Functional Statements > Office of the Inspector General

## Sections

- Mission and Responsibilities
- Organization and Functions
Immediate Office of the Inspector General
Audit Services
Investigation Services
Technology Services
Legal Services
Management Services

- Order of Succession
- Delegations of Authority

## I. Mission and Responsibilities

The Inspector General Act of 1978, as amended, establishes the Offices of Inspectors General as independent and objective units within government agencies with the mission of promoting economy, efficiency, and effectiveness of their agencies' programs and operations and to prevent and detect fraud and abuse. To achieve their mission, the Inspectors General are required to conduct independent audits, investigations, and other reviews and to recommend actions to address systemic weaknesses and to improve agency programs and operations. Inspectors General also recommend changes needed in relevant Federal laws and regulations. By statute, the Offices of Inspectors General are required to keep both the head of the agency and the Congress fully and currently informed about deficiencies in programs and operations and progress in correcting those deficiencies.

The Inspector General for the U.S. Department of Education (Department) is appointed by the President and confirmed by the United States Senate, selected without regard to political affiliation and based solely on integrity and demonstrated ability in accounting, auditing, financial analysis, law, management analysis, public administration, or investigations. Only the President can remove or transfer the Inspector General, and the President must inform Congress of the reasons before removing or transferring an Inspector General. This safeguard is in place to prevent an Inspector General from being removed for political reasons or simply because they are doing an effective job of identifying fraud, waste, and abuse.

To meet its mission and fulfill its responsibilities, the Office of Inspector General (OIG) performs a number of activities, including the following.

- Conducts independent audits, investigations, inspections and other reviews of Departmental programs, operations, program participants, and funding.
- Identifies and prevents fraud, waste, abuse, and criminal activity involving Department funds, programs, and operations.
- Provides leadership promoting economy, efficiency, and effectiveness in the administration of Department programs and operations. Reviews legislation and regulations relating to Departmental programs and makes recommendations regarding these items' impact on the economy and efficiency of Departmental programs. Recommends policies for other activities that promote economy and efficiency in the Department's programs and operations.   
- Informs the Secretary and the Congress about weaknesses or issues in Department programs and operations needing corrective action and proposes corrective actions to address those problems and weaknesses.

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## II. Organization and Functions

The OIG is under the direction of the Inspector General who is supported by the Deputy Inspector General. To manage and carry out its functions, the OIG utilizes a component structure based on specific areas of focus: (A) the Immediate Office of the Inspector General; (B) Audit Services; (C) Investigation Services; (D) Technology Services; (E) Legal Services; and (F) Management Services. 

Organization Chart:    https://oig.ed.gov/about/oig-components

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### A. Immediate Office of the Inspector General

The Immediate Office of the Inspector General is responsible for coordinating and assuring accomplishment of the overall mission of the OIG. 

#### Key Functions

In addition to providing overall leadership and setting the direction of the OIG, the Immediate Office of the Inspector General also provides Congressional and public liaison, oversight of external summary reporting of activities, such as the OIG Semiannual Report to Congress and annual work and performance plans; ensures the quality and integrity of OIG operations and services; and provides organizational leadership involving diversity, equity, inclusion, and accessibility.

#### Management

The Immediate Office of the Inspector General is composed of the Inspector General, the Deputy Inspector General, their executive staff, and three direct-report units: Congressional and Communications Services, the Quality and Integrity Group, and the Chief Diversity Officer. 

#### Immediate Office of the Inspector General Groups

##### Congressional and Communications Services 

Congressional and Communications Services, referred to as Comms, coordinates communications between the OIG and Congress, the media, and the general public. Comms produces statutory reports such as the Semiannual Report to Congress and OIG's annual performance results reports, manages content on the OIG public-facing website and social media accounts, produces the OIG's Eye on ED podcasts, and other audio-visual content. Comms also provides editing services, graphic design, template maintenance, and oversight of publications policies and procedures for the OIG.

##### Quality and Integrity Group

The Quality and Integrity Group (QIG) is responsible for conducting internal investigations of OIG personnel and for internal quality control reviews and vulnerability assessments of audit, investigative, inspection, and administrative activities. QIG may perform special investigations, reviews, audits, and inspections of a sensitive or complex nature and special projects not within the purview of other OIG entities.

##### Chief Diversity Officer

The Chief Diversity Officer leads the OIG's effort to integrate diversity, equity, inclusion, and accessibility into our business processes; build an inclusive workplace environment; and recruit, develop, and retain a diverse and talented OIG team.

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### B. Audit Services

Audit Services is responsible for all audit, inspection, and other activities to promote economy, efficiency, and effectiveness in the Department's programs and operations. Audit Services also recommends changes to existing and proposed legislation and regulations to clarify requirements, improve program performance and operations, and to prevent and detect fraud and abuse in its programs and operations.

