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Florida Department of Transportation Office of Inspector General Investigations Section Procedures Manual Table of Contents Page 1 of 3 Table of Contents CFA Standards 2.0 Chapter 1 Organization and Governing Principles Procedure 1.01 Purpose, Authority, and Responsibility Procedure 1.02 Mission Statement Procedure 1.03 Inspectors General Code of Ethics Procedure 1.04 Organizational Chart Procedure 1.05 Independence from Impairments Procedure 1.06 Confidentiality Procedure 1.07 Notification to Officials Procedure 1.08 CFA Annual Report Procedure 1.09 Written Directive System Procedure 1.10 - Campaigning, Lobbying, and Political Practices Procedure 1.11 Notification of Assessment Chapter 2 Personnel Practices Procedure 2.01 Investigator Qualifications Procedure 2.02 Investigative Teams Procedure 2.03 Position Description Procedure 2.04 Performance Evaluation Chapter 3 Training Procedure 3.01 New Investigative Staff Member Training Procedure 3.02 Continuing Education Procedure 3.03 Training for Staff Members Authorized to Carry Weapons [N/A] Procedure 3.04 First Aid Training for Sworn members [N/A] Chapter 4 Investigation Process Procedure 4.01 Complaint Intake, Assessment and Assignment

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Page 1: Florida Department of Transportation Office of Inspector ... Procedures Manual.pdf · Florida Department of Transportation Office of Inspector General Investigations Section Procedures

Florida Department of Transportation Office of Inspector General

Investigations Section Procedures Manual

Table of Contents Page 1 of 3

Table of Contents CFA Standards 2.0

Chapter 1 – Organization and Governing Principles

Procedure 1.01 – Purpose, Authority, and Responsibility

Procedure 1.02 – Mission Statement

Procedure 1.03 – Inspectors General Code of Ethics

Procedure 1.04 – Organizational Chart

Procedure 1.05 – Independence from Impairments

Procedure 1.06 – Confidentiality

Procedure 1.07 – Notification to Officials

Procedure 1.08 – CFA Annual Report

Procedure 1.09 – Written Directive System

Procedure 1.10 - Campaigning, Lobbying, and Political Practices

Procedure 1.11 – Notification of Assessment

Chapter 2 – Personnel Practices

Procedure 2.01 – Investigator Qualifications

Procedure 2.02 – Investigative Teams

Procedure 2.03 – Position Description

Procedure 2.04 – Performance Evaluation

Chapter 3 – Training

Procedure 3.01 – New Investigative Staff Member Training

Procedure 3.02 – Continuing Education

Procedure 3.03 – Training for Staff Members Authorized to Carry Weapons [N/A]

Procedure 3.04 – First Aid Training for Sworn members [N/A]

Chapter 4 – Investigation Process

Procedure 4.01 – Complaint Intake, Assessment and Assignment

Page 2: Florida Department of Transportation Office of Inspector ... Procedures Manual.pdf · Florida Department of Transportation Office of Inspector General Investigations Section Procedures

Table of Contents Page 2 of 3

Procedure 4.02 – Elements of Investigations

Procedure 4.03 – Case Planning

Procedure 4.04 – Evidence Review

Procedure 4.05 – Interviews

Procedure 4.06 – Documenting Acceptance of Supporting Materials

Procedure 4.07 – Report Preparation

Procedure 4.08 – Bill of Rights and Union Contracts

Procedure 4.09 – Legal Sufficiency Review

Chapter 5 – Case Supporting Materials and Evidence

Procedure 5.01 – Security of Records

Procedure 5.02 – Chain of Custody [N/A]

Procedure 5.03 – Security of Evidence, and Case Supporting Materials

Procedure 5.04 – Evidence Control [N/A]

Chapter 6 – Whistle-blower’s Act

Procedure 6.01 – Whistle-blower’s Act Chapter 7 – Notification Process

Procedure 7.01 – Contractor Investigation Notification for State Agency Offices of Inspector General

Procedure 7.02 – Contractor Investigation Notification for Non-State Agency Offices of Inspector General [N/A]

Procedure 7.03 – Contractor Employee Investigation Notification for State Agency Offices of Inspector General

Procedure 7.04 – Contractor Employee Investigation Notification for Non-State Agency Offices of Inspector General [N/A]

Procedure 7.05 – OIG Complaint Notifications for State Agency Office of Inspector General

Procedure 7.06 – OIG Complaint Notifications for Non-State Agency Office of Inspector General [N/A] Chapter 8 – Case Management

Procedure 8.01 – Case Tracking System

Procedure 8.02 – Case File Organization

Procedure 8.03 – Record Retention

Page 3: Florida Department of Transportation Office of Inspector ... Procedures Manual.pdf · Florida Department of Transportation Office of Inspector General Investigations Section Procedures

Table of Contents Page 3 of 3

Chapter 9 – Final Reporting Process

Procedure 9.01 – Conclusions of Fact

Procedure 9.02 – Final Report Distribution

Procedure 9.03 – Post Investigative Responses

Procedure 9.04 – Law Enforcement Notification

Page 4: Florida Department of Transportation Office of Inspector ... Procedures Manual.pdf · Florida Department of Transportation Office of Inspector General Investigations Section Procedures

Florida Department of Transportation Office of Inspector General

Investigations Section Procedures Manual

Procedure 1.01 Page 1 of 2

Subject: Organization and Governing Principles Procedure Number:

1.01

Applicable CFA’s:

CFA Standard: 1.01 Issue Date:

July 1, 2009

Approval Signature: Effective: July 1, 2009

Amended: September 14, 2012

Robert E. Clift, Inspector General

Chapter 1 Procedure 1.01 – Purpose, Authority, and Responsibility

Purpose: This procedure establishes the purpose, authority, and responsibility of the Investigative Section within the Office of Inspector General.

