YEOMAN (YN)

i NONRESIDENT TRAINING COURSE Yeoman (YN) NAVEDTRA 15009B S/N 0504LP1163867 January 2017 Notice: NETPDC is no longer responsible for the content accuracy of the Nonresident Training Courses (NRTCs). For content issues, contact the servicing Center of Excellence: Center for Service Support (401) 841‐1583 or DSN: 841‐1583 DISTRIBUTION STATEMENT A: Approved for public release; distribution is unlimited.

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iv THE UNITED STATES NAVY GUARDIAN OF OUR COUNTRY The United States Navy is responsible for maintaining control of the sea and is a ready force on watch at home and overseas, capable of strong action to preserve the peace or of instant offensive action to win in war. It is upon the maintenance of this control that our country's glorious future depends; the United States Navy exists to make it so. WE SERVE WITH HONOR, COURAGE, AND COMMITMENT Tradition, valor, and victory are the Navy's heritage from the past. To these may be added dedication, discipline, and vigilance as the watchwords of the present and the future. At home or on distant stations, we serve with pride, confident in the respect of our country, our shipmates, and our families. Our responsibilities sober us; our adversities strengthen us. Service to God and Country is our special privilege. We serve with honor. THE FUTURE OF THE NAVY The Navy will always employ new weapons, new techniques, and greater power to protect and defend the United States on the sea, under the sea, and in the air. Now and in the future, control of the sea gives the United States her greatest advantage for the maintenance of peace and for victory in war. Mobility, surprise, dispersal, and offensive power are the keynotes of the new Navy. The roots of the Navy lie in a strong belief in the future, in continued dedication to our tasks, and in reflection on our heritage from the past. Never have our opportunities and our responsibilities been greater.

v Center for Service Support ACKNOWLEDGEMENTS The Center for Service Support (CSS), Newport, RI would like to acknowledge assistance of the following personnel in writing this NRTC: YNCM (SW/AW) Joseph A. Melton YNCM (SW/AW) Diego Reyes CMDCS (SW/AW) Eric W. Hill CMDCS (SW/AW) Melvin L. Isom YNCS (SW/AW) Donella J. Anderson YNCS (SW/AW) Tanesha Y Wheeler YNC (SW/AW) Brandy R. Johnson YNC (AW) Roxanne J. Martinez YNC (SS) Leonard R. Mattingly YNC (AW) Juan T. Piper YNC (SW/EXM) Lisa M. Reinhardt YNC (EXW/AW) Paul J. Staubaum YN1 Kelli M. Bradshaw YN1 (SW/EXW) Aaron J. Buss YN1 (EXW/AW) Narda N. Hirn YN1 (AW/SCW) Samantha C. Ledoux PS1 (SW) Rocel S. Castaneda YN2 (SW) Cory Gathings Rate Training Manual (RTM) Development Group personnel who provided direct support for this RTM: Mr. Richard Rangel NR TC Model Manager/Conference Facilitator YNCS (SW/AW) Christopher A. Byard CSS Training Manager YNCS (SCW/SW/AW) Gary L. Slaughter Jr. CSS Training Manager The Model Manager for this RTM is Center for Service Support Newport, RI DSN 841-1583.

vi NAVEDTRA 15009B COPYRIGHT MATERIAL Copyright material has been identified and approved, and is listed below within this document. Copyright Owner Date Chapter Pages Remarks

vii PREFACE ABOUT THIS COURSE: This is a self-study course. By studying this course, you can improve your professional/military knowledge, as well as prepare for the Navy-wide advancement-in-rate examination. It contains subject matter about day-to-day occupational knowledge and skill requirements and includes text, tables, and illustrations to help you understand the information. An additional important feature of this course is its reference to useful information in other publications. The well-prepared Sailor will take the time to look up the additional information. By enrolling in this self-study course, you have demonstrated a desire to improve yourself and the Navy. Remember, however, this self-study course is only one part of the Navy training program. Practical experience, schools, selected reading, and your desire to succeed are also necessary to successfully round out a fully meaningful training program. COURSE OVERVIEW: In completing this NRTC you will demonstrate knowledge of the subject matter by correctly answering questions on the following subjects: Navy official mail management program; official mail manager responsibilities; mail classifications and services; outgoing mail processing procedures; host command responsibilities; and inspections, training, and reports. THE COURSE: This self-study course is organized into subject matter areas, each containing learning objectives to help you determine what you should learn along with text and illustrations to help you understand the information. The subject matter reflects day-to-day requirements and experiences of personnel in the rating or skill area. Also, it reflects guidance provided by Enlisted Community Managers (ECMs) and other senior personnel, technical references, instruction, etc., and either the occupational or Naval standards, which are listed in Manual of Navy Enlisted Manpower and Personnel Classifications and Occupations Standards, NAVPERS 18068. THE INTERACTIVITY: This manual contains interactive animations and graphics. They are available throughout the course and provide additional insight to the operation of equipment and processes. For the clearest view of the images, animations, and videos embedded in this interactive RTM, adjust your monitor to its maximum resolution setting. THE ASSIGNMENTS: The assignments that appear in this course are designed to help you understand the material in the text. COURSE OBJECTIVE The objective of this course is to provide information on the Navy’s official mail management program. INSTRUCTIONS FOR TAKING THE COURSE ASSIGNMENTS The links and material that you are to study are included in each chapter. Study the material and links carefully before attempting to answer the questions. Pay close attention to tables and illustrations, and read the information in the links.

iv INSTRUCTIONS FOR TAKING THE COURSE To obtain credit for completion of this course you must enroll in the course within Navy e-Learning (NeL) and successfully complete each assignment by achieving a minimal passing score of 70 percent for each. Make sure you review learning objectives in the course, they state what you should be able to do after studying the material. Read each question carefully, then select the BEST answer. For convenience and future reference, the full PDF version of this course may be saved from the references section of course on NeL. You may choose to work on the course assignments off-line by this method, but must return to course on-line and submit assignment answers to obtain credit and have completion recorded. We value your feedback as it helps us deliver a better training product. If you have any suggestions, questions, or identified course problems during your review; please take the time to complete survey at the following link: https://las-rpt.ncdc.navy.mil/perception5/open.php?session=0579005563120628& name=EOC&Group=NRTC

xi Students’ Comments Course Title: __Yeoman_____________________________________________________ NAVEDTRA: ___15009B__________________Date: _______________________________ We need some information about you: Rate/Rank and Name: _______________________________________________________ Command/Unit: ____________________________________________________________ Street Address: ____________________________________________________________ City: _____________________________________________________________________ State/FPO: _______________________________________________________________ Zip: _____________________________________________________________________ Email Address: _____________________________ DSN: _________________________ Your comments, suggestions, etc.: _____________________________________________ __________________________________________________________________________ __________________________________________________________________________ __________________________________________________________________________ __________________________________________________________________________ __________________________________________________________________________ __________________________________________________________________________ __________________________________________________________________________ __________________________________________________________________________

xii Table of Contents 1. Navy Yeoman .................................................................................................................................1-1 2. T echnical Administration ................................................................................................................2-1 3. Command Pay and Personnel Administrator (CPAA)....................................................................3-1 4. Legal ..............................................................................................................................................4-1 5. T ravel .............................................................................................................................................5-1 6. Security ..........................................................................................................................................6-1 Chapter Page Appendix I. Acronyms Used in This R TM .......................................................................................................AI-1 II. References Used to Develop the RTM .......................................................................................AII-1 III. Answers to End of Chapter Questions .......................................................................................AIII-1 Page

1-1 CHAPTER 1 NAVY YEOMAN The yeoman (YN) rating was first established in 1835. The rating title was changed to Ship’s Yeoman in 1884, only to have it changed back to YN in 1893. The word yeoman has several definitions. For the purpose of the Navy, a YN is defined as an “administrative assistant.” Nearly every office in every command in the Navy has a YN assigned. While YN duties have evolved to include other specialties, such as security, the YNs’ essential duties are to act as a key person in organizing and maintaining communications for the command, department, or division where assigned. As a YN, performing your job effectively affects how well the whole organization operates. This rate training manual is designed to explain the purpose and function of the YN rating to those who entered the Navy as a YN, converted to YN, or were a part of rate consolidation. People surveyed throughout the YN community provided information to set the minimum standards of knowledge and skills you will need to perform your job effectively. The Occupational Standards (OCCSTDs) are the minimum standards of knowledge expected in each of the Navy’s ratings. Review the YN OCCSTDs to give you an idea of the scope of the rating and keep the standards in mind while you study this manual. Reviewing this information will help you understand the duties of a YN. LEARNING OBJECTIVES When you have completed this chapter, you will be able to do the following: 1. Describe the importance of organization in an administrative office. 2. Describe the basic skills and knowledge required of a YN. 3. Describe the personal qualities required of a YN. 4. Describe the importance of excellent customer service. 5. Recognize the primary duties of a YN. 6. Recognize advanced leadership opportunities for YNs. 7. Describe the configurations of administrative occupational areas. 8. Recognize the duties of flag officer’s staff positions. 9. Recognize the principles of protocol. 10. Recognize the procedures used in officer promotions. OFFICE PROCEDURES The amount of control you have over the physical conditions in your office will vary with the location and the type of duty to which you are assigned. Conditions outside of your control may determine the type of office spaces and equipment assigned. Regardless of the conditions, you are responsible for the general appearance and neatness of the assigned space. The following paragraphs will discuss the importance of office appearance and customer service. In addition, office responsibilities and

1-2 duties will be discussed. YNs are expected to take the initiative and carry out these duties. Neatness and Cleanliness An office’s general appearance can be significantly enhanced by placing items where they belong on a daily basis. One of your responsibilities is to ensure that articles used during the day are put away in their proper locations in case someone else needs to use them. When securing your ship’s administration office for the night, properly secure and stow all gear and supplies to prevent damage to equipment or injuries to personnel from flying objects if your ship should encounter heavy weather or submarine “angles and dangles.” If you are serving ashore, it is no different. Put away articles and clean up your work area before you secure for the day. Whether your offices are ashore or afloat, go through your correspondence inbox daily to ensure that work does not pile up. Be particularly careful when you handle classified documents. After you are finished with classified documents, ensure that you store them according to the guidelines set forth in the Department of the Navy Information Security Program (PSP) Manual, Secretary of the Navy Manual (SECNAV M)-5510.36. Additionally, store personally identifiable information (PII) documents according to guidelines set forth in SECNAV Instruction (SECNAVINST) 5211.5(series) and information in Department of the Navy Chief Information Officer website (www.doncio.navy.mil). Make sure that all supplies that may stain other materials (such as ink) are properly stowed. Do not leave any equipment that might be damaged on the deck when the office is cleaned. Avoid accumulations of loose papers or other objects that can create a fire hazard. Dust desks frequently and never allow dirt to build up. When putting away items that others were using, or dusting the office spaces, do it with care and good judgment. Avoid losing, misplacing, or disturbing the arrangements of others; this may create more work for other office personnel. Desk Arrangement Your desk is your responsibility to arrange in a neat and well-organized manner. Set the example for your peers and remember to maintain your professionalism. The following suggested plan is suitable if you spend most of your time typing letters or other correspondence and forms. Your work may require you to provide space for other types of supplies, but these general practices still apply: • Keep pencils, erasers, paper clips, and other small articles in shallow drawers or trays (Figure 1-1). • Insert slanted stationary trays into the upper drawers of a desk. Use a separate tray for each type of stationery or form; place the most frequently used stationary or forms at the front, with additional trays containing forms according to the frequency of their use. Figure 1-1 — Typical desktop organizer.

1-3 • Keep all personal belongings in a drawer away from public view. • Clear all documents containing personally identifiable information (PII) from the top of your desk to avoid compromising the information, and ensure that all classified or sensitive material is properly secured. Straighten any articles on top of your desk and close all drawers. Office Arrangement If you can arrange the furniture in your office, analyze and plan the new arrangement before you begin to move the furniture. Place desks so that those who work at them have enough light. When arranging desks, ensure that no one’s back will face the reception area. Everyone in the office should be able to see and assist customers. Also, ensure that there is enough working space for your office workers to move around unimpeded. Figure 1-2 is an example of a well-organized workspace. Adjust the chairs so that typists’ feet rest firmly on the floor. Chair seats should be at least 12 inches below the base of the typewriters or the computer keyboards. When arranging the equipment, think of the work that occurs regularly and place the equipment where it can be conveniently accessed. Place tables or counters in a convenient location for handling supplies or assembling papers. Place files where they are handy for those who use them. Figure 1-2 — Example of a properly arranged workspace.

1-4 SKILLS AND KNOWLEDGE Typing Typing is a necessary skill that cannot be learned by using a book. Specialized typing software is available if you need to improve your typing skills. Always look for opportunities to practice typing skills. Office Equipment Some of the common devices used in an office on a daily basis are computers, scanners, copiers, fax machines, and typewriters. YNs are expected to have the knowledge and skills to proficiently operate these common office devices. Follow the proper care routine for all office equipment and make care a habit. Become acquainted with the manufacturer’s instruction manuals and other types of maintenance that may be dictated by local policy. Ensure that the manufacturer’s manuals are kept current to ensure the best chance of success in troubleshooting or repairs. Consult with your supervisor and other personnel in the office who are responsible for the equipment for assistance. Filing The Navy’s filing system is based on the Department of the Navy Standard Subject Identification Code (SSIC) Manual, SECNAV M-5210.2 and standardized procedures. Learning the standard filing system will help you function at any duty station with only a little orientation in local practices. There are 13 major numerical SSIC groups. Each subject group can encompass a thousand topics. The 13 major numerical SSIC groups are shown in Table 1-1. Table 1-1 — SSIC Numerical Groups 1000 series Military Personnel 2000 series Information Technology and Communications 3000 series Operations and Readiness 4000 series Logistics 5000 series General Administration and Management 6000 series Medicine and Dentistry 7000 series Financial Management 8000 series Ordnance Material 9000 series Ship’s Design and Material 10000 series General Material 11000 series Facilities and Activities Ashore 12000 series Civilian Personnel 13000 series Aeronautical and Astronautical Material Accountability for Correspondence Accountability for correspondence may seem to apply only to the care and handling of classified or sensitive materials. However, in the broadest sense, accountability applies to all documents retained in the central file.

1-5 Maintaining the central files involves more than sticking a piece of paper into a file folder. All mail of importance should be routed using a mail control slip. Review article 6.2.5 of the Standard Organization and Regulations of the Navy (SORM), Office of the Chief of Naval Operations Instruction (OPNAVINST) 3120.32(series) for more information concerning the control of mail. The Department of the Navy Correspondence Manual, SECNAV M-5216.5, U.S. Navy Regulations, and command directives are the guiding documents used in the preparation of correspondence. Following these guides will reduce the risk of making errors when preparing correspondence. Command Directives and Publications The administrative officer (AO), working with the executive officer (XO), is responsible for making the directives issuance system work. In addition, the AO is responsible for the maintenance of the ship’s master directives binder. The master directives binder contains a set off all instructions and notices issued and received by the commanding officer (CO) and XO. Instructions and notices received from other activities are filed by subject classification number and originator. Instructions and notices originating within a command can be placed in the same binders and in the same orders as those received, or they may be filed separately for ready reference. Refer to the Navy Directives Management Program, OPNAVINST 5215.17(series). It is extremely important to remove obsolete directives and to make changes to effective directives when necessary. There will be times when the CO or other personnel make vital decisions based on the information maintained on file. New directives and publications should be immediately reviewed and the necessary changes made. Discuss all changes to current directives with the entire office staff and notify personnel of procedural changes that affect other administrative personnel. When you update a publication, always use the list of effective pages to verify that the manual is complete. All instructions and publication should be reviewed annually on the issuance date. Standard Operating Procedures Every YN should be able to cover any position in the administration office through use of standard operating procedures (SOPs). SOPs should consist of detailed step-by-step processes that clearly explain the task. The implementation and use of SOPs will improve the effectiveness and efficiency of the office. Communication Skills Effective communication is an essential skill we all must learn and improve on a daily basis. One of the most important qualities in effective communication is your voice. Whether in person or on the phone, your voice is the primary means of communication. Remember that YNs are communicators. As your responsibilities increase, your ability to communicate effectively and clearly must also increase. The basic requirement for effective communication is the knowledge of your own language. Use proper grammar when speaking and writing. The basic purpose of communication is understanding. To lead, supervise, and train others, you must be able to speak and write in a manner that others can understand. Eye contact is also a very important part of communication and in your daily interaction with customers. In addition, facial expressions, physical proximity, gestures, and voice tone are all part of language. Each of these qualities will also have either a positive or negative impact in the interaction with a customer.

1-6 PERSONAL QUALITIES As a YN, you must understand how the Navy is organized and how each component functions and interacts with the other components. This understanding will enhance your ability to administer and organize yourself, your job, your office, and eventually the administrative functions of an entire command. You must recognize that your day-to-day responsibilities include dealing directly with other personnel. The ability to successfully interact with people can be summarized in the following critical attributes: • Expectations—management of expectations, both of the command and your customers, directly affects the success of the command mission; convey to personnel that you will solve their issues in a timely manner and by strictly following the regulations and guidelines set by the Navy and your command. • Training—we never stop growing in our field; enhance your abilities, both professional and personal, by keeping abreast of changes in policies or personnel management systems and by routinely training on these changes. • Patience—keep in mind that you are the systems expert in dealing with personnel issues. Personnel seeking assistance are asking their questions based on the fact they have no experience in the YN field. • Personality—how a person treats another person can be infectious. If you are personable and can sympathize with an issue, it will directly impact your ability to successfully resolve it; put yourself in the customer’s place. • Preparation—the YN job is unique in that normal operations can be impacted at any time to address a last-minute request or personnel issue. Plan out each day as much as possible to provide yourself with the best chance of successfully achieving mission success. • Prioritization—it is important to understand that personnel with issues are going to believe that their issue takes precedence over other tasking; your ability to recognize tasks that require immediate attention is the key to accomplishing the job. • Positivity—resolving complicated personnel issues with a smile on your face will reflect positively on your department and improve command climate; no matter how complicated the problem may become, never let your frustration dictate how you treat personnel. • Punctuality—understand that more than any other department, people rely on you to be at your appointed place of duty, on time, and ready to carry out your daily functions. Appearance Personnel will come directly to you for assistance with their issues. Your professionalism will be apparent when you wear a clean uniform, maintain grooming standards, and conduct business with impeccable military bearing. These actions will greatly increase your credibility and provide a positive image for your office. Attitude Attitude affects those with whom you interact. Your personality determines your overall attitude. Look forward to working with and dealing with other people. Develop a positive attitude that others will notice.

1-7 A significant part of military bearing is based on common courtesy, in addition to military courtesies and customs observed by fellow members of the Navy. Imagine yourself in the shoes of the people whom you are interacting with on a daily basis. If you help people in the manner in which you would like to be treated, people, in most instances, will respond in a positive manner. No matter how simple the situation may appear to you, remember that the customer is not trained in the administrative field. Customers rely on you to provide them with the answers. A trait that is desired, required, and demanded of a YN is integrity. Some of the work in the office spaces will be of a sensitive or classified nature. The personnel whom you work for put you in a position of trust. The information that you see, hear, or handle must never be discussed outside of the office. Your personal integrity is one of the most important components for success in your career. The records that you maintain directly affect the careers of others after the Navy, and these records become a part of the history of the Navy. Reject any attempts to falsify or alter these records. Agreeing to alter records opens you to disciplinary actions up to and including legal prosecution. If a person approaches you to alter or falsify record information, immediately report the incident to your supervisor. CUSTOMER SERVICE — THE ART OF DEALING WITH PEOPLE As a YN, everything that you do involves working with people. The following paragraphs will discuss the importance of good customer service (Figure 1-3) to all individuals, regardless of their status. Personnel in the YN rating are one of the most important customer service representatives in the Navy. Improve the customer service goals in your office so that you can effectively provide the type of customer service personnel need and deserve. Your attitude, appearance, and pride in the job play a major role in good customer service. Figure 1-3 — Example of customer service.

1-8 Effects of Face-to-Face Contact Think about the following scenarios: • Have you ever waited in line for service only to be told to “come back tomorrow” or that “the person who takes care of that is not here today”? • Have you ever tried to get a question answered and felt like the person answering the question resented being asked? • Have you ever walked into an office and waited an inordinate amount of time before being offered service? • Have you ever felt like the personnel assisting you were not completing the work or ignoring you or the request? • Have you ever noticed personnel looking away when they realized you were waiting for service? More important, ask yourself whether you have ever acted in an inappropriate way toward a customer. Providing excellent customer service is the responsibility of every member in the Navy, even though few of the ratings are primarily tasked with directly providing services to personnel. Some of the ratings that provide direct service to personnel are personnel specialist (PS), hospital corpsman (HM), and legalman (LN). Think of a recent contact that you had with one or more of the personnel service ratings. How would you rate the service that you received? As a member of one of these ratings, how would your service as a YN be rated by those whom you have served? What effect does good or bad service that you receive from other people have on you? How would you respond to courteous treatment and efficient action, as opposed to negative service and an uncaring attitude? Consistent and courteous service to every customer, regardless of rank or rate, provides you with a sense of pride in your performance. Acknowledge and address customers using the appropriate military courtesies and provide them with your undivided attention. If you are in the middle of something, acknowledge the customer’s presence and then provide an approximate time when you will be able to provide assistance. Keep in mind that personal electronics (e.g. smart phones) and social media interaction never take precedence over the needs of a customer. Your Role in the Administration Office Below are some of the roles that you will fill in the office: • Recognizing the customer’s needs—providing good customer service refers to the quality of service that you provide, regardless of whether you were able to comply with all that the customer requests. • Improving your contact skills—recognize that different personnel in the Navy have different needs. • Examining your attitude—recognize that your impression sets the stage for the daily interactions with customers.

1-9 • Role of the customer—it is just as important to treat the person providing the service respectfully as it is to treat your customers fairly. • The customer’s first impression—endeavor to create a positive and lasting impression; you may handle many customers in the course of a day, but remember that every customer deserves the same courteous treatment. Analyzing the Customer Analyzing the customer can create problems. Never assume to know the customer’s state of mind or the complexity of his or her problem. The customer, your co-workers, and your supervisor are always viewing your performance. Therefore, in order to do your best work, you must always maintain self- control. Be a professional customer service representative and think before you act. Some of the common mistakes in trying to provide good customer service include: • Jumping to conclusions • Personal reactions • Stereotyping • Demeanor • Language barriers Refer to the Navy Customer Service Manual, Naval Education and Training (NAVEDTRA) 14056A for a more in-depth look into these topics. CAREER OPPORTUNITIES As your career progresses, there will be opportunities for specialization or for a career change. Schools and additional Navy Enlisted Classifications (NECs) will be available to you during your career as a YN. The following paragraphs will provide information on these opportunities. Schools The key to attaining NECs is training and schools. Information on qualifications is provided in section II of the Navy Enlisted Manpower and Personnel Classification and Occupational Standards Manual, Navy Personnel Command (NAVPERS) 18068F. Information on schools is provided in the Catalog of Navy Training Courses (CANTRAC). Below is a list of schools for eligible YN personnel: • Yeoman “A” School (A-510-0012)—to provide the operating forces with personnel capable of performing entry-level tasks by providing organized and intensive training, enabling trainees to apply concepts of knowledge gained that are required by a YN seaman apprentice. • Yeoman “C” School (Yeoman Flag Writer (A-511-0015))—to provide top-performing YN personnel with extensive training in flag office administration and management to qualify for duty on the personal staff of flag officers, general officers, and senior executive service personnel at sea and on shore. • Yeoman “F” School (Yeoman/Personnel Specialist Advanced Administration (A-510-0024))—to provide senior YN/PS personnel with a thorough knowledge of administrative/personnel office management and procedures.

1-10 • Legal Clerk (S-512-0009)—to train active duty junior enlisted service members to perform the duties of a unit legal clerk by providing training in areas of military criminal law, military justice procedures, and civil and administrative law. Navy Enlisted Classification The NEC coding system identifies special qualifications based on an individual’s education or experience. As a YN, you can qualify for the following NECs: • YN-2514, Flag Officer Writer—given after completion of YN “C” School; trains a YN to work on flag officers personal staff. • YN-9190, Special Security Assistant—trains YNs to deal with Top Secret/Sensitive Compartmented Information (SCI) personnel security and classified directives and information. • YN-9556, Security Specialist—assists the security manager in performing security-related administrative control and accountability for all classified materials for the command. Further information on NECs is located in the Manual of Manpower and Personnel Classifications and Occupational Standards, Volume I, Navy Enlisted Classification (Figure 1-4). YEOMAN PRIMARY DUTY DESCRIPTION Administrative Assistant YNs perform clerical, personnel security, and general administrative duties, including typing and filing; prepare and route correspondence and reports; maintain records, publications, and electronic service records; counsel office personnel on administrative matters; perform administrative support for shipboard legal proceedings and maintain shipboard legal files; conduct reporting/detaching and required retention-related interviews; prepare and maintain personnel security documents and perform other personnel-related functions; and serve as office managers. Administrative Supervisor An administrative supervisor supervises and performs general office, clerical, and administrative duties, including typewriting, office machine operation, office communication, filing, and records maintenance; maintains files; operates duplicating, adding, calculating, and copy machines. The administrative supervisor performs the duties requires of an administrative assistant, to include organizing and monitoring filing and records maintenance, retention, and disposal, maintaining officer personnel records; routing correspondence; typing records, correspondence and reports; sending, receiving, and accounting for official and registered mail; and advising personnel of benefits, types of duty, and resolution of customer pay problems. In addition, he or she performs duties required for YN petty officer second class (YN2), to include drafting correspondence, instructions, and notices; Figure 1-4 — NEC manual cover.

1-11 verifying accuracy of job orders and work requests; assisting in the supervision of clerical functions; maintaining classified materials control systems; verifying accuracy of official correspondence and reports; monitoring submission and maintenance of officer fitness reports; and supervising and directing clerical functions. Administrative Officer Manager An administrative office manager manages and performs the duties required for an administrative supervisor. An administrative office manager must be able to perform the duties required for a chief YN (YNC), to include interviewing, assigning, supervising, and evaluating office personnel; recommending improvements in office procedures; procuring and allocating office materials and equipment; supervising and controlling the security of sensitive records; and training officer personnel. An administrative office manager also functions as officer supervisor and master chief YN (YNCM) and must be able to perform the duties required for Senior Chief YN (YNCS), to include establishing goals, objectives, and priorities in the administration of the office function; planning, organizing, implementing, coordinating, and controlling activities; reviewing and making recommendations concerning office personnel, equipment, and supply requirements; developing operating budget for the office and monitors office expenditures; and preparing staff studies. Full-Time Support As a full-time support (FTS) YN, you are required to know all material discussed in this chapter, in addition to specific requirements of service at a Reserve Command. You are responsible for the administration of the Ready Reserve and Standby Ready Reservists. Bureau of Naval Personnel Instruction (BUPERSINST) 1001.39(series) and Commander, Naval Reserve Forces Instruction (COMNAVRESFORINST) 1001.5(series) provide policy and guidance for administering Navy Reserve personnel not on full-time active duty orders (FTS personnel are on full-time activity duty orders). Ordinarily, you are assigned to one of the following reserve command departments: • Administration • Training • Operations • Reserve Pay (RESPAY) • Manpower At a minimum, familiarize yourself with administrative procedures for drilling reservists and participating members of the Individual Ready Reserve (IRR). Each member of the Navy Reserve not on the active duty list (ADL) is placed in one of the following three categories:

1-12 • Ready Reserve • Standby Reserve, consisting of Standby Reserve-Active (S1) and Standby Reserve-Inactive (S2) • Retired Reserve YEOMAN ADVANCED LEADERSHIP POSITIONS The following advanced YN leadership positions will be discussed in the paragraphs below: • Leading petty officer (LPO)/Submarine leading YN (LYN) • Ship’s secretary • Administration officer Leading Petty Officer and Submarine Leading Yeoman Both the LPO and LYN positions directly represent the XO. They are the senior YN responsible for all functions of administration and personnel management. The duties, responsibilities, and authority of the LPO and LYN are wide ranging, combining the duties of multiple YN billets typical in other communities. Although both positions are concerned with all policies, procedures, and regulations of the command, the LYN is responsible for controlling the administration and accountability of correspondence onboard submarines. If warfare designated, from the time you are advanced to petty officer, consider yourself in training for performance of duties as an LPO or LYN. The YN Personnel Qualification Standard (PQS) addresses specific knowledge factors required to qualify as an LYN and LPO. Routine duties include, but are not limited to, the following: • Observing and reporting to the XO on the effectiveness of administrative policies, procedures, and regulations of the command. • Controlling the administration and accountability of all correspondence and directives prepared for signature or review by the XO and ensuring that they conform to the Department of the Navy Correspondence Manual, SECNAV M-5216.5; and preparing all command directives per the Navy Directives Management Program, OPNAVINST 5215.17(series) and pertinent command instructions. • Initiating administrative action, where appropriate, in the case of instructions and other administrative directives. • Scheduling interviews of visitors with the XO and CO. • Exercising budgetary control of travel funds. • Supervising preparation of the plan of the day (POD) and review for the arrangement and content before submission for signature. • Serving as the legal officer for the command, including basic legal services for assigned personnel (e.g. powers of attorney and court letters) and coordination of COs nonjudicial punishment (NJP), to include serving as a court reporter. • Managing all manpower and manning.

1-13 LYN responsibilities and actions are further explained in The Submarine Force Personnel Manual, Commander Naval Submarine Force Instruction (COMNAVSUBFORINST) 1306.1(series). Ship’s Secretary As the senior YN stationed on board a surface ship or LYN on a submarine, you may be assigned as the ship’s secretary. The ship’s secretary reports to the CO as his or her personal secretary. The ship’s secretary is responsible for the management, accountability, and distribution of the CO’s personal correspondence. The ship’s secretary often must decide whether an extra copy of official correspondence should be retained, destroyed, or forwarded to higher authority. In most cases, the CO retains his or her own personal file or entrusts upkeep of the file to the ship’s secretary. Administrative Officer Under the XO, AOs are responsible for management, accountability, and distribution of the command’s official correspondence. In addition to reviewing all official correspondence, the AO reads, or is at least aware of, each piece of incoming mail and ensures that all official correspondence is processed and routed properly. Aboard smaller vessels, the XO is responsible for the ship’s office. The AO ensures that the file system is set up properly for both classified and unclassified matter, a record of all persons who see Top Secret is kept, obsolete matter is disposed of properly, and above all, correspondence is maintained accurately. The AO also promulgates 5060 Notice for ceremonies. The Department of the Navy Standard Subject Identification Code (SSIC), SECNAV M-5210.2 provides guidelines for the filing system to accommodate both classified and unclassified matter. Article 6.2.5 of the SORM and the Department of the Navy Information Security Program, SECNAV M-5510.36 set forth the requirements for the control and transmission of classified material. Reviewing these publications will help you determine if your office is following the proper procedures. OCCUPATIONAL AREAS Although YNs are assigned to a large number of different offices and despite the various areas each office oversees, administrative procedures are fairly consistent. With a basic understanding of these procedures, you will fit easily into the routine of any office. YNs control incoming and outgoing mail, maintain career-related documents of the command’s officers, perform legal and disciplinary actions, maintain the command’s master instructions and notices, and process award recommendations and performance reports. The size of the command determines the size and manning of the administrative office. At larger commands, the responsibilities may be split between other offices employing several YNs. There could be a separate legal/discipline office and possibly a separate office for classified material processing. At smaller commands, there may only be one of two YNs assigned for all administrative actions. The following information lists the types of administrative offices: Shore Administrative Offices • Administrative department • Command suite • Staff administration

1-14 At Sea Administrative Offices • CO’s administration • Ship’s office (on smaller vessels, the XO is responsible for the ship’s office) • XO’s administration Other Offices • Command master chief • Various departmental administration offices (operations, weapons, reactor, etc.) FLAG OFFICER SUPPORT The following section contains information on how to successfully set up and manage a flag office. Although not an all-inclusive discussion on how to setup and manage a flag office, this section offers some basic guidance. Each flag officer and job will be different. You may be assigned to a billet that strictly requires administrative oversight. In another position, you may be required to act as a flag writer, flag secretary, and protocol officer. Each job is different and is primarily controlled by the needs of the flag officer and how he or she views your role. To understand this dynamic, it is imperative to enter into a discussion with your supervisor to clarify what will be expected of you while assigned to the flag officer’s personal staff. Front Office Staff In general, most front office staff will consist of the flag writer, chief of staff (CoS), executive assistant (EA), flag aide, flag secretary, and in some cases drivers and security. Flag Writer The flag writer reports directly to the flag officer to which he or she is assigned. The flag writer is responsible for the operation flow and symbiosis of the flag officer’s front office, even those flag writers serving in junior paygrades. Figure 1-5 displays an example of the daily interaction between a flag officer and his or her flag writer. Administratively, the flag writer manages the following tasks: • Preparing professional and personal schedules • Proofing and drafting flag-level correspondence • Smoothing flag and officer fitness reports and enlisted evaluations • Proofing speeches • Managing protocol issues • Proofing and drafting personal correspondence • Managing official travel arrangements In addition, the flag writer may also be responsible for preparing executive speeches.

1-15 Chief of Staff Normally, the CoS is a post-major command CO with considerable experience. The CoS will normally serve as the CO for the enlisted personnel assigned to the flag office. The CoS manages the staff and integrates all internal and external concerns to the flag officer for his or her attention and/or action. The CoS is the “prioritizer” of the front office team and the driving force behind day-to-day operations of the staff of at sea commands. Executive Assistant The EA is solely responsible for the overall management of daily flag operations for shore commands. The EA’s job carries great weight and responsibility as the intellectual sounding board for the flag officer. The EA’s primary job is to attend meetings, understand the direction and priorities of the flag officer, and assist in keeping the flag officer focused. Additionally, the EA assists the flag officer in answering email correspondence from other flag officers and senior staff members. EAs are vital in lightening the administrative burden of the flag officer to allow the flag officer to focus on the larger picture. EAs, in some cases, may be called upon to assume the duties of the flag aide when there is none present. The EA is the “go to” person for answers in dealing with scheduling conflicts and, to a larger extent, long-range planning. An EA must be able to determine where and when the flag officer needs to be and what items need to be addressed first. Flag Aide The flag aide is an officer who executes the day-to-day schedule alongside the flag officer. Their primary role is to assist the flag officer in being on time, at the right location, in the proper uniform, and with the right information to execute the activity the flag officer is called to engage in. A flag writer acts as the primary back-up and direct assistant to the flag aide. There will be occasions in which the flag aide is unfamiliar with the position. In these cases, the flag writer should provide the guidance and training that is necessary to make the flag aide effective at their position. Flag aides can also perform the duties as driver, travel arranger, and ambassador for the flag officer. In addition, many flag aides will schedule and arrange many of the meetings the flag officer needs to attend. Figure 1-5 — Example of interaction between a flag officer and a flag writer.

1-16 The secondary job of a flag aide is to ask all of the questions that may be asked in advance of the next scheduled meeting or travel. In other words, the flag aide will ask who, what, when, where, and why, and more important, how. Flag officers look upon their flag aides as having the answers to the questions yet to be asked. Flag Secretary The flag secretary performs the roles of manager of the staff’s official correspondence and primary assistant to the CoS. Flag secretaries manage a myriad of correspondence, such as general administration, officer fitness reports, enlisted evaluations, editing of message traffic, official email correspondence, and delivery of completed administrative materials back to the respective staff code. The flag secretary can be extremely useful in proofing correspondence being presented to the flag officer or CoS for his or her approval or signature. Peer reviews of materials can be the contributing factor to the success of the front office and in ensuring that the flag officer receives a quality product each and every time. Drivers and Security On larger flag officer staffs there may be an assigned driver and security staff. The flag writer’s role is to manage the daily execution of the schedule requiring the driver and security support. Flag writers should hold regular meetings to ensure the cohesiveness and fluidity of the flag officer’s schedule. The flag aide should be present at the meeting if at all possible. The flag officer’s staff should ensure that the driver and security personnel understand the date and time of each event and that they execute a preliminary run to ensure that everything runs smoothly on the day of the event(s). SOCIAL USAGE AND PROTOCOL The Social Usage and Protocol Handbook, OPNAVINST 1710.7(series) contains the current information on formal and informal activities that have a distinct naval military and/or diplomatic setting. The handbook does not seek to duplicate the material available in numerous civilian etiquette texts that also apply to the military community. Official Entertainment Members of the naval service can expect to be involved in the planning and execution of official ceremonies and a variety of social events. Protocol is a code of established guidelines on proper etiquette and precedence, and when adhered to, lays the foundation for a successful event. Precedence Precedence is defined as priority in place, time, or rank. In the Government, military, and diplomatic corps, precedence among individuals’ positions plays a significant role. That is, in day-to-day business, ceremonial occasions, and social functions, we respect the office the individual represents, ranking that individual according to our perception of the importance of his or her position. Office position in the Government is determined by election or appointment to office or promotion within the military structure. The relative importance of different positions is taken into account, and the date of the promotion’s establishment is frequently considered.

1-17 Military rank constitutes a clear basis for determining seniority among military personnel. Comparable rank and the date of its attainment will decide the precedence among officers from the different services, both U.S. and foreign. By custom, reserve officers are ranked with, but after, active duty officers of the same pay grade. Retired officers are ranked similarly, with their precedence following reserve officers of the same grade. Diplomatic precedence is the result of international agreement. Invitations Invitations vary in style and format, depending on the occasion for which they are used. The following paragraphs will discuss the broad categories of formal and informal invitations. Formal A formal occasion includes, but is not limited to, an official ceremony, any type of reception, an official luncheon or dinner, a dance, or a wedding. In these situations, a formal invitation is the most appropriate. Formal invitations are generally in one of the following forms: • Fully engraved • Semi-engraved • Computer-generated • Handwritten • Phone call, followed by a “To Remind” card Informal Invitations for informal occasions, such as unofficial luncheons, dinners, cocktail parties, and buffet dinners, may be issued by telephone or in writing. A telephone call may be followed by a written “To Remind” card, but this follow-up is not essential. Invitations may be written on informal cards or on a variety of invitations available for specific occasions in stationary stores. In addition, a short personal note from the host or hostess is appropriate. NOTE The Office of the Secretary of the Defense is responsible for distributing and for the order of precedence listing. The listing may be obtained from the Office of the Deputy Chief Management Officer, 9010 Defense Pentagon, Washington, DC 20301.

1-18 Seating Arrangements The seating arrangements (Figure 1-6) at any type of function are very important. The host who ensures a proper balance of protocol and common sense will find his or her event to be more enjoyable and therefore more successful. The first step in preparing a seating arrangement is to consider the type of function as well as the guests involved. If one were to host a formal dinner inviting high-ranking guests of similar backgrounds who know one another very well, then strict adherence to seating by rank would be the best approach. Such a situation is more the exception than the rule, however. Usually a guest list includes persons of varying ranks, career backgrounds, and nationalities. The primary concern should be to ensure that guests enjoy themselves. Therefore, bear in mind the importance of eating by rank to an extent, but also mix the group a bit to create an environment for interesting and enjoyable conversation. Receptions Receptions are the most popular form of official entertaining. They allow wide variance in the number of guests invited and in the formality of the occasion. They range from the very formal, which might be a reception after 8 p.m. hosted by an ambassador in honor of visiting heads of state, to the less formal, perhaps one hosted by a military attaché from 8 to 10 p.m. in the evening in celebration of Armed Forces Day. The most common and least formal affair is held from approximately 6 to 8 p.m., frequently in honor of a visiting official or in celebration of some event. Characteristically, receptions differ from the simple cocktail party in that they are intended to honor individuals or a specific occasion. The atmosphere is somewhat more formal, their duration is prescribed, and there is always a receiving line. The thoughtful host/hostess who plans a reception in honor of a high-ranking official will consult with the latter regarding a mutually agreeable date and time before ordering invitations. Guests should arrive before the receiving line disbands, normally within the first 35 minutes of the reception. The order of persons in the receiving line may vary with the type of occasion and desires of the hosting official. Ships Ceremonies Navy tradition dictates that each ship constructed for the service be honored on four historic ceremonial occasions: • Keel-laying • Christening or launching Figure 1-6 — Typical formal seating arrangement.

1-19 • Commissioning • Decommissioning Various directives pertaining to these events are issued periodically. Check with the office of the senior Navy official (e.g. fleet command or type commander) for local guidance. Questions often arise concerning the proper wording of invitations and the agenda for the ceremony. Fortunately, existing regulations do not predetermine the precise sequence of activities or establish inflexible protocol stipulations. Keel-Laying The first milestone in the history of a ship is generally a simple ceremony that marks the laying of the keel. Shipyard officials issue the invitations and conduct the ceremony. The builder may be the commander of a naval shipyard or the president of a private company. Christening or Launching In this second significant ceremony, the recently constructed ship is solemnly dedicated, named, and committed to the sea. Launching programs have many variations, even as to whether it is known as a launching or christening, or both. In addition to existing circumstances, the desires of the shipbuilder and of the Navy will determine its final form. It should be noted that the designation of United States Ship (USS) is not properly used with the ship’s name at this point because the ship has not yet been accepted into naval service. Figure 1-7 is an example of a ship’s christening ceremony. Commissioning The third and most important ceremony in the history of a ship admits her to the Navy. The essence of the ceremony is her acceptance by the Navy, entitling her thereafter to fly the commissioning pennant and to be designated as a “USS.” The commissioning process has two major steps. Initially, the builder turns the ship over to the senior Navy official. The latter, who is the intermediary between builder and prospective CO, receives the ship and commissions her. The Navy official then turns the ship over to the prospective CO, who accepts her, assumes command, and proceeds to act as host for the remainder of the ceremony.

