The Inspector General Assistance Function

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Presentation transcript:

The Inspector General Assistance Function “We’re here to help.” Part One

Your Assistance Instructor Room 2106 (703) 805-3897 DSN 655-3897 U.S. Army Inspector General School 2

U.S. Army Inspector General School 3 Administrative Notes Please be on time Please use table mics Please avoid sidebar conversations Please do not surf the Web during the class Student Course Evaluation I want to hear from you, but please be specific U.S. Army Inspector General School 3

U.S. Army Inspector General School 4 Assistance Overview The Seven-Step Inspector General Action Process (IGAP) Apply the IGAP in Practical Exercises Receive a walk-in IGAR Extended Practical Exercise --IGARS 5.5 (Hands on) IG Issues U.S. Army Inspector General School 4

U.S. Army Inspector General School 5 Assistance Overview Guest Speakers DAIG Assistance Division (DAIG Panel) IG Records Healthcare Issues for IGs Personnel Suitability Screening Process (PSSP) SHARP Homework Due by 0800 on Day 7 Quiz 20-Question Quiz on Day 7 U.S. Army Inspector General School 5

U.S. Army Inspector General School 6 References Advance Sheets, pages 11-12 The Assistance and Investigations Guide, Parts One and Two AR 20-1, Inspector General Activities and Procedures AR 600-20, Army Command Policy AR 608-99, Family Support, Child Custody, and Paternity https://www.milsuite.mil U.S. Army Inspector General School 6

Assistance Terminal Learning Objective Action: Resolve complaints and issues for an individual using the Inspector General Action process.   Conditions: Given Army Regulation 20-1, The Assistance and Investigations Guide, Army Regulation 608-99, classroom handouts, classroom instruction, and IGAR topics. Standard: Correctly apply the seven-step Inspector General Action Process (IGAP) to resolve Inspector General Action Requests (IGARs), describe the Inspector General concept of confidentiality, and describe the policy guidelines regarding Inspector General Records. U.S. Army Inspector General School 7

Enabling Learning Objectives (ELOs) Advance Sheets, pages 11-12

U.S. Army Inspector General School 9 ELO ELOs Identify who may submit an IG complaint. Describe the purpose and uses of the DA Form 1559 (IGAR). Describe the seven-step Inspector General Action Process (IGAP) used to receive, process, and resolve Inspector General Action Requests (IGARs). U.S. Army Inspector General School 9

U.S. Army Inspector General School 10 ELOs Describe the IG concept of confidentiality and what steps an IG should take if the IG must release a complainant’s name during the course of an Inquiry or Investigation. Identify issues and allegations that are not appropriate for the IG, and describe how the IG must process those IGARs. Describe the commander’s role in receiving and resolving non-support cases in accordance with AR 608-99. U.S. Army Inspector General School 10

U.S. Army Inspector General School 11 ELOs Describe the IG’s role in receiving and resolving non-support cases in accordance with AR 20-1. Describe the actions an IG should take when a complainant withdraws a complaint. Describe what constitutes an untimely IGAR and the procedures for processing an untimely IGAR. U.S. Army Inspector General School 11

U.S. Army Inspector General School 12 ELOs Identify who is authorized to release IG records for official use within Department of the Army channels and what records a local IG may release. Identify who is authorized to release IG records for adverse action. Identify who is authorized to release IG records outside of Army channels for non-official use and how to process a Freedom of Information Act (FOIA) request. U.S. Army Inspector General School 12

U.S. Army Inspector General School 13 ELOs 13. Demonstrate the process of receiving an IGAR by conducting an interview, completing a DA Form 1559 (IGAR), asking the fundamental interview questions, advising the complainant of the Privacy Act, and protecting confidentiality. 14. Demonstrate the process of opening and closing an Assistance Case in the IGARS database. U.S. Army Inspector General School 13

