oversight

Department of Education (ED) Office of Inspector General (OIG) Departmental Directive OIG: 1-102, Cooperation with and Reporting to the Office of Inspector General, 2014

Published by the Department of Education, Office of Inspector General on 2018-05-28.

Below is a raw (and likely hideous) rendition of the original report. (PDF)

Description of document:                 Department of Education (ED) Office of Inspector General
                                         (OIG) Departmental Directive OIG: 1-102, Cooperation
                                         with and Reporting to the Office of Inspector General, 2014

Requested date:                          14-August-2017

Released date:                           14-September-2017

Posted date:                             28-May-2018

Source of document:                      U.S. Department of Education
                                         Office of Inspector General
                                         400 Maryland Avenue, S.W.
                                         Washington, D.C. 20202-1510
                                         Fax: (202) 245-7039




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                                            UNITED STATES DEPARTMENT OF EDUCATION
                                                           OFFICE OF INSPECTOR GENERAL
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. · OIG -· ·
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                                                                      eptember 14, 201 7




           RE: FOIA Request No. 17-02463-F



           This letter is in response to your August 14, 2017, Freedom of Information Act (FOIA) request
           seeking digital copie of specific records on the https://connected.ed.gov/ internal website,
           including the "Cooperation with and Reporting to the Office of Inspector General" PDF
           document.

           The Office of the Inspector G neral (OIG) conducted a search and located nine pages responsive
           to your request. We are releasing those pag sin full. This response is from OIG only. Other
           offices having responsive records will respond to you under separate cover.

           For your information , Congress excluded three discrete categories oflaw enforcement and
           national security records from the requirements of the FO IA. See 5 U . .C. 552(c) (2006 & Supp.
           IV 2010). This response is limited to those records that are subject to the requirements of the
           FOIA. This is a standard notification that is given to all our requesters and hould not be taken as
           an indication that excluded records do, or do not, exist.

           This completes our action on your request. If you are not satisfied with my action on this request,
           you may file an admini trative appeal by writing within 90 days to the:

                                                                  Inspector General
                                                                  U.S. Department of Education
                                                                  400 Maryland Avenue, S.W.
                                                                  ATT : FOIA Appeal
                                                                  Washington D.C. 20202-1500

          A copy of your initial request, a copy of this letter and your statement of circumstances, reasons ,
          and arguments should accompany your appeal letter.

          You also have the right to seek assistance and/or dispute resolution services from the OIG FOIA
          Public Liaison or from the Office of Government Information Services (OGIS). The OIG FOIA
          Public Liaison is responsible, among other duties, for assisting in the resolution of FO IA
          disputes. OGIS , which i outside of the Department of Education, offers mediation services to
          resolve disputes between FOIA requesters and federal agencies as a non-exclusive alternative to
          appeals or litigation.

                                                 400 MARYL.AND AVENUE, S.W., WASHINGTON, DC 20202·1510

                                 Promoting the efficiency, effectiveness, ond integrity of lhe Department's programs and operations.
Page 2 - FOIA Request No. 17-02463-F -F



You may contact the OIG FOIA Public Liaison or OGIS a fol lows:

Mail          Alexis Chancellor                 Office of Government Information Services
              OIG FOIA Public Liaison             ational Archives and Records
              Office of the Inspector General   Admini tration
              U.S. Department of Education      8601 Adelphi Road
              400 Maryland Ave., SW             Room 2510
              Washington, DC 20202- I 500       College Park, MD 20740-6001
E-mail        Alexis .Chancel lor(a),ed.gov     OGIS(a),nara.gov
Phone         202-245-6564                      202-741-5770; toll free at 1-877-684-6448
Fax           202-245-7039                      202-741 -5769

Seeking a sistance from the OIG Public Liaison or OGIS does not affect your right, or the
deadline, to pur ue an appeal.

