CHAPTER 2

MILITARY CONDUCT AND JUSTICE

LEARNING OBJECTIVES

Upon completion of this chapter, you should be able to do the following:

1. Describe how to conduct a preliminary investi- 3. Describe the content of the Standard Organiza-gation of offenses. tion and Regulations of the U. S. Navy.

2. Recognize the purpose and content of U.S. 4. Explain the Status of Forces AgreementNavy Regulations. concerning members of the armed forces in

foreign countries.

The topics in this chapter deal primarily withregulations that senior enlisted personnel shouldbe aware of to perform their job with consistency.We will first examine the procedures for con-ducting a preliminary investigation of offenses.Then we will introduce you to the purpose andcontent of both U.S. Navy Regulations andStandard Organization and Regulations of theU.S. Navy. We will close the chapter with adiscussion of the Status of Forces Agreement(SOFA).

THE PRELIMINARYINVESTIGATION

At some point in your career, the legal officermay assign you to serve as a preliminary inquiryofficer (PIO). As the PIO you will conduct aninvestigation of offenses before a captain’s masttakes place. You will only investigate relativelyminor offenses that are not under investigationby the Naval Investigative Service (NIS) or a fact-finding body.

REPORT AND DISPOSITION OFOFFENSE(S) (REPORT CHIT)

Naval personnel may be reported for offensesinvolving military conduct or justice. A complaint

against someone goes through a series of stepsfrom the time it leaves the initiator to the timeof the preliminary inquiry.

The legal officer receives the complaint anddrafts charges and specifications against theaccused on a locally prepared report chit form.Following the guidelines of part IV of the Manualfor Courts-Martial, 1984 (MCM), the legal officerwrites the charges and specifications using court-martial language. The charges and specificationsare then typed on the NAVPERS 1626/7, Reportand Disposition of Offense(s) form (figs. 2-1and 2-2). The accused’s service record suppliesthe information required on the front of thereport chit. The legal officer or the person whosubmitted the complaint then signs the report.

The legal officer conducts a personal interviewwith the accused to inform, the person of hisor her rights under article 31(b) of the UniformCode of Military Justice (UCMJ). When theaccused acknowledges he or she understandshis or her rights, he or she then signs theACKNOWLEDGED block and the disciplinaryor legal officer signs the WITNESSED block.

THE ACCUSED SHOULD NOT BE INTER-ROGATED AT THIS TIME. The legal officershould determine and recommend to the com-manding officer or executive officer whatrestraint, if any, should be imposed at this time.

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Figure 2-1 .-Report and Disposition of Offense(s) Form (NAVPERS 1626/7) (Front).

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Figure 2-2.-Report and Disposition of Offense(s) Form (NAVPERS 1626/7) (Back).

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PRELIMINARY INQUIRY 4. Originals or copies of documentaryevidence

The legal officer forwards the report chit to 5. If the accused waives all his or her rights,you. Once you receive it, you can begin conducting a signed sworn statement by the accused;the preliminary inquiry of the reported offense. or a summary of the interrogation ofYou shouId usually conduct the inquiry informally. the accused, signed and sworn to by theYour final report on the preliminary inquiry accused; or bothshould consist of the following items: 6. Any additional comments you feel are

1.

2.3.

necessaryReport and Disposition of Offense(s)(NAVPERS 1626/7) ObjectiveInvestigator’s Report (fig. 2-3)Statements or summaries of interviews with Your primary objective in conducting theall witnesses; sworn statements, if possible preliminary inquiry is to collect all available(fig. 2-4) evidence pertaining to the alleged offense(s). Your

Figure 2-3.-lnvestigator’s Report.

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first step is to become familiar with thoseparagraphs of the Manual for Courts-Martial,1984 (MCM) describing the alleged offense(s).Part IV of the MCM describes those actions themilitary considers offenses. Within eachparagraph is a section entitled “Elements” thatlists the requirements for proof of the offense.Be careful to focus your attention on the correctelement of proof. Copy down the elements ofproof to help you in your search for relevantevidence. Your job is to search for anything thatmight prove or disprove an element of proof. Youmust remain impartial.

Your second objective is to collect informationabout the accused. That information will aid thecommanding officer in making proper disposition

of the case. The information will also help thecommanding officer decide what nonjudicialpunishment (NJP), if any, is appropriate. Itemsof interest to the commanding officer include:

The accused’s currently assigned duties

Evaluation of his or her performance

The accused’s attitudes and ability to getalong with others

Personal difficulties or hardships theaccused is willing to discuss

Statements given by supervisors, peers, andthe accused provide the best source of informa-tion about the accused.

Figure 2-4.-Witness’ Statement.

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Interrogate Witnesses

You can obtain a significant amount of infor-mation from the witnesses. Start by interrogatingthe person who initiated the report and thepeople listed as witnesses. You may discoverother persons having relevant information whenquestioning these people.

Don’t begin the inquiry by interrogating theaccused. The accused has the greatest motive forlying or distorting the truth—if the accused isguilty. Leave the interrogation of the accuseduntil last. Even when the accused has admittedguilt, you should first collect all other evidencecollaborating the confession of the accused.

Request that witnesses who have relevantinformation make a sworn statement. If youinterview a witness by telephone, write a summaryof the interview and certify it to be true.

Elicit all relevant information during yourinterview of a witness. One method is to start witha general survey question. Ask the witness to relateeverything he or she knows about the case. Thenfollow-up with more specific questions. Afterspeaking with the witness, help the witness writea statement that is thorough, relevant, orderly,and clear. The substance of the statement mustconsist of the witness’s thoughts, knowledge, orbeliefs about the accused. Limit your assistanceto helping the witness express himself or herselfaccurately and effectively in writing.

Figure 2-5.-Suspect’s Rights Acknowledgment/Statement (Front).

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Collecting Documentary Evidence

Collect documentary evidence such as ShorePatrol reports, log entries, watch bills, servicerecord entries, local instructions, or organizationalmanuals. Attach the original or a certified copyof relevant documents to the investigator’s report.Check to see if you, as investigator, have theauthority to certify relevant documents. If you do,write on the documents the words certified to bea true copy, and sign your name.

