DAFI90-301

BY ORDER OF THE

SECRETARY OF THE AIR FORCE

DEPARTMENT OF THE AIR FORCE

INSTRUCTION 90-301

4 JANUARY 2024

Special Management

INSPECTOR GENERAL COMPLAINTS

RESOLUTION

COMPLIANCE WITH THIS PUBLICATION IS MANDATORY

ACCESSIBILITY: Publications and forms are available on the e-Publishing website at

www.e-publishing.af.mil for downloading or ordering.

RELEASABILITY: There are no releasability restrictions on this publication.

OPR: SAF/IGQ Certified by: SAF/IG

(Col Ian M. Dinesen)

Supersedes: AFI90-301, 28 December 2018 Pages: 196

This instruction implements Department of the Air Force Policy Directive (DAFPD) 90-3,

Inspector General. This publication applies to all Regular Air Force (RegAF) and United States

Space Force (USSF) personnel, Department of the Air Force civilian employees, Air Force

Reserve (AFR) personnel, Air National Guard (ANG) personnel, and the Civil Air Patrol when

conducting missions as the official Air Force Auxiliary. Failure to observe the prohibition against

reprisal in paragraph 5.2. or the prohibitions against restriction in paragraph 6.2. by Regular Air

Force military members, Air Force Reserve military members on active duty or inactive duty for

training, and Air National Guard military members in Title 10 status is a violation of Article 92 of

the Uniform Code of Military Justice or Article 132 of the Uniform Code of Military Justice.

Department of the Air Force civilian employees who violate these provisions are subject to

administrative or disciplinary action. Air National Guard personnel not in federal status are subject

to their respective state military code or applicable administrative actions, as appropriate. This

instruction assigns responsibilities and prescribes procedures for reporting and processing all

allegations or adverse information of any kind against Department of the Air Force senior officials

and Department of the Air Force officers and complaints involving allegations of reprisal or

restriction. This instruction requires the collection and or maintenance of information protected

by the Privacy Act of 1974 authorized by Title 5 United States Code (USC) Section 552a, Title 10

United States Code Section 9013 and Title 10 United States Code Section 9020. The applicable

System of Records Notice (SORN) F090 AF IG B, Inspector General Records is available at:

http://dpcld.defense.gov/Privacy/SORNS.aspx. In implementing this instruction, Inspectors

General (IGs) may collect and maintain this information. The reporting requirements in this

instruction are exempt from licensing in accordance with Air Force Instruction (AFI) 33-324, The

2  DAFI90-301  4 JANUARY 2024 
Air  Force  Information  Collections  and  Reports  Management  Program.    Refer  recommended 
changes and questions about this publication to the office of primary responsibility (OPR) using 
the DAF Form 847, Recommendation for Change of Publication; route DAF Forms 847 from the 
field through the appropriate major command (MAJCOM) or field command (FLDCOM) IG. 
Ensure all records generated as a result of processes prescribed in this publication adhere Air Force 
Instruction 33-322, Records Management and Information Governance Program, and are disposed 
in accordance with the Air Force Records Disposition Schedule, which is located in the Air Force 
Records  Information  Management  System.    Major  commands  (MAJCOMs),  field  commands 
(FLDCOMs), field operating agencies (FOAs), direct reporting units (DRUs) or equivalent may 
supplement this instruction.  However, any supplement must be submitted to and approved by 
Secretary of the Air Force, Office of The Inspector General, Complaints Resolution Directorate 
(SAF/IGQ).  The authorities to waive wing/unit level requirements in this publication are identified 
with a tier (“T-0, T-1, T-2, T-3”) number following the compliance statement. See Department of 
the Air Force Manual (DAFMAN) 90-161, Publishing Processes and Procedures, for a description 
of the authorities associated with the tier numbers. Submit requests for waivers through the chain 
of command to the appropriate tier waiver approval authority, or alternately, to the publication 
OPR for non-tired compliance items. SAF/IGQ is the waiver approving authority for non-tiered 
requirements in this publication.  Compliance with attachments is mandatory.  For the purpose of 
this  instruction,  the  term:  “reprisal”  refers  to  retaliatory  actions  against  a  military  member 
prohibited by Title 10 United States Code Section 1034, unless modified by the term “civilian” or 
referencing  Title  5  United  States  Code  Section  2302(b);  “MAJCOM”  includes  the  Air  Force 
District of Washington (AFDW); wings include Space Force Deltas,  independent groups; days 
are  calendar  days  unless  otherwise  specified.    Additionally,  for  purposes  of  this  instruction, 
commander is as defined in AFI 51-509, Appointment to and Assumption of Command. 
SUMMARY OF CHANGES 
This publication has been substantially  revised and needs to  be  completely reviewed.  Major 
changes include the inclusion of US Space Force and updated National Guard responsibilities; 
updates guidance on reporting complaints against colonels; adds the IG oath; clarifies procedures 
when  there  is  a  perceived  conflict  of  interest;  introduces  the  “tentative  conclusion  letter”  and 
associated  procedures  for  all  investigations  recommending  a  substantiated  finding;  updates 
collection, notification and reporting of adverse information; creates processes for screening IG 
records for the Defense Sexual Assault Advocate Certification Program (D-SAACP) as well as 
personnel selected for IG positions; clarifies and updates procedures for addressing Department of 
Defense Hotlines cases; clarifies and updates procedures for marking IG records, responding to 
official use and Freedom of Information Act requests. Adds reporting and tracking requirements 
of William M. (Mac) Thornberry National Defense Authorization Act (NDAA) for Fiscal Year 
2021, Section 554. 
 
Chapter 1—THE INSPECTOR GENERAL COMPLAINTS RESOLUTION PROGRAM    12 
Section 1A—The Department of the Air Force Inspector General Complaints Resolution Program   12 
1.1.  Overview. .................................................................................................................   12 
1.2.  The IG Complaints Resolution Program. .................................................................   12 

DAFI90-301  4 JANUARY 2024  3 
3.  Relationships Within the IG System. .......................................................................   12 
Section 1B—Authority of The Inspector General (TIG) of the Department of the Air Force    13 
4.  Delegated Statutory Authority. ................................................................................   13 
5.  Investigations not Covered by the Authority of the IG System. ..............................   13 
6.  Authority to Direct Investigations. ..........................................................................   13 
7.  Authority to Conduct Investigations. .......................................................................   14 
8.  Authorized IG Positions. ..........................................................................................   14 
9.  Authority for IG Access to Records/Documents. ....................................................   14 
Section 1C—The Department of the Air Force Inspector General Complaints Resolution Program 
(CRP)    15 
10.  Program Benefits. ....................................................................................................   15 
11.  Mission Focus. .........................................................................................................   15 
Section 1D—Roles and Responsibilities    16 
12.  SAF/IG Responsibilities. .........................................................................................   16 
13.  SAF/IGQ Responsibilities. ......................................................................................   17 
14.  SAF/IGS Responsibilities. .......................................................................................   18 
15.  SAF/IGX Responsibilities. ......................................................................................   19 
16.  MAJCOM, FLDCOM, NGB, NAF, Component, JFHQ, FOA, and DRU IG 
Responsibilities. .......................................................................................................   19 
17.  Deployed Forces. .....................................................................................................   21 
18.  Center/Host/Wing/Delta IG Responsibilities. ..........................................................   22 
19.  Judge Advocates (JA) at every level assist IGs by: .................................................   25 
20.  The Judge Advocate General (AF/JA) assists SAF/IG by: ......................................   25 
21.  The General Counsel of the Department of the Air Force (SAF/GC) assists 
SAF/IG by: ...............................................................................................................   26 
22.  The Deputy Chief of Staff, Manpower, Personnel and Services (AF/A1) assists 
SAF/IG by: ...............................................................................................................   26 
23.  Equal Opportunity (EO) Office personnel at every level assist IGs by: ..................   27 
24.  The Secretary of the Air Force, Legislative Liaison, Congressional 
Correspondence Division (SAF/LLC) assists SAF/IG by: ......................................   27 
25.  The Department of the Air Force Inspection Agency (DAFIA) supports SAF/IG 
by: ............................................................................................................................   28 
26.  The Air Force Office of Special Investigations (AFOSI) supports SAF/IG by: ......   28 
27.  The Air Force Audit Agency (AFAA) assists SAF/IG by: ......................................   29 

4  DAFI90-301  4 JANUARY 2024 
1.28.  The Secretary of the Air Force, Office of Public Affairs (SAF/PA). ......................   29 
1.29.  The Headquarters Air Force Directorate of Security Forces (AF/A4S) assists 
SAF/IG by: ...............................................................................................................   29 
1.30.  The Surgeon General of the Air Force (AF/SG) assists SAF/IG by: .......................   30 
1.31.  The Office of the Assistant Secretary of the Air Force (Financial Management 
and Comptroller) (SAF/FM): ...................................................................................   30 
1.32.  The Assistant Secretary of the Air Force-Manpower and Reserve Affairs, Air 
Force Civilian Appellate Review Office (SAF/MRBA) (also referred to as 
AFCARO) assists SAF/IG by: .................................................................................   30 
1.33.  The Vice Chief of Staff, Executive Talent Management (AF/A1L) assists 
SAF/IG by: ...............................................................................................................   30 
Section 1E—The Wing IG Program    31 
1.34.  Wing/Delta IG Program Background. .....................................................................   31 
1.35.  Establishment of the Wing/Delta IG Program. ........................................................   31 
1.36.  Wing/Delta IG Organization. ...................................................................................   31 
1.37.  Assigning Additional Duties to IGs. ........................................................................   32 
Section 1F—Commanders and the Inspector General Program    32 
1.38.  How the IG System Helps the Commander. ............................................................   32 
1.39.  Roles of the IG in Relation to the Commander. .......................................................   32 
1.40.  Commander Support of the IG System. ...................................................................   33 
1.41.  Commander Directed Investigations (CDIs). ..........................................................   34 
Section 1G—Administering the IG Complaints Resolution Program    34 
1.42.  Administrative Procedure. .......................................................................................   34 
1.43.  Data Management. ...................................................................................................   35 
Section 1H—Training Requirements    36 
1.44.  IG Training Requirements. ......................................................................................   36 
Section 1I—Wear of the Inspector General Badge    37 
1.45.  Department of the Air Force Inspector General Duty Badge. .................................   37 
1.46.  Wear Criteria. ...........................................................................................................   37 
Section 1J—Education of Department of the Air Force Personnel    37 
1.47.  Educating Department of the Air Force Personnel on the IG System. ....................   37 
1.48.  IG Oath. ...................................................................................................................   38 
Figure  1.1.  Oath for personnel assigned to the IG. .....................................................................   38 

DAFI90-301  4 JANUARY 2024  5 
Chapter 2—FILING AN IG COMPLAINT    39 
Section 2A—Filing a Complaint    39 
2.1.  Procedure for Filing an IG Complaint. ....................................................................   39 
2.2.  Approval of Official Travel to Submit Complaints. ................................................   39 
2.3.  Complaints Resolved Through Other Agencies and Grievance Channels. ..............   40 
Section 2B—Complainant’s Rights and Responsibilities    40 
2.4.  Complainant’s Rights. .............................................................................................   40 
2.5.  Complainants’ Responsibilities. ..............................................................................   42 
2.6.  Removing Complaints from the IG System. ............................................................   43 
2.7.  Requests to Delay Command or Personnel Actions. ...............................................   43 
Section 2C—How to File an IG Complaint    44 
2.8.  Procedures for Filing an IG Complaint. ...................................................................   44 
Table  2.1.  How to File a Complaint. .........................................................................................   44 
Chapter 3—MANAGING IG COMPLAINTS    46 
Section 3A—Introduction to the Complaints Resolution Process    46 
3.1.  Overview. .................................................................................................................   46 
3.2.  Protection of Information. ........................................................................................   46 
3.3.  Procedures for Managing IG Complaints. ...............................................................   47 
3.4.  The Complaint Resolution Process. .........................................................................   48 
Table  3.1.  The Complaint Resolution Process (T-1). ...............................................................   48 
Section 3B—Step 1:  Contact (< 5 Days)    49 
3.5.  Procedure for Receiving Complaints. ......................................................................   49 
Table  3.2.  Processing Complaints. ............................................................................................   49 
3.6.  Higher Headquarters Taskings. ................................................................................   50 
3.7.  Complaint Intake Procedures. ..................................................................................   50 
Table  3.3.  How to Conduct a Complaint Intake. ......................................................................   50 
Table  3.4.  How to Conduct a Complaint Clarification. ............................................................   52 
Section 3C—Step 2:  Analysis (≤ 20 Days) Conducting a Complaint Analysis    53 
3.8.  Procedure for Complaint Analysis. ..........................................................................   53 
3.9.  Conducting a Complaint Analysis. ..........................................................................   53 
3.10.  Complaint Analysis Procedures. ..............................................................................   54 
Table  3.5.  How to Conduct a Complaint Analysis. ..................................................................   54 

6  DAFI90-301  4 JANUARY 2024 
3.11.  Documenting a Complaint Analysis. .......................................................................   54 
3.12.  Processing Allegations/Issues of a Special Nature. .................................................   55 
Table  3.6.  Processing Special Interest Complaints. (T-1) .........................................................   55 
3.13.  Other Agencies and Grievance Channels. ...............................................................   62 
Table  3.7.  Other Agencies and Grievance Channels. ...............................................................   62 
Section 3D—Step 3:  Tasking: Transfer, Assist, Refer, Dismiss, or Investigate (≤ 5 Days)    68 
3.14.  Transferring a Complaint. ........................................................................................   68 
Table  3.8.  When to Transfer A Complaint to Another Department of the Air Force IG (T-1)   68 
3.15.  Procedures for Transferring a Complaint. ...............................................................   69 
Table  3.9.  How to Transfer a Complaint (T-1). ........................................................................   69 
3.16.  Procedures When Another Appeal or Grievance Channel Exists. ...........................   70 
3.17.  Assisting a Complainant. .........................................................................................   70 
3.18.  Procedures for Assisting a Complainant. .................................................................   70 
Table  3.10.  How to Assist a Complainant (T-3). ........................................................................   70 
3.19.  Referring a Complaint. ............................................................................................   71 
3.19.  1. ..............................................................................................................................   71 
Table  3.11.   .................................................................................................................................   71 
3.20.  Procedures for Referring a Complaint. ....................................................................   71 
Table  3.12.  How to Refer a Complaint (T-1). .............................................................................   71 
3.21.  Dismissing a Complaint. ..........................................................................................   73 
Table  3.13.  When to Dismiss a Complaint (T-1). .......................................................................   73 
3.22.  How to Dismiss a Complaint. ..................................................................................   76 
Table  3.14.  How to Dismiss a Complaint (T-1). .........................................................................   76 
Chapter 4—IG INVESTIGATIONS    77 
Section 4A—Procedures for Initiating an Investigation    77 
4.1.  Overview. .................................................................................................................   77 
4.2.  Investigating a Complaint. .......................................................................................   77 
4.3.  Procedures for Conducting Investigations. ..............................................................   77 
4.4.  Procedures for Tasking an Investigation. .................................................................   77 
Table  4.1.  How to Task an Investigation (T-1). ........................................................................   78 
4.5.  Notification Requirements for Investigations. .........................................................   78 
Table  4.2.  Notification Matrix for Investigations. (Complaint Analysis and Investigation 
Phases) (T-1) ............................................................................................................   78 

DAFI90-301  4 JANUARY 2024  7 
Section 4B—Step 4: Pre-fact Finding (≤ 5 Days, see Table 3.1)    79 
4.6.  Procedures for Appointing an Investigating Officer (IO). .......................................   79 
4.7.  How to Appoint an Investigating Officer. ...............................................................   80 
4.8.  Requirements for Investigation Preparation. ...........................................................   80 
Section 4C—Step 5: Fact Finding (≤ 21 Days)    81 
4.9.  IG Responsibilities. ..................................................................................................   81 
4.10.  Responsibilities of IOs. ............................................................................................   81 
4.11.  Gathering Evidence. .................................................................................................   82 
4.12.  Interviewing Witnesses. ...........................................................................................   83 
4.13.  Persons Present During an Interview. ......................................................................   85 
4.14.  Civilian Employees Represented by Unions. ...........................................................   86 
4.15.  Procedures Regarding Rights Advisements. ............................................................   86 
4.16.  Procedures Regarding Subject/Suspect/Witness Hand-offs. ...................................   88 
Section 4D—Step 6: Writing the Report (≤ 34 Days)    89 
4.17.  Standard of Proof. ....................................................................................................   89 
4.18.  Analyzing the Evidence. ..........................................................................................   90 
4.19.  Category of Findings. ..............................................................................................   90 
4.20.  Procedures Regarding Report Writing. ....................................................................   90 
4.21.  Case File Format. .....................................................................................................   91 
4.22.  Reporting Requirements Periodic Updates (PU). ....................................................   92 
Section 4E—Step 7: IG Quality Review (≤ 7 Days)    92 
4.23.  Requirement for IG Quality Reviews. .....................................................................   92 
Section 4F—Step 8: Technical Review (≤ 3 Days)    92 
4.24.  When is a Technical Review Necessary? ................................................................   92 
Section 4G—Step 9: Legal Review (≤ 10 Days)    93 
4.25.  Requirement for Legal Reviews. .............................................................................   93 
Table  4.3.  Actions to Take Based on Legal Sufficiency Review. (T-1) ...................................   94 
Section 4H—Step 10: Reworking the Report (≤ 5 Days)    94 
4.26.  When Reports are Returned for Rework. .................................................................   94 
Section 4I—Step 11: Completing the Case (≤ 7 Days)    95 
4.27.  Appointing Authority Approval. ..............................................................................   95 
4.28.  Closure Requirements. .............................................................................................   96 

DAFI90-301  4 JANUARY 2024 
29.  Notification Requirements for Case Closures. .........................................................   96 
30.  Responding to Complainants after Closing an Investigation. ..................................   97 
Table  4.4.  Notification Matrix for Closure of IG Investigations. (T-1)   ..................................   98 
31.  Command Action. ....................................................................................................   98 
Section 4J—Step 12: Higher Headquarters Review (≤ 23 Days, see Table 3.1)    98 
32.  Requirement for Higher Headquarters Quality Review (QR)..................................   98 
33.  Disagreement with Findings. ...................................................................................   99 
Section 4K—Step 13: SAF/IGQ Review (≤ 5 Days)    100 
34.  Requirement for SAF/IGQ Review. ........................................................................   100 
Chapter 5—REPRISAL COMPLAINTS    101 
1.  Governing  Directives. .............................................................................................   101 
2.  Whistleblower Protection Against Reprisal Under Title 10 United States Code, 
Section 1034 (10 USC § 1034). ...............................................................................   101 
3.  Procedures for Receipt of Reprisal Complaints. ......................................................   102 
Table  5.1.  Reprisal Referral for Civilian Employees. ...............................................................   102 
4.  Notification Requirements for Reprisal Complaints. ...............................................   103 
5.  Conducting Complaint Analysis for Allegations of Reprisal. .................................   105 
6.  Investigating Reprisal Complaints. ..........................................................................   107 
7.  Reviewing and Approving Reprisal Investigations. ................................................   109 
8.  Final Approval and Notification Requirements. ......................................................   109 
Chapter 6—RESTRICTION COMPLAINTS    111 
1.  Governing  Directives. .............................................................................................   111 
2.  Department of the Air Force members and civilian employees who fail to obey 
the prohibitions of this chapter are in violation of 10 USC 1034 and may be 
punished. ..................................................................................................................   111 
3.  Procedures for Receipt of Restriction Complaints. ..................................................   111 
4.  Notification Requirements for Restriction Complaints. ..........................................   112 
5.  Conducting Complaint Analysis into Allegations of Restriction. ............................   113 
6.  Evaluating Allegations of Restriction. .....................................................................   115 
Table  6.1.  Elements for use in Evaluating Restriction. .............................................................   115 
7.  Investigating Restriction Complaints. ......................................................................   115 
8.  Reviewing and Approving Restriction Investigations. ............................................   116 
9.  Final Approval and Notification Requirements. ......................................................   116 

DAFI90-301  4 JANUARY 2024  9 
Chapter 7—COLLECTION, DOCUMENTATION, AND NOTIFICATION 
REQUIREMENTS  IN  SUPPORT OF THE DEPARTMENT OF THE AIR 
FORCE SCREENING     118 
7.1.  Overview. .................................................................................................................   118 
7.2.  Governing Directives. ..............................................................................................   118 
7.3.  Collecting, Documentation and Notification requirements for Investigations and 
adverse information involving officers. ...................................................................   118 
7.4.  Commanders, directors and civilians leaders will: ..................................................   118 
7.5.  IGs will: ...................................................................................................................   119 
Table  7.1.  Collection, Documentation and Notification Requirements in support of the 
Department of the Air Force Officer Promotion Screening (T-1). ..........................   120 
7.6.  Department of the Air Force Screening. ..................................................................   121 
7.7.  Roles in the Officer Screening Process (1st Lt - Colonel Promotions). ...................   122 
7.8.  Screening Outside the Promotion Process. ..............................................................   123 
Chapter 8—COMPLAINTS AGAINST SENIOR OFFICIALS    126 
8.1.  Requirements for Investigating Allegations Against Senior Officials. ....................   126 
8.2.  Notification Requirements. ......................................................................................   127 
Table  8.1.  Senior Official Complaint Processing. ....................................................................   127 
Table  8.2.  Senior Official Notification Matrix. ........................................................................   128 
8.3.  Investigating Allegations Against Senior Officials. ................................................   129 
8.4.  Closing a Senior Official Investigation. ...................................................................   130 
Chapter 9—DOD HOTLINE COMPLAINTS    132 
9.1.  Governing Directive. ...............................................................................................   132 
9.2.  Overview. .................................................................................................................   132 
9.3.  SAF/IGQ Responsibilities. ......................................................................................   132 
9.4.  Subordinate level IG Responsibilities. .....................................................................   133 
9.5.  DoD Hotlines. ..........................................................................................................   133 
Table  9.1.  How to process a Department of Defense Hotline for ACTION (T-1): ..................   133 
Table  9.2.  How to process a Department of Defense Hotline for Information (INFO) (T-1): .   136 
9.6.  Allegations under OSI purview. ..............................................................................   139 
9.7.  Command or agency responsibilities when receiving a DoD Hotline. ....................   139 
9.8.  Matters Not Appropriate For The DoD Hotline. .....................................................   140 
9.9.  HCR quality standards. ............................................................................................   140 

10  DAFI90-301  4 JANUARY 2024 
Chapter 10—IG RECORDS MAINTENANCE AND RELEASE    142 
Section 10A—Directive, Terms and Overview    142 
10.1.  Governing Directives. ..............................................................................................   142 
10.2.  Overview. .................................................................................................................   142 
Section 10B—Maintenance of IG Records    142 
10.3.  Marking IG Records. ...............................................................................................   142 
Figure  10.1.  CUI Designation Indicator for All Documents and Material. ..................................   142 
10.4.  Protection of IG Records. ........................................................................................   143 
10.5.  Protecting Privacy Interests. ....................................................................................   143 
10.6.  Maintenance and Disposition of IG Records. ..........................................................   144 
10.7.  Maintenance and Disposition of Commander Directed Investigation (CDI) 
Records. ...................................................................................................................   144 
Section 10C—Restrictions for Use of IG Records    145 
10.8.  Restrictions for Use of IG Records. .........................................................................   145 
Section 10D—Official Use Requests (OUR)    145 
10.9.  Release Determination for OURs. ...........................................................................   145 
10.10.  Procedures for all OURs. .........................................................................................   146 
10.11.  OURs Related to Command Action. ........................................................................   146 
10.12.  OURs for Other than Command Action. .................................................................   147 
Section 10E—Freedom of Information Act (FOIA) and Privacy Act (PA) Requests    148 
10.13.  Authority Responsible for Making Release Determinations for FOIA and PA 
Requests. ..................................................................................................................   148 
10.14.  Procedures Regarding FOIA Requests. ...................................................................   148 
Section 10F—Making Release Determinations    148 
10.15.  General Guidance. ...................................................................................................   148 
10.16.  Further FOIA ...........................................................................................................   149 
Attachment 1—GLOSSARY OF REFERENCES AND SUPPORTING INFORMATION    150 
Attachment 2—WITNESS INTERVIEW FORMAT    174 
Attachment 3—SUBJECT INTERVIEW FORMAT    180 
Attachment 4—SUSPECT INTERVIEW FORMAT    186 
Attachment 5—PRIVACY ACT STATEMENT    193 
Attachment 6—QUARTERLY PROHIBITED ACTIVITY REPORT TO DIG (DIEM)    195 

DAFI90-301 4 JANUARY 2024 11

12 DAFI90-301 4 JANUARY 2024

Chapter 1

THE INSPECTOR GENERAL COMPLAINTS RESOLUTION PROGRAM

Section 1A—The Department of the Air Force Inspector General Complaints Resolution

Program

1.1. Overview. This chapter covers the background, authority, and purpose of the IG complaints

resolution program. It defines the roles and responsibilities of IGs and other offices and agencies

involved in the IG process. It also covers the organization of the IG complaints resolution program

throughout the United States Air Force (USAF), USSF, Air Force Reserve, and Air National

Guard.

1.2. The IG Complaints Resolution Program. The IG complaints resolution program used

throughout the Total Force is based on the concept that IGs serve as an extension of their

commanders by acting as the commanders’ eyes and ears to be alert to issues affecting the

organization. IGs serve their commanders and their assigned organizations both by executing the

complaint resolution process and by proactively training all members of the organization about IG

processes and fraud, waste, and abuse issues. A successful complaint resolution program is

designed to enhance the organization’s discipline, readiness, and warfighting capability. IGs use

fact-finding methodologies to seek out systemic issues affecting the organization.

1.2.1. The effectiveness of the IG system requires the mutual cooperation of all Department

of the Air Force IGs.

1.2.2. IGs assist Airmen and Guardians of all ranks, family members, civilian employees,

retirees, and other civilians. These individuals represent the IG’s constituency, and IGs bolster

the chain of command by performing a problem-solving mission in support of this

constituency.

1.2.3. All IGs must maintain a clear distinction between being an extension of the commander

and their duty to serve as fair, impartial, and objective fact-finders and problem solvers. They

must be sufficiently independent so complainants continue requesting IG help, even when they

feel the commander may be the problem. Commanders must support this clear distinction for

their IGs to be effective.

1.2.4. The IG system support process includes operational planning, training, administration,

personnel, and resource management. This facilitates the execution of the complaint resolution

program for all Department of the Air Force leaders.

1.2.5. Operational readiness is integrated into all phases of the IG system. IGs provide

complaint resolution services at all times.

1.3. Relationships Within the IG System. While IGs report to their respective commanders, IGs

may request and are expected to provide support to other IGs within the Total Force IG system.

All IGs who work matters under the Complaints Resolution Program must adhere to IG policies.

The Department of the Air Force Inspector General (SAF/IG) maintains the integrity of the IG

system through policy, training, and oversight.

DAFI90-301 4 JANUARY 2024 13

Section 1B—Authority of The Inspector General (TIG) of the Department of the Air Force

1.4. Delegated Statutory Authority. DAFPD 90-3, Inspector General implements 10 USC §

9020.

1.4.1. Within the Department of the Air Force, authority to manage the Inspector General

Complaints Resolution Program (CRP) is hereby delegated to IGs at all organizational levels.

Subordinate inspectors general at all organizational levels below SAF/IG derive their authority

from DAFI 90-301, Inspector General Complaints Resolution.

1.4.2. In accordance with Title 10 United States Code, Section 936(b)(6), the authority to

administer oaths for the purpose of military administration may be granted to persons

designated by regulations of the armed forces. Authority to administer oaths for IG

investigations is hereby granted to the IG investigative staff and investigating officers (IOs) at

all organizational levels. This authority includes not only the administering of oaths to

witnesses, but also the administering of oaths to technical advisors and administrative support

personnel.

1.5. Investigations not Covered by the Authority of the IG System. Personnel who direct or

conduct administrative inquiries or investigations governed by other policy directives and

instructions (e.g., Department of the Air Force Manual (DAFMAN) 1-101, Commander Directed

Investigations) will not cite this instruction as the authority.

1.6. Authority to Direct Investigations. The Department of the Air Force IG CRP requires each

investigation be initiated and closed in writing by a designated appointing authority. Only those

individuals incumbent in the positions listed below are authorized to direct an IG investigation,

and are therefore, appointing authorities. Appointing authorities have the singular authority to

direct investigations, appoint investigating officers (IOs), and approve the reports of investigation.

Commanders or IGs at any organizational level will not further delegate “appointing authority”

except as stated below. (T-1)

1.6.1. Secretary of the Air Force (SECAF).

1.6.2. The Inspector General of the Department of the Air Force (SAF/IG) and designees.

1.6.3. Chief of Staff of the Air Force (CSAF).

1.6.4. Chief of Space Operations (CSO)

1.6.5. Chief, National Guard Bureau (CNGB).

1.6.6. The Adjutant General (TAG) of all states, Puerto Rico, the US Virgin Islands, Guam,

and The Commanding General of the District of Columbia as well as The Assistant Adjutant

General for Air of all states, Puerto Rico, the US Virgin Islands, Guam, and the District of

Columbia.

1.6.7. MAJCOM, FLDCOM, FOA, DRU, Numbered Air Force (NAF), Center, Wing, Delta,

and Joint Base commanders.

1.6.8. MAJCOM, FLDCOM, Joint Force Headquarters (JFHQ), FOA, DRU, NAF,

Component, Center, NGB, Delta, and Wing Inspectors General, if designated in writing by

their respective commander. At the MAJCOM, FLDCOM and Center level, commanders can

delegate appointing authority to their deputy Inspectors General or IGQ division chief.

14 DAFI90-301 4 JANUARY 2024

1.6.9. In all cases, the appointing authority, military or civilian, will be of equal or greater

grade than the subject(s) or suspect(s) being investigated.

1.6.10. Appointing authorities will not initiate investigations into allegations against

themselves. Such allegations will be forwarded to the next higher-level IG for resolution. (T-1)

1.6.11. Appointing authorities will not initiate investigations into allegations against their

commander. (T-1) Such allegations will be transferred to the next higher-level IG for

resolution.

1.7. Authority to Conduct Investigations.

1.7.1. Appointed investigating officers are authorized to conduct IG investigations within the

scope of their appointment and under the authority and guidance of this instruction. Appointed

investigating officers’ responsibilities expire when the report of investigation is approved by

the appointing authority or after final higher headquarters approval, whichever is later.

1.7.2. Under the authority of this instruction, properly appointed inspectors general may

conduct complaints analyses to determine resolution paths for complaints received by their IG

office. If the recommended resolution path at the conclusion of the complaint analysis includes

investigation, the IG may serve as the IO but must be appointed by his/her appointing authority

to conduct the investigation.

1.8. Authorized IG Positions. The below are authorized to have IG positions:

1.8.1. The Secretary of the Air Force.

1.8.2. Chief of the National Guard Bureau (CNGB).

1.8.3. The Adjutant General (TAG) of all states, Puerto Rico, the US Virgin Islands, Guam,

and The Commanding General of the District of Columbia.

1.8.4. MAJCOM, FLDCOM, FOA, DRU, NAF, Center, Joint Base, Delta, and Wing

commanders.

1.8.5. Commanders must request SAF/IG, through the MAJCOM or FLDCOM IG (as

appropriate), approval to establish IG positions not identified in this instruction. (T-1)

Commanders requesting IG authorization must certify the individual assigned will function

solely as a full-time IG. (T-1) SAF/IG must approve requests for such positions in writing

prior to individuals functioning in this capacity. (T-1) ANG commanders must route such

requests through the National Guard Bureau, Inspections (NGB/IG) at the ANGRC. (T-1)

1.8.6. IGs approved by SAF/IG have the same authority and responsibilities as IGs in positions

identified in this instruction.

1.9. Authority for IG Access to Records/Documents. To carry out their responsibilities, IGs,

IG staff members, and IOs must have, to the extent consistent with law and relevant policy,

expeditious and unrestricted access to and copies of all Air Force, Space Force, Air Force Reserve,

and Air National Guard records, reports, investigations, audits, reviews, documents, papers,

recommendations, or other relevant material authorized by law and policy. To the extent allowed

by law, it is Department of the Air Force policy that IGs are authorized access to all documents

and all other evidentiary materials needed to discharge their duties. For any record requiring

special handling, coordinate with a legal advisor to ensure records are properly obtained. IGs must

have the maximum access allowable under the law to all DAF documents, regardless of medium.

DAFI90-301 4 JANUARY 2024 15

1.9.1. No Air Force, Space Force, Air Force Reserve, or Air National Guard member or

employee may deny an IG, an IG staff member, or a properly appointed IO access to records,

regardless of medium, unless such release is prohibited or otherwise limited by law. (T-1) If

access is denied, the agency denying access must show specific law, policy or regulation

denying access. When denied, consult with servicing legal office to determine if IG access to

a record is permitted.

1.9.2. Appointing authorities will ensure IOs appointed to conduct investigations involving

classified material have the appropriate security clearance and access.

1.9.3. See Department of Defense Manual (DoDM) 6025.18, Implementation of the Health

Insurance Portability and Accountability Act (HIPAA) Privacy Rule in DoD Health Care

Programs, for guidance on accessing records covered by the of the Health Insurance Portability

and Accountability Act.

Section 1C—The Department of the Air Force Inspector General Complaints Resolution

Program (CRP)

1.10. Program Benefits. The Department of the Air Force IG CRP is a leadership tool that:

1.10.1. Indicates where commander involvement is needed to correct systemic, programmatic,

or procedural weaknesses and ensures resources are used effectively and efficiently.

1.10.2. Resolves issues affecting the Department of the Air Force mission promptly and

objectively.

1.10.3. Creates an atmosphere of trust in which issues can be objectively and fully resolved

without retaliation or the fear of reprisal.

1.10.4. Assists commanders in instilling confidence in Department of the Air Force leadership.

1.11. Mission Focus.

1.11.1. The primary charge of the IG in this role is to sustain a credible Department of the Air

Force IG system by ensuring a responsive CRP.

1.11.2. The IG ensures the concerns of all complainants and the best interests of the

Department of the Air Force are addressed through objective fact-finding.

1.11.3. To create an atmosphere encouraging submission of credible complaints, IGs must:

1.11.3.1. Ensure their personal behavior is above reproach.

1.11.3.2. Adhere to and advocate Department of the Air Force core values.

1.11.3.3. Enhance openness and approachability by briefing the Department of the Air

Force IG CRP at venues such as newcomers’ sessions, commander’s calls, staff meetings,

First Term Airmen Center, and other base and unit gatherings.

1.11.3.4. Educate Department of the Air Force members, commanders, and civilian

leadership regarding rights of and protection for those contacting an IG.

1.11.3.5. Avoid self-investigation and the perception of self-investigation.

1.11.3.6. Ensure IOs and IG staff members are trained to write detailed complaint analyses

and conduct thorough, unbiased investigations based on fair and objective fact-finding.

16 DAFI90-301 4 JANUARY 2024

1.11.3.7. Ensure compliance with the timeline for completing all complaint actions (i.e.,

complaint analyses, investigations, etc.), thus promoting responsiveness to all parties and

enhancing Department of the Air Force credibility.

Section 1D—Roles and Responsibilities

1.12. SAF/IG Responsibilities.

1.12.1. SAF/IG provides Department of the Air Force IG policy guidance, develops

procedures, and establishes and evaluates the Department of the Air Force Complaints

Resolution Program.

1.12.2. When necessary, TIG may direct, as the appointing authority, investigations be

conducted on any pertinent matter.

1.12.3. SAF/IG has also authorized the following individuals to be responsible for certain

types of cases:

1.12.3.1. Director, Secretary of the Air Force Inspector General, Senior Official Inquiries

Directorate (SAF/IGS) for senior official and special inquiries.

1.12.3.2. Director, Secretary of the Air Force Inspector General, Complaints Resolution

Directorate (SAF/IGQ) for colonel (or civil servant grade 15 or equivalent) and below cases

with Department of the Air Force-wide delegated appointing authority.

1.12.3.3. Commander, Department of the Air Force Inspection Agency (AFIA) for

investigations directed by SAF/IG.

1.12.3.4. Director, Secretary of the Air Force Inspector General, Special Investigations

Directorate (SAF/IGX) for complaints related to Special Access Programs.

1.12.4. SAF/IG has oversight authority over all IG investigations, to include commenting on

and overturning any subordinate IG’s findings.

1.12.5. SAF/IG must report all allegations of misconduct made against senior officials,

including a summary of the allegation(s) and date received in accordance with Table 8.2. (T-0)

1.12.6. SAF/IG is responsible for reviewing all cases involving substantiated allegations or

adverse information against all officers and for preparing draft Adverse Information

Summaries to support the SECAF’s Senior Officer Unfavorable Information File process. See

Chapters 7 and 8 for further reference.

1.12.7. SAF/IG will provide CSAF and CSO adverse information on Command Screening

Board candidates. SAF/IG is the decision authority regarding which summaries are provided

to CSAF for USAF investigations and CSO for USSF investigations.

1.12.8. SAF/IG will, as appropriate or warranted, share with the Secretary of the Air Force,

Manpower and Reserve Affairs, Force Management and Personnel information on the Air

Force Academy that suggests a systemic problem or involves a policy or procedural matter that

could affect a significant number of people.

1.12.9. Through command channels, SAF/IG may pursue removal of any Airman, Guardian

or civilian from service as an IG for violations of law, directives, instructions or ethical conduct

regulations, which represent a combination of the Department of the Air Force core values and,

DAFI90-301 4 JANUARY 2024 17

for IGs, the IG oath. Commanders may relieve military IGs for cause without SAF/IG approval

when appropriate in accordance with DAFI 90-301 but must notify SAF/IG immediately

through SAF/IGQ. Civilian IGs may lose their IG status based on misconduct verified by an

investigative action. SAF/IG will permanently suspend the individual's access to the

Automated Case Tracking System (ACTS) when appropriate.

1.13. SAF/IGQ Responsibilities.

1.13.1. Establish policies and procedures to manage and execute the Department of the Air

Force IG Complaints Resolution Program for non-senior official personnel.

1.13.2. Administer the Automated Case Tracking System and serve as the central point to

compile, process, and analyze Department of the Air Force IG complaint data.

1.13.3. Conduct investigations as directed by TIG, or as required by this instruction and, as a

designated appointing authority by SAF/IG, appoint IOs when investigations are administered

by SAF/IGQ.

1.13.4. Conduct training for newly assigned IGs and IG staff members at all levels. Provide

special training as requested by lower-level IGs.

1.13.5. Serve as the Department of the Air Force DoD Hotline Coordinator.

1.13.6. Upon organizational request or as needed, conduct staff assistance visits to answer any

questions and review MAJCOM, FLDCOM, Joint Force Headquarters (JFHQ), FOA, and

DRU files and documentation to help standardize the way Department of the Air Force IG

cases are handled.

1.13.7. Maintain adverse information concerning all officers (or civil servant grade 15).

1.13.7.1. Maintain the Department of the Air Force central repository for reports and

adverse information of any kind concerning officers (or civil servant grade 15).

1.13.7.2. Conduct files checks requested by Air Force General Officer Management Office

(AF/A1LG), Air Force Colonel Management Office (AF/A1LO), Air Force Senior

Executive Management Office (AF/A1LS) or Space Force Senior Leader Management

(SF/S1L), or TIG to identify adverse information, or allegations, which, if substantiated,

may constitute potentially adverse information about colonels by reviewing Department of

the Air Force, DoD, and other government investigative files to support the post-board US

Senate confirmation process. If adverse or potentially adverse information is identified, a

summary of the adverse or potentially adverse information will be provided to AF/A1LG.

1.13.7.3. Respond to screening requests from lower-level IGs regarding officer grade

determinations, Defense Sexual Assault Advocate Certification Program, or personnel

selected for IG positions IAW Chapter 7.

1.13.8. Examine Command Screening Board selection results for officers with adverse

information. Prepare and submit Adverse Information Summaries to TIG. TIG will determine

which summaries to provide to CSAF along with the Command Screening Board report.

1.13.9. Review all non-senior official investigations involving allegations of reprisal and/or

restriction as identified in 10 USC § 1034 and DoDD 7050.06, Military Whistleblower

Protection.

18 DAFI90-301 4 JANUARY 2024

1.13.10. Maintain a Department of the Air Force Complaint Hotline.

1.13.11. Help identify trends, indicators and warnings in a proactive nature to address

institutional or process issues affecting service members and/or missions before becoming

systemic.

1.13.12. Report all allegations, and all follow-up actions specified in paragraph 3.12.1 and

sub-paragraphs, that a service member engaged in an activity prohibited under paragraphs 8

through 10. of Enclosure 3 to Department of Defense Instruction (DoDI) 1325.06, Handling

Protest, Extremist, and Criminal Gang Activities Among Members of the Armed Forces, to the

Deputy Inspector General for Diversity and Inclusion and Extremism in the Military (DIG

(DIEM)) within 15 calendar days of initial wing, delta, or servicing IG notification. SAF/IGQ

will coordinate with the DoD IG and DIG (DIEM) to assign a unique Defense Case Activity

Tracking System, Enterprise (D-CATSe) identification codes to each allegation.

1.14. SAF/IGS Responsibilities.

1.14.1. Manage the Senior Official Complaints Program and process senior official cases IAW

Chapter 8.

1.14.2. Conduct complaint analyses and investigations on complaints involving Department

of the Air Force senior officials, including allegations of military equal opportunity violations.

Only SAF/IGS is authorized to conduct these investigations.

1.14.3. Assign IOs for senior official and special inquiries as a designated appointing authority

by SAF/IG.

1.14.4. Notify appropriate persons/offices involved with senior official complaints as set forth

in Table 8.2. (T-0)

1.14.5. Act as the Department of the Air Force repository for all substantiated allegations or

other adverse information against senior officials.

1.14.6. Respond to inquiries involving senior officials. Conduct files checks as required by

the Air Force General Officer Management office (for general officers or general officer

selects), and Senior Executive Management (for civilian senior officials only) to support pre-

and post-board actions and US Senate confirmation. SAF/IGS will review Department of the

Air Force, DoD, and other government investigative files to determine whether derogatory

information exists on specific senior officials.

1.14.7. Report all allegations, and all follow-up actions specified in paragraph 3.12.1 and

sub-paragraphs, that a service member engaged in an activity prohibited under paragraphs 8

through 10. of Enclosure 3 to Department of Defense Instruction (DoDI) 1325.06, Handling

Protest, Extremist, and Criminal Gang Activities Among Members of the Armed Forces, to the

Deputy Inspector General for Diversity and Inclusion and Extremism in the Military (DIG

(DIEM)) within 15 calendar days of initial wing, delta, or servicing IG notification. SAF/IGQ

will coordinate with the DoD IG and DIG (DIEM) to assign a unique D-CATSe identification

codes to each allegation.

1.14.8. Act as the Department of the Air Force office of primary responsibility for Senior

Officer Unfavorable Information File preparation supporting the general officer selection

process.

DAFI90-301 4 JANUARY 2024 19

1.15. SAF/IGX Responsibilities.

1.15.1. Coordinate with IGQ on any case matters or assist in coordination with HQ AFOSI as

needed if they do not receive adequate information out of the normal Inspector General

complaints process.

1.15.2. Assist IGQ as needed or requested, in clearing officer promotion lists through AFOSI

and ensure a process exists for notifying TIG when subjects of national security investigations

are up for promotion.

1.15.3. Coordinate with the Air Force Office of Special Investigations, Office of Special

Project (AFOSI/PJ) on Special Access Program (SAP) complaints which may require

investigation.

1.15.4. Conduct SAP inspections as appropriate.

1.15.5. Report all allegations, and all follow-up actions specified in paragraph 3.12.1 and

sub-paragraphs, that a service member engaged in an activity prohibited under paragraphs 8

through 10. of Enclosure 3 to Department of Defense Instruction (DoDI) 1325.06, Handling

Protest, Extremist, and Criminal Gang Activities Among Members of the Armed Forces, to the

Deputy Inspector General for Diversity and Inclusion and Extremism in the Military (DIG

(DIEM)) within 15 calendar days of initial wing, delta, or servicing IG notification. SAF/IGQ

will coordinate with the DoD IG and DIG (DIEM) to assign a unique D-CATSe identification

codes to each allegation.

1.16. MAJCOM, FLDCOM, NGB, NAF, Component, JFHQ, FOA, and DRU IG

Responsibilities.

1.16.1. Establish procedures to manage and execute the Department of the Air Force IG

Complaints Resolution Program for non-senior official personnel at MAJCOM/FLDCOM

level and below. (T-1)

1.16.2. Answer all higher-headquarters IG taskings within applicable time constraints. (T-1)

1.16.3. Refer criminal allegations to AFOSI or Security Forces, IAW AFI 71-101V1, Criminal

Investigations Program, Attachment 2. (T-1) If they decide not to investigate a criminal

matter, obtain a documented transfer back to the IG and complete the complaint analysis to

determine appropriate resolution path.

1.16.4. Follow all procedures and requirements for resolving IG complaints as outlined in this

instruction. (T-1)

1.16.5. Ensure required training for newly assigned IGs and IG staff members is

accomplished, as required by paragraph 1.44.1. (T-2)

1.16.6. Review, direct revisions, and approve or disapprove, via Department of the Air Force

Complaints Resolution Program Supplemental Guide (DAFCRPSG) Attachment 18, SAF/IGQ

Quality Review Checklist, all lower-level IG complaints analyses resulting in dismissal and

Reports of Investigations requiring SAF/IGQ review prior to forwarding. (T-1) Higher-level

IGs have oversight authority over all subordinate command IG cases. However, higher-level

IGs will not substitute their judgement for that of the lower-level IG to take action on a case

unless the higher-level IG can show a clear mistake of fact or process in the subordinate IG’s

analysis or handling. (T-1) In such cases, higher-level IGs may pull the case to their level for

20  DAFI90-301  4 JANUARY 2024 
resolution of the case, but must clarify in writing the appropriate appointing authority (e.g., 
Wing/CC or MAJCOM/IG). (T-1) 
1.16.7.  Manage, monitor, and report to SAF/IGQ on DoD Action Hotline complaints which 
IG DoD referred to the Department of the Air Force.  (T-0) 
1.16.8.  Upon  request,  conduct  staff  assistance  visits  to  answer  any  questions  and  review 
lower-level IG files and documentation to help standardize the way IG cases are addressed.  
(T-3) 
1.16.9.  Notify SAF/IGQ within 7 duty days after receiving complaints containing allegations 
of reprisal or restriction.  Follow the notification procedures in paragraphs 5.4 or 6.4 of this 
instruction, as appropriate.  (T-0) 
1.16.10.  Immediately notify SAF/IGQ after receiving complaints of misconduct by colonels, 
but not colonel selects or civil servants grade 15 (or equivalent).  Follow the procedures in 
Chapter 7. 
1.16.11.  Immediately  notify  SAF/IGS  through  SAF/IGQ,  as  appropriate,  after  receiving 
complaints of misconduct by senior officials.  Follow the procedures in Chapter 8. (T-0) 
1.16.12.  Notify  SAF/IGQ  within  7  duty  days  after  receiving  notification  of  an  open 
investigation  against  an  officer.    Follow  notification  procedures  in  Chapter  7  of  this 
instruction, as appropriate.  (T-0) 
1.16.13.  May conduct the complaint analysis for reprisal and restriction complaints at the 
MAJCOM/FLDCOM  level  when  manning  allows.    For  an  analysis  accomplished  at  the 
MAJCOM, FLDCOM, NGB, JFHQ, FOA, or DRU level where investigation is required, the 
MAJCOM, FLDCOM, NGB, Component,  JFHQ, FOA, or DRU IG  may  either retain the 
investigation at their level or transfer the complaint to the lower level IG for investigation. 
1.16.14.  May conduct investigations for reprisal or restriction at the MAJCOM, FLDCOM, 
NGB, Component, JFHQ, FOA, or DRU level using trained, experienced investigating officers 
when manning allows. 
1.16.15.  Maintain  continuous and comprehensive oversight of analyses and investigations 
dealing with reprisal or restriction, to include periodic interim quality reviews to minimize 
formal  rework,  improve  quality,  and  ensure  compliance  with  this  instruction  and  other 
governing directives.  (T-1)  Early detection and correction of deficiencies will streamline the 
formal quality review of the final product and preclude protracted rework. 
1.16.16.  Report all substantiated findings of misconduct and/or adverse information against 
officers to SAF/IGQ IAW Chapter 7.  (T-1) 
1.16.17.  Report the opening and closing of investigations on any officer. 
1.16.18.  Maintain a Complaint Hotline.  (T-3) 
1.16.19.  Document changes to case files in ACTS made using non-validation edit (NVedit) 
with a case note.  (T-1)  The case note will describe every change made to the case file using 
NVedit.  (T-1)  Attach any other relevant documentation on the “Attachments” tab in ACTS.  
Not applicable for NAF and JFHQ. 

DAFI90-301 4 JANUARY 2024 21

1.16.20. Perform continual evaluation of subordinate Complaints Resolution Programs and

augment Unit Effectiveness Inspection teams, as required, IAW DAFI 90-302, The Inspection

System of the Department of the Air Force. (T-1)

1.16.21. (MAJCOM only) Respond to Freedom of Information Act/Privacy Act requests for

IG records IAW paragraph 10.14. (T-1)

1.16.22. Respond to screening requests from lower-level IGs regarding officer grade

determinations, Defense Sexual Assault Advocate Certification Program, or personnel selected

for IG positions IAW Chapter 7. (T-1)

1.16.23. Collect CDIs in accordance with DAFMAN 1-101, Commander Directed

Investigations, and Chapter 10. Attach CDIs in ACTS following procedures in DAFCRPSG

Attachment 33.

1.16.24. For ANG, Joint Force Headquarters Inspector General (JFHQ/IG) offices process all

notifications and case movement through National Guard Bureau, Office of The Inspector

General (NGB-IG).

1.16.25. Report all allegations, and all follow-up actions specified in paragraph 3.12.1 and

sub-paragraphs, that a service member engaged in an activity prohibited under paragraphs 8

through 10. of Enclosure 3 to DoDI 1325.06, Handling Protest, Extremist, and Criminal Gang

Activities Among Members of the Armed Forces, to SAF/IGQ within seven calendar days of

initial wing, delta, or servicing IG notification. IGs will use DAFCRPSG Attachment 37 to

report required information:

1.17. Deployed Forces.

1.17.1. Component Numbered Air Force Inspector General (C-NAF/IG):

1.17.1.1. C-NAF/IG is assigned to the rear headquarters element, works directly for the

Component Numbered Air Force Commander (C-NAF/CC), and is responsible for

crafting/coordinating strategic policy affecting the complaints resolution program.

1.17.1.2. Validates and executes IG manpower requirements as functional manager.

1.17.1.3. Coordinates with combatant commander (CCDR) and their subordinate IGs.

1.17.1.4. Acts as a conduit with The Secretary of the Air Force, Legislative Liaison,

Congressional Correspondence Division (SAF/LLC) and Headquarters Air Force (HAF)

functional managers to resolve high-level inquiries.

1.17.1.5. Conducts IG investigations in the Area of Responsibility (AOR) initiated by the

C-NAF/CC.

1.17.2. Air Force Forces Inspector General (AFFOR/IG) is assigned to the forward

headquarters element, works directly for the C-NAF/CC, and is responsible for tactical

operations affecting the complaints resolution program. The AFFOR/IG will:

1.17.2.1. Oversee the liaison IG program including training and accountability.

1.17.2.2. Ensure each wing commander (or group commander when the group commander

is the highest ranking commander on the base) appoints a member to act as his/her liaison

IG during their deployment IAW paragraph 1.17.3. (T-1)

22  DAFI90-301  4 JANUARY 2024 
1.17.2.3.  Resolve complaints from IG liaisons, AFFOR staff and component IGs from 
Airmen and Guardians. 
1.17.2.4.  Advise AFFOR staff and wing leadership. 
1.17.2.5.  Travel as directed by the C-NAF commander. 
1.17.3.  Deployed Liaison IGs: 
1.17.3.1.  Are authorized in the deployed environment only. 
1.17.3.2.  Will  be  a  field  grade  officer  who  is  not  assigned  to  a  commander/vice 
commander position or a Senior Non-Commissioned Officer (NCO). 
1.17.3.3.  Should not be a command chief, first sergeant, or director of staff. 
1.17.3.4.  Brief leadership and assigned personnel on the availability of a local IG liaison 
program. 
1.17.3.5.  Advise complainants on the Department of the Air Force IG CRP and forward 
their complaints to the IG responsible for their location. 
1.17.3.6.  Be appointed in writing by wing or group commander as appropriate who will 
forward the letter to the AFFOR/IG. 
1.17.4.  Deployed Wing IG Responsibilities:  Deployed wings authorized a fully trained IG 
will operate as directed by paragraph 1.18 of this instruction. (T-1)  For functional purposes, 
the IG falls under the C-NAF/IG for ACTS management and consultation.  The wing IG 
submits  appropriate  notifications  and  complaint  analyses  through  the  C-NAF/IG  to  the 
appropriate component command IGQ office for review/approval.  (T-1) 
1.18.  Center/Host/Wing/Delta IG Responsibilities. 
1.18.1.  Manage  and  execute  the  Department  of  the  Air  Force  IG  Complaints  Resolution 
Program for non-senior official personnel at the center/host/wing/delta level.  (T-1) 
1.18.2.  Answer all higher-headquarters IG taskings within applicable time constraints.  (T-1) 
1.18.3.  Refer  criminal  allegations  to  AFOSI  or  security  forces  IAW  AFI  71-101V1, 
Attachment 2.  (T-1)  If they decide not to investigate a criminal matter, obtain a documented 
transfer back to the IG and complete the complaint analysis to determine appropriate resolution 
path.  (T-1) 
1.18.4.  Provide periodic updates as required by Chapters 3 and 4 of this instruction.  (T-3) 
1.18.5.  Manage,  monitor,  and  report  to  SAF/IGQ,  through  the  appropriate  MAJCOM, 
FLDCOM, NGB, NAF, JFHQ, FOA, or DRU IG, on DoD Action Hotline complaints which 
IG DoD referred to the Department of the Air Force.  (T-0) 
1.18.6.  Notify SAF/IGQ, through the appropriate MAJCOM, FLDCOM, NGB, NAF, JFHQ, 
FOA, or DRU IG, within seven duty days after receiving complaints containing allegations of 
reprisal or restriction.  (T-0)  Follow the notification procedures in Chapters 5 or 6 of this 
instruction, as appropriate. 
1.18.7.  Notify SAF/IGQ, through the appropriate MAJCOM, FLDCOM, NGB, NAF, JFHQ, 
FOA, or DRU IG, within seven duty days after receiving notification of an open investigation 
against an officer.  (T-0)  Follow the procedures in Chapter 7. 

DAFI90-301  4 JANUARY 2024  23 
1.18.8.  Notify SAF/IGS, through the appropriate MAJCOM, FLDCOM, NGB, NAF, JFHQ, 
FOA,  or  DRU  IG,  after  receiving  complaints against  senior  officials.    (T-0)  Follow  the 
procedures in Chapter 8. 
1.18.9.  Coordinate with Equal Opportunity (EO), JA, and supporting agencies to ensure an 
understanding  of  one  another’s  roles  in  the  CRP.    (T-3)  MAJCOMs  /FLDCOMs  are 
responsible for processing FOIA requests, see Chapter 10 for further guidance. 
1.18.10.  Department  of  Defense  Instruction  (DoDI)  6495.02,  Volume  3,  Defense  Sexual 
Assault  Prevention  and  Response:  Retaliation  Response  for  Adult  Sexual  Assault  Cases, 
requires commanders to immediately confer with servicing staff judge advocate and Service’s 
IG office upon becoming aware of an allegation of a sexual assault related retaliation to ensure 
allegations  are  referred  to  the  appropriate  office  for  evaluation.    DAFI  90-6001  requires 
commanders to establish a monthly meeting with the servicing IG requiring a briefing on new 
and ongoing complaints, concerning alleged incidents of retaliation, reprisal, ostracism or 
maltreatment allegations from  a  victim, witness, bystander, SARC, SAPR  VA  and  VVA, 
responder, or other parties to alleged reported sexual assault, to include those filed via a DD 
Form 2910-2, Retaliation Reporting Statement for Unrestricted Sexual Assault Cases.  IGs will 
not provide complainant identity, but only that the complaint relates to the complainant’s status 
as a victim, witness, bystander, SARC, SAPR VA and VVA, responder, or other party to 
alleged reported sexual assault.  (T-1)  If there are no new or ongoing complaints, the monthly 
meeting is not required. 
1.18.11.  Identify  and  ensure  investigation  of  reported  questionable  intelligence  activities 
and/or  significant/highly  sensitive  matters  as  applicable  and  immediately  notify  their 
associated intelligence oversight program managers and legal counsel (T-1) 
1.18.12.  Educate  the  base  populace  on  their  rights  and  responsibilities  in  regard  to  the 
Department  of  the  Air  Force  IG  Complaint  Resolution  Program  (commander’s  calls, 
newcomers briefings, etc.), see paragraph 1.47.  (T-2)  See DAFCRPSG Attachment 22 for 
a template for documenting training in ACTS. 
1.18.13.  In those situations where there is a host wing IG and a tenant unit (with no assigned 
IGQ) residing on the installation, the host wing IG will: 
1.18.13.1.  Intake complaints from all sources.  (T-2) 
1.18.13.2.  Coordinate  with  all  tenant  units  under  host-tenant  agreement  and  conduct 
training for all personnel.  (T-2) 
1.18.13.3.  Coordinate with the appropriate MAJCOM, FLDCOM, NGB, NAF, JFHQ, 
FOA, or DRU with responsibility for the tenant unit as to how to proceed.  (T-2)  Transfer 
complaints when initial complaint analysis indicates that the issues are best resolved by a 
different  organization/owning  MAJCOM/FLDCOM  with  responsibility  for  the 
complainant and/or subject (refer to Table 3.7 and Table 3.8.).  The owning MAJCOM, 
FLDCOM, NAF, JFHQ, FOA, or DRU will have final determination concerning resolution 
by the host wing IG for the local unit. 
1.18.13.4.  For open investigations against officers assigned to the tenant unit, notify the 
owning MAJCOM/FLDCOM of the investigation so the owning MAJCOM/FLDCOM can 
accomplish adverse information reporting IAW Chapter 7.  (T-2) 

24  DAFI90-301  4 JANUARY 2024 
1.18.13.5.  Assist the appointing authority as requested.  appointing authority will remain 
with commanders designated in paragraph 1.6.  A tenant unit commander (if authorized 
in paragraph 1.6) is authorized to delegate their appointing authority to the host wing IG.  
(T-2) 
1.18.13.6.  Work  with  tenant  units  to  develop  memorandums  of  agreement  (support 
agreements) to define and delineate IG roles and responsibilities, as required.  (T-2)  See 
AFI  25-201,  Intra-Service,  Intra-Agency,  and  Inter-Agency  Support  Agreements 
Procedures for more information. 
1.18.14.  Maintain continuous and comprehensive oversight of investigations conducted at the 
center/host/wing/delta level, to include periodic interim quality reviews to minimize formal 
rework, improve quality, and ensure compliance with this instruction and other governing 
directives.  (T-1)  Ensure coordination of draft documents and reports of investigation with 
HHQ  occurs  as  soon  as  possible  as  early  detection  and  correction  of  deficiencies  will 
streamline the formal quality review of the final product and preclude protracted rework. 
1.18.15.  Immediately  notify  SAF/IGQ  through  their  MAJCOM,  FLDCOM,  NGB,  NAF, 
JFHQ, FOA, or DRU IG after receiving complaints of misconduct by colonels, but not colonel 
selects or civil servants grade 15 (or equivalent).  Follow the procedures in Chapter 7. 
1.18.16.  Report all substantiated findings of misconduct and/or adverse information against 
officers  through  their  MAJCOM,  FLDCOM,  NGB,  NAF,  JFHQ,  FOA,  or  DRU  IG  to 
SAF/IGQ using the "Notify" function in ACTS IAW Chapter 7.  (T-1) 
1.18.17.  Maintain a complaint hotline.  (T-3)  Having voicemail on the main IG phone number 
meets this requirement. 
1.18.18.  Conduct regular unit visits to assess the economy, efficiency and discipline of the 
installation’s  organizations.  (T-3) Each  visit  should  involve informal interaction with  unit 
personnel in their working environment. Provide feedback to the appropriate leadership. 
1.18.19.  Respond  to  screening  requests  regarding  officer  grade  determinations,  Defense 
Sexual Assault Advocate Certification Program, or personnel selected for IG positions IAW 
Chapter 7. (T-0) 
1.18.20.  Collect  CDIs  in  accordance  with  DAFMAN  1-101,  Commander  Directed 
Investigations,  and  Chapter  10.    (T-1)  Attach  CDIs  in  ACTS  following  procedures  in 
DAFCRPSG Attachment 33. 
1.18.21.  For  ANG  Wing/IG  offices  process  all  notifications  and  case  movement  through 
JFHQ. 
1.18.22.  Report all allegations, and all follow-up actions specified in paragraph 3.12.1 and 
sub-paragraphs, that a service member engaged in an activity prohibited under paragraphs 8 
through 10. of Enclosure 3 to DoDI 1325.06, Handling Protest, Extremist, and Criminal Gang 
Activities Among Members of the Armed Forces, through their MAJCOM, FLDCOM, NGB, 
NAF, JFHQ, FOA, or DRU IG to SAF/IGQ within seven calendar days of initial wing, delta, 
or servicing IG notification. 
1.18.22.1.  Upon  receipt  of  prohibited  activity  allegations,  IGs  will  use  DAFCRPSG 
Attachment 37 to report required information.  IGs may provide Attachment 37 to reporting 
agencies for the agency to fill out the necessary information. 

