USN/USMC Commander’s Quick Reference Handbook for Legal Issues 2009 Report Documentation Page Form Approved OMB No. 0704-0188 Public reporting burden for the collection of information is estimated to average 1 hour per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to Washington Headquarters Services, Directorate for Information Operations and Reports, 1215 Jefferson Davis Highway, Suite 1204, Arlington VA 22202-4302. Respondents should be aware that notwithstanding any other provision of law, no person shall be subject to a penalty for failing to comply with a collection of information if it does not display a currently valid OMB control number. 1. REPORT DATE 3. DATES COVERED 2009 2. REPORT TYPE 00-00-2009 to 00-00-2009 4. TITLE AND SUBTITLE 5a. CONTRACT NUMBER USN/USMC Commander’s Quick Referance Handbook for Legal Issues 5b. GRANT NUMBER 5c. PROGRAM ELEMENT NUMBER 6. AUTHOR(S) 5d. PROJECT NUMBER 5e. TASK NUMBER 5f. WORK UNIT NUMBER 7. PERFORMING ORGANIZATION NAME(S) AND ADDRESS(ES) 8. PERFORMING ORGANIZATION Naval Justice School ,Newport ,RI REPORT NUMBER 9. SPONSORING/MONITORING AGENCY NAME(S) AND ADDRESS(ES) 10. SPONSOR/MONITOR’S ACRONYM(S) 11. SPONSOR/MONITOR’S REPORT NUMBER(S) 12. DISTRIBUTION/AVAILABILITY STATEMENT Approved for public release; distribution unlimited 13. SUPPLEMENTARY NOTES 14. ABSTRACT 15. SUBJECT TERMS 16. SECURITY CLASSIFICATION OF: 17. LIMITATION OF 18. NUMBER 19a. NAME OF ABSTRACT OF PAGES RESPONSIBLE PERSON a. REPORT b. ABSTRACT c. THIS PAGE Same as 170 unclassified unclassified unclassified Report (SAR) Standard Form 298 (Rev. 8-98) Prescribed by ANSI Std Z39-18 TABLE OF CONTENTS Section I: MILITARY JUSTICE...........................................................................................................1 NCIS REPORTING & MILITARY JUSTICE INVESTIGATIONS...........................................................................1 HANDLING SEXUAL ASSAULT ALLEGATIONS IN THE USMC.......................................................................3 SUSPECTS—QUESTIONING/INTERROGATION/ ARTICLE 31(b)....................................................................5 SEARCH & SEIZURE.............................................................................................................................................7 SEARCH & SEIZURE – DRUG CASES................................................................................................................9 COURTS-MARTIAL: TYPES & CONVENING....................................................................................................12 COURTS-MARTIAL: BASICS..............................................................................................................................14 COURTS-MARTIAL: PRETRIAL RESTRAINT (PTR)........................................................................................16 PRETRIAL AGREEMENTS........................................................................................................................ 18 COURTS-MARTIAL: POST- TRIAL REVIEW.....................................................................................................20 VICTIM/WITNESS ISSUES..................................................................................................................................23 Section II: NONJUDICIAL PUNISHMENT........................................................................................26 ADMINISTRATIVE & DISCIPLINARY OPTIONS................................................................................................26 VIOLENT CRIME REPORTING (VCR)................................................................................................................28 NONPUNITIVE MEASURES................................................................................................................................29 NJP JURISDICTION.............................................................................................................................................31 NJP – PRE-MAST & MAST PROCEEDINGS.....................................................................................................33 NJP – CLEMENCY & CORRECTIVE ACTION...................................................................................................36 NJP – APPEALS..................................................................................................................................................37 Section III: JAGMAN INVESTIGATIONS.........................................................................................38 JAGMAN INVESTIGATIONS...............................................................................................................................38 DEATH INVESTIGATIONS..................................................................................................................................41 REPORTING REQUIREMENTS FOR LOSS OR COMPROMISE OF CLASSIFIED MATERIAL....................42 CLAIMS.................................................................................................................................................................44 Section IV: ADMINISTRATIVE SEPARATIONS..............................................................................45 ADMINISTRATIVE SEPARATION BOARDS......................................................................................................49 OFFICER MISCONDUCT AND SEPARATIONS................................................................................................51 DETACHMENT FOR CAUSE (USN)...................................................................................................................53 Section V: PERSONNEL ISSUES....................................................................................................54 ALCOHOL ABUSE PREVENTION......................................................................................................................54 DRUG PREVENTION AND URINALYSIS PROGRAM.......................................................................................57 HIV