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DEFENSE INTELLIGENCE AGENCY
WASHINGTON, DC 20340-0001
: 40-5
15 October 1991
INSPECTOR GENERAL
Policies and Responsibilities
1.
Purpose: To establish policy relating to the Of-
fice of Inspector General (OIG), Defense Intelligence
Agency (DIA) in the performance of its official du-
ties and to define the responsibilities of OIG, DIA
management, and DIA employees in OIG activities.
References
!
*
a. Public Law 95-452, Inspector General Act of
1978, as amended.
b. Executive Order 12333, “U.S. Intelligence Ac-
tivities,” 4 December 1981.
c. Executive Order 12356, “National Security In-
formation,” 6 April 1982.
d DoD Directive 3305.5, “General Defense Intel-
ligence Program (GDIP) Management,” 9 May 1986.
e. DoD Directive 5105.21, “Defense Intelligence
Agency,” 19 May 1977.
f. DoD Directive C-5105.32, “Defense Attache Sys-
tem,” 23 March 1973.
g. DoD Directive 5106.1,
“Inspector General
ol
the Department of Defense,” 14 March 1983.
h. DoD Instruction
5106.3,
“Inspector General,
Department
of Defense,
Inspection Program,”
July 1989.
i. DoD Regulation 5240.1-R, “Procedures Govern-
ing the Activities of DoD Intelligence Components
that Affect U.S. Persons,” December 1982.
j. DoD Instruction 5505.2,
“Criminal Investiga-
tions of Fraud Offenses,” 16 July 1990.
k. DoD Directive 7050.1, “Defense Hotline Pro-
gram,” 20 March 1987.
l. DoD Directive 7600.2, “Audit Policies,
2 Febru-
ary 1991.
m. DoD Manual 7600.7-M, “Internal Audit Man-
ual,” June 1990.
n. DIAM
40-1,
“Investigations,
Audits and
In-
spections, Inspector General Activities.
o. DIAR 50-36, “Security, Reporting of Counter-
intelligence and Criminal Violations.
3. Applicability: This regulation applies to all DIA
Elements, the Defense Attache System, and to all
military and civilian personnel and organizations
assigned or attached to the DIA.
4. Supersession: This regulation supersedes DIAR
40-2, Inspector General, Coordination of Remedies
for Fraud and Corruption Related to Procurement
Activities,” 29 December 1989, and DIAR 40-4,
In-
spector General, Access to Records and Information
by the Inspector General, Department of Defense,
21 September 1987.
5. Mission: The OIG is established by the Director
as an independent office within the DIA for internal
audit, inspection, and investigation.
While not a
statutory Inspector General (IG) as established un-
der the provisions of reference a., the duties and re-
sponsibilities of the OIG complement in nature and
scope the Department of Defense (DoD) OIG, which
is established under that law. Subject to the direc-
tion, control and authority of the Director, the OIG
shall:
a.
Initiate, conduct, supervise, and monitor au-
dits, inspections, and investigations relating to pro-
grams, operations and policies of the DIA.
b. Recommend policies for activities designed to
promote economy, efficiency, and effectiveness in the
administration of and to prevent and detect fraud
and abuse in, such programs and operations.
c. Provide a means for keeping the Director fully
and currently informed about problems and deficien-
cies relating to the administration of such programs
and operations and the necessity for and progress of
corrective action.
6. Organization and Management:
a. The IG, a civilian senior executive appointed
by the Director, shall serve as head of the OIG.
b. The IG shall nominate for the Director’s ap-
proval a Deputy Inspector General who shall serve
as IG in the absence of the IG.
c. There shall be such suborganizations of the
OIG as established by the IG and approved by the
Director. Each suborganization will be headed by
an Assistant Inspector General appointed in accor-
dance with DIA personnel regulations.
d. The OIG shall be provided personnel,
fiscal,
logistical, and administrative resources in accor-
dance with applicable DIA regulations. OIG person-
nel will be subject to applicable DIA personnel reg-
OPR: IG
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illations regarding hiring, assignment, promotion,
grade and other personnel matters.
e. The IG shall promote inspection,
audit and
investigative career development and training pro-
grams
to
improve
the
effectiveness
of the OIG
organization.
