"A picture says a 1000 words." The Inspector General Report of Investigation (ROI): (1 of 2) 1.Provides a stand-alone document with all necessary

"A picture says a 1000 words."

The Inspector General Report of Investigation (ROI): (1 of 2) 1.Provides a stand-alone document with all necessary administrative data and evidentiary data (exhibits) that explains in plain English the allegation(s) under investigation 2.Lists all the people involved 3.Explains the methodology of fact-finding used to determine the credible evidence in support of substantiation and the credible evidence in support of not substantiation

The Inspector General Report of Investigation (ROI): (2 of 2) 4.Provides an objective analysis of these facts in relation to the elements of proof listed in the valid standard allegedly violated 5.Presents findings based on these facts and, if necessary, lists other matters that the Directing Authority must address 6.Makes a clear recommendation regarding the findings listed in the report 7.Makes actionable recommendations to resolve each of the issues identified during the investigation

Investigations

IG Investigations U.S. Army Inspector General School 11 Linked IG Functions TEACHING AND TRAINING INSPECTIONS ASSISTANCEINVESTIGATIONS

IG Investigations U.S. Army Inspector General School 12 IG Investigators Purpose? BLUF: Resolve Allegations of Impropriety Unwavering commitment to standards One investigatory option Protect the best interests of the Army Focus on Army values IGs work for the Commander! Do not seek out allegations

IG Investigations U.S. Army Inspector General School 13 IGs are fair and impartial fact-finders We call the balls and the strikes! Through a dogged pursuit of the truth! The A&I Guide, Part Two, Section 2-6 (II-2-15)

IG Investigations U.S. Army Inspector General School 14 Investigations Overview Introduction / DEFINITIONS IGAP Step 1 IGAP Step 2 / 3 Gather the Facts Step 4 Analyze the Evidence Write the report: ROI / ROII Make Notifications Step 5 Closure & Release ~Step 6 / 7 Review / Quiz / HW / Final

IG Investigations Day 7 (Tuesday) 0900-1200 Intro; definitions; IGAP 1 & 2 1300-1600 IGPA; form allegations; Action Memo & Directive; Plan; IGAP 3-4; PE's 1-7 Day 8 (Wednesday) 0800-1100 Gather & analyze evidence; 4-Part Interview; IGAP 4; PE's 7-10 1100-1230 Witness telephone interview prep 1330-1415 Live Witness telephone interview; PE 10 1420-1450 Command Products; Force-Field Diagram 1500-1630 Suspect interview prep; PE 11 U.S. Army Inspector General School 15 Investigations Training Schedule

IG Investigations Day 9 (Thursday) 0800-0900 Live Suspect interview & AAR; PE 11 0900-1000 Graded Homework PE 12; introduce ROI 1000-1100 Writing an ROI; final notifications; follow-up; close IGAR; finish IGAP 4; IGAP 5-7 1600-1630 (Optional ELO review) Day 10 (Friday) 0800-0900 INVESTIGATIONS QUIZ & Post-Quiz review 0900-1100 Whistleblower Reprisal investigations Day 11 (Monday) 0800 INVESTIGATIONS HOMEWORK DUE U.S. Army Inspector General School 16 Investigations Training Schedule

IG Investigations U.S. Army Inspector General School 17 References AR 20-1, IG Activities and Procedures Chapters 3 and 7, Appendix D, and the Glossary The Assistance and Investigations Guide Part Two & Part Three (and some of Part One) Advance Sheets & Class CD Please have these resources available every class!

IG Investigations U.S. Army Inspector General School 18 Investigations Terminal Learning Objective Action: Resolve allegations of impropriety. Conditions: Given Army Regulation 20-1, The Assistance and Investigations Guide, Army Regulation 600-20, DoD Directive 5500.7-R, classroom handouts, classroom instruction, and allegations of impropriety. Standard: Apply the seven-step Inspector General Action Process (IGAP) to resolve an allegation of impropriety, culminating in a Report of Investigation (ROI) that accurately substantiates or does not substantiate the allegation. In addition, describe special situations with regard to Inspector General Investigations.

IG Investigations U.S. Army Inspector General School 19 Enabling Learning Objectives Advance Sheets pages 13 - 15 1.Describe a persons role and status in an IG Investigation / Investigative Inquiry. 2.Describe an individuals rights or non-rights given that persons role and status. 3.Describe a fact and the levels of evidence used in the Investigations function. 4.Describe the IG Standard of proof. 5.Describe the parts of an allegation. ELOs

IG Investigations U.S. Army Inspector General School 20 Enabling Learning Objectives 6. Identify the allegations and issues in a complaint. 7. Describe the actions an IG should take upon receiving an allegation against a senior official. 8. Determine if an allegation received by the IG is appropriate for IG action. 9. Describe an IG Investigation and an IG Investigative Inquiry and the differences between them. ELOs

IG Investigations U.S. Army Inspector General School 21 Enabling Learning Objectives 10. Explain which IG method Investigative Inquiry or Investigation is preferable for a particular case. 11. Describe how an IG plans an Investigative Inquiry or Investigation. 12. Demonstrate evidence-gathering activities by reviewing documents; analyzing data; and interviewing witnesses, subjects, or suspects. ELOs

IG Investigations U.S. Army Inspector General School 22 Enabling Learning Objectives 13. Describe how IGs use command products to resolve an allegation in a ROI / ROII. 14. Complete a Report of Investigation (ROI). 15. Describe a request for IG information and the proper actions taken by the IG. ELOs

IG Investigations U.S. Army Inspector General School 23 Setting Conditions for Success Stay current with the reading - AR 20-1, Chapters 1 through 4, and 8 Refer to the A & I Guide - Part Two Follow along with the Advance Sheets Participate Immerse yourself in the PE

IG Investigations U.S. Army Inspector General School 24 Role: Witness, Subject, Suspect Status: Military, DA Civilian, Contract Civilian, or Civilian-Civilian Complainant: Anonymous, Injured Party, Third Party Subject / Suspect: Unit? Status? At the times in question Commander / Supervisor ROI: Report of Investigation ROII: Report of Investigative Inquiry Person's Role and Status DEFINITIONS AR 20-1, paragraph 7-1g; The A&I Guide, Part Two, Section 1-3 (II-1-9) ELO 1

