1. Top 10 Tips for A “Mission Capable”
9 August 2017
Presented By: Assistance & Investigations Division 1

2. Agenda 1. Complaint Analysis 2. IGMC Tasking to CIG
3. CIG Tasking to Command
4. Confidentiality
5. Notifications
6. The Hotline Completion Report (HCR)
7. Non-IG Matters
8. Social Media Matters
9. Senior Official Complaint Notification
10. Retaliation Complaint Notification 1

3. IGMC Tasking to CIG Command INFO Command ACTION
Command ISSUES & Issues w/ other forms of redress
CIG owes IGMC – Referral Response Letter
ISSUES are Founded or Unfounded
Command ACTION
Command ISSUES & Issues w/ other forms of redress when tasked by DoDIG as ACTION Referrals
CIG owes IGMC – Hotline Completion Report (HCR)

4. IGMC Tasking to CIG Inspector General INFO Inspector General ACTION
Fraud, Waste, Abuse & Mismanagement (FWA/M) ISSUES
CIG owes IGMC – Referral Response Letter
Issues are Founded or Unfounded
Inquiry need Legal Concurrence
Inspector General ACTION
FWA/M ALLEGATIONS
CIG owes IGMC – HCR / LSR / Command Endorsement
Allegations are Substantiated or Not Substantiated
TRANSFER of CASES

5. CIG Tasking to Command INTERVIEW COMPLAINANT BEFORE TASKING COMMAND
Clear Tasking – ensure understanding that interviewing the SUBJECT = an INVESTIGATION (Formulate allegations for the IO)
What if Command (or CIG) do something other than the IGMC Tasker requires?

6. Confidentiality Anonymous Complaint Complainant identity is unknown
Confidential Complaint
Protect the Complainant
Good afternoon, Ladies and Gentlemen:
I am Captain Bevacqua, and I will be covering the next 3 slides on Confidentiality and Notifications.
-A Complainant may request CONFIDENTIALITY or to remain ANONYMOUS.
-If a Complainant requests CONFIDENTIALITY, we will make every effort to protect their identity from disclosure; however, we cannot guarantee CONFIDENTIALITY since disclosure may be required during the investigation or in the course of corrective action.
-If a complaint is submitted ANONYMOUSLY, we will not be able to contact the Complainant to request additional information, if needed, or to give the results of an inquiry or investigation.
-Please note, if a complaint is submitted ANONYMOUSLY, but the Complainant is identified within the complaint, the complaint is no long ANONYMOUS. Please update CMS to reflect this new found information.
Does anyone have any questions concerning Confidentiality?

7. BEST PRACTICE – GET IT IN WRITING!
NOTIFICATIONS
BEST PRACTICE – GET IT IN WRITING!
Complainant
Acknowledgement letter
Closure letter
Command
Identity of the Subject
Allegation(s)
Subject
BEFORE interview – Subject Notification letter
AFTER investigation – Results of investigation
For Assistance Cases.
-An Acknowledgement needs to be sent to the Complainant. If the Complainant is ANONYMOUS, disregard this information. In the Acknowledgement letter include the DATE THE COMPLAINT WAS SUBMITTED, THE OFFICE IN WHICH THE COMPLAINT WAS RECEIVED, THE ISSUE(S) RAISED IN THE COMPLAINT – this should be broad and covered with one of the Case Sub Type options (i.e. Fraud, Waste, Abuse, or Mismanagement / Misconduct / etc.), and the Action Officer’s contact information for the complaint.
-Upon completion of the case, a Closure letter needs to be sent to the Complainant. The closure letter will once again cover the DATE THE COMPLAINT WAS SUBMITTED, THE OFFICE IN WHICH THE COMPLAINT WAS RECEIVED, THE ISSUE(S) RAISED IN THE COMPLAINT, and either referring the Complainant to another agency with an ACK_END OR letting the Complainant know that appropriate action has been taken with an END_OC. The Complainant DOES NOT need to know the type of corrective action taken.
For Investigations.
-Before an interview, a Subject Notification letter will be sent to the Subject. This letter will state the allegation(s), the Subject’s rights and responsibilities, and the Investigator’s contact information. Additionally, for the CIGs there will be two endorsements. The FIRST ENDORSEMENT is for the Subject, and will document the time and date that the Subject was notified, and who notified the Subject. The SECOND ENDORSEMENT is for the Commander, and will document the time and date that the Commander was notified, and who notified the Commander. The Subject Notification can be communicated via phone or .
-The Command will receive a copy of the Subject Notification letter.
-Upon completion of the investigation, the Command and Subject will receive the results of the investigation. If any of the allegations are substantiated, the Command will receive a copy of the investigation for corrective action.

8. NOTIFICATIONS Document in CMS
Closure Letter to Complainant sent by Directing Authority
DO NOT include:
Classified information
Private information about third parties
Subject’s name
Type of corrective action taken
Closure Letters.
-If the IGMC received the complaint, then the IGMC will send the Closure letter to the Complainant.
Does anyone have any questions concerning Notifications?

