5800.7G CH-1

DEPARTMENT OF THE NAVY
OFFICE OF THE JUDGE ADVOCATE GENERAL

1322 PATTERSON AVENUE SE SUITE 3000
WASHINGTON NAVY YARD DC 20374-5066
JAGINST 5800.7G CH-1

14 Feb 22
JAG INSTRUCTION 5800.7G CHANGE TRASMITTAL 1
From: Judge Advocate General of the Navy
Subj: MANUAL OF THE JUDGE ADVOCATE GENERAL
Ref: (a) ALNAV 09/22 of 11 Feb 22
Encl: (1) Revised pages 1-1 through 1-164

(2) Revised pages A-1-a through A-1-q
1. Purpose. This change is issued to incorporate the change to

Chapter 1 published by reference (a). This change provides
significant updates to regulations implementing and
supplementing the Manual for Courts-Martial in accordance with
the latest requirements.
2. Action. Remove pages 1-1 through 1-167 and pages A-1-a

through A-1-q and insert enclosures (1) and (2).
D. E. CRANDALL
Distribution:
Electronic only on the Department of Navy Issuance website,
https://www.secnav.navy.mil/doni/default.aspx, and on the
website of the Judge Advocate General at:
http://www.jag.navy.mil.
MANUAL
OF THE
JUDGE ADVOCATE GENERAL
(JAGMAN)
Office of the Judge Advocate General

Department of the Navy
1322 Patterson Avenue, Southeast
Suite 3000
Washington Navy Yard
Washington, DC 20374-5066
JAGMAN 1 TABLE OF CONTENTS
CHAPTER PAGE
I REGULATIONS IMPLEMENTING AND SUPPLEMENTING THE

MANUAL FOR COURTS-MARTIAL..............................1-1
II ADMINISTRATIVE INVESTIGATIONS..........................2-1
III COMPLAINTS OF WRONG....................................3-1
IV ARTICLE 139 CLAIMS - REDRESS OF DAMAGE TO PROPERTY.....4-1
V2 RESERVED
VI DELIVERY OF SERVICE MEMBERS, CIVILIANS, AND DEPENDENTS;

SERVICE OF PROCESS AND SUBPOENAS; STATE TAX AND
REGULATORY AUTHORITY...................................6-1
VII LEGAL ASSISTANCE.......................................7-1
VIII GENERAL CLAIMS PROVISIONS..............................8-1
IX AUTHORITY OF ARMED FORCES PERSONNEL TO PERFORM

NOTARIAL ACTS..........................................9-1
X INTERNATIONAL LAW & APPLICATION OF U.S. LAW OVERSEAS..10-1
XI ADMIRALTY AND MARITIME LAW............................11-1
1 The Manual of the Judge Advocate General may be cited as "JAGMAN, 0101a(1),"
"JAGMAN, A-1-b," or “JAGMAN, Chapter II.”
Forms, certain reference material, and technical guides are located in the
Appendices, which are keyed by section number to the relevant chapter.
The words "Navy" and "Naval" as used in this Manual include the Marine Corps,
except where the context indicates differently.
The Uniform Code of Military Justice and the Manual for Courts-Martial,
United States, 2019 ed., are referred to as "UCMJ" and "MCM" respectively in
this Manual. The Military Rules of Evidence and Rules for Court-Martial are
referenced to as “M.R.E.” and “R.C.M.” respectively in this Manual.
2 Chapter V, Environmental Protection and Management, has been deleted.
JAGINST 5800.7G, CH-1
CHAPTER ONE
REGULATIONS IMPLEMENTING AND
SUPPLEMENTING THE
MANUAL FOR COURTS-MARTIAL
TABLE OF CONTENTS
0101 Scope
Part A ― Nonpunitive Measures
0102 Nonpunitive Administrative Measures, Generally
a. Definition of commander
b. Types of administrative measures
0103 Extra Military Instruction
a. Definition
b. Limitations
0104 Administrative Withholding of Privileges
a. Privilege
b. Deprivation of liberty
0105 Nonpunitive Censure and Nonpunitive Letter of Caution
a. General
b. Nonpunitive censure
Part B ― Nonjudicial Punishment
0106 Authority to Impose
a. Commander
b. Officer in charge
c. Principal assistant
d. Joint commander
e. Withholding of nonjudicial punishment authority
f. Terminology
0107 Jurisdiction
a. Individual
b. Over Reserve Component personnel on active duty or
inactive-duty training
0108 Limitations on Initiation of Article 15, UCMJ, Proceedings
a. Right to refuse nonjudicial punishment

b. Units attached to ships
c. Use of self-reporting of arrest, conviction, or criminal
charges by civilian authorities
d. Cases previously tried in civilian courts
e. Waiver of statute of limitations
1-1
0109 Advice to Accused before Initiation of Article 15, UCMJ,

Proceedings
a. Advice before nonjudicial punishment

b. Accused attached to or embarked in a vessel
c. Accused not attached to or embarked in a vessel; record
cannot be used in aggravation
d. Accused not attached to or embarked in a vessel; record
may be used in aggravation at a later court-martial
e. Service record entries
0110 Procedures for Initiation of Article 15, UCMJ, Proceedings
a. Article 15, UCMJ, guide

b. Standard of proof
c. Observers at nonjudicial punishment proceedings
d. Alternatives to personal appearance
e. Nonjudicial punishment based on report of a fact-finding
body
f. Advice after imposition of nonjudicial punishment
0111 Limitations on and Nature of Punishments
a. Restriction imposed upon officers and warrant officers

b. Correctional custody
c. Confinement
d. Extra duties
e. Reduction in grade
f. Arrest in quarters
g. No punishment
h. Suspended punishment
i. Punishment involving forfeiture of pay
0112 Limitations on Nonjudicial Punishments to be Imposed on

Reserve Component Personnel Not on Active Duty
a. Punishment involving restraint on liberty
b. Punishment involving forfeiture of pay
0113 Effective Date and Execution of Nonjudicial Punishments
a. Forfeiture of pay and reduction in grade

b. Punishments involving restraint and extra duties
c. Punitive letters
0114 Punitive Censure
a. General
b. Official records of admonition or reprimand
c. Internal departmental responsibility
1-2
d. Content of letter of admonition or reprimand

e. Appeals
f. Forwarding letter
g. Removal and set aside
0114a Secretarial Letter of Censure
a. General
b. Rebuttal
0115 Announcement of Nonjudicial Punishment
a. Publication
b. Plan of the day publication
c. Bulletin boards
d. Daily formation or morning quarters
e. Public censures
f. Release to the public
g. Release of results to victims
0116 Command Action on Nonjudicial Punishment Appeals
a. Time limit
b. Procedures
c. Contents of forwarding endorsement
0117 Authority to Act on Nonjudicial Punishment Appeals
a. When the officer who imposed punishment is in a Navy chain

of command
b. When the officer who imposed punishment is in a Marine
Corps chain of command
c. When punishment is imposed within a joint force
d. Delegation of authority to act on appeals
e. Proceedings after appeal
0118 Suspension, Mitigation, Remission, Setting Aside, and
Vacation of Suspension
a. Definition of "successor in command"

b. Authority to suspend, mitigate, remit, set aside
c. Interruption of probationary period
d. Vacation of suspension
0119 Records of Nonjudicial Punishment
a. Records
b. Report of officer misconduct
c. Report of enlisted misconduct
1-3
Part C ― Courts-Martial
Subpart C1 ― Pretrial Matters
0120 Designation of Additional Convening Authorities
a. General courts-martial
b. Special courts-martial
c. Summary courts-martial
0121 Requests for Authority to Convene Courts-Martial
a. General courts-martial
b. Special and summary courts-martial
c. Separate and detached units
d. Commanding officer of staff enlisted personnel
e. Requests for courts-martial convening authority
f. Record maintenance
0122 General Restrictions on Exercise of Court-Martial

Jurisdiction
a. General, special, and summary courts-martial

b. Units attached to ships
0123 Exercise of Court-Martial Jurisdiction over Retired,

Reserve, Fleet Reserve, Fleet Marine Corps Reserve, and
Discharged Personnel
a. Policy
b. Request for authorization
c. Apprehension and restraint
d. Jurisdiction over Reserve Component personnel under
Article 3(d), UCMJ
e. Order to active duty in the case of Reserve Component
personnel not on active duty
f. Release from active duty of Reserve Component personnel
ordered to active duty pursuant to subsection 0123(e)
g. Tolling statute of limitations
0124 Exercise of Courts-Martial Jurisdiction in Cases Tried in

Domestic or Foreign Criminal Courts
a. Policy
b. Criteria
c. Procedure
d. Limitations
1-4
0125 Exercise of Courts-Martial Jurisdiction Over Major Federal

Offenses
a. Background
b. Limitations on court-martial jurisdiction
c. Exceptions
d. Related matters
0126 Determination of Status of Case as National Security Case,

Investigation of Suspected National Security Cases, and Exercise
of Jurisdiction in such Cases
a. National security case defined

b. Case not designated as a national security case
c. Referral to the Naval Criminal Investigative Service
d. Preliminary inquiry
e. Notice to the JAG, SJA to the CMC, and National Security
Case Disposition Authority
f. Limitations on convening courts-martial
g. Courts-martial involving classified information
h. Reporting requirements by responsible command
i. Reporting requirements by National Security Case
Disposition Authority
j. Plea agreements
0127 Pretrial Restraint of Accused
a. Custody and restraint of accused before or during trial

b. Counsel
c. Preliminary probable cause review
d. Initial review officer
e. Reserve Component personnel
0128 Disposition of Charges
a. Victim preference for jurisdiction for sex-related

offenses
b. How to obtain and document a victim’s preference for
jurisdiction for sex-related offenses
c. Consideration of victim’s preference for jurisdiction
d. Procedures if civilian prosecution is preferred
e. Consideration of victim’s views regarding disposition
f. Victim input on nature of offense
g. Sexual Assault Initial Disposition Authority
h. Decisions not to refer charges for sex-related offenses
i. Timeline following determination not to refer based on
insufficient evidence
j. Forwarding of charges by an officer in a Navy chain of
command
k. Forwarding of charges by an officer in a Marine Corps
1-5
chain of command
0129 Superior Competent Authority Defined
a. Accuser in a Navy chain of command

b. Accuser in a Marine Corps chain of command
0130 Personnel of Courts-Martial and Victims’ Counsel
a. Military judges
b. Counsel
c. Members
d. Reporters, interpreters, escorts, bailiffs, clerks, and
guards
e. Article 32 preliminary hearing officers in sexual
assault cases
f. Oaths of court-martial personnel
g. Rules of practice before courts-martial
0131 Standards for Determining Availability of Requested

Individual Military Counsel
a. General
b. Definitions
c. Submission and forwarding of requests
d. Action by the determining authority
e. Administrative review
f. Approval of associate defense counsel
0132 Article 32 Preliminary Hearings
a. The preliminary hearing officer

b. Counsel for accused request to interview victim of
alleged sex-related offense prior to Article 32 hearing
c. Audiovisual technology
0132a Certain Proceedings Conducted Before Referral
a. Scope of Article 30a proceedings

b. Procedures for Article 30a hearings
0132b Investigative Subpoenas
a. Contents of investigative subpoenas

b. Notice required
c. Requests for relief and orders of enforceability
0132c Warrants and Orders

a. Contents of applications for warrants and orders
b. Non-disclosure orders
1-6
c. Submission of applications for warrants and orders

d. Requests for relief and orders of enforceability
0133 Additional Matters in Convening Orders
a. General
b. Alternates
c. Military judge alone special court-martial pursuant to
Article 16(c)(2)(A), UCMJ
d. Summary courts-martial
0134 Additional Matters in the Case of Certain Reserve

Component Personnel
a. Holdover of Reserve Component personnel on active duty

b. Holdover of Reserve Component personnel on inactive-duty
training
c. Extension of reserve term of service
d. Sentences to forfeiture or fine
e. Sentences involving restraint on liberty
Subpart C2 ― Trial Matters
0135 Article 39(a), UCMJ, Sessions
a. General
b. Audiovisual technology
0136 Delegation of Authority to Excuse Members
0137 Plea Agreements
a. Major federal offenses

b. Consultation
c. Limitations
d. Cases with charged offenses that occurred both before
and after the effective date of the Military Justice Act
of 2016 (1 January 2019)
0138 Authority to Grant Immunity from Prosecution
a. General
b. Procedure
c. Civilian witnesses
d. Cases involving national security
e. Review
f. Form of grant
0139 Post-Testimony Procedure When Authority to Grant Immunity

Was Obtained from the Attorney General
1-7
0140 Rules for Government Appeals under Article 62, UCMJ,

Petitions for Extraordinary Relief, and Victim Petitions for
Writs of Mandamus
a. Government appeals under Article 62, UCMJ

b. Government petitions for extraordinary relief
c. Defense petitions for extraordinary relief
d. Victim petitions for writs of mandamus
e. No rights given
0141 Personal Data and Character of Prior Service of the

Accused
0141a Personally Identifiable Information in Records of Trial
a. General
b. Matters under seal
c. Race, ethnicity, and gender data
0142 Release of Information Pertaining to the Administration of

Military Justice and Accused Persons
a. General
b. Applicability of regulations
c. Release and dissemination of information
d. Additional information subject to release
e. Prohibited information
f. Scope
g. Public access to court-martial information
h. Consultation
0142a Victim Notification Requirements – Military Justice

Process
a. General
b. Definitions
c. Significant events
d. Documentation
e. Additional requirements
f. Exceptions
g. Termination of notification requirement
0142b Additional Victim Notification Requirements by Commander
a. General
b. Definitions
c. Notification requirement
d. Documentation
1-8
0143 Spectators at Proceedings
a. Courts-martial
b. Article 32, UCMJ, preliminary hearings
0144 Security of Classified Matter in Judicial Proceedings
a. General
b. Security clearance of personnel
c. Procedures concerning spectators
0145 Financial Responsibility for Costs Incurred in Support of

Courts-Martial
a. Pay, travel, per diem, fees, and mileage

b. Involuntary recall and extension on active duty of
members in the Reserve Component
c. Services and supplies
0146 Fees of Civilian Witnesses
a. Method of payment
b. Public voucher
c. Obtaining money for advance tender or payment
d. Reimbursement
e. Certificate of person before whom deposition is taken
f. Payment of accrued fees
g. Computation
h. Non-transferability of accounts
i. Signatures
j. Rates for civilian witnesses prescribed by law
k. Supplemental construction of section
l. Expert witnesses
m. Payment of witness fees to foreign nationals
0147 Warrants of Attachment

Subpart C3 ― Post-Trial Matters
0148 Effective Dates Relating to Post-Trial Processing and

Post-Trial Sentencing Procedures
0149 Post-Trial Representation of a Convicted Accused
a. Representation for submission of matters under

R.C.M. 1106
b. Relief of trial defense counsel
c. Representation during Article 66(b), UCMJ, appellate
review
1-9
0150 Statement of Trial Results
a. General
b. Distribution
0151 Accused and Crime Victim Access to Court-Martial Records

Following Adjournment
a. Access for submission of matters

b. Audio recording
c. Access to exhibits
d. Timing
0152 Matters Submitted by Accused and Crime Victims
a. Notification to crime victim of right to submit matters

b. Accused’s right to submit matters
0153 Convening Authority Action
a. General
b. Suspension of sentences
c. When impracticable for convening authority to act
d. Electronic signatures
0154 Actions on Specific Types of Sentence
a. Summary courts-martial
b. Sentences including reprimand
c. Sentences extending to dismissal
d. Sentences including adjudged or automatic forfeitures
e. Automatic reduction in pay grade
0155 Service and Execution of Sentences
a. General
b. Confinement
c. Punitive discharge and dismissal
d. Death penalty
e. Hard labor without confinement
0156 Entry of judgment
a. General
b. Contents of entry of judgment
c. Timing
d. Service of entry of judgment
e. Distribution of entry of judgment
1-10
0157 Certification of Record of Trial - General and Special

Courts-Martial
a. Record of trial
b. Preparation of the certified record of trial
c. Preparation of transcript
d. Verification of record of trial
e. Certification of record of trial
f. Retention of court reporter notes and court-martial
audio recordings
g. Security classification
h. Records of trial involving images or material of child
pornography
i. Records containing classified information
0158 Certification of Record of Trial - Summary Courts-Martial
0158a Summary Courts-Martial - Service of Record and Action
a. Service of record of trial

b. Service of convening authority’s action.
0158b Review of Summary Court-Martial
a. General
b. Action
c. Review by the Judge Advocate General
d. Application for review by the Judge Advocate General
0159 Service of Record of Trial to the Accused and Victims –

General and Special Courts-Martial
a. General
b. Accused copy
c. Victim copy
0160 Transmittal and Review of Records of Trial
a. JAG supervision
b. Records of trial requiring digital transmittal to Navy-
Marine Corps Appellate Review Activity – OJAG (Code 40)
c. Records of trial requiring physical transmittal to Navy-
Marine Corps Appellate Review Activity – OJAG (Code 40)
d. Records of trial not requiring physical transmittal to
OJAG (Code 40)
e. Compliance with crime reporting requirements
f. Review of cases
0161 Appeal of Sentence by the Government

a. Submission of request to appeal
1-11
b. Contents of request
c. Timing
0162 JAG Orders Implementing Appellate Court Rulings
a. Background
b. Returned cases
c. When confinement is affected
0163 Remission and Suspension
a. Authority to remit or suspend sentences in general

courts-martial and special courts-martial in which the
sentence includes a bad-conduct discharge
b. Authority to remit or suspend sentences
c. Probationary period
d. Liaison with Naval Clemency and Parole Board
0163a Limitations on Authority to Remit and Suspend Sentences
a. Cases involving national security

b. Life without the possibility of parole
c. Flag and general officers
d. Officers and warrant officers
e. Authority of the Commanding Officer, Navy-Marine Corps
Appellate Leave Activity, and the Commanding Officer,
Marine Detachment, U.S. Disciplinary Barracks, Fort
Leavenworth, KS
0164 Restoration of the Accused
0165 Vacation of Suspension of Sentence
a. Review of confinement of probationer pending vacation

proceedings
b. Notice of proceedings
c. Filing of report of proceedings
d. Execution of vacated punishments
0166 Request for Waiver or Withdrawal of Appellate Review
a. General
b. Waiver or withdrawal
0167 Article 69, UCMJ, Reviews
a. General
b. Time limits
c. Scope of review
d. Submission procedures
e. Contents of application
1-12
f. Signatures on application
g. Notification of JAG review
h. Court of Criminal Appeals review of Article 69, UCMJ,
appeals
0168 Petition for New Trial ― Article 73, UCMJ
0169 Substitution of Discharge ― Article 74(b), UCMJ
a. Statutory provision
b. Submission procedures
c. Contents of the application
d. Signature on application
0170 Notification to Accused of Court of Criminal Appeals

Decision
a. Service of NMCCA decision upon accused

b. Contents
c. Copies of decision
d. Change in address
e. Completion of appellate review
0171 Request for Immediate Execution of Discharge
a. General
b. Conditions of approval
c. Execution of unexecuted portion of sentence
d. Form of request for immediate execution of discharge
0172 Inspection of Record of trial Containing classified

Information
0173 Setoff of Indebtedness of a Person Against Pay
a. Courts-martial decisions
b. Administrative determinations
c. Army and Air Force property
d. Voluntary restitution
Part D ― Miscellaneous
0174 Apprehension by Civilian Agents of the Naval Criminal

Investigative Service
0175 Authority to Prescribe Regulations Relating to the

Designation and Changing of Places of Confinement
0176 Forms Supplementing the Military Rules of Evidence
a. Interrogations
b. Search and seizure
1-13
0177 Recoupment of Advanced Education Assistance
a. Authority
b. Advisement
c. Application
d. No additional rights
0178 Search of Attorneys and Attorney Spaces
a. General
b. Definitions
c. Considerations
d. Procedures for obtaining search authorization
e. Documentation
f. Search procedures
g. Disclaimer
0179 Military Justice Forms Index
a. How to obtain forms

b. Forms prescribed by MCM
APPENDICES
a. Nonpunitive Letter of Caution

b. Nonjudicial Punishment, Accused’s Notification and
Election of Rights, Accused Attached to or Embarked in a
Vessel
c. Nonjudicial Punishment, Accused’s Notification and
Election of Rights, Accused Not Attached to or Embarked
in a Vessel (No Opportunity to Consult with Counsel)
d. Nonjudicial Punishment, Accused’s Notification and
Election of Rights, Accused Not Attached to or Embarked
in a Vessel (Opportunity to Consult with Counsel)
e. Acknowledgment of Advanced Education Assistance
Reimbursement
f. Nonjudicial Punishment Proceeding Guide
g. Nonjudicial Punishment, Accused’s Acknowledgement of
Appeal Rights
h. Punitive Letter of Reprimand
i. Officer Nonjudicial Punishment Report
j. Summary Court-Martial Waiver of the Appearance of
Counsel
k. Grant of Testimonial Immunity and Order to Testify
l. Grant of Transactional Immunity and Order to Testify
m. Victim Preference for Jurisdiction
n. Request for Immediate Execution of Discharge
o. Suspect’s Rights Acknowledgement/Statement
p. Record of Authorization for Search
q. Consent to Search
1-14
0101 Scope
a. The Uniform Code of Military Justice (UCMJ) and the

Manual for Courts-Martial (MCM) authorize “the Secretary
concerned” or “the Judge Advocate General concerned” to
prescribe regulations implementing or supplementing certain
provisions of the UCMJ or the MCM. This chapter provides those
regulations and additional regulations relating to military
justice.
b. Part A contains regulations and procedures governing

nonpunitive corrective measures. Part B contains regulations
and procedures relating to nonjudicial punishment. Part C
pertains to trial by court-martial and is divided into three
subparts concerning the pretrial, trial, and post-trial stages
of the courts-martial process. Part D contains miscellaneous
provisions, including a table of cross-references between
Chapter One and corresponding provisions of the MCM.
Part A ― Nonpunitive Measures
0102 Nonpunitive Administrative Measures, Generally
a. Definition of commander. The terms “commander” and

“commanding officer,” as used in this part, refer to the same
position. The term “commander” is defined in the MCM, Part V,
paragraph 2, and in the U.S. Navy Regulations, Chapter 7. A
commander includes the following officers: an officer empowered
to convene general or special courts-martial; a commander of a
joint command; an officer designated pursuant to U.S. Navy
Regulation 0722; an officer designated as a commander of a
separate and detached command pursuant to U.S. Navy Regulation
0723; and a commissioned or warrant officer exercising command.
Marine Corps commanding officers are titled as commandant,
commander, commanding general, commanding officer, director, and
inspector-instructor. The approval of the Commandant of the
Marine Corps is required to designate other Marine Corps
commanders.
b. Types of administrative measures. To further the

efficiency of their units, commanders should use appropriate
administrative corrective measures. Administrative actions
include counseling, admonition, reprimand, exhortation,
disapproval, criticism, censure, reproach, rebuke, extra
military instruction, or the administrative withholding of
privileges. Administrative measures may be administered orally
or in writing. Commanders will not use these measures as
1-15
punishment. The withholding of privileges and extra military

instruction should normally occur only after counseling and
normal training failed to accomplish the necessary objective, or
when counseling and normal training would be insufficient to
adequately remediate the deficiency. See R.C.M. 306(c)(2).
0103 Extra Military Instruction
a. Definition. Extra military instruction (EMI) is a bona

fide training technique that attempts to improve an individual’s
performance by focusing additional effort on some deficiency in
the individual’s performance of duty. EMI must be logically
related to the deficiency in performance for which it was
assigned. EMI is neither hard labor without confinement nor
extra duty, which may only be imposed by courts-martial or
nonjudicial punishment, respectively.
b. Limitations. The following limitations apply to EMI:
(1) EMI normally will not be conducted for more than two
hours per day.
(2) EMI conducted outside of normal working hours will

be conducted consecutively with the Service member’s workday,
unless the commander determines that military exigencies require
a deviation. Commanders of Reserve Component personnel will not
assign EMI outside normal periods of inactive-duty training.
(3) When the deficiency is corrected, the EMI must

cease.
(4) EMI will not be assigned on a Service member’s

religious day of observance.
(5) EMI will not be used for the purpose of depriving

the Service member of normal liberty to which he or she is
otherwise entitled. A Service member who is otherwise entitled
to normal liberty may commence normal liberty upon completion of
EMI.
(6) The authority to assign EMI during normal working

hours is an inherent part of the authority that officers,
noncommissioned officers, and petty officers have over
subordinates. If warranted, any superior may withhold the
authority of a subordinate to assign EMI.
1-16
(7) Only a commander or officer in charge (as defined in

subsection 0106(b)) may assign EMI to occur outside of normal
working hours. However, a commander or officer in charge may
delegate, in writing, the authority to assign EMI outside of
working hours to other officers and petty officers in connection
with duties and responsibilities assigned to them.
0104 Administrative Withholding of Privileges
a. Privilege. A privilege is a benefit, advantage, or

favor provided for the convenience or enjoyment of an
individual. Examples of privileges that may be temporarily
withheld through administrative actions are: special liberty;
exchange of duty; special command programs; access to
installation or ship libraries, installation or ship movies, or
enlisted or officers’ clubs; installation parking; installation
driving privileges; and attendance at installation or ship
special services events. It may also encompass the withholding
of special pay, as well as commissary and exchange privileges,
provided such withholding complies with applicable rules and
regulations and is otherwise in accordance with law. In all
instances, unless properly delegated, final authority to
withhold a privilege, however temporary, rests at the level of
authority empowered to grant that privilege.
b. Deprivation of liberty. Except as specifically

authorized by the UCMJ and implemented through nonjudicial
punishment or courts-martial proceedings, deprivation of normal
liberty as a punishment is illegal. Nevertheless, commanders
may lawfully restrict normal liberty for nonpunitive purposes
such as pretrial restraint, liberty-risk programs for the
protection of foreign relations, or when Service members are
required to perform duties outside of normal working hours to
accomplish essential tasks or work necessary to maintain
operational readiness.
0105 Nonpunitive Censure and Nonpunitive Letter of Caution
a. General. “Censure” is a statement of adverse opinion or

criticism of an individual’s conduct or performance of duty
expressed by a superior in the Service member’s chain of
command. Censure may be punitive or nonpunitive (see section
0114 regarding punitive censure). Censure does not include
adverse comments in reports of fitness or performance
evaluations, letters of instruction, or administrative remarks
entries documenting factual matters such as counseling. Proper
use of an adverse matter that is not censure is governed by DON
1-17
regulations and applicable service directives, such as the Naval

Military Personnel Manual and the Marine Corps Individual
Records Administration Manual.
b. Nonpunitive censure. Nonpunitive censure is provided

for in R.C.M. 306(c)(2). Any superior in the Service member’s
chain of command may issue a nonpunitive censure, which may be
delivered orally or in writing. A sample nonpunitive letter of
caution is located at Appendix A-1-a.
(1) A nonpunitive letter is not punishment. Rather, the

letter conveys necessary information to remedy a deficiency in
conduct or in the performance of duty. The contents of a
nonpunitive letter may include, but are not limited to, the
following: identification of conduct or performance of duty
deficiencies, direction for improvement, language of
admonishment, identification of sources of assistance, outline
of corrective action, and the consequences of failing to correct
the deficiencies.
(2) A nonpunitive letter will be kept a personal matter

between the Service member and the superior issuing the
nonpunitive letter. Only the recipient may cause the letter to
be entered into the recipient’s official service record or
official documents and correspondence, with the exception of
those instances described in subsection 0105(b)(3) below.
Similarly, service-record entries, fitness reports, performance
evaluations, and any other official records or documents cannot
refer to the nonpunitive letter, though they may refer to the
facts or circumstances that relate to the nonpunitive letter.
(3) The facts underlying a nonpunitive letter may be

used to support a detachment for cause proceeding, for relief of
command, or to support a negative endorsement. If the Service
member submits a rebuttal to those facts alleging inadequate
counseling or a failure to warn of deficiencies, a copy of the
nonpunitive letter may be included in the correspondence
forwarding the Service member’s rebuttal. Under such
circumstances, a nonpunitive letter may properly be included in
the official service record of the Service member upon filing of
the complete correspondence under the provisions of applicable
service regulations.
(4) The DON has an obligation to ensure senior officials

properly discharge the duties and responsibilities of government
service. Public disclosure of significant departures by senior
officials from expected standards of performance and conduct and
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the DON holding them accountable for such behavior instills

public confidence in the institution and is consistent with
principles of open governance. Proven wrongdoing of a serious
and intentional nature by a senior official is of sufficient
public interest to outweigh the privacy interest of the
official. Less serious misconduct by lower-level agency
employees generally is not considered of sufficient public
interest to outweigh the privacy interest of the employee.
(a) In general, the DON finds the public interest

warrants disclosure of accountability action taken in cases of
misconduct involving flag and general officers and senior
executive service personnel in order to retain the public’s
confidence and trust in the integrity of the Department, the
Navy, and the Marine Corps. Similarly, resolution of misconduct
involving commanding officers, executive officers, officers in
charge, senior enlisted advisors, and other personnel of lower
rank or grade may also warrant release of information depending
on their official position and the nature of the misconduct.
(b) The determination to identify an individual with

specific wrongdoing meriting the more extensive release of
information to the public must be made on a case-by-case basis
by a flag or general officer in the chain of command upon
balancing the public interest against the privacy interest of
the individual.
(c) Accordingly, in appropriate cases the fact of

the issuance of the nonpunitive letter may be disclosed to the
public. The actual letter may not be disclosed without the
consent of the individual receiving the nonpunitive letter. The
facts and circumstances underlying the letter may be disclosed.
Similarly, the fact that counseling occurred may also be
disclosed. Commanders considering public disclosure related to
senior official misconduct should consult the staff judge
advocate and the public affairs officer in their chain of
command.
Part B ― Nonjudicial Punishment
0106 Authority to Impose
a. Commander. As used in this section, the terms commander

and commanding officer mean:
(1) A commissioned or warrant officer who, by virtue of

rank and assignment, exercises primary command authority over a
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military organization or prescribed territorial area, which under

pertinent official directives is recognized as a “command”;
(2) An officer empowered to convene general or special

courts-martial;
(3) A commander of a joint command;
(4) An officer designated pursuant to U.S. Navy

Regulation 0722; or
(5) An officer designated as a commander of a separate or

detached command pursuant to U.S. Navy Regulation 0723.
(6) In the Navy, other titles, such as “Director,” may

designate Navy commanders. But a title alone does not indicate
nonjudicial punishment authority. Rather, the title must be
associated with a recognized command or activity listed on the
Standard Naval Distribution List (SNDL) or other official
directive. Official directives are available here:
https://www.secnav.navy.mil/doni.
(7) In the Marine Corps, commanding officers are titled

as Commandant, Commander, Commanding General, Commanding Officer,
and Inspector-Instructor. Only the Commandant of the Marine
Corps can designate other Marine Corps commanders. A Marine Corps
command is a company or higher unit recognized in an official
table of organization. A commander whose command does not meet
these criteria, and who does not otherwise meet the definition of
commander under subsection (a), may request nonjudicial
punishment authority from the Deputy Commandant of the Marine
Corps (Manpower and Reserve Affairs).
b. Officer in charge. Any commissioned officer who is an

officer in charge may impose nonjudicial punishment upon enlisted
persons assigned to the unit, but authorized punishment is
limited to admonition or reprimand and one or more of the
punishments listed in paragraph 5(b)(2)(A)(i) through (vi) of
Part V, MCM. For purposes of this section, an officer in charge
is defined as a commissioned officer who is designated as officer
in charge of a unit by:
(1) Departmental orders;
(2) Tables of organization;
(3) Manpower authorizations;

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(4) Orders of a flag or general officer in command

(including one in command of a joint command to which members of
the naval service are attached); or
(5) Orders of the senior officer present as defined under

U.S. Navy Regulation 0901.
c. Principal assistant. After receiving written approval

from the Chief of Naval Personnel or the Commandant of the Marine
Corps, a flag or general officer in command may delegate in
writing all or a portion of his or her nonjudicial punishment
authority to an officer on his or her staff who is eligible to
succeed to command in case of the absence of such officer in
command. The designee will hold the same nonjudicial punishment
authority as the flag or general officer who delegated the
authority.
d. Joint commander. A joint commander may impose

nonjudicial punishment on members of the naval service who are
assigned or attached to the command via permanent or temporary
written or oral orders. Alternatively, the commander may
designate in writing one or more naval units, and further
designate in writing for each unit a commissioned officer of the
naval service as commanding officer for the administration of
nonjudicial punishment authority. When the joint commander
designates a commanding officer for the administration of
nonjudicial punishment authority, the joint commander shall
notify the Chief of Naval Personnel or the Commandant of the
Marine Corps (JCA), as appropriate, and the Office of the Judge
Advocate General (OJAG) (Code 20).
e. Withholding of nonjudicial punishment authority. Though

no commander may direct that a subordinate impose nonjudicial
punishment in a particular case, a superior commander may limit
or withhold the exercise by subordinate commanders of any
disciplinary authority they might otherwise have under MCM, Part
V. Such limitations could be for certain types of offenses or
certain categories of persons, in specific cases, or limits on
imposition of certain types of punishment.
f. Terminology. “Nonjudicial punishment proceedings” refer

to the procedure authorized by Article 15, UCMJ. “Nonjudicial
punishment” is a term that describes the punishment imposed at
the conclusion of an Article 15, UCMJ, proceeding.
0107 Jurisdiction
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a. Individual.
(1) General. In order to initiate nonjudicial punishment

proceedings, the accused must be a member of the command or of
the unit of the officer imposing the punishment. A member is “of
the command,” or “of the unit,” if assigned or attached thereto
via permanent or temporary written or oral orders. A member may
be “of the command,” or “of the unit,” of more than one command
or unit at the same time and, consequently, be subject to the
nonjudicial punishment authority of both commanders.
(a) Members assigned or attached to commands or units

for the purpose of performing temporary duty (TDY) are subject to
the nonjudicial punishment authority of the commanders of both
the parent and TDY commands.
(b) Members assigned or attached to a detachment

under the operational control of another command or unit by
virtue of operational orders, or other authorized means, are
subject to the nonjudicial punishment authority of the
commanders of both the parent and supported units.
(c) Superior operational or administrative

commanders may exercise nonjudicial punishment authority upon
any subordinate member in their chain of command. For purposes
of this section, all members of units responsible to the
superior commander are considered “of the command.”
(d) Any general or special court-martial convening

authority who has charges against the accused properly before
him or her for disposition at a court-martial may impose
nonjudicial punishment upon the accused, regardless of whether
that accused is “of the command” of the convening authority.
(e) Reserve commanding officers or inspector-

instructors may exercise command authority over members of that
officer’s command or upon members that are assigned or attached
to the command by written orders or as directed in the Marine
Corps Reserve and Administration Management Manual. An
inspector-instructor or site commander may supersede a supported
unit’s commanding officer and exercise command authority and
administrative control over members of the supported reserve
command in the absence of the reserve commanding officer or
other reserve officers that could act for the commanding officer
when the reserve officers are not in a duty status or are
otherwise unavailable to execute command functions pursuant to
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succession of command guidance issued by the appropriate

commander.
(2) Party before a fact-finding body. A party before a

fact-finding body convened under this Manual (see Chapter Two)
remains thereafter “of the command” of the unit or organization
to which he or she is assigned or attached when designated a
party, even though for other purposes he or she may have been
assigned or attached to another command. This status
automatically terminates when all action on appeal is complete.
(3) Action when accused is no longer with command.

Except as provided in subsections 0107(a)(1) and 0107(a)(2),
above, if the nonjudicial punishment authority no longer has
jurisdiction over a member, the allegation should be forwarded to
a competent authority in the chain of command over the individual
concerned.
b. Over Reserve Component personnel on active duty or

inactive-duty training. A member of a Reserve Component on
active duty or inactive-duty training is subject to the UCMJ. A
member of a Reserve Component is also subject to the UCMJ during
travel to and from active duty and to and from the inactive-duty
training site of the member, pursuant to orders or regulations;
intervals between consecutive periods of inactive-duty training
on the same day, pursuant to orders or regulations; and intervals
between inactive-duty training on consecutive days, pursuant to
orders or regulations. Such members are not, by virtue of
termination of a period of active duty or inactive-duty training,
relieved from amenability to jurisdiction of the UCMJ for
offenses committed while subject to the UCMJ, and they may be
ordered to active duty for disciplinary proceedings. See section
0123 regarding procedures for ordering members to active duty for
disciplinary proceedings and for the subsequent release from
active duty.
0108 Limitations on Initiation of Article 15, UCMJ, Proceedings
a. Right to refuse nonjudicial punishment. A member of the

armed forces who is not attached to or embarked in a vessel has
the right to refuse nonjudicial punishment and request trial by
court-martial. A member of the armed forces who is attached to
or embarked in a vessel does not have the right to refuse
nonjudicial punishment. For purposes of this section, the term
“attached to or embarked in a vessel” means that the person is
assigned or attached via written or oral orders, either permanent
or temporary, to a vessel; is aboard for passage; or is assigned
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or attached to an embarked staff, unit, detachment, squadron,

team, air group, or other regular organized body. The
determination of whether a person is attached to or embarked in a
vessel is based upon the totality of the circumstances. The
orders may apply individually, or they may apply to the unit of
which the person is a member. No one may be ordered to a vessel
solely for the purpose of limiting the ability to refuse
nonjudicial punishment.
b. Units attached to ships. The commander or officer in

charge of a unit attached to a ship for duty will, unless
authorized under subsection 0108(b)(1), below, refrain from
exercising his or her nonjudicial punishment authority while the
unit is embarked. All disciplinary matters will be referred to
the commanding officer of the ship for initial disposition.
(1) This policy is a necessary corollary to the ship

commanding officer’s overall responsibility for the safety, well-
being, and efficiency of the ship. Nevertheless, the commanding
officer of a ship may determine whether, and under what
circumstances, he or she will authorize a commander or officer in
charge of a unit attached to, or embarked in, that ship to
exercise his or her nonjudicial punishment authority.
(2) This policy does not apply to Military Sealift

Command vessels operating under a master, nor does it apply where
an organized unit is embarked for transportation only. When an
organized unit is embarked for transportation only, the officer
in command of that organized unit will ordinarily retain the
authority possessed over such unit before embarkation, including
disciplinary authority. Nothing in the foregoing will be
construed as impairing the paramount authority of the commanding
officer of the ship, including disciplinary authority, over all
personnel of the armed forces embarked. In the case of units
embarked for transportation only, however, the commanding officer
of the ship should only take disciplinary action under the UCMJ
over the members of such embarked units in unusual cases
concerning incidents occurring aboard the ship.
c. Use of self-reporting of arrest, conviction, or criminal

charges by civilian authorities. U.S. Navy Regulation 1137
requires Service members to report certain offenses. The Chief
of Naval Operations and the Commandant of the Marine Corps may
promulgate orders requiring self-reporting of instances of a
Service member’s own arrest, charging, or conviction to his or
her command. If a self-report is mandated under these orders
(e.g., OPNAVINST 3120.32 (Series), which is applicable to Navy
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Service members) the person making the report is only required to

report the date of arrest, charging, or conviction; the arresting
or charging authority or jurisdiction; and the offense for which
he or she was arrested, charged, or convicted. Under no
circumstances is the member required to disclose the underlying
facts related to the arrest, charging, or conviction. A
commander’s use of the information acquired through a mandated
self-report is strictly limited as follows:
(1) No person subject to the UCMJ may question the person

making the self-report without first advising that person of his
or her rights under Article 31 of the UCMJ;
(2) Neither a nonjudicial punishment authority nor a

court-martial convening authority may impose disciplinary
action, or begin court-martial proceedings, unless that action
is based solely on evidence derived independently of the
required self-report. Commanders should consult the staff judge
advocate in the chain of command before investigating and
contemplating disciplinary action.
(3) Independent evidence may not be derived from

information received from the Service member through a required
self-report. If the only reason the command knows about the
arrest, charging, or conviction is the self-report, then the
command does not have independent evidence unless the Service
member makes an incriminating statement after receiving
notification of and waiving his or her Article 31, UCMJ, rights.
Examples of independent evidence include, but are not limited
to:
(a) News reports or social media;
(b) Third-party reporting;
(c) Unsolicited information conveyed by the

arresting or charging authority; or
(d) Bona fide command programs to screen for

criminal information involving Service members (e.g., weekly
screen of arrest records for names of command members).
(3) Subject to the restrictions above, a commander may

still investigate the matter and use any acquired evidence for
administrative purposes. Examples include, but are not limited
to: actions on security clearances, screening requirements,
qualifications, processing for administrative separation,
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detachment for cause, de-frocking, revocation of installation

driving privileges, and referral for drug or alcohol screening
or treatment.
d. Cases previously tried in civilian courts. See section

0124 for rules governing nonjudicial punishment in cases
previously adjudicated in domestic or foreign criminal courts.
e. Waiver of statute of limitations. In the event that the

statute of limitations for nonjudicial punishment has expired
(see MCM Part V, paragraph 1(f)(4)), an accused may choose to
waive this protection and accept nonjudicial punishment. Such
waiver must be in writing and must be attached to the record of
nonjudicial punishment.
0109 Advice to Accused before Initiation of Article 15, UCMJ,

Proceedings
a. Advice before nonjudicial punishment. Before the

imposition of nonjudicial punishment, the nonjudicial punishment
authority will ensure that the accused is fully advised of all
applicable legal rights and that other required action is taken
before the proceeding. See section 0110 if nonjudicial punishment
is to be based on the report of a fact-finding body.
(1) There is no right for an accused to consult with a

lawyer before nonjudicial punishment; however, commanding
officers are encouraged to permit an accused to consult with a
lawyer, subject to the immediate availability of counsel, the
delay involved, and operational commitments or military
exigencies. Failure to provide the opportunity for an accused to
consult with a lawyer before nonjudicial punishment does not
preclude the imposition of nonjudicial punishment; it merely
precludes the admissibility of the record of nonjudicial
punishment in aggravation at a later court-martial, unless the
accused was attached to or embarked in a vessel at the time of
the imposition of nonjudicial punishment. The status of the
accused (see subsection 0109(b)) and the potential use of the
record (see subsections 0109(c) and 0109(d)) should be considered
in determining whether to utilize Appendix A-1-b, Appendix A-1-c,
or Appendix A-1-d.
(2) Before the imposition of nonjudicial punishment, a

Service member having obligated service arising from receiving
advanced education assistance must be advised that, if he or she
is subsequently separated for misconduct, the government may
require that the member reimburse the United States for the cost
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of advanced education assistance not repaid by active-duty

service, as specified in the written agreement entered into with
the government before accepting advanced education assistance.
See section 0176 and Appendix A-1-e.
b. Accused attached to or embarked in a vessel. When an

accused is attached to or embarked in a vessel, the record of
nonjudicial punishment can be used in aggravation in the event of
a later court-martial conviction for other offenses. See
Appendix A-1-b.
c. Accused not attached to or embarked in a vessel; record

cannot be used in aggravation. When the accused is not afforded
the opportunity to consult a lawyer before imposition of
nonjudicial punishment, the record of nonjudicial punishment may
not be used in aggravation at a later court-martial for other
offenses. The only exception to this rule is where a lawyer
serves as personal representative at the Article 15, UCMJ,
proceeding. See Appendix A-1-c.
d. Accused not attached to or embarked in a vessel; record

may be used in aggravation at a later court-martial. When the
accused is afforded the opportunity to consult a lawyer before
imposition of nonjudicial punishment, the record of nonjudicial
punishment may be used in aggravation at a later court-martial
for other offenses. See Appendix A-1-d.
(1) If the accused elects to consult a lawyer, such

lawyer may be a military lawyer, or a civilian lawyer obtained by
the accused at his or her personal expense. The military lawyer
consulted for these purposes should be free of conflicts of
interest. A military lawyer who, in the course of his or her
duties, acts as a legal advisor to the officer who would exercise
nonjudicial punishment authority, is not “conflict free.”
(2) If the accused does not elect to consult with a

lawyer, the accused should so indicate in the appropriate space
and complete the remainder of the form. If the accused states
that he or she desires to consult with a lawyer before deciding
whether to refuse nonjudicial punishment, Appendix A-1-d will so
reflect, but the remainder of the form will not be completed
until the accused has been given a reasonable opportunity to
consult with a lawyer. Such consultation with a military lawyer
should include an explanation of the direct consequences of
nonjudicial punishment and may include a discussion of the
relevant facts and circumstances of the member’s case in order
for the military lawyer to provide meaningful legal advice that
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enables the member to make an informed decision. This

consultation, while confidential, does not, per se, establish an
attorney-client relationship, nor does it constitute an
assignment of such a military lawyer as the individual’s defense
counsel or personal representative for purposes of nonjudicial
punishment. Military lawyers making such explanations will guard
against the establishment of an attorney-client relationship
unless detailed by proper authority to serve as defense counsel
or personal representative of the accused.
(3) Telephone or video teleconferencing communication

between an accused and a military or civilian lawyer is
sufficient to satisfy the requirement to provide an opportunity
to consult with a lawyer. Appendix A-1-d may be utilized.
(4) If, through no fault of the accused, he or she is not

given an opportunity to consult a lawyer, use Appendix A-1-c in
lieu of Appendix A-1-d.
e. Service record entries.
(1) In the event nonjudicial punishment is imposed, and

Appendix A-1-d is used, or the accused is represented by a lawyer
at the proceeding, commanders must make appropriate service-
record entries, signed by appropriate personnel, on a NAVPERS
1070/613 (Navy) or NAVMC 118-11 (Marine Corps), or in such other
manner as service directives may require. For example, if the
accused executed Appendix A-1-d, the service-record entry should
state, after appropriate verification, the following:
(Grade and name of accused) signed JAGMAN Appendix A-1-

d, before (his)(her) nonjudicial punishment proceeding,
which was held on (date of nonjudicial punishment
proceeding).
The accused [consulted with a lawyer before deciding

whether to refuse nonjudicial punishment] [elected to
waive (his)(her) right to consult with a lawyer before
deciding whether to refuse nonjudicial punishment]. The
accused was advised that acceptance of nonjudicial
punishment does not preclude further administrative
action against (him)(her), which may include being
processed for an administrative discharge that could
result in an other than honorable characterization of
service. The accused accepted nonjudicial punishment.
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(2) If the accused is represented by a military or

civilian lawyer as a personal representative at nonjudicial
punishment proceedings, the following example of a service-record
entry may be made, after appropriate verification:
(Grade and name of accused) received nonjudicial

punishment on (date). The accused was represented by
(name), a lawyer.
0110 Procedures for Initiation of Article 15, UCMJ, Proceedings
a. Article 15, UCMJ, guide. Service members are afforded

the right to a personal appearance before the nonjudicial
punishment authority except when appearance is prevented by the
unavailability of the nonjudicial punishment authority or by
extraordinary circumstances. See paragraph 4(c)(1), Part V, MCM.
Appendix A-1-f is a guide for a personal appearance at
nonjudicial punishment proceedings. In accordance with Article
15(a), UCMJ, paragraph 4(d) of Part V, MCM, and section 0108
regarding refusal of nonjudicial punishment, there is an
exception to this rule for cases decided on the basis of the
record of proceeding of another fact-finding body. This
exception is subject to the provisions of subsection 0110(e),
below.
b. Standard of proof. Facts must be established at

nonjudicial punishment proceedings by a preponderance of the
evidence rather than beyond a reasonable doubt as required at
courts-martial. A nonjudicial punishment proceeding is not a
criminal trial. Rather, it is a disciplinary proceeding designed
to address minor misconduct in a nonjudicial forum, without a
record of a federal conviction, and provide punishment if
appropriate.
c. Observers at nonjudicial punishment proceedings. The

presence of representative members of the command as observers
during personal proceedings under paragraph 4 of Part V, MCM, and
Article 15, UCMJ, is authorized and encouraged to demonstrate
integrity and fairness of the imposition of nonjudicial
punishment. Nothing precludes the accused from requesting to
confer privately with the nonjudicial punishment authority in
order to relate matters that, in the opinion of the accused, are
of a personal or embarrassing nature.
d. Alternatives to personal appearance. Ordinarily, before

nonjudicial punishment may be imposed, the Service member is
entitled to a personal appearance before the nonjudicial
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punishment authority. When personal appearance is prevented by

the unavailability of the nonjudicial punishment authority or
when requested by the Service member, or by extraordinary
circumstances, the proceedings may be conducted telephonically,
by video teleconference, or through a similar remote means that
provide for two-way voice communication. These alternatives are
in addition to those already provided for in paragraph 4(c) of
Part V, MCM. The Service member will be notified in writing
before the imposition of nonjudicial punishment of the
circumstances that warranted an alternative to personal
appearance.
e. Nonjudicial punishment based on report of a fact-finding

body.
(1) If nonjudicial punishment is contemplated on the

basis of the record of a court of inquiry or other fact-finding
body, a preliminary examination will be made of such record to
determine whether the individual concerned was accorded the
rights of a party before such fact-finding body and, if so,
whether such rights were accorded with respect to the act or
omission for which nonjudicial punishment is contemplated. If he
or she does not exercise his or her right to refuse nonjudicial
punishment, or if the individual does not have that right, the
individual may submit in writing any matter in defense,
extenuation, or mitigation to the nonjudicial punishment
authority. If the individual was accorded the rights of a party
with respect to the act or omission for which nonjudicial
punishment is contemplated, punishment may be imposed without
further proceedings. If the individual was not accorded the
rights of a party with respect to the offense for which
punishment is contemplated, the procedure prescribed in paragraph
4 of Part V, MCM, must be conducted. In appropriate cases, the
record of the fact-finding body may be returned for additional
proceedings during which the individual will be accorded the
rights of a party with respect to the act or omission for which
nonjudicial punishment is contemplated.
(2) In these cases, a punitive letter may be issued, or

its issuance recommended to higher authority, on the basis of an
investigation or court of inquiry without further proceedings.
The officer issuing the punitive letter will prepare a report
concerning the action taken. The report must include a summary
of the evidence considered including, as applicable: testimony
of witnesses, statements, and affidavits submitted.
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f. Advice after imposition of nonjudicial punishment. The

officer who imposes punishment under Article 15, UCMJ, will again
ensure that the Service member is fully informed of his or her
right to appeal (see Appendix A-1-f). Appendix A-1-g is an
Accused’s Acknowledgment of Appeal Rights, which should be signed
and witnessed if punishment is imposed.
0111 Limitations on and Nature of Punishments
a. Restriction imposed upon officers and warrant officers.

Restriction, with or without suspension from duty, imposed upon
commissioned and warrant officers under paragraph 5(b)(1)(A) of
Part V, MCM, may not exceed 15 consecutive days when imposed by a
commander below the grade of O-4 (major or lieutenant commander).
b. Correctional custody. This punishment will not be

imposed on persons in paygrade E-4 and above unless an
unsuspended reduction below paygrade E-4 is also imposed. See
SECNAVINST 1640.9 (series) for instructions concerning the
administration of correctional custody.
c. Confinement. This punishment may only be imposed on

persons attached to or embarked in a vessel pursuant to
subsection 0108(a), and in paygrade E-3 or below. This
punishment is authorized when the punishment also includes an
unsuspended reduction to paygrade E-3 or below. Pursuant to the
Military Justice Act of 2016, the imposition of bread and water
or diminished rations is no longer authorized. Calculating the
release date by number of hours in confinement is not authorized.
See DoD 1325-7M.
d. Extra duties. Subject to the limitations set forth in

paragraph 5(c)(6) of Part V, MCM, this punishment will be
considered satisfied when the enlisted person has performed extra
duties during available time in addition to performing his or her
military duties. Normally, the immediate commander of the
accused will designate the amount and character of the extra
duties to be performed. The daily performance of the extra
duties, before or after routine duties are completed, constitutes
the punishment whether the particular daily assignment requires
one or more hours; but normally extra duties should not extend to
more than two hours per day. Except in cases of members of the
Naval or Marine Corps Reserve performing inactive training or
annual training for a period of less than seven days, if
reasonable accommodation can be made, extra duty will not be
performed on the member’s religious day of observance, though the
member’s religious day of observance counts in the computation of
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the period for which such punishment is imposed. Guard duty will
not be assigned as punishment.
e. Reduction in grade. Reduction in grade can only be

imposed to the next inferior paygrade. Navy personnel in the
paygrade of E-7 or above and Marine Corps personnel in the
paygrade of E-6 or above may not be reduced in paygrade by
nonjudicial punishment. A nonjudicial punishment authority
serving in the grade of W-1 through CWO-5 may not reduce enlisted
personnel under any circumstances. A commander may exercise this
authority on any member of the naval service under his or her
command. Therefore, so long as a Navy commander holds authority
to promote a Navy enlisted member of the same grade held by a
Marine, then the commander may award that Marine a reduction in
grade; the same is true for a Marine commander awarding a
reduction in grade to a Navy member.
f. Arrest in quarters. An officer or warrant officer

undergoing this punishment will not be permitted to perform
duties involving the exercise of authority over any subordinate.
g. No punishment. If no punishment is awarded at an Article

15, UCMJ proceeding, the effect is the same as if the charges
were dismissed at the proceeding. No section 0119 record of
nonjudicial punishment will be made in the member’s service
record. The fact that the member went to an Article 15, UCMJ,
proceeding may not be referenced in the member’s record. There
is no restriction on reference to or use of the facts or evidence
underlying the offenses alleged at the Article 15, UCMJ,
proceeding for other authorized purposes. If no punishment is
awarded, or the charges were dismissed, a subsequent nonjudicial
punishment proceeding may be held for the same allegations or
offenses.
h. Suspended punishment. If a punishment is suspended, the

nonjudicial punishment authority must indicate the period of
suspension. Punishment may not be suspended, however, for a
period of longer than six months from the date of the
suspension, and the expiration of the current enlistment or term
of service of the Service member involved automatically
terminates the period of suspension. When any nonjudicial
punishment is awarded, a record of the nonjudicial punishment
shall be maintained in the member’s service record even if all
awarded punishment is suspended and later remitted.
i. Punishment involving forfeiture of pay. Pay subject to

forfeiture refers only to basic pay, plus sea duty or hardship
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duty pay. If nonjudicial punishment also includes reduction in

grade, forfeiture will be based on the grade to which the accused
is reduced.
0112 Limitations on Nonjudicial Punishments to Be Imposed on

Reserve Component Personnel Not on Active Duty
a. Punishment involving restraint on liberty.
(1) If imposed on Reserve Component personnel on

inactive-duty training, restriction will not extend beyond the
normal inactive-duty training period but may be carried over to
subsequent periods of inactive-duty training or active duty. A
Reserve Component member on inactive duty may not be ordered to
active duty for the sole purpose of serving such punishment,
unless the order to active duty received Secretarial approval.
(See section 0123).
(2) If imposed on Reserve Component personnel who have

been ordered to active duty for disciplinary proceedings, the
period of active duty may not be extended for the purpose of
serving such punishment, unless the order to active duty received
Secretarial approval. See section 0123.
(3) Correctional custody, extra duties, and arrest in

quarters may not be imposed on Reserve Component personnel on
inactive-duty training.
b. Punishment involving forfeiture of pay. For inactive-

duty training Reserve Component personnel ordered to active duty
for punishment and released before collection of all forfeitures
(see DoD 7000.14-R, Volume 7A, Chapter 58, section 580704).
0113 Effective Date and Execution of Nonjudicial Punishments
a. Forfeiture of pay and reduction in grade. These

punishments, if unsuspended, take effect when imposed at the
nonjudicial punishment proceedings. If suspended, and the
suspension is later vacated, these punishments take effect on the
date the suspension is vacated. Subsequent to the imposition of
a punishment of forfeiture of pay and before the execution of
this punishment, if an accused absents himself or herself without
authority, that period of absence will interrupt the service of
this punishment and will be excluded in computing the service of
this punishment. If a forfeiture of pay is imposed, however,
while a prior punishment of forfeiture of pay is still in effect,
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the prior punishment must be completed before the latter begins.

Reduction in rate may be executed in the accused's absence.
b. Punishments involving restraint and extra duties.
(1) General. The punishments of arrest in quarters,

correctional custody, confinement, extra duties, and restriction,
if unsuspended, take effect when imposed and are executed when
served. See paragraph 7 of Part V, MCM, if an appeal is filed.
(2) Interruption by absence or later punishment.

Subsequent to the imposition and before the execution of
nonjudicial punishment, if an accused absents himself or herself
without authority, the period of absence will interrupt the
service of the unexecuted portion of these punishments. The
execution of any previously imposed nonjudicial punishment
involving restraint will normally be interrupted by a subsequent
nonjudicial punishment involving restraint. Upon execution of
the later-imposed nonjudicial punishment involving restraint, the
unexecuted portion of the earlier punishment will be executed.
The officer imposing the later punishment may, however, order
that the earlier punishment be completed before execution of the
later punishment. A sentence imposed by a court-martial will
also interrupt the service of any nonjudicial punishment
involving restraint. When the judicially-imposed punishment has
been served, any unexecuted nonjudicial punishment will be
completed.
(3) Deferment of execution. Commanders and officers in

charge may, when adequate facilities are not available or when
the exigencies of the service require, defer execution of
restriction, correctional custody, or confinement for a
reasonable period of time, not to exceed 15 days. Also,
commanders and officers in charge may, if the accused is found to
be medically unfit for the service of the punishments of
correctional custody or confinement defer, for a period not to
exceed 15 days, the execution of the punishment until the accused
is determined to be medically fit to serve the punishment. If at
the end of the deferment period the accused remains medically
unfit to serve the punishment of correctional custody or
confinement, adequate facilities are unavailable, or exigencies
of the service require, the commander or officer in charge who
imposed the punishment may mitigate the punishment to one no more
severe than the original punishment announced.
(4) Stay of punishment. A Service member who has

appealed may be required to undergo any punishment imposed while
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the appeal is pending, except that if action is not taken on the

appeal within five days after the appeal was submitted, and if
the Service member so requests, any unexecuted punishment
involving restraint or extra duty shall be stayed until action on
the appeal is taken. In rare instances (e.g., medical emergency)
and only upon request of the accused, a commander may grant a
stay of punishment. A stay of punishment occurs when the accused
has begun serving the punishment awarded and the commander
exercises his or her discretion to interrupt the punishment for a
period that will normally not exceed 15 days. This is done with
the intent that the remainder of the punishment will be served at
a later date. If the commander stays the punishment, such a stay
should be noted in the accused’s service record with the accused
acknowledging the remainder of the unexecuted punishment will be
completed upon the end of the stay. For the purpose of computing
the amount of punishment already served, any portion of the 24-
hour day served before the stay is issued or after the accused
returns from the stay will count as one full day.
c. Punitive letters. These punishments take effect when

imposed. A punitive letter is imposed when announced to the
accused. The imposition of a punitive letter may not be
suspended.
0114 Punitive Censure
a. General. “Censure” is a statement of adverse opinion or

criticism of an individual’s conduct or performance of duty
expressed by a superior in the member’s chain of command.
Censure may be punitive or nonpunitive. Punitive censure may
only be imposed at nonjudicial punishment or court-martial. See
section 0105 regarding nonpunitive censure; see section 0114a
regarding the Secretarial letter of censure. The issuance of
punitive censure resulting from nonjudicial punishment may be
disclosed to the command in accordance with section 0115.
Commands considering public disclosure should consult their
staff judge advocate and the public affairs officer in their
chain of command. See subsection 0105(b)(4) for full discussion
of senior official and public disclosure.
(1) Admonition. Admonition is a form of censure intended

to express adverse reflection upon or criticism of a person’s
conduct. Admonition imposed as nonjudicial punishment is
considered punitive. Punitive admonition imposed on enlisted
persons may be either written or oral. For officers, punitive
admonition must be in writing.
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(2) Reprimand. Reprimand is a more severe form of

censure than admonition. A reprimand issued as nonjudicial
punishment or awarded at court-martial is punitive. Punitive
reprimand imposed on enlisted persons as nonjudicial punishment
may be either written or oral. For officers, any punitive
reprimand must be in writing. See R.C.M. 1003 for reprimands
awarded at courts-martial.
(3) Issuing authority. When an officer has committed an

offense that warrants a punitive letter of admonition or
reprimand, the officer who imposed nonjudicial punishment may
issue the letter or refer the matter through the chain of
command, normally to the superior general court-martial convening
authority (GCMCA) over the prospective addressee.
b. Official records of admonition or reprimand. Unless

withdrawn or set aside by higher authority upon appeal, punitive
letters become part of the official service record of the member
to whom they are addressed. The issuance of a punitive letter
and the facts of the underlying offenses may be mentioned in the
member’s fitness report or enlisted evaluation and used to
support a detachment for cause proceeding, relief of command, or
any other administrative action on the part of the service
concerned.
c. Internal departmental responsibility. Correspondence,

records, and files in the DON that relate to punitive censure are
personnel matters under the primary cognizance of the Chief of
Naval Personnel or the Commandant of the Marine Corps, as
appropriate.
d. Content of letter of admonition or reprimand.
(1) General. A punitive letter issued pursuant to

Article 15, UCMJ, may be imposed only for acts or omissions
constituting minor offenses under the UCMJ (see paragraph 1(e) of
Part V, MCM). The letter must set forth the facts constituting
the offense but need not refer to any specific punitive UCMJ
article, nor satisfy the drafting requirements of court-martial
specifications. The letter should contain sufficient specific
facts, without reference to other documents, to apprise a reader
of all relevant facts and circumstances of the offense. General
conclusions, such as “gross negligence,” “unofficer-like
conduct,” or “dereliction of duty,” are valueless unless
accompanied by specific facts upon which they are based. A
sample punitive letter is set forth for guidance in Appendix
A-1-h.
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(2) References. Punitive letters should refer to all

prior proceedings and correspondence upon which they are based,
applicable laws and regulations (including the MCM) and this
section. Particular reference should be made to the proceeding
afforded the offender. Where applicable, the letter will include
a statement that the recipient was advised of the right to refuse
nonjudicial punishment and request trial by court-martial in lieu
of nonjudicial punishment and that such trial was not requested.
See Article 15(a), UCMJ.
(3) Classification. Specific details requiring security

classification must be omitted from punitive letters. A letter
issued at nonjudicial punishment will be designated “For Official
Use Only.”
(4) Notification of right to appeal and right to submit

statement. Punitive letters, except letters issued in execution
of a court-martial sentence as described in section 0153, will
contain the following:
You may appeal this action to the next superior

authority, via [insert the official designation of the
commanding officer issuing the letter or, if the
officer is the immediate commanding officer of the
offender, the official designations of the immediate
commanding officer of the offender and the officer
issuing the letter] under the provisions of Article
15(e) of the Uniform Code of Military Justice,
paragraph 7 of Part V, Manual for Courts-Martial, and
section 0114 of the Manual of the Judge Advocate
General.
If you do not desire to appeal, you are directed to so

inform the issuing authority in writing within five
working days after the receipt of this letter.
If you desire to appeal this action, you are advised

that an appeal must be made within a reasonable time
and that, in the absence of unusual circumstances, an
appeal made more than five working days after the
receipt of this letter may be considered as not having
been made within a reasonable time. If, in your
opinion, unusual circumstances make it impracticable or
extremely difficult for you to prepare and submit your
appeal within the five working days, you will
immediately advise the officer issuing this letter of
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such circumstances and submit a written request for an

appropriate extension of time to submit your appeal.
Failure to receive a reply to such request will not,
however, constitute a grant of such extension of time
to submit your appeal.
In all communications concerning an appeal of this

action, you are directed to state the date of your
receipt of this letter.
Unless withdrawn or set aside by higher authority, a

copy of this letter will be placed in your official
record at [Navy Personnel Command] [Headquarters, U.S.
Marine Corps]. You may forward within 15 days after
receipt of final denial of your appeal or after the
date of your notification of your decision not to
appeal, whichever may be applicable, a statement
concerning this letter for inclusion in your record.
If you do not desire to submit a statement, you will so
state in writing within five days. You are advised
that any statement submitted must be couched in
temperate language and will be confined to pertinent
facts. Opinions will not be expressed or the motives
of others impugned. Your statement may not contain
countercharges. Your reporting senior may note this
letter in your next [fitness report] [performance
evaluation] submitted after this letter becomes final,
either by decision of higher authority upon appeal or
by your decision not to appeal. (Omit last sentence in
cases involving Marine Corps enlisted personnel in
paygrades E-4 or below).
e. Appeals. The following rules apply to appeals of

punitive letters, in addition to those rules contained in
paragraph 7 of Part V, MCM, and sections 0116 and 0117:
(1) A copy of the report of nonjudicial punishment must

be provided to the individual upon his or her request except
where the interests of national security may be adversely
affected. A copy will be made available to the individual for
use in preparation of a defense or appeal. See section 0116 for
similar rules concerning a copy of the record of an investigation
or court of inquiry.
(2) Any statement submitted by the Service member must be

couched in temperate language and confined to pertinent facts.
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Opinions will not be expressed or the motives of others impugned.

The statement may not contain countercharges.
(3) In forwarding an appeal of a punitive letter (see

section 0116) the officer who issued the letter will attach to
the appeal a copy of the punitive letter and the record of
investigation or court of inquiry or report of proceeding on
which the letter is based. The appeal will be forwarded via the
chain of command to the superior authority to whom the appeal is
made, who may direct additional inquiry or investigation into
matters raised by the appeal if deemed necessary in the interests
of justice.
(4) Appeals from a punitive letter imposed as nonjudicial

punishment will be forwarded as specified in section 0117.
(5) The standard of review for a punitive letter will be

whether the language in the letter is “accurate and relevant to
the offenses committed and the punishment imposed.”
(6) Upon determination of the appeal, the superior

authority acting on the appeal will advise the appellant of the
action taken via the immediate commander, with copies of the
action to officers in the chain of command through whom the
appeal was forwarded. The superior authority will also return
all papers to the commander who issued the letter.
f. Forwarding letter. Upon denial of any appeal, the lapse

of a reasonable time after issuance (see section 0116), or upon
receipt of the addressee’s statement that an appeal is not
desired, a copy of the punitive letter and other documents
required by Navy Personnel Command or the Commandant of the
Marine Corps, together with the addressee’s statement, a written
declaration that he or she does not desire to make a statement,
or a written declaration that a reasonable time after issuance
has elapsed will be forwarded to the Commander, Navy Personnel
Command (PERS-834 for officers and PERS-832 for enlisted) or the
Commandant of the Marine Corps (JPL for officers and MMRB-20 for
enlisted), as appropriate. If the punitive letter is not
sustained on appeal, a copy of the letter will not be filed in
the official record of the member concerned. The command issuing
a punitive letter has the responsibility of assembling and
forwarding at one time all the foregoing documents and of
providing a copy of the forwarding letter for each via addressee.
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g. Removal and set aside. Material properly placed in an

officer’s or enlisted member’s official record may not normally
be removed or destroyed.
(1) If a factual error or other reasons indicate that a

punitive letter issued under Article 15, UCMJ, and filed in the
addressee’s official record, results in a clear injustice, the
officer referred to in paragraph 6 of Part V, MCM, and section
0118, may set aside or remove or direct the set aside or removal
of the punitive letter. Removal or set aside occurs by issuing a
second letter to the officer or enlisted member concerned
announcing the cancellation of the punitive letter and setting
forth in detail the reason for cancellation.
(2) If a punitive letter is removed or set aside by a

superior authority before a copy of the original of such letter
is forwarded to the Commander, Navy Personnel Command or the
Commandant of the Marine Corps, the punitive letter will not be
forwarded and copies of the punitive letter will be removed from
all files relating to the member and destroyed.
(3) If the removal or set aside occurs after a copy of

the punitive letter has been forwarded, a copy of the letter of
cancellation will be forwarded to the Commander, Navy Personnel
Command or the Commandant of the Marine Corps, as appropriate, as
well as to any other addressees to whom copies of the punitive
letter were forwarded. Upon receipt of the copy of the letter of
removal or set aside, addressees will ensure that copies of the
punitive letter will not be filed in or, if already filed, will
be removed from, the member’s official record and destroyed. The
order or letter of removal or set aside or a copy thereof will
not be filed in the member’s official records.
(4) If a punitive letter is filed inadvertently or by

mistake of fact, such document may be removed only by Commander,
Navy Personnel Command or the Commandant of the Marine Corps, as
appropriate. In other cases, only the Secretary of the Navy
acting through the Board for Correction of Naval Records may
order removal of punitive letters and other documents in official
records.
0114a Secretarial Letter of Censure
a. General. The Secretary of the Navy may administratively

censure members, including retirees and reservists, in writing
without resorting to Article 15, UCMJ, proceedings. The
Secretary’s authority to issue censures is inherent in his or her
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office. The Secretary may, within his or her discretion, when he

or she believes it is for the good of the service, send
communications to subordinate officers that may be in the nature
of a reprimand. This right is necessarily vested in him or her
as chief officer of that department. Such censure is neither a
nonpunitive measure nor a punitive sanction of the type that can
be imposed as nonjudicial punishment or as the judgment of a
court-martial. The Secretary’s authority is in its own class.
Such censures cannot be delegated. Unless otherwise directed, a
copy of the letter will be filed in the official record of the
member censured.
b. Rebuttal. The member to whom a Secretarial letter of

censure is addressed has no right of appeal. If a copy of the
letter is filed in the official record of the member, the
individual may submit a rebuttal. Any such rebuttal must be
temperate in language and confined to pertinent facts. Opinions
will not be expressed or the motives of others impugned.
Rebuttals will not contain countercharges. The issuance of a
Secretarial letter of censure and the underlying facts may be
mentioned in a fitness report or an enlisted evaluation and used
to support a detachment for cause proceeding, relief of command,
negative endorsement, or any other administrative action on the
part of the service concerned.
0115 Announcement of Nonjudicial Punishment
a. Publication. Publication of nonjudicial punishment is

rooted in the reasonable belief that it serves to deter other
members of the organization from committing similar offenses and
that it has salutary effects upon the morale of the organization.
Accordingly, the nonjudicial punishment authority may establish a
policy whereby the disposition of Article 15, UCMJ, proceedings
are announced to military personnel within his or her unit.
Announcement may be made by any or all of the methods discussed
below.
b. Plan of the day publication. The name, rank/rate,

offense(s), and disposition of the offenses may be published in
the plan of the day no earlier than five working days and no
later than 30 calendar days after the imposition of nonjudicial
punishment or, if the punishment is appealed and not ultimately
set aside in its entirety, within 30 calendar days after the
reviewing authority’s action on the appeal. This information
may be published in the plan of the day if it is only
disseminated to military personnel. If the plan of the day is
disseminated to other than military personnel, nonjudicial
1-41
punishment information may only be published without the

accused’s name.
c. Bulletin boards. The name, rank/rate, offense(s), and

disposition of the individual case may be posted no earlier than
five working days and no later than 30 calendar days after the
imposition of nonjudicial punishment or, if the punishment is
appealed and not ultimately set aside in its entirety, within 30
calendar days after the reviewing authority’s action on the
appeal. This information may be posted on command bulletin
boards for military personnel only. If command bulletin boards
are accessible to other than military personnel, nonjudicial
punishment results may only be published without the name of the
accused.
d. Daily formation or morning quarters. The name,

rank/rate, offense(s), and disposition of nonjudicial punishment
cases may be announced at daily formations or morning quarters no
earlier than five working days and no later than 30 calendar days
after the imposition of nonjudicial punishment or, if the
nonjudicial punishment is appealed, within 30 calendar days after
the appeal is denied.
e. Public censures. Commanders will not issue public

censures. Oral censures to personnel during Article 15, UCMJ,
proceedings do not violate this provision.
f. Release to the public. Information on nonjudicial

punishment will not normally be disclosed to the public under the
Freedom of Information Act. This is because the public interest
in the routine administrative disposition of employee misconduct
rarely outweighs the individual’s privacy interest in the matter.
See SECNAVINST 5720.42 (series). In order to protect the
personal privacy of individuals receiving nonjudicial punishment,
commands receiving requests for individual nonjudicial punishment
records should forward the request to their cognizant initial
denial authority (IDA) with the recommendation that the existence
of the records be neither confirmed nor denied, except when the
requester is the individual upon whom nonjudicial punishment was
imposed. In that situation, the request is processed under the
Privacy Act.
(1) Disclosure should only be considered when the events

leading to the nonjudicial punishment are particularly newsworthy
or the case involves a senior official. See subsection
0105(b)(4) for discussion of senior officials. In general, the
DON finds the public interest warrants disclosure of the results
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of flag and general officer nonjudicial punishments in order to

retain the public’s confidence and trust in the integrity of the
Department, the Navy, and the Marine Corps.
(2) Resolution of misconduct involving commanding

officers, executive officers, officers in charge, senior enlisted
advisors, and other personnel of lower rank or grade may also
warrant release of information depending on their official
position and the nature of the misconduct. In such cases, the
fact of the award of the nonjudicial punishment, including a
recitation of the charges, findings, and resulting punishment,
may be disclosed to the public.
(3) If the award includes a punitive letter, the actual

letter may not be disclosed without the consent of the
individual receiving the nonjudicial punishment; however, the
facts and circumstances underlying the letter may be disclosed.
(4) The decision to release nonjudicial punishment

information to the public must be made on a case-by-case basis
by a flag or general officer in the chain of command upon
balancing the public interest against the privacy interest of
the individual. When contemplating a release of information,
commanders should consult with the staff judge advocate and the
public affairs officer in their chain of command. Publication
of the results of nonjudicial punishment under this section are
not considered to be a public censure.
g. Release of results to victims. Upon request from a

victim, or legal representative of the victim, in a case in which
nonjudicial punishment has been imposed and the nonjudicial
punishment has not been set aside in its entirety upon appeal,
commands will promptly release the results of nonjudicial
punishment to that victim. The information to be released will
consist of the name and rank/rate of the accused, the offense(s)
considered, and disposition of the offense(s) (including any
punishment imposed). As used in subsection 0115(g), “victim”
means an individual who has suffered direct physical, emotional,
or pecuniary harm as a result of the commission of an offense
under the UCMJ. Nothing in subsection 0115(g) grants anyone a
legal right of action, additional rights under the Freedom of
Information Act, or a right to receive information in a
particular format.
0116 Command Action on Nonjudicial Punishment Appeals
a. Time limit.
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(1) In accordance with paragraph 7(d) of Part V, MCM, an

appeal of nonjudicial punishment must be submitted within five
working days, excluding weekends and holidays, of the imposition
of nonjudicial punishment, or the right to appeal will be waived
in the absence of good cause shown. In computing this appeal
period, allowance will be made for the time required to mail
communications pertaining to the imposition and appeal of
nonjudicial punishment. The appeal period commences to run from
the date of the imposition of the punishment, even though all or
any part of the punishment imposed is suspended. When a punitive
letter is imposed, an appeal of nonjudicial punishment must be
submitted within five working days after the accused receives the
letter.
(2) If it appears that good cause may exist that would

make it impracticable or extremely difficult for the accused to
prepare and submit the appeal within the five-day period, the
accused should immediately advise the officer who imposed the
punishment why good cause exists and submit a written request for
an appropriate extension of time within which to submit the
appeal. Upon receipt of such a request, the officer who imposed
the nonjudicial punishment will determine whether good cause was
shown and will advise the offender that an extension of time is
or is not granted. Absent a request for extension, the officer
acting on the appeal will determine whether good cause for delay
exists in an appeal submitted more than five days after the
imposition of the nonjudicial punishment.
b. Procedures.
(1) When the officer who imposed the punishment is not

the accused’s immediate commander, the latter may forward the
appeal directly to the officer who imposed the punishment for
forwarding under section 0117. Similarly, the action of the
superior authority on appeal may be forwarded by the officer who
imposed the punishment directly to the offender’s commander for
delivery. Copies of the correspondence should be provided for
intermediate authorities in the chain of command.
(2) In any case where nonjudicial punishment is imposed

on the basis of information contained in the record of a court of
inquiry or fact-finding body, a copy of the record, including the
findings, opinions, and recommendations, together with copies of
endorsements thereon, will, except where the interests of
national security may be adversely affected, be made available to
the accused for examination in connection with the preparation of
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an appeal. In case of doubt as to whether a national security

interest would be adversely affected, the matter will be referred
to OJAG (Code 30) for advice.
c. Contents of forwarding endorsement. The contents of the

forwarding endorsement of the officer who imposed the punishment
should normally include:
(1) Comment on any assertions of fact contained in the

letter of appeal that the officer who imposed the punishment
considers to be inaccurate or erroneous.
(2) Recitation of any facts concerning the offenses that

are not otherwise included in the appeal papers. If such factual
information was brought out at the nonjudicial punishment
proceeding, the endorsement should so state and include any
relevant comment made by appellant at the proceeding. Any other
adverse factual information set forth in the endorsement, unless
it recites matters already set forth in official service record
entries, will be referred to the appellant for comment, and the
appellant will be given an opportunity to submit a statement in
regard thereto or state that he or she does not wish to make any
statement.
(3) As an enclosure, a copy of the completed Report and

Disposition of Offense(s) (NAVPERS 1626/7) or Unit Punishment
Book (NAVMC 10132).
(4) As enclosures, copies of all documents and signed

statements that were considered as evidence at the nonjudicial
punishment proceeding or, if the nonjudicial punishment was
imposed on the basis of the record of a court of inquiry or other
fact-finding body, a copy of that record, including the findings
of fact, opinions, and recommendations, together with copies of
any endorsements thereon.
(5) As an enclosure, a copy of the appellant’s record of

performance as set forth on the Enlisted Performance Record
NAVPERS 1070/609 (Navy) or NAVMC 118(3) (Marine Corps).
0117 Authority to Act on Nonjudicial Punishment Appeals
a. When the officer who imposed punishment is in a Navy

chain of command. Any appeal of nonjudicial punishment in
accordance with paragraph 7 of Part V, MCM will be forwarded as
directed by a GCMCA superior in the operational chain of command.
If no operational chain of command is available, direction will
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be sought from the GCMCA in the administrative chain of command.

The GCMCA may act on the appeal or direct that the appeal be
forwarded to the Region Commander or to a subordinate commander
who is a GCMCA and designated by the Region Commander to act on
appeals. Any commander acting on an appeal must be superior in
rank to the officer who imposed the punishment.
b. When the officer who imposed punishment is in a Marine

Corps chain of command. Any appeal of nonjudicial punishment in
accordance with paragraph 7 of Part V, MCM will, in the absence
of specific direction to the contrary by an officer authorized to
convene general courts-martial and superior in the chain of
command to the officer who imposed the punishment, be forwarded
to the officer who is next superior in the operational chain of
command to the officer who imposed the punishment. When such
review is impracticable due to operational commitments, as
determined by the officer who imposed punishment, appeal of
nonjudicial punishment will be made to the Marine GCMCA
geographically nearest and senior to the officer who imposed the
punishment. That officer may delegate appellate authority to any
commander in his or her organization who is senior in grade and
in level of command to the officer who imposed punishment. In no
case, however, will an officer not authorized to convene general
courts-martial act on an appeal which, absent the impracticable
circumstances, would have been acted on by an officer authorized
to convene general courts-martial. The appellant need not be, at
the time of his or her appeal, a member of an organization within
the chain of command of the officer acting on the appeal. In
those cases in which the Commandant of the Marine Corps is the
next superior in the chain of command and in which the officer
who imposed punishment is not a general officer in command, the
appeal will, in the absence of specific direction to the contrary
by the Commandant, be made to the Marine Corps general officer in
command geographically nearest the officer who imposed the
punishment.
c. When punishment is imposed within a joint force.
(1) In the case of Navy personnel, an appeal of

nonjudicial punishment imposed by a joint force commander will be
made to the nearest Navy Region Commander or to a subordinate
GCMCA designated by the Region Commander for this purpose, unless
the applicable Combatant Commander specifically directs
otherwise. When the Region Commander or designated subordinate
commander is not superior in rank to the officer who imposed the
punishment, however, the appeal will be made to the Navy officer
exercising GCMCA geographically nearest and superior in rank to
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the officer who imposed the punishment, unless the Chief of Naval
Operations specifically directs otherwise. If directed, or in
the event that a Navy officer cannot be found who is superior in
rank to the officer who imposed the punishment, the appeal will
be made to the Chief of Naval Operations.
(2) In the case of Marine Corps personnel, an appeal of

nonjudicial punishment imposed by a joint force commander will,
in the absence of specific direction to the contrary by the
Combatant Commander, be made to the Marine Corps general officer
in command geographically nearest and superior in rank to the
officer who imposed the punishment. If directed, or in the event
that a Marine Corps officer cannot be found who is superior in
rank to the officer who imposed the punishment, the appeal will
be made to the Commandant.
(3) In those cases in which both the officer who imposed

the nonjudicial punishment and that officer’s immediate superior
in command are from the naval service, and that immediate
superior commander is authorized to convene general courts-
martial, the appeal authority will be that immediate superior in
command.
(4) An appeal of nonjudicial punishment imposed by an

officer of the Marine Corps or Navy designated as a commander
pursuant to subsection 0106(d) will be made to the commander of
the joint command who made the designation if such commander
specifically so directs. In the absence of such direction, an
appeal of nonjudicial punishment imposed by an officer of the
Marine Corps will be made to the Marine Corps general officer in
command geographically nearest and superior in rank to the
officer who imposed the punishment unless otherwise directed by
the Commandant of the Marine Corps. Absent direction to the
contrary from the joint force commander, an appeal of nonjudicial
punishment imposed by an officer of the Navy will be made to the
nearest Navy Region Commander or to a subordinate GCMCA
designated by the Region Commander for this purpose. When such
Region Commander or designated subordinate commander is not
superior in rank to the officer who imposed the punishment, the
appeal will be to the Navy GCMCA geographically nearest and
superior in rank to the officer who imposed the punishment.
(5) When a Marine or Navy commander imposes nonjudicial

punishment on a member who is not part of the naval service, the
next superior authority for purpose of appeals will be the
authority prescribed by the member’s parent service. See AR 27-
10 for Army personnel; AFI 51–201 for Air Force personnel; and
1-47
MJM COMDTINST M5810.1D for Coast Guard personnel. Other

provisions of this regulation notwithstanding, an appeal by such
member will be processed according to procedures contained in the
governing regulation of the member’s parent service.
d. Delegation of authority to act on appeals. Appellate

authority may be delegated in accordance with the provisions of
section 0106. An officer who has delegated his or her
nonjudicial punishment powers to a principal assistant under
section 0106 may not act on an appeal of punishment imposed by
such principal assistant. In such cases, and in other cases
where it may be inappropriate for the officer designated by
subsection (a) or (b) to act on the appeal, such fact should be
noted in forwarding the appeal to the appropriate authority who
may act on the appeal.
e. Proceedings after appeal. A superior authority, when

acting on an appeal, may set aside a nonjudicial punishment due
to procedural error that materially prejudiced a substantial
right of the member on whom punishment was imposed, not amounting
to a finding of insufficient evidence. The superior authority
acting on the appeal may authorize additional proceedings under
Article 15, UCMJ, to be conducted by the officer who imposed the
original nonjudicial punishment, or his or her successor in
command, with regard to those offenses for which the appellant
received nonjudicial punishment in the original proceeding. Any
punishment imposed during such additional proceedings may be no
more severe than that awarded during the original proceedings,
unless other offenses that occurred subsequent to the date of the
original nonjudicial punishment proceeding are included in the
offenses for which punishment is imposed. An individual, whether
or not attached to or embarked in a vessel, has no right to
refuse nonjudicial punishment for those offenses for which the
additional proceeding was authorized, unless the appeal was
granted on a claim pertaining to the validity of the accused’s
prior waiver of the right to refuse nonjudicial punishment. But
an individual who is not attached to or embarked in a vessel
retains the right to refuse nonjudicial punishment for any added
offense that occurred subsequent to the date the nonjudicial
punishment was set aside.
0118 Suspension, Mitigation, Remission, Setting Aside, and

Vacation of Suspension
a. Definition of “successor in command”. For purposes of

Article 15, UCMJ, and this Chapter, the term “successor in
command” refers to an officer succeeding to command by being
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detailed or succeeding thereto as described in U.S. Navy

Regulations (1990). The term is not limited to the officer next
succeeding.
b. Authority to suspend, mitigate, remit, set aside. The

nonjudicial punishment authority who imposes nonjudicial
punishment, the commander who imposes nonjudicial punishment
(unless no longer on active duty), the commander who acts on an
appeal of nonjudicial punishment, or his or her successor in
command may, under Article l5(d), UCMJ, and paragraph 6 of Part
V, MCM, exercise the same powers with respect to the punishment
imposed as may be exercised by the officer who imposed the
punishment, provided that the punishment so affected and, in the
case of mitigation, the punishment to which such punishment is
mitigated, is one within the authority of such new commander to
impose.
c. Interruption of probationary period. The running of the

period of suspension of the punishment is interrupted by the
unauthorized absence of the probationer or by commencement of
proceedings to vacate suspension of the punishment.
d. Vacation of suspension. A commander or officer in charge

may only vacate a suspension of punishment if a violation of the
conditions of suspension occurs during the period of suspension.
Before vacating a suspension, a commander or officer in charge
ordinarily will notify the Service member and give him or her the
opportunity to respond. Though a proceeding is not required to
vacate a suspension, if the punishment is of the kind set forth
in Article 15(e)(1)-(7), UCMJ, the Service member should, unless
impracticable, be given an opportunity to appear before the
officer authorized to vacate suspension of the punishment to
present any matters in defense, extenuation, or mitigation of the
violations on which the vacation action is to be based. The
order vacating a suspension must be issued within 10 working days
of the commencement of the vacation proceedings. The decision to
vacate suspension of nonjudicial punishment is not appealable
under paragraph 7 of Part V, MCM, but is a proper subject of an
Article 138, UCMJ, complaint. See Chapter Three of this Manual.
If the reason for vacation involves additional misconduct,
Article 31, UCMJ, rights must be read to the accused before the
commander asks if the accused wishes to make a statement on his
or her own behalf.
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0119 Records of Nonjudicial Punishment
a. Records. The records of nonjudicial punishment will be

maintained and disposed of in accordance with the implementing
regulations issued by Navy Personnel Command (PERS-4834) and the
Commandant of the Marine Corps. The forms used for the Unit
Punishment Book are NAVPERS 1626/7, S/N 0106-LF-016-2636, and
NAVMC 10132, S/N 0000-00-002-1305. See section 0173 for
procurement information for these forms.
b. Report of officer misconduct.
(1) Report of misconduct before nonjudicial punishment –

Navy officers. Pursuant to section 1611-010 the Naval Military
Personnel Manual, Navy officer misconduct must be reported to
Commander, Navy Personnel Command (PERS-834). Navy officer
misconduct will be reported if:
(a) The incident in question may be of public

interest; or
(b) The misconduct will require action by Navy

Personnel Command concerning the officer’s status.
(2) Report of misconduct after nonjudicial punishment –

Navy officers. Once the results of the nonjudicial punishment
are final (i.e., the appeal process is completed or waived), a
final report will be sent to Commander, Navy Personnel Command
(PERS-834). See SECNAVINST 1920.6 (series) and the Naval
Military Personnel Manual. If the officer imposing the
nonjudicial punishment is not a general or flag officer, the
letter report will be submitted via the first general or flag
officer in the administrative chain of command. Fleet or Type
commanders may require the letter report be forwarded through
command channels. These required reports are separate and
distinct from any reported nonjudicial punishment that may be
contained in investigations or other correspondence. See section
1611-010 of the Naval Military Personnel Manual for the letter
report requirements.
(3) Report of misconduct – Marine Corps officers. Marine

Corps officer misconduct must be reported to the Deputy
Commandant for Manpower and Reserve Affairs via CMC(JPL),
pursuant to MCO 5800.16 v.15 (Legal Support and Administration
Manual). See Figures 15-5 and 15-9 of the Legal Support and
Administration Manual for appropriate sample letters.
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c. Report of enlisted misconduct.
(1) Report of misconduct before nonjudicial punishment -

Navy enlisted in paygrades E-6 through E-9. Pursuant to section
1616-040 of the Naval Military Personnel Manual, report E-6
through E-9 misconduct before nonjudicial punishment if:
(a) The incident in question may be of widespread

public interest; or
(b) The misconduct will require action by Navy

Personnel Command concerning the Service member’s status.
(2) Report of misconduct after nonjudicial punishment -

Navy enlisted in paygrades E-6 through E-9. Once the results of
the nonjudicial punishment are final (i.e., the appeal process
is completed or waived), a final report will be sent to
Commander, Navy Personnel Command (PERS-832), for all E-6
through E-9 cases, regardless of whether a pre-nonjudicial
punishment report was previously submitted. See the Military
Personnel Manual section 1616-040 for the letter report
requirements.
Part C - Courts-Martial
Subpart C1 - Pretrial Matters
0120 Designation of Additional Convening Authorities
a. General courts-martial. In addition to those officers

authorized to convene general courts-martial by Article 22(a)(5)
through (7) and (22)(a)(9), UCMJ, the Secretary of the Navy,
acting under Article 22(a)(8), UCMJ, has designated the following
officers, when in an active duty or inactive-duty training
status, to convene general courts-martial:
(1) All flag or general officers, or their immediate

temporary successors, in command of units or activities of the
Navy or Marine Corps. Designation as a separate and detached
command, in accordance with U.S. Navy Regulation 0723, does not,
by itself, convey authority to convene general courts-martial.
Flag or general officers in command of units or activities that
have been designated as separate and detached commands may
request such authority in accordance with section 0121. A list
of general courts-martial authorities designated by the Secretary
is maintained by OJAG (Code 20) or HQMC (JA), as appropriate.
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(2) The Secretary of the Navy has designated and

empowered the Commanding Officer, Navy-Marine Corps Appellate
Leave Activity, and the Commanding Officer, Marine Detachment,
U.S. Disciplinary Barracks, Fort Leavenworth, KS, to exercise
limited general court-martial jurisdiction necessary to order the
execution of a sentence to a punitive discharge, take action on
the findings or sentence in accordance with the instructions
transmitted by the JAG, and effect clemency action decided by the
Naval Clemency and Parole Board. See section 0163a concerning
the clemency powers of the Commanding Officer, Navy-Marine Corps
Appellate Leave Activity, and the Commanding Officer, Marine
Detachment, U.S. Disciplinary Barracks, Fort Leavenworth, KS.
(3) Any officer whose nomination for promotion to flag or

general officer rank has been confirmed by the Senate and who is
serving in a flag or general officer billet in command of a naval
service unit or activity, or the immediate temporary successor in
command of such an officer.
b. Special courts-martial. Those officers empowered to

convene general courts-martial may also convene special courts-
martial. In addition to those officers authorized to convene
special courts-martial by Article 23(a)(5) and (6), UCMJ, the
Secretary of the Navy, acting under Article 23(a)(7), UCMJ, has
empowered the following officers, when in an active duty or
inactive-duty training status, to convene special courts-martial:
(1) Commanding officers of all battalions and squadrons,

including both Regular and Reserve Marine Corps commands.
(2) All commanders who have a subordinate in the

operational or administrative chain of command with the authority
to convene special courts-martial.
(3) All commanders and commanding officers of units and

activities of the Navy, including pre-commissioning units
commanded by lieutenant commanders (O-4) or above, but not
including inactive-duty training Naval Reserve units.
Designation as a separate and detached command, in accordance
with U.S. Navy Regulation 0723, does not, by itself, convey
authority to convene special courts-martial. Commanders or
commanding officers of units or activities that have been
designated as separate and detached commands may request such
authority in accordance with section 0121.
(4) All directors, Marine Corps Districts.
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(5) All administrative officers, U.S. Naval Shipyards.
(6) All inspector-instructors and site commanding

officers, Marine Corps Reserve organizations.
(7) Commanding officers and officers in charge of organic

combat service support organizations providing combat service
support to Marine Expeditionary Brigades, Marine Expeditionary
Units, or comparable Marine Air-Ground Task Forces.
(8) Commanding officers of Marine Expeditionary Units,

and those Special Purpose Marine Air-Ground Task Force commanding
officers in the grade of O-5 and above.
c. Summary courts-martial. Those officers who are empowered

to convene general and special courts-martial may also convene
summary courts-martial. In addition, the Secretary of the Navy,
acting under Article 24(a)(4), UCMJ, has empowered all
commanders, commanding officers, and officers in charge (if
authorized) of inactive-duty training Naval and Marine Corps
Reserve units and activities of the Navy and Marine Corps, who
are in a duty status, to convene summary courts-martial. A
summary court-martial convening authority is authorized to direct
a preliminary hearing under Article 32, UCMJ. The authority to
direct a preliminary hearing for certain sex-related offenses is
withheld to an officer in the grade of O-6 or above with special
courts-martial convening authority. See subsection 0128(g).
0121 Requests for Authority to Convene Courts-Martial
a. General courts-martial. If authority to convene general

courts-martial is desired for a commander or commanding officer
who is not empowered by statute or regulation to convene such
courts-martial, a letter will be forwarded to OJAG (Code 20) or
HQMC (JA), as appropriate, with the request that authorization be
obtained from the Secretary of the Navy pursuant to Article
22(a)(8), UCMJ. If general court-martial convening authority is
no longer desired or appropriate (e.g., reorganization of
commands), a letter should be forwarded to OJAG (Code 20) or HQMC
(JA), as appropriate, with the request that authorization be
rescinded by the Secretary of the Navy.
b. Special and summary courts-martial. If authority to

convene special or summary courts-martial is desired for
commanding officers or officers in charge other than those listed
in section 0120, and such officers are not empowered by statute
or regulation to convene such courts, a letter will be forwarded
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to OJAG (Code 20) or HQMC (JA), as appropriate, with the request

that authorization be obtained from the Secretary of the Navy
pursuant to Article 23(a)(7), UCMJ, or Article 24(a)(4), UCMJ, as
appropriate.
c. Separate and detached units. The officer designating an

organization as separate or detached, pursuant to U.S. Navy
Regulation 0723, may request via OJAG (Code 20) or HQMC (JA), as
appropriate, that the JAG obtain from the Secretary of the Navy
the authority for that organization’s commanding officer or
officer in charge to convene courts-martial. The request will
state that the organization has been designated as separate or
detached and will reference Article 22(a)(8), UCMJ, or Article
23(a)(7), UCMJ, as appropriate. See section 0106 regarding
designation of authority to impose nonjudicial punishment.
d. Commanding officer of staff enlisted personnel. If

authority to convene special or summary courts-martial is desired
for an officer designated as the commanding officer of staff
enlisted personnel, under the provisions of U.S. Navy Regulation
0722, the designating commander will request via OJAG (Code 20)
or HQMC (JA), as appropriate, that the JAG obtain authorization
from the Secretary of the Navy pursuant to Article 23(a)(7),
UCMJ, or Article 24(a)(4), UCMJ, as appropriate.
e. Requests for courts-martial convening authority. Such

requests will contain the following information, as applicable:
(1) The number of cases referred from that command for

the type of court-martial for which the convening authority is
being sought on a yearly basis for the past five years.
(2) If reorganization or downgrading of a command billet

is the reason for such a request, state that fact and describe
how the change affects the current and prospective convening
authority.
(3) Who would handle military justice matters if the

requested convening authority is denied.
(4) The number of commands and tenant commands the

prospective convening authority is responsible in both
operational and administrative chains of command.
(5) The number of officers and enlisted personnel for

whom the prospective convening authority is responsible in both
operational and administrative chains of command.
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(6) The geographical reasons that necessitate the

appointment of such authority.
(7) Whether the request is for permanent designation as a

convening authority or only for a temporary or interim
designation based upon a deployment, contingency, or similar
rationale.
(8) If the request is for temporary designation as a

convening authority, the request will contain an acknowledgement
that the requestor will send written notification to OJAG (Code
20) or HQMC (JA), as appropriate, upon the expiration of the
designation.
f. Record maintenance. Copies of all Secretarial letters of

authorization are maintained by OJAG (Code 20) or HQMC (JA), as
appropriate.
0122 General Restrictions on Exercise of Court-Martial

Jurisdiction
a. General, special, and summary courts-martial.
(1) Withholding disposition authority. The exercise of

authority to convene summary, special, and general courts-martial
may be restricted by a superior competent commander.
(2) Capital offenses. A special court-martial convening

authority may not refer a capital offense to trial by special or
summary courts-martial or dispose of the matter with nonjudicial
punishment without providing notice to the officer exercising
general court-martial convening authority over the command in
order to give him or her an opportunity to withhold jurisdiction
in accordance with R.C.M. 306. Pursuant to R.C.M. 201(f)(1)(C),
a general court-martial composed of a military judge alone does
not have jurisdiction to try any person for any offense for which
the death penalty may be adjudged unless the case has been
referred to trial as noncapital.
(3) Exclusive jurisdiction for certain sexual offenses.

