Leadership

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Sergeants Distance

Education Program

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MCI Course 8012A i Course Introduction

LEADERSHIP (8012A)

Course Introduction

Scope An outstanding Marine NCO must be able to train and advise Marines on a vast variety of subjects. Marine NCOs must be technically and tactically proficient in many areas to accomplish this responsibility.

This course covers many subjects that will enhance your ability to assist junior Marines in their quest to be better Marine leaders. This course is merely a starting point for what a Marine NCO needs to know to lead Marines. One key to leadership is knowledge. You must be able to answer junior Marines’ questions, show them how to verify those answers, and train them to become knowledgeable leaders.

Table of

Contents The following is the table of contents for this course.

Study Unit Title Page

-- Course Introduction i

1 Introduction to Leadership 1-1

2 Maintaining Personal Readiness 2-1

3 Advising Marines on Financial Planning 3-1

4 Proficiency and Conduct Marks 4-1

5 Performance Evaluation System (PES) 5-1

6 Instruction Techniques 6-1

7 Oral Communication 7-1

8 Managing an MCI Training Program 8-1

-- Review Lesson Exercise R-1

Estimated

Study Time You will spend about 12 hours 5 minutes completing this course. This _{includes the time you will need to study the text, complete the exercises, and} take the final exam.

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MCI Course 8012A ii Course Introduction

Course Introduction,

Continued Reserve

Retirement Credits

You earn four retirement credits for completing this course. You earn reserve retirement credits at the rate of one credit for each 3 hours of estimated study time.

Note: Reserve retirement credits are not awarded for the MCI study you do during drill periods if awarded credits for drill attendance.

Summary The table below summarizes all-important “gateways” needed to successfully complete this course.

Step When you Then you will For more information

1 Enroll in the program Receive your program

material Refer to the Program Introduction 2 Complete the self-paced

text Arrange to take the final examination Refer to the Program Introduction 3 Pass the final

examination

Receive a course completion certificate

Refer to the Program Introduction

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MCI Course 8012A iii Course Introduction

Course Introduction,

Continued List of

Reference References used in the development of MCI 8012A, Leadership were taken _{from the following:}

· Estes, Kenneth W. LtCol USMC (Ret), Handbook for Marine NCO's, 4th

ed. Annapolis, Maryland: Naval Institute, 1996. · FM 22-100, Military Leadership

· FM 22-101, Leadership Counseling · MCO P1070.12K with change 1 · MCO P1070.12, IRAM

· MCO P1080.40, MCTFSPRIM · MCO P5000.14, MCAP

· MCO P5512.11

· MCO P7220.45 (Bond and allotment manual) · MCO P1751.3 (BAH)

· MCO 1740.13A · MCO P5512.11B · AFR 36-3026

· MCO P5800.8, Marine Corps Manual for Legal Administration · SAT users guide

· MCO 1553.2

· Financial Planner for the Marine Corps Community Services (MCCS) · MCO P1610.7E, PES Manual

· MCI Online: www.mci.usmc.mil

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MCI Course 8012A iv Course Introduction (This page intentionally left blank.)

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MCI Course 8012A 1-1 Study Unit 1

STUDY UNIT 1

INTRODUCTION TO LEADERSHIP

Overview

Estimated

Study Time 50 minutes

Scope Leadership in war is an art, a free, creative activity based on a foundation of knowledge. The greatest demands are made on the personality.

German Field Service Regulations of 1933 Leadership is the art of getting things done through people.

General A.M. Gray

29th_{Commandant of the Marine Corps}

Leadership is the defining quality of a Marine Noncommissioned Officer (NCO) or officer. It is the ability to inspire and motivate a group of Marines to accomplish a mission.

Learning

Objectives After completing this study unit, you should be able to · Define leadership.

· Identify the objective of military leadership. · Identify responsibilities and types of leadership. · Identify the areas of NCO responsibility.

· Identify the three key elements of professional relationships.

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Overview,

Continued In This Study

Unit This study unit contains the following lessons.

Topic See Page

Lesson 1 Leadership in General 1-3

Lesson 2 Military Leadership 1-9

Lesson 3 Marine NCO Leadership 1-19

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MCI Course 8012A 1-3 Study Unit 1, Lesson 1

LESSON 1

LEADERSHIP IN GENERAL

Introduction

Estimated

Scope Why is leadership so important? The answer to this question is simple. Without leadership, nothing requiring teamwork can be accomplished. Before you can talk effectively about leadership, you must know what leadership means. The definition that combines all these ideas is simply that leadership is the sum of such qualities as intellect, human understanding, and moral character that enables a person to inspire and guide a group of people successfully.

Learning

Objectives After completing this lesson, you should be able to · Define leadership.

· Identify the three essential elements required for leadership.

· Identify what a leader does to help an organization accomplish its goals.

In This Lesson This lesson contains the following topics.

Topic See Page

Leadership Elements 1-4

Accomplishing Goals 1-5

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Leadership Elements

Purpose Leadership is not exclusive to the military. Leadership is necessary whenever two or more people get together to perform a common task. The leader’s primary purpose is to be sure the job is done, or, in the words of the military, that the mission is accomplished.

Three Elements The three essential elements for leadership are the · Leader

· Group being led · Situation (mission)

The Leader The leader is the first essential element. That would be you.

The Group The second element is the group or the people led. Obviously, without this element, leadership would not be needed since there would be no one to lead.

The Situation The third and final element is the situation. Of the three elements, the third is never the same. The situation depends on what the mission of the

organization is and the time available to accomplish the desired goal. Thus, each situation is unique.

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Accomplishing Goals

Leader’s Role All organizations need good leaders to achieve their desired goals. Leaders · Organize jobs and workers

· Coordinate the tasks to achieve the desired results in a systematic and logical manner

· Supervise the workers so the tasks are accomplished correctly and in a timely manner

Note: When all three elements of leadership are united and the leader exercises effective leadership of the group, the mission is accomplished.