Authority: Sections 20.055 and 20.23, Florida Statutes (F.S.)

Applicability: This procedure applies to the Inspector General and all members in the Investigations Section.

Definitions: Investigations Section is defined as a unit within the Office of Inspector General responsible for completing the investigative provisions of Section 20.055, F.S. Complaint is defined as the report of an issue, matter or allegation to the Office of Inspector General. Disposition refers to the assignment of a complaint to investigative staff, referral to management or other appropriate official or to file.

Procedures: I. Purpose

The purpose of the Office of Inspector General Investigations Section is to initiate, conduct, supervise, and coordinate investigations designed to detect, deter, prevent, and eradicate fraud, waste, mismanagement, misconduct, and other abuses in the department.

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Procedure 1.01 Page 2 of 2

II. Authority

The Office of Inspector General Investigations Section derives its authority from Section 20.055, F.S.

III. Responsibility

a. To receive complaints made by internal or external parties, alleging misconduct by

department employees or frauds by vendors, consultants or contractors. b. To assess complaints and determine the appropriate disposition. c. To document allegations received, investigative conclusions and actions taken (when

appropriate). d. To complete whistle-blower investigations in accordance with Sections 112.3187-

112.31895, F.S. e. To notify the appropriate law enforcement entity when reasonable grounds to believe a

criminal violation has occurred. f. To conduct awareness briefings for department employees, and business partners to

deter and detect frauds, and misconducts impacting the department.

Page 6: Florida Department of Transportation Office of Inspector ... Procedures Manual.pdf · Florida Department of Transportation Office of Inspector General Investigations Section Procedures

Florida Department of TransportationOffice of Inspector General

Investigations SectionProcedures Manual

Procedure 1.02Page 1 of 1

Subject: Organization and Governing PrinciplesProcedureNumber:

1.02

ApplicableCFA’s:

CFA Standard: 1.02IssueDate:

July 1, 2009

Approval Signature: Effective: July 1, 2009

Amended: July 1, 2016

Robert E. Clift, Inspector General

Chapter 1Procedure 1.02 – Mission Statement

Purpose:

This procedure establishes the requirement of a written mission statement that is posted for allInvestigations Section staff members.

Authority:

Section 20.055, Florida Statutes (F.S.); and Office of Inspector General Procedure No.450-A10-001, Authority, Mission, and Organization.

Applicability:

This procedure applies to the Inspector General and all members in the Investigations Section.

Definitions:

Investigations Section is defined as a unit within the Office of Inspector General responsiblefor completing the investigative provisions of Section 20.055, F.S.

Procedures:

Mission

a. The mission of the Office of Inspector General Investigations Section is to deter, detectand investigate crime or misconduct impacting the Department of Transportation.

b. This mission statement will be posted on the Office of Inspector General’s SharePointsite, which is available to all Investigations Section members. In addition, this missionstatement is posted in the Investigation’s section and can be found by each staffmember on the section’s telephone contact card.

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Florida Department of Transportation Office of Inspector General

Investigations Section Procedures Manual

Procedure 1.03 Page 1 of 1

Subject: Organization and Governing Principles Procedure Number:

1.03

Applicable CFA’s:

CFA Standard: 1.03 Issue Date:

July 1, 2009

Approval Signature:

Effective: July 1, 2009

Amended: July 1, 2016

Robert E. Clift, Inspector General

Chapter 1 Procedure 1.03 – Inspectors General Code of Ethics

Purpose: This procedure establishes the requirement that all Investigations Section staff members annually receive a copy of and abide by the Code of Ethics.

Authority: Chapter 112, Part III, Florida Statutes (F.S.); Florida Department of Transportation Policy No. 001-010-020, Ethics Policy, and Office of Inspector General Procedure No. 450-a10-003, Code of Ethics and Standards of Conduct.

Applicability: This procedure applies to the Inspector General and all members in the Investigations Section.

Definitions: Code of Ethics is defined as a declaration that outlines the principles by which department employees, including Office of Inspector General staff members, are expected to adhere. Investigations Section is defined as a unit within the Office of Inspector General responsible for completing the investigative provisions of Section 20.055, F.S.

Procedures: Code of Ethics

a. Upon appointment, each Investigations Section staff member will receive a copy of the Florida Department of Transportation, Policy No. 001-010-020, Ethics Policy, and will sign the Ethics Policy and Pledge Form. Forms will be maintained by the Department of Transportation Personnel Management Resource Office.

b. At the beginning of each fiscal year, each member of the Investigations Section will receive a copy of and abide by the Florida Department of Transportation, Policy No. 001-010-020, Ethics Policy. Receipt will by documented by signature of the Ethics Policy and Pledge Form which will be maintained by the Accreditation Manager.

Page 8: Florida Department of Transportation Office of Inspector ... Procedures Manual.pdf · Florida Department of Transportation Office of Inspector General Investigations Section Procedures

Florida Department of Transportation Office of Inspector General

Investigations Section Procedures Manual

Procedure 1.04 Page 1 of 2

Subject: Organization and Governing Principles Procedure Number:

1.04

Applicable CFA’s:

CFA Standard: 1.04 Issue Date:

July 1, 2009

Approval Signature:

Effective: July 1, 2009

Amended: July 1, 2014

Robert E. Clift, Inspector General

Chapter 1 Procedure 1.04 – Organizational Chart

Purpose: This procedure demonstrates the independence of the Inspector General and shows the components/functions of the office.

Authority: Sections 20.055 and 20.23, Florida Statutes (F.S.)

Applicability: This procedure applies to the Inspector General and all members in the Investigations Section.

