From the Command Deck

Transcription

1 From the Command Deck To Enable the Operational Readiness of the Marine Corps 7 APRIL 2014 The Secretary of the Navy (SECNAV) and Commandant of the Marine Corps (CMC) are working hard to prepare America s maritime forces for near term and distant future challenges. Both leaders continue to press their top four and five themes for the Department of Navy and Marine Corps in their annual guidance to the Inspector General community. Ensuring naval forces are ready for immediate deployment to global hot spots is the number one goal. Special interest items are the functional areas that keep both leaders up at night and should be the focus of all Inspectors General throughout the department. Ray Mabus As the 75 th Secretary, he leads America s Navy and Marine Corps Themes 1. Force Readiness 2. Auditability and Financial Controls 3. Base Security and Insider Threats 4. Compliance with Regulations and Promotion of Values-Based Leadership Special Interest Functional Areas Sexual Assault Prevention and Response Acquisition Excellence & Integrity Logistics, Supply, and Maintenance Operations Intelligence, intelligence related, sensitive activities, and controls of classified materials 21st Century Sailor and Marine Initiatives Readiness, Safety, and Fitness Through Continued Focus on Suicide Prevention and Alcohol & Substance Abuse Prevention Compliance with Hazing/Harassment guidance Inclusion (EO/Diversity) Operational Stress Control (PTSD) Sustainable Energy James F. Amos 35 th Commandant U.S. Marine Corps Themes Home Station Readiness 1. Reawakening 2. Compliance with Regulations 3. Family Readiness 4. USMC Standards (Unit/Individual) 5. Keeping the Faith Special Interest Functional Areas Sexual Assault Campaign (SAPR) Suicide Program (Awareness & Prevention) EO/Hazing Policy (Compliance & Training) Alcohol Synthetic Drug Use Prevention (SACO) Safety Motor Vehicles Classified Material Controls & Network Security Transition Assistance Program Additional Special Interest Topics Operational Stress Control (PTSD) Social Media (Training & Compliance) Ethics

2 to be the eyes and ears of the Commandant Marine Corps Manual 7 APRIL 2014 Highlights Inspections Division 2 Assistance & Investigations Division 3 Mobile Training Team (MTT) 4 Social Media 4 Intelligence Oversight 4 Readiness Division 5 The 10th Annual Risk and Opportunity 5 The 2014 Federal Voting Assistance Program IGMC Symposium 6 Counsel s Corner 6 Sergeant Major s Perspective 7 Inspections Division The IGMC Inspections Division is dedicated to ensuring that the Marine Corps, through compliance with all applicable orders and directives, is Mission Capable. We accomplish this through the Marine Corps Functional Area Programs. These programs provide the framework that upholds the standards of our Corps. Each Functional Area Program defines its priorities and standards by using an Inspection Checklist. The IGMC Inspection Division s role is two-fold. First, we act as a conduit between commands and the Functional Area Managers. Second, we inspect on behalf of these Functional Area Programs. Through the use of the IGMC website, the Inspection Division uses an updated information-pull concept to assist commands across the Marine Corps. managers from Headquarters Marine Corps are required to review their program checklist(s) annually to ensure the accuracy and relevancy of policies cited. The IGMC will review and provide final approval on all checklists in an effort to ensure clarity, unambiguity, and proper format of the information and standards referenced. Commanders are encouraged to contact their local Command Inspector General (CIG) to verify exactly which programs are applicable to their unit, mission, and location since not all Functional Area Programs apply to every command. There are, however, 31 Functional Areas, or core programs, that are applicable to every command. While there are a greater number of programs universal to every command, core programs are required to be inspected at regular intervals. Command Inspectors General may also find themselves directly inspected by the IGMC in order to assess the thoroughness and effectiveness of their Commanding General s Inspection Program. In addition to the core programs, commands must comply with those uniquely applicable specialty programs. All current and approved checklists are available on the IGMC website. To avoid version control issues, checklists should never be downloaded from a locally shared drive or SharePoint. All local command program managers are encouraged to direct their questions to the point of contact listed atop each checklist. Everyone sees what you appear to be, few experience what you really are. Niccolò Machiavelli, The Prince Currently, there are 126 Functional Area Programs, and corresponding checklists, that require oversight. Functional Area Program 2