IG Investigations U.S. Army Inspector General School 25 Roles DEFINITIONS Witness : Someone whom we believe has some knowledge to support or to refute an allegation May be a subject-matter expert (SME) Subject: Someone against whom a non-criminal allegation is made Suspect: Someone against whom a criminal * allegation is made *Violations of law (UCMJ & USC) are criminal offences. AR 20-1, paragraph 7-1g; The A&I Guide, Part Two, Section 1-3 (II-1-9)

IG Investigations Military? Army Active Duty? Army Reserve? Army National Guard? Department of the Army Civilians? Contractors? Other DoD Military / Civilian Personnel? Civilians not employed by the DoD? (Civilian / Civilians) U.S. Army Inspector General School 26 The A&I Guide, Part Two, Section 1-6 (II-1-17) Always Who is required to cooperate & when? When in a duty status Always Chain of command It depends on the contract Never Status DEFINITIONS

IG Investigations U.S. Army Inspector General School 27 Rights and Non-Rights AR 20-1, paragraph 7-1g; The A&I Guide, Part Two, Sections 1-4 and 1-5 ADMINISTRATIVE DUE PROCESS Inspector General Investigation / Investigative Inquiry WITNESS SUBJECT SUSPECT ELO 2

IG Investigations U.S. Army Inspector General School 28 WITNESS 1. Consult with Counsel (but...) 2. Confidentiality (but...) 3. Review Own Testimony (in...) 4. Avoid Self Incrimination 5. Have a Union Rep present (if...) Rights Based on Role DEFINITIONS AR 20-1, paragraph 7-1g; The A&I Guide, Part Two, Section 1-4 (II-1-11) SUSPECT Subject and Witness rights...AND! Have Article 31 Rights: 8. Have Counsel Present 9. Remain Silent SUBJECT Witness rights...and! 6. Know and Comment on Allegations 7. Know and Comment on Unfavorable Information

IG Investigations U.S. Army Inspector General School 29 Know the identity of witnesses Be present during questioning of others Question others Review evidence Audio / video record testimony [AR 20-1, 7-1.b(4)(f)] Take / Remove written notes from IG interview* Have a friend present during questioning* * Detailed IG / CIG has some discretion Non-Rights DEFINITIONS AR 20-1, Paragraphs 3-1 and 3-2; The A&I Guide, Part Two, Section 1-5 (II-1-15) IG confidentiality

IG Investigations U.S. Army Inspector General School 30 Summary Define the following terms: Witness Subject Suspect What are the rights of each during an IG Investigative Inquiry or Investigation? When must a DA civilian employee cooperate with an IG Investigative Inquiry or Investigation? When must a civilian-civilian cooperate with an IG? What do you do when a witness incriminates themselves?

IG Investigations U.S. Army Inspector General School 31 Categories of Evidence DEFINITIONS Testimony Recorded under oath - transcribed or summarized! ( Sworn Statement ) Physical Objects; not common Documents Statements - Written Standard Regulation, SOP, etc IG Personal Observation Stay Away! High Low The A&I Guide, Part Two, Section 1-8 (II-1-22) RRecorded Under oath

IG Investigations U.S. Army Inspector General School 32 Levels of Evidence DEFINITIONS Direct - First-hand knowledge Circumstantial - Tends to prove or disprove an issue by inference Hearsay - What one individual says another person said Opinion - A persons belief or judgment High Low ELO 3 Evidence is also characterized by its quality, detail, and credibility. Always conduct a credibility assessment. The A&I Guide, Part Two, Section 1-9 (II-1-26) (D C H O)

IG Investigations Events that are known to have happened Things that are known to be true Can be a combination of testimonies, documents or physical evidence Must independently agree on a single point U.S. Army Inspector General School 33 Fact DEFINITIONS The A&I Guide, Part Two, Section 1-10 (II-1-27)

IG Investigations U.S. Army Inspector General School 34 IG Standard of Proof DEFINITION Preponderance of credible evidence That evidence which has superiority of weight >50% "More likely than not, it probably occurred" Only two conclusions: S ubstantiated N ot Substantiated AR 20-1, paragraph 7-1a ELO 4

IG Investigations U.S. Army Inspector General School 35 4-Part Allegation DEFINITION Who Must be an individual; name Improperly The word improperly shows wrongdoing may be implied Did (or failed to do) In Violation of a Standard A standard is law, regulation, or policy AR 20-1, Glossary; The A&I Guide, Part Two, Section 2-2 (II-2-3) ELO 5

IG Investigations IGARs come from the in crowd: Walk-in Call-in Write-in E-mail-in FAX-in gym / party / PX / bathroom / mall Bottom line who can give an IGAR? U.S. Army Inspector General School 36 The Seven-Step IGAP Step One AR 20-1, paragraph 6-1d (1) and 7-1b(1) The A&I Guide, Part Two, Sect. 1-14 (II-1-32) Step 1 Receive the IGAR ELO 3

IG Investigations U.S. Army Inspector General School 37 Allegations against COL(P), GO, or USMA Academy Professor Senior Executive Service (SES) civilian Report to DAIG Investigations Division within 2 working days DO NOT conduct ANY IG Preliminary Analysis Verify with Investigations Division before entering in IGARS as an Information IGAR Do not name the senior official Do not complete a DA Form 1559 Not Local IG Appropriate Senior Official Allegations AR 20-1, paragraph 7-1l, Appendix D-1; The A&I Guide, Part Two, Section 2-4 (II-2-9) ELO 7

IG Investigations U.S. Army Inspector General School 38 Step Two: IG Preliminary Analysis Step 2 Preliminary Analysis Identify Issues / Allegations Determine IG Appropriateness Open Case in IGARS Acknowledge Receipt Select a Course of Action (Obtain Authority) AR 20-1, Paragraph 6-1d and 7-1b The A&I Guide, Part One, Section 2-3 (II-2-7) IGPA

IG Investigations U.S. Army Inspector General School 39 ANONYMOUS COMPLAINANT ISSUE INJURED PARTY THIRD PARTY Wrongdoing without a "WHO" or a standard - or something bothering the complainant COMPLAINT ALLEGATION "WHO"