####  Key Functions

- Formulates, recommends, and executes audit and related policies consistent with the overall policy guidance of the Inspector General. Assures that all audits and related reviews of Departmental operations, programs, activities, and functions are conducted in accordance with applicable professional standards, such as those established by the Comptroller General of the United States and the Council of the Inspectors General on Integrity and Efficiency (CIGIE).
- Conducts audits and other reviews of internal Department operations and programs, including statutory work, as well as of external entities that receive Departmental funding. Audit Services issues reports of its findings and recommendations for corrective action to address any deficiencies or other issues identified.
- Provides oversight, guidance, and support relating to the performance of non-Federal audits. This includes performing quality assurance reviews, providing technical assistance, and issuing audit guides to help independent public accountants or audit organizations performing audits of participants in the Department's programs.
- Conducts strategic planning, including development and execution of statutory and other annual reports.
-  Conducts audit resolution activities, as well as policy and quality assurance activities.
- Works with other OIG components, including Investigation Services to ensure that matters it identifies as needing investigative attention are promptly coordinated.

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####  Management

- Audit Services' function is performed under the direction of the Assistant Inspector General for Audit and two Deputy Assistant Inspectors General for Audit, who are responsible for audit-related budget development and execution.
- OIG regional and field offices (including Audit Services offices) can be found via this link:         https://oig.ed.gov/sites/default/files/document/2023-06/oig-regional-offices-june-2023_0.pdf

####  Audit Services Teams

To help facilitate its wide range of work, conduct its significant statutory work, and provide subject matter expertise in critical areas, Audit Services employs teams within five areas to meet its functional requirements: (1) Regional Audit Teams, (2) Advisory and Assistance Teams; (3) Non-Federal Audit Team; (4) Financial Statement Audit Team; and (5) Strategic Planning, Administration, and Resolution Team. 

##### Regional Audit Teams

Audit Services has five regional audit teams that perform evaluations of the efficiency, effectiveness, and integrity of the Department's programs and operations. The work and resources of Regional Audit Teams are aligned to help achieve the OIG's mission, meet the goals of the OIG's 5-year Strategic Plan, and focus attention across areas of heightened risk and challenges to the Department.

##### Advisory and Assistance Teams

Audit Services employs two Advisory and Assistance Teams: Student Financial Assistance Programs Team and State and Local Programs Advisory and Assistance Team. These teams provide the means for OIG to build and maintain additional program or technical expertise and enhance its availability to provide such expertise to its work teams in headquarters and regional offices when planning and executing their assignments.

##### Non-Federal Audits Team

The team is responsible for the statutory guidance, training, and technical assistance of OIG and non-Federal auditors. It is also responsible for exercising oversight of non-Federal audits and liaison with the Department, and participation in an advisory capacity on Departmental teams as appropriate.

##### Non-Federal Audits Team

The team is responsible for the statutory guidance, training, and technical assistance of OIG and non-Federal auditors. It is also responsible for exercising oversight of non-Federal audits and liaison with the Department, and participation in an advisory capacity on Departmental teams as appropriate.

##### Financial Statements Audit Team

The Financial Statement Internal Audit Team provides oversight of the annual statutory audits of internal Departmental financial programs and activities. The team is responsible for liaison with the Department and participation in an advisory capacity on Departmental teams as appropriate.

##### Strategic Planning, Administration, and Resolution Team

This team performs a wide range of services that include overseeing annual work planning activities, developing, and updating policies and procedures and conducting continuous monitoring activities related to audit activities, and monitoring results under Audit Services' performance metrics, and conducting special studies and analysis.

### C. Investigation Services

Investigation Services is responsible for all investigative activities relating to the Department's programs, operations, and funding, and prevention and detection of fraud, abuse, and other criminal activity involving these programs, operations, and funds. Investigation Services also conducts, supervises, and coordinates investigations of suspected criminal activity or serious misconduct by Departmental employees. Investigation Services maintains the OIG Hotline (available 24-7 via the internet and staffed by professional live-voice operators during the week) and accompanying system for the receipt, screening, and disposition of allegations and complaints involving violations of law, rules and regulations, mismanagement, or suspected fraud and waste in the utilization of Departmental funds.