Definitions: Inspector General is defined as the head of the Office of Inspector General as outlined by Section 20.055(3), F.S. Investigations Section is defined as a unit within the Office of Inspector General responsible for completing the investigative provisions of Section 20.055, F.S. Director of Investigations is defined as the sole position within the Investigations Section reporting directly to the Inspector General. All other positions report directly to the Director of Investigations. Senior Investigator is defined as a position within the Office of Inspector General Investigations Section responsible for coordinating, supervising, and conducting investigations. Each senior investigator reports to the Director of Investigations. Investigator is defined as a position within the Office of Inspector General Investigations Section responsible for conducting investigations. Each investigator reports to the Director of Investigations.

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Procedure 1.04 Page 2 of 2

Investigative Analyst is defined as a position within the Office of Inspector General Investigations Section responsible for providing analytic and administrative support to investigations section staff. The investigative analyst reports to the Director of Investigations.

Procedures: Organizational Structure: As outlined is 20.055(3)(b), F.S., the Inspector General is under the general supervision of the Florida Department of Transportation Secretary, reports to the Chief Inspector General, and may hire and remove staff within the Office of the Inspector General in consultation with the Chief Inspector General but independently of the Department of Transportation. An organizational chart depicting the reporting structure, as well as the components of the Investigations Section, is posted on the Office of Inspector General’s SharePoint site, which is available to all Investigations Section members. The organizational chart is updated as changes occur.

Page 10: Florida Department of Transportation Office of Inspector ... Procedures Manual.pdf · Florida Department of Transportation Office of Inspector General Investigations Section Procedures

Florida Department of Transportation Office of Inspector General

Investigations Section Procedures Manual

Procedure 1.05 Page 1 of 2

Subject: Organization and Governing Principles Procedure Number:

1.05

Applicable CFA’s:

CFA Standard: 1.05 Issue Date:

July 1, 2009

Approval Signature:

Effective: July 1, 2009

Amended: July 1, 2016

Robert E. Clift, Inspector General

Chapter 1 Procedure 1.05 – Independence from Impairments

Purpose: This procedure establishes the requirement for all Investigations Section staff members to complete an annual attestation of independence from personal, organizational, and external impairments and reporting requirements if impairment occurs.

Authority: Section 20.055, Florida Statutes (F.S.); and Office of Inspector General, Procedure No. 450-a10-004, Independence and Objectivity.

Applicability: This procedure applies to the Inspector General and all members in the Investigations Section.

Definitions: Investigations Section is defined as a unit within the Office of Inspector General responsible for completing the investigative provisions of Section 20.055, F.S. Organizational Impairment is defined as a conflict due to an inappropriate reporting structure of the investigative section. Staff responsible for investigations should remain organizationally outside of the management of the unit under investigation. Personal Impairment is defined as actual or perceived conflicts of interest due to official, professional, personal or financial relationships of investigative staff which may prevent impartiality. External Impairment is defined as factors outside the investigations section which can restrict investigative activities or interfere with the ability of investigative staff to form independent and objective conclusions.

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Procedure 1.05 Page 2 of 2

Procedures: I. Annual Attestations [CFA 1.05 A,B,C]

a. Upon appointment, Investigations Section staff members will complete an Office of

Inspector General – Annual Independence and Objectivity Statement form, to report any personal, organizational, and/or external impairments.

b. At the beginning of each fiscal year, each member of the Investigations Section will re-certify their independence by completing an Annual Independence and Objectivity Statement form.

c. The Annual Independence and Objectivity Statement forms will be maintained by the Office of Inspector General’s designated Human Resources Coordinator.

II. Reporting Requirements [CFA 1.05D]

Upon recognition of any impairment or perceived impairment, the Investigations Section staff member will immediately notify the Director of Investigations or the Inspector General.

Page 12: Florida Department of Transportation Office of Inspector ... Procedures Manual.pdf · Florida Department of Transportation Office of Inspector General Investigations Section Procedures

Florida Department of Transportation Office of Inspector General

Investigations Section Procedures Manual

Procedure 1.06 Page 1 of 2

Subject: Organization and Governing Principles Procedure Number:

1.06

Applicable CFA’s:

CFA Standard: 1.06 Issue Date:

July 1, 2009

Approval Signature:

Effective: July 1, 2009

Amended: October 25, 2012

Robert E. Clift, Inspector General

Chapter 1 Procedure 1.06 – Confidentiality

Purpose: This procedure establishes guidelines for the release of information to the public in accordance with Florida Statutes.

Authority: Sections 119.01, 112.3188 and 112.533, Florida Statutes (F.S.); Office of Inspector General Procedure No. 450-a10-009, Confidential and Exempt Information; and Office of Inspector General Procedure No. 450-a10-010, Public Records Requests.

Applicability: This procedure applies to the Inspector General and all members in the Investigations Section.

Definitions: Investigations Section is defined as a unit within the Office of Inspector General responsible for completing the investigative provisions of Section 20.055, F.S. Public Records Coordinator is defined as the Office of Inspector General staff member appointed by the Inspector General to manage the office’s public records requests.

Procedures: All members of the Investigations Section will comply with the provisions of Office of Inspector General Procedure No. 450-a10-009, Confidential, and Exempt Information; and Office of Inspector General Procedure No. 450-a10-010, Public Records Requests.

a. All requests for public records will be handled in a timely manner. b. Immediately upon receiving a public records request, the receiving staff member will

provide notification to their supervisor, the designated Public Records Coordinator and the Inspector General by e-mail.

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Procedure 1.06 Page 2 of 2

c. An Investigations Section staff members will review the requested records for the use of confidential information or information exempt from public disclosure and steps will be taken to prevent unauthorized disclosure.

d. The Director of Investigations or designee will provide information responsive to the public records request.

e. Upon release of records, details of the records released will be maintained by the designated Public Records Coordinator in accordance with Office of Inspector General procedures.