Sincerely,



~~
Marta Erceg
Counsel to the In pector General

cc: FOIA Service Center
                                              ADMINISTRATIVE
                                           COMMUNICATIONS SYSTEM
                                                U.S. DEPARTMENT OF EDUCATION




                  DEPARTMENTAL DIRECTIVE

OIG: 1-102                                                                                  Page 1 of 9 (1/9/2014)



Distribution:                                       Approved by: _______/s/____________________
All Department of Education                                       Kathleen S. Tighe
 Employees                                                       Inspector General

______________________________________________________________________

  Cooperation with and Reporting to the Office of Inspector
                         General

                                                  Table of Contents

 I.      Purpose ................................................................................................................ 2
 II.     Policy .................................................................................................................... 2
 III.    Authorization......................................................................................................... 2
 IV.     Applicability........................................................................................................... 2
 V.      Definitions ............................................................................................................. 3
 VI.     Responsibilities..................................................................................................... 4
 VII.    Reporting Procedures........................................................................................... 6
 VIII.   Memorandum to Department Employees ............................................................. 9
____________________________________________________________________________________




   For questions about this Directive, please contact the Deputy Assistant Inspector General
   for Investigations at 202-245-6900.

   Supersedes OIG: 1-102, Cooperation with and Reporting to the Office of Inspector General,
   dated 09/16/2008.
OIG: 1-102                                                    Page 2 of 9 (1/9/2014)


I.     Purpose
       This Directive establishes the U.S. Department of Education (ED or Department)
       policy for cooperating with the Office of Inspector General (OIG). It also sets
       forth procedures for reporting instances of suspected wrongdoing to the OIG.

II.    Policy
       It is the policy of ED to cooperate with the work of the OIG and to promptly report
       to the OIG fraud, waste, abuse, or criminal violations in ED’s programs and
       operations. The OIG often needs information from ED offices in order to conduct
       its work effectively. The Inspector General Act of 1978, as amended, 5 U.S.C.
       app. 3 (IG Act), provides that the OIG has access to all records, reports, audits,
       reviews, documents, papers, recommendations, or other material available to the
       Department that relate to the Department’s programs and operations. This
       includes records or other material that are in electronic form. ED employees and
       all others covered by this Directive (see Section IV, below) must respond
       promptly and completely to requests from the OIG for information and records.
       OIG must also receive unrestricted access to personnel whom the OIG
       determines may have pertinent information. Failure to cooperate causes
       unnecessary delay for the OIG in completing its work, and may raise questions
       as to whether full disclosure is being provided. See January 8, 2014,
       Memorandum to Department Employees from the Secretary (included in Section
       VIII).

III.   Authorization
       The OIG was established under the IG Act and by Section 211 of the Department
       of Education Organization Act, Pub. L. No. 96-88 (1979)(codified at 20 U.S.C. §
       3422). The IG Act provides that the OIG is an independent and objective
       organization responsible for conducting and supervising audits and investigations
       relating to ED programs and operations.

       This Directive is issued pursuant to §§ 6 and 7 of the IG Act, Title 20 of the U.S.
       Code, Title 34 of the Code of Federal Regulations, the Federal Acquisition
       Regulation, contract provisions, and 20 U.S.C. § 3474, which provides the
       Secretary the authority to prescribe rules and regulations.

IV.    Applicability
       This Directive applies to all ED employees, boards, and commissions
       (collectively referred to as employees).
OIG: 1-102                                                  Page 3 of 9 (1/9/2014)


V.   Definitions
     A. Administrative Offenses by Employees. Offenses that are administrative
        in nature are generally not investigated by the OIG and typically should be
        handled directly by supervisors. Examples of administrative offenses are:

        1. Chronic or habitual tardiness;

        2. Inappropriate use of government computers (e.g., accessing prohibited
           websites, excessive use of the Internet);

        3. Misuse of sick leave;

        4. Unauthorized use of alcoholic beverages;

        5. Reporting for duty while intoxicated or under the influence of intoxicants;

        6. Insubordination (refusal to obey orders, insolence, and similar behaviors);

        7. Absence without leave (any leave from duty that has not been authorized
           in accordance with the leave instructions and for which pay must be
           denied);

