COMNAVRESINTCOMINST 5370.2D

12 December 1993

COMNAVRESINTCOM INSTRUCTION 5370.2D

Subj: GUIDES TO CONDUCT AND SPECIAL INTEREST ITEMS

Ref: (a) OPNAVNOTE 5040 (Series)

(b) COMNAVAVRESFORNOTE 5040 (Series)

(c) SECNAVINST 5370.2J

( (d) SECNAVINST 5430.92A

(e) SECNAVINST 5370.5A

(f) OPNAVINST 5041.1

(g) COMNAVRESFORINST 5200.4C

(h) COMNAVRESINTCOMINST 5350.lB

(I) OPNAVINST 5354.lC

(j) COMNAVRESINTCOMINST 5354.lB

(k) SECNAVINST 5211.5D

(1) SECNAVINST 5720.42E

(m) COMNAVRESFORINST 5210.lD

(n) OPNAVINST 5510.lH

(o) COMNAVRESINTCOMINST 5510.2C

(p) OPNAVINST 5239.lA

(q) OPNAVINST 5530.14B

(r) SECNAVINST 5500.4F

(s) OPNAVINST 5350.4B

(t) SECNAVINST 5100.13A

(u) OPNAVINST 6110.lD

(v) OPNAVINST 5510.161

Encl: (1) Guides to Conduct and Special Interest Items Brief

1. Purpose. To provide guidance with respect to personal conduct expected of each Reserve Intelligence individual in carrying out his or her duties and, in particular, to identify certain types of prohibited conduct and to emphasize certain areas which are of special interest to higher authority.

2. Cancellation. COMNAVRESINTCOMINST 5370.2C.

3. Applicability. This instruction applies to all members assigned to NRIP units, RIA staffs, and headquarters staff (including civilians). For those in NRCIS billets, it is assumed that they will receive required training from their NRCIS commands since all items apply to all reserve programs.

b. References. References (a) and (b) specify items of special interest to the Secretary of the Navy, the Chief of Naval Operations, and the Commander, Naval Reserve Force. These items shall be subjects of inquiry during command inspections. Certain areas of conduct covered by references (c) through (v) are specifically noted in references (a) and (b). Reference (c) provides guidance with respect to standards of conduct, conflicts of interest and ethical conduct in general. Reference (d) specifies actions necessary to counteract fraud, waste and related improprieties, as do references (e), (f) and (g), which also implement DOD, Navy, and Naval Reserve Hotline programs. These programs represent a significant corrective mechanism to complement other procedures to combat fraud, waste and related improprieties. Reference (h) prohibits sexual harassment. References (I) and (j) provide guidance with respect to equal opportunity for all individuals regardless of race, creed, sex or other unfair basis of discrimination. References (k), (1) and (m) deal with required and prohibited conduct under the Privacy Act and the Freedom of Information Act. References (n) and (o) deal with information security. Reference (p) sets forth the Navy Automated Data Processing Security Program. References (q) and (r) set forth policies and responsibilities for the physical security and loss prevention program. Reference (s) provides a comprehensive substance abuse policy including procedural guidance. Reference (t) provides guidance on smoking in work spaces. Reference (u) discusses the Physical Readiness Program. Reference (v) addresses the disclosure of unclassified technical data.

4. Discussion. The substance of the policies regarding, and restrictions on, conduct contained in references (a) through (v) is included in enclosure (1). All Reserve Intelligence personnel shall meticulously observe those policies and restrictions. Any Reserve Intelligence personnel who have questions as to how references (a) through (v) apply to their own activities should feel free to raise such question with their commanding officers. Positive measures are required to ensure that all Reserve Intelligence personnel are indoctrinated as to the sense and spirit of the provisions of the references as they apply to the operations and activities of the unit to which they are assigned. All Reserve Intelligence personnel shall receive a Guides to Conduct and Special Interest Items briefing initially upon joining the Naval Reserve and, thereafter, during the first quarter of each fiscal year. Each item in enclosure (1) will be covered during the initial and annual Guides to Conduct/Special Interest Items briefing. Amplification of enclosure (1) is encouraged in order to bring its meaning home to those being briefed. The briefing must be documented on a form 3500.