Page 14: Florida Department of Transportation Office of Inspector ... Procedures Manual.pdf · Florida Department of Transportation Office of Inspector General Investigations Section Procedures

Florida Department of Transportation Office of Inspector General

Investigations Section Procedures Manual

Procedure 1.07 Page 1 of 1

Subject: Organization and Governing Principles Procedure Number:

1.07

Applicable CFA’s:

CFA Standard: 1.07 Issue Date:

July 1, 2009

Approval Signature:

Effective: July 1, 2009

Amended: July 1, 2014

Robert E. Clift, Inspector General

Chapter 1 Procedure 1.07 – Notification to Officials

Purpose: This procedure establishes protocols for notification to appropriate officials concerning significant investigative issues.

Authority: Sections 20.055 and 112.3188, Florida Statutes (F.S.)

Applicability: This procedure applies to the Inspector General and all members in the Investigations Section.

Definitions: Investigations Section is defined as a unit within the Office of Inspector General responsible for completing the investigative provisions of Section 20.055, F.S. Significant Investigative Issue is defined as any matter which poses a significant potential impact to the Florida Department of Transportation.

Procedures: Notification

a. Upon discovery of a significant investigative issue, the discovering Investigations Section staff member will immediately notify the Director of Investigations or the Inspector General.

b. Subsequent to the notification, the Inspector General will brief the Chief Inspector General and may also brief the Florida Department of Transportation Secretary, designee and/or other public officials as deemed appropriate.

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Florida Department of Transportation Office of Inspector General

Investigations Section Procedures Manual

Procedure 1.08 Page 1 of 2

Subject: Organization and Governing Principles Procedure Number:

1.08

Applicable CFA’s:

CFA Standard: 1.08 Issue Date:

July 1, 2009

Approval Signature:

Effective: July 1, 2009

Amended: July 1, 2016

Robert E. Clift, Inspector General

Chapter 1 Procedure 1.08 – CFA Annual Report

Purpose: This procedure establishes guidelines for submitting an annual report to the Commission for Florida Law Enforcement Accreditation, Inc.

Authority: The Commission for Florida Law Enforcement Accreditation, Inc., as required in Standard 1.08.

Applicability: This procedure applies to the Office of Inspector General Investigations Section Accreditation Manager.

Definitions: Accreditation Manager is defined as the Office of Inspector General Investigations Section staff member appointed by the Director of Investigations to manage the Investigations Section’s accreditation efforts. Investigations Section is defined as a unit within the Office of Inspector General responsible for completing the investigative provisions of Section 20.055, Florida Statutes.

Procedures: Guidelines for submitting an annual report to the Commission for Florida Law Enforcement Accreditation, Inc., is as follows:

a. The Accreditation Manager will annually prepare a report to the Commission for Florida Law Enforcement Accreditation, Inc., to report compliance efforts with accreditation standards.

b. The annual report, with a reporting period of January 1 – December 31, is due to the Commission for Florida Law Enforcement Accreditation, Inc., by January 31 of each year.

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Procedure 1.08 Page 2 of 2

c. A draft of the annual report will be submitted to the Inspector General through the Director of Investigations at least 30 days prior to the due date for approval.

d. Once approved, the Accreditation Manager will forward the annual report to the Commission for Florida Law Enforcement Accreditation, Inc.

e. A copy of each annual report will be maintained in the accreditation files by the Accreditation Manager.

Page 17: Florida Department of Transportation Office of Inspector ... Procedures Manual.pdf · Florida Department of Transportation Office of Inspector General Investigations Section Procedures

Florida Department of Transportation Office of Inspector General

Investigations Section Procedures Manual

Procedure 1.09 Page 1 of 3

Subject: Organization and Governing Principles Procedure Number:

1.09

Applicable CFA’s:

CFA Standard: 1.09 Issue Date:

July 1, 2009

Approval Signature: Effective: July 1, 2009

Amended: July 1, 2016

Robert E. Clift, Inspector General

Chapter 1 Procedure 1.09 – Written Directive System

Purpose: This procedure provides the Investigations Section a system for the development, revision and maintenance of written directives that provide all investigative staff members clear guidance.

Authority:

Florida Department of Transportation, Procedure No. 025-020-002, Section 10, Standard Operating System.

Applicability: This procedure applies to the Inspector General and all members in the Investigations Section.

Definitions: Investigations Section is defined as a unit within the Office of Inspector General responsible for completing the investigative provisions of Section 20.055, Florida Statutes. Procedures are defined as a set of written directives which provide guidance in the performance of investigative activities by the Investigations Section. Office of Inspector General Investigations Section Procedures Manual is defined as the manual containing the written procedures for Investigations Section staff to adhere to when conducting investigations.

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Procedure 1.09 Page 2 of 3

Procedures:

I. Format: [CFA 1.09A] The procedures manual will be in plain language and organized for easy comprehension. Procedure 1.09 may be used as a template for all procedures in the procedures manual. Each procedure will be assembled in the following format: a. Header: The official logo of the department (left), the Inspector General logo (right) and

the words “Florida Department of Transportation Office of Inspector General” in bold 18-point Arial font (centered), and “Investigations Section Procedures Manual” in 16-point Arial font (centered) will appear in the header of page one of each procedure.

b. Table: A centered table will appear immediately below the header on page one. The table will be identical to the one below:

c. Chapter: Page-centered and immediately below the table (above), the chapter number,

procedure number and procedure title will be typed in bold 14-point Arial font. d. Sections: Each procedure will have five sections, left justified in bold 12-point Arial font,

blue ¾ point double-underlined border with the sections titled, Purpose, Authority, Applicability, Definitions, and Procedures.

e. Page: Each page will have a double blue ¾ point page border. Additionally, each page will have a right-justified footer in 10-point Arial font with the procedure number and page number.

f. Indentation: Each procedure will be indented as shown here. g. Bulleting: Will be used as shown here only to the extent necessary to outline the

procedure.

