Transcript The Role of Ethics in an Inspector General Investigation

The Role of Ethics in an
Inspector General Investigation
The 16th National Government Ethics Conference
September 17, 2008
Orlando, Florida
Presenters:
Thomas Lehrich, DOT OIG
Alan Larsen, NRO OIG
Roadmap
 Introduction
 Goal of Program
 Help develop better IG referral
practices for ethics officials
 IG Authority and Organization
 Background and Authority
 Audits and Investigations




1
When is it time for a referral?
Hot Topic Discussion
Discussion Questions
Questions and Comments
Panel Speakers
Thomas Lehrich
Chief Counsel
Department of Transportation OIG
Alan Larsen
General Counsel
National Reconnaissance Office OIG
2
Inspectors General
The Inspectors General were created by Congress
through the Inspector General Act of 1978*
 Conduct audits and investigations of the Department’s
programs and operations
 Promote economy, effectiveness, and efficiency within the
Department
 Prevent and detect fraud, waste, and abuse in the
Department’s programs
 Review existing and proposed laws or regulations affecting
the Department and make recommendations
 Keep the Secretary and Congress fully informed about
problems in departmental programs and operations
*Some IGs are created by other statues or agency regulations
3
OIG Functions
 Audit & Evaluations
Examine Department
programs to determine
effectiveness and
efficiency.
4
 Investigations
Investigate allegations
of misconduct and
violations of Federal
law by Agency
employees, contractors,
regulated entities, and
others
What the Law Requires
 IG Act (5 USC App. 3):
 Report criminal violations to AG
 Investigation of ethics violations
 E.O. 12333 (intelligence community)
Report criminal violations to AG
 Ethics in Govt Act:
 DAEO responsible for all aspects of agency ethics,
including OIG program
 Encourages OIG/DAEO coordination
5
Functional Continuum
for an Ethics Matter
Education
Ethics
Officer
6
Advice
Investigation
Violation
OIG
Hot Topic— Referrals
 Many different ways
by different Agencies
 Different Practices
 Different Viewpoints
7
Sources of OIG Ethics Investigations
 Hotline
 OIG Audits and Investigations
 Other Law Enforcement Officials
 Congressional Requests
 Agency Referrals
 Senior Management Requests
8
What is Most Helpful to OIG
Before a Referral is Made
Witnesses
Names and details of potential witnesses
Recusal documents (if applicable)
Counseling information
OGE 450 forms
Ethics training records
Background
Is anything else going on?
9
We Want it Fresh
 What motivates extensive
groundwork by ethics
officials?
 Disprove infraction
 Dispose of matter
 Pressure to give
answer or solution to
management
 Activities could be
compromising Agency
mission
 Sense of urgency
10
 Investigations are more
successful if we get it first
 Investigative Resources
 Benefit when subject not
aware of investigation
 Opportunity for interviews
without subject
preparation
 Nature of the violation
may not be known
(Criminal, administrative,
etc.)
OIG’s Most Common Question:
What was documented?
 Q: What is required to be documented when rendering
ethics advice?
 A: The rule is as follows:
Records on advice rendered are required to be kept
when appropriate
 5 CFR 2638.203(a)(8)
 What does that mean to you?
Case Examples
11
Best Practices: Counseling
 Document your counseling
 Consider position and seniority of employee
 Employee should seek ethics counseling when
impartiality could be reasonably questioned
 Set aside sufficient time and resources to counsel
employees
 Senior management must be supportive of and
encourage counseling
12
Best Practices: Ethics Survey
 Joint ethics counsel/OIG undertaking
 Provides baseline of employee knowledge and
observations
 Allows discovery of reasons for non-reporting
and inaction
 Senior management response
13
Ethics Training
 One factor we frequently look at in evaluating ethical
dilemmas is whether or not the employee received
appropriate training.
 Proper training is key to avoiding potential problems.
 Joint Ethics Office/OIG Training
 Limitations of the Attorney-Client privilege
 Case examples
14
Discussion Questions
1. Is there a duty to report ethics violations
to the IG?
2. How do we handle potential ethics
infractions when an employee has left
the Agency?
15
Discussion Questions
3. How can OIG and Ethics Officials secure
an effective working relationship
4. Not all ethical lapses need to be referred
to the IG—How do you know when to
refer and when not to refer?
16
Questions and Comments
Thomas Lehrich
Chief Counsel, DOT OIG
[email protected]
(202) 366-2923
Alan Larsen
General Counsel, NRO OIG
[email protected]
(703) 808-0275
17