Oversight of Inspectors General: The CIGIE Integrity Committee

Oversight of Inspectors General: The CIGIE Integrity Committee

May 24, 2023
Oversight of Inspectors General: The CIGIE Integrity
Committee
The role of inspectors general (IGs) in the federal
staff to the IC if there is no other executive agency with
government makes it particularly important that they
jurisdiction and an internal investigation by the OIG would
operate with integrity and maintain the confidence of
not be feasible or might appear to not be objective.
government stakeholders and the public. While misconduct
by government employees is always a serious issue, the
Additionally, the IC maintains an email to which anyone
negative impact of such behavior by IGs may be amplified
may submit complains regarding IGs (Integrity-
by the fact that they are tasked with independent
Complaint@cigie.gov).
investigations within agencies and are expected to report on
matters including employee misconduct.
Process
From the time the IC receives a complaint, it may take up to
One of the key ways in which the IG community, at the
217 days (without time extensions) for the President or
direction of Congress, addresses allegations of misconduct
relevant agency head to receive the IC’s report and
by IGs is through the Integrity Committee (IC), a
recommendations (Figure 1).
component of the Council of the Inspectors General for
Integrity and Efficiency (CIGIE) authorized in the IG Act
When the IC receives a complaint regarding an IG or other
(5 U.S.C. §424(d)).
covered staffer, representatives of DOJ, the Office of
Special Counsel (OSC), and the IC review the complaint,
In recent years, some Members have expressed concerns
and they have seven days to determine where the complaint
about the timeliness and transparency of IC investigations,
should be referred. The complaint may be referred to more
including an ongoing investigation of the Department of
than one agency (5 U.S.C. §424(d)(5)(A)).
Homeland Security IG. In response, Congress included a
provision in the James M. Inhofe National Defense
Figure 1. Integrity Committee Process
Authorization Act for FY2003 (NDAA) that expands
reporting to Congress on IC activities and clarifies
Congress’s entitlement to information on IC reviews (P.L.
117-263, §§5231-5237).
This In Focus provides a brief introduction to the IC and its
processes and identifies key issues for Congress.
Organization
The IC is currently made up of six members, including:
• the CIGIE member representing the Federal Bureau of
Investigation,
• four IGs appointed by the CIGIE chairperson, and
• the director of the Office of Government Ethics (or his
or her designee).
The IC selects a chair from among the four IG members,
who serves a term of two years. The IC’s investigative
work is performed by staff detailees from Offices of
Inspector General (OIGs), and legal advice is provided by
the Public Integrity Section of the Department of Justice
(DOJ).
Authority
Like the IGs themselves, the IC’s primary authorities focus
on receiving complaints, conducting investigations, and
Source: CRS.
making recommendations. OIGs are required to refer
Upon referral to the IC, the committee has 30 days to
allegations of wrongdoing against the IG and other covered
decide whether to direct the IC chairperson to investigate
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Oversight of Inspectors General: The CIGIE Integrity Committee
the complaint. That period may be extended a further 30
received and referred, including specific information about
days with written notice to the appropriate congressional
those allegations closed without referral (5 U.S.C.
committees (5 U.S.C. §424(d)(5)(B)).
§424(d)(9)). In previous years, the IC was required to issue
annual reports that included summary data on IC activities
If a complaint is referred to the IC chairperson for
but carried less substantive reporting on individual
investigation, he or she is required to “cause a thorough and
investigations.
timely investigation of each allegation.” To accomplish
this, the chairperson is required to follow both CIGIE’s
Consequences
Quality Standards for Investigations and the IC’s own
The IC is an investigative body that makes
policies and procedures (5 U.S.C. §424(d)(7)).
recommendations, including recommendations for
discipline or corrective action for IGs and covered staff.
The chairperson conducts investigations with resources and
The IC does not have authority to discipline or take other
assistance provided by other OIGs, including staff on detail
action against IGs. Nonetheless, IC findings may have a
(5 U.S.C. §424(d)(6)(B)). For all OIGs with over 50
significant impact on those found to have engaged in
employees, investigations are to be conducted largely by
misconduct. For instance, in summer 2021, Laura
OIGs of similar size (5 U.S.C. §424(d)(7)(B)(V)).
Wertheimer, then IG of the Federal Housing Financing
Authority, resigned following an IC report that
The chairperson has 150 days to complete the investigation.
substantiated allegations of mistreatment of IG staff by
If an investigation cannot be completed in that time frame,
senior leaders, including Wertheimer.
then the chairperson must notify the appropriate
congressional committees and brief those committees every
Issues for Congress
30 days on the status of the investigation (5 U.S.C.
§424(d)(7)(C)).
Effectiveness of Recent Reforms
The recent changes to IC transparency and reporting
For each investigation, the IC chairperson must submit a
requirements may keep Congress better informed about the
findings report to the IC and the CIGIE chairperson.
progress of investigations and encourage swifter resolution
Congress is also entitled to access these reports via the
of complaints. Continuing attention from Congress might
appropriate committees. Individual Members may also
help ensure that the recent changes have their desired effect.
receive these reports unless disclosure is prohibited by
another provision of law (5 U.S.C. §424(d)(7)(E)).
Response to IC Reports and IG Removal
Congress has also been concerned about the independence
After the IC receives an investigation report, it has 30 days
of the IG community. Historically, this concern is at its
to review that report and forward it, with recommendations,
strongest when the President or an agency head removes an
to the CIGIE chair, the appointing authority for the IG
IG. IC investigations and recommendations have the
under investigation, the appropriate congressional
potential to help all parties manage the tension between IG
committees, and, upon request, to individual Members (5
independence and accountability.
U.S.C. §424(d)(8)).
For example, in early May 2023, the Commodity Futures
Additional Reporting on Allegations Made by
Trading Commission (CFTC) notified Congress that it
Members of Congress
would be placing its longtime IG, A. Roy Lavik, on non-
duty status following an IC report that found Lavik engaged
Congress is a regular consumer of OIG work products, and its
in “substantial misconduct,” including the wrongful
work puts both Members and staff in regular contact with OIGs
disclosure of whistleblower identities. While the suspension
and the subjects of their audits and investigations.
of Lavik may be of concern to Congress for several reasons,
Given Congress’s investment in and frequent contact with the IG
delivery of a completed IC report on claims of serious
community, some complaints to the IC may arise from Congress.
misconduct may help Congress and other stakeholders
Members may wish to ensure that their complaints receive
assess the CFTC’s response and whether it undermines IG
appropriate review whether or not they lead to investigations.
independence.
Under a provision in the FY2023 NDAA, when the IC closes a
complaint from a Member without referral for investigation, the
Congress’s Role in IG Oversight
IC must inform Congress within 60 days and describe how the
In addition to the work of the IC, there is also a direct role
complaint was evaluated.
for Congress to play in oversight of the IG community.
Evidence and other information generated by IC
This provision has the potential to facilitate Congress’s own
investigations may help Congress identify matters ripe for
oversight role by providing greater insight into the operations of
committee oversight and allow for more efficient use of
the IC and ensuring that individual allegations have been handled
resources.
to Congress’s expectations.
Semiannual Reports
Ben Wilhelm, Analyst in Government Organization and
Beginning in 2023, CIGIE is required to submit semiannual
Management
reports to Congress on the activities of the IC, including a
variety of quantitative data and analysis on allegations
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Oversight of Inspectors General: The CIGIE Integrity Committee

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