The Complaint Process and Your Responsibility

Transcription

1 and Yur Respnsibility Lessn Objective: Understand the cmplaints prcess and yur rle as a cmmander. Desired Learning Outcmes (DLO): 1. Explain the rle f the IG in the cmplaints prcess. 2. Explain the duty f the cmmander t ensure grievances are reslved fairly, impartially, and prmptly. 3. Explain hw the cmmander prperly directs cmplaints brught frward by members f the unit. 4. Explain the cmplaint prcess. Scheduled Lessn Time: 30 minutes Intrductin As a cmmander, there is a gd chance that ne persn will say r d smething which will nt sit well with anther persn, and a cmplaint will be generated. Smetimes the cmplaint is valid and deals with a very serius issue. Other times, the cmplaint is based upn a miscmmunicatin r a difference f perceptin. The Cmplaints Reslutin Prgram and the CAPR 123-series are there t ensure that all members are treated prperly, fairly, bjectively, impartially, and with integrity. 1. The rle f the IG in the cmplaints prcess The IG is there t help ensure fairness fr all members, cmpliance with regulatins, and be an early warning system s that ptential prblems can be addressed as early as pssible. The fllwing summary f items related t the cmplaints prcess are directly cpied frm CAPR 123-1: One f the cre respnsibilities f the IG prgram is the versight and management f the CAP Cmplaints Reslutin Prgram. Discver and crrect prblems affecting the prductivity and mrale f assigned persnnel. Reslving the underlying cause f a cmplaint may prevent mre severe symptms r cstly cnsequences. Investigatin findings may reveal systemic, mrale r ther prblems that impede efficiency and rganizatinal effectiveness. Functin as an mbudsman, fact-finder and hnest brker in the reslutin f cmplaints. Prevent, detect and upn request f the cmmander render advice regarding the crrectin f management and fraud, waste and abuse. 1

2 Manage the Civil Air Patrl Cmplaint Reslutin prgram, t include prtectin frm retaliatin r reprisal against persns utilizing the Civil Air Patrl Cmplaint Reslutin prgram. 2. Cmmand duties. There are tw special, immediately stp what yu are ding, call the plice, and reprt t higher HQ right nw situatins. One f them is an allegatin f sexual abuse. Anther is criminal cnduct. Lcal laws vary, and the situatins will vary. In these kinds f situatins, yu will have t decide whether yu need t physically step in t prtect the member frm further harm, and yu will have t ntify the lcal law enfrcement agency. Frm a CAP perspective, yu must immediately reprt these kinds f allegatins (sexual abuse and criminal cnduct) t the general cunsel at NHQ. D NOT start an investigatin: this is a matter fr the NHQ t decide wh is t investigate. Yu als reprt the situatin t yur wing cmmander as sn as pssible. Yu may cntact yur wing cmmander first if yu dn t have the NHQ/GC cntact infrmatin at hand. At the time f this publicatin, the phne number is extensin 234. The is gc@capnhq.gv. If there is an allegatin f a vilatin f the equal pprtunity / nndiscriminatin plicy, yu need t immediately refer the cmplaint t the CAP Equal Opprtunity Officer (EOO), via the NHQ Equal Opprtunity Administratr, t be handled in accrdance with CAPR 36-2, Cmplaints Under The Civil Air Patrl Nndiscriminatin Plicy. At the time f this publicatin, the phne number is (n extensin is currently available). CAPR specifically deals with the cmplaint prcess. CAP members are required t reprt FWA (fraud, waste, and abuse); vilatins f plicies, r directives; abuse (including abuse f authrity); cadet prtectin issues, r miscnduct; t an apprpriate cmmander r IG. In additin, CAP members shuld reprt any knwn vilatins f law relating t these CAP issues. If yu becme aware f any f these issues, yu are required t reprt them up yur chain f cmmand. If the persn invlved is yur cmmander, g t his/her cmmander, r t the IG. If the persn invlved is the IG, g t the next higher level IG. Fr many ther issues, including miscmmunicatin r perceptin differences, yu may very well be able t reslve it at yur level, and yu are encuraged t d s. Having an pen dr plicy can be very reassuring t yur squadrn members. Yu shuld, hwever, nt be afraid t ask fr help frm higher HQ. Dcumenting in detail will help yu in many ways. Besides being able t answer questins frm higher HQ r an investigating fficer ( I/O ) later, having the prper questins answered may turn an therwise indecipherable mess int an bvius slutin. The fundamental details f wh allegedly did what t whm, when, and where are essential. If yu knw the regulatins well, anther questin t ask is, in vilatin f what CAPR? CAPR A member's use f the prcedures set frth in this regulatin will be free frm reprisal by any ther member. Hwever, CAP members must understand that when submitting cmplaints, they are making fficial statements within CAP channels. Therefre, CAP members may receive administrative r disciplinary actin under apprpriate CAP regulatins fr knwingly making false statements. Any cmmander r inspectr general wh reasnably believes a cmplainant has submitted a knwingly false statement shuld cnsult with their legal fficer befre taking any actin. Quick summary f the cmmander s duties: 2

