the ig assistance function special cases & considerations part two ar 20-1, chapter 6, plus...

The IG Assistance Function

Special Cases & Considerations

Part Two

AR 20-1, Chapter 6, plusA&I Guide Part One, Chapters 3 through 9

Assistance Part Two

U.S. Army Inspector General School 2

Bottom Line: Some complaints are not IG appropriate!

Step 2 Preliminary Analysis

Identify Issues / AllegationsDetermine IG Appropriateness

Open Case in IGARSAcknowledge Receipt

Select a Course of Action(Obtain Authority)

STEP 2 Determine IG Appropriateness

Assistance Part Two


Not IG Appropriate

• Non-Army-related issues (A&I Guide, Sect. 3-1)

• EO complaints (with exception) (A&I Guide, Sect. 3-2)

• Hazardous work conditions (A&I Guide, Sect. 3-3)

• Redress available through other channels (A&I

Guide, Sect. 3-4) (due-process)• Criminal allegations (with exception) (A&I Guide,

Sect. 3-5)

• Soldier nonsupport of Family (A&I Guide, Sect. 3-10)

• Redress available to DoD civilians (A&I Guide, Chapters 5 and 6)

AR 20-1, para. 6-3a-k

ELO 5

Assistance Part Two


• Allegations against– COL(P) and General Officer– Senior Executive Service (SES) civilian – USMA Permanent Associate Professor (PAP)

• Report to DAIG Investigations Division within 2 working days

• Do NOT conduct ANY fact-finding• Prior to entering an Information IGAR, contact

Investigations Division, at (703) 545-4556– Do not name the senior official or complete a DA

FORM 1559! AR 20-1, para. 7-1l, 1-4b (5) (d) and A&I Guide, Part One, Sect. 3-6

Not Local IG Appropriate Senior Official Allegations

Assistance Part Two


• Allegations against– Members of special-access programs (SAP) – Members of sensitive activities (SA)

• Report to DAIG Intelligence Oversight Division within 2 working days

AR 20-1, para. 1-4b (5) (e)A&I Guide, Part One, Sect. 3-7

Not Local IG Appropriate Allegations against Members

of SAPs & SAs

Assistance Part Two


Information IGAR

• Requests for routineassistance / information that an IG can handlequickly

• Opened / Closed onsame day

• Single screen input

• Cannot be converted toa Standard IGAR

• Cannot be edited onceit is closed

Assistance Part Two


Not Local IG AppropriateProfessional Allegations

• Army lawyers (military or civilian) refer to DAIG’s Legal Advisor (AR 20-1, para. 7-1i (4)-(5))

• IGs refer to next higher IG (AR 20-1, para. 7-1j)

• Medical, CID Agents, Recruiters, Chaplains, etc. (A&I Guide Part One, Sect. 3-8)

Assistance Part Two


Family NonsupportNOT IG Appropriate

• Regulation: AR 608-99, Family Support, Child Custody, and Paternity

• Commander’s Responsibilities (AR 608-99): – Counsel Soldier– Respond in writing to complainant within 14 days– ... and much more

• IG’s Responsibilities (AR 20-1, para. 6-3a): –Ensure Family’s immediate needs are met–Ensure Soldier’s commander is aware–Do NOT retain bank information–Do NOT become an advocate

ELO 6

ELO 7

Assistance Part Two

• Teach and train on AR 608-99– Company Commander and First Sergeant Course– Officer Professional Development / Noncommissioned Officer

Development Program – Newcomer’s Orientation– Pre-deployment Training / Briefings

• Available resources– Family Readiness Groups (FRG)– Army Community Services (ACS)– Army Emergency Relief (AER)– Chaplain– DEERS / ID Card Station– Red Cross– Local Churches, Food Shelters– http://www.militaryonesource.com/


Family NonsupportMake Your Job Easier

Assistance Part Two


Private Indebtedness NOT IG Appropriate

• Command issue (DODI 1344.09)• IG’s role:

– Assist in formulating complaint– Assist in properly routing the complaint

• If complainant already initiated action, continue only if commander has not responded

AR 20-1, para. 6-3b

Assistance Part Two


Processing IGARs Not Appropriate for IGs

Thoroughly analyze the complaint to identify all issues

Determine if the complainant has attempted to use the appropriate appeal process or agency -- if not, advise him / her to do so

Complete DA Form 1559 -- open & close case in IGARS database (unless classified)

Look for possible systemic issues

AR 20-1, para. 6-3

ELO 5

Civilian IGARs

Assistance Part Two


Civilian Employee Categories

• Appropriated Fund (APF)– Governed by Office of Personnel Management

(OPM)