5. Action.

a. The Commanding Officer of each NRIP unit shall:

(1) Ensure that members of his/her unit do not violate the policies set forth in references (a) through (v).

(2) Carry out the briefing program specified in paragraph 4.

(3) Impose such sanctions as may be appropriate upon any unit member who violates any of the policies in the references.

b. Each Reserve Intelligence Area Commander shall:

(1) Ensure that RIA personnel do not violate the policies set forth in references (a) through (v).

(2) Carry out the briefing program specified in paragraph 4 for all RIA staff personnel.

(3) As a part of normal inspection procedures, review each unit's compliance with references (a) through (v) and with this instruction.

6. Sanctions. References (a) through (v) establish standards of conduct for all Reserve Intelligence personnel. Violations of these standards may result in administrative sanctions or punitive action under the Uniform Code of Military Justice for military, or applicable federal law for civilians.

B. A. BLACK

Distribution: (refer to COMNAVRESINTCOMINST 5216.lG)

List I through IV

1. Background. The conduct of all command members is governed by the policies described in paragraphs 2 through 10 below. "Command members" include all members of NRIP units, RIA and headquarters staffs (including civilians), and all those in NRCIS billets. Violations of the standards set forth below may result in administrative or punitive action under the Uniform Code of Military Justice for military, or applicable federal law for civilians.

2. Standards of Conduct (SECNAVINST 5370.2J). In general, all Navy personnel shall avoid any action, whether or not specifically prohibited, which might result in, or reasonably be expected to create the appearance of, using public office for private gain, giving preferential treatment to any person or entity, impeding government efficiency, making a government decision outside official channels, or adversely affecting the confidence of the public in the integrity of the government. Acceptance by Navy personnel of any gift, entertainment, hospitality, or any intangible benefit such as a discount, may be a source of embarrassment to the Navy and to the personnel involved. Prohibited and apparent conflicts of interest can

sometimes arise even from relationships and transactions perceived as inconsequential. Where

there is doubt as to the propriety of accepting such benefits, personnel should refrain therefrom

or refer the matter to their superior in the chain of command. Navy personnel must at all times avoid acquiring or retaining financial interests which would disqualify them from

performing their assigned duties. Such conflicts may arise not only with business entities with which Navy personnel have a relationship, but also with those in which members of their families or household members have a financial interest. Navy personnel shall not use, directly or indirectly, inside information to obtain a private gain for themselves or others if that information is not generally available to the public and was obtained by reason of their official positions. Navy personnel are prohibited from using their official positions to induce, coerce, or in any manner unlawfully influence, any person, including subordinates, to provide any benefit, financial or otherwise, to themselves or others. Reservists may not be assigned to AT/ADT in which they could obtain information that could be used by them or their private-sector employers to gain unfair advantage over civilian competitors. When accommodations, subsistence, or services in kind are furnished to reservists by non-government sources, appropriate deductions shall be reported and made in the travel, per diem, or other allowances payable. Navy personnel shall not solicit a contribution from other Department of Defense personnel for a gift to an official superior, make a donation or a gift to an official superior, or accept a gift from other Department of Defense personnel subordinate to themselves. This prohibition, however, does not prevent voluntary gifts or contributions of nominal value on special occasions such as marriage, illness, transfer, or retirement provided that any gifts acquired with such contributions shall not exceed a reasonable value. Navy personnel shall not, directly or indirectly, use, take, dispose of, or allow the use, taking, or disposing of government property or facilities of any kind for other than officially approved purposes. Use by Navy personnel of their military titles in connection with commercial enterprises which might cast discredit on the Navy or might give the appearance of sponsorship, sanction, endorsement, or approval by the Navy is prohibited. While on duty, Navy personnel shall not participate in any gambling activity except in connection with activities which have been specifically approved by the Secretary of the Navy.