IG Investigations U.S. Army Inspector General School 40 A thought process to determine how best to proceed. May take minutes / hours / days Sub-Steps of Preliminary Analysis Identify the issues and determine allegations Determine IG appropriateness Open the case in IGARS Acknowledge receipt Select COA AR 20-1, para. 6-1d (2); The A&I Guide, Part Two, Chapter 2 (II-2-1) Let's look at a complaint! STEP 2: Conduct IG Preliminary Analysis (IGPA) ELO 6

IG Investigations Typical Complaint U.S. Army Inspector General School 41 Our director, COL Brown, is a real JERK. He has a clique of cronies that get all the good deals. The rest of us don t get anything. He also ordered new office furniture for himself and his SECRETARY. That is a real waste since we are laying off good workers. I also heard that he accepted a unit gift at his change of command that cost over $300. He boasts that he is IN TIGHT with the General and that is why he can do whatever he wants to do. If you check, you can verify these things with Ms ROSE, Mr. CALVIN, and Mr. HOBBS. They know about HIM. A CONCERNED EMPLOYEE

IG Investigations U.S. Army Inspector General School 42 Heres a written complaint left on your door! DEAR INSPECTOR GENERAL, COL Brown, the Director, is having an affair with the secretary. Concerned and Jealous P.S. And he often doesnt even show up for work!

IG Investigations U.S. Army Inspector General School 43 Proper Allegation? What do you think? COL Robert E. Brown acted improperly in that he committed adultery with Ms. Smith on 25 JUN 2014, in NJ, in violation of the UCMJ. COL Robert E. Brown wasn't at work in violation of AR 600-20, paragraph 2-17. Who, Improperly, Did, IVO

IG Investigations U.S. Army Inspector General School 44 How About These? COL Robert E. Brown committed adultery in violation of Article 134 (Adultery), UCMJ. COL Robert E. Brown was improperly absent from his place of duty in violation of Ft. Von Steuben Supplement to AR 600-20, Command Policy, section 3, Garrison Staff Officer Duties.

IG Investigations U.S. Army Inspector General School 45 Where to Find Standards (use the standard for the time in question) United States Code (USC): www.law.cornell.edu/uscode/ Code of Federal Regulations (CFR): www.gpoaccess.gov/cfr/retrieve.html DoD Directives: www.dtic.mil/whs/directives/ Army Regulations: www.apd.army.mil/ or www.army.mil/usapa/ National Guard Regulations: www.ngbpdc.ngb.army.mil/publications.htm Camp, Post or Station local regulation, policy and SOP

IG Investigations U.S. Army Inspector General School 46 Summary What are the Four Levels of Evidence? What is a Fact? What is the IG Standard of Proof? What is the difference between an Issue and an Allegation? Describe the parts of a properly worded Allegation. What do you do with an allegation against a Senior Official?

IG Investigations U.S. Army Inspector General School 47 STEP 2: Conduct IGPA Select a Course of Action Inspection Assistance Inquiry Referral to another agency Investigation / Investigative Inquiry A&I Guide Part Two, Section 2-1, 2-2, 2-3

IG Investigations If the allegation involves serious criminal misconduct, then the IG will not normally investigate! These are outside the IG purview. If substantiation and adverse action appears certain, then refer the case to the command to consider another form of investigation. Commanders must also consider these factors: Established means for regulatory redress already exists The Commander's preference is to select another means to investigate the matter The IG recommended another non-specific form of investigation U.S. Army Inspector General School 48 Reasons why the IG Won't investigate The A&I Guide, Part Two, sections 2-5 and 2-6 (II-2-11, 13) ELO 8

IG Investigations U.S. Army Inspector General School 49 Not Local IG Appropriate Allegations against Professionals Any Army lawyers (military or civilian) refer to DAIGs Legal Advisor (AR 20-1, paragraph 7-1i (4)-(5)) IGs refer to next higher IG (AR 20-1, paragraph 7-1j) Medical, CID Agents, Recruiters, Chaplains (The A&I Guide, Part One, Section 3-8) AR 20-1, Paragraph 7-1i The A&I Guide, Part One, Section 3-8 (I-3-11), and Part Two, Section 2-5 (II-2-11)

IG Investigations U.S. Army Inspector General School 50 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, paragraph 1-4b(5)(e) The A&I Guide, Part One, Section 3-7 (I-3-10) Not Local IG Appropriate Allegations against Members of SAPs & SAs

IG Investigations Criminal Investigation Division UCMJ Rule 303, Preliminary Inquiry AR 15-6 Investigation UCMJ Article 32 hearing Military Police Investigation Chain of Command Civil Authority Inspector General Do Nothing U.S. Army Inspector General School 51 What are the Commanders Options? The A&I Guide, Part Two, Section 1-2 (II-1-4), and 2-6 (II-2-13) 13 sex crime

IG Investigations U.S. Army Inspector General School 52 STEP 2: Conduct IGPA Select a Course of Action Inspection Assistance Inquiry Referral to another agency Investigation / Investigative Inquiry A&I Guide Part Two, Section 2-1, 2-2, 2-3

IG Investigations U.S. Army Inspector General School 53 What the IG SHOULD Investigate If the allegation is IG appropriate, then the IG should investigate when... It is the Commanders preference; or these factors are present: Lack of factual information surrounding the allegation Started with the IG system; must finish with IG system Sensitivity of allegations; IG are trained investigators Confidentiality is important; identities must be protected Protect reputations AND preserve unit cohesion If substantiation is likely and adverse action appropriate, then refer the allegation to the commander for some other investigation, and use the final command product as evidence in your ROI or ROII. A&I Guide Part Two, Section 2-6 (II-2-13)

IG Investigations INVESTIGATIVE INQUIRY Detailed IG Resolve Allegations of a less serious nature Informal fact-finding process (Directing Authority or Command IG directive) Written ROII Less testimony, more statements U.S. Army Inspector General School 54 INVESTIGATION Detailed IG Resolve Allegations of a more serious nature Formal fact-finding process (Directing Authority Written Directive) Written ROI More testimony, less statements STEP 2: Conduct IGPA Selection of Course of Action ELO 9

IG Investigations U.S. Army Inspector General School 55 Investigation / Investigative Inquiry Investigation: A fact-finding examination into allegations, issues, or adverse conditions of a serious nature to provide the directing authority with a sound basis for decision and actions. Investigative Inquiry: A fact-finding examination into allegations, issues, or adverse conditions that are not as serious in nature. AR 20-1, paragraph 7-1a and 7-2 The A&I Guide, Part Two, Sections 1-2 (II-1-4), 2-7 (II-2-17), and 2-8 (II-2-18) FORMAL ROIROI INFORMAL ROIIROII Both the ROI & ROII require the same measure of proof and due diligence by the IG.

