Ig appropriateness and managing cases 1 August 2018 Presented By: Mrs. Edwards and LtCol McCann POC: K. L. McCann (703) 604-4515 1

Enabling Learning Objectives With the aid of references, students will explain the difference between and provide examples of IG matters and Command matters With the aid of references, students will understand how to analyze a case and select a course of action following the TARDI rubric With the aid of references, students will explain when to redirect a Complaint and when to refer a Complainant, and the differences between the two actions With the aid of references, students will define ‘Assistance’ With the aid of references, students will differentiate the types of Investigative authorities and identify who possesses which type

Determine IG Appropriateness 11/6/2018 Senior Official* Other CIGs/Personnel in your office* Whistleblower Reprisal* Criminal Matters Sexual Assault Equal Opportunity Issues w/ other forms of redress, such as: NJPs, Court Martials, or Reductions Pending or Type of Discharge Changes to Records Fitness Reports or Relief for Cause Wrongs by Commander Financial Liability Civil disputes Security Clearances Claims NOT CIG Appropriate NOT CIG Appropriate * IG appropriate but not CIG appropriate

Determine IG Appropriateness 11/6/2018 CIG Appropriate Fraud: intentional deception to unlawfully deprive the U.S. of something of value or to secure from the U.S. a benefit, privilege, allowance, or consideration that a person/entity is not entitled. Waste: an expenditure that is significantly out of proportion to the benefit reasonably expected to accrue the government. Abuse: arbitrary or capricious exercise of power by a military member or a federal official or employee that adversely affects the rights of any person or results in personal gain or advantage to him/herself or to preferred other actions. Mismanagement: management action or inaction that creates a substantial risk of significant adverse impact on the on the agency’s ability to accomplish its mission. Matter must be more than de Minimis wrongdoing or simple negligence. Does not include management decisions merely debatable among reasonable people. NOT CIG Appropriate Senior Official Other CIGs/Personnel in your office Whistleblower Criminal Matters Sexual Assault Equal Opportunity Issues w/ other forms of redress, such as: NJPs, Court Martials, or Reductions Pending or Type of Discharge Changes to Records / Adverse Records Fitness Reports or Relief for Cause Wrongs by Commander Financial Liability Civil disputes Security Clearances Claims

Determine IG Appropriateness 11/6/2018 Guiding Principles 5 Basic Intake Questions Read the ENTIRE complaint – Yes, the whole thing. – Even if it’s long – The actual complaint is often hidden within an emotional catharsis Talk to the Complainant BEFORE you decide on a course of action Explain the concepts of Confidentiality, Privacy Act, and False Official Statement Is your chain of command aware of this matter? Have you asked any other agency to assist you? Do you have any supporting documentation? What is your status? What do you want the IG to do for you? IG Complaints do not resolve themselves and do not get better with age!

Things to Consider FACTORS TO CONSIDER WHEN RECEIVING THE COMPLAINT Open a case; follow up with Complainant Complainant has not contacted chain of command Complainant agrees to contact chain of command to resolve issue Complainant does not wish to use chain of command Ask why Concerned about reprisal or distrust chain of command Whether specific redress procedures are available FACTORS TO CONSIDER WHEN RECEIVING THE COMPLAINT Proceed with caution; open case Teach and train; open a case as a referral Whistleblower Reprisal Senior Officials IG Personnel Special Access Programs (SAP) or Sensitive Activities (SA)

So, What do We do With it? 11/6/2018

Select a Course of Action (COA) 11/6/2018 The right COA is not always singular. I nvestigate ssistance efer (Send your Complaint TAD) ecline (Don’t let your Complaint enlist) R D ransfer (PCS your Complaint) T A

T ransfer (PCS your Complaint) Transfer Assistance Refer Decline 11/6/2018 ransfer (PCS your Complaint) T Transfer Assistance Refer Decline Investigate Senior Official Alert IGMC Take no action Conflict of Interest for Directing Authority or IG Transfer case to higher level IG Subject is assigned to a different command than IG Request transfer to IG at the same command as subject Subject is assigned to a different service Transfer to other service IG via IGMC

T ransfer (PCS your Complaint) 11/6/2018 ransfer (PCS your Complaint) T Transfer Assistance Refer Decline Investigate That sounds GREAT! How do I get PCS orders for my Complaint? Enter the complaint in CMS Try to determine where the complaint should go If a USMC command, contact that command and give a heads-up. Do they already have a similar complaint? Make a note in CMS about why and to whom to transfer Contact IGMC to make the transfer Do Not Email the Complaint Form to another CIG: Enter in CMS and Call IGMC

A ssistance MOST of our work is Assistance. 11/6/2018 ssistance A Transfer Assistance Refer Decline Investigate MOST of our work is Assistance. Assistance enhances readiness and warfighting capabilities by eliminating conditions detrimental to the morale, efficiency, or reputation of the command. Assistance starts with an acknowledgement to the Complainant All complaints and investigations begin life as assistance cases

A ssistance Why Assistance? Help correct problems of unfairness 11/6/2018 ssistance A Transfer Assistance Refer Decline Investigate Why Assistance? Help correct problems of unfairness Bring matters to the attention of the chain of command to resolve at the lowest possible level Helps resolve complaints and issues and find solutions Assists the chain of command if it can’t resolve an issue Assistance is: A reactive function Informal fact-finding process Providing information or directing to resources