Pursuant to R.C.M. 201(f)(1)(D), only a general court-martial has
jurisdiction to try offenses under Article 120(a), 120(b),
120b(a), and 120b(b), and attempts thereof under Article 80.
Such offenses cannot be referred to a special court-martial.
This applies only to offenses committed on or after 24 June 2014.
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b. Units attached to ships. The commanding officer or

officer in charge of a unit attached to a ship of the Navy for
duty therein will, while the unit is embarked therein, refrain
from exercising any power he or she might possess to convene and
order trial by special or summary court-martial, referring all
such matters to the commanding officer of the ship for
disposition. The foregoing policy does not apply to Military
Sealift Command vessels operating under a master, nor is it
applicable when an organized unit is embarked for transportation
only. When an organized unit is embarked for transportation only
in a ship of the Navy, the officer in command of such organized
unit will retain the authority possessed over such unit before
embarkation, including disciplinary authority. Under ordinary
circumstances, the internal control and discipline of a unit
embarked for transportation only will be left to the commanding
officer of that unit. Nothing in the foregoing will be construed
as impairing the paramount authority of the commanding officer of
the ship, including disciplinary authority, over all embarked
personnel of the naval service. In the case of units embarked
for transportation only, however, the commanding officer of the
ship should take disciplinary action against members of such
embarked units only in unusual cases concerning incidents
occurring aboard the ship.
0123 Exercise of Court-Martial Jurisdiction Over Retired,

Reserve, Fleet Reserve, Fleet Marine Corps Reserve, and
Discharged Personnel
a. Policy. In all cases in which jurisdiction is dependent

upon the provisions of Article 2(a)(4), (5), or (6) and Article
3(a), (b), or (c), UCMJ, the following policies apply:
(1) Authority to refer charges against a retired member

of the regular component of the Navy or Marine Corps not on
active duty but entitled to receive pay, a retired member of the
Navy Reserve or Marine Corps Reserve not on active duty who is
receiving hospitalization from an armed force, or a member of the
Fleet Reserve or Fleet Marine Corps Reserve not on active duty is
withheld. No such cases will be referred for trial by court-
martial without the prior authorization of the Secretary of the
Navy. This rule applies to offenses allegedly committed by such
persons regardless of whether they were on active duty either at
the time of the alleged offense or at the time they were accused
or suspected of the offense. Members described in subsection
0123(a) may not be recalled to active duty solely for trial by
court-martial. Such members are subject to court-martial
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jurisdiction at all times and, if referred to court-martial, can

be directed to appear without being recalled.
(2) No case in which jurisdiction is based on Article

3(a), (b), or (c), UCMJ, will be referred for trial by court-
martial without prior authorization of the Secretary of the Navy.
(3) If authorization is withheld under subsection

0123(a)(1), the JAG, via OJAG (Code 20), will indicate
alternative action or actions, if any, to the convening
authority.
b. Request for authorization. Requests will be addressed to

the Secretary of the Navy, via OJAG (Code 20) or HQMC (JA), as
appropriate. Requests for authorization in cases involving this
section should contain the following information:
(1) Draft charge(s) and specification(s) (do not prefer

charges until authorization has been received from the Secretary
of the Navy; care should be exercised to avoid triggering the
speedy trial provisions of R.C.M. 707);
(2) A summary of the evidence in the case;
(3) The facts showing amenability of the accused to trial

by court-martial;
(4) Whether civilian jurisdiction exists, and if so,

whether the civilian jurisdiction has declined to prosecute the
case at the time of the request; and in applicable cases, the
victim’s preference as to jurisdiction (see subsection 0128(a));
(5) The military status of the accused or suspected

person at the time of the request and at the time of the alleged
offense; and
(6) The reasons that make trial by court-martial

advisable.
c. Apprehension and restraint. Specific authorization of

the Secretary of the Navy is required before apprehension,
arrest, or pretrial confinement of any person who is subject to
trial by court-martial solely by reason of the provisions of
Article 2(a)(4), (5), or (6) or Article 3(a), (b), or (c), UCMJ.
No specific authorization is required for post-trial confinement
after the Secretary of the Navy approves the request to exercise
jurisdiction.
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d. Jurisdiction over Reserve Component personnel under

Article 3(d), UCMJ. A member of a Reserve Component subject to
the UCMJ is not, by virtue of termination of a period of active
duty or inactive-duty training, relieved from amenability to
jurisdiction of the UCMJ for an offense against the UCMJ
committed during such period of active duty or inactive-duty
training.
e. Order to active duty in the case of Reserve Component

personnel not on active duty.
(1) When jurisdiction is based upon Article 3(d), UCMJ,

members of a Reserve Component not on active duty may be ordered
to active duty involuntarily only by an officer described in
subsection 0123(e)(2), below, for the purpose of a preliminary
hearing under Article 32, UCMJ, trial by court-martial, or
imposition of nonjudicial punishment for offenses committed while
subject to the UCMJ. Subsection 0123(e) pertains without regard
to any change between active and reserve service or within
different categories of reserve service subsequent to commission
of the offense.
(2) Requests for an order to active duty under subsection

0123(e) may be submitted only by officers empowered to convene
courts-martial. Funding for these orders should be tasked to the
appropriation used on the original set of orders during which the
event necessitating recall occurred (see section 0145).
Decisions regarding funding for recall of a Service member do not
confer any procedural or substantive rights upon the member.
(3) Requests for an order to active duty under subsection

0123(e) will contain the following information:
(a) Draft charge(s) and specification(s) (do not

prefer charges until authorization has been received from the
Secretary of the Navy; care should be exercised to avoid
triggering the speedy trial provisions of R.C.M. 707);
(b) A summary of evidence in the case;
(c) Facts showing amenability to trial by court-

martial or imposition of nonjudicial punishment;
(d) Whether civilian jurisdiction exists, whether the

civilian jurisdiction has declined to prosecute the case at that
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time, and, in applicable cases, the victim’s preference as to

jurisdiction (see subsection 0128(a));
(e) The military status, unit to which assigned and

its location, and home address of the accused at the time of
submission and at the time of commission of the alleged
offense(s);
(f) Where the accused should be ordered to active

duty and why the order to active duty and trial by court-martial
is advisable;
(g) The appropriation used on the original set of

orders during which the event necessitating recall occurred; and
(h) For Navy personnel, confirmation that Commander,

Navy Reserve Forces Command, has been informed of the intention
to bring a Navy reservist on active duty for disciplinary
purposes. For Marine Corps personnel, confirmation that
Commander, Marine Forces Reserve, has been informed of the
intention to bring a Marine Corps reservist on active duty for
disciplinary purposes.
(4) The request should be addressed to a GCMCA in the

chain of command of the accused at the time of its submission, as
designated in accordance with section 0120, who is superior in
grade to the submitting officer. If, however, confinement
authority is requested, address the request to the Secretary of
the Navy. See sections 0127 and 0134.
(5) Unless the order to active duty was approved by the

Secretary of the Navy, the accused may not be sentenced to
confinement or be required to serve a punishment of any restraint
on liberty during a period other than a period of inactive duty
training or active duty.
f. Release from active duty of Reserve Component personnel

ordered to active duty pursuant to subsection 0123(e).
(1) Reserve Component personnel ordered to active duty

without Secretarial approval must be released from active duty no
later than the close of business one full work day after
completion of disciplinary proceedings, i.e., announcement of the
sentence by a court-martial or imposition of punishment under
Article 15, UCMJ.
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(2) Reserve Component personnel ordered to active duty

with Secretarial approval may be retained on active duty to serve
a punishment of confinement or other restraint on liberty, the
execution of which is not precluded by the terms of a plea
agreement. Unless retention on active duty is authorized by
other authority, such persons must be released from active duty
no later than the close of business one full work day after the
later of completion of disciplinary proceedings or service of the
sentence to confinement or other restraint on liberty. See
section 0134 and R.C.M. 202(c).
g. Tolling statute of limitations. The foregoing rules will

not impede the preferral and processing of sworn charges under
Article 30, UCMJ, when such preferral and processing are
necessary to prevent barring of trial by the statute of
limitations. See Article 43, UCMJ.
0124 Exercise of Court-Martial Jurisdiction in Cases Tried in

Domestic or Foreign Criminal Courts
a. Policy. When a person in the naval service has been

tried in a state or foreign court, whether convicted or
acquitted, or when a member’s case has been “diverted” out of the
regular criminal process for a probationary period, or has been
adjudicated by juvenile court authorities, military charges will
not be referred to a court-martial or be the subject of
nonjudicial punishment proceedings for the same act or acts,
except in those unusual cases where trial by court-martial or the
imposition of nonjudicial punishment is considered essential in
the interests of justice, discipline, and proper administration
within the naval service. Such unusual cases will not be
referred to trial by court-martial or be the subject of
nonjudicial punishment proceedings without specific permission as
provided below. This policy is based on comity between the
Federal Government and state or foreign governments and is not
intended to confer additional rights upon the accused.
b. Criteria. Referral for trial or the imposition of

nonjudicial punishment within the terms of this policy will be
limited to cases that meet one or more of the following criteria:
(1) Cases in which punishment by civil authorities

consists solely of probation, and local practice, or the actual
terms of probation, do not provide for rigid supervision of
probationers, or the military duties of the probationer make
supervision impractical.
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(2) Cases in which civilian proceedings concluded without

conviction for any reason other than acquittal after trial on the
merits.
(3) Other cases in which the interests of justice and

discipline are considered to require further action under the
UCMJ (e.g., where conduct leading to trial before a state or
foreign court has reflected adversely upon the naval service or
when a particular and unique military interest was not or could
not be adequately vindicated in the civilian tribunal).
c. Procedure.
(1) General, special, summary courts-martial, and

nonjudicial punishment proceedings. Permission of a GCMCA is not
required for court-martial proceedings if the civilian
adjudication or diversion occurs after the military charges have
been referred to a court-martial. No case described in
subsection 0124(b), however, will be referred for trial by court-
martial or be the subject of nonjudicial punishment proceedings
without the prior permission of the first GCMCA over the member.
Grants of such permission will be reported by the GCMCA concerned
by means of a letter addressed to OJAG (Code 20) for Navy cases
or HQMC (JA) for Marine cases. The GCMCA will describe the
offense alleged, the action taken by civil authorities, and the
circumstances bringing the case within one or more of the
exceptions to the general policy described in subsection 0124(a).
(2) Reporting requirements. The provisions of this

section do not affect the reporting requirements or other actions
required under other regulations in cases of convictions of
service personnel by domestic or foreign courts and adjudications
by juvenile court authorities.
d. Limitations. Personnel who have been tried by courts

that derive their authority from the United States Government,
such as U.S. District Courts, will not be tried by court-martial
or be subjected to nonjudicial punishment for the same act or
acts.
0125 Exercise of Court-Martial Jurisdiction Over Major Federal

Offenses
a. Background. The federal civil authorities have

concurrent jurisdiction with military authorities over offenses
committed by military personnel that violate both federal
criminal law and the UCMJ. The Attorney General and the
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Secretary of Defense have agreed on guidelines for determining

which authority will have jurisdiction to investigate and
prosecute major crimes in particular cases (see DoDI 5525.07).
The administration of this program on behalf of the naval service
has been assigned to Naval Criminal Investigative Service (NCIS).
Guidelines are set forth in SECNAVINST 5430.107 (series).
b. Limitations on court-martial jurisdiction. In order to

ensure that actions under the UCMJ do not preclude appropriate
action by civilian federal authorities in cases likely to be
prosecuted in U.S. District Courts, convening authorities will
ensure that appropriate consultation under the Memorandum of
Understanding between the DoD and the Department of Justice has
taken place before issuance of a grant of immunity, approval of a
plea agreement, or trial by court-martial (see DoDI 5525.07).
Accordingly, commanding officers receiving information indicating
that naval personnel have committed a major federal offense,
including any major criminal offense as defined in SECNAVINST
5430.107 (series) committed on a naval installation, will refrain
from taking action with a view to trial by court-martial, but
will refer the matter to the senior resident agent of the
cognizant NCIS office for a determination in accordance with
SECNAVINST 5430.107 (series). In the event that the
investigation of any such case is referred to a federal civilian
investigative agency, the cognizant U.S. Attorney, subject to the
exceptions set forth below, normally will conduct any resulting
prosecution.
c. Exceptions.
(1) Where it appears that naval personnel have committed

several offenses, including both major federal offenses and
serious, but purely military offenses, naval authorities are
authorized to investigate all of the suspected military offenses,
and such of the civil offenses as may be practicable, and to
retain the accused for prosecution. Any such action will be
reported immediately to OJAG (Code 20) or HQMC (JA), as
appropriate, and to the cognizant GCMCA.
(2) When, following referral of a case to a civilian

federal investigative agency for investigation, the cognizant
U.S. Attorney declines prosecution, the investigation normally
will be resumed by NCIS and the command may then commence court-
martial proceedings as soon as the circumstances warrant.
(3) If, while investigation by a federal civilian

investigative agency is pending, existing conditions require
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immediate prosecution by naval authorities, the GCMCA will

contact the cognizant U.S. Attorney to seek approval for trial
by court-martial. If agreement cannot be reached at the local
level, the matter will be referred to OJAG (Code 20) or HQMC
(JA), as appropriate, for disposition.
d. Related matters. See Chapter Six concerning the

interview of naval personnel by federal investigative agencies
and the delivery of personnel to federal authorities. See
sections 0138 and 0139 regarding grants of immunity in cases
involving civilian witnesses or national security.
0126 Determination of Status of Case as National Security Case,

Investigation of Suspected National Security Cases, and Exercise
of Jurisdiction in Such Cases
a. National security case defined. “National security” is

defined in M.R.E. 505(b)(2) and further defined at R.C.M.
305(h)(2)(B). A case will be defined and designated as a
national security case if, in the opinion of one of the National
Security Case Disposition Authorities listed in subsection
0126(f) below, it is a case that, to any serious degree, involves
the compromise of a military or defense advantage over any
foreign nation or terrorist group; involves an allegation of
willful compromise of classified information; affects our
military or defense capability to successfully resist hostile or
destructive action, overt or covert; or involves an act of
terrorism. Such cases include an attempt or conspiracy to commit
such offenses, as well as conduct aiding and abetting in the
commission of such offenses or unlawfully assisting thereafter.
Offenses chargeable in national security cases may include, but
are not limited to, UCMJ Articles 81, 92 (for violations of
SECNAVINST 5510.36 (series) and U.S. Navy Regulations), 103,
103a, 103b, 107, and 134; and provisions of the U.S. Code, such
as 18 U.S.C. §§ 641, 792-93, 798, 1001, 1030, 2151-56, 2331-39B,
2381-85, 2388-90; 42 U.S.C. §§ 2272-77; and 50 U.S.C. §§ 783,
3121.
b. Case not designated as a national security case. Though

a case may involve matters or materials relating to the security
of the United States, it does not need to be designated a
national security case if, in the opinion of the cognizant
National Security Case Disposition Authority, the case does not
to a serious degree: involve compromise of a military or defense
advantage over a foreign nation or terrorist group; involve the
willful compromise of classified information; substantially
affect our military or defense capability to resist hostile or
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destructive action successfully, covertly or overtly; or

constitute an act of terrorism. See subsection 0126(f) for
disposition options in this situation.
c. Referral to the Naval Criminal Investigative Service.

Within the DON, NCIS is responsible for the investigation of
actual, suspected, or alleged national security incidents
including, but not limited to, those offenses enumerated in
subsection 0126(a) above. Commanders and commanding officers
will immediately refer any such incident to NCIS for
investigation. SECNAVINST 5430.107 (series) and SECNAVINST
5510.36 (series) also pertain. Upon the initiation of any NCIS
national security investigation, NCIS will notify the appropriate
Department of Justice investigative agency in compliance with
DoDI 5525.07 and 50 U.S.C. § 3381(e).
d. Preliminary inquiry. Concurrent with NCIS notification

and consistent with the NCIS investigative prerogative, the
commander or commanding officer will initiate a preliminary
inquiry in accordance with SECNAVINST 5510.36 (series) and direct
the inquiry and required reports be completed within 72 hours.
These required 72-hour reports will not be delayed awaiting a
complete assessment of the potential compromise and will be
viewed as a continuing duty to report as details of possible
lost or compromised information are received by the commander or
commanding officer. In addition, the commander or commanding
officer will notify Deputy Under Secretary of the Navy for Policy
(DUSN(P)) in all cases involving sensitive compartmented
information or intelligence information.
e. Notice to the JAG, SJA to the CMC, and National Security

Case Disposition Authority. If any NCIS investigation or
preliminary inquiry described in subsection 0126(c) or 0126(d)
indicates that the case may meet the criteria of subsection
0126(a), or that a suspect may have committed any of the offenses
enumerated in subsection 0126(a), whether or not such violation
might also be chargeable under the UCMJ, the commander or
commanding officer and NCIS will, within the 72 hours, notify
OJAG (Code 30) and, in Marine cases, will also notify HQMC (JA).
Within the same 72 hours, the commander or commanding officer
will also notify the appropriate National Security Case
Disposition Authority listed in subsection 0126(f). In the event
more than one National Security Case Disposition Authority may
have cognizance, coordinate with the next National Security Case
Disposition Authority in the administrative chain of command.
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f. Limitations on convening courts-martial. Commands

authorized under R.C.M. 306(a) and 401(a) to initially dispose of
cases involving national security, as defined in subsection
0126(a), shall forward such cases to the appropriate National
Security Case Disposition Authority in the administrative chain
of command listed below for disposition unless directed otherwise
by competent authority. This provision is not intended to
withdraw or limit the actual jurisdictional authority of commands
identified under R.C.M. 306(a) and 401(a). This provision is
promulgated for the exclusive benefit of the government and does
not confer any benefit upon an accused. It will not be construed
to support a jurisdictional challenge to a court-martial convened
by an officer not listed below, or to afford an accused in such a
court-martial any other relief. All officers otherwise empowered
to dispose of offenses who receive reports or charges of offenses
involving national security will, after taking action prescribed
in subsections 0126(c)-(e), forward the completed investigation
of such reports or charges for disposition directly and without
delay to an appropriate National Security Case Disposition
Authority listed below. Second-echelon commanders who report to
the Chief of Naval Operations in the administrative chain of
command who are not themselves National Security Case Disposition
Authorities will forward such reports to Commander, U.S. Fleet
Forces Command. Marine Corps commanders who report to the
Commandant of the Marine Corps in the administrative chain of
command who are not themselves National Security Case Disposition
Authorities will forward such reports to the Commanding General,
Marine Corps Combat Development Command. National Security Case
Disposition Authorities listed below may dispose of such reports
or charges by any means authorized under R.C.M. 306(c) or 401(c)
to include returning the case for disposition to any convening
authority they may designate. The following officers are
designated National Security Case Disposition Authorities:
(1) Chief of Naval Operations;
(2) Commandant of the Marine Corps;
(3) Vice Chief of Naval Operations;
(4) Assistant Commandant of the Marine Corps;
(5) Commanders, U.S. Fleet Forces Command, U.S. Pacific

Fleet, U.S. Naval Forces Europe, U.S. Naval Forces Central
Command;
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(6) Commanders, U.S. Marine Corps Forces Command, U.S.

Marine Corps Forces Pacific, U.S. Marine Corps Forces Central
Command, U.S. Marine Corps Forces Reserve;
(7) Commanders, U.S. Sixth and Seventh Fleets;
(8) Commanders, Naval Air Force, Submarine, and Surface

Forces;
(9) Commander, Naval Education and Training Command;
(10) Commander, Naval Special Warfare Command;
(11) Commanding General, Marine Corps Combat Development

Command;
(12) Commanding General, Marine Corps Training and

Education Command;
(13) Commanding Generals, Marine Expeditionary Forces;

and
(14) Commander, Marine Corps Installations Command.
See section 0137 regarding plea agreements in national security

cases. See section 0163a regarding remission and suspension of
sentences in national security cases.
g. Courts-martial involving classified information. See

SECNAVINST 5510.36 (series), M.R.E. 505, and R.C.M. 806 for
procedures relating to trial of cases involving classified
information.
h. Reporting requirements by responsible command.

Regardless of national security status and in addition to the 72-
hour reporting requirement described in section 0126(e) or other
reporting requirements, in all cases where a possible violation
of criminal law involves classified information, whether or not
designated a national security case, the responsible command,
convening authority, or staff judge advocate will notify OJAG
(Code 30) and, in Marine Corps cases, HQMC (JA):
(1) When criminal prosecution is contemplated. However,

OJAG (Code 30) or HQMC (JA) notification does not take precedence
over, or substitute for, NCIS notification required by subsection
0126;
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(2) Whenever a major development occurs in the case or

investigation (e.g., designation as a national security case,
apprehension, involvement of other federal agencies, etc.); or
(3) At least once every 30 days, whether or not there has

been a major development, unless the case is being reported by
the National Security Case Disposition Authority. Include
DUSN(P) in the notification for all cases involving sensitive
compartmented information or intelligence information.
i. Reporting requirements by National Security Case

Disposition Authority. Once informed of a potential national
security case, the National Security Case Disposition Authority
will report to CNO WASHINGTON DC/N09/DNS/N09N/DUSN(P)/N09D and
NAVY JAG WASHINGTON DC/30 on the status of the case every 15
days via SITREP until it is determined that the case is not a
national security case or until it is resolved by court
conviction, acquittal, or other final disposition. In Marine
Corps cases, a copy should also be provided to HQMC (JA).
Include DUSN(P) in the report for all cases involving sensitive
compartmented information or intelligence information. Each
report will include: the suspect's name and command; date(s) of
offense(s) and discovery of the offense(s); date NCIS began
investigation; clear description of the nature and sensitivity
of the information involved; suspected offense(s); date
disposition authority took cognizance; date of preferral and
referral of charges, if any; date pretrial confinement or other
restraint imposed, if any; a summary of the plan of action and
milestones to disposition; disposition authority points of
contact; and the official responsible for the next step, as of
the time of the report.
j. Plea agreements. A National Security Case Disposition

Authority, as with any convening authority, is authorized to
enter into a plea agreement. See section 0138 regarding plea
agreements involving grants of immunity in national security
cases.
0127 Pretrial Restraint of Accused
a. Custody and restraint of accused before or during trial.

See R.C.M. 304, 305, 804(c)(2)(discussion), and 804(e)(3).
b. Counsel. Before the initial review of the confinement,

counsel will be provided, if requested, to an accused in pretrial
confinement. The accused has no right, however, to an individual
military counsel.
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c. Preliminary probable cause review. Within 48 hours of

the imposition of pretrial confinement under military control, a
neutral and detached official must review the adequacy of the
probable cause to believe that the confinee has committed an
offense and of the necessity for pretrial confinement.
(1) This review does not require a hearing.
(2) This determination need not be in writing; however,

it is highly recommended that a written record be maintained.
(3) The reviewing official must be a neutral and detached

officer. The official may be the confinee’s commanding officer,
but this is not required. Additionally, nothing in this section
prohibits the commander who initially orders an accused into
pretrial confinement from conducting the 48-hour probable cause
review.
(4) The requirement for probable cause review is met, and

therefore a separate determination of probable cause is not
required, in the following circumstances:
(a) The commanding officer, complying with R.C.M.

305(d), personally orders the accused into confinement;
(b) The 72-hour letter report, as required by R.C.M.

305(h)(2), is signed by the commanding officer within 48 hours of
the imposition of confinement; or
(c) The seven-day review of pretrial confinement, as

required by R.C.M. 305(i) and conducted by a neutral and detached
initial reviewing officer, occurs within 48 hours of the
imposition of confinement.
d. Initial review officer. All general court-martial

convening authorities have authority to designate one or more
officers of the grade of O-4 or higher to act as the initial
review officer for purposes of R.C.M. 305(i)(2). For hearings
conducted on installations with a military confinement facility,
the GCMCA exercising jurisdiction over the confinement facility
will assign the initial review officers to specific cases. For
hearings conducted on installations without a military
confinement facility, the GCMCA of the confinee’s parent command
or Regional Commander (if applicable) will assign the initial
review officer.
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(1) The initial review officer must follow the procedures

outlined in R.C.M. 305(i)(2)(A), to include permitting the victim
to be reasonably heard. The initial review officer will forward
a copy of the documents considered and memorandum prepared under
R.C.M. 305(i)(2)(D) in each case to the confinee’s brig file and
to the commander that ordered the Service member into
confinement.
(2) The officers designated as initial review officers

should be neutral and detached, be selected for their maturity
and experience, and have command experience if practicable.
Nothing in this rule prohibits the use of an initial review
officer designated by one GCMCA from reviewing the confinement of
a Service member of another command or service.
e. Reserve Component personnel. Except as provided in

section 0134, Reserve Component personnel on inactive-duty
training will not be placed in pretrial confinement, unless
ordered to active duty with the approval of the Secretary. See
section 0123.
0128 Disposition of Charges
a. Victim preference for jurisdiction for sex-related

offenses. In accordance with the National Defense Authorization
Act for Fiscal Year 2015, the Services are required to ensure
consultation with victims of alleged sex-related offenses to
obtain the victim’s preference for prosecution by court-martial
or a civilian court with jurisdiction over the offense. This
consultation must be documented and that documentation must be
maintained with the trial counsel’s case file. For purposes of
subsection 0128(a) through (d):
(1) A “sex-related offense” is defined as any allegation

arising under Articles 120, 120a, 120b, 120c, or 125, UCMJ,
including attempts thereof, for an act that occurred prior to 1
January 2019; or any allegation arising under Articles 120,
120b, 120c, or 130, UCMJ, including attempts thereof, for an act
that occurred on or after 1 January 2019.
(2) “Victim” is defined as an individual who has

suffered direct physical, emotional, or pecuniary harm as a
result of the commission of an alleged sex-related offense.
(3) “Cognizant Commander” is the Sexual Assault Initial

Disposition Authority (SA-IDA), GCMCA, or any other appropriate
commander taking action on the case.
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b. How to obtain and document a victim’s preference for

jurisdiction for sex-related offenses.
(1) In all cases involving a sex-related offense that

occurred in the United States, the trial counsel or trial
paralegal (military or civilian) must obtain the victim’s
preference as to whether the case should be prosecuted by the
military or in civilian court. The victim must be provided an
opportunity to express these views prior to the cognizant
commander making a disposition decision.
(2) A victim’s preference for jurisdiction will be

documented using the standard Victim’s Preference Letter (VPL)
contained in Appendix A-1-m, signed by the victim and the trial
counsel or trial paralegal. The VPL will, at a minimum,
document that the alleged victim was asked about the preference
for jurisdiction, the victim’s preference for jurisdiction, if
provided, and the date when such preference was provided. A
copy of this form must be maintained in the original case file
with the appropriate Region Legal Service Office (RLSO) or Legal
Service Support Section (LSSS) as well as uploaded into the
electronic case management system.
(3) If the victim is unavailable after reasonable

attempts to contact the victim, or otherwise declines to provide
input, the trial counsel will sign the VPL and document the
steps taken to contact the victim and ascertain the victim’s
preference. Periods of leave or deployments by the victim are
normally not grounds for determining a victim is unavailable.
All requests to consult with the victim and ascertain a victim’s
preference will be routed through the SVC or VLC, if the victim
is represented by counsel.
(4) If the alleged sex-related offense was committed in

an area of concurrent or proprietary jurisdiction and the victim
indicates a preference for civilian prosecution, the trial
counsel or trial paralegal will determine whether the victim
prefers prosecution by the state or federal government or has no
preference. If the alleged sex-related offense was committed in
an area of exclusive federal jurisdiction, trial counsel or
trial paralegal will determine whether the victim prefers
prosecution by the federal United States Attorney’s Office,
military prosecution, or has no preference. Matters of
jurisdiction for an alleged offense should be considered and
explained by the trial counsel when obtaining victim preference.
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(5) The trial counsel must provide a copy of the

completed VPL to the cognizant commander prior to preferral of
charges and to the convening authority, via the cognizant Staff
Judge Advocate (SJA), prior to the referral of charges.
c. Consideration of victim’s preference for jurisdiction.

Although the victim’s preference for jurisdiction is not
binding, at every stage of the process, the cognizant commander
shall consider any victim input, if available, before making any
disposition decision.
d. Procedures if civilian prosecution is preferred.
(1) If the victim of an alleged sex-related offense

expresses a preference for prosecution in a civilian court, the
trial counsel will ensure that the civilian authority with
jurisdiction over the offense is notified of the victim’s
preference. In areas of exclusive federal jurisdiction, the
trial counsel must notify the United States Attorney’s Office
concerned. In areas of concurrent or proprietary jurisdiction
or where the alleged sex-related offense occurred outside the
military installation, the trial counsel must notify the
prosecutorial agency or agencies in that jurisdiction of the
victim’s preference. The agency notified and the date of
notification must be documented in the VPL.
(2) The cognizant commander will ensure the victim is

notified of the decision by the civilian authority to prosecute
or not prosecute the offense in civilian court. The trial
counsel will assist the cognizant commander in notifying the
victim. The date the victim was notified must be documented in
the VPL.
e. Consideration of victim’s views regarding disposition.
(1) For purposes of subsection 0128(e)-(k) except

subsection 0128(i):
(a) A “sex-related offense” is defined as any

allegation arising under Articles 120 (a) or (b), or 125, UCMJ,
including attempts thereof, for an act that occurred prior to 1
January 2019; or any allegation arising under Articles 120 (a)
or (b), UCMJ, including attempts thereof, for an act that
occurred on or after 1 January 2019. See MCO 5800.16 for Marine
Corps definition of sex-related offenses.
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(b) Unless otherwise noted, the term “victim” means

an individual who has suffered direct physical, emotional, or
pecuniary harm as a result of an offense listed in subsection
128(e)(1)(a).
(2) In considering preferral of charges for sex-related

offenses identified in subsection 0128(e)(1), a SA-IDA will
ensure victims are notified of the opportunity to express their
views on disposition of alleged offenses for consideration by
the convening authority. The SA-IDA will consider the
statements of victims, the effect of the offense on the victims,
and any views expressed by the victims regarding disposition of
the case. The SA-IDA, and any other convening authority, will
document that the alleged victim’s statements and views
concerning disposition of any sex-related offense were in fact
considered in the disposition decision.
f. Victim input on nature of offense. Either at the time

of making an unrestricted report of the allegation or during the
criminal investigation of the allegation, all alleged victims of
a sex-related offense identified in subsection 0128(e)(1)(a),
UCMJ, will be given the opportunity to state whether or not the
victim believes that the offense alleged is a sex-related
offense.
g. Sexual Assault Initial Disposition Authority. The

authority to make the initial disposition of the sex-related
offenses identified in subsection 0128(e)(1)(a) is withheld to
an officer in the grade of O-6 or above with special court-
martial convening authority.
h. Decisions not to refer charges for sex-related offenses.
(1) Staff judge advocate recommends referral. In any

case in which a staff judge advocate, pursuant to Article 34,
UCMJ recommends that any specification(s) of sex-related
offenses identified in subsection 0128(e)(1)(a) be referred for
trial by court-martial and the convening authority does not
refer to court-martial all of those specification(s) recommended
by the staff judge advocate for referral, the convening
authority will forward those specification(s) not referred along
with a copy of the case file, as detailed in subsection
0128(h)(5) below, to the Secretary of the Navy for review. A
specification recommended for referral by a staff judge
advocate, but not referred by the convening authority, need not
be forwarded if the specification was charged only as an
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alternative theory of proof to a specification that was referred

to court-martial.
(2) Staff judge advocate does not recommend referral.

In any case in which a staff judge advocate, pursuant to Article
34, recommends that specification(s) of a sex-related offense
identified in subsection 0128(e)(1) above not be referred for
trial by court-martial and the convening authority does not
refer to court-martial the specification(s), the convening
authority will forward the specification(s) not referred along
with a copy of the case file, as detailed in subsection
0128(h)(5), below, to the next superior commander authorized to
exercise general court-martial convening authority for review.
A specification not recommended for referral by a staff judge
advocate, and not referred by the convening authority, need not
be forwarded if the specification was charged only as an
alternative theory of proof to a specification that was referred
to court-martial.
(3) Requesting review by the Secretary of the Navy. In

any case involving a sex-related offense identified in
subsection 0128(e)(1)(a) reviewed by the next superior commander
but not referred to a court-martial, the detailed trial counsel
may request the Chief Prosecutor, as defined by service
regulation, seek Secretary of the Navy review of the case file.
The Chief Prosecutor will seek Secretary of the Navy review of
the case file if he or she determines that the case has
prosecutorial merit.
(4) Case file for review. When forwarding a case file

for review under subsection 0128(h), the file will contain
copies of the following:
(a) All charges and specifications related to the

case, whether or not subject to review under this section;
(b) Reports of investigations related to the

specifications submitted for review, including those prepared by
NCIS or another investigative agency and, if applicable, the
report prepared pursuant to Article 32, UCMJ;
(c) Certification that the alleged victim was given

the opportunity to state whether or not the victim believes that
the offense alleged is a sex-related offense;
(d) Certification that the alleged victim was

notified of the opportunity to express his or her views
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regarding disposition of the alleged offense for consideration

by the convening authority;
(e) Certification that the alleged victim was

notified of the opportunity to express his or her preference for
jurisdiction;
(f) All statements made by the alleged victim to

NCIS or another investigative agency, the chain of command, and
the convening authority regarding the victim’s views on and
preference for disposition of the alleged offense;
(g) The advice of the staff judge advocate provided

pursuant to Article 34;
(h) A written statement explaining the reasons for

the convening authority’s decision not to refer the
specification(s) subject to this review; and
(i) A written statement asserting that the alleged

victim was informed of the convening authority’s decision to
forward the specification(s) subject to this review.
(5) Action on specifications under review. Before

forwarding any specification(s) for review by higher authority
pursuant to this provision, the convening authority will dismiss
without prejudice those specification(s) being forwarded unless
there is a substantial likelihood that the statute of
limitations for those specification(s) will run before the
higher authority has an opportunity for review.
(a) In no case will any higher authority direct a

subordinate commander to take any specific action to dispose of
any specification(s) subject to review. See R.C.M. 104.
(b) The higher authority may take any action

discussed in R.C.M. 306.
(6) Notification to victim. Upon completion of any

review by higher authority under this provision, the victim of
the alleged sex-related offense will be notified by higher
authority of the results of the review conducted.
i. Timeline following determination not to refer based on

insufficient evidence.
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(1) If the convening authority determines there is

insufficient evidence to support the prosecution of a sex-
related offense and decides not to refer a preferred sex-related
offense to a general or special court-martial, when practicable,
any further disposition decision or disposition recommendation,
including no action, must be made within 60 days of the
convening authority’s non-referral decision. This 60-day
timeline includes providing notice of the disposition decision
or disposition recommendation to the alleged victim. If it is
not practicable for the disposition decision or disposition
recommendation to be made within 60 days, at or before the 60-
day mark, and for each 30 days until disposition decision or
disposition recommendation is made, the reason for the delay
must be explained and memorialized in the notice to the alleged
victim, consistent with section 0142a of this chapter.
(2) For purposes of this requirement, a commander’s

determination not to refer occurs when the preferred sex-related
offense is dismissed pursuant to R.C.M. 401(c)(1).
Additionally, for purposes of this requirement, a “sex-related
offense” is defined as the offenses of Articles 120, 130
(Article 120a if alleged to have been committed prior to 1
January 2019), 120b, 120c, 125 (if alleged to be nonconsensual
and to have been committed prior to 1 January 2019), and 80
(attempts of these offenses) of the UCMJ.
j. Forwarding of charges by an officer in a Navy chain of

command.
(1) General court-martial cases. When a commanding

officer, in taking action on charges, deems trial by general
court-martial to be appropriate but is not empowered to convene a
general court-martial, the charges and necessary allied papers
will be forwarded as directed by a GCMCA superior in the chain of
command. Commanding officers in an operational chain of command
will seek direction from the GCMCA in that chain of command. If
there is no operational chain of command, direction will be
sought from the GCMCA in the administrative chain of command.
The GCMCA in the chain of command has discretion to convene
courts-martial and may direct they receive such charges, as
required to maintain good order and discipline within their
commands. The GCMCA may also direct that the charges and allied
papers be forwarded to the Region Commander or to the subordinate
commander authorized to convene general courts-martial and
designated by the Region Commander for this purpose. For
deployable units, the Region Commander or designated subordinate
commander for this purpose is the Region Commander or designated
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subordinate commander most accessible to the deployable unit at

the time of the forwarding of the charges. See section 0129 for
additional provisions in cases in which the forwarding officer is
an accuser.
(2) Special and summary court-martial cases. When a

commanding officer or officer in charge, in taking action on
charges, deems trial by special or summary court-martial to be
appropriate but is not empowered to convene such court-martial,
the charges and necessary allied papers will be forwarded to the
superior competent authority authorized to convene the type of
court-martial deemed appropriate. Commanding officers in an
operational chain of command will seek direction from the
superior competent authority in that chain of command. If there
is no operational chain of command, direction will be sought from
the superior competent authority in the administrative chain of
command. The superior competent authority in the chain of
command has discretion to convene courts-martial and may direct
they receive such charges, as required to maintain good order and
discipline within their commands. The superior competent
authority may also direct that the charges and allied papers be
forwarded to the Region Commander or to the subordinate commander
authorized to convene special or summary courts-martial and
designated by the Region Commander for this purpose. For
deployable units, the Region Commander or designated subordinate
commander for this purpose is the Region Commander or designated
subordinate commander most accessible to the deployable unit at
the time of the forwarding of the charges. See section 0129 for
an accuser.
k. Forwarding of charges by an officer in a Marine Corps

chain of command. For sex-related offenses identified in
subsection 0128(e)(1)(a), officers in a Marine Corps chain of
command will follow the procedures laid out in MCO 5800.16. In
other cases, when a commanding officer or officer in charge, in
taking action on charges, deems trial by general, special, or
summary court-martial to be appropriate but is not empowered to
convene court-martial of that type, the officer will, in the
absence of specific direction to the contrary by a GCMCA superior
in the chain of command to such officer, forward the charges and
necessary allied papers through the chain of command to an
officer exercising the type of court-martial jurisdiction deemed
appropriate. See R.C.M. 401(c)(2); see also section 0129 for
an accuser.
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0129 Superior Competent Authority Defined
a. Accuser in a Navy chain of command. Whenever a

commanding officer is an accuser, as defined in Article 1, UCMJ,
the "superior competent authority" for purposes of Articles 22(b)
and 23(b), UCMJ, is the Region Commander or the subordinate
commander authorized to convene general or special courts-
martial, as appropriate and designated by the Region Commander
for this purpose, in the absence of specific direction to the
contrary by a GCMCA superior in the commanding officer’s chain of
command. For deployable units, the Region Commander or
designated subordinate commander for this purpose is the Region
Commander or designated subordinate commander most accessible to
the deployable unit at the time of forwarding of the charges.
When the cognizant Region Commander or designated subordinate
commander is not superior in rank or command to the accuser, or
when the accuser is a Region Commander or designated subordinate
commander, or if it is otherwise impossible or impracticable to
forward the charges as specified above, they will be forwarded to
any superior officer exercising the appropriate court-martial
jurisdiction. See R.C.M. 401 and 601(c).
b. Accuser in a Marine Corps chain of command. Whenever a

commanding officer comes within the purview of Articles 22(b) and
23(b), UCMJ, the "superior competent authority" as used in those
Articles is defined as any superior officer in the chain of
command authorized to convene special or general courts-martial,
as appropriate. If such an officer is not reasonably available,
or if it is otherwise impossible or impracticable to so forward
the charges, they will be forwarded to any superior officer
exercising the appropriate court-martial jurisdiction. See
R.C.M. 401 and 601(c).
0130 Personnel of Courts-Martial and Victims’ Counsel
a. Military judges.
(1) Detailing. Military judges may be detailed for trial

of general and special courts-martial by the Chief Judge, Navy-
Marine Corps Trial Judiciary; the Circuit Military Judge; or the
Circuit Military Judge’s designee.
(2) Qualifications and additional duties. The

qualifications for military judges and additional duties to which
military judges may be assigned are set forth in JAGINST 5813.4
(series).
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(3) Oaths. A military judge, certified in accordance

with Article 26(b), UCMJ, may take a one-time oath to perform his
or her duties faithfully and impartially in all cases to which
detailed. The oath may be taken at any time and may be
administered by any officer authorized by Article 136, UCMJ, and
section 0902 of this manual to administer oaths. Once such an
oath is taken, the military judge need not be re-sworn at any
court-martial to which subsequently detailed.
b. Counsel.
(1) Detailing.
(a) Judge advocates assigned to Navy commands may be

detailed as trial counsel, defense counsel, or victims′ counsel
by the judge advocate’s commanding officer, officer in charge, or
other proper authority or means.
(b) Judge advocates assigned to Marine commands may

be detailed as trial counsel, defense counsel, or victims’
counsel pursuant to MCO 5800.16.
(c) See section 0131 for procedures relating to

requests for individual military counsel.
(d) See JAGINST 5817.3 for guidance related to

detailing defense counsel to a capital case.
(2) Oaths. Military counsel, certified in accordance

with Article 27(b), UCMJ, may be given a one-time oath. Such
oath will customarily be administered when military counsel is
certified, though the oath may be given at any time by any
officer authorized to administer oaths by Article 136, UCMJ, and
section 0902 of this manual. An officer certified under Article
27(b) who has taken such an oath need not be re-sworn when
detailed as counsel or serving as individual military counsel in
any subsequent court-martial.
(3) Military counsel not sworn and certified in

accordance with subsection 0130(b)(2) and all civilian counsel
must be sworn in each case. Counsel who have taken one-time
oaths administered by the Army, Air Force, or Coast Guard need
not again be sworn in courts-martial convened in the naval
service. The oaths used for counsel not administered a one-time
oath will be those prescribed in R.C.M. 807(b)(2)(discussion).
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(4) The following oath should be used in administering a

one-time oath to military counsel:
I, ________________________________, do swear (or

affirm) that I will faithfully perform the duties of
counsel in any court-martial to which I am detailed as
counsel, or in which I participate as individual
military counsel. [So help me God.]
c. Members.
(1) Detailing. See R.C.M. 503(a).
(2) Oaths. Court members may be given one oath for all
cases that are referred to the court-martial in accordance with
the convening order which detailed them as members. In the event
the convening order is amended, a new member may be sworn when he
or she arrives. This oath will be administered by any officer
authorized by Article 136, UCMJ, and section 0902 of this manual
to administer oaths. When court members are not sworn at trial,
the fact that they have previously been sworn will be recorded in
the transcript or record of trial. The oaths used for court
members will be those prescribed in R.C.M. 807(b)(2)(discussion).
d. Reporters, interpreters, escorts, bailiffs, clerks, and

guards.
(1) Qualifications of court reporters. At a minimum,

court reporters must be proficient in using courtroom equipment
(hardware and software) to make a primary and alternate audio
record of each judicial proceeding, preparing a transcript of the
proceeding, and compiling the record of trial. Each judicial
proceeding will have an assigned court reporter that is
responsible for certifying the record of trial.
(2) Appointment of reporters and interpreters.
(a) Reporters. In each case before a general or

special courts-martial or before a military commission, a court
reporter or reporters will be detailed by competent authority.
Detailed reporters must be proficient in recording the
proceedings of and the testimony taken before the court or
commission. A reporter may be detailed by the convening
authority of a summary court-martial, by the officer who orders a
preliminary hearing under Article 32, UCMJ, or by the officer who
directs the taking of a deposition. The reporter will preserve
the complete mechanical, voice, or digital record of the
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proceedings as provided in section 0151. Additional clerical

assistants may be detailed when necessary. See R.C.M. 501(c).
(b) Interpreters. In each case before a court-

martial or military commission, in each preliminary hearing
conducted under Article 32, UCMJ, and in each instance of the
taking of a deposition, the convening authority or the officer
directing such proceeding will appoint, when necessary, a
properly qualified and sworn interpreter for the court,
commission, preliminary hearing, or officer taking the
deposition.
(c) Manner of appointment. Appointment of reporters

and interpreters by the convening authority or authority
directing the proceedings may be effected personally or, at his
or her discretion, by any other designated person. Such
appointment may be oral or in writing.
(3) Oaths.
(a) Reporters. Any court reporter, military or

civilian, may be given a one-time oath. When the court reporter
is not sworn during the trial, the fact that he or she has been
previously sworn will be noted by the trial counsel and recorded
in the transcript or record of trial. Reporters will be sworn as
provided in R.C.M. 807(b)(2)(discussion).
(b) Interpreters. Interpreters will be sworn by the

trial counsel as provided in R.C.M. 807(b)(2)(discussion).
(4) Disqualification. Reporters, interpreters, escorts,

bailiffs, clerks, and guards will be disqualified as provided in
R.C.M. 502(e)(2).
(5) Duties. The duties of reporters, interpreters,

escorts, bailiffs, clerks, and guards will be as prescribed in
R.C.M. 502(e)(3), the Uniform Rules of Practice for U.S. Navy-
Marine Corps Trial Judiciary, individual circuit rules, and by
the military judge or trial counsel. A bailiff should be present
at every court-martial unless his or her presence is excused by
the military judge.
(6) Source and expenses of court reporters and

interpreters. Whenever possible, reporters, interpreters, and
clerical assistants will be detailed from either naval or
civilian personnel serving under, or at the disposal of, the
convening authority or officer directing the proceeding, or
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placed at his or her disposal by another officer or by other

federal agencies. When necessary, the convening authority or
officer directing the proceeding may employ, or authorize the
employment of, a reporter or interpreter, at the prevailing wage
scale, for duty with a general or special court-martial, a
military commission, a preliminary hearing under Article 32,
UCMJ, or at the taking of a deposition. No expense to the
government will be incurred by the employment of a reporter,
interpreter, or other person to assist in a court-martial,
military commission, Article 32 preliminary hearing, or the
taking of a deposition, except when authorized by the convening
authority or officer directing the proceeding. When interpreters
are not available locally, the convening authority or officer
directing the proceeding may communicate with Navy Personnel
Command or Commandant of the Marine Corps, as appropriate,
requesting that such assistance be provided or authorized.
e. Article 32 preliminary hearing officers in sexual assault

cases. The preliminary hearing officer in an Article 32, UCMJ,
preliminary hearing involving sex-related offenses will be a
judge advocate, qualified and certified in accordance with
Article 27(b), UCMJ, and sworn in accordance with Article 42(a),
UCMJ. For the purposes of this subsection, "sex-related
offenses" are violations of Articles 120, 120b, 120c, 125
(forcible sodomy for offenses committed prior to 1 January 2019),
UCMJ, or attempts to commit any of these offenses in violation of
Article 80, UCMJ.
f. Oaths of court-martial personnel. Where no form of oath

is specified in this section, the oaths set out in R.C.M.
807(b)(2)(discussion) will be used.
g. Rules of practice before courts-martial. All naval

service court-martial participants, including counsel, court
reporters, interpreters, clerks of court, and bailiffs, military
or civilian, will be governed in their courtroom conduct and in
their relationships with each other by the Uniform Rules of
Practice for U.S. Navy-Marine Corps Trial Judiciary.
0131 Standards for Determining Availability of Requested

Individual Military Counsel
a. General. Article 38(b)(3)(B), UCMJ, provides that an

accused has the right to be represented before a general or
special court-martial or at a preliminary hearing under Article
32, UCMJ, by military counsel of his or her own selection if that
counsel is "reasonably available." Counsel serving in the Army,
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Air Force, or Coast Guard, are reasonably available to represent

a Navy or Marine Corps accused if not otherwise unavailable
within the meaning of R.C.M. 506 or under regulations of the
Secretary concerned for the Department in which such counsel are
members. Because an accused has the right to civilian counsel in
addition to detailed counsel or individual military counsel,
retention of, or representation by, civilian counsel does not
extinguish the right to representation by individual military
counsel. It is the policy of the Secretary of the Navy that the
right to individual military counsel will be administered so as
not to interfere with orderly and efficient trials by court-
martial.
b. Definitions.
(1) Proceeding. As used in this section, “proceeding”

means a trial-level proceeding by general or special court-
martial or a preliminary hearing under Article 32, UCMJ.
(2) Determining authority.
(a) Judge advocates assigned to Navy commands. For

counsel assigned to a Region Legal Service Office or Defense
Service Office, the determining authority of the requested
counsel is defined as the commanding officer of the cognizant
office or, in cases of conflict, the respective Chiefs of Staff
as defined in the Naval Legal Service Command Manual; for counsel
assigned to the Naval Civil Law Support Activity, the Commanding
Officer, Naval Civil Law Support Activity; for counsel assigned
to the Navy-Marine Corps Appellate Review Activity, the Officer
in Charge, Navy-Marine Corps Appellate Review Activity; for all
other counsel assigned to OJAG, the Assistant Judge Advocate
General for Military Justice (Code 02). For all other Navy
counsel, the determining authority is defined as the commanding
officer or head of the organization, activity, or agency with
which requested military counsel will be serving at the time of
the proceeding. The detailing authority is not disqualified from
acting as the determining authority under this rule solely
because the detailing authority is also the convening authority.
(b) Judge advocates assigned to Marine commands. The

determining authority for judge advocates assigned to Marine
commands has been established by the Staff Judge Advocate to the
Commandant of the Marine Corps (SJA to CMC) in MCO 5800.16.
(3) Attorney-client relationship. For purposes of this

section, an attorney-client relationship exists between the
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accused and requested counsel when counsel and the accused have
had a privileged conversation relating to a charge pending before
the proceeding, and counsel has engaged in active pretrial
preparation and strategy with regard to that charge. A counsel
will be deemed to have engaged in active pretrial preparation and
strategy if that counsel has taken action on the case that
materially limits the range of options available to the accused
at the proceeding. But see, JAGINST 5803.1 (series) prohibiting
a counsel from establishing an attorney-client relationship until
properly detailed, assigned, or otherwise authorized.
(a) Actions by counsel deemed to constitute active

pretrial preparation and strategy that materially limit the range
of options available to the accused include, but are not limited
to: advising the accused to waive or assert a legal right, other
than simply asserting the right to remain silent, where the
accused has followed such advice by waiving or asserting that
right; representing the accused at a preliminary hearing under
Article 32, UCMJ, dealing with the same subject matter as any
charge pending before the proceeding; submitting evidence for
testing or analysis; advising the accused to submit to a
polygraph examination conducted by a government agency, where the
accused has followed such advice by so submitting; offering a
plea agreement on behalf of the accused; submitting a request for
an administrative discharge in lieu of trial on behalf of the
accused; or interviewing witnesses relative to any charge pending
before the proceeding.
(b) Actions that, in and of themselves, will not be

deemed to constitute active pretrial preparation and strategy
include, but are not limited to: discussing the legal and
factual issues in the case with the accused; discussing the legal
and factual issues in the case with another person under the
protection of the attorney-client privilege, such as another
defense counsel; performing legal research dealing with the
subject matter of the case; representing the accused in the
review of pretrial confinement under R.C.M. 305; representing the
accused in appellate review proceedings under Article 70, UCMJ;
or providing counseling to the accused concerning Article 15,
UCMJ. These actions should be appraised under a totality of the
circumstances test to determine if they constitute active
pretrial preparation and strategy.
(4) Reasonably available. All counsel serving on active

duty in the Navy or Marine Corps, certified in accordance with
Article 27(b), UCMJ, and not excluded by subsections
0131(b)(4)(a) through (c) below, may be determined to be
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"reasonably available" by the determining authority. In making

this decision, the determining authority will assess the effect
on the counsel’s unit should the requested counsel be made
available. In so doing, the determining authority may consider,
among others, the following factors: the anticipated duties and
workload of requested counsel, including authorized leave; the
estimated duration of requested counsel’s absence from the
command, including time for travel, preparation, and
participation in the proceeding; any unique or special
qualifications relevant to the proceeding possessed by requested
counsel; the ability of other counsel to assume the duties of
requested counsel; the nature and complexity of the charges or
the legal issues involved in the proceeding; the experience level
and any special or unique qualifications of the detailed defense
counsel; and the information or comments of the accused and the
convening authority. Counsel described below are not reasonably
available:
(a) Counsel who are flag or general officers;
(b) Counsel who are performing duties as trial

counsel; victims’ legal counsel (VLC); trial or appellate
military judge; appellate defense or government counsel; court
commissioner; principal legal advisor to a command, organization
or agency having general court-martial convening authority, or
the principal assistant to such legal advisor; instructor or
student at a college, university, service school, or academy; or
assigned as a commanding officer, executive officer, or officer
in charge; and
(c) Counsel who are assigned to any of the following

commands, activities, organizations, or agencies: Executive
Office of the President; Office of the Secretary of Defense;
Office of Military Commissions; Office of the Secretary of the
Navy; the Office of the Chairman of Joint Chiefs of Staff and the
Joint Staff; Office of the Chief of Naval Operations;
Headquarters, U.S. Marine Corps (except those assigned to Office
of the Chief Defense Counsel); National Security Agency; Defense
Intelligence Agency; Office of the Navy Judge Advocate General;
Navy-Marine Corps Appellate Review Activity; Naval Civil Law
Support Activity; Office of Legislative Affairs; Office of DoD or
DON Inspectors General; or any agency or department outside the
DoD.
(5) Requests for Navy counsel who are assigned 500 miles
or more from the situs of the proceedings, or who are
permanently assigned OCONUS for proceedings in CONUS or
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permanently assigned in CONUS for proceedings OCONUS, will be

approved by the Chief of Staff-Defense Service Office or the
Chief Defense Counsel as required, taking into account the
effects that approval of the request may have on the fair and
efficient administration of justice.
(6) Requests for Marine Corps counsel will be approved

in accordance with MCO 5800.16.
(7) Notwithstanding the limitations regarding officers

in charge set forth above, the determining authority has
discretion to make personnel serving as a commanding officer,
executive officer, or officer in charge available as counsel
under exceptional circumstances including, but not limited to,
the complexity of a particular case or lack of experienced
counsel otherwise available.
c. Submission and forwarding of requests.
(1) Submission. A request for individual military

counsel will be made in writing by the accused, or by counsel for
the accused on the accused’s behalf, and will be submitted to the
convening authority via the trial counsel. The burden is on the
accused or counsel for the accused to state in the request the
specific location and duties of requested counsel, if known, and
to state clearly whether the accused claims to have an attorney-
client relationship with requested counsel regarding one or more
charges pending before the proceeding, and the factual basis
underlying that assertion. The request will also state any
special qualifications of requested counsel that are relevant to
the case.
(2) Action by the convening authority.
(a) If requested counsel is not on active duty in the

Military Services, the convening authority will promptly deny the
request and inform the accused, in writing, citing this
provision.
(b) If the requested counsel is on active duty in the

Military Services, the request does not claim an attorney-client
relationship regarding any charge pending before the proceeding,
and the requested counsel is not reasonably available as defined
in subsection 0131(b)(4) above, the convening authority will
promptly deny the request and inform the accused, in writing,
citing this provision.
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(c) In all other cases, the convening authority will

forward the request to the determining authority, providing the
following in the forwarding endorsement: the nature of the
charges; the convening authority’s estimate of the duration of
requested counsel’s involvement in the proceeding, including time
for travel, preparation and participation in the proceeding; and
any other appropriate information or comments.
d. Action by the determining authority.
(1) Determining whether an attorney-client relationship

exists. Applying the criteria enumerated in subsection
0131(b)(3), above, the determining authority will determine
whether requested counsel has an attorney-client relationship
with the accused regarding any charge pending before the
proceeding.
(2) When there is an attorney-client relationship. If

the determining authority finds that there is an attorney-client
then the requested counsel should ordinarily be made available to
act as individual military counsel without regard to whether he
or she would otherwise be deemed reasonably available as defined
in subsection 0131(b)(4) above, unless there is "good cause" to
sever that relationship, and provided that requested counsel is
certified in accordance with Article 27(b), UCMJ. Good cause to
sever an attorney-client relationship includes, but is not
limited to, requested counsel’s release from active duty or
terminal leave. If requested counsel is not certified in
accordance with Article 27(b), UCMJ, the determining authority
will promptly deny the request and inform the accused, in
writing, citing this provision. If there is good cause to sever
an attorney-client relationship, the determining authority will
apply the criteria and procedures in subsection 0131(d)(3) below.
(3) When there is no attorney-client relationship. If

the determining authority finds that there is no attorney-client
the following procedures apply:
(a) If the determining authority finds that requested

counsel is not reasonably available as defined in subsection
0131(b)(4), above, the determining authority will promptly deny
the request and inform the accused, in writing, citing this
provision.
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(b) If the determining authority finds that requested

counsel is reasonably available, the requested counsel will be
made available to represent the accused at the proceeding, and
the determining authority will promptly inform the convening
authority and the accused of this determination.
e. Administrative review. The decision whether requested

counsel will be made available to act as individual military
counsel is an administrative determination within the sole
discretion of the determining authority. If the determining
authority declines to make the requested counsel available, the
accused may request a review of that determination to the next
higher commander or level of supervision in accordance with
R.C.M. 506(b)(2).
f. Approval of associate defense counsel. If individual

military counsel has been made available to defend an accused at
a proceeding, the detailed defense counsel normally will be
excused from further participation in the case unless the
authority who detailed the defense counsel, in his or her sole
discretion, approves a request from the accused that detailed
defense counsel act as associate defense counsel. The
seriousness of the charges, the retention of civilian defense
counsel, the complexity of legal or factual issues, the detailing
of additional trial counsel, trial defense counsel training, and
the stage of the proceedings are among the factors that may be
considered in the exercise of this discretion. This decision is
not subject to administrative review.
0132 Article 32 Preliminary Hearings
a. The preliminary hearing officer. The preliminary

hearing officer presiding over the Article 32, UCMJ, hearing
will be a judge advocate, qualified and certified in accordance
with Article 27(b), UCMJ, and sworn in accordance with Article
42(a), UCMJ. In exceptional circumstances and in the interest
of justice, a line officer may be detailed as a preliminary
hearing officer. However, only a judge advocate may be detailed
as a preliminary hearing officer in cases involving sex-related
offenses under Articles 120, 120b, 120c, 125 (forcible sodomy
for offenses committed prior to 1 January 2019), UCMJ, or
attempts thereof under Article 80, UCMJ. See MCO 5800.16 for
additional Marine Corps preliminary hearing officer
requirements.
b. Counsel for accused request to interview victim of

alleged sex-related offense prior to Article 32 hearing.
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(1) In any case where offenses involve violation of

Articles 120, 120a, 120b, 120c, or 125 (for forcible sodomy
offenses committed prior to 1 January 2019), UCMJ, or attempts
thereof under Article 80, UCMJ, counsel for the government, if
intending to call any victim(s) of such an offense to testify
during the Article 32 preliminary hearing will notify, in
writing, the counsel for the accused with the name of such
victim(s).
(2) Following receipt of notice under subsection

0132(b)(1) above, counsel for the accused will make any request
to interview the named victim through VLC, if applicable. If
requested by an alleged victim who is subject to a request for
interview, any interview of the victim by counsel for the
accused shall take place only in the presence of trial counsel,
VLC, or, if applicable, a victim advocate.
(3) As used in subsection 0132(b), "victim" means an

individual who has suffered direct physical, emotional, or
pecuniary harm as a result of the commission of an offense under
the UCMJ identified in subsection 0132(b)(1).
c. Audiovisual technology. The preliminary hearing officer

may order the use of audiovisual technology, such as video-
teleconferencing technology, among the parties and the
preliminary hearing officer for purposes of Article 32, UCMJ,
proceedings, consistent with similar provisions guiding Article
39(a), UCMJ, sessions and R.C.M. 804 and 805. Use of such
audiovisual technology will satisfy the presence requirement of
the accused only when the accused has a defense counsel
physically present at his or her location or when the accused
consents to presence by remote means with the opportunity for
confidential consultation with defense counsel during the
proceeding. Such technology may include two or more remote
sites as long as all parties can see and hear each other.
0132a Certain Proceedings Conducted Before Referral
a. Scope of Article 30a proceedings. A military judge or

military magistrate may be detailed to conduct pre-referral
proceedings consistent with Article 30a, UCMJ, and R.C.M. 309.
b. Procedures for Article 30a hearings.
(1) If a counsel requests an Article 30a proceeding,

that counsel will submit a request in writing to the circuit
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military judge or circuit military judge’s designee. The

request will include the basis for the proceeding and any
evidence the counsel requests the court consider.
(2) Generally, information establishing probable cause

should be submitted in an affidavit unless exigent circumstances
require sworn oral testimony and the military judge agrees to
take sworn oral testimony. If the applicant for a warrant or
order wishes to offer sworn oral testimony to establish probable
cause, the trial counsel must request in writing an ex parte
closed hearing under Article 30a, UCMJ. This hearing must be
recorded and the record of the proceeding will be provided to
the convening authority or commander with authority to dispose
of the charges or offenses in the case.
0132b Investigative Subpoenas
a. Contents of investigative subpoenas. In the case of a

subpoena issued before referral for the production of evidence
for use in an investigation, the subpoena shall command each
person to whom it is directed to produce the evidence requested
for inspection by the Government counsel who issued the subpoena
or for inspection in accordance with an order issued by the
military judge under R.C.M 309(b).
b. Notice required. After preferral, a subpoena requiring

the production of personal or confidential information about a
victim may be served on an individual or organization in
possession of such evidence. Before issuing a subpoena, unless
there are exceptional circumstances, the victim must be given
notice so the victim may move for relief or otherwise object.
c. Requests for relief and orders of enforceability. If a

victim named in a specification whose personal or confidential
information has been subpoenaed under R.C.M. 703(g)(3)(C)(ii)
objects to the subpoena, or a person subpoenaed requests relief,
the military judge will order a session of court under Article
30a, UCMJ, at which the military judge will consider any
arguments presented by the person subpoenaed, victim or VLC, and
trial counsel. This hearing must be recorded and the record of
the proceeding will be immediately provided to the convening
authority or commander with authority to dispose of the charges
or offenses in the case. At the conclusion of the hearing, the
military judge may quash, modify, or order compliance with the
investigative subpoena, as appropriate.
0132c Warrants and Orders

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a. Contents of applications for warrants and orders. An

application for a warrant or order for electronic communications
under R.C.M. 703A, should contain, at a minimum, all of the
following information:
(1) Name of the accused, if known;
(2) Identity of the service provider from whom the

electronic information is sought;
(3) Description of the electronic information sought;
(4) Identity of the person to whom the information

pertains;
(5) The crime(s) to which the evidence relates (UCMJ

article and title of offense);
(6) Information that establishes a sufficient basis for

granting the request:
(a) If seeking a warrant, the application must

contain pertinent facts that establish probable cause that the
information sought contains evidence of a crime. Ordinarily,
information establishing probable cause should be submitted in a
written affidavit.
(b) If seeking an order, the application must

contain specific and articulable facts that establish reasonable
grounds to believe that the information sought is relevant and
material to an ongoing criminal investigation.
(7) Request for non-disclosure order if applicable; and
(8) Draft warrant or order enclosed for a

military judge to sign, which should contain, at a minimum, the
following information:
(a) Identity of the service provider who is being

required to disclose the information;
(b) Description of the electronic information to

be obtained;
(c) A deadline for executing the warrant, not to
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exceed 14 days from the date on which the warrant is granted;

and
(d) Written requirement for an inventory of the

electronic content obtained in the execution of the warrant, to
be returned to the trial counsel along with the original
warrant.
b. Non-disclosure orders. The applicant may seek a

non-disclosure order in conjunction with the warrant or order if
there is reason to believe that notification to the subscriber
or customer by the service provider would result in:
(1) Endangering the life or physical safety of any

individual;
(2) Flight from prosecution;
(3) Intimidation of witnesses; or,
(4) Otherwise seriously jeopardizing the investigation

or unduly delaying a trial.
c. Submission of applications for warrants and orders. All

applications for warrants or orders will be presented by a trial
counsel in the applicable circuit to the circuit military judge
or circuit military judge’s designee in the circuit where the
warrant or order is sought. Only a trial counsel in the
applicable circuit may present the application. The application
must be sworn to and signed by the applicant or his or her
designee. If, after reviewing the application, the military
judge determines that the evidentiary basis is met, the military
judge will grant the warrant or order, subject to any
limitations that the military judge deems appropriate under the
circumstances. If the military judge determines the evidentiary
basis has not been met, he or she will return the application to
the trial counsel. The applicant may modify the application for
further review. Ex parte communications will be kept to a
minimum during the military judge’s review, except at a recorded
Article 30a, UCMJ, hearing.
d. Requests for relief and orders of enforceability. If,

after granting a warrant or order for electronic communications
under R.C.M. 703A, the military judge receives a motion from the
service provider to quash or modify the warrant or order, the
military judge will order a session of court under Article 30a,
UCMJ, at which the military judge will consider any arguments
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presented by the service provider and trial counsel. This

hearing must be recorded and the record of the proceeding will
be immediately provided to the convening authority or commander
with authority to dispose of the charges or offenses in the
case. At the conclusion of the hearing, the military judge may
quash, modify, or order compliance with the warrant or order, as
appropriate.
0133 Additional Matters in Convening Orders
a. General. Each convening order will be assigned a

court-martial convening order number. The convening order will
be personally signed by the convening authority and will show his
or her name, grade, and title, including organization or unit. A
copy of the convening order will be furnished to each person
named in the order. A convening order is not valid if signed “by
direction” (i.e., the authority to sign a convening order cannot
be delegated), but it may be signed by an officer to whom command
has devolved in accordance with U.S. Navy Regulations or
applicable case law.
b. Alternates. Every convening order must designate the

members, if any, as outlined in R.C.M. 504(d). Every convening
order shall state whether alternate members are authorized in
accordance with R.C.M. 503(a)(1)(C). If the convening authority
authorizes the use of alternate members, the convening order will
state whether the military judge is (1) authorized to impanel a
specified number of alternate members; or (2) authorized to
impanel alternate members only if, after the exercise of all
challenges, excess members remain.
c. Military judge alone special court-martial pursuant to

Article 16(c)(2)(A), UCMJ. A convening authority may refer a
case to a military judge alone special court-martial pursuant to
Article 16(c)(2)(A), UCMJ, when all offenses are alleged to have
been committed on or after 1 January 2019. A military judge
alone special court-martial authorized by Article 16(c)(2)(A) is
convened with the use of a convening order or at the time of
referral by annotating section V of the charge sheet as follows:
“Referred for trial to the special court-martial convened by
(name of convening authority) (date), subject to the following
instructions: This case is to be tried as a special court-martial
consisting of a military judge alone pursuant to UCMJ, Article
16(c)(2)(A).”
d. Summary courts-martial. A convening authority may

refer a case to a summary court-martial pursuant to Article
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16(d), UCMJ, by using a convening order appointing a

commissioned officer as the summary court-martial officer, or,
at the time of referral, by annotating section V of the charge
sheet as follows: “Referred for trial to the summary court-
martial convened by (name of convening authority) on (date).”
0134 Additional Matters in the Case of Certain Reserve Component

Personnel
a. Holdover of Reserve Component personnel on active duty.

Reserve Component personnel on active duty may be extended
involuntarily beyond their normal release date from active duty
as a result of apprehension, arrest, confinement, investigation,
or preferral of charges that may result in trial by court-martial
and execution of any sentence of a court-martial. See R.C.M.
202(c).
b. Holdover of Reserve Component personnel on inactive-duty

training.
(1) Reserve Component personnel on inactive-duty training

may be retained in such status by an officer empowered to convene
courts-martial for not more than two full working days past the
end of the last inactive-duty training period if:
(a) There is probable cause to believe the accused

committed an offense for which the maximum punishment authorized
is confinement for more than ten years or death;
(b) Approval, either oral or written, for holdover is

obtained before expiration of inactive-duty training from a GCMCA
in the chain of command of the accused, as designated in section
0120, and superior in grade to the requesting officer; and
(c) Immediate action IAW section 0123 is taken to

order the member to active duty for trial by court-martial.
(2) An accused held over under subsection 0134(b) may be

placed in pretrial confinement as circumstances warrant (see
R.C.M. 304-305). The order to active duty in such a case,
however, must be approved by the Secretary of the Navy, Under
Secretary of the Navy, or Assistant Secretary of the Navy, no
later than two full working days past the end of the last
inactive-duty training period. The request for an order to
active duty under subsection 0134(b) will state the reasons why
pretrial confinement is deemed necessary. See subsection
0123(c).
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(3) If necessary, the request to order an accused to

active duty may be made directly by message or telephone.
c. Extension of reserve term of service.
(1) Reserve Component personnel that are nearing the end

of their reserve term of service may have their term of service
involuntarily extended if they are being actively investigated
with a view toward court-martial pursuant to R.C.M. 202 and 204.
(2) All requests to involuntarily extend members of the

Reserve Component beyond their reserve term of service must be
approved by the GCMCA with administrative control over the
individual.
d. Sentences to forfeiture or fine.
(1) Forfeiture. Pay subject to forfeiture refers to the

basic pay of the person plus any sea or hardship duty pay. If
punishment includes reduction in grade, forfeiture will be based
on the grade to which the accused is reduced. See DoD 7000.14-R,
Volume 7A, Chapter 48, for guidance on how forfeiture may be
carried over to subsequent periods of inactive-duty training or
active duty pursuant to R.C.M. 204.
(2) Fine. Fines in the case of Reserve Component

personnel permanently assigned to an inactive-duty training unit
will be based on the total amount subject to forfeiture at the
time adjudged.
e. Sentences involving restraint on liberty.
(1) Personnel on inactive-duty training. If the sentence

pertains to Reserve Component personnel on inactive-duty
training, restraint on liberty will not extend beyond the normal
inactive-duty training period but may be carried over to
subsequent periods of inactive-duty training or active duty. A
Reserve Component member on inactive duty may not be ordered to
active duty for the sole purpose of serving such punishment
unless the order to active duty receives Secretarial approval.
See section 0123.
(2) Personnel on active duty. If the sentence pertains

to Reserve Component personnel who have been ordered to active
duty for disciplinary proceedings, the period of active duty may
not be extended for the purpose of serving such punishment, nor
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may a sentence to confinement be adjudged, unless the order to

active duty received Secretarial approval. See section 0123.
Subpart C2 - Trial Matters
0135 Article 39(a), UCMJ, Sessions
a. General. Article 39(a), UCMJ, sessions will be called by

order of the military judge. Any counsel may request an Article
39(a) session to present oral argument or have an evidentiary
hearing concerning the disposition of written motions, but such
motions may be disposed of without a session. Where there is a
VLC in the case, VLC shall be notified of the Article 39(a)
session in advance. The military judge of a general or special
court-martial may, at an Article 39(a) session, arraign the
accused, hear arguments and rule on motions, and receive the
pleas of the accused. If the accused pleads guilty, the military
judge may at that time make the appropriate inquiry into the
providence of the accused’s plea. The military judge may also at
that time accept the plea of the accused. Upon acceptance of a
plea of guilty, the military judge is authorized to enter a
finding of guilty immediately except when the plea is to a lesser
included offense and the prosecution intends to proceed to trial
on a greater offense.
b. Audiovisual technology. Consistent with R.C.M. 804 and

805, the military judge may order the use of audiovisual
technology, such as video-teleconferencing technology, among
counsel, the military judge, and witnesses for purposes of
Article 39(a), UCMJ, sessions. Such technology may include two
or more remote sites as long as all parties can see and hear each
other, and the Article 39(a), UCMJ, session can be properly
recorded.
0136 Delegation of Authority to Excuse Members
A general court-martial or special court-martial convening

authority may delegate authority to excuse members before
assembly to the staff judge advocate or to a principal assistant
consistent with R.C.M. 505(c)(1)(B), MCM.
0137 Plea Agreements
a. Major federal offenses. The authority of court-martial

convening authorities to refer cases to trial and to approve plea
agreements extends only to trial by court-martial. In order to
ensure that such actions do not preclude appropriate action by
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Federal civilian authorities in cases likely to be prosecuted in

the U.S. District Courts, court-martial convening authorities
will ensure that appropriate consultation under the Memorandum of
Understanding between the Departments of Defense and Justice has
taken place before trial by court-martial or approval of a plea
agreement in cases where such consultation is required, See DoD
Instruction 5525.07.
b. Consultation. Convening authorities should consult with

the staff judge advocate or trial counsel before acting on an
offer to enter into a plea agreement. Some of the factors to be
considered when entering into a plea agreement are listed in the
Non-Binding Disposition Guidance, Appendix 2.1, MCM. Pursuant to
R.C.M. 705(e)(3)(B), convening authorities must provide a victim
an opportunity to provide input on a proposed plea agreement. If
the victim chooses to provide input, then the convening authority
must consider that input.
c. Limitations. For limitations that apply to the authority

of court-martial convening authorities to agree to terms in a
plea agreement. See Article 60a, UCMJ, and R.C.M. 1107.
d. Cases with charged offenses that occurred both before and

after the effective date of the Military Justice Act of 2016 (1
January 2019). In these cases, the convening authority may enter
into a plea agreement that uses the Military Justice Act of 2016
(MJA 16) sentencing rules if:
(1) The accused agrees to plead guilty to at least one

offense that occurred on or after 1 January 2019;
(2) The accused affirmatively elects to have the MJA 16

sentencing rules apply; and,
(3) The plea agreement contains a provision stating that

the accused elected to have the MJA 16 sentencing rules apply.
Otherwise, the sentencing rules in effect prior to MJA 16 apply,

as long as the accused pleads guilty to at least one offense that
occurred prior to 1 January 2019. Compare R.C.M. 705(d)(2),
(MCM 2019) with R.C.M. 705, (MCM 2016); see also R.C.M. 902A,
(MCM 2019).
0138 Authority to Grant Immunity from Prosecution
a. General. A GCMCA, or his or her designee, has the

authority to grant immunity to a witness. See R.C.M. 704(c)(3)
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for limitations on a GCMCA’s ability to delegate this authority.

This authority may be exercised in any case, whether or not
formal charges have been preferred, and whether or not the matter
has been referred for trial. The approval of the Attorney
General of the United States on certain orders to testify may be
required, as outlined below.
b. Procedure. The written recommendation that a certain

witness be granted immunity in consideration for testimony deemed
essential to the Government or to the defense will be forwarded
to any officer competent to convene a general court-martial for
the witness for whom immunity is requested. Such recommendation
will be forwarded by the trial counsel or defense counsel in
cases referred for trial, the preliminary hearing officer
conducting an investigation upon preferred charges, the counsel
or recorder of any other fact-finding body, or the investigator
before the preferral of charges. The recommendation will state
in detail why the testimony of the witness is deemed so essential
or material that the interests of justice cannot be served
without the grant of immunity. The GCMCA, or his or her
designee, will act upon such request after referring it to his or
her staff judge advocate for consideration and advice. If
approved, a copy of the written grant of immunity must be served
upon the accused or his or her defense counsel within a
reasonable time before the witness testifies. Additionally, if
any witness is expected to testify in response to a promise of
leniency, the terms of the promise of leniency must be reduced to
writing and served upon the accused or his or her defense counsel
in the same manner as a grant of immunity.
c. Civilian witnesses. Pursuant to 18 U.S.C. §§ 6002 and

6004, if the testimony or other information of a civilian witness
at a court-martial may be necessary in the public interest, and
if the civilian witness has refused or is likely to refuse to
testify or provide other information on the basis of a privilege
against self-incrimination, then the approval of the Attorney
General of the United States, or his or her designee, must be
obtained before the execution or issuance of an order to testify
to such civilian witness. The cognizant GCMCA, or his or her
designee, must obtain the approval of the Attorney General by
forwarding a request using the Department of Justice form in the
Department of Justice Criminal Resource Manual at 721 (available
online at: https://www.justice.gov/jm/criminal-resource-manual-
720-authorization-procedure-immunity-requests), via OJAG (Code
20) for Navy cases, via HQMC (JA) in Marine cases, and via OJAG
(Code 30) in all national security cases. Requesters should
allow at least eight weeks for action on such requests, and must
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send copies of the charge sheet, relevant portions of the

investigation, and the draft grant of immunity and order to
testify.
d. Cases involving national security. In all cases

involving national security or foreign relations of the United
States, the cognizant GCMCA will forward a proposed grant of
immunity using the Department of Justice form prescribed in
subsection 0138(c) to OJAG (Code 20) or HQMC (JA), as
appropriate, via OJAG (Code 30) for consultation with the
Department of Justice. Such cases include, but are not limited
to, those enumerated in section 0126. See section 0125 regarding
investigations, limitations on dispositional authority, and
relations between the Departments of Defense and Justice. See
section 0162 regarding remission and suspension of sentences in
national security cases.
e. Review. Under some circumstances, the officer granting

immunity to a witness may be disqualified from taking action on
the record of the trial at which the immune witness testified. A
successor in command who did not participate in granting the
immunity would not be disqualified under those circumstances.
f. Form of grant. See Appendix A-1-k (testimonial) and

Appendix A-1-l (transactional).
0139 Post-Testimony Procedure When Authority to Grant Immunity

Was Obtained from the Attorney General
After a civilian witness immunized in accordance with section

0138 has testified, the following information will be provided to
the U.S. Department of Justice, Witness Immunity Unit, via OJAG
(Code 20) in Navy cases or via HQMC (JA) in Marine cases:
(1) Name, citation, or other identifying information, of

the proceeding in which the order was requested;
(2) Date of the examination of the witness;
(3) Name and residence address of the witness;
(4) Whether the witness invoked the privilege;
(5) Whether the immunity order was used;
(6) Whether the witness testified pursuant to the order;

and,
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(7) If the witness refused to comply with the order,

whether contempt proceedings were instituted, or are
contemplated, and the result of the contempt proceeding, if
concluded.
0140 Rules for Government Appeals Under Article 62, UCMJ,

Petitions for Extraordinary Relief, and Victim Petitions for
Writs of Mandamus
a. Government appeals under Article 62, UCMJ. Trial

Counsel will coordinate with Navy or Marine Corps Trial Counsel
Assistance Program (TCAP) and the Appellate Government Division
(Code 46) before filing any notice of appeal under R.C.M.
908(b)(3). Initial telephone contact for coordination should be
made with TCAP and the Deputy Director, Appellate Government
Division. The Director, Appellate Government Division (Code 46)
is the designated representative of the Government under R.C.M.
908(b)(2) and will decide whether the notice of appeal will be
filed with the cognizant military judge. Government appeal
packages will be mailed to Director, Appellate Government
Division (Code 46) within 15 calendar days of service of the
notice of appeal on the military judge. The envelope must be
prominently marked as follows: GOVERNMENT APPEAL—NOTIFY
DIRECTOR, APPELLATE GOVERNMENT DIVISION IMMEDIATELY. DO NOT
OPEN IN MAIL ROOM. See also, Navy-Marine Corps Court of Criminal
Appeals Rules of Practice and Procedure. The appeal package
must contain the following:
(1) Notice of appeal. See R.C.M. 908(b). The 72-hour

period referenced in R.C.M. 908(b) does not begin until the
military judge renders a ruling or order on the record in
accordance with R.C.M. 801(f). The certificate of service of
the notice of appeal must reflect the date and time of the
military judge’s ruling or order from which the appeal is taken,
and the date and time of service upon the military judge.
(2) Letter of justification. The appeal package must

contain a letter from trial counsel to the Director, Appellate
Government Division (Code 46)that contains: a statement of the
issues appealed; explanation of why the appeal is being taken;
and a description of the anticipated relevant consequences
should the military judge’s ruling be permitted to stand; the
effect on other pending cases; the unique import of the case to
discipline, morale, or the integrity of military justice; and
any other relevant circumstances not apparent in the record of
trial.
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(3) Record of trial. In conjunction with the Notice of

Appeal, when required under R.C.M. 905(d) or when necessary to
facilitate prompt resolution of the appeal, the military judge
will state his or her essential findings of fact and conclusions
of law in support of the decision being appealed. Except in
extraordinary circumstances, an original certified record of
trial, prepared in accordance with R.C.M. 1112(b) to the
greatest extent possible, including the military judge’s
essential findings of fact and conclusions of law, will be
submitted as part of the appeal package. A certified verbatim
transcript of the relevant portions of the trial proceedings
must also be attached to the certified record of trial. A
digital copy of the certified record of trial with all
attachments will be provided on either CD or DVD or sent through
secure electronic means to OJAG (Code 46). If any delay
involving preparation of the record of trial or certification is
anticipated, the trial counsel will promptly notify the
Director, Appellate Government Division (Code 46), and forward
the uncertified record of trial as soon as it is available, to
be followed by the certified record of trial.
b. Government petitions for extraordinary relief. The

Director, Appellate Government Division (Code 46), will decide
whether the Government will petition for extraordinary relief.
Trial counsel will coordinate with the Director, TCAP (Navy or
Marine Corps) and the Director, Appellate Government Division
(Code 46) before any notice of intent to seek extraordinary
relief is provided to a trial judge.
c. Defense petitions for extraordinary relief.
(1) Trial defense counsel should consult with DCAP (Navy

or Marine Corps) and coordinate with the Director, Appellate
Defense Division (Code 45) before a petition for extraordinary
relief on behalf of an accused is filed.
(2) Petitions for extraordinary relief, which are filed

by trial defense counsel, must be forwarded to the appropriate
court, with a copy forwarded to: Director, Appellate Government
Division (Code 46).
(3) The Director, Appellate Defense Division (Code 45),

as designated by the Judge Advocate General under Article 70,
UCMJ, may appoint appellate defense counsel to represent the
accused in connection with the petition for extraordinary
relief.
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d. Victim petitions for writs of mandamus.
(1) A victim may petition the Navy-Marine Corps Court of

Criminal Appeals for a writ of mandamus to require the court-
martial or preliminary hearing officer in an Article 32 UCMJ,
hearing to comply with Article 6b, UCMJ, and Military Rules of
Evidence 412, 513, 514, and 615. A victim may also petition the
Navy-Marine Corps Court of Criminal Appeals for a writ of
mandamus to quash an order to testify at a deposition. To the
extent practicable, such petitions will have priority over all
other proceedings before the court.
(2) Petitions for writs of mandamus, which are filed by

or on behalf of a victim, will be forwarded directly to the
appropriate court, with a copy forwarded to: Director, Appellate
Government Division (Code 46) and Director, Appellate Defense
Division (Code 45).
(3) As used in this subsection, “victim” means an

individual who has suffered direct physical, emotional, or
pecuniary harm as a result of the commission of an offense under
the UCMJ.
e. No rights given. Nothing in this section creates or is

intended to create an independent right by an accused or victim
to challenge a government appeal.
0141 Personal Data and Character of Prior Service of the Accused
If otherwise admissible, trial counsel are authorized to present

and summary court-martial officers are authorized to obtain, and
introduce into evidence, records of nonjudicial punishment,
provided that those records reflect offenses committed during the
current enlistment or period of service of the accused. Nothing
in this section precludes admission of personnel records
otherwise admissible referencing the underlying misconduct that
formed the basis for the nonjudicial punishment (e.g., counseling
records, fitness reports, and evaluations). See R.C.M.
1001(b)(2), MCM.
0141a Personally Identifiable Information in Records of Trial
a. General. Unless otherwise required by law, the Rules for

Courts-Martial, or the Military Rules of Evidence, personally
identifiable information (defined as Protected Personal
Information by SECNAVINST 5211.5 (series), DON Privacy Program),
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should ordinarily be omitted from all dockets, filings,

pleadings, court records, and exhibits that counsel intend to use
at any court proceeding including the Article 32, UCMJ,
preliminary hearing, or that may otherwise be included in the
record of trial. The responsible counsel must redact all
documents, dockets, filings, pleadings, court records, and
exhibits prior to submitting the document to the court or
preliminary hearing officer in accordance with JAGINST
5813.2(series).
b. Matters under seal. When any Federal law, the Rules for
Courts-Martial, or the Military Rules of Evidence preclude
omission or redaction, the counsel submitting such filing or
court record should request that such matters be placed under
seal or the military judge issue a protective order.
c. Race, ethnicity, and gender data. In accordance with

Section 540I(b)(1) of the National Defense Authorization Act
(NDAA) for Fiscal Year 2020, the Secretary of Defense has
mandated the Military Departments record race, ethnicity, and
gender of the accused and victim(s) in all courts-martial. In
order to meet this requirement, the race, ethnicity, and gender
of the accused and victim(s) must be documented in the electronic
case management system. This data will be obtained from the NCIS
Report of Investigation (ROI), or for cases not within NCIS
purview, from service specific personnel systems such as the
Navy Standard Integrated Personnel System (NSIPS) or the Marine
Corps Total Force System (MCTFS). If the victim is a civilian,
the cognizant RLSO or LSSS will request this information from
the civilian victim or legal representative. A civilian victim
is under no obligation to provide this information.
(1) Only the following categories may be used for race:
(a) American Indian/Alaska Native
(b) Asian
(c) Black or African American
(d) Native Hawaiian or Other Pacific Islander
(e) White
(f) Other: Use this definition for an accused or

victim who associates with multiple races or a race is not
listed.
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(g) Civilian victim declined to provide
(2) Only the following categories may be used for

ethnicity:
(a) Hispanic or Latino
(b) Not Hispanic or Latino
(c) Civilian victim declined to provide
(3) Only the following categories may be used for

gender:
(a) Male
(b) Female
(c) Civilian victim declined to provide
0142 Release of Information Pertaining to the Administration of

Military Justice and Accused Persons
a. General. Public information and access to military

judicial proceedings promotes public awareness and confidence in
the military justice system. The task of striking a fair
balance among the protection of individuals accused of offenses,
improper or unwarranted publicity concerning their cases, public
understanding and transparency of the military justice system,
and the state of discipline in the military, requires the
exercise of sound judgment by both those responsible for
administering military justice and those providing information
to the public and the media. No statements or other information
will be furnished to the news media or any other source for the
purpose of prejudicing the outcome of an accused’s trial, or
which could reasonably be expected to have such an effect.
b. Applicability of regulations.
(1) Except as provided in subsection (2) below, these

regulations apply to all persons who may obtain information as
the result of duties performed in connection with the
administration of military justice involving accused persons, the
investigation of suspected offenses, the imposition of
nonjudicial punishment, or the trial of persons by court-martial.
These regulations are applicable from the time of apprehension,
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the preferral of charges, or the commencement of an investigation

directed to make recommendations concerning disciplinary action,
until the imposition of nonjudicial punishment, completion of
trial (court-martial sessions), or disposition of the case
without trial. If nonjudicial punishment is imposed, section
0115 governs. These regulations also prescribe guidelines for
the release or dissemination of information to public news
agencies, to other public news media, or to other nongovernmental
persons or agencies. Release of information to victims and
witnesses of crime is controlled by the Victim and Witness
Assistance Program, SECNAVINST 5800.11 (series).
(2) All attorneys practicing under the cognizance of the

Judge Advocate General or otherwise subject to the professional
supervision of the Judge Advocate General in accordance with
R.C.M. 109, who represent an individual client other than the
Government will consult the applicable provisions of JAGINST
5803.1 (series), Professional Conduct of Attorneys Practicing
Under the Cognizance and Supervision of the Judge Advocate
General, when making any statements concerning an accused or the
subject matter of their representation of the accused. See Rules
1.6 (Confidentiality of Information), 3.6 (Extra-Tribunal
Statements), and 4.1 (Truthfulness in Statements to Others).
c. Release and dissemination of information. The release

and dissemination of information pertaining to military justice
matters, including accused persons, will be accomplished
primarily via the convening authority’s public affairs officer
or communication strategy and operations officer. Requests for
information received from representatives of news media will be
referred to the public affairs officer or communication strategy
and operations officer for action. When an individual is
suspected or accused of an offense, any public statement
regarding the case must indicate that the individual is presumed
innocent unless and until proven guilty and that charges are
only allegations until proven otherwise in a court of law. The
public affairs officer or communication strategy and operations
officer will not answer specific questions or requests for
information regarding the accused’s defense and will forward all
such requests to the cognizant Defense Service Office or the
Defense Counsel Assistance Program. Where public interest is
evident, information in subsection (d) below and other
appropriate information about the proceedings may be
disseminated to the public.
d. Additional information subject to release. Upon inquiry,

the following information concerning a person accused of an
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offense or offenses, in addition to the information in subsection

(c) above, may generally be released through the cognizant public
affairs officer or communication strategy and operations officer,
without elaboration:
(1) After charges are referred to a general or special

court-martial, the accused’s name, grade, age, unit, duty
station, gender, and a releasable biography may be released. A
charge sheet that has been redacted to comply with the Privacy
Act shall also be released after referral, and it may be released
prior to referral in exceptional circumstances at the discretion
of the convening authority. A statement explaining that the
charge is merely an accusation and that the accused is presumed
innocent unless and until proven guilty shall accompany the
release of this information.
(2) In the case of Article 32, UCMJ, preliminary hearing,

the purpose of which is to develop a pre-decisional
recommendation regarding disposition of charges, the accused’s
name will not be released except in those cases where the
accused’s identity has otherwise been made public (e.g., if
members of the media attend the Article 32, UCMJ, preliminary
hearing).
(3) The identity of the apprehending and investigating

agency.
(4) The fact, time, and place of the apprehension of the

accused and the nature of any pre-trial restraint imposed.
(5) The result of any stage in the judicial process

(e.g., referral of charges, pre-trial proceedings and motions,
panel selection, findings, sentencing, etc.).
(6) The denial by the accused of any offense or offenses

of which he or she may be accused or suspected when release of
such information is approved by the counsel of the accused.
e. Prohibited information. The following information

concerning a person accused or suspected of an offense or
offenses may not be released, except as provided in subsection
(f). The prohibitions under this section are not meant to be
restrictive of information that has otherwise become part of the
public record.
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(1) Subjective opinions, observations, or comments

concerning the accused’s character, demeanor, credibility,
expected testimony, or guilt of the offense or offenses involved.
(2) The prior criminal record, including other

apprehensions, charges, or trials, or reputation of the accused.
(3) The existence or contents of any confession,

admission, statement, or alibi given by the accused, or the
refusal or failure of the accused to make any statement.
(4) The performance of any examination or test, such as

polygraph examinations, chemical tests, ballistics tests, etc.,
or the refusal or failure of the accused to submit to an
examination or test.
(5) The identity or nature of physical evidence expected

to be presented, or the identity, testimony, or credibility of
possible witnesses, including victims.
(6) Statements or comments concerning information or

evidence which is known, or which reasonably should be known, to
be inadmissible before a court-martial.
(7) The possibility of a plea of guilty to any offense

charged or to a lesser offense and any negotiation or any offer
to negotiate respecting a plea of guilty.
(8) References to confidential sources or investigative

techniques or procedures.
(9) Statements or opinions regarding the credibility,

reputation, motives, or character of DoD military or civilian
officials.
(10) Any other matter when there is a reasonable

likelihood that the dissemination of such matter will affect the
deliberations of an investigative body or the findings or
sentence of a court-martial, or otherwise prejudice the due
administration of military justice either before, during, or
after trial.
f. Scope. The provisions of this section are not intended

to restrict the release of information designed to enlist public
assistance in apprehending an accused or suspect who is a
fugitive from justice or to warn the public of any danger that a
fugitive accused or suspect may present – such release of
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information is authorized. In addition, release of information

that the suspect is under investigation or the accused is pending
charges may be provided, regardless of whether a request is made,
to other federal, state, local, or foreign agencies, if those
agencies are responsible for investigating or prosecuting the
said violation or are responsible for enforcing or implementing
the statute, rule, or regulation pursuant thereof. The
information to be released must be compatible with the specific
purpose for which the information was collected. Before
releasing information to another agency, the Privacy Act and
applicable DoD routine uses should be consulted. For questions
regarding the proper release of information to other agencies,
consult OJAG (Code 13).
g. Public access to court-martial information. In order to

facilitate public awareness, further understanding, instill
trust, and to afford access to information about the military
justice system, information pertaining to the results of military
justice proceedings will be made public via appropriate methods,
unless contrary to national security interests.
(1) Court dockets.
(2) Results of courts-martial, including the general

nature of the charges and sentence and, upon conviction, the name
of the accused. In the case of an acquittal, the rank of the
accused will be released, but not his or her name.
(3) Upon certification of the record of trial, certain

other records will be disseminated in accordance with Article
140a, UCMJ, and JAGINST 5813.2 (series).
(4) Freedom of Information Act. The general public may

obtain more detailed records of trial from the OJAG Code 40’s
(Military Justice Information) Freedom of Information Act Branch.
h. Consultation. Consultation with the staff judge advocate

or cognizant RLSO concerning interpretation and application of
these instructions is encouraged.
0142a Victim Notification Requirements – Military Justice

Process
a. General. All individuals (military or civilian) who

report to law enforcement or a command an allegation of sexual
assault naming a member of the Armed Forces as the alleged
offender must be apprised of the significant events involving any
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investigation, prosecution, and confinement resulting from their

allegation(s).
b. Definitions. For the purposes of this requirement,

“sexual assault” is defined as the sex-related offenses of
Articles 120, 130 (Article 120a if alleged to have been committed
prior to 1 January 2019), 120b, 120c, 125 (if alleged to have
been committed prior to 1 January 2019), and 80 (attempts of
these offenses).
c. Significant events. The following are considered

“significant events” for the purposes of this notification
requirement:
(1) Conclusion of the investigation;
(2) The initial disposition decision;
(3) Pre-trial confinement hearings;
(4) Preferral of charges;
(5) Article 32 hearings;
(6) Referral of charges;
(7) All court proceedings, including arraignment, motions

hearings, and trial dates;
(8) Withdrawal of charges;
(9) Dismissal of charges;
(10) Post-trial hearings;
(11) Vacation hearings;
(12) Clemency submissions;
(13) Appellate filings;
(14) Appellate hearings; and
(15) Appellate decisions.
d. Documentation. The RLSOs and LSSSs will ensure that all

alleged victims of sexual assault are provided reasonable,
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timely, and accurate notification of significant events (1)

through (12) above, unless the victim affirmatively declines to
receive such notifications. Additionally, the cognizant RLSO or
LSSS are required to document the date of each notification and
any additional input resulting from such notification in the
electronic case management system. Additionally, the Appellate
VWAP Program Manager is responsible for providing notice of
significant events (13) through (15) above and documenting the
notification in the electronic case management system.
e. Additional requirements. The notification requirements

in this section are in addition to the requirements and victim
rights set forth in Article 6b, UCMJ; R.C.M. 705; DoDI 1030.02;
SECNAVINST 5800.11B; OPNAVINST 5800.7A; MCO 5800.14; and
JAG/COMNAVLEGSVCCOMINST 5800.4A.
f. Exceptions. Any notification of the significant events

listed above, except those in which notification is mandated by
Article 6b, UCMJ, may be limited to avoid endangering the safety
of the individual making the report or another witness
jeopardizing an ongoing investigation, disclosing classified or
privileged information, or unduly delaying the disposition of an
offense. If notification does not occur for one or more of the
aforementioned reasons, that decision must be documented in the
electronic case management system, including the name of the
responsible individual making the decision not to provide the
notification, the specific rationale for the decision, and the
support for the decision.
g. Termination of notification requirement. The

responsibility of the RLSOs and LSSSs to notify victims of
significant events in the court-martial process ends when steps
(1) through (12) of paragraph (c) above are complete, when
charges are dismissed, or when the commander makes the initial
disposition decision not to proceed with court-martial and the
victim is notified of that decision.
0142b Additional Victim Notification Requirements by Commander
a. General. A commander, who makes a determination not to

refer a preferred sexual assault offense for trial by court-
martial, must provide monthly updates to the victim concerning
the status of a final determination regarding further action of
such case, whether nonjudicial punishment, other administrative
action, or no action. These monthly notifications must continue
until a final disposition is taken.
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b. Definitions. For the purposes of this requirement,

“sexual assault” is defined as the sex-related offenses of
Articles 120, 130 (Article 120a if alleged to have been committed
prior to 1 January 2019), 120b, 120c, 125 (if alleged to have
been committed prior to 1 January 2019), and 80 (attempts of
these offenses).
c. Notification requirement.
(1) Prior to contacting the victim, the commander shall

consult with the cognizant Military Criminal Investigative
Organization to determine whether the victim is represented by
counsel. If the victim is represented by counsel, all
communications shall be provided directly to the victim’s
counsel.
(2) The commander who makes the determination not to

refer a preferred sex-related offense to court-martial is
responsible for ensuring the victim is provided monthly status
updates through the final disposition of that sex-related
offense, including the results of any disciplinary or
administrative proceeding. For purposes of this requirement, a
commander’s determination not to refer occurs when the preferred
sex-related offense is dismissed pursuant to R.C.M. 401(c)(1).
(3) These notifications may be made verbally or in

writing and may be provided by the commander or a designee, with
documentation required by subsection 0142b(d) below.
(4) If a victim elects not to receive status updates, the

commander or the commander’s designee will document that decision
in writing. A victim who elects not to receive status updates
may elect to resume receiving updates at any time.
(5) In the event that the commander or the commander’s

designee cannot confirm that the notification has been received
by the victim, the commander or the commander’s designee will
document the attempts to contact the victim and make reasonable
attempts to ensure they are using current contact information.
If a victim is non-responsive for more than 90 days, the victim
will be deemed to have waived periodic status updates. A
previously non-responsive victim may, upon written request,
resume receiving updates at any time.
d. Documentation. The commander must ensure that all

victims of sex-related offenses receive reasonable, timely, and
accurate notification of the status of the final disposition
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decision, unless the victim affirmatively declines in writing to

receive such notifications. Additionally, the commander is
required to document the date of each notification and any
additional input resulting from such notification.
0143 Spectators at Proceedings
a. Courts-martial. See R.C.M. 806, MCM. Summary courts-

martial will be treated the same as general and special courts-
martial.
b. Article 32, UCMJ, preliminary hearings. Consistent with

R.C.M. 405(j)(3) and appellate case law, R.C.M. 806(b)(2)
applies to Article 32, UCMJ, preliminary hearings. Ordinarily,
the proceedings of a preliminary hearing should be open to
spectators. Only if R.C.M. 806(b)(2) is satisfied should the
convening authority or preliminary hearing officer direct that
any part of the hearing be held in closed session and that
persons be excluded. In cases dealing with classified
information, the preliminary hearing officer will ensure that
any part of a preliminary hearing (e.g., rights advisement and
any unclassified testimony) that does not involve classified
information remains open to spectators.
0144 Security of Classified Matter in Judicial Proceedings
a. General. Every precaution will be taken by convening

authorities, military judges, summary court-martial officers,
preliminary hearing officers, trial counsel and trial support
personnel, defense counsel and defense support personnel, and
court reporters to protect the security of classified matter
involved in judicial proceedings. If a trial of a case involves
classified information, the convening authority, military judge,
summary court-martial officer, preliminary hearing officer,
defense counsel, and trial counsel, as appropriate, are charged
with the responsibility of ensuring compliance with applicable
provisions of DON Information Security Program Regulation,
SECNAVINST 5510.36 (series), DON Personnel Security Program
Regulation, SECNAVINST 5510.30 (series), R.C.M. 401(d) and
407(b), and M.R.E. 505.
b. Security clearance of personnel. If classified material

or testimony will be introduced or discussed during any portion
of a judicial proceeding, appropriate security clearances in
accordance with SECNAVINST 5510.30 (series) must be coordinated
and granted to any personnel who may be required to participate
in those proceedings to include, but not limited to: members of
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the prosecution and defense, court reporters, interpreters, and

all other persons whose presence will be required when classified
material or testimony is introduced before the court. If the
accused is represented by civilian defense counsel, such counsel
must likewise be cleared before classified matter may be
disclosed to him or her. The necessity for clearing the accused
and the practicability of obtaining such clearance rests in the
sound discretion of the convening authority and may be one of the
considerations in the determination to try a particular case. If
it appears during the course of a proceeding that classified
matter will be disclosed, and if the provisions of this
subsection have not been complied with, the military judge,
preliminary hearing officer, or summary court-martial officer
will adjourn the proceeding and refer the matter to the convening
authority.
c. Procedures concerning spectators. See R.C.M. 806 and

M.R.E. 505, MCM, which prescribe procedures necessary to prevent
the dissemination of classified information to other than
authorized persons.
0145 Financial Responsibility for Costs Incurred in Support of

Courts-Martial
a. Pay, travel, per diem, fees, and mileage.
(1) The costs of travel (other than local travel) and per
diem of military personnel and civilian employees of the DON, but
excluding those of personnel attached to the Navy-Marine Corps
Trial Judiciary when acting as military judges of courts-martial,
will be charged to the operation and maintenance allotment which
supports temporary additional duty travel for the convening
authority of the court-martial. Such costs incurred by personnel
attached to the Navy-Marine Corps Trial Judiciary when acting as
military judges of courts-martial will be charged to the
operation and maintenance allotment of the OJAG. When a Reserve
Military Judge is detailed, pay, allowances, and travel costs are
paid from Reserve Component funding sources (i.e. annual training
(AT), active duty for training (ADT), inactive duty training
(IDT), or inactive duty training with travel (IDTT)).
(2) The costs of fees and mileage of civilians other than

employees of the DON will be charged to the operating budget
which supports the temporary additional duty travel funds of the
appropriate Navy or Marine Corps convening authority. See the
Department of the Navy Financial Management Policy Manual,
Section III.
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(3) The cost of local travel, as defined by the Joint

Travel Regulations, by detailed military counsel will be absorbed
by the operation and maintenance allotment of the activity that
provides the counsel.
(4) When a reserve judge advocate is supporting a court-

martial at their assigned operational support center or at other
units local to their residence, any required travel will be paid
by the reservist. All pay and allowances are paid by the reserve
command and are not incurred by the convening authority.
(5) When a reserve judge advocate is supporting a court-

martial at a location other than their assigned operational
support center, the convening authority is responsible for all
travel and per diem costs. If the requirements of the court-
martial exceed the reservist’s available IDT periods, including
Additional Training Periods (ATPs), and annual training days, the
reservist’s pay, allowances, and travel must be paid from other
Reserve Component funding sources.
b. Involuntary recall and extension on active duty of

members in the Reserve Component. Funding for orders to recall
or extend a Service member of the Reserve Component on active
duty should be tasked to the appropriation used on the original
set of orders during which the event necessitating recall
occurred. Decisions regarding funding for recall of a Service
member does not confer any procedural or substantive rights upon
the member. The available funding sources include:
(1) Military Personnel Navy (MPN) – Active Duty for

Special Work (ADSW) orders primarily supporting regular Navy
commands/projects.
(2) Reserve Personnel Navy (RPN) – IDT, AT, ADT, and ADSW
orders primarily supporting Navy Reserve commands/projects.
c. Services and supplies.
(1) The following costs of services and supplies provided

by an activity in support of a court-martial will be charged to
the operation and maintenance allotment of the convening
authority:
(a) In-house costs that are direct, out-of-pocket,

identifiable, and total $100.00 or more in a calendar month; and
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(b) Costs that arise under contracts that were

entered into in support of the court-martial.
(2) All other costs of services and supplies will be

absorbed by the operation and maintenance allotment of the
activity that provides the services or supplies.
0146 Fees of Civilian Witnesses
a. Method of payment. The fees and mileage of civilian

witnesses, to include expert consultants prior to being
identified as a witness, will be paid by the disbursing officer
of the command of a convening authority or appointing authority,
or by the disbursing officer at or near the place where the
tribunal sits or where a deposition is taken, when such
disbursing officer is presented a properly completed public
voucher for such fees and mileage signed by the witness and
certified by one of the following:
(1) Trial counsel or assistant trial counsel of the

court-martial;
(2) Summary court-martial;
(3) Counsel for the court in a court of inquiry;
(4) Recorder or junior member of a board to redress

injuries to property; or
(5) Military or civil officer before whom a deposition is

taken.
b. Public voucher. The public voucher must be accompanied

by a subpoena or invitational orders, (see Joint Travel
Regulations, Vol. 2, Ch. 6), and by a certified copy of the order
appointing the court-martial, court of inquiry, or preliminary
hearing. If, however, a deposition is taken before charges are
referred for trial, the fees and mileage of the witness concerned
will be paid by the disbursing office at or near the place where
the deposition is taken upon presentation of a public voucher,
properly completed as prescribed above, and accompanied by an
order from the officer who authorized the taking of the
deposition, subscribed by him or her and directing the disbursing
officer to pay to the witness the fees and mileage supported by
the public voucher. When the civilian witness testifies outside
the United States, including its territories and possessions, the
public voucher must be accompanied by a certified copy of the
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order appointing the court-martial, court of inquiry, or

preliminary hearing, and by an order from the convening authority
or appointing authority, subscribed by him or her and directing
the disbursing officer to pay to the witness the fees and mileage
supported by the public voucher.
c. Obtaining money for advance tender or payment. Upon

written request by one of the officers listed in subsection (a),
the disbursing officer under the command of the convening or
appointing authority, or the disbursing officer nearest the place
where the witness is found, will, at once, provide any of the
persons listed in subsection (a), or any other officer or person
designated for the purpose, the required amount of money to be
tendered or paid to the witness for mileage and fees for one day
of attendance. The person so receiving the money for the purpose
named will furnish the disbursing officer concerned with a proper
receipt.
d. Reimbursement. If an officer charged with serving a

subpoena pays from his or her personal funds the necessary fees
and mileage to a witness, taking a receipt therefore, he or she
is entitled to reimbursement upon submitting to the disbursing
officer such receipt, together with a certificate of the
appropriate person named in subsection (a) to the effect that the
payment was necessary.
e. Certificate of person before whom deposition is taken.

The certificate of the person named in subsection (a) before whom
the witness gave his or her deposition will be evidence of the
fact and period of attendance of the witness and the place from
which summoned.
f. Payment of accrued fees. The witness may be paid accrued

fees at his or her request at any time during the period of
attendance. The disbursing officer will make such interim
payment(s) upon receipt of properly executed certificate(s).
Upon his or her discharge from attendance, the witness will be
paid, upon the execution of a certificate, a final amount
covering unpaid fees and travel, including an amount for return
travel. Payment for return travel will be made upon the basis of
the actual fees and mileage allowed for travel to the court or
place designated for taking a deposition.
g. Computation. Travel expenses will be determined on the

basis of the shortest usually traveled route in accordance with
official schedules. Reasonable allowance will be made for
unavoidable detention.
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h. Non-transferability of accounts. Accounts of civilian

witnesses may not be transferred or assigned.
i. Signatures. Two persons must witness signatures of

witnesses signed by mark.
j. Rates for civilian witnesses prescribed by law.
(1) Civilian witnesses not in Government employ. A

civilian not in Government employ, who is compelled or required
to testify as a witness before a Naval tribunal at a specified
place, or to appear at a place where his or her deposition is to
be taken for use before a court or fact-finding body, will
receive fees, subsistence, and mileage as provided in 28 U.S.C. §
1821. Witness and subsistence fees are not prorated; instead,
any fractional part of a calendar day expended in attendance or
qualifying for subsistence entitles the witness to payment for a
full day. Further, nothing in this subsection will be construed
as authorizing the payment of attendance fees, mileage
allowances, or subsistence fees to witnesses for:
(a) Attendance or travel that is not performed either

as a direct result of being compelled to testify pursuant to a
subpoena or as a direct result of invitational orders; or
(b) Travel that is performed before being duly

summoned as a witness; or
(c) Travel returning to their places of residence if

the travel from their places of residence does not qualify for
payment under this subsection.
(2) Civilian witnesses in Government employ. When

summoned as a witness, a civilian in the employ of the Government
will be paid as authorized by Joint Travel Regulations.
k. Supplemental construction of section. Nothing in this

section will be construed as permitting or requiring the payment
of fees to those witnesses not requested, or whose testimony is
determined not to meet the standards of relevancy and necessity
in accordance with R.C.M. 703, MCM.
l. Expert witnesses.
(1) The convening authority will authorize the employment

of an expert consultant or witness and will fix the limit of
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compensation to be paid such expert based on the normal

compensation paid by U.S. Attorneys for attendance of a witness
of such standing in U.S. courts in the area involved.
Information concerning such normal compensation may be obtained
from the nearest GCMCA having a judge advocate assigned in other
than an additional duty, temporary duty, or temporary additional
duty capacity. Overseas convening authorities will fix the limit
of compensation to be paid to the expert witness based on the
normal compensation paid by U.S. Attorneys for attendance of a
witness of such standing based on the area where the witness is
from when the witness is from the United States. See subsection
(m) for fees payable to foreign nationals.
(2) The provisions of subsection (j) are applicable to

expert witnesses. The expert witness fee prescribed by the
convening authority, however, will be paid in lieu of ordinary
attendance fees on those days the witness is required to attend
the court.
(3) An expert witness employed in strict accordance with

R.C.M. 703(d), MCM, may be paid compensation at the rate
prescribed in advance by the official empowered to authorize his
or her employment. See 11 Comp. Gen. 504. In the absence of
such authorization, no fees other than ordinary witness fees may
be paid for the employment of an individual as an expert witness.
After an expert witness has testified pursuant to such
employment, the certificate of one of the officers listed in
subsection (a), when presented to the disbursing officer, will
also enclose a certified copy of the authorization of the
convening authority.
m. Payment of witness fees to foreign nationals. GCMCAs in

areas other than a State or Territory of the U.S. will establish
rates of compensation for payment of foreign nationals who
testify as witnesses, including expert witnesses, at courts-
martial convened in such areas.
0147 Warrants of Attachment
When the military judge, or, if before referral, a military judge

detailed under Article 30a or a GCMCA, issues a warrant of
attachment pursuant to R.C.M. 703(g)(3)(H), trial counsel or the
cognizant staff judge advocate will notify OJAG (Code 20) or HQMC
(JA), as appropriate, at the time of issuance. When practicable,
a warrant of attachment should be executed by a civilian law
enforcement officer of the United States. This notice
requirement does not confer any procedural, evidentiary, or
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substantive rights for any party to the proceeding. See R.C.M.

