.
12. The removal or appeal authority, as appropriate, must document a decision to
remove a Soldier from a designated position in a memorandum for record (MFR). For
RA and USAR training and recruiting cadre, the removal or appeal authority, as
appropriate, must forward a copy of the MFR to HRC at usarmy.knox.hrc.mbx.epmd-
ebss@mail.mil. HRC will file a copy of the MFR in the performance folder of the Army
Military Human Resource Record (AMHRR). For ARNG recruiting cadre, the removal
authority must forward a copy of the MFR to the Chief, National Guard Bureau.
13. The removal or appeal authority, as appropriate, must forward a copy of the MFR
removing a SHARP Program SARC, VA, or PM to the ACOM, ASCC, or DRU SHARP
PM, who will coordinate with the SHARP Program Office to suspend or revoke the
Soldier’s credentials and coordinate with HRC (or through ARNG) for removal of ASI
1B/1H and the associated stabilization code. HRC will add coding to restrict the
individual from being appointed to designated positions in the future.
Approval and Appeal Process
1. Soldiers who are disqualified because of adverse information of a Type I offense
may not appeal the disqualification. A Type I offense that does not result in a criminal
conviction or a finding of guilty in a field grade Article 15 UCMJ proceeding will be
treated as a Type II offense.
2. Soldiers who are disqualified because of adverse information of a Type II offense
may submit an appeal to the appeal authority.
3. Soldiers who are disqualified because of adverse information of a Type III offense
may request an adjudication from the approval authority to serve in the position. If the
approval authority denies the request, the Soldier may submit an appeal to the appeal
authority.
4. Soldiers have 14 calendar days from notification to submit a memorandum
requesting an adjudication or an appeal. Soldiers will submit their request through their
chain of command to the approval/appeal authority.
Army Directive 2018-16 3
5. Soldiers have 45 calendar days from notification to submit documents in defense,
extenuation, or mitigation. Such documents will be submitted through their chain of
command to the approval/appeal authority.
6. Commanders may grant extensions in cases where Soldiers are attempting to
provide documentation, but are unable to meet the timeline because of factors beyond
their control. If granted, extensions and the reasons for the extension will be
documented in a memorandum and submitted to the approval/appeal authority.
7. The approval/appeal authority must make a recommendation regarding an
adjudication request within 45 calendar days after receiving the Soldier’s information in
defense, extenuation, or mitigation.
8. If an approval or appeal is granted for a currently serving member of the training and
recruiting cadre, the approval/appeal authority, as appropriate, will sign an MFR stating
the rationale for the approval and why the Soldier is still suited to serve in that position.
For RA and USAR training and recruiting cadre, the unit will submit a copy of the MFR
to the appropriate higher command and then to HRC at usarmy.knox.hrc.mbx.epmd-
ebss@mail.mil. HRC will file a copy of the MFR in the performance folder of the
AMHRR. For ARNG recruiting cadre, the unit must submit a copy of the MFR to the
Chief, National Guard Bureau. The unit must retain the signed approval/appeal MFR for
the duration of the Soldier’s assignment to that position.
9. If an approval or appeal is granted for a currently serving SHARP professional, the
approval/appeal authority must sign an MFR stating the rationale for the approval and
why the Soldier is still best suited to serve in that position. The unit must submit a copy
of the MFR to HRC at usarmy.knox.hrc.mbx.epmd-ebss@mail.mil for RA and USAR
SHARP professionals, and to the Chief, National Guard Bureau for ARNG SHARP
professionals. HRC and ARNG, as appropriate, will notify the HQDA SHARP Program
Office. HRC will file a copy of the MFR in the performance folder of the AMHRR. The
unit will retain the signed MFR for the duration of the Soldier’s assignment to the
position.
10. Approvals and appeals will only be granted in exceptional circumstances, when the
approval/appeal authority determines that, despite the disqualifying information, the
Soldier requesting the adjudication or submitting the appeal is best qualified to serve in
the position. Approvals/appeals will not be granted if the disqualifying information calls
into question the character, conduct, or personal integrity of the Soldier requesting the
adjudication.
11. All decisions made by the appeal authority are final. 

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MEMORANDUM FOR SEE DISTRIBUTION
SUBJECT: Army Directive 2018-17 (Army Accessions Way Ahead)
1. References:
a. Headquarters, Department of the Army General Orders (DAGO) No. 2017-01
(Assignment of Functions and Responsibilities Within Headquarters, Department of the
Army), 5 January 2017.
b. Headquarters, DAGO No. 2017-05 (Consolidation of Army Marketing Functions),
6 January 2017.
c. Headquarters, DAGO No. 2017-06 (Redesignation of the United States Army
Accessions Support Brigade to the United States Army Marketing and Engagement
Brigade), 13 January 2017.
d. Memorandum, Under Secretary of the Army, 04 May 2018, subject: Initial
Guidance.
