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

2. 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

3. 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

4. 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

5. 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!

6. 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)

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

8. 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

9. 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

10. 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 the Complaint Form to another CIG: Enter in CMS and Call IGMC

11. 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

12. 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

13. 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)

14. 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

15. 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

16. 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

17. 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

18. 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

19. 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

20. 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

21. 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)

22. 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

23. Questions?