DAFI90-301  4 JANUARY 2024  25 
1.18.22.2.  IGs will create ACTS case files for all reported prohibited activity allegations 
using DAFCRPSG Attachment 38 as a guide.  IGs will update the case file with follow on 
actions as required by paragraph 3.12.1 and sub-paragraphs. 
1.19.  Judge Advocates (JA) at every level assist IGs by: 
1.19.1.  Analyzing complaints to identify allegations of misconduct at the IG’s request. 
1.19.2.  Providing advice on framing or re-framing allegations prior to investigation. 
1.19.3.  Providing  advice,  pertinent  comments  or  recommendations,  and  assistance  to  IOs 
during the course of investigations and regarding draft Reports of Investigation. 
1.19.4.  Providing legal reviews of IG Reports of Investigation. 
1.19.4.1.  The servicing Staff Judge Advocate or his/her designee will review the Report 
of Investigation for legal sufficiency (see definition in Attachment 1) and provide written 
legal reviews prior to appointing authority review.  See Chapter 4. 
1.19.4.2.  A different JA should perform the legal review other than the individual assigned 
to advise the IO as legal advisor. 
1.19.5.  Reminding commanders, and civilians leading an organization designated as a unit 
IAW AFI 38-101, Manpower and Organization, of their responsibility to immediately notify 
SAF/IGS or SAF/IGQ through their MAJCOM, FLDCOM, NGB, NAF, JFHQ, FOA, DRU 
IG, wing, or delta, and their higher-level commanders when: 
1.19.5.1.  They receive complaints/allegations against a colonel or senior officials IAW 
Chapter 7 and/or 8.  (T-0) 
1.19.5.2.  There is an open investigation with any officer as a subject/suspect.  (T-0) 
1.19.5.3.  Article 15s are served on any officer.  Copies of the final actions and any appeal 
documents must be provided upon completion of the action. (T-0) 
1.19.5.4.  Court-martial charges are preferred against any officer.  Follow-on notification 
must also be accomplished when a decision is made to refer the charges to trial and again 
at the conclusion of the trial. (T-0) 
1.19.5.5.  There is a substantiated finding of misconduct resulting from an investigation or 
inquiry and/or adverse information IAW Table 7.1 against any officer. (T-0) 
1.19.6.  Advising IGs on the disposition of materials gathered during investigations, such as 
recording tapes, discs, memos, etc. (T-1) 
1.20.  The Judge Advocate General (AF/JA) assists SAF/IG by: 
1.20.1.  Providing legal support to SAF/IGS and SAF/IGQ as needed and advising SAF/IGS 
and SAF/IGQ on the disposition of materials gathered during investigations, such as recording 
tapes, discs, memos, etc. 
1.20.2.  Reviewing  all  senior official investigations  and  reviewing  all  adverse information 
summaries proposed by SAF/IG. 
1.20.3.  Ensuring subordinate JAs are aware of their responsibility to remind commanders and 
civilians leading an organization designated as a unit IAW AFI 38-101, to: 

26 DAFI90-301 4 JANUARY 2024

1.20.3.1. Notify SAF/IGS immediately through their MAJCOM, FLDCOM, NGB, NAF,

JFHQ, FOA, DRU, wing, or delta IG when notified of allegations or adverse information

of any kind against senior officials. (T-0)

1.20.3.2. Notify SAF/IGQ within seven duty days through their MAJCOM, FLDCOM,

NGB, NAF, JFHQ, FOA, DRU, wing, or delta IG when notified of an investigation against

any officer below the grade of brigadier general. (T-0)

1.20.4. Ensuring commanders notify SAF/IGS and SAF/IGQ whenever Article 15 action is

taken (upon completion of the action and appeal, if any) or when charges are preferred against

a senior official or officer. (T-0)

1.20.5. Reporting to SAF/IGQ all substantiated findings of misconduct and/or adverse

information against any officer. (T-0)

1.21. The General Counsel of the Department of the Air Force (SAF/GC) assists SAF/IG by:

1.21.1. Providing legal advice and support in administering the Department of the Air Force

IG Complaints Resolution Program when requested by SAF/IG.

1.21.2. Providing legal support in initiating, conducting, and finalizing cases on senior civilian

officials, when requested.

1.21.3. Reviewing (when requested) any report submitted by or to SAF/IG.

1.21.4. Acting for the SECAF in determining the content of a Senior Officer Unfavorable

Information File and whether a Senior Officer Unfavorable Information File will be provided

to a selection board.

1.21.5. Providing training and expertise to SAF/IGQ when SAF/IGQ conducts investigations

into alleged acts of reprisal under 5 USC § 2302(b) against Department of the Air Force civilian

employees at the direction the Secretary of the Air Force.

1.21.6. Acting on behalf of the SECAF by requesting investigation into allegations referred to

the Department of the Air Force by the Office of Special Counsel (OSC) and routing results of

OSC disclosure investigations by AF IGs through SAF/IGQ to the Secretary of the Air Force,

Office of the General Counsel, Office of the Deputy General Counsel for Fiscal, Ethics and

Administrative Law (SAF/GCA).

1.22. The Deputy Chief of Staff, Manpower, Personnel and Services (AF/A1) assists SAF/IG

by:

1.22.1. Maintaining close liaison with SAF/IG on policies governed by this instruction.

1.22.2. Ensuring IG access to personnel records and information.

1.22.3. Notifying SAF/IGQ when formal allegations of violations of EO policies are made

against officers (or civil servant grade 15 or equivalent) and providing SAF/IGQ status reports

of all EO or other grievance cases involving allegations against officers (or civil servant grade

15 or equivalent) as required by paragraph 7.4 and Table 7.1, as appropriate.

1.22.4. Ensuring EO personnel do not conduct complaint clarification reviews of MEO

allegations against senior officials. These complaints must be forwarded to SAF/IGS.

DAFI90-301 4 JANUARY 2024 27

1.22.5. Acting as technical advisors, when requested, for IG investigations involving

personnel policy and/or procedures.

1.22.6. Providing SAF/IGS the same information provided to SAF/IGQ in paragraph 1.23.3

when complaints of violations of EEO policies against senior officials are made.

1.22.7. Notifying SAF/IGQ prior to assigning an enlisted or officer to any non-Department of

the Air Force Inspector General position (DoD/Joint) in order to comply with pre-screening

requirements IAW DoD policy.

1.23. Equal Opportunity (EO) Office personnel at every level assist IGs by:

1.23.1. Acting as technical advisors on MEO complaints when unlawful discrimination or

sexual harassment allegations cannot be separated from other matters under IG investigation.

1.23.2. Conducting a clarification on allegations of unlawful discrimination or sexual

harassment that can be separated from other matters under IG investigation. EO professionals

must contact potential complainants and advise them of their rights and options under the

formal EO process and follow all procedures for addressing and resolving EO complaints as

outlined in DAFI 36-2710, Equal Opportunity Program.

1.23.3. Referring any military member who claims to have been subjected to reprisal or

restriction to the wing or delta IG.

1.23.4. Referring any MEO allegations against senior officials to their servicing IG or

SAF/IGS. Refer to Chapter 8.

1.23.5. Reporting to their servicing IG or SAF/IGQ all open investigations against any officer

(or civil servant grade 15 or equivalent). Refer to Chapter 7.

1.23.6. Providing the results of EO investigations or complaint analyses conducted as a result

of allegations against all officers (or civil servants grade 15 or equivalent) to SAF/IGQ.

1.23.7. Ensure procedures are in place so that EO offices report all allegations, and all follow-

up actions specified in paragraph 3.12.1 and sub-paragraphs, that a service member engaged

in an activity prohibited under paragraphs 8 through 10. of Enclosure 3 to DoDI 1325.06,

Handling Protest, Extremist, and Criminal Gang Activities Among Members of the Armed

Forces, to wing, delta, or servicing IG office no later than 30 calendar days after receiving an

allegation. For Air Reserve Component (ARC) officials, transmission is required not later than

60 calendar days.

1.24. The Secretary of the Air Force, Legislative Liaison, Congressional Correspondence

Division (SAF/LLC) assists SAF/IG by:

1.24.1. Referring congressional complaints involving IG matters not pertaining to senior

officials to SAF/IGQ for complaint analysis and determination of appropriate IG action.

1.24.2. Referring congressional complaints involving senior officials to SAF/IGS for

complaint analysis and determination of appropriate IG action.

1.24.3. Notifying congressional staff members of complaints accepted by SAF/IG for action

and direct response to the complainant.

1.24.4. Referring complaints not accepted by SAF/IG for action to the appropriate agency for

action and response.

28 DAFI90-301 4 JANUARY 2024

1.24.5. Acting as office of primary responsibility for communications with congressional

staffers. This responsibility will not hinder SAF/IG’s direct communications with members of

Congress or their staff on matters of congressional interest.

1.24.6. Forwarding courtesy copies of IG investigative responses and findings to

congressional staffers, when directed by SAF/IG.

1.25. The Department of the Air Force Inspection Agency (DAFIA) supports SAF/IG

by: Reviewing FOA and DRU complaints resolution programs, detecting fraud, waste and abuse,

and identifying indicators of possible fraud, waste and abuse during all inspection activities.

1.25.1. Help identify trends, indicators and warnings in a proactive nature to address

institutional or process issues affecting service members and/or missions before becoming

systemic.

1.26. The Air Force Office of Special Investigations (AFOSI) supports SAF/IG by:

1.26.1. Detecting fraud during investigative activities and process disclosures referred to

AFOSI.

1.26.2. Conducting appropriate investigations into allegations of fraud referred by the DoD

Hotline.

1.26.2.1. Provide SAF/IGQ interim reports on investigations into allegations of fraud

made through the DoD Hotline as prescribed in Chapter 3.

1.26.2.2. Report findings to SAF/IGQ by forwarding a copy of the findings, using Hotline

Completion Report format, and corrective actions taken upon completion of the

investigation.

1.26.3. Providing periodic updates to SAF/IGQ for investigations assigned by SAF/IG.

1.26.4. Assisting commanders, and civilians leading an organization designated as a unit IAW

AFI 38-101, by providing briefings and other material related to fraud, waste and abuse, and

providing investigative assistance to inspectors and auditors examining suspected fraud.

1.26.5. Conducting internal reviews (using the Air Force Office of Special Investigations,

Inspector General (AFOSI/IG)) for IG complaints involving allegations against AFOSI

personnel or programs.

1.26.6. Providing SAF/IGS (through SAF/IGX) a copy of any AFOSI report involving a senior

official.

1.26.7. Providing SAF/IGQ a copy of any AFOSI report involving an officer. Additionally,

upon SAF/IGQ request, provide SAF/IGQ a copy of any completed AFOSI report against any

officer which SAF/IGQ does not already possess.

1.26.8. Conducting files checks as requested by SAF/IGS and SAF/IGQ.

1.26.9. Manage the IG responsibilities for reporting intelligence oversight complaints under

the authority of DoDD 5240.01, DoD Intelligence Activities; DoD 5240.1-R, Procedures

Governing the Activities of DoD Intelligence Components that Affect United States Persons;

and AFI 14-404, Intelligence Oversight.

DAFI90-301 4 JANUARY 2024 29

1.26.10. Ensure procedures are in place so that AFOSI units report all allegations, and all

follow-up actions specified in paragraph 3.12.1 and sub-paragraphs, that a service member

engaged in an activity prohibited under paragraphs 8 through 10. of Enclosure 3 to DoDI

1325.06, Handling Protest, Extremist, and Criminal Gang Activities Among Members of the

Armed Forces, to wing, delta, or servicing IG office no later than 30 calendar days after

receiving an allegation. For Air Reserve Component (ARC) officials, transmission is required

not later than 60 calendar days.

1.27. The Air Force Audit Agency (AFAA) assists SAF/IG by:

1.27.1. Identifying policies and procedures discovered in the course of an audit, which may

contribute to fraud, waste or abuse.

1.27.2. Performing audits when conditions or situations indicate fraud, waste or abuse,

determining the effects on operations and programs, and recommending corrective action.

1.27.3. Reporting to leadership apparent fraud, waste or abuse disclosed by an audit; referring

the matter to the appropriate commander, or civilian leading an organization designated as a

unit IAW AFI 38-101, and AFOSI detachment for investigation when fraud is suspected; and

delaying the publication of audit results relating to apparent fraud, if requested by AFOSI,

when publication could interfere with ongoing investigations.

1.27.4. Reporting any fraud, waste or abuse allegation or adverse information against senior

officials to SAF/IGS or against any officer to SAF/IGQ. Additionally, report any substantiated

findings against any officer to SAF/IGQ.

1.27.5. Providing audit assistance when asked by inspectors and investigators looking at

allegations of fraud, waste or abuse and providing periodic updates to the tasking activity when

audits involve IG tasking, to allow preparation of progress and completion reports.

1.28. The Secretary of the Air Force, Office of Public Affairs (SAF/PA). SAF/PA facilitates

the appropriate release of information regarding IG cases to news media representatives. News

media requests for IG records will be processed in accordance with the Freedom of Information

Act. SAF/PA is responsible for informing media officials of the proper procedures for obtaining

IG records through the Freedom of Information Act.

1.29. The Headquarters Air Force Directorate of Security Forces (AF/A4S) assists SAF/IG

by:

1.29.1. Ensuring incidents of fraud, waste or abuse reported to Security Forces are referred to

the proper agencies for information or action, assisting Loss Prevention Working Groups with

identifying waste, and staffing corrective actions.

1.29.2. Ensuring resource protection technical consultants are trained to recognize fraud,

waste and abuse when performing surveys.

1.29.3. Notifying SAF/IGS when an allegation or adverse information is received regarding

senior officials.

1.29.4. Reporting to SAF/IGQ all open investigations against any officer.

1.29.5. Reporting to SAF/IGQ all substantiated findings of misconduct and/or adverse

information against any officer.

30 DAFI90-301 4 JANUARY 2024

1.29.6. Ensure procedures are in place so that Security Forces units report all allegations, and

all follow-up actions specified in paragraph 3.12.1 and sub-paragraphs, that a service member

engaged in an activity prohibited under paragraphs 8 through 10. of Enclosure 3 to DoDI

1325.06, Handling Protest, Extremist, and Criminal Gang Activities Among Members of the

Armed Forces, to wing, delta, or servicing IG office no later than 30 calendar days after

receiving an allegation. For Air Reserve Component (ARC) officials, transmission is required

not later than 60 calendar days.

1.30. The Surgeon General of the Air Force (AF/SG) assists SAF/IG by:

1.30.1. Notifying SAF/IGS (for senior officials) or SAF/IGQ (for all officers or civil servants

grade 15 or equivalent) when completing actions to suspend, limit, or revoke clinical privileges

as governed by AFI 44-119, Medical Quality Operations, and Defense Health Agency-

Procedures Manual (DHA-PM) 6025.13, Volume 3, Clinical Quality Management in the

Military Health System; Healthcare Risk Management, and forwarding a copy of the final

report to the appropriate SAF/IG directorate. This process and subsequent documentation is

protected pursuant to Title 10 United States Code, Section 1102; further release of the

documents is not authorized unless specifically provided for by the exemptions within the

statute.

1.30.2. Conducting Medical Incident Investigations, or reviewing and commenting on

complaints referred by IGs regarding medical treatment. Provide the IG who referred the

complaint with a copy of final response to complainant (if applicable). Medical Incident

Investigations or other quality of care reviews are protected pursuant to Title 10 USC § 1102.

Release of these medical quality assurance documents to complainants is prohibited, and

further release by the IG is prohibited unless specifically provided for by the exemptions within

the statute.

1.31. The Office of the Assistant Secretary of the Air Force (Financial Management and

Comptroller) (SAF/FM): assists SAF/IG when a senior official or officer is accused of violating

the Anti-Deficiency Act, Title 31 United States Code Section 1341, by notifying SAF/IGS or

SAF/IGQ, respectively, and by providing a copy of the completed reports of investigation to

SAF/IG. Additionally, provide a copy of the completed report of investigation for substantiated

findings of misconduct against any officer to SAF/IGQ.

1.32. The Assistant Secretary of the Air Force-Manpower and Reserve Affairs, Air Force

Civilian Appellate Review Office (SAF/MRBA) (also referred to as AFCARO) assists

SAF/IG by:

1.32.1. Providing case information and status to SAF/IGQ or SAF/GC upon request.

1.32.2. Ensuring the Civilian Senior Executive Management Office (SAF/MRL) provides

SAF/IGS copies of any adverse information on SESs; and, provides SAF/IGQ copies of any

adverse information received on GS-15s (or equivalent).

1.33. The Vice Chief of Staff, Executive Talent Management (AF/A1L) assists SAF/IG by:

1.33.1. Ensuring the General Officer Management Office (AF/A1LG) provides SAF/IGS

copies of any adverse information received on general officers or brigadier general selects.

1.33.2. Ensuring the Colonels Group (AF/A1LO) provides SAF/IGQ copies of any adverse

information received on colonels or colonel selects.

DAFI90-301 4 JANUARY 2024 31

Section 1E—The Wing IG Program

1.34. Wing/Delta IG Program Background.

1.34.1. The concept of appointing a separate, full-time wing IG was implemented to remove

any perceived conflict of interest, lack of independence, or apprehension by Department of the

Air Force personnel as a result of the previous practice of assigning vice commanders IG

duties.

1.34.2. To sustain a trustworthy relationship with Department of the Air Force personnel, the

wing IG must be independent (see paragraphs 1.2.3 and 1.39.3.). Department of the Air Force

personnel must be free from any form of retribution, retaliation, or reprisal for communicating

with the wing IG.

1.35. Establishment of the Wing/Delta IG Program.

1.35.1. Independent IGs will be established at all active component, Air Force Reserve, and

Air National Guard wings. (T-1)

1.35.1.1. Wing/Delta IG (87GX). Will be a Lieutenant Colonel or higher or Department

of the Air Force civilian with a substantial breadth of experience, exceptional maturity, and

demonstrated sound judgment. (T-2) Appointing authorities are discouraged from

selecting IGs lower than the rank of Lieutenant Colonel or civilian equivalent.

1.35.1.2. Wing/Delta Director of Complaints Resolution (87QX) will be a Major or higher

or Department of the Air Force civilian with a substantial breadth of experience,

exceptional maturity, and demonstrated sound judgment. (T-3)

1.35.1.3. Wing/Delta IG Superintendent (8I000). Will be a Master Sergeant qualified in

accordance with the Air Force Enlisted Classification Directory. (T-2)

1.35.1.4. Wing/Delta IG Complaints Resolution Coordinator (8I200). Will be a Master

Sergeant or Senior Master Sergeant qualified in accordance with the Air Force Enlisted

Classification Directory, or civilian equivalent. (T-3) If this requirement is waived, select

personnel no lower than the grade of E-7. (T-3)

1.35.2. At bases where there is a host/tenant relationship, associate unit personnel and tenant

wings may use the host wing IG for complaint analysis and assistance. Host wing IG support

to associate and tenant units will be defined and documented in memorandums of agreement

(support agreements). (T-2)

1.36. Wing/Delta IG Organization.

1.36.1. The wing IG is organized as a staff function and will report directly to the wing

commander. (T-1)

1.36.2. The two-letter functional address code for the Office of the Inspector General at all

levels will be ”IG“ and the office symbol shall be ”unit designation/IG“ (e.g., 51 FW/IG) .

(T-1)

32 DAFI90-301 4 JANUARY 2024

1.37. Assigning Additional Duties to IGs.

1.37.1. The focus of wing IGs must be the Department of the Air Force Complaints Resolution

and Inspection Programs. (T-1) Any activities that may diminish the effectiveness of IGs in

the performance of their complaints resolution responsibilities are not acceptable.

1.37.2. The IG position will not be combined with another position in the organization. (T-1)

Operational duties required to maintain qualification/currency, as well as inspection related

responsibilities and duties defined in DAFI 90-302, are not considered additional duties for the

IG and staff.

1.37.3. IGs must not be constrained by additional duties that detract from their primary

responsibilities. (T-1) Therefore, IGs and IG staff members, to include IGI, must not be:

1.37.3.1. Assigned any duties (such as Director of Staff) that subsequently disqualify them

from conducting an unbiased analysis of complaints against functions or activities of the

wing or installation to which they are assigned or organizations for which they have IG

functional responsibility. (T-1) IGs will not serve as mediators or neutrals in support of

equal opportunity or alternate dispute resolution actions. (T-1) These activities require

the IG to make assessments and recommendations that could later be called into question

should the interested parties decide to file an IG complaint regarding those proceedings.

1.37.3.2. Given responsibility for the wing commander’s “action line.” (T-2)

1.37.3.3. Assigned duties as the congressional inquiry manager or point of contact for

SAF/LLC. (T-2) This does not preclude the IG from answering IG related congressional

inquiries as directed by the wing commander.

1.37.4. IGs can be appointed to conduct investigations by appropriate appointing authorities,

however those investigations will be IG investigations conducted IAW Chapter 4. (T-1)

Section 1F—Commanders and the Inspector General Program

1.38. How the IG System Helps the Commander.

1.38.1. Complaints help commanders discover and correct problems affecting the productivity

and morale of assigned personnel. Resolving the underlying cause of a complaint may prevent

more severe symptoms or costly consequences, such as reduced performance, accidents, poor

quality work, poor morale, or loss of resources.

1.38.2. Even though allegations may not be substantiated, the evidence or investigation

findings may reveal systemic, morale, or other problems impeding efficiency and mission

effectiveness.

1.39. Roles of the IG in Relation to the Commander.

1.39.1. The roles of the IG are to:

1.39.1.1. Be the “eyes and ears” of the commander; be alert for and inform the commander

of matters indicative of systemic, morale, or other problems impeding efficiency and

mission effectiveness. (T-1)

1.39.1.2. Keep the commander informed of potential areas of concern as reflected by

trends based on analysis of complaint data. (T-1)

DAFI90-301 4 JANUARY 2024 33

1.39.1.3. Function as the ombudsman, fact-finder, and honest broker in the resolution of

complaints.

1.39.1.4. Educate and train commanders and members of the base populace on their rights

and responsibilities in regard to the Department of the Air Force IG system. (T-1) See

paragraph 1.47.2.4 for more requirements for educating commanders.

1.39.1.5. Assist commanders in preventing, detecting, and correcting fraud, waste, abuse,

and gross mismanagement through an effective complaints resolution process.

1.39.2. To fulfill these roles, the IG must be an integral member of the commander’s staff and

have unimpeded access to the commander. (T-1) Commanders must ensure their IG’s

authority, duties, and responsibilities are clearly delineated. (T-1)

1.39.3. The independence of the IG must be firmly established and supported to overcome any

perceived lack of autonomy that would discourage potential complainants and preclude

disclosures of misconduct from being brought to the attention of the IG. IG offices should be

located in areas that foster open and unfettered access to everyone and which are not in

proximity to the commander's office. (T-1) Active Duty JFHQ IGs will have unfettered access

to The NGB Inspector General when circumstances arise within a state involving complaints

from Airmen against the command chain within the state.

1.40. Commander Support of the IG System. To support the IG system, commanders will

ensure their IGs have the resources necessary to intake, process, maintain, and protect material

associated with the CRP. To support the IG system, commanders will:

1.40.1. Ensure the IG office is manned, equipped, and trained. (T-1)

1.40.2. Ensure the IG and subordinate commanders follow the requirements of this instruction.

(T-1)

1.40.3. Educate Department of the Air Force members about the rights and responsibilities of

all personnel regarding the IG system at commander’s calls, staff meetings, and other

gatherings. (T-1)

1.40.4. Ensure other staff agencies provide support when required. (T-3)

1.40.5. Designate personnel to serve as IOs to conduct investigations when required. (T-3)

1.40.6. Ensure IG offices have adequate office space to conduct private interviews and provide

workspace for temporarily assigned IOs. (T-3)

1.40.7. Report all allegations, and all follow-up actions specified in paragraph 3.12.1 and

sub-paragraphs, that a service member engaged in an activity prohibited under paragraphs 8

through 10. of Enclosure 3 to DoDI 1325.06, Handling Protest, Extremist, and Criminal Gang

Activities Among Members of the Armed Forces, to Wing, Delta, or servicing IG office no later

than 30 calendar days after receiving an allegation. For Air Reserve Component (ARC)

officials, transmission is required not later than 60 calendar days.

1.40.8. Ensure any uniformed Airmen or Guardians notified of the initiation of an IG

investigation and who may be at risk to danger to themselves or others are assisted IAW DAFI

90-5001, Integrated Resilience. (T-1)

34 DAFI90-301 4 JANUARY 2024

1.41. Commander Directed Investigations (CDIs).

1.41.1. All commanders possess inherent authority to investigate matters or incidents under

their jurisdiction unless preempted by a higher authority. DAFMAN 1-101, Commander

Directed Investigations, provides instructions on conducting CDIs.

1.41.1.1. IG investigation Appointing Authorities can determine whether it is more

appropriate to direct an IG Investigation or refer the issue to command to consider a CDI.

1.41.1.2. The primary purpose of a CDI is to gather, analyze, and record relevant

information about matters of primary interest to command authorities. CDIs remain an

official record for the command and appointing authority.

1.41.1.3. IG investigations will be conducted in accordance with this instruction and, when

conducted, will be an official IG matter of record.

1.41.2. Commanders should refer to DAFMAN 1-101 for instructions on conducting CDI.

1.41.3. Commanders will not:

1.41.3.1. Cite this instruction as authority to conduct CDIs. (T-1)

1.41.3.2. Investigate allegations of reprisal or restriction. (T-0) Commanders will refer

such allegations to the IG for resolution.

1.41.3.3. Appoint IGs or IG staff members as inquiry or investigation officers for CDIs.

(T-1) (Note: Air Force Reserve and Air National Guard IGs may be appointed to conduct

CDIs at installations other than their own.)

1.41.3.4. Conduct any investigations into allegations against senior officials (see Chapter

8). (T-1)

1.41.3.5. Conduct any investigations into allegations of IG misconduct, i.e., violations of

DAFI 90-301 as opposed to professional conduct.

1.41.4. Commanders are the authority responsible for making release determinations for CDI

reports. Refer to DAFMAN 1-101 for specifics. The commander must ensure all information

subject to the Privacy Act and references to third-party information are protected. (T-1)

1.41.5. Commanders will report the opening and closings of all CDIs when an officer (or civil

servant grade 15 or equivalent) is named as a subject IAW paragraph 7.4 (T-0)

1.41.6. Commanders will provide IGs all CDI Reports of Investigation (ROIs), regardless of

the subject grade, IAW DAFMAN 1-101, Chapter 7. (T-1)

1.41.7. Ensure any uniformed Airmen or Guardians notified of the initiation of an CDI

investigation and who may be at risk to danger to themselves or others are assisted IAW DAFI

90-5001, Integrated Resilience. (T-1) (T-1)

Section 1G—Administering the IG Complaints Resolution Program

1.42. Administrative Procedure. IGs at every level are responsible for establishing and

directing the Department of the Air Force IG Complaints Resolution Program IAW this

instruction. (T-1) All IGs will:

DAFI90-301 4 JANUARY 2024 35

1.42.1. Develop and implement procedures for administering the IG Complaints Resolution

Program. (T-1)

1.42.2. Establish procedures for interaction with higher headquarters IGs, other military

service IGs, other statutory IGs, and other agencies regarding IG matters. (T-1)

1.42.3. Document correction of substantiated wrongs and their underlying causes. Identify

systemic problems and provide the commander, or a civilian leading an organization

designated as a unit IAW AFI 38-101, with recommendations for corrective action (if

requested). (T-3)

1.42.4. Conduct and analyze trend assessments and submit reports when required. (T-3)

1.42.5. Control access to information obtained under this instruction to protect against

unauthorized disclosure. (T-1)

1.43. Data Management.

1.43.1. ACTS is the official AF system of record for the Inspector General Complaints

Resolution Program. All IG contacts, actions (transfer, assists, referrals, dismissals, and

investigations), and IG DoD Hotline complaints must be recorded in ACTS. The ACTS User’s

Manual is available on the ACTS home page (https://acts.hq.af.mil).

1.43.1.1. ACTS is the Department of the Air Force IG tool used to capture all IG

investigative and administrative activity Department of the Air Force-wide, except for

SAF/IGS. ACTS is the repository for all non-IG actions tracked by the Department of the

Air Force IG system, such as adverse information reporting for officers and CDIs.

1.43.1.2. ACTS enables IGs at every level to accurately analyze complaint trends and

findings in order to advise commanders, and civilians leading an organization designated

as a unit IAW AFI 38-101, on appropriate action to take in response to these trends.

1.43.1.3. Use the ACTS “attachments” tab to attach all relevant case documents. (T-1)

Ensure documents are properly marked IAW paragraph 10.3 prior to attaching records in

ACTS. (T-1) As ACTS is the System of Record for storing IG records, IAW Air Force

Instruction 33-322, Records Management and Information Governance Program, IGs will

only upload official records (e.g., for AA approved documents, the signed document not

draft versions, etc.) to the system. (T-1) Convert all documents (e.g., Word documents,

Excel spreadsheets, Outlook emails, etc.) to Portable Document Format (PDF) for ACTS

upload. (T-1) IG offices will not maintain paper or electronic records created IAW

paragraph 1.43.1.4 once a case is closed. (T-1)

1.43.1.4. IGs at all levels will maintain electronic case working files separate from ACTS

at all times until a case is closed to be prepared should the ACTS database become

unavailable. (T-1) In the event of a loss of access to the ACTS database, IGs at all levels

will continue to intake and process complaints and document case actions in their own

system until ACTS is restored. (T-1) Once ACTS is restored IGs will have to upload all

case related documents/information in ACTS. (T-1)

1.43.1.5. Access to ACTS will not be granted until IGs have attended ACTS training at

the IG Training Course-Complaints Resolution (IGTC-Q). (T-1) MAJCOM, FLDCOM

or NGB will create new ACTS accounts. (T-1) MAJCOM/IGQ, FLDCOM/IGQ or NGB

is the waiver authority for the IGTC-Q attendance requirement.

36 DAFI90-301 4 JANUARY 2024

1.43.1.6. When IGs are reassigned outside of the IG, the IG being reassigned will notify

their MAJCOM/FLDCOM/NGB IG to delete their account. (T-1)

1.43.1.7. IGs will document IG-conducted training in ACTS (see DAFCRPSG

Attachment 22 for a template). (T-3)

1.43.2. ACTS administrators at all levels will review ACTS accounts at all levels within the

organization once a month and delete any user accounts no longer authorized. (T-1)

1.43.3. The ACTS Subjects and Allegations Tab will be completed for reprisal and restriction

cases, CDIs, adverse information reports, officer under investigation cases, DoD Hotline

ACTION referrals, and any referral resulting in a substantiated finding. (T-1)

Section 1H—Training Requirements

1.44. IG Training Requirements.

1.44.1. Newly assigned IGs and IGQ staff members should attend the IG Training Course-

Complaints Resolution (IGTC-Q) prior to assignment, but must attend no later than 90 days

after assignment. (T-2) Air Reserve Component (ARC) members must attend no later than

180 days after assignment. (T-1) Training will be coordinated through the or

MAJCOM/FLDCOM/NGB or equivalent command IG.

1.44.1.1. Under no circumstances will an untrained IG or IG staff member conduct

complaint analysis beyond assistance (i.e., no evidence or assertion of misconduct) and/or

investigate allegations of misconduct brought forward by a complainant until completing

IGTC-Q. (T-3)

1.44.1.2. Army and National Guard personnel assigned to NGB/JFHQ IG offices with

assigned responsibilities for ANG complaints resolution matters will attend the IGTC-Q as

soon as practicable after assignment.

1.44.1.3. Department of the Air Force and Air National Guard personnel assigned to

NGB/JFHQ IG offices with assigned responsibilities for ANG complaints resolution

matters will attend the IGTC-Q as soon as practical after assignment. (T-2)

1.44.1.4. Other DoD or US Government agencies who desire to send IG personnel to AF

IG training will nominate their IG personnel directly to SAF/IGQ.

1.44.1.5. Course dates and locations may be found on the SAF/IGQ portal website.

1.44.1.6. IGTC-Q completion provides eligibility for award of Special Experience

Identifier YHR for officers and Special Experience Identifier 309 for enlisted.

1.44.2. All IG staff members designated to receive complaints or conduct investigations will

be familiar with DAFPD 90-3 and this instruction. (T-1)

1.44.3. IGs and their IGQ staff will receive refresher training every three years or if returning

to the office after being detailed, deployed, or incurring any other break in service, for at least

12 months. (T-1) Refresher training includes attendance at IGTC-Q or any other SAF/IGQ

approved refresher training (e.g., MAJCOM conference, IG DoD course, etc.). MAJCOM,

FLDCOM, and any “command unit-level” ACTS organization will report the percentage of

DAFI90-301 4 JANUARY 2024 37

IGs with current training dates to SAF/IGQ at the end of each April and October. Training

dates will be maintained in ACTS.

1.44.4. For IGs assigned to AF units which conduct intelligence or intelligence-related

activities, refer to AFI 14-404 for specific intelligence oversight training requirements.

1.44.5. All IG staff members designated to receive complaints or conduct investigations will

complete at a minimum the Combating Trafficking in Persons (CTIP) for Investigative

Professionals Training on the Joint Knowledge Online web site:

https://jkodirect.jten.mil/html/COI.xhtml?course_prefix=J3T&course_number=A-US1328-

B. (T-0) SAF/IGQ will maintain a list of additional training tools and resources for all IGQ

staffs. The refresher training interval for investigative professionals, after the initial entry

training, will be every 3 years IAW DoDI 2200.01, Combating Trafficking in Persons (CTIP).

(T-0)

Section 1I—Wear of the Inspector General Badge

1.45. Department of the Air Force Inspector General Duty Badge. The IG Duty Badge is

required for wear by any military personnel performing official duties, appropriately trained, and

assigned to an IG office or performing full-time duties with IGQ.

1.46. Wear Criteria. The IG Duty Badge is worn by assigned military IGQ personnel only under

the following conditions:

1.46.1. Upon completion of formalized training. Personnel must complete the Inspector

General Training Course-Q or, upon authorization, other SAF/IGQ approved course and be

assigned to SAF/IG, or an authorized Inspector General office at a MAJCOM, FLDCOM,

NGB, NAF, Center, JFHQ, Delta, or Wing. (T-2)

1.46.2. The badge is not authorized for continued wear when no longer assigned to an

authorized IG position or when withdrawn for cause by the Commander. (T-2)

Section 1J—Education of Department of the Air Force Personnel

1.47. Educating Department of the Air Force Personnel on the IG System.

1.47.1. IGs at every level are responsible for ensuring Department of the Air Force members

are aware of and understand their rights and responsibilities regarding the IG Complaints

Resolution Program. (T-3) Document any training conducted in ACTS using DAFCRPSG

Attachment 22 as a template.

1.47.2. IGs at every level will actively publicize the IG CRP and train Department of the Air

Force members by taking the following actions. (T-3)

1.47.2.1. Publicize the IG Complaints Hotline through base websites/newspapers,

bulletins, newcomers’ orientations, staff meetings, commander’s calls, and by visiting

work areas. (T-3)

1.47.2.2. Distribute IG Complaints Resolution Program posters for unit high traffic areas

(for maximum exposure), reflecting the IG’s name, location, and contact information, and

the DoD Hotline, AF Complaints Hotline, MAJCOM Hotline, FLDCOM Hotline, and any

base level hotline. (T-3) The purpose of these posters is to assist personnel in contacting

38 DAFI90-301 4 JANUARY 2024

the IG. IGs at every level are authorized to develop and publish visual aids using DAFI

90-301 as the prescribing directive.

1.47.2.3. Educate personnel on how to use the IG system and the Department of the Air

Force policy on reprisal and restriction. (T-3)

1.47.2.4. Educate commanders and civilian leaders (squadron and above) within 90 days

of their assignment:

1.47.2.4.1. On reporting responsibilities regarding allegations against senior officials

(see Chapter 8) and open investigations against officers (2d Lt through Col) (see

Chapter 7). (T-3)

1.47.2.4.2. On reporting responsibilities regarding substantiated findings of

misconduct and/or adverse information against officers, including documentation

requirements detailed in Chapter 7. (T-3)

1.47.2.4.3. On the rights of service members to make protected communications.

(T-3)

1.47.2.4.4. On responsibilities regarding processing non-IG issues referred to them for

appropriate action. (T-3)

1.47.2.5. Locally disseminate IG-related news, innovative ideas, and lessons learned.

(T-3)

1.47.2.6. On reporting responsibilities regarding allegations, and all follow-up actions

specified in paragraph 3.12.1 and sub-paragraphs, that a service member engaged in an

activity prohibited under paragraphs 8 through 10. of Enclosure 3 to DoDI 1325.06,

Handling Protest, Extremist, and Criminal Gang Activities Among Members of the Armed

Forces, to Wing, Delta, or servicing IG office no later than 30 calendar days after receiving

an allegation. For Air Reserve Component (ARC) officials, transmission is required not

later than 60 calendar days.

1.48. IG Oath. The IG oath reminds inspectors and inspection augmentees of the special trust

and confidence inherent with the IG position and of the need for impartial and independent

evaluations on behalf of the commander. Uniformed personnel and Department of the Air Force

civilians performing duties on behalf of the IG will take the IG oath (Figure 1.1.). (T-1)

1.48.1. Administering the IG Oath. Normally, the IG oath will be administered at the

conclusion of IGTC. Otherwise, the commander will administer the IG oath to the IG

(delegable to the deputy commander/MAJCOM IG). (T-3)

Figure 1.1. Oath for personnel assigned to the IG.

I, ______________________________, having been assigned as an Inspector General (or a member of a

MAJCOM/FLDCOM/Wing Inspection Team), do solemnly swear (or affirm) that I accept the special obligations and

responsibilities of the position freely, that I will uphold the standards for Inspectors General prescribed by Law and

regulations and that I will discharge investigative (or inspection) duties without prejudice, bias or partiality on

behalf of the commander. [So help me God.]

DAFI90-301 4 JANUARY 2024 39

Chapter 2

FILING AN IG COMPLAINT

Section 2A—Filing a Complaint

2.1. Procedure for Filing an IG Complaint.

2.1.1. In accordance with AFI 1-1, Air Force Standards , Department of the Air Force military

personnel, unless otherwise exempted by operation of law, regulation, or policy, have a duty

to promptly report fraud, waste, abuse or gross mismanagement; a violation of law, policy,

procedures, instructions, or regulations; an injustice; abuse of authority, inappropriate conduct,

or misconduct (as defined by this instruction); or a deficiency or like condition, through

appropriate supervisory channels, to an IG or other appropriate inspector, or through an

established grievance channel. Civilian employees (appropriated and nonappropriated fund)

should report such activities and conduct IAW DAFI 36-147, Civilian Conduct and

Responsibility. Fraud, waste and abuse complaints may also be reported to the AFAA, AFOSI,

Security Forces, or other proper authority. All military and civilian employees, unless

otherwise exempted by operation of law, regulation, or policy, must promptly advise the

AFOSI of suspected criminal misconduct or fraud.

2.1.2. Complainants should, but are not required to, attempt to resolve complaints at the lowest

possible level (appropriate for the circumstances) using supervisory channels before

addressing them to higher-level command channels or the IG.

2.1.3. When complaints are addressed to a higher level (the President, Congress, IG DoD,

CSAF, SAF/IG, etc.), the IG office tasked with the complaint will determine the appropriate

level or organization for redress of the complaint. The complaint may be referred back to the

complainant’s local IG for resolution.

2.1.4. When complainants send the same or a similar complaint to several levels of the

government, the highest level with which the complainant corresponds will reply, unless

determined otherwise by the higher level office or other directives. (T-1) If it is decided that

a lower level will respond, the IG must inform the complainant he/she will not receive separate

replies from various levels of the government and inform the complainant which level will

provide the response. (T-1) IGs must verify the higher level of government is addressing the

complaint before it is closed at the lower level.

2.1.5. Complainants use DAF Form 102, Inspector General Complaint Form, to file

complaints with an IG. DAF Form 102 collects name, grade/rank, military status, contact

information and sufficient information regarding the complainant’s issue to assist in resolution

of the complaint. Use of the DAF Form 102 is not required, but highly recommended.

2.2. Approval of Official Travel to Submit Complaints.

2.2.1. Complainants normally do not travel at government expense to present a complaint

unless authorized. If authorized, funding will come from the complainant’s unit or will be

funded by complainant's personal funds and travel will be conducted in leave or permissive

TDY status. Such travel may only be funded IAW the Joint Travel Regulations.

40 DAFI90-301 4 JANUARY 2024

2.2.2. Requests to travel to meet with SAF/IG personnel must be coordinated with SAF/IGS

or SAF/IGQ prior to unit approval of the TDY request.

2.3. Complaints Resolved Through Other Agencies and Grievance Channels.

2.3.1. The IG Complaints Resolution Program may result in complaints being addressed

through other established grievance or appeal channels, unless there is evidence those channels

mishandled the matter or process.

2.3.1.1. If a policy directive or instruction provides a specific means of redress or appeal

of a grievance, complainants should exhaust those procedures.

2.3.1.2. Complainants must provide relevant evidence that the process was mishandled or

handled prejudicially before the IG will process a complaint of mishandling. Mere

dissatisfaction or disagreement with the outcome or findings of an alternative grievance or

appeal process is an insufficient basis to establish IG mishandling.

2.3.2. Table 3.7 outlines agencies with established programs for the redress of various

complaints. The table is not all-inclusive. Matters without specific grievance channels or not

mentioned in Table 3.7 may generally be referred to the appropriate level of the chain of

command.

Section 2B—Complainant’s Rights and Responsibilities

2.4. Complainant’s Rights.

2.4.1. Any person may file a complaint with the Inspector General.

2.4.2. In accordance with The Inspector General Act of 1978, as amended by The Inspector

General Reform Act of 2008, Title 5 Appendix 3, Section 7; Complaints by Employees,

Disclosure of Identity, Reprisals:

2.4.2.1. The Inspector General may receive and investigate complaints or information

from an employee (employee in this context includes military, civilian and nonappropriated

fund employees) of the establishment concerning the possible existence of an activity

constituting a violation of law, rules, or regulations, or mismanagement, gross waste of

funds, abuse of authority or a substantial and specific danger to the public health and safety.

2.4.2.2. The Inspector General shall not, after receipt of a complaint or information from

an employee, disclose the identity of the employee without the consent of the employee,

unless the Inspector General determines such disclosure is unavoidable during the course

of the investigation.

2.4.2.3. Any employee who has authority to take, direct others to take, recommend, or

approve any personnel action, shall not, with respect to such authority, take or threaten to

take any personnel action against any employee as a reprisal for making a complaint or

disclosing information to an Inspector General, unless the complaint was made, or the

information disclosed, with the knowledge that it was false or with willful disregard for its

truth or falsity.

2.4.3. Complainants have the right to:

2.4.3.1. File an IG complaint at any level without going through their supervisory channel.

DAFI90-301 4 JANUARY 2024 41

2.4.3.2. File a complaint with an IG without fear of reprisal.

2.4.3.3. Request withdrawal of their IG complaint in writing; however, IGs may still

examine the issues at their discretion and treat it as a third-party complaint.

2.4.3.4. Request the next higher-level IG review the lower-level IGs resolution path

determination within 90 days of receiving the IG response. However, simply disagreeing

with the action taken will not justify additional IG review. The request for review must:

2.4.3.4.1. Be in writing and give specific reasons why the complainant believes the

original IG complaint resolution was not valid or adequate.

2.4.3.4.2. Provide additional new and compelling information to justify a higher-level

review on previously considered issues.

2.4.3.4.3. Request review by the referral agency, or, if appropriate, the next higher

organizational level within that agency, when a complaint is referred by the IG to an

agency outside of the IG.

2.4.3.4.4. Requests for reconsideration of IG resolution strategy must go to the higher

level IG. For referrals, complainants may request reconsideration of the complaint

resolution to the next level in the chain of command or appropriate agency. Requests

for reconsideration must be filed within 90 days of receiving the resolution from the

IG.

2.4.3.5. Submit complaints anonymously. Additionally, when the complainant's identity

is known, the complainant may still elect to be treated as an anonymous filer when

submitting the complaint. This is not the same as a complainant electing to not release the

complainant’s identity outside of the IG system. For anonymous complaints, the ACTS

record should not reflect the identity of the complainant, if known. For complainants who

do not consent to release of their identity, the IG will obtain the referral agency response

and forward to the complainant.

2.4.3.6. Submit a complaint if they reasonably believe inappropriate conduct has occurred,

or a wrong or violation of law, policy, procedure, instruction, or regulation has been

committed, even if the complainant is not the wronged party or was not affected by the

alleged violation. Individuals who have witnessed a violation or misconduct first-hand, or

have direct evidence a violation or misconduct took place, will be considered first-party

complainants.

2.4.3.6.1. Individuals who submit a complaint on behalf of another individual against

an DAF military member, civil service employee, program, or organization; or only

have indirect evidence of a violation or misconduct will be considered third-party

complainants. Third-party complainants are not entitled to a response regarding the

substance of alleged wrongs not directly affecting them. Third-party complainants are

only entitled to have receipt of their complaint acknowledged.

2.4.3.6.2. Third-party complainants are not entitled to personal information or other

information not releasable to the public under the FOIA/Privacy Act (PA). To release

personal information concerning a first-party individual (complainant, subject), a

written and signed consent to release private information must be acquired from the

affected individual. (T-2) If the individual does not give his or her consent to release

42  DAFI90-301  4 JANUARY 2024 
first-party information to a third party, IGs must inform the requestor that personal 
privacy  information  will  not  be  released.    See  Chapter  10  for  additional  release 
information.  Lawyers representing complainants are not considered third-party and 
may receive information regarding complaint on behalf of the complainant, if written 
proof of representation is provided. 
2.4.3.7.  Request  whistleblower  protection  under  10  USC  §  1034  if  they  are  military 
members and   believe they have been reprised against for making or preparing a protected 
communication.    Refer  to  Chapter  5  for more specific information regarding reprisal 
complaints. 
2.4.3.8.  File complaints with allegations that have been previously investigated and then 
reviewed  by  a  higher-level  IG  office.    If the current complaint does  not  provide  new 
information or evidence that justifies further investigation, it will be dismissed. 
2.4.3.9.  Address their complaints to any IG if their unit does not have an appointed IG. 
2.4.3.10.  Contact an IG or Member of Congress regarding any issue. 
2.5.  Complainants’ Responsibilities. 
2.5.1.  Normally, complainants will prepare, sign, and submit to an IG an DAF Form 102 to 
ensure awareness of the Privacy Act and their responsibilities.  Complainants making verbal 
or telephonic complaints should normally return a completed DAF Form 102 to an IG within 
5 calendar days.  Complaints not submitted on an DAF Form 102 should be drafted following 
the same format outlined in Table 2.1, steps 3, 4 and 5. 
2.5.2.  Time limit:  An evaluation of timeliness is fact-dependent, taking into account factors 
such as whether there is a known complainant, the specificity of the allegation, how long the 
complainant  has  known  about  the  alleged  misconduct,  the  ability  to  conduct  a  focused 
investigation, etc.  While there is no stringent rule regarding timeliness, complainants should 
submit IG complaints in a timely manner in order for the IG to resolve them effectively.  
Complaints should be submitted to the IG within 90 days of learning of the alleged misconduct, 
and within one year of learning of the alleged misconduct for reprisal complaints.  There is no 
time limit for filing restriction complaints.  IG complaints not reported within the appropriate 
time limit may seriously impede the gathering of evidence and testimony.  IGs may accept and 
refer  complaints  that  exceed  the  above  time  requirements  if  the  complaint  is  of  special 
Department of the Air Force interest or the complainant is able to demonstrate that he/she was 
unable to meet the time standards due to unforeseen or extraordinary circumstances, and such 
circumstances justifies the delay.  The IG may dismiss a complaint if, given the nature of the 
alleged  wrong  and  the  passage  of  time,  there  is  a  reasonable  probability  insufficient 
information can be gathered to make a determination, and/or no special Department of the Air 
Force interests exist to justify investigating the matter.  See paragraph 3.22 and Table 3.13. 
2.5.3.  Cooperation.  Complainants must cooperate with IGs and IOs by providing factual and 
relevant information regarding the issues and/or allegations (unless exercising Article 31 of 
the Uniform Code of Military  Justice  (UCMJ),  or  Fifth  Amendment  of  the  United States 
Constitution rights).  If complainants do not cooperate, the IG may dismiss the complaint if 
the  IG  is  unable  to  conduct  a  thorough  complaint  analysis  due  to  lack  of  information.  
Complainants will be allowed at least 10 calendar days to provide requested information prior 
to the IG dismissing their complaint.  The case may be dismissed IAW Table 3.13., Rule 4 if 

DAFI90-301 4 JANUARY 2024 43

after three attempts within 10 days by the IG, the complainant fails to respond to requests for

additional information. If a complaint is dismissed, and complainant later files the same

complaint issues, the complaint will be accepted as a new complaint (i.e., with a new ACTS

file reference number).

2.5.4. Truthfulness. Complainants providing information to the Department of the Air Force

IG system must understand they are submitting official statements within official Department

of the Air Force channels. Therefore, they remain subject to punitive action (or adverse

administrative action) for knowingly making false statements and for submitting other

unlawful communications. Additionally, unless otherwise protected by law, any information

complainants provide to the IG is subject to release during or after the IG inquiry.

2.5.5. In situations where a complainant has a documented history of presenting patterns of

issues or allegations that are false, baseless, malicious, deceptive, defamatory, improbable, or

previously addressed as baseless, not substantiated, or not appropriate for the Department of

the Air Force IG System, the IG may limit the response or resolution path to the complainant.

2.6. Removing Complaints from the IG System.

2.6.1. Complainants may elect to withdraw a complaint from IG channels in writing.

Withdrawing the complaint does not prohibit the complainant from submitting the complaint

to another grievance channel for resolution. However, IGs may elect to address the complaint

if the allegations identify a wrong or a violation of law, policy, procedure, regulation or other

recognized standard. Exception: Allegations of reprisal or restriction must be resolved within

IG channels. (T-0)

2.6.2. Unless there is evidence of mishandling by the appropriate grievance agency/channel,

IGs will direct, via assistance or referral, complaints that belong in another Department of the

Air Force investigative or grievance channel to the appropriate grievance channel. See

paragraph 3.15 and Table 3.7 for assistance in determining if a complaint belongs in other

channels.

2.6.2.1. Inform the complainant of the alternatives and advise the complainant it would be

appropriate to submit their complaint via that channel.

2.6.2.2. IGs may refer a complaint even if the complainant disagrees with the referral.

Such referrals may include, but are not limited to: allegations of crimes, notice of danger

to people and/or property, personnel matters, and problems with potential impact on

national defense.

2.7. Requests to Delay Command or Personnel Actions.

2.7.1. IGs cannot delay command and personnel actions based on the filing of an IG complaint

or the initiation of an IG investigation. Filing an IG complaint will not delay or prevent

completion of command actions such as reassignment, retirement, discharge, nonjudicial

punishment, etc., unless deemed necessary by appropriate commanders.

2.7.2. IGs do not have the authority to place individuals on administrative hold. The authority

to place an individual on administrative hold or to delay command action rests only with

commanders and the respective personnel center. Therefore, complainants must submit such

requests through their respective commander or servicing personnel office.

44 DAFI90-301 4 JANUARY 2024

Section 2C—How to File an IG Complaint

2.8. Procedures for Filing an IG Complaint.

2.8.1. Complainants may file complaints through an IG Complaints Hotline, the DoD Hotline,

or directly with an IG. Complainants may file anonymously.

2.8.2. Complainants should follow the steps in Table 2.1 and complete an DAF Form 102,

Inspector General Complaint Form, prior to filing a complaint with the IG office.

2.8.3. Complaints not submitted on a DAF Form 102 should draft their complaint following

the same format outlined in Table 2.1, steps 3, 4 and 5. Complaints not submitted in the

outlined format may cause a delay in the processing of the complaint and the determination of

IG action.

Table 2.1. How to File a Complaint.

Step

Action

If unable to resolve the complaint in supervisory channels, review Table 3.6 to

determine if the complaint should be filed with the IG. Complainants should file a

complaint if they reasonably believe inappropriate conduct has occurred or a violation

of law, policy, procedure, instruction, or regulation has been committed.

Complete the personal data information on an DAF Form 102 (typed or printed

legibly), the preferred format for submitting complaints so it may easily be

reproduced.

Briefly outline the facts and relevant background information related to the issue or

complaint on the DAF Form 102 in chronological order. The complainant should

include witnesses who can corroborate the allegations or provide additional evidence

relevant to the issues. The complainant is responsible for describing what each

recommended witness can provide regarding the issues and/or allegations.

List the issues and/or allegations of misconduct BRIEFLY, in general terms, and provide

supporting narrative detail including chronology and documents. Allegations should be

written as bullets and should answer:

1. When did the issue occur?

2. Where did the issue occur?

3. Who took the action in question 1. (e.g., Maj John A. Smith,

XXSQ/CC)?

4. What did the person (or people) in question 3. do (e.g., gave a letter of reprimand,

wasted resources)?

5. To whom did the action in question 4. happen (e.g., complainant, SSgt Smith, etc.)?

6. What law or regulation was violated (e.g., DAFI 36-2803, Military Awards and

Decorations Program, 10 U.S.C, etc.)?

7. What remedy is being sought?

DAFI90-301 4 JANUARY 2024 45

If more than 90 days (one year for reprisal, no limit for restriction) have elapsed since

learning of the alleged wrong, the complaint should also include:

1. The date the complainant first became aware of the conduct.

2. How the complainant became aware of the conduct.

3. Why the complainant delayed filing the complaint.

Submit the completed DAF Form 102 to any Department of the Air Force IG and set up

a follow-on meeting to discuss the complaint.

If an IG is named in the complaint, contact the next higher-level IG.

46 DAFI90-301 4 JANUARY 2024

Chapter 3

MANAGING IG COMPLAINTS

Section 3A—Introduction to the Complaints Resolution Process

3.1. Overview. This chapter instructs IGs at every organizational level how to manage and

process IG complaints and discusses the complaint lifecycle from receipt through resolution. The

Department of the Air Force endorses a proactive oversight and follow-up system that achieves

the high program standards described in the President’s Council on Integrity and Efficiency,

Quality Standards for Federal Offices of Inspector General.

3.2. Protection of Information. A key goal of the IG CRP is to facilitate a complaints resolution

environment that promotes confidence in Department of the Air Force leadership. Assurance that

an individual's privacy will be safeguarded to the maximum extent practicable encourages

voluntary cooperation and promotes a climate of openness in identifying issues requiring

leadership intervention. Specifically, the IG has the responsibility to safeguard the personal

identity of individuals seeking assistance or participating in an IG process, such as an investigation,

including complainants, witnesses and subjects. While this does not mean communications made

to an IG are privileged or confidential, it does mean disclosure of those communications (and the

identity of the communicant) should be strictly limited to an official, need-to-know basis. This

information should not be disclosed unless required by law or regulation, when necessary to take

adverse action against a subject, or with the approval of SAF/IG, or IAW paragraph 3.2.2. See

Chapter 10 for guidance on the Department of the Air Force IG Records Release Program.

Persons who request anonymity or who express a concern about confidentiality must be informed

of this policy. All personnel reviewing or processing IG information shall be briefed on this policy.

