"A picture says a 1000 words."

1. "A picture says a 1000 words."

7. IGs are fair and impartial fact-finders… “Through a dogged pursuit of the truth!” “We call the balls and the strikes!” The A&I Guide, Part Two, Section 2-6 (II-2-14) U.S. Army Inspector General School 7

8. IG Investigator’s Purpose? BLUF: Resolve Allegations of Impropriety ...using a Report of Investigation (ROI) APPROACH: • Unwavering commitment to standards • Focus on Army Values • Protect the best interests of the Army LIMITATIONS: • IGs work for the Commander! • One investigatory option • Do not seek out allegations U.S. Army Inspector General School 8

9. Report of Investigation (ROI)(1 of 2) • Provides a stand-alone document with all necessary administrative and evidentiary data (exhibits) that explains in plain English the allegation(s) under investigation • Lists all the people involved • Explains the fact-finding methodology used to determine the credible evidence in support of substantiation and the credible evidence in support of not substantiation • Provides an objective analysis of these facts in relation to the elements of proof listed in the valid standard allegedly violated U.S. Army Inspector General School 9

10. Report of Investigation (ROI)(2 of 2) • Presents findings based on these facts and, if necessary, lists other matters that the Directing Authority must address • Makes a clear recommendation regarding the findings listed in the report • Makes actionable recommendations to resolve each of the other matters identified during the investigation THESE ARE PRESCRIPTIVE PROVISIONS! U.S. Army Inspector General School 10

11. Investigations

12. Investigations Instructor Room 2107 office (703) 805-3898

13. Linked IG Functions INSPECTIONS TEACHING AND TRAINING ASSISTANCE INVESTIGATIONS U.S. Army Inspector General School 13

14. 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. U.S. Army Inspector General School 14

15. References • AR 20-1, IG Activities and Procedures • Chapters 3 and 7, Appendix D, and the Glossary • The Assistance and Investigations GuidePart Two & Part Three (and some of Part One) • Advance Sheets & Class CD • Please have these resources available every class! U.S. Army Inspector General School 15

16. 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 U.S. Army Inspector General School 16

17. Investigations Training Schedule 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) • 0800-1030 Gather & analyze evidence; 4-Part Interview; IGAP 4; PE's 8-10 • 1030-1200 Witness telephone interview prep • 1300-1415 Live Witness telephone interview; PE 11 • 1420-1450 Command Products; Force-Field Diagram • 1500-1630 Suspect interview prep; PE 12 U.S. Army Inspector General School 17

18. Investigations Training Schedule Day 9 (Thursday) • 0800-0900 Live Suspect interview & AAR; PE 13 • 0900-1030 Graded Homework PE 14; introduce ROI Writing an ROI; final notifications; follow-up; close IGAR; finish IGAP 4; IGAP 5-7 • 1030-1100 (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 18

19. Setting Conditions for Success • Stay current with the reading - AR 20-1, Chapter 7 • Refer to the A & I Guide - Part Two • Follow along with the Advance Sheets • Participate • Immerse yourself in the PE U.S. Army Inspector General School 19

20. ELOs Enabling Learning ObjectivesAdvance Sheets pages 14 - 16 Knowledge-based ELOs: 1. Describe a person’s role and status in an IG Investigation / Investigative Inquiry. 2. Describe an individual’s rights or non-rights given that person’s role and status. 3. Describe a fact and the levels of evidence used in the Investigations function. 4. Describe the IG Standard of proof. U.S. Army Inspector General School 20

21. ELOs Enabling Learning Objectives Knowledge-based ELOs (cont.): 5. Describe the parts of an allegation. • Describe the actions an IG should take upon receiving an allegation against a senior official. • Describe an IG Investigation and an IG Investigative Inquiry and the differences between them. U.S. Army Inspector General School 21