703(g)(3)(H), MCM.
Subpart C3 - Post-Trial Matters
0148 Effective Dates Relating to Post-Trial Processing and Post-

Trial Sentencing Procedures
a. For cases referred before 1 January 2019, follow the

post-trial process as outlined in the 2012 version of the
JAGMAN.
b. For cases referred on or after 1 January 2019, follow

the post-trial sentencing process as outlined in this section.
0149 Post-Trial Representation of a Convicted Accused
a. Representation for submission of matters under R.C.M.

1106. Fulfillment of duties under R.C.M. 502(d)(5) requires
that trial defense counsel will, for a trial which results in a
conviction, advise the accused in detail concerning his or her
appellate rights. Included in this explanation will be advice
with regard to the accused’s right to post-trial representation,
request clemency, and request deferment of any sentence to
confinement pursuant to Article 57, UCMJ. Trial defense counsel
will inform the accused of the responsibilities and powers of
the convening authority, and as applicable, the possibility of
review pursuant to Articles 64 through 69, UCMJ, including the
possibility of review by Navy-Marine Corps Court of Criminal
Appeals (NMCCA), the U.S. Court of Appeals for the Armed Forces
(CAAF), or the Supreme Court of the United States (SCOTUS).
(1) In order to comply with R.C.M. 502(d)(5), the

following procedures apply in all cases:
(a) The accused, after being advised of his or her

appellate rights, acknowledge advisement of his or her appellate
rights and provide necessary information for forwarding to his
or her appellate defense counsel. The Standardized Post-Trial
and Appellate Rights form is available at
http://www.jag.navy.mil/trial_judiciary.htm.
(b) The original, signed appellate rights statement

will be attached to the original court-martial record of trial.
(c) A duplicate original appellate rights statement

will be provided to the accused and duplicate originals or
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certified copies will be attached to each copy of the record of

trial.
(d) The accused will also be advised of his or her

authority to designate, by power of attorney, an attorney-in-
fact as his or her agent to petition NMCCA and CAAF for review
on his or her behalf. If the accused executes such a power of
attorney, the defense counsel shall use the template for a
Special Power of Attorney – Appellate Process. This template is
available at http://www.jag.navy.mil/trial_judiciary.htm. The
original power of attorney will be attached to the original
appellate rights advisement in the original record of trial and
copies attached to the appellate rights advisement in each copy
of the record of trial. The power of attorney will be revoked
if the accused waives appellate review.
(2) Unless impracticable, the trial defense counsel

shall consult with the accused on matters to be submitted under
R.C.M. 1106. The trial defense counsel may submit such matters
on behalf of the accused without the signature of the accused.
b. Relief of trial defense counsel. If trial defense

counsel is unable to continue representation and an appellate
defense counsel has not yet been detailed, a substitute trial
defense counsel must be appointed. Trial defense counsel will
continue to perform duties on behalf of the accused until an
appropriate detailing authority has detailed either substitute
trial defense counsel or appellate defense counsel, at which
time trial defense counsel will be deemed to be relieved. The
original correspondence and orders relating to the relief of
trial defense counsel and the appointment of successor trial
defense counsel or appellate counsel will be placed in the
original record of trial. Copies of all correspondence and
orders relating to the relief of counsel and the appointment of
successor counsel will be placed in each record of trial and
provided to the defense counsel concerned and the accused.
There is no requirement for defense counsel or his or her
successor in a court-martial not involving a punitive discharge
or confinement for six months or less to request relief from
defense counsel duties after review has been completed pursuant
to Article 65, UCMJ.
c. Representation during Article 66(b), UCMJ, appellate

review.
(1) A convicted accused is entitled to request post-

trial representation by a defense counsel qualified in
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accordance with Article 27(b), UCMJ, until completion of

appellate review in his or her case. Article 70(c), UCMJ,
prescribes the detailing of counsel to represent accused before
the NMCCA, CAAF, or the SCOTUS. Appellate defense counsel will
represent an accused before NMCCA, CAAF, or the SCOTUS under
Articles 62, 66, 67, 67a, or 73, UCMJ, or for petitions for
extraordinary relief when requested by an accused, if the United
States is represented by counsel, the JAG certifies a case
originally under his or her cognizance pursuant to Article 69,
UCMJ, or the government appeals the sentence under Article
56(d), UCMJ. An accused may be represented by civilian counsel
of his or her choice at no expense to the Government. Upon
request of an appellant, and in the discretion of the Director,
Appellate Defense Division (Code 45), appellate defense counsel
may be appointed to assist appellants before the Naval Clemency
and Parole Board.
(2) Article 38, UCMJ, prescribes counsel rights for the

representation of accused before general or special courts-
martial or preliminary hearings under Article 32, UCMJ. While
Article 38, UCMJ, provides that an accused may be represented by
military counsel of his or her own selection if that counsel is
reasonably available, no such provision for the selection of
individual appellate counsel appears in Articles 38 or 70, UCMJ.
Accordingly, the Appellate Defense Division (Code 45), Navy-
Marine Corps Appellate Review Activity of the Office of the
Judge Advocate General will provide all appellate representation
of accused in proceedings before NMCCA, CAAF, or the SCOTUS,
with the exception of civilian counsel provided by an accused.
0150 Statement of Trial Results
a. General. After a general or special court-martial

adjourns, the military judge shall sign the Statement of Trial
Results (STR). This form is included in the JAG/CNLSCINST 5814.1
(series) and is available at http://www.jag.navy.mil/library/
instructions.htm. The STR replaces the Report of Result of
Trial for all purposes, including confinement, pay, and any
other personnel action associated with the result of a trial of
the accused. Unless otherwise directed by the military judge,
the trial counsel will ensure the STR is prepared in accordance
with R.C.M. 1101(a) and is ready for review and signature by the
military judge as soon as possible after the sentence is
announced. In addition to the contents required pursuant to
R.C.M. 1101(a), the STR shall include the following information:
(1) Name, rate/rank, and DoD ID number of the accused.

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(2) All crime reporting notifications, including:
(a) Whether sex offender registration is required in

accordance with 34 U.S.C. § 20901 et seq., or DoDI 1325.07;
(b) Whether deoxyribonucleic acid (DNA) processing

is required in accordance with 10 U.S.C. § 1565; and
(c) Whether Gun Control Act reporting is required

under 18 U.S.C. § 922.
(3) Any companion cases tried separately.
(4) Any other information directed by the military

judge.
b. Distribution. Trial counsel will ensure that the STR is

distributed in accordance with R.C.M. 1101(d) and included in
the record of trial in accordance with R.C.M. 1112(b)(7). For
purposes of R.C.M. 1101(d), the convening authority’s designee
is the SJA or legal advisor who provides the convening authority
with clemency advice.
(1) If the sentence includes confinement, escorts for

post-trial prisoners shall carry a copy of the signed STR for
delivery to the confinement facility with the prisoner. In
addition, the trial counsel will forward a copy of the STR to
the commanding officer or officer in charge of the brig or
confinement facility where the accused will be confined. A copy
of the STR will be provided to the accused or the accused’s
defense counsel and any crime victim or victims’ counsel, if
applicable, without regard to the outcome of the court-martial.
(2) If the sentence includes forfeitures or reduction in

grade, trial counsel will forward the STR to the appropriate
Personnel Support Detachment/Installation Personnel
Administrative Center (IPAC) (see
https://www.public.navy.mil/bupers-npc/psd/Pages/PSD-
Locations.aspx) or Unit Diary Clerk, as appropriate, and
include, if applicable, information regarding approved requests
for deferments of adjudged or automatic forfeitures and adjudged
reductions in grade.
(3) Trial counsel will provide a copy of the STR to the

military law enforcement agency that investigated the case. If
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no military law enforcement agency investigated the case, trial

counsel will provide a copy of the STR to NCIS.
0151 Accused and Crime Victim Access to Court-Martial Records

Following Adjournment
a. Access for submission of matters. To facilitate

preparation of matters, the defense counsel or accused and the
crime victim or crime victims’ counsel may request a copy of the
court-martial recording and copies of, or access to, the evidence
admitted at trial and the appellate exhibits. When preparing
these records for release, the government should be cognizant
that delays in providing the requested information may serve as
grounds for the defense to request a delay in the submission of
matters.
b. Audio recording. Pursuant to R.C.M. 1112(a), all courts-

martial proceedings shall be audio recorded in order to create a
substantially verbatim recording of the courts-martial
proceedings. Upon receipt of a written request, a copy of the
audio recording shall be provided to the accused or defense
counsel, and the crime victim or crime victims’ counsel as soon
as practicable. This audio recording provided pursuant to R.C.M.
1106 and 1106A may be unredacted, however, it must not include
any closed sessions, sealed or classified court-martial material
or recordings unless authorized by a military judge. To obtain
access to any sealed or classified proceedings, the accused or
crime victim must submit a formal request to the military judge
demonstrating good cause.
c. Access to exhibits. In accordance with R.C.M. 1106 and

1106A and upon receiving a written request, the government must
provide access to all appellate exhibits, prosecution exhibits,
and defense exhibits admitted at trial to the accused or defense
counsel, and the crime victim or crime victims’ counsel. Copies
of these documents may be provided in circumstances where it is
not feasible for the accused or defense counsel, and the crime
victim or crime victims’ counsel to access the documents at the
appropriate RLSO, LSSS, or Law Center (LC). These documents
must not include any sealed or classified sessions or materials
unless authorized by the military judge. Personally
Identifiable Information must be redacted from all copies and
photographs.
d. Timing. The RLSO or LSSS will ensure compliance with

subparagraphs 0151(a)-(c) within five (5) duty days of receiving
a written request.
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0152 Matters Submitted by Accused and Crime Victims
a. Notification to crime victim of right to submit matters.

In any case resulting in a guilty finding for an offense that
involved a victim who has suffered direct physical, emotional or
pecuniary harm, the trial counsel must provide each crime victim
with a notification of post-trial rights using the Crime Victim
Post-Trial Rights Form included in the JAG/CNLSCINST 5814.1
(series) and available at http://www.jag.navy.mil/library/
instructions.htm. The trial counsel shall inform each crime
victim of such rights after the announcement of the findings or
sentence. After the sentence is announced, any crime victim of
an offense may submit matters to the convening authority for
consideration, consistent with R.C.M. 1106A. All matters
submitted by a crime victim must be provided to the convening
authority for consideration and provided to the accused to allow
an opportunity to respond. A crime victim must submit matters
within 10 calendar days after the sentence is announced. The
convening authority may extend the time period to submit matters
up to an additional 20 calendar days if the crime victim shows
good cause for the extension. Extension requests must be
submitted in writing to the convening authority or the convening
authority’s designee.
b. Accused’s right to submit matters. Before the

adjournment of a court-martial, the defense counsel must advise
the accused of his or her post-trial rights using the Appellate
Post-Trial Rights and Advisement Form. This form is available at
http://www.jag.navy.mil/trial_judiciary.htm. This form shall be
appended to the record of trial as an appellate exhibit. After
the sentence is announced, the accused may submit matters to the
convening authority for consideration, consistent with R.C.M.
1106. The accused must submit matters within 10 calendar days
after the sentence is announced. The convening authority may
extend the time period to submit matters up to an additional 20
calendar days if the accused shows good cause for the extension.
Extension requests must be submitted in writing to the convening
authority. If a crime victim elects to submit matters to the
convening authority for consideration, the accused may submit a
rebuttal to those matters within five calendar days of receipt of
such submission by the victim. If submitting any matters
directly to the convening authority, counsel for the accused
shall provide a copy to the cognizant RLSO or LSSS post-trial
processing entity.
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0153 Convening Authority Action
a. General. If a case was referred to trial on or after 1

January 2019, the post-trial procedures contained in section
0153 and Articles 60a and 60b, UCMJ, as well as R.C.M. 1109 and
1110, MCM 2019 must be used. In a case that was referred to
trial before 1 January 2019, section 0153 is not applicable, and
the post-trial procedures (to include the requirement for SJA
recommendations) contained in R.C.M. 1107, MCM 2016 must be
used.
(1) When action may be taken. The convening authority,

or other person authorized to act under subsection 0153(c), may
take action only after the applicable time periods under R.C.M.
1106 and 1106A, MCM 2019, have expired; however, action may be
taken sooner if the accused and, if applicable, the crime
victim, have waived the right to submit matters under R.C.M.
1106 and 1106A, MCM 2019. In any case that results in a full
acquittal (or findings of not guilty by the military judge under
R.C.M. 917), the convening authority will take no action with
regard to those findings.
(2) Documentation. In all cases, the RLSO or LSSS will

ensure that actions taken at every step in the post-trial process
are properly documented, including justification for any delay
that occurs in the case management system. Consult JAG/CNLSCINST
5814.1 (series)), available at
http://www.jag.navy.mil/library/instructions.htm, and R.C.M. 808.
(3) Convening authority clemency power. Granting

clemency is entirely within the discretion of the convening
authority. The scope of authority to grant clemency is based on
the date of the earliest offense of which the accused was
convicted.
(a) In a case in which the accused was found guilty

of an offense that occurred before 24 June 2014, the convening
authority must take action in the case and will consider clemency
submissions within the limits of his or her authority described
in Article 60 and R.C.M. 1107, MCM 2012.
(b) In a case in which the earliest offense of which

the accused was found guilty was before 1 January 2019, but on or
after 24 June 2014, the convening authority must take action in
the case and will consider clemency submissions within the limits
of his or her authority described in Article 60 and R.C.M. 1107,
MCM 2016.
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(c) In a case in which all offenses of which the

accused was found guilty occurred on or after 1 January 2019, use
Articles 60a and 60b, UCMJ, and R.C.M. 1109 and 1110, MCM. When
deciding whether to grant relief under these rules, the convening
authority has two options: take action on the findings and
sentence or take no action on the findings and sentence. A
decision to take action is tantamount to granting relief, whereas
a decision to take no action is tantamount to not granting
relief.
(d) In all cases, regardless of the date of the

offenses, the convening authority may suspend a sentence in
accordance with a military judge’s recommendation as annotated on
the STR. See Article 60a(c), UCMJ.
(4) Staff judge advocate or legal officer review. An

SJA or legal officer recommendation is not required before the
convening authority’s action for any case referred on or after 1
January 2019, regardless of when the offense to which an accused
was convicted was committed. But, before determining what
action, if any, should be taken in a particular court-martial,
the convening authority shall consult with the SJA or legal
officer to confirm compliance with Articles 60a and 60b, UCMJ,
and R.C.M. 1109 and 1110. The SJA or legal officer must provide
the convening authority all post-trial matters submitted by the
accused and crime victim, if any, along with any details of a
military judge’s suspension recommendation for consideration.
The SJA or legal officer will document all post-trial matters
received in the convening authority’s action form using the
standard template available in JAG/CNLSCINST 5814.1 (series).
(5) Companion cases tried separately. In courts-martial

cases where the separate trial of a companion case is ordered,
the convening authority will so indicate in his or her action on
the record in each case.
(6) Documenting convening authority’s action. Regardless

of which version of clemency authority applies, and even if the
convening authority decides to take no action, the SJA will
ensure that the convening authority complies with the
requirements of R.C.M. 1109(g) or R.C.M. 1110(e). The decision
by the convening authority to take no action, or the action taken
by the convening authority, will be memorialized in the Convening
Authority’s Action Form included in JAG/CNLSC 5814.1 (series) and
available at http://www.jag.navy.mil/library/instructions.htm.
The action (or no action) by the convening authority will be
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promptly forwarded to the RLSO or LSSS responsible for the case

and incorporated as an attachment to the record of trial. A
decision by the convening authority to take action or no action
on a case may be signed by the convening authority’s delegate
with the convening authority’s verbal approval provided that any
verbal approval is subsequently memorialized in writing.
(7) Timing of convening authority’s action. The

convening authority must generally act before the entry of
judgment. However, the convening authority may grant relief upon
recommendation of trial counsel for substantial assistance by the
accused after the entry of judgment. See R.C.M. 1109(e)(3)(B)
and (e)(7); see also R.C.M. 1110(c)(2). If trial counsel’s
recommendation is made more than one year after the entry of
judgment, the GCMCA over the command to which the accused is
assigned may reduce the sentence only if the criteria in R.C.M.
1109(e)(5)(B) are met.
(8) Service of convening authority’s action and related

matters. The RLSO or LSSS shall provide a copy of the convening
authority’s action to the accused and any crime victims, or their
respective counsel, as soon as practicable after receipt. If the
action is served on counsel, counsel will, by expeditious means,
provide the accused or crime victim, as applicable, with a copy.
If the judgment is entered within 10 duty days of the convening
authority’s action, service of the entry of judgment upon the
accused, any crime victims, or their respective counsel will
satisfy this requirement.
b. Suspension of sentences. When authorized under the

applicable version of Article 60, UCMJ, convening authorities are
encouraged to consider suspending, for a probationary period, all
or any part of a sentence, under appropriate circumstances, such
as when suspension would promote good order and discipline and
when the accused’s prospects for rehabilitation would more likely
be enhanced by probation than by the execution of all or any part
of the sentence adjudged.
(1) Suspension recommendation by military judge. In

cases referred to trial on or after 1 January 2019, after
receiving a suspension recommendation from the military judge,
the convening authority may suspend all or any part of certain
adjudged sentences in accordance with R.C.M. 1109(f) regardless
of when the offense was committed. The authority to suspend a
sentence under R.C.M. 1109(f) is in addition to any other
suspension power the convening authority may have. See R.C.M.
1109(c)(5) and 1110(c).
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(2) Suspension recommendation by trial counsel. Upon the

recommendation of the trial counsel for substantial assistance to
the government by an accused, the convening authority may
disapprove, commute, or suspend the adjudged sentence, in whole
or in part, even with respect to an offense for which a mandatory
minimum sentence applies. However, a sentence of death may not
be suspended.
c. When impracticable for convening authority to act. A

convening authority may forward a case for post-trial processing
as long as the following procedures are followed:
(1) For Navy commands, if it is impracticable for the

convening authority to act, he or she will forward the record of
trial to a superior GCMCA, to the Region Commander, or a
subordinate commander authorized to convene general courts-
martial and designated by the Region Commander for this purpose.
For deployable units, the appropriate Region Commander or
designated subordinate commander is the one most convenient at
the time of forwarding of the record. The letter or message
requesting the record of trial to be forwarded will contain a
justification as to why the normal convening authority could not
take action in the case.
(2) Unless directed differently by a superior GCMCA,

Marine Corps convening authorities who find it impracticable to
take action will forward the record of trial to another GCMCA.
For summary and special courts-martial, this will normally be the
GCMCA who is superior in the chain of command unless, in the
discretion of the officer who would normally take action as
convening authority, it will also be impracticable for that
officer to take the convening authority’s action. The letter or
message requesting the record of trial to be forwarded will
contain a justification as to why the normal convening authority
could not take action in the case.
d. Electronic signatures. Electronic signatures may be used

in the convening authority’s action, charge sheet, and other
court-martial documents, if using a DoD Common Access Card and
following all other technical requirements per SECNAVINST
5239.21, DON Electronic Signature Policy. However, electronic
signatures are not required in these documents.
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0154 Actions on Specific Types of Sentence
a. Summary courts-martial. The convening authority may take

any action permitted under Article 60b(a)(1), UCMJ.
b. Sentences including reprimand.
(1) General. Reprimands issued in execution of court-

martial sentences must be in writing. Except as otherwise
prescribed in section 0155, subsection 0114(d) applies to
punitive letters issued in execution of a court-martial sentence.
Punitive letters issued in execution of court-martial sentences
need not be designated "For Official Use Only.
(2) By whom issued. The convening authority will include

in the action any reprimand that the convening authority has
ordered executed.
(3) Contents. The punitive letter will include the time

and place of trial, type of court-martial, and a statement of the
specific charges and specifications of which the accused was
convicted. It will also contain the following:
A copy of this letter will be placed in your official

record at [Navy Personnel Command] [Headquarters, U.S.
Marine Corps]. You may forward within 15 days after
receipt of this action a statement concerning this letter
for inclusion in your record. If you elect not to submit
a statement, you will so state officially in writing
within the time prescribed. In connection with your
statement, any statement submitted will be couched in
temperate language and will be confined to pertinent
facts. Opinions will not be expressed nor the motives
of others impugned. Your statement will not contain
countercharges.
(4) Procedure for issuance. The original punitive letter

will be delivered to the accused and a copy appended to the
convening authority’s action. The action should refer to the
letter as follows:
Pursuant to the sentence of the court, a punitive letter

was served upon the accused on [date] and a copy is
incorporated as part of this action.
(5) Insertion into service record. Upon receipt of the

accused’s written statement or a written declaration that he or
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she does not desire to make a statement, an additional copy of

the punitive letter, with the statement or declaration, will be
forwarded to Commander, Navy Personnel Command (PERS-834 for
officers and PERS-832 for enlisted) or HQMC (JA) for officers and
MMSB-20 for enlisted, as appropriate.
(6) Appeals. Review, including appellate review of

punitive letters issued as part of a court-martial sentence, will
be accomplished as provided for by the UCMJ, the MCM, and this
Manual. No separate appeal from these letters will be
considered.
c. Sentences extending to dismissal. Under the authority of

Article 57(a)(4), UCMJ, the Under Secretary of the Navy and the
Assistant Secretaries of the Navy have been designated by the
Secretary of the Navy as empowered to approve that part of a
sentence providing for dismissal of an officer or a midshipman,
and may commute, remit, or suspend the sentence, or any part of
the sentence, as they see fit.
d. Sentences including adjudged or automatic forfeitures.

The ability of a convening authority to defer or waive
forfeitures of pay and allowances depends on whether the
forfeitures are adjudged or automatic.
(1) Adjudged forfeitures are those forfeitures imposed by

the military judge or the members as part of a court-martial
sentence (see Article 57(a)(1), UCMJ, and R.C.M. 1103). Adjudged
forfeitures of pay or allowances take effect 14 calendar days
after the sentence is announced, or, in a summary court-martial,
the date the sentence is approved by the convening authority.
(2) Automatic forfeitures are forfeitures that take

effect by operation of law pursuant to Article 58b, UCMJ, 14 days
after the sentence is announced and only during the period of
confinement. Automatic forfeitures take effect if an accused is
sentenced to confinement for more than six months, death, or
confinement for six months or less and a punitive discharge.
(3) Upon written application of the accused, the

convening authority may defer adjudged and automatic forfeitures
until the entry of judgment or, in the case of a summary court-
martial, until a convening authority acts on the sentence. The
action of the convening authority shall be in writing. The
convening authority may rescind a deferment at any time.
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(4) The convening authority may waive automatic

forfeitures for no more than six months after the entry of
judgment for the benefit of the accused’s dependent(s). Waived
forfeitures are paid directly to the accused’s dependent(s). The
convening authority may not waive adjudged forfeitures. The
convening authority may, however, take action under Articles 60,
60a or 60b, UCMJ, to defer, suspend, mitigate, or disapprove all
or part of adjudged forfeitures, then waive any automatic
forfeitures.
(5) The convening authority’s action will indicate if

adjudged forfeitures were deferred, or if automatic forfeitures
in accordance Article 58b, UCMJ, were deferred and waived. If
waiver of forfeitures is approved and included in the action, the
waiver must state the person to whom the forfeitures are to be
paid.
e. Automatic reduction in pay grade. Automatic reduction

to the lowest enlisted pay grade by operation of Article 58a,
UCMJ, will be effected in the Naval service only in accordance
with this subsection.
(1) For any conviction for an offense committed before 1

January 2019, reduction to the lowest enlisted pay grade will be
automatically effected only when the sentence as approved by the
convening authority, includes, whether or not suspended, either:
(a) a dishonorable or bad-conduct discharge, or
(b) confinement in excess of 90 days, if the

sentence is awarded in days, or in excess of 3 months, if the
sentence is awarded in months or years.
(2) For any conviction for an offense committed on or

after 1 January 2019 and before the President delegated
authority to the Secretary of the Navy to establish conditions
for automatic reductions, automatic reduction in pay grade is
not authorized.
(3) For any conviction for an offense committed on or

after 1 January 2019 and after the President has delegated
authority to the Secretary of the Navy to establish conditions
for automatic reductions, reduction to the lowest enlisted pay
grade will be automatically effected for any sentence that
includes:
(a) A dishonorable or bad-conduct discharge, or

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(b) Confinement in excess of 90 days, if the

sentence is awarded in days or in excess of 3 months, if the
sentence is awarded in months or years.
(4) The convening authority has the sole discretion to

remit the automatic reduction, or may retain the accused in the
pay grade held at the time of the sentence or in an intermediate
pay grade and suspend the automatic reduction to pay grade E-1
that would otherwise be effective under Article 58a, UCMJ, and
this subsection. The automatic reduction may be suspended
without regard to whether any part of the approved sentence was
suspended. If, however, the adjudged sentence includes a
reduction in pay grade that is below the pay grade at which the
convening authority desires to have the accused retained, the
reduction adjudged in the sentence should be suspended for the
same period as the automatic reduction is suspended.
Additionally, the convening authority may direct that the
accused serve in pay grade E-1 while in confinement but be
returned to the pay grade held at the time of sentence or an
intermediate pay grade upon release from confinement. Failure
of the convening authority to address automatic reduction will
result in the automatic reduction to pay grade E-1 on the date
of the convening authority’s action for cases referred prior to
1 January 2019 or the date of the Entry of Judgment for cases
referred on or after 1 January 2019.
0155 Service and Execution of Sentences
a. General. Pursuant to R.C.M. 1102, and unless otherwise

specified, a sentence is executed and takes effect as follows:
(1) General and special courts-martial. A sentence is

executed and takes effect when the judgment is entered into the
record under R.C.M. 1111.
(2) Summary courts-martial. A sentence is executed and

takes effect when the convening authority acts on the sentence.
b. Confinement.
(1) Timing. Confinement takes effect on the date the

sentence is announced.
(2) Designation of places of confinement. Subject to

section 0175, the convening authority or the convening
authority’s designee is a competent authority to designate the
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initial place of confinement of naval prisoners. The designation

of the initial place of confinement will be documented on the
confinement order (DD 2707).
(3) Nature of confinement. See SECNAVINST 1640.9

(series).
(4) Execution of confinement. See SECNAVINST M-1640.1

(series).
c. Punitive discharge and dismissal.
(1) Execution of dishonorable and bad conduct discharges.

A dishonorable or bad conduct discharge will be executed when the
court-martial is final in accordance with R.C.M. 1209. OJAG
(Code 40) will issue a Notification of Completion of Appellate
Review (NOCAR) and will forward to the cognizant GCMCA, who will
order the dishonorable or bad conduct discharge executed.
(2) Execution of dismissals. A dismissal will be

executed when a court-martial is final in accordance with R.C.M.
1209 and the dismissal is ordered executed by the Secretary of
the Navy, or his or her designee.
(3) Naval Clemency and Parole Board action.

Notwithstanding the fact that a sentence may have been duly
ordered executed, a punitive discharge may not in fact be
executed until the provisions of SECNAV-M 5815.1 (series) have
been fulfilled.
d. Death penalty. The manner in which a sentence to death

is to be carried out will be determined by the Secretary of the
Navy.
e. Hard labor without confinement. R.C.M. 1003(b)(6)

authorizes special and general courts-martial to sentence
enlisted members to hard labor without confinement for up to
three months. The immediate commander of an accused designates
the amount and character of the hard labor to be performed, which
should conform to the guidelines governing extra duties imposed
as punishment under Article 15, UCMJ; see paragraph 5(c)(6) of
Part V, MCM. A sentence to hard labor without confinement is
executed when the entry of judgment is signed by the military
judge.
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0156 Entry of Judgment
a. General. The entry of judgment reflects the results of

the court-martial after all post-trial actions, rulings, and
orders. The entry of judgment terminates trial proceedings and
the deferral and suspension of a sentence. This form is included
in JAG/CNLSCINST 5814.1 (series), available at
http://www.jag.navy.mil/library/instructions.htm.
b. Contents of entry of judgment. The entry of judgment

must include all items listed in R.C.M. 1111(b). Additionally,
any modification made by reason of any post-trial action by the
convening authority, or any post-trial rule, order, or other
determination by the military judge must be included.
c. Timing. The military judge will enter the judgment of

the court within 20 days of the later of either: (1) receipt of
the convening authority’s action or (2) receipt of the record of
trial for verification in accordance with Section 0156(d). The
military judge may also delay the entry of judgment for an
additional reasonable amount of time in order to resolve post-
motions filed pursuant to R.C.M. 1104. If the military judge is
no longer available, the circuit military judge or the Chief
Judge of the Navy-Marine Corps Trial Judiciary will designate a
military judge to complete the entry of judgment. When a court-
martial results in a full acquittal or when a court-martial
terminates before findings, the judgment shall be entered as soon
as practicable. When a court-martial results in a finding of not
guilty of all charges and specifications only by reason of lack
of mental responsibility, the judgment shall be entered as soon
as practicable after a hearing is conducted under R.C.M. 1105.
d. Service of entry of judgment. The accused, designated

defense counsel, convening authority, and upon request, the crime
victim or victims’ counsel shall receive a copy of the entry of
judgment as soon as practicable. If an accused is in
confinement, service is satisfied when a copy is provided to the
designated defense counsel.
e. Distribution of entry of judgment. The entry of judgment

must be distributed as follows:
(1) Original to be attached to original record of trial.

If the original record of trial has been forwarded, the original
entry of judgment, along with the appropriate copies as described
below, will be sent to the command or activity to which the
original record of trial was forwarded.
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(2) Duplicate original to be placed in the service record

of the accused (unless the court-martial proceedings resulted in
acquittal of all charges, disapproval of all findings of guilty,
or disapproval of the sentence by the convening authority). In
cases involving Navy personnel, if applicable, forward to the
Personnel Support Detachment (
https://www.public.navy.mil/bupers-npc/psd/Pages/PSD-
Locations.aspx) maintaining the accused's service record. In
cases involving Marine Corps personnel, if applicable, forward to
the Installation Personnel Administration Center.
(3) Duplicate originals must also be provided to the

following:
(a) The commanding officer of the accused;
(b) The commanding officer of the brig or confinement

facility, if the accused was sentenced to confinement;
(c) Commander, Navy Personnel Command (PERS-834 in

the case of officers, or PERS-832 in the case of enlisted) or
HQMC, Manpower and Reserve Affairs (M&RA), as appropriate;
(d) The GCMCA or SPCMCA over the accused at the time

of trial, and to the current GCMCA over the accused, if
different. The GCMCA will be identified by the command name;
(e) The Directorate of Debt and Claims Management

(DFAS);
(f) The accused;
(g) The commanding officer of the RLSO, LSSS, or LC

at which the accused was tried;
(h) The military judge, trial counsel, and defense

counsel of the court-martial before which the case was tried; and
(i) The commanding officer of the Defense Service

Office or the Regional Defense Counsel that represented the
accused, as appropriate.
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0157 Certification of Record of Trial – General and Special

Courts-Martial
a. Record of trial. The official record of trial is a

substantially verbatim recording of the court-martial
proceedings. This recording may be accomplished via videotape,
audiotape, or by other forms of technology that capture the audio
of the proceedings completely and accurately.
b. Preparation of the certified record of trial. All

records of trial will be prepared as prescribed in R.C.M.
1112(b). If the court-martial resulted in a guilty finding, the
court reporter shall ensure all documents provided in R.C.M.
1112(f) are included in the certified record of trial prior to
forwarding to OJAG (Code 40) or the cognizant SJA for appellate
review. The certification of a record of trial must be completed
as soon as practicable after the adjournment of a court-martial.
Consult JAG/CNLSCINST 5814.1 (series) for the post-trial process
requirements. The RLSO or LSSS will provide reasons in writing
for any delay in certification and append them to the certified
record of trial. See section 0160 below.
c. Preparation of transcript. All special and general

courts-martial that result in a guilty finding, regardless of the
sentence adjudged, will receive a verbatim written transcript
prepared in accordance with R.C.M. 1114 and JAGINST 5813.1
(series). If the proceedings resulted in an acquittal of all
charges and specifications or in termination of the proceedings
before or after findings, a summary of the trial proceedings up
to the disposition of the case will be prepared in accordance
with JAGINST 5813.1 (series).
d. Verification of record of trial. The court reporter will

compile the record of trial (including the verbatim transcript as
applicable) and provide it to the military judge for
verification. The military judge’s verification will be appended
to the record of trial. If the military judge is no longer
available, the circuit military judge or the Chief Judge of the
Navy-Marine Corps Trial Judiciary will designate a military judge
to verify the record of trial. For purposes of this section,
verification means that the military judge has reviewed the
record of trial and accompanying transcript for completeness.
The military judge must verify that the record of trial contains
all of the items required pursuant to R.C.M. 1112(f), and the
pleas, findings, and sentence are accurately reflected in the
transcript and the accompanying record of trial.
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e. Certification of record of trial. A court reporter will

prepare all records of trial in accordance with R.C.M. 1112(b).
If a court-martial results in a guilty finding, a court reporter
will prepare the record of trial in accordance with R.C.M.
1112(b) and (f). A court reporter will certify the record of
trial was prepared in accordance with R.C.M. 1112(b) and (f), and
append the certification in the record of trial. If the court
reporter is not available to certify the record of trial, the
military judge will certify the record of trial. The RLSO or
LSSS will forward the certified record of trial for appellate
review within 120 days after the adjournment of the court-martial
or the final post-trial 39a hearing. Any delays beyond 120 days
must be documented and appended to the record of trial prior to
forwarding.
f. Retention of court reporter notes and court-martial audio

recordings. In every general and special court-martial,
including acquittals and termination of proceedings prior to
findings, the RLSO or LSSS will ensure that any notes
(stenographic or otherwise) or any recordings (mechanical or
voice) from which the record of trial was prepared are secured
for retention for two years after adjournment in all cases or
until the completion of the appellate review process pursuant to
R.C.M. 1209, whichever is later.
g. Security classification. Records of trial containing

classified matter will be properly classified in accordance with
the provisions of R.C.M. 1112(e)(3)(A) and SECNAVINST 5510.36
(series). Copies of such records for delivery to the accused
will be prepared and handled in accordance with R.C.M.
1112(e)(3)(A). Attention is directed to the fact that, while
SECNAVINST 5510.36 (series) requires that a classified matter
bear the overall classification of its highest component, that
degree of classification is not then imparted to other
components. Rather it authorizes and requires that a component
be marked with the classification it warrants, if any.
Misunderstanding of these provisions may result in erroneously
marking as classified each page of a voluminous record, rendering
review for downgrading unnecessarily difficult and excision for
delivery to the accused or counsel impossible.
h. Records of trial involving images or material of child

pornography. In courts-martial that involve the introduction
into evidence of child pornography, as defined by Article 134,
UCMJ, (Paragraph 95) or of what appears to be child pornography
(hereinafter referred to as child pornography), the court
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reporter will ensure that the exhibits containing child

pornography are properly sealed .
(1) Images of child pornography, in whatever format,

used by military authorities during the investigation and
prosecution of criminal activity will be under the care,
custody, and control of government authorities at all times.
Neither trial nor defense counsel will retain images or material
of child pornography obtained during the course of their
representation. The trial counsel will ensure that all images
of, or material containing, child pornography provided to either
the trial or defense team are returned to the cognizant NCIS or
other law enforcement office within five days of the final
adjournment of the court-martial or dismissal of the charges
related to the child pornography. Under no circumstances will
images of child pornography be duplicated, reproduced,
distributed or transferred by any person, except pursuant to 18
U.S.C. § 3509(m).
(2) Images of child pornography, in whatever format,

offered during a court-martial will be marked appropriately and
handled during the trial in a manner that ensures only those
participants of the trial who are required and authorized to
view such images have access. The images shall be placed on a
compact disc (CD) or digital versatile disc (DVD) and shall be
password protected. The password should remain in the files of
the senior trial counsel and the NCIS Resident Agent and a copy
provided by the senior trial counsel to the Clerk of the Court
for the Navy-Marine Corps Court of Criminal Appeals (NMCCA).
The senior trial counsel will provide all passwords to his or
her relief as a turnover item upon transfer from the billet.
Trial counsel will request the military judge issue a protective
order for the CD or DVD, and for any exhibits containing images
of child pornography that cannot be placed on the CD or DVD. A
password-protected CD or DVD may be left in the record of trial
during the certification and appellate process.
(3) Nothing in subsection 0157(h) creates or is intended

to create an independent right or authority to compel production
or introduction of such evidence; gives rise to a cause of
action by an accused against the government; or, establishes
grounds to challenge or object to the offer or admission of such
images in a court-martial or other forum.
i. Records containing classified information. After first

coordinating with the Navy-Marine Corps Appellate Review
Activity, the original of any record of trial that contains
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classified information will be packaged and transmitted in

accordance with the DON Information Security Program, SECNAVINST
5510.36 (series) to OJAG (Code 30), for filing and availability
for inspection under section 0167. OJAG (Code 30) will notify
OJAG (Code 40) when any classified records of trial have been
received.
0158 Certification of Record of Trial – Summary Courts-Martial
The summary court-martial officer shall complete a written record

of trial of a summary court-martial in accordance with the
requirements of R.C.M. 1305, and the use of DD Form 2329 (Record
of Trial by Summary Courts-Martial)(see Appendix 9, MCM). The
record of trial shall include: (1) the pleas, findings, and
sentence, and if the accused was represented by counsel at the
summary court-martial, a notation to that effect; (2) the fact
that the accused was advised of the matters set forth in R.C.M.
1304(b)(1); and (3) if the summary court-martial is the
convening authority, a notation to that effect.
0158a Summary Courts-Martial – Service of Record and Action
a. Service of record of trial. In accordance with R.C.M.

1305(d) the court-martial convening authority will serve a copy
of the certified record of trial on the accused as soon as it is
certified. The summary court-martial officer will forward the
original record of trial to the convening authority after the
accused has been served with a copy. After completion of the
convening authority’s action, the record of trial shall be
disposed of under SECNAV Manual 5210.1 (series) and prescribed
service regulations governing records management.
b. Service of convening authority’s action. The convening

authority shall take action on the sentence of a summary court-
martial and in the discretion of the convening authority, the
findings of the summary court-martial. See section 0154 and
R.C.M. 1306(b) for details on available actions. The convening
authority shall cause a copy of the convening authority’s action
to be served on the accused or on defense counsel. If a victim
requests a copy of the convening authority’s action, a copy shall
be provided to the victim or the victims’ counsel.
0158b Review of Summary Court-Martial
a. General. In each summary court-martial in which there

is a finding of guilty, a judge advocate designated by the GCMCA
superior in the chain of command to the convening authority
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shall review the record and append a written review of the case
in accordance with R.C.M. 1307. A copy of the review shall be
attached to the record of trial and forwarded to the accused or
defense counsel.
b. Action. If the judge advocate reviewing the summary

court-martial recommends corrective action, the record of trial
with the completed review must be forwarded to the GCMCA
superior in the chain of command to the convening authority for
action in accordance with R.C.M. 1307(f).
c. Review by the Judge Advocate General. If the judge

advocate who reviews the case under R.C.M. 1307 states that
corrective action is required as a matter of law and the officer
reviewing the action does not take action that is at least as
favorable to the accused as that recommended by the judge
advocate, the record of trial and the action shall be forwarded
to OJAG (Code 20) for a mandatory review under R.C.M. 1201(j).
d. Application for review by the Judge Advocate General.

Not later than one year after the completion of the review
pursuant to R.C.M. 1307, the accused may apply for review by the
Judge Advocate General under R.C.M. 1201(h). Apply the
procedures described in section 0167 (Article 69 reviews).
0159 Service of Record of Trial to the Accused and Victims –

General and Special Courts-Martial
a. General. The RLSO or LSSS will provide the contents of

the certified record of trial as listed in R.C.M. 1112(b) to the
accused and, if applicable, a qualifying victim pursuant to
Article 54, UCMJ, and R.C.M. 1112(e).
b. Accused copy. Except as provided in R.C.M. 1112(e)(3)

and subsections 0141a, 0144 and 0157 (h), the accused will
receive a copy of the record of trial immediately upon
certification. In preparing the record of trial for the accused,
redact the items listed in subparagraph (c)(1) through (9) below.
c. Victim copy. Qualifying victims, as defined in R.C.M.

1112(e)(1), will receive upon request a copy of the record of
trial immediately upon certification except as provided in R.C.M.
1112(e)(3), subparagraph 0141a, 0144, and 0157(h), and 5 U.S.C. §
552a, the Privacy Act of 1974. In preparing the record of trial
for the victim, the following material must be redacted if not
previously removed or sealed:
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(1) Social security numbers;
(2) All taxpayer ID numbers;
(3) All birthdates;
(4) The names of all minor witnesses and victims;
(5) Financial account numbers;
(6) Closed M.R.E. 412, 513, or 514 hearings;
(7) Home addresses;
(8) Personal e-mail addresses and telephone numbers; and
(9) Any unsealed medical records.
0160 Transmittal and Review of Records of Trial
a. JAG supervision. Records of all trials by court-martial

in the naval service are under the supervision of the JAG.
b. Records of trial requiring digital transmittal to Navy-

Marine Corps Appellate Review Activity – OJAG (Code 40). Within
seven (7) days of certification of any general or special court-
martial record of trial, the cognizant RLSO or LSSS will provide
a digital, unredacted copy of the certified record of trial to
Navy-Marine Corps Appellate Review Activity (OJAG, Code 40) via
the OJAG (Code 40) SharePoint site for public release pursuant
to Article 140a, UCMJ. If the certified record of trial cannot
be uploaded to the OJAG (Code 40) SharePoint site, a digital,
unredacted copy of the certified record of trial will be placed
on a CD or DVD and mailed directly to OJAG (Code 40). OJAG
(Code 40) will ensure the Naval Clemency and Parole Board is
able to access all unredacted records of trial on the OJAG (Code
40) SharePoint site.
c. Records of trial requiring physical transmittal to Navy-

Marine Corps Appellate Review Activity – OJAG (Code 40). All
general and special courts-martial certified records of trial
must be mailed to OJAG (Code 40) with the following two
exceptions: any special court-martial record of trial of an
enlisted accused without a finding of guilty (i.e., full
acquittal) or any special court-martial record of trial of an
enlisted accused where the sentence does not include a punitive
discharge or confinement for more than six months. Even if one
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of the exceptions applies, the certified record of trial must be

sent to OJAG (Code 40) for any case previously returned by an
appellate authority for further action.
(1) Unless subject to local review under Article 65(d),

UCMJ, all certified records of trial under this section will be
forwarded to OJAG (Code 40) not later than 120 days after the
announcement of the sentence (Post-Trial I).
(2) For any case subject to review under Article

65(d)(2) or (3), UCMJ, the certified record of trial and results
of the review will be forwarded to OJAG (Code 40) not later than
14 days after completion of the review.
(3) The RLSO or LSSS will mail the original, certified

record of trial to Navy-Marine Corps Appellate Review Activity
(Code 40), 1254 Charles Morris Street SE, Ste B01, Washington
Navy Yard, DC, 20374-5124 via USPS Priority Mail Express, USPS
Registered Mail, Federal Express, UPS Express, or DHL Express
only. Due to the requirement for speedy post-trial processing
and to prevent the compromise or loss of the original certified
record of trial and the Personally Identifiable Information
contained therein, neither regular nor certified USPS mail
service will be used to forward records of trial to OJAG or to
any other addressee in the court-martial record certification or
review process. Use of the required delivery services, listed
above, will provide tracking capability, reliable handling, and
maximum security. Consult JAGINST 5814.1 (series) and
appropriate Marine Corps guidance for supplemental post-trial
processing timelines. The RLSO or LSSS will provide reasons in
writing for any delay in forwarding the record and append them
to the record of trial.
d. Records of trial not requiring physical transmittal to

OJAG (Code 40). For any certified records of trial not covered
by section 0160c, including summary courts-martial, the
certified record of trial and results of any review under
Articles 64 and 65(d), UCMJ, shall be retained as follows:
(1) Shore activities will retain original certified

records of trial for a period of two years after Articles 64 or
65(d), UCMJ, review or adjournment in cases of a full acquittal.
(2) Fleet activities, including Fleet Air Wings and Fleet

Marine Forces, will retain original certified records of trial
for a period of three months after Articles 64 or 65(d), UCMJ,
review or adjournment in cases of a full acquittal.
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(3) At the termination of such retention period, commands

must contact the OJAG (Code 60) Records Manager for Navy cases
and Marine Corps Records Manager (ARDB) for Marine Corps cases to
coordinate the transfer of the original records of trial to the
National Personnel Records Center, Military Personnel Records,
General Services Administration.
e. Compliance with crime reporting requirements. Before

forwarding the record of trial to OJAG (Code 40), the
appropriate documents necessary for crime reporting must be
complete and uploaded to the respective case management systems.
Additionally, any fields in the electronic case management
system relating to crime reporting must be completed. Records
of trial will be deemed complete and accepted for appellate
review only when, in addition to the hard copy record being
received at NAMARA, the responsible RLSO or LSSS has ensured a
copy of the STR, convening authority’s action, all charge
sheets, entry of judgment, and, as applicable, any rulings
pursuant to R.C.M. 1104 are also uploaded into appropriate
electronic case management systems. Consult JAG/CNLSCINST
5814.1 (series) and appropriate Marine Corps guidance for
specific documentation requirements.
f. Review of cases.
(1) Cases eligible for review at the Court of Criminal

Appeals in which the accused has waived or withdrawn appellate
review or failed to file an appeal. If the accused waives the
right to appellate review prior to transmittal of the certified
record of trial to OJAG (Code 40) in accordance with section
0160, review the record in accordance with section 0160f(2)
below before transmitting the record of trial to OJAG (Code 40).
If the accused waives or withdraws the right to appellate review
or does not file a timely appeal after transmittal of the record
of trial to OJAG (Code 40), OJAG (Code 40) will deliver the case
to the commanding officer of the Reserve Preliminary Hearing
Officer Unit or his or her immediate supervisor to designate a
judge advocate to review the record in accordance with Article
65(d)(3)(B), UCMJ, and R.C.M. 1201(e).
(2) Cases not eligible for appellate review at a Court

of Criminal Appeals. If a case is not eligible for direct
review under Article 66(b), UCMJ, a judge advocate designated by
the GCMCA superior in the chain of command to the convening
authority must review the record pursuant to R.C.M. 1116 and in
accordance with Article 65(d), UCMJ, and R.C.M. 1201(d). Upon
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completion of the review, if the reviewing judge advocate

believes corrective action may be required, the reviewing judge
advocate shall forward the record of trial along with the request
for corrective action to the JAG or the JAG’s designee via OJAG
(Code 20) for action in accordance with Article 65(e), UCMJ.
(3) Cases eligible for appeal by an accused pursuant to

Article 66(b)(1), UCMJ. If a sentence includes more than six
months of confinement, but less than two years of confinement
and no punitive discharge, the accused will be notified of his
or her right to appeal by OJAG (Code 40) in accordance with
Article 66(b)(1), UCMJ. A copy of this notice will also be
provided to the Appellate Defense Division (Code 45). The
accused will have 90 days from the date the notice of the right
to appeal is post-marked to notify the NMCCA of his or her
intent to appeal. If the accused elects not to file an appeal
or withdraws from this appeal process, an Article 65(d)(3),
UCMJ, review is conducted in accordance with section 0160(f)(1)
above.
(4) Cases reviewed by a Court of Criminal Appeals.

NMCCA shall review cases forwarded to it by the JAG under
Article 65(b)(1), UCMJ, as well as cases eligible for review in
which the accused made a timely appeal from the judgment of a
court-martial, in accordance with Articles 66(b)(1) and 66(h),
UCMJ, and R.C.M. 1203.
0161 Appeal of Sentence by the Government
a. Submission of request to appeal. If the government seeks

to appeal the announced sentence under R.C.M. 1007 for a case
convened by a Navy convening authority, the Chief Prosecutor of
the Navy must obtain approval from the JAG or the JAG’s designee
in accordance with R.C.M. 1117. In order to request the approval
of the JAG, the Chief Prosecutor of the Navy shall submit the
request to JAG or JAG’s designee via OJAG (Code 46). For a case
convened by a Marine Corps convening authority, the Chief Trial
Counsel of the Marine Corps must obtain approval from the JAG or
the JAG’s designee in accordance with R.C.M. 1117. In order to
request the approval of the JAG, the cognizant Regional Trial
Counsel shall submit the request to the JAG or the JAG’s designee
via OJAG (Code 46).
b. Contents of request. This request shall include the

following:
(1) A statement of reasons to support an appeal;

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(2) Statement of the law at issue and the facts in the

record that demonstrate a violation of the law;
(3) Identification of facts that demonstrate by clear and

convincing evidence that the sentence was plainly unreasonable;
and
(4) Input, if provided, from the military judge, the

accused, parties, and the crime victim.
c. Timing. A government appeal of a sentence must be filed

with the Court of Criminal Appeals within 60 days after the entry
of judgment.
0162 JAG Orders Implementing Appellate Court Rulings
a. Background. Upon issuance of an appellate judicial

ruling (including Article 62 rulings, extraordinary writs, writ-
appeals, mandates, opinions, orders, decisions, or any other
ruling by NMCCA or CAAF, or SCOTUS), and after applicable
waiting periods have expired, OJAG (Code 40), acting on behalf
of the JAG, will return the record with the appellate ruling to
the convening authority for appropriate action. No action may
be taken on an appellate ruling until the ruling is returned by
OJAG (Code 40) via order to the appropriate convening authority.
b. Returned cases. When an appellate ruling issued by

NMCCA, CAAF, or SCOTUS returns a record of trial to the JAG for
further action, that record of trial will be retained by OJAG
(Code 40). OJAG (Code 40) will forward the following: (i) a
certified copy of the record of trial to the appropriate
convening authority via the cognizant RLSO or LSSS; and (ii) the
JAG order directing the required action on the appellate ruling.
No party may take any action on an appellate ruling until
directed by the JAG in accordance with section 0161. The
following rules apply:
(1) Returned NMCCA cases. In cases where NMCCA issues

an appellate ruling, OJAG (Code 40) will retain control of the
record of trial until the time for filing a petition for
reconsideration at NMCCA expires and no petition for further
review has been filed, except as provided below.
(a) OJAG (Code 40) will not return records of trial

before the expiration of applicable waiting periods, unless
informed in writing by both OJAG (Code 46), and appellate
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defense counsel of record, that neither party intends to seek

reconsideration, certification, petition, or further appellate
review, and both parties desire the record of trial be returned
to the convening authority or the Navy and Marine Corps
Appellate Leave Activity (NAMALA).
(b) If a petition for review or certificate is filed

at CAAF, or appellate review is otherwise granted at NMCCA,
CAAF, or SCOTUS, then OJAG (Code 40) will maintain the record or
forward the record of trial to CAAF or SCOTUS, if applicable.
(c) If NMCCA has ordered further proceedings or

post-trial processing, once complete, the convening authority
will return the record of trial to OJAG (Code 40) via the
cognizant RLSO, LSSS, or LC.
(2) Returned CAAF cases. In cases where CAAF issues a

ruling, OJAG (Code 40) will retain control of the record of
trial until the time for filing a petition for reconsideration
expires , and no petition for further review has been filed,
except as provided below.
(a) If reconsideration of a ruling is filed at CAAF,

OJAG (Code 40) will wait until CAAF rules on the reconsideration
(and in the case of opinions, until CAAF issues an official
mandate) and until expiration of any other applicable periods
that begin to run after the ruling on reconsideration is issued
(e.g., the time for filing a petition for writ of certiorari to
SCOTUS).
(b) Where CAAF instructs, OJAG (Code 40) will return

the record of trial to NMCCA for further review or to the JAG.
OJAG (Code 40) will not, however, return records of trial to the
convening authority before the expiration of applicable waiting
periods unless informed in writing by both OJAG (Code 46), and
the appellate defense counsel of record, that neither party
intends to seek reconsideration, certification, petition, or
further appellate review, and both parties desire the record be
returned to the convening authority.
(c) If CAAF has ordered further proceedings or post-

trial processing, once complete, the convening authority will
return the record to OJAG (Code 40) via the cognizant RLSO or
LSSS.
(d) If petition for further review is filed and

granted, or appellate review is otherwise granted at NMCCA,
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CAAF, or SCOTUS, then OJAG (Code 40) will maintain the record or
forward the record of trial to the appropriate court.
c. When confinement is affected. In accordance with

Article 57a, UCMJ, when a court-martial sentence to confinement
has been ordered executed, but the court-martial is pending
review under Article 67(a)(2), UCMJ, the Secretary concerned may
defer further service of the sentence to confinement while that
review is pending. Deferment requests pursuant to Article 57a
will be addressed to the Secretary of the Navy via OJAG (Code
20).
0163 Remission and Suspension
a. Authority to remit or suspend sentences in general

courts-martial and special courts-martial in which the sentence
includes a bad-conduct discharge. Pursuant to Article 74(a),
UCMJ, and subject to the limitations in section 0163a, the Under
Secretary of the Navy, the Assistant Secretaries of the Navy, the
JAG, and, subject to the limitations in Article 60a, UCMJ,
general court-martial convening authorities over the command to
which the accused is attached are empowered to remit or suspend
any part or amount of the unexecuted portion of any sentence,
including all uncollected forfeitures, other than a sentence
approved by the President. A sentence to death, however, may not
be suspended.
b. Authority to remit or suspend sentences. Notwithstanding

the limitations in section 0163a , if the accused's commander has
authority to convene a court-martial of the kind that adjudged
the sentence, that commander, subject to the limitations of
Article 60a, UCMJ, may suspend or remit any part of the
unexecuted part of any sentence that does not include a sentence
of death, dishonorable discharge, bad-conduct discharge,
dismissal, or confinement for more than six months. See R.C.M.
1107(b).
c. Probationary period. Suspensions will conform to the

conditions, limitations, and termination requirements of R.C.M.
1107(c)-(e). See also R.C.M. 1108(b)(4), which governs
interruptions of a period of suspension due to unauthorized
absence of the probationer or the commencement of proceedings to
vacate suspension. For instructions concerning voluntary
extension of enlistment for the purpose of serving probation. See
SECNAVINST 5815.3 (series).
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d. Liaison with Naval Clemency and Parole Board. Officers

taking clemency action pursuant to the authority of section 0163
on any sentence including a punitive discharge or confinement for
12 months or more will coordinate such action with the Naval
Clemency and Parole Board under the provisions of SECNAVINST
5815.3 (series). This obligation to coordinate does not limit
the authority any officer otherwise has to take clemency action.
0163a Limitations on Authority to Remit and Suspend Sentences
a. Cases involving national security. No official of the

DON, other than the Secretary of the Navy, may remit or suspend,
pursuant to Article 74(a), UCMJ, any part or amount of the
approved sentence in any case designated as a national security
case in accordance with section 0126.
b. Life without the possibility of parole. The Secretary of

the Navy may suspend or remit the unexecuted part of a sentence
of confinement for life without eligibility for parole only after
the service of a period of confinement of not less than 20 years.
See R.C.M. 1107(b)(4).
c. Flag and general officers. Notwithstanding section 0163,

the JAG may not remit or suspend, pursuant to Article 74(a),
UCMJ, any part or amount of the sentence in any case involving a
flag or general officer.
d. Officers and warrant officers. Notwithstanding section

0163, GCMCAs may not remit or suspend, pursuant to Article 74(a),
UCMJ, any part or amount of the sentence in any case involving an
officer or warrant officer.
e. Authority of the Commanding Officer, Navy-Marine Corps

Appellate Leave Activity, and the Commanding Officer, Marine
Detachment, U.S. Disciplinary Barracks, Fort Leavenworth, KS.
The Commanding Officer, Navy-Marine Corps Appellate Leave
Activity, and the Commanding Officer, Marine Detachment, U.S.
Disciplinary Barracks, Fort Leavenworth, KS (or its successor
command), may:
(1) Effect actions directed by the Secretary of the Navy

following clemency review;
(2) Remit uncollected forfeitures of courts-martial

prisoners returning to duty;
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(3) Remit confinement, not in excess of five days, to

facilitate administration, by adjusting dates of transfer upon
completion of confinement. Early releases in excess of five days
may be granted when specifically authorized by the Commander,
Navy Personnel Command for Navy prisoners, or the Commandant of
the Marine Corps for Marine Corps prisoners; and
(4) Exercise other authority specifically delegated in

writing by the Secretary of the Navy.
0164 Restoration of the Accused
In a case where an executed portion of a court-martial sentence

has been set aside or disapproved, the accused must be restored
unless a new trial or rehearing is ordered and such executed
portion is included in a sentence imposed at a new hearing. For
the period of time after the date on which an executed part of a
court-martial sentence is set aside, an accused pending a
rehearing or new trial should receive pay and allowances at the
restored grade until the completion of the new trial or
rehearing.
0165 Vacation of Suspension of Sentence
a. Review of confinement of probationer pending vacation

proceedings. The officers appointed under section 0127 to
conduct a review of pre-trial confinement under R.C.M. 305 will
also conduct reviews of confinement under R.C.M. 1108(c)(4). The
same procedures set forth on section 0127 shall be used.
b. Notice of proceedings. In the case of a court-martial

under review, immediate notice of the vacation of any punishment
will be made to the command or activity conducting the review.
In the case of a court-martial in which the approved sentence
includes a punitive discharge, dismissal, death, or confinement
of six months or more, and appellate review has not been waived,
notice will be made to both the Navy-Marine Corps Appellate
Review Activity (OJAG, Code 40) and the NMCCA.
c. Filing of report of proceedings. The original record of

any proceedings in connection with vacation of suspension under
R.C.M. 1108, will be included in the certified record of trial
(see R.C.M. 1112(f)). If the authority ordering the vacation is
not in possession of the record of trial, that authority will
transmit the record of the vacation proceedings to the command or
activity to which the original record of trial was forwarded for
inclusion in the record of trial. In the case of vacation of a
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suspended general court-martial sentence or suspended special

court-martial sentence including a bad-conduct discharge, a
digital copy of the record of any vacation proceedings will be
forwarded to OJAG (Code 40) with the original of such vacation
proceedings.
d. Execution of vacated punishments. The execution of a

vacated punishment is subject to the restrictions of section 0155
and R.C.M. 1102(b).
0166 Request for Waiver or Withdrawal of Appellate Review
a. General. See section 0160 on transmission of the

certified record of trial.
b. Waiver or withdrawal. A waiver may be signed at any

time after entry of judgment and withdrawal from appellate
review may be made at any time before such review is completed.
An accused cannot, however, effectively waive appellate review
until after service of the entry of judgment. An accused who
wishes to waive or withdraw from appellate review has the right
to consult with counsel before such waiver or withdrawal. The
waiver or withdrawal of appellate review must be in writing and
forwarded for inclusion into the original record of trial as an
enclosure. For sample forms, see Appendices 13 and 14, MCM.
0167 Article 69, UCMJ, Reviews
a. General. Upon application by the accused, the JAG, or

his or her designee, may modify or set aside, in whole or in
part, the findings and sentence of a court-martial that is not
reviewed under Article 66, UCMJ. An Article 69, UCMJ, review
occurs after a review under Article 64 or 65, UCMJ.
b. Time limits. An application by an accused for an Article

69, UCMJ, review must be filed in OJAG (Code 20) within one year
after the date of the completion of the review under Article 64
or 65, UCMJ, unless the accused establishes good cause for
failure to file within that time. The period in which to request
a review under Article 69, UCMJ, cannot, however, exceed three
years. Any command in receipt of an application for Article 69,
UCMJ, review will immediately forward an advance copy of the
application to OJAG (Code 20) to ensure the timely submission of
the application.
c. Scope of review.
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(1) In a case previously reviewed under Article 64, UCMJ,

(summary courts-martial) or cases previously reviewed under
Article 65(d)(2), UCMJ (cases not eligible for direct appeal),
the JAG may set aside the findings or sentence, in whole or in
part, on the grounds of newly discovered evidence, fraud on the
court, lack of jurisdiction over the accused or the offense,
error prejudicial to the substantial rights of the accused, or
appropriateness of the sentence.
(2) In a case previously reviewed under Article 65(d)(3),

UCMJ, the review is limited to the determination of whether the
waiver, withdrawal, or failure to file an appeal was invalid.
d. Submission procedures. Applications for relief will be

submitted in writing to OJAG (Code 20). If the accused is on
active duty, the application will be submitted via the
applicant's commanding officer, the command that convened the
court-martial, and the command that reviewed the case under
Article 64 or 65, UCMJ, if applicable. If the original record of
trial is held by the command that reviewed the case under Article
64 or 65, UCMJ, it will be forwarded as an enclosure to the
command’s endorsement. If the original record of trial has been
filed in the National Personnel Records Center (see section
0160), the endorsement will include all necessary retrieval data
(accession number, box number, and shelf location) obtained from
the receipt returned from the National Personnel Records Center
to the sending activity. This endorsement will also include
information and specific comments on the grounds for relief
asserted in the application, and an opinion on the merits of the
application. If the applicant is no longer on active duty, the
application will be submitted directly to OJAG (Code 20).
e. Contents of application. All applications for relief

will contain:
(1) Full name of the applicant;
(2) Applicant’s DoD ID number and branch of service, if

any;
(3) Applicant’s present grade, if on active duty or

retired, or "civilian" or "deceased," as applicable;
(4) Applicant’s address at time the application is

forwarded;
(5) Date of trial;

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(6) Place of trial;
(7) Command title of the organization at which the court-

martial was convened (convening authority);
(8) Command title of the officer exercising Article 64

review authority over the applicant at the time of trial, if
applicable;
(9) Command title of the officer that performed the

Article 65(d), UCMJ, review, if applicable;
(10) Type of court-martial that convicted the applicant,

and sentence adjudged;
(11) General grounds for the requested relief, which must

be one or more of the following:
(a) Newly discovered evidence;
(b) Fraud on the court;
(c) Lack of jurisdiction over the accused or the

offense;
(d) Error prejudicial to the substantial rights of

the accused; or
(e) Appropriateness of the sentence.
(12) An elaboration of the specific prejudice resulting

from any error cited. Legal authorities to support the
applicant's contentions may be included, and the format used may
take the form of a legal brief if the applicant so desires;
(13) Any other matter the applicant desires to submit;
(14) Relief requested;
(15) Facts and circumstances to establish "good cause"

for a failure to file the application within the time limits
prescribed in subsection 0167(b), if applicable; and
(16) If the application is signed by a person other than

the applicant or the applicant’s counsel pursuant to subsection
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0167(f), an explanation of the circumstances rendering the

applicant incapable of making application.
f. Signatures on application. The applicant, or the

applicant’s counsel, will sign the application. If the applicant
is incapable of making application, the application may be signed
under oath and submitted by the applicant's spouse, next of kin,
executor, guardian, or other person with a proper interest in the
matter. For purposes of this subsection, one is considered
incapable of making application when they are unable to sign the
application due to death or physical or mental incapacity.
g. Notification of JAG review. Upon completion of the

Article 69, UCMJ, review, OJAG (Code 40) will mail a copy of the
decision made by the JAG or the JAG’s designee to the accused .
An accused is notified when the decision is mailed to the address
provided by the accused or the address listed for the accused in
the official service record. This notification will inform the
accused of his or her right to request the Court of Criminal
Appeals review the case under Article 66(b)(1)(D). This
notification begins the 60-day period for the accused to seek
NMCCA review.
h. Court of Criminal Appeals review of Article 69, UCMJ,

appeals. The NMCCA may review a case after Article 69, UCMJ,
review is complete in two situations: (1) in a case sent to the
NMCCA by order of the JAG; or (2) when an accused applies for
NMCCA review subsequent to the decision made by the JAG, or his
or her designee. If an accused seeks NMCCA review, the accused
must submit an application within 60 days of receiving
notification of the decision of the JAG, or his or her designee,
or within 60 days of when the decision was mailed to the accused
in accordance with subsection 0167(g). The accused’s application
for NMCCA review must demonstrate a substantial basis for
concluding that the decision constituted prejudicial error.
0168 Petition for New Trial - Article 73, UCMJ
Petitions for a new trial under Article 73, UCMJ, will comply
with the form and procedures set forth in R.C.M. 1210, and will
be sent directly to OJAG (Code 40).
0169 Substitution of Discharge – Article 74(b), UCMJ
a. Statutory provision. Article 74(b), UCMJ, provides that

the "Secretary concerned may, for good cause, substitute an
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administrative form of discharge for a discharge or dismissal

executed in accordance with the sentence of a court-martial."
b. Submission procedures. Applications for substitution of

discharge under Article 74(b), UCMJ, will be submitted to the
Secretary of the Navy through OJAG (Code 20). If received
within five years after the execution of the punitive discharge
or dismissal, or within five years after the disapproval of a
prior request under Article 74(b), UCMJ, applications for
substitution of discharge, except in unusual circumstances, will
not normally be considered.
c. Contents of the application. All applications for

substitution of discharge will contain:
(1) Applicant’s full name, DoD ID number, age, and date

of birth;
(2) Applicant’s branch of service;
(3) Date and place of trial, and type of court-martial

that resulted in the punitive discharge or dismissal;
(4) Command title of the court-martial convening

authority;
(5) Offense(s) of which the applicant was convicted and

the sentence entered by the court;
(6) Date the punitive discharge or dismissal was

executed;
(7) Applicant’s current marital status and number and

ages of dependents, if any;
(8) Applicant’s civilian criminal record (arrest(s) with

disposition and conviction(s)), if any, both prior and
subsequent to the court-martial that resulted in the punitive
discharge or dismissal. If an applicant has no civilian
criminal record, he or she should affirmatively state such fact
in the application;
(9) Any military administrative discharge proceedings

(circumstances and disposition) initiated against the applicant;
(10) Applicant’s full employment record since the

punitive discharge or dismissal was executed;
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(11) The specific type and character of administrative

discharge requested under Article 74(b), UCMJ (a more favorable
administrative discharge than that requested will not be
approved);
(12) At least three, but no more than six, character

affidavits. The character affidavits must be notarized and
indicate the relationship of the affiant as well as specific
reasons why the affiant believes the applicant to be of good
character. The affidavits should discuss the applicant’s
character primarily as reflected in the civilian community since
the applicant’s punitive discharge or dismissal;
(13) Any matters, other than character affidavits,

supporting the considerations described in 0169(c)(12); and
(14) A statement by the applicant, setting forth the

specific considerations the applicant believes constitute good
cause sufficient to warrant the substitution of an
administrative form of discharge for the punitive discharge or
dismissal previously executed. Article 74(b), UCMJ, does not
provide an extraordinary procedure for the review of a court-
martial. Questions of guilt or innocence, or legal issues
attendant to the court-martial that resulted in the punitive
discharge or dismissal, are neither relevant nor appropriate for
consideration under Article 74(b), UCMJ. As used in the
statute, "good cause" was envisioned by Congress to encompass a
Secretarial exercise of clemency and ultimate control of
sentence uniformity. Accordingly, in determining what
constitutes good cause under Article 74(b), UCMJ, the primary
consideration will be the applicant’s record in the civilian
community subsequent to his or her punitive separation from the
naval service.
d. Signature on application. The applicant, or the

applicant’s counsel, will sign the application. If the applicant
is incapable of making application, the application may be signed
under oath and submitted by the applicant's spouse, next of kin,
executor, guardian, or other person with a proper interest in the
matter. For purposes of this subsection, one is considered
incapable of making application when they are unable to sign the
application due to death or physical or mental incapacity.
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0170 Notification to Accused of Court of Criminal Appeals

Decision
a. Service of NMCCA decision upon accused. Upon receipt of

the decision of NMCCA, OJAG (Code 40) will provide the accused a
copy of the decision by first-class certified mail. If the
accused’s address is not contained in the certified record of
trial, the GCMCA over the accused will provide OJAG (Code 40) the
accused’s last known address. If the accused is in a military
confinement facility, absent contrary directions from the
accused, OJAG (Code 40) will forward the decision to the
commanding officer or officer in charge of the confinement
facility for delivery to the accused. The commanding officer or
officer in charge of such facility will ensure personal service
on the accused and that the certificate of personal service is
completed and returned to OJAG (Code 40).
b. Contents. The contents of the above service must include

a copy of the NMCCA decision containing the endorsement notifying
the accused of his or her right to petition for review by CAAF.
c. Copies of decision. Copies of the NMCCA decision will be

forwarded by OJAG (Code 40) to the appropriate RLSO, LSSS, or LC.
d. Change in address. Notice of any change in address of

the accused due to transfer, appellate leave, or any reason will
be immediately provided to OJAG (Code 40).
e. Completion of appellate review. OJAG (Code 40) will

forward notification of the completion of appellate review (i.e.,
expiration of the 60-day appeal period if no petition for review
is filed, or final review by CAAF or SCOTUS) to the cognizant
GCMCA for compliance with sections 0162 and 0170, if applicable.
0171 Request for Immediate Execution of Discharge
a. General. Before completion of appellate review, an

accused may request immediate execution of the unexecuted portion
of his or her sentence, following completion of the confinement
portion thereof, if any, in those cases in which the sentence as
affirmed by NMCCA:
(1) Includes an unsuspended punitive discharge; and
(2) Either does not include confinement, or the

confinement portion thereof has been or will be completed before
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60 days from the date the accused is served with a copy of the
NMCCA decision.
b. Conditions of approval. Such requests may be approved by

the GCMCA subject to the following conditions:
(1) That the accused has received a copy of the decision

of the NMCCA in his or her case;
(2) That the accused has had fully explained to him or

her the right to petition CAAF for grant of review;
(3) That the accused does not have a petition or case

pending before CAAF;
(4) That the accused does not intend to petition CAAF,

but he or she understands that the request for immediate release
does not affect the right to petition CAAF;
(5) That the accused has consulted counsel of his or her

own choice; and
(6) That Naval Clemency and Parole Board review, under

the provisions of SECNAVINST 5815.3 (series), if applicable, has
been completed.
c. Execution of unexecuted portion of sentence. Upon

approval of such requests, the GCMCA will order the unexecuted
portion of the sentence to be duly executed.
d. Form of request for immediate execution of discharge.

The prescribed form is set forth in Appendix A-1-n. The request
will be transmitted to OJAG (Code 40) by the appellant or the
appellate defense counsel.
0172 Inspection of Record of Trial Containing Classified

Information
After the completion of the appellate review process, an

appellant desiring to personally inspect the original, certified
record of trial that contains classified information must submit
a request to OJAG (Code 40) via OJAG (Code 30). Such requests
are subject to the requirements of SECNAVINST 5510.36 (series).
If an appellant makes such a request during the appellate review
process, refer to subsection 0156(i) for applicable procedures.
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0173 Setoff of Indebtedness of a Person Against Pay
a. Court-martial decisions. When the United States has

suffered loss of money or property through the offenses of
selling or otherwise disposing of, or willfully damaging or
losing military property, willfully and wrongfully hazarding a
vessel, larceny, wrongful appropriation, robbery, forgery, arson,
or fraud for which persons, other than accountable officers (see
DoD Financial Management Regulation, DoD 7000.14-R, Volume 5,
Chapter 2, section 0203) have been convicted by court-martial,
the amount of such loss constitutes an indebtedness to the United
States that will be set off against the final pay and allowances
due such person at the time of dismissal, discharge, or release
from active duty.
b. Administrative determinations. When the government

suffers a loss of money and competent authority has
administratively determined the loss occurred through the fraud,
forgery, or other unlawful acts of such persons as described in
subsection 0173(a), the amount of such loss will be set off as
described in subsection 0173(a). "Competent authority," as used
herein, will be the commanding officer of such persons and the
administrative determination will be made through an
investigation pursuant to this Manual, and approved on review by
a GCMCA.
c. Army and Air Force property. When the money or property

involved belongs to the Army or the Air Force, and such service
determines liability through the procedures provided by the
authority of 37 U.S.C. § 1007 and demands setoff against the
final pay and allowances of any naval service personnel, setoff
will be effected in accordance with subsection 0173(a).
d. Voluntary restitution. Immediate recovery action may be

instituted on the basis of a voluntary offer of the member to
make restitution of all or part of any indebtedness to the
government. The voluntary offer constitutes assumption of
pecuniary responsibility for the loss and, as such, is
sufficient to authorize checkage of current pay, if required, to
collect the amount of the indebtedness. See also 10 U.S.C. §
6161 concerning the possibility of remission or cancellation of
an enlisted member's indebtedness. Nothing herein precludes a
setoff against final pay in other cases when such action is
directed by competent authority.
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Part D - Miscellaneous
0174 Apprehension by Civilian Agents of the Naval Criminal

Investigative Service
Pursuant to the provisions of R.C.M. 302(b)(1), and under the

authority of Article 7(b), UCMJ, any civilian agent of NCIS who
is duly accredited by the Director, NCIS, and who is engaged in
conducting an investigation, with or without prior approval or a
request from a competent command, within the investigative
jurisdiction of NCIS as established in departmental directives,
may apprehend, if necessary, persons subject to the UCMJ or to
trial thereunder, upon reasonable belief that an offense has been
committed and that the person apprehended committed it. A person
so apprehended must be taken promptly before his or her
commanding officer or other appropriate military authority. Such
a civilian agent may apprehend a commissioned officer or a
warrant officer only pursuant to specific orders of a
commissioned officer, except where such an apprehension is
necessary to prevent disgrace to the service, the commission of a
serious offense, or the escape of one who has committed a serious
offense. Such a civilian agent, even though not conducting an
investigation relating to the person apprehended, may also
apprehend a person subject to the UCMJ upon observation of the
commission of a felony or a misdemeanor amounting to a breach of
the peace occurring in the agent's presence. A person so
apprehended must be delivered promptly to his or her commanding
officer or other appropriate military authority.
0175 Authority to Prescribe Regulations Relating to the

Designation and Changing of Places of Confinement
Commander, Navy Personnel Command and the Commandant of the

Marine Corps are authorized to issue joint regulations, as
required, relating to the designation and the changing of places
of confinement of naval prisoners, the transfer of naval
prisoners among military confinement facilities, and transfers
from military facilities to civilian confinement facilities. See
SECNAVINST 1640.9 (series), BUPERSINST 1640 (series), and MCO
1640.3.
0176 Forms Supplementing the Military Rules of Evidence
a. Interrogations. Appendix A-1-o contains a suggested

format that investigative personnel can use when a criminal
suspect desires to waive his or her rights concerning self-
incrimination and to make a statement. See M.R.E. 301-305.
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b. Search and seizure. Appendices A-1-p and A-1-q contain

suggested formats for recording information pertaining to
authorization for searches, with instructions, and the granting
of consent to search. See M.R.E. 311-316.
0177 Recoupment of Advanced Education Assistance
a. Authority. 10 U.S.C. § 2005 authorizes the Secretary of

the Navy to require a Service member to enter a written agreement
to serve on active duty for a specified period of time as a
condition of that Service member’s receipt of advanced education
financial assistance from the Government. Whether voluntarily or
as a result of misconduct, if the Service member fails to
complete the term of active-duty service specified in the
agreement, the Secretary of the Navy can require the member to
reimburse the United States. 10 U.S.C. § 2005 also requires that
a recipient of advanced education assistance be advised of the
recoupment possibility before the recipient submits a request for
voluntary separation or makes a personal decision regarding
administrative, nonjudicial, or judicial action resulting from
alleged misconduct.
b. Advisement. Accordingly, a Service member having

obligated service arising from advanced education assistance
must be advised that he or she may be required to reimburse the
United States for the cost of advanced education assistance not
repaid by active service as specified in the written agreement
entered into with the Government. This advice (see Appendix A-
1-e) must be given to the member before he or she:
(1) Accepts nonjudicial punishment or a summary court-

martial;
(2) Requests voluntary separation;
(3) Waives an administrative discharge board or board of

inquiry; or
(4) Enters a guilty plea at a court-martial (whether in

accordance with a plea agreement or otherwise).
c. Application. Recoupment applies to those individuals who

have received, at Government expense, education or training above
the secondary level. Applicable programs may include, but are
not limited to, the U.S. service academies, Reserve Officer
Training Corps, the Funded Law Education Program, the Armed
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Forces Health Professions Scholarship Program, other post-

graduate programs, and enlisted educational programs such as the
Enlisted Education Advancement Program.
d. No additional rights. This requirement is not intended

to confer rights on an individual but to preserve for the
Government the possibility of recoupment. Failure to advise a
member of the possibility of recoupment, as discussed in
subsections 0177(a) and (b) above, before the member submits a
request for retirement or makes a personal decision regarding
administrative separation, nonjudicial punishment, or judicial
actions will not create any cause for relief against an otherwise
valid nonjudicial, judicial, or administrative proceeding
process.
0178 Search of Attorneys and Attorney Spaces
a. General. There are occasions when effective law

enforcement may require the issuance of a search authorization
for attorneys or attorney spaces. Because of the potential
effect of this type of search on attorney-client relationships
and because of the possibility that, during such a search, the
government may encounter material protected by a legitimate
claim of privilege, it is important that close control be
exercised over this type of search. See United States v.
Betancourt, 2017 CCA LEXIS 386 (N-M.C.C.A. June 6, 2017).
b. Definitions.
(1) For purposes of section 0178 only, "subject"

includes:
(a) An attorney who is a suspect, subject, or target

of a criminal investigation;
(b) An attorney who is related by blood or marriage

to a suspect, subject, or target of a criminal investigation; or
(c) An attorney who is believed to be in possession

of contraband or the fruits or instrumentalities of a crime.
(2) Attorney "spaces" may include the office, residence,

personal items, or person of the attorney.
(3) Exigent circumstances is defined as an emergency

situation requiring swift action to prevent imminent danger to
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life or serious damage to property, or to forestall the imminent

escape of a suspect or destruction of evidence.
c. Considerations. In order to avoid impinging on

attorney-client relationships, trial counsel and law enforcement
agencies are expected to take the least intrusive approach
consistent with vigorous and effective law enforcement when
evidence is sought from an attorney actively engaged in the
practice of law. Consideration should be given to obtaining
information from other sources or through the use of a subpoena,
unless such efforts could compromise the criminal investigation
or prosecution, or could result in the obstruction or
destruction of evidence, or would otherwise be ineffective. An
application for such a search authorization is appropriate when
there is a strong need for the information or material and less
intrusive means have been considered and rejected.
d. Procedures for obtaining search authorization. Should

trial counsel believe there are no viable, less-intrusive
alternatives available, including seeking a court order when a
court has jurisdiction over the matter, then prior consultation
is ordinarily required before requesting the issuance of a
search authorization. Absent exigent circumstances, the
following consultation procedures apply:
(1) Prior consultation with Trial Counsel Assistance

Program (TCAP). Trial counsel or law enforcement agents must
first consult with the cognizant Director, TCAP (either Navy or
USMC, as applicable) prior to requesting approval for such
searches. Trial counsel or law enforcement agents should
consult with the cognizant Director, TCAP as early as possible
regarding a possible search of an attorney or an attorney’s
spaces. To facilitate the consultation, the cognizant Director,
TCAP should be provided the grounds for requesting the search,
the relevant information about the proposed search, a draft copy
of the proposed search authorization, affidavit in support
thereof, and any special instructions to the searching agents
regarding search procedures and procedures to be followed to
ensure that trial counsel (or the trial counsel team) is not
"tainted" by any privileged material inadvertently seized during
the search.
(2) The following procedures should be discussed with

the cognizant Director, TCAP during consultation concerning the
prospective search. This is not an exhaustive list of
considerations, and the matters considered will vary according
the facts of each case:
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(a) The privilege team (see subsection 0178(f)(2))

that will conduct the review;
(b) Whether copies of all seized materials will be

provided to the subject attorney (or a legal representative) in
order to minimize adverse effects on the attorney’s legal
practice and to ensure that the subject counsel is afforded an
opportunity to participate in the process of disputing
determinations of privilege. To the extent possible, providing
copies of seized records is encouraged, where such disclosure
will not impede or obstruct the investigation; and
(c) Whether appropriate arrangements have been made

for storage and handling of electronic evidence and procedures
developed for searching computer data (i.e., procedures that
recognize the unique nature of computer seizure and are designed
to avoid review of materials implicating the privilege of
unrelated clients).
(3) After consultation, Director, TCAP must provide a

recommendation on the requested search authorization to the
Chief of Staff, Region Legal Services Office (COS RLSO) or the
Deputy Director, HQMC (JA), as appropriate. COS RLSO or Deputy
Director, HQMC (JA) will then make a written recommendation to
the commander with authority to grant the search. Absent
exigent circumstances, trial counsel or law enforcement agents
may not request search authorization from a commander with
authority to grant the request until after consultation with the
COS RLSO or Deputy Director, HQMC (JA) and receiving his or her
written recommendation. Before advising that commander, the
cognizant judge advocate must consult with the law enforcement
officials seeking the authorization and the COS RLSO or the
Deputy Director, HQMC (JA), as appropriate.
(4) Should exigent circumstances prevent prior

consultation, the trial counsel should notify the cognizant TCAP
and COS RLSO or Deputy Director, HQMC (JA) of the search
immediately and provide a copy of any command authorized search
authorization, search authorization affidavit, and any special
instructions to the searching agents as soon as possible.
e. Documentation. The draft of the proposed search

authorization should be drawn as specifically as possible,
consistent with the requirements of the investigation, to
minimize the need to search and review privileged material to
which no exception applies. The affidavit in support of the
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proposed search authorization may attach any written

instructions or, at a minimum, should generally state the
government's intention to employ procedures designed to avoid
impinging on valid attorney-client privileges.
f. Search procedures. In conducting the search, the

following procedures shall apply:
(1) Procedures should be designed to ensure that

privileged materials are not improperly viewed, seized or
retained during the course of the search. The procedures to be
followed should be tailored to the facts of each case and
applicable mission needs and command structure. In all cases,
trial counsel and law enforcement agents must employ adequate
precautions to ensure that any searched materials are promptly
reviewed for privilege claims and that privileged documents are
returned to the attorney from whom they were seized.
(2) While every effort should be made to avoid viewing

privileged material, the search may require limited review of
arguably privileged material to ascertain whether the material
is covered by the search authorization. Therefore, to protect
the attorney-client privilege and to ensure that the
investigation is not compromised by exposure to privileged
material relating to the investigation or to defense strategy,
COS RLSO or OIC, LSSS should designate a “privilege team.” The
privilege team will consist of agents or investigators and a
judge advocate who are not involved in the underlying
investigation. The judge advocate assigned to the privilege
team should not be connected to the investigation, or to the
prosecution or defense departments involved in the case.
(3) The judge advocate assigned to the privilege team

will give instructions that set forth procedures designed to
minimize the intrusion into privileged material, and should
ensure that the privilege team does not disclose any information
to the investigation and trial counsel team unless and until so
instructed by the judge advocate assigned to the privilege team.
The privilege team judge advocate should be available either on
or off-site, to advise the agents during the course of the
search, but should not participate in the search itself.
(4) Once granted, the execution of the search

authorization should be planned to minimize disruption to the
operation of the attorney’s office and should occur at a time
when clients are unlikely to be present. If clients are
present, the search will not be conducted until clients can
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depart the spaces unless exigent circumstances require the

search to be conducted immediately.
(5) Reasonable efforts should be made to limit the scope

of the search to the evidence sought. The search should end
when the object of the search is located and seized to avoid a
continuing, unnecessary search of privileged spaces. If
feasible, consideration should be given to securing or
"freezing" the place being searched to confirm the recovery of
the object of the search.
(6) If it is anticipated that computers, to include cell

phones, will be searched or seized, investigators should follow
procedures similar to those set forth in the current edition of
the Department of Justice, Criminal Division, Computer Crime and
Intellectual Property Section’s Searching and Seizing Computers
manual.
g. Disclaimer. These guidelines are set forth solely for

the purpose of internal DON guidance. They are not intended to,
do not, and may not be relied upon to create any rights,
substantive or procedural, enforceable at law by any party in
any matter, civil or criminal, nor do they place any limitations
on otherwise lawful investigative or litigation prerogatives of
the DON.
0179 Military Justice Forms Index
a. How to obtain forms. DD forms used in courts-martial are

available from the DoD Forms Management Program site at
http://www.esd.whs.mil/DD/.
b. Forms prescribed by MCM. Where forms are prescribed by

the MCM, but are not immediately available, convening authorities
may improvise as necessary, using the MCM and its appendices as
guides.
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NONPUNITIVE LETTER OF CAUTION
Date
From: Commander, U.S. Pacific Fleet

To: [Rank], [Name of officer receiving NPLOC], [Corps (if
applicable)], USN/[Designator]
Subj: NONPUNITIVE LETTER OF CAUTION
Ref: (a) Report of investigation into discrepancies in the

ship's store returns for the first quarter of fiscal
year 20__, on USS_______________ (_____)
(b) R.C.M. 306, MCM
(c) JAGMAN 0105
1. Reference (a) is the record of an investigation by

_______________ to inquire into certain discrepancies in the
ship's store returns for the first quarter of fiscal year 20__
in USS _____________________.
2. [Here insert a precise statement of the relevant events and

circumstances for which the letter of caution is issued.] From
the foregoing, it is apparent that you performed your duties in
a careless manner. Such carelessness contributed to the
improper operation of the ship's store aboard USS
_____________. Accordingly, you are hereby administratively
cautioned pursuant to references (b) and (c).
3. This letter, being nonpunitive, is addressed to you as a

corrective measure. It does not become a part of your official
record. You are advised, however, that in the future you will
be expected to exercise greater care in the performance of your
duties in order to measure up to the high standard of
performance of duty required of all officers in the Surface
Force. Commander, U.S. Pacific Fleet, trusts that the
instructional benefit you will receive from this experience
will cause you to become a more proficient Naval officer.
[Signature]
A-1-a
NONJUDICIAL PUNISHMENT
ACCUSED’S NOTIFICATION AND ELECTION OF RIGHTS
ACCUSED ATTACHED TO OR EMBARKED IN A VESSEL
(See JAGMAN 0109)
Notification and election of rights concerning the contemplated

imposition of nonjudicial punishment in the case of
__________________________________, assigned or attached to
_______________________.
NOTIFICATION
1. In accordance with the requirements of paragraph 4 of Part

V, MCM, [insert current edition], you are hereby notified that
the commanding officer is considering imposing nonjudicial
punishment on you because of the following alleged offenses:
(Note: Here describe the offenses, including the UCMJ

Article(s) allegedly violated.)
2. The allegations against you are based on the following

information:
(Note: Here provide a brief summary of that information.)
3. You may request a personal appearance before the commanding

officer or you may waive this right.
a. Personal appearance waived. If you waive your right to

appear personally before the commanding officer, you will have
the right to submit any written matters you desire for the
commanding officer’s consideration in determining whether or
not you committed the offenses alleged, and, if so, in
determining an appropriate punishment. You are hereby informed
that you have the right to remain silent and that anything you
do submit for consideration may be used against you in a trial
by court-martial.
b. Personal appearance requested. If you exercise your

right to appear personally before the commanding officer, you
will be entitled to the following rights at the proceeding:
(1) To be informed of your rights under Article 31,

UCMJ;
(2) To be informed of the information against you

relating to the offenses alleged;
(3) To be accompanied by a spokesperson provided or

arranged for you. A spokesperson is not entitled to travel or
similar expenses, and the proceedings will not be delayed to
A-1-b
permit the presence of a spokesperson. The spokesperson may

speak on your behalf, but may not question witnesses except as
the commanding officer may permit as a matter of discretion.
The spokesperson need not be a lawyer;
(4) To be permitted to examine documents or physical

objects considered as evidence against you that the commanding
officer has examined in the case and on which the commanding
officer intends to rely in deciding whether to impose
nonjudicial punishment and if so, how much;
(5) To present matters in defense, extenuation, and

mitigation orally, in writing, or both;
(6) To have witnesses attend the proceeding, including
those who may be witness(es) against you, if their statements
will be relevant and the witness(es) are reasonably available.
A witness is not reasonably available if the witness requires
reimbursement by the United States for any cost incurred in
appearing, cannot appear without unduly delaying the
proceedings, or, if a military witness, cannot be excused from
other important duties; and
(7) To have the proceedings open to the public unless

the commanding officer determines that the proceedings should
be closed for good cause. However, this does not require that
special arrangements be made to facilitate access to the
proceeding.
ELECTION OF RIGHTS
4. Knowing and understanding all of my rights as set forth in

paragraphs 1 through 3 above, my desires are as follows:
a. Personal appearance. (Check one)
________ I request a personal appearance before the

commanding officer.
________ I waive my right to a personal appearance. (Check

one below)
________ I do not desire to submit any written

matters for consideration.
________ I desire to submit written matters for

consideration by the nonjudicial punishment authority. Written
matters are/are not (circle one) attached.
b. Elections at personal appearance. (Check and complete
A-1-b
as applicable)
________ I request that the following witnesses be present

at my nonjudicial punishment proceeding:
__________________________________________________
__________________________________________________
__________________________________________________
__________________________________________________
________ I request that my nonjudicial punishment

proceeding be open to the public.
_______________________ _ ___________________________ _
(Signature of Accused and Date) (Signature of Witness and Date)
______________________________ _______________________________
(Name of Accused) (Name of witness)
A-1-b
ACCUSED NOT ATTACHED TO OR EMBARKED IN A VESSEL
RECORD CANNOT BE USED IN AGGRAVATION IN EVENT OF LATER
COURT-MARTIAL
(See JAGMAN 0109)

_______________________.
NOTIFICATION



information:
3. You have the right to refuse nonjudicial punishment and

request trial by court-martial in lieu of nonjudicial
punishment. If you refuse nonjudicial punishment, charges
could be referred for trial by summary, special, or general
court-martial. If charges are referred to trial by summary
court-martial, you may not be tried by summary court-martial
over your objection. If charges are referred to a special or
general court-martial you will have the right to be represented
by counsel. Regardless of whether you accept or refuse
nonjudicial punishment, you could be processed for
administrative separation based on your misconduct. The
maximum punishment that could be imposed if you accept
nonjudicial punishment is:
_______________________________________________________________
_______________________________________________________________
_______________________________________________________________
_______________________________________________________________
4. If you decide to accept nonjudicial punishment, you may

request a personal appearance before the commanding officer or
you may waive this right.
A-1-c
by court-martial.


UCMJ;

arranged for by you. A spokesperson is not entitled to travel
or similar expenses, and the proceedings will not be delayed to

officer intends to rely in deciding whether and how much
nonjudicial punishment to impose;


those who may offer testimony or evidence against you, if their
statements will be relevant and the witness(es) are reasonably
available. A witness is not reasonably available if the
witness requires reimbursement by the United States for any
cost incurred in appearing, cannot appear without unduly
delaying the proceedings, or if a military witness, cannot be
excused from other important duties; and

proceeding.
A-1-c
ELECTION OF RIGHTS

paragraphs 1 through 4 above, my desires are as follows
a. Right to refuse nonjudicial punishment. (Check one)
_______ I refuse nonjudicial punishment. I understand

that, upon refusal of nonjudicial punishment, charges could be
referred against me for trial by summary, special, or general
court-martial, and that I also have the option of refusing
trial by summary court-martial. I also understand that my
refusal of nonjudicial punishment does not preclude
administrative action against me.
_______ I accept nonjudicial punishment. I am advised that
acceptance of nonjudicial punishment does not preclude further
administrative action against me. This may include being
processed for an administrative discharge which could result in
an other than honorable discharge.
(Note: If the accused does not accept nonjudicial

punishment, the matter should be submitted to the commanding
officer for disposition.)
b. Personal appearance. (Check one)

commanding officer.
________ I waive my right to personal appearance. (Check

one below)


c. Elections at personal appearance. (Check and complete

as applicable)
_________ I request that the following witnesses be present

______________________________________
______________________________________
A-1-c
______________________________________
______________________________________
______________________________________

_______________________ _ ___________________________ _
_______________________________ _______________________________
A-1-c
ACCUSED NOT ATTACHED TO OR EMBARKED IN A VESSEL
RECORD MAY BE USED IN AGGRAVATION IN EVENT OF LATER COURT-
MARTIAL
(See JAGMAN 0109)

_______________________.
NOTIFICATION



information:
3. You have the right to refuse nonjudicial punishment and

request trial by court-martial in lieu of nonjudicial
punishment. If you refuse nonjudicial punishment, charges
could be referred for trial by summary, special, or general
court-martial. If charges are referred to trial by summary
court-martial, you may not be tried by summary court-martial
over your objection. If charges are referred to a special or
general court-martial you will have the right to be represented
by counsel. Regardless of whether you accept or refuse
nonjudicial punishment, you could be processed for
administrative separation based on your misconduct. The
maximum punishment that could be imposed if you accept
nonjudicial punishment is:
_______________________________________________________________
_______________________________________________________________
_______________________________________________________________
_______________________________________________________________
4. If you decide to accept nonjudicial punishment, you may

request a personal appearance before the commanding officer or
you may waive this right.
A-1-d
by court-martial.


UCMJ;

arranged by you. A spokesperson is not entitled to travel or
similar expenses, and the proceedings will not be delayed to

officer intends to rely in deciding whether and how much
nonjudicial punishment to impose;


those who may offer testimony or evidence against you, if their
statements will be relevant and the witness(es) are reasonably
available. A witness is not reasonably available if the
witness requires reimbursement by the United States for any
cost incurred in appearing, cannot appear without unduly
delaying the proceedings, or if a military witness, cannot be
excused from other important duties; and

proceeding.
A-1-d
5. In order to help you decide whether or not to refuse

nonjudicial punishment or to exercise any of the rights
explained above should you decide to accept nonjudicial
punishment, you may obtain the advice of a lawyer before any
decision. If you wish to talk to a lawyer, a military lawyer
will be made available to you, either in person or by
telephone, free of charge, or you may obtain advice from a
civilian lawyer at your own expense.
ELECTION OF RIGHTS

paragraphs 1 through 5 above, my desires are as follows:
a. Lawyer. (Check one or more, as applicable)
______ I wish to talk to a military lawyer before

completing the remainder of this form.
______ I wish to talk to a civilian lawyer before

completing the remainder of this form.
______ I hereby voluntarily, knowingly, and intelligently

give up my right to talk to a lawyer.
_______________________________ _______________________________
(Signature of witness) (Signature of Accused)
(Date) (Date)
(Note: If the accused wishes to talk to a lawyer, the

remainder of this form will not be completed until the accused
has been given a reasonable opportunity to do so.)
_____ I talked to ___________________________________ , a

lawyer, on __________________________________.
_______________________________ _______________________________
(Signature of witness) (Signature of Accused)
(Date) (Date)
A-1-d
b. Right to refuse nonjudicial punishment. (Check one)
_______ I refuse nonjudicial punishment. I understand

that, upon refusal of nonjudicial punishment, charges could be
referred against me for trial by summary, special, or general
court-martial, and that I also have the option of refusing
trial by summary court-martial. I also understand that my
refusal of nonjudicial punishment does not preclude
administrative action against me based on my misconduct. This
may include being processed for an administrative discharge
which could result in an other than honorable discharge.
_______ I accept nonjudicial punishment. I understand that

acceptance of nonjudicial punishment does not preclude further
administrative action against me. This may include being
processed for an administrative discharge which could result in
an other-than-honorable discharge.
(Note: If the accused does not accept nonjudicial

punishment, the matter should be submitted to the commanding
officer for disposition.)
c. Personal appearance. (Check one)

commanding officer.
________ I waive my right to personal appearance.


d. Elections at personal appearance. (Check and complete

as applicable)
________ I request that the following witnesses be present

______________________________________
______________________________________
______________________________________
______________________________________
A-1-d
______________________________________

_______________________ _ ___________________________ _
_______________________________ _______________________________
A-1-d
ACKNOWLEDGEMENT OF ADVANCED EDUCATION ASSISTANCE REIMBURSEMENT
I understand that, in accordance with 10 U.S.C. § 2005, I may

be required to reimburse the United States for the cost of
advanced education assistance provided to me by the Government,
if I voluntarily or as a result of misconduct fail to complete
the required period of active duty service specified in the
written agreement I entered into with the United States before
accepting advanced education assistance.
__________________________________
Signature
__________________________________
Date
__________________________________
Witness
A-1-e
NONJUDICIAL PUNISHMENT PROCEEDING GUIDE
(Note: The formalities before and at the termination of the

nonjudicial punishment proceeding normally are determined by
custom and tradition in the Navy and Marine Corps.)
CO: You are suspected of committing the following violation(s)

of the Uniform Code of Military Justice:
_________________________________________________________
_________________________________________________________
_________________________________________________________
You do not have to make any statement regarding the
offense(s) of which you are accused or suspected, and any
statement made by you may be used as evidence against you.
(Note: If it is reasonably foreseeable that the accused’s

statements during the nonjudicial punishment proceedings may be
considered for introduction in evidence in a later court-
martial, an explanation of rights and a waiver, in the format
of Appendix A-1-p of the JAGMAN, will be obtained from the
accused, before or during the hearing, before proceeding
further.)
CO: You are advised that a nonjudicial punishment proceeding

is not a trial and that a determination of misconduct on
your part is not a conviction by a court. Further, you
are advised that the formal rules of evidence used in
trials by court-martial do not apply at nonjudicial
punishment.
CO: I have a statement signed by you acknowledging that you

were fully advised of your legal rights pertaining at this
hearing. (Note: This statement will be either JAGMAN
Appendix A-1-b, A-1-c, or A-1-d.)
CO: Do you understand this statement and do you understand the

rights explained therein?
ACC: _________________________________________________________.
CO: Do you have any questions about them or do you wish to

make any requests?
ACC: _________________________________________________________.
_________________________________________________________.
A-1-f
CO: [To witness (if any are present)] What can you tell me
about the accused’s involvement in (these) (this)
offense(s)?
WIT: _________________________________________________________.
CO: [To witness(es) who has/have previously provided written

statement(s) when accused and commanding officer both have
copies of the statement(s).] Do you adopt your
statement(s) as your testimony here today?
WIT: ________________________________________________________.
CO: Do you have anything to add to or change in your
statement?
WIT: ________________________________________________________.
CO: (To accused) Would you like me to ask any further

questions of this witness?
ACC: ________________________________________________________.
CO: (After all witnesses are questioned) I have before me the

following (documents) (statements) (other physical
evidence) that will be considered by me. Have you been
given the opportunity to examine them?
ACC: ________________________________________________________.
CO: (If the answer is “no,” offer the accused the opportunity
to examine the evidence.)
CO: Is there anything that you wish to offer? (If the answer
is ”yes,” permit the accused the opportunity to call his
or her witnesses, make a personal statement in defense,
and present other evidence.)
ACC: _________________________________________________________.
CO: Are there any other witnesses you would like to call or
any other evidence you would like to present?
ACC: _________________________________________________________.
CO: Is there anything that you wish to offer that would lessen
the seriousness of (this) (these) offense(s) or mitigate
them?
A-1-f
ACC: _________________________________________________________.
CO: (To witness) What can you tell me about (accused’s name)
performance of duty?
WIT: _________________________________________________________.
CO: (To accused) Is there anything else you would like to

present?
ACC: _________________________________________________________.
(Note – CO may wish to briefly dismiss the accused to

deliberate on whether the offenses have been proved by a
preponderance of the evidence and an appropriate punishment)
CO: I find that you have committed the following offenses:
_______________________________________________________________
Accordingly, I impose the following punishment:
_________________________________________________________.
You are advised that you have the right to appeal this
punishment to (identify the superior authority by name and
organizational title). Your appeal must be made within a
reasonable time, which is normally 5 days. Following this
hearing, __________________ will advise you more fully of
this right to appeal. Do you understand?
ACC: _________________________________________________________.
CO: You are dismissed.
A-1-f
ACCUSED’S ACKNOWLEDGEMENT OF APPEAL RIGHTS
I, _______________________________________, assigned or
attached to ____________________, have been informed of the
following facts concerning my rights of appeal as a result of
nonjudicial punishment held on ______________________:
a. I have the right to appeal to (specify to whom the

appeal should be addressed).
b. My appeal must be submitted within a reasonable time.

