CIG Ethics & Professionalism 2 — Questions and Answers
Question 1: An IG receives a complaint against a close personal friend who is also a senior official in the agency. What is the most appropriate action?
- Investigate the complaint personally to ensure fairness
- Recuse from the matter and refer it to the appropriate authority (Correct answer)
- Dismiss the complaint to protect the relationship
- Informally warn the friend before proceeding
Correct answer: Recuse from the matter and refer it to the appropriate authority
Recusal is required when a personal relationship creates an actual or apparent conflict of interest that could compromise objectivity.
Question 2: Which principle is most directly violated when an IG shares confidential investigative details with agency leadership before a report is finalized?
- Economy
- Independence (Correct answer)
- Accountability
- Efficiency
Correct answer: Independence
Premature disclosure to agency leadership can compromise the IG's independence by allowing undue influence over the investigation's outcome.
Question 3: The CIGIE model legislation requires IGs to report to Congress when their access to records is unreasonably denied. This requirement primarily serves to protect:
- The IG's personal reputation
- Congressional oversight authority (Correct answer)
- The agency's internal processes
- The IG's budget allocation
Correct answer: Congressional oversight authority
Reporting obstruction to Congress preserves Congressional oversight by ensuring that legislative bodies know when executive agencies are impeding IG functions.
Question 4: An IG investigator learns during a non-related audit that an agency employee may have committed fraud. Under professional standards, the investigator should:
- Ignore it since it is outside the audit scope
- Document and refer the information through proper channels (Correct answer)
- Confront the employee directly
- Include findings in the current audit report without further investigation
Correct answer: Document and refer the information through proper channels
Government Auditing Standards require auditors to communicate information about fraud or illegal acts discovered incidentally to those responsible for action.
Question 5: Which behavior best exemplifies the professional standard of due professional care in IG work?
- Completing audits as quickly as possible
- Accepting agency explanations without independent verification
- Applying appropriate skepticism and gathering sufficient evidence (Correct answer)
- Limiting findings to those that can be fully proven in court
Correct answer: Applying appropriate skepticism and gathering sufficient evidence
Due professional care requires exercising professional skepticism and gathering sufficient, appropriate evidence rather than accepting representations at face value.
Question 6: An IG is offered a position with a contractor that the IG's office regularly audits. What is the primary ethical concern?
- Conflict of interest and revolving door issues (Correct answer)
- Loss of technical expertise to the IG office
- Violation of union agreements
- Breach of confidentiality about salary
Correct answer: Conflict of interest and revolving door issues
Post-employment restrictions exist to prevent conflicts of interest where personal financial interests in a prospective employer could influence ongoing official duties.
Question 7: Under the Inspector General Act, which of the following best describes an IG's relationship to the agency head?
- The IG reports directly to and takes direction from the agency head
- The IG operates independently but reports administratively to the agency head (Correct answer)
- The IG is fully separate from the agency and reports only to Congress
- The IG is appointed by and serves at the pleasure of the agency head
Correct answer: The IG operates independently but reports administratively to the agency head
IGs have administrative reporting relationships to agency heads but maintain operational independence to avoid influence over their oversight activities.
CIG Ethics & Professionalism 2
An IG receives a complaint against a close personal friend who is also a senior official in the agency.
What is the most appropriate action?