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NONRESIDENTTRAININGCOURSE

Military RequirementsFor Chief Petty OfficerNAVEDTRA 14144

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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 Navywide 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 youunderstand the information. An additional important feature of this course is its reference to usefulinformation found in other publications. The well-prepared Sailor will take the time to look up theadditional information.

History of the course:

Sep 1991: Original edition released. Authored by DSC Randy L. Harris.Nov 2003: Administrative update released. Technical content was not reviewed or revised.

NAVSUP Logistics Tracking Number0504-LP-026-7980

TABLE OF CONTENTS

CHAPTER PAGE

1. Naval Tradition ...................................................................................................... 1-1

2. Military Conduct and Justice ................................................................................. 2-1

3. Leadership .............................................................................................................. 3-1

4. Management Information....................................................................................... 4-1

5. Career Information and Training............................................................................ 5-1

6. Programs and Policies ............................................................................................ 6-1

7. Military Requirements ........................................................................................... 7-1

8. Safety and Damage Control ................................................................................... 8-1

9. Security .................................................................................................................. 9-1

INDEX.........................................................................................................................................INDEX-1

ASSIGNMENT QUESTIONS follow Index.

INTRODUCTION TO MILITARYREQUIREMENTS AND THE

NAVAL STANDARDS

The United States Navy has always placedgreat emphasis on the pride and professionalismof its personnel. In keeping with this strongtradition, the Navy has taken a different approachin teaching military subjects by developingindividual military requirements training manuals.These manuals are divided into the basic militaryrequirements (BMR) for apprenticeships andadvanced requirements for third class, secondclass, first class, chief petty officers, and seniorand master chief petty officers. These manualscover the MINIMUM naval standards requiredfor advancement in rate.

The purpose of the separate manuals for eachrate is to define more clearly the duties andresponsibilities of the petty officer at eachrate. That simply means if you are studying foradvancement to chief petty officer, you will studymaterial that applies to the chief petty officer.This is not to say that a chief petty officerperforms only at the chief petty officer level.Many times the needs of the service require a chiefpetty officer to fill the billet of a more senior pettyofficer or a commissioned officer. That hasalways been the case and will continue to be true.

Because the manuals have been separatedaccording to rate, you can now study the requiredmaterial at the appropriate e time in your career.

NAVAL STANDARDS

Naval standards (NAVSTDs) are those qualifi-cations which specify the minimum knowledge

required of all enlisted personnel in the Navy.Your knowledge of NAVSTDS will be tested onthe military/leadership examination. Unlike theNavy occupational standards, which state thetasks enlisted personnel are required to perform,naval standards, for the most part, state theknowledge required.

NAVSTDS encompass military requirements,essential virtues of professionalism and pride ofservice in support of the oath of enlistment, andmaintenance of good order and discipline. Theyalso include knowledges pertaining to the well-being of Navy personnel that directly contributeto the mission of the Navy.

NAVSTDS apply to all personnel at thespecified paygrade except where specific limita-tions are indicated. Primarily two factors makethese qualifications necessary—the basic require-ments of duty at sea and the requirements ofduty in an armed force. For example, all Navypersonnel must know certain elements of seaman-ship and must be prepared to assume battlestation duties. Both men and women must learnthe general orders for a sentry, be able to standa security watch, and possess certain skills andknowledges needed for their own protection andsurvival. Certain other qualifications, mainlyin clerical and administrative duties, have beenadded to the military and seagoing requirementsbecause knowledge of them is important for allenlisted personnel regardless of occupationalspecialty.

This training manual covers the naval stan-dards (military requirements) for chief pettyofficer.

CHAPTER 1

NAVAL TRADITION

LEARNING OBJECTIVES

Learning objectives are stated at the beginning of each chapter. These learningobjectives serve as a preview of the information you are expected to learnin the chapter. By successfully completing the nonresident training course(NRTC), you indicate you have met the objectives and have learned theinformation. The learning objectives for chapter 1 are listed below.

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

1. Identify the challenges to United States sea 5. Recognize the purpose and importance of armspower. control in maintaining a balance of power

between the United States and the Union of2. Describe the mission of the U.S. Navy in Soviet Socialist Republics (U.S.S.R.).

peacetime and wartime.

3. Describe the importance of naval presence, sea 6. Compare the naval forces of the United Statescontrol, and power projection in carrying out and the U.S.S.R.the Navy’s mission.

4. Recognize the various theaters of operations 7. Describe the cause and effect of chemical war-for U.S. naval forces. fare in the Middle East.

Today the two major military superpowers inthe world are the United States of America andthe Union of Soviet Socialist Republics (U.S.S.R.).Both countries have large navies. They use theirnavies to meet the national interest and politicalgoals of their countries. This chapter will providean overview of the U.S. and Soviet navies and theThird World countries having an impact on worldstability.

CHALLENGES TO U.S. SEA POWER

The naval affairs of the United States beganwith the War for Independence, the AmericanRevolution. On 13 October 1775 Congress passedlegislation to purchase and arm two ships. This

legislation created, in effect, the Continentalnavy. Congress authorized two battalions ofMarines on 10 November 1775. From thesehumble beginnings we have become a force ofover 500,000 personnel and 500 ships capable ofglobal power projection on a moment’s notice.

NAVAL PRESENCE

Almost every U.S. sailor has experienced sometype of major deployment. In the past severalyears, most deployments have been to areas ofthe world in which hostilities were in progress.Naval presence, by simple definition, is having anaval force in a specific location. We have beencalled on countless times in the past years to“show the flag.” Deployments place naval forces

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in positions to achieve three purposes. First, forcescan engage the enemy promptly at the start ofhostilities. Second, they can provide protectionand support to friendly, allied, and U.S. forcesin time of war. Third, they can stop the advanceof the enemy as soon as possible. However, thepositioning of these naval forces for warfare insensitive areas of the world also provides a sidebenefit known as presence. Because of the inter-national character of the high seas, deployed U.S.forces have a unique ability to make U.S. militarypresence known in a time of crisis. The UnitedStates can modify that presence to exert the degreeand type of influence best suited to resolve thesituation.

A show of force by U.S. naval warships canrestore stability to a friendly nation that is unableto control a hostile situation. The U.S. fleet canremain out of sight, over the horizon, ready torespond in a matter of minutes to any crisis. Navalpresence can be visible or invisible, large or small,forceful or peaceful, depending on what best suitsU.S. interests.

Naval forces can remain in a crisis area forindefinite periods to communicate their capabilityfor action. Ground and air forces can duplicatethat capability only by landing or entering thesovereign air space of another nation.

We cannot consider the effectiveness of ournaval presence separately from our warfarecapability. To encourage friends, deter enemies,or influence neutrals, forces deployed to crisisareas must possess a fighting capability.

Our naval presence must also reflect the degreeof U.S. interests in the area relative to the numberof naval forces in the area. To be effective in thepresence role, U.S. naval forces must reflect aready combat capability to carry out theirmission against ANY implied threat.

THE NAVY’S WARTIME MISSION

Should the United States fail in its peacetimeefforts, the Navy must shift from a peacetime toa wartime posture. In its wartime posture, theNavy has two areas of responsibility. It must beable to function in a hostile environment, and itmust be able to exercise sea control and powerprojection. Sea control and power projection are

essential to our use of the seas to support ournational policies. The concepts of sea control andpower projection are closely interrelated. A navalforce must have some degree of sea control in thesea areas from which it is to project power,depending on the type of force to be used.However, a naval force must have the capabilityto project power before it can realize any degreeof sea control.

Sea Control

Sea control is the basic function of the U.S.Navy. It involves control of designated air,surface, and subsurface areas. Sea control isof crucial importance to the U.S. strategy ofusing both oceans as barriers for defense andas avenues to extend our influence overseas. Itdoes not imply simultaneous control over all70 percent of the earth covered by internationalwaters; it is a selective function, exercisedonly when and where necessary. Because of newtechnology developed in the United States andin other countries, total control of the seasfor our use and the denial of the seas for theenemy’s use are impossible. With continuingtechnological developments, such as the strategicdefense initiative, total sea control is expectedto become even more difficult.

Sea control assures the buildup and resupplyof allied forces and the free flow of neededsupplies. Sea control also enhances security forthe nation’s sea-based strategic deterrent.

We must have sea control to conduct sustainedU.S. Army and U.S. Air Force operations abroad.Modern land warfare requires large quantitiesof supplies; most of them must be suppliedby sea.

We maintain sea control by destroying orneutralizing hostile forces in maritime areas theUnited States must use. Hostile forces includeaircraft, surface ships, and submarines thatthreaten U.S. or friendly forces operating in thoseareas.

The Navy achieves or supports sea controlthrough the following operations:

1. Locating and destroying hostile navalcombat units

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2. Using geographic choke points to preventenemy access to open oceans or specificareas

3. Clearing sea areas by using escorts tosurround ships in transit, such as militaryor commercial convoys and amphibious orsupport forces

4. Using mines in areas such as harborentrances and choke points

Carrier forces and Marine amphibious forcescan project military power to ensure control ofthe high seas and the continued safe use of landareas essential to sea control. That entailsdestruction of enemy naval forces at their homebases or en route to those ocean areas the UnitedStates desires to protect. Power projection alsoincludes destroying the supply lines of the enemyand preventing enemy forces from advancingwithin range to use their weapons against U.S.forces.

Power Projection

Power projection is the ability to projectmilitary power from the sea worldwide in a timelyand precise manner to accomplish a givenobjective. Naval power projection, as anindependent mission, is a means of supportingland or air campaigns. An essential element ofpower projection is the Navy’s amphibious shipsthat carry U.S. ground forces to enemy shores.

Power projection covers a broad spectrum ofoffensive naval operations. These operationsinclude nuclear response by fleet ballistic missilesubmarines and use of carrier-based aircraft andamphibious assault forces. They also include navalbombardment of enemy targets ashore in supportof air or land campaigns.

Naval forces have unrestricted global mobilitybased on the traditional and time-honoredconcept of the free use of international seas. Inmany cases, naval forces can perform assignedmissions while remaining beyond the range of thelocal enemy threat. The mobility of naval forcesseriously complicates the enemy’s detection andtargeting capability. Mobility also permits theconcentration of naval forces and the element ofsurprise.

Another major advantage of a naval force isthat it can begin combat operations immediatelyupon reaching a crisis location. Land or airforces often require the construction of stagingareas before they can begin combat operations.That is especially true when the conflict takesplace in a remote location and when facilitiesneeded for combat are unavailable. The UnitedStates is diminishing its military base structureoverseas. Therefore, the ability of naval forcesto arrive in an area fully prepared to conductsustained combat operations has taken on addedimportance.

THEATERS OF OPERATIONS

The Soviet Union confines its power projection(fig. 1-1 ) to areas close to the Soviet Union withone exception. Soviet fleet ballistic missile sub-marines (nuclear propulsion) (SSBNs) patrol thesea area off the east coast of the United States.

The traditional U.S. Navy theaters of opera-tions include Europe, the Middle East, Africa, theFar East, and the Americas. The continuingeconomic and political changes in those areas nowand in the future will have an impact on theNavy’s mission and goals.

Europe

With the fall of the Berlin Wall and thereunification of Germany, Europe has changed.Many of the old boundary lines that separated eastand west have been removed, which has madetravel between countries easier. Since the outcomeof the changes in Europe is difficult to predict,let’s look at some trends that have taken placeover the last few years.

As the Warsaw Pact navies have been growingsmaller, North Atlantic Treaty Organization(NATO) naval forces have been maintaining theirsize. NATO naval forces have also significantlyupgraded their antisubmarine warfare, antisurfacewarfare, and air defense capability. The Germannavy replaced its F-104s with the Tornado andupgraded NATO’s defense capability of the Balticapproaches. U.S. Navy and Marine upgradesinclude the F/A-18, F-14D, and AV-8B. TheUnited States upgrade provides Supreme AlliedCommander, Atlantic (SACLANT), with moreoffensive and defensive capability in theNorwegian and Mediterranean Seas.

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Figure 1-1.-Soviet global power projection.

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Figure 1-1.-Soviet global power projection-Continued.

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Figure 1-2.-NATO regions and Soviet theaters of opera-tions.

NATO is divided into three areas ofresponsibilities: Allied Forces Northern Europe(AFNORTH), Allied Forces Central Europe(AFCENT), and Allied Forces Southern Europe(AFSOUTH) (fig. 1-2). The opposing Sovietforces are also divided into three areas ofresponsibility called theaters of operations (TVD).They are the Northwestern TVD, Western TVD,and Southern TVD.

The Warsaw Pact

Soviet President Mikhail Gorbachev has been,and plans to continue, making force cuts in

anticipation of future arms control talks.Although the Soviets may increase future with-drawals of troops from the European theater, theystill have an impressive reserve and mobilizationcapacity. The Soviets are reducing their total forcenumbers and using the best of their excess equip-ment to modernize their remaining forces.

The Soviets have taken on a long-rangestrategic nuclear modernization program tocomply with strategic arms reduction treatyconstraints expected in the future. The Soviets arereplacing their large, out-of-date missiles withnewer, more efficient and accurate missilesystems. The Soviets will continue to upgrade theirland- and sea-based ballistic missiles and bombers.

As a whole, the Soviet Union is the maritimepower (refer to figure 1-3 for assignment of Sovietforces) of the Warsaw Pact countries. The U.S.Navy’s role in combating that threat is to limitthe Soviet Northern and Black Sea Fleets in theirability to deploy. Surface ships and submarinesstationed at Severodvinsk must transit the BarentsStraits and one of three other choke points toenter the Atlantic Ocean. The Greenland-Icelandgap is the northern choke point, the Iceland-England gap is the middle choke point, and theDanish Strait is the southern choke point. Thesethree choke points are the United States’ andNATO’s last line of containment for the NorthernFleet.

The Black Sea Fleet in Sevastopol will be mucheasier to contain in the event of hostilities. Toenter the Atlantic Ocean, the Black Sea Fleet musttransit the Turkish Straits. Turkey, a NATOmember and ally of the United States, couldcontain the Black Sea Fleet by sinking a ship inthe Turkish Straits.

Soviet ships on station in the Mediterraneanmust transit either the Strait of Gibraltar or theSuez Canal to enter open water. U.S. alliesbordering both choke points makes containmentof Soviet ships in the Mediterranean Sea far lessdifficult than restricting the Northern Fleet.

When evaluating the Soviet naval force andthe challenge it presents, we would be wise to ask,What is the primary mission of the Soviet navy?Until 1953 we viewed support of land-based forcesvice worldwide power projection as the primarymission of the Soviet Navy. Since 1953 the Sovietshave been developing their navy into a forcecapable of worldwide power projection. TheSoviets want the world to view their primarymission as worldwide power projection, when itis really the support of land-based forces. TheSoviets have two basic problems in projecting thatimage. First, they have a shortage of maritime air

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Figure 1-3.-Assignment of Soviet naval forces.

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Figure 1-4.-Middle East and Southwest Asia area ofoperation.

support when operating outside the range of land-base aircraft. Second, logistics support is generallysupplied by their merchant fleet vice their navy.

Middle East and Southwest Asia

The Middle East and Southwest Asia (fig. 1-4)area of operation includes northeast Africa, theArabian Peninsula, and the area of Asia borderingthe Persian Gulf.

The large geographic area of the regionprovides for extremes of topography and climate.It has mountains higher than 24,000 feet anddeserts below sea level. Temperatures range from130°F or more to below freezing.

This region has many different cultural,ethnic, and religious groups. At present six majorlanguages and hundreds of dialects are spoken inthat region. The region and people have a historyof conflict dating back to the Sumarians and theancient city of Ur in southern Babylonia (southernIraq).

CHOKE POINTS. —The Middle East andSouthwest Asia are the principal sources of oil forthe industrial countries. Located in the PersianGulf region is 55 percent of the world’s knownoil reserves. Oil from this area becomes moreimportant as the use of oil grows and the world’sreserves decrease. Hostile countries could use theStrait of Gibraltar or the Suez Canal as chokepoints. That would disrupt international shippingbetween the Mediterranean Sea and the Indian

Ocean or between the oil-rich gulf states and therest of the world.

About 10 percent of the world’s sea tradepasses through the Suez Canal at the choke pointof Babel Mandeb. Most of the Persian Gulf oilpasses through the choke point at the Strait ofHormuz. Persian Gulf states are expandingoverland oil pipe routes to lessen the importanceof commerce through the Straits of Hormuz. Theoverland oil pipes will connect to terminals out-side the Persian Gulf.

POSSIBLE ADVERSARIES. —The UnitedStates’ major goals in this region are to providestability and unrestricted seaborne commerce andto ensure Western access to regional oil supplies.The United States also has strong ties to Israeland is committed to ensuring it remains strongand independent.

Recent examples of the willingness of theUnited States to commit assets to the regioninclude ship escorts from 1987 to 1988 during theIran-Iraq war. In August 1990 the United Statescommitted a substantial naval force to the areain support of Operation Desert Shield and DesertStorm. The goal of these operations was to deterIraq from attacking Saudi Arabia and to convinceIraq to withdraw from Kuwait. Total forcecommitment to Operation Desert Shield andDesert Storm included 6 carrier battle groups and450,000 combat personnel.

CONTROL OF SHIPPING. —U.S. navalpresence in the Middle East and Southwest Asiaincludes the Sixth Fleet in the Mediterranean Sea,naval units of the Sixth and Seventh Fleets in theIndian Ocean and Persian Gulf, and U.S. CentralCommand (USCENTCOM) forces. During peace-time our forces in the Mediterranean consist of1 or 2 aircraft carriers, with roughly 100 embarkedaircraft, or a battleship; supporting cruisers,destroyers, and frigates; amphibious ships;supply, fuel, and service ships; and nuclear sub-marines. The Sixth Fleet also includes a2,000-member Marine Expeditionary Unit (specialoperations capable). USCENTCOM naval forcesin the region, under Commander Middle EastForces, routinely include a command ship andfour combatants. Additional forces availablefor USCENTCOM include 5 Army divisions and2 brigades; 1 Marine Expeditionary Force(1 division and air wing); 21 Air Force tacticalfighter squadrons; B-52 bombers; 3 carrierbattle groups; 1 battleship surface action group;and 5 maritime patrol aircraft squadrons.

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The routine standing force ensures inter-national waterways remain open to shipping inthe region and provides forward deployed U.S.forces during hostilities. The optional forcesavailable to USCENTCOM are used in crisissituations. They were deployed in support ofOperation Desert Shield when Iraq invadedKuwait in August 1990.

Africa

Looking at the strategic importance of Africa,we need to divide Africa into northern Africa andsouthern Africa. From a naval viewpoint,northern Africa is important because it bordersthe Mediterranean Sea and the Red Sea. From aneconomic or strategic resources viewpoint,southern Africa is important because of the vastwealth in minerals it exports to developedcountries.

NORTHERN AFRICA. —Countries receivingSoviet military aid in northern Africa includeGuinea, Mali, Algeria, Libya, Egypt, andEthiopia. Of those countries, only Libya has beenopenly hostile to the United States.

For many years Libya openly sponsoredterrorist groups and carried out acts of aggressionin the Gulf of Sidra. However, Libya hasdecreased its level of aggression since the U.S.Navy lead Operation El Dorado on 15 April 1986.

Operation El Dorado was a joint Air Forceand Navy mission composed of strike aircraftbased aboard the USS America (CV66) and USSCoral Sea (CV43) and F-111 Air Force bombersbased in England. Using a high-speed, low-altitude approach, 12 Navy A-6Es struck theBenin airfield and Benghazi military barracks. Atthe same time, 12 F-111s struck the Aziziyahbarracks, the Sidi Bilal terrorist training camp,and the Tripoli military airport. Navy and MarineF/A-18s destroyed surface-to-air missile sites,while Navy E-2Ds, Navy and Marine EA-6Bs, andAir Force F-11 1s provided electronic counter-measures and command and control support.Navy F-14s and F/A-18s were on station toprovide fighter support.

The successful attack caught the Libyans bysurprise. Except for sporadic surface-to-airmissiles, the Libyans did not engage the U.S.strike force. The United States’ display of forceand stated willingness to strike again has playeda major role in deterring Libyan PresidentMuammar Muhammad al-Qaddafi from sponsoringfurther terrorist attacks against Americans.

The main mission of the Navy in the NorthAfrican region is to keep the sea-lanes open. Thesecondary mission is to support interest andpolitical goals in the region. The major challengerto U.S. sea power in the African theater ofoperations is the Soviet Union. Minor challengersinclude Libya (31-42 ships) and Guinea (2-3 ships).

SOUTHERN AFRICA. —The Soviets wish toincrease their influence in southern Africa.Countries currently friendly to the Soviets includeTanzania, Mozambique, Zambia, Zimbabwe,Botswana, Angola, and Namibia.

STRATEGIC RESOURCES. —Africa isamong the world’s richest continents in knownmineral wealth. It has a large share of the world’smineral resources in coal, petroleum, natural gas,uranium, radium, low-cost thorium, and othervaluable ores.

The abundant natural resources available inAfrica make it strategically important to Westernnations. The Navy may now appear to have norole in this area except in the Mediterranean Seaand Red Sea. However, we may be called uponto support U.S. interest in the many regionalconflicts happening in Africa. An example of oneof the regional conflicts is the civil war in Liberia,on Africa’s western coast. President Bush ordereda Marine amphibious group to that area in May1990 to evacuate personnel. Through September1990, the Marines evacuated more than 2,100people, including over 200 U.S. citizens.

The Far East

Subic Bay Naval Base and Clark Air Base arestrategically important to U.S. interests in theFar East. We could lose both bases because theirleases must be periodically renegotiated with thePhilippine government. These bases are on thesea-lanes and air routes to the Indian Ocean andthe Persian Gulf. Both bases played a vital rolein Operation Desert Shield. The bases also playa vital role in extending the range of U.S. forces.Much of the world’s oil that travels by shipthrough the various straits in the Indonesian areaare within range of U.S. bases in the Philippines.

The U.S. strategic objective in the East Asiaand Pacific area is to deter war. Strategic strikecapability, Pacific Command (PACOM) forces,bilateral defense treaties, forward deployment andbasing, and weapons technology all contribute todeterrence in the region. If deterrence fails, theUnited States and the Soviet Union could become

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Figure 1-5.-Soviet operations in the Sea of Okhotsk and the Northwest Pacific.

engaged in conflict, If that happens our mission have engaged in an alarming trend of acquiringwill be to contain the Soviet Pacific Fleet in the nuclear-capable ballistic missile systems. SaudiSea of Okhotsk and the Sea of Japan (fig. 1-5). Arabia, Iraq, Iran, Pakistan, Libya, and other

Middle Eastern countries are working hard toTHE NUCLEAR THREAT acquire nuclear capability. In contrast to the Third

World countries, the United States, the NATODuring the past the major nuclear powers have countries, and the Soviet Union are working to

done a good job in managing the nucIear threat. reduce the number of nuclear weapons in theirHowever, newly emerging Third World countries arsenals.

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Arms Control

The American quest for stability and thewillingness of the Soviets to bargain have led toarms control negotiations. That is not a neweffort. A history of arms control agreementsexists between the two superpowers stretchingback to 1959.

The first round of Strategic Arms LimitationTalks (SALT), concluded in 1972, produced theAntiballistic Missile (ABM) Treaty that severelyrestricts the deployment of ABM systems by eithercountry. The SALT I also produced the InterimAgreement on Strategic Offensive Arms thatplaced limits on the number of strategic nuclearweapons. That agreement was to remain in effectfor 5 years, but both countries pledged to abideby its provisions until further negotiations werec o n c l u d e d .

In 1974 both countries agreed to maintain anequal number of strategic delivery vehicles.Additionally, they agreed to sublimit the numberof delivery vehicles they could equip withmultiple independently targetable reentry vehicle(MIRV) warheads. Those agreements formed thebasis for the SALT II agreement in 1979. SALT IIcontinued the agreement of equal limits butlowered the level of limitation on strategicweapons delivery systems. That new agreementforced the Soviet Union to dismantle severalhundred missile launchers. In addition, theSALT II agreement placed sublimits on MIR Vballistic missiles in general and on MIR Vintercontinental ballistic missiles (ICBMs) inparticular. A provision, which accompaniesthe basic treaty, imposes restraints on thedevelopment of new and more sophisticatedweapons.

The United States sees arms control as animportant complement to the strategy ofdeterrence. We are seeking to reach an agreementwith the Soviet Union on a Strategic ArmsReduction Treaty (START). Our objective is toenhance strategic stability through equal andverifiable limitations on both sides. Despite somekey differences on issues, we are confident anagreement can be reached.

In negotiations the United States will continueto try to limit American-Soviet competition instrategic nuclear forces. The United States willcontinue to pursue the basic objectives of strategicdeterrence, adequate stability, and equivalence.That process began with the SALT I agreementand has progressed through the SALT II andSTART.

Present Posture

The Soviet navy could pose the greatestpotential threat to the U.S. Navy. Realistically,however, small Third World navies now posemore of an actual threat to U.S. naval forces.Since the U.S. Navy is primarily prepared toengage the Soviet navy, we will compare U.S. andSoviet maritime missions.

The Soviet navy’s primary mission is to beprepared to conduct strategic nuclear strikes fromSSBNs operating in protected waters close to theSoviet Union. The key to carrying out thatmission is strategic defense of seaward approachesto the Soviet Union. The Soviet navy, airforce, and army will try to control the SovietUnion’s peripheral seas and key land masses.The Soviets’ aim in controlling these areasis to deny Western access to areas needed tothreaten Soviet SSBNs. The Soviets usuallycreate sea denial zones up to 2,000 kilometersfrom the Soviet mainland. The primary targetsin the sea denial zones are sea-launched cruise-missile-equipped submarines, surface ships, andaircraft carriers.

Disruption of U.S. supply lines to Europe andAsia is another Soviet objective. The Soviets willattempt to interdict sea lines of communications(SLOC) and establish sea denial zones. Duringconflict the Soviets are expected to attack criticalSLOCs that link the United States and its allies.The Soviet submarine force plays a primary rolein the disruption of SLOCs.

The U.S. national security strategy is basedon deterrence, forward defense, and collectivesecurity. Forward-deployed U.S. and alliedcombat ready naval forces can provide a visibledeterrent to any country bordered by an oceanor a sea. These forces operate globally in supportof bilateral and multilateral commitments andproject military power in support of nationalpolicy and interest. U.S. naval forces have fourprimary peacetime objectives:

1.

2.

3.

4.

Defending the continental United States(CONUS) from attackAssuring freedom of the seas and pro-tecting important SLOCs from adversariesProviding regional stability by supportingfriends and deterring aggressionFunctioning as a visible power projectionforce capable of responding to crises andlow-intensity conflicts on short noticeanywhere in the world

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Should deterrence fail, the U.S. Navy’smission is the forward defense of the United Statesand its allies. The key objective is protection ofSLOCs from the United States to Europe andAsia. To accomplish that objective, the U.S. Navywill engage Soviet naval forces in the Soviet “seacontrol” and “sea denial” zones. The overallobjective of the engagement will be to remove theenemy’s offensive and defensive capabilities andensure freedom of the seas for the United Statesand its allies while deterring Soviet use of nuclearweapons at sea.

SUBMARINES. —The last U.S. diesel sub-marine, the USS Blueback (SS 581), wasdecommissioned on 1 October 1990. The remainingU.S. attack submarine force is composed ofSturgeon-, Skipjack-, Skate-, Permit-, andLos Angeles-class nuclear-powered submarines(SSNs). The United States SSBNs form the sealeg of the U.S. Trident nuclear deterrent. TheSSBN force includes the Lafayette-, JamesMadison-, Benjamin Franklin-, and Ohio-classsubmarines (fig. 1-6).

The United States has a smaller, but moreeffective, submarine force than the Sovietsbecause of a superior knowledge of submarinetechnology. That technology has resulted insuperior submarine quieting systems, combatsystems, and antisubmarine warfare (ASW) openocean acoustic surveillance and detection systems.These systems enable the United States and itsallies to maintain a superior technological andnumerical advantage over the Soviet submarineforce.

The principle Soviet platform for bothoffensive and defensive naval warfare is thesubmarine. The Soviets use the SSBN as theirprinciple strategic platform. They use attack (SSand SSN) and cruise missile (SSGN) submarinesto counter submarine and surface ship threats.The SS, SSN, and SSGN submarines are theprimary threat to U.S. and allied sea lines ofcommunications (SLOCs). The Soviet navy hasthe world’s largest general-purpose submarineforce, totaling about 300 active units. We expectthe Soviets to decrease their submarine force innumber during the 1990s and beyond. Thatdecrease will occur as they replace older sub-marines with newer diesel and nuclear-poweredsubmarines. The decrease in the total number ofsubmarines will not lessen the threat of theirsubmarine force because of improvements indesign, stealth, and combat capability.

SURFACE SHIPS. —The Soviet Union andthe U.S. naval surface forces have differentmissions (fig. 1-7). The Soviets are primarily acoastal navy emerging into a blue water fleet.The Soviets can provide only limited long-rangepower projection of surface forces or naval airsuperiority. These limitations result from theirprimary mission of providing protection to themainland and defending the ballistic missilesubmarine force close to the mainland.

The principle weakness of the Soviet navy isits relative lack of priority in providing underwayreplenishment. The Soviets rely on their extensivemerchant fleet to provide supplies to shipsengaged in sustained long-range operations.

Another weakness of the Soviet surface navyis the lack of long-range air power like thatprovided by a U.S. carrier battle group. Thatsituation will change somewhat as aircraft carriersnow under construction are brought into serviceduring the 1990s.

AIRCRAFT. —Soviet shipborne capable air-craft are primarily limited to helicopters andvertical/short takeoff and landing (V/STOL)aircraft. The Soviets are increasing their aircapability with the introduction of the new Tbilisi-class aircraft carrier that will include the newYak-41 V/STOL fighter and the Su-27 Flanker.Despite the introduction of that class of aircraftcarrier, Soviet naval aviation (refer to table 1-1)will remain primarily a land-based force.

U.S. naval aviation (refer to table 1-2) is aversatile multimission force capable of providingfleet defense, ASW, and long-range strike andattack capability. The United States shouldcontinue to retain a significant advantage inseaborne air power for the foreseeable future.

CHEMICAL ANDBIOLOGICAL WEAPONS

The increase of chemical and biologicalweapons has become a global problem. To date,more countries than ever have chemical andbiological weapons. It is alarming that many ofthese countries are in areas of strategic importanceto the United States. In the Middle East theproblem is particularly acute.

Third World countries view the use ofchemical and biological weapons differently thanthe United States. The United States’ stance onchemical and biological weapons is “that it isabhorrent, reprehensible, and unacceptable thatchemical weapons ever be used against the men

1-12

Figure 1-6.-U.S. and Soviet submarine forces comparison.

1-13

Figure 1-7.-Soviet Union and United States surface ship comparison.

1-14

Table 1-1.-Soviet Naval Seaborne and Land-Based Aircraft

and women of the armed forces of the UnitedStates or its allies and that the United States willdo all it can to prevent such use.” A statementmade by the foreign minister of Syria is anexample of the attitude of Third World countries.He said, “It is unacceptable, given continuedIsraeli occupation and the disequilibrium existingin our region, to adopt selective concepts andmethods aimed at disarmament concerning only

Table 1-2.-U.S. Navy and Marine Corps Seaborne andLand-Based Aircraft -

1-15

one kind of mass destruction weapon withouttaking into account the need of disarmamentconcerning other forms.” Clearly, these countriesconsider chemical and biological weapons as aneconomical alternative to nuclear weapons. Theyare unwilling to talk of disarmament withoutlinking chemical and biological weapons tonuclear weapons.

The rise of chemical and biological weaponsin the Middle East has been linked to Israel andFrance. Israel and France were joint partners ina nuclear warhead development program from1957 to 1959. France successfully tested a nucleardevice in 1960. Israel used its connection withFrance to obtain a research reactor from France.Israel will neither confirm nor deny that it hasnuclear weapons, but for many years Israel wasthought to possess between 20 to 25 devices of20-kiloton size. New evidence suggests that Israelhas between 100 and 200 nuclear warheads andcan produce thermonuclear devices. Israel also hasweapons delivery systems in the form of aircraft,the Lance missile (mobile, 100-kilometer range),and the Jerico 2 missile (mobile, 1500-kilometerrange).

In an attempt to decrease the number ofnuclear weapons in the Middle East, countries inthat region have conducted preemptive strikes onnuclear reactors. In September 1980 the Iraniansled a strike against an Iraqi reactor at Osarik. Theattack damaged the reactor but did not destroyit. The Israelis destroyed the Osarik reactor withan air strike in June 1981.

The chemical agent most likely to be used bycountries desiring to produce chemical weaponsis the nerve agent Tabun. (Refer to tables 1-3 and1-4 for a description of chemical agents anddefenses.)

Any country that has the capability ofproducing organophosphorus pesticides can easilyproduce Tabun. Other types of nerve agents aremore difficult to produce, but could be done withhelp from industrialized countries. Countries inthe Middle East with known or suspected chemicalweapons capability include Israel, Egypt, Libya,Syria, Iran, and Iraq.

EMERGENCE OF THIRDWORLD COUNTRIES

Of the emerging Third World countries, Iran,Iraq, Libya, and Syria deserve a special lookbecause of their past hostility toward the UnitedStates. More alarming than the past hostilitytowards the United States is the cavalier attitude

of the leaders of Iran, Iraq, and Libya in theiruse of chemical weapons.

Iran

Iran has been hostile toward the United Statessince radical, religious forces overthrew thegovernment in 1979. Iran is an Islamic Republicwith ties to the Soviet Union, from whom it buysmany of its military weapons.

During the 8-year Iraq-Iran war, the UnitedStates supported Iraqi President Saddam Husseinin an attempt to topple the Iranian government.In a strange turn of events, the United Statesasked Iran for support of Operation DesertShield.

Also during 1987 to 1988, U.S. warshipsensured freedom of passage to tankers carryingoil through the Persian Gulf. U.S. forces engagedelements of the Iranian navy and attacked Iranianoil platforms in the Persian Gulf.

The Iranians have an arsenal of Soviet SS-1(Scud-B) missiles and would like to developtheir surface-to-surface missile capability. Iranwants to purchase the Chinese M-9 missile(600-kilometer range). The Iranians claim they canproduce their own version of the SS-1. They haveproduced a version of the Chinese Type 53artillery rocket, called the Oghab, that has a40-kilometer range. Iran is also perfecting anunguided rocket called the Iran 130, which hasa range of 130 kilometers. These missiles androckets can be fitted with chemical warheadsas well as conventional warheads. The UnitedStates believes Iran has a stockpile of mustardgas and phosgene and may be trying to obtainnerve gas.

Iraq

Iraq is a Soviet client state in the Middle East.From 1980 to 1990 Iraq built up its military untilit became the sixth largest military power in theworld. In August 1990 Iraq invaded Kuwait. Thestated Iraqi reason for the invasion was a policydifference with Kuwait concerning the price andproduction quota of Kuwaiti oil. The UnitedStates intervened on behalf of Saudi Arabia tostop the Iraqi advance short of the Saudi oilfields.

Iraq is working to purchase the technology tobuild nuclear weapons. The customs agents of theUnited States and England have worked togetherto slow the Iraqi effort. They recently intercepteda shipment of electronic components, suitable foruse in nuclear weapons, bound for Iraq.

1-16

Table 1-3.-Properties of Chemical Agents

1-17

Ta

ble

1-4

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1-18

The Iraqis have chemical weapons and haveused them both inside their country and againstIran. Iran claimed to be victim to 253 chemicalattacks during its war with Iraq. The UnitedNations investigated the Iranian claims and foundevidence to confirm Iraq’s widespread use ofmustard gas and nerve agent GA (Tabun).

The Iraqis possess a stockpile of SS-1 (Scud-B)and Frog 7 missiles. They may also have the SS-12missile, capable of carrying both nuclear andchemical warheads. The addition of the SS-12missile has allowed Iraq to carry out long-rangemissile attacks against its enemies, includingIsrael. Iraq has developed two surface-to-surfacemissiles: the al-Husayn (650-kilometer range) andthe al-Abos (900-kilometer range).

Libya

Libya openly sponsored terrorist attacksagainst U.S. military personnel in Europe. Afterthe United States attacked Libya in response toa terrorist attack, terrorist attacks worldwide havedecreased. Libya has not recently challenged theUnited States; however, it remains a threatbecause of its large chemical weapon capability.

Libya may have used chemical weaponsagainst Chad in 1986. Libya has also drawn inter-national attention over its efforts to secure nervegas technology. German companies supplyingLibya with technology unknowingly helped Libyadevelop its present chemical warfare capability.

Syria

Syria may be the United States’ most formida-ble opponent in the Middle East because of itsoffensive chemical weapons capabilities. Syria isthought to own a wide range of chemical weaponsincluding the nerve agent GB (Sarin).

The Syrian arsenal includes the Soviet SS-1,SS-12 (with warheads for chemical agentsincluding nerve agent VX), and possibly theChinese M-9 missiles.

SUMMARY

Over the last 200 years, the Navy hasprogressed from a small force of two ships to oneof the largest navies in the world. The mission ofthe Navy includes naval presence, sea control, andpower projection.

The Navy’s traditional theaters of operationsinclude Europe, the Middle East, Africa, the Far

East, and the Americas. These areas are changing,and the outcome of the changes could have animpact on the Navy’s mission and goals.

The United States, NATO, and the SovietUnion have been negotiating treaties to reduce theamount of nuclear weapons they own. In contrast,many newly emerging Third World countries aretrying to obtain the technology to producechemical, biological, and nuclear weapons.

REFERENCES

Cheney, Dick, “The Heart of the Soviet Threat,”Defense, Volume 90, January/February 1990,pp. 2-7.

Harristy, Admiral Huntington, “Pacific Watch-word is Change,” Defense, Volume 90,May/June 1990, pp. 16-23.

Miller, A. J., “Towards Armageddon: TheProliferation of Unconventional Weapons andBallistic Missiles in the Middle East, ” TheJournal of Strategic Studies, December 1989,pp. 387-401.

Powell, General Colin L., “Changes and Chal-lenges: An Overview,” Defense, Volume 90,May/June 1990, pp. 8-15.

—, “Is the Future What It Used to Be?”, Defense,Volume 90, January/February 1990, pp. 3-7.

—, “U.S. Military Doctrine: The Way WeWere—and Are,” Defense, Volume 90,March/April 1990, pp. 16-20.

—, “The Middle East and Southwest Asia,”Defense, Volume 90, January/February 1990,pp. 17-22.

Schwarzkopf, General H. Norman, ‘‘Turmoil-Middle East Business as Usual,” Defense,Volume 90, May/June 1990, pp. 24-30.

Soviet Military Power: Prospects for Changes1989, Superintendent of Documents, U.S.Government Printing Office, Washington,D.C., 1989.

Welch, Thomas J., “The Growing Global Menaceof Chemical and Biological Warfare,”Defense, Volume 90, July/August 1989, pp.19-27.

Wolfowitz, Paul D., “Strategic Thinking inToday’s Dynamic Times,” Defense, Volume90, January/February 1990, pp. 9-11.

1-19

CHAPTER 2

MILITARY CONDUCT AND JUSTICE

LEARNING OBJECTIVES

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

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

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

foreign countries.

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

THE PRELIMINARYINVESTIGATION

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

REPORT AND DISPOSITION OFOFFENSE(S) (REPORT CHIT)

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

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

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

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

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

2-1

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

2-2

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

2-3

PRELIMINARY INQUIRY 4. Originals or copies of documentaryevidence

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

1.

2.3.

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

Figure 2-3.-lnvestigator’s Report.

2-4

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

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

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

The accused’s currently assigned duties

Evaluation of his or her performance

The accused’s attitudes and ability to getalong with others

Personal difficulties or hardships theaccused is willing to discuss

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

Figure 2-4.-Witness’ Statement.

2-5

Interrogate Witnesses

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

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

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

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

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

2-6

Collecting Documentary Evidence

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

Collecting Real Evidence

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

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

Advise the Accused

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

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

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

2-7

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

Interrogate the Accused

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

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

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

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

Threat of bodily harm

Imposition or threats of confinement, ordeprivation of privileges or necessities

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

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

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

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

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

U.S. NAVY REGULATIONS

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

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

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

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

2-8

•

••••

STATUTORY AUTHORITY FORUNITED STATES NAVYREGULATIONS

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

0103. Purpose and Effect of United States NavyRegulations

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

0107. Maintenance of Navy Regulations

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

THE DEPARTMENT OF THE NAVY

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

THE SECRETARY OF THE NAVY

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

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

THE CHIEF OF NAVAL OPERATIONS

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

THE COMMANDANT OF THEMARINE CORPS

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

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

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

COMMANDERS IN CHIEFAND OTHER COMMANDERS

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

THE COMMANDING OFFICER

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

2-9

0801. Applicability

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

0818. Publishing and Posting Orders and Regu-lations

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

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

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

c. Again, upon the occasion ofeach reenlistment.

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

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

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

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

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

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

General,e. Marine Corps Manual (for

Marine Corps personnel),

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

THE SENIOR OFFICER PRESENT

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

PRECEDENCE, AUTHORITYAND COMMAND

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

1020. Exercise of Authority

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

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1021. Authority Over Subordinates

This article gives officers the authoritynecessary to perform their duties.

1022. Delegation of Authority

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

1023. Abuse of Authority

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

1024. Contradictory and Conflicting Orders

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

1033. Authority in a Boat

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

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

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

1038. Authority of a Sentry

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

1039. Authority of Juniors To Issue Ordersto Seniors

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

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

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

c. an executive officer executing anorder of the commanding officer

GENERAL REGULATIONS

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

1111. Pecuniary Dealings With Enlisted Persons

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

1112. Lending Money and Engaging in a Tradeor Business

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

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

1115. Report of Fraud

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

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

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

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

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

1132. Compliance With Lawful Orders

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

1133. Language Reflecting on a Superior

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

1134. Exchange of Duty

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

1137. Obligation To Report Offenses

All offenses observed shouldreported to the proper authority.

be

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

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

1143. Report of a Communicable Disease

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

1144. Immunization

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

1145. Service Examinations

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

1150. Redress of Wrong Committed by aSuperior

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

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1151. Direct Communication With the Com-manding Officer

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

1154. Communications to the Congress

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

1155. Dealings With Members of Congress

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

1156. Forwarding Individual Requests

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

1157. Leave and Liberty

Leave and liberty will be granted to themaximum extent practicable.

1158. Quality and Quantity of Rations

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

1159. Possession of Weapons

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

1160. Possession of Government Property

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

1162. Alcoholic Beverages

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

FLAGS, PENNANTS, HONORS,CEREMONIES, AND CUSTOMS

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

STANDARD ORGANIZATION ANDREGULATIONS OF THE U.S. NAVY

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

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

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

UNIT ADMINISTRATION

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

100.1 Relationship to Other Guidance

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

142.2 Policy Guidance

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

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

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

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

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

EMI should not be conducted on amembers sabbath.

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

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

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

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

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

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

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

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

Initiate recommendation for higherawards.

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

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

STANDARD UNIT ORGAN1ZATION

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

230. Promoting understanding of the organ-ization

231. Organizational charts

232. Functional guides

THE UNIT ORGANIZATION

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

351. Department duty officer

364. Division leading chief petty officer(LCPO)

365. Division damage control petty officer

366. Work center supervisor (other thanaviation units)

WATCH ORGANIZATION

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

403. General duties of watch officers andwatch standers

404. Watchstanding principles

405. Orders to sentries

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

414. Relieving the watch

420. The deck and engineering logs

421. The deck log

441.3 Officer of the deck in-port

441.7 Department duty officer

442. Quarterdeck watches

443. Security watches

444. Additional watches

REGULATIONS

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

510.5 Armed Forces Identification Cards andLeave Papers

No person without proper authority shall:

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

510.9 Card Games and Gambling

No person will:

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

510.18 Emergency Equipment

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

510.21 Government Property

No person shall:

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

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

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

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510.22 Grooming and Personal Appearance

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

510.24 Hitchhiking

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

510.25 Indebtedness

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

510.32 Mess Gear

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

510.37 Outfits, Uniforms, and Clothing

No person will:

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

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

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

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

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

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

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

510.40 Personal Effects

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

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

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

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

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

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

No person shall: 510.48 Removal of equipment from ship

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

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

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

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

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

hazards.A plan of the day will be published

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

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

on all department and division bulletinboards.

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

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

obeying applicable orders containedmaximum operational availability to fleet

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

be read at quarters.UNIT DIRECTIVES SYSTEM

510.46 Profane LanguageChapter 10 sets forth and explains the pro-

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

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STATUS OF FORCES AGREEMENTS

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

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

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

PURPOSE OF SOFA

The main purposedefine the status ofpersonnel stationed in

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

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

Freedom of troop movements within thehost country

Passport requirements

Criminal jurisdiction

Taxes

Imposition of customs duties

Regulations covering

Exchange privileges

driver’s license

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

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

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

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

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

DEVELOPMENT OF SOFA

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

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

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

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

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

JURISDICTIONAL ARRANGEMENTS

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

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

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

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

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

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

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

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

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

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

PUNISHMENTS IMPOSED

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

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

CONFINEMENT AND CUSTODY

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

RIGHTS OF SERVICE MEMBERS

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

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

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

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

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

SUMMARY

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

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

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

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

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

REFERENCES

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

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

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

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

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CHAPTER 3

LEADERSHIP

LEARNING OBJECTIVES

Upon completion of this chapter, you should

1. Describe how to apply sound leadership 4.practices to managerial abilities.

2. Interpret command or departmental instruc-tions and documents used to formulate

5.

division work requirements.

3. Analyze division material and personnel 6.readiness.

be able to do the following:

Identify the steps necessary to monitor theprogress of overall division work efforts.

Identify the methods used to determinedivision timelines.

Identify the methods used to monitor theassignment of division personnel.

This chapter addresses the topics of leadershipand management. The chapter should provide youwith an introduction to the fundamentals ofleadership and management required at the chiefpetty officer level. Topics covered in this chapterinclude effective management, leadership, personalcharacteristics, and Total Quality Management(TQM). An in-depth discussion of the topicspresented in this chapter is beyond the scope ofthis text. However, Management Fundamentals:

A Guide for Senior and Master Chief PettyOfficers, NAVEDTRA 10049, gives an excellentgeneral overview of leadership and managementfundamentals used by chief petty officers.

SUPERVISORY RESPONSIBILITIES

Within the formal Navy management structure,management begins at the chief petty officer level(fig. 3-1). Top-level management is composed of

Figure 3-1.-Levels of management.

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executive officers and above. Those officers areresponsible for setting the direction and vision ofthe command. In short, they set the major goalsthe command is to accomplish.

Middle management is composed of departmentheads. The department heads determine whichelements of their department are required to meeteach of the specific goals set by upper manage-ment. Department heads also assist in coordinatingaction between their divisions or interaction withother departments.

Operating-level management is composed ofdivision officers and chief petty officers. Personnelat that level are responsible for fulfilling the super-visory function of management. The operatinglevel of management is responsible for taking thegoals and determining a plan of action toaccomplish the goals. The operating level is alsoresponsible for ensuring the workers accomplishthe goals in a timely manner. The elements ofmanagement chief petty officers are involved ininclude planning, staffing, controlling, organizing,and leading.

PLANS

Plans are methods devised to achieve a goal.They are like road maps—they set the course thecommand will follow. All levels of managementare involved in one type of planning or another.At the chief petty officer level, you will probablybe involved in only one type of planning.

All plans fall into one of three general groups:strategic plans, standing plans, and single-useplans. Although you will normally be involved insingle-use plans, understanding all levels ofplanning will help you meet your planning require-ments.

Strategic Plans

Strategic plans involve activities that will takeplace in 2 to 5 years. The type commander(TYCOM) or higher authority uses the strategicplans of an organization to set its organizationalmission and objectives. The commanding officermay set additional organizational objectives suchas receiving the Golden Anchor Award or pass-ing the operational propulsion plant examination(OPPE) with no discrepancies.

ORGANIZATIONAL MISSION. —Theorganizational mission states the intended purposeof the command. The Ship ’ s/Command’sOrganization and Regulation Manual (SORM)contains the organizational mission.

ORGANIZATIONAL OBJECTIVES. —Organizational objectives are long-range objec-tives. They serve as the goals for management inachieving the organizational mission. The typecommander or squadron-level commanders setorganizational objectives. You can find thoseobjectives in your command’s five-year plan,yearly schedule, and quarterly schedule. Examplesof organizational objectives are the board ofinspection and survey (INSURV), the operationalpropulsion plant examination (OPPE), theoperational readiness inspection (ORI), anddeployment schedules.

You can use those long-range objectives toassist you in planning your work center objectives.An example of a work center objective is preparingfor an upcoming board of inspection and survey(INSURV) visit.

As a work center supervisor, you will probablydiscover an upcoming inspection the month beforeit occurs. You could, however, find out theapproximate date of the inspection 2 or moreyears in advance so that you could begin correctingor documenting discrepancies. That type of planningeliminates crisis management.

Standing Plans

Standing plans are those the Navy uses forrecurring or long-range activities. They includeUnited States Navy Regulations, 1990 (NavyRegs), Standard Organization and Regulations ofthe U.S. Navy (SORN), SORM, S E C N A Vinstructions, OPNAV instructions, captain’s nightorders, technical manuals, and so forth. Chiefpetty officers use standing plans to determineroutine work requirements within the division orwork center.

POLICIES. —Policies are broad generalstatements of expected behavior. You shouldbecome familiar with the command policies statedin the SORM. You could be tasked with helpingthe division officer develop divisional policies.Divisional policies involve areas such as the com-mand sponsor program, extra military instruction(EMI), extension of work hours, and routing ofrequest chits. As a general rule, your division willalready have division and command policy state-ments; your job is to ensure your subordinatescarry out those policies.

PROCEDURES. —Procedures are detailedstanding plans. Procedures define the exact stepsin sequence personnel should take to achieve the

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organizational objective. Examples are anelectrical tag-out procedure, a maintenancerequirement card (MRC), or a command check-in/out sheet. Ensure personnel comply with yourdivision’s established procedures, and submitrequests for correction whenever a procedurebecomes outdated or is in error.

RULES AND REGULATIONS. —Rules andregulations are standing plans that specificallystate what personnel can and cannot do in a givencircumstance. Commands use them to ensurepersonnel adhere to policy. Navy Regs, SORN,and command regulations fall into this category.

Although you should enforce rules and regula-tions, you don’t have to place everyone whoviolates a rule or regulation on report. As a chiefpetty officer, you have some latitude in applyingcorrective measures, depending on the severity ofthe infraction.

Single-Use Plans

Single-use plans are those used for short-rangenonrecurring activities. You should excel in thisarea of planning. Make short-range planning apart of your daily activity. Use strategic plans andstanding plans to determine short-range planningrequirements. Short-range plans should includemonthly, weekly, and daily plans. Types of single-use plans you will develop include programs,projects, and budgets.

PROGRAMS. —Programs are single-use plansthat state a specific goal and give the major steps,the timing of those steps, and the resourcesrequired to meet the stated goal. Examples ofprograms include the Personal Excellence Program,the National Apprenticeship Program, and theOverseas Duty Support Program.

PROJECTS. —Projects are the separate tasksyou must plan to meet program goals. When youmake plans to paint divisional spaces, you areplanning a project required to meet the goals ofthe Habitability Program. When you fill out atraining schedule, you are planning a projectrequired to meet the goals of your command trainingprogram.

Become familiar with the Navy’s programs.Doing so can help you to lead and manage yourwork center more efficiently because you will beaware of what is expected of you. You will alsohave steps to follow in reaching program goals.You can then devise projects to meet those goals,

BUDGETS. —Budgets are planned revenueand expenditures of money, time, personnel,equipment, and so forth, expressed in numericalterms, usually by category and over a period oftime. Most people think of budgets only in relationto money. You should think of a budget as adetailed plan of how you will use all of yourresources,

When you plan a project, make a budget ofthe time allowed, the personnel assigned, and thematerial resources and funding required.

MANAGEMENT BY OBJECTIVES

Management by objectives (MBO) is a fancyterm for the type of management most commandsuse. MBO means supervisors and subordinatestake part in setting overall goals for the organiza-tion. Each individual has a responsibility formeeting a major area of the goal. The commandexpresses that responsibility as those steps itexpects individuals to take in meeting those goals.The command then uses those expectations as ameasuring device to gauge the successfulcompletion of the job.

The Navy Leader Development Program(NAVLEAD) is based on MBO. It teaches Navyleaders to set goals. The leaders use managementand supervisory skills, outlined later in thischapter, to achieve desired results in the workcenter or division.

Objectives

The purpose of MBO is to set clearly definedgoals that all participants can easily understand.MBO helps managers plan, define jobs, motivatesubordinates, interact with subordinates, evaluateworker performance, and link command objectivesto division or work center objectives.

Basic Principles

MBO is based on two basic principles. Thefirst is that if you get people committed to a goal,they are more willing to work toward that goal.The second is that if you allow people to set thegoal, they will do everything possible to achievethat goal.

As a manager, your first job is to get peoplecommitted to a goal through joint decisionmaking. When done correctly, your subordinateswill have a personal interest in accomplishing thegoal. The goal will no longer be just what the chiefwants to do, but what your subordinates told you

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they were capable of accomplishing. At that pointthe goal has become the personal goal of yoursubordinates.

Your second job is to work with yoursubordinates to set a goal. Goals should berealistic and attainable. When subordinatesparticipate in goal setting, they help to set thestandards and criteria you will use to evaluate theirperformance in reaching that goal.

Advantages and Disadvantages

MBO provides some advantages over othertypes of management styles. It involves subor-dinates in setting goals, forces leaders to focus onimportant objectives, increases communication,and establishes measurable performance goals.

However, MBO also has some disadvantages.An organization can use it only in certainsituations. It requires more time to use, increasespaperwork, and may overlook objectives thatcannot be measured. In addition, MBO will workonly if top leaders support it and peoplecommunicate as required. When leaders don’tsupport MBO, the disadvantages can cripple anorganization.

DETERMINING WORKREQUIREMENTS ANDSETTING PRIORITIES

One of the most difficult and often overlookedjobs of the chief petty officer is to determinedivisional work requirements and priorities. Youwill find the work requirements in your division’sstrategic plans, rules and regulations, and single-use plans. Once you have determined the require-ments, you must determine the tasks needed tocomplete them. Then you will set priorities basedon the order in which the division needs tocomplete each task.

Determining Work Requirements

To determine work requirements, you need astarting point to establish what your division ispresently accomplishing (the real situation) inrelation to what the division should be accom-plishing (the ideal situation).

The work requirements your division shouldbe accomplishing are outlined in your command’sstrategic, standing, and single-use plans. Youshould compare these work requirements to whatyour division is currently accomplishing. You mayfind your division is not following the work

requirements outlined in your command’s variousplans. In this case, you need to revise thedivision work requirements to conform to thecommand’s plans. Or you may find your divisionhas the correct work requirements, but the goalsfor those requirements are not being met. In thiscase, you need to revise the division’s goals foraccomplishing the work requirements.

The real-ideal model (fig. 3-2) is a flow chartyou can use in setting new goals for your division’swork requirements. The exact sequence of settinggoals for work requirements should be done inthe following order:

Recognize the real situation in yourdivision.

Review strategic, standing, and single-useplans to determine the ideal situation foryour division.

Figure 3-2.-Real-ideal model.

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• Identify the differences between the realand ideal situation.

• Determine if the gap between the real andideal is large enough to require correctivemeasures.

• Make a commitment to change if sorequired.

• Set the goals for accomplishing the change.

• Develop a single-use plan to implement thechange.

After your goals for the work requirementsare set, you should review them to ensure theywill be effective. Effective goals for work require-ments should meet four criteria:

1. Be behavior specific—specify the necessaryaction to take

2. Be measurable—specify criteria or check-points for accomplishing the goal

3. Be realistic but challenging—test yourability, but have at least a 50-percentchance of being attained

4. Be time-phased—provide a time scheduleor deadline for reaching the goal

Priorities

You should now have determined yourdivision or work center work requirements byusing the real-ideal model. The next step is toprioritize the work requirements. To determinepriorities, ask the question What is the purposeof my division? Then use the answer to thisquestion to set your number one priority.

Next, at the top of a sheet of paper, write twoheadings: ROUTINE and NONROUTINE. In theroutine column, list tasks that take place on arecurring basis. In the nonroutine column, listtasks that do not occur often and need yourspecial attention. Within each column, label eachtask Important, Urgent, or Important/Urgent asappropriate. Important/urgent tasks requireimmediate attention; do those first. Do the Urgenttasks next and the Important tasks last. Sometasks may not fit any of the categories; do thosetasks when you have time.

You have now divided all tasks into twocolumns and prioritized them. Which tasks do youdo? You do only those which require your specialskills. Delegate the tasks in the routine column

to subordinates. Delegate those in the nonroutinecolumn if possible; however, monitor job progressclosely.

Ensure you have trained your subordinatesbefore delegating any work to them. When youdelegate work, let your subordinates know youare available to help with any problems.

STRENGTHS, WEAKNESSES,OPPORTUNITIES, AND THREATS(SWOT)

You can use the strengths, weaknesses,opportunities, and threats (SWOT) analysis tohelp you determine the needs of the division. Theobjective of the SWOT analysis is to help youidentify those areas in which the division (1) needsimprovement (2) has available opportunities and(3) must overcome certain obstacles.

To perform a SWOT analysis, first take anobjective look at your division. Make a list of itsstrengths. Those are the areas in which thedivision does a good job. Second, make a list ofthe division’s weaknesses. Those are the areas inwhich the division needs to improve. Third, makea list of opportunities. Those are areas that couldhelp the division, such as unfilled school quotas,surplus supply funds, personnel due to report, andmaintenance availabilities. Last, make a list ofthreats. Those could be upcoming inspections,personnel losses, and cuts in funding. Perform theSWOT analysis before the beginning of eachquarter, and then use it in developing your short-range plans.

STAFF

Every job the Navy has requires people. Eachperson is important to the overall mission of theNavy. Therefore, the staffing of personnel is animportant part of your job. In determiningpersonnel needs and qualifications to keep yourdivision running smoothly, remember that peopleare your most important resource.

Personnel Needs

You will assist the division officer in reviewingthe ship manning document to determine futuremanning requirements. Since your command mayperiodically request additional billets to coverpersonnel shortages, be sure to document yourdivision’s personnel requirements to justify thoserequests.

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Additionally, you may be required to solicitor provide additional manpower from or to otherdivisions to accomplish assigned tasks. Carefulplanning and cooperation with other divisions canresult in benefits for both divisions. Never askfor more people than you need, but be sure youhave enough people on hand to meet specialrequirements.

Personnel Qualifications

You need more than just people to accomplishtasks—you need qualified people. Reviewpersonnel qualifications to ensure you assignqualified people to do jobs. When people are notqualified, assign a qualified person to help themin task accomplishment.

When reviewing personnel qualifications,make sure their service records document thosequalifications. A person is not qualified until therequired entries have been made in his or herservice record. Don’t put yourself in the positionof having to endure a mishap investigationbecause your people were unqualified.

of control is when the officer of the deck(OOD) makes course changes during navigationdetail.

Feedback

Feedback involves making corrections after anevent has happened. You monitor the event andthen evaluate how to improve the outcome thenext time. Examples of this type of controlinclude performance evaluations, inspections, andcaptain’s mast.

Inventory Control

The Navy supply system is designed to be aneffective inventory control system when usedcorrectly. However, most supervisors oftenoverlook inventory control until they go tosupply to request a part. Make sure you performinventory control by monitoring division supplies.Ensure your coordinated shipboard allowance list(COSAL) is current and that supply has all thespare parts or required supplies listed in yourCOSAL inventory.

CONTROLLINGQuality Control

Controlling is another term for monitoring.Control ensures the Navy and your command,department, and division meet their goals. Youmust use different types of control to maintainstability within your division.

Feedforward

Feedforward control is a way of trying toanticipate problems and make adjustments beforethe problems occur. You try to foresee possibleproblems and apply a solution to prevent themfrom occurring. The planned maintenance system(PMS) used aboard ship is an example of feed-forward control.

Concurrent

Concurrent control involves making changeswhile an event is taking place. You constantlymake little changes to keep your division movingtoward your stated goal. An example of this type

Quality control is a method of ensuring thatyour customers receive a product that meetsperformance expectations. Your customers aredivisions or departments that use your division’swork output. Your customers also include othercommands and the American taxpayer. A basicquality control system involves some or all of thefollowing measures:

•

•

•

•

Setting standards so that quality goals canbe established and then measuring orevaluating those goals

Inspecting and comparing materials, parts,and services to a set standard

Using statistics to measure deviation anddetermine if quality is within set standards

Using measurements or inspections toevaluate or compare actual quality todivision goals for quality

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FEEDFORWARD QUALITY CONTROL. –Feedforward control, when used as a qualitycontrol device, is an inspection of the rawinput for defects. An example is when youcheck parts received from supply to ensurethey are of the correct type and numberand are free of defects. If you find a problem,you should try to determine where it occurred.Did your division order the wrong part,wrong quantity of parts, or wrong styleof part? Does the supply system have aquality control problem that should be iden-tified and passed on to higher authority foraction?

CONCURRENT QUALITY CONTROL. —Concurrent control, as a quality control device,uses inspections to identify potential defectswhile the work is taking place. An example iswhen you inspect surfaces to be painted beforepainting.

FEEDBACK QUALITY CONTROL. —Feed-back, when used as a quality control device,occurs after the task has been completed. Thistechnique is useful to improve future quality.However, if you omit feedforward and concurrentcontrol and only rely on feedback, many tasksmay require complete rework because of problemsin quality.

STATISTICAL ANALYSIS. —When thenumber of items produced is too large for aninspection of each item, statistical analysisis used. Random samples are taken andmeasured against the stated quality goal.If the samples fail to meet expectations,then the entire batch or lot could havefailed to meet quality goals. An example isa periodic planned maintenance system inspectionby the type commander (TYCOM). TYCOMmight make random maintenance inspectionsand use the results to form conclusions aboutoverall maintenance within the command.

QUALITY CIRCLES. —Quality circles consistof small groups of workers within each divisionwho look for ways to reduce defects, rework, andequipment downtime. The workers also makerecommendations concerning morale, workingconditions, and worker recognition for superiorperformance.

ZERO DEFECTS. —Zero defects is a type ofquality control that is based on the theory ofdoing the job right the first time. Supervisorsencourage workers to stop work to seek a solutionwhen they identify a problem and to suggestmethods of improvement. Supervisors follow upon suggestions and put into effect those which arefeasible. Workers who practice this type ofcontrol save time because they do not have torework a task.

Measurable and Nonmeasurable Control

To achieve control, you can use two methods:(1) measurable and (2) nonmeasurable.

MEASURABLE CONTROL. —You can usemeasurable control to determine the quality andquantity of the work output. This method ofcontrol involves the use of specific informationand measurements, such as budgets, audits orinspections, Gantt charts, and performanceevaluation and review techniques (PERT).

NONMEASURABLE. —You can use non-measurable control to measure overall divisionperformance while performing other functionssuch as planning, staffing, organizing, andleading. You can also use it to control the attitudesand performance of workers. This method ofcontrol involves the use of techniques suchas discussions with workers, oral or writtenreports, performance evaluations, inspections,and observations of work.

TYPES OF MEASURABLE CONTROL. —Most of the nonmeasurable controls are builtinto the Navy system or are self-explanatory. Wewill limit this discussion to the measurablemethods of control most people may not befamiliar with. These methods are the plan ofaction and milestones, Gantt chart, programevaluation and review technique (PERT), andcritical path method (CPM).

Plan of Action and Milestones. —A plan ofaction and milestones (POA&M) could beconsidered a budgetary type of control. You usethe POA&M to budget time, personnel, andresources necessary to complete a task. The basicPOA&M defines the job to be done, resourcesrequired, steps to be taken, and progress expected

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Figure 3-3.-Sample Plan of Action and Milestones (POA&M).

at specified times (see figure 3-3 for a sample The side of the chart indicates work output,POA&M). The POA&M is commonly used in and the top of the chart is divided into units ofcommands throughout the Navy.

Gantt Chart. —The Gantt chart shows plannedand accomplished work in relation to each otherand in relation to time. The Navy uses it as thebasis for more complicated charts, such as PERTand CPM. You will find the Gantt chartparticularly useful in planning and controllingoperational-level tasks.

time. Refer to figure 3-4. The left side of the chartlists tasks to be completed. The top of the chartshows the time allotted for task completion. Theunshaded bars represent the time allowed for eachindividual task. The solid bar represents howmuch of each task has been completed.

Program Evaluation and Review Technique. —The Navy developed the program evaluation and

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Figure 3-4.-Sample Gantt chart.

review technique (PERT) while constructing thePolaris fleet ballistic missile. It focuses on keypoints and steps that may present potentialproblems. You will find PERT helpful whenscheduling complicated nonrepetitive tasks and asa device to evaluate and report progress.

The PERT uses a line chart to show therelationship of tasks and the time required tocomplete each task. The chart contains lines andnodes (circles) that represent the start andcompletion of tasks.

When using the PERT, you apply a mathe-matical formula instead of guesswork to figurethe time needed to perform a task. You need threetime estimates to complete the formula. First,estimate an optimistic time (TO) based on aminimum of difficulties that could occur. Second,estimate a pessimistic time (Tp) based on themaximum difficulties that could occur. Third,estimate a normal completion time (Tn) based onthe average time you could expect to complete thetask. The formula for figuring estimated PERTtime (Te) is as follows:

To construct a PERT network, follow the sixbasic steps applied to all PERT projects. First,identify the component task you will perform.Second, define the order in which you need to

complete the component task. Third, analyze andestimate the time required to complete eachcomponent task and for the entire project.Fourth, find the critical path. The critical pathis the longest path from the beginning componenttask to the ending component task. Fifth, lookfor ways to improve the project though modifica-tions. Sixth, control the project. See figure 3-5for a sample PERT chart.

Critical Path Method. —The critical pathmethod (CPM) is very similar to the PERT. Themajor difference is the PERT focuses on timewithout regard to cost. The CPM focuses on bothtime and cost. The CPM and PERT have threemajor differences. First, the CPM only requiresa one-time estimate. Second, the CPM includesa cost estimate as well as normal and crisis timeestimates. Third, the CPM is based on theassumption that you have at least some experiencewith the work needed to complete each componenttask.

Elements of Effective Control

Control systems such as quality control orinventory control need certain elements to beeffective: controlled work activities, timeliness,effectiveness, accuracy, and acceptance. Theseelements of control influence how the work willbe accomplished and how long work will take.

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ACTIVITIES. —Your subordinates expectyou to control their work by comparing it to aset standard. When they know you will exercisethat control, they will try to meet that standard.

TIMELINESS. —Since managers need time totake corrective action when tasks deviate from thenormal standard, subordinates must make a timelyreport of those deviations. The “timeliness” ofreports depends on the amount of time a managerdesignates as adequate—it could range fromminutes to months. Therefore, when designingyour control system, specify the amount of timeyou consider to be timely.

EFFECTIVENESS. —Control systems mayinvolve additional cost. You should work toreduce the cost of your control system, while stillretaining an effective system. Additional costscould result from the need for additional people,material, equipment, or time. Evaluate yourcontrol system to eliminate or modify needlesscosts .

ACCURACY. —Your control system monitorsprogress and serves as the basis for correctiveaction. Therefore, you should ensure it providesyou with accurate information from which tomake decisions. Be aware that since people arehuman, errors will occur in the reporting process.Also realize some people will present informationin a manner that will reemphasize the negativewhile accentuating the positive. People usuallypresent information in that manner to try to makethemselves look good.

ACCEPTANCE. —People usually resist con-trol. The strongest resistance comes when peopleperceive the control to be excessive. Excessivecontrol gives the impression you do not trust yoursubordinates.

To avoid resistance, explain the purpose of thecontrol system to your subordinates. Make themfeel they have an interest in the success of thesystem. By explaining the purpose and generatinginterest in the control system, you have a greaterchance of convincing subordinates to accept it.

ORGANIZATION

Organization is the process of arrangingmaterial and personnel by functions to attainthe objective of the command. Organizationestablishes the working relationships amongcommand personnel and establishes the flow of

work, It promotes teamwork and identifies theauthority, responsibility, and accountability ofindividuals within the command.

An in-depth discussion of organization is wellbeyond the scope of this text. Therefore, thischapter will touch on only a few basic ideas andconcepts of which you should be aware. Thoseideas and concepts include types of organizations,organizational concepts, delegation of work, andauthority and power.

Types of Organization

Of the many different types of organizationused today, the Navy uses three specific types:line, staff, and functional.

LINE. —Line organizations refer to the majordepartments responsible for accomplishing themission of the command. These departments areusually Deck, Engineering, Operations, Weaponsor Combat Systems, and Air.

STAFF. —Staff organizations refer to person-nel who advise, assist, counsel, and serve the linedepartments. Staff usually does not have authorityover line departments. Examples of staff includethe Supply Department, 3-M Coordinator, educa-tional services officer (ESO), and drug and alcoholprogram advisor (DAPA).

FUNCTIONAL. —Functional organizationsrefer to special departments that are neither linenor staff. Usually a functional organization startsout filling a staff function and becomes soimportant to the success of the command that itis given special status. The manager has theauthority to ensure all parts of the commandperform as necessary to carry out that function.Examples of functional organizations include theMedical, Safety, Legal, and AdministrativeDepartments.

Organizational Concepts

At certain times you must report items suchas personnel readiness or material readiness tohigher authority. The method used to make thesereports will vary from command to command.However, certain basic concepts are common toall methods: the chain of command, unity ofcommand, span of control, and specialization.

CHAIN OF COMMAND. —The chain ofcommand is the order of authority among Navy

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members. The chain of command begins with thecommanding officer (CO) and flows down to theseaman recruit. All members use the chain ofcommand when they communicate about orders,responsibilities, reports, and requests from higherto lower authority or lower to higher authority.Members also use the chain of command whenthey communicate with others who have the samelevel of authority, such as a counterpart in anotherdivision.

UNITY OF COMMAND. —Unity of commandis the order of control of an organization. It givesone person control over one segment of theorganization. It ensures that a person reportsdirectly to and receives orders from only oneindividual. The person in control issues all ordersand receives all reports from his or her segmentof the organization. To ensure all personnel knowwhom they direct and to whom they report,commands should have clearly set lines ofauthority.

Use of the chain of command and anorganizational chart will help you maintain unityof command. Be sure you clarify your positionboth to your superiors and subordinates.

SPAN OF CONTROL. —Span of controlrefers to the ideal number of people one personcan effectively supervise. The ideal number isbased on the scope of the assigned functionalresponsibilities and the time available to thesupervisor. Normally a supervisor is responsiblefor at least three but not more than seven people.

SPECIALIZATION. —Specialization refersto the division of work. The organizational chartnormally shows the division of work. Workcenters are highly specialized by ratings. Divisionsusually contain personnel in similar ratings, anddepartments contain personnel in ratings thatperform similar tasks.

Delegation of Authority

The American citizens delegate authority tothe President, who, in turn, delegates authoritydown the chain of command to you. You delegateauthority to the lowest level competent to handlethe specific responsibility. Although you maydelegate authority for a task, you have the finalresponsibility for the completion of that task.

When you delegate authority to your subor-dinates, let them make their own decisions abouthow to handle problems that arise. If they make

wrong decisions, they will learn from theirmistakes. However, encourage and train yoursubordinates to come to you if they need help inmaking a decision. Since you are training yoursubordinates to fill a higher position of authority,help them, but do not do the delegated workyourself.