Five working days, excluding weekends and holidays, after the
punishment is imposed is normally considered a reasonable time,
in the absence of unusual circumstances. Any appeal submitted
thereafter may be rejected as not timely. If there are unusual
circumstances that I believe will make it extremely difficult
or not practical to submit an appeal within five working days,
I should immediately advise the officer imposing punishment of
such circumstances and request an appropriate extension of time
to file my appeal.
c. The appeal must be in writing.
d. There are only two grounds for appeal; that is:
(1) The punishment was unjust; or
(2) The punishment was disproportionate to the

offense(s) for which it was imposed.
e. If the punishment imposed included reduction from the

pay grade of E-4 or above, or was in excess of: arrest in
quarters for seven days, correctional custody for seven days,
forfeiture of seven days’ pay, extra duties for 14 days,
restriction for 14 days, then the appeal must be referred to a
military lawyer for consideration and advice before action is
taken on my appeal.
_______________________ _ ___________________________ _
A-1-g
PUNITIVE LETTER OF REPRIMAND
(Date)
From: Commander, U.S. Fleet Forces Command

To: [Rank], [Name of officer receiving PLOR], [Corps (if
applicable)], USN/[Designator]
Via: (if applicable)
Subj: PUNITIVE LETTER OF REPRIMAND
Ref: (a) Report of investigation of collision between USS

_________ (___), and USS ________________, which
occurred, on ____ April 20____
(b) Article 15, UCMJ [or results of trial, as
appropriate]
(c) Para. 5 of Part V, MCM, [or R.C.M. 1003, as
appropriate]
(d) JAGMAN 0114 [or JAGMAN 0153, as appropriate]
1. Reference (a) is the record of an investigation convened by

Commander, U.S. Fleet Forces Command, to inquire into the
collision between USS ________________ (_____) and USS
_______________ on ____ April 20_____. The collision occurred
in the Atlantic Ocean about 60 miles east of Norfolk, Virginia.
You were a party to the investigation and were accorded your
rights as such. [As applicable, except in the case of a member
attached to or embarked in a vessel, add: You have been
advised that you have the right to refuse imposition of
nonjudicial punishment and you have elected to accept
nonjudicial punishment.]
2. [Here insert a precise statement of all relevant events and

circumstances of the offense or offenses in violation of an
Article or Articles of the Uniform Code of Military Justice for
which the letter of reprimand is issued.]
3. Your actions clearly show that you were derelict in the
performance of your duties as Officer of the Deck, USS
______________, on the morning of ____ April 20____ in that you
negligently failed to:
a. Maintain USS ___________ on a safe course as required

by the U.S. Navy Regulations.
b. Employ all means and devices available to you for

detecting and avoiding danger from collision as required by USS
_________________ Standing Night Orders and the U.S. Navy
Regulations.
c. Inform your commanding officer when you made a course
A-1-h
and speed change at about 6 minutes before the collision as

required by the U.S. Navy Regulations.
4. Pursuant to references (b), (c), and (d) you are hereby

reprimanded for your negligence in the performance of duty as
set forth above.
[Here insert final paragraphs prescribed by subsection

0114(f)(3)(d).]
[Signature]
A-1-h
OFFICER NONJUDICIAL PUNISHMENT REPORT

(See JAGMAN 0119)
[LETTERHEAD]
SSIC
[Ser]
[Date]
From: Commanding General, 1st Marine Aircraft Wing

To: [Commandant of the Marine Corps (JPL)] [Commander, Navy
Personnel Command PERS-834)]
Via: Commanding General, III Marine Expeditionary Force
Subj: REPORT OF NONJUDICIAL PUNISHMENT ICO FIRST LIEUTENANT

JOHN J. JONES, USMC, [Designator]
Ref: (a) MCO 5800.16 v.15 (LSAM)/NAVPERS 15560D

(b) Article 15, UCMJ
(c) Part V, MCM
(d) JAGMAN, Chapter 1, Part B
(e) U.S. Navy Regulation 1122
Encl: (1) Record of Hearing under Article 15, UCMJ

(2) Punitive Letter of Reprimand
(3) 1stLt Jones's ltr 1621 of [date]
(4) 1stLt Jones's statement regarding adverse matter
1. This report is forwarded for inclusion in 1stLt Jones’

official records pursuant to paragraph 010603 of reference (a).
2. On 4 December 2018, in accordance with references (b), (c),

and (d), nonjudicial punishment was imposed on 1stLt Jones for
conduct unbecoming an officer. As a result, [he or she] was
awarded a punitive letter of reprimand and a forfeiture of
$400.00 pay per month for two months.
3. Details of the hearing and the circumstances of the
offense(s) are set forth in enclosure (1). A copy of the
punitive letter of reprimand is attached as enclosure (2).
4. As reflected in enclosure (3), 1stLt Jones did not appeal the

punishment. Accordingly, the nonjudicial punishment is now final
and will be reflected in the fitness report that includes the
date it was imposed, 4 December 2018.
5. I recommend that 1stLt Jones be retained on active duty

until the expiration of his or her obligated active service. (I
recommend he or she (not) be required to show cause for
retention in the naval service.)
CUI
A-1-i
CUI
6. By copy hereof, 1stLt Jones is notified of his or her right,

per reference (e), to submit his or her comments, within 15 days
of receipt, concerning this report of nonjudicial punishment and
the letter of reprimand which will be included as adverse
material in his or her official records. His or her comments,
if any, will be attached as enclosure (4).
[Signature]
Copy to:
Commanding Officer, MAG-32
Commanding Officer, MALS-32
1stLt Jones
________________________________________________________________
SAMPLE FIRST ENDORSEMENT
FIRST ENDORSEMENT on CG, 1stMAW ltr [SSIC] Ser of [DATE]
From: Commanding Officer, Marine Wing Aircraft Squadron 1
To: First Lieutenant John J. Jones, USMC, 1369
Subj: PUNITIVE LETTER OF REPRIMAND
1. Delivered.
[Signature]
By direction
CUI
A-1-i
SUMMARY COURT-MARTIAL ACKNOWLEDGEMENT OF RIGHTS AND WAIVER
I, [ACCUSED], assigned to [COMMAND], understand the following

facts and rights regarding summary courts-martial:
1. I have the right to consult with a lawyer before deciding

whether to accept trial by summary court-martial. Should I
desire to consult with counsel, I understand that a military
lawyer may be made available to advise me free of charge, or in
the alternative I may consult with a civilian lawyer at my own
expense.
2. I realize that I may refuse trial by summary court-martial,

in which event the commanding officer may refer the charge(s) to
a special or general court-martial. My rights at a summary
court-martial would include:
a. the right to confront and cross-examine all witnesses

against me;
b. the right to plead not guilty and the right to remain

silent, thus placing upon the government the burden of proving
my guilt beyond a reasonable doubt;
c. the right to have the summary court-martial call, or

subpoena, witnesses to testify in my behalf;
d. the right, if found guilty, to present matters which may

mitigate the offense or demonstrate extenuating circumstances as
to why I committed the offense; and
e. the right to be represented at trial by a civilian

lawyer provided by me at my own expense, if such appearance will
not unreasonably delay the proceedings and if military
exigencies do not preclude it.
3. I understand that the maximum punishment that may be imposed

at a summary court-martial is:
On E-4 and below:

Confinement for 1 month, 45 days hard labor without
confinement, or 60 days restriction;
Forfeiture of two-thirds pay for 1 month; and
Reduction to the lowest paygrade.
A-1-j
On E-5 and above:

60 days restriction;
Forfeiture of two-thirds pay for 1 month; and
Reduction to the next inferior paygrade.
4. Should I refuse trial by summary court-martial, the

commanding officer may refer the charge(s) to trial by special
or general court-martial. At a special or general court-
martial, in addition to those rights set forth above with
respect to a summary court-martial, I would also have the
following rights:
a. The right to be represented at trial by a military

lawyer, free of charge, including a military lawyer of my own
selection if that lawyer is reasonably available. I would also
have the right to be represented by a civilian lawyer at my own
expense.
b. At a general court-martial, the right to be tried by a

member panel composed of eight officers or, at my request, at
least one-third of the members would be enlisted personnel. If
tried by a court-martial with members, three-fourths of the
members, voting by secret written ballot, would have to agree in
any finding of guilty, and three-fourths of the members would
also have to agree on any sentence to be imposed should I be
found guilty.
c. At a special court-martial not referred to a military

judge alone, the right to be tried by a member panel composed of
four officers or, at my request, at least one-third of the
members would be enlisted personnel. If tried by a court-
martial with members, three-fourths of the members, voting by
secret written ballot, would have to agree in any findings of
guilty, and three-fourths of the members would also have to
agree on any sentence to be imposed should I be found guilty.
d. At a special court-martial referred to a military judge

alone, the military judge alone would determine my guilt or
innocence and, if found guilty, the military judge alone would
determine the sentence. However, the military judge may not
award a bad-conduct discharge or confinement for more than six
months if the charges are referred to a special court-martial
consisting of a military judge alone.
A-1-j
e. In either a general or special court-martial (not

referred to a military judge alone), the right to request trial
by a military judge alone. If tried by a military judge alone,
the military judge alone would determine my guilt or innocence
and, if found guilty, the military judge alone would determine
the sentence.
5. I understand that the maximum punishment for the offense(s)

presently charged against me is the following:
Special Court-Martial: a bad-conduct discharge, confinement

for 12 months, forfeiture of two-thirds pay per month for 12
months, a fine, and reduction to the lowest enlisted pay
grade.
Special Court-Martial referred to a military judge alone:

confinement for six months, forfeiture of two-thirds pay per
month for six months, and reduction to the lowest enlisted
pay grade.
General Court-Martial – [insert maximum punishment here]
Knowing and understanding my rights as set forth above, I (do)

(do not) desire to consult with counsel before deciding whether
to accept trial by summary court-martial.
Knowing and understanding my rights as set forth above (and

having first consulted with counsel), I hereby (agree) (object)
to trial by summary court-martial.
Signature of witness Signature of accused and date
Print name Print name
A-1-j
SUMMARY COURT-MARTIAL
WAIVER OF THE APPEARANCE OF COUNSEL
I have been advised by the summary court-martial officer that I

cannot be tried by summary court-martial without my consent. I
have also been advised that if I consent to trial by summary
court-martial I may be represented by civilian counsel provided
at my own expense (if such appearance will not unreasonably delay
the proceedings, if military exigencies do not preclude it, and
if counsel is qualified under Rule for Courts-Martial 502(d)(3)).
If I do not desire to be represented by civilian counsel provided
at my own expense, I may request that a military lawyer be
appointed (the detailing authority may, as a matter of
discretion, detail or otherwise make available a military
attorney). It has also been explained to me that if I am
represented by a lawyer (either civilian or military) at the
summary court-martial, the results of the summary court-martial
will be admissible as impeachment evidence under M.R.E. 609 at
any subsequent court-martial. On the other hand, if I am not
represented by a lawyer, the results of the court-martial will
not be admissible as impeachment evidence under M.R.E. 609 at any
subsequent court-martial. By my signature below, I hereby waive
the appearance of a lawyer, military or civilian, to represent me
at the summary court-martial.
Signature of Summary Court- Signature of Accused

Martial
Type Name and Rank Date
A-1-j
GRANT OF TESTIMONIAL IMMUNITY AND ORDER TO TESTIFY
IN THE MATTER OF
U N I T E D S T A T E S
v. GRANT OF TESTIMONIAL IMMUNITY

AND ORDER TO TESTIFY
[ACCUSED]
[RANK/RATE/GRADE] [SERVICE]
To: [Witness to whom immunity is to be granted]
1. You are a material witness in the matter United States v.

[Accused], [Service] involving charges of [insert UCMJ alleged
violations].
2. As an officer empowered to convene general courts-martial

and pursuant to 18 U.S.C. §§ 6002, 6004, I hereby make the
following findings:
a. That you possess information relevant to the trial by

court-martial in the matter described in paragraph (1), and that
the presentation of your testimony at the trial is necessary to
the public interest; and
b. That you will likely refuse to testify on the basis of

your privilege against self-incrimination if subpoenaed to
appear as a witness.
3. Pursuant to Rule for Courts-Martial 704 and JAGMAN § 0138,

you are hereby granted immunity from the use of your testimony
or other information given by you (including any evidence
directly or indirectly derived from your testimony or from the
other information you provide) against you in any criminal case,
except a prosecution for perjury, giving a false statement, or
wrongful failure to testify.
4. This grant of immunity from the use of your testimony is

effective only upon the condition that you testify truthfully
and under oath in the matter described in paragraph (1).
5. On the basis of facts above and pursuant to 18 U.S.C. §
A-1-k
6004, I hereby order you to appear and testify before the court-
martial convened for the trial in the matter described in
paragraph (1).
[6. This order is issued with the approval of the Attorney

General of the United States set forth in enclosure 1 annexed
hereto.]
[CONVENING AUTHORITY]
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GRANT OF TRANSACTIONAL IMMUNITY AND ORDER TO TESTIFY
IN THE MATTER OF
U N I T E D S T A T E S
v. GRANT OF TRANSACTIONAL IMMUNITY

AND ORDER TO TESTIFY
[ACCUSED]
[RATE/RATE/GRADE] [SERVICE]
To: [Witness to whom immunity is to be granted]
1. You are a material witness in the matter United States v.

[Accused], [Service] involving charges of [insert UCMJ alleged
violations].
2. As an officer empowered to convene general courts-martial

and pursuant to 18 U.S.C. §§ 6002, 6004, I hereby make the
following findings:
a. That you possess information relevant to the trial by

court-martial in the matter described in paragraph (1), and that
the presentation of your testimony at the trial is necessary to
the public interest; and
b. That you will likely refuse to testify on the basis of

your privilege against self-incrimination if subpoenaed to
appear as a witness.
3. In consideration of your testimony as a witness in the

matter described in paragraph (1), you are hereby granted
immunity from prosecution for any offense connected with the
offenses(s) described in paragraph (1) about which you testify
truthfully under oath.
4. This grant of immunity from prosecution is effective only

upon the condition that you actually testify as a witness. This
grant of immunity from prosecution extends only to the
offense(s) described in paragraph (1) in which you were
implicated and about which you testify under oath, and does not
extend to prosecution for perjury, giving a false statement, or
wrongful failure to testify.
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5. On the basis of the facts above and pursuant to 18 U.S.C. §

6004, I hereby order you to appear and testify before the court-
martial convened for the trial in the matter described in
paragraph (1).
[6. This order is issued with the approval of the Attorney

General of the United States set forth in enclosure 1 annexed
hereto.]
[CONVENING AUTHORITY]
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VICTIM PREFERENCE FOR JURISDICTION

ICO ___________________________
Right to express preference for jurisdiction:
1. As a victim, you have the opportunity to express your views

as to whether the alleged offense should be prosecuted by the
(Navy)(Marine Corps) in a court-martial or by civilian
authorities in a civilian court with jurisdiction over the
offense. Expressing your preference for jurisdiction does not
guarantee that any jurisdiction will prosecute the case.
2. If you choose to express your views, you may do so through

counsel, including victims’ legal counsel if you have one. Your
views are not binding but will be considered by the initial
disposition authority and by the convening authority before the
referral of charges to a court-martial. If you express a
preference for prosecution by civilian authorities, the civilian
authority with jurisdiction over the offense will be notified of
your preference. When the (Navy)(Marine Corps) learns of a
decision by the civilian authority as to whether or not to
prosecute the offense in a civilian court, you will be notified.
3. Expressing your preference for jurisdiction is separate from

your right to express your preference as to the disposition of
the case or the scope of your involvement in the investigation
and/or prosecution. At any time until the final disposition of
the case, you may express your views on matters such as whether
you are willing to participate in investigative and legal
proceedings and testify in-person, under oath, at a court-
martial.
Documentation of preference for jurisdiction:
In order to facilitate timely processing of the case, I ask that

you provide your preference for jurisdiction by (date).
____ I prefer the (Navy)(Marine Corps) exercise

jurisdiction over the offense, including potential prosecution
of the offense in a court-martial.
____ I prefer (office of civilian authority with

jurisdiction) exercise jurisdiction over the offense, including
potential prosecution of the offense in a civilian court. I
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understand the (Navy)(Marine Corps) will notify (office of

civilian authority with jurisdiction) of my preference and the
(Navy)(Marine Corps) will notify me if the (Navy)(Marine Corps)
learns of a decision by (office of civilian authority with
jurisdiction) whether or not to prosecute.
____ I have no preference or choose not to express a

preference on military or civilian jurisdiction.
____ I do not want to participate in any investigative and

legal proceedings and testify in-person, under oath, at a court-
martial or civilian court proceeding.
__________________________ __________________________
(Witness signature and date) (Victim signature and date)
(Print Victim Full Name)
____ If unable to obtain the victim’s signature, trial counsel

certifies that this form was discussed in its entirety with the
victim on (date) and accurately reflects the victim’s input
provided on (date).
__________________________
(Trial Counsel signature and date)
____ Unable to obtain victim’s preference. The following steps

were taken to obtain the victim’s preference: (Detail steps
taken and dates of steps.)
__________________________
----------------------------------------------------------------
Notification of Civilian Prosecutorial Agency
If civilian prosecution was preferred, trial counsel notified
the following prosecutorial agency:
________________________________________________________________
on this date:
__________________________
__________________________
----------------------------------------------------------------
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Notification to Victim of Civilian Prosecutorial Decision

Trial Counsel notified ___________ that the __________________:
(Name of victim)(Name of prosecutorial agency)
_____ Accepts jurisdiction of the case.

_____ Declines jurisdiction of the case.
_____ Accepts jurisdiction of the case in part.
_____ Other: ______________________________
_
_________________________
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REQUEST FOR IMMEDIATE EXECUTION OF DISCHARGE

(See JAGMAN 0170)
United States ) [SPCM] [GCM] NCM _____________________

) REQUEST FOR IMMEDIATE EXECUTION
v. ) OF [BAD CONDUCT][DISHONORABLE]
) DISCHARGE ADJUDGED ON _____________
[Name, grade or ) BY [SPECIAL] [GENERAL] COURT-MARTIAL
rate and armed ) CONVENED BY ________________________
service] )
) [AT] [ON BOARD] ______________________
To: [Officer exercising general court-martial jurisdiction]
1. I, the accused in the above-captioned case, hereby request

the immediate execution of the above-described [dishonorable]
[bad conduct] discharge and my release from the Naval service.
2. Naval Clemency and Parole Board review pursuant to SECNAV

Instruction 5815.3 (series) [has been completed] [is not
required].
3. I received a copy of the decision of the U.S. Navy-Marine

Corps Court of Criminal Appeals in my case on
______________________________________.
4. I have had fully explained to me, and I understand my right,

under Article 67(c), Uniform Code of Military Justice, to
petition the U.S. Court of Appeals for the Armed Forces for
grant of review within 60 days from the date I received my copy
of the decision of the U.S. Navy-Marine Corps Court of Criminal
Appeals.
5. I do not have an appeal pending before the U.S. Court of

Appeals for the Armed Forces at this time, nor do I now intend
to appeal; however, I understand that, if this request is
granted, it will not affect my right to appeal if I later change
my mind and decide to appeal.
6. I have discussed this matter with [Rank, if applicable]

[Name of counsel] [Corps, if applicable], [Service, if
applicable], counsel of my own choice.
___________________________
[Signature of Accused]
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CERTIFICATE
I, the undersigned officer of the grade, and branch of

service below stated, certify I explained to the above named
accused his or her rights, under Article 67(c), Uniform Code of
Military Justice, to petition the U.S. Court of Appeals for the
Armed Forces for grant of review; I read aloud to him or her the
foregoing request; and he or she thereafter signed the same and
acknowledged that he or she did so as his or her free and
voluntary act.
[Signature]
Name, grade
A-1-n
SUSPECT'S RIGHTS ACKNOWLEDGEMENT/STATEMENT
(See JAGMAN 0175)
══════════════════════════════════════╤═════════╤═════════════
FULL NAME (ACCUSED/SUSPECT) │RATE/RANK│SERVICE
│ │
│ │
──────────────────────────────────────┼─────────┴─────────────
ACTIVITY/UNIT │DATE OF BIRTH
│
│
══════════════════════════════════════╪═════════╤═════════════
NAME (INTERVIEWER) │RATE/RANK│SERVICE
│ │
│ │
──────────────────────────────────────┼─────────┴─────────────
ORGANIZATION │BILLET
│
│
══════════════════════════════════════╪═════════╤═════════════
LOCATION OF INTERVIEW │TIME │DATE
│ │
│ │
══════════════════════════════════════╧═════════╧═════════════
RIGHTS
I certify and acknowledge by my signature and initials set

forth below that, before the interviewer requested a statement
from me, the interviewer warned me that:
(1) I am suspected of having committed the following

offense(s):
_______________________________________________________________
_______________________________________________________________
┌──────┐
___________________________________ └──────┘
(2) I have the right to remain silent; ----------- ┌──────┐

└──────┘
(3) Any statement I do make may be considered by the

convening authority and used as evidence against me in trial by
court-martial; --------------------------------------- ┌──────┐
└──────┘
(4) I have the right to consult with lawyer counsel before

any questioning. This lawyer counsel may be a civilian lawyer
retained by me at my own expense, a military lawyer appointed to
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act as my counsel without cost to me, or both; -------- ┌──────┐

└──────┘
(5) I have the right to have such retained civilian lawyer

or appointed military lawyer present during this interview; and
------------------------------------------------------ ┌──────┐
└──────┘
(6) If I decide to answer questions now without a lawyer

present, I will have the right to stop this interview at any
time. ------------------------------------------------ ┌──────┐
└──────┘
WAIVER OF RIGHTS
I further certify and acknowledge that I have read the above

statement of my rights and fully understand them, and that, ---
----------------------------------------------------- ┌──────┐
└──────┘
(1) I expressly desire to waive my right to remain silent.

----------------------------------------------------- ┌──────┐
└──────┘
(2) I expressly desire to make a statement. ----- ┌──────┐

└──────┘
(3) I expressly do not desire to consult with either a
civilian lawyer retained by me or a military lawyer appointed
as my counsel without cost to me before any questioning. ------
----------------------------------------------------- ┌──────┐
└──────┘
(4) I expressly do not desire to have such a lawyer present

with me during this interview. ----------------------- ┌──────┐
└──────┘
(5) This acknowledgement and waiver of rights is made
freely and voluntarily by me, and without any promises or
threats having been made to me or pressure or coercion of any
kind having been used against me.--------------------- ┌──────┐
└──────┘
(6) I understand that, even though I initially waive my
rights to counsel and to remain silent, I may, during the
interview, assert my right to counsel or to remain silent.-----
----------------------------------------------------- ┌──────┐
└──────┘
NOTE: IF THE SUSPECT INDICATES HE OR SHE IS WILLING TO MAKE A

STATEMENT, HE OR SHE SHOULD FIRST BE ASKED WHETHER HE OR SHE
HAS MADE A STATEMENT IN RESPONSE TO QUESTIONS ABOUT THE
SUSPECTED OFFENSE TO ANYONE HE OR SHE BELIEVED WAS ACTING IN A
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LAW ENFORCEMENT CAPACITY BEFORE THE PRESENT INTERVIEW. IF THE

SUSPECT INDICATES HE OR SHE HAS PREVIOUSLY MADE SUCH A
STATEMENT, ADVISE THE SUSPECT AS FOLLOWS:
PREVIOUS STATEMENTS
I certify and acknowledge by my signature and initials set

forth below that, before the interviewer requested a statement
from me, the interviewer warned me that:
(1) My previous statement may not be admissible at courts-

martial and may not be usable against me. (It may not be
possible to determine whether a previous statement made by the
suspect will be admissible at some future court-martial; this
suggests it may be wise to treat it as inadmissible and provide
the cleansing warning).
(2) Regardless of the fact that I have talked about this

offense before, I still have the right to remain silent now.
═══════════════════════════════╤═══════════╤══════════
SIGNATURE (ACCUSED/SUSPECT) │TIME │DATE
│ │
═══════════════════════════════╪═══════════╪══════════
SIGNATURE (INTERVIEWER) │TIME │DATE
│ │
═══════════════════════════════╪═══════════╪══════════
SIGNATURE (WITNESS) │TIME │DATE
│ │
═══════════════════════════════╧═══════════╧══════════
The statement which appears on this page (and the following

_____page(s), all of which are signed by me), is made freely
and voluntarily by me, and without any promises or threats
having been made to me or pressure or coercion of any kind
having been used against me.
________________________________
SIGNATURE (ACCUSED/SUSPECT)
_______________________________________________________________
_______________________________________________________________
_______________________________________________________________
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_______________________________________________________________
_______________________________________________________________
_______________________________________________________________
_______________________________________________________________
_______________________________________________________________
_______________________________________________________________
_______________________________________________________________
_______________________________________________________________
_______________________________________________________________
_______________________________________________________________
_______________________________________________________________
_______________________________________________________________
_______________________________________________________________
_______________________________________________________________
_______________________________________________________________
_______________________________________________________________
_______________________________________________________________
_______________________________________________________________
_______________________________________________________________
_______________________________________________________________
_______________________________________________________________
_______________________________________________________________
_______________________________________________________________
_______________________________________________________________
_______________________________________________________________
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RECORD OF AUTHORIZATION FOR SEARCH
(See JAGMAN 0175)
RECORD OF AUTHORIZATION FOR SEARCH
1. At ___________ [time] on ___________________ [date], I was

approached by __________________ [name] in his or her capacity
as ___________________ [duty] who having been first duly sworn,
advised me that he or she suspected _________________________
[name] of _______________________ [offense] and requested
permission to search his or her__________________________
[object or place] for
______________________________________________________________
______________________________________________________ [items].
2. The reasons given to me for suspecting the above named

person were:
_______________________________________________________________
_______________________________________________________________
_______________________________________________________________
_______________________________________________________________
_______________________________________________________________
_______________________________________________________________
_______________________________________________________________
3. After carefully weighing the foregoing information, I was

of the belief that the crime of _________________________ [had
been] [was being] [was about to be] committed, that
____________________ was the likely perpetrator thereof, that a
search of the object or area stated above would probably
produce the items stated and that such items were [the fruits
of crime] [the instrumentalities of a crime] [contraband]
[evidence].
4. I have therefore authorized _______________________________

to search the place named for the property specified, and if
the property be found there, to seize it.
_______________________________________ __________________
[Name/Grade/Title] Date and Time
A-1-p
INSTRUCTIONS
1. Although the person bringing the information to the

attention of the individual empowered to authorize the search
will normally be one in the execution of investigative or
police duties, such need not be the case. The information may
come from one as a private individual.
2. Other than his or her own prior knowledge of facts relevant

thereto, all information considered by the individual empowered
to authorize a search on the issue of probable cause must be
provided under oath or affirmation. Accordingly, before
receiving the information which purports to establish the
requisite probable cause, the individual empowered to authorize
the search will administer an oath to the person(s) providing
the information. An example of an oath is as follows: "Do you
solemnly swear (or affirm) that the information you are about
to provide is true to the best of your knowledge and belief, so
help you God? " This requirement does not apply when all
information considered by the individual empowered to authorize
the search, other than his or her prior personal knowledge,
consists of affidavits or other statements previously duly
sworn to before another official empowered to administer oaths.
3. The area or place to be searched must be specific, such as

wall locker, wall locker and locker box, residence, or
automobile.
4. A search may be authorized only for the seizure of certain

classes of items: (1) fruits of a crime (the results of a
crime such as stolen objects); (2) instrumentalities of a crime
(e.g., search of an automobile for a crowbar used to force
entrance into a building which was burglarized); (3) contraband
items, the mere possession of which is against the law (e.g.,
marijuana, etc.); or (4) evidence of crime (e.g., bloodstained
clothing of an assault suspect).
5. Before authorizing a search, probable cause must exist.

This means reliable information that would lead a reasonably
prudent and cautious person to a natural belief that:
a. An offense probably is about to be, or has been

committed;
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b. Specific fruits or instrumentalities of the crime,

contraband, or evidence of the crime exist; and
c. Such fruits, instrumentalities, contraband, or evidence

are probably in a certain place.
6. In arriving at the above determination it is generally

permissible to rely on hearsay information, particularly if it
is reasonably corroborated or has been verified in some
substantial part by other facts or circumstances. However,
unreliable hearsay cannot alone constitute probable cause, such
as where the hearsay is several times removed from its source
or the information is received from an anonymous telephone
call. Hearsay information from an informant may be considered
if the information is reasonably corroborated or has been
verified in some substantial part by other facts,
circumstances, or events. The mere opinion of another that
probable cause exists is not sufficient; however, along with
the pertinent facts, it may be considered in reaching the
conclusion as to whether or not probable cause exists. If the
information available does not satisfy the foregoing,
additional investigation to produce the necessary information
may be ordered.
A-1-p
CONSENT TO SEARCH
(See JAGMAN 0175)
CONSENT TO SEARCH
I, ____________________________, have been advised that inquiry

is being made in connection with ______________________________
________________. I have been advised of my right not to
consent to a search of [my person] [the premises mentioned
below]. I hereby authorize _________________________________
and ________________________, who [has] [have] been identified
to me as _________________________________________ [position(s)]
to conduct a complete search of my [person] [residence]
[automobile] [wall locker] [computer and electronic media, to
include a forensic search of all electronic files thereon]
[__________] located at ____________________________
______________________________________________________________.
I authorize the above listed personnel to take from the area

searched any letters, papers, materials, or other property which
they may desire. Any computer or electronic media files may be
forensically reviewed at a time that is convenient for the
government.
This written permission is being given by me to the above named

personnel voluntarily and without threats or promises of any
kind.
______________________________
[Signature]
WITNESSES
_______________________________________________________________
Name Signature Date
_______________________________________________________________
Name Signature Date
A-1-q
CHAPTER TWO
ADMINISTRATIVE INVESTIGATIONS
CHAPTER II
PART A -- OVERVIEW Corps personnel

f. Incidents involving
0201 SCOPE reservists
g. Costs
a. General
b. Relation to UCMJ 0206 CONVENING ORDERS
investigations
c. Relation to other a. General
investigations b. Designation
d. Coordination with other c. Elements of a convening
investigations order
d. Amendments
0202 ASSISTANCE
0207 STANDARDS OF PROOF AND
PART B –- PRELIMINARY EVIDENCE
CONSIDERATIONS
a. Standards of proof
0203 PRELIMINARY INQUIRY b. Evidence
c. Witnesses and warnings
a. Purpose d. Witness statements from
b. Responsibility other investigations
c. Method e. Personally Identifiable
d. Preliminary inquiries into Information and the Privacy
incidents involving Act
potential claims or
litigation 0208 INVESTIGATION REPORT FORMAT
e. Time limitations
f. Major incidents a. General
b. Classification
0204 COMMAND OPTIONS c. Preliminary statement
d. Findings of fact
a. General e. Opinions
b. Options f. Recommendations
c. Factors to consider g. Enclosures
d. Commander’s action h. Signatures
e. Review
PART D –- THREE TYPES OF
PART C –- ADMINISTRATIVE ADMINISTRATIVE
INVESTIGATIONS INVESTIGATIONS
0205 COMMAND RESPONSIBILITIES 0209 TYPE ONE: COMMAND

INVESTIGATIONS
a. General
b. Request another command to a. Purpose
investigate b. Limitations
c. Different commands involved c. Convening order
d. Other department involved d. Investigatory approach
e. Incidents involving Marine e. Command investigation
2-1
report 0213 WHY LINE OF DUTY/MISCONDUCT
f. CA action DETERMINATIONS ARE REQUIRED
g. Review
h. Forwarding and retention a. General
policies b. Disability retirement and
i. Release of command severance pay
investigations c. Survivor benefits
0210 TYPE TWO: LITIGATION-REPORT 0214 STANDARDS OF PROOF FOR LINE

INVESTIGATIONS OF DUTY/MISCONDUCT
DETERMINATIONS
a. Purpose
b. General 0215 WHAT CONSTITUTES LINE OF DUTY
c. Convening order
d. Investigatory approach a. General
e. Litigation-Report b. Active service defined
investigation c. Active duty defined for
f. CA action death cases
g. Review d. Unauthorized absence
h. Release of Litigation-
Report investigations 0216 WHAT CONSTITUTES MISCONDUCT
0211 TYPE THREE: COURTS AND BOARDS a. Generally

OF INQUIRY b. Presumption
c. Examples
a. Overview
b. Court of Inquiry 0217 RELATIONSHIP BETWEEN
characteristics MISCONDUCT AND LINE OF DUTY
c. Board of Inquiry
characteristics a. General
d. Advisors and non-voting b. Possible findings
members
e. Responsibilities 0218 MENTAL RESPONSIBILITY
f. Convening order
g. Method a. General rule
h. Participation by non- b. Presumption
parties c. Suicide attempts or
i. Time limitations suicides
j. Action
k. Review 0219 INTOXICATION AND DRUG ABUSE
l. Advance copies of
investigations a. Intoxication
m. Release b. Presumption
c. Alcohol and drug-induced
PART E -- LINE OF DUTY/MISCONDUCT disease
0212 WHEN LINE OF DUTY/MISCONDUCT 0220 REFUSAL OF MEDICAL AND DENTAL

DETERMINATIONS ARE REQUIRED TREATMENT
a. General 0221 RELATIONSHIP TO DISCIPLINARY

b. Death cases ACTION
c. Warning required
0222 HOW LINE OF DUTY/MISCONDUCT
2-2
DETERMINATIONS ARE RECORDED b. Unavailability of documents
a. General 0229 DETERMINATIONS CONCERNING

b. Reporting LINE OF DUTY/MISCONDUCT IN
c. Entry in health or dental DEATH CASES
record
d. Command Investigations a. Modifications to Survivor
Benefit Plan programs
0223 ACTION BY REVIEWING b. Calculations of SBP
AUTHORITIES annuities
c. SBP modifications in
a. Action by convening line of duty determinations
authority d. Process
b. Action by general court-
martial convening authority 0230 MAJOR INCIDENTS AND OTHER
c. Follow-up actions CASES INVOLVING DEATH WHERE A
COURT OF INQUIRY MAY BE
0224 SPECIAL CONSIDERATIONS IN APPROPRIATE
RESERVE COMPONENT CASES
a. Death cases within the
a. Interim line of duty definition of major
determination incident
b. Statutory authority b. Deceased service member
c. Annual training contributing cause to
d. Investigation incident
PART F -- SPECIAL CONSIDERATIONS IN 0231 INDEPENDENT REVIEW

DEATH CASES
a. General
0225 GENERAL b. Qualifications of reviewer
c. Duties of reviewer
a. Special considerations d. Action
b. Casualty Office
notification 0232 SPECIAL ROUTING
c. Family Member Notification
d. NCIS notification
e. Time limitations APPENDICES
f. Release of death
investigations a. Definitions
b. Parties - Definitions and
0226 WHEN INVESTIGATIONS OF DEATH Rights
CASES ARE REQUIRED c. Sample Documentation of
Preliminary Inquiry
a. No investigation required d. Sample Command
b. Investigation required Investigation Convening
c. Limited investigation Order
required e. Sample Command
Investigation Report
0227 STANDARD OF PROOF f. Sample Litigation-Report
Investigation Convening
0228 AUTOPSIES Order
g. Sample Litigation-Report
a. General Investigation
2-3
h. Sample Privacy Act
Statement Format – JAGMAN
Investigation
i. Sample Privacy Act Record
of Disclosure
j. Sample Warning Advisement
About Statements Regarding
Origin of Disease or Injury
k. Line of Duty/Misconduct
Investigations
l. Sample Line of Duty Health
or Dental Record Entry
m. Claims for or Against the
Government
n. Aviation Mishaps
o. Accidents Aboard Ships or
Submarines (General)
p. Stranding of a Ship of the
Navy
q. Collision and Allision
Incidents
r. Accidental or Intentional
Flooding of a Ship
s. Fires
t. Explosions
u. Motor Vehicle Accidents
v. Loss or Excess of
Government Funds or
Property
w. Sonic Booms, Jet Noise and
Artillery Noise
x. Firearm Accidents
y. Other Incidents
2-4
CHAPTER II
PART A -- OVERVIEW
0201 SCOPE
a. General. This chapter sets forth principles governing the convening,

conduct, review, and storage of administrative investigations conducted in or
by the Department of the Navy (DON) under the authority of this Manual. The
term “commander” generally refers to both commanding officers and officers in
charge, but in the case of a major incident, see section 0203b(2). The
commander who directs an investigation, other than a preliminary inquiry, is
referred to as the convening authority (CA).
b. Relation to UCMJ investigations. If the only basis for an

investigation is disciplinary action, a preliminary inquiry under Rule for
Courts-Martial (R.C.M.) 303, Manual for Courts-Martial (MCM), or a pretrial
investigation under R.C.M. 405, MCM, and Article 32, UCMJ, should be conducted
without a separate investigation under this Manual.
c. Relation to other investigations. In addition to the investigations

governed by this Manual, investigations may be required by other regulations.
These investigations have different purposes and both may be appropriate.
Examples of investigations required by other regulations:
(1) situation reports prescribed by Articles 0831, 0851 and 0852, U.S.
Navy Regulations (1990), OPNAVINST 3100.6 (series), or other situation reports
prescribed by operational commanders, bureau manuals or departmental
regulations;
(2) investigations conducted by an inspector general under SECNAVINST

5430.57 (series);
(3) investigations of aviation mishaps under OPNAVINST 3750.6

(series);
(4) reports concerning security violations prescribed by SECNAV M-

5510.36;
(5) safety and mishap investigation reports required by OPNAVINST

5102.1 (series) or by MCO P5102.1 (series);
(6) investigations conducted by the Naval Criminal Investigative

Service (NCIS) under SECNAVINST 5430.107 (series);
(7) investigations of allegations against senior DON officials

conducted pursuant to SECNAVINST 5800.12 (series); and
(8) quality assurance reviews required by BUMEDINST 6010.13 (series).
2-5
d. Coordination with other investigations. To avoid potential
conflicts among investigations, commanders must remain cognizant of the
progress made by other investigative bodies. Before conducting a
preliminary inquiry or convening an investigation under this chapter, the
commander shall liaison with the Naval Criminal Investigative Service (NCIS)
or the Naval Safety Center (NSC), as appropriate, regarding any pending law
enforcement (military, federal, or state) or safety investigation.
(1) If a law enforcement investigation is pending, the commander

should determine whether the law enforcement investigation will serve to
appropriately document the matter without further investigation under this
chapter. If the commander determines that a preliminary inquiry or
investigation needs to be conducted in addition to the law enforcement
investigation, the commander shall coordinate any preliminary inquiry or
investigation with the cognizant law enforcement agency through NCIS. If
NCIS declines, direct liaison may be made.
(2) If a safety investigation is pending, the commander shall ensure

that any preliminary inquiry or investigation convened does not interfere
with the safety investigation. If, in the course of conducting an
investigation under this chapter, misconduct by naval personnel is
discovered, the commander shall immediately notify the senior member of any
on-going safety investigation.
(3) Refer to the Region Commander, his designee, or, in the case of
the Marine Corps, to the general court-martial convening authority (GCMCA),
via the chain-of-command, any conflicts between the law enforcement agency
or NSC and the commander that cannot be resolved locally.
0202 ASSISTANCE
a. Commanders are encouraged to seek guidance from the cognizant judge

advocate (see Appendix A-2-a for definition) or, if that judge advocate is not
immediately available, the Command Services Department of the local Region
Legal Service Office (RLSO) prior to convening an investigation. In addition,
guidance for all types of investigations, except litigation reports, may be
obtained from the Office of the Judge Advocate General (OJAG), Administrative
Law Division (Code 13) at DSN 224-7415 or 703-614-7415, or the Research and
Civil Law Division (Code JAR), Headquarters, Marine Corps (HQMC) at 703-614-
2510 or DSN 224-2510. Guidance on interpretation and application of policy
for litigation reports may be obtained from OJAG, Claims and Tort Litigation
Division (Code 15) at DSN 325-4600 or 202-685-4600, or, in the case of
Admiralty investigations, from OJAG, Admiralty and Maritime Law Division (Code
11) at DSN 325-5040 or 202-685-5040.
b. In order to help the investigating officer and the CA prepare an

accurate and complete report, the Appendix to this chapter includes guidance
on specific types of incidents.
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PART B -- PRELIMINARY CONSIDERATIONS
0203 PRELIMINARY INQUIRY
a. Purpose. A preliminary inquiry serves as an analytical tool to help a

commander determine whether an investigation is warranted and, if so, how it
should be conducted. A preliminary inquiry is not intended to develop
extensive findings of fact. Commanders should discuss the findings and
recommendations of the preliminary inquiry with a judge advocate to determine
the appropriate option detailed in section 0204 of this Manual.
b. Responsibility
(1) Generally, a commander is responsible for initiating preliminary

inquiries into incidents occurring within, or involving personnel of, the
command. The reporting command of a member who is injured or dies during
permanent-change-of-station transfer shall ensure that appropriate inquiries
are conducted.
(2) In the event of a major incident (see Appendix A-2-a for

definition), however, the GCMCA over the command involved, if a flag or
general officer, or the first flag or general officer in the chain-of-command,
or any superior flag or general officer in the chain-of-command, will
immediately take cognizance over the case as the “commander.” See subsection
f(2) below.
c. Method. A commander may conduct a preliminary inquiry personally or

through designees. While the preliminary inquiry may be accomplished in any
manner considered sufficient by the commander, normally it will be directed in
writing by an appointing order and the outcome documented in writing (see
Appendix A-2-c). Evidence gathered during a preliminary inquiry shall be
preserved by the investigating officer or in the Command General
Administration and Management files in the event the commander later initiates
an investigation.
d. Preliminary inquiries into incidents involving potential claims or

litigation. An incident may occur in which there is a potential for claims or
litigation against the DON or the United States for damage to personal
property, personal injury or death, or for claims on behalf of the DON as an
affirmative claim for damage to DON property. Although in most cases, a
litigation-report investigation will be required, absent a preliminary
inquiry, the commander will not know whether the matter is more appropriately
the subject of a command investigation, litigation-report investigation, or
court or board of inquiry. In such situations, a preliminary inquiry under
the direction and supervision of a judge advocate should be conducted, using
an appointing order and including language as described in section 0210(c).
e. Time limitations. Generally, the preliminary inquiry should be

completed within three calendar days of the commander learning of the incident
in question. The commander may grant extensions as necessary on a case-by-
case basis and with the limited nature of the preliminary inquiry in mind. A
preliminary inquiry into a major incident will usually take longer (see
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subsection f below).
f. Major incidents
(1) Investigation of major incidents is sometimes complicated by

premature appointment of a court of inquiry. Failure to first ascertain the
sequence of incident events and identify essential witnesses can unnecessarily
prolong and complicate subsequent proceedings.
(2) A commander will normally find it valuable to immediately appoint

an officer to conduct a preliminary inquiry. Such officer should promptly
begin to locate and preserve evidence and identify and interview witnesses. A
commander may direct such officer to submit oral reports, which would permit
the commander to make a timely decision as to how to proceed with the
investigation.
0204 COMMAND OPTIONS
a. General. A preliminary inquiry is concluded when the commander who

initiated the inquiry has sufficient information to exercise one of the
options listed below. Although the natural instinct of a commander is to seek
out and document facts quickly, doing so without judge advocate involvement
may not only be counterproductive but may actually work against the interests
of the commander, the command, and DON. Subject to the factors set forth
below, determining which option to exercise is, in the first instance, a
matter of command discretion. Superiors in the chain-of-command may, however,
direct a commander to reconsider or to take a different course.
b. Options
(1) take no further action (see subsection (d) below);
(2) make appropriate medical or dental record Line of Duty (LOD)

determination (see section 0222);
(3) conduct a command investigation (see section 0209);
(4) convene a litigation-report investigation to be conducted under

the direction and supervision of a judge advocate (see section 0210). The
merits of any potential claim are irrelevant in determining whether to
initiate a litigation report; or
(5) in cases involving a major incident, convene a court or board of

inquiry. If not authorized to do so, then the commander may request, via the
chain-of-command, an officer with such authority to convene the court or board
(see section 0211).
c. Factors to consider
(1) Purpose of the investigation. Generally, the primary manner in

which the investigation will be used will determine which option should be
exercised. If, for example, an investigation will be used primarily to
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investigate the circumstances surrounding a claim filed against the United
States, defend against a civil lawsuit, or to pursue an affirmative claim
against a third party for damage to government property, then a litigation-
report investigation or an Admiralty Letter Report should be conducted to
ensure that the DON’s legal interests are protected (see Chapter XI of this
Manual for discussion on admiralty investigations). However, the fact that a
potential claim exists is not the only consideration in determining the
nature of the investigation. When the incident being investigated involves
large scale property damage, loss of life, or raises issues concerning the
management of Naval activities, there may be sound policy reasons, such as
openness and transparency of process or results, that warrant the convening
of a command investigation or court or board of inquiry instead of a
litigation-report investigation. In such cases, consult Code 15 before
making a decision on the type of investigation to be conducted.
(2) Powers of the investigative body. In choosing an option, a

commander should consider the power that an investigative body will require.
For example, if a hearing is required to either resolve significant issues of
fact or the commander believes that the individual whose conduct or
performance of duty is called into question and their interest should be
protected by being designated a party, a court or board of inquiry should be
convened. If subpoena power will be required, a court of inquiry is the only
option.
(3) Resource and time concerns
(a) Generally, the more formal the investigation, the more

resources and time required. Nonetheless, conducting a command investigation
when a court or board of inquiry is warranted is not advisable, since the less
formal format will often fail to adequately address the issues.
(b) Under circumstances where a court-martial might arise from the

incident, a court of inquiry may prove to be efficient because it may be a
valid substitute for the Article 32, UCMJ, investigation.
d. Commander’s action
(1) No further action. Not every incident or event warrants an

investigation. A commander who concludes that further investigation would
serve no useful purpose may decide not to conduct one, unless superior
authority directs otherwise or unless an investigation is required under this
Chapter. This option is appropriate if there are no potential claims for or
against the U.S. or the DON, and the preliminary inquiry reveals that the
event is likely to be of little interest to anyone outside the immediate
command or that the event will be adequately investigated under some other
procedure (e.g., a mishap investigation or NCIS investigation; see section
0201). In such cases, a commander should nonetheless endorse the preliminary
inquiry as an internal “memorandum for the record” or “To: File.” See
Appendix A-2-c for a sample format.
(2) Reporting the decision. Ordinarily, when a commander determines

which of the options discussed in subsection b above will be exercised, a
report of that decision will be made to his immediate superior in command.
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Superior commanders may modify this reporting requirement by limiting the
categories of incidents that should or should not be reported. However, if a
commander concludes that an incident initially considered major does not fit
within the definition of that term or concludes that a court of inquiry is not
warranted, the commander shall, prior to convening another type of
investigation, report such conclusion and the reasons therefore to the next
superior officer in the chain-of-command.
e. Review. A superior in the chain-of-command may direct a subordinate

to reconsider a decision or to exercise a specific option under subsection b.
PART C – ADMINISTRATIVE INVESTIGATIONS
0205 COMMAND RESPONSIBILITIES
a. Generally, a commander is responsible for initiating investigations

into incidents occurring within, or involving personnel of, the command.
b. Circumstances such as pending deployments, geographical separation, or

military exigencies may prevent the command from conducting or completing a
thorough investigation. If a commander believes that it is impractical or
inappropriate for the command to investigate an incident, another command may
be requested to conduct the investigation. Requests for assistance should be
directed to superiors in the chain-of-command. Requests should contain all
available information, such as time, place, and nature of the incident; full
names, grades, and leave status of members; names and addresses of all known
witnesses; and copies of all relevant statements, written evidence, or
reports.
c. Whenever more than one command is involved in an incident requiring

investigation, a single investigation should be conducted. The commander of
one of the concerned activities should convene the investigation. However,
all the activities shall cooperate in the investigation. If difficulty arises
in determining the appropriate CA, then the matter shall be referred to the
Region Commander or common superior. If the conduct or performance of duty of
one of the officers in the command may be subject to inquiry, then the Region
Commander or common superior shall convene the investigation.
d. Whenever an incident or event involves only members of another

Military Department, the nearest command of the members’ parent service shall
be notified and requested to contact the cognizant authority. If requested to
do so by the other Military Department, a DON command shall convene and
forward an investigation per the direction of the other Military Department.
No further action need be taken within DON.
e. Incidents involving Marine Corps personnel
(1) When an investigation of a training or operational incident

causing serious injury or death (other than a major incident or aviation
accident) is required, the senior commander in the chain-of-command of the
organization involved will consider convening the investigation and appointing
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the investigating officer at that level. No member of the organization
suffering the incident, nor any member of the staff of a range or other
training facility involved in the incident, shall be appointed to conduct the
investigation without the concurrence of the next senior commander.
(2) If Marine Corps personnel are involved in a non-major incident

requiring an investigation while in an area geographically removed from the
parent command, the commanding officer shall request investigative assistance
from a GCMCA Marine commander in the immediate area where the incident
occurred or, in the absence of such an officer, from the Commanding General,
Marine Forces Reserve.
f. Incidents involving Reservists. The Region Commander or designated

subordinate commander in whose geographic area of responsibility the incident
occurred has the responsibility to ensure that investigations are conducted
into incidents involving Naval reservists. The Commanding General, 4th Marine
Division, the Commanding General, 4th Marine Logistics Group, and the
Commanding General, 4th Marine Aircraft Wing, are responsible for ensuring
that investigations are conducted into incidents involving reservists within
their commands.
g. Costs. The costs of travel, per diem, consulting fees, or other

related expenses of conducting or participating in an administrative
investigation conducted under the authority of this Manual will be charged to
the operation and maintenance budget of the CA (see Chapter I of this Manual
regarding fees of civilian witnesses).
0206 CONVENING ORDERS
a. General. When circumstances warrant, a CA may utilize a verbal order

or naval message to initially direct an investigating officer to initiate an
investigation. In such circumstances, the CA must memorialize the convening
order in writing. Written convening orders issued from the CA to the
investigating officer must be signed and appended to the investigative report.
See Appendices A-2-d and A-2-f for sample convening orders.
b. Designation. Convening orders must designate the investigating

officer(s) or members of the board of inquiry or court of inquiry, as
applicable.
(1) Member and investigating officer qualifications. Personnel

detailed to conduct an investigation shall be individuals who, in the opinion
of the CA, are best qualified by reason of their age, education, training,
experience, length of service, and temperament. Most command or litigation-
report investigations will be conducted by a commissioned officer, but a
warrant officer, senior enlisted person, or civilian employee may also be used
when the CA considers it appropriate. If necessary, more than one
investigating officer may be appointed. Whenever practical, an investigating
officer should be senior in rank to any individual whose conduct is subject to
inquiry. See Appendix A-2-n for statutory membership qualifications in
conducting Class A aviation mishap JAGMAN investigations.
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(2) Assistance and technical support. A CA may direct the
investigating officer to obtain any necessary assistance from specific
persons or entities, such as reporters, interpreters, experts, etc, and may
detail members of the command to provide clerical, technical, or logistical
support. See section 0211 regarding appointment of advisors to boards and
courts of inquiry.
c. Elements of a convening order. A convening order:
(1) should recite the specific purposes of the investigation and

contain explicit instructions about its scope;
(2) should require findings of fact that fully explain all the
circumstances surrounding the event, i.e., who, what, where, when, how, why;
(3) should identify potential witnesses and sources of information,

and otherwise provide such direction as the CA determines necessary or proper,
including specifying the format in which the report will be submitted.
Normally, a letter report supported by enclosures will be specified.
(4) may assign certain issues, witnesses, or specific matters to

individual members of the investigation if more than one investigating
officer is appointed, and hold later meetings to review the information
collected for completeness;
(5) may, unless a litigation-report investigation is being convened,

require opinions and recommendations;
(6) should direct the investigating officer to seek the assistance of

a judge advocate;
(7) shall contain directions for complying with the Privacy Act, the
Health Insurance Portability and Accountability Act (HIPAA), Article 31,
UCMJ, sections 0201 (coordinating with law enforcement authorities) and 0212
(concerning statements about origin of disease or injury), as necessary;
(8) shall direct, in applicable cases, per section 0201,

investigators to coordinate the JAGMAN investigation with NCIS/Security
personnel who may be conducting criminal investigations, requiring the report
of any conflict to the CA for resolution;
(9) shall specify when the investigative report is due, normally

within 30 calendar days; and
(10) may not designate parties unless the investigation being

convened is a Court of Inquiry.
d. Amendments
(1) A CA may amend a convening order at any time to change

membership, limit or increase the scope of the inquiry, or provide additional
instructions. During the investigation, if it appears to the fact-finders,
or to the supervisory judge advocate in the case of a litigation-report
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investigation, that the CA might consider it advisable to enlarge, restrict,
or modify the scope of the inquiry or to change in any material respect an
instruction provided in the convening order, a report shall be made to the
CA. The CA may take any action on this report deemed appropriate.
(2) Once convened, a command investigation may not be converted into

a litigation-report investigation.
(3) As necessary, the CA may grant extensions of a reasonable amount

of time as the CA deems appropriate. Requests and authorizations for
extensions need not be in writing but must be memorialized in the preliminary
statement and/or endorsement, as applicable.
0207 STANDARDS OF PROOF AND EVIDENCE
a. Standards of proof
(1) General. An administrative investigation need not be conducted in

accordance with the formal rules of evidence applicable to courts-martial. It
should use the most effective methods for collecting, analyzing, and recording
all relevant information and should include in its investigative report any
relevant matter that a reasonable person would consider to be believable or
authentic.
(2) Preponderance of evidence. Except for facts of which a court may

take judicial notice (see M.R.E. 201 and 201a, MCM), an administrative
investigation shall arrive at findings of fact only if supported by a
preponderance of the evidence, i.e., more likely than not. For line of duty
determinations, see Part E.
(3) Inferences. An investigation may not speculate on the causes of

an incident. Reasonable inferences drawn from evidentiary enclosures or
personal observations, however, are permissible. For example, an
investigation may determine, through competent evidence, the likely chain of
events relative to the subject of investigation. However, it is generally
improper to theorize about the thought processes of an individual that
resulted in certain courses of conduct.
b. Evidence
(1) Safekeeping. To the extent consistent with mission requirements,

the investigating officer and the CA will ensure that all evidence is properly
preserved and safeguarded until the investigation is complete and all relevant
actions have been taken.
(a) Failure to properly safeguard and account for evidence may

result in its inadmissibility in subsequent legal proceedings and therefore
prejudice the interests of the Government.
(b) Original items with evidentiary value must be retained or

adequate steps taken to ensure their safe storage. Operational commands are
encouraged to make satisfactory storage arrangements with supporting elements
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ashore in this regard. The CA's forwarding endorsement must indicate where
the evidence is maintained, what arrangements have been made for its
safekeeping, and report the name and telephone number of the responsible
official. In addition, chain-of-custody documents must be preserved together
with the evidence to which they relate. Consult a judge advocate for
assistance. OPNAV Form 5580/22 is the "Evidence/Property Custody Receipt"
form and includes space for chain-of-custody documentation.
(2) Physical Evidence
(a) Whenever the condition, location, or other characteristic of

an item of tangible evidence has probative value, include the item or a
photograph, description, chart, map, or suitable reproduction in the
investigative report. If an investigator or board member observes an item and
gains relevant sense impressions (e.g., noise, texture, smells, or any other
impression not adequately portrayed by a photograph, chart, map, or other
representation), the impressions should be recorded and included as an
enclosure to the report.
(b) Perishable or unstable items of evidence, such as tire

tracks, should be promptly photographed or otherwise preserved, preferably by
trained personnel. Evidence should not be handled by untrained personnel,
unless absolutely necessary to preserve its integrity.
(3) Documentary evidence. Examples of documentary evidence include

records, logs, documents, letters, diaries, video or audio recordings,
reports, photographs and statements. Documents should indicate their source
and specify any special restrictions on their disclosure to third parties.
Originals or authenticated copies should be obtained when possible.
Completion and forwarding of investigations will not be delayed to await final
reports, originals, or similar documents unless their inclusion is absolutely
essential to the completion of the investigative report. Instead, the
investigating officer should note the unavailability of such items in the
report.
(4) Photographs or Videos
(a) When photographs or video recordings are included as part of

the investigation, the following information should be included on the reverse
side of the photograph, or label of the video recording: the hour and date
they were taken; a brief description of the location or area photographed or
recorded; the full name and rank or rate of the photographer or videographer;
and full names and addresses of persons present when the photographs or video
were taken.
(b) In addition, the investigation report should provide details

surrounding the taking of the photographs or video (e.g., type of camera,
distance from object, etc.).
(c) Discretion should be exercised in enclosing graphic

photographs or video recordings. When including such materials, place them in
a separate envelope marked: "CAUTION, CONTAINS GRAPHIC MATERIAL. VIEWER
DISCRETION ADVISED."
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c. Witnesses and warnings
(1) Witnesses not suspected of misconduct or improper performance of

duty. Ordinarily, witnesses should provide statements in informal interviews,
except in the course of litigation-report investigations. (See section 0210d
for specific instructions on the interviewing of witnesses while conducting a
litigation-report investigation.) Probing questions as to "who," "what,"
"where," "when," "how," and "why" should be pursued.
(a) The investigator may assist a witness to prepare his or her

written statement. The investigator shall not tell a witness what to say, but
can ensure the witness addresses all relevant facts known to the witness. The
investigator should help the witness exclude irrelevant material and ensure
important facts are not omitted.
(b) Investigators may document oral statements in summary or

verbatim form, subject to the restrictions set forth in section 0210 for
litigation report witness statements. When an investigator takes an oral
statement, it should be reduced to writing and signed by the witness or
certified by the investigator to be either an accurate summary or verbatim
transcript.
(c) Military witnesses may be required to swear or affirm that

their statement is truthful or to provide recorded testimony under oath.
Civilians may not be required to provide a sworn statement or recorded
testimony but may be requested to do so.
(2) Witnesses suspected of misconduct, or improper performance of

duty. Ordinarily, an investigation should collect relevant information from
all other sources before interviewing persons suspected of an offense,
misconduct, or improper performance of duty. Also, prior liaison with the
cognizant judge advocate is advised to ensure investigators have coordinated
with law enforcement officials and to ensure investigators will not impede any
criminal investigations into the same incident (see section 0201). Before the
interview, military personnel suspected of a criminal offense must be advised
of Article 31, UCMJ, warnings; see Chapter I of this Manual. Department of
Defense (DoD) civilian personnel offices should be consulted about applicable
collective bargaining requirements before interviewing DoD civilian employees
suspected of misconduct. Law enforcement personnel must be consulted if the
witness is in custody. If defense counsel has been retained, further
coordination may be required through the cognizant judge advocate.
(3) Cautioning witnesses. To reduce the possibility that disclosure

of witness statements or interviews may influence the statements of future
witnesses, an investigating officer may direct witnesses subject to Naval
authority not to discuss their statements. Witnesses not subject to Naval
authority may be requested not to discuss their statements.
d. Witness statements from other investigations
(1) Safety investigations. Statements gathered in the course of

safety investigations may not be used by the investigating officer nor be
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included in administrative investigation reports, nor shall any witness who
provided a statement to a safety investigation board under a promise of
confidentiality be questioned regarding the information provided to that
safety investigation board. The investigating officer may, however,
interview those same witnesses and either obtain statements or use those
interviews to prepare a summary of interview.
(2) NCIS investigations. Witness statements contained as enclosures

to NCIS investigations may be included in administrative investigation
reports. See section 0208g(2) for further discussion on NCIS investigations
as enclosures.
e. Personally Identifiable Information (PII) and the Privacy Act. Steps

should be taken to ensure that personally identifiable information (see
Appendix A-2-a for the definition of "Personally Identifiable Information") is
protected from inappropriate release. Only the minimum amount of personal
information necessary to investigate the matter concerned should be included
in the investigative report (for guidance regarding the Privacy Act see
SECNAVINST 5211.5(series)). The following procedures apply to administrative
investigations conducted under this Manual:
(1) Advice required. Requests for information about what a Government

officer, employee, or member did, observed, or thought while performing
official duties does not require a Privacy Act statement. However, when an
individual is requested to supply personal information about himself in a
statement to be maintained in a system of records retrievable by the
individual's name or personal identifier, the individual shall be provided a
Privacy Act statement containing the particular information prescribed in
SECNAVINST 5211.5. The requirement for a Privacy Act statement is separate
from other applicable warnings or advisement (see Appendix A-2-h).
(2) Social Security numbers. A Privacy Act statement must be used if

a member or employee is asked to voluntarily provide his Social Security
number for an investigation. If Social Security numbers are obtained from
other sources (e.g., service records), the individual need not be provided a
Privacy Act statement. If Social Security numbers are obtained from other
sources, this should be noted in the preliminary statement of the
investigation. Social Security numbers should not be included unless they are
necessary to identify precisely the individuals in question, such as in cases
involving serious injury or death.
(3) Records of disclosure. Appendix A-2-i is recommended for use in

recording and accounting for disclosures of information about identifiable
individuals from records that are collected, used, or maintained under the
authority of this Manual.
0208 INVESTIGATION REPORT FORMAT
a. General. Investigative reports shall be submitted in the format

prescribed by the CA or, in the case of a litigation-report investigation, by
the supervisory judge advocate. Normally, the CA will direct the report be
provided in a letter format. Appendices A-2-e and A-2-g are sample
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investigative reports.
b. Classification. Since investigative reports may be circulated widely,

classified information should be omitted unless inclusion is absolutely
essential. If unclassified information is important to the report's accuracy
but is contained in a classified document, then the unclassified information
should, if possible, be extracted from the classified document and included in
the investigative report. When classified matter must be included, the report
shall be classified at the highest level of any classified matter contained
therein. Encrypted versions of messages shall not be included or attached to
investigative reports where the content or substance of such message is
divulged elsewhere in the report. See SECNAV M-5510.36.
c. Preliminary statement
(1) A preliminary statement informs convening and reviewing

authorities of the bottom line up-front of the investigation results. It also
indicates that all relevant evidence was collected or is forthcoming and that
the investigating officer met each of the CA’s directives. After setting
forth the nature of the investigation, the preliminary statement details
difficulties encountered, extensions requested and granted, limited
participation by any member or advisor, and any other information necessary
for a complete understanding of the case. The itinerary of an investigator or
board in obtaining information is not required.
(2) A preliminary statement does not eliminate the necessity for

findings of fact. For example, notwithstanding statements in both the subject
line and the preliminary statement that the investigation involves a certain
incident, the findings of fact must fully describe the time and place of the
incident, what government equipment was involved, identify the personnel
involved, and provide other relevant information.
d. Findings of fact. Findings of fact must be as specific as possible as

to times, places, persons, and events. Each finding of fact must identify one
fact only, and be supported by and cite to at least one enclosure to the
report.
e. Opinions. Opinions are reasonable evaluations, inferences, or

conclusions based on the facts. Each opinion must cite the finding(s) of fact
upon which it is based.
f. Recommendations. Recommendations depend on the nature of the facts

found and opinions expressed. Recommendations shall not be offered unless
requested, and may be limited to certain subject areas.
g. Enclosures
(1) General. The first enclosure is the signed, written appointing

order or signed, written confirmation of an oral or message appointing order.
Subsequent enclosures should contain all evidence developed by the
investigation. Each statement, affidavit, transcript or summary of testimony,
photograph, map, chart, document, or other exhibit should be a separate
enclosure. Enclosures should be listed in the order in which they are cited
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in the body of the investigation.
(2) NCIS investigations. NCIS investigations consist of the report

of investigation (ROI), the narrative summary portion, and enclosures. ROIs
shall not be included in administrative investigation reports. Unless a
local NCIS office indicates to the contrary, clearance is not required for
inclusion of enclosures to the ROI in an administrative investigative
report. Neither polygraph reports nor their results may be included in the
investigative report; however, the fact that a polygraph examination
occurred and the location of the file maintained by the investigative agency
administering the polygraph examination may be noted. Comments regarding an
individual's refusal to undergo a polygraph examination shall not be
included in any administrative investigative reports. If necessary for a
full understanding of the incident, the location of the ROI should be cross-
referenced in the administrative investigative report.
h. Signatures
(1) The investigating officer or senior member, or in the senior

member's absence, the next senior member, respectively, must sign the
investigative report. Dissents may be written and, if written, must be
attached to the report.
(2) Signatures of board members or of the investigating officer(s) on

an investigative report shall be sufficient to authenticate all enclosures.
PART D -- THREE TYPES OF ADMINISTRATIVE INVESTIGATIONS
0209 TYPE ONE: COMMAND INVESTIGATIONS
a. Purpose. A command investigation functions as a tool to gather,

analyze, and record relevant information about an incident or event of primary
interest to the command. Most investigations will be of this nature. Command
investigations may, for example, be used to inquire into:
(1) significant property loss or destruction (minor property losses in

most cases will be adequately documented through other means);
(2) aviation mishaps, groundings, floodings, fires, and collisions not

determined to be major incidents (see Appendix for guidance on investigating
specific types of incidents);
(3) incidents in which a member of the naval service, as a result of

possible misconduct, incurs a disease or injury that may result in a permanent
disability or a physical inability to perform duty for a period exceeding 24
hours (distinguished from a period of hospitalization for evaluation or
observation) (see Part E); and
(4) deaths of military personnel apparently caused by suicide or under

other unusual circumstances, or deaths of civilian personnel accompanying
military personnel in the field or killed as a result of military-related
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activities (see part F for special considerations in death cases).
b. Limitations. This type of investigation should not be used to inquire

into incidents that have resulted or are likely to result in claims or civil
litigation against the DON for damage to real or personal property or personal
injury caused by Navy personnel acting within the scope of employment, or on
behalf of the DON as an affirmative claim for damage caused to DON property by
non-DON personnel or by DON personnel not acting in the performance of their
duties.
c. Convening order. See section 0206.
d. Investigatory approach
(1) The investigating officer will comply with the guidance in section
0207 in conducting the investigation. Because a command investigation does
not involve hearings, evidence will be collected through personal interviews
and statements, telephone inquiries, or written correspondence.
(2) A command investigation, if deemed necessary, may contain sworn

statements. In such cases, the investigating officer should consult with the
cognizant judge advocate. A person on active duty appointed to perform
investigative functions for a command investigation is empowered to administer
the following oaths in the performance of duties:
(a) For interpreters: "Do you swear or affirm that you will
faithfully perform the duties of interpreter for this proceeding (so help you
God)?"; and
(b) For witnesses: "Do you swear or affirm that the statement
provided is truthful (so help you God)?"
e. Command Investigation report
(1) The report shall be prepared in accordance with the convening

order and the guidance set forth in both section 0207 and this section (see
also Appendix A-2-e).
(2) Unless directed by proper authority, an investigator shall not

prefer charges or notify an accused of recommended charges. For
recommendations pertaining to the issuance of punitive and nonpunitive
letters, see subsection (f)(2) below.
f. CA action. Upon receiving a command investigation report from the

investigating officer, the CA shall review the report or have the report
reviewed. The CA has 30 calendar days from receipt to act on the report,
except in death cases where section 0225 requires CA review in 20 calendar
days. If the report is incomplete, the CA shall return it to the
investigating officer for further investigation. Once satisfied the report is
complete, the CA shall either:
(1) determine that the investigation is of no interest to anyone

outside the command, and, unless otherwise directed by superior authority, may
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treat it as an internal report (see subsection h below for retention
guidance), or
(2) endorse the report in writing. In the endorsement, the CA will:
(a) approve, disapprove, modify, or add to the findings of fact,

opinions, and recommendations. The CA may also comment on recommendations
that the CA cannot implement at his or her level.
(b) state opinions and make recommendations as appropriate.
(c) indicate what corrective action, if any, is warranted and a

timeline for implementation.
(d) comment on whether punitive or nonpunitive action is

warranted. Whenever punitive or nonpunitive action is contemplated or taken
as the result of the incident under inquiry, the action shall be noted in the
endorsement of the convening or reviewing authority. For example, the
endorsement could read: "Punitive action is not warranted; however,
appropriate corrective measures were taken in the case of ENS Smith."
Punitive letters, or copies of recommended drafts thereof, shall be included
in the investigative report as enclosures. Nonpunitive letters shall not be
included as enclosures in the investigative report. In instances involving
senior officials and certain other employees depending on their official
position, a comment on the specific nonpunitive accountability actions taken
(such as the issuance of a nonpunitive letter of caution) may be included (but
the actual letter shall not be included). See section 0105(b)(4).
(e) state where any original evidence is preserved and provide the
name and telephone number of the responsible official.
(3) The CA shall retain a copy of the report and forward the original,
through the chain-of-command, including the Region Commander when appropriate,
to the CA’s GCMCA.
(a) One complete copy of the investigation shall be forwarded with

the original for each intermediate reviewing authority. The GCMCA may direct
subordinate commands to use specific forwarding requirements for
investigations into certain categories or types of incidents. The CA shall
also provide copies of the report to other commands that may have an interest,
such as the Naval Safety Center. If one command conducted an investigation
upon the request of another, then a copy of the report should be sent to the
requesting command.
(b) If an investigation involves a claim under Article 139, UCMJ,

see Chapter IV of this Manual.
(c) For cases involving injury or death of Naval personnel or

material damage to ship, submarine, or other Government property not involving
claims, the CA shall forward an advance copy of the record or report of
investigation as soon as practical to: Commander, Naval Safety Center, Naval
Air Station, Norfolk, VA 23511-5796. Reviewing authorities shall also forward
advance copies of their endorsements as above. In cases of aviation mishaps,
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CAs and reviewing authorities will only forward advance copies of
investigation reports to the Commander, Naval Safety Center upon his or her
request.
(d) See section 0232 for special routing requirements in death

cases.
g. Review
(1) A GCMCA superior to the CA must review every command investigation

unless a command investigation meets the criteria under section 0209(f)(1)
above. Thus, if the first reviewer is not a GCMCA, the investigation will
require additional review. Superior commanders may, by regulation or on an ad
hoc basis, provide direction concerning review and forwarding of
investigations consistent with this chapter. The subject matter will dictate
the routing of the report for additional review. All investigations are
considered final when the last reviewing authority determines that further
endorsement is not necessary.
(2) As a general rule, intermediate reviewing authorities should

complete their review and forward the investigation within 30 calendar days.
In death cases, reviewing authorities shall complete this review within 20
calendar days; see section 0225.
(3) Investigations that involve loss, compromise, or possible

compromise of classified information shall be routed per SECNAV M-5510.36.
(4) Copies of the investigation should be made available to all

superior commanders who have a direct official interest in the recorded facts.
Region Commanders or designated subordinate commanders have a direct official
interest in incidents that affect their command responsibility or occur in
their geographic area.
(5) For every command investigation conducted pursuant to this Chapter

that is subject to review under this section, the final reviewing authority
shall collect and maintain information concerning action(s), if any, taken by
every command with an interest in the investigation.
(6) In their endorsements, the CA and intermediate reviewing

authorities shall comment on the report and state concurrence or non-
concurrence with the findings of fact, opinions, and recommendations. If non-
concurring, the endorsement shall provide an explanation and shall state, as
appropriate, alternate findings of facts, opinions, and recommendations.
Additionally, in their endorsements, the CA and intermediate reviewing
authorities, as appropriate, shall report to the final reviewing authority,
through the chain of command, action they consider is warranted or that has
already been taken. If action is taken after their endorsement has been
forwarded, the CA or intermediate reviewing authorities, as appropriate, shall
report such action taken by them to the final reviewing authority, through the
chain of command.
(7) Commands, outside the CA’s chain of command, receiving copies of

investigative reports may provide comments and recommendations. However,
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these comments do not become part of the investigative report unless a
reviewing authority expressly incorporates them.
h. Forwarding and retention policies
(1) Generally, copies of investigations are not forwarded to the Chief

of Naval Operations or to the Commandant of the Marine Corps. However, copies
of investigations into the following types of incidents shall be forwarded to
the following codes:
(a) incidents that may result in extensive media exposure (N09C or

CMC(JA));
(b) training incidents causing death or serious injury (Naval

Safety Center or CMC(JA));
(c) operational incidents causing death or serious injury (N3/5 or

CMC(JA));
(d) incidents involving significant fraud, waste, abuse, or

significant shortages of public property or funds (N09G or CMC(JA));
(e) incidents involving lost, missing, damaged, or destroyed

property of significant value (N09G or CMC (JA));
(f) incidents involving officer misconduct (N1 or CMC(JAM));
(g) incidents that are required to be reported to Headquarters by

other directives or regulations, as appropriate;
(h) incidents or investigations that may require action by CNO or

CMC, as appropriate; and
(i) cases involving significant postal losses or offenses (N4 or

CMC (MHP-50)).
(2) All command investigations shall be retained by the CA, GCMCA,

or by the last commander to whom they are routed for a period of 2 years
from the time that they are received. After 2 years, the entire command
investigation shall be sent to the Office of the Judge Advocate General
(Code 15), Investigations Branch, 1322 Patterson Avenue SE, Suite 3000,
Washington Navy Yard, DC 20374-5066 for archiving consistent with the DON
Records Management Manual, SECNAV M-5210.1.
(3) If the CA or GCMCA receives a request for an investigative report

after it has been sent, that command shall submit a request for the
investigation to the Investigations Branch (Code 15). The Investigations
Branch will return the investigation to the requesting command as the
originator of the report and the responsive party to the request for action.
Once the command has responded to the inquiry, the command shall return the
investigation to Code 15 for storage. See section 0207 on storing and
protecting original evidence.
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i. Release of command investigations. Release of investigation reports
outside DON is governed by SECNAVINST 5720.42 (series), FOIA Program, and
SECNAVINST 5211.5 (series), Privacy Act Program, and HIPAA.
(1) As a general rule, no investigative report, evidence, or

documents compiled by investigating officials may be released until the report
is final.
(2) The Chief of Naval Operations (N09N) is the release authority for
investigations involving actual or possible loss or compromise of classified
information.
(3) For command investigations, other than those dealing with

possible compromise of classified information, the GCMCA to whom the report is
forwarded is ultimately the release authority.
0210 TYPE TWO: LITIGATION-REPORT INVESTIGATIONS
a. Purpose. A litigation-report investigation is used to investigate

an incident or event that may potentially result in claims or civil litigation
against the DON for damage to real or personal property, personal injury or
death caused by Navy personnel acting within the scope of their employment, or
on behalf of the DON as an affirmative claim for damage caused to DON property
by non-DON personnel or DON personnel not acting in the performance of their
duties. The primary purpose of a litigation report is to document facts and
gather evidence to protect the legal interests of the DON and the United
States.
(1) Litigation-report investigations will not be conducted in any

incident where either an active-duty death has occurred or when a civilian has
died when accompanying military personnel in the field or as a result of
military-related actions.
(2) Litigation-report investigations will not be used to investigate

major incidents (as defined in Appendix A-2-a); may not have designated
parties; and will not involve hearings.
b. General
(1) The directions and guidance contained in this Chapter are

designed to ensure that litigation reports are protected from disclosure under
the attorney work product and attorney-client privileges. In order to
maintain these privileges, the litigation-report investigation must be
conducted under the direction and supervision of a supervisory judge advocate
(see definition of “Supervisory Judge Advocate” in Appendix A-2-a), protected
from disclosure to anyone without an official need to know, and otherwise
handled in strict compliance with this section. Failure to do so may result
in waiver of the privilege.
(2) The CA must contact a judge advocate or OJAG Code 15 before

convening a litigation-report investigation to ensure that it is the
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appropriate type of investigation to be conducted. See JAGINST 5890.1
(series) for more information on claims and/or Chapter XI, section 1105,
concerning admiralty incident investigations when litigation is anticipated.
(3) The supervisory judge advocate may request the assistance of the
CA or ask the CA to request help from superiors in the CA's chain-of-command
when circumstances such as pending deployments, geographic separation, or
military exigencies prevent or hinder the completion of a thorough
investigation. Such requests should contain all relevant information and
indicate that the investigation is being conducted in contemplation of
litigation, and should be processed accordingly.
(4) Whenever more than one command is involved in an incident

requiring a litigation-report investigation, a single investigation under the
supervision of a single judge advocate should be conducted. All concerned
activities shall cooperate in the investigation. If difficulty arises in
determining the appropriate CA, then the matter shall be referred for
resolution to the common superior having a judge advocate on staff.
(5) Questions regarding the investigation of health care incidents

should be directed to Bureau of Medicine and Surgery Risk Management
Department (M3/5HCS5).
c. Convening order. In addition to the guidance contained in section

0206, the convening order:
(1) shall identify the supervisory judge advocate under whose

direction and supervision the investigation is to be conducted. The convening
order shall direct the investigating officer to report to that judge advocate
before beginning to collect evidence, and to comply with the judge advocate's
direction and supervision thereafter;
(2) will not direct the inclusion of opinions or recommendations.

Although the supervisory judge advocate should include appropriate opinions in
the litigation report (see section (d)(5) below and Appendix A-2-m), opinions
and recommendations should not be made by the investigating officer;
(3) shall state specifically: "This investigation is being convened

and your report is being prepared in contemplation of litigation and for the
express purpose of assisting attorneys representing the interests of the
United States in this matter;"
(4) shall caution the investigating officer that the investigation's

conduct and results may be discussed only with personnel having an official
need to know;
(5) may identify potential witnesses and other sources of information;
(6) will not assign experts, reporters, interpreters, etc.;
(7) will direct a completion date, normally within 30 calendar days.
The CA may grant extensions as necessary. Requests and authorizations for
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extensions need not be in writing but must be memorialized in the preliminary
statement and/or endorsement, as applicable. If the litigation-report
investigation was convened at the request of OJAG Code 15 to assist in the
adjudication of a pending claim, extensions of time beyond 60 days from the
date of the convening order should be granted only in extraordinary
circumstances.
A sample convening order is in Appendix A-2-f.
d. Investigatory approach. The investigating officer will comply with

the guidance in section 0207 in conducting the investigation. In addition,
during the course of gathering information, the investigating officer shall
comply with the following:
(1) Before interviewing witnesses, the investigating officer will

determine (with guidance from the supervisory judge advocate) when and if
rights advisements may be required. When a military member is suspected of
committing a criminal offense, Article 31 UCMJ warnings are required. When
interviewing a service member concerning his/her injury, warning under JAGMAN
0212(c) is required. If the witness is asked for personal information (as
opposed to information pertaining to performance of duty), Privacy Act advice
is necessary.
(2) Witnesses will be asked probing questions. They will not, except
as noted below, be asked to make a written statement or to sign a statement
that the investigator has prepared, nor will audio or video recorded
statements be obtained. Such statements are subject to discovery and release
to opposing parties in civil litigation even if provided to an attorney.
Rather, the investigator should summarize the results of the interview, using
care to be as accurate and complete as possible, and authenticate the summary
with the investigator's own signature. If, however, a witness with interests
clearly adverse to the government's, i.e., a claimant or opposing party to
litigation, is willing to provide a signed statement, the investigator, after
consultation with the supervisory judge advocate, may obtain a signed and
sworn statement.
(3) The investigating officer will fully identify and provide

complete personal information for every witness, including his/her full name,
social security number, command, job title, work and home addresses, telephone
numbers, and email addresses. See section 0207(e) to ensure compliance with
any requirements for collecting personally identifiable information. If the
witness is likely to transfer or leave the military in the foreseeable future,
the investigating officer should provide a timeframe and future contact
information, if available.
(4) During the course of a litigation-report investigation, the

investigating officer shall be guided by the supervisory judge advocate and
shall consult frequently with that judge advocate as the investigation
progresses. When it is necessary to obtain evidence such as expert analyses,
outside consultant reports, and so forth, the supervisory judge advocate
should sign the necessary requests.
(5) The investigating officer shall present the preliminary report to
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the supervisory judge advocate for review for accuracy and completeness. The
supervisory judge advocate should also include any required opinions or
recommendations, including, at a minimum, an opinion regarding the scope of
employment of any government employee whose alleged actions may be the basis
for a claim or litigation.
e. Litigation-Report Investigation
(1) The report shall be prepared in accordance with the convening

order and the guidance set forth in sections 0207 and 0208. A sample
litigation-report investigation is at Appendix A-2-g.
(2) The report shall not contain statements signed by witnesses or

video or audio recordings of witness statements unless the statement is from a
claimant or opposing party to litigation.
(3) Photographs
(a) When photographs are included as part of the investigation,

the following information should be included on the reverse side: the hour
and date they were taken; a brief description of the location or area
photographed; the full name and rank or rate of the photographer; and full
names and addresses of persons present when the photographs were taken.
(b) In addition, the photographer should be asked to provide

details surrounding the taking of the photographs such as type of camera,
distance from object, etc. Similar information should be on a label affixed
to any videotape included in the investigation.
(c) If digital photography is used, the following additional

requirements must be met. Safeguard the source of the media that shows the
original directory with dates, file size and file names automatically
generated by the digital camera, and retain both the source media (original
directory with dates, file size and file names automatically generated by the
digital camera) and image in a secure area. In addition, evidentiary
considerations require the following information be included with respect to
the digital images included in the litigation report: document the name of the
person who took the digital image; the type of digital camera used to create
the image and the type of medium used to store the image (i.e., internal or
removable storage); the type of computer to open the stored digital image and
software used to convert the image to a photograph (including software
edition); the name of the person who operated the computer that transformed
the image to a digital photograph; and the date and time the digital image was
converted into a digital photograph and the type of printer used (make,
model).
(4) If original evidence is contained in a litigation-report

investigation, neither the investigating officer nor any reviewing authority
shall alter or mark the original evidence, other than as required for
verifying photographs as described in paragraph 3 above.
(5) When the report is compiled, it shall be marked on every page:

"FOR OFFICIAL USE ONLY: LITIGATION/ATTORNEY WORK PRODUCT." The report must
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be signed by both the investigating officer and the supervisory judge
advocate, or in the case that they cannot agree on a particular portion of the
report, the supervisory judge advocate alone shall sign the report. The
investigating officer may, but is not required to, separately document the
basis for any disagreement.
(6) An advance copy of the litigation-report investigation should be

sent to the Office of the Judge Advocate General (Code 15), Investigations
Branch, 1322 Patterson Avenue SE, Suite 3000, Washington Navy Yard, DC 20374-
5066. Waiting until endorsements have been obtained before providing a copy
of the investigation to Code 15 is neither required nor desired as the facts
of the incident must be made known to cognizant claims personnel as soon as
possible.
(a) If the investigation involves a potential affirmative claim

on behalf of the government, this should be noted on the cover page of the
advanced copy.
(b) For investigations where the adequacy of medical care is

reasonably at issue, an advance copy of the investigation shall be provided to
the Chief, Bureau of Medicine and Surgery (M3B21 - Risk Management).
f. CA action
(1) Upon receiving a litigation-report investigation, the CA shall

review the report or have it reviewed, and either endorse the report in
writing within 30 calendar days or return it to the supervisory judge advocate
for further inquiry.
(a) The CA shall not normally approve or disapprove the findings

of fact. If the CA is dissatisfied with the findings, the CA may return the
report to the supervisory judge advocate for additional information.
(b) The CA may comment on those aspects of the report that bear on
the administration or management of the command. The CA should, for example,
indicate what corrective action, if any, is warranted and a timeline for
implementation.
(c) The CA shall state in the endorsement where the original

evidence is preserved and provide the name and telephone number of the
responsible official.
(d) The CA's endorsement, on every page, shall be marked: "FOR

OFFICIAL USE ONLY: LITIGATION/ATTORNEY WORK PRODUCT."
(2) The CA shall retain a copy of the report and forward the original
plus one copy to the Office of the Judge Advocate General (Code 15),
Investigations Branch, 1322 Patterson Avenue SE, Suite 3000, Washington Navy
Yard, DC 20374-5066, via the staff judge advocate of the GCMCA in the chain-
of-command. The copy must be kept in a file marked "FOR OFFICIAL USE ONLY:
LITIGATION/ATTORNEY WORK PRODUCT" and be safeguarded against improper
disclosure. The CA will provide superiors in the chain-of-command, and other
commands that have a direct official need to know the results of the
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investigation, with a copy of the report but shall not otherwise disseminate
the report without consulting a judge advocate.
(a) Copies of litigation-report investigations in which the

adequacy of medical care is reasonably at issue shall be provided to the
Chief, Bureau of Medicine and Surgery (M3B21 - Risk Management).
(b) If an investigation involves a claims matter or redress of

injuries to property under Article 139, UCMJ, see Chapter IV of this Manual.
g. Review
(1) Superiors in the chain-of-command who receive a copy of a

litigation-report investigation may, but are not required to, comment on the
report. They should, however, take such action as may be warranted. They
will not normally approve or disapprove the findings of fact. Comments shall
be marked "FOR OFFICIAL USE ONLY: LITIGATION/ATTORNEY WORK PRODUCT" and copies
must be kept in files marked "FOR OFFICIAL USE ONLY: LITIGATION/ATTORNEY WORK
PRODUCT" and safeguarded against improper disclosure. Copies may be provided
to other commands that have an official need to know the results of the
investigation, but the report shall not be otherwise disseminated without
consulting a judge advocate.
(2) Staff judge advocates through which litigation-report

investigations are routed shall review the report for accuracy and
thoroughness, coordinate any further investigation with the supervisory judge
advocate or OJAG (Code 15), and forward the report not later than 30 calendar
days after it is received. The report need not be forwarded to OJAG (Code
15), Investigations Branch, via formal endorsement.
h. Release of Litigation-Report investigations. For all litigation-

report investigations, OJAG Code 15 is the sole denial/release authority. For
Admiralty Letter Reports, OJAG Code 11 is the sole denial/release authority.
Convening and reviewing commands are not authorized to release litigation-
report investigations or their contents.
0211 TYPE THREE: COURTS AND BOARDS OF INQUIRY
a. Overview. Courts and boards of inquiry use a hearing procedure and

should be reserved for the investigation of major incidents, as defined in
Appendix A-2-a, or serious or significant events. Specific guidance on
conducting courts and boards of inquiry is set forth in JAGINST 5830.1
(series). If there is a conflict with that instruction, this Manual controls.
b. Court of Inquiry characteristics
(1) Convened by a GCMCA, or a person designated by the Secretary of

the Navy (see Article 135, UCMJ).
(2) Convened by written appointing order, which should direct that all
testimony be taken under oath and all open proceedings, except counsel's
argument, recorded verbatim.
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(3) Consists of at least three commissioned officers as members and
has appointed legal counsel for the court. It may also include advisors
appointed to assist the members and non-voting members. See subsection (d)
below for additional information on advisors and non-voting members.
(4) Uses a hearing procedure.
(5) Designates as parties persons subject to the UCMJ whose conduct is

subject to inquiry. See Appendix A-2-b.
(6) Designates as parties persons subject to the UCMJ or employed by

the DoD and who have a direct interest in the subject under inquiry and
request to be so designated. See Appendix A-2-b.
(7) Has the power to order military personnel to appear, testify, and
produce evidence, and the power to subpoena civilian witnesses to appear,
testify, and produce evidence. Article 47, UCMJ, provides for prosecution of
civilian witnesses in U.S. district court for failing to appear, testify, or
produce evidence.
c. Board of Inquiry characteristics
(1) Convened by a GCMCA.
(2) Convened by written appointing order, which should direct that all
testimony be taken under oath and all open proceedings, except counsel's
argument, recorded verbatim.
(3) Consists of one or more commissioned officers as members and has

appointed legal counsel for the board. It may also include advisors appointed
to assist the members. See subsection (d) below for additional information on
advisors and non-voting members.
(4) Uses a hearing procedure.
(5) May designate as parties persons whose conduct is subject to

inquiry or who have a direct interest in the subject of the inquiry. The CA
may also authorize the board to designate parties during the proceedings. See
Appendix A-2-b.
(6) Does not possess power to subpoena civilian witnesses unless

convened under Article 135, UCMJ, but can order Naval personnel to appear,
testify, and produce evidence.
d. Advisors and non-voting members
(1) The CA may appoint to a court or board of inquiry full-time

Federal personnel, military or civilian, to participate in the proceedings and
advise the members. The CA may select such advisors because of their
background, training, or experience. Advisors may be present at all board or
court sessions, are subject to challenge to the same extent as members, and
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may suggest courses of inquiry or recommend such other action to the board or
court as they consider appropriate. Moreover, persons with technical
knowledge may be appointed for either full participation or the limited
purpose of utilizing their special expertise. If appointed for a limited
purpose, they need not participate in any aspect of the inquiry that does not
concern their expertise. The investigative report must clarify any limited
participation by advisors.
(2) The CA may appoint one or more non-voting members, whose level of
participation in the proceedings will be as determined by the CA or the senior
member of the court when so authorized by the CA. An example of when it may
be appropriate to appoint a non-voting member is when a court is convened to
investigate an incident in which a friendly nation or ally has a significant
interest and the CA determines that it will serve the interests of the United
States to invite a representative from the friendly nation or ally to
participate in a non-voting capacity.
e. Responsibilities
(1) The GCMCA over the command most involved in a major or serious
incident, if a flag or general officer, or the first flag or general officer
in the chain-of-command, or any superior flag officer in the chain-of-command,
will immediately take cognizance over the case as the CA.
(2) Whenever more than one command is involved in a major or serious

incident requiring formal investigation, a single investigation shall be
conducted. The common superior commander shall convene the investigation in
such cases, unless that officer's conduct or performance of duty may be
subject to inquiry, in which case the next superior in the chain-of-command
shall convene the investigation.
f. Convening order. See JAGINST 5830.1 (series) for the requirements for
convening orders for courts and boards of inquiry.
g. Method. See JAGINST 5830.1 (series) for information on how courts and
boards of inquiry are conducted.
h. Participation by non-parties. Other than the official members,

counsel, advisors, non-voting members, and administrative support personnel,
only parties may, as a general rule, participate in the proceedings of a court
or board of inquiry. The CA, or the president in the case of a court of
inquiry, may, however, permit the participation of an individual or
organization that has an interest in the subject under inquiry. For example,
the Federal Aviation Administration may be permitted to participate in an
investigation inquiring into the circumstances surrounding an aircraft crash.
Appropriate limits on the degree of participation should be specified in
advance.
i. Time limitations. The CA shall prescribe when the report is due

according to the complexity and gravity of the incident under investigation.
The CA may grant extensions in writing. Requests and authorizations for
extensions must be included in the report as enclosures.
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j. Action
(1) Upon receiving a report from a court or board of inquiry, the CA

shall review it or cause it to be reviewed, and either endorse the report in
writing or return it for further investigation. In the endorsement, the CA:
(a) may approve, disapprove, modify, or add to the findings of

fact, opinions, and recommendations;
(b) shall indicate what corrective action, if any, is warranted

and has been or will be taken;
(c) may comment on whether punitive or nonpunitive action is

warranted. Whenever punitive or nonpunitive action is contemplated or taken
as the result of the incident under inquiry, the action shall be noted in the
endorsement of the convening or reviewing authority. For example, the
endorsement could read: "Punitive action is not warranted; however,
appropriate corrective measures were taken in the case of ENS Smith."
Punitive letters, or copies of recommended drafts thereof, shall be included
in the investigative report as enclosures. Nonpunitive letters shall not be
included as enclosures in the investigative report. In instances involving
senior officials and certain other employees depending on their official
position, comment on specific nonpunitive accountability actions taken may be
included. See section 0105(b)(4).
(d) shall state where the original evidence is preserved and

provide the name and telephone number of the responsible official; see section
0207 for further information on the safekeeping of evidence.
(2) The CA, if not an Echelon II Commander, shall retain a copy of the
report and forward the original, via all superior commanders who have a direct
official interest in the recorded facts, to the appropriate Echelon II
Commander or as otherwise directed. The subject matter and facts found will
dictate the routing of the report for review. Reports involving Marine Corps
matters shall be forwarded to the Commandant of the Marine Corps. The CA
shall provide a copy to other commands that may have an interest in the
report, such as the Naval Safety Center.
(3) If a court or board of inquiry is to be used as a pretrial

investigation under Article 32(c), UCMJ, and the original report of
investigation is desired in connection with trial by general court-martial, it
may be retained for such purpose. A complete certified copy shall be
forwarded to the Echelon II Commander via appropriate authorities.
(4) The CA's action on the report should be completed within 30

calendar days of receiving the report.
k. Review. Superiors who receive a report from a court or board of

inquiry shall have it reviewed, and shall forward it to the cognizant Echelon
II Commander, via the chain-of-command. In their endorsements, intermediate
reviewing authorities shall comment on the report and state their concurrence
or disagreement with the findings of fact, opinions, and recommendations.
They shall also state what action, if any, is considered warranted or has been
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taken. Reports, as a general rule, should be forwarded within 30 calendar
days of receipt.
l. Advance copies of investigations
(1) In all cases where it is appropriate to forward an advance copy of

an investigation, the advance copy shall be forwarded by the CA and shall
include that officer’s endorsement.
(2) All advance copies of Marine Corps investigations shall be

forwarded to the Commandant of the Marine Corps after endorsement by the CA.
m. Release. For courts and boards of inquiry, the cognizant Echelon II

Commander is the release authority.
PART E -- LINE OF DUTY/MISCONDUCT
0212 WHEN LINE OF DUTY/MISCONDUCT DETERMINATIONS ARE REQUIRED
a. General. If a member incurs a disease or injury that may result in a

permanent disability or that results in the member's physical inability to
perform duty for a period exceeding 24 hours, as distinguished from a period
of hospitalization for evaluation or observation, a determination as to
whether the disease or injury was incurred in the line of duty or as the
result of misconduct is very important. An injury or disease suffered by a
member of the Naval service will, however, be presumed to have been incurred
in the line of duty and not as a result of misconduct, unless contrary
findings supported by clear and convincing evidence are made.
b. Death cases. A line of duty determination is required whenever an

active duty service member of the Naval service dies, in order to make
decisions concerning eligibility and annuity calculations under the
Uniformed Services Survivor Benefit Program; see Part F, section 0229 of
this Manual. In many cases, the death of a reservist will also require a
line of duty determination. See section 0224 for additional information on
reservist personnel.
c. Warning required. Any person in the Armed Forces, prior to being

asked to sign any statement relating to the origin, incidence, or aggravation
of any disease or injury suffered, shall be advised of the right not to sign
such a statement; see 10 U.S.C. § 1219. The spirit of this section will be
violated if a person, in the course of an investigation, obtains the member’s
oral statements and reduces them to writing, unless the above advice was given
first. Compliance with this section must be documented. See Appendix A-2-j
for a sample.
0213 WHY LINE OF DUTY/MISCONDUCT DETERMINATIONS ARE REQUIRED
a. General. Line of duty/misconduct determinations are extremely

important since they control several personnel actions. Receipt of certain
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survivor benefits such as the Survivor Benefit Plan (SBP), Dependency and
Indemnity Compensation (DIC), and Dependents’ Educational Assistance, are
contingent on whether the service member died while in the line of duty.
Equally important, the receipt of disability retirement and/or severance pay
hinge on this same determination.
b. Disability retirement and severance pay. To be eligible to receive

certain retirement and severance pay benefits, members of the Naval service on
active duty who sustain injuries resulting in permanent disability must have
received those injuries in the line of duty and not due to their own
misconduct. 10 U.S.C. §§ 1201, 1203, 1204, 1206, and 1207 require a
determination that "the disability is not the result of the member's
intentional misconduct or willful neglect, and was not incurred during a
period of unauthorized absence." Although the degree and permanent nature of
the disability will be determined pursuant to SECNAVINST 1850.4 (series), the
determination regarding line of duty/misconduct will be made by the line
commander in accordance with the provisions of this chapter. The line of
duty/misconduct determination made pursuant to this chapter will normally be
binding on the Physical Evaluation Board, subject to limitations set forth in
SECNAVINST 1850.4.
c. Survivor benefits. Dependents of service members who died in the line

of duty are generally eligible to receive certain survivor benefits such as
the Survivor Benefit Plan under 10 U.S.C. §§ 1447-1460 (see section 0229 for
additional information on the SBP), Dependency Indemnity Compensation under 38
U.S.C. §§ 1301-1323 and Dependent’s Educational Assistance under Chapter 35 of
Title 38 of the U.S. Code.
0214 STANDARDS OF PROOF FOR LINE OF DUTY/MISCONDUCT DETERMINATIONS
As discussed in section 0207, administrative investigations normally will

arrive at findings of fact only if supported by a preponderance of the
evidence, i.e., more likely than not. However, in LOD/Misconduct
investigations, certain findings require a higher standard, that of clear and
convincing. Clear and convincing means that the truth of the facts asserted
is highly probable. To be clear and convincing, evidence must leave no
serious or substantial doubt as to the correctness of the conclusion in the
mind of objective persons, after considering all the facts. It is a higher
degree than a preponderance of the evidence standard, but it does not require
proof beyond a reasonable doubt as in criminal cases (see also paragraph 3 of
Appendix A-2-a). Findings of fact relating to the following issues must be
established by clear and convincing evidence:
a. to rebut the presumption that an injury, disease, or death has been

incurred in the line of duty;
b. to rebut the presumption of mental responsibility when the question of

a member's mental responsibility has been raised by the facts or by the nature
of the incident;
c. to rebut the presumption that an unauthorized absence period of less

than 24 hours did not materially interfere with the performance of the
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member's military duties in line of duty/misconduct cases; or
d. to find that the acts of a deceased service member may have caused
harm or loss of life, including the member's own, through intentional acts.
0215 WHAT CONSTITUTES LINE OF DUTY
a. General. For purposes of this Chapter, only the award of disability,

retirement and severance pay are bound by separate standards regarding
injuries incurred during a period of unauthorized absence; see subsection d(2)
below. Injury or disease incurred by Naval personnel while in active service,
and death incurred by Naval personnel on active duty, will be considered to
have been incurred “in line of duty” except when incurred under one or more of
the following circumstances:
(1) as a result of the member’s own misconduct as determined under

the regulations contained in this chapter;
(2) while avoiding duty by deserting;
(3) while absent without leave and such absence materially

interfered with the performance of required military duties; see subsection
(d) below;
(4) while confined under a sentence of court-martial that included

an unremitted dishonorable discharge; or
(5) while confined under a sentence of a civil court following a

conviction of an offense that is defined as a felony by the law of the
jurisdiction where convicted.
b. Active service defined. "Active service" as used in this section

includes full-time duty in the Naval service, extended active duty, active
duty for training, leave or liberty from any of the foregoing, and inactive
duty training. Inactive duty training is duty prescribed for reservists by
the Secretary of the Navy and special additional duties authorized for
reserves, performed voluntarily in connection with prescribed training or
maintenance activities at their units; see SECNAVINST 1770.3 (series).
c. Active duty defined for death cases. Active duty for purposes of
line of duty determinations in death cases is defined in 10 U.S.C. §
101(d)(1). It includes active duty for training, even for periods less than
30 days, and inactive duty for training. The term inactive duty training is
defined in 37 U.S.C. § 206.
d. Unauthorized absence
(1) Whether absence without leave materially interferes with the

performance of required military duties necessarily depends upon the facts of
each situation, applying a standard of reality and common sense. No definite
rule can be formulated as to what constitutes "material interference."
Generally speaking, absence in excess of 24 hours constitutes a material
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interference unless evidence to the contrary exists. Similarly, an absence of
shorter duration will not be considered a material interference unless there
is clear and convincing evidence to establish the contrary. A statement of
the individual's commanding officer, division officer, or other responsible
official, and any other available evidence to indicate whether the absence
constituted a material interference with the performance of required military
duties, should be included in the record whenever appropriate.
(2) Per 10 U.S.C. § 1207, a member is ineligible for physical

disability retirement or physical disability severance benefits from the Armed
Forces if the disability was incurred during a period of unauthorized absence,
regardless of the length of such absence and regardless of whether such
absence constituted a material interference with the performance of required
military duties. Therefore, any injury incurred during a period of
unauthorized absence requiring a line of duty/misconduct determination
pursuant to the provisions of section 0212, must be the subject of a command
investigation.
0216 WHAT CONSTITUTES MISCONDUCT
a. Generally. An injury or disease is the result of a member's

misconduct if it is either intentionally incurred or is the result of willful
neglect that demonstrates a reckless disregard for the foreseeable and likely
consequences of the conduct involved. It is more than just inappropriate
behavior. For death cases, see sections 0218 and 0229. Simple or ordinary
negligence, or carelessness, standing alone, does not constitute misconduct.
The fact that the conduct violates law, regulation, or order, or is engaged in
while intoxicated, though relevant, does not alone constitute a basis for a
misconduct determination.
b. Presumption. An injury, disease, or death suffered by a member of the

Naval service is presumed to have been incurred in the line of duty and not to
be the result of misconduct. Clear and convincing evidence, see section 0214,
is required to overcome this presumption.
c. Examples. If an individual deliberately shoots off a toe to avoid

duty, the injury is due to misconduct since it was intentionally incurred. If
an individual shoots off a toe while playing Russian roulette, the injury is
due to misconduct since such conduct demonstrates a reckless disregard for the
foreseeable and likely consequences. If an individual shoots off a toe while
holstering a pistol with the safety off, the injury is not due to misconduct;
rather, it is the result of the negligent failure to observe a safety
precaution.
0217 RELATIONSHIP BETWEEN MISCONDUCT AND LINE OF DUTY
a. General. For purposes of these regulations, "misconduct" can never be

"in line of duty." Hence, a finding or determination that an injury was
incurred as a result of the member's own misconduct must be accompanied by a
finding or determination that the member's injury was incurred "not in line of
duty." It is permissible, however, to find that an injury was incurred "not
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as a result of misconduct" and "not in line of duty." As an example, a member
who is absent without authority may be injured by a felonious assault or
struck by a vehicle driven by a drunken driver. Obviously, the injury was
incurred through no fault of the member, but if the unauthorized absence
interfered with the performance of the member’s required military duties, a
finding of "not in line of duty" must result.
b. Possible findings. The only possible combinations of findings are:
(1) "In line of duty" and "not due to the member's own misconduct;"
(2) "Not in line of duty" and "not due to the member's own
misconduct;" and
(3) "Not in line of duty" and "due to the member's own misconduct."
0218 MENTAL RESPONSIBILITY
a. General rule. A member may not be held responsible for particular

actions and their foreseeable consequences if, as the result of mental defect
or disease, the member was unable to comprehend the nature of such acts or was
unable to control such actions.
b. Presumption. In the absence of evidence to the contrary, all members

are presumed to be mentally responsible for their acts. If a question of the
mental responsibility of a member is raised by the facts or by the nature of
the incident, this presumption ceases and the investigation must clearly and
convincingly establish the member's mental responsibility before an adverse
determination can be made.
c. Suicide attempts or suicides. In view of the strong human instinct

for self-preservation, suicide and a bona fide suicide attempt, as
distinguished from a suicidal gesture, creates a strong inference of lack of
mental responsibility. Self-inflicted injury, not prompted by a serious
suicidal intent, is at most a suicidal gesture, and such injury, unless lack
of mental responsibility is otherwise shown, is deemed to be incurred as the
result of the member’s own misconduct; see section 0230.
0219 INTOXICATION AND DRUG ABUSE
a. Intoxication. In order for voluntary intoxication alone to be the

basis for a misconduct determination, clear and convincing evidence must show
that the member was intoxicated sufficiently to impair the rational and full
exercise of his mental or physical faculties at the time of the injury and
that the impairment was the proximate cause of the injury. Intoxication or
impairment may be produced by alcohol, a drug, or inhalation of fumes, gas, or
vapor.
b. Presumption
(1) Any member that operates or physically controls any vehicle,
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aircraft or vessel while drunk; or, when the alcohol concentration in the
person’s blood or breath is equal to or exceeds the lesser of .10 percent or
the blood or breath alcohol content limit under the law of the state in
which the conduct occurred, is presumed to be sufficiently intoxicated to
impair the rational and full exercise of his mental or physical faculties.
This presumption is rebuttable but, if not rebutted, is of sufficient
strength to provide clear and convincing evidence of the member's
impairment. The presumption alone, however, does not establish anything
about the proximate cause of the injury.
(2) For example, if a sailor is injured while driving with a

voluntarily induced blood-alcohol content that is equal to or exceeds the
lesser of .10 percent by volume or the blood or breath alcohol content limit
under the law of the State in which the conduct occurred, then it may be
presumed that the sailor was impaired due to intoxication to the extent that
he could not fully exercise his mental or physical faculties at the time of
the wreck. To find misconduct, however, it still must be shown that the
resulting impairment was the proximate cause of the injury. Thus, if the
accident were caused solely by the wrongdoing of another driver, then the
sailor's impairment was not the proximate cause of the injury.
(3) Intoxication, as described above, may also be found when there is

no blood-alcohol content measurement available or when it measures less than
.10 percent by volume or the blood or breath alcohol content limit under the
law of the State in which the conduct occurred. In such cases, all relevant
information concerning the member's condition at the time of the injury or
incident should be considered.
c. Alcohol and drug-induced disease. Inability to perform duty resulting

from disease directly attributable to a specific, prior, proximate, and
related intemperate use of alcohol or habit-forming drugs is the result of
misconduct, see 37 U.S.C. § 802. Time spent in evaluating habituation without
specific inability to perform duty shall not be charged as time lost due to
misconduct.
0220 REFUSAL OF MEDICAL AND DENTAL TREATMENT
If a member unreasonably refuses to submit to medical, surgical, or dental

treatment, any disability that proximately results from such refusal shall be
deemed to have been incurred as a result of the member's own misconduct; see
chapter 18, Manual of the Medical Department.
0221 RELATIONSHIP TO DISCIPLINARY ACTION
An adverse line of duty/misconduct determination is not a punitive measure.