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MCI Course 8012A 1-6 Study Unit 1, Lesson 1 Exercise

Lesson 1 Exercise

Estimated

Directions Complete the following items. Check your answers against those listed at the end of this lesson. If you have any questions, refer to the reference page listed for each item.

Item 1 The sum of such qualities as intellect, human understanding, and moral character that enables a person to inspire and guide a group of people successfully.

This statement best describes the a. definition of leadership. b. leadership principles. c. leadership traits.

d. characteristics of leadership.

Item 2 Which of the following lists the three essential elements of leadership? a. Regulations, leader, and group

b. Leader, group, and situation c. Group, situation, and regulations d. Situation, regulations, and leader

Item 3 Which element of leadership changes constantly? a. Leader

b. Group c. Situation d. Regulations

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Lesson 1 Exercise,

Continued

Item 4 Read the list of things a leader may do, then answer the question. 1. Socialize with workers to learn more about them.

2. Organize the workers and their jobs. 3. Supervise the workers.

4. Follow management directions, but do no more. 5. Coordinate the tasks to achieve results.

Which items are things a leader does to help an organization accomplish its goals? a. 1, 3, 5 b. 1, 2, 4 c. 2, 3, 5 d. 3, 4, 5

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Lesson 1 Exercise Solutions

Answers The table below provides the correct answers to the exercise items. If you have any questions, refer to the reference page listed for each item.

Item Number Answer Reference Page

1 a 1-3

2 b 1-4

3 c 1-4

4 c 1-5

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LESSON 2

MILITARY LEADERSHIP

Introduction

Estimated

Scope This lesson will cover military leadership and why it is important.

Learning

Objectives After completing this lesson, you should be able to · Identify the objective of military leadership.

· Identify three reasons why military leadership is essential. · Identify two general responsibilities of leadership.

· Identify the two types of leadership styles.

· Give examples of why the individual Marine seeks leadership.

Topic See Page

General Characteristics 1-10

Leadership Styles 1-12

Seeking Leadership 1-13

Lesson 2 Exercise 1-15

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General Characteristics

Goal The United States military mission is to keep our country free; therefore, strong military leadership is essential. The objective or goal of military leadership is the creation and maintenance of an organization that will loyally and willingly accomplish any task, assigned or indicated, and will initiate suitable action in the absence of orders.

Three Reasons Why

Leadership is Essential

With our country’s freedom depending on us as Marines, we must ensure that we are always capable of protecting our country. A military unit is only as effective as its leaders. Listed below are three reasons why military leadership is essential:

· Coordinate people and activities within a unit, getting the right

people to do the right job. Without such coordination, capable people

will not be assigned the right tasks, and the unit will be in a state of confusion.

· Hold military units together. A military unit is made up of people organized to accomplish a mission that requires the successful completion of a series of tasks. When a unit is deployed, a set number of tasks must be assigned and completed. The unit must be inspected to ensure

readiness, training schedules are prepared, and logistics plans are initiated. Because it would be difficult for one leader to do all of these things, unit leaders are needed. In the Marine Corps, these unit leaders form a chain of command from the Commandant down to the smallest unit.

· Ensure the unit’s success. The unit achieves success through

demonstration, motivation, and hard work. A leader’s failure to ensure that subordinates accomplish their assigned task leads to the failure of the unit to accomplish its mission and thus the failure of the military service in carrying out the larger mission. And if the military service fails, our country and way of life are in danger.

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General Characteristics,

Continued

Responsibilities Leadership implies responsibility. Within the military structure, the two general areas of responsibility for every leader in every situation are · Mission accomplishment. Accomplishment of the mission is the first

priority of leadership.

· Troop welfare. Although mission accomplishment comes first, your responsibility to your Marines should never be overlooked.

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Leadership Styles

Two Extremes The two extremes in leadership styles are · Authoritarian (autocratic)

· Persuasive (democratic)

Each leader is free to choose a style of leadership. The choice of leadership style is influenced by the situation, the subordinates, and the leader’s personality.

Authoritarian The authoritarian leader leads by personal control. The authoritarian style leader

· Lets subordinates know he is in charge

· Develops subordinates into a team but remains outside the team membership

· Tells subordinates what to do and how to do it · Makes all decisions without asking for suggestions

As displayed in front of subordinates, the authoritarian must be perfect or the subordinates will lose respect for the leader.

Persuasive The persuasive leader uses personality to lead and influence subordinates. A leader using the persuasive style

· Doesn’t emphasize that he is in charge

· Develops subordinates into a team of which the leader is a member · Asks subordinates to do their jobs

· Makes the decision but asks for, listens to, and sometimes takes subordinates’ advice

The persuasive leader must be alert so subordinates won’t play on friendships to get out of doing their work.

The Mix The two styles of leadership mentioned above are the extremes. Each style has its bad and good points. Very few Marine leaders are strictly

authoritarian or persuasive. Most of them fall somewhere between the two styles, taking bits and pieces from each. The individual leader, the

subordinates, and the situation determine the pieces used from each style.

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Seeking Leadership

Why Every Marine from private to general needs leadership. Whether Marines are aware of it or not, they seek leadership for tangible and intangible reasons.

Tangible

Reasons Tangible reasons are measurable. Marines seek leadership for the following _{tangible reasons:} · Training and instruction. Every Marine has an MOS and must be

trained in that MOS. When Marines cannot understand the training and ask questions, they expect their leaders to supply the answers.

· Obtaining physical necessities. The infantryman in the field, for example, seeks the advice of one of his NCOs when directed to pitch shelter halves. If the Marine pitches the shelter half in the wrong area, physical comfort may suffer. Pitching the shelter half in the ditch during a rainy season could lead to a wet and uncomfortable night!

· Fulfilling the need for incentives and challenges. People join the Marine Corps for many reasons, such as the desire to do something different and challenging. Individual effort in the Marine Corps is recognized and rewarded. Promotions, meritorious masts, and letters of appreciation are just a few ways the individual Marine can achieve tangible recognition for a job well done.