3. Fraud, Waste and Abuse Hotlines (SECNAVINST 5430.92A; SECNAVINST 5370.SA; OPNAVINST 5041.1; COMNAVRESFORINST 5200.4C). Navy personnel must take positive action to prevent the misuse of government resources not only by themselves but also by others. The Department of the Navy is totally committed to eliminating, by vigorous action, fraud and mismanagement in all its programs and operations whenever they occur. The DOD, Navy, and Naval Reserve Hotline programs represent a significant corrective mechanism to be used in this vital effort and complement other procedures to combat fraud, waste, and related improprieties. The Naval Inspector General serves as the Department of the Navy coordinator for Hotline matters under these programs. Substantive information received via a Hotline call shall normally be examined within the established chain of command structure but such information must be examined by officials outside and independent of the operation in which the complaint allegedly occurred. When the complaint involves a discrete unit of a command and there 4-s no 4 Indication that the commanding officer or key management officials were aware of or in some manner directly responsible for the matter at issue, referral of the complaint to the command concerned for examination would not necessarily be foreclosed. In most instances, examination of Hotline information should be informal in nature. Working papers and files resulting from an inquiry into a Hotline complaint shall be retained in the originating activity for two years after

completion. An information source's identity under the Hotline program is held confidential on request. All Navy personnel are Encouraged to report acts of fraud, waste, abuse, and related improprieties by either writing or calling the Hotline of the. Department of Defense, the Navy or Naval Reserve Force. Telephone numbers and addresses are as follows:

DOD Navy COMNAVRESFOR

Toll Free

1-800-522-3451 1-800-522-3451

Autovon

288-6743/6842 288-6743/6842 363-1324

Commercial

202-433-6743 202-433-6743/6842 504-948-1324

Write:

NAVINSGEN COMNAVRESFOR

Attn: Navy Hotline Inspector General

Building 200 Code 002

Washington Navy Yard 4400 Dauphine St.

Washington, DC New Orleans, LA

20374-2001 70146-5000

Additionally, NRIP personnel can individually combat fraud, waste and related improprieties by ensuring travel claims for AT/ADT expenses reflect actual and lawful expenditures and that government equipment and property are properly maintained at drill sites. False reporting or misuse of facilities may result in disciplinary action.

4. Sexual Harassment (COMNAVRESINTCOMINST 5350.lB). Navy personnel shall never make sexual- advances, requests for sexual favors, or carry out other verbal or physical conduct of a sexual nature when submission to such conduct is, either explicitly or implicitly, made a term or condition of an individuals job, pay or career or when such conduct has the purpose or effect of interfering with an individual's performance or creating an intimidating, hostile, or offensive environment. Sexual harassment, in any form, will not be condoned or tolerated and

will be dealt with in a swift, fair, and effective manner.

5. Equal Opportunity (OPNAVINST 5354.lC; COMNAVRESINTCOMINST 5354.lB). Equal opportunity is an inseparable part of sound leadership. At all levels of command this equates to better prepared personnel and operational readiness. Discrimination in any form, whether because of race, creed, color, age, sex or national origin, that results in denial of equal opportunity to any individual will not be tolerated. Any discrimination is cause for disciplinary action. Continued disregard of regulations may result in dismissal or discharge from the Navy. Reports of discrimination may be made in accordance with the procedures listed in OPNAVINST 5354.lC.

6. Privacy and Freedom of Information Acts (SECNAVINST 5720.42D; COMNAVRESFORINST 5210.lC). Generally, basic biographic data may be furnished to the public from records maintained where the information is retrieved by some method of identifying a particular individual. Thus, without following the procedures under the Acts, information may be supplied with respect to name, rank, gross salary, duty assignments, duty telephone numbers and education. This does not mean that such information should be broadcast indiscriminately. Information of this type may not be made available for any commercial use. In particular, personnel rosters may not be furnished or utilized for any business purpose. Information regarding personnel assigned to intelligence duties should be kept within channels to the extent practicable. It should be noted, however, that incoming inquiries may specifically request information under the Acts in which event the procedures set forth under those Acts and the implementing regulations must be followed. Any such inquiry must be immediately date stamped and given priority in handling. Any such inquiry should be immediately called to the attention of the appropriate action officer and every effort should be made to provide a response within 10 working days. Only COMNAVRESFOR may formally deny such a request. Proposed denials to requests for information should be forwarded immediately to COMNAVRESFOR (Code 01A). Requests for information about these procedures should be referred to one of the following telephone numbers: AUTOVON 3635036; FTS 686-5036; or commercial 504-948-5036. In the event of inquiries or questions regarding the Acts, reference may be made to COMNAVRESFORINST 5210.lC and to the Commander, Naval Reserve Force Desk Guide regarding the Acts.