(T-1) All IGs and staff members are obligated to protect IG information when their tenure of

service as an IG is completed. The following guidance applies to all personnel at all organizational

levels:

3.2.1. IG personnel must protect the identity of all complainants as described in paragraph

3.2. (T-0) At the time the IG receives a complaint, he or she will advise the complainant that

in accordance with The Inspector General Act of 1978, as amended by The Inspector General

Reform Act of 2008, Title 5 Appendix 3, Section 7; Complaints by Employees, Disclosure of

Identity, Reprisals:

3.2.1.1. The Inspector General may receive and investigate complaints or information

from an employee (employee in this context includes military, civilian and nonappropriated

fund employees) of the establishment concerning the possible existence of an activity

constituting a violation of law, rules, or regulations, or mismanagement, gross waste of

funds, abuse of authority or a substantial and specific danger to the public health and safety.

3.2.1.2. The Inspector General shall not, after receipt of a complaint or information from

an employee, disclose the identity of the employee without the consent of the employee,

unless the Inspector General determines such disclosure is unavoidable during the course

of the investigation and/or complaint analysis. (T-0)

3.2.1.3. Any employee who has authority to take, direct others to take, recommend, or

approve any personnel action, shall not, with respect to such authority, take or threaten to

take any action against any employee as a reprisal for making a complaint or disclosing

DAFI90-301  4 JANUARY 2024  47 
information to an Inspector General, unless the complaint was made or the information 
disclosed with the knowledge that it was false or with willful disregard for its truth or 
falsity. 
3.2.2.  IGs/IOs should not divulge a complainant's name to a subject or to any witness, or 
permit a witness to read the complaint without the appointing authority's written permission 
(reference paragraph 4.10.8.). 
3.2.3.  In accordance with DoDI 7050.01, DoD Hotline Program, inspector general personnel 
may disclose the identity of the complainant when: 
3.2.3.1.  It is necessary to address an emergency situation; or 
3.2.3.2.  Transfer  of  cases  to  local  law  enforcement  or  other  authorities  outside  the 
Department of the Air Force in instances where the recipient has jurisdiction over the 
matter or where complainants appear to be a danger to themselves or others or appear in 
need of assistance by local health officials. In such instances, the inspector general will 
provide a Privacy Act Notice to the complainant informing them where and why their 
identity was disclosed (unless the privacy notice may jeopardize safety or compromise an 
investigation). 
3.3.  Procedures for Managing IG Complaints. 
3.3.1.  IG  complaints  will  be  managed  in  a  manner  that  facilitates  efficient  and  effective 
mission  accomplishment.    (T-1)  IG  complaints  will  be  reported  and  resolved  with  due 
diligence and in a timely manner.  (T-1)  IGs at all organizational levels must document all 
complaints and adhere to the process timeline outlined in Table 3.1.  (T-1)  Complaints within 
the purview of the IG CRP should be addressed at the lowest appropriate level, including high-
level complaints (e.g., those sent to the President, Congress, DoD, SECAF, SAF/IG).  This 
ensures the higher-level IGs remain unbiased and are available to review any rebuttals or 
appeals of the lower-level investigations or actions. 
3.3.2.  IGs should resolve complaints at the lowest possible level, but may elevate complaints 
when appropriate.  IGs must elevate complaints when self-investigation or the perception of 
self-investigation is an issue.  Complaints that involve a conflict of interest with the local chain 
of command will be referred to the next-level of command.  Complaints that involve a conflict 
of interest with the IG, will be transferred to the next-level IG.  Even perceptions of conflict of 
interest can undermine the confidence of our Airmen and Guardians in the IG system.  If in 
doubt  on  specific  cases,  consult  with  your  MAJCOM/FLDCOM/NGB  IGs.    Complaints 
involving  the  local  chain  of  command  should  not  be  referred  back  to  the  local  chain  of 
command and must be elevated at least one level up. 
3.3.3.  Complaints against senior officials will be processed IAW Chapter 8.  (T-0) 
3.3.4.  Complaints  against  all  officers  (or  civil servants grade 15)  will  be  processed  IAW 
Chapter 7.  (T-0) 
3.3.5.  Complaints of Primary Interest Under the Department of the Air Force CRP.  IGs will 
always retain responsibility to resolve complaints of: 
3.3.5.1.  Reprisal (see Chapter 5). (T-0) 
3.3.5.2.  Restriction (see Chapter 6).  (T-0) 

48 DAFI90-301 4 JANUARY 2024

3.3.5.3. IG misconduct regarding actions taken relating to the CRP or Air Force Inspection

System (AFIS). The next higher-level IG will conduct the complaint analysis and

investigate complaints if required.

3.4. The Complaint Resolution Process. To assist IGs in managing complaints, the following

table describes actions required to resolve a complaint from receipt through investigation to

closure. The process contains 15 steps and is divided into 3 phases: complaint analysis,

investigation, and quality review. The goal for completing assistance and dismissal cases is 30

days (contact, 5 days; conduct complaint analysis, 20 days; finalize complaint analysis and

determine resolution path, 5 days). (T-1) For referrals, 30 days for decision to refer, and 60 days

for a response from command. For Air National Guard and Air Force Reserve IGs: To meet the

goal to resolve all case matters promptly, Phase 1 actions need to be completed no later than the

end of the next unit training assembly (UTA) after receipt of the complaint.

Table 3.1. The Complaint Resolution Process (T-1).

COMPLAINT RESOLUTION

PROCESS PHASES

STEPS

TIMELINE IN

DAYS

(LESS THAN OR

EQUAL TO)

Receive the Complaint (DAF

Form 102, phone call, email, etc.)

Total Phase Timelines

COMPLAINT ANALYSIS

Contact/Transfer

30 Days

Conduct Analysis (includes

complaint clarification)

Finalize the complaint analysis

and determine resolution path

30 DAY DECISION POINT*

Transfer, Assist, Refer, Dismiss or Investigate **

See Table 3.8 for Transfer, Table 3.10 for Assist, Table 3.12 for Refer and Table 3.14

for Dismissal

INVESTIGATION (Chapter 4)

Pre-Fact Finding

60 Days

Fact Finding

Write Report

QUALITY REVIEW

Report Ready for Quality Review - 90 days from Complaint Receipt

IG Quality Review

60 Days

Technical Review

Legal Review

Rework

Case Completion ***

DAFI90-301 4 JANUARY 2024 49

Higher Headquarters Review (as

applicable)

SAF/IG Review

(as applicable)

Compliance with above timeline will ensure cases receive

appropriate level review within statutory and Department of the

Air Force Instruction requirements

150 Days

IG DoD Approval

(as applicable)

Case Closure/

Command Action

Note 1: *Except in extraordinary circumstances, a resolution path for each issue in a complaint

will be determined and tasked to appropriate agency no later than 30 days after receiving a

complaint.

Note 2: **Transfers requiring higher headquarters review.

Note 3: *** For substantiated findings, the timelines for the tentative conclusion letter includes

30 days outside the normal timeline.

Complaint Analysis

Section 3B—Step 1: Contact (< 5 Days)

3.5. Procedure for Receiving Complaints. Air Force, Space Force, Air National Guard, and Air

Force Reserve IGs receive and process complaints from any source (including anonymous), via

any medium, regarding operations, organizations, functions, and personnel. IGs can accept

telephonic and verbal complaints, but every attempt should be made to obtain a written complaint.

For telephonic and verbal complaints, IGs should obtain adequate information for clarification and

follow-up actions. IGs will enter all contact/complaint data into ACTS within 5 calendar days of

initial contact (or by the conclusion of the UTA for the Air Reserve Component (ARC)). (T-1)

Follow the administrative procedures in Table 3.2 to process complaints made to their office.

Table 3.2. Processing Complaints.

Step

Action

Log complaint into the ACTS database (Note: ACTS case notes should contain a

complete description of the facts, sequence of IG actions taken, record of

persons/organizations contacted, and date contact was made.)

Mark/type/insert text, “CUI” and “COMPLAINANT PROVIDED” on each page of

documents provided by the complainant. Load as a portable document file (PDF)

attachment to the ACTS case file and put a check mark in the “complainant prov

ided”

box

. The IG loading the documents in ACTS must mark them complainant provided.

50 DAFI90-301 4 JANUARY 2024

Contact complainant in writing, by telephone, or in person within 5 duty days to

acknowledge receipt (unless received directly from complainant). Provide a periodic

update to the complainant, regardless of resolution path (to include referrals), 60 days

after receipt of the complaint and every 60 days (for ANG/Air Force Reserve: every

other UTA weekend) thereafter until a final response is provided. Log the periodic

update in ACTS and add a case note to reflect completion of the update. If the update is

done via memo or email, upload the memo or email to the Attachment Tab.

3.6. Higher Headquarters Taskings.

3.6.1. When complaints are addressed to a higher-level IG office, that office will decide if

tasking to a lower-level IG is appropriate by determining whether:

3.6.1.1. The complaint was previously addressed and merits a higher-level IG review.

3.6.1.2. There is a need to avoid the appearance of self-investigation at a lower level.

3.6.1.3. There is evidence the lower-level IG or command may be biased.

3.6.2. Absent any of the circumstances described in paragraph 3.6.1, the higher-level IG

should transfer the complaint to the lower level IG for complaint resolution. This ensures the

higher-level IG office remains unbiased and is available to review any rebuttals or appeals of

the lower-level investigation.

3.7. Complaint Intake Procedures. Thoroughly understanding a complaint is the foundation for

conducting a complete and accurate complaint analysis. The IG will conduct a complaint intake

for all cases using the procedures in Table 3.3. (T-1) Fully document the contact in ACTS.

Table 3.3. How to Conduct a Complaint Intake.

Step

Action

Find a private location if the complaint is made in person.

If the complainant has not yet done so, ask them to complete a DAF Form 102 or some

other record that documents their complaint.

Determine if the individual has sought assistance from an appropriate support agency

(for example military personnel section, finance, or equal opportunity office). Advise

them to go to that agency if they have not. Refer to Table 3.7.

If the complainant has not talked to their supervisory channel, find out why. Unless

circumstances warrant otherwise, encourage the complainant to utilize the chain of

command first. Explain why this is the preferred approach (faster resolution,

commanders have the authority to remedy the situation, etc.). Explain if the matter is

clearly a command issue and not an IG matter, the complaint should be addressed by

supervisory or command channels regardless of the desires of the complainant.

If it has been more than 90 days since the complainant learned of the alleged wrong,

one year for reprisal cases (no time limit for restriction cases), inform them the

complaint may be dismissed. Explain that complaints are reviewed for dismissal on a

case-by-case basis and the length of time since the alleged event can seriously impede

the effectiveness of an investigation. Ask the complainant why they delayed filing the

complaint and if there were compelling circumstances that justified the delay.

DAFI90-301 4 JANUARY 2024 51

Ask the complainant to clarify their issues and provide a chronology, as necessary.

Generally, a statement of fact must identify the nature and substance of the alleged

wrong with sufficient detail and facts to enable the IG to ascertain what potential

violations may have been committed. The complainant should also identify the source

(for example, the documents or names of witnesses who can corroborate the issue); the

date; and the act or condition that occurred or existed at that date. Obtain answers to

the questions identified in sections II and III on the DAF Form 102. If the

complainant alleges reprisal or restriction, or words to that effect, explain the

whistleblower protection afforded by 10 USC § 1034 and have complainant sign the

Department of the Air Force Complaint Resolution Program Supplemental Guide

Attachment 14 Whistleblower Protection Under 10 USC § 1034. Explain to all

military complainants that their communication with the IG is protected under 10 USC

§ 1034.

Advise the complainant any records or documents he/she provides to the IG become

part of an IG record and are not returnable unless they complete a FOIA request. See

Chapter 10 and AFI 33-332, Air Force Privacy and Civil Liberties Program. At the

time of intake, ask complainant if he or she has copies of his or her complaint.

Ask the complainant what remedy is being sought. Advise complainant the IG does

not have the authority to direct actions to initiate remedy sought by complainant.

Additionally, explain that IGs cannot delay or prevent command and personnel actions

nor do IGs have the authority to place individuals on administrative hold.

Explain the steps involved in processing an IG complaint and/or conducting an

investigation.

Inform the complainant when you expect to get back to him/her. See Table 3.4 for

complaint clarification procedures.

3.7.1. Complaint Clarification Procedures. Complaint clarification interviews may be

necessary, but are not required for allegations being referred outside of IG channels, transferred

to another Department of the Air Force IG, or those addressed through assistance. All IGs

receiving complaints that allege misconduct to be addressed in IG channels will complete a

complaint clarification interview after the initial complaint intake. (T-1) This interview must

be documented and attached in the ACTS case file before the Inspector General of the

Department of Defense, Whistleblower Reprisal Investigations (IG DoD/WRI) will approve

the case recommendation. (T-0) Follow the steps in Table 3.4 when conducting a complaint

clarification. (T-1)

3.7.1.1. It is highly recommended that this interview be recorded so that it is available for

verbatim transcription if needed for analysis and report documentation later during the

inquiry process. In the absence of the ability to transcribe the complaint clarification

interview, the IG may summarize the testimony using the recorded interview and request

the complainant certify the IG’s summarized complainant’s testimony as accurate. If

unable to record the complaint clarification interview, document the discussion with a

memo for record (MFR) stating when the interview occurred, the medium by which it was

conducted, and a general synopsis of the contents of the discussion. (T-1)

3.7.1.2. If the IG is unable to complete a complaint clarification interview with the

complainant, the complainant will be asked to complete a signed memorandum detailing

his or her testimony. Email is acceptable.

52 DAFI90-301 4 JANUARY 2024

Table 3.4. How to Conduct a Complaint Clarification.

Step

Action

For cases that do not involve 10 USC § 1034 issues

Review DAF Form 102 and any other documentation provided by the complainant.

Update/create chronology based on review of information received during Intake and

complaint analysis conducted by the IG. Starting with a solid chronology based on

information learned at intake is critical and will allow the IG to better validate the dates

and key details with the complainant.

Acquire relevant documents, as necessary, so evidence is available to ensure an accurate

complaint clarification can be performed.

Contact the complainant to schedule the clarification interview (can be accomplished in-

person, via telephone, or with an interrogatory. Email is acceptable). If a complainant

requests the presence of legal representation during the interview, it may be granted.

Ask questions to clarify the issues to determine the best resolution strategy. Recording

the complaint clarification is encouraged; however, recorded or not, the interview will

be summarized and attached as part of the ACTS case file. (Note: If the interview is

recorded, complainant must acknowledge awareness of the recording.)

For cases that involve 10 USC § 1034 issues

The IG should focus the complaint clarification interview on the protected

communications, personnel actions and information that suggests the possibility of a

causal connection between the protected communications and the personnel actions.

Include questions that identify potential responsible management officials, their

knowledge of protected communications, and what motive they would have to reprise

against the complainant. Have complainant explain why he/she believes the personnel

actions were taken in reprisal. See DoDI 7050.09, Uniform Standards for Evaluating and

Investigating Military Reprisal or Restriction Complaints and the DoD Guide to

Investigating Military Whistleblower Reprisal and Restriction Complaints for example

questions.

Obtain as much detail as possible. Dates are particularly important regarding the

protected communications and personnel actions and whether an inference of reprisal is

evident.

As necessary, ask complainant to provide what information each witness identified in the

complaint can provide regarding the issues being addressed. Failure to identify primary

witnesses early can lead to insufficient fact-gathering and analysis.

When evaluating restriction issues, clarification interview questions should focus on what

was done or said to restrict the member. Keep in mind that allegations of restriction are

not subject to the 1 year filing deadline.

If complaint clarification interview is completed prior to submitting reprisal and

restriction notification, annotate with entry in “Comments” section. If the interview is

conducted after the notification was made, record in “Date Complainant Interviewed”

block on the decision document.

DAFI90-301 4 JANUARY 2024 53

Section 3C—Step 2: Analysis (≤ 20 Days) Conducting a Complaint Analysis

3.8. Procedure for Complaint Analysis. In each case, IGs at every organizational level will

conduct a thorough complaint analysis to determine the appropriate complaint resolution strategy.

(T-1) A complaint analysis is always required and results in: assistance, dismissal, investigation,

referral or transfer of the complaint. Complaints containing multiple assertions may require

multiple resolution strategies, e.g., transfer, assist, referral, dismissal and/or investigation. For

every contact, document the rationale for the selected resolution strategy in ACTS in accordance

with paragraph 3.11.2.

3.8.1. When complaints have different resolution strategies (e.g., assist, referral, and

dismissal), or the same resolution strategies but to different agencies, create an additional

ACTS case for each resolution strategy. (T-2) Cross-reference cases in the “Nature of

Complaint.” (T-2)

3.8.2. When transferring portions of contacts/complainants to different IGs, create an

additional ACTS case for the transfer.

3.8.3. All IGs, during the complaint analysis process, will consider whether the evidence

supports allegations of reprisal and restriction regardless of whether the complainant

specifically makes those allegations. (T-1) If complainant does not think they received an

adverse action in reprisal, analyze the complaint as a non-reprisal complaint.

3.9. Conducting a Complaint Analysis. A complaint analysis is a preliminary review of

assertions and evidence to determine the potential validity and relevance of the issues to the

Department of the Air Force and to determine what action, if any, is necessary within IG,

supervisory, or other channels.

3.9.1. During complaint analysis, complaints of misconduct will be treated as issues until it is

determined through the analysis that further investigation is warranted. (T-1) If a complaint

analysis recommends further investigation, the IG will conclude the analysis of each issue in

the complaint analysis by framing proper allegation(s) for investigation. (T-1) Refer to

paragraph 5.5 when completing a complaint analysis into allegations of reprisal or paragraph

6.5 for allegations of restriction. If the complaint analysis recommends dismissal, in that an

investigation is not warranted, then the IG will conclude the analysis of those issues as issues

rather than allegations. (T-1) When framing allegations, IGs shall consult with their servicing

legal office to ensure that all allegations clearly and concisely identify the complainant's

assertions as specific violations of law, regulation, procedure. (T-2)

3.9.2. A framed allegation is a factual proposition to be proved or disproved during an

investigation, and which if true, would constitute misconduct. If an allegation cannot be

properly framed, then an investigation is inappropriate. Framed allegations must contain the

following: (T-1)

3.9.2.1. When did the alleged violation occur?

3.9.2.2. Who committed the alleged violation?

3.9.2.3. What violation was committed?

3.9.2.4. What law, regulation, procedure, standard, or policy was violated?

3.9.2.5. A properly framed allegation is constructed as follows:

54 DAFI90-301 4 JANUARY 2024

When (on or about 10 January 2004), Who (Major John A. Smith, XX Sq/CC) did what (gave a

referral EPR to SrA William Tell), in violation of what standard (in reprisal for a protected

communication in violation of 10 USC § 1034).

3.9.3. Do not combine allegations to simplify the process. If the complainant asserts multiple

violations on different occasions, make each of these a separate allegation. The same rule

applies when the complaint contains multiple subjects, occurrences, or standards.

3.10. Complaint Analysis Procedures. Use the complaint analysis procedures in Table 3.5 to

determine the appropriate complaint resolution strategy.

Table 3.5. How to Conduct a Complaint Analysis.

Step

Action

If issues are appropriate for IG action but should be addressed by another IG, see

paragraph 3.14 and Table 3.8. If appropriate for transfer to another IG, follow

the guidance in paragraph 3.15 and Table 3.9.

Determine if the complaint is appropriate for IG channels, typically complaints of

reprisal, of restriction, or against IG personnel in the performance of their IG duties.

See Table 3.6.

Determine if the issues fall under the category of special interest complaints in Table

3.6. If issue meets the criteria for a special interest complaint, follow the directions in

Table 3.6. If the issue does not meet the criteria, return to this table.

If the complainant, based on information provided by the IG, voluntarily elects to address

their personal concerns or alleged misconduct in an alternate grievance channel or outside

agency, follow the guidance in paragraph 3.18 and Table 3.10 and resolve the complaint

as an assist. If the complainant elects instead to address the issue using the IG CRP,

continue with this table as necessary.

If Table 3.7 indicates the issues are more suitable for resolution for designated agencies

and grievance channels, follow the guidance in paragraph 3.20 and Tables 3.7 and

3.11.

Determine whether the issues are appropriate for dismissal. See Table 3.13. If

appropriate for dismissal, follow the guidance in Table 3.14.

Determine whether the issues asserted are appropriate for investigation. See paragraph

4.2.

Document the rationale for the selected complaint resolution strategy. The complaint

analysis documentation in DAFCRPSG Attachment 1 provides a template for

documenting complaint analysis. See paragraph 3.11.

Document appropriate complaint information in ACTS, either by case note or as an

attachment. See paragraph 3.11.

3.11. Documenting a Complaint Analysis. IGs and IG staff members at every organizational

level will document each complaint analysis and include the rationale for the selected complaint

resolution strategy. (T-1)

DAFI90-301 4 JANUARY 2024 55

3.11.1. If, during the initial complaint analysis, the IG deems the complaint should be handled

by another IG office, contact that IG office and discuss rationale of potential transfer. If

transferred, the gaining IG office will accomplish a detailed complaint analysis and required

documentation. (T-1)

3.11.2. Document the complaint analysis (see DAFCRPSG Attachment 1, for example) and

attach the document to the ACTS case file. (T-1) For complaints that are resolved through an

assist, dismiss, transfer or referral, the IG can document the complaint analysis in an ACTS

case note in place of the complaint analysis documentation letter. The case note must include

the background, issues, analysis, and resolution path as separate paragraphs. If any special

interest category is marked on the main tab in ACTS, include a discussion of the special interest

category in the complaint analysis.

3.11.3. If the complaint analysis recommends an IG investigation, the complaint analysis

document must contain properly framed allegations. (T-1) For allegations of reprisal, see

Chapter 5 and for allegations of restriction, see Chapter 6 for additional requirements.

3.11.4. A complaint analysis recommending an IG investigation will be approved by the

appointing authority. (T-1)

3.12. Processing Allegations/Issues of a Special Nature. Table 3.6 explains special processing

instructions when a complainant makes assertions against senior officials, officers, IGs, or

allegations of a special nature.

Table 3.6. Processing Special Interest Complaints. (T-1)

If the complainant makes

assertions…

Then…

Against a senior official

Report the allegations IAW paragraph 8.1.2 notify

SAF/IGS via SAF/IGQ through MAJCOM, FLDCOM,

NGB, NAF, JFHQ, FOA, or DRU IG using

DAFCRPSG Attachment 13 and reference Chapter 8.

(T-0) When sending a notify, always notify the agency

(NAF, MAJCOM, FLDCOM, or SAF) Group Box.

When sending a notify to SAF, always notify the SAF

Group Box in ACTS. If the senior official is not a

member of the DAF, contact SAF/IGS for assistance.

56 DAFI90-301 4 JANUARY 2024

Against a colonel, (but not a

colonel-select or GS-15)

Notify SAF/IGQ, through the appropriate MAJCOM,

FLDCOM, NGB, NAF, JFHQ, FOA, or DRU IG, after

receiving complaints containing allegations of

misconduct against colonels. (T-0) Follow the

procedures in Chapter 7.

Against an IG

After consultation and coordination with the next higher-

level IG, transfer the complaint to the next higher-level

IG for action and document as a transfer in ACTS. When

transferring a case to SAF, always transfer to the SAF

Group Box in ACTS. (T-1)

That a military member was

reprised against for making a

protected communication

Advise complainants of whistleblower protection under

10 USC § 1034. Follow the procedures in Chapter 5.

(T-1) If not completed as part of Complaint Intake, Step

6, explain the whistleblower protection afforded by 10

USC § 1034 and have them sign the DAFCRPSG

Attachment 14, Whistleblower Protections Under 10

USC §1034.

That a military member was

restricted

Advise complainants of whistleblower protection under

10 USC § 1034. Follow the procedures in Chapter 6.

(T-1) If not completed as part of Complaint Intake, Step

6, explain the whistleblower protection afforded by 10

USC § 1034 and have them sign the DAFCRPSG

Attachment 14, Whistleblower Protections Under 10

USC § 1034.

Of violations of Equal

Opportunity policy

Assist/Refer, as appropriate, the complaint by directing

the complainant to the Equal Opportunity office for a

complaint clarification following the procedures in Table

3.7, Rule 11. (T-1)

Of fraud, espionage, sabotage,

treason, subversion, disloyal

statements, disaffection, or

other criminal offenses (i.e., to

include but not limited to

homicide, use/possession/sale

of drugs, theft, etc.)

Consult with the JA and local AFOSI office or

AFOSI/IG to determine whether the allegations

should be handled through command or law

enforcement channels. (T-0)

DAFI90-301 4 JANUARY 2024 57

Of sexual harassment

Determine if complainant has made a restricted or

unrestricted report of military sexual harassment with

SAPR or if the complainant has engaged in any EO

complaint processes. If no report or complaint has

been made, advise the complainant of his or her

options IAW DAFI 36-2710, Equal Opportunity

Program or DAFI 90-6001, Sexual Assault

Prevention and Response (SAPR) Program. (T-0)

Handle case according to complainant’s decision

regarding reporting of the sexual harassment. (T-1) If

referred to EO, no response from EO or SAPR is

necessary.

Of sexual assault

Determine if complainant has made a restricted or

unrestricted report of sexual assault. If no report has

been made, advise the complainant of his or her

options (restricted or unrestricted) IAW DAFI 90-

6001, Sexual Assault Prevention and Response

(SAPR) Program. Handle case according to

complainant’s decision regarding reporting of the

sexual assault. (T-1) If referred to command, no

response from command is necessary. IGs are not

mandatory reporters for purposes of DAFI 90-6001.

Of reprisal, ostracism, or

maltreatment related to a sexual

assault.

Determine if complainant has made a restricted or

unrestricted report of sexual assault. If no report has

been made, advise the complainant of his or her

options (restricted or unrestricted) IAW DAFI 90-

6001. (T-1) If complainant has made an unrestricted

report of sexual assault, the complainant has the

option to file a report of retaliation with SAPR via the

DD Form 2910-2. If complainant has made a

restricted report of sexual assault, advise the

complainant of the consequences of going forward

with a complaint (e.g., it will be difficult to maintain

the complainant’s anonymity or conduct an effective

investigation with an anonymous complainant).

Ensure notifications of reprisal of a sexual assault

victim are sent to IG DoD and clearly emphasize the

sexual assault nature of the complaint to determine if

they will investigate the allegation IAW DoDI

6495.03. See paragraph 5.4. (T-1) Close the case as

an Assist after DoD IG takes the case. Ostracism and

maltreatment are referred to command.

Of retaliation (ostracism or

maltreatment) not related to

sexual assault

Ensure complaint is regarding retaliation not reprisal,

then refer to command IAW AFI 36-2909, Air Force

Professional Relationships and Conduct. (T-1)

58 DAFI90-301 4 JANUARY 2024

Of reprisal affecting eligibility

for access to classified

information (Presidential Policy

Directive – 19, Protecting

Whistleblowers with Access to

Classified Information, Part B)

Ensure notifications of reprisal clearly emphasize the

effect on access to classified information for

coordination with IG DoD. See paragraph 5.4.

Of Intelligence Oversight

violations

Refer complaints to the senior intelligence officer of

the organization where the alleged violation occurred

and provide a copy of the complaint to the servicing

legal office. (T-1) Refer to AFI 14-404. When

creating the ACTS case, do not attach classified

documents.

Of Civil Liberties violations

Determine if complaint meets the guidelines of AFI

33-332, Air Force Privacy and Civil Liberties

Program and annotate the ACTS special interest

category as appropriate. (T-1) For a list of civil

liberties that must be monitored, see Attachment 1.

Through a congressional

inquiry

For IG issues contained in congressional inquiries

(i.e., reprisal, restriction, and allegations against an

IG ), see rules 2-4 above as appropriate. Ensure the

appropriate box in ACTS is checked.

Of a complaint to OSC referred

to SECAF and SAF/IG for

investigation pursuant to AFI

51-1102, Cooperation with the

Office of Special Counsel

Follow procedures in AFI 51-1102. SAF/GC is

SECAF’s liaison to OSC for all allegations referred

to SAF/IG. SAF/IGQ will closely coordinate with

SAF/GC, AF/JA, and the coordinating Air Force

Legal Office during the course of any IG

Investigations based on OSC referrals IAW AFI 51-

1102. (T-1)

Of supremacist, extremist, or

criminal gang activity

Consult with servicing legal office to determine

whether issue should be referred to command or

AFOSI. Refer to DAFI 51-508, Political Activities,

Free Speech and Freedom of Assembly of Air Force

Personnel and DoDI 1325.06, Handling Dissident

and Protest Activities Among Members of the Armed

Forces. Annotate the appropriate ACTS special

interest category. Ensure reporting requirements

IAW paragraph 3.12.1. and sub-paragraphs are met.

(T-0)

DAFI90-301 4 JANUARY 2024 59

Requesting reconsideration of

the resolution path of a

previous IG complaint.

Complete a complaint analysis and document in

ACTS with either a case note IAW paragraph

3.11.3. or an attachment (see Air Force Complaints

Resolution Program Supplemental Guide Attachment

1, for example) and follow guidance in Chapter 3 as

appropriate.

Which are more appropriately

handled by another service IG

(e.g., Army, Navy, Marine)

Treat as assists except when the complaint asserts

misconduct by an Department of the Air Force

member. Based on the context and complexity of the

complaint, may require coordination with SAF/IGQ

and the appropriate service IG.

3.12.1. Reporting and Tracking of Activity Prohibited under Department of Defense

Instruction (DoDI) 1325.06, Handling Protest, Extremist, and Criminal Gang Activities

Among Members of the Armed Forces.

3.12.1.1. Initial reporting of allegations of prohibited activity. The term “referral” in this

section indicates placement of allegations under investigation or inquiry by a competent

agency outside the AF IG system and should not be confused with the DAFI 90-301 referral

resolution path.

3.12.1.1.1. Military criminal investigative organizations, security police, military

commanders, and other military organizations and officials must report all allegations

to wing, elta, or servicing IG office no later than 30 calendar days after receiving an

allegation. (T-0) For ARC officials, transmission is required not later than 60 calendar

days.

3.12.1.1.2. IG offices receiving these allegations will electronically transmit the initial

notification to SAF/IGQ within seven calendar days. (T-0)

3.12.1.1.3. SAF/IGQ will then report the allegation to DIG (DIEM) within 15 calendar

days of initial wing, delta, or servicing IG notification.

3.12.1.1.4. Allegations received must be reported to DIG (DIEM) in de-identified

form. These reports will not include the name, DoD ID number, phone number, or other

personally identifiable information that would directly identify alleged offenders or

victims. (T-0) For alleged offenders, reports will contain only the grade/rank, unit,

occupational or specialty code, gender, age, military service, how the offender is

alleged to have violated DoDI 1325.06 or other relevant military department or service

policies (if applicable), and the date and location of the alleged prohibited conduct (if

known, while balancing the need for operational security for open investigations). (T-0)

For victims, if known, reports should contain only the age, gender, and military service

or other military affiliation (as applicable), grade/rank, occupational or specialty code,

and unit. SAF/IGQ will coordinate with the DoD IG and DIG (DIEM) to create a D-

60 DAFI90-301 4 JANUARY 2024

CATSe number to assign to each allegation. This unique identifier will be provided to

the commander of any alleged offender, to the organizational party or parties that

reported the allegation and to the IG (unless reported in a non-official duty capacity),

and to DIG (DIEM). (T-0) The D-CATSe number will be used with any future

reporting or tracking requirements relating to the same incident. (T-0) See

DAFCRPSG Attachment 37 for instructions. If more than one Airman or Guardian is

implicated by an allegation, the identifier should reflect this fact so that each allegation,

and the number of service members involved, can be tracked without over-reporting

the total number of allegations (for example, an allegation that the joint actions of three

service members constituted active participation in extremist activities might be coded

as Case-01, Case-02, and Case-03). To the maximum extent possible, SAF/IQG will

work with the Offices of the Army Inspector General, Naval Inspector General, and

Inspector General of the Marine Corps to ensure that allegations implicating service

members from multiple military services are assigned corresponding D-CATSe

number for concurrent tracking.

3.12.1.2. All allegations described in paragraph 1.13.12 that are not referred for

investigation or inquiry, the commander, or other authority responsible for that

determination will notify the wing, delta, or servicing IG of the decision not to proceed

within 30 calendar days (60 calendar days for allegations reported to ARC officials) after

the decision not to investigate or inquire is made and provide the reason(s) an investigation

or inquiry was not initiated. (T-0)

3.12.1.2.1. IG offices receiving these notifications will electronically transmit the

decision to SAF/IGQ within seven calendar days. (T-0)

3.12.1.2.2. SAF/IGQ will then report the disposition to DIG (DIEM) within 15

calendar days of initial wing, delta, or servicing IG notification.

3.12.1.2.3. SAF/IGQ’s report to DIG (DIEM) will include the unique identification

code for the allegation, that the allegation is not being referred for investigation or

inquiry, and the date of the decision to not refer.

3.12.1.3. The referral of any allegation described in paragraphs 8 through 10. of Enclosure

3 to DoDI 1325.06 for purposes of investigation or inquiry, to (i) a military criminal

investigative organization; (ii) an IG; (iii) a military police or security police organization;

(iv) a military commander; (v) the Insider Threat Hub; (vi) another organization or official

of the Department of Defense; or (vii) a civilian law enforcement organization or official:

3.12.1.3.1. The commander or other authority responsible for the referral must report

all allegations to Wing, Delta, or servicing IG office within 30 calendar days (or 60

calendar days for ARC officials). (T-0) In the case of referrals to civilian law

enforcement organizations or officials, this timeline begins when any individual or

entity who may receive an allegation becomes aware of the civilian law enforcement

referral.

3.12.1.3.2. IG offices receiving these allegations will electronically transmit the initial

notification to SAF/IGQ within seven calendar days. (T-0) The report to SAF/IGQ

must include the D-CATSe number for the allegation, the entity to which the allegation

DAFI90-301 4 JANUARY 2024 61

is referred for investigation or inquiry (including contact information) and the date of

the referral. (T-0)

3.12.1.3.3. SAF/IGQ will report the allegation to DIG (DIEM) within 15 calendar days

of initial wing, delta, or servicing IG notification.

3.12.1.4. Upon receipt of the final report of any such investigation or inquiry to a

commander or other appropriate authority for action for each allegation described in

paragraphs 8 through 10. of Enclosure 3 to DoDI 1325.06, a military commander or civilian

equivalent, servicing legal office, or other appropriate authority shall notify the appropriate

IG within 15 calendar days (or 30 calendar days for ARC officials). (T-0)

3.12.1.4.1. IG offices receiving these allegations will electronically transmit the initial

notification to SAF/IGQ within seven calendar days. (T-0) The report to SAF/IQ must

include the D-CATSe number for the allegation, the name of the military commander,

servicing legal office, or other authority that received the final report of the

investigation or inquiry for action (including contact information); the date of the final

report; and the date of receipt of the final report. (T-0)

3.12.1.4.2. SAF/IGQ will report the allegation to DIG (DIEM) within 15 calendar days

of initial wing, delta, or servicing IG notification.

3.12.1.4.3. The report to SAF/IGQ and DIG (DIEM) must include, at a minimum, the

unique identification code for the allegation; the name of the commander, servicing

legal office, or other authority that received the final report of the investigation or

inquiry for action (including contact information); the date of the final report; and the

date of receipt of the final report. (T-0)

3.12.1.5. Upon final determination of whether any allegation described in paragraphs 8

through 10. of Enclosure 3 to DoDI 1325.06. was substantiated, commanders or their

civilian equivalents, servicing legal offices, or other appropriate approval authorities shall

notify the appropriate IG office within 15 calendar days (30 calendar days for ARC

officials) of a final determination of whether an allegation is substantiated. (T-0)

3.12.1.5.1. IG offices receiving these allegations will electronically transmit the

notification to SAF/IGQ within seven calendar days. (T-0) The report to SAF/IGQ

must include, at a minimum, the D-CATSe number for the allegation; the name of the

military commander, servicing legal office, or other authority that assessed the

allegation was substantiated (including, if possible, contact information); the date that

the allegation was deemed substantiated; and the date of receipt of the determination

of whether a service member engaged in a prohibited activity under paragraphs 8

through 10. of Enclosure 3 to DoDI 1325.06. (T-0)

3.12.1.5.2. SAF/IGQ will report the allegation to DIG (DIEM) within 15 calendar days

of initial wing, delta, or servicing IG notification.

3.12.1.6. Commanders and their civilian equivalents will notify the appropriate wing,

delta, or servicing IG of any resulting action taken against a service member (including

judicial, disciplinary, adverse, or corrective administrative action, mitigation resulting

from insider threat reporting, or counseling), to include no action (as the case may be), of

62 DAFI90-301 4 JANUARY 2024

such actions (or non-action), within 15 calendar days (30 calendar days for ARC officials)

of a final decision. (T-0)

3.12.1.6.1. IG offices receiving these notifications will electronically transmit the

decision to SAF/IGQ within 7 calendar days. (T-0) The report to SAF/IGQ must

include, at a minimum, the D-CATSe number for the allegation, and whether any action

was taken against a service member. (T-0) If action was taken against the service

member, the transmission should also include the type(s) of action taken, and in the

case of an administrative separation or judicial action, the basis for the action (i.e., the

specific policy or Uniform Code of Military Justice (UCMJ) article violated), the

sentence or decision reached (i.e., acquittal or conviction and sentence, retention or

separation and characterization of discharge, etc.) and contact information for the

servicing legal office. If no action was taken despite a finding that an allegation was

substantiated, the transmission should explain the reasons why no action was taken.

3.12.1.6.2. SAF/IGQ will then report the disposition to DIG (DIEM) within 15

calendar days of initial wing, delta, or servicing IG notification.

3.12.2. Quarterly Reports. SAF/IGQ will submit quarterly reports to Office of the Under

Secretary of Defense for Personnel and Readiness (OUSD(P&R)) and the Office of the Under

Secretary of Defense for Intelligence and Security (OUSD(I&S)) within 30 calendar days of

the end of each quarter of the fiscal year. Attachment 6 describes the required elements for

each quarterly report.

3.13. Other Agencies and Grievance Channels. DoD and Department of the Air Force policy

mandate the use of specialized investigative agencies or procedures for certain types of complaints

made against non-senior officials. In these cases, complainants should be advised of the

appropriate agency which can address their complaint. Table 3.7 assists IGs in determining if a

complaint belongs in other channels. Also see DAFCRPSG Attachment 27, Common Personnel

Actions and Applicable Standards as a reference for many personnel issues.

Table 3.7. Other Agencies and Grievance Channels.

Type of Issue

Appropriate Agency to Resolve the Issue

Appropriated Fund employees

Conditions of employment (personnel

policies, prohibited personnel

practices, and matters affecting

working conditions)

Equal Employment Opportunity (EEO)

issues (discrimination based on age,

The servicing Civilian Personnel section for action

IAW civilian grievance system (either

Administrative IAW DODI 1400.25-V771_AFI 36-

706, DoD Civilian Personnel Management System:

Administrative Grievance System or negotiated IAW

locally negotiated agreements) (T-0)

DAFI90-301 4 JANUARY 2024 63

race, color, sex, religion, disability,

national origin, genetic information;

sexual harassment; retaliated against

for opposing discrimination; or for

participating in a protected activity)

For allegations of civilian reprisal

under 5 USC § 2302(b) against a civil

service employee or applicant.

For allegations of civilian restriction

EEO Complaints should be assists/referrals to the

local EO Director for processing IAW DAFI 36-

2710, Equal Opportunity Program.

For allegations of civilian reprisal, direct the

complainant to DoD Hotline

(www.dodig.mil/hotline).

For allegations of civilian restriction the

complaint will be addressed as an abuse of

authority IAW paragraph 6.3.3. DoD IG will

not accept complaints of civilian restriction.

Nonappropriated Fund employees

Conditions of employment

(personnel policies, practices, and

matters affecting working conditions)

Equal Employment Opportunity (EEO)

issues (discrimination based on age,

race, color, sex, religion, disability,

national origin, genetic information;

sexual harassment; retaliated against

for opposing discrimination; or for

participating in a protected activity)

For allegations of civilian reprisal

under 10 USC § 1587 against a

nonappropriated fund employee or

applicant

For allegations of civilian restrictions

Servicing Nonappropriated AF Employment Office

for conditions of employment.

For discrimination, complaints should be

assisted/referred to the local EO Director for

processing IAW DAFI 36-2710, Equal Opportunity

Program.

For reprisal allegations, advise the complainant he

or she can file their complaint directly with IG DoD

(IAW DoDD 1401.03, DoD Nonappropriated Fund

Instrumentality (NAFI) Employees Whistleblower

Protection).

For allegations of civilian restriction the complaint

will be addressed as an abuse of authority IAW

paragraph 6.3.3.

ANG Statutory tour program issues

National Guard Bureau, Human Resources

(NGB/HR) -- See ANGI 36-6, The Air National

Guard Statutory Tour Program Policies and

Procedures

64 DAFI90-301 4 JANUARY 2024

ANG Active Guard/Reserve (AGR)

issues

National Guard Bureau, Manpower and Personnel

(NGB/A1) -- See ANGI 36-101, The Active

Guard/Reserve(AGR) Program

ANG incapacitation benefit program

Command -- DAFI 36-2910, Line of Duty

Determination (LOD), Medical Continuation

(MEDCON) and Incapacitation (INCAP) Pay

ANG Administrative demotions

Command -- DAFI 36-2502, Enlisted Airman

Promotion and Demotion Programs

ANG enlistment/reenlistment issues

Command -- DAFMAN 36-2032, Military

Recruiting And Accessions

ANG enlistment/reenlistment issues

Command -- AFI 36-2606, Reenlistment &

Extension of Enlistment in the USAF

ANG retention matters

Command -- ANGI 36-2651, Air National

Guard Selective Retention Review Boards;

ANGI 36-2602, Air National Guard Retention

Programs

National Guard Military Technicians

(Excepted Civil Service under Title 32

United States Code Section 709)

State Human Resources Office (HRO)

Air Force Reserve assignment matters

Air Reserve Personnel Center (ARPC)-- DAFI 36-

2110, Total Force Assignments

Equal Opportunity Issues

Local EO Director -- DAFI 36-2710, Equal

Opportunity Program. For Title 32 ANG refer to

Chief National Guard Bureau Manual 9601.01,

National Guard Discrimination Complaint

Process.

Administrative Separations

Local Military Personnel Section (MPS) -- DAFI

36-3211, Military Separations.

Equal Opportunity in off-base housing

The Housing Referral Office -- DAFPD 32-60,

Housing

Landlord or tenant disputes

Command -- DAFI 32-6000, Housing Management

Privatized Housing

Housing Helpline – 1-800-482-6431

Claims against the Government

SJA -- AFI 51-306, Administrative Claims For And

Against The Air Force

Correction of military records

AFPC and Virtual Military Personnel Flight

(vMPF) web sites for appropriate processing via

Air Force Board for the Correction of Military

Records -- per DAFI 36-2603, Air Force Board for

Correction of Military Records (AFBCMR)

DAFI90-301 4 JANUARY 2024 65

Appeal of an Officer Performance

Report (OPR), Enlisted Performance

Report (EPR), or Promotion

Recommendation Form (PRF)

AFPC and vMPF web sites for appropriate

processing via Evaluation Reports Appeal Board

(ERAB) -- per DAFI 36-2406, Officer and

Enlisted Evaluation Systems

Support of Dependents and Private

Indebtedness

Subject’s commander-- DAFI 36-2906, Personal

Financial Responsibility

Airmen Powered by Innovation

(Formerly “The Air Force Innovative

Development through Employee

Awareness (IDEA) Program”)

Local API POC -- AFI 38-402, Airmen Powered

by Innovation and Suggestion Program.

Change to an Instruction/Regulation

or current policy guidance

Appropriate AF OPR -- DAFMAN 90-161,

Publishing Processes and Procedures

LOC, LOA, or LOR (other than

discrimination/reprisal)

Command (military or civilian) or Area Defense

Counsel (ADC) (military)

Punishment under UCMJ (courts-

martial, Article 15 non-judicial

punishment)

Command or ADC; For ANG refer to NGB-

JA -- DAFI 51-201, Administration of

Military Justice, DAFI 51-202, Nonjudicial

Punishment

ANG: Punishment under the State

Code of Military Justice

State Staff Judge Advocate (SJA)

Article 138 of the Uniform Code of

Military Justice (Complaint of Wrongs)

ADC -- AFI 51-505, Complaints of Wrongs Under

Article 138, Uniform Code of Military Justice

Hazardous Working Conditions

(unsafe or unhealthy)

Command – DAFMAN 91-203, Air Force

Occupational Safety, Fire, And Health Standards

and local Ground Safety Manager

Elimination from AETC Training

If elimination authority is Group CC or lower,

next higher CC. If elimination authority is the

Wing CC, transfer to Air Force Education and

Training Command, Inspector General

(AETC/IG)

Elimination from other

MAJCOM/FLDCOM training courses

Appropriate MAJCOM/FLDCOM

Medical Treatment/Provision or

Quality of Care

Transfer to DHA

TRICARE Complaints

MTF CC/director and/or DHA

Medical Readiness

Retain in Department of the Air Force CRP and

refer to MTF CC/Director as required

Issues involving sexual orientation

66 DAFI90-301 4 JANUARY 2024

Misuse or abuse of government

vehicles

Base Transportation -- AFI 24-302, Vehicle

Management

Unprofessional Relationships/Adultery

Command -- AFI 36-2909, Professional

Relationships and Conduct

Discrimination

EO -- CNGBM 9601.01, National Guard

Discrimination Complaint Process, local EO

Director, DAFI 36-2710, Equal Opportunity

Program

Allegations regarding non-AF

organizations or agencies

Specific agency or service IG or to DoD Hotline

Allegations of reprisal where DoD

contractors are the complainant

IG DoD (Reference paragraph 5.3.3)

Allegations against Military Attorney

regarding professional responsibility

MAJCOM/JA or FLDCOM/JA or AF/JAX

(AF/JAX when a conflict of interest in

MAJCOM/JA or FLDCOM/JA)

Anti-Deficiency Act violations

Local CPTS or FM

Commander-Directed Investigation

(CDI)

Command for CDI process issues. Command or

ADC for CDI corrective action

Acquisition Issues

Issuing contract unit, Air Force Contracting

(SAF/AQC), or Program Executive Office (PEO)

Intelligence Oversight

DAFI 90-301, Table 3.6, Rule 13, AFI 14-404,

Intelligence Oversight

Health Insurance Portability and

Accountability Act (HIPAA)

Issues

MTF HIPAA Privacy Office or DHA Privacy and

Civil Liberties Office

Privacy Act complaints

Base Privacy Act Officer -- AFI 33-332, Air Force

Privacy and Civil Liberties Program

Civil Air Patrol (CAP)

Transfer to Air Force District of Washington,

Inspector General (AFDW/IG) for referral to

Assistant Secretary of the Air Force, Manpower and

Reserve Affairs (SAF/MR) for CAP corporation and

policy issues

Security Violations

Base Information Protection Office, Unit Security

Manager

Contract Issues

Servicing Contracting Office

Improper Mental Health Evaluation

(Unless alleged in reprisal)

Command

Presidential Policy Directive 19

Protecting Whistleblowers with Access

to Classified Information

IG DoD Hotline

DAFI90-301 4 JANUARY 2024 67

Alleged Law of War (LOW)

JA IAW AFI 51-401, The Law of War

Trafficking in Persons

Local AFOSI or AFOSI/IG

Hazing and Bullying

(See DoDI 1020.03 Harassment and

Prevention Response in the Armed

Services)

Indebtedness to the AF

AF Remissions Board -- Applies to all current and

former members of the Regular Air Force, Space

Force, Air Force Reserve, and Air National Guard

whose debts were incurred while on active duty.

DAFI 36-3034, Remission of Indebtedness.

Members apply through servicing Financial

Services Offices

Deny or revoke security clearance

Personnel Security Appeal Board (PSAB) --

Adjudicates appeals of security eligibility/clearance

withdrawals by the AFCAF (Air Force Central

Adjudication Facility). The PSAB determines if the

appellant should have their eligibility reinstated or

if their appeal should be denied. Individuals appeal

IAW DoDM 5200.02_AFMAN 16-1405, Air Force

Personnel Security Program Management (T-0)

Fitness Assessment records errors

Fitness Assessment Appeals Board--Individuals

notify Unit Fitness Program Manager IAW

DAFMAN 36-2905, Department of the Air Force

Physical Fitness Program (T-1)

Medical Evaluation Board

Air Force Office of Disability Counsel – ODC

(AF/JAJO), and MDG Physical Evaluation Board

Liaison Officer (PEBCO) office

Hatch Act Violations

Consult with JA

Anti-Lobbying Violations

Refer to AFOSI

Note 1: Table 3.7 is not all-inclusive.

Note 2: If a complainant has an issue identified in column A, the IG will assist the complainant

by putting him or her in contact with the agency most appropriate to help them solve his or her

issue or refer the issue to the appropriate agency.

Note 3: When the subject is a senior official, process the complaint IAW Chapter 8 and Table

8.1.

68 DAFI90-301 4 JANUARY 2024

Note 4: If the complaint does not concern reprisal or restriction and is not in Table 3.7, the

complainant or complaint should normally be directed to command channels.

Section 3D—Step 3: Tasking: Transfer, Assist, Refer, Dismiss, or Investigate (≤ 5 Days)

3.14. Transferring a Complaint. A complaint is transferred when the complaint analysis

discloses that the matter is appropriate for Department of the Air Force IG action, but an IG other

than the one receiving the complaint should handle the matter. IGs will comply with the

requirements of Table 3.8 and paragraph 3.15 concerning the transfer of complaints to other IGs.

(T-1).

Table 3.8. When to Transfer A Complaint to Another Department of the Air Force IG

(T-1)

If…

And…

Then…

The complaint has not been

addressed at the level where

the alleged misconduct

occurred

The higher-level IG

determines transfer to the

lower-level IG is appropriate

and no evidence of bias by

lower-level IG exists

Transfer the case to the

lower-level IG.

The complaint presents a

conflict of interest for the

appointing authority or IG

Transfer the complaint to the

next higher-level IG. When

transferring a case, always

transfer to agency (NAF,

MAJCOM/FLDCOM or

SAF) group box.

The subject is the IG’s

commander or vice wing

commander

Transfer the complaint to the

next higher-level IG. When

transferring a case, always

transfer to agency (NAF,

MAJCOM/FLDCOM or

SAF) group box.

The subject is an IG or an IG

staff member

The allegations are regarding

IG specific duties (e.g.,

violation of DAFI

90-301)

Transfer the complaint to the

next higher-level IG. When

transferring a case, always

transfer to agency (NAF,

MAJCOM/FLDCOM or

SAF) group box.

The subject is an IG or an IG

staff member

The allegations are regarding

professional conduct as an

officer or non-commissioned

officer (e.g., DUI,

inappropriate relationship)

Transfer the complaint to the

next higher-level IG for

referral to command. When

transferring a case, always

transfer to agency (NAF,

DAFI90-301 4 JANUARY 2024 69

MAJCOM/FLDCOM or

SAF) group box.

The subject is assigned to

AFOSI or the issue is related

to AFOSI

The complaint is received by

any IG other than SAF/IGQ

Transfer the complaint to

AFOSI/IG via

MAJCOM/FLDCOM,

NGB, NAF, or DRU.

The subject is assigned to a

higher-level of the Air Force,

Space Force or

MAJCOM/FLDCOM other than

the IG receiving the complaint,

or deployed

The alleged wrong happened

in a unit under the other

MAJCOM/FLDCOM or

higher IG’s jurisdiction

Transfer the complaint

IAW Table 3.9 to the IG

at the same level and

command as the subject or

where the alleged wrong

happened. Coordinate

with SAF/IGQ to direct

solution if there is

disagreement between

offices.

The complainant is

assigned to the host wing, a

tenant unit, or is

anonymous/third-party

The subject (person,

process, or agency) is

assigned to the host wing

The host IG will process the

complaint and oversee or

conduct the investigation (if

required).

The complainant is

assigned to the host wing, a

tenant unit, or is

anonymous/third-party

The subject (person, process

or agency) is assigned to a

tenant unit

Follow the guidance in

paragraph 1.18.13.

3.15. Procedures for Transferring a Complaint. Use the procedures in Table 3.9 to transfer a

complaint. (T-1)

Table 3.9. How to Transfer a Complaint (T-1).

Step

Action

Conduct a complaint analysis to determine if the complaint should be transferred to

another IG. Do not make any notifications regarding reprisal or restriction or officer

adverse information reporting. These notifications will be done by the receiving IG.

Ensure all documents attached to the ACTS case file are properly marked IAW

paragraph 3.2 and paragraph 10.3.

Coordinate a complaint transfer with the appropriate IG explaining the rationale for

transfer telephonically or via email before initiating transfer. If the transferring and

receiving IGs do not agree whether a transfer is appropriate, elevate the case to the

MAJCOM or FLDCOM IGQ office(s) for resolution.

Notify the complainant of the transfer in writing and attach the response in ACTS.

Transfer case file to receiving IG office through the applicable MAJCOM/FLDCOM,

JFHQ, NAF, or DRU IG. Transfers must be accomplished in ACTS.

70 DAFI90-301 4 JANUARY 2024

If the complainant expresses concern about bias at a lower-level, advise him/her of the

right to appeal the lower-level IGs finding and the fact that the higher-level IG oversees

the action of lower-level IG.

Document the case IAW paragraph 3.11.2 in ACTS as a “Transfer” and take

other actions needed to ensure the ACTS record is transferred to the appropriate

IG office. The IG office which resolves the issue will close the case in ACTS at

the appropriate time.

3.16. Procedures When Another Appeal or Grievance Channel Exists. When a member has

a complaint or appeal regarding adverse actions for which law and/or regulation provide a specific

means of redress or remedy, IGs will advise the complainant of those other redress or appeal

channels as provided for by the specific law or regulation. (T-3) Dissatisfaction with the outcome

of an appeal is not sufficient basis for an IG inquiry. For complaints that are not appropriate for

the IG CRP see Tables 3.10, 3.11, 3.12, 3.13 or 3.14. (T-1)

3.16.1. IGs will assist or refer complaints when they fall under the purview of another office

or agency, or when they are covered by other directives with established grievance channels

IAW paragraphs 3.18 and 3.20. (T-3)

3.16.2. If the member alleges the appeal process was improperly or prejudicially handled, and

has no other means of redress, the complainant may enter a complaint of mishandling under

this instruction for IG complaint analysis which may result in referral to the process owner.

3.17. Assisting a Complainant. The purpose of assistance is to quickly resolve complainant’s

issues and allow him or her to refocus on the assigned mission. Assistance involves providing

information to complainants that allows them to address their concerns quickly with an appropriate

outside agency or grievance channel. IGs may facilitate the process by making phone calls, asking

questions of functional experts, soliciting helpful information from an appropriate organization or

agency, or putting the complainant in contact with the person, organization, or agency that can

appropriately address the problem IAW Table 3.7., Note 2. (T-0) Table 3.10 explains when and

how to assist a complainant. Do not disclose the identity of the complainant to the complainant’s

command or supervision chain during assistance process without the complaint’s consent;

disclosure of the complainant’s identity to other neutral helping agencies such as EO, SARC, JA,

etc. is authorized if needed to facilitate assistance.

3.18. Procedures for Assisting a Complainant. Use the procedures in Table 3.10 to assist a

complainant. (T-3)

Table 3.10. How to Assist a Complainant (T-3).

Step

Action

Discuss concerns/issues with the complainant.

Conduct a complaint analysis to determine if the complaint can be appropriately handled

through assistance.

Document the complaint analysis using the complaint analysis documentation letter

(DAFCRPSG Attachment 1) and attach the document to the ACTS case file or

document the analysis in an ACTS case note (include all appropriate information as

referenced in DAFCRPSG Attachment 1).

DAFI90-301 4 JANUARY 2024 71

Advise the complainant that the IG can assist the complainant in resolving their

concerns and provide them the appropriate agency contact information from Table 3.7.

If the complainant is not comfortable independently contacting the appropriate agency

the IG can make phone calls or other contacts to provide the complainant with assistance

needed.

Document the case IAW paragraph 3.11.2 in ACTS as an “Assist,” inform

complainant, record appropriate information, and close the case once it is clear the

complainant’s issue is resolved.

3.19. Referring a Complaint. When the complaint analysis determines an organization or

agency outside the Department of the Air Force IG can more appropriately handle a complaint

alleging a violation of instruction, policy, or procedure, IGs may refer the complaint to the

appropriate organization or agency following the procedures described in Table 3.12 and

paragraph 3.20. When referring complaints, IGs will include the Referral Completion Report

template (see DAFCRPSG Attachment 21) with the complaint, and complainant response template

(see DAFCRPSG Attachment 28). (T-1) The organization receiving the referral will respond to

the complainant, complete the Referral Completion Report, and return it to the IG within 60 days

of receipt along with a courtesy copy of any written response to the complainant. (T-1) The

Referral Completion Report is an IG record, regardless of which office writes the report.

3.19. 1. Ensure Referral Completion Reports include all required information contained in

DAFCRPSG Attachment 21. (T-1)

3.19.2. Attach completed Referral Completion Reports and agency response to complainant

in ACTS under ”Disposition/Resolution Documents.” (T-1)

Table 3.11.

If…

Then…

The complaint is appropriate for another

agency or grievance channel

Refer the complaint and the Referral

Completion Report template to the office

having functional responsibility.

The complaint is a command issue (i.e.,

financial irresponsibility, adultery, etc.)

Refer the complaint and the Referral

Completion Report template to the appropriate

commander.

3.20. Procedures for Referring a Complaint. Use the procedures in Table 3.12 to refer a

complaint, and DAFCRPSG Attachment 4 for a sample referral letter, but do not attach the IG’s

complaint analysis. (T-1)

Table 3.12. How to Refer a Complaint (T-1).

Step

Action

Conduct a complaint analysis to determine if the complaint should be handled by

another agency or grievance channel.

72 DAFI90-301 4 JANUARY 2024

Document the complaint analysis IAW paragraph 3.11.2 (see DAFCRPSG

Attachment 1 for example) and attach the document to the ACTS case file. The

analysis may also be documented in an ACTS case note (include background, issue,

analysis and resolution path).

Notify the complainant of the intent to refer the complaint and, if not already indicated

on the DAF Form 102, request permission from the complainant to provide his or her

name and contact information to the referral agency. If the complainant refuses

permission, inform the complainant that in certain cases, release of his or her personal

information is integral to resolution of the complaint and communications between the

complainant and the referral agency may be necessary to arrive at a desired outcome.

