Chapter 4
Waivable and Nonwaivable Enlistment Criteria


Section I


1-1. General rules
a. Prior to submission of a waiver the applicant’s packet must be completed (all sections marked as complete in Recruiter Zone (RZ)), passing SF-86 Validation, and all source documents and documents necessary to process the waiver type must be scanned into Electronic Records Management (ERM).
b. For multiple level waivers, all state level waivers will be processed and have a final disposition (approved/disapproved) prior to NGB level waivers being submitted to determine enlistment eligibility.
c. The Waiver Action Tracking System (WATS) is a waiver workflow processing system that is used to track administrative and moral waiver requests performed at the State and NGB. All Waivers analysts/State Operations will utilize this system for all waivers. Any administrative or moral waivers performed outside of WATS will be invalid and cannot be used for enlistment.
d. The Medical Action Tracking System (MATS) is used to facilitate the medical accession waiver process for the ARNG. All medical waivers performed will be entered into and approved using MATS.

1-2. Approving authority
a. Enlistment waiver authorities are established at two levels: Director, Army National Guard (DARNG) and the individual TAGs. The DARNG further delegates waiver authority for selected moral and administrative disqualifications to TAGs of the individual States and territories. TAG may further delegate waiver authority, but no lower than the rank or position of Military Personnel Officer (MILPO).
b. NGB waiver authority has been delegated from DARNG to the Guard Strength Maintenance Division (ARNG-GSS-I).
c. Waivers of multiple disqualifications involving approval by separate levels of authority will be approved by the highest approval authority. For dual waivers requiring a conduct and medical waiver, the conduct waiver must be approved before submission of medical waiver.

1-3. Disapproving authority
Recruiters do not have the authority to disapprove a waiver request or refuse to forward to the approval authority.
a. Commanders can disapprove, but not approve, moral and administrative waivers for applicants not meeting the prescribed standards. This can be delegated to the RRNCOIC. RRNCOIC disapprovals will be accomplished using the Army Recruiting Information Support System (ARISS) Leader Zone (LZ) application. When the RRNCOIC reviews the waiver request in LZ, they have the option to recommend approval and forward the workflow, or disapprove the request which will stop the workflow at their level. Justification of the disapproval will be annotated in the ARISS Remarks section of the workflow in LZ.
b. Approval authorities are required to review the waiver request and all documentation on an individual basis and determine if it is meritorious prior to approving, disapproving, or forwarding recommendations to higher headquarters. When a waiver is disapproved below DARNG level do not forward to the approval authority. If a waiver is disapproved (moral and administrative) the waiver cannot be resubmitted for six-months from the date of disapproval or when additional documentation has been submitted. Disapproved medical waivers cannot be resubmitted unless a change in medical status occurs. No member of a recruiting battalion has the authority to preclude an applicant who is otherwise qualified for enlistment in accordance with AR 601-210 and current NGB policy from requesting a waiver.

1-4. Validity period
Unless otherwise stated on waiver cover sheet or document, administrative and moral waivers are valid for six-months from approval date unless a change in status occurs. Applicants who acquire additional offenses or disqualifications after waiver approval must resubmit waiver for reconsideration before enlistment. Medical waivers are valid for the duration of the physical examination. Applicants who received a conduct waiver for enlistment into any component and were subsequently discharged prior to shipping must process a new waiver prior to enlisting.

P-1d. Waivers from other services
Waivers approved by other branches of service (Air Force, Navy, Marine Corps, and Coast Guard) are not authorized.

2-1. Routing of waiver requests
a. Waiver requests (with the exception of medical waivers) will be initiated by the RRNCO in RZ and forwarded to the RRNCOIC. RRNCOIC will review waiver requests and make recommendations to the State recruiting operations for approval. This action will be accomplished in LZ. The State recruiting operations will review waiver requests and if recommending approval will send a workflow to ARNG-GSS. Waivers will not be forwarded to ARNG-GSS if a TAG disapproves the waiver.
b. If waiver approving authority is TAG, once a determination has been made by TAG, a workflow will be initiated and completed using WATS to reflect the approval/disapproval.
c. Approval Memorandums must be scanned into ERM under Waiver Cover Letter.

Section II
Nonwaivable Disqualifications

4-3. Multiple Waivers
Applicants requiring-

a. Four or more State AG level waivers are ineligible for enlistment.
b. Two or more NGB level waivers (excludes medical and telephonic waivers) are ineligible for enlistment.
c. Three or more State AG level waivers combined with 2 or more NGB level waiver (excludes medical) are ineligible for enlistment.

4-22. Nonwaivable medical, conduct, and administrative disqualifications
The following disqualifications cannot be waived:

a. Intoxicated or under influence of alcohol or drugs at time of application, or at any stage of processing for enlistment.
b. Having history of psychotic disorders or state of insanity at time of application for enlistment.
c. Questionable conduct character.
d. Alcoholism.
e. Drug dependence.
f. Sexual perversion.
g. Persons with a conviction of murder.
h. Person unable to present written evidence (official documents) of PS claimed, until such Service has been verified.
i. Person whose enlistment is not clearly consistent with interests of national security under AR 601-280.
j. Person retained on AD under AR 601-280 with annotation “not eligible for security clearance or assignment to sensitive duties, AR 601-280.”
k. Criminal or juvenile court charges filed or pending against them by civil authorities. Note - Pending charges include unpaid traffic violations. Authorized reception battalion commanders and IET commanders may consider that, in certain meritorious cases, unpaid minor traffic tickets that are subsequently paid after entry did not constitute fraudulent entry. In those limited circumstances, separation processing under AR 635-200, chapter 7, is not required. All other cases meeting the provisions of fraudulent entry criteria must be processed in accordance with AR 635-200.
l. Person under civil restraint, such as, confinement, parole, or probation.
m. Subject of initial civil court conviction or adverse disposition for more than one major misconduct offense.
n. Person with a civil conviction of a major misconduct offense with any one of the following:

(1) Three or more offenses (convictions or other adverse dispositions) other than traffic.
(2) Applicants with juvenile major misconduct offenses who have had no offenses within 5 years of application for enlistment may be considered for a waiver in meritorious cases without regard to paragraph m above.