7. Information Security (OPNAVINST 5510.lH; COMNAVRESINTCOMINST 5510.2C). (The latter instruction requires an annual security refresher brief. The information below may be used as part of either that brief or this annual guides to conduct brief; do not include in both.)

a. Certain information, essential to the national security, requires protection from disclosure to unauthorized persons.

b. Classified material is marked to show the level of classification.

c. Only those who have been granted security clearances may have access to classified information. The clearance must relate to the degree of sensitivity of the classified information.

d. Classified material must be stored in appropriate containers and areas to ensure its security. In addition, access to such information must be controlled when it is not placed in secure containers. Finally, classified material may be disposed of only in specified ways. Failure to ensure complete destruction can nullify an otherwise effective security program.

e. Any breach of security must be reported promptly. However embarrassing, the consequences to the national welfare of security leaks are such that the reporting requirement must be observed.

f. It is required that cleared personnel report back to the command: (1) contacts with ANY individual, regardless of nationality, in which unauthorized access to classified or sensitive information is sought; or (2) any incident which causes the members to feel they are being targeted for exploitation. Such incidents might include: cultivating a friendship in order to place the member under an obligation which might lead him/her to provide classified information, i.e. blackmail; threats against relatives; appeals for assistance which have a racist, nationalistic, or ideological basis; exploiting those who may be disaffected or experiencing personal difficulties.

g. The above are general principles of information security. The responsibilities of NRIP personnel usually require a more detailed knowledge of the control of classified information generally and the specific procedures in effect locally. Hence, all NRIP units must have an ongoing information security education program of which this briefing is only one part.

Questions with regard to the application of these general principles to the work of Reserve Intelligence personnel or activities of NRIP units should be discussed with your security manager or commanding officer.

8. Automated Data Processing Security (OPNAVINST 5239.lA). The Department of the Navy Automated Data Processing Security Program provides policy and guidance for a graduated program of ADP security which is responsive to the security requirements of the Navy's ADP systems and networks and which is commensurate with the sensitivity of the data to be protected and its mission criticality. The program provides, as well, for operational reliability and asset integrity. Finally, it provides guidance and generalized procedures to ensure that all data handled is adequately protected against accidental or intentional destruction, modification and disclosure, and that users are protected against denial of service which may result from fraud, misuse, sabotage, malicious acts or natural hazards or those caused by human intervention. An ADP Security Program must safeguard not only classified material but also Privacy Act data, sensitive financial information, and "For Official Use Only" data and, indeed, all data of concern to Reserve Intelligence. ADP resources available to the NRIP are limited. As a consequence, and in order to improve efficiency, individual NRIP members have utilized their own personal computers, principally for word processing applications. Commanding officers of units and RIACs shall ensure that, in accordance with OPNAVINST S239.lA, appropriate security procedures are applied not only to the NRIP ADP resources but also to those which are privately owned.

9. Physical Security and Reporting of Missing, Lost, Stolen or Recovered Government Property (OPNAVINST 5530.14B; SECNAVINST 5500.4F).

a. The scope of physical security and loss prevention programs lies in the following definitions:

(1) Physical Security - that portion of the security program concerned with means and measures designed to achieve anti-terrorist readiness, safeguard personnel, and protect property by preventing, detecting, and confronting acts of unauthorized access, terrorism, espionage, sabotage, wrongful destruction, malicious damage, theft, pilferage, and other acts which would

reduce to some degree the capability of the NRIP and of the local host activity to perform its mission.

(2) Loss Prevention - that portion of the security program concerned with preventing loss of supplies, tools, equipment or other materials. Concern is not only focused on problems external to the organization, it is also specifically directed toward internal causes such as theft and pilferage by those who have authorized access.