• Nonappropriated Fund (NAF)– AR 215-3, NAF Personnel Policies and Procedures

AR 20-1, para. 6-3c and eA&I Guide, Part One, Chap. 5 and 6

Assistance Part Two


Civilian Employee Categories

(continued)

• Local Nationals (LN)– Status of Forces Agreement (SOFA)

• Contractors– Statement of work determines avenue of redress– Check with Contracting Officer or Contracting

Officer Representative (COR)– Check with the SJA

AR 20-1, para. 6-3c and eA&I Guide, Part One, Chap. 5 and 6

Assistance Part Two


Civilian IGARs which are Usually NOT IG Appropriate

• Grievances: Refer to Civilian Personnel Advisory Center (CPAC)

• Appeals of Adverse Action: Refer to CPAC• Discrimination or Harassment Complaints:

Refer to Equal Employment Opportunity (EEO)• Whistleblower Reprisal: Referral depends on

status (more during investigations)

AR 20-1, para. 6-3hA&I Guide, Part One, Sect. 6-1

ELO 5

Assistance Part Two


Civilian IGARs which May Be IG Appropriate

• Matters not directly affecting the employment situation or well-being of the individual:– Third-party complaints– Misconduct– Mismanagement

AR 20-1, para. 6-3hA&I Guide, Part One, Sect. 6-1

Assistance Part Two


IG Decision Matrix for DoD Civilian Complaints

A&I Guide, Part One, Sect. 6-2

Receive IGAR and determine appropriateness *

Process complaints or allegations against a third party, reports of misconduct, mismanagement, or matters requiring command attention

Grievance

Refer complainant to local CPAC for information and assistance

Appeal an adverse action

EEO

Retaliation or Reprisal

Enter in IGARS take no further action

Advise to contact EEO- do not work this action

Whistleblower Advise to contact OSC or DoD IG

Yes

No

Yes

Yes

YesNo

No

No

Yes Yes

Enter inIGARS& Close Case

Assistance Part Two


Civilian Cases

• Always analyze entire IGAR to determine if IG action is necessary to correct regulatory violation or systemic problem

• Where does the IG go for advice?– Local Civilian Personnel Advisory Center / Civilian

Personnel Operations Center http://cpol.army.mil/library/permiss/

– Staff Judge Advocate– Equal Employment Opportunity


http://cpol.army.mil/library/permiss/

Assistance Part Two


Summary

- Is a complaint about hazardous work conditions appropriate for the IG?

- When a DA Civilian complains of racial discrimination to the local IG, what should the IG do?

- What is the IG’s role in nonsupport cases?

- What is the commander’s role in nonsupport cases?

Issues

Miscellaneous

Assistance Part Two


Request to Withdraw a Complaint

• Ask:– Why– Punishment or reprisal – Someone else working the issue– Issue is resolved

• Obtain a written withdrawal request

• IG decides whether or not to continue

AR 20-1, para. 6-2eA&I Guide, Part One, Sect. 4-1

ELO 8

Assistance Part Two


Untimely IGARs


• Timely Manner ~ Effective Resolution

• A IGAR is “untimely" if:• Date of awareness is more than one year ago

“OR”• The event occurred more than three years ago

ELO 9

Assistance Part Two


Untimely IGARs

• For an untimely IGAR, the local IG will:

• Local IG will:– Complete a DA Form 1559 – Open case in IGARS ( Information IGAR for senior official

involvement, no names )– Analyze for all issues / allegations (PA)– Inform complainant that the IGAR is untimely (case notes)– Decide whether or not to work– Close case in IGARS

(continued)

Except . . . AR 20-1, para. 6-1eA&I Guide, Part One, Sect. 4-2

Assistance Part Two


Untimely IGARs

Exception:• If the event occurred between 3-5 years ago and ...

– Complainant insists – Special Army interest

• IG will:– Complete a DA Form 1559 – Open case in IGARS (Information IGAR for senior official

involvement)– Analyze for all issues / allegations (PA)– Inform complainant that the IGAR is untimely (case notes)– Forward for Army Command (ACOM), Army Service

Component Command (ASCC), or Direct Reporting Unit (DRU) IG to decide whether or not to work the case

– Close case in IGARS

(continued)


Assistance Part Two


Untimely IGARs

Exception:• If the event occurred more than 5 years ago and ...