IG Investigations U.S. Army Inspector General School 56 Fair and Impartial IGs are not an adversary or a champion IGs do not recommend adverse action Thorough emphasis on facts IG Confidentiality Limited distribution of information Overt but discreet Protect all individuals from reprisal / ridicule: including the accused Led by a Detailed IG Investigation vs. Investigative Inquiry Similarities

IG Investigations U.S. Army Inspector General School 57 Investigation vs. Investigative Inquiry Differences Investigation Written Directive from CG / Directing Authority Transcribed testimony recorded under oath Investigative Inquiry Authorized by Command IG or State IG; oral or written Statements may be recorded but often are not under oath or sworn; if not sworn, then not "testimony" AR 20-1, paragraph 7-1a and 7-2; The A&I Guide, Part Two, Section 1-2 (II-1-5) The A&I Guide, Part Two, Section 2-9 (II-2-20)

IG Investigations U.S. Army Inspector General School 58 Reporting Requirements Inspectors General: Input allegations into the IGARS database and report to the next higher-echelon IG for appropriate action within two working days* AR 20-1, paragraph 7-1j (1), and Appendix D-1 COL and below: Input allegations into the IGARS database within two working days* Local IG can inquire / investigate AR 20-1, paragraph 7-1k (1), and Appendix D-1; The A&I Guide, Part Two, Section 2-5 * IGARS AUTOMATICALLY sends SAIG-AC and SAIC-IN a notice. (AR 20-1, Table D-1, is out of date for special reporting requirements to SAIG-AC for O4 O6, E-8, E-9). AR 20-1, paragraph 7-1j, and Appendix D-1

IG Investigations U.S. Army Inspector General School 59 Summary When is it not appropriate for an IG to investigate? When is it appropriate for an IG to investigate? What factors favor choosing an IG Investigation over an Investigative Inquiry? What are the similarities and differences between an IG Investigation and an Investigative Inquiry? What are the various reporting requirements when an allegation is received?

IG Investigations U.S. Army Inspector General School 60 CASE STUDY PE #1 - LTC Bowie (Class CD - Day 7- PE 1) What are the IG reporting requirements? Who is the subject / suspect? What IG office is the office of record? Why? What are the issues / allegations?

IG Investigations Improper Relief "Toxic" Leadership Reign of Terror Family Readiness Group Redeployment Spouse misbehavior ??? Why does the IG get "stuck" working leadership issues? U.S. Army Inspector General School 61 Issues / Allegations COL Santa Anna

IG Investigations Lets talk to the complainant PE #2 U.S. Army Inspector General School 62 Acknowledge Receipt Continue with IGPA Step 2 What do we do now?

IG Investigations U.S. Army Inspector General School 63 4-Part Allegation #1 COL Santa Anna improperly abused his authority in his treatment of subordinates and their spouses in violation of Army Regulation (AR) 600-100, section 2-1 and Article 92 (3), UCMJ. #2 COL Santa Anna improperly relieved a subordinate commander in violation of AR 600-20, section 2-17. xxxxxxxxxxxx AR 20-1, Glossary

IG Investigations U.S. Army Inspector General School 64 Not required, but it is a really good idea Helps refine allegations Helps select proper standards Helps identify Elements of Proof SJA interprets regulations and law and advises the commander on the investigative COAs The IG investigates allegations of impropriety Consultation with the SJA PE #3

IG Investigations Elements of Proof Words Have Meaning! Read what the standard says "don't read into it" Conjunctions count And, Or, Nor, For But, Yet, So Ask SJA for interpretation and advice U.S. Army Inspector General School 65

IG Investigations Elements of Proof Article 92 (3), UCMJ, states, "Any person subject to this chapter who is derelict in the performance of his duties; shall be punished as a court-martial may direct. Elements. (3) Dereliction in the performance of duties. (a) That the accused had certain duties; and (b) That the accused knew or reasonably should have known of the duties; and (c) That the accused was (willfully) (through neglect or culpable inefficiency) derelict in the performance of those duties. U.S. Army Inspector General School 66

IG Investigations U.S. Army Inspector General School 67 Elements of Proof AR 600-100, paragraph 21, Abuse of Authority Failure of one OR more of these could violate the standard. or a. Set and exemplify the highest ethical and professional standards as embodied in the Army Values. b. Accomplish the unit mission. c. Ensure the physical, moral, personal, and professional wellbeing of subordinates. d. Effectively communicate vision, purpose, and direction. e. Build cohesive teams and empower subordinates. f. Teach, coach, and counsel subordinates. g. Build discipline while inspiring motivation, confidence, enthusiasm, and trust in subordinates. h. Develop their own and their subordinates skills, knowledge, and attitudes. i. Anticipate and manage change and be able to act quickly and decisively under pressure. j. Use initiative to assess risk and exploit opportunities. k. Treat subordinates with dignity, respect, fairness, and consistency. l. Foster a healthy command climate. (12 elements) (Only need three...)

IG Investigations U.S. Army Inspector General School 68 a. When a Senior Commander (SC) loses confidence in a subordinate commanders ability to command due to misconduct, poor judgment, the subordinates inability to complete assigned duties, or for other similar reasons, the SC has the authority to relieve the subordinate commander. 1. Must counsel unless inappropriate or impractical under the circumstances. 2. Commander may temporarily suspend, but must get final written approval from the first general officer in the chain of command. 3. Action is temporary until the first general officer in the chain of command submits his or her written approval. "BUT" b. If relieved as a result of an AR 15-6 investigation, then 1. Referral and comment procedure of that regulation must be followed. 2. Relieved officer may be temporarily suspended pending completion of the procedural safeguards contained in AR 15-6. 3. Action to relieve before completion of the procedural safeguards of AR 15-6 is a temporary suspension. Elements of Proof AR 600-20, paragraph 2-17 Relief for cause

IG Investigations U.S. Army Inspector General School 69 Summary Explain elements of proof and where you find them. How does the IG use the elements of proof within a standard during the preparation and execution of an investigation or an investigative inquiry?