II. Numbering, Indexing, Searching, and Revising Directives [CFA 1.09B] a. Numbering of procedures will be consistent with the CFA accreditation chapters. b. Indexing will be accomplished through a Table of Contents in the front of the procedures

manual. c. Searching will be accomplished through the electronic bookmarks provided in the

procedures manual. d. Any proposed new, revised, or suggested deletions of existing procedures will be

discussed with the Director of Investigations. e. Investigations Section staff members are encouraged to make recommendations to

modify or revise existing procedures. All submissions will be made in writing to the Director of Investigations through the Accreditation Manager.

III. System for Keeping the Directives Current: [CFA 1.09C]

a. The procedures manual will be reviewed by the Director of Investigations and the Accreditation Manager annually. Amendments will be made as needed.

IV. Statements of Policy: [CFA 1.09C] a. The Investigations Section will maintain a procedures manual.

Subject: Procedure Number:

Applicable CFA’s:

Issue Date:

Approval Signature: Effective:

Amended:

Name, Inspector General

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Procedure 1.09 Page 3 of 3

V. Procedures for Carrying Out Activities: [CFA 1.09D] a. Investigative activities will be guided by the provisions of the procedures manual.

VI. Procedures for Staff Review and Approval [CFA 1.09D]

a. Investigations Section staff members are encouraged to make recommendations to modify or revise proposed procedures prior to promulgation. All submissions will be made in writing to the Director of Investigations through the Accreditation Manager.

b. The procedure is effective upon signature of the Inspector General.

VII. Authority to Issue: [CFA 1.09E] a. The Inspector General bears sole authority to issue or rescind Investigations Section

procedures.

VIII. Procedures for Dissemination [CFA 1.09F] a. The procedures manual will be posted on the Office of Inspector General SharePoint

site, which is available to all Investigations Section staff members. b. Investigations Section staff members will be electronically notified of new or revised

procedures within 10 days after the procedure has been approved and signed by the Inspector General.

IX. Procedures for Storing and Archiving Directives [CFA 1.09G]

a. The Accreditation Manager will electronically store and archive all procedures in the investigations accreditation files by assessment period.

b. Storage and archiving of procedures will comply with Procedure 8.03 - Record Retention.

Page 20: Florida Department of Transportation Office of Inspector ... Procedures Manual.pdf · Florida Department of Transportation Office of Inspector General Investigations Section Procedures

Florida Department of Transportation Office of Inspector General

Investigations Section Procedures Manual

Procedure 1.10 Page 1 of 1

Subject: Organization and Governing Principles Procedure Number:

1.10

Applicable CFA’s:

CFA Standard: 1.10 Issue Date:

June 26, 2014

Approval Signature: Effective: June 26, 2014

Amended: July 1, 2016

Robert E. Clift, Inspector General

Chapter 1 Procedure 1.10 – Campaigning, Lobbying, and Political Practices

Purpose: This procedure establishes policy for campaigning, lobbying, and political practices in accordance with governmental statutes and regulations.

Authority: Sections 104.31 and 112.313 Florida Statutes (F.S.), and Rule 60L-36.002, Florida Administrative Code (F.A.C.)

Applicability: This procedure applies to the Inspector General and all members in the Investigations Section.

Definitions: Investigations Section is defined as a unit within the Office of Inspector General (OIG) responsible for completing the investigative provisions of Section 20.055, F.S.

Procedures: Each OIG staff member is expected to uphold and maintain the highest level of ethical conduct regarding political practices and activities in accordance with Sections 104.31 and 112.313 F.S., Rule 60L-36.002, F.A.C., and the Department of Transportation Employee Handbook, which are made available and distributed through the Department of Transportation’s Intranet site.

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Florida Department of Transportation Office of Inspector General

Investigations Section Procedures Manual

Procedure 1.11 Page 1 of 1

Subject: Organization and Governing Principles Procedure Number:

1.11

Applicable CFA’s:

CFA Standard: 1.11 Issue Date:

July 1, 2016

Approval Signature: Effective: July 1, 2016

Amended:

Robert E. Clift, Inspector General

Chapter 1 Procedure 1.11 – Notification of Assessment

Purpose: This procedure establishes guidelines for notification to the public at least 30 days prior to a Commission for Florida Law Enforcement Accreditation, Inc., (CFA) assessment.

Authority: The Commission for Florida Law Enforcement Accreditation, Inc., as required in Standard 1.11.

Applicability: This procedure applies to the Office of Inspector General Investigations Section Accreditation Manager. Definitions: Investigations Section is defined as a unit within the Office of Inspector General responsible for completing the investigative provisions of Section 20.055, F.S. Accreditation Manager is defined as the Office of Inspector General Investigations Section staff member appointed by the Director of Investigations to manage the Investigations Section’s accreditation efforts.

Procedures: The Accreditation Manager will prepare a notification of assessment for the Director of Investigations and Inspector General to review and approval. The Accreditation Manager will submit the approved notification of assessment and verify the notification has been posted at least 30 days prior to the onsite assessment.

Page 22: Florida Department of Transportation Office of Inspector ... Procedures Manual.pdf · Florida Department of Transportation Office of Inspector General Investigations Section Procedures

Florida Department of Transportation Office of Inspector General

Investigations Section Procedures Manual

Procedure 2.01 Page 1 of 1

Subject: Personnel Practices Procedure Number:

2.01

Applicable CFA’s:

CFA Standard: 2.01 Issue Date:

July 1, 2009

Approval Signature: Effective: July 1, 2009

Amended: September 14, 2012

Robert E. Clift, Inspector General

Chapter 2 Procedure 2.01 – Investigator Qualifications

Purpose: This procedure provides the minimum requirements for staff members responsible for conducting investigations.

Authority: Section 20.055, Florida Statutes (F.S.)

Applicability: This procedure applies to the Inspector General and all members in the Investigations Section.