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Seeking Leadership,

Continued

Intangible

Reasons Marines seek leadership for the following intangible reasons:

· Adventure. Many civilians join the Marine Corps for adventure and available travel.

· Security. The Marine Corps is second to none in job security. The military is never unemployed!

· Membership. Because Marines are trained as a team, every Marine is a member of some type of team.

· Recognition. Marines complete assigned tasks and wait for the

supervising NCO to check the work. In the same way, Marines volunteer to be drill instructors or recruiters. These Marines want to get ahead and achieve personal goals by taking challenging duty assignments. They seek help and advice from their leaders to achieve these goals.

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Lesson 2 Exercise

Estimated

Item 1 Which statement best describes the objective of military leadership? a. The sum of such qualities as intellect, human understanding, and moral

character that enables an individual to effectively guide a group to achieve desired goals

b. The creation and maintenance of an organization that will loyally and willingly accomplish any reasonable task, assigned or indicated, and will initiate suitable action in the absence of orders

c. The sum of such qualities as human understanding, moral character, and loyalty that enables an individual to effectively influence a group to achieve desired goals

d. The loyalty of an organization that will accomplish any reasonable task, assigned or indicated, and will initiate suitable action in the absence of orders

Item 2 Which of the following lists the reasons why military leadership is essential? a. Mission accomplishment and troop welfare

b. Recognition, security, and adventure c. Coordination, cohesion, and success

d. Training, instruction, and physical necessities

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Lesson 2 Exercise,

Continued

Item 3 The two general responsibilities of a military leader are a. authoritarian and persuasion.

b. mission accomplishment and troop welfare. c. coordination and unit success.

d. unit success and troop welfare.

Item 4 The authoritarian leader leads by a. example.

b. experience. c. personality. d. personal control.

Item 5 The persuasive leader leads by a. rules and regulations. b. personality.

c. strict measures. d. experience.

Item 6 Most Marines lead by

a. authoritarian style. b. persuasive style.

c. a combination of authoritarian and persuasive style. d. example and experience.

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Lesson 2 Exercise,

Continued

Item 7 Tangible reasons for leadership include

a. training and instruction, physical necessities, and incentives. b. adventure, training, and instruction.

c. incentives, challenges, and recognition. d. the need to belong and desire for security.

Item 8 Intangible reasons for leadership include

a. training, instruction, and physical necessities. b. adventure, training, and instruction.

c. incentives, challenges, and recognition. d. membership and security.

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Lesson 2 Exercise Solutions

1 b 1-10 2 c 1-10 3 b 1-11 4 d 1-12 5 b 1-12 6 c 1-12 7 a 1-13 8 d 1-14

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LESSON 3

MARINE NCO LEADERSHIP

Introduction

Estimated

Scope This lesson will cover the chain of command and the purpose and responsibilities of the NCO within the chain of command.

Learning

Objectives After completing this lesson, you should be able to · Identify the two purposes of the chain of command.

· Identify three purposes of the Marine NCO in the chain of command. · Identify the four areas of NCO responsibility.

· Cite a specific example of the four areas of responsibility.

· Identify how to maintain relationships with seniors and subordinates. · Identify the three key elements of professional relationships.

In This Lesson This lesson covers the following topics.

Topic See Page

Chain of Command 1-20

Marine NCO in the Chain of Command 1-21

Marine NCO Responsibilities 1-22

Professional Relationships 1-24

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Chain of Command

Purpose The chain of command is the system the Marine Corps uses to ensure each Marine receives instructions for a particular task from only one supervisor. Each immediate supervisor in turn receives instructions from his or her immediate supervisor; this process continues up to the Commandant of the Marine Corps. In this way, each supervisor is a link in the chain of command from the Commandant to each Marine. This chain serves two purposes: · To decentralize authority

· To link the different levels of authority

Decentralize

Authority Since it is impossible for one person to assign duties to every Marine or to _{supervise every task personally, assignments are passed down through the} levels of command. This is called decentralization of authority.

For example, the mess officer tells the chief cook what foods to prepare for a meal. The chief cook then tells the section cook, who in turn tells the other cooks. Whenever duties are assigned to a subordinate, that subordinate is held responsible for accomplishing the assigned task, but the overall

responsibility for its success remains with the Marine originating the order.

Link Between Different Levels of Authority

Another purpose of the chain of command is to link the different levels of command. In this way, the infantry private can talk to his battalion

commander. The private goes to his fire team leader with a problem. If his fire team leader cannot solve the problem, the private is sent to see his squad leader, platoon sergeant, platoon commander, and company commander in that order until the problem is solved. If none of these leaders can solve the problem after they are seen in order of their authority, the private is sent to the battalion commander. Any Marine can go as high as necessary to get a

problem resolved. All the Marine must do is follow the chain of command, in order, one step at a time.

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Marine NCO in the Chain of Command

Purpose The Marine NCO is the lowest rated link in the chain of command. The three purposes for the Marine NCO in the chain of command is to

· Carry out orders · Train Marines · Supervise

Carry Out

Orders Marine NCOs carry out the orders and information that is passed from _{immediate supervisors to the subordinates and to pass requests from} subordinates up the chain. In this manner, the NCO serves as the link between subordinates and their commanding officer

Train Marines Marine NCOs are responsible for training Marines to perform their assigned tasks. This training, usually in the Marine’s MOS, is a combination of on-the-job training (OJT) and classroom instruction. The Marine NCO must demonstrate and teach. More importantly, he must inspire Marines so they want to learn the skills they are all expected to master.

Supervise Marine NCOs ensure close supervision and personal guidance of junior Marines. Without a supervising NCO, many tasks would not be finished properly or at all. The personal guidance provides a junior with someone else to turn to for help with personal problems or for answers to questions about his assignments.

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Marine NCO Responsibilities

Four Areas As a Marine NCO, you are responsible to · Your country

· The Marine Corps · Your organization · Your subordinates

Country One responsibility as a Marine NCO is to your country. You should demonstrate behavior that dignifies the United States and the American people. For example, when you are in a foreign country, conduct yourself so the people of that country will not be offended. Convey the feeling that you are an ally and are in their country as a guest, friend, and protector of freedom.