Do not mark the ACTS case complainant tab as anonymous just because the

complainant has not consented to release of his or her personal information. At no time

should a complainant’s identity be released to a referral agency without the

complainant’s permission, unless the Inspector General determines such disclosure is

unavoidable during the course of the investigation and/or complaint analysis. It is

highly encouraged that this permission is received in writing (e.g., a letter, email or

check box on DAF Form 102).

For all complaints, refer the complaint (e.g., DAF Form 102, DoD Hotline, etc.), in

writing, to the appropriate agency, grievance channel or commander (Note 1) at least one

level above the highest ranking responsible management official (RMO), to ensure an

independent and objective review. If there is any potential or perceived conflict of

interest, it is imperative the complaint is referred to the appropriate level of command or

agency, well above the perceived conflict interest. Use the Sample Referral

Memorandum, DAFCRPSG Attachment 4. DO NOT attach the Complaint Analysis, but

share enough IG analysis to the referred agency to ensure an accurate assessment and

review of the referred situation will be addressed by the referral agency. Redact

portions of the complaint that do not directly apply to the referral action. Redact the

complainant’s identity if the complainant has not given permission for the release (see

Step 3 of this table). Instruct the referral office, agency or commander that they may not

divulge complainant identity to any office or individual other than minimum necessary

to address the complainant's matter. Include a copy of the Referral Completion Report

template, DAFCRPSG Attachment 21 and Complainant Response Template,

DAFCRPSG Attachment 26. Referral Completion Reports are not included when

referring complaints to EO or AFOSI. See Chapter 9 when referring DoD Hotlines.

Notify the complainant, in writing, of the referral.

If the complainant provided consent, direct the referral agency to provide the

complainant with a final response explaining the resolution of the issue. Direct the

referral agency to provide you a copy of the finished Referral Completion Report, and

a courtesy copy of any written closure response to the complainant for your case file.

IGs will follow up with the referral agency if a closure response has not been received

within 60 days.

DAFI90-301 4 JANUARY 2024 73

Document the case in ACTS as “Refer,” and record appropriate information. If the

referral results in the investigation of an officer, ensure SAF/IGQ is notified IAW

paragraph 7.5. Additionally, if an officer is the subject in an investigation,

monitor/track the case until completion and collect a copy of any ROI, legal review,

command action, rebuttal to the command action for all officer IAW Table 7.1 and for

any substantiated findings against any other subject, including enlisted or civilian.

Additionally, commanders must provide all completed CDI ROIs to the local IG for

retention, regardless of rank or finding. When a copy of the Referral Completion

Report and other documents as required by Table 7.1 are provided to the IG, close the

case in ACTS (Note 2). For referrals to EO or AFOSI, after confirming EO or AFOSI

has accepted the case, make a case note and close the case.

Note 1: Referrals should not normally be made below squadron/detachment commander or

agency head levels.

Note 2: If the complainant notifies the referring IG that he/she did not receive a final response

from the referral agency, the IG should follow-up to ensure the referral agency received the

complaint and provided a response to the complainant. Responses will not be sent to anonymous

or third party complainants. For complainants who do not consent to release of their identity, the

IG will obtain the referral agency response and forward to the complainant.

3.21. Dismissing a Complaint. A complaint may be dismissed following a thorough complaint

analysis if there is no assertion or evidence of a standard being violated or when the complaint

falls under one of the rules in Table 3.13. Tables 3.13 and 3.14 help IGs determine when and how

to dismiss a complaint.

Table 3.13. When to Dismiss a Complaint (T-1).

If…

And…

Then…

If the complaint analysis

reveals the complainant has not

brought forth credible evidence

of a violation of law,

instruction, regulation, or

policy

Dismiss the complaint.

The complaint is appropriate

for another agency or grievance

channel

The complainant has

exhausted procedural

appeals with the

administrative process and

there is no evidence of a

process problem

Dismiss the complaint.

74 DAFI90-301 4 JANUARY 2024

Timeliness of complaints. The

complainant did not contact the

IG within 90 days of learning of

the alleged misconduct, one

year of learning of the alleged

misconduct for reprisal

complaints. There is no time

limit for restriction

complaints.(see paragraphs

2.5.1 and 2.5.2)

An evaluation of

timeliness is fact-

dependent, taking into

account factors such as

whether there is a known

complainant, the

specificity of the

allegation, how long the

complainant has known

about the alleged

misconduct, the ability to

conduct a focused

investigation, etc. If the

IG determines: (a) there

are no extraordinary

circumstances justifying

the delay; and/or (b) there

is no special AF interest in

the matters alleged; and (c)

given the nature of the

alleged wrong and the

passage of time, there is a

reasonable probability that

insufficient information

can be gathered to make a

determination

Dismiss the complaint.

(Note 1)

The complainant refuses to

provide sufficient evidence to

properly conduct the complaint

analysis

The complainant fails to

respond to requests for

additional information after

three attempts to contact

them within 10 calendar

days

IGs will document contact

attempts via case notes and

dismiss the complaint.

The complainant files a

concurrent complaint under

Article 138, UCMJ (Note 2)

The Article 138 complaint

addresses the same non-10

USC § 1034 matters

addressed in the IG

complaint (NOTE-10 USC

§ 1034 issues cannot be

addressed using Art 138

and must be addressed in

the IG CRP)

Dismiss the IG complaint.

DAFI90-301 4 JANUARY 2024 75

After completing a thorough

complaint analysis, the IG

determines the complaint

cannot be referred and is:

without merit; or that an IG

investigation would not

appreciably affect the outcome

or remedy sought (Note 3)

Dismiss the complaint.

Complainant requests higher

level review of previously

adjudicated IG complaint

action

The complainant provides no

new evidence or information

that justifies further

investigation

Dismiss the complaint.

The complainant requests to

withdraw the complaint

There is no overriding

Department of the Air Force

interest in the complaint

Dismiss the complaint.

Complainant concurrently filed

the same claim/complaint with

another non-IG grievance

channel and that complaint

remains active/open

The complaint is NOT a 10

USC § 1034 issue. See

paragraph 5.4.8. for 10

USC 1034 reprisal and

paragraph 6.4.6. 10 USC §

1034 restriction

Dismiss the complaint.

The complainant has a history

of presenting patterns of issues

or allegations that are false,

baseless, malicious, deceptive,

defamatory, improbable, or

previously addressed as

baseless, not substantiated, or

not appropriate for the

Department of the Air Force IG

System

The issues or allegations

were previously addressed as

unfounded, not substantiated,

or not appropriate for the

Department of the Air Force

IG System

Dismiss the complaint.

Note 1: The most important consideration before dismissing a complaint based on the time

requirement established in paragraph 2.5.2 is the potential to gather sufficient information to

determine the facts and circumstances surrounding the alleged misconduct. With the passage of

time, it becomes increasingly difficult to gather relevant evidence, testimony, and information

for many reasons. For example, it may be difficult or impossible to collect relevant witness

testimony if the witnesses have moved, retired, or died. In addition, as time passes, witnesses’

memories may fade and documents are destroyed when their retention periods expire. The IG

may dismiss a complaint if, given the nature of the alleged wrong and the passage of time, there

is reasonable probability insufficient information can be gathered to make a determination.

However, if it is possible to gather sufficient information, a further analysis may be warranted.

76 DAFI90-301 4 JANUARY 2024

Note 2: Do NOT dismiss the complaint when there is an allegation of reprisal or restriction and

conduct the appropriate CRP actions without delay.

Note 3: See definition of complaint without merit in Attachment 1.

3.22. How to Dismiss a Complaint. Follow the procedures in Table 3.14 to dismiss a complaint.

(T-1)

Table 3.14. How to Dismiss a Complaint (T-1).

Step

Action

Conduct a complaint analysis to determine if the complaint should be dismissed.

Prepare a complaint analysis letter and supporting decision documents IAW

paragraph 3.11.2, then attach the documents to the ACTS case file. Use the

complaint analysis documentation (DAFCRPSG Attachment 1) For cases involving

reprisal or restriction; follow the guidance in Chapter 5 or 6 as appropriate. For

cases not involving reprisal or restriction, the analysis may also be documented in

an ACTS case note (include all appropriate information as referenced in

DAFCRPSG Attachment 1).

For issues of reprisal or restriction, refer to Chapters 5 or 6, respectively.

Notify the complainant in writing of the dismissal ensuring the rationale for the

dismissal is clearly communicated. Upload the PDF document to the case

“Disposition/Resolution Document. For issues of reprisal or restriction, the

MAJCOM, FLDCOM IGQ or NGB will notify the complainant once IG DoD has

approved the AF recommendation to dismiss.

Advise the complainant of his/her right for reconsideration by the next higher-level IG

and Air Force Board for the Correction of Military Records (or other appeal channels), if

applicable.

Document the case in ACTS as a “Dismiss,” record appropriate information, and close

the case.

DAFI90-301  4 JANUARY 2024  77 
Chapter 4 
IG INVESTIGATIONS 
Section 4A—Procedures for Initiating an Investigation 
4.1.  Overview.  This  chapter  instructs  IGs  at  every  organizational  level  how  to  manage  and 
conduct  IG  investigations  and  discusses  the  investigation  lifecycle  from  complaint  analysis 
through resolution.  The Department of the Air Force endorses a proactive oversight and follow-
up system that achieves the high program standards described in the Council of the Inspectors 
General on Integrity and Efficiency (CIGIE) Quality Standards for Investigations (QSI). 
4.1.1.  All IG investigations are conducted IAW  Chapter 4, or  Chapter 5 in the case of 
reprisal, or Chapter 6 in the case of restriction, as well as other applicable laws and regulations 
concerning  the  specific  allegations.  (T-1)  Investigations  involving  allegations  of  IG 
misconduct must be completed IAW this chapter.  (T-1) 
4.1.2.  IG investigations are administrative in nature--they are fact finding rather than judicial 
proceedings.  Preponderance of the evidence is the standard of proof.  It is preferred that IG 
investigations be conducted by investigating officers assigned as members of an IG office. 
4.2.  Investigating  a  Complaint.  Appointing  authorities  can  direct  an  IG  investigation  into 
allegations within their authority, with the understanding that the investigation will follow the 
procedures outlined in this instruction and the investigation will be an IG record.  (T-1) 
4.2.1.  An IG will investigate a complaint when a properly framed allegation is derived from 
the issues asserted or implied by the complainant and the IG determines that there is sufficient 
evidence  collected  during  complaint  analysis  which  indicates  that  an  investigation  is 
warranted. (T-1) 
4.2.2.  Not all matters are appropriate for the IG, nor are all matters relevant to the Department 
of  the  Air  Force.    Most  Department  of  the  Air  Force  processes  have  embedded  appeal 
procedures that provide complainants with due process, and should be used as the best avenue 
for resolution.  Table 3.7 outlines matters that are not appropriate for the IG to investigate.  
The complaint must be timely to ensure information is available to support the investigative 
process. 
4.2.3.  Refer to Table 4.1 when initiating an IG investigation. (T-1) 
4.3.  Procedures for Conducting Investigations.  The decision to conduct an IG investigation 
will only be made after completing a thorough complaint analysis of all issues presented.  (T-1)  
IG  investigations  are  performed  to  address  complaints  by  checking  records,  correspondence, 
reviewing applicable instructions, examining material evidence, and interviewing the complainant, 
subject(s), expert witnesses, and persons having direct knowledge of the matter.  IAW paragraph 
4.6., Procedures for Appointing an Investigating Officer, all investigations require an appointment 
letter from the appointing authority. 
4.4.  Procedures  for  Tasking an Investigation.  Use  the procedures  in  Table 4.1  to  task an 
investigation. (T-1) 

78 DAFI90-301 4 JANUARY 2024

Table 4.1. How to Task an Investigation (T-1).

Step

Action

Using a complaint analysis, determine if the issues raised by the complainant warrant an

IG investigation. When an investigation is warranted the complaint analysis will

determine which issues are to be investigated and properly frame allegations for each.

IGs shall consult with JA to ensure that all allegations clearly and concisely identify the

complainant's assertions as specific violations of law, regulation, procedure, standard, or

policy. The appointed IO will use the framed allegations verbatim when conducting the

investigation.

Prepare and forward a complaint analysis document and supporting decision

documents to the appointing authority.

The appointing authority reviews the complaint analysis and supporting material to

determine whether an investigation is warranted. If a non-IG appointing authority

declines the IG’s recommendation to initiate an IG investigation, transfer the case in

ACTS to the next higher-level IG for review and resolution at the higher-level.

The appointing authority directs an investigation by appointing an IO in writing (see

paragraph 4.7). Any changes, to include additional allegations, must be approved by

the appointing authority. See paragraph 4.12.4.1.

Follow appropriate notification procedures per paragraphs 4.5 and/or 8.2.

The IG places the case in “Under Investigation” status using the “Investigate” action

in ACTS and continues to record appropriate information (e.g., tasking date, etc.) in

ACTS until the case is closed.

4.5. Notification Requirements for Investigations. Table 4.2 describes the notification

requirements when an IG investigation is started. (T-1)

Table 4.2. Notification Matrix for Investigations. (Complaint Analysis and Investigation

Phases) (T-1)

If in the…

And the…

Then the…

DAFI90-301 4 JANUARY 2024 79

Complaint

Analysis Phase

Complaint

analysis

identified the

need for an IG

investigation

1. Appointing authority directs an investigation by

appointing an IO in writing (see DAFCRPSG

Attachment 6).

2. Appointing authority notifies subject’s

commander in writing of the specific allegations

against the subject. (See DAFCRPSG Attachment

5).

3. Commander notifies subject in writing of the

specific allegations against the subject. (Note 1)

4. IG or IO notifies witnesses.

5. IG notifies complainant.

6. The IG places the case in “Under Investigation“

status using the “Investigate” action in ACTS and

continues to record appropriate information in

ACTS until the case is closed.

7. For cases involving an officer as the subject,

notify SAF/IGQ via MAJCOM, FLDCOM, JFHQ,

NAF, or DRU IG IAW Chapter 7.

Investigation

phase

Investigation is

ongoing

IG provides periodic updates to complainant and

subject per paragraph 4.22. Document in ACTS

under Suspense Tab.

Note 1: Commanders will comply with DAFI 90-5001, Integrated Resilience, when notifying

subjects of the initiation of an IG investigation in which they are a named subject. (T-1)

Section 4B—Step 4: Pre-fact Finding (≤ 5 Days, see Table 3.1)

4.6. Procedures for Appointing an Investigating Officer (IO).

4.6.1. An appointment letter is an IO’s authority to conduct an investigation: swear in

witnesses, collect evidence, and examine/copy documents, files and other data relevant to the

investigation.

4.6.2. An appointment letter is necessary for all investigations, including those conducted by

an IG or IG staff member. (T-1) (Note: Air Force Reserve and Air National Guard IGs may

be appointed to conduct CDIs at installations other than their own.)

4.6.3. An IO is the personal representative of the appointing authority. IOs must be impartial,

unbiased, objective, thorough, and have the availability to complete the investigation. (T-1)

4.6.4. The IO must be equal or senior in grade and rank to the most senior subject and not in

the subject’s chain of command. (T-1) When no IO in the required grade is reasonably

available for appointment, the appointing authority will request a waiver, in writing, from the

MAJCOM IG, FLDCOM IG, Deputy IG, or MAJCOM IGQ. (T-1) MAJCOM IG or

FLDCOM IG is the waiver authority for cases investigated at the MAJCOM or FLDCOM

level and below. The waiver request should describe the measures taken to locate an IO in the

required grade prior to requesting the waiver. If approved, the MAJCOM IG will document

the waiver in writing. Refer to DAFCRPSG Attachment 8 to determine where to place the

document in the case file.

80 DAFI90-301 4 JANUARY 2024

4.6.5. To support IO impartiality and independence, follow either of the two subsequent

paragraphs:

4.6.5.1. There must be at least one level of command between the IO and the complainant,

and there must also be at least one level of command between the IO and person(s) who

are the subject(s) of the allegation(s). (T-0)

4.6.5.2. The IO must be separated by organizational assignment from the complainant, and

the IO must also be separated by organizational assignment from the person(s) who are the

subject(s) of the allegation(s). (T-0)

4.6.6. If necessary, an IO may be verbally appointed; however, a written directive must follow

within three working days. (T-1)

4.6.7. The investigation will be the IO’s primary duty until the report is completed and

approved by the appointing authority. (T-1)

4.6.8. Appointing authorities should not appoint an IO who is retiring, separating, expects

reassignment, or expects deployment within 180 days.

4.7. How to Appoint an Investigating Officer. DAFCRPSG Attachment 6 shows a sample letter

for appointing an IO to conduct an investigation. If the IG assumes the role of the IO, he/she is

also required to be appointed and must receive an appointment letter from the appointing authority.

(T-1) IGs who have been designated as the appointing authority cannot appoint themselves as an

IO. IGs will prepare an investigation plan (see DAFCRPSG Attachment 7 and paragraph 4.9.8)

as the “Directive to the IO” shown as Attachment 1 in the IO appointment letter (see DAFCRPSG

Attachment 6). (T-1) The IO’s appointment and responsibilities expire when the ROI is approved

by the appointing authority or after final higher headquarters approval, whichever is later (see

DAFCRPSG Attachment 6). (T-1)

4.8. Requirements for Investigation Preparation.

4.8.1. IGs will train IOs before they begin an investigation by using this instruction, the Air

Force Inspector General Investigating Officer Overview course, and the SAF/IGQ Guide for

Investigating Officers (IO Guide) available at IGQ Portal Page and SharePoint. (T-1) In

addition, the IG will discuss the investigative requirements and answer questions. (T-1)

4.8.2. IOs must confer with their legal advisor, preferably by meeting in person, before

initiating the investigation. (T-1) The legal advisor will assist the IG in training the IO. (T-1)

4.8.3. IOs must review the allegations and supporting documentation as part of their

investigative preparation. (T-1) All appropriate regulations/directives should be identified

and reviewed.

4.8.4. Based on the review of the allegations, supporting documentation, and applicable

directives, the IG will revise and update the investigation plan (Directive to IO) as necessary.

(T-1) See DAFCRPSG Attachment 7 for a sample investigation plan. This plan will assist the

IO in completing periodic updates and in keeping track of the dates he/she completes the

planned actions.

DAFI90-301 4 JANUARY 2024 81

Section 4C—Step 5: Fact Finding (≤ 21 Days)

4.9. IG Responsibilities. IGs are responsible for managing the investigative process. The IG

must assist the IO in solving investigative challenges while managing the investigation’s quality

and schedule. (T-1) It is the IG’s responsibility to ensure the report of investigation is completed

on time and meets qualitative standards. (T-1) Specifically, the IG:

4.9.1. Must provide the IO an appointment letter from the appointing authority describing the

scope of investigation, authorizing the collection of evidence, and setting the suspense date for

completion. (T-1)

4.9.2. Must provide the IO the complaint analysis, all complainant-provided materials, and the

framed allegations. (T-1) Additionally, the IG must enter all allegations addressed in the ROI

in the subject tab of the ACTS case file. (T-1)

4.9.3. Must verify the IO has completed the Investigating Officer Overview Course (see

paragraph 4.10.1) and train the IO using the SAF/IGQ IO Guide and DAFI 90-301. (T-1) IG

should document training in an ACTS case note.

4.9.4. Must brief the IO on the Hand-Off Procedures. (T-1) See paragraph 4.16.

4.9.5. Must schedule appointments with key support staff including legal and technical

advisors as necessary. (T-1)

4.9.6. Should provide the IO suitable workspace, computers, administrative support, and

technical assistance.

4.9.7. Should review the proposed witness questions and associated rights advisement, if any.

4.9.8. Will prepare an investigation plan (DAFCRPSG Attachment 7) identifying key

milestones, standards, witnesses, evidence, and administrative requirements. (T-1)

4.9.9. May prepare an evidence matrix facilitating evidence collection IAW the DoD IG Guide

to Investigating Military Whistleblower Reprisal and Restriction Complaints.

4.9.10. Has no authority to grant promises of confidentiality to subjects, suspects,

complainants, or witnesses.

4.9.11. Will provide the ROI format. (T-1) See DAFCRPSG Attachments 9 and 10 for

examples of ROI format.

4.10. Responsibilities of IOs. The IO:

4.10.1. Must complete the Air Force Inspector General Investigating Officer Overview

Course, and review the SAF/IGQ Guide for Investigating Officers (IO Guide) available at IGQ

Portal Page and SharePoint. (T-1)

4.10.2. Must advise the appointing authority immediately of any personal relationships or

other factors that may affect his/her impartiality. (T-1)

4.10.3. Must advise the appointing authority if he/she is retiring, separating, expects

reassignment, or expects deployment within 180 days. (T-1)

4.10.4. For ANG: Should be put on continuous orders for 30 days initially to conduct the

investigation. Should continue on orders if the investigation is not complete within 30 days.

(T-3)

82 DAFI90-301 4 JANUARY 2024

4.10.5. Must begin the investigation without any preconceived notions. (T-1) Never take sides

with any party--be impartial, unbiased, and objective. (T-1)

4.10.6. Must investigate the complaint, not the complainant. (T-1) Keep the investigation

focused on the allegations in the complaint and not the person making them. (T-1)

4.10.7. Must interview the complainant first in order to re-clarify the allegations and obtain

specific details to help with the investigation. (T-1)

4.10.8. Must protect information IAW paragraph 3.2 and: (T-1)

4.10.8.1. Will only report the results of the case only to the appointing authority, IG, and

legal advisor. (T-1)

4.10.8.2. Will not comment to any complainant, subject, or other witnesses regarding his

or her opinions, findings, conclusions, or recommendations during or after completion of

the investigation. (T-1)

4.10.8.3. Will not provide copies of testimony to complainants, subjects, or witnesses.

(T-1) If a subject/witness requests case file information, refer them to the appropriate FOIA

office. (T-1)

4.10.9. Shall not grant express promises of confidentiality to subjects, suspects, complainants,

or witnesses. (T-1)

4.10.10. Should not take leave except in emergencies or be involved with activities that would

interfere with the timely completion of the case.

4.10.11. Must consult with the appointing authority and/or supporting IG, legal advisor, and

read all applicable instructions and directives before beginning an investigation. (T-1) Must

consult in advance with legal advisor about the need for rights advisement when applicable.

(T-1)

4.10.12. Should use the SAF/IGQ IO Guide for proper guidance on how to conduct an

investigation. For reprisal or restriction investigations, IOs will reference DoDI 7050.09,

Uniform Standards for Evaluating and Investigating Military Reprisal or Restriction

Complaints. (T-1)

4.10.13. Must inform the IG of any significant changes (e.g., key milestones, standards,

witnesses, evidence, administrative requirements, etc.) to the investigation plan. (T-1)

4.10.14. Must verify the duty status of Air Force Reserve and Air National Guard personnel

(witnesses, subjects, suspects, complainants) at the time of the occurrence and at the time of

any scheduled interviews. (T-1) Consult with legal advisor if questions arise as to the duty

status of the individual.

4.11. Gathering Evidence. Evidence is information that tends to prove or disprove the existence

of a fact. Evidence comes in many forms. It can be written or oral, direct or circumstantial,

relevant or irrelevant, first-person or hearsay.

4.11.1. Documentary Evidence. During the course of investigations IOs normally collect

copies of documents, records, and other physical evidence to aid them in their duties. Assuming

it is authentic, documentary evidence gives the investigator a snapshot in time. One way to

verify the authenticity of a document is to have it identified by its author, especially in the case

DAFI90-301 4 JANUARY 2024 83

of correspondence, personal notes, and computer records. This process is known as

authentication and must be referenced in the final report if the document has been so verified.

(T-1)

4.11.2. Computer Records. Data contained on computer hard drives, local area networks, e-

mail systems, disks, etc., are considered to be documentary in nature but pose special

challenges in accessing. Obtaining access to this information should be coordinated through

the servicing SJA office.

4.11.3. Testimony. The other major form of evidence is presented by a witness in the form of

testimony. Normally, the bulk of evidence during an investigation is collected in this format

and will be discussed separately in this section.

4.11.4. Hearsay. A statement or testimony given by a witness who relates not what he/she

knows personally, but what others have said and is therefore dependent on the credibility of

someone other than the witness. Although IOs may consider evidence obtained as hearsay,

whenever possible, an IO should always try to talk to the actual witness who made the

statement, especially if they are reasonably available and the statement is important.

4.11.5. Privileged Communication. Judge Advocates, to include ANG Judge Advocates, and

Department of the Air Force civilian attorneys represent the Department of the Air Force as it

acts through its authorized representatives. Per AFI 51-110, Professional Responsibility

Program, Rule 1.13, when a Department of the Air Force official, member, or employee acting

within the scope of his or her official duties communicates with a Department of the Air Force

lawyer, the communication is generally protected (but see Title 5 United States Code Section

1212(b)(5)(c)) from disclosure to anyone outside the Department of the Air Force. The

disclosure requirements of 5 USC § 1212(b)(5)(c) do not apply to attorneys acting in their

capacity as defense counsel.

4.12. Interviewing Witnesses. The bulk of evidence collected during IG investigations will

normally come from witness testimony. After properly framing the scope and purpose of the

investigation, the next most important aspect is the preparation of intelligent, well-planned

questions. Effective, cogent interviews can only be accomplished through thorough preparation.

IOs should consult with their legal advisor when formulating interview questions and should

determine whether the legal advisor’s presence during interviews would be beneficial.

4.12.1. A witness’ status will determine how they will be interviewed. (T-1)

4.12.1.1. The complainant is a key witness who must be interviewed first to clarify

allegations and focus the investigation. (T-1) Exception: IOs should interview any SME

or Technical Advisors first so the IO can adequately understand what the complainant is

presenting

4.12.1.2. The subject is equally important since he or she is the one against whom the

allegations have been made. The subject(s)/suspect(s) must be interviewed. (T-1) A

subject should be considered a suspect if, prior to the subject interview, the IO has a

reasonable belief, based on the evidence discovered during the investigation, that the

allegation(s) against the subject will be substantiated by a preponderance of the evidence.

This person should be interviewed last and given an opportunity to respond to the specific

allegations against him/her. Additionally, he or she should be given a reasonable

opportunity to respond to significant adverse information or changes in the investigation

84  DAFI90-301  4 JANUARY 2024 
scope or allegations that may come about subsequent to the subject’s initial interview.  If 
the subject is no longer associated with the Department of the Air Force, every attempt 
must be made to contact him or her to give him or her an opportunity to give his or her side 
of the story.  (T-1) This process is also important to the complainant as a substantiated 
allegation may enable the complainant to correct his or her AF record and become whole 
again.  If a subject/suspect elects not to testify, the IO must not base any findings only on 
the fact the subject/suspect elected not to testify, but must consider all available evidence. 
(T-1) 
4.12.1.3.  Expert witnesses have special knowledge and expertise in a particular subject 
matter.  They may be used  as  consultants  for  background information or as a regular 
witness during the investigation. 
4.12.1.3.1.  Because of their special expertise, their testimony is normally given more 
weight than the testimony of non-experts in their area of specialty. 
4.12.1.3.2.  IOs should not allow the testimony of an expert witness to control their 
final  findings  and  recommendations.    IOs  should  base  their  final  findings  and 
recommendations on all the testimony and facts gathered. 
4.12.1.4.  Character witnesses are people  who  can verify the reputation of a  particular 
person for certain conduct or personality traits, for example, honesty, violence, etc. 
4.12.2.  Regardless of their status, all witnesses in investigations must be sworn.  (T-1)  This 
puts witnesses on notice that the investigation is a serious matter and they are expected to 
testify truthfully.  The IO must: 
4.12.2.1.  For  each  witness  who  is  neither  a  suspect  nor  a  subject,  tailor  the  witness 
interview format outlined in Attachment 2 as appropriate.  (T-1) Use the individually-
tailored witness interview format for each witness interview.  (T-1)  For each subject, tailor 
the subject interview format outlined in Attachment 3 as appropriate and use it for that 
subject’s  interview.    (T-1) For suspect interviews, use the suspect interview format in 
Attachment 4 and guidance in paragraph 4.15.  Provide each witness with a Privacy Act 
Statement found in Attachment 5.  (T-1) 
4.12.2.2.  Advise subjects/suspects they may submit additional relevant information for the 
IO’s consideration within a reasonable time following their interview.  (T-1) 
4.12.2.3.  Electronically record (audio only) all witness testimony to accurately capture 
what was said during the interview.  (T-1)  Advise all witnesses they are not authorized to 
record the interview in any manner.  Witnesses can take notes, but the notes become an IG 
record and cannot be retained by the witness.  At the completion of the investigation, the 
IO must provide all electronic recordings to the IG.  (T-1) 
4.12.2.4.  Transcribe verbatim (word-by-word) the testimony of complainants, subjects, 
and key witnesses for 10 USC § 1034 cases.  (T-1)  At the discretion of the appointing 
authority, summarized testimony may be acceptable in all other cases. 
4.12.2.5.  IO will review transcripts and correct errors/omissions/incomplete statements 
based on firsthand knowledge to provide reviewers the most complete document possible.  
(T-1) 

DAFI90-301  4 JANUARY 2024  85 
4.12.2.6.  Sign all testimony to certify its validity.  Add the following statement to the end 
of the testimony:  ”I certify the above to be a true sworn (or affirmed) testimony given to 
me  on  (date)  at  (place).”    (T-1)  Witnesses  should  also  sign  summarized  testimony 
whenever the witness is reasonably available to do so. 
4.12.3.  For witnesses outside the local area, an IO can either travel to meet and interview the 
witness,  or  interview  the  witness  telephonically/virtually.    If  the  witness  is  interviewed 
telephonically, the IO should make arrangements to verify the witness’ identity.  The appointed 
IO will (when possible) interview all subjects or suspects in person.  (T-1) 
4.12.4.  If a witness’ status changes during the course of an investigation to that of a subject or 
suspect, the witness must be re-interviewed (following the format outlined in Attachment 3 
or  Attachment  4,  as  applicable)  and  given  an  opportunity  to  respond  to  the  suspected 
misconduct or allegations in light of his or her new status.  (T-1) 
4.12.4.1.  The  appointing  authority  will  determine  whether  additional  or  modified 
allegations  will  be  investigated  separately  and,  if  necessary,  expand  the  scope  of  the 
investigation.  If the scope of investigation is expanded, an addendum to the appointment 
letter must be completed.  (T-1)  The IO will take no further action on any additional 
allegation until consulting with the appointing authority and the legal advisor.  (T-1) 
4.12.4.2.  Conduct the proper read-in/rights advisement for a subject/suspect prior to the 
interview/re-interview.  (T-1)  Refer to paragraph 4.15 for further rules regarding rights 
advisement.  The read-in/rights advisement is mandatory.  (T-1) Consult with the legal 
advisor prior to rights advisement.  (T-1) 
4.12.5.  Witnesses  who  are  military  members  or  federal  civilian  employees may refuse to 
testify only if they believe they might incriminate themselves (refer to paragraph 4.16.3.).  If 
self-incrimination is not a concern, witnesses may be ordered/directed by their commander to 
testify.  Further refusal may be the basis for disciplinary action.  Subjects are required to 
participate in the interview process, but may elect to not answer specific questions based on 
self-incrimination.  Suspects, on the other hand, may elect not to participate in the interview 
based on invoking their Article 31 rights. 
4.13.  Persons  Present  During  an  Interview.  A  typical  interview  will  involve  the  IO,  the 
witness/subject/suspect, any technical advisor (if necessary), and the legal advisor (if deemed 
beneficial).  The introduction of any unauthorized party into the process reduces the ability to 
preserve a reasonable level of confidentiality. 
4.13.1.  A suspect has the right to have an attorney present during an interview.  The suspect 
may consult with the attorney during the interview; however, the attorney must not be allowed 
to answer any question for the suspect.  (T-1) 
4.13.2.  When witnesses are considered subjects, they may consult with an attorney prior to 
any interview, and their attorney may be present (but will not answer questions) during the 
interview..  (T-1) 
4.13.3.  Union officials may have the right to be present during interviews per the provisions 
in paragraph 4.14 of this instruction.  (T-1) 
4.13.4.  Victim’s Counsel may be present during interviews of victims who are their client. 

86 DAFI90-301 4 JANUARY 2024

4.13.5. Even if a witness has not been named as a subject/suspect, if an witness has retained

legal counsel and the witness requests their legal be present during the interview, legal counsel

will not be excluded from the interview, but will not answer questions. The IO has no duty to

inform the witnesses of this opportunity unless required by law or service regulation..

4.14. Civilian Employees Represented by Unions. Civilian employees (including non-

appropriated fund employees) may have a right to union representation when interviewed as a

suspect, subject, or witness. This right applies if the employee’s position meets the definition for

inclusion in the collective bargaining unit. The employee's status as a dues paying or non-dues

paying union member has no bearing on his or her right to representation. Additionally, the union

has an independent right to be present during formal discussions (sworn/recorded IG interviews

are considered formal discussions) involving bargaining unit members and if the discussion

concerns a grievance (complaint by a bargaining unit employee about any term or condition of

employment) or personnel policy or practice or general condition of employment. The union must

be notified and given an opportunity to attend whenever such formal interviews will take place.

(T-1) Presence by a union representative is a statutory right meant to protect the interests of the

bargaining unit as a whole, regardless of the employee’s wishes. The union determines who will

represent the union during the interview, not the employee and not the agency. Before

interviewing witnesses, subjects, or suspects represented by unions, consult with the legal advisor

to determine what, if any, rights advisement is required IAW any applicable collective bargaining

agreement.

4.14.1. Weingarten Rights, per the Federal Service Labor-Management Relations Statute

("FSLMRS" or "Statute"), are the rights to union representation for federal civilian employees

who belong to an appropriate bargaining unit. This right arises during interviews with a federal

employee in connection with investigations if: (a) the employee reasonably believes

disciplinary action may be taken against him or her as a result of the interview, and (b) the

employee requests union representation. This right does not apply to management personnel.

4.14.2. FSLMRS does not require an IO to advise an employee of the right to union

representation before an interview. The Statute merely requires management to inform its

employees annually of this right unless the collective bargaining agreement provides that the

IO will advise the employee of this right. If the employee invokes Weingarten rights, the IO

should consult with the legal advisor and civilian personnel office before proceeding with the

interview.

4.14.3. The exercise of the right to union representation shall not interfere with the

investigation. (T-1) Determinations regarding union representation should be coordinated in

advance with the legal advisor and the Civilian Personnel Office Labor Relations Specialist.

The union representative is a personal representative of the employee and may advise the

employee, ask questions to clarify issues, and suggest other employees who may have

knowledge of the facts at issue. However, he or she may not do so in a manner that interferes

with the interview and may not testify for the employee. (T-1) The IO has authority to

terminate the interview if he or she determines the union representative is impeding or

attempting to impede the investigation. Consult with the legal advisor on how to proceed after

terminating the interview. (T-1)

4.15. Procedures Regarding Rights Advisements. In order to protect due process and the rights

of subject/suspects, the following guidance should be used on a case-by-case basis to determine

DAFI90-301 4 JANUARY 2024 87

when a witness or subject should be considered a suspect and, if so, when a suspect must be advised

of his or her rights and which rights are applicable to the suspect. As a general rule, a subject

should be considered a suspect and read the appropriate rights advisement as discussed below if,

prior to the subject interview, the IO has a reasonable belief, based on the evidence discovered

during the investigation, that the allegation(s) against the subject will be substantiated by a

preponderance of the evidence.

4.15.1. For active duty military suspects (and retired or separated military members subject to

recall, and Air Force Reserve members or Air National Guard members in Title 10 status at

the time of the interview), advise them of their rights as specified under Article 31, UCMJ.

(T-0)

4.15.2. In regard to Air Force Reserve and Air National Guard personnel, IOs need to verify

the Title 10/Title 32 status of the suspect at the time of the occurrence and at the time of the

scheduled interview. (T-1) If the IO reasonably believes the member is a suspect, and in Title

32 status, consider requesting the member be in Title 10 status for the interview, which would

then require advising the member of his or her rights under Article 31, UCMJ.

4.15.2.1. There is no constitutional or statutory requirement to read any version of rights

to an Air National Guard suspect. As a matter of policy, advise such personnel of his or

her rights under the state code equivalent of Article 31, UCMJ. (T-1)

4.15.2.2. If a member is a dual-status technician and is in technician (civilian) status during

the interview, the member need not be advised of his or her Fifth Amendment rights.

4.15.3. Civilian witnesses, to include state employees, Senior Executive Service employees,

and Department of the Air Force civil service employees, even if suspected of a criminal

offense, do not have to be advised of their Fifth Amendment rights when interviewed as part

of an IG investigation. Under the law, such rights advisements are only required in conjunction

with custodial interrogations (i.e., interrogations in which the interviewee is not free to leave

at will) by law enforcement personnel. Interviews by an IG/IO under authority of this

instruction do not meet that threshold requirement (i.e., IGs and IOs are not considered law

enforcement personnel for Fifth Amendment purposes). The lack of a requirement to advise

civilian witnesses of their Fifth Amendment rights does not preclude them from invoking such

rights if circumstances warrant.

4.15.4. Aside from those civilian witnesses discussed in para 4.15.3, if, during the course of

an interview, the IO discovers information leading him or her to believe the witness or subject

is a suspect, the IO must stop the interview, consult with the appointing authority and legal

advisor, and (if allowed to proceed) advise the suspect of his or her rights. (T-1) Attachment

4 provides a template format for a suspect interview and rights advisement and must be read

to the suspect verbatim. If, after rights advisement, the suspect refuses to testify or requests an

attorney, then the interview must stop. (T-1) Consult with the legal advisor before attempting

to re-interview the suspect. (T-1)

4.15.5. “Kalkines/Garrity” warnings are required to be given to civilian subjects being

interviewed in an IG investigation. (T-0) Consult your legal advisor with questions concerning

rights advisement. The following warning would be appropriate:

“You are being asked to provide information as part of an administrative investigation. This is a

voluntary interview, and you will not be kept here involuntarily. You have the right to be fully

88 DAFI90-301 4 JANUARY 2024

informed of any allegations against you. You have the right not to answer a question if the answer

would be self-incriminating. No disciplinary action will be taken against you solely for refusing

to answer questions. However, the evidentiary value of your silence may be considered in

administrative proceedings as part of the facts surrounding your case.”

4.16. Procedures Regarding Subject/Suspect/Witness Hand-offs. Department of the Air

Force procedures regarding investigative interviews of Regular Air Force personnel, USSF

personnel, AFR personnel, ANG personnel, and Department of Air Force civilian employees

requires special handling of certain interviewees.

4.16.1. Department of the Air Force experience has found that subjects/suspects of an

investigation may be at a greater risk of committing suicide, or making irrational decisions. A

primary concern is that being a subject/suspect of an investigation may result in stress and

turmoil within an individual’s life. The hand-off procedure is intended to act as a safety net to

those individuals who might be so emotionally distraught as to pose a danger to themselves or

others, and ensure wingman support is available through command lines.

4.16.1.1. These hand-offs require person-to-person contact between the IO and the

subject’s/suspect’s commander or designee, civilian leading an organization designated as

a unit IAW AFI 38-101 or designee, first sergeant, or supervisor. Hand-offs will require

pre-coordination and advanced planning. As a general rule, the command representative

designated to receive the hand-off should be of equal or greater rank than the

subject/suspect. In-person hand-offs are preferred. However, if in-person hand-off is

impractical, a virtual hand-off can be coordinated if the IO believes the hand-off

representative can make an accurate assessment of the subject/suspect’s mental state

through the virtual means.

4.16.1.2. Following interviews with Department of the Air Force personnel who are the

subject/suspect of an investigation, IOs must refer such individuals to their commander or

designee, civilian leading an organization designated as a unit IAW AFI 38-101 or

designee, first sergeant, or supervisor. (T-1) The command representative must make

person-to-person contact immediately following the interview and receive the

subject/suspect. (T-1)

4.16.1.3. Before providing the hand-off, the IO should advise the commander or designee

that the individual is the subject or suspect of an IG investigation. The IO should also

explain the reason for any concern he or she has about the individual’s personal safety (e.g.,

individual was emotionally distraught, shocked, etc.).

4.16.1.3.1. However, the IO will not disclose the identity of the complainant or the

substance of testimony or other evidence obtained during the investigation. (T-1)

4.16.1.3.2. If time permits, the IO should coordinate with the IG before handing off an

individual or notifying the commander. However, an IO should not delay obtaining

appropriate assistance for an individual whose emotional state demands immediate

attention simply to obtain IG coordination.

4.16.1.4. The hand-off must be documented at the end of the testimony. (T-1) IOs may

use the documentation at the end of the readout or include the following annotation: “At

the conclusion of the interview, the witness/subject/suspect was handed off by the IO to

the commander (or commander's representative) IAW DAFI 90-301, paragraph 4.16.”

DAFI90-301 4 JANUARY 2024 89

4.16.2. If any witness appears to be emotional, distraught, or stunned during the process of

any interview, he or she should not be allowed to depart alone, but should be released to his or

her commander or designee, civilian leading an organization designated as a unit IAW AFI 38-

101 or designee, first sergeant, or supervisor, who will help ensure the individual receives the

necessary support to safely handle his or her personal crisis (referred to as handing-off).

4.16.2.1. In most instances, hand-offs will require pre-coordination so consider the

possible impacts of the interview on the witness during advanced planning.

4.16.2.2. A hand-off is only required for witnesses if the IO determines the witness has

been sufficiently disturbed by the interview to warrant person-to-person contact.

4.16.2.3. The IO should also explain the reason for any concern he or she has about the

individual’s personal safety (e.g., individual was emotionally distraught, shocked, etc.).

However, the IO will not disclose the identity of the complainant or the substance of

testimony or other evidence obtained during the investigation. (T-1)

4.16.2.4. The hand-off must be documented at the end of the testimony. (T-1) IOs may

use the documentation at the end of the readout or include the following annotation: “At

the conclusion of the interview(s), the witness(es)/subject(s)/suspect(s) was/were handed

off by the IO to the commander (or commander's representative) IAW DAFI 90-301,

paragraph 4.16.”

4.16.3. When suspects, subjects or witnesses invoke their Fifth Amendment or Article 31,

UCMJ rights during an interview, the commander or designee, civilian leading an organization

designated as a unit IAW AFI 38-101 or designee, first sergeant, or supervisor will be informed

of this fact and instructed to avoid any questioning, interrogation, or discussions in the

subject’s/suspect’s presence of a nature likely to elicit statements or admissions regarding the

alleged offenses. (T-0) Document this in the Report of Investigation. (T-0)

4.16.4. If subjects are represented by an attorney for the matter under investigation, notify the

attorney of the hand-off. (T-1) Notify the legal advisor of any suspect, subject, or witness

represented by an attorney. (T-1)

4.16.5. When dealing with civilian employee subjects or distraught witnesses, the IO must

make a reasonable effort to hand-off the individual directly to his or her unit representative,

commander or designee, civilian leading an organization designated as a unit IAW AFI 38-101

or designee, or supervisor. (T-1)

Section 4D—Step 6: Writing the Report (≤ 34 Days)

4.17. Standard of Proof.

4.17.1. The standard of proof applicable to IG investigations is preponderance of the evidence.

A preponderance of the evidence is defined as the greater weight of credible evidence. When

the greater weight of credible evidence supports the alleged events, it means the events as

alleged are more likely than not to have occurred and the IO may consider the events proven.

4.17.2. IOs must be careful not to apply this standard too mechanically. Quality counts as

much as quantity and an IO may choose to believe one witness rather than five others if the

one is sufficiently credible and the five are not. In addition, there is no way to measure the

90 DAFI90-301 4 JANUARY 2024

weight of a document against the testimony of a witness other than by evaluating credibility as

discussed in paragraph 4.18.2.

4.18. Analyzing the Evidence. Keeping in mind the standard being sought (preponderance of

the evidence), IOs will follow a four-step process when analyzing the evidence they collected.

(T-1)

4.18.1. What are the allegations? Review the allegations framed prior to starting the

investigation. Do they still make sense? The report must include properly framed allegations.

Consult with the legal advisor and appointing authority if allegations need to be revised after

the investigation has begun. The revision may require notification to the subject/suspect,

depending on the change and the stage of the investigation.

4.18.2. What are the facts (what happened)? Facts are not conclusions, but rather information

and data, from which the IO must draw logical conclusions. Each fact contained in the report

of investigation must be supported by evidence contained in an exhibit attached to the report.

Facts are not always consistent and are often in dispute. The IO is responsible for determining

what the facts were at a specific point in time. He or she evaluates the credibility of witness

testimony considering factors such as demeanor, bias, motive to lie, knowledge, ability to

observe, recency of observations, corroborating evidence, and prior inconsistent statements.

The IO must analyze the available evidence and use the preponderance of the evidence standard

to make the tough call and arrive at logical/concrete conclusions. (T-0)

4.18.3. What standards apply? What laws, regulations, policies, or other controlling standards

were allegedly violated? Applicable standards should have been identified at the beginning

when framing the allegations. The report should include a complete discussion of the standards

in effect at the time of the alleged violation.

4.18.4. Were the standards violated (was a rule, regulation, policy, or law broken)? To reach

a conclusion, the IO must consider and discuss the credible evidence that supports or does not

support whether the subject violated a particular standard. Utilizing the preponderance of the

evidence standard, the IO concludes the allegation is or is not substantiated. IOs should consult

their technical advisor, policy experts, in conjunction with the legal advisor when in doubt

about whether a particular action violated Department of the Air Force standards. However,

the final decision rests with the appointing authority during the final approval process.

4.19. Category of Findings. There are only two possible findings for each allegation:

4.19.1. Substantiated: A substantiated finding results when a preponderance of the evidence

supports the allegation of a wrong or violation of law, regulation, procedure, or Department of

the Air Force policy or standard. The facts indicate a violation of standards occurred.

4.19.2. Not Substantiated: A not substantiated finding results when a preponderance of the

evidence supports the conclusion the alleged misconduct did not occur. The facts indicate no

violation of standards occurred.

4.20. Procedures Regarding Report Writing.

4.20.1. All IG investigations (and their findings) must be documented with objectivity,

thoroughness, and in a timely manner. (T-1) The ROI must maintain an impartial and balanced

tone and exclude any biases for or against the complainant, subject, or witnesses. (T-1) An

ROI must be a stand-alone document—all the essential facts, documents, portions of

DAFI90-301 4 JANUARY 2024 91

regulations, interviews, etc., must be included in the report so a reviewer can arrive at a

determination without reference to information outside the report. (T-1)

4.20.1.1. The IO must sign the report. (T-1)

4.20.1.2. The appointing authority approves the report in writing. (T-1)

4.20.1.3. The IO must address each of the framed allegations in the report. (T-1) If the

appointing authority determines an allegation should not be examined in the investigation,

the IO must document the appointing authority’s decision. (T-1)

4.20.2. Recommendations are required.

4.20.2.1. In not substantiated cases, at the end of Section II, Tab C, state: “We make no

recommendations in this matter.”

4.20.2.2. In substantiated cases, state at the end of Section II, Tab C: “We recommend that

the commander take appropriate corrective action regarding the substantiated finding;” and

“We recommend that the complainant petition the Air Force Board for Correction of

Military Records to reconsider [appropriate action based upon the case] based upon the

substantiated finding(s).”

4.20.3. IGs will refer IOs to this instruction and the SAF/IGQ IO Guide for specific

information and techniques on report writing. (T-1)

4.20.4. All IG investigative case files must comply with the standardized IG case file format

described in paragraph 4.21, see DAFCRPSG Attachment 8 for a template. (T-1)

4.21. Case File Format. A case file is a standardized compilation of documents relevant to an

IG complaint. The case file consists of three sections. Section I, the Administrative File, is always

used and contains documents such as the Complainant Notification Letter, and recommendations

if requested. The documents in Section I are solely used to supervise and manage the complaint

resolution. Section II, Report of Investigation, is the formal investigative report prepared by the

investigating officer. For example, this section contains the chronology, background and

allegations, as well as the findings of fact, analysis, and conclusion. Section II contains the bulk

of the IO’s work and is normally releasable under FOIA. Section III, Support Documents, contains

all the supporting evidence associated with the Report of Investigation and additional Quality

Control Checklists. The witness testimony, documentary evidence, and the appointment letter are

maintained in Section III. All case file documents will be attached to the applicable ACTS

electronic case file. (T-1)

4.21.1. DAFCRPSG Attachment 8 shows the case file format which matches the ACTS

Attachments tab.

4.21.2. The investigative case file should be organized according to DAFCRPSG Attachment

8 using the tabs applicable in each situation. Prepare a Table of Contents showing the contents

of the case file. Unused tabs should be documented in the table of contents with the statement

”This tab not used.” (T-3) Do not include the unused tabs in the actual case file. (T-3)

4.21.3. As a minimum, case files for cases resulting in investigation must contain the

following documentation (indexed and inserted in Sections I, II, and III at the prescribed tab):

the complaint; tasking memos (if any); ROI; legal review; the testimony (transcribed or

summarized, if taken); copy of response to complainant; copy of notification to the subject’s

92 DAFI90-301 4 JANUARY 2024

commander; copy of commander’s action (if applicable); and administrative documents

including memos, and complaint acknowledgment or periodic memos to the complainant.

(T-1)

4.21.4. ACTS is the System of Record for storing IG records; IG offices should not maintain

paper copies of records.

4.22. Reporting Requirements Periodic Updates (PU). IGs will use DAFCRPSG Attachment

11 to provide the complainant a PU within 60 days after receipt of the complaint and approximately

every 30 days (not to exceed 60 days) thereafter. (T-1) PUs are the responsibility of the IG

working the case when the update is due. For ANG and Air Force Reserve IGs, provide PUs not

to exceed every other UTA. If complaint results in an IG investigation, IGs must also provide a

PU to the complainant and subject whenever a case transfers between agencies or levels of

command, which satisfies the intent of PU frequency. (T-1) IGs will use the DAFCRPSG

Attachment 26 to provide the subject(s) a PU approximately every 30 days (not to exceed 60 days)

days after the investigation is initiated and approximately every 30 days (not to exceed 60 days)

thereafter. (T-1) A PU does not take the place of the 180 Day Notification Letter referred to in

paragraph 5.6.2.

Section 4E—Step 7: IG Quality Review (≤ 7 Days)

4.23. Requirement for IG Quality Reviews. All investigations will receive a quality review

(QR) by the IG staff to ensure completeness, compliance with this instruction and other appropriate

directives, and objectivity. Use SAF/IGQ Quality Review Checklist (DAFCRPSG Attachment

18) to assist in the review. (T-1)

4.23.1. If the IG QR detects deficiencies with the investigation or report, the IG should return

the case to the IO to be reworked.

4.23.2. If a case needs to be returned to the IO to be reworked due to deficiencies, the IG must

explain the specific problems and rationale to the IO. (T-1)

4.23.3. If an IG disagrees with the IOs findings and conclusions, document the disagreement

and proceed with the next step in the Complaint Resolution Process. (T-1)

Section 4F—Step 8: Technical Review (≤ 3 Days)

4.24. When is a Technical Review Necessary?

4.24.1. Sometimes an IO will be asked to evaluate information or interpret guidance in a

technical field beyond his/her normal range of expertise. When this happens, the appointing

authority should ask for a technical (expert) review of the applicable evidence, findings, and

conclusions before the report is sent for a legal sufficiency review.

4.24.1.1. The key question will be how important the technical information is to the overall

conclusions in the report.

4.24.1.2. A good faith effort will be made to retain complainant confidentiality. (T-1) The

Technical Advisor should only review the portion of the investigation required to provide

the technical assistance and should be advised of the need to maintain confidentiality.

DAFI90-301 4 JANUARY 2024 93

4.24.2. A technical review must explain, in detail, whether the report is technically sufficient.

(T-1) If the report is found to be technically inaccurate or deficient, it will be returned to the

IO to be reworked. (T-1) In this case, the technical review must explain, in detail, the reasons

why the report was deficient and the minimum requirements for sufficiency. (T-1)

Section 4G—Step 9: Legal Review (≤ 10 Days)

4.25. Requirement for Legal Reviews.

4.25.1. IGs will have all Reports of Investigation reviewed by a JA for legal sufficiency. (T-1)

The JA will provide written reviews before the appointing authority approves the report and

its findings. (T-1) IGs should ensure the local servicing SJA is familiar with the SAF/IGQ

JAG Guide to IG Investigations.

4.25.2. A different JA should perform the legal review other than the individual assigned to

advise the IO.

4.25.3. A thorough legal review is critical to the IG investigative process and IG-JA-CC

relationships. The written review must reflect a thorough review of the case, to include an

independent review of all testimony and evidence. When conducting a legal review of any IG

investigation, the attorney performing the legal review must complete the Inspector General

Investigations Legal Review Checklist, which is available on the Air Force Military Justice

and Discipline-Investigations, Inquires and Relief Division(AF/JAJI) Flite Knowledge

Management website under the JAJI Investigations, Inquiries & Relief IG Legal Review

Checklist and Templates tab. (T-1)

4.25.4. Each legal review must examine whether: (1) Each allegation has been addressed; (2)

Allegations allege a violation of law, regulation, procedure, or policy; (3) The IO reasonably

applied the preponderance of the evidence standard in arriving at findings; (4) Conclusions are

supported by, and consistent with, the findings; (5) The investigation complies with all

applicable legal and administrative requirements; (6) Any errors or irregularities exist, and if

so, their legal effects, if any. (T-1) Along with documenting conclusions concerning each of

these matters, the legal review must contain as an attachment a completed Inspector General

Investigations Legal Review Checklist. (T-1)

4.25.4.1. If the legal review states the case is not legally sufficient, it must include a

detailed explanation of what the report is missing or lacking that makes it legally

insufficient. (T-1) The IG will return the case to the IO to be reworked IAW Section 4H.

(T-1) The IO must make the report legally sufficient. (T-1)

4.25.4.2. In cases in which the legal review simply disagrees with the IO’s ultimate

findings and conclusions, the rationale for that disagreement will be provided to the IO for

consideration. (T-1) If the IO, after considering the review, disagrees with the legal

review, the IO will not be directed to change the disputed findings or conclusions. (T-1)

Instead, the ROI and legal review will be provided to the appointing authority for a final

determination. (T-1) In situations where the disputed findings pertain to an investigation

of reprisal or restriction, the appointing authority will provide their determination but, DoD

IG will be the final determination authority. (T-1)

4.25.5. After the legal review and when the ROI is presented for review and approval of the

appointing authority, if the appointing authority disagrees with the IO’s findings and/or

94 DAFI90-301 4 JANUARY 2024

conclusions, the appointing authority must issue alternative findings and conclusions and

document them in an addendum. (T-1) In such case, the appointing authority’s determination

must include the rationale for his or her decision. (T-1) Merely deferring to or referencing the

legal review is insufficient. Rather, the appointing authority’s determination must separately

set out the basis for the determination through an analysis and issue new findings and/or

conclusions. (T-1) If the appointing authority arrives at findings different than the original

ROI and documents those alternate findings in an addendum, a subsequent legal review must

be accomplished. (T-1)4.25.6. For ROIs requiring a higher headquarters review, MAJCOMs,

FLDCOMS, NGB, FOAs, DRUs, and SAF/IGQ may adopt a lower-level legal review. All

investigations require a minimum of one legal review. (T-1) Additional reviews are optional;

however, additional reviews are required if higher level quality review indicates the need for

an additional legal review or if an addendum is accomplished that alters the findings or

significantly changes the analysis in the ROI. (T-1) HHQ IGs may consult with HHQ JA on

sufficiency of lower level legal review as part of their QR.

Table 4.3. Actions to Take Based on Legal Sufficiency Review. (T-1)

If an investigation is found to

be…

Then…

Legally sufficient

Appointing authority approves and sends final

response to complainant, unless higher-level QR and

approval is required. If the appointing authority

disagrees with the IO, see paragraph 4.25.5 or

paragraph 4.27.2.

Not legally sufficient

Report is returned to the IO to be reworked. The IO

must make the report legally sufficient.

Administratively sufficient

Appointing authority approves and sends final

response to complainant, unless higher-level QR and

approval is required. If the appointing authority

disagrees with the IO, see paragraph 4.25.5 or

paragraph 4.27.2.

Not administratively sufficient

Report is returned to the IO to be reworked if required.

Section 4H—Step 10: Reworking the Report (≤ 5 Days)

4.26. When Reports are Returned for Rework. If a report is found to be insufficient, then the

report will be returned to the IO for rework. (T-1)

4.26.1. The reason for the rework and the dates must be logged into ACTS. (T-1)

4.26.2. IG quality reviews, technical reviews, and/or legal reviews must provide reasons why

the report was not sufficient and detail the minimum requirements for sufficiency. (T-1)

DAFI90-301 4 JANUARY 2024 95

Section 4I—Step 11: Completing the Case (≤ 7 Days)

4.27. Appointing Authority Approval. Final approval of an IG investigation rests with the

appointing authority, except for investigations of reprisal or restriction. (T-1)

4.27.1. The appointing authority will sign and approve the ROI in writing. (T-1)

4.27.2. In cases where the appointing authority disagrees with the IO’s findings and

conclusions, the appointing authority will non-concur with the ROI in writing in an addendum

to the ROI. (T-1) Merely deferring to or referencing the legal review (if applicable) or findings

and conclusion is insufficient. The appointing authority must clearly explain the reasons for

the disagreement and the supporting rationale in the addendum. (T-1) The IO’s findings, legal

review, and the appointing authority’s addendum will be retained as part of the investigation

case file. (T-1) If the appointing authority arrives at findings different than the original ROI

and documents those alternate findings in an addendum, a subsequent legal review must be

accomplished. (T-1) Should a non-IG appointing authority overturn the IO’s findings in an

IG investigation, the case file must be reviewed by the next higher-level IG office. (T-1) See

paragraph 4.32.

4.27.3. Prior to final approval and signature of the ROI containing substantiated findings, the

appointing authority will provide the subject/suspect’s commander a tentative conclusion letter

(TCL). (T-3) The commander will then provide the TCL to the subject/suspect. (T-3) When

making TCL notifications to the subject/suspect, commanders will comply with DAFI 90-

5001, Integrated Resilience. (T-1) The TCL will briefly outline the allegations substantiated

against the subject/suspect, the primary reasons that support the substantiated conclusion, and

will include a redacted copy of the relevant portions of the preliminary ROI as well as a

transcript of the subject/suspect’s testimony as attachments. (T-3) The relevant portions are

the portions of the ROI where the investigation officer analyzed the evidence used to determine

the finding against the subject. That would be the allegation, facts, analysis, and conclusion

related to allegations against the subject. If there are multiple substantiated allegations against

the subject, provide the same for each allegation. (T-3) Provide portions of the ROI that

contain not substantiated allegations (if any) if relevant to any response by the subject. All

portions of the ROI provided must be redacted to remove all third party PII (name, email

address, rank (lower ranked)) to include witnesses. (T-0) Information that could identify the

third parties includes items such as duty titles, position, etc. If the ROI has testimony

embedded in it, redact portions of the testimony where the information can be tied to a

particular witness. (T-0) If a subject or suspect elects not to participate in an interview, the

requirement to initiate the TCL process is not required.