ISSUES..........................................................................................................................................................59 HOMOSEXUAL CONDUCT.................................................................................................................................60 MENTAL HEALTH EVALUATIONS (MHEs).......................................................................................................63 PREGNANCY.......................................................................................................................................................65 RESERVISTS – SPECIAL CONSIDERATIONS.................................................................................................67 SUICIDES, ATTEMPTS & GESTURES/CACO...................................................................................................69 FROCKING OF USMC OFFICERS......................................................................................................................70 Section VI: SEXUAL HARASSMENT, FRATERNIZATION & HAZING.........................................72 SEXUAL HARASSMENT PREVENTION............................................................................................................72 SEXUAL HARASSMENT INCIDENT...................................................................................................................74 FRATERNIZATION PREVENTION......................................................................................................................77 FRATERNIZATION INCIDENT............................................................................................................................78 HAZING PREVENTION/INCIDENT......................................................................................................................80 Section VII: CORRESPONDENCE ISSUES; FREEDOM OF EXPRESSION AND GRIEVANCE PROCEDURES.....................................................................................................................................................82 FREEDOM OF EXPRESSION.............................................................................................................................82 REQUEST MAST/REDRESS OF WRONGS/ART. 138 UCMJ...........................................................................84 UCMJ ARTICLE 138 COMPLAINTS: See JAGMAN, Chapter III.....................................................................85 HOTLINE COMPLAINTS & WHISTLEBLOWER PROTECTION ACT..............................................................................................................................................86 CONGRESSIONAL INQUIRIES...........................................................................................................................88 EO PREVENTIVE MEASURES...........................................................................................................................89 FREEDOM OF INFORMATION ACT (FOIA).......................................................................................................92 PRIVACY ACT......................................................................................................................................................94 i Section VIII: INTERACTIONS WITH CIVILIANS........................................................................... 96 ENVIRONMENTAL COMPLIANCE................................................................................................................... 96 JURY DUTY........................................................................................................................................................ 98 LAW ENFORCEMENT – CIVILIAN JURISDICTION........................................................................................ 99 LAW ENFORCEMENT – SUPPORT OF CIVILIAN POLICE AGENCIES.......................................................101 REPOSSESSION OF PERSONAL PROPERTY...............................................................................................102 SERVICE OF PROCESS/SUBPOENAS...........................................................................................................103 Section IX: OUTSIDE CONUS........................................................................................................105 CUSTOMS...........................................................................................................................................................105 FOREIGN CLAIMS.............................................................................................................................................106 FOREIGN CRIMINAL JURISDICTION/SOFA...................................................................................................107 LIBERTY RISK...................................................................................................................................................108 MARRIAGES – OVERSEAS..............................................................................................................................109 Section X: LEGAL ASSISTANCE...................................................................................................110 LEGAL ASSISTANCE........................................................................................................................................110 PREDEPLOYMENT LEGAL READINESS........................................................................................................112 SERVICEMEMBERS CIVIL RELIEF ACT (SCRA)...........................................................................................114 DEPENDENT SUPPORT...................................................................................................................................117 PATERNITY COMPLAINTS...............................................................................................................................119 INDEBTEDNESS COMPLAINTS.......................................................................................................................120 