– Complainant insists– Special Army interest

• IG will:– Complete a DA Form 1559 – Open case in IGARS (Information IGAR for senior official

involvement)– Analyze for all issues / allegations (PA)– Inform complainant IGAR is untimely (case notes)– Forward to TIG (SAIG-AC) to decide if IG will work the case or if

other action is necessary.– Close case in IGARS

(continued)


Assistance Part Two


Untimely IGARs Examples

Date of Event Complainant Aware Date to IG Timeliness

10 Jan 00 11 Mar 01 1 Apr 01 Timely

10 Jan 00 11 Mar 01 1 Apr 02 Untimely

(Local IG decides)


(ASCC, DRU, ACOM IG decides)


(TIG decides)

Less than one year

More than five years

More than one year

More than three years


Assistance Part Two


TimelinessComplaint

Timely

Work Case

Knowledge > 1 year Event > 3 years

Don't Work(IG decision)

Close Case

Event < 3 yrs = Local IG

Event 3-5 yrs = ACOM, ASCC, DRU IG

Event > 5 yrs = TIG

IG thinksmatter

warrantsaddressing?

Assistance Part Two


Habitual Complainants

• “Pen / Phone Pals”• Analyze – Impartial, Unbiased, & Independent

– New, same, same with new information• Decide if:

– Open new case, no action required, reopen• Don’t ignore

AR 20-1, para. 6-2bA&I Guide, Part One, Sect. 4-3

Assistance Part Two


Abusers of the IG System

• Complainant’s responsibility to present truthful information

• BUT if documented history of:– Submitting baseless, unfounded complaints– Pattern of presenting false, malicious, deceptive, or

defamatory complaints

• THEN the Command IG -- with Directing Authority’s approval -- may request that all future correspondence be in writing only

• Inform DAIG Assistance DivisionAR 20-1, para. 6-2fA&I Guide, Part One, Sect. 4-4

Assistance Part Two


OoR vs. OoI

Office of Record (OoR)

• Responsible for the IGAR

• Final notifications• Final approval

Office of Inquiry (OoI)• Assists the OoR in

gathering data• Does NOT send final

notifications• Vertical echelon

command IG channels

A&I Guide Part, One, page I-2-38, DoD Hotline page I-9-2 and I-9-12

Assistance Part Two


Congressionals

Just Another Way to Write-In

Congressional Correspondence

Flowchart:Command Channels

Complainant’s Letter to Member of Congress

(MoC)

Fort Von SteubenCongressional Inquiries

Office

Office of the Chief of Legislative Liaison (OCLL)

MoC Office

Command Channels

Command Channels


32


Flowchart:IG Channels


(MoC)

AR 20-1 para. 6-1f (1) and


Fort Von SteubenInspector General Office


MoC Office

DAIG Assist Div

IG Channels


Flowchart:National Guard IG

(Federal Matters)


(MoC)

AR 20-1, para. 6-6c and d


State IG Office


MoC Office

DAIG Assist Div

NGB IG


Flowchart:National Guard IG(State Matters)

AR 20-1, para. 6-6c and d


State IG Office


(MoC)

MoC Office

Assistance Part Two


White House(Presidentials)

Yet Another Way Complainants Write-In

White House Correspondence


Complainant’s Letter to President (or email to www.whitehouse.gov)

Fort Von SteubenIG Office

White House Liaison Office

DAIG Assist Div

IG Channels

A&I Guide, Part One, Chap. 837

Complainant

Assistance Part Two


Department of Defense Hotline

DoDI 7050.01AR 20-1, para. 6-1f (3), para. 7-4aA&I Guide, Part One, Chap. 9

Assistance Part Two

DoD HotlineCorrespondence


Complainant contacts DoD Hotline

Fort Von SteubenIG Office

DoD Hotline

DAIG Assist Div

IG Channels

A&I Guide Part One, Chap. 9

39

Complainant completes FOIA request through

DoD IG for answer

Assistance Part Two


DoD HOTLINE Cases

• DoD IG decides:– Action vs. Information Cases– DAIG vs. CIDC (criminal)

• DoD program -- different formats MUST be used (A&I Guide Part One, Chap. 9)– Progress Report (PR)– Hotline Completion Report (HCR)

• Call DAIG Assistance Division – DoD Hotline Branch (703) 545-1845

DoD

PR

DoDHCR

Assistance Part Two


Summary

What are the IG’s actions when someone withdraws a complaint?

Explain how to process untimely IGARs.

Is it okay to ignore habitual complainants?

Who is the Office of Record for Congressional complaints?

Who provides the final reply letter for DoD Hotline complaints?

IG Records

AR 20-1, Chapter 3

Assistance Part Two


What is an IG Record?