Categories of IGs AR 20-1, para. 2-2

Inspectors General Categories and Duties IG FUNCTIONS Category of IG Inspec-tion Assis-tance Inv. Inquiry Investi-gation Detailed Lead Assistant Assist Temporary Assistant Acting No Admin Office Spt. No* * * * Unless approved & graduate of TIGS AR 20-1, para. 2-2 U.S. Army Inspector General School 15

U.S. Army Inspector General School 16 Other IG Categories Unwilling or Unable Don’t do their jobs correctly (Slept through IG course) Take sides during an inquiry Fail to assist complainants Do not take care of the commander, the Soldiers, the chain of command, or the Army Decertified Pretended to be commanders / 1SGs / CSMs Released IG records without authority U.S. Army Inspector General School 16

U.S. Army Inspector General School 17 An IG Class then ... U.S. Army Inspector General School 17

U.S. Army Inspector General School 18 ... and now U.S. Army Inspector General School 18

AR 20-1, Chapter 6, plus A&I Guide, Part One, Chapters 1 and 2 Assistance AR 20-1, Chapter 6, plus A&I Guide, Part One, Chapters 1 and 2

U.S. Army Inspector General School 20 Why do Assistance? Correct injustices (real or perceived) Provide the Soldier with an alternative to the chain of command when the chain of command is unable to solve the problem Enhance combat readiness and warfighting capability by maintaining the Soldier’s morale and focus U.S. Army Inspector General School 20

The Assistance Function Render assistance Help Commanders correct injustices Eliminate conditions detrimental to the efficiency or reputation of the Army Record and analyze data for corrective action Report on the status of the Army U.S. Army Inspector General School 21

The Assistance Function Major contributor to the IG workload Complements Inspections and Investigations Teaching and training U.S. Army Inspector General School 22

The Assistance Function Across the Army Assistance and Investigations functions are usually combined (A & I Branch) (DAIG has an additional Investigations Division for Senior Official Investigations) Heavy use of “IG Tech Channels” Conducted on an area basis AR 20-1, para. 1-6 U.S. Army Inspector General School 23

Inspector General Action Request Assistance is the process of receiving, inquiring into, and responding to an Inspector General Action Request ... Complaints Request for information Request for help ... presented or referred to an IG. IGAR A&I Guide, Part One, Sect. 1-1 U.S. Army Inspector General School 24

U.S. Army Inspector General School 25 Who can Submit an IGAR? Soldiers (Active, USAR, & ARNG) Anonymous Department of Army Civilians Family Members Retirees / Veterans Commanders Other Services Government Agencies Civilian-Civilians Media Contractors Third Parties Foreign Nationals Referrals from: Other IGs Congress White House U.S. Army Inspector General School 25

U.S. Army Inspector General School 26 Who can Submit an IGAR? ELO 1 Soldiers (Active, USAR, & ARNG) Anonymous Department of Army Civilians Family Members Retirees / Veterans Commanders Other Services Government Agencies Civilian-Civilians Media Contractors Third Parties Foreign Nationals Referrals from: Other IGs Congress White House Anyone No precondition for coming to the IG AR 20-1, para. 6-1 A&I Guide, Part One, Sect. 1-2 U.S. Army Inspector General School 26

U.S. Army Inspector General School 27 DA Form 1559 (IGAR) ELO 2 Base-control document Document workload Identify trends Identify systemic issues AR 20-1, para. 6-1 A&I Guide, Part One, Sect. 1-3 U.S. Army Inspector General School 27

U.S. Army Inspector General School 28 DA Form 1559 Privacy Act SSN is not always needed Good contact information Inspector General Action Request What do you want the IG to do? Background information, details Date and signature A&I Guide, Part One, Sect. 1-3-1 U.S. Army Inspector General School 28

form to the complainant U.S. Army Inspector General School 29 Here’s the IGARS Electronic Database 1559 Form Do not give this form to the complainant A&I Guide, Part One, Sect. 1-3-2 U.S. Army Inspector General School 29

