Overview of Investigations in Public Service
Carl Hoecker
Inspector General, US Capitol Police
Chair, CIGIE Investigations Committee
Investigations Update
Investigative Process & Standards
Audits/Investigations Collaboration
Questions
CIGIE Investigations Committee Role
◦
Advisory on Investigative Issues
◦
Establish Guidelines
◦
Manage Investigative Peer Review Process
◦
Training Content
◦
AIGI Committee
Investigations Committee Activity
◦
Updated Quality Standards for Investigations
◦
Updated Investigative Peer Review Guide
◦
Established AIGI Training Subcommittee
◦
Suspension and Debarment Working Group
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.
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)
Investigative Process
◦
Predication
◦
Investigation
◦
Remedies
◦
No Violation - Close Case
Predication
◦
Hotline
◦
Confidential Source
◦
Referral (Audit, External Agency)
◦
Proactive Investigative Efforts
◦
Other
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)
Investigation (Evidence)
◦
Testimonial
Witness
Suspect
Agent, Expert Activity
◦
Documentary
Private Sector Records - Subpoena
Government Records - IG access
Digital Evidence
Remedies
◦
Criminal (Conviction and Money)
◦
Civil (Money)
◦
Administrative (Discipline, Termination)
Investigative Standards
CIGIE Guidance
Attorney General Guidelines
Federal Law and Rules
Law Enforcement Practices
CIGIE Guidance
◦
Quality Standards for Investigations
◦
Undercover Guideline
◦
Quality Assurance Review
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
Federal Law and Rules
◦
Criminal
◦
Civil
◦
Case Law
◦
Federal Rules of Evidence
Most Common Crimes
◦
False Statements
◦
False Claims
◦
Theft
False Claims Act
◦
Civil Matter
◦
Qui Tam
◦
Treble damages
Federal Law and Rules
◦
Case Law
◦
Federal Rules of Evidence
Law Enforcement Practices
◦
Officer and Public Safety
◦
DOJ Use of Force
◦
Operation Plan for LE actions
◦
OIG Investigative Manual
Determine Monetary Damages and Losses
Identify Flow of Funds / Comingled
Contract or Grant Noncompliance
Anomalies and Patterns of Behavior Financial
Statement or Program
IG Subpoena Language
Audit Planning
◦
Programs at Risk
◦
Historical Program Investigations
Individual Audit
◦
Risk Assessment during planning phase
◦
Red Flags during Audit
Carl Hoecker
Inspector General
US Capitol Police
oig@uscp.gov
202-593-4555
Explore the role of investigative committees and communities in upholding standards and combating fraud through collaborative efforts. Learn about the process, predication, and definition of investigations in various sectors such as healthcare, procurement, and law enforcement. Discover the impact of investigative activities on criminal prosecutions and enforcement actions to safeguard public resources and integrity.
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Presentation Transcript
Carl Hoecker Inspector General, US Capitol Police Chair, CIGIE Investigations Committee
Investigations Update Investigative Process & Standards Audits/Investigations Collaboration Questions
CIGIE Investigations Committee Role Advisory on Investigative Issues Establish Guidelines Manage Investigative Peer Review Process Training Content AIGI Committee
Investigations Committee Activity Updated Quality Standards for Investigations Updated Investigative Peer Review Guide Established AIGI Training Subcommittee Suspension and Debarment Working Group
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.
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)
Investigative Process Predication Investigation Remedies No Violation - Close Case
Predication Hotline Confidential Source Referral (Audit, External Agency) Proactive Investigative Efforts Other
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)
Investigation (Evidence) Testimonial Witness Suspect Agent, Expert Activity Documentary Private Sector Records - Subpoena Government Records - IG access Digital Evidence
Remedies Criminal (Conviction and Money) Civil (Money) Administrative (Discipline, Termination)
Investigative Standards CIGIE Guidance Attorney General Guidelines Federal Law and Rules Law Enforcement Practices
CIGIE Guidance Quality Standards for Investigations Undercover Guideline Quality Assurance Review
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
Federal Law and Rules Criminal Civil Case Law Federal Rules of Evidence
Most Common Crimes False Statements False Claims Theft
False Claims Act Civil Matter Qui Tam Treble damages
Federal Law and Rules Case Law Federal Rules of Evidence
Law Enforcement Practices Officer and Public Safety DOJ Use of Force Operation Plan for LE actions OIG Investigative Manual
Determine Monetary Damages and Losses Identify Flow of Funds / Comingled Contract or Grant Noncompliance Anomalies and Patterns of Behavior Financial Statement or Program
IG Subpoena Language Audit Planning Programs at Risk Historical Program Investigations Individual Audit Risk Assessment during planning phase Red Flags during Audit
Carl Hoecker Inspector General US Capitol Police oig@uscp.gov 202-593-4555