Definitions: Investigations Section is defined as a unit within the Office of Inspector General responsible for completing the investigative provisions of Section 20.055, F.S.

Procedures: Investigator Qualifications All Investigations Section staff members responsible for conducting investigations are required to have a baccalaureate degree from an accredited college or university [CFA 2.01A], or relevant employment experience as determined by the Director of Investigations or the Inspector General. [CFA 2.01B]

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Florida Department of Transportation Office of Inspector General

Investigations Section Procedures Manual

Procedure 2.02 Page 1 of 1

Subject: Personnel Practices Procedure Number:

2.02

Applicable CFA’s:

CFA Standard: 2.02 Issue Date:

July 1, 2009

Approval Signature: Effective: July 1, 2009

Amended: September 14, 2012

Robert E. Clift, Inspector General

Chapter 2 Procedure 2.02 – Investigative Teams

Purpose: This procedure establishes the necessary skills requirements investigative teams must possess to conduct an investigation.

Authority: Section 20.055, Florida Statutes (F.S.)

Applicability: This procedure applies to the Inspector General and all members in the Investigations Section.

Definitions: Investigations Section is defined as a unit within the Office of Inspector General responsible for completing the investigative provisions of Section 20.055, F.S. Investigative Team is a group of personnel assigned to work on investigative projects. Investigative teams may include individuals outside the Florida Department of Transportation depending on the type of investigation.

Procedures: Investigative Teams

a. The Director of Investigations is responsible for ensuring that investigative teams possess the necessary skills to conduct any investigation.

b. Investigative teams will collectively possess the following skills to conduct investigations:

1. Familiarity with the programs and policies of the agency; [CFA 2.02A] 2. Prior investigative experience in the subject area; [CFA 2.02B] 3. Training in the subject matter; [CFA 2.02C] 4. Educational background in the subject area; [CFA 2.02D] 5. Preliminary research of the program area; or [CFA 2.02E] 6. Specialized skills. [CFA 2.02F]

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Florida Department of Transportation Office of Inspector General

Investigations Section Procedures Manual

Procedure 2.03 Page 1 of 1

Subject: Personnel Practices Procedure Number:

2.03

Applicable CFA’s:

CFA Standard: 2.03 Issue Date:

July 1, 2009

Approval Signature:

Effective: July 1, 2009

Amended: July 1, 2016

Robert E. Clift, Inspector General

Chapter 2 Procedure 2.03 – Position Description

Purpose: This procedure provides requirements for the maintenance of a position description for each Investigations Section staff member.

Authority: Section 20.23, Florida Statutes (F.S.); and Rule 60L-31.003, Florida Administrative Code.

Applicability: This procedure applies to the Inspector General and all members in the Investigations Section.

Definitions: Investigations Section is defined as a unit within the Office of Inspector General responsible for completing the investigative provisions of Section 20.055, F.S. Position Description is defined as a document that details the expectations and duties of each position. Accreditation Manager is defined as the Office of Inspector General Investigations Section staff member appointed by the Director of Investigations to manage the Investigations Section’s accreditation efforts.

Procedures: Position descriptions will be developed and maintained by the Office of Inspector General for each position within the Investigations Section.

a. Each staff member will acknowledge receipt of their position description in written or

electronic form. b. A copy of each staff member’s position description will be maintained in the

accreditation files by the Accreditation Manager.

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Florida Department of Transportation Office of Inspector General

Investigations Section Procedures Manual

Procedure 2.04 Page 1 of 2

Subject: Personnel Practices Procedure Number:

2.04

Applicable CFA’s:

CFA Standard: 2.04 Issue Date:

July 1, 2009

Approval Signature:

Effective: July 1, 2009

Amended: July 1, 2016

Robert E. Clift, Inspector General

Chapter 2 Procedure 2.04 – Performance Evaluation

Purpose: This procedure establishes the requirement of a documented annual performance evaluation of each Investigations Section staff member who reports directly or indirectly to the Inspector General.

Authority: Rule Chapter 60L-35, Florida Administrative Code; Florida Department of Transportation, Procedure No. 250-045-003, Employee Performance Evaluations; and Florida Department of Transportation Procedure No. 250-015-006, Selected Exempt Service and Senior Management Service Recruitment and Selection, Appointments, Evaluations, and Terminations.

Applicability: This procedure applies to the Inspector General and all members in the Investigations Section.

Definitions: Investigations Section is defined as a unit within the Office of Inspector General responsible

for completing the investigative provisions of Section 20.055, Florida Statutes.

Performance Evaluation is defined as an annual review and rating of an Investigations Section

staff member’s performance by their immediate supervisor.

Procedures: On a minimum of an annual basis each Investigations Section staff member will have a documented performance evaluation conducted.

a. Performance evaluations will be based only on the performance during the rating period. [CFA 2.04A]

b. Performance evaluations will be specific to the position occupied by the employee during the rating period. [CFA 2.04B]

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Procedure 2.04 Page 2 of 2

c. Performance evaluations will be conducted during the rating period or at more frequent intervals at the discretion of the Director of Investigations.

d. Investigations Section staff members will be informed of expectations for the assigned position at the beginning of the evaluation period. [CFA 2.04C]

e. Investigations Section staff members will be rated by their immediate supervisor. [CFA 2.04D]

f. At the conclusion of the performance evaluation, the immediate supervisor will meet with the staff member to review, discuss and acknowledge the evaluation. [CFA 2.04E]

g. The Inspector General will review all performance evaluations. [CFA 2.04F]

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Florida Department of Transportation Office of Inspector General

Investigations Section Procedures Manual

Procedure 3.01 Page 1 of 2

Subject: Training Procedure Number:

3.01

Applicable CFA’s:

CFA Standard: 3.01 Issue Date:

July 1, 2009

Approval Signature: Effective: July 1, 2009

Amended: July 1, 2016

Robert E. Clift, Inspector General

Chapter 3 Procedure 3.01 – New Investigative Staff Member Training

Purpose: This procedure identifies specific training that Investigations Section staff members must receive within six months of being hired into an investigative position.