7. Responsibilities and Functions:
a. The IG shall, subject to the direction, control
and authority of the Director:
(1) Be the principal adviser to the Director on all
audit, investigative, and inspection matters covered
under reference a. and for matters relating to the
prevention and detection of fraud, waste, and abuse
in the programs and operations of DIA.
(2)
Initiate, conduct, and supervise such audits,
investigations, and inspections in DIA, including all
field activities.
(3) Provide policy direction
for
audits,
inspec-
tions, and investigations relating to fraud, waste,
abuse and program effectiveness.
(4) Evaluate and review the work of all DIA ac-
tivities relating to self inspection, internal review,
contract review, intelligence oversight and security
oversight.
(5) Investigate fraud,
waste, and abuse uncov-
ered as a result of OIG activities, internal reviews,
contract
reviews,
security
oversight and
intelli-
gence oversight, as the IG considers appropriate.
(6) Monitor and evaluate program performance,
and provide guidance, in coordination with DIA Se-
curity, with respect to all DIA activities relating to
criminal or administrative investigative programs.
(7) Ensure that all DIA auditors adhere to Gov-
ernment auditing standards as defined in reference
1. and as implemented by reference m.
(8) Evaluate program performance, and monitor
actions taken by all DIA components in response
to contract
audits, DIA OIG audits and
inspec-
tions, internal reviews, audits and inspections con-
ducted by the DoD OIG, and audits conducted by
the Comptroller General of the United States.
(9) Monitor and give particular regard to the ac-
tivities of the DoD OIG and GAO with a view to-
ward avoiding duplication and ensuring effective
coverage, coordination, and cooperation.
(10) In coordination with the DIA General Coun-
sel (GC), review existing and proposed legislation
and regulations relating to DIA programs and op-
erations and make recommendations thereon to the
Director concerning their impact on economy and
efficiency or on the prevention and detection of
fraud and abuse in DIA programs and operations.
(11) Recommend policies for other activities car-
ried out or funded by DIA for the purpose of promot-
ing economy and efficiency in the administration of,
or preventing and detecting fraud and abuse in, its
programs and operations.
(12) Recommend policies for and conduct, super-
vise, or coordinate relationships between DIA and
other DoD entities, Federal agencies, State and lo-
cal government agencies, and nongovernmental en-
tities with respect to (a) all matters relating to or
the prevention and detection of fraud and abuse in,
programs and operations administered or financed
by DIA; or (b) the identification and prosecution of
participants in such fraud or abuse.
(13) Keep the Director
fully and currently
in-
formed concerning fraud and other serious prob-
lems,
abuses,
and
deficiencies
relating
to
the
administration of programs and operations admin-
istrated or financed by DIA. Recommend corrective
action concerning such problems, abuses, and defi-
ciencies, and report on the progress made in imple-
menting such corrective action.
(14) Receive and investigate, consistent with Sec-
tion 7 of reference a. and reference k. and in coordi-
nation with
the
Defense
Criminal
Investigative
Service (DCIS), of the DoD OIG, complaints or in-
formation concerning the possible existence of any
activity constituting a violation of law,
rules, or
regulations, mismanagement, gross waste of funds,
abuse of authority, or a substantial and specific dan-
ger to the public health and safety involving DIA.
(15) Maintain close liaison with intelligence com-
munity and
nonintelligence community IGs and
associated
law-enforcement
entities
within
and
outside the DoD.
(16) Represent the Director on
all OIG
activ-
ities requiring coordination and/or
collaboration
with outside
IGs,
i.e., DoD,
Central Intelligence
Agency (CIA), National Security Agency (NSA), De-
partment of State, Military Services,
etc.
Ensure,
through official and personal interaction with these
senior officials, that DIA positions and requirements
are properly articulated and known and that the
Agency’s best interests are served.
(17) Conduct Congressional liaison and support
Congressional requests in accordance with applica-
ble DIA regulations in coordination with the Office
of the Chief of Staff, Legislative Affairs Division
(COS-3).
(18) Interact with the Agency’s Senior Leader-
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ship to ensure that their plans, programs, and poli-
cies are fully understood by the IG and their specific
concerns falling within the responsibilities of the IG
are addressed.
(19) Organize, direct and manage the OIG and all
resources assigned thereto.
(20) Perform other duties as assigned by the Di-
rector or which are necessary, but not
explicitly
stated, to accomplish the OIG mission.