22. ELOs Enabling Learning Objectives Knowledge-based ELOs (cont.): • Describe the procedures for referring allegations of impropriety to the command. 9. Describe how an IG plans an Investigative Inquiry or Investigation. 10. Describe a request for IG information and the proper actions taken by the IG. U.S. Army Inspector General School 22

23. ELOs Enabling Learning Objectives Application-based ELOs: 11. Identify the allegations and issues in a complaint. 12. Determine if an allegation received by the IG is appropriate for IG action. 13. Explain which IG method – Investigative Inquiry or Investigation – is preferable for a particular case. U.S. Army Inspector General School 23

24. ELOs Enabling Learning Objectives Application-based ELOs (cont.): 14.Demonstrate evidence-gathering activities by reviewing documents; analyzing data; and interviewing witnesses, subjects, or suspects. 15. Complete a Report of Investigation (ROI). U.S. Army Inspector General School 24

25. Person's Role and Status DEFINITIONS ELO 1 • 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 AR 20-1, Paragraph 7-1g; The A&I Guide, Part Two, Section 1-3 (II-1-9) U.S. Army Inspector General School 25

26. RolesDEFINITIONS Witness: • Someone whom we believe has some knowledgeto 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 offenses. AR 20-1, Paragraph 7-1g;The A&I Guide, Part Two, Section 1-3 (II-1-9) U.S. Army Inspector General School 26

27. Status DEFINITIONS Who is required to cooperate & when? • 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) Always When in a duty status When in a duty status Always It depends on the contract Chain of command Never The A&I Guide, Part Two, Section 1-6 (II-1-17) U.S. Army Inspector General School 27

28. Summary • Define the following terms: WitnessSubject Suspect • When must a DA civilian employeecooperate with an IG Investigative Inquiry or Investigation? • When must a civilian-civiliancooperate with an IG? U.S. Army Inspector General School 28

29. Rights and Non-Rights ELO 2 Inspector General Investigation / Investigative Inquiry ADMINISTRATIVE DUE PROCESS WITNESS SUBJECT SUSPECT AR 20-1, Paragraph 7-1g; The A&I Guide, Part Two, Sections 1-4 (II-1-11), and 1-5 (II-1-15) U.S. Army Inspector General School 29

30. Rights Based on Role DEFINITIONS WITNESS 1. Consult with Counsel (but...) 2. Confidentiality (but...) 3. Review Own Testimony (in...) 4. Avoid Self Incrimination (Stop!) 5. Have a Union Rep present (if...) SUBJECT Witness rights...and! 6. Know and Comment on Allegations 7. Know and Comment on Unfavorable Information 8. Remain Silent SUSPECT Subject and Witness rights...AND! Have Article 31 Rights: 9. Have Counsel Present AR 20-1, Paragraph 7-1g; The A&I Guide, Part Two, Section 1-4 (II-1-11) U.S. Army Inspector General School 30

31. Non-Rights DEFINITIONS • 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 IG confidentiality AR 20-1, Paragraphs 3-1 and 3-2; The A&I Guide, Part Two, Section 1-5 (II-1-15) U.S. Army Inspector General School 31

32. Categories of EvidenceDEFINITIONS 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! Recorded Under oath High Low The A&I Guide, Part Two, Section 1-8 (II-1-22) U.S. Army Inspector General School 32

33. Levels of EvidenceDEFINITIONS ELO 3 Direct- First-hand knowledge Circumstantial- Tends to prove or disprove an issue by inference Hearsay- What one individual says another person said Opinion- A person’s belief or judgment High Low (D – C – H – O) 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-1-25) U.S. Army Inspector General School 33

34. FactDEFINITIONS ELO 3 • 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 The A&I Guide, Part Two, Section 1-10 (II-1-26) U.S. Army Inspector General School 34

35. IG Standard of ProofDEFINITION ELO 4 • Preponderance of credible evidence • That evidence which has superiority of weight • >50% • "More likely than not, it probably occurred" • Only two conclusions: Substantiated Not Substantiated "S" "N" AR 20-1, Paragraph 7-1a U.S. Army Inspector General School 35

