9.9.1  Employee Criminal Investigation Management Information System Responsibilities and Procedures

9.9.1.1  (01-18-2005)
Overview

  1. This section is designed to describe the Criminal Investigation Management Information System (CIMIS) database, its input documents, and the responsibilities and duties of various Criminal Investigation (CI) employees and specialty units to ensure that the database contains accurate and timely information.

9.9.1.2  (03-25-2011)
Description

  1. The CIMIS is a web-based application which provides a central location for users with various levels of access to input, monitor, and report on CI employee information, investigative equipment, investigations, and time reporting. The CIMIS integrates various CI management systems composed of systems that track the status and progress of CI investigations, time expended by CI employees on investigations (Monthly Activity Reports), employee (Personnel) information, and investigative equipment. Authenticated and authorized users can enter specific data for validating online transactions, processing of queries, and integrating report features. Data from this application may also be exported to other CI applications.

9.9.1.3  (03-25-2011)
Input Documents

  1. Information regarding CI employees, investigative equipment and motor vehicles, and criminal investigations is entered directly into the application from various source documents. Because the information is being entered by the same person who would ordinarily handle preparation of any input form(s), senior management made the decision to eliminate the extra process steps and have the employee enter the information directly into the application. In situations where support staff is providing assistance with the input of investigative information, it is expected that the lead agent or manager will provide all necessary guidance to the staff, including source documents, to ensure that accurate data is entered into CIMIS in a timely fashion.

  2. The recommended method of recording in CIMIS all 1811 time expended on investigative and non-investigative activities is for the individual reporting the time to use the “Upload 5043 from Diary” activity in CIMIS. This activity was designed to allow the user, with a few simple keystrokes, to pull the pertinent data from his/her local Diary application file into CIMIS, thereby eliminating the need to essentially perform dual input of the data (i.e., record it first in the Diary and then record it again in CIMIS). This input method will only work for an individual uploading his/her personal diary file. If a manager or other designee needs to enter time reporting information from an agent’s diary into CIMIS, it will have to be done by “manual” input as described below.

  3. As an alternative to using the “Upload 5043 from Diary” activity, a Form 5043, the Criminal Investigation Monthly Activity Report, that has either been printed from an agent’s diary or prepared manually, may be used as an input form when entering special agent time into the system through the “Add New 5043” manual input activity (see IRM 9.9.13, Form 5043 Criminal Investigation Monthly Activity Report (Exhibit 9.9.13-1)). Form 5043 is used to input special agents time and special agent profile information into the system (see Exhibit 9.9.13-1).

9.9.1.4  (03-25-2011)
Procedures and Responsibilities of Criminal Investigation Employees

  1. Source documentation regarding investigation updates should be gathered, analyzed and prepared so that the data is input on the same day the investigative action takes place but no later than five calendar days following the investigative action.

  2. Monthly activity time expended by all CI special agents should be uploaded or input no later than the second workday of the subsequent calendar month to allow for that time to be included in the monthly data snapshot. The agent needn’t wait until the last minute (i.e., the first or second workday) to upload/input his/her time, because monthly activity time can be recorded in CIMIS for future dates and subsequently updated if necessary.

  3. Source documentation regarding personnel updates is to be gathered and submitted to update the employee profile, as soon as the change occurs (e.g., change in grade, move to a new POD, transfer or detail to another assigned CI office/group, completion of training, new room or phone numbers, approval of outside employment, etc.).

  4. The responsibility for the accuracy of the database rests with each CI employee. The following subsections describe those responsibilities and the corresponding procedures.

9.9.1.4.1  (03-25-2011)
Special Agents

  1. Special agents are responsible for updating CIMIS when an investigative action takes place for immediate review and approval by his/her manager. At management discretion, or in the event that the special agent is off the CI network and cannot log into CIMIS in a timely manner, the special agent will gather, analyze, and submit to designated support staff (i.e., CSA, TFIA) the source documentation needed to input the investigative action into CIMIS. See subsections 9.9.1.4.8 and 9.9.1.4.10 for further descriptions of designated support staff and their responsibilities.

  2. Special agents are responsible for inputting their monthly activity into CIMIS, either through the “Upload Diary to CIMIS” activity or by entering the information manually through the “Add New 5043” activity, so that it is in the database no later than the second workday of the subsequent month. This policy helps ensure that management and HQ staff has the most accurate data available to them when running reports against the monthly snapshot.