If warranted, commanders may take independent disciplinary action. Similarly,
a favorable line of duty/misconduct determination does not preclude separate
disciplinary action for the underlying act or circumstance which caused or led
to the injury. Line of duty and misconduct determinations are not binding at
subsequent disciplinary or administrative separation proceedings.
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0222 HOW LINE OF DUTY/MISCONDUCT DETERMINATIONS ARE RECORDED
a. General. As noted above, injuries or disease suffered by Naval

personnel are presumed to have been incurred in the line of duty and not as a
result of a member's misconduct.
(1) Each injury or disease requiring line of duty/misconduct

determinations (see section 0212), must be the subject of a preliminary
inquiry (see section 0229 for LOD determinations in death cases). If,
however, following a preliminary inquiry, the conditions set forth in
subparagraph c below are met, then the member's command need not convene an
investigation and need not report the line of duty/misconduct determinations
separately. Thus, if appropriate entries in the member's health or dental
records are made, and the command does not convene an investigation, then the
presumption that the member's injuries or disease were incurred in the line of
duty and were not a result of the member's misconduct will not be rebutted.
(2) See Appendix A-2-k for a checklist of matters that should be

included, as applicable, in any report of an investigation convened to inquire
into and make recommendations concerning misconduct and line of duty under the
provisions of this chapter.
b. Reporting. If the command completing the preliminary inquiry is not a

GCMCA, the command will report the circumstances surrounding the injury and
results of the preliminary inquiry to its GCMCA using the Personnel Casualty
Report system; see MILPERSMAN 1770-030. Unless the GCMCA directs otherwise,
the command will provide a copy of the preliminary inquiry report to the
appropriate medical department for review in making a health or dental record
entry described in subparagraph c (normally the preliminary inquiry report
will not be included within the health or dental record). The GCMCA may
review the preliminary inquiry and order an investigation.
c. Entry in health or dental record. An investigation need not be

convened and a report need not be forwarded concerning misconduct and line of
duty when, in the opinion of the medical officer or senior representative of a
medical department, with the concurrence of the member’s commanding officer,
the injury or disease was incurred "in line of duty" and "not as a result of
the member's own misconduct" and appropriate entries to this effect have been
made in the member's health or dental record. See Appendix A-2-l for sample
line of duty health or dental record entries.
d. Command Investigations. A command must convene an investigation and

make findings concerning misconduct and line of duty when:
(1) the injury was incurred under circumstances which suggest a

finding of "misconduct" might result. These circumstances include, but are
not limited to, all cases in which a qualifying injury was incurred:
(a) while the member was using illegal drugs or abusing

prescription drugs;
(b) while the member's blood alcohol content was equal to or
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exceeded the lesser of .10 percent by volume or the blood or breath alcohol
content limit under the law of the State in which the conduct occurred.
This does not preclude the convening of an investigation if the blood-alcohol
percentage measured less than .10 percent by volume or the blood or breath
alcohol content limit under the law of the State in which the conduct
occurred, if the circumstances so indicate; or
(c) as a result of a bona fide suicide attempt.
(2) the injury was incurred under circumstances that suggest a finding
of "not in line of duty" might result;
(3) there is a reasonable chance of permanent disability and the

commander considers the convening of an investigation essential to ensure an
adequate official record is made concerning the circumstances surrounding the
incident; or
(4) the injured member is in the Naval Reserve or the Marine Corps
Reserve and the commander considers an investigation essential to ensure an
adequate official record is made concerning the circumstances surrounding the
incident. See SECNAVINST 1770.3 (series) for additional information on
Reserve Component Incapacitation Benefits and their relationship to line of
duty/misconduct findings.
0223 ACTION BY REVIEWING AUTHORITIES
a. Action by convening authority. Unless the report is returned for

further inquiry into the circumstances behind the disease or injury, see Part
F of this Chapter for death cases, the CA will make a line of duty/misconduct
determination by taking one of the following actions:
(1) If the CA concludes that an injury or disease was incurred in line

of duty and not due to the member's own misconduct or that clear and
convincing evidence is not available to rebut the presumption of in line of
duty/not due to misconduct, this conclusion shall be expressed in the action
on the record of proceedings. This action may be taken regardless of whether
it differs from or concurs with an opinion expressed by the investigating
officer.
(2) If, upon review of the report, the CA or higher, believes that the
injury or disease of the member was incurred not in line of duty and/or due to
the member's own misconduct, then prior to taking action that authority must
afford the member, or the member's representative if the member is mentally
incompetent to understand the nature of the action, notice of the preliminary
determination and an opportunity, not exceeding 10 calendar days, to submit
any desired information for the CA's consideration. Additional time may be
granted by the CA for good cause. For purposes of this subsection, member’s
representative includes a court-appointed conservator (or equivalent) or a
duly-appointed attorney-in-fact. In the absence of such a representative,
notice may be sent to the member’s primary next-of-kin as designated on the
NAVPERS 1070/602 (Page 2). In the event of a conflict between a durable
power of attorney and a court-appointed conservator or equivalent, the CA
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must reconcile which takes precedence under the relevant state law.
(a) The member will be advised that he does not have to make any
statement relating to the origin, incidence, or aggravation of any injury or
disease. If any information is obtained from the member, a statement
attesting that the above warning was given must be attached; see section 0212
and Appendix A-2-j.
(b) If the member is also suspected or accused of any offense

under the UCMJ, then the member should also be advised in accordance with
Article 31, UCMJ, and of rights to counsel. Suspect's Rights
Acknowledgement/Statement forms should be used for such advice; see Chapter I
of this Manual.
(c) Upon request, the member may be permitted to review the

investigative report but not to copy it. After the report is final, the
member may have a right under the Privacy Act to a copy of the report.
(d) If the member elects to provide any information, it shall be

considered by the CA and attached to the record.
(e) If the member elects not to provide any information, or fails

to respond within 10 calendar days, that election or failure shall be noted in
the CA's endorsement.
(3) Unless the CA is a GCMCA, the report shall be forwarded via the
chain-of-command to a GCMCA with an assigned judge advocate.
(a) The CA has 30 calendar days to take action on the report. The
endorsement should be prepared as directed in section 0209.
(b) In cases involving death or injury of members, the original

shall be forwarded with sufficient copies so that the ultimate addressee
receives the original and two copies.
b. Action by general court-martial convening authority
(1) The GCMCA may take any action on the report that could have been
taken by the CA. With respect to conclusions concerning misconduct and line
of duty, the GCMCA shall indicate approval, disapproval, or modification of
such conclusions unless the record is returned for further inquiry. A copy of
this action shall be forwarded to the commander of the member concerned, so
that appropriate entries may be made in the member's service and medical
records, see below. Reviewing authorities subsequent to the GCMCA, if any,
need neither comment nor record approval or disapproval of the prior actions
concerning line of duty and misconduct.
(2) Copies of the report shall be provided to:
(a) the Naval Safety Center when the report reveals systemic
safety problems;
(b) OJAG (Code 15), Tort Claims Unit (TCU), 9620 Maryland Avenue,
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Suite 205, Norfolk, VA 23511-2989, if potential claims against the Government
or potential affirmative claims by the Government may be involved; if medical
care has been furnished and the government may be entitled to recover third
party medical claims, provide to OJAG (Code 15) Medical Care Recovery Unit
(MCRU), 9053 First St., Suite 100, Norfolk, VA 23511-3605; and
(c) other commands having a direct official interest in the

matter.
(3) The GCMCA shall keep the original investigation for 2 years.
c. Follow-up actions. As noted above, after the GCMCA reviews and

approves the line of duty/misconduct findings, the commander of the concerned
member must cause appropriate service and health record entries to be made to
include the GCMCA action. A copy of the GCMCA action will be made an
enclosure to all line of duty/misconduct health record entries resulting from
command investigations. In this regard, the following information is
provided:
(1) Extension of enlistment. When an enlisted service member is

unable to perform duties for more than one day because of intemperate use of
drugs or alcohol or because of disease or injury resulting from the member's
misconduct, his or her enlistment shall be extended to account for the lost
time. See 10 U.S.C. § 972.
(2) Longevity and retirement multiplier. An enlisted member who is

unable to perform duties for more than one day because of intemperate use of
drugs or alcohol or because of disease or injury resulting from misconduct is
not entitled to include such periods in computing "creditable service" for
purposes of longevity pay or retirement pay. See DoD Financial Management
Regulation (DoD FMR), DOD 7000.14-R, Volume 7A, Military Pay Policy and
Procedures – Active Duty and Reserve Pay.
(3) Forfeiture of pay. A member of the Naval service on active duty

who is absent from regular duties for a continuous period of more than one day
because of disease that is directly caused by and immediately follows
intemperate use of alcohol, illegal or prescription drugs is not entitled to
pay for the period of that absence. If pay is forfeited for more than one
month, however, the member is entitled to $5.00 for personal expenses for each
month that his pay is forfeited. Pay is not forfeited for absence from duty
caused by injuries or diseases that are not directly caused by and immediately
following intemperate use of alcohol, illegal or prescription drugs. See DoD
FMR, DoD 7000.14-R, Volume 7A, Chapter 1, Basic Pay.
(4) Disability retirement and severance pay. As noted in section

0213, to be eligible for disability retirement or severance pay, a member's
injuries must meet the requirements established by applicable statutes. One
of these requirements is that the injury/disability not be the result of the
member's "intentional misconduct or willful neglect" nor have been "incurred
during a period of unauthorized absence." The Physical Evaluation Board in
awarding any disability payment in accordance with SECNAVINST 1850.4 (series)
is bound by line of duty/misconduct determinations made pursuant to this
chapter.
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(5) Benefits administered by the Department of Veterans Affairs. In
determining whether a veteran or the veteran's survivors or dependents are
eligible for certain benefits, the Department of Veterans Affairs makes its
own determination with respect to misconduct and line of duty. As a practical
matter, these determinations often rest upon the facts that have been
officially recorded and are on file within the DON. Statutes governing these
benefits generally require that disabling injury or death be "service
connected," which means the disability was incurred or aggravated, or, that
the death resulted from a disability incurred or aggravated "in line of duty."
See 38 U.S.C. § 101. The statutory criteria for making such determinations
are contained in 38 U.S.C. § 105.
0224 SPECIAL CONSIDERATIONS IN RESERVE COMPONENT CASES
a. Interim Line of Duty determination. In order to meet the requirements

of DoDI 1241.2 (series), CAs must issue “interim” line of duty determinations
within seven days of being notified that a reservist not on the active duty
list has an incapacitating injury or illness incurred or aggravated while on
active duty, including leave and liberty therefrom, active duty for training,
inactive duty training, or travel to or from such duty. This interim
determination is intended to ensure that the reservist's incapacitation pay
can be started without delay. If the final line of duty/misconduct
determination is adverse to the member, immediate action must be taken to stop
incapacitation benefits; see SECNAVINST 1770.3 (series) for further
information.
b. Statutory authority. 10 U.S.C. § 1074a governs entitlement to medical

and dental care administered for reserve component members who incurred or
aggravated an injury, illness, or disease while performing active duty or
annual training for a period of 30 days or less, or inactive-duty training, or
while traveling directly to or from such duty.
c. Annual training. The period of annual training extends from the time
of reporting to the time of release, and, if the orders to active duty for
training provide for travel, the time of travel to and from the duty station
not in excess of the allowable constructive travel time as prescribed. DoD
FMR, DoD 7000.14-R, Volume 9, Travel Policy and Procedures.
d. Investigation. Incidents involving injury or death of reservists

occurring during a period of annual training or inactive duty training
(drill), as defined above, or that occur while traveling directly to or from
places where members are performing or have performed such duty, or any case
involving a question of whether a disease or injury was incurred during a
period of annual training, inactive duty training (drill) or travel, as
defined above, should be investigated. See Appendix A-2-k for a checklist of
matters that should be included, as applicable, in any report of an
investigation convened to inquire into and make recommendations concerning
line of duty for reservists.
PART F -- SPECIAL CONSIDERATIONS IN DEATH CASES
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0225 GENERAL
a. Special considerations. The circumstances surrounding the death of

Naval personnel or DON civilian employees accompanying military personnel in
the field or killed as a result of military-related actions, may be recorded
in a variety of ways, such as autopsy reports, battlefield reports, and
medical reports. Investigations conducted pursuant to this Manual may also
focus on such deaths and may incorporate other official reports as enclosures,
subject to the guidance contained in this Chapter. Since reports pertaining
to deaths of military members are by law generally releasable to family
members, special considerations prevail in the investigation of death cases.
Due to the special release considerations, litigation-report investigations
should never be conducted into the death of active-duty military members, or
civilians killed while accompanying military members into the field or as a
result of military-related activity.
b. Casualty Office notification. When an investigation into the cause or

circumstances surrounding the death of a military member or DoD civilian
employee who becomes a fatality while accompanying military personnel in the
field or as a result of military-related actions is initiated, the appropriate
Military Service Casualty Headquarters Office shall be notified immediately.
At a minimum, the Casualty Office shall be provided written confirmation
containing the following information:
(1) The name of the DoD organization conducting the investigation;
(2) The type of investigation being conducted;
(3) The existence of any reports by the investigating organization

that have been or will be issued as a result of the investigation;
(4) A point of contact within the investigating organization that can

provide information on the status of the completion of any investigative
reports;
(5) The procedures for family members to obtain a copy of the

completed report(s) to the extent such reports may be furnished consistent
with sections 552 and 552a of title 5, United States Code, and to obtain
assistance in obtaining a copy of the completed report(s); and
(6) The procedures for family members to obtain answers to their

questions on the complete investigation from a fully qualified representative.
(7) Investigating agencies will provide an update to the appropriate

Military Service Casualty Headquarters office at a 30-day frequency until the
investigation is completed.
The contact numbers for providing the Military Service Casualty Headquarters
with the required information concerning death investigations are: Navy
Casualty Office at 800-368-3202 and Marine Corps Casualty Office at 800-847-
1597.
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c. Family Member Notification. Per DoDI 1300.18 and applicable service
regulations, family members shall be informed in a timely manner of the
initiation of an investigation into the death of a service member. The same
policy and all related responsibilities and requirements shall be extended to
the family members of DoD civilians who have died while accompanying military
personnel in the field or as a result of military-related actions.
d. NCIS notification. NCIS must be notified of any death occurring on a

Navy vessel or Navy/Marine Corps aircraft or installation, except when the
cause of death is medically attributable to disease or natural causes.
e. Time limitations. The period for completing the administrative

investigation report/record into a death shall not normally exceed 20 calendar
days from the date of the death, or its discovery. For good cause, however,
the CA may extend the period. Requests and authorizations for extensions must
be coordinated with the next reviewing authority. The CA and subsequent
reviewers have 20 calendar days to review and endorse the investigation.
Noncompliance with these time requirements must be explained in the
endorsement of the deviating command and commented upon by subsequent
endorsers. See MILPERSMAN 1770-060 for the requirement to submit Status
Investigation Reports.
f. Release of death investigations
(1) Policy for release to next of kin. Normally, death investigation

reports/records shall not be released to the public until they are final.
However, consistent with 10 U.S.C. § 113 note (Pub. L. 102-484, Div. A, Title
X §1072, 23 Oct 92; 106 Stat. 2508), it is DON policy that for service member
deaths and civilians who died while accompanying military personnel in the
field or as a result of military-related activity, upon completion of the
review by the first GCMCA in the chain of command, the reviewer shall release
an advance copy of the investigation, upon a request, to the next of kin. The
release of an advance copy to requesting next of kin shall be made unless
release would violate law (e.g., investigation classified), or the endorser
can articulate how release would harm the command's mission, interfere with an
ongoing criminal investigation, or why release should not be made for other
good cause (e.g., interests of national security). If an endorser does not
wish to release an investigation to requesting next of kin, this decision
shall be coordinated with OJAG (Code 13), at 703-614-82007415/DSN 224-7415.
(2) Delivery to next of kin. In providing death investigations to the

next of kin, consideration should be given to the potential impact of the
report on the sensitivities of relatives and others to whom the investigation
may be released. Releasing authorities should exercise discretion in
enclosing graphic photographs. Such materials should be enclosed separately
in an envelope marked: "CAUTION, CONTAINS GRAPHIC PHOTOGRAPHS. DISCRETION
ADVISED." Similar procedures should be employed for autopsy reports and other
written materials containing graphic details of injury, wounds, mutilation,
etc. Releasing authorities should ensure, when reasonable, hand delivery of
the report by someone who can discuss it with the family. Normally, the
Casualty Assistance Calls Officer(s) would deliver the report, but there may
be reasons (technical subject-matter, personal friendships, etc.) for another
2-44
individual to do so. In releasing the report, redaction of witnesses’ social
security numbers and home addresses is appropriate; any other redactions
should be kept to a minimum.
(3) Release to general public or media. In determining what to

release in response to a request from the general public or media for the
investigation, the releasing authority must conduct a careful analysis under
the Freedom of Information Act (FOIA). Releasing authorities should look to
the guidance provided in section 6.3 of DoD Instruction 1300.18 (DoD Personnel
Casualty Matters, Policies, and Procedures). Releasing authorities should
also be aware that in some circumstances exemption b(7) to the FOIA, may
provide more protection for privacy interests than the b(6) exemption when the
investigation was conducted for “law enforcement purposes.” The law to be
enforced within the meaning of the term "law enforcement purposes" includes
the Uniform Code of Military Justice, and other applicable civil and criminal
law, as well as those statutes authorizing administrative (i.e., regulatory)
proceedings (MILPERSMAN, MARCORSEPMAN, Navy Regulations, etc.). Prior to the
release of any part of the investigation, the releasing authority is
responsible for ensuring appropriate commanders and next of kin are notified
of the pending release. In cover letters accompanying the release of the
investigation, the following language may be appropriate: "In making this
release to you, we note that some of the material may impact the deceased’s
family’s privacy interest. Although this information is released under the
FOIA, we urge discretion in selecting materials for public dissemination.”
0226 WHEN INVESTIGATIONS OF DEATH CASES ARE REQUIRED
A preliminary inquiry, see section 0203, shall, as in any other circumstance

potentially warranting an investigation, be conducted into the death of a
member of the Naval service or into the death of a civilian aboard a place
under Naval control. The requirement to conduct a preliminary inquiry or an
investigation is independent of the line of duty determination requirement.
See section 0228 and Part E. At the conclusion of the preliminary inquiry,
the commander must determine which of the options listed in section 0204 will
be exercised, and report that decision to the next superior in the chain-of-
command. Normally, a command investigation, or a limited investigation (see
subparagraph c below), will be appropriate to inquire into a death of a
service member. A court or board of inquiry is appropriate in some cases, as
discussed below. Litigation-report investigations will never be conducted in
any incident where an active duty death has occurred or where civilian
personnel have died while accompanying military personnel in the field or as a
result of military-related activities. In cases involving the death of other
civilians, whether a DON employee or not, potential claims are likely and as a
result, commands should consult with OJAG (Code 15). In deciding on the type
and necessity of investigation, the commander shall consider the following:
a. No investigation required. An investigation under this Manual will

normally not be conducted if the preliminary inquiry shows that the death of a
service member:
(1) was the result of a previously known medical condition and the
adequacy of military medical care is not reasonably in issue; or
2-45
(2) was the result of enemy action, except for “friendly-fire”
incidents described in subsection (b)(4) below.
b. Investigation required. An investigation under this Manual shall be

conducted if the preliminary inquiry shows:
(1) the case involves civilian or other non-Naval personnel found dead
aboard an activity under military control, where the death was apparently
caused by suicide or other unusual circumstances;
(2) the circumstances surrounding the death place the adequacy of

military medical care reasonably at issue;
(3) the case involves the death of a military member and a probable
nexus exists to Naval service, except where the death is as a result of enemy
action; or
(4) it is unclear if enemy action caused the death, such as in

possible "friendly-fire" incidents.
c. Limited investigation required. If the preliminary inquiry shows that

the death of a service member occurred at a location in the United States but
not under military control, while the member was off-duty, and the
circumstances of the death had no discernable nexus to the Naval service, the
command shall obtain the results of the investigation of the incident by
civilian authorities and maintain the results as an internal report. The
command shall document, in writing, the reasons for making the determination
to conduct a limited investigation, attaching the enumerated reasons to the
internal report. Completion of these actions shall follow the time
constraints noted for the processing of command investigations and will
constitute final action on the report. Limited investigations or internal
reports are considered investigations for records retention purposes.
0227 STANDARD OF PROOF
To find that the acts of a deceased service member may have caused harm or
loss of life, including the member's own, through intentional acts, findings
of fact relating to those issues must be established by clear and convincing
evidence; see Appendix A-2-a for a definition of that term.
0228 AUTOPSIES
a. General. When the death of a member of the uniformed services on

active duty, or active duty for training, occurs under any of the
circumstances set forth in chapter 17, Manual of the Medical Department, and
when an autopsy is authorized by the member’s commander, and in other cases in
which authorization from proper authority has been obtained, the preliminary
inquiry officer shall provide the medical officer designated to conduct the
autopsy with a preliminary report of the circumstances surrounding the death.
In those cases in which authorization for autopsy has been granted by other
2-46
than the member’s commanding officer, the medical officer shall be responsible
for advising command authority that such authorization has been granted in
order to facilitate the preliminary investigation and report thereof to the
medical officer conducting the autopsy. Upon completion of the autopsy, the
medical officer conducting the autopsy shall provide the preliminary inquiry
officer, or investigating officer, a copy of the preliminary autopsy findings
as to the cause of death and, when completed, a copy of the final protocol.
The medical officer conducting the autopsy should be provided with a copy of
the final investigative report, if an investigation is convened. DoDD 5154.25
(series) and NAVMED P-5065 refer to issues of authorization of autopsies.
b. Unavailability of documents. Notwithstanding the guidance above,

completion of a death investigation and its forwarding will not be delayed to
await final autopsy reports, death certificates, or similar documents unless
their inclusion is absolutely essential to the completion of the investigative
report. The unavailability of such documents should be noted and the
investigation completed and forwarded. Documents subsequently obtained shall
be forwarded by separate correspondence via the review chain, with appropriate
reference to the report of investigation/forwarding endorsement.
0229 DETERMINATIONS CONCERNING LINE OF DUTY/MISCONDUCT IN DEATH CASES
a. Modifications to Survivor Benefit Plan programs
(1) With the passage of section 642, National Defense Authorization

Act (NDAA) of Fiscal Year 2002 (NDAA 2002), Public Law 107-107, modified the
SBP program in two important ways: First, SBP benefits are payable to a
qualified survivor when an active duty service member dies in the line of
duty, regardless of whether the service member was retirement eligible at
the time of death. Second, there is an increase in the calculation of the
SBP annuity payable to a qualified survivor, if the active duty service
member dies in the line of duty. 10 U.S.C. § 1448(d).
(2) Section 644, NDAA for Fiscal Year 2004 (NDAA 2004), Public Law
108-136, expanded the benefits and coverage of the SBP program to include
benefits for surviving spouses of reserve component members not eligible for
retirement who die from an injury or illness incurred or aggravated in the
line of duty during inactive training. 10 U.S.C. § 1448(f).
b. Calculations of SBP annuities. SBP annuities are calculated as a

percentage of the SBP base amount. Normally, the annuity is 55 percent of
the SBP base amount. When an active duty death is determined to be in the
line of duty, the SBP base amount is equal to retired pay as if the service
member retired with total (100 percent) disability, which in turn is equal
to 75 percent of the member’s base pay (final or high-36 pay). Thus, for an
active duty death determined to be in the line of duty, the calculation of
the SBP annuity payable to a qualified survivor normally will be 55 percent
of 75 percent of the deceased service member’s final or high-36 pay.
c. SBP modifications in line of duty determinations. Section 642, NDAA

2002 only affects the SBP eligibility determination or annuity calculation
in cases determined to be in the line of duty. For cases determined to be
2-47
not in the line of duty, SBP eligibility and annuity calculations remain in
effect under the rules that existed prior to Public Law 107-107. If the
service member was not retirement eligible at the time of death, then SBP is
inapplicable. If the service member was retirement eligible at the time of
death, a SBP annuity will be paid to a qualified survivor, but will not be
computed on the basis of a nominal total disability retirement. Rather, the
SBP base amount will be computed on the retirement for service rules that
would have applied if the service member had retired at time of death.
d. Process. Line of duty determinations are now required in all active

duty death cases and are made as follows:
(1) Each active duty death shall be subject to, at a minimum, a

preliminary inquiry in accordance with section 0203 of this Manual. The
preliminary inquiry shall be conducted by the command to which the deceased
member was attached, or the gaining command for service members who die in
transit. The command conducting the preliminary inquiry, or higher
authority, shall decide whether the preliminary inquiry is sufficient to
base a line of duty determination or whether there is need for an
investigation. In many death cases, a preliminary inquiry, consisting of a
basic letter report attached to a medical record entry or accident report,
will be sufficient to base a line of duty determination.
(2) If the command completing the preliminary inquiry or

investigation is not a GCMCA with an assigned judge advocate, the command
will forward the inquiry/investigation to the first GCMCA in its chain of
command with an assigned judge advocate. The command will include a written
recommendation concerning the line of duty determination.
(3) The GCMCA with an assigned judge advocate is the cognizant

official for making the formal line of duty determination, subject to a
limited review process described below. The GCMCA shall make the line of
duty determination in accordance with the guidance in sections 0215-0220 of
this Manual. All line of duty determinations in death cases shall be made
in writing by the GCMCA and forwarded to Commander, Navy Personnel Command,
(PERS-62), 5720 Integrity Drive, Millington, TN 38055-6220 or Headquarters,
U.S. Marine Corps, Manpower and Reserve Affairs (MMSR-6), 3280 Russell Road,
Quantico, VA 22134-5103.
(4) Adverse determinations. Before making a determination that an

active duty death was not in the line of duty, the GCMCA or his judge
advocate shall afford a known potential SBP beneficiary the opportunity to
review the report of investigation and provide relevant information to the
GCMCA. A “known potential SBP beneficiary” is the person who would
otherwise be the recognized qualified survivor if a favorable determination
were made. The respective Navy and Marine Corps program managers will
provide assistance for Navy and Marine Corps commands in identifying
potential SBP beneficiaries. Ordinarily, the known potential SBP
beneficiary shall be provided 30 calendar days from receipt of the report of
investigation to provide information to the GCMCA. In an adverse
determination case in which there is no known potential SBP beneficiary, the
GCMCA shall make the line of duty determination following a review of the
investigation by the assigned judge advocate.
2-48
(5) For adverse determination cases, the GCMCA shall forward a
complete copy of the investigation to PERS-62 or MMSR-6, where it will be
reviewed by CNP or DC(M&RA). CNP or DC(M&RA) shall review the LOD
determination and underlying investigation. The determination of the GCMCA
shall be sustained unless CNP or DC(M&RA) determines that a substantial
error occurred that could materially affect the determination. In such
cases, CNP or DC(M&RA) can make a different determination or return the case
to the GCMCA for further investigation. The review and determination of the
CNP or DC(M&RA) shall be administratively final.
0230 MAJOR INCIDENTS AND OTHER CASES INVOLVING DEATH WHERE A COURT OF
INQUIRY MAY BE APPROPRIATE
a. Death cases within the definition of major incident. For death cases
that fall within the definition of major incident in Appendix A-2-a, a court
or board of inquiry should be convened. Additionally, and notwithstanding
that a death case may not qualify as a major incident, a CA may conclude that
a board or court of inquiry is the appropriate forum for conducting the
investigation.
b. Deceased service member contributing cause to incident. If, at any

time during the course of a court or board of inquiry, it appears that the
intentional acts of a deceased service member were a contributing cause to the
incident, the CA will be notified by legal counsel assigned to the court. The
CA will then notify OJAG (Code 13) or, as appropriate, HQMC (Code JAR), of
the preliminary finding of contributing cause by the deceased member. OJAG
(Code 13) or HQMC (Code JAR) will advise the CA what additional measures, if
any, are necessary to ensure a fair hearing regarding the deceased's actions.
0231 INDEPENDENT REVIEW
a. General. To enhance the investigation process, prior to taking action

on an investigative report that calls into question the propriety of a
deceased individual's conduct, including all apparent suicide cases, the CA
may cause the report to be reviewed by an individual not previously connected
with the investigation process and outside the CA's immediate chain-of-
command.
b. Qualifications of reviewer. The individual selected pursuant to this

section to review the preliminary report should, to the extent feasible,
possess such training, experience, and background that he can critically
analyze the salient circumstances surrounding the death as documented in the
report. For example, if a pilot's death occurred as the result of an aircraft
accident, then the individual selected should be a pilot. In all cases, the
individual selected should have no official or personal interest in the
outcome of the investigation.
c. Duties of reviewer. The individual selected to review the

investigative report shall not act as the deceased's representative, but
should critically analyze the investigative report from the perspective of the
2-49
deceased, tempered by the reviewer's own experience, training, and education.
If, after conducting the review, the reviewer believes comment on the
thoroughness of the investigation or the accuracy of its findings is
warranted, then such comments shall be provided in writing to the CA. The
review shall be completed within 10 calendar days of delivery of the report to
the reviewer.
d. Action. The CA shall consider the reviewer’s comments and take such
action as the CA deems appropriate. The reviewer's comments, if any, shall be
appended to the investigative report.
0232 SPECIAL ROUTING
Since most death cases are of interest to headquarters activities, an advance

copy of all death investigations, other than those where only a preliminary
inquiry or limited investigation is required, shall be provided to the Echelon
II Commander after the first endorsement. The original report shall note the
forwarding of the advance copy, and each subsequent endorser shall provide an
advance copy of his endorsement to the Echelon II Commander.
2-50
DEFINITIONS
1. Administrative Investigation. Administrative investigations collect and

record information. Their reports are advisory. Their opinions, when
expressed, do not constitute final determinations or legal judgments, and
their recommendations, when made, are not binding upon convening or reviewing
authorities.
2. Class A Mishap. A Class A mishap is one in which the total cost of

damage to property or aircraft or unmanned aerial vehicle (UAV) exceeds
$2,000,000, or a naval aircraft is destroyed or missing, or any fatality or
permanent total disability results from the direct involvement of naval
aircraft or UAV. Loss of a UAV is not a Class A unless the cost is
$2,000,000 or greater.
3. Clear and Convincing Evidence. A degree of proof beyond a preponderance

but less than the near certainty of beyond a reasonable doubt. It means that
the truth of the facts asserted is highly probable. To be clear and
convincing, evidence must leave no serious or substantial doubt as to the
correctness of the conclusion in the mind of objective persons after
considering all the facts.
4. Cognizant Judge Advocate. The judge advocate (see definition below) who,
by regulation or practice, is responsible for providing legal advice to the
concerned convening or reviewing authority. This often will be a station,
staff, fleet, or force judge advocate, but may also include the command
services officer at the servicing Region Legal Service Office.
5. Command Investigation. An administrative investigation conducted into an

incident of primary interest to command authorities. It shall be forwarded to
OJAG (Code 15) after two years.
6. Intoxication. A state of impairment of the mental or physical faculties

that prevents their rational and full exercise. Whether the impairment is
caused by ingesting liquor or drugs, or by inhaling fumes or vapors, is
immaterial.
7. Judge Advocate. As used in this chapter, the term ordinarily refers to a

military lawyer, but may include civilian attorneys under the professional
supervision of either the Navy Judge Advocate General or the Navy General
Counsel.
8. Litigation-Report Investigation. An administrative investigation

conducted under the direction and supervision of a judge advocate in
anticipation of litigation or claims. All litigation-report investigations
must be forwarded to OJAG (Code 15), Investigations Branch.
9. Major Incident. An extraordinary incident occurring during the course of

official duties resulting in multiple deaths, substantial property loss, or
substantial harm to the environment, where the circumstances suggest a
significant departure from the expected level of professionalism, leadership,
judgment, communication, state of material readiness, or other relevant
A-2-a
standard. Substantial property loss or other harm is that which greatly
exceeds what is normally encountered in the course of day-to-day operations.
These cases are often accompanied by national public and press interest and
significant congressional attention. They may also have the potential of
undermining public confidence in the Naval service. That the case is a major
incident may be apparent when it is first reported or as additional facts
become known.
10. Mishap Unit. The unit of the Armed Forces, at the squadron or battalion
level or equivalent, to which was assigned the flight crew of the Naval
aircraft that was involved in the accident that is the subject of the
investigation.
11. Person. For the purposes of this chapter, a person is an individual, not
an organization or corporation.
12. Personally Identifiable Information (PII). In the context of Privacy Act

requirements, personal information is information about an individual that
links, relates, or is unique to, or describes him or her, e.g., a Social
Security Number; age; marital status; race; salary; home/office phone numbers;
other demographic, biometric, personnel, medical, and financial information.
13. Preponderance of Evidence. A preponderance is created when the greater

weight of evidence, or evidence that is more credible and convincing to the
mind, is offered in support of, rather than in opposition to, any given fact.
Weight of evidence in favor of establishing a particular fact is not to be
determined by the sheer number of witnesses or volume of evidentiary matter
presented on either side, but by that evidence that best accords with reason
and probability.
14. Proximate Cause. That which, in a natural and continuous sequence,

unbroken by any significant intervening factor, causes an event, and without
which the result would not have occurred. For example, if a sailor
voluntarily becomes intoxicated and then willfully exceeds the speed limit by
30 mph, loses control of his vehicle, crashes into a tree and, as a result,
suffers severe injury, then his voluntary intoxication may be said to be the
proximate cause of his injury. Conversely, if another sailor voluntarily
becomes intoxicated, begins to drive home, is struck by another vehicle which
failed to yield the right of way at an intersection and, as a result, suffers
severe injury, then her voluntary intoxication cannot be said to be the
proximate cause of her injury.
15. Supervisory Judge Advocate. An attorney designated by the CA in a

litigation-report investigation convening order charged with directing and
supervising the investigating officer throughout the investigation. The
supervisory judge advocate will also provide advice and guidance to the
investigating officer, thoroughly review the draft litigation report, and
draft opinions and recommendations, as appropriate. A supervisory judge
advocate is most often a member of the Judge Advocate General’s Corps or USMC
judge advocate assigned to the command convening the investigation, to a large
local command, or to RLSO Command Services. However, in certain instances
(particularly for incidents involving NAVFAC responsibilities or contract-
intensive matters), the supervisory judge advocate may be an Office of General
A-2-a
Counsel (OGC) attorney.
16. System of Records. In the context of the Privacy Act, a system of

records is a group of records under the control of the DON from which
information is retrieved by an individual's name or some identifying number or
symbol.
A-2-a
PARTIES - DEFINITIONS AND RIGHTS
1. Party. A "party" is an individual who has properly been so designated

in connection with a court of inquiry or a board of inquiry required to
conduct a hearing whose conduct is either the subject of the inquiry or has
a direct interest in the inquiry. No individual has a right to demand a
court of inquiry.
2. Subject to Inquiry. A person's conduct or performance of duty is

"subject to inquiry" when the person is involved in the incident or event
under investigation in such a way that disciplinary action may follow, the
person's rights or privileges may be adversely affected, or the person's
reputation or professional standing may be jeopardized.
3. Direct Interest. A person has a "direct interest" in the subject of

inquiry:
a. When the findings, opinions, or recommendations of the fact-finding

body may, in view of the person's relation to the incident or circumstances
under investigation, reflect questionable or unsatisfactory conduct or
performance of duty; or
b. When the findings, opinions, or recommendations may relate to a

matter over which the person has a duty or right to exercise official
control.
4. Rights. A person duly designated a party before a fact-finding body

shall be advised of and accorded the following rights:
a. To be given due notice of such designation.
b. To be present during the proceedings, but not when the investigation

is cleared for deliberations.
c. To be represented by counsel.
d. To examine and to object to the introduction of physical and

documentary evidence and written statements.
e. To object to the testimony of witnesses and to cross-examine adverse

witnesses.
f. To introduce evidence.
g. To testify as a witness.
h. To refuse to incriminate oneself; and, if accused or suspected of an

offense, to be informed of the nature of the accusation and advised of the
right not to make any statement regarding the offense of which accused or
suspected and that any statement made may be used as evidence in a trial by
court-martial.
A-2-b
i. To make a voluntary statement, oral or written, to be included in
the record of proceedings.
j. To make an argument at the conclusion of presentation of evidence.
k. To be properly advised concerning the Privacy Act.
l. To challenge members.
A-2-b
SAMPLE DOCUMENTATION OF PRELIMINARY INQUIRY
5830
(Date)
From: (Name and rank of individual conducting preliminary inquiry)

To: (Title of authority ordering preliminary inquiry)
Subj: PRELIMINARY INQUIRY INTO (DESCRIPTION OF INCIDENT)
Ref: (a) JAGMAN, Section 0203
Encl: (1) Appointing order (If any)

(2) Any other evidence used by the reviewing official, such as
statements, documents, records, pictures, etc.
1. This reports completion of the preliminary inquiry conducted in

accordance with reference (a) into (description of incident).
2. Personnel contacted: (List individuals with name, rank, title, unit, and
telephone number).
3. Materials reviewed: (List documents, objects, materials, and tangibles

reviewed and, if of probable evidentiary value, where stored together with
name of responsible individual and that person's phone number).
4. Summary of findings: (The inquiring official should provide a brief

summary of their findings to the commander. While the summary need not
extend beyond one paragraph, it should be as long as required to provide the
commander with a reasonably good picture of what occurred and should support
the recommendations provided below. In addition, it should document what is
not known about the event in question).
5. Recommendation: (The inquiring official should provide a recommendation

on subsequent command action: consult a judge advocate; no further
investigation warranted; command investigation; litigation-report
investigation; board of inquiry; or court of inquiry. If the inquiring
official: concludes that any injuries may result in a finding of “not in the
line of duty” or “misconduct,” then it must be accompanied by a
recommendation to convene a formal investigation; or, recommends
disciplinary action, then such a recommendation should be followed by a
recommendation to conduct a formal investigation or a Preliminary Inquiry
pursuant to Rule for Courts-Martial 303.
_____________________________________
Name, rank, unit, telephone
A-2-c
____________________________________________________________________________
FIRST ENDORSEMENT
________Concur with recommendation
________Other:____________________________________________________________
____________________________________________________________
_______________________________________
Name, rank, unit, telephone
(Note: Attachments may be added to the report as desired.)
A-2-c
SAMPLE COMMAND INVESTIGATION CONVENING ORDER
5830
Ser
[Date]
From: Commanding Officer, Headquarters Battalion, Marine Corps Base, Camp

Pendleton, CA
To: Capt , USMC
Subj: COMMAND INVESTIGATION OF THE FIRE THAT OCCURRED AT ______________ ON

__ AUGUST 20__
Ref: (a) JAGMAN, Chapter II
1. This appoints you, per reference (a), to inquire into the facts and
circumstances surrounding the fire that occurred at __________ on __ August
20__.
2. Investigate the cause of the fire, resulting injuries and damages, and
any fault, neglect, or responsibility therefore, and recommend appropriate
administrative or disciplinary action. Report your findings of fact,
opinions, and recommendations in letter form by __ September 20__, unless an
extension of time is granted. If you have not previously done so, read
Chapter II of reference (a) in its entirety before beginning your
investigation.
3. You may seek legal advice from _________________ during the course of
your investigation.
4. By copy of this appointing order, Commanding Officer, Headquarters

Company, is directed to furnish necessary clerical assistance.
____________________________
Colonel, U.S. Marine Corps
Copy to:
CG, MCB CamPen, CA
CO, HQCo, HQBn, MCB, CamPen, CA
A-2-d
SAMPLE COMMAND INVESTIGATION REPORT
5830
[Date]
From: Capt , USMC

To: Commanding Officer, Headquarters Battalion, Marine Corps Base, Camp
Pendleton, CA
Subj: SAME AS SUBJECT ON CONVENING ORDER
Encl: (1) Appointing order and modifications thereto (if any were issued)
(2) Summary (or verbatim) of sworn (or unsworn) testimony of _______
(a witness)
(3) Summary (or verbatim) of sworn (or unsworn) testimony of________
(a witness)
(4) Statement of______________, signed by witness
(5) Description of (evidence found
at scene of the accident)
(6) Photograph of depicting__________
Note: Testimony of each witness, observations of the investigator,

photographs, diagrams, and suitable reproductions of tangible evidence
should be listed and attached as enclosures to the investigative report.
The location of all original evidence, such as logs, charts, tangible items,
and so forth, and the name and phone number of the official responsible for
its safekeeping must be stated in the report, either on each enclosure or in
the preliminary statement.
Preliminary Statement
1. Paragraph 1 of an investigative report must contain information in the

form of a "preliminary statement." Contents may require continuation in one
or more additional paragraphs. In general, see section 0208(c) for required
contents. Where applicable, an investigating officer should indicate the
name and organization of any judge advocate consulted. Extensions of time
to complete the report should be noted here. Also state in appropriate
cases that the matter was first referred to NCIS and NCIS expressed no
objection to proceeding with the investigation.
Findings of Fact
1. . [Encls ( ), ( )]
2. . [Encls ( ), ( )]
3. _. [Encl ( )]
Note: Findings of fact constitute an investigating officer's description of

details of events based on evidence. Findings must be as specific as
possible about time, places, and persons involved. Each fact may be made a
separate finding. An investigating officer may determine the most effective
presentation for a particular case. Each fact must be supported by
A-2-e
testimony of a witness, statement of the investigating officer, documentary
evidence, or tangible (real) evidence attached to the investigative report
as an enclosure. Each finding of fact should reference each enclosure that
supports it.
Opinions
1. . [FF ( )]
2. . [FF ( ), ( )]
3. . [FF ( )]
Note: An opinion is a reasonable evaluation, reference, or conclusion based

on facts found. Each opinion must be supported by findings of fact.
Determination of line of duty and misconduct is properly stated as an
opinion.
Recommendations
1. _______________________________________________________________________.
2. _______________________________________________________________________.
3. _______________________________________________________________________.
Note: If an investigating officer recommends trial by court-martial, a

charge sheet drafted by the investigating officer may be prepared and
submitted to the convening authority with the investigative report. See
R.C.M. 307, MCM. The charge sheet should not be signed; i.e., charges
should not be preferred since preferral starts the "speedy trial clock"
running. Before preferring charges, the local legal service office or staff
judge advocate should be consulted. Unless specifically directed by proper
authority, an investigating officer must not notify an accused of charges.
Notification is the responsibility of the commanding officer of an accused.
See R.C.M. 308 and 707, MCM. If a punitive letter of reprimand or
admonition is recommended, a draft of the recommended letter must be
prepared and forwarded with the investigative report. Proposed nonpunitive
letters of caution must not be forwarded with the report; see section 0209f.
_____________________________
(INVESTIGATING OFFICER)
A-2-e
SAMPLE LITIGATION-REPORT INVESTIGATION CONVENING ORDER
5830
Ser
[Date]
From: Commanding Officer, Naval Submarine Base New London

To: LT , USN
Subj: LITIGATION-REPORT INVESTIGATION OF THE FIRE THAT OCCURRED AT QUARTERS

XYZ, NAVSUBBASE NLON, ON ___ AUGUST 20__
Ref: (a) JAGMAN, Chapter II
1. Per reference (a), you are hereby appointed to investigate the

circumstances surrounding the fire that occurred at Quarters XYZ, Naval
Submarine Base New London on __August 20__, and to prepare the related
litigation-report. During the investigation, you will be under the
direction and supervision of LCDR ____________, JAGC, USN. Consult LCDR
_____________ before beginning your inquiry or collecting any evidence. If
you have not already done so, you should also read Chapter II of reference
(a) in its entirety before consulting LCDR _______________.
2. This investigation is being convened and your report is being prepared

in contemplation of litigation and for the express purpose of assisting
attorneys representing interests of the United States in this matter. As
such it is privileged and should be discussed only with personnel who have
an official need to know of its progress or results. If you have any doubt
about the propriety of discussing the investigation with any particular
individual, then you should seek guidance from LCDR ____________ before
doing so.
3. Investigate all facts and circumstances surrounding the fire, including

the cause of the fire, resulting injuries and damages, and any fault,
neglect, or responsibility therefore. Report your findings to LCDR
______________ by __ September 20__, unless an extension of time is
granted. Do not express any opinions or recommendations. Label your report
"FOR OFFICIAL USE ONLY: ATTORNEY WORK PRODUCT," and take appropriate
measures to safeguard it.
_______________________________
Copy to:
COMSUBGRU TWO
A-2-f
SAMPLE LITIGATION-REPORT INVESTIGATION
FOR OFFICIAL USE ONLY: ATTORNEY WORK PRODUCT
5830
Ser
[Date]
From: LCDR , JAGC, USN

LT ____________________________________, USN
To: Commanding Officer, Naval Submarine Base New London
Subj: SAME AS SUBJECT ON CONVENING ORDER
Encl: (1) Convening order and modifications thereto (if any were issued)
(2) Summary of statement of [witness] (Do not include signed
statements)
(3) Summary of statement of [witness]
(4) Description of (evidence found
at scene of fire)
(5) Photograph of depicting _______________
Note: Summarized statement of each witness, observations of the

investigator, photographs, diagrams, and suitable reproductions of tangible
evidence should be listed and attached as enclosures to the investigative
report. The location of all original evidence, such as logs, charts,
tangible items, and so forth, and the name and phone number of the official
responsible for its safekeeping must be stated in the report, either on each
enclosure or in the preliminary statement.
Preliminary Statement
1. Paragraph 1 of a litigation report must contain information in the form

of a "preliminary statement." Contents may require continuation in one or
more additional paragraphs. In general, see section 0208(c) for required
contents. The name and organization of the supervisory judge advocate
should be listed and the following language must be included: "This
investigation is being conducted and this report is being prepared in
contemplation of litigation and for the express purpose of assisting
attorneys representing interests of the United States in this matter."
Findings of Fact
1. . [Encls ( ), ( )]
2. . [Encls ( ), ( )]
3. _. [Encl ( )]
Note: Findings of fact constitute an investigating officer's description of

details of events based on evidence. Findings must be as specific as possible
about time, places, and persons involved. Each fact may be made a separate
A-2-g
FOR OFFICIAL USE ONLY: ATTORNEY WORK PRODUCT
finding. An investigating officer may determine the most effective

presentation for a particular case. Each fact must be supported by the
statement of a witness, statement of the investigating officer, documentary
evidence, or tangible (real) evidence attached to the investigative report as
an enclosure. Each finding of fact should reference each enclosure that
supports it.
Opinions and Recommendations shall not be made by the investigating officer.

Before the report is submitted to the convening authority, the supervisory
judge advocate should add appropriate opinions and recommendations,
including an opinion as to whether the DON tortfeasor was acting within the
scope of employment and those opinions and recommendations identified in
Appendix A-2-l. Each opinion must be supported by findings of fact, and
each recommendation must be supported by an opinion.
_____________________________________
(INVESTIGATING OFFICER)
______________________________________
(SUPERVISORY JUDGE ADVOCATE)
A-2-g
SAMPLE PRIVACY ACT STATEMENT FORMAT - JAGMAN INVESTIGATION
1. AUTHORITY: 44 U.S.C. § 3101; 5 U.S.C. § 301. Specify, if possible,

other statutory authority listed below that is peculiarly applicable to the
matter under investigation.
Authorities applicable to various investigations:
a. Requirement that enlisted members make up time lost due to

misconduct or abuse of drugs or alcohol. 10 U.S.C. § 972.
b. Retirement or separation for physical disability. 10 U.S.C. §§

1201-1221.
c. Manual for Courts-Martial.
d. Uniform Code of Military Justice. 10 U.S.C. §§ 815, 832, 869, 873,

935, 936, and 938-940.
e. Military Claims Act. 10 U.S.C. § 2733.
f. Foreign Claims Act. 10 U.S.C. §§ 2734, 2734a, 2734b.
g. Emergency payment of claims. 10 U.S.C. § 2736.
h. Non-Scope claims. 10 U.S.C. § 2737.
i. Duties of Secretary of the Navy. 10 U.S.C. § 5013.
j. Duties of the Office Chief of Naval Operations. 10 U.S.C. §§ 5031-

5033, 5035-5036.
k. Duties of the Bureaus and Offices of the Department of the Navy and
duties of the Judge Advocate General. 10 U.S.C. §§ 5021-5024, 5131-5133,
5135, 5137-38, 5141-5142a, 5148-5150.
l. Duties of the Commandant of the Marine Corps. 10 U.S.C. § 5043.
m. Reservists' disability and death benefits. 10 U.S.C. § 1074.
n. Requirement of exemplary conduct. 10 U.S.C. § 5947.
o. Promotion of accident and occupational safety by Secretary of the

Navy. 10 U.S.C. § 7205.
p. Admiralty claims. 10 U.S.C. § 7622-7623.
q. Federal Tort Claims Act. 28 U.S.C. §§ 1346, 2671-2680.
r. Financial liability of accountable officers. 31 U.S.C. §§ 3521,

3527.
A-2-h
s. Military Personnel and Civilian Employees' Claims Act of 1964. 31
U.S.C. §§ 240-243.
t. Federal Claim Collection Acts. 31 U.S.C. §§ 3521, 3526, 3529, 3701-

3702, 3717-3718.
u. Forfeiture of pay for time lost due to incapacitation caused by

alcohol or drug use. 37 U.S.C. § 802.
v. Eligibility for certain veterans' benefits. 38 U.S.C. § 105.
w. Postal claims. 39 U.S.C. §§ 406, 2601.
x. Medical Care Recovery Act. 42 U.S.C. §§ 2651-2653.
y. Public Vessels Act. 46 U.S.C. §§ 781-790.
z. Suits in Admiralty Act. 46 U.S.C. §§ 741-752.
aa. Admiralty Extension Act. 46 U.S.C. § 740.
bb. Transportation Safety Act. 49 U.S.C. § 1901.
2. PRINCIPAL PURPOSE(S): The information which will be solicited is

intended principally for the following purpose(s):
[Specify each purpose listed below for which the record of the particular
investigation could reasonably be used:]
a. Determinations on the status of personnel regarding entitlements to

pay during disability, disability benefits, severance pay, retirement pay,
increases of pay for longevity, survivor's benefits, involuntary extensions
of enlistments, dates of expiration of active obligated service, and accrual
of annual leave.
b. Determinations on disciplinary or punitive action.
c. Determinations on liability of personnel for losses of, or damage

to, public funds or property.
d. Evaluation of petitions, grievances, and complaints.
e. Adjudication, pursuit, or defense of claims for or against the

Government or among private parties.
f. Other determinations, as required, in the course of naval

administration.
g. Public information releases.
h. Evaluation of procedures, operations, material, and designs by the

Navy and contractors, with a view to improving the efficiency and safety of
the Department of the Navy.
A-2-h
3. ROUTINE USES: In addition to being used within the Departments of the
Navy and Defense for the purpose(s) indicated above, records of
investigations are routinely furnished, as appropriate, to the Department of
Veterans Affairs for use in determinations concerning entitlement to
veterans' and survivors' benefits; to Servicemembers’ Group Life Insurance
administrators for determinations concerning payment of life insurance
proceeds; to the U.S. General Accounting Office for purposes of
determinations concerning relief of accountable personnel from liability for
losses of public funds and related fiscal matters; and to the Department of
Justice for use in litigation involving the Government. Additionally, such
investigations are sometimes furnished to agencies of the Department of
Justice and to State or local law enforcement and court authorities for use
in connection with civilian criminal and civil court proceedings. The
records of investigations are provided to agents and authorized
representatives of persons involved in the incident, for use in legal or
administrative matters. The records are provided to contractors for use in
connection with settlement, adjudication, or defense of claims by or against
the Government, and for use in design and evaluation of products, services,
and systems. The records are also furnished to agencies of the Federal,
State, or local law enforcement authorities, court authorities,
administrative authorities, and regulatory authorities, for use in
connection with civilian and military criminal, civil, administrative, and
regulatory proceedings and actions.
4. MANDATORY/VOLUNTARY DISCLOSURE - CONSEQUENCES OF REFUSING TO DISCLOSE:
a. Where disclosure is voluntary, as usually is the case, use one of

the following statements, or a combination of the following statements, as
applicable:
(1) Where an individual is a subject of an investigation for purpose

2a or 2b, above: “Disclosure is voluntary. You are advised that you are
initially presumed to be entitled to have the [personnel determinations]
[disciplinary determinations] in paragraph 2, above, resolved in your favor,
but the final determination will be based on all the evidence in the
investigative record. If you do not provide the requested information, you
will be entitled to a favorable determination if the record does not contain
sufficient evidence to overcome the presumption in your favor. If the
completed record does contain sufficient evidence to overcome the
presumption in your favor, however, your election not to provide the
requested information possibly could prevent the investigation from
obtaining evidence, which may be needed to support a favorable
determination.”
(2) Where an individual is a subject of an investigation for purpose

2c, above: “Disclosure is voluntary, and if you do not provide the
requested information, any determination as to whether you should be held
liable for repayment of the Government's loss would be based on the other
evidence in the investigative record.”
(3) Where the individual is a claimant or potential claimant in an

investigation for purpose 2e, above: “Disclosure is voluntary, but refusal
to disclose the requested information could prevent the investigation from
A-2-h
obtaining sufficient information to substantiate any claim which you have
made or may make against the Government as a result of the incident under
investigation.”
(4) Where the individual was treated at Government expense for

injuries caused by third parties in connection with a matter being
investigated for purpose 2e, above: “Disclosure is voluntary, but refusal
to disclose the requested information could result in a requirement for you
to assign to the Government your medical care claims against third parties
in connection with the incident, or authorize withholding of the records of
your treatment in a Naval medical facilities.”
(5) In any other case: “Disclosure is voluntary, and if you do not

provide the requested information, any determinations or evaluations made as
a result of the investigation will be made on the basis of the evidence that
is contained in the investigative record.”
b. In the unusual situation where a specific statute, regulation, or

lawful order of competent authority requires an individual to disclose
particular information for the Government's benefit in furtherance of a
Government interest, policy, or objective, the following statement should be
used: “Disclosure of (specify the particular relevant information required)
is mandatory under (cite the statute, regulation, or order), and refusal to
disclose that information will subject you to possible disciplinary or
criminal proceedings. Disclosure of any other information requested is
voluntary, (and there will be no adverse effects if you elect not to
disclose it) (but election not to disclose the information could ... .”
A-2-h
SAMPLE PRIVACY ACT RECORD OF DISCLOSURE
THE ATTACHED RECORD CONTAINS PERSONAL INFORMATION CONCERNING AN INDIVIDUAL.

USE AND DISCLOSURE THEREOF IS GOVERNED BY SECNAVINST 5211.5 (SERIES).
UNAUTHORIZED DISCLOSURE OF PERSONAL INFORMATION FROM THIS RECORD COULD
SUBJECT THE DISCLOSER TO CRIMINAL PENALTIES.
INSTRUCTIONS: This sheet is to remain affixed as a permanent part of the

record described below. An appropriate entry must be made below each time
the record or any information from the record is viewed by, or furnished to,
any person or agency, including the subject of the record, except: (1)
disclosures to DoD personnel having a need to know in the performance of
their official duties and (2) disclosure of items listed in subparagraph
7a(2) of SECNAVINST 5211.5 (series).
____________________________________________________________________________
TITLE AND DESCRIPTION OF RECORD
____________________________________________________________________________
NAME AND ADDRESS OF PERSON OR AGENCY TO WHOM DISCLOSED (AND SIGNATURE IF
DISCLOSURE IS MADE IN PERSON)
____________________________________________________________________________
DATE PURPOSE OF DISCLOSURE
____________________________________________________________________________
____________________________________________________________________________
____________________________________________________________________________
____________________________________________________________________________
IMPORTANT - READ AND COMPLY WITH THIS PAGE
A-2-i
SAMPLE WARNING ADVISEMENT ABOUT STATEMENTS REGARDING
ORIGIN OF DISEASE OR INJURY
COMPLIANCE WITH SECTION 0212 OF THE JAGMAN
I, , have been advised that:
-questions have arisen concerning whether or not my injury/disease,

sustained or discovered on 20 ,
was incurred in the line of duty or as a result of my own misconduct;
-in the event such injury/disease is determined to have been incurred

not in the line of duty or as a result of my own misconduct, I will be
required to serve for an additional period beyond my present enlistment to
make up for the duty time lost;
-lost duty time will not count as creditable service for pay
entitlement purposes;
-I may be required to forfeit some pay where absence from duty in

excess of one day immediately follows intemperate use of liquor or habit-
forming drugs;
-if I am permanently disabled and that disability is determined to

have been the result of misconduct or was incurred not in the line of duty,
I may be barred from receiving disability pay or allowances, as well as
veterans' benefits;
-I may not be required to give a statement relating to the origin,

incidence, or aggravation of any disease/injury that I may have.
I do/do not desire to submit a statement.
_________ _____________________________________
Date Signature
________________________________
Witness Signature
______________________________________________________________
Witness Name/Rate/Grade/Unit/Telephone Number
A-2-j
LINE OF DUTY/MISCONDUCT INVESTIGATIONS
The following is a list of matters that should be included, as applicable, in

any report of an investigation convened to inquire into and make
recommendations concerning misconduct and line of duty under the provisions of
this chapter.
a. Identifying information. The complete name, grade or title, service

or occupation, and station or residence of all persons, military and civilian,
killed or injured incident to the event under investigation; see section 0215
for advice required to be given by the Privacy Act if social security numbers
are requested.
b. Facts. All facts leading up to and connected with an injury, disease,

or death.
c. Records. Military or civilian police accident reports, pertinent

hospitalization or clinical records, death certificates, autopsy reports,
records of coroners' inquests or medical examiners' reports, and pathological,
histological, and toxicological studies. If originals cannot be included,
then the report shall state where the originals are located and the name and
telephone number of the official responsible for their safekeeping.
d. Site of incident. Complete information concerning the site and

terrain where the incident in question occurred as well as photographs,
videotapes, maps, charts, diagrams, or other exhibits that may be helpful to a
complete understanding of the incident. When photographs are included as part
of the investigation, the following information should be included on the
reverse side: the hour and date they were taken; a brief description of the
location or area photographed; the full name and rank or rate of the
photographer; and full names and addresses of persons present when the
photographs were taken. If available, the photographer should be asked to
provide details surrounding the taking of the photographs such as type of
camera, distance from object, and so forth. Similar information should be on
a label affixed to any videotape included in the investigation.
e. Duty status. Include all pertinent facts with respect to the duty,
leave, liberty, or unauthorized absence status of an individual at the time of
the incident.
f. Reservists. When the person involved is a member of a Reserve

component of the Navy or Marine Corps, complete information as to the member's
status in relation to extended active duty, active duty for training, or
inactive duty training, or travel to and from such duty, at the time of the
incident must be stated. An investigation involving Reserve personnel should
include:
(1) hour the reservist began travel directly to or from duty or

training;
(2) hour the reservist was scheduled to arrive for, or at which he

ceased performing, that duty or training;
A-2-k
(3) method of travel used;
(4) actual itinerary and authorized itinerary;
(5) authorized mode of travel and authorized travel time;
(6) manner in which travel was performed; and
(7) place, time, and circumstances of injury or death.
g. Injuries. Complete information as to the nature and extent of all

injuries to Naval personnel and the place and extent of any hospitalization
resulting therefrom. Include costs when civilian facilities are used. Also
include the amount of "lost" time.
h. Impairment. Refer to section 0219 regarding applicable presumption.

When relevant, evidence regarding the state of intoxication and the extent of
impairment of the physical or mental faculties of any person involved and
connected with the incident. Evidence as to the individual's general
appearance and behavior, rationality of speech, coordination of muscular
effort, and all other facts, observations, and opinions of others bearing on
the question of actual impairment shall be obtained and recorded. Efforts
shall be made to determine the quantity and nature of the intoxicating agent
used and the period of time over which used by the person. Results of any
blood, breath, urine, or tissue tests for the intoxicating agent should also
be obtained and submitted as exhibits.
i. Mental competence. When material, evidence regarding the mental

competence or impairment of the deceased or injured person. In all cases of
suicide or attempted suicide, evidence bearing on the mental condition of the
deceased or injured person shall be obtained. This will include all available
evidence as to social background, actions, and moods immediately prior to the
suicide or the suicide attempt, any troubles that might have motivated the
incident, and any relevant medical or counseling information.
j. Privacy Act. Document that each enclosure containing personal

information solicited from an individual for inclusion in a record system
retrievable by name or personal identifier complies with the Privacy Act; see
section 0207.
k. Warnings about injury or disease. Document that statements solicited

from an injured member respecting the incidence or aggravation of his disease
or injury are in compliance with section 0212.
A-2-k
SAMPLE LINE OF DUTY HEALTH OR DENTAL RECORD ENTRY
The following are sample medical or dental record entries regarding line of
duty/misconduct determinations:
Example 1: Member fell off ladder while securing line during sea and anchor
evolution on (specify date) aboard (specify vessel). Member sustained
injuries to left rotator cuff.
RECORD ENTRY: Member fell off ladder during sea and anchor evolution on
(specify date) aboard (specify vessel). Member sustained the following
injuries: (document injuries). Injuries were incurred in the line of duty
and not as a result of the member’s own misconduct.
Medical/Dental Official Commanding Officer/Command Representative

Concur Non-Concur
Example 2: Member was playing volleyball while in a liberty status in

Hawaii (homeport) on (specify date). Member sustained injuries to left
rotator cuff.
RECORD ENTRY: Member was playing volleyball while in a liberty status on

(specify date) at (specify location). Member sustained the following
injuries: (document injuries). Injuries were incurred in the line of duty
and not as a result of the member’s own misconduct.
Medical/Dental Official Commanding Officer/Command Representative

Concur Non-Concur
A-2-l
CLAIMS FOR OR AGAINST THE GOVERNMENT
Investigations into incidents which may result in claims must address the
following fundamental issues:
a. The identity of those involved, including name, rank/grade, unit, age,

address (home and work), telephone number, occupation, and how they were
involved, e.g., deceased as a result of the incident, in which case,
identifying information for the next-of-kin or legal representative must be
provided, as well, injured party, owner of property damaged, military member
whose acts or omissions are alleged to have caused the harm, or witness. The
findings of fact should provide information on how those involved may be
located. Moreover, every attempt should be made to obtain a permanent address
that will be accurate for at least 5 years after the accident. Indicate for
each individual their status as military (indicate Regular or Reserve, on
active duty, TAD, leave, liberty, and so forth at the time of the incident,
after consulting sections 0205 and 0224 with regard to Reserves) or civilian
(indicate whether they are a Federal employee or are a personal services
contractor employed by an independent contractor). If maintenance or training
is involved, identify the individual responsible for the maintenance or
training at issue;
b. Date, time, and place of incident, including a full description of

location, terrain, weather, light conditions, obstructions, and photographs of
the site;
c. Nature of the claim, e.g., wrongful death, personal injuries, property

damage;
d. A factual description of what happened, how the parties were injured,

what equipment was being used, who was operating the equipment, who was
supervising or should have been supervising, whether equipment failed or was
operated incorrectly, if equipment failure, the maintenance history of the
equipment, if the injury occurred on Government property, the condition of the
property, who was responsible for the property's upkeep, the authority for the
injured party to be present on Government property;
e. The nature and extent of personal injuries, if any:
f. Amount of property damage, including photographs before and after, if

possible, and estimates or bills of repair and receipts, whether any pre-
existing damage existed, original purchase price, date of purchase, salvage
value of property, if any;
g. Extent of damage to Government property, estimates or bills of repair

and receipts, original purchase price, date of purchase, and salvage value of
property, if any. If no damage, so state;
h. Whether the claimant has insurance for this type of damage or injury,
the insurance company, policy number, policy provisions relevant to this claim
or incident, extent of coverage, limits on liability, whether a claim has been
or will be made against the insurance carrier, the status of any such claim;
A-2-m
i. Names and addresses of other owners, if claimant is not the sole owner
of the property;
j. Existence of any police or other investigative report, name and

address of investigating officer and unit, custodian of original
investigation, provide a copy of any police report as an enclosure;
k. Whether civilian or military criminal charges were filed, the

jurisdiction in which they were filed, and the status or final disposition of
those charges;
l. In the case of a litigation-report investigation, the supervisory

judge advocate (NOT the investigating officer) should include the following
opinions; if not a litigation-report investigation, consult with the
cognizant judge advocate before inclusion.
(1) An opinion regarding the cause(s) of the incident. If the facts

are insufficient to form an opinion regarding the cause(s), indicate those
factors which significantly contributed to the incident;
(2) An opinion whether a claim is likely to be filed, the amount likely

to be claimed, and the names and addresses of any potential claimants and
their legal representatives, if any;
(3) An opinion regarding the scope of employment of any government

employee that may be the alleged cause of a claim or litigation; and
(4) If appropriate, an opinion on whether an affirmative claim should

be filed by the Government against a tortfeasor for personal injuries to its
employees or damage to government property.
A-2-m
AVIATION MISHAPS
The following contains specific guidance when conducting an administrative

investigation into aviation mishaps.
a. General. Aviation mishaps are investigated by one or more

investigative bodies under various instructions and legal requirements.
(1) Safety investigation reports. For the sole purpose of safety and
mishap prevention, the Chief of Naval Operations has issued special
instructions for the conduct, analysis, and review of investigations of
aviation mishaps in OPNAVINST 3750.6 (series). These investigations are known
as "aviation mishap safety investigations" and are conducted by aviation
mishap boards. The results of those investigations are documented in Safety
Investigation Reports (SIRs).
(2) JAGMAN investigations. When an aviation mishap results in death

or serious injury, extensive damage to Government property, or the possibility
of a claim exists for or against the Government, an administrative
investigation shall be ordered to determine the cause and responsibility for
the mishap, nature and extent of any injuries, description of all damage to
property, and any attendant circumstances. In most cases, a claim for or
against the Government is likely. If the incident results in personal injury,
death or property damage to a third party, and there are no active duty deaths
involved, a litigation-report investigation should be conducted. In all
investigations concerning potential claims for or against the Government, an
advance copy of the investigation shall be forwarded to the Office of the
Judge Advocate General (Code 15), Investigations Branch, 1322 Patterson Avenue
SE, Suite 3000, Washington Navy Yard, DC 20374-5066 prior to completion of
the CA's endorsement. Damage or injury to non-Federal property or personnel,
caused by aircraft that originated from U.S. vessels is likely to involve
Admiralty law aspects; consult JAGMAN Chapter XI and OJAG (Code 11). These
JAGMAN investigations are in addition to, and separate from, the aviation
mishap safety investigations conducted under the authority of OPNAVINST 3750.6
(series).
(3) Combat losses or damage. A JAGMAN investigation is not required

for aircraft losses incident to direct enemy action (DEA). DEA occurs when
one or more of the following three conditions exists: (1) damage or loss of an
aircraft, or injury on the ground, or in the air, by enemy action, fire, or
sabotage; (2) damage or loss of an aircraft, or injury due to evasive action
taken to avoid enemy fire; (3) an aircraft fails to return from a combat
mission and there is no evidence that an operational (non DEA) mishap
occurred. DEA events may occur outside of an officially designated combat
zone. Notwithstanding, a JAGMAN investigation is required when an aviation
mishap occurs in the course of a combat operation but not under hostile
circumstances, such as an aircraft crash while taking off, or returning to, an
airfield or aircraft carrier. JAGMAN investigations are not precluded when
deemed appropriate by operational or administrative commanders. CAs may
convene investigations to gather, evaluate, or verify the facts of a combat
engagement when enemy action has resulted in the loss or damage to Naval
aircraft, or to determine whether combat losses were sustained by
unintentional damage to friendly forces.
A-2-n
(4) Unintentional damage to friendly forces. “Unintentional damage to
friendly forces,” “friendly fire,” “blue on blue,” and “harm to friendly
forces” are terms used to describe a circumstance in which members of a U.S.
or friendly military force are mistakenly killed or wounded, or equipment is
damaged by U.S. or allied forces actively engaged with an enemy or a presumed
enemy. An aviation mishap safety investigation shall be conducted when a Navy
or Marine Corps aircraft is involved in unintentional damage to friendly
forces.
(5) This subsection relates to JAGMAN investigations only and does not
affect any other reporting requirement, such as casualty and damage reports
required under Article 0831, U.S. Navy Regulations (1990).
b. Relationship between JAGMAN investigations and aviation mishap safety

investigations
(1) A JAGMAN investigation of an aviation mishap is a collateral

investigation, as referred to in the joint directive issued under OPNAVINST
3750.16 (series), which implements section 702 of the Federal Aviation Act of
1958, 49 U.S.C. § 1442. OPNAVINST 3750.16 (series) provides specific
direction concerning coordination of investigations of aviation mishaps
between military authorities and the National Transportation Safety Board
(NTSB) and the Federal Aviation Administration (FAA). Due to the separate
purposes and procedures of JAGMAN investigations, military mishap
investigations, and FAA or NTSB investigations, there are specific limitations
and restrictions regarding the integration of these investigations, use of
evidence obtained, including witness statements, and the use and disclosure of
the respective reports. OPNAVINST 3750.16 (series), OPNAVINST 3750.6 (series)
and MCO 5100.29 (series) provide detailed guidance regarding the restrictions
on the use of these investigations and the permissible extent of integration
between JAGMAN investigations and aviation mishap safety investigations. The
relationship between the JAGMAN investigation and aviation mishap safety
investigations should be thoroughly understood by all persons involved with
investigating any aircraft accident or mishap.
(2) Statements gathered in the course of aviation mishap safety

investigations may be privileged. This means that when the source of that
information was given a promise of confidentiality, that statement, made
before the aviation mishap board, cannot be used for any purpose other than
mishap prevention. OPNAVINST 3750.6 (series) also extends the concept of
privilege to those conducting the aircraft mishap safety investigation. This
means that the opinions, analyses, and conclusions of the aviation mishap
board, the privileged portions of the safety investigation report, and any
subsequent endorsements cannot be used for purposes other than mishap
prevention. In conducting the JAGMAN investigation, care shall be exercised
to respect the privileged character of the aviation mishap safety
investigation. No witness shall be questioned regarding information provided
to the aviation mishap board under a promise of confidentiality.
(3) Although membership on an aviation mishap board does not bar an

individual from being a witness for a JAGMAN investigation of the same
incident, such dual participation is undesirable and should be avoided due to
A-2-n
the possibility of undermining the concept of privilege crucial to the conduct
of safety investigations.
(4) Investigating officers of the aviation mishap safety investigation

and JAGMAN investigation shall have access to all real evidence and have
separate opportunities to question and obtain statements from all witnesses.
JAGMAN investigating officers shall not sit in on interviews conducted by the
aviation mishap board.
(5) If a possibility exists that witnesses will testify before both

investigative bodies, the JAGMAN investigating officers shall explain to such
witnesses the reasons for the apparent duplication of effort. This is
particularly important with non-military witnesses. The explanation shall
cover:
(a) the different objectives of the two investigations;
(b) the reasons why procedures vary;
(c) the need to preserve the privileged nature of the aviation

mishap safety investigation; and
(d) the fact that since neither command nor administrative action
may alter the privileged character of statements provided to the aviation
mishap board, and such statements will not be available to the JAGMAN
investigation from any official source.
(6) Requests for preservation of aircraft wreckage following a crash.

Any request for the preservation of aircraft wreckage will be forwarded to the
controlling command or individual (e.g., Naval Safety Center, squadron,
mishap investigation board senior member). Copies of the forwarding letter
and the original request with all attachments shall be forwarded separately to
OJAG (Code 15).
c. Class A aviation mishap JAGMAN investigations
(1) Designation of Class A Aviation Mishaps. As soon as practical,

but in no case more than 60 days after the occurrence of an aviation mishap
involving an aircraft or unmanned aerial vehicle of the DON, the authority
responsible for convening the investigation under this Manual shall determine
whether the mishap is a Class A mishap. See Appendix A-2-a for the definition
of "Class A aviation mishap." If the mishap meets the criteria for a Class A
aviation mishap, the convening order for the investigation shall contain the
following: "This [Command Investigation] [Litigation-Report Investigation]
[Board of Inquiry] [Court of Inquiry] is convened to investigate the
circumstances surrounding a Class A aviation mishap in compliance with 10
U.S.C. § 2255."
(2) Member Qualifications for Class A Aviation Mishap JAGMAN

Investigations. Federal law establishes specific qualifications for members
conducting Class A aviation mishap investigations. These qualifications apply
to any Class A aviation mishap investigation under sections 0209, 0210, or
0211 of this Manual, convened on or after March 24, 1997; 10 U.S.C. § 2255.
A-2-n
(a) Multiple Member Investigations. A multiple member Class A
aviation mishap JAGMAN investigation shall have:
1. a majority of its members selected from units other than

the mishap unit or a unit subordinate to the mishap unit, as defined in
Appendix A-2; and
2. at least one member who is a member of the armed forces or

an officer or employee of the DoD who possesses knowledge and expertise
relevant to aviation mishap investigations, for example, a graduate of a Naval
Aviation Safety Officer or Command course, or previous service on an aviation
mishap safety or aviation mishap JAGMAN investigation, or previous assignment
as a squadron Aviation Safety Officer.
(b) Single Member Investigations. A single member Class A

aviation mishap JAGMAN investigation shall be:
1. selected from a unit other than the mishap unit or a unit

subordinate to the mishap unit, as defined in Appendix A-2-a; and
2. directed to consult with a member of the armed forces or

an officer or employee of the DoD who possesses knowledge and expertise
relevant to aviation mishap investigations, for example, a graduate of a Naval
Aviation Safety Officer or Command course, or previous service on an aviation
mishap safety or aviation mishap JAGMAN investigation, or previous assignment
as a squadron Aviation Safety Officer.
(c) Exceptions to Statutory Qualifications
1. Waiver Criteria. The Secretary of the Navy may waive the

statutory qualifications if the Secretary determines:
a. It is not practicable to meet the requirement because of
(1) the remote location of the aviation mishap;
(2) an urgent need to promptly begin investigating; or
(3) a lack of available personnel outside of the mishap

unit who have adequate knowledge and expertise regarding the type of aircraft
involved in the mishap; and
b. The objectivity and independence of the aviation mishap

investigation will not be compromised.
2. Procedure for Obtaining a Waiver. Requests for a waiver

shall be addressed to the Secretary of the Navy, via the chain of command, and
contain a detailed explanation of the particular criteria listed in subsection
(a) justifying the need for a waiver.
3. Congressional Notification. The Secretary of the Navy

must notify Congress of a waiver granted under this section and the reasons.
A-2-n
d. Required facts and opinions. The scope of the investigation function
varies with the nature and circumstances of the particular incident. The
report of the investigation should include, but not be limited to, data
relevant to the purpose of the investigation on the following matters:
(1) Identity of the pilot(s), co-pilot(s)/naval flight officer(s)

(NFO), air crew and any passengers, including the background, history,
training, and experience of the pilot, co-pilot/NFO and air crew and their
familiarity with the type of aircraft involved.
(2) The military or civilian status of all personnel aboard, e.g.,

Regular, Reserve, or retired; active duty, inactive duty, inactive duty
training; Temporary Additional Duty (TAD), Temporary Duty (TDY), leave,
liberty; and so forth.
(3) Type, model, series and bureau number of the aircraft involved.
(4) Identification of the squadron, detachment, or unit authorizing

the flight and the official who authorized the flight.
(5) If a privately-owned or rented aircraft was involved, identify the

owner, authorization for the flight, existence of private insurance, and
extent of coverage.
(6) The identity of all individuals who were killed, injured, or who
suffered property damage as a result of the mishap, including name, age,
address (home and work), telephone number, occupation, and a complete
description of how their injuries occurred; see Part F for special
considerations in death cases.
(7) Sociological, psychological, and human factors related to the

accident, including potential stress factors, fatigue, use of medication, or
intoxication.
(8) Type, duration, and purpose of the flight, briefing of the pilot,
and other pertinent information regarding the particular flight, including the
use of night vision goggles or other mission-specific factors relevant to
aircraft or air crew equipment or performance.
(9) Weather conditions throughout the flight.
(10) Preflight history of the aircraft, compliance or noncompliance

with pertinent technical directives, including flight hours since the last
overhaul, discrepancies noted on recent "A sheets" (OPNAV Form 3760/2,
OPNAVINST 3710.7 (series)), VIDS/MAF forms (OPNAV 4790/60, COMNAVAIRINST
4790.2A), and flight hours since the last intermediate check.
(11) Description of flight path and maneuvers of the aircraft during

flight, including manner of descent and impact.
(12) Positions of external control surfaces, landing gear, canopy, and

other relevant parts of the aircraft, during the flight.
A-2-n
(13) Presence, condition, and use of safety, communication, escape,
and survival equipment.
(14) Post-mishap assessment of the aircraft and detailed description

of all damage to the aircraft, including wreckage diagrams, disassembly and
inspection reports, wreckage photographs, and data on engine, fuselage, and
control surfaces.
(15) Assessment of the scene of the mishap including its precise

location, a description of the terrain, and a complete listing and cost of
damaged or destroyed Government and non-Government property.
(16) Description of rescue operations employed, their effectiveness,

and any difficulties encountered.
(17) Instructions in effect at the time of the accident concerning

procedures relating to the particular flight, including applicable local and
regional flight rules governing the flight and copies of air charts in effect
and in use.
(18) Performance data on the aircraft in question under prevailing

wind, weather, and temperature.
(19) In the case of deaths caused by the mishap, the precise medical
cause of death, substantiated by medical records, autopsy, and death
certificate.
(20) Cause, nature, and extent of any injuries suffered as a result of

the mishap as substantiated by medical records, including line of
duty/misconduct determinations for injuries to Naval personnel, if required.
(21) Involvement of other aircraft, if any.
(22) Roles of supervisory, support, and controlling personnel.
(23) When the evidence concerning the mishap is sufficient to do so,

an opinion or opinions as to the cause or causes of the mishap.
(24) When the evidence is not sufficient to form an opinion or

opinions as to the cause or causes of the mishap, a description of those
factors, if any, which, in the opinion of the investigator(s), substantially
contributed to the mishap.
e. Release. In the case of aviation mishaps investigated under the

provisions of this Manual, only the Secretary of the Navy may release
unclassified tapes, scientific reports, and other factual information
pertinent to an aircraft accident investigation before the release of the
final accident report, per 10 U.S.C. § 2254. Requests for the release of
evidence, including unclassified tapes, scientific reports, and other factual
information, in aircraft investigations shall be forwarded expeditiously via
the chain-of-command and OJAG (Code 15) to the Secretary of the Navy.
A-2-n
ACCIDENTS ABOARD SHIPS OR SUBMARINES (GENERAL)
The following contains general guidance when conducting an administrative

investigation into accidents aboard ships or submarines. See subsequent
sections for specific types of incidents.
a. General
(1) Command investigations are normally sufficient to document most

shipboard accidents that require more than a preliminary inquiry. Major
incidents involving greater losses of life, personal injuries, or property
damage will normally be investigated by a court of inquiry. Accidents aboard
ships, particularly those involving damage caused by other ships, watercraft,
or cargo handling equipment, or injuries to dock workers, shipyard employees,
longshoremen, or ship's visitors are likely to involve Admiralty Law aspects
and should be the subject of a Admiralty Letter Report. Consult Chapter XI of
this Manual and OJAG (Code 11), the cognizant judge advocate, or local RLSO.
(2) Mishap investigation reports. For the sole purpose of safety and
mishap prevention, the Chief of Naval Operations has issued special
instructions in OPNAVINST 5102.1 (series) for the conduct, analysis, and
review of investigations of mishaps involving diving and those that occur
aboard ships or submarines. These investigations are conducted by safety
investigation boards (SIBs) appointed for that purpose and the results are
documented in safety investigation reports (SIREPs).
(3) JAGMAN investigations. When an afloat mishap results in death or

serious injury, extensive damage to Government property, or the possibility
exists that a claim may be filed by or against the Government, a JAGMAN
investigation shall be appointed to investigate and determine the cause and
responsibility for the mishap, nature and extent of any injuries, description
of all damage to property, and any and all attendant circumstances. These
JAGMAN investigations are in addition to, and separate from, the SIBs
appointed under the provisions of OPNAVINST 5102.1 (series).
(4) Combat losses or damage. A JAGMAN investigation is not required

for damages to property or injuries to personnel that are incident to direct
enemy action. Damage to property or injuries to personnel are incident to
enemy action when the mishap results from hostile action or an unknown cause
in a hostile area. Nonetheless, a JAGMAN investigation is required when the
damage or injury occurs in the course of combat operations which are not
subject to hostile circumstances, e.g., a collision at sea which occurs when
the vessels involved are not engaged in action with enemy forces. Commanders
may, in their discretion, convene JAGMAN investigations to gather, evaluate,
or verify the facts of a combat engagement when enemy action has resulted in
the loss or damage to naval ships or submarines, or to determine whether
combat losses were sustained by "friendly fire." This subsection relates only
to JAGMAN investigations and does not affect any other reporting requirements,
such as reports required under article 0831, U.S. Navy Regulations (1990).
b. Relationship between JAGMAN investigations and safety investigations
(1) The JAGMAN investigation of an afloat mishap is a collateral
A-2-o
investigation and is conducted separately and independently from the afloat
safety investigation. Due to the separate purposes and procedures of each of
these investigations, there are specific limitations and restrictions
regarding the integration of JAGMAN investigations with other safety
investigations, use of the evidence gathered, including witness statements, by
these other investigations, and use and disclosure of those reports.
OPNAVINST 5102.1 (series) provides detailed guidance regarding restrictions on
the use of these investigations and the permissible extent of integration
between the JAGMAN investigation and safety investigations. The relationship
between a JAGMAN investigation and a safety investigation should be thoroughly
understood by all persons involved in investigating any afloat mishap.
(2) Statements gathered in the course of an afloat safety

investigation may be protected from release by the safety privilege, meaning
that when the source of that information has been given a promise of
confidentiality, that statement, made before the SIB cannot be used for any
purpose other than mishap prevention. OPNAVINST 5102.1 (series) also extends
the concept of privilege to those individuals appointed to conduct the afloat
safety investigation, meaning that their opinions, analyses, and conclusions
cannot be used for purposes other than mishap prevention (e.g., identifying
hazards and mishap causes). In conducting a JAGMAN investigation, care shall
be exercised to respect the privileged character of the afloat safety
investigation. No witness shall be questioned as to participation in an
afloat safety investigation. Although safety investigations do not include
witness statements from the JAGMAN investigation, the SIB can summarize the
witness statements for inclusion with their report.
(3) Although membership on an afloat SIB does not bar an individual

from being a witness for a JAGMAN investigation of the same incident,
participation of mishap board members as witnesses for the JAGMAN
investigation should be avoided due to the possibility of undermining the
promise of confidentiality crucial to the conduct of safety investigations.
(4) Members of a SIB and JAGMAN investigating officers shall have

access to all real evidence and have separate opportunities to question and
obtain statements from all witnesses. JAGMAN investigating officers shall not
sit in on interviews conducted by the SIB. Safety investigation reports and
witness statements to safety investigators shall not be included in any JAGMAN
investigations.
(5) If a possibility exists that a witness or witnesses will provide

information to the SIB and to the JAGMAN investigating officers, the JAGMAN
investigating officers shall explain to such witnesses why the apparent
duplication of effort is necessary. The explanation shall cover:
(a) the different objectives of the two investigations;
(b) the reasons why the procedures for each investigation vary;
(c) the necessity for respecting and preserving the privileged

character of the safety investigating board SIB; and
(d) the fact that statements obtained by the SIB will not be
A-2-o
available to the JAGMAN investigating officers from any official source
because neither command nor administrative action may alter the privileged
character of the statements provided to the SIB.
A-2-o
STRANDING OF A SHIP OF THE NAVY

investigation into the stranding of a ship.
a. General. An investigation involving the stranding of a ship shall

include all pertinent logs, charts, orders, regulations, condition of the sea
and weather, rate and direction of the tidal stream, time of the tide, and
other factors involving natural elements. Additionally, any mechanical or
electronic deficiency or failure in the ship pertinent to the stranding shall
be investigated and reported. The investigation shall ascertain the cause and
responsibility for the stranding and resulting damage. The stranding of a
Navy ship, unless only insignificant damage results, is usually a major
incident. A court of inquiry will normally be convened unless the preliminary
inquiry indicates that a command investigation will be sufficient to establish
the facts. These incidents may also involve aspects of admiralty law; consult
Chapter XI of this Manual and OJAG (Code 11), the cognizant judge advocate, or
local RLSO.
b. Determination of ship's position. The investigation shall determine

whether the proper chart provided by DON was used, whether the position of the
ship at the last favorable opportunity to avoid the casualty was accurately
determined and, if not, when it was last accurately ascertained. To enable
the investigative body to fix the true position of the ship at the time of her
grounding, an officer not attached to the ship involved may be directed to
ascertain the position of the ship from the data available.
c. Navigation in pilot waters. If land was sighted and the distance

estimated before the ship struck, steps taken during the time land was in
sight to correct the ship's course and speed will be reported. The extent to
which applicable instructions, e.g., those contained in Coast Pilot or Sailing
Directions, were observed should be noted.
d. Other reports. Strandings are also reported under the separate

procedures in Chapter 3 of OPNAVINST 5102.1 (series).
A-2-p
COLLISION AND ALLISION INCIDENTS

investigation into a ship collision or allision.
a. General. All vessel collisions and allisions, a vessel and fixed

object, are admiralty incidents. Consult Chapter XI of this Manual and OJAG
(Code 11) for required investigations and guidance.
b. Other reports. Collisions and allisions are also reported under the
separate provisions in Chapter 3 of OPNAVINST 5102.1 (series).
A-2-q
ACCIDENTAL OR INTENTIONAL FLOODING OF A SHIP

investigation into the accidental or intentional flooding of a ship.
a. General. If the investigated mishap is a flooding, the first

determination to be made is whether the flooding is significant enough to
document. Generally, flooding is considered significant when one or more of
the followings conditions exist: damage is caused to major/vital equipment;
origin of the flooding is suspicious; flooding delays deployment, causes
significant change in operating schedule, or degrades mission capability;
Naval personnel were responsible for the flooding; defective naval design,
specifications, or installation may have caused the flooding; or unsound
operating doctrine or procedures caused or contributed to the flooding.
Command investigations are normally used to document flooding.
b. Required facts and opinions. The following information shall be

included in the report of investigation into flooding:
(1) Date, time, and location of the flooding by compartment name or

number;
(2) Source and type of flooding, e.g., salt or fresh water, oil, JP-5;
(3) How the flooding was detected;
(4) Type of de-watering equipment that was used and its effectiveness;
(5) Draft forward and aft and list of ship, before and after damage.
Drafts may have to be estimated from drafts recorded on departure from last
port and on arrival in port after damage;
(6) General distribution and amount of variable weights, particularly

fuel and water, before damage;
(7) Compartments flooded and the rate of flooding for each one,
including time when:
(a) flooding started;
(b) flooding detected;
(c) time General Quarters sounded, or duty emergency repair party

was called away;
(d) flooding was stopped or brought under control; and
(e) de-watering was completed;
(8) Description of the physical effects of the flooding and the extent
of damage to hull, machinery, equipment, electronics, supplies, cargo, etc.,
including photographs, or diagrams to document the range and extent of damage;
A-2-r
(9) Date of last inspection of the involved spaces with any noted
discrepancies;
(10) Ship's location at sea or in port;
(11) Ship's condition of readiness;
(12) Effect on the ship's ability to carry out its mission;
(13) Summary of the steps taken to control damage and to correct the
list, trim, or depth;
(14) Performance of installations such as flood control, automatic

door, and hatch closures;
(15) Estimated dollar amount of damage or repairs required, including

damage to personal property which may result in a claim against the
Government;
(16) Opinion on the probable cause of the flooding, including the

cause of progressive flooding of other compartments, e.g., material condition
of readiness violated, failure of structure, deficiency of structure; and
(17) Opinion on whether the occurrence of a similar type of flooding

is possible on another ship.
c. Other reports. Accidental flooding of a ship is also reported under

the separate provisions in Chapter 3 of OPNAVINST 5102.1 (series).
A-2-r
FIRES

investigation into a fire.
a. General. If the investigated mishap is a fire of unknown origin

affecting DON personnel or property under Navy/Marine Corps control, any
investigation shall be coordinated with NCIS; see sections 0201(d) and
0225(c). The next, determination to be made is whether the fire is
significant enough to document. Generally, a fire is considered significant
when one or more of the following conditions exist: damage is caused to
major/vital equipment; origin of the fire is suspicious; fire delays
deployments, causes significant change in operating schedule, or degradation
of mission capability; Naval personnel were responsible for the fire;
defective naval design, specifications, or installation may have caused the
fire; or unsound operating doctrine or procedures caused or contributed to the
fire. Command investigations are normally used to document fires, unless the
damage to property or loss of life involved rises to the level of a major
incident. Fires in government quarters provided in kind by the government
should normally be investigated by a litigation-report investigation since
claims are usually involved.
b. Required facts and opinions. The following information shall be

included in the report of investigation of fires:
(1) Date, time, and location of the fire, use compartment name or
number if applicable;
(2) Class of fire;
(3) Method by which fire was detected;
(4) Time when:
(a) fire started (detected);
(b) fire was reported;
(c) General Quarters sounded, or fire party was called away;
(d) fire located;
(e) fire-fighting started;
(f) reflash watch was set;
(g) boundaries were set; and
(h) fire was extinguished.
(5) Type of fire-fighting organization that was used, e.g., duty

section fire party, Condition One fire and repair party, base firefighters,
civilian fire department;
A-2-s
(6) Number of personnel who responded to the fire, their level of
fire-fighting and damage control training;
(7) Effectiveness of fire/repair locker organization, maintenance of

organization charts, and leadership;
(8) Effectiveness of installed damage control systems and equipment;
(9) Type of extinguishing agent used and its effectiveness;
(10) Availability and operability of extinguishing equipment;
(11) System of communications that was used and any difficulties in

communication;
(12) Description of the physical effects of the fire; radii of losses

and damage with respect to fire, smoke, and water; extent of the spread of the
fire, including maps, photographs, or diagrams to document the range and
extent of the damage;
(13) Date of last inspection of the involved spaces with any noted
discrepancies;
(14) Ship's location at sea or in port;
(15) Ship's condition of readiness;
(16) Effect of the fire on the ship's ability to carry out its
mission;
(17) Estimated dollar amount of damage or repairs required, including

damage to personal property which may result in a claim against the
Government;
(18) Identity of personnel that were injured or killed, with full

description of injuries, medical records, autopsy reports, as required; see
Part F for special considerations in death cases;
(19) Opinion on the cause of fire and the factors that contributed to
the spread of the fire; and
(20) Opinion on whether the occurrence of a similar type of fire is

possible on another ship.
c. Other reports. All fires occurring afloat (except small trash fires
in which no personnel are injured and the material property damage is limited
to trash) are also reported under the separate provisions in Chapter 3 of
OPNAVINST 5102.1 (series).
A-2-s
EXPLOSIONS

investigation into explosions.
a. Required facts and opinions. Criminal law enforcement investigations

are required for any fire or explosion of unknown origin affecting DON
property or property under Navy/Marine Corps control. Any such investigation
shall be coordinated with NCIS; see section 0201. An investigation involving
an explosion should document the type of explosion, the cause of the
explosion, the extent and nature of personnel injuries, the nature and extent
of loss or damage to property, the estimated dollar amount of the loss or
damage of the property, the estimated cost of medical treatment of non-
military personnel injured by the explosion, the person(s) (if any)
responsible for the explosion, and all other pertinent facts and
circumstances. Command investigations are normally used to document nonlethal
explosions, or where property damage is minor. If the explosion caused great
loss of life or property damage associated with a major incident, a court of
inquiry will normally be used.
(1) The following information shall be included in the report:
(a) Date, time, and location of the explosion, use compartment

name or number if applicable;
(b) Type of explosion;
(c) Kind and quantity of the materials, gases, etc. that were
involved;
(d) Measurable time intervals, if any, between explosions;
(e) Existence of barricades and protective gear and the effect of

the explosion on them;
(f) Existence of any natural obstructions such as a hill, forest,

or other object intervening between the site of the explosion and the areas
affected;
(g) Description of any loss or damage to Government and private

property and estimated dollar amount needed to replace or repair the loss or
damage;
(h) Range and extent of damage as indicated by maps or photographs

showing the following:
1. Radius of complete destruction;
2. Radius of structural damage beyond economical repair;
3. Radius of repairable structural damage;
4. Radius of general glass breakage;
A-2-t
5. Distances that significant missiles were projected,
including kind and weight;
6. Distance between locations, if explosions occurred at more

than one location; and
7. Distance between ships and other vessels or structures

affected and distances to nearby ships or structures not affected.
(i) Approximate shape and dimensions of crater, if any, including

depth and kind;
(j) Weather and atmospheric conditions and their effect on shock

waves;
(k) Personnel involved and the extent of their involvement, their

qualifications in terms of the Personnel Qualification Standards (PQS) System
or other required safety qualifications, the level of training of the
personnel involved, and whether the level of training met required standards;
(l) Identity of personnel injured or killed, with full description

of injuries supported by medical records and autopsy reports, as required; see
Part F for special considerations in death cases;
(m) Description of the safety precautions or operating procedures

that were in effect at the time of the explosion and whether they were
observed or violated; and
(n) Opinions on the probable cause(s) of the explosion.
(2) An environmental assessment of the damage caused by the explosion

may be necessary, particularly if there is evidence of chemical contamination
of the surrounding area; consult the cognizant judge advocate or local RLSO.
b. Other reports. All explosive mishaps as defined within OPNAVINST

5102.1 (series), whether occurring ashore or afloat, are reported under the
separate procedures established in OPNAVINST 5102.1 (series).
A-2-t
MOTOR VEHICLE ACCIDENTS

investigation into motor vehicle accidents.
a. General. All but the most minor of accidents involving Government

vehicles and personally-owned vehicles must be investigated. Accidents
involving $5,000 or less of property damage or minor personal injuries can,
however, be adequately documented by completion of Standard Form 91 (Police
Accident Form) alone. A litigation-report investigation should be conducted
in more serious accidents that result in personal injury, death or property
damage to a third party, and there are no active duty deaths involved (see
section 0210). Chapter 6 of OPNAVINST 5102.1 (series) provides reporting
procedures under the Navy's Mishap Investigation and Reporting System which
may require an additional investigation.
b. Basic investigating requirements. When conducting an investigation

into a motor vehicle accident, physically observe the damage to property and
survey the accident scene whenever practical. Include photographs, if
possible. Include the police report as an enclosure. Document injuries and
damage by attaching the best available evidence. If the investigation
concerns a potential claim for or against the government, an advance copy of
the investigation should be forwarded to OJAG (Code 15), Investigations
Branch, 1322 Patterson Avenue SE, Suite 3000, Washington Navy Yard, DC 20374-
5066 prior to endorsement (see section 0210(e)(6)). Upon completion of the
CA’s endorsement, the original investigation and one copy shall be forwarded
to OJAG (Code 15), Investigations Branch, at the above address.
c. Required facts. The following facts shall be included in all command

investigations and litigation reports.
(1) Vehicle(s) completely identified, including vehicle identification

number, license plate number, model, year, and color.
(2) Identity of driver(s) and owner(s), including name, age, addresses

(home and work), and telephone numbers. For military members, indicate their
military status at the time of the accident, e.g., active duty, TAD, leave,
liberty, etc., their grade/rank, and the name, address, location and Unit
Identification Code (UIC) of their unit. If an individual died or is
incapacitated as a result of the accident, provide similar identifying
information for the next-of-kin or legal representative. See sections 0205,
224 and Appendix A-2-k regarding special findings of fact required when an
accident involves reservists coming to or from periods of active duty or
training. If a Government vehicle was involved, identify the unit to which
the vehicle was assigned, the individual at that unit who authorized use of
the vehicle, and its authorized purpose.
(3) Time of the accident, light and weather conditions, and their
effect on driving conditions.
(4) The location of the accident, e.g., highway number, direction of

travel, milepost number, street name, intersection, road and terrain factors,
including road characteristics, obstructions to the driver's vision, traffic
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signals, and signs.
(5) Estimated speed of vehicle(s) involved as evidenced by witnesses,

skid marks, condition of roads, and damages to the vehicles or other property.
(6) Actions of other vehicles involved in the accident, including any

part played by them in creating the conditions that resulted in the accident.
(7) Traffic conditions at the scene and their effect on the accident.
(8) Traffic laws and regulations in force pertinent to the accident,

including traffic safety devices, signs, and markings, e.g., school zone, no
passing zone, railroad crossing, reduced speed limit, and any requirement to
use safety devices installed in the vehicles, e.g., seat belts, child
carriers. A copy of the statute, ordinance, or regulation should be made an
enclosure. Consult the cognizant judge advocate or local Region Legal Service
Office (RLSO).
(9) Mechanical condition of the vehicles. If a mechanical defect or

condition, e.g., faulty or worn brakes/tires, is determined to have
contributed to the accident, include the relevant maintenance history of the
vehicle.
(10) Physical condition of the driver, or drivers, including

intoxication, fatigue, use of medications or drugs, or other medical
condition. The factual portion of the report should include such matters as
the number of hours of sleep prior to the accident, the number of hours
worked, the amount of alcohol consumed, results of any blood alcohol or other
test for intoxication, any medications or drugs taken prior to the accident
and the time elapsed between their last use and the accident, and any unusual
stress or abnormal condition that might have affected the driver's alertness.
The opinion section should address any reasonable inferences that may be drawn
from these facts relevant to the cause of the accident.
(11) Driving experience of the driver or drivers, both generally and

in the type of vehicles being driven, including the state which licensed the
driver(s) and any previous loss of driving privileges and driving-related
convictions, e.g., reckless driving, drunk driving, driving without insurance.
(12) Safety devices installed and whether they were being used at the
time of the accident.
(13) Conduct of passenger(s). Opinions may include reasonable

inferences on the effect of any passenger's conduct on the driver(s).
(14) Facts and opinions relevant to knowledge by any passenger of any

impairment of the driver at the time the passenger entered or had a reasonable
opportunity to leave the vehicle.
(15) Damage to vehicles fully described, including photos if

available, and repair costs.
(16) Damage to other property, including photos if available, and
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repair costs.
(17) Nature and extent of personal injuries and medical costs. If

death resulted from the accident, indicate the cause of death and include a
copy of the death certificate and any autopsy reports as enclosures, if
possible.
(18) Name, age, address, and telephone number of any witnesses to the
accident, a description of their location in relation to the accident scene,
their ability to observe from that location, and what they saw.
(19) The name, address, and telephone number of any law enforcement
official who investigated the accident. A copy of any law enforcement or
police report made concerning the accident should be included as an enclosure
and the custodian of the original report should be indicated.
(20) Any civilian or military criminal charges brought as a result of

the accident and the ultimate resolution of those charges. Do not delay the
report of investigation solely to document the outcome of criminal charges.
The CA should forward that information to subsequent endorsers and to the
copy-to addressees as it becomes available.
(21) If a private vehicle is involved in the accident, the name,

address, policy number, and telephone number of any insurer of the vehicle,
including the amount and type of insurance carried and those categories of
drivers who are covered by the policy.
d. Opinions and Recommendations. The following opinions and

recommendations, when appropriate, should only be included in a litigation-
report investigation by the supervisory judge advocate.
(1) An opinion regarding the probable cause of the accident.
(2) An opinion regarding the contributory or comparative negligence of

any party, if any. Consult with OJAG (Code 15), TCU for guidance pertaining
to the relevant standard and its application.
(3) If not included in the facts relevant to military or criminal

charges filed, an opinion concerning any laws, articles of the UCMJ, or
regulations violated.
(4) Whether or not the vehicles are economically repairable, and if

not, their salvage value.
(5) Whether or not the driver, in case of Government vehicle, was

acting within the scope of employment.
(6) Whether or not disciplinary action should be taken against any of

the parties involved. If disciplinary action has been taken, indicate the
result, documented by enclosure. Nonpunitive letters of caution are private
in nature and the issuance of such letters should not be addressed in the
investigation, nor should copies of such letters be made enclosures to the
investigation. A charge sheet with draft specifications may be included as an
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enclosure if disciplinary action is recommended but has not been initiated.
Draft specifications should not be preferred, however, since doing so starts
the "speedy trial clock." Consult with the cognizant judge advocate or RLSO.
(7) If Government property has been damaged, a recommendation as to

the disposition of the property as follows:
(a) Repaired and returned to service.
(b) Dropped from the records.
(8) Whether the Government should initiate a claim to recover losses

suffered by the Government due to damage to property or injuries to personnel,
if any.
(9) Pertinent recommendations on matters of safety procedures.
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LOSS OR EXCESS OF GOVERNMENT FUNDS OR PROPERTY

investigation into the loss or excess of government funds or property.
a. General. Article 0814, U.S. Navy Regulations (1990), requires

commanding officers to recommend or convene an investigation under the
provisions of the JAGMAN into the circumstances of all deficits (losses) or
excesses of public funds or property in the custody of persons under their
command, unless properly excused by higher authority. A command investigation
is usually sufficient for this purpose. The following general provisions are
pertinent:
(1) To verify the existence and amount of a deficit or excess, a

prompt audit (preliminary inquiry) of funds or property records normally
should precede the decision to convene a JAGMAN investigation. Consultation
with an appropriate assist team is encouraged prior to convening a JAGMAN
investigation.
(2) A JAGMAN investigation may be required even if the custodian of

funds or property is not an accountable person, as defined in Department of
Defense Financial Management Regulation, DoD 7000.14-R, Volume 5, Disbursing
Policy and Procedures.
(3) A JAGMAN investigation may be a prerequisite, under section 0167,

to setoff against pay for losses by nonaccountable personnel, and is the
primary source of information in determining whether or not relief of
liability may be granted to the custodian in cases of lost funds in amounts of
$750.00 or more.
(4) Criminal law enforcement investigations are required if there is

any indication that the loss or excess was caused by fraud, embezzlement,
theft, or other criminal act. Any such investigation should be coordinated
with NCIS; see section 0201. Whether or not a criminal investigation is
conducted, inventory records must be corrected with a supporting survey,
Financial Liability Investigation of Property Loss (DD Form 200). Losses or
excesses of Government funds shall be investigated and reported either by
JAGMAN investigation or by the procedures established in DoD 7000.14-R, Vol 5.
(5) Commanders or reviewing authorities should consider conducting a

preliminary inquiry when recurring losses or excesses indicate carelessness in
handling public funds or property, and regular management reviews and reports
are not considered adequate to remedy the situation. A JAGMAN investigation
may be appropriate even though each loss or excess, by itself, would not
normally require one. Navy publications applicable to the type of funds or
property involved, e.g., NAVSUP P-486 for provisions afloat, or P-487 for
ships' stores, should be consulted for those amounts of losses or excesses
that are considered normal for the volume of business conducted, and for those
amounts that warrant further investigation.
(6) For losses or excesses of property, not funds, the procedures for
Financial Liability Investigation of Property Loss (DD Form 200) meet the
requirements for an investigation in most situations. The original report
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will be forwarded in accordance with survey regulations, and a duplicate
original will be forwarded as set out in subsection h.
(7) When the cause of loss or excess in the funds or property of a

financially accountable custodian cannot be determined, negligence on the part
of the custodian is normally presumed by the relief authority when considering
requests for relief of liability.
(8) Except as provided in Chapter I of this Manual regarding the

setoff of indebtedness of a person against pay, there is no authorization to
collect the value of lost government property from nonaccountable personnel,
even when caused by fault or negligence. Disciplinary action, however, may be
taken, if appropriate, based on investigation findings of culpability.
b. Specific guidance
(1) Public funds. JAGMAN investigations are required for all losses
or excesses of public funds, except as follows:
(a) When a loss of disbursing funds is voluntarily liquidated by

the custodian under applicable provisions;
(b) When the loss or excess is less than $750.00 in a single

incident or related series of incidents; or
(c) When routine accounting adjustments to accounts are

appropriate to reflect a discrepancy in money on hand.
(2) Public property. A Financial Liability Officer (formerly called a