WHY YOU SHOULD DELEGATE. —Delegating allows you to accomplish more thanif you try to complete every task yourself. It allowsyou to focus your attention where it is mostneeded and to train and develop subordinates.Delegation also allows you to make gooddecisions outside your area of expertise. Forexample, because of specialization, you may nothave the knowledge level required to make thecorrect decision about how to complete a task.In that case, you would be wise to delegate thetask and have the subordinate report back to youwith alternative courses of action. You would thenreview the alternatives and make your decisionbased on the information presented.

FAILURE TO DELEGATE. —Many super-visors fail to delegate, or they delegate poorly.Some people refuse to delegate because they feelmore powerful when they make all the decisions.Others avoid delegating because they think subor-dinates might exercise poor judgement. Somesupervisors have a fear of letting subordinatesmake decisions they will be responsible for. Somesupervisors are afraid the subordinate will be moreeffective and thus threaten their position. Stillother supervisors do not believe subordinates wantthe opportunity to have more authority anddecision-making responsibility.

Make sure you train your subordinatesthrough delegation of authority. Both you andyour subordinates will be happier and have moretime.

SUBORDINATES’ ROLE IN DELEGA-TION. —When you delegate the authority tocomplete a task, your subordinates’ role is toaccept that authority. Along with that authority,they must accept the additional responsibility andaccountability that go with it.

Subordinates sometimes are unwilling toaccept authority for the following reasons:

• They don’t want to risk making a decision.

• They have a fear of being criticized.

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• They have a lack of self-confidence.

• They want to avoid the pressure of addi-tional responsibility.

Counsel any of your subordinates who showthese signs of unwillingness. Help them overcometheir fears and learn to accept authority andresponsibility.

AUTHORITY AND POWER

With authority comes power. Power is theability to influence people toward organizationalobjectives. However, you have limits on yourauthority and power. View your authority andpower as a funnel, broad at the top and narrowat the bottom. Always assume you have enoughauthority and power to meet your obligations, butdo not exceed that limit.

Authority

Authority only exists when subordinatesaccept the idea that the supervisor has authorityover them. Subordinates can fail to recognizeauthority through disobedience, denial, or workdelays. Subordinates usually accept authorityreadily; however, abusing your authority as asupervisor can make you ineffective.

Although most authority in the Navy resultsfrom a member’s rank or position in the chainof command, many types of authority exist. Mostauthority in the Navy is delegated.

LINE AUTHORITY. —Line authority is theauthority you have over subordinates in yourchain of command. This type of authoritycorresponds directly to your place within the chainof command and does not exist outside the chainof command.

STAFF AUTHORITY. —Staff authority isthe right of staff to counsel, advise, or makerecommendations to line personnel. This type ofauthority does not give staff the right to give linepersonnel orders that affect the mission of the lineorganization.

A chief from another work center or divisioncould, by virtue of his or her rank, exercise staffauthority over a person in your work center ordivision by counseling or advising him or her toget a haircut. Failure to follow the advice orcounsel may result in nonjudicial punishment(NJP) for the subordinate. The other chief would

not, however, have the authority to enter yourwork center or division and make changes thatonly you and your superiors have the authorityto make.

FUNCTIONAL AUTHORITY. —Certain stafforganizations are granted functional authority todirect line units within the area of the staff'sspecialty. Examples of staff organizations withfunctional authority include the Legal, EqualOpportunity, and Safety Departments.

Power

In conjunction with your authority, you usepower to influence others toward the accomplish-ment of command goals. You can use power forpersonal gain or for the good of the organization.However, if your subordinates believe you usepower for personal gain, you will soon suffer anerosion of that power. On the other hand, ifsubordinates believe you use power to accomplishthe organizational goals, your power to influencethem will become stronger. Your power will alsobecome stronger when you share it throughdelegation of authority.

Of the six types of power—reward, coercive,legitimate, informational, referent, and expert—you may use one or more in various combinations.Each situation will determine the one or ones youuse.

REWARD POWER. —Reward power stemsfrom your use of positive and negative rewardsto influence subordinates. Positive rewards rangefrom a smile or kind word to recommendationsfor awards. Negative rewards range from corrective-type counseling to placing a person on report.

You will find one of the best ways to influenceyour subordinates is through the use of yourreward power. As a chief, you are responsible forstarting the positive reward process. First, writea recommendation for the award. Once therecommendation is typed in the command’sstandard award letter format, forward it up thechain of command for approval. Your job doesnot end here. Always follow-up on the recommen-dation, using your influence and persuasion to getthe award to the proper command level.

Frequent use of positive rewards will amplifythe effect of a negative reward. Give positiverewards freely, but use restraint in giving negativerewards. If you use negative rewards frequently,subordinates will begin to expect a negativereward. Their expectation of a negative rewardwill lessen your power.

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COERCIVE POWER. —Coercive powerresults from the expectation of a negative rewardif your wishes are not obeyed. For example,suppose you have counseled a subordinate twicefor minor infractions of regulations. At the thirdcounseling session, you threaten the subordinatewith NJP. At the next occurrence of the un-desirable behavior, you place the subordinate onreport.

Coercive power works, but is not the preferredmethod of leading subordinates. It works best ifused when all else fails and you feel sure you cancarry through with a threat. Before giving athreat, you should have some insight as to howthe CO will handle the case. You do not want torecommend maximum punishment only to havethe CO dismiss the case at mast.

LEGITIMATE POWER. —Legitimate powercomes from the authority of your rate andposition in the chain of command. You use thispower in day-to-day business. Although legitimatepower increases with added responsibilities, youcan decrease that power if you fail to meet all ofyour responsibilities.

To increase your legitimate power, assumesome of the division officer’s responsibilities. Atfirst, the division officer will be glad to have thehelp. In time, the division officer will view theresponsibilities as yours and formally delegateadditional authority to you. That would increaseyour legitimate power without diminishing thepower of the division officer.

Just as you can increase your legitimate powerby assuming more responsibility, you can decreasethat power by losing responsibility. For example,if you permit the division officer to assume someof your responsibilities, the division officer willeventually begin to view your responsibilities ashis or hers. You will then have less legitimatepower. However, when a subordinate wishes toassume some of your responsibilities, formallydelegate those responsibilities to the subordinate.That makes the subordinate accountable to you.You then increase the subordinate’s power whileretaining your power.

INFORMATIONAL POWER. —Informationalpower depends on your giving or withholding ofinformation or having knowledge that others donot have. Use informational power when givingorders to subordinates. Give orders in such amanner that your subordinates presume the orderoriginated at your level. When forced to complywith orders you do not agree with, don’t introducethe order by saying "The division officer

said. . ." Phrase and present the order in amanner that leaves no doubt you initiated it.

Rely on your own resources to stay fully informedinstead of depending on others. Subordinates maypresent unreliable information in a manner thatmakes it appear to be true. Superiors may becomeso involved with projects they forget to keep youinformed of tasks being assigned or upcominginspections. Information is power. Stay informed!

REFERENT POWER. —Referent powerderives from your subordinates’ identification orassociation with you. You have this power bysimply being "the chief." People identify with theideals you stand for.

The chief has a pre-established image. You canenhance that image by exhibiting charisma,courage, and charm. An improved image increasesyour referent power. Always be aware of howothers will perceive your actions. A negative imagein the eyes of others will lessen your power andrender you ineffective. Maintain a positive image!

EXPERT POWER. —Expert power comesfrom your knowledge in a specific area throughwhich you influence others. You have expertpower because your subordinates regard you asan expert in your rating. Subordinates may alsohave this type of power. When you combineexpert power with other types of power, you willfind it an effective tool in influencing others.However, when you use it by itself, you will findit ineffective.

LEADERSHIP

Good leadership is of primary impor-tance in that it provides the motivatingforce which leads to coordinated actionand unity of effort. Personnel leadershipmust be fused with authority since a leadermust encourage, inspire, teach, stimulate,and motivate all individuals of the organi-zation to perform their respective assign-ments well, enthusiastically, and as a team.Leadership must ensure equity for eachmember of the organization. Concerningactions in his or her area of responsibility,the leader should never allow a subordinateto be criticized or penalized except byhimself or herself or such other authorityas the law prescribes.

—Standard Organization andRegulations of the U.S. Navy

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Leadership is often talked about and discussedwithout thoroughly being explained. Exactly,what is leadership? Are leaders born or can theybe trained? Management specialists have beensearching for the correct answers for over 90years.

The Navy defines leadership as the ability toinfluence others toward achieving the goals andobjectives of the organization. Leadershipinvolves inspiring, motivating, and developingothers.

Many theories have been developed to explainthe leadership process. The theories range fromDouglas McGregor’s Theory X and Theory Y toWilliam Ouchi’s Theory Z. The Japanese usedTheory Z to develop the Total Quality Manage-ment (TQM) leadership style, discussed later inthis chapter.

Based on Theory X, the leader assumes peopleare basically lazy; will avoid working if possible;must be coerced, controlled, directed, orthreatened; wish to avoid responsibility; have noambition; and want security. People who basetheir leadership style on that theory use threatsto motivate subordinates.

Theory Y proposes that the leader assumespeople like to work; will seek additionalresponsibility when the proper work environmentexists; will exercise self-direction and self-control;and have a high level of imagination, ingenuity,and creativity. People who pattern their leadershipstyle after this theory help subordinates performwork assignments.

According to Theory Z, people who don’t fiteither Theory X or Theory Y are really acombination of the two. People who develop aleadership style based on Theory Z use differentstyles of leadership with different people,depending on the situation.

Relation to Management

Civilian management sees leadership as justone of its five functions. It expects its managersto plan, organize, control, staff, and then applyleadership to motivate employees. The Navy seesleadership as all-encompassing. The Navy leaderfirst and foremost motivates subordinates. TheNavy then applies the management functions ofplanning, organizing, controlling, and staffing asneeded to meet organizational goals.

Although the views of the civilians and theNavy seem to be different, both have one elementin common. Effective leadership involves planning,organizing, controlling, and staffing. Good

leaders plan well, establish an effective organiza-tion, set up an efficient and effective controlsystem, and staff required jobs with the rightpeople. Finally the leader excels at inspiring andmotivating subordinates.

Leadership Styles

What’s your style of leadership? Do youpractice one style of leadership all the time, ordo you vary your actions according to theparticular situation or type of people with whomyou are working? You might have asked yourself,How do I maintain respect for my position ofauthority and at the same time allow my peopleto voice their opinions? How can I take the timeto get their point of view when I’m under pressureto get the job done? These questions are puzzling,and they have no easy answers. A leader mustwalk a tightrope when it comes to solving thesedilemmas of leadership.

As a leader, you can practice leadership inmany ways. Research on leaders and leadershiphas identified several leadership styles. Mostpeople have a preferred range of styles. No oneleadership style is right or wrong; the appropriatestyle depends on the people being led, thesituation, and the requirements of the job.

In any situation, a leader must perform sixtasks that in some way involve or affect subor-dinates. A good leader takes the following actions:

• Listens to subordinates to diagnose orsolve problems

• Sets goals and develops short- and long-range action plans

• Gives directions about who is to do whichtasks to what standards

• Provides feedback on task performance

• Rewards or disciplines task performanceand personal characteristics

• Develops subordinates

The way these six tasks are handled at any onetime varies with the nature of the jobs. A differentleadership style should be used for routine tasksthan for innovative tasks or for situations thatrequire crisis management. Similarly, tasks ofshort duration often warrant a different style fromthose that extend over long periods.

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You can adapt the six different leadershipstyles (coercer, authoritarian, affiliator, demo-cratic, pacesetter, and coach) to meet therequirements of different situations.

COERCER. —In this style of leadership,subordinates are expected to do the job the waythe leader tells them to do it. Coercer leadersprovide clear directions by telling subordinateswhat to do and how to do it. They don’t listento the subordinates nor permit much subordinateinput. They expect immediate compliance andobedience to orders, and they control the jobs verytightly. This style of leadership requires manydetailed reports on the job, including progress andproblems with the job. Coercer leaders give morenegative and personalized feedback than positivefeedback and frequently resort to name calling toaccomplish the job. They motivate their subor-dinates by threats of discipline or punishment.

AUTHORITARIAN. —Authoritarian leadersare firm but fair. They tactfully provide cleardirection but leave no doubt about what isexpected or who makes the final decisions. Theysolicit some input from subordinates on how todo the job and ways to make the job easier.Authoritarian leaders see their influence as a keypart of their job. They persuade subordinates todo the job by explaining the “whys” behinddecisions. They monitor all jobs closely andprovide negative and positive feedback to theirsubordinates.

AFFILIATOR. —In this leadership style thepeople are the leader’s first concern. Affiliatorleaders consider concern for subordinates andpersonal popularity as the most important aspectof their job. They don’t provide clear direction,standards, or goals. They provide for job securityand fringe benefits to keep their subordinateshappy. Affiliators avoid conflicts that might causehard feelings. They reward personal characteristicsrather than job performance, and they rarelypunish subordinates.

DEMOCRATIC. —This style of leadershiprelies on participation of the group. Democraticleaders believe subordinates should take part inthe decision-making process. They base decisionson the consensus of opinion of the entire group.They consider specific direction and close super-vision unnecessary in completing the job whentrust has been established. They frequently holdmeetings and listen to their subordinates.

Democratic leaders usually reward averageperformance and rarely give negative feedback orpunishment.

PACESETTER. —Pacesetter leaders wouldrather do the job themselves. They set highstandards, and they lead by example. They areloners. They expect self-direction of themselvesand others. Pacesetter leaders have troubledelegating because they believe they can do thejob much better than their subordinates. Theybecome coercive when their subordinates havedifficulty or when things go wrong. Pacesetterleaders don’t develop subordinates because theyare continually taking away the subordinates’responsibility and exerting their own authority.

COACH. —In the coach style of leadership,leaders are concerned with the development oftheir subordinates. They are concerned with highstandards but have trouble communicating thesehigh standards to subordinates. Coach leaders seetheir job as developing and improving theperformance of their subordinates. They directby having subordinates set their own goals. Theyget their workers to develop plans and identifysolutions instead of giving them clear, conciseinstructions on what to do and how to do it.

Advantages and Disadvantagesof the Leadership Styles

Each of the six leadership styles has advantagesand disadvantages. Usually a good leader is acombination of several of these styles. You musttailor your personal leadership style to fit eachsituation.

The coercer style is especially effective duringa wartime situation when the command is incombat or under fire. However, this style ofleadership can have some negative effects if thecommand, work center, or individual is performingat a high rate of efficiency. Subordinates will notrespond well to the repeated use of threats duringnormal situations.

You might find the authoritarian leadershipstyle useful when seeking information on a particularsituation or before inspections. However, it isnormally not a good style to use in personalcounseling sessions. This leadership style doesn’tallow enough flexibility to provide alternativesolutions to subordinates’ personal problems.Using this style by jumping in and taking over insituations when you have technically competentworkers is counterproductive.

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The affiliator style of leadership is especiallywell adapted to the role of counselor. It is alsoeffective when you need to recognize someone fordoing a good job. However, the affiliator has anegative effect when the work center has a tightdeadline or when you are in a leadership role forlong periods.

People who use the democratic leadership stylelisten to subordinates. Therefore, you couldbenefit from this style when showing a newmaintenance procedure or how a new piece ofequipment works. You would also find it helpfulwhen planning social events based on a consensusof opinion. Using this style when preparing foran inspection would be harmful because youwould lack control. It would also be harmfulduring drills or combat because you would nothave time to hold meetings. You would have totell subordinates what to do or the entirecommand could be lost.

Using the pacesetter style of leadership ishelpful when you are working with a new workcenter or teaching a new maintenance procedureby example. However, if you begin doing otherpeople’s work, rather than training, monitoring,and developing subordinates, the pacesetter stylebecomes harmful to the work center.

The coach style of leadership is helpful whena worker is attempting to learn a new procedureor master a new technique. It is also effectivewhen you need to counsel a subordinate whofrequently arrives late at the work center.However, this style of leadership has no effect ona subordinate who knows how to perform a jobor task but refuses to do the work.

Factors Affecting Leadership Styles

The following six elements interact to deter-mine your leadership style:

• Motives and values

• Past experiences

• Past and present supervisors

• Jobs or tasks

• Organizational culture and norms

• Situations

MOTIVES AND VALUES. —Your leadershipstyle reflects those motives and values you see as

important. If power is important to you, you mayemphasize the coercer style of leadership. If youvalue friendship, you may tend to emphasize thedemocratic or affiliator style of leadership.

PAST EXPERIENCES. —If a particularleadership style has worked in the past, you willprobably use it again in similar situations. If acertain style didn’t work, you will avoid using itagain. Therefore, past experiences influence yourleadership style.

PAST AND PRESENT SUPERVISORS. —Since supervisors serve as role models, subor-dinates frequently imitate their behavior;therefore, your supervisors influence yourdominant leadership style.

JOBS OR TASKS. —The job or task yourwork center performs affects your leadershipstyle. A new procedure or the installation of apiece of equipment may call for the pacesetterstyle of leadership. An emergency situation maycause you to be coercive.

ORGANIZATIONAL CULTURES ANDNORMS. —Civilian businesses provide a serviceor product to society. Since the products andservices provided by businesses differ, the needsand requirements of their workers also differ. Thesame is true for the Navy. The Navy provides aservice to its country. Each organizational levelof the Navy performs a specific job or providesa product that contributes to that service.Therefore, the needs and requirements of theworkers at each level also differ. This differencecreates different work environments (cultures) anddifferent relationships (norms) between theworkers. The culture of your organization has agreat impact on your leadership style. Yourleadership style changes to fit the organizationalculture of your work center. In short, you willchange your leadership style to meet theexpectations of your superiors.

SITUATIONS. —Specific situations determineyour leadership style because each one couldinvolve a different number of people and adifferent amount of pressure or stress. Forexample, you might use the democratic style whenassigning a daily task because you would havetime to explain the "why" of doing it. However,you would be unable to use that style during anemergency. Can you imagine explaining why youwant the electrical power secured during a fireaboard ship?

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Management and Supervisory Skills

Maintaining an effective and efficient workcenter or division requires five management andsupervisory skills. Those skills are a concern forstandards, a concern for efficiency, planning andorganizing, supervising for effective performance,and monitoring. Develop these skills in super-vising your people.

CONCERN FOR STANDARDS. —Emphasizethe importance of doing a job right and enforcehigh standards by doing the following:

• Ensuring tasks are done safely andaccording to regulations

• Seeing that required documentation isupdated

• Being intolerant of poor performance

CONCERN FOR EFFICIENCY. —Defineand organize each task to best use your workcenter’s or division’s time and resources asfollows:

• Identify inefficiencies.

• Improve the efficiency of existing systems.

• Delegate tasks to improve efficiency.

• Encourage superiors to use efficient waysto accomplish tasks.

• Build preparations for inspections into theday-to-day routine of the work center ordivision.

PLANNING AND ORGANIZING. —Takethe following steps to carefully and systematicallydevelop thorough and specific plans andschedules:

• Set priorities, goals, and deadlines.

• Develop detailed, step-by-step plans.

• Develop schedules that optimize theallocated manpower.

• Coordinate schedules with others.

• Anticipate obstacles and plan accordingly.

Use the skills of planning and organizing todetermine the status and impact of your divisionwork on the work of other divisions. Becomeproficient in your planning of divisional work byapplying the strategic, standing, and single-useplans discussed earlier in this chapter. Becomeefficient at setting goals, and then analyze yourplans to reach those goals by using the SWOTanalysis.

SUPERVISING FOR EFFECTIVE PER-FORMANCE. —Get the best results from yoursubordinates by coordinating their actions. Setchallenging standards and demand high levels ofperformance; then supervise your subordinates’performance as follows:

• Set and clearly communicate your expec-tations for the level of performance in yourwork center or division.

• State up front the consequences forviolations of conduct or nonperformance.

• Hold subordinates accountable for poorperformance.

• Match people and jobs to get the bestperformance.

• Promote cooperation and teamwork foreffective performance.

MONITORING. —Develop the habit ofroutinely gathering information and keeping trackof ongoing work to monitor work center progressby doing the following:

• Observe procedures and processes.

• Monitor records, equipment, andresources.

• Ask questions to assess the readiness ofyour subordinates.

Monitoring is a control function of manage-ment, as previously discussed in this chapter. Youcan use inventory control, one of the six types ofquality control, or a control method such as thePOA&M, the Gantt chart, CPM, or PERT to helpyou in monitoring.

Effective Leadership

To be an effective leader requires certain skills.The Navy has identified six skills effective leaders

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have in common. These skills area commitmentto the command’s mission, self-image as a leader,communication, influencing, development ofothers, and a concern for subordinates. Let’s lookat how you should apply those skills in leadingothers,

COMMITMENT TO COMMAND’S MIS-SION. —Take the following steps to show subor-dinates you have a strong dedication to the Navy,the command, and the work center:

••

Act with the best interest of the commandin mind.

Put the Navy, the command, and the workcenter needs above concern for anyindividual.

SELF-IMAGE AS A LEADER. —Identifyyourself as a leader and a key factor in thesuccessful performance of the command or workcenter

•

•••

as follows:

Clearly define your role and respon-sibilities to both superiors and subor-dinates.

See yourself as a leader.

Set the example for subordinates.

See yourself as someone who makes thingshappen.

COMMUNICATION. —Use the chain ofcommand to provide and receive information tohelp all levels of the chain of command under-stand task-related issues more easily. Improvecommunication throughout the chain of com-mand in the following ways:

Keep others informed.

Give clear directions and assign specificresponsibilities when delegating.

Listen to suggestions from subordinates.

Make yourself available to answerquestions.

INFLUENCING. —Influence others towardtask accomplishment by using a variety ofstrategies, such as the following:

• Persuading othersthey will benefit

by pointing out how

Using threats or your authority toinfluence others

Presenting logical reasons or informationto persuade

Using the proper setting and timing foroptimum impact

Acting to motivate subordinates

Giving reasons for your decisions

Devising and using a strategy for influ-encing others

DEVELOPMENT OF OTHERS. —Use routinetasks to train division personnel to functioneffectively in your absence. Give enough guidanceto the leading petty officer (LPO) to allow himor her to complete delegated tasks proficiently.Train the LPO to assume your job so that whenhis or her turn comes to make chief, he or shewill be ready. Develop the performance of yoursubordinates through the following methods:

Making training opportunities, differentjobs, and expert help available

Providing constructive feedback

Using delegation as a tool to developsubordinates

Using the opportunities presented byroutine tasks to train subordinates

CONCERN FOR SUBORDINATES. —Activelysupport subordinates who must overcome problemsby showing concern for them as follows:

••

Expressing positive expectations

Taking the action required to providerewards, recognition, or special liberty foryour subordinates

Helping your subordinates in overcomingproblems

Effective Personal Characteristics

Successful chief petty officers exhibit certainpersonal characteristics that support commandleadership and management policies. You should

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develop these characteristics and make them partof your personality profile. Effective personalcharacteristics include concern for achievement,analytical problem solving, interpersonal aware-ness, initiative, persistence, and assertiveness.

CONCERN FOR ACHIEVEMENT. —If youhave concern for achievement, you seek newchallenges and work to reach higher levels ofaccomplishment. Four traits show you have aconcern for achievement:

Taking on new challenges with enthusiasm

Trying to persuade your work center ordivision to outperform others or to exceedthe set standard

Assessing the work center’s level of per-formance using comparative measures

Feeling frustrated when situations or otherpeople prevent you from completing yourassigned task in a timely and effectivemanner

ANALYTICAL PROBLEM SOLVING. —Analytical problem solving involves analyzingcomplex situations and evaluating information tochoose the best solution to a problem. The follow-ing are some traits you will exhibit when usinganalytical problem solving:

••••

Identifying the causes or central issuesinvolved in a problem

Weighing the pros and cons of each alter-native course of action

Drawing inferences and seeing the implica-tions of problems and solutions

Relating present situations to similar pastexperiences

INTERPERSONAL AWARENESS. —Whendealing with subordinates with whom you haveproblems, try to anticipate their behavior beforedeciding on a course of action. Anticipating theirbehavior requires a sense of interpersonal awarenessthrough which you gain insight into what is causingthe behavior. The following traits show that youhave a keen sense of interpersonal awareness:

• Thinking about the impact of your actionsor the actions of other people

• Trying to assess the motives or perspectivesof other people

INITIATIVE. —Taking the initiative meansyou are a self-starter who sees problems and takesaction to correct them without being told. Ifneeded, you take action to make changes inwork center operations. You don’t hesitate toinvestigate and tackle difficult situations. Thefollowing are some other traits that show you haveinitiative:

• Searching out information needed toaccomplish tasks or make decisions

• Developing new plans, procedures, orsystems

• Taking calculated risks

• Taking an active role in critical situationsand exhibiting the pacesetter style ofleadership when required

PERSISTENCE. —You show persistencewhen you expend extraordinary effort to completea task or overcome an obstacle. You usually getyour own way by showing persistence becausepeople become tired of listening to you and willdo anything to help solve your problem. Thefollowing traits show you are a person withpersistence:

•••

Doing whatever is ethically needed tocomplete a job

Taking repeated action to overcomeobstacles and ensure your goals are met

Making yourself and your subordinatesavailable - to work the hours needed toaccomplish your goals

ASSERTIVENESS. —When you show assertive-ness, you confront issues directly and insist othersrecognize your place in the chain of command.You do not become emotionally involved instressful situations and show restraint whenrequired. The following traits indicate you are aperson with assertiveness:

••

Addressing key issues and conflicts youhave with other people

Acting forcefully and with confidencewhen you are dealing with superiors orpeers

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• Always insisting on having full respon-sibility for each task you are assigned

• Demonstrating self-control in a conflict orwhen you are provoked

Total Quality Management (TQM)

A major problem facing the armed servicestoday is a lack of money. The budgets of ourforces are not going to increase in the foreseeablefuture. Indeed, they will probably continue toshrink. Although our present system of doingbusiness is adequate, it doesn’t allow for manyimprovements in productivity. We have done anexcellent job with our present system. To wringany more bang from our buck, however, willmean a change in the way we do business.

Management by objectives is a time-honoredprinciple of management. However, we now mustchange our objectives. Today’s managers must settheir sights on a larger, system-wide objective.That objective is increased productivity throughbetter quality.

The Department of the Navy (DON) hasrecently adopted the concept of Total QualityManagement (TQM) as the means of meetingDON needs into the 21st century. Executive Order12637, signed April 27, 1988, establishes theProductivity Improvement Program for thefederal government. TQM IS THE NAVY’SANSWER TO THAT ORDER. The Navy hasadopted the civilian TQM concept and changedthe name to a more military sounding name—Total Quality Leadership (TQL).

TQM, What Is It?

TQM focuses on the process by which workgets done. The person most familiar with thatprocess is the individual worker responsible formaking it work. Often, a process is eitherunmanageable or just plain unworkable. In a rigidbureaucracy, for workers to persuade upperechelons of a need to change a procedure isnearly impossible. Under TQM, management isresponsible for making a particular job as easyas possible for workers. Supervisors and managersmonitor the work process and respond tosuggestions from the work force concerningunworkable procedures. Sailors in particular areinfamous for coming up with nonstandard (butworkable) solutions to problems. In some cases,this results in unsafe practices. However, thesesolutions are often extremely practical. We must

develop the ability to ferret out these improve-ments and incorporate them into standardprocedures. That serves a dual purpose. First, itensures the recommended improvement is usableand meets all applicable standards. Second, theimproved method is made available to everyoneinvolved in that process. Both of these purposesserve a practical application of "working smarter,not harder."

Benefits of TQM

A popular myth among military managersholds that increased quality results in increasedcosts and decreased productivity. In reality,improved quality ultimately results in decreasedcosts and increased productivity. How can this be?A focus on quality extends the time betweenfailures on equipment and improves the efficiencyof our operations. It reduces rework requirementsas well as the need for special waivers ofstandards. It also reduces mistakes and producesmonetary savings through more efficient use ofscarce resources.

Direct benefits of TQM are as follows:

• Increased pride of workmanship amongindividual workers

• Increased readiness

• Improved sustainability caused by extendedtime between equipment failures

• Greater mission survivability

• Better justification for budgets because ofmore efficient operations

• Streamlined maintenance and productionprocesses

The bottom line of TQM is “more bang forthe buck.”

The Concept of Quality Management

The concept behind quality managementrevolves around a change from management byresults to management by process (quality)improvement. Managers are tasked with con-tinuously improving each and every processin their organization. That means combiningquantitative methods and human resource manage-ment techniques to improve customer-supplier

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relations and internal processes. This culturalchange in management practices has certain basicelements:

Management must clearly state theorganization’s mission. It must state themission clearly and make it available to allemployees, suppliers, and customers. Aclear, public-mission statement preventsindividuals from generating their owndefinitions of work priorities.

Managers and supervisors must ensuretheir actions clearly support the organiza-tion’s mission. This support includessetting priorities and assigning tasks.

Management must focus its efforts towarda common goal. This focus is an importantpart of team building.

Management must make a long-termcommitment to quality improvement. In-dividual managers must set an example byproviding consistent, focused leadership.

Quality management achieves results byfocusing on the procedures and processes that getthe work done. Under TQM, management muststrive continuously to improve the work process.The primary emphasis of this effort is theprevention of defects through quality improve-ment rather than quality inspections. Qualitycannot be inspected; it must be managed from thebeginning. Conforming to established specifica-tions is only part of quality improvement.Management must not be satisfied with minimumstandards. As standards are met, we, as managers,must look for new ways to improve our product.Find the means to further tighten standards andimprove quality. That’s your job.

Customer-Supplier Relationship

Another aspect of the TQM concept is thenecessary relationship between customer andsupplier. No matter what your job, it probablyinvolves a customer-supplier relationship. TheIntermediate Maintenance Department of acommand is a customer of and supplier to theSupply Department. Aircraft squadrons andsupply departments have the same dual roles. Atone point, a supply department must establish a

working arrangement with a squadron that clearlydefines each department’s needs and realisticexpectations. A career counselor must ensurecustomers’ needs are met. On the other hand,customers must have a realistic understanding ofthe service the career counselor can render. Thismutual understanding of needs and capabilitiesis needed to achieve customer satisfaction.

Leadership and TQM

The essential ingredient of TQM success isleadership involvement. Management controls theprocess that accomplishes the mission. Quality,however, is in the hands of the workers who dothe job. Management, therefore, has the respon-sibility to drive out the natural fear of change andinnovation that is part of most people’s basicpsychology. TQM must be supported from the topdown. That doesn’t mean the department headlevel. TQM must start with SECNAV/CNO-levelsupport and be supported and carried out all theway to the bottom of the chain of command.From admiral to deck seaman, TQM requires atotal effort.

SUMMARY

Effective management involves the use ofplanning, staffing, controlling, organizing, andleading. Planning is the use of strategic plans,standing plans, and single-use plans. Effectiveplanning requires you to determine work require-ments; set priorities; and use the strengths,weaknesses, opportunities, and threats (SWOT)analysis.

Staffing is a means by which you match thecorrect person to the job for optimum perform-ance. You should continually evaluate yourpersonnel needs and make sure documentation isupdated when subordinates complete personnelqualifications standards.

You use control to monitor your division orwork center. Types of control include feed-forward, concurrent, and feedback. Control alsoincludes inventory control and quality control.Types of quality control include feedforward,concurrent, feedback, statistical, quality circle andzero defects. Methods of control include the planof action and milestones, Gantt chart, programevaluation and review technique (PERT), andcritical path method (CPM). Elements of effectivecontrol are activities, timeliness, effectiveness,accuracy, and acceptance.

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TQM Focus on Process

Organization refers to the relationships ofpeople within the command or work center. Thetypes of organization common to the Navy areline, staff, and functional organizations. Organiza-tion functions are based on organizationalconcepts. The Navy uses the organizationalconcepts of the chain of command, unity ofcommand, span of control, and specialization.

The delegation of work is an important partof management and leadership. Delegating workfrees you to concentrate on the most importanttasks and trains your subordinates for higherlevels of responsibility.

The Navy recognizes three types of authority:line, staff, and functional. Authority involves sixtypes of power: reward, coercive, legitimate,informational, referent, and expert. Your poweris limited by the perception subordinates have ofyou. Misuse of power for personal gain can renderyou ineffective.

Leadership involves influencing others towardaccomplishing goals. You may use one or moreof the six leadership styles: coercer, authoritarian,affiliator, democratic, pacesetter, and coach. Youwill find each leadership style effective whenmatched with the proper situation.

The Navy used to manage tasks and peoplebased on Management by Objectives (MBO).Today the Navy has made a commitment to amanagement program called Total QualityManagement (TQM). The Navy has changed the

name to Total Quality Leadership (TQL). Thebasis of TQL is quality control. Through TQL,your work center or division can provide out-standing service to the person or organizationreceiving your products.

REFERENCES

Megginson, Leon C., Donald C. Mosley, andPaul H. Pietri, Jr., Management: Conceptsand Applications, 3rd ed., Harper & Row,New York, 1989.

Navy Leader Development Program, Chief PettyOfficer Student Guide, NAVEDTRA 38222,Chief of Naval Technical Program, Memphis,Tenn., 1990.

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

Total Quality Management, Department of theNavy, Washington, D.C., 1989.

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

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CHAPTER 4

MANAGEMENT INFORMATION

1.

2.

3.

4.

LEARNING OBJECTIVES

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

Explain the procedure for preparing and sub- 5.mitting a budget request.

Recognize the steps involved in effective goal 6.

setting. 7.

Identify the supervisory responsibilities formaintenance and material management. 8.

Explain the procedure used in counselingpersonnel.

Recognize the procedures for staffing andevaluating personnel.

Describe how to prepare and present a brief.

Describe how to review naval correspondenceand messages.

Identify the steps used to review and submitcorrections to the command S t a n d a r dOrganization and Regulations Manual(SORM).

This chapter begins with a description of thebudget process. You will then be shown how youcan influence the local budget process throughpreparation of a divisional budget. The divisionalbudget will then be discussed as a control deviceto reach divisional goals and objectives.

Supply is an important part of your job as achief. You are responsible for the procurement,care, preservation, stowage, inventory, anddisposal of stores, equipment, and repair parts.Along with supply responsibilities, you are alsoresponsible for supervising the maintenance andmaterial management (3-M) systems in yourdivision. Both of these areas are interrelated andwill be discussed.

Counseling personnel is an important super-visory role the chief becomes involved in. You willbe expected to counsel personnel in professional,personal, and performance matters. You willperform the staff function of management byinterviewing, assigning, and evaluating divisionpersonnel.

You will become more involved in thecommunication process as your responsibilitiesincrease. You should be familiar with how to

prepare and present a military brief. You shouldalso have a working knowledge of navalcorrespondence and messages.

The last topic discussed in this chapter is yourrole in reviewing and submitting changes to thecommand’s Standard Organization and Regula-tions Manual (SORM).

PREPARING AND SUBMITTINGA BUDGET REQUEST

Preparing and submitting a budget request isa form of long-range planning. The Navy budgetyear runs from 01 October through 30 September.You should plan your divisional budget for thesame period of time. This 1-year plan will allowyou to schedule important events your divisionwill be involved in such as overhauls, intermediatemaintenance availabilities, and special projects.You can also determine your budget using the planof action and milestones, program evaluation andreview technique (PERT), or Gantt charts asdiscussed in chapter 3. This section of the chapterwill examine the budget process, preparation of

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the divisional budget, divisional goals andobjectives, and different types of budgeting.

THE BUDGET PROCESS

The budget process starts when the Presidentsubmits his budget to Congress in mid-January.Congress can accept the budget as is, or makechanges to the budget through a series of Con-gressional committees. Congress develops abudget resolution or an outline of the budget withspending targets set. Next, Congress passes anauthorization bill which gives authorization to thevarious programs in the budget. Still, no moneyhas been allocated. Money is allocated by theappropriations bill. The appropriations bill givesmoney to the various programs authorized underthe authorizations bill. Once given both authoriza-tion and appropriations, the Navy can begin tospend money. Sometimes Congress will authorizea program but not provide appropriations.Congress can also provide appropriations but not

authorize the program. The Navy’s A-6F Intruderis an example of a program that was appropriatedbut not authorized.

The next step in the budget process is calledexecution. Execution is when the Navy can actuallyspend money. During execution, apportionmenttakes place. Apportionment is when the Office ofManagement and Budget (OMB) places the Con-gressionally appropriated funds into the Navy’saccount. See figure 4-1 for the fund flow of theoperation and maintenance account.

The cost center or operating target (OPTAR)holder at the bottom of figure 4-1 is your ship,squadron, or unit. Your commanding officer isresponsible for ensuring the OPTAR is met. Healso must make periodic reports to the typecommander showing the status of the ship or unitfunds.

The Navy recognizes that commandingofficers need help in administering their budget.Comptrollers or budget administrators, dependingon the size of the command, are assigned to assist

Figure 4-1.-Fund flow for operation and maintenance.

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the commanding officer in the accounting andreporting of expenditures. Commanding officersusually delegate the authority to approveexpenditures to the department head.

We have now arrived at the point in the budgetprocess where you become involved. Departmentheads, like commanding officers, need help inidentifying budget priorities. Division officers andleading chief petty officers need to determine boththe long- and short -term needs of their division.Some of the factors you should consider whenplanning a budget are as follows:

• The number of personnel assigned, plannedlosses, leave schedules, and school assign-ments.

• Unit operating schedule, scheduled regularoverhaul, maintenance availability, andscheduled inspections.

• Can your division do the work or be trainedto do the work? Should you have an inter-mediate maintenance activity, shipyard, orcontractor do the work?

• Availability of OPTAR funding, or theavailability of special funding provided bytype commander (TYCOM) or higherauthority.

PREPARATION OF THEDIVISIONAL BUDGET

In preparing the divisional budget, you musthave an idea of the command and departmentalgoals and objectives. A good place to start is thecommand’s five-year plan. The period 01 Octoberthrough 30 September in the coming year shouldindicate upcoming events with a fair degree ofcertainty. The events indicated are the upcominggoals that the command must meet. Budget theseitems first. Remember that the budget is acontrol device used to measure performance andincludes manpower, material, time, and cost.

Next, budget the command objectives. Theobjectives could be receiving the Golden AnchorAward, the Meritorious Unit Citation, or passingall inspections with no major discrepancies. Talkwith the division officer, department head, andcommand master chief to find out what theobjectives are and what you need to do to meetthem.

You should have a feel for what type of repairswill be necessary in your division in the coming

year. Things like replacing bunk curtains, mattresscovers, lagging, and tile or painting are routinetasks that should be budgeted to make surefunding is available. Other types of periodicrepairs include time-based maintenance. Engines,pumps, and life critical systems are examples ofitems to be replaced on a recurring basis. Certainoperating equipment has a life cycle. Items suchas typewriters, computers, and printers need tobe replaced every 3 to 5 years.

The last items to budget are non-essentialitems. These are things you would like to haveif the money is available, but could live without.Examples include replacing worn but serviceablefurniture or purchasing servmart items in excessof absolutely essential quantities.

The remainder of this section will be devotedto divisional goals and types of budgeting. Anunderstanding of these two topics will assist youin the preparation of your budget.

Divisional Goals

Knowing the divisional goals is essential toeffective supervision of your division. Many ofthe goals will be imposed by the department head,commanding officer, or higher authority. Again,look to the five-year plan, yearly plan, andquarterly plan to define goals of the command.Your goals should be the same as those for thecommand.

Examples of concurrent goals include passinga supply department inspection even though youare in engineering department. How? you mightask. You could assist supply by making sure yourpre-expended bins have the required numberparts, your ready service spares are accounted for,and you have turned in all required repairableitems that you are accountable for. Anotherexample is helping the medical department passtheir inspection. Have all of your subordinateshad their shot records updated? Have all medicalrecords been returned? You get the idea. Yourdivision plays a role in assisting other divisionsand departments meet their goals.

DEVELOPING. —Why should you developdivisional goals if the Navy and the commandhave already established them for you? The Navyand command goals discussed in this chapter andchapter 3 have been part of “the big picture.”That is to say, they are broad and general innature. To help the Navy and command reachtheir goals, you should focus on the specific stepsyou need to take within your division.

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Periodically, you and your division officershould discuss the division’s progress toward thedivision’s goals. And every year before submittingyour budget, you should decide on where to focusyour energies in the coming year. Do thestrengths, weaknesses, opportunities, and threatsanalyses for your division. This is the first stepin preparing your budget.

ESTABLISHING. —You and the divisionofficer have now identified the areas of yourdivision that require attention. Now you shouldprioritize your goals. Obviously, high-priorityitems will need the greatest resources andattention. This is where you and the divisionofficer need to make some sound decisions.

If at all possible, have your subordinatescontribute to the planning during this stage.Present what you and the division officer perceiveas problems and let the subordinates presentsolutions. Subordinates are closer to the work andmay identify additional problems and alternativesthat you and the division officer may have over-looked. This process lets the subordinates becomeinvolved and personalizes the goals.

You and the division officer should evaluatethe problems and proposed solutions. Select thebest solution for each problem and re-prioritizethe goals if required. Place your goals in writingand post them where your subordinates can seethem. Communication of goals and priorities isextremely important to your success.

At this point you know what you want to do,how you want to do it, and the priority you haveset. You should now budget time, materials,people, and costs to meet your goals. This is thesecond step in preparing the divisional budget.

The third step in preparing your budget is toexamine recurring cost. You should be able toproduce a fair estimate for the cost of necessarysupplies, repair costs, and so forth, that haveoccurred over the last 3 years. The supply officercan supply the information required.

The fourth step in preparing your budget isto combine the cost of reaching your goals withyour recurring costs. You are now ready to submityour budget request to the department head.Goals, objectives, recurring costs, and prioritiesshould be outlined to provide the department headwith the ammunition required to achieve thedesired level of funding for the coming year.

You and the division officer should reevaluateyour goals after the command has decided onfunding. Unfunded goals and objectives mayrequire initiative and resourcefulness on your part

if they are to be achieved. The importanceof establishing your divisional goals has beenachieved. You now have set a course of actionand a method to measure your progress.

MONITORING. —The final step of thebudget process is to use the budget to monitordivisional progress throughout the year. Monitor-ing is important because it lets you know whento shift resources. Monitoring can be done by anynumber of control types or methods, such as feed-forward, concurrent, feedback, inventory control,or quality control.

Types of Budgeting

Two types of budgeting are in use in the Navy.You will find it useful to use both types inestimating your annual budget.

INCREMENTAL. —Incremental budgeting isthe primary budget used by the Navy. You havea certain amount of money as a beginning budgetand then increase the amount of money receivedin later years. A good way to visualize this typeof budget is to think of the budget as increasingby the amount of inflation each year. Theincremental factor could be tied to growth,operating schedule, increase in personnel, or anynumber of factors that may increase (or decrease)the amount of funds budgeted.

In your budget, the incremental method ofbudgeting would apply to your recurring cost. Asthe cost of inflation drives up the cost ofconsumable and repair parts, your budget wouldincrease to match inflation.

ZERO-BASED. —The Navy uses zero-basedbudgeting when figuring the cost of majormaterial purchases, such as a ship or airplane.Congress authorizes and appropriates the moneyin the first year, and then the Navy is able to makea draw against the account to pay for work beingdone. This type of budget eliminates worry thatan authorized purchase will not have appropriatedmoney in follow-on years.

In general, zero-based budgeting is startingfrom zero every year and figuring out the cost ofdoing business in the coming year. The dis-advantage of this type of budget is the great dealof time and accuracy required to performeconomic forecasting analysis so that all expensescan be predicted.

You should use this type of budgeting for onetime expenses. The divisional goals and objectives

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that are not of the recurring type would fall intothis category.

SUPERVISING RESPONSIBILITIESFOR STORES, EQUIPMENT,

AND REPAIR PARTS

As you already know, all petty officers needsome knowledge of supply procedures to helpthem function effectively with the supplydepartment. As a chief petty officer, you willfind yourself with greater supply-related respon-sibilities; therefore, you will need additionalknowledge of the supply organization andprocedures.

In the past, you needed to know how toidentify material and how to complete a requisi-tion form. You also needed a knowledge of theship’s Coordinated Shipboard Allowance List(COSAL) to determine what materials were,required to complete a job. You may have beenresponsible for the stowage and custody of variousmaterials in your department. In the future, youwill be working closer with supply departmentpersonnel in estimating supply needs and pro-viding the input data needed for procurement.

You have probably participated in depart-mental preparation for a shipyard overhaul,including validation of installed equipment. Asa CPO, you could become a member of anintegrated logistics overhaul (ILO) team duringa period of shipyard availability. If so, you willcontribute to the process that the supply depart-ment uses to ensure your ship’s material readinesswhen it goes to sea after overhaul.

This section does not attempt to make you anexpert in supply—we will leave that detail to theStorekeeper. It does, however, provide informa-tion to expand your knowledge of the supplyorganization ashore and afloat. This section alsooutlines the procedures and steps of the variousoperations that you are expected to follow whendealing with supply department personnel.

SUPPLY DEPARTMENTS

Supply departments ashore and afloat areresponsible for the supply support of the activityor ship. The supply department procures material;maintains storerooms and warehouses; and issues,accounts for, and collects analytical data for allthe material under its cognizance. The supplydepartment is responsible for establishing the localrequisitioning channels and procedures.

Ashore, standardizing supply procedures isdifficult because of the physical layout of astation and the variety of missions assigned to astation. Therefore, a good deal of freedom isgiven each command to choose the supplyprocedures that best meet its needs. Aboard ship,procedures are becoming more standardizedbecause of the adoption of the Ships’ Maintenanceand Material Management (3-M) program; how-ever, some variations between ships still exist.

You must become thoroughly familiar withlocal instructions that detail the various pro-cedures for supply support. An understanding ofthese instructions will answer most questionsabout the relationship and responsibility betweenthe supply department and the customer.

Supply Departments Ashore

A supply department, like all other depart-ments ashore, is organizationally composed ofseveral divisions, branches, and sections. Only theorganizational components that are of primaryinterest to you (the customer) are discussed here.The components of the supply department youwill have the most contact with are the controldivision, material division, and retail issueorganization. The retail issue organization (usuallya component of the material division) is treatedseparately here because it is the most frequentpoint-of-contact between you and the supplydepartment.

RETAIL ISSUE ORGANIZATION. —Mostshore activities have supply support respon-sibilities for multiple departments and units,and frequently have off-station support respon-sibilities. To meet the requirements of on-stationcustomers, the Navy has established a retail-issueorganization. This organization may be foundashore in the form of a shop store, a self-servicestore, a rapid communication and delivery system,or a combination of these services. The objectiveis a ready supply of materials and simplified issueprocedures that will provide quick delivery ofmaterial requirements to the customer.

Shop Stores. —Shop stores are usuallyestablished to support some type of specializedoperation, such as public works activities andground electronics shops. The shop store is astoreroom located close to the user activities.Shops that are widely dispersed may have severalshop stores. These stores are stocked with itemsnormally used by the shops being supported.

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Most shop stores use simplified issue pro-cedures that require a minimum of paperwork bythe customer. Typically, the customer tells theStorekeeper in the shop store what item is needed.The Storekeeper issues the material and preparesthe requisition. The customer receives the materialand returns to work. The remainder of the paper-work is completed by the shop store supplypersonnel.

Self-Service Stores. —Self-service stores arecommonly referred to as servmarts. They arenormally established to furnish nontechnical typesof materials, such as office supplies, tools, andjanitorial supplies. These stores are operated ona self-service basis that permits the customer toselect material from shelf stock. The customerpresents a requisition in payment at a checkoutcounter for the materials selected. The customerscan shop at their own convenience, selectingsubstitute items for those items that aretemporarily out of stock.

Rapid Communication and Delivery Systems. —Rapid communication and delivery systems areestablished on several shore stations. Customersuse the telephone or some other rapid communica-tion system to request needed material. Thematerial is then delivered to the work area. Thistype of system is commonly established tosupport the aviation maintenance program atnaval air stations.

MATERIAL DIVISION. —The materialdivision is concerned with the physical handlingof the supply department’s stock of materials.This division maintains warehouses andstorerooms and receives, stores, and issuesmaterial. The labor and equipment branch of thematerial division is responsible for all material-handling equipment, such as forklifts, trucks, andtrailers.

When a retail issue organization is notestablished, all material is issued from warehousesor storerooms operated by the material division.The customers should become familiar with thetypes of materials that are stored in eachwarehouse or storeroom.

CONTROL DIVISION. —The major compo-nent of a control division is the stock controlbranch. If a retail issue organization cannotprovide the requested material, the stock controlbranch will forward your requisition to the mainsupply department for procurement action. In the

supply department, the issue control branchmaintains records of each requisition received andthe action taken. This allows you to trace arequisition for material that has not beenreceived.

The stock control branch is responsible formaintaining stock records and assuring adequatestock levels to support station operations. Anyinformation that would alter the material require-ments for future support should be brought to theattention of this branch.

The receipt control branch monitors andexpedites material from outside sources. Themethod used to receive or transmit informationto these various supply internal components isusually found in a local instruction.

Shipboard Supply Departments

Supply departments afloat are generallyorganized into five divisions: S-1 through S-5, TheS-1 division (stores division) is the only divisiondiscussed here; the other divisions are concernedwith food service, disbursing, ship’s store, and thewardroom. Depending on the ship’s size, it couldhave additional supply divisions. For example, ona large ship such as an aircraft carrier, S-6provides aviation stores, and S-7 is the dataprocessing division.

STORES DIVISION. —The stores divisionorders, receives, stows, and issues general storesand repair parts and maint sins related records.Under the Ships’ Maintenance and MaterialManagement (3-M) program, a supply supportcenter may be established within the storesdivision as a single point of contact betweensupply and maintenance personnel. The specificduties of a supply support center are detailed inthe Ships’ Maintenance and Material Management(3-M) Manual, OPNAVINST 4790.4B. Generally,the supply support center receives requests andprovides material identification and statusinformation.

In ships without a supply support center, theseduties are normally performed by storeroompersonnel and the supply office. The supplyoffice further processes requisitions for “notcarried” and “not in stock” items and furnishesstatus information to the customer.

MATERIAL CATEGORIES. —Let us brieflyreview the categories of material for which thesupply department afloat is responsible.

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Equipment includes any functional unitof hull, mechanical, electrical, electronic, orordnance types of materials that are operatedindependently or as a component of a system orsubsystem; it is identified by an Allowance PartsList (APL) number. Examples of equipment arethe ship’s sonar and radar, the anchor windlasses,and the main reduction gears.

Equipage is a general term that includes itemsof a durable nature listed in the EquipageCategory Numbered Allowance Parts List,Allowance Equipment Lists, or other authorizedlistings issued by appropriate authority. Equipagedoes not encompass installed electronic, electrical,mechanical, or ordnance equipment, components,or systems, These items are considered to beequipment. Equipage consists of items such as firehoses, nozzles, applicators, anchors, anchorchains, chain stoppers, and bulkhead fans.

Some selected items are termed ControlledEquipage and require increased managementcontrol because they are expensive, vulnerable topilferage, or essential to the ship’s mission. A listof these designated items can be found in AfloatSupply Procedures, NAVSUP P-485.

Repair parts are any items, including modulesand consumable material, that have an equipmentapplication and appear in an Allowance PartsList, an Allowance Appendix Page, a StockNumber Sequence List (SNSL), an IntegratedStock List (ISL), or a manufacturer’s handbook.

Consumables are administrative andhousekeeping items, such as general-purposehardware, common tools, or any other items notspecifically defined as equipment, equipage, orrepair parts.

Some services are also procured by the supplydepartment for the ship. They include suchrequirements as commercial telephone service,pilotage, tug hire, repairs of office equipment, andthe rental of certain types of equipment.

Some material is NOT controlled by the supplydepartment. Certain material categories afloat arenot under the control of the supply department.They include the following items:

1. Ammunition and ammunition containersare the responsibility of the ship’s weaponsofficer.

2. Nuclear weapons obtained through opera-tional channels are the responsibility of theweapons officer.

3.

4.

Medical stores, including drugs andpharmaceutical supplies, surgical instru-ments, and other professional medicalequipment are the responsibility of thesenior medical representative. The supplydepartment procures medical supplies andequipage, but has no responsibility overinventory control.Marine Corps stores (when a Marine Corpsdetachment is aboard) is the responsibilityof the officer in charge of the detachment,

DETERMINATION OFREQUIREMENTS

The supply officer is responsible for main-taining stocks of general stores, subsistence items,ship’s store, and clothing store stocks. Thesestocks should be maintained at levels sufficientto meet probable demands and within limitsestablished by operations plans. Therefore, thesupply officer, with other supply personnel,should be able to accurately determine therequirements for these items.

The supply officer is jointly responsible witheach department head for maintaining a fullallowance of equipage on board. Because of main-taining the equipage records, the supply officerexercises control over the overall ship’s equipageallowance; however, the supply officer should beadvised by the heads of departments of knownor anticipated requirements and replacements.

Most repair parts are in the custody of thesupply officer. The supply officer is responsiblefor submitting replenishment requisitions toreplace material that has been issued. Departmentheads are responsible for submitting a NAVSUPForm 1250-1 requisition to the supply officer eachtime a repair part is needed. Department headsexpect your cooperation in maintaining recordsand anticipating requirements.

Factors in Determining Requirements

Before the types and quantities of itemscarried can be determined, a desired enduranceshould be established for general categories ofmaterial. Endurance is the period of time requiredfor a ship to use a definite quantity of supplies.Endurance is based on the amount of availablestoreroom space and the allocation of that spaceamong the types of stores. The space is thenconverted to the number of days that the ship canbe maintained by capacity loading. The supply

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officer normally tries to equalize the enduranceof the various types of stores.

The storerooms are not necessarily loaded tomaximum capacity, since endurance limitationsare set by various commands. These limitationsare expressed as the actual number of days ofendurance and are applied to individual itemsrather than to types of stores. For example, if thesupply officer wants to stock the storerooms ata 90-day endurance level, one requisition for a90-day supply of general stores cannot be sub-mitted. Each item must be reviewed to determinea sufficient quantity to last the ship for 90 days.

Another factor supply personnel must consideris the total weight limitation of stores that maybe brought aboard. Each ship is allowed a specificweight limitation so that it can maintain properstability and buoyancy.

When the desired number of days of endurancehas been reached for a type of store, thenthat endurance is converted into quantities ofindividual items.

AVAILABLE SPACE. —The amount ofstorage space available for an item is an obviouslimiting factor. You cannot stow 100 cubic feetof material in a 50-cubic-foot space. For thisreason, some extremely bulky items may have tobe carried in a quantity less than the desired leveland reordered frequently. On the other hand,items of low cost and low bulk may be carriedat a high level to reduce the time spent inordering and stowing.

PERISHABILITY. —Highly perishable itemsmay also be stocked at a lower level than other-wise desired so that deterioration is kept to aminimum.

SHIP’S EXPERIENCE. —The most accurateguide in the determination of requirements is paststock records. You adjust the figures obtainedfrom past usage to cover a specified period in thefuture. For example, a 3-month endurance rateis computed as follows:

Fast-moving items—multiply the past month’susage by 3.

Slow-moving items—divide the past 6 months’usage by 2.

ALLOWANCE LISTS, INITIAL OUTFIT-TING LISTS, AND USAGE DATA TABLES. –Allowance lists, initial outfitting lists, and usagedata tables are prepared to help supply officersof new or recommissioned ships determinequantities of supplies to stock. Since these shipshave no prior usage to rely on, these lists andtables help you and the supply departmentdetermine requirements for consumable supplies,subsistence, and ship’s store stock. These listsprovide restrictive controls on the types andquantities of equipage allowed and serve as guidesfor types and quantities of supplies required.Allowance lists as used here do not include theCOSAL Stock Number Sequence List—StoreroomItem (SNSL—SRI) for repair parts.

SHIP’S OPERATIONS. —Operating factorsmay require the review of stock records and thereevaluation of the requirements for some or allitems stocked. These factors are the expectedlength of a cruise, type of operation (combat ortraining), expected climate during the operation,and available supply support.

If the length of a cruise is less than the normalendurance load, no major adjustment is necessary.However, if the operation is expected to lastlonger, the ship’s stock of fast-moving andessential items is reviewed to determine if anincrease is needed.

A ship rescheduled from a hot or temperateclimate to an arctic climate should reviewmaterials needed for cold-weather operations.

An important factor to consider when the shipis preparing for deployment is the availability ofsupply support during the cruise. Will your shipbe operating independently? Will it be in thecompany of similar ships? Can your ship obtainmaterials from mobile logistic support ships orashore activities? All of these questions must beanswered before you can determine the divisionor department requirements. You will usually findthis information in the operations orders.

ADVICE OF DEPARTMENTS. —Your depart-ment may require special material or an item ina greater quantity than is usually stocked in thestoreroom. For example, electrical fittings arereplaced periodically for general station or ship’smaintenance. Average usage of these fittings maybe 16 per month. By using the formula described,

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the supply officer can easily calculate the numberof fittings to maintain in stock. If, however, allof these fittings are being replaced by new andmore reliable fittings, you should inform supplyof this requirement before the need arises. Thenew fittings can then be stocked before a workdelay results because of a lack of parts.

To carry this one step further, assume thatthese new fittings are significantly more reliableand that the replacement requirement is expectedto be only one per month. The supply departmentcan then reduce the number of fittings needed forendurance. On receiving this information, thesupply department will purge its stock of the oldtype of fitting and establish a realistic stock ofthe new item.

Routine Requirements

Most material procurement falls under theheading “routine requirements.” The factorsdiscussed above apply chiefly to new ships andto special circumstances. The requirements foran item are initially established when a ship iscommissioned or when the item is first stocked.Requirements are reestablished each time yourship undergoes supply overhaul.

OPERATING SPACE ITEMS. —Generally,each department is not required to estimate futurerequirements for repair parts and consumables.Normally the supply department replenishesstocks either on the basis of authorized allowancesor on past demand history. An exception is thereplenishment of operating space items. These areitems (for example, hand-tools and test kits) thatare required to maintain installed hull,mechanical, electrical, and ordnance equipment.These items support the mission of the ship.Department heads are responsible for requestingthese items for known requirements, but they arenot authorized to maintain storeroom stocks thatduplicate those of the supply department. PartIIIB of the COSAL is a consolidated list ofoperating space items.

used in the troubleshooting of electronic equip-ment and are not intended to be used as a repairpart.

READY SERVICE SPARES (RSS). —Readyservice spares are repair parts in the custody ofthe cognizant department head and will be locatedin the appropriate operating and maintenancespaces under the subcustody of the operating ormaintenance personnel.

SHIPS WITHOUT SUPPLY CORPS OF-FICERS. —Most ships have one or more SupplyCorps officers assigned. Certain small ships, suchas minesweepers, have no Supply Corps officerassigned. In this case a line officer heads thesupply department. The line officer usually hasother duties as well as supply duties, and generalstorerooms are usually small in ships of this type;therefore, more material is turned over to thecognizant department upon receipt for storageand custody. On ships without a Supply Corpsofficer, department heads are responsible fordetermining the ship’s requirements for generalstores. Each department head must submit aNAVSUP Form 1250-1 or DD Form 1348 to thesupply officer for preparation of a DTO (directturnover) requisition. Each department head isalso responsible for maintaining current allowancelists of repair parts pertaining to equipment usedby the department. The department head isresponsible for maintaining an adequate stock ofrepair parts to support the equipment of thedepartment, Each time a repair part is used, aNAVSUP Form 1250-1, DD Form 1348, or NAV-SUP Form 1250-2 should be submitted to thesupply officer so that a replacement can berequisitioned. Figure 4-2 shows both the SingleLine Item Consumption/Requisition Document(Manual), NAVSUP Form 1250-1, and the DODSingle Line Item Requisition System Document(Manual), DD Form 1348. Figure 4-3 shows theNon-NSN Requisition, NAVSUP Form 1250-2.This form consolidates, on one form, informationpreviously submitted on two forms (NAVSUPForm 1250-1 and DD Form 1348-6) for non-NSNrequirements. You will play an important role inthe reordering of these materials and parts.

MAINTENANCE ASSISTANCE MODULES SHIPBOARD MATERIAL REQUEST PRO-(MAMs). —Maintenance assistance modules are CEDURES. —As the division chief you will bein the custody of the cognizant department head responsible for ensuring that the equipment underand located in the appropriate operating and your cognizance is maintained and repaired in amaintenance spaces under the subcustody of the timely manner. To accomplish this goal, youoperating or maintenance personnel. MAMs are will need to obtain material from the supply

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Figure 4-2.-Single Line Item Consumption/Requisition Document (Manual), NAVSUP Form 1250-1, and DOD Single LineItem Requisition System Document (Manual), DD Form 1348.

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Figure 4-3.-Non-NSN Requisition, NAVSUP Form 1250-2.

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Table 4-1.-Table for Determining a Priority Designator

department. Although each ship will vary slightlyin procedure, standard forms and data require-ments are the same throughout the Navy. In thissection we will address only those standard itemsthat are required by the supply system.

When you request material from a shipboardsupply department, the standard method is to useeither a NAVSUP 1250-1 (Single Line ItemConsumption/Requisition Document) or a DDForm 1348 (Single Line Item Requisition SystemDocument). The specific requirements for, andthe use of, each document vary between shiptypes; however, each type has basic similarities(fig. 4-2).

When requesting standard stock material toperform a maintenance action, you will findnumerous data requirements are necessary for allship types. These requirements include a valid jobcontrol number, a national stock number (NSN),unit of issue, quantity, unit price, and approvalfor procurement. Once this information has beenentered, either manually or through an automatedsystem, locally defined supply channels should befollowed. To clarify procedures, you need carefulliaison with the leading Storekeeper. Many timesin your dealings with supply, you have a require-ment for nonstandard (non-NSN) material.Several different methods are used by the supplydepartment to procure your material, but the bestand most cost effective is through pier-side

procurement. Pier-side procurement has beenestablished at most major naval stations and isa quick and easy method of obtaining material.Highly trained and responsive personnel with thenecessary experience and resources are availableto expedite shipboard requirements. As a workcenter supervisor, you will need to define yourrequirements very carefully to assist procurementpersonnel. Poorly written and/or vague requestscan slow down the process and lead to delays,cost increases, or procurement of the wrongmaterial. The NAVSUP Form 1250-2 (Non-NSNRequisition) is used for obtaining materials thatdo not have an NSN (fig. 4-3). When preparingthe identification data section of this form,you cannot be too specific or provide too muchinformation. A Form 1250-2 that is properly filledout is your best tool to ensure speedy, accurate,and cost-efficient procurement. A DD Form1348-6 can be used instead of a 1250-2.

MATERIAL OBLIGATION VALIDATION(MOV). —A material obligation validation (MOV)is a procedure used by the supply department ona monthly basis to ensure that their outstandingrequisitions are valid. As a work center supervisor,you will have a good deal of input into thisprocess. The overall purpose of this procedure isto ensure that each outstanding requisition is stillneeded so that unnecessary requisitions can be

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cancelled and the money reclaimed. The supplydepartment allows you to review their materialoutstanding file to compare it with your knownvalid requirements. You should advise supplypersonnel of those items required, those received,and those to be cancelled. After that, supplypersonnel will reconcile their records and takesteps as necessary to cancel, complete, orfollow-up on your requisitions.

Your role as a CPO is critical, for you knowthe requirements of the work center and can bestdetermine requisition validity. Close cooperationwith supply department personnel is necessary toensure the accuracy of the MOV procedure. Yourleading Storekeeper is best qualified to advise youof time schedules and local procedures.

PRIORITIES

You should already know how to identifymaterials, fill out requisition forms, and submitthem to the supply department. The departmenthead is responsible for the assignment of prioritydesignators to these requisitions. Prioritydesignators are assigned according to theUniform Material Movement and Issue PrioritySystem (UMMIPS), which carefully defines thedetermining factors. The system places theresponsibility directly on the commanding officerof the requesting activity for the integrity of thepriorities assigned; however, the commandingofficer usually delegates this authority to thesupply officer. This system should make theassignment of inflated priorities rare and ensurea feasible priority system.

Two factors determine which of the 15available priorities will be assigned to eachrequisition—the military importance of theactivity and the urgency of the requirement. Eachship or activity is assigned a force/activitydesignator (F/AD), which indicates its militaryimportance relative to other ships and activities.This assignment is made by higher authority (typecommander, fleet commander, and so on). Thedepartment head is responsible for assigning thecorrect urgency of need designator (UND) to eachmaterial request. By using the F/AD and theUND, the supply department is able to assign theproper priority designator.

Table 4-1 lists the F/ADs (shown in Romannumerals) across the column heads and thealphabetical UNDS in the first column. TheRoman numerals represent categories of activitiesin descending order of military importance,

ranging from the combat forces under I to themiscellaneous activities under V.

The letters in the first column of table 4-1represent different degrees of urgency in descendingorder of need, from an unable to perform status(A) to routine stock replenishment (C). The urgencycategory is selected by the requesting activity. Itindicates relative urgency of need for a require-ment by a force or an activity.

Categories of each alphabetical designator aredefined in the following paragraphs. Only generalcategories are covered. A complete listing maybefound in Uniform Material Movement and IssuePriority System (UMMIPS), O P N A V I N S T4614.1F. In each case, the alphabetical designatorpreceding the category refers to the applicableUND column heading shown in table 4-1.

UND CATEGORIES

A The activity or unit is unable to performits mission. The equipment or part isneeded immediately.

B Repair parts or equipment is requiredimmediately. Ship operation is impairedwithout it.

Stock replenishment requirements ofmission-essential material in fleet ballisticmissile (FBM) submarine tenders arebelow the safety level and are expected toreach a zero balance before receipt of thematerial.

COSAL-allowed reactor components,equipment, tools, and other materials arerequired to support reactor plant systems.

C Stock replenishment and normal supplyrequirements are routine. Material is re-quired to meet scheduled deployment.

NOTE: Additional urgency of need designators(UND) may be found in Afloat Supply Pro-cedures, NAVSUP P-485.

RECEIVING AND INSPECTING

Before accepting material purchased fromcommercial sources, naval activities inspect thematerial to ensure that it conforms to thespecifications included in the purchase documents.The receiving supply officer inspects the materialfor quality and quantity before payment is made.

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Shore activities usually have a materialinspection section within the material division,established to perform or coordinate suchinspections. When technical material is received,the material inspection section will oftenrequest that a qualified representative from ausing department perform the quality inspection.You will be called on frequently to perform thisservice.

Most material received aboard ships comesfrom naval activities ashore that have alreadyperformed a quality inspection. You shouldinspect the item for any obvious deterioration orbreakage that may have occurred since theprevious quality inspection.

Technical materials or materials ordered fordirect turnover are inspected by the cognizantdepartment head or authorized representative.You, as a senior petty officer, may be assignedthis duty. Except in emergencies, when thecommanding officer may waive minor defects, nopurchased material should be accepted unless itconforms to the specifications included in thepurchase document.

After the purchased material has been turnedover to you, the supply department presents acopy of the purchase document or the dealer’sinvoice stamped “Received, inspected, andaccepted.” This certification is then signed by thedepartment head and the document returned tothe supply department.

STOWAGE AND CUSTODY

When repair parts and consumables are stowedin spaces other than supply spaces, the headof the department having actual custody isresponsible for the proper stowage, inventory,and use of the material. (Figure 4-4 illustratesthe functions involved and the usual flowof responsibilities.) The supply officer hastechnical custody and maintains stock recordsand requisitions replenishment stock. The supplyofficer also provides written instructions to thecustodian, who is usually a senior petty officer.A custodian is appointed by the responsibledepartment head and designated in writing to thesupply officer.

Figure 4-4.-Flow of responsibility relating to materials stored in other than supply spaces.

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Figure 4-5.-Afloat Locator/Inventory Record (NAVSUP Form 1075).

Responsibilities of Custodians

The departmental custodian maintains AfloatLocator/Inventory Records (NAVSUP Forms1075) on which receipts, expenditures, andinventories are recorded (fig. 4-5). The custodianis responsible for stowing and issuing the materialsand for collecting issue documents. Issues aremade using the NAVSUP Form 1250-1 or DDForm 1348, as appropriate. The departmentalcustodian is not required to maintain records otherthan the locator records; however, the custodianis responsible for promptly submitting thecompleted transaction documents to the supplydepartment for the update of applicable stockrecords.

Stowage Principles

Specific written instructions from the supplyofficer provide guidance to departmental custodiansin performing their duties; however, every seniorpetty officer should know certain basic stowageprinciples that involve safety, security, orderlyarrangement, and easy access. These principles arediscussed in the following paragraphs.

SAFETY. —Basic stowage safety principlesmay be summarized as follows:

1. Material should never be stowed or left inpassageways or where it may block damagecontrol apparatus.

2.

3.

4.

All materials should be properly securedto avoid equipment damage or injury topersonnel.Items that are subject to spontaneouscombustion should be stowed in a cool,well-ventilated space, away from heat andflammable material.Bulk acids (except medical) should bestowed in the acid locker in the custody ofthe supply department; paint should bestowed in the paint locker.

STOWAGE PRECAUTIONS. —Humidity,sweating bulkheads, and leaky pipes can causesevere damage to material in stowage spaces.Dunnage, such as lumber, may be used undermaterial to keep it from direct contact with thedampness of the deck. Bulkheads and pipes instowage spaces should be inspected frequently forsweating and leaks. Moisture caused by sweatingcan sometimes be eliminated by adequate ventila-tion. The use of a drying agent, such as bags ofsilica gel, may be necessary to help absorbmoisture in stowage spaces.

Some items stowed for long periods mayrequire special care to preserve them. For example,tools and other items made of unprotected metalshould be protected from rust. Such items maybe protected by a coat of grease, petroleum jelly,or a thin-film of preservative compound. Theseitems may require several coatings during theirstowage period.

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HANDLING AND STOWAGE OF HAZARD-OUS MATERIALS. —A hazardous material isany substance or mixture of substances that couldresult in the injury or death of a person. Thesesubstances are divided into toxic, irritating,flammable, pressurized, or sensitizing agents. Thehazardous material could also result in damageto equipment or personnel through corrosion,oxidation, pressurization, or heat-generation.

As you were climbing the advancement ladder,your major concern about safety was your ownwell-being. As a senior petty officer, you shouldbe concerned not only about your own safety butalso the safety of others. You should make sureall personnel observe the following generalprecautions when handling and stowing hazardousmaterials:

•••

•

••

••

••

•

Keep stowage compartments clean anddry.

Provide adequate ventilation in the storagearea.

Provide separate storage areas formaterials that would become dangerous ifmixed or combined.

Avoid stowing materials in direct sunlightif the sun rays could cause a harmful oran unstable effect to the material.

DO NOT allow unauthorized personnel inthe stowage area.

Make sure the precautionary label remainsintact after each use or when transferringthe material to another container.

Inventory the containers quarterly.

Inspect the containers for tightness ofcover seal, corrosion, leakage, improperor inadequate labeling, and shelf lifeexpiration date.

NEVER allow open flames in the stowageor handling area.

Monitor the stowage area for oxygendepletion or toxic gas buildup (this checkmust be accomplished by a gas-freeengineer).

ALWAYS use electrical equipment that isauthorized for use in an explosiveatmosphere.

SECURITY. —Designated departmental supplycustodians are responsible for safeguarding thematerial under their control; therefore, securityis always an important consideration. Storeroomsmust be kept locked when not in use. The numberof people having direct access to a storeroomshould be kept to a minimum; otherwise, materialcould disappear and the custodian would have norecord of its issuance. Control and responsibilityshould be clear-cut; that is, clear-cut decisions onthe following questions should be made andenforced within the responsible department:

1.

2.

3.

4.

Who is primarily responsible for keepingthe keys to each storeroom?To whom are the keys given when thecustodian goes ashore?Where may personnel on watch find thekeys (or duplicate keys) if a storeroom hasto be entered in case of emergency?Who else, if anyone, should have directaccess to the storeroom?