3 Have an pen dr plicy t recgnize prblems early, and fix them befre things escalate. Sme prblems must be escalated immediately (sexual abuse and criminal cnduct), with ntificatin f law enfrcement als being required in accrdance with lcal laws. Fllw (i.e. lead by example) and enfrce all CAPRs fairly. Any CAP member can use the IG prcess. N retaliatin fr reprting a prblem will be tlerated. Members shuld try t reslve prblems at the lwest level pssible. Members are t use all ther means /regs/prcesses if anther is available r required by regulatins. Members are nt t share, send, r discuss IG related materials (cmplaints, etc) t/with thers wh nt directly invlved in the case (except any CAP cmmander, elected r regulatry federal, state and lcal gvernmental fficials r legal cunsel ). 3. Directing cmplaints nce they are filed If a cmplaint cannt be handled at the lcal level (fr any reasn), the cmmander will elevate the cmplaint t the next higher cmmander and/r the IG fr that next higher level. 4. The cmplaints prcess Wh Can File Fr Fraud / Waste / Abuse (FWA) cases, anyne can submit a cmplaint. If a cmplaint is submitted annymusly, it is nt cnsidered evidence. If an investigatin uncvers evidence, that evidence can be used. Only members can file nn-fwa cmplaints. Filing the cmplaint The cmplaint can initially be in any frm (written, telephne, , etc), but if it is nt in writing, it needs t be put in writing (and signed) within 14 days f the riginal ntificatin. (This next sectin is frm CAPR 123-2, and while summarized, is mstly cpied verbatim.) Signing a dcument means the persn affirms it t be true and crrect t the best f [his/her] knwledge. Infrmatin submitted t the IG prgram is an fficial statement within fficial channels. CAP members wh knwingly making false statements and/r cmmunicatins are subject t punitive actin (r adverse administrative actin). Submit all available dcumentatin, and include a cmpleted CAPF 30. Cmplaints shuld be submitted t the cmmander r inspectr general f the wing r regin t which the cmplainant is assigned. 3

4 If the subject is nt in the same chain f cmmand as the cmplainant, the cmmander r inspectr general will frward the cmplaint t the apprpriate cmmander r inspectr general f the unit in the subject s chain f cmmand and will ntify the cmplainant f the transfer. Cmplaints against a cmmander f a unit subrdinate t a wing shall be filed with the wing cmmander r inspectr general. Cmplaints against CAP senir level fficials shall be submitted directly t the CAP/IG. Cmplaints against the CAP/IG are submitted directly t the CAP/CC, unless the CAP/CC is a party (cmplainant, subject r witness) t the cmplaint. If the CAP/CC is a party t a cmplaint against the CAP/IG, the cmplaint will be submitted t the BOG Executive Secretary (CAP Chief Operating Officer). Submit the cmplaint within 60 days f the ccurrence r actin upn which the cmplaint is based r within 60 days f the cmplainant becming aware f the ccurrence r actin upn which the cmplaint is based. Beynd 60 days, submit justificatin fr the IG t decide if there is reasn t grant an exceptin. Receipt f a cmplaint shall be acknwledged in writing by the IG r I/O within 30 days f the effective date f the cmplaint. The cmplaints reslutin prcess INITIAL DETERMINATIONS After the cmplaint is received, the prcess invlves clarifying the issue (making sure the cmplaint is crrectly understd & phrased) and then deciding what t d with the cmplaint (assist, refer, transfer, frmally investigate, r dismiss). Factrs invlved include (but are nt limited t): 1) Is the evidence submitted strng enugh t warrant an investigatin? 2) Is the cmplaint significant enugh t warrant an investigatin even withut evidence? 3) Is the cmplaint best handled via the IG rute r is anther channel required by the CAPRs? THE INVESTIGATIVE PROCESS AND CLOSURE If the decisin is made t investigate, ne r mre I/Os is/are appinted. Investigatins shuld be cmpleted as quickly as reasnably pssible, unless there is a justifiable reasn fr delay. If the I/O thinks the prcess will take mre than 180 days, s/he needs t ntify the appinting authrity f this. The I/O needs t make a reprt every 60 days n the prgress f the investigatin. The investigatin is limited t fact finding: there is n judicial aspect t an I/O s duty. When the I/O finishes the investigatin, s/he writes up a reprt f the investigatin and gives it t the appinting authrity. The appinting authrity (r cmmander, if that is wh was the appinting authrity) can accept the results, reject the results, r ask fr further investigatin. After the results are accepted as final, the cmmander/appinting authrity will decide the curse f actin and will send a clsure letter t the cmplainant, the subject, the subject s cmmander, and the I/O. If legal needs t be invlved, the cmmander makes thse 4

5 cntacts. If either the cmplainant r the subject f the investigatin thinks the investigatin was imprper, invalid, r inadequate fr any reasn, an appeal can be made fr a next higher IG review. Becming a member f the IG team will help yu learn this prcess very well, and will train yu hw t efficiently handle these matters. Lessn Summary and Clsure Human interactins may have undesired results. The CAP IG system, Cmplaints Reslutin Prgram, and the CAPR 123-series (transitining t the 20-series) are in place t recgnize prblems early, investigate cmplaints, and help guide cmmanders t ensure that all members are treated prperly, fairly, bjectively, impartially, and with integrity. This is especially true in cases where disciplinary actins may need t be taken. 5