Authority: Section 20.055, Florida Statutes (F.S.)

Applicability: This procedure applies to the Inspector General and all members in the Investigations Section.

Definitions: Investigations Section is defined as a unit within the Office of Inspector General responsible for completing the investigative provisions of Section 20.055, F.S. Director of Investigations is defined as the sole position within the Investigations Section reporting directly to the Inspector General. All other positions report directly to the Director of Investigations.

Procedures: Required Training

a. Newly appointed Investigations Section staff members will receive required training detailed on the New Employee Training and Orientation Checklist within six months of their hire date.

b. Training will encompass the following areas at a minimum: 1. Section 14.32, F.S., Office of the Chief Inspector General; [CFA 3.01A] 2. Section 20.055, F.S., Agency Inspectors General Act; [CFA 3.01B] 3. Chapter 119, F.S., Public Records; [CFA 3.01C]

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4. Chapter 112, Part III, F.S., Code of Ethics for Public Officers and Employees; [CFA 3.01D]

5. Department of Transportation Policy No. 001-010-020, Ethics Policy; [CFA 3.01D]

6. Chapter 112, Part VI, F.S., Law Enforcement, and Correctional Officers; [CFA 3.01E]

7. Sections 112.3187-112.31895, F.S., Whistle-blower’s Act; [CFA 3.01F] 8. Principles and Standards for Offices of Inspector General; [CFA 3.01G] 9. Section 20.23, F.S., Department of Transportation; [CFA 3.01H] 10. Office of Inspector General, Procedure No. 450-A10-001, Authority, Mission,

and Organization; [CFA 3.01H] 11. Rule 60L-36.005, Florida Administrative Code, Disciplinary Standards; and

[CFA 3.01H,I] 12. Florida accreditation standards and process. [CFA 3.01J]

c. As each training topic is completed, the date of completion will be maintained on the

New Employee Training and Orientation Checklist. d. Once all training is completed, the newly hired Investigations Section staff member and

the Director of Investigations or the Inspector General will sign and date the New Employee Training and Orientation Checklist.

e. A copy of the completed New Employee Training and Orientation Checklist will be maintained in the accreditation files.

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Florida Department of Transportation Office of Inspector General

Investigations Section Procedures Manual

Name:

Position:

Hire Date:

Initial and date each section upon completion. All Training / Orientation must be completed within six months of hire date.

Date Completed

Staff Initials

Subject Area:

Section 14.32, Florida Statutes (F.S.), Office of the Chief Inspector General

Section 20.055, F.S., Agency Inspectors General Act

Chapter 119, F.S., Public Records

Chapter 112, F.S., Part III, Code of Ethics for Public Officers and Employees

Department of Transportation Policy No. 001-010-020, Ethics Policy; Office of Inspector General Topic No. 450-a10-003, Code of Ethics and Standards of Conduct

Chapter 112, F.S., Part VI, Law Enforcement and Correctional Officers

Sections 112.3187-112.31895, F.S., Whistle-blower’s Act

Principles and Standards for Offices of Inspector General (Green Book)

Agency specific statutes, rules, regulations, and directives

Section 20.23, F.S., Department of Transportation

Office of Inspector General, Procedure No. 450-A10-001, Authority, Mission and Organization

Rule 60L-36.005, Florida Administrative Code, Disciplinary Standards

Florida accreditation standards and process

Staff Signature IG or Dir. of Investigations Signature

Date of Completion

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Investigations Section Procedures Manual

Procedure 3.02 Page 1 of 1

Subject: Training Procedure Number:

3.02

Applicable CFA’s:

CFA Standard: 3.02 Issue Date:

July 1, 2009

Approval Signature:

Effective: July 1, 2009

Amended: July 1, 2016

Robert E. Clift, Inspector General

Chapter 3 Procedure 3.02 – Continuing Education

Purpose: This procedure establishes the continuing education requirements for the Inspector General and Investigations Section staff members.

Authority: Section 20.055, Florida Statutes (F.S.)

Applicability: This procedure applies to all Office of Inspector General Investigations Section staff.

Definitions: Investigations Section is defined as a unit within the Office of Inspector General responsible for completing the investigative provisions of Section 20.055, F.S.

Procedures:

I. Continuing Education Standards: The Inspector General and Investigations Section staff members are required to receive a minimum of 40 hours of documented continuing education every two years, with at least 12 of the 40 hours in subjects directly related to their primary responsibility.

II. Training

a. When possible, Investigations Section staff members will obtain certificates or other

proof of completed training.

b. Each Investigations Section staff member will provide documentation of completed training to the Office of Inspector General Training Coordinator.

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Florida Department of Transportation Office of Inspector General

Investigations Section Procedures Manual

Procedure 4.01 Page 1 of 2

Subject: Investigation Process Procedure Number:

4.01

Applicable CFA’s:

CFA Standard: 4.01 Issue Date:

July 1, 2009

Approval Signature: Effective: July 1, 2009

Amended: July 1, 2016

Robert E. Clift, Inspector General

Chapter 4 Procedure 4.01 – Complaint Intake, Assessment and Assignment

Purpose: This procedure establishes protocols for reviewing and tracking all complaints.

Authority: Section 20.055, Florida Statutes (F.S.)

Applicability: This procedure applies to the Inspector General and all members in the Investigations Section.

Definitions: Investigations Section is defined as a unit within the Office of Inspector General (OIG) responsible for completing the investigative provisions of Section 20.055, F.S. Director of Investigations is defined as the sole position within the Investigations Section reporting directly to the Inspector General. All other positions report directly to the Director of Investigations. Complaint is defined as the report of an issue, matter or allegation to the Office of Inspector General. Disposition refers to the type of assignment of a complaint to investigative staff, referral to management or other appropriate official or to file.