PHYSICAL ARRANGEMENT. —The physicalarrangement of storerooms depends on theconstruction of the portions of the ship in whichthe storerooms are located. Each stowage areapresents particular problems and should beconsidered separately to ensure that the availablestowage space is used to full capacity.

Material should be segregated into arrange-ments best suited for purposes of issue andinventory, with special attention to placement offast-moving items for convenience of issue. Whenrepair parts are stowed in boxes, considerationshould be given to the department’s plannedmaintenance program. In most cases, materialshould not be stowed in stock number sequence,since national stock numbers assigned arenot necessarily related to item characteristics.For maximum stowage life, stowage should beplanned so that the oldest material is issuedfirst.

Small ships do not usually have suitablestowage space. Material has to be stowed in smallspaces that are irregular in shape and size.Orderliness may have to be sacrificed to putmaterials in the spaces that best fit them. Forexample, bulky items may have to be stowed ininconvenient, out-of-the-way spaces because thesize of hatches and passageways prevents theirstowage with related items. However, do notoverload the bins at the expense of safety andaccessibility.

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The custodian should develop an effectivelocator system so that specific items of stock maybe located without delay. Storeroom areas, unitsof shelving, bins, or other easily identified anddefined sectors should be assigned numerical oralphabetical designators indicating the fore-and-aft and athwartship location of sectors within thestoreroom. The location of each item or box ofrepair parts should be recorded on the applicableAfloat Locator/Inventory Record.

Material needed in a hurry (even if notneeded frequently) should always be immediatelyaccessible. In actual emergencies, accessibility ofvital material has enabled a ship to regain fullcapability almost immediately. Common itemsthat are frequently used should be kept near athand. The once-a-month item, usually not neededin a hurry, should not clutter up bins near the doorof a stowage space.

Sufficient passageways should be provided instowage areas so that even the most infrequentlyused items can be removed with little or noshifting of other material. Stowage spaces shouldbe kept orderly, clean, and in good condition.

You should consult the supply officer if specialstowage problems arise aboard your ship.

CONTROLLED EQUIPAGE

Controlled equipage are specific items thatrequire special management control because theiruse is essential for the protection of life; forexample, lifeboats, first-aid boxes, firearms,binoculars, or items that are pilferable andeasily converted to personal use.

A list of items designated as controlledequipage is contained in various supply proceduralpublications. Items designated as controlledequipage are carried on board in allowancequantity only. They are generally under thecustodial responsibility of the department head.

When you are a work center supervisor,controlled equipage may be subcustodied byyour department head to you. You will then beresponsible for maintaining that piece ofequipage, accounting for it, and inventorying itas necessary.

Designation of Items to beManaged as Controlled Equipage

The Controlled Equipage Item List (CEIL) isan item listing that fleet commanders developedjointly for special inventory control; that is, a listof items that are essential for the protection of

life or that are relatively valuable and easilyconvertible to personal use.

Excluded from the CEIL are those equipageitems adequately managed through other ship-board programs. The items managed as controlledequipage are categorized and listed as “signature-required items” and “non-signature-requireditems” in appendix 11 of NAVSUP P-485.

Signature-required items require the signatureof the responsible department head in the originalcustody records maintained by the supply depart-ment. These items also require the signature ofthe actual custodian in the department head’sduplicate custody records. Signature-requireditems annotated with the # symbol in appendix11 of NAVSUP P-485 also require that the serialnumber of each unit be listed in the original andduplicate custody records.

Items Designated by the CommandingOfficer or Type Commander

When commanding officers or type com-manders do not consider the CEIL in appendix11 to be sufficiently inclusive, they may designateadditional items as controlled equipage (either assignature-required or non-signature-required).They may also change non-signature-requireditems listed in appendix 11 to signature-requireditems when additional control is necessary.

A list of items designated and changed by acommanding officer is prepared by the supplyofficer and approved by the commanding officer.The original of the list is retained by the supplyofficer, and a copy is provided to each depart-ment head concerned. When items are designatedby the type commander, the supply officer retainsa copy of the type commander’s directive and pro-vides a copy to each department head concerned.

Department Head Records

Your department’s basic custody record forcontrolled equipage is the duplicate of theNAVSUP Form 306 furnished by the supplyofficer. Receipts, expenditures, and inventoriesare posted to the duplicate records as they occur.The supply officer and the custodial departmenthead are jointly responsible for ensuring that theoriginal and duplicate custody records are inagreement. A comparison of the original andduplicate copies is required incident to inventories;however, a comparison of the original andduplicate of an individual record should be madeeach time a receipt or expenditure entry is posted.

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RECORDS OF EXPENDING ANDRECOVERING ACCOUNTABLEMATERIAL

Accounting for the expending and recoveringof supply materials is an important supplyfunction. Two areas of expenditures, issue andtransfer, have already been covered in thischapter. We will now discuss the turn-in ofitems; the precious-metal recovery program; themissing, lost, stolen, or recovered governmentproperty program; and material survey.

Turn-In Items

Material in excess of allowance or departmentneeds should be returned promptly to the supplydepartment. You should make every attempt toreturn material in a ready-for-issue condition. Ifthe preservation has been destroyed or is marginal,re-preservation should be accomplished beforeturn-in. Material returned to the supply depart-ment is documented on a NAVSUP Form 1250-1(for manual afloat activities) or a DD Form 1348-1(for automated afloat and ashore activities).

Precious-Metals Recovery

Many times in your day-to-day work, you willbe working with equipment that contains preciousmetals. This is especially true in the DentalTechnician, Hospital Corpsman, Photographer’sMate, electronic and electrical, and someengineering ratings. Precious metals and metal-bearing scraps should be separated by genericcategory; for example, gold, silver, and platinum.They should then be turned in to the nearest DODproperty disposal facility. Further guidance on thereuse of precious metals and the recovery ofprecious metals can be found in Recovery andUtilization of Precious Metals, NAVSUPINST4570.23.

Missing, Lost, Stolen, or RecoveredGovernment Property Program

The Department of the Navy has longrecognized the importance of maintainingstatistics on where, when, and how governmentproperty was lost, stolen, or found missing andhow it was recovered.

To provide a medium for recording thisinformation, the government began the Missing,Lost, Stolen or Recovered (M-L-S-R) Program in1973. The ultimate goal of this program is to

improve the Navy’s physical security program andto provide a method for entering serializedmaterial into a computer. The M-L-S-R programalso establishes an official interface with the FBI’sNational Crime Information Center (NCIC).Further guidance, including a detailed list of itemsto be reported and how to report these items, iscontained in Reporting of Missing, Lost, Stolen,or Recovered (M-L-S-R) Government Property,SECNAVINST 5500.4E.

SURVEY PROCEDURES

When circumstances warrant, such as whencriminal action or gross negligence is indicated,the commanding officer’s designated represent-ative may appoint a surveying officer or a surveyboard. Persons who are accountable or respon-sible for the material being surveyed should notbe appointed as surveying officers.

Research action is not required when, in theopinion of the commanding officer or designatedrepresentative, negligence is not indicated in theloss, damage, or destruction of governmentproperty. It is not required if, for reasonsknown to the commanding officer, negligence orresponsibility cannot be determined. It is alsonot required if research under those conditionswould be an unnecessary administrative burden.Research action is not usually required when aperson accepts responsibility for the loss, damage,or destruction of government property andvolunteers to reimburse the government. At thediscretion of the commanding officer or thedesignated representative, investigative reportsrequired by other appropriate DOD componentregulations may be used in lieu of the researchunder the following circumstances:

• No death or injury is involved.

• No possible claim against the governmentexists. Items are determined to be scrap byan inventory manager.

• Material is cannibalized or otherwiseunaccounted for in the repair department.

• Residue of material cannibalized in therepair department is considered to havescrap value only.

• Samples of petroleum products are sent toa laboratory for examination and testing.These samples are not normally returned.

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•Medical material has been determined tobe defective by the Bureau of Medicine andSurgery.

• Material quantity discrepancies (providedthat the value of the loss or shortage is lessthan $50 per line item and it does notinvolve sensitive items) transferred todisposal are discovered.

• Material is lost in transit because of enemyaction.

The criteria for performing further researchon unresolved discrepancies are as follows:

• Further research is required on drugs orprecious metals when any discrepancyoccurs, regardless of dollar value.

• All items are classified, regardless of dollarvalue.

• Discrepancy of $500 or more concerningpilferable items is reported.

• An indication or suspicion of fraud, theft,or negligence exists about any discrepancy.

• A discrepancy concerns arms and ammuni-tion, including all personal arms, whetheror not pecuniary liability is admitted.

• Repetitive losses and the dollar value of theadjustment equals or exceeds projectedcosts of the report of investigation.

• Bulk petroleum losses exceed the statedallowance.

• Items are mandatory turn-in repairable,including items that have been invoicedand shipped but not received.

• Discrepancies are over $50,000 (all items).

• Further research is requested by theaccountable officer.

Responsibility for Survey

The commanding officer of a ship or unit hascommand responsibility for the security of allU.S. government property within the command,

whether in use or in storage. Such commandresponsibility requires a thorough observationof the activities of subordinate units. It alsorequires the enforcement of security, safety,and accounting requirements by appropriateadministrative or disciplinary measures.

As the supervisor, you are responsible for theloss, damage, or destruction of material bysubordinates under your supervision when theaction or lack of action can be directly connectedto the loss, damage, or destruction of governmentproperty.

You are also responsible for supply stocks thatare stored and used within your division spaces.Government property may not be converted topersonal use without specific permission orproper authority.

Report of Survey

As a CPO, you may encounter a time whenyou will need to expend accountable material fromyour records because of loss, destruction, orabsorption. In most cases you will be required toinitiate a Report of Survey (DD Form 200) todocument the expenditure. The Report of Surveyis an official report explaining the situation.Depending upon the circumstances, it may alsoprovide the results of an investigation into thematter (figs. 4-6A and 4-6B).

NAVSUP P-485 (paragraphs 5125-5128)provides specific guidance concerning the prepara-tion and responsibility for the submission of theReport of Survey. Your responsibility as a CPOis to document losses or destruction in your workcenter as follows:

1. Inform your chain of command immediately.2. Begin researching the cause and circum-

stances leading to the situation.3. Try to reconstruct the situation to deter-

mine whether further investigation isnecessary.

4. Initiate a Report of Survey (DD Form 200)to document loss or destruction of govern-ment property.

Remember, if you are the custodian of lossor destroyed material, you are responsible andaccountable. Make sure all your research isthorough.

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Figure 4-6A.-Report of Survey, DD Form 200 (Front).

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Figure 4-6B.-Report of Survey, DD Form 200 (Reverse).

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Distribution of the Report ofSurvey Form After Final Action

The original report with all attachments isretained at the activity if copies are not requiredby higher authority.

A duplicate is returned to the appropriateproperty officer to replace the quadruplicate copy,which may then be destroyed if not required byhigher authority.

The triplicate copy is destroyed if pecuniaryliability is not assessed. If pecuniary liability isassessed, send a copy to the disbursing officer.

INVENTORIES

Inventories should be conducted at regularintervals, following prescribed procedures.

Controlled Equipage Inventory

All items of controlled equipage are inventoriedon an annual basis during the period 15 Februaryto 15 March.

At least 1 month before 15 February, thesupply officer prepares an official notice advisingall department heads of procedural details to befollowed when conducting their annual inventoriesof controlled equipage. The notice is signed bythe commanding officer or by an officer withdelegated authority.

Heads of departments are responsible forconducting the inventory of items for which theyhave custody. The file of duplicate NAVSUPForms 306, as well as subcustody records, can beused as a basis for conducting and recordingphysical inventories of controlled equipage.

All items are sighted and inspected for service-ability by the officer conducting the inventory.Binoculars, small arms, and other equipmentidentified by serial numbers are checked by thosenumbers during the inventory. As each item isinventoried, the inventorying officer enters thedate and quantity and signs the reverse side of thedepartment copy of the custody card.

As the inventory progresses or immediatelyafter completion, the inventory record istranscribed to the original card held by thesupply officer. When the inventoried quantity ofan item differs from the verified custody recordbalance, a recount or an investigative research orboth is required.

After the above procedures have beenaccomplished, the following additional actions arerequired:

1.

2.

3.

4.

Shortages and unserviceable items dis-covered incident to inventory are promptlysurveyed.Inventory adjustments are posted to thecustody card.Issue requests are prepared and submittedto the supply officer for procurement ofany replacement items required.A report of inventory completion is sub-mitted to the commanding officer.

Upon completion of a controlled equipageinventory, each department head submits a letterreport to the commanding officer, with a copyto the supply officer. When controlled equipageis inventoried incident to a change of departmenthead, the letter report is signed by both therelieved and relieving department heads. Letterreports should include a list of excess controlledequipage items. This list should include justifica-tion or authority for any excess items you wantto retain. Letter reports should include

1.

2.

3.

4.

Other

completion of the controlled equipageinventory,submission of shortages and unserviceableitems,replenishment of shortages and unservice-able items, andjustification or authority for any excessitems to be retained.

Inventories

Physical inventories of stores in the technicalcustody of the supply department but in thephysical custody of other departments are takenat the end of each quarter or when prescribed bythe supply officer. The inventory is checkedagainst the stock record cards, signed by thecustodian department head, and submitted to thesupply officer. The following are examples of howyou should prepare the space for inventory:

1.

2.

3.

Ensure the stowage is orderly and followsa prearranged stowage plan.Ensure unopened boxes and other containersare stowed with labels and other identifyinginformation facing outward.Ensure loose items are repackaged instandard bulk lots when practical.

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4. Ensure all stock is labeled or otherwiseclearly identified.

Shortages identified by the inventory arecovered by receipted issue documents. The supplyofficer charges shortages against the budget of thedepartment concerned.

Selected Item Management(SIM)/Non-SIM Procedures

Analysis of shipboard usage data has shownthat a small percentage of the total number ofrepair parts is in frequent demand. However,all items require the same degree of managementattention: annual inventory, stock record review,and updating. Under the SIM concept, only thoseitems designated SIM receive this attention on aregular basis; non-SIM items are inventoried,reviewed, and updated only when transactionsoccur. A stock item is designated SIM after it hashad two demands (regardless of quantity issued)within a 6-month period; it loses that designationwhen no demands have been recorded for 6months consecutively.

You should remember that the designation ofa stock item as either SIM or non-SIM is notpermanent. When a non-SIM item experiences itssecond demand within 6 months, it should beredesignated as SIM. An item maybe designatedas SIM if it has a predictable demand of two ormore based on expected seasonal or deployedusage.

SIM items are inventoried at 6-month intervals.The inventory should be completed and postedwithin 2 weeks after it is started. The inventoryshould be conducted before deployment.

INTEGRATED LOGISTICSOVERHAUL (ILO)

The ILO improves readiness by providing aship with logistics support that accurately reflectsthe ship’s true equipment and operating needs.The term logistics support refers to the repairparts, Planned Maintenance System (PMS),technical manuals, and personnel trainingnecessary to operate and sustain the ship. As youcan see, an ILO includes much more than justrepair parts and involves more than just supplyfunctions. An ILO is a shipboard evolution thatinvolves every department and is important fora ship’s overhaul. A properly executed ILO cangreatly benefit the future operations of the ship,but a poorly executed ILO can be disastrous. The

ILO process begins months before the shipyardperiod and continues at a reduced level until thenext ILO.

The Ship Equipment Configuration AccountingSystem (SECAS) validation is one of the first stepsin an ILO. This validation is performed byTYCOM personnel. The TYCOM personnelboard your ship and site-validate all electronic andordnance material and certain hull, mechanical,and electrical equipment (HM&E).

Personnel assignments to the ILO generallyinclude people from several different technicalratings, as well as Storekeepers. Each person hasa specific assignment related to the configurationanalysis within his or her area of specialty. Theteam should work together to ensure that the“integrated” portion of ILO brings all partstogether as a whole. The assignment of people tothe ILO team is a critical factor in the finaloutcome. You should assign the most conscientiouspeople from the work center to the ILO team.

Several of the major evolutions involved in anILO are outlined below:

Develop a plan of action and milestones(POA&M).

Train all personnel involved in the ILOprocess.

Off-load all repair parts, technicalmanuals, and PMS documentation at theILO site.

Compare the SECAS validation to thecurrent COSAL and inventory and catalogrepair parts at the same time.

Analyze the applicability of repair parts,technical manuals, and PMS to update theconfiguration.

Coordinate the reorder of repair parts,technical manuals, and PMS programs.

On-load updated products.

Follow-up adjust. and validate the entireILO process This step continues duringthe entire operating cycle.

The result of an ILO will never be perfect, butthis process does eliminate most of the supportproblems encountered during the previousoperating cycle. Because an ILO is a self-help

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project, the product will only be as good as theinput from you and your personnel. You, as aCPO, will have a great deal of influence over thisprocedure.

THE 3-M SYSTEMS

The average work center aboard ship isinvolved in the 3-M Systems through the PlannedMaintenance System (PMS) and the MaintenanceData System (MDS). Your position in the workcenter or division will require you to have a goodworking knowledge of the 3-M Systems. Basic3-M responsibilities of the chief include thefollowing:

•••••

Training the division officer and subor-dinates

Supervising preventive maintenance admin-istrative procedures

Supervising corrective maintenance admin-istrative procedures

Submitting equipment configurationchanges to update the weapons system file

Managing the division or work centermaintenance through use of the currentship’s maintenance project (CSMP)

An in-depth explanation of the 3-M Systemsis beyond the scope of this chapter. Exact pro-cedures for administering the 3-M Systems varydepending upon TYCOM instructions, type ofcommand, or special programs such as nuclearweapons or nuclear power.

This section will cover the general respon-sibilities of the positions you should be familiarwith as a chief. These positions are the depart-mental 3-M Systems assistant, division officer,group supervisor, and work center supervisor.

A more detailed description of the 3-MSystems can be found in the Ships’ Maintenanceand Material Management (3-M) SystemsManual, OPNAVINST 4790.4B, and yourTYCOM 3-M Systems instruction.

DEPARTMENTAL 3-M SYSTEMSASSISTANT

The department head will assign an officer ora petty officer as a 3-M Systems assistant. The

assistant must be trained in and knowledgeableof the 3-M Systems. The assistant will provideassistance and supervision in all administrativefacets of the department’s 3-M Systems program.

DIVISION OFFICER

The division officer is responsible to thedepartment head and must be trained in the 3-MSystems. The division officer assists in managingthe maintenance required for the equipmentwithin the division. The division officer’s respon-sibilities include the following:

Ensuring division MDS documents arecomplete, accurate, and promptly preparedand submitted

Ensuring qualified senior personnel reviewPMS maintenance requirement documentssuch as maintenance index pages (MIPs)or maintenance requirement cards (MRCs)for completeness, applicability, and ac-curacy

Supervising preparation, reviewing, andsigning of the divisions’s weekly PMSschedules

Conducting weekly spot-checks to makesure maintenance requirements are per-formed as indicated on the maintenancerequirement card (MRC)

Ensuring the department quarterlyschedule is properly updated each week

Including 3-M Systems training in divisionaltraining plan

Working in association with the ship’s 3-Mcoordinator

Meeting the work center supervisors eachweek and then informing the departmenthead of 3-M Systems status within thedivision

Ensuring division 3-M Systems files,publications, MRC decks, tag guide list(TGL), and equipment guide list (EGL) arecomplete and current

GROUP SUPERVISOR

Sometimes the leading chief is responsible forthe proper operation of two or more work centers.

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When this occurs the leading chief is referred toas the group supervisor. The group supervisor isresponsible for the proper performance of the 3-MSystems in the work centers under their control.

WORK CENTER SUPERVISOR

The senior chief petty officer (or senior pettyofficer if no chief is assigned) within the workcenter is the work center supervisor. The workcenter supervisor is responsible for the effectiveoperation of the 3-M Systems in his or her workcenter. The responsibility can not be delegated tosubordinate maintenance personnel. The workcenter supervisor will receive 3-M Systems trainingand is responsible for the following:

Scheduling and supervising accomplish-ment of weekly work center maintenancetasks.

Ensuring preventive maintenance status isshown correctly on work center PMSschedules.

Informing the division officer or groupsupervisor of MDS or PMS actions withinthe work center.

Maintaining an adequate supply of 3-MSystems materials for the work center.

Ensuring prompt documentation of allnoted material deficiencies in the workcenter work list/job sequence number(JSN) log and on OPNAV 4790/CK Formif required.

Documenting completed maintenanceactions promptly using OPNAV 4790/2Kor OPNAV 4790/CK forms when required.

Reviewing all 3-M documentation leavingthe work center to make sure it is correct,legible, and prepared and submittedpromptly. Persons discovering deficienciesare responsible for completing requireddocumentation.

Ensuring maximum use of PMS as amaintenance training aid for work centerpersonnel.

Maintaining control and accountability ofwork center job sequence

Verifying that the workcurrent and complete.

numbers (JSNs).

center CSMP is

Reviewing maintenance requirement cardsand submitting a PMS feedback reportwhen maintenance requirements are notfully understood; errors are believed toexist; maintenance requirements are believedto be inadequate or excessive or whenperformance would cause a hazardouscondition to exist; or replacementdocuments are required.

Maintaining an accurate and current listof effective pages (LOEP) by comparingPMS documentation to actual work centerequipment configuration.

Ensuring periodic maintenance requirements(PMR) scheduled for the work center arecompleted and reported as stated on thePMS, MRC, or PMR.

Ensuring proper tests and inspections priorto acceptance of work done by outsideactivities.

Ensuring delivery of test, measurement, orother portable equipments to testing andcalibration work centers as indicated onscheduling reports.

SHIPBOARD NONTACTICALAUTOMATED DATA PROCESSING

(ADP) PROGRAM: SYSTEMS(SNAP I AND SNAP II)

The Shipboard Nontactical ADP Program(SNAP) concept takes the power of computerswith their ability to process information and putsthat power in the hands of the work centerpersonnel. The SNAP computer systems arehighly useful systems. The Navy uses two differentSNAP computer systems to accomplish the samebasic functions. SNAP I systems are installed atShore Intermediate Maintenance Activities(SIMAs) and on board larger vessels such asaircraft carriers, tenders, amphibious commandships, and amphibious assault ships. SNAP IIsystems are installed only on smaller vessels suchas frigates, destroyers, and cruisers.

The main objectives of SNAP I and SNAP IIsystems are to accomplish the following:

• Reduce the current shipboard administrativeworkload associated with equipment mainte-nance, supply and financial management,and personnel administration

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• Provide supervisors with a responsive andflexible on-line management tool for main-tenance, supply, and manpower functions

• Improve the accuracy and timeliness ofexisting off-ship data reports withoutincreasing user workload

COUNSELING PERSONNEL

One of the most important aspects of the chiefpetty officer’s job is providing advice andcounseling to subordinates. CPOs who makethemselves accessible to subordinates will findthey are in great demand to provide informationand to help in finding solutions to problems.

The purpose of this section of the chapter isto present an overview of the basic principles andtechniques of counseling. This section is notintended to be a course in problem solving, noris it intended to provide a catalog of answers toall questions. This section will, however, give youan overview of general counseling procedures,some guidelines to use in the counseling process,and a listing of resources available as references.

A point to remember is that counseling shouldnot be meddlesome, and the extreme, of playingpsychiatrist, should be avoided. But neithershould counseling be reserved only for asubordinate that is having problems; you shouldalso counsel subordinates for their achievementsand outstanding performance. Counseling of asubordinate who is doing a good job reinforcesthis type of job performance and ensurescontinued good work. Counseling of this type alsoprovides an opening for you to point out waysthat a subordinate might improve an already goodjob performance.

Counseling the subordinate who is doing agood job is relatively easy, but a differenttype of counseling is required for a subordinatewhose performance does not meet set standards.This section teaches you how to counsel thesubordinate whose performance does not meetestablished job standards.

In general, this section can be used as a guideto counseling personnel on professional, personal,and performance matters. Also, the basicspresented here apply to counseling subordinateson their enlisted evaluations.

PRINCIPLES OF COUNSELING

Counselors should set aside their own valuesystem in order to empathize with the person

during counseling. The things the counselor mayview as unimportant may be of paramountimportance to the counselee. We tend to view theworld through our own values, and this canpresent problems when we are confronted withvalues that are at odds with our own. If personsin your unit think something is causing them aproblem, then it is a problem to them, regardlessof how insignificant you might believe the pro-blem to be.

The objective of counseling is to give yourpersonnel support in dealing with problems so thatthey will regain the ability to work effectively inthe organization. Counseling effectiveness isachieved through performance of one or more ofthe following counseling objectives: advice,reassurance, release of emotional tension, clarifiedthinking, and reorientation.

Advice

Many persons think of counseling as primarilyan advice-giving activity, but in reality it is butone of several functions that counselors perform.The giving of advice requires that a counselormake judgments about a counselee’s problemsand lay out a course of action. Herein lies thedifficulty, because understanding another person’scomplicated emotions is almost impossible.

Advice-giving may breed a relationship inwhich the counselee feels inferior and emotionallydependent on the counselor. In spite of its ills,advice-giving occurs in routine counseling sessionsbecause members expect it and counselors tendto provide it.

Reassurance

Counseling can provide members with re-assurance, which is a way of giving them courageto face a problem or confidence that they arepursuing a suitable course of action. Reassurancecan be a valuable, though sometimes temporary,cure for a member’s emotional upsets. Sometimesjust the act of talking with someone about aproblem can bring about a sense of relief that willallow the member to function normally again.

Release of Emotional Tension

People tend to get emotional release from theirfrustrations and other problems whenever theyhave an opportunity to tell someone about them.Counseling history consistently shows that aspersons begin to explain their problems to a

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sympathetic listener, their tensions begin tosubside. They become more relaxed and tend tobecome more coherent and rational. The releaseof tensions does not necessarily mean that thesolution to the problem has been found, but itdoes help remove mental blocks in the way of asolution.

Clarified Thinking

Clarified thinking tends to be a normal resultof emotional release. The fact is that not allclarified thinking takes place while the counselorand counselee are talking. All or part of it maytake place later as a result of developmentsduring the counseling relationship. The net resultof clarified thinking is that a person is encouragedto accept responsibility for problems and to bemore realistic in solving them.

Reorientation

Reorientation is more than mere emotionalrelease or clear thinking about a problem. Itinvolves a change in the member’s emotional selfthrough a change in basic goals and aspirations.Very often it requires a revision of the member’slevel of aspiration to bring it more in line withactual attainment. It causes people to recognizeand accept their own limitations. The counselor’sjob is to recognize those in need of reorientationbefore their need becomes severe, so that they canbe referred to professional help. Reorientation isthe kind of function needed to help alcoholicsreturn to normalcy or to treat those with mentaldisorders.

TYPES OF COUNSELING

Counseling should be looked upon in termsof the amount of direction that the counselor givesthe counselee. This direction ranges from fulldirection (directive counseling) to no direction(nondirective counseling).

Directive Counseling

Directive counseling is the process of listeningto a member’s problem, deciding with the memberwhat should be done, and then encouraging andmotivating the person to do it. This type ofcounseling accomplishes the function of advice;but it may also reassure; give emotional release;and, to a minor extent, clarify thinking. Mosteveryone likes to give advice, counselors included,

and it is easy to do. But is it effective? Doesthe counselor really understand the member’sproblem? Does the counselor have the technicalknowledge of human behavior and the judgmentto make the “right” decision? If the decision isright, will the member follow it? The answer tothese questions is often no, and that is why advice-giving is sometimes an unwise act in counseling.Although advice-giving is of questionable value,some of the other functions achieved by directivecounseling are worthwhile. If the counselor is agood listener, then the member should experiencesome emotional release. As the result of theemotional release, plus ideas that the counselorimparts, the member may also clarify thinking.Both advice and reassurance may be worthwhileif they give the member more courage to take aworkable course of action that the membersupports.

Nondirective Counseling

Nondirective, or client-centered, counseling isthe process of skillfully listening to a counselee,encouraging the person to explain bothersomeproblems, and helping him or her to understandthose problems and determine courses of action.This type of counseling focuses on the member,rather than on the counselor as a judge andadvisor; hence, it is “client-centered.” This typeof counseling is used by professional counselors,but nonprofessionals may use its techniques towork more effectively with service members. Theunique advantage of nondirective counseling is itsability to cause the member’s reorientation. Itstresses changing the person, instead of dealingonly with the immediate problem in the usualmanner of directive counseling. The counselorattempts to ask discerning questions, restate ideas,clarify feelings, and attempts to understand whythese feelings exist. Professional counselors treateach counselee as a social and organizationalequal. They primarily listen and try to help theirclient discover and follow improved courses ofaction. They especially “listen between the lines”to learn the full meaning of their client’s feelings.They look for assumptions underlying thecounselee’s statements and for the events thecounselee may, at first, have avoided talkingabout. A person’s feelings can be likened to aniceberg. The counselor will usually only see therevealed feelings and emotions. Underlying thesesurface indications is the true problem that themember is almost always initially reluctant toreveal.

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PERSONAL COUNSELING

All personal problems should not be referredto a specialist. Your first duty as a chief is torecognize whether the problem is beyond yourability to help or not. Many times you can solvepersonal problems with a telephone call. If theproblem is beyond your ability to solve, then givethe division officer a chance to solve the problem.Stay informed of the progress made towardsolving the problem. If the problem requiresassistance from outside the command, you cansmooth the process by making appointments andensuring the counselee gets help. Keep informedof progress and follow-up!

As a CPO, you may encounter situations inwhich persons being counseled must be referredto other sources for assistance. There will be timeswhen a person will have special problems that willrequire special help. These problems should behandled by such specialists as the chaplain, legal

officer, and medical officer. The effective CPOshould be able to recognize situations in whichreferral is necessary and to assist the counseleein obtaining maximum benefit from thesereferrals. Examples of situations in whichreferral would be appropriate include drugand alcohol abuse, psychological problems orbehavioral disorders, medical problems, personallimitations, such as a personality conflict with thecounselor and the inability of the counselor torelate to or comprehend a counselee’s problem.

In each instance, the key to successful referrallies not in the ability to diagnose a problem butrather in the ability to recognize those signs orsymptoms that indicate referral to appropriatesources.

To assist CPOs in fulfilling their advising andcounseling responsibilities with regard to referral,the Navy has developed an impressive array ofhelping resources. A listing of these helpingresources is provided for reference.

Helping Resource

Alcohol Rehabilitation Centers/AlcoholRehabilitation Departments (ARCs and ARDs)

Counseling and Assistance Centers (CAACs)

Drug and Alcohol Program Advisor (DAPA)

Navy Alcohol and Drug Safety Action Pro-gram (NADSAP)

Navy Relief

Chaplain Corps

Command Ombudsman

Family Service Centers (FSC)

Federal Credit Unions

Educational Services

Capability

Alcohol abuse and related physical disorders

Drug abuse, alcohol abuse, and psychologicaldisorders

Primary command point of contact for drug andalcohol abuse problems

Education program for those with drug/alcoholabuse problems

Financial counseling

Personal problem and religious counseling

Community orientation and family orientation tothe command and Navy life

Comprehensive family-related information, pro-grams, and services for Navy families and singleservice members

Financial assistance, to include savings and loanadvice as well as family financial planning

Educational assistance, to include degree-grantingprograms, correspondence courses, and in-serviceeducational benefits

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Helping Resource

Navy Relief Society

Naval Legal Service Offices

American Red Cross

Naval Hospitals

Veterans Administration (VA)

Civilian Health and Medical Program of theUniformed Services (CHAMPUS)

Command Career Counselor

Capability

Loans and outright grants to alleviate financialemergencies; also family budget counseling

Legal advice, to include wills, powers of attorney,and notarizing services

Emergency assistance of all types, to includeemergency leave verification and travel assistance

Physical and psychological problems and disordersdiagnosed and treated

Veterans benefits and survivors benefits advice

Health care benefits

Career information,benefits

and eligibility advice

to include Navy rights and

PROFESSIONAL, PERFORMANCE,AND ENLISTED EVALUATIONCOUNSELING

Professional, performance, and enlistedevaluation counseling all have several things incommon. Standards should be set; standardsshould be clear and understood by the counselee;targets should be set for each individual; andboth good and poor performance of subor-dinates should be documented and the subor-dinates counseled. Professional and performancecounseling takes place throughout the year.Enlisted evaluation counseling should take placeonce a quarter to allow personnel a chance toimprove before receiving the formal evaluation.

A good place to start is at the end of theformal evaluation period. You can outline theminimum required performance you expect fromeach paygrade and rating within the work centeror division. This is setting a clear standardof performance. Professional and performancecounseling will be based on these standards.Ensure each subordinate understands the requiredlevel of performance you expect from him or her.

Set performance targets for each individual.People are different and have different capabilities.By setting performance targets above the requiredminimum, you will be able to maximize subor-dinate output. Setting a standard target ofperformance could discourage less capable

performers or cause more capable performers tobecome bored. Remember to individualize thetarget performance. An example would be givingyour star performer 1 week to complete a specificpersonnel qualification standard (PQS). The1-week target may be too difficult for your leastcapable performer, so you might allow him or her1 month to complete the PQS. All other personnelwould fall somewhere within this range, dependingupon their capabilities.

As your personnel progress, you will need toadjust the targets to keep them challenging butrealistic. Counsel your personnel on their goodand poor performance. Document the counselingsessions for at least 3 months.

You have been documenting the professionaland performance counseling for the last 3 months.Now it is time to conduct an enlisted evaluationcounseling session. Write a rough evaluation oneach subordinate, using their counseling sheetsand other documentation taken from personalobservation over the last 3 months. Do not referto the last formal evaluation (or rough evaluationfor latter sessions).

These quarterly counseling sessions will allowyou to provide positive reinforcement for correctbehavior and corrective action for substandardbehavior. You will also be able to documentitems that are sometimes forgotten at the yearlyevaluation. Schools attended, courses completed,and assistance provided are sometimes overlooked

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or forgotten if the supervisor or subordinate failsto document them.

At the end of the formal evaluation period,you should have enough documentation to writean objective evaluation on each subordinate.

INTERVIEWING, ASSIGNING,AND EVALUATING PERSONNEL

As a chief petty officer, your administrativeduties will include interviewing personnel,assigning them to jobs, and evaluating theirperformance. The purpose of interviewing is toobtain information that will help you make themost effective use of the skills and abilities ofnaval personnel. The best way you can do this isto assign people to work they do well and enjoy;people who enjoy their work usually put forththeir best efforts in doing the job. The end resultof proper interviewing and assignment is a positiveevaluation for the subordinate.

INTERVIEWING

The interview has three major objectives: toestablish your position of leadership and respon-sibility in the sailor’s mind, to discover specialcharacteristics or aptitudes about the member thatmay not be included in the records, and to showthat you have a personal interest in the person.The interview should be friendly, not too formal,but thorough.

Beginning the Interview

To obtain all the necessary information froma member during an interview, you must put themember at ease and in the mood to talk. This isaccomplished by using a pleasant, easy mannerand by making it clear that you are interested in,and responsible for, finding the member a suitablejob assignment.

Before beginning, you should have had achance to read whatever information is availableon the member. From this, facts can be found toopen the interview, such as the location of themember’s home.

The interview is not only for the purpose ofgiving you information, but also to help membersunderstand themselves. You and the membershould work as a team to find the mostsatisfactory assignment possible within the Navy’sneeds.

Information to be Obtained

During the interview, the interviewer obtainsall the information possible about the member’seducation, personal interests, and occupationalexperience.

EDUCATIONAL INFORMATION. –Educa-tional information includes the kind and extentof formal education; where and when it wasacquired; subjects liked and disliked and why, andthe amount of time spent studying each; anyoccupation followed during the period of educa-tion; and an explanation of unusual features ofeducation.

Educational attainment indicates to a certaindegree the member’s ability to absorb training.Success in technical or special subjects in highschool usually indicates aptitude for continuedtraining in related subjects in Navy schools. Tradeschools, business schools, and correspondencecourses are important, especially if they are relatedto a Navy rating.

Do not assume, however, because a person hasbeen trained in a certain field, that the occupa-tion is necessarily suitable or desirable for thatperson. The person may have been urged to entera field by parents or teachers without particularlydesiring it. Or the person may have chosen a fieldwithout sufficient knowledge of the work involved.It is also possible that after actually working ina job, the person did not like it or was not suitedfor it.

Here are some questions to help you obtaina more accurate picture of a member’s educationaland training background.

Why did the person choose this particularfield of study?

What progress was made? What gradeswere received?

Would the member choose this fieldtoday?

Did the person obtain, or attempt toobtain, employment related to this par-ticular study field?

If given the opportunity, would theperson choose a vocation that would makeuse of this study field?

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PERSONAL INTERESTS. –You should askquestions to find out the personal interests of themember. This could include questions aboutleisure time activities, sports in which the memberhas participated, the level of achievement in eachsport, any talents for public entertainment, andpositions of leadership held. The latter usuallyrefers to office or committee jobs in organizationsto which the person has belonged. These activities,being largely voluntary, sometimes present a truerpicture of the person’s interests than the educa-tion or work experience. In any case, they addto a complete picture of the person.

OCCUPATIONAL INFORMATION. –Youshould obtain a brief record of the person’sexperience on jobs held since entering the Navyand before entering the Navy, length of time held,interests in each job, and success in each job.Care must be exercised both in recording workexperience and interpreting it. With experience,as with education, you should not assume that anoccupation is suitable for a member merelybecause some background in it has been shown.The member’s interest and success in an occupa-tion must be considered before you decide whetherto assign similar work to the person.

GIVE THE PERSON HONEST ANSWERS. –Remember that it is your responsibility to guideand assist the person as much as possible. At timesyou may be tempted to evade or give indefiniteanswers because you expect the person to reactunfavorably to what you have to say. Keep inmind, however, that even though working out asolution to a member’s problems means a lot ofhard work, it is your job.

Look at the situation from the member’s pointof view. Few situations are more discouragingthan attempting to get information and receivingevasive answers or no help from the person whoshould be helping you. In other words, if you aresupposed to be a counselor, tackle the problemand try to do something to help. Tell the personwhen you do not know the answers, but try tohelp find them.

EMPHASIZE THE PERSON’S ABILITY. –You will be most effective as a counselor and aninterviewer if you take a positive approach,putting emphasis on the abilities of personnel andthe kinds of jobs in which they can best be putto use. The more you learn about the various typesof Navy duty, the greater respect you are likelyto acquire for all the various jobs. They differ

as to kinds of ability, but they all require aconsiderable amount of ability.

Do not close the door to training on themember because the cutting scores required fora school have not been achieved. If a member isgenuinely interested in a type of work, the memberwill probably be able to get on-the-job training.This process, which is quite likely to be availableto a member as a striker aboard ship, may bewithin the member’s capabilities even though themember could not keep up the speed required ina school.

CLOSING THE lNTERVIEW. –Before closingthe interview, you should summarize themember’s qualifications and inform the memberof his or her assignment. Show the member allthe advantages that can be gained from the assign-ment. It is part of your duty to help the membersee all the ways in which the assignment can beused in furthering long-range ambitions. Youshould make certain that the member understandsall the duties and responsibilities of the assign-ment and that the person has been given helpfulinformation. You should help the memberdevelop a positive attitude toward the new assign-ment; this will promote the person’s effectivenessin the immediate job and his or her own bestinterest in the future.

Some Final Thoughts for the Interviewer

As a brief review, here aredations to keep in mind forviewing:

— Get a mental pictureperson, not just one side.

some recommen-successful inter-

of the WHOLE

— Be alert for the possibility that the personmay be suffering from some physical or mentalillness. Navy people are generally fine physicalspecimens and well adjusted mentally, but yourjob may put you in contact with exceptional cases.These belong to the professional specialist—themedical officer.

— Be more concerned with the causes thanwit h surface symptoms. Do not assume that allmembers OUGHT TO BEHAVE in a certain way,and do not condemn the nonconformists. Try tofind out what makes a member behave in a certainway.

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— Keep the emphasis on the positive aspectsof the person’s abilities and character. Show thatyou appreciate the member’s good qualities andshow the person how to take advantage of thesequalities.

— In your efforts to be friendly and under-standing, do not give the impression that youare an easy mark or that friendly talk is all youhave to offer. Do what you can, definitely andpositively. Expect members to do their part.

— Remember that it is your duty to help theNavy make the best use of its personnel.

— Above all, remember that you are dealingwith HUMAN BEINGS. An interview that is justone event in a day’s work to you may be theturning point of a member’s life.

ASSIGNING

Assigning personnel is a staffing function asdiscussed in chapter 3. Your primary objective isto match the correct person to the job to receivemaximum efficiency and effectiveness. However,you will also need to account for using on-the-job training (OJT) to cross-train personnel.You will lose some efficiency in the short termthrough use of OJT, but the long term result ishigher divisional or work center efficiency andeffectiveness.

There are no firm rules for assigning personnel.Best results occur when personnel are happy intheir job. Try to match the personal interest ofthe subordinate to the job requirements whenpossible. At other times you will need to employa skillful use of influence to achieve the desiredoutcome.

EVALUATING

Evaluating personnel was discussed in thetopic on performance counseling. You should becounseling your personnel on a regular basis tolet them know how they are doing and where theyneed to improve. This section focuses on yourresponsibilities in preparing enlisted performanceevaluations.

Preparing EnlistedPerformance Evaluations

Enlisted performance evaluations will have along-term impact on the career of the person you

are evaluating. You should pay careful attentionto detail and treat each evaluation as if it weregoing in your service record.

Military standards indicate that the evaluationwriting process should begin at the petty officersecond class level. Delegate the initial preparationof evaluations to the petty officer second class orone level above the person being evaluated. Havethe next level in the chain of command review theevaluation.

You should use your counseling file to doublecheck the evaluation. Make sure the marks givenare realistic. Some discrete checking in yourcommand will reveal the appropriate markingrange for personnel. Do not be afraid to give 4.0marks if they are called for and can be justified.Your job is to give an objective evaluation basedon facts. Bullets for blocks 54,55, and 56 of theevaluation should come from your counseling file,the subordinate’s service record, and the divisionofficer’s record.

Providing evaluation comments for block 56is a problem for most people. Give a briefdescription of the person and his or her job. Thepurpose of block 56 is to amplify information inblocks 27 through 43, 54, and 55. Use bold,underline, and CAPITALIZATION to make keywords and phrases standout. Refer to The NavyEnlisted Performance Evaluation System, NAV-MILPERSCOMINST 1616.1A, and the EnlistedEvaluation Manual, BUPERSINST 1616.9, foradditional information.

Reviewing Enlisted Evaluations

The leading petty officer (LPO) should submitto you the rough evaluation and a copy of theenlisted evaluation report-individual input form(NAVPERS 1616/21), or “brag sheet” as it isknown. You should now prepare the evaluation.

Your role in the evaluation process is tocompile the inputs and assure completion,correctness, and consistency among your differentwork centers. Use service records, your notes,counseling files, and brag sheets to ensurecompletion and accuracy of the evaluations.

Observe how each work center tends to markthe evaluations. Some evaluations may tend to beskewed higher or lower than the normal standard.Make corrections as appropriate.

You should now make sure that writtenremarks on the evaluation are in the properformat and void of grammatical errors. When youare happy with the way the evaluations read, thenpass the rough evaluations to the division officer.

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Any changes that are made to the evaluation bythe chain of command above you should bediscussed with the division officer. As always, stayinformed!

COMMUNICATION

The chief petty officer is often called upon toprovide briefings, write messages, and preparenaval correspondence. You may at some point beasked to perform these functions also. Thissection should provide you with a knowledge basefrom which you can build your communicationskills.

THE MILITARY BRIEFING

An additional administrative duty you mayhave as a CPO is to prepare a briefing. Theprimary purpose of a briefing is to inform, butit also may have other purposes: first, to ensurethe listener’s understanding of a particularmission, operation, or concept; second, to enablethe listener to perform a specific procedure; andthird, to provide the listener with information onwhich to base decisions.

Often several people participate in a briefing.In a briefing for an operational plan, for instance,one group may cover the administrative, tactical,logistical, and operational phases; and anothergroup may explain the mission. To enable thelisteners to grasp all this information as aunit, each briefer must give only the essentialinformation in as few words and as few minutesas completeness and clarity will permit.

In preparing to brief others, you must analyzea mass of data, choose the really significant facts,and organize them carefully. Your explanationshould be simple, precise, and factual. Jokes andanecdotes rarely have a place in a briefing. Thelisteners are ready for a serious talk. They wantto hear the vital information on a specificsubject presented as clearly as possible. If you areable, however, you may occasionally use humorto help you make a point or clarify a problem.When you give a briefing, you are likely to facea captive audience. Analyze the rank andexperience of the people you are to brief, and tryto determine what your best approach will be. Youcannot always say what your listeners want tohear, but you can try to speak in the manner theywill most easily understand.

Another thing to consider, which is almost asimportant as the content, is the technical aspectsof the presentation itself. Your visual aids shouldbe as good as you can make them and, above all,they should be correct. Slides containing errorsin spelling, grammar, and computations distractyour audience and undermine your credibility.Speak clearly and distinctly to your audience. Ifyou do all these things and have your briefing wellorganized, you will be successful.

Organization of a Briefing

The special requirements of a briefing imposecertain limitations upon the speaker. Thetraditional plan of organization, with anintroduction, a body, and a conclusion, isadaptable to the clarity, accuracy, and brevitynecessary in a good briefing.

INTRODUCTION. —Since your listenersneed and want to know about your subject, youwill not need time-consuming, attention-gettingdevices. If another speaker introduces you andyour subject, you need only give a quick overviewof the subject and proceed immediately tothe main points. If you are not introduced, youmight simply say, “Good morning. I’m ChiefPetty Officer Jones; I’ll be briefing youon _____________ .”

BODY. —The information for the body ofyour briefing requires careful consideration fromthe standpoint of content as well as delivery. Ifpossible, present only the facts. Your facts shouldbe provable, and you should have the proof withyou in case your listeners ask for it. Because youmust be brief, you may have to omit many detailsfrom your talk. This can cause you to oversimplifya difficult subject. One way to avoid over-simplification is to prepare a folder of’ “documen-tation” for your listeners to refer to after youfinish the briefing. In your opening remarks, tellthem it is available. You gain in several ways fromletting your listeners know at the outset that theywill have access to complete information on yoursubject. First, your listeners are more apt toaccept the validity of your information becausethey know they can check your evidence. Second,they are less likely to ask needless questions orto interrupt for other reasons. And third, they willgo along with very simple visual aids because theyknow they can get more detailed information ifthey need it. Another way is to prepare “backup”slides that present detailed information on specific

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issues. If questions are asked, you will be readyand will increase the confidence your audience hasin you.

If certain facts are not available and you mustmake an assumption, identify the assumption, saythat it is necessary, and continue. If your listenerswish to challenge the assumption, they can do soduring the question-and-answer period, at whichtime you should be able to explain your rationale.Normally, you do not interpret the informationin your briefing. Present the facts and let yourlisteners draw the conclusions. Such phrases as“In my opinion, ” “I think,” and “I take this tomean” are generally signs that the briefer isgoing beyond the mere presentation of informa-tion and is interpreting the meaning of theinformation.

Emotional appeals have no place in a brief-ing. Your listeners will be justified in doubtingyour objectivity if your presentation is chargedwith emotion. This does not mean that yourdelivery should be dry and lifeless—rather, quitethe contrary. Because you must present pertinentinformation and nothing more, you should strivefor an animated and interesting delivery. Visualaids can help you show quickly and clearly manythings that you would have trouble putting intowords. One glance at a map would show yourlisteners more about air bases in CommunistChina than 15 minutes of words alone. Practicethe briefing with your visual aids until you canuse them smoothly. They should be an integralpart of your presentation. If you do not practiceyour briefing, such simple acts as uncovering orrecovering a chart can cause awkward breaks ina briefing.

CONCLUSION. —This part of a briefingshould be short but positive. Summarize yourmain points if you feel it is necessary. Since aquestion-and-answer period usually follows abriefing, a good concluding sentence might be“Ladies and gentlemen, are there any questions?”If a question period is not to follow, you mightsimply say, “Ladies and gentlemen, this concludesmy briefing. ”

Clear, logical organization of your materialwill help your listeners understand it. In organizingthe introduction, body, and conclusion of thebriefing, keep the purpose in mind. It can be togive your listeners an understanding of a certainmission, operation, or concept. Or it can be toenable them to perform a specific procedure. In

either case, organize your material to informas you would for a speech. On the other hand,if the purpose is to provide your listeners withinformation on which to base decisions, aproblem-solving plan to organization can be mosteffective.

When you prepare and deliver briefings,remember their basic function is to conveyinformation more rapidly and effectively thanwould be possible by any other means. It takespractice to become an excellent briefer. Experiencein other types of public speaking and in writingalso helps. As a member of the Navy, you needto be adept at stating your ideas accurately,briefly, and clearly.

Procedures for Presenting a Briefing

When you are giving a prepared briefing, yourbriefing needs to support four basic areas:

1. You should state the point clearly andconcisely at the beginning of your briefing so thatyour audience knows what they are listening toand what they can expect from the rest of yourbriefing.

2. You must amplify the point you are tryingto make or the area you are trying to cover.

3. You should support that point. You mustbring the audience enough information to informthem or to help them make a decision, whateverthe purpose of your presentation happens to be.

4. You must end your briefing appropriately.The conclusion should bring the briefing togetherin a concise manner, reviewing the topic butkeeping it short.

REVIEWING NAVAL MESSAGESAND CORRESPONDENCE

An ability to communicate in the written formwill serve you well throughout your naval career.As you progress more and more people expect youto be able to communicate clearly and concisely.This section of the chapter will discuss some ofthe basic procedures to review messages andcorrespondence prepared by your subordinates.

Basically you will be reviewing for content,spelling, and punctuation. If your command isequipped with personal computers, your job willbe much easier. Unclassified documents can bewritten and edited on the computer. You may useprograms such as WordPerfect or Wordstar towrite, edit, spell check, or substitute words usingthe thesaurus. Sentence structure can be checkedusing a program such as Rightwriter.

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If your message or correspondence isclassified, you should check the documentmanually. A good desk reference set is a must.As a minimum you should have:

A standard desk dictionary and thesaurus

Hedge’s Harbrace College Handbook orChicago Style Manual

Telecommunications Users Manual, NTP3(H)

U.S. Navy Plain Language Dictionary,NTP 3, SUPP-1(K)

Department of the Navy CorrespondenceManual, SECNAV Instruction 5216.5C

Naval Terms Dictionary

Ensure the message or correspondence is brief,simple, and clearly written. Elements of well-written messages or correspondence include thefollowing:

Introduction—state the purpose.

Body—discuss the subject.

Closing—present your conclusions orrecommendations.

Appendix or enclosures—include pertinentdetails (not always required).

Begin your review by making sure the docu-ment is in the correct format. Read the documentfor content. If you have questions about theaccuracy of the information, ask the petty officerwho wrote the document to clarify your questions.Check the document for mechanical defects. Youdo this by making sure each sentence starts witha capital letter, each sentence ends with theappropriate punctuation, and the appropriatewords begin with capital letters. Make surespelling is correct and redundant words orsentences are deleted.

SHIP’S ORGANIZATION ANDREGULATIONS MANUAL (SORM)

Your command’s Standard Organization andRegulations Manual (SORM) is a command-specific version of the Standard Organization and

Regulations of the U.S. Navy (SORN). TheSORM should be arranged in the same manneras the SORN and contain detailed bills as theyapply to your command. This section covers yourresponsibility to keep the SORM current andup-to-date.

PURPOSE

The purpose for updating the SORM is tomake sure you are operating your work center ordivision using the most up-to-date informationand procedures available. The SORM should beupdated at least annually to remain current.Reasons for the annual update include thefollowing:

Instructions have been issued, deleted,changed, or revised

Equipment has been added, deleted, orchanged

REVIEWING THE SORM

You should review the SORM every time anevent occurs that effects the normal operation ofyour work center or division. Review the sectionof the SORM relevant to the event to see if achange in the SORM is warranted. You are in thebest position to determine if and how muchchanges in instructions or equipment affect theSORM. Do not rely on the commanding officer,executive officer, department head, or divisionofficer to notice if the SORM needs to be updated.They do not have the time or the detailedknowledge that you do.

PREPARING AND SUBMITTINGCHANGES TO THE SORM

You have been doing your job and have nothad an event that changes the normal operationof your work center during the last year. Do youneed to review the SORM? Of course you do!

Review the areas of the SORM that affect yourwork center or division. Compare the listedreferences in each section to the latest copy of thecommand’s master directives and issuance list.Your administrative office should have a 5215master list that contains all instructions applicableto your ship.

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Out-of-date references indicate a need toupdate the effected ship’s bill or regulation.Read and compare the old ship’s bill orregulation to the updated references and notethe changes. Changes to equipment that affectship’s bills also need to be incorporated into theSORM.

Incorporate the changes into the ship’s bill orregulation and update the references listed. Youshould now send the rough update and newreferences through the chain of command forapproval.

SUMMARY

This chapter began with a look at the budgetprocess, preparation of the divisional budget, andtypes of budgeting. The budget process beginswith the President and continues down the chainof command. Although the commanding officeris responsible for the ship’s budget, you shouldplay a major role in determining your division’srequirements and submitting the requirements upthe chain of command.

At the CPO level of management, you willfind a need for a better understanding of thesupply organization and its procedures. You maybe assigned as a member of an ILO team or asa department custodian. In these positions, youmust understand budget and quantity require-ments, ordering procedures, stowage requirements,and custody records. You will also assist in theassignment of priorities used by your command.You will have to become familiar with the infor-mation contained in the OPTAR, COSAL, SNSL,ISL, CEIL, and casualty reports (CASREPs).Other procedures you will become familiar withmay include inventory, investigation, and thesurvey of equipment. Your duties may includeeverything from initial budget requests to equip-ment handling or the final disposal of materialsrequired to keep your ship at its top missioncapability.

With the ever-increasing use of automatic dataprocessing (ADP), the Navy has adapted manyof its tedious and time-consuming tasks toautomation. The two main systems you will mostlikely encounter are the Shipboard NontacticalADP Program (SNAP I) and the Shipboard Non-tactical ADP Program (SNAP II).

Counseling personnel is one of the mostimportant jobs of the chief petty officer. You willcounsel subordinate personnel on profession,personal, and performance matters. In addition,you will also provide guidance and review enlistedevaluations. You will also counsel your subor-dinates on their enlisted evaluations.

The ability to draft different types of officialletters, messages, and reports is one of themany tasks demanded of a CPO. Each type ofcorrespondence has its own set of standards.These standards are necessary in preparingcorrespondence that includes all of the informa-tion necessary to make it complete and under-standable. These standards also assist thewriter, as well as the reader, in ensuring thatcorrespondence gets where it is intended to go.The standards also help the writer in preparinginformation that will be clearly understood.Proper format, identification, routing, and filingare all necessary elements of this system.

You should review your command StandardOrganization and Regulations Manual (SORM)on a periodic basis to make sure it is currentas it applies to your division.event occurs that affects theyour division; an instructionequipment is added, removed,you should check the SORMis still current.

Anytime anoperation ofchanges; oror changed,to ensure it

REFERENCES

Afloat Supply Procedures, NAVSUP Pub. 485,Naval Supply Systems Command, Washington,D.C., 1990.

Communication Skills, Course 12, Vol. 4,00012048112, Extension Course Institute, AirTraining Command, Gunter Air Force Station,Montgomery, Ala., n.d.

Department of the Navy Correspondence Manual,SECNAVINST 5216.5C, Office of theSecretary of the Navy, Washington, D.C.,1983.

Financial Management of Resources, Fund Admin-istration, NAVSO P-3013-1, Department ofthe Navy, Office of the Comptroller, Wash-ington, D.C., 1977.

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Financial Management of Resources, OperatingProcedures, NAVSO P-3013-2, Department ofthe Navy, Office of the Comptroller, Wash-ington, D.C., 1983.

The Navy Enlisted Performance EvaluationSystem, NAVMILPERSCOMINST 1616.1A,Naval Military Personnel Command, Wash-ington, D.C., 1984.

Ships’ Maintenance and Material Management(3-M) Manual, OPNAVINST 4790.4B, Officeof the Chief of Naval Operations, Wash-ington, D.C., 1987.

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

Telecommunications Users Manual, NTP3(H),Naval Telecommunications Command, Wash-ington, D.C., 1990.

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

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CHAPTER 5

CAREER INFORMATION AND TRAINING

LEARNING OBJECTIVES

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

1. Recognize career information to be provided 3. Identify the Navy retirement programs.to junior personnel.

4. Explain how to plan and conduct training.2. Identify the roles and functions of chief petty

officers.

Chief, senior chief, and master chief pettyofficers each have a distinct role and functionwithin the Navy. You should be aware of theresponsibilities associated with these positions asyou advance. One of your responsibilities is to beable to provide junior personnel with careerinformation.

The first part of this chapter presents informa-tion you and your junior personnel need to knowas you develop your naval career. It explains thetraditional benefits, entitlements, education, com-missioning programs, and health care available.

Since you will retire at some point in yourcareer, you also need to know about your retire-ment benefits. You may decide to retire withonly 20 years of service or wait to retire with30 years of service. In either case you need toknow what retirement benefits you will have sothat you can plan for retirement. This textprovides a brief overview of the retirementprogram. Since junior personnel also need to planfor retirement, you should be able to present themwith this information.

The last part of this chapter covers trainingprograms. It explains how you can plan and directpersonnel training within your division or workcenter. It also discusses your responsibility intraining junior officers to conduct Navy business.

CAREER INFORMATION

An important job of a chief petty officer isto provide junior personnel with accurate infor-mation about the advantages and the developmentof a Navy career. Before you can provide juniorpersonnel with accurate career information, youneed to interview them about their background,their interests, and their qualifications. Based onthat information, you can counsel personnelabout the various career development programsand training available to help them advance. Youcan also counsel with them about the many dutyassignments, benefits, and entitlements the Navyoffers. Plan to conduct the first career counselingsession about 2 years into their career.

THE INTERVIEW

The purpose of an interview with your juniorpersonnel is to inform them about the Navy andthe benefits they are entitled to. You mayconduct informal and formal interviews.

The informal interview often takes place onthe deck or in a lounge when counselees ask youquestions about specific programs. This type ofinterview is difficult because you may not knowif they qualify for certain programs. When youconduct informal interviews, follow the policy ofgiving a general overview of programs and gettingback to the counselees with specific details. When

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you research the specific details of the programsthe people ask about, check to see if they qualifyfor those programs.

Conduct the formal interview in a quietsetting, such as a private office. Before youinterview people, review their service record,prepare background information, and identifyprograms for which they qualify. At the start ofan interview, describe why you are conducting theinterview. Then follow the same procedure youwould use in conducting a counseling session, asdescribed in chapter 4. Ask questions and thenrephrase the answers to ensure you understandwhat was said. Let personnel describe theirinterests and goals. Then be sure you discuss pro-jected rotation dates (PRDs).

Status and Goals

Determine the status and goals of yourpersonnel during the interview. What types ofprograms is the counselee qualified for? How faralong has the person progressed toward a collegedegree or advancement? Has the individualqualified for special schooling?

Ask counselees to state their career goals. Ifcounselees have set goals they cannot easily reachor for which they do not qualify, help themmodify those goals. If a person’s goal is acollege degree, find out how much credit theindividual can receive for Navy schools. See if thecounselee could receive an associate degree bytaking one or two Program for Afloat CollegeEducation (PACE) courses? If a person wishesto attend a certain A or C school, determine ifthe person will need to extend his or her enlist-ment.

Sea and Shore PRDs

Inform counselees of the sea and shorerotation of their specific rating. The sea and shorerotation changes periodically, but persons may notbe aware of the change. Also, when personnelapply for certain programs, such as the SelectiveTraining and Reenlistment (STAR) Program orSelective Conversion and Reenlistment (SCORE)Program, the sea or shore rotation could change.Let counselees know when they are due to rotateto a new command. Projected rotation dates(PRDs) can be changed to match school quotas.

SELECTIVE TRAINING ANDREENLISTMENT PROGRAM

The Selective Training and Reenlistment(STAR) Program offers career designation tofirst-term members who reenlist and establishcareer eligibility for the following incentives:

Guaranteed assignment to a class A or Cschool or C school package

Guaranteed advancement to petty officersecond class if eligible after completion ofC school or the C school package listed onthe current career school listing

Guaranteed advancement to petty officerthird class after completion of Phase I ofAdvanced Electronics Field A school

Selective reenlistment bonus (SRB) ifeligible

SELECTIVE CONVERSION ANDREENLISTMENT PROGRAM

The Selective Conversion and Reenlistment(SCORE) Program offers the following careerincentives to members who reenlist for conversionto critically undermanned ratings:

Guaranteed assignment to A school withautomatic rating conversion upon gradu-ation

Guaranteed assignment to an appropriateC school or C school package if available

Automatic advancement to petty officersecond class upon completion of C schoolor the C school package as indicated onthe current career schools listing in theNaval Military Personnel Manual(NAVPERS 15560A)

SRB if eligible

TRADITIONAL BENEFITS

Traditional benefits are for all persons in theNavy, regardless of rank or rate. These benefitsinclude leave, recreation, family services, Navylodging, and low-cost life insurance.

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Leave

Each person in the naval service earns 30 daysof paid leave each year in addition to holidays.A person would have to work many years to earna benefit of that size in the civilian sector.

Recreation

Many naval stations, bases, and airfields haveoutstanding recreational facilities armed forcespersonnel and their families can use at no cost orat a nominal cost. The quality of facilities varieswith each site; however, most facilities rival thosefound in the civilian sector. Additionally, manycommands allow service members to take part inintramural sports during working hours.

Family Services

Family Service Centers (FSCs) provideservices, information, and referral on a full rangeof family-related resources, organizations, andprograms. The many internal and external familyservice programs FSCs offer include the following:

American Red Cross

Navy Sponsor Program

Chamber of Commerce

United Services Organizations (USO)

Navy League

Volunteer programs

Navy Relief Society

Wives clubs

Family Ombudsman programs

Family information schools

Public Affairs Office

Personal and family enrichment programs

Financial counseling and education

Child care information and services

Relocation information and services

Emergency services and assistance

Special needs family information

Retired personnel information

Welcome aboard packages

Hospitality kits

Wifeline publications

Sponsor Program guidance and assistance

Navy Lodge

Navy lodges provide temporary, inexpensivehousing for military personnel and their familiesfor up to 30 days during permanent change ofstation transfers. Under hardship conditions thelocal commander may authorize an extension ona case-by-case basis. Lodging for militarypersonnel and their families, relatives, and guestsis provided for short visits. Retired militarypersonnel and their families may stay at the Navylodge on a space-available basis. Transientmilitary personnel on temporary duty orders mayuse the Navy lodge if the bachelor facilities arefull. The toll free telephone number for the NavyLodge is 1-800-Navy-Inn (1-800-628-9466).

Low-Cost Life Insurance

An overlooked benefit of being in the Navyis low-cost life insurance. Many servicemen’sbenefit organizations offer excellent low-cost lifeinsurance. You should comparison shop to receivethe best overall value. The Navy officiallyrecognizes and endorses only two sources of low-cost life insurance for active-duty personnel:Serviceman’s Group Life Insurance (SGLI) andthe Navy Mutual Aid Society.

SERVICEMAN’S GROUP LIFE INSURANCE(SGLI). —SGLI is available to personnel servingon active duty, serving on active duty for training,or performing inactive duty for training. Coverageis available while personnel are on active duty andup to 120 days after separation. The cost is $.40a month per $5,000 of coverage to a maximumof $100,000. Personnel automatically receivemaximum coverage upon entering the service.

NAVY MUTUAL AID SOCIETY. —TheNavy Mutual Aid Society is the only organization

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Table 5-l.-Cost of Term Insurance Offered by the Navy Mutual Aid Society

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offering supplemental insurance formallyrecognized and endorsed by the Navy. Formed inJuly 1879, the society is a nonprofit, tax exempt,voluntary membership association of sea servicepersonnel and their families. The Chief of NavalOperations (CNO) traditionally serves as theChairman of the Board of Directors.

The purpose of the Navy Mutual Aid Societyis to provide members, their dependents, or theirbeneficiaries aid through low-cost life insurance.It also helps dependents and beneficiaries secure,at no cost, the federal benefits to which they areentitled.

While on active duty, you carry level terminsurance (basic coverage only); after separation,it changes to decreasing term. Cost varies forsmokers and nonsmokers and includes a yearlyrefund (see table 5-1 ). The toll free number forthe Navy Mutual Aid Society is 1-800-628-6011.

ENTITLEMENTS

Naval personnel are guaranteed certainbenefits not always offered by the civiliancommunity: shipment of household effects, travel,survivor benefits, and retirement.

Household Effects

The Navy will pay for the movement of house-hold effects in connection with a permanentchange of station move. You may also elect tomove your household effects yourself and bereimbursed by the government. Weight allowancesvary with paygrade. Under certain conditions youmay be authorized to place excess householdgoods in storage at government expense.

Personnel authorized travel for dependentsand those persons who own a house trailer maybe authorized a trailer allowance. Generally,payment is limited to the cost of moving the trailerand cannot exceed the cost to move the member’sauthorized household goods weight allowance.

Dependents are allowed transportation atgovernment expense whenever you make apermanent change of station move.

You may be entitled to a dislocation allowanceto partially reimburse you for expenses incurredduring a permanent change of station move.Dislocation allowance is equal to 1 month’s basicallowance for quarters (BAQ) for your dependencystatus and paygrade.

Because the amount of money allowed with apermanent change of station move varies, checkwith your disbursing officer to ensure you receivethe full amount.

You and your family can take advantage oflow-cost air transportation provided by space-available (Space-A) flights on military aircraft.Since some restrictions apply to Space-A travel,you should obtain a Space-A pamphlet from theAir Force or nearest military terminal if you areinterested.

Survivor Benefits

Your dependents are entitled to certainbenefits if you die on active duty. These benefitsinclude a death gratuity, servicemen’s grouplife insurance, dependency and indemnity com-pensation (DIC), and social security. Your spousewould receive a one-time payment of $3,000 deathgratuity, $255 social security, and $100,000 service-men’s group life insurance. Your spouse wouldthen receive monthly payments from SocialSecurity and dependency and indemnity compen-sation. The amount of the monthly paymentsdepends on the number and age of your children,your paygrade, and your base pay. Your localFamily Service Center or professional organiza-tion can compute the monthly payments yourspouse would receive.

RetirementTravel

During a permanent change of station move,you are eligible for monetary allowance in lieu oftransportation (MALT) plus per diem. Per diemis an amount of money used to reimburse you forlodging, meals, and other incidental expensesincurred during travel under orders. You receiveMALT in the form of cash payments when thegovernment does not provide transportation.

Everyone on active duty who meets the high-year tenure requirements has the opportunity toretire after 20 years of active federal service. Allpersonnel on active duty who meet the high-yeartenure requirements must retire after 30 years ofactive federal service unless they have a waiver.Retirement will be discussed in greater detail laterin this chapter under “Fleet Reserve andRetirement.”

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SELECTIVE REENLISTMENTBONUS (SRB)

Selective reenlistment bonuses are paid toservice members as an incentive to stay in theNavy. The amount paid depends on how criticallymanned the rating is. Service members eligible forSRB will fall into one of three separate zones.

Zone A is for people who have completed 21months of continuous active naval service, but notmore than 6 years of continuous active navalservice.

Zone B is for people who have completed 6but not more than 10 years of active militaryservice immediately preceding the date of reenlist-ment.

Zone C is for people who have completed 10but not more than 14 years of active militaryservice on the date of reenlistment.

Check with your career counselor to determinewhat zone, if any, you are eligible for. Theamount of money paid varies periodically with theneeds of the Navy. Your career counselor anddisbursing clerk can help you determine theamount of money you are eligible to receive.

NAVY SCHOOLING

Most people associate Navy schools with A orC schools. You can receive many schools of shortduration through use of the Navy Fleet TrainingCenters (FTCs), Mobile Technical Units (MOTUs),and Shore Intermediate Maintenance Activities(SIMAs). The schools range from 1 day to 2 weeksin duration. You can arrange for classes throughthe quota control office at the school. You needonly receive permission from your command toattend.

You can arrange to attend class A and Cschools through your detailer as a condition ofyour reenlistment.

ADVANCEMENT

Advancement is based on the needs of theNavy, your advancement examination score, theawards you have received, and your length ofservice. E-7 and E-8 advancements are based onsustained superior performance as evaluated bya selection board.

EDUCATION

Education is becoming more important to theNavy and American society in general as job

complexity increases. The Navy offers a widevariety of programs designed to assist you inpursuing off-duty education.

Tuition Assistance

The Tuition Assistance (TA) Program providesin-service financial assistance to all personnelwishing to take part in voluntary off-dutyeducation. It does not affect VA educationalentitlements. Commissioned and chief warrantofficers who complete a TA-funded course incura 2-year obligation following completion of thecourse. TA is the major financial support systemby which active-duty personnel can continue theireducation during off-duty hours.

Approved institutions include regionallyaccredited colleges and universities, trade andtechnical schools accredited by the NationalAssociation of Trade and Technical Schools(NATTS), schools accredited by the Associationof Independent Colleges and Schools (AICS),and regionally accredited secondary and postsecondary schools. Accredited Institutions of PostSecondary Education, published annually by theAmerican Council on Education, contains acomplete listing of eligible tuition assistanceinstitutions.

The TA Program provides the followingfunding:

1. Seventy-five percent of tuition costs for allactive-duty personnel regardless of rank,paygrade, or length of service

2. One hundred percent of tuition costs forcourses leading to a high school diploma

3. Expenses for instructional fees, such as lab,shop, and studio fees, and consumablematerials required for completion of acourse, provided these costs are customaryfor like courses on the main campus (Theprogram will not pay for books or otheradministrative fees levied by theinstitution.)

When TA funds are constrained, the Chief ofNaval Operations may impose policy changes onthe level of funding and the priorities forauthorizing TA.

Program for Afloat CollegeEducation (PACE)

The Navy organized a program of studies forthe crews of Polaris submarines to provide a

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productive off-duty, off-watch activity. Theoriginal program, known as the Program forAfloat College Education, or PACE, was expandedin the 1970s to include surface ships. ThroughPACE, the Navy contracts with civilian collegesto provide instructors to teach college coursesaboard deployed ships. PACE is designed toprovide shipboard personnel with educationalopportunities comparable to those available topersonnel stationed ashore. Whether or not aparticular ship offers PACE courses is up to thecommanding officer.

National Apprenticeship Program

The National Apprenticeship Program isdesigned to provide a way for skilled Navytechnicians to gain journeyman status with theDepartment of Labor in a recognized civiliantrade. The apprenticeship program has twoobjectives. The first objective is to develop Navy-oriented journeymen to use their technical skillswithin the Navy. The second is to enable thosejourneymen to qualify for civilian employmentupon retirement or expiration of enlistment.Meeting the standards of the apprenticeshipprogram can also lead to an advancement inrating. The National Apprenticeship Programbenefits the Navy and its personnel in thefollowing ways:

Provides the opportunity for Navy person-nel to qualify as journeymen in selectedtrades

Supports advancement in rating

Instills job pride

Provides civilian recognition of Navy skills

Encourages reenlistment

The Chief of Naval Education and Trainingidentifies the trades to be considered as apprenticeoccupations within the active-duty Navy.Although the Navy ratings eligible for thisprogram are limited, additional ratings are beingadded. For further information about theNational Apprenticeship Program, see the Educa-tional Services Officer, NAVEDTRA 10460-A.