Collecting Real Evidence

Real evidence is a physical object, such as aknife used in an assault or a stolen camera in atheft case. Before seeking real evidence, become

familiar with the Military Rules of Evidenceconcerning searches and seizures. The Manual forCourts-Martial, 1984 contains the Military Rulesof Evidence. Take photographs of an object if itis too large to bring to NJP proceedings. Leavereal evidence in the custody of a law enforcementagency unless otherwise directed; however,personally examine the evidence.

Advise the Accused

Before questioning the accused, have theaccused sign the acknowledgement line on thefront of the report chit and initial any attachedpages.

Use the Suspect’s Rights Acknowledgment/Statement form (figs. 2-5 and 2-6) as a checklist

Figure 2-6.-Suspect’s Rights Acknowledgment/Statement (Back).

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to ensure you correctly advise the accused of hisor her rights before asking any questions. Whenyou first meet the accused, fill in this page as yourfirst order of business. You may serve as your ownwitness that you advised the accused of his or herrights by signing this form; no one else is required.

Interrogate the Accused

You may question the accused ONLY IF HEOR SHE HAS KNOWINGLY AND INTELLI-GENTLY WAIVED HIS OR HER STATUTORYRIGHTS. If the accused makes the waiver, recordit on the accused’s statement. If the accused askedyou if he or she should waive his or her rights,decline to answer or give advice. You are onlyauthorized to advise the accused of his or herrights. Never advise the accused on legal matters.Let the accused obtain a lawyer if he or she sodesires.

After the accused waives his or her rights,begin the questioning in a low-keyed manner.Permit the accused to give his or her own versionof the incident. When the accused has finishedpresenting the facts, begin to probe with pointedquestions. Confront the accused with incon-sistencies in the story or contradictions withother evidence. Remember, a confession that isnot voluntary cannot be used as evidence.Any confession that is obtained by coercion,unlawful influence, or unlawful inducement is notvoluntary.

The following are some examples of coercion,unlawful influence, or an unlawful inducement:

• Infliction of bodily harm, includingquestioning accompanied by deprivationof the necessities of life, such as food,sleep, or adequate clothing

• Threat of bodily harm

• Imposition or threats of confinement, ordeprivation of privileges or necessities

• Promises of immunity or clemency as toany offense committed by the accused

• Promises of reward or benefit, or threatsof disadvantage likely to induce the accusedto make the confession or statement

If the accused desires to make a written state-ment, make sure the accused has acknowledgedand waived all of his or her rights. You may help

the accused draft the statement, but you must becareful not to put words in the accused’s mouthor trick the accused into saying something he orshe does not intend to say. If you type the state-ment, permit the accused to read it over carefullyand make any necessary changes. The accusedshould initial any changes, and you should witnessthem in writing.

Oral statements are admissible into evidenceagainst the accused. If the accused does not wishto put his or her statements in writing, attach acertified summary of the interrogation to yourreport. If the accused makes a written statementbut omits some of the statements made orally, adda certified summary of items omitted from theaccused’s statement.

U.S. NAVY REGULATIONS

The 12 chapters of Navy Regulations (NavyRegs) describe the authority and responsibilitiesof the offices within the Department of the Navy.They also describe the regulations concerning theprocedures, authority, and command of thoseoffices. Navy Regs also covers honors andceremonies, the rights and responsibilities ofpersons in the Department of the Navy, and thepurpose and force of these regulations.

Each ship and station has complete copies ofNavy Regs available to all personnel. Alsoavailable is an excellent nonresident trainingcourse entitled Navy Regulations, NAVEDTRA13082, which you are encouraged to complete.Your educational services officer (ESO) can helpyou order this course.

The following sections list articles (with acondensation of their text, if appropriate) fromUnited States Navy Regulations, 1990 that seniorenlisted personnel in the Navy should know. Thislisting serves only as a starting place for you tolearn about Navy regulations. You are responsiblefor learning and obeying all regulations. Theseregulations are not punitive articles, but lawsunder which the Navy operates. Many existfor your own protection. Failure to obey anyregulation subjects the offender to charges underarticle 92, UCMJ (Failure to obey order orregulation).

When the article itself is self-explanatory, thearticle is presented in block quotation exactly asstated in Navy Regs; no further explanation isgiven. Articles that are lengthy and, in some cases,difficult to interpret are paraphrased to give youa brief overview of the contents of the article.

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STATUTORY AUTHORITY FORUNITED STATES NAVYREGULATIONS

Chapter 1 contains the 0100 article series. Thischapter discusses the origin of Navy Regs, thestatutory authority, issuance of other directives,and maintenance of Navy regulations.

0103. Purpose and Effect of United States NavyRegulations

United States Navy Regulations is theprinciple regulatory document of theDepartment of the Navy, endowed withthe sanction of law, as to duty, authority,distinctions and relationships of variouscommands, officials and individuals.Other directives issued within the Depart-ment of the Navy shall not conflict with,alter or amend any provision of NavyRegulations.

0107. Maintenance of Navy Regulations

The Chief of Naval Operations is responsiblefor maintaining Navy Regulations. Wheneverany person in the Navy believes a change to NavyRegulations is needed, that person should forwarda draft of the change through the chain ofcommand along with a statement of the reasonsfor the change. The Secretary of the Navy mustapprove all additions, changes or deletions toNavy Regulations.

THE DEPARTMENT OF THE NAVY

Chapter 2 covers the 0200 article series. Thischapter discusses the origin and authority of theDepartment of the Navy and briefly covers itsmission and composition.

THE SECRETARY OF THE NAVY

Chapter 3 covers the 0300 article series. Thischapter is divided into two sections and twosubsections. Section 1 outlines the responsibilitiesof the Secretary of the Navy. Section 2 describesthe composition, responsibility, and authority ofthe Office of the Secretary of the Navy. Section2A outlines the responsibilities of civilianexecutive assistants within the Office of the

Secretary of the Navy. Section 2B outlines theresponsibilities of staff assistants within theDepartment of the Navy.

THE CHIEF OF NAVAL OPERATIONS

Chapter 4 contains the 0400 article series. Thischapter describes the responsibilities of the Chiefof Naval Operations.

THE COMMANDANT OF THEMARINE CORPS

Chapter 5 covers the 0500 article series. Thischapter outlines the responsibilities of theCommandant of the Marine Corps.

