Deputy Inspector General Inspections

1
The Assistance Function
Were here to help.
2
Point of Contact

• Room 2103
• [phone]
• DSN 655-3906

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ELOs

• 1. Describe the Seven-Step Inspector General
  Action Process (IGAP) used to receive, process,
  and resolve Inspector General Action Requests
  (IGARs).
• 2. Describe the IG concept of confidentiality
  and what steps an IG should take if the IG must
  release a complainants name during the course of
  an Inquiry or Investigation.
• 3. Identify who is authorized to release IG
  records for adverse action.

4
Reference

• AR 20-1, Inspector General Activities and
  Procedures

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The Assistance Function

• Army IGs
• Render assistance
• Assist Commanders in correcting 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

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The Assistance Function

• Major contributor to the
• Army IG workload
• Complements Inspections and Investigations
• Teaching and Training

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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. 7-1
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Inspector General Action Request

• Inspector General Action Request
• The process of receiving, inquiring into, and
  responding to
• Complaints
• Request for information
• Request for help
• presented or referred to an IG.

IGAR
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DA Form 1559 (IGAR)

• Base control document
• Document workload
• Identify trends
• Identify systemic issues

AR 20-1, para. 4-2, 4-11a
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Sources of IGARs

• Soldiers (Active Reserve Components)
• 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

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Sources of IGARs

• Soldiers (Active Reserve Components)
• 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. 4-2
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The 7-Step Inspector General Action Process
DA Form
DA Form
Step 1 Receive IGAR
Step 1 Receive IGAR
1559
1559
Step 2 Preliminary Analysis
Step 2 Preliminary Analysis
Identify Issues / Allegations
Identify Issues / Allegations
Determine IG Appropriateness
Determine IG Appropriateness
Open Case in IGARS
Open Case in IGARS
Acknowledge Receipt
Acknowledge Receipt
COA
COA
Select a Course of Action
Select a Course of Action
(Obtain Authority)
(Obtain Authority)
Step 3 Initiate Referrals
Step 3 Initiate Referrals
Make Initial Notifications
Make Initial Notifications
Commanders Options AR 15-6, Rule 303 MPI, CID,
Civil Authority IG Investigation (Inquiry)
Referral
Referral
Referral
Referral
outside
within
outside
within
Command
Command
Command
Command
Step 4 IG Fact Finding
Step 4 IG Fact Finding
Assistance
Assistance
Investigation /
Investigation /
Inquiry
Inquiry
Investigative Inquiry
Investigative Inquiry
Plan
Plan
Plan
Plan
Gather Information
Gather Information
Gather Evidence
Gather Evidence
Documents
Documents
Documents
Documents
Inspection
Inspection
Telephone calls
Telephone calls
IG Observations
IG Observations
Follow the
IG
Follow the
IG
Make Contacts
Make Contacts
Testimonies
Testimonies
Inspections Process
Inspections Process
Coordinate
Coordinate
Physical Objects
Physical Objects
Evaluate Information
Evaluate Information
Evaluate Evidence
Evaluate Evidence
Resolve Issue(s)
Resolve Issue(s)
Write Report
Report
Write Report
Report
Write Report
Write Report
Obtain Legal Review
Obtain Legal Review
Obtain Approval
Obtain Approval
Step 5 Make Notifications and Referrals
Step 5 Make Notifications and Referrals
AR 20-1, Chapters 4 and 7
Step 6 Follow
-
Up
Step 6 Follow
-
Up
Complete
Complete
Step 7 Close the IGAR
Step 7 Close the IGAR
Case File
Case File
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Step 1 Receive the IGAR

• IGARs come from the in-crowd
• Walk-in, call-in, write-in, e-mail-in
• In the Gym / PX / parking lot
• Gather initial information
• DA Form 1559
• Five fundamental questions
• What do you want the IG to do for you?
• Do you have any supporting documentation?
• Have you asked for assistance from any other
  agencies?
• Is the chain of command aware of the problem?
• What is your status?
• Do not commit to anything, except -- we will look
  into the matter
• Each story has at least three sides

AR 20-1, para. 4-2, 7-2b (1)
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IG Confidentiality

• Ethically comparable to the doctor-patient
  relationship
• Protects individual privacy and maintains
  confidence in the IG System
• Need not be specifically requested
• Cannot be guaranteed
• Nature of the issue
• Official use within the Army
• By direction of TIG
• Legal proceedings (call DAIG Legal)
• If unavoidable, try to contact complainant before
  disclosure and attempt to obtain a release
  statement (example DA Form 7433)

AR 20-1, para. 1-12
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Triangle of Confidentiality
SJA

• Protect privacy
• Minimize risk of reprisal
• Maintain confidence in the IG system

AR 20-1, para. 1-12
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STEP 2 Conduct IG Preliminary Analysis

