FAQs
- What is the OIG’s mission?
To improve economy, efficiency, and effectiveness and to detect and deter fraud, waste, abuse, and mismanagement at the Library. The OIG accomplishes this mission through a mix of audits and investigations.
- What exactly is fraud, waste, and abuse?
The U.S. Government Accountability Office defines fraud, waste, and abuse as the following:
Fraud involves obtaining something of value through willful misrepresentation.
Waste is the act of using or expending resources carelessly, extravagantly, or to no purpose. Waste can include activities that do not include abuse or a violation of law. Waste relates primarily to mismanagement, inappropriate actions, and inadequate oversight.
Abuse is behavior that is deficient or improper when compared with behavior that a prudent person would consider reasonable and necessary business practice given the facts and circumstances, but excludes fraud and noncompliance with provisions of laws, regulations, contracts, and grant agreements. Abuse also includes misuse of authority or position for personal financial interests or those of an immediate or close family member or business associate.
In addition, mismanagement is a broader category that includes the failure of competence in the handling of planning, organizing, and controlling an enterprise, which creates risk to that entity’s ability to accomplish its mission. Among other things, this can include poor decisions, inept operations, or failure to properly manage resources. Gross mismanagement is management action or inaction that creates a substantial risk of significant adverse impact on an agency’s ability to accomplish its mission. It is more than minor wrongdoing or negligence and does not include management decisions that are merely debatable.
- How do I report fraud, waste, or abuse in LOC programs or operations?
If you have information that you believe concerns waste, fraud, abuse, or mismanagement, in Library of Congress operations or programs, you can provide that information confidentially or anonymously via our Online Hotline Form, here:
Complaints can also be submitted by regular posted mail to
Office of the Inspector General
101 Independence Ave SE
LM-630, Washington D.C. 20540-1060 - What types of allegations should be reported to the OIG Hotline?
LOC employees, contractors, and the public should report to the OIG any concerns about the operation of LOC’s programs or operations and/or suspected wrongdoing, including:
- Theft, loss, damage or destruction of collections materials, government records, government equipment, or other Library property;
- Misuse or abuse of government equipment;
- Misuse or abuse of official position;
- Contract fraud, grant fraud, collusion, violations of procurement integrity rules;
- Bribery, kickbacks, acceptance of gratuities;
- Misuse or embezzlement of funds;
- False statements and false claims;
- Travel fraud;
- Unauthorized disclosure of personally identifiable information or other confidential information;
- Systematic abuse of government benefits or programs such as Workers Compensation;
- Computer crimes including denial of service attacks, criminal network intrusions, and counter intelligence issues;
- Conflicts of interest and other ethics violations;
- Serious environmental health and safety violations;
- Gross mismanagement;
- Serious employee misconduct;
- Time and attendance issues where there is suspected systemic fraud;
- Matters of harassment outside the scope of LCR 11-311, Resolving Complaints of Discrimination at the Library, and LCD 9-120.1, Anti-Harassment and Retaliation Policy; and
- Any other suspected violation of federal laws or regulations.
Certain matters may be better resolved through other channels, instead of the LOC OIG Hotline. The following matters are NOT generally investigated by the LOC OIG:
- Personnel or other matters involving requests for individual relief;
- Employment-related grievances (e.g., individual performance problems) and complaints against management officials related to day-to-day management decisions;
- Thefts of personal property or crimes of violence (refer to Capitol Police);
- Alleged sexual harassment or harassment based on a protected characteristic (refer to EEODP or Office of Congressional Workplace Rights);
- Illness or injuries sustained on the job (refer to Health Services Division);
- Accidents that occur in the workplace (refer to Safety Services Division);
- Threats, threatening behavior, or harassment by patrons to employees (refer to Capitol Police);
- Threats made by or among employees (refer to Employee Relations);
- LOC job opportunities;
- Obtaining LOC records or access to collections;
- Child and spousal support matters;
- Employee benefit and compensation matters; and
- Issues handled by other government agencies such as the Department of Labor, Office of Personnel Management, or Department of Justice (DOJ).
- What information should I include if I file a complaint?
Your complaint should be as specific as possible, and should include the following:
- Relevant name(s) of all parties involved, including witnesses and other contacts.
- Names of service units, directorates, and/or divisions involved.
- Dates and times of the events or issues that you are identifying.
- The location of the issue or the area that it impacts.
- If applicable, name of the contractor involved, contract number, and contract award date.
- Any additional pertinent information you have concerning the issue.
- Any and all efforts to address the allegation, including reporting or discussing with supervisors or other Library officials prior to reporting to the OIG.