• Any written or recorded IG work-product• Includes:

– Correspondence– Documents received from complainants– IG reports– Inspector General Network (IGNET)

computer files– IG notes and working papers

AR 20-1, para. 3-1

Assistance Part Two


Nature of IG Records

• All Army IG records are property of Secretary of the Army, including– USAR IG records– ARNG IG records concerning Federal matters

• IGs maintain records on SecArmy’s behalf• The Inspector General (TIG) is designated

release authority

AR 20-1, para. 3-1

ELO 10

Assistance Part Two


IG Records - For Official Use Within Dept. of the Army

Inspections Report

ROI / ROII

Certain Records / Information

• Nature of allegations• Readily Available

Documents• List of witnesses and

brief synopsis of their relevant testimony AR 20-1, para. 3-5d

Directing Authority

Directing Authority

Follow-on DA Investigator(such as AR 15-6 IO, CID, MPI, FLIPL, etc.)

Local IG may release TO StipulationRedacted

No adverse actions

Maintain Impartiality; do not ID complainant

Assistance Part Two


IG Records and Adverse Action

• IG records are not used as a basis for adverse action . . .

• EXCEPT as approved by TIG on a by-exception basis

AR 20-1, para. 3-3

ELO 11

Assistance Part Two


Request to Use IG Records for Adverse Action

• IG office with the records submits request to: DAIG Records Release Office (SAIG-ZXR)

• Identify precisely which records are requested and why.

• State why a follow-on investigation would be unduly burdensome, disruptive, or futile.

AR 20-1, para. 3-3

Assistance Part Two


IG Records Release Authority

• Only TIG or his designated representative can authorize release outside of IG channels

• Your CG can’t do it• Your local FOIA office

can’t do it

IGRecords

AR 20-1, para. 3-1

ELO 12

Assistance Part Two


Release of IG Records Outside Dept. of the Army

• As a limited exception, information can be extracted from IG records to:

– Respond to requests for advice, assistance, or information

– Answer complaints– Prepare closure letters

• Personal info may be used only if authorized under the Privacy Act

AR 20-1, para. 3-5b

Assistance Part Two


Release of IG Records Outside Dept. of the Army

• Anyone may request copies of an IG record– Member of Congress– Other Government agencies– Subpoenas and court orders– Judicial Proceedings (accused and defense

counsel)– Labor organizations

AR 20-1, para. 3-7

Assistance Part Two


Requests From the Media

• IGs neither confirm nor deny inquiries or investigations

• Refer to local Public Affairs Office (PAO)

• If specific records are requested, treat as FOIA

AR 20-1, para. 3-7b (3)

Assistance Part Two


Freedom of Information Act (FOIA) Request

• Request for records for unofficial purposes must be submitted in writing

• An IG who receives a FOIA verbally will:

– Direct FOIA requestors to the SAIG Web site (http://www.daig.pentagon.mil/foia.aspx) so they can submit their request to the following email address [email protected]

OR

– Provide the contact information for DAIG Records

Release Office (SAIG-ZXR)

AR 20-1, para. 3-4

Assistance Part Two


Freedom of Information Act (FOIA) Request

• An IG who receives a FOIA request in writing will:– Acknowledge receipt in writing (IGAP, Step 2)– Forward to DAIG Records Release Office

• Original request within 2 working days• Copy of the requested record(s) via encrypted e-

mail, fax, mail (3-day delivery option)• Memorandum documenting date of FOIA request

(local concerns and other info.)• Enter actions taken in IGARS as part of the case

notes or as an Information IGAR

AR 20-1, para. 3-4

Assistance Part Two


Release of IG RecordsRelease Authority (All IG Records): TIG

(or designated representative)

Purpose /Intended Useof Records What can the Local IG Release?

Official Use 1) Inspection Reports (Directing Authority); 2) ROI / ROII (Within DA) (Directing Authority); 3) "BIG 3" (DA Investigator):

Nature of Allegations, Readily Available Documents, Witness List / Synopsis of Testimony

Adverse Action NOTHING: Request must be submitted to DAIG for TIG

(only) approval

Official or NOTHING: FOIA request must be submitted toUnofficial Use DAIG's Records-Release Office (only after case is

closed)

Assistance Part Two


Questions?

Not IG appropriate topicsFamily NonsupportCivilian IGARSWithdrawn Complaints

Untimely ComplaintsOffice of Record / InquiryCongressional, etc.IG Records

Assistance Part Two


Summary

What IG records or information may a local IG release?

Who may release IG records for adverse actions?

Explain how to process a FOIA request.

What is an IG Record?

the ig assistance function special cases & considerations part two ar 20-1, chapter 6, plus...

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