1-20 Decommissioning Decommissioning, the final ceremony, terminates the active naval service of ships other than those lost at sea. A decommissioning is generally a somber occasion and far less elaborate than any of the others discussed here. Change of Command and Retirement Ceremonies Traditional ceremony surrounds the important military occasion of change of command (COC), whether of a ship or shore activity. The following recommendations regarding invitation format and the sequence of events are outlined in the Department of the Navy Social Usage and Protocol Handbook, OPNAVINST 1710.7(series) and offered to supplement both the existing Navy regulations on the subject and the individual desires of the principal participants. Refer to Annex I for a detailed checklist for change of command ceremonies. Figure 1-8 is an example of a COC used that you might see at an operational command. Retirement ceremonies, because of their similarity to change of command ceremonies (with which they are often concurrent), are organized in much the same way as a change of command ceremony, although in this instance there is only one central figure—the person retiring. The person retiring should play a major role in the planning of his or her retirement ceremony. Figure 1-7 — Ship’s christening.

1-21 OFFICER PROMOTIONS Active duty officer regular statutory promotion boards are governed by SECNAVINST 1420.1(series). Navy selection/promotion boards fall under two primary categories: statutory and administrative. Statutory boards are those required by law or by statute, in this case Title 10, United States Code (U.S.C.). Title 10 is a codification of laws relating to the armed forces passed by Congress and approved by the President. Statutory boards include active duty officer: • Promotion • Continuation • Early retirement Administrative, or nonstatutory, boards are convened based on service needs and regulations rather than Federal law. Administrative boards include the following functions: • Screening for leadership or command positions • Screening for special duty • Transitions • Awards Time-in-Grade Requirements An officer who is on the ADL of the Navy and holds a permanent appointment in the grade of ensign or lieutenant (junior grade) may not be promoted to the next higher permanent grade until the officer has completed the following period of service in the grade in which a permanent appointment is held: • 18 months in the case of an officer holding a permanent appointment in the grade of ensign • 2 years in the case of an officer holding a permanent appointment in the grade of lieutenant Figure 1-8 — Example of a COC checklist.

1-22 (junior grade), except that the minimum period of service in effect under this subparagraph before 01 October 2008, shall be 18 months An officer who is on the ADL of the Navy and holds a permanent appointment in a grade above lieutenant (junior grade) may be considered for selection or promotion to the next higher permanent grade until the officer has completed the following period of service in which a permanent appointment is held: • 3 years in the case of an officer of the Navy holding a permanent appointment in the grade of lieutenant, lieutenant commander, or commander • 1 year in the case of an officer of the Navy holding a permanent appointment in the grade of captain or rear admiral (lower half) Once the Office of the Secretary of Defense approves the board, the selections are released via an all Navy (ALNAV) message (Figure 1-9). Selectees for promotion are in a Select status but are not yet promoted. Actual promotions start at the beginning of the fiscal year according to a promotion phasing plan approved by the Secretary of the Navy (SECNAV) and published online. Official promotion of an officer is announced via a monthly naval administrative (NAVADMIN) message. The selection board report for promotion is approved by the SECNAV and confirmed by Congress. The names of the officers selected are announced and placed on a promotion list for each competitive category in order of seniority. The promotion becomes effective when a vacancy opens during the fiscal year following the year selected. A Navy-wide message announces the officer’s date of rank and establishes the date of pay, allowances, and obligations. Figure 1-9 — Typical officer promotion ALNAV message.

1-23 Upon receipt of a promotion message, a YN prepares a Delivery of Temporary/Permanent Appointment (NAVPERS Form 1421/7) (Revision [Rev] 10-13). Use the current NAVADMIN as a reference. Use SECNAVINST 1420.1(series) as a reference for promotion of permanent lieutenants and above. Use SECNAVINST 1412.8(series) as a reference for promotion of limited duty officers lieutenant and above and chief warrant officers. Limited duty officer appointment to lieutenant is a permanent appointment; acceptance of the appointment is acceptance of the permanent appointment as limited duty officer. Mail the completed NAVPERS Form 1421/7 to Commander, Naval Personnel Command (NAVPERSCOM) PERS-806. Fail to Select When in and above zone officers fail to select for promotion, the following steps must be completed: • Consult the Counseling of Officers Who Fail to Select for Promotion, Military Personnel Manual (MILPERSMAN) 1420-050. • The officer must request formal failed to select (FOS) counseling from his or her detailer; it is not automatic. Officer Promotion Point of Contact The following list contains the departments to contact for specific information on officer promotions: • PERS 801/803—officer and enlisted promotion selection board execution (includes spot and special selection boards) • PERS 804—pre- and post-board processes (e.g., precept/convening orders and community briefs) • PERS 83—officer and enlisted performance, separation, retirement, and adverse matters SUMMARY In this chapter we discussed the requirements of the YN rating for all paygrades. We described the importance of providing consistent, good customer service. We stressed that in order to provide good customer service, you must maintain a good attitude, pride in your job, and pride in yourself. As you progress in rank and responsibility, how you care for your Sailors and how you oversee your assigned programs helps ensure that your customers get high-quality service. The chapter provided a snapshot of expectations for the day-to-day functions of a successful office. All office procedures—whether attending to your office layout or to obtaining the supplies necessary for ensuring timely completion of work—affect your ability to perform your duties well. The range of duties will encompass an ever-increasing number of topics. As a YN, you will never stop learning how to perform your administrative duties effectively. As a reminder, continue to seek out and review reference manuals for all tasking to ensure that you deliver a quality product and that your office operates as efficiently as possible. As a trusted YN, you have the opportunity to gain and hold the confidence of seniors and to influence command actions and attitudes more than other Navy ratings in the same paygrade. Do not take this for granted. A YN who performs exceptionally will stand out from among his or her peers.

1-24 End of Chapter 1 Navy Yeoman Review Questions 1-1. What Secretary of the Navy Manual sets forth the guidelines to follow to store classified information? A. 5540.36 B. 5530.36 C. 5520.36 D. 5510.36 1-2. In an office setting, personal objects should be stored in what manner? A. In plain view B. Away from view C. On top of a desk D. Under a filing cabinet 1-3. How many inches should chair seats be situated below the base of typewriters or computer keyboards? A. 10 B. 12 C. 14 D. 16 1-4. Which of the following items is NOT a common piece of office equipment? A. Typewriter B. Laptop C. Digitizer D. Scanner 1-5. What Standard Subject Identification Code series encompasses financial management topics? A. 6000 B. 7000 C. 8000 D. 9000 1-6. What Standard Subject Identification Code series encompasses information technology and communications topics? A. 2000 B. 3000 C. 4000 D. 5000

1-25 1-7. What Standard Subject Identification Code series encompasses civilian personnel topics? A. 10000 B. 11000 C. 12000 D. 13000 1-8. What mail item should be used to route all mail of importance? A. Item list B. Control slip C. Packing form D. Receipt sheet 1-9. What officer, in coordination with the executive officer, is responsible for the implementation of the directives issuance system? A. Deck B. Personnel C. Engineering D. Administrative 1-10. Other than the subject classification number, what other information is used to file instructions or notices received from outside activities? A. Originator B. Date received C. Number of pages D. Signature authority 1-11. What does the acronym SOP stand for? A. Standard operating principle B. Standard originating procedures C. Standard operating procedure D. Standard operation procedure 1-12. What quality is the primary means of communication? A. Voice B. Gestures C. Eye contact D. Facial expressions 1-13. What critical attribute is best described as conveying to personnel that you will solve their problems in a timely manner? A. Training B. Patience C. Positivity D. Expectations

1-26 1-14. What critical attribute will directly affect the reputation of your department and the command climate? A. Training B. Patience C. Positivity D. Expectations 1-15. What critical attribute can be described as keeping on top of the changes in policy or management systems? A. Training B. Patience C. Positivity D. Expectations 1-16. Which of the following traits is demanded of a yeoman? A. Vision B. Courage C. Integrity D. Resilience 1-17. Other than attitude and appearance, what other trait plays a major role in good customer service? A. Pride B. Timeliness C. Confidence D. Inattentiveness 1-18. Which of the following roles best describes recognizing that your impression sets the stage for the daily interactions with the customer? A. Recognizing the customer’s needs B. Improving your contact skills C. Examining your attitude D. Role of the customer 1-19. Which of the following characteristics is NOT a common customer service mistake? A. Personal reactions B. Language barriers C. Attentiveness D. Demeanor 1-20. What yeoman school provides senior personnel with the knowledge of administrative and personnel office management and procedures? A. A B. B C. C D. F

1-27 1-21. What yeoman school provides top-performing Sailors with extensive training in flag office administration and management? A. A B. B C. C D. F 1-22. What yeoman Navy Enlisted Classification deals with Top Secret/Sensitive Compartmented Information personnel security? A. 2514 B. 8800 C. 9190 D. 9956 1-23. What yeoman Navy Enlisted Classification describes a yeoman trained to work on a flag officer personal staff? A. 2514 B. 8800 C. 9190 D. 9956 1-24. What does the acronym FTS stand for? A. Full-Time Service B. Full-Time Support C. Functional Time Service D. Functional Time Support 1-25. Other than a submarine leading yeoman, what other advanced leadership position directly represents the executive officer of a command? A. Ship’ secretary B. Duty section leader C. Leading petty officer D. Administrative assistant 1-26. A staff administration department is normally part of what component’s administrative offices? A. Sea B. Shore C. Reserve D. Expeditionary 1-27. What member of a flag officer’s personal staff is a post-major activity commanding officer? A. Executive assistant B. Chief of staff C. Flag writer D. Flag aide

1-28 1-28. What member of a flag officer’s personal staff is responsible for the operational flow of the front office? A. Executive assistant B. Chief of staff C. Flag writer D. Flag aide 1-29. What member of a flag officer’s staff is normally responsible for the management of the daily operations of shore commands? A. Executive assistant B. Chief of staff C. Flag writer D. Flag aide 1-30. What term is used to describe a priority in place, time, or rank? A. Eminence B. Reticence C. Confluence D. Precedence 1-31. What type of ship’s ceremony is the second significant milestone in a ship’s service lifetime? A. Decommissioning B. Commissioning C. Christening D. Keel-laying 1-32. A ship is entitled to the “USS” designation after the completion of what type of ship’s ceremony? A. Decommissioning B. Commissioning C. Christening D. Keel-laying 1-33. What United States Code Title is a codification of laws relating to the armed forces? A. 10 B. 20 C. 30 D. 40 1-34. What type of message is used to inform officers of their selection for promotion? A. All Navy B. All Marine Corps C. Naval administrative D. Secretary of the Navy

1-29 1-35. What Secretary of the Navy Instruction is a reference for promotion of lieutenants and above? A. 1420.1 B. 1420.2 C. 1420.3 D. 1420.4

2-1 CHAPTER 2 TECHNICAL ADMINISTRATION As a yeoman (YN), you will be asked to prepare many different types of documents and correspondence. This chapter covers those assignments governed by local policy and may be different from those with which you are familiar. The following are some general examples of documents and tasking that fall in this category: • Correspondence • Awards • Fitness Reports and Evaluations • Reports and Forms • Records Management • “Local Practice” Documents (Command Recall Listing (Social Roster), Telephone Directories, Muster Reports, Officer Social Roster, Liberty Passes, and Plan of the Day/Week) LEARNING OBJECTIVES When you have completed this chapter, you will be able to do the following: 1. Identify the types of naval correspondence. 2. Describe the different types of awards and how they are prepared, processed, and filed. 3. Describe the types of evaluations and FITREPs, to include format and processing. 4. Discuss the procedures for developing, managing, and using reports and forms management programs. 5. Discuss the responsibilities for developing, managing, and using reports and forms management programs. 6. Define what a record is and the disposition, disposal, and retention of records. 7. Identify local practice documents. CORRESPONDENCE One of your most important tasks as a YN is the preparation of correspondence. You are expected to produce error-free, properly formatted letters quickly and efficiently. In addition to letters, the term official correspondence includes all written material, publications, messages, and memorandums that are sent to or from the command. This section introduces you to the Navy filing system, equipment used commonly by YNs, and various procedures that aid in performing your YN duties efficiently and effectively. In this section, you will learn the basic standards and procedures for formatting official correspondence. As a YN, you are expected to compose letters from brief notes or even from oral instructions. You are expected to know spelling, grammar, punctuation, capitalization, abbreviations, and proper English usage to avoid the

2-2 most obvious errors. Navy correspondence preparation is described as the standard Navy letter, joint letter, multiple- address letter, endorsement, memorandum, and business letter. As a YN, you will disseminate incoming correspondence and route to the proper offices for action and/or information purposes. The Standard Letter Instructions for typing standard letters are contained in the Department of the Navy (DON) Correspondence Manual, Secretary of the Navy (SECNAV) M-5216.5 and it is important to follow these instructions as the manual describes. All figures of SECNAV M-5216.5 provide amplifying information for proper formatting procedures. Uniformity is essential to an accurate and expeditious information flow. A sample standard letter is shown in Figures 2-1 and 2-2. Figure 2-1 — Standard letter (first page).

2-3 Joint Letter The joint letter shown in Figure 2-3 is a variation of the standard letter, in which two or more commands wish to issue information establishing an agreement or discussing a matter of mutual concern. Several changes occur in preparation of such a letter. The originators of the joint letter are both identified in the letterhead, with the senior originating command on top. The originator blocks are located two spaces below the letterhead. The senior originating command’s information appears flush with the right margin while the junior originator is flush to the left. The words JOINT LETTER are typed two lines below the date. Figure 2-2 — Standard letter (second page).

2-4 Signature blocks are arranged across the page, with the senior official’s signature ending flush with the right margin and the most junior official’s signature beginning at the left margin. The signature of a third co-signer, if required, is centered on the page. Multiple-Address Letter A multiple-address letter is addressed to two or more activities individually identified in the “To” line, or as a group in the “Distribution” line. The letter is typed like a standard letter, with the exception that more than one title is listed in the “To” line, in seniority order. Begin each new title on its own line. Figure 2-3 — Joint letter.

2-5 Each addressee must receive a letterhead copy with a signature. The copy can be an original or a photocopy. Examples of multiple-address letters are shown in Figures 2-4, 2-5, and 2-6. Figure 2-4 — Multiple address letter using “To:” line.

2-6 Figure 2-5 — Multiple address letter using “Distribution:” line.

2-7 Serial Numbers A serial number is not required on unclassified correspondence. Whether unclassified correspondence is serialized or not depends on local practice. An activity producing little correspondence, most of which is unclassified, does not need to use serial numbers. An activity using serial numbers shall start a new sequence of numbers at the beginning of each calendar year and assign numbers consecutively beginning with 001. For classified correspondence, start with the originator’s code followed by a forward slash with no spaces before or after the slash, the classification if classified (C for Confidential, S for Secret, TS for Top Secret), and then the next unused serial number for the current calendar year. An example of a serial number for a classified Figure 2-6 — Multiple address line using a “To:” and “Distribution: line.

2-8 letter is Ser N00J/S20. Refer to Figures 2-7 and 2-8 as an example of a standard letter with classification markings. Ensure you maintain a different serial log for each classification. All classified correspondence created by your activity must be given a serial number. Classification markings in this document are for training purposes only Figure 2-7 — Standard letter with classification markings (first page).

2-9 Executive Correspondence As a YN, you may be assigned to the Department of Navy Headquarters (DONHQ). You should familiarize yourself with executive correspondence. Executive correspondence has specific guidance on the internal and external written communication particular to DONHQ. When forwarding correspondence to offices of flag/general officers and senior civilian officials within DONHQ, every effort should be made to strictly adhere to prescribed formats, as deviation could unnecessarily delay processing for administrative action or complete restaffing. Further information can be located in SECNAV M-5216.5, Chapter 12. Classification markings in this document are for training purposes only Figure 2-8 — Standard letter with classification markings (second page).

2-10 Endorsement An endorsement is used when a letter is forwarded via your activity. When a letter comes to your activity because you are a “Via” addressee, your command must provide an endorsement to forward comments, recommendations, or information to the other addressees. For this purpose, an endorsement is prepared, rather than another letter. An endorsement, as shown in Figure 2-9, is prepared on letterhead paper, and a typed endorsement is prepared the same way as a standard letter. Figure 2-9 — Sample endorsement.

2-11 Memorandum A memorandum provides an informal way to correspond within an activity or between several activities. Subordinates may use memorandums to correspond directly with each other on routine business. Use the format that best suits the subject, occasion, and audience. Memorandum for the Record Use a memorandum for the record (MFR) as an internal document to record supporting information in the record that is not recorded elsewhere. Examples include documenting the results of a meeting, an important telephone conversation, or an oral agreement. Type or handwrite these most informal memorandums (Figure 2-10). Figure 2-10 — Memorandum for the record.

2-12 Plain-Paper Memorandum Use plain-paper memorandums (Figure 2-11) for informal communications within your activity. The format is more flexible when multiple addressees, via addressees, or both are used. Figure 2-11 — Plain-paper memorandum.

2-13 Letterhead Memorandum The letterhead memorandum (Figure 2-12) may be used within your activity and provides more formality than the printed form or plain-paper memorandum. When direct liaison with individuals outside your activity is authorized, the letterhead memorandum may be used to correspond on routine matters that neither make a commitment nor take an official stand. Action or Information (Info) Memorandum The action or info memorandum is required to forward documents to SECNAV. These memorandums are used to correspond within the Secretary of the Navy, with the Department of Defense (DoD), with the President, and with the White House staff, and to send routine material to other federal agencies. For more information, refer to the SECNAV M-5216.5 for proper formatting. Figure 2-12 — Standard letter (second page).

2-14 Memorandum of Agreement or Understanding The memorandum of agreement (MOA) or memorandum of understanding (MOU) may be used to document mutual agreements of facts, intentions, procedures, limits on future actions, areas of present or future coordination or commitments, and so forth. If an MOA or MOU is initiated by a non- DoD activity, DON activities are authorized to use their format. Examples of a MOA or MOU are shown in Figures 2-13, 2-14, and 2-15. Figure 2-13 — Memorandum of agreement.

2-15 Figure 2-14 — Memorandum of understanding (first page).

2-16 Figure 2-15 — Memorandum of understanding (second page).

2-17 Business Letter The business letter (Figures 2-16 and 2-17) can be used for correspondence between individuals within the DoD when the occasion calls for personal approach. The business letter is always prepared on letterhead paper. Because it has no “From” block, all copies going outside the command must have the letterhead information stamped or printed on them. Figure 2-16 — Business letter (first page).

2-18 Filing Correspondence This portion of the chapter introduces you to the basics of filing correspondence—from centralized and decentralized files, to types of filing equipment, to assigning standard subject identification codes (SSICs), to cross-referencing. As a YN, you will file incoming and outgoing correspondence and need to know how to quickly access your files. Figure 2-17 — Business letter (second page).

2-19 Centralized and Decentralized Files Your command keeps incoming and outgoing correspondence readily available by using one of two filing systems—centralized or decentralized filing. A centralized filing system, in which all official copies of outgoing correspondence and the originals of incoming correspondence are maintained in the same office, is used by ships, small shore commands, or commands with a minimal amount of correspondence. A decentralized system, in which the originals and official copies are maintained at the departmental level, is appropriate when there is considerable correspondence routed directly to a department or division having responsibility over a specific subject. Larger shore commands, Navy department offices or bureaus, or activities where offices are widely separated use the decentralized system. In either system, control and responsibility are assigned to one or two YNs. In a central file, all operations and control are under one person’s immediate supervision. In a decentralized system, a supervisor ensures that uniform filing practices are followed in each file location. Whichever system is used, files should not be duplicated. There should be only one official file. Standard Subject Identification Codes The DON SSIC, SECNAV M-5210.2, contains the numerical codes providing the basic classification structure for identifying and filing records. These codes cover most subjects found in general correspondence and other files. Because these numbers are used for numbering other naval documents (such as reports, forms, and directives) by subject category, they also provide the basis for a single Navy-wide subject numbering system. Filing Using SSIC Codes Filing by SSIC codes is the most important filing operation because it determines where the document will be placed in the files. A properly assigned SSIC can be readily identified and found when needed. Removing File Material Material removed from a file must be accounted for, and the identity of the person holding the material must be recorded. Recording this information becomes important when the CO asks for a specific piece of correspondence and wants it immediately. The Chargeout Record, Optional Form 23 (Figure 2-18), is available for this purpose. The identification of the material removed, the name and location of the person borrowing it, and the date it was borrowed are entered on the form. The form then replaces the document in the file folder. Periodically check the charge-out records in your files to ensure no documents have been out for more than 5 days. This check may help avoid loss or misplacement if the borrower should forget to return the document after it is no longer needed.

2-20 Establishment of Files Every year, every command closes out the files of the previous year. At the time when the previous year’s files are closed out, you should set up a new set of files. There is nothing difficult about setting up a new set of files, but you need to devote some thought to the process. The importance of having files is already well established. The accuracy of the filing system and the ease in retrieving information are important, too. Administering a command is an ongoing process requiring easy access to previous correspondence, either received or sent out. Manage files efficiently to avoid losing time and to maintain the command’s overall effectiveness. Figure 2-18 — Chargeout Record, Optional Form 23.

2-21 Always look over the last year’s files when setting up a new year’s files. Specifically, in reviewing your files, answer the following questions: • Where was the most information contained? • Which SSIC files were really bulky, and which contained only a few pieces of paper? Use your review of last year’s files to prepare your new folders. Some SSIC groups may be broken down further to find them more quickly. Some groups may be combined in the same folder to save space. If you set up the files for a brand new command, keep in mind the basic mission of your command. AWARDS In this section, we will discuss a general overview of guidance and regulations concerning awards available for recognizing individuals and units in naval service; provide an overview for preparation, processing, and file maintenance of the Personal Military Decoration/Unit/Service and Campaign Award; and understand how award recommendations are prepared using the information contained in Navy Department Awards Web Service (NDAWS) and Navy and Marine Corps Awards Manual, SECNAVINST 1650.1H. Resources Below are some of the resources available relating to awards: • Navy Department Awards Web Service (NDAWS) Website • Department of Defense Manual (DoDM) 1348.33, Manual of Military Decorations and Awards: General Information, Medal of Honor, and Defense/Joint Decorations and Awards • 303 Awards Clerk, Yeoman PQS Authority to Approve Awards In general, SECNAV retains awarding authority for all awards under the DON purview. However, in certain situations, SECNAV may delegate authority to approve the Legion of Merit and below. The SECNAVINST 1650.1H provides a listing of SECNAV delegations. Policy Considerations Awards are an important symbol of public recognition for heroism or valor, exceptionally meritorious service or outstanding achievement, and other acts or services above and beyond what is normally expected and which distinguish an individual or unit among those performing similar acts or services. Awards are intended to recognize Sailors and Marines who demonstrate exceptional valor, heroism, or meritorious service. An award should be recommended only in cases where the circumstances clearly merit special recognition of the actions or service. Only one award will be made for the same act, achievement, or period of meritorious service for any individual or unit. Classified Awards Make every effort to forward unclassified personal and unit award recommendations. Only forward as classified documents those recommendations involving the most sensitive operations. Classified awards slow the process considerably and, in most cases, valid documentation can be drafted without

2-22 classification. A classified award recommendation must include an unclassified proposed citation. Mail all Navy, Chief of Naval Operations (CNO) level classified awards to the SECNAV Special Awards Board. Refer to the SECNAVINST 1650.1H for the mailing address. Eligible Personnel The terms “Naval Service” and “serving in any capacity with the U.S. Navy,” as used in SECNAVINST 1650.1H include service in the U.S. Navy, U.S. Marine Corps, all Reserve components thereof, and the U.S. Coast Guard, when the Coast Guard, or units thereof, operate under the control of the Navy. Also eligible are U.S. Naval Academy midshipman and Naval Reserve Officer Training Corps (NROTC) when serving on active duty. For other personnel, refer to the SECNAVINST 1650.1H. Anyone who meets the eligibility criteria for an award may be recommended for it by any commissioned officer senior to the individual being recommended. For DON awards to personnel of other U.S. Armed Services (Army, Air Force, and Coast Guard), review SECNAVINST 1650.1H. Administrative Procedures Precedence of Awards The precedence of U.S. military and non-military decorations, medals, and ribbons authorized for personnel of the Navy and Marine Corps is listed in SECNAVINST 1650.1H. Protection of Awards 18 United States Code (USC) 704 prohibits and imposes a suitable penalty for the unauthorized wear, manufacture, or sale of any decoration, medal, or ribbon. Appurtenances Worn on Ribbons and Medals The YN should ensure the ordinal number sequence of the award proposed matches the correct appurtenance on the certificate to be presented. The Navy and Marine Corps Awards Manual, SECNAVINST 1650.1H provides further guidance on the appurtenances worn on ribbons and medals and explains eligibility requirements. Maintenance of Records CNO, Director, Navy Staff (DNS-35) and Commandant of the Marine Corps (CMC) maintain the master list of personal and unit military decorations awarded by all Navy and Marine Corps awarding authorities. Pertinent information from the Personal Award Recommendation Form, OPNAV 1650/3 (Rev. 7-04) (Figures 2-19 and 2-20) is entered into the NDAWS database and transferred on a weekly basis into the Navy Personnel Command (NPC) Master Awards File. In most instances, only personal awards, Navy and Marine Corps Achievement Medal and above, are recorded in NDAWS. Unit and campaign/service awards are entered into NDAWS by command, not by individual names. Consequently, these awards are not electronically documented. To update award records, refer to the NDAWS website. NDAWS Authorities are authorized to perform direct entry of approved awards into NDAWS. A list of NDAWS Authorities is available on the NDAWS website. Each delegated awarding authority shall maintain a permanent record of all awards processed, including the Office of the Chief of Naval Operations (OPNAV) 1650/3, a signed copy of the citation, supporting documents, and any related correspondence. Award documentation shall not be disposed of in accordance with the standards used for other types of correspondence and records. Review Department of Navy Records Management Program Manual, SECNAV M-5210.1, for specific guidelines on the handling of files for awards.

2-23 The Headquarters Marine Corps Awards Processing System (APS) is an electronic awards system that fulfills all record-keeping requirements for the Marine Corps. Awards approved by delegated Marine Corps awarding authorities do not require paper documentation. Figure 2-19 — Personnel Award Recommendation, OPNAV 1650/3 (page 1).

2-24 Figure 2-20 — Personnel Award Recommendation, OPNAV 1650/3 (page 2).

2-25 Personal Award Records Personal awards are important symbols of public recognition for rewarding extraordinary heroism, exceptionally meritorious service, outstanding achievement, and other acts or services that are above and beyond that normally expected. Personal awards distinguish an individual among those performing similar acts or services and are given in cases only where clearly deserved. Recognition of superior performance is accorded an individual at the termination of the period during which that person demonstrated that performance, such as at the end of the assigned tour of duty. Forwarding Personal Awards for Enlisted Service Record (ESR)/Official Military Personnel File (OMPF) Submission There are two separate procedures for inclusion of personal awards into a Sailor record, and in order to effectively manage the proper disposition of awards, both procedures must be understood and utilized. To forward personal awards for inclusion in the Enlisted Service Record (ESR), utilize your NDAWS awarding authority/administrator. Once a member’s award is reflecting in NDAWS, it will automatically reflect in their ESR. In the event the award does not reflect in the member’s NDAWS/ ESR, the following steps should be taken to correct the issue: • Make a copy of the missing award certificate (the one with the embossed, color picture of the award). • Write the members Security Number (SSN) and the awarding authority unit identification code (UIC) under the SSN and the awarding authority UIC under the SSN at the top right-hand corner of the copy. • If the award is a Meritorious Service Medal or higher (excluding the Purple Heart), then you must also submit the citation that came with the certificate. The citation usually has 18-22 lines of text. Write the members SSN and the awarding authority UIC under the SSN at the top right- hand corner of a copy of the citation. • Send the copies of the certificates/citations to the NDAWS Authority/Administrator IN YOUR CHAIN OF COMMAND. A list of these commands, including mailing information, will be posted under the “NDAWS Authorities,” which can be found in the reference documents under the Approval Authorities tab. The commands that currently have access are listed under the Echelon II command that they ultimately report to. NDAWS Submission Procedures The Navy Awards website (https://awards.navy.mil) is updated by the designated Approval Authority, according to the Sailor’s present command hierarchy. Echelon III and lower commands that do not have designated Approval Authority shall forward any approved awards to the next Approval Authority in their corresponding chain of command, listed in the Approval Authority page within Awards. Verification of submitted awards is imperative to quality control, and can be validated by reviewing the Sailor’s Honors and Awards section of the ESR. EXCEPTION Flag Letters of Commendation (FLOCs) should be submitted directly to Navy Standard Integrated Personnel System (NSIPS) Administrator of Personnel Support Detachment (PSD) for inclusion into the ESR.

2-26 Personal Military Decorations A military decoration is an award bestowed on an individual for a specific act or acts of gallantry or meritorious service. The Navy and Marine Corps Awards Manual, SECNAVINST 1650.1H provides a list of personal military decorations and explains eligibility requirements. Timeliness Timely recommendations are essential to a successful awards program. Submit a recommendation as soon as possible following the act, achievement, or service upon which it is based. Submit award recommendations to arrive at the final awarding authority for adjudication at least 60 days prior to the desired presentation date. Allow 90 days if the award is submitted through a lengthy chain of command. Time limits are 3 years for submitting most personal military decorations and 5 years for awarding them. Refer to the SECNAVINST 1650.1H for exceptions. Meritorious Service Recognition An individual is recognized for sustained superior performance at the termination of the period during which that performance was demonstrated. Factors to consider include the following: • End of tour • Specific achievement • Sailor of the year • Mid-tour award • Detachment of reporting senior • Dual responsibilities Refer to SECNAVINST 1650.1H for a complete definition of each. Award Recommendation Form Prepare recommendations for personal decorations on the OPNAV 1650/3. Complete instructions are available on the NDAWS website. Summary of Action (SOA) An SOA is required in all cases EXCEPT command-awarded Navy and Marine Corps Achievement Medals at Navy units. Citation Citation is laudatory and formalized. It must be factual and contain no classified information. The body of a citation consists of three parts: • Opening Sentence. This first part of the citation begins with a standard phrase describing the degree of meritorious or heroic service that is specific for each award. Refer to the SECNAVINST 1650.1H for each award, duty assignment of the individual, inclusive dates of service. • Statement of Heroic/Meritorious Achievement or Service. The second part of the citation identifies the recipient by name, describes specific duty assignments, his/her accomplishments

2-27 and the outstanding personal attributes displayed. No classified information may be included in the proposed citation. • Commendatory Remarks. The third part of the citation states that the outstanding attributes, mentioned or implied in the second part, which is specific for each award. Refer to the SECNAVINST 1650.1H for more information. Submission of Recommendations Address recommendations directly to the awarding authority having jurisdiction over the individual at the time of the act or service. A list of awarding authorities is provided in SECNAVINST 1650.1H. Awarding authorities may take one of the following actions: • Approve the award • Approve a lower award • Disapprove the award • Approve a higher award, if empowered to do so, or recommend a higher award to the appropriate authority • Return the award for further clarification or justification Unit Awards Unit awards foster morale and esprit de corps and provide incentive. Unit awards recognize entire organizations for outstanding heroism or achievement performed during periods of war, international tension, national emergencies, or extraordinary situations that involve national interests. Unit Awards must be submitted within 3 years from the date of the action or service and the award must be made within 5 years thereof. The Navy and Marine Corps Awards Manual, SECNAVINST 1650.1H provides a list of unit awards and explains eligibility requirements. Preparation of Recommendations Navy unit recommendations shall be prepared by completing Unit Award Recommendation, OPNAV Form 1650/14 (Figures 2-21, 2-22, and 2-23). Complete instructions are available on the NDAWS website. Campaign and Service Award A campaign or service award is issued to an individual to denote participation in a campaign, armed conflict, national emergency, or expedition, or to denote service requirements fulfilled in a creditable manner.

2-28 Figure 2-21 — Unit Award Recommendation, OPNAV 1650/14 (page 1).

2-29 Figure 2-22 — Unit Award Recommendation, OPNAV 1650/14 (page 2).

2-30 Letter of Appreciation (LOA), Letter of Commendation (LOC), and Flag Letter of Commendation (FLOC) LOAs, LOCs, and FLOCs are intended to promote morale. In most cases, they are tailored to the recipient and cannot be reused. These letters are normally given at the command level but can be issued by the next higher echelon in the command’s chain of command. FLOCs are also used to recognize an individual for superior performance at the termination of the period during which that performance was demonstrated and can only be signed by a flag officer (O-7 to O-10). Refer to your command’s Ship’s Organization and Regulations Manual (SORM) for further guidance. Figure 2-23 — Unit Award Recommendation, OPNAV 1650/14 (page 3).

2-31 EVALUATIONS (EVAL), CHIEF EVALUATIONS (CHIEFEVAL), AND FITNESS REPORTS (FITREPS) Performance evaluation reports are an important part of any service member’s career. As a YN, you will use these reports as part of your duties and responsibilities. To be an effective YN, you must be thoroughly familiar with these reports. Evaluations (EVALs, Figures 2-24 and 2-25) are used for enlisted personnel E1-E6, Chief Evaluation (CHIEFEVAL, Figures 2-26 and 2-27) are used for chief petty officers, and Fitness Reports (FITREPs, Figures 2-28 and 2-29) are used for officers. In the following paragraphs you will read about the distinctions among the different types of reports. In addition, you will read about some of the tasks that you are expected to perform in support of these reports, to include the Performance Information Memorandum (PIM), changes and supplements to reports, and disposition of reports after they have been prepared. When you are tasked with preparing performance evaluation reports, always follow the instructions contained in the Navy Performance Evaluation and Counseling Manual, BUPERSINST 1610.10D. Regular FITREP and EVAL Reports Navy Regulations require records to be maintained on persons reflecting their performance of duties. For every Navy service member, regular fitness and evaluation reports must cover, day for day, all periods of service on active duty or performing in drilling reserve programs. The only exceptions are time spent during the member’s initial entry training or as otherwise provided in BUPERSINST 1610.10D. Periodic reports, transfer reports, advancement/frocking reports, and special reports are all considered regular evaluation and fitness reports. Periodic reports are the only reports that must be submitted on specific dates. All other reports are submitted as necessary. Periodic reports are submitted by commands annually. A periodic report may be omitted if the period of the report is less than 3 months. However, if this period is omitted, it must be included in the next regular report to maintain a day-for-day continuity. Keep in mind that no report period may exceed 15 months without prior approval by Commander, Navy Personnel Command (PERS-32). Concurrent EVAL and FITNESS Reports Concurrent EVAL and FITNESS reports provide a record of significant performance that cannot be directly observed by the regular reporting senior, i.e. individual augmentee (IA) assignment, temporary additional duty (TAD) for a prolonged period of time. Concurrent reports become necessary when periodic reports submissions are due. In the event this occurs, the CO of the IA or temporary duty (TDY) location will write a concurrent report. Not Observed (NOB) EVAL and FITNESS Reports NOB reports are used to fulfill reporting requirements when graded reports are inappropriate. NOB reports are submitted to cover short periods of time (90 days or less) during which a service member cannot be properly evaluated by his or her regular reporting senior.

2-32 Figure 2-24 — NAVPERS 1616/26 Evaluation Report and Counseling Record (E1- E6) (front).

2-33 Figure 2-25 — NAVPERS 1616/26 Evaluation Report and Counseling Record (E1- E6) (back).

2-34 Figure 2-26 — NAVPERS 1616/27 Evaluation and Counseling Record (E7-E9) (front).

2-35 Figure 2-27 — NAVPERS 1616/27 Evaluation and Counseling Record (E7-E9) (back).

2-36 Figure 2-28 — NAVPERS 1610/2 Fitness Report and Counseling Record (W2-O6) (front).

2-37 Figure 2-29 — NAVPERS 1616/26 Evaluation Report and Counseling Record (E1-E6) (back).

2-38 Performance Information Memorandum A PIM is a narrative-style report of performance providing information for use in verifying training accomplishments, making ESR entries, and/or preparing EVAL reports. A PIM is prepared during the following occasions: • A member is assigned to a command for duty or Temporary Duty (TDY) less than 3 months • For a period of Additional Duty (ADDU) or TDY of any length • For Active Training (AT), Active Duty for Special Work (ADSW), or mobilization recall lasting 17 days or less • To provide course completion information required for NAVPERS 1070/604 (Page 4) of the ESR • For any other performance that should be brought to the attention of the reporting senior A PIM should be forwarded within 15 days to the command preparing the regular EVAL report for the period covered. When the CO receives a PIM for a member of his or her command, he or she takes into account information provided in the PIM and makes appropriate entries in the regular report. Changes and Supplements to EVAL and FITREP Reports After a report is filed in the BUPERS Official Record or ESR, it may be modified only through administrative changes or the addition of supplementary material as discussed in BUPERSINST 1610.10D. Disposition of EVAL and FITNESS Reports The original report is sent to PERS-32 with a summary letter (Figures 2-30 and 2-31) within 15 days after the ending date of the report. A copy is given to the service member and one copy is retained in the command files. For officers and all E7-E9, the reporting senior or his or her designated representative maintains an additional copy to retain in a personal retain file.

2-39 Figure 2-30 — NAVPERS 1610/1 FITREP/EVAL summary letter (page 1).

2-40 REPORTS AND FORMS MANAGEMENT PROGRAMS This section discusses the procedures and responsibilities for effectively developing, managing, and using the reports and forms programs within DON. Reports and forms management cannot be accomplished by one person; it requires the active involvement of everyone to be effective. Resources Below are some of the resources available relating to reports and forms management: Figure 2-31 — NAVPERS 1610/1 FITREP/EVAL summary letter (page 2).

2-41 • OPNAV and SECNAV manuals, Department of the Navy Issuances Website • Naval forms online, Department of the Navy Naval Forms Online Website • DON records management, Department of the Navy Chief Information Officer Website • DoD Forms Management, DoD Forms Management Program, the Official DoD Website for DoD Forms • General Services Administration (GSA) Forms Library, GSA Forms Library Website • 302 Basic Admin Fundamentals, Yeoman PQS Reports Management Program In Navy terms, the term report (Information Collection) is defined as a collection of data or information used to determine policy; to plan, control and evaluate operations and performance; to make administrative determinations; or to prepare other reports. The data or information may be prepared or transmitted by any method. For example, the information may be a narrative, statistical, or graphic report prepared on tape or other media. Each command should have a Reports Control Manager and their responsibilities are as follows: • Review reports to ensure they conform with reporting standards • Approve reports by assigning Report Control Symbols (RCSs) or citing exemption authority • Conduct reviews of individual reports • Maintain management data on reports required and prepared by the organization Follow-Up Procedures Report(s) should be reviewed before their expiration dates to determine if the report(s) continue to meet requirements efficiently. The action officer reviews the reports 180 days prior to their expiration. The reviewed reports must include complete re-justification of the requirement. Reports not approved for extension are automatically cancelled on the date of expiration and should be omitted from any subsequent effective reports listing. The most effective way to provide an annual review of every report required by your command is to combine the reviews with the annual review of the command directives. Since each required report has a command directive as its basis, a complete review of that directive 3 months before the anniversary month of its issue date would provide the opportunity for an in-depth look at any report listed therein. In accomplishing this review, a copy of the report and a blank Report Analysis Data, OPNAV Form 5214/10, covering the report would be provided to the Action Officer along with the applicable directive (Figures 2-32 and 2-33). Decisions to modify, cancel, or continue the existing directive would contain a similar decision concerning any report or form required by the directive. NOTE Reports control is a management tool designed to ensure efficient response local and higher-echelon requirements for information. Each activity is required to establish a continuing systematic appraisal of reports.

2-42 As discussed previously, combining these reviews should add to your effectiveness as a Reports Manager. In addition, your awareness of command directives, reports, and forms will enhance your value to the command. Figure 2-32 — Report Analysis Data, OPNAV 5214/10 (front).

2-43 Figure 2-33 — Report Analysis Data, OPNAV 5214/10 (back).

2-44 Reports Cancellation and Revalidation Procedures When new command directives are being originated and existing directives are being revised, it is your responsibility as a Reports Manager to ensure any and all reports or forms required therein have been approved by the Forms Manager while the rough directive is still in the review process. If any information requirement is to be cancelled, a change transmittal to the existing directive cancelling the requirement should be prepared. If the information requirement remains valid, a revised directive or change transmittal should be submitted within 60 days of the expiration date. The revised directive or change transmittal should explain the revalidation and extend the approval period for a maximum of 3 years. Public Reports Each request to collect information from the public must be approved by the Office of Management and Budget (OMB). To obtain this approval, the action officer of the request must include the report in the Information Collection Budget (ICB) submitted to OMB in July of each year. The ICB consists of all existing and new public information collections (reports), both recurring and one-time, that might be established during the year. Since requirements for submission of the ICB frequently change each year, action officers should notify the DON Forms Manager and the DON Information Management Control Manager Director, Navy Staff-51 (section DNS-51) as soon as possible of any new public information collection in order to obtain guidance for including the collection in the ICB. When a new information collection is to be approved or an existing one extended, the action officer submits the following completed documents, via the chain of command, to DNS-51: • Paperwork Reduction Act Submission (OMB Form 83-I); instructions for completing this form are contained in OMB 83-I Instruction • A supporting statement following the instructions provided in the OMB 83-I Instruction; the statement must clearly state the information requirement being requested. • The form, survey, questionnaire or collection form and all privacy act statements • Proposed instructions for completing the information collection, if any • The information to be submitted for publication in the Federal Register (a sample format may be obtained from DNS-51) DNS-51 submits the Information Collection Budget to the Washington Headquarters Services Directorate, Information Management Division for review and forwarding to OMB for final action. The request originator receives written notification of OMB’s final action. If the Information Collection Budget is approved, a report control symbol and expiration date is assigned to the Information Collection Budget. The symbol must be used on all subsequent documentation concerning the Information Collection Budget. If approval is not granted, the information may not be collected. Collecting information that has not been approved by OMB is a direct violation of Public Law 96-511. Reports Analysis The construction of report items requires obtaining all information needed. Each item must satisfy a current need or known future requirement. The collection of information to meet a potential future need requires justification. The recipient of the report must use each reported item of information. Negative reports should be required only when they serve an established objective.

