Investigations
How do investigations start?
The Office of Inspector General (OIG) receives information, that may be
characterized as a complaint, allegation, or referral. National Labor Relations
Board (NLRB) employees are the greatest single source of this information. NLRB
management also may provide information to the OIG.
Is the identity of an individual who provides information protected?
Individuals may choose to remain anonymous or request that their identities be
confidential. OIG maintains confidentiality in accordance with Section 7(b) of
the Inspector General Act of 1978. An individual's identity will not be
disclosed without consent, unless the Inspector General determines that such
disclosure is unavoidable.
Is an investigation always initiated?
The Inspector General reviews the information and makes an initial determination
of what action is required. Many times, the Inspector General will make an
initial inquiry and conclude that investigative action is not warranted. A
primary consideration is whether the information may be referred to NLRB
management or other government agencies for action.
The OIG usually conducts an investigation if the information is not referred for
action, is a potential criminal violation, and/or involves senior management.
Most investigations concern alleged fraudulent activity involving travel, time
and attendance, workers' compensation, or ethics violations. OIG also
investigates non-NLRB employees in matters involving fraud against the
Government; primarily cases of contract fraud.
Will management officials be advised that an employee is a subject of an
investigation?
OIG is not obligated to notify management. If necessary, OIG may advise
supervisors or higher-level managers of the general nature of the investigation
and the name of the subject. OIG may, if appropriate, inform officials of the
results of the investigation.
Is every employee contacted by the OIG a suspect?
No. Most employees are contacted to provide information.
How are subjects notified of their rights?
The OIG uses a form to notify the individual of his or her rights and serve as a
record if any rights are waived. Two forms exist, one for
criminal
and one for
civil
and administrative
investigations.
At the beginning of the interview, the investigator will give the subject the
form, orally review its contents, and ask the subject to sign the form. In a
criminal investigation, the interview will be terminated if the subject refuses
to sign the form. In a civil or administrative case, the investigator will
annotate the refusal on the form.
Do employees have an obligation to cooperate in investigations?
NLRB regulations require employees to cooperate with the OIG and to provide
sworn testimony (29 CFR 100.21). In a criminal investigation, the subject will
be informed of the right to remain silent. However, that silence, together with
other evidence, will not preclude disciplinary action. Subjects in civil and
administrative cases, and employees who are not subjects do not have a right to
remain silent, and may be subject to discipline for refusing to cooperate with
an OIG investigation.
Do employees have a right to an attorney?
During a criminal investigation, an individual may be represented by his or her
private attorney upon request.
Can employees have a union representative?
A bargaining unit employee may request union representation if the individual
reasonably believes that the examination may result in disciplinary action. OIG
will comply with all such requests for union representation, or will terminate
the interview.
When does the Inspector General refer an investigation for prosecution or civil
action?
The Inspector General is required by law to refer cases to the Department of
Justice if reasonable grounds exist to believe that a violation of Federal
criminal law has occurred, and has the discretion to refer a case that merits
civil action. OIG informs management that cases have been referred to the
Department of Justice.
Do OIG investigations have time limits?
Other than applicable statutes of limitation in criminal cases, OIG has no
internal time limits. A complicated investigation may require a substantial
period of time to complete. A simple investigation may be open over a long
period of time, pending availability of resources.
Is a report of investigation issued?
If misconduct is not substantiated, a report of investigation is usually not
prepared. If there is evidence of misconduct, a formal report of investigation
is prepared and sent to the Department of Justice and/or appropriate management
officials.
Does OIG make recommendations to management about appropriate disciplinary
action?
No. OIG conducts the investigation and concludes whether a violation has
occurred but does not make any recommendations. NLRB management reviews the OIG
report of investigation, considers other information, and decides what, if any,
disciplinary action should be taken.
Are the subject and informant told what happens in an investigation?
When appropriate, the OIG may inform the subject or informant of the results of
the investigation. Upon request, OIG will confirm that an investigation has
been closed. Privacy Act requirements generally restrict discussing the results
of an investigation with anyone other than the subject and management officials
with a need to know.
If you have questions about investigations that are not answered here, or you
want to report fraud, waste or abuse, please contact one of the following OIG
staff members.
Office of Inspector General
1099 14th Street, NW,
Room 9820
Washington, DC 20570
Telephone (202) 273-1960
Fax (202) 273-2344
The information presented here is merely advisory and does not
create any rights, privileges or benefits, either substantive or procedural,
enforceable in any administrative, civil or criminal matter; nor does it limit
any rights, privileges, or benefits that the Federal government may assert in
such matters.
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