4.27.3.1. Prior to transmitting the letter, the appointing authority will coordinate the draft

TCL with his or her legal advisor and the investigating officer. (T-3)

4.27.3.2. The subject/suspect will be allowed no more than two calendar weeks to provide

a response to the appointing authority with any relevant documentation/evidence not

previously considered. (T-3)

4.27.3.3. Upon receipt of the response from the subject, the appointing authority will

provide the response to the IO who will consider any modifications of the analysis or

findings of the allegation(s). (T-3) If the IO determines no change to the analysis or

findings is necessary, he or she notifies the appointing authority who notes the completion

96  DAFI90-301  4 JANUARY 2024 
of the TCL process in their approval of the ROI, and proceeds with paragraph 4.28., 
Closure Requirements. 
4.27.3.4.  If the IO believes the response from the subject/suspect indicates modification 
of the analysis or findings is appropriate, the IO will: 
4.27.3.4.1.  Consider  the  relevant  documentation  and  evidence  submitted  by  the 
subject/suspect, to include modifying the conclusions.  (T-3) 
4.27.3.4.2.  Request the legal advisor review the TCL, response and any modifications 
to the analysis or findings and determine if a second legal review is required.  (T-3) 
4.27.4.  The IO returns the modified ROI  and  associated documentation  to the appointing 
authority.  If the appointing authority disagrees with the IO, see paragraph 4.27.2.  If the 
appointing authority agrees with the IO, the appointing authority proceeds with paragraph 
4.28.  Upon appointing authority approval of the ROI, the IG will place the case in completed 
status in ACTS.  (T-1) 
4.28.  Closure Requirements.  Upon the appointing authority’s approval of an investigation, all 
notification  procedures  IAW  the  applicable  notification  matrix  must  be  completed,  unless 
otherwise directed by a higher-level IG.  Use Table 4.4 for investigations, Table 7.1 for officers, 
and Table 8.2 for senior officials. 
4.28.1.  Mandatory actions required to close a case are: 
4.28.1.1.  ROI approved by appointing authority.  (T-1) 
4.28.1.2.  Subject’s commander notified of results.  (T-1) 
4.28.1.3.  Complainant notified of results.  (T-1) 
4.28.1.4.  Command action if appropriate.  (T-1) 
4.28.1.5.  For closure requirements on reprisal cases, refer to paragraph 5.8. 
4.28.1.6.  For closure requirements on restriction investigations, refer to paragraph 6.9. 
4.28.1.7.  For additional closure requirements for investigations conducted as a result of a 
DoD Hotline complaint, refer to Chapter 9. 
4.28.2.  IGs at every level are required to update all completed actions in ACTS (refer to the 
ACTS User’s Manual) and are required to maintain an electronic case file in ACTS until its 
final disposition date.  (T-1)  Leave case in completed status in ACTS until all required quality, 
legal, and higher-level reviews as well as required notifications and any command actions are 
complete, at which time the case will be closed in ACTS by the appropriate IG (MAJCOM-
FLDCOMIGQ for reprisal and restriction cases).  (T-1) 
4.28.3.  Cases pending command/corrective action may be assigned a follow–up suspense on 
the suspense tab in ACTS until a copy of the action taken is received.  (T-1) 
4.29.  Notification Requirements for Case Closures. 
4.29.1.  Table  4.4  describes  the  notification  requirements  upon  completion  of  IG 
investigations. 
4.29.2.  The appointing authority must notify the subject’s current commander of the results of 
the investigation in writing.  (T-1)  The commander must, in turn, notify the subject of the 

DAFI90-301  4 JANUARY 2024  97 
results of the investigation in writing.  (T-1)  Documentary evidence of this notification is 
required.  (T-1) When notifying the subject/suspect of the final result, the commander will 
comply with DAFI 90-5001, Integrated Resilience.  (T-1)  The notification letters must include 
a description of the specific allegations and related findings.  (T-1)  The letters must not contain 
the names of the complainants, witnesses, or other subjects of the investigation.  (T-1)  Refer 
to DAFCRPSG Attachment 12 for a sample results notification to the subject’s commander 
with an endorsement for the commander’s notification to the subject. 
4.29.3.  The appointing authority will automatically provide the subject’s commander with a 
copy of the relevant portions of an approved and substantiated report of investigation (without 
attachments) for determining appropriate command action.  (T-1)  Recipients must comply 
with all applicable guidance in Chapter 10.  For Senior Official cases, see paragraph 8.4.2. 
In the case where there is an addendum that becomes part of the ROI, the originating appointing 
authority of the addendum is the authority responsible for making release determinations. 
4.30.  Responding to Complainants after Closing an Investigation.  Providing a final response 
to the complainant is generally the final step before case closure. 
4.30.1.  Responses to complainants must be timely, and supported by the evidence.  (T-1) 
4.30.2.  Responses  to  complainants  should  address  all  allegations  as  framed  for  the 
investigation.  The response does not necessarily have to address each individual question or 
allegation originally made by the complainant. 
4.30.3.  Complainants will receive a response from the level that conducted the investigation, 
unless otherwise directed by higher-level IG.  (T-1) 
4.30.4.  Complainants will receive a final response, in a publicly-releasable format (must not 
contain subject or witness names),  in writing, with the findings of the investigation.  (T-0)  
When responding to third-party complainants, refer to paragraph 4.30.7. 
4.30.5.  Final responses to complainants must inform them of their right to petition the Air 
Force Board for Correction of Military Records regardless of the findings in the case. IGs 
should inform them of the need to exhaust all appeals and remedies before petitioning the Air 
Force Board for Correction of Military Records.  (T-1)  Final responses to complainants must 
also inform them of their  rights  to request review by the  next  level  IG above that which 
conducted the investigation.  (T-1)  For reprisal cases, see paragraph 5.8.2 and for restriction 
cases, see paragraph 6.9.2, respectively. 
4.30.5.1.  Simply  disagreeing  with  the  findings  or  with  the  command  action  taken  in 
response to the findings is not sufficient reason to justify a higher-level review or additional 
investigation. (T-1) 
4.30.5.2.  It is the complainant’s responsibility to provide new and compelling information 
that justifies a higher-level review on previously considered issues.  (T-1) 
4.30.5.3.  It is the complainant’s responsibility to request this review in writing to the next 
level IG within 90 calendars days of receiving the response and to provide specific reasons 
why they believe the original complaint resolution was not valid or adequate.  (T-1) 
4.30.6.  Ensure responses to complainants are in a publicly releasable format consistent with 
FOIA and PA release guidelines in Chapter 10.  (T-1) 

98 DAFI90-301 4 JANUARY 2024

4.30.7. Third party complainants are only entitled to an acknowledgement that their complaint

was received, which should be done immediately after receipt. (T-3) They will not receive

information regarding the resolution unless the affected party authorizes the release of

information to that third-party via a Privacy Act release. (T-3)

Table 4.4. Notification Matrix for Closure of IG Investigations. (T-1)

If an

investigation is

conducted and

the allegations

are…

Then…

Substantiated

1. Appointing authority notifies subject’s commander in writing (see

paragraph 4.29.2).

2. Commander notifies subject, in writing (see paragraph 4.29.2), and

takes disciplinary/corrective action.

3. For 10 USC § 1034 cases, MAJCOM/IG, or FLDCOM/IG provides

final response to complainant. For other investigations, the IG at the

level where the investigation was conducted provides the final response

(see paragraph 4.30).

4. Commander notifies appointing authority of command or corrective

action.

5. Appointing authority provides IG with a signed copy of the

notification to the subject’s commander and the completed command

action, to include any rebuttal, for inclusion in the ACTS case file.

Notify SAF/IGQ via ACTS.

Not

Substantiated

1. Appointing authority notifies subject’s commander in writing (see

paragraph 4.29.2).

2. Commander notifies subject in writing (see paragraph 4.29.2).

3. For 10 USC § 1034 cases, MAJCOM/IG, or FLDCOM/IG provides

final response to complainant. For other investigations, the IG at the

level where the investigation was conducted provides the final response

(see paragraph 4.30).

4. Appointing authority provides IG with a signed copy of the

notification to the subject’s commander and the completed command

action, to include any rebuttal, for inclusion in the ACTS case file.

Notify SAF/IGQ via ACTS.

4.31. Command Action. Command action is the responsibility of the commander who is

responsible for, and maintains accountability of, the process, operation, organization, or individual.

Section 4J—Step 12: Higher Headquarters Review (≤ 23 Days, see Table 3.1)

4.32. Requirement for Higher Headquarters Quality Review (QR).

4.32.1. The following cases will be sent to higher headquarters for QR: (T-1)

4.32.1.1. Allegations of reprisal or restriction. (T-1)

DAFI90-301 4 JANUARY 2024 99

4.32.1.2. A non-IG appointing authority overturns an IG investigation’s findings.

4.32.1.3. ANG cases will be routed from the unit through the JFHQ to NGB to SAF/IGQ

for higher headquarters QR. (T-1)

4.32.2. NGB, MAJCOMs, FLDCOMs, NAFs, JFHQs, FOAs, and DRU IGs will conduct

oversight and reviews for investigations; complete the checklist in DAFCRPSG Attachment

18, before forwarding the case file to SAF/IGQ for review, (T-1) to ensure that:

4.32.2.1. All valid allegations were addressed. (T-1)

4.32.2.2. The investigation was conducted with thoroughness, objectivity, and in a timely

manner. (T-1)

4.32.2.3. The findings and conclusions are supported by a preponderance of the evidence.

(T-1)

4.32.2.4. Legal reviews were conducted as required by this instruction. (see paragraph

4.27). (T-1)

4.32.2.5. Command action (when required) is/was taken and is documented. (T-1)

4.32.3. When deficiencies are identified, reopen the investigation if necessary to correct any

shortcomings. Whenever possible, have the original IO complete the additional work needed

and revise the report. When circumstances warrant, SAF/IGQ, MAJCOM, FLDCOM or NGB

may complete the additional work needed, conduct an additional legal review, and revise the

report with an addendum. When an addendum is accomplished, IGs must check the

"Addendum Accomplished" checkbox in the ACTS case file main tab. (T-1)

4.32.4. MAJCOM, FLDCOM, NGB, FOA, and DRU IGs will provide feedback to lower-level

IGs upon completion of the QR. Each level of review will complete the SAF/IGQ Quality

Review Checklist (DAFCRPSG Attachment 18) and upload it to ACTS. Refer to paragraph

4.33 if disagreeing with lower-level findings. (T-3)

4.33. Disagreement with Findings. In cases where a higher headquarters QR disagrees with the

findings, conclusions, or determinations made at the level immediately below, the higher-level IG

will reach a determination and document the findings in an addendum. The higher-level IG will

review the issues and consult a JA before forwarding the report to SAF/IGQ, if required. Under no

circumstances will MAJCOM, FLDCOM, or NGB IG forward a disputed case to SAF/IGQ for

resolution. The higher-level IG will:

4.33.1. Reopen the case at their level to address the issues in dispute or unresolved issues,

when warranted. (T-1)

4.33.2. Document any discrepancies/new findings in writing with an addendum to the ROI,

fully explaining the rationale for the new findings, and address any disagreements between

IOs, legal reviewers or other reviewers. (T-1)

4.33.3. Notify lower-level IG of the disagreement and change in findings and provide them a

copy of the applicable addendum. (T-1) Document this action in an ACTS case note. (T-1)

4.33.4. If a higher headquarters’ review overturns a not substantiated finding to substantiated,

the higher headquarters must complete the TCL process described in paragraph 4.27.3. (T-1)

100 DAFI90-301 4 JANUARY 2024

4.33.5. If the higher headquarters arrives at findings different than the original ROI and

documents those alternate findings in an addendum, a subsequent legal review must be

accomplished. (T-1)

Section 4K—Step 13: SAF/IGQ Review (≤ 5 Days)

4.34. Requirement for SAF/IGQ Review. SAF/IGQ will:

4.34.1. Conduct a review for military reprisal or restriction cases before forwarding them to

IG DoD, as required.

4.34.2. Conduct a QR on other cases when so specified in the SAF/IGQ tasking letter to

MAJCOM, FLDCOM, NGB, FOA, and DRU IGs.

4.34.3. Notify MAJCOM, FLDCOM, NGB, FOA, or DRU IGs of discrepancies or

deficiencies noted in reports.

4.34.4. Return (when required) all case documents and re-task cases for any supplemental

information or additional investigation required to be incorporated into the original report.

4.34.5. Examine cases for systemic problems or trends and notify DAF/IG. Notify

commanders, civilians leading an organization designated as a unit IAW AFI 38-101, or

appropriate agencies as needed to ensure resolution or future preventive action.

4.34.6. In cases where SAF/IGQ is the reviewing authority on an IG report (but is not the

appointing authority) and the SAF/IGQ QR disagrees with the findings, conclusions, or

determinations made at the level immediately below or significantly changes the analysis in

the ROI, SAF/IGQ will:

4.34.6.1. Before significantly changing the analysis or formally overturning an

investigation finding through an addendum, SAF/IGQ will coordinate with the originating

IG office on the identified deficiencies, affording that office the opportunity to address

those deficiencies. If the originating office declines to address the deficiencies, SAF/IGQ

will address through an addendum.

4.34.6.2. Obtain an additional legal review for legal sufficiency before determining the

final finding (substantiated or not substantiated).

4.34.6.3. Non-concur with the report or legal review determinations in writing in an

addendum to the ROI. Clearly adopt an official position on the disputed item(s) and explain

the rationale for the new findings in the addendum. When an addendum is accomplished,

IGQ must check the "Addendum Accomplished" checkbox in the ACTS case file main tab.

4.34.6.4. Notify the lower-level IG office or commander of the different findings and

provide them with a copy of the addendum. The lower-level IG must follow Table 4.4 to

inform recipients of the findings. Document this action in an ACTS case note.

DAFI90-301 4 JANUARY 2024 101

Chapter 5

REPRISAL COMPLAINTS

5.1. Governing Directives. 10 USC §1034, Protected communications; prohibition of

retaliatory personnel actions and DoDD 7050.06, Military Whistleblower Protection, and DoDI

7050.09, Uniform Standards for Evaluating and Investigating Military Reprisal or Restriction

Complaints provide guidance on whistleblower rights and responsibilities.

5.2. Whistleblower Protection Against Reprisal Under Title 10 United States Code, Section

1034 (10 USC § 1034).

5.2.1. Members of the armed forces shall be free from reprisal for making or preparing or

being perceived as making or preparing to make a protected communication (PC). Regular

Air Force members, Air Force Reserve members, and Air National Guard members, and

civilian employees who fail to obey the prohibitions of this chapter are in violation of 10

USC 1034 and may be punished.

5.2.1.1. No person may take (or threaten to take) an unfavorable personnel action; or

withhold (or threaten to withhold) a favorable personnel action as reprisal against a member

of the armed forces for making or preparing to make, or being perceived as making or

preparing to make, a protected communication.

5.2.1.2. Civilian employees who violate this prohibition are subject to administrative or

disciplinary action under applicable directives or implementing instructions governing

civilian disciplinary or administrative action.

5.2.1.3. No commander or supervisor may refer a military member for an mental health

evaluation (MHE) as a reprisal for making or preparing to make a protected

communication.

5.2.2. The following may receive protected communications (Note: see the definition of

protected communication in Attachment 1 for more guidance on when a communication made

to any of the following is a protected communication):

5.2.2.1. Member of Congress or a member of their congressional staff.

5.2.2.2. An Inspector General or a member of the Inspector General’s investigative staff.

5.2.2.3. Personnel assigned to DoD audit, inspection, investigation, or law enforcement

organizations, equal opportunity, safety, sexual assault prevention and response designees,

and family advocacy.

5.2.2.4. Any person in the member’s chain of command.

5.2.2.5. The Chief Master Sergeant of the Air Force, Chief Master of Sergeant of the Space

Force, command chiefs, group/squadron superintendents, and first sergeants.

5.2.2.6. A court-martial proceeding.

5.2.2.7. Any other person or organization designated pursuant to regulations or other

established administrative procedures for such communications.

5.2.2.8. Testimony, or otherwise participating in or assisting in an investigation or

proceeding related to a communication under paragraphs 5.2.2.1 through 5.2.2.7, or filing,

102 DAFI90-301 4 JANUARY 2024

causing to be filed, participating in, or otherwise assisting in an action brought under this

section.

5.2.3. Nothing in this issuance will be construed to limit the ability of a commander to consult

with a superior in the chain of command, an IG, or a judge advocate on the disposition of a

complaint against a service member for an allegation of collateral misconduct or for a matter

unrelated to a protected communication. Additionally, nothing in this instruction will dissuade

commanders from taking timely and appropriate corrective actions for legitimate reasons,

including violations of the UCMJ, violations of other criminal statutes, or other misconduct,

whether or not information regarding the misconduct came through a protected

communication. Commanders should understand the prohibitions on reprisal and restriction

and should coordinate with the servicing SJA office for effective legal guidance on these

issues.

5.2.4. Department of the Air Force military members may file complaints of reprisal with IGs

at any level and receive the protections of 10 USC § 1034.

5.2.5. To gain statutory protection of the law, the service member must file the complaint with

any IG within one year of becoming aware of the personnel action that is the subject of the

allegation. (T-0) The IG may waive this time requirement if they determine there are

extenuating circumstances justifying the delay in filing the complaint or there is special

Department of the Air Force interest in the matter. See Table 3.13., Rule 3.

5.3. Procedures for Receipt of Reprisal Complaints. The following outlines Department of the

Air Force procedures for receiving reprisal complaints. All IGs during the complaint analysis

process will consider the personnel actions and protected communications (PCs) presented by the

complainant in the complaint regardless of whether reprisal is raised. (T-1)

5.3.1. Military Members. Department of the Air Force IGs must advise military members

alleging reprisal of the provisions of 10 USC § 1034 (the Military Whistleblower Protection

Act) and DoDD 7050.06, and of the rights afforded to complainants the statute. ( T-0) IGs

should use DAFCRPSG Attachment 14, Whistleblower Rights under 10 USC § 1034, to assist

them.

5.3.1.1. IGs should ask complainants whether they have also filed their complaint with IG

DoD. If the complainant has, then IGs should include this in the notification letter to IG

DoD (refer to paragraph 5.4.). No complaint analysis by the IG receiving the complaint

is required unless otherwise directed by a higher-level IG (refer to paragraph 5.5.3.).

5.3.1.2. IGs must ask the complainant whether the allegations that constituted the

member’s protected communication were previously addressed. (T-1) For additional

information, refer to paragraph 5.5.1.

5.3.2. Civilian/Nonappropriated Fund Employees and Defense Contractors. If an IG

receives a complaint from a civilian/nonappropriated fund employee or a defense contractor in

which they allege reprisal, follow the guidance in Table 5.1. (T-1)

Table 5.1. Reprisal Referral for Civilian Employees.

DAFI90-301 4 JANUARY 2024 103

If the aggrieved party is

a…

Then…

Department of the

Air Force civil

service employee

Direct the complainant to IG DoD Hotline

(http://www.dodig.mil/hotline/), the Office Special Counsel

(OSC) or local EO office for reprisal allegations relating to an

EEO complaint.

Department of the Air

Force nonappropriated

fund employee

Direct the complainant to IG DoD Hotline

(http://www.dodig.mil/hotline/), the Office Special Counsel

(OSC) or local EO office for reprisal allegations relating to an

EEO complaint.

Defense contractors

Direct the complainant to IG DoD Hotline

(http://www.dodig.mil/hotline/).

5.3.3. Department of the Air Force IGs will not conduct investigations into complaints of

reprisal actions alleging Department of the Air Force civil service employees, nonappropriated

fund employees, or defense contractor employees are the target of reprisal. (T-0) These

employees receive protection from statutes other than 10 USC § 1034. Do NOT add allegations

of reprisal to an ACTS case file if the complainant is civilian.

5.3.4. 29 Code of Federal Regulations Part 1614 requires civilian reprisal allegations in

connection with an EEO complaint be processed through the EEO procedures. (T-0)

5.3.5. If IG DoD receives a reprisal complaint directly from a complainant, IG DoD will

conduct the intake. If IG DoD elects to refer the complaint to the Department of the Air Force,

they will forward the analysis and a tasking letter to SAF/IGQ. SAF/IGQ will forward the

package to the MAJCOM, FLDCOM, NGB, FOA, or DRU IG for proper handling of the

complaint.

5.4. Notification Requirements for Reprisal Complaints. IAW DoDD 7050.06, IG DoD must

be notified (through SAF/IGQ) within 10 duty days from the date an IG receives sufficient

documentation (e.g., written complaint, DAF Form 102, etc.) from the complainant to determine

if prima facie reprisal elements have been met. (T-0) If DoD IG referred the complaint to the

Department of the Air Force, no notification is required. To meet IG DoD’s notification

requirement, IGs at all levels will notify SAF/IGQ through MAJCOM, FLDCOM, NGB, NAF,

JFHQ, FOA, or DRU IG within 7 duty days using DAFCRPSG Attachment 15. (T-1) Attach the

completed notification in ACTS and send the notification in ACTS to the next higher-level IG.

All named RMOs of a reprisal complaint must be added to the subject tab of ACTS, with the

appropriate allegation type (reprisal) selected on the allegation tab. This ensures that ACTS tracks

the case as a 1034 case, and makes the appropriate automatic special interest category selections

on the Main tab.

5.4.1. If the IG receiving the complaint determines the complaint needs to be transferred to

another IG, notification requirements belong to the receiving IG. (T-1) Reference Tables 3.8

and 3.9.

5.4.2. Prior to sending the notification, if the IG determines that answers to questions one and

two of the elements of reprisal (DAFCRPSG Attachment 16) are not both “yes,” or, that while

the answers to questions one and two are "yes," the reason for the personnel action is not

104 DAFI90-301 4 JANUARY 2024

reprisal (i.e., the action was taken for a valid reason), the required notification can include a

recommendation to dismiss the issue. (T-1) A recommendation to dismiss the allegation on

the DAFCRPSG Attachment 2 must include the rationale, based on the elements of reprisal,

for the selected resolution strategy and supporting documentation. (T-1) The IG must then

analyze the complaint for abuse of authority using DAFCRPSG Attachment 17.

5.4.3. Upload a copy of the written complaint, or a detailed narrative of the allegations, with

the notification template (DAFCRPSG Attachment 15) in ACTS and notify SAF/IGQ through

the appropriate MAJCOM, FLDCOM, NGB, NAF, JFHQ, FOA, or DRU IG. (T-1) Clearly

document if the complaint of reprisal involves sexual assault reporting or loss of access to

classified information. (T-1) IG DoD may retain these types of cases for resolution.

5.4.4. IGs receiving allegations not within the purview of the Department of the Air Force will

transfer the complaint to SAF/IGQ through their MAJCOM, FLDCOM, NGB, NAF, JFHQ,

FOA, or DRU IG. (T-1) For complaints appropriate for transfer to DHA, the IG receiving the

allegations will complete the notification to DoD annotating that the DAF is transferring the

case to DHA. (T-1)

5.4.5. Dismissals for untimeliness of complaint. If it becomes apparent during the intake

process that the complaint was not filed within one year of the complainant becoming aware

of the most recent alleged personnel action, IGs will consider whether the untimely complaint

filing, based on compelling reasons or circumstances, should not be dismissed. (T-1)

5.4.5.1. These circumstances may include situations in which the service member:

5.4.5.1.1. Was actively misled regarding his or her rights;

5.4.5.1.2. Was prevented in some extraordinary way from exercising his or her rights;

5.4.5.1.3. Filed the same allegation within the one year period with the wrong office

or agency.

5.4.5.2. After consideration of the above factors, if no such circumstances exist, the IG

may recommend dismissal of the case as untimely. The MAJCOM-NGB-FLDCOM-FOA-

DRU/IGQ or JFHQ/IG will approve recommended dismissal by a lower-level IG and, if

approved, send a letter to the complainant explaining that the case is dismissed and closed.

5.4.5.3. Document the untimeliness on the DOD approved decision document

(DAFCRPSG Attachment 2) and transfer the case to SAF/IGQ through the MAJCOM,

NGB, NAF, JFHQ, FOA, or DRU IG for higher-level review, including the appropriate

checklist from DAFCRPSG Attachment 18.

5.4.6. Dismissal for unresponsive or uncooperative complainant. In general, complainants

understand that investigations require their timely cooperation. In the infrequent case in which,

during the intake or investigation process, the complainant becomes unresponsive, IGs will

make at least three attempts to reach the complainant using appropriate methods of contact.

(T-1) If the complainant remains unresponsive, the IG will advise the complainant in writing

that it will not be possible to investigate the alleged reprisal without the complainant's

cooperation and that the case will be dismissed unless a response is received within 10 days.

(T-1) If no response is received after allowing a minimum of 10 days for the complainant to

respond, the IG may recommend dismissal of the case for lack of cooperation. Documentation

DAFI90-301 4 JANUARY 2024 105

of the dates and methods used in attempts to contact the complainant will be included in the

DAFCRPSG Attachment 2. (T-1) Transfer the complaint to SAF/IGQ through the MAJCOM,

NGB, NAF, JFHQ, FOA, or DRU IG, including the appropriate checklist from DAFCRPSG

Attachment 18. (T-1) The MAJCOM-FLDCOM-NGB-FOA or DRU/IGQ will review the

recommended dismissal by a lower-level IG and, if approved, send a letter to the complainant

explaining that the case is dismissed and closed. (T-1)

5.4.7. Dismissal for withdrawals. When a complainant communicates the intent to withdraw

a complaint in writing, IGs must evaluate whether the withdrawal was voluntary. (T-1) IGs

are not obligated to approve withdrawals, particularly if investigative efforts to date indicate

misconduct may be substantiated. If the IG is satisfied that the request was not coerced, he or

she may approve the withdrawal and recommend dismissal. The MAJCOM-FLDCOM-NGB-

FOA or DRU/IGQ will review the recommended dismissal by a lower-level IG and, if

approved, send a letter to the complainant explaining that the case is dismissed and closed.

(T-1) Transfer the complaint to SAF/IGQ through the MAJCOM, FLDCOM, NGB, NAF,

JFHQ, FOA, or DRU IG for higher-level review. (T-1)

5.4.7.1. If the request for withdrawal occurs before initial complaint notification to IG

DoD is made, the notification and the withdrawal may be sent simultaneously,

accompanied by the DAFCRPSG Attachment 2 and a copy of the complaint to SAF/IGQ

through the MAJCOM, FLDCOM, NGB, NAF, JFHQ, FOA, or DRU IG. (T-1)

5.4.7.2. If the request for withdrawal occurs after the initial complaint notification to IG

DoD was made, the copy of the withdrawal letter or email, copy of the complaint, and the

DAFCRPSG Attachment 2 will suffice to close the case. Transfer the complaint to

SAF/IGQ through the MAJCOM, FLDCOM, NGB, NAF, JFHQ, FOA, or DRU IG,

including the appropriate checklist from DAFCRPSG Attachment 18. (T-1)

5.4.8. Dismissal for duplicate complaint. IGs may cease evaluation if the incoming complaint

is a duplicate or is intrinsically related to a previously filed complaint and contains no new and

compelling information that would warrant the reopening of a closed case or the creation of a

new one. Once an IG confirms that a complaint meets these criteria, close the case as a

duplicate. (T-1)

5.5. Conducting Complaint Analysis for Allegations of Reprisal. The IG receiving the

complaint must expeditiously conduct a complaint analysis to determine whether an investigation

is warranted. (T-1) Within 30 days after receipt of the complaint, the IG must notify SAF/IGQ

(through the MAJCOM, NAF, NGB, JFHQ, FOA, or DRU IG) of the results of the complaint

analysis. (T-0) Reserve and Guard IGs must complete the complaint analysis within three UTAs

after receiving the complaint. (T-1)

5.5.1. Before conducting the complaint analysis, the IG must find out if the issues that

constituted the protected communication were previously addressed. (T-1) If the complainant

files concurrent complaints with an Department of the Air Force IG and IG DoD, IG DoD will

determine which office will conduct further analysis. (T-1)

5.5.1.1. If the issues were previously addressed, IGs should obtain a copy of the applicable

documents from the appropriate agency.

5.5.1.2. If the issues were not previously addressed, the IG will conduct a complaint

analysis on them to determine the appropriate avenue for resolution. (T-1)

106 DAFI90-301 4 JANUARY 2024

5.5.2. A complaint analysis will be conducted following the procedures in Section 3C and this

paragraph. (T-1) Document the complaint analysis following the format in DAFCRPSG

Attachment 2. The IG completing the complaint analysis will create, as a separate document,

a chronology of protected communications, personnel actions and other significant events and

attach it to the complaint analysis. (T-1) The IG may consult with the servicing SJA office

prior to formalizing the complaint analysis.

5.5.2.1. IGs should refer to the elements of reprisal (DAFCRPSG Attachment 16) as a

guide to complete DAFCRPSG Attachment 2. DAFCRPSG Attachment 2 will be

completed within 30 days of receipt by the office conducting the complaint analysis. (T-1)

When documenting the complaint analysis, the IG will answer the first three elements of

the reporting template (DAFCRPSG Attachment 16). (T-1) If the answers to the first three

Element questions are "Yes," the IG will complete/conclude the complaint analysis with a

recommendation to the appointing authority to investigate unless a decision to dismiss can

be logically derived primarily from documentary evidence and minimal clarification

interviews. If insufficient documentary evidence exists to recommend dismissal,

investigation is required. (T-1) During the complaint analysis, answering Element 4 is

not required, unless the answer to the first three elements is “yes” and the IG is

recommending dismissal.

5.5.2.2. If the answer to any of the first three Element questions is “No,” or if the complaint

analysis determines the allegation does not meet the definition of reprisal under 10 USC §

1034, the IG will then complete/conclude the complaint analysis with a recommendation

to dismiss (allegations of reprisal). (T-1) The IG must then analyze the complaint for

abuse of authority using DAFCRPSG Attachment 17. If the abuse of authority allegation

is not dismissed, refer the allegation to command and create a separate ACTS case. (T-1)

5.5.2.3. If an investigation is warranted, notify SAF/IGQ through the appropriate

MAJCOM, FLDCOM, NGB, NAF, JFHQ, FOA, or DRU via ACTS. (T-1) Ensure the

Date Investigation Began Block is completed prior to sending DAFCRPSG Attachment 2

as part of the notification process and include appointing authority approved framed

allegations. (T-0) The investigation start date can be either the date the investigation

decision is made, the date the IO appointment letter is signed, or the date the appointing

authority concurs with the decision to investigate. A quality review using DAFCRPSG

Attachment 18 is not required until the investigation is complete.

5.5.2.3.1. SAF/IGQ will forward the decision document to notify IG DoD of the

decision to investigate.

5.5.2.3.2. If IG DoD disagrees with the Department of the Air Force’s determination

to investigate, (e.g., complaints related to PPD-19 or previous reports of sexual assault)

they may retain the complaint for investigation. SAF/IGQ will then direct the lower-

level IG to close the case.

5.5.2.4. If a complaint analysis determines a reprisal investigation is not warranted, IGs

will select “Dismiss” in ACTS and transfer the case to SAF/IGQ through their MAJCOM,

FLDCOM, NGB, NAF, JFHQ, FOA, or DRU IG office. (T-1) Do not close the case,

unless directed. (T-1) Before forwarding the case file to SAF/IGQ, MAJCOM, FLDCOM,

NGB, NAF, JFHQ, FOA and DRU IGs will conduct a quality review and document the

quality review on DAFCRPSG Attachment 18 (T-1) Provide a periodic update to the

DAFI90-301 4 JANUARY 2024 107

complainant whenever a case transfers between levels of command. (T-1) A periodic

update does not take the place of the 180 Day Notification Letter referred to in paragraph

5.6.3.

5.5.2.4.1. SAF/IGQ will provide a periodic update to complainants informing them the

complaint analysis was forwarded to IG DoD for final determination. IGs will not

advise the complainant of the recommendation that was sent to IG DoD. (T-1)

5.5.2.4.2. SAF/IGQ will forward the complaint analysis to IG DoD for approval.

5.5.2.4.3. If IG DoD agrees with the Department of the Air Force’s determination, they

will notify SAF/IGQ who will in turn notify the MAJCOM, FLDCOM, NGB, JFHQ,

FOA, or DRU IG. It is the responsibility of the MAJCOM, FLDCOM, NGB, FOA, or

DRU IG to notify the complainant there is insufficient evidence to conduct a reprisal

investigation under 10 USC § 1034. Upon case closure, the MAJCOM IGQs will notify

(via ACTS) the IG that conducted the complaint analysis.

5.5.2.4.4. If IG DoD disagrees with the Department of the Air Force’s determination

to dismiss (i.e., not investigate), they may retain the complaint for investigation or

direct the Department of the Air Force to conduct an investigation. SAF/IGQ will

normally delegate the investigation down to the lowest-level IG office through the

MAJCOM, FLDCOM, NGB, FOA, or DRU IG.

5.5.3. To the maximum extent possible the complaint analysis should focus on the "Who,

What, When, Where and How" facts of possible violations of standards to include reprisal and

restriction. If after collecting these facts, the IG is unable to make a determination as to

whether prima facie evidence exists of possible misconduct without interviewing the

subject(s), then the IG will recommend to the appointing authority that an investigation be

conducted. (T-1) IGs will not interview RMOs during complaint analysis without written

approval from the MAJCOM/IGQ. (T-2) IGs serving as IOs under blanket appointment

letters are still required to complete a documented complaint analysis recommending

investigation and receive appointing authority approval before conducting RMO interviews

unless given specific written authorization to do so in a particular case. (T-1)

5.6. Investigating Reprisal Complaints. Conduct reprisal investigations IAW DoDD 7050.06,

DoDI 7050.09, and Chapter 4 of this instruction.

5.6.1. The IO conducting the reprisal investigations will be either:

5.6.1.1. Outside the immediate chain of command of both the member submitting the

allegation and the individual or individuals alleged to have reprised, or: (T-0)

5.6.1.2. At least one organization higher in the chain of command than the organization of

the member submitting the allegation and the individual or individuals alleged to have

reprised. (T-0)

5.6.2. IAW DoDD 7050.06, the owning IG must provide a 180 Day Notification Letter to IG

DoD (through SAF/IGQ) and to the complainant if the investigation is not completed within

180 days after the initiation of the investigation (tasking date in ACTS) and every 180 days

thereafter. (T-0) The letters must include the reasons for the delay, an estimated time of

completion for the investigation, and a copy must be included in the ACTS case file. IGs must

108  DAFI90-301  4 JANUARY 2024 
also comply with Department of the Air Force requirements for periodic updates as specified 
in paragraph 4.22 of this instruction.  (T-1) 
5.6.3.  If the investigation determines the allegation does not meet the definition of reprisal 
under 10 USC § 1034, analyze the allegation as potential abuse of authority and document the 
analysis separately in the ROI in Tab F.  (T-1)  Use DAFCRPSG Attachment 17 for the acid 
test for abuse of authority in your analysis.  If the reprisal allegations are not substantiated, the 
appointed IO will conduct the abuse of authority acid test(s) in a separate document IAW DAFI 
90-301 and DAFCRPSG Attachment 17 to determine if abuse of authority has taken place.  
(T-1)  If no abuse of authority is found, no further action is necessary.  If the acid test for abuse 
of authority indicates abuse did occur, frame an allegation of abuse of authority, with DAFI 
90-301 as the standard, and substantiate the allegation.  (T-1)  Abuse of authority investigation 
findings will be reported directly to the respective appointing authority and documented in 
ACTS under the Subjects/Allegations Tab. (T-1) 
5.6.4.  The final ROI must identify all protected communications, all personnel actions alleged 
to be reprisal taken after the protected communication was made, and all RMOs.  (T-1)  If an 
RMO identified in the complaint analysis is not a subject of the investigation, fully explain the 
rationale in the ROI.  (T-1) 
5.6.5.  The final ROI must contain a thorough analysis of the elements of reprisal with all four 
questions answered for each allegation of reprisal.  (T-1)  However, if the investigation reveals 
that the answer to any of the first three elements is “no,” then it is not necessary to proceed to 
Element 4.  Refer to DAFCRPSG Attachment 16 for the format to analyze the elements of 
reprisal. 
5.6.6.  The  final  case  file  must  contain  a  chronology  of  events  beginning  with  the 
complainant’s  initial  protected  communication  plus  any  subsequent  PCs  and  list  all 
unfavorable personnel actions taken against the military member after the initial protected 
communication.  (T-1) 
5.6.7.  In a case with substantiated findings of reprisal, the ROI must contain recommendations 
for an appropriate remedy for the whistleblower, see paragraph 4.20.2.  (T-1) The IO will 
recommend specific remedial actions to return the whistleblower, as nearly as practicable and 
reasonable, to the position the whistleblower would have held had the reprisal not occurred.  
(T-0)  Also,  the  IO  should  include  general  recommendations  that  appropriate 
command/corrective action be taken against the RMO. (T-1) 
5.6.8.  When a complainant alleges a combination of reprisal and restriction within the same 
complaint, IGs must ensure all applicable reporting requirements for reprisal or restriction, are 
completed IAW Chapters 5 or 6.  (T-1) 
5.6.9.  All reprisal investigations require a minimum of one legal review.  (T-1)  Additional 
legal reviews are optional but required if higher level quality review indicates the need for an 
additional  legal  review  or  if  an  addendum  is  accomplished  that  alters  the  findings  or 
significantly changes the analysis in the ROI. 
5.6.10.  If any allegations are substantiated, refer to paragraph 4.27.3 for tentative conclusion 
letter requirements. 

DAFI90-301  4 JANUARY 2024  109 
5.7.  Reviewing and Approving Reprisal Investigations.  IG DoD  must  approve  all  military 
reprisal investigations regardless of the level where the investigation was conducted.  IGs must 
transfer the case in ACTS to SAF/IGQ through their MAJCOM, FLDCOM, NGB, JFHQ, FOA, 
or DRU IG.  (T-1) 
5.7.1.  Before forwarding the case file to SAF/IGQ, MAJCOM, FLDCOM, NGB, NAF, JFHQ, 
FOA  and  DRU  IGs  will  conduct  a  quality  review  and  document  the  quality  review  on 
Department of the Air Force Complaint Resolution Program Supplemental Guide Attachment 
18 (T-1)  Provide a periodic update to the complainant whenever a case transfers between 
levels  of  command.    (T-1)  A  periodic  update  does  not  take  the  place  of  the  180  Day 
Notification Letter referred to in paragraph 5.6.2. 
5.7.2.  SAF/IGQ will provide a periodic update to complainants and subjects informing them 
the investigation has been completed and forwarded to IG DoD for final approval.  Do not 
inform complainants or subjects of the unapproved investigation findings (i.e., substantiated 
or not substantiated).  (T-1) 
5.7.3.  SAF/IGQ will conduct a review, IAW paragraph 4.34, prior to forwarding the case to 
IG DoD. 
5.7.4.  Follow the procedures specified in Section 4J and/or 4K of this instruction if, during 
higher-level  QR,  deficiencies  are  identified  or  the  reviewing  official  disagrees  with  the 
findings. (T-1) 
5.8.  Final  Approval  and  Notification  Requirements.  IG  DoD  will  notify  SAF/IGQ  upon 
approval of the investigation’s findings. 
5.8.1.  SAF/IGQ will provide a copy of IG DoD’s final approval to the applicable MAJCOM, 
FLDCOM, NGB, FOA, or DRU IG.  (T-1) 
5.8.2.  The MAJCOM, FLDCOM, NGB, FOA, or DRU IG will provide the final response to 
the complainant in a publicly releasable format within 30 days after IG DoD’s approval of the 
findings  as  mandated  by  10  USC  §  1034.    (T-0)  Ensure  responses  to  complainants  are 
consistent with FOIA and PA release guidelines in Chapter 10. (T-0)  Upon case closure, the 
MAJCOM or FLDCOM IGQs will notify the wing IG via ACTS, when applicable. 
5.8.2.1.  If  applicable,  complainants  shall  also  be  advised  of  proper  procedures  for 
OPR/EPR/PRF  appeal  to  the  Evaluation  Reports  Appeal  Board  (ERAB).    (T-0)  
Complainants should be referred to the vMPF for assistance. 
5.8.2.2.  Final responses to complainants must advise them of their right to petition the Air 
Force Board for the Correction of Military Records for correction of adverse personnel 
actions (regardless of the findings in the case), and their right to later appeal the Air Force 
Board for the Correction of Military Records findings to the Secretary of Defense.  (T-0)  
Complainants  should  be  referred  to  the  instruction  page  of  DD149  Application  for 
Correction of Military Record Under the Provisions of Title 10 U.S. Code, Section 1552. 
5.8.2.2.1.  Complainants  who  petition  the  Air  Force  Board  for  the  Correction  of 
Military Records should inform the Air Force Board for the Correction of Military 
Records if IG records exist pertaining to the pending request. 

110 DAFI90-301 4 JANUARY 2024

5.8.2.2.2. SAF/IGQ will provide supporting documentation directly to the Air Force

Board for the Correction of Military Records (or applicable SAF/MRB agency) upon

receipt of an Official Use Request from the board for IG records.

5.8.2.3. MAJCOM, FLDCOM, NGB, FOA, or DRU IGs will provide a redacted copy of

the ROI (and addendum if any) with the final response to the complainant. (T-0) The ROI

should be redacted using exceptions allowed by the FOIA; however, no coordination with

the FOIA office is required. Additionally, IGs have the authority (under 10 USC § 1034)

to act on complainant requests for additional documentation from reprisal investigations

without going through the FOIA office.

5.8.2.4. MAJCOM, FLDCOM, NGB, FOA, or DRU IGs will attach a copy of the final

response to the complainant in ACTS. (T-1)

5.8.3. MAJCOM, FLDCOM, NGB, FOA, or DRU IGs will forward a copy of IG DoD’s final

approval of the investigation to the applicable appointing authority. (T-1) The appointing

authority must notify the subject’s commander of the final investigation findings but will not

provide a copy of IG DoD’s letter to the commander. (T-1) The commander will notify the

subject. (T-1) A copy of the endorsed notification letter to the subject must be included in the

ACTS case file. (T-1)

5.8.4. A copy of command action, to include any rebuttal, must be provided to IG DoD within

30 days. (T-1) However, if action is verbal or no action is taken, IGs will obtain a written

description of the action from the commander. (T-1) IGs will forward these documents to

SAF/IGQ through their MAJCOM, FLDCOM, NGB, NAF, JFHQ, FOA, or DRU IG, within

7 duty days of becoming aware of such action being completed. (T-1) SAF/IGQ will forward

the information to IG DoD.

5.8.5. IGs will close reprisal complaints IAW established procedures as described in Chapter

4 of this instruction. (T-1)

5.8.6. In cases in which an applicant alleges an erroneous finding of reprisal in violation of 10

USC §1034, to the Air Force Board for the Correction of Military Records, the Air Force Board

for the Correction of Military Records will refer the complaint to DAF/IG for consideration,

in coordination with IG DoD. The Air Force Board for the Correction of Military Records will

inform the applicant the Air Force Board for the Correction of Military Records cannot

consider the application or portion of the application regarding the allegation of an erroneous

finding of reprisal, and that the Board has referred the complaint to SAF/IG for review.

SAF/IG must review the complaint in light of the evidence previously considered in its

investigation into the allegation of reprisal and shall determine whether the complaint includes

new, relevant and material evidence. If SAF/IG determines the complaint includes new,

relevant and material evidence, SAF/IG will review its original findings and conclusion

regarding the allegation of reprisal. If SAF/IG determines its original findings and conclusion

are modified by the evidence, SAF/IG will coordinate the modification with IG DoD. After

IG DoD approves or denies the modification, SAF/IG will notify the Air Force Board for the

Correction of Military Records of the results. Only then may the Air Force Board for the

Correction of Military Records consider, without altering, the original DoD approved finding,

or if modified by IG DoD, the IG DoD modified finding in its resolution of any additional

portion of the complaint.

DAFI90-301  4 JANUARY 2024  111 
Chapter 6 
RESTRICTION COMPLAINTS 
6.1.  Governing    Directives.  10  USC  §  1034,  Protected  communications;  prohibition  of 
retaliatory personnel actions and DoDD 7050.06, Military Whistleblower Protection, and DoDI 
7050.09, Uniform Standards for Evaluating and Investigating Military Reprisal or Restriction 
Complaints provide guidance on whistleblower rights and responsibilities. 
6.2.  Department of the Air Force members and civilian employees who fail to obey the 
prohibitions of this chapter are in violation of 10 USC 1034 and may be punished. 
6.2.1.  Pursuant to 10 USC § 1034, DoDD 7050.06, and as further defined in this instruction, 
no person may restrict a member of the armed forces from making or preparing to make a 
lawful communication to any of the following: 
6.2.1.1.  A Member of Congress or a member of his or her staff. 
6.2.1.2.  An Inspector General or a member of an Inspector General’s staff. 
6.2.2.  Civilian  employees  who  violate  this  prohibition  are  subject  to  administrative  or 
disciplinary action. 
6.2.3.  Department of the Air Force members may file complaints of restriction with IGs at any 
level. 
6.2.4.  Department of the Air Force members may file a complaint with any IG once aware of 
restriction.  There is no time limit for filing a restriction complaint. 
6.3.  Procedures for Receipt of Restriction Complaints.  The following outlines Department of 
the Air Force procedures for receiving restriction complaints. 
6.3.1.  Military Members.  Department of the Air Force IGs must advise military members 
alleging restriction of the provisions of 10 USC § 1034 (the Military Whistleblower Protection 
Act) and DoDD 7050.06, and of the rights afforded to complainants under the statute.  (T-0)  
IGs should use DAFCRPSG Attachment 14, Whistleblower Rights Under 10 USC § 1034 to 
assist them. 
6.3.1.1.  The IG must comply with the notification requirements described in paragraph 
6.4, and depending upon the subject’s grade, follow the procedures in paragraph 7.3 or 8.2 
as appropriate.  (T-0) 
6.3.1.2.  IGs should ask complainants whether they have also filed their complaint with IG 
DoD.  If the complainant has, then IGs should include this in the notification letter to IG 
DoD (refer to paragraph 6.4.).  Close the case with no further action unless otherwise 
directed by a higher-level IG. 
6.3.2.  IGs will not conduct investigations into complaints of restriction when the complainant 
is an Department of the Air Force civil service employee, nonappropriated fund employee, or 
defense contractor employee.  (T-1)  See Table 3.7 and paragraph 6.3.3 for handling these 
types of complaints.  Do NOT add allegations of civilian restriction to the ACTS case file. 
6.3.3.  If an IG receives a restriction complaint from a civilian employee, Department of the 
Department of the Air Force civil service employee, nonappropriated fund employee, or a 

112 DAFI90-301 4 JANUARY 2024

defense contractor, 10 USC § 1034 does not apply, and the complaint will be addressed as an

abuse of authority.

6.4. Notification Requirements for Restriction Complaints. IAW DoDD 7050.06, IG DoD

must be notified (through SAF/IGQ) within 10 duty days from the date an IG receives sufficient

documentation (e.g., written complaint, DAF Form 102, etc.) from the complainant. (T-0) To

meet IG DoD’s 10-day notification requirement, IGs at all levels will notify SAF/IGQ through

their MAJCOM, FLDCOM, NGB, NAF, JFHQ, FOA, or DRU IG within 7 duty days using the

notification template in DAFCRPSG Attachment 15. (T-1) Once notification has been

accomplished, attach the notification template in ACTS and send the notification in ACTS to the

next higher-level IG. (T-1) All named RMOs of a restriction complaint must be added to the

subject tab of ACTS, with the appropriate allegation type (restriction) selected on the allegation

tab. (T-1) This ensures that ACTS tracks the case as a 1034 case, and makes the appropriate

automatic special interest category selections on the main tab despite the fact that case may only

be in the complaint analysis phase.

6.4.1. If the IG receiving the complaint determines the complaint requires transfer to another

IG, notification requirements belong to the receiving IG. (T-1) Reference Table 3.8 and 3.9.

6.4.2. Upload a copy of the written complaint, or a detailed narrative of the allegations, with

the notification letter in ACTS and notify SAF/IGQ. (T-1)

6.4.3. IGs receiving allegations not within the purview of the Department of the Air Force will

transfer the complaint to SAF/IGQ through their MAJCOM, FLDCOM, NGB, NAF, JFHQ,

FOA, or DRU IG. (T-1) For complaints appropriate for transfer to DHA, the IG receiving the

allegations will complete the notification to DoD annotating that the DAF is transferring the

case to DHA. (T-1)

6.4.4. Dismissal for unresponsive or uncooperative complainant. In general, complainants

understand that investigations require their timely cooperation. In the infrequent case in which,

during the intake or investigation process, the complainant becomes unresponsive, IGs will

make at least three attempts to reach the complainant using appropriate methods of contact.

(T-1) If the complainant remains unresponsive, the IG will advise the complainant in writing

that it will not be possible to investigate the alleged restriction without the complainant’s

cooperation and that the case will be dismissed unless a response is received within 10 days.

(T-1) If no response is received after allowing a minimum of 10 days for the complainant to

respond, the IG may exercise its discretion to recommend dismissal of the case for lack of

cooperation. Documentation of the dates and methods used in attempts to contact the

complainant will be included in the DAFCRPSG Attachment 2. (T-1) The MAJCOM-

FLDCOM-NGB-FOA or DRU/IGQ will review the recommended dismissal by a lower-level

IG and, if approved, send a letter to the complainant explaining that the case is dismissed and

closed. (T-1) Documentation of the dates and methods used in attempts to contact the

complainant will be included in the decision document. Transfer the complaint to SAF/IGQ

through the MAJCOM, FLDCOM, NGB, NAF, JFHQ, FOA, or DRU IG, including the

appropriate checklist from DAFCRPSG Attachment 18. (T-1)

6.4.5. Withdrawals. When a complainant communicates the intent to withdraw a complaint in

writing, IGs must evaluate whether the withdrawal was voluntary. (T-1) IGs are not obligated

to approve withdrawals, particularly if investigative efforts to date indicate misconduct may

be substantiated. If the IG is satisfied that the request was not coerced, he or she may approve

DAFI90-301 4 JANUARY 2024 113

the withdrawal and recommend dismissal,. The MAJCOM-NGB-FOA or DRU/IGQ will

review the recommended dismissal by a lower-level IG and, if approved, send a letter or email

to the complainant explaining that the case is dismissed and closed. (T-1) Then transfer the

complaint to SAF/IGQ through the MAJCOM, FLDCOM, NGB, NAF, JFHQ, FOA, or DRU

IG for higher-level review, including the appropriate checklist from DAFCRPSG Attachment

18. (T-1)

6.4.5.1. If the request for withdrawal occurs before initial complaint notification to IG

DoD is made, the notification and the withdrawal decision document (DAFCRPSG

Attachment 3) may be sent simultaneously, accompanied by a copy of the complaint to

SAF/IGQ through the MAJCOM, FLDCOM, NGB, NAF, JFHQ, FOA, or DRU IG.

6.4.5.2. If the request for withdrawal occurs after the initial complaint notification to IG

DoD was made, complete a withdrawal decision document (DAFCRPSG Attachment 3)

and include a copy of the withdrawal letter or email. (T-1) Transfer the complaint to

SAF/IGQ through the MAJCOM, FLDCOM, NGB, NAF, JFHQ, FOA, or DRU IG,

including the appropriate checklist from DAFCRPSG Attachment 18. (T-1)

6.4.6. Dismissal for duplicate complaint. IGs may cease evaluation if the incoming complaint

is a duplicate or is intrinsically related to a previously filed complaint and contains no new and

compelling information that would warrant the reopening of a closed case or the creation of a

new one. Once an IG confirms that a complaint meets these criteria, close the case as a

duplicate. (T-1)

6.5. Conducting Complaint Analysis into Allegations of Restriction. The IG receiving the

complaint must expeditiously conduct a complaint analysis to determine whether an investigation

is warranted. (T-0) Within 30 days after receipt of the complaint, the IG must notify SAF/IGQ

(through their MAJCOM, FLDCOM, NGB, NAF, JFHQ, FOA, or DRU IG) of the results of the

complaint analysis. (T-1) Reserve and Guard IGs must complete the complaint analysis within

three UTAs after receiving the complaint. (T-1)

6.5.1. A complaint analysis will be conducted following the procedures in Section 3C and this

paragraph. (T-1) Document the complaint analysis following the format in DAFCRPSG

Attachment 3. (T-1) The IG may consult with the servicing SJA office prior to formalizing

the complaint analysis.

6.5.2. If an investigation is warranted, notify SAF/IGQ through the appropriate MAJCOM,

FLDCOM, NGB, NAF, JFHQ, FOA, or DRU via ACTS. (T-1) Ensure the Date Investigation

Began Block is completed prior to sending DAFCRPSG Attachment 3 as part of the

notification process and include appointing authority approved framed allegations. (T-0) The

investigation start date can be either the date the investigation decision is made, the date the

IO appointment letter is signed, or the date the appointing authority concurs with the decision

to investigate. A quality review using Department of the Air Force Complaint Resolution

Program Supplemental Guide Attachment 18 is not required until the investigation is complete.

6.5.2.1. SAF/IGQ will forward the decision document to notify IG DoD of the decision to

investigate.

6.5.2.2. If IG DoD disagrees with the Department of the Air Force’s determination to

investigate, (e.g., complaints related to PPD-19 or previous reports of sexual assault) they

114 DAFI90-301 4 JANUARY 2024

may retain the complaint for investigation. SAF/IGQ will direct the lower-level IG to close

the case.

6.5.3. If a complaint analysis determines a restriction investigation is not warranted, IGs will

select “Dismiss” in ACTS and transfer the case to SAF/IGQ through their MAJCOM,

FLDCOM, NGB, NAF, JFHQ, FOA, or DRU IG office. (T-1) Do not close the case, unless

directed. (T-1) Before forwarding the case file to SAF/IGQ, MAJCOM, FLDCOM, NGB,

NAF, JFHQ, FOA and DRU IGs will conduct a quality review (QR) and document the QR on

DAFCRPSG Attachment 18 (T-1) Provide a PU to the complainant whenever a case transfers

between levels of command. (T-1) A PU does not take the place of the 180 Day Notification

Letter referred to in paragraph 6.7.3.

6.5.3.1. SAF/IGQ will provide a periodic update to complainants informing them the

complaint analysis was forwarded to IG DoD for final determination. IGs will not advise

the complainant of the recommendation that was sent to IG DoD.

6.5.3.2. SAF/IGQ will forward the complaint analysis to IG DoD for approval.

6.5.3.3. If IG DoD agrees with the Department of the Air Force’s determination, they will

notify SAF/IGQ who will in turn notify the MAJCOM, FLDCOM, NGB, JFHQ, FOA, or

DRU IG. It is the responsibility of the MAJCOM, FLDCOM, NGB, FOA, or DRU IG to

notify the complainant there is insufficient evidence to conduct a restriction investigation

under 10 USC § 1034. (T-0) IGs will close restriction complaints IAW established

procedures as described in Chapter 3 of this instruction. (T-1) Upon case closure, the

MAJCOM or FLDCOM IGQs will notify (via ACTS) the IG that conducted the complaint

analysis.

6.5.3.4. If IG DoD disagrees with the Department of the Air Force’s determination to

dismiss (i.e., not investigate), they may retain the complaint for investigation or direct the

Department of the Air Force to conduct an investigation. SAF/IGQ will normally delegate

the investigation down to the lowest-level IG office through the MAJCOM, FLDCOM,

NGB, JFHQ, FOA, or DRU IG.

6.5.4. If the complaint analysis determines the allegation is not a case of restriction, analyze

the allegation as potential abuse of authority and document the analysis in a separate document

from the complaint analysis. (T-1) Use DAFCRPSG Attachment 17 for the acid test for abuse

of authority in the analysis. (T-1) If the abuse of authority allegation is not dismissed, refer

the allegation to command and create a separate ACTS case. (T-1)

6.5.5. To the maximum extent possible the complaint analysis should focus on the "Who,

What, When, Where and How" facts of possible violations of the standards of restriction. If

after collecting these facts, the IG is unable to make a determination as to whether prima facie

evidence exists of possible misconduct without interviewing the subject(s), then the IG will

recommend to the appointing authority that an investigation be conducted. (T-1) IGs will not

interview RMOs during complaint analysis without written approval from the MAJCOM/IGQ

or FLDCOM/IGQ. (T-2) IGs serving as IOs under blanket appointment letters are still

required to complete a documented complaint analysis recommending investigation for

appointing authority approval before conducting subject interviews unless given specific

written authorization to do so in a particular case. (T-1)

DAFI90-301 4 JANUARY 2024 115

6.6. Evaluating Allegations of Restriction. The IG or IO must follow the questions in Table 6.1

in determining if the elements of restriction are present. (T-1)

Table 6.1. Elements for use in Evaluating Restriction.

How did the RMO limit or attempt to limit the member’s access to an IG or a Member of

Congress?

Would a reasonable person, under similar circumstances, believe he or she was actually

restricted from making a lawful communication with the IG or a Member of Congress

based on the RMO’s actions?

Note: Restriction may be communicated by a variety of means (e.g., verbal, written policy,

regulation, order, procedure, counseling, or public statement) and may create a chilling effect.

6.7. Investigating Restriction Complaints. Restriction investigations will be conducted IAW

DoDD 7050.06, DoDI 7050.09, and Chapters 4 and 6 of this instruction. (T-0)

6.7.1. The IO conducting the restriction investigations will be either:

6.7.1.1. Outside the immediate chain of command of both the member submitting the

allegation and the individual or individuals alleged to have restricted, or: (T-0)

6.7.1.2. At least one organization higher in the chain of command than the organization of

the member submitting the allegation and the individual or individuals alleged to have

restricted. (T-0)

6.7.2. If IG DoD receives a complaint directly from a complainant, then IG DoD will conduct

the complaint analysis. If IG DoD tasks the Department of the Air Force to conduct the

investigation they will forward the analysis and a tasking letter to SAF/IGQ. SAF/IGQ will

forward the package to the MAJCOM, FLDCOM, NGB, JFHQ, FOA, or DRU IG for proper

handling of the complaint.