2-45 Arrangement of Report Items Report data items should be arranged in a logical format allowing the preparing organization to complete the report easily. Source of Information for Report Items Information for report items should be obtained from the organization that can furnish precise, usable information in the easiest way. Controlling Copy Distribution Distribution of completed reports is based on a “need-to-act” or “need-to-know” basis. Distribution of courtesy copies is prohibited. Timing Submissions The submission of reports is based on the following timing and frequency requirements: • Minimum Frequency—the maximum time possible between collections • As-Required Report—information collected, stored, retrieved, and submitted when requested • Situation Report—reports prepared upon occurrence of a specified event • Realistic Due Dates—sufficient time allowed for adequate compilation between the end of the period covered and the due date Various Types of Reports Various reports are required to provide information about distribution, training, promotion planning, statistical purposes, and so forth. The following are definitions of the various reports used to provide such information: • Status Report—an interim report explaining the amount of work completed or to be completed on an established report • One-Time Report—a report prepared only once. One-Time (OT) reports should be assigned a report control symbol according to the Standard Subject Identification Code (SSIC), SECNAV M-5210.2, using the letters OT as the suffix • Recurring Report—a report that conveys essentially the same type of information at prescribed intervals • Revised Report—an established report that changes. Revised reports have to be approved by the Reports Control Manager • Computer-Generated Reports—reports generated by processing data residing in a computerized database • Exempt Reports—reports not subject to reports documentation and symbolization procedures • Internal Report—a report remaining within one organization for its own use • Licensed Report—a report justified by the originator, reviewed and approved by the Reports Control Manager, and assigned a report control symbol or an exemption • Unlicensed Report—a report NOT justified and NOT assigned a report control symbol

2-46 Report Control Symbol (RCS) Although some reports are exempt from the requirement of an RCS, most reports are identified, along with their titles, by an RCS. An RCS is assigned by the Reports Control Manager. It indicates the report has been reviewed and approved as a valid requirement and the respondents have the responsibility of providing the requested information. An RCS is assigned by the command Reports Control Manager. The RCS of the highest authority responsible for the submission of the report should appear on the report. For example, if a DOD symbol is assigned to a report, all responding commands will use the DOD symbol, expiration dates as assigned, and the associated report title. Reports Control Managers must not substitute their own symbol for the RCS on a report from higher authority. Commands are not required to respond to unlicensed or expired reports. An example of a DON RCS is OPNAV 5214/5. The composition of a Navy RCS assigned by the Reports Control Manager is as follows: • The letters OPNAV indicate the authorized abbreviation of the bureau, office, shore activity, or fleet command requiring the information collection (OPNAV is the abbreviation for the Office of the Chief of Naval Operations). • The four or five digits together (5214 in the example) indicate the SSIC number, which identifies the subject of the report (5214 is Information Requirements (Reports) Management). Use SECNAV M-5210.2 to find appropriate SSIC numbers and their associated narrative subjects. • The last digit, separated by a dash, is the next consecutive number in that SSIC series. In the example, this OPNAV is the first OPNAV symbolized information collection in the 5214 series. • Consecutive numbers assigned in an RCS cannot be reused even if the information collection is subsequently cancelled or expired. Inventory of Reports An accurate and current inventory of recurring reports is essential for effective operation. The Reports Control Manager maintains this inventory. A case folder must be maintained on all reports for which an activity is responsible. The Reports Record Card, OPNAV Form 5214/5 is available to assist the Reports Manager in establishing an inventory system. The Reports Control Manager should maintain a close working relationship with points of contact within the command that may be aware of new or revised reports requirements. Points of contact may include the directives control point, the Forms Manager, the mailroom, or the publications review office. NOTE It is important to note that, although similar in nature, RCSs and form identification codes are separate entities. Even though the originator and SSIC of both may be the same, the consecutive number in each may not coincide. The same holds true for the relationship between the report and its requiring directive.

2-47 Establishment and Maintenance of Records After all recurring reports have been inventoried and classified by an RCS, one folder for each report should be filed in a report case file. Every folder should contain the following documents: • A completed copy of the Reports Analysis Data, OPNAV Form 5214/10 • A copy of the report form, format, or a copy of the report • A copy of the document requiring the report Case files should be arranged chronologically by report control symbol, subject, or function. Publishing Lists of Reports The Reports Control Office should periodically publish and distribute a list of current reports required or prepared by the command. Organizational units within the command are required to review the list and notify the Reports Control Office of any discrepancies. List of Current Reports The published list of current reports should include the following information: • RCS • Title of the report • Form number or format • Frequency of submission • Document requiring the report • Specific organization requiring the report • Specific office(s) responding to the report One copy of the list (usually a command notice) should be maintained as a master by the Reports Control Manager. List of Cancelled Reports A list of all reports cancelled during the elapsed period should be appended to each revised list of current reports and quarterly supplements. The document that originally required the cancelled report should also be listed. An inventory of the reports (and forms) case file should always be made, no matter how efficiently the master list and case file were kept current. This inventory should be made before a new effective list of current and cancelled reports is issued. Tickler System The most elaborate reports management system able to be devised is only as good as the actions taken to make sure reports are submitted and received on time. The timeliness of reports can be achieved through the use of a tickler system. The tickler system provides an index to the required reports and shows the submission date of each. It is suggested the Reports Control Manager uses a tickler system as a central reminder of report due dates. The manner in which a tickler file is made

2-48 up may vary with each command. This can be accomplished by creating an electronic database or utilizing the Reports Record Card, OPNAV Form 5214/5 (Figure 2-34). In addition to current reports, the reports tickler file may be used for the following: • As a reminder of action required on incoming mail, such as a reply that may be required on an incoming letter • As a reminder of non-receipt of a reply to an outgoing letter from your command Notice to Departments To ensure departments submit all reports when they are due, a command should have a process for alerting them in sufficient time before the actual due date. Forms Management Program As a YN, you should be acquainted with the Navy’s forms management system. This system is set up to design, order, and account for forms used by your command. Forms management requires a thorough study of your command’s organization, workflow, operating policies, and programs, as well as the methods and procedures employed by the command. For the Navy’s purpose, the term form is defined as a fixed arrangement of captioned spaces designed for entering and extracting prescribed information. Figure 2-34 — Report Record Card, OPNAV Form 5214/5.

2-49 Importance of Forms The need for forms is well established. They are vital to the effective management of your office and your command because they provide the basis for management decisions. Forms management ensures forms provide needed information effectively, efficiently, and economically. As information requirements change, effective forms management provides for improved forms and control of the proliferation of authorized forms. Objectives of Forms Management The objectives of forms management at the command level are as follows: • Ensure appropriate forms and related procedures are developed and designed to facilitate maximum contribution to the command’s mission. • Eliminate unnecessary and duplicate forms and, as appropriate, consolidate those serving like or similar functions using, wherever practical, the form of the higher echelon. • Ensure forms approved by the Command Forms Manager and assigned a form number are not changed to meet individual needs unless approval is obtained from the originator of the form and/or person receiving the form. Responsibilities for Administration of Forms Management The Department of the Navy Forms Management Manual, SECNAV M-5213.1, sets forth principles, techniques, and methods in establishing and administering the forms management program, the development or improvement of data elements and form design on proposed or existing forms, and the review and coordination of forms to ensure efficient response to management requirements. It is considered to be the primary guide for forms in the DON. Forms management consists of the decision-making process that determines how the form is to be stocked and distributed. The Forms Manager must know how to stock forms in the supply system, how to write printing specifications, and how to aid the form’s sponsor in determining the number of forms to be stocked. Each command shall provide for continuing analysis, review, and control of all forms originated or sponsored by the command. When new command directives are being originated and when existing directives are being revised, it is your responsibility, as Forms Manager, to ensure any forms required therein have been approved while the rough directive is still in the review process. Establishing and Operating the Forms Management Function Forms Management Office The Forms Management Office should be established on the same level, and usually within the same organizational unit, as other management functions for the following reasons: • The establishment of this office is and should be considered an integral part of the activity’s total management improvement effort. • A study of forms normally involves change in procedures, records systems, and reports or other phases of management improvement. • Forms management can and should complement other management improvement programs.

2-50 • The analytical capabilities required for forms analysis can be found most readily in an organizational unit responsible for total management improvement. The number and complexity of the forms and related procedures in an activity determine the number of personnel assigned on a full-time or part-time basis to the forms management function. In a large activity, it may be beneficial to appoint a forms management representative from each department, division, or other organizational component. Such representatives act as liaison with the forms management officer. These representatives assist the forms management officer in various capacities. They may act as liaison for the submission of proposed new or revised forms. They may be responsible for assisting in reviews and analysis of existing and proposed forms and related procedures within their organizational units. They often design the final form. The operational knowledge provided by the representatives in their liaison duties speeds up the process of analysis and helps ensure division acceptance of proposed improvement. Operating the Forms Management Function As the first step in the operation, the Forms Management Office must obtain a complete picture of the forms situation of the activity. To do this, the Forms Management Office collects copies of and information on all forms used in the activity. The forms include those initiated by the activity and those prescribed by other sources and used by the activity. These records are numbered according to the SSIC and arranged by function in a file. The file brings together data in one place to simplify the evaluation, combination, improvement, and elimination of forms. Reviewing New or Revised Forms Analysis is made not only of existing forms, but also of all proposed new or revised forms. Provide a draft form and directive, the completed Standard Form (SF) 152, Request for Clearance or Cancellation of a Standard or Optional Form, with the justification and all coordination to the command’s Forms Management Office for review before issue. The Forms Management Office should stress its readiness and ability to assist in the developmental stages of the new or revised form. By assisting in the initial development of the form along with related procedures, the forms management officer can more readily understand problems that may arise and contribute to the development of solutions. Utilize the table below (Table 2-1) to assist with new or revised forms:

2-51 Table 2-1 — New or Revised Form and Related Procedure EACH FORM (NEW OR REVISED) AND RELATED PROCEDURE Examined Evaluated Followed Up Is the form necessary? Is some criteria are not met: FOLLOW-UP AND CONTINUING SYSTEMATIC REVIEWS Could it be eliminated entirely? To ensure proper installation of proposed plans Could it be combined with other forms? RECOMMENDATIONS MADE FOR DISAPPROVAL OR MODIFICATION To determined modifications or improvements to meet changing conditions Does the use of the form justify the cost? After consultation with: To determine continuing need If the form is necessary: Requiring office Does it provide adequate information? Preparing office(s) IS IT WORTH THE COST? Does it include any unnecessary information? Using office(s) Does the content duplicate other forms? Other concerned Is the procedure for collecting and furnishing the information the best for the particular situation? If all criterial are met: Is the procedure for using the completed form the simplest possible? Is the form design the most efficient for both entering the information and using it? IF APPROVED, WILL IT DO THE JOB? Are the instructions clear and complete? IS IT NECESSARY? Continuing Review of Forms The forms management plan emphasizes a continuing review of forms and related procedures, on an annual basis. To establish the most effective new forms and procedures and to analyze and improve existing forms and procedures, follow these steps: 1. Get all the facts; that is, collect all pertinent information concerning the form and procedure under study. 2. Subject the facts to detailed analytical questioning. 3. Evaluate the results of such questioning and develop the necessary solution to the problems revealed by the questioning.

2-52 4. Install and test the solutions. 5. Follow up to see that the recommended solutions are continuing in effectiveness. Forms Management Records Analyzing forms and their related procedures requires the use of an accurate and workable record of forms in the activity. This record is not the complete solution to effective forms management operation, but rather a tool with which information can be obtained and systematic analysis can begin. Forms Precedence • First Level Forms are SF or OF. SF and OF are the highest authority forms in the Federal Government. The military departments and Department of Defense (DOD) agencies must use SF or OF whenever possible. • Second Level Forms are DD Forms. DD forms are the highest authority forms originated in the DOD, established for DOD-wide use. • Third Level Forms are DON Forms. DON forms are established for use in more than one command. • Fourth Level Forms are internal forms. Internal forms are established for use within a specific Navy or Marine Corps command. All DON commands must use the DD forms whenever possible. Changing block headings, line spacing, deleting and adding information to a DD form, or using a DON form that duplicates, even in part, is not authorized. Use of existing DD or DON forms that duplicate, even in part, SF or OF is not authorized. Collecting Samples of Forms As discussed earlier, copies of all forms used in the activity need to be collected. The most satisfactory method of collecting the samples is by obtaining them from all organizational components, despite the fact that there will be duplicates. Organizational components should submit a copy of each form, both local and non-local, they use. It is essential that the organizational units write on each form the name of the office using the form and the estimated annual usage. Also, they should attach copies of any directives that prescribe the form or furnish information for its use. If the instructions for the form are part of a manual or publication, only the reference to the manual or publication needs to be noted. Filing Forms by SSICs When samples of forms have been collected, they are identified and filed. The SSIC is used to identify and number all the forms. When the forms are identified and assigned SSICs, they should be placed in one file. Identifying and filing forms by subject or function bring together all those having similar problems. This permits comparison of proposed and existing forms with all other similar or related forms. Thus, forms may be consolidated, standardized, or eliminated if duplication exists.

2-53 Activities will gain maximum benefits from the file by assigning one person the job of keeping the file up to date. That person can then add new or revised forms and weed out obsolete ones. Arrangement and Content Form Numbers Although some forms are exempt from the requirement of a form number, most forms will be identified by a form number in addition to a title. A form number is assigned by the Forms Manager. It indicates the form has been reviewed and approved as a valid requirement and the respondents have the responsibility of providing the requested information. An example of a DON form number is OPNAV 1000/1 (2—91). A DON example from the Marine Corps is Navy Marine Corps (NAVMC) 11023 (12-05). Composition of DON Form Numbers is as follows: • An abbreviation for the originating command in capital letters, such as OPNAV and NAVMC (Marine Corps-wide) Marine Corps Base (MCB) Barstow, or one combining the command abbreviation, usually with its location, such as Naval Air Station (NAS) OCEANA; where general forms have been developed for two or more commands within the same geographical area or chain of command, use the prefix of the Naval Supply Center stock point where the form will be stocked; for example, SAN DIEGO GEN 1000/1 • The SSIC, selected from SECNAV M-5210.2, which best matches the title of the form. In the above example the SSIC number is 1000. NAVMC (Marine Corps-wide) forms have the SSIC located or after the edition date, i.e., NAVMC 10001 (Rev. 1-91) (1000). • A slash or slant (/), which separates the SSIC from the next consecutive number, which indicates the form’s order of issue within the SSIC. Since point numbers (or periods) are assigned to directives, dashes to report control symbols, and slashes to forms, the use of the slash in the form number eliminates the need for the word “form”. If the word “form” must be used it shall be placed before the command abbreviation (such as form OPNAV 1000/1 or form NAS OCEANA 1000/1). • A number after the slash, which is the next consecutive number in the SSIC series; for example, the number in the form number OPNAV 1000/1 means this is the first form number assigned in the 1000 SSIC series for OPNAV. Form numbers shall not contain letters, as in OPNAV 1000/lA and OPNAV 1000/lB. (This numbering system would become confusing if OPNAV 1000/IA is cancelled while OPNAV 1000/lB remains current.). The date the form is established or revised must be included in parentheses after the form number. The date the form is created will be shown as (2-90) and subsequent revisions as (Rev. 4-91). • The word “Test” or abbreviation “OT” (one time) after the form number, for example, OPNAV 1000/1 (2-91) (Test) or OPNAV 1000/1 (2-91) (OT), if applicable. Filing Forms Local forms should be arranged and filed in numerical order by SSIC (Figure 2-35). Non-local forms (not originated or sponsored by the command) are filed in folders labeled with their basic SSIC; that is, all non-local forms in the 5500 subject group are filed together in one folder. The folder is then placed in numerical order in the file drawer.

2-54 A separate folder is prepared for each local form (originated or sponsored by the command). It is labeled with the abbreviation for originating command in capital letters, the SSIC, a slash or slant (/), the consecutive number, and the title of the form. For example: NAS NORTH ISLAND 4700/1-Job Order.As mentioned previously, the folders are filed numerically by SSIC and consecutive number behind the folders containing nonlocal forms in the same subject group. Dividers or junk jackets may be labeled and used to separate subject groups for which nonlocal forms are not available. Each folder of local forms should contain the following: • A copy of the directive prescribing the form or furnishing instructions for its use (or a reference to the directive if it is in manual form or otherwise unavailable) • Completed Processing Action Request, DD Form 67 (old case folders may have an OPNAV Form 5213/19 in lieu of a DD Form 67) • A copy of the printed form and any subsequent revisions • Any other material related to the form Figure 2-35 — Forms files according to SSIC.

2-55 Cross-Reference Regardless of your efforts to consolidate related information into one form to serve a variety of purposes or functions, two or more forms may still be required. Under this condition, similar SSICs will probably be used (though not required) for each form. Annual review or the revision or cancellation of any one of these related forms may require similar action with the others. A cross-reference to such related forms filed in their respective folders will prove extremely helpful. Cancelled Forms Cancel all forms after notification from the originator the form is no longer required. Forward all cancelled forms containing information collection (reporting) requirements to the Reports Manager for appropriate action. Cancelled case folders may be destroyed or retired to Federal Records Centers by following the guidance contained in the Department of the Navy Records Management Manual, SECNAV M- 5210.1. RECORDS MANAGEMENT This section gives a basic summary on the handling of records. It will define what a record is and provide basic information on the authority for disposal and/or disposition of records as well as records retention standards. The USC provides for fines and penalties, including imprisonment, for unlawful and willful destruction or removal of Government records. The Records Disposal Act of 1943 established the means to obtain legal authority for destruction of Government records with no future value. This authority is granted by the Archivist of the United States. The National Archives and Records Administration (NARA) establishes procedures pertaining to disposal of Government records. The DON Records Management Program Manual, SECNAV M-5210.1, establishes policies and procedures for life-cycle management (creation, maintenance, use, and disposition) of DON records. This manual provides guidelines and procedures for the proper administration of a records management program. Recommendations for changes to this instruction must be addressed to the Office of the Secretary of the Navy, Navy Records Manager CNO (DNS-5). You may be directly involved in the disposal and/or disposition of records that have served their purpose. Understanding the methods of disposition and/or disposal of records will ensure compliance with records management procedures. Defining Records Title 44, USC, Chapter 33 defines records as “all documentary material, including books, papers, maps, photographs, machine-readable materials, or other documentary materials, regardless of physical form or characteristics made or received by an agency of the United States Government under Federal law in connection with the transaction of public business and preserved or appropriate for preservation by that agency or its legitimate successor as evidence of the organization, functions, policies, decisions, procedures, operations, or other activities of the government or because of the information value of data in them. Library and museum material made or acquired or preserved solely for reference or exhibition purposes, extra copies of documents preserved only for convenience of reference and stock of publication and of processed documents are not included.” The Standard Organization and Regulations of the U.S. Navy, OPNAVINST 3120.32, defines official correspondence as all written material, documents, publications, charts, messages, and so forth,

2-56 addressed to or sent from a command. Non-record material may be defined as any material that serves no documentary or record purpose. Within this category are items such as the following: • Rough drafts and extra copies of letters kept for convenience of reference or for tickler purposes • Some forms of publications received from other than Government agencies and commercial firms (e.g., catalogs and trade journals) • Items of only temporary value serving no purpose once action is completed • Reproduction materials, such as stencils, hectograph masters, and offset plates • Shorthand notes, stenographic notebooks, and stenotype tapes that have been transcribed On rare occasions, it may be decided, due to a special circumstance, some items normally scheduled for destruction should be retained longer or indefinitely. In such cases, the items are transferred to a records center for further retention rather than being destroyed. If you are familiar with the business of your office, you will not have much trouble applying the right disposal provisions to the records as they accumulate. It is possible your records will contain material that is not considered to be official record material. Pamphlets, books, extra copies of letters, directives, and so forth are sometimes taking up space because nobody made a decision with regard to their retention value. Whether official or unofficial, records must be disposed of at regular specified periods. Records must not be allowed to remain in your files longer than necessary. National Archives and Records Administration (NARA) The NARA is the nation’s record keeper. The NARA is authorized to establish, maintain, and operate records centers for Federal agencies and to approve a records center that is maintained and operated by an agency. The NARA is also authorized to promulgate standards, procedures, and guidelines to Federal agencies with respect to the storage of their records in commercial records storage facilities. Additionally, the NARA is authorized to determine the disposition of Federal records. Federal Records Center (FRC) The Federal Records Center (FRC) is authorized by NARA as a records keeper for Federal agencies. It provides Federal agencies superior records storage, access, and disposition services through a national network of facilities. Services Provided by the NARA and FRCs NARA and FRCs normally provide the following services: • Information over the telephone (in emergencies only) • Authenticated copies of documents for a fee • Original documents on a loan basis • Information extracted from the records, provided prior arrangements are made and personnel are available

2-57 • Withdrawal for reference of records transferred to the custody of the NARA (either to the National Archives or to the FRCs) on a 30-day loan basis Records Retention Standards Records retention standards prescribed for naval records are contained in parts III, IV, and V of SECNAV M-5210.1, and are listed by SSIC. The authorities they contain are applicable to the records they describe and are accumulated by Navy and Marine Corps activities ashore and afloat throughout the naval establishment and to individual Navy and United States Naval Ship (USNS) ships. Limitations on the use of individual standards are indicated in the description of the records. The records retention standards are the basis for the establishment of activities’ records disposal programs. The schedules incorporate NARA records disposition policies and guidelines. Responsibility for the Disposition of Records The individual responsible for the custody of official records at your activity has the responsibility of ensuring official records are disposed of according to the appropriate disposal instructions. To guarantee handling of records is not left to chance, an officer is usually assigned to coordinate all records disposal action aboard an activity, either ship or station. This officer takes charge of the physical disposition of all records designated for transfer to an FRC or for destruction. Your job as a yeoman in charge of files is to assist the responsible officer in ensuring that your command’s records are complete and documented. Methods of Disposition The official methods for the disposition of records are as follows: • Destruction • Donations (transfer to other Government agencies or to non-Federal institutions) • Retirement to local storage areas • Microfilming • Transfer to an FRC for later destruction, or if of permanent value, for eventual preservation at the NARA Destruction Most unclassified records are destroyed locally at the end of their retention period. Classified material must be destroyed per methods outlined in the SECNAV M-5510.30 and SECNAV M-5510.36. The Records Disposal Act of 1943 provides for naval records to be destroyed without regard to statutory and regulatory requirements under two emergency conditions. When a State of War Exists or is Threatened When the United States is at war with another nation or when hostile actions appear imminent, naval records held outside the territorial limits of the Continental United States may be authorized for emergency destruction.

2-58 When Records Menace Property, Health, or Life Records containing hazardous material sometimes become a menace to property, health, or life. Under such circumstances, 36 CFR 1228.92 provides for their emergency destruction regardless of their retention period. If any naval record constitutes such a menace, a request shall be made for its emergency destruction to CNO. What to Do in the Case of Accidental Destruction The accidental destruction of records will be reported to CNO (section DNS-5). This report will include the following information: • A complete description of the records destroyed, including dates of records, if known. • Volume destroyed in cubic feet; if electronic site, the number in electronic volume terms (e.g., KB, MB, GB, or TB) • The office of origin • A statement of the circumstances surrounding the destruction • A statement of the safeguards and planned procedures to be instituted to prevent further instances of loss of documentation Donations (Transfer to other Government Agencies or to Non-Federal Institutions) When the public interest will be served, records authorized for disposal may be offered to an eligible person, organization, institution, corporation, or government (including a foreign government) that has made application for them. Records will not be transferred without prior written approval of the NARA. Request such approval via CNO (DNS-5). Retirement to Local Storage Areas Most naval records are short-term and the bulk of these records have retention periods of 1 year or less. These short-term records should be, at regular intervals, retired locally and destroyed by the accumulating activity as soon as their retention periods expire. Generally, it is not economical to transfer them to FRCs. Transfer Indefinite or permanent retention of official records is known as preservation. This does not include those records retained at the local level but is composed of all official records retained at an authorized FRC. Few records actually are transferred for preservation. An up-to-date listing of FRCs is contained in SECNAV M-5210.1. A Records Transmittal and Receipt, SF 135 (Figures 2-36 and 2-37) must be sent to the FRC for approval before records are shipped. Complete the form, forward the original form to the FRC, and retain a copy in the command’s suspense files. Instructions for preparing the SF 135 can be found on the FRC website. Do not ship the records at this time. The FRC will review the form for completeness and accuracy and return the copy of the form authorizing shipment of the records.

2-59 Figure 2-36 — Records and Transmittal Receipt, SF 135 (front).

2-60 Packing for Shipment Records are packed in standard FRC cartons preserving the original file arrangement. Use only standard record center cartons available through GSA. FRCs will reject any shipment of records not in authorized records center cartons (Figure 2-38). Refer to the SECNAV M-5210.1 for further details. Figure 2-37 — Report Analysis Data, OPNAV 5214/10 (back).

2-61 Classified Records Before packing classified records, make every effort to declassify or downgrade them under the provisions of the SECNAV M-5510.30 and SECNAV M-5510.36. Also, records that cannot be declassified should be carefully inventoried and shipped per security regulations. Access to Records Requests for FRC reference services should be made in writing on OF 11 (Figure 2-39) directly to the FRC by the requesting activity. Also, centers will grant authorized personnel access to review the records at the centers. Requests for reference service from the National Archives should be made only through command records managers. Figure 2-38 — Packing records for shipment.

2-62 Terminating Files Terminate case files when action has been completed or upon the occurrence of a particular event or action. For example, certain contract files are removed from the current file and placed in the completed file when all shipments have arrived or final payment under the contract has been made. Some records are removed on the occurrence of a particular event (e.g., command notices and legal records). Figure 2-39 — OF 11.

2-63 LOCAL PRACTICE DOCUMENTS (ITEMS WITHIN YOUR COMMAND) The examples below are some of the documents you may be asked to prepare. If you cannot find an example to follow, ask your leadership for assistance. Make it your business to become familiar with local policy governing these documents so you are prepared whenever you are asked to perform a task. The common requirement for all these documents, as in every document you produce, is accuracy. Command Recall Listings (Social Rosters) and Telephone Directories The command recall listing is a report listing all personnel attached to the command and their home addresses, phone numbers, and so on. It can be used for recall of personnel, invitations to command events, or important correspondence to families and service members from the CO. Command telephone directories list working phone numbers for your ship or station. These directories list official business numbers and need not contain personal phone numbers. Distribute updated telephone directories on a regular basis to ensure smooth flow of official business. Muster Reports At the beginning of each work day, muster reports are turned in to the Ship’s Office or admin officer. Proper reports will then be turned in to the executive officer (XO) or chief of the boat (COB) (for submarines). Liberty Passes Yeomen work closely with the XO or COB to ensure the command’s liberty policy is carried out per local instruction. This includes, but is not limited to, preparation of liberty risk lists and generation of Liberty Cards reflecting proper liberty category (A, B, C). Liberty policies are normally set out by the Immediate Superior in Charge of the area in which you are serving, but local instructions can be implemented to make policies more stringent. Plan of the Day/Week Every command publishes a document listing important events occurring during the day or in the near future. These can include training events, musters, meetings for your commanding officer (CO)/XO, or other recurring items. Your responsibility as a yeoman is to publish the most accurate document possible. It will have a profound effect on the daily operations of your command and on the efficiency level at which it operates. Special Program Packages As the command’s administrative expert, you may be called upon to type and verify program packages for members of your command. These can include Officer Candidate School, Medical Enlisted Commissioning Program, Limited Duty Officer, or Warrant Officer packages. While the member is ultimately responsible for the compilation and accuracy of their information, it is your duty NOTE Recall listings and telephone directories are identifiable information (PII). Due to the sensitivity of PII, refer to the Privacy Act of 1974 prior to providing information.

2-64 to ensure the packages are properly formatted and free of grammatical or spelling errors. Attention to detail in this area can have a profound effect on the candidate’s success or failure in selection. SUMMARY In this chapter, we discussed naval correspondence to include standard letters and memorandums, as well as Navy’s SSIC system and how to properly file naval correspondence. We provide a general overview of guidance and regulations concerning awards available for recognizing individuals and units in the Navy and provide an overview for preparing, processing, and filing maintenance of the Personal Military Decoration/Unit/Service and Campaign Award. The chapter also discussed the types of evaluation reports and naval directives and where to go to get information about them; defined the procedures and responsibilities for effectively developing, managing, and using the reports and forms programs within the Department of the Navy; and provided an understanding of who the authority is for disposal and disposition and who governs disposal of records. We defined NARA and FRC and their functions concerning naval records, discussed how retention standards are listed, and covered different methods of disposition and destruction of records, including how to terminate files and pack records for shipment. Finally, the chapter identified some types of local practice documents you may be responsible for.

2-65 End of Chapter 2 Technical Administration Review Questions 2-1. What directive contains instructions for typing standard letters? A. SECNAV M-5216.5 B. OPNAVINST 5216.5 C. BUPERSINST 5216.5 D. SECNAVINST 5215.6 2-2. What item is the best example of the correct format of a Secret document serial number? A. 00/123S B. Ser 00/S123 C. Ser 00/s123 D. 00/123s 2-3. What is the correct formatting of the Signature blocks on a JOINT LETTER? A. Ending flush with the left margin with the most senior official ending on the right margin B. Ending flush with the right margin with the most senior official beginning on the left margin C. Ending flush with the left margin with the most junior official ending on the right margin D. Ending flush with the right margin with the most junior official beginning on the left margin 2-4. Which of the following publications provides guidance for Navy awards? A. SECNAVINST 5216.6 B. SECNAVINST 1650.1 C. SECNAVINST 1650.2 D. OPNAVINST 1650.1 2-5. What does the acronym NDAWS stand for? A. Navy Decoration Awards Web Site B. Navy Document of Awards Web Service C. Naval Department Award Web Site D. Navy Department Awards Web Service 2-6. In general, who retains awarding authority for all awards under the Department of the Navy? A. Commanding officer B. Command master chief C. Chief of Naval operations D. Secretary of the Navy

2-66 2-7. What document governs performance evaluation reports in the Navy? A. Navy Performance Evaluation and Counseling Manual, BUPERSINST 1610.10 B. Navy Performance Evaluation and Counseling Manual, BUPERSINST 1650.10 C. Navy Performance Evaluation Manual, SECNAVINST 1610.10 D. Navy Performance Evaluation Manual, SECNAVINST 1650.10 2-8. When may a periodic Fitness Report or Evaluation be omitted? A. If the period of the report exceeds 3 months B. If the period of the report is less than 3 months C. If the period of the report is no more than 6 months D. If the report exceeds 15 months 2-9. What type of FITREP or EVAL report provides a record of significant performance that cannot be directly observed by the regular reporting senior? A. Concurrent B. Not observed C. Regular D. Transfer 2-10. What directive provides procedures and responsibilities for effectively developing, managing, and using the reports and forms programs within the Department of the Navy? A. Secretary of the Navy Information Requirements (Reports) Manual, OPNAV M-5216.1 B. Secretary of the Navy Information Requirements (Reports) Manual, SECNAV 5215.2 C. Department of the Navy Information Requirements (Reports) Manual, SECNAV M-5214.1 D. Department of the Navy Information Requirements (Reports) Manual, OPNAV M-5214.1 2-11. What Navy term is defined as a collection of data or information used to determine policy; to plan, control and evaluate operations and performance; and to make administrative determinations? A. Account B. Form C. Practice D. Report 2-12. What is the Office of the Chief of Naval Operations (OPNAV) form number for the Report Analysis form? A. 5412/10 B. 5213/1 C. 5214/10 D. 5214/11 2-13. Each request to collect information from the public must be approved by whom? A. Office of Management and Budget B. Naval Personnel Command C. Bureau of Naval personnel D. Chief of Naval operations

2-67 2-14. The submission of reports are based on what factors? A. People and sailors B. Position and timing C. Frequency and position D. Timing and frequency 2-15. What type of report conveys a similar type of information at prescribed intervals? A. Everyday B. Ongoing C. Recurring D. Unlicensed 2-16. What publication is the Navy and Marine Corps Records Management Program Manual? A. SECNAV M-5210.1 B. OPNAV M-5212.1 C. SECNAV M-5121.1 D. OPNAV M-5211C 2-17. What United States Code (USC) defines records as all documentary material, including books, papers, maps, photographs, machine readable materials, or other documentary materials? A. CFR 34 B. CFR 48 C. Title 10 D. Title 44 2-18. Who is authorized to establish, maintain, and operate records centers for government agencies? A. Chief of Naval Operations B. Federal Records Center C. National Archive Records Administration D. Secretary of the Navy 2-19. Which of the following lists working phone numbers for your ship or station? A. Officer social roster B. Command yellow pages C. Command telephone directory D. Command recall roster 2-20. To what person on board a submarine does the ship’s yeoman submit the muster report? A. Chief of the boat B. Chief master at arms C. Commanding officer D. Executive officer

2-68 2-21. Who is ultimately responsible for ensuring the proper compilation of Special Program Package data? A. The educational services officer (ESO) B. The leading chief petty officer (LCPO) C. The leading yeoman D. The service member applying for the program

3-1 CHAPTER 3 COMMAND PAY AND PERSONNEL ADMINISTRATOR (CPAA) As a Yeoman (YN), you will be asked to prepare many different types of documents. In this chapter we will discuss the tools necessary to be an effective Command Pay and Personnel Administrator (CPAA). The Electronic Service Record (ESR) must be maintained properly, completely, and accurately within the Navy Standard Integrated Personnel System (NSIPS). We will discuss how each member’s service record (enlisted and officer) is different, how some records require more documents than others, and how you will be involved in the maintenance, verification, and disposition of service records. The ESR is the entry point for local information accessible by the command and processed most often by an Administration Office or YN. The Official Military Personnel File (OMPF), located within the Electronic Military Personnel Records System (EMPRS), is the primary officer and enlisted image document used to record all permanent personnel file information throughout a Sailor’s career. In addition to what you learn in this chapter, you can access all the tools needed to effectively be a CPAA on the Navy Personnel Command (NPC) website: http://www.public.navy.mil/bupers-npc/ support/paypers/cpcresources/Pages/default2. aspx This chapter covers those assignments governed by local policy and may be different from those with which you are familiar. The following are some general examples of documents and tasking that fall in this category: • ESR • NSIPS • Receipts and Transfers • Separations • Enlisted Advancements LEARNING OBJECTIVES When you have completed this chapter, you will be able to do the following: 1. Describe commonly used forms, records, and information contained in the ESR. 2. Identify procedures for updating ESR information. 3. Identify the OMPF and describe procedures for submitting OMPF documents. 4. Describe the procedure for submitting personal awards for inclusion in electronic records. 5. Identify types of records and taskings that a CPAA will handle. NOTE Although the content and references were current when this Rate Training Manual (RTM)/ Nonresident Training Course (NRTC) chapter was published, the continued currency cannot be assured. Future changes in policy and procedures may affect the contents in this chapter.

3-2 TRANSACTION ONLINE PROCESSING SYSTEM (TOPS) The Transaction Online Processing System (TOPS) is an online program that allows CPAAs to submit pay and personnel documents safely and efficiently to the supporting personnel support detachment (PSD) or customer service desk (CSD) via the Internet. Customer commands submit, track, and receive feedback on pay and personnel-related transactions. The following are some examples of documents/transactions required to be submitted through TOPS by customer commands: • Receipts (gains) packages, including travel claims and associated receipts • Loss (transfer) packages, including transfer evaluations • Separation documents • Reenlistment documents TOPS uses secure network protocol to protect Sailors’ personally identifiable information (PII) when transferring personnel documents used to update NSIPS. In the Internet environment with a common access card (CAC), log in to TOPS at https://twms.navy.mil/tops/. You must verify TOPS transactions daily; transactions will only stay open in TOPS for 7 days. THE ELECTRONIC SERVICE RECORD (ESR) The ESR is maintained within the NSIPS. The ESR (Figure 3-1) is the data entry point and electronic repository for storing personnel information required by the local commander when making daily decisions, processing pay transactions, and creating forms. The ESR Desk Guide explains the policies and procedures for maintaining the ESR, which interfaces with the OMPF. As a YN, you will address customer’s questions concerning both records. Your understanding of the ESR and OMPF, how each system works, and the procedures for submitting and updating each record is essential to your customer service ability and is one of the most significant aspects of administrative responsibility in today’s Navy. The ESR Desk Guide is on the NPC website: http://www.public.navy.mil/bupers-npc/career/ recordsmanagement/Pages/ElectServRcd.aspx. Information Maintained in the Electronic Service Record The following information is maintained in the ESR: • Training, Education, and Qualification History, NAVPERS 1070/881 • Honors and Awards, NAVPERS 1070/880 Figure 3-1 — ESR home page.

3-3 • Dependency Application/Record of Emergency Data, NAVPERS 1070/602 • History of Assignments, NAVPERS 1070/605 • Administrative Remarks, NAVPERS 1070/613 • Fitness Reports—contains information on Officer Fitness Reports, Chief Evaluations, and Enlisted Performance Evaluations • Exam Profile Data—contains a history of a service member’s profile sheets; Navy-Wide Advancement Exam scores • Orders History—contains copies of all permanent change of station (PCS) orders that a member was issued from NPC • Member Data Summary—contains various pieces of information, including a member’s Navy Enlisted Classification inventory, warfare designators, and security clearance information NAVY STANDARD INTEGRATED PERSONNEL SYSTEM (NSIPS) NSIPS (Figure 3-2) is the Human Resources Management Software used by the Navy and Navy Reserve Administrative Office. The implementation of the ESR within NSIPS enhances reliability and productivity within the Ships/Personnel Office and servicing PSD by making maximum use of corporate data and eliminating redundant data input. It allows global transactions for medals and awards, training and education, Personnel Qualification Standard (PQS), and routine administrative remarks and creates electronic forms that can be printed and signed when a hard copy is required. In addition to allowing review of service record data online, ESR includes self-service functionality. Initially limited to items such as emergency contact information, addresses, and phone numbers, this functionality will serve as a model for future self-service functions affecting benefits and entitlements, such as the Dependency Application/Record of Emergency Data, NAVPERS 1070/602 (Page 2). As the CPAA at your command, you will likely have NSIPS access in the form of the CPAA user role. This role will allow you to create honors and awards, PQSs, and administrative remarks (temporary or permanent). These three components will be electronically routed to all personnel supervisors within a servicing PSD or CSD for verification. In addition, personnel with the CPAA role can now update and save member address and phone and member screening data to record whether a member’s Family Care Plan information is on file. You can update these two components without PSD/CSD verification. The CPAA also provides access to print the following NSIPS Standard Reports for their Unit Identification Code (UIC): • Enlisted Distribution and Verification Report (List of Deserters, Administrative Drop, Onboard for Temporary Duty, and Alpha Listing) Figure 3-2 — NSIPS.

3-4 • Projected Loss Report • Prospective Gain Report • Advancement Eligibility Report • Alpha Locator • Awards Eligibility • Unit Commanders Financial Report • Family Care Plan Report DEPENDENCY APPLICATION/RECORD OF EMERGENCY DATA According to Naval Military Personnel Manual (MILPERSMAN) 1070-270, the Dependency Application/Record of Emergency Data, NAVPERS 1070/602, is a multipurpose form used for both officer and enlisted members. Part I primarily serves as an application for dependency allowances and is used to record military spouse data. Part II provides an immediately accessible, up-to-date record of emergency data for casualty reporting and notification of the next of kin (NOK). The individual Sailor is responsible for the accuracy of the information recorded on his or her Dependency Application/Record of Emergency Data. The Record of Emergency Data, DD Form 93, is prepared at the Military Entrance Processing Stations for enlisted members required to undergo recruit training. This form serves the same purpose as Part II of the NAVPERS 1070/602. The official signature copy of the NAVPERS 1070/602 can be obtained from the OMPF via the service member’s Bureau of Naval Personnel (BUPERS) online (BOL) access. When printed and signed, NAVPERS 1070/602 is the official record of dependency the Navy uses to determine the relationship and dependency of individuals for entitlement of authorized allowances. In the event a service member becomes a casualty, a signed NAVPERS 1070/602 and DD Form 93 also serve as the official source document to determine the following: • Person(s) to be notified in case of emergency or death • Person(s) to receive the death gratuity when no spouse or child exists • Person(s) to receive unpaid pay and allowances, including money accrued during a missing or captured status, unused leave, travel pay, per diem, transportation of family members, shipment of household goods, and savings deposits that are due from the Department of the Navy • Dependents of member to receive allotment of pay if a member is missing or unable to transmit funds • Commercial insurance companies to be notified in case of death • National Service Life Insurance, Servicemen’s Group Life Insurance, and Veterans’ Group Life Insurance in force • Person authorized to direct disposition of remains • Person(s) eligible for transportation to attend burial ceremonies • Person(s) eligible for transportation to attend dignified transfer at Dover Air Force Base

3-5 • Person(s) eligible for transportation to attend memorial services • Designated individual(s) eligible for transportation to the bedside of a wounded, ill, or injured service member The NAVPERS 1070/602 will be created and updated in NSIPS. The individual service member is solely responsible for the accuracy of the information recorded on his or her NAVPERS 1070/602. When completed and signed, the NAVPERS 1070/602 or DD 93 will be distributed as follows: • CPAA will submit original NAVPERS 1070/602 or DD 93 to the supporting PSD. • The PSD or personnel officer (PERSOFF) will submit the original NAVPERS 1070/602 or DD 93 to Navy Personnel Command (NAVPERSCOM) using the e-submission application on BOL for filling in the OMPF. The supporting PSD or personnel office will maintain a copy until e-submission receipt/acceptance by NAVPERSCOM is verified. • The PSD will provide the CPAA with one copy to the service member. • The member’s command must retain a signed NAVPERS 1070/602 on file for each assigned service member. TRAINING, EDUCATION, AND QUALIFICATIONS HISTORY, NAVPERS 1070/881 The Training, Education, and Qualifications History, NAVPERS 1070/881, in the ESR replaced the NAVPERS 1070/604 (commonly referred to as the “Page Four”), for all practical purposes. In the ESR, all training and education completed by the member is documented on the Training Summary page except for the Armed Services Vocational Aptitude Battery (ASVAB). ASVAB scores are entered through NSIPS by the proper administering authority (Navy College Office) and posted on the Member Data Summary page automatically. The Training Summary page includes information on the member’s education: special qualifications test scores, off-duty education, vocational training, Navy service schools, military training courses, other training courses, and PQS. Off-Duty Education Vocational Technical Training This section tracks college courses, College-Level Examination Program exams, and other off-duty- related education. Updates are processed by the Navy College Center in conjunction with official transcripts received directly from the educational institution. Navy Service School/Military Training Courses Any formal military course assigned a number will appear in this section of the ESR Training Summary page. Upon completion of your course, the learning facility should enter your completion of the course into the Fleet Training Management Planning System (FLTMPS). This data will pass through to NSIPS and post to the Training Summary page of your ESR. However, if this course completion does not post to your ESR or if the ESR transaction displays “Not Verified” instead of the course completion date, PSDs are authorized to input and verify the information locally, but only if you provide them a copy of the signed course completion certificate through T OPS.