IG Investigations During preliminary analysis, we must select an IG course of action to best solve the puzzle. Which IG course of action do we choose? IG Investigation / IG Investigative Inquiry, or Referral to another form of investigation? The Commanders Guidance can help you determine which course of action to select. It Depends/ CCIRs U.S. Army Inspector General School 70 Inspector General Preliminary Analysis (Step 2 Course of Action)

IG Investigations U.S. Army Inspector General School 71 Factors to consider favoring an Investigation: The allegation is serious and could result in adverse action High degree of documentation is important / required The potential for harm to a Soldier (or Soldiers) exists Adversely affects the image of the Army May have great impact on the command The allegation will likely have media interest The Commander directs the IG to investigate Factors favoring an Investigative Inquiry: Investigation or Investigative Inquiry? ELO 10 The A&I Guide, Part Two, Sections 2-6 (II-2-14)

IG Investigations U.S. Army Inspector General School 72 No formal authorization required Command or State IG may direct Based on Commanders guidance (CCIRs) Results in an ROII AR 20-1, paragraph 7-1a; The A&I Guide, Part Two, Section 2-9 (II-2-20) Obtain Authority Investigative Inquiry

IG Investigations U.S. Army Inspector General School 73 Obtain Authority Investigation AR 20-1, paragraph 7-1b (4); The A&I Guide, Part Two, Section 2-9 (II-2-20) Requires a written Directive from the directing authority (CG / TAG / TIG) The Detailed IG leading the investigation normally prepares the Action Memorandum and the Directive The CIG normally briefs the directing authority to request signature on the Directive Results in an ROI

IG Investigations U.S. Army Inspector General School 74 Action Memorandum Gives background information States the allegation(s) Summarizes the entire case Provides the scope and the limits of the investigation Includes SJA opinion Recommends approval to proceed Signed by the Command IG This is pre-decisional: NOT RELEASABLE FOIA EXEMPT

IG Investigations U.S. Army Inspector General School 75 Authorizes the investigation or inquiry General description of the allegation Names are not included to protect confidentiality Directive IS RELEASABLE and presented to all those necessary to show your authority Signed by the Directing Authority Directive subject to FOIA

IG Investigations U.S. Army Inspector General School 76 Action Memo + Directive Ensures a clear, mutual understanding between the IG and the directing authority concerning who and what to investigate The IGs "order" from the Directing Authority PE #4

IG Investigations U.S. Army Inspector General School 77 Step Three: Referrals and Initial Notifications Step 3 Initiate Referrals Make Initial Notifications AR 20-1, paragraph 6-1d (3) and 7-1b(3); The A&I Guide, Part Two, Chapter 3 (II-3-1)

IG Investigations U.S. Army Inspector General School 78 Initiate Referrals (Step 3) If a non-IG investigation is appropriate at this time, the IG will refer it to the proper authority and coordinate initial notifications. What can the IG tell another Army investigator? What can the IG tell a non-Army investigator? AR 20-1, paragraphs 3-5 & 7-1; The A&I Guide, Part Two, Section 3-1 (II-3-2)

IG Investigations PE #5 Lets notify COL Santa Anna U.S. Army Inspector General School 79 Initial Notifications (Step 3) Verbally notify appropriate commanders and or supervisors of the investigation (inquiry) and inform them of the nature of the allegations Verbally notify the subjects or suspects of the investigation (inquiry) and inform them of the nature of the allegations, or the specific allegations Record notifications in IGARS and in the ROI / ROII AR 20-1, paragraph 7-1b; The A&I Guide, Part Two, Section 3-2 (II-3-5)

IG Investigations U.S. Army Inspector General School 80 Summary What are the contents and purpose of the Action Memorandum? What are the contents and purpose of the Directive?

IG Investigations U.S. Army Inspector General School 81 Step Four: IG Fact Finding The A&I Guide, Part Two, Chapter 4 (II-4-1) Investigation / Investigative Inquiry ----- Plan Gather Evidence Evaluate Evidence Write Report Obtain Legal Review Obtain Approval Assistance Inquiry ----- Plan Gather Information Evaluate Information Resolve Issue(s) Write Report Documents IG Observations Testimonies Physical Objects Documents Telephone Calls Make Contacts Coordinate Report Inspection ----- Follow the IG Inspections Process ss Step 4 IG Fact Finding

IG Investigations U.S. Army Inspector General School 82 Written Investigative Plan DEFINITION An IG Investigation requires a written investigative plan (working document) An investigative plan must include 3 things: W itness list including complainant, SMEs, and subject / suspect How many? I tinerary / schedule: time, location, and sequence of Interviews I nterrogatories / Interview Questions ELO 11 AR 20-1, paragraph 7-1b(4); The A&I Guide, Part Two, Section 4-3 (II-4-5)

IG Investigations PE #6 Complete the Plan W itness List I tinerary (time, place, sequence) I nterrogatories / Interview Questions The plan may also require security, travel, messing, and administrative support etc. Be Prepared to Change Your Plan!!! U.S. Army Inspector General School 83 IG Investigative Plan

IG Investigations U.S. Army Inspector General School 84 Gather Evidence (Step 4: IG Fact Finding) Create an Evidence Matrix.... Collect documents........... Collect physical evidence.......................... Conduct interviews: Complainant.................. Experts.................................... Witnesses........................................... Subjects / Suspects............................ ELO 12

IG Investigations U.S. Army Inspector General School 85 Evidence terms Standards (evaluate evidence using standards) Documentary evidence Evidence from interviews: oral & written Sworn = Testimony Recorded Under Oath Transcribed Summarized Not sworn = Statements Oral or Written Summarized Written and submitted by witness Other Evidence (physical objects) IGs personal observations avoid (....why?)