THE UNITED STATES COASTGUARD (WHEN OPERATING AS ASERVICE IN THE NAVY)

Chapter 6 covers the 0600 article series.The United States Coast Guard is normally acomponent of the Department of Transportation;however, upon declaration of war or whendirected by the President, the Coast Guardoperates as a component within the Departmentof the Navy. This chapter assigns the duties ofthe Commandant of the Coast Guard and outlinesthe duties and responsibilities of the office of theCommandant.

COMMANDERS IN CHIEFAND OTHER COMMANDERS

Chapter 7 covers the 0700 article series. Thischapter is divided into three sections. Section 1describes the titles and duties of commanders.Section 2 explains the organization of a staff andthe authority and responsibility of the staffofficers. Section 3 outlines the administration anddiscipline of the staff of a commander or aseparate and detached command.

THE COMMANDING OFFICER

Chapter 8 contains the 0800 article series. Thischapter is divided into three sections. Section 1describes the general authority and responsibilitiesof the commanding officer. Section 2 outlines theadditional responsibilities of commanding officersafloat. Section 3, divided into two subsections,covers special circumstances. Subsection Aconcerns ships in naval stations and shipyards,and subsection B contains regulations governingprospective commanding officers.

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0801. Applicability

The provisions of this chapter apply toofficers in charge (including petty officers whenso detailed) and those persons standing thecommand duty.

0818. Publishing and Posting Orders and Regu-lations

1. In accordance with Article 137 ofthe Uniform Code of Military Justice, thearticles specifically enumerated thereinshall be carefully explained to each enlistedperson:

a. At the time of entrance onactive duty or within six days thereafter,

b. Again, after completion of sixmonths active duty; and

c. Again, upon the occasion ofeach reenlistment.

2. A text of the articles specificallyenumerated in Article 137 of the UniformCode of Military Justice shall be posted ina conspicuous place or places, readily ac-cessible to all personnel of the command.

3. Instructions concerning theUniform Code of Military Justice andappropriate articles of Navy Regulationsshall be included in the training and educa-tional program of the command.

4. Such general orders, orders fromhigher authority, and other matters whichthe commanding officer considers of in-terest to the personnel or profitable forthem to know shall be published to thecommand as soon as practicable. Suchmatters shall also be posted, in whole orin part, in a conspicuous place or placesreadily accessible to personnel of thecommand.

5. Upon the request of any person onactive duty in the armed services, thefollowing publications shall be madeavailable for that person’s personalexamination:

a. A complete text of the UniformCode of Military Justice,

b. Manual for Courts-Martial,c. Navy Regulations,d. Manual of the Judge Advocate

General,e. Marine Corps Manual (for

Marine Corps personnel),

f. Naval Military Personnel Manual(for Navy personnel) or Marine Corps Per-sonnel Manual (for Marine Corps person-nel).

THE SENIOR OFFICER PRESENT

Chapter 9 covers the 0900 article series.The chapter deals with the duties of boththe senior officer present afloat and ashore.It defines eligibility for command at sea,authority and responsibility, and authoritywithin separate commands within the command.It discusses relations with diplomatic andconsular representatives and international treatiesand laws. It outlines the actions of U.S. navalforces within a vicinity of other armed forces.The remainder of the chapter deals with therelationships of the senior officer present withforeigners; readiness and safety of forces;and general policies such as shore patrol,leave and liberty, assistance to ships, aircraftand persons in distress, and admiralty claims.

PRECEDENCE, AUTHORITYAND COMMAND

Chapter 10 contains the 1000 article series.This chapter is divided into four sections. Section1 describes the precedence of officers and definesofficers as line officers, staff officers, andwarrant officers. Section 2 explains the authorityof officers in the Navy. Section 3 describes thedetailing of officers and enlisted persons. Section4 contains the regulations pertaining to successionof command.

1020. Exercise of Authority

All persons in the naval service on activeduty, those on the retired list with pay,and transferred members of the Fleet Reserveand the Fleet Marine Corps Reserve are atall times subject to naval authority. Whileon active duty they may exercise authorityover all persons who are subordinate tothem. However, they may not exercise thatauthority if on leave of absence, except asnoted in this article; on the sick list; takeninto custody; under arrest; suspended fromduty; in confinement; or otherwise incapableof discharging their duties.

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1021. Authority Over Subordinates

This article gives officers the authoritynecessary to perform their duties.

1022. Delegation of Authority

The delegation of authority and issu-ance of orders and instructions by a per-son in the naval service shall not relievesuch person from any responsibility imposedupon him or her. He or she shall ensurethat the delegated authority is properlyexercised and that his or her orders andinstructions are properly executed.

1023. Abuse of Authority

Persons in authority are forbidden toinjure their subordinates by tyrannical orcapricious conduct, or by abusivelanguage.

1024. Contradictory and Conflicting Orders

An enlisted person who receives an orderthat annuls, suspends, or modifies one receivedfrom another superior will immediately relatethat fact to the superior from whom the lastorder was received. If, after receiving thatinformation, the superior from whom the lastorder was received should insist upon theexecution of that order, the person must obeyit. The person receiving and executing suchorder will report the circumstances as soonas practicable to the superior from whom theoriginal order was received.

1033. Authority in a Boat

This article provides the senior line officereligible for command at sea the authority over allpersons embarked in a boat. It also delegates theofficer responsibility for the safety and manage-ment of the boat.

1037. Authority of Warrant Officers, Noncom-missioned Officers, and Petty Officers

Chief warrant officers, warrant of-ficers, noncommissioned officers and pettyofficers shall have, under their superiors,all necessary authority for the proper per-formance of their duties, and they shall beobeyed accordingly.

1038. Authority of a Sentry

A sentry, within the limits stated in hisor her orders, has authority over all per-sons on his or her post.

1039. Authority of Juniors To Issue Orders toSeniors

No member of the armed forces isauthorized by virtue of his or her rankalone to give any order or grant anyprivilege, permission, or liberty to any of-ficer senior to him or her. A member is notrequired to receive such order, privilege,permission, or liberty from a junior, unlesssuch junior is at the time:

a. in command of the ship or othercommand to which the senior is attached

b. in command or direction of themilitary expedition or duty on which suchsenior is serving

c. an executive officer executing anorder of the commanding officer

GENERAL REGULATIONS

Chapter 11 contains the 1100 article series.This chapter is divided into five sections. Section1 covers the topic of administration of discipline.Section 2 outlines the standards of conduct.Section 3 contains regulations governing officialrecords. Section 4 explains the general duties ofindividuals within the Navy. Section 5 defines therights and restrictions of persons in the navalservice.