3-6 Other Training Courses/Instructions Completed Oftentimes Navy personnel are sent to attend a course that is not a formal school. This section is used to update such courses. In addition, E-learning courses electronically update your ESR when you complete any course. PSDs are able to update this block locally. Personnel Quali ication Standard (PQS) When personnel in your command complete any PQS, either you, as the CPAA , or your servicing PSD can update this field locally. It is important to keep PQSs up-to-date. PQSs are qualifications earned that show a service member’s proficiency in a particular area of training, such as damage control. ADMINISTRATIVE REMARKS, NAVPERS 1070/613 Administrative Remarks, NAVPERS 1070/613 (commonly known as the “Page 13”) (Figure 3-3), serves as a chronological record of significant miscellaneous entries that are not covered elsewhere or where amplifying information is required. The ESR within NSIPS contains an administrative remarks database that will capture administrative remarks entered within member records. The ESR is capable of storing templates for routine administrative remarks to individual records or posting the same remark in multiple records simultaneously. All NAVPERS 1070/613 entered into ESR through NSIPS will be designated as permanent or temporary. Because of the number and variety of entries in a member’s record, identification determines ultimate disposition and retention of the individual entry. Refer to MILPERSMAN article 1070-320 for more information on administrative remarks. Permanent Remarks This designation applies to entries mandated by regulation or correspondence from higher headquarters to be filed in the OMPF (older regulations may still use the term “permanent service record”). These entries include, but are not limited to, the following: • Enlisted disciplinary action • Nonjudicial punishment (NJP) (also referred to as captain’s mast) where pay is not affected • Civil conviction • Unauthorized absence • Entries required as a result of adverse performance evaluation reports, and for members that refuse to sign performance evaluation reports • Enlisted physical fitness assessment failures • Retain in service • Performance or conduct deficiencies • Sea duty counter or credit • Time-in-rate date change Temporary Remarks This designation is used for entries that apply only at the current command, acknowledgements that apply only to the current enlistment or reenlistment, or entries that have a defined expiration date.

3-7 Examples of these entries are as follows: • Member has volunteered for special duty • Member has read and understands regulations • Member has attended or been briefed on Navy’s policies (e.g., sexual harassment, security, hazing, indoctrination, and liberty) • Other temporary entries routinely entered by a personnel office (e.g., basic allowance for housing (BAH), selective reenlistment bonus (SRB) payments, special duty assignment pay (SDAP), responsibilities while on limited duty (LIMDU), and PCS screenings) Figure 3-3 — NAVPERS 1070/613.

3-8 OFFICIAL MILITARY PERSONNEL FILE (OMPF) The OMPF is accessible through the BOL website (https://www.bol.navy.mil) and is the permanent image record of all accepted documents throughout a Sailor’s career. As a YN and/or CPAA, you may be responsible for viewing and verifying command members’ OMPFs and sending documents to BUPERS for inclusion into their permanent records. All documents submitted for inclusion should include a clearly legible, FULL Social Security number (SSN) on a high-quality reproduction of the original citation. Due to real-time update capability, quality control implementation, and encrypted protection of personal information, electronic submission (E-submission) of documents is the primary method of submitting documents to the OMPF and should be used whenever possible. Access to the E-submission application on BOL can be granted by procedures set forth within the NPC E-submission website. Commands with limited or unreliable Internet access may mail forms directly for inclusion to OMPF records by sending copies to: DEP ARTMENT OF THE NAVY COMMANDER NA VY PERSONNEL COMMAND PERS 313 5720 INTEGRITY DRIVE MILLINGT ON, TN 38055-3200 Once received by NPC via mail, documents will be reviewed and screened for entry into OMPF records. If accepted, the record will be uploaded to the corresponding OMPF, and the mailed physical document will be destroyed. If rejected, the document will be destroyed without updating. Documents without a full SSN will be destroyed with no action taken.OMPF Documents All documents contained in a Sailor’s OMPF are permanent parts of the member’s master file. According to MILPERSMAN 1070-170 and BUPERSINST 1070.27, contents of the permanent personnel record, or OMPF, must meet the following minimum criteria: • Permanency—must not be effective for a limited time only NOTE If an ESR displays “Not Verified” instead of listing a verification date, PSDs are authorized to input and verify the information locally, only if provided a copy of the action document (e.g., NAVPERS 1070/613 authorization to wear a campaign award or PQS cover sheet.) NOTE Documents received via mail will generate no feedback and are subject to a “first-come, first-served basis” protocol, in the order received by NPC. To track the status of document submission, you must use the E-submission application.

3-9 • Non-duplicative—must not be contained elsewhere (e.g., NSIPS) • Single copy/Single source—must be submitted once from a single submitting authority • Essential—must pertain directly to personnel administration; should not be irrelevant to the career (e.g., birth certificates and wills) • All adverse material—any negative, substantiated, career-relevant material that conforms to the requirements set forth within BUPERSINST 1070.27 • All commendatory material—any positive, substantiated, career-relevant material that conforms to the requirements set forth within BUPERSINST 1070.27 Further guidance regarding submission of OMPF documents may be found within the Navy Personnel Command OMPF—My Record website at http://www.npc.navy.mil. AWARDS SUBMISSIONS The Navy and Marine Corps Awards Manual, SECNAVINST 1650.1, establishes policy and procedures concerning awards available for recognizing individuals and units of the naval service. The Chief of Naval Operations (DNS-35) serves as the office of primary responsibility within the Navy for implementing this policy and maintains the Navy Department Awards Web-Service (NDAWS), which is the Navy’s authoritative electronic awards system. NDAWS consists of a public website that provides online access to Navy Awards information and assistance, the Navy-wide awards processing application, and the ability for active duty members, veterans, and commands to search the Navy’s authoritative awards database. Awards are documented in NDAWS, OMPF, and ESR, and each system has different requirements. Submitting Awards to OMPF Check to see that the award has been entered into NDAWS at https://awards.navy.mil. If the award is reflecting accurately in NDAWS, print the member’s full SSN in the upper right corner of the award, and send a copy to PERS-313 (Navy Personnel Command, PERS-313, 5720 Integrity Dr., Millington, TN 38055-3200). If the award has not been entered into NDAWS, or is in error, contact the NDAWS authority for your command (or your command may be an NDAWS authority) for assistance. The NDAWS authority will authenticate the award with the assistance of you and your command by following the policy guidance provided on the NDAWS Authority page of the website, and then the authority will mail a copy to your OMPF. How Awards Are Filed in OMPF and ESR Personal Awards (Navy and Marine Corps Achievement Medal & Higher) NDAWS authorities are to enter awards into NDAWS and mail a copy to Navy Personnel Command, PERS-313, for ingestion into the OMPF annotated with the member’s full SSN. If the award contains a written citation, such as a Meritorious Service Medal, include the citation with the award. PERS-313 will validate each incoming award against NDAWS (Figure 3-4). If the award is not reflecting in NDAWS, it will be returned to the NDAWS authority or the Echelon II NDAWS

3-10 Administrator if the NDAWS authority cannot be determined, for appropriate action. NDAWS is the authoritative source for awards. Awards will not be ingested into the OMPF if they are not reflected in NDAWS. Older awards not reflecting in NDAWS must be entered into NDAWS by the awarding authority’s NDAWS authority, or the member’s current NDAWS authority, after authentication. Authenticate awards by reviewing the permanent copy of the award. Letters of Appreciation/Commendation, Unit Awards, and Campaign/Service Awards The ESR displays personal awards, unit awards, and campaign/service awards. Campaign/Service awards issued prior to 2006 were entered on a paper NAVPERS 1070/604 and should be filed in the member’s OMPF. For unit awards and campaign/service awards issued after 2006, the award should be displayed in the Honors and Awards section of the member’s ESR and submitted to the OMPF on a paper NAVPERS 1070/880 Award Record when the member reenlists or separates. If errors are discovered in the ESR, you, as the YN/CPAA may be contacted for assistance. If the member has proof that an award is missing, you can submit it to the OMPF with justification. Figure 3-4 — NDAWS.

3-11 LEAVE Leave authorizes an individual to be absent from the place of duty. All active duty members earn 30 days of leave per year, and they are officially encouraged to use the entire 30 days. All personnel must be provided the opportunity to take leave annually, with the opportunity for at least one period of about 14 consecutive days. MILPERSMAN article 1050-020 and Leave and Liberty, DoD Instruction 1327.06, state leave authorization in detail. Leave Authorization The e-leave request resides inside the NSIPS ESR application (Figure 3-5). Therefore, it is imperative that each Sailor establish access and routinely view the ESR to become comfortable with the look and feel of the program. Once prepared, the leave request electronically routes through the chain of command for approval. This process has streamlined a Sailor’s request for leave, removing the paper trail and eliminating delays due to misrouting of the paper copy. The command’s leave control log is automated, and pay entitlements are properly credited without the need to submit any documents to a supporting disbursing office or PSD. Figure 3-5 — E-leave.

3-12 As a YN/CPAA, you may handle requests for leave in conjunction with separation or retirement from the Service. Printed copies of the leave requests should be forwarded via TOPS to the servicing PSD. The Command Leave Administrator (CLA) (an NSIPS role) may also assign a YN to manage the leave approver and reviewer roles and personnel assignment for leave purposes for the command in NSIPS. MILPERSMAN article 1050-090 provides the guidelines concerning granting of leave and determining if a day is counted as leave against the member’s account. The member cannot commence leave before the end of the member’s working hours on a day of duty, or that day will count as a leave day. If the member has no regular duties on that day, such as a weekend day, the leave can commence at any hour and the day will not be counted as a day of leave. The day of return from leave is counted as a day of leave, except when such return is made at or before the commencement of the member’s normal working hours. Leave Entitlements Leave is earned at the rate of 2.5 days per month for all personnel on active duty in the Navy, except for the following periods: • Active duty of less than 30 consecutive days • Active duty for training, with pay, of less than 30 consecutive days • Lost time • Excess leave or other periods in a non-pay status The individual’s monthly Leave and Earnings Statement (LES) from the Defense Finance Accounting Service-Cleveland Center (DFAS-CL) is used to determine how many days of leave personnel have accrued. This document gives a total balance of accrued leave as of the end of the statement’s reporting period (end of the month) and the number of days that have been used during the current fiscal year. Because LESs are generated monthly, you need to add only the number of days earned in the current month to the total number of days reported on the statement to determine the up-to-date leave balance. You can also find this information at the myPay website, https://mypay.dfas.mil. Leave Terms You should become familiar with a number of terms related to leave: • Earned leave—leave accrued to a member as of any given date. You can have a negative number of days’ leave accrued (commonly referred to as “in the hole”). A negative amount of leave must not exceed the amount of leave that would normally be earned during the remaining period of obligated service. (See Excess leave). • Advance leave—leave granted prior to its accrual to the member’s leave account, based on a reasonable expectation that the member will earn it during the remaining period of obligated active duty. • Annual leave—leave granted in execution of a command’s leave program, chargeable to the member’s leave account; also called ordinary leave, as distinguished from emergency leave. • Environmental morale leave—leave granted to a service member assigned to an overseas duty location that includes extraordinarily difficult living conditions or adverse environmental conditions that would offset the full benefits of annual leave programs. It is chargeable to the service member’s leave account.

3-13 • Convalescent leave—a period of authorized absence granted to persons while under medical care, which is part of the care and treatment prescribed for a member’s recuperation or convalescence. Convalescent leave is not chargeable to a member’s leave account. • Rest and recuperation (R&R) leave—leave granted (to include Government-funded transportation) to service members who qualify under conditions designated by the Principal Deputy Under Secretary of Defense (PSUSD) for personnel and readiness (P&R). It is chargeable to the service member’s leave account. The associated leave program, Non- Chargeable R&R Program, is not chargeable to a service member’s leave account. • Maternity leave—Navy members who become pregnant after 3 March 2016 will be entitled to 84 total days of non-chargeable maternity leave. The leave must be taken in a single block of 84 days, consecutively and immediately following a birth event or release from hospitalization following a birth event, whichever is later. That is, mothers may be granted up to 126 total days of leave (42 days of convalescent/maternity leave and up to 84 days of additional maternity leave (AML) and may take the AML in multiple blocks as allowed by NAVADMIN 182/15. Maternity leave that is not used within a year of the child’s birth will be lost. AML shall be calculated based on work days. • Graduation leave—a period of authorized absence granted as a delay in reporting to the first duty station in the case of graduates of the Naval Academy who are appointed commissioned officers in the Armed Forces. Graduation leave is not chargeable to the member’s leave account. • Emergency leave—a period of authorized absence granted to a Sailor for an emergency situation. Emergency leave should be granted whenever the circumstances warrant, based on the judgment of the commanding officer (CO) or officer in charge (OIC) and the desire of the member. • Adoption leave—a period of authorized absence up to 21 days granted to a service member who adopts a child under a qualifying adoption. Adoption leave is not chargeable to member’s leave account. • Paternity leave—a period of authorized absence up to 10 days granted to a married service member whose wife gives birth to a child. Paternity leave is not chargeable to member’s leave account. It must be taken within 365 days of the birth of the child. • Excess leave—leave granted in excess of earned leave and advance leave and during which the member is not entitled to pay and allowances. Excess leave is the result of a negative leave balance at the time of the following: ◦ Discharge ◦ First extension of an enlistment ◦ Separation from active duty ◦ Desertion ◦ Death All of these situations shall be considered as excess leave without regard to the authority under which the leave resulting in a negative leave balance was granted. The pay and allowances received while on excess leave shall be deducted upon the member’s return from such leave.

3-14 PAY AND ALLOWANCES As a YN/CPAA, you will be responsible for knowing the different types of pay and allowances and assisting customers with problems in each. Pay is broken down into three types—basic, special, and incentive. Learn these three types of pay and, in general, the requirements for entitlement. The actual amount of pay may change from year to year, depending on congressional budgetary actions. Current amounts are listed at the DFAS website, http://www.dfas.mil. Basic Pay Basic pay (Figure 3-6) is a monthly salary earned by all personnel on active duty, based on the paygrade and the number of years of service. Service counted for basic pay purposes consists of active and inactive service for certain military organizations. The Department of Defense Financial Management Regulation (DODFMR) lists the creditable service used for computing basic pay. Special Pays Entitlement to special pays (Figure 3-7) (i.e., Special Duty Assignment Pay (SDAP) and Enlistment, Reenlistment, Bonus, and Career Sea Pay (CSP)) is linked to the member’s status, professional qualifications, or duty assignment. Special pays are broken down in the DODFMR. Figure 3-6 — Basic pay chart.

3-15 Incentive Pays Many members also may be entitled to incentive pay (Figure 3-7). Incentive pay is also referred to as hazardous duty pay because this type of pay is given to members whose duty subjects them to abnormal hazards. Incentive pays are contained in the DODFMR. Allowances An allowance is an amount of money paid to a member to provide for facilities, services, or goods, such as food (subsistence) or Government quarters, when they are not provided by the Navy, or to offset some additional living expenses created by a service-related duty requirement. The following are some of the allowances found in the DODFMR and Joint Travel Regulations (JTR): • Basic Allowance for Subsistence (BAS) • Basic Allowance for Housing (BAH)—with or without dependents • Family Separation Allowance (FSA) • Clothing Monetary Allowances—enlisted member Figure 3-7 — Incentive and special pays.

3-16 • Officers’ Uniform and Equipment Allowance • Personal Money Allowance Eligibility for allowances is not quite as evident from the title as are most pays. BAH entitlement can be earned by claiming a variety of different types of dependents or, for a single member, where he or she is stationed. There are three different categories of FSA payments, depending on the circumstances of the separation. Study these carefully in the DODFMR so that you are aware of all the combinations that can create an entitlement—especially military to military members. Miscellaneous Payments The DODFMR gives the various reasons why a member may receive one of the above pay or allowances outside normal payment procedures. A member may receive a pay before earning it (such as advance basic pay in connection with a PCS) or be given an allowance ahead of actual entitlement (such as advance BAH when a new rental agreement is signed). A member may be mentally incompetent or physically unavailable—missing, missing in action, or prisoner of war—but entitlement may continue and be provided. Members separating from the service may be entitled to other payments. The DODFMR also provides information on pay given for leave not used before separation, money due to a member if a contract agreement with the Navy was cancelled, involuntary separation pay, and other instances. RECEIPTS AND TRANSFERS Maintaining accountability for personnel is one important function of our rate. As a YN, you may find yourself in a position to check in newly reporting personnel or assist in transfer of personnel from your command. This function is important, as the customer service attitude you adopt in these tasks can set the tone for your command climate. How you treat newly reporting personnel directly reflects on the way your command treats its personnel as a whole. Likewise, how you treat personnel during their transfer will affect the reputation of your command Navy wide. Rotation among sea, shore, and overseas activities is directly influenced by the number of personnel available for assignment, billets authorized, the qualifications of the individual, time-on-station, and PCS funding. Requiring obligated service to complete the tours prescribed enhances stability. Using projected authorizations, personnel inventory projections, and historical data, sea/shore tour lengths have been developed for all communities. Types of Transfers Orders initiating PCS transfers originate as either BUPERS orders or field orders. BUPERS orders are delivered to the member’s command from the order writing community. Field orders are delivered to the member under the authority of the CO and include the following: • Accessions and separations (enlisted members, midshipmen, officer candidates, and nuclear petty officer candidates) • Change of Permanent Duty Station (homeport) of organized units (ships, air units, other mobile units) • Relocation of a shore-based activity While many commands have a servicing PSD, you may be assigned to a command without one. For

3-17 a comprehensive checklist of reporting and detaching responsibilities, refer to the Pay and Personnel Administrative Support System (PASS) Management Manual, (PASSMAN), OPNAVINST 1000.23. You may also refer to the MILPERSMAN for in-depth information on types of transfers and proper procedures for each. SEPARATIONS The term “separation” is defined in the MILPERSMAN as “a general term that includes discharge, release from active duty, release from custody and control of the Naval Service, transfer to the Individual Ready Reserve (IRR), and similar changes to active or Reserve status.” As a YN/CPAA, you will be responsible for ensuring that paperwork for separation of command members is properly prepared and sent via TOPS to the servicing PSD. MILPERSMAN 1910 series provides information on all forms of separation, and OPNAVINST 1000.23 outlines procedures for effecting separation of command members. An example of a separation checklist is shown in Figure 3-8. The Secretary of the Navy (SECNAV), acting for the President, establishes criteria by which the Navy and Marine Corps may allow voluntary officer and enlisted separations and still maintain a sound officer corps and enlisted community. The majority of officer and enlisted separations are either due to retirement or to release from active duty. When an officer or an enlisted member is separated by either method, it may be effected voluntarily or involuntarily, depending on the circumstances involved. There is a distinct and legal Figure 3-8 — Separation checklist.

3-18 difference between retirement or release from active duty and total separation. Upon retirement or release from active duty, officers and enlisted members continue to be fully subjected to naval jurisdiction and orders except only to the extent that jurisdiction is specifically limited by statute. The jurisdiction is limited by law, but does apply. The following is a discussion of the various methods of voluntary and involuntary officer and enlisted separations. Officer Separations Once a member has legally accepted a commission or warrant and has executed the oath of office, he or she has acquired a legal status that continues until it is terminated legally. Termination may be accomplished only through a specific legally authorized process. Once a person has become an officer of the naval service under a commission or warrant in the Navy or any Reserve component thereof, that person is then presumed to remain in that office until his or her status as such is shown to have been terminated by a duly constituted governmental authority acting pursuant to law. Officers of the Regular Navy and Navy Reserve retain their commissions at the pleasure of the President, and no terminal dates are established for their commissions. SECNAV , by virtue of his or her authority to act for the President, prescribes criteria for the voluntary termination of an officer’ s commission as deemed necessary for the maintenance of a sound corps. There are six types of termination presently authorized by law in officer cases: • Acceptance of resignation (unqualified or qualified) • Separation for cause • Revocation of commission • Dropping from rolls • Dismissal termination of commission • Separations of officers from the naval service must be approved by SECNAV Orders for Separation Separation orders for officers are final orders and are issued only by Chief of Naval Personnel (CHNAVPERS) or SECNAV. Specific types of orders may be issued in the field, but only with authorization from CHNAVPERS or SECNAV. Enlisted Separations The policy of the Navy is to promote readiness by maintaining high standards of conduct and performance. To maintain high standards of conduct and performance, it is necessary to provide, in various circumstances, for the orderly and expeditious administrative separation of naval personnel. There are several reasons for this: namely, to ensure that the Navy is served by individuals capable of meeting required standards of duty, performance, and discipline; to maintain standards of performance and conduct through appropriate separation and characterization of service that emphasizes the traditional concept of honorable military service; and to achieve authorized force levels and grade distributions. Some of the formal reasons for separation of enlisted personnel are discussed in the following

3-19 paragraphs. Procedures, additional reasons covering defective enlistments and inductions, entry-level performance and conduct, unsatisfactory performance, misconduct, drug abuse and rehabilitation failure, and alcohol abuse and rehabilitation failure are discussed in detail in the MILPERSMAN. Selected Changes in Service Obligation CHNAVPERS may authorize or direct the separation of enlisted personnel due to selected changes in service obligation. Some of these changes might involve general demobilization, reduction in authorized strength, or an order applicable to all members of a class of personnel specified in the order. Other changes might involve the acceptance of an active duty commission or permanent appointment or acceptance into a program leading to an active duty commission or appointment in any branch of the Armed Forces. Another change might involve immediate enlistment or reenlistment. Expiration of Enlistment, Fulfillment of Service Obligation, or Expiration of Tour of Active Service Unless voluntarily or involuntarily retained beyond normal expiration of term of service as provided in the MILPERSMAN or applicable directives issued by SECNAV or CHNAVPERS, enlisted and inducted members of the Regular Navy or Navy Reserve are separated or released from inactive duty at certain times. These include the following: • Upon normal date of expiration of enlistment, extension of enlistment, or period of induction, provided the member does not have an additional service obligation. • At the fulfillment of service obligation acquired under the provisions of the Military Selective Service Act, provided no portion of the contractual enlistment or extension thereof remains to be served. • At the completion of the period of active obligated service or period of such service as voluntarily or involuntarily extended. • Within 30 days of the normal date of expiration of enlistment, extension of enlistment, fulfillment of service obligation acquired under the provisions of the Military Selected Service Act, or normal date of completion of period of active obligated service. For the Convenience of the Government CHNAVPERS may authorize or direct the separation of enlisted or inducted members before the expiration of enlistment, or other obligated service, for certain reasons, including the following: • Some Navy personnel and their families will encounter hardships. Upon the request of the member and concurrence of CHNAVPERS, separation may be directed when genuine hardship exists. The criteria and format for a request for hardship discharge is contained in the MILPERSMAN. • A written request for a separation hardship should be addressed to the appropriate Special Court-Martial Convening Authority (SPCMCA). In unusual circumstances, members in an authorized leave status may submit requests for dependency of hardship discharge. To expedite the procedure, the nearest naval activity should submit a properly prepared request to the appropriate SPCMCA with the assisting command’s synopsis included in its endorsement. All requests must be accompanied by affidavits substantiating the hardship claim. Where practical, one affidavit should be submitted from the family member(s) concerned. • A member who is unable to perform duties assigned, who is repetitively absent, or who is

3-20 unsuitable for worldwide assignment or deployment due to parenthood may be separated under this provision. • A member may be separated within 3 months of the expiration of enlistment to attend an instruction of higher education, college, university, vocational, or technical school. The Deputy CHNAVPERS is the separation approving authority and not the member’s CO. • A member, on active duty or inactive duty, may not be separated based on pregnancy or childbirth unless it is determined to be in the best interest of the service member or if the member demonstrates prevailing and compelling factors of personal need that warrant separation. Additional reasons, such as conscientious objection, surviving son or daughter, failure to meet physical readiness standards on a Physical Fitness Assessment, or other designated physical or mental conditions, are discussed in the MILPERSMAN. Physical Disability A member not physically qualified because of physical disability is unable to perform the duties of his or her rate in such a manner as to reasonably fulfill the purpose of the member’ s employment on active duty. Members on inactive duty may be separated because of physical disability upon determination that they are not physically qualified to perform the duties of their rating on active duty in the Navy Reserve. Members who have been found to be physically not qualified for active duty or retention in the Navy Reserve are not involuntarily discharged upon the expiration of their enlistment, or enlistment as extended, until the action pertaining to the resolution of their physical status is completed. When the member’s enlistment, or extension of enlistment, expires before their physical status is resolved, members may be administratively retained in the service beyond the expiration date with their consent. If a member does not consent to the retention, the member’s discharge is executed in the normal manner and an entry made on the Administrative Remarks page of the service record denoting the member’s desire to be discharged in lieu of retention as herein authorized. In Lieu of Trial by Court-Martial A member may be separated in lieu of trial by court-martial upon the member’s request if the charges have been preferred with respect to an offense for which a punitive discharge is authorized in the Maximum Punishment Chart, Appendix 12, Manual for Courts-Martial, MCM, 2008, and the member’s CO determines that the member is unqualified for further naval service under the guidance contained in the MILPERSMAN. This provision may not be used as a basis for separation when Rules of Courts-Martial (R.C.M.) 1003(d) of the MCM provides the sole basis for a punitive discharge unless the charges have been referred to a court-martial authorized to adjudge a punitive discharge. A request for administrative separation under other than honorable conditions in lieu of trial by court- martial does not prevent or suspend disciplinary proceedings in a case. Whether such proceedings will be held in abeyance pending final action on a request for discharge is a matter to be determined by the officer exercising general court-martial jurisdiction over the member concerned. As a condition precedent to approval of the request, the member, if serving in paygrade E4 or above, must also request administrative reduction to paygrade of E3. Upon approval of the request for separation in

3-21 lieu of trial by court-martial, such member will be reduced to paygrade E3 by his or her request. Administrative Separation The Navy separation policy strengthens the concept that military service is a calling different from any civilian occupation. Enlisting in the Navy involves a commitment to the United States, to one’s service, and to one’s fellow citizens and service members. Early separation for failure to meet required standards of performance or discipline violates that commitment. Upon entry to naval service, the Navy invests substantial resources in training, equipment, and related expenses for each individual. Separation before completion of a period of obligated service represents a loss of that investment while requiring increased accessions. Conversely, retaining individuals in the naval service who will not or cannot conform to Navy standards of conduct, discipline, and performance creates a high cost in terms of pay, administrative efforts, degradation of morale, and substandard mission performance. Both situations represent an inefficient use of limited defense resources. Therefore, every reasonable effort must be made to identify in a timely manner members who exhibit an increased chance of early separation, and either improve those members’ chances of retention through counseling, retraining, and rehabilitation or separate promptly those members who do not demonstrate potential for further naval service. MILPERSMAN lists the formal basis for separation and reasons for processing for administrative separation. Discharge Certificates Navy personnel who have been totally separated from the naval service, with certain infrequent exceptions, are entitled to one of the following types of discharge certificates: • Honorable • General • Discharge Under Conditions Other Than Honorable Officers separated from the service by dismissal pursuant to sentence of general court-martial are not awarded a certificate of any of the types of discharges listed previously. Their only separation document is a letter signed by SECNAV, or by an authority to whom SECNAV has lawfully delegated the function, informing the officer concerned of his or her trial, conviction, sentence, departmental action upon and approval of the sentence, and fact of dismissal. This is the lowest type of separation from the naval service. It is now officially, in all respects, equivalent to a Dishonorable Discharge. The foregoing certificates are issued by the Navy Department only. Under no circumstances may a ship or station issue any form of certificate of discharge to a member separated from the service as a warrant or commissioned officer. Fleet Reserve The Fleet Reserve is composed of enlisted members who have served in the Regular Navy and the Navy Reserve who, in the event of a national emergency or war, may be recalled to active duty without additional training. Personnel who have completed 20 years of active service may submit a NAVPERS 1336/3 (Special Request or Authorization) through the chain of command for approval for transfer to the

3-22 Fleet Reserve. Upon the CO’s approval, the command career counselor and/or the YN/CPAA in the administrative office will ensure that the request is submitted to NAVPERSCOM (PERS-8354), utilizing NSIPS. Remember, transfer to the Fleet Reserve cannot be less than 6 months and not more than 1 year from the member’s Enlisted Active Obligated Service. However, for E7 and above, you can allow a date up to 2 years before the desired date of transfer. All Fleet Reserve transfers are effective on the last day of the month. An effective date of transfer to the Fleet Reserve may be held in abeyance if the member is in any of the following circumstances: • In a disciplinary status • Serving a sentence of a court-martial (including time on probation) • Awaiting civil action • Awaiting an administrative discharge • Awaiting resolution of unresolved family advocacy issues as determined by NAVPERSCOM, Career Progression Division (PERS-8) • Awaiting results of a disability evaluation (Members (at their own request) desiring transfer to Fleet Reserve instead of continuing disability processing, may waive treatment and/or disability evaluation processing.) • Currently in receipt of hardcopy PCS orders (Since PCS orders and Fleet Reserve message of intent (MOI) both have PCS entitlements tied to them, possessing both is not authorized. Members must first execute any PCS orders in hand before submitting a Fleet Reserve request.) COs may defer transfer to the Fleet Reserve up to 30 days beyond the date authorized only when urgent operational commitments demand the member’s continued service. When deferment is effected for this reason, a full report of the circumstances will be forwarded via message traffic to CHNAVPERS, with an information copy to the appropriate type commander. Responsibilities of the Administrative Office upon Fleet Reserve Approval Once COMNAVPERSCOM issues the MOI to approve the Fleet Reserve request, you, as the YN/ CPAA, must ensure the following: • Member has sufficient obligated service (OBLISERV) to reach authorized Fleet Reserve date. If a conditional reenlistment is required due to having 24 months of extension on a NOTE Members in a limited duty (LIMDU) capacity are not considered to be in the disability evaluation process and will be processed as a regular Fleet Reserve request. Local approval of LIMDU is not authorized when it will retain a member beyond 20 years of active service. LIMDU can only be approved by NAVPERSCOM, Disability/Retirement/ LIMDU Branch (PERS-82) for members who will exceed 20 years.

3-23 current enlistment, the MOI will serve as approval to conditionally reenlist the member per MILPERSMAN 1160-030. • Personnel support or administrative offices should receive a copy of the Fleet Reserve authorization at least 120 days prior to requested date. If Fleet Reserve authorization is not received 120 days in advance, contact COMNAVPERSCOM (PERS-8354) immediately for assistance. • Upon receipt of authorization, forward a copy to the member, career counselor, and other interested individuals at the command. • Issue First Endorsement to Fleet Reserve authorization message using the format in the MILPERSMAN. Endorsement is to be issued with accounting data no earlier than 6 months prior to the Fleet Reserve date without approval from NAVPERSCOM (PERS-835) per MILPERSMAN 1800-020. • Work with PSD to prepare DD 214 and Certificate of Release or Discharge from Active Duty, and then forward with the transfer authorization and First Endorsement to the appropriate disbursing office no later than 30 days prior to the member’s departure from command. • Close the member’s service record and forward to: Commander, Navy Personnel Command (PERS-912), 5722 Integrity Drive, Millington, TN 38055-3200. ADVANCEMENTS Personnel eligible for paygrades E4 through E6 take an advancement exam (Figure 3-9) twice a year in March and September. E6s who are eligible for the E7 examination (Figure 3-10) take it once a year in January. Personnel responsible for preparation of worksheets and ESR entries relating to advancement must read and comply with all aspects of the Advancement Manual for Enlisted Personnel of the U.S. Navy and U.S. Navy Reserve, BUPERSINST 1430.16. COs/OICs are responsible for ensuring that the requirements for signing worksheets are disseminated throughout the command. Worksheets are available utilizing NSIPS with a CAC login. An example of the NETPDC 1430/3 is shown in Figure 3-11. YNs work closely with the Educational Services Officer (ESO) in preparation of a worksheet for each candidate participating in a Navy-wide advancement cycle (E-4 through E-7), including Limited Duty Officer (LDO) Program candidates. ESOs and candidates use the form as a checkoff sheet and for transferring information to the answer sheet. Figure 3-9 — E4 through E6 advancement exam.

3-24 The ESO prepares worksheets for eligible candidates at least 1 month prior to the scheduled examination. Working with the YN, ESOs are responsible for reviewing all worksheets for accuracy, although each candidate is responsible for the accuracy of the information presented. Approximately 10 days prior to the scheduled date of examination, the ESO will review the worksheet for each candidate per BUPERSINST 1430.16. Candidates must verify and sign the worksheets prior to taking the examination as stipulated by the ESO. Candidates transfer the worksheet information to answer sheets during the examination at the examination site. The ESO holds worksheets in a suspense file, pending results of the examinations. Worksheets will be retained according to the guidelines in BUPERSINST 1430.16. All examinations and completed answer sheets shall be in the custody of a U.S. naval officer, or designated master chief, senior chief, chief petty officer, or civilian as identified in BUPERSINST 1430.16. Turn verified answer sheets over to the person designated to prepare the transmittal letter for forwarding to NETPDC. Only officers, designated E-7/8/9, or designated civilian employees may handle the answer sheets until they are deposited as Registered Mail in the U.S. Postal System (USPS) or to the General Services Administration (GSA) contract for overnight delivery. Give completed answer sheets the same handling and stowage afforded FOR OFFICIAL USE ONLY documents. Upon release of advancement results, those Sailors selected for advancement (E-4 to E-9) are eligible to be “frocked” by the CO. That is, they can be administratively advanced by the CO to the next paygrade, but will not receive pay for the next grade until actually advanced by BUPERS. This affords instant recognition for their new achievement, instead of waiting to put on their new rank for an extended period of time. Remember that only personnel currently in physical fitness standards are eligible to be frocked. BUPERSINST 1430.16 addresses required administrative procedures and information for Figure 3-10 — E7 advancement exam.

3-25 advancement of enlisted personnel. Factors such as closeout evaluations are also considered. Refer to BUPERSINST 1610.10 for details. Figure 3-11 — NETPDC 1430/3. SUMMARY In this chapter we discussed why your roll as the CPAA is important. The OMPF and ESR must be maintained properly, completely, and accurately. We expanded upon your roles in service record maintenance, leave procedures, and pay and allowances. As a YN in the customer service area, you will be asked questions about these topics. Because these topics ultimately affect a person’s pay, take care with your response. If you are not certain of the correct answer or if you cannot find the answer in writing, ask your supervisor to help you obtain the correct response. The information in this chapter is intended to provide you with an overview of these topics. For additional information beyond the scope of this chapter, refer to the governing directive or article pertaining to the specific subject.

3-26 End of Chapter 3 Command Pay and Personnel Administrator (CPAA) Review Questions 3-1. If a customer asks you for a copy of his or her “Page Four,” how should you assist that customer? A. Tell the customer that the Page Four does not exist and you are unable to help B. Since the NAVPERS 1070/604 (“Page Four”) has been discontinued, look for the information in the OMPF C. Since the NAVPERS 1070/604 (“Page Four”) has been replaced by the Training, Education, and Qualification History (NAVPERS 1070/881) within NSIPS, find the information there D. Tell the member to ask for a copy of the Page Four from his or her servicing personnel support detachment 3-2. Next of kin should be listed on what NAVPERS form? A. NAVPERS 1070/602 B. NAVPERS 1070/607 C. NAVPERS 1070/606 D. NAVPERS 1070/605 3-3. What method should be used whenever possible to forward documents for inclusion in a member’s permanent military record? A. Forward a copy to the servicing personnel support detachment B. Forward a copy to Commander, Navy Personnel Command (PERS-313) C. Forward a copy to Commander, Navy Personnel Command (PERS-32) D. Submit electronically using the E-submission tool within BUPERS online 3-4. Which office is responsible for entry or correction of ASVAB scores within a member’s ESR? A. Navy College Office B. Bureau of Naval Personnel C. Customer service desk D. Personnel support detachment 3-5. Which personnel record does NSIPS update? A. Medical Record B. ESR C. Dental Record D. Criminal Record

3-27 3-6. NSIPS is the Human Resources Management tool used by whom? A. The Administrative Office B. 3M Coordinator C. Legal Officer D. A-Gang LPO 3-7. Which of the following entries is considered a permanent remark in your OMPF? A. Time-in-rate date change B. Poor academic performance C. Administrative counseling/warning D. Enlisted physical fitness assessment passing score 3-8. Through what website is OMPF accessible? A. BUPERS B. MNP C. NPA D. Navy.mil 3-9. Which of the following entries is considered a temporary remark? A. Unauthorized absence B. Sea duty counter C. Volunteered for special duty D. Retain in service 3-10. What document establishes policy and procedures concerning awards available for recognizing individuals and units of the naval service? A. BUPERSINST 1640.1 B. SECNAVINST 1650.1 C. BUPERSINST 1750.2 D. SECNAVINST 1750.2 3-11. To verify that a service member has received an award, you should refer to what website? A. NETC B. MNP C. NDAWS D. Navy.mil 3-12. Unit awards and campaign/service awards issued after 2006 are logged on what form? A. NAVPERS 1070/604 B. NAVPERS 1070/602 C. NAVPERS 1070/880 D. NAVPERS 1070/882

3-28 3-13. Which of the following directives gives guidance on advancement examinations? A. BUPERSINST 1070.27 B. SECNAVINST 5213.1 C. BUPERSINST 1430.16 D. OPNAVINST 1000.16 3-14. What is the maximum number of days that a commanding officer can authorize for maternity leave? A. 42 B. 60 C. 84 D. 126 3-15. What total number of days per month does a Sailor earn in leave? A. 1.5 B. 2.0 C. 2.5 D. 3.0

4-1 CHAPTER 4 LEGAL As a yeoman (YN), you are extensively involved in all aspects of non-judicial punishment, commonly called either Non-Judicial Punishment (NJP) or Captain’s Mast. This chapter addresses the duties and procedures required before, during, and after NJP proceedings, as well as other legal aspects that you, as a YN, should be familiar with. However, this chapter is meant to be an introduction. It is highly recommended that Yeomen whose responsibilities include many legal issues attend the Naval Justice school legal clerk course, Course Identification Number (CIN) S-512-0009. Senior YNs should attend the legal officer course, CIN S-5F-0014 as well. LEARNING OBJECTIVES When you have completed this chapter, you will be able to do the following: 1. Describe the practices applicable to NJP procedures. 2. Describe the practices applicable to administrative investigations or fact-finding bodies. 3. Describe the practices applicable to courts-martial procedures. 4. Explain the regulations applicable to reports of offenses. 5. Describe the principals involved in censure as it applies to a statement of adverse opinion or criticism of an individual’s conduct or performance. 6. Describe the practices applicable to reporting unauthorized absence (UA) and desertion. RESOURCES • U.S. Navy Judge Advocate General Library (http://www.jag.navy.mil/) • Navy Personnel Command (NPC) reference Library (http://www.public.navy.mil/bupers-npc/ reference/Pages/default.aspx) (Figure 4-1) • Legal Clerk United Services Military Apprenticeship Program (USMAP) (Figure 4-2) (https:// usmap.cnet.navy.mil/usmapss/static/wps/wps.jsp?aimsParm=0800N) • 305 Legal Clerk, Yeoman Personnel Qualification Standard (PQS) • Courses • Legal Clerk Course (CIN S-512-009) • Extension Beyond EAOS for disciplinary action (CSS-LNPRO-1) • Legal Officer Course (CIN S-5F-0014)

4-2 Figure 4-1 — NPC reference Library.

4-3 TYPES OF MAST The word “mast” describes three different types of proceedings: request mast, meritorious mast, and disciplinary mast/NJP. This chapter discusses disciplinary mast. Mast is a procedure the CO uses to inquire into the facts surrounding minor offenses allegedly committed by a member of his or her command; to afford the accused a hearing as to the offense(s); and to dispose of such charges by dismissing the charges, imposing punishment, or referring the case to a court-martial. Request Mast All Navy and Marine Corps members should first make every effort to address the offending behavior directly with the party responsible, verbally or in writing. You can also discuss the matter with your immediate supervisor and request assistance. If you are unable to resolve the issue informally, you have the right to a request mast, a request to speak directly to the service member’s commanding officer. Can a commanding officer deny a request mast application? A commanding officer may deny a request mast application if there is another specific avenue of redress available to the member. The commanding officer should explain to the member why he/she denied the request mast application and, if appropriate, explain the procedure the member should follow to resolve the issue. The commanding officer may also require the member to go through the Figure 4-2 — USMAP.