6.7.3. IAW DoDD 7050.06, the owning IG must provide a 180 Day Notification Letter to IG

DoD (through SAF/IGQ) and to the complainant if the investigation is not completed within

180 days after the initiation of the investigation (tasking date in ACTS) and every 180 days

thereafter. (T-0) The letters must include the reasons for the delay and an estimated time of

completion for the investigation and a copy must be included in the ACTS case file. (T-0) See

IG DoD Guide to Investigating Military Whistleblower Reprisal and Restriction Complaints.

IGs must also comply with Department of the Air Force requirements for PUs as specified in

paragraphs 4.22 of this instruction. (T-1) Use the sample format in DAFCRPSG Attachment

11 for PUs. (T-1)

6.7.4. When a complainant alleges a combination of reprisal and restriction within the same

complaint, IGs must ensure all applicable reporting requirements for reprisal or restriction are

completed IAW Chapters 5 or 6. (T-0) Ensure the IO investigates all the issues associated

with the reprisal or restriction allegation(s). (T-0)

6.7.5. All restriction investigations require a minimum of one legal review. (T-1) Additional

reviews are optional but required if higher level quality review indicates the need for an

additional legal review or if an addendum is accomplished that alters the findings or

significantly changes the analysis in the ROI.

116 DAFI90-301 4 JANUARY 2024

6.7.6. If the investigation determines the allegation does not meet the definition of restriction

under 10 USC § 1034, analyze the allegation as potential abuse of authority and document the

analysis separately in the ROI Tab F. (T-1) See DAFCRPSG Attachment 18 for the acid test

for abuse of authority in the analysis. If the restriction allegations are not substantiated, the

appointed IO will conduct the abuse of authority acid test(s) in a separate document IAW DAFI

90-301 and DAFCRPSG Attachment 17 to determine if abuse of authority has taken place.

(T-1) If no abuse of authority is found, no further action is necessary. If the acid test for

abuse of authority indicates abuse did occur, frame an allegation of abuse of authority, with

DAFI 90-301 as the standard, and substantiate the allegation. (T-1) Abuse of authority

investigation results will be reported directly to the respective appointing authority and

documented in ACTS under the Subjects/Allegations Tab. (T-1)

6.7.7. If any allegations are substantiated, refer to paragraph 4.27.3 for tentative conclusion

letter requirements.

6.8. Reviewing and Approving Restriction Investigations. IG DoD must review and approve

all restriction investigations, regardless of the level where the investigation was conducted. IGs

must transfer the case in ACTS to SAF/IGQ through their MAJCOM, FLDCOM, NGB, NAF,

JFHQ, FOA, or DRU IG. (T-1) IGs at every level of command will accomplish a PU before

transferring the case to the next HHQ IG. (T-1)

6.8.1. SAF/IGQ will provide a PU to complainants and subjects informing them the

investigation has been completed and forwarded to IG DoD for final approval. (T-1) Do not

inform complainants and subjects of the unapproved investigation findings (i.e., substantiated

or not substantiated). (T-1)

6.8.2. Before forwarding the case file to SAF/IGQ, MAJCOM, FLDCOM, NGB, NAF, JFHQ,

FOA and DRU IGs will conduct a QR. (T-1) IGs will document the QR using the SAF/IGQ

Quality Review Checklist, Attachment 18, in the Department of the Air Force Complaints

Resolution Program Supplemental Guide. (T-1) Each level of review will complete the

checklist and upload it to ACTS. (T-1)

6.8.3. SAF/IGQ will conduct a review, IAW paragraph 4.34, prior to forwarding the case to

IG DoD.

6.8.4. Follow the procedures specified in section(s) 4J and/or 4K of this instruction if, during

higher-level quality review, deficiencies are identified or the reviewing official disagrees with

the findings.

6.9. Final Approval and Notification Requirements. IG DoD will notify SAF/IGQ upon final

approval of the investigation’s findings.

6.9.1. SAF/IGQ will provide a copy of IG DoD’s final approval to the applicable MAJCOM,

FLDCOM, NGB, FOA, or DRU IG. (T-1)

6.9.2. The MAJCOM, FLDCOM, NGB, FOA, or DRU IG will provide the final response to

the complainant in a publicly releasable format within 30 days after IG DoD’s approval of the

findings as mandated by 10 USC § 1034. (T-0) Ensure responses to complainants are

consistent with FOIA and PA release guidelines in Chapter 10. (T-1)

6.9.2.1. MAJCOM, FLDCOM, NGB, FOA, and DRU IGs will provide a redacted copy of

the ROI (and addendum, if any) with the final response to the complainant. (T-0) The

DAFI90-301 4 JANUARY 2024 117

ROI should be redacted using exceptions allowed by the FOIA; however, no coordination

with the FOIA office is required. Additionally, IGs have the authority (under 10 USC §

1034) to act on complainant requests for additional documentation from restriction

investigations without going through the FOIA office.

6.9.2.2. MAJCOM, FLDCOM, NGB, FOA, and DRU IGs will provide SAF/IGQ with a

copy of the final response to the complainant. (T-1)

6.9.3. MAJCOM, FLDCOM, NGB, FOA, and DRU IGs will forward a copy of IG DoD final

approval of the investigation to the applicable appointing authority. (T-1) The appointing

authority must notify the subject’s commander of the final investigation findings but will not

provide a copy of IG DoD’s letter to the commander. (T-1) The commander will notify the

subject. (T-1) A copy of the endorsed notification letter to the subject must be included in the

ACTS case file. (T-1)

6.9.4. A copy of command action, to include any rebuttal, must be provided to IG DoD within

30 days. (T-1) If action is verbal or no action is taken, IGs will obtain a written description

of the action from the commander. (T-1) IGs will forward these documents to SAF/IGQ

through their MAJCOM, FLDCOM, NGB, NAF, JFHQ, FOA, or DRU IG, within 7 duty days

of becoming aware of such action being completed. (T-1) SAF/IGQ will forward the

information to IG DoD.

6.9.5. IGs will close restriction complaints IAW established procedures as described in

Chapter 4 of this instruction. (T-1)

118 DAFI90-301 4 JANUARY 2024

Chapter 7

COLLECTION, DOCUMENTATION, AND NOTIFICATION REQUIREMENTS IN

SUPPORT OF THE DEPARTMENT OF THE AIR FORCE SCREENING

7.1. Overview. One of the key tenets of the officer appointment policy is that all officers

recommended for Secretary of Defense appointment or Presidental appointment following Senate

confirmation are mentally, physically, morally, and professionally qualified for appointment and

meet the exemplary conduct provisions of Title 10. As such, officers requiring Senate

confirmation (majors and above) will be centrally screened by SAF/IG to check for potential

adverse/derogatory information as part of the promotion process. In general, adverse information

is defined as (1) a substantiated adverse finding or conclusion from an officially documented

investigation or inquiry; or (2) any credible information that reflects unacceptable conduct, or a

lack of integrity or judgment on the part of an individual. A detailed definition can be found in

Attachment 1. This section will explain the collection, documentation and notification

requirements to SAF/IG and, in general, how and when screening will be accomplished for

officers, civilians and enlisted personnel as appropriate.

7.2. Governing Directives. Title 10 United States Code Section 615, Information Furnished to

Selection Boards, Title 10 United States Code Section 9233, Requirement of Exemplary Conduct,

Title 10 United State Code Section 14107, Information Furnished by the Secretary Concerned to

Promotion Boards, DoDI 1320.04, Military Officer Actions Requiring Presidential, Secretary of

Defense, or Under Secretary of Defense for Personnel and Readiness Approval or Senate

Confirmation, AFI 38-101, Manpower and Organization; DAFI 36-2501, Officer Promotions and

Selective Continuation, DAFI 36-2907, Adverse Administrative Actions, AFI 36-2504, Officer

Promotion, Continuation and Selective Early Removal in the Reserve of the Air Force, AFI 36-

3203, Service Retirements, DAFMAN 1-101, Commander Directed Investigations.

7.3. Collecting, Documentation and Notification requirements for Investigations and

adverse information involving officers. In order for SAF/IG centralized officer screening to be

effective, it requires that IGs not only accomplish reprisal and restriction investigations, but that

IGs at all levels must also collect, document, and notify SAF/IG of investigations opened by

commanders (CDIs) on any officer (2d Lt through Col) and the issuance of stand-alone adverse

action, such as LOAs, LORs or Article 15s, to all officers. (Installation IGs collect CDIs at the

base level, MAJCOM IGs collect CDIs at the MAJCOM level etc.). (T-0) In addition to IG and

commander investigation or inquiry, there are numerous other types of investigations or inquiries.

Although not all inclusive, Table 7.1 highlights some of these types of investigations or inquiries.

Even though these organizations have their own databases where potential adverse information is

cataloged, IGs must notify SAF/IGQ and collect adverse information documentation required by

Table 7.1 when made aware of the investigation or inquiry. (T-0)

7.4. Commanders, directors and civilians leaders will:

7.4.1. Notify the local IG at the start of any investigation or inquiry when an officer is named

as a subject. (T-0) In addition, notify the local IG anytime you become aware of any complaint

of misconduct against a Colonel (O-6) which is not obviously without merit and which, if true,

would constitute misconduct or improper/inappropriate conduct. Do not wait until the

investigation or inquiry starts, make the notification when first becoming aware of the

complaint. (T-0)

DAFI90-301 4 JANUARY 2024 119

7.4.2. Notify the local IG at the conclusion of any investigation or inquiry when an officer (or

civil servant grade 15 or equivalent) was named as a subject whether substantiated or not.

Refer to Table 7.1 for a list of required documents. (T-0)

7.4.3. Commanders must also provide a copy of stand-alone command action (LOAs, LORs,

Article 15s) on any officer (or civil servant grade 15 or equivalent) that was not the result of

an investigation or inquiry. (T-0) Note: Stand-alone LOCs (No investigation or inquiry) are

not reportable.

7.4.4. Commanders, directors, and civilian leaders must also provide a copy of all command

action as the result of any substantiated investigation or inquiry to the local MPF for inclusion

to the military personnel record. (T-0) Note: If the commander elects to provide verbal

counseling or no command action following the substantiated finding, it still must be

documented in an MFR format and the subject will be provided an opportunity to provide

rebuttal as well. (T-0) See the discussion of adverse information in DAFI 36-2907, paragraph

1.2.

7.5. IGs will:

7.5.1. Notify SAF/IGQ through ACTS within 7 days (through the MAJCOM, FLDCOM,

NGB, NAF, JFHQ, FOA, or DRU IG) at the start of any investigation or inquiry when an

officer is named as a subject (T-1) Ensure the subject tab in ACTS is fully completed,

including Social Security Number and DoD ID number (Electronic Data Interchange Personnel

Identifier (EDIPI)). (T-1) In addition, notify SAF/IGQ (through the MAJCOM, FLDCOM,

NGB,JFHQ, FOA, or DRU IG) upon receiving or becoming aware of any complaint of

misconduct against Colonels which are not obviously without merit and which, if true, would

constitute misconduct or improper/inappropriate conduct. Do not wait until the investigation

or inquiry starts, make the notification when first becoming aware of the complaint.

7.5.2. Create a case in ACTS when a notification is made to SAF/IGQ under the provisions of

paragraph 7.4 or this paragraph. (T-1) Once the investigation or inquiry is complete, attach

all closure documents required by Table 7.1 in ACTS. Use attachment 25 in the DAFCRPSG

as a guide when creating the ACTS case file for these cases. (T-1) Once all required

documents are uploaded, the case may be closed.

7.5.3. Notify SAF/IGQ through ACTS within 7 days (through the MAJCOM, FLDCOM,

NGB, NAF, JFHQ, FOA, or DRU IG) at the conclusion of any investigation or inquiry when

an officer (or civil servant grade 15 or equivalent) was named as a subject, whether

substantiated or not (T-1)

7.5.4. Notify SAF/IGQ through ACTS within 7 days (through the MAJCOM, FLDCOM,

NGB, NAF, JFHQ, FOA, or DRU IG) when any officer (or civil servant grade 15 or equivalent)

is administered any command action following a substantiated finding of an investigation or

inquiry from any source. (T-1) Use attachment 24 in the DAFCRPSG as a guide when creating

the ACTS case file for these cases. (T-1)

7.5.5. Notify SAF/IGQ through ACTS, via the Group Box, within 7 days (through the

MAJCOM, FLDCOM, NAF, JFHQ, or DRU IG) when any officer (or civil servant grade 15

or equivalent) receives standalone command action at the level of a LOA or higher. Note:

Standalone LOCs are not required to be reported or documented in ACTS. (T-0)

120 DAFI90-301 4 JANUARY 2024

Table 7.1. Collection, Documentation and Notification Requirements in support of the

Department of the Air Force Officer Promotion Screening (T-1).

If the adverse

information is a result

of:

Then SAF/IGQ requires the following documents to close the

case:

An IG conducted Report

of Investigation (ROI)

1. Copy of entire case file (ROI and attachments)

2. Copy of legal review

3. Copy of command/corrective action

4. Copy of command action rebuttal by subject

A commander-directed

investigation (CDI)

1. Copy of CDI report (case file and all attachments)

2. Copy of legal review (if accomplished)

3. Copy of the final command actions (including non-judicial

punishment, an LOR, an LOA, an LOC, a Record of Individual

Counseling, or a memorandum documenting verbal counseling

of the subject)

4. Copy of any rebuttal or statement provided by the subject

Commander’s inquiry

with no documentation

or report

1. A memorandum, signed by the commander, outlining how the

allegations were addressed

2. Copy of legal review (if accomplished)

3. Copy of the final command actions (including non-judicial

punishment, an LOR or an LOA).

4. Copy of any rebuttal or statement provided by the subject

Court-martial

1. Copy of the charge sheet

2. Notification of charges referred and estimated date of trial

3. Upon completion, copy of the results of trial

Adverse Clinical

Privileging Action

1. Copy of investigative report

2. Copy of legal review (if accomplished)

3. Copy of command actions taken upon completion of

investigation

4. Any rebuttal or statements provided by the subject

Anti-Deficiency Act

Investigation

1. Copy of investigative report

2. Copy of legal review (if accomplished)

3. Copy of DoD’s Report of Violation

4. Copy of command actions taken upon completion of

investigation

5. Copy of any rebuttal or statements provided by the subject

Accident Investigation

Board (AIB)

1. Copy of Summary of Facts, Statement of Opinion, and any

other portions of AIB report containing derogatory information,

unless the entire report is required by SAF/IGQ

2. Copy of any documents containing derogatory information

which were created/obtained by any post-AIB investigation or

inquiry

3. Copy of legal review of derogatory information (if

accomplished)

DAFI90-301 4 JANUARY 2024 121

Independent Command

Action

1. Copy of the command action (e.g., LOA, LOR, etc.)

2. Copy of any rebuttal or statements provided by the subject

Other types of

investigations/inquiries,

e.g., EO (formal and

informal), FM, OSC,

AFOSI, SF, etc.

1. Copy of investigative documents (if available)

2. Copy of legal review (if accomplished)

3. Copy of command/corrective action (if accomplished)

4. Copy of command action rebuttal by subject (if applicable)

7.6. Department of the Air Force Screening.

7.6.1. Officers being considered for promotion to major, lieutenant colonel, colonel, or

brigadier general will be screened both pre-board and post-board. The purpose of pre-board

screening is to ensure applicable adverse information is provided to HAF/A1, AF/REP,

NGB/A1, as appropriate, for inclusion in the officer’s record. The purpose of post-board

screening is to report open investigations or inquiries on officers selected for promotion.

7.6.1.1. SAF/IGQ is responsible for all pre- and post-board screening actions from Major

up to and including Colonel.

7.6.1.2. If the post-board check finds that an officer is named in an open investigation or

inquiry, report the individual’s name, with a general synopsis of the allegation, to the

appropriate headquarters personnel office using an MFR format. These individuals will be

withheld from the selection list (scroll) pending completion of the investigative process.

7.6.1.2.1. If the open allegation is eventually substantiated, the officer’s commander

will review the finding of the investigation or inquiry and make a recommendation back

to the headquarters personnel office on whether or not the promotion should still be

supported. (T-1) If the commander no longer wishes to support the promotion, the

commander will comply with DAFI 36-2501, Officer Promotions and Selective

Continuation, Chapter 5, Promotion Propriety Actions. (T-1)

7.6.1.2.2. If the open allegation is eventually not substantiated, the officer’s record will

be placed back into the promotion process. (T-1)

7.6.2. Officers being considered for promotion to Major General.

7.6.2.1. Officers with adverse information that is not documented in their Officer

Performance Report or their Officer Selection Record (OSR) will have a Senior Officer

Unfavorable Information File created for consideration by the promotion board. Senior

Officer Unfavorable Information Files on brigadier generals are based on adverse

information not previously considered by the Senate pursuant to the officer’s appointment

to that grade.

7.6.2.2. Adverse information includes any substantiated adverse findings or conclusions

from an officially documented investigation or inquiry, or other adverse actions, including,

but not limited to LOCs, LOAs, LORs, non-judicial punishment, pursuant to Article 15,

UCMJ, and other adverse information. SAF/IGS acts as a central repository for all adverse

information on senior officials and prepares the draft adverse information summaries and

documentation of command action for review by the Senior Officer Unfavorable

Information File decision authority (SAF/GC).

122 DAFI90-301 4 JANUARY 2024

7.6.2.3. SAF/GC, acting for the SECAF, determines the content of the Senior Officer

Unfavorable Information File and whether the Senior Officer Unfavorable Information File

will be provided to a selection board.

7.6.2.4. The subject officer will be given a copy of the draft Adverse Information

Summary and documentation of the command action prepared for the selection board and

will be afforded an opportunity to submit written comments to the selection board IAW

Title 10 United States Code§ 615(a)(7)(A) and Title 10 United States Code Section

14107(a)(7)(A). (T-0)

7.6.2.5. Attachments to officer’s comments are discouraged. If provided, they must be

limited to matters directly raised in the Adverse Information Summary and/or command

action and not otherwise included in the OSR. (T-1)

7.6.2.6. The draft Adverse Information Summary, documentation and the officer’s

comments (if any) will be reviewed by SAF/GCI before being forwarded to SAF/GC for

final decision. (The officer will be advised if a substantial change to the Adverse

Information Summary is necessitated by the comments.)

7.6.2.7. If SAF/GC determines the Adverse Information Summary and documentation will

be provided to the board, the subject officer’s comments will accompany the Adverse

Information Summary and documentation to form the approved Senior Officer

Unfavorable Information File.

7.6.2.8. HAF/A1LG provides a copy of the approved Senior Officer Unfavorable

Information File to the subject’s senior rater on or before the Promotion Recommendation

Form (PRF) accounting date, if possible.

7.6.2.9. If an eligible officer is selected for promotion/federal recognition, the information

contained in the Senior Officer Unfavorable Information File may also be considered

during the nomination and confirmation process.

7.6.2.10. Information provided to a selection board may not be provided to subsequent

boards unless SAF/GC has made a new determination that the information will be

forwarded to the board, and the individual is afforded another opportunity to comment. A

decision not to provide a Senior Officer Unfavorable Information File to a selection board

does not preclude a decision to provide it to a subsequent board.

7.6.2.11. Adverse information documented in the OSR (e.g., UCMJ action, administrative

reprimand, etc.) will not be included in a Senior Officer Unfavorable Information File.

7.6.2.12. Adverse information not considered by a selection board will be presented to a

Special Selection Review Board (SSRB) before SECAF decides whether to support the

officer for appointment to the next higher grade. (All Senior Officer Unfavorable

Information File guidance noted above apply to SSRB Senior Officer Unfavorable

Information Files.).

7.7. Roles in the Officer Screening Process (1st Lt - Colonel Promotions).

7.7.1. The role of the commander is to report the opening and closing of all investigations or

inquiries to the IG and to provide command action documents to both the IG and to the local

MPF. (T-0)

DAFI90-301 4 JANUARY 2024 123

7.7.2. The role of the wing, NAF, FOA/DRU, FLDCOM, and MAJCOM/IG is to document

in ACTS, and notify SAF/IGQ, the opening and closing of all investigations/inquiries on

officers. (T-0)

7.7.3. The role of SAF/IGQ:

7.7.3.1. Pre-board – Screen FGO boards for adverse information and report all required

adverse information to HAF/A1, AF/REP, NGB/A1, AFPC and ARPC.

7.7.3.2. Post-board – Screen FGO boards for open investigation or inquiry and report all

found to HAF/A1, AF/REP, NGB/A1, and AFPC and ARPC.

7.7.4. The role of HAF/A1 is to recommend to SECAF whether or not to support a promotion,

whether or not to start Promotion Propriety Actions (removal from promotion list) or whether

or not to accomplish a SSRB. If a SSRB is necessary, it will be completed by AF/A1 under

the direction of SAF/GC.

7.8. Screening Outside the Promotion Process.

7.8.1. Centralized screening for purposes outside of the promotion process can also be

accomplished by SAF/IGQ at the direction of the SECAF, CSAF, or CSO, but these processes

are not statutory (required by law) in nature but rather are by DAF policy. They include but

are not limited to: Command Screening Board (CSB), Selective Early Retirement Board

(SERB), Continuation Boards Squadron Commander Board, Command Chief Master Sergeant

Board, ROTC PAS Board, USAFA Dean of Faculty, 12 Outstanding Airman of the Year, and

Guardians of the Year.

7.8.2. The use of the IG database, ACTS, is expressly prohibited for the screening of

individuals below DAF level or for any purpose. (T-1)

7.8.3. Officer Grade Determination (OGD)

7.8.3.1. AFI 36-3203, Service Retirements, paragraph 8.6.3. requires commanders to

review officer’s records who have applied for retirement, to determine the grade at which

the officer will be allowed to retire based on satisfactory or creditable service. As part of

the processing for retirements, AFI 36-3203, paragraph 8.6.4. states: “… commanders

should send a formal request for a records review to the following offices/personnel: IG,

JA and MPF.” If an IG receives such a request, use the following guidance to conduct a

records review:

7.8.3.1.1. Search ACTS using the “global search” function to determine whether or

not the individual in question is listed as a subject. (T-1)

7.8.3.1.1.1. If the individual is not listed as a subject in ACTS, the response to a

records review request would be: “The individual has no records on file in the IG

database.” (T-1)

7.8.3.1.1.2. If the individual is listed as a subject in ACTS and the finding is listed

as “not substantiated” or “not applicable,” the response to a records review request

would be: “The individual has no substantiated cases in the IG database.” (T-1)

7.8.3.1.1.3. If the individual is listed as a subject in ACTS and the finding is listed

as “substantiated,” the response to a records review request would be: “The

individual has a substantiated case in the IG database.” (T-1)

124 DAFI90-301 4 JANUARY 2024

7.8.3.1.1.4. If the individual has a case in ACTS but cannot be viewed due to

hierarchy restrictions, then refer the request to the next higher level IG. Continue

to elevate within the ACTS’ hierarchy, through the respective NAF, FLDCOM,

MAJCOM, or SAF/IGQ, if necessary, to respond to the request. (T-1)

7.8.3.1.2. ACTS records reviews conducted in support of Commander OGD

requirements do not give IGs unrestricted authority to release records from the IG

database. Release authority depends on the particular record being considered for

release.

7.8.3.1.2.1. Refer requests for CDIs, EO, AFOSI and other non-IG

investigations/inquiries to the office that conducted the investigation or inquiry.

(T-1)

7.8.3.1.2.2. Refer the request for documents related to command action (e.g.,

Article 15s, LORs, LOAs and LOCs) to the office that originally took the command

action. (T-1)

7.8.3.1.2.3. Refer request for IG ROIs to SAF/IGQ. (T-1)

7.8.3.2. If no records are found, document OGD requests in a new ACTS case file as an

“assist” and close. (T-1) If records are found, document actions in a case note in the

respective case(s). (T-1)

7.8.4. Defense Sexual Assault Advocate Certification Program (D-SAACP).

7.8.4.1. Search ACTS using the “global search” function to determine whether or not the

individual in question is listed as a subject. (T-0)

7.8.4.2. If the individual is not listed as a subject of an IG investigation in ACTS, the

response to a records review request would be: “The individual has no records on file in

the IG database.” (T-0)

7.8.4.3. If the individual is a D-SAACP applicant and is listed as a subject of an IG

investigation in ACTS, the response to a records review request would be: “The individual

is the subject of an IG investigation in the IG database.” (T-0) Do not provide any further

information. (T-1)

7.8.4.4. If the individual is a SAPR PM, SARC, or SAPR VA and is listed as a subject of

an IG investigation in ACTS and the allegation against the individual is sexual in nature or

has a nexus to their SAPR duties, the response to a records review request would be: “The

individual is the subject of an IG investigation in the IG database with an allegation against

the individual that is sexual in nature or has a nexus to their SAPR duties.” (T-0) Do not

provide any further information. (T-1)

7.8.4.5. If the individual is listed as a subject in ACTS, but the case cannot be viewed due

to hierarchy restrictions, then refer the request to the next higher level IG. Continue to

elevate within the ACTS’ hierarchy, through the respective NAF, MAJCOM, FLDCOM,

or SAF/IGQ, if necessary, to respond to the request. (T-1)

7.8.4.6. If no records are found, document D-SCAAP requests in a new ACTS case file as

an “assist” and close. (T-1) If records are found, document actions in a case note in the

respective case(s).

DAFI90-301 4 JANUARY 2024 125

7.8.5. Individuals selected for positions within the IG enterprise (IG, IGI, IGQ).

7.8.5.1. Individuals selected for positions within the IG enterprise (IG, IGI, IGQ) at all

levels will be screened for adverse information prior to completion of the assignment/hiring

action. (T-1) All O-6 assignment actions are centrally screened by SAF/IGQ after

receiving the list of candidates from the Colonel’s group (both USAF and USSF).

Individuals selected for positions below the O-6 level at the SAF/IG, MAJCOM,

FLDCOM, NGB, NAF, JFHQ, or installation wing level should must be screened at that

level using the following process. (T-1)

7.8.5.1.1. Search ACTS using the “global search” function to determine whether or

not the individual in question is listed as a subject. (T-1)

7.8.5.1.1.1. If the individual is not listed as a subject in ACTS or the finding is

listed as “not substantiated” or “not applicable” no further action is required.

7.8.5.1.1.2. If the individual is listed as a subject in ACTS and the finding is listed

as “substantiated,” review the case to determine whether or not this person is still

appropriate for the position he/she is being hired for. (T-1) Note: adverse

information is not a disqualifier for any IG position, but should be considered

before finalizing the hiring action.

7.8.5.2. If the individual has a case in ACTS but cannot be viewed due to hierarchy

restrictions, then refer the request to the next higher level IG. (T-1) Continue to elevate

within the ACTS’ hierarchy, through the respective SAF, MAJCOM, FLDCOM, NGB,

NAF,or JFHQ IG, if necessary, to complete the screening review. (T-1)

7.8.5.3. If no records are found, document IG file check requests in a new ACTS case file

as an “assist” and close. (T-1) If records are found, document actions in a case note in the

respective case(s). (T-1)

126 DAFI90-301 4 JANUARY 2024

Chapter 8

COMPLAINTS AGAINST SENIOR OFFICIALS

8.1. Requirements for Investigating Allegations Against Senior Officials.

8.1.1. SAF/IGS manages the Senior Official Complaints Program. Only SAF/IGS (unless

otherwise specified by SAF/IG or as indicated in the sub-paragraphs below) will conduct

investigations into non-criminal allegations against Department of the Air Force senior

officials.

8.1.1.1. Complaints alleging violations of Military Equal Opportunity (MEO) policy by a

senior official are handled by SAF/IGS. IAW DAFI 36-2710, Equal Opportunity Program,

SAF/IGS does not investigate civilian EO/Sexual Harassment allegations against senior

officials. Those matters will be worked within the appropriate EO channels.

8.1.1.2. If a complaint is received on an O-6 subject and the matter has not been resolved

when that subject is selected for promotion to brigadier general (or is selected for a

Certificate of Eligibility for promotion to O-7 in the case of ANG officers), SAF/IGS may,

at its discretion, either assume responsibility for the complaint or allow it to continue to

resolution at the lower level. Complaints resolved and/or investigations completed below

the SAF/IGS level must be approved by SAF/IG. (T-1) SAF/IGS will provide an oversight

review of these matters. SAF/IGS must be notified of all complaints involving ANG O-6s

selected for a Certificate of Eligibility for promotion to O-7. Cases completed below the

SAF/IGS level must be staffed through that lower level’s supporting SJA and must include

a thorough legal review indicating the investigation is legally sufficient. (T-1)

8.1.1.3. SAF/IGS procedures may vary from those otherwise outlined in other chapters of

this instruction, consistent with IG DoD and SAF/IG guidance, current management and

personnel policies affecting senior officials, or other pertinent factors.

8.1.2. Commanders and civilians leading an organization designated as a unit IAW AFI 38-

101, Manpower and Organization, at all levels, including joint commands, will immediately

notify SAF/IGS of any allegations (criminal, administrative, or otherwise), any adverse

information, or any potentially adverse information involving senior officials and provide an

information copy to the servicing wing IG office, which will provide a copy to its

MAJCOM/FLDCOM IG. (T-0) IGs will notify SAF/IGS of any allegations or potentially

adverse information using the procedures in Table 8.1. (T-1) Use the notification letter format

described in DAFCRPSG Attachment 13. (T-1)

8.1.2.1. IGs who receive complaints against a Department of the Air Force senior official

may only inform their commanders about the general nature of the issues and the identity

of the subject. (T-1)

8.1.2.2. To protect the complainant’s confidentiality, do not reveal either the source or

specific nature of the allegations. (T-1)

8.1.3. SAF/IGS must notify SAF/IG when it becomes aware of credible allegations of

misconduct or potentially adverse information against senior officials.

8.1.4. SAF/IGS will conduct a complaint analysis on all complaints involving Department of

the Air Force senior officials. The complaint analysis will be used to analyze the validity of

DAFI90-301 4 JANUARY 2024 127

the complaint and to recommend a course of action to SAF/IG. Due to the limited number of

investigating officers, the unconstrained nature of complaints, and the complexities involved

with conducting sensitive investigations across the entire Department of the Air Force, the

CRP timelines in Table 3.1 may be extended.

8.1.5. SAF/IGS will conduct a complaint analysis for complaints containing allegations with

multiple subjects that include a senior official. SAF/IGS will notify SAF/IGQ of any credible

allegations involving non-senior officials.

8.1.6. SAF/IG (or as delegated) will review and approve the complaint analysis.

8.1.7. Throughout the complaint process, from the initial receipt of the complaint to the

closing of the case, the appropriate notifications will be made as set forth in Table 8.2. (T-1)

The intent is to keep appropriate commanders, agencies, complainants, and subjects informed

throughout the process.

8.2. Notification Requirements. Follow the Complaint Processing and Notification Matrix in

Tables 8.1 and 8.2 for cases involving senior officials. (T-0)

Table 8.1. Senior Official Complaint Processing.

If the complainant makes

assertions…

Then…

Against a senior official

Create a case in ACTS, attach the complaint and the

notification letter IAW DAFCRPSG Attachment 13 and

send the appropriate “Notify” case note, through the

MAJCOM, FLDCOM, NGB, NAF, JFHQ, FOA, or

DRU IG to SAF/IGQ. SAF/IGQ will notify SAF/IGS.

Do NOT take “action” in ACTS until SAF/IGS

determines they will accept the case. SAF/IGS does not

investigate civilian EO/Sexual Harassment allegations

against senior officials; those matters will be worked

within the appropriate EO channels. If SAF/IGS

accepts the case, the notifying IG will close the case as a

referral.

Against a senior official and

lower ranking members

Coordinate with SAF/IGS (and SAF/IGQ as

appropriate) through the MAJCOM, FLDCOM, NGB,

NAF, JFHQ, FOA, or DRU IG to determine case

management requirements. SAF/IGS will determine if

all RMOs will be addressed in one case file (managed

by SAF/IGS) or they will direct the use of multiple case

files to address all RMOs. Notification using

DAFCRPSG Attachment 13 is still required.

128 DAFI90-301 4 JANUARY 2024

Table 8.2. Senior Official Notification Matrix.

If…

And…

Then…

In Complaint

Analysis

Phase

Complaint has arrived,

but complaint analysis

is not completed

1. SAF/IGS notifies SAF/IG

2. SAF/IGS conducts complaint analysis

Complaint analysis has

been completed and

SAF/IG determines an

investigation is not

warranted

SAF/IGS notifies complainant and closes case

Complaint analysis has

been completed and

SAF/IG determines an

investigation is

warranted

1. SAF/IG notifies SAF/OS, AF/CC, CSO,

SAF/US, AF/CV, and VCSO (as necessary),

AF/A1LG or SAF/MRL (as applicable),

AF/JA, and SAF/GC; SAF/MR, SAF/AA and

SAF/GCA are included for SES or equivalent

subjects only; SAF/MR is notified when cases

involve the US Air Force Academy (USAFA).

2. SAF/IG notifies MAJCOM/CC or

FLDCOM/CC (or equivalent) or the Director

of the Air National Guard and the state

Adjutant General where applicable

3. SAF/IG notifies subject

4. SAF/IGS provides notification letters to

the complainant and subject

5. SAF/IGS notifies IG DoD of credible

allegations within five duty days

Investigation

Phase

Investigation is ongoing

SAF/IGS provides status reports to

complainant and subject throughout the

course of the investigation

After SAF/IG

Approval

Allegations were not

substantiated

1. SAF/IG notifies SAF/OS, AF/CC, CSO,

SAF/US, AF/CV, and VCSO (as necessary),

AF/A1LG or SAF/MRL (as applicable),

AF/JA, and SAF/GC; SAF/MR, SAF/AA and

SAF/GCA are included for SES or equivalent

subjects only; SAF/MR is notified when cases

involve the US Air Force Academy (USAFA).

2. SAF/IG notifies MAJCOM/CC or

FLDCOM/CC (or equivalent) or the Director

of the Air National Guard and the state

Adjutant General where applicable

3. SAF/IG notifies subject

DAFI90-301 4 JANUARY 2024 129

4. SAF/IGS provides notification letter to the

complainant

5. SAF/IGS provides a copy of the

investigation to IG DoD

Allegations were

substantiated

1. SAF/IG notifies SAF/OS, AF/CC, CSO,

SAF/US, AF/CV, and VCSO (as necessary),

AF/A1LG or SAF/MRL (as applicable),

AF/JA, and SAF/GC; SAF/MR, SAF/AA and

SAF/GCA are included for SES or equivalent

subjects only; SAF/MR is notified when cases

involve the US Air Force Academy (USAFA).

2. SAF/IG notifies MAJCOM/CC or

FLDCOM/CC (or equivalent) of

results for the purpose of taking

command action; AF/CV takes

command action for ANG subjects

(SAF/IG notifies the Director of the

Air National Guard and the state

Adjutant General for information

purposes); SAF/IG refers substantiated

civilian senior official cases to

SAF/MR for appropriate action IAW

AFI 36-901, Civilian Senior Executive

Management

3. SAF/IG notifies subject of investigation

results

4. SAF/IGS notifies complainant of

investigation results

5. SAF/IGS provides a copy of the

investigation to IG DoD

6. Office responsible for taking

command action notifies SAF/IG of

action taken

7. SAF/IGS provides a copy of the command

action taken to SAF/IG, the appropriate

personnel management office, and IG DoD

8.3. Investigating Allegations Against Senior Officials. If SAF/IG decides an investigation is

warranted, SAF/IGS will:

8.3.1. Designate an IO to conduct the investigation.

8.3.2. Ensure all allegations are addressed and expeditiously investigated. Due to the limited

number of investigating officers, the unconstrained nature of complaints, and the complexities

involved with conducting sensitive investigations across the entire Department of the Air

Force, the CRP processing timelines in Table 3.1 may be extended.

130 DAFI90-301 4 JANUARY 2024

8.3.3. Ensure the findings and conclusions are supported by a preponderance of the evidence.

8.3.4. Ensure AF/JAJI reviews the final report for legal sufficiency.

8.3.5. Since subjects in senior official investigations are frequently not co-located with their

supervisory chain, the hand-off for senior official cases may be conducted via direct electronic

means such as through VTC, telephonically, or other similar method, at the discretion of the

subject’s supervisor. In all instances, the spirit and intent of the hand-off policy will be met

by ensuring senior official subjects have a “wingman” expressly assigned to assist as needed

after a subject interview.

8.3.6. SAF/IG will keep supervisors of subjects in SAF/IGS cases aware of other stressful

events in the investigative process, such as the opening of an investigation, the issuing of a

TCL (if necessary), and the closing of an investigation so the supervisor can provide or arrange

necessary support to the subject.

8.3.7. Prior to final SAF/IG approval and signature of a SAF/IGS ROI containing

substantiated allegations, SAF/IGS will provide the subject a redacted copy of the relevant

portions of the preliminary ROI, as well as a transcript of the subject’s testimony, for the

subject’s use in responding to the report’s conclusions. If a subject elects to not participate in

an interview, or if the subject does not reasonably participate in the interview, the TCL process

is not required.

8.4. Closing a Senior Official Investigation.

8.4.1. Notifications will be made as set forth in Table 8.2.

8.4.2. SAF/IG will forward substantiated cases to the AF/CV, MAJCOM/CC, FLDCOM/CC

(or equivalent), or SAF/MR (as applicable) for consideration of possible command action, to

include action deemed appropriate to correct the negative effect of substantiated misconduct

on individuals and/or the unit. Substantiated cases involving Department of the Air Force

civilian senior officials, are referred to SAF/MR for action IAW AFI 36-901, Civilian Senior

Executive Management. AF/CV takes command action for ANG subjects. SAF/IG will send

AF/CV, MAJCOM/CC, FLDCOM/CC (or equivalent), or SAF/MR (as applicable) an

unredacted copy of the substantiated ROI and a copy of all exhibits for their use in determining

the appropriate command action. Additionally, SAF/IG will send AF/CV, MAJCOM/CC,

FLDCOM/CC, or SAF/MR a redacted copy of the ROI for possible use by the subject in

responding to potential command action as deemed appropriate by AF/CV, MAJCOM/CC,

FLDCOM/CC, or SAF/MR.

8.4.3. AF/CV, MAJCOM/CC, FLDCOM/CC (or equivalent), or SAF/MR (as applicable) will

forward command action, and any other actions taken related to the reports, to SAF/IGS for

closure. SAF/IGS will ensure command action (if taken) has been documented in the case file.

8.4.4. SAF/IGS will provide IG DoD a copy of the final report, including testimony and

attachments, within five duty days after the final report is approved by SAF/IG.

8.4.5. SAF/IGS notifies SAF/MRL and SAF/GCA on all matters substantiated against AF

civilian senior leaders and officials. These offices are tasked with taking the matters to the

SAF/MR for action IAW AFI 36-901. (T-1) SAF/IGS will provide a copy of the final ROI to

SAF/GCA and the exhibits when requested.

DAFI90-301 4 JANUARY 2024 131

8.4.6. Upon receipt from the command action authority, SAF/IGS provides a copy of the

command action taken to SAF/IG, the appropriate personnel management office, and IG DoD.

132 DAFI90-301 4 JANUARY 2024

Chapter 9

DOD HOTLINE COMPLAINTS

9.1. Governing Directive. DoDI 7050.01, DoD Hotline Program, establishes policies and

procedures used in processing allegations referred to the Department of the Air Force Inspector

General by the DoD Hotline.

9.2. Overview. This chapter implements DoD Directive (DoDD) 5106.01 Inspector General of

The Department of Defense (IG DoD), and DoD Instruction (DoDI) 7050.01. The DoD Hotline

provides a confidential, reliable means for individuals to report fraud, waste, and abuse, violations

of law, rule or regulation, mismanagement, and classified information leaks involving the DoD.

The detection and prevention of threats and danger to the public health and safety of the DoD and

the United States are essential elements of the DoD Hotline mission. All DoD Components are

obligated to resolve credible violations of standard within DoD Hotlines under their Components

purview. SAF/IGQ is the administrative and programmatic authority for the processing of DoD

Hotlines in the Department of the Air Force, delegating the authority to process DoD Hotlines to

subordinate IGs. Part of the processing of DoD Hotlines is the review and referral to a Department

of the Air Force command or agency for resolution as necessary. Department of the Air Force

commands and agencies must resolve the DoD Hotlines in accordance with DoDI 7050.01. This

chapter gives specific direction for servicing IGs to process DoD Hotlines and for commands and

agencies who receive referrals or other official coordination from their servicing IG office.

9.3. SAF/IGQ Responsibilities. SAF/IGQ will:

9.3.1. Designate a DoD Hotline Component Coordinator by position to report the results of

Department of the Air Force inquiries conducted in response to DoD Hotline referrals to DoD

Hotline.

9.3.2. Receive and evaluate DoD Hotline ACTIONs and DoD Hotline INFOs and transfer

them as appropriate to the servicing IGs for resolution.

9.3.3. Notify the complainant through email that the SAF/IGQ received their DoD Hotline

ACTION and processed for resolution to the appropriate level IG for possible referral to a

command or agency.

9.3.4. Track the status and final disposition of all DoD Hotline ACTIONs and DoD Hotline

INFOs with substantiated findings.

9.3.5. Ensure the Department of the Air Force answers DoD Hotline ACTIONs and DoD

Hotline INFOs with substantiated findings by completing a Hotline Completion Reports

(HCR). Reviews and analyzes all HCRs to determine whether all aspects of the complaint

were fully addressed, appropriate corrective action was taken based on the stated findings and

conclusions, and the HCRs were prepared using the appropriate format IAW DoDI 7050.01.

Notifies the servicing IGs of deficiencies in HCRs found at either the DoD Hotline or SAF/IGQ

level. Ensures servicing IGs process the deficiencies to the referred Department of the Air

Force command or agency for further resolution and response back to SAF/IGQ. For DoD

Hotlines kept at the Department of the Air Force level, answer complaints by completing an

HCR and processing appropriately in ACTS.

DAFI90-301 4 JANUARY 2024 133

9.3.6. Ensure allegations of IG misconduct or mishandling of IG processes filed to the DoD

Hotline are resolved through the appropriate level IG. Allegations of IG misconduct or

mishandling of IG processes are NOT referred to command or an agency. If applicable, the

appropriate level IG will conduct the appropriate level inquiry and process the resolution to

SAF/IGQ through an HCR.

9.4. Subordinate level IG Responsibilities. Receive, evaluate, and process DoD Hotline

ACTIONs and DoD Hotline INFOs following the steps in Table 9.1 and Table 9.2 (T-1)

9.5. DoD Hotlines. The DoD Hotline will refer two types of DoD Hotlines to Department of the

Air Force: DoD Hotline ACTION and DoD Hotline INFO. A DoD Hotline ACTION has

allegations that can be resolved by the Department of the Air Force and which may be an indication

of a systemic problem within the service, or have been determined through the DoD Hotline review

process as requiring attention. A DoD Hotline INFO is a complaint that does not require a DoD

inquiry, but does contain an allegation that should be brought to the Department of the Air Force’s

attention and may require an inquiry at the Department of the Air Force’s discretion.

9.5.1. DoD ACTION Hotlines. After determining if a DoD Hotline is an ACTION Hotline,

DoD Hotline personnel refer cases to SAF/IGQ according to the following priorities IAW

DoDI 7050.01:

9.5.1.1. Priority 1 – Emergency. These cases require immediate action. (T-0) They

usually involve an immediate threat to life, physical harm to a person, significant property

damage, or an immediate threat to national security. These cases must be worked to the

exclusion of everything else until the case is referred to and received by the proper

authority. (T-0) Priority 1 Emergency cases require prompt initial feedback from

SAF/IGQ to the DoD Hotline within a suspense established by the DoD Hotline at the time

of the referral. The suspense is established based on the urgency of the matter.

9.5.1.2. Priority 1 – Expedited Referral. DoD Hotline personnel notify the proper

authorities and refer the case within 1 workday of receipt. For example, an expedited

referral case may involve a danger to public health or safety.

9.5.1.3. Priority 2 – Prompt Referral. DoD Hotline personnel notify the proper authorities

and refer the case within 3 workdays of receipt. For example, a prompt referral case may

involve allegations of whistleblower reprisal, senior official misconduct, or other matters

of heightened concern to the department.

9.5.1.4. Priority 3 – Routine. DoD Hotline personnel refer the case within 10 workdays of

receipt.

9.5.1.5. All IGs at all levels will evaluate and process DoD ACTION Hotlines following

the steps in Table 9.1. (T-1)

Table 9.1. How to process a Department of Defense Hotline for ACTION (T-1):

Step

Actions

Appropriate level IG will review the DoD Hotline ACTION sent by SAF/IGQ. DoD

Hotlines are not referred for reprisal, restriction, or senior official complaints. Contact

SAF/IGQ with any questions.

134 DAFI90-301 4 JANUARY 2024

Complete a complaint analysis. IGs may contact the complainant if clarification is

needed.

If there are complaints not under the purview of the Department of the Air Force,

document justification in ACTS case notes and notify SAF/IGQ through ACTS so

SAF/IGQ can coordinate with DoD Hotline for closure.

Per DoDI 7050.01, only DoD Hotline can approve closure of DoD Hotline ACTIONs.

IGs below the SAF/IGQ level WILL NOT close DoD Hotline ACTIONs without

coordination with SAF/IGQ. IGs can consider the reasons in Table 3.13 (e.g.,

timeliness, non-cooperation, or withdrawal) for requesting closure of DoD Hotlines but

this must be coordinated through SAF/IGQ. Contact SAF/IGQ if reasons in Table 3.13

are compelling enough to request closure from DoD Hotline.

If applicable, continue to process remaining complaints under Department of the Air

Force purview.

If appropriate for resolution by an agency or grievance channel outside of the IG, the

servicing IG should refer the DoD Hotline ACTION to command or an agency using

the “DoD Hotline ACTION Referral” in DAFCRPSG Attachment 32. Included as

attachments to the “DoD Hotline ACTION Referral” are the following: 1) DoD

Hotline Completion Report (HCR) “How to Guide” with guidance to the command or

agency on how to successfully complete an HCR and includes DoDI 7050.01, and 2)

the DoD Hotline ACTION.

The servicing IG will be the technical advisor to the command or agency for

completing the HCR in accordance with DoDI 7050.01. The command or agency

completes and signs the HCR. Suspense the command or agency to respond within 90

days for the appropriate levels of IG review, including a final SAF/IGQ review.

Note: If the DoD Hotline ACTION contains complaints regarding IG

misconduct/mishandling, then the IG at least one echelon above the alleged

misconduct IG should resolve using the HCR and process to SAF/IGQ

accordingly. No allegations of IG misconduct/mishandling should be referred

outside the IG enterprise. The IG resolving the allegations against subordinate

IGs can contact SAF/IGQ or their higher level IG for assistance.

Provide the complainant with the DoD Hotline ACTION Referral Notification Letter.

Document letter and notification in ACTS. See DAFCRPSG Attachment 32.

No formal updates are required to complainant as this is a referral to command or an

agency, not an IG investigation.

Servicing IG must update the ACTS case notes monthly with the status of the DoD

Hotline ACTION referral. If there is no change in status, then annotate there is no

change. The servicing IG may determine how to monitor the progress of the DoD

Hotline resolution (e.g., call or email command or agency for an update). SAF/IGQ will

DAFI90-301 4 JANUARY 2024 135

check ACTS case notes to monitor the status of DoD Hotline ACTIONs.

Servicing IG must coordinate with the referred command or agency to receive the HCR

and supporting documents in a timely manner. Do not provide the HCR directly to the

complainant nor provide the complainant the command or agency findings. The

complainant will be notified after DoD Hotline approves the HCR. Servicing IGs will

track all HCRs referrals under their purview to best meet the suspense provided to the

command or agency in the “DoD Hotline ACTION Referral.”

If the suspense cannot be met, servicing IG will use the ACTS notify function to

provide the SAF/IGQ DoD Hotline Coordinator with an extension request before the

suspense date. The notify will state the reason for the delay and the expected

completion date. SAF/IGQ will provide the determination for extension through an

ACTS notify.

After receiving the resolution documents from the command or agency (which must

include the HCR and supporting documents), the servicing IG must review the

information for quality standards defined in DoDI 7050.01. This includes investigative

sufficiency, confirming the HCR is free from any impediments to investigative

independence (see paragraph 9.7.3.2.), and adheres to the HCR format. If servicing

IGs find deficiencies with the HCR, they must coordinate correction of the HCR with

the command or agency. The servicing IG must document HCR quality review within

ACTS Case Note before transfer to the next higher-level IG for their review. This

review must occur before uploading documents to ACTS.

The servicing IGs will upload the HCR and supporting documents (such as ROIs, CDIs,

and legal reviews) into “Disposition/Resolution Documents” in ACTS for processing

back for higher level IG review (if appropriate) and final SAF/IGQ review. Transfer the

ACTS casefile to the next higher-level IG for processing to SAF/IGQ.

Note: Do not upload “DRAFT” HCRs or old versions of HCRs in ACTS. Only the

HCR intended for review by DoD Hotline will be attached in ACTS under Attachments:

Dispositions/Resolution.

All HCRs put into ACTS for review by SAF/IGQ will be labeled clearly as the HCR

and include the DCATS number.

Servicing IGs will confirm that the ACTS case is in “completed” status before

transferring to SAF/IGQ.

Servicing IGs will ensure all officers who are subjects within the final HCR are

annotated on the ACTS Subjects Tab with appropriate identifying data,

allegations, and findings in accordance with Chapter 7.

136 DAFI90-301 4 JANUARY 2024

After transferring to SAF/IGQ, if needed, servicing IGs will coordinate the

resolution of any deficiencies identified by higher-level IGs, SAF/IGQ, or DoD

Hotline.

Deficiencies will be documented and communicated in ACTS case notes. All

deficiencies should be coordinated with the referred agency or command for their

inputs (if appropriate).

DoD Hotline will notify the complainant that their Hotline complaint is resolved upon

approval of the HCR.

DoD Hotline will instruct the complainant to submit a FOIA request for the HCR

findings.

SAF/IGQ will notify the complainant that their DoD Hotline ACTION is closed and

provide instructions regarding Department of the Air Force FOIA.

SAF/IGQ will notify the MAJCOM, or NGB-IG of the DoD Hotline ACTION closure

and close the ACTS casefile using the closure date on the DoD Hotline Closure

Report.

9.5.2. DoD INFO Hotlines. IGs at all levels will evaluate and process DoD INFO Hotlines

following the steps in Table 9.2. (T-1)

Table 9.2. How to process a Department of Defense Hotline for Information (INFO) (T-1):

Step

Actions

Appropriate level IG will review the DoD Hotline INFO sent by SAF/IGQ. DoD Hotlines

are not referred for reprisal, restriction, or senior official complaints. Contact SAF/IGQ

with any questions.

Complete a complaint analysis. IGs may contact the complainant if clarification needed.

Dismissals:

If there are complaints not under the purview of the Department of the Air Force, document

justification in ACTS case notes and close at the IG level that determined the Department

of the Air Force did not have purview. Therefore, respond to the complainant regarding

the dismissal and direct them to the appropriate agency. Document the notification to the

complainant in ACTS and close. There is no requirement to ask permission from SAF/IGQ

to close the ACTS casefile.

IGs can consider the reasons in Table 3.13 (e.g., timeliness, non-cooperation, or

withdrawal) for closure of DoD Hotline INFOs. Provide justification in ACTS case notes

and respond to the complainant regarding the dismissal. Document the notification to the

complainant in ACTS and close. There is no requirement to ask permission from SAF/IGQ

to close the ACTS casefile.

DAFI90-301 4 JANUARY 2024 137

If DoD Hotline INFO is appropriate for Department of the Air Force resolution and not

dismissed in accordance with Table 3.13, continue to process DoD Hotline INFO

complaints in accordance with the remainder of this table below.

These are the following resolution paths for servicing IGs to resolve the DoD Hotline INFO:

1. If the resolution to the DoD Hotline INFO is an assist to an appropriate grievance channel

or agency outside of the Department of the Air Force, assist the complainant, then document

and close in ACTS.

2. If appropriate for referral to command or agency, the servicing IG should refer to

command or agency using the “DoD Hotline INFO Referral” in DAFCRPSG Attachment

36.

Included as attachments to the “DoD Hotline INFO Referral” are the following:

1) DoD HCR “How to Guide” with guidance to the command or agency on how

to successfully complete an HCR and includes DoDI 7050.01, and 2) the DoD

Hotline INFO. Suspense the command or agency in accordance with Table

3.12. to ensure enough time for the appropriate levels of IG review if the HCR

is sent to DoD HL for oversight.

Provide the complainant with the DoD Hotline INFO Referral Notification

Letter. Document letter and notification in ACTS. No formal updates are

required to the complainant as this is a referral to command or an agency, not an

IG investigation.

If not substantiated, the command or agency provides the servicing IG with an HCR. Attach

the HCR and final response to complainant to ACTS and close at the servicing IG level.

Receiving an HCR without any substantiated findings permits the servicing IG to close at

their level without SAF/IGQ and DoD HL approval. The command or agency must provide

(if applicable) a copy of any final response provided to the complainant to the servicing IG

for documentation in ACTS.

If substantiated, the command or agency provides the servicing IG with an HCR to

resolve a DoD Hotline INFO, but does not provide the findings to the complainant,

and:

1) Servicing IGs will confirm that the ACTS case is in “completed” status if a referral

was completed to command, before transferring an HCR to SAF/IGQ.

2) Servicing IGs will ensure all officers who are subjects within the final HCR are

annotated in the ACTS Subjects Tab with appropriate identifying data, allegations,

and findings in accordance with Chapter 7.

3) After receiving the resolution documents from the command or agency (which must

138 DAFI90-301 4 JANUARY 2024

include the HCR and supporting documents), the servicing IG must review the information

for quality standards defined in DoDI 7050.01 (outlined in paragraph 9.9. below). This

includes investigative sufficiency, confirmation the HCR is free from any impediments to

investigative independence (see paragraph 9.7.3.2.), and adheres to the HCR format. This

review must occur before uploading documents to ACTS. If you find deficiencies with the

HCR, your level IG is responsible for coordinating correction of the HCR. The servicing IG

must document HCR quality review within ACTS Case Note before transfer to the next

higher-level IG for their review.

After review and the documents are satisfactory, the servicing IGs will upload the

HCR and supporting documents (such as ROIs, CDIs, and legal reviews) into ACTS

for processing back for higher level IG review (if appropriate) and final SAF/IGQ

review. Transfer the ACTS casefile to the next higher-level IG for processing to

SAF/IGQ.

Note: Do not attach “DRAFT” HCRs or old versions of HCRs in ACTS. Only the

HCR intended for review by DoD Hotline will be attached in ACTS under

Attachments: Disposition/Resolution Documents.

All HCRs put into ACTS for review by SAF/IGQ will be labeled clearly as the HCR

and include the DCATS number.

Servicing IGs will coordinate the resolution of any deficiencies identified by higher-

level IGs, SAF/IGQ, or DoD Hotline and document deficiencies and coordination in

ACTS case notes. All deficiencies should be coordinated with the referred agency or

command for their inputs (if appropriate).

Upon approval of the HCR, DoD Hotline will notify the complainant that the complaint they

filed with the DoD Hotline is resolved.

DoD Hotline will instruct the complainant to submit a FOIA request for the HCR findings.

SAF/IGQ will notify the complainant that their DoD Hotline INFO is closed and provide

instructions regarding Department of the Air Force FOIA.

SAF/IGQ will notify the MAJCOM, or NGB-IG of the DoD Hotline INFO closure and

close the ACTS casefile using the closure date on the DoD Hotline Closure Report.

If no referral to command or an agency is appropriate (usually occurs when the DoD Hotline

INFO is a duplicate of an AF IG complaint already documented in ACTS), the servicing IG

may resolve using any pertinent information within IG channels or discussion with

command or an agency. If there are no substantiated allegations in the duplicate AF IG

cases, then close the ACTS casefile with sufficient documentation to justify closure. Notify

the complainant of resolution and close in ACTS.

If the duplicate issues were substantiated, refer to command and complete HCR process in

Step 4 of this table. Contact SAF/IGQ to coordinate if needed.

DAFI90-301 4 JANUARY 2024 139

9.6. Allegations under OSI purview. DoD Hotline will normally send DoD Hotline taskings

regarding criminal allegations directly to AFOSI/IGQ (OSI Hotline Coordinator). If an IG should

receive a DoD Hotline tasking that they believe is under AFOSI investigative purview, coordinate

with SAF/IGQ. (T-1) It is possible the entire DoD Hotline will be transferred to AFOSI/IGQ for

actions or only part of the DoD Hotline will be resolved by AFOSI.

9.7. Command or agency responsibilities when receiving a DoD Hotline. All Department of

the Air Force commands and agencies are required to comply with the quality standards for

hotlines outlined in DoDI 7050.01. (T-0)

9.7.1. Commands or agencies who received DoD Hotline referrals from their servicing IG

must:

9.7.1.1. Notify the servicing IG, as soon as possible, of command and agency actions taken

in response to a Priority 1 Emergency referral. (T-0)

9.7.1.2. For DoD Hotline ACTION referrals, interview the complainant and clarify 1) who

are the personnel with alleged misconduct and 2) what specific violations of standards

occurred. (T-1) If complainant is not available or cooperative, document to servicing IG

through the HCR. (T-1)

9.7.1.3. For DoD Hotline INFO referrals, determine if an inquiry is warranted. (T-1) If

inquiry warranted, proceed with the complainant interview to clarify 1) who are the

personnel with alleged misconduct and 2) what specific violations of standards occurred.

(T-1)

9.7.1.4. Track all DoD Hotlines referred by the servicing IG for resolution. (T-1)

9.7.2. Department of the Air Force commands and agencies will not forward DoD Hotline

cases outside the Department of the Air Force. (T-1) In instances where the Department of

the Air Force command or agency believes the matter should be referred to another DoD

Component, coordinate with the servicing IG to return the DoD Hotline ACTION/INFO

referral to SAF/IGQ so SAF/IGQ can recommend DoD Hotline refer the matter elsewhere.

(T-1)

9.7.3. For both DoD Hotline ACTION and DoD Hotline INFO referrals with substantiated

allegations, the commands or agencies who received the referrals from their servicing IG must:

9.7.3.1. Provide the HCR to the servicing IG by the suspense. (T-1) If the suspense cannot

be met, provide the servicing IG with an extension request, before the suspense date, stating

the reason for the delay and the expected completion date. (T-1)

9.7.3.2. Ensure that personnel who conduct any type of inquiry to resolve a DoD Hotline

referral must be free, both in fact and appearance, from possible conflicts of interest. (T-0)

This standard for investigative independence places the responsibility for maintaining

independence upon the DoD Hotline and Department of the Air Force so that decisions

used in prioritizing, processing, investigating, reviewing, and reporting on hotline

complaints will be impartial and will be viewed as independent.