The Marine

Corps As a Marine NCO, your duty is to be loyal to Marine Corps policies. You _{must develop leadership skills, professional knowledge, and proficiency} through on-the-job experience, reading, taking correspondence courses, attending service schools, and seeking new tasks. You must present a favorable image of the United States Marines to the public and to our sister services. Community activity and friendly interservice competitions are ways to present a favorable image.

Organization Your responsibilities to your organization are many, including training Marines as a team and developing that team’s loyalty. While developing a strong loyal team, you must not do so at the expense of the other teams within your unit. You must ensure that teams within the unit cooperate with each other. To achieve good teamwork, a unit must show unhesitating response to orders and regulations. You accomplish this by demanding discipline within your unit and taking responsibility for the conduct of your Marines at all times.

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Marine NCO Responsibilities,

Continued

Subordinates As a Marine NCO, you have certain responsibilities to your subordinates. You must train subordinates in their MOSs to develop the proficiency and skills the Marine Corps needs. Often, proficiency in the MOS means life or death to either the individual Marine or to other Marines. You must educate your subordinates in military skills and also encourage individual

self-improvement. You must be aware of educational opportunities and the unit’s policies and know where to direct Marines desiring aid. Aside from these areas, two other important areas to pay attention to with your subordinates are · Caring for their physical needs

· Looking after their well-being

Physical Needs Perhaps the most important responsibility is taking care of your subordinates' physical needs. These needs include quarters and food. You have no control over billeting, but you can make sure the assigned areas are as suitable as the situation allows. By enforcing high standards of policy, cleanliness, and discipline, you can make the quarters as comfortable as possible. As with billeting, you have no control over food preparation, but when you make sure the Marines are on time for meals and in proper uniform, you can make the meals more pleasant. In the field, you will be the last one to eat. You can take care of your Marines’ needs by ensuring that all problems, such as those in quarters’ maintenance, food quality, and food quantity are brought to the attention of your immediate supervisor.

Well-being Marines, like everybody else, need relaxation. Recreation time is made available for all Marines. Organizational sports and unit get-togethers are ways of letting Marines relax mentally and physically. You must be sure Marines get their fair share of liberty. This responsibility to your

subordinates is of such importance that it will be discussed later. Before you can expect the most of subordinate Marines, you must take care of their well-being.

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Professional Relationships

Critical for Chain of Command Effectiveness

For the chain of command to work properly, information must go up and down the chain. That is, relationships work both ways between superiors and subordinates. These relationships extend beyond working hours. The major key is to keep relationships with seniors and subordinates on a professional level at all times.

Three Key

Elements To be an effective leader, you must show seniors and subordinates · Respect – a willingness to show consideration or appreciation toward

seniors and subordinates.

· Cooperation – the ability to work together to get the mission done. · Tact – the ability to say and do the right thing at the right time.

Respect Respect is an awareness of rank, its authority, and its responsibilities. Rank has its privileges; but more importantly, it has responsibilities as well. Most important is for you to always be available to your Marines.

Respect means that you also do not

· Take unfair advantage of your rank. For example, do not

· Claim ignorance to a superior as an excuse for leadership failures on your part

· Call subordinates by their first name, since they cannot do the same to you

· Use your rank as a barrier. For example, do not

· Allow superiors to abuse your Marines because they out rank you. This means that you must look out for your Marines’ welfare and be sure superiors treat them fair.

· Set yourself above your subordinates and look down on them.

· Be sure to keep communications open so they come to you for guidance and assistance.

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Professional Relationships,

Continued

Cooperation Your approach to seniors must be professional. As an NCO, you should always be friendly with seniors, but not overly so. If you are friendly and cooperative, your senior will have confidence in you, and you can work together smoothly. If you are reprimanded, remember your senior is there to guide and help you; the reprimand is not to promote the senior’s superiority but to decrease your shortcomings. You should benefit from the lessons learned and continue to demonstrate respect, cooperation, and professionalism in every encounter with your seniors.

Likewise, treat subordinates with the same cooperation you expect from superiors. Listen to their problems with an open mind and provide

professional guidance or assistance as needed. Whenever possible, use your rank to look out for your subordinates’ welfare and ensure you develop their talents as much as possible. Get them what they need!

Tact Tact is important in all facets of life. It involves studying the behaviors of people with whom you interact to determine their personal traits and preferences for doing things. Once you have determined these facets of the individuals above and below you in the chain of command, you deal with and respond to each person in the manner that best facilitates communication and mission accomplishment.

It is as important to know the ground rules in working for a particular senior as it is to know terms such as “deck,” bulkhead,” and “ladderwell.” It is possible, on the other hand, for a senior to desire either one or the other terminology to be used in the unit; it is the NCO’s duty to carry out those wishes.

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Lesson 3 Exercise

Estimated

Item 1 The two purposes for the chain of command are to a. supervise and train your Marines.

b. train your Marines and decentralize authority.

c. decentralize authority and link the different levels of authority. d. link the different levels of command and carry out orders/information.

Item 2 The three purposes for the NCO in the chain of command are to a. carry out orders, train Marines, and supervise.

b. train Marines, supervise, and decentralize authority.

c. supervise, decentralize authority, and link the different levels of command.

d. decentralize authority, link the different levels of command, and carry out orders.

Item 3 Which of the following lists the four areas of NCO responsibility? a. God, country, corps, and family

b. Country, corps, mission, and family

c. Country, corps, organization, and subordinates d. Corps, organization, mission, and subordinates

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Lesson 3 Exercise,

Continued

Item 4 You must be sure your subordinates a. live in the same barracks as you. b. get their fair share of liberty.

c. are offered red meat at least once a week.

d. get their fair share of rewards and responsibilities.

Item 5 Relationships with both seniors and subordinates should be conducted on a a. friendly level.

b. daily basis.

c. professional level. d. strict level.