o. Subject of initial court conviction or other adverse disposition for sale, distribution, or trafficking (including “intent to”) of cannabis (marijuana), or any other controlled substance.
p. Person with 2 or more convictions/OAD within the 3 years preceding application for enlistment for driving while intoxicated, drugged, or impaired.
q. Confirmed third positive result for alcohol or marijuana; confirmed second positive test for drugs other than marijuana (tests administered at MEPS)
r. Person with convictions or other adverse dispositions for 6 or more misconduct offenses that occurred prior to an application for enlistment.
s. Person with conviction/OAD of 2 or more separate charges of possession of any illegal drugs/drug paraphernalia within 3 years preceding application for enlistment.
t. Person with PS who incurs a major misconduct conviction during or after military Service.
u. Person with PS who has tested positive at MEPS for any drug use.
v. All applicants (officer and enlisted) who received a felony conviction for a sexual offense as listed below and in AR 27-10, chapter 24, are not eligible for enlistment or appointment. Further, personnel separated as a result of the convicted sex offender policy are not eligible to enter or reenter the three components of the Army. There is no grandfather clause to this policy. A review of the applicability regarding this regulatory provision to any applicant will be made by the ARNG-GSS-I. Applicants who are or have been listed on any Federal or State Sex Offender Registry may not enlist, no waivers are authorized.

(1) Rape.
(2) Carnal knowledge.
(3) Forcible sodomy.
(4) Sodomy of a minor.
(5) Conduct unbecoming an officer (involving any sexually violent offense, a criminal offense of a sexual nature against a minor, or kidnapping a minor).
(6) Prostitution involving a minor.
(7) Indecent assault.
(8) Assault with the intent to commit rape or sodomy.
(9) Indecent act with a minor.
(10) Indecent language to a minor.
(11) Kidnapping of a minor (not by a parent).
(12) Pornography involving a minor.
(13) Conduct prejudicial to good order and discipline or assimilative crime conviction (involving any sexually violent offense or a criminal offense of a sexual nature against a minor or kidnapping of a minor).
(14) Attempt to commit, conspiracy to commit, or solicitation to commit any of the offenses in paragraphs 1 through 13, above.

w. Waivers are not authorized for confirmed positive results for the presence of Human Immunodeficiency Virus (HIV) or antibody (AR 40-501).

4-23. Nonwaivable disqualifying military separations or discharges
The following are nonwaivable separations and or discharges:

a. Physically disqualified on order to AD.
b. Military Personnel Security Program.
c. Release from entry on AD by reason of physical disability and reverted to inactive status for the purpose of retirement under 10 USC 12731 through 12738, instead of discharge with entitlement to receive disability retirement pay.
d. Physical disability resulting from intentional misconduct or willful neglect, or incurred during period of un-authorized absence. No entitlement to severance pay.
e. Rescinded.
f. Desertion or dropped from rolls. Includes AWOL greater than 30 consecutive days.
g. Alien without lawful admittance or legal residence in the United States.
h. Permanently retired by reason of physical disability.
i. Retirement after 20 years of active Federal Service.
j. Officers removed from active or inactive Service by reason of having attained maximum age or Service (AR 140-10).
k. Discharged by reason of conscientious objection (AR 600-43).
l. Previous separation for unfitness, unsuitability, unsatisfactory performance, misconduct, or bar to reenlistment, with 18 or more years of active Federal Service completed.
m. Applicant for retirement and persons receiving retired, retirement, or retainer pay, except for combat-wounded personnel (see chap 5, sec XIII). This prohibition is not applicable to reservists who are members of the Retired Reserve and who are not receiving retired, retirement, or retainer pay.
n. Person with a bad conduct, dishonorable discharge or discharged under other than honorable discharge.
o. Person with PS last discharged from any component of the Armed Forces for drug or alcohol abuse or as rehabilitation failure during last period of Service.
p. Person barred from reenlistment by HQDA or ARNG and coded RE-4.

Section III
Adminstrative waivers / disqualifications

2-3. Administrative waiver procedures (IAW AOC Annex A Para 2-3)
a. Waiver requests received at MILPOs will be thoroughly reviewed and analyzed by the waivers analyst prior to submitting the waiver to TAG for recommendation or approval.
b. The waivers analyst will review the waiver packet to ensure all required documentation is included in the packet. The waivers analyst will also review the packet for administrative correctness and to ensure the applicant did not process with open charges.
c. The ARNG will not accept an administrative waiver from any other service. Waivers from other Army components will be reviewed.
d. Prior to the electronic submission of a waiver to DARNG, ensure the endorsement from TAG is included in the packet.
e. If applicant has law violations then include an applicant statement per AOC Annex A paragraph 2-2b of the offenses in the waiver packet.

4-15. Conscientious objection
a. The approval authority for enlistment is the DARNG. See AOC Annex A Table 2 for current waiver eligibility.
b. Conscientious objectors are persons who profess conscientious objections or religious convictions at time of application for enlistment that would restrict assignments and who desire to enlist as noncombatants.
c. The PS applicants who were previously conscientious objectors, but who are no longer conscientious objectors, must not have been discharged by reason of conscientious objection under provisions of AR 600-43.
d. The following documents are required for submission of a waiver under this paragraph:

(1) A memorandum prepared per instructions in paragraph 4-28.
(2) DD Form 1966 and SF 86.
(3) For PS, DD Form 214, DD Form 215, DD Form 220, or NGB Form 22.
(4) Letters that substantiate a claim to this status; information as required by AR 600-43, appendix B; and a personal letter expressing desire to enlist in the ARNG.
(5) Applicant’s current MEPS physical examination.
(6) A copy of applicant’s USMEPCOM PCN 680-3ADP or other authorized document that clearly displays applicant’s ASVAB date and results.

4-16. Reserve Component separations or transfers
A waiver is required for any applicant who is a current member of an RC who is pending adverse or administrative actions considered disqualifying under Chapter 4 and may not be processed until such action is completed. Waivers will be submitted based on final action in these cases.