1111. Pecuniary Dealings With Enlisted Persons

No officer should have any dealings involvingmoney with enlisted persons except as may berequired in the performance of the officer’sduties or as involved in the sale of personalproperty. An officer may be designated bysuperior authority to accept deposits fromenlisted personnel for the purpose of safe-guarding these funds under emergency oroperational situations.

1112. Lending Money and Engaging in a Tradeor Business

Naval personnel are not permitted to lendmoney to another member of the armed servicesat an interest rate, for the period of the loan,

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that exceeds 18 percent simple interestper year. Personnel may not act as asalesperson or an agent or engage in abusiness on board without permission ofthe commanding officer.

1115. Report of Fraud

Any suspicions of fraud, collusion, orimproper conduct in matters concerning suppliesand repairs should be reported to properauthority.

1125. Inspection of the Record of a Person inthe Naval Service

A person’s naval record is maintainedby the Chief of Naval Personnel or theCommandant of the Marine Corps. The recordmust be available for inspection by that personor an authorized agent designated in writing bythat person.

1130. Officer’s Duties Relative to Laws, Ordersand Regulations

All officers in the naval service will acquaintthemselves with and obey the laws, regulations,and orders relating to the Department of theNavy. They will also, as far as their authorityextends, enforce these laws, regulations, andorders. They should faithfully and truthfullydischarge the duties of their office to the bestof their ability in conformance with existing ordersand regulations and their solemn professionof the oath of office. In the absence ofinstructions, they will act in conformity withthe policies and customs of the service to protectthe public interest.

1132. Compliance With Lawful Orders

All persons in the naval service arerequired to obey readily and strictly, andto execute promptly, the lawful orders oftheir superiors.

1133. Language Reflecting on a Superior

Do not use language that diminishesthe confidence and respect due superiorofficers.

1134. Exchange of Duty

An assigned duty may not be changedwith another person (such as tradingwatches) without permission from properauthority.

1137. Obligation To Report Offenses

All offenses observed shouldreported to the proper authority.

be

1138. Responsibilities Concerning Marijuana,Narcotics, and Other Controlled Substances

Personnel may not bring on board any navalactivity, or have in their possession at anytime, marijuana, narcotics, or any controlledsubstances.

1143. Report of a Communicable Disease

Personnel should report any suspicions ofcommunicable disease to their medical represent-ative.

1144. Immunization

Personnel must take the immunizations pre-scribed for them as scheduled.

1145. Service Examinations

No persons in the Navy, without properauthority, should have or attempt to have in theirpossession, any examination papers, any part orcopy thereof, or any examination answer sheets.They also will not obtain, sell, publish, give,purchase, receive, or reproduce any of theseexamination products.

1150. Redress of Wrong Committed by aSuperior

A person who believes a superior exercisesauthority in an unjust or cruel manner or isguilty of misconduct should submit a complaintto his or her commanding officer.

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1151. Direct Communication With the Com-manding Officer

The right of any person in the naval serviceto communicate with the commanding officer ina proper manner, and at a proper time and place,shall not be denied or restricted.

1154. Communications to the Congress

Personnel may not, in their official capacity,apply to Congress for congressional action ofany kind or provide information requested byCongress. The only exception to this regulationis such communication as authorized by theSecretary of the Navy or as provided bylaw.

1155. Dealings With Members of Congress

All persons may write to their congressmenon any subject as long as they do not violatesecurity regulations or the law.

1156. Forwarding Individual Requests

Requests from persons in the navalservice shall be acted upon promptly.When addressed to higher authority,requests shall be forwarded without delay.The reason should be stated when a requestis not approved or recommended.

1157. Leave and Liberty

Leave and liberty will be granted to themaximum extent practicable.

1158. Quality and Quantity of Rations

Meals served in the general mess will besampled regularly by an officer detailed by thecommanding officer. If the officer finds thequality or quantity of the food unsatisfactoryor any member of the mess objects to the qualityor quantity of the food, the officer will notify thecommanding officer.

1159. Possession of Weapons

Personnel may not have any weapons orexplosives in their possession without properauthority.

1160. Possession of Government Property

Personnel will not possess, without permission,any property of the United States except what isneeded in the performance of their duty.

1162. Alcoholic Beverages

The personal possession of any alcoholicbeverages aboard any ship is prohibited. Thetransportation aboard ship of alcoholic beveragesfor personal use ashore is authorized subject tothe discretion of, and under regulations establishedby, the commanding officer.

FLAGS, PENNANTS, HONORS,CEREMONIES, AND CUSTOMS

Chapter 12 covers the 1200 article series. Thischapter is divided into 10 sections and a listingof tables pertinent to the 1200 article series.Section 1 contains general regulations governinghonors. Section 2 outlines honors to nationalanthems and national ensigns. Section 3 explainshand salutes and other marks of respect. Section4 pertains to gun salutes. Section 5 coverspassing honors. Section 6 contains regulations thatgovern official visits and calls. Section 7 definesformal occasions other than official visits.Section 8 explains the display of flags andpennants. Section 9 defines special ceremonies,anniversaries, and solemnities. Section 10 addressesdeaths and funerals.

STANDARD ORGANIZATION ANDREGULATIONS OF THE U.S. NAVY

The Standard Organization and Regulationsof the U.S. Navy (SORN), OPNAVINST3120.32B, provides regulations and guidancegoverning the conduct of all members of theNavy. This publication specifies duties andresponsibilities of personnel within a unitorganization—from the commanding officerdown to the messenger of the watch.

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Failure to comply with the provisions of theregulatory material in chapter 5 of the SORN ispunishable in accordance with the Uniform Codeof Military Justice ( UCMJ). Regulatory articlesare printed on large posters, which are posted inconspicuous locations aboard naval units.

When the article itself is self-explanatory,the article is presented in block quotationexactly as stated in the SORN; no furtherexplanation is given. Articles that are lengthyand, in some cases, difficult to interpret areparaphrased to give you a brief overview of thecontents of the article.

UNIT ADMINISTRATION

Chapter 1 covers the administration of aunit and the limits of authority of personnelin management positions. It also discussesorganizational theory and defines terms such asunity of command, span of control, andleadership.