Item 6 What are the three key elements of professional relationships? a. Military courtesy, deference to orders, and tact

b. Knowing rank privileges and responsibilities, cooperation, and tact c. Respect, cooperation, and tact

d. Appreciating the chain of command, using your position in the chain of command, and tact

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Lesson 3 Exercise, Solutions

1 c 1-20 2 a 1-21 3 c 1-22 4 b 1-23 5 c 1-24 6 c 1-24

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STUDY UNIT 2

MAINTAINING PERSONAL READINESS

Introduction

Estimated

Study Time 2 hours 10 minutes

Scope Every Marine contributes to the effectiveness and the efficiency of each mission. Marines must be mentally, physically, and administratively prepared for deployment. This study unit explains how administrative tasks should be completed to ensure each Marine is personally ready for deployment.

Learning

Objectives After completing this study unit, you should be able to · Identify the purpose of an audit.

· Identify the responsibilities in an audit.

· Identify the purpose of the record of emergency data (RED). · Define allotment.

· Define the purpose of a will. · List the benefits of having a will. · Define power of attorney (POA).

· Identify the purpose of a power of attorney.

· Identify the purpose for basic allowance housing (BAH).

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Introduction,

Continued Learning Objectives, continued

· Identify the purpose of the Defense Enrollment Eligibility Reporting System (DEERS).

· Identify the purpose of a commanding general’s (CG) inspection. · Identify the purpose of a family care plan.

· Identify sources for assistance with family care.

In This Study

Unit This study unit contains the following lessons.

Topic See Page

Lesson 1 Audit 2-3

Lesson 2 Record of Emergency Data 2-13

Lesson 3 Allotments 2-21

Lesson 4 Wills 2-29

Lesson 5 Power of Attorney 2-37

Lesson 6 Family Readiness 2-47

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LESSON 1

AUDIT

Introduction

Estimated

Scope The purpose of an audit is to ensure all personnel military records are

accurate, complete, current, and agree with each other. This lesson describes different occasions for conducting an audit and what should be checked during an audit.

Learning

Objectives After completing this lesson, you should be able to · Identify the major occasions for conducting an audit. · Identify the purpose of an audit.

· Identify the unit's responsibilities in an audit. · Identify the individual’s responsibilities in an audit. · Identify the ten reports that are reviewed in an audit.

Topic See Page

Occasions for Audits 2-4

Conduct 2-6

Reports 2-7

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Occasions for Audits

Schedule A complete audit of the Marines' service record book (SRB) and computer record should be performed when conducting an audit. The types of audits established as a minimum for auditing service records of all Marines are the · Join process audit

· Triennial audit

· Deployment readiness audit · Commander’s discretionary audit

Join Process

Audit A join process audit is conducted whenever a Marine is · Joined chargeable by a reporting unit (RU)

· Attached duty under instruction in excess of 20 weeks, including · Return from Fleet Assistance Program (FAP)

· Temporary additional duty

· Reserve personnel returning from a period of active duty in excess of 30 days

· Deployments in excess of 30 days

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Occasions for Audits,

Continued

Triennial Audit A triennial audit is conducted at least once every 3 years from the date of the last join process audit or triennial audit. To reduce the number of times a Marine is required to physically visit the administrative section, Marines or administrative personnel can declare any visit for routine service as their triennial audit.

Otherwise, triennial audits are scheduled according to the last digit of the Marine’s social security number (SSN). Each number corresponds to the month that the audit will take place as shown in the table below.

If the last digit of SSN is Then the audit month is

1 January 2 February 3 March 4 April 5 May 6 June 7 July 8 August 9 September 0 October Deployment Readiness Audit

A deployment readiness audit is conducted no earlier than 30 days (60 days for reserve component Marines) before a deployment that is anticipated to exceed 30 days duration.

Commander's Discretionary Audit

A commander’s discretionary audit is conducted whenever the commander considers that an additional audit is necessary.

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Conduct

Purpose Regardless of the type of audit, the purpose for the audit is to ensure personnel records are accurate, complete, current, and in agreement with information maintained in the Marine Corps Total Force System (MCTFS) data bases.

Reporting Unit

Responsibility The reporting unit is directly responsible for timely and effective _{accomplishment of the audits required by MCO P1080.40 MCTFSPRIM. In} addition, the reporting unit commander shall ensure that

· Corrective action is taken regarding all discrepancies

· Unit diary information that requires the transfer of data to the service record is accomplished in a timely manner

· The document side of the service record is screened and extraneous papers are removed

Individual

Responsibilities Conduct the audit in the presence of Marines on active duty or in the SMCR. _{This audit will include inspection and the corrective action necessary to} ensure accuracy, currency, and completeness of the

· Service record book/officer qualification record (SRB/OQR) including the record of emergency data (RED)

· Basic individual record/basic training record (BIR/BTR) · Leave and earning statement (LES)

· Health records

· Other local records containing personal information

Additionally during the screening of service records, Marines should · Ensure that SGLI election certificate (SGLV-8286) reflects the current

intent of the Marine

· Appropriately dispose of extraneous or misfiled documents

· Verify completion of all required entries and actions, such as assignments of conduct and duty proficiency markings, etc.

· Ensure that a RED is on file in the service record

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Reports

Basic Individual Record

The basic individual record (BIR) is a listing of administrative information contained in the MCTFS and Marine online (MOL) computer record of an individual Marine’s service, contract, and dependents. The BIR is available through online request, and may be viewed either on the screen or printed locally. The BIR is used to ensure certain important data elements in the Marine’s record are correct.

Basic Training

Record Similar to the BIR, the basic training record (BTR) is a listing of training, _{education, and testing information contained in the command master file} (CMF) computer record of each Marine.

Education

Record The education record (ER) is a listing of civilian education, MCI courses, _{formal schools, and special skills of the individual Marine.}

Inconsistent Condition Report

The inconsistent condition report (ICR) lists those Marines in the reporting unit (RU) whose computer records may contain one or more data elements that are incorrect or inconsistent with the Marine’s master record.