2. This memorandum establishes the Army’s future direction for accessions.
a. Purpose. We must access, train, and field the Army Force with the most highly
qualified Soldiers our Nation can produce.
b. Method. The Commanding General (CG), U.S. Army Training and Doctrine
Command (TRADOC) will assume responsibility for accessions planning and execution
to effectively plan, prioritize resources, execute, and exploit success. Appropriate
accessions capabilities will be realigned from the Army Secretariat to TRADOC.
c. End State. As a result of this realignment, the Army will have a more effective,
integrated, and synchronized use of accession resources from the strategic to the
tactical level.
3. To achieve this end state, I am directing the following actions:
a. Effective 1 October 2018, the CG, TRADOC will assume mission command of
accessions planning and execution. The Assistant Secretary of the Army (Manpower
S E C R E T A R Y O F T H E A R M Y
W A S H I N G T O N
SUBJECT: Army Directive 2018-17 (Army Accessions Way Ahead)
2
and Reserve Affairs (ASA (M&RA)) retains all functions and responsibilities
enumerated in DAGO 2017-01.
b. Effective 1 October 2018, the U.S. Army Marketing and Engagement Brigade
and all subordinate organizations (U.S. Army Mission Support Battalion, U.S. Army
Parachute Team, and U.S. Army Marksmanship Unit) are reassigned to TRADOC.
c. Effective 1 October 2018, the Army Marketing and Research Group, less the
marketing policy and functions, is direct support to U.S. Army Recruiting Command.
d. Upon issuance of this directive, the ASA (M&RA) will prepare a DAGO to effect
the changes directed herein before 1 October 2018.
e. Within 90 days from the date of this directive, the CG, TRADOC and the ASA
(M&RA) will present to me a complete review of all other Army accessions
organizations, addressing the appropriate organizational alignment, regulations, and
command and control relationships.
4. Applicability. This directive applies to the Regular Army, Army National Guard/Army
National Guard of the United States, and U.S. Army Reserve.
5. Proponency. The proponent of this directive is the ASA (M&RA), who will ensure its
provisions are incorporated into the applicable administrative publications. This
directive is rescinded upon publication of the revised regulations.
Mark T. Esper
DISTRIBUTION:
Principal Officials of Headquarters, Department of the Army
Commander
U.S. Army Forces Command
U.S. Army Training and Doctrine Command
U.S. Army Materiel Command
U.S. Army Futures Command
U.S. Army Pacific
U.S. Army Europe
U.S. Army Central
(CONT)
SUBJECT: Army Directive 2018-17 (Army Accessions Way Ahead)
3
DISTRIBUTION: (CONT)
U.S. Army North
U.S. Army South
U.S. Army Africa/Southern European Task Force
U.S. Army Special Operations Command
Military Surface Deployment and Distribution Command
U.S. Army Space and Missile Defense Command/Army Strategic Command
U.S. Army Cyber Command
U.S. Army Medical Command
U.S. Army Intelligence and Security Command
U.S. Army Criminal Investigation Command
U.S. Army Corps of Engineers
U.S. Army Military District of Washington
U.S. Army Test and Evaluation Command
U.S. Army Installation Management Command
U.S. Army Human Resources Command
U.S. Army Financial Management Command
U.S. Army Marketing and Engagement Brigade
Superintendent, United States Military Academy
Director, U.S. Army Acquisition Support Center
Superintendent, Arlington National Cemetery
Commandant, U.S. Army War College
Director, U.S. Army Civilian Human Resources Agency
CF:
Director, Army National Guard
Director of Business Transformation
Commander, Eighth Army

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ATP 3-21.8	INFANTRY PLATOON AND SQUAD	04/12/2016	FM 3-21.8, 03/28/2007
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FM 7-8	INFANTRY RIFLE PLATOON AND SQUAD	04/22/1992	FM 7-8(HTF), 12/31/1980 FM 7-70, 09/10/1986
FM 7-70	LIGHT INFANTRY PLATOON/SQUAD	09/10/1986	NONE
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AR 5-21 RAND ARROYO CENTER

https://armypubs.army.mil/epubs/DR_pubs/DR_a/pdf/web/ARN10780_R5_21_Final.pdf

UNCLASSIFIED
Army Regulation 5–21
Management
RAND
Arroyo
Center
Headquarters
Department of the Army
Washington, DC
29 June 2018
SUMMARY of CHANGE
AR 5– 21
RAND Arroyo Center
This regulation is certified current as of 29 June 2018. Aside from the following administrative changes, no other changes
were made to certify the currency of this regulation—
o Updates Department of the Army signature authority and the history, applicability, and distribution statements (title
page)
o Updates references and explanation of abbreviations and terms paragraph verbiage (paras 1–2 and 1–3, respectively).
o Updates hyperlinks (app A).
o Removes obsolete reference: DA Pam 5 – 5 (app A).
