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CONCEPT: Complaint Processing in the Civil Air Patrol APPROXIMATE TIME: 1 Hour OBJECTIVES:
SUGGESTED MATERIALS: No additional materials are required. Refer to the Instructor Information link in the User's Guide for the basic materials to teach a class. INTRODUCTION: The Inspector General Complaint Processing system is designed to provide the Civil Air Patrol leadership with the ‘pulse of the command’, to detect and prevent Fraud, Waste and Abuse, identify problems affecting morale and mission accomplishment, and to conduct investigations. This basic Complaint Processing course focuses on the IG Complaint letter and the process used by the Inspector General to investigate the complaint. Student reading is designed to provide a basic overview of the Complaint System. Instructor slides are provided with notes for you to use as reference material. Also included with the Distance Learning CD is a separate slide presentation for supervisors. This slide presentation is intended to clarify the supervisor’s role in the complaint processing system PURPOSE/RATIONALE: In this lesson, we will gain an understanding of the CAP complaint processing concept and application. It is important students understand the complaint process system and the different avenues available for them to use. Suggested Teaching Strategies/Evaluation:
3. Using the sample complaint letter, ask students to describe the process the Inspector General will use to investigate the complaint. LESSON PRESENTATION: Attention Step: (Slide 1) This briefing is suggested for CAP Newcomers. The briefing communicates the role and mission of the Inspector General and sets expectations for complainants. You may use this briefing to generate discussion that will filter out frivolous contacts. Keep your focus on substantive issues; remember your audience. Lesson Objective 1: (Slide 2) Good morning/afternoon. My purpose today is to brief you on several aspects of the Inspector General program. It is important that you understand the system and some of the avenues available to you if you have a problem. The text on this slide should be personalized for your unit. Lesson Objective 1: (Slide 3) The text on this slide should be personalized for your unit. Lesson Objective 1: (Slide 4) I am going to talk about why we have Inspector Generals (IG), how the complaint process works, and how the actual system may differ from your expectations. At the end, we will have some time to clarify your expectations with a question and answer period. Lesson Objective 1: (Slide 5) The IG system is designed to provide our leadership with the ‘pulse of the command’, and to detect and prevent Fraud, Waste and Abuse, identify problems affecting morale and mission accomplishment, and conduct and supervise investigations. IG’s provide leadership with facts and findings. Leadership takes corrective action. Lesson Objective 1: (Slide 6) The IG program gets its authority from Title 10, U.S. code, section 8014 and 8020. IGs can look into anything they think is necessary. Lesson Objective 2: (Slide 7) Everyone has the right to contact the IG. We do emphasize that you use the chain of command first. Some situations make that difficult. The IG system exists for those occasions. Lesson Objective 2: (Slide 8) Emphasize the use of the chain of command. Lesson Objective 2: (Slide 9) As you go through this briefing, keep notes including dates, times, names of individuals involved, and a summary of the discussions for future reference. Lesson Objective 2: (Slide10) These are definite IG matters and relate to the economy, efficiency, and institutional credibility of command and the Air Force itself. Lesson Objective 2: (Slide 11) Not everything is an IG matter. The IG will analyze the complaint and then make an educated determination of the best way to handle it or the appropriate channel to explore it. The Headquarters Director of Personnel handles Corporate Employee issues using procedures in the Employee Handbook. Lesson Objective 3: (Slide 12) It is important to note the IG is primarily an investigating function, looking primarily into non-criminal matters. IGs are concerned mostly with finding the truth, not determining guilt or innocence of anyone under investigation. It is also important to note that any actions which may be ongoing will not stop simply because you file an IG complaint. Certain actions may, however, be later reversed or altered depending on the outcome of the investigation. Lesson Objective 3: (Slide 13) You have certain rights as a complainant.