Defense Activity for Non-TraditionalEducation Support (DANTES)

The Defense Activity for Non-TraditionalEducation Support (DANTES) is a Department

of Defense (DOD) agency that supports thevoluntary education programs of each militaryservice, including Reserve personnel. DANTESwas authorized by the Department of Defenseafter the disestablishment of the old United StatesArmed Forces Institute (USAFI). DANTES islocated at the Naval Education and Training Pro-gram Management Support Activity, Pensacola,Florida. The Department of the Navy isdesignated as the executive agent for DANTES.DANTES services include, but are not limited to,the following:

Providing a wide range of examination andcertification programs

Operating an independent study supportsystem

Providing for the evaluation of militarylearning experiences

Providing educational and informationalmaterials

Providing support for new educationaldevelopment activities

Through DANTES, service members have thesame nontraditional educational advantages astheir civilian counterparts. To accomplish itsmission, DANTES has negotiated contracts toadminister the following services:

General and subject examinations forthe College Level Examination Program(CLEP), which allow the member toreceive college credit without taking thecourse

Academic and technical college DANTESSubject Standardized Tests (DSSTs)

College entrance examinations includingScholastic Aptitude Tests (SAT) and theAmerican Council on Education (ACE)guide series

General Educational Development (GED)tests (high school equivalency)

Independent study courses for credit

Experiential Learning Assessment (ELA)Program (used by many colleges anduniversities to evaluate college-equivalentprior learning attained by students outsidethe classroom)

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Servicemembers OpportunityCollege (SOC)

The Servicemembers Opportunity College(SOC) consists of a national group of more than450 colleges. These colleges have agreed tocooperate with the Department of Defense(DOD), the military services, and the Coast Guardto support voluntary education programs. SOCmembers include universities, 4-year and 2-yearcolleges, and technical institutes. SOC memberssubscribe to specific principles and criteria toensure that high-quality academic programs areavailable to military students.

Navy Associate DegreeProgram (SOCNAV)

The Navy Associate Degree Program (SOCNAV)is the associate degree program for the Navycoordinated by SOC. It consists of groups ofaccredited colleges offering associate degreeprograms on or accessible to Navy installationsworldwide. The associate degree programs areoffered in fields of study relating to the members’ratings. A plan for a 4-year baccalaureate degreeprogram, similar to the associate degree program,is being considered. Within each of the curriculumareas, the member colleges guarantee to accepteach others’ credits for transfer, An officialevaluation of all prior learning is issued by the“parent” college as a SOCNAV Student Agree-ment. This agreement serves as the student’sacademic plan and contract for the degree.

Presently, SOCNAV includes 41 collegessupporting 10 networks (each consisting ofseparate curriculum areas) at over 100 Navyinstallations. All SOCNAV networks relate tomilitary occupations.

Montgomery GI Bill (MGIB) Act of 1984

Beginning on 1 July 1985, nonprior servicemembers entering active duty began receivingeducational benefits under the Montgomery GIBill (MGIB). Service members eligible for theVietnam Era GI Bill also became eligible to receivebenefits under the MGIB as of 1 January 1990.Service members who entered active duty after31 December 1976 and are eligible for theVeterans’ Educational Assistance Program(VEAP) are not eligible. Beginning 1 July 1985Selected Reserve and National Guard personnelalso became eligible for certain MGIB benefits.

The MGIB provides for basic financialassistance in the amount of $300 per month for36 months. Members may use their educationalbenefits while in service after 2 years of activeduty. Members must use all benefits within 10years after the date of their last discharge orrelease from active duty.

Those who began active duty after 30 June1985 automatically incur a monthly pay reductionof $100 per month for 12 months unless they electnot to take part in this program. Service membersmust make this one-time, irrevocable decisionwhen they begin active duty. Officer candidatesmake this decision at the time of their com-missioning. Vietnam Era GI Bill personnel are notrequired to contribute to the program to remaineligible.

Service members who do not meet the criteriato convert benefits retain Vietnam Era GI Billbenefits, which they must use by 31 December1989.

Those persons who were on active duty on1 July 1988 retain Vietnam Era benefits and arecovered by the new GI Bill.

On 1 January 1990 eligible members wereautomatically covered by the MGIB at a rate of$300 per month plus one-half of their VietnamEra GI Bill entitlement rate that was effective31 December 1989. This payment may not exceed36 months or the number of months of remainingVietnam Era entitlement, whichever is less. Thetotal entitlement used under both bills cannotexceed 48 months.

DUTY ASSIGNMENTS

You have the opportunity to work with yourdetailer to receive a favorable set of orders. Underthe Guaranteed Assignment Retention Detailing(Guard) III program, you may be able to receivetwo guaranteed duty assignments. You must usethe first Guard III assignment during your firstreenlistment. You can use the second Guard IIIassignment anytime up to your 25th year ofservice.

COMMISSIONING PROGRAMS

The Navy offers many ways for young enlistedpersonnel to join the officer ranks. Young sailorscan apply for the Naval Academy or theBroadened Opportunity for Officer Selection andTraining (BOOST) Program or seek a collegedegree and apply for a direct commission. Seniorenlisted personnel can apply for the Chief

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Warrant Officer Program, Limited Duty OfficerProgram, or other commissioning programs ifeligible.

United States Naval Academy (USNA)

The Navy’s own undergraduate professionalcollege, the United States Naval Academy (USNA)in Annapolis, Maryland, is the academic trainingground for future naval officers. The Academyprepares young men and women, morally,mentally, and physically to be professionalofficers in the Navy or Marine Corps. Thefollowing features are characteristic of theAcademy:

It is the Navy’s own undergraduate pro-fessional college.

Candidates are nominated from severalsources.

It offers 4 years of college leading to acommission in the Navy or Marine Corps.

The Academy is one of those exceptionaleducation programs available to enlisted men andwomen in the Navy. Keen chief petty officers andgood command personnel are required to identifyyoung enlisted men and women who are potentialcandidates for this program. Even if an applicantis not selected for direct entry into the NavalAcademy, each candidate is automaticallyconsidered for entrance into the Academy’spreparatory school.

High school students and active-duty militarypersonnel may be nominated to the Academy bythe President or Vice President of the UnitedStates; a senator; a congressional representative;or by civil officials of Puerto Rico, the VirginIslands, Guam, or American Samoa. High schoolstudents should begin the application process intheir junior year. Applicants must meet thefollowing basic eligibility requirements:

Be a citizen of the United States

Have good moral character

Be unmarried and have no dependents

Be at least 17 years of age and not havereached the 22nd birthday on 1 July of theyear of admission to the Naval Academy

Qualify scholastically, physically, andmedically

The Chief Warrant Officer(CWO) Program

The Chief Warrant Officer Program providesoutstanding active-duty Regular Navy or NavalReserve personnel a direct path of advancementto chief warrant officer.

To be eligible for appointment, an applicantmust meet the following requirements:

Be a U.S. citizen

Be serving on active duty as a CPO, anSCPO, or an MCPO in the Regular Navy,Naval Reserve, or Training and Admin-istration of Reserves (TAR) program at thetime of application

Be physically qualified for appointment asa chief warrant officer

Be a high school graduate or possess theservice-accepted equivalent

Have no record of conviction by court-martial or of conviction by civil court forany offenses other than minor traffic viola-tions for 4 years preceding 1 October ofthe year of application

Be recommended by the commandingofficer

Must have completed at least 12 years, butnot more than 24 years, of active serviceon 1 October of the year application ismade

The Limited Duty Officer (LDO) Program

The Limited Duty Officer (LDO) Programprovides a path of advancement for PO1s throughSCPOs and chief warrant officers to commissioningas a temporary ensign or lieutenant junior grade(as applicable) in the Regular Navy or NavalReserve.

The applicant must meet the followingeligibility requirements to apply for the LDOProgram:

Be a U.S. citizen

Be serving on active duty in the RegularNavy, Naval Reserve, or TAR program atthe time of application (If selected, inactiveReserve personnel must remain on activeduty until appointment is tendered.)

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Be physically qualified for appointment toLDO

Be a high school graduate or possess theservice-accepted equivalent

Have no record of conviction by court-martial or of conviction by civil court forany offense other than minor trafficviolations for 4 years preceding 1 Octoberof the year in which application is made

Be recommended by the commandingofficer

Be serving as a PO1, CPO, or SCPO on1 October of the year in which applicationis made (If a PO1, the applicant must haveserved in that capacity for at least 1 yearas of 1 October of the year in whichapplication is made.)

Have completed at least 8 years, but notmore than 16 years, of active naval serviceon 1 October of the year in which applica-tion is made

(PO1 applicants only) Have completed allrequirements for advancement to CPO,with the exception of time in paygrade, andsuccessfully competed in the annual Navy-wide advancement examination cycleadministered in January of the year ofapplication (A candidate whose finalmultiple is equal to, or greater than,the minimum final multiple for PASSSELECTION BOARD ELIGIBLE will bedesignated LDO SELECTION BOARDELIGIBLE. A PO1 who is presentlyauthorized advancement to CPO is exemptfrom the CPO Navywide examinationqualification.)

CPOs and SCPOs with at least 12 years, butnot more than 16 years, of naval service may applyfor LDO and CWO in the same application year,but may request only one designator for eachprogram.

The following policies apply to the LDO andCWO Programs:

No age stipulation is required forLDO/CWO candidates.

The number of times an LDO/CWOcandidate may apply from the sameenlisted paygrade is unrestricted.

E-6s, E-7s, and E-8s with 8 to 16 years ofservice are eligible for LDO Ensign.

E-7s and E-8s with 12 to 24 years ofservice are eligible for CW02.

E-9s with 2 years in grade and not morethan 24 years of service are eligible forCWO3.

The time-in-rate date is used to computeminimum and maximum eligibility.

Candidates for CW02 and CW03 competeon an equal basis.

After 2 years as a CWO, a person maycompete for selection to LDO at paygradeO-2.

Prior military service that parallels currentservice can count toward minimum eligi-bility requirements.

Broadened Opportunity for OfficerSelection and Training (BOOST)

The BOOST Program provides qualified andselected candidates a special opportunity. Itoffers them the educational “boost” they needto obtain a scholarship to the Naval ReserveOfficer Training Corps (NROTC) or entry intothe Naval Academy. It is designed to accomplishthe following goals:

Provide an opportunity for educationallyor financially disadvantaged enlisted per-sonnel to apply for either an NROTCscholarship or entry into the NavalAcademy

Provide college preparatory instruction

Some ambitious young men and women, arenot adequately prepared to compete on an equal

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basis with other students applying for NROTCscholarships or admission to the Naval Academy.The BOOST Program gives these young peopleevery opportunity to succeed. This program is amajor part of the Navy’s affirmative action plan.Interested minority personnel are stronglyencouraged to apply.

The BOOST Program provides successfulstudents with a 4-year undergraduate educa-tion. It opens a direct pathway for enlistedpersonnel to attain professional status asNavy officers after graduation from college.The program helps these people acquire thescholastic skills and academic credentials thatplace the BOOST graduates on a par withtheir college-bound peers. Before helping per-sonnel apply for the BOOST Program, youshould ensure applicants are genuinely inter-ested in pursuing a Navy career. Those per-sons selected are expected to enter collegewell prepared to meet the academic challengesand demands of a commissioning educationprogram.

BOOST training is conducted at ServiceSchool Command, NTC, San Diego, California.The curriculum concentrates on mathematics;physical and social sciences; and the communica-tion skills of reading, writing, listening, andspeaking. Educational and personal counseling,development of study skills, and time manage-ment are also included in the program. The lengthof BOOST school instruction is normally12 months, The basic eligibility y requirements areas follows:

Have U.S. citizenship

Be at least 17 years of age (Maximum agerequirements for BOOST students arecontingent upon eligibility for at least oneof the related officer procurementprograms.)

Be serving on active duty in the Navy orNaval Reserve and have 36 months ofobligated service as of 1 June of the yearin which BOOST training commences (Ifselected for NROTC or nominated forappointment to the Naval Academy, themember must agree to incur 4 years ofobligated service on completion ofBOOST.)

Meet physical standards as prescribed inthe Manual of the Medical Department,U.S. Navy

Have no record of conviction by court-martial or by civil court for other thanminor traffic violations

Have no record of violations of article 15of the Uniform Code of Military Justice(UCMJ) for 2 years preceding entry intoBOOST school

Be a high school graduate or possess aGED equivalency certificate (Selectedapplicants not meeting this requirementwill satisfy the requirement during BOOSTschool based upon their military educa-tional experience and GED test results.)

Have achieved minimum test scores on theScholastic Aptitude Test (SAT) or theAmerican College Test (ACT) within 12months preceding application deadlinedate (Article 1020360 of the Naval MilitaryPersonnel Manual (MILPERSMAN) con-tains minimum test scores.)

Be recommended by the commandingofficer

The MILPERSMAN contains additional in-formation on the BOOST Program. OPNAVNotice 1500 announces eligibility requirementsand application procedures yearly, normallyaround June or July.

Direct Commission

Enlisted personnel who have a baccalaureateor higher degree from an accredited institutionare eligible to apply for a direct commissionthrough the U.S. Naval Reserve Officer Program.Generally the age limit is 30 years; however, someprograms allow a maximum age of 36. Refer toOPNAVINST 1120.2A and MILPERSMAN,article 1020100, for more details; or contact anofficer recruiter.

DEPENDENT CARE POLICY

Dependents of active-duty, retired, or deceasedmilitary personnel are eligible for care under theUniformed Services Health Benefits Program

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Table 5-2.-Eligibility for USHBP

(USHBP) (table 5-2). Dependents can receivehealth care at military facilities on a space-available basis or can obtain care through theCivilian Health and Medical Program of theUniformed Services (CHAMPUS).

CHAMPUS

Through CHAMPUS the government sharesthe cost of medical care from civilian hospitalsand doctors. Although CHAMPUS is an excellenthealth care plan, you need to know the followinglimitations on its coverage:

Pays 80 percent of the allowable cost.

Requires a deductible of $150 per personor $300 per family each year (1 Oct. to 30Sep.).

Pays for prescriptions filled by civilianpharmacies when the medication is notcarried at a military hospital.

Imposes a catastrophic cap of $1,000 foractive-duty personnel and $10,000 per yearfor retired personnel.

Pays for outpatient care in civilianhospitals; pays for in-patient care only if

a nonavailability statement is obtainedfrom a military hospital before the patientis admitted.

The CHAMPUS Handbook, available fromyour local military hospital, fully explains CHAM-PUS benefits. Consult your local CHAMPUSrepresentative if you have questions.

FINANCIAL COUNSELING

Your local command financial counselor,Family Service Center, and credit union providefinancial counseling. Additionally, many militaryprofessional organizations provide financialcounseling to members at no charge.

Financial counseling is one of your benefits.Use it if you need it or if you would just like tofind a better way of handling your finances. Neverprovide financial counseling to your subordinates,even if they request it. Refer them to one of theorganizations just mentioned.

ROLES DURING CAREERPROGRESSION

Your role and function as a chief petty officerwill progress through three distinct phases

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••

•

•

•

during your career. The three phases are chief,senior chief, and master chief petty officer. Thissection will examine the roles and functions ofchief petty officers, senior chief petty officers,master chief petty officers, and command masterchief petty officers.

CHIEF PETTY OFFICERS

Chief petty officers are the technicalauthorities, experts, and supervisors within arating. CPOs have the technical expertise toperform and supervise all tasks normal to theirrating. CPOs provide the direct supervision,instruction, and training of lower rated personnel.

SENIOR CHIEF PETTY OFFICERS

Senior chief petty officers are the seniortechnical supervisors within a rating or anoccupational field. SCPOs have the primaryresponsibility for supervising and training enlistedpersonnel oriented to system and subsystemmaintenance, repair, and operation, rather thanindividual unit work. Based on wide-rangingexperience and specialized training, SCPOsprovide the command with a higher level oftechnical and managerial expertise than isexpected at the E-7 level.

MASTER CHIEF PETTY OFFICERS

Master chief petty officers are the seniorenlisted petty officers in the Unites States Navy.As such, MCPOs are vested with special commandtrust and confidence extending to administrativeand managerial functions involving enlistedpersonnel. Based upon experience, provenperformance, and technical knowledge necessaryfor advancement to the grade of MCPO, membersof that rate within a command hold the seniorenlisted positions. They help to form and executepolicy within their occupational field or across thefull Navy spectrum.

COMMAND MASTER CHIEF

The title of command master chief does notreflect a paygrade higher than E-9. Instead thetitle identifies the MCPO who serves as the seniorenlisted adviser in setting command policies aboutthe morale, use, and training of all enlistedpersonnel. As such, the command master chiefhas direct access to the commanding officer.Additionally, the command master chief is

responsible for carrying out established commandpolicy in specific areas as directed by thecommanding officer and the executive officer.The command master chief takes precedence overall enlisted members within a command.

THE SELECTION PROCESS

Military Requirements for Petty Officer ThirdClass provided you with a basic explanation ofthe Navy’s advancement system, requirements foradvancement, and advancement procedures.

The requirements and procedures for advance-ment to chief petty officer are essentially the sameas for all other rates. However, to advance abovepetty officer first class, you have an additionalhurdle—the CPO selection board.

When you are being considered for advance-ment to CPO, you receive credit for how muchyou have achieved in the areas of performance,knowledge, and seniority. Your final multiplescore is generated from these three factors. If yourfinal multiple score is high enough, you will bedesignated Pass Selection Board Eligible (PASSSELBD ELIG). That means your name will besent to the Chief Petty Officer Selection Board,a board charged with considering all eligiblecandidates for advancement to CPO. This boardissues advancement authorizations for thosebeing advanced to CPO.

COMPOSITION OF THE E-7 BOARD

Each selection board consists of a captain whoserves as president, a junior officer who servesas recorder, and officers and master chief pettyofficers who serve as board/panel members.Additionally, a sufficient number of assistantrecorders (E-7s, E-8s, or E-9s) ensure the smoothhandling and accounting of records. The exact sizeof the board varies, but each board usuallyconsists of about 50 members. The recorderdivides the board members into panels. Eachpanel is responsible for reviewing the records ofcandidates in one general professional area; thatis, deck, construction, medical/dental, and so on.Each panel consists of at least one officer and onemaster chief.

The Chief of Naval Personnel (CNP)establishes a maximum quota for each rating andgives the number of selection possibilities to eachpanel. Each panel must fill the quota with the bestqualified candidates competing for advancement,but must not exceed the quota. However, if a

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board finds that not enough candidates are “bestqualified,” the panel may leave part of the quotaunfilled.

Across the Navy, advancement depends onvacancies. That applies not only to E-7 andE-8/E-9 advancement, but to E-4 through E-6advancement as well. Several significant factorsare considered when quotas are established. Twoof these factors are current inventory and the totalprojected losses and gains.

Current Inventory

Current inventory is the current number ofpersonnel on board versus the CNO requirementsfor a rating. Only a certain percentage of theNavy’s total end strength may be chief pettyofficers in each rating.

Total Projected Losses and Gains

Losses reflect the personnel who will be leavingthe Navy during the advancement cycle; forexample, those entering the LDO/CWO Programor those who are lost because of demotion ordeath. Gains reflect those who will enter apaygrade during the advancement cycle, such asthose on voluntary recall to active duty andthose remaining to be advanced from the previousadvancement cycle.

EARLY SELECTEE QUOTAS

The Department of Defense has establishedthe total active federal military service (TAFMS)requirement. For example, the TAFMS require-ment for E-7 is 11 years. However, the Depart-ment of Defense allows some candidates toadvance early. An early advancement candidateis one who does not meet the TAFMS require-ment.

The number of early selectee quotas availableto the selection board is limited. No more than10 percent of the total number of sailors in theE-7, E-8, and E-9 paygrades may have less thanthe prescribed TAFMS. The Chief of Naval Per-sonnel closely monitors this requirement. TheChief of Naval Personnel informs the board ofthe percentage that can advance early withoutexceeding the quota set by the Department ofDefense. The percentage is an overall boardfigure, not a quota for each.

The Navy places significant emphasis onprofessional performance at sea. A candidate neednot be serving in a sea duty billet at the time of

evaluation to be considered for advancement;however, records should show the candidate hasacted in a professional manner and has provento be a good manager at sea or in isolated dutyassignments. Persons who have had a variety ofduty assignments, especially sea duty, are highlydesirable candidates because of their broaderprofessional experience. Those having less varietyof duty assignments but demanding tours maybeequally “best qualified.” Navy members can beassured that assignments for extended periods tomeet the needs of the Navy will not adverselyaffect their careers.

Candidates presented to the board competewithin their individual ratings. However, the Navyrecognizes that candidates are frequently detailedto duty outside of their rating specialties. Manysuch types of duty require selectivity in assignmentand special qualifications. Therefore, specialconsideration is given to those candidates whohave served in special assignments outside of theirrating or who have experienced demanding toursof duty, such as instructor or recruiter.

Special consideration is also given to can-didates who improve their educational level.Personnel may take part in either academic orvocational training and may participate of theirown initiative during off-duty hours or in a Navy-sponsored program.

The transfers and receipts page of the servicerecord and the job descriptions on the evaluationsshow a person’s duty assignments and a historyof the duties performed. Using this information,board members can tell whether or not personsare performing the required duties of theirindividual rates and are meeting professionalgrowth expectancies.

Failure to meet the Navy’s weight standardsdoes not hinder selection opportunity. However,if a person is selected, advancement is withhelduntil current weight standards are met.

Advancement will not be denied solely on thebasis of prior alcoholism or alcohol abuse if themember has taken part in successful treatment andrecovery.

Some persons might have a record of discipli-nary problems. They might have received lettersof indebtedness or have been involved in otherbehavioral difficulties, such as drug abuse orracial, sexual, or religious discrimination. Thosepersons will find the path to chief petty officermore difficult than those with clear records.However, once they overcome these problems, thesingle most important selection factor is stillsustained superior performance.

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Test scores on the examination are also takeninto account since they give the member’s relativestanding as compared to that of the other can-didates. Therefore, be sure you STUDY for theexamination.

The single most important factor influencingselection is sustained superior performance ofduty. Sustained superior performance is a “totalperson” concept. The board looks at how themember performs under various circumstances,duty assignments, job assignments within thecommand, and so on. It also considers personaldecorations, letters of commendation andappreciation, and command and communityinvolvement. Performing well in all assignmentsis important regardless of how difficult or boringan assignment may be.

OTHER AREAS CONSIDEREDIN THE SELECTION PROCESS

The following outlines other areas the boardconsiders in the selection process:

The Performance Evaluation

Objective Review:

Overall marks for a specified period; forexample, all service in current paygrade fora period of 5 years

Leadership/interpersonal relations traits

Disciplinary record

Subjective Review:

Marks too high or low?

How closely do marks and narrative agree?

How well did the candidate perform in andout of rating in special assignments?

If candidate had supervisory experience,how well did the person perform as asupervisor?

Number of people supervised and underwhat conditions.

Working in a position above, below, or inpaygrade.

Career History

Sea/shore duty mix. Any sea duty? When? Ifnot, then overseas or isolated duty?

Leadership position ever held?

No opportunity yet to supervise. Is thiscompensated for by leadership in job or non-job related activities (chairman for NavyRelief, Combined Federal Campaign, and soon; office held in PTA, civic organization,church organizations, and so on)?

Special skills (SEAL, EOD, diver, recruiter,recruit company commander, human goals,NECs, and so on).

Special qualifications (officer of the deck,training PO/CPO, aircrew, surface warfarequalified, submarine qualified, and so on).

Special duty (Diego Garcia, Personnel Ex-change Program, embassy duty, White House,major staff, and so on).

Potential

Leadership/performance trend

Surfaces early?

Newcomer?

Latecomer?

Bounced back after problems resolved?

Personal initiative as demonstrated by thefollowing:

Command/community involvement

Educational achievement (of any sort)

Personal awards, commendations, benefi-cial suggestions, awards from civiliancommunity, and so on

SLATING

Once scoring of each rating is completed, thepanel arranges the names of all the candidates bytheir numerical score from the highest to thelowest. That is called slating. The panel then

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decides what the cutoff score will be for non-promotable (those who do not warrant promotioneven if the quota would allow it), promotable(those who warrant promotion), and selectees.Once slating is completed, the entire board isbriefed on the structure of the rating, its job, itspeculiarities, the number of candidates, and thebackground of those selected and not selected forpromotion. The names of the candidates are notused during this briefing; the entire board voteson the slate. The slate must be accepted by amajority vote of the board. The slate is thenturned over to the president of the board.

SUBSTANDARD RECORDSBEFORE THE BOARD

During the course of the deliberations, theboard may encounter records that clearly indicatesubstandard performance or, in the board’sjudgment, questionable advancement recommen-dations. In these cases, the board is directedto identify and list those candidates. This listincludes the candidate’s name, activity, reportingsenior, and a concise summary of circumstances.Depending on the circumstances, either such can-didates will be referred to the Quality ControlReview Board or the commands of the candidateswill be identified to senior echelon commandersfor appropriate action.

NAVOP TO THE FLEET/REPORTTO CHIEF OF NAVAL PERSONNEL

After all of the ratings have been completedand approved by the board, a NAVOP (message)is prepared to announce the selectees. Beforerelease of the board’s findings, the boardpresident and all board members sign a writtenreport of the findings and submit it to the Chiefof Naval Personnel (CNP) for approval. Thecontent of the report must certify that the boardcomplied with all instructions and directionscontained in the precept and that the boardcarefully considered the case of every candidatewhose name was furnished for review. If CNPapproves the NAVOP, it is then transmitted tothe fleet.

WHAT YOU CAN DO TO IMPROVEYOUR CHANCES OF SELECTION

Sailors who decide to make a career of theNavy and immediately start “turning to” can get

a head start with selection boards. Here are somethings you can do to improve your chances beforethe board:

1. Remember that sustained superior per-formance is the single most important factorinfluencing your advancement opportunities.

2. Use your Enlisted Duty Preference Formwisely. You will be better off to request ademanding job assignment instead of just ageographic location you would like. Try to getinto a supervisory position, or request a small dutystation where your potential can be recognizedearly. Once your potential is documented, shootfor larger stations where the operating tempo isgreater and where you will supervise a largernumber of subordinates. Request sea duty andoverseas shore duty assignments. Do your best ineach job. Go that extra step for professionalexcellence.

3. Try to rotate following the pattern of yourrating. If you are due duty outside of the UnitedStates (OUTUS), go overseas. If you are due seaduty, go. Don’t try to avoid it. Going to seaand performing well will help your chances ofpromotion if your prior performance was out-standing. One outstanding evaluation at sea,however, will not get you promoted if your per-formance before going to sea duty was marginal.

4. Keep a personal record of your accomplish-ments throughout the evaluation period. Whenyou are asked for input to your evaluation,submit a NAVPERS 1616/21 on which yousummarize your activities for the year. Be sureyour input addresses all the accomplishments youfeel are significant, such as self-improvements,accomplishments, your supervisory ability, andyour initiative. Make sure you submit factualinput and provide details. That will decrease thechances of your omitting pertinent informationwhen your input is translated into a smooth onthe evaluation report. The purpose of the evalua-tion is to provide a comprehensive and objectiveanalysis of you and your performance. Be sureyour input to the smooth evaluation clearly depictsspecific accomplishments.

5. The importance of the enlisted evaluationcannot be overstressed. From the beginning of theselection board process, the evaluation is as criticalto the upward mobility of personnel to seniorenlisted grades as is the fitness report to officerpromotion. Ensure your evaluations are typedproperly with no misspellings or other clericalerrors. Remember that you are going to sign yourevaluation; clerical errors, misspellings, and so on,

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are as much your fault as your command’s. Makesure your evaluation covers the correct period oftime. Be sure to list all collateral duties, awards,education (both military and off-duty), specialqualifications, outside activities, communityinvolvements, and so on. Emphasize yourabilities, potential, and willingness to acceptpositions of leadership and management. Do notwrite about how well the ship did on a deploy-ment, an inspection E award, a unit commenda-tion, and so on; but tell exactly what jobs you hadand how well you performed them.

6. Very important! Get a copy of your Bureauof Naval Personnel (BUPERS) official microformservice record, and ensure it is up to date and inproper order. Do that at least 6 months beforethe date the board is to convene and at least onceduring each enlistment. To request a FREE copyof your record, write to the following address:

Bureau of Naval PersonnelAttn: PERS 313DNavy DepartmentWashington, DC 20370

Refer to MILPERSMAN, article 5030150, foradditional ordering instructions.

In your letter of request, include your fullname, rate, social security number (SSN), and theaddress where you wish the record to be mailed.Be sure to sign your full name to the letter. Youshould receive the microform record in about 6weeks. When it arrives, look it over carefully;make sure your SSN and name are correct on eachmicrofiche page. Then review the contents of therecord to make sure each service record page isyours.

MICROFORM RECORDS

The microform record is broken down intothree separate microfiche as follows:

FICHE ROW

1E

A

B

C-D

E-F

G

PROFESSIONAL SERVICEHISTORY

Procurement

Classification and assignment

Administrative remarks

Separation and retirement

Miscellaneous

FICHE ROW

2E

A-C

D

E

F-G

3E

A

B

C

D

E

F

G

PERFORMANCE EVALUA-TION AND TRAINING DATA

Enlisted performance data

Training and education

Awards, medals, and commenda-tions

Adverse information, nonjudicialpunishment (NJP), courts-martial

PERSONAL DATA

Record of emergency data/bene-ficiary slip

Record changes

Security clearances and investiga-tions

Security miscellaneous

Medical data

Out-of-service inquiries/responses

Miscellaneous

If you have broken service, you may have amicrofiche page 4E. This fiche contains documentsreceived after your discharge. The documents donot appear in any particular order. Not allpersonnel with broken service have a page 4Efiche.

NOTE: The 3E and 4E microfiche are notroutinely given to the selection boards but maybe obtained if deemed necessary.

The following information is provided to helpyou put your record in order. Refer to DocumentSubmission Guidelines for Military PersonnelRecords System (NMPCINST 1070.1A) forspecifics.

1. Enlisted microform records are normallyupdated at the end of each enlistment orreenlistment. At that time, your localcommand takes the old page 4s, 5s, 9s, 13s,and so on, from your paper record andforwards them to BUPERS for filming inthe master record. Letters of commendationor appreciation are not in your master

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2.

3.

4.

microform record if they were issued after1976. They should be mentioned in yourevaluation.Only E-5 and above evaluations are filmedin your official record. Make sure they areall there.All personal decorations, unit commenda-tions, and letters for Sailor of the Month/Quarter/Year should be in your record.Remember that poor quality documentscannot be filmed. Copies should be legibleand of standard size (not reduced) to ensurethe best copy.

How To Update Your Record

If you find errors or missing documents thatqualify for inclusion in your record, you need toassemble a corrected package to send to BUPERS.If you are selection board eligible, you shouldsubmit a duplicate package to the board. Makesure each document is legible and your name andSSN appear on each. Outline any other errorsfound in your record on a letter of transmittal andmail to the following address:

Bureau of Naval PersonnelAttn: PERS 313D, Room 3038Navy DepartmentWashington, DC 20370

The Selection Board Package

The selection board package should containcopies of any documents sent to update yourmicrofiche record. It should also contain anyothers you feel are pertinent to the board’sconsideration, including page 4s, 9s, and so on,from your current enlistment and letters ofcommendation and appreciation. (NOTE: If youdesire confirmation of receipt of your package bythe selection board, make sure you enclose asecond copy of your forwarding letter and a self-addressed stamped envelope.) Send this packageto the following address:

President, FY - E-7 or E-8/E-9 (as applicable)Selection Board (Active)Bureau of Naval Personnel(Attn: PERS 262, Room 4631)Navy DepartmentWashington, DC 20370

The Bureau of Naval Personnel recommendsyou mail your microfiche update and selectionboard packages separately and by certified mail.

Documents submitted to the board will bereviewed with your record and then discardedupon adjournment of the board. These documentsare not forwarded to micromation for filming inyour record.

PREPARING FOR THEEXAMINATION AND SELECTIONBOARD

Now is the time to start studying for theexam for CPO, even if you don’t plan to takeit for a year or so. Keep notes on the changesthat occur in your rating until You are eligiblefor the exam; then get a bibliography andSTUDY. Remember, your exam score does count.The E-7 paygrade is considered to be the senior“technical” rate in the Navy. No plans are afootto eliminate the professional test that qualifies youas a selection board eligible candidate.

FLEET RESERVEAND RETIREMENT

One of the major attractions of the militarycareer has always been the military retirementpackage. Most members become eligible for retire-ment after 20 years of service, regardless of age,rate, or rank. Military rights and benefits providenot only an element of security, but also anopportunity to embark on a second career whilestill enjoying many benefits of the first.

In this section, we will discuss the FleetReserve and retirement. We will present thebenefits you will receive upon retirement and tellyou where to go for help or information.

Before making a decision to retire, you shouldtalk with your career counselor about your retire-ment rights and benefits and how to apply forretirement or transfer to Fleet Reserve. Youshould also make every effort to attend a retire-ment seminar given at your command. You willbe given useful information that may help you inmaking your decision.

Certain changes to the military retirementsystem have been proposed. To ensure your retire-ment rights and benefits information is up to date,contact your command career counselor.

CATEGORIES OF RETIREMENT

There are different categories of retirement.This section will briefly describe the Fleet Reserve,the Regular Navy Retired List, the Naval Reserve

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Retired List, the Retired Reserve, TemporaryDisability Retired List, and the PermanentDisability Retired List.

Fleet Reserve

The Fleet Reserve was established to provideexperienced personnel in the first stages ofmobilization during an emergency or in time ofwar. Therefore, the Fleet Reserve is made up offormer enlisted members of the Regular Navy orNaval Reserve who can fill such billets withoutfurther training.

As an enlisted member of the Regular Navyand Naval Reserve, you are eligible for transferto the Fleet Reserve upon the completion of atleast 20 years of active service in the armed forces.While serving as a Member of the Fleet Reserve,you may be ordered to active duty without yourconsent. After you have completed 30 years ofservice (which includes active-duty and FleetReserve time combined), you will be transferredto the retired list.

Regular Navy Retired List

Any enlisted member of the Regular Navy whohas completed at least 30 years of active federalservice may be retired upon application. Unliketransfer to the Fleet Reserve, the 30-year retire-ment is a right guaranteed by law. As a retiredmember, you may be ordered to active duty intime of war or national emergency at thediscretion of the Secretary of the Navy. You maynot be ordered to active duty under any otherconditions without your consent.

Naval Reserve Retired List

The Naval Reserve Retired List is composedof members of the Naval Reserve who are entitledto receive retired pay. Retired members of theNaval Reserve may be ordered to active dutywithout their consent. However, this may only bedone if the Secretary of the Navy, with theapproval of the Secretary of Defense, determinesthat the Navy does not have enough qualifiedreservists in an active status.

Retired Reserve

The Retired Reserve consists of reservists whohave been transferred to the Retired Reserve Listwithout pay.

Temporary Disability Retired List

The Temporary Disability Retired List consistsof members who are temporarily unable to per-form the duties of their rank or rating becauseof a permanent physical disability. See DisabilitySeparation, NAVEDTRA 46601F, for moreinformation.

Permanent Disability Retired List

The Permanent Disability Retired List consistsof members who are permanently unable to per-form the duties of their rank or rating becauseof a physical disability. See Disability Separation,NAVEDTRA 46601F, for more information.

BENEFITS OF RETIREMENT

Retirement benefits available at the conclusionof a Navy career are, in many respects, superiorto similar plans in civilian life. On a day-to-daybasis, the most important difference is that servicemembers pay nothing toward the accumulationof their benefits.

Retired personnel and their dependents areentitled for life to many of the same medical anddental services provided their active-duty counter-parts. However, these benefits have been severelycurtailed during recent years. They also have theprivilege of making purchases in commissaries,exchanges, and ship’s service stores. Retiredmembers have the privilege to use U.S. armedforces’ base facilities subject to the availability ofspace and facilities, the capabilities of thecommand, and any overseas agreements.

Retired personnel often do not realize theymay be entitled to many benefits from theDepartment of Veterans Affairs (VA) and fromthe state in which they reside. These benefitsmay include employment counseling, home andfarm loans, unemployment compensation, burialrights, and VA benefits for veterans with dis-abilities.

Medical Care

As a retired service member, you and yourdependents remain eligible for the UniformedServices Health Benefits Program (USHBP). Thisprogram provides medical care through uniformedservices medical facilities on a space-availablebasis. That means if the facilities and their staffsare available after the treatment of active-dutymembers, they may provide care for retiredservice members and their dependents.

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If space is not available or if a facility doesnot exist close to a retired member or a dependent,CHAMPUS provides for partial payment ofcivilian health care. Through CHAMPUS,uniformed services retired members and theirfamilies have one of the best health plans availableanywhere. CHAMPUS shares most health carecosts from civilian hospitals and doctors when aperson can’t get care through a military hospitalor clinic. CHAMPUS covers most health care thatis medically necessary.

You may want to consider purchasing a supple-mental CHAMPUS insurance plan when youretire, if you do not already have one. Yourcoverage under CHAMPUS is slightly differentfrom that you had while on active duty; you needto know those differences before using it. Onceyou retire, CHAMPUS coverage for you and yourdependents is limited as follows:

Pays up to 75 percent of the outpatientcharges for you and your dependents, oncea $150 per person or $300 per familydeductible is met; pays up to 75 percentof inpatient (hospital) charges, with nodeductible

Does not cover all health care

Pays only for medically necessary care andservices provided at an appropriate levelof care

Does not cover certain people (active-dutyservice members, parents, parents-in-law,and persons eligible

Survivor Benefit Plan

A program that assuresfor survivors of retired

for Medicare)

financial protectionuniformed service

members went into effect on September 21, 1972,as Public Law 92-425. This program, called theSurvivor Benefit Plan (SBP), provides an annuityincome for survivors of retired uniformed servicemembers.

Until passage of this law, the retired pay ofretired members of the uniformed services endedwith their death, unless they had electedvoluntarily to participate in the Retired Service-man’s Family Protection Plan. Therefore,surviving members of a retiree’s family oftenfound themselves with little or no incomefollowing the retiree’s death. SBP fills thatfinancial gap in the area of service benefits.

As a prospective retiree, your family isautomatically covered under SBP at the time ofyour retirement. You may elect SBP coverage toguarantee you family receives 55 percent of yourmaximum retired pay to a minimum amountdesignated by law. You also have the option todecline any coverage under this plan. If you haveno spouse or dependent child at retirement time,you can join the plan at that time by naming asbeneficiary a person who has an insurable interestin you. You can begin participation later if youacquire a spouse or child after retiring.

If you elect not to participate in SBP or electa lesser coverage, your spouse must sign a spousalconcurrence statement.

Several SBP options are available to you. Youmay select only one of the following options:

Spouse only or former spouse only—Thesetwo choices provide a monthly SBP check to yourspouse or former spouse for life in the event ofyour death. If your spouse or former spouseremarries before age 55, the payments aresuspended; but if that marriage ends, the SBPpayments start again. Former spouse electionsmust be voluntary. If you agree to make formerspouse election as part of a divorce agreement orcourt decree, then that election can be enforcedand you must honor that election.

Spouse and children or former spouse andchildren—In these two cases, your spouse orformer spouse is the primary beneficiary; thechildren are paid an annuity only if your spouseor former spouse remarries before age 55 or dies.

Children only—Your children are covereduntil age 18, or age 22 if full-time students.Disabled children are paid for life if their disabilitycauses them to be incapable of self-support. Thedisability must have been incurred when the childwas under the age of 18 or before age 22 whileattending school full time.

Persons with insurable interest—You mayelect SBP to cover a beneficiary who has alegitimate financial interest in your continued life.This beneficiary is normally a close familymember, such as a parent or sibling. Thebeneficiary receives 55 percent of the retired payremaining after the premium deduction is made.

Since the federal government pays a substantialpart of the SBP cost, you give up only a smallpart of your retired pay to provide maximumcoverage for dependents.

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TRANSFER TO FLEET RESERVE

A transfer to the Fleet Reserve requires thatyou complete 2 years at your duty station andsubmit the application no sooner than 6 monthsor later than 12 months before your requestedtransfer date. Send applications for Fleet Reserveto the Chief of Naval Personnel (PERS-273).Submit NAVPERS 1830/1 in quadruplicate andNAVPERS 1070/621 (Agreement to Extend) orNAVPERS 1070/622 (Agreement to Recall orExtend Active Duty) as appropriate. Refer toMILPERSMAN, article 3855180, for moredetailed information.

TRANSFER TO FLEET RESERVEAND RELEASE FROM ACTIVE DUTY

You will be transferred to Fleet Reserve on thelast day of the month (date stated on NAVPERS1830/2) only upon the authority of BUPERSexcept as follows:

You are undergoing medical treatment notinvolving Physical Evaluation Board proceedingsor appearance before a medical board requiringdepartmental action and you consent to remainon active duty.

You request or are involved in a PhysicalEvaluation Board or appearance before a medicalboard requiring departmental action; you will betransferred only after final action is completedand instructions are received from BUPERS.

You are awaiting disciplinary proceedings,serving a sentence of a court-martial, awaitingcivil action, awaiting action on an administrativedischarge, or awaiting a checkage of pay on dateof transfer.

Your service is required because of urgentoperational commitments; commanding officersmay defer the transfer to Fleet Reserve for 30days.

MILPERSMAN, article 3855240, provides anin-depth explanation.

PHYSICAL FITNESS REGARDINGFLEET RESERVISTS

Fleet reservists must notify the CommandingOfficer, Naval Reserve Personnel Center, NewOrleans, of any significant change in their physical

fitness that would result in their transfer to aretired list. Reservists found unfit for duty aretransferred from the Fleet Reserve to the retiredlist of the Regular Navy or Retired Reserve asappropriate, See MILPERSMAN, article 3855260,for more information.

PHYSICAL EXAMINATION INCONNECTION WITH RETIREMENT

You must have a physical examination 6months before your retirement date to allow forthe treatment of minor health problems or toidentify health problems that would qualify youfor a disability retirement. See MILPERSMAN,article 3860160, for more information.

MATERIALS AVAILABLE TO ASSISTMEMBERS SCHEDULED FOR FLEETRESERVE OR TRANSFER TO FLEETRESERVE

Your command career counselor or FamilyService Center should have available publicationsabout retirement. Many commands conduct amandatory retirement seminar that personnelmust attend within 6 months of their retirementdate (see OPNAVINST 1720.3D). The retirementseminar is an excellent source of information.

The following are some publications aboutretirement that you can get through the Navysupply system:

Disability Separation, NAVEDTRA46601 F; national stock number (NSN):0503-LP-212-6100

Once a Veteran, NAVEDTRA 46602D;NSN: 0503-LP-211-8400

SBP Made Easy, The Survivor BenefitPlan, NAVEDTRA 46605E; NSN: 0503-LP-003-0295

Navy Guide for Retired Personnel andTheir Families, NAVPERS 15891F; NSN:0500-LP-345-1022

PRESEPARATION CEREMONY

If desired, a person may request a pre-separation ceremony before transfer to the FleetReserve or the Retired List; however, participationin a formal ceremony is not mandatory.MILPERSMAN, article 3810200, lists items to bepresented to a person transferring to the FleetReserve or the Retired List.

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COMPUTATION OF RETAINER PAY

Various methods are used to compute retainerpay. The method used depends on the date aperson entered the Navy. Your local careercounselor can help you compute your retainerpay. Direct questions about retainer pay to theDefense Finance Center, Retired Pay Division.

TRAVEL OR RESIDENCE OUTSIDEOF THE UNITED STATES

Fleet reservists not on active duty must informthe Commanding Officer, Naval Reserve PersonnelCenter, of their plans to travel or reside outsideof the United States for a period of 30 days ormore. Fleet reservists who plan to travel or residein a given country for 6 months or more mustreport their plans to the Naval Attache, SeniorNaval Officer, or Senior Military Attache ofthe United States as appropriate. A change ofpermanent mailing address must be reportedto Defense Finance and Accounting Service,Cleveland Center, Retired Pay Division, Cleveland.See MILPERSMAN, article 3855280, for moreinformation.

PLACE OF SEPARATION

MILPERSMAN, article 3640476, describesthe requirements for a command to serve as theplace of separation for persons transferring to theFleet Reserve or retiring. Whether a command canserve as the place of separation depends on threeconditions: (1) if the command can process forseparation, (2) if the command is inside or outsideof CONUS, and (3) if the person takes retirementor separation leave. Basically, persons transferringto the Fleet Reserve or retiring will receivereimbursement for expenses to move to the placewhere they entered the Navy or to their permanenthome of choice.

RETIREMENT LEAVE

Retirement leave is normally granted dependingupon the needs of the Navy. If you desire retire-ment leave, submit a notification to BUPERS(PERS-27) at the same time you submit yourrequest for transfer. That will ensure retirementorders are issued before your leave begins. Yourcommanding officer or reporting senior mustgrant approval of retirement leave.

You may sell back up to 60 days’ leave duringyour career. Leave accrued before 1 September1976 (saved leave) includes base pay, basicallowance for quarters (BAQ), and basic allow-ance for subsistence (BAS) when sold back. Leaveaccrued after 1 September 1976 includes base payonly when sold back. See MILSPERSMAN, article3860220, for more information.

TRAINING

As a chief petty officer, one of your mostimportant administrative duties will be to plan anddirect training programs. The Navy suffers froma rapid turnover of personnel; therefore, if we areto have properly trained people, we must maketraining a continuing program.

You, as a chief petty officer, will beresponsible for planning and directing personneltraining and training junior officers within yourdivision.

TRAINING PLAN

You will need to develop a training plan ifyour command does not have one already. If atraining plan is in place, you may only need toperiodically update the plan to keep it current.Training plans can be divided into long-range andshort-range plans.

The department head and training officer areresponsible for the long-range training plan. Yourrole is to provide input to the department headthrough the division officer. The long-rangetraining plan consists of general military trainingand unit level training. The training officerconsolidates the training requirements for the unitand presents the plan to the executive officer forreview. The long-range training plan is thenpresented to the commanding officer forapproval.

The short-range plan is used to scheduletraining within your division. Pay carefulattention to scheduling to avoid conflicts withother divisions. The short-range training planshould include the following documents:

The Quarterly Employment Schedule

The Quarterly Training Plan

The Monthly Training Plan

The Weekly Training Schedule

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Refer to Standard Organization and Regula-tions of the U. S. Navy, OPNAVINST 3120.32B,for a detailed explanation of how to prepare theQuarterly and Monthly Training Plan and WeeklySchedule.

PLANNING AND DIRECTINGTRAINING

Before you begin planning, set a training goal.Then plan divisional training to meet that goal.Be sure to allow time for training in personnelqualification standards (PQS) and the plannedmaintenance system (PMS). Also allow time forgeneral military training (GMT).

GMT is training of a general nature in areassuch as financial responsibility, sex education,Family Service Center services, and Navy Relief.Your command’s training officer should have aset of GMT lectures and the schedule for thecommand GMT. Conduct additional GMT whenneeded.

An Effective Training Program

An effective training program has three basicfeatures: (1) compatibility, (2) evaluation andinstruction, and (3) analysis and improvement.

Compatibility means the training programmust work within the command’s framework andschedule. Make sure the type of training requiredwill fit into the future schedule of your command.

Instruction involves the actual training ofpersonnel. Make sure the instructors responsiblefor conducting the training or signing qualifica-tions are knowledgeable and capable of clearlycommunicating the subject matter. Evaluationchecks the progress of each person and the abilityof division personnel to function togetherefficiently and safely as a team. Evaluate theinstruction to be sure personnel are being properlytrained.

Analysis consists of observing group andindividual performance and comparing the resultswith standard criteria. Improvements consist ofsteps needed to make training more effective.

To develop an effective division trainingprogram, make sure it includes the followingelements:

Dynamic instruction—Provide instructorswho give well-prepared and professional presenta-tions. The instructor should give the impressionof having a high degree of knowledge on thesubject.

Positive leadership—Show an interest inthe training program. Make sure persons givingthe lectures and signing qualifications can com-municate well with others and have the practicalskills needed.

Personal interest—Set realistic traininggoals and monitor individual progress. Determinewhy a person is below standard and take remedialaction as require to bring the person to theproper level of training. Acknowledge personalachievements with rewards, if appropriate, atdivisional quarters.

Quality control—Encourage the chain ofcommand to become involved in the trainingprocess by testing individuals or having themdemonstrate the knowledge level they are creditedwith having.

Technical support—Make sure manuals,technical publications, operating procedures,safety precautions, and other references requiredfor training are available and current.

Regular schedule—Set aside a time everyweek for training, preferably on the same day andtime.

Methods of Training

Although you can use various methods toconduct training, you should use a method oftraining that meets your objective. When con-ducting formal, structured training, use standardlesson plans. You will find the following methodseffective aboard ship:

On-the-job-training—Use on-the-job training(OJT) as a personalized means of teaching anddeveloping professional skills. Use it to teachpersonnel how to perform daily tasks such asthose involved in making Planned MaintenanceSystem (PMS) checks and meeting PersonnelQualification Standards (PQS). One of thebenefits of OJT is that you can quickly measureresults. Taking time to log the amount of timeyour subordinates spend on OJT provides a moreaccurate measure of division training.

Team Training—Conduct team training inwatch or battle station assignments through drillsand exercises in port or under way. Takeadvantage of training offered by local fleet

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training centers. Also, schedule team trainingthrough your command’s planning board fortraining if appropriate.

Self-study—Encourage subordinates to obtaintraining through self-study. Self-study materialsinclude correspondence courses, onboard trainingpackages, and computer-guided instruction.Arrange for tutoring if necessary.

Classroom—Conduct classroom training whenyou need a controlled environment for formalizedinstruction. Use formalized lesson plans and besure you have enough reference material for thestudents. Conducting classroom training aboardship is difficult because of space restrictions,noise, and interruptions.

TRAINING JUNIOR OFFICERS

Commanding officers are charged with theresponsibility of training junior officers undertheir command by U.S. Navy Regulations, 1990,article 821, “Training and Education.” Yourresponsibility is to ensure the junior officer istrained properly.

Purpose

Your first question may be “If training juniorofficers is not part of my job description, thenwhy should I?” The answer is to prepare thejunior officer to fulfill the role of divisionofficer, department head, executive officer, andcommanding officer. How you treat and trainjunior officers has an impact on how they viewboth the chiefs’ community and the enlisted ranks.

Scope of Training

Your role is to train junior officers to makecompetent decisions in your professional area andto give them confidence in your expertise as thechief. Show your junior officers how to carry outduties in a professional manner; that is, by doingjobs the “NAVY” way. Be diplomatic in your ap-proach, and preach doing things by ‘‘the book.”

Responsibility of the Chief

Your responsibility is to keep junior officersfrom making mistakes in judgment. You also

provide the foundation for them to develop intocommanding officers you would enjoy workingfor as a chief. Teach junior officers how to bea division officer. Running the division while yourjunior officers work on qualifications is part ofyour job. Take time to explain the proper stepsinvolved in specific tasks. Do not criticize thejunior officers lack of knowledge. Any complaintsyou have with your junior officers could be yourfault because you failed to teach them properly.

SUMMARY

Since you will provide informal counseling tojunior personnel on career information, take timeto learn the various programs available. Checkingthe details of the program in question beforegiving an answer will save you embarrassment.The most effective counseling takes place in aformal setting. You can then check the qualifica-tions of the person and review the programs heor she is interested in.

Chief petty officers progress through well-defined roles during their career. The chief is atechnical expert. The senior chief becomes moreinvolved in personnel management and is asystems expert. The master chief is primarilyinvolved with personnel management on a ship-board level.

After 20 years of service, Regular Navypersonnel become eligible for transfer to the FleetReserve. After a 30-year total of active andinactive service, they are placed on the retired list.Navy personnel are placed on one of six basictypes of retired lists: Regular Navy Retired List,Naval Reserve Retired List, Retired Reserve, FleetReserve, Temporary Disability Retired List, andthe Permanent Disability Retired List.

Training is an important part of every chief’sjob. The Navy has a high rate of turnover withincommands. Commands must conduct training tobe operationally ready at all times. As a chief pettyofficer, you will also train junior officers. Yourobjective is to provide the junior officer with theknowledge gained from your years of experience.The officers you train today will have an impacton the Navy’s future as they progress in grade.

REFERENCES

Administration of the Navy’s ApprenticeshipProgram, OPNAVINST 1560.10, Office ofthe Chief of Naval Operations, Washington,D.C., 1990.

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Enlisted Commissioning Program, OPNAVNOTE1530, Office of the Chief of Naval Operations,Washington, D.C., 1990.

Enlisted Transfer Manual, NAVPERS 15909D,Naval Military Personnel Command, Wash-ington, D.C., 1990.

Family Service Center Program, OPNAVINST1754.1A, Office of the Chief of Naval Opera-tions, Washington, D.C., 1985.

In-Service Procurement for Appointment Underthe Active and Inactive Limited Duty Officerand Chief Warrant Officer Programs, NAV -MILPERSCOMINST 1131.1A, Naval MilitaryPersonnel Command, Washington, D.C., 1986.

Naval Military Personnel Manual, NAVPERS15560A, Naval Military Personnel Command,Washington, D.C., 1987.

Navy Family OMBUDSMAN Program, OPNAV-INST 1750.lC, Office of the Chief of NavalOperations, Washington, D.C., 1990.

Navy Sponsor Program, OPNAVINST 1740.3,Office of the Chief of Naval Operations,Washington, D.C., 1982.

Navy Voluntary Education Programs (NavyCampus), OPNAVINST 1560.9, Office of theChief of Naval Operations, Washington,D.C., 1988.

Overseas Duty Support Program, OPNAVINST5352.1, Office of the Chief of Naval Opera-tions, Washington, D.C., 1985.

Regulations Governing the Navy Enlisted Educa-tion Advancement Program (EEAP), OP-NAVINST 1560.8A, Office of the Chief ofNaval Operations, Washington, D.C., 1990.

Responsibility for Morale, Welfare, and Recreation(MWR) in the Navy, OPNAVINST 1700.7D,Office of the Chief of Naval Operations,Washington, D.C., 1988.

Retention Team Manual, NAVPERS 15878,Naval Military Personnel Command, Washing-ton, D.C., n.d.

Standard Organization and Regulations Manualof the U.S. Navy, OPNAVINST 3120.32B,Office of the Chief of Naval Operations,Washington, D.C., 1986.

U.S. Naval Reserve Officer Programs Open toActive Duty Naval Enlisted Personnel, OP-NAVINST 1120.2A, Office of the Chief ofNaval Operations, Washington, D.C., 1987.

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

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CHAPTER 6

PROGRAMS AND POLICIES

LEARNING OBJECTIVES

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

1. Identify the Navy programs affecting the 2. State the function and purpose of the Navy’swelfare and morale of Navy personnel and integrity and efficiency programs.their families.

The assistance programs covered in thischapter are important to the welfare of our sailorsand their families. You, as the leading chiefpetty officer (LCPO), should have an under-standing of these programs so that you canadvise and support your division. Also includedare the Navy’s Pride and ProfessionalismProgram, Personal Excellence Program, and theIntegrity and Efficiency Program.

ASSISTANCE PROGRAMS

Assistance programs included in this chapterprovide Navy policy, guidance, and, in somecases, professional help in a variety of areas. Thischapter provides information and referencesabout the following programs:

Single Parenting

Family Advocacy

Family Service Centers

Ombudsman Program

Casualty Assistance

Navy Welfare/Recreation/Afloat Recreation

Personal Financial Planning

Housing Entitlements

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Navy Sponsor Program

Overseas Duty Support Program

Additional assistance organizations

SINGLE PARENTING

Many of our Sailors today are single sponsorsor military couples with dependents. These familysituations cause these Sailors to make plansthat will ensure adequate dependent care whileallowing them to travel worldwide. All singlesponsors and military couples with dependentsmust have a formalized dependent care plan. Theplan provides regular counseling for all singlesponsors and military couples with dependents onthe full scope of their responsibilities. Completionof the Dependent Care Certificate (OPNAV1740/1) identifies designated custodians whowill assume responsibility for the members’dependents in their absence.

Success of this policy depends upon positivecommand support. Coordination of sponsor,overseas screening, and family service programsis essential.

U.S. Navy Single Sponsor/Military Couplewith Dependent(s) Dependent Care Policy, OP-NAVINST 1740.4, outlines command andindividual responsibilities. This instruction pro-vides a dependent care counseling checklist. Thischecklist is useful in helping your personnel withtheir planning.

Consult with your command master chief andreview related command, ship/station, and areainstructions for additional guidance.

FAMILY ADVOCACY

During the early 1970s, the Navy developedan increased awareness of child abuse and neglect.This prompted the Navy surgeon general toadvocate a program that dealt with both themedical and social aspects of the problem. In 1976the Navy set up the Child Advocacy Programwithin the Navy Medical Department to protectabused, neglected, or abandoned dependentchildren. In 1979 the Navy redesignated theprogram as the Family Advocacy Program. Itexpanded the program to include spouse abuseand neglect, sexual assault, and rape. Soon after,the Navy began to develop formal, service-wideFamily Support Programs designed to improvethe quality of life for the Navy family.

Family Advocacy Program (FAP), O P -NAVINST 1752.2, defines policy and outlines thekey elements of the program.

Check local and area instructions about familyadvocacy for additional information. Anothergood idea is to visit your local medical treatmentfacility and base Family Service Center to discussservices they offer your people.

FAMILY SERVICE CENTERS

Navy Family Service Centers (FSCs) are anorganizational component within Navy shoreactivities and commands. Family Service Centersare responsible for the following:

Providing comprehensive information pro-grams and referral services for Navyfamilies and single service members

Providing Navy personnel and Navyfamilies with opportunities to achieve amore satisfying quality of life in the Navy

Ensuring continuing awareness of theimportance of the relationship betweenNavy families and the Navy’s ability toexecute its mission

Bringing about close coordination amongexisting Navy and civilian family supportservices

Serving all eligible personnel and theirfamilies as set forth in SECNAVINST1754.1

Family Service Center functions include thefollowing:

Information and referral

Family assistance

Family education

Financial education counseling

Deployment support

Family advocacy

Special needs family support

Employment aid

Relocation aid

Overseas duty support

Support for Command Sponsor Program

Support for Command OmbudsmanProgram

Centers (FSCs) is the prevention of problems andthe enhancement of family life. FSCs offerinformational, educational, and preventiveprograms on a continuing basis.

Family Service Center Program, OPNAV-INST 1754.1A, defines Navy policy and assign-ment responsibilities for the administration andsupport of the Navy Family Service CenterProgram.

You should visit your local Family ServiceCenter and set up points of contact. Also ask forthe names and phone numbers of local civilianagencies that are available for help.

OMBUDSMAN PROGRAM

The Ombudsman Program was first set up inthe Navy in 1970. Since its start, it has undergonecontinual evolution to adapt to the changing needsof Navy commands and their families. TheOmbudsman role has changed in its respon-sibilities for the morale and welfare of the familiesof the command by serving less in the role ofgrievance processing. It now serves more as anappropriate resource to help commands indischarging the commanding officer’s (CO’s)responsibilities in this area.

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The Command Family Ombudsman Programbelongs to the command. To a great extent, theshape and direction of the program depend on thecommanding officer’s perceptions of the needs ofthe command. The CO appoints the Ombudsman,who works under his/her guidance. The COdetermines the priorities of the program, the rolesand relationships of those involved in it, and thetype and level of support it will receive. The ef-fectiveness of the Ombudsman Program ismeasured by the service it provides to thecommand and the command’s families.

The Navy Family Ombudsman Manual,NAVPERS 15571, provides a section containingsuggestions on how to help maximize the benefitsof an Ombudsman Program through your supportof the Ombudsman. You only have to make onedeployment to appreciate the efforts of anOmbudsman.

The Navy Family Ombudsman Program, OP-NAVINST 1750. 1B, and the Navy FamilyOmbudsman Manual, NAVPERS 15571, outlinethe policies and procedures of the Navy FamilyOmbudsman Program.

CASUALTY ASSISTANCECALLS PROGRAM

You may be asked to serve as the CasualtyAssistance Calls Officer (CACO) at some pointin your career. This section of the chapter willexplain the purpose of the program and thegeneral duties of the CACO.

Purpose of the Program

The broad purpose of the Casualty AssistanceCalls Program (CACP) is to offer support to thenext of kin of Navy members involved in acasualty. The CACP offers support in thefollowing ways:

Assuring the next of kin of the Navy’sinterest in their well-being

Showing concern for members reportedmissing while the search for them isunderway

Extending sympathy in the case of death

Helping survivors adjust to the newconditions these tragic circumstances haveimposed upon them

The Navy seeks to accomplish this throughpersonal visits by a uniformed Navy representativecalled a Casualty Assistance Calls Officer(CACO). (Only an officer with a minimum of 2years of active duty or a qualified senior enlistedmember of paygrade E-7 or above may serve asa CACO.) Persons given the task of CACOnormally assume this responsibility as theirprimary duty; it takes precedence over allother assigned duties. Casualty Assistance CallsProgram (CACP) Manual, NAVMILPERSCOM-INST 1770.1, explains the detailed responsibilitiesof the CACO and the procedures for operatingthe program. Casualty Assistance Calls andFuneral Honors Support (CAC/FHS) ProgramCoordination, OPNAVINST 1770.1, contains thecommand coordination responsibilities for theCasualty Assistance Calls and Funeral HonorsSupport Program. The Casually Assistance CallsOfficer Manual, NAVPERS 15607, providesdetailed duties of the CACO, provides a checklist for use when visiting next of kin, and providesa list of helping resources.

Duties of the CACO

The duties of the CACO range from makingan initial personal visit to the family to helpingthe family fill out all required paper work forentitlements.

Specific responsibilities include the following:

to make personal notification to thenext of kin that their relative is dead, un-accounted for—duty status-whereabouts unknown(DUSTWUN), or reported missing; to provide abrief explanation of the circumstances; to provideupdated information regarding remains of deceasedor search efforts for a DUSTWUN person.

to express to the next of kin of those whohave died, the Navy’s condolences, concern in thecase of members in a DUSTWUN or missingstatus, and continued support for the next of kinduring their adjustment to their unfortunatecircumstances.

to extendby assessing theassistance andnecessary.

assistance to the next of kinneed for immediate financialfollow-up arrangements as

AFLOAT RECREATION

Morale, welfare, and recreation programs(MWR) provide a comprehensive approach to the

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NAVY WELFARE/RECREATION/

improved quality of life of military personnel(active and retired), their families, and civilianpersonnel associated with the armed forces. DODpolicy advocates a comprehensive MWR programfor activities that accomplishes the following:

Maintains a high level of esprit de corps

Enhances job skills

Contributes to military effectiveness

Aids in recruitment and retention

Aids in transition from civilian to militarylife

Promotes and maintains physical, mental,and social well-being

Encourages constructive use of off-dutyleisure time

Provides community support programsand activities for military families

Responsibility for Morale, Welfare, andRecreation (MWR) Programs in the Navy, OP-NAVINST 1700.7D, defines the responsibility forpolicy, overall coordination, and execution ofMorale, Welfare, and Recreation (MWR) Pro-grams within the Navy. Administration ofRecreation Programs Afloat NAVMILPERS-COMINST 1710.31, provides policy and guidancefor the administration and management of afloatrecreation services and funds.

Encourage your division personnel to takeadvantage of the many opportunities offered bythese welfare and retreat ion programs. Developideas that encourage participation. Remember, agood idea is one that works for you. The problemisn’t the program. The problem is lack ofparticipation. So generate some enthusiasm. Becreative. Get those sailors out from in front ofthose televisions and involved in a sport or hobby.

NAVY PERSONAL FINANCIALMANAGEMENT PROGRAM (PFM)

Management of personal finances is becomingincreasingly difficult for Navy members in today’scomplex and sophisticated marketplace. Easycredit, high-pressure sales tactics, clever advertisingtechniques, and other consumer gimmicks competefor our hard-earned resources. These factors, plus

a lack of basic consumer skills and resultantmismanagement of available income, all con-tribute to financial difficulties met by a growingnumber of Navy personnel. About 50 percent ofall military members experience some level offinancial difficulty at one or more times in theircareer. Financial problems force some sailorsinto bankruptcy. Financial problems have aserious negative effect on Navy members and theirfamilies. Since these problems also adverselyaffect unit morale, retention, and readiness, theSecretary of the Navy directed development of aprogram to address this issue.

The Navy’s Personal Financial ManagementEducation, Training, and Counseling Program isa comprehensive and integrated program. Thisprogram helps Navy personnel develop soundfinancial skills. It provides a cohesive, stan-dardized, and proactive approach to helpingmembers with financial concerns.

The program consists of three major elements:financial education, training, and counseling. Theprogram introduces basic financial managementprinciples at officer and enlisted accession points.These principles are reinforced and enhanced atthe command or unit level. Each command hasa trained command financial specialist (collateralduty) to coordinate the program and aid inproviding financial information, training, andcounseling to command members. Some FamilyService Centers serve as training sites for thecommand financial specialists in partnership withNavy Relief. All Family Service Centers serve ina counseling and education role for members andtheir spouses.

The Navy and its members have a jointfinancial management responsibility. We expectsailors to pay their just financial debts. The Navypromotes financial practices and habits of thriftamong its members. It also provides them thetools with which to develop these practices andhabits. The Personal Financial Management Pro-gram is set up to meet the Navy’s responsibilities.

HOUSING ENTITLEMENTS

The Navy provides berthing for 130,000 singlesailors at 179 shore/overseas shore locations atan annual cost of $125 million. The Secretary ofthe Navy and the Chief of Naval Operationsare dedicated to the modernization and newconstruction of single quarters to meet current andfuture housing requirements.

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Adequacy, Assignment, Utilization, andOccupancy of Navy Unaccompanied PersonnelHousing (UPH), OPNAVINST 11103.1, outlinesNavy policy on the adequacy, assignment,utilization, and occupancy of single quarters.Naval base/naval air station (local) instructionscontain guidance for assigning voluntary separatedpersonnel (VSP) to single quarters.

The principal goal of the Department ofDefense (DOD) Family Housing Program is tomake sure members of the armed forces withdependents have suitable housing. To achieve this,DOD has adopted a policy of relying on the localcivilian housing market in communities nearmilitary installations as the primary source ofhousing for military families. Military familyhousing is constructed only in locations where thecivilian housing market cannot meet the needs ofthe local military community. Construction isapproved by the Secretary of Defense andappropriated by Congress.

Assignment and Utilization of Navy-ManagedMilitary Family Housing (MFH), OPNAVINST11101.13H, outlines assignment procedures andutilization criteria for family housing. Your localfamily housing office can provide you withadditional local rules and guidelines.

NAVY SPONSOR PROGRAM

The Navy Sponsor Program was set up by theChief of Naval Operations in 1970 to ease themove of naval personnel and their families whentransferred on permanent change of station (PCS)orders. Navy Sponsor Program, OPNAVINST1740.3A, provides guidance for all commands andunits in taking an active part in the Navy SponsorProgram.

A well-administrated program can ease thedifficulties met by naval personnel and theirfamilies during each PCS move. A dynamiccommand Navy Sponsor Program shows newmembers that the command believes they areimportant. It has a positive impact on the attitudeof the new members and their families.Remember, first impressions are usually lastingones.

OVERSEAS DUTYSUPPORT PROGRAM

The Navy can better accomplish its missionand tasks by having forward deployed forces.Such forces support U.S. allies and provide thehost nation with a capability to support its

political objectives. Through formal internationalagreement, deployed United States naval forcesare provided facilities, logistics support, andmutual security. Navy personnel based overseasand those ashore on leave or liberty can eitherenhance or degrade the effectiveness of thesearrangements by the image they create. Inadequatepreparation and the inability of people to makea positive adjustment to the foreign country’slaws, customs, cultures, and traditions can resultin costly consequences. These consequences mayaffect unit readiness, unplanned reassignments,attrition, good order and discipline, futureavailability y of ports of call, and retention of U.S.overseas bases.

The policy of the Navy is to ensure that eachunit that visits foreign ports and each establishedoverseas activity is supported in the host country.The Overseas Duty Support Program (ODSP)addresses three specific groups:

Personnel stationed at overseas shoreactivities and home-ported units

Personnel aboard ships (active andReserve) and other deploying U.S. Navyunits that visit foreign ports

Personnel serving in high-impact positions(attache, embassy, PEP, and so on)

The ODSP helps Navy personnel and theirfamilies deal with various overseas cultures. Threemajor goals of this program are (1) to providetraining and cross-cultural relations; (2) to supplyinformation through publications, video tapes,and direct personal assistance; and (3) to operatea telephone hotline known as the OverseasTransfer Information Service (OTIS). The missionof the program is to help you be more effectivein your job, to help you adjust to your tour ofduty, and to help you enjoy visits to foreign ports.

You, the supervisor, should know whereinformation about foreign countries and theircustoms and traditions can be obtained. Youshould encourage your personnel to read allavailable information about the foreign ports theyare going to visit. In addition, give generallectures about these ports to point out localcustoms. Explain that most host nationalswelcome the opportunity to learn from our sailorsand are more than willing to teach our sailorsabout their countries. Above all, you should beinformed and encourage your personnel to beinformed.

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The Navy has established the following goalsto support the Navy’s Overseas Duty SupportProgram:

—

—

—

To increase command knowledge,readiness, and effectiveness in the ODSPby

optimizing ODSP support and workingrelations between Navy commands, hostnational officials, and logistic suppliersand

supporting protocol requirements betweenhost national officials and Navy personnel.

To improve individual and family ex-periences in the unique environment of thehost country by

increasing the ability of individualsassigned to overseas activities to adaptquickly to the laws, customs, cultures, andtraditions of a foreign country;

providing up-to-date prearrival informa-tion;

establishing a functioning sponsor pro-gram;

establishing physical and/or psychologicalsupport immediately upon arrival;

presenting predeparture and postarrivaladaptation training for personnel andfamilies;

increasing individual leave and libertysatisfaction;

providing active off-duty programs andevents;

ensuring that foreign language trainingprograms are used to the greatest extentpossible.

To develop and maintain positive relationsbetween the Navy and the countries inwhich the Navy operates by

decreasing the possibilities for U.S. and/orhost nation incidents;

preassignment screening and selectionbefore issuance of orders;

providing Navy personnel (and theirfamilies) with adequate information andtraining to avoid or deal with unfavorablesituations;

guaranteeing host nationals are treatedwith dignity and equality;

ensuring that all Navy personnel are awareof the security and operational reasons forthe Navy’s overseas presence;

ensuring that all Navy personnel and theirfamilies are aware of their responsibilitiesas representatives of the United States andthe Navy;

observing local customs (within the limitsof operational requirements);

initiating and maintaining liaison with hostnationals personally, professionally, anddiplomatically;

assisting Navy personnel and their familiesin understanding local culture, customs,laws, and traditions; and

establishing professional and social ex-change programs.

The Overseas Transfer Information Service(OTIS) is a telephone hot line that provides Navymembers and their families with a central sourceof information on nearly all overseas dutystations. OTIS gives advice and information onsuch topics as climate, location, passports,housing, educational services, shipment ofautomobiles, quarantine requirements for pets,dental facilities, and spouse employment. The hot-line number is AUTOVON 286-5932/5934,commercial (202) 746-5932/5934, or toll free1-800-327-8197. OTIS will accept collect callswithin CONUS. During nonworking hours, leavea message on the answering machine and you willreceive a return call the next working day. Youcan also write to OTIS at the following address:

Chief of Naval Personnel (PERS 662D)Overseas Transfer Information ServiceNavy DepartmentWashington, DC 20370

Before calling OTIS, youmany of your questions about

might find thatan overseas duty

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station may be answered by reading OverseasLiving Conditions; Information Concerning,NAVMILPERSCOMINST 1720.1A. The instruc-tion contains brief sheets on approximately 40duty stations abroad. This instruction should beavailable through your local PSD or personneloffice.