IG Investigations U.S. Army Inspector General School 86 Interrogatory Interview Questions What are the standards and elements of proof? Determine the key facts necessary to address the elements of proof. Who What When Where Why How How many / how much WHAT IS A FACT?

IG Investigations U.S. Army Inspector General School 87 Do you and Ms Smith have a romantic relationship? Do others perceive your relationship with Ms Smith as inappropriate? Are you always performing your duties as required? Interview Questions (cont'd) Describe the nature of your relationship with Ms Smith. Describe when and where you must perform your duties away from your office and / or after normal duty hours. What additional information can you provide that will help the IG resolve this matter? Weak interview: Stronger interview:

IG Investigations Interview Questions (cont'd) U.S. Army Inspector General School 88 Describe the nature of your relationship with Ms. Smith. We have an intimate and romantic relationship. It is both professional and personal. What about your relationship might others perceive as improper? When did this intimate relationship begin? I don 't know. Ask them. After my divorce. Its been awhile. We spend a lot of time together. The A&I Guide, Part Two, Appendix B (II-B-3) Be prepared to adjust and to change the focus of your questioning based on the answers. Q A Q A A

IG Investigations Improper reliefAbuse of AuthorityOther/Due Outs LTC BowieBelieves he was relieved in theater because CDR did not like wife COL Santa Anna claimed relief was for poor judgment COL Santa Anna threatened Bowie; get wife under control or be relived (page 6) BG Klink warned LTC Bowie Santa Anna "out to get him" Relived March 6 BN Commanders confronted Santa Anna Mrs. Santa Anna threatened to have him relieved and COL Santa Anna ratified the threat "my wife speaks for me" Has not received his OER COL Santa Anna removed BN S-3 just before deployment Mrs. Santa Anna abusive, COL Santa Anna did not intervene Interview LTC Ewing, LTC Crockett, LTC Houston, MAJ Rose, and Ursula Bowie Consult with SJA, re: FRG coordinator cooperation requirements E-mail"If you cannot get your wife under control, then I will find someone who can. Signed Gunfighter Six." MAJ Rose LTC Crockett LTC Ewing Betty Santa Anna COL Santa Anna U.S. Army Inspector General School 89 Evidence Matrix Investigation Plan OTR 12-0021 Complaint Letter 14 APR LTC Bowie Interview 17 APR FOR OFFICIAL USE ONLY. DISSEMINATION IS PROHIBITED EXCEPT AS AUTHORIZED BY AR 20-1. Deployed OEF 6 MAR 5 MAR Ordered to Report Santa Anna command LTC Bowie Relieved Disagreement and Email MAR DEC OCT TIMELINE (according to LTC Bowie) organize your data early & often

IG Investigations How many witnesses must the IG interview? What is required in an IG investigative plan? What information goes on the evidence matrix? Who do you interview first? Last? In between? Does the IG have to interview all the witnesses that the complainant and the suspect suggest? Why? or Why not? U.S. Army Inspector General School 90 Summary

IG Investigations Day 7 Summary (1 of 3) Defined Witness, Subject, Suspect Rights of each DA civilian employee cooperation Civilian-civilian cooperation What to do when a witness incriminates themselves Four levels of evidence Define Fact U.S. Army Inspector General School 91

IG Investigations Day 7 Summary (2 of 3) Defined IG Standard of Proof Difference between an issue and allegation The parts of a properly worded 4-Part allegation When is it not appropriate for an IG to investigate? When is it appropriate for an IG to investigate? The factors favoring an IG Investigation over an Investigative Inquiry U.S. Army Inspector General School 92

IG Investigations Day 7 Summary (3 of 3) Similarities and differences between an Investigation and an Investigative Inquiry How many witnesses to interview Requirements of an IG investigative plan U.S. Army Inspector General School 93

IG Investigations U.S. Army Inspector General School 94 Execute Your Plan Collect documents throughout IGs usually take testimony under oath. How many witnesses do we interview? MINIMUM NUMBER NECESSARY to substantiate or refute the allegation(s) you decide IG! Thorough, but dont go for overkill! The A&I Guide, Part Two, Section 4-3 (II-4-5)

IG Investigations Let's search the web and other documents Lets interview LTC Ewing and LTC Crockett PE #7 What did we get? What now IG? Update the Matrix & timeline! U.S. Army Inspector General School 95 Gather More Evidence

IG Investigations Lets interview MAJ Rose, Rear Detachment Commander PE #8 What did we get? What now IG? Update the Matrix & timeline! U.S. Army Inspector General School 96 Gather More Evidence

IG Investigations U.S. Army Inspector General School 97 Four-Part Interview The A&I Guide, Part Two, Section 4-9 (II-4-26), and Appendix A (II-A-2) 1.Pre-brief (not recorded never off the record) 2.Read-in (recorded) 3.Questioning (recorded) 4.Read-out (recorded) Prepare using Appendix A: Interview Prep Book

IG Investigations U.S. Army Inspector General School 98 Interview: Part 1 Establish rapport Lay down the ground rules 1. Pre-brief (explain in plain English) The IG interview process and IG confidentiality The IG's Role Privacy Act Header Sheet Rights Warning Swearing / Affirming Oaths Filling in documents and forms Observe baseline behavior of the witnesss speech and mannerisms. (as an IG, not as an "Interrogator") The A&I Guide, Part Two, Section 4-9 (II-4-26)

IG Investigations 2. Read-in (recorded): Verbatim 3. Questioning (recorded): Follow interrogatory BUT listen to the witness' answers and adjust accordingly. You may stop the recorder... but you are never off the record. 4. Read-out (recorded): Verbatim U.S. Army Inspector General School 99 Interview Parts 2, 3 + 4 The A&I Guide, Part Two, Section 4-9 (II-4-26), and Appendix A (II-A-12)

IG Investigations Preparation & Rehearsal IG Attitude & Demeanor IG ability to: Put the witness at ease Maintain impartiality Adapt to the unexpected LISTEN! LISTEN! LISTEN! OBSERVE! No Surprises - No Trickery IG must ask the questions necessary to uncover credible evidence that address elements of proof! U.S. Army Inspector General School 100 Successful Interviews The A&I Guide, Part Two, Sections 1-6, 4-4 through 4-11, and Appendix B