4-18. Positive drug or alcohol test

AR 601-210 para 4-18 superseded by SMOM 15-026 Suspension of Enlistment Waivers. Guidance below from AOC Annex A para 2-5.
a. Any applicant or enlistee who or is confirmed positive for the presence of drugs or alcohol at time of original physical examination is not eligible for enlistment into the ARNG unless a waiver is granted. The commander will be notified of soldiers who test positive for drugs so the soldiers can be processed for separation in accordance with appropriate regulatory guidance.
b. Waiting periods are required under the following circumstances:

(1) Positive for marijuana and alcohol.

(a) If applicant’s first test is positive, they must wait 90 days from the date the results are posted before retest. ARNG-GSS-I is the approving authority.
(b) If applicant’s second test is positive, applicant is permanently disqualified and no waivers or exceptions to policy will be considered.

(2) Positive for cocaine or any other drug tested for (excluding marijuana).

(a) If applicant’s first test is positive, the applicant is permanently disqualified.
(b) There are no waivers or exception to policy authorized for positive tests other than marijuana.

c. In the event an applicant states they tested positive for alcohol or drugs, but the MEPS neither has that physical on file nor information in the computer database, a waiver is required. The DD Form 2807-1 and DD Form 2808 will be the current physical. Annotate DD Form 1966, page 3, as follows: “Applicant tested positive for (disqualification) at the (city) MEPS in (year). Waiver processed on (date), and based on that information is approved.”
d. All applicants who test positive will be required to have police record checks accomplished as part of the waiver process regardless of any admission or record of civil offenses.
e. Applicants with an approved drug alcohol test waiver are prohibited from enlisting in any MOS or option that requires a security clearance.

4-19. Dependents
a. Any applicant who does not meet the dependent criteria of this regulation, and a waiver is authorized by the specific paragraph requires a waiver.
b. The approval authority for dependent waivers is the TAG.
c. The following documents are required for submission of a waiver IAW AOC Annex A:

(1) NGB 22-3 Request for Waiver.
(1) A dependency memorandum.
(2) DD Form 214, DD Form 215, NGB Form 22, and DD Form 220 as applicable.
(3) SF86 (Electronic) - must print signature pages.
(4) DA Form 3072-2 Financial Statement.

For Single Parent:

(5) DA Form 7666 Parental Consent.
(6) DA Form 7667 Family Care Plan Preliminary Screening.
(7) DA Form 5304 Family Care Plan Counseling Checklist.
(8) DA Form 5305 Family Care Plan.
(9) DA Form 5841 Power of Attorney.
(10) DA Form 5840 Certificate of Acceptance as Guardian or Escort.
(11) Divorce decree if applicable.

d. The Family Care Plan must be validated and approved by the commander of the unit the applicant will be assigned to prior to enlistment. DA Form 5304 may also be completed by the RRC, XO or designated operations officer.
e. Review the statement (must be notarized) from the person responsible for the care of dependents in cases of a dependency waiver, ensuring they are functionally able to care for the dependents with which they will be entrusted. In cases of a hardship waiver, ensure the statement supports the claim that the hardship no longer exists.

4-20. Applicants Discharged for Surviving Son or Daughter
a. Any applicant who was previously separated from any Component of the U.S. Armed Forces as a surviving son or daughter requires a waiver for enlistment. A surviving son or daughter refers to the only remaining son or daughter in a Family where the father, or mother (or one or more of the sons or daughters) served in the Armed Forces of the United States and because of the hazards with such military Service-

(1) Was killed or died as a result of wounds, accident, or disease.
(2) Is in a captured or missing-in-action status.
(3) Is permanently 100-percent physically disabled (including 100-percent mental disability), as determined by the Veterans Administration or one of the military Services.

b. The approval authority is TAG IAW AOC Annex A Table 2.
c. The following documents are required for submission of a waiver under this paragraph:

(1) DD Form 214, DD Form 215, NGB Form 22, and DD Form 220.
(2) DD Form 1966 and electronic security screening questionnaire.
(3) Statement, signed by applicant, requesting that the surviving person designation be withdrawn. This statement also will acknowledge that-

(a) Applicant is available for worldwide assignment, including combat-zone assignment.
(b) Future requests for separation based on survivor status may or may not be honored.
(c) Future requests for reassignment based on survivor status will not be honored.

(4) A copy of applicant’s USMEPCOM PCN 680-3ADP or other authorized document that clearly displays applicant’s ASVAB date and results.

4-24. Prior Service Applicants
a. The ARNG will not accept an administrative waiver from any other service or component of the Army. Although all previous discharges will be reviewed, administrative waivers will only be required for the last period of service (excluding IRR). Applicants currently in a RC of all other services that had a waiver approved for that RC must process a waiver for enlistment.
b. If an applicant received a RE-4 from the U.S. Army or a RE-4 or equivalent from another service, applicant is ineligible to enter the ARNG (waivers are not authorized). If an applicant received an RE-4 or its equivalent from another service that would have been ruled an RE-3 by the U.S. Army, treat the code as an RE-3. Note: A suitability review may be submitted to allow the RE code to be treated as an RE-3. Questionable cases may be forwarded to HQDA (DAPE-MPA) for consideration.

Section IV
Medical waivers / disqualifications

2-4. Medical waiver procedures (IAW AOC Annex A Para 2-4)
Reference: Color Vision Exceptions.
a. A request for medical waiver will be submitted with required documents if the applicant is otherwise qualified.
b. The ARNG will not accept a medical waiver from any other service. Medical waivers from other Army components will be reviewed.
c. The following steps will be followed in processing a medical waiver.

(1) Requests for all medical waivers will be submitted by the BN Operations for NPS medical waivers and waivers for PS disqualified during MEPS physical examination (PE). When the BN Operations receives notification that the applicant is disqualified, they will initiate the Medical Waiver workflow.
(2) A PS or GNPS applicant who was discharged from any component of the Armed Forces for the following reasons requires a medical waiver regardless of PE results at the MEPS. The approval authority is the ARNG Office of the Chief Surgeon (ARNG-CSG). BN Operations will submit the waiver following the same procedures as NPS applicants.