  3. When special agents request approval to initiate an investigation of a subject who resides in another field office's territory, the special agent will prepare a memorandum for his/her Special Agent in Charge's (SACs) signature requesting concurrence of the other field office's SAC to authorize an investigation of the subjects.

9.9.1.4.2  (03-25-2011)
Supervisory Special Agents and Management Officials

  1. Supervisory Special Agents (SSAs) and management officials are responsible for establishing employee access to the live database as outlined in IRM 9.9.2, CIMIS Security and Setup.

  2. The SSAs review and approve all requests for a primary investigation (PI) with the exception of those initiated/developed:

    1. by the Scheme Development Center (SDC);

    2. by the Lead Development Center (LDC);

    3. with the charges for Title 18 USC §1956 and/or 18 USC §1957; and

    4. with the charges for Title 31.

    Note:

    The SAC may grant authority to the ASAC or SSA to approve these types of PIs through local delegation orders.

  3. The SSA will review and forward to the SAC (through the ASAC if appropriate) for approval, all subject criminal investigations (SCI). The authority to approve SCI subject seizure investigations (SSI) may not be delegated to the SSA.

  4. Supervisory Special Agents will review all discontinued investigations. The SSAs have the authority to approve discontinued PIs if they have been delegated that authority in their field office; however, they are not authorized to discontinue PIs if it involves a money laundering investigation. Additionally, the SSAs are not authorized to discontinue GIs, SCIs, or SSIs.

  5. The SSAs have the authority to approve discontinued PIs that were evaluated in his/her group and which were originally numbered as a PI in the FDC or LDC.

  6. The SSAs and management officials have the option to approve the Monthly Activity Reports (Form 5043) or allow the special agent to upload the information directly into CIMIS.

9.9.1.4.3  (03-25-2011)
Assistant Special Agents in Charge

  1. Assistant Special Agents in Charge are to review all PI and SCI requests to initiate investigations. The authority to approve the initiation of PIs and SCIs, including 18 USC §1956 and/or 18 USC §1957 investigations or Title 31 investigations, may be delegated to the ASAC. This delegation authority should be recorded and stored in the field office files.

  2. Correspondingly, ASACs have the authority to approve discontinued PIs or SCIs, if they have been delegated the authority to approve them in their field office. The ASAC is not authorized to discontinue SCIs, if they involve 18 USC §1956 and/or 18 USC §1957 investigations or Title 31 investigations.

9.9.1.4.4  (03-25-2011)
Special Agents in Charge

  1. Special Agents in Charge approve, and date all initiating requests for GIs, PIs, SCIs, and SSIs. The date the SAC approves the investigation in CIMIS is the authorized date of the investigation. The authority to approve PIs and SCIs including Title 18 and 31 investigations may be redelegated to the ASAC. The authority to approve GIs and SSIs may not be redelegated.

    Note:

    The Director, Field Operations must approve all SCI and SSIs on sensitive investigations. (See IRM 9.4.1, Investigation Initiation).

    Note:

    The Director, Field Operations must approve specialized GIs for imprest funds. The Director, National Operations Policy and Support (CI:OPS) will approve any GI that is national in scope.

  2. The SAC or his/her designee (ASAC) has approval authority for investigations based upon alleged violations of 18 USC §1956 and/or 18 USC §1957 or alleged violations of Title 31.

  3. The SAC has the authority to authorize the discontinuance of all types of criminal investigations.

  4. The SAC will be responsible to ensure that investigations are numbered only on individuals and entities alleged to have violated statutes under the jurisdiction of the IRS.

  5. The SAC will request in writing, CI Headquarters (HQ) approval to initiate an investigation when an open investigation of an individual or entity already exists.

  6. The SAC will request concurrence to authorize an investigation of a subject(s) who resides in another field office's territory. This concurrence memorandum will be made part of the investigation's administrative file.

  7. The SAC is responsible for the accuracy of the special agent's profile and to assure the profile is updated as needed. At a minimum, on an annual basis, special agent's profiles will be reviewed and certified as accurate.

9.9.1.4.5  (03-25-2011)
Resident Agent in Charge

  1. The Resident Agent in Charge (RAC) is responsible for reviewing all QRP and RPP schemes to ensure that they meet referral criteria prior to initiating a PI and assigning the PI to a field office to be worked. The RAC is responsible for following up with the field office to ensure that the evaluation time frames are being followed.

