Formal Process/Uniform Code of Military Justice

When a formal disciplinary process needs to be initiated for conduct in uniform or for prohibited off-duty conduct, the Auxiliary's process is based on the Uniform Code of Military Justice: the same rules used by the military and uniformed service branches. Missouri's version of the UCMJ is defined by Missouri Revised Statutes Chapter 40 (RsMO 40), "Military Justice", and is required for the Missouri National Guard (when not in Federal service) and Missouri State Guard. As we are required in our organization documents to be designed to operate within a State Guard structure when necessary, following Chapter 40 in our own operation makes our system compatible with the state process and prevents us from having to reinvent the wheel.

Because the UCMJ--- and even Missouri's simplified version--- is large, complex, and covers situations which we will in all likelihood never be faced with, we will define our own processes and exceptions to the UCMJ as we go, documenting them in our Volunteer Handbook, in our SOPs/SOGs, and in formal statements from previous cases. When there is a Sheriff's Office or Auxiliary policy on a matter, we follow it first, then go to Chapter 40 for matters where we do not have a defined process. This is the same way, for instance, that Robert's Rules of Order is used by organizations: our rules first, then fall back on Robert's Rules.

When a formal disciplinary matter occurs, there are some immediate responsibilities to handle as quickly as possible:

  • Act to preserve any evidence which will bear on the matter (e.g. witnesses, documents, reports, electronic records) which may otherwise be lost or destroyed.
  • Obtain a formal statement of the complaint from whoever is initiating it ("complainant" or "initiating party").
  • Notify the defendant that a complaint has been initiated and advise them of their rights (see Article 31B Rights).
  • Notify your immediate superior.
  • Notify appropriate staff of a formal proceeding (Senior NCO for enlisted, Executive Officer for officers) or their superiors if they are the target of the complaint. They will determine if and when the matter needs to go further up the chain to the Commander or Sheriff's Office.

Commander's Mast

In the middle of a deployment or emergency, this initial process can be handled by a Commander's Mast. A Commander's Mast is an official meeting during a deployment conducted by the Commander (Acting Commander, or the Sheriff) where certain formal matters can be heard. This process is based on the traditional Navy "Captain's Mast" but is more or less our own process. Matters which may be heard by a Mast include:

  • Issuing promotions or awards
  • "Battlefield" enlistment or temporary ("brevet") promotions which need to be approved later.
  • Handle disciplinary matters which may be resolved within the chain-of-command (no court martial necessary); Often referred to as "Article 15" proceedings, and described later in this course, these are limited to minor matters and only limited punishments.
  • Review (or initiate the review of) a field decision to relieve a specialist such as a medical, safety, or range officer of their post and replace them (always requires a hearing).
  • Initiate a formal investigation
  • Determine temporary actions which need to be taken until the matter is resolved, e.g. if the volunteer must be suspended from duty, removed from the site/facility, or (in very serious matters, such as assault) temporarily confined. In the latter case, confinement will almost always be for hand-off to Sheriff's Office or other civil authority as they will be beyond our jurisdiction
  • A vote by existing officers to recommend a new officer to the Sheriff for commission

The Commander may call witnesses to speak to a matter before the Mast. If the matter is too serious to be handled in the chain-of-command (it requires a court martial or must be handled by the Sheriff's Office), the evidence gathered shall be documented and made part of the record, it may be used to decide whether or not to proceed on an offense, but may not be used to render a final judgement. In the Auxiliary, a hearing at a Commander's Mast may be used to satisfy the requirements of pretrial investigation under RsMO 40.114. The accused and complainant shall also be allowed to call witnesses at a Mast, subject to the requirements of the Service. If the witnesses cannot be called during the Mast (e.g. unavailable or on duty), their statements shall be taken as soon as is practical after the Mast is concluded.

A Mast may not dismiss a volunteer from service. The volunteer may be temporarily suspended pending later review.

Principles of Disciplinary Process

Throughout the disciplinary process, there are some principles which must be preserved. The accused may:

  • Hear and view the accusation(s) in full along with supporting evidence
  • Present evidence and, if appropriate, witnesses in the volunteer's defense
  • Ask questions or request an advocate to advise the volunteer on the disciplinary process and to act on the volunteer's behalf in any proceedings
  • Exercise their Article 31b rights (e.g. Right To Remain Silent, RsMO 40.112).
  • Subject to the requirements of the Service, of chain of command, and of the disciplinary process, protect the confidentiality of the matter until and unless a formal statement is entered into the volunteer's personnel record or other formal action is enacted.

Article 31B Rights (RsMO 40.112)

From http://www.carson.army.mil/LEGAL/tds/article31-rights.html :

  • Article 31 Rights include the general nature of the suspected offense. Legal specifications are not necessary, lay terms are okay. You must be specific enough so that the suspect understands what offense you are questioning him/her about (RsMO 40.108).
  • The suspect's right to remain silent (RsMO 40.112).
  • The consequences of making a statement.
  • Although it is not necessary that the advisement be verbatim, it is best to read the rights directly from a rights advisement card or as directed/available in your branch of service.