        8. Fighting, threatening, intimidating, or engaging in other disruptive
           behavior;

        9. Employee indebtedness that either reflects adversely on the government
           or affects the employee’s performance on the job; and

       10. Discrimination and workplace harassment prohibited by law or regulations.

     B. Criminal Violations. Criminal violations include, but are not limited to, any
        fraud against ED programs or operations, theft, embezzlement, bribery,
        solicitation of bribery, acceptance or solicitation of gratuities, conflicts of
        interest and other criminal ethics violations, possession or distribution of
        illegal drugs on ED property, student aid fraud (including failure to pay student
        aid refunds), child pornography, or conspiracy to commit any of these
        violations.
OIG: 1-102                                                Page 4 of 9 (1/9/2014)


VI.   Responsibilities
      A. Employees

        1. Criminal Violations. Any employee having information indicating a
           possible criminal violation by an employee or program participant (e.g.,
           contractor, subcontractor, grantee, subgrantee, or consultant) must bring
           this information to the immediate attention of the nearest OIG/Investigation
           Services (IS) office or the OIG Hotline (refer to Section VII for contact
           information).

        2. Fraud, Waste, Abuse. Any employee having information indicating fraud,
           waste, or abuse involving ED programs and operations should bring this
           information to the immediate attention of the nearest OIG/IS office or the
           OIG Hotline. Appropriate information would include that pertaining to
           fraud, waste, or abuse by another employee in the performance of his/her
           official duties or by any person or entity who receives or administers ED
           funds (e.g., contractors, subcontractors, grantees, subgrantees, or
           consultants).

        3. Other Matters. Any employee having information regarding administrative
           offenses or other violations of law, regulation, contract, agreement, or
           procedures on the part of another employee or an ED program participant
           should report this information to a supervisory official. In addition, or
           alternatively, any employee may bring allegations of such matters directly
           to the attention of the OIG if:

              a. The employee fears reprisal as a result of reporting to OIG or
                 participating in whistleblowing activities;

              b. The employee has reported the matter to supervisory officials, but
                 believes that the matter has not been adequately resolved; or

              c. The employee chooses to do so.

        4. All employees are required to:

              a. Promptly and completely comply with all official requests for
                 information, documents, and records (including those in electronic
                 form) from representatives of the Inspector General;

              b. Insert provisions into procurement contracts, service contracts, and
                 grant award documents that give the OIG access to
                 contractor/grantee and subcontractor/subgrantee information,
                 documents, records (including those in electronic form), and
OIG: 1-102                                                 Page 5 of 9 (1/9/2014)


                  personnel and that require contractors/grantees to report fraud,
                  waste, or abuse involving ED programs and operations to the OIG;

              c. Keep in confidence all inquiries made by the OIG when requested
                 to do so except insofar as they may seek counsel concerning
                 personal involvement. Employees are permitted to have an
                 attorney or union representative (if applicable) present when they
                 are being interviewed by the OIG if the employee reasonably
                 believes that the interview may result in disciplinary action against
                 the employee; and

              d. Immediately discuss with the OIG requestor any operational or
                 practical reasons the employee cannot promptly respond to a
                 request from OIG, rather than delay the response. If the employee
                 has legal concerns about the request, the employee should consult
                 with the Office of the General Counsel (OGC) promptly, so that
                 OGC can help resolve the matter expeditiously with the OIG.
                 Refusal to respond, concealment of material facts, or willfully
                 providing inaccurate information may be grounds for disciplinary
                 action. An employee, however, will not be required to respond to
                 questions if he or she invokes the right to remain silent on the
                 ground that responding might tend to incriminate him or her.