Individual

Deployment Record

The individual deployment record (IDR) lists all deployments reported into the MCTFS on each Marine.

Marine Corps Total Force Systems- Accuracy Survey

Reporting units will occasionally receive some Marine Corps Total Force Systems Accuracy Survey (MCTFS-AS) forms on Marines in their units. The accuracy survey audit will be completed within 30 days of receipt and

returned to the CMC message text format.

Leave and Earning Statement

The leave and earning statement (LES) is a printout of pay information contained in the MCTFS and MOL computer record of each individual Marine. The annual LES also contains a leave accounting for the previous year and is used to record certification of entitlements.

(41)

Reports,

Continued Record of

Service The record of service (ROS) is a computer-generated page designed to replace _{the markings page, NAVMC 118(23), in the SRB. The ROS provides the} commander with a visual reference of previously reported conduct and duty proficiency marking and the average of those markings for the time in grade, entitlement, and service.

Record of

Emergency The record of emergency data (RED) provides a current official and legally _{binding record of relatives, beneficiaries, and emergency information on each} Marine. It is also used to make casualty notification and to adjudicate claims for various death benefits.

Fitness Report The fitness report (FITREP) reporting unit has the ability within the MCTFS to review a chronological listing of each Marine’s fitness report.

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Lesson 1 Exercise

Estimated

Directions Complete the following items. Check your answers against those listed at the end of the lesson. If you have any questions, refer to the reference page listed for each item.

Item 1 Which is an occasion for conducting an audit? a. Joining a new unit

b. Joining a new platoon c. Deployed less than 30 days d. Returning from leave

Item 2 During what month will Sgt Hard Core, SSN 123-45-6789 be scheduled to complete his triennial audit?

a. February b. April c. July d. September

Item 3 What is the purpose of an audit?

______________________________________________________________ ______________________________________________________________

Item 4 Besides ensuring that corrective action is taken regarding all discrepancies and the document side of the service record is screened and extraneous papers are removed, the unit commander shall ensure that

______________________________________________________________ ______________________________________________________________

(43)

Lesson 1 Exercise,

Continued

Item 5 When conducting an audit, each Marine will review his or her _______ to ensure pay information is correct, entitlements are justified, and leave balance is accurate.

a. record of emergency data b. basic training record

c. leave and earning statement d. individual deployment report

Item 6 Which of the following reports contains a list of training, education, and testing information maintained in the command master file computer of each Marine?

a. Basic individual record b. Basic training record

c. Inconsistent condition report d. Leave and earning statement

(44)

Lesson 1 Exercise,

Continued

Items 7

Through 9 Matching: In the space provided, place the letter of the report from column 2 _{to its description in column 1. The answers in column 2 may be used only} once.

Column 1 Description

Column 2 Report

___ 7. Lists Marines in the RU whose records contain one or more incorrect or

inconsistent elements in the master record

___ 8. Lists administrative information contained in the MCTFS; Marine online computer record of

Marine’s service, contract, and dependents, and training, education, and testing information in the command master file ___ 9. Provides current official

and legally binding records of beneficiaries and

emergency information

a. Basic individual record/basic training record

b. Inconsistent condition report c. Record of service

d. Record of emergency data

(45)

Lesson 1 Exercise Solutions

1 a 2-4

2 d 2-5

3 To ensure personnel

records are accurate, complete, current, and in agreement with information maintained in the MCTFS data bases

2-6

4 Unit diary information

that requires the transfer of data to the service record is accomplished in a timely manner 2-6 5 c 2-6 6 b 2-7 7 b 2-7 8 a 2-7 9 d 2-8

(46)

LESSON 2

RECORD OF EMERGENCY DATA

Introduction

Estimated

Scope A vital document that Marines should always keep up to date is the record of emergency data (RED). The RED is used to identify the people to notify in case of an emergency, identify persons who may be entitled to death benefits as prescribed by law, and help casualty assistance officers better assist a Marine’s surviving family members.

Learning

Objectives After completing this lesson, you should be able to

· Identify the purpose of the record of emergency data (RED). · Identify the contents of RED.

· Identify when to update RED.

Topic See Page

Contents of RED 2-14

Sample RED 2-17

Updating RED 2-18

(47)

Contents of RED

Purpose The record of emergency data (RED) provides a current, official, and legally binding record of relatives, beneficiaries, and emergency information on each Marine. The RED is essential in all efforts to make casualty notifications and adjudicate claims for various death benefits.

Personal

Information The personal information section is automatically generated; however, the _{Marine should check the accuracy of all personal information contained in the} RED. The personal section contains the

· Social security number · Full name

Unit

Information Like the personal information, unit information is automatically generated. _{The unit information section contains the} · Reporting unit code (RUC)

· Company code (CMPNY CODE) · Platoon code (PLT CODE) · Rank (GRADE)

· Component code: Active duty or Reserve (COMP CODE)

Dependent

Information The dependent information lists the · Spouse’s name

· Spouse’s address · Children’s names · Dates of birth · Address

(48)

Contents of RED,

Continued

Legal Guardian

Information The legal guardian information is only required for single parents or dual _{service parents. The legal guardian information list the guardian’s} · Name · Phone number · Relationship · Address Death Benefits

Information The death benefits information section contains the following:

· Death gratuity beneficiary(ies) – persons who are to be beneficiaries in the event your spouse and/or children do not survive the Marine

· Next of kin relationship (NR)/name

· Relationship (must be blood relative but not wife or children) · Percent (PCT)

· Address

· Pay arrears beneficiary(ies) – persons who are to receive any monies due up to the date of death (includes unpaid earnings, lump sum leave, TAD settlements, etc.)