This major revision, dated 25 May 2012—
o Changes the title from Army Policies and Responsibilities for the RAND Arroyo Center to RAND Arroyo Center
(cover).
o Identifies new members of the RAND Arroyo Center Policy Committee (para 1 – 4).
o Establishes the Director, Program Analysis and Evaluation, as the lead agent for the RAND Arroyo Center Policy
Committee (para 1–4b(1)).
o Defines staff years of technical effort (para 2–2e).
o Establishes a plan to avoid duplication of study effort (para 2–2i).
o Describes the RAND Arroyo Center Fellows Program (para 2 – 4).
o Makes administrative changes (throughout).
*This regulation supersedes AR 5–21, dated 14 October 1994.
AR 5–21 • 29 June 2018
UNCLASSIFIED iii
Headquarters
Department of the Army
Washington, DC
*Army Regulation 5–21
29 June 2018 Effective 24 June 2012
Management
RAND Arroyo Center
History. This publication was certified
current on 29 June 2018. Aside from ad-
ministrative updates, no other changes were
made to certify the currency of the regula-
tion. The portions affected by this certify
current are listed in the summary of change.
Summary. This regulation covers the
policies and responsibilities for the man-
agement and administration of the RAND
Arroyo Center, the U.S. Army's federally
funded research and development center for
studies and analyses. It describes the
RAND Arroyo Center and its mission, es-
tablishes the membership of the RAND Ar-
royo Center Policy Committee, designates
the Deputy Chief of Staff, G– 8 as the lead
agency for the RAND Arroyo Center, de-
scribes the RAND Arroyo Center Fellows
Program, and explains the relationship be-
tween the sponsor and the RAND Arroyo
Center in developing and executing the
RAND Arroyo Center annual program.
Applicability. This regulation applies to
the Regular Army, the Army National
Guard/Army National Guard of the United
States, and the U.S. Army Reserve, unless
otherwise stated. It also applies to the U.S.
Army National Guard when using Federal
funds for study efforts.
Proponent and exception authority.
The proponent of this regulation is the Dep-
uty Chief of Staff, G– 8. The proponent has
the authority to approve exceptions or
waivers to this regulation that are consistent
with controlling law and regulations. The
proponent may delegate this approval au-
thority, in writing, to a division chief within
the proponent agency or its direct reporting
unit or field operating agency, in the grade
of colonel or the civilian equivalent. Activ-
ities may request a waiver to this regulation
by providing justification that includes a
full analysis of the expected benefits and
must include formal review by the activ-
ity’s senior legal officer. All waiver re-
quests will be endorsed by the commander
or senior leader of the requesting activity
and forwarded through their higher head-
quarters to the policy proponent. Refer to
AR 25 – 30 for specific guidance.
Army internal control process. This
regulation contains internal control provi-
sions in accordance with AR 11 –2 and
identifies key internal controls that must be
evaluated (see appendix B).
Supplementation. Supplementation of
this regulation and establishment of com-
mand and local forms are prohibited with-
out prior approval from the Deputy Chief of
Staff, G– 8 (DAPR– DPD), 700 Army Pen-
tagon, Washington, DC 20310– 0700.
Suggested improvements. Users are
invited to send comments and suggested
improvements on DA Form 2028 (Recom-
mended Changes to Publications and Blank
Forms) directly to the Headquarters, De-
partment of the Army, Deputy Chief of
Staff, G– 8 (DAPR– DPD), 700 Army Pen-
tagon, Washington, DC 20310– 0700.
Committee continuance approval.
AR 15 – 1 requires the proponent to justify
establishing/continuing committee(s), co-
ordinate draft publications, and coordinate
changes in committee status with the U.S.
Army Resources and Program Agency, De-
partment of the Army Committee Manage-
ment Office (AARP – ZA), 9301 Chapek
Road, Building 1458, Fort Belvoir, VA
22060– 5527. Further, if it is determined
that an established "group" identified
within this regulation, later takes on the
characteristics of a committee, as found in
the AR 15 – 1, then the proponent will fol-
low all AR 15 – 1 requirements for establish-
ing and continuing the group as a commit-
tee.
Distribution. This regulation is available
in electronic media only and is intended for
the Regular Army, the Army National
Guard/Army National Guard of the United
States, and the U.S. Army Reserve.
Contents (Listed by paragraph and page number)
Chapter 1
Introduction, page 1
Purpose • 1– 1, page 1
References • 1– 2, page 1
Explanation of abbreviations and terms • 1 – 3, page 1
Responsibilities • 1 – 4, page 1
Chapter 2
RAND Arroyo Center, page 3
Contents—Continued
ii AR 5–21 • 29 June 2018
Overview of the RAND Arroyo Center • 2 – 1, page 3
Development of the annual program • 2 – 2, page 4
Dissemination of RAND Arroyo Center reports • 2 – 3, page 5
RAND Arroyo Center Fellows Program • 2 – 4, page 5
Appendixes
A. References, page 6
B. Internal Control Evaluation, page 7
Glossary
AR 5–21 • 29 June 2018 1
Chapter 1
Introduction
1– 1. Purpose
This regulation defines Army policies and responsibilities for the RAND Arroyo Center. It describes the development of
its annual research agenda and establishes the framework for managing and directing RAND Arroyo Center efforts. It also
describes the RAND Arroyo Center Fellows Program.
