SURVEY OF DEPARTMENTAL INTERNAL INSPECTION UNITS INTRODUCTION The Internal Audit Staff, Office of Management and Finance (OF), has completed a survey of the investigation units, or comparable units, in six agencies of the Department of Justice (DOJ). The six agencies are Drug Enforcement Administration (DEA), Federal Bureau of Investigation (FBI), United States Marshals Service (USS), Immigration and Naturalization Service (INS), Bureau of Prisons (BOP), and the Law Enforcement Assistance Administration (LEAA). The Office of Professional Responsibility (OPR) in DOJ is required by 28 CFR Section 0.39 a(f)(4) to submit to the Attorney General an annual report reviewing and evaluating the activities of internal inspection units within the Department. OPR, by memorandum dated October 8, 1976, requested the six agencies to submit reports reviewing and evaluating their internal inspection units. The reports were to cover the period October 1, 1975, through September 30, 1976. The memorandum recommended that the Internal Audit Staff review the submission of each agency to monitor their accuracy and completeness. In addition, OPR asked the Internal Audit Staff to evaluate the need for periodic reports from the agencies to OPR and the content of such reports. The survey included review of the reports submitted by each agency, review of policies and procedures of the Department and of each agency concerning standards of conduct and employee integrity, discussion with the representatives of each agency responsible for the internal investigations, and a review of some case files and information systems. This is the first time that OPR has requested this type of information. The information systems in the six agencies were not designed to capture all of the information requested. Because of the lack of adequate information systems and time constraints, test checks of case files and information systems were minimal. However, the test checks conducted indicate that the data reported by the agencies are reasonably complete and accurate. SUMMARY OF RECOMMENDATIONS In order for OPR to meet their responsibility to the Attorney General, we recommend that: 1. 2. OPR consider having serious nonsupervisory misconduct investigations included in the reports. (Page 11) OPR issue guidelines: a. b. C. Defining the term "supervisory-level Defining the classes of misconduct Outlining the content of information to be included in monthly and annual reports from agencies. (Page 11) INTERNAL INVESTIGATION UNITS Each agency covered by this survey has established its own system for investigating allegations of misconduct made against their employees. The total number of employees in each agency and the number of investigators assigned to the internal investigation function The number of investigators assigned to an internal investigation unit is augmented in some agencies. The FBI and INS used field personnel to investigate some allegations of misconduct and BOP has field personnel or ad hoc committees conduct all its investigations. A synopsis of the organization and operation of the internal investigation function of each agency illustrates the divergent approach used in each agency. DRUG ENFORCEMENT ADMINISTRATION The internal investigation function of DEA is in the Office of Internal Security (IS). This office is responsible for all security and internal inspection matters within DEA. The office consists of a group at Headquarters and personnel stationed at six field offices. Each field office has jurisdictional responsibility for two or more DEA regions. The field offices are located separate and apart from other DEA facilities and are not dependent on them for administrative support. The Headquarters group is divided into three divisions, with the Operations Division being responsible for integrity investigations and unannounced inspections of all DEA facilities. The Operations Division is the control point for all integrity investigations and unannounced inspections. All allegations of misconduct concerning integrity are reported to this division. Allegations received that require investigation are assigned a case number and sent to the field office for investigation. The investigation is conducted by personnel in the field office and when completed, the case file is sent to the Operations Division for review. The case file is reviewed by employees in the Operations Division, Legal Counsel, and Personnel. At any stage of the review process, the case may be returned to the field for additional investigation. The investigators serve as fact finders and they do not draw conclusions or make recommendations in their reports. The Personnel Section analyzes the case file, delineates the charges, if any, and provides information on the range of penalties that may be administered by the official responsible for the employee charged with misconduct. The responsible official determines the penalty and issues a letter of proposed action to the concerned employee. personnel in the IS receive a copy of the proposed action, they close their case file. When The IS has recently initiated a 60-day time frame for completing an investigation. The time period includes investigation, the review process, and issuance of the letter of proposed action. The purpose of the time frame is to ensure that prompt action is taken on all allegations. It is not intended to encourage quantity at the expense of quality. Officials of the IS believe that between 70 and 90 percent of their investigations can be completed within the 60-day time frame without sacrificing quality. FEDERAL BUREAU OF INVESTIGATION In a recent reorganization, the FBI established the Planning and Inspection Division. The Office of Professional Responsibility (OPR), which started functioning in October 1976, is one of three offices that make up the Division. This office is responsible for investigating all allegations against employees concerning criminality, moral turpitude and serious misconduct. Allegations against FBI Headquarters officials, Special Agents in Charge (SAC's), Assistant Special Agents in Charge (ASAC's) and Legal Attaches will normally be investigated by the FBI-OPR staff. Allegations against other FBI employees will normally be referred to the appropriate Assistant Directors, SAC's or Legal Attaches for prompt investigation and the FBI-OPR will monitor the progress of these investigations. The investigators develop and report facts concerning the allegations and draw a conclusion on whether action should or should not be taken in the case. The investigators do not recommend what action should be taken. The completed case is reviewed by the Chief, FBI-OPR, and will be returned to the field or the FBI-OPR investigator if the Chief feels that additional investigation is necessary. After the case is approved by the Chief, FBI-OPR, it goes to the Assistant Director, Planning and Inspection Division, for his approval and then to the Finance and Personnel Division. The Finance and Personnel Division initiates whatever disciplinary action they feel is appropriate. FBI-OPR closes the case when they receive a copy of the final action from the Finance and Personnel Division. The FBI has not established a time frame for completing an investigation of alleged employee misconduct, however, the FBI-OPR monitors all investigations and takes follow-up. action if they are not promptly investigated. They The FBI-OPR has two additional functions. are to maintain liaison with the Office of Professional Responsibility, U.S. Department of Justice, and to monitor disciplinary action taken concerning all employees of the FBI. This monitoring function covers disciplinary action taken as a result of investigative substantive delinquencies, personal misconduct matters and work-related deficiencies. The purpose of the monitoring function is to attempt to standardize disciplinary action initiated by the Finance and Personnel Division. The FBI-OPR will review the disciplinary actions and inform the Director if they find that disciplinary action is too harsh or too light for certain offenses. |