4-4 Chain of Command prior to approving Mast. What are some issues that are not appropriate for request mast? Generally, a military member can speak to the Commanding Officer about any subject; however, the member cannot use request mast for the following reasons: Request mast should not be used as a means of attacking the proceedings, punishment, or findings and sentence resulting from a disciplinary action brought under the Uniform Code of Military Justice (UCMJ). Request mast may not be used to harass, avoid duty, or intentionally interfere with the commander’s ability to carry out the functions and mission of the command. Request mast cannot be used if the member is being processed for involuntary separation or if the subject of the complaint is an ongoing Article 138, UCMJ, or Article 1150, Navy Regulations. How do I submit a request mast application? Complete the Special Request Authorization form (Naval Personnel [NAVPERS] 1336/3, Revision [REV] 10-2011) and submit it through the chain of command to the Commanding Officer. Meritorious Mast Meritorious mast is an informal method of positive recognition the commanding officer may use to immediately apprise the service-member of noteworthy or commendable performance above the usual requirement of duty. For Navy personnel, a meritorious mast is generally documented on an Administrative Remarks Form, NAVPERS 1070/613. Disciplinary Mast Disciplinary mast, more commonly referred to as NJP, is explained in greater detail below. Non-Judicial Punishment (NJP) NJP is a disciplinary measure more serious than an administrative corrective measure but less serious than trial by court-martial. NJP provides commanders an essential and prompt means of maintaining good order and discipline. NJP refers to certain limited punishments that a commanding officer can award for minor disciplinary offenses to members of his or her command. Article 15 of the UCMJ, Manual for Courts-Martial (MCM) and Manual of the Judge Advocate General (JAGMAN), JAGINST 5800.7 contain the basic laws about NJP procedures. Authority to Impose A CO may exercise authority to impose NJP under Article 15, UCMJ, as may an officer in charge (OIC), or certain officers to whom the Secretary of the Navy (SECNAV) has delegated that power. Persons on Whom NJP May Be Imposed A CO may impose NJP on all Navy and Marine Corps personnel of his or her command. An OIC may impose NJP only on enlisted members assigned to the unit that he or she is in charge of and only if delegated by the CO. See the JAGMAN for further guidance on imposing NJP on personnel of another branch of the Armed Forces. There is no authority for a CO or OIC to impose NJP on a

4-5 civilian, for they are not subject to the UCMJ. Imposition of NJP on Reservists Reservists on Active Duty for Training (ADT) orders or, under some circumstances, Inactive Duty for Training (IDT), are subject to the UCMJ and, therefore, subject to the imposition of NJP. The offense(s) that the CO or OIC seeks to punish at NJP must have occurred while the member was on ADT or IDT. However, it is not necessary that NJP occur (or the offense be discovered) before the end of the ADT or IDT period during which the alleged misconduct occurred. In that regard, the officer seeking to impose NJP has the following options: • He or she may impose NJP during the ADT or IDT in which the misconduct occurs. • He or she may impose NJP at a later period of ADT or IDT (so long as this is within two years of the date of the offense). • He or she may request from the regular active duty component Officer Exercising General Court-Martial Jurisdiction (OEGCMJ) over the accused an involuntary recall of the accused to ADT or IDT to impose NJP. • If the accused waives his or her right to be present at the NJP hearing, the CO or OIC may impose NJP after the period of ADT or IDT of the accused has ended. Rights of an Accused to Refuse NJP Article 15, UCMJ, and Part V of the MCM provide limitations on the exercise of NJP. Except for a person attached to or embarked in a vessel, an accused may request trial by court-martial in lieu of NJP. This right to refuse NJP exists up until the time of imposition of NJP (that is, up until the CO announces the punishment). The accused does not waive this right by having previously signed a report chit showing that he or she would accept NJP. The category of persons who may not refuse NJP includes those persons assigned or attached to a vessel who are on board for passage or are assigned or attached to an embarked staff, unit, detachment, squadron, team, air group, or other regularly organized body. Offenses Punishable Under Article 15, UCMJ Article 15 gives a CO authority to punish individuals for minor offenses. The MCM states that a minor offense is misconduct normally not more serious than that usually handled at a Summary Court- Martial (SCM) (where the maximum punishment is 30 days’ confinement). These sources also say that the nature of the offense and the circumstances surrounding its commission are also factors to consider in determining whether an offense is minor. Cases Previously Tried in Civil Court The JAGMAN permits the use of NJP to punish the accused for an offense for which he or she has been: • Tried (whether acquitted or convicted) by a domestic or foreign civilian court. • Diverted out of the regular criminal process for a probationary period. • Adjudicated by juvenile court authorities. These sections are only applicable, however, if authority has been obtained from the Officer

4-6 Exercising General Court-Martial Jurisdiction (usually the general or flag officer in command over the command desiring to impose NJP). NJP may not be imposed for an act tried by a court that derives its authority from the United States, such as a Federal district court. Cases in which a trial by court-martial has reached a finding of guilt or innocence cannot be taken to NJP. Off-Base Offenses COs and OICs may dispose of minor disciplinary infractions that occur on or off base at NJP. Unless the off-base offense is a traffic offense or one previously adjudicated by civilian authorities, there is no limit on the authority of military commanders to resolve such offenses at NJP. In areas not under military control, the responsibility for maintaining law and order rests with civil authority. The enforcement of traffic laws falls within the purview of this principle. Such driving performance does not prevent the use of non-punitive measures that could include denial of on- installation driving privileges. THE NJP PACKAGE The NJP package includes numerous documents and forms, along with any evidence on the case. The following is a list of possible documents and forms you will use: • Suspect’s Rights Acknowledgement/Statement • Preliminary Inquiry Officer (PIO) designation letter (if applicable) • NAVPERS 1626/7, Report and Disposition of Offense(s) • NJP Rights Notification Form (shore or vessel) • Booker Rights Page 13 (if applicable) • Any other evidence concerning the case Suspect’s Rights Acknowledgement/Statement A person subject to the UCMJ who is required to give warnings under Article 31 may not interrogate or request any statement from an accused or a person suspected of an offense without first complying with the following actions: • Informing the accused or suspect of the nature of the accusation • Advising the accused or suspect that the accused or suspect has the right to remain silent • Advising the accused or suspect that any statement made may be used as evidence against the accused or suspect in a trial by court-martial Interrogation includes any formal or informal questioning in which an incriminating response is sought or is a reasonable consequence of the questioning. If a person chooses to exercise the privilege against self-incrimination or the right to counsel under the Military Rule of Evidence (M.R.E) 305, questioning must cease immediately. After receiving applicable warnings under M.R.E. 305, a person may waive the rights described therein and in M.R.E. 301 and make a statement. The waiver must be made freely, knowingly, and intelligently. A written waiver is not required. The accused or suspect must acknowledge affirmatively that he or she understands the right involved, affirmatively decline the right to counsel, and

4-7 affirmatively consent to making a statement. The Suspect’s Rights Acknowledgement/Statement, NAVJAG 5810/10, (Figures 4-3, 4-4, and 4-5), is a suggested format that investigative personnel may use in cases in which suspects desire to waive their rights concerning self-incrimination and to make statements. If administered properly and the suspect’s rights are preserved, this form is an extremely useful tool in preparing the command’s case against the accused. Figure 4-3 — Suspect’s Rights and Acknowledgement/Statement, NAVJAG 5810/10 (first page).

4-8 Figure 4-4 — Suspect’s Rights and Acknowledgement/Statement, NAVJAG 5810/10 (second page).

4-9 Figure 4-5 — Suspect’s Rights and Acknowledgement/Statement, NAVJAG 5810/10 (third page).

4-10 Preliminary Inquiry Report (PIR) The PIR is a quick and informal investigative tool a command can use to initially determine whether a particular incident is serious enough to warrant some form of administrative or judicial action. A PIR is not necessarily required; however, it is “advised” for all incidents potentially warranting an NJP or court-martial. An E-7 or above can be designated as the PIO and the investigators should take no longer than three working days to complete their inquiry. Article 31(b), Rights/Miranda Rights If you suspect a service member has violated the UCMJ and you are going to question the member about the offense(s), the service member is entitled to be informed of his/hers Article 31(b) rights. Acknowledgment/Statement form can be found in the JAGINST 5800. The form reflects both JAGMAN Chapter I, Article 31 (b) and Miranda rights. Always read it verbatim to the suspect prior to any interrogation. Do not ask the suspect any questions unless he or she has waived both the right to remain silent and the right to counsel. The suspect may at this time make an oral or written statement or agree to answer any questions and retains the right to terminate the interrogation at any time. Report and Disposition of Offense(s) Your office may receive notification in a variety of ways that an offense has been committed. These ways can include a shore patrol report, a verbal complaint by a victim, or a local report chit. Except when serious crimes are involved, charges are reduced to writing on the Report and Disposition of Offense(s), NAVPERS 1626/7 and processed in the manner prescribed by the form itself. The NAVPERS 1626/7 is a one-sheet (front-and-back) form (Figures 4-6 and 4-7).

4-11 Figure 4-6 — Report and Disposition of Offenses, NAVPERS 1626/7 (front).

4-12 Figure 4-7 — Report and Disposition of Offenses, NAVPERS 1626/7 (back).

4-13 REPORT OF OFFENSE Any person may report an offense subject to trial by court-martial. Ordinarily, any military authority who receives a report of an offense should forward the report and any accompanying information to the immediate commander of the suspect as soon as possible. Competent authority superior to that commander may direct otherwise. Upon receipt of a report, the immediate commander of a suspect should refer to Rules for Courts-Martial (R.C.M.) Rule 306 for initial disposition. Initial Disposition Each commander has the discretion to dispose of offenses by members of that command. Ordinarily the immediate commander of a person accused or suspected of committing an offense triable by courts-martial initially determines how to dispose of that offense. A superior commander may withhold the authority to dispose of offenses in individual cases, types of cases, or generally. A superior commander may not limit the discretion of a subordinate commander to act on cases over which authority has not been withheld. Allegations of offenses should be disposed of in a timely manner at the lowest appropriate level of disposition listed in R.C.M. Rule 306. The disposition decision is one of the most important and difficult decisions facing a commander. The commander must take into consideration and balance many factors, including, to the extent practical, the nature of the offenses, any mitigating or extenuating circumstances, the character and military service of the accused, any recommendations made by subordinate commanders, the interests of justice, military exigencies, and the effect of the decision on the accused and the command. The goal should be a disposition that is warranted, appropriate, and fair. Within the limits of the commander’s authority, a commander may take the following actions to dispose initially of a charge or suspected offense: • No action. A CO may decide to take no action on an offense. If charges have been preferred, they may be dismissed. • Administrative action. A commander may take or initiate administrative action, in addition to or instead of other action taken under R.C.M. Rule 306, subject to regulations of the Secretary concerned. Administrative actions include corrective measures, such as counseling, admonition, reprimand, exhortation, disapproval, criticism, censure, reproach, rebuke, extra military instruction, the administrative withholding of privileges, or any combination of the above. • NJP. A commander may consider the matter pursuant to Article 15. • Disposition of charges. Charges may be disposed of according to R.C.M. 401. • Forwarding for disposition. A commander may forward a matter concerning an offense, or charges, to a superior or subordinate authority for disposition. • National security matters. If a commander not authorized to convene GCM finds that an offense warrants trial by court-martial, but believes that trial would be detrimental to the prosecution of a war or harmful to national security, the matter should be forwarded to the general court-martial convening authority for action under R.C.M. 407(b).

4-14 Preferral of Charges Any person subject to the code may prefer charges. No person may be ordered to prefer charges if that person is unable to truthfully make the required oath. A person who has been the accuser or nominal accuser may not also serve as the convening authority of a general or special court-martial to which the charges are later referred. However, an SCM convening authority is not disqualified by being the accuser. Charges may be preferred against a person subject to trial by court-martial at any time but should be preferred without unnecessary delay. A person who prefers charges must sign the charges and specifications under oath before a commissioned officer of the Armed Forces authorized to administer oath and state that the signer has personal knowledge of or has investigated the matters set forth in the charges and specifications and that they are true in fact to the best of that person’s knowledge and belief. Charge Sheet The format of charges and specifications is used to allege violations of the UCMJ on the Charge Sheet, Department of Defense (DD) Form 458. The charge sheet consists of five sections (Figures 4-8 and 4-9). Section I – Personal Data This section identifies the accused and provides personal information from the accused’s service record. It also identifies any type of pretrial restraint of the accused. Section II - Charges and Specifications This section contains the formal written accusation against the accused in the form of charges and specifications. The charge identifies by number the UCMJ article the member has allegedly violated. The specification provides alleged facts concerning the violation (the where, when, what and how). Refer to part IV of the Manual for Courts-Martial for a detailed list of all punitive articles (UCMJ Articles 77–134). Charges A charge states the article of the code, law of war, or local penal law of an occupied territory that the accused has allegedly violated. The particular subdivision of an article (for example, Article 118(1)) should not be included in the charge. When there are numerous infractions of the same article, there will be only one charge, but several specifications. There may also be several charges, but each must allege a violation of a different article of the code. If there is only one charge, it is not numbered. When there is more than one charge, each charge is numbered by a Roman numeral. Charges preferred after others have been preferred are labeled additional charges and also are numbered with Roman numerals, beginning with “I” if there is more than one additional charge. These charges ordinarily relate to offenses not known at the time or committed after the original charges were preferred. They do not require a separate trial if incorporated in the trial of the original charges before arraignment.

4-15 Figure 4-8 — Charge Sheet, DD Form 458 (front).

4-16 Figure 4-9 — Charge Sheet, DD Form 458 (back).

4-17 Specifications A specification should be brief but complete. It should be a plain, concise, and definite statement and must contain all the following essential facts constituting the offense charged: • Rate of accused • Name of accused • Branch of service of accused • Unit of accused • Time of alleged offense based on a 24-hour clock • Place of alleged offense • Statement of facts constituting the alleged offense A specification is sufficient if it alleges every element of the charged offense expressly or by necessary implication. It does not require any particular format. Part IV MCM, under R.C.M. 307(c) (3) contains detailed instructions on drafting specifications. If there is only one specification under a charge, it is not numbered. When there is more than one specification under any charge, the specifications are numbered in Arabic numerals. The term additional is not used in connection with the specifications under an additional charge. Charges and specifications alleging all known offenses by an accused may be preferred at the same time. Each specification should state only one offense. Section III - Preferral This section contains the identification and signature of the accuser and the identification and signature of the officer administering the oath to the accuser. The accuser must be a person who has knowledge of the alleged offenses and who is also subject to the UCMJ. Normally, the officer who conducts the preliminary investigation is the one who signs and swears to the charges as the accuser. Article 136 of the UCMJ specifies which officers are authorized to administer oaths to accusers. This section is continued on the reverse of the charge sheet with the date the accused was informed of the charges and identification and signature of the person informing the accused. The immediate commander of the accused should cause the accused to be informed of the charges preferred against the accused and the name of the person who preferred the charges and of any person who ordered the charges to be preferred, if known, as soon as possible. Section IV - Receipt by SCM Convening Authority Immediately upon receipt of sworn charges, an officer exercising summary court-martial jurisdiction over the command should cause the hour and date of receipt to be entered on the charge sheet. This date is important. The statute of limitations is five years for courts-martial and two years for NJP and no statute of limitations exists for capitol offenses. This signature, with the exact hour and date of receipt, is necessary to fix the statute of limitations. If an offense is committed more than five years before receipt of charges by the officer having court-martial jurisdiction over the accused, the member may not, as a rule, be tried for that offense. There are a few extremely serious offenses for which there is no statute of limitations. Article 43, UCMJ, details the rules applying to statute of limitations.

4-18 Section V - Referral: Service of Charges This section is endorsed by the convening authority’s signature. The purpose of this block is to order a particular court (summary, special, or general) to try the case and to provide the court with specific instructions. Although the convening authority should complete the endorsement on all copies of the charge sheet, the authority only needs to sign the original. The signature must be that of the convening authority or acting with no by-direction authority. In such a case, the signature element must reflect the signer’s authority. The SCM officer, or the trial counsel in a special or GCM, will provide the accused with a copy of the charge sheet on the same date as the last entry on the charge sheet. This date is used to determine the earliest date that the accused may be tried. An accused may not be tried by a special court- martial within three days after being served a copy of the charges, unless the accused waives this right. In a GCM, he or she has five days. While this right does not exist in an SCM, the accused should be granted adequate time to prepare a defense. If, for any reason, charges are referred to a court-martial different from that to which they were originally referred, the new referral is ordinarily made by a new endorsement attached to the original charge sheet. The person signing the new referral should line out the previous endorsement and initial it. The signer should not obliterate the original endorsement. Pre-NJP Advice If, after the preliminary inquiry, the CO determines that disposition by NJP is appropriate, the CO must make sure the accused is given the advice outlined in Part V, paragraph 4, MCM. The CO need not give the advice personally but may assign this responsibility to the Legal Officer, Discipline Officer, or other appropriate person. The advice that person must give includes the following: Contemplated Action This informs the accused that the CO is contemplating the imposition of NJP for the offense(s). Suspected Offense(s) This describes the suspected offense(s) to the accused. The description should include the specific article(s) of the UCMJ that the accused is alleged to have violated. Government Evidence This advises the accused of the information the allegations are based on. It also informs the accused that, upon request, he or she is allowed to examine all available statements and evidence. It is also advised to have the accused initial each page in the upper right hand corner indicating that the accused has reviewed all evidence. Right to Refuse NJP Unless the accused is attached to or embarked in a vessel (in which case he or she has no right to refuse NJP), this informs the accused of his or her right to demand trial by court-martial in lieu of NJP. The accused must also be informed of the following: • The maximum punishment imposable at NJP • That if he or she demands trial by court-martial, referral of the charges to trial by an SCM, a special court-martial (SPCM), or a GCM is possible

4-19 • That he or she cannot be tried by an SCM over his or her objection • That at an SPCM or a GCM he or she has the right to representation by counsel Right to Confer With Counsel There is no right to counsel at NJP. The only counseling related to NJP is the right to consult with counsel about whether or not to accept NJP. This right applies only to members who have the right to refuse NJP (i.e., those not attached to or embarked on a vessel)—Booker rights. If a member has the right to refuse NJP, asks to consult with counsel, and is denied this opportunity, the command may still hold NJP (presuming the service member does not actually assert their right to refuse NJP). The only consequence to the command is that said NJP will not be admissible in aggravation at any later court-martial that might occur. Hearing Rights The accused is entitled to appear personally before the CO for the NJP hearing if he or she did not demand trial by court-martial, or if the right to demand trial by court-martial is not applicable. At such a hearing the accused is entitled to the following: • To be present (The CO may not hold NJP in member’s absence; however, the member may waive the right to personal appearance.) • To remain silent • To have a personal representative • To examine evidence • To present matters in defense or extenuation & mitigation • To call “reasonably available” witnesses (no subpoena power over civilian witnesses) Executive Officer’s Inquiry (XOI) The executive officer (XO) may inquire about a case by holding an informal hearing or may merely review the record of the accused and the report chit. If the XO has been given the power by the CO, he or she may dismiss the case, but may never impose punishment. At XOI, the accused is advised again of the right to refuse NJP and demand a trial by court-martial. At this point, the accused can sign the “Right to Demand Trial by Courts-Martial” section of NAVPERS 1626/7 if he or she has not signed it before. Be sure to get the witness’ signature in this section also. Witnesses When the hearing involves disputed questions of fact about the alleged offenses, witnesses should be available to testify if they are present on the same ship or base or are otherwise available at no expense to the Government. It should be noted, however, that no authority exists to subpoena civilian witnesses for an NJP proceeding. Witnesses should be listed on the NAVPERS Form 1626/7 starting with Military by seniority, then civilian. Public Hearing The accused is entitled to have the hearing open to the public unless the CO determines that the proceeding should be closed for good cause. The CO is not required to make any special arrangements to facilitate public access to the proceedings.

4-20 Publication of NJP Results The JAGMAN, Section 0115 grants the CO the authority to publish the results of NJP. You may publish the name, rate, offense(s) and disposition of the offender in the plan of the day (POD). Publish the results no later than one month following imposition of NJP, or if NJP is appealed, one month after NJP appeal is denied. Possible Actions by the CO at Mast Any action taken by the CO at mast must be noted in the “Action of the Commanding Officer” section of the reverse side of NAVPERS 1626/7. Authorized Punishments If convinced by the evidence that the accused is guilty of the offense(s) and he or she deems punishment is appropriate, the CO has wide latitude to impose punishment. There are, however, limitations on the CO based upon his or her rank and the status of the accused. Limitations of Punishment Chart Several factors limit the maximum imposable punishment in any Article 15, UCMJ case (Figure 4-10). Figure 4-10 — Limitation of punishment chart.

4-21 Nature of the Punishment The CO may impose eight specific types of NJP under proper circumstances. They are as follows: • Admonition and reprimand • Arrest in quarters • Restriction • Forfeiture of pay • Extra duty • Reduction in grade • Confinement on bread and water or diminished rations Remember, there are limitations based upon the CO’s or OIC’s rank and the status of the offender. Admonition and Reprimand Admonition and reprimand are two forms of censure intended to express adverse reflection upon or criticism of a person’s conduct. A reprimand is a more severe form of censure than an admonition. When imposed as NJP, the admonition or reprimand is considered punitive. Punitive censure for officers must be in writing, although it may be either oral or written for enlisted personnel. JAGMAN, section 0114 details procedures for issuing punitive letters, and JAGMAN, Appendix A-1-h contains a sample punitive letter of reprimand. A non-punitive letter is not punishment; rather it is intended to remedy a noted deficiency in conduct or performance of duty. A non-punitive letter will be kept a personal matter between the member and the superior issuing the non-punitive letter. Other than secretarial letters of censure (see JAGMAN), the letter may not be forwarded to the Chief of Naval Personnel or the Commandant of the Marine Corps, quoted in or appended to fitness reports, included as enclosures to investigations pursuant to the JAGMAN or to other investigations, or otherwise included in official departmental records of the recipient. Arrest in Quarters This punishment is imposable only on officers and is enforced by moral obligation rather than by physical means. It is similar to restriction, but has much narrower limits. The limits of arrest are set by the officer imposing the punishment and may extend beyond quarters. The term quarters includes military and private residences. The officer may be required to perform his or her regular duties as long as they do not involve the exercise of authority over subordinates. Restriction Restriction is the least severe form of deprivation of liberty. Restriction involves moral rather than physical restraint. The severity of this type of restraint depends on its duration and the geographical limits specified when the punishment is imposed. A person undergoing restriction may be required to report to a designated place at specified times, if reasonably necessary to ensure proper execution of the punishment. Restriction ashore means that an accused will be restricted to the limits of the command except, of course, at larger shore stations where the use of recreational facilities might be further restricted.

4-22 Restriction and arrest in quarters are normally imposed by a written order detailing the limits thereof and usually require the accused to log in at certain specified times during the restraint. Article 1103 of U.S. Navy Regulations, provides that an officer placed in the status of arrest or restriction will not be confined to his or her room unless the safety or discipline of the ship requires such action. Forfeiture of Pay Forfeiture means a permanent loss of entitlement to the pay forfeited. A forfeiture applies to pays and not allowances. The amount of forfeiture of pay is expressed in whole dollar amounts, not in fractions, and shows the number of months affected. An example of a properly stated forfeiture is to forfeit $50 pay per month for two months. If the punishment includes both reduction, whether or not suspended, and forfeiture of pay, the forfeiture must be based on the grade to which the accused is reduced. Forfeitures are effective on the date imposed, unless suspended or deferred. A previous forfeiture in the process of being executed will be completed before execution of any newly imposed forfeiture. Extra Duty Extra duties involve the performance of duties in addition to those normally assigned to the person undergoing the punishment. Various types of duties may be assigned, including fatigue duties. The MCM prohibits extra duties that are a known safety or health hazard, those that are cruel and unusual, and those not sanctioned by the customs of the service involved. Extra duties imposed upon a petty officer or non-commissioned officer cannot be demeaning to his or her rank or position. The immediate CO of the accused normally designates the amount and character of extra duty. Such duties normally should not extend beyond two hours per day. Guard duty may not be assigned as extra duty. Extra duty is not performed on the individual’s Sabbath, although that day will count as if such duty were performed. Reduction in Grade This is limited to one grade only for members in paygrades E-1 through E-6. The grade from which reduced must be within the promotional authority of the CO imposing the reduction. Confinement on Bread and Water or Diminished Rations These punishments can only be awarded to E-3 and below personnel if they are attached to or embarked in a vessel. These punishments involve physical confinement and are equivalent to solitary confinement because contact is allowed only with authorized personnel. A medical officer must first certify in writing that the accused will suffer no serious injury and that the place of confinement will not harm the accused. Diminished rations is a restricted diet of 2,100 calories per day, and instructions for its use are detailed in the Department of the Navy Corrections Manual, SECNAVINST 1640.9. NJP Appeal Process A member who is awarded NJP and who believes the punishment unjust or disproportionate to the offense has the right to appeal the award to higher authority. The grounds of appeal would be either (1) Unjust: Not guilty of offense or (2) Disproportionate: Guilty but punishment too harsh or unfair. The appeal must be in writing to the OEGCMJ vice the officer who imposed NJP. The CO will forward an endorsement that includes statement of facts and copies of documents/witness statements. The member must submit the appeal within five working days (excluding weekends and holidays) from

4-23 date of imposition of punishment. Please note that the member may request extensions for good cause and only the appellate authority may deny late appeals. Unit Punishment Book (UPB) The UPB contains a record of all NJP hearings conducted by a command—not just those in which punishment was awarded. The form that is used to record NJP hearings is the NAVPERS 1626/7. When all actions have been completed on a particular NJP hearing, the space provided in the “Final Administrative Action” portion of the NAVPERS 1626/7 that indicates when the case record is filed in the UPB should be filled out. Although there is no requirement to do so, it is good administrative practice to attach all relevant documents on that particular case to the NAVPERS 1626/7. There are no specific instructions as to the manner in which these cases should be filed in the UPB; however, the suggested procedure is to file cases in alphabetical order, chronological order by date, or a combination of both. Retain all NJP hearings in the UPB at your command for two years. Post-Mast NJP Procedures Upon completion of disciplinary action, complete the member’s Electronic Service Record entries as outlined in Figure 4-11. Figure 4-11 — Post-Mast NJP Procedures.

4-24 Log Entries The Standard Organization and Regulations of the U.S. Navy (SORM), OPNAVINST 3120.32(series), prescribes the log entry for mast results afloat. Such an entry should be in the format for the POD entry and you should provide this information to the officer of the deck (OOD) for inclusion in the deck log. COURT MEMORANDUM, NAVPERS 1070/607 According to MILPERSMAN 1070-310, the Court Memorandum, NAVPERS 1070/607 (commonly referred to as the “Page Seven”), shown in Figure 4-12, is used to record court-martial and non- judicial punishment actions that affect an individual’s pay, such as reduction-in-rate and forfeiture of pay and/or allowances. Punishment that does not affect pay is recorded on the Administrative Remarks, NAVPERS 1070/613. Figure 4-12 — Court Memorandum, NAVPERS 1070/607.

4-25 ADMINISTRATIVE INVESTIGATIONS (FACT-FINDING BODIES) The Judge Advocate General is responsible for the administration, supervision, collection, storage and release of investigations conducted by administrative fact-finding bodies under the provisions of the JAGMAN. An officer in command is responsible for initiating investigations of incidents occurring within his or her command or involving his or her personnel. The reporting command of a member who is injured or dies during permanent change of station (PCS) transfer should ensure appropriate investigation of the incident. If a command believes that its investigation of an incident is impractical, it may request another command to conduct the investigation. Administrative fact-finding bodies collect and record information. Their reports are advisory. Their opinions, when expressed, do not constitute final determinations or legal judgments and their recommendations, when made, are not binding upon convening or reviewing authorities. The primary function of an administrative fact-finding body is to search out, develop, assemble, analyze, and record all available information about the matter under investigation. The convening authority prescribes the time period an administrative fact-finding body has to submit its investigation. This period should not normally exceed 30 days from the date of the convening order. For good cause, however, the convening authority may extend the period. The investigation must include requests and authorizations for extensions as enclosures. The convening authority and subsequent reviewers have 30 days to review the investigation. In death cases, the period for review is 20 days. A command deviating from these time requirements must explain the noncompliance in its endorsement. Types of Administrative Fact-Finding Bodies There are three types of administrative fact-finding bodies: • Courts of inquiry • Fact-finding bodies required to conduct hearings • Fact-finding bodies not required to conduct hearings The type of fact-finding body convened is determined by the purposes of the inquiry, relative seriousness of the subject under inquiry, complexity of factual issues involved, time allotted for completion of the investigation, and the nature and extent of powers required to conduct the investigation. Court of Inquiry A court of inquiry is convened by persons authorized to convene general courts-martial or so designated by the Secretary of the Navy (See Article 135, UCMJ). Courts of inquiry use a hearing procedure and should be reserved for the investigation of major incidents, as defined in JAGMAN Appendix A-2-a, or serious or significant events. Specific guidance on conducting courts and boards of inquiry is set forth in JAGINST 5830.1(series).

4-26 Fact-Finding Body Required to Conduct a Hearing Persons authorized to convene general or special courts-martial convene by written order a fact- finding body required to conduct a hearing. That body consists of one or more commissioned officers and should have legal counsel appointed for the proceedings. A fact-finding body to conduct a hearing does not possess the power to subpoena witnesses, unless it is convened under Article 139, UCMJ and JAGMAN. Fact-Finding Body Not Required to Conduct a Hearing A fact-finding body not required to conduct a hearing is convened by the following: a person authorized to convene general, special, or summary courts-martial or to impose disciplinary punishment under Article 15, UCMJ, including an OIC or an officer who holds delegation of authority for such purpose from the convening authority. It consists of one or more persons within the Department of the Navy (DON) and may have legal counsel appointed for the proceedings. It is convened by a written appointing order. Ordinarily, a fact-finding body not required to conduct a hearing is not directed to take testimony under oath or to record testimony verbatim. However, it may collect evidence by personal interviews, telephone inquiries, and correspondence. It may not designate any person as a party to the investigation, nor does it possess the power to subpoena witnesses. Deaths In cases of death, a fact-finding body should not express opinions concerning the misconduct or line of duty status of an individual in the report of investigation of the death or in any endorsement thereon. The Department of Veterans Affairs determines eligibility for payment of certain Federal benefits that may be due survivors. Consult Chapter II of the JAGMAN for further guidance and exceptions. Unauthorized Absentees (UA) When a member is absent from an assigned duty station, commands must list the member on the daily absentee report prescribed by U.S. Navy Regulations and provide a copy of the report to the disbursing office or appropriate personnel support activity detachment. The command must complete the following actions (not all-inclusive) immediately: • Inspecting local living quarters for clues to member’s whereabouts • Questioning cohorts about possible whereabouts • Inquiring of member’s local next of kin or friends about possible whereabouts • Checking with local disbursing office for member’s requested distribution of funds, then inquiring of that banking institution as to recent, large withdrawal of funds • Inquiring of local hospitals (military and civilian) • Inquiring of local law enforcement agencies (military and civilian) • Inquiring of local transportation management office about member acquiring recent long distance transportation arrangements • Inquiring of local religious and counseling services as to recent visits by member in which overpowering personal concerns might have caused member to leave without authority

4-27 If the member’s physical whereabouts remain unknown and a command suspects foul play, that command should strongly consider requesting the assistance of professional criminal investigative agencies. This assistance is of special importance at overseas locations due to the small number of personnel, particularly women, who may fall under these circumstances while outside the continental United States. RECORD OF UNAUTHORIZED ABSENCE, NAVPERS 1070/606 Commands use the Record of Unauthorized Absence, NAVPERS 1070/606 (commonly referred to as the “Page Six”), shown in Figure 4-13, to record periods of UA in excess of 24 hours and lost time due to confinement by civil authorities or sickness due to misconduct. They do not record UA periods of 24 hours or less on this form but instead document them on a NAVPERS form 1070/613 (refer to MILPERSMAN Article). Figure 4-13 — Record of Unauthorized Absence, NAVPERS 1070/606.

4-28 MAKING UP LOST TIME According to the Military Personnel Manual (MILPERSMAN) and under Title 10, United States Code (U.S.C). Section 972, enlisted members of the regular Navy and Navy Reserve who are otherwise eligible to separate from active duty and who have lost time from their current enlistment or other current period of obligated service, must make up the lost time day-for-day before they separate. Individuals’ lost time may result from UA, confinement (CONF), nonperformance of duty (civil arrest), sickness resulting from misconduct (SKMC), and so forth. The requirement to make up lost time does not apply to Fleet reservists, retired personnel, or members placed on appellate leave awaiting review of court-martial. Other members are not required to make up lost time, as indicated in the MILPERSMAN. Computing Lost Time Lost time that members must make up is computed on a day-for-day basis. In accounting for periods of absence from duty, count the first day of the absence as a day of absence from duty and the day of return to duty as a day of duty. When one type of lost time ends on the same day that a second type of lost time begins, count that day as the first day of the second type of lost time. If while a member is on UA, civil authority apprehends and convicts that member and then returns him or her to military control on the day released by civil authority, count the day on which the member was apprehended as a day of nonperformance of duty (civil arrest). If the absentee does not return to military control on the day that civil authority releases him or her, count the entire period of absence from duty as a UA without interruption by the civil arrest. A member whose absence from duty continues beyond the expiration of enlistment or other period of obligated service makes up only the time actually lost from the enlistment or other period of obligated service, Pay Entry Base Date, Active Duty Service Date, and Expiration of Active Obligated Service Adjustment. As you know, members must make lost time good on a day-for-day basis. Your first step is to make an accurate determination of the number of days that the person must make up (refer to MILPERSMAN Article 1600-100 for instructions on computing lost time). You must then record this number (of days) on the NAVPERS 1070/606 or NAVPERS 1070/607, whichever is appropriate, and make the required page NAVPERS 1070/613 entry. DESERTION The term absentee describes any member not administratively classified a deserter who is absent without authority from his or her unit, organization, or other place of duty. A command will declare an absentee a deserter under the following circumstances: • The facts and circumstances of absence, without regard to the length of absence, indicate that the member may have committed the offense of desertion as defined in Article 85 of the UCMJ and Part IV of the MCM. • The member has been absent without authority for 30 consecutive days. • The member is absent without authority, without regard to the length of absence and has gone to, or shown intention of going to, any foreign country or remains in any foreign country and requests or accepts any type of asylum or residence permit from that country or any of its governmental agencies.

4-29 Commands must take the following action to declare an enlisted member a deserter: • Using the format in the MILPERSMAN 1600-060, prepare and submit the Declaration of Desertion message no later than the 31st day of a member’s UA. • Prepare a page 13 service record entry containing all the information in the Declaration of Desertion message. • Prepare the DD Form 553 on the day of declaration and send it via facsimile or email to Navy Absentee Collection and Information Center (NACIC). The command must send the original to OIC NACIC. Prompt and accurate completion of the DD Form 553 is extremely important, to enter the member into the FBI NCIC Wanted Persons File. Until a member is entered in the NCIC, no efforts will be made to locate and apprehend the member. Include a photograph of the deserter, if possible. • In foreign ports, where the aid of the civil authorities is required, the CO must, in addition to the previous actions, furnish a copy of the DD Form 553 to the nearest consulate of the United States. A command may not declare absentees deserters when their absence is determined to be unintentional and the circumstances surrounding the absence are beyond their control, such as civil arrest and confinement, hospitalization, or other unusual circumstances. Parent commands are responsible for monitoring a member’s status while he or she is confined or hospitalized. All concerned must make every practical effort to locate and return absentees and deserters as quickly as possible. Parent commands must make a vigorous effort to investigate circumstances surrounding absences and to expedite appropriate notification procedures. The parent command must prepare a Deserter/Absentee Wanted by the Armed Forces, DD Form 553 (Figures 4-14, 4-15, and 4-16), including any information on the form that will assist in locating and apprehending a deserter, and submit it to the NACIC. When a member’s period of UA is less than 24 hours, make a page 13, Administrative Remarks, NAVPERS 1070/613, entry to the service record with the exact hours and date(s) of the unauthorized absence’s beginning and end and circumstances of the UA. If the member has been absent over 24 hours, prepare and distribute the Record of Unauthorized Absence, NAVPERS 1070/606. On the 5th day of absence, the disbursing officer must stop all allotments and notify the Primary Next- of-Kin (PNOK) in the following format with a copy provided to the Staff Chaplain originally notified per MILPERSMAN 1600-040. “I regret the necessity of informing you that your (son, daughter, husband, wife, or other), (insert rate and full name of absentee) who enlisted in the Navy on (date) and was attached to (name of ship or station) has been on unauthorized absence since (date). Should you know of (his or her) whereabouts, please urge (him or her) to surrender to the nearest Naval or other military activity immediately. The gravity of the offense increases with each day of absence. At this time all pay and allowance, including allotments, have been suspended pending return to Navy jurisdiction. Should (he or she) remain absent for 30 days, we will declare (him or her) a deserter. Information will be provided to the Federal Bureau of Investigation (FBI) National Crime Information Center (NCIC) Wanted Persons File, which is available to all Federal, state and local law enforcement agencies.”

4-30 Figure 4-14 — Deserter/Absentee Wanted by the Armed Forces, DD Form 553 (page 1).

4-31 Figure 4-15 — Deserter/Absentee Wanted by the Armed Forces, DD Form 553 (page 2).

4-32 Figure 4-16 — Deserter/Absentee Wanted by the Armed Forces, DD Form 553 (page 3).

4-33 Procedures: “121st Day of UA” Forward all records to NACIC via registered mail. Decommissioning units and overseas/deployed units, see MILPERSMAN 1600 for guidance. Apprehension of Absentees and Deserters Members of the Armed Forces may apprehend absentees and deserters under the circumstances prescribed by Article 7b of the UCMJ and R.C.M. 302(b) of the MCM. Naval personnel do not normally apprehend suspected absentees and deserters outside the confines of military installations. Responsibility for coordinating apprehension and return of absentees rests with the member’s CO. Units should request assistance from the NACIC. Responsibility for accurate declaration of deserters rests with the member’s CO. NACIC is responsible for coordinating apprehension and return of deserters from civil law enforcement authorities. SUMMARY In this chapter, we discussed NJP, the lowest form of discipline available to COs/OICs to aid them in maintaining good order and discipline within the Navy. It is important for you, as a YN, to keep abreast of all requirements and procedures associated with the proper administration of NJP, not only because of its effect upon individuals, but also its effect upon the Navy. Your knowledge of the proper procedures involved in the conduct and preparation of the various types of administrative investigations is an important aspect of your duties as a YN. Chapter II of the JAGMAN contains additional information concerning these investigations. Military law consists of the statutes governing the military establishment and regulations issued thereunder, the constitutional powers of the president and regulations issued thereunder, and the inherent authority of military commanders. Military law includes the jurisdiction courts-martial exercise and the jurisdiction commanders exercise with respect to NJP. The purpose of military law is to promote justice, to assist in maintaining good order and discipline in the armed forces, and to promote efficiency and effectiveness in the military establishment and thereby strengthen the national security of the United States.

4-34 End of Chapter 4 Legal Review Questions 4-1. What type of mast is an informal method of positive recognition utilized by a commanding officer? A. Disciplinary B. Meritorious C. Punitive D. Request 4-2. What type of mast is commonly referred to as Non-Judicial Punishment (NJP)? A. Disciplinary B. Meritorious C. Punitive D. Request 4-3. What section of the Charge Sheet DD Form 458, pertains to charges and specifications? A. I B. II C. III D. IV 4-4. How many kinds of administrative fact-finding bodies are there? A. One B. Two C. Three D. Four 4-5. A fact-finding body required to conduct a hearing consists of what minimum number of commissioned officers? A. One B. Two C. Three D. Four 4-6. The time period for an administrative fact-finding body to submit its investigation should not normally exceed how many days? A. 15 days B. 20 days C. 30 days D. 45 days

4-35 4-7. A service member has been accused of larceny. Before security personnel interrogate or request a statement from the service member, they must comply with what article? A. Article 15 B. Article 31 C. Article 86 D. Article 92 4-8. When a suspect desires to waive his or her rights regarding self-incrimination, what form may be used by investigative personnel? A. NAVJAG 5810/10 B. NAVJAG 5800/7 C. NAVJAG 5710/10 D. NAVJAG 5700/7 4-9. An immediate commander should refer to what Rules for Courts-Martial (R.C.M.) Rule number regarding the initial disposition of a report of offense? A. 306 B. 601 C. 701 D. 1103 4-10. In the preferral section of the charge sheet, who usually signs the charges as accuser? A. The officer who conducted the preliminary investigation B. The person who originally placed the accused on report C. The first officer to become aware that an offense has been committed D. The president of the appointed general court-martial board 4-11. What action should be taken by an officer exercising summary court-martial jurisdiction upon receipt of sworn charges? A. Forward the charges to his or her superior B. Enter the hour and date of receipt on the charge sheet C. Proceed with the trial D. Return the charges to the convening authority after reviewing them 4-12. What individual endorses the referral, service of charges section on a charge sheet? A. The president B. The convening authority C. The accused D. The military judge 4-13. Which of the following terms is a form of censure? A. Caution B. Rebuke C. Reprimand D. Scolding

4-36 4-14. The term “minor offense” means misconduct not more serious than that usually handled at what forum? A. General court-martial B. Special court-martial C. Summary court-martial D. Trial court-martial 4-15. In what order should witnesses be listed on the NAVPERS Form 1626/7? A. Civilian witnesses, then military witnesses in order of seniority B. Military witnesses, then civilian witnesses in alphabetical order C. Military witnesses by seniority, then civilian witnesses D. Military and civilian witnesses in the order of involvement in the offense 4-16. What NAVPERS Form is used to record periods of Unauthorized Absence in excess of 24 hours? A. 558/10 B. 1007/607 C. 1070/506 D. 1070/606 4-17. When computing lost time, which of the following statements is true? A. Count the first day of the absence as a day of absence from duty and the day of return to duty as a day of duty B. Count the first day of the absence as a day of duty and the day of return to duty as a day of duty C. Count the first day of the absence as a day of duty and the day of return to duty as a day of absence D. Count the first day of the absence as a day of absence from duty and the day of return to duty as a day absence from duty

5-1 CHAPTER 5 TRAVEL Travel entitlements are important to the management of day-to-day business in the U.S. Navy. Records maintenance in these areas of Navy life must be perfectly executed. It is the yeoman’s (YN’s) responsibility to ensure this happens. In virtually every job to which you may be assigned as a YN, you will be required to type, verify, complete, forward, and perform various other actions with regard to forms and reports in these areas. This chapter gives you a basic understanding of travel. If you pay special attention to the topics covered and refer to the publications mentioned as resources, the information will serve you well throughout your career. LEARNING OBJECTIVES When you have completed this chapter, you will be able to do the following: 1. Discuss Defense Travel System (DTS). 2. Discuss Government Travel Charge Card (GTCC). 3. Discuss Navy Reserve Order Writing System (NROWS). 4. Identify the policies and procedures governing passenger transportation. 5. Explain the regulations governing official travel and transportation at Government expense. 6. Discuss travel terminology. 7. Discuss different types of orders/travel vouchers and applicable allowances. 8. Discuss the Individual Personnel Tempo Program (ITEMPO). DEFENSE TRAVEL SYSTEM (DTS) Per Naval Administrative (NAVADMIN) 315/08, the Navy mandates Defense Travel System (DTS) for all temporary duty (TDY). DTS is the Department of Defense (DoD)-mandated electronic travel system used for all official travel functions. DTS provides a single streamlined and integrated travel system for requesting and settling official travel. As a YN, you may be assigned as the Lead Defense Travel Administrator (LDTA), Debt Management Monitor (DMM), or Approving and Certifying Official (AO or CO). The LDTA is involved in DTS setup from the planning stages. The LDTA ensures that the process is planned and that requirements, such as the organization structure, sub-organizations, Line of Accounting (LOA), and routing lists are identified before deployment. LDTAs must contact their Service or Agency Representatives to obtain new permission levels. The LDTA’s responsibilities include those listed below: • Updating applicable sites and organizations in DTS • Updating profiles for travelers, Routing Officials, and AOs due to Permanent Change of Station (PCS) or transfers within the main organization • Maintaining LOAs by fiscal year and ensuring that budgets are set up correctly • Managing the organization’s DTS training program

5-2 The Debt Management Monitor (DMM) tracks overpayments that must be repaid to the Government. This user also tracks collection actions within DTS for an organization. The DMM assists travelers in debt to the Government as a result of TDY travel. DMM assistance includes providing guidance for repaying the debt and instructions on how to request a waiver or an appeal. The DMM also tracks the status of debts in DTS until repayment is completed. The AO approves travel and obligates funds. AOs have authority to determine when TDY travel is necessary to accomplish a mission. They may authorize travel, obligate unit funds, and approve reimbursements. They use the Route and Review module and the APPROVED stamp to obligate funds. AOs must complete required training. AOs must be appointed in writing (DD Form 577) (Figures 5-1 and 5-2) to serve in this role. Figure 5-1 — DD Form 577 (front).

