1. MN NG INSPECTOR GENERAL CPT Rachel Tarrats Rachel.l.tarrats.mil@mail.mil 651-281-3836 CO CDR 1SG Pre-Command Course (CCFSPCC) 14 September 2015

2.  IG Role  IG Mission  IG Core Functions  Inspections  Assistance  Investigations  Teaching and Training  Reprisal and Restriction  Soldier’s Rights  Current Trends and Recommendations  Lessons Learned Agenda

3.  IG works directly for the TAG  Member of the Commander’s Personal Staff  Eyes, ears and conscience of the Commander  Fair and impartial fact-finder  High degree of independence  No directive authority outside the IG system  Has access to all needed materials and records * *Except for classified material (if the IG lacks the proper clearance) (AR 20-1 para 8-4 g) Role of the IG

4.  Assess and report matters affecting mission performance, discipline, efficiency, economy, morale, training, and readiness of the Minnesota National Guard  Promote standards & core values of the Minnesota National Guard  Identify systemic deficiencies and causes  Assist Minnesota National Guard members and their families in solving service-related problems and issues as the eyes, ears, and conscience of TAG IG Mission

5.  Inspections  Assistance  Investigations  Teach and Train IG Core Functions

6. “An evaluation that measures performance against a standard and should identify the cause of any deviation. All inspections start with compliance against a standard. Commanders tailor inspections to meet TAG’s readiness goals.” MNARNGR 1-201, Glossary A standard is the way things should be. Inspections

7.  Proactively resolves issues that affect unit readiness and warfighting capability  Promotes and reinforces good performance and best practices  Underscores TAG’s priorities If it’s important – inspect what you expect Why do Inspections?

8. O I P MNARNGR 1-201, paragraphs 2-4 to 2-8 COMMAND INSPECTIONS IG INSPECTIONS Audits Staff Assistance VisitsExternal Inspections Internal Control Intelligence Oversight STAFF INSPECTIONS The Integration of Inspections Establishes the Organizational Inspection Program (OIP) - the most important aspect of MNARNGR 1-201

9.  A scheduled, formal event  Led by the Commander, who must be present during the inspection  Initial Command Inspection (ICI)  Initial Command Inspection (ICI) (company or detachment) Subsequent Command Inspection (SCI)  Subsequent Command Inspection (SCI) MNARNGR 1-201, paragraph 2-5 Command Inspections

10.  Required for Company Commanders (or like commands: detachments, troops, batteries)  Within 180 days of the company/battery/troop Commander’s assumption of command  Cannot be used to rate the Company Commander or compare units  Identifies unit strengths and weaknesses  Helps commanders establish goals, standards, and priorities  Only the inspected Commander and that Commander’s rater will receive the specific results (IG can request results without unit attribution) Initial Command Inspections

11. The inspecting Commander must be present and participating in the inspection!, paragraph 2-5 MNARNGR 1-201, paragraph 2-5 Subsequent Command Inspection  Measures progress and reinforces goals and objectives established during the ICI  The inspecting Commander determines the timing of SCIs in the Army National Guard  The inspecting Commander may use results to evaluate the Company Commander

12. Other Inspections  Staff Inspections:  Led by a staff member of a functional area  Focuses on a single functional area or a few related areas- Compliance-oriented  Should complement Command and IG Inspections  Staff Assistance Visits  Assist, teach, and train subordinate staff sections  Can prepare staff sections for upcoming inspections or train them on new concepts, technologies, or operating techniques

13.  Identify sub-standard performance, determine the magnitude of the deficiency, and seek the reason for the deficiency (The Root Cause)  Teach systems, processes and procedures  Identify responsibility for corrective actions  Spread innovative ideas  Pursue systemic issues IG Inspections

14.  Systemic issues are usually widespread and present a pattern  Often traced back to a regulation, policy, or other standard that is confusing, overly ambitious, or in conflict with another standard  The proponent is usually the person to fix this type of problem What are Systemic Issues?

