1. The IG Assistance Function Special Cases & Considerations Part Two AR 20-1, Chapter 6, plus A&I Guide Part One, Chapters 3 through 9

2. Assistance Part Two U.S. Army Inspector General School 2 Bottom Line: Some complaints are not IG appropriate! Step 2 Preliminary Analysis Identify Issues / Allegations Determine IG Appropriateness Open Case in IGARS Acknowledge Receipt Select a Course of Action (Obtain Authority) STEP 2 Determine IG Appropriateness

3. Assistance Part Two U.S. Army Inspector General School 3 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

4. Assistance Part Two U.S. Army Inspector General School 4 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

5. Assistance Part Two U.S. Army Inspector General School 5 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

6. Assistance Part Two U.S. Army Inspector General School 6 Information IGAR Requests for routine assistance / information that an IG can handle quickly Opened / Closed on same day Single screen input Cannot be converted to a Standard IGAR Cannot be edited once it is closed

7. Assistance Part Two U.S. Army Inspector General School 7 Not Local IG Appropriate Professional 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)

8. Assistance Part Two U.S. Army Inspector General School 8 Family Nonsupport NOT 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

9. 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/ U.S. Army Inspector General School 9 Family Nonsupport Make Your Job Easier

10. Assistance Part Two U.S. Army Inspector General School 10 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

11. Assistance Part Two U.S. Army Inspector General School 11 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

12. Civilian IGARs

13. Assistance Part Two U.S. Army Inspector General School 13 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 e A&I Guide, Part One, Chap. 5 and 6

14. Assistance Part Two U.S. Army Inspector General School 14 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 e A&I Guide, Part One, Chap. 5 and 6

15. Assistance Part Two U.S. Army Inspector General School 15 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. 6-3h A&I Guide, Part One, Sect. 6-1 ELO 5

16. Assistance Part Two U.S. Army Inspector General School 16 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. 6-3h A&I Guide, Part One, Sect. 6-1

17. Assistance Part Two U.S. Army Inspector General School 17 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 No Yes Enter in IGARS & Close Case

18. Assistance Part Two U.S. Army Inspector General School 18 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/ http://cpol.army.mil/library/permiss/ –Staff Judge Advocate –Equal Employment Opportunity A&I Guide, Part One, Sect. 6-1

19. Assistance Part Two U.S. Army Inspector General School 19 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?

20. Issues Miscellaneous

21. Assistance Part Two U.S. Army Inspector General School 21 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. 6-2e A&I Guide, Part One, Sect. 4-1 ELO 8

22. Assistance Part Two U.S. Army Inspector General School 22 Untimely IGARs AR 20-1, para. 6-1e A&I Guide, Part One, Sect. 4-2 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

23. Assistance Part Two U.S. Army Inspector General School 23 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. 6-1e A&I Guide, Part One, Sect. 4-2

24. Assistance Part Two U.S. Army Inspector General School 24 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) AR 20-1, para. 6-1e A&I Guide, Part One, Sect. 4-2

25. Assistance Part Two U.S. Army Inspector General School 25 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) AR 20-1, para. 6-1e A&I Guide, Part One, Sect. 4-2

26. Assistance Part Two U.S. Army Inspector General School 26 Untimely IGARs Examples Date of EventComplainant AwareDate to IGTimeliness 10 Jan 0011 Mar 011 Apr 01Timely 10 Jan 0011 Mar 011 Apr 02Untimely (Local IG decides) 10 Jan 0011 Mar 031 Apr 03Untimely (ASCC, DRU, ACOM IG decides) 10 Jan 0011 Mar 001 Apr 05Untimely (TIG decides) Less than one year More than five years More than one year More than three years AR 20-1, para. 6-1e A&I Guide, Part One, Sect. 4-2

27. Assistance Part Two U.S. Army Inspector General School 27 Timeliness Complaint Timely Work Case UNTIMELY 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 thinks matter warrants addressing?

28. Assistance Part Two U.S. Army Inspector General School 28 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. 6-2b A&I Guide, Part One, Sect. 4-3

29. Assistance Part Two U.S. Army Inspector General School 29 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 Division AR 20-1, para. 6-2f A&I Guide, Part One, Sect. 4-4

30. Assistance Part Two U.S. Army Inspector General School 30 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

31. Assistance Part Two U.S. Army Inspector General School 31 Congressionals Just Another Way to Write-In

32. Congressional Correspondence Flowchart: Command Channels Complainant’s Letter to Member of Congress (MoC) Fort Von Steuben Congressional Inquiries Office Office of the Chief of Legislative Liaison (OCLL) MoC Office Command Channels A&I Guide, Part One, Sect. 7-1 32

33. Congressional Correspondence Flowchart: IG Channels Complainant’s Letter to Member of Congress (MoC) AR 20-1 para. 6-1f (1) and A&I Guide, Part One, Sect. 7-1 33 Fort Von Steuben Inspector General Office Office of the Chief of Legislative Liaison (OCLL) MoC Office DAIG Assist Div IG Channels