DO NOT take any investigative steps (talking to witnesses, etc.) after you refer the matter to the Hotline because you may inadvertently interfere with the investigation and possibly taint evidence. Any such actions should be reported to the OIG.
Due to the nature of investigations, including significant privacy interests, the OIG does not provide status updates on investigations.
- How can the OIG be independent and also be part of the Library?
The OIG focuses on improving the economy, efficiency, and effectiveness of Library programs and operations. Although the Inspector General is appointed by and reports to the Librarian, Congress established authority for the OIG to operate independently from the Library to objectively accomplish our mission and responsibilities. Here are some examples of the OIG’s independence:
- The Inspector General has sole discretion to carry out audits, inspections, and investigations, and the right to do so without interference.
- The OIG has timely access to all Library records and information. The Library does not have an attorney-client or deliberative-process privilege regarding OIG requests for information.
- Library personnel are required to cooperate with the OIG in all audits, inspections, evaluations, and investigations and in certain circumstances could face disciplinary action for not doing so. Employees cannot be retaliated against for providing information to or cooperating with the OIG.
- The OIG responds directly to requests from Congress including testifying at congressional hearings.
- The OIG makes its own budgetary and personnel decisions. The office hires and controls its staff, manages its contract and budgetary resources, and develops and maintains its own policies.
- What are audits, inspections, and evaluations?
Audits, inspections, and evaluations are types of independent reviews conducted by OIG or contractors overseen by OIG. Each review has its own set of professional standards with which the OIG complies. OIG audit staff hold professional certifications as public accountants, internal auditors, information systems auditors, and/or fraud examiners.
- Performance audits are comprehensive reviews of Library programs or operations conducted in accordance with Generally Accepted Government Auditing Standards (the “Yellow Book”) prescribed by the U.S. Comptroller General. Performance audits examine internal controls for program efficiency, analyze root causes for systemic and policy issues, and make recommendations for corrective action.
- Financial audits provide an independent assessment of whether the Library’s reported financial information is presented fairly, in all material respects, in accordance with recognized criteria. Financial auditors are licensed Certified Public Accountants.
- Inspections and evaluations are independent reviews and assessments of Library programs, operations, results, resource management, and policies conducted in accordance with the Council of the Inspectors General on Integrity and Efficiency’s (CIGIE) Quality Standards for Inspection and Evaluation (the “Blue Book”). Inspections are designed to be flexible, provide information to decision-makers in a timely manner, and result in reports that provide meaningful and persuasive information and recommendations for improvements to increase the Library’s efficiency and effectiveness.
- How are audits, inspections, and evaluations selected?
The OIG’s Audit Work Plan identifies and describes upcoming audits, inspections, and evaluations. The Work Plan prioritizes audits, inspections, and evaluations of OIG-identified top management challenges for the Library, statutory requirements, and congressional requests but also considers general observations of the Library’s programs and activities, patterns of systemic issues stemming from investigations, congressional concerns, legislative and regulatory changes, and knowledge of issues that arise in other federal agencies and in the private sector. The OIG also considers perceived risk to programs and operations and materiality to current Library strategic goals and objectives. The Work Plan includes input from Library management and is a living document that allows for unanticipated audit, inspection, and evaluation needs that arise after publication.
- What is an investigation?
An investigation is a systematic process of searching for, gathering, analyzing, and evaluating information or evidence to uncover facts. OIG special agents conduct criminal, civil, and administrative investigations according to DOJ requirements, CIGIE standards, and OIG investigative procedures. Investigations include intensive document review, subject and witness interviews including ensuring interviewees have been advised of appropriate rights and warnings, and extensive case documentation. OIG special agents have statutory law enforcement authority and meet all statutory, professional, and training requirements and standards.
- How do investigations begin?
Investigations are conducted by OIG special agents in response to alleged violations of law, regulation, or policy affecting Library programs or operations. Allegations are received from various sources including employees, contractors, law enforcement agencies, Congress, and the public. Some investigations are initiated by the OIG. Every effort is made to review complaints as quickly and efficiently as possible. Various factors may, however, affect the progress of an investigation including the demands of higher priority cases, the availability of involved parties, and limited resources. If an allegation lacks sufficient detail for special agents to determine whether a violation has occurred, a preliminary inquiry is initiated to develop sufficient facts to determine how to proceed.
- What is the investigative process?
The OIG conducts investigations according to investigative procedures established by the professional community, which include reviews of relevant files and documentation; interviews with management; written statements from complainants, witnesses, technical experts, and subjects of inquiries; and documentation of case activity. OIG special agents protect the rights of all persons under investigation. If an investigation discloses evidence of criminal misconduct, the OIG refers the case to DOJ. If DOJ declines criminal prosecution, the matter may be referred to state or local authorities for criminal prosecution, to the DOJ’s Civil Division, or to Library officials for administrative action.
