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The Role of Ethics in an Inspector General Investigation

The Role of Ethics in an Inspector General Investigation. The 16 th National Government Ethics Conference September 17, 2008 Orlando, Florida. Presenters: Thomas Lehrich, DOT OIG Alan Larsen, NRO OIG. Roadmap. Introduction Goal of Program

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The Role of Ethics in an Inspector General Investigation

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  1. 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

  2. Roadmap • Introduction • Goal of Program • Help develop better IG referral practices for ethics officials • IG Authority and Organization • Background and Authority • Audits and Investigations • When is it time for a referral? • Hot Topic Discussion • Discussion Questions • Questions and Comments 1

  3. Panel Speakers Thomas Lehrich Chief Counsel Department of Transportation OIG Alan Larsen General Counsel National Reconnaissance Office OIG 2

  4. 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

  5. Audit & Evaluations Examine Department programs to determine effectiveness and efficiency. Investigations Investigate allegations of misconduct and violations of Federal law by Agency employees, contractors, regulated entities, and others OIG Functions 4

  6. 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

  7. Functional Continuum for an Ethics Matter Education Advice Investigation Violation Ethics Officer OIG 6

  8. Hot Topic— Referrals • Many different ways by different Agencies • Different Practices • Different Viewpoints 7

  9. Sources of OIG Ethics Investigations • Hotline • OIG Audits and Investigations • Other Law Enforcement Officials • Congressional Requests • Agency Referrals • Senior Management Requests 8

  10. What is Most Helpful to OIGBefore 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

  11. 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 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.) We Want it Fresh 10

  12. 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

  13. 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

  14. 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

  15. 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

  16. Discussion Questions • Is there a duty to report ethics violations to the IG? • How do we handle potential ethics infractions when an employee has left the Agency? 15

  17. Discussion Questions • How can OIG and Ethics Officials secure an effective working relationship • Not all ethical lapses need to be referred to the IG—How do you know when to refer and when not to refer? 16

  18. Questions and Comments Thomas Lehrich Chief Counsel, DOT OIG Thomas.K.Lehrich@oig.dot.gov (202) 366-2923 Alan Larsen General Counsel, NRO OIG alan.larsen@nro.mil (703) 808-0275 17

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