U.S. Army Inspector General School 30 Summary Define “Detailed IG” and explain what functions a Detailed IG can lead. Define “Assistant IG” and explain what functions an Assistant IG can lead. Define “Temporary Assistant IG” and explain the functions of a Temporary Assistant IG. U.S. Army Inspector General School 30

U.S. Army Inspector General School 31 Summary (continued) Define “Acting IG” and explain the functions of an Acting IG. Define Assistance. Who may submit an IG complaint? What is the purpose and use of DA Form 1559? U.S. Army Inspector General School 31

U.S. Army Inspector General School 32 Assistance “The day Soldiers stop bringing you their problems is the day you have stopped leading them. They have either lost confidence that you can help them or concluded that you do not care. Either case is a failure of leadership.” General Colin Powell U.S. Army Inspector General School 32

Inspector General Action Process (IGAP) ELO 3 A&I Guide, Part One, Chapter 2 AR 20-1, para. 6-1 U.S. Army Inspector General School 33

The Seven-Step IGAP Step One Step 1 Receive the IGAR AR 20-1, para. 6-1d (1) A&I Guide, Part One, Sect. 2-2 U.S. Army Inspector General School 34

U.S. Army Inspector General School 35 STEP 1: Receive the IGAR IGARs come from the in crowd: Walk-in Call-in Write-in E-mail-in In the Gym / PX A&I Guide, Part One, Sect. 2-2 U.S. Army Inspector General School 35

STEP 1: Receive the IGAR Walk-Ins Private area Put complainant at ease Actively listen Maintain control Establish rapport but don’t buy in or be an advocate Remember: Each story has at least sides three Complainant Other person Truth A&I Guide, Part One, Sect. 2-2-1 U.S. Army Inspector General School 36

STEP 1: Receive the IGAR Walk-Ins (continued) Fundamental interview questions to ask: 1. What do you want the IG to do for you? 2. Do you have any supporting documentation? 3. Have you requested assistance from any other source or agency? 4. Have you given your chain of command an opportunity to address the problem? 5. What is your status? U.S. Army Inspector General School 37

STEP 1: Receive the IGAR Walk-Ins (continued) Complete the DA Form 1559 Advise of Privacy Act Disclosure of SSN is voluntary unless needed to resolve issue IGs can assist in drafting Read back and clarify to ensure issues are understood Have complainant sign Complainant may have a copy of the DA Form 1559 Do I need to complete this form? U.S. Army Inspector General School 38

U.S. Army Inspector General School 39 Poorly Written DA Form 1559 Who is the complainant? What’s his or her status? What’s his or her duty phone number? What does he or she want the IG to do? U.S. Army Inspector General School 39

STEP 1: Receive the IGAR Walk-Ins (continued) End the interview without commitment except to say that: We will look into the matter We will provide a response (if not 3rd party) Complainant may have a copy of the DA Form 1559 U.S. Army Inspector General School 40

STEP 1: Receive the IGAR Confidentiality ELO 4 Ethically comparable to the doctor-patient relationship Protects individual privacy and maintains confidence in the IG System Need not be specifically requested AR 20-1, para. 1-12 A&I Guide, Part One, Sect. 2-2-1e U.S. Army Inspector General School 41

Confidentiality is Not Guaranteed Nature of the issue Official use within the Army By direction of TIG Legal proceedings (call DAIG Legal) If disclosure is unavoidable, try to contact complainant before disclosure and attempt to obtain a Privacy Act release statement (example: DA Form 7433) U.S. Army Inspector General School 42

