1. Carl Hoecker Inspector General, US Capitol Police Chair, CIGIE Investigations Committee

2.  Investigations Update  Investigative Process & Standards  Audits/Investigations Collaboration  Questions

3. CIGIE Investigations Committee Role ◦ Advisory on Investigative Issues ◦ Establish Guidelines ◦ Manage Investigative Peer Review Process ◦ Training Content ◦ AIGI Committee

4. Investigations Committee Activity ◦ Updated Quality Standards for Investigations ◦ Updated Investigative Peer Review Guide ◦ Established AIGI Training Subcommittee ◦ Suspension and Debarment Working Group

5. Investigations Community ◦ 4,100 investigators ◦ FY 11: 5,531 Criminal Prosecutions, $4.8 Billion ◦ Joint Terrorism Task Forces, Procurement Task Forces, Health Care Fraud Prevention and Enforcement Actions Teams, and others. ◦ Cases: Health care, student loans, mortgage fraud, and even government conference abuses.

6. Community (Continued) ◦ Forensic teams consisting of investigators, auditors, and other disciplines. ◦ July Settlement of a Drug Company  $1 billion in criminal fines and forfeitures and $2 billion to resolve False Claims Act  Six different OIGs (HHS, DOD, OPM, VA, DOL, Postal)

7. Investigative Process ◦ Predication ◦ Investigation ◦ Remedies ◦ No Violation - Close Case

8. Predication ◦ Hotline ◦ Confidential Source ◦ Referral (Audit, External Agency) ◦ Proactive Investigative Efforts ◦ Other

9. Investigation – My Definition ◦ Process of gathering facts, evidence, and information ◦ Solve and prevent violations of law, policy, or rule ◦ Focus on the actions or behavior of suspected person(s)

10. Investigation (Evidence) ◦ Testimonial  Witness  Suspect  Agent, Expert Activity ◦ Documentary  Private Sector Records - Subpoena  Government Records - IG access  Digital Evidence

11. Remedies ◦ Criminal (Conviction and Money) ◦ Civil (Money) ◦ Administrative (Discipline, Termination)

12. Investigative Standards  CIGIE Guidance  Attorney General Guidelines  Federal Law and Rules  Law Enforcement Practices

13. CIGIE Guidance ◦ Quality Standards for Investigations ◦ Undercover Guideline ◦ Quality Assurance Review

14. Attorney General Guidelines ◦ For Offices of Inspector General with Statutory Law Enforcement Authority ◦ For Domestic FBI Operations ◦ Regarding The Use Of Confidential Informants ◦ US Attorney’s Office

15. Federal Law and Rules ◦ Criminal ◦ Civil ◦ Case Law ◦ Federal Rules of Evidence

16. Most Common Crimes ◦ False Statements ◦ False Claims ◦ Theft

17. False Claims Act ◦ Civil Matter ◦ Qui Tam ◦ Treble damages

18. Federal Law and Rules ◦ Case Law ◦ Federal Rules of Evidence

19. Law Enforcement Practices ◦ Officer and Public Safety ◦ DOJ Use of Force ◦ Operation Plan for LE actions ◦ OIG Investigative Manual

20.  Determine Monetary Damages and Losses  Identify Flow of Funds / Comingled  Contract or Grant Noncompliance  Anomalies and Patterns of Behavior Financial Statement or Program

21.  IG Subpoena Language  Audit Planning ◦ Programs at Risk ◦ Historical Program Investigations  Individual Audit ◦ Risk Assessment during planning phase ◦ Red Flags during Audit

22. Carl Hoecker Inspector General US Capitol Police oig@uscp.gov 202-593-4555