3 Inspector General of the Marine Corps The mission of the Inspector General of the Marine Corps is to promote Marine Corps combat readiness, institutional integrity, effectiveness, discipline, and credibility through impartial and independent inspections, assessments, inquiries, investigations, teaching, and training. This ensures maintenance of the highest levels of war fighting and mission capabilities throughout the Marine Corps. The Assistance and Investigation Division To investigate or inquire into allegations of misconduct, impropriety, mismanagement, or violations of law, and to provide staff overview for all congressional or other special interest petitions for IGMC assistance, interest, or action. The Inspections Division The directive of the Inspections Division is to coordinate, conduct, and evaluate inspections of Active and Reserve forces and supporting establishment commands, units and activities, including operational forces assigned to the unified and specified commands. Additionally, the Inspections Division will serve as principal advisor to the Inspector General of the Marine Corps on all inspection matters and hear request mast during inspections in accordance with MCO F Request Mast. The Readiness Division The mission of the Readiness Division is to conduct short/no notice visits to selected commands to identify systemic issues impacting unit operational readiness and/or mission accomplishment. In conjunction with Headquarters U.S. Marine Corps and other appropriate agencies, the Readiness Division analyzes the issues and determines the appropriate course of action necessary to remove or mitigate the identified constraints. The Intelligence Oversight Division To ensure the effective implementation of Marine Corps-wide oversight of intelligence, counterintelligence, sensitive activities (to include USMC support to law enforcement agencies, special operations, and security matters), and Special Access Programs. To establish policy and ensure its legality, propriety, and regulatory compliance with appropriate Department of Defense/ Department of the Navy guidance. Striving to assist commands across the Corps, the IGMC website also highlights those commands with noteworthy programs. Command program managers are encouraged to reach out to the noteworthy program managers to learn the details of their best practices. Similarly, but without attribution, the IGMC website also shares recent concerns discovered during IGMC inspections. Our goal is to provide Commanders with knowledge of the trends, both positive and negative, throughout the corps. The IGMC Inspection Division is also the Marine Corps advocate and manager of the Request Mast process. Marines and Sailors in Marine commands can download applicable guides, orders, and directives as well as the actual application form required to request mast of their commanding officer from the IGMC website. Anyone with recommendations of how the IGMC Inspection Division can better support Commanders and Command Inspectors General should contact Col Damien M. Marsh at or (703) Assistance & Investigations Division Everyone who has attended an IGMC Mobile Training Team (MTT) course knows that all complaints made to an IG fall into one of two categories: Assistance or Investigation. In practice, though, distinctions between assistance cases and investigations are frequently blurred, according to several IGMC inspections of Fraud, Waste, Mismanagement Oversight and Hotline Programs (Functional Area 316). The IGMC has noticed a trend that offices incorrectly refer to cases that have received a full investigation, including an interview of the Subject, and even a determination of wrongdoing, as assistance cases. The documents associated with any such assistance cases are typically labelled Preliminary Inquiry (PI), and the Case Management System (CMS) files rarely include the Complainant s allegation(s) written in a manner that is useful for fact-finding purposes. It is important to be aware that Preliminary Inquiry and Investigation, in the context of IG activities, are terms of art and are not interchangeable with identically-titled documents found in the Manual of the Judge Advocate General. For Inspectors General, the PI is a tool to determine if a full investigation will be required when the IG is unsure. Practically, this means that the PI should enable the formulation of an allegation or demonstrate that an allegation cannot be founded. A PI should be quick, relatively simple, should not include a Subject interview, and must not take the 3