(a) Disability (Temporary, Permanent, Aggravation, Severance Pay, Not in line of duty)
(b) Disability (Existed Prior to Service, Physical Evaluation Board)
(c) Failure to meet medical procurement standards (excludes for Drug Abuse)
(d) Medically Unfit for Retention
(e) Physical Condition (includes: Physical Condition not a disability)
(f) Personality Disorder (includes Character or Behavior Disorder

(3) The ARNG-CSG has the authority under the provisions of AR 40-501, paragraph 7-8e, to revise the physical profiles for approved medical waivers of applicants processing for enlistment into the ARNG.
(4) Any change made by the ARNG-CSG to the physical profile of an approved medical waiver is valid for enlistment. For example: An applicant is disqualified by the MEPS physician and receives a 3 physical profile under the PULHES. The applicant receives an approved medical waiver with a new physical profile, either 1 or 2, which was changed by the ARNG-CSG. This is the correct physical profile used to enlist the applicant.
(5) Any changes made to an applicant’s physical profile by the Chief Surgeon will be stamped indicating the new physical profile on the workflow.

d. Recruiting personnel will not request the applicant perform an exercise in their presence or administer a physical fitness test.
e. Medical waivers are approved or disapproved based on the disqualification. The fact that an applicant has good mental test scores, no police record, and is motivated to enlist does not alter the medical disqualification.
f. Approved medical waivers will be valid for the duration of the physical.
g. Under height waivers up to 1 inch (for enlistment purposes only) may be approved by the Chief Surgeon for the ARNG. (ARNG-CSG via MATS). If approved, a control number must be received from ARNG-GSS-I via the ROC. Per AR 601-210, paragraph 4-5(e), height waivers require a memorandum submitted with applicant’s waist, shoe, and hat size.
h. Documents required for waiver consideration are detailed in MATS Required Documents Checklist.

Section V
Moral waivers / disqualifications

2-2. Moral waiver procedures (IAW AOC Annex A Chapter 2)
a. Waiver requests received at recruiting battalions will be reviewed and analyzed by the military personnel technician (waivers analyst), assistant operations NCO, or the operations noncommissioned officer in charge. The waiver will be thoroughly reviewed for accuracy. They will also review the packet to ensure the applicant did not process with open charges. The waivers expert and operations NCO will validate the packet’s completeness and forward it to the approving authority.
b. TAG or acting TAG (on orders) will interview all applicants requiring a serious criminal misconduct waiver. This requirement can be delegated to (but no lower than) the MILPO.
c. Applicants will submit a detailed description of all offenses. This account will be included as part of the documentation in the waiver packet.
d. Once a determination is made by TAG, the approval memorandum will be scanned into ERM under Waiver Cover Letter. The operations NCO or waivers analyst will then approve or disapprove the workflow in WATS upon receipt. For waivers requiring approval from ARNG-GSS, the memorandum requesting waiver will be scanned into ERM under memorandum requesting waiver and forwarded to ARNG-GSS for final determination.
e. If an applicant declines or requests termination of a pending waiver action, each level will notify the next level in the chain of command by e-mail or telephone to permit final disposition of suspense files.
f. Under the 09S Enlistment option, applicants who require civil conviction waiver per NGR 600-100, are not authorized to enlist until approved by ARNG-HRH-O. Approvals must be processed through ARNG-HRH-O via the eTRACKER-HRH.

3-1. Moral Waiver Suitability Determination (IAW AOC Annex A Chapter 3)
ARNG will adhere to the requirements for a moral suitability review as outlined in AR 601-210, paragraphs 4-2, 4-7, and all other references pertaining to moral suitability.

a. ARNG Accessions Suitability Office (ASO) is the final determination authority for moral suitability issues in the ARNG to include the following:

(1) Domestic violence/domestic crimes: If an applicant is originally charged with any type of domestic violence/domestic crime (as defined in AR 601-210), regardless of final disposition, requires a suitability review by the ASO.
(2) Sex crimes (any offense of a sexual nature): If an applicant has been originally charged with any type of sex crime, regardless of its final disposition, their application requires a suitability review by the ASO.
(3) Adult/juvenile felony charge(s) under the local law and any offense(s) listed as major misconduct (level 400), regardless of the final disposition.
(4) Actions as defined in AR 601-210, paragraph, 4-4c(2).
(5) Charges as listed in AOC Annex A Table 3.
(6) Under the 09S Enlistment option, applicants who require civil conviction waiver per NGR 600-100, are not authorized to enlist until waiver is approved by NGB (HRH-O).

b. The ASO will not process waivers, but will recommend follow-on actions to be conducted to clarify any deficiencies.
c. A suitability review will be processed via GCRc workflow exceptions with subsequent recommendation by the State waiver liaison recommending approval.
d. The required documentation for the submission of suitability reviews, include but are not limited to, completed Security Clearance Application (SF 86), all police reports, court documents, probation reports, DD Form 369s, hand written detailed applicant statements for all offenses (except traffic), and NGB form 22-3 listing all offenses (including traffic) regardless of disposition. The whole person concept will be applied in determining the applicant’s moral qualification for enlistment. Areas of consideration under this concept are: Number of offenses, severity of the charges, actual sentence, applicant’s age at the time of violation, and favorable comments from probation and parole officers.
e. Exceptions to the suspension policy can be considered for TAG waivers on a case by case basis. PS applicants who were awarded medals for valor, wounded in combat or completed an honorable term of service (excluding IRR) may be considered for exceptions. Administrative waivers for discharges involving misconduct will not be considered.

4-4. Listing of offense categories
a. Refer to Table A for listing of traffic, minor non-traffic, misconduct, and major misconduct offenses.
b. Refer to Table B for waiver/suitability review authority for law violations/criminal offenses.