1– 2. References
See appendix A.
1– 3. Explanation of abbreviations and terms
See the glossary.
1– 4. Responsibilities
a. The Deputy Chief of Staff, G– 8. The DCS, G– 8 will—
(1) Oversee all responsibilities for the RAND Arroyo Center, its annual program, and the RAND Arroyo Center Fellows
Program.
(2) Serve as lead agency for the RAND Arroyo Center.
(3) Delegate all lead agent responsibilities of the RAND Arroyo Center to the Director, Program Analysis and Evalua-
tion (PA&E), DCS, G– 8.
b. Director, Program Analysis and Evaluation. The Director, PA&E will—
(1) Serve as the lead agent for the RAND Arroyo Center Policy Committee (ACPC) and will ensure the committee—
(a) Consists of general officers or senior executive service representatives from Headquarters, Department of the Army
(HQDA), Army commands, and select Army service component commands, and direct reporting units.
(b) Establishes overall objectives for the RAND Arroyo Center.
(c) Provides broad supervisory and policy guidance to the RAND Arroyo Center management.
(d) Meets at least semi-annually with the RAND Arroyo Center management to review and evaluate the current and
planned annual research programs.
(e) Provides guidance to the RAND Arroyo Center management on Army needs, interests, and priorities.
(f) Provides the RAND Arroyo Center with access to Army and other agency information and other support needed to
conduct research.
(g) Reviews and approves the annual RAND Arroyo Center research agenda.
(h) Provides annual program evaluation guidance to the RAND ACPC lead agent.
(i) Confirms selections of Army officers to participate in the RAND Arroyo Center Fellows Program.
(2) Serve as the Army point of contact for the RAND Arroyo Center.
(3) Oversee and monitor the performance of the RAND Arroyo Center and recommend changes to RAND Arroyo
Center policy guidelines to the RAND ACPC.
(4) Evaluate and present to the RAND ACPC information provided by sponsors and the RAND Arroyo Center man-
agement on individual projects and the RAND Arroyo Center research agenda as a whole.
(5) Conduct an annual evaluation of the program. For each study, ensure individual sponsors—
(a) Conduct initial, interim, and final reviews with the RAND Arroyo Center.
(b) Complete a final evaluation for the lead agent.
(6) Develop, coordinate, and justify the Army requirements for the RAND Arroyo Center during the planning, pro-
gramming, budgeting, and execution process.
(7) Develop statements of work and fund obligation instruments for the continuous operation of the RAND Arroyo
Center.
(8) Appoint a contracting officer’s representative (COR) to act as the liaison between the Army and the contracting
officer for the contract with the RAND Corporation. The COR is the primary representative of the lead agent and is re-
sponsible for ensuring the RAND Arroyo Center and the Army meet all contractual requirements, follow regulatory guid-
ance, and operate according to the directives of the RAND ACPC.
(9) Serve at their discretion as a member of study advisory groups formed for RAND Arroyo Center efforts.
(10) Implement program management procedures to ensure full coordination of project proposals and the annual RAND
Arroyo Center research agenda.
2 AR 5–21 • 29 June 2018
(11) Ensure appropriate Army officials review RAND Arroyo Center reports in a timely manner.
(12) Provide information on the RAND Arroyo Center to Army, Department of Defense, and other Government agen-
cies. Review requests for information on the RAND Arroyo Center and release information to non-Government individuals
or organizations, as appropriate.
(13) Periodically inform potential Army users of the capabilities of the RAND Arroyo Center.
(14) Provide proper guidance to agencies outside HQDA when they request or sponsor RAND Arroyo Center projects.
(15) Design, implement, and maintain internal controls for the Army for the oversight of the RAND Arroyo Center.
(16) Approve additional add-on work outside of HQDA RAND Arroyo Center core funding.
(17) Set schedule and agenda and provide all administrative support for ACPC meetings.
(18) Ensure all provisional and approved RAND Arroyo Center projects have a sponsor. Sponsors must be HQDA or
Army command general officers or senior executive service civilians under whose authority a particular analytical effort
is formulated and administered. Sponsors may be a member of the RAND ACPC. Each sponsor will—
(a) Designate an action officer to be a point of contact to work with RAND Arroyo Center personnel and the lead agent
to ensure complete and continuous project coordination. The action officer will staff research products to appropriate
internal agencies or offices for classification review.
(b) Designate a study coordinator to provide advice on all matters related to studies and analyses. The study coordinator
may also be the appointed action officer.