36. 4-Part AllegationDEFINITION ELO 5 • 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) U.S. Army Inspector General School 36

37. Summary • What are the witness, subject, and suspect rights during an IG Investigative Inquiry or Investigation? • What do you do when a witness incriminates him or her self? • What are the Four Levels of Evidence? • What is a Fact? • What is the IG Standard of Proof? • Describe the parts of a properly worded Allegation. U.S. Army Inspector General School 37

38. The Seven-Step IGAPStep One Step 1 Receive the IGAR Anyone • 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? AR 20-1, paragraph 6-1d (1) and 7-1b(1) The A&I Guide, Part Two, Sect. 1-14 (II-1-31) U.S. Army Inspector General School 38

39. Not Local IGAppropriate Senior Official Allegations ELO 6 • Allegations against • COL(P), GO, or USMA Professor • Senior Executive Service (SES) civilian • Report to DAIG Investigations Division within 2 working days • DO NOTconduct ANY IG Preliminary Analysis • Verify with Investigations Division before entering in IGARS as an Information IGAR • Do notname the senior official • Do notcomplete a DA Form 1559 AR 20-1, Paragraph 7-1l, Appendix D-1; The A&I Guide, Part Two, Section 2-4 (II-2-8) U.S. Army Inspector General School 39

40. Complainant Disclosure • IGs will refer all command-appropriate allegations to the chain of command for investigation along with all provided documentary evidence in un-redacted form. • IG confidentiality applies, but limited upon referral to the command • Annotate consent / non-consent on DA Form 1559 to release of personal information and / or documents • Anonymous, Consent, Partial Consent, No Consent • Upload all documents in IGARS butdo not stamp or mark documents referred to the command with standard IG classification marking Army Directive 2018-01, AR 20-1 Policy Change 3 Interim Guidance U.S. Army Inspector General School 40

41. Step Two: IG Preliminary Analysis IGPA 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 Two, Section 2-3 (II-2-7) U.S. Army Inspector General School 41

42. STEP 2: Conduct IG Preliminary Analysis (IGPA) ELO 11 • 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 Let's look at a complaint! AR 20-1, Paragraph 6-1d (2);The A&I Guide, Part Two, Chapter 2 (II-2-3) U.S. Army Inspector General School 42

43. ‘Typical’ Complaint 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 U.S. Army Inspector General School 43

44. Here’s 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 doesn’t even show up for work! U.S. Army Inspector General School 44

45. Proper Allegation?What do you think? COL Robert E. Brown acted improperly in that he committed adultery with Ms. Smith on June 25th, 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 U.S. Army Inspector General School 45

46. 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 Article 86, UCMJ. U.S. Army Inspector General School 46

47. Where to Find Standards(use the standard at 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: https://armypubs.army.mil • National Guard Regulations: www.ngbpdc.ngb.army.mil/publications.htm • Camp, Post or Station local regulation, policy and SOP U.S. Army Inspector General School 47

48. 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 your SJA for interpretation and advice U.S. Army Inspector General School 48

49. Elements of ProofManual for Courts Martial (2016 Edition) Article 134, Adultery Article 134, (Adultery) UCMJ, states, “Text of statute. See paragraph 60.” Elements. (1) That the accused wrongfully had sexual intercourse with a certain person; (2) That, at the time, the accused or the other person was married to someone else; and (3) That under the circumstances, the conduct of the accused was to the prejudice of good order and discipline U.S. Army Inspector General School 49

50. Elements of ProofManual for Courts Martial (2016 Edition) Article 86 Absence without leave Article 86, UCMJ, states, "Any member of the armed forces who, without authority -” Elements. (1) fails to go to his appointed place of duty at the time prescribed; (2) goes from that place; or (3) absents himself or remains absent from his unit, organization, or place of duty at which he is required to be at the time prescribed U.S. Army Inspector General School 50