9.7.4. Both commands or agencies will ensure their servicing IG receives all the

documentation that supports the findings and conclusions contained in the HCR. (T-0) This

includes, but is not limited to, the following (T-0):

140 DAFI90-301 4 JANUARY 2024

9.7.4.1. The HCR.

9.7.4.2. Actions taken to determine the facts and make findings.

9.7.4.3. The complete identity of all witnesses, their contact information, and the date of

and pertinent information relayed during interviews.

9.7.4.4. Specific details and locations of all documents reviewed during the inquiry.

9.7.4.5. A description of any other actions taken by the command, agency, or other legal

authority as a result of the hotline inquiry.

9.7.4.6. Evidence relied upon in making the final determination including:

9.7.4.6.1. Documents gathered during the inquiry and pertinent information within.

9.7.4.6.2. Transcripts or summaries of interviews conducted.

9.7.4.6.3. Investigative reports.

9.7.4.6.4. Final legal reviews.

9.7.4.6.5. Full and complete results including corrective actions taken.

9.8. Matters Not Appropriate For The DoD Hotline. Not all matters are appropriate for

resolution in a DoD Hotline.

9.8.1. No reprisal or restriction allegations will be resolved through a DoD Hotline. (T-0)

9.8.2. If the command or agency with a DoD Hotline referral determines there is no credible

violations of standard, the DoD Hotline can be closed or specific issues in the DoD Hotline

can be closed without an HCR. (T-1) Justification for not initiating an inquiry into the

allegations within a DoD ACTION Hotline must be provided to the servicing IG for processing

to SAF/IGQ for approval by DoD Hotline. (T-1)

9.8.3. To avoid duplication of effort, it is permissible for the command or agency who received

a DoD Hotline referral to request closure without further inquiry if the command or agency is

asked to resolve complaints for which other channels to address the matter have been

established by law, rule, or regulation and there is no credible evidence of a process failure

provided by the complainant. Examples of these types of complaints are: EO, MEO, HIPAA,

civilian personnel grievances, etc. Best practices are for the command or agency to coordinate

with the resolution offices governing those complaints and provide the justification to the

servicing IG for coordination with SAF/IG and DoD Hotline for closure.

9.9. HCR quality standards. There are minimum quality standards for Hotline inquiries

conducted in response to DoD Hotline referrals to the Department of the Air Force. HCRs must

be accurate, complete, clear, concise, impartial, timely, and well-organized. DoD Components

should present facts in straightforward, grammatically-correct language and avoid jargon,

redundancy, ambiguity, and obscurity. (T-0)

9.9.1. Department of the Air Force commands or agencies resolving a DoD Hotline referral

must ensure the following per DoDI 7050.01: (T-0)

9.9.1.1. DoD Components will use DoD Hotline format detailed in DoDI 7050.01 for all

HCRs. (T-0)

DAFI90-301 4 JANUARY 2024 141

9.9.1.2. The organization conducting the Hotline inquiry must ensure that the activities are

conducted by personnel who collectively possess the knowledge, skills, abilities, and

security clearances to perform the required tasks.

9.9.1.3. In all matters relating to investigative work, personnel and organizations

conducting the inquiry must be independent, both in fact and appearance. (T-0)

Individuals assigned to conduct and review the hotline inquiry must be either:

9.9.1.3.1. Outside the immediate chain of command, for example, work directly for or

directly over, of both the individual submitting the allegation(s) and the individual(s)

accused of misconduct; (T-0) OR

9.9.1.3.2. At least one organization higher in the chain of command than the

organization of the individual submitting the allegation and the individual or

individuals accused of misconduct. (T-0)

9.9.1.4. All cases must be handled in a diligent and complete manner, and reasonable steps

must be taken to ensure that relevant matters are sufficiently resolved; and to ensure that

all appropriate criminal, civil, contractual, or administrative remedies are considered.

(T-0)

9.9.1.5. All cases must be initiated, conducted, and reported in accordance with all

applicable laws, rules, and regulations; and other prosecuting authorities; and internal DoD

Component policies and procedures. (T-0)

9.9.1.6. Inquiries should be conducted with respect for the rights and privacy of those

involved.

9.9.1.7. Specific methods and techniques used in each case must be appropriate for the

circumstances and objectives. (T-0)

9.9.1.8. All cases must be handled in a fair and equitable manner, with the perseverance

necessary to determine the facts. (T-0)

9.9.1.9. Evidence must be gathered, analyzed, and reported in an unbiased and

independent manner in an effort to determine the validity of an allegation. (T-0) This

includes inculpatory and exculpatory information.

9.9.1.10. Inquiries must use preponderance of evidence as the standard of proof to

substantiate or not substantiate allegations. (T-0)

142 DAFI90-301 4 JANUARY 2024

Chapter 10

IG RECORDS MAINTENANCE AND RELEASE

Section 10A—Directive, Terms and Overview

10.1. Governing Directives. DoDI 5200.48_DAFI 16-1403, Controlled Unclassified

Information; DODM 5200.01 V1-3_AFMAN 16-1404 V1-3, DoD Information Security Program;

DoDM 5400.07_AFMAN 33-302, Freedom of Information Act Program; DoDM 6025.18,

Implementation of the Health Insurance Portability and Accountability Act (HIPAA) Privacy Rule

in DOD Health Care Programs; AFPD 90-4, Relations with Congress; AFI 33-332, Air Force

Privacy and Civil Liberties Program; DAFI 36-148, Discipline and Adverse Actions of Civilian

Employees; AFI 51-202, Nonjudicial Punishment; and AFI 90-401, Air Force Relations with

Congress, and AFI 33-322, Records Management and Information Governance Program, provide

guidance on related records management and release.

10.2. Overview. This chapter covers the Department of the Air Force IG Records Maintenance

and Release Program. The Department of the Air Force Inspector General grants access to IG

records under the following two separate records release programs, subject to the provisions

stipulated in this chapter.

10.2.1. Official Use Requests (OUR) - Section 10D.

10.2.2. Freedom of Information Act (FOIA) and Privacy Act (PA) requests - Section 10E.

Section 10B—Maintenance of IG Records

10.3. Marking IG Records.

10.3.1. Classify reports according to the policies and procedures contained in security

regulations (DODM 5200.01 V1-3, DoD Information Security Program, DoDI 5200.48 _DAFI

16403, Controlled Unclassified Information, and the AFIS Security Classification Guide).

(T-0)

10.3.2. IG reports and case related records will be marked “Controlled Unclassified

Information” (CUI) unless they are classified as outlined in DoDM 5200.01-V2. (T-1)

10.3.2.1. Mark or stamp all IG documents on the outside of the front cover (if any), at the

bottom of the first page, and each succeeding page above the “CUI” marking with the

following disclaimer: “This is a protected document. It will not be released (in whole or

in part), reproduced, or given additional dissemination (in whole or in part) outside of

Inspector General channels without prior approval of The Inspector General (DAF/IG) or

designee.” (T-1)

10.3.2.2. In accordance with DoDI 5200.48_DAFI 16-403, all Department of the Air Force

records will include, on the first page or cover of any document or material containing CUI,

a CUI designation indicator containing the information as shown in Figure 1. The point

of contact (POC) is from the office marking the material. (T-0)

Figure 10.1. CUI Designation Indicator for All Documents and Material.

Controlled by: Department of the Air Force (Only if not on letterhead)

DAFI90-301 4 JANUARY 2024 143

Controlled by: SAF/IG

CUI Category: CUI//PRIIG

Distribution/Dissemination Control: FEDCON

POC: [Phone or email address]

10.3.2.3. Mark all documents provided by the complainant as “COMPLAINANT

PROVIDED.” (T-1)

10.3.3. E-mails that contain and/or transmit IG reports, complaint analyses, notification

memos, records, or information must call attention to the CUI and/or attachments. (T-1)

Include CUI in the e-mail subject line, if the subject line contains CUI. (T-1) All e-mails will

be encrypted IAW applicable directives. (T-0) Add the following e-mail header at the

beginning of the body of the message text that contains CUI:

“CUI” This e-mail contains CONTROLLED UNCLASSIFIED INFORMATION (CUI)

information which must be protected under the Privacy Act and AFI 33-332.” (T-0)

10.4. Protection of IG Records.

10.4.1. IG reports are protected documents. Only SAF/IG, or designated representatives, can

approve release of IG documents outside of IG channels. Refer to Sections 10D and/or 10E

for further guidance.

10.4.2. Refer to DODI 5200.48_DAFI 16-1403 for proper marking of e-mail. (T-1)

10.5. Protecting Privacy Interests.

10.5.1. IOs conducting IG investigations will not provide witnesses, subjects, or other third-

parties with copies of complaints or investigative reports or documents or allow those parties

to read any complaint filed through IG channels, unless authorized by law or policy. (T-1)

10.5.1.1. A complaint to an IG, or a complaint worked in IG channels, is protected

information, unless otherwise noted by applicable law or policy.

10.5.1.2. During interviews, subjects and suspects must be advised of the specific nature

of the allegations against them to permit them to properly respond to or defend against such

allegations. (T-1)

10.5.1.3. Witnesses need only be generally advised of the matters under investigation to

permit them to respond to the questions asked and to provide other relevant information.

(T-1)

10.5.2. If the complainant consents to release of their information, the complainant should be

told the IO or commander (or civilians leading an organization designated as a unit IAW AFI

38-101) may discuss the case with appropriate officials and witnesses to resolve the complaint.

10.5.3. Generally, do not release the complaint, materials or information provided by the

complainant, or the response to the complainant to a third-party requester or the subject,

without the complainant’s written consent or IAW the FOIA/PA or other applicable law or

policy, such as an appropriate request from a DoD component for official use purposes, court

order, etc.

10.5.4. Do not release medical information unless authorized by law and policy. (T-0)

Medical information possessed by the IG is protected by the Privacy Act rather than the Health

Insurance Portability and Accountability Act (HIPAA).

144 DAFI90-301 4 JANUARY 2024

10.5.5. When an IG investigation is halted because it is determined another type of

investigation is warranted, guard the protected nature of the IG records involved. (T-1)

10.6. Maintenance and Disposition of IG Records.

10.6.1. Records must be maintained for the Complaints Resolution program. Maintain and

dispose of records according to the Air Force Records Disposition Schedule, Tables 90-01, 90-

03, and 90-04, available at https://afrims.cce.af.mil/. (T-1) According to those Air Force

Records Disposition Schedule tables, the disposition of some IG documents is based on the

date the case “closed.” IG offices will use the definition of “closure” as listed in Attachment

1 of this instruction to determine the case “closed” date. (T-1)

10.6.2. In order to maintain a record of each complaint and its disposition, all IG records

(including emails, referrals, transfers, assistance, investigations, and dismissals) must be

attached to the ACTS case file. (T-1) Each case/complaint is its own record.

10.6.3. Records should not include classified materials, reports of special security

investigations, or other similarly sensitive documents. If a case must contain sensitive

documents, IGs must cross-reference its identifying number or subject and indicate its primary

storage location. (T-1) Do not retain it in the local IG office file. (T-1)

10.6.4. Do not file any IG complaint correspondence or related documents in an individual’s

unit Personal Information File, field personnel records, or a system of records other than the

system established for IG records (ACTS). (T-1) Properly redacted portions of ROIs provided

to subjects for command action IAW paragraph 10.11 and required by DAFI 36-2907,

Adverse Administrative Actions, are permitted.

10.6.5. Upon case closure, remove and destroy documents such as draft reports, unnecessary

working papers, handwritten notes, Post-it notes, duplicates, etc., if permitted under record

retention rules. (T-3)

10.6.6. Upon case closure, all relevant emails must be uploaded into ACTS. (T-1) Examples

of relevant emails would include emails referenced in a complaint analysis or ROI, or used as

evidence in a case

10.6.7. Recorded testimony (for example, .wav files or other electronically recorded files)

must be destroyed or deleted after the highest level of quality review has been completed or

after the command action has been completed, whichever is later. (T-3)

10.6.8. AF Electronic Records Management. Records attached to ACTS case files will follow

guidelines IAW AFI 33-322, Records Management and Information Governance Program.

(T-1)

10.6.9. Referral Completion Reports are IG records. The templates should be properly marked

as IG records when referred to the agency for action. However, the inquiry documentation and

evidence collected by the referral agency to support the inquiry are not IG records unless placed

into the IG system of records (ACTS) by the IG.

10.7. Maintenance and Disposition of Commander Directed Investigation (CDI) Records.

10.7.1. As directed by DAFMAN 1-101, commanders will provide their servicing IG with

copies of all CDIs and supporting documentation conducted under their authority. (T-1)

DAFI90-301 4 JANUARY 2024 145

10.7.2. IGs will attach CDIs in ACTS following the procedures outlined in DAFCRPSG

Attachment 33. (T-1) IGs will ensure that command has properly marked the CDI and

supporting documentation IAW DAFMAN 1-101 prior to attaching those documents in ACTS.

(T-1)

10.7.3. The command that authorized a CDI stored in ACTS is the release authority for that

CDI, regardless of whether the CDI was the result of an IG referral or not.

10.7.4. In situations where command no longer has a copy of the CDI, command can request

a copy (through the servicing IG) for release.

Section 10C—Restrictions for Use of IG Records

10.8. Restrictions for Use of IG Records. IG records are subject to the following restrictions.

10.8.1. Do not use IG records as attachments or exhibits to other official records without the

written approval of the authority responsible for making release determinations, as delegated

in this instruction. (T-1)

10.8.2. Copies of IG records must be properly destroyed upon completion of stated need.

(T-3)

10.8.3. Do not further release (in whole or in part) IG documents without proper authorization

from the authority responsible for making release determinations. (T-3)

10.8.4. Comply with the provisions of the PA Program in the management of IG records.

(T-0)

10.8.5. Comply with the provisions and restrictions of Title 10 United States Code

Section1102 and AFI 44-119 and DHA-PM 6025.13, Volume 3 in using any records obtained

from a Surgeon General quality assurance review. (T-0) These are records generated by

federal medical treatment facility committees in reviewing the quality and standards of care

provided to patients treated by the medical facility. Ordinarily, these records should be

reviewed and returned to the originator without being attached to the IG record. Consult your

servicing SJA office before attaching any quality assurance documents to an IG report. If a

quality assurance record (or any portion of a record) is included in an IG record, ensure it is

prominently marked as protected by 10 USC § 1102 as a quality assurance document. (T-0)

10.8.6. See DoDM 6025.18, especially paragraph 3.2a., for guidance on the protection and

use of records protected by the Health Insurance Portability and Accountability Act (HIPAA)

to IG operations.

Section 10D—Official Use Requests (OUR)

10.9. Release Determination for OURs. SAF/IG is the authority responsible for making release

determinations for all IG records requested under OUR. SAF/IG makes the following delegations:

10.9.1. Senior official investigation records: The Director, SAF/IGS, or designee, is the

authority responsible for making release determinations for senior official investigation

records.

146 DAFI90-301 4 JANUARY 2024

10.9.2. Colonel (or civil servant grade 15 or equivalent) and below: The Director, SAF/IGQ,

or designee, is the authority responsible for making release determinations for colonel (or civil

servant grade 15 or equivalent) and below IG investigative records.

10.9.3. For command action. The IG responsible for the relevant ROI or case. (T-1)

10.9.4. If a DoD/Department of the Air Force organization or employee requests records (for

example CDIs, command action, etc.) to perform their DoD/ Department of the Air Force

official duties, they should receive all necessary records, subject to any additional

administrative procedural request requirements, such as that exist for classified records or

Privacy Act/medical records.

10.10. Procedures for all OURs. OURs for IG records must be submitted through MAJCOM,

FLDCOM, NGB, NAF, JFHQ, FOA, or DRU IG offices to DAF/IG. (T-2) In every case, the

following guidance applies:

10.10.1. Release of IG records pursuant to OURs will ordinarily be made after case closure

(see paragraph 4.28 for closure requirements).

10.10.2. To make an OUR for IG records, requestors must:

10.10.2.1. Submit requests in writing. (T-1)

10.10.2.2. Identify the records requested as specifically as possible (e.g., date of

investigation, name of IO, subject, and/or complainant). (T-1)

10.10.2.3. Explain in detail why the records are needed. (T-1)

10.10.2.4. Specify when the records are needed. (T-1)

10.10.3. SAF/IG will evaluate OURs and notify the requestor of any applicable restrictions

on the information provided in the release. Make entries in ACTS to show processing of OURs

for IG records.

10.10.4. Maintenance of OURs. Requests and associated will be retained IAW the AF

Records Disposition Schedule in the Air Force Records Information Management System

(AFRIMS). (T-1)

10.11. OURs Related to Command Action. In accordance with paragraph 4.29.3, the

responsible IG will automatically provide the subject’s commander with a copy of the relevant

portions of an approved and substantiated report of investigation (without attachments) for

determining appropriate command action. (T-1) After providing the ROI to the subject’s

commander, JAs may act on behalf of the commander requesting additional IG records.

Commanders submit an OUR to the responsible IG to obtain additional portions of the case file

beyond the information initially provided by the authority responsible for making release

determinations. When possible, the responsible IG should provide the information to the

commander, and specify what is releasable to the subject simultaneously. For Senior Official

cases, see Chapter 8, paragraph 8.4.2.

10.11.1. Release to Subject.

10.11.1.1. Commanders may decide to provide the subject with evidence (if any)

supporting the proposed command action in conjunction with the notice of the action IAW

DAFI 36-2907, appropriately redacted IAW the Privacy Act. Note: Evidence to support

DAFI90-301 4 JANUARY 2024 147

the command action includes information favorable to the defense and may range from no

evidence to all the evidence collected.

10.11.1.2. Refer to AFI 51-202 when providing evidence in an Article 15 action against

an active duty person. (T-1) Refer to AFI DAFI 36-148 when providing evidence relied

on to support command action against DoD civilians. (T-1)

10.11.1.3. Defense Counsel Requests. When defense counsel requests IG records to

represent military members in courts-martial or other disciplinary actions, defense counsel

requests the records from the servicing SJA office who will decide what records are

relevant for the defense counsel to obtain. (T-1) IGs should cooperate with any request

by the servicing SJA office to provide IG records.

10.12. OURs for Other than Command Action.

10.12.1. Requests from AF/A1. AF/ A1 is charged with the responsibility to advise the

Secretary whether officers being recommended for promotion, who have adverse information,

meet the exemplary conduct standards prescribed in Title 10 United States Code Section 9233.

In order to do so, they must have access to relevant IG records. Process requests under this

provision as expeditiously as possible.

10.12.2. Requests from within DoD.

10.12.2.1. All requests for SAF IG records from other DoD offices, such as the Office of

the Secretary of Defense, the Inspector General of the Department of Defense (IG DoD),

the Joint Staff, unified commands, defense agencies and field activities, and the other

service components (including the Reserve Components), must be forwarded to DAF/IG.

(T-1)

10.12.2.2. IG DoD must have expeditious and unrestricted access to and, when required,

must be able to obtain copies of all records, reports, investigations, audits, reviews,

documents, papers, recommendations, or other material available to or within any DoD

component.

10.12.2.3. Air Force Board for the Correction of Military Records Cases. Complainants

who petition the Air Force Board for the Correction of Military Records should advise the

Air Force Board for the Correction of Military Records if relevant IG records exist. The

Air Force Board for the Correction of Military Records may submit an OUR to SAF/IG for

those records as it deems appropriate.

10.12.3. Requests from Government Agencies Outside the DoD, Except Congress. Official

use requests received from non-DoD governmental agencies for IG records must be forwarded

to SAF/IG. (T-2)

10.12.4. Requests From Congress. SAF/IG will process all Congressional requests in

accordance with AFI 90-401.

148 DAFI90-301 4 JANUARY 2024

Section 10E—Freedom of Information Act (FOIA) and Privacy Act (PA) Requests

10.13. Authority Responsible for Making Release Determinations for FOIA and PA

Requests.

10.13.1. The Initial Denial Authority, (IDA) is the denial authority for records that fall under

their functional area. SAF/IG is the IDA for all IG records requested IAW DoDM

5400.07_AFMAN 33-302, Freedom of Information Act Program. (T-1) DAF/IG makes the

following delegations:

10.13.1.1. SAF/IGS is the IDA for senior official cases.

10.13.1.2. SAF/IGQ is the IDA for all IG cases closed at SAF/IGQ level.

10.13.1.3. MAJCOM, FLDCOM, NGB, FOA, or DRU IGs are the release authority for

IG records at their level and below. (T-1)

10.14. Procedures Regarding FOIA Requests.

10.14.1. The FOIA Manager tasks the IG to locate records responsive to FOIA Requests. The

IG will review the FOIA request, search and retrieve the responsive records from ACTS. Add

case note in ACTS to annotate records were retrieved in response to FOIA request. Add FOIA

number as a Source Reference in ACTS and attach FOIA request.

10.14.2. The IG will redact the records in accordance with the current FOIA guidelines. (T-0)

The recommended release (i.e., redactions) must be coordinated with the servicing legal office.

(T-1)

10.14.3. MAJCOM, FLDCOM, NGB, JFHQ, FOA, or DRU IGs must coordinate all proposed

FOIA responses with their FOIA and servicing legal offices . (T-1)

10.14.4. The IG will draft a closure memo with their recommended release decision (that is,

partial denial, full denial) to provide the FOIA office. (T-1)

10.14.5. If a FOIA request comes directly to the IG from the requester, IGs will forward the

request to their FOIA office. (T-1)

10.14.6. When a FOIA request is received from a complainant and “complainant provided”

materials are responsive records to the request, if possible, contact the complainant to clarify

if he or she is requesting “complainant provided” materials. After clarification, annotate the

complainant wishes in the FOIA file. (T-1) If clarification does not occur, process the

“complainant provided” materials and include releasable portions with response to

complainant. (T-1)

Note: Documents released pursuant to a FOIA request are then public documents and may be

further disclosed at the recipient’s discretion.

Section 10F—Making Release Determinations

10.15. General Guidance.

10.15.1. All FOIA or PA responses must be coordinated with the servicing legal office. (T-1)

Denials require a written legal review. (T-1)

DAFI90-301 4 JANUARY 2024 149

10.15.2. Requests by an individual (complainant or subject) for their own records must be

considered under both the FOIA and the PA, even if the requestor does not cite either Act (See

DoDM 5400.07_AFMAN 33-302 and AFI 33-332). (T-0) This does not mean the person

receives a copy; it only means both acts must be considered.

10.15.3. Generally, release of IG records under FOIA or PA will be made only after command

action, if required, is complete and, the case has been closed. (T-1) Respond to requests for

open cases citing the appropriate FOIA or PA exemptions and exceptions after consulting with

your servicing legal office. (T-1) Although a search and the production of all responsive

documents must be accomplished pursuant to a FOIA request, the release of documents

associated with an open/ongoing investigation to a FOIA requester will usually be denied under

FOIA Exemptions (b)(7)(A) and (b)(7)(C) because release of investigative documents prior to

a final decision by the decision authority may compromise the integrity of the investigation

and investigative process.

10.15.4. In cases of reprisal and restriction, federal law, 10 USC § 1034 and DoDD 7050.06

requires the IG automatically “transmit a copy of the report on the results of the investigation

to the member of the armed forces who made the allegation investigated.” (T-0) This is

normally a properly redacted copy of a report of investigation. (T-0) If a FOIA request is

made for reprisal or restriction records by the complainant, the request is processed formally

under the FOIA.

10.16. Further FOIA Guidance. For guidance on analysis of FOIA or PA requests, refer to:

http://www.foia.af.mil/,

https://www.justice.gov/oip/doj-guide-freedom-information-act-

0,https://dpcld.defense.gov/Privacy/SORNsIndex/DOD-wide-SORN-Article-

View/Article/569924/f090-af-ig-b/, https://www.my.af.mil/afrims/afrims/afrims/rims.cfm.

STEPHEN L. DAVIS

Lieutenant General, USAF

The Inspector General

150 DAFI90-301 4 JANUARY 2024

Attachment 1

GLOSSARY OF REFERENCES AND SUPPORTING INFORMATION

References

Fifth Amendment of the United States Constitution

President’s Council on Integrity and Efficiency, Quality Standards for Federal Offices of

Inspector General, Aug 12

Title 5 United States Code, Section 552, Records maintained on individuals (Privacy Act of

1974)

Title 5 United States Code, Section 1212(b)(5)(c), Powers and functions of the Office of Special

Counsel

Title 5 United States Code, Section 2302(b), Prohibited personnel practices

The Inspector General Act of 1978, as amended by The Inspector General Reform Act of 2008,

Title 5 Appendix 3, Section 7

Title 10 United States Code, Section 615, Information furnished to selection boards

Uniform Code of Military Justice (Title 10 United States Code, Section 801, et seq)

Presidential Policy Directive 19 Protecting Whistleblowers with Access to Classified

Information, 10 Oct 12

Title 10 United States Code, Section 936(b)(6), Authority to administer oaths

Title 10 United States Code, Section 1034, Protected communications; prohibition of retaliatory

personnel actions (Military Whistleblower Protection Act of 1988)

Title 10 United States Code, Section 1102, Confidentiality of medical quality assurance records

Title 10 United States Code, Section 9013, Secretary of the Air Force

Title 10 United States Code, Section 9020, Inspector General

Title 10 United States Code, Section 9233, Requirement of exemplary conduct

Title 10 United State Code Section 14107, Information furnished by the Secretary concerned to

promotion boards

Title 31 United States Code Section 1341, Antideficiency Act

Title 32 United States Code Section 709, Technicians: employment, use, status

William M. (Mac) Thornberry National Defense Authorization Act (NDAA) for Fiscal Year

2021, Section 554

5 Code of Federal Regulations, Part 1201, Practices and Procedures, 1 Jan 2011

29 Code of Federal Regulations, Part 1614, Federal Sector Equal Employment Opportunity, 17

Sep 2014

32 Code of Federal Regulations Section 310.40(c), Protection of privacy and access to and

amendment of individual records under the Privacy Act of 1974

DAFI90-301 4 JANUARY 2024 151

Presidential Policy Directive – 19, Protecting Whistleblowers with Access to Classified

Information, 10 Oct 2012

Council of the Inspectors General on Integrity and Efficiency (CIGIE) Quality Standards for

Investigations (QSI), 15 Nov 2011.

DoDD 1401.03, DoD Nonappropriated Fund Instrumentality (NAFI) Employees Whistleblower

Protection, 13 Jun 2014

DoDD 5240.01, DoD Intelligence Activities, 27 Aug 2007

DoDD 7050.06, Military Whistleblower Protection, 17 Apr 2015

DoDI 1020.03, Harassment Prevention and Response in the Armed Forces, 8 Feb 2018

DoDI 1320.04, Military Officer Actions Requiring Presidential, Secretary of Defense, or Under

Secretary of Defense for Personnel and Readiness Approval or Senate Confirmation, 3 Jan 2014

DoDI 1325.06, Handling Protest, Extremist, and Criminal Gang Activities Among Members of

the Armed Forces, 27 Nov 2009

DoDI 5200.48_DAFI 16-403, Controlled Unclassified Information, 5 Oct 2021

DoDI 6495.02, Volume 3, Defense Sexual Assault Prevention and Response: Retaliation

Response for Adult Sexual Assault Cases, 24 Jun 2022

DoDI 7050.01, DoD Hotline Program, 17 Oct 2017

DoDI 7050.09, Uniform Standards for Evaluating and Investigating Military Reprisal or

Restriction Complaints, 12 Oct 2021

DoDM 5200.01 V1_AFMAN 16-1404 V1, DoD Information Security Program: Overview,

Classification, and Declassification, 6 Apr 2022

DoDM 5200.01 V2_ AFMAN 16-1404 V2, DoD Information Security Program: Marking of

Classified Information, 7 Jan 2021

DoDM 5200.01 V3_ AFMAN 16-1404 V3, DoD Information Security Program: Protection of

Classified Information, 12 Apr 2022

DoDM 5200.02_AFMAN 16-1405, Air Force Personnel Security Program Management, 1 Aug

2018

DoDM 5400.07_AFMAN 33-302, Freedom of Information Act Program, 7 Apr 2018

DoD 5240.01-R, Procedures Governing the Activities of DoD Intelligence Components that

Affect United States Persons, 7 Dec 1982

DoDM 6025.18, Implementation of the Health Insurance Portability and Accountability Act

(HIPAA) Privacy Rule in DOD Health Care Programs, 13 Mar 2019

DHA-PM 6025.13, Volume 3, Clinical Quality Management in the Military Health System;

Healthcare Risk Management, 29 Aug 2019

DAFPD 90-3, Inspector General, 3 Feb 2021

DAFPD 32-60, Housing, 25 Jan 2021

DAFI 32-6000, Housing Management, 18 Mar 2020

152 DAFI90-301 4 JANUARY 2024

DAFI 36-147, Civilian Conduct and Responsibility, 11 Jan 2023

DAFI 36-148, Discipline and Adverse Actions of Civilian Employees, 27 Sep 2022

DAFI 36-2110, Total Force Assignments, 15 Nov 2021

DAFI 36-2406, Officer and Enlisted Evaluation Systems, 14 Nov 2019

DAFI 36-2501, Officer Promotions and Selective Continuation, 16 Jun 2004

DAFI 36-2502, Enlisted Airman Promotion and Demotion Programs, 16 Apr 2022

DAFI 36-2603, Air Force Board for Correction of Military Records (AFBCMR), 4 Oct 2022

DAFI 36-2710, Equal Opportunity Program, 18 Jun 2020

DAFI 36-2803, Military Awards and Decorations Program, 3 May 2022

DAFI 36-2905, Department of the Fitness Program, 21 Apr 2022

DAFI 36-2906, Personal Financial Responsibility, 13 May 21

DAFI 36-2907, Adverse Administrative Actions, 14 Oct 2022

DAFI 36-2910, Line of Duty Determination (LOD), Medical Continuation (MEDCON) and

Incapacitation (INCAP) Pay, 3 Sep 2021

DAFI 36-3034, Remission of Indebtedness, 10 Jan 2023

AFI 36-3203, Service Retirements, 29 Jan 2021

DAFI 36-3211, Military Separations, 24 Jun 2022

DAFI 51-201, Administration of Military Justice, 14 Apr 2022

DAFI 51-202, Nonjudicial Punishment, 4 Jan 2022

DAFI 51-508, Political Activities, Free Speech and Freedom of Assembly of Air Force

Personnel. 24 Mar 2023

DAFI 90-160, Publications and Forms Management, 14 Apr 2022

DAFI 90-302, The Inspection System of the Department of the Air Force, 15 Mar 2023

DAFI 90-5001, Integrated Resilience, 25 Jan 2019

DAFI 90-6001, Sexual Assault Prevention and Response (SAPR) Program, 14 Jul 2020

DAFMAN 1-101, Commander Directed Investigations, 9 Apr 2021

DAFMAN 36-2032, Military Recruiting and Accessions, 27 Sep 2019

DAFMAN 90-161, Publishing Processes and Procedures, 15 Apr 2022

DAFMAN 91-203, Air Force Occupational Safety, Fire, and Health Standards, 25 Mar 2022

AFPD 90-4, Relations with Congress, 6 Nov 2018

AFI 1-1, Air Force Standards, 7 Aug 2012

AFI 14-404, Intelligence Oversight, 3 Sep 2019

AFI 24-302, Vehicle Management, 21 Feb 2020

DAFI90-301 4 JANUARY 2024 153

AFI 25-201, Intra-Service, Intra-Agency, and Inter-Agency Support Agreements, 18 Oct 2013

AFI 33-322, Records Management and Information Governance Program, 23 Mar 2020

AFI 33-324, The Air Force Information Collections and Reports Management Program, 22 Jul

2019

AFI 33-332, Air Force Privacy and Civil Liberties Program, 10 Mar 2020

DoDI 1400.25-V771_AFI 36-706, DoD Civilian Personnel Management System:Administrative

Grievance System, 14 Nov 2018

AFI 36-901, Civilian Senior Executive Management, 23 Jan 12

AFI 36-2504, Officer Promotion, Continuation and Selective Early Removal in the Reserve of

the Air Force, 9 Jan 2003

AFI 36-2909, Professional Relationships and Conduct, 14 Nov 2019

AFI 38-101, Manpower and Organization, 29 Aug 2019

AFI 38-402, Airmen Powered by Innovation, 9 Feb 2018

AFI 44-119, Medical Quality Operations, 16 Aug 2011

AFI 51-110, Professional Responsibility Program, 11 Dec 2018

AFI 51-306, Administrative Claims for and Against the Air Force, 14 Jan 2019

AFI 51-401, The Law of War, 3 Aug 2018

AFI 51-509, Appointment to and Assumption of Command, 14 Jan 2019

AFI 51-505, Complaints of Wrongs Under Article 138, Uniform Code of Military Justice, 14 Jan

2019

AFI 51-1102, Cooperation with the Office of Special Counsel, 23 Apr 2015

AFI 71-101V1, Criminal Investigations Program, 1 Jul 19

AFI 90-401, Air Force Relations With Congress, 15 Sep 2020

Chief National Guard Bureau Manual 9601.01, National Guard Discrimination Complaint, 25

Apr 2017

ANGI 36-3, National Guard Military Discrimination Complaint System, 30 Mar 2001

ANGI 36-6, The Air National Guard Statutory Tour Program Policies and Procedures, 9 Nov

2010

ANGI 36-101, Air National Guard Active Guard and Reserve (AGR) Program, 21 Apr 2022

ANGI 36-2602, Air National Guard Retention Programs, 14 Jun 2019

ANGI 36-2651, Air National Guard Selective Retention Review Boards, 22 Sep 2014

AF RDS, Air Force Records Disposition Schedule (available at

https://afrims.cce.af.mil/rds/series)

Department of the Air Force Complaints Resolution Program Supplemental Guide, 31 Mar 2022

ACTS User’s Manual

154 DAFI90-301 4 JANUARY 2024

SAF/IGQ Guide for Investigating Officers (IO Guide)

SAF/IGQ JAG Guide to IG Investigations

Prescribed Forms

DAF Form 102, Inspector General Complaint Form

Adopted Forms

DD Form 2910-2, Retaliation Reporting Statement for Unrestricted Sexual Assault Cases

DAF Form 847, Recommendation for Change of Publication

AF Form 1359, Report of Result of Trial

Abbreviations and Acronyms

ACTS—Automated Case Tracking System

ADC—Area Defense Counsel

AETC—Air Education and Training Command

AFFOR—Air Force Forces

AFI—Air Force Instruction

AFIS—Air Force Inspection System

AFMAN—Air Force Manual

AFPC—Air Force Personnel Center

AFR—Air Force Reserve

AFRIMS—Air Force Records Information Management System

ANG—Air National Guard

ANGRC—Air National Guard Readiness Center

API—Airman Powered by Innovation Program

ARC—Air Reserve Component

CAP—Civil Air Patrol

CDI—Commander-Directed Investigation

CIGIE—Council of the Inspectors General on Integrity and Efficiency

CJCSI—Chairman, Joint Chiefs of Staff Instruction

COCOM—Combatant Command

CPTS—Comptroller Squadron

CRP—Complaints Resolution Program

C-NAF—Component Numbered Air Force

CSAF—Chief of Staff, Air Force

DAFI90-301 4 JANUARY 2024 155

CSB—Command Screening Board

CSO—Chief of Space Operations

DAFCRPSG—Department of the Air Force Complaints Resolution Program Supplemental Guide

D-CATSe—Defense Case Activity Tracking System, Enterprise

DAFI—Department of the Air Force Instruction

DAFMAN—Department of the Air Force Manual

DFAS—Defense Finance and Accounting Service

DHA—Defense Health Agency

DIG (DIEM)—Deputy Inspector General for Diversity and Inclusion and Extremism in the

Military

DoD—Department of Defense

DoDD—Department of Defense Directive

DoDI—Department of Defense Instruction

DRU—Direct Reporting Unit

EEO—Equal Employment Opportunity

EO—Equal Opportunity

EPR—Enlisted Performance Report

ERAB—Evaluation Reports Appeal Board

FM—Financial Management

FOA—Field Operating Agency

FOIA—Freedom of Information Act

FRNO—File Reference Number

FSLMRS—Federal Service Labor-Management Relations Statute

FWA—Fraud, waste, and abuse

GS—General Schedule

HAF—Headquarters Air Force

HCR—Hotline Completion Report

HIPAA—Health Insurance Portability and Accountability Acts

IAW—In accordance with

IDA—Initial Denial Authority

IG DoD—Inspector General of the Department of Defense

IGI—IG Inspections

IGQ—IG Complaints Resolution

156 DAFI90-301 4 JANUARY 2024

IGTC-Q—Inspector General Training Course-Complaints Resolution

INCAP—Incapacitation

IO—Investigating Officer

JA—Judge Advocate

JFHQ—(State)—Joint Force Headquarters-State

LOA—Letter of Admonishment

LOC—Letter of Counseling

LOD—Line of Duty

LOR—Letter of Reprimand

MAJCOM—Major Command

MEDCON—Medical Condition

MEO—Military Equal Opportunity

MFR—Memorandum for Record

MHE—Mental Health Evaluation

MPF—Military Personnel Flight

MTF—Military Treatment Facility

NAF—Numbered Air Force

NAF—Nonappropriated Fund

NGB—National Guard Bureau

NVedit—Non-validation edit

OPR—Office of Primary Responsibility

OSC—Office of Special Counsel

OSR—Officer Selection Record

OUR—Official Use Request

PA—Privacy Act or Public Affairs

PC—Protected Communication

PDF—Portable Document Format

POC—Point of Contact

PRF—Promotion Recommendation Form

PSAB—Personnel Security Appeal Board

PU—Periodic Update

QR—Quality Review

DAFI90-301 4 JANUARY 2024 157

QSI—Quality Standards for Investigations

RDS—Records Disposition Schedule

RMO—Responsible Management Official

ROI—Report of Investigation

SAP—Special Access Program ()

SSRB—Special Selection Review Board

SECAF—Secretary of the Air Force

SERB—Selective Early Retirement Board

SES—Senior Executive Service

SJA—Staff Judge Advocate

TAG—The Adjutant General

TCL—Tentative Conclusion Letter

TIG—The Inspector General of the Department of the Air Force

UCMJ—Uniform Code of Military Justice

USC—United States Code

UTA—Unit Training Assembly

VC—Victims’ Counsel

vMPF—Virtual Military Personnel Flight

WRI—Whistleblower Reprisal Investigations

Office Symbols

AF/A1—Deputy Chief of Staff, Manpower, Personnel and Services

AF/A1LG—Air Force General Officer Management Office

AF/A1LO—Air Force Colonels Management Office

AF/A1LS—Air Force Senior Executive Management

AF/JA—Office of The Judge Advocate General

AF/JACL—Air Force Personnel and Information Law Division

AF/JAJI—Investigations, Inquiries and Relief Division

AF/JAJO—Air Force Office of Disability Counsel

AF/JAX—Professional Development Directorate

AF/SG—The Surgeon General

AF/A4S—Directorate of Security Forces

AFAA—Air Force Audit Agency

158 DAFI90-301 4 JANUARY 2024

AFCAF—Air Force Central Adjudication Facility

AFCARO—Air Force Civilian Appellate Review Office

AFDW/IG—Air Force District of Washington, Inspector General

AETC/IG—Air Force Education and Training Command, Inspector General

AFFOR/IG—Air Force Forces Inspector General

AFIA—Air Force Inspection Agency

AFOSI—Air Force Office of Special Investigations

AFOSI/IG—Air Force Office of Special Investigations, Inspector General

AFOSI/PJ—Air Force Office of Special Investigations, Office of Special Project

ARPC—Air Reserve Personnel Center

SAF/AQC—Air Force Contracting

C-NAF/CC—Component Numbered Air Force-NAF Commander

C-NAF/IG—Component Numbered Air Force IG

IG DoD/WRI—Inspector General of the Department of Defense, Whistleblower Reprisal

Investigations

JFHQ/IG—Joint Force Headquarters Inspector General

NCO—Non-Commissioned Officer

NGB/A1—National Guard Bureau, Manpower and Personnel

NGB/HR—National Guard Bureau, Human Resources

NGB/IG—National Guard Bureau, Inspections (ANGRC)

NGB-IG—National Guard Bureau, Office of The Inspector General

SAF/AQC—Secretary of the Air Force, Deputy Assistant Secretary (DAS) (Contracting)

SAF/FM—Secretary of the Air Force, Office of the Assistant Secretary (Financial Management

& Comptroller)

SAF/GC—Secretary of the Air Force, Office of the General Counsel

SAF/GCA—Secretary of the Air Force, Office of the General Counsel, Office of the Deputy

General Counsel for Fiscal, Ethics and Administrative Law

SAF/GCI—Secretary of the Air Force, Office of the Deputy General Counsel for Intelligence,

International, and Military Affairs

SAF/IG—Secretary of the Air Force, Office of The Inspector General

SAF/IGQ—Secretary of the Air Force, Office of The Inspector General, Complaints Resolution

Directorate

SAF/IGS—Secretary of the Air Force, Office of The Inspector General, Senior Officials Inquiries

Directorate

DAFI90-301 4 JANUARY 2024 159

SAF/IGX—Secretary of the Air Force, Office of The Inspector General, Special Investigations

Directorate

SAF/LL—Secretary of the Air Force, Legislative Liaison

SAF/LLC—Secretary of the Air Force, Legislative Liaison, Congressional Correspondence

Division

SAF/MR—Assistant Secretary of the Air Force, Manpower and Reserve Affairs

SAF/MRBA—Assistant Secretary of the Air Force-Manpower and Reserve Affairs, Air Force

Civilian Appellate Review Office

SAF/MRL—Assistant Secretary of the Air Force-Manpower and Reserve Affairs, Civilian Senior

Executive Management Office

SAF/OS—Office of the Secretary of the Air Force

SAF/PA—Secretary of the Air Force, Office of Public Affairs

SAF/US—Under Secretary of the Air Force

SF/S1L—Space Force Senior Leader Management

Terms

Abuse—Intentional wrongful or improper use of government resources. Examples include misuse

of grade, position, or authority that causes the loss or misuse of resources such as tools, vehicles,

computers, or copy machines.

Abuse of Authority—An arbitrary and capricious exercise of power by a military member or a

federal official or employee. To qualify as arbitrary and capricious, the following must be met:

1) the action either adversely affected, or has potential to adversely affect, any person or resulted

in personal gain or advantage to the responsible management official (RMO), or other preferred

persons; and

2) the RMO did not act within the authority granted under applicable regulations, law or policy;

the RMO’s action was not based on relevant data and factors; or the RMO’s action was not

rationally related to the relevant data and factors.

Access—In reference to restriction, the ability to enter, approach, or communicate with individuals

or offices designated to receive protected communications. The freedom or ability to make

protected communications.

Accountability—Accountability means you are responsible for all your actions and the actions of

the people you supervise which you could have reasonably influenced. It is the duty of every

leader to hold themselves and their subordinates answerable for their actions and to correct

systemic faults. Appropriate remedial measures shall be taken against individuals who have acted

unlawfully, improperly or inappropriately. Remedial or corrective measures may be educational,

administrative, or punitive and must be appropriate and proportional to the act.

Acid Test—In reference to abuse of authority, a conclusive test of whether abuse of authority

occurred.

160 DAFI90-301 4 JANUARY 2024

Administrative Actions—Non-criminal proceedings; includes, but is not limited to letters of

counseling, letters of admonishment, letters of reprimand, control roster actions, unfavorable

information files, non-judicial punishment reenlistment denials, promotion actions, suspensions

(for civilians) and involuntary separation actions, called ”removals“ for civilians.

The Adjutant General (TAG)—The senior military officer (either Army or Air) of the National

Guard of each state, Puerto Rico, the US Virgin Islands, and Guam. TAG is responsible for

performing the duties prescribed by the laws of that state and the day-to-day peacetime

management and training of the state National Guard (Army and Air).

Adverse Information—DAF policy defines adverse information as:

1. Any substantiated finding or conclusion from an officially documented investigation or inquiry

or any other credible information of an adverse nature. To be credible, the information must be

resolved and supported by a preponderance of the evidence. To be adverse, the information must

be derogatory, unfavorable, or of a nature that reflects clearly unacceptable conduct, integrity or

judgment on the part of the individual. See AFI 36-2907, Adverse Administrative Actions, for

further guidance. Adverse information includes, but is not limited to:

a. Any substantiated adverse finding(s) or conclusion(s) from an officially documented

investigation or inquiry, regardless of whether command action was taken as a result.

b. Approved court-martial findings of guilt (Court-Martial Orders or Entry of Judgement).

c. Nonjudicial punishment pursuant to Article 15, UCMJ.

d. LORs.

e. LOAs.

f. Notice of Relief of Command (for cause).

g. LOC related to a substantiated finding or conclusion from an officially documented

investigation or inquiry.

h. Developmental Education Removal (for cause).

2. Adverse information does not include:

a. Information previously considered by the Senate pursuant to the officer’s appointment; or

b. Information attributed to an individual 10 or more years before the date of the personnel

action under consideration, except for incidents, which if tried by court-martial, could have

resulted in the imposition of a punitive discharge and confinement for more than one year from

the date of the substantiated adverse finding or conclusion from an officially documented

investigation or inquiry is used to establish the time period, not the date of the incident.

Air Reserve Component—Department of the Air Force component comprised of the Air Force

Reserve and Air National Guard.

Allegation—A postulated assertion (assumed without proof) formed by the IG concerning an

individual or a detrimental condition to be resolved during an investigation. An allegation is a

hypothetical statement containing four elements, all of which must be proved by a preponderance

of evidence to be true for the allegation to be substantiated. A properly framed allegation will

contain the following elements:

1. When, (in what time frame did the improper conduct or behavior occur),

2. Who, (a person, identified by as much information as necessary to uniquely identify),

DAFI90-301 4 JANUARY 2024 161

3. Did what, (the specific behavior or conduct that was improper and represents the adverse

information),

4. In violation of what standard, (law, policy, regulation, instruction, or procedure). A properly

framed allegation is constructed as follows:

When—(On or about 10 January 2004), Who (Major John A. Smith, XX Sq/CC) did what, (gave

a referral EPR to SrA William Tell in reprisal for a protected communication), in violation of

what standard, (in violation of 10 USC 1034).

Appointing Authority—Individuals holding the positions listed in paragraph 1.6 are appointing

authorities. Appointing authorities have the singular authority to direct IG investigations, appoint

Ios, and approve reports of investigations directed under their authority.

Arbitrary and capricious—The absence of a rational connection between the facts found and the

choice made, constituting a clear error of judgment. The action does not appear to be supported

by fair, solid, and reasonable cause, or based upon relevant factors.

Assertion—A declaration made by a complainant without regard to any supporting evidence

provided.

Assist—IG assistance is the process of providing the complainant with information that allows

him or her to engage with an outside agency or alternate grievance channel to address their

concerns. The IG may facilitate assistance by making phone calls, asking questions, or soliciting

helpful information from appropriate offices or agencies and providing that information to the

complainant.

Authentication—The process of having a document (correspondence, personal notes, computer

records, etc.) verified as genuine.

Automated Case Tracking System (ACTS)—An IG tool to capture all IG investigative and

administrative activity AF-wide. ACTS is the primary data collection tool for IGs at all levels.

IGs create an entry in ACTS for any action defined as an investigation, referral, assist, records

release, review, dismissal, rebuttal, or transfer. The ACTS User’s Manual provides specific

instructions for the use of ACTS.

Case File—A compilation of documents relevant to an IG complaint that are gathered/prepared

during the Complaint Resolution Process, such as the complaint and complainant provided

documents. DAFCRPSG Attachment 8 shows the standard case file format.

Chain of Command—For the purpose of this instruction, chain of command includes not only

the succession of commanding officers from a superior to a subordinate through which command

is exercised, but also the succession of officers, enlisted or civilian personnel through which

administrative control is exercised including supervision and rating performance.

Chilling Effect—Those actions, through words or behavior, that would tend to prevent an

individual(s) from taking a proposed course of action.

Civil Liberties—Civil liberties are the rights of individuals to exercise the freedoms and rights

guaranteed to them under the United States Constitution without the government’s improper

interference. The civil liberties are considered to be:

162 DAFI90-301 4 JANUARY 2024

1. First Amendment Rights: freedom of religion; freedom of speech or of the press; right to

peaceably assemble and to petition the government for a redress of grievances.

2. Second Amendment Rights: right to keep and bear arms.

3. Fourth Amendment Rights: right against unreasonable searches and seizures.

4. Fifth Amendment Rights: prohibition against deprivation of life, liberties, or property,

without due process of law.

5. 15th, 19th, and 26th Amendments Right: right to vote.

Civilian Employee—A person employed by the Department of the Air Force and paid from

appropriated or nonappropriated funds who is a US citizen or an alien admitted for permanent

residence.

Closure—A case that results in an IG investigation will be considered closed after all required

reviews and approvals (appointing authority, DoD, etc.) are completed, the subject’s commander

or subject, as appropriate, is notified of the results, and the complainant receives a final response.

Colonel (or civil servant grade 15)—A Regular Air Force, Air Force Reserve, or Air National

Guard officer in the grade of O-6; or an officer who has been selected for promotion to the grade

of O-6, but has not yet assumed that grade; or an Department of the Air Force civil service

employee in grade 15 (GS/GM/GG/etc).

Command Action—Action taken by the commander, who is responsible for the process,

operation, organization, or individual. A commander’s decision to elect to take no action is

deemed to be command action and must be documented.

Commander—Only officers may command. An officer succeeds to command in one of two

ways; by appointment to command or by assuming command. Generally, an officer assigned to

an organization, present for duty, eligible to command the organization, and senior or equal in

grade to all other officers in the organization, may be appointed to command the organization by

an authorized official. When not otherwise prohibited by superior competent authority, an

officer’s authority to assume command of an organization passes by operation of law to the senior

military officer (by grade and, within the same grade, by rank within that grade) assigned to an

organization who is present for duty and eligible to command that organization. For specific rules

on appointment to, and assumption of command in the Regular Air Force, Space Force, Air Force

Reserve, and Air National Guard when in federal service, refer to AFI 51-509, Appointment to and

Assumption of Command.

Commander-Directed Investigation (CDI)—All commanders possess inherent authority to

investigate matters or incidents under their jurisdiction unless preempted by a higher authority.

The conduct of CDIs does not fall under the authority of The Inspector General and is governed

by DAFMAN 1-101, Commander Directed Investigations.

The Commanding General—The senior military officer of the National Guard of The District of

Columbia. The Commanding General is responsible for performing the duties prescribed by the

laws of The District of Columbia and the day-to-day peacetime management and training of The

District of Columbia National Guard (Army and Air).

Complainant—Any individual making a complaint concerning an AF member, program,

organization, process or operation. A complainant may be any individual including military

DAFI90-301 4 JANUARY 2024 163

members, civilian employees, retirees, family members, or other parties that request to use the IG

complaint system.

Complaint—A formal assertion concerning a wrong; or violation of law, regulation, instruction,

policy, procedure or rule; or report of conditions detrimental to the operation, mission, or

reputation of the AF.

Complaint Analysis—A complaint analysis is the process for determining the most effective

resolution strategy to resolve the issues raised by the complainant’s assertion. It is a preliminary

review of assertions and evidence to determine the potential validity and relevance of the assertion

to the AF and to determine what action, if any, in IG, supervisory, or other channels is necessary.

The complaint analysis decision document is used to record the rationale for the selected complaint

resolution strategy.

Complaint Clarification—The process of interviewing the complainant to ensure the details and

intent, including any potentially contradictory information within the complaint, are verified.

Complaint Intake—The process of receiving a complaint to begin the complaint resolution

process.

Complaint Resolution Process—The Complaint Resolution Process describes actions required

to resolve a complaint from receipt through closure. The process, which involves 15 steps

representing the lifecycle of a complaint, is divided into three phases, Complaint Analysis,

Investigation, and Quality Review. See Table 3.1.

Complaint Without Merit—As used in this instruction, a complaint without merit is one that fails

to allege facts that, if true, would constitute a violation of a standard, whether defined by statute,

regulation, or custom of service. For assertions against non-senior officials, an IG will consider

the need for a complaint clarification before making such a determination.

Complaints Resolution Program—A program designed to ensure the discipline, efficiency, and

economy of the Department of the Air Force by resolving complaints of fraud, waste, abuse or

gross mismanagement; violations of law, policy, procedures, instructions, or regulations; an

injustice; abuse of authority, inappropriate conduct, or misconduct (as defined by this instruction);

or a deficiency or like condition.

Completed Status—The status in ACTS when awaiting results of higher level review/approval, a

determination of command/corrective action, or response to recommendation.

Completion—An IG investigation is completed when the appointing authority approves the report

of investigation.

Confidentiality—The protection of individual privacy. The IG has a responsibility to safeguard

the personal identity of individuals seeking assistance or participating in an IG process such as an

investigation and to honor the legal agreements between parties concerning confidentiality

provisions in settlement agreements. While this does not mean communications made to an IG

are privileged or confidential, it does mean disclosure of those communications (and the identity

of the communicant) is strictly limited to an official, need-to-know basis. This information is not

disclosed unless required by law or regulation, when necessary to take adverse action against a

subject, or with the approval of The Inspector General (SAF/IG), or approval of the appointing

authority.

Contact—The act of receiving a complaint/disclosure (written or oral).

164 DAFI90-301 4 JANUARY 2024

Corrective Action—A determination derived from command action.

Criminal Offense—A violation of the Uniform Code of Military Justice or any applicable federal,

state or local criminal law. This includes, but is not limited to, homicide, sexual assault,

use/possession/sale of drugs, theft, travel fraud, etc. The legal advisor or servicing SJA office

should be consulted to determine whether an offense is categorized as criminal or not.

Discovery Requests—A request for information to be used by either counsel in preparation for a

courts-martial or trial proceedings.

Dismiss—A complaint is dismissed if a thorough complaint analysis determines it cannot be

referred, transferred or addressed through assistance and is not appropriate for IG investigation

(see Table 3.13.).

DoD Intelligence Components—All DoD organizations that perform national intelligence,

defense intelligence, and intelligence- related functions, including: the Defense Intelligence

Agency; the National Geospatial- Intelligence Agency, the National Reconnaissance Office, the

National Security Agency/Central Security Service, and the intelligence elements of the Active

and Reserve components of the military departments, including the United States Coast Guard

when operating as a service in the Navy.

Evidence—Information or data upon which a conclusion or judgment may be based. Evidence is

simply information that tends to prove or disprove the existence of an alleged fact. Direct evidence

supports the truth of an assertion directly, i.e., without an intervening inference. Circumstantial

evidence, by contrast, consists of a fact or set of facts which, if proven, will support the creation

of an inference that the matter asserted is true.

Fact—Information or data that has actual existence or occurrence.

Files Check—A search for adverse information on senior officials and colonels (or civil servant

grade 15) in SAF/IG, DCII, IG DoD, and other government investigative files.

Follow—up—A case will be placed in follow-up status when awaiting results of corrective action,

a determination of command/corrective action, or response to recommendations.

Fraud—Any intentional deception designed to unlawfully deprive the government of something

of value or to secure from the government for an individual a benefit, privilege, allowance, or

consideration to which he or she is not entitled. Such practices include, but are not limited to:

1. The offer, payment, acceptance of bribes or gratuities, or evading or corrupting inspectors or

other officials.

2. Making false statements, submitting false claims or using false weights or measures.

3. Deceit, either by suppressing the truth or misrepresenting material facts, or to deprive the

government of something of value.

4. Adulterating or substituting materials, falsifying records and books of accounts.

5. Conspiring to carry out any of the above actions.

6. The term also includes conflict of interest cases, criminal irregularities, and the unauthorized

disclosure of official information relating to procurement and disposal matters. For purposes of

this instruction, the definition can include any theft or diversion of resources for personal or

commercial gain.

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Freedom of Information Act (FOIA)—5 USC § 552.

Freedom of Information Act Request—A written request for DoD records from the public that

cites or implies the FOIA.

Gross Mismanagement—A management action or inaction that creates a substantial risk of

significant adverse impact on the agency’s ability to accomplish its mission. It is more than mere,

trivial misconduct or negligence. It does not include management decisions that are merely

debatable, nor does it mean action or inaction that constitutes simple negligence or misconduct.

There must be an element of blatancy.

Gross Waste of Funds—An expenditure that is significantly out of proportion to the benefit

expected to accrue to the government. It is more than a debatable expenditure.

Hand-off—The physical person-to-person referral of an interviewee to their commander or

designee, civilian leading an organization designated as a unit IAW AFI 38-101 or designee, first

sergeant, or supervisor immediately following the interview.

Headquarters US Air Force—The senior headquarters of the AF, consisting of two major

entities: the Secretariat (including the Secretary of the Air Force and the Secretary’s principal

staff), and the Air Staff, headed by the Chief of Staff.

Hotline Completion Report (HCR)—Prescribed format for reporting investigative actions and

findings for Fraud, Waste, and Abuse (FWA) complaints filed with IG DoD through the DoD

Hotline. An HCR is designed to be a stand-alone document and provide all necessary background

information.

Impartiality—A principle holding that decisions should be based on objective criteria, rather than

on the basis of bias, prejudice, or preferring the benefit to one person over another for improper

reasons.

Improper Conduct—Conduct (acts or omissions) found to violate an identifiable directive,

instruction, policy, regulation, rule, statute, or other standard applicable to the AF, without regard

to knowledge, motive, or intent.

Inappropriate Conduct—Action a reasonable person would consider likely to erode confidence

in the integrity of the AF, but which does not violate an identifiable directive, instruction, policy,

regulation, rule, statute, or other standard applicable to the AF.

In-Camera Review—A private review by a judge to evaluate information that may be relevant to

a court proceeding.

Independence—In all matters relating to Inspector General operations, inspectors general must

be free, in fact and appearance, from all impairments to independence. The responsibility for

maintaining independence rests with the commander so that judgments used in conducting

inspections, evaluations, investigations, and recommendations concerning corrective action will

in fact be impartial, as well as viewed as impartial by knowledgeable third parties.

Initial Denial Authority (IDA)—The official with the delegated authority to deny the release of

a document or a portion of a document.

Inquiry—An examination into facts or principles.

166 DAFI90-301 4 JANUARY 2024

Inspector General (IG)—An individual assigned to an authorized IG position by a MAJCOM,

FLDCOM, JFHQ, FOA, DRU, NAF, Center, National Guard State, Wing, Delta, or host

Installation commander, or other IG positions as approved by SAF/IG. Implements the IG

Program for the commander within the parameters established by The Inspector General.