Section XI: FAMILY RELATIONSHIP ISSUES..............................................................................122 DOMESTIC ABUSE PREVENTION...................................................................................................................122 DOMESTIC VIOLENCE / FAMILY ADVOCACY INCIDENTS..........................................................................123 Section XII: ETHICS.........................................................................................................................126 GUIDELINES FOR ETHICAL CONDUCT.........................................................................................................126 COMMERCIAL DEALINGS BETWEEN MEMBERS........................................................................................127 CONFLICTS OF INTEREST...............................................................................................................................128 FUNDRAISING...................................................................................................................................................130 BIRTHDAY BALL FUNDRAISING.....................................................................................................................132 GAMBLING.........................................................................................................................................................134 GIFTS BETWEEN EMPLOYEES.......................................................................................................................135 GIFTS FROM OUTSIDE SOURCES..................................................................................................................136 GOVERNMENT PROPERTY.............................................................................................................................138 OUTSIDE EMPLOYMENT..................................................................................................................................139 POLITICAL ACTIVITIES – MILITARY ACTIVE DUTY.....................................................................................140 PRIVATE ORGANIZATIONS AND SPOUSE CLUBS......................................................................................141 TRAVEL BENEFITS......................................................................................................................................... 143 COMMAND COINS / RECOGNITION & RETENTION ITEMS.........................................................................145 Section XIII APPENDIX....................................................................................................................146 NONJUDICIAL PUNISHMENT CHART.................................................................................................................A CO SEARCH & SEIZURE CHECKLIST...............................................................................................................B MAXIMUM PUNISHMENT CHART......................................................................................................................C EO INCIDENT REPORTING.................................................................................................................................D SEXUAL HARASSMENT INVESTIGATION CHART..........................................................................................E FRATERNIZATION INVESTIGATIONS CHART...................................................................................................F CHECKLIST FOR GCM REVIEW OF ARTICLE 138 COMPLAINTS.................................................................G EXECUTIVE OFFICER'S INQUIRY (XOI).............................................................................................................H USE OF DRUG URINALYSIS RESULTS..............................................................................................................I ADMINISTRATIVE SEPARATIONS.....................................................................................................................J OVERVIEW OF MILITARY JUSTICE SYSTEM...................................................................................................K RELATIONS WITH CIVIL AUTHORITIES FLOW CHART............................................................................ L ii Military Justice Section I: MILITARY JUSTICE NCIS REPORTING & MILITARY JUSTICE INVESTIGATIONS ____________________________ REFERENCES: (a) Manual for Courts-Martial (RCM 303) ____________________________ (b) SECNAVINST 5430.107 (series) ____________________________ (c) JAGMAN ____________________________ (d) SECNAVINST 1752.4 (series) ____________________________ ____________________________ REPORT OF OFFENSES (COMPLAINTS): May come to command attention in variety of ways (e.g. shore patrol, MAA, Incident Complaint ____________________________ Report (ICR), civilian law enforcement, individual (military or civilian), in ____________________________ person, by phone, or by mail). CO must investigate all complaints [see ____________________________ reference (a)]. Degree of investigation will depend on nature and ____________________________ seriousness of complaint. ____________________________ ____________________________ MANDATORY REFERRAL TO NCIS PRIOR TO COMMAND ____________________________ INVESTIGATION: Reference (b) mandates that certain incidents ____________________________ immediately be referred to NCIS whether occurring on or off base and ____________________________ regardless of civilian investigative involvement. These incidents are: ____________________________  Actual, suspected, or alleged major criminal offenses, to include ____________________________ espionage and acts of terrorism [see reference (b), ¶ 6.b]. “Major ____________________________ criminal offenses” are offenses punishable under the UCMJ by more ____________________________ than one year of confinement [see reference (b), ¶ 3.i]; ____________________________ ____________________________  Non-combat deaths when the