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Official Seal of the Federal Maritime Comission

Office of the Inspector General

 Inspector General

Adam Trzeciak

Assistant Inspector General

Bridgette Hicks

Contact the IG:

Phone: (202) 523-5863

Hotline: (202) 523-5865

Fax: (202) 566-0043

E-mail: oig@fmc.gov

 

Office of the Inspector General

The FMC's Office of Inspector General (OIG) was established in 1989 as required by the Inspector General Act Amendments of 1988 (5 U.S.C. app. § 2).

Under the Inspector General Act, the OIG is responsible for conducting audits and investigations relating to the programs and operations of the FMC. Audits are conducted for the purpose of finding and preventing fraud, waste and abuse and to promote economy, efficiency and effectiveness within the agency. OIG investigations seek out facts related to allegations of wrongdoing on the part of FMC employees and individuals or entities having contracts with or obtaining benefits from the agency.

Complaints to the OIG from the public or from an FMC employee can be made anonymously. The identity of an FMC employee who reports waste or wrongdoing to the OIG will be protected from disclosure consistent with provisions of the Inspector General Act. In addition, the Inspector General Act and the Whistleblower Protection Act (5 U.S.C. § 2302(b)(8)) prohibit reprisals against employees for complaining to or cooperating with the OIG.

The OIG is required by law to prepare a semiannual report summarizing its audits and investigations during the immediately preceding six-month period. The report is sent to the FMC Chairman, the President of the Senate, the Speaker of the House, and FMC's appropriating and authorizing committees. This dual reporting requirement facilitates and ensures the independence of the Office.

- OIG Investigations

- Reporting Misconduct or Fraud 

- Reporting Waste, Abuse, or Mismanagement

- Confidentiality

- Protection From Retaliation

   - OIG Audits & Evaluations

OIG Investigations

The OIG conducts investigations to establish the facts relating to an allegation of wrongdoing. OIG investigations address administrative, civil and criminal violations of laws and regulations.

An employee who is the subject of an OIG investigation is afforded his or her rights regarding representation and self incrimination. In addition, all OIG investigations are conducted in accordance with ""Quality Standards for Investigations,"" published by the Executive Council on Integrity and Efficiency.

The subject of an OIG investigation can be any agency employee, an FMC contractor, consultant or a person or entity involved in alleged wrongdoing affecting FMC programs and operations.

FMC employees have a duty to cooperate with the OIG and must respond to questions posed by an OIG investigator unless they have been advised that they are the subject of a criminal investigation. Intentional falsification or concealment of a material fact in connection with an OIG investigation could constitute a violation of law and result in disciplinary action or criminal prosecution.

At the conclusion of an OIG investigation, the OIG investigator prepares a report that sets forth the allegations and an objective description of the facts developed during the investigation. The investigative report does not include recommendations. The OIG refers investigative reports that identify criminal activity or fraud to the Department of Justice for possible prosecution or recovery of monetary damages and penalties. If administrative misconduct is found, the OIG forwards the report to the appropriate management official for consideration of disciplinary action. OIG investigative reports are not public documents and are not available on the OIG website.

Reporting Misconduct or Fraud

Federal Maritime Commission (FMC) employees (including supervisors and managers) shall promptly report to the Office of Inspector General (OIG) any:

· conduct on the part of an agency employee that may be a violation of law or regulation; or

· fraudulent or other illicit activity on the part of any individual or entity contracting with or obtaining a  benefit from the agency.

Reporting Waste, Abuse or Mismanagement

The OIG does not exercise program operating responsibility, and day-to-day operational issues arising in FMC programs are normally addressed by agency management without OIG involvement. However, an employee should report evidence of significant waste, abuse or mismanagement to the OIG. An employee should advise his or her supervisor that waste, abuse or mismanagement has been reported to the OIG unless the employee believes that:

· the allegation involves possible wrongdoing on the part of his or her supervisor(s); or

· reporting to a supervisor may result in reprisal or retaliation.

Duty to Cooperate with the OIG

FMC employees have a duty to cooperate in audits and investigations conducted by the OIG and to respond to questions posed by an OIG investigator upon being informed that their responses will not be used to incriminate them in a criminal proceeding.

Confidentiality

When reporting waste, fraud, abuse, mismanagement or misconduct to the OIG, an FMC employee may request that his or her identity remain confidential. The OIG has authority to reveal the identity of a complainant if it is deemed unavoidable in the course of an investigation. However, where an employee has requested confidentiality, the OIG will honor that request to the extent possible.

Protection from Reprisal or Retaliation

Pursuant to the Inspector General Act and the Whistleblower Protection Act, a supervisor may not retaliate against an employee or engage in any act of reprisal based upon the employee complaining to or cooperating with the OIG.

OIG Audit & Evaluations

The Office of Inspector General is required by the Inspector General Act of 1978, as amended, to conduct audits, evaluations and reviews of agency programs and activities. In general, these activities involve an examination and analysis of FMC bureaus or offices, programs or operations. The auditor may analyze, and verify agency records and obtain information by interviews, questionnaires, and physical inspections. Audits are selected based on a number of factors, including (i) statutory requirements, (ii) materiality of the activity, (iii) agency staff comments regarding perceived vulnerabilities or inefficiencies, and (iv) complaints from individuals outside the agency, including Congress, the media and the public.

The audit process involves the following steps: 
 
· Written notification followed by an entrance meeting with pertinent FMC managers before the audit begins;

· Audit fieldwork; 

· An exit meeting with management to discuss the audit results;

· A draft audit report to FMC management for comment;

· A final audit report presenting the results of the audit along with applicable findings and recommendations;

·  A management decision after an evaluation of the audit findings and recommendations; and

· The final action taken to resolve the audit findings and recommendations.

The OIG performs its audits and evaluations in accordance with applicable standards issued by the Comptroller General of the United States.

Final audit reports are generally provided to the Commission and management officials responsible for implementing the audit. Audit reports are public documents and are available upon request.
The OIG also prepares an annual report of the top management challenges facing the agency. This report is included in the agency's annual Performance and Accountability Report to Congress.