Survey Officer) or Financial Liability Board (formerly a Survey Board) must
inquire into, and report on, all losses or excesses of public property, unless
an adjustment to accountable records is otherwise authorized by Naval Supply
System Command regulations.
(a) JAGMAN investigations are not generally required for those

losses or excesses for which a Financial Liability Investigation of Property
Loss (survey) is not mandated by Naval Supply Systems Command regulations.
This includes such actions as food service "losses without survey," ship's
store "non-disproportionate losses or gains," supply stock or other property
book material losses or excesses which are below survey thresholds, or when
other routine accounting adjustments to property accounts or inventories are
appropriate to reflect a discrepancy in the property on hand. Repetitive
minor losses, however, which are indicative of negligence may warrant an
investigation as discussed in subsection a(5) above. Furthermore, a JAGMAN
investigation may be directed by higher authority in the chain of command or
by Commander, Naval Supply Systems Command.
(b) To ensure independent investigation, the officer having

custody of the property lost or in excess should not be designated the
Financial Liability Officer to conduct the survey.
(3) Postal funds or property. Postal funds are not public funds.
Investigations into loss or excess of postal funds or property, therefore, are
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not required by Article 0814, U.S. Navy Regulations (1990). OPNAVINST 5112.6
(series), however, requires a commanding officer to convene an investigation
into any "postal offense" listed in Volume I of the DoD Postal Manual, DoD
4525.6-M. Even where no offense is involved, a commanding officer should
consider convening an investigation into any postal loss in which an
accountable Naval postal clerk or officer has not made voluntary restitution.
Such an investigation may be needed by the Postal Service for action on a
request for relief of liability by the accountable individual.
(4) Nonappropriated funds or property. Nonappropriated funds are not

public funds. Whether to convene an investigation under this Manual into
losses or excesses of nonappropriated funds or nonappropriated fund property
is in the discretion of the commanding officer or higher authority. In
dealing with losses or excesses of "nonappropriated fund activities," however,
it is important to note that some receive partial appropriated fund support.
Losses or excesses of appropriated funds and appropriated fund property in the
hands of nonappropriated fund activities must be investigated under
subsections b(1) and b(2) above.
c. Primary references for processing losses or excesses of Government

property. Primary references for processing losses or excesses of Government
funds and property include:
(1) Department of Defense Financial Management Regulation, DoD

7000.14-R, Volume 5, Disbursing Policy and Procedures;
(2) Department of Defense Instruction, DoDI 5000.64, Accountability

and Management of DoD-owned equipment and other Accountable Property;
(3) Secretary of the Navy Instruction, SECNAVINST 7320.10 (series),

DON Personal Property Policies and Procedures;
(4) Naval Supply Systems Command Manual, Volume II, Supply Ashore;
(5) Naval Supply Systems Command Publication 485, Afloat Supply

Procedures;
(6) Naval Supply Systems Command Publication 486, Volume I, Food

Service Management - General Messes;
(7) Naval Supply Systems Command Publication 487, Ships Store Afloat;
and
(8) Marine Corps Order (MCO) P4400.150 (series), Consumer Level Supply
Policy Manual.
d. Type of investigation. At the conclusion of the preliminary inquiry,

the commander must determine which of the investigatory options listed in
section 0204 to exercise. Where disciplinary action may be a consideration,
see section 0202. For losses of property, the commander may use a survey
procedure under applicable Navy or Marine Corps regulations in lieu of an
administrative investigation under this Manual. Original reports of survey
generated by such bodies shall be forwarded as specified in the regulations
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under which they are convened. A duplicate original shall be forwarded in the
same manner as reports of investigation. This provision does not limit a
commander's discretion to convene another type of investigation under this
Manual in addition to a survey procedure. Regardless of the type of
investigation convened, coordination with concurrent investigators from other
DON organizations or other Federal agencies may be required.
e. Loss investigations: special notice to individuals affected. In any

investigation into a loss of funds or property in the custody of an
accountable individual, or for the purpose of making an administrative
determination of accountability Chapter I of this Manual regarding the setoff
of indebtedness of a person against pay, the accountable individual(s) shall,
in addition to other warnings and advisements required by law or regulation,
be advised of the following:
(1) The investigation extends to all facts relating to the loss, its
causes, its dollar value, and the kinds and degrees of individual
responsibility for the loss.
(2) The findings of the investigation may be a basis for any of the
following actions that are applicable to the loss:
(a) Determination of financial liability of the accountable

individual for loss of property or funds derived from sale of property by the
Commander, Naval Supply Systems Command, Chief, Bureau of Medicine and
Surgery, or Deputy Chief of Staff for Installations and Logistics, U.S. Marine
Corps; see DoD Financial Management Regulation (DoD FMR), DOD 7000.14-R,
Volume 12, Chapter 7, Financial Liability for Government Property Lost,
Damaged or Destroyed;
(b) Determination whether relief of liability will be granted for

physical loss or improper payment of disbursing funds or documents, upon
request of the accountable individual, by the Secretary of the Navy or the
Comptroller General, under 31 U.S.C. § 3527;
(c) Determination by the commander to hold a non-accountable

individual liable for the loss under Chapter I of this Manual regarding the
setoff of indebtedness of a person against pay.
(3) In loss of funds cases, negligence of the accountable individual

may be presumed by the Secretary of the Navy or the Comptroller General if the
loss remains unexplained.
(4) The affected individual may present evidence for the consideration
of the investigating officer(s). The investigating officers may, however,
refuse to accept evidence that is irrelevant, lacking in probative value,
unduly voluminous, or whose inclusion would unduly delay the investigation.
(5) An accountable individual may request to liquidate voluntarily a

loss of disbursing funds under the applicable provisions of Department of
Policy and Procedures.
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f. Required facts and opinions. Chapter 6, section 0607, Department of
Policy and Procedures, provides specific procedures, findings and
recommendations for investigation of major losses of funds due to physical
loss, or illegal, incorrect, or improper payment. Command investigations
appointed under the JAGMAN are used in the case of major losses of funds,
defined as those losses of $750.00 or more or any physical loss where there is
evidence of fraud within the accounting function, regardless of the dollar
amount. JAGMAN investigations are not required in the case of minor losses,
defined as losses of less than $750.00 without any evidence of fraud internal
to the accounting function. Chapter 6 of DoD 7000.14-R, Volume 5, provides
the procedures for investigating and reporting minor losses. In addition to
any specific requirements of the appointing order or DoD 7000.14-R,
investigations into losses or excesses of public funds or property must
include, at a minimum:
(1) What items were lost or found in excess and the exact dollar value
of the loss or excess, e.g., property, vouchers, cash, and so forth.
(2) The nature of the loss or excess, inventory gain or loss, cash
shortage, or overage, etc. and, in case of loss of funds, whether the loss was
a loss of proceeds of sale of Government property, a physical loss of funds,
or the result of illegal or improper payment. Losses due to embezzlement or
fraudulent acts of subordinate finance personnel, acting alone or in collusion
with others, are physical losses, while all other payments on forged checks or
vouchers are improper payments.
(3) How the loss or excess is being carried in the command's accounts.
(4) The facts and circumstances surrounding the loss or excess, and an
opinion as to the cause of the irregularity or, if the cause cannot be
determined, the most likely cause and the reasons it is so considered.
(5) The identity and position of the accountable officer, and the
identity and position of any other person who had custody of the funds or
property in question.
(6) The general reputation of the accountable individuals for honesty

and care in the handling and safeguarding of funds or property entrusted to
them.
(7) The experience and training of the accountable individual in the

handling of funds or property, as appropriate, and the workload, including
collateral duties, of the accountable individual at the time of the
irregularity.
(8) A description, with diagrams where appropriate, of the physical

working conditions of the accountable individual who incurred the loss or
excess, including a description of physical security arrangements and devices,
and security containers and persons with access to them, if applicable, and a
statement of whether they were being used properly at the time of the
irregularity.
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(9) A description of the internal control procedures in effect in the
division, department, or office where the irregularity occurred, and a
statement whether they were being applied properly at the time of the
irregularity. If relevant, include information on recent inspections, assist
visits, management control reviews, or other evaluations of procedures.
(10) Identification of the regulations pertinent to the handling of

the property or funds involved and a statement whether the regulations were
followed.
(11) A description of remedial measures taken to prevent recurrence of

the irregularity.
(12) An opinion whether the loss or excess was proximately caused by

the fault or negligence of any accountable individual or by an act of a non-
accountable individual that can be the basis for financial liability under
Chapter I of this Manual regarding the setoff of indebtedness of a person
against pay.
g. Guidelines for determining fault or negligence
(1) "Fault" means conduct showing bad faith, gross mismanagement, or

neglect of care and may be inferred from irregularities resulting from
inattention, dereliction, or perversity.
(2) "Negligence" means failure to exercise care that a reasonable,

prudent, accountable person would have exercised under the same or similar
circumstances. Failure to know and follow regulations for the care and
safeguarding of public funds or property normally is considered negligence, as
is failure to follow normal and customary disbursing, collection, or
safeguarding procedures or standards without sufficient reason.
(3) "Proximate cause" means the irregularity was the direct and
foreseeable consequence of an act or omission, or that the act or omission
created the conditions for occurrence of the irregularity. A proximate cause
is a cause without which the irregularity would not have occurred.
(4) Burden of proof. There is no burden of proof on the Government to

show fault or negligence on the part of an accountable individual. The
individual is automatically accountable for the loss and has the burden of
establishing that he was not at fault or negligent in order to avoid financial
liability. Normally, however, investigators and reviewing authorities should
not presume fault or negligence from the mere fact that an irregularity
occurred, except that negligence may be presumed when a loss of public funds
is entirely unexplained.
h. Distribution. Reports of investigation under this section should be

forwarded as described in section 209. In addition, reports should be
provided as follows:
(1) For investigations of losses or excesses of disbursing funds or

documents, a copy, as finally reviewed and acted upon pursuant to section
0209, shall be forwarded to Director, Defense Finance and Accounting Service,
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Cleveland Center, Code FFA, 1240 E. 90th Street, Cleveland, OH 44199.
(2) For investigations of losses or excesses of Government property or

proceeds from the sale of Government property, the report shall be forwarded
to the Commander, Naval Supply Systems Command, the Chief, Bureau of Medicine
and Surgery, or the Commandant of the Marine Corps (Code JA), as appropriate.
(3) For investigations involving fraud of public funds, waste,

inefficiency, and related improprieties, the report shall be forwarded to the
Office of the Navy Inspector General.
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SONIC BOOMS, JET NOISE, AND ARTILLERY NOISE
The following contains specific guidance when conducting an investigation into

sonic booms, jet noise and artillery noise. Because these incidents will
almost always result in claims against the Navy, a litigation-report
investigation should be conducted.
a. The nearest Navy or Marine Corps aviation activity receiving notice

that a sonic boom occurred within the U.S., regardless of whether damage was
reported, is responsible for an inquiry to determine whether a military
aircraft caused the disturbance. The inquiry shall include queries to all
Navy, Marine Corps, Air Force, Air National Guard, and other military
facilities in the area where supersonic aircraft operate. All traffic,
transient as well as local, shall be checked. Incidents of noise damage
resulting from ship-based aircraft or shipboard weapons systems are admiralty
incidents. Consult Chapter XI and OJAG (Code 11).
b. The principal types of damage caused by a sonic boom are glass and
plaster damage. Less frequently, claims are received for damage allegedly
caused to brick walls, driveways, concrete foundations, and other major
structural elements. Studies have shown that it is almost impossible for a
sonic boom to generate over-pressures of sufficient intensity to cause such
structural damage regardless of the aircraft's altitude. Whenever
questionable items of damage are claimed, the services of a construction
engineer or other professionally qualified person should be employed as
investigator or as consultant to the investigator. The following information
shall be included in any investigative report regarding sonic booms, jet
noise, or artillery noise:
(1) detailed description of alleged damage;
(2) photographs of the allegedly damaged building or structure and of

the specific area of damage; see section 0214c(4);
(3) detailed description of the building or structure involved,

including significant details of construction, size of rooms, age, and general
state of repair;
(4) detailed examination and description of any alleged plaster

damage;
(5) existence or absence of glass damage in the allegedly damaged

building or structure and whether any other glass damage resulting from the
incident was reported and verified;
(6) whether windows and doors were open or shut at the time of the
boom;
(7) whether any loose objects, such as dishes, glassware, or trinkets

inside the building or structure were moved as the result of the boom;
(8) existence or absence of similar damage to other buildings in the

immediate neighborhood;
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(9) type of surrounding community development, type of construction,
and density of buildings or structures in the immediate area, etc.;
(10) occurrence or absence of seismic disturbances registered in the

locality at the time involved;
(11) other potential sources of damage, such as heavy truck or rail

traffic, explosions or earthquakes, and their distance and direction in
relation to claimant's building or structure;
(12) any unusual weather or climatic conditions that may have affected
the building or structure;
(13) complete physical description of the aircraft alleged to have

caused the damage, including markings, whether jet or propeller driven, and
any other distinctive characteristics;
(14) full description of the approximate altitude, maneuvers, speed,

direction of flight, time of day, date, formation, and number of aircraft;
(15) any complaints of noise or sonic booms received by any duty

office which coincides with the alleged damage; and
(16) authorization, description of flight, aircraft involved,

applicable charts, and air controller transcripts or audiotapes of aircraft in
the vicinity of the alleged damage.
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FIREARM ACCIDENTS

firearm accidents.
a. General. A command investigation shall normally be used to document

all relevant circumstances of incidents involving accidental or apparent self-
inflicted gunshot wounds.
b. Required facts and opinions. An investigation involving firearm

accidents shall include:
(1) Date, time of day, and names and addresses of witnesses present;
(2) Description of physical location of incident and light and weather

conditions;
(3) Description of the firearm and its mechanical condition,

especially safety mechanisms, and whether the safety mechanisms were used by
the firearm handler;
(4) Authorization for possession of the firearm, including how, when,

and where it was obtained;
(5) Description of firearm handler's formal training, experience, and

familiarity with the firearm's condition, safety procedures, and proper use;
and
(6) Discussion of any psychological problems, mental impairment due to

drug or alcohol use, and mental responsibility of the firearm handler.
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OTHER INCIDENTS

other specific types of incidents.
a. Pollution incidents. When pollution incidents are required to be

investigated because of service regulations, other than the JAGMAN, or because
of applicable Federal, State, or local laws or regulations, a copy of any
report should be submitted directly to OJAG (Code 12) and the geographic
environmental coordinator as set out in OPNAVINST 5090.1 (series). A
litigation-report investigation should normally be convened, unless the event
amounts to a major incident requiring a court of inquiry. When the pollution
originates from a U.S. vessel, also see Chapter V of this Manual. The
following information shall be included in the report of investigation of
pollution incidents and spills:
(1) Location and circumstances of the spill, including the weather and
conditions at the site (visibility, darkness, presence/phase of the moon),
how, when, and by whom the spill was detected;
(2) Description of the activity occurring when the spill occurred,

e.g., shifting fuel, taking on fuel, pumping bilges;
(3) Type of material, e.g., fuel, oil, other hazardous material;
(4) Estimated quantity of material spilled and the basis for the
estimate;
(5) Source of the spill, e.g., tank, drum, or valve;
(6) Identity of personnel involved including name, rank/grade, unit,

address (home and work), age, training and experience for task, and who was
(or should have been) providing supervision;
(7) Whether required reports were made, e.g., reports required by

OPNAVINST 5090.1 (series), reports to the National Response Center, reports
required by State and local law, reports to the Navy operational chain-of-
command, and reports under the Emergency Planning and Community Right-To-Know
Act (EPCRA);
(8) Whether local SOPA and command instructions were complied with;
(9) Description of cleanup, including membership of the quick response

team, training, response time, actions taken, equipment used, effectiveness of
equipment and personnel, availability and readiness of equipment and
personnel;
(10) Nature and extent of damages to Government and private property;
(11) Personal injuries, if any, including name of injured parties and

extent of injuries (see section 0210 regarding claims);
(12) Attach copies of relevant training documents (e.g., Personnel
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Qualification Standard (PQS) records), deck/watch logs, and engineering logs
which support the facts; and
(13) An opinion regarding the cause of the spill, e.g., faulty

equipment, container, fitting, or valve, operator error/safety, or operational
procedure error.
b. Combined investigations of maritime incidents. For maritime incidents

involving two or more NATO countries, commands may conduct a single
investigation under NATO Standardization Agreement 1179 (STANAG). This sets
forth three alternative investigation procedures: (1) combined board of
inquiry; (2) national inquiry, attended by witnesses or observers from other
nations; and (3) independent inquiries coordinated by the presidents of those
inquiries.
c. Security violations. For specific investigation requirements

respecting investigations ordered to inquire into the loss, compromise, or
possible compromise of classified information; see SECNAV M-5510.36, Chapter
12. Such reports are sent to CNO (N09N) as ultimate addressee. A command
investigation shall normally be used.
d. Postal violations. For specific investigation requirements respecting

investigations ordered to inquire into postal losses or offenses, see
paragraph 601, Department of the Navy Postal Instructions, OPNAVINST 5112.6
(series). In such cases, command investigations may be convened.
e. Allegations of discrimination or sexual harassment. Investigations of

alleged discrimination or sexual harassment, including reporting and review
procedures, are governed by OPNAVINST 5354.1 (series). Similar Marine Corps
investigations are governed by MCO 5354.1 (series).
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CHAPTER THREE
COMPLAINTS OF WRONGS
JAGINST 5800.7G
TABLE OF CONTENTS
0301 Purpose
0302 Authority, Policy, and Applicability
a. Article 138, Uniform Code of Military Justice (UCMJ)

b. Article 1150, U.S. Navy Regulations
c. Delegated authority
d. Policy
e. Applicability
f. Alleged wrongs involving senior officials
0303 Definitions of Terms Used in this Chapter
a. Complaint of wrongs
b. Complainant
c. Commanding officer
d. Superior
e. Respondent
f. General courts-martial convening authority (GCMCA)
g. Wrong
h. Redress
0304 Improper Complaint of Wrongs
a. Improper complainant
b. Improper respondent
c. Improper subject of a complaint of wrongs
d. Improper redress of a complaint of wrongs
0305 Procedures Applicable to the Complainant, Respondent, and

Intermediate Endorsers Subordinate to the GCMCA
a. Submitting and routing an Article 138 complaint

b. Submitting and routing an Article 1150 complaint
c. Time limitations
d. Form of complaint
e. Joinder
f. Respondent’s response
g. Intermediate Endorsements (other than respondent)
h. Withdrawal of complaint
3-1
JAGINST 5800.7G
0306 Review of the Complaint by the GCMCA
a. General rule
b. Support and Coordination
c. Initial review
d. Returning improper complaints
e. Procedurally defective complaints
f. Complaints alleging recommendations as wrongs
g. Inquiry
h. Time limitations
i. Delay due to separate inquiry
j. Personal action by GCMCA
k. Redress
0307 GCMCA Response to Complainant; GCMCA Report to SECNAV
a. Written response to complainant

b. GCMCA report to SECNAV
c. Signature of GCMCA
d. Forwarding the GCMCA report to SECNAV
0308 Final Action on the Complaint
a. Review for substantial compliance

b. Determination of no substantial compliance
c. Determination of substantial compliance
d. Special circumstances
e. Finality
f. Other remedies
APPENDICES
a. Sample Complaint
b. Complaint of Wrongs Processing Checklist for GCMCA
c. GCMCA Report to Complainant - Complaints Returned as
Improper or Procedurally Defective
d. GCMCA Written Response to Complainant (GCMCA Action)
e. GCMCA Report to SECNAV
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0301 Purpose
To establish procedures for preparing, submitting, and

processing complaints of wrongs under Article 138, UCMJ, and
Article 1150, U.S. Navy Regulations.
0302 Authority, Policy, and Applicability
a. Article 138, UCMJ. Article 138, UCMJ states: "Any

member of the armed forces who believes himself wronged by his
commanding officer, and who, upon due application to that
commanding officer, is refused redress, may complain to any
superior commissioned officer, who shall forward the complaint
to the officer exercising general court-martial jurisdiction
over the officer against whom it is made. The officer
exercising general court-martial jurisdiction shall examine into
the complaint and take proper measures for redressing the wrong
complained of; and he shall, as soon as possible, send to the
Secretary concerned a true statement of that complaint, with the
proceedings had thereon." In the Navy and Marine Corps, an
Article 138 complaint can be submitted against a commanding
officer or a commander. See subsection 0303(c).
b. Article 1150, U.S. Navy Regulations. Article 1150, U.S.

Navy Regulations, paragraph 1, states: "If any person in the
naval service considers him- or herself wronged by an act,
omission, decision, or order of a person who is superior in rank
or command, that person shall not fail in maintaining a
respectful bearing toward such superior, but may report the
wrong to the proper authority for redress in the manner provided
in this article. The report should clearly identify the
respondent (the superior against whom it is made), the wrong
complained of and the redress desired. A complainant (the
person submitting a report under this article) may be held
accountable by the officer responsible for the resolution of
the report if the report is found to be vexatious, frivolous,
or false. The report may not be joined with reports by other
complainants."
c. Delegated authority.
(1) The Assistant Secretary of the Navy (Manpower and

Reserve Affairs) (ASN(M&RA)) is delegated the authority of the
Secretary of the Navy (SECNAV) to take final action on a
complaint of wrongs in accordance with Article 138, UCMJ,
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Article 1150, U.S. Navy Regulations, and this Chapter.
(2) The Judge Advocate General of the Navy (JAG), the

Staff Judge Advocate to the Commandant of the Marine Corps (SJA
to CMC), the Deputy Assistant JAG (Administrative Law), Office
of the Judge Advocate General (OJAG (Code 13)), and the Branch
Head, Civil and Administrative Law (JCA), in Headquarters,
Marine Corps (HQMC), Judge Advocate Division (JAD), are
delegated the authority of the SECNAV to take final action on a
complaint of wrongs in accordance with Article 138, UCMJ,
Article 1150, U.S. Navy Regulations, and this Chapter, except
the authority to grant redress, or set aside redress, that was
beyond the statutory or regulatory authority of the officer who
granted it.
d. Policy. Department of the Navy (DON) policy is to

resolve complaints at the lowest level of command and provide
adequate administrative procedures for such resolution.
e. Applicability. This chapter applies to Navy and Marine

Corps Service members in the Regular and Reserve components.
f. Alleged wrongs involving senior officials. Any

commander or commanding officer who receives a complaint of
wrongs against a subordinate who is a senior official, as that
term is defined by SECNAV Instruction 5800.12 (Series), will
report the alleged wrong(s) to the Naval Inspector General
(NAVIG) or the Deputy Naval Inspector General for Marine Corps
Matters/Inspector General of the Marine Corps (DNIG/IGMC) before
taking further action on the complaint. The NAVIG or DNIG/IGMC
will determine whether the complaint contains a credible
allegation of misconduct pursuant to SECNAV Instruction 5800.12
(Series), identify the appropriate process to investigate any
such allegation, and notify the reporting commander or
commanding officer of this determination. The timelines in this
chapter for the processing of complaints of wrongs will be
tolled until this notification is received. A determination
that the complaint contains a credible allegation of misconduct
by a senior official, or that the complaint is not credible and
does not warrant investigation, will terminate further inquiry
and processing under this chapter with respect to those
particular alleged wrong(s), unless otherwise directed by the
NAVIG, DNIG/IGMC, or the DoD Inspector General (DoDIG). In such
cases, the commander or commanding officer who received the
complaint will notify the complainant that the complaint, or
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portion of the complaint, has been referred to the cognizant

Inspector General, which will follow its normal procedures for
notifying the complainant of the complaint’s status and
disposition. For any of the alleged wrongs returned to the
commander or commanding officer as not involving a matter under
the cognizance of the Inspector General, the complaint will be
processed in accordance with this chapter and the respondent may
respond to the remaining complaint(s) in accordance with
subsection 0305(f).
0303 Definitions of Terms Used in this Chapter
a. Complaint of wrongs. A Service member's formal request

to superior authority for relief from an alleged wrong or wrongs
committed against the member by a superior.
b. Complainant. The Navy or Marine Corps Service member

who files a complaint of wrongs under this chapter. When the
complaint is submitted, the complainant must either be on active
duty and allege a wrong that occurred while the complainant was
on active duty, or be in a Reserve component and allege a wrong
committed by the respondent in the capacity as a commanding
officer or a superior in rank or command. A change to the
complainant’s status after the submission of the complaint does
not affect the processing of the complaint under this chapter.
c. Commanding officer. A "commanding officer" is a

commissioned or warrant officer who, by virtue of rank,
assignment, or both, exercises primary command authority over a
military organization, or prescribed territorial area, to which
a complainant is assigned, and which official directives
recognize as a "command." For an Article 138 complaint, the
term “commander” is synonymous with “commanding officer”; an
Article 138 complaint can be submitted against a commanding
officer or a commander. An “officer-in-charge” is not a
“commanding officer” for the purpose of an Article 138
complaint, but is a "superior in rank or command" for the
purpose of an Article 1150 complaint.
d. Superior. A Service member who is superior in rank or

command to the complainant, and who is not the complainant’s
commanding officer.
e. Respondent. The Service member who committed the

alleged wrong(s) against the complainant, and against whom the
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complaint of wrongs is made. A complaint must be against an

individual Service member, not a command or position.
(1) Under Article 138, UCMJ, the respondent must be the

complainant’s commanding officer at the time the complaint is
submitted. See subsection 0303(c).
(2) Under Article 1150, U.S. Navy Regulations, the

respondent must be a Service member who is superior in rank or
command to the complainant, and who is not the complainant’s
commanding officer at the time the complaint is submitted.
(3) A change to the respondent’s status after the

submission of the complaint does not affect the processing of
the complaint under this chapter.
(4) The SECNAV, the Under Secretary of the Navy, the

Assistant Secretaries of the Navy, the General Counsel of the
Department of the Navy, or any civilian employee of the
Department of the Navy cannot be a respondent to a complaint of
wrongs.
f. General courts-martial convening authority (GCMCA). The

first officer superior in the chain of command exercising GCMCA
jurisdiction over the respondent at the time of the alleged
wrong(s). If the Chief of Naval Operations (CNO) or the
Commandant of the Marine Corps (CMC) is the first officer
superior in the chain of command exercising general courts-
martial jurisdiction over the respondent at the time of the
alleged wrong, then the Vice Chief of Naval Operations or the
Assistant Commandant of the Marine Corps, respectively, may act
on and process the complaint as the GCMCA. In cases where the
respondent is the CNO, the CMC, or a departmental level officer
who does not report to the CNO or CMC, the ASN(M&RA) will act on
and process the complaint as the GCMCA. See section 0306(a).
g. Wrong. Any act, omission, decision or order, except

those excluded by subsection 0304(c), taken, caused, or ratified
by a respondent, pursuant to naval authority, that:
(1) Results in personal detriment, harm, or injury to a

subordinate Service member; and
(2) Is a violation of law or regulation; unauthorized;

arbitrary, capricious, or an abuse of discretion; or unjust.
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h. Redress. Any lawful action by the commanding officer,

the GCMCA, or any officer in the chain of command, except those
excluded by subsection 0304(d), that remedies a wrong against a
complainant.
0304 Improper Complaint of Wrongs
If a complaint of wrongs has an improper complainant, an

improper respondent, an improper subject of a complaint of
wrongs, or requests improper redress of a complaint of wrongs,
then it is an improper complaint and must be returned by the
GCMCA to the complainant in accordance with section 0306(d).
a. Improper complainant. A complainant who does not meet

the requirements of subsection 0303(b) is an improper
complainant.
b. Improper respondent. A respondent who does not meet the

requirements of subsection 0303(e) is an improper respondent.
c. Improper subject of a complaint of wrongs. An improper

subject of a complaint of wrongs is:
(1) An act, omission, decision, or order not taken,

caused, or ratified by the respondent;
(2) An act that is not final: most recommendations are

not final acts; when the recommendation itself is controlling,
such as a recommendation for advancement or for a Navy Enlisted
Classification (NEC) removal, it is a final act, and a proper
subject of a complaint of wrong; if a recommendation has been
acted upon by another authority, the complaint of wrong will be
processed under subsection 0306(f);
(3) A general policy of the DoD, the DON, the Navy, or

the Marine Corps, including an instruction and other documents
promulgating such a policy;
(4) The GCMCA's action on a complaint of wrongs, except

for the GCMCA’s failure to forward the complaint;
(5) A complaint that may be redressed under other DON

procedures that provide the complainant with notice of the
alleged wrongful act, a right to rebut or a hearing, as
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appropriate, and review by an authority superior to the officer

taking the action. Such other DON procedures include, but are
not limited to:
(a) Proceedings, findings, or final action of a

board of inquiry convened under title 10, U.S. Code, Chapters 60
or 1411 (involuntary separation of Regular or Reserve officers
for substandard performance of duty or for certain other
reasons);
(b) Review is provided specifically by the UCMJ, or

the action is otherwise reviewable by a court authorized by the
UCMJ or by a military judge or military magistrate.
(c) Proceedings, findings, or final actions of

nonjudicial punishment (NJP), including all requests for set
aside, courts-martial, and administrative discharge procedures
and results; however, if no other due process procedure exists
to examine an action (e.g., vacation of a suspended NJP) or no
other superior authority may review the final action (e.g.,
administrative discharge procedures and results where the
Service member’s CO is the separation authority), then such an
action is a proper subject of a complaint of wrongs;
(d) Detachment for cause and relief for cause

proceedings;
(e) Fitness report or evaluation review processes

that provide the complainant notice, a right to rebut or a
hearing, as appropriate, and review and action by higher
authority. Accordingly, a final Navy fitness report or
evaluation is a proper subject of a complaint of wrongs where
the member believes the fitness report or evaluation to be
inaccurate, unjust, or wrongly submitted; however, final Marine
Corps fitness reports and pro/con marks are not proper subjects
of a complaint of wrongs because the Marine Corps Performance
Evaluation Review Board properly qualifies as "other DON
procedures" under this subsection;
(f) Personnel detailing decisions in which the

Service member has been afforded an opportunity for flag or
general officer review;
(g) Filing of adverse information (for example,

administrative counseling or reprimand) in official personnel
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records;
(h) The revocation, removal, or suspension of a

professional qualification, designation, or status where the
Service member is afforded notice of the action, the right to
submit a statement, and/or the right to a hearing or board.
Examples include, but are not limited to, the removal of flying
status upon the recommendation of a Field Naval Aviator
Evaluation Board (Navy) or Field Flight Performance Board
(Marine Corps); and
(i) Military whistleblower allegations reported

pursuant to SECNAV Instruction 5370.7 (Series).
(6) The availability of review by the Board for Correction

of Naval Records (BCNR) does not render a complaint improper
under this subsection.
d. Improper redress of a complaint of wrongs. The

following actions are improper redress of a complaint of wrongs:
(1) Action against or on behalf of another person,

including but not limited to, courts-martial charges, NJP, or
apologies; or
(2) Changes to military records, except as outlined

below:
(a) A complaint of wrongs will not be used to modify

a military record unless the Service member initiates a
complaint within 90 calendar days after he or she knows of the
record's submission for entry into the appropriate record or
within one year after submission for entry into the appropriate
record, whichever is earlier.
(b) In calculating these time periods, the time from

the date the complainant requested redress from the commanding
officer to the day the complainant receives notice from the
commanding officer of the disposition of the request for redress
is not counted.
0305 Procedures Applicable to the Complainant, Respondent, and

Intermediate Endorsers Subordinate to the GCMCA
a. Submitting and routing an Article 138 complaint.
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(1) Before submitting an Article 138 complaint, the

complainant must request, in writing, that the commanding
officer redress the alleged wrong(s). Failure to request
redress from the complainant’s commanding officer will render
the complaint procedurally defective under subsection 0306(e).
The commanding officer must act upon a request for redress
within 30 calendar days of receipt, and notify the complainant
in writing of the action taken, if applicable. If the
commanding officer does not respond to the request within 30
calendar days or denies the requested redress, then the
complainant may submit an Article 138 complaint to the GCMCA via
the commanding officer, as the respondent.
(2) If the complainant, the respondent, or both, detach

before the submission of an Article 138 complaint, then the
complainant may submit an Article 1150 complaint against the
respondent in accordance with subsection 0305(b)(3).
b. Submitting and routing an Article 1150 complaint.
(1) An Article 1150 complaint can only be filed against

a Service member who is superior in rank or command to the
complainant, and who is not the complainant’s commanding officer
at the time the complaint is submitted. See subsection
0303(e)(2).
(2) When an Article 1150 complaint is filed, if the

complainant and respondent are under the command of the same
commanding officer, then that commanding officer will resolve
the complaint. The commanding officer is not required to
forward a report or resolution to a higher authority unless it
is necessary for a higher authority to effect redress. If the
complainant is not satisfied with the resolution made by the
commanding officer, then the complainant may file an Article 138
complaint against that commanding officer in accordance with
this chapter.
(3) If the respondent and complainant are not under the

command of the same commanding officer, then the complainant
will submit the complaint to the GCMCA over the respondent at
the time of the alleged wrong(s) via the complainant’s
commanding officer, the respondent, and the respondent’s
commanding officer.
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(4) If the complainant, respondent, or both, detach

before the submission of an Article 1150 complaint, or if the
respondent becomes the complainant’s commanding officer before
the complaint is resolved, then the complaint will be forwarded
to the GCMCA over the respondent at the time of the alleged
wrong, via the complainant’s current commanding officer, the
respondent, and the commanding officer of the respondent at the
time of the alleged wrong.
c. Time limitations. A complaint must be submitted within

90 calendar days after the complainant discovers the alleged
wrong, absent exceptional circumstances as detailed in writing
by the complainant. The 30-day period during which the
commanding officer is considering a complainant's written
request for redress under subsection 0305(a) is not included in
this 90-day period. The GCMCA should deny relief solely because
the complaint is untimely unless exceptional circumstances
prevented timely submission of complaint. If the GCMCA
determines that exceptional circumstances justify the delay in
submission, the GCMCA may consider the complaint and act on it,
thereby waiving this 90-day time limitation. The GCMCA must
document the waiver in writing in the GCMCA’s written response
to the complainant and the report to the SECNAV. See subsection
0306(e)(1)(b).
d. Format of complaint. A complainant must use the

complaint format in appendix A-3-a of this chapter. This format
must be completed in its entirety, unless a particular
subparagraph, such as that providing for an explanation for
untimely submission, does not apply.
(1) For each alleged wrong, the complaint must specify

the wrong alleged and the specific redress requested, followed
thereafter by explanatory information. The complaint will use
temperate language.
(2) The complainant should submit all relevant evidence

with the complaint as numbered enclosures, including affidavits,
statements, documents, and, if applicable, the written request
for redress and the commanding officer’s response.
e. Joinder. A complaint may not be joined with the

complaints of other individuals. Similarly, each complaint may
seek redress for the wrong(s) of only one respondent. If the
complainant believes more than one respondent has committed a
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wrong, the complainant will submit a separate complaint against

each respondent, not against a group of respondents such as "the
chain of command."
f. Respondent's response. The respondent will respond, in

writing, to the complaint and forward the response, along with
the complaint and any endorsements, to the GCMCA within ten
calendar days after receipt of the complaint. A “by direction”
response from a subordinate in the respondent’s command is not
authorized. If the response is not completed within ten
calendar days of receipt, then the response must explain the
delay. Subject to applicable law, regulations, and policy
governing classified material, the respondent must provide the
complainant with a copy of the response, including enclosures.
If the GCMCA receives a complaint of wrongs without a
respondent’s response, then it must be returned to the
respondent with direction to provide a written response in
accordance with this subsection. The GCMCA will not act on a
complaint without the respondent’s response.
g. Intermediate Endorsements (other than respondent).

Intermediate endorsers, subordinate to the GCMCA, may comment on
the merits of the complaint, add pertinent evidence, and, if
empowered to do so, grant redress, noting such action on the
endorsement. Intermediate endorsers will forward the complaint
within ten calendar days after receipt. Endorsements not
completed within ten calendar days of receipt must explain the
delay. Subject to applicable law, regulations, and policy
governing classified material, intermediate endorsers must
provide the complainant with copies of their endorsements,
including enclosures.
h. Withdrawal of complaint. A complainant may withdraw a

complaint at any time. The withdrawal must be in writing,
signed by the complainant, and addressed to the GCMCA with a
copy to the respondent. The GCMCA will file the complaint and
the withdrawal letter without further action, and maintain the
file for two years from the date of withdrawal.
0306 Review of the Complaint by the GCMCA
a. General rule. The GCMCA, as defined in subsection

0303(f), has the primary responsibility to conduct an inquiry
into the complaint of wrongs, take action on it, and submit a
report to the SECNAV. As outlined below, a Navy Region
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Commander may assume the duties as the GCMCA, and special

procedures apply to complainants assigned to joint commands.
(1) Review of complaints by Navy Region Commanders. A

Navy Region Commander will act as the GCMCA when that officer is
the GCMCA over the respondent, or if specifically requested and
authorized in writing to do so by the original GCMCA over the
respondent.
(a) The original GCMCA's letter requesting a Region

Commander to act upon a complaint should detail the reasons for
the request. The Region Commander and the original GCMCA over
the respondent will determine, on a case-by-case basis, whether
it is appropriate for the Region Commander to act on a
particular complaint of wrong, considering such factors as: the
geographic location of the respective commands; the effect of
operational commitments on the GCMCA's ability to investigate
the complaint adequately; the relative burden of assuming
investigative cognizance; the relative seniority of the
respondent and the Region Commander; and familiarity with the
subject matter of a specific complaint. A Region Commander may
decline for appropriate reasons to act on a complaint.
(b) The original GCMCA over the respondent retains

responsibility for the complaint. If the Region Commander
accepts a complaint from the original GCMCA, the original GCMCA
will maintain a file on the complaint for two years. The file
will include a copy of the GCMCA's written request to the Region
Commander to act as the GCMCA, and a copy of the Region
Commander's action. Once the Region Commander assumes
cognizance over the matter, that officer acts independently and
in the place of the original GCMCA, with the authority to grant
any redress the original GCMCA may have ordered.
(2) Review of complaints from joint commands. Where the

complainant is assigned to a joint command, and the GCMCA over
the respondent is an officer of the Army, Air Force, or Coast
Guard, the complaint will be forwarded to the GCMCA via the
senior naval officer in the joint command, the designated Navy
or Marine Corps commanding officer of the complainant, or the
cognizant Navy Region Commander, as appropriate, who will review
the complaint to determine whether it raises issues unique to
the naval service and addressable only under DON regulations and
instructions. The GCMCA should, in such a circumstance, request
the Navy Region Commander or the appropriate Navy or Marine
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Corps component commander to act on the complaint.
b. Support and coordination. Upon receipt of the

complaint, the GCMCA may contact OJAG (Code 13) or Headquarters,
Marine Corps (HQMC), Judge Advocate Division (JAD) Civil and
Administrative Law (JCA), as applicable, for support.
c. Initial review. Using the checklist at appendix A-3-b,

the GCMCA will conduct an initial review the complaint to ensure
that:
(1) The complainant is a proper complainant (see

subsections 0303(b), 0304(a));
(2) The respondent is a proper respondent (see

subsections 0303(e), 0304(b);
(3) The complaint is a proper subject of a complaint of

wrongs (see subsections 0303(g), 0304(c));
(4) The complaint requests proper redress (see

subsections 0303(h), 0304(d));
(5) The complainant has requested redress from the

commanding officer, in writing, if filed under Article 138, UCMJ
(see subsection 0305(a));
(6) The complaint has been properly forwarded (see

subsection 0305(a)-(b));
(7) The complaint is timely (see subsection 0305(c));
(8) The complaint is complete and in proper format (see

subsection 0305(d));
(9) The complaint does not join two or more complainants

or two or more respondents (see subsection 0305(e));
(10) The respondent has responded to the complaint in

writing (see subsection 0305(f)); and
(11) Whether there is an ongoing, independent inquiry or

proceeding (e.g., Inspector General investigation) (see
subsection 0306(i)).
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d. Returning improper complaints. There are four types of

improper complaints under section 0304. The GCMCA will return
an improper complaint to the complainant with an explanation as
to why it is improper, but will not address the merits of the
complaint. If appropriate, the GCMCA should inform the
complainant about other channels available to resolve the
alleged wrong. See appendix A-3-c for a sample letter to the
complainant. The GCMCA will prepare and forward a report on the
improper complaint to OJAG (Code 13) or, HQMC, JAD (JCA), in
accordance with section 0307.
e. Procedurally defective complaints.
(1) A procedurally defective complaint is a complaint

that does not satisfy the requirements of:
(a) Subsection 0305(a)(1), request for redress from

a commanding officer under Article 138, UCMJ;
(b) Subsection 0305(c), time limitations;
(c) Subsection 0305(d), format of complaint; or
(d) Subsection 0305(e), joinder.
(2) If, pursuant to subsection 0306(e)(1), the GCMCA

determines a complaint is procedurally defective, then the GCMCA
may:
(a) Waive the defect(s) and address the merits of

the complaint; or
(b) Return the procedurally defective complaint to

the complainant via written correspondence that explains why it
is defective, but does not address the merits of the complaint.
See appendix A-3-c for a sample letter to the complainant. The
GCMCA will prepare and forward a report on the procedurally
defective complaint to OJAG (Code 13) or HQMC, JAD (JCA), in
accordance with section 0307.
f. Complaints alleging recommendations as wrongs. If a

complaint names a respondent who made a recommendation that was
forwarded to another officer for final action, and that action
has been completed, then the officer who approved or acted on
the recommendation will be substituted as respondent in place of
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the original respondent. The complaint will be forwarded, via

the GCMCA over the original respondent and the substituted
respondent, to the GCMCA over that substituted respondent. The
GCMCA over the substituted respondent will review all actions
taken, and grant or deny redress, in accordance with this
chapter.
g. Inquiry. The GCMCA will inquire into the merits of the

alleged wrong(s) unless the complaint is returned to the
complainant because it is an improper complaint under section
0304 or is procedurally defective under subsection 0306(e)(1).
The following guidance applies to the GCMCA’s inquiry.
(1) Method. The extent and nature of such inquiry is

within the GCMCA's discretion, and depends upon the seriousness
of the allegations, the extent of the investigation conducted by
the chain of command subordinate to the GCMCA, the available
time, and the exigencies of operations. The GCMCA may appoint
an investigating officer to inquire into the complaint. Certain
complaints may involve matters that are complex or technical and
require expert evaluation. In such cases, the GCMCA may seek
expert evaluation from other naval organizations or commands.
(2) Standard of review. The GCMCA will determine if

each alleged wrong committed by the respondent was in violation
of law or regulation; unauthorized; arbitrary, capricious, or an
abuse of discretion; or unjust.
(3) Standard of Proof. The GCMCA will apply a

"preponderance of the evidence" standard of proof when
evaluating the facts in the administrative record.
(4) Presumption. If the evidence made available upon

inquiry does not establish that the respondent committed an
alleged wrong, then the respondent is presumed to have acted
properly.
(5) The GCMCA may request that the complainant,

respondent, or both submit additional explanatory statements or
other relevant documents. The GCMCA should review SECNAVINST
5211.5 (Series) to determine if Privacy Act statements are
required.
h. Time limitations. The GCMCA will act on the complaint

within 90 calendar days of receipt. If the GCMCA action is not
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completed within 90 calendar days of receipt, then the written

response to the complainant and the report to the SECNAV will
explain the delay in accordance with subsections 307(a)-(b).
i. Delay due to separate inquiry. The GCMCA may delay the

examination into a complaint if there is an ongoing independent
inquiry or proceeding (e.g., Inspector General investigation)
that is reasonably likely to result in clarification of the
issues or redress of the alleged wrong. Such delay will not
extend beyond ten calendar days after the GCMCA has received
notification that the action is completed in the other
independent inquiry or proceeding. The GCMCA will explain the
basis for the delay in the written response to the complainant
and the report to the SECNAV.
j. Personal action by GCMCA. The GCMCA must take personal

action on the complaint. The GCMCA cannot delegate authority
for taking action in a complaint of wrongs to a subordinate
command or officer.
k. Redress.
(1) If the GCMCA determines the complaint is without

merit, then the GCMCA will deny redress.
(2) If the GCMCA determines the complaint has merit,

then the GCMCA will grant such redress as is appropriate and
within his or her authority. In certain situations, a complaint
may have merit, but redress may not be available or appropriate
within the context of a complaint of wrong. In such cases the
GCMCA should acknowledge the merits of the complaint, even if
the requested redress is denied.
(3) If the GCMCA determines the complaint has merit, but

does not have authority to effect the appropriate redress (e.g.,
removal of a fitness report or performance evaluation from a
service record), the GCMCA will forward the report in accordance
with section 0307 via the officer who can effect the redress,
requesting that the specific redress be granted. The officer so
requested will effect the redress and endorse the GCMCA’s report
by explaining the details of this action, unless the officer
determines that the redress requested is not permitted by
current regulations or is otherwise prohibited by law or policy.
In such cases, the officer may delay compliance with the request
until the final review and action by OJAG (Code 13) or HQMC, JAD
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(JCA), and will provide an endorsement setting forth the reasons

why the requested redress has been delayed.
0307 GCMCA Response to Complainant; GCMCA Report to SECNAV
a. Written response to complainant. The GCMCA will advise

the complainant in writing of the action taken on the complaint.
(1) Improper complaint. The GCMCA will return an

improper complaint to the complainant in accordance with
subsection 0306(d). See appendix A-3-c.
(2) Procedurally defective complaint. Absent a waiver,

the GCMCA will return a procedurally defective complaint to the
complainant in accordance with subsection 0306(e). See appendix
A-3-c.
(3) If the complaint is proper, the GCMCA’s letter to

the complainant will specify each alleged wrong; state whether
or not each wrong has merit; provide a sufficient justification
and explanation concerning why each wrong has merit or not;
specify the relief granted, if applicable; and discuss the
reasons why one or more procedural defects were waived, or the
basis for any delay, if applicable. See appendix A-3-d.
b. GCMCA report to SECNAV. All actions taken by the GCMCA,

including a return of an improper or procedurally defective
complaint to the complainant under subsections 0306(d)-(e) and
the granting of all requested redress, must be documented in a
report to the SECNAV. The GCMCA report will include:
(1) A forwarding letter in the format of appendix A-3-e;
(2) The GCMCA’s written response to complainant;
(3) The complaint with all enclosures and endorsements;
(4) A copy of relevant correspondence with the

complainant, respondent, or other intermediate endorsers;
(5) A copy of any pertinent investigations or other

documentation used in the decision and provided to the
complainant; and
(6) The signed GCMCA checklist using appendix A-3-c.
3-18
JAGINST 5800.7G
c. Signature of GCMCA. The GCMCA must personally sign the

written response to the complainant and the GCMCA report.
d. Forwarding the GCMCA report to SECNAV. The GCMCA will

forward the report to OJAG (Code 13) or HQMC, JAD (JCA), as
applicable, in a timely manner following completion of the
inquiry into the complaint.
(1) Navy. A Navy GCMCA should submit the report

electronically using the OJAG (Code 13) Share Point site, the
DoD Safe Access File Exchange system, or by encrypted e-mail to
OJAG (Code 13) Branch 134 personnel. GCMCA reports may also be
mailed to the Office of the Judge Advocate General (Code 13),
1322 Patterson Ave SE, Suite 3000, Washington Navy Yard, DC
20374-5066.
(2) Marine Corps. A Marine Corps GCMCA should submit

the report electronically using the DoD Safe Access File
Exchange system or by encrypted e-mail to the HQMC, JAD (JCA).
GCMCA reports may also be mailed to the Commandant of the Marine
Corps (JCA), Headquarters, United States Marine Corps, 3000
Marine Corps Pentagon, Washington, DC 20350-3000.
0308 Final Action on the Complaint
a. Review for substantial compliance. Upon receipt of the

GCMCA's report, OJAG (Code 13) or HQMC, JAD (JCA), will review
the report on behalf of the SECNAV and ensure that there has
been substantial compliance with Article 138, UCMJ, or Article
1150, U.S. Navy Regulations, as applicable, and with this
chapter.
b. Determination of no substantial compliance.
(1) If there has not been substantial compliance, the

Deputy Assistant JAG (Administrative Law), OJAG (Code 13), or
the Branch Head, JCA, will return the file to the GCMCA for
additional investigation or further action. Upon receipt, the
GCMCA will take all necessary action to achieve substantial
compliance with Article 138, UCMJ, or Article 1150, U.S. Navy
Regulations, as applicable, and this chapter. No later than 30
calendar days after receiving the returned file, the GCMCA will
submit a revised GCMCA report to OJAG (Code 13) or HQMC, JAD
(JCA), in accordance with section 0307.
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JAGINST 5800.7G
(2) If there has not been substantial compliance because

the redress granted to the complainant was beyond the statutory
or regulatory authority of the officer granting the redress,
then only ASN(M&RA) or SECNAV may set aside the redress. In
such a case, the Deputy Assistant JAG (Administrative Law), OJAG
(Code 13), or the Branch Head, JCA, will forward the GCMCA’s
report, with appropriate recommendations, to ASN(M&RA) for final
action and notice to the complainant.
c. Determination of substantial compliance.
(1) If there has been substantial compliance and the

GCMCA’s report only documents the return of an improper or
defective complaint under subsections 0306(d)-(e), then the
GCMCA’s written response to the complainant serves as final
notice to the complainant under this chapter.
(2) If there has been substantial compliance and no

redress is required, the Deputy Assistant JAG (Administrative
Law), OJAG (Code 13), or the Branch Head, JCA, will issue final
notice to the complainant.
(3) If there has been substantial compliance and

additional redress is required, the Deputy Assistant JAG
(Administrative Law), OJAG (Code 13), or the Branch Head, JCA,
will forward the GCMCA’s report, with appropriate
recommendations, to ASN(M&RA) for final action and notice to the
complainant.
d. Special circumstances. The Deputy Assistant JAG

(Administrative Law), OJAG (Code 13), and the Branch Head, JCA,
exercise discretion to forward a GCMCA’s report to the JAG or
SJA to CMC for final review and action, or to ASN(M&RA) or
SECNAV for final action, as appropriate. Examples include, but
are not limited to:
(1) When ASN(M&RA) is the GCMCA over the respondent;
(2) When an officer in the grade of vice admiral,

lieutenant general, admiral, or general is the respondent;
(3) When the JAG is GCMCA or respondent, or the SJA to

CMC is the respondent; or
3-20
JAGINST 5800.7G
(4) When the alleged wrongs or underlying facts relate

to a significant event that is widely known to the general
public.
e. Finality. Final notice to the complainant constitutes

exhaustion of administrative remedies under Article 138, UCMJ,
or Article 1150, U.S. Navy Regulations, as applicable, and this
chapter.
f. Other remedies. The exhaustion of redress under Article

138, UCMJ, or Article 1150, U.S. Navy Regulations, and this
chapter does not affect remedies that may be available under
other statutes or regulations, including a petition to the Board
for Correction of Naval Records.
3-21
JAGINST 5800.7G
Sample Complaint
Date
From: (Rank/Rate, Name, Designator/MOS)

To: (GCMCA over respondent at the time of the alleged wrong)
Via: (1) (complainant’s current commanding officer, if
needed)
(2) (Respondent)
(3) (other intermediate superiors in chain of command
before GCMCA)
Subj: COMPLAINT OF WRONG UNDER (choose ARTICLE 138, UCMJ or

ARTICLE 1150, U.S. NAVY REGULATIONS)
Ref: (a) (choose Article 138, UCMJ or Article 1150, U.S. Navy
Regulations)
(b) JAGINST 5800.7G, Chapter III
Encl: (1) (list individually all documents enclosed with the

complaint to support the complaint, including - for
Article 138 complaints - the written request for
redress and the response)
1. This complaint of wrong under reference (a) is submitted in

compliance with reference (b).
2. Complainant Information:
a. Current command:
b. Command at time of alleged wrong:
c. EAOS/EAS/PCS/Separation/Retirement Date: (list date(s) as

appropriate)
d. Current mailing address and e-mail address:
e. Permanent home address and e-mail address: (place where

correspondence should be forwarded if separated from active duty)
3. Respondent Information:
a. Rank and name: (person against whom complaint is made)
A-3-a
JAGINST 5800.7G
b. Organization: (title/position and current command, and if

different, provide same information for respondent at the time of
the alleged wrong)
4. Complaint:
a. Type of Alleged Wrong: (e.g., improper evaluation report)
(1) Date alleged wrong discovered:
(2) Date written request for redress was submitted to

complainant’s commanding officer: (include request as enclosure if
Article 138 complaint)
(3) Date answer to request for redress was received:

(include answer as enclosure if Article 138 complaint)
(4) Number of calendar days between alleged wrong and

submission of complaint (and if over 90 calendar days, explanation
for delay): (difference between date in subparagraph 4a(1) above
and date this form is submitted, excluding the period respondent
considered the written request for redress, which can be
determined from subparagraphs 4(a)(2) and 4(a)(3) above; if
complaint is submitted more than 90 calendar days after discovery
of the wrong, the delay must be explained)
(5) Specific, detailed explanation of alleged wrong

committed: (explain what the alleged wrong was, and how
respondent was responsible for it)
(6) Relief requested: relief must be personal in nature

and directly connected to the alleged wrong; it may not include,
for example, a demand for public apology or initiation of action
against another.
b. Type of Alleged Wrong: list additional alleged wrongs, if

any, in separate lettered subparagraphs that address the same
requirements listed in subparagraph 4(a).
(If necessary, continue with lettered paragraphs to identify each

wrong separately, following the format provided above.)
A-3-a
JAGINST 5800.7G
5. I CERTIFY THE ABOVE INFORMATION IS TRUE AND CORRECT TO THE

BEST OF MY KNOWLEDGE, AND THIS COMPLAINT IS SUBMITTED PER THE
GUIDELINES AND PROCEDURAL REQUIREMENTS IN CHAPTER III, MANUAL OF
THE JUDGE ADVOCATE GENERAL.
SIGNATURE OF COMPLAINANT: __________________ Date: __________
SIGNATURE OF WITNESS: __________________ Date: __________
PRIVACY ACT STATEMENT
1. Authority. 10 U.S.C. §§ 938, 8013.
2. Principal purpose(s). Used by command authorities and the

Office of the Judge Advocate General to review, take action, and
make recommendations to the Secretary of the Navy on Article 138,
UCMJ, and Article 1150, U.S. Navy Regulations, complaints of
wrong.
3. Routine uses. The Blanket Routine Uses that appear at the

beginning of the Department of the Navy's compilation in the
Federal Register apply.
4. Mandatory or voluntary disclosure and effect on individual not

providing information. Providing requested information is
voluntary; however, failure to do so may result in delayed command
action and Secretarial review, or the inability to notify
complainant of the Secretary's decision.
A-3-a
JAGINST 5800.7G
Complaint of Wrong Processing Checklist for GCMCA
Case name: _______________________________________
References to JAGINST 5800.7G, Chapter III unless otherwise noted.
COMPLAINT
Complainant
□ Is complainant a proper complainant? (§ 0303(b)) If not, see

§ 0306(d).**
□ Complaint does not join more than one complainant? (§ 0305(e))

If it does, complaint may be returned to complainant in accordance
with § 0306(e)(2)(b).*
Respondent
□ Complaint is against a specific person, not a command or

position? (§ 0303(e)) If not, see § 0306(d).**
□ Is respondent the proper respondent? (§ 0303(e)/NAVREGS

1150).**
□ If 138, respondent was complainant’s commanding officer at
the time the complaint was submitted (§§ 0303(c),(e)). If
not, return under § 0306(d).
□ If 1150 and respondent and complainant have the same
commanding officer, then it is a "true 1150" and no report to
SECNAV is required (§§ 0302(b), 0305(b)(2)). All other 1150s
are processed using 138 rules.
□ See § 0305(b)(4) if one of the parties has transferred or
promoted since the alleged wrong.
□ Complainant does not join more than one respondent? (§

0305(e)). If he or she does, complaint may be returned to
complainant in accordance with § 0306(e)(2)(b).*
Alleged Wrong(s) and Relief Requested
□ Each alleged wrong is a proper subject of a complaint of wrong?

(§§ 0303(g), 0304(c)).**
□ Final actions; not recommendations (unless controlling,
A-3-b
JAGINST 5800.7G
e.g. advancement recommendations, NEC removal)?

□ Not general policies of DON?
□ Not wrongs that have another DON procedure that provides
notice, right to rebut or hearing, and review by superior?
□ The alleged wrong(s) resulted from acts, omissions, decisions or

orders taken, caused or ratified by respondent? (§ 0304(c)(1)).
□ Complaint makes a proper request for relief? (§§ 0303(h) and

0304(d)).**
Procedural Requirements
□ Complainant submitted written request for redress to respondent

before submitting Art 138 complaint? (§ 0305(a)) If not,
complaint may be returned to complainant in accordance with §
0306(e)(2)(b).* This does not apply to 1150s.
□ Complaint is timely, or late submission justified? (§ 0305

(c)). If not, complaint may be returned to complainant in
accordance with § 0306(e)(2)(b).*
□ Complaint is properly forwarded? (§ 0307).
□ Addressed to proper GCMCA, via intermediate endorsers,

including respondent. If not, readdress and forward properly.
□ Complaint is in the proper format? (§ 0305(d), appendix A-3-a)

If not, obtain information and include in GCMCA’s action or the
complaint may be returned to complainant in accordance with
§ 0306(e)(2)(b).*
□ Includes complainant’s and respondent’s personal
information?
□ Includes date wrong discovered and number of calendar days
between discovery of wrong and complaint submission?
□ Explains delay, if applicable?
□ Complaint complete with all enclosures/endorsements?
□ Certified complaint to be "true and correct" and is signed,
witnessed, and dated?
* Procedural defect that may be waived by GCMCA.

** Impropriety that may not be waived by GCMCA; requires finding
A-3-b
JAGINST 5800.7G
that the particular allegation or redress is not proper.
GCMCA REVIEW
□ Complainant provided a copy of all materials received,

including all endorsements and enclosures? (§§ 0305(f)-(g)).
□ Is this command the proper GCMCA? (§ 0306(a)).

□ If a Region Commander is acting as GCMCA, written request
from original GCMCA must be included.
□ If complaint returned to complainant because it is improper or

procedurally defective, has complainant been provided with an
explanation for return? (§§ 0306(d)-(e)).
□ GCMCA’s action completed within 90 calendar days of receiving

complaint? (§ 0306(h)).
□ Delay must be explained in letter to complainant.
GCMCA REPORT TO SECNAV
□ Written response to complainant and GCMCA report to SECNAV and

complainant signed personally by GCMCA? (§§ 0306(k), 0307(c)).
□ For allegations that are procedurally defective (and such

defect(s) not waived) or improper, the report does not discuss the
merits (§§ 0306(d)-(e)).
□ If GCMCA cannot effect redress granted, file forwarded to

SECNAV via officer who may effectuate redress (e.g., CNP) (§
0306(k)(3)).
□ Report to complainant in proper format, including complaint and

all enclosures and endorsements? (§ 0307(a)). Report must
discuss each allegation of wrong and conclude:
□ Whether procedural defects existed and whether they were
waived;
□ Whether the complaint(s) is proper;
□ If the allegation is proper, whether it has merit;
and,
□ If the allegation has merit, whether relief is
appropriate.
A-3-b
JAGINST 5800.7G
□ The report is in the format specified in appendix A-3-d or

A-3-e.
□ Report to SECNAV sent via OJAG (Code 13) for USN reports and
via Commandant of the Marine Corps (JCA) for USMC reports. (§
0307(d)).
______________________________
Signed by reviewing official
A-3-b
JAGINST 5800.7G
GCMCA Written Response to Complainant

Complaints Returned as Improper or Procedurally Defective
SSIC
Ser
Date
From: (General Courts-Martial Convening Authority)

To: (Complainant)
Subj: COMPLAINT OF WRONG UNDER (ARTICLE 138, UCMJ or Article

1150, U.S. NAVY REGULATIONS), BY (Rank/Rate) (Name)
(Service)
Ref: (a) (Article 138, UCMJ or Article 1150, U.S. Navy

Regulations)
Encl: (1) Original complaint with enclosures and endorsements
1. Per references (a) and (b), I reviewed enclosure (1) and

determined that the complaint is (improper or procedurally
defective) for the following reasons:
(a) – (x) (discuss each type of wrong under a separate letter

heading, explaining why improper or procedurally defective; do not
discuss the merits of the allegation(s))
2. My point of contact on this matter is (action officer).

He/she may be reached at (commercial telephone number) or DSN (DSN
number).
________________________________
(PERSONALLY SIGNED BY THE GCMCA
OR OFFICER ACTING IN SUCH CAPACITY)
Copy to:
Respondent
Any previous endorsers
[OJAG Code 13] or [HQMC, JAD (JCA)]
A-3-c
JAGINST 5800.7G
GCMCA Written Response to Complainant (GCMCA Action)
SSIC
Ser
Date
From: (General Courts-Martial Convening Authority)

To: (Complainant)
Subj: COMPLAINT OF WRONG UNDER (ARTICLE 138, UCMJ or Article

1150, U.S. NAVY REGULATIONS), BY (Rank/Rate) (Name)
(Service)
Ref: (a) (Article 138, UCMJ or Article 1150, U.S. Navy

Regulations)
Encl: (1) Original complaint with enclosures and endorsements

(2) Respondent’s response to complaint
(3) Inquiry or investigation (if any completed; all
enclosures should have been previously provided to
complainant)
(4) Miscellaneous correspondence (related documents,
reports, and investigations; ordered as appropriate)
1. Per references (a) and (b), enclosure (1) has been

investigated.
2. If any procedural defects, explain why they are being waived

and why the merits of the complaint are being addressed.
3. In enclosure (1), you made the following allegations for which

I have conducted an inquiry and concluded as follows based on
enclosures (2)-(?):
(a) - (x). (Specifically list each separate alleged wrong in a

separate subparagraph. If the alleged wrong is an improper subject
of a complaint of wrongs or procedurally defective, state the
reason (e.g. complaint about a general DON policy, which is
improper under section 0304(c)(3) of reference (b)), and do not
address the merits. If the alleged wrong is neither improper nor
defective or if the defect has been waived, address whether it has
merit, whether it warrants the relief requested or other relief,
and the rationale for the GCMCA's decision)
A-3-d
JAGINST 5800.7G
4. This action (was/was not) completed within 90 calendar days of

receipt as required by subsection 0306(h) of reference (b). (If
the GCMCA action is not completed within 90 calendar days of
receipt, the report must explain the delay.)
5. As required by subsection 0307 of reference (b), I have

forwarded a report of your complaint and the proceedings held
thereon to the Secretary of the Navy, who will act as the final
review authority in your case.
________________________________
Copy to:
Respondent (w/o encl)
Any previous endorsers (w/o encl)
A-3-d
JAGINST 5800.7G
GCMCA Report to SECNAV
SSIC
Ser
Date
From: [GCMCA]
To: Secretary of the Navy
Via: (1) [Any command requested to effect redress per JAGMAN
section 0306(m)(3)]
(2) Office of the Judge Advocate General (Code 13) OR
Commandant of the Marine Corps (JCA)
Subj: COMPLAINT OF WRONGS UNDER [ARTICLE 138, UCMJ] [ARTICLE

1150, U.S. NAVY REGULATIONS, 2019], BY [COMPLAINANT’S
RANK FIRST MI. LAST, USN/USMC]
Ref: (a) Article 138, UCMJ or Article 1150, U.S. Navy

Regulations, 2019
Encl: (1) [GCMCA’s written response to Complainant] (w/o encl)

(2) [Complaint] (w/ encl)
(3) [Respondent’s response] (w/ encl)
(4) [Intermediate endorsements on complaint, if
applicable] (w/ encl)
(5) [Any additional GCMCA inquiry or enclosure to GCMCA
action not included above, e.g., command
investigation] (w/ encl)
(6) GCMCA Checklist
[Identify enclosures in brackets in accordance with the

Correspondence Manual, SECNAV M-5216.5 CH-1]
1. In accordance with references (a) and (b), enclosures (1)

through (X) are forwarded for final review.
2. The subject complaint was filed on DD Month YYYY by

[Complainant] against [Respondent], who was the Complainant’s
[Commanding Officer/Title] at [Command]. The complaint alleged
[summarize all alleged wrongs in one sentence]. The
Complainant requested [summarize all requests for redress in
one sentence]. The Respondent provided a response on DD Month
YYYY.
A-3-e
JAGINST 5800.7G
3. [If applicable, describe any procedural issues addressed by

the GCMCA, e.g. incorrectly routed, delay beyond 90 days,
initially filed under incorrect authority.]
4. GCMCA Action. [Include a brief description of GCMCA action

on the complaint by selecting the applicable subparagraph(s)
below, omitting the bracketed language. If the complaint
included more than one alleged wrong or request for redress,
address each one in a separate subparagraph.]
a. The complaint was improper under section 0304(x) of

reference (b) with regard to alleged wrong or request for
redress [e.g. imposition of NJP] and was returned without
addressing the merits.
b. The complaint was procedurally defective under

section 0305(x) of reference (b) with regard to alleged wrong
or request for redress [e.g. alleged wrong by second
respondent] and was returned without addressing the merits.
c. The complaint was procedurally defective under

or request for redress [e.g. alleged wrong more than 90 days
before submitting complaint] but the defect was waived.
However, the complaint was without merit and so requested
redress was denied.
d. The complaint was procedurally defective under

or request for redress [e.g. alleged wrong not preceded by
request for redress] but the defect was waived and the
complaint had merit. Accordingly, I have directed the
requested redress be provided (identify method by with redress
will be effected).
e. The complaint was proper and not procedurally

defective with regard to alleged wrong or request for redress
[e.g. adverse fitness report or evaluation]. However, the
complaint was without merit and so requested redress was
denied.
f. The complaint was proper and not procedurally

defective and had merit with regard to alleged wrong or request
for redress [e.g. vacation of suspended NJP]. Accordingly, I
have directed the requested redress be provided [identify
A-3-e
JAGINST 5800.7G
method by with redress will be effected].
5. My point of contact on this matter is [identify POC].

He/She may be reached at (XXX) XXX-XXXX or by e-mail at
[official e-mail address].
________________________________
Copy to:
[Complainant] (w/o encl)
[Respondent] (w/o encl)
[Intermediate Endorsers] (w/o encl)
A-3-e
CHAPTER FOUR
ARTICLE 139 CLAIMS - REDRESS

OF DAMAGE TO PROPERTY
JAGINST 5800.7G
TABLE OF CONTENTS
0401 Scope
0402 Proper Claimants
0403 Claims Not Cognizable
0404 Limitation on Claims
a. Time limitations
b. Acts of property owner
c. Only direct physical damage considered
0405 Complaint by the Injured Party and Investigation
a. Contents of the claim

b. Claim submission
c. Actions by the command
d. Judge advocate review
0406 Action by the Commanding Officer and General Court Martial

Convening Authority (GCMCA)
a. GCMCA action required

b. Multiple offenders
c. GCMCA review
0407 Reconsideration
a. Original action by GCMCA

b. Original action by OJAG (Code 15) or SJA to the CMC
(JCA)
0408 Assessment of Pecuniary Liability
0409 Effect of Courts-Martial Proceedings
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JAGINST 5800.7G
0401 Scope
This chapter provides for assessments against the pay of members

of the naval service in satisfaction of claims for damage or
wrongful taking of privately-owned property under Article 139,
UCMJ. Under Article 139, UCMJ, pay may be assessed if the
damage, destruction, or loss is caused by willful, wrongful,
reckless, riotous, or disorderly conduct by the Service member.
Charges against pay under these regulations will be made only
against the pay of persons shown to have been principal offenders
or accessories.
0402 Proper Claimants
Proper claimants include any individual (whether civilian or

military), a business, charity, or a state or local government
that lawfully owns or possesses property.
0403 Claims Not Cognizable
The following claims are not cognizable under this chapter:
a. Claims resulting from simple negligence.
b. Claims of subrogees.
c. Claims for personal injury or death.
d. Claims arising from acts or omissions within the scope of

employment of the offender.
e. Claims for reimbursement for damage, loss, or destruction

of U.S. Government property.
f. Claims resulting from a breach of contractual or

fiduciary duty, such as nonpayment of rent.
0404 Limitation On Claims
a. Time limitations. A claim must be submitted within 90

days of the incident.
b. Acts of property owner. When the acts or omissions of

the property owner, his lessee, or agent were a proximate
contributing factor to the loss or damage of the property,
4-2
JAGINST 5800.7G
assessments will not be made against members of the naval service

in excess of the amount for which they are found to be directly
responsible, i.e., comparative responsibility for the loss will
be the standard for determining financial responsibility.
c. Only direct physical damage considered. Assessment will

be made only for direct physical damage to the property.
Consequential damages, such as loss of use, will not be
considered.
0405 Complaint by the Injured Party and Investigation
a. Contents of the claim. A claim must contain a statement

setting forth the amount of the claim, the facts and
circumstances surrounding the claim, and any other information
that will assist in the investigation and resolution of the
matter. When there is more than one complaint resulting from a
single incident, each claimant must file a claim separately and
individually. The claim must be personally signed by the
claimant or his duly authorized representative or agent.
b. Claim submission. A claim must be filed with the

commanding officer of the alleged offender.
c. Actions by the command. A commanding officer is

responsible for ensuring any complaint filed under this chapter
is promptly investigated and adjudicated. Where a complaint is
received by a commanding officer to whose command the alleged
offender does not report, that officer must forward the claim and
other pertinent information about the matter to the alleged
offender’s commanding officer. Where the command of the alleged
offender cannot be determined, the claim and supporting materials
must be forwarded to the Chief of Naval Personnel or the Deputy
Commandant for Manpower and Reserve Affairs, as appropriate, for
action.
(1) Upon receipt of the claim, the commanding officer

must provide notice to the alleged offender of the basic
allegations in the claim. If at any time during the processing
of the claim, the alleged offender voluntarily elects to make
restitution, this matter may be closed.
(2) The commanding officer must convene an investigation

under Chapter Two to inquire into the circumstances surrounding
the claim.
4-3
JAGINST 5800.7G
(a) The investigation must gather all relevant

information about the matter, answering the who, what, where,
when, why, and how questions, and make findings and opinions, as
appropriate, about the validity of the claim under Article 139,
UCMJ, and these regulations.
(b) The investigation must determine the amount of

damage suffered by the property owner. The standard of proof for
a finding of pecuniary liability and for the amount to be
assessed under Article 139, UCMJ, is preponderance of the
evidence. See section 0207 for an explanation of the various
standards of proof.
(c) The investigation must make recommendations about

the amount to be assessed against the pay of the responsible
parties. If more than one person is found responsible,
recommendations must be made about the assessments against each
individual.
(d) Where a recommendation of pecuniary liability is

made, the investigating officer will forward a copy of the
investigation to the identified responsible member. The member
will be advised that he or she has five working days to submit a
statement or additional information about the incident.
(e) Upon receipt of comments from the member or the

expiration of the comment period, the investigating officer must
forward the investigation to the staff judge advocate of the
command that convened the investigation. This assistance may
also be provided by the Region Legal Service Office (RLSO) or
Legal Services Support Section (LSSS) servicing that area or
command. Commands without a staff judge advocate assigned should
request assistance from the cognizant RLSO or LSSS, the next
superior command with a staff judge advocate, or the nearest
command with a staff judge advocate or any judge advocate
assigned.
d. Judge advocate review. The judge advocate must examine

whether the evidence supports the findings and if the
investigation’s recommendations are consistent with the
findings. If necessary, the report may be returned to the
investigating officer for further investigation. Once satisfied
the report is complete, the judge advocate will forward the
investigation and his or her review to the commanding officer.
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JAGINST 5800.7G
0406 Action by the Commanding Officer and General Court Martial

Convening Authority (GCMCA)
a. GCMCA action required. If the commanding officer is not

a GCMCA, the claim, the investigative report, the offender’s
statement (if any), and the commanding officer’s recommendations
thereon must be forwarded to the GCMCA over the command for
review and action on the claim.
b. Multiple offenders. Where a claim involves multiple

offenders that are members of different commands:
(1) Action by common superior. The investigative report

must be forwarded to the common superior GCMCA over the commands
to which the alleged offenders are assigned.
(2) Forwarding to OJAG (Code 15) or SJA to the CMC (JCA).

Where it is not practical or possible to forward the
investigation to a common superior GCMCA, the investigative
report will be forwarded to OJAG (Code 15) or the SJA to the CMC
(JCA), who will take action on the matter, as appropriate. In
such a situation, commanding officers are not to make charges
against the pay of their members until directed by OJAG (Code 15)
or the SJA to the CMC (JCA), as appropriate.
c. GCMCA review. The GCMCA will review the entire claim

file and determine whether the claim is properly within the
provisions of Article 139, UCMJ, and these regulations, and
whether the facts indicate responsibility for the damage by
members of the command.
(1) If the GCMCA finds the claim payable under these

regulations, he or she must determine the amount to be assessed
against the member.
(2) If the GCMCA determines that a member should be

charged an amount in excess of $5,000, the GCMCA will forward
the entire claim file to OJAG (Code 15), or the SJA to the CMC
(JCA), as appropriate, for review. After review, OJAG (Code 15)
or the SJA to the CMC (JCA) will return the claim file to the
GCMCA for action.
(3) After the claim has been fully reviewed by the

GCMCA, and OJAG (Code 15) or the SJA to the CMC (JCA) if
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JAGINST 5800.7G
required, and a final determination has been made, the GCMCA

must promptly notify the claimant and member of the proposed
action to be taken on the claim and inform both of the right to
request reconsideration under section 0407.
0407 Reconsideration
a. Original action by GCMCA. Either a claimant or a member

who has been assessed pecuniary liability may request
reconsideration of the decision. In the event of a request for
reconsideration by the member, no action will be taken to assess
pecuniary liability until OJAG (Code 15) or the SJA to the CMC
(JCA), as appropriate, has made a final decision on the
reconsideration request.
(1) A request for reconsideration must be submitted to

the GCMCA that took initial action within five working days of
receipt of the GCMCA’s decision. However, if it appears that
good cause exists that would make it impractical for a request
to be submitted within five days, the GCMCA may, in his
discretion, grant an extension of time. The GCMCA’s decision on
extensions is final.
(2) Upon receipt of a request for reconsideration, the

GCMCA may reopen the investigation or take any other action that
the GCMCA believes is necessary in the interests of justice. If
the GCMCA contemplates modifying the decision, the GCMCA will
provide all parties to the claim with notice and a reasonable
opportunity to respond.
(3) The GCMCA will forward the claim for review and
final action to The Office of the Judge Advocate General (OJAG),
Claims and Tort Litigation (Code 15), 1322 Patterson Avenue, SE,
Suite 3000, Washington Navy Yard, DC 20374-5066; or The Judge
Advocate Division, Commandant of the Marine Corps Headquarters,
U.S. Marine Corps (JCA), 3000 Marine Corps Pentagon, Room 4D558,
Washington, DC 20350-3000; as appropriate. The GCMCA’s
endorsement will state the claimant’s name, the offender’s name,
the convening authority, the amount assessed, and the original
determination, as well as the GCMCA’s recommendation for action
to be taken on the request for reconsideration. All documents,
including the claim, the investigative report, and the judge
advocate review, will be included in the materials forwarded.
The GCMCA must notify the parties that the claim has been
forwarded to the SJA to the CMC (JCA) or OJAG (Code 15), as
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JAGINST 5800.7G
appropriate, for review and final action.
b. Original action by OJAG (Code 15) or SJA to the CMC

(JCA). A claimant or member who has been assessed pecuniary
liability by OJAG (Code 15) or the SJA to the CMC (JCA), under
subsection 0406(b)(2), may submit a request for reconsideration
of the decision to OJAG (Code 15) or the SJA to the CMC (JCA),
as appropriate, within five working days of receipt of the
original decision.
0408 Assessment of Pecuniary Liability
a. Pecuniary liability will not be assessed under section

0408 until the Service member has been provided an opportunity to
request reconsideration and final action has been taken on any
such request.
b. If the GCMCA is not the member’s commanding officer, the

GCMCA must direct the commanding officer to implement the charge
against pay.
c. The commanding officer will order that the charged

amount be collected from the member’s pay as provided in the DoD
Financial Management Regulation. The amount collected will then
be paid to the claimant.
d. The amount charged in any single month against the pay of

the member will not exceed one-half of basic pay, as defined in
R.C.M. 1003(b)(2).
e. The action of the commanding officer in ordering the

assessment will be conclusive on any disbursing officer for
payment to the claimant of the damages assessed, approved,
charged, and collected.
0409 Effect of Courts-Martial Proceedings
Administrative action under these regulations is separate and

distinct from, and is not affected by, any disciplinary action
against the offender. The two proceedings are independent. The
processing of the claim under Article 139, UCMJ, will not be
delayed solely for the resolution of a pending court-martial.
While acquittal or conviction of the alleged offender by
court-martial is evidence for the administrative action, it is
not determinative on the issue of responsibility for damages
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JAGINST 5800.7G
under these regulations. The GCMCA may, in the interest of

justice, consider a request for reconsideration based upon the
outcome of the court-martial submitted by a claimant or Service
member who has been assessed pecuniary liability.
4-8
CHAPTER SIX
DELIVERY OF SERVICE MEMBERS,

CIVILIANS, AND DEPENDENTS;
SERVICE OF PROCESS AND SUBPOENAS;
STATE TAX AND REGULATORY AUTHORITY
JAGINST 5800.7G
TABLE OF CONTENTS
0601 Scope
0602 Authority of the JAG and the General Counsel (GC)
a. Authority of the JAG

b. Authority of the GC
c. Points of contact
d. Coordination with the Marine Corps
Part A — Delivery of Personnel
0603 Delivery of Persons Requested by State Authorities in

Criminal Cases
a. Delivery under Article 14, UCMJ

b. Considerations when delivery is to state authorities
0604 Delivery When Persons are Within Territorial Limits of

the Requesting State
0605 Delivery When Persons are Beyond Territorial Limits of

a. General
b. Waiver of extradition
c. Fugitive warrants
0606 Delivery When Persons are Stationed Outside the United

States
0607 Order to Return
0608 Delivery of Persons to Federal Authorities
a. Authority to deliver
b. Service members located overseas
0609 Delivery of Persons to Foreign Authorities
0610 Circumstances in Which Delivery Is Refused
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JAGINST 5800.7G
a. When delivery may be refused

b. Reports required
0611 Service Members Released by Civil Authorities on Bail or

on Their Own Recognizance
0612 Interviewing Service Members or Civilian Employees by

Federal Civilian Investigative Agencies
0613 Request for Delivery of Service Members Serving Sentence

of Court-Martial
a. General
b. Interstate Agreement on Detainers Act
c. Article 14, UCMJ
d. Forms
0614 Request for Delivery of Service Members Serving Sentence

of a State Court
a. General
b. Interstate Agreement on Detainers Act
Part B — Service of Process and Subpoenas upon Personnel
0615 Service of Process upon Personnel
a. Service of process of federal or state courts arising

from unofficial acts
b. Service of process arising from official duties
c. Service of process of foreign courts
d. Leave or liberty to be granted persons served with
process
e. Report where service not allowed
0616 Requests for Government Information and Government

Witnesses by State and Federal Courts
0617 Repossession of Personal Property
Part C — Liaison with the Department of Justice (DOJ)
0618 Litigation Reports and Pleadings
0619 Liaison with the U.S. Attorney and Other Officials of the
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JAGINST 5800.7G
DOJ, Including Officials of the U.S. Marshals Service
Part D — Misdemeanors Committed on Navy and Marine Corps

Installations
0620 General
0621 Prosecution before Federal Magistrates
a. Responsibility of the DOJ

b. Designation of Navy and Marine Corps officers to
conduct prosecutions
Part E — Appearances by Judge Advocates in Civil Court or Civil

Administrative Proceedings
0622 Practice of Law on Behalf of Service Members in Civilian

Proceedings
Part F — State Tax and Regulatory Authority
0623 Background
0624 State Regulation of Federal Functions, Including Sales
a. Application of state law

b. Federal immunity
c. Private individuals
d. Demands for compliance
0625 State and Local Taxation of On-Base Sales
0626 State and Local Taxes, Including Hotel Taxes, and the
Federal Traveler
0627 Liability of Service Members and Dependents for State and

Local Taxes
a. General
b. Income taxes
c. Personal property taxes and vehicle registration
d. Assistance
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JAGINST 5800.7G
APPENDICES
a. Waiver of Extradition
b. Order to Return
c. Delivery Refusal Notification Letter
d. DON Litigation Points of Contact
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JAGINST 5800.7G
0601 Scope
This chapter provides direction and guidance for various

situations where civilian authorities ask a military commander
to provide or, at a minimum, permit the taking of personnel,
property, or records from a military installation. Part A deals
with requests by authorities for the surrender of Service
members or civilians pursuant to arrest warrants or similar
process, usually in connection with a criminal prosecution.
Parts B and C provide procedures for responding to civil
litigation matters, whether or not the DON is a party. Part D
provides guidance for dealing with the DOJ in criminal and civil
prosecutions. Part E discusses the appearance of judge
advocates in civilian proceedings. Finally, Part F provides
guidance on state attempts to tax or regulate activities or
personnel aboard military installations.
0602 Authority of the JAG and the General Counsel (GC)
a. Authority of the JAG. The JAG, the Deputy Judge

Advocate General (DJAG), the Assistant Judge Advocates General
(AJAG), and the Deputy Assistant Judge Advocate General
(DAJAG)(General Litigation)/Division Director (DivDir), General
Litigation Division (Code 14) are authorized to act for the
Secretary of the Navy (SECNAV) in the performance of functions
under this chapter. Authority is delegated to the DAJAG/DivDir
of the specified division within OJAG to act on the specific
sections noted:
(1) National Security Law (Code 10) - section 0609;
(2) Claims and Tort Litigation (Code 15) - sections 0615

through 0617; and
(3) Admiralty (Code 11) - sections 0615 through 0617 (as

the matters pertain to admiralty).
b. Authority of the General Counsel (GC). The authority of

the GC of the Navy is prescribed by federal regulation, 32
C.F.R. § 700.327, and by applicable departmental instructions,
e.g., SECNAVINST 5430.25 (series). The principal areas of
responsibility of the Office of the General Counsel (OGC) are
commercial law, including maritime contract matters (e.g.,
contracts for the repair and alteration of Naval vessels);
civilian personnel law; real property law; and Freedom of
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JAGINST 5800.7G
Information Act and Privacy Act matters as delineated in

SECNAVINST 5720.42 (series). The OGC shares responsibility with
the JAG on the matters addressed in this chapter that pertain to
civilian personnel and both can provide advice on them as
necessary. Coordination will often be required as contemplated
by the regulations cited in this section.
c. Points of contact. Commanding officers should seek

advice from their judge advocates in referring matters to the
appropriate office of the JAG or GC. Appendix A-6-d sets out
the litigation points of contact for the OJAG and OGC.
d. Coordination within the Marine Corps. The SJA to the

CMC (JCA) will be advised of all matters referred to the JAG
relating to Navy and Marine Corps personnel and information
located at Marine Corps commands. Counsel to the CMC (CL) will
be advised of matters referred to OGC related to Navy and Marine
Corps personnel and information located at Marine Corps
commands. This includes providing copies of all correspondence
and documents. Appendix A-6-d sets out litigation points of
contact for the Marine Corps.
Part A — Delivery of Personnel
0603 Delivery of Persons Requested by State Authorities in

Criminal Cases
a. Delivery under Article 14, UCMJ. It is the policy of

DON to cooperate with state authorities unless the best
interests of the Navy or Marine Corps will be prejudiced. See
subsection 0603(b) below and section 0610. Navy and Marine
Corps commanders will assist in the expeditious delivery of a
Service member, civilian employee, civilian contractor and his
or her employee, or a dependent when state authorities present
proper credentials and legally sufficient documentation.
Examples of legally sufficient documentation include
indictment, warrant for arrest, contempt order, show cause
order, or court order with sufficient information to identify
the member, civilian employee, civilian contractor and his or
her employee, or the dependent.
b. Considerations when delivery is to state authorities.

Responding to a state authority’s request for delivery of a
Service member involves a balancing the federal interest in
preserving sovereign immunity and the productivity, peace, good
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JAGINST 5800.7G
order, security, and discipline of the installation, against

the right of the state to exercise its jurisdiction. By
regulation, Navy and Marine Corps authorities are limited in
the extent to which they can directly assist such an act.
Commands should respond to such requests in the manner set
forth in this chapter, generally using the minimum authority
necessary to preserve the federal interests without unduly
restricting state jurisdiction. For purposes of this chapter,
"state" includes the District of Columbia, territories,
commonwealths, and all possessions or protectorates of the
United States.
0604 Delivery When Persons are Within Territorial Limits of

a. When state authorities request the delivery of any

person for an offense punishable under the laws of that
jurisdiction, and such person is located at a Navy or Marine
Corps installation within the requesting jurisdiction, or
aboard a vessel within the waters subject to the state’s
jurisdiction, commanding officers are authorized to, and
normally will, deliver such person when state authorities
present proper credentials and legally sufficient
documentation. Additionally, the Navy Region Commander, or the
equivalent Echelon II Marine Corps Commander may, after
coordination with the OJAG (Code 14), issue guidance
authorizing local commanders to deliver any such persons to
state authorities who are acting without a warrant under
conditions in which state law permits warrantless arrest.
b. Before the delivery to state authorities of a Service

member of the Navy or Marine Corps, the member’s commanding
officer, or designee, will provide the member with a written
order in accordance with section 0607. Delivery will only be
effected upon compliance with section 0607, subject to the
exceptions in section 0610 or, when state authorities are
acting without a warrant, subject to any additional exceptions
prescribed by the member’s commanding officer. A Navy or
Marine Corps judge advocate should be consulted before delivery
is effected.
c. Before the delivery to state authorities of a civilian

employee, civilian contractor and his or her employee, or a
dependent located on a Navy or Marine Corps installation, the
cognizant commanding officer should consult with a Navy or
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JAGINST 5800.7G
Marine Corps judge advocate or Navy OGC attorney.
d. Commands should normally not become actively involved

in civilian law enforcement. See SECNAVINST 5820.7 (series).
When a command determines that a person may be delivered to
state authorities in response to a valid warrant, the following
guidance applies.
(1) If the person to be delivered is a Service member,

the member may be ordered to report to a location designated by
the commanding officer (e.g., to the base legal office) and
surrendered to state authorities under Article 14, UCMJ.
(2) If the person to be delivered is a civilian, the

person may be invited to report to the designated space for
delivery. If the civilian refuses, then the state authorities
may be escorted to a place where the civilian is located in
order that delivery may be effected. A civilian may be
directed to leave a secure area.
(3) Delivery should be effected with minimum

interference to good order and discipline.
0605 Delivery When Persons are Beyond Territorial Limits of

a. General. When state authorities request delivery of any

Service member of the Navy or Marine Corps for an alleged crime
or offense punishable under the law of the jurisdiction making
the request, and such member is not attached to a Navy or Marine
Corps activity or vessel within the requesting state’s
juridisction, the following action will be taken.
(1) Any officer exercising general courts-martial

jurisdiction, or officer designated by him or her, or any
commanding officer, after consultation with a Navy or Marine
Corps judge advocate, is authorized, upon compliance with the
provisions of section 0605 and section 0607, and subject to the
exceptions in section 0610, to deliver the Service member to the
appropriate state authority. The Service member may be
delivered upon formal waiver of extradition or in accordance
with subsection 0605(b), or upon presentation of a fugitive
warrant, in which case the procedures of subsection 0605(c)
apply.
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JAGINST 5800.7G
(2) Any officer exercising general courts-martial

jurisdiction, or officer designated by him or her, or any
commanding officer, after consultation with a Navy or Marine
Corps judge advocate or Navy OGC attorney, is authorized to
deliver a civilian employee, civilian contractor and his or her
employee, or a dependent located on a Navy or Marine Corps
installation to the appropriate state authority.
b. Waiver of extradition.
(1) Any Service member may waive extradition. The

waiver must be in writing and be witnessed. It must include a
statement that the member signing it has received the counsel
of either a military or civilian attorney before executing the
waiver, and it must further set forth the name and address of
the attorney consulted. The form for waiver should be
substantially the same as that in Appendix A-6-a.
(2) In every case where there is any doubt as to the

voluntary nature of a waiver, such doubt will be resolved
against its use and all persons concerned will be advised to
comply with the procedures set forth in subsection 0605(c)
below.
(3) Executed copies of any waiver of extradition must be

mailed to OJAG (Code 14) after its execution.
(4) When a Service member declines to waive extradition,

the nearest Region Legal Service Office (RLSO) or Marine Corps
staff judge advocate must be informed and will confer with the
state authorities. Unless a fugitive warrant is obtained as set
forth in subsection 0605(c), the Service member concerned will
not be transferred or ordered out of the state in which he or
she is then located without the permission of the SECNAV or the
SECNAV’s designee.
c. Fugitive warrants.
(1) A fugitive warrant, as used in this chapter, is a

warrant issued by a state court of competent jurisdiction for
the arrest of a Service member. Normally, a state requesting
delivery of a Service member from another state will issue a
fugitive warrant to the state where the member is then located;
however, some states permit the state in which the Service
member is located to issue a fugitive warrant. Before assisting
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JAGINST 5800.7G
in the delivery of any Service member, commanding officers must

verify that arresting authorities have complied with applicable
state law.
(2) Upon issuance of a fugitive warrant by the

requesting state to the state in which the Service member is
located, the latter state will normally request delivery of the
member to local state authorities. Delivery to local state
authorities should be arranged by Navy or Marine Corps officers
designated in subsection 0605(a)(1), upon compliance with the
provisions of section 0607, and subject to the requirements of
subsection 0605(c)(3) and section 0610.
(3) Upon receipt of a request for delivery of a Service

member under a fugitive warrant to state authorities, if the
member voluntarily waives extradition, then subsection 0605(b)
applies. If the Service member is delivered to state
authorities but refuses to waive extradition, then he or she
will have the opportunity to contest extradition in the courts
of the state in which he or she is located.
0606 Delivery When Persons Are Stationed Outside the United

States
If delivery of any Service member in the Navy or Marine Corps,

or any civilian employee or dependent, is desired for trial by
state or other non-federal U.S. authorities and the individual
whose presence is sought is located outside the United States,
then the cognizant commanding officer will comply with DoD
Instruction 5525.09, Compliance of DoD Members, Employees and
Family Members Outside the United States with Court Orders, as
implemented in SECNAVINST 5820.9 (series), Compliance with
Court Orders by DON Members, Employees, and Family Members
Outside the United States. In all such cases, the nearest Navy
or Marine Corps judge advocate, or Navy OGC attorney, as
appropriate, must be consulted before any action is taken.
0607 Order to Return
a. Issuance of Order to Return. Any Service member of the

Navy or Marine Corps taken into custody by federal or state
authorities has a duty to return to his or her parent
organization upon release. When delivery of a Service member to
civilian authorities is authorized, the member’s commanding
officer, or designee, will provide the member with a written
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JAGINST 5800.7G
order that generally conforms to Appendix A-6-b, a copy of which

will be provided to civilian authorities. If the Service member
is not sooner discharged from naval service, the member’s
command should coordinate with civilian authorities, as
appropriate and necessary, to ensure the member’s return and
compliance with the requirements stated in the order to return.
This section does not apply to civilians.
b. Delivery under Interstate Agreement on Detainers Act.

Special forms, not contained in this Manual, are used when
delivering prisoners under the Interstate Agreement on
Detainers Act. The Act is infrequently used and most requests
are pursuant to Article 14, UCMJ. See sections 0613 through
0615 for a detailed discussion of the Interstate Agreement on
Detainers Act. Those with further questions regarding delivery
under this paragraph should be directed to OJAG (Code 14).
0608 Delivery of Persons to Federal Authorities
a. Authority to deliver. When federal law enforcement

authorities display proper credentials and legally sufficient
federal warrants for the arrest of Service members, civilian
employees, civilian contractors and their employees, or
dependents residing at or located on a DON installation,
commanding officers can and should allow the arrest of the
individual sought, unless the exceptions in section 0610 apply.
A Navy or Marine Corps judge advocate, or Navy OGC attorney, as
appropriate, should be consulted before delivery is effected.
Though not required when released to federal authorities, an
arrested Service member should, if appropriate, be issued an
order to return as set forth in section 0607.
b. Service members located overseas. When the DOJ requires

a Service member of the Navy or Marine Corps to appear at a
trial in a federal court, DOJ must make an appropriate
notification to the JAG, or his or her representative. Upon
receipt of this notification, the DON will, at its own expense,
return the Service member to the United States and hold the
member at a military facility convenient to both the DON and
DOJ. Delivery may be accomplished subject to the exceptions in
section 0610.
0609 Delivery of Persons to Foreign Authorities
Except when provided by agreement between the United States and
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JAGINST 5800.7G
the foreign government concerned, commanding officers are not

authorized to deliver Service members or civilian employees of
the DON, or their dependents residing at or located on a DON
installation, to foreign authorities. Detailed information
concerning the delivery of Service members, civilian employees,
and dependents to foreign authorities when a status of forces
agreement is in effect is contained in DoD Directive 5525.1 and
SECNAVINST 5820.4 (series). When a request for delivery of
these persons is received in a country with which the United
States has no agreement or when the commanding officer is in
doubt, advice must be sought from OJAG (Code 10) or Navy OGC, as
appropriate.
0610 Circumstances in Which Delivery is Refused
a. When delivery may be refused. Delivery may be refused

only in the following limited circumstances:
(1) Where the accused has been retained for prosecution

as set forth in section 0125 of this manual;
(2) When disciplinary proceedings involving military

offenses are pending and after consultation with a judge
advocate of the Navy or Marine Corps;
(3) For delivery to foreign authorities, when not

required under any applicable international agreement; or
(4) When the commanding officer determines that

extraordinary circumstances exist which indicate that delivery
should be refused. A Navy or Marine Corps judge advocate should
be consulted before delivery is refused on this basis.
b. Reports required. When delivery will be refused, the

commanding officer must report the circumstances to OJAG (Code
14) by telephone, record message traffic, or e-mail. The
initial report must be confirmed by letter setting forth a full
statement of the facts (see Appendix A-6-c). A copy of the
report must be forwarded to the cognizant Navy Region Commander
or equivalent echelon II Marine Corps Commander.
0611 Service Members Released by Civil Authorities on Bail or

on Their Own Recognizance
A Service member of the Navy or Marine Corps arrested by
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JAGINST 5800.7G
foreign, federal, or state authorities and released on bail or

on his or her own recognizance has a personal duty to return to
his or her parent command. Accordingly, when a Service member
is released by foreign, federal, or state authorities and
returns to his or her ship or station, the commanding officer,
after considering the charges, date of trial, and approximate
length of time that should be covered by the member’s absence,
must grant liberty or leave to permit appearance for trial,
unless this would have a serious negative effect on the command.
In the event that liberty or leave is not granted, a Navy or
Marine Corps judge advocate should immediately be requested to
act as liaison with the court. Nothing in this section is to be
construed as permitting the Service member arrested and released
to avoid the obligations of bond or recognizance by reason of
military service. Service members must be advised that, in the
event the member is ordered not to leave the jurisdiction of the
court, the member must immediately contact his or her command
and request further instructions. The command may make
arrangements for the Service member to remain in the court's
jurisdiction through no-cost temporary duty to the nearest Naval
vessel, activity, or installation. If temporary duty
arrangements are impractical, or if it appears that the matter
cannot be resolved in 30 days, the Service member's command must
seek guidance and assistance from the Navy Personnel Command or
from Headquarters Marine Corps.
0612 Interviewing Service Members or Civilian Employees by

Federal Civilian Investigative Agencies
Requests by the Federal Bureau of Investigation, Naval Criminal

Investigative Service, or other federal civilian investigative
agencies to interview Service members, civilian employees,
civilian contractors or their employees, or dependents
suspected or accused of crimes should be promptly honored. Any
refusal of such a request must be immediately reported to OJAG
(Code 14) or Navy OGC, as appropriate, by telephone, record
message traffic, or e-mail. When the employee in question is a
member of an exclusive bargaining unit, the command must
consult with a Navy OGC attorney to determine whether the
employee has a right to have a bargaining unit representative
present during the interview.
0613 Request For Delivery of Service Members Serving Sentence

of Court-Martial
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JAGINST 5800.7G
a. General. Article 14, UCMJ, provides authority to honor

requests for delivery of Service members serving a sentence of a
court-martial. Although seldom utilized, additional authority
and mandatory obligation to deliver such members are provided by
the Interstate Agreement on Detainers Act (IADA), 18 U.S.C.
Appendix §§ 1-9, which applies to the federal agency holding the
prisoner. The DON, as an agency of the Federal Government, must
comply with the IADA. It is designed to avoid speedy-trial
issues and to aid in rehabilitation efforts by securing a
greater degree of certainty about a prisoner's future. The IADA
provides a way for a prisoner to be tried on charges pending
before state courts, either at the request of the state where
the charges are pending or the prisoner's request. When refusal
of delivery is intended, comply with subsection 0610(b).
b. Interstate Agreement on Detainers Act. Upon request

under the IADA by either state authorities or the prisoner, the
cognizant Navy or Marine Corps staff judge advocate, as
appropriate, must communicate with the appropriate state
officials, and monitor and ensure that the cognizant commanding
officer acts on all such requests. The IADA provides that
courts-martial sentences continue to run during temporary
custody. The IADA does not apply to requests between federal
authorities. Intra-federal requests use the procedures set
forth below in subsection 0613(c).
(1) State request. State officials may request delivery

of prisoners in military custody under section 2, Article IV of
the IADA. Where (1) a state detainer (a summons or writ
authorizing detention) has been lodged against the prisoner, and
(2) the prisoner is serving a sentence, regardless of whether an
appeal is in process, delivery is mandatory unless the request
is disapproved by the cognizant commanding officer of the
prisoner.
(2) Prisoner request. The obligation to grant temporary

custody under the IADA also applies to a prisoner’s request to
be delivered to state authority. Section 2, Article III(c) of
the IADA requires the custodial official to inform the prisoner
of the existence of any detainer and of the prisoner's right to
request disposition. The prisoner's request is directed to the
custodial official who must forward it to the appropriate
prosecuting official and court with a certificate of prisoner
status as provided by Article III of the IADA.
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c. Article 14, UCMJ. When a request for custody does not

invoke the IADA, delivery of custody will be governed by Article
14, UCMJ, and sections 0603 through 0610 of this Manual.
Commanding officers will honor the request unless, in the
exercise of discretion, he or she determines there is an
overriding reason for retaining the accused in military custody
(e.g., additional courts-martial are to be convened or the
delivery would severely prejudice the prisoner's appellate
rights). Unlike delivery under the IADA, delivery of custody
pursuant to Article 14, UCMJ, interrupts execution of the court-
martial sentence. After consultation with OJAG (Code 14) or SJA
to the CMC (JCA), as appropriate, the delivering command will
execute an agreement with state authorities that addresses the
delivery and return of the member, associated costs, and
responsibilities.
d. Forms. The form in Appendix A-6-c with appropriate

modifications should be utilized in reporting refusal of
delivery of prisoners.
0614 Request For Delivery of Service Members Serving Sentence

of a State Court
a. General. Ordinarily, Service members serving sentences

of six months or more resulting from a state criminal conviction
will be processed for administrative discharge by reason of
misconduct. See MILPERSMAN 1910-144; MARCORSEPMAN paragraph
6210.7. It may, however, be in the best interest of the Naval
Service to retain a member charged with a serious offense,
subject to military jurisdiction, to try the member by court-
martial. The Navy or Marine Corps may obtain temporary custody
of incarcerated members for prosecution with a request to the
state under the IADA. The DON may use the IADA in the same
manner in which state authorities may request members pursuant
to section 0613.
b. Interstate Agreement on Detainers Act. Military

authorities may use the IADA to obtain temporary custody of a
Service member incarcerated in a state institution, pursuant to
conviction by a state court, to resolve criminal charges against
the member before a court-martial.
(1) Detainer. If a command requests temporary custody

under the IADA, the commanding officer of the cognizant RLSO or
the Marine Corps staff judge advocate must file a detainer with
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the warden, commissioner of corrections, or other state official

having custody of the Service member. The detainer must
identify the Service member with particularity, enumerate the
military charges pending, and request the command be notified in
advance of any intention to release the member from confinement.
(2) Request for delivery. As soon as practical after

filing the detainer, the commanding officer of the cognizant
RLSO or the Marine Corps staff judge advocate, must prepare a
written request for temporary custody of the Service member
addressed to the state official charged with administration of
the state penal system. The request must designate the person
to whom the Service member is to be delivered and must be
transmitted via the military judge to whom the member's case has
been assigned. If the request is properly prepared, the
military judge must approve, record, and transmit the request to
the addressee official. The IADA provides the state with a 30-
day period after receipt of the request before the request is to
be honored. Within that period of time, the governor of the
state may disapprove the request, either unilaterally or upon
the prisoner's request. If the governor disapproves the
request, the command should coordinate any further action with
OJAG (Code 14).
(3) Responsibilities. The cognizant command must ensure

that the responsibilities of a receiving jurisdiction,
delineated in section 2, Article IV of the IADA, are discharged.
In particular, the receiving jurisdiction must:
(a) Commence the prisoner's trial within 120 days of

the prisoner's arrival, unless the court, for good cause shown
during an Article 39(a), UCMJ, session, grants a continuance
necessary or reasonable to promote the ends of justice;
(b) Hold the prisoner in a suitable jail or other

facility regularly used for persons awaiting prosecution, except
for periods during which the prisoner attends court or travels
to or from any place at which his or her presence may be
required;
(c) Return the prisoner to the sending jurisdiction

at the earliest practical time, but not before the charges that
underlie the request have been resolved because prematurely
returning the prisoner may result in dismissal of the charges;
and
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(d) Pay all costs of transporting, caring for,

keeping, and returning the prisoner to the sending jurisdiction,
unless the command and the state agree on some other allocation
of the costs or responsibilities.
Part B — Service of Process and Subpoenas Upon Personnel
0615 Service of Process Upon Personnel
a. Service of process of federal or state courts arising

from personal acts
(1) General. Commanding officers afloat and ashore may

permit service of civil process of federal or state courts upon
Service members, civilian employees, civilian contractors or
their employees, or dependents residing at or located on a Naval
installation, if such persons are located within their commands.
Service will not be made within the command without the
commanding officer's consent. The intent of this provision is
to protect against interference with mission accomplishment, to
maintain security, and to preserve good order and discipline,
while not unnecessarily impeding the court's work. Where
practical, the commanding officer will require that the process
be served in his or her presence, or in the presence of a
designated officer. In all cases, individuals will be advised
to seek legal counsel, either from a legal assistance attorney
or civilian counsel for service in personal matters, or from an
appropriate U.S. Government counsel for service in official
matters. The commanding officer is not authorized to act as a
process server. The action required depends in part on the
status of the individual requested and which state issued the
process.
(2) In-state process. When a process server or law

enforcement officer, such as a deputy sheriff, with civil
process originating from a state or federal court from the
jurisdiction where the Naval installation is located requests
permission to serve process aboard that installation, the
command ordinarily should not prevent service of process so long
as delivery is made in accordance with reasonable command
regulations and is consistent with maintaining security, and
good order and discipline. Withholding service may be justified
only in the rare case when the individual sought is located in
an area under exclusive federal jurisdiction not subject to any
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reservation by the state of the right to serve process.