4-4 & 4-30. Rules governing conduct waivers
a. All offenses, regardless of their outcome or place of offense (includes crimes committed outside the United States) will be listed on SF 86. A person arrested, cited, charged, or held for an offense or offenses and allowed to plead guilty to a lesser offense will list the original charges and also the lesser offense to which a plea of guilty was entered. For example, a person arrested for grand larceny and 2 counts of criminal possession of stolen property pled guilty to 2 counts of criminal possession of stolen property, value of less than $500. In this example, the applicant requires a conduct waiver. However, waiver is not needed if an arrest or questioning does not result in referral of charges, or if charges are dismissed without a conviction or other adverse disposition. Incident must be listed on SF 86. Charges will not be combined (stacked) in order to be viewed as one charge. All charges must be considered for waiver purposes. Doubtful cases will be referred to ARNG-GSS-I.

b. Applicants who are granted release from charges at any stage of court proceedings if they will apply or be accepted for enlistment in any U.S. Armed Forces are not qualified for enlistment. Questionable cases will be referred to ARNG National Security Manager (ARNG-GSS-I).

c. Applicants who, as a condition for any civil conviction or adverse disposition or any other reason through a civil or criminal court, are ordered or subjected to a sentence that implies or imposes enlistment into the Armed Forces of the United States are not eligible for enlistment unless-

(1) The condition is removed by the same or higher authority imposing the sentence.
(2) The condition is removed by virtue of expired period of sentence.
(3) The condition is over 12 months from imposition and the court, city, county, or State no longer obligates the applicant to this condition.

d. An adverse disposition does not include those that the only disposition was court costs or attorney fees imposed.

e. To ensure equal treatment to all persons applying for enlistment, despite the variance in State statutes, the rules below are guides to those responsible for processing waivers.

(1) Civil court conviction. This term means a judgment of guilty or an accepted plea of nolo contendere is entered in a court’s records for persons tried as adults regardless of-

(a) Whether or not sentence then was imposed, withheld, or suspended.
(b) Later proceedings that deleted an initial determination of guilt from court records, based on evidence or rehabilitation or completion of a satisfactory probationary period. (Examples of later proceedings in adult offender cases include pardon, expungement, amnesty, setting aside the conviction, and reopening of the case to change the original finding of guilty and to dismiss all of the charges unless new findings in the case would have resulted in an original verdict of not guilty. Such later proceedings recognize rehabilitation. They do not change the fact that the offender committed the criminal act.)

(2) Other adverse dispositions. This term includes all law violations that are not civil court convictions, but which resulted in an arrest or citation for criminal misconduct, followed by the formal imposition of penalties or any other requirements upon the offender by any governmental agency or court.

(3) Examples of other adverse dispositions. Some examples of other adverse dispositions include-

(a) Admission into diversionary or similar programs.
(b) Admission into an adult first-offender program.
(c) Deferred acceptance of guilty plea programs or probated sentence.
(d) Tried as a youthful offender.
(e) Enrollment in supervision programs.
(f) Orders to pay restitution, pay a fine, serve community Service, attend classes, or serve probationary periods that do not constitute civil court convictions.
(g) Adjudication withheld and suspended imposition of sentence.
(h) Unconditional suspended sentence and unsupervised unconditional probation. These terms are defined as a court-imposed suspended sentence or probationary status.
(i) Applicants with law violation(s) that occurred while attending school and were given the option to be suspended, expelled, or removed from the school or the school district in exchange for not being criminally prosecuted.

(4) Later proceedings. Later proceedings delete an initial determination of guilty or commission of alleged misconduct from court or agency records. Examples of later proceedings used in Federal and State courts include-

(a) Expungement.
(b) Record sealing.
(c) Setting aside the adjudication or reopening cases to change the original findings/pleas of admission of guilt to not guilty.
(d) Dismissal of the original petition.

(5) Juvenile delinquent. This term includes disposition as a juvenile delinquent, wayward minor, youthful offender, delinquent child, or juvenile offender, and declaration of the juvenile as a ward of the court. The term does not include disposition of the juvenile as dependent, neglected, or abandoned.

(a) A conviction exists if a juvenile (applicant under age 18) is tried and convicted as an adult. DD Form 369 may be modified to include a statement in the remarks section that asks the following: “Was subject tried and convicted as an adult?” Unless court records indicate otherwise, applicants who were juveniles at the time of the offense have an adverse disposition.
(b) Because all States have varied laws with regard to juveniles being tried as an adult, recruiters through their chain of command should consult with their supporting Judge Advocate when questionable cases arise.

(6) Nolo contendere. Applicants who have entered a plea of nolo contendere that was accepted by the court despite later processing in the same case to permit dismissal, expungement, amnesty, pardon, or clemency based on any of the following are considered to have a conviction:

(a) Absence of later violations
(b) Evidence of rehabilitation
(c) Satisfactory completion of a period of probation or parole
(d) Any other legal appeal that does not change the original finding on its merit.

f. Some States have procedures for a later “expunging of the record,” dismissal of charges, or pardon (on evidence of rehabilitation of the offender). Such action removes the “initial conviction” or “other adverse disposition” so that, under State law, the applicant has no record of conviction or adverse juvenile adjudication. Despite the legal effect of this action, a waiver authorizing RA, AR, or ARNG enlistment of such an applicant may be required, and the underlying facts must be revealed.

g. Non judicial punishment under UCMJ, Article 15 and military court-martial proceedings must be listed but will not count toward waiver thresholds; however, these will be considered toward the whole person concept.

h. Typical offenses are as follows-

(1) The lists of typical offenses shown in these paragraphs/tables are guides. It is not practical to list all offenses. Treat offenses in each paragraph and those of a similar nature according to the type of offenses listed in the paragraph despite their classification under state law and whether the determination is deemed a conviction or adjudication under state law. The offenses listed in Table A will be considered to have the elements of those offenses under the common law or the UCMJ when no such common law exists.

(2) If the maximum confinement under local law is 6 months or fewer, the offense should be treated as a minor non-traffic offense. If the maximum confinement under local law exceeds 6 months, but does not exceed 1 year, treat the offense as a misconduct offense. If the maximum confinement exceeds 1 year, treat the offense as a major misconduct. If the local law considers the offense a felony, then treat as a major misconduct.