· Who should be notified due to ill health – persons to be notified if the primary next of kin or secondary next of kin have health risks or concerns that would make notification of bad emergencies risky

· Address · City

· State

(49)

Contents of RED,

Continued

Death Benefits Information, continued

· List insurance company(ies) – commercial insurance policies on the Marine so the casualty assistance officer can assist with collection · NR/Name

· Policy Number

· Primary next of kin – up to three numbers may be listed · Telephone number

· Relationship

· Primary next of kin directions – must have this information if the primary or secondary next of kin have non-street address. These directions should be from a permanent location (courthouse, police station, etc.) and will enable the casualty assistance officer to reach the residence for

notification purposes

· SGLI information election – this information should be verified that it is as the Marine desires and that the election form agrees with the

information · Beneficiary · Pay Designation · Date

Certification The certification section contains the · Member’s signature

· Witness’ signature

· Date the document was signed · Unit diary number

(50)

Sample RED

Sample RED The following is an example of a completed RED.

SSN: 123456789 NAME: MARINE, HENRY ALFONSO

RUC: XXXXX COMPANY CODE: XXXX PLT CODE: XXXX GRADE: SGT COMP CODE: XX SPOUSE NAME/ADDRESS

MARY A. MARINE 1234 CAROLINA RD

JACKSONVILLE, NC 25546

CHILD NR/DOB/ADDRESS

1 JENNIFER M. MARINE (901226) (ADDRESS SAME AS SPOUSE) 2 MICHAEL G. MARINE (920612) (ADDRESS SAME AS SPOUSE 3 KATHLEEN M. MARINE (940417) (ADDRESS SAME AS SPOUSE) GUARDIAN NR/NAME/PHONE/RELATION/ADDRESS

1 DOROTHEA M. MARINE (GM) (444) 555-1212 SAME AS FATHER ADDRESS FATHER/MOTHER NAME/ADDRESS

1 EDWARD O. MARINE 32 EUSTIS STREET

CAMBRIDGE, MA 02178

DOROTHEA M. MARINE SAME AS FATHER ADDRESS

DEATH GRATUITY BENEFICIARY(IES) NR/NAME/RELATION/PCT/ADDRESS 1 DOROTHEA M. MARINE (M) SAME AS ABOVE

PAY ARREARS BENEFICIARY(IES) NR/NAME/RELATION/PCT/ADDRESS 1 MARY A. MARINE (W) SAME AS ABOVE

DO NOT NOTIFY DUE TO ILL HEALTH STREET ADDRESS/CITY/STATE 1 NONE

INSURANCE COMPANY(IES) NR/NAME/POLICY NUMBER 1 NONE

PRIMARY NEXT OF KIN TELEPHONE NUMBER/RELATIONSHIP 1 (222) 123-4567/W

PRIMARY NEXT OF KIN DIRECTIONS

SGLI INFORMATION ELECTION ELECTS $200.00 COVERAGE BENEFICIARY: SPOUSE

PAY DESIGNATION: LUMP SUM DATE: 19961201

MEMBER’S CERTIFICATION ________________ PRTD ON UD NUMBER _________________________________ WITNESS CERTIFICATION __________________ DATE CERTIFIED ______________________________________

(51)

Updating RED

During an

Audit Updating the RED is essential. Marines should check the accuracy of the _{RED during} · Join process audit

· Triennial audit · Deployment audit

· Commander’s discretionary audit

Changes in

Information Marines should update the RED any time a change occurs to any information _{contained in the RED. These changes include but are not limited to} · Changes in addresses or telephone numbers

· Changes in marital status · Births of children

· Deaths of next of kin or beneficiaries

· Changes in Marines desires for beneficiaries, guardians, or SGLI information

(52)

Lesson 2 Exercise

Estimated

Directions Complete the following items. Check your answers against those listed at the end of the lesson. If you have any questions, refer to the reference page listed for each items.

Item 1 What is the purpose of the RED?

______________________________________________________________ ______________________________________________________________

Item 2 Which of the following items are contained in the personal information section of the RED?

a. Primary next of kin b. Beneficiary

c. Social security number d. Date

Item 3 Spouse name, children names, date of birth, and address are listed in which section of the RED?

a. Personal information b. Legal guardian information c. Death benefits information d. Dependent information

Item 4 Anytime a life change occurs in the service members' status (such as marriage or birth of a child), ____________________ is essential.

a. requesting an LES b. requesting a RED c. updating the LES d. updating the RED

(53)

Lesson 2 Exercise Solutions

1 _{· Provides a current,}

official, and legally binding record of relatives, beneficiaries, and emergency information · Make casualty notifications · Adjudicate claims

for various death benefits 2-14 2 c 2-14 3 d 2-14 4 d 2-18

(54)

LESSON 3

ALLOTMENTS

Introduction

Estimated

Scope This lesson covers the financial arrangements that can be authorized for Marines, and describes the two basic types of allotments in detail.

Learning

Objectives After completing this lesson, you should be able to · Define allotment.

· Identify where to obtain an allotment. · Identify the effects of allotment entry dates.

· Identify the types of discretionary allotments by purpose code. · Identify the number of discretionary allotments a Marine may have. · Identify the types of non-discretionary allotments by purpose code. · Identify the number of non-discretionary allotments a Marine may have.

Topic See Page

General Information 2-22

Discretionary Allotments 2-23

Non-Discretionary Allotments 2-25

(55)

General Information

Definition An allotment is a definite portion of a Marine’s pay and allowances that he or she voluntarily authorizes to be paid to an allottee.

Obtaining

Allotments You can obtain allotments through your administration office.

Allotment

Entry Dates You can input allotments

· Up to the 15th_{of the month before the first deduction to start an allotment}

· Until the 15th_{of the month before the month of the last deduction to stop}

an allotment

Explanation of Entry Date Effects

If the first deduction date is January 1, 2001, the system edits will allow input to start the allotment until December 15, 2000.

If the last deduction date is January 31, 2001, the system edits will allow input to stop the transaction until December 15, 2000.

Two Basic

Types of Allotments

The two basic types of allotments are

· Discretionary – allotments made at the discretion of the Marine · Non-discretionary – allotments for specific, universal purposes

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Discretionary Allotments

Purpose Codes The purpose codes for discretionary allotments and their purposes are described in the table below.