#### Key Functions

- Investigates fraud, abuse, and other criminal and civil violations of law involving Department program participants, grantees, subgrantees, and Department employees, contractors, and subcontractors.
- Investigates cybercrime affecting and involving the use of information technology (IT) systems.
- Operates the OIG Hotline, which provides an opportunity for the public to report suspected fraud, waste, abuse, and other criminal activity involving Department programs, funding, or operations.
- Operates a state-of-the-art computer laboratory for conducting and coordinating digital forensic analysis, data analysis, and processing digital evidence. 
- Coordinates with the U.S. Department of Justice as well as State and local prosecutive entities.
- Conducts outreach with strategic partners and fraud awareness briefings. Collaborates with other OIG components to develop appropriate enforcement actions and to identify programs vulnerable to fraud.
- Recommends corrective actions to address Department programs vulnerable to fraud.
- Develops policies, criteria, and procedures for investigations in conformance with Federal laws, the Federal Rules of Civil Procedure, court decisions, legal opinions, and advice from the Department of Justice.
- Conducts special projects and analyses.

#### Management

- Investigation Services' functions are performed under the management of the Assistant Inspector General for Investigation Services and the Deputy Assistant Inspector General for Investigation Services, who are also responsible for investigations-related budget development and execution.
- OIG regional and field offices (including Investigation Services offices) can be found via this link:         https://oig.ed.gov/sites/default/files/document/2023-06/oig-regional-offices-june-2023_0.pdf

#### Investigation Services Teams

##### Technology Crimes Division (TCD)

TCD is responsible for investigating IT-based crimes and criminal activity against and within the Department, or IT-based criminal activity that threatens the Department's administration of Federal education assistance funds. TCD also performs forensic analysis of digital evidence in support of all OIG components. The TCD team is a mix of technically trained Computer Crime Special Agents and Digital Forensics Computer Specialists.

##### Special Investigations Unit

The Special Investigations Unit is composed of professional criminal investigators who focus on investigatory work specific to special pools of Department funding, programs, and operations, such as pandemic relief aid and disaster recovery aid.

#### Federal Law Enforcement Authority

- OIG criminal investigators operate with full law enforcement authority. This allows them to not only carry firearms, but to execute arrest and search warrants, and take sworn statements. 
- OIG criminal investigators employ the full spectrum of traditional law enforcement techniques, such as conducting surveillance and undercover operations
- OIG criminal investigators work side-by-side with their colleagues in other law enforcement agencies, as well as with Federal, State, and local prosecutors.

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### D. Technology Services

Technology Services component combines audit, investigative support, data analytic services, and IT expertise to address IT management and security issues. Technology Services also provide data and reports to combat fraud, waste, and abuse. 

The team produces IT audit reports, security reviews, and other products to assist the Department in identifying risks and offering recommendations to improve management of its systems. The team also leverages the use of technology to generate products and services that advance and enhance the OIG mission.

Key Functions- Conducts annual Federal Information Security Modernization Act (FISMA) reviews and produces IT security reports to help the Department identify and mitigate risks for its critical business systems. 
- Provides expert data analysis in support of ongoing investigations and audits, develops risk models, and coordinates data mining efforts. 
- Provides IT oversight and operational support to OIG staff, including designing, installing, testing, implementing, and maintaining critical OIG databases and systems, and coordinates the purchase of OIG IT hardware, software, and related items.
Management- Technology Services' function is performed under the direction of the Assistant Inspector General for Technology Services and the Deputy Assistant Inspector General for Technology Services, who are responsible for Technology Services-related budget development and execution.
- Technology Services employs three teams that are crucial in the protection of the Department's programs and IT infrastructure: Data and Analytic Services, Information Technology Audits, and Technology Support Operations.
Technology Services Teams- Data and Analytic Services team supports investigations and audits efforts that involve the department's administration of Federal education assistance funds.
- Information Technology Audit team produces IT audit reports to include the annual Federal Information Security Modernization Act, security reviews, and other products to assist the Department in identifying risks while offering recommendations to improve management of its systems.
- Technology Support Operations maintains all OIG systems, IT infrastructure, and manages OIG Cybersecurity posture. All teams leverage technology to generate products and services that advance and enhance the OIG mission.

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E. Legal Services
Legal Services is responsible for the OIG's legal and litigation services, ethics program, and FOIA and Privacy Act functions.
Key Functions- Manages the OIG's legal, Freedom of Information Act, and ethics functions.
- Provides legal advice and assistance to the Inspector General and OIG staff on a full range of subjects, including Federal education law; administrative, criminal, and civil procedure; and the civil False Claims Act. Represents the OIG in administrative litigation before the Merit Systems Protection Board and the Equal Employment Opportunity Commission.
- Reviews OIG audit and other reports, administrative subpoenas, memoranda, policy, contracts, agreements, and personnel actions issued or entered into by the OIG for legal sufficiency and compliance with Federal statutes and regulatory requirements.
- Liaison to the U.S. Department of Justice and U.S. Attorney's Office in criminal and civil matters.
- Facilitates OIG responses to Freedom of Information Act and Privacy Act requests.
- Administers OIG ethics program including 450 financial disclosures and reviews, and ethics training.
Management- Legal Services' function is performed under the direction of the Assistant Inspector General for Legal Services and Counsel to the Inspector General who is responsible for Legal Services-related budget development and execution.