15. NON-COMPLIANCE DON’T KNOW CAN’T COMPLYWON’T COMPLY NEVER KNEW FORGOT TASK IMPLIED FEW RESOURCES DON’T KNOW HOW IMPOSSIBLE NO REWARD NO PENALTY DISAGREE Root Cause: The underlying reason why something happens or does not happen. Root Cause Analysis

16. Why do units or soldiers fail to comply with standards?  “That is the way we did it in my old unit.”  “I have no idea what you are talking about. This is my first drill as the S-1.”  “Take a number. We have two units deploying, a COCOM planning conference, and a 15-6 in front of you.”  “I can’t get any good help these days. I am on my butt because all of my staff officers are young lieutenants!”  “I don’t understand … I thought I understood... I did it right the last time, but …” Standards Compliance

17. The process of receiving, inquiring into, and responding to complaints, requests for information, or requests for help to:  Help Commanders correct injustices (real or perceived)  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 Assistance ANYONE can request IG assistance!

18.  Pay  Bonuses  Promotions  Awards  LODs  Medical Boards  Leaves and Passes  Adverse Actions Common Assistance Requests

19.  The issue may be more appropriate for someone else to work, such as:  Chain of Command  Other Agencies  Other IGs  IG will still follow-up to ensure resolution  Issue may be partially IG appropriate Example “Someone stole my I-Pod during AT and I can’t replace it because I haven’t been paid for months” - IG will refer theft to MPs or Local Authorities - IG will work pay issue IG Appropriateness

20. 1) Be sure there is a problem 2) Give the Chain of Command a chance 3) Try all other appropriate remedies 4) Deal with the closest IG 5) Level (be truthful) with the IG 6) Keep in mind IG’s regulatory / statutory limits 7) IG can only recommend, not order 8) IG can only resolve issues based on facts 9) Be prepared to take “no” for an answer 10) Be patient, thorough processes can take time 10 Steps for Success with IG

21. Regarding Inspectors General 1) No one can be stopped from seeing an IG. Soldiers do NOT have to tell why they want to see the IG. Stopping them is a criminal offense and is punishable by law. 2) The IG will always ask a soldier if they have given their Chain of Command a chance to address issue. 3) If the problem IS the Chain of Command the IG will hear both sides and act impartially to resolve the problem IAW the applicable Standards.

22. Assistance Review “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

23. IG Investigations  To resolve allegations of impropriety  Focused on Army Values  Fair and impartial fact-finding process  Protect the best interests of the Army  Based on preponderance of evidence  Either Substantiated or Not Substantiated  Army first, Soldiers always

24.  Fair and Impartial  IG is not an adversary or a champion  Army IGs do not recommend adverse action  Thorough – emphasis on facts  Concerned with Confidentiality  Limited distribution of information  Overt but discreet  Protect all individuals from reprisal and/or ridicule Characteristics

25.  Do Nothing  Investigation  Inquiry  MNUCMJ  Criminal Invest. Div. (CID)  Mil. Police Invest. (MPI)  Chain of Command  Civil Authority  Inspector General Commander’s Options

26. Teaching and TrainingINSPECTIONS ASSISTANCEINVESTIGATIONS TEACHINGANDTRAINING  Embedded Function within the Big Three  Independent Function  Increase Readiness and Warfighting capability

27.  Resolve issues that affect unit readiness ASAP  Inform and instruct on standards and compliance during and after the inspection Teach & Train during Inspections USAIG, Teaching and Training Guide, Section 2-1, page 2-1-1 “No inspection is complete if the units or agencies inspected have not learned about goals and standards and how to achieve them”

28.  Render Assistance  Explain Standards to complainants and Chain of Command  Help Commanders correct injustices “Make heroes of the Chain of Command” Teach & Train during Assistance LTG R Whitcomb, 63 rd The Inspector General

29.  Explain standards to witnesses and subjects/suspects  Teaching and Training found in recommendations of ROIs/ROIIs  Protect the best interests of the Army  Resolve Allegations of Impropriety Teach & Train during Investigations

30. Military Whistleblower Protection Act Title 10, United States Code, Section 1034  The taking (or threat of taking) of an “unfavorable” personnel action or the withholding (or threat to withhold) a favorable personnel action because the member made or was thought to have made a protected communication What is Whistleblower Reprisal? no person shall “restrict” a member of the Armed Forces from making lawful communications to a Member of Congress or an IG  Per DoDD 7050.06, dated 23 July 2007 no person shall “restrict” a member of the Armed Forces from making lawful communications to a Member of Congress or an IG Contact IG or SJA with questions What is Restriction?