(3) Property - consists of: all assets including facilities, real property, funds and negotiable instruments; arms ammunition and explosives; tools and equipment; material and supplies; and information in the form of documents and other media.

b. The primary responsibility for the security of equipment during normal working hours

lies with the individual user. Highly pilferable items should not be left out in unattended

offices. Equipment should be placed in storage or file cabinets or desk drawers when the office is unoccupied or unlocked. If equipment cannot be stored securely, office doors must be locked. Each commanding officer shall designate a security representative who is responsible for checking all assigned office spaces to ensure pilferable materials are locked in desks or cabinets and that lights, office machines and equipment, appliances, doors, windows, safes, and vaults are secured at the end of the work day. Any government-owned equipment found to be missing should be immediately brought to the attention of the host activity or drill site security officer who will ensure proper reporting in accordance with SECNAVINST 5500.4F.

c. Navy personnel shall report all incidents of missing, lost, stolen, or recovered government property including recovered property of other commands. Incidents of theft shall be reported to the nearest Naval Security and Investigative Command field component. Three categories of property are subject to the reporting requirements. The first includes all serialized or un-serialized firearms, weapons, ammunition, explosives and other destructive devices. The second category of reportable items includes all serialized government property with a value of $100 or more and all un-serialized government property with a value of $500 or more. The third category includes "sensitive items" defined as material which requires a high degree of protection and control such as precious metals, other valuable articles, highly technical devices, or classified material.

10. Substance Abuse, Prevention and Control (OPNAVINST 5350.4B) Drug and alcohol abuse undermines the very fiber of combat readiness, health, safety, discipline, judgment and loyalty. "Zero tolerance" recognizes that drug and alcohol abuse is incompatible with the maintenance of high standards of performance, military discipline and readiness, and is destructive of the Navy's efforts to instill pride, promote professionalism and enhance personal excellence. The major element underlying the Navy's approach to its recognized drug and alcohol abuse problem is enhanced detection and deterrence at all levels. This approach emphasizes the firm, constructive use of discipline, the rehabilitation of members who are responsive, and the expeditious processing for separation of those abusing members clearly possessing little or no potential for future service. The abuse of alcohol and drugs by Navy personnel can seriously damage physical and mental health, may jeopardize their safety and the safety of others, and can lead to criminal prosecution and discharge under less than honorable conditions. Because of their nature and because of the importance of the problem, drug and alcohol abuse cases must receive prompt evaluation and disposition. Rehabilitation is reserved for those whose drug and alcohol abuse problems are judged amenable to treatment, those whose drug abuse problem is identified as nondependent, and those who show potential for further useful service.

11. Tobacco Prevention (SECNAVINST 5100.13A). The Surgeon General of the United States has determined that the smoking of tobacco is a hazard to health. COMNAVRESINTCOM recognizes the right of individuals working or visiting NRIP spaces to an environment reasonably free of contaminants. The smoking of tobacco products within NRIP controlled spaces shall be controlled in accordance with the guidelines established in SECNAVINST 5100.13A. In general, smoking in government buildings shall be prohibited. Emphasis should be placed on educational programs to discourage smoking and should focus on high risk personnel. Programs should include lectures, films, pamphlets and posters and should be updated regularly to utilize the latest available medical research information on smoking and health.

12. Physical Readiness (OPNAVINST 6110.lD). All NRIP personnel (less civilians) shall participate in the Navy's Physical Readiness Program. Each unit shall appoint a command fitness coordinator who shall oversee the program and ensure that all medical guidelines are followed prior to conducting annual testing. In addition, the command fitness coordinator shall also

maintain a record of the results of the annual test and other pertinent data as required. Each commanding officer shall enter the most recent PRT performance in the Fitness Report/Evaluation of the member and ensure that those personnel that do not meet the established fitness criteria are placed in a rehabilitation program according to the applicable administrative procedures.

13. Disclosure of Unclassified Technical-Data (OPNAVINST 5510.161). Unclassified technical data shall be processed in accordance with OPNAVINST 5510.lH, and requests for this data shall be handled according to SECNAVINST 5720.42C. This data is handled in essentially the same manner as data requested under the Freedom of Information Act and should be protected from requests that are not in accordance with that Act. Navy personnel who have access to unclassified technical data are responsible for safeguarding and controlling it.