4 place of an IG investigation. If it progresses into an investigation, then clearly defined allegation(s) must be entered into CMS followed by a determination of Substantiated, Not Substantiated, or Unfounded. A Legal Sufficiency Review must be included for all investigations. Unsubstantiated Remember, Inspectors General should not use the term unsubstantiated. This term would indicate that an IG previously substantiated an allegation and is now undoing that substantiation, or unsubstantiating it. The IG only uses either Substantiated, Not Substantiated, or Unfounded for all allegations. Mobile Training Team (MTT) The IGMC will deploy two MTTs this fiscal year. The first will be 29 April 2 May 2014, at Camp Lejeune, North Carolina. The second MTT will be late summer 2014 on the west coast (San Diego, CA). Responding to the course critiques from the 2013 MTTs, we will continue to provide complaint analysis training, practical application classes, and hands-on training in CMS. Additionally, Counsel to the IGMC will provide ethics training and discuss matters related to Legal Sufficiency Reviews. As always, if you have any questions about the MTTs, please feel free to contact Ms. Annette Hanke, the IGMC Hotline Administrator. Social Media The IGMC has identified a noticeable increase in social media abuse cases. Cyberbullying has become more brazen by Marines creating fake names in order to continue attacks upon their victims. Additionally, some websites have become very offensive and contradict the Marine Corps Core Values. If you receive any complaints regarding cyberbullying, please pass that information to the IGMC so that we can assist in attempts to have such websites taken down. Intelligence Oversight Everyone must be aware that intelligence personnel (including personnel acting as unit security officers (S2)) will not collect, retain, or disseminate U.S. person information without an assigned mission or authority. Any such violation(s) should be reported via your chain of command or to any IG. Command Inspectors General are required to inspect unit Intelligence Oversight Programs in accordance with their respective CIG Inspection Program guidelines. The below news article highlights the importance of why Intelligence Oversight is gaining more media attention after the National Security Agency leaks by Edward Snowden. Intelligence Community IG finds some not-so-intelligent conduct in the intelligence community Walter Pincus, December 4, 2013 Adding to all its other problems, the intelligence community s inspector general, Charles McCullough III, has discovered a rash of fraud cases involving employees and contractors within the 16 agencies and the Office of the of National Intelligence (ODNI). Between July 1, 2012, and March 31, McCullough s office completed 26 investigations that substantiated violations of criminal law or administrative regulations. An additional 29 inquiries remain open, according to a heavily redacted inspector general s report made public last week by Steven Aftergood on his Federation of American Scientists Web site. The IG attributed the increase in cases to its own initiative to proactively identify false billings by ODNI contractors. This was achieved by increasing the recurring data available for analysis and running a data interrogation program that led to investigations of possible fraud. Only seven closed cases that the Justice Department decided not to prosecute were briefly described in the IG report. There was no indication how many of the 19 other closed cases are being considered for prosecution. About 25 of the open investigations involve false claims for time worked, according to the report. For example, an ODNI employee was discovered having operated a personal Web site during working hours using government computer systems to solicit and receive donations. In addition, the employee apparently contacted news media outlets to sell articles without first subjecting them to prepublication review, as rules require. One incentive for the increased focus on fraud may have come from the IG s review of the 2010 Improper Payments Elimination and Recovery Act, which requires agencies to identify and estimate improper payments and conduct payment recapture audits 4

5 with respect to each program and activity that expends $1 million or more annually, if conducting such audits would be cost-effective. The IG also reported that he and the Defense Department s inspector general are conducting a joint review on the disciplinary actions taken in response to misconduct substantiated by the IG that was requested by the Senate Select Committee on Intelligence and begun in July As of March 31 it was in final draft form, according to the report. SECNAVINST E Revision Acting Inspector General Mr. Carl E. Shelton, Jr. Sergeant Major SgtMaj Irene Z. O Neal Counsel to the IG Ms. Danielle P. Bianchi Executive Assistant Mr. James L. Hill Inspections Division Staff Col Damien M. Marsh LtCol Hector Sheppard, Jr. Deputy Intelligence Oversight Division Staff Mr. Edwin T. Vogt Maj Christopher L. Doyle Deputy Assistance and Investigation Division Staff Mrs. Cynthia E. Edwards LtCol J. PGreen Pellegrino Deputy Readiness Division