Questions on the extent of jurisdiction should be referred to
the staff judge advocate, command counsel, or local RLSO. If
service is permitted, an appropriate location should be
designated, for example, the command legal office, where the
process server and the member or employee can meet privately in
order that process may be served away from the workplace. A
Service member may be directed to report to the designated
location. A civilian employee, contractor, or dependent may be
invited to the designated location. If the civilian does not
cooperate, the process server may be escorted to the location of
the civilian in order that process may be served. A civilian
employee or contractor may be required to leave a secure area in
order that the process server may have access to him or her. If
unusual circumstances require that the command not permit
service, see subsection 0615(e).
(3) Out-of-state process. In those cases where the

process is to be served by authority of a jurisdiction other
than that where the command is located, the person named is not
required to accept process. The same is true regardless of
whether the process server or law enforcement official is from
within the state or out-of-state, since the jurisdiction of the
issuing court determines whether the person is required to
accept process or not. Accordingly, the process server acting
pursuant to out-of-state jurisdiction need not be brought face-
to-face with the person named in the process. Rather, the
process server should report to the designated command location
while the person named is contacted, apprised of the situation,
and advised that he or she may accept service, but also may
refuse. In the event that the person named refuses service, the
process server should be so notified. If service of process is
attempted from out-of-state by mail and refused, the refusal
should be noted and the documents returned to the sender.
Questions should be referred to the staff judge advocate,
command counsel, or the local RLSO.
b. Service of process arising from official duties.
(1) Any member or civilian employee served with federal

or state court civil or criminal process or pleadings, including
traffic tickets, arising from actions performed in the course of
official duties must immediately deliver all such process and
pleadings to the commanding officer. The commanding officer
must ascertain the pertinent facts and notify OJAG (Code 11,
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Code 14, or Code 15, as appropriate), or Associate General

Counsel (Naval Litigation Office) (AGC NLO), and by the most
expeditious means possible forward the pleadings and process to
the relevant office. Points of contact are listed in Appendix
A-6-d.
(2) OJAG (Code 11, Code 14, or Code 15), or AGC NLO, as
appropriate, will advise the Service member or civilian employee
of the right to remove civil or criminal proceedings from state
to federal court under 28 U.S.C. §§ 1442-1442a, rights under the
Federal Employees Liability Reform and Tort Compensation Act (28
U.S.C. § 2679), if applicable, and the right of a federal
employee to request representation by DOJ attorneys in federal
(civil) or state (civil or criminal) proceedings and in
congressional proceedings in which that person is sued in an
individual capacity, as delineated in 28 C.F.R. § 50.15.
Requests for representation must be addressed to OJAG (Code 14),
OJAG (Code 15), or AGC NLO, as appropriate per Appendix A-6-d,
and must be endorsed by the commanding officer, who will provide
all necessary data relating to the questions of whether the
person was acting within the course of official duty or scope of
employment at the time of the incident out of which the suit
arose.
(3) If the service of process is for injunctive relief

(such as for habeas corpus or a temporary restraining order), or
the Service member or civilian employee receives service of
process by mail in any case involving the named member's or
employee's duties or official position, the nearest judge
advocate of the Navy or Marine Corps or attorney with OGC must
be immediately contacted, who will immediately contact OJAG
(Code 14) or AGC NLO, as appropriate per Appendix A-6-d.
Notification must include: the name of the petitioner(s) and
defendant(s), a summary of the bases of the petition, and the
date and time of any scheduled hearing. Action must be taken
expeditiously in injunctive cases as the courts generally allow
a very short period of time for response. If habeas relief is
requested, a copy of all pleadings, orders, and process in the
case, will be forwarded to OJAG (Code 14) or the AGC NLO, as
appropriate per Appendix A-6-d, along with a detailed
explanation of the circumstances under which the Service member
or civilian employee has been detained. When the hearing has
been completed and the court has issued its order in the case, a
copy of the order must be forwarded promptly to OJAG (Code 14)
or to the AGC NLO, as appropriate per Appendix A-6-d.
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(4) If the service of process involves a potential claim

against the Government, see section 0804 and JAGINST 5890.1
(series). The right to remove to federal court under 28 U.S.C.
§§ 1442-1442a must be considered where the outcome of the state
court action may influence a claim or potential claim against
the United States. Questions should be directed to OJAG (Code
15 or Code 11) or AGC NLO. See Appendix A-6-d.
(5) Federal courts consider lawsuits against DON

personnel arising from actions taken in their official capacity
to be suits against the United States. The DON OGC is the only
office within DON authorized to receive service of process on
behalf of the United States (SECNAVINST 5820.8 series).
(6) The costs for attendance of DON personnel as a

witness in a proceeding under subsection 0615(b) will be borne
by the party requesting the witness. When DON funding is
authorized or required by SECNAVINST 5820.8A, the activity where
the witness is currently assigned or employed will pay for the
attendance of the witness.
c. Service of process of foreign courts.
(1) Usually, the amenability of members, civilian

employees, and their dependents stationed in a foreign country,
to the service of process from courts of the host country will
have been settled by an agreement between the United States and
the foreign country concerned. For example, in the countries of
the signatory parties, amenability to service of civil process
is governed by paragraphs 5(g) and 9 of Article VIII of the NATO
Status of Forces Agreement. When service of process on a person
described above is attempted within the command in a country in
which the United States has no agreement on this subject, advice
should be sought from OJAG (Code 14) or AGC NLO, as appropriate
(see Appendix A-6-d). When service of process is upon the U.S.
Government or one of its agencies or instrumentalities as the
named defendant, the doctrine of sovereign immunity may allow
the service of process to be returned to the court through
diplomatic channels. Service of process directed to an official
of the United States, on the other hand, must always be
processed in accordance with the applicable international
agreement or treaty, regardless of whether the suit involves
acts performed in the course of official duties. OJAG (Code 14)
or AGC NLO, as appropriate per Appendix A-6-d, will arrange
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through DOJ for defense of the suit against the United States or
an official acting within the scope of official duties, or make
other arrangements, and will provide appropriate instructions.
(2) Usually, service members, civilian employees,

contractors, and their dependents stationed or located in a
foreign country are not required to accept service of process
outside the geographic limits of the jurisdiction of the court
from which the process issued. In such cases, acceptance of the
service is not compulsory, but service may be voluntarily
accepted in accordance with subsection 0615(a)(3), above. In
exceptional cases when the United States has agreed that service
of process will be accepted by such persons when located outside
the geographic limits of the jurisdiction of the court from
which the process issued, the provisions of the agreement and of
subsection 0615(a)(2), above, will govern.
(3) Under the laws of some countries, service of process

is effected by the document, in original or certified copy,
being handed to the person for whom the service is intended.
Service is considered to have taken place even if the person
refuses to accept the legal documents. Therefore, if a
commanding officer or other officer in the military service
personally hands, or attempts to hand, that person the document,
service is considered to have been effected, permitting the
court to proceed to judgment. Upon receipt of foreign process
with a request that it be served upon Service members, civilian
employees, and their dependents stationed in a foreign country,
a commanding officer must notify the person of the fact that a
particular foreign court is attempting to serve process and also
inform that person that the process may be ignored or received.
If the person to be served chooses to ignore the service, the
commanding officer will return the document to the embassy or
consulate of the foreign country with the notation that the
commanding officer had the document, that the person chose to
ignore it, and that no physical offer of service was made. The
commanding officer will advise OJAG (Code 14) or AGC NLO, as
appropriate per Appendix A-6-d of this Manual, of all requests
for service of process from a foreign court and the details
thereof.
d. Leave or liberty to be granted persons served with

process. When Service members or civilian employees are either
served with process, or voluntarily accept service of process,
in cases where the United States is not a party to the
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JAGINST 5800.7G
litigation, the commanding officer normally will grant leave or

liberty to the person served to permit compliance with the
process, unless to do so would adversely affect Naval
operations. If the United States is a party, liaison with DOJ
and local U.S. Attorney’s offices is through the appropriate
litigation division within OJAG, based on the subject matter of
the litigation (see section 0619). When a Service member or
civilian employee is a witness for a nongovernmental party
because of performance of official duties, the commanding
officer may issue the person concerned permissive orders
authorizing attendance at the trial at no expense to the
Government. The provisions of SECNAVINST 5820.8 (series) must
also be considered in such cases. Service members or civilian
employees may accept allowances and mileage tendered; however,
any fees tendered for testimony must be paid to the DON unless
the member or employee is on authorized leave while attending
the judicial proceeding. When it would be in the best interests
of the U.S. Government, for example, in state criminal trials,
travel funds may be used to provide Service members and civilian
employees as witnesses as provided in the Joint Travel
Regulations. Responsibility for the payment of the Service
member's mileage and allowances will be determined pursuant to
the Joint Travel Regulations. Questions on this section should
be referred to OJAG (Code 14) or AGC NLO, as appropriate per
Appendix A-6-d of this Manual.
e. Report where service not allowed. Where service of

process is not permitted, or where the Service member or
civilian employee is not given leave, liberty, or orders to
attend a judicial proceeding, a report of such refusal and the
reasons therefore must be made by telephone, or message if
telephone is impractical, to OJAG (Code 14) or AGC NLO, as
appropriate. See Appendix A-6-d.
0616 Requests For Government Information and Government

Witnesses by State and Federal Courts
The release of official information, both written and verbal,

for litigation purposes, including a release in response to a
subpoena duces tecum is controlled by DoD Instruction 5405.02
and SECNAVINST 5820.8 (series). Those regulations are
published at 32 C.F.R. Parts 97, 725. These guidelines are
issued consistent with 5 U.S.C. § 301 and the Supreme Court’s
holding in United States ex rel. Touhy v. Ragen, 340 U.S. 462
(1951), which affirms the authority of the head of a federal
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agency to control the release of official information. These

guidelines further the policy that factual official information
should be made reasonably available for use in litigation,
unless that information is classified, privileged, or otherwise
protected from public disclosure. Questions regarding the
release of official government information or availability of
government witnesses should be directed to OJAG (Code 14), or
AGC NLO, as appropriate. See Appendix A-6-d.
0617 Repossession of Personal Property
a. Repossession of personal property, located on a Navy or

Marine Corps installation, belonging to a Service member or to
any dependent residing at or located on a DON installation, may
be permitted in the discretion of the commanding officer of the
installation where the property is located, subject to the
following. The documents purporting to authorize repossession
and the procedures for repossessing the property must comply
with state law. Before permitting physical repossession of any
property, the commanding officer must cause an informal inquiry
into the circumstances and then determine whether to allow the
repossession. If repossession is to be allowed, the person
whose property is to be repossessed should be asked if he or she
wishes to relinquish the property voluntarily. Repossession
must be carried out in a manner prescribed by the commanding
officer.
b. In the case of property owned by civilian employees of

the DON or civilian contractors or their employees or
dependents, the commanding officer should direct that the
disputed property be removed from the installation until the
commanding officer is satisfied that the dispute is resolved.
Part C - Liaison with the Department of Justice
0618 Litigation Reports and Pleadings
In all lawsuits involving the DON, other than those under the
cognizance of the GC, the pleadings or litigation report to the
DOJ will be prepared by OJAG (Codes 11, 14 and 15, as
appropriate) unless authority to prepare the report is
specifically delegated by the JAG to a different designee.
0619 Liaison With the U.S. Attorney and Other Officials of the
DOJ, Including Officials of the U.S. Marshals Service
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JAGINST 5800.7G
In matters other than those under the cognizance of the GC,

(see subsection 0602(b) and Appendix A-6-d), OJAG (Codes 11, 14
and 15, as appropriate) will act as liaison to local U.S.
Attorneys and other officials of the DOJ, including officials
of the U.S. Marshals Service. This does not apply where
specific authority to establish such liaison has been delegated
to a field activity. For cases within the authority of the GC,
liaison must be maintained by the AGC NLO, unless otherwise
delegated.
Part D — Misdemeanors Committed on Navy and Marine Corps

Installations
0620 General
The Federal Magistrates Act, 18 U.S.C. §§ 3401-3402, provides

for trial by federal magistrates of individuals who commit
misdemeanors within federal reservations. Policies and
procedures for implementation of the Federal Magistrates Act and
the handling of misdemeanors committed on Navy and Marine Corps
installations are in SECNAVINST 5822.1 (series).
0621 Prosecution Before Federal Magistrates
a. Responsibility of the DOJ. The DOJ is primarily

responsible for the prosecution of offenses before federal
magistrates. With the approval of the appropriate U.S.
Attorney, qualified Navy and Marine Corps judge advocates may
prosecute misdemeanors committed on Navy and Marine Corps
installations situated within the judicial district of a U.S.
District Court.
b. Designation of Navy and Marine Corps officers to conduct

prosecutions. If the U.S. Attorney advises that no DOJ
representative is available to prosecute misdemeanors and so
authorizes, the commanding officer or the staff judge advocate
of an installation may designate one or more Navy or Marine
Corps judge advocates of the command, or make necessary
arrangements for the designation of one or more Navy or Marine
Corps judge advocates stationed in the area, to conduct such
prosecutions.
Part E — Appearances by Judge Advocates in Civil Court or

Civil Administrative Proceedings
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JAGINST 5800.7G
0622 Practice of Law on Behalf of Service Members in Civilian

Proceedings
a. Active-duty (or reservists recalled to active duty) Navy

or Marine Corps judge advocates may not appear as counsel on
behalf of any Service member of the armed services before any
civil court, civil administrative tribunal, civil regulatory
body, or any civil governmental agency, in any proceeding,
including a collateral attack on a court-martial, administrative
discharge, or investigatory proceeding, unless specifically
authorized by the JAG. The Expanded Legal Assistance Program,
which involves limited in-court appearances by Navy and Marine
Corps judge advocates, is a separate matter and specifically
provided for in section 0710 of this Manual. Requests for
outside practice of law in a personal capacity are also a
separate matter and are addressed in JAGINST 5803.1 (series),
Professional Conduct of Attorneys Practicing under the
Cognizance and Supervision of the Judge Advocate General.
b. Requests by Navy or Marine Corps judge advocates to

appear in their official capacity as counsel before any court,
tribunal, body, or agency outlined above will be delivered to
the commanding officer or supervising authority of the judge
advocate, or installation staff judge advocate, as appropriate.
The request must contain: the identity of the Service member to
be represented; reasons for requesting permission to appear;
identity of the court, tribunal, etc., where appearance is
desired; nature of action intended to be filed; relief to be
requested; reasons why civilian counsel may not be retained;
estimated time required for representation (including
preparation, travel, and appearance); and any other action
previously filed or pending on the same subject matter. The
commanding officer or staff judge advocate will forward the
request to the Office of the Judge Advocate General (Code 13),
1322 Patterson Ave. SE, Suite 3000, Washington Navy Yard, DC
20374, with comments and recommendations concerning the request.
If the request is for a Marine Corps judge advocate, the
request, with comments and recommendations, must be submitted to
OJAG (Code 13) via the Judge Advocate Division, Headquarters,
U.S. Marine Corps, Pentagon, Washington, DC 20370-3000.
Comments and recommendations concerning the request will
include, but are not limited to: the nature and status of any
pending military justice, courts-martial, administrative
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JAGINST 5800.7G
discharge, or investigatory proceedings relevant to the request;

a listing of all counsel participating in the case; the nature
and status of any previous civil or military court action in
this or related cases; and comment on the availability of the
requesting counsel in relation to the overall workload in his or
her office.
c. If the request for appearance is approved, any expenses

incurred due to representation (travel costs, filing fees, etc.)
will be at no cost to the Government.
d. Military prisoners sentenced to death by a court-

martial, who seek to file in federal civilian court(s) post-
conviction habeas corpus petition(s) respecting such court-
martial following the approval of their court-martial sentence
to death by the President pursuant to Article 57, UCMJ, must,
upon request of the accused to the JAG, be detailed military
counsel by the JAG to represent them in such proceedings and any
resulting appeals (see Article 70(e), UCMJ). For the purposes
of these proceedings, the provisions of subsection 0622(c) do
not apply.
Part F ― State Tax and Regulatory Authority
0623 Background
Under the Constitution, federal law generally controls over

state law, and the Federal Government generally is immune from
taxation or regulation by state authorities. Many exceptions
exist, however, and commanders of installations or units in the
United States often must deal with state authorities. This part
discusses relations with state revenue authorities, both as to
claims for state taxes and demands for compliance with state
revenue-related regulations. It also describes in general
terms the liability of members and their dependents to taxation
and regulation by states and localities.
0624 State Regulation of Federal Functions, Including Sales
a. Application of state law. Except where Congress has

specifically authorized application of state law, the Federal
Government is immune from any regulation by state or local
authorities.
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JAGINST 5800.7G
b. Federal immunity. In most areas the Federal Government

does not need to comply with state regulations or obtain state
licenses for its activities. This immunity extends to
activities of the DON and to federal instrumentalities,
including authorized non-appropriated fund instrumentalities
(NAFIs). The American Red Cross also has been ruled to be a
federal instrumentality. Thus, commissaries, exchanges, bowling
alleys, and other NAFI-operated facilities need not, as a matter
of law, comply with state law or obtain state business licenses
to operate. In some instances, such as the age for sale of
alcoholic beverages and operation of bingo games, the SECNAV has
directed compliance with state restrictions. This reflects a
DON policy of voluntary compliance, and does not subject federal
instrumentalities to direct state regulation. The immunity
accorded federal instrumentalities applies wherever they may be
located, and is not limited to exclusive jurisdiction property.
For example, NAFI resale outlets selling alcoholic beverages,
whether on exclusive, concurrent, or proprietary jurisdiction
property, will not be required to obtain state liquor licenses;
and vehicles owned by the government or NAFIs need not have
state license plates in order to operate off-base.
c. Private individuals. The immunity applies only to the

Government and its instrumentalities. Private individuals,
including Service members and employees acting in a personal
capacity, and organizations operating businesses on military
property generally are subject to state laws and regulation.
Thus, dependents operating businesses out of their quarters on
concurrent jurisdiction land, even if authorized by the base
commander, are subject to state taxes, regulations, and
licensing requirements. Likewise, thrift shops operated by
spouse clubs or charitable organizations are subject to state
taxation, and may be subject to business license requirements.
Private activities of organizations owned or operated by Service
members, civilian employees, or dependents, even if command
sponsored, will be subject to state taxes and may be subject to
regulation unless the activity is a properly organized and
authorized NAFI. In the same manner, activities of federal
contractors may be subject to state law, taxes, and regulation,
unless the application of state law would interfere with a
federal function.
d. Demands for compliance. Commanders confronted with

demands for compliance with state regulation or payment of state
taxes, other than environmental regulations, taxes, or fees,
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JAGINST 5800.7G
should immediately contact a local staff judge advocate or OGC

attorney and notify OJAG (Code 14). For procedures to deal with
state demands for compliance with environmental regulations or
payment of environmental fees or taxes, contact the region
environmental counsel.
0625 State and Local Taxation of On-Base Sales
The Buck Act authorizes application of state sales taxes on

military installations, even those under exclusive federal
jurisdiction (see 4 U.S.C. § 105). Sales by the United States
and its instrumentalities are exempt (see 4 U.S.C. § 107).
Thus, commissaries, exchanges, and other NAFI resale outlets
need not collect state or local sales tax on sales to authorized
patrons. Any activity that is not an authorized NAFI resale
outlet, however, must collect sales taxes as required by state
and local law. This may include thrift shops operated by
private organizations, flea markets, or large "coffee messes" or
"sandwich messes" that do not qualify as NAFI resale outlets.
The requirements of state and local laws vary and should be
consulted in each case.
0626 State and Local Taxes, Including Hotel Taxes, and the
Federal Traveler
The Federal Government's exemption from state and local

taxation applies only to taxes whose "legal incidence" is on
the Government or its instrumentalities. This usually means
that the Government is exempt only where the Government itself
actually pays the tax. Where an individual incurs a tax
liability for a transaction and is then reimbursed by the
Federal Government, there normally is no immunity because the
legal incidence of the tax was on the individual. Hotel taxes
can be structured in various ways, but the legal incidence of
the tax is virtually always on either the innkeeper or the
person occupying the room. As a result, the fact that the
Government will ultimately pay the bill through reimbursement
confers no immunity from hotel taxes on the federal traveler.
In those rare cases where the Government will directly pay for
accommodations, local law should be checked for a possible
exemption. A few jurisdictions provide an exemption from hotel
taxes to federal travelers. This is, however, a matter of
state legislative grace rather than federal law. For the
member or civilian employee traveling on a reimbursable basis,
"certificates of exemption" should not be issued or used unless
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JAGINST 5800.7G
there is a known specific tax exemption for federal travelers

in the local law of the place visited. In the same manner, a
federal traveler normally is not exempt from state sales, meal,
or car rental taxes merely because the expenses are reimbursed
by the Federal Government.
0627 Liability of Service Members and Dependents For State and

Local Taxes
a. General. There is no general exemption for Service

members or dependents from state and local taxation. Service
members are provided some relief by the Servicemembers Civil
Relief Act (SCRA), 50 U.S.C. §§ 3901-4043, which limits the
right of states to tax military income and motor vehicles owned
by Service members. Spouses of Service members are provided
some relief by the Military Spouses Residency Relief Act
(MSRRA), Pub. L. No. 111-97, 123 Stat. 3007, which amends
several parts of the SCRA and ensures that a spouse of a Service
member may maintain his or her residence for tax purposes in
certain situations. The MSRRA establishes that a military
spouse neither loses nor establishes residency for tax purposes
solely by executing a permanent change of station move with his
or her military spouse to a new jurisdiction, so long as the
spouse is in the jurisdiction solely to be with the Service
member serving in compliance with military orders. Additionally,
pursuant to the Veterans Benefits and Transitions Act of 2018,
the SCRA was amended at 50 U.S.C. § 4001(a)(2). Under this SCRA
amendment the spouse of a service member may, effective 2018,
for any taxable year of the marriage, elect to use the same
residence for purposes of taxation as the Service member
regardless of the date on which the marriage of the spouse and
the member occurred.
b. Income taxes.
(1) States and localities may tax income of three

classes of people: (a) domiciliaries, who are legal residents
of the state and taxable on their worldwide income; (b)
statutory residents, who, regardless of their domicile, have
actually lived in the state for a prescribed period and are
taxable on their worldwide income; and (c) nonresidents, who
are taxable only on income from sources in the state unless
exempt under MSRRA provisions.
(2) The SCRA states that a Service member does not
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JAGINST 5800.7G
acquire residence or domicile in a state merely because he or

she is present there due to military orders, nor lose domicile
in a state merely because of absence due to military orders (see
50 U.S.C. § 4001). Thus, a Service member cannot be a
"statutory resident" of a state when present due to military
orders. Members are either domiciliaries of a state and fully
taxable there, or nonresidents taxable only on income from
sources in the state. For this purpose, military pay is sourced
in the member's state of domicile. A Service member domiciled
in one state and stationed in a second state is taxable by the
second state only on income other than military pay which is
earned in that state. Examples include income from outside jobs
and interest earned on local bank accounts. The member's
domiciliary state, however, could tax both military pay and the
income earned in the second state. Some states allow credits
for tax paid in another state to prevent double taxation.
(3) Some states do not tax their domiciliaries when they

are living outside the state. Members domiciled in such states
may avoid all state income taxes on their military pay. These
states often have technical requirements for nonresidency which
members must be careful to observe in order to maintain
exemption. Restrictions may include a minimum period of absence
from the state to begin nonresidency, a maximum visiting period
allowed in the state, or a requirement that the member maintain
a permanent home outside the state or not maintain a permanent
home inside the state. Barracks, bachelor quarters, and
shipboard quarters are sometimes not considered a permanent home
for these purposes.
(4) A Service member's domicile normally starts out as

the state where he or she lived, was or would have been
registered to vote if he or she desired to vote, and under
which laws he or she was subject to state personal income
taxation before entering the military service. Service members
may, however, change their domiciles voluntarily. The SCRA
merely prevents involuntary changes. The legal concept of
domicile has two elements: (1) presence in a state; and (2)
intent to permanently treat that state as "home" by remaining
there or consistently returning there after absences. For a
Service member validly to change domicile, he or she must meet
both tests. Thus, it is not possible to validly declare
domicile in a state where the Service member has never lived.
Also, to ensure respect for a choice of domicile, Service
members should retain all possible contacts, such as voter
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JAGINST 5800.7G
registration, driver's licenses and vehicle registrations, and

professional licenses, with the chosen state to show intent to
return there. Each state may test domicile separately. If
contacts are inconsistent, it is possible for a Service member
to be held a domiciliary of more than one state and subjected to
multiple taxation. Service members with domicile problems
should be referred to a legal assistance attorney.
(5) Dependents, unlike Service members, are subject to

state tax residency laws unless protected by the MSRRA. Spouses
who accompany their Service member spouse on a change of duty
station orders may be exempt from paying state taxes on services
performed in the new state where they relocated. In order to
take advantage of the MSRRA, the military spouse’s state of
domicile must be the same as the Service member’s state of
domicile. The law does not allow a spouse of a Service member
to recapture or regain a previous domicile. The exemption only
applies to wage income and income from services performed in the
non-domiciliary state. Interest income, as well as income from
a business or rental property in the non-domiciliary state will
be subject to taxation. Each state has its own requirements on
how they implement the MSRRA in their jurisdiction and each
state’s Department of Revenue should be contacted to assure
compliance. Dependents who cannot claim MSRRA protection often
will be statutory residents of whatever state they happen to
live in, and will be fully subject to that state's income tax
laws. If they retain legal domicile in some other state, they
may be fully taxable by that state as well. Further, some
states use the income of the Service member to set the rate at
which the dependent's income will be taxed. There is a
remaining conflict among the states regarding these practices.
c. Personal property taxes and vehicle registration.
(1) Non-business personal property of Service members

generally is taxable only in the state of domicile. See 50
U.S.C. § 3991.
(2) If a non-business vehicle owned by and titled in the

name of a Service member is properly registered in the state of
domicile, no other state may require its registration there. If
not properly registered in the state of domicile, the vehicle
must be registered where the Service member actually resides.
That non-domiciliary state may assess only such fees as are
necessary for issuance and administration of the registration.
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JAGINST 5800.7G
Fees or excises in lieu of property taxes are not allowed. This

does not, however, apply to sales taxes, which have been held to
be outside the scope of the SCRA.
(3) Registration in any state other than the state of

domicile or the state of current residence generally is invalid.
Thus, if a Service member does not maintain registration in his
or her state of domicile, he or she must re-register the vehicle
after each interstate permanent change of station move.
(4) Vehicles owned by dependents are subject to tax and

registration wherever the vehicle is located unless protected
under the SCRA, 50 U.S.C. § 4001 and the Service member or
spouse paid the license, fee, or excise required by the Service
member’s home state (domicile). In some states, if the vehicle
is registered solely in the name of either the Service member or
the spouse or both and they are not residing in their state of
domicile but instead are in a host state due to military orders,
no tax may be levied by the host state as long as the vehicle is
properly titled to the Service member or the spouse and
registered in the domiciliary state. In all other instances
vehicles jointly owned with a spouse or other dependents or
other individuals may be taxed by both the Service member's
state of domicile and the state where the vehicle is located.
In most cases, however, the Service member's state of domicile
will not tax the vehicle because most ad valorem property taxes
depend on the presence of the property in the jurisdiction.
Some states exempt Service members' jointly owned vehicles from
taxation.
d. Assistance. Assistance for individual Service members

with state and local tax problems is available from legal
assistance attorneys. If commanders become aware of problems of
general application, those problems may be forwarded to OJAG
(Code 16) for examination by the Armed Forces Tax Council
pursuant to SECNAVINST 5840.8 (series).
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JAGINST 5800.7G
WAIVER OF EXTRADITION
I, ___________________, U.S. Navy (U.S. Marine Corps), having

been advised of my rights to formal extradition as provided for
in JAGMAN, section 0605, by ___________________________ [name
of military or civilian attorney] of _______________________
[address of attorney], waive such rights and agree to,
accompany __________________________, a representative of the
State of _________, into the territorial limits of said State.
I have been advised that the crime which I am charged to have
committed in the State of _________ is as follows:
________________________________
[Signature] [date]
WITNESSED:
__________________________________
[Signature of witness] [date]
A-6-a
JAGINST 5800.7G
Order to Return
5800
Ser
Date
From: Commanding Officer (or Designee)

To: Sailor T. B. Delivered
Subj: ORDER TO RETURN AFTER RELEASE FROM CIVILIAN CUSTODY
1. You are being released to the custody of civilian

authorities pursuant to the provisions of JAGINST 5800.7G,
section 0603 for action within the civilian criminal justice
system. This action does not constitute discharge or
separation from military service.
2. In the event you are released from civilian custody and not
sooner discharged from naval service, you are ordered to report
immediately, and in person, to [Service member’s command] or
the nearest Navy or Marine Corps installation, unit, or
activity for further instructions. Before or upon your
release, you must contact [Service member’s command] or the
nearest installation, unit, or activity for reporting guidance.
You will advise the command of your name, rank, DoD
identification number, organization, the circumstances of your
release from custody, and the contents of this letter.
3. Certain restrictions may be placed upon you by the civilian

jurisdiction in connection with your release from custody. You
will request that the civilian authorities provide you a
written copy of all documentation setting forth any such
restrictions. This order does not relieve you of restrictions
imposed upon your release, so if there is a restriction that
affects your ability to return to your command or the nearest
installation, you must contact [Service member’s command] or
the nearest installation, unit, or activity for further
guidance.
A-6-b
JAGINST 5800.7G
4. Upon reporting, the commander to whom you report will

notify [member’s command] or [Commander, Navy Personnel Command
or Headquarters, U.S. Marine Corps, as appropriate] of the
circumstances surrounding your release. Command contact
information is provided for your convenience: [command contact
information; quarterdeck phone number; duty officer phone
number, etc…].
SIGNATURE
(Commanding Officer)
ACKNOWLEDGMENT
_____________________________ ___________
(signature of Service member) (date)
A-6-b
JAGINST 5800.7G
DELIVERY REFUSAL NOTIFICATION LETTER
5821
Ser
Date
From: Commanding Officer

To: Office of the Judge Advocate General (Code 14)
Subj: DELIVERY REFUSED TO ______________________ [STATE,

LOCAL, etc.] AUTHORITIES ICO ___________________________
[RANK, FULL NAME, SSN, U.S. NAVY/MARINE CORPS]
Ref: (a) (Previous telephone call or message notification to

OJAG (Code 14))
(b) JAGINST 5800.7G, section 0610
Encl: (1) Copy of warrant of arrest
1. As reported by reference (a), and in accordance with

reference (b), report is made that upon presentation of a valid
warrant of arrest charging violation of ______________________
[crime charged], ______________________ [name of accused] was
refused delivery to _________________________________ [sheriff,
etc., of county, state, etc.] on __________________________
[date] because
_______________________________________________________________
____ [explanation of extraordinary circumstances].
2. Enclosure (1) is forwarded for information.
_________________________
[Signature]
Copy to:
ISIC
[For USN – NPC]
[For USMC – CMC(JAM)]
A-6-c
JAGINST 5800.7G
DEPARTMENT OF THE NAVY

LITIGATION POINTS OF CONTACT
I. Office of the Judge Advocate General
A. COGNIZANCE: Matters involving military personnel law,

military justice, torts, admiralty, international law,
affirmative claims such as the Medical Care Recovery Act, and
Freedom of Information Act and Privacy Act suits in which the
JAG was the appellate authority. Responsibility for
environmental suits is shared with the OGC.
The subject matter of the correspondence forwarded will

determine the appropriate code:
(1) Suits against the United States or U.S. citizens in

foreign courts — Code 10 (National Security Law)
(2) Admiralty cases — Code 11 (Admiralty and Maritime

Law)
(3) Tort claims and affirmative claims, including

actions under the Federal Tort Claims Act, Military Claims Act,
Personnel Claims Act, Federal Claims Collection Act, Medical
Care Recovery Act, and Third Party Payers Act; individual
requests for DOJ representation or removal and substitution
under the Federal Employees Liability Reform and Tort
Compensation Act for tort actions arising out of the
performance of official duties and actions under the Federal
Tort Claims Act and Driver's Act — Code 15 (Claims and Tort
Litigation)
(4) All other cases under cognizance of the Judge

Advocate General, other than those described in subparagraphs
(1), (2), and (3) above, including Freedom of Information Act
and Privacy Act suits — Code 14 (General Litigation)
B. ADDRESS: Office of the Judge Advocate General

1322 Patterson Ave, SE, Suite 3000
Washington Navy Yard, DC 20374-5066
C. CONTACT INFORMATION:
(1) National Security Law (Code 10), 703-697-9161/9162
A-6-d
JAGINST 5800.7G
DSN: 227-9161/2 FAX: 703-695-8073
(2) Admiralty and Maritime Law (Code 11), 202-685-5040

DSN: 325-5040 FAX: 202-685-5471
(3) General Litigation (Code 14), 202-685-5450

DSN: 325-5450 FAX: 202-685-5472
(4) Claims and Tort Litigation (Code 15), 202-685-4600

DSN: 325-4600 FAX: 202-685-5484
II. Office of General Counsel
A. COGNIZANCE: Matters involving commercial law,

including contract disputes arising out of maritime contracts
(e.g., contracts for the repair and overhaul of Naval vessels),
civilian personnel law, real property, and Freedom of
Information Act and Privacy Act suits in which the GC denied
the appeal. Responsibility for environmental law is shared
with OJAG.
B. ADDRESS: Associate GC Naval Litigation Office (NLO)

Office of the General Counsel
720 Kennon Street, SE, Bldg 36, RM 233
Washington Navy Yard, DC 20374-5013
C. The principal point of contact for the OGC is the AGC

NLO, telephone 202-685-7039, FAX 202-685-7036.
III. Marine Corps Points of Contact
A. SJA to the CMC (JCA) for matters referred to the Judge

Advocate General.
703-614-2510
DSN: 225-2510 FAX: 703-695-1934
B. Counsel to the Commandant (CMC (CL)) for matters

referred to the OGC.
703-614-2150
DSN: 224-2150 FAX: 703-693-4453
A-6-d
CHAPTER SEVEN
LEGAL ASSISTANCE
JAGINST 5800.7G
TABLE OF CONTENTS
0701 Scope
0702 Supervision of Legal Assistance
0703 Legal Assistance Attorneys
0704 Nonlawyer Personnel
0705 Persons Eligible for Legal Assistance
a. Members of the Military Services on active duty for 30

days or more
b. Fiduciary
c. Other persons eligible
0706 Personal and Privileged Character of Service
a. General
b. Information requests by commanding officer
0707 Legal Assistance Service Tiers
a. Priority for services

b. Other services
0708 Limitations on Scope of Legal Assistance Services
a. Personal legal matters only

b. Advice or assistance in official military matters
c. Representation of opposing parties or interests
d. Proceedings involving the United States
e. Telephone inquiries
f. Advice to third parties
0709 Referrals and Fees
a. Referral to a civilian attorney or law firm

b. Prohibition of fees
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JAGINST 5800.7G
0710 Expanded Legal Assistance Program
a. General
b. Eligibility
c. Temporary civilian restraining or protective orders for
crime victims
7-2
JAGINST 5800.7G
0701 Scope
a. This chapter provides information concerning the DON

legal assistance programs for the Navy and the Marine Corps.
Additional regulations are contained in JAGINST 5801.2 (series),
Navy Legal Assistance Program, and MCO 5800.16, Legal Support
and Administration Manual, and other related directives.
b. JAGINST 5800.7G implements 10 U.S.C. § 1044, which

authorizes legal assistance services to eligible persons, and 10
U.S.C. §§ 806, 8013(g), 8046, and 8088, which provide authority
to the JAG to authorize legal assistance to other eligible
persons.
c. "Dependents," as used in this chapter, are those persons

defined by 37 U.S.C. § 401. In the case of civilians who are
eligible for legal assistance as described in section 0706, the
term "dependents" refers to the civilian's spouse and minor
children.
d. DON legal assistance programs promote increased

readiness of active-duty and reserve members of the DON, and
enhance the morale and quality of life for military personnel,
dependents, and other eligible clients, through provision of
free, effective attorney advice, outreach programs, referral
services, and vigorous preventive law activities.
e. Legal assistance is not separately funded; the programs

are authorized, not mandated, by Congress. See 10 U.S.C. §
1044. Accordingly, all legal assistance services are provided
subject to availability of staff legal resources.
0702 Supervision of Legal Assistance
a. DON legal assistance programs are established and

supervised by the JAG and the SJA to CMC.
b. Commanding officers of legal service offices, senior

staff judge advocates to officers exercising general court-
martial convening authority, and Marine Corps judge advocates
designated by the SJA to CMC, will oversee the legal assistance
practice within their respective chains of command, and have
broad authority to ensure that services are provided
commensurate with resources available.
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JAGINST 5800.7G
0703 Legal Assistance Attorneys
A legal assistance attorney is a judge advocate or civilian

attorney authorized by the JAG or the SJA to CMC to perform
legal assistance functions. A legal assistance attorney
represents the interests of the individual client concerning
personal legal matters. Provision of legal assistance
necessitates appropriate conflicts of interest analysis,
especially when the assistance is provided to a crime victim.
Provision of legal assistance services must not undermine the
delivery of zealous and effective representation of any client,
including a victim of a crime (see subsection 0708(c) below).
Practitioners will seek guidance from their chain of command
regarding appropriate conflict management in providing legal
assistance.
0704 Nonlawyer Personnel
Legal officers, Legalmen, independent duty Legalmen, civilian

paralegals, and legal clerks may not provide legal advice or
services that call for the professional judgment of an attorney.
Nonlawyer personnel may provide assistance not requiring the
professional judgment of an attorney, such as notarizations,
intake questionnaire preliminary screening, and inserting
customer information into routine attorney provided powers of
attorney.
0705 Persons Eligible for Legal Assistance
a. Members of the Military Services on active duty for 30

days or more. Legal assistance is intended primarily for
active-duty personnel, including reservists and members of the
National Guard on active federal duty for 30 days or more.
(1) For reservists on active duty for less than 30

days, see subsections 0705(c)(4) and 0705(c)(5) except as
provided for in subsection 0705(a)(2) below.
(2) Members of Reserve Components following release

from active duty under a call or order to active duty for more
than 30 days, issued under a mobilization authority as
determined by the Secretary of Defense, for a period of time
that begins on the date of the release and is not less than
twice the length of the period served on active duty under that
call or order to active duty, are eligible for Disability
7-4
JAGINST 5800.7G
Evaluation System (DES) services and other legal services that

relate to serious wounds, illnesses, or injuries incurred
during the period of mobilization.
b. Fiduciary. Legal assistance may also be provided to a

legally-appointed fiduciary on behalf of any 10 U.S.C. § 1044
eligible person who is incapacitated or otherwise incapable of
seeking such assistance personally.
c. Other persons eligible. As resources permit, legal

assistance may also be provided to the following categories of
people in the order listed:
(1) Dependents of active-duty personnel and of

personnel who died while on active duty.
(2) Retired members as indicated by their DoD

Identification Card, including those on the Permanent
Disability Retired List, Temporary Disability Retired List, or
who are under age 60 and entitled to retirement pay.
(3) Dependents of retired members and dependents of

deceased retired members.
(4) Reservists on active duty for single periods of 29

days or less and their dependents may be provided legal
assistance in emergency cases as determined by the head of the
legal assistance office.
(5) For the purpose of enhancing military legal

readiness of Reserve personnel for mobilization, pre-
mobilization legal assistance may be provided to active-duty or
inactive Reserve personnel consistent with mobilization
readiness needs. Pre-mobilization assistance normally will
consist of drafting or updating wills, advance medical
directives, powers of attorney that address incapacity, and
routine powers of attorney. Other assistance may be provided
if it relates to recall or mobilization. Examples of such
assistance include advice concerning rights pursuant to the
Servicemembers Civil Relief Act (SCRA), 50 U.S.C. §§ 3901-4043,
or the Uniformed Services Employment and Reemployment Rights
Act (USERRA), 38 U.S.C. §§ 4301-4334.
(6) Dependents of members of the Reserve Components

listed in subsection 0705(a)(2) above.
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JAGINST 5800.7G
(7) Civilian personnel:
(a) DoD civilian personnel deploying for at least

30 days to a combat zone, in support of a contingency
operation, or aboard a naval vessel may be provided pre-
deployment legal assistance services. Legal assistance may
also be provided to dependents of these civilian personnel,
both before and during deployment, on deployment-related
matters. All services are to be provided within current means
and capabilities. In order to address legal issues related to
or arising from deployment, JAG and SJA to CMC may authorize
the provision of legal assistance services to DoD civilian
personnel and their dependents for a reasonable period – not to
exceed 30 days – after returning from deployment.
(b) DoD civilian personnel who are U.S. citizens,

other than local hire employees, employed by, serving with, or
accompanying the Military Services, when they are assigned to a
foreign country, or when they are assigned to and physically
present onboard a vessel or a unit of the Military Services
deployed in excess of 30 days. Dependents who accompany DoD
civilian personnel authorized under subsection 0705(c)(7)(b)
are also eligible.
(c) Non-DoD U.S. Government employees who are U.S.

citizens and not contractors, serving in locations in a foreign
country or on a vessel of the Military Services, where legal
assistance from non-military legal assistance providers is not
reasonably available. Such legal assistance is generally
limited to ministerial services (e.g., notarial services),
legal counseling (e.g., the review and discussion of legal
correspondence and documents), legal document preparation
(e.g., limited to powers of attorney and advance medical
directives), and help with retaining civilian lawyers.
(d) Civilian contractor personnel who are U.S.

citizens and accompanying U.S. forces overseas, and produce
documentation of an employment contract that requires the U.S.
Government to provide legal assistance, may receive legal
assistance as specified in the contract if such services are in
accordance with authorized legal assistance services. If the
contract does not specify services, services will be limited to
notarizations and provision of pre-deployment and deployment-
related powers of attorney.
7-6
JAGINST 5800.7G
(8) Members of allied forces and their dependents in

the United States, serving with the Military Services.
(9) A 20/20/20 (20 years of creditable military service

by the Service member during which the marriage of at least 20
years or more overlaps with 20 years of that creditable
military service) un-remarried former spouse as defined in 10
U.S.C. § 1072.
(10) Individuals who qualify for benefits under 10

U.S.C. § 1408(h).
(11) Dependents and former dependents of Service

members separated for dependent abuse consistent with the
transitional compensation provisions of 10 U.S.C. § 1059.
(12) Officers of the commissioned corps of the Public

Health Service and the National Oceanic and Atmospheric
Administration, who are on active duty or entitled to retired
or equivalent pay, as well as their dependents as defined in 10
U.S.C. §§ 101, 12732.
(13) DoD civilian employees may receive notarial

services consistent with Chapter Nine on matters relating to
their official duties.
(14) Other persons authorized by the JAG or the SJA to

CMC in accordance with 10 U.S.C. §§ 806, 8013(g), 8046, 8088,
and SECNAVINST 5430.27 (series).
0706 Personal and Privileged Character of Service
a. General. Information and files pertaining to legal

assistance clients are privacy protected information and
privileged under law and applicable professional rules and
guidelines. Such information and files will not be disclosed to
anyone, except upon the specific permission of the client to the
legal assistance attorney providing the service or when the
attorney determines that disclosure is authorized or required by
law or applicable rules of professional conduct. Disclosure of
such information cannot be authorized or made lawful by order of
superior military authority.
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JAGINST 5800.7G
b. Information requests by commanding officer. After the

formation of an attorney-client relationship, information
concerning a Service member's appointments or meetings with a
legal assistance attorney or legal staff assistant may not be
disclosed, unless an exception to the attorney-client privilege
applies or the client gives informed consent.
0707 Legal Assistance Service Tiers
a. Priority for service. The following provides the

priority for military legal readiness services.
(1) Tier I services. Tier I services are standard

military legal readiness services and first priority services.
Advice or services regarding the following matters are normally
available to eligible persons but may be limited due to
availability of a qualified attorney or other resources:
(a) Basic housing foreclosure advice.
(b) Consumer finance issues, including:
1. Consumer fraud and identity theft advice,

counseling, and pre-litigation actions to resolve;
2. Consumer protection statutes (federal and

state) advice, and pre-litigation action to resolve;
3. Consumer services contracts, motor vehicle

contract and financing review, counseling (excluding real
estate purchase and sale contracts), and action to resolve;
4. Credit and debt collection advice;
5. Credit report advice;
6. Advice concerning general indebtedness,

government indebtedness, involuntary allotment, and garnishment
issues when consistent with limitations contained in subsection
0708(d); and
7. Payday loan and predatory lending advice.
(c) Crime victim information (regardless of whether

a victim elected unrestricted or restricted (confidential)
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JAGINST 5800.7G
reporting of a sexual assault), to include:
1. Victim and Witness Assistance Program

(VWAP), including the rights and benefits afforded the victim
(including those under 10 U.S.C. § 1565b), the role of the
victim advocate and what privileges exist between the victim and
the victim advocate, and the nature of the communication made to
the victim advocate as opposed to those made to the legal
assistance attorney;
2. The differences between restricted and

unrestricted reporting of sexual assaults;
3. General information concerning the military

justice system including the roles and responsibilities of trial
counsel, defense counsel, victims’ counsel, and the
investigators;
4. Services available from appropriate agencies

or offices for emotional and mental health counseling and other
medical services;
5. The availability of, and protections offered

by, civilian and military protective orders;
6. Eligibility for and benefits potentially

available as part of the transitional compensation benefits
established in 10 U.S.C. § 1059 and in other state and federal
victim compensation programs; and
7. Other additional rights or benefits provided

under DoD Directive 1030.01 Victim and Witness Assistance, DoD
Instruction 1030.2 Victim and Witness Assistance Procedures,
SECNAVINST 5800.11 (series) Victim and Witness Assistance
Program, OPNAVINST 5800.7 (series) Victim and Witness Assistance
Program, SECNAVINST 1752.4 (series) Sexual Assault Prevention
and Response Program Procedures, SECNAVINST 1752.3 (series)
Family Advocacy Program, JAGINST 5801.2 (series) Navy Legal
Assistance Program, COMNAVLEGSVCCOMINST 5800.1 (series) Naval
Legal Service Command Manual, MCO 5800.14 (series) Victim-
Witness Assistance Program, MCO 1752.5 (series) Sexual Assault
Prevention and Response Program, and other service-specific or
subsequent regulations.
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JAGINST 5800.7G
(d) Demobilization briefings, to include information

on the USERRA.
(e) Dependent nonsupport advice and document

drafting (regarding service support obligations).
(f) Deployment briefings and assistance.
(g) Disaster relief support and advice.
(h) Family care plan and court custody orders

advice.
(i) Family law advice, including:
1. Basic child custody, child support, and

child visitation advice;
2. Basic divorce, dissolution, and annulment

advice; and
3. Basic separation agreement and spousal

support agreement advice.
(j) Military rights under the SCRA.
(k) Military naturalization advice and forms

review.
(l) Notary services.
(m) Paternity advice.
(n) Power of attorney advice and drafting.
(o) Preventive law briefings.
(p) Simple estate planning to include advice,

drafting, and document execution of:
1. Basic wills;
2. Advance health care directives;
3. Death gratuity, unpaid pay and allowances
7-10
JAGINST 5800.7G
advice, and DD Form 93 drafting;
4. Durable financial and property management

powers of attorney;
5. Health care powers of attorney;
6. Pre-residuary and residuary trusts for

minors, including transfers under the Uniform Gifts to Minors
Act and Uniform Transfer to Minors Act and nomination of
guardians or conservators;
7. Servicemembers' Group Life Insurance (SGLI)

advice and beneficiary designation; and
8. U.S. Navy "Page 2" (NAVPERS 1070/602) and

USMC Record of Emergency Data dependent designations.
(q) Tenant advice, to include security deposits,

early termination and SCRA protections.
(r) Wounded, ill, and injured Service member

Physical Evaluation Board advice limited to providing a
recommendation to consult with a DON DES attorney and provision
of a DON DES attorney current contact roster.
(2) Tier II services. Tier II services are second

priority services. Advice or services regarding the following
matters are normally available to eligible persons but may be
limited due to availability of a qualified attorney or other
resources:
(a) Adoption limited to:
1. Step-parent adoption; and
2. DON and DoD adoption reimbursement,

adoption tax credit, and tax deduction.
(b) Guardianship (conservatorship) of the person.
(c) Guardianship of the estate, limited to the

estates of dependent minor children of Service members who died
while on active duty.
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JAGINST 5800.7G
(d) United States Citizenship and Immigration

Services required immigration paperwork review, and advice for
dependents.
(e) Small claims court pro se pleadings.
(f) Service as a temporary guardian or trustee to a

mentally incompetent Service member for purposes of DoD
proceedings conducted pursuant to 37 U.S.C. §§ 601-604, and
under Bureau of Medicine and Defense Finance and Accounting
Service regulations. This service will only extend until the
appointment of a guardian by a qualified court.
(3) Tier III services. Active-duty military legal

assistance attorneys do not routinely provide Tier III
services. For the Marine Corps, Tier III services will be
provided by fully qualified attorneys as authorized by the SJA
to CMC or his or her designee. For the Navy, Tier III services
will only be provided by fully qualified military legal
assistance civilian or Reserve judge advocate subject matter
experts or by active-duty military legal assistance attorneys
under the direct supervision of a fully qualified military
legal assistance civilian or Reserve judge advocate subject
matter expert with the express permission of the unit
commanding officer. In circumstances where Tier I and Tier II
support is fully established, addressed, and sustainable,
support in the following matters will only be extended to
eligible clients as follows:
(a) Bankruptcy advice.
(b) Drafting of family law or domestic relations

documents, including:
1. Drafting of child custody, child support,

and child visitation documents;
2. Drafting of divorce, dissolution, and

annulment documents; and
3. Drafting of separation and spousal support

agreements.
(c) Federal and state tax advice.
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JAGINST 5800.7G
(4) Tier IV services. Active-duty military legal

assistance attorneys do not routinely provide Tier IV services.
For the Marine Corps, Tier IV services will be provided by
fully qualified attorneys as authorized by the SJA to CMC or
his or her designee. For the Navy, Tier IV services will only
be provided by fully qualified military legal assistance
civilian or Reserve judge advocate subject matter experts or by
active-duty military legal assistance attorneys under the
direct supervision of a fully qualified military legal
assistance civilian or Reserve judge advocate subject matter
expert with the express permission of the unit commanding
officer. With the sole exception of the service listed in
subsection 0707(a)(4)(a)(7) below, the Tier IV services
described here are subject to the requirements contained in
section 0710 below. In circumstances where Tier I and Tier II
support is fully established, addressed, and sustainable,
support in the following matters may be balanced against Tier
III services and extended to eligible clients as follows:
(a) Expanded Legal Assistance Program (ELAP) cases:
1. Adoption;
2. Bankruptcy;
3. Consumer law issues;
4. Probate filing and hearings;
5. Uncontested divorce or dissolution;
6. Uncontested separation; and
7. Temporary civilian restraining or

protective orders for victims of crimes including domestic
violence. Advice, forms drafting, and (if authorized under
local state bar rules of court) attorney representation of
crime victims may be provided for the limited purpose of
seeking a temporary civilian court restraining order or a
protective order. Representation in court must first be
authorized by the respective unit commanding officer or, for
the Marine Corps, the SJA to CMC or his or her designee,
notwithstanding eligibility limitations as defined in section
0710.
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JAGINST 5800.7G
(b) Complex estate planning to include advice,

drafting and document execution of the following:
1. Credit shelter trusts and disclaimer credit

shelter trusts;
2. Marital deduction trusts;
3. Qualified domestic trusts when a foreign

national spouse is the client's beneficiary;
4. Qualified terminable interest property

trusts;
5. Special needs trusts or supplemental needs

trusts under the supervision of a fully qualified Region Legal
Service Office (RLSO) civilian legal assistance attorney,
Marine Corps civilian legal assistance attorney, or a fully
qualified Navy or Marine Corps Reserve subject matter expert;
and
6. Tax and cost analysis of a Survivor Benefit

Plan election.
(c) Real estate purchase agreement contract review

and explanation of terms. Drafting of real estate purchase or
sale contracts is not authorized.
b. Other services. Legal assistance offices may provide

additional services not specifically prohibited by regulation
if the legal assistance providers are competent to provide such
services and they are approved by Commander, Naval Legal
Service Command or the SJA to CMC, or their respective
designees, as appropriate.
0708 Limitations on Scope of Legal Assistance Services
a. Personal legal matters only. Legal assistance is

authorized for personal civil legal affairs with only one
business venture related exception: a Service member who leases
out his or her personal residence may obtain assistance
regarding the leasing of that single personal residence.
b. Advice or assistance in official military matters.

Service members accused or suspected of offenses or conduct that
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JAGINST 5800.7G
may result in disciplinary or judicial proceedings under the

UCMJ, or processing for administrative discharge, will be
referred to a defense counsel. Legal assistance duties are
separate from responsibilities of trial counsel, defense
counsel, victims' counsel, or others involved in processing
courts-martial, nonjudicial punishment proceedings,
administrative boards or proceedings, and investigations.
c. Representation of opposing parties or interests. If two

or more eligible persons with conflicting interests seek advice
from the same legal assistance office on the same matter, the
party first establishing an attorney-client relationship will be
provided representation. The legal assistance office will
comply with JAGINST 5803.1 (series) when determining the
conflicted party's (or parties') eligibility for services. When
providing legal assistance to a crime victim, refer to
JAG/COMNAVLEGSVCCOM 5800.4 (series) and COMNAVLEGSVCCOM 5800.1
(series), and for the Marine Corps, MCO 5800.16 and the Marine
Corps Legal Assistance Program (MCLAP) Policy and Practice
Manual before forming an attorney-client relationship with that
victim.
d. Proceedings involving the United States. Legal

assistance attorneys will not represent or assist an individual
in a matter in which the United States has a direct and
substantial interest, whether or not the U.S. Government's
position is adverse to that of the individual, except as
permitted by JAGINST 5801.2 (series) or other prior and specific
authorization of the JAG, Deputy Assistant Judge Advocate
General (DAJAG) (Code 16), or the SJA to CMC or his or her
designee.
e. Telephone inquiries. The initial delivery of legal

assistance will not be provided over the telephone without
visual verification of eligibility for legal services, with the
exception of authorized alternate verification procedures in the
administration of remote legal assistance services, as specified
in JAGINST 5801.2 (series) or for the Marine Corps, MCO 5800.16
and the MCLAP Policy and Practice Manual.
f. Advice to third parties. The privileged attorney-client

relationship requires personal and private communication.
Except when the client is unable to communicate adequately,
advice or assistance will not be provided through third parties.
For example, each client must be interviewed personally by a
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legal assistance attorney before execution of the client's will.

When command representatives seek information or assistance on
behalf of Service members, they will normally be instructed to
have the Service member obtain a legal assistance appointment.
Bona fide requests for command services will be referred to the
judge advocate normally charged with providing advice and
assistance to the command concerned.
0709 Referrals and Fees
a. Referral to a civilian attorney or law firm. The legal

assistance attorney may determine that the best interests of the
client will be served by referring the case to a civilian
attorney or law firm. Should referral be necessary, payment of
legal fees is the client's responsibility. The government will
not reimburse the individual or pay any expenses associated with
the referral. Referrals must strictly avoid the appearance of
preferential treatment of any civilian attorney or law firm and
must not imply endorsement by the Navy or Marine Corps. See
JAGINST 5801.2 (series) section 8-8, and for the Marine Corps,
MCO 5800.16 and the MCLAP Policy and Practice Manual.
b. Prohibition of fees. Services provided in the DON legal

assistance programs are at no cost to eligible personnel. All
legal assistance personnel are prohibited from accepting or
receiving any fee or compensation from eligible clients or
attorneys or firms to whom cases have been referred. Reserve
personnel not on active duty are prohibited from receiving fees
or compensation for the same matters about which they consulted
with or advised their legal assistance clients, regardless of
the reservist's duty status when the legal assistance was
provided.
0710 Expanded Legal Assistance Program
a. General. Under the ELAP, as approved by the JAG, DAJAG

(Code 16), or the SJA to CMC or his or her designee, designated
legal assistance attorneys may provide in-court representation
to certain categories of clients who cannot afford private
attorney fees. Additional information on ELAP is contained in
JAGINST 5801.2 (series), and for the Marine Corps, MCO 5800.16
and the MCLAP Policy and Practice Manual.
b. Eligibility. Persons eligible:
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(1) Active-duty military personnel in pay grades E-3 and

below.
(2) Active-duty military personnel in pay grades E-4 and

below with dependents.
(3) Dependents of personnel in pay grades E-4 and below.
(4) Other active-duty military personnel and their

dependents who are unable to afford an attorney without
substantial financial hardship may be eligible if approved by
the JAG, DAJAG (Code 16), or the SJA to CMC or his or her
designee.
(5) Service members with cases that involve a

significant issue that affects other Service members, if
approved by the JAG, DAJAG (Code 16), or the SJA to CMC or his
or her designee.
c. Temporary civilian restraining or protective orders for

crime victims. Due to the urgent nature of representation,
temporary civilian restraining or protective orders for crime
victims are not subject to the pre-approval and eligibility
limitations of section 0710. See subsection 0707(a)(4)(a)(7).
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CHAPTER EIGHT
GENERAL CLAIMS PROVISIONS

JAGINST 5800.7G
TABLE OF CONTENTS
Part A - General
0801 Scope
0802 Responsibilities
0803 Investigations - General
0804 Claims - General
a. Claims against the United States

b. Claims in favor of the United States
0805 Claims – Action by Receiving Command
a. Record date of receipt

b. Forward the claim to OJAG (Code 15), Tort Claims Unit
(TCU)
c. Initiate an investigation
d. Assistance to claimants
0806 Claims – Action When Suit Filed
Part B - Foreign Claims
0807 Definition
0808 Single-Service Claims Responsibility
0809 International Agreements
a. International Agreements Claims Act (IACA)

b. Foreign Claims Act (FCA)
c. Region Legal Service Office (RLSO) Europe, Africa, and
Southwest Asia (EURAFSWA)
d. Claims arising in other countries
0810 Foreign Claims Act (FCA)
a. General
b. Purpose
c. Construction
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JAGINST 5800.7G
0811 Filing the Claim
a. General
b. Presentation of the claim
c. Appropriate authorities
d. Form of the claim
e. Amending the claim
f. Statute of limitations
0812 Claims Payable
a. General
b. Covered claimants
c. Covered incidents
d. Scope of employment
0813 Claims Not Payable
0814 Computation of the Amount of Payment
a. General
b. Compensation
c. Apportionment
d. Joint liability
e. Insurance
f. Negligence of the claimant
g. Currency
0815 Foreign Claims Commissions
a. Purpose
b. Authority to appoint
c. Claims presented
d. Composition of the Commission
e. Qualifications of members
f. Adjudicating authority
0816 Processing of Cases
a. Action by the staff judge advocate

b. Action by the appointing authority
c. Action by the claims investigating officer
d. Action by the Commission
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0817 Reports Required
0818 Forwarding Reports
a. Claims within adjudicating authority

b. Claims in excess of adjudicating authority
0819 Action on Forwarded Claims
0820 Notification to the Claimant
0821 Reconsideration, Appeal, and Suit
a. Reconsideration
b. Appeal
c. Suit
0822 Payment
a. Documentation
b. Voucher
c. Accounting data
d. Settlement agreement and release
e. Advance payments
f. Currency
APPENDIX
Settlement Agreement and Release
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JAGINST 5800.7G
Part A – General
0801 Scope
This chapter provides information about responsibilities for the

supervision and management of the DON’s claims program and the
investigation of claims under the various federal claims statutes.
Detailed information about the adjudication of foreign claims is
in Part B. Explanations of the other claims statutes and
information about adjudication are further detailed in JAGINST
5890.1 (series).
0802 Responsibilities
a. For the DON, the JAG is responsible for the resolution of

claims arising under the Federal Tort Claims Act (FTCA), Military
Claims Act (MCA), Nonscope Claims Act, Military Personnel and
Civilian Employees’ Claims Act (PCA), Foreign Claims Act (FCA),
International Agreements Claims Act (IACA), Medical Care Recovery
Act (MCRA), Third Party Payers Act, and Federal Claims Collection
Act (FCCA) (affirmative claims). The Office of the Judge Advocate
General (OJAG), Claims and Tort Litigation Division (Code 15)
executes this responsibility on behalf of the JAG.
b. The Division Director, Claims and Tort Litigation (OJAG,

Code 15) is the manager of the DON claims system that evaluates,
adjudicates, and provides litigation support for claims arising
under the acts listed above. The claims system consists of
attorneys and support personnel assigned to OJAG (Code 15). OJAG
(Code 15) personnel responsible for processing tort claims are
located at the Tort Claims Unit (TCU), Norfolk, Virginia.
Personnel responsible for processing PCA claims are located at the
Personnel Claims Unit (PCU), Norfolk, Virginia, and at the PCU
Branch Office, Pearl Harbor, Hawaii. Personnel responsible for
processing affirmative claims under the MCRA are located at
Medical Care Recovery Units (MCRUs) in Norfolk, Virginia;
Pensacola, Florida; and San Diego, California.
c. Commanding officers of commands receiving claims are

responsible for complying with the guidance on investigations in
Chapter Two and sections 0803 and 0804 of this chapter, and the
guidance on handling and forwarding claims found in section
0805.
d. Admiralty claims are discussed in Chapter Eleven. The
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Deputy Assistance Judge Advocate General (DAJAG) (Admiralty and

Maritime Law (Code 11)) adjudicates all claims, for and against
the Navy, that are within admiralty jurisdiction.
0803 Investigations - General
Chapter Two addresses administrative investigations. Whenever

an investigation is conducted primarily for claims purposes, it
will be conducted as a litigation-report investigation in
accordance with section 0210. As noted in section 0210, such an
investigation is conducted under the direction and supervision
of a DON attorney in anticipation of litigation and the
investigation is privileged.
0804 Claims - General
a. Claims against the United States. Claims against the

United States must receive prompt and professional disposition.
Every effort will be made to ensure an investigation is thoroughly
and accurately completed, the claimant's allegations evaluated
promptly, and where liability is established, payment is made as
quickly as possible. Similarly, claims not payable will be
processed promptly and claimants advised of the reasons for the
denial. Forms and instructions for filing claims are located at:
http://www.jag.navy.mil/organization/code_15.htm. For questions
regarding tort claims, contact the TCU at (757) 341-4583 or via
TORT_CLAIMS_UNIT@navy.mil. For questions regarding PCA claims,
contact the PCU at (888) 897-8217.
b. Claims in favor of the United States. Potential claims in

favor of the United States will be critically evaluated and
promptly investigated. OJAG (Code 15) has the sole authority to
assert affirmative claims for damage to DON property. For
questions regarding affirmative claims for damage to DON property,
contact the TCU at (757) 341-4583.
0805 Claims – Action by Receiving Command
a. Record date of receipt. The first command receiving a

claim will stamp or mark the date of receipt on the letter or
claim form. The envelope in which the claim was received will be
preserved.
b. Forward the claim to OJAG (Code 15), Tort Claims Unit

(TCU). The receiving command will immediately send the original
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JAGINST 5800.7G
claim to the Tort Claims Unit, 9620 Maryland Avenue, Suite 205,
Norfolk, VA 23511-2989. Send the original claim to the TCU as
soon as possible; the command should not retain the original claim
while conducting an investigation.
c. Initiate an investigation. The command most directly

involved with the claim, usually the command where the incident is
alleged to have occurred or whose personnel caused the loss, will
immediately convene a litigation-report investigation in
accordance with Chapter Two, if one has not already been convened.
Upon completion, forward an advance copy of the investigation to
OJAG (Code 15), Investigations Branch, 1322 Patterson Ave SE,
Suite 3000, Washington Navy Yard, DC 20374-5066. The advance
copy can also be forwarded via encrypted email, or via a DON
approved system for transmitting personally identifiable
information (PII). Waiting until endorsements have been obtained
before providing a copy of the investigation to OJAG (Code 15) is
neither required nor desirable as the facts of the incident must
be made known to cognizant claims personnel as soon as possible.
After the litigation report is finalized and endorsed, send the
original report and one copy to OJAG (Code 15) at the physical
address noted above. See Chapter Two, section 0210, for further
information on litigation-report investigations.
d. Assistance to claimants. Immediately refer claimants or

potential claimants who inquire concerning their rights or the
procedures to the TCU. The TCU is responsible for: (1)
providing the proper claims forms; (2) advising where the claims
forms should be submitted; (3) advising what substantive evidence
will be required to be filed with the claims forms; and (4)
providing general information concerning the filing of claims.
All federal officials must be careful not to violate 18 U.S.C. §
205, which makes it a crime for any officer or employee of the
United States to act as an agent or attorney in the prosecution of
any claim against the United States.
0806 Claims – Action When Suit Filed
Commencement of any civil action against the United States

involving the DON seeking money damages for personal injury,
property damage, or death that comes to the attention of any
officer or employee of the Navy in connection with his official
duties must be reported immediately to the TCU at (757) 341-
4583. Report immediately civil actions involving admiralty
incidents to OJAG (Code 11) at (202) 685-5040. OJAG (Code 14)
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JAGINST 5800.7G
must be immediately notified of the initiation of any litigation

involving the DON with respect to Freedom of Information Act
(FOIA) and Privacy Act (PA); actions challenging military
personnel programs, policies and decisions; and suits against
Service members for official actions allegedly violating
another’s constitutional rights. OJAG (Code 14) may be reached
at (202) 685-5450. Inform the Navy Office of General Counsel
(OGC) immediately of all other lawsuits involving the DON.
Refer to Chapter Six, Part B regarding the service of process
and subpoenas upon Navy personnel.
Part B – Foreign Claims
0807 Definition
Foreign claims are demands for payment against the United States
presented by inhabitants of foreign countries, as defined in
section 0812 below, for property damage, personal injury, or
death occurring outside the United States and caused either by the
negligent or wrongful act or omission of members or civilian
employees of the U.S. Armed Forces or by the non-combat activities
of these forces in foreign countries. Foreign claims are
adjudicated pursuant to two federal statutes already mentioned in
this chapter: the IACA and the FCA.
0808 Single-Service Claims Responsibility
a. Department of Defense Instruction (DoDI) 5515.08 (series)

assigns "single-service claims responsibility" to individual
military departments for processing claims in specified foreign
countries. A memorandum from DoD OGC dated 27 February 2018
further assigned single-service responsibility for specified
countries in Southeast Asia. In accordance with these references,
the DON has single-service responsibility for claims arising in:
Bahrain, Djibouti, Greece, Iceland, Israel, Italy, Portugal,
Spain, United Arab Emirates, Benin, Cape Verde, Cote D’Ivoire,
Guinea, Guinea-Bissau, Kenya, Liberia, Mali, Mauritania,
Mozambique, Niger, Nigeria, São Tomé and Príncipe, Senegal, Sierra
Leone, The Gambia, Togo, Cambodia, Laos, Thailand, and Vietnam.
DoDI 5515.08 also provides the DON with authority to settle non-
scope of duty claims for less than $2,500 arising in foreign ports
visited by U.S. forces afloat, including those arising in
countries assigned to the Departments of the Army and the Air
Force.
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b. If a claim arises in a country not specified by either of

these references, then the service component of the alleged
tortfeasor is responsible for adjudication.
c. Claims arising in countries assigned to the Department of

the Army and the Department of the Air Force must be forwarded
promptly to the assigned military department. Claims must not be
processed by DON activities in accordance with this chapter until
it has been determined that such action is consistent with these
references.
a. International Agreement Claims Act (IACA). Claims may be

adjudicated under the IACA, 10 U.S.C. §§ 2734a, 2734b, when there
is a Status of Forces Agreement (SOFA) between the United States
and the country where the claim arises and the SOFA contains
specific tort claims cost-sharing provisions. The IACA permits
payment for damages for acts or omissions of military members and
civilian employees acting in the performance of official duties
when the act or omission at issue is one for which the armed force
is legally responsible under host nation law.
(1) 10 U.S.C. § 2734a authorizes payment for damages for

the pro rata share agreed to in the SOFA for acts or omissions of
U.S. Armed Forces military members and civilian employees acting
in the performance of official duties abroad. Generally, the host
nation will investigate, then deny or approve the claim. If
approved, the host nation will pay the claim and then present a
bill to the United States for its pro rata share.
(2) 10 U.S.C. § 2734b authorizes payment for damages for

the pro rata share agreed to in the SOFA for acts or omissions of
armed forces of another party to the SOFA occurring in the United
States.
b. Foreign Claims Act (FCA). If there is no SOFA, or a SOFA

exists with no tort claims cost-sharing provisions, the claim
should be processed under the FCA.
c. Region Legal Service Office (RLSO) Europe, Africa, and

Southwest Asia (EURAFSWA). The Commanding Officer, RLSO EURAFSWA
has authority to represent the DoD to the appropriate foreign
authorities and to facilitate reimbursement for claims paid by the
foreign authorities for all claims arising within his or her area
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JAGINST 5800.7G
of designated claims responsibility in accordance with the NATO or

other applicable SOFA.
d. Claims arising in other countries. Questions regarding

whether the United States has an applicable SOFA with the country
where the claim arises should be directed to OJAG (Code 15) at
(202) 685-4600. If required, OJAG (Code 15) will consult with
OJAG, National Security Law Division (Code 10) for guidance.
0810 Foreign Claims Act (FCA)
a. General. The FCA, 10 U.S.C. § 2734, authorizes the

filing, investigating, processing, and settling of foreign claims
in accordance with such regulations as the service secretary shall
prescribe. The remainder of this chapter contains regulations
implementing the FCA within the DON.
b. Purpose. The purpose of the FCA is to "promote and

maintain friendly relations through the prompt settlement of
meritorious claims" in foreign countries.
c. Construction. These regulations should be broadly

construed to carry out the FCA’s statutory purpose. The United
States generally accepts responsibility for almost all damage,
injury, or death to local inhabitants caused by either the
employees of the U.S. Armed Forces or by the non-combat activities
of our armed forces in foreign countries. Meritorious claims
should be settled fairly and promptly, without regard to whether
the acts giving rise to them are mistaken, negligent, intentional,
or even criminal.
0811 Filing the Claim
a. General. A claim must be presented in writing to the

appropriate U.S. military authorities within two years after the
claim accrues. It must: (1) state the time, date, place, and
nature of the incident; (2) state the nature and extent of any
injury, loss, or damage; and (3) request compensation in a
definite amount in the local currency.
b. Presentation of the claim. A claim may be presented to

any U.S. authority or to foreign government authorities if
authorized under a SOFA or other applicable treaty or agreement.
Claims must be promptly transferred to the appropriate authorities
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for processing.
c. Appropriate authorities.
(1) General. The commanding officer of the organization

or individual(s) whose activities give rise to the claim has
authority to process claims under these regulations subject to the
restrictions of any SOFA provisions or DoD guidance on single-
service responsibility (see section 0808). A commander who
receives a claim over which he or she does not have authority must
forward the claim promptly to the appropriate authority and will
provide assistance necessary to investigate and adjudicate the
claim.
(2) RLSO EURAFSWA. The Commanding Officer, RLSO EURAFSWA

has authority to process all claims under the FCA arising in
Italy, Greece, Portugal, Spain, and those countries in Southwest
Asia and Africa for which DON has single-service responsibility
(see section 0808). The Commanding Officer, RLSO EURAFSWA has
authority to pay claims filed in any amount when payment is less
than $50,000.00 and has unlimited denial authority.
d. Form of the claim. A properly completed Standard Form 95

signed by the claimant or an authorized agent, or other written
demand containing the same essential information is sufficient. A
claim may be signed by either the injured party or an authorized
agent, such as a lawyer. Agents must present evidence of their
legal capacity and authority to sign the claim. A claim must
also describe the incident in sufficient detail to give reasonable
notice of the time, place, circumstances, and resulting harm.
e. Amending the claim. A claim may be amended at any time

prior to final settlement or denial. Amendments must be written
and signed by the claimant or authorized agent.
f. Statute of limitations. A claim must be filed within two

years after it accrues. A claim accrues when the claimant
discovers or reasonably should have discovered the personal injury
or property damage giving rise to the claim. To compute the
statutory time period, exclude the day the claim accrues, and
include the day the claim is received.
0812 Claims Payable
a. General. For a claim to be payable under the FCA, both
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JAGINST 5800.7G
the claimant and the incident giving rise to the claim must be
covered by the statute (10 U.S.C. § 2734).
b. Covered claimants. The FCA applies only to "inhabitants"

of foreign countries. "Inhabitants" are defined as persons,
corporations, or other government or business entities whose usual
place of abode or activity is in a foreign country. "Inhabitant"
has a broader meaning than "citizen" or "national." Foreign
citizenship or legal domicile in the country in which the claim
arises is not required. Therefore, the FCA applies to foreign
nationals visiting or traveling in a foreign country in which
they do not reside. Examples of covered claimants are:
(1) Foreign nationals residing in a foreign country.
(2) Foreign nationals visiting or traveling in a foreign

country where they do not reside.
(3) U.S. citizens residing in a foreign country, if they

are inhabitants of a foreign country and are not there as U.S.
Service members, civilian employees, sponsored dependents, or as
U.S. civilian contractors performing work pursuant to an agreement
with the U.S. Government, or dependents sponsored by or
accompanying such civilian contractors.
(4) A corporation or other organization doing business in

a foreign country on a permanent basis, even if organized under
U.S. law, provided that the corporation or organization is not
providing work pursuant to a contract with the U.S. Government.
(5) Foreign governments and their political subdivisions,

including the equivalents of state, county, and city governments,
unless excluded by waiver provisions of an international
agreement.
c. Covered incidents. Unless otherwise prescribed, a claim

for personal injury, death, or damage or loss of real or personal
property may be settled under these regulations if the incident
occurs outside the United States and is caused by either the
employees of the U.S. Armed Forces or the non-combat activities of
these forces.
d. Scope of employment. As a general rule, scope of

employment of the Service member or civilian employee that
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allegedly causes the loss is immaterial. If, however, a claim

arises from the act of a U.S. employee who is an indigenous
person, prisoner of war, or interned enemy alien, scope of
employment is a prerequisite to U.S. responsibility. Claims
arising from the operation of a U.S. Armed Forces vehicle should
be settled if local law imposes liability on the owner of the
vehicle under the circumstances.
0813 Claims Not Payable
a. Claims of insurers and other subrogees.
b. Claims of U.S. Armed Forces Service members, U.S.

Government employees, and their sponsored dependents.
c. Claims of U.S. civilian contractors present in the foreign

country for the purpose of performing work pursuant to a contract
with the U.S. Government.
d. Claims of dependents sponsored by or accompanying U.S.

civilian contractors present in the foreign country for the
purpose of performing work pursuant to a contract with the U.S.
Government.
e. Claims of foreign military personnel suffering injury or

death incident to a joint military mission or exercise with U.S.
Armed Forces, or as a result of the actions of a Service member
or civilian employee of the U.S. Armed Forces, acting within the
scope of employment, unless a treaty specifically provides for
recovery.
f. Claims of civilian employees of the U.S. Government,

including local inhabitants, injured incident to their employment.
Compensation for such injuries is separately provided for in
federal statutes and agreements with foreign governments.
g. Claims of national governments or their political

subdivisions engaging in combat with the United States or its
allies.
h. Claims of a national or a nationally-controlled

corporation of a country engaging in combat with the United States
or its allies, unless it is determined that the claimant is
friendly.
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JAGINST 5800.7G
i. Claims resulting from combat activities, except that

claims arising from an accident or malfunction incident to
aircraft operations, including airborne ordnance, occurring while
preparing for, going to, or returning from a combat mission may be
paid.
j. Claims previously paid or denied.
k. Claims purely contractual in nature.
l. Claims involving private contractual and domestic

obligations between individuals.
m. Claims based solely on compassionate grounds.
n. Claims for paternity or illegitimacy.
o. Claims payable under other federal statutes.
p. Claims for damage caused by naval vessels, unless payment

is specifically authorized by OJAG (Code 11) under section 1116.
0814 Computation of the Amount of Payment
a. General. The local laws, standards, and customs of the

country where the incident occurred control when computing damages
for personal injury, death, or damage to property. Naval
attachés, embassy personnel, and host nation attorneys under
United States employment are all good resources for finding and
interpreting local laws and customs.
b. Compensation. An appropriate award is generally limited

to reasonable compensation for the injury, death, or property
damage or loss only, and does not extend to payment of punitive
damages, interest, costs, attorneys' fees, bail, or any other such
charges, regardless of whether they are allowed by local laws,
standards, or customs. In cases of personal injury or death,
compensation may include medical expenses, pain and suffering,
burial expenses, loss of society and companionship, and lost
income. In cases of permanent disability, compensation may also
include diminished earning capacity and costs of future medical
care. In cases of property damage, compensation may include cost
of repair, cost of replacement or diminished value, and loss of
use of the property.
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JAGINST 5800.7G
c. Apportionment. When there are multiple claimants or

beneficiaries for a single award, the amount approved should be
apportioned among them in the proportions prescribed by local
laws, standards, and customs.
d. Joint liability. When two or more parties are liable for

causing the same harm, they may be jointly liable for payment of
compensation. Any amount paid by or on behalf of such a party
should be deducted from the amount allowed under these
regulations.
e. Insurance. Only insurance coverage that has been paid or

is reasonably likely to be paid to the claimant by or on behalf of
the United States by reason of the same injury, death, or damage
or loss, should be deducted from the amount allowed under these
regulations. Otherwise, insurance coverage should not be
considered.
f. Negligence of the claimant. A claimant's negligent or

wrongful act contributing to the injury, death, or damage that is
the basis of the claim, may bar the claim entirely (contributory
negligence) or diminish the claim proportionately (comparative
negligence). The local laws, standards, and customs of the place
where the incident occurred should be applied to determine whether
and in what amount to allow a claim.
g. Currency. The amount of the award should be computed in

U.S. dollars.
0815 Foreign Claims Commissions
a. Purpose. The purpose of a foreign claims commission

(Commission) is to settle meritorious claims fairly and promptly.
A Commission will adjudicate certain claims referred to it, and
for those claims outside its adjudicating authority a Commission
will forward recommendations to appropriate higher authorities.
b. Authority to appoint.
(1) All commanding officers of the Navy and Marine Corps

have authority to appoint a Commission, unless restricted by a
competent superior commander.
(2) For the purpose of the FCA and these regulations, the
following officers are also considered commanding officers: the
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JAGINST 5800.7G
JAG; the SJA to the CMC; the Commanding Officer, RLSO EURAFSWA;
chiefs of naval missions, including chiefs of the naval section of
military missions; and chiefs of military assistance advisory
groups, including chiefs of the naval section of such groups and
naval attachés.
c. Claims presented. A Commission may be appointed to

consider each claim as presented or a standing Commission may be
appointed to consider all claims presented. The commanding
officer to whom a claim is presented will refer the claim to a
Commission appointed in accordance with these regulations.
d. Composition of the Commission. A Commission will be

composed of either one or three members. Alternate members may be
appointed where circumstances require and may be substituted for
the principal members for specific cases by order of the
appointing authority. The appointing orders should clearly
indicate which member is president of a three-member Commission.
e. Qualifications of members.
(1) Members appointed to serve on a Commission will be

commissioned officers of the Navy or Marine Corps of sufficient
grade and experience to carry out the purpose of the Commission,
consistent with the FCA.
(2) Whenever possible, at least one member of the

Commission should be a judge advocate. If a commanding officer
believes that it would be more efficient or practical to appoint a
judge advocate or a civilian attorney of another military service
to serve on a Commission, he must ask the Director, Claims and
Tort Litigation (OJAG, Code 15) to request such an appointment
from the claims chief of the other service. This request is made
pursuant to a 1998 Memorandum of Understanding among the Army,
Navy, and Air Force. If approval is granted, the Director will
forward written confirmation of such approval to the commanding
officer. Likewise, when it would be more efficient or practical
for an officer of the Navy or Marine Corps to serve on a
Commission of another armed force, the claims chief of that armed
force must seek the approval of the Director, Claims and Tort
Litigation (OJAG, Code 15).
f. Adjudicating authority. A Commission’s authority to pay

a claim, within the amounts provided below, is determined by the
value of the settlement amount in U.S. dollars according to the
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conversion rate on the date the settlement agreement is forwarded

to the claimant for signature. Likewise, its authority to deny a
claim is determined by the claimed amount in U.S. dollars on the
date the notification of denial of the claim is forwarded to the
claimant. Consequently, if the value of the U.S. dollar decreases
after a claim is filed, the Commission may be required to forward
a recommendation to a higher authority for a claim that was
previously within its adjudicating authority.
(1) Claims up to $20,000.00. The Commission may deny or

pay, in whole or in part, claims within the following limitations:
(a) One officer Commission: may deny claims of

$5,000.00 or less; may pay claims filed in any amount when payment
is $5,000.00 or less.
(b) One officer Commission (judge advocate): may deny

claims of $10,000.00 or less; may pay claims filed in any amount
when payment is $10,000.00 or less.
(c) Three officer Commission: may deny claims of

$10,000.00 or less; may pay claims filed in any amount when
payment is $10,000.00 or less.
(d) Three officer Commission with at least one judge

advocate: may deny claims of $20,000.00 or less; may pay claims
filed in any amount when payment is $20,000.00 or less.
(2) Claims in excess of Commission’s limits or

$20,000.00. Commissions will forward recommendations to OJAG
(Code 15), or to RLSO EURAFSWA for claims arising in their area of
responsibility, to deny claims in excess of their denial authority
or to pay, in full or in part, an amount that exceeds the limits
of the Commission’s authority. Recommendations will be forwarded
through the appointing authority as directed under section 0818.
0816 Processing of Cases
a. Action by the staff judge advocate. The staff judge

advocate of the commanding officer presented with a claim is
responsible for providing advice to the commanding officer,
Commission, and claims investigating officer on the policies and
procedures in these regulations. Commands without a staff judge
advocate should request assistance from the first judge advocate
in their chain of command.
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JAGINST 5800.7G
b. Action by the appointing authority. The commanding

officer to whom a claim is presented, and who is authorized to
take action under this chapter, is the appointing authority for
the Commission to adjudicate the claim. The appointing authority
will: detail appropriately qualified members and appoint them in
writing; convene an appropriate investigation or obtain the report
of investigation if one has already been conducted; refer the
claim with the investigative report of the incident to the
Commission for adjudication; and if applicable, receive a
recommendation from the Commission for denial or payment beyond
its authority, review it with appropriate legal advice, and take
action or forward it as appropriate in accordance with these
regulations.
c. Action by the claims investigating officer. There is no

formal procedure for conducting an investigation of a foreign
claim. The requirements of Chapter Two may be followed as a
guide. Verbatim witness statements are not required; only the
substance of the statements must be recorded. Written
statements provided by witnesses should be signed, if possible.
The formal rules of evidence need not be followed and any
relevant evidence, regardless of form, may be received to
establish the essential facts of the incident. The
investigation will be submitted to the appointing authority as
soon as practicable.
d. Action by the Commission.
(1) Review the claim and the investigation and, if

necessary, initiate or request further investigation.
(2) If appropriate, negotiate with the claimant for

settlement of the claim within the limit of adjudicating
authority. All settlements will be in local currency.
(3) Adjudicate and deny or pay the claim, in full or in

part, within the limits of the Commission’s denial or
adjudication authority as outlined in subsection 0815(f), or
make a recommendation to a higher authority. The decisions of
the Commission will be determined by a majority vote.
(4) Report its decision or recommendation and the

reasons therefore to, or through, the appointing authority, as
required under these regulations.
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(5) Prepare the written notification to the claimant,

explaining its decision to deny or pay the claim, in full or in
part, or advising that the claim has been referred to a higher
authority.
(6) Prepare the settlement agreement and release using

the Appendix A-8-a form. The settlement agreement and release
should state the agreed settlement amount in the local currency
where the claim arose or where the claimant resides. Ensure that
the claimant signs the settlement agreement and release upon
payment of any claim and forward this document through the
appointing authority to the disbursing officer.
(7) Pay the claim in the currency of the country where the
claimant resides or where the claim arose. See section 0822 for
guidance on payment procedures.
0817 Reports Required
a. The Commission will make a written report of each claim,

to include:
(1) Appointing order and any modifications;
(2) Claim document;
(3) Investigative report;
(4) Summaries of witness testimony or witness statements

signed by the witnesses, if possible;
(5) The settlement agreement and release when payment is

approved;
(6) Proposed notification to the claimant; and
(7) Memorandum containing the following information:
(a) Dates of the proceedings.
(b) Amount claimed, stated in the local currency and

the conversion into U.S. currency at the official rate of exchange
on the date of initial consideration of the claim.
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JAGINST 5800.7G
(c) Brief summary of essential facts, including:

date of incident, date claim was filed, circumstances of
incident, nature and extent of injury or damage, and basis for
determining whether the claim is payable.
(d) Brief evaluation of the applicable local laws,

standards, and customs.
(e) Date of adjudication by the Commission.
(f) Amount of any award or recommended award, stated

in the local currency and the conversion into U.S. currency at the
official rate of exchange on the date of payment.
(g) Statement of the decision or recommendation of the

Commission and an explanation of its basis.
b. With regard to non-scope of duty claims under $2,500

arising in foreign ports, the Commission can make a single
summarized report detailing all the claims paid for that port
visit. However, individual settlement agreements and releases
still need to be completed by the claimant and included as
enclosures to the report.
0818 Forwarding Reports
a. Claims within adjudicating authority. When a Commission

pays or denies a claim within its adjudicating authority, the
original report and all related papers must be forwarded to the
appointing authority.
b. Claims in excess of adjudicating authority. When a

Commission recommends payment or denial of a claim in excess of
its denial or adjudicating authority, the original report and all
related papers will be forwarded to the appointing authority for
retention, and a copy will be forwarded through the appointing
authority to OJAG (Code 15) or Commanding Officer, RLSO EURAFSWA,
as appropriate, for further action.
0819 Action on Forwarded Claims
When payment or denial of a claim in excess of the adjudicating

authority of the Commission is recommended, the following officers
may approve or disapprove the recommendation and the claim, in
whole or in part, pay or deny the claim, or return the claim with
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JAGINST 5800.7G
instructions to the appointing authority or the Commission. The

adjudicating authority of these officers should be determined by
the conversion method described in subsection 0815(f).
a. Claims up to $50,000.00. The Deputy Judge Advocate

General (DJAG), the Assistant Judge Advocate General (AJAG) (Civil
Law), the Director, Claims and Tort Litigation (OJAG, Code 15),
and also, for claims arising in his or her area of authority, the
Commanding Officer, RLSO EURAFSWA, have unlimited denial
authority;
b. Claims from $50,000.00 through $100,000.00. The JAG (who

has unlimited denial authority); and
c. Claims in excess of $100,000.00. The Secretary of the

Navy. See 10 U.S.C. § 2734(d).
0820 Notification to the Claimant
The claimant will be notified promptly by the Commission in

writing of approval or denial of claims within the adjudicating
authority of the Commission, or of referral of claims in excess
of the adjudicating authority of the Commission to higher
authority. Notification should inform the claimant of the action
of the Commission and briefly explain the reasons therefore. Do
not inform the claimant of the amount of the recommendation to
higher authority for payment and do not show the claimant the
report of the Commission. The notification will also inform the
claimant of the right to request reconsideration of the
adjudication of the claim. When resources permit, the letter of
notification should be translated into claimant's language,
preferably using the interlinear method. When final action on a
claim is taken by an officer with greater adjudicating authority
than the Commission, a notification letter should be forwarded
to the claimant through the appointing authority, with a copy to
the Commission.
0821 Reconsideration, Appeal, and Suit
a. Reconsideration.
(1) A claim may be reconsidered by the original

Commission, a successor Commission, or a newly appointed
Commission, upon written request from the claimant, upon the
original Commission's own initiative, or upon instructions from a
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JAGINST 5800.7G
superior officer authorized to take action on the claim, when it

appears that the original action was incorrect in law or fact
based on the evidence of record at the time of the action or
based on evidence subsequently received. Requests for
reconsideration must be received within 60 days of the date of the
denial letter unless good cause is shown.
(2) If the Commission concludes that the original

recommendation was incorrect, it will modify the decision or
forward a supplemental recommendation through the appointing
authority for action. If the Commission concludes that the
original recommendation was correct, it will affirm the decision
and forward a memorandum for information through the appointing
authority. Notification to claimant will be as prescribed in
section 0820.
(3) Claimant's request for reconsideration of the decision

of the Commission or the action of a higher authority should
indicate the legal or factual basis asserted as grounds for
relief. When action on reconsideration has been completed and
approved, the appointing authority shall notify the claimant that
such action is final and conclusive by law. See 10 U.S.C.
§ 2735.
b. Appeal. There is no right of appeal under the U.S. laws

governing foreign claims.
c. Suit. The U.S. laws governing foreign claims are not

intended in any way to evidence that the United States has
consented to be sued.
0822 Payment
a. Documentation. When a Commission determines that a

payment should be made within its adjudicating authority, it must
submit the original and one copy of the approved report of the
Commission and a completed Standard Form 1034, Public Voucher for
Purchases and Services Other Than Personal (or equivalent, as
required), to the nearest Navy or Marine Corps disbursing officer
for payment of the claim. If no Navy or Marine Corps disbursing
officer is reasonably available, then the nearest U.S. disbursing
officer of any agency may be requested to pay the claim.
b. Voucher. The voucher for payment must be signed by a

duly appointed certifying official on a DD577 in accordance with
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the Department of Defense Financial Management Regulation (DoD

FMR) Volume 5, Chapter 33. The command adjudicating the foreign
claim is responsible for immediately forwarding a legible copy
(with PII redacted) of: (1) every voucher, (2) the certifying
official’s DD Form 577, and (3) the Commission’s report (minus
enclosures), to the Comptroller, Office of the Judge Advocate
General (Code 64), via one of the following means:
E-mail: JAG_FCC_Claims@navy.mil
Fax: (202) 685-5455 (DSN – 325)
Mail: The Office of the Judge Advocate General (Code 64)
1322 Patterson Ave, SE, Suite 3000
Washington Navy Yard, D.C. 20374-5066
c. Accounting data. Foreign claims are paid from a

centrally managed budget with a fund citation from the DoD FMR.
The Standard Document Number that must appear on every Foreign
Claim Voucher is:
(1) "N00013$$PVA1001" where "$$" is the last two digits

of the fiscal year when the payment is actually made.
(2) The Line of Accounting Data that must appear on every

Foreign Claim Voucher is: "AA 17+1804.11T1 420 07923 056521 2D
+##### 013$$PVA1001" where "+" is the last digit of the fiscal
year when the payment is actually made, and where "#####" is the
five-digit Unit Identification Code of the command making the
payment, and "$$" is the last two digits of the fiscal year.
d. Settlement agreement and release. A settlement agreement

and release must be obtained from the claimant when payment of an
award is accepted. The settlement amount will be set forth in
U.S. dollars. If payment will be made by electronic fund
transfer, the necessary banking and routing information should be
included on the settlement agreement. The suggested form for the
settlement agreement and release is in Appendix A-8-a.
e. Advance payments. Advance payments may be paid under

section 0822.
f. Currency. Due to federal currency restrictions, all

payments under this chapter must be made in the local currency
of the country in which the claim arises or in the currency of
the country where the claimant resides at the time of such
payment.
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JAGINST 5800.7G
Settlement Agreement and Release
File Reference:
I, [claimant], hereby agree to accept the

sum equivalent to $[amount] USD (to be paid in local currency
at the exchange rate in effect on the date payment is issued)
in full satisfaction and final settlement of any and all claims
[which I have individually] [on behalf of the next of kin of
[injured party]], [and on behalf of the estate of [injured
party]] or may have against the United States, its officers,
agents and employees, for property damage, personal injury,
wrongful death, [whichever applicable] and associated losses
arising from [brief details of incident], and for any and all
damages, injuries and losses proximate and consequent thereto.
In consideration hereof, I hereby release and forever discharge

the United States, its officers, agents and employees, from all
liability, claims, and demands of whatsoever nature arising
from the said incident.
It is understood that the amount tendered is accepted in full

satisfaction and final settlement and that the award is made
pursuant to the Foreign Claims Act, 10 U.S.C. § 2734, which
provides for the administrative settlement of disputed claims
against the United States arising from its activities, and is
not to be construed as an admission of liability on the part
of, but as a release of, the United States, its officers,
agents and employees.
IF THE PAYMENT WILL BE MADE BY ELECTRONIC FUND TRANSFER,

INCLUDE THE FOLLOWING:
A-8-a
JAGINST 5800.7G
Payment of the settlement amount will be made by government

wire transfer as per the following:
Name of Bank:
Street Address of Bank:
City, State and Zip Code of Bank:
Swift Code:
IBAN:
Name of Account:
Account Number:
CLAMAINT:
NAME DATE ADDRESS
WITNESSES:
NAME ADDRESS
NAME ADDRESS
A-8-a
CHAPTER NINE
AUTHORITY OF ARMED FORCES PERSONNEL

TO PERFORM NOTARIAL ACTS
JAGINST 5800.7G
TABLE OF CONTENTS
0901 Scope
Part A – Authority to Perform Notarial Acts
0902 Federal Authority to Administer Oaths and Perform Notarial

Acts
a. Relationship to state authority

b. Authority to administer oaths with regard to military
administration and military justice
c. Oaths for appointment, enlistment, or commissioning
d. Authority to act as a notary
e. No fees
f. Duties and responsibilities of notaries
g. Proof of authority
h. Legal effectiveness
i. Formats
0903 Non-Federal Authority to Perform Notarial Acts
a. Non-federal authority
b. Exercise of non-federal authority
c. Legal effectiveness
d. Civil notaries
Part B – General Instructions for the Performance of Notarial

Acts
0904 Introduction
0905 General Responsibilities of a Notary
0906 General Instructions for Notarial Acts
a. Acknowledgements
b. Sworn instruments
c. Certified true copy of documents originating within the
certifying command
d. Consul of the United States
e. Oaths and affirmations
f. Seal of the person executing document
g. Seal of the person performing notarial act
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JAGINST 5800.7G
h. Witnesses
i. Identifying the person requesting the notarial act
0907 Notary Logs
0908 Certificates of Full Faith and Credit
APPENDICES
a. Format for Signature Block, Witness Block, and

Acknowledgment Certificate
b. Format for a Sworn or Affirmed Instrument
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JAGINST 5800.7G
0901 Scope
This chapter designates individuals authorized to perform

notarial acts and compiles existing laws, regulations, and
guidelines on the authority of Service members and certain
civilian employees to administer oaths; take affidavits, sworn
statements, or depositions; take acknowledgments; and perform
other notarial acts as described in section 0906.
Part A – Authority to Perform Notarial Acts
0902 Federal Authority to Administer Oaths and Perform Notarial

Acts
a. Relationship to state authority. The authority to

perform notarial acts in accordance with 10 U.S.C. § 1044a is
separate from any authority provided by state law. Federal
notarial authority may be exercised without regard to geographic
limitation. Several states grant select military members the
authority to render state notarial acts. When exercising state
authority, the statutory or other requirements of the
jurisdiction must be strictly followed to ensure the legal
effectiveness of the notarial act performed. The validity of
notarial acts performed pursuant to 10 U.S.C. § 1044a is a
matter of federal law.
b. Authority to administer oaths with regard to military

administration and military justice.
(1) Pursuant to the authority of 10 U.S.C. § 936(a) and

as so designated by this subsection 0902(b)(1) below, the
following persons on active duty or performing inactive-duty
training may administer oaths for the purposes of military
administration, including military justice:
(a) All judge advocates;
(b) All summary courts-martial;
(c) All adjutants, assistant adjutants, acting

adjutants, and personnel adjutants;
(d) All commanding officers of the Navy, Marine

Corps, and Coast Guard;
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(e) All staff judge advocates and legal officers,

and acting or assistant staff judge advocates and legal
officers;
(f) All officers in the grade of O-4 and above;
(g) Executive and administrative officers;
(h) Marine Corps officers with a Military

Occupational Specialty (MOS) of 4430, while assigned as legal
administrative officers;
(i) Legalmen and all Marine Corps legal services

specialists while serving in legal billets under the direct
supervision of a judge advocate or a civilian legal assistance
attorney, when authorized by the SJA to CMC; and
(j) Persons empowered to authorize searches, for any

purpose relating to a search authorization.
(2) Under the authority of 10 U.S.C. § 936(b), the

following persons on active duty or performing inactive-duty
training may administer oaths necessary in performing their
duties:
(a) The president, military judge, trial counsel,

and assistant trial counsel for all general and special courts-
martial;
(b) The president and counsel for the court of any

court of inquiry;
(c) All officers designated to take a deposition;
(d) All persons detailed to conduct an

investigation;
(e) All recruiting officers; and
(f) The president and recorder of personnel

selection boards.
c. Oaths for appointment, enlistment, or commissioning.

