Prior to the reorganization, integrity investigations and unannounced inspections were conducted by the Inspection Division. The reorganization separated these functions. Unannounced inspections have been eliminated. Announced inspections are now conducted by the Office of Inspection.

The period covered by the annual report to be sent to the Attorney General actually preceded the FBI reorganization. During the report period, allegations of misconduct were received in the Administrative Division. The Administrative Division referred the matter to either the SAC or the Inspection Division for investigation. When the investigation was completed, it was returned to the Administrative Division and disciplinary action, if necessary, would be initiated. No centralized records of disciplinary actions were maintained. Thus, the FBI was not able to provide information on disciplinary actions in its annual report.

UNITED STATES MARSHALS SERVICE

The Internal Inspection Unit (IIU) of the USMS is 'responsible for investigating allegations of misconduct against USMS employees. The unit is located in USMS Headquarters and does not have field offices. There is, however, a deputy in the Northern District of Illinois with investigative experience who is utilized when needed.

Allegations of misconduct are received in the IIU. The IIU refers a small number of allegations (about 2 or 3 percent) to the regional offices for investigation. The allegations referred to the regions concern matters that are minor in nature. The remainder of the allegations are investigated by the IIU staff.

The investigators serve as fact finders and do not draw conclusions or make recommendations. The Chief, IIU, reviews all investigative case files to assure completeness. When satisfied that the investigation is complete, the Chief, IIU, forwards the case file to the Deputy Director for his review and approval. The case file then goes to the Personnel and Training Section. Employees of the Personnel and Training Section review the case file, determine which charges, if any, are founded and establish what penalties should be administered.

The

case is then sent to the appropriate Regional Director
for action. IIU closes their case file when the
Deputy Director approves the case.

No time frame has been established for completing
an investigation. The Chief, IIU, believes it would
be difficult to establish a time frame because of the
different nature and complexity of each allegation.
He believes that most of their investigations required
about 5 man-days to complete.

The USMS does not have investigator (GS-1811) positions except for those in IIU. Positions in the IIU have been filled by deputies with prior investigative experience. All of the investigators have had investigative training.

IMMIGRATION AND NATURALIZATION SERVICE

The Office of Internal Investigation (OII) is responsible for investigating allegations of misconduct made against INS employees. The bulk of the OII office staff is located in Headquarters, but three

investigators are located at the Western Regional Office.

Allegations of misconduct are received at OII Headquarters. Allegations against high ranking

officials and serious allegations against all employees are investigated by OII. Allegations of a minor nature are referred to the four regional offices for investigation. The Regional Director assigns an investigator from within the region to conduct the investigation. OII monitors the cases and receives a copy of the investigative report for review before any adverse or disciplinary action is initiated.

Cases investigated by the OII staff are under the direct supervision of the Chief, OII, who reviews all case files for completeness. After review by the Chief, OII, the case is forwarded to Personnel. If the charges are founded, a three member panel is established to determine the disciplinary or adverse action. ΟΙΙ closes their case file when it is approved by the Chief, OII.

The investigators serve as fact finders and, in addition, they reach conclusions in their reports as to whether or not the allegations are founded.

98-001 - 78 - 15

No time limit has been established for completing an investigation. The Chief, OII, stated that as long as his investigators are following good leads, he does not worry about the time spent on the investigation. All investigations of allegations of misconduct are approached as possible criminal violations and are presented to a U.S. Attorney for his determination on whether prosecution is warranted.

BUREAU OF PRISONS

The BOP does not have a unit for investigating allegations of misconduct against employees. Allegations of misconduct are normally handled by a Warden who will appoint someone to conduct the investigation. Allegations against Associate Wardens or higher level officials are referred to Headquarters. The Director will appoint a board of inquiry to investigate these allegations.

No distinction is made in the reporting of integrity matters and administrative matters. Many of the allegations in BOP concern possible violation of criminal statutes and are referred to the FBI for investigation. Reports of the FBI investigations are sent to the Director and subsequently forwarded to the Regional Director for action.

BOP has an Inmate Grievance Procedure that allows inmates to have their grievances investigated. The grievance is investigated at the local level and the determination made at the local level can be appealed to Headquarters for review. Inmate complaints against correctional officers are handled under this procedure.

Personnel specialists are assigned to each region and initiate disciplinary or adverse actions in the regions when allegations are founded. The Labor Management Relations Section in Headquarters has recently begun receiving a Quarterly Report from the regions on disciplinary actions. Case files are maintained in the field on matters in which disciplinary actions are initiated. In cases where adverse actions are initiated, parts or all of the case file are sent to Headquarters. BOP officials stated that their reporting system needs to be improved, however, they do not feel that they need an internal investigation unit.

LAW ENFORCEMENT ASSISTANCE ADMINISTRATION

The Office of Audit and Inspection (OAI) in LEAA is charged with responsibility for investigating allegations of misconduct by LEAA employees. They are also responsible for investigation of allegations of possible fund misuse, criminal activity or conflict of interest against recipients of LEAA funding. This latter responsibility generates nearly all of OAI's workload. At the present time, all 130 investigations being conducted concern recipients of LEAA funds.

OAI investigates allegations concerning possible criminal misconduct or integrity matters. Administrative matters are the responsibility of management.

The investigators serve as fact finders and do not draw conclusions or make recommendations. Case files are reviewed by the Assistant Administrator, OAI, and forwarded to the General Counsel for review. The case file is then sent to officials in the Personnel Division for initiation of disciplinary or adverse action, if warranted.

In all agencies when an allegation or subsequent investigation discloses potential violation of criminal statutes, the investigating agency will refer the matter to the agency having jurisdiction over the criminal statute. That agency can accept the matter for investigation or defer to the referring agency. These matters will also be presented to the U.S. Attorney for his consideration of criminal prosecution.

FINDINGS AND RECOMMENDATIONS

NEED FOR INTERNAL AUDIT

The Department of Justice has been publicly criticized about its handling of internal investigations of allegations of misconduct. Before formation of the OPR, each agency in the Department conducted internal investigations with little or no review or supervision from the Department. Thus, the Attorney General had little knowledge of the adequacy or effectiveness of internal inspection units in the agencies.

The OPR was established by the Attorney General to oversee the internal inspection activities of the Department. One function assigned to OPR is to, "Submit recommendations to the Attorney General and the Deputy Attorney General on the need for changes in policies or procedures that become evident during the course of his inquiries."

Since its formation, OPR has been primarily concerned with overseeing the investigation of specific allegations of misconduct and has not had the opportunity to study the organization, adequacy or effectiveness of internal investigation units in the Department. The synopsis of internal investigation units in the six agencies presented earlier in this report shows that differences exist in the organization and operation of the various units within the Department. Two of the agencies, DEA and FBI, have recently reorganized their internal investigation units and one agency, BOP, does not have a unit charged with this responsibility.

In order for OPR to meet its responsibility to submit recommendations to the Attorney General on the need for changes in policies or procedures, an evaluation of the organization, adequacy, and effectiveness of the internal investigation function in all six agencies is needed. Accordingly, the IAS will coordinate with OPR to establish a schedule for conducting audits of the internal inspection function of each agency of the Department.