Triangle of Confidentiality Degree of Protection Individual Privacy Interest Inspection Reports (less) Amount of Information Released by IG (more) Assistance Inquiry Investigation / Investigative Inquiry Directing Authority Commanders and Staff necessary to solve problem Commanders, Staff, and others who are part of the solution IGs Complainant Witness / Complainant Inspections information sources (Soldiers, commanders, units, etc.) Teach and Train **SJA** Protect privacy Minimize risk of reprisal Maintain confidence in the IG system **SJA vs. JAG AR 20-1, para. 1-12 U.S. Army Inspector General School 43

STEP 1: Receive the IGAR Call-Ins Ask for written follow-up if necessary Supporting documents Read Privacy Act Read back the DA Form 1559 Write “Telephonic” in signature block of the DA Form 1559 A&I Guide, Part One, Sect. 2-2-2 U.S. Army Inspector General School 44

STEP 1: Receive the IGAR Write-Ins No need to transfer information to DA Form 1559 See attached letter A&I Guide, Part One, Sect. 2-2-3 U.S. Army Inspector General School 45

STEP 1: Receive the IGAR E-mail Treat as a "call-in" complaint Respond in a new message Request an address and phone number Use a generic subject line “Your E-mail” NOT “Your IG Complaint” E-mail is not “protected” -- unless IGNET AR 20-1, para. 6-1 f (4) A&I Guide, Part One, Sect. 2-2-4 U.S. Army Inspector General School 46

STEP 1: Receive the IGAR Anonymous Process like any other IGAR Don’t try to figure out who it is If insufficient information, close the case Substantiation rate for anonymous allegations is generally slightly higher than signed IGARs AR 20-1, para. 6-2a A&I Guide, Part One, Sect. 2-2-5 U.S. Army Inspector General School 47

The Seven-Step IGAP Step One Step 1 Receive the IGAR AR 20-1, para. 6-1d (1) A&I Guide, Part One, Sect. 2-2 U.S. Army Inspector General School 48

Practical Exercise - Stough STEP 1: Receive the IGAR Conduct the interview Complete DA Form 1559 U.S. Army Inspector General School 49

U.S. Army Inspector General School 50 Summary In what step of the seven-step IGAP process do we receive the IGAR? When receiving the IGAR, what are the fundamental interview questions we ask the complainant? How do we refer to confidentiality in the IG system? Do IGs ever guarantee confidentiality? U.S. Army Inspector General School 50

The Seven-Step IGAP Step Two Step 2 Preliminary Analysis Identify Issues / Allegations Determine IG Appropriateness Open Case in IGARS Acknowledge Receipt Select a Course of Action (Obtain Authority) AR 20-1, para. 6-1d (2) A&I Guide, Part One, Sect. 2-3 U.S. Army Inspector General School 51

STEP 2: Conduct IG Preliminary Analysis (IGPA) A thought process to determine how best to proceed. May take minutes / hours / days Sub-Steps of Preliminary Analysis Identify issues / allegations Determine IG appropriateness Open the case in IGARS Acknowledge receipt Select COA AR 20-1, para. 6-1d (2) A&I Guide, Part One, Sect. 2-3 U.S. Army Inspector General School 52

STEP 2: Conduct IGPA Identify Issues / Allegations IGs should always look for: Larger issues Implied allegations Systemic problems Condoning of wrongdoing AR 20-1, para. 6-1d (2) (b) A&I Guide, Part One, Sect. 2-3-1 U.S. Army Inspector General School 53

STEP 2: Conduct IGPA Identify Issues / Allegations Definitions: Issue: -- Request for information (RFI) -- Complaint: expression of dissatisfaction or problem requiring assistance to resolve ASSISTANCE, FOUNDED or UNFOUNDED Allegation: a complaint that lists “who” improperly did / did not do something in violation of a standard SUBSTANTIATED or NOT SUBSTANTIATED I see an issue. And here is an allegation! AR 20-1, para. 7-2b A&I Guide, Part One, Sect. 2-3-1 U.S. Army Inspector General School 54

STEP 2: Conduct IGPA Identify Issues / Allegations REQUEST FOR INFORMATION COMPLAINT Standard IGAR Information IGAR Asst Inquiry Referral / T&T A F or U A U.S. Army Inspector General School 55