5-3 The Certifying Official (CO) certifies the availability of funds for travel. COs use the Budget module to track travel funds locally and uses the CERTIFIED stamp to indicate that money is available to fund travel. COs must complete required training. COs must be appointed in writing (DD Form 577) to serve in this role. Figure 5-2 — DD Form 577 (back).

5-4 GOVERNMENT TRAVEL CHARGE CARD (GTCC) PROGRAM You may be designated as the Agency Program Coordinator (APC). The Travel Card Program provides travelers a safe, effective, convenient, and commercially available method to pay for expenses incident to official travel, including local travel. The Travel Card Program includes both Individually Billed Accounts (IBAs) and Centrally Billed Accounts (CBAs). It is DOD policy that the Government-sponsored, contractor-issued travel card be used to the maximum extent possible while on TDY. The travel card is intended for official travel-related use only, including PCS to TDY on same geographic area of detaching command. GTCC should never be used for personal purchases or to pay for someone else’s travel expenses. To use the card for other than official use may result in disciplinary action. Military personnel who misuse the card are subject to disciplinary actions in accordance with Article 92 of the Uniform Code of Military Justice (UCMJ). Civilian personnel who misuse the travel card may be subject to appropriate administrative or corrective action. Split Disbursement: All DoD personnel are required to split disburse all undisputed expenses charged to the travel card as a part of the travel settlement process. To support the split disbursement requirement, DTS automatically includes air/rail, hotel, rental vehicle, and other miscellaneous, non- mileage expenses identified by the traveler in the split disbursement amount paid directly to the travel card vendor. DTS users must also include the amount of any ATM withdrawals and any miscellaneous travel card charges, including but not limited to meals charged to the travel card, in their split disbursement amount paid directly to the travel card vendor. Travelers submitting manual vouchers for non-DTS travel are required to annotate the split disbursement amount in the upper right hand section of the DD 1351-2 (Figures 5-3 and 5-4). Access to the GTCC website is at https://home.cards. citidirect.com. Training for your role as the APC can be found at: https://www.navsup.navy.mil/ccpmd/ travel_card/training. Policy Use of the travel card is mandated by the Travel and Transportation Reform Act of 1998. DoD utilizes a central policy approach by including Travel Charge Card guidance in the Department of Defense Financial Management Regulation (DoD FMR), DoD 7000.14. Additional guidance can be found in the Naval Supply Systems Command Instruction (NAVSUPINST) 4650.7. NAVY RESERVE ORDER WRITING SYSTEM (NROWS) Navy Reserve personnel order requests for Annual Training (AT), Active Duty for Training (ADT) and Inactive Duty for Training Travel (IDTT) are processed via NROWS. DTS is designed to communicate with NROWS to manage all aspects of travel for Reserve personnel. Reservists will never directly create orders in DTS unless on active duty orders. Authorizations that are paid through DTS will upload to DTS 30 to 60 minutes after the AO signs the orders in NROWS. DTS for Reservists will be used to import all travel authorizations with the exception of back-to-back orders, local travel orders, and orders submitted after travel has commenced. In order to initiate orders, log into https://nrows.sscno.nmci.navy.mil/nrows/secure/login.jsp to create the shell. After orders are approved in NROWS, the authorization loads to DTS.

5-5 Figure 5-3 — Travel Voucher or Subvoucher, DD Form 1351-2 (front).

5-6 Figure 5-4 — Travel Voucher or Subvoucher, DD Form 1351-2 (back).

5-7 PASSENGER TRANSPORTATION The policy of the U.S. Navy is to provide efficient, economical, and complete one-stop passenger transportation services for eligible Navy-sponsored travelers worldwide through the Pay/Personnel Administrative Support System (PASS). As part of the overall management program, the passenger transportation division at a Personnel Support Detachment (PSD) or Customer Service Desk (CSD), as identified by the Navy Pay and Personnel Support Center (NPPSC) CO, is designated by the Navy Personnel Command (NPC) as a Navy Passenger Transportation Office (NAVPTO). NAVPTOs are full-service transportation offices equipped with the latest state-of-the-art airline computer reservation equipment, complemented by a Commercial Travel Office (CTO) having direct access to the Military Airlift Command (MAC). Normally, NAVPTOs and PSDs/CSDs are the sole source for obtaining official passenger transportation services. Passenger Reservation Request As stated earlier, all overseas travel or Navy-sponsored travelers are arranged by a NAVPTO. Passenger reservation requests, as shown in Figure 5-5, must be submitted to the servicing NAVPTO for all international or transoceanic travel. If a member will be performing transoceanic/international travel at any time during execution of the orders, the following applies: • All official Navy travel shall be arranged through the contracted CTO. Travelers shall make commercial transportation reservations using the reservations module in DTS. The CTO will also provide traditional services for travel that cannot be arranged in DTS. • Travel must be via Government air/Government-procured air directed outside the Continental United States (OCONUS). • Transportation must be arranged with the NAVPTO per the Passenger Transportation Manual, OPNAVINST 4650.15. TRAVEL TERMINOLOGY As a YN, you must become familiar with the terminology used in travel and know under what circumstances travel allowances are authorized and when they are paid. Travel terms and allowances most frequently encountered are discussed as follows: • Per Diem. Allowance designed to offset the cost of lodging, meals, and incidental expenses incurred by a member while performing travel, TDY away from the permanent duty station (PDS). The allowance under the lodgings-plus system is established based on the actual amount the member pays for lodging plus a prescribed amount for meals and incidental expenses (M&IE). A per diem allowance is payable for whole days, except for the day of departure from and the day of return to the PDS, in which case it is computed on a quarter-day basis. Applicable reductions and deductions for meals are made based on the availability of Government facilities (quarters and meals). Per diem rates inside CONUS (Continental United States) are prescribed in the Defense Travel Website, www.defensetravel.osd.mil. • Miscellaneous Expenses. Certain miscellaneous expenses, not covered by another allowance, may be reimbursed to a member, incurring additional expenses while in a travel status. Specific expenses authorized for reimbursement are listed in the Joint Travel Regulations (JTR).

5-8 • Monetary Allowance in Lieu of Transportation (MALT). Allowance paid on a “per mile” basis for the official distance between the authorized points of travel to members performing travel at personal expense under PCS or TDY orders. • MALT-Plus Flat Per Diem (FPD). A MALT-Plus flat per diem at the standard CONUS per diem rate is paid for each PCS travel day between authorized points, not to exceed (NTE) the allowable travel. Each member traveling in a POC is authorized the standard CONUS per diem rate. • Common Carrier. A firm furnishing commercial transportation as a public service under rates prescribed by lawful authority. It includes railroad, bus, airplane, or ship. • Government Transportation Request (GTR). A document used to procure passenger transportation and/or specified passenger transportation services or accommodations from common carriers for members authorized to travel on official U.S. Government business. Transportation furnished is generally the most cost-efficient and expeditious way to travel between authorized points. • Transportation in Kind. Government-owned conveyance transportation provided at no cost to the member. Refer to JTR for the most current rates. • Lodging-Plus Computation. The per diem allowances computation method for official travel. The per diem allowance for each travel day is established based on the actual amount paid for lodging, NTE a ceiling number, plus an allowance for M&IE, NTE the applicable maximum per diem rate for the TDY location concerned. • Dislocation Allowance (DLA). The purpose of DLA is to reimburse partially a member, with or without a dependent(s), for the expenses incurred in relocating the member’s household on a PCS, on housing moves ordered for the Government’s convenience, or incident to an evacuation. This allowance is in addition to all other allowances authorized in the JTR and may be paid in advance. Refer to JTR for further information about DLA. • Temporary Lodging Expense (TLE). TLE is payable incident to a move when entering active duty to the first PDS. TLE intended to pay partially for lodging/meal expenses when a member/ dependent(s) occupy temporary quarters in CONUS due to a PCS. Refer to JTR when you need to obtain information about TLE pertaining to PCS. • Temporary Lodging Allowance (TLA). TLA is a PCS allowance payable incident to initially reporting to an overseas PDS, detaching from an overseas PDS, or under certain other circumstances. It is authorized to reimburse partially a service member for more than normal expenses incident to the use of temporary lodgings outside CONUS. Refer to the JTR for additional information concerning overseas TLA.

5-9 TYPES OF TRAVEL ORDERS Enlisted Permanent Change of Station Transfer Order The Enlisted Permanent Change of Station Transfer Order (PCSTO) ordinarily is used for PCS orders issued by the following authorities: • NPC • Any other agency granted order-issuing authority by the Chief of Naval Personnel (CHNAVPERS) • Deputy Chief of Naval Personnel (DCNP) Figure 5-5 — Passenger reservation request.

5-10 PCS Policy Service members who are ordered to make a PCS move are entitled to personal travel and transportation allowances under JTR. No command will deny any of the travel and transportation allowances or entitlements associated with PCS movement of a service member from one PDS to another. PCS and PDS are defined in the JTR. Issuance of a PCS order does not, in and of itself, carry travel and transportation entitlements. The orders must be read to determine if there is, in fact, a change of permanent station and not just a change of activity. PDSs are “in proximity” to each other when they are both in an area ordinarily serviced by the same local transportation system and service members could reasonably commute daily from home to either PDS. An example follows. • A service member receives PCS orders to detach from the Navy Yard, Washington DC and to report to a place located 3 miles outside the Washington, DC corporate limits: • The service member could commute daily to the new PDS from the same residence occupied while assigned to the old PDS (Washington, DC). • There is no entitlement to movement of house hold goods (HHG); the service member is not entitled to personal travel and transportation allowances incident to the transfer. No travel time is provided, and basic allowance for housing (BAH) is not stopped. • If the service member relocates the household, there would still be no PCS entitlements, other than personal travel and transportation allowances of the service member, unless the following apply: ◦ The gaining commanding officer issues a statement that the relocation was necessary as a direct result of the PCS. Appropriate accounting data is provided by CHNAVPERS (PERS- 4). Effective Date of PCS Orders The effective date of PCS orders is important for determining travel entitlements, transportation of dependents, and some pay entitlements. Effective date of orders is computed by the member’s report date minus direct travel time plus 1 day. Temporary Duty Travel TDY is defined as duty at one or more locations away from the PDS, under an order, providing for further assignment or pending further assignment to return to the old PDS or to proceed to a new PDS. TDY includes the period spent at a location while processing for separation from the service, release from active duty, or retirement when the last PDS is different from the location where the processing is done. TDY Travel Order Form (Cost/No-Cost) One example of these types of orders is as follows: A member stationed at Great Lakes, Illinois, receives PCS orders to Norfolk, Virginia, with TDY at Orlando, Florida before reporting to Norfolk. In this case, the member is going from his or her old PDS to another station for TDY and then to the new PDS. Another example of TDY follows: A group of personnel from a Navy aviation squadron travel away from their PDS to a ship or shore station to support a mission. Group travel can be processed in DTS. Cost and no-cost TDY orders are processed in DTS. Figure 5-6 is an example of a DTS order.

5-11 FOREIGN TRAVEL For specific requirements, refer to the DoD Foreign Clearance Guide, DoD 4500.54. SEPARATION AND FLEET RESERVE/RETIREMENT TRAVEL The majority of members who are separated or retired travel to their Home of Record (HOR), the place from which they were ordered or called to active duty, their Place Entered Active Duty (PLEAD), or their Home of Selection (HOS). Those who will establish a temporary residence at their last PDS and will perform their separation or retirement travel at a later date must do so within a specified time limit. Only the basic travel entitlements are discussed in this section. Complete procedural instructions on separation and retirement travel are contained in the JTR. Separation, Fleet Reserve, Figure 5-6 — Example of a DTS order.

5-12 and Retirement Travel Orders are inputted by higher authority through Navy Standard Integrated Personnel System (NSIPS) for issuance and printing. Separation The basic entitlement to separation travel and transportation allowances is from the last duty station to the member’s HOS or PLEAD, as the member may elect. A member who travels to another location receives travel allowances not to exceed the basic entitlement. To receive a travel entitlement, there must be a break of service for at least 1 calendar day and the member must be separated under honorable conditions. A member who is separating and who has served less than 90 percent of his or her initial enlistment (not all inclusive) or received an Other Than Honorable (OTH) discharge is provided transportation in kind for the cheapest mode of transportation to his or her HOS or PLEAD only. There is no per diem entitlement. Retirement/Fleet Reserve A member who is Fleet Reserve or retired is eligible to travel and travel allowances from the last duty station to a HOS. This is authorized to members who meet the following categories: Retired with pay, including transfer to the Fleet Reserve, immediately following at least 8 years of continuous active duty with no single break of more than 90 days Retired for physical disability or placed on the Temporary Disability Retirement List (TDRL) without regard to length of service Discharged with severance or separation pay or involuntarily released to inactive duty with readjustment or separation pay immediately following at least 8 years of continuous active duty with no single break of more than 90 days Normally, travel to a HOS must be completed within 1 year after termination of active duty. Once a HOS and transportation in kind or GTR is furnished and used or travel and transportation allowances are received after completion of travel, the HOS is irrevocable. TEMPORARY DUTY (TDY) TRAVEL ALLOWANCES Whether a member is performing TDY for 2 weeks at a school away from their PDS and returning to the same PDS upon completion, or a member is detaching their old PDS, performing training at a school, then reporting to a new PDS, the travel allowances at the TDY location follow the same guidelines per the JTR. Lodging Expense Lodging expense is based on the availability of Government quarters. The amount allowed is the actual amount incurred or the maximum local per diem amount for the area as prescribed in the JTR, whichever is less, unless Actual Expense Allowance is approved. Some factors considered in determining allowable lodging expenses are as follows: • Receipts for lodging are required to support a member’s travel claim. If receipts are lost, destroyed, or impractical to obtain, the traveler furnishes a statement to that effect to support payment of the travel voucher. If travel is in CONUS, the traveler should call the hotel and have the hotel fax the receipt.

5-13 • Lodging expenses are based on the single-room rate when a member uses commercial lodging facilities. • If a lodging receipt shows a charge for double occupancy and the other person sharing the room is a member or Government employee on official travel, the traveler is allowed one-half of the double occupancy charge. If the other person is not on official travel, the traveler is allowed the single-room rate. • If a member stays with friends or relatives while on TDY, he or she not entitled to lodging reimbursement, regardless of whether or not payment of lodging is made to the friend or relative. • OCONUS lodging cost includes charges paid for Government quarters and commercial lodging facilities (hotels, motels, and boarding houses), including applicable taxes imposed but not including tips or porter fees. In CONUS lodging, taxes are a separate reimbursable expense. • Actual expense allowance (AEA) allows a traveler to be reimbursed in unusual circumstances for actual and necessary expenses that exceed the maximum locality Per Diem rate. • Additional instructions on lodging expenses are listed in the JTR and DoD FMR Vol. 9. Per Diem Under the Lodgings-Plus System The formula for computing per diem under the lodgings-plus system is as follows: • Daily lodging cost + M&IE • The amount calculated must not exceed the applicable locality per diem rate. The rates listed in the JTR are the maximum per diem rates prescribed for reimbursing expenses incurred during official travel • First day and/or last day of travel equals 75 percent of M&IE Meals and Incidental Expenses Meal reimbursements are based on the availability of Government mess. The current amounts, including apportionment, are listed in the JTR. TDY Flat Rate Per Diem A reduced flat rate per diem applies when a traveler is assigned long-term TDY (more than 30 days at one location). • Long-Term TDY for a duration of 31-180 days at a single location is authorized at a flat rate of 75 percent of the locality rate (rounded up to the next highest dollar) payable for each full day of TDY at that location. • Long-term TDY for a duration of 181 days or more at a single location is authorized at a flat rate of 55 percent of the locality rate (rounded up to the next highest dollar), payable for each full day of TDY at that location. TDY in excess of 180 days must be authorized/approved. • If a traveler is unable to arrange suitable commercial lodging on their own, the CTO should be contacted for assistance. If the CTO determines that lodging is not available at the reduced per diem rate, the AO may authorized the actual lodging, not to exceed the locality per diem rate, but the M&IE is paid at the 75 or 55 percent rate. • The lodging portion of flat rate per diem does not apply when Government Quarters are available or provided or when suitable commercial lodgings are provided at no cost. If the

5-14 traveler is provided one or more meals, or all meals at no cost, the Government Meal Rate (GMR) or Proportional Meal Rate (PMR) is applicable and flat rate per diem is not applicable. • The lodging portion of flat rate per diem only applies when a traveler actually incurs a cost for suitable commercial lodging and is not authorized when staying with friends, relatives, or in a home owned or being purchased by the traveler, or when otherwise incurring no lodging cost. If no lodging costs are incurred, the traveler is authorized the M&IE portion of per diem at the locality rate subject to applicable percentages (75 or 55 percent) for proper payment of M&IE if no meals are provided. Processing Travel Vouchers for PCS Travel When the individual completes his or her PCS assignment, the member is required to submit his or her travel claim within 5 business days of return to his or her old PDS or arrival at the new PDS. The Travel Voucher or Subvoucher, DD Form 1351-2, is used for this purpose. The individual is responsible for completing this form but may need your assistance. Most of the entries on the form are self-explanatory. However, some explanation is needed for both Mode of Travel (Block 15c) and the Reason for Stop (Block 15d) columns. The appropriate entries for these blocks can be found on the reverse side of DD Form 1351-2. For brevity’s sake, the types of travel and reasons for stopping are given in two-letter codes. For travel, first determine the mean/mode of travel used and enter the appropriate two-letter code in blocks 15c. Likewise, the reason for stop codes is found in block 15d. By looking at the unshaded and shaded areas, you can see each mode of travel entry is adjacent to a departure line entry and each reason for stop entry is adjacent to an arrival entry. Indicate in the appropriate blocks on the left side of block 15a the dates the individual departed and arrived at each stop during either his or her PCS or TDY assignment. The center of block 15b indicates the command and geographical location of each stop. ITEMPO The Individual Personnel Tempo Program (ITEMPO) is a Navy program that tracks and reports deployment days on individuals who are away from their homeport or assigned unit. All commands and activities are required to continue reporting ITEMPO events for all assigned Sailors per NAVADMINs 255/00, 068/01 and 031/02 (Figure 5-7). Under ITEMPO, a Sailor cannot be deployed beyond 182 days of the preceding 365 days on a rolling calendar without the prior approval of the first flag or general officer in the chain of command. ITEMPO data can be used to assist in the assignment process for both PCS and Individual Augmentee (IA) orders and answer queries by Congress, Department of Defense, and other agencies such as the Veterans Administration. For ITEMPO NOTE ADD “NO COST”... PIO3 30 days No cost for seagoing commands, submit no-cost for PIO3 “COMRATS”. Anything no cost TAD over 30 days, initiate sea pay stoppage.

5-15 support with reporting procedures, call the ITEMPO Data Team Customer Service at 901-874-4717 or email at mil_legacyhelpdesk@navy.mil. SUMMARY In this chapter, we discussed travel and pay and allowances. As a YN in the customer service area, you will be asked questions about these topics. Because these topics ultimately affect a person’s pay, ask your supervisor for help if you cannot find the correct answers in writing. Figure 5-7 — Example of NAVADMIN 03/102.

5-16 End of Chapter 5 Travel Review Questions 5-1. What does the acronym DTS stand for? A. Defense Transportation System B. Department Transportation System C. Defense Travel System D. Department Travel System 5-2. What does DTS provide for Navy personnel? A. Various methods of liquidating travel in an effective and efficient manner, usually within 5 days B. Reimbursement of all travel funds within 10 working days C. Single streamlined and integrated travel system for requesting and settling official travel D. Travel to multiple destinations 5-3. What does the Debt Management Monitor (DMM) track? A. Overpayments that do NOT have to be repaid to the Government B. Overpayments that must be repaid to the Government C. The misuse of Government travel cards D. The proper use of Government travel cards 5-4. Military personnel who misuse the Government Travel Charge Card (GTCC) are subject to disciplinary actions in accordance with what Article of the Uniform Code of Military Justice (UCMJ)? A. 23 B. 38 C. 86 D. 92 5-5. Use in which of the following travel situations constitutes misuse of the Government Travel Charge Card (GTCC)? A. Permanent Change of Station (PCS) B. Cost temporary duty (TDY) C. No-cost temporary duty D. When on detachment 5-6. Additional guidance concerning the Government Travel Charge Card (GTCC) can be found in which of the following documents? A. NAVSUPINST 4650.7 B. NAVSUPINST 8600.5 C. OPNAVINST 4790.2 D. OPNAVINST 8600.7

5-17 5-7. What Navy system is used for processing Navy Reserve personnel order requests? A. Defense Processing System (DPS) B. Defense Transfer System (DTS) C. Navy Reserve Writing System (NRWS) D. Navy Reserve Order Writing System (NROWS) 5-8. What system is used to provide efficient, economical, and complete one-stop passenger transportation services for eligible Navy-sponsored travelers worldwide? A. Defense Travel System (DTS) B. Navy Reserve Order Writing System (NROWS) C. Pay/Personnel Administrative Support System (PASS) D. Pay/Personnel Support (PS) 5-9. What division is a full-service transportation office equipped with the latest state-of-the- art airline computer reservation equipment, complemented by a Commercial T ravel Office (CTO)? A. Customer Service Desk (CSD) B. Navy Passenger Transportation Office (NAVPTO) C. Navy Pay and Personnel Support Center (NPPSC) D. Personnel Support Detachment (PSD) 5-10. Which of the following manuals governs transportation? A. Passenger Transportation Manual, OPNAVINST 4650.15 B. Passenger Transportation Manual, SECNAVINST 4650.15 C. Personnel Transportation Manual, OPNAVINST 5550.15 D. Personnel Transportation Manual, OPNAVINST 5550.15 5-11. What form is used to arrange all overseas travel? A. NAVPTO Passenger reservation request B. NROWS Passenger reservation request C. DTS Passenger request D. SECNAV Passenger requests

6-1 CHAPTER 6 SECURITY The Navy has established essential policies and procedures to monitor its security program. The purpose of the security program is to ensure protection of classified information at the level required. The security of the United States in general and of naval operations in particular depends upon the success of the security program. Do not let classified information fall into the wrong hands through careless talk or improper handling and safeguarding. The Department of the Navy (DON) Information Security Program (ISP) Manual Secretary of the Navy (SECNAV) M-5510.36 and the DON Personnel Security Program (PSP) SECNAV M-5510.30, provide the basis of the Navy’s program for safeguarding classified information. They were written based on requirements at the national level and provide the procedures and requirements Yeoman (YN) use on a daily basis. From the Department of Defense (DoD), Secretary of the Navy (SECNAV), Chief of Naval Operations (CNO), commanding officer (CO), to your command security manager, to you, these instructions provide policy and guidance to protect classified information. Every individual who acquires access to classified material is responsible for following policy to protect it. As a YN, you will be directly involved in this process and must be aware of the regulations in these security instructions. LEARNING OBJECTIVES When you have completed this chapter, you will be able to do the following: 1. Identify the basic principles of the Navy’s security program and types of security briefings. 2. Apply personnel security requirements for specific personnel security actions. 3. List the procedures required to determine clearance eligibility. 4. Apply Joint Personnel Adjudication System (JPAS) in your command’s personnel security program. 5. Describe the basic policy for the safeguarding classified information. THE NAVY SECURITY PROGRAM The basis of the information and personnel security program is to protect official information truly essential to national security that requires control of its dissemination, so the information will not be used to the detriment of the United States. To protect this information from disclosure to any unauthorized personnel, it is assigned a level of security classification. Standards for protection of that information under varying conditions of its use, dissemination, storage, transmission, and disposal are based on that classification level. Only information which is truly essential to national security may be classified. All personnel who have been granted access to classified material must be knowledgeable in security orientation, education, and training. When the Navy’s security program is in place and working as it should be, it will accomplish the following goals: • Ensure personnel who are granted access to classified information are familiar with proper security measures necessary in performing their assigned duties.

6-2 • Remind all command levels of their responsibility for ensuring that personnel effectively safeguard classified information. • Ensure conscientious and willing compliance with security regulations, procedures, and practices. • Remind commands of their responsibilities in proper classification, upgrading, downgrading, and declassification procedures as outlined in the Department of the Navy Security Classification Guides, OPNAVINST 5513.1; SECNAV M-5510.30; SECNAV M-5510.36; and the Sensitive Compartmented Information Administrative Security Manual: Administration of Information and Information Systems Security DoDM 5105.21, Volume 1. • Inform personnel who have access to classified material of the violations involved due to unauthorized disclosure and remind these personnel of their responsibility to protect classified material. Make personnel aware of the disciplinary actions that may result from unauthorized disclosure of classified material. • Inform personnel of their responsibilities to report any changes in their financial status, foreign contact, disciplinary actions, foreign travel (official/unofficial), marital status, and name change. • Familiarize personnel with techniques and devices used by foreign agencies to obtain classified U.S. information. • Advise personnel against using non-secure means of transmitting or discussing classified material. RESPONSIBILITY The SECNAV is responsible for establishing and maintaining the DON ISP and PSP in compliance with the provisions of the Executive Orders, Public Laws, National Security Council, DoD, and other security directives regarding the protection of classified information, acceptance and retention of personnel, and assignment to sensitive duties. The Special Assistant for Naval Investigative Matters and Security (CNO N09N2) is the official responsible for ensuring an effective program that complies with all the directives higher authority issues. The Director of Naval Intelligence (DNI) (CNO N2/N6) is the Head of the Intelligence Community Element for DON and holds ultimate responsibility for promulgating the policies and procedures for security, use, and dissemination of Sensitive Compartmented Information (SCI) within the DON. The DNI has delegated management oversight for the DON SCI Security Program to the Office of Naval Intelligence (ONI) and has delegated Special Security Officer (SSO) Navy as the Cognizant Security Authority (CSA) and is responsible for implementing SCI security policies and procedures. The Director, Department of the Navy Central Adjudication Facility (DODCAF) is the primary personnel security adjudicative determination authority for all individuals affiliated with the DON. Director, DODCAF is responsible for the following: • Adjudicating information from personnel security investigations and other relevant information to determine eligibility for access to classified information and/or assignment to sensitive national security positions. • Assisting DON commands with queries regarding the status of personnel security

6-3 investigations at the Office of Personnel Management (OPM) (Figure 6-1) issuing Letters of Intent (LOI) and Letters of Notification (LON). The CO is responsible for proper indoctrination/debriefing of personnel in safeguarding classified material. As the YN in your office, you are responsible for proper indoctrination/debriefing of personnel under your supervision. You must be sure your personnel are fully aware of regulations and execute a policy of strict compliance with all security regulations at all times. SECURITY MANAGER Every command in the Navy and Marine Corps is eligible to receive classified information and required to designate a security manager in writing: • The command must forward a copy of the security manager’s designation letter to CNO (N09N2). If practical, the security manager should scan the designation letter copy and the command should send it via email to navysecurity@ncis.navy.mil, providing Unit Identification Code and return e-mail address. Marine Corps commands will forward the designation letter via Headquarters, Marine Corps (ARS). The security manager will have direct access to the CO to ensure effective management of the command’s security program. • The command security manager may be assigned full-time, part-time, or as a collateral duty Figure 6-1 — OPM.

6-4 and must be a commissioned officer or a civilian employee, GS-11 or above, with sufficient authority and staff to manage the program for the command. The security manager must be a U.S. citizen and have been the subject of a favorably adjudicated Single Scope Background Investigation (SSBI) completed within the five years prior to assignment. • The command must designate the security manager by name and identify him or her to all members of the command on organization charts, telephone listings, rosters, etc. The Standard Organization and Regulations of the U.S. Navy (SORM), OPNAVINST 3120.32, recommends the security manager report to the CO for functional security matters and to the executive officer (XO) for administrative matters. • COs are required to obtain formal training for their security managers. The Naval Security Manager Course offered by the Deputy Under Secretary of the Navy satisfies this requirement. For information on the course and updates please see: http://www.secnav.navy.mil/dusnp/ Security/Pages/Default.aspx. Duties of Security Manager The security manager is key in developing and administering the command’s ISP and PSP. The security manager is the principal advisor on information and personnel security in the command except for issues specific to SCI, information technology (IT) security, and Special Access Programs (SAP)—unless officially designated for these additional duties and responsibilities—and is responsible to the CO for the security program management. Commands may assign the duties described here to a number of personnel and even to individuals senior to the security manager. However, the security manager remains ultimately responsible to the CO for all program requirements. The security manager must be cognizant of the command’s security functions and ensure the security program is coordinated and inclusive of all requirements. The duties listed below apply to every security manager: • Serves as the CO’s advisor and direct representative in matters pertaining to the security of classified information held at the command and regarding the eligibility of personnel to access classified information and to be assigned to sensitive duties. • Develops written command ISP and PSP procedures, including an Emergency Action Plan (EAP), which integrates emergency destruction bills where required. • Formulates and coordinates the command’s security awareness and education program. • Ensures security control of visits to and from the command when an authorized visitor requires access to classified information. • Ensures all personnel who will handle classified information or will be assigned to sensitive duties are appropriately vetted through coordination with DODCAF and proper preparation, submission, and monitoring of requests for personnel security investigations. • Ensures access to classified information is limited to those who are eligible and have the “need-to-know”. • Ensures proper recording of personnel security investigations, clearances, and accesses in JPAS and proper registration of subordinate commands for JPAS, as necessary.

6-5 • Coordinates the command program for continuous evaluation of eligibility for access to classified information or assignment to sensitive duties. • Maintains liaison with the command SSO/Special Security Representative (SSR) concerning information and personnel security policies and procedures. • Coordinates with the command Information Assurance Manager (IAM) on matters of common concern. • Ensures all personnel who have had access to classified information and are separating or retiring have completed a Security Termination Statement (OPNAV 5511/14); (Figure 6-2) (have a completed form as an example and state who can sign as a witness). • Ensures the filing of the original statement in the individual’s Electronic Service Record (ESR) or Official Military Personnel Folder (OMPF) with a copy in the command files (Marine Corps commands will submit the original Security Termination Statement to Commandant of the Marine Corps (MMSB-20).) • Ensures all personnel execute a Classified Information Nondisclosure Agreement SF 312 prior to granting initial access to classified information and records execution of the SF 312 in JPAS; (Figures 6-3 and 6-4) (Have a completed form as an example and state who can sign as a witness.)

6-6 Figure 6-2 — Security Termination Statement, OPNAV 5511/14.

6-7 Figure 6-3 — Classified Information Non-disclosure Agreement, SF 312 (front page).

6-8 Figure 6-4 — Classified Information Non-disclosure Agreement, SF 312 (back page).

6-9 SPECIAL SECURITY OFFICER (SSO) Commands in the DON accredited for and authorized to receive, process, and store SCI will designate an SSO. The SSO is the principal advisor to the CO on the SCI security program and is responsible for the management and administration of the SCI program. SCI security program responsibilities are detailed in Sensitive Compartmented Information Administrative Security Manual (DoDM 5105.21-V1). The SSO will be responsible for the operation and oversight of SCI functions for subordinate Sensitive Compartmented Information Facilities (SCIF) and the security control and use of the SCIF. All SCI matters shall be referred to the SSO. The command will appoint the SSO and subordinate SSOs in writing. The SSO will be a U.S. citizen and either a commissioned officer or civilian employee (GS-9 or above) and must meet the standards contained in Director, of National Intelligence, Intelligence Community Directive (ICD) 704, “Personnel Security Standards and Procedures Governing Eligibility for Access to SCI.” The same grade limitations apply to assistant SSOs. The security manager cannot function as the SSO unless authorized by the Director, ONI or Commander, NETWARCOM (IOD). Although the SSO administers the SCI program independently of the security manager, the security manager must account for all clearance and access determinations made on members of the command. There is great need for cooperation and coordination between the SSO and security manager, especially for personnel security matters. For individuals who are SCI eligible, the security manager and the SSO must keep each other advised of any changes in status regarding clearance and access, and of information developed that may affect eligibility. The security manager and SSO must also advise each other of changes in SCI and command security program policies and procedures as they may impact the overall security posture of the command. Duties of the SSO Some of the SSO’s duties are as follows: • Supervises the operation of the special security office and administers the SCI security program to include SCI security oversight for other local SCIFs under the organizational SCI security cognizance • Maintains applicable SCI directives, regulations, manuals, and guidelines to adequately disseminate SSO duties and responsibilities • Ensures SCI is properly accounted for, controlled, transmitted, transported, packaged, and safeguarded and ensures destruction of SCI by authorized means per DoDM 5105.21-V1 (Figure 6-5) • Ensures SCI is disseminated only to personnel authorized access and having an established “need-to-know” • Serves as the official channel for certifying and receiving SCI visitor clearances and accesses • Maintains the Joint Personnel Adjudication System (JPAS) to accurately reflect all personnel under his or her cognizance • Conducts or otherwise manages SCI personnel, information, physical and technical security actions, and procedures • Provides guidance and assistance for processing SCI positions and eligibility requests

6-10 • Conducts SCI security briefings/debriefings and indoctrinations, obtains signed Non-disclosure Agreements and Non-disclosure Statements (Form 4414) (Figures 6-6 and 6-7), and performs other related personnel security actions • Ensures each subordinate SCI security official conducts an annual self-inspection • Reports SCI security infractions, makes recommendations, and prepares required reports • Validates product requirements and ensures dissemination to authorized users • Conducts a continuing SCI security education training and awareness program to ensure all SCI-indoctrinated individuals are informed of the requirements and guidelines for protecting SCI • Ensures appropriate accreditation documentation is available for each SCIF and communications/AIS under the organization’s security cognizance • Reviews all derogatory information from the local supporting military law enforcement agency involving SCI-indoctrinated personnel and takes appropriate action • Maintains continuing liaison, as required, with non-SCI security officials

6-11 Figure 6-5 — Administrative Security Manual (DoDM 5105.21-V1).

6-12 Figure 6-6 — SCI Non-Disclosure Agreement, Form 4414 (front page).

6-13 Figure 6-7 — SCI Non-Disclosure Agreement, Form 4414 (back page).

6-14 Special Security Representative (SSR) The SSR, is under the direction of the supporting SSO and is responsible for the day-to-day management and implementation of the facility’s SCI security program and administrative functions for subordinate SCIFs. The SSR will be an appropriately SCI indoctrinated military commissioned officer, the most senior non-commissioned officer (E-5 or above), or civilian (GS-7 or above). The local senior intelligence officer may appoint SSRs at a lower grade level, without further waiver, with sufficient justification. EFFECTIVE SECURITY You accomplish effective security when you recognize, understand, and apply the security requirements that prevent compromise. Some individuals who work with classified information on a daily basis may become complacent about using proper safeguarding measures. When you see this happen in your command, take corrective actions immediately. Each command handling classified information will establish and maintain an active security education program to instruct all personnel, regardless of position, rank or grade, in security policies and procedures. The purpose of the security education program is to ensure that all personnel understand the need and procedures for protecting classified information. The goal is to develop fundamental security habits as a natural element of each task. An effective security program will assist you in keeping your personnel security conscious at all times. You can use various approaches to organizing a security program that has real meaning and create a lasting impression on your personnel. Posters, Plan of the Day (POD) notices, newsletters, and films are effective tools if properly used. People become security conscious only when you stimulate their interest and provide motivation for personal involvement. When you have instilled a sense of self-responsibility in your personnel—a trait that eliminates carelessness, ignorance, or plain indifference—you have accomplished security consciousness. The security education program should be developed based on the command mission and function and should do the following: • Advise personnel of the adverse effects to the national security which could result from unauthorized disclosure of classified information and of their personal, moral, and legal responsibilities to protect classified information within their knowledge, possession, or control. • Advise personnel of their responsibility to adhere to the standards of conduct required of persons holding positions of trust and to avoid personal behavior that could render them ineligible for access to classified information or assignment to sensitive duties. • Advise personnel of their obligation to notify their supervisor or command security manager when they become aware of information with potentially serious security significance regarding someone with access to classified information or assigned to sensitive duties. • Advise supervisors of the requirement for continuous evaluation of personnel for eligibility for access to classified information or assignment to sensitive duties. • Familiarize personnel with the principles, criteria, and procedures for the classification, downgrading, declassification, marking, control and accountability, storage, destruction, and transmission of classified information and material and alert them to the strict prohibitions against improper use and abuse of the classification system.

6-15 • Familiarize personnel with procedures for challenging classification decisions believed to be improper. • Familiarize personnel with the security requirements for their particular assignments and identify restrictions. • Instruct personnel having knowledge, possession, or control of classified information on how to determine, before disseminating the information, that the prospective recipient has been authorized access, needs the information to perform his/her official duties, and can properly protect (store) the information. • Advise personnel of the strict prohibition against discussing classified information over an unsecured telephone, facsimile, information technology system, or in any other manner that may permit interception by unauthorized persons. • Inform personnel of the techniques foreign intelligence activities employ in attempting to obtain classified information. • Inform personnel of their particular vulnerability to compromise during foreign travel. • Advise personnel they are to report to their CO, activity head, or designee contacts with any individuals regardless of nationality, whether within or outside the scope of the individuals’ official activities, in which one or both of the following apply: ◦ Illegal or unauthorized access to classified or otherwise sensitive information. ◦ Employee concern that he or she may be the target of exploitation by a foreign entity. • Advise personnel of the penalties for engaging in espionage activities and for mishandling classified information or material. BRIEFINGS Security education/briefings fall into the following categories: • Indoctrination • Orientation • On-the-job training • Annual refresher briefings • Counterintelligence briefings • Special briefings (Foreign Travel, New Requirement, Program and NATO Security) Indoctrination Everyone within the DON with access to classified material and or spaces needs to have a basic understanding of what classified information is and why and how to protect it. This basic indoctrination occurs during training at the time of accession. The receiving command indoctrinates those who do not go through a formal training period. Every individual who has Top Secret eligibility or SAP or SCI access will make a verbal attestation confirming they will adhere to the conditions and responsibilities imposed by law and regulation on individuals granted such eligibility or access. The following applies to DON military and civilian personnel:

6-16 • After reading the entire SF 312 and/or the SCI/SAP Indoctrination Form, individuals initially authorized Top Secret eligibility or access to a specially controlled category or compartmented information (SCI and SAP), shall verbally attest to fully understanding their responsibilities in protecting national security information and adhering to the provisions specifically stated within the form. • The forms and verbal attestation must be witnessed by one individual in addition to the official presiding over the attestation. • Personnel with existing Top Secret eligibility or SCI/SAP access will verbally attest at the required periodic reinvestigation as requested or when granted access to another compartmented program, whichever is sooner. • During refresher training, commands will stress the provisions of the SF 312 and the responsibilities for individuals with access to classified information. Security managers will be responsible for recording this training in JPAS. Classified Information Non-Disclosure Agreement (SF 312) The primary purpose of the SF 312, (Figures 6-3 and 6-4) is to inform individuals of the trust placed in them by their authorized access to classified information. The agreement also informs them of their responsibilities to protect that information from unauthorized disclosure and of the consequences that may result from their failure to meet those responsibilities. The individual’s security manager or SSO/SSR must personally witness the execution of the form. The witnessing official must sign and date the agreement at the time it is executed. The SF 312 will be maintained for 70 years from the date of signature. An entry will be made in JPAS to indicate that the individual has executed an SF 312. Should the individual lose access to classified information for any reason, the form will also be used for security debriefing. SCI Non-Disclosure Agreement Statement (Form 4414) As a condition of access to SCI, an individual must sign the SCI non-disclosure statement for the protection of SCI. The SCI non-disclosure statement is a written, legally binding statement for 70 years or death (whichever comes first) that the candidate signs for SCI access. SSOs will use the Form 4414 as part of SCI indoctrination process (Figures 6-6 and 6-7). Orientation The Security Orientation should be tailored to the command and the individual receiving it. Orientation is a must for personnel whose job requires access to classified material or assignment. The command should conduct the orientation as soon as possible after an individual reports onboard and before granting him or her access to classified information. The orientation emphasizes the following: • The command security structure (i.e., CSM, TSCO, and the SSO/SSR). • Any special security precautions within the command, (i.e., restrictions on access). • Command security procedures for badging, security checkpoints, destruction, visitors, etc. • Their responsibility to protect classified information. • Their obligation to report suspected security violations/incidents.