100.1 Relationship to Other Guidance

The SORN issues regulations and standardorganizational requirements applicable to theadministration of naval units. Type commandersor higher authority issues additional requirementsto supplement the Navywide guidance providedby the SORN. Guidance is intended to assistcommanding officers in administering their unitin the best possible manner.

142.2 Policy Guidance

The guidance provided by the SORN helps theNavy set policies consistently. A complete policystatement concerning the following items isbeyond the scope of this text. You should consultthe SORN for specific details. The following isa brief look at Navy policies covered by theSORN; consult the SORN for specific detailsabout each policy:

EXTRA MILITARY INSTRUCTION (EMI) —This is instruction intended to correct a deficiencyof a person in a phase of military duty. Generalguidelines are as follows:

• EMI will not normally be assigned formore than 2 hours per day.

EMI maybe assigned at a reasonable timeoutside of normal working hours.

EMI will not be conducted over a periodthat is longer than necessary to correct theperformance deficiency.

EMI should not be conducted on amembers sabbath.

EMI will not be used as a method ofdepriving normal liberty. Normal libertymay commence upon completion of EMI.

The authority to assign EMI rests with thecommanding officer. Normally, you may assignEMI during working hours if the commandingofficer delegates the authority. However, thecommanding officer usually chooses not todelegate the authority to assign EMI afterworking hours; that limits your actions torecommending EMI. Refer to the SORN and yourcommand regulations regarding assignment ofEMI.

WITHHOLDING OF PRIVILEGES —Tem-porary withholding of privileges is authorized asan administrative measure to correct minorinfractions of military regulations or performancedeficiencies when punitive action is deemed in-appropriate. Privileges that may be temporarilywithheld include special liberty, exchange ofduty, special pay, special command programs,bases or ship libraries and movies, commandparking, and special services events.

PRIVILEGES CAN ONLY BE TEMPO-RARILY WITHHELD BY THE PERSON WITHTHE AUTHORITY TO GRANT THE PRIVI-LEGE —Your action should normally be limitedto a recommendation to the chain of commandto temporarily withhold a privilege. For furtherguidance, consult the SORN and local regulationsconcerning withholding of privileges.

EXTENSION OF WORKING HOURS —Deprivation of normal liberty as punishmentexcept as specifically authorized by the UCMJ isillegal. However, lawful deprivation of normalliberty is authorized in certain situations such aspretrial restraint or in a foreign country when suchaction is deemed necessary. Working hours maybe extended for official functions, accomplish-ment of essential work, or the achievement of thecurrently required level of operational readiness.

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You are expected to keep your superiors informedwhen planning to direct your subordinates to workbeyond normal working hours.

CONTROL THROUGH RECOGNITIONOF PERFORMANCE —You have a basic respon-sibility to recognize initiative and exemplaryperformance of your subordinates. Give publicrecognition when appropriate. Make the extraeffort to provide the following forms ofrecognition:

• Award letters of commendation andappreciation or recommend such forsignature of higher authority.

• Initiate recommendation for higherawards.

• Initiate recommendations for sailor of themonth, quarter, year, force, fleet, andNavy.

• Make recommendations for reenlistment,assignment to training schools, and educa-tion or advancement programs; documentexceptional performance in enlisted evalua-tions.

STANDARD UNIT ORGAN1ZATION

Chapter 2 covers the process and basis for astandard unit organization. It includes require-ments for shipboard divisions, aviation units, andconcepts of organization. Refer to the followingarticles of chapter 2 for an in-depth explanation:

230. Promoting understanding of the organ-ization

231. Organizational charts

232. Functional guides

THE UNIT ORGANIZATION

Chapter 3 describes the responsibilities of thevarious billets within an organization. Refer tothe following articles of chapter 3 for an in-depthexplanation:

351. Department duty officer

364. Division leading chief petty officer(LCPO)

365. Division damage control petty officer

366. Work center supervisor (other thanaviation units)

WATCH ORGANIZATION

Chapter 4 describes the responsibilities of thewatches required for safe and proper operationof a unit. Refer to the following articles of chapter4 for further information:

403. General duties of watch officers andwatch standers

404. Watchstanding principles

405. Orders to sentries

406. Circumstances under which deadlyforce may be used by security forcepersonnel

414. Relieving the watch

420. The deck and engineering logs

421. The deck log

441.3 Officer of the deck in-port

441.7 Department duty officer

442. Quarterdeck watches

443. Security watches

444. Additional watches

REGULATIONS

Chapter 5 is an extension of Navy Regs thatprovides greater coverage on general subjectsrequired for the smooth operation of a unit.

510.5 Armed Forces Identification Cards andLeave Papers

No person without proper authority shall:

a. Have in his/her possession more thanone properly validated Armed Forces Iden-tification Card.

b. Depart on liberty without his/herown properly validated identification card;or, in the case of leave, without his/her ownproperly validated leave papers and iden-tification card.

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c. Have in his/her possession a false b. Engage in any card games or otheror unauthorized identification card; or a games during prescribed working hours ormutilated, erased, altered, or not properly during the hours between taps and reveille,validated identification card; or an iden- or during divine services.tification card bearing false or inaccurateinformation concerning a name, grade, 510.10 Civilian Clothingservice number, or date of birth.

d. Return from leave withoutdepositing his/her leave papers with the

You may wear civilian clothing based on thefollowing regulations unless the privilege has been

proper authority. Any person returning suspended.without an identification card shall reportthe loss to the OOD in person. • You are permitted to wear civilian clothing

510.7 Berthingwhen leaving or returning to a naval unit, awaitingtransportation to leave the unit, while on authorized

No person will:leave of absence, liberty, or in any off-duty statuson shore.

a. Sleep in any spaces or use any bunk • Your dress and personal appearance mustor berth other than that to which assigned, be appropriate for the occasion and not bringexcept as authorized by proper authority.

b. Sleep or lie on any bunk or berthdiscredit on the naval service. Uniform items maynot be worn with civilian clothing except as

while clothed in dungarees or working provided in U.S. Navy Uniform Regulations.clothes or while wearing shoes.

c. Smoke while sitting or lying on anybunk or berth, or smoke in any berthingspace during the night hours between tapsand reveille.

d. Remove any mattress from anybunk or place of stowage or place suchmattress on the deck or in any place otherthan a bunk, except as authorized byproper authority.

e. Create a disturbance or turn on anywhite light in any berthing or living spaceduring the night hours between taps andreveille, except as required to performassigned duties.

f. Fail to turn out of his/her bunk atreveille, except when he/she is on the sicklist or authorized to late bunk.

g. Be authorized late bunk privilegesunless he/she has had a midwatch or madea boat trip as a crew member after 2200the previous day or is specifically author-ized late bunk privileges by the ExecutiveOfficer or Command Duty Officer. Alllate bunk sleepers will turn out at 0700.