9.9.1.4.6  (03-25-2011)
Lead Development Centers

  1. RESERVED.

9.9.1.4.7  (03-25-2011)
Directors, Field Operations

  1. The Director, Field Operations must approve all SCIs and SSIs involving sensitive individuals and entities such as clergy, politicians, attorneys and accountants. (See IRM 9.4.1, Investigation Initiation).

9.9.1.4.8  (03-25-2011)
CIMIS Subject Matter Experts

  1. The CIMIS subject matter expert (SME) in each field office is the primary point of contact for CIMIS issues within that field office. The SME will be the only individual with the ability to correct erroneous status code entries for investigations, as well as the ability to correct employees’ historical employee position and monthly activity report records. Additionally, the SME will be granted the permissions to perform normal editing of nearly all of the investigative and time reporting data that is originally entered by special agents or administrative support staff. The CIMIS-SME is to be the contact point for field office information requests.

  2. The SME will also function as the principal User Administrator for CIMIS in his/her respective field office or Director, Field Operations office. This duty entails advising potential users and their managers on what permissions to request; creating and editing user profiles with the appropriate roles; deactivating user profiles when applicable; and, running user profile reports on an annual basis, or as needed by management, to assist with OL5081 recertification.

  3. The CIMIS-SME will also be responsible for conducting CIMIS accuracy reviews. Annually, the CIMIS-SME must perform accuracy reviews on a sample basis – 25 percent of total SCIs (open and pipeline) in each group. It is suggested that the CIMIS-SME perform these reviews in conjunction with group administrative (Administrative Office) reviews. For each sampled investigation, the review should cover, at a minimum, the following 12 CIMIS entries:

    1. TIN

    2. CI Program Area

    3. Grand Jury Code

    4. Industry

    5. Occupation

    6. Source

    7. Fraud Schemes/Criminal Activities

    8. Provable Money Laundering Amount (if applicable)

    9. Other Agencies

    10. Total Criminal Deficiency (if applicable)

    11. Conditions of Probation (COP) expiration date (if applicable)

    12. COP terms met (if applicable)

  4. For each SCI reviewed, the CIMIS-SME is to review the source documents in TIMS and/or the hardcopy files (with the CSA, TFIA, SA, or SSA, if necessary) to verify the 12 fields. The CIMIS documentation is not to be used for verification. Depending on the outcome, an expanded review (beyond 25 percent) can be undertaken, if necessary.

  5. The CIMIS-SME will also be responsible for reviewing the aforementioned 12 fields for accuracy upon closing or discontinuance of all investigations, which will include verifying the information against the SAR, indictment, plea agreement, and/or judgment and commitment order (JCO).

  6. Following each review, the CIMIS-SME or SSA will make an entry in the “Accuracy Review” section under “Review Comment”, listing the documents reviewed to verify the information (IDRS information, referral, grand jury documentation, SAR, JCO, etc.)

9.9.1.4.9  (03-25-2011)
CIMIS HQ Staff

  1. The CIMIS hotline staff at HQ is available to answer questions in regard to the preparation and input of investigative information into CIMIS and Form 5043. The CIMIS hotline staff, as administrators, may make corrections and solve problems. Some CIMIS input is limited strictly to the CIMIS hotline staff. They are as follows:

    1. The relationship of a closed investigation to a GI or PI.

    2. The establishment or relocation of a group.

    3. The establishment or relocation of posts of duty (POD).

    4. The establishment or realignment of field offices.

    5. The shutdown of a POD.

    6. The transfer of an SCI or SSI from one field office to another. This action must have the approval of both SACs involved in the transfer.

    7. Number dual investigations. The system will display a message to alert the CIMIS operator when initiating an investigation if an open investigation already exists on an individual or entity. The CIMIS hotline staff, in coordination with HQ will assess the need for, and approve if appropriate, the dual investigation.

    8. Reopen closed investigations.

  2. The e-mail address and the fax number for the CI hotline staff are:

    • *CI CIMIS-CIECS

    • (202) 622–7307 (Fax)

9.9.1.4.10  (03-25-2011)
Administrative Support

  1. Compliance Support Assistant (CSA) and Tax Fraud Investigative Assistant (TFIA) assist special agents and SSAs in updating CIMIS on ongoing investigative activity. The accuracy and timeliness of the CIMIS entries remain the responsibility of the SSA and special agent.


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