ASSISTANCE ORGANIZATIONS

You can obtain additional assistance forservice members and their families from thefollowing groups:

Chaplain Corps

Navy Relief

Red Cross

USO

YMCA/YWCA

Wives Clubs

Visit the local offices of these organizationsand discuss the services they provide for yourpersonnel and their families. Then place notes inyour division’s files about these organizations andthe services they provide. You can use the notesto conduct General Military Training (GMT)during morning quarters.

PRIDE AND PROFESSIONALISM

Pride and professionalism have taken theirrightful place in today’s Navy. Gone ismediocrity; permissiveness is about tofollow. Enter professionalism.

—Admiral Thomas B. Hayward

In 1980 Admiral Thomas B. Hayward, the 21stChief of Naval Operations (CNO), initiated theNavy’s pride and professionalism program. Thisprogram reemphasized and reinforced thetraditions and values that have been a part of ourNavy for over 200 years. Since this program isjust as important today, you should develop those

traits of pride and professionalism described inthe following paragraphs.

LOYALTY

This is a true, faithful, strong devotion to yourcountry, commitments, or obligations. In a Navyenvironment, it also includes devotion to yoursuperiors and subordinates. While you may bewilling, even eager, to extend loyalty within yourorganization, you must continuously strive to keepthe loyalty of others. You can do this by showingloyalty to the command and your subordinates.

DEVOTION TO DUTY

This is dedication to your job. You must atall times do your job to the best of your abilityand place duty above self. Refusal to do soincreases the burden of others.

PROFESSIONAL KNOWLEDGE

At this point in your career, professionalknowledge consists of more than just technicalknowledge; it also consists of job know-how. Youwill increase this job know-how with experienceand by being open-minded to new ideas and thesuggestions of others.

SELF-CONFIDENCE

This means you feel sure of your ability,judgment, power, and decisions. Professionalknowledge is meaningless without the confidenceto use it.

INITIATIVE AND INGENUITY

You need these qualities to help you developyour abilities to the fullest. Initiative is anintroductory act leading to an action. Ingenuityis a skill or cleverness in devising or combiningways to get the job done. Opportunities forinitiative and ingenuity often arise, but we fail totake advantage of them.

COURAGE

This is the mental or moral strength thatenables you to meet danger, stand up for yourbeliefs, be honest, and admit mistakes.

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THE ABILITY TO ORGANIZEAND MAKE DECISIONS

The ability to organize means you can planand coordinate specific steps to complete simpleor complex jobs. The ability to make decisionsmeans you can identify possible obstacles orproblems, establish priorities, and choose the bestway to overcome these problems. A fear of failuredoes not interfere with your ability to organizeand make decisions.

PERSONAL EXAMPLE

This quality is an inherent part of leadership.It means you exhibit good behavior, a professionalappearance, and outstanding performance as arole model for others. It will have a positiveimpact on your subordinates and the image of theCPO community.

PERSONAL EXCELLENCE

The Personal Excellence Program was initiatedby Admiral James D. Watkins, the 22d CNO, as afollow-on program to pride and professionalism.The emphasis of this program-Navy involvementin the civilian community—has become a positiveand effective program. Through this program theNavy supports local Parent-Teacher Associations(PTAs), churches, charities, and youth activities.The program also includes the Navy’s support ofalcohol abuse, drug testing, physical fitness, andfamily advocacy programs. The involvement ofnaval personnel with these community programshelps to maintain the Navy’s image of pride andprofessionalism.

CORE VALUES

The latest addition to the pride and pro-fessionalism program was initiated by AdmiralCarlisle A. H. Trost, the 23d CNO, to reenforceand strengthen existing programs. The objectiveof this program is for senior and junior navalpersonnel to serve as models of ethical behaviorand personal values. Role models who reflect theNavy’s core values set an example for all Navypersonnel. They also serve as an image of theNavy’s pride and professionalism to the localcommunity and the nation. The followingparagraphs describe the core values the Navyexpects of its people.

Integrity

Integrity is the soundness of moral characterand ethical principles. You should recognize thisas a fundamental part of being an effective leaderand manager. As a chief petty officer, you willbe expected to make moral and ethical decisionsfor which you will be held accountable. The basicelements of integrity are honesty, honor, andresponsibility.

Professionalism

Professionalism is the conduct, aim, or qualitythat marks a profession or professional person.As a chief petty officer who is recognized as aprofessional, you must ensure your peopleconduct themselves in a professional manner. Theelements of professionalism are competence,teamwork, and loyalty.

Tradition

Tradition is the handing down of beliefs andcustoms from generation to generation. As amember of the Navy, you have inherited a richand proud tradition of patriotism, courage,spiritual heritage, and concern for people. As achief petty officer, you have also inherited anobligation to your predecessors and successors touphold this tradition.

INTEGRITY AND EFFICIENCYPROGRAM

The policy of the Department of the Navy(DON) is to eliminate mismanagement of itsresources. DON takes vigorous actions to detect,deter, and eliminate fraud, waste, and abuse, aswell as the appearance of improper conduct in theNavy. DON also takes actions to prevent suchoccurrences in the future. All naval personnel,military and civilians, having knowledge of fraud,waste, and abuse are required by law to make afull disclosure of such activities to the properauthority.

Mismanagement, disclosure, fraud, waste, andabuse are terms that you should be familiar within carrying out your responsibilities toward theIntegrity and Efficiency Program. These terms aredefined below:

Mismanagement—To manage incompetentlyor dishonestly

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Disclosure—The identification and reportingof fraud, waste, and abuse

Fraud—Intentional misleading or deceitfulconduct that deprives the government ofits resources or rights

Waste—The extravagant, careless, or need-less expenditure of government resources,resulting from improper or deficientpractices, systems, controls, or decisions

Abuse—The intentional, wrongful, orimproper use of government resources;that is, misuse of rank, position, orauthority

The Chief of Naval Operations (CNO) isresponsible for carrying out the Navy’s Integrityand Efficiency (I & E) Program. This programis designed to strengthen and focus efforts tocombat fraud, waste, and abuse throughout theNavy. The Naval Inspector General (NAVINS-GEN) supports the CNO in carrying out theseresponsibilities. NAVINSGEN coordinates audits,inspections, and investigations, and providespositive initiatives to reduce fraud, waste, andabuse within the DON. Commanders, commandingofficers, and supervisors/managers are requiredto support the I & E Program by reportingviolations; ensuring prompt, responsible, impartialprocessing of disclosures; and taking properaction to prevent recurrence, thus ensuring thatviolators have amended their ways.

Naval personnel may report fraud, waste, andabuse, which are Standards of Conduct violations,through the following systems:

Chain of command

Navy hot line

Naval Investigative Service (NIS)

Congressional communications

The following paragraphs explain the primaryfunction of each of these reporting systems. Theyalso tell you which reporting systems you andthose you supervise should use to report violationsof Standards of Conduct.

THE CHAIN OF COMMANDREPORTING SYSTEM

It is your duty and obligation to report allfraud, waste, and abuse to proper authority,

which is usually the chain of command. Thisduty applies equally to all DON civilian andmilitary personnel. United States Navy Regula-tions states:

Persons in the Department of the Navyshall report to proper authority offensescommitted by persons in the Departmentof the Navy which come under theirobservation.

This means that Navy law requires you, yoursubordinates, and your superiors to report observ-ed misconduct.

You should provide factual information whenmaking a report. The use of who, what, where,when, and how should be part of your report.

Be sure that all information is given, includingany proof. Confidentiality is ensured by federallaw. The person reporting can request confiden-tiality, if desired, at the time of disclosure;however, as the person making the report, yourname and duty/work station should be includedin the report so that more information can beobtained if needed.

The key points of your disclosure shouldinclude the following information:

Factual statements

Clear and concise statements

Documentation

These disclosures should be made throughyour chain of command. As a Navy managerand/or supervisor, you are primarily responsiblefor taking corrective action; therefore, having thefirst opportunity to resolve the problem is notunreasonable.

The chain of command should be used forreporting matters involving fraud, waste, andmismanagement, unless the chain of command ispart of the problem. Then, and only then, wouldyou and your personnel be justified in using theother reporting systems.

Supervisors are responsible for their employeesand therefore are accountable for their job-relatedconduct. For this reason; it would usually beconsidered improper for supervisors to initiate or

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direct investigations into disclosures lodgedagainst themselves or those that report directly tothem. If more information is needed, a neutralparty should carry out the investigation and makesuggestions for correction.

The following are the chain-of-command stepsfor properly handling matters of fraud, waste, ormismanagement:

1. Discuss the issue with the person committingthe alleged violation so that they will havethe first opportunity of correction; if notresolved, then

2. report the facts to the employee’s super-visor; if still not resolved, then

3. report the problem to the next highersupervisor.

THE HOT-LINE REPORTINGSYSTEM

When a disclosure indicates the issue involvesa unit of the command and the commandingofficer or key management officials are aware ofthe problem, the hot-line reporting system shouldbe used.

Hot-line disclosures are screened by theNAVINSGEN and directed to the proper activity.This is usually the chain of command where thedisclosure originated. The command is responsibleto the NAVINSGEN for making a properinvestigation and taking appropriate correctiveaction. The investigation and corrective actionmust be completed within 60 days, unless theNAVINSGEN allows more time. Confidentialityis also available when using the hot-line reportingsystem to report fraud, waste, abuse, and mis-management. Give your name and be specific withdates, places, names, and facts. All disclosures,regardless of how major or minor, will beinvestigated. No lead is too small. The Navy wantsyou to help in its fight against fraud, waste, abuse,and mismanagement. In fact, incentive awards aregiven for information that saves the governmentmoney and/or its resources.

You should have proof to substantiate yourreport; however, the DON will investigate alldisclosures. Some Navy commands have set uptheir own local hot-line system. All Navy personnelare encouraged to use the Navy hot-line program.Your official bulletin board should have the

hot-line information posted on it. You maycontact hot line by either telephone or mail, asfollows:

1. The phone numbers for DOD activity con-tact points are as follows:

1-800-424-9098 Toll Free(202) 693-5080 Commercial223-5080 Autovon

Or you can write to the following address:

2.

DOD Hot LineThe PentagonWashington, DC 20301

The phone numbers for DON activity con-tact points are as follows:

1-800-522-3451 Toll Free(202) 433-6743 Commercial

288-6743 Autovon

Or you can write to the following address:

The Naval Inspector GeneralAttn: Navy Hot Line, Bldg. 200Washington Navy YardWashington, DC 20374

3. Check your official bulletin board or yourlocal naval telephone directory for thenumbers and addresses of your commandhot line.

Check your local Navy exchange, the localbase newspaper, and your local naval telephonedirectory for other special hot lines for particularprograms.

THE NAVAL INVESTIGATIVESERVICE REPORTING SYSTEM

The Naval Investigative Service (NIS) is thecriminal and investigative organization for theDepartment of the Navy. NIS primarily in-vestigates major crimes and fraud committedagainst the government. Essentially, major crimesare those for which the maximum penalty requiredby law is more than 1 year’s imprisonment or aloss valued at more than $500.

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The types of criminal misconduct that NIS in-vestigates include the following:

Theft of government propertyEmbezzlement of government fundsMaking false official statementsBribery

Submitting false travel claims

Accepting kickbacks from contractorsAccepting gratuities

Misuse of public funds

Fraudulent/illegal contracting procedures forpersonal gain

Misuse of government equipment, materials,or personnel

NIS is listed under INVESTIGATIONS in yourlocal naval base telephone directory.

THE CONGRESSIONALCOMMUNICATIONS REPORTINGSYSTEM

Naval personnel may communicate with amember of Congress on any subject, at any time,unless that communication violates a law orsecurity regulation. Federal law allows anyperson of the armed forces to communicate witha congressman without going through officialchannels. No member of DON may interfere with,or deny, a person’s right to communicate with amember of Congress; however, supervisors shouldadvise their people of their access to the chain ofcommand to resolve problems. Experience hasshown that many situations can be rectifiedthrough the chain of command, thereby savingthe time and cost involved in a congressionalinquiry.

For military personnel, such as supervisorsand/or managers, interference, before or after thefact, is chargeable under the Uniform Code ofMilitary Justice (UCMJ), article 92(a). Whilecivilian personnel are not accountable under theUCMJ, they are subject to appropriatedisciplinary or administrative action if theyinterfere.

The address and phone number where yourcongressman can be reached is as follows:

(Name of local congressman)The CapitolWashington, DC 20515Phone:(202) 224-3121 Commercial

MORAL, WELFARE, ANDRECREATION (MWR) DEPARTMENTAND THE NAVY RESALE SYSTEM

Sailors should work hard and play hard. Partof your job is to ensure the Sailors get theirmoney’s worth during play. Your local MWRdepartment is the place to begin looking forbargains in recreation, recreation equipment, andrecreation facilities.

The Navy Resale System contributes funds forthe MWR program. Tax-free items bought at theExchange, Optical Shop, or other facility canprovide significant savings over prices offeredin town.

The general types of services offered by

out

theNavy resale system include the following:

Retail merchandise sales outlets

Name brand fast-food franchises andconcessions; and over-the-counter foodservice including delicatessens, ice creamshops, snack bar and fast-food facilities,cafeterias, refreshment stands, beer bars,automatic snack bars, and mobile canteens

Package l iquor , wine , malt , andnonalcoholic beverage products

Sales and rentals of video cassette tapesand video cassette recorders

Taxi service, auto rental, truck rental,nonrecreational trailer rental, car carriertop rental, manned phone centers, mini-storage facilities, locker clubs, lodges, newU. S. auto sales in overseas locations, andother personal services

General equipment rentals (see table 6-1)

Vending machines

Concessions or contract servicesprovided by Recreational Services

Coin operated amusement machinesoperated by Recreational Services

Pay telephones

not

not

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Table 6-1.–General Equipment Rental Items

Hospitality Items

Banquet table

Folding table

Bathroom items

Bedroom items

Card table and chairs

Chafing dish

Coffee maker

COT

Electric frying pan

High chair

Ice crusher

Kitchen items

Porta crib

Chair

Bowl set

Rollaway bed

Round table

Miscellaneous

Television

Snowblower

Santa Claus suit

Roller massage

Child restraint seat

Electric heater

Polaroid camera

Instamatic camera

Hand Tools

Bar clamp

Crosscut saw

Fi le

Crowbar

Claw hammer

Ball peen hammer

Pry bar

Wood drill

Hacksaw

Hand planer

Tape measure

Level

Miter box and saw

Plumber’s snake

Propane torch kit

Socket set

Droplight

Square

Level

Wood chisel

Keyhole saw

C-clamp

Pipe wrench

Tin shears

Tap and die set

Lawn and Garden

Weed cutter

Tamp

Pruning shears

Wheelbarrow

Tree trimmer

Tree and crosscut saw

Lawn edger

Wedge

Split maul

Weed cutter

Fence post driver

Fertilizer spreader

Flower spade

Grass snips

Hedge trimmer (hand)

Hedge trimmer (elec.)

Hoe

Stepladder

Ladder

Lawn roller

Lawn mower

Pickax

Pitchfork spade

Post-hole digger

Pruning saw

Rakes

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Table 6-1.-General Equipment Rental Items—Continued

Hospitality Items Power Tools Lawn and Garden

GI can Auto buffer Rototiller

Hand truck Belt sander Shovel and spades

Metal detector Electric drill Sledge hammer

Movie projector Electric planer

Movie screen Extension cord

Slide projector Hammer drill

Refrigerator dolly Hydraulic log splitter

Electric fan Jigsaw

Cleaning Equipment Sander vibrator

Floor edger Sawsall

Floor sander Skill saw

Floor buffer Submersible pump

Wet and dry vac Router

Upholstery head

Rug shampooer

The general types of services offered by recrea- • Recreational equipment rental (see tabletional services include the following:

Bowling centers, golf courses, tenniscomplexes, and physical fitness complexes

Food service operations in bowling centers,golf courses, child development centers,youth centers, and fitness or sports com-plexes

Theaters and theater snack bars (lessvending machines)

Hobby shops including automotive hobbyshops

Sailing facilities, riding stables, golf drivingranges, boat marinas, fishing boats, skeetranges, recreational camping areas, andother similar facilities

6-2)

• Social recreation centers including readinglounges, T.V. lounges, and game rooms

• Child development centers

• Travel services including tickets, tours, andreservations

• Carnivals, circuses, flea markets, andspecial entertainment events

• Vehicle storage

• Officer and enlisted clubs and messes

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Table 6.2.-Recreational Services Equipment Rentals

Athletic/Recreation

Balls

Bats

Gloves

Racquets

Games

Snow ski and water ski equipment

Swim and snorkel gear

Ice/roller skates

Bicycles

Toboggans

Golf club sets

Surfboards

Camping and Picnic

Overnight backpack equipment

Camping trailers and tents

Car luggage racks, trailer hitches, andsafety accessories

Camping gear (example: sleeping bags,cooking equipment, cots, lanterns, icechests, propane/catalytic heaters, and fuel)

Barbecue grills

Portable gas grills

Fishing and Boating

Fishing boats, motors, and trailers

Canoes and paddles

Rafts and paddles

Oars and locks

Life jackets

Boat anchors

Fishing equipment

Rod and reel sets

Fish cleaning sets

Tackle boxes

Fishing guide books

Bait

MWR facilities afloat vary with the size of thecommand. See your local recreational servicesofficer for specific services offered at yourcommand.

SUMMARY

Assistance programs provide Navy policy,guidance, and help in a variety of areas.Assistance programs are important to the welfareand morale of your subordinates and theirfamilies. You should have an understanding ofassistance programs so you can advise and assistyour division.

The Navy’s Pride and Professionalism pro-gram and Core Values provide all naval personnelwith ethical standards of conduct and guidelinesto use in the conduct of their jobs. The PersonalExcellence program stresses individual excellencein a variety of programs from community involve-ment to Drug and Alcohol Abuse prevention.

The Integrity and Efficiency program isdesigned to reduce mismanagement of Navyresources. All naval personnel, military andcivilian having knowledge of fraud, waste, andabuse, are required by law to make full disclosureof such activities to the proper authority.

The Moral, Welfare, and Recreation depart-ment and the Navy Resale System combine toprovide recreation and top quality merchandiseto naval personnel at a reduced cost.

REFERENCES

Administration of Recreation Programs Afloat,NAVMILPERSCOM 1710.3, Naval MilitaryPersonnel Command, Washington, D.C.,1983.

Assignment of Responsibilities to CounteractFraud, Waste, and Related ImproprietiesWithin the Department of the Navy, SEC-NAVINST 5430.92H, Office of the Secretaryof the Navy, Washington, D.C., 1987.

Casualty Assistance Calls and Funeral HonorsSupport (CAC/FHS) Program Coordination,OPNAVINST 1770.1, Office of the Chief ofNaval Operations, Washington, D.C., 1987.

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Naval Military Personnel Manual, NAVPERS15560A, Naval Military Personnel Command,Washington, D.C., 1990.

Navy Family OMBUDSMAN Program, OP-NAVINST 1750.1C, Office of the Chief ofNaval Operations, Washington, D.C., 1990.

Navy Sponsor Program, OPNAVINST 1740.3,Office of the Chief of Naval Operations,Washington, D.C., 1982.

Overseas Duty Support Program, OPNAVINST5352.1, Office of the Chief of Naval Opera-tions, Washington, D.C., 1985.

Personal Excellence Program, OPNAVINST5350.6, Office of the Chief of Naval Opera-tions, Washington, D.C., 1990.

Responsibilities for Morale, Welfare, and Recrea-tion (MWR) Programs in the Navy, O P -NAVINST 1700.7D, Office of the Chiefof Naval Operations, Washington, D.C.,1988.

Standards of Conduct and Government Ethics,SECNAVINST 5370.2J, Office of the Secretaryof the Navy, Washington, D.C., 1989.

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CHAPTER 7

MILITARY REQUIREMENTS

1.

2.

3.

LEARNING OBJECTIVES

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

4.

Upon completion of

State how to assign personnel to the watch,quarter, and station bill.

Recognize the procedures to present personnel 5.at inspections and how to conduct personnelinspections.

Identify the procedures for standing duty as thedivision duty officer and officer of the deck in port.

State the purpose and function of the generalmess advisory board and mess audit board.

Recognize how to mark, wear, and maintainCPO uniforms.

The topics presented in this chapter shouldsound familiar to you, You have been requiredto know these items since you first enteredboot camp. This chapter reviews specifics youmay have forgotten and presents additional infor-mation required at the chief petty officer level.The topics in this chapter include the watch,quarter, and station bill; drill and formation;watch standing; the command general mess; andCPO uniforms.

WATCH, QUARTER, ANDSTATION BILL

The watch, quarter, and station bill is asummary of assignments of the various ship’sbills. Your division officer is responsible formaking the watch, quarter, and station bill assign-ments within your division. However, we knowchiefs train the division officer. You must beaware of the division officer’s duties in order totrain him or her.

CONSIDERATIONS INASSIGNING PERSONNEL

The watch, quarter, and station bill (fig. 7-1)should be posted in a conspicuous place. All

division personnel must have a ready reference tomake sure they report for their assigned dutieswhen required.

It is important that you verify the personnelqualification standards (PQS) of each person inyour division before making assignments to thewatch, quarter, and station bill. Ideally, you wantto assign the most qualified person to each billet.

You should begin making assignments byreferencing your ship’s personnel assignment bill.This will provide you with billet numbers for eachperson assigned to your division. Next fill in therate; name; conditions I, II, III and so forth;abandon ship; and cleaning station columns. Theother columns, such as special sea detail, fire,and landing force, are taken from the ship’s bills.The senior watch officer will request that yourdivision provide people to fill these details. Afteryou have completed your division’s watch,quarter, and station bill, provide each person inyour division with a billet slip (fig. 7-2). The laststep is to provide a copy of the watch, quarter,and station bill to the senior watch officer forapproval and incorporation into the ship’s masterwatch, quarter, and station bill.

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Figure 7-1.-Watch, quarter, and station bill.

PROCEDURES FOR CHANGE TOTHE WATCH, QUARTER, AND

STATION BILL

Frequent personnel turnover is a fact of lifein the Navy. You should check your watch,quarter, and station bill every time someonetransfers, goes on leave or temporary additionalduty (TAD), and before each underway period.The reason for checking is to make sure qualifiedpersonnel from your division are assigned to meetthe requirements placed on the division by thevarious ship’s bills.

When a person transfers, the easy way toupdate the watch, quarter, and station bill wouldbe to place the person’s relief in the billet. Thatmay be possible for a minor job assignment, buta more complicated job assignment may requirea shifting of three or four people just to fill thevacancy caused by one person’s transfer. Thesame type of problems can be encountered whena person is on leave or TAD. Make a temporaryshift of personnel to cover the individual’sabsence.

Make all the necessary shifts required to filla transferring person’s billet with qualified

personnel. Make appropriate changes to yourdivision’s watch, quarter, and station bill andnotify your division personnel of any changes.Next, forward the changes to the ship’s seniorwatch officer so he or she can update the ship’smaster watch, quarter, and station bill.

DRILL AND FORMATION

Since many of your division personnel mayhave just reported from boot camp, they may bemore familiar with the basic drill and formationmovements than you are. Therefore, this sectionreviews basic commands used in drill and forma-tion. It also presents the basic procedures forpresenting personnel and conducting inspections.

Many military functions, such as morningquarters and personnel inspections, require thatyou assemble in formation. The terms used toidentify these formations may vary at differentcommands. For example, the term squad orplatoon at one command may be a detail ,division, or class at another. In this chapter, theterm squad is used to represent a basic formation.Study the diagram in figure 7-3 as you review the

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Figure 7-2.-Billet slip.

following basic terms used to describe positionswithin a formation:

ELEMENT: An individual, squad, section,platoon, company, or other unit that is part ofa larger unit.

FORMATION: An arrangement of elementsin line, in column, or in any other prescribedmanner.

RANK or LINE: A formation of elements orpersons abreast or side by side.

FILE or COLUMN: A formation of elementsor persons placed one behind the other.

FLANK: The extreme right or left of a unit,either in line or in column. The element on theextreme right or left of the rank. A direction ata right angle to the direction an element or aformation is facing.

DISTANCE: Within ranks, the space betweenthe chest of one person and the back of the personahead. Distance between ranks is 40 inches.

INTERVAL: Normally, one arm’s lengthmeasured between individuals from shoulder toshoulder.

GUIDE: The individual on whom a formationor element regulates its alignment. The guide isusually positioned to the right.

PACE: The length of a full step (30 inches formen and 24 inches for women).

Figure 7-3.-Basic formation.

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STEP: The distance from heel to heel betweenthe feet of a marching person. The half step andback step are 15 inches. The right and left stepsare 12 inches.

BASIC DRILL COMMANDS

Remember that the members of any formationmust respond in unison (together) to thecommands given. Let’s review the basic drillcommands:

ATTENTION: The position of attention is thebasic military position. It indicates you are alertand ready for instruction. On the commandATTENTION, stand with your heels together,feet forming an angle of 45 degrees, head andbody erect, hips and shoulders level, and chestlifted. Allow your arms to hang naturally—thumbs along skirt or trouser seams and fingersjoined and in their natural curl. Keep your legsstraight, but not stiff at the knees. Direct yourhead and eyes to the front. Keep your mouthclosed, and pull your chin in slightly. When calledto attention, bring the heel of your left foot tothe heel of your right foot.

PARADE REST: The commands Parade,REST are given only when the formation is atattention; the movement is executed in one count.On the command REST, move your left footsmartly 12 inches to the left. At the same time,join your hands behind your back with your righthand inside the left, holding the left thumb. Keepyour fingers straight while resting your hands inthe small of your back. Stand with both legsstraight allowing your weight to rest equally oneach foot. Do not move and do not talk. Directyour head and eyes as you would in the positionof attention.

AT EASE: On the command AT EASE, youcan relax and shift about, but keep your right footin place. Do not talk. This command may alsobe given when you are not in ranks, as in aclassroom. You must not talk, but you mayremain relaxed.

REST: On the command REST, follow thesame movement restrictions as you would whenat ease, but you may talk.

FALL OUT: (This command is not a dismissalorder.) Upon the command FALL OUT, leaveyour position in ranks but remain nearby. On thecommand FALL IN, resume your place in ranks,and come to attention.

To bring a formation to attention again whenit is in any one of the four positions of rest, theperson issuing commands gives a preparatorycommand (such as Company) before thecommand ATTENTION. If at rest or at ease,come to the position of parade rest on thepreparatory command.

RIGHT FACE: Right face is a two-countmovement started on the commands Right,FACE. On the command FACE: (1) Raise yourleft heel and right toe slightly and turn 90 degreesto the right. Keep your left leg straight but notstiff. (2) Bring your left heel smartly alongside theright heel and stand at attention.

EYES RIGHT: When given the commandsEyes, RIGHT, smartly turn your head 45 degreesto the right on the command RIGHT. Thecommands to turn your head back to the positionof attention are Ready, FRONT. On thecommand FRONT, snap your head to the front.During reviews at which the reviewing officertroops (passes down) the line, Ready, FRONT isnot given after Eyes, RIGHT. At such times, yourhead and eyes should follow the progress of thereviewing officer until you are looking straightahead. Remain in that position as the officercontinues down the line.

ABOUT FACE: About face is a two-countmovement performed on the command: About,FACE. On the command About, shift yourweight to your left leg without noticeable move-ment. On the command FACE, (1) place yourright toe about 6 inches behind and slightly to theleft of your left heel; (2) on the ball of the rightfoot and the heel of the left foot, turn smartlyto the right until you are facing the rear. Yourfeet will be in the position of attention when theturn is completed if you place your right toeproperly behind your left heel.

FALL IN: On the command FALL IN, thesquad forms in line on the left of the right flankmember (squad leader). Each member of thesquad, except the left flank member, raises theleft arm shoulder high in line with the body.Fingers are straight and touching each other, palmdown. Each member, except the right flankmember, turns the head and looks to the right.To obtain a normal interval, move in line so thatyour right shoulder touches the fingertips of theperson to your right. As soon as you are in linewith the person to your right and the person on

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your left has obtained normal interval, returnsmartly and quickly to the position of attention.

CLOSE INTERVAL: Close interval is thehorizontal distance between the shoulder andelbow when the left hand is placed on the left hip.The command At Close Interval requires the samemovements as for normal interval. The onlyexception is that each member places the left handon the beltline above the left hip with the elbowin line with the body. The heel of the hand restson the hip with fingers straight, touching eachother, and pointing down. The left flank membermakes the adjustment without moving the arms.

TO ALIGN THE SQUAD: On the commandsDress Right, DRESS (normal interval) orAt Close Interval Dress Right, DRESS (closeinterval), members of the squad align themselveswith each other.

On the command DRESS, all members, exceptthe right flank member, smartly turn their heads,look, and align themselves to the right. At thesame time, all members, except the left flankmember, smartly raise their left arm shoulder high(normal interval) or place their left hand on theirhip (close interval). The right flank member standsfast and looks to the front. Using the right flankmember as a guide and taking short steps, theother members align themselves and obtain theproper interval. Whether commanded to dress tothe right or to the left, use only the left arm toobtain the interval, and hold that position untilthe next command is given.

When the alignment is correct, the commandsReady, FRONT are given. On FRONT, headssnap to the front and arms drop to the side.

TO COVER OFF: This command is givenwhen the formation is in column or in two or moreranks. On the command COVER, the forwardmember or forward rank stands fast. You thenmove, left or right, to position yourself directlybehind the person in front of you whilemaintaining a 40-inch distance.

FROM NORMAL TO CLOSE INTERVAL:The commands Close, MARCH tell members tomove from normal interval to close interval whilein line. On MARCH, all members, except theright flank member, pivot to the right on the ballof the right foot and step off on the left foot (onecount). They march forward until they obtain an

approximate close interval, halt, and face to theleft. They then form at close interval, as alreadydescribed. All members lower their arms when themember on their left has obtained the properinterval.

FROM CLOSE TO NORMAL INTERVAL:The commands Extend, MARCH tell membersto change from close interval to normal intervalwhile in line. On MARCH, all members, exceptthe right flank member, pivot to the left on theball of the right foot and step off on the left foot(one count). They march forward until they ob-tain an approximate normal interval, halt, andface to the right. Then they form at normalinterval. Each member drops the left arm whenthe member to the left has obtained the properinterval.

DOUBLE-ARM INTERVAL: The commandsTake Interval To The Left, MARCH tell membersat either close or normal interval to form a double-arm interval. At the command MARCH,members move as when extending ranks, exceptthat each member raises both arms and touchesthe fingertips of the members on either side toobtain the double-arm interval. (The right flankmember raises only the left arm, and the left flankmember raises only the right arm.) Each membersmartly lowers the right arm after obtainingproper interval to the right and lowers the left armwhen the member on the left lowers the right arm.

FROM DOUBLE-ARM TO NORMAL IN-TERVAL: The commands Assemble To The Right,MARCH instruct members to obtain normal in-terval from double-arm interval. Execute thismovement as you would in closing, but form atnormal interval.

TO COUNT OFF: The commands Count,OFF instruct members to count off while in a rankor line. On the command OFF, all members,except the right flank member, smartly turn theirheads and look to the right. The right flankmember shouts ONE, the next member in rankor line shouts TWO, and so on, in quick cadenceon down the line through the left flank member.As each member shouts the appropriate number,he or she turns the head smartly to the front.

Members in a file or column count off whengiven the commands From Front To Rear,Count, OFF. Each member, starting with thesquad leader, turns the head to the right and

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shouts the appropriate number while turning thehead back to the front.

TO OPEN RANKS: The commands OpenRanks, MARCH are given when more distancebetween ranks is required; for example, for apersonnel inspection. On the command MARCH,the front rank takes two paces forward, thesecond rank takes one pace (30 inches) forward,and the third rank stands fast. Each succeedingrank takes two, four, or six (15-inch) stepsbackward. Each rank automatically dresses rightas soon as it halts. When the alignment iscompleted, the commands Ready, FRONT aregiven.

TO CLOSE RANKS: The commands CloseRanks, MARCH tell members to close ranks. Onthe command MARCH, the front rank standsfast, the second rank takes one pace forward, thethird rank takes two paces forward, the fourthrank takes three paces forward, and so on. Youwill halt and cover without command.

HAND SALUTE: Begin a salute on the com-mands Hand, SALUTE, and complete the saluteon the command TWO. On the commandSALUTE, raise your right hand smartly. At thecommand TWO, return to attention by movingyour hand smartly in the most direct manner backto its normal position at your side. (If you are information, the preparatory command Ready willbe given before the command of execution,TWO.)

UNCOVER: Many religious ceremonies, andusually inspections, require you to remove yourhat when given the commands Uncover, TWO.On the command Uncover, raise your right handas in the hand salute, but grasp the brim of yourhat with your fingers instead of touching yourforehead. Hold this position until the commandTWO is given (you may lift your hat slightly soas not to muss your hair); then return your handand your hat to your side in the most directmanner, but do not remove it with an exaggeratedor sweeping motion. On the command Cover,grasp your hat with both hands and place itsquarely on your head. Drop your left handholding the hat brim. On the command TWO,drop your right hand to your side.

DISMISSED: The single command DIS-MISSED is used to secure an individual or anentire formation.

PRESENTING PERSONNEL

You should now feel secure in issuing the basicdrill commands to your division; you are readyto present the division at an inspection, quarters,or a ceremonial event. Additional information ondrill can be found in Drill and Ceremonies Manualand Interior Guard Manual, SECNAVINST5060.22.

Inspections

Your division should fall into a formation oftwo or four ranks. The ranks should be formedaccording to height with the tallest personnelon the end of the formation from which theinspecting party will arrive. Usually, the tallestperson will be on your left as you face theformation. Have the division open ranks andstand at parade rest while awaiting the inspectingparty to arrive. You or the division officer shouldfall in so that the inspecting party will approachfrom the right. Call the division to attentionwhen the inspecting party approaches. When theinspecting party is approximately six paces fromyou, order “HAND SALUTE.” Greet theinspecting officer with “Good Morning (After-noon) Commander (Captain, Commodore,Admiral).” The inspecting officer will then returnyour salute, you should now order “TWO.”

You should now address the inspecting officeras follows: “ division, ready foryour inspection, sir/ma’am. person-nel, no authorized absentees (or the number ofauthorized absentees).” You should be preparedto give the inspecting officer an exact breakdownof your personnel, if requested.

As your division is being inspected, you shouldfall in just behind the inspecting officer, on theside away from the rank being inspected.

Some inspecting officers may request thedivision to be uncovered. At the request give thecommands “About Face,” “Uncover,” and“Two.” At the completion of the inspection, givethe commands to “Cover,” “Two,” “AboutFace,” and “Close Ranks.”

You should then place your division at“Parade Rest” until the inspecting party hasfinished inspecting the next division, you may thenplace the division “at ease.” Unless given ordersotherwise, your division should remain at“Division Parade” until the entire inspection hasbeen completed.

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Quarters

Quarters is a little more informal than aninspection. You still need to have the division fallin to ranks of two or four. When the divisionofficer approaches, have the division come to“Attention.” Salute the division officer and greethim or her with “Good morning sir/ma'am.” Thedivision officer will then return your salute. Youwill then inform the division officer of the disposi-tion of the division, and he or she will sign themuster report. The division officer will then passon any word received at officer’s call. At this time,if he or she desires to inspect the division, youshould call the division to “Attention.” Give thecommand to “Open Ranks,” then “Uncover,”and "Two" (if required). You should follow thedivision officer during the inspection and recordany deficiencies he or she may notice. At theconclusion of the inspection, give the commands“Cover, “ “ T w o , ” and “Close Ranks.” If thedivision officer desires, he or she may go over thediscrepancies. At the conclusion of quarters givethe command “Dismissed.”

Ceremonies

Covering every type of ceremonial presentationyou may make is outside the scope of this text.You can, however, review the specific ceremonyin Drill and Ceremonies Manual and InteriorGuard Manual, SECNAVINST 5060.22. Thereare a few general guidelines you can follow. Yourdivision should fall in to formation just as theyare to be inspected. Your department head willgenerally be out in front of the formation andrequire a report. The department head will callthe department to Attention and say “divisionofficer’s report.” At the appropriate time youshould salute and reply with ‘‘ division,no authorized absences (or the number ofabsentees), ” The department head will return yoursalute. The department head will also place thedepartment “At Ease,” “Parade Rest,” or“Attention” at the appropriate times.

At ceremonial events the national anthem isusually played, You will place the division at“Attention” (if not already at “Attention”) andsalute the flag on the first note of the anthem.

WATCH STANDING

Your watch standingincrease upon advancement

responsibilities willto chief petty officer.

You will be responsible for the overall operationof your division or department. This sectiondescribes the additional responsibilities you willhave when standing divisional duty officer andofficer of the deck (in port).

DIVISIONAL DUTY OFFICER

The divisional duty officer is responsible forrepresenting the division officer and the functionof the division during the division officer’sabsence.

Basic duties and responsibilities include thefollowing:

•

•

••

Fulfilling the function of division officerduring his or her absence

Frequently inspecting divisional spaces toensure physical security and good orderand discipline

Making eight o’clock reports to the depart-ment head

Performing other duties as required byyour division and command

OFFICER OF THE DECK IN PORT

The officer of the deck (OOD) in port is anofficer or petty officer who has been designatedby the commanding officer to be in charge of thecommand. When standing OOD, you can berelieved by the command duty officer (CDO) if heor she deems it necessary for the safety of the com-mand. The chain of command is twofold. First,the OOD reports directly to the commandingofficer for the safety and general duties of thecommand. Second, the OOD reports to the CDOfor carrying out the ship’s routine. The followingpersonnel report directly to the OOD:

••

•

•

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The junior officer of the watch for trainingand assigned duties

The communications watch officer fortransmission and receipt of operationaland general messages

The quartermaster of the watch for assignedduties

The boat coxswains or boat officer for thesafe and proper operation of ship’s boats

• The officer or petty officer assigned to thegangway watch for the maintenance of aproperly posted and alert watch on thecrew’s brow or accommodation ladder

• The petty officer of the watch for super-vising the quarterdeck watch, anchorwatch, fog lookouts, brow and docksentries, and security watches and patrolsunder the control of the OOD

• The duty master-at-arms for maintenanceof good order and discipline and securityand processing of prisoners

• The sergeant of the guard for direction ofthe guard in performing their duties, if aMarine Detachment is assigned

The duties, responsibilities, and authority ofthe OOD are clearly defined in the StandardOrganization and Regulations of the U.S. Navy(SORN), OPNAVINST 3120.32B. You shouldperiodically review the duties, responsibilities, andauthority of the OOD to make sure they have notchanged. The following list of OOD duties,responsibilities, and authority is an excerpt fromarticle 441.3, Officer of the Deck (In Port):

(1) Keep continually informed of theunit’s position, mooring lines or groundtackle in use, tide and weather informa-tion, the status of the engineering plant,the status of the unit’s boats, and all othermatters affecting the safety and securityof the unit; and take appropriate action toprevent grounding, collision, dragging orother danger in accordance with the U.S.Coast Guard Navigation Rules of the Roadand the orders of the commanding officerand other proper authority.

(2) Ensure that required reports tothe OOD (in-port) concerning tests andinspections and the routine reports ofpatrols, watches, and sentries are promptlyoriginated and that the quarterdeck watch,lookouts, anchor watch, and other sentriesor patrols are properly posted and alert.

(3) Ensure all required entries aremade in the deck log, and sign the log atthe conclusion of the watch.

(4) Carry out the routine as publishedin the” plan of the day, ensuring the ex-ecutive officer, CDO (in-port), and depart-ment heads are informed of circumstanceswhich require changes in routine or otheraction on their part.

(5) Initiate and supervise unit’s evolutionsor operations as necessary.

(6) Attend one of the unit’s gangways,and supervise watch personnel assigned toattend other gangways.

(7) Supervise the operation of the unit’sboats in accordance with the boat schedulepublished by the executive officer and theorders of the commanding officer and otherproper authority.

(8) Ensure that all boats are operated safelyand all boat safety regulations are observed.Give particular attention to changes in windor sea conditions and notify the CDO (in-port)when the suspension of boating is advisable.Ensure that boats are not overloaded, andreduce the allowed loading capacity whenweather conditions require caution. Recom-mend use of boat officers to the CDO whenweather or other conditions warrant. Requireboat passengers to wear life jackets whencondi t ions are hazardous ; ensurethat all boats assigned trips are fully equipped,manned, fueled, and in working order; pro-vide harbor charts to boat coxswains; giveboat coxswains trip orders and orders to shoveoff.

(9) Supervise the general announcingsystem, the general and chemical alarms, andthe whistle, gong, and bell in accordance withthe orders of the commanding officer andU.S. Coast Guard Navigation Rules of theRoad.

(10) Permit no person to go aloft on mastor stacks or to work over the side of the shipexcept when wind and sea conditions permit,and then only when all safety precautions areobserved.

(11) Display required absentee pennants,colors, and general information signals, andsupervise the rendering of honors.

(12) Make all required reports to the CDO(in-port), executive officer, and commandingofficer as directed by standing orders to theOOD.

(13) Supervise and conduct on-the-jobtraining for the JOOW, the JOOD, andenlisted personnel of the quarterdeck watch.

(14) Assume other responsibilities as thecommanding officer may assign.

(15) Supervise striking of the ship’s bellto denote the hours and half-hours fromreveille to taps, requesting permission of thecommanding officer to strike eight bells at0800, 1200, and 2000.

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COMMAND GENERALMESS ADVISORY

As the leading chief petty officer in yourdivision, you may need to represent your divisionon the general mess advisory board or explain itsfunction to your division representative. Addi-tionally, as a chief petty officer, you may also bedetailed to serve as a member on the mess auditboard.

This section reviews both the commandgeneral mess advisory board and the mess auditboard to assist you in fulfilling your respon-sibilities as a chief.

GENERAL MESS ADVISORY BOARD

The command general mess advisory boardsolicits recommendations from the command’senlisted personnel regarding operation of themess. The board considers suggestions, comments,and any other matters relating to the operationof the mess. In general, the objective is to improvethe operation of the mess.

The board consists of one enlisted represen-tative from each department or division ensuringadequate representation of the crew’s enlistedpersonnel. The board is chaired by the foodservices officer. Additional board members maybe assigned at the discretion of the commandingofficer.

MESS AUDIT BOARD

The mess audit board is responsible forauditing the mess treasurer’s account in thechief petty officer’s mess and the wardroommess. Audit board members cannot be con-nected with management of the mess theyaudit. The audit board is composed of atleast three members. The senior memberis an officer and should be senior to thecustodian of the mess funds. The other mem-bers may be commissioned officers, warrantofficers, chief petty officers, or qualified pettyofficers.

The audits are conducted monthly. The auditreport is then forwarded to the commandingofficer via the executive officer before the 10thday of the following month.

The audit board is governed by U.S. NavyRegulations, 1990, while auditing the books ofaccounts and records of the mess. Guidancerelative to performance audits of local messesare provided in NAVAUDSVCINST 7540.6(NOTAL), Audit Program No.39, Local Auditsof Messes Afloat.

CPO UNIFORMS

The styles of the CPO uniform have changedsince the founding days of the U.S. Navy.However, the caliber of the people who wear theuniform and the pride and professionalism theydisplay have not changed.

You undergo one of the most significantchanges of your naval career the day you put onthe hat. Just as your responsibilities change, youruniform and accessories also change.

This section describes the uniforms andaccessories you will wear on different occasions.It also tells you how to maintain your uniformsso that they reflect your pride and professionalismin the Navy.

Before actually being advanced or frocked,you will attend the Chief Petty Officer Indoctrina-tion Course. This course will provide you with anin-depth, up-to-date, and hands-on introductionto your new uniform requirements.

THE HISTORY OF THECHIEF PETTY OFFICER

When was the term chief petty officer firstused? Where did our uniform styles originate?These questions have generated many discussionsin CPO messes over the years.

According to naval records, the first mentionof the chief petty officer was on a ship’s musterroll in 1775. This brief mention of the CPO titledid not resurface in naval history for almost 100years.

The history and design of our uniform dateback to the 18th-century Continental Navy of1776. With the colonization of the new world, aneed for a navy became apparent. Many of thepeople that settled our nation learned theirseafaring skills in England. These sailors broughtnot only their seafaring skills, but also theircustoms, traditions, and uniform similarities tothis country. Many of our uniform styles can betraced to the British Royal Navy. As you can see

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Figure 7-4.-Evolution

in figure 7-4, many of the original uniform styleshave remained throughout the years.

In 1865 a Navy regulation reestablishedthe term chief petty officer. The term wasfirst used for the ship’s master-at-arms. It madehim responsible for preservation of order andobedience to all regulations. An excerpt from an1865 regulation tasked the senior enlisted personwith the following responsibility:

The Master-at-Arms will be the chief pettyofficer of the ship in which he shall serve.All orders from him in regard to the policeof the vessel, the preservation of order,and the obedience to regulations must be

of the CPO uniform.

obeyed by all petty officers and others ofthe crew. But he shall have no right tosuccession in command, and shall exerciseno authority in matters not specifiedabove.

This, however, did not establish the term chiefas a rate. It was merely a function rather than arate. Petty officers were divided into petty officersof the line and petty officers of the staff. Chiefreferred to the principal petty officer of the ship.

The next reference to the term chief was inU .S. Navy Regulation Circular Number 41 dated8 January 1885 (fig. 7-5). Here again the termchief refers to a function or title rather than a rate.

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Figure 7-5.-U.S. Navy Regulation Circular No. 41.

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Figure 7-6.-Navy Department General Order No. 409.

7-12

The men filling these chief billets were actuallyfirst and second class petty officers. The classifica-tion of these ratings can be seen in figure 7-5.

A significant change to uniforms and ratingbadges occurred in 1886. The first class pettyofficer wore a double-breasted, sack-style jacket,while petty officers second class and belowretained the traditional jumper-style uniform. Thefirst class rating badge consisted of an eagle, threechevrons, and a specialty mark. The master-at-arms rating badge, however, consisted of an eagle,three chevrons, a specialty mark, and three arcs

or rockers. This jacket along with the master-at-arms rating badge falsely led many people tobelieve this was a chief petty officer uniform.

On 25 February 1893, President BenjaminHarrison issued an executive order outlining thepay scale for Navy enlisted personnel. Thisexecutive order was issued to the Navy as GeneralOrder Number 409 (fig. 7-6). This general orderdivided the pay scale into rates and for the firsttime listed CPOS. Both General Order Number409 and U.S. Navy Regulation Circular Number1 (fig. 7-7) listed chief petty officers as distinct

Figure 7-7.-U.S. Navy Regulation Circular No. 1.

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rates, These documents went into effect on1 April 1893. All evidence indicates this as thedate the chief petty officer rate was actuallyestablished.

So, what is the answer to the question, Whenwas the term chief petty officer first used in theNavy? Based on U.S. Navy Regulation CircularNumber 1, the majority of first class petty officerratings were automatically reclassified as chiefpetty officer ratings.

On 24 September 1894 General Order Number431 was issued. This general order changed thethree rockers on the master-at-arms rating badgeto one rocker. We know this as the rating badgeof the CPO today. This general order alsochanged first, second, and third class chevrons totheir present-day form,

THE CPO UNIFORM

You should consider a neat, clean uniform tobe a tool of your trade. As a CPO, your tradehas changed to the business of getting things doneby your subordinates. A CPO who presents asharp military appearance usually gets things donebetter than the nonprofessional who presents apoor appearance. Think about who receives themost respect: the person who presents a sloppyappearance or the one who wears the uniform withpride. A person who rates respect looks the part.

REQUIRED AND OPTIONALUNIFORMS

The uniforms prescribed for you as a CPO aredivided into four separate categories. They are

Figure 7-8.-Dinner dress uniforms.

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dinner dress, ceremonial, service dress, andworking uniforms.

Figure 7-8 shows dinner dress uniforms. Younormally wear these uniforms to the types ofofficial functions that are equivalent to yourcivilian counterpart’s black tie function. Thedinner dress blue jacket and dinner dress whitejacket uniforms are optional. If the officialfunction calls for this type of uniform, you shouldwear it if you have one. If you do not have theuniform, you may wear another prescribeduniform. You should already have combinationsof the dinner dress. blue, dinner dress white, andtropical dinner dress blue uniforms. Although youmay not always wear the same components forthese functions, you will wear the same basicuniform.

Full dress blue and full dress white arevariations of the service dress blue and servicedress white uniforms. You wear medals on theseuniforms instead of the ribbons that you wear onservice dress uniforms.

You normally wear full dress uniforms onceremonial occasions. Such occasions includechange of command, official visits with honors,and visits to foreign men-of-war and officialdignitaries.

Figure 7-9 shows service dress white andservice dress blue uniforms. You normally wearthis uniform to official functions that do notprescribe formal dress, dinner dress, or full dressuniforms. The civilian equivalent would be a coat-and-tie function. Service dress blue yankee (fig.7-9), an optional uniform made up of components

Figure 7-9.-Full and service dress uniforms.

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from required uniforms, may be prescribed forofficial functions. The service dress blue uniformis authorized for travel during any uniformseason unless civilian clothing is required forsafety.

Figure 7-10 shows summer white, winter blue,summer khaki, and tropical white uniforms. Younormally wear these uniforms for office work,

watch standing, liberty, and business ashore.These uniforms may be prescribed as the uniformof the day. You normally wear the tropical whiteuniform in tropical climates. You may also wearit for the same occasions as the other serviceuniforms.

Figure 7-11 shows the working uniforms—working khaki, winter working blue, and tropical

Figure 7-10.-Service uniforms.

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khaki. You wear these uniforms when workingconditions for service uniforms are unsafe or theservice uniform would become unduly soiled. Younormally wear the tropical khaki uniform intropical climates.

If you are assigned to an aviation command,you have the option of wearing the aviation workinggreen uniform (fig. 7-11). You may wear this uni-form, if authorized, when working at aviation

activities, flying, or aboard vessels servicingaircraft. You may also wear this uniform atadvanced bases when prescribed by the seniorofficer present.

CORRECT WEARING OFTHE CPO UNIFORM

As a member of the United States Navy, youshould set and maintain the highest standards of

Figure 7-11.-Working uniforms.

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uniform appearance. Your attention to detailreflects the Navy’s image to the public. Youshould keep your uniform scrupulously clean.The gold bullion lace, devices, and insignia shouldbe bright and free from tarnish and corrosion.When you are in uniform, no articles, such aspencils, pens, jewelry, combs, large wallets,cigarettes, or pipes, should protrude or bevisible on your uniform. If you wear a cross,pendant, or some other emblem, you should makesure it is not visible. You may wear wristwatches,bracelets, and rings while in uniform, but theyshould be in good taste. You may wear tie clasps,cuff links, and shirt studs as outlined in U.S. NavyUniform Regulations (Uniform Regs).

When wearing jewelry you should not wearsomething that would create a safety hazard foryou or one of your workers. You should avoidwearing any eccentric or faddish articles that maybring attention to you in either a negative orpositive manner.

You may wear sunglasses when not in militaryformation, but they should be conservative instyle.

You should wear undergarments that preservethe dignity and appearance of your uniform,

Figure 7-12.-CPO caps.

CPO Caps and Their Insignias

The most dramatic change to your uniformis your cap. As a CPO, you wear a combinationcap similar to the type worn by commissionedofficers except with minor changes. One of thesechanges is the cap device, the CPO insignia. Thisinsignia is a fouled anchor with the silver lettersUSN superimposed on the anchor shank. Insteadof a gold chin strap, as on the officer’s cap, thechin strap on the CPO cap is leather, covered withblack vinyl. This black vinyl gives the appearanceof patent leather. The strap adjusts by twoadjusting loops, one on either end. The chin strapattaches to the cap with two small Navy eagle giltbuttons. When you wear the cap, the eagles onthese buttons should be upright. When assemblingthe combination cap, you should make sure therivet (centered in the adjustment loop) will be onyour left when wearing the cap. You wear the capsquarely on the head, 1 1/2 inches above theeyebrow. You may also wear a garrison cap ortropical helmet if it is prescribed by properauthority. You wear a tropical helmet with aminiature cap device centered on the front of thehelmet in tropical climates. Women CPOs maywear either a tiara or the combination cap withthe formal dinner dress white and blue uniform.(See fig. 7-12 for the required CPO caps.)

Rating Badges

The CPO rating badge is similar to the firstclass rating badge. The basic difference is theposition of the eagle. On the CPO badge, it isperched on the center point of the rocker or arc.The chevrons on the male rating badge measure3 1/4 inches across; on the female rating badge,they measure 2 1/2 inches across or about 3/4 thesize of the male rating badge. The color of therocker and chevrons depends on each particularuniform. (See fig. 7-13 for the CPO rating badge.)

The rating badge worn on the dress blueuniform has a navy blue background with the

Figure 7-13.-CPO rating badge.

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eagle and specialty mark embroidered in silverthread. The rating badge and service stripes areeither scarlet or gold, depending on the length andtype of service. Service stripes are discussed laterin this section.

The white dinner dress jacket rating badge hasa white background. The rating badge andservice stripes are blue or gold, depending on thelength and type of service. The specialty mark issilver. The aviation working green uniform ratingbadge has a forest green background. The ratingbadge, service stripes, and specialty mark are navyblue. You do not wear a rating badge on thetropical dinner dress blue, summer white, servicedress white, full dress white, dinner dress white,or khaki uniforms.

Senior and Master Chief Petty Officer

The rating badge of a senior or masterchief petty officer varies only slightly from

the chief petty officer’s rating badge. The seniorchief petty officer rating badge has a silver starcentered about 1 inch above the head of the eagle.On the cap and collar devices, the star is in thering of the stock. The master chief petty officerrating badge has a star placed about 1 inch aboveeach wing tip. The stars on the cap and collardevices are placed on the upper edge of the stock.The stars for senior and master chief are madeof embroidered silver thread. When a master chiefpetty officer is assigned as the command masterchief, the specialty mark is replaced with a silverstar. If assigned to a billet as fleet or force masterchief, the stars will be of embroidered gold thread.The master chief petty officer of the Navy wearsthree gold stars in a line above the eagle. A goldstar replaces the rating specialty mark. Thecollar and cap devices also have three stars, butthe center star is slightly higher than the othertwo (see fig. 7-14).

Figure 7-14.-Rating badges and collar devices worn by senior, master, command, and fleet/force chiefs and the masterchief petty officer of the Navy.

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Collar Devices

Figure 7-15.-CPO collar device.

Figure 7-15 shows the CPO collar device. Onshort-sleeved shirts, wear the device with thecrown pointing toward the corner of the collar.Center the device on a vertical axis intersectingthe USN insignia 1 inch from the front andlower edges of the collar. Figure 7-16 shows anexample of the collar device on short-sleevedkhaki and summer white shirts.

You position collar devices differently on long-sleeved shirts. On these shirts wear the collardevice parallel to the forward edge of the collar.Center it at a point 1 inch from the forward edgeand 1 inch down from the top. Figure 7-16 showsan example of the positioning of the collar deviceson the blue and long-sleeve khaki shirts and theshort-sleeve white and khaki shirts.

You wear service stripes, or hash marks, foreach 4 years of service. The service stripe for the

Figure 7-16.-Positioning of collar devices.

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male CPO is 7 inches long and 3/8 inch wide. Thefemale CPO’s service stripe is 5 1/4 inches longand 1/4 inch wide. When you wear more than oneservice stripe, position them 1/4 inch apart. Thecolor of the service stripe differs with variousuniform requirements and the years of service.CPOs wear scarlet service stripes when they haveless than 12 years’ total military service or havea break in their good conduct eligibility require-ments. Receiving the Navy’s Good ConductMedal, the Reserve Meritorious Service Award,or the Marine Corps Good Conduct Medaldepends on your conduct, performance, andreliability. Gold hash marks require that you haveat least three service stripes. To continuewearing the gold hash marks requires that youcontinue to meet the eligibility requirementsthroughout your career. If you fail to maintainthe eligibility requirements for the continuedwearing of gold, the 12-year eligibility requirementwill be reestablished. A courts-martial convictionalso terminates your eligibility to wear gold hashmarks.

A person who was authorized to wear goldhash marks upon transfer to the Fleet Reserve mayretain this right if recalled to active duty. In thiscase, Fleet Reserve time is considered neutral timefor determining additional service stripes.

Awards

An award is a term used to denote anydecoration, medal, badge, ribbon, or attachmentgiven to a person. Personnel wear all awards ina certain precedence or order as part of theuniform. Precedence indicates relative importanceof the award. Awards are divided into thefollowing five categories:

•••••

Military decorations

Unit awards

Nonmilitary decorations

Campaign and service awards

Foreign decorations and non-U. S, serviceawards

PRECEDENCE. —You may wear all awardsaccording to their order of precedence as shownin chapter 10 of Uniform Regs. Awards andUnited States decorations received from otherservices may be worn below all naval awards.

MILITARY DECORATION. —A personreceives this award for an act of exceptionalbravery or heroism or for particularly meritoriousservice. These awards receive the highestprecedence and include the following decorations:

• Medal of Honor

• Navy Cross

• Purple Heart

• Navy Commendation Medal

• Navy Achievement Medal

UNIT AWARDS. —These awards are similarto military decorations. You may receive theseawards for a particular time period specified ina citation. They are usually worn by all personnelwho were attached to a unit or command duringa particular time period specified in thecitation. You may wear unit awards belowmilitary decorations. They include the followingdecorations:

Presidential Unit Citation Ribbon

Navy Unit Commendation Ribbon

Meritorious Unit Commendation Ribbon

Navy E

NONMILITARY DECORATIONS. —Youreceive these decorations for various personalactions. If you are awarded more than one non-military decoration, the dates the awards areaccepted will establish their precedence. Oneexception to this rule is when two or more awardsfor the same agency are authorized. The rules forprecedence established within that agency will thenapply. Additionally you may wear a nonmilitaryaward on your uniform only if you wear itwith at least one military award. Nonmilitarydecorations rank next in line after unit awards inorder of precedence. A partial listing of non-military decorations follows:

Presidential Medal of Freedom

Gold Lifesaving Medal

Silver Lifesaving Medal

Medal of Merit

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CAMPAIGN AND SERVICE AWARDS. —You may receive these awards for participationin a war, campaign, or expedition, or to denotecreditable service requirements. The following aresome of the service awards:

Good Conduct Medal

Naval Reserve Meritorious Service Medal

Expeditionary Medals

Sea Service Deployment Ribbon

Armed Forces Reserve Medal

Naval Reserve Medal

FOREIGN DECORATIONS AND NON-U.S. SERVICE AWARDS. —You are authorizedto accept military decorations from foreigngovernments. You may wear these decorations inthe order you receive them below all other U.S.awards, provided these awards are listed inchapter 10 of Uniform Regs. If unlisted, you mayrequest permission to wear the award from theNavy Board of Awards and Decorations or theNavy Uniform Matters Office. The countryawarding the decoration determines the preced-ence of the awards if you have earned two ormore. The following examples are authorizeddecorations awarded by Vietnam:

••••

National Order of Vietnam

Military Merit Medal

Army Distinguished Service Order

Air Force Distinguished Service Order

Foreign unit awards are awards that do notrequire individual legislative authorization. Youwear them below all other foreign personaldecorations. The following lists foreign unitawards in order of precedence:

• Philippine Republic Presidential Unit Cita-tion

• Korean Presidential Unit Citation

• Vietnam Presidential Unit Citation

You wear non-U.S. service awards immediatelybelow all foreign unit awards. Some of them areas follows:

• Philippine Defense Ribbon

• United Nations Service Medal

• United Nations Medal

You wear foreign service awards below non-U.S. service awards. You wear at least one U.S.award when wearing a foreign service award.

Some foreign awards are attached to longribbons or sashes that you wear around your neck;others are designed as pins that attach to youruniform. You may wear these types of awards onsevice dress or full dress uniforms while servingin that country. You are not authorized to wearforeign awards after completion of that tour ofduty.

MARKSMANSHIP AWARDS. —If authorizedto wear marksmanship awards, you wear themimmediately above the left pocket. You shouldarrange them according to their seniority, frominboard to outboard, except for the President’sHundred Award, which you wear on the leftshoulder. You may wear up to three authorizedbadges in a row. You may wear only twoExcellence in Competition Badges for a specificweapon if you have not earned the DistinguishedBadge for the same weapon. You may wearDistinguished Badges or Excellence in CompetitionBadges received while in another service. Whenwearing ribbons, place the badges directly belowthe bottom row of ribbons. If you are wearinglarge medals, place the badges immediately belowthe bottom row of medals so that only themedallion of each badge is visible. You shouldnot wear badges with miniature medals. The orderof precedence for marksmanship badges is listedbelow:

U.S. Distinguished International ShooterBadge

Distinguished Marksman Badge

Distinguished Pistol Shot Badge

National Trophy Match Rifleman Ex-cellence in Competition (Gold) Badge

IDENTIFICATION BADGE AND BREASTINSIGNIA. —In addition to your awards and

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decorations, you may have qualified for a specialtyinsignia or be assigned to a special unit or duty.The specialty insignia is awarded for a warfarespecialty or other specialties in which you mayhave qualified. Identification badges represent thepresent unit or job to which you are assigned. Anidentification badge might identify a specialcommand or a function within a command. (Forexample, if you are assigned to recruiting duty,you would wear a recruiting command badge.Another example could be a command careercounselor or command chief petty officer badge.)A complete listing of badges and insignias, andthe guidelines for wearing them, may be foundin chapter 10 of the Uniform Regs. T h efollowing special rules apply to the wearing ofbadges and insignia:

•

•

•

You may not wear a breast insignia or abadge awarded by another armed serviceor nation unless authorized by theSecretary of the Navy.

You may wear two warfare specialtyinsignias. If more than two are earned, youhave the option to choose which two youwill wear.

You may wear a maximum of two awards.They can either be two warfare insignias,or one warfare specialty insignia and oneother insignia, such as the Aircrewman,Explosive Ordnance Disposal, or Under-water insignia. (A badge may also be wornin addition to the two insignias.)

Consult chapter 10 of Uniform Regs for theproper wearing and positioning of badges andinsignias.

Wearing of Awards

You should wear any decoration, medal,badge, ribbon or attachment awarded to you inthe order of precedence and in the mannerdescribed in U.S. Navy Uniform Regulations. Youshould proudly display all awards presented toyou.

You should be constantly aware of theappearance of your awards. Are the awardsfrayed? Do they present an unsightly appearance?It is a good idea to have an extra set of ribbonsfor inspections and routine replacement.Remember—you’re a professional—look the part!

RIBBONS. –You wear one, two, or threeribbons in a single row. When authorized morethan three ribbons, you wear them in horizontalrows of three each. If not in multiples of three,the uppermost row contains the lesser number.Arrange the center of this row over the center ofthe one below it. Wear your ribbons without inter-vals between ribbons or rows of ribbons. Arrangethe lower edge of the bottom row centered 1/4inch above the left breast pocket and parallel tothe floor. To prevent covering the ribbons by thecoat lapel, align them so that their border alignswith the left side of the pocket. The upper rowsmay also contain two ribbons each. Align thesetwo rows with the left border of the lower rowsto prevent covering them by the coat lapels also.Arrange ribbons on the right breast with the loweredge of the bottom row centered 1/4 inch abovethe right breast pocket and parallel to the floor.On uniforms with no right breast pocket, arrangeribbons in the same relative position as if therewere a pocket.

You may sew ribbons to uniforms or arrangethem on bars to be attached to the uniform. Donot impregnate ribbons with preservatives thatchange their appearance or enclose them with atransparent covering of any sort.

Arrange ribbons in order of precedence inrows from top down and inboard to outboardwithin rows. If you possess three or more ribbons,wear the three senior ribbons; you may wear allif desired. If you only wear one row of ribbons,wear the three senior ribbons.

WEARING OF RIBBONS WITH MEDALS. –When large medals are prescribed, center awardsnot having large medals on the right breast. Placethem in the same relative position as the holdingbar of the lowest row of medals. If awarded morethan one ribbon of this type, wear the seniorribbon.

Ribbons with medals include the PresidentialUnit Citation, the Navy Unit Commendation, theMeritorious Unit Commendation, the Navy E, theCombat Action Ribbon, foreign unit awards, andmarksmanship ribbons. Arrange these ribbonsin order of precedence in rows from top downand inboard to outboard within rows. If youpossess three or more ribbons, wear a minimumof three; you may wear all if desired. If you wearonly one row of ribbons, wear the three seniorribbons.

When miniature medals are prescribed, donot wear ribbons for which no medals areprovided.

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Table 7-1.-Table for Wearing Large or Miniature Medals

LARGE MEDALS. —You may wear large dress jackets, position the holding bar of themedals on your full dress uniforms. When you lowest row of miniature medals 3 inches belowwear more than one medal, suspend them froma holding bar of metal or other material ofsufficient strength to support their weight. Locatethe holding bar of the lowest row of medals inthe same position as was previously described forthe lowest ribbon bar. The bar is 4 1/8 incheswide; each row of medals is 3 1/4 inches long fromthe top of the ribbons to the bottom of the medals.The bottoms of the medals dress in a horizontalline. When you wear more than one row, no rowshould contain a lesser number of medals thanthe row above. Except for the uppermost row, allrows should contain the same number ofmedals—three medals side by side or up to fivemedals overlapping (see table 7-1).

Arrange medals in order of precedence in rowsfrom top down and inboard to outboard withinrows. If you possess five or more medals, weara minimum of five; you may wear all if desired.If you wear only one row of medals, the rowshould consist of the five senior medals (fig. 7-17).

MINIATURE MEDALS. —You may wearminiature medals with all formal dress uniformsand dinner dress uniforms. On the male dinner

the notch and centered on the lapel.On the male’s blue or white service coats,

center the holding bar for the miniature medalsimmediately above the left breast pocket. On thewomen’s blue or white coats, center the holdingbar immediately above the left pocket flap. Onthe women’s dinner dress jacket uniforms, placethe holding bar in the same relative position thatit would be placed on the maIe’s dinner dressjackets. Each row of miniature medals is 2 1/4inches long from the top of the ribbons to thebottom of the medals. The bottoms of the medalsdress in a horizontal line. Position upper rows ofmedals so that they cover the ribbons of themedals below. Arrange medals in order ofprecedence in rows from top down and inboardto outboard within rows. If you possess five ormore medals, wear a minimum of five medals;you may wear all if desired. If you only wear onerow of medals, the row should consist of the fivesenior medals (fig. 7-18).

MAINTENANCE OF YOUR UNIFORM

To obtain the maximum service from youruniforms, you should maintain and care for them

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Figure 7-17.-Wearing of large medals.

Figure 7-18.-Wearing of miniature medals.

properly. Even new, properly fitted uniforms will Clean and store unused uniforms in elastic, air-not continue to look their best or keep their shape tight bags. For maximum preservation, place aunless you properly care for them. Carrying large small packet of desiccant (drying agent) inside theor heavy items in your pockets quickly destroys plastic bag with the uniform.the shape of your uniform. When not wearing You may find that the plating on your buttonsyour uniform, you should store it on a hanger. wears off. When this happens the copper base

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becomes exposed to moist air and a green coppercarbonate may develop. This is especially trueif the salt content of the air is high. To removethis green carbonate, gently rub the buttons withan acetic acid or a solution containing aceticacid, such as vinegar or Worcestershire sauce.Commercial products are also available for thispurpose. After rubbing with acetic acid solution,thoroughly wash the buttons with clean water. Tokeep your embroidered insignia clean and bright,occasionally scrub it with a nail brush and adiluted solution of ammonia. You should do thisas soon as tarnish or corrosion appears, as onceit has gained a foothold, the device may not berestorable.

Gold bullion lace tarnishes rapidly and maydeteriorate when placed in contact with, or hungnear, any substance containing sulphur. Someitems that may contain sulphur are rubber andordinary manila or kraft paper. Gold bullionshould be cleaned by an experienced tailor. If youclean it yourself, you can use commercial non-toxic preparations and liquid cleaners. For bestresults when using these commercial preparationsor cleaners, follow the manufacturer’s instructionson the label.

Clean gold-filled and sterling silver rhodiumfinished parts of the metal insignia by washingwith soap and water.

SUMMARY

This chapter began with a review of the watch,quarter, and station bill. Your responsibilitiesconcerning making assignments to and updatingthe watch, quarter, and station bill were alsodiscussed.

Drill and formation was a review of basic drillcommands you need to know when presenting thedivision during inspection. The procedure usedin presenting the division during inspections,quarters, and ceremonial events was reviewed.

Watch standing outlined your responsibilitieswhen standing divisional duty officer or officerof the deck (in port).

Command general advisory presented thebasic function, purpose, and membership of boththe command mess advisory board and the messaudit board.

The chapter concluded with a review of CPOuniform history and requirements and how tomaintain your uniform.

REFERENCES

Drill and Ceremonies Manual and Interior GuardManual; Promulgation of, SECNAVINST5060.22, Office of the Secretary of the Navy,Washington, D.C., 1986.

Personnel Qualification Standard for DeckWatches in Port, NAVEDTRA 43397A, Chiefof Naval Education and Training, Pensacola,Fla., 1987.

Standard Organization and Regulations of theNavy, OPNAVINST 3120.32B, Office of theChief of Naval Operations, Washington,D.C., 1986.

Surface Warfare Division Officer Course, CIN4-AHA-0118, Volume 27, Chief of NavalEducation and Training, Pensacola, Fla.,1990.

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

United States Navy Uniform Regulations, NAV-PERS 15665G, Naval Military PersonnelCommand, Washington, D.C., 1988.

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CHAPTER 8

SAFETY AND DAMAGE CONTROL

1.

2.

Describe

Upon completion of

the procedure for

LEARNING OBJECTIVES

this chapter, you should be able to

conducting a 3. Describe how

do the following:

to conduct survival training.preliminary investigation involving personalinjury or death. 4. Identify the duties of the departmental damage

control chief petty officer (DDCCPO).Describe the supervisor’s responsibilities forthe Navy’s safety program.

This chapter covers areas of safety anddamage control not included in the Basic MilitaryRequirements through Military Requirements forFirst Class training manuals. It includes theprocedure for conducting an investigation in thecase of personal injury or death and a review ofsupervisory responsibilities in the safety program.It also covers the damage control requirementsof the departmental damage control chief pettyofficer (DDCCPO). Since safety is related tosurvival, this chapter also introduces you to thesurvival training you are expected to conduct asa chief petty officer.

PRELIMINARY INVESTIGATIONOF INJURY OR FATALITY

One of the many potential jobs you may berequired to undertake is to conduct a safetyinvestigation of a mishap, personal injury, orfatality. The requirements for safety investigationsare set forth in OPNAVINST 5102.1C. The proce-dures you, the investigator, should follow arecontained in the Handbook for the Conduct ofForces Afloat Safety Investigations, N A V -SAFECEN 5102/29. This section of the chapterwill provide a brief description of the investigativeprocedures for a mishap.

RESPONSIBILITIES

The commanding officer will appoint aqualified investigator of the appropriate paygrade.In many cases, the appropriate paygrade meansthe division leading chief petty officer (LCPO).The LCPO is often appointed because of his orher special qualifications. For example, the LCPOmay have a highly specialized knowledge of theequipment that failed or a personal knowledge ofthe people and procedures used. The commandingofficer is also responsible for ensuring a thoroughand complete investigation is conducted.

Your responsibilities include answering thefollowing questions: What? Where? When? How?and Why? Notice that you are not trying to findWHO caused the mishap. Your job is to makean objective inquiry to learn the circumstances andcauses, not place the blame.

Each mishap indicates a failure or defect ina person, a piece of equipment, an environmentalcondition, a procedure, or a combination of theseitems. You should thoroughly examine eachsituation to determine all causes, both primaryand contributory.

An important concept for you to understandis that mishaps and injuries are two separate anddistinct occurrences. An injury is not the mishap;

8-1

it is the result of the mishap. The cause of amishap is usually discovered during an investiga-tion of an injury or damage.