510.9 Card Games and Gambling

No person will:

a. Gamble for money with playingcards, dice, or other apparatus or methodson board naval units.

510.18 Emergency Equipment

NO PERSON shall use emergencyequipment for any purpose other than thatfor which it is intended. Emergency equip-ment includes items such as battle lanterns,EMERGENCY FIRST AID boxes, shoring,wrenches, life rings, equipment in life raftsand boats, portable fire pumps, fire hoses,and fuel for emergency machinery.

510.21 Government Property

No person shall:

a. Conceal or fail to report to properauthority the loss, removal, destruction,or damage of Government property en-trusted to his/her care or custody.

b. Remove without proper authorityfrom its regular place of stowage orlocation, for any purpose whatever, anyarticle of Government property, includinghull and damage control fittings, first aidequipment, life saving and emergencyequipment, and stores and foodstuffs.

c. Have in his/her possession anyarticle of Government property except asmay be necessary for the performance ofhis/her duty or as may be authorized byproper authority.

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510.22 Grooming and Personal Appearance

It is the responsibility of officers in com-mand to ensure their personnel are neatand well groomed at all times. (See U.S.Navy Uniform Regulations, NAVPERS15665G, for current standards.)

510.24 Hitchhiking

No naval personnel will, on a publicroad, street, or highway, endeavor bywords, gestures, or otherwise to beg,solicit, or hitchhike a ride in or on anymotor vehicle. Accepting rides at establishedservice personnel pickup stations isauthorized.

510.25 Indebtedness

Since indebtedness brings a discreditto the naval service, debts shall not beincurred when there is no reasonableexpectation of repaying them. The Com-manding Officer’s interest in the matter ofindebtedness of personnel attached to anaval unit will be directed principally tothe establishment of facts so that correctiveor disciplinary measures may be taken.

510.32 Mess Gear

The removal of mess gear from themess decks is prohibited. The senior pettyofficer in charge of the compartment inwhich mess gear is found will ensure itsimmediate return to the mess decks.

510.37 Outfits, Uniforms, and Clothing

No person will:

a. Wear frayed, torn, dirty, or other-wise mutilated clothing.

b. Wear any article of clothing whichis not prescribed as a part of the uniformof the day.

c. Wear any article of a naval uniformin a manner that would bring discredit tothe naval service.

d. If that person is enlisted, have anyarticle of uniform clothing which is notlegibly marked with his/her name and/orservice number; or any article of clothingor bedding marked with the name and/or

service number of another person whichhas not been marked “DC” by the ChiefMaster-At-Arms and recorded in the DCclothing record book.

e. Sell, barter, exchange, lend, or giveaway clothing, arms, military outfits, orequipment furnished by the government.No names, designs, or marks except thenumber prescribed for official identifica-tion will be placed on any foul weatherclothing or other equipment furnished bythe government.

f. Wear or have exposed upon theuniform, articles such as watch chains,fobs, pins, jewelry, handkerchiefs, combs,cigars, cigarettes, pipes, or similar items,except that tie clasp, cuff links, shirt studs,and earrings will be worn as prescribed inUniform Regulations. Wearing of wristwatches, identification bracelets, andinconspicuous rings is permitted. Noeccentricities in dress will be permitted.

510.40 Personal Effects

The command and individuals have ashared responsibility to safeguard thepersonal property of members of the unit.

a. No person will maintain personalbelongings or other articles in any lockercloset, peacoat locker, or space other thanthat regularly assigned to him/her orauthorized by proper authority to use.

b. Each person is responsible forobtaining a lock and keeping his/herlocker locked at all times. Any evidence oftampering with locks or unauthorizedentry into a personal locker will bereported to the Chief Master-At-Armsimmediately.

c. When any enlisted person on boarda naval unit is declared a deserter orbecomes mentally or physically incapaci-tated to the extent that he/she can nolonger care for his/her personal effects,they will be collected, inventoried, andsealed by a division petty officer in thepresence of the division officer and amaster-at-arms and delivered to the ChiefMaster-At-Arms for safekeeping and dis-position in accordance with currentinstructions. Only personnel designatedwill handle or disturb in any way thepersonal effects of another person.

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d. The personal effects of an absent or Additional Regulatory Articles of Interestincapacitated officer will be inventoriedand packed by two officers designated by The following is a list of regulatory articlesthe Executive Officer and will be delivered you should be familiar with:to the supply office for safekeeping anddisposition per current instructions. 510.47 Refuse, rubbish, trash, garbage,

hazardous waste, oils, and oily waste510.44 Photographic Equipment disposal

No person shall: 510.48 Removal of equipment from ship

a. Possess or introduce on board a 510.52 Safe combinationsnaval unit any camera or other photo-graphic equipment capable of exposing a 510.54 Search and seizurephotographic plate or film withoutpermission of the Commanding Officer or 510.59 Smartnesshis authorized representative.

b. Make photographs of a naval unit 510.61 Special clothingor its equipment, or of objects from theunit, without permission of the Com- 510.68 Unauthorized articlesmanding Officer, and then only of theobjects for which permission was specifi-cally given. UNIT BILLS

c. While on watch or duty as a sentryor member of a patrol, knowingly permit Chapter 6 provides the guidelines for estab-

the introduction of any camera or photo- lishing administrative, operational, emergency,graphic equipment on board a naval unit and special unit bills.unless such equipment is authorized bythe Commanding Officer or authorized SAFETYrepresent ative.

Chapter 7 provides for a safety program and510.45 Plan of the Day covers the internal reporting of mishaps and

hazards.A plan of the day will be published

daily by the Executive Officer or anauthorized representative and will issue TRAININGsuch orders and directives as the ExecutiveOfficer may issue. When the Executive Chapter 8 establishes the elements and pro-Officer is absent from the unit it will be cedures for an effective training program,issued by the Command Duty Officer.