     B. ED Supervisors

        1. Supervisors will:

              a. Initially handle any administrative offenses with the assistance of
                 human resources staff of the Office of Management (OM) or
                 Federal Student Aid (FSA), as appropriate;

              b. Ensure that subordinates are aware of ED’s policy as outlined in
                 this Directive;

              c. Comply with all official requests and keep in confidence all inquiries
                 made by the OIG;

              d. At the request of the OIG, provide a "management representation"
                 letter affirming that, to the best of the supervisor’s knowledge,
                 information, and belief, all requested information (including that in
                 electronic form) has in fact been provided during an audit or
                 inspection of a program managed by the supervisor; and

              e. Immediately discuss with the OIG requestor any operational or
                 practical reasons the supervisor cannot promptly respond to a
                 request from OIG, rather than delay the response. If the supervisor
OIG: 1-102                                                     Page 6 of 9 (1/9/2014)


                    has legal concerns about the request, the supervisor should consult
                    with OGC promptly, so that OGC can help resolve the matter
                    expeditiously with the OIG.

          2. Supervisors will not:

                 a. Direct any ED employee to refrain from providing assistance or
                    furnishing information, either upon request or voluntarily, to the
                    OIG; or

                 b. Threaten employees with, or subject them to, any form of reprisal
                    for providing information to OIG, or for reporting or stating an
                    intention to report allegations of wrongdoing to OIG. Section 7(c) of
                    the IG Act and the Whistleblower Protection Act of 1989 prohibit
                    reprisal against an employee who makes a complaint or discloses
                    information to the OIG. However, after consultation with OIG and
                    human resources staff in OM or FSA, as appropriate, supervisors
                    may initiate appropriate disciplinary action against an employee
                    who reports, or who openly states an intention to report, an
                    allegation while knowing it to be false, or with willful disregard for its
                    truth or falsity.

       C. Office of Inspector General. The OIG may investigate allegations within its
          jurisdiction regarding fraud, waste, abuse, and criminal violations related to
          ED programs and operations.

          1. Investigations may result in referrals of cases to the Department of Justice
             for criminal prosecution or civil action, or to ED management officials for
             administrative action.

          2. The OIG shall not, after receipt of a complaint or information from an ED
             employee, disclose the identity of the employee without the consent of the
             employee unless the Inspector General determines that such disclosure is
             unavoidable during the course of an investigation. Any identifying
             information is confidential source material, and OIG employees must not
             disclose such information except to other OIG employees who have a
             need to know in connection with their official duties.

VII.   Reporting Procedures
       A. Reporting Fraud, Waste, Abuse, or Criminal Violations. All employees
          may report allegations to OIG by contacting:
OIG: 1-102                                                   Page 7 of 9 (1/9/2014)


             1. The nearest OIG/IS office telephone number:

                   Office                        Area Code          Telephone

                   Ann Arbor, MI                   (734)            330-2015

                   Atlanta, GA                     (404)            974-9430

                   Boston, MA                      (617)            289-0174

                   Chicago, IL                     (312)            730-1630

                   Dallas, TX                      (214)            661-9530

                   Denver, CO                      (303)            844-0058

                   Kansas City, MO                 (816)            268-0530

                   Long Beach/Los Angeles, CA (562)                 980-4141

                   Nashville, TN                   (615)            886-4872

                   New York, NY                    (646)            428-3861

                   Philadelphia, PA                (215)            656-6900

                   Phoenix, AZ                     (602)            507-6173

                   Pittsburgh, PA                  (412)            395-4547

                   Pembroke Pines, FL              (954)            450-7341

                   San Juan, PR                    (787)            773-2740

                   Washington, DC                  (202)            245-6918

                   See also: http://www2.ed.gov/about/offices/list/oig/oigaddress.html

             2. The OIG’s Hotline: The OIG Hotline may be reached by using the toll-
                free number 1-800-647-8733 (1-800-MISUSED) or local number 202-
                245-6911, Mondays, Wednesdays, and Fridays between the hours of
                9:00 a.m. and 11:00 a.m. and Tuesdays and Thursdays between the
                hours of 1:00 p.m. and 3:00 p.m., Eastern Time. Complainants can
                also submit complaints to the Hotline through the OIG website
                (http://www.ed.gov/about/offices/list/oig/index.html), or by fax machine
                (202-245-7047), 24 hours a day and seven days a week, or by writing
                to the following address:
OIG: 1-102                                                 Page 8 of 9 (1/9/2014)