• A thought process to determine how best to
  proceed -- may take minutes / hours / days
• 5 Sub-Steps of Preliminary Analysis
• Identify issues / allegations
• Determine IG appropriateness
• Open case in IGARS database
• Acknowledge receipt
• Select COA

AR 20-1, para. 4-3 4-6, 7-2b (2)
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STEP 2 Conduct IG IGPA Identify Issues and
Allegations

• Issue a request for information or assistance
  that does not have a who as the violator of
  standards or policy
• FOUNDED or UNFOUNDED
• Complaint an expression of dissatisfaction or
  discontent with a process or system. Privates
  should get paid the same BAH as officers.
• 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. 4-4
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STEP 2 Conduct IG IGPA Determine IG
Appropriateness

• Generally IG appropriate
• Army-related matters
• IG works the case
• Refers to appropriate Army agency, command, or
  another IG
• Generally not IG appropriate
• Non-Army related issues
• Criminal allegations (with exception) (MPI, CID)
• EO complaints (with exception) (AR 600-20)
• Hazardous work conditions (AR 385-10)
• Redress available through other channels --
  Appeals process or due process (Evaluations, AR
  15-6 Investigations, Court Martial, etc.)
• Redress available to DoD civilians (EEO, CPAC,
  Contract, etc.)
• Soldier nonsupport of family (AR 608-99)

AR 20-1, para. 4-4
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STEP 2 Conduct IGPAOpen Case in IGARS

• Open case in the Inspector General Action
  Request System (IGARS)
• Database
• Army world-wide
• Unless allegations against
• Senior Officials (SAIG-IN)
• Members of Army Special Access Programs or of
  Special Activities (SAIG-IO)

AR 20-1, para. 4-5
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STEP 2 Conduct IGPAAcknowledge Receipt

• Advise that the IG has received the IGAR
• May be verbal or written
• If issue is appropriate for IG
• AND complainant has right to know Inform
  individual that you will provide a response
• BUT the complainant is not directly affected
  Send a third party response telling him or her
  that you will look into the matter
• If issue is not appropriate for IG
• Inform the complainant why not appropriate
• Provide information on the appropriate office
  that can address the issue
• Forward to that agency if possible

AR 20-1, para. 4-6a
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STEP 2 Conduct IGPASelect a Course of Action

• Inspection
• systemic issues
• Assistance Inquiry
• resolve issues, requests for information, help,
  etc.
• Investigation / Investigative Inquiry
• allegations
• Referral
• allegations, resolve issues, requests for
  information, help, etc.

AR 20-1, para. 4-6b
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Timely Manner Effective Resolution

• IG does not have to look into issue if
• Presented more than one (1) year after awareness
• Occurred more than 3 years ago
• IG will
• Complete a DA Form 1559 and open case in IGARS
• UNLESS Complaint involves senior official
• Analyze for all issues / allegations
• Inform complainant IGAR not timely
• Do not work case close case in IGARS
• Issues with extraordinary circumstances
• 3-5 years old Army Command, Army Service
  Component Command, or Direct Reporting Unit IG
  decides
• Over 5 years old Requires TIGs approval

AR 20-1, para. 4-2d
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STEP 3 Initiate Referralsand Make Notifications

• Referrals of matters that are not this IG
  appropriate
• Refer to the proper agency (Veterans Affairs
  (VA), CID, another IG office, etc.) and close the
  case
• Refer to the local chain of command, IG monitors
  the case to ensure the chain of command takes
  proper action, then closes the case
• Notifications of Subject / Suspect / Supervisor
  if allegations are involved (investigations)

AR 20-1, para. 4-7, 7-2b (3)
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STEP 4 Conduct IG Fact-Finding

• Inspection (Requires Directive from the Directing
  Authority)
• Assistance Inquiry (No permission needed)
• Investigative Inquiry (Directed by the Command or
  State IG)
• Investigation (Requires Directive from the
  Directing Authority)

AR 20-1, para. 4-8, 7-2b (4)
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STEP 4 Conduct IG Fact-Finding
Assistance Inquiry

• Plan
• Gather information
• Documents
• Telephone calls
• Fax
• Etc.
• Evaluate information
• Resolve issue(s)

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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
• For Investigations / Investigative Inquiries
  provide subject / suspect / supervisor
  notifications

AR 20-1, para. 4-9, 7-2b (5)
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STEP 6 Conduct Follow-up

• IG can contact complainant, have the
  complainant contact the IG, or address in future
  inspection
• Ensure issues were thoroughly
• addressed
• Ensure all IG responsibilities are
• fulfilled