(c) Directly commission projects outside the annual core research agenda approved by the RAND ACPC. Sponsors will
provide funding for such add-on projects and log them in the Army Study Program Database. The RAND ACPC lead agent
approves add-on projects for addition to the annual research agenda.
(d) Advise and assist the lead agent in all technical and administrative matters related to the effort.
(e) Ensure adequate participation of their staff during the project development phase of RAND Arroyo Center efforts.
RAND Arroyo Center researchers will identify subject matter experts and the sponsor will identify points of contact within
the Army. Informal meetings will be scheduled between RAND Arroyo Center project personnel and Army points of
contact to exchange information and affect project coordination and performance.
(f) Confirm to Army activities the RAND Arroyo Center’s authorization to have access to information (including clas-
sified material) required to complete provisional and approved projects. Following sponsor or COR authorization, Army
activities will release required classified, privileged, proprietary, or sensitive material directly to the RAND Arroyo Center.
(g) Conduct appropriate project evaluations within 90 days of project completion and in support of the annual program
evaluation led by the RAND ACPC lead agent.
(h) Coordinate feedback on RAND Arroyo Center studies with co-sponsors.
(19) In coordination with the Director, RAND Arroyo Center, will—
(a) Establish and apply policies for initiating annual program development.
(b) Approve all modifications to the annual program between RAND ACPC meetings.
Note. Major changes will be coordinated with the RAND ACPC.
(c) Provide written notification to the lead agent within 30 days after initiation of any provisional effort. This written
notification will identify the sponsor, the action officer, and the RAND Arroyo Center point of contact and will provide a
preliminary description of the project.
(d) Appoint a project director for each provisional and approved project.
(e) Ensure close and continuous coordination with each sponsor or appointed Army action officer throughout the life-
time of the approved research effort.
(f) Coordinate changes in the nature or scope of the provisional and approved projects with the sponsor.
c. The Vice Chief of Staff of the Army. The VCSA will chair the RAND ACPC with the Assistant Secretary of the Army
(Acquisition, Logistics and Technology) (ASA (ALT)).
d. Assistant Secretary of the Army (Acquisition, Logistics and Technology). The ASA (ALT) will chair the RAND
ACPC with the VCSA.
e. The Assistant Secretary of the Army (Manpower and Reserve Affairs). The ASA (M&RA) will serve as a member
of the RAND ACPC.
f. The Assistant Secretary of the Army (Financial Management and Comptroller). The ASA (FM&C) will serve as a
member of the RAND ACPC.
g. The Assistant Secretary of the Army for Civil Works. The ASA (CW) will serve as a member of the RAND ACPC.
h. The Assistant Secretary of the Army (Installations, Energy and Environment). The ASA (IE&E) will serve as a
member of the RAND ACPC.
i. The Deputy Chief of Staff, G– 1. The DCS, G– 1 will serve as a member of the RAND ACPC.
j. The Deputy Chief of Staff, G– 2. The DCS, G– 2 will serve as a member of the RAND ACPC.
AR 5–21 • 29 June 2018 3
k. The Deputy Chief of Staff, G– 3/5/7. The DCS, G– 3/5/7 will serve as a member of the RAND ACPC.
l. The Deputy Chief of Staff, G– 4. The DCS, G– 4 will serve as a member of the RAND ACPC.
m. The Surgeon General. TSG will serve as a member of the RAND ACPC.
n. The Assistant Chief of Staff for Installation Management. ACSIM will serve as a member of the RAND ACPC.
o. The Chief Information Officer/G– 6. The CIO/G– 6 will serve as a member of the RAND ACPC.
p. The Provost Marshall General. The PMG will serve as a member of the RAND ACPC.
q. The Chief, Army Reserve. The CAR will serve as a member of the RAND ACPC.
r. The Chief, National Guard Bureau. The CNGB will serve as a member of the RAND ACPC.
s. The Commanding General, U.S. Army Forces Command. The CG, FORSCOM will serve as a member of the RAND
ACPC.
t. The Commanding General, U.S. Army Training and Doctrine Command. The CG, TRADOC will serve as a member
of the RAND ACPC.
u. The Commanding General, U.S. Army Materiel Command. The CG, AMC will serve as a member of the RAND
ACPC.
v. The Commanding General, U.S. Army Special Operations Command. The CG, USASOC will serve as a member of
the RAND ACPC.
w. The Commanding General, U.S. Army Accessions Command. The CG, USAAC will serve as a member of the
RAND ACPC.
x. The Commanding General, U.S. Army Medical Command. The CG, MEDCOM will serve as a member of the RAND
ACPC.
y. The Commanding General, U.S. Army Space and Missile Defense Command. The CG, USASMDC will serve as a
member of the RAND ACPC.
Chapter 2
RAND Arroyo Center
2– 1. Overview of the RAND Arroyo Center
a. The RAND Arroyo Center is the Department of the Army’s (DA) Federally Funded Research and Development
Center (FFRDC) for studies and analyses. It is a division of the RAND Corporation dedicated to supporting the U.S. Army.