Under the authority of 10 U.S.C. §§ 502, 1031, any U.S. Armed
Forces commissioned officer of any Regular or Reserve Component,
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JAGINST 5800.7G
whether or not on active duty, may administer oaths required for

appointment, enlistment, or commission in the Armed Forces.
d. Authority to act as a notary.
(1) Under the authority of 10 U.S.C. § 1044a and as so

designated by this subsection 0902(d)(1) below, and subject to
subsection 0902(d)(2) below, the following persons may perform
the notarial acts listed in subsection 0902(d)(3) below for
persons listed in section 0705 of this Manual as eligible for
legal assistance:
(a) All civilian attorneys serving as legal

assistance attorneys and all civilian legal assistance attorney
volunteers after being duly authorized by the JAG or SJA to CMC
in accordance with DoD Instruction 1100.21 (series);
(b) For the performance of notarial acts at

locations outside the United States, all civilians employed by
the DON supporting legal assistance offices;
(c) All adjutants, assistant adjutants, and

personnel adjutants, including reserve members when not in a
duty status;
(d) All officers in the grade of O-4 and above;
(e) All commanding and executive officers;
(f) All commissioned legal officers and commissioned

or enlisted assistant legal officers;
(g) All commissioned administrative officers;
(h) All Marine Corps officers with MOS of 4430 while

assigned as legal administrative officers;
(i) All judge advocates, including Reserve judge

advocates regardless of duty status;
(j) All legalmen;
(k) All Marine Corps legal services specialists

while serving in legal billets under the direct supervision of a
judge advocate or a legal assistance civilian attorney, when
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JAGINST 5800.7G
authorized by the SJA to CMC;
(l) Military personnel who are temporarily or

permanently assigned to a Region Legal Service Office (RLSO) who
are appointed by the RLSO commanding officer to perform 10
U.S.C. § 1044a notarial acts under the direct supervision of a
legal assistance attorney or a command services attorney at such
RLSO. All notary seals or stamps issued to such military
personnel will be retained by the RLSO commanding officer′s
authorized designee and destroyed upon termination of assignment
to the RLSO; and
(m) All civilian paralegals serving at military

legal assistance offices, supervised by a military or civilian
legal assistance counsel (as defined in 10 U.S.C. § 1044d(g)).
(2) All persons identified in subsection 0902(d) who will

provide notarial acts for the Navy must complete all notarial
training and certification requirements as promulgated by the
Office of the Judge Advocate General (OJAG, Code 16), or, for
the Marine Corps, such persons must complete notarial training
and certification as promulgated by the SJA to CMC.
(3) Subject to the guidance set forth in section 0906,

the following acts may be performed by the persons listed above
while acting as a notary:
(a) Administration of oaths, acknowledgments,

affidavits, and affirmations; and
(b) Certification of copies as true as limited by

subsection 0906(c).
e. No fees. Fees may not be paid or received for the

administration of any oath or the performance of any notarial
act.
f. Duties and responsibilities of notaries. Persons acting

as notaries under the authority of 10 U.S.C. § 1044a are
governed in the performance of their duties by, and will comply
with, this chapter.
g. Proof of authority. The signature of any person

administering an oath or acting as a notary under the authority
of 10 U.S.C. §§ 936 or 1044a together with the title of his or
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JAGINST 5800.7G
her office is prima facie evidence that the signature is

genuine, that the person holds the office designated, and that
he or she has the authority to so act. No seal is required on
the document being notarized.
h. Legal effectiveness. Notarial acts performed pursuant

to the authority of 10 U.S.C. § 1044a are legally effective
notarial acts for all purposes. Oaths administered pursuant to
the authority of 10 U.S.C. § 936 are legally effective for the
purposes for which the oath is administered. Federal notarial
authority may be exercised without regard to geographic
limitation and is not dependent on any state or local law.
i. Formats. Formats for taking acknowledgements and

executing sworn instruments are set forth in the appendices and
in JAGINST 5801.2 (series).
0903 Non-Federal Authority to Perform Notarial Acts
a. Non-federal authority. Separate from, but related to,

the federal authority to perform notarial acts (see subsection
0902(a)), the laws of most states, U.S. possessions,
territories, and commonwealths authorize certain Military
Services members to perform for Military Services members, their
dependents, and accompanying civilians the following notarial
acts:
(1) Administer oaths;
(2) Take affidavits;
(3) Take sworn statements;
(4) Take depositions; and
(5) Take acknowledgements.
b. Exercise of non-federal authority. A situation may

arise in which the exercise of state, vice federal, notarial
authority is warranted. Before exercising such authority, the
notary official should determine:
(1) The state or states where the instrument is to be

used;
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(2) Who has authority to perform the particular notarial

act under the laws of the jurisdiction(s) involved (several
states have enacted the Uniform Acknowledgment Act or its
successors, the Uniform Recognition of Acknowledgments Act and
the Uniform Law on Notarial Acts; in many instances, these Acts
have not been accompanied by revision of existing laws on the
power to perform notarial acts, resulting in overlapping or
conflicting authorization); and
(3) For whom the particular notarial function may be

performed under the laws of the jurisdiction(s) involved.
c. Legal effectiveness. When exercising state authority,

the statutory requirements of the jurisdiction(s) in which the
instrument is to be used determine the legal effectiveness of
the notarial acts performed. When a single instrument requiring
acknowledgment is to be used in more than one jurisdiction, the
acknowledgment must comply with the laws of every jurisdiction
in which it is to be used. Note, the majority of state statutes
authorize any commissioned officer with the grade of ensign, or
second lieutenant, or higher to take acknowledgments and sworn
instruments, but the rules vary as to who, when, where, and for
whom acknowledgments and sworn instruments may be taken.
Notaries should verify the state law provisions. If state
formats are not available, use the formats in JAGINST 5801.2
(series) for effective execution. Any instruction from a
civilian attorney who prepares and forwards an instrument for
execution should be followed carefully. When necessary, consult
with a judge advocate.
d. Civil notaries. Though both federal and state law

authorize a variety of federal officials to perform notarial
acts, it is permissible to use locally appointed notaries public
in the United States, or a U.S. consul when abroad.
Part B – General Instructions for the Performance of Notarial

Acts
0904 Introduction
This part provides general guidance on performing notarial acts.

When in doubt, specific guidance should be obtained from a judge
advocate.
0905 General Responsibilities of a Notary
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a. Nonlawyer notaries will not engage in the practice of

law and, accordingly, may not draft legal documents, such as
wills, contracts, mortgages, or deeds.
b. Notaries will neither sign their names to blank

instruments nor certify the authenticity of public, registered,
or court records or documents, or issue certified copies of such
documents or records. They will not take an affidavit or an
acknowledgment unless the person who signed the instrument is
physically in their presence. Except when swearing in military
justice or administrative separation board witnesses who are
providing testimony remotely, notaries must administer oaths,
where an oath is authorized or required, in person. Notaries
will not falsely execute certificates, such as predating or
postdating the document. The notarial authority cannot be
delegated to another person.
c. Notaries may be subject to civil and criminal liability,

including fines and imprisonment for misconduct, negligence,
malpractice, or other breach of official duties.
0906 General Instructions for Notarial Acts
a. Acknowledgments. An acknowledgment is a formal

declaration or admission before a properly authorized official,
by a person who has executed an instrument, that such instrument
is his or her act or deed. It includes the certificate or
written evidence of the act of acknowledgment made by the
notarial officer, as well as the act itself. Acknowledgments
relate primarily to written instruments affecting land and
granting or creating legal rights. Statutes may require that
deeds, mortgages, leases (particularly those over a certain
length of years), or powers of attorney be acknowledged.
(1) The acknowledgment will be made in the presence of

the notary, who will identify the person (in accordance with
subsection 0906(i)) and verify the person's eligibility.
Notaries must decline to take the acknowledgment if proper
identification is impossible or if the person is not eligible
under the authorizing statute. Notaries cannot: take their own
acknowledgments; acknowledge a document pursuant to which they
are an appointee or beneficiary; or acknowledge a document if
they are related by blood or marriage to the principal.
Notaries will ensure the correct dates are properly inserted for
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any certificate verified or acknowledged before them. Changes,

cross outs, and erasures in the body of the acknowledgment
should be avoided unless specifically authorized by state notary
statute. If not specifically authorized by state notary statute
and unavoidable, they should be initialed by the notary wherever
they appear.
(2) If a signature has been affixed outside the notary's

presence, the signer must verify, affirm, and acknowledge the
signature on the acknowledgment or affidavit. The notary will
compare the signature affixed with a signature made in the
notary's presence and with the signature on the signer's state
or federally issued identification card or passport.
(3) The notary will sign his or her name and print or
stamp his or her name and authorizing title, rank, and Corps (if
applicable) (see subsection 0902(d) and JAGINST 5801.2
(series)). The notary will have notarial authority in the venue
or the place the affidavit is administered. The venue is the
name of the state and the county, or other territorial
subdivision to which jurisdiction is limited. The proper venue
for federal notary acts should be prefaced as follows: "With
the United States Armed Forces at (Insert Name of Command)"
which indicates the notarial act is pursuant to federal
authority vice state authority.
b. Sworn instruments. A sworn instrument is a written

declaration signed by a person who declares under oath before a
properly authorized official that the facts set forth are true
to the best of his or her knowledge and belief. Sworn
instruments include affidavits, sworn statements, and
depositions (see JAGINST 5801.2 (series)). An affidavit is a
sworn statement made by a person known as the affiant or
deponent. The facts in the affidavit are sworn or affirmed to
be true by the affiant before the notary. See subsection
0906(e) on taking oaths.
(1) See subsection 0906(a)(3) for guidance on the

signature block for the notary. Additional signature block
requirements for the Navy are provided in JAGINST 5801.2
(series) and for the Marine Corps are provided in the Marine
Corps Legal Assistance Program (MCLAP) Policy and Practice
Manual.
(2) The notary need not be concerned with the affiant's
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veracity. The notary is not required to independently verify

the truth of the facts stated in the affidavit. The affiant may
be subject to prosecution for perjury if the facts are willfully
misstated. In taking verification upon oath or affirmation, the
notarial officer must identify from satisfactory evidence (a
valid state or federally issued identification card or passport
bearing both the affiant′s signature and photo) that the person
appearing before the officer and making the verification is the
person whose signature appears on the statement being verified.
In exigent circumstances an authorized officer or legalman,
acting pursuant to 10 U.S.C. § 1044a, may, with the commanding
officer′s or officer in charge′s permission, identify the
affiant via personal knowledge. Personal knowledge for these
purposes means direct interaction and contact that leaves no
doubt that the person is who he or she says he or she is. If
there is reason to have even the slightest doubt, satisfactory
proof must be produced by the affiant.
c. Certified true copy of documents originating within the

certifying command.
(1) The entity that created the document is the sole

body capable of verifying the authenticity of a document.
Therefore, notaries will not certify documents as true and
accurate copies of original documents that are neither created
by the command nor maintained by the command as part of its
official responsibilities. In certifying or attesting a copy of
a document or other item that was originated in the command, the
notarial officer must determine that the proffered copy is a
full, true, and accurate transcription or reproduction of the
original, by carefully and personally comparing the copy and
original or observing the copying process. Documents cannot be
certified as true copies based upon the assertion of the
requester. See also subsection 0905(b).
(2) Notaries may acknowledge the signature of the

document custodian on the certification of authenticity. The
document custodian must be from the office responsible for
maintaining the original document or electronic record.
Additionally, notaries may create an affidavit by a client,
attesting to a copy of an original official document he or she
has received and maintained, if such a notarized statement
suffices to meet the client′s needs.
(3) Notaries cannot certify any documents that on their
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face, or otherwise, indicate they may not be copied (e.g.,

naturalization certificates). Notaries cannot certify any
documents that are public records (e.g., birth certificates,
marriage certificates, or court documents).
d. Consul of the United States. Overseas, the U.S. State

Department runs consulates and embassies that perform tasks such
as passport renewals, visa applications, and notarization or
certification of documents. 10 U.S.C. § 1044a gives overseas
military notaries the general powers of "a consul of the United
States."
e. Oaths and affirmations. Oaths and affirmations are

pledges whereby affiants, having satisfactorily proven their
identity in accordance with subsection 0906(i), swear or affirm
in the presence of the notary the truth of statements made by
them. Oaths and affirmations are used when taking affidavits or
sworn instruments. See subsection 0902(b) and JAGINST 5801.2
(series).
(1) Persons administering the oath should tell the

affiant to raise his or her right hand and say the following:
"Do you swear that the information contained in this document is
the truth to the best of your knowledge so help you God?"
(2) Affirmation under oath for persons objecting to the

phrase ″so help you God″ may be administered in the following
form: ″Do you solemnly, sincerely, and truly declare or affirm
the information contained in this document is the truth to the
best of your knowledge?″
(3) The reply should be ″I do″ or similar words of

assent to both the oath and affirmation.
(4) Notaries who administer an oath or affirmation must

note the performance of a ″jurat″ in their notary log for the
journal entry along with the balance of the required information
pursuant to section 0907 below.
f. Seal of the person executing document. Though most

jurisdictions no longer distinguish between sealed and unsealed
instruments, some require certain instruments be executed under
seal. When a seal is required, insert the statement "witness
the following signature and seal," immediately preceding the
signature of the person executing the document. In most
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jurisdictions, typing, printing, or writing "(SEAL)" or the

symbol "(LS)" after the signature completes the sealing of the
instrument. Others also require that the intention to create a
sealed instrument be reflected in the body of the instrument.
Only use a seal if specifically required by statute or other
law. Seals should be used cautiously, since in some states
instruments under seal create special legal consequences or have
a unique status. Consult a judge advocate as necessary.
g. Seal of the person performing the notarial act. Federal

and state statutes authorize the performance of 10 U.S.C. §
1044a notarial acts without an impressed or raised seal. The
formats in JAGINST 5801.2 (series) provide evidence of a
notarial officer's authority to take acknowledgments or sworn
instruments.
h. Witnesses. Though many jurisdictions require one or

more witnesses to any power of attorney affecting title to real
estate, other jurisdictions require no witnesses. Accordingly,
judge advocates must check the particular state statute to
verify whether witnesses are required for any powers of attorney
affecting real property. If a power of attorney requires
witnesses, each witness and the grantor under the instrument
must sign the notary log book recording the execution and
witnessing of the instrument.
i. Identifying the person requesting the notarial act. In

witnessing or attesting a signature, the notarial officer must
determine that the person appearing before the officer is the
person named in the document to be signed. A notarial officer
has satisfactory evidence of the identity of the person whose
signature is on a document and that the person is within the
class of persons for whom the notarial act may be performed if
that person is identified by a valid state or federally issued
identification card, driver′s license, or passport with a
signature. The notary will compare the signature on the
document with the signature appearing on the state or federally
issued identification card, driver′s license, or passport.
(1) Common Access Card (CAC) exception. In limited

circumstances it is permissible to rely on a CAC for identifying
active-duty Service members but only when it is impossible or
impractical for the active-duty member to retrieve his or her
state or federally issued identification card with a signature,
and only for notaries acting under 10 U.S.C. § 1044a. In these
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limited circumstances, the commanding officer or officer in

charge (or his or her authorized designee) may authorize a 10
U.S.C. § 1044a notary to perform the notarial act without a
federal or state issued identification card, driver′s license,
or passport with a signature by relying on a valid CAC for
active-duty personnel.
(2) Use of credible witness exception. In exigent

circumstances, where it is impossible or impractical for the
active-duty member to retrieve his or her state or federally
issued identification card, 10 U.S.C. § 1044a notaries or state
notaries may use personal knowledge of an active-duty Service
member or the personal knowledge of a credible witness to verify
the active-duty Service member′s identity without comparing the
Service member′s signature to a state or federally issued
identification card or passport. A state notary will only rely
on this exception when his or her state notary statutes allow
use of this exception. For more information on this exception,
see JAGINST 5801.2 (series).
0907 Notary Logs
a. Notaries must be able to confirm specific notary acts

they performed many years after the act. A notary log,
therefore, must be maintained and kept indefinitely by each
notary, even after his or her release from active duty. The log
must minimally include the signer's name, signature, type of
document notarized or attested to, and date. Each notary log
should also include the location of notary act, physical address
of residence of the signer and the type of identification card
relied upon to verify the signer′s identity, as well as, if
applicable, the signature and name of the witnesses and their
work address if they are active duty or their physical residence
if they are not active duty. In addition, where required for a
state law authorized notary, the log must include the signer′s
thumbprint. These personal logs may not be made part of any
Navy system of records and are not to be passed to other Navy
personnel.
b. In addition to complying with the requirements of

section 0907, state notaries are required to maintain their
notary logs in compliance with the rules and regulations of the
state pursuant to which they have notarial authority. Any
notarial official having questions about any of these statutes
should research the statute and discuss with a supervising
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attorney. If questions remain, Navy personnel should contact

OJAG (Code 16) and Marine Corps personnel should contact the
Judge Advocate Division (JLA).
0908 Certificates of Full Faith and Credit
The JAG, the Deputy Judge Advocate General of the Navy, and the
Assistant Judge Advocates General of the Navy may execute
certificates of full faith and credit certifying the signatures
and authority of officers of the DON. For the Marine Corps, the
SJA to CMC may execute certificates of full faith and credit
certifying the signatures and authority of officers of the
Marine Corps.
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JAGINST 5800.7G
Format for Signature Block, Witness Block, and Acknowledgment

Certificate
[Signature]
WITNESS the following signature [and seal (if required for a
nonfederal instrument by state law)] this_____day of________ _,
20___.
(Signature of person [and "SEAL" or "LS" (if required for a non-

federal instrument by state law)]
[Witness*]
Signed and delivered in the presence of:
(signature of witness)
(name of witness)
(rank/rate and branch of service)
(Military Locator Address or permanent home address)
(name of witness)
(name of witness)
[Venue]
With the U.S. Armed Forces
At (location**)
[Acknowledgement]
I, __________________________, the undersigned officer or other
person authorized to serve as a federal notary under 10 U.S.C. §
1044a, do hereby certify that on this __day of__________, 20___,
before me, personally appeared (name of person whose signature
is being acknowledged), (status***), and presented a valid
government issued photo identification card, and then did
execute the foregoing instrument as a true, free, and voluntary
act and deed. I do further certify that I am at the date of
this certificate qualified pursuant to the authorizing statute
to act in this capacity, that this certificate is executed by me
in that capacity, (and by statute no seal is required).
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JAGINST 5800.7G
(signature of notary)
(name of notary)
(grade, branch of service)
Notary and Consul of the U.S. (optional)
(command or organization - optional)
Commission expires: (EAOS for enlisted, "Indefinite" for
officers and civilians – optional)
Authority: (authority****) (optional)
No Seal Required (optional)
___________________
* If signature before witnesses is required for the document,
insert the identifying information for each witness here.
** Insert country, state, and "With the United States Armed

Forces at (Insert Name of Command)" in which instrument is
acknowledged. If military considerations preclude disclosure of
exact place of execution or command name, insert "In a Foreign
Country" or "In a possession of the United States outside the
continental United States."
*** "A U.S. Armed Forces member on active duty," "the spouse or
dependent of a U.S. Armed Forces member," "a person serving with
the U.S. Armed Forces," or other appropriate description of
status.
**** Indicate one or more of the following as appropriate: "10

U.S.C. § 1044a and JAGMAN section 0902" (for general federal
authority to notarize documents); "10 U.S.C. § 936 (Article 136,
UCMJ), and JAGMAN section 0902" (for federal authority to
administer oaths for purposes of military administration,
including military justice); or "____________________" (indicate
state statutory authority).
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JAGINST 5800.7G
Format for a Sworn or Affirmed Instrument
[Venue]
With the U.S. Armed Forces
At (location*)
I, (name of person executing the sworn instrument), do solemnly

swear (affirm) that . . . (This part of the instrument contains
the substance of the affidavit, deposition, or other sworn
statement.)
(Signature of person executing the sworn instrument)
[Jurat]
I, __________________________, the undersigned officer or other
person authorized to serve as a federal notary under 10 U.S.C. §
1044a, do hereby certify that the foregoing instrument was
subscribed and sworn to (affirmed) before me this___day
of__________, 20___, by (name of person making statement), whose
permanent home address is____________________________, and who
is proven to me to be (status**). And I do further certify that
I am on the date of this certificate qualified pursuant to the
authorizing statute to act in this capacity, that this
certificate is executed by me in that capacity, and by statute
no seal is required.
(signature of notary
(name of notary)
Notary and Consul of the United States (optional)
(command or organization - optional)
Commission expires: (EAOS for enlisted, “Indefinite” for

officers and civilians – optional)
Authority: (authority***) (optional)
No Seal Required (optional)
____________
* Insert country, state, and "With the United States Armed

Forces at (Insert Name of Command)" in which instrument is
acknowledged. If military considerations preclude disclosure of
exact place of execution or command name, insert "In a Foreign
Country" or "In a possession of the United States outside the
continental United States."
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JAGINST 5800.7G
** "A U.S. Armed Forces member on active duty," "the spouse or

dependent of a U.S. Armed Forces member," "a person serving with
the U.S. Armed Forces," or other appropriate description of
status.
*** Indicate one or more of the following as appropriate: "10

U.S.C. § 1044a and JAGMAN section 0902" (for general federal
authority to notarize documents); "10 U.S.C. § 936 (Article 136,
UCMJ), and JAGMAN section 0902" (for federal authority to
administer oaths for purposes of military administration,
including military justice); or "____________________" (indicate
state statutory authority).
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CHAPTER TEN
INTERNATIONAL LAW & APPLICATION OF

U.S. LAW OVERSEAS
JAGINST 5800.7G
TABLE OF CONTENTS
1001 Scope
1002 References
a. General
b. Negotiation of agreements
c. Requirement to forward agreements to OJAG (Code 10)
d. Additional guidance
1004 Status of Forces Agreements
a. General
b. Diplomatic notes
c. Foreign personnel in the United States
1005 Foreign Criminal Jurisdiction
a. General
b. Policy
c. Exercise of jurisdiction
d. Waiver of jurisdiction
e. Custody
f. Fees
g. Solatia
h. Official duty
i. Reporting requirements
j. Military Extraterritorial Jurisdiction Act of 2000 (MEJA)
1006 Enforcement of U.S. Law Overseas
1007 Acceptance of Gifts from Foreign Governments
1008 Additional Resources
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1001 Scope
This chapter highlights a number of significant international

law issues that often arise in the context of military
operations overseas. In lieu of reprinting detailed reference
material that is available elsewhere, this chapter guides the
reader to those sources. See section 1008 for these additional
resources.
1002 References
a. DoD Instruction (DoDI) 5530.03, International Agreements
b. CJCS Instruction 2300.01 (series), International

Agreements
c. SECNAVINST 5710.32 (series), International Agreements

and Arrangements
d. OPNAVINST 5710.25 (series), International Agreements
e. 22 C.F.R. Ch. 1, sub. S, Part 181, Case-Zablocki Act

Implementation
f. DIAD 2000.200, International Defense Intelligence and

Counterintelligence Liaison Relationships
g. DoDI 5525.01, Foreign Criminal and Civil Jurisdiction
h. SECNAVINST 5820.4 (series), Status of Forces Policies,

Procedures, and Information
i. 32 C.F.R. Ch. 1, sub. E, Part 151, Status of Forces

Policies and Information
j. MILPERSMAN 1160-050, Voluntary or Involuntary Extension

of Enlisted Personnel Beyond Expiration of Enlistment,
Fulfillment of Service Obligation, or Expiration of Tour of
Active Service
k. MCO P1900.16 (series), MARCORSEPMAN
l. 10 U.S.C. § 1037, Counsel before foreign judicial

tribunals and administrative agencies; court costs and bail
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m. Department of the Navy Financial Management Policy

Manual
n. OPNAVINST F3100.6 (series), Special Incident Reporting

(OPREP-3 PINNACLE, OPREP-3 NAVY BLUE, and OPREP-3 NAVY UNIT
SITREP) Procedures
o. MCO 3504.2 (series), Operations Event/Incident Report

(OPREP-3) Reporting
p. 18 U.S.C §§ 3261-3267, Military Extraterritorial

Jurisdiction
q. 32 C.F.R. Ch. 1, sub. E, Part 153, Criminal Jurisdiction

over Civilians Employed by or Accompanying the Armed Forces
outside the United States, Certain Service Members, and Former
Service Members
r. DoDI 5525.11, Criminal Jurisdiction over Civilians

Employed by or Accompanying the Armed Forces outside the United
States, Certain Service Members, and Former Service Members
s. DoDI 3025.21, Defense Support of Civilian Law

Enforcement Agencies
t. SECNAVINST 5820.7 (series), Cooperation with Civilian

Law Enforcement Officials
u. DoD Directive (DoDD) 1005.13, Gifts and Decorations from

Foreign Governments
v. SECNAVINST 1650.1 (series), Navy and Marine Corps Awards

Manual
a. General. DoDI 5530.03 lays out procedures for the

negotiation and conclusion of international agreements. In it,
the Secretary of Defense delegates his or her authority to
negotiate and conclude certain international agreements. No
uniformed or civilian employee of the DoD may negotiate or
conclude an international agreement except in accordance with
DoDI 5530.03 and the applicable CJCS Instruction 2300.01
(series) (for agreements under the authority of the Chairman of
the Joint Chiefs of Staff) or SECNAVINST 5710.32(series) (for
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JAGINST 5800.7G
agreements under the authority of the Secretary of the Navy).

Additionally, once the agreements have been concluded,
SECNAVINST 5710.32 (series) requires that they be forwarded to
the Office of the Judge Advocate General (OJAG, Code 10),
pursuant to guidance below.
b. Negotiation of agreements. Members of the U.S. Navy and

U.S. Marine Corps must have both procedural and substantive
authority to negotiate or conclude international agreements.
Further, they may only negotiate or conclude international
agreements if authorized by the cognizant approval authority as
provided in SECNAVINST 5710.32 (series) and OPNAVINST 5710.25
(series). Discussions regarding the formation of any
international agreement are not permitted until written
authorization to initiate negotiations has been received. Once
authorized to negotiate an international agreement, the
cognizant representative of the United States must not deviate
significantly from the guidance provided in the letter of the
authorization. For matters under the cognizance of the DON,
authorization to negotiate and conclude an international
agreement must be sought from the Secretary of the Navy, the
Assistant Secretary of the Navy (Research, Development and
Acquisition), the Chief of Naval Operations, the Chief of Naval
Research, or the Commandant of the Marine Corps, as appropriate.
For matters that concern operational command of joint forces,
the Combatant Commander chain of command gives the authority to
negotiate and conclude.
(1) Request for authority to negotiate. A request for

authority to negotiate an international agreement must contain:
(a) A draft text or outline of the proposed

agreement, or an explanation why such a draft cannot be
provided;
(b) A legal memorandum
1. Identifying any existing agreements to which

the agreement relates;
2. Explaining provisions that significantly

deviate from the template contained in a blanket authorization,
if applicable;
3. Addressing any new legal issues raised by the
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request;
4. Reciting the applicable constitutional,

statutory, or other legal authority to carry out each obligation
to be assumed by the United States, DoD, or DON;
5. Identifying the applicable C-175 authorization

and attaching a copy of such authorization, if possible;
6. Explaining other relevant legal

considerations;
(c) A fiscal memorandum specifying the estimated

cost and appropriations authority or source for each obligation
assumed by the United States, DoD,, or DON; and
(d) A policy memorandum explaining in detail why the

proposed international agreement is necessary or desirable,
including any particular policy issues, the meaning of
particular provisions, and a summary of the risks and benefits
relevant to any transfer of technology or disclosure of
information addressed in the agreement;
(e) For international agreements under the authority

of the USD(A&S) or USD(P), the legal, fiscal, and policy
memoranda may be combined into a single coordinated document.
(f) For international agreements that allow for the

provision or generation of classified or controlled
unclassified information, a delegation of disclosure authority
letter (DDL) or other written authorization approved by the DoD
Component’s foreign disclosure office is required as part of
the request for authority to conclude an international
agreement. The format in DoDI 5530.03, Figure 2, should be used
for this purpose.
(g) Paragraphs (a)-(e) do not apply to standard

form data or information exchange annexes that are negotiated
under the authority of a master agreement prescribing the
format of annexes, provided that such annexes do not have
policy significance and the requirements in DoDI 5530.03,
paragraph 5.1.p. have been met.
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(2) Conclusion of the agreement. Should negotiations

lead to an acceptable draft, the U.S. representative must ensure
that:
(a) The proposed U.S. signatory has authority to

conclude the agreement. This authority is obtained in the same
manner as the authority to negotiate.
(b) The requirements of prior consultation with the

Department of State in accordance with the Case-Zablocki Act, 1
U.S.C. § 112b, have been met for the particular agreement. OJAG
(Code 10) conducts prior consultation with the Department of
State.
(c) If a foreign language text is added, the

agreement must specify either that the English text governs or
that both texts are equally authentic. In the latter case, the
agreement must include certification that the texts conform and
have the same meaning in all substantive respects. Translators
must be designated as qualified, consistent with local practice,
by the official authorized to negotiate and conclude the
agreement or by an appropriate official of the Department of
State.
(d) Each international agreement and any of its

amendments concluded by DoD officials must include the dates and
places of signature and the typed name and title of each
signatory. The month should be spelled out.
c. Requirement to forward agreements to OJAG (Code 10).

Within 10 days of conclusion, the U.S. Navy or U.S. Marine Corps
signatory must forward four certified copies of the agreement,
background statement, and translator’s certificate (if required)
to the Office of the Judge Advocate General (OJAG), Attn: Code
10, 1322 Patterson Avenue SE, Suite 3000, Washington Navy Yard,
DC 20374-5066. Additional copies should be forwarded to others
with an interest in the subject of the agreement. Non-binding
arrangements must also be forwarded to OJAG Code 10 for
inclusion in the DON repository.
d. Additional guidance. See OPNAVINST 5710.25 (series),

Case-Zablocki Act implementation (22 C.F.R. Ch. 1, sub. S, Part
181), and Defense Intelligence Agency Instruction 2000.200
concerning intelligence agreements. Questions on international
agreements may be directed to OJAG (Code 10), or, for Marine
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components, SJA to CMC (JAO).
1004 Status of Forces Agreements
a. General. Status of Forces Agreements (SOFAs) govern the

rights, obligations, and privileges of military personnel
stationed in foreign countries. DoD uses a Department of State
approved global SOFA template as the baseline agreement for SOFA
negotiations. The NATO SOFA also provides an example of a long-
standing multinational SOFA in effect for decades. Note that
not all U.S. military personnel in country are necessarily
covered by the SOFA. For example, military personnel attached
to a U.S. embassy are normally afforded status protections under
the Chief of Mission rather than under the applicable DoD SOFA.
b. Diplomatic notes. Where a SOFA or other international

agreement regarding the status of foreign forces does not exist,
legal status protections of U.S. military personnel assigned
overseas may be provided through an exchange of diplomatic
notes, typically extending a status equivalent to that of
administrative and technical staff of embassies under the Vienna
Convention on Diplomatic Relations.
c. Foreign personnel in the United States. Most SOFAs

govern only U.S. personnel stationed overseas. The NATO SOFA is
reciprocal in that it also covers personnel from other NATO
countries stationed in the United States. Foreign military
service personnel in the United States not protected by a SOFA
are subject to applicable federal, state, and local laws and
regulations, and any working arrangements with the various
states. For example, NATO SOFA Art X(1) provides that foreign
military service personnel serving in the United States are
exempt from U.S. income tax on non-U.S. source income. NATO
SOFA Art XI further provides that such personnel are also exempt
from some customs duties.
1005 Foreign Criminal Jurisdiction
a. General. Every SOFA includes provisions for the

exercise of criminal jurisdiction. DoD and DON policies
regarding status of forces and foreign criminal jurisdiction
(FCJ) are provided in DoDI 5525.01, SECNAVINST 5820.4 (series),
and 32 C.F.R. Ch. 1, sub. E, Part 151. For each country where
U.S. forces are regularly stationed, there is an appointed
Designated Commanding Officer (DCO) responsible for
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administration and oversight of all FCJ cases in that country.

Any FCJ matter in a foreign country must be brought to the
attention of the assigned DCO. In the absence of a DCO, the
U.S. Defense Attaché at the U.S. Embassy will perform the
functions of the DCO. Combatant Command-specific FCJ
instructions include a list of the appointed DCOs for the
countries in that area of responsibility, and describe policies,
procedures, responsibilities, and reporting requirements to be
followed.
b. Policy. It is DoD policy to protect, to the maximum

extent possible, the rights of U.S. personnel who may be subject
to criminal trial by foreign courts and imprisonment in foreign
prisons.
c. Exercise of jurisdiction. While international law

generally recognizes the authority of the host state over all
persons in its territory, the sending state also has a
legitimate need to maintain good order and discipline among the
members of its forces. To balance the relative interests of the
host and sending states, some SOFAs provide for each state to
have exclusive jurisdiction over certain classes of offenses and
concurrent jurisdiction over others. Where a SOFA or other
international agreement regarding legal status protections
addresses concurrent jurisdiction, the agreement may also
establish primary and secondary rights to exercise that
jurisdiction.
d. Waiver of jurisdiction. SOFAs that provide for

concurrent jurisdiction generally include a procedure for one
state to waive its right to exercise primary jurisdiction if so
requested by the other state. In some states, this waiver has
been institutionalized so that the host state essentially agrees
in advance to a blanket waiver, with the right to "recall" its
waiver if a specific offense is of "particular importance."
e. Custody. Whenever U.S. military personnel, members of

the civilian component, or their dependents are apprehended by
foreign authorities on criminal charges, every effort should be
made to secure their release to U.S. custody pending final
resolution of judicial proceedings.
(1) Requests by foreign authorities for delivery of

custody of such personnel should be handled in strict compliance
with the applicable SOFA or other international agreement that
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addresses legal-status protections. If there is no SOFA, U.S.

personnel should not be delivered to foreign authorities pending
guidance from OJAG (Code 10) or the SJA to CMC (JAO), as
appropriate.
(2) Personnel in foreign custody, whether before or

after trial, must be visited on a regular basis in accordance
with SECNAVINST 5820.4 (series). Particular attention should be
given to legal assistance, medical care, adequacy of food and
clothing, health and comfort, and accountability for personal
property. Certain reporting requirements must also be met
regarding their confinement, pursuant to DoDI 5525.01 and
SECNAVINST 5820.4 (series).
(3) For issues regarding extension beyond the expiration

of enlistment for enlisted personnel confined in foreign jails,
see MILPERSMAN 1160-050 or MCO P1900.16 (series).
f. Fees. Under U.S. law, counsel fees, court costs, bail,

and other expenses associated with the exercise of FCJ over
military members, members of the civilian component, and their
dependents, may be paid by the U.S. Government. But the use of
U.S. Government funds to pay fines is not authorized. See 10
U.S.C. § 1037, DoDI 5525.01, and SECNAVINST 5820.4 (series).
g. Solatia. In some countries, it is customary to offer a

victim or his or her family a token gift of fruit, flowers, or
money for injury, death, or property damage. A solatia payment
may be appropriate in the event an incident occurs involving
U.S. forces personnel or DoD civilian employees that results in
damage to, or loss of, real property of any foreign country or
of any political subdivision or inhabitant of a foreign
country. Depending on the local culture, such token expressions
of remorse can influence the resolution of criminal charges.
The guidelines for administration of solatia claims and payments
are contained in instructions issued by the appropriate U.S.
military commander in the applicable country, in accordance with
the DON Financial Management Policy Manual. Consult the
combatant or region commander, the servicing staff judge
advocate, or the nearest Region Legal Service Office or Legal
Services Support Section, to determine the propriety of paying
solatia from official funds in a particular country.
h. Official duty. Under every SOFA, offenses committed in

the performance of official duty are subject to the primary
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jurisdiction of the United States rather than the host nation.

Such cases must be handled in strict compliance with the
applicable SOFA, or other applicable international agreement
addressing legal-status protections.
i. Reporting requirements. The exercise of FCJ creates a

number of reporting requirements. See DoDI 5525.01 regarding
informal and immediate reporting regarding new cases or
important developments in pending cases to DoD GC, Combatant
Command, DoN General Counsel, and JAG and/or SJA to CMC. The
most important for the operational unit is the serious incident
report described in OPNAVINST F3100.6 (series), MCO 3504.2
(series), SECNAVINST 5820.4 (series), and any regulations or
special instructions issued by the cognizant combatant or region
commander. See also subsection 1005(a) above.
j. Military Extraterritorial Jurisdiction Act of 2000

(MEJA). MEJA expanded the criminal jurisdiction of the United
States to civilians accompanying U.S. forces overseas.
Generally, this applies to conduct committed outside the United
States that would constitute a felony-level federal crime if
the conduct had been committed within the special maritime and
territorial jurisdiction of the United States. The availability
of criminal sanctions for conduct overseas may assist in
obtaining a waiver of host nation jurisdiction over offenses
committed by civilians. See 18 U.S.C. §§ 3261-3267; 32 C.F.R.
Ch. 1, sub. E, Part 153; DoDI 5525.11.
1006 Enforcement of U.S. Law Overseas
Routine exercise of U.S. jurisdiction over DoD personnel in

countries where U.S. personnel are stationed is provided for in
the host nation SOFA provisions and the Uniform Code of
Military Justice (UCMJ). Generally, assistance by DoD
personnel to U.S. civilian law enforcement agencies is provided
pursuant to DoDI 3025.21 and SECNAVINST 5820.7 (series).
Outside U.S. jurisdiction, military actions conducted in direct
assistance to U.S. civilian law enforcement agencies require
the approval of the Secretary of Defense or the Deputy
Secretary of Defense, who will consider, on a case-by-case
basis, requests for exceptions to the policy restrictions
against direct assistance by military personnel.
1007 Acceptance of Gifts from Foreign Governments
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JAGINST 5800.7G
Military personnel and civilian employees of the DON, as well as

their dependents, may not accept gifts from foreign governments
except as provided for in DoDD 1005.13 and SECNAVINST 1650.1
(series). Refer all questions to the ethics counselor in the
chain of command.
1008 Additional Resources
a. NWP 1-14M/MCTP 11-10B/COMDTPUB P5800.7A, The Commander's

Handbook on the Law of Naval Operations, August 2017
b. U.S. Navy Regulations, 1990, as amended
c. DoD Law of War Manual, June 2015
d. DoDD 2311.01 (series), DoD Law of War Program
e. CJCS Instruction 3121.01 (series), Standing Rules of

Engagement/Standing Rules for the Use of Force
f. DoDD 2310.01 (series), DoD Detainee Program
g. DoDD 3115.09, DoD Intelligence Interrogations, Detainee

Debriefings, and Tactical Questioning
h. OPNAVINST 3461.6, Enemy Prisoners of War, Retained

Personnel, Civilian Internees, and Other Detainees
i. DoDI 3020.48, Guidance for Maritime Operational Threat

Response (MOTR)-Related Conferencing Coordination Activities
Implementation
j. NAVADMIN 158/16, Sovereign Immunity Policy (Includes

information on Sovereign Immunity, Port Visits, and Crew Lists
as they apply to Warships and Naval Auxiliaries)
k. OPNAVINST 5090.1 (series), Environmental Readiness

Program
l. OPNAVINST 6210.2 (series), Foreign and Domestic

Quarantine Regulations
m. OPNAVINST 5721.1 (series), Release of Information on

Nuclear Weapons and on Nuclear Capabilities of U.S. Navy Forces
10-11
JAGINST 5800.7G
n. OPNAVINST 5711.96C, United States/Russian Federation

Incidents at Sea and Dangerous Military Activities Agreements
o. DoDD 3025.18, Defense Support of Civil Authorities
p. OPNAVINST 3440.16 (series), Navy Defense Support of

Civil Authorities Program
q. DoDI 5000.68, Security Force Assistance
r. Defense Security Cooperation Agency (DSCA) 5105.38-M,

The Security Assistance Management Manual
s. SECNAVINST 4950.4 (series), Joint Security Cooperation

Education and Training
t. DoD 7000.14-R, Department of Defense Financial

Management Regulation
u. DoDI 2000.11, Procedures for Handling Requests for

Asylum and Temporary Refuge
v. SECNAVINST 5710.22 (series), Asylum and Temporary Refuge
w. DoDD 3025.14, Evacuation of U.S. Citizens and Designated

Aliens from Threatened Areas Abroad
x. MCO 3300.4 (series), Marine Corps Law of War Program
y. Field Manual 6-27/MCTP 11-10C, The Commander’s Handbook

on the Law of Land Warfare, August 2019
z. MCO 3440.7 (series), Marine Corps Roles and

Responsibilities in Defense Support of Civil Authorities (DSCA)
aa. MCO 5710.6 (series), Marine Corps Security Cooperation
10-12
CHAPTER ELEVEN
ADMIRALTY AND MARITIME LAW

JAGINST 5800.7G
TABLE OF CONTENTS
Part A - Introduction
1101 Scope
a. General application
b. Guidance and procedures
c. Notice
1102 Organization
a. Secretary of the Navy

b. Judge Advocate General
c. Other organizations
Part B - Reporting and Investigating Admiralty Incidents
1103 Admiralty Incidents
a. Generally
b. Collision
c. Allision
d. Personal injury or death
e. Property damage
f. Swell wash or wake damage
g. Maritime target ranges
h. Morale, Welfare, and Recreation (MWR) and special
services boats and marinas
i. Naval aircraft and weapons
j. Salvage
k. Vessel seizures
l. Groundings
m. Significant maritime incidents
1104 Initial Report of Admiralty Incident
a. Means of initial report

b. Initial report
c. Notice
1105 Subsequent Investigative Report
a. Generally
b. Admiralty Letter Report (ALR) investigation
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c. Command Investigation
d. Dual-Purpose Investigation
e. Court of Inquiry
f. Relation to damage survey
g. Release of investigative report
1106 Surveys
a. Claim asserted
b. Determination of damage
c. Timeliness
d. Acceptance of survey invitation
1107 Evidence Preservation
a. Original documents
b. Use of documents at trial
c. Photographs and video
d. Logs
e. Electronic files
f. Physical evidence
1108 Collision, Allision, and Grounding Cases — Preserving

Ship’s Operation Evidence
a. Documentary evidence
b. Safeguard records
c. Conflicts of time
d. List of officer and enlisted watchstanders
1109 Documenting Damage and Repair Costs
a. Elements of admiralty damages

b. Collision repairs
c. Repair costs
d. Non-collision work
e. Commercial shipyard repairs
f. Detention costs
g. Prompt repairs
1110 Personal Injury Cases
a. Generally
b. Potential claimants
c. Considerations in death and personal injury
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investigations
d. Shore worker injuries
e. General visiting and ship tours
1111 Correspondence with Private Parties
a. Forward to OJAG (Code 11)

b. DON personnel
c. Admissions of liability
1112 Maritime Oil or Hazardous Substance Spills
1113 Disturbance of Navy Shipwrecks, Aircraft Wrecks, and Other

Submerged Property
Part C — Admiralty Claims
1114 Administration of Defensive Admiralty Claims
a. Generally
b. Assistance to claimants
1115 Adjudicating Admiralty Cases As Foreign Claims
a. Foreign Claims Act

b. Copy to OJAG (Code 11)
1116 Authority for Affirmative Claims Settlement
a. Generally
b. Authority of Secretary of the Navy (SECNAV)
1117 Salvage
1118 Federal Inter-Governmental Admiralty Incidents
a. Waiver doctrine
b. Report of incident
1119 Foreign Government Claims
a. Report to OJAG (Code 11)

b. Jurisdictional process
c. Immunity
d. Waiver agreements
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e. Status of Forces Agreements
APPENDICES
a. Sample Admiralty Letter Report Appointing Letter

b. Sample Admiralty Letter Report
c. Sample Dual Purpose Litigation Report Appointing Letter
d. Sample Dual Purpose Litigation Report
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JAGINST 5800.7G
Part A - Introduction
1101 Scope
a. General application. This chapter applies to admiralty

tort claims, including claims against the DON for death,
personal injury, or property damage caused by a DON vessel or
other property under the jurisdiction of the DON, or resulting
from an admiralty tort committed by any agent or employee of the
DON, and affirmative admiralty tort claims by the DON for damage
to DON property. Also, this chapter briefly discusses salvage
claims by or against the DON and claims by the DON for towage
services rendered to privately owned vessels. This chapter does
not apply to admiralty incidents involving damage to U.S.
Government vessels or property caused by the U.S. Government.
See section 1118.
b. Guidance and procedures. Part B of this chapter

provides guidance to commanders on reporting and investigating
admiralty incidents. Part C of this chapter discusses the
process for adjudicating admiralty claims.
c. Notice. Effective handling of admiralty claims depends

on commanders making immediate notice of any admiralty incident,
however trivial, to the JAG. The Deputy Assistant Judge
Advocate General (DAJAG) (Admiralty and Maritime Law (Code 11))
is designated as Admiralty Counsel of the Navy and is
responsible for all admiralty and maritime law claims and legal
and policy issues addressed in this chapter. Notifications in
accordance with this chapter to Office of the Judge Advocate
(OJAG, Code 11) suffice for notification to the JAG (see
sections 1103 and 1104). Prompt reporting facilitates proper
investigation and resolution of admiralty matters, whether the
case is settled administratively under the Secretary of the
Navy’s (SECNAV) statutory claims settlement authority or results
in litigation.
1102 Organization
a. Secretary of the Navy. The SECNAV is authorized to

administratively settle admiralty tort claims for personal
injury or property damage caused by DON vessels or other
property under the DON’s jurisdiction, or by an agent or
employee of the DON, and for towage or salvage services rendered
to DON vessels, when the amount paid does not exceed
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$15,000,000.00 and the matter is not in litigation (see 10

U.S.C. §§ 8822, 8823). The SECNAV is also authorized to assert
affirmative admiralty tort claims for damage to property under
the DON's jurisdiction.
b. Judge Advocate General. The SECNAV has delegated the

authority to settle DON admiralty claims to the JAG and the
DAJAG (Code 11) when the amount paid or received does not exceed
$500,000 and $250,000, respectively. OJAG (Code 11) also serves
as principal liaison to the Department of Justice (DOJ) for DON
admiralty tort cases in litigation. The contact information for
OJAG (Code 11) is:

Suite 3000, Code 11
1322 Patterson Avenue SE
Washington Navy Yard D.C. 20374-5066
Phone: 202-685-5040 (DSN 325)

Fax: 202-685-5471 (DSN 325)
Secure phone: 202-685-7040
E-mail: admiralty@navy.mil
SIPR e-mail: admiralty@navy.smil.mil
PLAD: NAVY JAG WASHINGTON DC
c. Other organizations. Other organizations may process

specific admiralty claims. Contract claims arising from
operation of Navy auxiliary and Military Sealift Command (MSC)
chartered vessels, including claims for charter hire, cargo
damage, general average, and redelivery repairs, are handled by
Office of Counsel, MSC. Damages arising out of other contracts
may be resolved by the responsible contracting officer in
accordance with the Contract Disputes Act (41 U.S.C. Chapter
71). However, all tort claims arising from the operation of any
DON vessel, including MSC vessels, are handled by OJAG (Code
11).
Part B – Reporting and Investigating Admiralty Incidents
1103 Admiralty Incidents
a. Generally. Any personal injury, loss of life, property

damage, salvage, oil spill (recovery, clean-up, or rescue),
whether occurring at sea or on land, arising in whole or in part
from the operation of any DON-owned or operated ship, submarine,
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boat, gig, tug, barge, amphibious watercraft or vehicle, or

other vessel (including Morale, Welfare, and Recreation (MWR)
vessels) upon navigable waters, or caused by ship-launched
aircraft or weapons, is considered an admiralty incident.
Similarly, damage to DON vessels caused by non-federal entities
or damage to DON property caused by the operation of non-federal
vessels are considered admiralty incidents. Subsections 1103(b)
through 1103(m) list common admiralty incidents which often
generate admiralty claims or litigation. Whenever one of these
incidents occurs — regardless of how the incident occurred,
whether there is any apparent Navy responsibility for the
incident, whether the injury or damage appears minor, or whether
the injured person states an intention not to file a claim
against the U.S. Government — the affected command must notify
OJAG (Code 11) immediately by naval message, phone, e-mail, or
fax (see section 1104). Similarly, if a command receives a
complaint, claim, invitation to a survey, or other
correspondence alleging such an incident (even if the receiving
command believes the complaint or allegation has no basis in
fact), notify OJAG (Code 11) immediately. If a command is
uncertain of whether an incident is a reportable admiralty
incident, contact OJAG (Code 11) for guidance.
b. Collision. A collision occurs when a moving vessel

strikes another moving vessel. See sections 1108 and 1109 for
special considerations when investigating a collision.
c. Allision. An allision occurs when a moving vessel or

object strikes a stationary vessel, object, or structure (such
as a pier, bridge, buoy, anchored or moored vessel, or a
submerged object such as a wreck, coral reef, moored fishnet or
trap). See sections 1108 and 1109 for special considerations
when investigating an allision.
d. Personal injury or death. Death or personal injury to

any person, except active-duty U.S. military personnel or
federal civilian employees in the performance of their duties,
occurring aboard or on shore as a result of the operation of a
DON vessel on navigable waters (including small boats such as
tugs, gigs, and barges) or on the brow, gangway or ladders of a
DON vessel, is an admiralty incident.
(1) Injured parties may include visitors and guests,

dependents, contractor technical representatives (tech-reps),
ship repairmen, stevedores and longshoremen, non-federal
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civilian mariners, and harbor pilots.
(2) Examples include injuries caused by objects thrown

or dropped from a DON vessel, brow injuries, individuals
sickened by food served onboard a vessel or by fumes or gas
emanating from a vessel, and injuries resulting from improper
medical treatment or malpractice onboard a vessel. See section
1110 for special considerations in death and personal injury
investigations.
e. Property damage. Any loss, damage, or destruction of

property, afloat or ashore, which arises, in whole or in part,
incident to the operation of a DON vessel, damage to a DON
vessel caused by a non-federal entity, or damage to DON property
caused by a non-federal vessel is an admiralty incident.
Examples include:
(1) Fishing nets, lines, lobster pots, or other gear in

the water, cut or damaged by DON vessels, including amphibious
vehicles. Also, fishing gear damaged or lost by becoming fouled
on DON submarine cables, unmanned maritime vehicles, sunken DON
vessel or aircraft wreckage, or DON ordnance.
(2) Automobiles or other property located on a pier

damaged by an object thrown or dropped from a DON vessel, or by
paint overspray from the vessel, or by smoke, fumes, or
chemicals from the vessel.
(3) Air or water pollution damage caused by a vessel or

occurring on navigable waters. This includes any release of
oil, fuel or other pollutants into the water from a vessel,
regardless of subsequent clean-up efforts. Such incidents may
eventually be resolved in accordance with environmental
regulations, but must also be reported as admiralty incidents.
Further information about pollution claims can be found in
section 1112.
(4) Damage or loss of a civilian contractor's property

onboard a DON vessel.
(5) Damage to DON piers, dolphins, fenders, marinas,

degaussing or deperming facilities, dry-docks, ships, yard
craft, security boats, or barges caused by non-federal vessels.
f. Swell wash or wake damage. Civilian personal injury or
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property damage resulting from the wake or swell created by a

DON vessel is an admiralty incident. Property damage includes
damage to other vessels, shore structures, oyster beds, or clam
flats. Similarly, damage to DON property from the wake or swell
from a non-federal vessel is an admiralty incident.
g. Maritime target ranges. Civilian personal injury or

property damage resulting from DON maintenance or use of a
maritime target range is an admiralty incident.
h. Morale, Welfare, and Recreation (MWR) and special

services boats and marinas. Death, personal injury, or property
damage resulting from use of MWR marinas and rental boats
(including personal watercraft) is an admiralty incident and
must be reported. Likewise, any damage to non-federal vessels
moored, anchored, or stored at MWR or special services marinas
resulting from DON negligence must also be reported. This
requirement is not affected by the existence of a waiver of
liability or release form signed by the MWR customer as a
condition for use of the property.
i. Naval aircraft and weapons. Death, personal injury, or

property damage on navigable waters caused by DON aircraft is an
admiralty incident. Likewise, damage on shore or at sea caused
by embarked DON aircraft or weapons launched from a DON vessel
or embarked DON aircraft is also an admiralty incident.
Examples include minesweeping equipment cutting fishing gear,
debris or ordnance falling from an aircraft and damaging a
civilian boat or injuring passengers, or damage caused by ship
and aircraft launched weapons (e.g., gunfire, missiles, bombs).
j. Salvage. Salvage of any DON property by a non-federal

entity from navigable waters and salvage of non-federal property
by DON personnel are admiralty incidents. Likewise, if any DON
vessel, equipment, or personnel are used in the towing, salvage,
or rescue of non-federal vessels or property, it is also
considered an admiralty incident and must be reported to OJAG
(Code 11) who will forward the information to Counsel,
Supervisor of Salvage, as appropriate.
k. Vessel seizures. DON seizure, interdiction of, or

attack on any civilian vessel is an admiralty incident.
Examples include drug interdiction operations, counter-piracy
actions, and United Nations Security Council Resolution
enforcement operations.
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l. Groundings. The grounding of a DON vessel is an

admiralty incident. Damage to a DON vessel resulting solely
from the actions of DON personnel, without damage to non-federal
property, does not normally trigger concerns of third party
claims or litigation; however, damage to underwater resources,
coral reefs, or non-federal property does trigger such concerns,
thereby requiring the report to OJAG (Code 11). Additionally,
OJAG (Code 11) can advise on liability considerations for use of
commercial salvage or tow services.
m. Significant maritime incidents. Proximity of a DON

vessel to any significant maritime incident should be reported
to OJAG (Code 11) because the United States, even if not
directly involved, is often joined in litigation arising from
these events. Examples include witnessing the loss or damage of
a civilian merchant vessel, or the rescue at sea of survivors
from a sunken or disabled vessel.
1104 Initial Report of Admiralty Incident
a. Means of initial report. Every admiralty incident must

be reported by the affected command immediately by telephone,
fax, e-mail, or naval message to OJAG (Code 11) (see subsection
1103(a)). This initial report is in addition to other reports
required by this chapter (e.g., Admiralty Letter Report or
Litigation Report), or by other authority. The initial report
of an admiralty incident may be accomplished by making "NAVY JAG
WASHINGTON DC" an information addressee on a message required by
other directives (e.g., OPREP 3, Marine Corps situation report,
oil spill reports, etc.).
b. Initial report. The initial report of an admiralty

incident should include all information available at the time of
the report. Normally, an initial report includes date, time,
and place of incident, a brief description of the incident and
any resulting injury or damage, and identification of the
parties involved in the incident (including the identities of
the DON vessel, aircraft, or command; other vessels and their
owners or husbanding agent; individuals; or organizations).
c. Notice. Immediate notice enables an admiralty attorney

to examine the admiralty claims and litigation considerations of
a particular case at an early stage. Liability may not be
apparent to the Navy or Marine Corps command considering the
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operational, administrative, or disciplinary aspects of a case.

The admiralty attorney provides advice on admiralty issues and
assists in preparing the investigation with proper consideration
given to a potential claim or civil lawsuit. Also, admiralty
claims and litigation practice requires action soon after the
event. Common examples include: engaging the services of an
independent marine surveyor for attendance at a formal joint
survey of damages (see section 1106); developing detention data
on a DON vessel to be repaired; and ensuring segregation of
repair work orders and cost data for an admiralty incident from
other work not arising from the incident, such as that
accomplished during a repair period for convenience to the DON.
1105 Subsequent Investigative Report
a. Generally. The initial report of an admiralty incident,

discussed in section 1104, must be supplemented as soon as
practicable by a written investigative report. The selection of
the format for the report is ultimately within the convening
authority's discretion. The convening authority must consult
with OJAG (Code 11) as soon as possible after the incident.
OJAG (Code 11) will evaluate the likelihood of litigation, may
consult with DOJ, and will advise the convening authority as to
the most appropriate investigation format. Note that incidents
involving death of, or injury to, U.S. military personnel will
trigger the Casualty Assistance process, among other
administrative and legal requirements. Use of a privileged
investigation format will preclude or delay the sharing of the
investigation and parts thereof.
b. Admiralty Letter Report (ALR) investigation. The ALR is

used to investigate an admiralty incident that is reasonably
anticipated to result in a claim or civil litigation. It is a
convenient reporting method that is less time consuming than a
command investigation. The precise form of a letter report is
less important than fulfilling the requirement that the
circumstances of an incident be completely and promptly
documented under the protection of the attorney work-product
privilege. This is accomplished by conducting the investigation
under the supervision of an OJAG (Code 11) attorney or other
designated attorney.
(1) An ALR should be completed within 30 days of the

incident. It must consist, at a minimum, of a letter from the
command principally involved in an admiralty incident, addressed
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to the ″Office of the Judge Advocate General (Code 11)″, with

the facts of the case stated in narrative form. The ALR will
include as enclosures, unsworn summaries of witness statements
(written witness statements will not be taken, but if a
statement is already in existence, it must be preserved and
forwarded with the report), copies of documents, photographs
(including negatives), contracts, port services agreements,
insurance policies, medical records, and other supporting
information. Also, include the full name, rate or rank, DoD
identification number, e-mail address and billet for all:
witnesses; principals in the chain of command (commanding
officer, executive officer, command master chief, department
head, division officer, leading chief petty officer, leading
petty officer); watchstanders; and medical response personnel as
appropriate. All non-federal entities, including governments,
individuals, companies, organizations, vessels, vessel owners,
and husbanding agents, must be completely identified.
(2) The report should not include opinions or

recommendations and should not be endorsed by the convening
authority or chain of command. Instead, the original report and
original enclosures must be forwarded directly (advance copy by
encrypted e-mail or via SharePoint, AMRDEC, or fax) to OJAG
(Code 11).
(3) The investigating officer must be appointed, in

writing, by the convening authority using the sample format in
appendix A-11-a. A sample ALR is contained in appendix A-11-b.
(4) The information contained in an ALR must not be

disseminated to any individual or organization not directly
involved with the investigation without prior authorization of
OJAG (Code 11). Any unauthorized dissemination may affect the
litigation position of the United States.
c. Command Investigation. For some admiralty incidents, a

convening authority may determine, after consultation with OJAG
(Code 11), that concerns regarding safety, operations, public
affairs, international relations, casualty assistance or
accountability outweigh the risk to U.S. litigation interests
that could result from the creation of a non-privileged
investigative report. Under these circumstances, the command
investigation format discussed in Chapter Two is appropriate.
An advance copy of any investigation involving an admiralty
incident must be forwarded to OJAG (Code 11) as soon as
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possible, with endorsements to follow when completed. All

endorsements will follow immediately upon completion.
d. Dual-Purpose Investigation. When the primary purpose

for conducting an investigation of an admiralty incident is to
gather facts and evidence to protect the legal interests of the
DON and the United States in claims and litigation, but a
convening authority also seeks to investigate other issues such
as operational requirements or accountability, a Dual-Purpose
Investigation may be used. The Dual-Purpose Investigation
report must adhere to the procedures set forth for an ALR
whenever possible and should be completed within 30 days of the
incident. However, the Dual-Purpose Investigation report may
include opinions or recommendations and may be endorsed by the
convening authority or chain of command. The report must be
forwarded to OJAG (Code 11) with endorsements to follow when
completed. Appendix A-11-c contains a sample Dual-Purpose
Investigation appointing letter. Note, a mishap investigation
under the safety programs cannot be combined with a Dual-Purpose
Investigation. Confirm Naval Safety Center’s intended response
to the underlying incident and provide a point of contact for
deconfliction with the Dual-Purpose Investigation.
e. Court of Inquiry. The following additional

considerations are relevant in admiralty cases involving courts
of inquiry. See Chapter Two for more information on courts of
inquiry.
(1) When investigating collisions or allisions with non-

federal vessels, personnel of those vessels will not be
designated parties to the investigation or accorded such rights.
They may, however, be invited to appear as witnesses with
counsel while testifying. Such invitations are usually declined
on advice of counsel. If invitees elect to appear, neither
those individuals nor their counsel may be present when other
witnesses are testifying.
(2) Witnesses from a non-federal vessel testifying

before a DON investigation should be furnished a copy of their
testimony as a matter of written record, and the witnesses
should be requested to inform the investigating officer or
convening authority of any errors in the transcript. This
increases the value of the record for its possible effectiveness
for impeachment in later litigation. Opposing interests are not
furnished a copy of the investigation report or any information
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on the testimony of DON witnesses.
(3) In a court of inquiry, it usually is not advisable

to subpoena witnesses from the non-federal vessel involved in a
collision with a DON vessel because the record of the DON
inquiry would then be discoverable.
(4) If submission of the investigation report will be

significantly delayed, an advance copy of the transcribed
testimony at the investigation should be forwarded to OJAG (Code
11).
f. Relation to damage survey. An American Bureau of

Shipping inspection or formal joint survey of damages, described
in section 1106, is not a substitute for a command's
investigative report of an admiralty incident.
g. Release of investigative report. Without first

coordinating with OJAG (Code 11), no individual or command may
release an ALR investigation or Dual-Purpose Investigation
report of an admiralty incident, or any portion, to any
individual or organization not directly involved in the conduct
of the investigation itself, involved in critical self-analysis
of the incident, or involved in preparation for litigation on
behalf of the United States (see SECNAVINST 5720.42 (series) and
SECNAVINST 5820.8 (series)). A command contemplating release of
a command investigation of an admiralty incident to a potential
claimant, an attorney purporting to represent a claimant, or any
other private person or organization must first consult with
OJAG (Code 11). See section 1111.
1106 Surveys
a. Claim asserted. When a claim for damage to property

arising from an admiralty incident is asserted, the party
contemplating such a claim usually invites the allegedly
responsible party or parties to a joint marine survey of the
damage. If invited to attend a joint marine survey to be
conducted by the opposing party, OJAG (Code 11) must be
consulted to determine if DON attendance and participation is
necessary or desired. Otherwise, OJAG (Code 11) will determine
whether a joint marine survey is warranted and will make the
necessary contractual arrangements. A survey minimizes
subsequent disputes on the nature and extent of damage
attributable to a particular incident. If a claim is not
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settled administratively, the survey report can eliminate

questions of proof during litigation. Failure to give opposing
interests an opportunity to survey damage places a heavy burden
of proof on the party later seeking to establish such damage at
trial. In most admiralty cases with substantial damage, whether
involving potential claims by or against the United States, a
joint marine survey of the damage will be desired.
b. Determination of damage. The joint survey is the

formal, technical, survey held by representatives of parties
involved. It is not an ex parte appraisal, as is used in the
DON's internal investigation of an incident or with the disposal
of worn or damaged DON material. A joint marine survey of
damage should not be confused with the survey conducted on
vessels by representatives of marine underwriters following
damage incidents. Rather, for a joint marine survey of damage,
each party normally appoints its own surveyor who, with the
other surveyor(s), examines the damage and attempts to reach
agreement on the extent of damage from the casualty. The survey
report lists items of damage and recommended repairs. When all
parties agree, the surveyors sign the report to record their
concurrence. Surveyors normally sign without prejudice as to
liability. If there is disagreement, disputed points are
specifically noted.
c. Timeliness. Surveys must be held as soon after the

casualty as possible, as vessel operations constantly create
opportunities for additional damage from other sources. Surveys
are arranged and funded by OJAG (Code 11). The survey of a DON
vessel should occur only with the participation of a surveyor
representing the DON. Additional or substitute participation by
DON personnel should be coordinated with OJAG (Code 11).
d. Acceptance of survey invitation. Only OJAG (Code 11)

may accept survey invitations from potential claimants, extend
survey invitations to persons allegedly responsible for damaging
DON property, and request representation by a marine surveyor at
the survey. If any DON activity receives an invitation to
attend a survey of damage, OJAG (Code 11) must be notified
immediately.
1107 Evidence Preservation
a. Original documents. The United States’ position in

litigation may be materially prejudiced if an original document
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is not available at trial. No apparently relevant original

document should be destroyed or discarded without the prior
approval of OJAG (Code 11). Photocopies of pertinent official
documents are acceptable for investigative reports under section
1105; however, original logs, rough statements, chronologies,
and other documents must be segregated and safeguarded for
possible future use at a trial. Because a trial may occur years
after the incident, the custodian must ensure the materials are
not inadvertently discarded by persons unfamiliar with the
admiralty incident and the reasons for preserving the documents.
If possible, all original documents and photographs (including
negatives) should be labeled as originals and forwarded to OJAG
(Code 11) for retention. When litigation is initiated or
anticipated, OJAG (Code 11) will issue a litigation hold letter
describing specific actions required by the command to preserve
evidence.
b. Use of documents at trial. Although originals are

required at trial, the original is produced for inspection only
and does not become part of the court record. The court
attaches a copy to the record of trial and returns the original
to OJAG (Code 11) for forwarding to the appropriate command.
c. Photographs and video. Photographs and video can be

valuable enclosures to admiralty investigations, especially when
taken near in time to the incident. They illustrate property
damage, angle of collision, size and condition of equipment, and
physical layout of a space where an injury occurs. Commands may
use official photographers or other persons to take photographs.
Record pertinent identifying information on each photograph.
This can be done digitally if photographs are stored
electronically, by writing on the reverse side of each
photograph if stored in hard-copy, or ideally by both means.
Pertinent information must include: the hour and date the image
was taken; a brief description of the location or area
photographed; the full name, and rank or rate of the
photographer; and full names and addresses of persons present
when the photograph was taken. Similar information should be
affixed or digitally marked on any other stored or transmitted
media (e.g., videotape, DVD, CD-ROM, other types of computer
generated media). This information is important so photographs
or video can be authenticated and identified by witnesses during
litigation. Storage redundancy is recommended (e.g., hard-copy,
hard drive, cloud storage), as appropriate under existing
regulations at the time of evidence collection.
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d. Logs. No erasures should be made in a logbook or

original navigation record. Make corrections by lining through
the original so that it is still legible and inserting the
correction. The person making the change should initial the
original entry and correction.
e. Electronic files. All e-mail and electronic files

associated with an admiralty incident must be segregated and
preserved pending guidance from the assigned admiralty attorney.
f. Physical evidence. All physical evidence (e.g., lines,

equipment) must, if practical, be segregated and preserved,
pending guidance from the assigned admiralty attorney.
1108 Collision, Allision, and Grounding Cases — Preserving

Ship’s Operation Evidence
a. Documentary evidence. Commanding officers must ensure

that all documentary evidence, including electronic data, is
collected and safeguarded immediately after any collision or
allision. Witnesses will not be asked to produce written or
recorded statements, logs, or drawings. Once an investigating
officer has been appointed in writing, the investigating officer
may interview witnesses and produce summaries of witness
statements. If existing written statements, personal logs, or
drawings concerning the incident are discovered, the originals
must be included as enclosures to the investigation. Relevant
documents, including electronic data, must be preserved as soon
as possible in their original form. Where electronic data
cannot be preserved in their original form, the data should be
preserved by other means, such as printing or taking photographs
of a system display. The following, if maintained by the ship,
must be preserved (note that not all are relevant in every
case):
(1) Charts in use (do not erase or continue to use);
(2) Electronic navigation data (such as from the

Electronic Chart System, Electronic Chart and Display
Information System, Voyage Data Recorder, Automatic
Identification System, Long Range Identification and Tracking,
Global Positioning System, Global Maritime Distress and Safety
System, Navigation System Sensor Interface, or Vessel Monitoring
System). Furthermore, the hardware necessary to extract and
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JAGINST 5800.7G
review that data must be identified and preserved. The unique

technical requirements for preserving electronic navigation data
must be taken into consideration when assigning an investigating
officer or personnel to assist in the investigation of incidents
where appropriate navigation of the vessel is an issue;
(3) Deck log;
(4) Engineering log;
(5) Bell books (bridge and engineering);
(6) Electronic engineering data;
(7) Combat Information Center (CIC) or Combat Direction

Center (CDC) watch log;
(8) Electronic CIC or CDC data;
(9) Surface or Subsurface tracker log;
(10) Position log;
(11) Bearing book;
(12) Magnetic compass record;
(13) Deviation data, azimuth records and course recorder

records (such as Shipboard Inertial Navigation System or
Electrostatic Gyro Navigator);
(14) Contact Evaluation Plot (onboard submarines);
(15) Fathometer log;
(16) Dead Reckoning Tracer plot (annotated with the DRT

operator's name, scale, and time period covered);
(17) Global Command and Control System - Maritime track

data;
(18) Maneuvering board worksheets (bridge and CIC or

CDC);
(19) Photographs of status boards (bridge and CIC or
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JAGINST 5800.7G
CDC) (do not erase or continue to use until photographed);
(20) Radiotelephone logs (such as bridge-to-bridge

radiotelephone logs) and recordings (such as from an RD390);
(21) Communication and signal logs;
(22) All message traffic relating to the incident

(classified and unclassified, from every net, whether
transmitted or received);
(23) Barometer log and Marine Surface Weather

Observations reports;
(24) Standing orders (commanding officer’s and

engineering) (with signature log);
(25) Night orders (with signature log);
(26) Ship’s Standard Organization and Regulations Manual

or any other document prescribing watchstander duties and
procedures;
(27) Audio or video recordings of the incident

(including U.S. Coast Guard bridge-to-bridge recordings);
(28) Damage control boards (do not erase or continue to

use);
(29) Damage control reports; and
(30) Training and qualification records for all bridge,

CIC or CDC, deck, and engineering watchstanders.
b. Safeguard records. To preserve all records of first

entry, collect and safeguard rough logs, notebooks, and
individual sheets of paper containing navigational or other data
later recorded in a smooth log, noting who recorded the
particular information.
c. Conflicts of time. Conflicts between times of entries

in various logs often cause difficulty in litigation.
Comparisons of the clocks in the bridge, CIC, engine room, radio
room, etc., should be recorded as soon as possible after a
collision or allision.
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JAGINST 5800.7G
d. List of officer and enlisted watchstanders. Completely

list all officer and enlisted watchstanders on the bridge
(including lookouts), signal bridge, CIC, and engine room at the
time of the incident, as soon as possible after the incident.
The identity of any other person who was in CIC, on the bridge,
or otherwise topside when a collision or allision occurred, also
should be noted. This list must contain the full name, rank and
rate, e-mail address, and watchstation of each individual.
1109 Documenting Damage and Repair Costs
a. Elements of admiralty damages. In almost all collisions

where the other vessel is at least partially at fault, the
United States will assert a claim against that vessel for the
costs incurred in repairing the DON vessel. Establishing the
value of the DON's damage claim is often difficult. Detailed
repair data is unlikely to be available soon after an incident.
Completion of an ALR or Dual-Purpose Investigation should not be
delayed pending receipt of this information. The claim arising
from a collision or allision may include the cost of:
(1) Temporary and permanent hull repairs;
(2) Dry-docking;
(3) Lost or damaged equipment, stores, provisions, fuel,

and ammunition;
(4) Off-loading and reloading fuel and ammunition;
(5) Towage and pilotage;
(6) Personnel claims paid to crewmembers who suffered

personal property losses due to the collision;
(7) Survey fees;
(8) Detention; and
(9) Emergency assistance by other naval commands to the

naval vessel involved.
b. Collision repairs. Collision repair specifications

should reflect the findings and recommendations in the joint
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survey report. If significant additional damage not covered by

the original survey is discovered during repairs, OJAG (Code 11)
should be notified immediately so opposing interests may be
contacted for a chance to survey newly discovered damage.
c. Repair costs. The Naval Sea Systems Command directs its

field activities to maintain separate and exact records of
collision repair costs and to expedite delivery of this data.
Usually, original repair specifications, job orders, time and
material cards, dry-docking reports, and departure reports are
needed. Coordination with the repair activity is necessary.
The vessel's logs must contain entries establishing the specific
time the collision repairs were commenced and completed. A
departure report must be checked to confirm that its data is
consistent with other repair documents and that there is a
proper allocation of costs between collision and non-collision
items, as reflected by the job orders.
d. Non-collision work. All non-collision work must be

covered by separate job orders to eliminate including non-
collision work in the collision repair costs.
e. Commercial shipyard repairs. When DON vessels will be

repaired in commercial yards rather than naval shipyards,
invitations to bid are issued to commercial shipyards and the
contract is awarded to the low bidder. The collision repair
specifications should be based on the surveyor's findings and
recommendations. The shipyard's bill or invoice and proof of
DON payment shows repair costs for those items performed by the
commercial shipyard. As with repairs done by a naval shipyard,
non-collision work should be covered by separate specifications,
job orders, bids, and invoices.
f. Detention costs. When a commercial vessel must be

withdrawn from service because of collision damage, its owner
may recover the vessel's loss of earnings and reasonable
expenses incurred during the repair period. This loss of
earnings rule does not apply to DON vessels since they do not
carry passengers or cargo for profit.
(1) When a collision causes the unexpected loss of use

of a naval vessel, however, the United States may recover the
operating and maintenance costs of the ship for the period the
DON was deprived of the vessel's normal service. Detention is
not legally recoverable when a vessel would have otherwise been
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JAGINST 5800.7G
out of service, such as for periodic overhaul or prospective

inactivation. Detention includes out-of-pocket expenses for the
repair period, particularly:
(a) Pay and allowances of officers and crew;
(b) Subsistence of crew;
(c) Fuel and lube oil consumed; and
(d) Supplies and stores consumed.
(2) To support a detention claim, the DON must provide

documentary evidence showing the exact subsistence, wages, and
other expenses of the vessel. Affidavits from the cognizant
supply, disbursing, and engineering officers stating that the
original ship's records (that must be preserved) contain such
expenditures will support the claim. OJAG (Code 11) will
provide advice and assistance on preparing affidavits and other
documentation in support of a detention claim.
g. Prompt repairs. Collision repairs to a DON vessel

should be made as expeditiously as practical, especially when a
detention claim is being presented by DON. A short repair
period avoids the "skeleton crew doctrine," where the DON would
recover as detention costs only the pay, allowances, and
subsistence for a skeleton crew, rather than the full complement
of members, when an extended repair period was involved.
1110 Personal Injury Cases
a. Generally. Any death or injury aboard a DON vessel is a

reportable admiralty incident, unless the individual is a member
of the armed forces or an employee of the federal government
(see subsections 1103(a) and 1103(d)). This reporting
requirement extends to death or injury that occurs while
embarking or disembarking a DON vessel and death or injury that
occurs on shore or on a non-DON vessel, if caused by the
operation of a DON vessel. Notify OJAG (Code 11) immediately of
such accidents.
b. Potential claimants. Potential claimants include: ship

workers, guests, dependents, ship repairmen, contractor
technical representatives (tech-reps), longshoremen, stevedores,
maintenance and sanitation workers, harbor and river pilots,
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JAGINST 5800.7G
civilian mariners, and persons rescued from maritime distress.
c. Considerations in death and personal injury

investigations. When investigating any personal injury or death
case, consider:
(1) Logs. All shipboard injuries to persons not members

of ship's company should be recorded in the ship's deck log.
The occurrence may be mentioned in other logs, such as the
engineering log when the incident occurs in an engineering
space, or in the medical log if care is rendered by the medical
department. All logs which might possibly contain an entry
about the incident should be inspected by the investigating
officer, and photocopies of each log containing a relevant entry
should be included in the investigative report. When copying a
log, copy the entire day's log, not just the page containing the
relevant entry. If no entries on an injury are found in any
log, it may indicate the victim was not hurt seriously enough to
report the injury to the officer of the day or to request
immediate medical assistance. Clearly identify logs reviewed
and indicate that no entry was found on the alleged occurrence.
(2) Witnesses. Clearly identify all DON and other

witnesses to the accident. Identify all persons in the space at
the time of an accident, even if they claim not to have seen or
heard anything. For DON personnel, include the member's full
name, rank and rate, command, and e-mail address. For other
witnesses, include the person's full name, e-mail address, and
telephone number. If the witness is a civilian shore worker,
also include the individual’s badge number, employer, and shop
where the person is employed. It is also useful to identify the
ship's personnel normally in charge of the particular space
(e.g., division officer, leading petty officer, leading chief
petty officer) so they may be contacted to comment on the
space's cleanliness, upkeep, and general repair.
(3) Witness statements. The investigating officer must

prepare a summary of the interview with the witness, rather than
having the witness write, sign, or adopt a statement.
Typically, only military personnel and U.S. employees are
interviewed by the investigating officer. The investigating
officer must coordinate with the supervisory attorney (normally
assigned from OJAG (Code 11)) prior to contacting the injured
person or any witness not employed by the federal government.
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(4) Inspection of the accident site. A claim or suit

for death or injury is based on the contention that the vessel
was negligently maintained or operated. A post-accident
inspection can be corroborated by evidence of other inspections
(i.e., zone, safety, or health and comfort) closely preceding
the incident. Evidence that qualified personnel (e.g.,
departmental chief petty officer, leading chief petty officer,
division officer, safety officer, or investigating officer)
carefully inspected a site immediately following an accident and
found the area free from defects is especially important when
there is no eyewitness to the injury. The post-accident
inspection should focus on conditions likely to have contributed
to the particular incident. For example, if the person was
injured in a fall, the inspection should include the quality of
the footing (e.g., Was the deck or ladder wet or greasy? Were
the ladder treads worn?), lighting in the space, and existence
of structural conditions and protuberances that might cause an
individual to fall. Similarly, if the injury resulted from the
failure or giving-way of any of the vessel's gear or equipment,
a careful examination to discover the cause of the failure
should be made, and, if feasible, the gear should be carefully
preserved. Whenever possible, a post-accident inspection should
include photographs of the accident location (or gear involved)
before any changes are made after the incident (see subsection
1107(c)). Furthermore, if a defective condition is uncovered,
the inspector should attempt to determine how long the condition
has been in existence, who (individual and employer) created the
condition, and, if created by someone other than a U.S.
employee, whether any crewmembers learned of the defective
condition prior to the accident. Finally, Planned Maintenance
System records for a space or piece of equipment should be
consulted and retained when a defective condition is found.
(5) Medical records. Include copies of all Navy medical

records of treatment by DON personnel in an investigative report
of a death or injury. The investigating officer need not obtain
medical records from a civilian hospital, physician, or the
injured party. The investigating officer should determine the
general nature of the victim's injuries from DON reports and
records.
d. Shore worker injuries. For a shore worker injury

investigation, an accident report or an employer's report of
injury may be obtained from the injured worker's employer, the
shipyard safety office, or the cognizant office of the
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Supervisor of Shipbuilding.
e. General visiting and ship tours. Investigative reports

of an injury occurring during general visiting or tours of the
ship should address warnings given to visitors (e.g.,
conspicuous signs, printed warnings on brochures provided, and
verbal warnings by a tour guide) and safety briefs, and the
presence of crewmembers on the tour route to assist visitors and
correct any hazardous conditions noted.
1111 Correspondence with Private Parties
a. Forward to OJAG (Code 11). All correspondence received

by a command on an admiralty incident, especially that from a
claimant or an attorney purporting to represent a claimant, must
be forwarded expeditiously to OJAG (Code 11) for reply. Under
SECNAVINST 5820.8 (series) and SECNAVINST 5720.42 (series), OJAG
is responsible for processing requests for DON records, for
access to DON property and information, or for interviews of DON
personnel in admiralty matters. These requests often precede
claims or lawsuits against the United States.
b. DON personnel. All DON personnel contacted by a

claimant or by a claimant's attorney on an admiralty incident
are encouraged not to give a statement without first reporting
the contact to the commanding officer, staff judge advocate, or
command counsel, who will inform OJAG (Code 11).
c. Admission of liability. DON personnel must not make

statements to potential claimants or others implying that the
DON or the United States will accept responsibility for payment
for injury or damage. Off-hand comments such as "We’ll take
care of it" may mislead and serve as a later charge that the DON
admitted liability. Similarly, avoid any informal, off the
record assurances of probable recognition of a claim.
1112 Maritime Oil or Hazardous Substance Spills
a. Requirements for timely and accurate reporting of oil

and hazardous waste spills to federal, state, and local agencies
are set forth in OPNAVINST 5090.1 (series) and MCO P5090.2
(series). OJAG (Code 11) strongly encourages dissemination of
information necessary for effective cleanup to authorities
outside DoD while spill response and cleanup is underway. The
U.S. Government on-scene coordinator should be given all
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available information to assist with a rapid and complete

cleanup. Similarly, state representatives have a strong
interest in ensuring a proper response to the spill. Priority
is given to halting the spill and cleaning it up. All
unclassified information necessary for that purpose should be
shared.
b. Shortly after cleanup is complete, a DON activity may,

consistent with response reports, confirm information which was
or might have been released incident to cleanup concerning
whether a spill has occurred, the specific source of the spill,
the type of substance spilled, when the spill occurred, where
the spill occurred, the preliminary estimate of how much oil or
hazardous material was spilled, a description of the DON's
response efforts, and estimates of amounts of oil or hazardous
material recovered. Information should be coordinated with
cognizant Navy regional environmental counsel and OJAG (Code
11).
c. After the response is complete, however, the command

should have due concern for the effective defense of the United
States in claims and litigation resulting from the incident.
OJAG (Code 11) adjudicates claims under admiralty tort law for
property damage and natural resource damage stemming from DON
oil or hazardous material spills. In this regard, it is of
utmost importance that only verified and accurate information is
released to state or private authorities. Otherwise, multiple
inconsistent statements may jeopardize the U.S. Government's
interests in litigation. All statements made after the response
is complete should be made in a manner that will not jeopardize
the interests of the United States.
d. Upon report of a spill, OJAG (Code 11) may direct that

local commands prepare an ALR or Dual-Purpose Investigation.
See section 1105.
e. After an official report is forwarded to OJAG (Code 11),

a command may be directed to release additional information to
state authorities concerning the cause of the spill. To ensure
the accuracy of information, causal and other information
relating to an oil or hazardous material spill may be released
only after approval by OJAG (Code 11) in light of the U.S.
Government's interests in potential litigation. Such
disclosures, if approved, should be identified or marked as
"Post-Accident Remedial Measure Information." Requests for
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JAGINST 5800.7G
witness interviews must be in accordance with the provisions and

limitations of SECNAVINST 5820.8 (series).
1113 Disturbance of Navy Shipwrecks, Aircraft Wrecks, and Other

Submerged Property
a. The attempted salvage or other disturbance of DON

shipwrecks, aircraft wrecks, or other submerged property is an
admiralty incident and should be reported to OJAG (Code 11).
b. DON ship and aircraft wrecks remain the property of the

United States, without regard to geographic location or age, and
are not considered to be abandoned unless a formal determination
to abandon the wreck is made pursuant to law.
Part C — Admiralty Claims
1114 Administration of Defensive Admiralty Claims
a. Generally. It is DON policy to settle admiralty claims

fairly and promptly when legal liability exists. Administrative
settlement of admiralty claims eliminates the expense and delay
of litigation while obtaining a result advantageous to the
financial interests of the United States. Litigation is likely
when settlement cannot be reached.
b. Assistance to claimants. Refer claimants or potential

claimants inquiring about rights or procedures to OJAG (Code
11). The cognizant admiralty attorney will provide the
individual the address where the notice of claim should be
mailed. An officer or employee of the U.S. Government cannot
act as agent or attorney for another in the prosecution of any
claim against the United States (see 18 U.S.C. § 205).
1115 Adjudicating Admiralty Cases as Foreign Claims
a. Foreign Claims Act. Admiralty claims arising in foreign

countries may be adjudicated under the Foreign Claims Act (10
U.S.C. § 2734) only when authorized by OJAG (Code 11).
b. Copy to OJAG (Code 11). If permission is granted for an

admiralty claim to be adjudicated under foreign claims
regulations, OJAG (Code 11) must be provided a copy of the
Foreign Claims Commission proceedings and, if an award is made
to claimant, a copy of the executed release.
11-27
JAGINST 5800.7G
1116 Authority for Affirmative Claims Settlement
a. Generally. The United States may pursue affirmative

admiralty claims for most admiralty incidents and affirmative
salvage claims. See 10 U.S.C. §§ 8703, 8823, and 32 C.F.R. Part
752.
b. Authority of Secretary of the Navy. The SECNAV has

authority to settle, compromise, and receive payment for claims
by the United States for damage to any property under the
jurisdiction of the DON, if the damage was caused by a vessel or
floating object, or is otherwise within admiralty jurisdiction
(see 10 U.S.C. § 8823). The SECNAV also has settlement
authority for damage to property for which the DON is
responsible, allowing subrogation claims accruing in favor of
the United States. For example, when the DON leases a privately
owned pier which is damaged by a commercial vessel, and the
lease obligates the DON to pay the pier owner for the damage, or
when DON property is damaged while leased to private interests
and the DON assumes the risk of loss or damage, the DON may
recover from the tortfeasor.
1117 Salvage
Salvage claims may be filed against the DON for compensation for
towage and salvage services, including contract salvage,
rendered to a DON vessel or other property under the DON's
jurisdiction. The Navy Supervisor of Salvage may initially
assert claims for salvage services rendered by DON vessels or
units. Regulations on these claims are published at 32 C.F.R.
Part 752. Commanding officers of vessels or installations, or
U.S. Government or contract harbor pilots, have no authority to
waive salvage fees or claims on behalf of the Navy.
1118 Federal Inter-Governmental Admiralty Incidents
a. Waiver doctrine. Potential claims for collisions

between vessels, and for other admiralty incidents involving
property damage, when the owners involved are the DON and
another federal agency, are subject to waiver. The waiver
doctrine is based upon Comptroller General decisions that
appropriations of one federal department are not available to
pay the claims of another.
11-28
JAGINST 5800.7G
b. Report of incident. When it appears only U.S. Federal

Government interests are involved, a report of the admiralty
incident must be made under sections 1103 and 1104; however, an
investigation of liability and survey of damage are not
required. Upon receiving the initial report of the incident,
OJAG (Code 11) may confirm the status of the vessels or property
involved with the other federal agency, and the waiver is made a
matter of record.
1119 Foreign Government Claims
a. Report to OJAG (Code 11). Admiralty incidents involving

DON vessels or property, and a vessel or property owned by a
foreign government, must be reported to OJAG (Code 11) under
sections 1103 and 1104. Action on such claims may be affected
by treaties, international law, and federal statutes. For
example, the Foreign Sovereign Immunities Act recognizes a
foreign nation's immunity for sovereign or public acts of that
nation in U.S. territory and limits immunity for commercial or
personal acts. See 28 U.S.C. §§ 1602-1611.
b. Jurisdictional process. Under customary international

law, a nation's public war vessels are not subject to
jurisdictional process in any other nation; all DON vessels
(including MSC vessels) are immune from arrest. If an attempt
is made to arrest a DON vessel in a foreign country, include
NAVY JAG WASHINGTON DC as an information addressee in the
message report of the arrest attempt. If requested, OJAG (Code
11) will then assist DOJ and Department of State in addressing
the issue.
c. Immunity. Government-owned merchant ships have limited

immunity from jurisdictional process of a foreign state. For
example, a foreign government-owned vessel is exempt from U.S.
jurisdiction if devoted to public use or government operations;
however, the immunity of foreign government-owned merchant
vessels in competitive commercial transactions may be
restricted.
d. Waiver agreements. The United States has waiver

agreements with the British and Canadian governments, so certain
maritime claims between the United States and Great Britain or
Canada, arising out of the operation of public vessels of these
respective governments, are waived (see Maritime Transportation
and Litigation Agreement with Great Britain, 4 December 1942, 56
11-29
JAGINST 5800.7G
Stat. 1780, E.A.S. 282; and Waiver of Claims Involving

Government Ships Agreement with Canada, November 15, 1946, 61
Stat. 2520, T.I.A.S. 1582). These admiralty incidents do not
require the usual investigative report or survey for claims
purposes.
e. Status of Forces Agreements. Admiralty claims are also

affected by Status of Forces Agreements. Under Article VIII of
the NATO Status of Forces Agreement, an inter-governmental
admiralty claim for damage to property owned and used by the
armed forces of one contracting party, caused by a vessel of
another contracting party, is waived if either the damaging
vessel or the damaged property was used in the operation of the
North Atlantic Treaty. Similarly, under Article XVIII of the
Status of Forces Agreement with Japan, the United States and
Japan mutually waive claims for property damage caused by
members of their defense forces if the damaging instrumentality
or the damaged property was being used for official purposes.
Similar provisions may be included in Status of Forces
Agreements and Visiting Forces Agreements with other countries.
11-30
JAGINST 5800.7G
SAMPLE ADMIRALTY LETTER REPORT APPOINTING LETTER
5830
Ser
[Date]
From: Commanding Officer, USS _________

To: LT ____________
Subj: ADMIRALTY LETTER REPORT INVESTIGATION OF _______________

INVOLVING _____________ ON ___________
Ref: (a) JAGINST 5800.7G, Chapter Eleven
1. Pursuant to reference (a), you are hereby appointed to

investigate the circumstances surrounding __________. During
the investigation you will be under the direction and
supervision of _______________, JAGC, USN, Admiralty Attorney,
202-685-5040 (DSN: 325-5040). Consult with ____________ before
beginning your inquiry or collecting any evidence. If you have
not already done so, you should read reference (a) for
additional guidance.
2. This investigation is being convened and your report is

being prepared in contemplation of litigation and for the
express purpose of assisting attorneys representing interests of
the United States in this matter. As such, it is privileged and
should be discussed only with personnel who have an official
need to know of its progress or results. If you have any doubt
about the propriety of discussing the investigation with any
particular individual, then you should seek guidance from
_________ before doing so.
3. Investigate all facts and circumstances surrounding the

incident, including the cause, resulting injury, and any fault,
neglect, or responsibility therefore. Report your findings by
letter format to __________________ by _______ unless an
extension of time is granted. Do not express any opinions or
recommendations unless __________ directs you to do so. Label
your report "FOR OFFICIAL USE ONLY: ATTORNEY WORK PRODUCT" and
take appropriate measures to safeguard it.
X. X. XXXX
A-11-a
JAGINST 5800.7G
SAMPLE ADMIRALTY LETTER REPORT
FOR OFFICIAL USE ONLY: LITIGATION/ATTORNEY WORK PRODUCT
5830
Ser
[Date]
From: LT _______, USN, ALR Investigating Officer

To: Office of the Judge Advocate General (Code 11)
Subj: ADMIRALTY LETTER REPORT INVESTIGATION OF _______________

INVOLVING _____________ ON ___________
Ref: (a) Appointing Ltr Ser ____ of ____

(b) JAGINST 5800.7G, Chapter Eleven
Encl: (1) [See sections 1107-10]_________
1. Pursuant to references (a) and (b), the following

information is provided. This is a detailed factual internal
report of inquiry conducted after the occurrence of the subject
event and under the direction and supervision of a Navy
Admiralty Attorney and _____, JAGC, USN, Staff Judge Advocate,
___(command)___. This report is prepared in anticipation of
litigation and for the express purpose of adequately preparing
and assisting attorneys representing the interests of the Navy
and the United States in this matter. This investigation was
requested based upon an independent determination by the Navy
Admiralty Counsel that a report is necessary to properly
represent the Navy and the United States in litigation arising
from this incident. As this report may only be released to
those Department of Navy or Department of Justice personnel
with a demonstrated official need to know its contents, it was
not and will not be disclosed to anyone without the requisite
official need to know. Incident to the subject investigation
and preparation of the report thereof, the Department of the
Navy has relied on the protection afforded by the attorney-work
product privilege.
2. The basic facts are as follows: [The form of the Admiralty

Letter Report is not significant; that it includes all of the
information necessary to prepare and resolve the case is
important. JAGINST 5800.7G Chapter Eleven is generally
applicable and sections 1107 through 1110 provide helpful
A-11-b
JAGINST 5800.7G
Subj: ADMIRALTY LETTER REPORT INVESTIGATION OF ______________

INVOLVING __________ ON ___________
evidentiary requirements in various types of cases. Do not

include opinions or recommendations.]
3. [Written summaries of witness interviews conducted at the

request of the Admiralty Counsel are strongly preferred to
statements written, adopted or signed by witnesses because
interview summaries may be withheld during litigation
discovery. If witnesses prepared statements prior to
appointment of this inquiry, do not destroy them; append them
as report enclosures.]
[Statement summary format:

LAST, FIRST M.
DUTY STATION:
PHONE:
E-MAIL:
Summarized content of statement.]
4. The investigating officer in this matter is [name and

rank]; and may be contacted at [telephone number] or by e-mail
at [e-mail address].
X. X. XXXXX
LT, USN
[Do not send the report to any other addressee unless

specifically authorized by Admiralty Counsel]
A-11-b
JAGINST 5800.7G
SAMPLE DUAL PURPOSE LITIGATION REPORT APPOINTING LETTER
5830
Ser
[Date]
From: Commanding Officer, USS _________

To: LT ____________
Subj: DUAL-PURPOSE LITIGATION REPORT INVESTIGATION OF

_____________ INVOLVING _____ AND _______ ON _______
Ref: (a) JAGINST 5800.7G, Chapters Two and Eleven
1. Pursuant to reference (a), you are hereby appointed to

investigate the circumstances surrounding _____. During the
investigation you will be under the direction and supervision of
_______________, JAGC, USN, (phone), and ____________, JAGC,
USN, Admiralty Attorney, 202-685-5040 (DSN: 325-5040). Please
consult these attorneys before beginning your inquiry or
collecting any evidence. If you have not already done so, you
should read reference (a) for additional guidance.
2. This Dual-Purpose Investigation is being conducted, and

report of investigation prepared, in contemplation of
litigation. The purpose of this internal report is to prepare
attorneys to represent the legal interests of the Department of
the Navy (DON) and the United States in litigation, and to
candidly and forthrightly evaluate and improve, if necessary,
Navy procedures involved in this incident. This report is
predicated on the forthright honesty of DON personnel to
candidly self-evaluate incidents to prevent recurrence of
similar incidents and to further the public interest and safety.
Accordingly, this report may only be released to those DON or
Department of Justice personnel with a demonstrated official
need to know its contents. Releasing this report to those
without an official need to know could hamper the honesty and
candor of those who contributed to this investigation or who may
contribute to future investigations. This is a report of an
internal investigation completed under the supervision of
counsel. Incident to the subject investigation and preparation
of the report thereof, the DON has relied on the protections
afforded by the attorney-work product and critical self-analysis
privileges. This investigation is privileged and should be
discussed only with personnel who have an official need to know
A-11-c
JAGINST 5800.7G
Subj: DUAL PURPOSE LITIGATION REPORT INVESTIGATION OF

_____________ INVOLVING _____ AND _______ ON _______
of its progress or results. If you have any doubt about the

propriety of discussing the investigation with any particular
individual, then you should seek guidance from counsel before
doing so.
3. During the course of your investigation you are directed to

refrain from taking written or recorded statements from any
witness. Instead, type summaries of witness interviews.
However, you must collect and include any statements already in
existence. Also include all original charts, logs, photographs,
video, e-mail and other documentary or electronic evidence.
Label items as discussed in reference (a).
4. Investigate all facts and circumstances surrounding the

incident, including the cause, resulting injury, and any fault,
neglect, or responsibility therefore. You are also directed to
develop opinions and recommendations that should focus on the
accountability, safety, and training issues involved to prevent
recurrence and further the public interest in safety. Label
your report “FOR OFFICIAL USE ONLY: LITIGATION/ATTORNEY WORK
PRODUCT” on each page, and take appropriate measures to
safeguard it.
5. Include the following language in the preliminary statement

of your report: “This Dual-Purpose Investigation was conducted,
and a report of investigation prepared, in contemplation of
litigation. The purpose of this internal report is to prepare
attorneys to represent the legal interests of the Department of
the Navy (DON) and the United States in litigation and to
candidly and forthrightly evaluate and improve, if necessary,
Navy procedures involved in this incident. This report is
predicated on the forthright honesty of DON personnel to
candidly self-evaluate incidents to prevent recurrence of
similar incidents and to further the public interest and safety.
Accordingly, this report may only be released to those DON or
Department of Justice personnel with a demonstrated official
need to know its contents. Releasing this report to those
without an official need to know could hamper the honesty and
candor of those who contributed to this investigation or who may
contribute to future investigations. This is a report of an
internal investigation completed under the supervision of the
Admiralty Counsel of the Navy and _____________, JAGC, USN, a
A-11-c
JAGINST 5800.7G

_____________ INVOLVING _____ AND _______ ON _______
judge advocate. Incident to the subject investigation and

preparation of the report thereof, the DON has relied on the
protections afforded by the attorney-work product and critical
self-analysis privileges. This investigation is privileged and
should be discussed only with personnel who have an official
need to know of its progress or results.”
6. Report your findings of fact, opinions, and recommendations

to ________ by _____ unless an extension of time is granted.
X. X. XXXXX
A-11-c
JAGINST 5800.7G
SAMPLE DUAL PURPOSE LITIGATION REPORT
FOR OFFICIAL USE ONLY: LITIGATION/ATTORNEY WORK PRODUCT
5830
Ser
[Date]
From: LT ________, USN, Investigating Officer

To: Commanding Officer, USS_______________
Subj: DUAL-PURPOSE LITIGATION REPORT INVESTIGATION OF

____________ INVOLVING _____ AND _______ ON _______
Ref: (a) Appointing Ltr Ser ____ of ____

(b) JAGINST 5800.7G
Encl: (1) _________

(2) _________
1. This Dual-Purpose Investigation was conducted, and a report

of investigation prepared, in contemplation of litigation. The
purpose of this internal report is to prepare attorneys to
represent the legal interests of the Department of the Navy
(DON) and the United States in litigation and to candidly and
forthrightly evaluate and improve, if necessary, Navy procedures
involved in this incident. This report is predicated on the
forthright honesty of DON personnel to candidly self-evaluate
incidents to prevent recurrence of similar incidents and to
further the public interest and safety. Accordingly, this
report may only be released to those DON or Department of
Justice personnel with a demonstrated official need to know its
contents. Releasing this report to those without an official
need to know could hamper the honesty and candor of those who
contributed to this investigation or who may contribute to
future investigations. This is a report of an internal
investigation completed under the supervision of the Admiralty
Counsel of the Navy and _____________, JAGC, USN, a judge
advocate. Incident to the subject investigation and preparation
of the report thereof, the DON has relied on the protections
afforded by the attorney work product and critical self-analysis
privileges. This investigation is privileged and should be
discussed only with personnel who have an official need to know
of its progress or results.
A-11-d
JAGINST 5800.7G

_____________ INVOLVING _____ AND _______ ON _______
2. [The form of the Dual-Purpose Investigation Report can be

the same as a JAGINST 5800.7G Chapter Two investigation, but
need not be. No particular format is required from the
perspective of admiralty claims adjudication. If the appointing
command would prefer to use the JAGINST 5800.7G Chapter Two
format, then that format is certainly acceptable. It is not,
however, required for the admiralty claims process.]
3. [Written summaries of witness interviews conducted at the

request of the Admiralty Counsel are strongly preferred to
statements written, adopted or signed by witnesses because
interview summaries may be withheld during litigation discovery.
If witnesses prepared statements prior to appointment of this
inquiry, do not destroy them; append them as report enclosures.
If the Dual-Purpose Investigation report is in the form of a
JAGINST 5800.7G, Chapter Two investigation, please include your
interview summaries as enclosures. If it is not in the Chapter
Two format, the summaries may be in the body of the report or
attached as enclosures, whichever the investigator prefers.
Regardless of format, please include full names and current
command contact information for the witnesses.]
4. The investigating officer in this matter is [name and rank];

and may be contacted at [telephone number] or by e-mail at [e-
mail address].
X. X. XXXXX
LT, USN
Copy to:
OJAG (Code 11) (w/orig encls)
[original documents enclosed with the report should be sent to
OAJG (Code 11)]
[Note: if the commanding officer formally endorses the

investigation or takes any action, then he or she must send a
copy of the action to OJAG (Code 11) as well; any other commands
that endorse this report must send a copy of their endorsement to
OJAG (Code 11)]
A-11-d
MANUAL
OF THE
JUDGE ADVOCATE GENERAL
(JAGMAN)

Department of the Navy
1322 Patterson Avenue, Southeast
Suite 3000
Washington Navy Yard
Washington, DC 20374-5066

5800.7G CH-1

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DEPARTMENT OF THE NAVY

OFFICE OF THE JUDGE ADVOCATE GENERAL

JAGINST 5800.7G CH-1

JAG INSTRUCTION 5800.7G CHANGE TRASMITTAL 1

From: Judge Advocate General of the Navy

Subj: MANUAL OF THE JUDGE ADVOCATE GENERAL

Ref: (a) ALNAV 09/22 of 11 Feb 22

Encl: (1) Revised pages 1-1 through 1-164

1. Purpose. This change is issued to incorporate the change to

2. Action. Remove pages 1-1 through 1-167 and pages A-1-a

Office of the Judge Advocate General

I REGULATIONS IMPLEMENTING AND SUPPLEMENTING THE

III COMPLAINTS OF WRONG....................................3-1

IV ARTICLE 139 CLAIMS - REDRESS OF DAMAGE TO PROPERTY.....4-1

VI DELIVERY OF SERVICE MEMBERS, CIVILIANS, AND DEPENDENTS;

VII LEGAL ASSISTANCE.......................................7-1

VIII GENERAL CLAIMS PROVISIONS..............................8-1

IX AUTHORITY OF ARMED FORCES PERSONNEL TO PERFORM

X INTERNATIONAL LAW & APPLICATION OF U.S. LAW OVERSEAS..10-1

XI ADMIRALTY AND MARITIME LAW............................11-1

Part A ― Nonpunitive Measures

0102 Nonpunitive Administrative Measures, Generally

0103 Extra Military Instruction

0105 Nonpunitive Censure and Nonpunitive Letter of Caution

Part B ― Nonjudicial Punishment

0106 Authority to Impose

0108 Limitations on Initiation of Article 15, UCMJ, Proceedings

a. Right to refuse nonjudicial punishment

0109 Advice to Accused before Initiation of Article 15, UCMJ,

a. Advice before nonjudicial punishment

0110 Procedures for Initiation of Article 15, UCMJ, Proceedings

a. Article 15, UCMJ, guide

0111 Limitations on and Nature of Punishments

a. Restriction imposed upon officers and warrant officers

0112 Limitations on Nonjudicial Punishments to be Imposed on

0113 Effective Date and Execution of Nonjudicial Punishments

a. Forfeiture of pay and reduction in grade

0114 Punitive Censure

d. Content of letter of admonition or reprimand

0114a Secretarial Letter of Censure

0115 Announcement of Nonjudicial Punishment

0116 Command Action on Nonjudicial Punishment Appeals

0117 Authority to Act on Nonjudicial Punishment Appeals

a. When the officer who imposed punishment is in a Navy chain

a. Definition of "successor in command"

0119 Records of Nonjudicial Punishment

Subpart C1 ― Pretrial Matters

0120 Designation of Additional Convening Authorities

0121 Requests for Authority to Convene Courts-Martial

0122 General Restrictions on Exercise of Court-Martial

a. General, special, and summary courts-martial

0123 Exercise of Court-Martial Jurisdiction over Retired,

0124 Exercise of Courts-Martial Jurisdiction in Cases Tried in

0125 Exercise of Courts-Martial Jurisdiction Over Major Federal

0126 Determination of Status of Case as National Security Case,

a. National security case defined

0127 Pretrial Restraint of Accused

a. Custody and restraint of accused before or during trial

0128 Disposition of Charges

a. Victim preference for jurisdiction for sex-related