IG Investigations U.S. Army Inspector General School 101 Interviews AVOID: Being defensive / aggressive Interrupting the witness Asking: Yes or No questions Leading questions Irrelevant questions DO NOT: Lose control of interview Lose your temper Give advice or counsel Be intimidated

IG Investigations U.S. Army Inspector General School 102 Interviews: What NOT To Do! {Show news report video about a tape recorded IG interview... gone wrong!} issue the graded homework exercise U.S. Army Inspector General School 113 Prepare to Write the ROI The A&I Guide, Part Two, Sections 4-14 (II-4-44), 4-15 (II-4-142), and 4-18 (II-4-153)">

IG Investigations Review ALL of the evidence Review ALL of the elements of proof Complete and check your Evidence Matrix Complete the Force-Field Diagram(s) Organize your evidence into report exhibits USE the A&I Guide write the synopsis LAST! PE # 12 > issue the graded homework exercise U.S. Army Inspector General School 113 Prepare to Write the ROI The A&I Guide, Part Two, Sections 4-14 (II-4-44), 4-15 (II-4-142), and 4-18 (II-4-153)

IG Investigations U.S. Army Inspector General School 114 ROI Tips Allegations: Be clear, concise, and consistent Standards: Use the correct one(s) Evidence: Address elements of proof in standard(s) Discussion: Explain the credibility of the evidence, AND discuss both sides of the allegation (support and refute) thoroughly Style: Past tense; alleged (NOT passive voice) Testified (under oath) vs. stated (not under oath) Footer on all report pages: For Official Use Only (FOUO) Dissemination is prohibited except as authorized by AR 20-1 Example ROI in Section 4-14 The A&I Guide, Part Two, Sections 4-14 and 4-18, pages II-4-44 to 67, Appendix E

IG Investigations U.S. Army Inspector General School 115 ROI Tips SYNOPSIS: Write this part last! The synopsis should include a concise summary of the elements of proof from the standard, the key evidence on both sides, and a comparison of the evidence leading to the conclusion. The A&I Guide, Part Two, Sections 4-14 and 4-18, pages II-4-44 to 67, Appendix E IGs never recommend adverse action. However, recommending administrative action to correct a mistake is appropriate. For instance, recovering an unauthorized BAH or TDY payment is not an adverse action.

IG Investigations ROI / ROII Other Matters: 5. (1 st matter) 6. (2 nd matter) 7. Unfavorable info: 2. (S/N) Allegation: a. b. c. 3. (U/F) Issue: a. b. c. 4. (U/F) Issue: a. b. c. U.S. Army Inspector General School 116 Executive Summary Name / position Authority Background S / N Allegation #1 Synopsis S / N Allegation #2... Synopsis U / F Issue #1 Discussion U / F Issue #2... Discussion Consideration of Allegations 1. (S/N) Allegation: a. Evidence (1) Complaint (2) Standard (3) Document (4) Testimony b. Discussion (5 parts) (1) Allegation (2) Standard (3) Evidence>S (4) Evidence>N (5) Analysis c. Conclusion AR 20-1, paragraph 7-2; The A&I Guide, Part Two, Sections 2-7, 4-1, 4-14, 4-15, II-E-2 Recommendations: 8. Approve & close 9. Fix the issue 10. Fix the issue 11. Fix other matter 12. Fix other matter ELO 14 How you read the ROI

IG Investigations How you write the ROI ROI / ROII Other Matters: 5. (1 st matter) 6. (2 nd matter) 7. Unfavorable info: 2. (S/N) Allegation: a. b. c. 3. (U/F) Issue: a. b. c. 4. (U/F) Issue: a. b. c. U.S. Army Inspector General School 117 Executive Summary Name / position Authority Background S / N Allegation #1 Synopsis S / N Allegation #2... Synopsis U / F Issue #1 Discussion U / F Issue #2... Discussion Consideration of Allegations 1. (S/N) Allegation: a. Evidence (1) Complaint (2) Standard (3) Document (4) Testimony b. Discussion (5 parts) (1) Allegation (2) Standard (3) Evidence>S (4) Evidence>N (5) Analysis c. Conclusion AR 20-1, paragraph 7-2; The A&I Guide, Part Two, Sections 2-7, 4-1, 4-14, 4-15, II-E-2 5 Recommendations: 8. Approve & close 9. Fix the issue 10. Fix the issue 11. Fix other matter 12. Fix other matter ELO 14 6 1 4 3 2 what "RIGHT" looks like

IG Investigations DOCUMENTS STANDARDS TESTIMONY 1. (S) ALLEGATION: Adultery a. EVIDENCE (1) (2) (3) b. DISCUSSION (has five parts) c. CONCLUSION 2. (N) ALLEGATION: Absent a. EVIDENCE (1) (2) (3) b. DISCUSSION (has five parts) c. CONCLUSION U.S. Army Inspector General School 118 from ACTION MEMO DOCUMENTS STANDARDS TESTIMONY CONSIDERATION OF ALLEGATIONS The A&I Guide, Part Two, Section 4-14 (II-4-44) and Appendix E (II-E-1) Include ALL credible evidence in order to logically demonstrate that the preponderance of credible evidence supports your conclusion. A&I Guide, Appendix E 1 summarize verbatim logical! summarize

IG Investigations Consideration of Allegations 1. (SUBSTANTIATED) ALLEGATION: COL Brown conducted an adulterous relationship in violation of Article 134, UCMJ. {allegation directly from the Action Memorandum} a. EVIDENCE: {documents, testimony, statements, other evidence} (1) An undated anonymous written complaint, received 5 November 20XX, alleged that COL Brown conducted an adulterous relationship. (EXHIBIT A-2) {summarize key points} (2) Article 134, UCMJ, Manual for Courts-Martial 2008, prohibits adultery. The elements of proof are: "That the accused wrongfully had sexual intercourse with a...." (EXHIBIT C-1) {may summarize if long or verbatim if short} U.S. Army Inspector General School 119 1