DEFINITIONS

Before continuing, let’s define some of theterms with which you as an investigator need tobe familiar:

Mishap —Any unplanned or unexpected eventcausing material loss or damage or causingpersonnel injury or death; or an occurrence that,except for proximity or timely action, would haveresulted in damage or injury.

Mishap investigation —A check of the factssurrounding the causes of a mishap; conductedby the command involved using the proceduresoutlined in OPNAVINST 5102.1C.

JAG Manual investigation —A check thatprovides official, factual documentation of allmatters pertaining to a mishap, which can be usedfor legal or administrative action.

Naval Safety Center investigation —An inde-pendent check conducted based on the guidelinesof a mishap investigation. It is in addition to,but not a substitution for, either a JAG Manualinvestigation or the mishap investigation conductedby the local command.

Protection of information —The requirementthat prevents individuals who are conducting aseparate mishap investigation from divulginginformation obtained or from providing anopinion based on that information to any otherfact-finding body. The limitations on the use ofstatistical mishap reports. The prevention of anypart of Personnel Injury/Death/OccupationalIllness Report (OPNAV Form 5102/1) or Material(Property) Damage Mishap Report (OPNAVForm 5102/2) being used in any other investiga-tion. Protection of information is based onOPNAVINST 5102.1C.

INVESTIGATIVE PROCEDURES

Your investigation should answer the questionsof What? Where? When? How? and Why? Yourinvestigative procedures should be geared towardthese questions as well.

You should begin your investigation as soonas possible after the mishap. The sooner youbegin, the better the investigation will be.Witnesses will be present. More accurate facts canbe gathered because of the possibility that thedamage or materials should be in the same relativeposition as when the mishap occurred.

You will have very little time to plan yourinvestigation. You should be ready to proceedwith the collection of facts and circumstances withlittle prior notification.

Real evidence, such as photographs, records,operating logs, and damaged equipment ormaterial, can be shared by the investigative bodies.Items that fail to meet military or manufacturer’sstandards should be marked for investigation bythe appropriate technical authority.

Photographs can provide invaluable evidence.They should be clear and provide enough detailto actually depict the situation. Color photographsshould be used if possible, but black and whitewill suffice. Polaroid instant prints present anaccurate representation of the scene. However,Polaroid type prints are difficult to reproduce orenlarge. You should take the photographs fromat least two different angles and use a ruler in thephotographs to show exact dimensions.

Sketches may be used instead of or inconjunction with photographs. Sketches shouldbe drawn to scale. Use graph paper if it isavailable.

Pieces of equipment or material should becarefully handled to ensure physical evidence isnot destroyed. Each item should be tagged witha full descriptive relationship to the accident. Aphotograph or sketch should be included withitems sent out for laboratory testing to show the“as found” location or condition.

Verbatim copies of operating logs, records,directives, and so forth, should be made. Ifpossible, make a photocopy or photograph. Makenotations of obvious erasures and mark-overs,and make sure the notations appear in the photo-copy or photograph.

Since testimony in a safety investigation isunsworn, all verbal information must be fullyevaluated. You should always remember that thisinformation is to be used for the single purpose

8-2

of improving safety. Never try to obtain writtenstatements or record the information verbatim.

INDIVIDUALS INTERVIEWED DURINGINVESTIGATIONS CONDUCTED PUR-SUANT TO OPNAVINST 5102.1C SHALLNOT TESTIFY UNDER OATH ANDSHALL BE ADVISED THAT THEIRSTATEMENTS ARE FOR ONE PUR-POSE ONLY—THE PREVENTION OFFURTHER MISHAPS. INFORMATIONOBTAINED DURING ANY INVESTIGA-TION PURSUANT TO OPNAVINST5102.1C SHALL NOT BE USED AS THEBASIS FOR ANY ADMINISTRATIVE,REGULATORY, DISCIPLINARY, ORCRIMINAL PROCEEDING WITHINTHE DEPARTMENT OF THE NAVY.

—Handbook for the Conductof Forces Afloat Safety

Investigations

The following are some basic guidelines youshould observe during your investigation:

•••••

Never delay medical treatment to interviewa person.

Let the witness tell you what happened.

Interview witnesses separately.

Ask only one question at a time.

If a witness refers to “they,” determineexactly who “they” are. If nothing else,get a description and send an investigationteam out to locate “they.”

Sometimes you will find that reconstructingthe mishap will help you get a clear picture of howthe mishap occurred. Have those who take partin recreating the mishap proceed up to the pointof the mishap. Beyond the point of the mishap,talk about the action taken and walk through thesteps. Many times you will discover the cause ofthe mishap through the reconstruction.

CAUSE FACTORS

Your investigative procedures should haveanswered the what, when, and where questions.

Next you must investigate the how and why.Review the evidence gathered in an analyticalfashion to determine if you can answer how andwhy the mishap occurred. DON'T OVERLOOKTHE OBVIOUS. Since most mishaps are causedby people, look to see if the personnel involvedwere affected by any of the following conditions:

Physical condition: drunk, hangover, drugaffected (prescribed or unauthorized),tired, ill, or hungry

Mental attitude: worried, frightened,bored, depressed, distracted, day dream-ing, confused, or complacent

Attitude toward shipmates: distrustful,overtrusting, or contemptuous

State of training for the task: formallytrained, trained on-the-job, team trained,overtrained, or insufficient mental abilityfor needed training

Next, look to see if any of the followingenvironmental conditions could have contributed

Environment: hot, cold, humid, dusty,too bright, too dark, too noisy, smokey,windy, or cramped

Equipment being operated: controls poorlylocated, instruments unreadable, designnon-standard, operating procedure inade-quate, maintenance manual incomplete, oraccess difficult

Clothing and outfits: adequate, burden-some, or clumsy

TYPES OF MISHAP REPORTS

Mishap Investigation and Reporting, OP-NAVINST 5102.1C, prescribes the format to beused in reporting most mishaps. It defines thevarious categories of reportable circumstances, theformat used for specific categories, and theentries required in each section of the report.The formats discussed in this instruction aredesigned to assist the investigator in determiningall the factors previously mentioned, withparticular emphasis on the question why. A briefdescription of these reports and their uses follows:

1. Personnel Injury/Death/OccupationalIllness Report, OPNAV 5102-1—Used to reportmishap injury, death, or occupational illness ofall military personnel attached to Navy units or

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to the mishap:

Figure 8-1.-SAFETYGRAM, OPNAV 5102/4.

of civilian employees of the Navy in occupationallyrelated mishaps.

2. Material (Property) Damage Mishap Report,OPNAV 5102-2–Used to report mishap material(property) damage involving a repair/replacement

cost of $10,000 or more. Reports of materialdamage involving a repair/replacement cost of lessthan $10,000 are retrieved from the Ship’sMaintenance Action Form (OPNAV 4790/2K)data bank of the Maintenance Data System.

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However, cases of flooding, collision, grounding,explosion, or fire are investigated and reportedregardless of the cost involved. One exception issmall trash fires or similar fires involving nopersonnel injuries and material damage limitedto the container in which the fire originated.

3. Explosive Mishaps Supplement ReportDD-MIL(AR) 1020 (5102)—Used to reportmishaps, incidents, and malfunctions (collectivelyreferred to as explosive mishaps) involving non-nuclear explosives, explosive ordnance, chemicalagents, and systems. This report is submitted asa supplement to the Material (Property) DamageMishap Report, OPNAV 5102-2; it represents anextension of the cause factors section of thatreport.

4. Motor Vehicle Mishap Report, OPNAV5102-4—Used to report a motor vehicle mishapinvolving a government motor vehicle or privatemotor vehicle (on Navy property) if it results inthe following:

a. An injury or a death of any occupantor nonoccupant of the motor vehicle involved orproperty damage of $1,000 or more. Damageshould include damage to all motor vehiclesinvolved, their contents, and all other governmentor private property.

b. A motor vehicle mishap not on Navyproperty involving a private motor vehicle andresulting in injury or death to Navy military orcivilian personnel. A mishap involving Navycivilian personnel requires a report only whenthe injury occurs because of or during theperformance of job-related duties. Travel to andfrom work does not meet, the criterion for sucha report.

5. SAFETYGRAM, OPNAV 5102/4 (fig.8-1)—Used to describe any situation that hasmishap-causing potential or to make recommen-dations to improve safety. That includes nearmishap and hazardous conditions which, ifallowed to go unchecked or uncorrected, couldcause a mishap. When submitting a Material(Property) Damage Report, OPNAV 5102-2, youmay also use an unofficial correspondenceSAFETYGRAM to report these situations.

Certain categories of mishaps require thesubmission of special reports. These specialreports are specifically excluded from thereporting requirements of OPNAVINST 5102.1C.These categories and their corresponding reportinginstructions are as follows:

1. Damage, injuries, or death as a directresult of hostile action. Special IncidentReporting, OPNAVINST 3100.6E.

2.

3.

Nuclear weapons mishaps/incidents. OP-NAVINST 3100.6E and Procedures of JointReporting Structure, JCS Publication 6.Mishaps associated with naval nuclear pro-pulsion plants. Procedures and ReportingRequirements for Nuclear and RadiologicalAccidents, OPNAVINST 3040.5B and OP-NAVINST 3100.6E.

Other special cases may require more than onetype of report under separate instructions. Anexample of such a case is an aircraft mishap ora fire at a naval shore activity. The NavalAviation Safety Program, OPNAVINST 3750.6P,provides for the reporting of crew members,passengers, and other persons (nonoccupants)injured or killed in an aircraft mishap. Damageto naval aircraft is also reported. However, whenan aircraft mishap causes material damage to aship or shore activity, except for aviation facilitiesin the flight deck or runway areas, a materialproperty damage report is submitted. The ship orshore activity submits the report. The reportdetails the damage sustained, the damage controland fire-fighting procedures used, and the equip-ment used to control or limit the damage.

Fires at naval shore activities are reportedusing the Standard Organization and Regulationsof the U.S. Navy (SORN). However, all injuriesor deaths associated with these fires are reportedfollowing OPNAVINST 5102.1C. When explosivesare involved in either of these special cases, theadditional reports required by OPNAVINST5102.1C. will be submitted.

PREPARING THE REPORT

The final part of the investigation is yourreport containing your recommendations toeliminate or control the causal factors in themishap. Your report will contain any or all ofcompleted OPNAV Forms 5102/1, 5102/2, or5102/3. Appendix II of NAVSAFECEN 5102/29,Handbook for the Conduct of Forces Afloat SafetyInvestigations, contains checklists for use in theinvestigation of the most common types of mishaps.

Your report should provide a word picture ofthe entire mishap. It should be a detailed,concise account rather than a brief report ofthe incident. When you complete your report,forward it to the commanding officer forsignature; then forward the report to the NavalSafety Center.

MISHAP PREVENTION

A mishap is always unplanned by the personwhom it affects; otherwise, the mishap would not

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happen. A person who expects a mishap will dosomething to avoid it.

The idea that mishaps are unplanned orunintended implies two things. First, you shouldtrain people to understand what can and mighthappen so that preventive measures can be taken.For example, suppose you were an Electrician’sMate and understood that someone could turn ona power switch without checking first to see if itwere safe to do so. You would be more likely toprotect yourself by removing the fuses in thepower supply circuit and properly tagging out theswitch. Knowing what might happen couldprevent a possible mishap. Second, you shouldbelieve the unexpected will occur sooner or laterunless you take appropriate precautions. Forexample, suppose you are convinced that sooneror later you will get a foreign body in your eyeunless you wear goggles. You will then probablywear goggles when using a power tool. Believingthe mishap may occur will prompt you to protectyourself.

When a person has a mishap, production isalways interrupted. The interruption may onlyinvolve a half an hour to get a minor injury treatedat sick bay. At the other extreme, a disablinginjury may mean the loss of a person for severalweeks or months and, therefore, the loss of aneeded skill. All these possibilities mean lostman-hours; lost man-hours means a delay incompleting the task for which the section ordivision is responsible.

Why the concern about mishaps beingproduction losses? Mishap prevention is as mucha part of your job as assuring productivity.Experience has shown that the two go hand inhand—when safety is improved, productivity isalso improved, and vice versa. Mishaps aresymptoms of inefficient methods, tools, equip-ment, machines, materials, or work areas. As asupervisor, once you accept this viewpoint, youwill also agree that promoting safety is part ofyour job.

Promoting safety involves more than reportingmishaps and correcting dangerous situations aftersomeone has been injured, property has beendamaged, or work has been interrupted. Mishapprevention also requires alertness for, andresponse to, situations we shall call near mishaps.A near mishap is an event that was prevented fromresulting in property damage or personnel injuryby a fraction of time or someone’s timely action.

Because no injury or damage results in nearmishaps, some supervisors fail to investigate them.Hence, the facts are not made a matter of record

and the causes go uncorrected. Sooner or later thesame conditions could occur and result in seriousinjury.

Consider the case of a person who fell severalfeet from a ladder after slipping on a worn laddertread. The person was slightly shaken but withoutinjury. The fact that the sailor escaped injury waspurely circumstantial. If the causes of the nearmishap had not been corrected, the next victimcould have suffered serious injury.

Some near mishaps involve equipment failureof some kind, such as a line parting, a controlmechanism malfunctioning, or the brakes of avehicle not holding. Some are instances ofpersonnel failure. Take for example a sailor whohad just finished hooking up a poorly loaded skipbox full of used boiler firebricks. After steppingclear of the skip box, the sailor signaled the craneoperator to hoist away. As the load was about10 feet off the deck and being swung over the side,the bricks shifted and several fell to the deck.Being clear of the load, the sailor was not struckby the falling bricks. Another near mishap.

Near mishaps should be investigated wheneverreported or observed. They are forewarnings ofwhat might happen again. A mishap is almostcertain to follow when such forewarnings areignored.

THE NAVY SAFETY PROGRAM

The objective of the Navy’s safety programis to enhance operational readiness. That is doneby reducing the number of deaths and injuries topersonnel and losses and damage to materialbecause of mishaps. The safety program is basedon the issuance of general safety precautions toeach person in the command. These includemishap prevention precautions and instructionsregarding special hazards encountered in the dailywork environment. The general safety precautionsalso include supervision in matters of safety,including continuing action and command interestin mishap prevention, and evaluation of theeffectiveness of the program.

RESPONSIBILITY FOR THESAFETY PROGRAM

The responsibility and authority for theadministration of the safety program lies withinthe normal unit organization. Figure 8-2 showsa typical safety organization.

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Safety is a command responsibility and shouldbe carried out through the chain of command.Each level of command has responsibilities, bothin training and in day-to-day supervision of bothroutine and specialized tasks. The safety programitself does not make a unit or crew safer; rather,the planned and coordinated activities of thecrew acting as teams and subteams within theframework of the safety program make themsafer.

The commanding officer has the ultimateresponsibility for all safety matters within the unit.To provide day-to-day staff assistance, thecommanding officer appoints a safety officer.Using policies and goals established by thecommanding officer, the safety officer formulatesa safety program based on the SORN a n ddirectives of higher authority. The safety officermonitors the crew’s activities and exercises thecoordination necessary to make all hands awareof the program and to keep it vital. The evalua-tion of the results of the program provides thecommanding officer with a report about theprogress of the command’s mishap preventiongoals. It also provides a report on the effectivenessof the unit’s safety program.

SAFETY ORGANIZATION

The standard unit organization for carryingout a safety program is based on chapter 7 of theStandard Organization and Regulations of theU.S. Navy (OPNAVINST 3120.32B).

To coordinate monitoring and evaluatingefforts of the safety program without relievingpersonnel of assigned responsibilities, activitiesshould establish a safety organization. The safetyorganization should be established following theguidelines in figure 8-2. The purpose of thisorganization is to monitor mishap preventionstandards and to evaluate the effectiveness of thesafety program. The safety organization alsocoordinates the distribution of safety informationregarding general mishap prevention, motorvehicle safety, and recreational safety.

RELATIONSHIP BETWEENADMINISTRATIVE/WATCHORGANIZATIONS AND THE

SAFETY ORGANIZATION

The primary responsibility for safety lies in thechain of command and rests with the appropriatemembers of the administrative and watch

organizations. Members of the safety organiza-tion have clear-cut responsibilities with regard tomonitoring and evaluating mishap prevention.However, that in no way relieves the members ofthe administrative and watch assignments forwhich they are responsible.

THE SAFETY OFFICER

The safety officer is directly under theexecutive officer in the chain of commandregarding the safety program. However, thisperson has direct access to the commandingofficer in matters of safety. Normally, the safetyofficer has department head status and isresponsible for enacting a comprehensive safetyprogram. This program is based on objectivesestablished by the commanding officer. The safetyofficer is responsible for promoting maximumcooperation in safety matters at all levels andensuring wide distribution of safety information.The safety officer is also responsible formonitoring the timely submission and accuracyof safety reports and for maintaining appropriatesafety records and statistics. The safety officermay be military or civilian and the head of a safetydepartment, depending on the size and missionof the command.

The safety officer collaborates with all depart-ment heads and departmental/divisional safetyofficers in matters concerning safety.

Department Safety Officer

The department safety officer keeps thedepartment head advised on the status of thedepartment safety program within the unit. Thedepartment safety officer also performs thefollowing duties:

••

•

•

Performs mishap prevention functions asthe department head may assign

Acts as the departmental point of contactfor coordinating and evaluating the ship’ssafety program

Ensures correction of all hazardousconditions revealed by safety hazard reports

Maintains records of mishaps and safetyhazards within the department, and main-tains direct liaison with the unit safetyofficer

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Division Safety Officer

The division officer is the designated safetyofficer for a particular division. This person keepsthe department safety officer advised on the statusof the safety program within the division. Thedivision officer also acts as the divisional pointof contact in coordinating and evaluating the unitsafety program. A senior petty officer, E-6 orabove, should be designated as division safetypetty officer. The division safety officer investi-gates divisional mishaps and near-mishaps.This officer ensures corrective action is takenimmediately on hazardous situations revealed bymishap, hazard, and mishap/injury reports. Thedivision safety officer develops a program thatensures divisional personnel receive mishapprevention training.

Division Safety Petty Officer

As the division safety petty officer, you shouldbecome familiar with all safety directives andprecautions concerning the division. In thisposition, you conduct assigned divisional mishapprevention training and maintain appropriaterecords. You help to investigate safety mishaps,recommend safety program improvements, andserve on the enlisted safety committee. You alsohelp the division officer execute safety duties byacting as the technical adviser on matters ofmishap prevention within the division.

Safety Council

The safety council convenes monthly todevelop recommendations for policy in safetymatters and to analyze progress of the overallsafety program. The safety council is composedof the commanding officer or executive officer(chairman), the unit safety officer (recorder, whennot the executive officer), department heads, anda medical department representative.

The safety officer prepares an agenda inadvance of each meeting of the safety council. Theagenda shows the extent of any problem(s) andthe need to take action. It also suggests ways toresolve problems as submitted by the safetycommittee or any other unit members. The safetycouncil reviews all statistics compiled by thesafety officer and hears reports from the medicaldepartment representative on injuries. It alsohears from department heads on all other mishapsthat occur within their departments. Further, itreviews the recommendations of the enlisted safety

committee and, by endorsement of the com-manding officer, indicates which actions arebeing considered.

Enlisted Safety Committee

The enlisted safety committee makes recom-mendations concerning safety programs to thesafety council. It also makes recommendations topromote interdepartmental communication inmishap prevention at division and work centerlevels.

The enlisted safety committee consists of theunit’s safety officer (senior member), the divisionsafety petty officers, the chief master-at-arms, anda recorder.

The enlisted safety committee meets monthlyto exchange information, improve communica-tions, and review safety conditions. It suggestsimprovements and makes its views and recom-mendations known to the safety council and thecommanding officer.

SAFETY STANDARDSAND REGULATIONS

As a minimum, the safety program shouldprovide the following basic elements:

1. Safety standards and regulations2. Mishap prevention education and training3. Maintenance4. Safety enforcement5. Mishap investigating and reporting

SAFETY STANDARDSAND REGULATIONS

Safety standards and regulations are based onstandard procedures and precautions designed tominimize risks. These standards are based onguidance and directives from higher authority.They are contained in the SORN, in various unitinstructions, technical publications, instructionsfor the watches, and unit regulations. Thesestandards and regulations are monitored todetermine their adequacy and to recommend newstandards to correct hazardous conditions.

SURVIVAL TRAININGREQUIREMENTS

If an accident occurs at sea, you could havea direct effect on whether your personnel will

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survive or perish. Proper training in survivaltechniques will provide your personnel with thetools to survive. You should consider survivaltraining an important part of your shipboardtraining program. Basic survival training isoutlined in Airman (NAVEDTRA 12000) andBasic Military Requirements (NAVEDTRA12043).

The types of survival training to be conductedare defined in the Military Personnel Manual(MILPERSMAN), articles 6610140 and 6610160.Training generally includes the followingcategories:

Swimming

Personal life saving equipment

Abandoning ship or aircraft

Leaving assigned spaces

Survival equipment

Fundamental first aid (fireman’s lift andtied hands crawl, controlling bleeding,shock, burns, and administering morphine)

DEPARTMENTAL DAMAGECONTROL CHIEF PETTY OFFICER

On large ships, a departmental damagecontrol chief petty officer (DDCCPO) is assigned.The DDCCPO assists the damage control assistant(DCA) in carrying out the following duties andresponsibilities:

1.

2.

3.

4.

Coordinates the training, relieving, andqualifying of the division damage controlpetty officers (DDCPOs) within thedepartmentInforms the DCA and fire marshal of anychanges of personnel assigned as DDCPOEnsures the DDCPO performs his or herassigned dutiesPerforms other duties as directed by theDCA, the fire marshal, and the commandingofficer

On small ships a DDCCPO is not assigned;the job is part of the everyday responsibilities ofthe department and division leading chief petty

officers. Your general responsibilities include thefollowing:

1.

2.

3.

4.

Coordinating the training, relieving, andqualifying of your DDCPO

Informing the DCA and fire marshal whenyou change your assignment of the DDCPO

Ensuring your DDCPO performs his or herassigned duties

Coordinating division damage controltraining and maintenance with the DCAand fire marshall to improve overall divisiondamage control readiness

SUMMARY

As a chief petty officer, you may be calledupon to investigate routine mishaps because ofyour unique knowledge and leadership. Youshould be objective in trying to determine thecause of the mishap and not overlook the obvious.The injury of a person is not a mishap, but theresult of a mishap. Most mishaps are the resultof human error or an environmental condition atthe time of the mishap.

The Navy’s safety program is designed toenhance operational readiness. Operationalreadiness is enhanced by a reduction in thenumber of deaths and injuries to personnel andlosses and damage to material because of mishaps.Ensuring every person in your division followsgeneral safety guidelines in the conduct of every-day division business is an important part of thesafety program.

Survival training is an important part of theshipboard training program. You should be awareof the various types of survival training requiredby the Navy.

On large ships, a departmental damage controlchief petty officer is usually assigned. He or shetrains and qualifies the division damage controlpetty officers within the department and assiststhe ship’s damage control assistant as required.On smaller ships, the department and divisionleading chief petty officers ensure the divisiondamage control petty officers are qualified andmaintain a high degree of damage controlreadiness.

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REFERENCES

Handbook for the Conduct of Forces AfloatSafety Investigations, NAVSAFECEN 5102/29,Naval Safety Center, Norfolk, Va., 1979.

Naval Military Personnel Manual, NAVPERS15560A, Naval Military Personnel Command,Washington, D.C., 1987.

Naval Ships’ Technical Manual, S-9086-CN-STM-030, Damage Control—Practical DamageControl, Chapter 079, Volume 2, Naval SeaSystems Command, Washington, D.C., 1977.

Navy Occupational Safety and Health (NAVOSH)Program Manual for Forces Afloat, Volume 1,OPNAVINST 5100.19B, Office of the Chief ofof Naval Operations, Washington, D.C., 1989.

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

Surface Ship Survivability, NWP 62-1 (Rev. C),Office of the Chief of Naval Operations,Washington, D.C., 1989.

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

United States Navy Chemical, Biological, andRadiological Defense Handbook for Training,S-5080-AA-J-HBK-010, Naval Sea SystemsCommand, Washington, D,C., 1985.

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CHAPTER 9

SECURITY

LEARNING OBJECTIVES

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

1. Recognize the Navy policy for training per-sonnel in the content of the U.S. NavyInformation and Personnel Security Program.

Security violations discovered at variousmilitary and government establishments world-wide reveal a need to upgrade the securityawareness of every service member. Consider thetragedies that have occurred to our diplomaticcorps, military personnel, and other officials overthe past several years. Many of these tragediescan be directly attributed to a lack of security,a lack of security education, or lax securitymeasures. As you advance in rate, your knowledgeof security measures and the security educationof your personnel increasingly affect the securityof your command.

This chapter begins with an explanation of theNaval Information and Personnel Security Pro-gram. It outlines the basic policies and securityprocedures involved in management of theprogram.

Next the chapter explains classified materialsand the assignment of classified material designa-tions. It covers the different types of restrictedareas used to safeguard and store classifiedmaterials and the amount of security needed ineach area. Department of the Navy Informationand Personnel Security Program Regulationprovides detailed procedures for the safeguardingand proper storage of classified materials.

The chapter concludes with discussions ofpersonnel-security clearances, access to classifiedmaterials, and automatic data processing (ADP)security. It explains the different types ofclearances and the required investigations for eachclearance. It also discusses the guidelines for

the Personnel Reliability Program. This programimpacts on every command that is nuclearpowered or has nuclear weapons capability. If theprogram is not properly administrated, it can havea devastating effect on the security of yourcommand and its ability to perform its assignedmission. Remember—only YOU can be responsiblefor the security and protection of your country.

Although this chapter deals chiefly with thesecurity of classified materials, you can apply thebasic concepts to other areas to increase securitywithin your command.

THE DEPARTMENT OF THE NAVYINFORMATION AND PERSONNEL

SECURITY PROGRAM

The Information and Personnel SecurityProgram safeguards the disclosure of classifiedinformation and materials to unauthorized per-sons. The following persons must comply with thebasic policies of this program:

••

•

Navy and Marine Corps personnel (active-duty and Reserve)

Other armed services members assigned toa Navy or Marine Corps unit orinstallation

Civilian employees of the federal govern-ment, including employees of the Officeof Personnel Management (OPM), as wellas civilian contract employees

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BASIC POLICY

The Information and Personnel Security Pro-gram protects national security in two basic areas.First, it monitors security in the appointment orretention of Department of the Navy civilianemployees. Second, it oversees security in theacceptance or retention of Navy or Marine Corpspersonnel. The program also ensures the nationalsecurity when personnel are granted access toclassified information or are assigned to othersensitive duties. Access to classified informationis granted on a strict, need-to-know basis.

Authority

The Secretary of the Navy is responsiblefor setting up and maintaining an InformationSecurity Program and a Personnel SecurityProgram. The Secretary of the Navy has madethe Chief of Naval Operations responsible forinformation and personnel security. The SpecialAssistant for Naval Security and InvestigativeMatters who carries the Chief of Naval Operation(CNO) staff code OP-09N ensures the effective-ness of the security program. OP-09N also servesas the Commander, Naval Security and In-vestigative Command (COMNAVSECINVCOM).COMNAVSECINVCOM devises informationand personnel security policies and proceduresbased on directives from higher authority andissues directives for the program. Under theDirector of Naval Intelligence, CNO (OP-092),the Commander, Naval Intelligence Command,administers the sensitive compartmented informa-tion (SCI) system for the Navy.

The Department of the Navy Information andPersonnel Security Program Regulation, OP-NAVINST 5510.1H, contains COMNAVSEC-INVCOM guidelines. Those guidelines serve asthe minimum requirements for management ofthe program. Commanding officers may imposemore stringent requirements within their owncommands. However, they may not establishrequirements that are contradictory to OPNAV-INST 5510.1H.

Program Management

The National Security Council (NSC) providesoverall policy guidance on information andpersonnel security. The Director, InformationSecurity Oversight Office (ISOO), has respon-sibility for setting up and monitoring the securityprogram for classified information. The ISOO

may request information or materials from theDepartment of the Navy when an organizationneeds that information to perform its functions.

The Office of Personnel Management prescribesthe requirements (including investigations) forcivilian government employment.

The Director of Central Intelligence (DCI)serves as the chairman of the National ForeignIntelligence Board. As chairman, the DCI issuesinstructions affecting intelligence policies andactivities. These instructions are based onDirector of Central Intelligence directives (DCIDs)or Director of Central Intelligence policystatements.

The Federal Bureau of Investigation (FBI) isthe chief internal security agency of the federalgovernment. It has jurisdiction over more than170 different investigative matters, which includeespionage, sabotage, treason, and other subversiveactivities. The Naval Investigative Service is theDepartment of the Navy’s sole liaison with theFBI on internal security matters.

The CNO office (OP-09N) serves as the liaisonabout information and personnel security mattersbetween the Department of the Navy and theOffice of the Secretary of Defense. The CNOoffice also serves as the liaison between theDepartment of the Navy and other componentsof the Department of Defense and other federalagencies.

The following is a list of organizations withwhich OP-09N has a close security relationship:

Headquarters, Marine Corps, Naval MilitaryPersonnel Command and Naval Civilian Per-sonnel Command in their responsibilities foradministering personnel security

Naval Intelligence Command (NIC-04) in itsresponsibility for the management of thesensitive compartmented information (SCI)

Naval Security Group Command in its respon-sibility for the security and administration ofSCI programs

The Commander, Naval Security and Investi-gative Command (COMNAVSECINVCOM), isresponsible for the Department of the Navy’s in-vestigative, law enforcement, counterintelligence,and physical security policies and programs.(However, COMNAVSECINVCOM is notresponsible for the physical protection of classifiedmaterials. ) The Naval Investigative Servicesupports COMNAVSECINVCOM in theseresponsibilities.

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Command Security Procedures

If your command handles classified informa-tion, it prepares and keeps current writtencommand security procedures. The proceduresspecify how the command is to accomplish therequirements of OPNAVINST 5510.1H.

The command’s security procedures coverwhat will be done, who will do it, and who willsupervise it. General statements, such as “Secretmaterial will be accounted for using OPNAV-INST 5510.lH,” do not satisfy this requirement.The written procedures must be specific, basedon the OPNAVINST 5510.1H requirements thatapply to your command.

Your command may not be involved with allphases of the Information and Personnel Securityprogram. However, all commands share someelements in the security of classified information.They all follow security procedures in theaccounting and control, physical security,reproduction, and destruction of classifiedmaterials. All take security measures in grantingand recording access to classified materials andthe control of visitors to classified areas. Allensure the proper classification, marking, down-grading, and declassification of classifiedmaterials. In addition, all must provide securityeducation.

Responsibility for Compliance

The commanding officer is responsible for theeffective management of the Department of theNavy Information and Personnel SecurityProgram within the command. Every person,military or civilian, in the Navy and Marine Corpsis responsible for obeying the Department of theNavy Information and Personnel Security Pro-gram Regulation, OPNAVINST 5510.lH.

Command Management

Command security management, discussed inthe following paragraphs, includes the followingresponsibilities:

1. Designating a security manager2. Designating a Top Secret control officer if

the command handles Top Secret informa-tion

3. Designating an ADP security officer (orInformation Systems security officer) if thecommand is involved in processing data inan automated system

4. Preparing written command security proce-dures

5. Preparing an emergency plan for theprotection of classified materials

6. Reviewing and inspecting the effectivenessof the program in subordinate commands

Security Manager

Each command in the Navy and Marine Corpseligible to receive classified information is requiredto designate a security manager. The commandmakes this appointment in writing.

The security manager position may be assignedas a full-time, part-time, or collateral duty. Theperson designated is an officer or a civilianemployee, GS-11 or above, with sufficientauthority and staff to manage the commandprogram. The security manager is a U.S. citizenand has a satisfactory background investigation(BI). The rank and grade requirements are firm.Designation of enlisted personnel or civiliansbelow the grade of GS-11 is not allowed unlessa waiver is granted. Waiver of the rank and graderequirements is rarely granted. Requests forwaiver of the BI requirements, pending completionof the investigation, are usually granted.

Commands must designate and identify thesecurity manager by name to all members of thecommand. The security manager’s name shouldappear on organization charts, telephone listings,rosters, and so forth. Where the security managerappears on the organization chart depends onthe command organization. In the shipboardorganization recommended in the StandardOrganization and Regulations of the U.S. Navy,the security manager is the executive officer’sassistant. The security manager is responsible tothe commanding officer on matters of security butreports to the executive officer for the administra-tion of the Information and Personnel SecurityProgram. A clear-cut organization is extremelyimportant for a collateral duty security manager.

The effectiveness of command managementof the program depends on the importance thecommanding officer gives it. One area of concernin security management is security managertenure. Without a formal training program forsecurity managers, on-the-job training mustsuffice. For a security manager to develop a highdegree of expertise takes time.

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The security manager is the command’sprincipal adviser on information and personnelsecurity. The security manager is responsible forthe management of the program. That doesn’tnecessarily mean the security manager personallyhandles all the security duties. Many commandsare organized to assign like duties to the sameperson. The personnel officer may handlepersonnel security, the training officer may beresponsible for security education sessions, andso forth. Those persons assigned security dutiescould be senior to the security manager. However,the security manager should know what is goingon in all areas of security within the command.Having this knowledge helps the security managerensure the various pieces of the security programfit together properly. It also helps the securitymanager make sure those in the command whohave security duties are kept abreast of policychanges and procedures. In addition, the securitymanager needs to know what is going on to helpsolve security problems. The job may involve closesupervision, minor direction, or a combinationof both. However the command is organized, thesecurity manager is the key in developing andadministering the command’s Information andPersonnel Security Program.

Effective management of the program requiresthe security manager to perform the followingfunctions:

• Serve as the commanding officer’s adviserand direct representative in matters per-taining to the security of classifiedinformation and personnel security

• Develop written command informationand personnel security procedures andintegrate emergency destruction bills withthe emergency plan

• Formulate and coordinate a commandsecurity education program

• Ensure threats to security, compromises,and other security violations are reported,recorded, and investigated

• Ensure incidents falling under the investiga-tive jurisdiction of the Naval InvestigativeService (NIS) are immediately referred tothe nearest NIS office

• Administer the command program forclassification, declassification, and down-grading of classified information

• Coordinate the preparation of classificationguides in the command

• Maintain liaison with the command publicaffairs officer concerning security reviewof information proposed for public release

• Set accounting and control requirementsfor classified materials, including receipt,distribution, inventory, reproduction, anddisposition

• Coordinate, with the security officer,physical security measures for protectionof classified materials

• Ensure electrical or electronic processingequipment meets the requirements for con-trol of compromising emanations

• Ensure security control of classified visitsto and from the command

• Ensure protection of classified informationduring visits to the command when thevisitor is not authorized access to classifiedinformation

• Prepare recommendations for the releaseof classified information to foreign govern-ments

• Ensure classified contracts with Depart-ment of Defense (DOD) contractors complywith the Industrial Security Program

• Ensure all personnel who handle classifiedinformation or are assigned to sensitiveduties are appropriately cleared

• Ensure requests for personnel securityinvestigations are properly prepared, sub-mitted, and monitored

• Ensure access to classified information islimited to those with the need to know

• Ensure all personnel security investiga-tions, clearances, and access to classifiedinformation are recorded

• Coordinate the command program forcontinuous evaluation of eligibility foraccess to classified information or assign-ment to sensitive duties

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• Maintain liaison with the command specialsecurity officer concerning investigations,access to sensitive compartmented infor-mation (SCI), continuous evaluation ofeligibility, and changes to information andpersonnel security policies and procedures

• Maintain control of all foreign travelreported by assigned personnel

• Coordinate with the command automaticdata processing (ADP) officer and physicalsecurity officer on areas of mutual concern

Top Secret Control Officer

Each command that handles Top Secret infor-mation designates, in writing, a Top Secretcontrol officer (TSCO). The security managermay also be designated as the TSCO.

The person designated as TSCO is an officer;a chief petty officer; a senior noncommissionedofficer (E-7, E-8, or E-9); or a civilian employee,GS-7 or above. The TSCO is a U.S. citizen witha final Top Secret clearance. Only a reliableperson of mature judgment is chosen as TSCO.The TSCO should be completely familiar with therequirements for protection of Top Secretinformation.

The TSCO is responsible to the securitymanager (if not the same person) for Top Secretmaterials in the command. This responsibilityincludes the receipt, custody, accounting for, anddisposition of Top Secret materials.

The TSCO performs the following duties:

• Maintains a system of accountability forall Top Secret materials in the command. Recordsthe source, downgrading, movement from oneoffice to another, current custodian, and destruc-tion or other disposition of the Top Secretmaterials.

• Keeps dissemination of Top Secret infor-mation to the absolute minimum necessary forproper planning or action. No “standatd routing”of Top Secret materials is allowed in a command.

• Transmits Top Secret materials within thecommand by direct personal contact. The TSCOdoesn’t have to deliver the materials personally,

but the materials should be delivered directly tothe person who will assume responsibility forthem. Top Secret materials should never bedropped in an “in” basket.

• Maintains a continuous collection ofsigned receipts and disclosure records for all TopSecret materials. Person-to-person contact ismandatory for the receipting.

• Ensures physical inventories of Top Secretmaterials are conducted at least once annually.

• Maintains a current roster of personswithin the command who are authorized accessto Top Secret information. The TSCO shouldknow who requires access and be able to assistthe security manager in determining access grantedby the command.

• Ensures all Top Secret materials areaccounted for and properly transferred whencustodians are relieved of their duties. Thisrequirement applies to the subcustodians of thecommand as well as the TSCO.

Security Assistants

Large commands often assign assistant securitymanagers or departmental security coordinators.Too often, command security managers assumethat by designating different levels of securitymanagers in the command, they have dischargedtheir responsibilities. Inspections of majorcommands have shown that the security managerof an element within a command is usually doinglittle more than classified material control. Thesize or complexity of the command may demanddelegation. In such cases, command securitymanagers should realize they are still responsiblefor the command’s Information and PersonnelSecurity Program as a whole. The commandsecurity manager should provide the guidance,coordination, and direction necessary to ensureall of the program is being administeredeffectively.

The assistant security manager is a U.S.citizen; an officer or an enlisted person, E-6 orabove; or a civilian employee, GS-6 or above. Theassistant security manager is designated in writing.The assistant security manager needs a back-ground investigation only when authorized toissue security clearances (that is, sign the clearance

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Figure 9-l.-Sample 0PNAV Form 5520/20.

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entry on the OPNAV Form 5520/20). Figure 9-1shows a sample OPNAV Form 5520/20. Other-wise, the investigative and clearance requirementsdepend on the level of access to classifiedinformation needed.

Security clerks may be assigned without regardto rate or grade as long as they have the clearanceneeded for the access they will have.

Top Secret control assistants (TSCA) maybeassigned as needed and are designated in writing.The TSCA is a U.S. citizen, E-5 or above, or acivilian employee, GS-5 or above who has a finalTop Secret clearance. TSCAs maybe authorizedto take the following actions:

Sign courier receipts and transfer of custodyreceipts for Top Secret materials

Certify materials being transferred intoDefense Courier Service and sign on behalf ofthe Top Secret control officer

Transmit Top Secret materials

Conduct required page checks of Top Secretdocuments

Top Secret couriers, or others who handle TopSecret materials, are not considered to be TSCAs.They must have a Top Secret clearance, anunderstanding of the importance of the materials,and familiarity with the procedures for handlingTop Secret materials. No grade or rate restrictionsapply to Top Secret couriers.

AUTOMATED DATA PROCESSING (ADP)SECURITY OFFICER. —Each command involvedin processing data in an automated systemdesignates an ADP security officer.

The ADP security officer is responsible to thesecurity manager for the protection of classifiedinformation being processed in the automatedsystem. The ADP security officer is responsibleto the physical security officer for the protectionof personnel, equipment, and related resources.

SPECIAL SECURITY OFFICER. —Certaincommands in the Department of the Navy areaccredited for and authorized to receive, process,and store sensitive compartmented information(SCI). These commands have a designatedsensitive compartmented information facility(SCIF). A special security officer (SSO) isresponsible for the operation of that SCIF andthe security, control, and use of SCI. The SS0

is an officer or a civilian employee, GS-9 or above.All matters relating to SCI or SSO requirementsare referred to SSO.

For additional information on commandsauthorized to receive, process, and store SCImaterials, consult OPNAVINST 5510.lH.

Security Education

Each command that handles classified infor-mation establishes and maintains an activesecurity education program to instruct allpersonnel in security policies and procedures.

Commands need a security education programto teach the proper way to protect classifiedinformation from hostile threats. The purpose ofthis program is to ensure we understand theneed to protect classified information and knowhow to safeguard it. The goal is to developfundamental habits of security to the point thatwe automatically exercise proper discretion. Oncewe develop the proper habits, the security ofclassified information becomes a natural elementof every task.

COMNAVSECINVCOM (OP-09N) is respon-sible for policy guidance, education requirements,and source support for the security educationprogram. The development of security educationmaterials for use in the Navy or Marine Corpsshould be coordinated with OP-09N. You do nothave to coordinate development with OP-09Nif you are preparing the materials for usein your command program. OP-09N reviews anycurriculum material being prepared for a formaltraining environment to make sure current policiesand procedures are being taught.

Training commands indoctrinate personnelentering the Navy and Marine Corps aboutclassified information. They indoctrinate newmembers to ensure they have a basic under-standing of what is meant by classified informa-tion and why and how it is protected. Civiliansbeing employed by the Department of Defense forthe first time also receive this basic indoctrination.

The security manager is responsible to thecommanding officer for security education. Asa supervisor you must identify the securityrequirements for your work center functions.Once you do that, ensure your personnel arefamiliar with those requirements. Make on-the-job training an essential part of command securityeducation.

Provide security education to all personnel,whether they have access to classified informationor not. Provide more extensive education for

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those who do have access. Tailor your educationefforts to meet the needs of the command.

In developing your command security educa-tion program, provide the minimum briefingrequirements. Make sure the program does notevolve into a system of meeting formal require-ments without achieving the real goals. Forinstance, giving the same lecture or showing thesame film every year would satisfy the require-ment for an annual refresher briefing. However,it would not enhance security awareness.

The objective of the overall program is toadvise personnel of the following facts aboutsecurity:

1.

2.

3.

4.

5.

6.

7.

8.

The adverse effects to the national securitythat could result from unauthorized dis-closure of classified information; theirpersonal, moral, and legal obligation toprotect classified information within theirknowledge, possession, or controlTheir responsibility to adhere to thosestandards of conduct required by personsholding positions of trust and to avoidpersonal behavior that could render themineligible for access to classified informa-tion or assignment to sensitive dutiesTheir obligation to notify their super-visor or command security manager of apotentially serious security violation bysomeone who has access to classifiedinformation or is assigned to sensitivedutiesThe requirement of supervisors to continu-ously evaluate the eligibility of personnelfor access to classified information orassignment to sensitive dutiesThe principles, criteria, and procedures forclassification, downgrading, declassifica-tion, marking, control and accountability,storage, destruction, and transmission ofclassified information and materials; thestrict prohibitions against the improper useand abuse of the classified systemThe procedures for challenging classifica-tion decisions they believe to be improperThe security requirements of their particularassignmentsHow to determine, before disseminatingclassified information, that the prospectiverecipient has been authorized access bycompetent authority, needs the informa-tion to perform his or her official duties,and can properly protect (store) theinformation

9.

10.

11.

12.

The strict prohibition against discussingclassified information over an unsecuredtelephone or in any manner that maypermit interception by unauthorizedpersonsThe techniques employed by foreignintelligence activities in attempting toobtain classified informationThe penalties for engaging in espionageactivities and for mishandling classifiedinformation or materialsTheir obligation to report counterintelli-gence activities as outlined in chapter 5 ofOPNAVINST 5510.1H

BASIC SECURITY EDUCATION. —Allpersons attend basic security education indoctrina-tion or orientation classes after their initial entryinto the service. The indoctrination classes aredesigned to give every person in the Navy a basicunderstanding of classified materials and how andwhy this information should be protected.Orientation training is designed for those personswho will have access to classified material, Thefollowing guidelines are the minimum require-ments for basic security education:

1.

2.

3.

4.

5.6.

7.

Indoctrination in basic principles of securityupon entering the NavyOrientation of those persons who will haveaccess to classified information at the timeof their duty assignmentOn-the-job training in specific require-ments for the duties assignedAnnual refresher briefings for those whohave access to classified informationSpecial briefings as circumstances dictateDebriefing each time a security terminationstatement is executedCounterespionage briefings once every 2years for those who have access to infor-mation classified Secret or above

When you indoctrinate personnel, teach themto take the following security precautions:

1.

2.

3.

Protect information essential to the nationalsecurity from disclosure to unauthorizedpersonsMark all classified materials to show thelevel of classificationAllow access to classified information onlyto officially and specifically authorizedpersons

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4.

5.6.

7.

Store and use classified material only insecure areas, protect it during transfer fromone area (or command) to another, anddestroy it only by authorized meansReport any breach of securityReport any contact with citizens ofCommunist-controlled or hostile countriesReport any attempt by an unauthorizedperson to solicit classified information

Make sure each person who will have accessto classified information receives orientation andsigns a nondisclosure agreement. Provide theorientation and have the person sign the statementas soon as possible after reporting aboard orbefore their assignment to duties involving accessto classified information.

The timing and format for orientation willvary, depending on the size of the command.However, having persons certify that they have“read and understand” the provisions of securitymatters is not adequate orientation. Describe thecommand security organization and identify thesecurity manager by name. Give personnel enoughinformation to make them realize they are anessential link in the security structure of thecommand. Make sure you tell new members aboutany special security precautions for yourcommand. For instance, if your command hasforeign national students or personnel in exchangeprograms, alert new members to the restrictionson access by foreign nationals. If your commandhas a coded badge system, explain the significanceof the different codes.

The security orientation should fit thecommand and the person receiving it. Place moreemphasis on security procedures when a newmember has not had previous experience withhandling classified information.

CONTINUING SECURITY EDUCATION.—Once personnel have received the basic securityeducation training, make sure they take part ina continuing security education training program.Guarding against security compromises and otherviolations is vital to our nation’s security.The various programs that protect our securityinclude on-the-job training, refresher and specialbriefings, and debriefings.

toOn-The-Job Training. —Your personnel need

know the security procedures required for the

duties they perform. On-the-job training is thephase of security education in which personnellearn to apply specific security procedures.

Compromised reports often show that breachesof security are caused by supervisors who assumesubordinates know what they are supposed to do.Examples include assigning people to mail roomswithout training them in the preparation andtransmission of classified material or designatinga Top Secret control officer without reviewingcontrol requirements. Allowing subordinates tolearn by the trial-and-error method risks securityas much as assuming they know how to protectclassified information.

Refresher Briefings. —Once a year, make sureall personnel who have access to classified infor-mation receive a refresher briefing. The refresherbriefing should enhance security awareness—itshould not rehash the basics or be a repeat of thesame program year after year.

Once every 2 years, an NIS agent should givea counterespionage briefing to those persons whohave access to materials classified as Secret orabove. The security manager is responsible forarranging the briefing with the local NIS office.

Arrange for various types of special briefingsas needed. They could include briefings on foreigntravel, the North Atlantic Treaty Organization(NATO), and single integrated operational plan-extremely sensitive information and sensitivecompartmented information.

Debriefings. —Persons who have had accessto classified information should receive adebriefing at the following times:

1.

2.

3.

4.

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Before termination of active militaryservice or civilian employment or temporaryseparation for a period of 60 days or more,including sabbaticals and leave withoutpay

At the conclusion of an access period, whena Limited Access Authorization has beengranted

When the person’s security clearance isrevoked for cause

When a person’s securityadministratively withdrawn

clearance is

Figure 9-2.-Security Termination Statement.

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Members are also debriefed and required tosign a Security Termination Statement (fig. 9-2)if they inadvertently gain access to informationthey aren’t qualified to receive.

The debriefing should clearly stress the followingsecurity precautions:

1.

2.

3.

4.

5.

Personnel are to return all classifiedmaterials in their possession.Personnel are no longer eligible for accessto classified information.Personnel may never divulge classifiedinformation; orally or in writing, to anyunauthorized person or in judicial, quasi-judicial, or administrative proceedingswithout first receiving written permissionfrom OP-09N.Personnel may receive severe penalties fordisclosure.Personnel are to report to NIS any attemptby an unauthorized person to solicitclassified information. (Any attempts arereported to the FBI or nearest DODcomponent if personnel are no longeraffiliated with the Department of theNavy.)

When a clearance is being revoked, a personoccasionally may refuse to sign the SecurityTermination Statement during the debriefing. Ifthat happens, stress that the refusal to sign doesn’tchange the person’s obligation to protect classifiedinformation from unauthorized disclosure. Senda copy of the termination statement, which showsthat the person refused to sign the statement, toOP-09.

COMPROMISE AND OTHERSECURITY VIOLATIONS

Two types of security violations occur. Oneinvolves the compromise or possible compromiseof classified information. The other involves aviolation of security regulations, but does notinvolve a compromise.

Compromise is the disclosure of classifiedinformation to a person who is not authorizedaccess to that information. The unauthorizeddisclosure may have occurred knowingly, willfully,or through negligence. Conclusive evidence thatclassified information has been disclosed to anunauthorized person confirms the existence of acompromise.

Discovery of Compromise

If you discover a compromise of classifiedmaterial, you should regain custody of thematerial, if possible, and give it the properprotection. Then notify NIS, who may begin aninvestigation independent of command inquiries.

PRELIMINARY INQUIRY. —A preliminaryinquiry will be conducted when classified infor-mation has been compromised or subjected tocompromise. The inquiry should be completedquickly, usually within 2 or 3 days.

Every effort should be made to keep theinquiry Unclassified. The occurrence of acompromise does not necessarily require aclassified inquiry.

The inquiry may reveal that the compromisepresents a minimal risk. If you find no signifi-cant command security weaknesses, you do nothave to take formal disciplinary action. In suchcases, send the report of preliminary inquiry, byendorsement, to the next senior in the admin-istrative chain and who has Top Secret classifica-tion authority.

JUDGE ADVOCATE GENERAL (JAG)MANUAL INVESTIGATION. —A JAG Manualinvestigation is an administrative investigationbased on chapters II through VI of the Manualof the Judge Advocate General. The commandhaving custodial responsibility for the materialcompromised convenes the investigation. Thepurpose of a JAG Manual investigation is toanswer, in detail, questions about the who, what,where, when, and why of the security violation.The JAG Manual investigation gives the commandan opportunity to make a critical review of itssecurity posture.

Other Security Violations

The commanding officer may act withoutreporting to higher authority on a violation of asecurity regulation not resulting in compromiseor subjection to compromise. However, thecommanding officer must ensure that type ofsecurity violation is investigated just as thoroughlyas one resulting in a compromise because itshows a weakness within the security program.Commanding officers may decide if the occurrenceof that security violation justifies some form ofcorrective action. The possibility of personsreceiving disciplinary action for that type ofviolation is just as great as it is for a violation

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Figure 9-3.-Security Discrepancy Notice, OPNAV Form 5511/51.

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leading to compromise. Those responsible forsecurity violations may be reevaluated to deter-mine if they should remain eligible for access toclassified information.

If you find assigned personnel have leftunattended and unlocked a container in whichclassified material is stored, report the incidentimmediately to the senior duty officer. Thecontainer will be guarded until the dutyofficer arrives at the location of the unlockedcontainer. The duty officer will then inspectthe classified material involved, lock the con-tainer, and make a security violation reportto the commanding officer. If a possibilityof compromise exists, the person responsiblefor the container is required to return tothe ship or station to make a complete inventoryof its contents.

When you receive classified material thatshows improper handling, but no compromise hasoccurred, promptly notify the commandingofficer of the sending activity. Improper handlingof classified material, such as improper mailing,shipping, wrapping, addressing, packaging, ortransmitting, can result in security discrepancies.The following are other security discrepancies thatcan result from improper handling:

Sending classified information in singlecontainers

Failing to enclose a return receipt forSecret material

Sending Confidential information by FirstClass instead of Registered mail to FPO/APO addresses

Failing to mark the classification on theinner container

Report such violations on a Security DiscrepancyNotice, OPNAV Form 5511/51 (fig. 9-3).

Classified material that enters a foreignpostal system because of improper addressing orother mishandling is considered to have beencompromised. Similarly, when containers ofclassified information are damaged in shipmentto the extent that the contents are exposed, thepossibility of compromise again exists. Both ofthese two situations require a preliminary inquiryand a JAG Manual investigation.

COUNTERINTELLIGENCE MATTERSTO BE REPORTED TO THE NAVALINVESTIGATIVE SERVICE

Certain matters affecting national securitymust be reported to the NIS so that appropriatecounterintelligence action can be taken. AllDepartment of the Navy employees, military andcivilian, should report to their commandingofficers or to the nearest command any suspiciousactivities. Suspicious activities include possibleacts of sabotage, espionage, or compromise orcontact with citizens of hostile countries.Personnel should report such activities if theyinvolve themselves, their dependents, or others,whether or not they have access to classifiedinformation. Commanding officers should, inturn, notify the nearest Naval InvestigativeService office immediately.

Sabotage, Espionage, orDeliberate Compromise

Report all available information about possibleacts of sabotage, espionage, deliberate com-promise, or other subversive activities to yourcommanding officer. If you are away from yourcommand, report such activities to the mostreadily available command. Your commandingofficer or the command to which you report theactivity will, in turn, notify the nearest NISoffice. If you cannot immediately contact NISwhen sabotage, espionage, or a person’s immediateflight or defection threatens security, notify COM-NAVSECINVCOM by classified IMMEDIATEmessage. List the CNO as an informationaddressee.

Notify the servicing NIS office immediatelyof any requests, through other than officialchannels, for classified defense information,Report anyone who makes such requests, regard-less of nationality. Report any requests forinformation from any person believed to be incontact with a foreign intelligence service. Alsoreport requests for information such as thef o l l o w i n g :

Names, duties, personal data, andcharacterizations of Department of theNavy personnel

Technical orders, manuals, regulations,base directories, personnel rosters; andunit manning tables

The designation, strength, mission, combatposture, and development of ships, aircraft,and weapons systems

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NIS will advise you of any further action totake and will coordinate other actions withmembers of the U.S. intelligence community. Inremote locations where you cannot contact NISquickly enough, you may contact field represent-atives of other U.S. intelligence agencies.

Contacts With Citizensof Hostile Countries

Report to NIS any form of contact, intentionalor otherwise, with any citizen of a Communist-controlled country or country hostile to the UnitedStates. The term contact means any form ofencounter, association, or communication withany citizen of a Communist-controlled or hostilecountry. That includes cent acts in person or byradio, telephone, letter, or other forms ofcommunication for social, official, private, or anyother reasons. Report to NIS any visits you maketo embassies, consulates, trade or press offices,or other official establishments of these countries.

Contacts and other associations with citizensof Communist-controlled or hostile countries arenot, in themselves, wrong, against regulations, orillegal. However, report the contact immediatelyso that NIS may evaluate the contacts to protectthe Department of the Navy from hostile in-telligence activities. This policy applies to allDepartment of the Navy personnel, military andcivilian, including active-duty Reserve personnel.

Suicide or Attempted Suicide

If a Department of the Navy member who hadaccess to classified information commits suicideor attempts suicide, the commanding officerimmediately reports the incident to the nearestNIS office. The commanding officer forwards allavailable information about the incident by thequickest means possible. COMNAVSECINVCOMreceives an information copy of the report. Thereport explains the nature and extent of theclassified information to which the individual hadaccess.

The NIS office receiving the report coordinatesthe investigation with the commanding officer.If NIS assumes immediate investigative respon-sibility, command investigative efforts are subor-dinate to those of the NIS.

Unauthorized Absence

When a Department of the Navy member whohad access to classified information is in an

unauthorized absence status, the commandingofficer conducts an inquiry. The purpose of theinquiry is to determine if the member’s activities,behavior, or associations may be detrimental tothe interest of national security. If such indica-tions exist, the commanding officer reports allavailable information by the quickest means tothe nearest NIS office. COMNAVSECINVCOMalso receives a report of the information.

Foreign Travel

Persons with a security clearance should reportto their security office before performing anyforeign travel. Failure to report trips abroad orfrequent foreign travel should be investigated.Any unusual circumstances involving foreigntravel should be referred to the nearest NISoffice and to COMNAVSECINVVOM.

CLASSIFIED MATERIAL

Classified material is any product containinginformation that could adversely affect thenational security if disclosed without authoriza-tion. Although the Department of the Navy mustprevent the release of classified material to thepublic, it releases as much information about itsactivities as possible. Therefore, commands onlyassign security classifications to information asneeded to protect national security.

When assigning security classifications, avoidclassifying information unnecessarily or giving ita higher than necessary classification. If you havereasonable doubt about the need to classifyinformation, safeguard it as if it were classifiedat least Confidential. You may then request thatthe original classification authority (OCA) deter-mine if the classification should be changed. Thesame logic applies to the appropriate level ofclassification. Safeguard the information as if itwere classified at the higher level until the OCAcan make a determination. The OCA should makea determination within 30 days.

CLASSIFICATION DESIGNATIONS

Information that requires protection againstunauthorized disclosure in the interest of nationalsecurity receives one of three classificationdesignations: Top Secret, Secret, or Confidential.Do not use the markings For Official Use Onlyand Limited Official Use to identify classifiedinformation. Neither use modifying terms, such

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as sensitive, in conjunction with authorizedclassification designations.

Designate a Top Secret classification toinformation that could cause grave damage to ournational security upon unauthorized disclosure,such as the following:

Armed hostilities against the United Statesor its allies

Disruption of foreign relations vitallyaffecting the national security

Compromise of vital national defenseplans or complex cryptologic and com-munications intelligence systems

Disclosure of sensitive intelligence opera-tions

Disclosure of scientific or technologicaldevelopments vital to national security

Designate a Secret classification to informa-tion that could cause serious damage to thenational security upon unauthorized disclosure,such as the following:

Disruption of foreign relations significantlyaffecting national security

Significant impairment of a program orpolicy directly related to the nationalsecurity

Disclosure of significant military plans orintelligence operations

Compromise of significant scientific ortechnological developments relating tonational security

Designate a Confidential classification toinformation that could cause damage to ournational security upon unauthorized disclosure,such as the following:

Information indicating strength of ground,air, and naval forces

Performance characteristics, test data,design, and production data on U.S.weapons systems and munitions

DECLASSIFICATION ANDDOWNGRADING AUTHORITY

The following officials are authorized todeclassify and downgrade information:

1.

2.

3.

The Secretary of the Navy with respect toall information over which the Departmentof the Navy exercises final classificationauthorityThe original classification authority asdesignated by the Secretary of the Navy,a successor to the original classificationauthority, or a supervisor of eitherThe Deputies or Chiefs of Staff to thoseoriginal classification authorities forclassified information in their functionalareas

Only the Secretary of Defense or the Secretaryof the Navy may decide that specific informationno longer requires the protection originallyassigned. That is, they may change the originalclassification, which will change the classificationguidance for that information. Do not confusethe authority to downgrade or declassify with theauthority for administrative responsibility. Theperson who has administrative responsibility maydowngrade or declassify information as directedby a classification guide, the continued protectionguidelines, or the declassification instructions ona document.

Systematic Declassification Review

As classified (permanently valuable) recordsin the National Archives become 30 years old, theArchivist of the United States reviews them fordeclassification.

The CNO, OP-09N, specifies which 30-yearold Department of the Navy information requirescontinued protection. In coordination with Navyand Marine Corps commands, OP-09N hasdeveloped continued protection guidelines for theArchivist. The Director, Naval Historical Center,designates experienced personnel to guide and helpthe Archivist. These personnel guide and assistNational Archives employees in identifying andseparating documents that require continuedclassification. The Director, Naval HistoricalCenter, refers doubtful cases to the commandhaving original classification jurisdiction.

The CNO, OP-09N, reviews the continuedprotection guidelines at least every 5 years. Thisreview identifies additional information becoming

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30 years old that requires continued protectionand confirms the continued need for classifica-tion of previously identified information.

Certain categories of information transferredto the National Archives are exempted from30-year systematic review; instead, the Archivistreviews the information when it becomes 50 yearsold. These categories consist of intelligence(including special activities), intelligence sourcesor methods created after 1945, and cryptologycreated after 1945. The Archivist reviews restricteddata and formerly restricted data upon request.Foreign government information is declassifiedonly if specified or agreed to by the foreign entity.

Special procedures developed by the Director,National Security Agency, in consultation withaffected agencies, govern the systematic reviewand declassification of classified cryptologicinformation. The Secretary of Defense mustapprove the procedures.

Mandatory Declassification Review

A United States citizen or immigrant alien, afederal agency, or a state or local government mayrequest a review for declassification of Depart-ment of the Navy information. Informationoriginated by the following people are exemptfrom these provisions for mandatory review fordeclassification:

The President

The White House Staff

Committees, commissions, or boards ap-pointed by the President

Others specifically providing advice andcounsel to the President

UPGRADING

Original classification authorities may upgradeclassified information, within their functionalareas of interest, only under the followingconditions:

1. When all known holders of the informa-tion can be promptly notified

2. When all known holders of the informa-tion are authorized access to the higherlevel of classification or the informationcan be retrieved from the known holdersnot authorized access to the higher level ofclassification

Original classification authorities may classifyinformation previously determined to beUnclassified only under the following conditions:

1.

2.

3.

4.

When all known holders of the informa-tion can be promptly notifiedWhen all known holders of the informa-tion are authorized access to the higherlevel of classification or the informationcan be retrieved from the known holdersnot authorized access to the higher level ofclassificationWhen control of the information has notbeen lostWhen loss of control can still be prevented

Make every effort to retrieve, safeguard, andproperly mark and control properly classifiedinformation that has been underclassified ordisseminated as Unclassified.

Notices are not issued to downgrade or de-classify materials that contain instructions fordowngrading or declassification. All originaladdressees will be notified of changes that shortenor lengthen the duration of classification of thematerial or that change the classification level. Anotice assigning classification to currentlyUnclassified information will be classifiedConfidential, unless the notice itself containsinformation at a higher level. You may use OP-NAV Form 5511-11 (fig. 9-4) for that purpose.

REPRODUCTION OFCLASSIFIED MATERIAL

Because so many reproduction machines areused throughout the Navy, the problemsassociated with reproducing classified materialhave continued to grow. Therefore, commandingofficers control the number of copies of classifieddocuments reproduced within their commands.Personnel must have proper authorization toreproduce classified material on reproductionmachines. The originating activity or higherauthority must consent to the reproduction of TopSecret information.

Commanding officers designate certain officialsto approve all requests to reproduce Top Secretand Secret materials. These officials, in turn,ensure that security procedures for the reproduc-tion of classified materials are followed and thatsuch reproduction is kept to a minimum. Makecertain your personnel are aware of the require-ment for approval by one of these designatedofficials before reproducing classified material.

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Figure 9-4.-Notice of Change in Classification, OPNAV Form 5511-11.

Where possible, two people will be involved inreproducing classified material to ensure thepositive control and safeguard of reproducedmaterial.

Commands maintain records for 2 years toshow the number and distribution of all reproduc-tions of classified documents, including thefollowing:

Top Secret documents

Classified documents covered by specialaccess programs distributed outside theoriginating agency

Secret and Confidential documents markedwith special dissemination and reproductionlimitations

Your command should designate specific areasand equipment for there production ofclassifiedmaterial. Prominently display signs on or near theequipment to advise users of the designation. Forexample, a sign may read, THIS MACHINEMAY BE USED FOR REPRODUCTION OFMATERIAL UP TO SECRET. REPRODUCTION

MUST BE APPROVED BY (designated official).If you have machines that are not authorized forthe reproduction of classified material, post awarning notice, such as the following, on themachine: THIS MACHINE IS LIMITED TOREPRODUCTION OF UNCLASSIFIEDMATERIAL. Make sure a designated official caneasily see the area to ensure the authorization ofcopies and reproduction of the minimum numberof copies.

Some equipment may use extremely sensitivereproduction paper. Use and store the paper ina manner to prevent image transfer of classifiedinformation.

When reproducing material, make sure itshows the classification and other special markingsthat appear on the original material. Double checkall reproduced material, and remark reproducedcopies that have unclear markings.

Safeguard all samples, waste, or overrunsresulting from the reproduction process accordingto the classification of the information involved.Destroy the materials promptly as classified waste.Check areas surrounding reproduction equipmentfor classified materials that may have been lefton nearby desks or thrown in wastebaskets. If the

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machine malfunctions, check to see that all copieshave been removed. After reproducing classifiedmaterials, make sure the original and all copieshave been removed from the machine.

SAFEGUARDING OFCLASSIFIED MATERIAL

Classified information or material is used onlywhere facilities or conditions are adequate toprevent unauthorized persons from gaining accessto it. The exact nature of security requirementsdepends on a thorough security evaluation of localconditions and circumstances. Chapter 13 of OP-NAVINST 5510.1H contains specific details forsafeguarding classified material.

Responsibility for Safeguarding

If you have possession of classified material,safeguard it at all times. Lock it in appropriate

security equipment whenever the material is notin use. Follow procedures that ensure unauthorizedpersons cannot gain access to the classifiedinformation by sight, sound, or other means.Never discuss classified information with or in thepresence of unauthorized persons.

When working with Top Secret information,observe the two-person rule. That rule requirestwo persons to handle Top Secret material.However, the rule allows one person to be leftalone with the material for a short period of timeduring normal working hours.

Remove classified material from a designatedoffice or working area ONLY in the performanceof your official duties. Remove classified materialfrom designated areas to work on it during off-duty hours, or for any other purpose, ONLY withspecific approval of the Chief of Naval Opera-tions (OP-09N) or appropriate authority. You will

Figure 9-5.-Classified material cover sheet, Standard Form 703.

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receive approval only when an overriding needoccurs and you can provide the required physicalsafeguards, including approved storage. Yourcommand must keep a list of the materialsremoved. You will receive approval for theremoval of classified material overnight only whenyou have access to a secure government or clearedindustrial facility for storage.

Restricted Areas

Different areas within a command may havevarying degrees of security importance dependingon the purpose and nature of the work, informa-tion, and materials concerned. In some cases,the entire area of a command may have auniform degree of security importance. In others,differences in degree of security importance willrequire further segregation of certain activities.In locations where a language other than English

is prevalent, display Restricted Area warningnotices in English and the local language.

Do not designate controlled areas, limitedareas, and exclusion areas in any way thatoutwardly notes their relative sensitivity. Identifyany such area only as a “Restricted Area.”

Care During Working Hours

During working hours, take the following pre-cautions to prevent access to classified informationby unauthorized persons:

After removing classified documents fromstorage, keep them under constant surveillanceand face down or covered when not in use.Classified material cover sheets, shown in figures9-5, 9-6, and 9-7, are the only forms authorizedfor covering classified documents.

Figure 9-6.-Classified material cover sheet, Standard Form 704.

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•

Figure 9-7.-Classified material cover sheet, Standard Form 705. -

Discuss classified information only if un-authorized persons cannot overhear the discussion.Take particular care and alert fellow workerswhen visitors, repair persons, or maintenanceworkers are present.

Protect preliminary drafts, carbon sheets,plates, stencils, stenographic notes, worksheets,and all similar items containing classified informa-tion. Either destroy them using an approved methodor give them the same classification and safe-guarding as the original classified material held.

Protect typewriter ribbons used in typingclassified material the same as for the highest levelof classification for which they have been used.Also, destroy them as classified waste. Typewriterribbons are exempt from destruction under thefollowing conditions:

1. If the upper and lower sections have beencycled through the machine five times inthe course of regular typing

2. If it is a fabric ribbon, even if it is later usedfor classified work

3. If it remains stationary in the typewriter forat least five consecutive impressions

Place an Activity Security Checklist, StandardForm 701 (fig. 9-8), in security areas to help yousafeguard classified material.

Storage Requirements

Commanding officers are responsible for thesafeguarding of all classified information withintheir commands. That includes ensuring classifiedmaterial is either in use or under the personalobservation of cleared persons as authorized byOPNAVINST 5510.lH.

Figure 9-9 charts the requirements forprotecting classified material in storage. Reportany weakness or deficiency in equipment beingused to store or safeguard classified material toOP-09N. Fully describe the problem and how youdiscovered it.

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•

•

•

Figure 9-9.-Classified material storage requirements.

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Figure 9-8.-Activity Security Checklist, Standard Form 701.

Storing valuables, such as money, jewels,precious metals, or narcotics, in the samecontainer with classified material risks the securityof that material. Someone could open or steal thecontainer, resulting in the compromise of theinformation contained in it.

For identification purposes in the event ofemergency destruction or evacuation, place anumber or symbol indicating its priority on theexterior of each security container: However,conceal the level of classification of the materialstored inside the container.

Store Top Secret material in a safe-type steelfiling container having a built-in, three-position,dial-type combination lock approved by theGeneral Services Administration. Alarm systemsor guards who are U.S. citizens protect storagecontainers, vaults, or vault-type rooms located inareas or structures controlled by another country.

The physical barrier of an alarmed area usedfor the storage of Top Secret material preventsthe following: (1) secret removal of the materialand (2) observation that would result in thecompromise of the material. The physical barrieris such that a forcible attack will leave evidenceof an attempted entry into the room or area. Thealarm system immediately notifies the U.S. securityforce of an attempted entry.

COMBINATION LOCKS AND KEYS. —Thedevelopment of the manipulation-proof (MP) andthe manipulation-resistive (MR) locks in 1950advanced security awareness to the point thatsecure locking devices now exist. A securityfiling cabinet, vault, or strong room is nowfitted with a lock that resists opening of thecontainer by unauthorized persons. This lock isa vast improvement over the antiquated methodsof safeguarding before the MP and MR locks weredeveloped.

The MP and MR locks have more advancedfeatures designed to protect against expertmanipulation than those found in conventionallocks. These locks have at least 100 graduationson the dial, which provide a choice of at least 1million combinations. A three-tumbler lockprevents them from being unlocked when morethan one full dial graduation occurs on either sideof the proper number for each tumbler wheel.

Federal specifications governing the manu-facture of security filing cabinets and securityvault doors require that units be equipped witha top-reading changeable combination lock. Thetop-reading design replaced the front-readingdesign to provide increased protection against

someone getting the combination by secretlywatching it being used.

To help ensure the effectiveness of combina-tion locks, comply with the following securityrequirements:

1.

2.

3.

4.

5.

6.

7.

8.

9.

Allow only those persons who are clearedfor the highest level of classified materialstored in the container to change combina-tions.Give the combination only to those personswhose official duties demand access to thecent airier.Change combinations when placed in use,at least annually thereafter, and when anyof the following occurs:a. An individual knowing the combination

no longer requires access.b. The combination has been compromised

or the security container has beendiscovered unlocked and unattended.

c. The container (with built-in lock) or thepadlock is taken out of service. (Whenthat happens, reset built-in combinationlocks to the standard combination50-25-50.) Reset combination padlocksto the standard combination 10-20-30.

In selecting combination numbers, do notuse multiples of 5; simple ascending ordescending arithmetical series; and per-sonal data, such as birth dates and socialsecurity numbers.Do not use the same combination for morethan one container in any one area.In setting a combination, use numbers thatare widely separated by dividing the dialinto three parts and using a number fromeach third as one of the combinationnumbers.To prevent a lockout, have two differentpeople try a new combination before closingthe container or vault door.Assign a security classification to thecombination equal to the highest categoryof classified materials authorized to bestored in the vault or container.Seal records of combinations in theenvelope provided wit h Standard Form 700(fig. 9-10), Give the envelope to the securitymanager, duty officer, communicationofficer, or any other person designated bythe command to keep the records on file.

When key-operated, high-security padlocksare used, control the keys at the highest level ofclassification of the material being protected.

