Frequently Asked Questions Q. Why does Metro need an OIG? A. All operations, functions, programs, activities, and contracts of Metro are supported by public funds. This means that tax-payers have a stake in ensuring the integrity of all these programs and activities. The OIG is, in a sense, a stand-in for the public, providing independent oversight to ensure that the public dollar is managed efficiently and with integrity. Q. Is the OIG, in fact, independent? A. Yes. The independence of the OIG is a guiding principle of all its operations, and is an integral part of the oversight system, functions, and responsibilities. The OIG has broad authorities to conduct audits and investigations involving Metro and those who conduct business with Metro. The OIG carries out its mission professionally and objectively. It is engaged in fact-finding and it reports the facts as they are. Q. What is the OIG authorized to do? A. Significant areas of authority include the ability to: · Have full, free, and unrestricted access to all Metro records, reports, audits, reviews, plans, documents, files, contracts, memoranda, correspondence, or other data, information, or materials of Metro. · Have direct and prompt access to any Metro Board Member, officer, employee, or contractor as may be necessary to carry out the responsibilities of the OIG. · Make available to law enforcement agencies information and evidence which relate to criminal acts that may be obtained in the course of OIG duties. Q. Do other agencies have OIG’s? A. Yes. The concept of an independent oversight agency originated with the Federal government. Congress enacted the Inspector General Act of 1978 (“IG Act”) to combat fraud, waste, and abuse in the programs and operations of Federal departments and agencies. Congress passed the IG Act after hearing evidence that fraud, waste, and abuse had reached epidemic proportions within the Federal government. There currently are about 60 or more such Offices of Inspector General. In addition to the Federal government, numerous state and local governmental entities and agencies across the nation have established such offices. The guiding principles are similar. However, certain processes and policies are determined by particular laws and rules which govern the entities. Those may differ from jurisdiction to jurisdiction. Q. What types of reporting does the OIG engage in? A. Usually, we produce several types of reports: · An Annual Report which is a public document. It summarizes the highlights of the year’s activities, including significant audits and investigations. · Periodically, as audits are completed, our Office of Audits publishes Audit Reports. These, too, are public documents. · Finally, the Office of Investigations, when appropriate, finalizes an investigation with a report to the Metro Board of Directors and the CEO, with the expectation that the CEO will take whatever action is appropriate. These reports are not public documents. Q. Is the OIG a law-enforcement agency? A. The OIG is usually referred to as a “quasi law-enforcement agency”. We do not have power of arrest. Also, we do not provide “Miranda Warnings” prior to interviews, because such warnings are only required for custodial interrogations, of the kind conducted by police officers, for example. However, our investigative records and documents are protected in the same manner as the records of law-enforcement agencies, in order to protect the integrity of our investigations. In addition, any unlawful or criminal conduct discovered during the course of an investigation is referred to the appropriate law-enforcement entity or prosecutor’s office. In some cases, depending on the particular circumstances, this will be a referral only. In other cases, the referral, when accepted, turns into a joint criminal investigation with one or more agencies. Q. How is the OIG organized and staffed? A. The leadership team includes the Inspector General and two Deputies. The Inspector General reports directly to the Metro Board of Directors. One Deputy leads a team of professional auditors, and the other Deputy heads up a team of experienced investigators. Q. If I submit a complaint to the OIG, will I hear back from the OIG? A. We take all information reported to us very seriously. Each piece of information that comes into the OIG Office of Investigations, regardless of the source, and regardless of whether the complainant’s name is provided, is reviewed. All facts are carefully examined. If warranted, a thorough investigation is conducted which includes interviews, examination and review of pertinent records and documents, and research of applicable laws, policies, or rules of conduct. Because of the nature of our work, we collect, but do not report information, unless the particular circumstances of a case call for a final report of investigation which is provided to the Metro Board of Directors and the CEO and is not a public document. Although we do not report back to the complainant, or the original source of the allegation, this does not mean inaction.  Over the years, Metro management has instituted many changes and implemented corrective actions as a result of our reports to management about problems in operating units, activities, or programs. Q. How do we, as employees, protect ourselves from retaliatory actions by management as a result of reporting complaints to the OIG? A. Metro, like numerous other governmental agencies, has a policy prohibiting retaliatory actions against employees who report concerns about Metro practices. Q. Does the OIG investigate every type of complaint or allegation that is brought to its attention? A. The Office of Investigations of the OIG reviews and evaluates every complaint and allegation, but does not respond with investigative action in reaction to all incoming reports and information. Oftentimes, information is reviewed and then forwarded to the appropriate department, division, or sector within Metro. For example, reports regarding overcrowded conditions on buses, or dirty conditions on Metro property, are promptly referred to Metro for appropriate action. These types of complaints do not fall within the general categories of fraud, waste, and abuse. Also, issues involving unions and union-contracts are referred to Labor Relations, and issues involving time and attendance are routinely referred to the appropriate management personnel. The OIG’s mission is to carefully focus its limited resources on matters involving fraud, waste, and abuse. Therefore, it does not engage in Metro management’s job of managing. Q. Can I get copies of OIG Audit Reports? A. When issued as final, OIG Audit Reports are public documents. Our Audit Reports are routinely distributed to the Metro Board of Directors, Metro CEO, executive officers, and appropriate Metro staff. The public can obtain copies of the Audit Reports from Metro Records Management. Q. What type of audits do the OIG auditors conduct? A. OIG auditors perform a wide variety of financial, operational, program results, and economy and efficiency audits. The OIG has the authority to review all Metro operations, programs, funds, contractors, and consultants. Q. How do OIG auditors handle indications of problem-areas? A. When the auditor identifies indications of fraud, the matter is immediately referred to the Office of Investigations. Any internal-control weaknesses identified are reported to Metro Management and the Board of Directors in an Audit Report.

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