4-7. The Lautenberg Amendment
a. The Domestic Violence Amendment to the Gun Control Act of 1968 (18 USC 922) “The Lautenberg Amendment,” makes it unlawful for any person to transfer, issue, sell or otherwise dispose of firearms or ammunition to any person whom they know or have reasonable cause to believe has been convicted of a misdemeanor crime of domestic violence. It is also unlawful for any person who has been convicted of a misdemeanor crime of domestic violence to receive any firearm or ammunition that has been shipped or transported in interstate or foreign commerce. Enlistment of applicants with a qualifying conviction is prohibited and no waivers will be approved. Soldiers with a qualifying conviction will be barred from reenlistment. Applicants who have enlisted in the ARNG who are found to have a qualifying conviction will be separated from the ARNG. For the purpose of this paragraph only, the following definitions apply:

(1) Crime of domestic violence. An offense that involves the use or attempted use of physical force, or threatened use of a deadly weapon committed by a current or former spouse, parent, or guardian of the victim; by a person with whom the victim shares a child in common; by a person who is cohabiting with or has cohabited with the victim as a spouse, parent, or guardian; or by a person who was similarly situated to a spouse, parent, or guardian of the victim. Persons who are similarly situated to a spouse include two persons who are residing at the same location in an intimate relationship with the intent to make that place their home.

(2) Qualifying conviction. A state or federal conviction for a misdemeanor crime of domestic violence and any general or special court-martial for an offense that otherwise meets the elements of a crime of domestic violence, even though not classified as a misdemeanor or felony. A qualifying conviction does not include a summary court-martial conviction or the imposition of nonjudicial punishment under Article 15, UCMJ. By DOD policy, a State or federal conviction for a felony crime of domestic violence adjudged on or after 27 November 2002, will be considered a qualifying conviction for purposes of this regulation and will be subject to all the restrictions and prohibitions of this regulation. A person will not be considered to have a qualifying conviction unless the convicted offender was represented by counsel or knowingly and intelligently waived the right to counsel, and, if entitled to have the case tried by a jury, the case was actually tried by a jury, or the person knowingly and intelligently waived the right to have the case tried by a jury; and, the conviction has not been expunged or set aside, or the convicted offender has not been pardoned for the offense, or had civil rights restored; unless the pardon, expungement, or restoration of civil rights provides that the person may not ship, transport, possess, or receive firearms.

4-16. Reserve Component separations or transfers
A waiver is required for any applicant who is a current member of an RC who is pending adverse or administrative actions considered disqualifying under chapter 4 and may not be processed until such action is completed. Waivers will be submitted based on final action in these cases.

4-24. Prior Service Applicants
a. PS must reveal all law violations, regardless of the final disposition or when they occurred, on their SF86.
b. Charges incurred during and after the last Expiration Term of Service (ETS) (excluding IRR) are considered current. Charges incurred prior to that period of service are not considered current, except as described in c below. If the applicant did not ETS, all charges are considered current. Questionable cases may be forwarded to the ASO for review.
c. When current charges meet waiver thresholds or when current charges (when added to charges that occurred prior to military service) would raise the approval authority of the waiver, all charges are considered current.

4-28. Conduct waiver documents
The following documents are required for submission of a conduct waiver

a. Police checks and court documents, as required. Police record checks are not required for traffic offenses.
b. Documents from probation or parole officer that show applicant has satisfactorily completed probation or parole.
c. Documents from correctional facility at which detained. Police record checks are not required for traffic offenses.
d. Reference letter from employers for 1 year preceding application, schools attended in last 3 years preceding application (to include transcripts if currently attending college). If the applicant states that seeking a reference letter from an employer will jeopardize employment, a reference letter is not required. Each waiver request must explain all periods of unemployment of 3 months or more during the preceding year (not required for battalion-level waivers, unless the battalion commander requires it).
e. Applicant’s current MEPS medical examination for major misconduct level waivers.
f. DD Form 214, DD Form 215, NGB Form 22, and DD Form 220, as applicable.
g. DD Form 1966 and SF 86, section III, civil offenses.

4-32. Waiting period
Note: IAW Para 4-7 Applicants who received a conviction or other adverse disposition for a major misconduct offense will incur a 24-month wait from the date of conviction prior to waiver processing.
a. The waiting period provides the reviewing authority the ability to evaluate the extent of the applicant’s rehabilitation. For PS personnel, waiting periods listed in paragraph b below, apply only to offenses and periods of confinement since date of last separation from active military service. Waiting periods do not apply to minor traffic or non-traffic offenses, unless a waiver is required. CNGB may lengthen minimum waiting periods.
b. Waiting periods following civil restraint for waiver submission are as follows:

(1) If an applicant was on parole, probation, or suspended sentence after period of civil restraint has been concluded may process or submit a waiver once all court ordered requirements are completed.
(2) If an applicant had confinement as a juvenile or an adult of less than 15 days, a 3-month waiting period is required before an applicant can process or submit a waiver. As an exception, the recruiting battalion commander may waive up to 45 days of the waiting period if the applicant was sentenced only to a fine and, as an alternative, elected to serve a confinement period. Written verification from the court imposing the sentence is required. Any waiting time reduced by the recruiting battalion commander when applicable will be annotated on a separate memorandum or the waiver document.
(3) If an applicant had confinement as a juvenile or adult for 15 days or more, a 6-month waiting period is required before they can process or submit a waiver. As an exception, the recruiting battalion commander may waive up to 3 months of the 6-month waiting period if the applicant is sentenced to a fine and, as an alternative, elected to serve a confinement period. Written verification is required from the court imposing the confinement. Any exception granted by the recruiting battalion commander must be annotated in the remarks section of DD Form 1966, and be noted on the waiver memorandum if a waiver was required.
(4) The above waiting periods do not apply to minor traffic violations when state law or court practices imposed periods of restrictions, supervision, or informal probation periods until fine is paid. They also do not apply to unsupervised traffic probation for minor traffic offenses.