Even though Article 31 does not include a right to counsel (that comes from the Constitution) it is listed on the rights advisement card & must be included when reading a suspect his/her rights (RsMO 40.114).

I am __________, (first sergeant of the) _________, _________ (military installation). I am investigating the alleged offense(s) of ___________, of which you are suspected. Before proceeding with this investigation, I want to advise you of your rights under Article 31 of the Uniform Code of Military Justice. You have the right to remain silent, that is, to say nothing at all. Any statement you do make, either oral or written, may be used against you in a trial by court-martial or in other judicial, nonjudicial or administrative proceedings. You have the right to consult with a lawyer prior to any questioning and to have a lawyer present during this interview. You have the right to military counsel free of charge. In addition to military counsel, you are entitled to civilian counsel of your own choosing at your own expense. You may request a lawyer at any time during this interview. Have you previously requested counsel after advisement of rights? (If the answer is yes, stop. Consult your JAG Office before proceeding).

If you decide to answer questions during this interview, you may stop the questioning at any time. Do you understand your rights? Do you want a lawyer? (If the answer is yes, cease all questioning). Have you already consulted an attorney about this matter? (If the answer is yes, stop questioning). Are you willing to answer questions? Do you understand that your are free to end this interview at any time?

Next Steps

The initial communication should outline the complaint, advise the suspect of their rights, outline the process which will be followed, and tell them what the next steps shall be (e.g.):

This communication DOES NOT CONSTITUTE a formal statement of charges. The next steps shall require the Commander, upon consultation with relevant authority, to determine whether these matters rise to a level requiring formal discipline, what charges, if any, shall be proffered, and what level of formal process is appropriate to resolving the matter in the best interests of the Service. The Commanding Officer has the authority to suspend the volunteer from service pending formal proceedings (or for up to two weeks) and is taking that authority under advisement.

In the background, the officer should start the process of gathering information about the complaint and building a record. Remember at this point that the suspect's confidentiality should be preserved where possible. The possibility of Undue Influence (RsMO 40.126) shall specifically be avoided:

Undue Influence: any statement made by a superior officer which might prejudice their subordinates against the accused. In other words, if the Commander says to the Chief of Staff, "He's guilty and he needs to be punished for it," that is undue influence.

Types of Proceeding

Next, a meeting must be conducted to determine what level of discipline to pursue.

Non-Judicial Punishment

Limited to:

  • confinement on diminished rations,
  • restriction to certain specified limits,
  • arrest in quarters,
  • correctional custody,
  • extra duties,
  • forfeiture of pay (not applicable),
  • detention of pay and reduction in grade
  • .

The extent of these punishments depends on the grade of the officer imposing punishment and the grade of the accused. As a volunteer group, the volunteer can always walk away. Imposition of punishment (e.g. extra duty, extra training) has to be voluntary and based on the alternative of being dismissed from service.

Prior to the imposition of nonjudicial punishment, an accused is entitled to notification:

  • that the imposition of nonjudicial punishment is being considered;
  • a description of the alleged offenses;
  • a summary of the evidence upon which the allegations are based;
  • notification that the accused has the right to refuse the imposition of punishment;
  • and any rights the accused has if NJP is accepted.

Court Martial

For more serious offenses, or if the accused refuses Non-Judicial Punishment, the matter must go to a court-martial.

Summary Court Martial (RsMO 40.065)

  • simplified procedure
  • minor incidents of misconduct
  • conducted by one officer
  • limited punishment (fine of not more than $25, reduction to next lower grade, costs)
  • accused must consent to Summary Court Martial

Special Court Martial (RsMO 40.060)

  • enlisted accused only
  • military judge, trial counsel (prosecutor), defense counsel
  • minimum of three officers as a jury
  • enlisted accused may request jury composed of >= one-half enlisted personnel (Missouri differs from UCMJ)
  • accused may request trial by judge alone (no jury)
  • sentence limited to fine of no more than $100, reprimand, reduction of non-commissioned officer to any lower grade, bad-conduct discharge, any combination of above, costs

General Court Martial (RsMO 40.055)

  • military judge, trial counsel, defense counsel
  • minimum of five officers as jury
  • enlisted accused may request jury composed of >= one-half enlisted personnel (Missouri differs from UCMJ)
  • an officer or enlisted accused may also request trial by judge alone
  • maximum penalty may include fine of up to $200; reprimand; dismissal; dishonorable or bad conduct discharge; reduction of a non-commissioned officer to any lower enlisted grade, any combination of above, costs
  • pretrial investigation under RsMO 40.114 (Article 32, UCMJ), must be conducted, unless waved by accused