PCIE Policy and Procedures

		Policy and Procedures for Handling Allegations

During the period of our review, the PCIE had not formally adopted written policy or procedures for handling allegations against IGs and Deputy IGs. The informal procedures consisted of (1) the October 1, 1982, draft procedures, entitled “President’s Council on Integrity and Efficiency Procedures for Investigating Allegations Concerning Certain Senior Administration Officials” and (2) a description, circulated to the OIG community in early 1994, on how PCIE processed allegations. OIG Policy and Procedures

Fourteen of the 28 OIGs in our review had written procedures for handling allegations of wrongdoing by OIG employees. Our review of the OIGs’ cases showed that their investigations generally met their policies as embodied in the PCIE standards for independence and due professional care, including the aspects of objectivity and thoroughness. PCIE/OIG Allegations Received and Closed in 1990-95 Period

		PCIE Allegations Received/Closed

We assessed the 72 allegations that the PCIE had received and closed during the 1990-95 period: 69 against an IG or Deputy IG and 3 against an Assistant IG. None of the investigations substantiated the referred allegation, and none resulted in an administrative action. Of the 35 allegations, 21 resulted in investigations. Two of the 21 investigations resulted in letters of reprimand to the individuals against whom the allegations were made. Most of these problems have also been addressed with the March 1996 Executive Order. Further, the PCIE had no clear authority to review allegations—criminal and noncriminal—against IGs and make appropriate investigative referrals. . . certain staff members of the OIGs. However, several PCIE members believed that allegations against OIG senior staff—the Deputy IG and/or Assistant IGs—should automatically be referred to PCIE for review to preserve the appearance to outside interests that any resultant investigation was independent. Entities Having Presidentially Appointed Inspectors General, as of December 31, 1995

Executive Order No.
Why GAO Did This Study

Pursuant to a congressional request, GAO reviewed the handling of allegations of misconduct made against senior officials between 1990 and 1995 at the 28 Offices of Inspector General (OIG), focusing on: (1) whether the President's Council on Integrity and Efficiency (PCIE) and OIG had policies and procedures for handling such allegations; (2) whether PCIE and OIG followed these policies and procedures in conducting investigations; and (3) the effect of Executive Order 12993 on the handling of such allegations.

What GAO Found

GAO found that: (1) although PCIE had not formally adopted written policy or procedures for handling allegations against inspectors general (IG) and deputy IG, it did adhere to 1982 draft procedures and a 1994 description on how it processed allegations; (2) half of the 28 OIG reviewed had written procedures for handling allegations of wrongdoing by OIG employees, 12 had informal procedures, and 2 were developing written procedures; (3) the 72 allegations that PCIE received and closed during the review period resulted in 14 investigations, none of which resulted in criminal charges or administrative action; (4) 21 of the 35 allegations that OIG received and closed against IG, deputy IG, or assistant IG resulted in investigations, and 2 of these resulted in letters of reprimand; (5) most of the investigations were conducted in a manner that met PCIE standards for independence, due professional care, objectivity, and thoroughness, although before 1994, PCIE encountered problems that affected the timeliness of its work; (6) a 1996 executive order formally authorized PCIE to review allegations, and the Federal Bureau of Investigation to investigate noncriminal allegations, against IG and certain staff members; and (7) while some IG believe that the order allows them to decide what entity should investigate allegations against senior OIG officials, several PCIE members believed that allegations concerning deputy or assistant IG should automatically be referred to PCIE.