cause of death is not medically ____________________________ attributable to disease or natural causes [see reference (b), ¶ 7.b(1)(a)]; ____________________________ ____________________________  Fires or explosions of unknown origin affecting military property [see ____________________________ reference (b), ¶ 7.b(1)(b)]; ____________________________ ____________________________  Theft or loss of ordnance, narcotics, dangerous drugs, or controlled ____________________________ substances [see reference (b), ¶ 7.b(1)(c)]; ____________________________ ____________________________  Disappearance of a command member when foul play cannot be ____________________________ excluded [see reference (b), ¶ 7.b(1)(d)]; ____________________________ ____________________________  All instances of suspected fraud against the government within the ____________________________ Navy/Marine Corps [see reference (b), ¶ 7.b(3)]. “Fraud against the government” is a category of major criminal offenses characterized by ____________________________ intentional deception designed to unlawfully deprive the United States ____________________________ of something of value or to seek from the U.S. a benefit, privilege, ____________________________ allowance, or consideration to which a person is not entitled [see ____________________________ reference (b), ¶ 3.e] (e.g., theft of government property; bribery; ____________________________ receiving or giving gratuities; conflicts of interest; violation of anti-trust ____________________________ laws; and false statements/claims for pay and allowances, ____________________________ procurement, property disposal, subsistence, unauthorized services, ____________________________ non-appropriated funds, foreign military sales, and personnel matters); ____________________________ ____________________________ ____________________________ ____________________________ ____________________________ 1 Military Justice ___________________________  Actual, potential, or suspected acts of espionage, terrorism, sabotage, ___________________________ or assassination and actual, suspected, or attempted defection by DON ___________________________ personnel [see reference (b), ¶ 7.b(4)(a)]; ___________________________  Certain internal security incidents, such as loss, compromise, or ___________________________ suspected compromise of classified information; any request for ___________________________ classified information other than through official channels; requests for ___________________________ unclassified information by associates of a foreign government; ___________________________ unofficial contacts with officials of a foreign government or international ___________________________ terrorist organization; incidents of suicide or attempted suicide by ___________________________ personnel with access to classified information; or the disappearance ___________________________ or unauthorized absence of personnel with access to classified ___________________________ information [see reference (b), ¶ 7.b(6)]; ___________________________  National security cases [see reference (c), § 1026]. A “national security ___________________________ case” is any case of actual, attempted, or a conspiracy to compromise ___________________________ a military or defense advantage over any foreign nation or terrorist ___________________________ group; willful compromise of classified information; overt or covert acts ___________________________ which affect the capability to successfully resist hostile or destructive ___________________________ action, or acts of terrorism; and ___________________________ ___________________________  Sexual assaults [see reference (d), § 4.a]. “Sexual assault” includes ___________________________ rape, indecent assault, forcible sodomy, and assault with the intent to ___________________________ commit rape or sodomy, all of which are included under the mandatory ___________________________ reporting category of “major criminal offenses” [see reference (b), ¶ 3.i]. ___________________________ WHEN NCIS DECLINES AN INVESTIGATION: NCIS may, at its ___________________________ discretion, decline any investigation, but shall expeditiously inform the ___________________________ affected command. A command may then pursue a command investigation ___________________________ (e.g., one officer/CPO/Petty Officer; disciplinary review board; XOI) or ___________________________ request assistance from the Security Department. ___________________________ ___________________________ ___________________________ ___________________________ ___________________________ ___________________________ ___________________________ ___________________________ ___________________________ ___________________________ ___________________________ ___________________________ ___________________________ ___________________________ ___________________________ ___________________________ ___________________________ ___________________________ ___________________________ ___________________________ ___________________________ ___________________________ 2 Military Justice HANDLING SEXUAL ASSAULT ALLEGATIONS IN THE USMC ____________________________ REFERENCES: (a) SECNAVINST 1752.4 (series) ____________________________ (b) MCO 1752.5 (series) (c) MCO 5740.20 (series) ____________________________ ____________________________ GENERAL: ____________________________ ____________________________  Sexual assault is a criminal act and is not tolerated [see ____________________________ reference (b), ¶ 2.a]. References (a) and (b), entitled Sexual ____________________________ Assault Prevention and Response, provide specific policies, ____________________________ guidance, and responsibilities for handling sexual assault ____________________________ allegations. ____________________________  The term “sexual assault” includes rape, forcible sodomy, assault ____________________________ with the intent to commit rape or sodomy, indecent assault, and ____________________________ any attempt to commit such