Evidence of serious violations of Library regulations are referred to the Library’s Employee Relations Division. If an investigation uncovers no evidence of wrongdoing, and the subject of the investigation is a Library employee and aware of the investigation, the OIG will notify the employee in writing that the case has been closed with no evidence of wrongdoing.
- What are possible outcomes of OIG investigations?
Depending on the type of investigation, various outcomes are possible:
Criminal Prosecution: If an investigation uncovers evidence of criminal activity, the OIG refers the case to DOJ. If DOJ declines criminal prosecution, the matter may be referred to state or local authorities, the DOJ’s Civil Division, or Library officials for administrative action. Criminal referrals could lead to criminal charges, arrests, and legal proceedings.
Administrative Actions: Evidence of serious violations of Library regulations or policy are referred to Library management, which may use this information as a basis for administrative action against an employee. If an investigation uncovers no evidence of wrongdoing, and the subject of the investigation is a Library employee and aware of the investigation, the OIG will notify the employee in writing that the case has been closed with no evidence of wrongdoing.
Civil or Administrative Penalties: In cases where there are violations of civil or administrative laws, the OIG may provide relevant information to support LOC or DOJ’s assessment of fines, penalties, or sanctions against individuals or entities involved.
Corrective Actions and Recommendations: When in the course of an investigation the OIG discovers issues that don’t warrant the depth of an audit but merit management attention, the OIG issues a Management Impact Report (MIR) to Library management. An MIR typically includes a description of the issue(s) identified and recommendations for corrective action. These recommendations may include changes to LOC policies, procedures, or internal controls to prevent similar problems in the future.
Recovery of Funds: When an OIG investigation reveals instances of financial misconduct, including misappropriation or improper spending of funds, the OIG may take various actions to assist in the recovery of those funds.
Audits, Inspections, or Evaluations: OIG investigations may lead to ongoing audits, inspections, or evaluations to ensure that corrective actions are implemented and that the organization remains in compliance with relevant laws and regulations.
Referrals to Other Agencies: In some cases, the OIG may refer aspects of the investigation to other government agencies or regulatory bodies with jurisdiction over specific issues.
Fraud Alerts: When the OIG obtains information related to widespread or potential fraud, schemes, or scams, the OIG posts a fraud alert on its webpage to warn LOC employees and the public.
- What is the difference between an investigation and an audit, inspection, or evaluation?
Generally, an investigation is conducted to resolve specific allegations, complaints, or information concerning possible violations of law, regulation, or policy. In contrast, an audit, inspection, or evaluation is conducted to examine organizational program performance or financial management matters, typically of a systemic nature. Occasionally, external parties label OIG activities as investigations when, in fact, they are audits, inspections, or evaluations.
- Can audits, inspections, or evaluations turn into investigations, or vice versa?
When auditors become aware of potential criminal or serious administrative violations while conducting an audit, inspection, or evaluation, they may refer this information to the OIG’s Investigations Division for possible investigation.
Conversely, when investigators identify weaknesses in procedures or controls during the course of an investigation, they may refer such information to the OIG’s Audits Division for a possible audit, inspection, or evaluation.
- What is an employee’s obligation during an OIG investigation, audit, inspection, or evaluation?
The audit process is like a dialog in which information is shared, analyzed, and discussed. In order to complete audits efficiently and effectively, the OIG needs cooperation from Library staff. LCR 9-160, Rights and Responsibilities of Employees to the Inspector General, lays out employee obligations to the OIG (please refer to the LCR for additional details):
- All Library officers, managers, and employees are required to cooperate with OIG audits and investigations and furnish all requested records and information relating to Library programs and operations.
- Library officers, managers, and employees are prohibited from impeding the OIG in their audit and investigative work.
- Service unit heads, directors, and division and office chiefs must
- administer their programs and activities to avoid waste, fraud, abuse, and mismanagement; and
- implement OIG recommendations.
- All Library officers, managers, and employees shall report to the OIG, as soon as possible, all suspected illegal activities and suspected incidents of waste, fraud, abuse, or mismanagement relating to Library programs or operations.
- No one shall engage in any independent investigation relating to a matter covered by the OIG’s scope of authority or responsibility.
- Will my identity remain confidential if I cooperate with an OIG investigation?
Pursuant to the Library of Congress Inspector General Act of 2005, as amended, the LOC IG protects the confidentiality of a person who makes an allegation or provides information regarding wrongdoing unless the Inspector General determines such disclosure is unavoidable during the course of the investigation or disclosure is otherwise required by law.
Complaints also may be submitted anonymously via the OIG Online Hotline Form.