6-17 • Their obligation to report information that could affect the security clearance eligibility of an individual who has access to classified information. On-The-Job Training Supervisors must make sure subordinates know the security requirements. Supervision of the on-the- job training process is critical. Leaving subordinates to learn by trial and error is costly to security and so is assuming subordinates know how to protect classified information. Refresher Briefings Once a year, all personnel who have access to classified information must receive a refresher briefing or equivalent training, by supervisory personnel, designed to enhance security awareness. The annual refresher briefing or equivalent training may be addressed to the entire command on general security matters, changes in policies, or procedures. People who draft classified documents should be briefed on procedures for classifying and marking material. Refresher briefings should cover the following: • New security policies and procedures • Counterintelligence reminders regarding reporting contacts and exploitation attempts and foreign travel issues • Continuous evaluation • Command-specific security concerns or problem areas • Non-Disclosure Agreement requirements • Results of self-inspections, inspector general reports, or security violation investigations that provide valuable information for use in identifying command weaknesses Counterintelligence Briefings All personnel having access to classified material must receive annual periodic briefings on all threats posed by foreign intelligence and terrorist organizations. The NCIS is responsible for conducting the counterintelligence briefing. Special Briefings A special briefing covers a specific topic or problem and is given to a designated group. This briefing is often longer and more detailed than most other briefings. Special briefings acquaint personnel with particular enemy capability. Some examples of such briefings are as follows: • Foreign travel briefing • North Atlantic Treaty Organization (NATO) briefings • New requirement briefings • Single-Integrated Operational Plan Extremely Sensitive Information (SIOP-ESI) • SCI briefing

6-18 Foreign Travel Briefings Although annual refresher briefings may briefly cover foreign travel (personal or business), it may also be appropriate to require separate foreign travel briefings for personnel, especially for those who travel frequently. It is in the best interest of the command and the individual to ensure travelers are fully prepared for any particular security or safety concerns that the foreign travel may introduce. A foreign travel briefing is usually offered only to those individuals who have access to classified information. However, upon request, an unclassified version may be given separately to dependents, or others who do not have access (Individuals with SCI access should be referred to their SSO for foreign travel briefing requirements). Upon the traveler’s return, the command should provide him or her the opportunity to report any incident, no matter how insignificant it might have seemed, that could have security implications. For country clearance requirements, refer to the DoD Foreign Clearance Guide (https://www.fcg. pentagon.mil/), (DoD directive 4500.54). Servicing NCIS offices stock audiovisual material for formal foreign travel briefings. New Requirements Briefings Whenever security policies or procedures change, personnel whose duties would be impacted by these changes must be briefed as soon as possible. SECURITY CLEARANCES A security clearance is a determination, made from all available information, that an individual is eligible for access to classified information to a specified level or, in some cases, is eligible for assignment to other positions of trust. There are three types of clearances: Confidential, Secret, and Top Secret: • Top Secret clearance implies that an authorized adjudicative authority determined that an individual is eligible for access to Top Secret information. • Secret clearance implies that an authorized adjudicative authority determined that an individual is eligible for access to Secret information. • Confidential clearance implies that an individual has been determined to be eligible for access to Confidential information. No person will be given access to classified information unless a favorable determination has been made of the person’s loyalty, reliability, and trustworthiness. The initial determination is based on the Personnel Security Investigation (PSI) granted by the DODCAF. Intelligence Community Directive (ICD) The ICD establishes DNI personnel security policy governing eligibility for access to SCI and information protected within other controlled access programs. Commonly used ICDs are listed below, and there are more at DNI.gov: • ICD 703 (Protection of Classified of National Intelligence including SCI) • ICD 704 (Personnel Security Standards and Procedures Governing Eligibility for Access to SCI and other Controlled Access Program Information) • ICD 705 (SCIFs)

6-19 Department of the Defense Central Adjudication Facility (DODCAF) Navy Division The Department of Defense established DODCAF to provide central evaluation of individuals receiving security clearances. This facility has the sole authority to grant, deny, or revoke security clearances for all DON personnel. The DSS and the OPM forward all completed PSIs to DODCAF. The facility then determines eligibility for security clearances or assignment to sensitive duties. Upon making a favorable security clearance/eligibility determination, DODCAF will notify the command via JPAS. DETERMINING CLEARANCE ELIGIBILITY No individual will receive access to classified information or assignment to sensitive duties unless DODCAF has made a favorable personnel security determination regarding his/her loyalty, reliability and trustworthiness. DODCAF conducts a Personnel Security Investigation (PSI) to gather information pertinent to these determinations. Only the following officials are authorized to request PSIs on individuals under their jurisdiction: • Commanding officers of organizations and activities listed on the Standard Navy Distribution List (SNDL); and Marine Corps List of Activities - MARCORPS 2766 • Director, Department of the Defense Central Adjudication Facility (DOD CAF) • Chiefs of recruiting stations The scope of the investigation will be commensurate with the level of sensitivity of the access the individual requires or the position he or she occupies. Only the minimum investigation to satisfy a requirement may be requested. CNO (N09N2) must give prior approval to establish investigative requirements in addition to, or at variance with, those established. The Office of Personnel Management (OPM) conducts (or controls the conduct of) all PSIs for the DON. DON elements are prohibited from conducting PSIs, including local public agency inquiries, unless an authorized investigative agency specifically requests them to do so. PSIs will not normally be requested for any civilian or military personnel who will retire, resign, or be separated with less than one year of service remaining. Types of Personnel Security Investigations The term “Personnel Security Investigation” (PSI) refers to an information gathering inquiry, where specified information is collected from specified sources to support eligibility determinations for DoD military and civilian personnel, contractor employees, consultants, and other persons affiliated with the DoD for access to classified information, acceptance or retention in the Armed Forces, assignment or retention in sensitive national security positions, or other designated duties requiring such investigation. PSIs are defined as follows: • National Agency Check (NAC). The NAC includes a search of DoD’s Defense Clearance and Investigations Index (DCII), OPM’s Reimbursable Suitability Investigation (RSI), Federal Bureau of Investigation (FBI) investigative and criminal history files including files of other federal government agency records as appropriate to the individual’s background (Immigration and Naturalization Service (INS), Office of Personnel Management (OPM), Central Intelligence Agency (CIA), etc.). A NAC is an integral part of each Single Scope Background Investigation (SSBI), SSBI Periodic Reinvestigation (SSBI-PR), National Agency Check with Local Agency

6-20 Check and Credit Checks (NACLC), National Agency Check with Written Inquiries (NACI) and Access NACI (ANACI). A technical fingerprint search of the FBI files is conducted as part of a NAC, except during an SSBI-PR. The NAC continues to be used as the basis for trustworthiness determinations. • National Agency Check with Written Inquiries (NACI). The NACI is the basic Executive Order (EO) 10450 investigative standard for federal government civil service employment suitability determinations. A NACI consists of a NAC plus written inquiries to former employers and supervisors, to references, and to schools covering the previous five years. NACI’s are insufficient for personnel security eligibility determination or assignment to sensitive duties. • Access NACI (ANACI). The ANACI is an OPM product that combines the NACI (directed by EO 10450 to determine suitability of civilian employees within the Federal Government) and the NACLC (directed by EO 12968 to determine security clearance eligibility). The ANACI meets the investigative requirements for civilian employee appointment to non-critical sensitive positions and for access to Confidential or Secret national security information. The ANACI includes a NAC, a credit check, and written inquiries covering the last five years to law enforcement agencies, former employers and supervisors, references, and schools. • National Agency Check with Local Agency and Credit Checks (NACLC). The NACLC is the basic EO 12968 standard for determinations of eligibility to access Confidential and Secret classified national security information. The NACLC also provides the basis for military suitability determinations for Navy and Marine Corps enlisted members and officers. A NACLC is required for each enlisted member of the Navy and Marine Corps, including Reserve components, at the time of initial entry into the service. A NACLC is also required for each commissioned officer, warrant officer, midshipman and Reserve Officer Training Corps candidate before appointment. The NACLC includes a NAC; credit bureau checks covering all locations where the subject has resided, been employed, or attended school for six months or more for the past seven years; and checks of law enforcement agencies having jurisdiction where the subject has resided, been employed, or attended school within the last five years. • Single Scope Background Investigation (SSBI). The SSBI is the EO 12968 investigative standard for determinations of eligibility to access Top Secret classified national security information and SCI access eligibility determinations. The SSBI is also the basis for determinations of eligibility to occupy critical-sensitive or special-sensitive national security positions and is required for duties involving a number of special programs. Individuals nominated for SCI access require a pre-nomination interview by the SSO or its designee. The SSBI includes the NAC; verification of the subject’s date and place of birth, citizenship, education and employment; neighborhood interviews; developed character reference interviews; credit checks; local agency checks; public record checks (i.e., verification of divorce, bankruptcy, etc.); foreign travel, foreign connections and organizational affiliations; and other inquiries, as appropriate. A formal subject interview is conducted, as applicable, as well as a NAC of the subject’s current spouse or cohabitant. The scope of an SSBI covers the most recent 10 years of the subject’s life or from the 18th birthday, whichever is the shorter period; however, it will cover at least the last 2 years. No investigation is conducted prior to the subject’s 16th birthday. Additional investigative requirements exist for individuals requiring SCI access eligibility who have foreign national immediate family members.

6-21 Reinvestigations A reinvestigation updates a previous investigation and is authorized only for specific duties and access. The extent of the investigative coverage for reinvestigations is proportional to the sensitivity level of the duties and/or access. There are two scopes for reinvestigations, the SSBI Periodic Reinvestigation (SSBI-PR), completed to update requirements for Top Secret/SCI and other sensitive duties and the NACLC reinvestigation, completed to update requirements for Secret or Confidential eligibility. • SSBI-PR: SSBI-PRs are conducted on personnel whose clearance/access to SCI or Top Secret information is based on an investigation that is five years old or more. The SSBI-PR investigative elements include: a NAC (except that a technical fingerprint check of FBI files is not conducted); a subject interview, a credit check, an employment check, neighborhood interviews, local agency checks, interviews of employers and developed character references, an ex-spouse interview, and additional investigation when warranted by the facts of the case. • NACLC: A NACLC is conducted at 10-year and 15-year intervals to support continued access to Secret and Confidential classified information, respectively. JOINT PERSONNEL ADJUDICATION SYSTEM (JPAS) JPAS is the DoD personnel security clearance and access database. JPAS is the system of record for personnel security adjudication, clearance and verification, and history. It facilitates personnel security program management for DODCAF, DoD security managers, and SCI program managers. JPAS interfaces with OPM and DSS to populate personnel security investigation data and with the personnel systems Defense Enrollment Eligibility Reporting System (DEERS) and Defense Civilian Personnel Data System to populate identifying data. JPAS has two applications: The Joint Adjudication Management System (JAMS) and Joint Clearance and Access Verification System (JCAVS). • JAMS – OPM submits records eligibility determination and unclassified investigation comments, (due process history, revocation and denial action information). JAMS supports adjudication process and automates security information records. • JCAVS – JCAVS enables DoD security managers and Special Security Officers to view current eligibility information. It also provides the ability to update personnel security information and security history. DON commands are required to use JPAS exclusively to record all access determinations, which include temporary access, upgrades, downgrades, and suspensions. Commands must document: • Interim security clearance determinations. • Execution of non-disclosure agreements (SF 312) (Figures 6-3 and 6-4). • Personal attestations. • Program indoctrinations/debriefs. • Unofficial foreign travel. • Continuous evaluation reports. • Pass visit requests.

6-22 • Determination of security clearance and classified access eligibility. • Determination of the status of a requested PSI. • PSI submission dates. • Requests for DODCAF determinations. • All access determinations and request indoctrination/debrief assists. JPAS users will be responsible for changes to an individual’s access within JPAS. User Levels within JPAS There are nine user levels within JPAS. They are separated into SCI levels and Collateral categories. The user levels are as follows: SCI Side (SSO/SSR) • Level 2 – SSO Navy HQ, Regional SSOs and NETWARCOM HQ • Level 3 – All other SSOs/SSRs • Level 8 – SCI Entry Controller (read only) Collateral Side (Security Manager) • Level 4 – HQ and MACOM security manager • Level 5 – Base, Squadron, TYCOM security manager • Level 6 – Unit security manager • Level 7 – Entry Controller NON-SCI (read only) • Level 10 – Visit Control NON-SCI (read only) • Level 11 – Industrial Security JPAS is the DOD official system for security access eligibility e-QIP e-QIP is the OPM system to electronically enter, update, and transmit personal investigative data over a secure Internet connection to individuals’ employing agency for review and approval. e-QIP is located on the OPM website https://www.dmdc.osd.mil/psawebdocs/docPage. jsp?p=JPAS. It is the approved method for submission of background investigations to OPM. The e-QIP system interfaces with JPAS (Figure 6-8) to allow security managers and SSO/SSRs to initiate investigations via JPAS for individual members requiring background investigations. A PSI must be initiated by either a security manager or the SSO via OPM.gov. Service members will be given a complete “how-to” guide for using the E-QIP program. A service member will have 30 days to log into the E-QIP system once the investigation has been initiated and 90 days to complete after login (60 days to complete for revisions). Once the member forwards the completed investigation, the security manager/SSO/SSR will review

6-23 the investigation, ensuring that there are no gaps, omissions, or incorrect date overlaps. Once the SSO/SSR reviews the investigation and determines that all information entered is correct, the SSO/SSR will upload or fax the release forms and transmit the investigation to OPM for processing. Figure 6-8 — How JPAS and e-QIP are connected.

6-24 INFORMATION SECURITY For the protection of the interests of the United States, certain information is unavailable to other countries. This information is given a classification that determines how much protection it needs. The level of classification is based on how much damage would be caused if other countries obtained it. This section provides you with the categories of classification, the rules regarding the safeguarding of each level, and your responsibilities in handling classified material. Categories of Classified Information Information is classified into three categories, each category requiring its own level of protection: Top Secret, Secret, and Confidential (Figure 6-9). Top Secret Top Secret is the designation applied only to information or material which could cause exceptionally grave damage to national security. Examples of exceptionally grave damage include: • Armed hostilities against the United States or its allies. • Disruption of foreign relations vitally affecting national security. • Compromise of vital national defense plans or complex cryptologic and communication intelligence systems. • Revelation of sensitive intelligence operations. • Disclosure of scientific or technological developments vital to national security. Secret Secret is the designation applied only to information or material which could cause serious damage to national security. Examples of serious damage include: • Disruption of foreign relations significantly affecting the national security. • Significant impairment of a program or policy directly related to the national security revelation. • Compromise of significant military plans or intelligence operations. • Compromise of significant scientific or technological developments related to national security. Confidential Confidential is the designation applied to information or material which could cause identifiable damage to the national security. Examples of identifiable damage include: • Compromise of information indicating strength of ground, air, and naval forces in the United States and overseas areas. Figure 6-9 — Typical security classification labels.

6-25 • Disclosure of technical information used for training, maintenance, and inspection of classified munitions of war. • Revelation of performance characteristics, test data, design, and production data on munitions of war. Control of Dissemination The CO is responsible for controlling the dissemination of classified material within the command. The CO delegates to the security manager or SSO the responsibilities of ensuring issue of information and instruction of personnel on prevention of unauthorized disclosure of classified information. Steps must be taken to ensure that the existence, contents, and whereabouts of classified information are divulged only to those who are authorized access and whose official duties require that knowledge. Accountability and Control Classified information shall be afforded a level of control commensurate with its assigned security classification level. This policy encompasses all classified information regardless of media type. Regulations do not guarantee protection—enforcing them does. Security regulations require the following procedures, and one of your responsibilities is to know and enforce these accountability and control procedures. Remember, the security program is a means, not an end. Top Secret Accountability Each copy of a Top Secret document is numbered at origination with the copy number and total number of copies created. For example: Copy number 2 of 10 copies Each copy of the document will include a list of effective pages with a record for page checks. Further, each page of Top Secret letters or messages is numbered as shown below. Page 1 of 15 pages Top Secret documents cannot be reproduced without permission of the issuing or higher authority. When permission is granted, any copies made must also be numbered. Always use the number of the copies that are made from the original as part of the numbering sequence. For example: Copy 14/1 of 2 copies The 14 indicates the fourteenth copy of the original. *Top Secret material is always transported via direct contact between appropriately cleared U.S. personnel or via the Defense Courier Service (DCS) and is accounted for at each exchange*. *The security manager or the Top Secret Control Officer (TSCO) inventories all Top Secret material at NOTE You will come across information marked For Official Use Only. This is NOT a security classification and this term SHALL NOT be used for identification of U.S. classified national security information.

6-26 least annually and at each change of command*. Top Secret Control A Disclosure Record, OPNAV Form 5511/13, (Figure 6-10) identifies top secret documents and all personnel who have had access to them. It is maintained for each individual document. The record of disclosure is maintained for two years after the document is transferred, downgraded to a lower classification, or destroyed. Classification markings in this document are used for training purposes only. Figure 6-10 — Disclosure Record, OPNAV Form 5511/13.

6-27 Secret Accountability A command must establish administrative procedures to record Secret material the command originates or holds. The record can be in the form of a log, a route slip file (Correspondence/Material Control Form 5216/10), (Figure 6-11) a serial file, or other administrative records. Figure 6-11 — OPNAV Form 5216/10 Correspondence/Material Control.

6-28 Secret Control The CO shall establish administrative procedures for the control of Secret information appropriate to their local command, based on an assessment of threats to and the location and mission of their command. Confidential Accountability and Control Procedures for protecting Confidential material are less stringent than those for Secret material. There is no requirement to maintain records of receipts, distribution, or disposition of Confidential material. Measures are required, however, to control access to and ensure proper marking, storage, transmission, and destruction of the information to protect it from unauthorized disclosure. Serial Numbers The Department of the Navy Correspondence Manual (SECNAV M-5216.5) and Standard Subject Identification Code Manual (SECNAV M-5210.2) prescribe that the originating command will give classified correspondence a serial number for each calendar year. Commands use a separate consecutive group of numbers for each security classification. This group of numbers will come from a separate serial log and from the unclassified correspondence serial log. Serial numbers are preceded by the following letters C- Confidential, S- Secret, and TS- Top Secret. CUSTODIAL PRECAUTIONS No one may remove classified material from the physical confines of a command without the knowledge and approval of the CO or an authorized representative. When anyone removes classified material, a complete list is prepared and appropriately filed until the material is returned or accounted for. Care of Classified Working Spaces The necessary safeguards must be afforded to buildings and areas in which classified information is kept. Precautions must also be taken to minimize danger or inadvertent disclosure of classified material in conversations. You must not discuss classified information in public places. Commands must institute a system of security checks at the beginning and closing of each working day in order to properly protect the classified material they hold. Custodians of classified material must make an inspection utilizing the following: • SF-701, Activity Security Checklist, (Figure 6-12) to ensure all areas which process classified information are properly secured • SF-702, Security Container Check Sheet, (Figure 6-13) to record that classified vaults, secure rooms, strong rooms, and security containers have been properly secured at the end of the day • SF 700, Security Container Information (Figure 6-14), to ensure identification of the individual responsible for the contents of each container of classified material is readily available (The individual so identified is contacted in the event a container of classified material is found open and unattended.)

6-29 Figure 6-12 — Activity Security Checklist, SF 701.

6-30 Figure 6-13 — Security Container Check Sheet, SF 702.

6-31 PREPARATION FOR TRANSMISSION AND SHIPMENT Whenever classified material is transmitted, it should be enclosed in two opaque, sealed envelopes or similar wrappings, where size permits, and prepared as follows: • Classified written material shall be packaged so that the classified text is not in direct contact with the inner envelope or container. • The inner envelope or container should show the address of the receiving activity; the highest classification of the material enclosed or the Restricted Data marking (where appropriate); and any special instructions. It should be carefully sealed to minimize the possibility of access without leaving evidence of tampering. The receipt form should be enclosed prior to transmission or shipment. • The outer cover should not bear a classification marking, a listing of the contents divulging classified information, or any other unusual data or marks that might invite special attention to the fact that the contents are classified. The outer cover of Confidential material transmitted by United States Postal Service First-Class Mail should be marked FIRST CLASS and be endorsed. “POSTMASTER: DO NOT FORWARD, RETURN TO SENDER.” Whenever the classified material being transmitted is too large to prepare as described above, it should be enclosed in two opaque, sealed containers, such as boxes or heavy wrappings, or prepared as follows: • If the classified material is an internal component of a packageable item of equipment, the outside shell or body may be considered as the inner enclosure. • If the classified material is an inaccessible internal component of a bulky item of equipment that is not reasonably packageable, the outside or body of the item may be considered as the outer enclosure, provided the shell or body is not classified. • If the classified material is equipment not reasonably packageable and the shell or body is classified, it should be draped with an opaque covering that will conceal all classified features. The coverings must be capable of being secured to prevent inadvertent exposure of the item. • Specialized shipping containers, including closed cargo transporters, may be used instead of Figure 6-14 — Security Container Information, SF 700.

6-32 the above packaging requirements. In such cases, the container may be considered the outer wrapping or cover. • Material used for packaging should be of such strength and durability as to provide security protection while in transit, prevent items from breaking out of the container, and detect any tampering with the container. The wrappings should conceal all classified characteristics. Activities will provide several sizes of cardboard containers and corrugated paper, seal packages with tape that will retain the impression of any postal stamp in ways that minimize risk of accidental exposure or undetected deliberate compromise, and inspect bulky packages to determine whether the material is suitable for mailing or whether it should be transmitted by other approved means. Classified material is normally addressed to a recognized activity and not to an individual. Office code, office or division titles such as Training Division or similar aids in expediting internal routing may be used in addition to the organization address. For correct mailing addresses, consult the current issue of the Standard Navy Distribution List, OPNAVINST 5400.45, which contains the official list of fleet and mobile units, their administrative addresses, and the official list of shore activities with complete addresses. Transmission of Classified Material The term transmission refers to any movement of classified material from one place to another. The basic rule is this: the material must be in the custody of an appropriately cleared individual or in an approved carrier system. Transmission requirements are basic. Refer to SECNAV M-5510.36 for complete details. Top Secret Top Secret material cannot be mailed by normal official means. It must be hand-carried (by a one- time courier letter or a courier card issued by the SSR/SSO) to DCS by specifically cleared and designated personnel, or transmitted by way of a fully protected cryptographic system. Secret Secret material may be transmitted in the same manner as Top Secret or mailed in the U.S. Postal Service (USPS), as Registered Mail or USPS Express Mail sent between U.S. Government activities within and between the U.S. and its territories. Confidential Confidential material may be transmitted by any means suitable for Secret material. First-Class Mail service may be used between DoD activities in the U.S. or its territories. Material going overseas APO or FPO is sent by Registered Mail. For USPS First-Class mail between DoD component locations anywhere in the U.S. and its territories, the outer envelope or wrapper shall be endorsed: “RETURN SERVICE REQUESTED.”

6-33 When transmitting classified material, ensure a record of receipt is enclosed in the packaging. If your command has not received the record of receipt within 30 days, a tracer should be initiated. Defense Courier Service (DCS) Transmit or transport TS/SCI material only by direct contact between appropriately cleared U.S. personnel or through DCS, if the material qualifies under the provisions of DoDI 5200.33 (Defense Courier Operations). The DCS is a joint command and direct reporting unit under the Commander in Chief United States Transportation Command. All courier station storage vaults must be accredited for open storage of SCI and be delegated as a SCIF; all couriers must be able to hold a final Top Secret clearance based on a current SSBI and be eligible for SCI access. The DCS, organized under DoDI 5200.33 and USTRANSCOM Instruction 10-22, shall establish staff, and maintain and operate an international network of couriers and courier stations for the expeditious, cost-effective, and secure transmission of qualified classified documents and material. In all instances, security of material shall be of paramount importance. All commands must complete a Defense Courier Service Authorization Record (DCS Form 10) outlining all authorized DCS users for that command. The DCS provides two levels of service for movement of qualified material, regular and special, which establishes precedence of movement for material handled in the DCS. The following categories of material qualify for DCS handling: • Top Secret information • Classified cryptographic and communications security material • Classified cryptologic material • Cryptographic keying material designated and marked “CRYPTO” by the National Security Agency • Air and space borne imagery material classified SECRET or higher • Controlled cryptographic items for shipment outside the 48 contiguous states when no other means of secure transportation is available • Any U.S. classified material that cannot be transmitted in U.S. custody by any other means • Single Integrated Operation Plan (SIOP) material and SECRET or more highly classified operational and/or targeting support material • End of cruise data packages • Department of State diplomatic courier pouches and other categories of material as outlined in Enclosure (2) of DoDI 5200.33 The following material is NOT authorized entry into the DCS system, regardless of classification or other qualifying criteria: • Contraband, including controlled substances (particularly narcotics and dangerous drugs), as defined in Section 812 of 21 U.S.C. • Explosives, ammunition, firearms, and their components

6-34 • Radioactive, etiological, or other material hazardous to personnel • Flammables • Liquids • Batteries (prohibited from air shipments by the Federal Aviation Administration or international regulations), except as coordinated with the Commander, DCS, in advance • Currency, military payment certificates, bonds, securities, precious metals, jewels, postage stamps, or other negotiable instruments Storage Classified material is stowed only at locations where suitable facilities are available. The SECNAV M-5510.36 details the requirements for storing material at each level of classification. Do not store valuables such as money, jewelry, or precious metals in the same containers as classified material. They increase the risk of a container being illegally opened or stolen. For emergency purposes, post on the container the identity of persons having access to the container and a symbol indicating the relative priority of destruction. In no case, however, show the level of classified material inside the container. Destruction of Classified Material Classified material must be destroyed by burning, wet pulping, crosscut shredding, or other forms of mutilation preventing reconstruction of the material. Devices used for the destruction of classified material should be listed in the National Security Agency (NSA) website (http://www.nsa.gov) under Evaluated Products Listing (EPL). Figure 6-15 shows examples of some of the devices used for destruction.

6-35 Figure 6-15 — Destruction devices.

6-36 Records of Destruction Top Secret material destruction must be recorded. Use Classified Material Destruction Report, OPNAV Form 5511/12, (Figure 6-16) or any other type of record, as long as it includes space for complete identification of the material, number of copies destroyed and date of destruction. Officials responsible for destruction must have a clearance equal to or greater than the material being destroyed. Figure 6-16 — Classified Material Destruction Report, OPNAV 5511/12.

6-37 Top Secret Destruction Two witnesses shall sign the record when the information is placed in a burn bag or actually destroyed. Retain TS record of destruction for five years. Afford burn bags the same protection as the highest level of material contained. Only appropriately cleared personnel may handle burn bags. PHYSICAL SECURITY Physical security standards are hereby established governing the construction and protection of facilities for storing, processing, and discussing classified information. SCI Facilities (SCIF) A SCIF (Figures 6-17, and 6-18) is an accredited area, room, group of rooms, buildings, or installation where SCI may be stored, used, discussed, and/or electronically processed. SCIFs will be afforded personnel access control to preclude entry by unauthorized personnel. Non-SCI-indoctrinated personnel entering a SCIF must be continuously escorted by an indoctrinated employee who is familiar with the security procedures of that SCIF. The physical security protection for a SCIF is intended to prevent as well as detect visual, acoustical, technical, and physical access by unauthorized persons. Physical security criteria are governed by whether the SCIF is in the United States or not, according to the following conditions: closed storage, open storage, continuous operations, secure working area. All SCIFs must be accredited by the Senior Official of the Intelligence Community (SOIC) or designee prior to conducting any SCI activities. Any changes, additions, or modifications to an existing SCIF must be done in accordance with the requirements as outlined in ICD 705. Additionally, the CSA or appointed representative shall conduct an inspection of the SCIF. Periodic re-inspections shall be Figure 6-17 — Example of a 20 foot SCIF. Figure 6-18 — Example of a 40 foot SCIF.

6-38 based on threat, physical modifications, sensitivity of programs, and past security performance. Inspections may occur at any time, announced or unannounced. The completed fixed-facility checklist will be reviewed during the inspection to ensure continued compliance. The CSA may require Technical Surveillance Countermeasures (TSCM) evaluations as conditions warrant. Personnel Controls Access Control System This is a system used to identify and/or admit personnel with properly authorized access to a SCIF using physical, electronic, and/or human controls. Access rosters listing all persons authorized access to the facility shall be maintained at the SCIF point of entry. Electronic systems, including coded security identification cards or badges may be used in lieu of security access rosters. Visitor Identification and Control Each SCIF shall have procedures for identification and control of visitors seeking access to the SCIF. Special Access Programs (SAP) in SCIFs SAPs often contain information of the highest sensitivity and SAP managers seek the most secure environment for conducting SAP activities and storing materials. These considerations notwithstanding, SAPs are not normally authorized for operations within SCIFs. The presence of a SAP, especially one which is unrelated to SCI activities, can pose serious concerns with respect to the security management of a SCIF and the protection of the SCI program(s) therein. Entry/Exit Inspections The SSO shall prescribe procedures for inspecting persons, their property and vehicles at the entry or exit points of SCIFs, or at other designated points of entry to the building, facility, or compound. The purpose of the inspection is to deter the unauthorized removal of classified material and deter the introduction of prohibited items or contraband. This shall include determination of whether inspections are randomly conducted or mandatory for all and whether they apply for visitors only or for the entire staff assigned. The facility’s legal counsel should review all personnel inspection procedures prior to promulgation. Control of Electronic Devices The SSO shall ensure procedures are instituted for control of electronic devices and other items introduced into or removed from the SCIF. The following items are allowed in SCIFs: • Electronic calculators • Wristwatches • Data diaries • Receive-only pagers and beepers • Audio and video equipment, with only a “playback” feature (no recording capability) or with the “record” feature disabled/removed, and radios

6-39 Prohibited Items in SCIFs: The following items are prohibited in SCIFs: • Cellular telephones • Two-way pagers • Recording devices • Personal computer equipment • Mp3-players/iPod, iPad • Cameras • Video cameras • Flash memory or other portable data storage devices (unless approved by ISSM/SSO) The prohibition against electronic equipment in SCIFs does not apply to those with disabilities or for medical or health reasons (e.g., motorized wheelchairs, hearing aids, heart pacemakers, amplified telephone headsets, teletypewriters for the hearing impaired). However, the SSO shall establish procedures for notification that such equipment is being entered into the SCIF. Control of Combinations Combinations to locks installed on security containers/safes, perimeter doors, windows, and any other openings should be changed whenever one of the following is applicable: • A combination lock is first installed or used. • A combination has been subjected, or is believed to have been subjected, to compromise. • At other times when considered necessary. All combinations to SCIF entrance doors should be stored in another SCIF of equal or higher accreditation level. When this is not feasible, alternate arrangements will be made in coordination with the SOIC. Withdrawal of Accreditation Termination of Accreditation When it has been determined that a SCIF is no longer required, the SSO will initiate a withdrawal of accreditation action. The SSO will conduct a close out inspection of the facility to ensure removal of all SCI material. Physical Security Construction Policy for SCIFS Physical security criteria are governed by whether the SCIF is located in the U.S. or not, according to the following conditions: closed storage, open storage, continuous operations, and secure working areas. • Closed Storage ◦ Closed storage is the storage of SCI material in properly secured General Services Administration (GSA)-approved security containers within an accredited SCIF.

6-40 • Open Storage ◦ Open storage is the storage of SCI material within a SCIF in any configuration other than within GSA-approved security containers. • Continuous Operation ◦ This condition exists when a SCIF is staffed 24 hours every day. • Secure Working Area ◦ A secure working area is an accredited SCIF used for handling, discussing, and/or processing of SCI but where SCI will not be stored. Temporary Secure Working Area (TSWA) A TSWA is defined as a temporarily accredited facility that is used no more than 40 hours monthly for the handling, discussion, and/or processing of SCI, but where SCI should not be stored. Tactical SCIF A tactical SCIF is an accredited area used for actual or simulated war operations for a specified period of time. Permanent Shipboard SCIF (S/SCIF) This is an area aboard ship where SCI operations, processing, discussion, storage, or destruction takes place. This type S/SCIF is routinely used during deployment and import operations. Temporary Shipboard SCIF (S/SCIF) This is an area aboard ship where temporary SCI operations, processing, discussion, storage, or discussion takes place. Temporary shipboard SCI operations will be limited to a single deployment that will not exceed 12 months, a single mission requiring SCI operations that cannot be defined in length of operational time. Temporary Platforms A mobile or portable SCIF may be temporarily placed aboard a ship. Such platforms will be accredited on a temporary basis for a single deployment mission. VIOLATIONS Whether intentional or not and whether material is compromised or not, the fact that a procedure was not followed or was incorrectly performed and could have caused damage, potentially subjects the person responsible for the compromise to disciplinary action and possible criminal charges. Determining the course of action at the conclusion of a Preliminary Inquiry (PI) following a violation remains the responsibility of the commanding officer, who must carefully consider the circumstances surrounding each loss or compromise, and apply risk management principles in making decisions about the probability of compromise. Safeguarding classified material is a daily priority.

6-41 Security Incidents Loss or Compromise of Classified Material Loss or compromise of classified information presents a threat to the national security. Reports of loss or compromise ensure that such incidents are properly investigated and the necessary actions taken to negate or minimize the adverse effects of the loss or compromise and to preclude recurrence. • A loss of classified information occurs when it cannot be accounted for or physically located. • A compromise is the unauthorized disclosure of classified information to a person(s) who does not have a valid security clearance, authorized access, or need-to-know. • A possible compromise occurs when classified information is not properly controlled. Per SECNAV M-5510.36, electronic spillage occurs when data is placed on an IT system possessing insufficient information security controls to protect the data at the required classification. Electronic spillage resulting in the compromise of classified information is subject to the requirements of chapter 12, SECNAV M-5510.36. Reporting Responsibilities When a loss or compromise of classified information occurs, the cognizant commanding officer or security manager shall immediately initiate a Preliminary Inquiry (PI). If, during the conduct of the PI, it is determined that a loss or compromise of classified information did occur, the local NCIS office will be notified. The contacted NCIS office shall promptly advise whether or not it will open an investigation and shall provide advice and assistance to the PI as necessary. Timely referral to the NCIS is imperative to ensure preservation of evidence for any possible counterintelligence (CI) or criminal investigation. Refer to chapter 12, SECNAV M-5510.36 for PI reporting procedures. Security Access Eligibility Report (SAER) When questionable or unfavorable information becomes available concerning an individual who has been granted access to or who has eligibility to access classified information or is assigned to sensitive duties, commands will report that information to the DODCAF, via JPAS and a SAER. The following must be reported to DODCAF via the SAER: • Involvement in activities or sympathetic association with persons who unlawfully practice or advocate the overthrow or alteration of the U.S. by unconstitutional means • Foreign influence concerns/close personal association with foreign nationals or nations • Foreign monetary interests • Sexual behavior that is criminal or reflects a lack of judgment or discretion • Conduct involving questionable judgment, untrustworthiness, unreliability, or unwillingness to comply with rules and regulations, or unwillingness to cooperate with security clearance processing • Unexplained affluence or excessive indebtedness • Alcohol abuse • Illegal or improper drug use/involvement

6-42 • Apparent mental, emotional, or personality disorder • Criminal conduct • Non-compliance with security requirements • Engagement in outside activities that could cause a conflict of interest • Misuse of IT systems • Non-Judicial Punishment/Courts-Martial When reporting information to the DODCAF, the following pertinent details about each issue should be provided (when the detailed information is available to the command): • Nature and seriousness of the conduct • Circumstances surrounding the conduct • The frequency of the conduct and how recently it occurred • The age of the individual at the time of the conduct • Volunteering or willfulness of the individual’s participation or conduct • The knowledge the individual had of the consequences involved • The motivation for the conduct • How the command became aware of the information • Actions the individual has taken to correct the issue, including medical treatment, counseling, lifestyle changes, or other corrective actions • The stability of the individual’s lifestyle or work performance, including demonstrative examples • Cooperation on the part of the individual in following medical or legal advice or assisting in command efforts to resolve the security issue Input information in JPAS under incident report and mail/fax the original to DODCAF, keeping a copy in the member’s file. Letter of Intent (LOI) An LOI is a notification to the member of DODCAF’s intent to deny/revoke his or her clearance eligibility. On receiving it, DODCAF will evaluate the SAER. If DODCAF needs more information from the member or finds any derogatory information, DODCAF will send an LOI to the service member. The command determines retention of clearance at the time the member is presented the LOI. The member will have an appeal opportunity and be allotted 15 calendar days to respond, with the ability to get 45 additional days, for a total of 60 days. The member’s response will go to DODCAF for a determination of clearance eligibility. Letter of Denial (LOD) If the DODCAF makes an unfavorable determination, it will notify the individual in writing, citing all factors that were successfully mitigated by the individual’s response to the LOI and what unfavorable factor(s) remains to cause the unfavorable determination. The LOD will be sent via the command with a copy to NAVPERSCOM (PERS-483) or HQMC (ARS) for Marine Corps military members and to

6-43 SSO Navy or NETWARCOM (IOD), as appropriate, for SCI access issues. JPAS will reflect the final decision. The LOD will inform the recipient of his/her appeal rights. Upon receipt of the LOD, commands must ensure the individual no longer occupies a sensitive position and has no further access to national security information, as the individual has been determined no longer to meet the requirements for access to national security classified information. Personnel Security Appeals Board (PSAB) The PSAB is a three-member panel appointed by the CNO (N09N2). It reviews and provides the final decisions on appeals of unfavorable DODCAF determinations. An individual has 30 days from receipt of the LOD to submit a written appeal to the PSAB. The PSAB decision is final and concludes the administrative appeals process. Defense Office of Hearings and Appeals (DOHA) Individuals desiring to present a personal appeal before an Administrative Judge (AJ) from the DOHA must request a DOHA hearing within 10 days of receipt of the LOD. The appearance is intended to provide the individual an opportunity to respond personally to DODCAF’s LOD. This gives them a chance to submit supporting documentation to the AJ. DOHA will normally schedule the personal appearance within 30 days. The AJ will then make a recommendation to the PSAB. Debriefings Civilian and military personnel must complete the Security Termination Statement, including senior officials (flag and general officers and senior executive service and equivalent positions), when any of the following events occurs: • Transfers from one command to another • Terminating active military service or civilian employment • Temporarily separating for a period of 60 days or more, including sabbaticals, leave without pay status, or transfer to the Inactive Ready Reserves (IRR) • Expiration of a Limited Access Authorization (LAA) • Inadvertent substantive access to information the individual is not eligible to receive • Security clearance revocation • Administrative withdrawal or suspension of security clearance and SCI access eligibility for cause; refer to Chapter 9 of SECNAV M-5510.30 for additional information A debriefing will be given to individuals who no longer require access to classified information as a result of these events. Debriefings must include the following: • All classified material in individuals’ possession must be returned. • Individuals are no longer eligible for access to classified information. • Reminder of the provisions of the SF 312 (Figures 6-3 and 6-4) to never divulge classified information, verbally or in writing, to unauthorized personnel or in judicial, quasi-judicial, or in administrative proceedings without first receiving written permission of CNO (N09N2).

6-44 Review and acknowledge sections 793, 794, and 798 of Title 18 U.S.C and section 783 of Title 50 U.S.C. • There are severe penalties for disclosure. • The individual must report to the NCIS (or to the FBI or nearest DoD component if no longer affiliated with the DON), without delay, any attempt by an unauthorized person to solicit classified information. • As part of a debriefing, individuals will be required to read the provisions of the Espionage Act and other criminal statutes. If individuals are retiring from active service and will be entitled to receive retirement pay, they must be advised that they remain subject to the Uniform Code of Military Justice (UCMJ). • As part of every debriefing, except when individuals transfer from one command to another command, a Security Termination Statement is required. Once an official has completed a security termination statement, the witness to the signature must sign the security termination statement. If someone refuses to complete the security termination statement, the debriefing will still be administered before a witness if possible, stressing the fact that refusal to sign the security termination statement does not change the individual’s obligation to protect classified information from unauthorized disclosure. The statement will be annotated to show the identity and signature of the witness, (if one was present) and that the individual was debriefed, but refused to sign. A copy will be forwarded to CNO (N09N2). Failure to execute the statement is reported immediately to the Deputy Under Secretary of Defense for Policy via CNO (N09N2). When the action described above is accomplished, the security termination statement becomes part of the individual’s ESR. The original security termination statement will be placed in the individual’s ESR/OMPF for permanent retention except in the following cases: • When the security clearance of a Marine has been revoked for cause, the original is forwarded to the Commandant of the Marine Corps (CMC) as an enclosure to the revocation letter and a copy is placed in the ESR • When the security termination statement has been executed at the conclusion of an LAA, the original is retained in the command files for two years A security termination statement is not executed when a member is being transferred from one command to another. A debriefing is given and the member is told all classified material must be returned. Any material personally compiled, such as classified notes or notebooks, for which the member has a legitimate need at the new command, will be forwarded through official channels. SUMMARY In this chapter we discussed the methods for processing personnel security clearances and classified material control. This area is of extreme importance to the safeguarding of classified material and, consequently, to the safety of your unit and to the country. The best means of protecting our country’s interests is to ensure only qualified personnel are given access through a valid investigative process. The Department of the Navy (DON) Information Security Program (ISP) Manual SECNAV M-5510.36, Department of the Navy (DON) Personnel Security Program (PSP) Manual SECNAV M-5510.30, and The Department of Defense Sensitive Compartmented Information Administrative Security Manual DoDM 5105.21-V1 provide detailed information, such as specific preparation requirements for reports and visit requests. YNs, no matter what their rank, should become familiar with the contents and use of these extremely important instructions.