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Maintain a record for each vault, secure room,or container used for storing classified materials.Show the location, names, home addresses, andhome telephone numbers of the persons havingknowledge of the combination. Attach a StandardForm 700, Part 1, to the inside of the containerto indicate the responsible custodian.

Electrically actuated locks (for example, cipherand magnetic strip card locks) do not afford thedegree of protection required for classifiedinformation. The Navy forbids the use of this typeof lock to safeguard classified material.

SECURING SECURITY CONTAINERS. —Rotate the dial of combination locks at leastfour complete turns in the same direction whensecuring safes, files, or cabinets. Most locks,if their dial has been given only a quick twist,

will unlock when the dial is turned back in theopposite direction. Make sure all drawers of safesand file cabinets are held firmly in the lockedposition after securing them.

After each entry and closure of a securitycontainer, document the time opened and timeclosed. Enter these times and other requiredinformation on a Security Container Check Sheet,Standard Form 702 (fig, 9-11).

DESTRUCTION OFCLASSIFIED MATERIAL

Destroy classified material using the methodauthorized by the instruction governing disposalof Navy and Marine Corps records.

Destroy all classified materials as soon asthey are no longer required. Early disposal of

Figure 9-11.-Security Container Check Sheet, Standard Form 702.

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unnecessary classified materials can assist inreducing security costs, preparing for emergencysituations, and protecting classified materials.

Destruction Procedures

Destruction of classified material maybe doneonly by authorized means and by two personscleared to the level of the material beingdestroyed.

Give classified material awaiting destruction thesame protection you would give the informationit contains. Safeguard burn bags at the same levelof classification of the materials the burn bagscontain until they are completely destroyed.

Record the destruction of Top Secret andSecret materials on the Classified MaterialDestruction Report, OPNAV Form 5511/12 (fig,9-12). You may record the destruction on any

Figure 9-12.-Classified Material Destruction Report, OPNAV Form 5511/12.

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other form that includes complete identificationof the materials, the number of copies destroyed,and the date of destruction. The two officialsresponsible for destroying Top Secret and Secretmaterials will sign and date the record of destruc-tion. Retain records of destruction for a periodof 2 years. An originator’s statement that adocument may be destroyed without reportdoesn’t change the requirement to record thedestruction. It only means you don’t have to tellthe originator the document was destroyed.

The two witnessing officials will sign therecord of destruction when Top Secret and Secretmaterials are actually placed in the burn bag.When the burn bags are destroyed, appropriatelycleared personnel should again witness thedestruction.

Appropriately cleared personnel may destroyConfidential material and classified waste by anauthorized means without recording destruction.

Those personnel destroying classified materialdo not have to meet any rank, rate, or graderequirements. However, personnel must befamiliar with the regulations and procedures forsafeguarding classified information.

A command operating a central destructionfacility posts the security responsibilities of usersand assumes any unassigned responsibilities itself.The central destruction facility may deny users theright to watch the complete destruction of thematerial or to check the residue after it isburned. In such cases, the central destructionfacility is responsible for assuring destruction iscomplete and reconstruction is impossible.

Methods of Destruction

Burning has been the traditional method fordestroying classified material because destructionis complete and disposition of the remaining ashis relatively simple. The remaining ash need onlybe stirred to ensure destruction is complete andreconstruction is impossible. However, pre-cautions have to be taken to prevent material orburning portions from being carried away by thewind. Incinerators can destroy most types ofclassified material, but the Clean Air Act hasrestricted burning. In some areas, state ormunicipal legislation prohibits burning.

Shredding machines are relatively quiet andrequire little skill to operate. Shredders vary intheir degree of effectiveness, depending on themechanical condition of the equipment.

The Navy allows the use of two types ofshredding machines: the strip shredder and the

cross-cut shredder. The strip shredder cuts thematerial into strips no greater than 1/32 inch inwidth. The cross-cut shredding machine reducesthe material to shreds.

You may shred intermixed classified andUnclassified materials to prevent recognition orreconstruction of the classified material. You mayuse the strip shredder to destroy classified materialand then handle the residue as Unclassified wasteexcept when destroying communications security(COMSEC) and SCI materials.

Pulverizers and disintegrators designed fordestroying classified material are usually too noisyand dusty for office use. The Navy authorizes theuse of some pulverizers and disintegrators todestroy photographs, film, typewriter ribbons,glass slides, and offset printing plates. Itauthorizes the use of others only to destroy paperproducts.

Use wet-process pulpers to destroy classifiedwater-soluble material. Since pulpers only destroypaper products, make sure you remove staples,paper clips, and other fasteners to preventclogging of the security screen.

Destroy microform by using an incinerator(where permitted by local environmental regula-tions) or a shredder approved for the destructionof classified microform. Aboard ships at sea, youmay also destroy classified microform (exceptCOMSEC and SCI materials) by cross-cutshredding provided the shreds are no larger than3/64 inch by 1/2 inch. You may then throw theshreds into the ship’s wake.

Unclassified messages and materials, includingformerly classified materials that have beendeclassified, do not require the assurance ofcomplete destruction. Normally, do not destroyUnclassified materials by the classified materialdestruction system. However, the commandingofficer or higher authority sometimes mayapprove its use because of unusual securityfactors or for efficiency. One exception isthe destruction of Unclassified naval nuclearpropulsion information (NNPI). If possible,destroy these materials by methods authorized fordestruction of classified material. If not possible,use an alternative that provides a reasonabledegree of control during and after disposal.Specific methods depend on local conditions, butthe method used should protect against un-authorized recovery of naval nuclear propulsioninformation (NNPI).

Contrary to widespread opinion, no securitypolicy exists requiring destruction of Unclassifiedmessages (except NNPI). Some telecommunications

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and major distribution centers have high volumesof classified and Unclassified message traffic.These centers may find that destroying allmessages and intermingled files as if all theinformation were classified is more efficient.Some units, such as commands located in foreigncountries or ships operating in foreign waters,need to take extra precautions in disposing ofaccumulated message traffic. However, themethod of destruction is left to the discretion ofthe commanding officer. The commanding officermay authorize these messages to be torn into smallpieces (as with For Official Use Only [FOUO]material), defaced before discarding, or destroyedby classified destruction methods.

Emergency Destruction

All commands located outside the UnitedStates and its territories, those capable ofdeploying, and those holding COMSEC materialsmust address the destruction of classifiedinformation in their command emergency plan.They must conduct emergency destruction drillsperiodically to ensure personnel are familiar withthe plan and associated equipment.

Commands should take into account thefollowing factors to develop practical, reasonableemergency destruction plans:

Volume, level, and sensitivity of theclassified material held by the activity

Proximity to hostile or potentially hostilecountries with unstable governments andthe degree of defense the command andreadily available supporting forces canprovide

Flight schedule or ship deployments in theproximity of hostile or potentially hostileenvironments

Size and armament of land-based com-mands and ships

Sensitivity of operational assignment(Contingency planning should also beconsidered.)

Potential for aggressive action by hostileforces

The emergency destruction plan emphasizesthe procedures and methods of destruction

personnel must use. It clearly identifies the exactlocation of all classified materials. It includespriorities for destruction, billet designations ofpersonnel responsible for the destruction, and theprescribed place and method of the destruction.If more than one activity will use a particulardestruction site or piece of equipment, the plansets priorities for its use. The equipment used forroutine destruction of classified material is amajor factor in the development of the emergencydestruction plan.

The plan names the person who will make thedecision to begin emergency destruction. It alsospecifies how this decision will be communicatedto all other elements or units maintainingclassified information.

The plan also assigns priorities for emergencyevacuation and destruction of classified holdings.Priorities are based on the potential effect on thenational security should holdings fall into hostilehands.

The priorities for emergency destruction areas follows:

Priority

Priority

Priority

One—Top Secret material

Two—Secret material

Three—Confidential material

Reporting Emergency Destruction

Accurate information about the extent ofemergency destruction of classified material issecond in importance only to the destruction ofthe material itself. Report the facts surroundingthe destruction to the Chief of Naval Operations(OP-09N) and other interested commands by thequickest means available. Include the followinginformation in the report:

1. The items of classified material that maynot have been destroyed

2. The items presumed to have been destroyed3. The items of classified material destroyed4. The method of destruction

Additionally, write a statement describing thecharacter of the records and when and where thedestruction was accomplished. Submit the state-ment to the Commander, Naval Computer andTelecommunications Command, within 6 monthsafter destruction.

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•••

Commands include the requirement forreporting of emergency destruction of classifiedmaterial as part of their emergency plan.

DISSEMINATION OFCLASSIFIED MATERIAL

Commanding officers establish procedures todistribute classified material originated or receivedby commands. They also establish procedures tolimit outside distribution to those activitieshaving a need to know and to reflect any restric-tions imposed by originators or higher authority.

Review material prepared for public releaseto ensure it reveals no classified or sensitiveUnclassified information. SECNAVINST 5720.44Aoutlines the policies and procedures governingpublic release of official information and theconditions under which a security review isrequired. Certain categories of informationrequire review and clearance by the AssistantSecretary of Defense (Public Affairs).

Top Secret Material

Top Secret material originated within DODcan be disseminated outside DOD only if theoriginating department or agency gives its consent.

Secret and Confidential Material

Originators may prohibit the dissemination oftheir classified materials. Otherwise, you maydisseminate Secret and Confidential materials toother departments and agencies of the executivebranch of the government.

Naval Nuclear Propulsion Information

The protection of all strategically importantinformation is essential to national security.However, because nuclear-powered ships and thenaval nuclear propulsion program are majordeterrents to war, information about them is atarget for hostile intelligence organizations.Therefore, commands need to maintain rigidcontrol over all information about these subjects,whether classified or Unclassified. Unnecessarydissemination, cursory security review, andcareless handling of this information help hostileagents in their collection of intelligence.

MARKING OFCLASSIFIED MATERIAL

Classified markings and annotations or othermeans of identifying classified information revealthe classification level and degree of protectionrequired for material. They also show the levelof protection required for extracted and para-phrased information and help to determine theneed to downgrade and declassify material.Therefore, mark all classified materials in amanner that leaves no doubt about the level ofclassification assigned. Use classification markingsthat leave no doubt as to which parts contain orreveal classified information or how long thematerials should remain classified. Take anyadditional measures needed to protect thematerials.

The word document, as used in this text,means publications, correspondence (such asmilitary and business letters and memoranda), andother printed or written products (such as chartsand maps). Although you can easily mark mostdocuments, you may have difficulty markingmaterials such as hardware, recordings, andphotographs. If the makeup of materials preventyou from marking on them, affix the markingsby means of a tag, sticker, decal, or similardevice. Affix classification markings so thatthey are obvious on documents and othertypes of materials, including containers forstorage.

Classified marking and application require-ments vary, depending on the kind of material towhich you must apply the markings. Include thefollowing basic markings on all classifiedmaterials:

The identity of the original classificationauthority

The agency or office of origin

The overall classification

The declassification date or event or thenotation “Originating Agency’s Deter-mination Required (OADR)”

Any downgrading instructions

The overall classification is the highestclassification of any information contained in or

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••••

•

revealed by the material. Overall markingsconsist of the following:

The overall classification of the material

The most restrictive downgrading/declassifica-tion instructions applied to any informationin the material

All warning notices or intelligence control mark-ings that apply to information in the material

The classification authority, the officeof origin, downgrading and declassificationinstructions, warning notices, and intelligencecontrol markings are referred to as associatedmarkings.

Figures 9-13 through 9-18 show the correctmarking procedures for classified material. Table9-1 is a detailed marking guide for publicationsand correspondence.

Figure 9-13.-Cover of a publication.

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Figure 9-14.-Interior pages of a document.

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Table 9-l.-Marking Guide for Publications and Correspondence

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Table 9-1.-Marking Guide for Publications and Correspondence-Continued

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Table 9-1.-Marking Guide for Publications and Correspondence—Continued

OVERALL AND PAGE MARKINGS Mark major components of a document,FOR CORRESPONDENCE

Place the basic markings on the first page ofall correspondence (fig. 9-15). Type the overallclassification on the first page in the upper leftcorner and stamp it at the top and bottom center.Place the classification authority and down-grading and declassification instructions in thelower left corner. Spell out warning notices afterthe typed classification in the upper left corner,except for Restricted Data or Formerly RestrictedData. Type “Restricted Data” or “FormerlyRestricted Data” after the classification in theupper left corner and the full warning notice inthe lower left corner. Type the intelligencecontrol markings after the classification in theupper left corner.

On the second and succeeding pages, stampthe classification on the top and bottom center.Use either the overall classification or the highestclassification of information on that page.Examples of correspondence markings are shownin figures 9-15 and 9-16.

which can be-used independently, as individualdocuments. Examples are appendices and annexesto plans or operations orders. Always mark anenclosure to a letter of transmittal as an individualdocument.

Subject and Titles

Whenever possible, use Unclassified subjectsor titles of documents to simplify referencingthe subject or title in Unclassified documentsor indexes. If you need a classified subjectto convey meaning, add an Unclassified shorttitle for reference purposes. Mark subjectsor titles with the appropriate parentheticalsymbol immediately following the subjector title. The parenthetical symbols are (TS)for Top Secret, (S) for Secret, (C) for Con-fidential, (FOUO) for For Official Use Only,and (U) for Unclassified. When you includethe subject or title of a classified documentin the reference line, the enclosure line, orthe body of a document, follow with a

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Figure 9-15.-Naval letter.

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Figure 9-16.-Memorandum.

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similar subject or title classification (fig.9-17).

Portion Markings

Mark each portion (section, part, paragraph,or subparagraph) of a classified document toshow its level of classification or the fact thatit is Unclassified. These markings eliminate anydoubt as to which portions of a document containor reveal information requiring protection.However, be sure you consider each portion for

classification on the basis of its content and itsassociation with other information. Place theappropriate parenthetical symbol immediatelyfollowing the portion letter or number. In theabsence of letters or numbers, place theappropriate symbol immediately before thebeginning of the portion.

When a major numbered or lettered paragraphand all of its subparagraphs are Unclassified, youdon’t need to mark each paragraph. Marking thelead-in paragraph with a (U) is sufficient.

Figure 9-17.-Letter of transmittal.

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Except in those cases where an intelligencesource or method would be revealed, markportions of United States documents containingforeign government information. Make sure themarking reflects the country or internationalorganization of origin as well as the appropriateclassification such as (NATO-S) or (UK-C).

In certain situations, parenthetical portionmarking is impractical. In such cases, includeon the face of the document a statement thatidentifies the exact information that is classifiedand the classification level assigned.

Mark the classification in full, not in anabbreviated form, on figures, tables, graphs,charts, photographs, and similar illustrationsincorporated in classified documents. Ideally, youshould center the classification marking just belowthe illustration. Special situations may dictateplacement of the marking above or actually withinthe general area of the illustration. If theinformation requires a caption, place theabbreviated classification marking for the captionimmediately before the text of the caption. Whenfigure or table numbers identify the caption, placethe abbreviated marking after the number andbefore the text.

Transmittals

A transmittal document or endorsement carriesthe highest classification of the information ittransmits. It also contains a statement showingthe classification of the transmittal document. Anexample is an Unclassified letter that transmits aclassification of the enclosure and the notation“Unclassified upon removal of enclosure.” Alsoshow on the transmittal document any warningnotices, intelligence control markings, or specialnotations on enclosures. Include downgrading anddeclassification instructions only when thetransmittal itself is classified. Otherwise, thenotation that the transmittal is “Unclassified uponremoval of the enclosure” is the only instructionneeded. Figure 9-17 shows a sample of a letter oftransmittal.

Electrically Transmitted Messages

Mark classified messages at the top andbottom with the overall classification; also,portion mark as prescribed for other documents.You may use the automated system that prints amessage to print the classification markings also,as long as the markings are legible.

Include the overall classification, spelled out,as the first item of information in the text of aclassified message. Spell out the identification forRestricted Data, Formerly Restricted Data, orCritical Nuclear Weapons Design Informationfollowing the classification; but use the short formfor intelligence control markings.

Show the date or event for declassification orthe notation “Originating Agency’s Determina-tion Required” (fig. 9-18) on the last line of textof a classified, electrically transmitted message.

You may omit the downgrading or declassifi-cation annotation on messages containing Re-stricted Data or Formerly Restricted Data;however, show the basis of the classification onthe originator’s record copy.

Show the full marking on copies of messagesnot electrically transmitted (such as mail or couriercopies).

Training or Testing Material

Mark classified material used for training ortesting purposes and handle as appropriate forthat level of classification.

When Unclassified matter is used for trainingpurposes, mark it with the following notation:“(insert the type of classification) for training,otherwise Unclassified.” You may purposelymark incorrectly as classified any Unclassifiedmaterial used to test automated communicationssystems. Annotate the material as “classified fortest purposes only” and handle as Unclassifiedmaterial.

Special Access Program Material

When warranted, material containing infor-mation subject to the special access programreceives additional marks. Mark special accessprogram material as prescribed in directives,regulations, and instructions relating to approvedspecial access programs. You may change orremove the markings only by direction of theauthority responsible for the special accessprogram concerned.

Nuclear Propulsion Information

Classified naval nuclear propulsion informa-tion (NNPI) is exempt from the requirements forportion markings.

In documents containing both classified NNPIand other classified information, mark thoseportions containing classified information other

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Figure 9-18.-Message.

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than NNPI. Do not mark those containing NNPI.Include the following statement in the body of thedocument to explain the absence of markings:

Those paragraphs which are not markedfor classification contain naval nuclearpropulsion information (NNPI) which isexempt from the requirement for portionmarking set forth in the Department of theNavy Information and Personnel SecurityProgram Regulation.

Place the following downgrading and de-classification markings on documents containingclassified NNPI that is not Restricted Data orFormerly Restricted Data:

Classified by DOE-DOD ClassificationGuide CG-RN-1 dated January 1977.

Declassify On: Originating Agency’sDetermination Required. This documentshall not be used as a basis for derivativeclassification.

Miscellaneous Materials

Treat materials developed in connection withthe handling, processing, production and use ofclassified information in a manner that ensuresadequate protection. Such materials includerejected copy, typewriter ribbons, carbons, andsimilar items. Destroy these materials at theearliest practical time. Omit marks, stamps, orother indications that the recorded informationis classified unless needed to ensure its protection.

PERSONNEL SECURITYCLEARANCES

The basic policy of the Department of theNavy Personnel Security Program designates theChief of Naval Operations (OP-09N) as theofficial responsible for managing the securityclearance program. The CNO (OP-09N) deter-mines policy for granting access to classifiedmaterial.

Persons are granted access to classifiedmaterial only if that access is clearly consistentwith the interests of national security. Competentauthority may determine a reasonable basis fordoubting a military or civilian person’s loyalty tothe government of the United States. If no doubtis determined, a person’s loyalty is assumed to be

consistent with the interests of national security.This assumption applies to the appointment orretention of civilian personnel in governmentpositions and acceptance or retention of militarypersonnel in the Navy and Marine Corps.

CITIZENSHIP

Only United States citizens are granted accessto classified information or assigned to sensitiveduties. Sensitive duties are those in which anassigned military member or civilian employeecould bring about an adverse effect on thenational security. Any duties requiring access toclassified information are sensitive duties.

Reference to U.S. citizens in this text includesall U.S. citizens. It includes those who are U.S.citizens by birth, those who are naturalizedcitizens, and those who are U.S. nationals.Reference to non-U.S. citizens in this textrelates to immigrant aliens and foreign nationals.Immigrant aliens are those who have been lawfullyadmitted to the United States for permanentresidence. Foreign nationals are defined, forsecurity purposes, as the following:

Those who are not U.S. citizens, U.S.nationals, or immigrant aliens

Those immigrant aliens who have failed tobecome citizens

Those U.S. citizens or immigrant alienswho represent a foreign government,foreign private interests, or foreignnationals when they are acting in thatcapacity

With few exceptions, the Navy and MarineCorps will accept only U.S. citizens as officers butwill accept immigrant aliens as enlisted. Under aU.S.-Republic of the Philippines agreement, theNavy may enlist nonimmigrant aliens. Enlistedimmigrant aliens (and Philippine nonimmigrantaliens) may not enter into ratings or militaryoccupational specialties (MOS) that generallyrequire access to classified information. Theyare allowed access to classified information orassigned to sensitive duties only when specificallyauthorized by OP-09N. The Navy and MarineCorps considers all other foreign nationals tobe foreign representatives. They are governed bythe foreign disclosure policies and proceduresin OPNAVINST 5510.48J and OPNAVINSTS5510.155C.

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•

VERIFICATION OF CITIZENSHIP

Citizenship status affects the requirementsinvolved in a security clearance investigation.Consider the clearance eligibility and the accessa person will be granted before you start thatperson’s security processing. Personnel arerequired to submit evidence of citizenship toreceive a security clearance. However, to retaina clearance at their present level, personnel whohold a current, valid clearance issued by the Navyor Marine Corps are exempt from this require-ment. Verification is required for first-timeclearance candidates and candidates for clearanceat a higher level than currently held if citizenshipwas not verified previously.

Navy and Marine Corps officers must submitproof of citizenship before their commissioning.Unless a person’s record specifically notes that heor she is not a U.S. citizen, you may assume thatan officer is a U.S. citizen. Enlistees mustsubmit documentation verifying their citizenshipstatus during enlistment processing.

Civilians must provide documentation provingthe citizenship claimed on their application duringthe hiring process. Never assume a former officeris a U.S. citizen. The former officer mustprovide evidence of citizenship if the personnelrecord is unavailable.

The following conditions may satisfy therequirement for a service member to verify U.S.citizenship for a clearance at a higher level thancurrently held:

1. The person has a valid backgroundinvestigation (BI) or special background investiga-tion (SBI) completed before 1 September 1979,provided U.S. citizenship was claimed at thattime.

2. The person is an officer in the Navy orMarine Corps, although the record does notcontain evidence of noncitizenship.

3. An enlisted member’s service recordcontains a DD Form 1966 (Application forEnlistment—Armed Forces of the United States)with a certification that the documents verifyingcitizenship have been sighted; or for Navymembers, a NAVPERS 1070/601 (ImmediateReenlistment Contract) reflecting that thedocumentation has been sighted and the personis a U.S. citizen.

The following documentation is required toprove U.S. citizenship; it is generally the same asthat required for U.S. passport purposes:

1. If the person was born in the United States,a birth certificate is required. A certificate in theform officially issued and certified by the stateor county agency is acceptable if it shows the birthrecord was filed shortly after birth and it bearsthe signature of the registrar.

a. A delayed birth certificate (a recordfiled more than 1 year after the date of birth) isacceptable.

b. Verification of birth (DD Form 372) isacceptable for military members if the birth datalisted is verified by the registrar.

c. A hospital birth certificate is acceptableif all of the vital information is given and it hasan authenticating seal or signature. The hospitalmust be fully recognized and credentialed by arecognized authority.

d. If primary evidence cannot be obtained,a notice from the registrar that no birth recordexists should be submitted. The registrar’s noticemust be accompanied by the best combination ofsecondary evidence obtainable. Secondaryevidence includes a baptismal certificate; acertificate of circumcision; affidavits of personshaving personal knowledge of the facts of thebirth; or other documents, such as an earlycensus, school or family bible records, newspaperfiles, and insurance papers. The secondaryevidence should have been created as close to thetime of birth as possible.

e. All documents submitted as evidence of

birth in the United States must be original orcertified copies. Uncertified copies are notacceptable.

2. If citizenship was acquired by birth abroadto a U.S. citizen parent, one of the following isacceptable:

a. Certificate of Citizenship issued by theImmigration and Naturalization Service

b. A. Report of Birth Abroad of a Citizenof the United States of America (Form FS-240)

c. A Certification of Birth (Form FS-545or DS-1350) issued by a U .S, Consulate or theDepartment of State

For personnel born in the Canal Zone, acertificate of birth issued by the Canal Zonegovernment indicating U.S. citizenship and

9-40

verified with the Canal Zone Commission isacceptable.

3. If the person claims U.S. citizenship bynaturalization, a Certificate of Naturalization isrequired. A Certificate of Citizenship is requiredif the person claims to have derived U.S. citizen-ship through the naturalization of the parent(s).If the person does not have a Certificate ofCitizenship, the Certificate of Naturalization ofthe parent(s) may be accepted if the naturaliza-tion occurred before the age of 18 (or before theage of 16 before 5 October 1978) and the personwas a permanent U.S. resident. Certificatespresented must be originals; making copies isillegal.

4. A U.S. passport issued to the person or onein which the person was included (that is, a childand parent on a passport photograph) isacceptable.

PERSONNEL SECURITYINVESTIGATIONS

Persons are given access to classified informa-tion or assigned to sensitive duties only if theirloyalty, reliability, trustworthiness, and judgmentis determined. The initial determination is basedon a personnel security investigation (PSI)appropriate to the access required or to otherfactors involving the sensitivity of the dutiesassigned.

Although commanding officers may requestPSIs on personnel under their jurisdiction, theymay request only the minimum investigation tosatisfy a requirement.

The Defense Investigative Service (DIS) or,where specified, the Office of Personnel Manage-ment (OPM) conducts or controls all PSIs for theDepartment of the Navy. You are prohibited fromconducting PSIs, including local public agencyinquiries, without a specific request from DIS.

Keep PSI requests to the absolute minimum.Do not use them as a means of identifyingproblem personnel security cases.

Types of Personnel SecurityInvestigations

A personnel security investigation(PSI) is aninquiry by an investigative agency into a person’sactivities conducted for the purpose of making apersonnel security determination. Investigationsconducted for other purposes may affect aperson’s employment, clearance, or assignment,

but are not PSIs. Examples are investigations ofcompromise, criminal activity, sabotage, espionage,or subversion.

Because the Navy uses various levels of infor-mation, it must have a system of protecting alltypes of information that could jeopardize ournational security. Some materials could have amore devastating effect on our nation than others.For that reason, the Navy conducts personnelsecurity investigations before granting a securityclearance to persons who handle sensitive infor-mation. These investigations fall into one of theseven categories described in the followingparagraphs.

NATIONAL AGENCY CHECK. —A nationalagency check (NAC) is a check of federal agencyfiles on persons who apply for employment byfederal agencies. The check, conducted by DIS,includes a check of the Defense Central Index ofInvestigations (DCII) and a check of FBI files.An NAC includes a check on other agencies whenthe information on the applicant’s investigativeforms indicates a need for one. The NACconducted on a first-term enlistee in the Navyor Marine Corps is called an entrance NAC(ENTNAC). The primary reason for an ENTNACis to determine a person’s suitability for entryinto the service. It is requested only at the timeof initial entry, not at reenlistment or at a laterdate. An NAC is also required for each personaccepting a commission in the naval service or aReserve component commissioned officer status.The NAC is an integral part of each backgroundinvestigation (BI), special BI (SBI), or periodicreinvestigation (PR). When an NAC disclosesinformation that DIS must investigate further toresolve, the result is called an expanded NAC(ENAC).

NATIONAL AGENCY CHECK AND IN-QUIRY. —A national agency check and inquiry(NACI) is a check of the files of civilian applicantsfor employment by federal agencies (an NAC),which includes written inquiries about theapplicants. The Office of Personnel Management(OPM) conducts this check. It sends inquiries,covering the person’s last 5 years beforeapplication, to law enforcement agencies, formeremployers, supervisors, references, and schools.

DOD NATIONAL AGENCY CHECK PLUSWRITTEN INQUIRIES. —A DOD nationalagency check plus written inquiries (DNACI),conducted by DIS, consists of an NAC, credit

9-41

bureau checks, and written inquiries to currentand former employers covering a 5-year period.

BACKGROUND INVESTIGATION. —DISconducts a background investigation (BI) togather information on a person’s loyalty,character, emotional stability, and reliability.It consists of an NAC plus a field investigationconsisting of an interview and a written inquiry.Standard BI elements include checks of employ-ment; education; organization affiliations; localagencies; where the subject has lived, worked, orgone to school; and interviews with persons whoknow the individual. Depending on the informa-tion disclosed, the BI may also include credit andneighborhood checks and an interview of thesubject to resolve any questionable or derogatoryinformation. The scope of a BI usually covers aperiod that extends back 5 years or begins at the18th birthday, whichever is the shorter period;however, at least the last 2 years are covered, withthe exception that no investigation is conductedbefore a person’s 16th birthday. No time limitis set for the resolution of questionable orderogatory information. The scope of a BI forpersons assigned to NATO billets and fornon-U. S. citizens is 10 years (with the restrictionon investigation before the 16th birthday). A fullfield investigation (FFI) conducted by the FBI orOPM is the equivalent of a BI.

SPECIAL BACKGROUND INVESTIGA-TION. —A special background investigation(SBI), conducted by DIS, extends coverage of theperson’s background to provide a greater depthof knowledge than a standard BI. An SBI includesan NAC on the member’s spouse or cohabitant.It also includes an NAC on any immediate familymembers 18 years of age or older who are U.S.citizens other than by birth or who are not U.S.citizens. The scope of an SBI covers a period thatextends back 15 years or begins at the 18thbirthday, whichever is the shorter period;however, at least the last 2 years are covered, withthe exception that no investigation is conductedbefore the person’s 16 birthday. At the presenttime, CNO authorizes SBIs only on personnel whohave access to certain information or who areassigned to certain duties. The followingassignments presently require an SBI:

Assignments requiring access to single inte-grated operational plan—extremely sensitiveinformation (SIOP-ESI)

Assignments requiring access to sensitivecompartmented information (SCI)

Assignment to Presidential support duties

Assignment to investigative agencies as specialagents or investigative support personnelrequiring continuous access to investigate filesand materials

PERIODIC REINVESTIGATION . —A periodicreinvestigation (PR) updates a valid investigationconducted by DIS. It consists of a personalinterview, an NAC, local checks, credit checks,and interviews with employment references andcharacter references. A periodic reinvestigationalso includes a command review of all availablerecords when warranted by the facts of thecase.

SPECIAL INVESTIGATIVE INQUIRY. —Aspecial investigative inquiry (SII), conducted byDIS, has two purposes. The first purpose is toprove or disprove allegations about a person onwhom a personnel security determination has beenmade. The second is to assess the current eligibilityof an individual on whom an unfavorable person-nel security determination had previously beenmade. An SII consists of a limited inquiry, apost-judicatory investigation, or some othertype of DIS inquiry. SIIs do not investigatecurrent criminal activity, sabotage, espionage, orsubversion. The Naval Security and InvestigativeCommand investigates those matters.

Since SIIs supplement the basic PSI, they arenot entered as investigations on the Certificate ofPersonnel Security Investigation Clearance andAccess (OPNAV Form 5520/20).

The Nuclear Weapons PersonnelReliability Program

Investigative requirements for the NuclearWeapons Personnel Reliability Program (PRP)are based on the sensitivity of the positionoccupied. The position may or may not reflect theclassification level of information to which theperson may have access. Positions in the PRP aredesignated as Critical or Controlled.

A Critical position in the PRP requires a BIwithin the past 5 years before initial assignment.Continued assignment to a PRP position isallowed without an update of the investigation.

9-42

A Controlled position in the PRP requires anNACI or DNACI investigation within the past 5years before assignment. Continued assignmentto a Controlled position is also allowed with anupdate of the investigation.

Initial assignment in the program is interpretedas the first time a person is screened and qualifiedfor the program, regardless of the positionoccupied. Subsequent assignments in the PRPrequire a reinvestigation under the followingconditions:

1.

2.

When the person has been out of theprogram more than 5 yearsWhen the requirements for the PRPposition currently being considered havenot been satisfied by an investigation withinthe last 5 years

When military personnel have a break inactive duty of more than 1 year, investigationscompleted before the break become invalid forassignments to the PRP. However, they may beused to determine if a person is eligible for aclearance. Included are persons who transfer fromactive duty into the Reserves for over a year andthen return to active duty. An investigationcompleted in the previous tour of active duty isalso invalid for PRP assignments.

ACCESS TOCLASSIFIED MATERIAL

The Department of Defense uses the simpleprinciple of circulation control to maintainsecurity of classified information. Circulationcontrol means that knowledge or possession ofclassified information is permitted only bypersons requiring access in the interest of nationalsecurity. Only personnel who are eligible aregranted access.

No one is granted access to classifiedinformation solely because of rank, position, ora security clearance. The person authorized tohave possession, knowledge, or control ofclassified information has the final responsibilityfor deciding whether a person requires access tothat information.

The preceding security precautions also applyto access by another federal agency, a defensecontractor, a foreign government, or an organiza-tion such as a command.

GRANTING ACCESS

Commanding officers have the authority togrant access to classified information and areresponsible for the security of the information ormaterials in their command. They may grantaccess to classified information to persons whohave an official need to know or a valid securityclearance. They may also grant access if localdisqualifying information is unavailable about aperson.

The commanding officer should take thefollowing steps in granting access to a memberof a command:

1.

2.

3.

4.

Determine the level of access necessary forthe person to perform his or her officialduties (need to know).Check the person’s official personnelrecord and determine if he or she has, oris eligible for, the proper clearance.Review the available command recordsand reports for possible disqualifyinginformation.Grant the access and record it if theperson has the proper clearance and, dis-qualifying information is unavailable.

Since granting access is a command respon-sibility, access is terminated automatically whenthe person transfers from the command, isdischarged, or is separated from federal service.It is also terminated when a security clearance iswithdrawn, denied, or revoked for any reason.

When questionable or unfavorable informa-tion becomes available on a person who has beengranted access, commanding officers may decideto restrict or suspend access. They may use arestriction or suspension of access for causeonly as a temporary measure until the person’seligibility for access is resolved.

LIMITED ACCESS AUTHORIZATION

Commanding officers may sometimes grantaccess to classified information to a person whois ineligible. The person maybe someone outsidethe executive branch of the government orsomeone who is otherwise ineligible for a securityclearance. Commanding officers may grant suchaccess only in the interest of national security.Those commanding officers who decide to grantaccess to such a person should submit a requestto CNO (OP-09N) for a limited access authoriza-tion (LAA). The CNO (OP-09N) will accept LAA

9-43

requests only from active-duty commandingofficers. When OP-09N grants an LAA, com-manding officers then assume responsibility forbriefing the person. They also have the respon-sibility of limiting the person’s access to thatinformation authorized and debriefing the personat the end of the access period.

The CNO (OP-09N) will authorize access onlyfor the specific purpose and the specific classifiedinformation stated in the request. In the case ofnon-U. S. citizens, the information requires releasefrom the country of origin. The authorization willbe effective for the period of time necessary,subject to reinvestigation every 5 years. Physicalcustody of classified material is normally refused.Unlike a security clearance or a command-grantedaccess, an LAA is not entered on the Certificateof Personnel Security Investigation, Clearance,and Access.

ACCESS BY RESERVE PERSONNEL

Reserve personnel who have an appropriateclearance may be granted access to classifiedinformation for active-duty training or inactive-duty training. The clearing authority or theauthority with the information to be discloseddetermines the need for access. Access granted forinactive-duty training should be recorded on theCertificate of Personnel Security Investigation,Clearance, and Access.

Inactive Reserve personnel are ineligible foraccess to classified information unless they arespecifically authorized by OP-09N under limitedclearance procedures.

Reserve personnel are granted access to trainingeditions of the following documents as requiredto maintain proficiency in their specialties:

CodesCipher systemsAuthentication systems

Call-sign encryption systemsOperation instructionsMaintenance manuals

They are also granted access to COMSEC publica-tions listed as study materials for advancementin rate. Additionally, selected units are authorizedaccess to operational COMSEC materials. Properlycleared inactive-duty personnel taking part in unitdrills with these selected units are given access toCOMSEC materials as required in the perform-ance of their duties.

ACCESS BY RETIRED PERSONNEL

Retired personnel, including those on thetemporary disability retired list, are not entitledto access to classified information because of theirpresent or former status. Commanding officersgrant retired personnel access to classifiedinformation only when it will promote nationalsecurity. Commanding officers may submit arequest for access authorization to OP-09N.

RECORDING ACCESS

Record access granted by a command, prefer-ably on the Certificate of Personnel SecurityInvestigation, Clearance, and Access, OPNAVForm 5520/20. The commanding officer or hisor her designated representative must sign allaccess entries.

The commanding officer makes certain theComments section of OPNAV Form 5520/20contains any access restrictions that apply topersonnel.

ADP SECURITY

Automated data processing (ADP) security isa Navywide responsibility. It includes securityaspects that contribute to the protection of thetotal ADP activity, office information system, ornetwork. It involves the following elements:

Physical security, administrative proce-dures, operating procedures, and personnel

Communications and emanations

Hardware, software, and data

The level of data processed by an ADP activityor network and the cost of carrying out an ADPsecurity program require careful management ofADP security. All Department of the Navy (DON)activities must regularly review and continuouslymonitor their ADP security program.

The ADP security program will protect ADPactivities, office information systems, and net-works and the data they process as outlined inappropriate directives.

Refer to the ADP Security Manual, OP-NAVINST 5239.1A, for a thorough descriptionof ADP security policies and procedures.

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SUMMARY

As you advance in rate to chief petty officer,your responsibility to your subordinates and toyour country increases. By the time you haveattained the rate of petty officer first class or chiefpetty officer, the Navy realizes you have maturedand can accept more responsibility. That isapparent when your division officer or depart-ment head shares schedule changes or othersensitive information with you so that you canadjust your divisional work schedule.

This chapter is only an introduction to thesecurity requirements you are responsible forenforcing. You will find specific security require-ments in the Department of the Navy Informationand Personnel Security Program Regulation,OPNAVINST 5510.1H.

You, the experienced first class or the seasonedchief, will teach your junior personnel the detailsof the security program. Therefore, you need toknow the Navy’s basic security requirements andbe aware of those actions considered as securityviolations. Your life and the lives of your ship-mates may depend on information that could fallinto the hands of a hostile country. Reportany counterintelligence matters to a NavalInvestigative Service office.

You will be responsible for marking propersecurity classifications on classified cor-respondence. Many of these markings are alsoused in the marking of classified publications. Youneed to understand the different personnelclearances and the required investigations foreach. Remember that the necessity for access to

classified information rests not with the personneeding it, but with the person holding thematerial. You must consider the best interests ofboth the nation and the Navy in making intelligentdecisions regarding access to classified material.

Remember, that stranger who is inquisitiveabout your work during a friendly conversationcould be an enemy agent. Be careful to avoiddiscussions from which anyone could gatherinformation that could risk our national security.A conversation of this type could be your last ifyou unknowingly divulge classified informationto an enemy agent.

REFERENCES

ADP Security Manual, OPNAVINST 5239.1A,Office of the, Chief of Naval Operations,Washington, D.C., 1982.

Department of the Navy Information and Person-nel Security Program Regulation, OPNAV-INST 5510.1H, Office of the Chief of NavalOperations, Washington, D.C., 1984.

Standard Organization and Regulations of theNavy, OPNAVINST 3120.32B, Chief ofNaval Operations, Washington, D.C., 1986.

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

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INDEX-1

INDEXA

ADP security, 9-44 ADP security officer, 9-7 Adversaries, possible, 1-8 Africa, 1-9

Northern Africa, 1-9 Southern Africa, 1-9 strategic importance, 1-9

Aircraft, 1-12 Arms control, 1-11 Assistance organizations, 6-7 Assistance programs, 6-1

assistance organizations, 6-7 Casualty Assistance Calls Program, 6-3family advocacy, 6-2 Family Service Centers, 6-2 housing entitlements, 6-4 morale, welfare, and recreation, 6-3

and 6-11 Navy Personal Financial Management

Program (PFM), 6-4Navy Sponsor Program, 6-5 Ombudsman Program, 6-2 Overseas Duty Support Program, 6-5 single parenting, 6-1

Authority, 2-10 and 3-12 Awards, 7-21

campaign and service, 7-22 foreign decorations and non-U.S.

service, 7-22 identification badge and breast

insignia, 7-22 marksmanship, 7-22 medals, large and miniature, 7-24 military decorations, 7-21 nonmilitary decorations, 7-21 precedence, 7-21 ribbons, 7-23 unit, 7-21 wearing of, 7-23

B

Benefits, 5-2 and 5-19 family services, 5-3 leave, 5-3 life insurance, 5-3 medical care, 5-19 Navy lodge, 5-3 recreation, 5-3, 6-3, and 6-11 Survivor Benefit Plan, 5-20

Broadened Opportunity for Officer Selection and Training (BOOST), 5-10

Budgets, 4-1budge process, the, 4-2 budget requests, 4-1 division goals, 4-3 preparation of, 4-3 types of, 4-4

C

Career information, 5-1 benefits, 5-2 and 5-19 commissioning programs, 5-8 dependent care, 5-11 education, 5-6 entitlements, 5-5

Career information------Continued Fleet Reserve and retirement, 5-18 interview, 5-1 Selective Conversion and

Reenlistment Program, 5-2Selective Training and Reenlistment

Program, 5-2Casualty Assistance Calls Program, 6-3 Chain of command reporting system, the, 6-9 CHAMPUS, 5-12 Chemical and biological weapons, 1-12

defense against, 1-18 Iran, 1-16 Iraq, 1-16 Israel, 1-16 Libya, 1-19properties of, 1-17 Syria, 1-19

Chief of Naval Operations, the, 2-9 Chief Warrant Officer (CWO) Program, 5-9 Classification designations, 9-14 Classified material, 9-14,

access to, 9-43 classification designations, 9-14 declassification and downgrading

authority, 9-15destruction of, 9-24 dissemination of, 9-28 limited access authorization, 9-43 marking, 9-28 markings for correspondence, 9-33 methods of destruction, 9-26 recording access to, 9-44 reproduction of, 9-16 safeguarding, 9-18 storage requirements, 9-20

Commandant of the Marine Corps, the, 2-9 Commanders in Chief and other

commanders, 2-9 Commanding officer, 2-9

applicability, 2-10 publishing and posting orders and

regulations, 2-10Commissioning programs, 5-8

Broadened Opportunity for Officer Selection and Training, 5-10

Chief Warrant Officer (CWO) Program, 5-9

direct commission, 5-11 Limited Duty Officer (LDO) Program,

5-9United States Naval Academy, 5-9

Communication, 4-33 military briefing, 4-33 naval messages and correspondence, 4-34

Compromise, 9-11 Confinement and custody, 2-21 Congressional communications reporting

system, the, 6-11 Control, elements of effective, 3-9 Controlling, 3-6

concurrent, 3-6 critical path method, 3-9 elements of effective control, 3-9 feedback, 3-6 feedforward, 3-6 Gantt chart, 3-8 inventory control, 3-6

Controlling------Continuedmeasurable and nonmeasurable

control, 3-7plan of action and milestones, 3-7 program evaluation and review

technique, 3-8quality control, 3-6

Counseling, 4-26 personal, 4-28 principles of, 4-26 professional, performance, and

enlisted evaluation, 4-29types of, 4-27

Counterintelligence, 9-13 CPO uniforms, 7-9

awards, 7-21 caps and their insignias, 7-18 collar devices, 7-20 history of, 7-9 maintenance of, 7-24 rating badges, 7-18 required and optional, 7-14

D

Declassification and downgrading authority, 9-15

Defense Activity for Non-Traditional Education Support, 5-7

Delegation of authority, 2-11 and 3-12 Department of the Navy, 2-9 Departmental 3-M systems assistant, 4-24 Departmental damage control chief petty

officer, 8-10 Dependent care, 5-11

CHAMPUS, 5-12 financial counseling, 5-12

Direct commission, 5-11 Division officer, 4-24 Divisional duty officer, 7-7 Divisional goals, 4-3

developing, 4-3 establishing, 4-4 monitoring, 4-4

Documentary evidence, 2-7 Drill and formation, 7-2 Drill commands, 7-4

E

Education, 5-6 Defense Activity for Non-Traditional

Education Support, 5-7 Montgomery GI Bill (MGIB) Act of 1984, 5-8National Apprenticeship Program, 5-7 Navy Associate Degree Program, 5-8 Program for Afloat College Education, 5-6 Servicemembers Opportunity College, 5-8 tuition assistance, 5-6

Entitlements, 5-5household effects, 5-5 Navy schooling, 5-6 retirement, 5-5 selective reenlistment bonus, 5-6 survivor benefits, 5-5 travel, 5-5

Equipage, controlled, 4-17 inventory, 4-22 items, designation of, 4-17 records, 4-17

INDEX-2

Europe, 1-3 Evaluations, 4-32

preparing, 4-32 reviewing, 4-32

Extension of working hours, 2-14 Extra military instruction, 2-14

F

Family advocacy, 6-2 Family Service Centers, 5-3 and 6-2 Far East, the, 1-9 Financial counseling, 5-12 Flags, pennants, honors, ceremonies, and

customs, 2-13 Fleet Reserve and retirement, 5-18

benefits, 5-19 categories of retirement, 5-18 computation of retainer pay, 5-22 materials available, 5-21 physical examination, 5-21 physical fitness, 5-21 place of separation, 5-22 preseparation ceremony, 5-21 retirement leave, 5-22 transfer to Fleet Reserve and release

from active duty, 5-21travel or residence outside of the

United States, 5-22

G

General regulations, 2-11 alcoholic beverages, 2-13 communications to the Congress, 2-13 compliance with lawful orders, 2-12 dealings with members of Congress, 2-13 direct communication with the

commanding officer, 2-13 exchange of duty, 2-12 forwarding individual requests, 2-13 immunization, 2-12 inspection of the record of a person in

the naval service, 2-12 language reflecting on a superior, 2-12 leave and liberty, 2-13 lending money and engaging in a

trade or business, 2-11 obligation to report offenses, 2-12 officer’s duties relative to laws, orders,

and regulations, 2-12 pecuniary dealings with enlisted

persons, 2-11 possession of government property, 2-13 possession of weapons, 2-13 quality and quantity of rations, 2-13 redress of wrong committed by a

superior, 2-12 report of a communicable disease, 2-12 report of fraud, 2-12 responsibilities concerning marijuana,

narcotics, and other controlled substances, 2-12

service examinations, 2-12Group supervisor, 4-24

H

Hot-line reporting system, the, 6-10 Household effects, 5-5 Housing entitlements, 6-4

I

Insurance, life, 5-3 Navy Mutual Aid Society, 5-3 Serviceman’s Group Life Insurance, 5-3

Integrated logistics overhaul (ILO), 4-23 Integrity and Efficiency Program, 6-8

chain of command reporting system, the, 6-9

congressional communications reporting system, the, 6-11

hot-line reporting system, the, 6-10 Naval Investigative Service reporting

system, the, 6-10Interview, 4-30 and 5-1

goals, 5-2 sea and shore PRDs, 5-2 status, 5-2

Inventories, 4-22 controlled equipage, 4-22 other, 4-22 selected item management (SIM)/non-SIM

procedures, 4-23Investigation of injury or fatality, 8-1

definitions, 8-2 factors, 8-3 investigative procedures, 8-2 mishap reports, 8-3 responsibilities, 8-1

Investigative procedures, 8-2 Iran, 1-16 Iraq, 1-16 Israel, 1-16

J

Junior officers, training of 5-24 Jurisdictional arrangements, 2-20

L

Leadership, 3-14 advantages and disadvantages of the

leadership styles, 3-16 effective, 3-18 factors affecting leadership styles, 3-17 relation to management, 3-15 styles of, 3-15

Leave, 5-3 Libya, 1-19Limited Duty Officer (LDO) Program, the,

5-9

M

Management and supervisory skills, 3-18 Management by objectives, 3-3

advantages and disadvantages, 3-4 basic principles, 3-3 objectives, 3-3 personnel needs, 3-5 personnel qualifications, 3-6

Material obligation validation (MOV), 4-12 Material request procedures, shipboard 4-9 Measurable and nonmeasurable control, 3-7 Medals, large and miniature, 7-24 Medical care, 5-19 Mess advisory board, 7-9 Mess audit board, 7-9 Middle East and Southwest Asia, 1-8

choke points, 1-8, control of shipping, 1-8 possible adversaries, 1-8

Military briefing, 4-33 body, 4-33 conclusion, 4-34 introduction, 4-33 procedures for presenting a, 4-34

Mishap prevention, 8-5 Mishap reports, 8-3

Montgomery GI Bill (MGIB) Act of 1984, 5-8 Morale, welfare, and recreation, 6-3 and 6-11

N

National Apprenticeship Program, 5-7 Naval Investigative Service reporting

system, 6-10Naval presence, 1-1 Navy Associate Degree Program, 5-8 Navy lodge, 5-3 Navy Mutual Aid Society, 5-3 Navy Personal Financial Management

Program (PFM), 6-4Navy Regulations, 2-8

Chief of Naval Operations, 2-9 Commandant of the Marine Corps, 2-9 Commanders in Chief and other

commanders, 2-9 commanding officer, 2-9 Department of the Navy, 2-9 flags, pennants, honors, ceremonies,

and customs, 2-13 general regulations, 2-11 precedence, authority and command, 2-10 purpose and effect of, 2-9 Secretary of the Navy, 2-9 senior officer present, 2-10 statutory authority for, 2-9 United States Coast Guard, 2-9

Navy Resale System, 6-11 Navy Sponsor Program, 6-5 Northern Africa, 1-9 Nuclear threat, 1-10

arms control, 1-11 nuclear warhead development, 1-16 present posture, 1-11 weapons delivery systems, 1-16

Nuclear warhead development, 1-16

O

Officer of the deck in port, 7-7 Ombudsman Program, 6-2 Orders, publishing and posting, 2-10 Organization, 3-11

delegation of authority, 3-12 organizational concepts, 3-11 types of, 3-11

Overseas Duty Support Program, 6-5

P

Personal characteristics, effective, 3-19 Personal excellence, 6-8 Personnel assignments, 4-32 and 7-1 Personnel Reliability Program, 9-42 Plan of action and milestones, 3-7 Plans, 3-2

single-use, 3-3 standing, 3-2 strategic, 3-2

Policy guidance, 2-14 Power, 3-13,

coercive, 3-14 expert, 3-14informational, 3-14 legitimate, 3-14 referent, 3-14 reward, 3-13

Power projection, 1-2 Precedence, authority and command, 2-10

abuse of authority, 2-11 authority in a boat, 2-11 authority of a sentry, 2-11

INDEX-3

Precedence, authority and command------Continued

authority of juniors to issue orders to seniors, 2-11

authority of warrant officers, noncommissioned officers, and petty officers, 2-11

authority over subordinates, 2-11 contradictory and conflicting orders, 2-11 delegation of authority, 2-11 exercise of authority, 2-10

Preliminary inquiry, 2-4 advising the accused, 2-7 collecting documentary evidence, 2-7 collecting real evidence, 2-7 interrogating the accused, 2-8 interrogating witnesses, 2-6 objective of, 2-4

Preliminary investigation, 2-1 preliminary inquiry, 2-4 report chit, 2-1

Presenting personnel, 7-6 ceremonies, 7-7 inspections, 7-6 quarters, 7-7

Pride and professionalism, 6-7 Privileges, withholding of, 2-14 Program for Afloat College Education, 5-6 Programs and policies, 6-1

assistance programs, 6-1 Integrity and Efficiency Program, 6-8 morale, welfare, and recreation, 6-3

and 6-11Navy Resale System, 6-11 personal excellence, 6-8 pride and professionalism, 6-7

Q

Quality control, 3-6 concurrent, 3-7 feedback, 3-7 feedforward, 3-7 quality circles, 3-7 statistical analysis, 3-7 zero defects, 3-7

R

Real evidence, 2-7 Recognition of performance, 2-15 Records, 5-16

microform, 5-17 of expending and recovering

accountable material, 4-18 substandard, 5-16 updating, 5-18 within selection board package, 5-18

Redress of wrong committed by a superior, 2-12

Regulations, 2-15 armed forces identification cards and

leave papers, 2-15 berthing, 2-16 card games and gambling, 2-16 civilian clothing, 2-16 emergency equipment, 2-16 government property, 2-16 grooming and personal appearance, 2-17 hitchhiking, 2-17 indebtedness, 2-17 mess gear; 2-17 outfits, uniforms, and clothing, 2-17 personal effects, 2-17

Regulations------Continued photographic equipment, 2-18 plan of the day, 2-18 profane Language, 2-18 publishing and posting, 2-10 regulatory articles of interest, 2-18

Report chit, 2-1 Report of survey, 4-19 Reproduction of classified material, 9-16 Retirement, 5-5 and 5-18

benefits, 5-19 categories of, 5-18 computation of retainer pay, 5-22 leave, 5-22 materials available, 5-21 physical examination, 5-21 physical fitness, 5-21 place of separation, 5-22 plans to travel or reside outside of the

United States, 5-22 preseparation ceremony, 5-21

Ribbons, 7-23

S

Safeguarding classified material, 9-18 Safety, 2-18 Safety organization, 8-8 Safety program, 8-6

department safety officer, 8-8 division safety officer, 8-9 division safety petty officer, 8-9 enlisted safety committee, 8-9 responsibility for, 8-6 safety council, 8-9 safety officer, 8-8 safety organization, 8-8

Sea control, 1-2 Secretary of the Navy, 2-9 Security, 9-1

access to classified material, 9-43 ADP, 9-44 classified material, 9-14 compromise, 9-11 counterintelligence matters, 9-13 Personnel Reliability Program, 9-42 personnel security clearances, 9-39

Security assistants, 9-5 Security clearances, 9-39

citizenship, 9-39 investigations, 9-41 verification of citizenship, 9-40

Security manager, 9-3 Security Program, 9-1

automated data processing (ADP) security officer, 9-7

basic policy, 9-2 command management, 9-3 program management, 9-2 security assistants, 9-5 security education, 9-7 security manager, 9-3 special security officer, 9-7 Top Secret control officer, 9-5

Selected item management (SIM)/non-SIM procedures, 4-23

Selection board, 5-13 composition of E-7, 5-13 microform records, review of, 5-17 package, 5-18 quotas, 5-14 record update, 5-18 substandard records, 5-16

Selective Conversion and Reenlistment Program, 5-2

Selective reenlistment bonus, 5-6 Selective Training and Reenlistment

Program, 5-2 Senior officer present, 2-10 Serviceman’s Group Life Insurance, 5-3 Servicemembers Opportunity College, 5-8 Ship maintenance and modernization, 2-18 Ship’s Organization and Regulations

Manual (SORM), 4-35Shipboard Nontactical Automated Data

Processing (ADP) Program (SNAP I and SNAP II), 4-25

Shipping, control of, 1-8 Single parenting, 6-1 Single-use plans, 3-3 Southern Africa, 1-9 Special security officer, 9-7 Standard Organization and Regulations of

the U.S. Navy (SORN), 2-13regulations, 2-15 safety, 2-18 ship maintenance and modernization,

2-18standard unit organization, 2-15 training, 2-18 unit administration, 2-14 unit bills, 2-18 unit directives system, 2-18 unit organization, 2-15 watch organization, 2-15

Standard unit organization, 2-15 Standing plans, 3-2 Status of Forces Agreements (SOFA), 2-19

arrangements, 2-20 confinement and custody, 2-21 development of, 2-19 punishments, 2-21 purpose of, 2-19 rights, 2-21

Statutory authority for U.S. Navy Regulations, 2-9

maintenance of Navy Regulations, 2-9 purpose and effect of U.S. Navy

Regulations, 2-9 Stores, equipment, and repair parts, 4-5

controlled equipage, 4-17 determination of requirements, 4-7 integrated logistics overhaul (ILO), 4-23 inventories, 4-22 priorities, 4-13 receiving and inspecting, 4-13 records of expending and recovering

accountable material, 4-18 responsibilities of custodians, 4-15 routine requirements, 4-9 stowage and custody, 4-14 stowage principles, 4-15 supply departments, 4-5 survey procedures, 4-18

Stowage, 4-14 principles of, 4-15 responsibilities of custodians, 4-15

Strategic plans, 3-2 Strategic resources, 1-9 Strengths, weaknesses, opportunities, and

threats (SWOT), 3-5 Submarines, 1-12 Supervisory responsibilities, 3-1

authority and power, 3-13 controlling, 3-6

INDEX-4

Supervisory responsibilities------Continueddetermining work requirements and

setting priorities, 3-4 effective leadership, 3-18 effective personal characteristics, 3-19 leadership, 3-14 management and supervisory skills, 3-18 organization, 3-11 plans, 3-2staff, 3-5

Supply departments, 4-5 maintenance assistance modules

(MAMs), 4-9material obligation validation (MOV),

4-12operating space items; 4-9 ready service spares (RSS), 4-9 routine requirements, 4-9 shipboard, 4-6 shipboard material request

procedures, 4-9Supply priorities, 4-13 Surface ships, 1-12 Survey, 4-18

report of, 4-19 responsibility for, 4-19

Survival training, 8-9 Survivor Benefit Plan, 5-20 Survivor benefits, 5-5 Syria, 1-19

T

Theaters of operations, 1-3 Africa, 1-9 Europe, 1-3

Theaters of operations------Continued Far East, the, 1-9 Middle East and Southwest Asia, 1-8 Warsaw Pact, 1-6

3-M systems, the, 4-24 departmental 3-M systems assistant,

4-24division officer, 4-24 group supervisor, 4-24 work center supervisor, 4-25

Top Secret control officer, 9-5 Total quality management (TQM), 3-21

benefits of, 3-21 concept of, 3-21 customer-supplier relationship, 3-22 work process, focus on, 3-22 leadership and, 3-22

Training, 2-18 and 5-22 directing, 5-23effective, 5-23 methods of, 5-23 of junior officers, 5-24 plan, 5-22

Training plan, 5-22 Travel, 5-5Tuition assistance, 5-6

U

U.S. sea power, 1-1 Uniforms, 7-9

awards, 7-21 caps and their insignias, 7-18 collar devices, 7-20 history of, 7-9

Uniforms------Continued maintenance of, 7-24 rating badges, 7-18 required and optional, 7-14

Unit administration, 2-14 policy guidance, 2-14 relationship to other guidance, 2-14

Unit bills, 2-18 Unit directives system, 2-18 Unit organization, 2-15 United States Coast Guard, the, 2-9 United States Naval Academy, 5-9

W

Warsaw Pact, 1-6 Wartime mission, the Navy’s, 1-2

power projection, 1-2 sea control, 1-2

Watch organization, 2-15 Watch, quarter, and station bill, 7-1

assigning personnel to, 7-1 procedures for change to, 7-2

Watch standing, 7-7, divisional duty officer, 7-7, officer of the deck in port, 7-7

Weapons delivery systems, 1-16 Witnesses, 2-6 Work center supervisor, 4-25 Work requirements, determining and

setting priorities, 3-4 Working hours, extension of, 2-14

ASSIGNMENT 1

Textbook Assignment: Chapter 1, “Naval Tradition,” pages 1-1 through 1-16.

1 -1 . When was the firstpassed leg is lat ionarm naval vessels?

1. 10 May 17742. 4 July 1776

time Congressto purchase and

3. 13 October 17754. 10 November 1775

1-2 . Almost every U.S. Sailor hasexperienced some type of majordeployment.

1. True2. False

1 -3 . Which, i f any , o f the fo l lowingfactors defines naval presence?

1. A major deployment2. Having a naval force in a

s p e c i f i c l o c a t i o n3. Deploying to a hostile area to

confront adversaries4. None of the above

1-4 . Deployments place naval forces inposition for which of the followingpurposes?

1. To provide protection andsupport to Al l i ed Forces intime of war

2. To stop the advance of theenemy as soon as possible

3 . To engage the enemy promptly att h e s t a r t o f h o s t i l i t i e s

4 . All of the above

1-5 . What is the maximum time U.S. navalforces can sustain operations in ac r i s i s a r e a ?

1. 30 days2 . 6 months3. 1 year4. I n d e f i n i t e l y

1 -6 .

1 - 7 .

1 - 8 .

1 - 9 .

1-10.

What requirement must U.S. navalforces re f lec t to be e f fec t ive in apresence ro le?

1. Friendliness toward the hostcountry and i ts a l l ies

2. Ready combat capability torespond to any threat

3. Current U.S. policy4. Current technology

Which of the followingrespons ib i l i t ies be longs to theNavy during wartime?

1. Functioning in a hostileenvironment

2 . Power projection3 . Sea control4 . All of the above

Sea control means havingsimultaneous control over thewor ld ’ s internat ional waters .

1. True2. False

What basic military functionprovides U.S. forces with theability to conduct sustainedoperations abroad?

1. Acquiring large amounts of theenemy’s terr i tory

2 . Large numbers of ground forces3. Naval presence4 . Sea control

Denying the enemy the ability toadvance close enough to use weaponsi s c a l l e d

1. intermediate host i lei n t e r d i c t i o n

2. power projection3. naval presence4. sea contro l

1

1-11.

1-12.

1-13.

1–14.

1-15.

1-16.

An essential element of powerpro jec t ion i s ident i f ied by whichof the following requirements?

1 . Amphibious ships2. Counter insurgency warfare3. Intermediate hostile

i n t e r d i c t i o n4. Forward deployed propositioning

o f sh ips

The use o f f l eet ba l l i s t i c miss i lesubmarines to provide a nuclearstrike is an example of seac o n t r o l .

1. True2. False

The unrestricted global mobility ofnaval forces is based on which ofthe following items?

1. Treat ies2 . Tradi t ion3. International agreement4. D i f f i c u l t y o f d e t e c t i o n

The Soviets restrict their navalpower projection to the watersaround the Soviet Union and theEast Coast of the United States.

1. True2 . False

The German navy has upgraded NATO’sair defense through the purchase ofwhich o f the fo l lowing a ircra f t?

1. F–14D2. F–1043. F/A–184. Tornado

Who is responsible for NATO’soffensive and defensive capabilityin the Norwegian and MediterraneanSeas?

1. CINCLANT2. CINCMED3. SACLANT4. SACPAC

1-17. Which of the following areas ofresponsibility belongs to NATO?

1. Northwestern TVD2. Western TVD3. AFCENT4. All of the above

1-18. Which of the following areas ofrespons ib i l i ty i s a Sov iet theatero f operat ion?

1. Northwestern TVD2. Southern TVD3. Western TVD4. Each of the above

1-19. Why are the Soviets conducting along–range strategic nuclearmodernization program?

1. To prove they are the worldleaders in arms technology andto provide third worldcountries with new weapons

2. To replace every out-of-datenuclear warhead with a newermore efficient warhead

3 . To comply with expected futurestrategic arms reduction treatyconstra ints

4. To reduce the chance ofaccidental war

1-20. Which of the following choke pointsis NOT applicable to Soviet shipsdeploying from Severodvinsk?

1. Danish Straits2 . Barents Stra i ts3 . Turkish Straits4 . Iceland-England gap

1-21. The Soviet Black Sea Fleet could becontained by sinking a ship inwhich of the following chokepo ints?

1. Danish Straits2. Barents Straits3. Turkish Straits4. Greenland–Iceland gap

2

1-22. Which o f the fo l lowing c i t ies i sthe home port of the Soviet BlackSea Fleet?

1. Severodvinsk2. Sevastopol3. T r i p o l i4. Ur

1-23. What is the primary mission of theSoviet navy?

1. World–wide power projection2. To provide security for Soviet

shipping3. To provide security for third

wor ld a l l i es4 . To provide support for Soviet

land–based forces

1-24. The bulk of Soviet naval air poweris derived by which of thefollowing methods of providing airpower?

1. Land–based aircraft2. A i r c r a f t c a r r i e r s3. Helo carriers4. Destroyers

1-25. Which of the following Sovietf l e e t s c o n t a i n a i r c r a f t c a r r i e r s ?

1. Pacific Ocean Fleet2. Black Sea Fleet3. Caspian Fleet4. Bal t i c F leet

1-26. Which of the following Sovietfleets does NOT contain f leetbal l i s t i c miss i le submarines?

1. Pacific Ocean Fleet2. Black Sea Fleet3. Northern Fleet4 . Bal t i c F leet

1-27. Approximately 10 percent of theworld’s sea trade passes throughthe Suez Canal at which of thefo l lowing po ints?

1. Hormuz2. Hormel3. Abul Nabul4. Babel Mandeb

1-28. Persian Gulf states are buildingoverland oil–pipe routes to lessenthe importance of the Israelicontrolled Suez Canal.

1. True2 . False

1-29. USCENTCOM naval forces in theMiddle East and Southwest Asia areunder which of the followingcommands?

1. Commander Sixth Fleet Commander Seventh Fleet

3. Commander Middle East Forces4. Supreme Allied Commander NATO

1-30 . Which, i f any, of the followingstatements describes why Africa isstrategically important to westernnat ions?

1. It is very suitable for weaponstesting because large areas ofland are uninhabited

2. I t h a s p o r t f a c i l i t i e s s u i t a b l efor naval bases

3 . It has a wealth of naturalresources

4 . None of the above

1-31. Operation El Dorado involved whichof the fo l lowing countr ies?

1 . United States and Mozambique2 . United States and Grenada3 . United States and Libya4 . United States and Iraq

1-32. The U.S. could lose Philippinebases for which of the followingreasons?

1. The leases must be periodicallyrenegotiated with thePhilippine government

Recent base realignment hasindicated the bases are notc o s t e f f e c t i v e

3. The Philippine government hascut o f f a id

4. The U.S. refuses to pay rent

3

2 .

2 .

1-33. Which of the following factorscontr ibute (s ) to deterrence in thePacific and East Asian regions?

1. Bi latera l de fense t reat ies2. Weapons technology3. PACOM forces4. All of the above

1-34. Which of the following countries isNOT working toward acquiringnuclear weapons capability?

1. Saudi Arabia2. France3. Iraq4. Iran

1-35. Which of the following countrieswas a joint partner with Israel indeveloping nuclear weapons?

1. United States2. Soviet Union3. France4. Spain

1-36. What country(ies) conductedpreemptive strikes against an Iraqinuc lear reactor?

1. United States2. I s r a e l3 . Iran4. Both 2 and 3 above

1-37. Which of the following armsreduction talks resulted in ana n t i b a l l i s t i c m i s s i l e t r e a t ybetween the U.S. and the SovietUnion?

1. SALT2. PEPPER3. SALT IA4. SALT II

1-38. In arms reduction talks, the U.S.will try to limit which of thefollowing items?

1-39. In the event of a nuclear warbetween the U.S. and the SovietUnion, what is the primary missionof the Soviet navy?

1. To sink as many U.S. submarinesas poss ib le

2. To disrupt sea lines ofcommunication

3. To shoot down incoming U.S.planes and cruise missiles

4. To conduct nuclear strikes fromSSBNs operating in protectedwaters

1-40. How far from the Soviet mainland dothe Soviet sea denial zones usuallyextend?

1. 1,000 miles2 . 1,000 kilometers3. 2,000 miles4. 2,000 kilometers

1-41. U.S national security is based ondeterrence, propos i t ion ing o ff o r c e s , and creating sea denialzones.

1. True2. False

1–42. How many diesel submarines, if any,does the U.S. Navy maintain ina c t i v e s e r v i c e ?

1. 12 .3. 104. None

1-43. The U.S. submarine force includeswhich of the following attacksubmarine classes?

1. Permit2. Lafayette3. James Madison4. Benjamin Franklin

1. American–Soviet competition instrateg ic nuc lear forces

2. American treaty compliance3. Soviet treaty compliance4. Strategic deterrence

4

2

1-44. Which of the following weaponsplatforms do the Soviets use astheir primary platform forconducting naval warfare?

1. A i r c r a f t c a r r i e r s2. Submarines3. Destroyers4. A i r c r a f t

1-45. When compared to the U.S., theSoviet submarine force has whats ize and e f fec t iveness?

1. Smaller size, more e f fec t ive2. Larger size, less effective3. Smal ler s ize , l ess e f fec t ive4. Larger s ize , more e f fec t ive

1-46. Which of the following types ofSoviet submarines carries cruisemissiles as a primary weapon?

1. SSGN2. SSN3. SS4. ALL of the above

1-47. What is the principle weakness ofthe Soviet navy?

1. Lack o f a ircraf t carr iers2. Lack of long–range aircraft3. Dependence on submarines to

counter U.S. sur face forces4. A very low priority in

providing underwayreplenishment

1-48. What is the newest class of Sovieta i r c r a f t c a r r i e r ?

1 -49 . What stance does the U.S. take onchemical and biological weapons?

1 . The U.S. encourages their useby our allies because they areless expensive than nuclearweapons

2 . Nuclear weapons are moree f f i c ient so we don ’ t s tockchemical weapons

3 . We will do all we can toprevent their use

4. We will retaliate in kind

1-50 . Which of the following nerve agentsis most likely to be produced by athird world country?

1. GD2. GB3. GA4. VX

1-51 . Countries with known or suspectedchemical weapons capabilitiesinclude which of the followingMiddle Eastern countries?

1. I s r a e l , Egypt, Lebanon, Syria,Iraq, and Iran

2. Egypt, Iran, Syria, Libya,I s r a e l , and Iraq

3. Saudi Arabia, Egypt , I srae l ,I ran, Iraq. and Libya

4. Kuwait, Saudi Arabia, Egypt,I s r a e l , Libya, Lebanon

1-52. The United States supported Iraqduring the Iran-Iraq War.

1 . True2. False1. T b i l i s i

Okhotsk3. Nikolayev4. Ouagadougou

5

2 .

1-53. The job of the U.S. Navy in thePersian Gulf, from 1987 to 1988, isbest described by which of thefollowing statements?

1. The primary mission was insupport of the Iraqi navy

2 . The mission of the U.S. Navywas to seek out and destroyIranian naval units

3. The primary mission was toensure freedom of passage too i l tankers

4. The primary mission was to actas decoys while elements of theBritish and French naviesattacked terrorist camps

1-54. Which of the following countriescould be the United States mostformidable opponent in the MiddleEast?

1. Iraq2 . Iran3. Syria4. Libya

1-55. Which of the following countriesclaims to be the victim of numerousIraqi chemical attacks?

1. Iran2. Libya3. Syria4. I s r a e l

1-56. Which of the following countries isknown to have stockpiles of SovietSS-1 missiles?

1. Iran2 . I r a q3. Syria4. All of the above

1-57. The chemical agent distilledmustard, HD, belongs to which ofthe fo l lowing fami l ies o f agents?

1. Choking2. B l i s t e r3 . Nerve4. Blood

1-58.

1-59.

1-60.

1-61.

1-62.

1–63 .

The chemical agent diphosgene, DP,belongs to which of the followingfami l ies o f agents?

1. Choking2. B l i s t e r3. Nerve4. Blood

The chemical agent cyanogenc h l o r i d e , CK, belongs to which ofthe following families of agents?

1. Choking2. B l i s t e r3 . Nerve4. Blood

The chemicalwhich of theagents?

1. Choking2. B l i s t e r3. Nerve4. Blood

Which of theagents has aappearance?

1.2.3.4.

Any

Soman, GDNitrogen,

agent VX belongs tofo l lowing fami l ies o f

following chemicaldark yellow

HNMustard–Lewisite, HLCyanogen Chloride, CK

country capable of producingorganophosphorus pesticides canproduce which of the followingchemical agents?

1.2.3.4.

Thethe

1.2.3.4.

TabunChlorineLewisitePhosgene

Oghab is a version of which offollowing weapons?

Soviet SS-1Chinese M-9Soviet SS-12Chinese Type 53 artilleryrocket

6

1-64. Which of the following countries isthought to have nuclear weapons ini ts arsenal?

1. Iran2 . Iraq3. I s r a e l4. Lebanon

1-65. The Jerico 2 missile is a (a) typewith a (b) range.

1. (a) Mobile (b) 1,000 kilometer2. (a) Mobile (b) 1,500 kilometer3. (a ) F ixed (b ) 1 ,000 k i lometer4. (a ) F ixed (b ) 1 ,500 k i lometer

7

ASSIGNMENT 2

Textbook Assignment: Chapter 2, “Military Conduct and Justice,” pages 2-1 through 2-22.

2 -1 .

2 -2 .

2 -3 .

2 - 4 .

2 -5 .