                  U.S. Department of Education
                  Inspector General Hotline
                  400 Maryland Avenue, SW
                  8th Floor-PCP
                  Washington, D.C. 20202-1500

     B. Reporting Other Matters. The OIG Hotline is maintained to facilitate the
        reporting of allegations involving fraud, waste, abuse, or criminal violations
        relating to ED programs and operations. Except as provided in Section
        VI.A.3, it is not intended to be used for reporting complaints related to
        administrative offenses or workplace disputes or for consumer, personnel, or
        equal employment opportunity issues. ED has a variety of consumer
        information and customer complaint mechanisms separate from the OIG
        Hotline.

     C. Confidentiality and Anonymity. The identity of employees who report
        allegations to OIG will be kept confidential as provided in Section VI.C.
        Anonymous reports are accepted; however, anonymity may limit OIG’s ability
        to act on the report because the OIG will not be able to obtain clarification or
        additional details from the complainant.
OIG: 1-102                                                               Page 9 of 9 (1/9/2014)


VIII. Memorandum to Department Employees
 Memorandum from the Secretary to ED Employees Regarding Cooperation with
                                   OIG

                                              January 8, 2014

MEMORANDUM TO DEPARTMENT EMPLOYEES

The Office of Inspector General (OIG) performs the critical tasks of conducting audits, investigations, and
inspections related to the programs and operations of the U.S. Department of Education. Some of you
may not have worked closely with the OIG, and may not be familiar with the OIG’s processes. I want to
note the important role all employees have in assisting the OIG to carry out audits, investigations, and
inspections. It is imperative that all employees provide their full cooperation with any OIG inquiry.

The OIG often needs information from Department offices in order to conduct its work effectively. The
Inspector General Act provides that the OIG has access to all records, reports, audits, reviews,
documents, papers, recommendations, or other material available to the Department that relate to
programs and operations with respect to which the Inspector General has responsibilities. ED employees
must respond promptly and completely to requests from the OIG for information and records. Failure to
cooperate causes unnecessary delay for the OIG in completing its work, and may raise questions as to
whether full disclosure is being provided. If you are asked to provide information to the OIG, and there
are any operational or practical reasons you cannot promptly respond to the request, you should
immediately discuss these issues with the OIG requester, rather than delay the response. If you have
legal concerns about the request, please consult with the Office of the General Counsel promptly, so that
it can help you resolve the matter expeditiously with the OIG. When the OIG conducts audits within the
Department itself, the OIG will ask the affected program’s manager to provide a “management
representation” letter affirming that to the best of the manager’s knowledge, information, and belief, all
requested information has in fact been provided.

Withholding or providing misleading information to the OIG undermines the Department’s credibility, and
can have serious consequences for an individual employee as provided in the Department’s Table of
Penalties, or under federal criminal statutes. Employees may seek counsel concerning their personal
involvement and are permitted to have an attorney or union representative (if applicable) present when
they are being interviewed by the OIG if the employee reasonably believes that the interview may result in
disciplinary action against the employee. Cooperation with the OIG also includes promptly reporting
allegations of fraud or criminal conduct in Department programs and operations. You can contact the
OIG hotline confidentially by phone at 1-800-MISUSED or 202-245-6911, or by submitting a complaint
through the OIG website http:///www.ed.gov/about/offices/list/oig/index.html, by fax at 202-245-7047, or
                                                                                                  th
by mail at U.S. Department of Education Inspector General Hotline, 400 Maryland Avenue, SW, 8 Floor-
PCP, Washington, D.C. 20202-1500.

The senior leadership team and I are committed to maintaining the Department’s culture of accountability
and transparency. We appreciate the assistance and cooperation of all ED employees in recognizing the
OIG’s statutory responsibility and supporting the OIG’s efforts to identify and prevent misuse of federal
funds. For more information on the OIG’s procedures, please refer to the directive “Cooperation with and
Reporting to the Office of Inspector General,” OIG: 1-102, on connectED.

Thank you for your attention to this important matter.

                                                               /s/
                                                          Arne Duncan