Staff Col Alphonso Trimble Maj Skender Alicka Deputy Office of the Inspector General of the Marine Corps Headquarters U. S. Marine Corps 701 S. Courthouse Road Suite 1200 Arlington, VA (703) Purpose: (a) To establish policy and assign responsibility for the oversight and management of intelligence activities, intelligence-related activities, Special Access Programs (SAPs) covert action activities, and sensitive activities within the Department of the Navy (DON). (b) To establish a system of oversight and management functions comprised of the DON Intelligence Requirements Council (DIRC), the Senior Review Board (SRB), the Special Access Program Oversight Committee (SAPOC), the Special Programs Review Group (SPRG), and the Sensitive Activities Review Board (SARB). Policy: DON oversight shall encompass not only a legal review for compliance with U.S. law, treaty, policy, directive and regulation, but also a broad review of intelligence activities, intelligence related activities, SAPs, covert action activities, and sensitive activities which includes, but is not limited to, goals, objectives and resources. I urge all Command Inspectors General to remain diligent and to ensure full compliance with DoD, DON, and USMC directives and regulations. Several intelligence oversight inspections have revealed a trend that many units have not updated their files. Please make these matters a priority when conducting inspections. Readiness Division The 10th Annual Risk and Opportunity Assessment (ROA) Established by the Secretary of the Navy, the Charter directs an annual assessment of the DON's vulnerabilities to risks and opportunities for improvement. The annual assessment provides Marine Corps leadership with a clearer vision of departmental risks and opportunities, with an emphasis on fraud, waste, abuse, inefficiency, mismanagement, and statutory/regulatory non-compliance. The DON's current oversight functions will serve as the basis for structuring the DON FY14 Oversight Plan. All Deputy Assistant Secretaries of the Navy, the Vice Chief of Naval Operations, and the Assistant Commandant of the Marine Corps, 5

6 have been briefed on the Navy and Marine Corps recommended items for the FY14 Audit Plan. The approved FY14 Audit Plan will review the following issues: Mental health visibility to commanders, insider threat, personnel accountability after a disaster, and the Transition Readiness Seminar Program. The audit plan will remain agile to address emerging issues as well. The 2014 Federal Voting Assistance Program IGMC Readiness Division conducted its 2014 Federal Voting Assistance Program (FVAP) Assessment to verify that the USMC voting program is effective. The report is submitted to DoD IG on 31 January of each year. A new change for this year across the federal government is that the FVAP.gov website will be the primary resource for voting information. The website is an interactive tool to address voting assistance challenges and requests for, and receipt of, ballots. Additionally, the website provides direct access to state-hosted solutions for elections, primaries, registration, etc. Marines and their eligible family members can now address all their voting needs online IGMC Symposium 4-8 August Quantico, VA The 2014 IGMC Symposium will be held 4-8 August in Quantico, VA (4 and 8 August 2014 are travel days). The objective of the symposium is to conduct a professional teach-and-train colloquium for Command Inspectors General around the Corps to enhance our professional IG skill-sets, exchange best practices, and extend our professional networks. The symposium will provide critical briefs and guidance on duties that demand the technical proficiency of Command Inspectors General. The desired end state is a culture of accountability among Command Inspectors General within the realm of Inspections, Readiness, Assistance & Investigations, and Intelligence Oversight. Lodging is available at the Crossroads Inn, MCB Quantico at (703) or (800) On-base lodging is directed, however, alternate lodging may be available at TownePlace 6 Suites at the location listed below. Please inform the IGMC POC (Major Alicka) prior to making offbase reservations. TownePlace Suites by Marriott 2772 Jefferson Davis Highway Stafford, VA Tel: Counsel s Corner Legal Review and the Preliminary Inquiry A few of you have brought it to my attention that some of the confusion about when to seek a legal review stems from our own IGMC Investigations Guide (Section 9-6, Investigative Inquiry ). I wanted to address this here to clear things up. As you ve likely heard me say at MTTs, or when we speak one-on-one, getting a legal review is not optional, however, this section in the guide is understandably causing some problems in the field: If your investigative inquiry substantiates allegations, you must obtain a written legal review from the servicing SJA s office On