STEP 2: Conduct IGPA Determine IG Appropriateness If the matter is Army related, you decide: What is appropriate for the IG to work Or refer to: Chain of command Other agencies Other IGs Many matters raised to an IG may not be appropriate for the IG to work AR 20-1, para. 6-3 A&I Guide, Part One, Sect. 2-3-2 U.S. Army Inspector General School 56

STEP 2: Conduct IGPA Determine IG Appropriateness Do not automatically categorize the whole IGAR as not IG appropriate Example: “Someone broke the window on my car, took my iPhone and I can’t pay for it because I did not yet receive my travel pay from seven months ago.” Refer broken window to Military Police Investigations (MPI) for action IG will work the travel-pay issue Remember to look for systemic issues U.S. Army Inspector General School 57

STEP 2: Conduct IGPA Open the Case in IGARS Open case in Inspector General Action Request System (IGARS) Database Used by IGs world-wide See A&I Guide for allegations against Senior Officials, USMA Permanent Associate Professors (Section 3-6), and members of Army Special Access Programs or of Sensitive Activities (Section 3-7) AR 20-1, para. 6-1d (2) (j) A&I Guide, Part One, Sect. 2-3-3 U.S. Army Inspector General School 58

STEP 2: Conduct IGPA Acknowledge Receipt Verbal or written If issue is IG appropriate: AND complainant has right to know, inform him or her that you will provide a response BUT the complainant is not directly affected: Send a third-party response thanking the individual for his or her concern and telling the person that you will look into the matter AR 20-1, para. 6-1d (2) (a) A&I Guide, Part One, Sect. 2-3-4 U.S. Army Inspector General School 59

U.S. Army Inspector General School 60 Third-Party IGARs Response to third party depends on: Right to know Individual concerned consents to release of information A&I Guide, Part One, Sect. 2-3-4-2 U.S. Army Inspector General School 60

STEP 2: Conduct IGPA Acknowledge Receipt If issue is not IG appropriate: Inform the complainant why not appropriate Provide information of appropriate office (contact info, certain formats) Example: Army Board for Correction of Military Records (ABCMR) requires submissions on DD Form 149, Application for Correction of Military Record Forward to that agency if possible U.S. Army Inspector General School 61

STEP 2: Conduct IGPA Select a Course of Action Inspection Assistance Inquiry Investigative Referral to another agency Inquiry - (CIG) or Investigation – (DA) A&I Guide, Part One, Sect. 2-3-5 U.S. Army Inspector General School 62

STEP 2: Conduct IGPA Selection of Course of Action IG INSPECTION: Detailed IG Assistant IG Focus on systemic issues Root Cause Recommendation for corrections (“stuckee”) Directing Authority determines scope and content (Directive) ASSISTANCE INQUIRY: Detailed, Assistant, Acting IG Resolve issues, request for assistance, help, information Not allegations An informal fact-finding process U.S. Army Inspector General School 63

STEP 2: Conduct IGPA Selection of Course of Action INVESTIGATIVE INQUIRY Detailed IG Resolve Allegations Informal fact-finding process INVESTIGATION: Detailed IG Resolve Allegations Formal fact-finding process (Directing Authority’s directive) Investigations Block U.S. Army Inspector General School 64

STEP 2: Conduct IGPA Selection of Course of Action REFERRAL to: Chain of Command (keep case open and monitor) Different Command (refer in IGARS, close case) Equal Opportunity, Equal Employment Opportunity Criminal Investigations Command or Military Police Investigations Army Board for Correction of Military Records U.S. Army Inspector General School 65

The Seven-Step IGAP Step Two Step 2 Preliminary Analysis Identify Issues / Allegations Determine IG Appropriateness Open Case in IGARS Acknowledge Receipt Select a Course of Action (Obtain Authority) AR 20-1, para. 6-1d (2) A&I Guide, Part One, Sect. 2-3 U.S. Army Inspector General School 66