Purpose

Code Purpose

D For voluntary payments to dependents, relatives, former spouses, or any other individuals or organizations eligible to receive discretionary allotment payments

H To pay a financial organization for the Marine’s mortgage loan I _{· For commercial life insurance of the Marine and/or the}

Marine’s spouse and/or children

· Includes United States Government Life Insurance

(USGLI), dental and health insurance to benefit the family, and insurance

J For savings deposit program

Note: You can no longer start an allotment to be sent to the Marine’s home address; the allotment must be made payable to a financial organization for credit to the Marine’s account.

N To pay premiums on National Service Life Insurance (NSLI) Note: You may have only one N allotment in effect. If you

have more than one policy in effect, the premium payments must be combined into one allotment.

R To pay for rent on a dwelling occupied by the Marine’s spouse, children, or other dependents

Note: The Secretary of the Navy must authorize an R allotment for a Marine.

S For deposits to a financial institution, mutual fund company, or investment firm

Note: Payments for mutual funds, investments, and loans must be made payable to a valid checking or savings account and arrangements made with the financial institution to withdraw payment amounts from the Marine’s account.

(57)

Discretionary Allotments,

Continued

Requirements The Marine shall certify that the allotment is within the limits of the law. For example, allotments may not be used to repay gambling debts in a state where gambling is not permitted.

Number

Allowed Marines are authorized no more than six discretionary allotments in addition _{to the J allotment.}

(58)

Non-Discretionary Allotments

Purpose Codes The purpose codes for non-discretionary allotments and their purposes are described in the table below.

Purpose

Code Purpose

B To purchase U.S. savings bonds.

Note: Any number of B allotments may be authorized with the same month of the first deduction and submitted in the same document transmittal letter (DTL) as long as they are not identical.

C To make charity contributions to the Navy and Marine Corps Relief Society (NMCRS) or the Combined Federal Campaign (CFC)

L To repay loans to the NMCRS, the American Red Cross, Air Force Aid Society, and/or the Army Emergency Relief

T To liquidate an indebtedness due to defaulted notes insured by the Federal Housing Administration or guaranteed by the Department of Veterans Affairs

U When a Marine on the retired list of the FMCR, who is participating in the RSFBB/SBP, is recalled to active duty

(59)

Lesson 3 Exercise

Estimated

Directions Complete the following items. Check your answers against those listed at the end of the lesson. If you have any questions, refer to the reference page listed for each items.

Item 1 What is an allotment?

______________________________________________________________ ______________________________________________________________

Item 2 The ______ office should help you start or stop allotments. a. administration

b. MWR

c. judge advocate general’s d. credit union

Item 3 What is the latest date to input an allotment request if you want to start an allotment on the first of May?

______________________________________________________________

(60)

Lesson 3 Exercise,

Continued

Items 4

Through 6 Matching: In the space provided, place the letter of the purpose code from _{column 2 that would be used for the allotment situation described in column} 1. The answers in column 2 may be used only once.

Column 1 Allotment Situation Column 2 Purpose Code ___ 4. To make a charitable contribution to the NMCRS or CFC

___ 5. To start monthly mortgage payments

___ 6. To deposit money with an investment firm. a. C b. H c. L d. R e. S

Item 7 How many discretionary allotments can you have in addition to the savings deposit program allotment J?

a. 3 b. 4 c. 5 d. 6

Item 8 A Marine can have ______ B allotments with the same month as the first deduction and submitted in the same DTL as long as they are

a. three, identical. b. six, identical.

c. any number of, not identical. d. any number of, identical.

(61)

Lesson 3 Exercise Solutions

1 A definite portion of a

Marines' pay and allowances voluntarily authorized to be paid to an allottee 2-22 2 a 2-22 3 Up to the 15th of April

for the first deduction to start an allotment 2-22 4 a 2-25 5 b 2-23 6 e 2-23 7 d 2-24 8 c 2-25

(62)

LESSON 4

WILLS

Introduction

Estimated

Definition Everyone wants peace of mind. Writing a will is for everyone. Leaving a will is just as important for someone of modest means as it is for someone who is wealthy. If you die without leaving a will, the law will stipulate how your assets are to be distributed amongst your surviving relations. This can sometimes mean that your assets go to people you wouldn't want to have them or that your surviving spouse is left with a home but no money to live on. This lesson describes basic information about wills and why you should have one.

Learning

Objective After completing this lesson, you should be able to · Define the purpose of a will.

· Identify how to create a will. · List the benefits of having a will. · Identify criteria that validate your will.

· Identify actions you should take when living in a state other than your home of record.

Topic See Page

Fundamental Knowledge 2-30

Benefits 2-31

Validity of Your Will 2-32

(63)

Fundamental Knowledge

Definition A will is a

· List of instructions telling your executors what to do with your property when you die

· Legal document by which a person disposes of property, such disposition to take effect after death

Purpose A will is the only way of assuring that property will be distributed exactly as you wish. Most people assume that all their possessions will automatically pass to their spouse or other members of the family. Unfortunately, many families often face immediate financial hardship and sometimes even have to sell the family home—simply because no will had been written.

Without a will, you miss all chances of passing on particular gifts to your friends or favorite charities. If you have a young family, your will determines who you prefer to take care of your family and provides you a way to give specific instructions about that care.

Law of

Intestacy The Law of Intestacy means that the state writes a will for you. Your _{possessions are distributed according to this law.}

If you die without having a legally valid will, your estate will be divided in a way that gives you and your survivors no choice in the matter. This places unnecessary extra difficulties on your partner or family at a time of great distress.

Obtaining a

Will A will can be prepared by your base's legal assistance office or through a _{civilian lawyer out in town.}

(64)

Benefits

Main Purpose Fundamentally, your will is a record of your instructions on how you want your estate to be distributed and also gives you the opportunity to express your wishes about your funeral.

Options In your will, you should specify

· Exactly what you want to happen to your property · Who is to receive "thank you" gifts of money

· Who is to receive personal belongings that are special to you · Who is to receive gifts of charity that are free of inheritance tax · Guardians to look after your young children

· Who you want to be your executors and trustees