Reprisal is the act of taking or threatening to take an unfavorable personnel action, or withholding a favorable personnel action as a result of the member making a protected disclosure. Lesson Objective 3: (Slide 14) In addition to your rights as a complainant, you also have some responsibilities. Obviously, the first is to provide as many facts and any other information you believe to be true or related to the issue. You also need to file your complaint promptly. If it is more than 60 days old, it will probably be dismissed unless there are unusual circumstances. Lesson Objective 3: (Slide 15) There are several ways to file your complaint. You can also submit a letter to the appropriate level IG. The final way to file your complaint is to call one of the various hotlines available to you. Lesson Objective 3: (Slide 16) There are several channels through which to file complaints, including your congressional representative. We have all heard about calling your congressman or congresswoman. The truth is, the higher you go the longer it takes. It is best to keep the complaint at the wing level. Lesson Objective 4: (Slide 17) Let us look at the actual filing of the complaint. Hand out a copy of the sample complaint letter and IG response. Approximate completion time is one to one hundred and eighty days. It may actually take a bit longer to get a response to you, but the goal is to have the complaint looked into and completed in180 days. Lesson Objective 4: (Slide 18) Let us look briefly at what happens when you file your complaint with your senator or congressperson. Follow the sequence to show how long it takes to go from one office to another. Bottom line: it is best to resolve complaints at the lowest level. Lesson Objective 4: (Slide 19) You may figure on doing the ‘shotgun’ approach in filing your complaint. You can do that, but the highest level at which you filed will only answer your complaint, and as you can imagine, the entire system slows considerably. Lesson Objective 4: (Slide 20) The chain of command has been around since before George Washington wintered at Valley Forge and with good reason: it works. Use this system first and you will most likely have a response sooner than if the IG has to look into the complaint. Lesson Objective 3: (Slide 21) Sometimes things do not work out in your favor. However, the CAP works within a system of discipline and concern for the service member. In the same vain command is accountable for being consistent and fair. Lesson Objective 4: (Slide 22) In a few words, no stone is left unturned. There are checks, balances, and lots of writing to do. Attention to detail is the order of the day. Lesson Objective 4: (Slide 23) The Civil Air Patrol is committed to the truth. Also included with the Distance Learning CD is this slide presentation for supervisors. This slide presentation is intended to clarify the supervisor’s role in the complaint processing system. Lesson Objective 1: (Slide 1) Change this slide as desired to include the CAP logo, and your title. You may also want to use this slide or the next slide to insert your office, name, the office telephone number, and address. Lesson Objective 1: (Slide 2) Customize here with pertinent details. Lesson Objective 1: (Slide 3) IGs have been called the eyes and ears of the wing commander and recently his conscience. Because the IG may be the first one to alert the Commander that problems exist or perceptions needs to be addressed. The IG is a channel for complaints and grievances, a conduit for Congressional Inquiries, and a resource for educating service members on readiness and integrity issues. Additionally, the IG can provide oversight for the Wing Inspection Program and be a liaison for the ORI team. Lesson Objective 1: (Slide 4) The first and foremost stop for complaints is the first line supervisor, and thereafter directly up the chain of command in your unit. It is important for the members to understand what the chain of command is and where they fall within that chain. Whom do they go to when they have a gripe or concern? Who is the next person after that? Lesson Objective 2: (Slide 5) If the chain of command can not help, or is unresponsive, members have other channels for assistance. Supervisors should not feel threatened when a subordinate suggests they are going to get counsel from one of these offices, especially if that supervisor has tried to help the individual and received their superiors’ involvement. Lesson Objective 2: (Slide 6) When someone brings us a complaint, we spend time analyzing what the problem really is. We ask more questions, begin to gather the facts, and decide how best to handle it. Not every complaint needs an investigation and many can be resolved by intervening as an independent, disinterested party. When a case does warrant an investigation, the investigator finds the facts and writes a report. After a thorough review, the commander gets the report and decides what action should be taken. Lesson Objective 3: (Slide 7) All these topics raise eyebrows and blood pressure. Why? Because they are either illegal, create an environment that impacts members’ working conditions, and/or threaten to damage our readiness, resources and integrity. Lesson Objective 3: (Slide 8) What is a protected disclosure? A protected disclosure includes going to and consulting with the commander, IG, and/or a member of Congress. When supervisors and commanders learn a member went around the chain of command and complained to an outside agency, the natural reaction is anger and disappointment. There may also be an element of fear involved. "What is going to happen to me?" The thought may occur to the supervisor to "get even" – that is a defense mechanism. However, our members have a right to complain outside the chain—that right is guaranteed by law, and it is illegal for anyone to "retaliate" against them, to try to punish them in any way, for doing this. Lesson Objective 4: (Slide 9) In the spring of 1999 an Air Force team from the Air Force Inspection Agency compared CAP-USAF and CAP-IG complaint files against membership records and found a 26% reprisal rate in adverse membership actions against individuals who had used the IG complaint system. Lesson Objective 4: (Slide 10) We have to analyze reprisal complaints most carefully because they are often difficult to prove. Therefore, the investigator must prove these four qualifiers. This is so important that we will run through each item. When and to who was a protected disclosure made? What was the unfavorable personnel action? Did the person initiating the unfavorable personnel action know about the protected disclosure? Was someone influencing the decision? Would the unfavorable action have taken place regardless of whether or not a protected disclosure had occurred? Lesson Objective 4: (Slide 11) Since commanders must approve almost every personnel action such as performance reports, decorations, transfers, etc. the ultimate responsibility falls on them. However, commanders rely on supervisors and others in the chain to be honest brokers and do what is right for the people under their charge. Wary and watchful commanders will ask for letters of counseling, documentation, etc. to insure that member has been treated fairly and given time to remedy poor performance. Are supervisors being consistent in their documentation? If a commander suspects, and can prove an attempted reprisal, severe discipline is appropriate. Lesson Objective 4: (Slide 12) This is a summary of the types of cases handled last year. CAP/IG Complaint History 1996 1997 1998 1999 Presidential 3 1 3 4 Congressional 33 25 30 21 Complainant 3 10 5 5 Base Level 0 4 3 5 Anonymous (0) (1) (0) (0) Hotline 0 1 0 0 Other 1 6 1 0 Lesson Objective 4: (Slide 13) Tailor this slide to your CAP unit. This is where being the eyes, ears and conscience of the wing commander comes in. IGs keep records on every complaint and determine whether trends exist. Are there issues that need more education or emphasis? Command has a vested interest in preventing detrimental behaviors. Lesson Objective 4: (Slide 14) Resolve issues at the lowest level, report wrongdoing to command, and refer individuals to the appropriate channels when an issue is outside your purview or expertise. In addition, it is vital that supervisors know the importance of documentation, consistency, and communication with their subordinates. Round table discussions on how to handle difficult situations are also a great outlet for frustration. Lesson Objective 4: (Slide 15)
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