Practical Exercise - Stough STEP 2: Conduct IG PA Issues: Allegations: IG Appropriate: Open Case in IGARS: Acknowledge Receipt: COA: Household goods delivery None Yes During EPE See Letter Assistance Inquiry U.S. Army Inspector General School 67

The Seven-Step IGAP Step Three Step 3 Initiate Referrals Make Initial Notifications AR 20-1, para. 6-1d (3) A&I Guide, Part One, Sect. 2-4 U.S. Army Inspector General School 68

STEP 3: Initiate Referrals & Make Initial Notifications Matters that are not IG appropriate Refer to the proper agency (Veterans Affairs, Criminal Investigations Division, another IG office, etc.) Close the case Exception: Matters referred to the local chain of command IG will monitor the case to ensure the chain of command takes proper action Then close the case A&I Guide, Part One, Sect. 2-4-1 U.S. Army Inspector General School 69

STEP 3: Initiate Referrals & Make Initial Notifications If allegations, initial notifications are required for subject / suspect and supervisor / commander. Wait for the Inquiries and Investigations block of instruction to hear all about it! AR 20-1, para. 7-1b (3) A&I Guide, Part One, Sect. 2-4-2 U.S. Army Inspector General School 70

The Seven-Step IGAP Step Three Step 3 Initiate Referrals Make Initial Notifications AR 20-1, para. 6-1d (3) A&I Guide, Part One, Sect. 2-4 U.S. Army Inspector General School 71

Practical Exercise - Stough STEP 3: Initiate Referrals & Make Initial Notifications For this Assistance Inquiry: None U.S. Army Inspector General School 72

The Seven-Step IGAP Step Four Investigation / Investigative Inquiry ----- Plan Gather Evidence Evaluate Evidence Write Report Obtain Legal Review Obtain Approval Assistance Inquiry Gather Information Evaluate Information Resolve Issue(s) Documents IG Observations Testimonies Physical Objects Telephone Calls Make Contacts Coordinate Report Inspection Follow the IG Inspections Proces s Step 4 IG Fact Finding A&I Guide, Part One, Sect. 2-5 U.S. Army Inspector General School 73

STEP 4: Conduct IG Fact-Finding Authority to conduct “Fact-Finding” for: Inspection (Requires Directive from the Directing Authority) Assistance Inquiry (No permission needed) Investigative Inquiry (Directed by the Command IG or State IG) Investigation (Requires Directive from the Directing Authority) A&I Guide, Part One, Sect. 2-5 U.S. Army Inspector General School 74

STEP 4: Conduct IG Fact-Finding Assistance Inquiry Plan Gather information Documents Telephone calls Fax Etc. Evaluate information Resolve issue(s) U.S. Army Inspector General School 75

The Seven-Step IGAP Step Four Investigation / Investigative Inquiry ----- Plan Gather Evidence Evaluate Evidence Write Report Obtain Legal Review Obtain Approval Assistance Inquiry Gather Information Evaluate Information Resolve Issue(s) Documents IG Observations Testimonies Physical Objects Telephone Calls Make Contacts Coordinate Report Inspection Follow the IG Inspections Process Step 4 IG Fact Finding A&I Guide, Part One, Sect. 2-5 U.S. Army Inspector General School 76

Practical Exercise - Stough STEP 4: Conduct IG Fact-Finding Call Fort Von Steuben (FVS) Transportation Office: SPC Stough’s household goods are due to arrive at Fort Von Steuben this week and should be delivered by end of next week. U.S. Army Inspector General School 77

The Seven-Step IGAP Step Five Step 5 Make Notification of Results AR 20-1, para. 6-1d (4) A&I Guide, Part One, Sect. 2-6 U.S. Army Inspector General School 78