SHIP MAINTENANCEa. The Plan of the Day will be posted AND MODERNIZATION

on all department and division bulletinboards.

b. All persons will read the Plan of theChapter 9 explains the Ship Maintenance and

Day each day. They are responsible forModernization program aimed at providing the

obeying applicable orders containedmaximum operational availability to fleet

therein. In port, the Plan of the Day willcommanders.

be read at quarters.UNIT DIRECTIVES SYSTEM

510.46 Profane LanguageChapter 10 sets forth and explains the pro-

No person will use profane, obscene, cedures and purpose of the unit directives systemor vulgar words or gestures on board a the Navy uses to communicate plans and policiesnaval unit. throughout the Navy.

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STATUS OF FORCES AGREEMENTS

Many persons are under the impression thatbecause they are attached to a ship visiting aforeign port, they are immune from jurisdictionof the local government. That is true as long asthey remain aboard or go ashore only on officialbusiness. When they go ashore on liberty,however, they are subject to the jurisdiction ofthe foreign sovereign for any infractions of thelaw, whether criminal or civil. The Departmentof Defense protects your rights as much aspossible if you are brought to criminal trial byforeign courts. To be allowed to protect yourrights, the United States entered into agreementswith several of our allied countries. Theagreements are called the Status of ForcesAgreements (SOFAs).

A Status of Forces Agreement contains acomplex package of treaties, protocol, andexecutive agreements between the United Statesand the individual country involved. It defines therights and duties of U. S. service personnel, civiliancomponents, and their dependents while they arestationed in that foreign country.

The agreements are by no means identical inall countries. To a large measure, the differencesin agreements resulted from the contrastingpolitical realities that faced the negotiators ofdifferent countries.

PURPOSE OF SOFA

The main purposedefine the status ofpersonnel stationed in

of SOFAs is to clearlyone country’s militarythe territory of another.

The SOFAs say, in part, that the country we arevisiting will give up some jurisdiction to thevisiting country in some criminal and civil cases.Some topics covered by the Status of ForcesAgreements are as follows:

Freedom of troop movements within thehost country

Passport requirements

Criminal jurisdiction

Taxes

Imposition of customs duties

Regulations covering

Exchange privileges

driver’s license

The development of a collective defense inpeacetime requires that forces of various countriesbe stationed in the territory of other treatycountries. Those forces form an integrated forcefor the defense of those countries involved. Theforces must be free to move from one country toanother under the demands of strategy. There-fore, uniformity of arrangements and proceduresgoverning the status of such forces in countriesother than their own and their relationship to thecivilian authorities is essential. The Status ofForces Agreements, accordingly, try to regulatethat relationship in two ways. First, theyguarantee the armed forces adequate legalprotection without infringing on the authority ofthe military command. Second, they fullyrecognize the peacetime rights and responsibilitiesof the civilian authorities in the host countries.

The United States must receive consent fromthe host country to station troops on that foreignsoil. We must also agree to the conditions underwhich our troops may remain.

The original intent of the Status of ForcesAgreements by the United States was to get themost favorable conditions from the host countryfor our own forces.

The agreements apply to personnel belongingto the land, sea, and air armed forces, as well ascivilian personnel accompanying an armed force.Article II of the NATO Status of Forces Agree-ment sets forth the basic principle to be observedby any force in a country other than its own:

It is the duty of a force and its civiliancomponent and the members thereof aswell as their dependents to respect the lawof the receiving State, and to abstain fromany activity inconsistent with the spirit ofthe present Agreement, and in particular,from any political activity in the receivingState. It is also the duty of the sendingState to take necessary measures to thatend.

DEVELOPMENT OF SOFA

Why does the United States station largecontingents of forces in foreign countries, andwhy does the status of these forces have to bedefined by agreements?

The United States has accepted the fact thatthe only true security available in this modernworld is collective security. Congress hasdemonstrated time and again its recognition ofthis proposition. We have entered into alliances

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with many countries throughout the world, notjust to protect other nations, but to protectourselves. Our NATO allies have raised sizablemilitary forces. They are producing militaryequipment and supplies in significant quantities.They provide many important ports and bases forcommon defense. They are supplying moremilitary power to supplement and reinforceAmerican defense efforts than we can findanywhere else in the world. NATO represents ourfirst line of defense; the degree of its effectivenesshas a tremendous impact upon the dependabilityof our own national defense system.

As part of our contribution to the NATOpartnership, we have stationed a large number ofUnited States military forces in Europe. Whilethose forces are a minority of the total, theirpresence is indispensable to NATO. In politicaland psychological terms, they represent a bodyof trained and skilled persons for which nosubstitution from European sources is practical.They operate ports and air bases and othertechnical facilities that are vital to effectivedefense in modern warfare. Our allies want thesetroops to stay in Europe. We recognize the needto have them there. They are part of an overallpattern of defense that could not be disruptedwithout injury to the entire structure.

The important point for us to remember is thatAmerican troops are not in Europe as a favor toour allies. They are there because we know we canget more total protection by combining ourstrength with that of other nations than bystanding alone. They are there because we wantto prevent war altogether—to stop it before itstarts. If war comes despite our best efforts toprevent it, those military forces are in the placewhere they can do the most good—where they canhelp to halt an enemy attack and to retaliate withimmediate effect. No credit is given today to theidea that American armed forces can best protectAmerican citizens by staying at home and waitingfor an enemy to strike the United States.

JURISDICTIONAL ARRANGEMENTS

In peacetime, before 1939, many troops werestationed in colonies and territories of their owncountries, but military forces were not stationedin sovereign foreign countries on a large scale.

During World War II, unprecedented numbersof military persons were stationed in foreigncountries, particularly those of the Westernpowers; but jurisdiction over their allegedcriminal offenses seemed relatively unimportant

to hard-pressed nations. For example, when thefate of Britain was at stake, England was in noposition to argue over criminal jurisdiction; andwhen a sending state, such as the United States,insisted on exclusive jurisdiction over all criminaloffenses of its forces and accompanying civilians,Britain quickly agreed. The same has been truein other countries.