offenses [see reference (b), ¶ 2.a]. ____________________________ ____________________________ COMMANDER’S RESPONSIBILITY: Commanders must have a thorough ____________________________ knowledge of reference (b) to fully understand the scope of their ____________________________ responsibilities, and those of the Marines under their command, when ____________________________ handling sexual assault allegations. Highlights of reference (b) include ____________________________ [see reference (b), ¶ 3.a]: ____________________________ ____________________________  Leadership is the key to sexual assault prevention and response; ____________________________  The commander’s role in prevention is to establish a climate that ____________________________ confronts the beliefs and values that cause and reinforce sexual ____________________________ assault, to establish clear standards for personal behavior, and hold ____________________________ offenders accountable; ____________________________ ____________________________  As leaders, commanders must be keenly aware of and sensitive to ____________________________ the climate of their units; and, ____________________________ ____________________________  Commanders must continuously educate their Marines on how to ____________________________ prevent incidents of sexual assault, while also encouraging victims and witnesses to report these incidents when they occur. ____________________________ ____________________________ REPORTING REQUIREMENTS: ____________________________ ____________________________  Commanders shall immediately report all actual, suspected, or ____________________________ alleged sexual assaults to PMO. PMO will ensure necessary ____________________________ notifications are made to Naval Criminal Investigative Service [see ____________________________ reference (b), ¶¶ 6.b(5), 6.h(4)]. Therefore, commanders must not ____________________________ conduct independent command investigations into alleged sexual ____________________________ assaults. ____________________________  Reference (c) requires commanders to report within 24 hours via ____________________________ OPREP-3 SIR reports of any serious crime (i.e., felony arrest) or ____________________________ incident that may result in domestic or foreign criminal jurisdiction ____________________________ over Marine Corps personnel and their dependents or that may ____________________________ arouse public or congressional interest [see enclosure (3)]. Sexual ____________________________ assaults are reportable incidents as serious crimes. The commander of the alleged offender will submit an OPREP-3 SIR; if the alleged offender is unknown, the reporting commander will be that of the alleged victim. 3 Military Justice  Reference (b) requires staff judge advocates to report all sexual _______________________________ assaults to the Headquarters Marine Corps-monitored Sexual _______________________________ Assault Incident Reporting Database (SAIRD) [see ¶ 6.f(2)]. As a _______________________________ result, close coordination with your staff judge advocate is _______________________________ necessary to ensure timely and accurate data is reported. _______________________________ CARE FOR SEXUAL ASSAULT VICTIMS: In cases of sexual assault, the _______________________________ specialized concerns and issues (physical, mental, and emotional) _______________________________ surrounding such assaults require all personnel involved in the case to give _______________________________ additional consideration to the sensitive treatment of such victims. Avoiding _______________________________ re-victimization of the victim is crucial to the well-being of those individuals. _______________________________ Additionally, reference (a) expressly prohibits releasing the name of any _______________________________ sexual assault victim to the media without the consent of the victim [see _______________________________ enclosure 2, ¶ 2.b]. _______________________________ _______________________________ VICTIM ADVOCATES: The Marine Corps has victim advocates available _______________________________ at every installation through the Marine Corps Family Services activity, formerly the Family Support Center [see reference (b), enclosure 1, ¶¶ 10- _______________________________ 11]. Victim advocates possess specialized training in assisting victims of _______________________________ sexual assault. Commanders should be receptive to recommendations _______________________________ made by victim advocates on behalf of victims. Victim advocates may _______________________________ recommend that a military protective order be issued, that the victim reside _______________________________ in a “safehouse” for a short period of time, or that the victim requires a level _______________________________ of assistance beyond their capability, requiring a commander’s _______________________________ authorization. _______________________________ _______________________________ _______________________________ _______________________________ _______________________________ _______________________________ _______________________________ _______________________________ _______________________________ _______________________________ _______________________________ _______________________________ _______________________________ _______________________________ _______________________________ _______________________________ _______________________________ _______________________________ _______________________________ _______________________________ _______________________________ _______________________________ _______________________________ _______________________________ 4 Military Justice SUSPECTS—QUESTIONING/INTERROGATION/ARTICLE 31(b) _______________________________ REFERENCES: (a) Manual for Courts-Martial, MRE 301-305 _______________________________ (b) UCMJ, Article 31(b) _______________________________ (c) MILPERSMAN 1620-010 (d) JAGMAN Appendix A-1-e _______________________________ (e) JAGMAN Appendix