STEP 5: Make Notification of Results If IG provided assistance, provide the complainant information pertaining directly to him / her. Remember third-party and Privacy Act rules! Notifications need to be annotated in case notes in IGARS database More during Investigations for subject / suspect and supervisor / commander notifications AR 20-1, 6-1d (4) A&I Guide Part One, Sect. 2-6 U.S. Army Inspector General School 79

The Seven-Step IGAP Step Five Step 5 Make Notification of Results AR 20-1, para. 6-1d (4) A&I Guide Part One, Sect. 2-6 U.S. Army Inspector General School 80

Practical Exercise - Stough STEP 5: Make Notification of Results Call SPC Stough: Household goods just arrived and should be delivered by the end of next week. U.S. Army Inspector General School 81

The Seven-Step IGAP Step Six Step 6 Follow-Up AR 20-1, para. 6-1d (5) A&I Guide, Part One, Sect. 2-7 U.S. Army Inspector General School 82

STEP 6: Conduct Follow-up IG can contact complainant, the complainant can contact the IG, or the IG can address in a future inspection Ensure issues were thoroughly addressed Ensure all IG responsibilities are fulfilled AR 20-1, para. 6-1d (5) A&I Guide, Part One, Sect. 2-7 U.S. Army Inspector General School 83

The Seven-Step IGAP Step Six Step 6 Follow-Up AR 20-1, para. 6-1d (5) A&I Guide, Part One, Sect. 2-7 U.S. Army Inspector General School 84

Practical Exercise - Stough STEP 6: Conduct Follow-up Call SPC Stough to see if household goods were delivered. Ensure issues were thoroughly addressed Ensure all IG responsibilities are fulfilled U.S. Army Inspector General School 85

The Seven-Step IGAP Step Seven Step 7 Close the IGAR AR 20-1, para. 6-1d (6) A&I Guide, Part One, Sect. 2-8 U.S. Army Inspector General School 86

U.S. Army Inspector General School 87 STEP 7: Close the IGAR Provide complainant a final reply Close the file in IGARS database Make appropriate reports Analyze developing trends AR 20-1, para. 6-1d (6) A&I Guide, Part One ,Sect. 2-8 U.S. Army Inspector General School 87

STEP 7: Close the IGAR Final Reply to Complainant Prepare a response to the complainant: Address the complaint Summarize the facts and conclusions that pertain to the complainant Maintain confidentiality Annotate in IGARS case file Dear COL Saunders, This responds to your April 1, 2009, letter to the IG . . . A&I Guide, Part One, Sect. 2-8-1 U.S. Army Inspector General School 88

STEP 7: Close the IGAR Final Reply to Complainant (continued) Replies normally will not contain: Classified information Information / documents from outside agencies without their permission Identity of sources or techniques used All information surfaced Results of disciplinary action Information that violates privacy of others U.S. Army Inspector General School 89

STEP 7: Close the IGAR Final Reply to Complainant (continued) Third-party complaint Privacy Act release No right to know results if the issues do not directly pertain to complainant. U.S. Army Inspector General School 90

STEP 7: Close the IGAR Close the File in IGARS Function code that best describes each issue or allegation Be as specific as possible Accurate entries make the database useful and the information gleaned from it meaningful Agency / Command Codes Location of the allegation, issue, or complaint If your CG can’t fix it, don’t use your command code AR 20-1, para. 6-1d (6) A&I Guide, Part One, Sect. 2-8-2 U.S. Army Inspector General School 91

U.S. Army Inspector General School 92 STEP 7: Close the IGAR Close the File in IGARS (continued) Determination Codes: A F U S N Issues use A - Assistance / F - Founded / U - Unfounded Providing advice or guidance IG resolves the request for assistance Referral to an agency other than the IG to resolve the problem Example: A criminal complaint referred to Criminal Investigations Division. The IG provided assistance by placing the complaint into the proper channels. U.S. Army Inspector General School 92