The Inspector General (TIG)—The individual appointed to oversee and who is responsible for

the Department of the Air Force Inspector General (SAF/IG) program.

Intelligence Activity—Refers to all activities that DoD intelligence components are authorized to

undertake pursuant to Executive Order 12333 and DoD 5240.1-R. Note that EO 12333 assigns the

services’ intelligence components responsibility for: 1. “Collection, production, dissemination of

military and military related foreign intelligence and counterintelligence, and information on the

foreign aspects of narcotics production and trafficking.” 2. “Monitoring of the development,

procurement and management of tactical intelligence systems and equipment and conducting

related research, development, and test and evaluation activities.”

Intelligence Oversight Complaint—An intelligence oversight complaint is an allegation of

conduct that constitutes, or is related to, an intelligence activity that may violate the law, any

Executive Order or Presidential Directive, or DoD policy, regarding intelligence activities. This

includes activities of any AF organization, even if not specifically identified as an intelligence

activity that is being used for counterintelligence or foreign intelligence purposes. It applies to

improper activities by an intelligence or counterintelligence unit or staff or personnel assigned

thereto.

Interrogatories—A formal list of written questions prepared by the IO or IG for a witness to

answer. The questions may be revised and updated as facts are developed.

Investigation—A duly authorized, systematic, detailed examination to uncover the facts and

determine the truth of a matter conducted by an investigating officer. IG investigations are

administrative in nature—they are fact finding rather than judicial proceedings. They are not

criminal proceedings in which proof beyond a reasonable doubt is required. Rather, the standard

of proof that applies is proof by a preponderance of the evidence. Investigations require formal

collection of evidence, taking sworn testimony from complainants, witnesses and subjects, and

documentation of the findings in a ROI. An investigation is an evidence-gathering exercise to

substantiate or not substantiate an allegation.

Investigation Plan—A statement of intent, which sets forth the IO’s proposed course of action.

Included in such a plan are the allegations to be investigated, a list of witnesses to be interviewed,

a list of evidence to be collected, and an itinerary. The plan will include administrative matters

such as itinerary and potential personnel actions. The plan will also include a list of issues to be

resolved and some preliminary questions which the IO intends to ask the key witnesses in the case.

Investigating Officer (IO)—A field grade officer, senior NCO, or AF civilian appointed by a

competent appointing authority to conduct an IG investigation.

1. An IO is the personal representative of the appointing authority.

2. The appointing authority conveys authority for the investigation to the IO in writing.

3. An IO’s authority extends to all subordinate echelons of the command and requires the

compliance and cooperation of subordinate supervisory channels.

DAFI90-301 4 JANUARY 2024 167

4. An IO must have a substantial breadth of experience, exceptional maturity, and demonstrated

sound judgment.

Issue—A complaint, request for information, or request for assistance to the IG that does not list

an individual as the violator of a standard or policy. Issues will be analyzed during the complaint

analysis phase.

Lawful Communication—Any communication, whether verbal or written or otherwise

transmitted, including complaints, witness statements, and testimony, which is not otherwise

unlawful (see definition of unlawful communication below).

Legal Review—A review of an IG case by the servicing SJA or designee to ensure legal

sufficiency before the appointing authority approves the report and its findings.

Legal Sufficiency—A review of the ROI to determine whether:

1. Each allegation has been addressed.

2. Allegations allege a violation of law, regulation, procedure, or policy.

3. The IO reasonably applied the preponderance of the evidence standard in arriving at findings.

4. Conclusions are supported by, and consistent with, the findings.

5. The investigation complies with all applicable legal and administrative requirements.

6. Any errors or irregularities exist, and if so, their legal effects, if any.

Mental Health Evaluation (MHE)—A psychiatric examination or evaluation, a psychological

examination or evaluation, an examination for psychiatric or psychological fitness for duty, or any

other means of assessing the mental health of a service member. It does not include interviews

under Family Advocacy programs or Air Force Drug and Alcohol Abuse Rehabilitation programs.

Misconduct—Conduct undertaken with:

1. The knowledge the conduct violates a standard or disregard for that possibility, or

2. The intention to harm another or disregard for that possibility, or

3. The purpose of personal profit, advantage, or gain.

Nonappropriated Fund Employee—Persons who are employed in, and receive compensation

from a nonappropriated fund instrumentality.

Nonappropriated Fund Instrumentality—A DoD fiscal and organizational entity primarily

performing programs to support military members, family members, and authorized civilians.

Non-Validation Edit—A mode of data entry in ACTS in which the system does not validate a

user’s entry upon submission of the complaint.

Not Substantiated Finding—A “not substantiated” finding results when a preponderance of the

evidence supports the conclusion that the alleged misconduct did not occur. The facts indicate no

violation of standards occurred.

Officer Performance Report—AF Form 707. Used to document potential and performance as

well as provide information for making a promotion recommendation, selection, or propriety

168 DAFI90-301 4 JANUARY 2024

action; selective continuation; involuntary separation; selective early retirement; assignment;

school nomination and selection; and other management decisions.

Officer Selection Record—The officer selection record is identified as the Officer, HQ USAF

Selection Record Group (AFI 36-2608). It consists of the documents provided to selection boards.

Official Use Request (OUR)—A request to use a report for official purposes.

Ombudsman—A government official appointed to receive and investigate complaints made by

individuals against other government officials regarding abuses or capricious acts, investigates

reported complaints, reports findings, and helps to achieve equitable resolution of complaints.

Personnel Action—Any action taken on a member of the armed forces that affects or has the

potential to affect that military member’s current position or career, to include making or

threatening to make a significant change in the duties or responsibilities of a member of the armed

forces not commensurate with the member’s grade, the failure of a superior to respond to any

retaliatory action or harassment (of which the superior had actual knowledge) taken by one or more

subordinates against a member, or the conducting of a retaliatory investigation of a member. See

DoDD 7050.06 for additional examples.

Preponderance of the Evidence—The standard of proof for IG investigations is that degree of

relevant evidence that a reasonable person, considering the case evidence as a whole, would accept

as sufficient to find that a contested fact is more likely to be true than untrue. In other words, it

is more likely than not that events have occurred as alleged, there is a preponderance of the

evidence, and the IO may consider the events proven.

Privacy Act (5 USC § 552a)—Federal law establishing a Code of Fair Information Practice that

governs the collection, maintenance, use, and dissemination of personally identifiable information

about individuals that is maintained in systems of records by federal agencies.

Privacy Act Request—An oral or written request by an individual about his or her records in a

system of records.

Prima Facie—Evidence that is sufficient to raise a presumption of fact or to establish the fact in

question unless rebutted.

Prohibit—To prevent from doing something, to forbid or restrain by force of authority.

Prohibited Activity—Engaging in protests, extremist activities and criminal gang activities as

provided for in Enclosure 3 of DoDI 1325.06, Handling Protest, Extremist, and Criminal Gang

Activities Among Members of the Armed Forces.

Prohibited Personnel Practices—Fourteen prohibited personnel practices defined in 5 USC §

2302 (b) and by the Office of Personnel Management that a federal employee who has authority

over civilian personnel decisions may not take.

Proof Analysis Matrix—A technique that lists elements of reprisal, definitions, testimony and

documents in a matrix. It provides a record of the analysis used to examine the facts to ensure the

validity and repeatability of tracking all the facts through analysis and on to conclusions.

Special Selection Review Board—A board convened under regulations prescribed by the

Secretary of the Air Force to review adverse information prior to the submission of a

recommendation for nomination to the Secretary of Defense when the adverse information has not

DAFI90-301 4 JANUARY 2024 169

been reviewed by the promotion selection board, special selection board, or federal recognition

board.

Promotion Propriety Actions—The actions necessary to initiate action to delay an officer’s

promotion, to find an officer not qualified for promotion, or to remove an officer’s name from a

promotion list. It is applicable to officers selected for promotion to major through colonel.

Protected Communication—See below.

1. Any lawful communication to a Member of Congress or an IG.

2. A communication in which a member of the Armed Forces communicates information that

the member reasonably believes evidences a violation of law or regulation, including a law or

regulation prohibiting rape, sexual assault, or other sexual misconduct in violation of Articles

120 through 120c of the Uniform Code of Military Justice, sexual harassment, or unlawful

discrimination, gross mismanagement, a gross waste of funds or other resources, an abuse of

authority, or a substantial and specific danger to public health or safety, or a threat by another

member of the armed forces or employee of the federal government that indicates a

determination or intent to kill or cause serious bodily injury to members of the armed forces or

civilians or damage to military, federal, or civilian property, when such communication is made

to any of the following):

a. Member of Congress or a member of their staff.

b. An Inspector General or a member of the Inspector General’s staff.

c. Personnel assigned to DoD audit, inspection, investigation, law enforcement, equal

opportunity, safety, sexual assault prevention and response designees, and EO personnel, or

family advocacy organizations.

d. Any person in the member’s chain of command.

e. The Chief Master Sergeant of the Air Force, command chiefs, group/squadron

superintendents, and first sergeants.

f. A courts-martial proceeding.

g. Any other person or organization designated pursuant to regulations or other established

administrative procedures for such communications.

3. Testimony, or otherwise participating in or assisting in an investigation or proceeding related

to a communication under part 1 or 2 above, or filing, causing to be filed, participating in, or

otherwise assisting in an inquiry/investigation of a reprisal and/or restriction complaint.

4. A communication described in part2 above shall not be excluded from the protections

provided in this definition because:

a. The communication was made to a person who participated in an activity that the member

reasonably believed to be covered by part2 above;

b. The communication revealed information that had been previously disclosed;

c. Of the member’s motive for making the communication;

d. The communication was not made in writing;

e. The communication was made while the member was off duty; and

f. The communication was made during the normal course of duties of the member.

Quality Review—A review of investigative documents that ensures completeness, and

compliance with this instruction and other directives, objectivity, and legal sufficiency.

170 DAFI90-301 4 JANUARY 2024

Redact—To remove non-releasable material.

Referral—A referral is a complaint that is determined to be more appropriately handled by an

organization or agency outside the DAF IG system.

Referral Completion Report—Prescribed format for reporting resolution actions and findings

for complaints referred to other agencies. An Referral Completion Report is designed to be a

stand-alone document and provide all necessary background information and case resolution

actions.

Referral for Action—DoD Hotline allegations referred for action are allegations that can be

resolved by the AF and which may be an indication of a systemic problem within the service, or

have been determined through the DoD Hotline review process as requiring attention.

Referral for Information—DoD Hotline complaints that do not require intervention by the

Department of the Air Force; the tasking may lack sufficient detail or significant subject matter to

warrant a formal investigation.

Report of Investigation (ROI)—The ROI must be a stand-alone document, all the essential facts,

documents, portions of regulations, interviews, etc., must be included in the report so that a

reviewer can arrive at a determination without reference to information outside the report. The

report of investigation is a subset of the case file.

Reprisal—Taking or threatening to take an unfavorable personnel action, or withholding or

threatening to withhold a favorable personnel action on a military member for making or preparing

or being perceived as making or preparing to make a protected communication.

Responsible Management Official(s)—Responsible management officials are: 1. Official(s)

who recommended to the deciding official that he/she take, withhold, or threaten to take/withhold

a management/personnel action. 2. Official(s) who decided to take, withhold, or threaten the

management/personnel action. 3. Any other official(s) who approved, reviewed, or indorsed the

management/personnel action.

Responsive Record—A record that fits the description provided by the requestor.

Restriction—Preventing or attempting to prevent members of the Armed Forces from making or

preparing to make lawful communications to Members of Congress and/or an IG.

Retaliation—See AFI 36-2909, Air Force Professional Relationships and Conduct

Self-Investigation—Investigating or directing an investigation into allegations pertaining to the

appointing authority or members of the IG staff. It is critical to the integrity of the IG system to

refrain from self-investigation or the appearance of such. If needed, the complaint should be

elevated to the next higher level IG, to avoid the appearance of self-investigation.

Senior Officer Unfavorable Information File—A Senior Officer Unfavorable Information File

is a written summary of adverse information pertaining to a general officer, plus any comments

from the subject officer regarding the written summary. Senior Officer Unfavorable Information

Files are created for use during the general officer promotion process and exist solely for that

purpose. The Secretary of the Air Force or designee (SAF/GC) determines if a Senior Officer

Unfavorable Information File is provided to a promotion board.

Senior Official—Any active duty, retired, Reserve, or National Guard military officer in grades

O-7 and above, and any officer selected for promotion to O-7 whose name is on the O-7 promotion

DAFI90-301 4 JANUARY 2024 171

board report forwarded to the military department Secretary (including Air National Guard

Colonels selected by a General Officer Federal Recognition Board for a Certificate of Eligibility

(COE)). Any current or former member of the Senior Executive Service. Any current or former

DoD civilian employee whose position is deemed equivalent to that of a member of the Senior

Executive Service (e.g., Defense Intelligence Senior Executive Service, Senior Level employee,

and nonappropriated fund senior executive). Any current or former Presidential appointee. The

Chief Master Sergeant of the Air Force and the Chief Master Sergeant of the Space Force.

Sexual Harassment—A form of unlawful sex discrimination. Unwelcome sexual advances,

requests for sexual favors, and other verbal or physical conduct of a sexual nature constitute sexual

harassment when (1) submission to such conduct is made either explicitly or implicitly a term or

condition of an individual’s employment, (2) submission to or rejection of such conduct by an

individual is used as the basis for employment decisions affecting such individual, or (3) such

conduct has the purpose or effect of unreasonably interfering with an individual’s work

performance or creating an intimidating, hostile, or offensive working environment. For more

detailed definitions, see DAFI 36-2710, Equal Opportunity Program,.

Standards—A law, regulation, policy, procedure, operating instruction, or custom of service that

establishes a criterion for measuring acceptability.

Statement—A written or oral declaration of events made to an IO or IG by a complainant, witness,

subject or suspect. For all reports, type any written statements. The witness or IO should sign the

typed statement to certify the validity.

Statutory Authority—Authority derived from statute. For example, The DoD Inspector General

derives their authority from The Inspector General Act of 1978, 5 USC Appendix 3.

Subject—A military member or civil service employee against whom allegations of misconduct

have been made and/or whose conduct is the focus of an investigation.

Substantial and Specific Danger to Public Health or Safety—Two of the factors that determine

when a disclosed danger is sufficiently substantial and specific are (1) the likelihood of harm

resulting from the danger and (2) when the alleged harm may occur. If the disclosed danger could

only result in harm under speculative or improbable conditions, it is less likely to be found specific.

If the harm is likely to occur in the immediate or near future as opposed to manifesting only in the

distant future it is more likely qualify as a specific danger. Both of these factors affect the

specificity of the alleged danger, while the nature of the harm—the potential consequences—

affects the substantiality of the danger.

Substantiated—A substantiated finding results when a preponderance of the evidence supports

the complainant’s allegation of a wrong or violation of law, regulation, procedure, or AF policy or

standards. The facts (from documentation and testimony) indicate the complainant was wronged

or a violation of standards occurred.

Summarized Testimony—A written summary of witness testimony prepared and certified by the

IO. It normally includes only those items directly related to the matters under examination. The

witness or IO must sign all summaries. It is encouraged (not mandatory) that witnesses also sign

summarized testimony, whenever the witness is reasonably available to do so.

Suspect—An individual who, based upon the facts and circumstances known at the time of the

interview, is reasonably suspected of committing a violation of the UCMJ. Active duty military

172 DAFI90-301 4 JANUARY 2024

suspects must be advised of their Article 31, UCMJ, rights before the interview begins. Members

of the Reserve Component (Reservists and National Guardsmen) suspects may also be entitled to

applicable rights advisements. Consultation with the legal advisor or servicing SJA office is

required before reading rights to a suspect.

Systemic—A trend or pattern that relates to, or is common to, an organization.

Technical Review—A technical (expert) review of applicable evidence, findings, and

conclusions.

Testimony—A solemn declaration, usually made orally by a witness, in response to a formal

questioning. It may be recorded and summarized or transcribed verbatim (word-by-word). 1.

Sworn. Obtained from a witness who has taken an oath or affirmation to tell the truth. 2. Unsworn.

Obtained from a witness who has not taken an oath or affirmation to tell the truth.

Third-Party Complainant—An individual who makes a complaint on behalf of another

individual against an Department of the Air Force military member, civil service employee,

program, or organization; or only have indirect evidence of a violation or misconduct.

Third-Party Complaint—A complaint made on behalf of another individual against an

Department of the Air Force military member, civil service employee, program, or organization or

based on indirect evidence of a violation or misconduct .

Thoroughness—All Inspector General operations must be conducted in a diligent and thorough

manner, addressing relevant aspects of the readiness, economy, efficiency, and state of discipline

of the institution. IG operations must clearly and concisely reflect all elements of the issues under

examination. Reasonable steps should be taken to ensure pertinent issues are sufficiently resolved

and that all appropriate root causes and remedies are considered. The results of Inspector General

operations must not raise unanswered questions, nor leave matters open to question or

misinterpretation.

Timeliness—Inspector General operations must be conducted and reported with due diligence in

a timely manner. The objective is to be responsive to all parties thereby enhancing AF credibility.

IG operations are to be conducted and completed within a timeframe that facilitates efficient and

effective mission accomplishment while protecting the public’s safety and security. IGs are

responsible to ensure that the investigation, inspection or evaluation is completed at the appropriate

time.

Transfer—A complaint is transferred when a complaint analysis determines an AF IG other than

the one receiving the complaint should resolve it.

Unlawful Communication—Any communication by a military member, whether verbal or

written or otherwise transmitted, that constitutes misconduct, a violation of the UCMJ, or a

violation of other applicable criminal statutes. Some examples of unlawful communications

include, but are not limited to, knowingly providing false statements; unauthorized disclosures of

classified, privileged, or private information; obscene statements; threatening statements; and

statements made under circumstances disrespectful to higher authorities.

Unlawful Discrimination (Civilian EEO)—An unlawful employment practice that occurs when

an employer fails or refuses to hire or promote, discharges, or otherwise discriminates against any

individual with respect to compensation, terms, conditions, or privileges of employment because

of race, color, religion, sex, national origin, age, reprisal, physical or mental disability, or genetic

DAFI90-301 4 JANUARY 2024 173

information; limits, segregates or classifies employees or applicants for employment in any way

that deprives or tends to deprive any individual of employment opportunities or otherwise

adversely affects his/her status as an employee because of race, color, religion, sex, national origin,

age, reprisal, physical or mental disability, or genetic information.

Unlawful Discrimination (MEO)—Any unlawful action that denies equal opportunity to a

military member or members based on their race, color, sex, national origin, or religion.

Waste—The extravagant, careless, or needless expenditure of government funds or the

consumption of government property that results from deficient practices, systems controls, or

decisions. The term also includes improper practices not involving prosecutable fraud. Note:

Consider wartime and emergency operations when explaining possible waste. For example,

legitimate stockpiles and reserves for wartime needs, which may appear redundant and costly, are

not considered waste.

Whistleblowing—A protected communication disclosing information by an employee or

applicant that he or she reasonably believes evidences a violation of a law, rule, or regulation;

gross mismanagement; gross waste of funds; an abuse of authority; or a substantial and specific

danger to public health or safety.

Wing—Includes wings as defined by AFI 38-101, Manpower and Organization, also includes

wing-equivalent organizations such as Space Force Deltas, as well as independent groups.

Witness—Any individual, civilian or military, who is interviewed, or testifies, during the course

of an IG investigation.

174 DAFI90-301 4 JANUARY 2024

Attachment 2

WITNESS INTERVIEW FORMAT

Note: This interview format is for use with witnesses who are NOT subjects and who are NOT

suspects

A2.1. Prior to Witness Arriving. Arrive early to work with your IG POC to ensure that the

interview room is ready. Here are some recommended items to go over:

A2.1.1. A good practice is to add your questions to this template and use it as your note taker.

A2.1.2. Discuss with your legal advisor the potential for rights advisement as well as

bargaining unit representation, (as applicable).

A2.1.3. Ensure that you have a copy of the Privacy Act Statement readily available for the

witness to review and other documents that you may want to refer to or have the witness

review. Check that they are in order you will use them.

A2.1.4. Have tissues on hand in the event the witness becomes emotional and water for

yourself and the witness, if desired.

A2.1.5. Ops check the recorder(s) one more time.

A2.1.6. Ensure that the phones are turned off or being answered by someone in the IG office.

A2.1.7. Place a “Do Not Disturb - Interview in Progress” sign on the door.

A2.1.8. Have pens, pencils, and note paper available and handy.

A2.1.9. The Department of the Air Force hand-off procedure does not require a hand-off for

witnesses in an investigation. However, if you encounter a witness that is distraught or visibly

upset, ensure that you have a plan to hand them off to a responsible individual.

A2.2. Interview Structure. The interview is conducted in four parts: Pre-Interview, Read-In,

Questioning, and Read-out. The following are suggested topics to cover for each part of the

interview during the Pre- Interview discussion.

A2.3. Pre-Interview (Recorder is OFF). The Pre-Interview is an opportunity for the

investigating officer to relay to the witness what they can expect during the interview. It relaxes

the witness and eases some of the apprehension that they feel. It also starts the bonding process

between you as the investigating officer and them as the witness.

A2.3.1. The first step is to use small talk to relax the witness and build rapport. Remember

that the witness may not be sure why they are in the IG office so it’s a good time to assure

them that they are a witness and not the subject of the investigation.

A2.3.2. More often than not, the witness‘ attention will be immediately drawn to the recorder.

This is a good time to acknowledge that the interview will be recorded to ensure that an

accurate record of the interview is captured. The recording will be transcribed or summarized

and included in the report of investigation that you will prepare. If the individual does not

focus on the recorder at first, be sure to address its use later in the Pre-Interview portion.

DAFI90-301 4 JANUARY 2024 175

A2.3.3. Ask for some identification to verify the witness is who you are expecting. At the

same time, show the witness your ID card and appointment letter (but not the attached page

with the allegations. Explain that you will be going into more detail as you start the interview.

A2.3.4. Explain your role as the investigating officer. Below are some suggested areas to

cover:

A2.3.4.1. Impartial representative of the commander and IG.

A2.3.4.2. Unbiased and impartial fact finder.

A2.3.4.3. Gather documents and interview witnesses; analyze the relevant facts; and

determine whether the allegation(s) are substantiated or not based on a preponderance of

the evidence.

A2.3.4.4. Your conclusion will be documented in a report of investigation for the

appointing authority to approve after it receives an IG and legal review.

A2.3.5. Explain the role they play in the investigation:

A2.3.5.1. Their statements are valuable as a first person account of the circumstances

surrounding the allegations and are invaluable to you to ensure that all the facts are

uncovered.

A2.3.5.2. Their testimony, or any witness testimony, will be used within the Department

of Defense for official purposes.

A2.3.5.3. It is Department of the Air Force policy to keep such information and reports

closely held. Nonetheless, in some instances, there may be public disclosure of IG

materials, as required by the Freedom of Information Act, Privacy Act, or as otherwise

provided for by law and regulations. In most cases, their identity will be redacted but there

is a chance it could be released. Any release outside the Department of the Air Force

requires the approval of SAF/IG, and in such cases, release (when unavoidable) is kept to

the minimum necessary to satisfy legal or Department of the Air Force requirements.

A2.3.5.4. Advise the witness of the general nature of the allegations under investigation.

To the maximum extent possible, you should protect the identifying information of

complainants, subjects, and suspects.

A2.3.6. If there are any other individuals in the interview, explain their role and ensure the

witness knows that you are the investigating officer and responsible for the interview.

A2.4. Read-In. The read-in as well as the read-out are required to be verbatim. This may be

uncomfortable as you will be referring to your script and not maintaining constant eye contact.

Assure them that the questioning will flow more naturally.

A2.4.1. Explain that during the Read-In, you will be asking them to provide personal

information about themselves--name, address, etc. The Privacy Act of 1974 requires that the

investigating officer inform the witness of the requirement to gather this information and how

it will be used. Let them read the Privacy Act statement during the Pre- Interview and explain

that you will confirm that they have read the statement and have no questions.

176 DAFI90-301 4 JANUARY 2024

A2.4.2. They will be answering questions under oath. Ask if they prefer to use swear or

affirm. This is a good time to mark through the other option on the read-in and remember that

if they elect to affirm, also strike the words, “ So help me God.”

A2.4.3. Inform them that you will be telling them that as a witness, they are not authorized to

have legal counsel with them. Inform reprisal and restriction case complainants and witnesses

who are victims of sexual assault of their right to have a Victims’ Counsel (VC) present prior

to conducting an interview. The VC may advise and provide counsel to the complainant or

witness, but may not answer questions on behalf of the complainant or witness. The

complainant or witness may request a pause in the recorded interview in order to discuss

matters with the VC.

A2.4.4. Advise all witnesses they are not authorized to record the interview in any manner.

A2.5. Questioning. Briefly tell them your note taking technique and remind them that the

interview is being recorded so you‘ll use that as the primary source of information. Too much

note taking detracts from maintaining eye contact and being part of the interview while taking no

notes can be perceived as not thinking what the witness says is important. Discussing this before

will help to alleviate these perceptions.

A2.5.1. The questions should be non-adversarial and designed to elicit information, not to get

a confession. Do not ask leading questions; let them talk; don‘t fill in answers or lead them to

answers you want to hear.

A2.5.2. Inform the witness that this is an administrative investigation and both hearsay and

opinion may be used in your evaluation of the facts but you will be validating the information

through additional interviews and documentation.

A2.5.3. If you use interim summaries, explain that to the witness before starting the interview.

Be sure that they know you are not attempting to put words in their mouth but rephrasing to

ensure you understand what they are communicating. This technique also allows you to listen

to your summary and may point out an inconsistency or gap in their answers.

A2.5.4. Assure them that often in an interview, a person may draw a blank or not recall certain

facts. You‘ll note this and come back to it later in the interview. Also, they will have an

opportunity to provide additional information if they recall it later but you will have to have

that information soon in order to incorporate it in your report.

A2.6. Read-Out. During the read-out, explain that you will order (or direct for USAFR/ANG

personnel and civilian employees not subject to the UCMJ) that they not discuss the interview with

anyone except a chaplain, member of congress, an IG, or their counsel (if they have one). Reiterate

that they are not the subject of the investigation and are not authorized to have counsel but if they

decide to talk to a lawyer, they may discuss the interview. Explain that you will be asking them

at the end of the Read-Out if they are stressed. The Department of the Air Force hand-off requires

that any witness appearing to be emotional, distraught, or stunned during the process of any

interview must be released to the commander or designee, civilian leading an organization

designated as a unit IAW AFI 38-101 or designee, first sergeant, or supervisor.

A2.7. Witness Read-In (Recorder is ON): Use the template below:

“The time is now ________ on __________ (day, month, year). Persons present are the witness

_____________, the investigating officer(s) __________[recorder(s) (if present)] ___________

DAFI90-301 4 JANUARY 2024 177

[and (others)(if present)] _______________. We are located at

__________________________.

My name is ___________________. I have been appointed by ______________________ to

investigate allegations that _______________ to which you may have been a witness.

During the course of this interview, I will ask you to furnish information about yourself. The

Privacy Act of 1974 requires that I inform you of the authority for this requirement. The

statement, which I am handing you, serves this purpose. (hand statement to witness). Please

read the statement at this time.

Your testimony will be recorded and transcribed so that a written report can be made available

to the appointing authority, ______________________ (name of appointing authority).

Please answer each question verbally, since the recorder cannot pick up any nods or gestures.

Additionally, all your statements will be on-the-record, whether the recorder is turned on or not.

Because this is simply a witness interview, you are not authorized to have legal counsel present,

and DAFI 90-301 mandates that you answer all questions except those that may incriminate you.

However, if you are the victim of a sexual assault, you may have a Victims’ Counsel present to

provide counsel during this interview. Do you wish to have a Victims’ Counsel present?”

Note: Be sure the complainant’s response is captured on tape. If a VC is requested and is

present for the interview, have the VC state his/her rank, name and organization on tape. If a

VC is requested and not present, reschedule the interview.

A2.8. Oath. Have the witness swear or affirm using the oath below:

“Before we continue, I want to remind you how important it is to give truthful testimony. It is a

violation of federal law to knowingly make a false official statement under oath. Now, as a part

of our interview process, I will administer the oath.

Please raise you right hand so that I can swear you in:

Do you solemnly swear (or affirm) that the testimony you are about to give shall be the truth, the

whole truth, and nothing but the truth (so help you God)? (Note: If the interviewee prefers to

affirm, the verbiage “so help you God” is not used. Determine the interviewee’s preference

before giving the oath)

Please state for the record your:

Full name: (spell it out)

Grade: (Active, Reserve, Retired)

Organization:

Position:

Address: (home or office)

A2.9. Questioning the Witness (Recorder is ON).

A2.9.1. The following are some items for consideration as you prepare for the questioning

part of the interview:

A2.9.2. Describe the general nature of the relevant allegations. Do not read the allegations

verbatim. Only refer to the allegation(s) relevant to the particular witness. Never identify the

complainant.

178 DAFI90-301 4 JANUARY 2024

A2.9.3. Proceed with questions necessary to obtain all direct knowledge of the matters under

investigation. If a witness refuses to answer questions based on self-incrimination or any other

reason, stop the interview and consult with the IG and legal advisor on how to proceed.

A2.9.4. Be prepared for the witness to diverge from the question. You can allow some

divergence but remember that you are the interviewer and control the session. Be sure that

you get an answer to your question and not let the witness escape answering. If necessary,

repeat the question.

A2.9.5. Take notes of items that you need, or want, to re-address later in the interview as well

as documentation that the witness does not have with them.

A2.9.6. Be sensitive to the need for a break during an extended interview. The length between

breaks is dependent on the flow of the interview but normally an hour is a good target. Ensure

that you capture the time of the break before turning off the recorder then don‘t forget to restart

the recorder when the interview continues and remind the witness that he/she is still under oath.

A2.9.7. Ask these follow-up questions: “Do you have any further information, statements, or

evidence, which you wish to present concerning the matters we have discussed?” and “Do you

know of anyone else who can provide further information concerning these issues?”

A2.10. Witness Read-Out (Recorder is ON). Read the following verbatim:

This is an official investigation. It is protected in the sense that my report will be made to the

appointing authority of higher authority for such use as deemed appropriate.

You are ordered (or “directed for USAFR/ANG persons and civilian employees not subject to the

UCMJ or “requested” for contract employees or civilians not employed by the federal

government) not to divulge the nature of this investigation or the questions, answers, or

discussions included in this interview with anyone except a chaplain, member of Congress, IG,

union representative (for civilian employees only), or your counsel, if you have one, unless

authorized to do so by the appointing authority, higher authority, or me.

If anyone should approach you regarding your testimony or the matters discussed here, you are

required to report it immediately to me or (state the name of the IG and the appointing

authority).

Per DAFI 90-301, I, as the investigating officer, am prohibited from providing a copy of your

testimony to you. However, you may submit a request in writing for the report or any part

thereof to the IG office or the appropriate FOIA office. The release authority will evaluate your

request under both the Freedom of Information Act and the Privacy Act and provide the

releasable information to you.

You may submit additional relevant information for my consideration, but if you with me to

consider the additional information before my investigation closes, I must receive that

information on or before ___________ (insert date).

If you are under stress related to this interview, you may seek assistance from your supervisory

channel, the mental health community, or you may contact either the IG or me and arrangements

will be made for you to receive assistance.

Do you have any questions?

The time is ________. This concludes the interview. Thank you.

DAFI90-301 4 JANUARY 2024 179

Note: The witness may recall additional information or want to discuss the circumstances

further after the recorder is off. Remind them that anything they say is on the record, even if

the recorder is off. If you believe the information is essential to your investigation, inform the

witness that you will be re-starting the recorder. It is OK to use an abbreviated read-in but

ensure that they understand they are still under oath and explain the circumstances under

which the interview was re-initiated.

180 DAFI90-301 4 JANUARY 2024

Attachment 3

SUBJECT INTERVIEW FORMAT

Note: This interview format is for use with witnesses who are subjects and NOT suspects.

A3.1. Prior to Subject Arriving. Arrive early to work with your IG POC to ensure that the

interview room is ready. Here are some recommended items to go over:

A3.1.1. A good practice is to add your questions to this template and use it as your note taker.

A3.1.2. Discuss with your legal advisor the potential for rights advisement as well as

bargaining unit representation as applicable. Ensure you understand what may trigger the

change from a subject to a suspect and know what to do at that point.

A3.1.3. Ensure that you have readily available a copy of the Privacy Act Statement for the

subject to review and other documents that you may want to refer to or have the subject review.

A3.1.4. Have tissues on hand in the event the subject becomes emotional and water for

yourself and the subject, if desired.

A3.1.5. Ops check the recorder(s) one more time.

A3.1.6. Ensure that the phones are turned off or being answered by someone in the IG office.

A3.1.7. Place a “Do Not Disturb - Interview in Progress” sign on the door.

A3.1.8. Have pens, pencils, note paper available and handy.

A3.1.9. Ensure that you have coordinated the hand-off with the commander or designee for

all initial interviews of the subject.

A3.1.9.1. These referrals require a person-to-person contact between the IO and the

subject‘s commander or designee, civilian leading an organization designated as a unit

IAW AFI 38-101 or designee, first sergeant, or supervisor.

A3.1.9.2. The person designated to receive the subject after the interview should be

directed not to discuss the interview or other aspects of the investigation with the subject.

They should also be informed if the subject invoked his/her right to remain silent and that

further discussion could violate the subject‘s Article 31 rights.

A3.1.9.3. The IO must document the hand-off within the report of investigation.

A3.2. Interview Structure. The interview is conducted in four parts: Pre-Interview, Read-In,

Questioning, and Read-out. These are expanded below.

A3.3. Pre-Interview (Recorder is OFF). The Pre-Interview is an opportunity for the

investigating officer to relay to the subject what they can expect during the interview. It relaxes

the subject and eases some of the apprehension that they feel. It also starts the bonding process

between you as the investigating officer and them as the subject.

A3.3.1. The first step is to use small talk to relax the subject. Remember that the subject has

been previously notified by the commander that they are the subject of an investigation but

several days or weeks may have elapsed since that notification. They will most likely be

nervous about the exact allegations and anxious at the same time to tell their side of the story.

DAFI90-301 4 JANUARY 2024 181

A3.3.2. More often than not, the subject‘s attention will be drawn to the recorder. This is a

good time to acknowledge that the interview will be recorded to ensure that an accurate record

of the interview is captured. The recording will be transcribed or summarized and included in

the report of investigation that you will prepare. If the individual does not focus on the recorder

at first, be sure to address its use later in the Pre-Interview portion.

A3.3.3. Ask for some identification to verify the subject is who you are expecting. At the

same time, show the subject your ID card and appointment letter (but not the attached page

with the allegations). Explain that you will be going into more detail as you start the interview.

A3.3.4. Explain your role as the investigating officer. Below are some suggested areas to

cover:

A3.3.4.1. Impartial representative of the commander and IG.

A3.3.4.2. Unbiased and impartial fact finder.

A3.3.4.3. Gather documents and interviewing several witnesses; analyze all the relevant

facts; and determine whether the allegation(s) are substantiated or not based on a

preponderance of the evidence.

A3.3.4.4. Your conclusion will be documented in a report of investigation for the

appointing authority to approve after it receives an IG and legal review.

A3.3.5. Explain the role they play in the investigation:

A3.3.5.1. This is their opportunity to provide their side of the situation and reasons for

their actions.

A3.3.5.2. Their testimony, or any subject testimony, will be used within the Department

of Defense for official purposes.

A3.3.5.3. It is Department of the Air Force policy to keep such information and reports

closely held. Nonetheless, in some instances, there may be public disclosure of IG

materials, as required by the Freedom of Information Act, Privacy Act, or as otherwise

provided for by law and regulations. In most cases, their identity will be redacted but there

is a chance it could be released. Any release outside the Department of the Air Force

requires the approval of SAF/IG, and in such cases, release (when unavoidable) is kept to

the minimum necessary to satisfy legal or Department of the Air Force requirements.

A3.3.6. If there are any other individuals in the interview, explain their role and ensure the

subject knows that you are the investigating officer and responsible for the interview.

A3.4. Read-In. The read-in as well as the read-out are required to be verbatim. This may be

uncomfortable as you will be referring to your script and not maintaining constant eye contact.

Assure them that the questioning will be freer flowing.

A3.4.1. Explain that during the Read-In, you will be asking them to provide personal

information about themselves--name, address, Social Security Number, etc. The Privacy Act

of 1974 requires that the investigating officer inform the subject of the requirement to gather

this information and how it will be used. Let them read the Privacy Act statement during the

Pre- Interview and explain that you will confirm that they have read the statement and have no

questions.

182 DAFI90-301 4 JANUARY 2024

A3.4.2. They will be answering questions under oath. Ask if they prefer to use swear or

affirm. This is a good time to mark through the other option on the read-in and remember that

if they elect to affirm, also strike the words, “so help me God.”

A3.4.3. Inform them that you will be telling them that as a subject, they are not authorized to

have legal counsel with them. The subject may ask you if they should confer with an attorney

before the interview but it is not your place to advise them. Inform reprisal and restriction case

subjects who are victims of sexual assault of their right to have a Special Victims’ Counsel

(VC) present prior to conducting an interview. The VC may advise and provide counsel to the

complainant or witness, but may not answer questions on behalf of the complainant or witness.

The subject may request a pause in the recorded interview in order to discuss matters with the

VC.

A3.4.4. IOs will advise subjects of the allegation(s) under investigation. The IO will read the

allegations verbatim to the subject. For reprisal and restriction cases, inform the subject that if

reprisal or restriction is not substantiated, the IO will analyze the allegation to determine if an

abuse of authority occurred.

A3.4.5. Advise the subject they are not authorized to record the interview in any manner.

A3.5. Questioning. Briefly tell them your note taking technique and remind them that the

interview is being recorded so you‘ll use that as the primary source of information. Too much

note taking detracts from maintaining eye contact and being part of the interview while taking no

notes can be perceived as not thinking what the subject says is important. Discussing this in

advance will help to alleviate these perceptions.

A3.5.1. The questions should be non-adversarial and designed to elicit information, not to get

a confession.

A3.5.2. Inform the subject that this is an administrative investigation and both hearsay and

opinion may be used in your evaluation of the facts but you will be validating the information

through additional interviews and documentation.

A3.5.3. If you use interim summaries, explain that to the subject before starting the interview.

Be sure that they know you are not attempting to put words in their mouth but rephrasing to

ensure you understand what they are communicating. This technique also allows you to listen

to your summary and may point out an inconsistency or gap in their answers.

A3.5.4. Assure them that often in an interview, a person may draw a blank or not recall certain

facts. You‘ll note this and come back to it later in the interview. Also, they will have an

opportunity to provide additional information if they recall it later but you will have to have

that information soon in order to incorporate it in your report.

A3.5.5. At the end of the questioning, they will be afforded an opportunity to make further

comments.

A3.6. Read-Out. During the read-out, explain that you will order (or direct for USAFR/ANG

persons and civilian employees not subject to the UCMJ) that they not discuss the interview with

anyone except a chaplain, member of Congress, IG, union representative (civilian personnel only),

or their counsel (if they have one). Explain that Department of the Air Force hand off policy

requires that all subjects must be released to the commander or designee, civilian leading an

organization designated as a unit IAW AFI 38-101 or designee, first sergeant, or supervisor.

DAFI90-301 4 JANUARY 2024 183

Inform the subject that this has been coordinated and give them the name of the person to whom

they will be released.

A3.7. Subject Read-In (Recorder is ON). Use the template below:

“The time is now ________ on __________ (day, month, year). Persons present are the subject

_____________, the investigating officer(s) __________[recorder(s) (if present)] ___________

[and (others)(if present)] _______________. We are located at

__________________________.

My name is ___________________. I have been appointed by ______________________ to

investigate allegations that you may have _______________ )(read all allegations verbatim but

do not disclose the complainant. If allegation is reprisal or restriction add:) IAW DAFI 90-301,

not substantiated allegations of reprisal/restriction will be analyzed and/or investigated as an

abuse of authority.

If you desire, during this interview, you may comment on this information to give your side of the

story. You may also show me evidence to contradict or explain the allegations.

During the course of this interview, I will ask you to furnish information about yourself. The

Privacy Act of 1974 requires that I inform you of the authority for this requirement. The

statement, which I am handing you, serves this purpose. (hand statement to witness). Please

read the statement at this time.

Your testimony will be recorded and transcribed so that a written report can be made available

to the appointing authority, ______________________ (name of appointing authority).

Please answer each question verbally, since the recorder cannot pick up any nods or gestures.

Additionally, all your statements will be on-the-record, whether the recorder is turned on or

not.”

RIGHTS ADVISEMENT

(1) For active duty personnel and USAFR/ANG personnel subject to the UCMJ:

“At this time, you are NOT suspected of any offense under the Uniform Code of Military Justice

(UCMJ), federal, or local law. Therefore, you are not authorized to have legal counsel present,

and I am not advising you of your Article 31 rights. In addition, DAFI 90-301 mandates that you

answer all questions except those that may incriminate you.”

(2) For subjects NOT subject to the UCMJ at the time of the interview (USAFR/ANG personnel

not on Title 10 orders):

“This is a non-custodial interview. You are NOT suspected of any criminal act at this time.

While you have a duty to assist in this investigation and DAFI 90-301 mandates that you answer

all questions except those that may incriminate you, you will not be kept here involuntarily”.

“Kalkines/Garrity” warnings are required to be given to civilian subjects being interviewed in an

IG investigation. Consult your legal advisor with questions concerning rights advisement. The

following would be appropriate:

“You are being asked to provide information as part of an administrative investigation. This is a

voluntary interview, and you will not be kept here involuntarily. You have the right to be fully

informed of any allegations against you. You have the right not to answer a question if the

answer would be self-incriminating. No disciplinary action will be taken against you solely for

refusing to answer questions. However, the evidentiary value of your silence may be considered

in administrative proceedings as part of the facts surrounding your case.”

184 DAFI90-301 4 JANUARY 2024

A3.8. Oath. Have the witness swear or affirm using the oath below:

“Before we continue, I want to remind you how important it is to give truthful testimony. It is a

violation of federal law to knowingly make a false official statement under oath. Now, as a part

of our interview process, I will administer the oath.

Please raise you right hand so that I can swear you in:

Do you solemnly swear (or affirm) that the testimony you are about to give shall be the truth, the

whole truth, and nothing but the truth (so help you God)? (Note: If the interviewee prefers to

affirm, the verbiage “so help you God” is not used. Determine the interviewee’s preference

before giving the oath)

Please state for the record your:

Full name: (spell it out)

Grade: (Active, Reserve, Retired)

Organization:

Position:

Address: (home or office)

A3.9. Questioning the Subject (Recorder is ON). A dvise the subject of the nature of the

allegations against him/her, reading the framed allegations verbatim.

A3.9.1. Proceed with questions necessary to obtain all direct knowledge of the matters under

investigation. If a subject refuses to answer questions based on self-incrimination or any other

reason, stop the interview and consult with the IG and legal advisor on how to proceed.

A3.9.2. Be prepared for the subject to diverge from the question. You can allow some

divergence but remember that you are the interviewer and control the session. Be sure that

you get an answer to your question and not let the subject escape answering. If necessary,

repeat the question.

A3.9.3. Take notes of items that you need, or want, to re-address later in the interview as well

as documentation that the subject does not have with them.

A3.9.4. Be sensitive to the need for a break during an extended interview. The length between

breaks is dependent on the flow of the interview but normally an hour is a good target. Ensure

that you capture the time of the break before turning off the recorder then don’t forget to restart

the recorder when the interview continues and remind the subject that he/she is still under oath..

A3.9.5. At the conclusion of the interrogatories, ask “Do you have any further information,

statements, or evidence, which you wish to present concerning the matters we have discussed?”

and “Do you know of anyone else who can provide further information concerning these

issues?”

A3.10. Subject Read-Out (Recorder is ON). Read the following verbatim:

“This is an official investigation. It is protected in the sense that my report will be made to the

appointing authority of higher authority for such use as deemed appropriate.

You are ordered (or “directed for USAFR/ANG persons and civilian employees not subject to the

UCMJ) not to divulge the nature of this investigation or the questions, answers, or discussions

included in this interview with anyone except a chaplain, member of Congress, IG, union

DAFI90-301 4 JANUARY 2024 185

representative (for civilian employees only), or your counsel, if you have one, unless authorized

to do so by the appointing authority, higher authority, or me.

If anyone should approach you regarding your testimony or the matters discussed here, you are

required to report it immediately to me or (state the name of the IG and the appointing

authority).

Per DAFI 90-301, I, as the investigating officer, am prohibited from providing a copy of your

testimony to you. However, if I substantiate any allegation, the appointing authority will provide

you a copy of the relevant portions of the report as well as your testimony, and allow you to

make comments. Otherwise, you may submit a request in writing for the report or any part

thereof to the IG office or the appropriate FOIA office. The release authority will evaluate your

request under both the Freedom of Information Act and the Privacy Act and provide the

releasable information to you. If this report becomes the basis of an adverse action against you,

you will automatically be provided the portions you are entitled to IAW DAFI 90-301.

You may submit additional relevant information for my consideration, but if you with me to

consider the additional information before my investigation closes, I must receive that

information on or before ___________ (insert date).

In accordance with the Department of the Air Force hand-off procedures, I must personally refer

you to your commander or designee, civilian leading an organization as a unit IAW AFI 38-101

or designee, first sergeant, or supervisor at the conclusion of this interview. I have coordinated

this requirement with your commander and _________________ (state the name of the

individual who will accomplish the person-to-person hand-off) will meet you here as we

conclude the interview.

Do you have any questions?

The time is ________. This concludes the interview. Thank you.”

Note: The subject may recall additional information or want to discuss the circumstances further

after the recorder is off. Remind them that anything they say is on the record, even if the

recorder is off. If you believe the information is essential to your investigation, inform the

subject that you will be re-starting the recorder. It is OK to use an abbreviated read-in but ensure

that they understand they are still under oath and explain the circumstances under which the

interview was re-initiated.

A3.11. Hand-off. Document the hand-off at the end of the interview. Include your perception of

their emotional state, who was designated to meet them, their position, and the time of the hand-

off.

186 DAFI90-301 4 JANUARY 2024

Attachment 4

SUSPECT INTERVIEW FORMAT

Note: This interview format is for use with witnesses who are suspects and NOT subjects.

A4.1. Prior to Suspect Arriving. Arrive early to work with your IG POC to ensure that the

interview room is ready. Here are some recommended items to go over:

A4.1.1. A good practice is to add your questions to this template and use it as your note taker.

A4.1.2. Ensure that you have readily available a copy of the Privacy Act Statement for the

suspect to review and other documents that you may want to refer to or have the suspect review.

A4.1.3. Have an Article 31 Rights Advisement card or statement with the proper allegations

filled in. Consult with the legal advisor to ensure you do this right. Also discuss with your

legal advisor the procedures if the suspect initially elects to confer with a lawyer and then

returns to continue the interview or the suspect's lawyer is present during the interview.

A4.1.4. Have tissues on hand in the event the suspect becomes emotional and water for

yourself and the suspect, if desired.

A4.1.5. Ops check the recorder(s) one more time.

A4.1.6. Ensure that the phones are turned off or being answered by someone in the IG office.

G. Place a “Do Not Disturb - Interview in Progress” sign on the door.

A4.1.7. Have pens, pencils, note paper available and handy.

A4.1.8. Ensure that you have coordinated the hand-off with the commander or designee for

all initial interviews of the suspect.

A4.1.8.1. These referrals require a person-to-person contact between the IO and the

suspect‘s commander or designee, civilian leading an organization designated as a unit

IAW AFI 38-101 or designee, first sergeant, or supervisor.

A4.1.8.2. The person designated to receive the suspect after the interview should be

directed not to discuss the interview or other aspects of the investigation with the suspect.

They should also be informed if the suspect invoked his/her right to remain silent and that

further discussion could violate the suspect‘s Article 31 rights.

A4.1.8.3. The IO must document the hand-off within the report of investigation.

A4.2. Interview Structure. The interview is conducted in four parts: Pre-Interview, Read-In,

Questioning, and Read-out. These are expanded below.

A4.3. Pre-Interview (Recorder is OFF). The Pre-Interview is an opportunity for the

investigating officer to relay to the suspect what they can expect during the interview. It relaxes

the suspect and eases some of the apprehension that they feel. It also starts the bonding process

between you as the investigating officer and them as the suspect.

A4.3.1. The first step is to use small talk to relax the suspect. Remember that the suspect has

been previously notified by the commander that they are the suspect of an investigation but

several days or weeks may have elapsed since that notification. They will most likely be

nervous about the exact allegations and anxious at the same time to tell their side of the story.

DAFI90-301 4 JANUARY 2024 187

A4.3.2. More often than not, the suspect‘s attention will be drawn to the recorder. This is a

good time to acknowledge that the interview will be recorded to ensure that an accurate record

of the interview is captured. The recording will be transcribed or summarized and included in

the report of investigation that you will prepare. If the individual does not focus on the recorder

at first, be sure to address its use later in the Pre-Interview portion.

A4.3.3. Ask for some identification to verify the suspect is who you are expecting. At the

same time, show the suspect your ID card and appointment letter (but not the attached page

with the allegations. Explain that you will be going into more detail as you start the interview.

A4.3.4. Explain your role as the investigating officer. Below are some suggested areas to

cover:

A4.3.4.1. Impartial representative of the commander and IG.

A4.3.4.2. Unbiased and impartial fact finder.

A4.3.4.3. Gather documents and interviewing several witnesses; analyze all the relevant

facts; and determine whether the allegation(s) are substantiated or not based on a

preponderance of the evidence.

A4.3.4.4. Your conclusion will be documented in a report of investigation for the

appointing authority to approve after it receives an IG and legal review.

A4.3.5. Explain the role they play in the investigation:

A4.3.5.1. This is their opportunity to provide their side of the situation and reasons for

their actions.

A4.3.5.2. Their testimony, or any suspect testimony, will be used within the Department

of Defense for official purposes.

A4.3.5.3. It is Department of the Air Force policy to keep such information and reports

closely held. Nonetheless, in some instances, there may be public disclosure of IG

materials, as required by the Freedom of Information Act, Privacy Act, or as otherwise

provided for by law and regulations. In most cases, their identity will be redacted but there

is a chance it could be released. Any release outside the Department of the Air Force

requires the approval of SAF/IG, and in such cases, release (when unavoidable) is kept to

the minimum necessary to satisfy legal or Department of the Air Force requirements.

A4.3.6. If there are any other individuals in the interview, explain their role and ensure the

suspect knows that you are the investigating officer and responsible for the interview.

A4.4. Read-In. The read-in as well as the read-out are required to be verbatim. This may be

uncomfortable as you will be referring to your script and not maintaining constant eye contact.

Assure them that the questioning will be freer flowing.

A4.4.1. Explain that during the Read-In, you will be asking them to provide personal

information about themselves--name, address, Social Security Number, etc. The Privacy Act

of 1974 requires that the investigating officer inform the suspect of the requirement to gather

this information and how it will be used. Let them read the Privacy Act statement during the

Pre- Interview and explain that you will confirm that they have read the statement and have no

questions.

188 DAFI90-301 4 JANUARY 2024

A4.4.2. Inform the suspect you will read them their rights (see paragraph A4.8.). Inform

them that you will be telling them that as a suspect, they are authorized to have legal counsel

with them. The suspect may ask you if they should confer with an attorney before the interview

but it is not your place to advise them. If the suspect invokes their rights and refuses to continue

the interview, terminate the interview and consult your legal advisor.

A4.4.3. They will be answering questions under oath. Ask if they prefer to use swear or

affirm. This is a good time to mark through the other option on the read-in and remember that

if they elect to affirm, also strike the words, “so help me God.”

A4.4.4. IOs will advise suspects of the allegation(s) under investigation. The IO will read the

allegations verbatim to the suspect. For reprisal and restriction cases, inform the subject that if

reprisal or restriction is not substantiated, the IO will analyze the allegation to determine if an

abuse of authority occurred.

A4.4.5. Advise the suspect they are not authorized to record the interview in any manner.

A4.5. Questioning. Briefly tell them your note taking technique and remind them that the

interview is being recorded so you‘ll use that as the primary source of information. Too much

note taking detracts from maintaining eye contact and being part of the interview while taking no

notes can be perceived as not thinking what the suspect says is important. Discussing this before

will help to alleviate these perceptions

A4.5.1. The questions should be non-adversarial and designed to elicit information, not to get

a confession.

A4.5.2. Inform the suspect that this is an administrative investigation and both hearsay and

opinion may be used in your evaluation of the facts but you will be validating the information

through additional interviews and documentation.

A4.5.3. If you use interim summaries, explain that to the suspect before starting the interview.

Be sure that they know you are not attempting to put words in their mouth but rephrasing to

ensure you understand what they are communicating. This technique also allows you to listen

to your summary and may point out an inconsistency or gap in their answers

A4.5.4. Assure them that often in an interview, a person may draw a blank or not recall certain

facts. You‘ll note this and come back to it later in the interview. Also, they will have an

opportunity to provide additional information if they recall it later but you will have to have

that information soon in order to incorporate it in your report.

A4.5.5. At the end of the questioning, they will be afforded an opportunity to make further

comments.

A4.6. Read-Out. During the read-out, explain that you will order (or direct) that they not discuss

the interview with anyone except a chaplain or their counsel (if they have one). Explain that the

Department of the Air Force hand-off procedure requires that all suspects must be released to the

commander or designee, civilian leading an organization designated as a unit IAW AFI 38-101 or

designee, first sergeant, or supervisor. Inform the suspect that this has been coordinated and give

them the name of the person to whom they will be released.

A4.7. Suspect Read-In (Recorder is ON). Use the template below:

DAFI90-301 4 JANUARY 2024 189

“The time is now ________ on __________ (day, month, year). Persons present are the subject

_____________, the investigating officer(s) __________[recorder(s) (if present)] ___________

[and (others)(if present)] _______________. We are located at

__________________________.

My name is ___________________. I have been appointed by ______________________ to

investigate allegations that you may have _______________ )(read all allegations verbatim but

do not disclose the complainant. If allegation is reprisal or restriction add:) IAW DAFI 90-301,

not substantiated allegations of reprisal/restriction will be analyzed and/or investigated as an

abuse of authority.

If you desire, during this interview, you may comment on this information to give your side of the

story. You may also show me evidence to contradict or explain the allegations.

During the course of this interview, I will ask you to furnish information about yourself. The

Privacy Act of 1974 requires that I inform you of the authority for this requirement. The

statement, which I am handing you, serves this purpose. (hand statement to witness). Please

read the statement at this time.

Your testimony will be recorded and transcribed so that a written report can be made available

to the appointing authority, ______________________ (name of appointing authority).

Please answer each question verbally, since the recorder cannot pick up any nods or gestures.

Additionally, all your statements will be on-the-record, whether the recorder is turned on or

not.”

A4.8. Rights Advisement. Two categories of rights advisement are included below for suspect

interviews. The first is for active duty personnel and USAFR/ANG subject to the UCMJ. The

second category is for civilians and USAFR/ANG personnel not subject to the UCMJ.

A4.8.1. For active duty personnel and USAFR/ANG personnel subject to the UCMJ:

Before we begin our discussion, I want to make clear that you have the following rights:

Under Article 31 of the UCMJ: I am investigating the alleged offense(s) of of which

you are suspected. I advise you that under the provisions of Article 31, UCMJ, you have the

right to remain silent, that is say nothing at all. Any statement you make, oral or written, may

be used as evidence against you in a trial by court-martial or in other judicial or

administrative proceedings. You have the right to consult a lawyer and to have a lawyer

present during this interview. You have the right to military legal counsel free of charge. In

addition to military counsel, you are entitled to civilian counsel of your own choosing, at your

own expense. You may request a lawyer at any time during this interview. If you decide to

answer questions without a lawyer present, you may stop the questioning at any time.

Do you understand your rights?

Do you want a lawyer? (If yes, stop the interview at this time and allow the suspect to

contact his/her lawyer)

Advise the subject of the nature of the allegations against him/her, reading the framed

allegations verbatim

Are you willing to answer questions?

190 DAFI90-301 4 JANUARY 2024

Proceed to the oath

A4.8.2. For suspects NOT subject to the UCMJ at the time of the interview (i.e., Civilians,

and USAFR/ANG personnel (depending on status), etc.). Regardless of whether a

collective bargaining agreement applies, civilians, Reserve, and Air National Guard personnel

should be advised of the following:

This is a non-custodial interview. While you have a duty to assist in this investigation and

may face adverse administrative action for failing to cooperate, you will not be kept here

involuntarily. You also have a right not to answer questions that are self-incriminating.

You have a right to be fully informed of any allegations that have been made against you.

Do you understand your rights?

Are you willing to answer questions?

Proceed to the oath

A4.9. OATH. Have the witness swear or affirm using the oath below:

“Before we continue, I want to remind you how important it is to give truthful testimony. It is a

violation of federal law to knowingly make a false official statement under oath. Now, as a part

of our interview process, I will administer the oath.

Please raise you right hand so that I can swear you in:

Do you solemnly swear (or affirm) that the testimony you are about to give shall be the truth, the

whole truth, and nothing but the truth (so help you God)? (Note: If the interviewee prefers to

affirm, the verbiage “so help you God” is not used. Determine the interviewee’s preference

before giving the oath)

Please state for the record your:

Full name: (spell it out)

Grade: (Active, Reserve, Retired)

Organization:

Position:

Address: (home or office)

A4.10. Questioning the Suspect (Recorder is ON). Proceed with questions necessary to obtain

all direct knowledge of the matters under investigation.

A4.10.1. Be prepared for the suspect to diverge from the question. You can allow some

divergence but remember that you are the interviewer and control the session.

A4.10.2. Be sure that you get an answer to your question and not let the suspect escape

answering. If necessary, repeat the question.

A4.10.3. Take notes of items that you need, or want, to re-address later in the interview as

well as documentation that the suspect does not have with them.

A4.10.4. Be sensitive to the need for a break during an extended interview. The length

between breaks is dependent on the flow of the interview but normally an hour is a good target.

Ensure that you capture the time of the break before turning off the recorder then don‘t forget

to restart the recorder when the interview continues and remind the suspect that he/she is still

under oath..

DAFI90-301 4 JANUARY 2024 191

A4.10.5. At the conclusion of the interrogatories, ask: “Do you have any further information,

statements, or evidence, which you wish to present concerning the matters we have discussed?”

and “Do you know of anyone else who can provide further information concerning these

issues?”

A4.11. Suspect Read-Out (Recorder is ON). Read the following verbatim: