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U.S. Department of Energy						ORDER
	  Washington, D.C.					DOE O 221.1A

									Approved: 4-19-08

SUBJECT: REPORTING FRAUD, WASTE AND ABUSE TO THE OFFICE OF INSPECTOR
	   GENERAL
	   
1.	PURPOSE. To establish requirements and responsibilities for 
	reporting fraud, waste, abuse, misuse, corruption, criminal 
	acts, or mismanagement to the Department of Energy (DOE), 
	Office of Inspector General (OIG).
	
2.	CANCELLATION. DOE O 221.1, Reporting Fraud, Waste and Abuse 
	to the Office of Inspector General, dated 3-22-01. 
	Cancellation of a directive does not, by itself, modify 
	or otherwise affect any contractual obligation to comply 
	with the directive. Contractor requirement documents 
	(CRDs) that have been incorporated into or attached to 
	a contract remain in effect until the contract is modified 
	to either eliminate requirements that are no longer applicable 
	or substitute a new set of requirements.
	
3.	APPLICABILITY.

	a.	DOE Elements. This Order applies to all Departmental 
		elements including those created after the Order is issued. 
		(Go to http://www.directives.doe.gov/pdfs/reftools/org-list.pdf
		for the current listing of Departmental elements).
		
		For purposes of this Order the National Nuclear
		Security Administration (NNSA), a separately organized
		Agency within the Department reporting to the
		Secretary, is included as a DOE element.
		
		The Administrator of the NNSA will assure that NNSA
		employees and contractors comply with their respective
		responsibilities under this Order.
		
	b.	DOE Contractors. The CRD (Attachment 1) sets forth 
		contractor requirements. The CRD must be included 
		in all major facilities management contracts. The 
		requirements contained in the CRD may be included 
		in other contracts at DOE sites when deemed appropriate 
		and negotiated into individual contracts.
		
	c.	Exclusions. None.

4.	REQUIREMENTS.

	a.	The OIG will seek to uncover fraud, waste, abuse,
		misuse, corruption, criminal acts, or mismanagement
		relating to DOE programs, operations, facilities,
		contracts, and information technology systems.
		
	b.	When appropriate, the OIG will refer
		allegations/information to appropriate law enforcement
		entities, prosecutors, other DOE components, or other
		agencies.
		
	c.	Employees who have information about actual or
		suspected violations of law, regulations, or policy,
		including fraud, waste, abuse, misuse, corruption,
		criminal acts, or mismanagement, relating to DOE
		programs, operations, facilities, contracts, or
		information technology systems should notify an
		appropriate authority (e.g. OIG, other law enforcement,
		supervisor, employee concerns office, security
		officials). Examples of violations to be reported
		include, but are not limited to, allegations of false
		statements; false claims; bribery; kickbacks; fraud;
		DOE environmental, safety, and health violations;
		theft; computer crimes; contractor mischarging;
		conflicts of interest; and conspiracy to commit any of
		these acts. An employee may always report incidents or
		information directly to the OIG.
		
	d.	The above reporting requirement does not apply to
		information about espionage. Information regarding
		espionage, including approaches made by representatives
		of other governments for the commission of espionage or
		the collection of information, should be reported to
		the Deputy Director of Counterintelligence.
		
	e.	DOE managers must ensure that reprisals are not taken
		against employees who report fraud, waste, abuse,
		misuse, corruption, criminal acts, or mismanagement.
		
5.	RESPONSIBILITIES.

	a.	Office of Inspector General.

		(1)	Notifies all DOE employees at least annually of
			their duty to report allegations of fraud, waste,
			abuse, misuse, corruption, criminal acts, or
			mismanagement relating to DOE programs,
			operations, facilities, contracts, or information
			technology systems.
			
		(2)	Operates and publicizes a hotline to permit
			individuals/entities to report allegations of
			fraud, waste, abuse, misuse, corruption, criminal
			acts, or mismanagement relating to DOE programs,
			operations, facilities, contracts, or information
			technology systems.
			
		(3)	Processes allegations in accordance with OIG
			policies and procedures.
			
		(4)	Disseminates to the heads of Departmental elements
			procedures for reporting allegations of fraud,
			waste, misuse, abuse, corruption, criminal acts or
			mismanagement relating to programs, operations,
			facilities, contracts, or information technology
			systems.
			
		(5)	Designates an OIG representative for each DOE
			facility or site.
			
		(6)	Notifies the Office of Health, Safety and Security
			or for NNSA the Office of the Associate
			Administrator for Defense Nuclear Security, as
			appropriate, of allegations involving the security
			of special nuclear material and classified systems
			or information.
			
		(7)	Notifies the Deputy Administrator for Naval
			Reactors, as appropriate, of allegations involving
			the security of special nuclear material or
			classified or sensitive information under that
			office’s responsibility.
			
		(8)	Notifies the Department’s Chief Information
			Officer and NNSA’s Chief Information Officer, as
			appropriate, of allegations relating to the
			security of classified or unclassified computer
			systems and information.
			
		(9)	Notifies the Deputy Director of
			Counterintelligence of allegations regarding
			espionage and approaches made by representatives
			of other governments for the commission of
			espionage or the collection of information.
			
		(10) Notifies the DOE Designated Agency Ethics
			Official, as appropriate, of alleged violations of
			Standards of Conduct.
			
		(11) Notifies the Office of Health, Safety and Security
			or the NNSA senior advisor for environment, safety
			and health, as appropriate, of allegations
			concerning environmental, safety, or health
			operational hazards.
			
		(12) Notifies appropriate officials of Departmental
			elements of allegations involving matters under
			their purview, unless the OIG determines that such
			notification might jeopardize the successful
			progress or completion of an inquiry.
			
	b.	Heads of Departmental Elements, including the NNSA
		Administrator must ensure that:
		
		(1)	The DOE OIG hotline telephone number is displayed
			in common areas under their responsibility, such
			as cafeterias, public telephone areas, official
			bulletin boards, reception rooms, and building
			lobbies; and published in telephone books and
			employee newsletters under their responsibility.
			
		(2)	All alleged violations of law, regulations, or
			policy, including incidents of fraud, waste,
			abuse, misuse, corruption, criminal acts, or
			mismanagement, that have been referred to Federal,
			State, or local law enforcement entities are also
			reported to the OIG within a reasonable period of
			time, but not later than 24 hours of discovery.
			
		(3)	Contracting officers are notified of affected
			contracts to incorporate the CRD of this Order
			into contracts.
			
	c.	Contracting Officer once notified that this order must be 
		applied to a contract, must include the CRD in affected 
		contracts.
		
	d.	OIG Site and Facility Representatives communicate 
		regularly and on a timely basis with the DOE
		officials at the facilities or sites.
		
	e.	Employees of DOE must:

		(1)	Report actual or suspected violations of law,
			regulations, or policy, including fraud, waste,
			abuse, misuse, corruption, criminal acts, or
			mismanagement, relating to DOE programs,
			operations, facilities, contracts, or information
			technology systems to an appropriate authority
			(e.g. OIG, other law enforcement, supervisor,
			employee concerns office, security officials).
			Examples of violations to be reported include, but
			are not limited to, allegations of false
			statements; false claims; bribery; kickbacks;
			fraud; DOE environmental, safety, and health
			violations; theft; computer crimes; contractor
			mischarging; conflicts of interest; and conspiracy
			to commit any of these acts. An employee may
			always report incidents and information directly
			to the OIG.
			
		(2)	Report to the OIG any allegations of reprisals
			taken against employees who have reported to the
			OIG fraud, waste, abuse, misuse, corruption,
			criminal acts, or mismanagement relating to DOE
			programs, operations, facilities, contracts, or
			information technology systems.
			
6.	REFERENCES.

	a.	Public Law (P.L.) 95-452, the Inspector General Act of
		1978, as amended [Title 5 United States Code (U.S.C.),
		App. 3], which sets forth authority and functions of
		the Inspector General.
		
	b.	P.L. 101-12, Whistleblower Protection Act of 1989,
		which strengthens the protection available to Federal
		employees against prohibited personnel practices.
		
	c.	Title 10 Code of Federal Regulations Part 1010, Conduct
		of Employees, which requires an employee to report
		fraud, waste, abuse, and corruption in DOE programs.
		
	d.	Title 18 U.S.C., Crimes and Criminal Procedures,
		Federal Rules of Criminal Procedure which prescribes
		rules that govern all criminal procedures in the
		Federal courts of the United States.
		
	e.	Executive Order (E.O.) 12333, “United States
		Intelligence Activities,” dated 12-4-81, which
		designates the DOE as a member of the Intelligence
		Community.
		
	f.	E.O. 12863, “President’s Foreign Intelligence Advisory
		Board,” dated 9-13-93, which establishes intelligence
		reporting requirements for the OIG.
		
	g.	E.O. 12344, “Naval Nuclear Propulsion Program,” dated
		2-1-82, which preserves the basic structure policies,
		and practices developed for the program in the past and
		establishes additional policies, organization, and
		administrative procedures to ensure that the program
		will continue to function with excellence.
		
	h.	See also 50 U.S.C. Sec. 2511 which provides that E.O.
		12344 shall remain in force until changed by law.
		
	i.	E.O. 12731, “Principles of Ethical Conduct for
		Government Officers and Employees,” dated 10-17-90,
		which establishes the requirement for Government
		employees to disclose fraud, waste, abuse, and
		corruption.
		
	j.	DOE O 221.2A, Cooperation with the Office of Inspector
		General, dated 2-25-08, which establishes DOE
		responsibilities and requirements for cooperating with
		the OIG.
		
	k.	Title XXXII of P.L. 106-65, National Nuclear Security
		Administration Act, as amended, which established a
		separately organized agency within the Department of
		Energy.
		
7.	NECESSITY FINDING STATEMENT. In compliance with 
	Sec. 3174 of P.L. 104-201 (50 U.S.C. 2584
	note), DOE hereby finds that this Order is necessary for the
	protection of human health and the environment or safety,
	fulfillment of current legal requirements, or conduct of
	critical administrative functions.
	
8.	CONTACT. Questions concerning this Order should be addressed to the
	Office of Inspector General at 202-586-4128.
	
BY ORDER OF THE SECRETARY OF ENERGY:
	
							   JEFFREY F. KUPFER
							   Acting Deputy Secretary


			 CONTRACTOR REQUIREMENTS DOCUMENT
 DOE O 221.1A, REPORTING FRAUD, WASTE AND ABUSE TO THE OFFICE OF
				    INSPECTOR GENERAL
						  
Regardless of the performer of the work, the contractor is
responsible for complying with the requirements of this
contractor requirements document (CRD) and flowing down CRD
requirements to subcontractors at any tier to the extent
necessary to ensure contractor compliance.

As directed by the contracting officer, the contractor must meet
the following requirements.

1.	GENERAL REQUIREMENTS. Department of Energy (DOE)
	contractors, including National Nuclear Security
	Administration contractors must ensure that their employees
	who have information about actual or suspected violations of
	laws, regulations, or policies including fraud, waste,
	abuse, misuse, corruption, criminal acts, or mismanagement
	relating to DOE programs, operations, facilities, contracts,
	or information technology systems notify an appropriate
	authority. Examples of violations to be reported include,
	but are not limited to, allegations of false statements;
	false claims; bribery; kickbacks; fraud; DOE environmental,
	safety, and health violations; theft, computer crimes;
	contractor mischarging; conflicts of interest; and
	conspiracy to commit any of these acts. Contractors must
	also ensure that their employees are aware that they may
	always report incidents or information directly to the
	Office of Inspector General (OIG).
	
2.	SPECIFIC REQUIREMENTS. Contractors are required to:
	
	a.	Notify employees annually of their duty to report
		allegations of fraud, waste, abuse, misuse, corruption,
		criminal acts, or mismanagement relating to DOE
		programs, operations, facilities, contracts, or
		information technology systems to an appropriate
		authority (e.g. OIG, other law enforcement, supervisor,
		employee concerns office, security officials.) Examples
		of violations to be reported include, but are not
		limited to, allegations of false statements; false
		claims; bribery; kickbacks, fraud; DOE environment,
		safety, and health violations; theft; computer crimes;
		contractor mischarging; conflicts of interest, and
		conspiracy to commit any of these acts. Contractors
		must also ensure that their employees are aware that
		they may always report incidents or information
		directly to the OIG.
		
	b.	Display the OIG hotline telephone number in buildings
		and common areas such as cafeterias, public telephone
		areas, official bulletin boards, reception rooms, and
		building lobbies.
		
	c.	Publish the OIG hotline telephone number in telephone
		books and newsletters under the contractors’
		cognizance.
		
	d.	Ensure that their employees report to the OIG within a
		reasonable period of time, but not later than 24 hours
		after discovery, all alleged violations of law,
		regulations, or policy, including incidents of fraud,
		waste, abuse, misuse, corruption, criminal acts, or
		mismanagement, that have been referred to Federal,
		State, or local law enforcement entities.
		
	e.	Ensure that their employees report to the OIG any
		allegations of reprisals taken against employees who
		have reported to the OIG fraud, waste, abuse, misuse,
		corruption, criminal acts, or mismanagement.
		
	f.	Ensure that its managers do not retaliate against DOE
		contractor employees who report fraud, waste, abuse,
		misuse, corruption, criminal acts, or mismanagement.