CIGIE Investigations Committee FAEC Annual Conference November 27, 2012

1. CIGIE Investigations Committee FAEC Annual ConferenceNovember 27, 2012 Carl Hoecker Inspector General, US Capitol Police Chair, CIGIE Investigations Committee

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

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

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

5. Investigations Update 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. Investigations Update 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 & Standards Investigative Process  • Predication  • Investigation  • Remedies  • No Violation - Close Case

8. Investigative Process & Standards Predication  • Hotline • Confidential Source • Referral (Audit, External Agency) • Proactive Investigative Efforts • Other

9. Investigative Process & Standards 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. Investigative Process & Standards Investigation (Evidence) • Testimonial • Witness • Suspect • Agent, Expert Activity  • Documentary • Private Sector Records - Subpoena • Government Records - IG access • Digital Evidence

11. Investigative Process & Standards Remedies  • Criminal (Conviction and Money) • Civil (Money) • Administrative (Discipline, Termination)

12. Investigative Process & Standards Investigative Standards • CIGIE Guidance • Attorney General Guidelines • Federal Law and Rules • Law Enforcement Practices

13. Investigative Process & Standards CIGIE Guidance • Quality Standards for Investigations  • Undercover Guideline • Quality Assurance Review

14. Investigative Process & Standards 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. Investigative Process & Standards Federal Law and Rules • Criminal • Civil • Case Law • Federal Rules of Evidence

16. Investigative Process & Standards Most Common Crimes  • False Statements • False Claims • Theft

17. Investigative Process & Standards False Claims Act • Civil Matter • Qui Tam • Treble damages

18. Investigative Process & Standards Federal Law and Rules • Case Law • Federal Rules of Evidence

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

20. Audit Expertise for Investigations • Determine Monetary Damages and Losses • Identify Flow of Funds / Comingled • Contract or Grant Noncompliance • Anomalies and Patterns of Behavior Financial Statement or Program

21. Investigations Assistance to Audits • IG Subpoena Language  • Audit Planning • Programs at Risk • Historical Program Investigations • Individual Audit • Risk Assessment during planning phase • Red Flags during Audit

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