RAND Corporation is a nonprofit, tax-exempt corporation performing research and analysis in the interest of national
security and the welfare of the United States. RAND research is funded primarily by contracts, grants, and contributions.
In addition, RAND conducts programs that provide graduate training. The RAND Arroyo Center—
(1) Furnishes the Army with information and findings derived from analyses of Army technical and policy issues. Its
efforts are generally focused on policy-oriented issues and are designed to assist the Army in improving its efficiency and
effectiveness. A special quick-response capability is maintained to provide rapid analysis on key Army issues as they
emerge.
(2) Maintains both a technical and nontechnical capability in a broad range of matters of concern to the Army. This
includes the ability to address, through formal studies and analyses, a variety of problems potentially affecting Army
missions and organizations, including threats, strategy, doctrine, operations, technology, logistics, manpower, health, and
resource management.
(3) Represents one of the Army’s major investments for analysis of Army policy issues. To foster innovative and ob-
jective work, the RAND Arroyo Center management is encouraged to recommend new studies for inclusion in the annual
program approved by the RAND ACPC.
(4) Is entitled to broad access to Army information not generally accorded to commercial contractors. Accordingly, all
Army organizations, agencies, and units will provide the RAND Arroyo Center with prompt support and systematic access
to pertinent documents, data, and briefings consistent with security provisions and need-to-know, to be used in analytical
efforts. The Army will provide relevant materials so that the RAND Arroyo Center can maintain current knowledge of
Army goals, objectives, and ongoing study efforts.
(5) Promotes a board distribution of study results to achieve maximum benefit, to permit widespread peer review, and
to increase awareness of issues identified by Army leadership.
(6) Undertakes projects for which it has special competence, when the required capabilities do not exist in the Army’s
internal analytical organizations, when it would be inappropriate for organic Army or other contractor organizations to
perform the project, when a conflict of interest exists, when sponsors deem a second analysis of a subject important to the
decisionmaking process, or when the Army would benefit from an independent outside analysis.
4 AR 5–21 • 29 June 2018
(7) Maintains analytic expertise across the full range of the Army’s policy issues. General characteristics for work
assigned to the RAND Arroyo Center include the following:
(a) Unique expertise. Tasks that require competence in specific fields, close working relationships with other Govern-
ment agencies, or interdisciplinary policy analyses.
(b) Long-term analyses. The RAND Arroyo Center provides the capability to sustain a multiyear research and analysis
program.
(c) Proprietary and restricted information. The RAND Arroyo Center is an independent, nonprofit source of objective
studies for the Army. RAND Arroyo Center researchers have access to proprietary data, competition-sensitive data, or
restricted data as authorized by applicable Federal statutes and regulations, such as the Federal Acquisition Regulations
applicable to FFRDC institutions.
(d) Objectivity. Advice on alternative programs and courses of action only where the nonprofit analytical organization
has no organizational conflict of interest in accordance with the Federal Acquisition Regulations.
(e) Special, quick-response support. Ability to deliver short notice products derived from sustained research on a wide
range of issues of concern to the Army.
b. All Army work for the RAND Arroyo Center will be ordered through a single contract between the Army and the
RAND Corporation. Individual Army organizations will not execute separate contracts with the RAND Corporation for
RAND Arroyo Center studies and analyses.
2– 2. Development of the annual program
a. The annual program is an evolving agenda. It specifies thematic thrusts, ongoing projects, proposed projects, and
potential projects. The annual program will be developed through a continuing process involving top Army leaders, Sec-
retariat and Army Staff sponsors, the RAND ACPC lead agent, study coordinators of Army sponsor agencies, and RAND
Arroyo Center management. This process will identify and clarify policy issues seen as critical by the Army leadership.
The program will be prepared annually by the RAND Arroyo Center for lead agent and RAND ACPC approval.
b. Army activities as well as RAND Arroyo Center management may recommend projects for inclusion in the RAND
Arroyo Center annual program.
c. During the preparation of proposed projects, RAND Arroyo Center personnel, members of the requesting agency,
the Army Study Program Management Office (ASPMO), and other interested individuals work together to ensure that the
RAND Arroyo Center research agenda is aligned with the Army Study Program.
d. Projects are categorized according to three stages of development—
(1) Exploratory. Efforts in this stage have been selected by the RAND Arroyo Center for preliminary analysis.
(2) Provisional. This stage contains more mature research activities. Efforts have been formulated as projects and have
identified sponsors and objectives, but have not yet been submitted to the RAND ACPC for review and approval.