9. Hotline Completion Report (HCR)
Format
1. Scope
2. Issues and/or Allegations
3. Fact/ Analysis/ Findings
4. Criminal or Regulatory Standards
5. Disposition
6. Recommendations
7. Other Matters
8. Security Classification
9. Location of Report
10. Investigating Officer Information
- Transition – from notifications and IGMC tasking.
I want to take the next few minutes to talk you about the Hotline Completion Report – AKA HCR
I am not going to teach you how to write an HCR due to time constrains but I want to share with you the most common mistakes we encounter at IGMC when we received them for review.
The first common mistake is CIGs not using the most up to date HCR Template (using an old template, using template from the guides) – As you can see ( Refer to slide) HCR has 10 Sections
You should have received the latest template in your READ AHEAD
DO NOT add or remove any sections of the HCR and you will not have any problems.
Have the most up to date template, call us if you don’t have it.

10. Most Popular HCR Errors
Allegations or Issues
Who?, did What?, in violation of What?, When? Ex: LtCol Marine misused subordinates' time in violation of DoD R, Joint Ethics Regulations (JER), 5 CFR § from February through May 2017.
OR 
There was no alleged violation of a rule, standard or order, however, the following issue(s) was/were raised:
Another common mistake we encounter when reviewing/receiving HCR is:
Allegations not being properly formulated. As all you already know from attending an MTT – an Allegation is probably the most important part of your investigation and your HCR
As you can see, your allegation needs to have the who, did what, in violation of what and when - a lot of times we get allegations without the when? , allegations violating more than one regulation, and sometimes with two (Whos). Keep allegation simple and follow the format.
Reminders:
-You already heard from Ms. Edwards, make sure you get the assistance of your SJA when formulating your allegations.
Your SJA should approve all your allegations before you start conducting your investigation – a lot of times we get HCR and when asked – we are told that the SJA was never consulted.
Also, each person get their own allegation – never have two individual in the same allegation
ISSUES: (command action)

11. Most Popular HCR Errors
ANALYSIS
Describe how the Findings of Fact support (or do not support) the conclusions contained in the “Finding” paragraph.
Reference the “chapter & verse” of Standard. Incorporate the elements of the standard in question. Compare the “criteria” (elements of the standard) to the “conduct” (actions).
Analysis – is another area that we encounter a lot mistakes when we receive HCRs
Remember the analysis is the section of the HCR where you break everything down in order to come to your conclusions. This is the part of your investigation when you need to specify that based on the FOF the subject did or did not violated the law, rule or regulation.
The main two things we look for in the analysis are : Refer to slide
Reminders: Never use terms like “believes” or speak in the first person because implies opinion. Remember as IG’s we are fact finder. Our job is to present the facts.

12. Most Popular HCR Errors
UNSUPPORTED FINDINGS
Allegation
Not Substantiated – Not supported or established by a preponderance of the evidence
Substantiated – Supported or established by a preponderance of the evidence
Issue
Unfounded – No merit and requires no action
Founded – It has merit and requires resolution
Last error that we encounter once in a while is unsupported findings-
All you have to remember is that – Refer to slide
CMS – Do not forget to enter allegation in CMS and Findings
You do not need to enter issues

13. Non-IG Matters Equal Opportunity (EO)
Equal Employment Opportunity (EEO)
Hazing
Civilian Matters
Sexual Assault
Criminal Matters

14. Non-IG Matters EQUAL OPPORTUNITY (EO) MILITARY CIG Role
Sexual Harassment
Discrimination
CIG Role
Open a case in CMS
Refer Complainant to Equal Opportunity (EO) Office
EXCEPTION: Any EO allegation against Senior Officials must be reported to IGMC

15. Non-IG Matters EQUAL EMPLOYMENT OPPORTUNITY (EEO) CIVILIAN CIG Role
Sexual Harassment
Discrimination
CIG Role
Open a case in CMS
Refer Complainant to EEO Office
EXCEPTION: Any EEO allegation against Senior Officials must be reported to IGMC

16. Non-IG Matters HAZING CIG Role Strictly a command matter
Open a case in CMS
Refer Hazing complaint to the command and ensure they are aware of Reporting requirements (DASH, SIR, etc.)
Other Non-Hazing (FWA/M) issues or allegations must be addressed by the CIG or command (for the CIG)

17. Non-IG Matters CIVILIAN COMPLAINTS CIG Role
Whistleblower Reprisal (AF/NAFI/Contractor)
Grievances/ Appeal Adverse Action
CIG Role
Open a case in CMS
Refer to OSC or DoDIG
Refer to Human Resources/Civilian Personnel Office