After the war, large numbers of United Statesmilitary forces remained in foreign countries. Atfirst, they remained as occupying forces. Later,with the permission of the foreign governments,they remained while these countries recovered,economically and politically, from the aftereffectsof the war. Once these countries regained theirindependence and sovereignty, the United Statesno longer could claim it was entitled to exclusivejurisdiction over the members of our own-armedforces.

Today, a basic principle of international lawis that a country has a right to try all offendersfor crimes committed within its territory. Thereare a few exceptions to that rule, the best knownone being the immunity of diplomatic personnelfrom the jurisdiction of the host country. Someother exceptions are based on special treaties andagreements.

We object to trial of United States personnelin foreign courts. We feel that a member of ourforces, tried in a foreign court under a differentlegal system and in a language he or she may notunderstand, might not receive a fair trial.

The purpose of the Status of Forces Agree-ments is not to grant jurisdiction to foreign courtsover cases not normally under their jurisdiction.On the contrary, in some cases the objective ofthe agreement is to gain the same right ofjurisdiction as the foreign court. This equal rightof jurisdiction is called concurrent jurisdiction.In other cases, the objective of the agreement isto acquire waiver of jurisdiction by the foreigncourt.

Most countries generally yield jurisdiction toour military courts because of the Status of ForcesAgreements. Therefore, we cannot object toostrongly to the trial of those Americans who havecommitted offenses which that country believesshould be under their jurisdiction. We cannotexpect to gain concessions to criminal jurisdictionwithin a foreign country nor to obtain guaranteesbeyond those available to the citizens of thatcountry.

Military commanders of overseas commandshave reported that the jurisdictional arrangementsin the countries under their responsibility have

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worked well in practice. They have had no adverseeffect upon the military mission of the armedforces or the morale and discipline of its members.

PUNISHMENTS IMPOSED

When we hear the term Status of ForcesAgreements, many of us think of the trial of ourmilitary personnel by foreign courts for crimescommitted overseas. That association of thoughtis natural. Criminal jurisdiction is one of the mostimportant aspects of the Status of ForcesAgreements, and certainly the one that has alwaysreceived the most publicity. Each publicized reportof an American service member being tried fora serious crime by a foreign court brings publicoutcry from Americans. Most Americans believethe offender should be tried by United Statesmilitary authorities.

Comparisons have shown that normally asentence imposed by a foreign court has beenextremely lenient. There have been no instancesof cruel or unusual punishment. If you considerthe large number of United States personnelstationed overseas and the small number ofpersons confined in foreign jails at any one time,you can see that the number confined is minimal.In all but the most serious offenses, confinementis suspended and the offender is returned to theUnited States for reassignment or discharge.

CONFINEMENT AND CUSTODY

Equally lenient has been the attitude of theforeign governments with regard to confinementand custody. Most SOFAs provide that the UnitedStates military authorities may retain custody ofan accused military member until all judicialproceedings, including the appeal, have beencompleted. If a person is eventually sentenced toconfinement in a foreign prison, Americanauthorities are permitted frequent visits to ensurethe person is being well treated. In addition, theperson is allowed to receive health-benefittingitems, items of comfort, and food itemsconsidered a necessary part of an American’s diet.

RIGHTS OF SERVICE MEMBERS

The Department of Defense protects to themaximum extent possible the rights of Americanpersonnel who may be subject to trial by foreigncourts and imprisonment in foreign prisons. Oneof the most significant safeguards afforded amilitary member is the right of the United States

to have an official observer (legal representative)at the trial. (The legal representative’s duty is todetermine whether the accused military memberreceived all the rights guaranteed by the Statusof Forces Agreement.) The legal representativealso determines if the member received all otherrights of due process of law that the person wouldhave had if tried in a U.S. state court.

A military member tried in a foreign court hasone significant advantage over fellow militarymembers facing trial in the United States.Congress has passed legislation that allows thearmed services to pay attorney fees and court costsas well as to provide bail in appropriate cases. TheDepartment of Defense has liberally followed thatstatute, and large numbers of military membershave taken advantage of its provisions.

When you are in a foreign port, remember youare a guest in that country and are subject tothat country’s laws and legal procedures. Alsoremember that whatever privileges servicemembers possess, as compared with ordinaryvisitors or tourists in that country, they possessthem only by special consent oft he host country.Because of the host country’s special consent, youare allowed to drive in that country based on yourU.S. driver’s license. You do not have to paycustoms duty or taxes when bringing householdgoods and personal belongings, including yourcar, into the host country. You are allowed toenter and leave the country on military ordersalone without a passport or visa.

Remember that as a guest in a foreign country,you are subject to that country’s criminal laws andprocedures. If you violate those laws, you mayfind yourself on trial before a foreign court.Only by the consent of the host country can yoube tried by the courts of your own service foroffenses committed on foreign soil. That ispermitted only because of the Status of ForcesAgreements, not as a matter of absolute right.

SUMMARY

The preliminary inquiry is an important partof the premast procedure. You are an impartialinvestigator and should seek to find all therelevant facts of the case. Your job is to providethe commanding officer with all the informationso that he or she can make a decision concerningthe accused.

United States Navy Regulations, 1990describes the procedures, authority, and com-mand of offices within the Department of the

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Navy. It also discusses honors and ceremonies,the rights and responsibilities of persons inthe Navy, and the purpose and force of theregulations.

Standard Organization and Regulations of theU.S. Navy contains regulations to supplementNavy Regs and provides standard administrativeand organizational guidelines for naval units. Theregulations and guidelines are designed to increasethe organizational and administrative effectivenessof naval units.

Status of Forces Agreements clearly definethe status of one country’s military personnelstationed in the territory of another country. Thehost country usually gives up some jurisdictionto the visiting country in some criminal and civilcases.

REFERENCES

Basic Military Justice Handbook, Naval JusticeSchool Press, Newport, R.I., 1987.

Standard Organization and Regulations of theU.S. Navy, OPNNAVINST 3120.32B, Officeof the Chief of Naval Operations, Washing-ton, D.C., 1986.

Status of Forces Policies, Procedures, andlnformation, Army Regulation 27-50, Secretaryof the Navy Instruction 5820.4G, Departmentsof the Army and Navy, Washington, D.C.,1990.

U.S. Navy Regulations, 1990, Office of theSecretary of the Navy, Washington, D.C.,1990.

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