6-45 End of Chapter 6 Security Review Questions 6-1. Who is responsible for establishing and maintaining an Information Security Program and Personnel Security Program? A. SECNAV B. OPNAV C. SECDEF D. CJCS 6-2. Who is the personnel security adjudicative determination authority for the Department of the Navy personnel? A. OPM B. DODCAF C. AFCAF D. Security manager 6-3. Who will be afforded direct access to the commanding officer to ensure effective management of the command’s security program? A. Admin officer B. Executive officer C. Security manager D. Security representative 6-4. For Navy personnel, who should receive a copy of the security manager’s designation letter? A. CNO (N09N2) B. OPM C. DODCAF D. NCIS 6-5. What directive(s) provide the basis of the Navy’s program for safeguarding classified information? A. SECNAV M-5510.36 and SECNAV M-5510.30 B. SECNAV M-5510.32 and SECNAV M-5516.30 C. SECNAVINST 5501.25 and SECNAVINST 5510.22 D. SECNAVINST 5510.36 and SECNAVINST 5510.30

6-46 6-6. Who assists commands with queries regarding the status of personnel security investigations at the Office of Personnel Management (OPM) issuing Letters of Intent (LOI) and Letters of Notification (LON)? A. DON B. OPM C. DODCAF D. NCIS 6-7. The Classified Information Non-disclosure Agreement (NDA) is maintained for how many years from the date of signature? A. 75 years B. 65 years C. 70 years D. 50 years 6-8. What form is a written legally binding statement? A. SF-312 B. SF-700 C. Form 4414 D. SF-701 6-9. How often should personnel having access to classified information receive a refresher briefing? A. Monthly B. Quarterly C. Semiannually D. Annually 6-10. What is the DoD’s personal security clearance and access database? A. DEERS B. DCII C. JPAS D. OPM 6-11. What form is used to ensure all areas that process classified information are properly secured? A. SF 700 B. SF 701 C. DD 312 D. Form 4414 6-12. How many user levels are there in JPAS? A. Eight B. Ten C. Four D. Nine

6-47 6-13. What item is prohibited in a SCIF? A. Electronic calculators B. Personal camera C. Heart pacemaker D. Radio 6-14. What authority is authorized to grant, deny, or revoke security clearances for all Department of the Navy personnel? A. OPNAV B. SECNAV C. BUPERS D. DODCAF 6-15. The disclosure of information that could cause exceptionally grave damage to national security should carry what classification? A. Secret B. Top Secret C. Confidential D. Guarded

6-48 RATE TRAINING MANUAL – USER UPDATE CSS makes every effort to keep their manuals up-to-date and free of technical errors. We appreciate your help in this process. If you have an idea for improving this manual, or if you find an error, a typographical mistake, or an inaccuracy in CSS manuals, please write or e-mail us, using this form or a photocopy. Be sure to include the exact chapter number, topic, detailed description, and correction, if applicable. Your input will be brought to the attention of the Technical Review Committee. Thank you for your assistance. Write: CSS Rate Training Manager 1183 Cushing Road Newport, RI 02841 E-mail: Refer to My Navy Portal (MNP) CSS Web page for current contact information. Rate ____ Course Name _____________________________________________ Revision Date __________ Chapter Number____ Page Number(s) ____________ Description _______________________________________________________ ________ _______________________________________________________ ________ _______________________________________________________ ________ (Optional) Correction _______________________________________________________ ________ _______________________________________________________ ________ _______________________________________________________ ________ (Optional) Your Name and Address _______________________________________________________ ________ _______________________________________________________ ________ _______________________________________________________ ________

AI-1 APPENDIX I ACRONYMS USED IN THIS RTM ADL Active Duty List ADSD Active Duty Service Date ADSW Active Duty for Special Work ADT Active Duty for Training AIMD Aircraft Intermediate Maintenance Department AJ Administrative Judge AMD Activity Manpower Document APS Awards Processing System ASV AB Armed Services Vocational Aptitude Battery AT Annual Training ATM Automated Teller Machine BA Billets Authorized BAH Basic Allowance for Housing BAS Basic Allowance for Subsistence CAC Common Access Card CACO Casualty Assistance Calls Officer CANTRAC Catalog of Navy Training Courses CBA Centrally Billed Accounts CHIEFEV AL Chief Evaluation CHNA VPERS Chief of Naval Personnel CLEP College Level Examination Program CMC Commandant of the Marine Corps CMS/ID Career Management System/Interactive Detailing CNO Chief of Naval Operations CNP Chief of Naval Personnel CO Commanding Officer CONF Confinement CONUS Continental United States

AI-2 CoS Chief of Staf f CREO Career Reenlistment Objective CS Culinary Specialist CSA Cognizant Security Authority CSD Customer Service Desk CTO Commercial T ravel Office CVW Carrier Air Wing DCS Defense Courier Service DEERS Defense Enrollment Eligibility Reporting System DF AS Defense Finance and Accounting Service DF AS-CL Defense Finance and Accounting Service-Cleveland DLAB Defense Language Aptitude Battery DMRS Diary Message Reporting System DMRSMAN Diary Message Reporting System User ’s Manual DNEC Distributed Navy Enlisted Classification DNI Director of National Intelligence DNS Director Navy Staf f DoD Department of Defense DoDCAF Department of Defense Central Adjudication Facility DoDFMR Department of Defense Financial Management Regulation DOHA Defense Department of Hearings and Appeals DON Department of the Navy DONCAF Department of the Navy Central Adjudication Facility DSS Defense Security Service DTMO Defense T ravel Management Office DTOD Defense T able of Official Distances DTS Defense Travel System DUSTWUN Duty Status Whereabouts Unknown DV Distinguished V isitor DV A Department of V eteran Affairs EA Executive Assistant

AI-3 EAOS Expiration of Obligated Service EDVR Enlisted Distribution Verification Report EMR Enlisted Master Record EPL Evaluated Products Listing EPMAC Enlisted Personnel Management Center EREN Expiration of Reserve Enlistment ESO Educational Services Officer ESR Electronic Service Record EVAL Evaluation FBI Federal Bureau of Investigation FITREP Fitness Report FORMAN Force Management FRC Federal Records Center FSA Family Separation Allowance FTS Full-T ime Support GCM General Court-Martial or Good Conduct Medal GSA General Services Administration GTR Government Transportation Request HOR Home of Record HOS Home of Selection HYT High Year Tenure IA Individual Augmentee IBA Individual Billed Accounts IC Intelligence Community ICB Information Collection Budget ICD Intelligence Community Directive IDT Inactive Duty for Training IRR Individual Ready Reserve ISIC Immediate Superior in Command ISP Information Security Program IT Information Technology

AI-4 ITEMPO Indivdual Personnel TEMPO JAGMAN Manual of the Judge Advocate General JAMS Joint Adjudication Management System JCAVS Joint Clearance and Access Verification System JFTR Joint Federal Travel Regulations JPAS Joint Personnel Adjudication System JWICS Joint Worldwide Intelligence Communication System LAA Limited Access Authorization LDO Limited Duty Officer LES Leave and Earning Statement LN Legalman LOD Letter of Denial or Line of Duty (investigation) LOI Letter of Intent LPO Leading Petty Officer LYN Submarine Leading Yeoman M&IE Meals and Incidental Expenses MAC Military Airlift Command MALT Monetary Allowance in Lieu of Transportation MAPTIS Manpower, Personnel, and Training Information System MCA Manning Control Authority MCM Manual for Courts-Martial MEPS Military Entrance Processing Station MFT Mission, Functions, and Tasks MILPERSMAN Naval Military Personnel Manual MNP My Navy Portal MSO Military Service Obligation NACLC/NCL National Agency Check with Local Agency Checks and Credit Check NARA National Archives and Records Administration NAVADMIN Naval Administrative (Message) NAVPTO Navy Passenger Transportation Office NDA Nondisclosure Agreement

AI-5 NDAWS Navy Department Awards Web Service NDBDM Navy Department Board of Decorations and Medals NEC Navy Enlisted Classification NFQT Nuclear Field Qualification Test NJP Non-Judicial Punishment NKO Navy Knowledge Online NMP Navy Manning Plan NOB Not Observed NOK Next of Kin NOOCS Navy Officer Occupational Classification System NPC Navy Personnel Command NPPSC Navy Pay and Personnel Support Center NSA National Security Agency NSIPS Navy Standard Integrated Personnel System NTE Not to Exceed OCCSTD Occupational Standards OCONUS Outside Continental United States ODC Officer Data Card ODCR Officer Distribution Control Report OEGCMJ Officer Exercising General Court-Martial Jurisdiction OF Optional Form OIC Officer in Charge OMB Office of Management and Budget OMPF Official Military Personnel File OOD Officer of the Deck OPINS Officer Personnel Information System OPM Office of Personnel Management OT One Time OTH Other Than Honorable PASS Pay/Personnel Administrative Support System PC Personal Computer

AI-6 PCDMRS Personal Computer Diary Message Reporting System PCP Passenger Control Point PCS Permanent Change of Station PDS Practices Dangerous to Security PDS Permanent Duty Station PEBD Pay Entry Base Date PERSO Personnel Officer PFA Physical Fitness Assessment PID Personnel Identification Data PII Personally Identifiable Information PIM Performance Information Memorandum PIO Preliminary Inquiry Officer PIR Preliminary Inquiry Report PLA Plain Language Address PLEAD Place Entered Active Duty PNOK Primary Next of Kin POB Projected on Board POD Plan of the Day PPSUIC Pay and Personnel Support Unit Identification Code PQCS Public Quarters Culinary Specialist PQS Personnel Qualification Standard PRD Planned Rotation Date PRECERT Pre Certification PRP Personnel Reliability Program PSAB Personnel Security Appeals Board PSD Personnel Support Detachment PSI Personnel Security Investigation PSP Personnel Security Program RADO Reserve Active Duty Obligation R.C.M. Rules for Courts-Martial RCS Report Control Symbol

AI-7 ROC/POE Required Operational Capability/Projected Operational Environment SAER Security Access Eligibility Report SALTS Streamlined Automated Logistics Tool Set SAP Special Access Program SCI Sensitive Compartmented Information SCIF Sensitive Compartmented Information Facility SCM Summary Court-Martial SDAP Special Duty Assignment Pay SDS Source Data System SEAOPDET Sea Operational Detachment SECNAV Secretary of the Navy SEQ Sequence SKMC Sickness Resulting from Misconduct SMD/FMDS Ship Manpower Documents/Fleet Manpower Documents SMRDP Shore Manpower Requirements Determination Program SOA Summary of Action SOIC Senior Official of the Intelligence Community SORM Standard Organization and Regulations Manual SPCM Special Court-Martial SPCMCA Special Court-Martial Convening Authority SQMDS Squadron Manpower Documents SRB Selective Reenlistment Bonus SSBI Single-Scope Background Investigation SSIC Standard Subject Identification Code SSO Special Security Officer SSR Special Security Representative TAC Transaction Code TADTAR Temporary Additional Duty Target TDRL Temporary Disability Retirement List TDY Temporary Duty TIR Time in Rate

AI-8 TSCM Technical Surveillance Countermeasures TSWA Temporary Secure Work Area UA Unauthorized Absence UCMJ Uniform Code of Military Justice UIC Unit Identification Code UPB Unit Punishment Book USC United States Code USPS United Stated Post Office XO Executive Officer XOI Executive Officer’s Inquiry YN Yeoman

AII-1 APPENDIX II REFERENCES USED TO DEVELOP THE RTM Chapter 1 Administrative Procedures for Navy Reserve Personnel, BUPERSINST 1001.39F CH-1, Bureau of Naval Personnel, Millington, TN, May 2013. Department of the Navy Correspondence Manual, SECNAV M-5216.5, Office of the Secretary of the Navy, Washington, DC, June 2015. Department of the Navy Information Security Program, SECNAV M-5510.36, Office of the Secretary of the Navy, Washington, DC, June 2006. Department of the Navy Privacy Program, SECNAVINST 5211.5E, Office of the Secretary of the Navy, Washington, DC, December 2005. Manual of Navy Enlisted Manpower and Personnel Classifications and Occupational Standards, NAVPERS 18068F, Bureau of Naval Personnel, Millington, TN, April 2016. Navy Customer Service Manual, Naval Education and Training, NAVEDTRA 14056A, Center for Service Support, Newport, RI, July 2015. Navy Directives Management Program, OPNAVINST 5215.17A, Office of the Chief of Naval Operations, Washington, DC, May 2016. Standard Navy Distribution List (SNDL), OPNAVINST 5400.45, Office of the Chief of Naval Operations, Washington, DC, August 2016. Standard Organization and Regulations of the U.S. Navy, OPNAVINST 3120.32D, Office of the Chief of Naval Operations, Washington, DC, July 2012. Standard Subject Identification Code (SSIC) Manual, SECNAV M-5210.2, Office of the Secretary of the Navy, Washington, DC, July 2012. NOTE Although the following references were current when this NRTC was published, their continued currency cannot be assured. When consulting these references, keep in mind that they may have been revised to reflect new technology or revised methods, practices or procedures; therefore, you need to ensure that you are studying the latest references. If you find an incorrect or obsolete reference, please use the Rate Training Manual User Update Form, provided at the end of each chapter to contact the CSS Rate Training Manger.

AII-2 Chapter 2 Department of the Navy Correspondence Manual, SECNAV M-5216.5, Office of the Secretary of the Navy, Washington, DC, June 2015. Department of the Navy Information Security Program, SECNAV M-5510.36, Office of the Secretary of the Navy, Washington, DC, June 2006. Department of the Navy Records Management Program, Records Management Manual, SECNAV M-5210.1, Office of the Secretary of the Navy, Washington, DC, May 2012. Navy and Marine Corps Awards Manual, SECNAVINST 1650.1H, Office of the Secretary of the Navy, Washington, DC, August 2006. Navy Performance Evaluation System, BUPERSINST 1610.10D, Bureau of Naval Personnel, Millington, TN, February 2016. Standard Organization and Regulations of the U.S. Navy, OPNAVINST 3120.32D, Office of the Chief of Naval Operations, Washington, DC, July 2012. Standard Subject Identification Code (SSIC) Manual, SECNAV M-5210.2, Office of the Secretary of the Navy, Washington, DC, July 2012. Chapter 3 Advancement Manual for Enlisted Personnel in the U.S. Navy and U.S. Navy Reserve, BUPERSINST 1430.16F, Office of the Chief of Naval Personnel, Arlington, VA, May 2014. Document Submission Guidelines for the Electronic Military Personnel Records System, BUPERSINST 1070.27C, Bureau of Naval Personnel, Millington, TN, November 2010. Financial Management Regulation, DoD 7000.14-R, Department of Defense, Washington, DC, June 2011. Leave and Liberty Policy and Procedures, DoDI 1327.06, Department of Defense, Washington, DC, May 2016. Manual for Courts-Martial (2012 Edition), Joint Service Committee on Military Justice. Naval Military Personnel Manual, NAVPERS 15560D, Bureau of Naval Personnel, Millington, TN. Navy and Marine Corps Awards Manual, SECNAVINST 1650.1H, Office of the Secretary of the Navy, Washington, DC, August 2006. Navy Performance Evaluation System, BUPERSINST 1610.10D, Bureau of Naval Personnel, Millington, TN, February 2016. Pay/Personnel Administrative Support System Management Manual, OPNAVINST 1000.23C, Office of the Chief of Naval Operations, Washington, DC, June 2011. The Joint Travel Regulations, Uniformed Service Members and DOD Civilian Employees, The Per Diem, Travel and Transportation Allowance Committee, Department of Defense, Alexandria, VA, October 2014.

AII-3 Chapter 4 United States Navy Regulations, Department of the Navy, Washington, DC, 1990. Manual for Courts-Martial (2012 Edition), Joint Service Committee on Military Justice. Manual of the Judge Advocate General, JAGINST 5800.7F, Office of the Judge Advocate General, Washington Navy Yard, DC, June 2012. Department of the Navy Corrections Manual, SECNAVINST 1640.9C, Office of the Secretary of the Navy, Washington, DC, January 2006. Standard Organization and Regulations of the U.S. Navy, OPNAVINST 3120.32D, Office of the Chief of Naval Operations, Washington, DC, July 2012. Naval Military Personnel Manual, NAVPERS 15560D, Bureau of Naval Personnel, Millington, TN. Chapter 5 DoD Foreign Clearance Program (FCP), DoDD 4500.54E, Department of Defense, Washington, DC, December 2009. Financial Management Regulation, DoD 7000.14-R, Department of Defense, Washington, DC, June 2011. Navy Passenger Travel, OPNAVINST 4650.15B, Office of the Chief of Naval Operations, Washington, DC, September 2014. Pay/Personnel Administrative Support System Management Manual, OPNAVINST 1000.23C, Office of the Chief of Naval Operations, Washington, DC, June 2011. The Joint Travel Regulations, Uniformed Service Members and DOD Civilian Employees, The Per Diem, Travel and Transportation Allowance Committee, Department of Defense, Alexandria, VA, October 2014. Chapter 6 Defense Courier Operations (DCO), DoDI 5200.33, Department of Defense, Washington, DC, June 2011. Department of the Navy Correspondence Manual, SECNAV M-5216.5, Office of the Secretary of the Navy, Washington, DC, June 2015. Department of the Navy Information Security Program, SECNAV M-5510.36, Office of the Secretary of the Navy, Washington, DC, June 2006. Department of the Navy Personnel Security Program, SECNAV M-5510.30, Office of the Secretary of the Navy, Washington, DC, June 2006. Department of the Navy Security Classification Guides, OPNAVINST 5513.1F, Office of the Chief of Naval Operations, Washington, DC, December 2005. DoD Foreign Clearance Program (FCP), DoDD 4500.54E, Department of Defense, Washington, DC, December 2009.

AII-4 Sensitive Compartmented Information (SCI) Administrative Manual: Administration of Information and Information Systems Security, DoDM 5105.21-V1, Department of Defense, Washington, DC, October 2012. Standard Navy Distribution List (SNDL), OPNAVINST 5400.45, Office of the Chief of Naval Operations, Washington, DC, August 2016. Standard Subject Identification Code (SSIC) Manual, SECNAV M-5210.2, Office of the Secretary of the Navy, Washington, DC, July 2012.

AIII-1

APPENDIX III Answers to End of Chapter Questions Chapter 1 ─ Navy Yeoman

1-1. D 1-2. B 1-3. B 1-4. C 1-5. B 1-6. A 1-7. C 1-8. B 1-9. D 1-10. A 1-11. C 1-12. A 1-13. D 1-14. C 1-15. A 1-16. C 1-17. A 1-18. C 1-19. C 1-20. D 1-21. C 1-22. C 1-23. A 1-24. B 1-25. C 1-26. B 1-27. B 1-28. C 1-29. A 1-30. D 1-31. C 1-32. B 1-33. A 1-34. A 1-35. A

Chapter 2 ─ Technical Administration

2-1. A 2-2. B 2-3. D 2-4. B 2-5. D 2-6. D 2-7. A 2-8. B 2-9. A 2-10. C 2-11. D 2-12. C 2-13. A 2-14. D 2-15. C 2-16. A 2-17. D 2-18. B 2-19. C 2-20. A 2-21. D

AIII-2 Chapter 3 ─ Command Pay and Personnel Administrator (CPPA) 3-1. C 3-2. A 3-3. D 3-4. A 3-5. B 3-6. A 3-7. A 3-8. A 3-9. C 3-10. B 3-11. C 3-12. C 3-13. C 3-14. D 3-15. C Chapter 4 ─ Legal 4-1. B 4-2. A 4-3. B 4-4. C 4-5. A 4-6. C 4-7. B 4-8. A 4-9. A 4-10. A 4-11. B 4-12. B 4-13. C 4-14. C 4-15. C 4-16. D 4-17. A Chapter 5 ─ Travel 5-1. C 5-2. C 5-3. B 5-4. D 5-5. C 5-6. A 5-7. D 5-8. C 5-9. B 5-10. A 5-11. A

AIII-3 Chapter 6 ─ Security 6-1. A 6-2. B 6-3. C 6-4. A 6-5. A 6-6. C 6-7. C 6-8. C 6-9. D 6-10. C 6-11. B 6-12. D 6-13. B 6-14. D 6-15. A

End of Book Questions Chapter 1 Navy Yeoman

1-1. Which of the following websites provides information on storing personally identifiable information?

A. www.chinfo.navy.mil B. www.navfac.navy.mil C. www.donpii.navy.mil D. www.doncio.navy.mil

1-2. What method should be followed when frequently used forms are filed in slanted trays?

A. Frequently used in back B. Frequently used in front C. Least used in front D. File in another tray

1-3. What environmental factor should be considered to arrange desks in an office?

A. Proximity to a door B. Access to light C. Aesthetic appeal D. Access to filing cabinets

1-4. What Secretary of the Navy Manual provides information on Standard Subject Identification Code?

A. 5010.2 B. 5110.2 C. 5210.2 D. 5310.2

1-5. What Standard Subject Identification Code encompasses operations and readiness topics?

A. 2000 B. 3000 C. 4000 D. 5000

1-6. What Standard Subject Identification Code encompasses ordnance material topics?

A. 6000 B. 7000 C. 8000 D. 9000

1-7. What article of the Standard Organization and Regulations of the Navy contains information on the control of mail?

A. 6.2.5 B. 6.4.5 C. 6.6.5 D. 6.8.5

1-8. What critical attribute is best described as planning out each day as much as possible?

A. Expectations B. Prioritization C. Preparation D. Punctuality

1-9. What critical attribute is best described as being at the appointed place of duty, on time, and ready to work?

A. Expectations B. Prioritization C. Preparation D. Punctuality

1-10. What role in an administration office can be described as providing the best customer service, regardless of whether you were able to comply with the customer’s request?

A. Role of the customer B. Improving your contact skills C. The customer’s first impression D. Recognizing the customer’s needs

1-11. What role in an administration office can be described as recognizing that different personnel have different needs?

A. Role of the customer B. Improving your contact skills C. The customer’s first impression D. Recognizing the customer’ needs

1-12. Which of the following Navy ratings is more likely to provide direct customer support of a daily basis?

A. Aviation electronics technician B. Damage controlman C. Operations specialist D. Hospital corpsman

1-13. What yeoman school provides the operating forces with personnel capable of performing entry-level administrative tasks?

A. A B. B C. C D. F

1-14. What yeoman school provides a pool of qualified Sailors to serve on the staff of flag officers, general officers, and senior executive service personnel?

A. A B. B C. C D. F

1-15. What yeoman school is designed to provide senior administrative personnel with management knowledge?

A. A B. B C. C D. F

1-16. A special security assistant is assigned what Navy Enlisted Classification?

A. 2514 B. 8800 C. 9190 D. 9556

1-17. A security specialist is assigned what Navy Enlisted Classification?

A. 2514 B. 8800 C. 9190 D. 9556

1-18. A flag officer writer is assigned what Navy Enlisted Classification?

A. 2514 B. 8800 C. 9190 D. 9556

1-19. What Commander, Naval Reserve Forces Instruction provides the policy and guidance for administering Navy Reserve personnel NOT on full-time active duty orders?

A. 1000.5 B. 1001.5 C. 1002.5 D. 1003.5

1-20. A ship’s secretary acts as a personal secretary for what officer on board a ship or submarine?

A. Administrative B. Personnel C. Executive D. Commanding

1-21. What officer on board smaller ships is responsible for the management of the ship’s office?

A. Administrative B. Personnel C. Executive D. Commanding

1-22. What factor of a command normally determines the manning of an administrative office?

A. Size B. Mission C. Composition D. Arrangement

1-23. What flag officer front office staff member acts as the prioritizer of the front office team?

A. Flag aide B. Flag writer C. Chief of staff D. Executive assistant

1-24. What flag officer front staff member proofs and drafts personal correspondence?

A. Flag aide B. Flag writer C. Chief of staff D. Executive assistant

1-25. What flag officer front staff member coordinates and schedules meetings?

A. Flag aide B. Flag writer C. Chief of staff D. Executive assistant

1-26. What term is defined as a code of established guidelines on proper etiquette and precedence?

A. Protocol B. Primacy C. Principle D. Precedence

1-27. Diplomatic precedence is the result of what type of agreement?

A. United B. National C. Bilateral D. International

1-28. What type of event is considered the most popular form of entertaining?

A. Reception B. Cocktail party C. Formal dinner D. Official luncheon

1-29. What type of ship’s ceremony is normally a somber occasion and is far less elaborate than other ceremonies?

A. Keel-laying B. Christening C. Commissioning D. Decommissioning

1-30. What annex of the Social Usage and Protocol Handbook provides a detailed checklist for change of command ceremonies?

A. H B. I C. J D. K

1-31. What Secretary of the Navy Instruction governs the Navy and Marine Corps officer promotion boards?

A. 1400.1 B. 1401.3 C. 1412.9 D. 1420.1

1-32. What total number of months must an ensign serve in his or her current paygrade to be eligible for promotion to the next higher paygrade?

A. 12 B. 16 C. 18 D. 24

1-33. What type of message is used to inform officers of their official promotion information?

A. All Navy B. All Marine Corps C. Naval Administrative D. Secretary of the Navy

1-34. What Secretary of the Navy Instruction is used as a reference for the promotions of chief warrant officers?

A. 1412.8 B. 1412.9 C. 1412.10 D. 1412.11

1-35. What section of the Military Personnel Manual provides information on the procedures to follow for officers in and above zone who fail to select for promotion?

A. 1420-020 B. 1420-030 C. 1420-040 D. 1420-050

End of Book Questions Chapter 2 Technical Administration

2-1. What type of letter is used when two or more commands wish to issue information establishing an agreement or discussing a matter of mutual concern?

A. Endorsement letter B. Joint letter C. Letter of agreement D. Multiple-address letter

2-2. What type of correspondence is an informal way to correspond within an activity or between several activities?

A. Award B. Business letter C. Memorandum D. Standard letter

2-3. Which of the following memorandums is used as internal document to record supporting information in the record that is not recorded elsewhere?

A. Letterhead memorandum B. Memorandum of agreement or understanding C. Memorandum for the record D. Plain-paper memorandum

2-4. What letter can be used for correspondence between individuals within the Department of Defense when the occasion calls for a personal approach?

A. Business B. Endorsement C. Joint D. Standard

2-5. How many awards can be awarded for the same act, achievement, or period of meritorious service for an individual or unit?

A. One B. Two C. Three D. Five

2-6. Who maintains the master list of personnel and unit military decorations for the Marine Corps?

A. CNO (DNS-35) B. CMC (MMMA) C. CMC (DNS-35) D. CMC (MAMA)

2-7. What is the recommended timeframe to submit a personal award recommendation?

A. To final awarding authority at least 30 days prior to presentation date B. To Admin Department at least 30 days prior to presentation date C. To Admin Department at least 60 days prior to presentation date D. To final awarding authority at least 60 days prior to presentation date

2-8. What form is used to complete unit award submissions?

A. OPNAV 1650/3 B. OPNAV 1650/14 C. SECNAV 1650/3 D. SECNAV 1650/14

2-9. Which Navy Personnel form is used for Evaluations E1 to E6?

A. NAVPERS 1610/10 B. NAVPERS 1616/27 C. NAVPERS 1610/2 D. NAVPERS 1616/26

2-10. Which NAVPERS form is used for Evaluations E7 to E9?

A. NAVPERS 1610/10 B. NAVPERS 1616/27 C. NAVPERS 1610/2 D. NAVPERS 1616/26

2-11. Which NAVPERS form is used for Fitness Reports W2 to 0-6?

A. NAVPERS 1610/10 B. NAVPERS 1616/27 C. NAVPERS 1610/2 D. NAVPERS 1616/26

2-12. Distribution of completed reports is based on what factor?

A. Guidance found in the reports tickler B. Date and time C. Need to know D. Subject and date

2-13. What type of report is not subject to reports documentation and symbolization procedures?

A. Computer-generated B. Exempt C. Licensed D. Unlicensed

2-14. What type of report remains within one organization for its own use?

A. Exempt B. Internal C. Licensed D. Unlicensed

2-15. What type of report is justified by the originator, reviewed and approved by the Reports Control Manager, and assigned a report control symbol or an exemption?

A. Exempt B. Internal C. Licensed D. Unlicensed

2-16. The Records of Disposal Act was established in what year?

A. 1901 B. 1943 C. 1950 D. 1987

2-17. What directive establishes the policies and procedures for life-cycle management of records?

A. SECDEF M-5210.1 B. OPNAVINST M 5210.1(series) C. DODINST M-5210.1 D. SECNAV M-5210.1

2-18. What does the acronym NARA stand for?

A. National Archive Records Access B. Navy Archive Records Access C. Navy Archive Records Administration D. National Archives and Records Administration

2-19. Who is authorized to establish, maintain, and operate records centers for Federal agencies?

A. Federal Records Center B. National Archives and Records Administration C. Chief of Naval Operations D. Secretary of the Navy

2-20. How long can records be withdrawn from the National Archives and Records Administration for reference?

A. 15 day loan basis B. 30 day loan basis C. 45 day loan basis D. 60 day loan basis

2-21. What are the carton regulations when shipping records?

A. Standard cartons available at your local Staples store B. Standard cartons available through General Services Administration (GSA) C. Boxes stored in the commands Supply department D. Envelopes large enough to fit records

2-22. What form is used to request access to records from the FRC?

A. NAVPERS 1131/5 B. Optional Form (OF) 11 C. Standard Form (SF) 11 D. Standard Form (SF) 35

2-23. When are muster reports turned in to the Ship’s Office or admin officer?

A. At the beginning of each work day B. At the end of each work day C. Prior to 1600 of the report day D. Prior to 1600 of the day before

End of Book Questions Chapter 3 Command Pay and Personnel Administrator (CPAA)

3-1. Which of the following systems is an online program that allows CPAAs to submit pay and personnel documents?

A. ESR B. NSIPS C. OMPF D. TOPS

3-2. Which of the following items is maintained within the Navy Standard Integrated Personnel System (NSIPS)?

A. ESR B. NDAWS C. OMPF D. TOPS

3-3. For what maximum number of days do transactions stay open in Transaction Online Processing System (TOPS)?

A. 7 B. 14 C. 30 D. 60

3-4. What form in the Electronic Service Record is used to maintain training, education, and qualification history?

A. NAVPERS 1070/880 B. NAVPERS 1070/881 C. NAVPERS 1070/602 D. NAVPERS 1070/605

3-5. Who establishes the criteria by which the Navy and Marine Corps may allow voluntary officer and enlisted separations?

A. Vice President of the United States B. Chief Naval Operations C. Secretary of the Navy D. Chief of Naval Personnel

3-6. How many types of termination are presently authorized by law for an officer?

A. Six B. Four C. Five D. Three

3-7. Which of the following items is NOT a reason for an officer termination?

A. Acceptance of resignation B. Separation for cause C. Revocation of commission D. Separation due to pregnancy

3-8. Which of the following commands is the issuing authority for officer separation orders?

A. OPNAV B. JCS C. SECNAV D. BUPERS

3-9. What is the minimum number of years a service member must serve on active duty to be eligible to submit a Fleet Reserve request?

A. 15 B. 19 C. 27 D. 20

3-10. Where are PCS orders originated?

A. Command B. OPNAV C. SECNAV D. BUPERS

3-11. How many times a year is the E7 examination given?

A. One B. Two C. Three D. Four

3-12. What is the maximum number of days authorized for adoption leave?

A. 25 B. 22 C. 21 D. 24

3-13. Which of the following types of leave will never get charged to the member?

A. Earned B. Advance C. Emergency D. Convalescent

3-14. How many times a year is the E4 through E6 examination given?

A. One B. Two C. Three D. Four

3-15. During what month is the E7 examination given?

A. January B. February C. March D. September

3-16. During which of the following months is the E4 through E6 examination given?

A. January B. February C. March D. October

End of Book Questions Chapter 4 Legal

4-1. The results of NJP may be published in the plan of the day not later than how many months after the imposition of NJP?

A. One B. Two C. Three D. Six

4-2. An appeal to Non-Judicial Punishment (NJP) must be submitted in writing within how many working days following the imposition of NJP?

A. Five B. Seven C. Ten D. Twelve

4-3. What type of mast is used to speak directly to the service member’s commanding officer?

A. Disciplinary B. Meritorious C. Punitive D. Request

4-4. What article of the Uniform Code of Military Justice gives a commanding officer the authority to impose Non-Judicial Punishment (NJP)?

A. 11 B. 12 C. 15 D. 17

4-5. Who is responsible for the administration, supervision, collection, storage, and release of investigations conducted by administrative fact-finding bodies?

A. Commanding officer B. Executive officer C. Preliminary inquiry officer D. Judge Advocate General

4-6. What is the primary function of an administrative fact-finding body?

A. To develop, assemble, analyze, and record all available information about the matter under investigation B. To provide evidence to the court and record all witnesses C. To ensure that Article 31 rights have been managed properly D. To provide the commanding officer with facts, witnesses, and proof finding the suspect guilty

4-7. What type of court is used as a hearing procedure and should be reserved for the investigation of major incidents?

A. Court of autopsy B. Court of inquiry C. General court-martial D. Special court-martial

4-8. In cases of death, who determines eligibility for payment of certain Federal benefits that may be due to survivors?

A. Department of Defense B. Defense Finance and Accounting Services C. Department of the Navy D. Department of Veterans Affairs

4-9. What Department of Defense Form number is the Deserter/Absentee Wanted by the Armed Forces?

A. 458 B. 553 C. 1070/606 D. 1070/607

4-10. What Navy Personnel form must be prepared if a service member has been absent over 24 hours?

A. Administrative Remarks, NAVPERS 1050/610 B. Administrative Remarks, NAVPERS 1070/613 C. Record of Authorized Absence, NAVPERS 1050/605 D. Record of Unauthorized Absence, NAVPERS 1070/606

4-11. What Navy Personnel form must be prepared if a service member has been absent less 24 hours?

A. Administrative Notes, NAVPERS 1050/610 B. Administrative Remarks, NAVPERS 1070/613 C. Record of Unauthorized Absence, NAVPERS 1050/605 D. Record of Unauthorized Absence, NAVPERS 1070/606

4-12. Who is responsible for coordinating the apprehension and return of deserters from civil law enforcement authorities?

A. Base Security B. Command Master-at-Arms C. Navy Absentee without Leave Center D. Navy Absentee Collection and Information Center

4-13. What NAVPERS form is known as the Report and Disposition of Offense(s)?

A. 553 B. 1070/7 C. 1626/7 D. 5800

4-14. What section of the Department of Defense Form 458 identifies the accused?

A. I B. II C. III D. IV

4-15. What section of the Department of Defense Form 458 pertains to referral?

A. II B. III C. IV D. V

4-16. After Captain’s Mast, any action taken by the commanding officer at mast must be noted in the “Action of the Commanding Officer” section of what Naval Personnel Command (NAVPERS) form?

A. 553 B. 1070/7 C. 1626/7 D. 5800

4-17. Which of the following items is NOT considered punishment, rather is intended to remedy a noted deficiency in conduct or performance of duty?

A. Non-punitive letter B. Captain’s Mast C. Non-Judicial Punishment D. Court-Martial

4-18. Which of the following personnel may have arrest in quarters imposed as a punishment on them?

A. Enlisted E1-E4 B. Enlisted E5-E6 C. Chief petty officer D. Officer

4-19. Which of the following personnel may be confined on bread and water or diminished rations?

A. Enlisted E1-E3 B. Enlisted E4-E6 C. Chief petty officer D. Officer

4-20. What document is a record of all Non-Judicial Punishment hearings conducted by a command?

A. Command record of accomplishments log B. NAVPERS form 553 C. Unit Punishment Book D. Unit Situation Report Log

4-21. Procedures for issuing punitive letters may be found in what publication?

A. MCM B. JAGMAN C. MILPERSMAN D. U.S. Navy Regulations

End of Book Questions Chapter 5 Travel

5-1. Which of the following duties could you be assigned to as a YN in the Defense Travel System (DTS)?

A. Certifying Official B. Defense Monitor Manager (DMM) C. Lead Defense Travel Administrator (LDTA) D. All of the above

5-2. When an individual travels to a command or geographic area that is not the individual's permanent duty station, what official Navy acronym or abbreviation is used?

A. TEMDUINS B. TEMADD C. TAD D. TDY

5-3. What term identifies an amount of money paid to a member to provide for food, quarters, or services that are not provided by the Navy?

A. Allowance B. Incentive C. Special pay D. Miscellaneous pay

5-4. Transportation must be arranged with the NAVPTO in accordance with what instruction?

A. SECNAVINST 4650.12(series) B. BUPERSINST 4650.12(series) C. OPNAVINST 4650.15(series) D. MILPERSMAN

5-5. The Approving Official (AO) must be appointed in writing using what form?

A. DD Form 388 B. DD Form 577 C. OPNAV Form 238 D. OPNAV Form 577

5-6. What Reform Act mandated the use of the travel card?

A. Transportation Reform Act of 1978 B. Travel Reform Act of 2008 C. Travel and Transportation Reform Act of 1978 D. Travel and Transportation Reform Act of 1998

5-7. What system was designed to communicate with Navy Reserve Order Writing System (NROWS) to manage all aspects of travel for Reserve personnel?

A. Defense Training and Travel System (DTTS) B. Defense Travel System (DTS) C. Navy Orders System (NOS) D. Navy Tracking System (NTS)

5-8. What term is used for a firm furnishing commercial transportation, by railroad, bus, airplane, or ship, as a public service under rates prescribed by lawful authority?

A. Common carrier B. Government transportation provider C. Transportation in kind D. Lodging and transportation carrier

5-9. What type of pay is intended to pay partially for lodging/meal expenses when a member/dependent(s) occupy temporary quarters in Continental United States (CONUS)?

A. Lodging-Minus B. Lodging-Plus C. Temporary Lodging Allowance (TLA) D. Temporary Lodging Expense (TLE)

5-10. What type of pay is authorized to reimburse partially a service member for more than normal expenses incident to the use of temporary lodgings outside the Continental United States (OCONUS)?

A. Lodging-Minus B. Lodging-Plus C. Temporary Lodging Allowance (TLA) D. Temporary Lodging Expense (TLE)

5-11. What document should you refer to for specific requirements concerning foreign travel?

A. DoD Foreign Clearance Guide, DoD 4500.54 B. DoD Foreign Travel Guide, DoD 4700.64 C. DoD Foreign Clearance Guide, DoD 6500.44 D. DoD Foreign Travel Guide, DoD 6700.34

5-12. Which of the following terms is defined as an allowance designed to offset the cost of lodging, meals, and incidental expenses incurred by a member while performing travel?

A. Dislocation allowance B. Miscellaneous expenses C. Monetary allowance in lieu of transportation D. Per diem

5-13. Which of the following items is used to reimburse partially a member, with or without a dependent(s), for the expenses incurred in relocating the member's household on a PCS, housing moves ordered for the GOV’T’s convenience?

A. Dislocation allowance B. Miscellaneous expenses C. Monetary allowance in lieu of transportation D. Per diem

5-14. Which of the following terms is defined as an allowance paid on a “per mile” basis for the official distance between the authorized points of travel?

A. Dislocation allowance B. Miscellaneous expenses C. Monetary allowance in lieu of transportation D. Per diem

5-15. What maximum length of time must travel to Home of Selection (HOS) be completed after termination of active duty, for retirement/fleet reserve personnel?

A. 1 year B. 2 years C. 3 years D. 4 years

5-16. Reduced flat-rate per diem applies when a traveler is assigned long-term temporary duty for what period of time?

A. Less than 30 days B. More than 30 days C. 1 week D. 2 weeks

5-17. What Navy program tracks and reports deployment days on individuals who are away from their homeport or assigned unit?

A. Command Personnel Tracking Program (CPTP) B. Individual Tracking Program (ITP) C. Individual Personnel Tempo Program (ITEMPO) D. Personal Duty Program (PDP)

End of Book Questions Chapter 6 Security

6-1. The Command Security Manager must be a military officer or civilian employee in at least what pay grade?

A. GS-9 B. GS-7 C. GS-5 D. GS-11

6-2. A command accredited for and authorized to receive, process, and store SCI will designate what individual?

A. Security Manager B. Security Officer C. Special Security Officer D. Security Representative

6-3. All SCI matters shall be referred to what individual?

A. Special Security Officer B. Command Security Manager C. Executive officer D. Admin officer

6-4. The disclosure of information that could cause exceptionally serious damage to national security should carry what classification?

A. Secret B. Top Secret C. Confidential D. Sensitive

6-5. The disclosure of information that could cause identifiable damage to national security should carry what classification?

A. Secret B. Top Secret C. Confidential D. Interim

6-6. Who is responsible for controlling the dissemination of classified material within the command?

A. Security Manager B. Administrative Officer C. Executive Officer D. Commanding Officer

6-7. Who is delegated the responsibility to ensure personnel are instructed on prevention of unauthorized disclosure of classified information?

A. Security Manager B. Administrative Officer C. Commanding Officer D. Executive Officer

6-8. Top Secret documents cannot be reproduced without the permission of what authority?

A. Department Head B. Security Manager C. Commanding Officer D. Issuing or higher authority

6-9. After a Top Secret document has been transferred, downgraded, or destroyed, the record of disclosure should be maintained for how many years?

A. One B. Two C. Three D. Five

6-10. What is the highest classification allowed for mailing classified material via USPS?

A. Secret B. Top Secret C. Confidential D. Guarded

6-11. How many officials are required to witness the destruction of Top Secret material?

A. One B. Two C. Three D. Four

6-12. What is the maximum amount of hours a Temporary Secure Working Area (TSWA) can be used?

A. 50 hours a month B. 40 hours a week C. 50 hours a week D. 40 hours a month

6-13. What does the acronym SAER stand for?

A. Security Advanced Eligibility Report B. Security Access Eligibility Response C. Security Access Eligibility Report D. Security Appeals Eligibility Report

6-14. How many days is the initial response time to a Letter of Intent (LOI)?

A. 30 days B. 45 days C. 15 days D. 60 days

6-15. Who conducts counterintelligence briefings?

A. Security Manager B. Commanding Officer C. Naval Criminal Investigative Service Agent D. Defense Investigative Service Agent

6-16. When a security debriefing has been conducted for a member, what disposition is made of the original Security Termination Statement, OPNAV Form 5511/14?

A. Filed in the individual’s electronic service record B. Filed in the classified material records file C. Forwarded to Director, Naval Investigative Service D. Forwarded to the Bureau of Naval Personnel

6-17. When the security clearance of a Marine has been revoked for cause, what disposition is made of the original security termination statement?

A. Filed in the individual’s service record B. Filed in the command’s files for two years C. Forwarded to the Commandant of the Marine Corps D. Forwarded to Director, Naval Criminal Investigative Service

6-18. What disposition is made of the security termination statement when the statement is executed at the conclusion of a limited access authorization?

A. Filed in the individual’s service record B. Filed in the command’s files for two years C. Forwarded to the Bureau of Naval Personnel D. Forwarded to Director, Naval Criminal Investigative Service

6-19. The initial determination of a person’s loyalty, reliability, and trustworthiness is based on what investigation?

A. SSBI B. NACLC C. SBI D. PSI

6-20. How many members sit in on a PSAB Board?

A. One B. Two C. Six D. Three

6-21. For an SSBI, when should a PR be initiated?

A. 4.5 years from completion of the last investigation B. 5 years from completion of last investigation C. Every 3 years D. Every 4 years