AR 20-1, para. 4-10, 7-2b (6)
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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. 4-11, 7-2b (7)
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The 7-Step Inspector General Action Process
DA Form
DA Form
Step 1 Receive IGAR
Step 1 Receive IGAR
1559
1559
Step 2 Preliminary Analysis
Step 2 Preliminary Analysis
Identify Issues / Allegations
Identify Issues / Allegations
Determine IG Appropriateness
Determine IG Appropriateness
Open Case in IGARS
Open Case in IGARS
Acknowledge Receipt
Acknowledge Receipt
COA
COA
Select a Course of Action
Select a Course of Action
(Obtain Authority)
(Obtain Authority)
Step 3 Initiate Referrals
Step 3 Initiate Referrals
Make Initial Notifications
Make Initial Notifications
Commanders Options AR 15-6, Rule 303 MPI, CID,
Civil Authority IG Investigation (Inquiry)
Referral
Referral
Referral
Referral
outside
within
outside
within
Command
Command
Command
Command
Step 4 IG Fact Finding
Step 4 IG Fact Finding
Assistance
Assistance
Investigation /
Investigation /
Inquiry
Inquiry
Investigative Inquiry
Investigative Inquiry
Plan
Plan
Plan
Plan
Gather Information
Gather Information
Gather Evidence
Gather Evidence
Documents
Documents
Documents
Documents
Inspection
Inspection
Telephone calls
Telephone calls
IG Observations
IG Observations
Follow the
IG
Follow the
IG
Make Contacts
Make Contacts
Testimonies
Testimonies
Inspections Process
Inspections Process
Coordinate
Coordinate
Physical Objects
Physical Objects
Evaluate Information
Evaluate Information
Evaluate Evidence
Evaluate Evidence
Resolve Issue(s)
Resolve Issue(s)
Write Report
Report
Write Report
Report
Write Report
Write Report
Obtain Legal Review
Obtain Legal Review
Obtain Approval
Obtain Approval
Step 5 Make Notifications and Referrals
Step 5 Make Notifications and Referrals
AR 20-1, Chapters 4 and 7
Step 6 Follow
-
Up
Step 6 Follow
-
Up
Complete
Complete
Step 7 Close the IGAR
Step 7 Close the IGAR
Case File
Case File
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Nature of IG Records

• Any written or recorded IG work-product
• 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 SecArmys behalf
• TIG is release authority

AR 20-1, para. 3-1
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IG Records - For Official Use Within Dept. of the
Army
Local IG may release TO
Stipulation

• Inspections Report
• ROI / ROII
• Certain Records / Information
• Nature of allegations
• Readily Available Documents
• Witness list and brief oral synopsis of testimony

Directing Authority
Redacted
No adverse actions
Directing Authority
Follow-on DA Investigator (such as AR 15-6 IO,
CID, MPI, FLIPL, etc.)
Maintain Impartiality do not ID complainant
AR 20-1, para. 3-6b
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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
• IG Office of Record submits request to DAIG
  Records Release Office
• Precisely identify which portions of the IG
  record are needed and why
• State why a follow-on investigation would be
  unduly burdensome, disruptive, or futile

AR 20-1, para. 3-3
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Release of IG Records Outside Dept of the Army

• Information can be extracted from IG records to
  answer IGARs
• Anyone may request copies of an IG record --
  Freedom of Information Act (FOIA)
• IG acknowledges written request in writing
• Sends to SAIG Records Release Office within 10
  days
• Original written Request
• One copy of requested record
• Memo with local information and concerns
• SAIG Records Release Office, with TIGs approval,
  may release IG records for unofficial use

AR 20-1, para. 3-7
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Army IG AssistanceTop IGARs

• 63,062 issues and allegations FY06
• 91 Assistance
• 9 Allegations (of which 30 were
  substantiated)
• (about 29 of anonymous allegations
  were substantiated)
• Non-Support of Family 12 (5285)
• Commanders Actions 3 (1353)
• Harassment / Maltreatment 3 (1215)
• Promotions (E-5 to E-9) 3 (1139)
• Routine Request for Info 3 (1128)
• Other Personal Misconduct 2 (718)
• NCOER 1 (582)
• Personnel Separations 1 (545)
• Sexual Misconduct 1 (514)
• Bonuses 1 (505)
• Awards and Decorations 1 (498)

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DA Assistance IssuesTop IGARs
1 Personal Conduct (26) 2 Military
Personnel Mgmt (24) 3 Finance Accounting
(15) 4 Cmd / Mgmt of Organizations (12) 5
Health Care (5)
TOTAL
IGARs by Top 5 Major Categories for FY 06
1 Military Personnel Mgmt (39) 2 Finance
Accounting (21) 3 Cmd / Mgmt of Organizations
(10) 4 Personal Conduct (10) 5 Health
Care (6)
USAR
1 Military Personnel Mgmt (37) 2 Finance
Accounting (28) 3 Personal Conduct (8) 4
Health Care (8) 5 Cmd / Mgmt of Organizations
(7)
ARNG
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Conclusion

• The Army Assistance Function
• The Seven-Step IGAP Process
• IG Confidentiality
• Release of IG Records

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The Assistance Function

• Questions?