31. Current Trends  Transfers  Bonuses / Benefits  Promotion / EPS  Separation / Termination  Social Networking

32. 10 USC 3583, Requirement of Exemplary Conduct All commanding officers and others in authority in the Army are required… good example to show in themselves a good example of virtue, honor, patriotism, and subordination... AR 600-100, Army Leadership establishing and maintaining the command climate consider individual perceptions All Army leaders have a responsibility for personal acceptance of the Army ethic and for instilling in subordinates those values that comprise it. Senior level leaders promote Army values by establishing and maintaining the command climate of their organizations through sound, ethical organizational policies and practices… Senior leaders must consider individual perceptions and their effects in establishing and maintaining a healthy command climate. AR 600-20, Army Command Policy responsible for everything Commanders are responsible for everything their command does or fails to do. However, commanders subdivide responsibility and authority and assign portions of both to various subordinate commanders and staff members. Leaders held to a high standard

33. Understand “Chain of Command” - Glossary. Chain of Command is… “The sequence of commanders in an organization who have direct authority and primary responsibility for accomplishing the assigned unit mission while caring for personnel and property in their charge.” - 2-1. Chain of Command. b. Commanders responsible for everything their command does or fails to do. c. Soldiers will use the chain of command when communicating issues and problems to their leaders and commanders. Per AR 600-20 Therefore, the Chain of Command begins with the Company Commander - 2-18. Non-Commissioned Officer support channel a. The NCO support channel (leadership chain) parallels and complements the chain of command. It is a channel of communication and supervision from the command sergeant major to first sergeant and then to other NCOs and enlisted personnel of the units. Commanders will define responsibilities and authority of their NCOs to their staffs and subordinates. This NCO support channel will assist the chain of command.

34. Advice to New Leadership Teams  Always stay on the moral high ground and do the right thing – ALWAYS!  You will never be infallible, seek advice from experts and peers – Get second opinions  Keep your finger on the unit’s pulse, be sensitive to “perceptions”  Be servant leaders  Social media, use it WISELY  Know and live AR 600-20 and AR 600-100  Get your ICIs!

35. JFHQ, Inver Grove Heights 651-281- COL Nick Wittwer x3834 CPT Rachel Tarrats x3836 CW2 Lisa Jager x3835 SFC Heidi Savre x3833 IG Contact Info http://www.minnesotanationalguard.org/IG

36. Questions IGs are fair and impartial fact finders… We call balls and strikes!

37. Background Slides for Further Info

38. MNARNGR 1-201 Inspection Policy and the Organizational Inspection Program - dated 01 MAR 2013  Requires Commanders (Bn and up) to designate an OIP Coordinator  Defines inspection terms and concepts  Identifies responsibilities  Urges the integration of inspections  Outlines the Army’s inspection principles CO CDR 1SG Pre-Command Course (CCFSPCC)

39.  The OIP provides the commander with an organized management tool to identify, prevent or eliminate problem areas  The OIP complements and reinforces other evaluations  The OIP minimizes the duplication of evaluations  The OIP integrates inspections and audits into a single, cohesive program focused on command objectives  The IG is the proponent for inspection policy  The G-3, S-3, or equivalent OPS agency is normally responsible for coordinating the overall program The Commander’s plan for inspections! MNARNGR 1-201, chapter 2 CO CDR 1SG Pre-Command Course (CCFSPCC)

40.  Develop the IG Inspection Program as part of the OIP  Advise Commanders and staffs on inspection policy  Advise the Commander on the OIP’s effectiveness  Conduct IG Inspections AR 20-1, paragraph 5-1g MNARNGR 1-201, paragraph 1-4 MNARNG 1-201, paragraph 1-4 IG’s Role OIP Coordinator’s Role  Develop and maintain the written OIP for the unit or command  Coordinate the execution of all inspection programs within the unit or command  Maintain a calendar or schedule of planned inspections  Serve as the executive agent for the Command Inspections CO CDR 1SG Pre-Command Course (CCFSPCC)

41. 1. Command Inspection 2. Staff Inspection 3. Inspector General Inspection MNARNG 1-201, paragraphs 2-5 to 2-7 3 Categories of Inspection CO CDR 1SG Pre-Command Course (CCFSPCC)