STEP 7: Close the IGAR Close the File in IGARS (continued) Determination Codes: A F U S N Allegations: S - SUBSTANTIATED Use the conclusion “substantiated” when a preponderance of credible evidence exists to prove the allegation. N - NOT SUBSTANTIATED Use the conclusion “not substantiated” when a preponderance of credible evidence does not exist to support the allegation. U.S. Army Inspector General School 93

STEP 7: Close the IGAR Close the File in IGARS (continued) Finish Case notes A chronological listing of a case history used to identify fully the complainant, the allegations, issues, or assistance requested; the subject / suspect of the allegations; the actions taken in resolving the case (POCs, phone numbers, notifications, etc.); and the final outcome. Start each entry with the date and the action officer’s name, for example: A&I Guide Part One, Sect. 2-3-3 U.S. Army Inspector General School 94

U.S. Army Inspector General School 95 Example of Case Notes 04 / 10 / 2010 (Richard Britton) SPC Complaint called requesting assistance in getting proficiency pay initiated. 04 / 12 / 2010 (Bruno Shoulder) Called the installation finance office to inquire into complainant’s request. Mr. Won, (703) 805-1111, informed me that they were aware of the problem and that the paperwork has been located. Mr. Won felt that the pay issue should be resolved by the end of next week. U.S. Army Inspector General School 95

STEP 7: Close the IGAR Close the File in IGARS (continued) Complete synopsis Stand-alone document Who, what, when, where, and how Substantiated / not substantiated; Founded / unfounded A&I Guide, Part One, Sect. 2-8-2 U.S. Army Inspector General School 96

STEP 7: Close the IGAR Make Appropriate Reports These reports are covered in your local Standing Operating Procedures (SOP) AR 20-1, para. 6-1d (6) A&I Guide, Part One, Sect. 2-8-3 U.S. Army Inspector General School 97

STEP 7: Close the IGAR IGAR Analysis Trends Look for both positive and negative trends Ensure all IGs are coding similar cases with same function codes Look for seasonal trends Systemic issues Office workload Source of IGARs Most frequent function codes Most substantiated function codes A&I Guide, Part One, Sect. 2-8-4 U.S. Army Inspector General School 98

U.S. Army Inspector General School 99 STEP 7: Close the IGAR If complainant is not satisfied with response: Reexamine inquiry and response for completeness at local level Refer to next higher IG Don’t take it personally!! AR 20-1, para. 6-1d (6) (d) U.S. Army Inspector General School 99

The Seven-Step IGAP Step Seven Step 7 Close the IGAR AR 20-1, para. 6-1d (6) A&I Guide, Part One, Sect. 2-8 U.S. Army Inspector General School 100

Practical Exercise - Stough STEP 7: Close the IGAR Send final reply Close case in IGARS Make appropriate reports Analyze for trends / systemic issues See Letter Function Code – 34D (Personal Property Movement) Determination Code -- F (Founded) IG Command Code -- OTR (Fort Von Steuben) Case Notes Synopsis U.S. Army Inspector General School 101

Inspector General Action Process (IGAP) A&I Guide, Part One, Chapter 2 U.S. Army Inspector General School 102

U.S. Army Inspector General School 103 Questions? U.S. Army Inspector General School 103

U.S. Army Inspector General School 104 Summary What are the five sub-steps to IGPA? Are all issues / allegations always explicitly stated by the complainant? When do you NOT enter a case into the IGARS database? When referring a case to the local chain of command, do we keep the case open or close the case? U.S. Army Inspector General School 104

U.S. Army Inspector General School 105 Summary In Step Two, Course of Action selection, what are your options? IG Fact-Finding consists of what items? In Step Five, when making notifications, what information do we provide to the complainant? In Step Six, why do we conduct follow-up? Step Seven, Close the IGAR, consists of what four items? U.S. Army Inspector General School 105