4-33. Required investigations
a. Enlistment will be suspended, pending an investigation of the case (for example, completion of police records check, copies of court documents, discussion with probation officer, or review of correctional facility records, as applicable). Processing may continue if the applicant-

(1) Admits to a record (including arrests, charges, other adverse dispositions, and convictions)
(2) Does not admit to a record, but the enlisting agency has reason to believe such a record exists.

b. For persons admitting to an arrest record-

(1) Who states that later conviction or other adverse dispositions occurred, a waiver is required as a self-admitted or alleged record (if such offenses require a waiver) when one of the following applies:

(a) Civil authorities refuse to furnish the information.
(b) No record of the information exists.
(c) Applicant is unable to obtain the records.
(d) Offense occurred outside the United States, its territories, or possessions and obtaining a police record check is prohibited.

(2) Who states that no conviction or other adverse dispositions occurred, a waiver to permit enlistment is not required when one of the following applies:

(a) Civil authorities refuse to furnish the information.
(b) Applicant is unable to obtain the records.
(c) Offense occurred outside the United States, its territories, or possessions and obtaining a police record check is prohibited.

c. The investigation will include-

(1) All documents required for enlistment and all documents required for a conduct waiver if required.
(2) Police record checks as required by this regulation.

4-34. Pending charges-civil restraint
Recruiting personnel will not-

a. Take part directly or indirectly in release of a person from pending charges so that they may enlist in the Army as an alternative to future prosecution, or further adverse juvenile, or adult proceedings. Equally important, recruiting personnel will in no way contribute, either directly or indirectly, to the false notion that the Army condones such a practice. Persons subject to a pending charge are not eligible for enlistment; therefore, they are not eligible for pre-enlistment processing to determine mental or medical eligibility.

b. Take part in any way in obtaining release of a person from any type of civil restraint so that they may enlist or complete enlistment processing to determine enlistment eligibility. The term civil restraint includes confinement, probation, parole, and suspended sentence. Accordingly, persons under the type of civil restraint that makes them ineligible for enlistment are not eligible for processing to determine mental and medical eligibility for enlistment, except for those individuals authorized to take the ASVAB test in accordance with Chapter 2.

c. Process any person who has a doubtful criminal status. For example, while not classified as a specific “pending charge,” an applicant may have a possible indictment or arrest pending; further, the recruiter may have obtained information that indicates the applicant’s character may be questionable. These situations cannot be defined as an absolute in the qualification or disqualification process. When doubt exists as to the possible pending arrest, indictment, or pending nature of an offense, clarification must be obtained through the chain of command. For example, clarify, via the chain of command, an applicant’s eligibility and “questionable conduct character” if the applicant claims no arrest record and no pending charge, but local law enforcement officials indicate that the applicant is a suspect and it is possible that charges are about to be filed. Document any decision on such matters on DD Form 1966, remarks section or attach a memo for record to the residual file indicating the result and the decision on the matter.

4-36. Unsupervised probation
a. Applicant may enlist if currently on unsupervised probation for offenses listed below and provided the individual has no restriction of movement, has paid all fines, and has completed all other conditions (such as community service or restitution), and no further court action is pending or contemplated.
b. The offenses that apply to this rule are the following-

(1) All minor traffic offenses as listed in Table A.
(2) Certain typical minor nontraffic offenses, as listed in Table A. These offenses are limited to the following-

(a) Curfew violation.
(b) Damaging road signs.
(c) Disorderly conduct (original charge); creating a disturbance; boisterous conduct.
(d) Dumping refuse near a highway.
(e) Jumping a turnstile (to include those States that adjudicate jumping a turnstile as petty larceny).
(f) Juvenile adjudications (beyond parental control), incorrigible, runaway, truant, or wayward.
(g) Littering.
(h) Loitering.
(i) Purchase, possession, or consumption of alcoholic beverages or tobacco products by a minor.
(j) Robbing an orchard.
(k) Vagrancy.
(l) Violation of fireworks law.
(m) Violation of fish and game laws.
(n) Violation of leash laws.

Section VI
Retain Procedures

IAW AOC Annex A Chapter 4

4-1. Post Enlistment Arrests
a. Soldiers who incur offenses after enlistment but prior to shipping to IADT must follow the following procedures. No soldier will be allowed to ship to IADT with; unpaid fines; pending court date; on probation (See AR 601-210, paragraph 4-36 for unsupervised probation exceptions); or unresolved charges.

(1) Police checks must be ran per AR 601-210 paragraph 2-11b(3). Court records are required showing all conditions have been met and the case has been closed. New police checks are required if new arrest or convictions occurs after previous checks were conducted. If the MOS requires a security clearance then all new law violations must be reported to the Central Adjudication Facility (CAF) by the state security manager by filing an incident report on the JPAS website.
(2) Soldiers with new traffic and minor-non traffic (100 and 200 level) offenses may be approved by the RRB operations to ship. Approval must be processed through GCRc. A retain workflow will be initiated and approved/disapproved by the operations section, no TAG endorsement required. The operations person completing the workflow will validate that all required documents are present in ERM, the law violations are closed with the court and that the Soldier still meets the MOS qualifications as outlined in DA PAM 611-21.
(3) Soldiers with new misconduct or major misconduct (300 and 400 level) offense(s), regardless of disposition, require an ASO retain exception. No retain endorsement required. The RRB operations will verify the status of the case and that the documents are in ERM then forward the retain workflow to the ASO.
(4) Soldiers requiring training who have had law violations and no longer meet the enlistment eligibility as outlined in AR 601-210 or MOS qualifications as outlined in DA PAM 611-21 will have their unit commander (or designated representative) notified by the RSP.
(5) If a retaining action is approved then renegotiation into a MOS for which the Soldier is qualified will only be performed with the Soldier present.