IG Investigations a. EVIDENCE: {continued} (3) Installation Leadership Conference agenda, Ft. Dix, NJ, dated 24 October 20XX, listed the time table of events as well as the conference attendee roster... (EXHIBIT B-11) {properly reference and summarize} (4) Ft Von Steuben Air Field (VSAF) Flight Operations log, dated 23 October 20XX, had COL Brown and Ms. Smith manifested on Flight # 11-28 to McGuire AFB... (EXHIBIT C-12) [IO Note: Use this format if necessary to explain details not contained within the document.] U.S. Army Inspector General School 120 Consideration of Allegations (cont'd)

IG Investigations a. EVIDENCE: {continued} (5) MAJ Philip Jackson, HHC, 66 th AVN, testified on 4 January 20XX, that... (EXHIBIT B-4) {summarize points for this allegation} (6) Ms Betty Jones, GS12, Executive Assistant, Flight OPS, Ft Von Steuben Air Field, testified on 5 January 20XX, that.... (EXHIBIT B-5) {summarize points for this allegation} Evidence Do's and Don'ts Do: Summarize Explain the evidence Be succinct Don't: Cut and paste whole documents Include irrelevant information Include unsupported IG opinion U.S. Army Inspector General School 121 Consideration of Allegations (cont'd)

IG Investigations Write the SYNOPSIS for each allegation after you have completed the RECOMMENDATIONS. The SYNOPSIS is a concise retelling of all parts in the Consideration Of Allegations. 5 1 2. (NOT SUBSTANTIATED) ALLEGATION: COL Brown was improperly absent from his place of duty in violation of... a. Evidence... b. Discussion... c. Conclusion... OTHER MATTERS: 3. Issue the commander must address 4. Issue awareness for the commander {do not introduce 'new' evidence or issues} RECOMMENDATIONS: 5. Approve the report and close the case. 6. Address each OTHER MATTER with a recommendation 7. Address each OTHER MATTER with a recommendation U.S. Army Inspector General School 123 Next Allegation(s), Issue(s), Other Matters, Recommendation(s) 2 3 4 must lead to (Always first!)

IG Investigations U.S. Army Inspector General School 124 Obtain Commanders Approval of the ROI /ROII SJA review; always for ROI 'S' for ROII Hand-carry the report to the Commander CIG usually briefs results to the Commander Commander can: Approve Modify Direct additional action Disapprove The A&I Guide, Part Two, Section 4-16 (II-4-150)

IG Investigations U.S. Army Inspector General School 125 Step Five: Final Notifications Step 5 Make Notification of Results AR 20-1, paragraph 7-1b(5) The A&I Guide, Part Two, Chapter 5 (II-5-1)

IG Investigations U.S. Army Inspector General School 126 Make Notification of Results (Step 5) Prepare all IG records for proper retention before notifications (will cover during IG Records class on Day 10) Commander / Supervisor: [Format: A&I Guide page II-5-4] Notify them in writing of the approved results in the ROI / ROII and enclose a copy of the notification in the case file Subject / Suspect: [Format: A&I Guide page II-5-3] Notify them in writing of the approved results of the ROI / ROII and enclose a copy of the notification in the case file Notify them of any unfavorable information included in the ROI / ROII if they were not previously apprised during the investigation, and provide them the opportunity to comment Notification of any substantiated allegations must include FOIA request procedures / instructions AR 20-1, paragraph 7-1b(5); The A&I Guide, Part Two, Chapter 5 (II-5-1)

IG Investigations U.S. Army Inspector General School 127 Requests for IG Information Review own testimony: (before the report is complete) Witness, subject / suspect: In the IG office, but they dont get to keep a copy AR 20-1, paragraph 3-7; The A&I Guide, Part Two, Section 1-4 Department of the Army Investigator: (before or after the report is complete) Allegation list Documents not given in confidence to the IG Witness list with brief synopsis of relevant testimony AR 20-1, paragraph 3-5 FOIA: Unofficial business (only after the report is approved) AR 20-1, paragraph 3-4 ELO 15

IG Investigations U.S. Army Inspector General School 128 Release of IG Records Release Authority (All IG Records): TIG (or designated representative) BEWARE of careless handling of IG documents (maintain control). Don't give unauthorized info to complainant, witness, subject / suspect, commanders or senior leaders (COS or other GOs) that are not your Directing Authority. Official Use 1) Inspection Reports (Directing Authority); 2) ROI / ROII (Within Directing Authority); 3) "BIG 3" (DA Investigator): Nature of allegations, readily available documents, witness list with a synopsis of their testimony. Adverse ActionNOTHING: TIG only can approve based on request properly submitted to DAIG Non-DA Official NOTHING: FOIA request must be submitted to website or DAIG's Records-Release Office within 2 days (only after the case is closed) Unofficial Use

IG Investigations U.S. Army Inspector General School 129 Step Six: Follow-Up AR 20-1, paragraph 6-1 & 7-1 The A&I Guide, Part Two, Chapter 6 (II-6-1) Step 6 Follow-Up

IG Investigations U.S. Army Inspector General School 130 Conduct Follow-up (Step 6) Follow-up ensures that all IG allegations and issues were thoroughly addressed and IG responsibilities were completed If the IG cannot attach notifications and responses from the subject or suspect to unfavorable information that appeared in the ROI / ROII to the electronic IGARS file, then physically maintain them with the case file AR 20-1, paragraphs 6-1 & 7-1; The A&I Guide, Part Two, Chapter 6 (II-6-1)

IG Investigations U.S. Army Inspector General School 131 Step Seven: Close the IGAR Step 7 Close the IGAR AR 20-1, paragraph 7-1 The A&I Guide, Part Two, Chapter 7

IG Investigations U.S. Army Inspector General School 132 Step Seven: Close the IGAR 1.Provide complainant a final reply in writing [Format: A&I Guide page II-7-2] 2.Close the file in the IGARS database 3.Make appropriate reports 4.Analyze developing trends AR 20-1, paragraph 7-1; The A&I Guide, Part Two,Chapter 7 (II-7-1)

IG Investigations What section of the ROI / ROII do you write first and why? What section of the graded homework ROI / ROII do you write last and why? If you substantiate any allegations, then what information must you provide to the subject / suspect in the final notification? If you receive a verbal FOIA Request? If you receive a written FOIA Request? U.S. Army Inspector General School 133 Summary

IG Investigations U.S. Army Inspector General School 134 QUESTIONS?