A ssistance Examples of IG Assistance 11/6/2018 ssistance A Transfer Assistance Refer Decline Investigate Examples of IG Assistance Phone calls Research Gathering information (and documenting in CMS) Getting the Complaint (issue) to the right place Getting the Complainant (person) to the right agency Assistance is NOT advocating for a complainant when they are in trouble Assistance is NOT a license for the IG to tell commanders how to command (your CG can do that…it’s not transferrable)

A ssistance Assistance also: 11/6/2018 ssistance A Transfer Assistance Refer Decline Investigate Assistance also: Gives the IG an opportunity to teach and train Allows the IG to reinforce the CG and HQMC policies, priorities, and concerns Gives the IG an opportunity to provide regulatory guidelines Shares lessons learned and best practices Goes a long way to remove the stigma of the IG; educates personnel on the IG and the assistance it provide

R efer (Send your Complaint TAD) What types of COMPLAINTS do I Refer? 11/6/2018 efer R (Send your Complaint TAD) Transfer Assistance Refer Decline Investigate What types of COMPLAINTS do I Refer? IF the Complaint is about a CRIME you will REFER the COMPLAINT Responsible for monitoring, follow-up, and closure Obligation to report; you don’t KNOW the Complainant will go to Law Enforcement/NCIS IF the Complaint is about SOCIAL MEDIA, REFER the COMPLAINT to NCIS If NCIS declines, proceed with IG Process

R efer (Send your Complaint TAD) What types of COMPLAINTS do I Refer? 11/6/2018 efer R (Send your Complaint TAD) Transfer Assistance Refer Decline Investigate What types of COMPLAINTS do I Refer? If the Complaint is a COMMAND ISSUE, refer the COMPLAINT to the commander The commander decides what to do with the Complaint If the commander investigates, it is NOT an IG investigation CIG does not direct the commander to do anything (appropriate action; investigative merit determined by the commander) If the CIG tells the commander to investigate/conduct an inquiry, that makes it an IG INVESTIGATON or INQUIRY Anything your Directing Authority wants to maintain visibility on Each CG will have his/her own hot-button issues Refer the COMPLAINT so that you will get a response and know that appropriate action was taken If the commander does a PI/ CI on a Command Issue, it is NOT an IG Investigation

R edirect ‘R’ also stands for REDIRECT 11/6/2018 edirect R Transfer Assistance Refer/Redirect Decline Investigate ‘R’ also stands for REDIRECT Refer/Redirect a COMPLAINANT when: The Complainant identified issues with another form of redress The Complainant identified issues where neither the command nor the IG can assist The Complainant is a civilian or contractor making a workplace, conditions of employment, or whistleblower reprisal complaint EO (military) or EEO (civilian) Article 138 Complaints of Wrongs Legal matters (NJP appeals, AdSep Boards, Courts, etc.) Records corrections Scams TRICARE complaints Claims against the government Civil matters

R edirect To REDIRECT a COMPLAINANT: Open a case in CMS 11/6/2018 edirect R Transfer Assistance Refer/Redirect Decline Investigate To REDIRECT a COMPLAINANT: Open a case in CMS REDIRECT/REFER the COMPLAINANT to the appropriate agency Provide specific information on how to contact the correct agency (BEST PRACTICE: do this in writing and document in CMS) Annotate your actions in CMS; attach all correspondence; be detailed

R efer (Send your Complaint TAD) How do I decide? 11/6/2018 efer R (Send your Complaint TAD) Transfer Assistance Refer/Redirect Decline Investigate How do I decide? Redirect a Complainant when there is another form of redress, more appropriate venue, or nothing either the CIG or the Commander can do Refer a Complaint when it falls under your Directing Authority’s (CG) cognizance and is NOT an IG matter NOTE: When you REFER a case, you STILL NEED TO: Track its resolution Close the case in CMS Follow-up with the Complainant and provide a resolution

D ecline Not often, we DECLINE (don’t let your Complaint enlist): 11/6/2018 ecline D (Don’t let your Complaint enlist) Transfer Assistance Refer Decline Investigate Not often, we DECLINE (don’t let your Complaint enlist): Cases that lack timeliness Complaints already addressed with no new information provided Anonymous cases that lack sufficient information to analyze Repeat offenders who may be presenting less than possible complaints (you know the ones…) Frivolous complaints If everything the Complainant says was true, there would be no violation

I nvestigate INVESTIGATE 11/6/2018 nvestigate I Transfer Assistance Refer Decline Investigate INVESTIGATE CIGS will NOT investigate Senior Officials, other CIGS, or Whistleblower Reprisal (report these issues to IGMC w/in 1 business day) You must have an allegation of wrongdoing by an individual over whom your Directing Authority (CG) has cognizance Before you begin an investigation Consult with your SJA Identify the standard violated Craft an allegation Obtain Directing Authority approval Notify the subject and the subject’s command (in writing)

I nvestigate INVESTIGATE CIGs do NOT investigate COMMANDERS’ issues 11/6/2018 nvestigate I Transfer Assistance Refer Decline Investigate INVESTIGATE CIGs do NOT investigate COMMANDERS’ issues If a CIG refers an issue to the command, and the commander convenes a PI/CI, it is NOT an IG Investigation No HCR; no allegations in CMS; no substantiated/not substantiated in CMS The PI or CI is provided to the CIG as an attachment to the referral response No subjects or allegations are put in CMS Commander responsible for any ODN entries Commanders don’t investigate IG Matters If the CIG refers IG issues to the command (RFIs), and the command does a PI/CI, it is an IG INVESTIGATION NOT a JAGMAN; done under IG Authorities An HCR and LSR are required

Questions?