18. Non-IG Matters SEXUAL ASSAULT COMPLAINTS CIG Role
Unrestricted Reporting
Uniformed Victim Advocate (UVA)
Sexual Assault Response Coordinator (SARC)
Chain of Command
Law Enforcement
Restricted Reporting
Sexual Assault Response Coordinator
Military Healthcare Provider/Counselor
Chaplain
CIG Role
Refer to the unit’s Uniformed Victim Advocate
Victim’s Legal Counsel can be present for all IG meetings (FY14 NDAA §1716)

19. Non-IG Matters CRIMINAL COMPLAINTS CIG Role
Defined as Offenses Punishable by Fine or Imprisonment
IGs don’t investigate Felony allegations
Consult with your SJA
CIG Role
Open a Case in CMS
Report criminal allegations to the subject’s command for possible JAGMAN or Command Investigation
Contact NCIS, PMO, CID to refer or obtain declination
Maintain case in open status until resolved

20. Social Media Matters
Due to recent events regarding social media, all Headquarters-level service providers shall compile all responses for their program and submit a single, consolidated Tab A (attached file) to HQMC SAPR IAW DON Task 2017-MRA_MF_MFB
All numbers reported are consolidated by IGMC and submitted for briefing to CMC and ACMC
To date there have only been 4 instances where all CIGs have met the reporting requirement set forth by IGMC. This equates to a 20% success rate.
The majority of the time IGMC is waiting on a Negative Response.

21. Social Media Matters
Social Media Misconduct does not need to be sexual in nature.
Any action that a reasonable person would deem could bring discredit upon themselves, their unit, and the Marine Corps.
Marines must also be careful when posting Marine Corps-related content on social networking sites, blogs, or on other websites since the lines between Marines personal and professional lives often blur in the online space
ALMAR 008/17 refers to Articles 88-91,92,93,120c, 133, and 134 of the UCMJ as possible authorities in the punishment of misconduct.

22. Intake of complaints (SMM)
CIG closes Case
Command
Cmd Res
Refer/
monitor
CIG
Intake’s Complaint
Refer/
monitor
NCIS
Refer/
monitor
CID
NCIS/CID Actions Complete
Accept
Accept
Decline
Decline
IGMC

23. Notification to IGMC (SMM)
9/27/2017
List complaint on your social media tracker.
Open a separate case in CMS.
updated social media tracker and case number of separate complaint to a hotline investigator (Excel and CMS trackers must both contain the 5 Ws)
Forward complaint to SA Curtis Evans (NCIS) for review, re-establish contact every two-three weeks.
Notify IGMC when all actions listed in the previous slide are complete.
Most of the complaints cover a wide array of offensive material (pictures & comments). Disparaging comments range from the individual Marine all the way up to the POTUS. They span the most popular websites, chat rooms and blog sites.
(MARADMIN 181/10) talks about the “capability” of the internet and the standard things apply e.g. Inappropriate content is strictly prohibited
Violations of Federal Law and DOD regulations or policies may result in disciplinary action under the UCMJ - (MARADMIN 365/10)
Refer students to the “Social Corps Handbook”

24. Tips for success (SMM)
9/27/2017
99% of the time our deadline is 1300 EST on the Monday following the reporting period.
Negative Response is required.
CMS is an imperfect system; double tapping your update with an is encouraged, but not required.
You are not required to upload a Social Media Tracker in CMS when you send a negative reply.
You are not required search for complaints. If a complaint is referred to you, ensure that you follow the appropriate steps. Your command does not need to report social media misconduct, and require you to report the conduct a second time.
Most of the complaints cover a wide array of offensive material (pictures & comments). Disparaging comments range from the individual Marine all the way up to the POTUS. They span the most popular websites, chat rooms and blog sites.
(MARADMIN 181/10) talks about the “capability” of the internet and the standard things apply e.g. Inappropriate content is strictly prohibited
Violations of Federal Law and DOD regulations or policies may result in disciplinary action under the UCMJ - (MARADMIN 365/10)
Refer students to the “Social Corps Handbook”

25. Senior Official Complaint Notification
SOI = General, General (select), SES, Political Appointees
IGMC has 5 days to report SOI complaints to DoDIG
CIG Role
DO NOT open a case in CMS
DO NOT notify your CG/CS/SJA
DO NOT interview the Complainant
Immediately forward the complaint to the IGMC A&I Organizational Mailbox

26. Retaliation Complaint Notification
Retaliation = Military Whistleblower Reprisal, Ostracism, Maltreatment, and Restriction
IGMC has 10 days to report retaliation complaints to DoDIG
CIG Role
Open a case in CMS
Upload the Complaint Form
Immediately forward the complaint to the IGMC A&I Organizational Mailbox
Complete the Military Retaliation Complaint Notification and upload in CMS

27. Questions?
What is the meaning of life?
How many angels can fit on the head of a pin?
Will Mrs. Edwards ever retire?
Why does evil exist in the world?
Are Unicorns real?