4-2. Concealed offenses revealed after enlistment
a. Soldiers who conceal an offense that would have required a waiver will be discharged. The Soldier must wait one year from the date of separation prior to submitting a request for a fraudulent enlistment waiver from the TAG along with any additional waivers required.
b. Soldiers who conceal an offense (other than traffic) that would not have required a waiver will not be immediately discharged. The Soldier must receive a retain endorsement from the MILPO or higher within 72-hours of notification of rap sheet and an approval from the ASO.
c. Soldiers who conceal traffic offenses that would not have required a waiver will require an approved retain exception by the MILPO or higher. Does not require a retain exception from ASO.
d. The retain endorsement will include, but is not limited to, why the Soldier failed to disclose the law violation, documentation that a meritorious case exists to warrant an exception to the standards established in AR 601-210, and if there was any involvement by recruiting personnel to conceal the offense(s). If Recruiter or Guidance Counselor impropriety is suspected, TAG will initiate a Recruiting Impropriety (RI) investigation per NGR 601-1. All requests for retain exceptions will have police, court and probation records per AR 601-210 paragraph 2-11.
e. Prior Service Field Enlistments (no training required) that are identified as a positive match will be processed for retain by NGB ARNG-GSS-I. REQUEST reservation must be cancelled with cancellation code FE the same day the rap sheet is received by MEPS GC. Retain exception will not be processed if reservation has not been cancelled.
f. Prior Service non-trainers will have their unit commander (or designated representative) notified of the fraudulent enlistment in writing by the MEPS GC for procedures per AR 135-178, paragraph 7. MEPS will keep a copy of the notification on file for two-years.

Section VII
Prior Service/GNPS military separations/discharges

4-13. Prior Service Military
Any PS applicant enlisting from any Service with a separation or reentry code requiring a waiver (waiting period not otherwise covered in chap 4) may not process until 90 days has elapsed from separation date. PS must list all UCMJ, Article 15, courts martial convictions, and lost time. Refer to Table C for a listing of discharge narratives that are acceptable and those that are disqualifying.

4-13. Bar to Reenlistment
A waiver is required for any applicant who is separated or discharged from the RA, ARNG, or AR with a field bar to reenlistment issued per AR 140-111 or NGR 600-200, or who was denied extension or reenlistment by any other component of the Armed Forces at time of last separation or discharge. The approval authority for such waivers is the CNGB for ARNG.

4-14. Absent without leave (AWOL) or lost time
a. Any applicant who, during their last period of Service, was absent without leave (AWOL) or had lost time of 5 days or fewer regardless of the type of separation or RE code is required to have a waiver for enlistment. TAG is approval authority.
b. Any applicant who, during their last period of Service, was AWOL or had lost time of 6 days or more except those who were otherwise fully eligible to re-enlist at separation, as indicated by their RE and SPD codes, is required to have a waiver for enlistment. ARNG-GSS-I is approval authority.
c. Any applicant who, during their last period of Service, was AWOL or had lost time for more than 30 consecutive days, regardless of the type of separation or RE code, is considered to be dropped from rolls, waiver not authorized.

4-16. Unsatisfactory Participation
Note: ARNG requires NGB level waiver IAW AOC Annex A Table 2.
A waiver is required for any applicant who has been transferred to the IRR or other Services control group for being an unsatisfactory participant and is not currently serving satisfactorily in a troop unit. Waiver may be submitted, although a waiver is not required for enlistment in RA or RC after 6 months has elapsed from date of transfer to the IRR. For applicants that were not transferred to the IRR, a waiver may be submitted 12 months after date of discharge. The approval authority is CNGB for ARNG.

4-13. Waiver documents
The following documents are required for submission of a waiver-

a. Letter from applicant explaining circumstances surrounding reason for waiver. The PS applicant must address reason for separation or discharge.
b. DD Form 214, DD Form 215, NGB Form 22, and DD Form 220.
c. DD Form 368, if required.
d. DD Form 1966, SF 86, and NGB Form 22-3.
e. A copy of applicant’s USMEPCOM PCN 680-3ADP or other additional documents that clearly displays ASVAB results and PULHES (or REDD Scores).
f. If separated for hardship, parenthood or dependency, the following additional documents are required.

(1) DA Form 3072-2 (Applicant’s Monthly Financial Statement).
(2) Proof that prior condition upon which separation was approved no longer exists.
(3) Proof must be in the form of affidavits made by the person or organization on behalf of the applicant. Community members who are familiar with the applicant’s home condition of the applicant’s Family may also provide such substantiation. Any legal documents support the conclusion that the condition no longer exists may also be used.

Section VIII
Notification of Disqualification

Reference: SMOM 13-023

X-1. Procedures for recruiting personnel
Personnel in the recruiting force have the most direct interaction with ARNG applicants. Recruiters and Guidance Counselors have a duty to inform applicants of disqualification from service in the ARNG. The utmost professionalism and confidentiality will be used when informing an applicant of their type of disqualification. At no time will an applicant's disqualifying information be disclosed outside of the ARNG Recruiting Command channel.

a. When qualifying or disqualifying an applicant for enlistment, State TAG or HQ, NGB personnel will specifically cite the current policy which the enlistment eligibility decision is based. Example: 'The applicant is qualified/disqualified IAW AR 601-210, paragraph XX, or IAW SMOM 13-XXX, paragraph XX.' This will provide the Recruiter the information necessary to inform the applicant why he/she is qualified or disqualified. If the reason is not clear enough for the RRNCO or MEPS GC to provide a satisfactory explanation to the applicant, it will be the responsibility of the MEPS GC, State Operations personnel, State RRC Commander or RRC CSM to call the approval authority for clarification.

b. Recruiting personnel WILL NOT provide the applicant with a copy of the waiver or the Exception To Policy (ETP) workflow email approving, disapproving, or returning an ETP without action.

c. Recruiting personnel WILL NOT refer the applicant directly to HQ personnel, or provide applicants with email, phone numbers, or addresses of State TAG or HQ NGB personnel.

d. Applicants may ask for a reason as to why their waiver or ETP was denied. Recruiters will explain that in accordance with current Department of the Army and/or ARNG policy, the applicant's disqualification does not merit favorable consideration at the present time. Recruiting personnel may explain what is necessary to overcome the disqualifying factor(s), if possible, but are strictly prohibited in assisting in the process.

e. If an applicant requests the name of the approval authority, the RRNCO will explain that ARNG policy prohibits the disclosure of approval authority names and contact information. The applicant may only be told the final decision that was made by State or NGB level "HQ personnel".

f. If the applicant, parent or other influencer requests further explanation they will be referred through the chain of command to the State Recruiting Commander. Every effort should be made to resolve the issue at the lowest level.

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