a case-by-case basis, you or your CIG may need a written legal review for ROIIs [Reports of Investigative Inquiry] with not substantiated allegations. Use your own best judgment. When in doubt, obtain a legal review. Unfortunately, this section is not entirely accurate, nor nuanced enough, and I have already marked it for dramatic change when the guides are re-published. First, a PI cannot substantiate allegations. If you have enough information to form, and substantiate, an allegation, you have been in an investigative status for some period of time and you must call your work an investigation. If you are going speak to the Subject, you must call your work an investigation. The PI is not an avoidance tactic for getting a legal review. That is not to say that the investigation has to be a long, belabored process if it is a simple allegation and you have enough evidence gathered to interview the Subject in short order. You must, however, make sure you get a Legal Sufficiency Review at the conclusion of that investigation. For more on the

7 distinction between a PI and an investigation, see the Assistance & Investigations Division s portion of this newsletter. Please make the practice we use at IGMC your standard as well: If you are doing a true PI (one that determines there is no investigative merit to proceed), you will bring that to your SJA or CL Counsel to get a concur or non-concur legal review. This does not need to be a separate document like the Legal Sufficiency Review. I simply initial the last page of the IGMC PI, in the Counsel s section, on the concur line. If the inquiry determines investigative merit and the product becomes an investigation, whether or not you substantiate, you must get a Legal Sufficiency Review for that Report of Investigation (ROI). A Legal Sufficiency Review is a separate document that must accompany an ROI before forwarding to the Commander. Please share this Counsel s Corner with your attorneys because this clarification will be just as useful for them. For the attorneys, non-concurring in your legal review of a PI or finding an ROI not legally sufficient should hardly ever happen. If you do not agree that the inquiry reached the appropriate conclusion or the investigation has not met the burden of proof (preponderance of the evidence), you must go back and discuss with your CIG. The product must meet the legal requirements without the attorney adding his/her own comments to make it so. If you have questions about those legal requirements, what must be in a Legal Sufficiency Review, or when CIG/attorney engagement should occur (the short answer: at the beginning of any IG work), please feel free to contact me any time. I am also happy to share samples of my products with you for your reference/use. The goal is to see the Command Inspectors General and attorneys working hand-in-hand from the beginning so that the resulting product is well-framed and legally sufficient. This is a team approach. We are all proud members of that team and I appreciate your help in ensuring consistency of IG products throughout the Corps. Next time, we ll discuss IG records release! Sergeant Major s Perspective Leaders, The Office of the Inspector General of the Marine Corps can be a busy place but never too busy to assist Marines and units, whether we are on the road or in the office. Over the last year, I have had the opportunity to inspect functional areas such as: Color Guard, Suicide Prevention Program Officer, Equal Opportunity, Substance Abuse Program, and Request Mast and brief the Commandant s Special Interest (SPIN) brief as well as travel with the IG. Of course, each and every program is very important but it is also important to stop, look, and listen to the climate of the command that you are inspecting. As I inspect, I always take the time to walk around and try to look at the unit as a whole, aside from what is revealed on the surveys that are conducted at the unit level. It is obvious that most units are well aware of the climate of their unit and are consistently working on ways to improve. I encourage Command Inspectors General and inspectors to do the same. I also want to encourage Command Inspectors General to brief your organization s staff noncommissioned officers on the importance of your office and the inspection process. This will not only benefit the Marines, but the office as a whole. The Investigations Division conducts several MTTs throughout the year and provides great information to the Command Inspectors General and inspectors. Don t forget to include your senior enlisted leaders in some, if not all, of this training and be sure to include other billets like your Equal Opportunity Representatives/Advisors. I will continue to address any questions or concerns, or direct you to the right person to talk to when needed. I look forward to seeing you all at the next symposium. 7