8. Relationships:
a. The IG shall carry out the above responsibili-
ties and functions under the general supervision of
the Director, DIA, and shall not be prevented or pro-
hibited from initiating, carrying out, or completing
any audit, inspection, or investigation, or from re-
questing any subpoena, as provided for in reference
1., during the course of any audit, inspection, or in-
vestigation; except that the IG shall be subject to
the authority, direction, and control of the Direc-
tor with respect to audits, inspections, and investi-
gations, or the issuances of subpoenas that require
access to information concerning:
(1) Sensitive operational plans.
(2) Intelligence matters.
(3) Counterintelligence matters.
(4) Ongoing criminal investigations by other ad-
ministrative units ofDIA or DoD related to national
security.
(5) Other matters the disclosure of which would
constitute a serious threat to national security.
b. In accordance with the procedures established
in reference
1., if the Director exercises the author-
ity to
restrict OIG access under Subsection
8.a.,
above, the Director shall advise the DoD OIG of the
denial within 15 working days.
c. In the performance of assigned responsibilities
and functions, the IG shall:
(1) Coordinate actions, as he or she deems appro-
priate, with other DIA components.
(2) As provided in references i and o, coordinate,
as appropriate, with the Under Secretary of Defense
for Policy and the Assistant to the Secretary of De-
fense (Intelligence Oversight) on matters relating to
their respective areas of responsibility.
(3) As required by reference
j.,
report
expedi-
tiously to the Attorney General, through the DoD
OIG, whenever the IG has reasonable grounds to be-
lieve there has been a violation of federal criminal
law.
(4) Report expeditiously, through the DoD OIG,
to the Military Department concerned any alleged
violations of the Uniform Code of Military Justice.
(5)
Identify in the DIA Manual system, DIAM 40-
1, the policies, procedures and standards related to
the operation of the OIG.
9. Authority: In addition to the authorities to be
exercised in parallel and support of the DoD OIG
authorities
under
reference
a.,
and
authorities
delegated in reference
e.
and reference
i., which
delineate IG responsibilities and demonstrate an
inherent
requirement
for
an
internal
oversight
organization within the DIA, the IG
is delegated
authority to:
Obtain expeditious and unrestricted access to all
information, personnel,
facilities, records, reports,
investigations, audits, reviews, documents, papers,
recommendations,
or other material
available to
any DIA component.
(1) Except as specifically denied in writing by the
Director pursuant to the authority contained in Sec-
tion 8 of reference a., in reference 1., and Subsection
8.a., above, no officer, employee, or Servicemember
of any DIA component may deny the IG, or officials
assigned by the IG, access to information, or pre-
vent them from conducting an audit, inspection, or
investigation.
(2) DIA employees shall cooperate fully with any
audit, inspection or investigation being conducted
by
the
OIG;
shall
not withhold
information
or
documentary materials from the assigned auditor,
inspector or investigator; shall furnish sworn or af-
firmed oral or subscribed statements upon request,
subject to Subsection 9.a.(3), below; and shall an-
swer questions relating to his/her employment or
matters coming to his/her attention in his/her
offi-
cial capacity or by reason of his/her employment.
Disciplinary action may be taken against an em-
ployee who refuses to cooperate in any of these
matters.
(3) An employee may assert his/her Fifth Amend-
ment rights,
or rights under Article 31(b) of the
Uniform Code of Military Justice, to refuse to an-
swer questions on the grounds that answers might
be used against him/her in a criminal proceeding.
An employee who asserts Fifth Amendment or Arti-
cle 31 rights against self-incrimination may not be
disciplined solely for remaining silent. However, an
employee’s silence may be considered, in taking dis-
ciplinary actions, for its evidentiary value, as war-
ranted by the facts surrounding the employee’s case.
An employee may be disciplined for refusing to an-
swer a question following a grant of immunity from
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criminal prosecution properly obtained by the OIG
from the Department of Justice.
(4) OIG officials shall possess proper access
se-
curity clearances when sensitive classified data are
requested.
(5) The IG may communicate directly with per-
sonnel of other DoD components on matters relat-
ing to reference a. and this regulation.
SGFOIA3
(6) The IG may request assistance as needed from
other audit, inspection, and investigative units of
DoD Components.
(7) The IG may
request
information
or
assis-
tance from any Federal, State or local governmental
agency, or unit thereof.
10. Effective Date: This regulation is effective im-
mediately.
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