A-1-m _______________________________ _______________________________ MAJOR CRIMINAL OFFENSES: DO NOT allow anyone from your _______________________________ command to interrogate the member before referring the case to NCIS. _______________________________ _______________________________ ALWAYS READ RIGHTS when (1) you suspect a member of committing _______________________________ an offense and (2) you are going to ask the member a question relating to _______________________________ the offense (e.g., asking questions or making statements that are likely to _______________________________ evoke an incriminating response). _______________________________ WHICH RIGHTS EXACTLY? _______________________________ _______________________________  A service member is entitled to be informed of Article 31(b) and _______________________________ Miranda rights when you suspect the member has violated the _______________________________ UCMJ and are going to question that member about the offense. _______________________________ _______________________________  Use the rights warning form at JAGMAN A-1-m. Article 31(b) and _______________________________ Miranda are reflected on the rights warning form and should always _______________________________ be read before any interrogation. Rights 1-3 listed on the Rights _______________________________ Warning form are Article 31(b) rights [what suspected of and right to remain silent]; rights 2-6 on the form are Miranda rights [right to _______________________________ remain silent and right to a lawyer]. Do not ask the suspect any _______________________________ questions unless both the right to remain silent and the right to a _______________________________ lawyer are waived. _______________________________ _______________________________  Waiver of rights must be knowing, voluntary, and intelligent. Make _______________________________ sure suspect understands his/her rights and the consequences of _______________________________ his/her waiver. _______________________________ _______________________________  If the suspect wants to remain silent or asks for a lawyer, you _______________________________ MUST NOT ask any more questions. _______________________________ PRIOR QUESTIONING WITHOUT RIGHTS WARNING: Provide _______________________________ "cleansing warning" if someone has previously questioned the member and _______________________________ did not provide rights warnings. (1) Advise the member that the prior _______________________________ statement cannot be used against him/her and that (2) even though he/she _______________________________ made the earlier statement, he/she can still choose to remain silent or _______________________________ request a lawyer. Then (3) fully advise the member of his/her rights using _______________________________ JAGMAN A-1-m and determine whether the member will waive his/her _______________________________ rights. _______________________________ _______________________________ _______________________________ _______________________________ _______________________________ ______________________________ 5 Military Justice _____________________________ _____________________________ NEW OFFENSES: If during any conversation or questioning, you begin to suspect the member of a new or different offense, you must stop the _____________________________ questioning immediately and complete a new rights warning form _____________________________ (JAGMAN A-1-m) with the new or different offense or offenses listed. _____________________________ _____________________________ ARTICLE 31(b) & NJP: At mast/office hours, only Article 31(b) is read. _____________________________ Sailors always have the right to remain silent but do not have a right to an _____________________________ attorney at NJP. However, if it is reasonably foreseeable that an accused _____________________________ will make an admission or actually does make an admission that warrants _____________________________ court-martial punishment, the CO should provide a full reading of rights and _____________________________ waiver (Art. 31(b) and Miranda; see JAGMAN, Appendix A-1-m) to protect _____________________________ the admissibility of such confessions in court. That said, full rights warnings must be given at all other stages in the process (e.g., prior to any _____________________________ questioning by a supervisor, investigating officer, law enforcement officer, _____________________________ Chief’s Discipline Review Board, or XOI). _____________________________ _____________________________ DRUNKEN SAILOR: A member must be in a condition to knowingly, _____________________________ intelligently, and voluntarily waive his/her rights. Don’t try to interrogate a _____________________________ drunken sailor! _____________________________ _____________________________ FALSE PROMISES OR THREATS: A confession must be voluntary. Don’t _____________________________ use threats or false promises. _____________________________ PROMISE OF LENIENCY: Only General Court-Martial Convening _____________________________ Authorities (Flag officers) have the authority to grant immunity or leniency _____________________________ for testifying. Do not promise a member that you won’t use what he says _____________________________ against him or that he won’t be prosecuted. _____________________________ _____________________________ _____________________________ _____________________________ _____________________________ _____________________________ _____________________________ _____________________________ _____________________________ _____________________________ _____________________________ _____________________________ _____________________________ _____________________________ _____________________________ _____________________________ _____________________________ _____________________________ _____________________________ _____________________________ _____________________________ _____________________________ _____________________________ 6