When assigned as the preliminaryinquiry o f f i cer , you wi l l usual lyinvestigate which of the followingo f f e n s e s ?

1. Offenses under investigation bya fact f inding body

2. Offenses under invest.igation byNIS

3. Major offenses4. Minor offenses

The legal officer uses what part ofthe Manual for Courts–Martial, 1984in preparing a report chit?

1. Part I2 . Part I I I3. Part IV4. Part VI

The accused is informed of his orher rights under which of thef o l l o w i n g a r t i c l e s ?

1. Article 31(a) of the Manual forCourts–Martial, 1984

2. A r t i c l e 3 1 ( b ) o f t h e U n i f o r mCode of Military Justice

3. Article 30(a) of the Manual forCourts-Martial, 1984

4. Article 30(b) of the UniformCode of Military Justice

When serving as the preliminaryinvest igat ion o f f i cer , you shouldremain impartial.

1. True2 . False

What source of information providesthe best facts about the accused?

1. Service record of the accused2. An informal interview with the

witnesses3. The person who initiated the

report ch i t4. Supervisors and peers of the

accused

2-6 . Who has the greatest motive forly ing or d is tort ing the truth?

1. The witnesses2 . The accused , i f gui l ty3. The accused, i f innocent4. The person who initiated the

report ch i t

2 -7 . A copy of the Ship’s Organizationand Regulations Manual is consideredto

1.2.3.4.

be what type of evidence?

Documentary evidenceRegulatory evidencePhysical evidenceReal evidence

2-8 . The preliminary investigationofficer should conduct an interviewwith the accused at which of thefo l lowing t imes?

1. As soon as the report chit isf i l l e d o u t

2. After examining the real anddocumentary evidence

3. After the accused has beenadvised o f ar t i c le 31 (b ) o f theUCMJ and makes a waiver ofr ights

4. After advising the accused onthe lega l technica l i t ies o f thecase

2-9 . The United States Coast Guard isassigned to the Navy at which of thefollowing times?

1. Upon declaration of war2. When directed by the president3 . Both 1 and 2 above4. When requested by the Chief of

Naval Operations

8

2-10. What is the primary regulatorydocument of the Navy?

1. Standard Organization andRegulations of the U.S. Navy

2. Uniform Code of Military Justice3. Manual for Courts-Martial, 19844. U.S. Navy Regulations

2-11. Chapter 8 of U.S. Navy Regulations,1990, applies to which of thefo l l owing peop le?

1. Commanding officers2 . Prospective commanding officers3. Pet ty o f f i cers deta i led as

officer in charge or commandduty o f f i cer

4. All of the above

2-12. Which of the following chapters ofU.S. Navy Regulations, 1990,outlines the actions of U.S. navalforces when in the vicinity of otherarmed forces?

1. The Senior Officer Present2 . Precedence, Authority and

Command3. Commanders in Chief and Other

Commanders4. Statutory Authority for United

States Navy Regulations

2-13. Which chapter in U.S. NavyRegulations, 1990, providesin format ion on deta i l ing o f f i cersand enlisted persons?

1. The Senior Officer Present2 . Precedence, Authority and

Command3. Commanders in Chief and Other

Commanders4. Statutory Authority for United

States Navy Regulations

2-14 . The articles specifically enumeratedin article 137 of the Uniform Codeof Military Justice should beexplained to each enlisted person atwhich of the following times?

1 . After completion of six monthsactive duty

2 . At the time of each PCS move3. Before each deployment4 . Three months before separation

from the Navy

2-15. Which of the following publicationsis NOT required to be made availableto any person on active duty?

1. Navy Regulations2. Uniform Code of Military Justice3. Pay and Personnel Procedures

Manual4. Navy Military Personnel Manual

2-16. Which of the following statementsconcerning the exercise of authorityis t rue?

1. A retired Navy captain mayexerc ise author i ty over a l lsubordinate personnel

2. A master chief petty off icer inthe Fleet Reserve may exerciseauthority over all subordinates

3. A commander on the sick list mayexerc ise author i ty over a l lsubordinates

4. A second class petty off icer onact ive duty , capable o fdischarging all duties mayexerc ise author i ty over a l lsubordinate personnel

2 -17 . When an enlisted person receives anorder that conflicts with apreviously received order, which ofthe following actions should thatperson take?

1. Obey the first Order2. Obey the last order3. Obey neither order4. Obey both orders

9

2-18. Which of the following officerswould have authority over allpersons embarked in a boat?

1. A chaplain who is a captain2 . A Supply Corps commander3. A naval aviator who is a

lieutenant cormmander4. A Chief Warrant Boatswain

2-19. The department head assigns a job toa ch ie f . The chief is busy andassigns the job to the leading pettyo f f i cer (LPO) . The LPO forgetsabout the job and goes on l iberty.Who was responsible for completingthe job?

1. The LPO only2. The chief only3. The LPO, chief, and division

o f f i c e r4. The LPO, chief, and department

head

2-20. A sentry would NOT have authorityover which, i f any , o f the fo l lowingpersons on his or her post?

1. A l ine o f f i cer2 . A s t a f f o f f i c e r3. The command master chief4. None of the above

2-21. When, i f e v e r , may a junior persongive an order to an off icer who issenior to him or her?

1. When the junior is the pettyofficer of the watch

2 . When the junior is serving onthe staff of a rear admiral

3. When the junior is an executiveofficer executing an order ofthe commanding officer

4. Never

2-22. When may an officer accept moneyfrom an enlisted person?

1. When the officer has sold anitem of personal property to theenlisted person

2 . Only when on liberty3. As a birthday gift4. Only as a loan

2-23. A chief petty officer loans money toanother ch ie f pet ty o f f i cer . What,i f any , is the maximum interest ratethat can be charged?

1. 10 percent2. 14 percent3. 18 percent4. None

2-24. Which of the following persons mayinspect your record held by theChief of Naval Personnel?

1. You2. Your designated agent3. Both 1 and 2 above4. Your d iv is ion o f f i cer

2 -25 . Which of the following Navypersonnel are required to report alloffenses to proper authority?

1. O f f i c e r s2 . Pet ty o f f i cers3. Nonrated personnel4. All of the above

2-26. If you believe one of your personnelhas a communicable disease, whoshould you report it to?

1. The command's medicalrepresentative

2 . The commanding officer3. The execut ive o f f i cer4. The d iv is ion o f f i cer

2-27. Which, i f any , o f the fo l lowingstatements concerning exchange ofduty is c o r r e c t ?

1. You and another person only needto show up for each other’swatch

2. You only need to notify theo f f i cer o f the deck

3. You and the other person shouldprepare a special request chitrequesting an exchange of dutyand route it throuqh properauthority

4. None of the above

10

2-28. Which of the following statementsconcerning Navy examinations isc o r r e c t ?

1. Members may use old examinationsas study guides for futureexaminations

2. Members taking examinations maydiscuss questions amongthemselves prior to answeringthem

3. Members may develop study guidesfrom prior examinations to usein preparing for futureexaminations

4. None of the above

2-29. Normally, a person in the Navy maycommunicate with a member ofCongress with no restrictions.However, should the service member,in an o f f i c ia l capac i ty , des irecongressional action of any type, heor she must

1. receive prior approval from theChief of Naval Operations

2. inform the Secretary of the Navyof the intention to communicateand receive the former’s consentto proceed

3. inform the Secretary of the Navyof the intent to communicate andthe former must get the consentof the Secretary of Defense toproceed

4. inform the Secretary of the Navyof the intention to communicateand then proceed with theappl i cat ion

2-30. A person may be denied the right tocommunicate with a member ofCongress under which, if any, of thefo l lowing condi t ions?

1. When the communication iscr i t i ca l o f Navy po l i cy

2. When the communication allegesmisconduct of a superior

3. When the communication wouldvio late secur i ty regulat ions

4. None of the above

2-31 . When a request is not approved orrecommended, you should state thereason on the request.

1. True2 . False

2 -32 . Meals served in the general mess aresampled regularly by an officerdetailed by the commanding officer.What course of action should theo f f i cer take i f d iscrepanc ies ared iscovered?

1. Not i fy the food serv ice o f f i cer2 . Not i fy the supply o f f i cer3. Notify the commanding officer4. Advise personnel not to eat in

the general mess

2-33 . In which of the followingpublications would you find thedefinition for unity of command?

1. Standard Organization andRegulations of the U.S. Navy

2 . U.S. Navy Regulations, 19903. Both 1 and 24. Uniform Code of Military Justice

2 -34 . Which of the following statementsconcerning extra militaryinstruction (EMI) is true?

1. Only the commanding officer hasthe authority to assign EMI

2. EMI will normally be assignedfor more than 2 hours per day

3. EMI may not be assigned at areasonable hour outside ofnormal working hours

4. EMI will be conducted over aperiod that is longer thannecessary to correct theperformance discrepancy

2-35 . Which, i f any , o f the fo l lowingprivileges can you, as a chief pettyo f f i c e r , withhold from yoursubordinates?

1. Spec ia l l iberty2 . Exchange of duty3. Spec ia l serv ices events4. None of the above

11

2-36. You are required to have your shipready to get underway in themorning. I t i s near ing l iberty ca l land most of the work has not beenaccomplished. Which of thefo l lowing administrat ive act ionsshould you apply?

1. Withholding of privileges2. Extra mi l i tary instruct ion3. Extension of working hours4. Control through recognition of

performance

2-37. You have a basic responsibility torecognize initiative and exemplaryperformance of your subordinates.

1. True2 . False

2-38. Which, i f any , o f the fo l lowingchapters in the SORN containorganizational requirements foraviat ion uni ts?

1. Standard unit organization2. The unit organization3. Watch organization4. None of the above

2-39. You are a work center supervisor andwould like to find out what yourLCPO responsibilities consist of .Which, i f any , o f the fo l lowingchapters in the SORN would provideguidance?

1. Standard unit organization2. The unit organization3. Watch organization4. None of the above

2-40 . Which of the following chapters inthe SORN should the departmentalduty o f f i cer rev iew?

1. Standard unit organization2 . The unit organization3. Watch organization4. Both 2 and 3 above

2-41. A person departing on leave mustpossess which of the followingdocuments?

1. Properly validated leave papersand ID card

2. Armed forces l iberty pass3. Both 1 and 2 above4. Geneva Convention card

2-42 . Without proper authority, a personshall not remove which of thefollowing items from the regularplace of stowage or location?

1. First–aid equipment2. Stores and foodstuffs3. Hull and damage control f ittings4. Each of the above

2-43 . Which of following statements is NOTtrue concerning berthing?

1. You may be placed on report forfa i l ing to get up at reve i l l e

2. You may sleep or lie on yourbunk in working clothes

3. You may not sleep in your workspaces unless authorized

4. You may turn on white lights inberthing any time you wantbetween reveille and taps

2-44. You pass the ship’s l ibrary aftertaps and notice some Sailors playingmonopoly. Which of the followingactions should you take?

1. Ask the Sailors to follow you tothe chief ’s quarters and havethem wait while you fill out areport ch i t for v io lat ingarticle 510.01 of the SORN

2 . Stop and watch the Sailors playthe game

3. Remind the Sailors it is againstregulations to engage in gamesof any type after taps andensure they quit

4. Continue on to the chief ’squarters without stopping

2-45. While in a liberty status aboardship, you may wear civilian clotheswhile dining in the crew’s mess.

1. True2 . False

12

2-46.

2-47.

2-48.

2-49.

2-50.

Aboard ship mess gear is often foundin the work center. By regulation,which of the following personsis/are charged with ensuring themess gear is immediately returned tothe

1.2.

3.

4.

mess decks?

The d iv is ion o f f i cerThe person who took the messgearThe senior pet ty o f f i cer incharge of the spaceAll of the above

Which of the following statementsconcerning uniforms and clothing istrue?

1. You may wear frayed or dirtyuniforms

2. You may wear an article that isnot prescribed as part of theuniform of the day

3. You may wear the uniform in amanner that would bringdiscredit to the Navy

4. No names or marks may be placedon foul weather clothing exceptthe number prescribed foro f f i c i a l d e s i g n a t i o n

Each person is responsible forkeeping his or her locker locked ata l l t imes .

1. True2. False

You may bring your personal cameraaboard ship without f irst obtainingpermission.

1. True2. False

Which of the following statementsis/are applicable to the plan of theday?

1. I t wi l l be posted on d iv is ionbul le t in boards

2. In port, it will be read atquarters

3 . It will be published daily bythe XO

4. All of the above

2-51 .

2-52.

2-53.

2 -54 .

2 -55 .

2 -56 .

2-57.

The use of profane, obscene, orvulgar words or gestures aboardnaval units is an accepted practiceand doesn’t violate any regulations.

1 . True2. False

Chapter 7 of the SORN covers whichof the fo l l owing top ics?

1. Safety2. Training3 . Unit Bi l l s4. Unit directives system

What chapter in the SORN coversguide l ines for es tab l i sh ingo p e r a t i o n a l b i l l s ?

1. Unit Bi l l s2. Watch Organization3 . The Unit Organization4. Standard Unit Organization

What is the equal right ofj u r i s d i c t i o n c a l l e d ?

1 . Jur isprudence jur isd ic t ion2. E q u i l a t e r a l j u r i s d i c t i o n3 . Concurrent jur isd ic t ion4. Disparate jur isd ic t ion

When a military member is tried in aU.S. court , the military will paythe attorney fees and court cost.

1 . True2. False

American troops are stationed inEurope for which of the followingreasons?

1. To benef i t our a l l i es2. To recognize the need for

co l lec t ive s trength3. Both 1 and 2 above4. Europe pays the U.S. for

stationing the troops in NATOcountr ies

Status of Forces Agreements onlyapply to active duty militarypersonnel.

1. True2 . False

13

2-58. Status of Forces Agreements are apackage of which of the followingagreements?

1. Treat ies2 . Protocol agreements3. Executive agreements4. All of the above

2-59. What is the primary purpose of theStatus of Forces Agreements?

1. To define the status of one’smi l i tary forces s tat ioned inanother country

2 . To allow the host countryjur isd ic t ion over fore ignpersonnel

3. To provide for the commondefense against communistaggressors

4. To give NATO forces the right tooperate anywhere in Europe

2-60. You are stationed aboard a ship in afore ign port . When are you exemptfrom prosecution by locala u t h o r i t i e s ?

1. When you come back aboard aftergoing on liberty

2 . When ashore on official business3. Both 1 and 2 above4. Naval personnel enjoy diplomatic

immunity because of SOFA and arealways exempt from prosecution

2-61. Experience has shown that sentencesimposed by foreign courts on U.S.service members are unusually harsh.

1. True2 . False

2-62. Which of the following privilegesare allowed. under SOFA, by specialconsent of the host country?

2 -63 . Which of the following topics aregenerally covered by SOFAs?

1 . Freedom of troop movement2 . Exchange privileges3. Both 1 and 2 above4. Marriage l icenses

2 -64 . When did countries first recognizethe need to develop Status of ForcesAgreements?

1. Before World War I2. During peacetime, 1919 to 19393. During World War II4. After countries had recovered

from World War II

2 -65 . Our Allies want us to remove ourtroops from Europe.

1. True2. False

1. Use of a U.S. driver’s license2. Waiver of taxes or import duty

on household goods3. Entering and leaving the country

on military orders4. All of the above

14

ASSIGNMENT 3

Textbook Assignment: Chapter 3, “Leadership,” pages 3-1 through 3-23.

3 -1 . Which, i f any , o f the fo l lowinglevels of management contains chiefp e t t y o f f i c e r s ?

1 . Top2. Middle3. Operating4. None of the above

3-2 . In which of the following types ofplanning are chiefs normallyinvo lved?

1. Single–use2. Standing3 . Strateg ic4 . Both 2 and 3 above

3 - 3 . What type of planning involvesact iv i t ies that wi l l occur in 2 to 5years?

1. Strateg ic2. Standing3 . Procedures4 . S ingle -use

3-4 . Which of the following plans givesbroad general statements of expectedbehavior?

1. P o l i c i e s2. Procedures3 . Rules and regulations4. Organizat ional ob ject ives

3 -5 . Which of the following plans aredetailed standing plans?

1.2 .3.4.

P o l i c i e sProceduresRules and regulationsOrganizat ional ob ject ives

3 - 6 . What type of organizational documentshould you use to help avoid crisismanagement?

1 . The command policies2. The command procedures3 . The command organizational

o b j e c t i v e s4. The command’s rules and

regulat ions

3 - 7 . Which of the following statementsconcerning rules and regulations istrue?

1. They are standing plans2 . They state what you may or may

not do in a given situation3 . Commands use them to ensure

personnel comply with commandp o l i c y

4 . Each of the above

3 - 8 . Which of the following types ofcontrol is expressed in numericalterms, usually by category anda period of t ime?

1. Budget2 . P o l i c y3 . Program4. P r o j e c t

3 - 9 . Single-use plans are developedwhich of the following plans?

1 . Strateg ic2 . Programs3. P r o j e c t s4. Budgets

over

from

15

3-10. Which of the following statementsdefines management by objectives(MBO)?

1. MBO states a specific goal andgives the major steps, thetiming of the steps, and theresources required

2. Supervisors set the goals andsubordinates have no input tothe planning process

3. Supervisors and subordinates setovera l l goa ls for theorganization together

4. MBO states the amount of time,money, personnel, and otherresources to be used

3-11 . The purpose of MBO is to set clearlydefined goals everyone canunderstand.

1. True2 . False

3-12. What principle is MBO based on?

1. People are more willing to worktoward a goal they are committedt o

2. People will do everythingpossible to meet the goals theys e t

3. Both 1 and 2 above4. Supervisors should set all the

goals because workers arebas ica l ly lazy

3-13. Which of the following items is NOTa disadvantage of management byo b j e c t i v e s ?

1. It may cause leaders to overlookobjectives that cannot bemeasured

2. It forces leaders to focus onimportant objectives

3 . It requires more time to use4. It increases paperwork

3-14. You will find the work requirementsfor your division in which of thefollowing divisional documents?

1. Strategic plans2 . Single-use plans3 . Rules and regulations4. All of the above

3-15. What is the first step in settinggoals for work requirements?

1. Identify the difference betweenthe real and ideal situation

2. Develop a single–use plan toimplement the change

3. Recognize the real situation inyour d iv is ion

4. Make a commitment to change

3-16. Which of the following statementsdef ines the goa l set t ing cr i ter ia o fbe ing behavior spec i f i c ?

1. Specifies the necessary actionto take

2 . Provides a time schedule ordeadline for reaching the goal

3. Spec i f ies cr i ter ia or checkpoints for accomplishing thegoal

4. Tests your ability, but has at.least a 50 percent chance ofbeing attained

3-17. The goal set t ing cr i ter ia o f be ingmeasurable is defined by which ofthe following statements?

1. The goal tests your abi l i ty , buthas at least a 50 percent chanceof being attained

2 . The goa l spec i f ies cr i ter ia orcheck points for accomplishingthe goal

3. The goal provides a timeschedule or deadline forreaching the goal

4. The goal specifies the necessaryaction to take

3-18. Which of the following statementsdef ines rea l i s t i c but chal lengingg o a l s e t t i n g c r i t e r i a ?

1. Tests your ability, but has atleast a 50 percent chance ofbeing attained

2 . Spec i f ies cr i ter ia or checkpoints for accomplishing thegoal

3 . Provides a time schedule ordeadline for reaching the goal

4. Specifies the necessary actionto take

16

3-19. Which of the following statementsdefines time-phased goal settingc r i t e r i a ?

1. Tests your ability, but has atleast a 50 percent chance ofbeing attained

2. Spec i f ies cr i ter ia or checkpoints for accomplishing thegoal

3. Provides a time schedule ordeadline for reaching the goal

4. Specifies the necessary actionto take

3-20. If a task does not fit into thepr ior i ty o f urgent , important , orimportant/urgent, when should you dothe task?

1. Whenever you find time2. Before the urgent task3 . Before the important task4 . Before the urgent/important task

3-21 . Why should you use strengths,weaknesses, opportunities, andthreats (SWOT) analysis?

1. To determine where the divisionneeds improvement

2. To determine opportunitiesavai lab le to the d iv is ion

3 . To determine if there are anyobstacles the division mustovercome

4. All of the above

3-22. What would an available school quotabe classified as during a SWOTanalys is?

1. Strength2 . Weakness3. Opportunity4. Threat

3 -23 . You must assign a person to a billetthat requires completion of apersonnel qualif ication standard.When, i f ever , i s the personcons idered qual i f i ed to f i l l theb i l l e t ?

1 . When the assignment is made2. When the person completes the

personnel qualification standard3 . When the service record entry

documenting completion of thepersonnel qualification standardis made

4. Never

3-24 . Trying to anticipate problems andmaking corrections before problemsoccur requires which of thefo l lowing types o f contro l ?

1 . Quality2 . Feedback3 . Concurrent4 . Feedforward

3-25 . Which of the following types ofcontrol involves making correctionsafter an event happens?

1. Feedforward2 . Concurrent3 . Feedback4. Quality

3 -26 . Which of the following types ofcontrol involves making changes asan event occurs?

1. Quality2 . Feedback3 . Concurrent4 . Feed forward

3-27 . An inspection of the raw input fordefects is what type of qualityc o n t r o l ?

1. Qual i ty c i rc le2. Zero defects3 . Feedforward4. Feedback

17

3-28. Which of the following types ofquality control is based on doingthe job r ight the f i rs t t ime?

1. Qual i ty c i rc le2. Zero defects3. Feedforward4. Feedback

3-29. Which of the following types ofcontrol is measurable?

1. Plan of action and milestones2. Critical path method3. Gantt chart4. Each of the above

3-30. Which of the following types ofcontrol was developed by the Navywhile constructing the Polarism i s s i l e ?

1. Plan of action and milestones2. Critical path method3. Gantt Chart4. PERT

3-31. When constructing a PERT network,what is the fourth step?

1. Control the project2. Find the critical path3. Look for ways to improve the

p r o j e c t4. Define the order needed to

complete the component task

3-32. Which of the following statementsident i f i es the bas ic d i f ferencebetween PERT and CPM?

1. CPM requires only one timeestimate

2. CPM includes a cost estimate aswell as time estimates

3. CPM assumes you have someexperience in performing eachcomponent task

4. Each of the above

3-33. As an element of effective control ,your subordinates expect you tocontrol their work by comparing itto a set standard.

3 -34 . When you evaluate your controlsystem to eliminate unnecessarycosts, you are using which of thefo l lowing e lements o f e f fec t ivec o n t r o l ?

1. Ef fec t iveness2. Acceptance3 . Timeliness4 . Accuracy

3-35. A person who gives advice to thecommanding officer would belong towhich, i f any , o f the fo l lowingtypes o f organizat ion?

1 . Line2. S t a f f3. Functional4. None of the above

3-36 . A major department responsible foraccomplishing the mission of thecommand belongs to which of thefo l lowing types o f organizat ion?

1 . Line2. S t a f f3. Functional4. Each of the above

3-37. A functional organization is definedby which of the followingstatements?

1 . Does not have authority overline departments

2. Is responsible for accomplishingthe command mission

3. Has authority over all parts ofthe command in ensuring itsspec ia l funct ion i s met

4. Gives advice to line departments

3-38. The division of work is explained bywhich of the followingorganizat ional concepts?

1 . Chain of command2. Unity of command3. Span of control4. Spec ia l i zat ion

1. True2 . False

18

3-39. The order of control within anorganization is defined by which ofthe following terms?

1. Chain of command2. Unity of command3. Span of control4. Spec ia l i zat ion

3-40. How many people can one persone f f e c t i v e l y s u p e r v i s e ?

1. 52. 103. 124. 13

3-41. The order of authority within anorganization is explained by whichof the fo l lowing organizat ionalconcepts?

1. Chain of command2. Unity of command3. Span of control4. Spec ia l i zat ion

3-42. Delegating your authority is anoutstanding way to trainsubordinates for pos i t ions o fgreater author i ty .

1. True2. False

3-43. Which of the following statementsconcerning author i ty i s correct?

1. Most authority in the Navy isdelegated

2. Subordinates usually acceptauthor i ty readi ly

3. Subordinates must recognize youhave authority over them beforeyour author i ty ex is t

4. Each of the above

3-44. When you tell a junior enlistedperson in another division or workcenter to get a haircut, you areexerc is ing which , i f any , o f thefo l lowing types o f author i ty?

3 -45 . The use of threats or negativerewards is the use of which of thefollowing types of power?

1. Expert2 . Referent3. Coercive4 . Informational

3 -46 . When you influence others throughthe use of your specializedknowledge, you are exercising whichof the fol lowing types of power?

1 . Expert2 . Referent3 . Coercive4. Informational

3 -47 . Which of the following types ofpower do you have simply becausepeople identify with you being ac h i e f ?

1. Expert2 . Referent3 . Coercive4. Informational

3 -48 . Which of the following statementsconcerning leadership is true?

1. I t i s the mot ivat ing force thatleads to coordinated action andu n i t y o f e f f o r t

2. Leaders must encourage, inspire,teach, stimulate, and motivatea l l ind iv iduals o f theorganization

3. You should never let asubordinate be cr i t i c i zed orpenalized by anyone but yourself

4. Each of the above

3-49. A leader who believes people must becoerced , c o n t r o l l e d , d i r e c t e d , o rthreatened is using which of thefo l lowing leadership theor ies?

1. W2. X3. Y4. Z

1. Line2 . S t a f f3. Functional4. None of the above

19

3-50. Immediate compliance to orders,tight job control, and numerousdetailed reports on jobs arecharacter is t i cs o f which o f thefo l lowing leadership s ty les?

1. Coach2. Coercer3. Af f i l ia t ior4. Pacesetter

3-51. Which of the following definitionsident i f ies the author i tar ian s ty leo f l eadership?

1. Negative feedback is given andname calling is frequent

2 . Motivation is generated throughthreats o f d isc ip l ine orpunishment

3. Rewards are given for personalcharacteristics and punishmentis rare

4. Clear direction is given with nodoubt about who makes the finaldec is ions

3-52. Leaders who would rather do the jobthemselves, set high standards,expect self–direction, and havetrouble de legat ing author i ty ,exercise which of the followingleadership s ty les?

1 . A f f i l i a t o r2. Pacesetter3. Democratic4. Coach

3-53. A democratic leadership style wouldbe particularly harmful in a drillor battle condition for which of thefollowing reasons?

1. It requires time for meetings2. The leader lacks control of the

group3. Both 1 and 2 above4. It takes authority away from

subordinates

3-54. What leadership style is well suitedto a counselor but would have anegative effect on a work centeroperating on a tight schedule?

1. Authoritarian2. A f f i l i a t o r3. Democratic4. Coach

3-55. When you prepare your work centerfor inspection by incorporatingpreparation for inspection into thedaily routine, you are demonstratingwhich of the following managements k i l l s ?

1. Concern for standards2 . Concern for e f f i c iency3. Planning and organizing4. Superv is ing for e f fec t ive

performance

3-56. You would exhibit the leadershipskill commitment to the command'smission by taking which of thefo l lowing act ions?

1. Seeing yourself as a leader2. Making yourself available to

answer questions3. Using threats or your authority

to influence others4. Acting with the best interest of

the command in mind

3-57. Which of the following statementsdescribes the action you should takein developing others?

1. Use the proper setting andtiming for optimum impact

2 . See yourself as someone whomakes things happen

3. Provide constructive feedback tosubordinates

4. See yourself as a leader

3 -58 . Which of the following personalcharacter is t i cs i s de f ined asconfronting issues directly andinsisting others recognize yourplace in the chain of command?

1. Concern for achievement2 . Analytical problem solving3. Persistence4. Assertiveness

20

3-59. Which of the following personalcharacter is t i cs i s de f ined as be inga s e l f – s t a r t e r , seeing problems, andtaking action to correct theproblems without being told?

1. Interpersonal awareness2. Assertiveness3. Pers is tence4. I n i t i a t i v e

3-60. Which of the following is a benefitof Total Quality Management?

1. Increased pride of workmanshipamong individual workers

2 . Improved sustainability causedby extended time betweenequipment failures

3. Streamlined maintenance andproduction processes

4. Each of the above

21

ASSIGNMENT 4

Textbook Assignment: Chapter 4, “Management Information," pages 4-1 through 4-36 andChapter 5, “Career Information and Training,” pages 5-1 through 5-25.

4 -1 . Preparing and submitting a budgetrequest is what form of planning?

1. Long-range2 . Medium-range3. Short-range4. Micro

4 -2 . Who develops the budget resolutioneach year?

1. The President2. Congress3. The General Accounting Office4. The Office of Management and

Budget

4 -3 . When forecasting your yearly budget,the period of 1 October to 30September can be viewed with a greatdeal o f uncerta inty .

1. True2 . False

4 -4 . When purchasing a ship, the Navyuses what type of budgeting tof igure the cost?

1. Incremental2 . Zero-based3. Both 1 and 2 above4. Additional

4 -5 . Supply fac i l i t i es es tab l i shed tosupport public works departments orground electronics shops are called

1. stock control branches2. s e l f - s e r v i c e s t o r e s3. shop stores4. rapid communication and delivery

4-6 . Which of the following supplyestablishments is responsible forexpediting material from outsidesources?

1. Rapid communication and deliverysystems

2. Reta i l i ssue organizat ions3. Mater ia l d iv is ion4. Receipt control branch

4 - 7 . Which of the following items isconsidered equipage?

1. Electronic computer2 . Missile launcher3. Diesel engine4. Anchor

4-8 . You could figure the three-monthusage rate for fast-moving items byusing which of the followingformulas?

1. Multiplying last month’s usageby 2.

2 . Dividing last month’s usage by 23 . Multiplying last month’s usage

by 34. Dividing last month’s usage by 3

4 - 9 . Which of the following terms appliesto spec i f i c repair parts intended tobe used when troubleshootingelectronic equipment?

1. Ready service spares2. Maintenance assist modules3. Maintenance repair modules4. Operating space repair spares

4-10. What officer assigns the forceact iv i ty des ignator?

1. Supply o f f i cer2. Department head3 . Fleet commander4. Commanding officer

22

4-11.

4-12.

4-13.

4-14.

4-15.

4-16.

Who is responsible for assigning thecorrect urgency–of–need designatorto a material request?

1. Mater ia l o f f i cer2 . Execut ive o f f i cer3. Department head4. Supply o f f i cer

An authorized coordinated shipboardallowance list reactor part wouldhave which of the following urgencyof need designators assigned?

1. A2. B3. C4. D

Who is responsible for inspectingitems purchased from a commercialsource prior to payment being made?

1. Div is ion chie f2. Supply o f f i cer3 . D i v i s i o n o f f i c e r4. Department head

What person must sign the copy ofthe purchase document stamped“rece ived , inspected , and accepted”?

1. D i v i s i o n o f f i c e r2. Department head3. Div is ion chie f4. Supply o f f i cer

The supply officer has which of thefo l lowing types o f contro l overconsumables and repair parts thatare

1 .2.3.4.

The

stowed in departmental spaces?

Stock record controlInventory controlStowage controlUse control

record inq o f rece ipts ,expenditures, and inventories ofspare parts and consumables within adepartment is the directrespons ib i l i ty o f which o f thefo l lowing persons?

1. Senior CPO of the department2. D i v i s i o n o f f i c e r3. Designated custodian4. Department head

4-17 . What is the purpose of using dunnageunder material being stowed on deck?

1. To protect against excessiveshock

2. To provide more economical useof space

3 . To protect against moisture4. To aid in handling

4-18. In the physical arrangement ofmaterial for stowage, which of thefollowing factors should you giveprimary consideration?

1. Sui tabi l i ty for i ssue andinventory

2 . Size and weight distribution3. Stock number sequence4. Orderliness

4-19. Which of the following precautionsshould be observed when handling andstowing hazardous materials?

1. Ventilate adequately2 . Provide separate stowage areas

to prevent mixing of materials3. Allow only authorized personnel

in stowage area4. Each of the above

4-20 . Who generally has custodialrespons ib i l i ty for b inoculars?

1 . The leading Quartermaster2 . The senior Signalman3. The operations department head4. The execut ive o f f i cer

4–21. For signature-required items ofcontrolled equipage in the custodyof a department, which of thefollowing persons should sign (a)the custody records and (b) theduplicate custody records?

1. (a)(b)

2. (a)(b)

3 . (a)(b)

4. (a)(b)

Commanding officerDepartment headDepartment headActual custodianDepartment headD i v i s i o n o f f i c e rCommanding officerSupply o f f i cer

23

4-22. Which of the following personsis /are author ized to convertnonsignature-required items tosignature-required items?

1. The actual custodian2 . The type commander only3. The commanding officer only4. The commanding officer and the

type commander

4-23. Which of the following circumstancesrequires the use of the DD Form 200(Report of Survey)?

1. When circumstances warrant2 . When gross negligence is evident3. When criminal activity is

indicated4. Each of the above

4-24. Who is responsible for ensuringproper tests and inspections arecompleted before the acceptance ofwork by outs ide act iv i t ies?

1. The work center supervisor2. The d iv is ion o f f i cer3. The department head4. The 3–M coordinator

4-25. Counseling is an importantr e s p o n s i b i l i t y . Which of thefollowing statements best describesthe most important aspect ofsupervisor counseling?

1. To provide guidance to youraverage performer

2 . To provide support to a personhaving problems

3. To provide professional guidanceto a superior performer

4. To provide professionalassistance to a personal problem

4-26. Counseling is divided into which ofthe following types?

1. Situational and conditional2 . Directive and nondirective3. Military and paramilitary4. Personal and clandestine

4-27. The process of l istening to aperson’s problems, then encouragingand motivating that person to solvethem, accomplishes which of thefo l lowing counse l ing funct ions?

1. Reorientation2 . Reassurance3. Advice4. Both 2 and 3 above

4-28. Trying to change the person ratherthan dealing with the immediateproblem is an example of which ofthe following types of counseling?

1 . Nondirective2. Pro fess ional3. Mi l i tary4. Direct ive

4-29. The major objective in interviewingyour subordinates is to accomplishwhich of the following results?

1. To discover specialc h a r a c t e r i s t i c s , a p t i t u d e s , o rs k i l l s

2 . To show a personal interest inthe subordinate

3. To establish your position ofleadership

4. All of the above

4-30. The primary purpose of the militarybriefing is to accomplish which ofthe fo l lowing funct ions?

1. To teach2. To inform3. To entertain4. To allow the person presenting

the brief to express his or heropinion

4-31. Which of the following persons is inthe best pos i t ion to not i ce i f theSORM needs updating?

1. The commanding officer2. The execut ive o f f i cer3. The department head4. The leading ch ie f pet ty o f f i cer

24

4-32. You should conduct careerinformation interviews with juniorpersonnel for which of the followingpurposes?

1 . To inform them about the Navy2. To inform them of their benefits3. Both 1 and 2 above4. To meet the requirements of the

career retention program

4-33. Which of the following types ofreenlistment applies to personnelwho desire to convert to acritically undermanned rating?

1. Regular2. Guard III3. STAR4. SCORE

4-34. Which of the following reenlistmentso f fers career des ignat ion to f i rs tterm personnel?

1. Regular2. Guard III3. STAR4. SCORE

4-35. Which of the following types ofreenlistment offers guaranteedadvancement to petty officer secondc lass for qual i f i ed personnel a f tercompletion of class C school?

1. STAR2. SCORE3. Both 1 and 2 above4. Guard III

4-36. When, if ever, does SGLI coverageterminate after separation fromact ive duty?

1. 120 days2. 180 days3. 360 days4. Never

4-37. Which of the following organizationsoffers the only supplementalinsurance endorsed by the Navy?

1. American Red Cross2. Navy Mutual Aid Society3. Navy League4. Navy Relief Society

4-38. When, if ever, are you allowed MALTpayments?

1. When you use governmenttransportat ion

2. When you travel by privatelyowed vehicle during a PCS move

3. When you travel by privatelyowned vehicle while on TADorders

4. Never

4-39. If you die on active duty, yourspouse would receive a lump sumpayment of up to $3,000 in which ofthe following payments?

1. Death gratuity2 . SGLI3 . DIC4. Soc ia l secur i ty

4 -40 . A person who has 5 years and 11months of active military service,reenl i s ts for a per iod o f s ix years .This person could reenlist for anSRB zone B bonus at the end of hisor her ob l igated serv ice .

1. True2 . False

4-41. Which of the following educationalprograms provides seventy–fivepercent o f the tu i t ion cost foractive–duty personnel regardless ofrank, paygrade, or length ofs e r v i c e ?

1. SOC2. SOCNAV3. DANTES

TA

4-42 . Which of the following programsenables personnel to achievejourneyman status in recognizedc i v i l i a n t r a d e s ?

1 . National Apprenticeship Program2 . Defense Activity for Non-

Traditional Education Support3 . Servicemembers Opportunity

College4. Program for Afloat College

Education

25

4 .

4-43 . A chief petty off icer serving onactive duty with 17 years of serviceis e l ig ib le for which o f thefo l lowing o f f i cer programs?

1. Limited Duty Officer Program2. Chief Warrant Officer Program3. Broadened Opportunity for

Officer Selection and TrainingProgram

4. All of the above

4-44. A married 20-year-old petty off icersecond c lass , with 12 years ofeducation, i s e l ig ib le for which o fthe following officer programs?

1. Direct commision2 . U.S. Naval Academy3. Broadened Opportunity for

Officer Selection and TrainingProgram

4. Limited Duty Officer Program

4-45. A dependent parent of an active–dutySailor qualifies for CHAMPUSb e n e f i t s .

1. True2 . False

4-46. A dependent parent–in-law of anactive-duty service member qualifiesfor treatment under the UniformedServices Health Benefits Program.

1 . True2. False

4 -47 . The maximum CHAMPUS deductible aservice member with a wife and 6children would have to pay is whichof the following amounts?

1. $150 per person2. $300 per person3 . $150 per family4. $300 per family

4-48. Which of the following amounts isthe CHAMPUS catastrophic cap forretired service members?

1. $1502 . $3003. $1,0004. $10,000

4-49. Which of the following levels of

4-50.

4-51.

4-52.

4-53.

ch ie f pet ty o f f i cer i s cons idered tobe the senior technical supervisorwithin a rating?

1. Chief2. Senior ch ie f3. Master chief4. Command master-chief

Which of the following personnelwould have performance evaluationsfilmed into their microform records?

1. E-3 and below2 . E-4 and below3. E-5 and above4. Each of the above

Which of the following categories ofretirement is applicable to Reservepersonnel who have completed 20years o f act ive mi l i tary serv ice?

1. Fleet Reserve2. Retired Reserve3 . Regular Navy Retired List4. Naval Reserve Retired List

Service members who have a permanentphysical disability and aretemporarily unable to perform theirduties are transferred to which ofthe fo l lowing ret i red l i s ts?

1. Regular Navy Retired List2 . Naval Reserve Retired List3. Temporary Disability Retired

L i s t4. Permanent Disability Retired

List

The Survivor Benefit Plan allows youto designate your permanentlydisabled children to receive aport ion o f your ret i rement for l i f eprov ided the ch i ld ’ s d isabi l i tyoccurs before age 18 or age 22 ifattending schoo l fu l l t ime.

1. True2. False

26

4-54. You may select only one beneficiaryoption under the Survivor BenefitPlan.

1. True2. False

4-55. To transfer to the Fleet Reserve,you must complete which of thefollowing requirements?

1. 2 years at your current dutys t a t i o n

2 . Submit NAVPERS 1830/13 . Submit NAVPERS 1070/621 or

NAVPERS 1070/6224. All of the above

4-56. Which of the following is NOT anelement of an effective trainingprogram?

1. Analysis2. Advice3. Instruct ion4. Compatibil ity

4-57. Correspondence courses, onboardtraining packages, andcomputer-aided training belong towhich of the following trainingc a t e g o r i e s ?

1. Classroom2. Self–study3. Team training4. On–the–job training

4-58. Ensuring persons giving lectures andsigning qual i f i cat ions cancommunicate well with others is whatelement of an effective trainingprogram?

1 . Dynamic instruction2. Pos i t ive leadership3. Qual i ty contro l4. Personal interest

4-59. Technical support is defined astesting individuals or having themdemonstrate the knowledge they arecredited with having?

4-60 . Who should ensure a junior officeris trained to have a positiveattitude toward the chief pettyofficer community?

1. The commanding officer2 . The execut ive o f f i cer3. The department head4. The chief

1. True2. False

27

ASSIGNMENT 5

Textbook Assignment: Chapter 6, “Programs and Policies,” pages 6-1 through 6-15 andChapter 7, “Military Requirements," pages 7-1 through 7-26.

5 -1 . Which of the following people musthave a formalized dependent careplan?

1. Single military parents2. Married military couples who

are parents3. Both 1 and 2 above4. An unmarried chief with no

dependents

5 -2 . Single military parents should havewhich of the following documents onf i l e to ident i fy custod ians fortheir dependents?

1. Navy Single Sponsor, OPNAV Form1740.4

2. Dental Care Form, OPNAV 11803. Dependent Care Certif icate,

OPNAV 1740/14. Custodian Assignment Form,

OPNAV 1180/1

5 -3 . Which of the following items ofinformation concerning the Navy’sdependent care policy is containedin OPNAVINST 1740.4?

1.

2 .

3.4.

5 -4 . The

A list of prohibited dutystat ions for s ing le sponsorsCommand and individualr e s p o n s i b i l i t i e sCounseling checklistsBoth 2 and 3 above

Family Advocacy Program coverswhich of the following persons?

1. Abused wives2. Neglected children3. Sexually assaulted wives4. Each of the above

5-5 .

5 - 6 .

5 -7 .

5 - 8 .

5 -9 .

The Family Service Center canprovide information on which of thefollowing programs?

1.2 .3.4.

Whothe

1.2.3.4.

Thethe

Family AdvocacyCommand SponsorCommand OmbudsmanEach of the above

is respons ib le for appo int ingcommand ombudsman?

The commanding officerThe execut ive o f f i cerThe wives clubChief of Naval Personnel

command ombudsman determinespriorities of the command

ombudsman program.

1. True2. False

The term DUSTWUN applies to whichof the fo l l owing categor ies o fpersonnel?

1. Unaccounted for––duty status–whereabouts unknown

2. Accounted for––duty status–whereabouts unknown

3. Reported missing4. Reported dead

Which of the following personnelmay serve as a CACO?

1. An ensign with 1 year of activeduty

2. A ch ie f pet ty o f f i cer3. A f i rs t c lass pet ty o f f i cer4. Each of the above

28

The Morale, Welfare, and RecreationProgram was designed to improve thequal i ty o f l i f e for which o f thefollowing personnel?

1. Active-duty military2. Ret i red mi l i tary3. Personnel associated with the

armed forces4. Each of the above

About what percent of militarymembers experience financiald i f f i cu l ty dur ing the ir career?

1 . 10 percent2. 30 percent3 . 50 percent4. 75 percent

The Navy Personal FinancialManagement Program contains whatmajor elements?

1. Financia l educat ion , t ra in ing ,and counseling

2. Bankruptcy law, free loans,credi t cards

3. Educational assistance andbankruptcy proceedings

4. Credit cards, low cost loans,f ree lega l adv ice

What is the goal of the Departmentof Defense Family Housing Program?

1. To ensure all military membersreceive BAQ

2. To ensure enough militaryhousing exists to house active-duty members

3. To provide suitable housing tomilitary members and dependents

4. To provide free housing toreserve personnel

The Navy Sponsor Program wasimplemented for which of thefo l lowing reasons?

1. To help overcome the diff icultyof a PCS move

2. To provide a dependent careplan to single military parents

3. To define military dependent’suse of Navy medical facil ities

4 . To provide low cost housing tomilitary members and dependents

5 -10 .

5-11.

5-12.

5-13.

5-14.

5 -15 .

5 -16 .

5 -17 .

5 -18 .

5 -19 .

The Overseas Duty Support Programwas designed to help which of thefollowing personnel?

1. Personnel on Embassy dutyPersonnel aboard deployingships

3. Personnel assigned to overseasshore duty

4. Each of the above

The major goal(s) of the OverseasDuty Support Program include whichof the fo l l owing ob jec t ives?

1. Providing free long distancetelephone service

2 . Supplying information throughpublications, video tapes, andpersonal assistance

3 . Provid ing cross - tra in ing incounter–cul tural re lat ions

4 . Each of the above

The Navy supports the Overseas DutySupport Program by meeting which ofthe fo l lowing goa ls?

1. Increasing command knowledge,readiness, and effectiveness inthe ODSP

2. Improving individual and familyexperiences in the uniqueenvironment of the host country

3. Developing and maintainingpositive relations between theNavy and the countries in whichthe Navy operates

4. Each of the above

The Overseas Transfer InformationServ ice wi l l accept co l lec t phonecalls from within CONUS.

1. True2. False

Which of the following Chief ofNaval Operations initiated CoreValues to strengthen and reinforcethe existing Pride andProfessionalism programs?

1. Admiral Thomas B. Hayward2. Admiral James D. Watkins3. Admiral Carlisle A.H. Trost4. Admiral Frank B. Kelso II

29

2.

5-20. Which of the following Chief ofNaval Operations initiated thePersonal Excellence Program toemphasize Navy involvement in thecivilian community?

1. Admiral Thomas B. Hayward2 . Admiral James D. Watkins3. Admiral Carlisle A.H. Trost4. Admiral Frank B. Kelso II

5-21. Which of the following Chief ofNaval Operations initiated aprogram to reemphasize andreenforce the past traditions andvalues of the Navy?

1. Admiral Thomas B. Hayward2. Admiral James D. Watkins3. Admiral Carlisle A.H. Trost4. Admiral Frank B. Kelso II

5-22. Which of the following statementsdefines the term fraud?

1. To mislead or deceive to defraud the government of its resourcesintentionally

2. Improper or deficientpract ices , systems, contro ls ,or decisions that lead tocareless or needless use ofgovernment resources

3 . To misuse rank, position orauthority

4. To manage incompetently orimproperly

5-23. Which of the following statementsdefines the term waste ?

1. To mislead or deceive to defraudthe government of its resourcesintentionally

2. Improper or deficientpract ices , systems, contro ls ,or decisions that lead tocareless or needless use ofgovernment resources

3. To misuse rank, position orauthority

4. To mismanage incompetently orimproperly

5-24. If you are aware of fraud, waste orother improprieties within theDepartment of the Navy, what shouldbe the first method used to resolvethe problem?

1. Inform your chain of comnand2. Call the DOD Hot Line3. Report the problem to NIS4. Write your Congressman

5-25 . When the DOD Hot Line is used toreport fraud, waste, abuse, ormismanagement, how long does thecommand have to investigate andtake correct ive act ion unlessNAVINSGEN allows more time?

1. 30 days2. 60 days3. 120 days4. 180 days

5-26 . NIS only investigates crimes thatcarry a maximum penalty of 1 yearor a $500 fine.

1. True2. False

5 -27 . Military supervisors who interferewith a congressional investigation,before or after the fact, may becharged under the Uniform Code ofMi l i tary Just i ce , art i c le 92(a ) .

1. True2. False

5 -28 . Which of the following services isoffered by the Navy resale system?

1. Bowling centers2. Child development centers3. Hobby shops4. Pay telephones

5-29. Which of the following items can berented from the Navy resale system?

1. Santa Claus suit2. Rollaway bed3 . Hydraul i c l og sp l i t ter4. Each of the above

30

5-30. Items purchased through the Navyresale system are tax-free and theprofits generated are contributedto the MWR program.

1. True2. False

5-31. When should you check thedivisional watch, quarter, ands t a t i o n b i l l ?

1. When a person from the divisiongoes on leave

2. When a person from the divisiontransfers

3. When a person from the divisiongoes TAD

4. Each of the above

5-32. Who maintains the ship’s masterwatch, quarter, and s tat ion b i l l ?

1. The watch bill coordinator2. The secur i ty o f f i cer3. The senior watch officer4. The commanding officer

5 -33 . When in drill and formation, aninterval is normally what distance?

1. 24 inches for women, 30 inchesfor men

2. The space between the chest ofone person and the back of theperson ahead

3. One arm’s length from shoulderto shoulder

4. 40 inches between ranks

5-34. When presenting your division forinspection, you should positionyourself so the inspecting partyapproaches from which, i f any , o fthe fo l lowing d irect ions?

1. From the right2. From the left3. From directly in front of the

d i v i s i o n4. None of the above

5-35. When you present a division for

5 -36 .

5 -37 .

5-38.

5-39.

inspection, where should you fallin , re lat ive to the inspect ingo f f i c e r , as the division is beinginspected?

1 . Just ahead of the inspectingo f f i c e r , on the side of therank being inspected

2 . Just behind the inspectingo f f i c e r , on the side of therank being inspected

3. Just ahead of the inspectingo f f i c e r , opposite the rankbeing inspected

4. Just behind the inspectingo f f i c e r , opposite the rankbeing inspected

BMC Jane B. Doe is holdingdivisional quarters and thediv is ion i s at ease . At theconclusion of quarters, whatcommand(s) should be given?

1. “Attent ion” then “Fall Out”2 . “Attention” then "Dismissed"3. “Dismissed”4. “Fal l out”

Which of the following peoplereport d i rec t ly to the o f f i cer o fthe deck in port?

1. Execut ive o f f i cer2. Command duty officer3. Duty master–at–arms4. Each of the above

In carrying out the ship’s dailyrout ine , who should the in–porto f f i cer o f the deck report to?

1. Execut ive o f f i cer2. Commanding officer3. Command duty officer4. Senior watch officer

Who should the officer of the deckin port report to for the generalsafety and duties of the command?

1. Execut ive o f f i cer2. Commanding officer3. Command duty officer4. Senior watch officer

31

5-40 . For which of the following dutiesis the o f f i cer o f the deck in portrespons ib le?

1. Initiating and supervising theunit ’ s evo lut ions or operat ionsas necessary

2. Ensuring all required entriesare made in the deck log andsigning the log at theconclusion of the watch

3. Displaying required absenteepennants, colors, and generalinformation signals; andsupervising the rendering ofhonors

4. Each of the above

5-41. Which of the following duties isthe respons ib i l i ty o f the d iv is iond u t y o f f i c e r ?

1. Making eight o ’clock reports tothe department head

2. Ful f i l l ing the funct ion o f thediv is ion o f f i cer dur ing h is orher absence

3. Frequently inspecting divisionspaces to ensure physicalsecurity and good order andd i s c i p l i n e

4. Each of the above

5-42 . Who is the chairman of the generalmess advisory board?

1. Command master chief2. Food serv ices o f f i cer3 . Disburs ing o f f i cer4. Execut ive o f f i cer

5-43. The mess audit board is responsiblefor auditing which of the followingmess treasurers?

1. Wardroom2. Chie f pet ty o f f i cer ’ s mess3. Both 1 and 2 above4. Crew’s general mess

5-44. The first use of the term “chiefp e t t y o f f i c e r ” was recorded in whatyear?

1. 17752. 18653. 18864. 1893

5-45.

5 -46 .

5 -47 .

5-48.

5-49.

The term “chie f pet ty o f f i cer ” wasfirst used in reference to whatrat ing?

1. Boatswain’s MateMaster-at-arms

3. Gunner’s Mate4. Quartermaster

What o f f i c ia l document (s ) f i rs tl i s ted the rate o f ch ie f pet tyo f f i cer as a separate rate?

1. U.S. Navy Regulation Circular#41

General Order #409 and U.S.Navy Regulation Circular #41

3. General Order #409 and U.S.Navy Regulation Circular #1

4. U.S. Navy Regulation Circular#1 and General Order #431

What is the equivalent civil ianattire to the dinner dress uniform?

1. Black tie2. White tie3. Coat and tie4. Coat and tails

Which of the following types ofuniforms would be appropriate for aceremonial visit to a British man–of–war moored to Pier Lima NavalStat ion , Charleston, SouthCarolina?

1. Full dress Summer khaki

3. Service dress4. Service undress

What is the major differencebetween full dress and servicedress uniforms?

1. Large medals are worn with fulldress miniature medals areworn with service dress

Miniature medals are worn withf u l l d r e s s ; large medals areworn with service dress

3. Ribbons are worn with fulldress; large medals are wornwith service dress

4. Large medals are worn with fulldress; ribbons are worn withservice dress

32

2 .

2 .

2.

2.

5-50. On which of the following occasionswould the wearing of workinguniforms be appropriate?

1. While on liberty in CONUS2. When working in the engine room3. When conducting business off

base4. While standing officer of the

deck in port

5 -51 . Which, i f any , o f the fo l lowingc h i e f p e t t y o f f i c e r s i s / a r erequired to wear the aviationworking green uniform?

1. AVCM Jane B. Doe assigned toVAQ-122 as command master chief

2. A l l c h i e f p e t t y o f f i c e r sassigned to an aviation command

3. ABHC John A. Doe assigned toNaval Air Fac i l i ty , S igonel laas senior en l i s ted advisor

4. None of the above

5-52 . When in uniform, which of thefollowing circumstances would beconsidered inappropriate for thewearing of sunglasses?

1. On watch2 . O n l i b e r t y3. When in formation4. When conducting official

business off base

5-53. When wearing the combination cap,what is the correct position of therivet on the chin strap?

1. To the left side of thecombination cap

2. To the right side of thecombination cap

3. Centered in the front4. Centered in the back

5-54. The chevrons, rocker, servicestripes, and specialty mark of therating badge worn on the aviationworking green uniform of a personwith 12 years' continuous goodconduct are what color?

5 -55 . Suppose an MACM serving at acommand in a law enforcement billetreceives orders to a command whereshe wi l l be f i l l ing the b i l l e t ascommand master chief. Whatchanges, i f any, should be made tothe rating badge to reflect the newposition as command master chief?

1. The specialty mark should bereplaced by a silver star

2 . A th ird s i lver s tar should beadded centered between the twoalready on her rating badge

3. The two silver stars on therating badge should be replacedby one gold star centered abovethe eagle’s head

4. None of the above

5-56 . A master ch ie f pet ty o f f i cer i sserving as command master chief atNaval Station, Charleston, SouthCarolina. The person’s nextassignment will be as master chiefpetty officer of the Navy (MCPON)at Washington, D.C. What changes,i f any , should be made to theperson’s rating badge and collardev ices?

1. A third silver star should beadded to the rating badge andthe collar device should remainunchanged

2. A gold star should be addedbetween the two silver starsand the collar device shouldremain unchanged

3 . The current stars above theeagle should be replaced withthree gold stars and a thirdraised star should be added tothe co l lar dev ice

4. None of the above

1. Gold2. Blue3. S i l v e r4. Scar let

33

5-57. You are currently serving in the 5-60 . Which of the following materials isNavy and have just been awarded the recommended for cleaning goldNavy Commendation Medal. Ten years b u l l i o n l a c e ?ago you where serving in the AirForce and received the Air Force 1. RubberCommendation Medal. What is the 2 . Kraft papercorrect precedence for the wearing 3. Manila paperof the two medals? 4. Commercial nontoxic cleaner

1. All medals are worn in theorder received

2. The Air Force CommendationMedal is worn first, the NavyCommendation Medal is wornsecond

3. The Navy Commendation Medal isworn f i rs t , the Air ForceCommendation Medal is wornsecond

4. Navy personnel are prohibitedfrom wearing medals awarded byother serv ices , so only theNavy Commendation Medal may beworn

5-58. Of the following statements, whichis NOT correct regarding thewearing of ribbons?

1. You may wear all ribbons towhich you are entitled

2. If entitled to more than threeribbons, you may wear any three

3. If entitled to wear more thanthree ribbons, you may wear thethree most senior ribbons

4. If you are entitled to threenon-U.S. awards but no U.S.decorations, you may wear noribbons

5-59. If you have any questions about theproper wearing of uniforms, youshould refer to which of thefo l lowing publ i cat ions?

1. OPNAVINST 5350.4AOPNAVINST 3120.32B

3. NAVPERS 15665G4. BUPERSINST 1430.16C

34

2.

Textbook Assignment Chapter 8, “Safety andChapter 9, “Security,”

6 -1 .

6 -2 .

6 -3 .

6 -4 .

6 -5 .

The f i rs t pr ior i ty o f theinvestigator of a mishap is todetermine who caused the mishap.

1. True2 . F a l s e

Which of the followinginvestigations is an independentcheck based on the guidelines of amishap investigation?

1. Naval Safety Centerinvest igat ion

2. JAG manual investigation3 . TYCOM inquiry4. Each of the above

Which of the following times aftera mishap is ideal for beginning aninvest igat ion?

1. 72 hours2. 48 hours3. 24 minutes4. 12 minutes

What evidence should you NOT try toobtain during a mishapinvest igat ion?

1. Pieces of equipment or material2 . Sworn statements from witnesses3. Color photographs of the scene4. Photocopies of operating logs

The Handbook for the Conduct ofForces Afloat Safety Investigationscontains a checklist for commoninvestigations in which of thefollowing Appendixes?

1. I2. I I3. I I I4. IV

Damage Control,” pages 8-1 through 8-11 andpages 9-1 through 9-45.

6 -6 .

6 -7 .

6 -8 .

6 -9 .

6-10.

Who i s the d iv is ion sa fety o f f i cer?

1. The d iv is ion o f f i cer2 . The leading pet ty o f f i cer3. The work center supervisor4. The leading ch ie f pet ty o f f i cer

Who is the senior member of theenlisted safety committee?

1. The command master chief2 . The commanding officer3. The execut ive o f f i cer4. The sa fety o f f i cer

Required survival training shouldinclude which of the followingt o p i c s ?

1 . Leaving assigned spaces2. Fundamental first–aid3 . Survival equipment4. Each of the above

Within the Navy, who has ultimaterespons ib i l i ty for establ i sh ing andmaintaining the Information andPersonnel Security Program?

1. Secretary of Defense2. Secretary of the Navy3. Director of Naval Intelligence4. Commander Naval Security and

Investigative Command

The Navy Information and PersonnelSecurity Program exists for whichof the following reasons?

1. To limit dissemination ofofficial government information

2. To allow classified informationaccess to selected members ofthe armed services

3. To sa feguard o f f i c ia lgovernment information andmaterials in the possession ofvarious agencies of the UnitedStates

4. Each of the above

35

A S S I G N M E N T 6

6-11 . What Navy office serves as theliaison between the Departments ofthe Navy and the Secretary of theDefense regarding security matters?

1. Chief of Naval Operations(OP-09N)Chief of Naval Operations

2. (OP-062)3. Director of Naval

Administration4. Chief of Naval Education and

Training

6-12. Standards for the safeguardingc lass i f ied mater ia l in theDepartment of the Navy Informationand Personnel Security ProgramRegulation meet which of thef o l l o w i n g c r i t e r i a ?

1. The minimum acceptablestandards

2 . The maximum acceptablestandards

3. Recommended standards4 . Jo int -serv ices s tandards

6-13. Department of the Navy informationand personnel secur i ty po l i c ies ,procedures, and directives fromhigher authority are formulated bywhich o f the fo l lowing o f f i ces?

1. Chief of Naval Operations(OP-009)

2. Director, Naval Data AutomationCommand

3. Commander, Naval Security andInvestigative Commander

4. Chief of Naval Personnel

6-14. Which of the followingorganizations provides overallpolicy guidance on information andpersonnel security?

1. National Security Agency2 . National Security Council3. Naval Investigative Service4. Defense Investigative Service

6-15. Which of the followingorganizations is the Department ofthe Navy’s sole liaison with theFBI on matters of internals e c u r i t y ?

1. National Security Agency2 . National Security Council3. Naval Investigative Service4. Defense Investigative Service

6-16. Which of the following persons maybe assigned the duty of securitymanager without being granted awaiver?

1. A l ine o f f i cer , a master ch ie fp e t t y o f f i c e r , and a civil ianemployee (GS-9)

2. A l i n e o f f i c e r , a m a s t e r c h i e fp e t t y o f f i c e r , and a civil ianemployee (GS-13)

3. A l ine o f f i cer , a medica lserv ices corps o f f i cer , and acivilian employee (GS-13)

4. A master chief petty officer, acrypto log ic o f f i cer , and amarine gunnery sergeant

6-17. Which of the following functionsis /are the respons ib i l i ty o f thesecurity manager?

1. Ensuring that clearance statusand access granted by thecommand are recorded

2. Ensuring security control ofc lass i f i ed v is i ts to and f romthe command

3. Both 1 and 2 above4. Performing national agency

checks on individuals whorequire secur i ty c learances

6 -18 . In the organizational chain ofcommand, the Top Secret controlo f f i cer i s respons ib le to whato f f i c ia l f or the contro l o f TopSecret material in the command?

1. The security manager2 . The secur i ty o f f i cer3. The executive off icer4. The crypto secur i ty o f f i cer

36

6-19. As a minimum, how often must theTop Secret contro l o f f i cerphysically inventory the Top Secretmaterials in the command?

1. Annually2. Semiannually3. Quarterly4. Monthly

6-20. In addition to receiving anddistributing Top Secret material,The command TSCO is responsible forwhich of the following functions?

1. Maintaining all Top Secretmaterial in his/her personalpossession at all t imes

2. Maintaining a system ofaccountabi l i ty for a l l TopSecret material within thecommand

3. Grant ing access to c lass i f iedspaces within the command

4. Granting security clearanceswithin the command

6-21 . When may a command assign a TopSecret contro l ass is tant?

1. When the Top Secret controlo f f i cer i s absent f rom thecommand for more than 2consecutive weeks

2. When preparation is being madefor a change of commandinspect ion

3. Upon receipt of Top Secretmaterials

4. As the need arises

6-22. At a command with an automatic dataprocessing (ADP) system, whato f f i cer i s respons ib le to thesecurity manager for the protectionof c lass i f ied in format ion in theADP system?

6-23. A command that handles classifiedinformat ion i s respons ib le forinstructing which of its members insecurity policies and procedures?

1. Only enlisted personnel E-6 andbelow

2 . All personnel regardless ofthe ir pos i t ion , rank, or grade

3. Only military and civilianpersonnel having access toc lass i f ied in format ion

4. Only o f f i cers , en l i s tedpersonnel E-6 and above, andcivilian employees GS-9 andabove

6-24 . At the Department of the Navyleve l , who i s respons ib le forproviding policy guidance,educational requirements, andsource support for the securityeducation program?

1. The Secretary of the Navy2. The Chief of Naval Operations

(OP-09N)3. The Director, Navy Program

Planning4. The Chief of Naval Education

and Training

6-25 . A command security educationprogram must be designed toaccomplish which of the followingrequirements?

1. To inform personnel oftechniques used by foreigna c t i v i t i e s t o o b t a i n c l a s s i f i e dinformation

2. To advise personnel of theirlega l ob l igat ion to protectc lass i f ied in format ion in the irpossession

3 . To familiarize personnel withspec i f i c secur i ty procedures

4. All of the above1. The ADP security officer2 . The administrat ive o f f i cer3. The ass is tant secur i ty o f f i cer4. The Top Secret control off icer

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6-26. Personnel granted access toc lass i f ied in format ion shal l bedebriefed when a temporaryseparation exceeds what minimumamount of time?

1. 30 days2 . 60 days3. 90 days4. 120 days

6-27. Which of the following statementsdef ine (s ) a secur i ty v io lat ion?

1. The compromise or possiblecompromise of classifiedinformation

2. A v io lat ion o f secur i tyregulations with no compromiseoccurr ing

3. Both 1 and 2 above4. A weak command security program

6-28. If a preliminary inquiry determinesthat c lass i f ied in format ion hasbeen compromised, who usuallyconvenes a JAG Manualinvest igat ion?

1. The command having custody2 . The office of the Judge

Advocate General3. The command that first

discovers the compromise4. The next senior in the

administrative chain of commandthat initiates the preliminaryinquiry

6-29 . When security regulations areviolated without compromise ofc lass i f ied mater ia l , who i srespons ib le for taking correct ivea c t i o n ?

1. The Naval Investigative Service2 . The commanding officer3. The security manager4. The senior person in the

administrative chain of command

6-30. When classified information isimproperly handled by the sendinga c t i v i t y , which of the followingact iv i t ies should be not i f i ed?

1. The commanding officer of thesending act iv i ty

2. Chief of Naval Operations( O P - 0 9 N )

3. The local NIS office4. Each of the above

6-31. If you are aware of a possible actof sabotage, to whom should youreport th is fact?

1. Your commanding officer2. The most readily available

command3. Either 1 or 2 above depending

on who is most readilyavai lab le

4. The command havingrespons ib i l i ty for the mater ia lor equipment involved

6-32 . A report to the Commander, NavalSecurity and Investigative Commandconcerning an act of sabotageshould be forwarded using which ofthe following types of messages?

1. Classified ROUTINE2. Classified IMMEDIATE3. Unclassified IMMEDIATE4. Unclassified ROUTINE

6-33. A member of the Department of theNavy who has a c c e s s t o c l a s s i f i e dmaterial commits suicide. To whomshould you report the incident?

1. The nearest NIS office2. The nearest FBI office3. The Chief of Naval Operations

(OP-09N)4. The Director, Naval

Investigative Command

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6-34. A civilian employee of theDepartment of the Navy with accessto c lass i f ied mater ia l i s absentfrom work for several days withoutexplanation. Who is responsiblefor making the initial inquiry intothe employee’s absence?

1. The FBI2 . The secur i ty o f f i cer3. The nearest NIS office4. The commanding officer of the

a c t i v i t y

6-35. Who is authorized to declassify anddowngrade all classifiedinformation upon which theDepartment of the Navy exercisesf i n a l c l a s s i f i c a t i o n a u t h o r i t y ?

1. The Secretary of the Navy2. The Chief of Naval Operations3. The Archivist of the United

States4. The Director, Naval Historical

Center

6 -36 . When, i f e v e r , i s f o r e i g ngovernment information declassifiedby the Department of the Navy?

1. When agreed to by the foreigne n t i t y

2 . When approved by the Secretaryof the Navy

3. When approved by the Secretaryof State of the United States

4. Never

6-37. Which of the following types ofinformation is exempt fromprovis ions in e f fec t f or amandatory declassification review?

1. Cryptologic information2. Presidential papers3. Restricted data4. I n t e l l i g e n c e

6-38. Classified information may beupgraded if which of the followingcondi t ions ex is ts?

1. If the information can beretrieved from known holdersnot authorized access to theh i g h e s t l e v e l o f c l a s s i f i c a t i o n

2 . If all known holders of theinformation are authorizedaccess to the h igher leve l o fc l a s s i f i c a t i o n

3., If all known holders can bepromptly notified

4. Each of the above

6-39 . How should reproduction equipmentauthorized for reproducingclassified material be marked?

1 . With the highest level ofclassification that may bereproduced

2 . With the name of theo f f i c i a l ( s ) d e s i g n a t e d t oapprove the reproduction ofc lass i f ied mater ia l

3. Both 1 and 2 above4. With the words “For Security

Personnel Only”

6 -40 . Areas within a command requiringvarying degrees o f r e s t r i c t i o n o faccess , control of movement, andtype of protection required forclassified material are known bywhat collective term?

1. Sanitized areas2. Sensitive areas3. Restricted areas4 . Out of bounds areas

6-41 . Any weakness or deficiency found insecurity storage equipment shouldbe reported to which of thefo l lowing author i t ies?

1. The Naval Investigative Service2. The Naval Supply Systems

Command3. Chief of Naval Operation

(OP-09N)4 . The Defense Contract

Administration

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6-42. When, i f e v e r , may money or jewelrybe stored in security containersused to s tore c lass i f i ed mater ia l?

1.

2 .

3.

4.

During emergency and combats i t u a t i o n sWhen the articles are to beused as evidence in a militaryc o u r tWhen space is available, withc lass i f ied mater ia l a lwayshaving pr ior i tyNever

6-43. When a security container used tostore Top Secret material is notlocated in a building under U.S.government control, which of thefo l lowing addi t ional secur i typrecautions must be made?

1. The container must be protectedby an alarm system

2. The container must be guardedduring nonworking hours by U.S.c i t i z e n s

3. Both 1 and 2 above4. The container must be checked

by military guard once eachhour during nonworking hours

6-44. The combination of a container usedto s tore c lass i f i ed in format ionmust be changed on which of thefo l lowing occas ions?

1. Every 12 months2 . When evidence indicates the

combination has beencompromised

3. When any person having thecombination no longer requiresaccess

4. Each of the above

6-45. Records of destruction of Secretmaterial must be retained for whatminimum period of time?

1. 24 months2. 30 months3 . 36 months4. 48 months

6-46. When a strip shredding machine isused to shred classified material ,the material should be shreddedinto strips that are what maximumwidth?

1 . 1/64 inch2. 1/32 inch3. 3/64 inch4. 1/16 inch

6-47. Which of the following methodsis/are NOT recommended for officeuse?

1. Dis integrators2 . Pulver izers3. Both 1 and 2 above4. Shredders

6-48. A wet-process pulper is suitablefor destroying which of thefo l lowing mater ia ls?

1.2.3.4.

6 - 4 9 . A no f

MicroformPaper productsTypewriter ribbonsEach of the above

emergency plan for destructionclassified material must be

based on which off a c t o r s ?

1. The potentiala c t i v i t i e s b y

2 . The level and

the following

for aggressiveh o s t i l e f o r c e ss e n s i t i v i t y o f

c lass i f ied mater ia l he ld3. The proximity of hostile forces4. Each of the above

6-50. When you assign priorities foremergency destruction of classifiedmater ia l , what priority should youass ign to the f i l es conta in ingConf ident ia l technica l mater ia l?

1. Priority One2. Priority Two3. Priority Three4. Priority Four

40

6-51. Commanding officers shouldestablish procedures ford isseminat ion o f c lass i f iedmaterial originated or received bytheir commands for which of thefollowing reasons?

1. To identify exceptions to theprocedures in securityrcgulat ions

2. To limit outside dissemination

6-55. Where would you find the properlocation of the classified markingsused to indicate the c lass i f i cat ionof the title of a document?

1 . Immediately preceding the title2 . Immediately following the title3. Above the title4. Below the title

6 -56 . What should be the first item ofto those act iv i t ies having aneed to know

3. To re f lec t any restr i c t ionsimposed by the originator orhigher authority

4. Both 2 and 3 above

6-52. Classified material should bemarked for which of the followingreasons?

6-57.1. To indicate the degree of

protect ion required2 . To inform you of the level of

c l a s s i f i c a t i o n3. To assist you in extracting,

paraphrasing, downgrading, anddec lass i fy ing act ions

4. Each of the above

6-53. How may the classification beindicated on c lass i f ied mater ia l 6 -58 .other than a document?

1. By p lac ing a tag , s t i cker . ordecal on the material

2. Printed by a government printer3. Written in blue with a red

border4. Stamped in indelible red or

blue ink

6-54 . Where are the interior pages of aclassified document marked toindicate the hiqhest overallc l a s s i f i c a t i o n l e v e l o f t h e 6-59 .document?

1. Top only2. Bottom only3. Center only4. Top and bottom center

information in the text of ac lass i f ied message?

1. The precedence of the message2 . The ident i ty o f the c lass i f i er3. The overa l l c lass i f i cat ion o f

the message4. The overa l l c lass i f i cat ion o f

the first page

Personnel secur i ty invest igat ionsfor the department of the Navy arenormally conducted or controlled bywhich of the followingorganizat ions?

1. Defense Investigative Service2. Naval Investigative Service3. Defense Intell igence Agency4. National Security Agency

What invest igat ion o f c iv i l ianapplicants requires a check offedera l agency f i l es p lus inquir iesto former employers, s u p e r v i s o r slaw enforcement agenciesre ferences , and schools?

1. National agency check2 . Background investigation3. National agency check and

inquiry4. Special background

invest igat ion

What type of investigation includesan NAC of the individual’s spouse?

1. National agency check andinquiry

2. Special backgroundinvest igat ion

3. Spec ia l invest igat ive inquiry4. Background investigation

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