(3) Approved. Efforts in this stage are mature projects that have been formally reviewed and approved by the RAND
ACPC (core projects) or by the lead agent (add-on projects).
e. Prior to submitting provisional projects for approval, the sponsor and the RAND Arroyo Center management will
develop mutually acceptable work summaries that define the research efforts. This will include a description of the ana-
lytical techniques, supporting analyses, anticipated benefits and impacts, an estimate of the required level of effort (staff
years of technical effort), and research milestones against which progress will be measured.
f. The sponsor and the RAND Arroyo Center Director will finalize and sign project descriptions for core projects within
90 days of RAND ACPC approval of the annual research agenda.
g. The RAND Arroyo Center may devote up to 25 percent of its annual budget for exploratory and supporting analytical
efforts. The RAND ACPC lead agent may serve as the sponsor for these efforts if required.
h. An Army activity may, at any time, discuss policy issues and potential projects or seek information concerning
completed or ongoing RAND Arroyo Center projects.
i. Prior to the lead agent review, the RAND Arroyo Center Director or a designated representative will review the
proposed annual research agenda for the upcoming fiscal year (FY) with the ASPMO to prevent unnecessary duplication
of study efforts with other research efforts.
j. Prior to the lead agent review of proposed add-on projects that emerge throughout the FY, the RAND Arroyo Center
Director or a designated representative will coordinate the proposed projects with the ASPMO. The ASPMO will confirm
the proposed project is not redundant with previously conducted studies or with ongoing efforts performed by the Army’s
major internal study activities. If redundancy is identified, they will verify with the lead agent that the study sponsor desires
an independent evaluation.
AR 5–21 • 29 June 2018 5
2– 3. Dissemination of RAND Arroyo Center reports
a. The RAND Arroyo Center will provide Army project sponsors with written reports and/or other products as specified
in project descriptions for completed projects. Project sponsors will review reports to confirm their classification and fac-
tual accuracy within 30 calendar days of receiving a completed document accompanied by a request to publish.
b. A master distribution list will be maintained by the RAND ACPC lead agent and the RAND Arroyo Center.
c. With appropriate authorization, the RAND Arroyo Center is encouraged to make presentations to military operations
research symposia and to publish reports and articles in Department of Defense official publications.
d. Sponsors will review RAND Arroyo Center documents to identify classified, proprietary, or sensitive information
not authorized for release. Project sponsors will ensure that the RAND Arroyo Center has properly addressed the overall
classification of the report. Unclassified reports that do not contain proprietary or sensitive information may be made
available to the general public subsequent to receipt of release authority. Sponsors will not preclude public release of a
RAND Arroyo Center publication because the publication contains material critical of the Army or because it contains
findings and recommendations that are not in agreement with those advocated by the sponsor or Army leadership. Sponsors
will approve RAND Arroyo Center publications for public release unless:
(1) The publication contains classified, proprietary, or sensitive information not authorized for public release.
(2) The project sponsor identifies uncorrected factual errors in the publication.
e. RAND Arroyo Center analysts are encouraged to write unclassified articles based on Army research for publication
in professional journals. These articles will not contain classified, proprietary, or sensitive information and will be submit-
ted for publication only after the Army sponsor and the Office of the Chief of Public Affairs have conducted appropriate
security reviews. Disclaimers will be used to indicate the articles do not represent Army policy or Army viewpoints.
f. Army organizational security managers will clear any classified material for release. Clearance for release of any
industry, or other privately-owned, privileged, or proprietary materials will be obtained from the source of the data by the
RAND Arroyo Center. Army data released to the RAND Arroyo Center as described herein must contain appropriate
protective markings and nondisclosure warnings. Such data generally will not be released outside the RAND Arroyo Cen-
ter.
g. Once cleared by the Office of the Chief of Public Affairs (subject to the conditions specified above), final reports
resulting from research projects will be submitted by RAND Arroyo Center to the Defense Technical Information Center
and/or other appropriate reporting archives as determined by the sponsor.
h. Army organizations receiving RAND Arroyo Center publications are encouraged to review them and send construc-
tive comments to Headquarters, Department of the Army, Deputy Chief of Staff, G– 8 (DAPR– DPD), 700 Army Pentagon,
Washington, DC 20310 – 0700.
2– 4. RAND Arroyo Center Fellows Program
a. A research and study fellowship is established at the RAND Arroyo Center. This program—
(1) Provides DA officers the opportunity to study and work on critical policy issues being addressed in the annual
RAND Arroyo Center research agenda.
(2) Enhances the center’s understanding of current Army policies and doctrine through the assignment of highly qual-
ified DA officers to RAND Arroyo Center projects.
(3) Promotes understanding of the RAND Arroyo Center in the Army community.