34. Congressional Correspondence Flowchart: National Guard IG (Federal Matters) Complainant’s Letter to Member of Congress (MoC) AR 20-1, para. 6-6c and d A&I Guide, Part One, Sect. 7-1 34 State IG Office Office of the Chief of Legislative Liaison (OCLL) MoC Office DAIG Assist Div NGB IG

35. Congressional Correspondence Flowchart: National Guard IG (State Matters) AR 20-1, para. 6-6c and d A&I Guide, Part One, Sect. 7-1 35 State IG Office Complainant’s Letter to Member of Congress (MoC) MoC Office

36. Assistance Part Two U.S. Army Inspector General School 36 White House (Presidentials) Yet Another Way Complainants Write-In

37. White House Correspondence Flowchart: IG Channels Complainant’s Letter to President (or email to www.whitehouse.gov) Fort Von Steuben IG Office White House Liaison Office DAIG Assist Div IG Channels A&I Guide, Part One, Chap. 8 37 Complainant

38. Assistance Part Two U.S. Army Inspector General School 38 Department of Defense Hotline DoDI 7050.01 AR 20-1, para. 6-1f (3), para. 7-4a A&I Guide, Part One, Chap. 9

39. Assistance Part Two DoD Hotline Correspondence Flowchart: IG Channels Complainant contacts DoD Hotline Fort Von Steuben IG 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

40. Assistance Part Two U.S. Army Inspector General School 40 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 DoD HCR

41. Assistance Part Two U.S. Army Inspector General School 41 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?

42. IG Records AR 20-1, Chapter 3

43. Assistance Part Two U.S. Army Inspector General School 43 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

44. Assistance Part Two U.S. Army Inspector General School 44 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

45. Assistance Part Two U.S. Army Inspector General School 45 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 Follow-on DA Investigator (such as AR 15-6 IO, CID, MPI, FLIPL, etc.) Local IG may release TO Stipulation Redacted No adverse actions Maintain Impartiality; do not ID complainant

46. Assistance Part Two U.S. Army Inspector General School 46 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

47. Assistance Part Two U.S. Army Inspector General School 47 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

48. Assistance Part Two U.S. Army Inspector General School 48 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 IG Records AR 20-1, para. 3-1 ELO 12

49. Assistance Part Two U.S. Army Inspector General School 49 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

50. Assistance Part Two U.S. Army Inspector General School 50 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

51. Assistance Part Two U.S. Army Inspector General School 51 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)

52. Assistance Part Two U.S. Army Inspector General School 52 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 usarmy.pentagon.hqda-otig.mbx.saig-zxl@mail.mil OR – Provide the contact information for DAIG Records Release Office (SAIG-ZXR) AR 20-1, para. 3-4

53. Assistance Part Two U.S. Army Inspector General School 53 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

54. Assistance Part Two U.S. Army Inspector General School 54 Release of IG Records Release Authority (All IG Records): TIG (or designated representative) Purpose / Intended Use of Records What can the Local IG Release? Official Use1) 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 to Unofficial Use DAIG's Records-Release Office (only after case is closed)

55. Assistance Part Two U.S. Army Inspector General School 55 Questions? Not IG appropriate topics Family Nonsupport Civilian IGARS Withdrawn Complaints Untimely Complaints Office of Record / Inquiry Congressional, etc. IG Records

56. Assistance Part Two U.S. Army Inspector General School 56 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?

57. Assistance Part Two U.S. Army Inspector General School 57 Coordination -- How to Prevent Duplication of Work DAIG Assistance Division refers a Congressional Inquiry, but local IG already completed that case and closed it –Contact Assistance Division and provide case number of closed case –Send supporting documents as required to Assistance Division for final response to MoC

58. Assistance Part Two U.S. Army Inspector General School 58 DAIG Assistance Division refers a Congressional Inquiry, but the local IG is currently working the case for the complainant –Inform complainant that the final response will come through Member of Congress (MoC) –Send completed case to Assistance Division for final response to Member of Congress (MoC) Coordination (continued)

59. Assistance Part Two U.S. Army Inspector General School 59 During a complainant’s interview (Step 1: Receive the IGAR), the complainant tells the IG that he wrote to his MoC –Contact the local congressional liaison office If congressional liaison office is already working case through command channels, then they continue to work the case Inform complainant that a response will come from MoC and no IG reply will be given Coordination (continued)

60. Assistance Part Two U.S. Army Inspector General School 60 DAIG Assistance Division refers a Congressional Inquiry, but the Local Congressional Liaison Office has already worked the issue through command channels –Contact Assistance Division and explain –Review previous response for completeness (all issues and allegations addressed?) –Forward copy of previous response to Assistance Division for final response to MoC Coordination (continued)

61. Assistance Part Two U.S. Army Inspector General School 61 Local IG receives Congressional Inquiry through a local congressional liaison office –Contact Assistance Division Command channels more appropriate? –If so, have local congressional office re-task –If not, DAIG Assistance Division will have OCLL re-task through IG channels A&I Guide Part One, Sect. 7 Coordination (continued)