CHAPTER 400 - INVESTIGATIONS

**(400)-360** **[Operations -- Field Division Inspection
Process]{.underline}**

360.1 [Overview.]{.underline}

This section provides policies and general procedures for an Inspection
program, which will be administered by the SAC-Operations.

Legislation, such as the GPRA and the FMFIA, has changed the management
and accountability focus of the federal government. TIGTA is committed
to keeping pace with these changes and providing meaningful
investigations, evaluations and other measurements of TIGTA operations
and programs.

TIGTA's mission is to prevent and detect fraud, waste and abuse, and to
promote economy, efficiency and effectiveness in the administration of
TIGTA programs and operations. That mission requires an internal
commitment to measure TIGTA's performance and examine the adequacy of
internal controls to ensure high quality performance is completed
efficiently and effectively.

SAC-Operations is responsible for conducting inspections of each Field
Division office and the various functions at Headquarters, including,
but not limited to, the TFSD and the SED.

The purpose of these inspections is to:

-   Ensure the quality of the TIGTA investigative products;

-   Ensure that TIGTA investigations and administrative operations are
    conducted in conformance with applicable laws, rules, regulations,
    the PCIE, and the TIGTA-OI Handbook procedures;

-   Ensure that TIGTA resources are being effectively and efficiently
    managed.

The PCIE has developed professional standards and criteria for
self-evaluation for Federal Offices of Inspectors General to include
investigations. Operations currently utilizes the PCIE standards to
evaluate TIGTA's investigative operations.

360.1.1 [Acronyms
Table](../../acronyms-table/acronyms-table.doc#AcronymsTable)[.]{.underline}

360.2 [Inspection Standards.]{.underline}

Inspections will focus primarily on resource management, investigative
results, operational and law enforcement issues and various
administrative matters as they relate to the PCIE Quality Standards for
Investigations.

360.3 [Inspection Plan.]{.underline}

The Inspection Plan is a process of assurance that ties together annual
reporting requirements of TIGTA with the inspection verification and
validation process. The process of assurance includes:

-   SAC Self-Inspection and Operational Review Certifications (SAC
    Certifications) submitted by each SAC-Field Division

-   Annual Inventory Reconciliation

-   FMFIA Reporting Requirements

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-   Operations Inspections

360.3.1 [Core Areas of Review.]{.underline} There are two core areas of
review described below.

-   Administrative Core Areas -- Internal Controls include the
    following:

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-   Physical Security

-   Vehicles

-   Oversight of Budget Issues

-   Inventory and management of Accountable Property

-   Resource Management

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-   Investigative Core Areas include the following:

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-   Case Management

-   Evidence and Seized Property Procedures

-   Grand Jury Procedures

-   Proper Referral Authorities

-   Confidential Source and Fictitious Identity Management

-   UC Procedures

360.4 [SAC Certifications/Operational Reviews.]{.underline}

Each SAC will submit the following six (6) SAC Certifications:

-   Accountable Properties

-   Confidential Sources and Fictitious Identities

-   Space and Physical Security

-   Case Management

-   Evidence and Seized Properties

-   Resource Management

Each SAC Certification will be electronically saved in the respective
field division subdirectory, located on Server **INV Process** in the
**FNHQ1007** directory. The SAC Certifications with attachments should
be sent via e-mail or hard copy to the SAC-Operations, attention
ASAC-Inspection Team.

The due dates for the SAC Certifications will be as follows:

-   January-Accountable Properties

-   February-Confidential Sources and Fictitious Identities

-   April-Case Management

-   June-Space and Physical Security

-   August-Evidence and Seized Properties

-   November-Resource Management

The confidential sources and fictitious identities certification will be
conducted in accordance with the SSN oversight procedures outlined in
[Section 180.8.9](../../400-180/chapter400-180.doc).

The ASAC will conduct the SAC Certifications review for their respective
group, identifying the specific issues and any corrective measures
taken, if necessary. Each SAC will certify each SAC Certification for
their Field Division and also identify and certify that corrective
measures, if any, have been completed.

360.5 [Operation's Role and Responsibilities.]{.underline}

Each Field Division inspection will be conducted by a team of S/A's,
headed by a lead S/A from Operations. The remaining members of the
inspection team will be comprised of Field Division ASAC's and Senior
Grade 13 S/A's nominated by their SAC.

The inspections will consist of previsitation analysis, onsite
visitations and post visitation analysis resulting in a written report.

360.5.1 [Pre-visitation Analysis.]{.underline} The pre-visitation
analysis generally consists of:

-   Quality Case Reviews -- by percentage of randomly selected closed
    cases utilizing the PCIE Quality Case Review Sheet, results to be
    included in the GPRA Measures

-   Analysis of the SAC Certifications

-   Briefing with AIGI's, SAC Operations, the TFSD, and TIGTA Counsel in
    order to identify any specific Field Division issues

-   Review of the Field Division's prior Inspection report

360.5.2 [Onsite Visitation.]{.underline} The onsite visitation generally
consists of:

-   Verification and Validation of SAC Certifications (as determined by
    the pre-visitation analysis)

-   Review of 100% of the evidence

-   Review of Open Cases -- 100% review of open cases

-   Review of Complaints - percentage randomly selected, results to be
    included in the GPRA Measures

360.5.3 [Post Visitation.]{.underline} The post visitation generally
consists of:

-   Verbal briefing with the Field Division SAC and the OI Senior
    Executives

-   Written Report, with attachments, containing only findings and best
    practices

-   Group Level Reporting by ASAC

-   All documentation will be maintained by the Operations Division,
    ASAC Inspection Team

360.6 [SAC-Field Division Responsibilities.]{.underline}

The SAC-Field Division will review the written inspection report and
submit a written response, within 15 days, to the items identified for
corrective action, as outlined in a memorandum issued by their
respective AIGI.