(4) Provides career enhancing development of analytical and operations research skills and techniques.
b. The RAND ACPC lead agent will coordinate the annual nomination and selection of all active component Fellows
for RAND ACPC confirmation in the fall. Volunteer Army officers (grades O– 4 and O– 5) will be screened and selected
annually by the RAND ACPC lead agent. The RAND ACPC lead agent may coordinate separate selection boards for
specialty branches or functional areas.
c. Criteria for selection will be developed annually by the RAND ACPC lead agent. The program will be announced in
the second quarter and the selection process will begin in August for the next FY participants.
d. The normal tour of duty at the RAND Arroyo Center will be 1–year with a 3–year utilization tour on a senior-level
Army or Joint staff.
e. The RAND ACPC lead agent will coordinate the Fellows’ administrative actions and follow-on assignments to en-
sure maximum benefit to the RAND Arroyo Center and the Army.
6 AR 5–21 • 29 June 2018
Appendix A
References
Section I
Required Publications
This section contains no entries.
Section II
Related Publications
A related publication is a source of additional information. The user does not have to read it to understand this regulation.
AR 5– 5
Army Studies and Analyses
AR 5– 14
Management of Contracted Advisory and Assistance Services
AR 380– 5
Department of the Army Information Security Program
FAR 35.017
Federally Funded Research and Development Centers (Available at http://www.acquisition.gov/far/.)
Section III
Prescribed Forms
This section contains no entries.
Section IV
Referenced Forms
Unless otherwise indicated, DA Forms are available on the Army Publishing Directorate website
(http://armypubs.army.mil).
DA Form 11 – 2
Internal Control Evaluation Certification
DA Form 2028
Recommended Changes to Publications and Blank Forms
AR 5–21 • 29 June 2018 7
Appendix B
Internal Control Evaluation
B– 1. Function
The functions covered by this regulation are the management and administration of the RAND Arroyo Center.
B– 2. Purpose
The purpose of this regulation is to assist Army leadership and study personnel in evaluating the key internal controls
outlined below. The regulation contains internal control provisions and identifies key internal controls.
B– 3. Instructions
Answers should be based on the actual testing of key internal controls (for example, document analysis, direct observation,
sampling, and simulation). Answers that indicate deficiencies should be explained and corrective action indicated in sup-
porting documentation. Certification that this evaluation has been conducted should be accomplished on DA Form 11 – 2
(Internal Control Evaluation Certification).
B– 4. Test questions
a. Is an annual research program established and implemented?
b. Has the study program undergone an annual review by the RAND ACPC?
c. Are research agendas and/or project descriptions sufficiently detailed to describe study requirements to include de-
liverables?
d. Are final study evaluations submitted to the COR or retained on file with local command when studies deemed
sensitive?
B– 5. Supersession
Not applicable.
B– 6. Comments
Help to make this a better tool for evaluating internal controls. Submit comments to Headquarters, Department of the
Army, Deputy Chief of Staff, G– 8 (DAPR– DPD), 700 Army Pentagon, Washington, DC 20310 – 0700.
8 AR 5–21 • 29 June 2018
Glossary
Section I
Abbreviations
ACPC
Arroyo Center Policy Committee
ACSIM
Assistant Chief of Staff for Installation Management
AMC
U.S. Army Materiel Command
ASA (ALT)
Assistant Secretary of the Army (Acquisition, Logistics and Technology)
ASA (CW)
Assistant Secretary of the Army for Civil Works
ASA (FM&C)
Assistant Secretary of the Army (Financial Management and Comptroller)
ASA (IE&E)
Assistant Secretary of the Army (Installations, Energy and Environment)
ASA (M&RA)
Assistant Secretary of the Army (Manpower and Reserve Affairs)
ASPMO
Army Study Program Management Office
CAR
Chief, Army Reserve
CG
Commanding General
CIO/G – 6
Chief Information Officer, G– 6
CNGB
Chief, National Guard Bureau
COR
contracting officer’s representative
DA
Department of the Army
DCS, G– 1
Deputy Chief of Staff, G– 1
DCS, G– 2
Deputy Chief of Staff, G– 2
DCS, G– 3/5/7
Deputy Chief of Staff, G– 3/5/7
DCS, G– 4
Deputy Chief of Staff, G– 4
DCS, G– 8
Deputy Chief of Staff, G– 8
FFRDC
Federally Funded Research and Development Center
AR 5–21 • 29 June 2018 9
FORSCOM
U.S. Army Forces Command
FY
fiscal year
HQDA
Headquarters, Department of the Army
MEDCOM
U.S. Army Medical Command
PA&E
program analysis and evaluation
PMG
Provost Marshall General
TRADOC
U.S. Army Training and Doctrine Command
TSG
The Surgeon General
USAAC
U.S. Army Accessions Command
USASMDC
U.S. Army Space and Missile Defense Command
USASOC
U.S. Army Special Operations Command
VCSA
Vice Chief of Staff of the Army
Section II
Terms
Staff years of technical effort
Direct professional and consultant labor, performed by researchers, mathematicians, programmers, analysts, economists,
scientists, engineers, and others who perform professional-level technical work primarily in the fields of studies and anal-
yses, systems engineering and integration, systems planning, program and policy planning, program and policy analysis,
and basic and applied research.
UNCLASSIFIED PIN 060406–000

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