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F. Management Services
Management Services provides administrative and management support to the Inspector General and all OIG components.
Key Functions - Formulates, executes, and oversees the OIG budget.
- Develops and maintains administrative and management policy and procedures.
- Performs human resource support activities.
- Coordinates facility and property management.
Management- Management Services' function is performed under the direction of the Assistant Inspector General for Management Services and the Deputy Assistant Inspector General for Management Services.
- Housed within Management Services is the OIG Executive Officer whose duties involve such issues as records management policies and implementation, OIG business continuity plans, OIG emergency contact system, and ensuring coordination between Department and OIG policies.
- To carry out its activities, Management Services employs three teams. Each of the teams is led by a director who reports to the Deputy Assistant Inspector General for Management Services.
Management Services TeamsBudget and Procurement Services
This team coordinates the OIG's budget and procurement services, including formulating, executing, and monitoring the OIG budget, performing analyses to assist in allocation and managing funding and staff resources, and overseeing monthly and annual reconciliation of OIG budget allocations, procurement, and expenditures.
Office of Human Resources
This team manages the OIG's human capital including all hiring and recruitment activities, executive resources, drug testing program, and developing and sponsoring OIG-wide leadership development programs.
Administrative Operations
This team oversees all administrative functions including assets, facilities, inventory, records management, badges and credentials, Purchase Card, and mission support operations.

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III. Order of SuccessionVacancy in Office of the Inspector General
In the event that the Inspector General dies, resigns or is otherwise unable to perform the functions and duties of the office and the office is thereby deemed to be vacant, as defined by the Inspector General Act (5 U.S.C. Section 3(h)) and the Federal Vacancies Reform Act of 1998 (Vacancies Act)(5 U.S.C. Section 3345 et seq.), and the President has not designated in writing another individual to act as the Inspector General, the Deputy Inspector General, as the designated first assistant under the Vacancies Act, shall perform the functions and duties of the office in an acting capacity.
Vacancy in Offices of the Inspector General and Deputy Inspector General
If both the offices of the Inspector General and the Deputy Inspector General are vacant, as defined by the Vacancies Act, the individuals listed below the Deputy Inspector General, in the order shown, are authorized to perform the functions and duties of the office of the Inspector General in an acting capacity. The designated official temporarily performing the functions and duties of the office of the Inspector General shall exercise the full authority and power prescribed to the IG by law, as well as those authorities that have been delegated to the Deputy Inspector General by the Inspector General. The designated official shall also perform the duties and exercise the authorities that have been delegated to the Inspector General by the Secretary unless the Secretary has ordered otherwise. While the designated official is temporarily performing the functions and duties of the Inspector General, they shall continue to perform the duties and exercise the authorities and powers of their official position. If required, these original duties, authorities, and powers may be further delegated.
Vacancy in Office of the Inspector General and No Acting Official
If the time period during which the Deputy Inspector General may, under the Vacancies Act, serve in an acting capacity expires, the Deputy Inspector General or anyone acting for the Deputy Inspector General, is authorized to perform the functions and duties of the office of the Inspector General that are delegable. If the time period during which the Deputy Inspector General may serve in an acting capacity has expired and the Deputy Inspector General position becomes vacant, then the individuals listed below the Deputy Inspector General, in the order shown, shall perform the functions and duties of the office of the Deputy Inspector General.
Temporary Absence
In instances where the office of the Inspector General is filled, but the Inspector General is absent, unavailable, otherwise temporarily unable to perform the functions and duties of the position, or there is a disruption in the normal channels of direction and communication, and there is no person officially serving in an acting capacity, and unless the Inspector General designates another individual to perform the functions and duties of the Inspector General, the following officials, in the order shown, are delegated the authority to perform the functions and duties of the office of the Inspector General that are delegable:
- Deputy Inspector General 
- Assistant Inspector General for Audit Services
- Assistant Inspector General for Investigation Services
- Assistant Inspector General for Technology Services 
- Assistant Inspector General for Legal Services/Counsel to the Inspector General
- Assistant Inspector General for Management Services 
- Deputy Assistant Inspectors General for Audit Services
- Deputy Assistant Inspector General for Investigation Services
- Deputy Assistant Inspector General for Technology Services
- Special Agent in Charge Southern Regional Office 
- Regional Inspector General for Audit–Atlanta Regional Office

For a planned period of absence, each individual will designate an appropriate official to act in their position.

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IV. Delegations of Authority
OIG Delegations of Authority may be found at:    https://oig.ed.gov/about/authorities-and-responsibilities
  Last Modified: 06/22/2023