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Procedure 4.01 Page 2 of 2

Procedures:

I. Complaint Intake [CFA 4.01A]

a. Complaints may be received by the Office of Inspector General via mail, telephone, e-mail, the OIG Fraud Hotline, the Office of the Chief Inspector General or any other form of communication.

b. Investigations Section staff members will document complaints received.

II. Complaint Disposition

a. Each complaint will be reviewed by the Director of Investigations, or designee, for determination of category, and disposition. [CFA 4.01B, CFA 4.01C]

b. Each complaint will be reviewed to determine if the provisions of the Whistle-blower’s Act could apply. [See Chapter 6]

c. The Director of Investigations, or designee, will reach a disposition within 20 calendar days of receipt of the complaint. Any delays or exceptions will be approved by the Director of Investigations, or designee, and documented. [CFA 4.01E]

d. Complainants will receive a written response regarding the disposition of their complaint. Exceptions to this requirement will be documented. [CFA 4.01D]

III. Complaint Documentation

a. The complaint and all related documentation will be maintained by the Investigations

Section.

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Florida Department of Transportation Office of Inspector General

Investigations Section Procedures Manual

Procedure 4.02 Page 1 of 2

Subject: Investigation Process Procedure Number:

4.02

Applicable CFA’s:

CFA Standard: 4.02 Issue Date:

July 1, 2009

Approval Signature: Effective: July 1, 2009

Amended: July 1, 2016

Robert E. Clift, Inspector General

Chapter 4 Procedure 4.02 – Elements of Investigations

Purpose: This procedure establishes required elements for each investigation. Authority: Section 20.055, Florida Statutes (F.S.)

Applicability: This procedure applies to the Inspector General and all members in the Investigations Section.

Definitions: Investigations Section is defined as a unit within the Office of Inspector General responsible for completing the investigative provisions of Section 20.055, F.S. Investigation is defined as a process by which information is obtained by an Office of Inspector General staff member in an effort to assess, prove or disprove a specific allegation involving a Department of Transportation employee or contracted entity or an employee thereof. An investigation may be conducted of another agency employee or function at the request of the Office of the Chief Inspector General. Whistle-blower Investigation is defined as an investigation involving an individual certified as a whistle-blower pursuant to Sections 112.3187-112.31895, F.S.

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Procedure 4.02 Page 2 of 2

Procedures: Investigation Requirements: Each investigation will include the following elements at a minimum:

a. Written Case Plan – Each investigation will have a written case plan. [CFA 4.02A] b. Evidentiary Support for Findings – Case supporting materials may include documents,

statements, photographs, computer files or similar materials which are relevant to the investigation. [CFA 4.02B]

c. Interviews – Interviews of the complainant(s), witness(es) and subject(s) will be conducted during each investigation. Exceptions will be approved by the Director of Investigations or Inspector General and documented. [CFA 4.02C]

d. Documented Investigative Activity – Investigative activity such as interviews, documents reviewed, analyses and other related case activity will be documented during the investigation. [CFA 4.02D]

e. Written Report – A written report will be completed and approved by the Inspector General for each investigation conducted by the Investigations Section. [CFA 4.02E]

f. Bill of Rights/Union Contracts – When applicable, the rights granted by collective bargaining agreements or contracts and Florida Statutes will be honored throughout the investigative process. [CFA 4.02F]

g. Timeframe from Assignment to Case Completion, With Documented Supervisory Approval for Extensions – On average, all investigations, with the exception of contract fraud investigations, will be completed within 90 days of assignment. On average, contract fraud investigations will be completed within 18 months. Extensions or exceptions will be approved by the Director of Investigations, or designee, and documented. Specific timeframe requirements for whistle-blower investigations are addressed in Chapter 6. [CFA 4.02G]

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Florida Department of Transportation Office of Inspector General

Investigations Section Procedures Manual

Procedure 4.03 Page 1 of 2

Subject: Investigation Process Procedure Number:

4.03

Applicable CFA’s:

CFA Standard: 4.03 Issue Date:

July 1, 2009

Approval Signature: Effective: July 1, 2009

Amended:

Robert E. Clift, Inspector General

Chapter 4 Procedure 4.03 – Case Planning

Purpose: This procedure establishes required elements for each investigation case plan.

Authority: Section 20.055, Florida Statutes (F.S.)

Applicability: This procedure applies to the Inspector General and all members in the Investigations Section.

Definitions: Investigations Section is defined as a unit within the Office of Inspector General responsible for completing the investigative provisions of Section 20.055, F.S. Director of Investigations is defined as the sole position within the Investigations Section reporting directly to the Inspector General. All other positions report directly to the Director of Investigations. Written Case Plan is a documented listing of activities and goals specific for each investigation.

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Procedure 4.03 Page 2 of 2

Procedures: Written Case Plan

a. During the initial phase of each investigation, the assigned Investigations Section staff member must complete a written case plan with steps identified to assess, prove or disprove the allegation. The written case plan will include, at a minimum, the following elements:

1. A brief overview of the complaint [CFA 4.03A] 2. A listing of the potential violation(s) [CFA 4.03A]

b. The initial case plan will be reviewed by the Director of Investigations, or designee,

prior to implementation of the plan. [CFA 4.03C] c. The initial case plan will be updated as the investigation progresses. [CFA 4.03B] d. Updates to the case plan will be reviewed and approved by the Director of

Investigations, or designee. [CFA 4.03D]

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Florida Department of Transportation Office of Inspector General

Investigations Section Procedures Manual

Procedure 4.04 Page 1 of 2

Subject: Investigation Process Procedure Number:

4.04

Applicable CFA’s:

CFA Standard: 4.04 Issue Date:

July 1, 2009

Approval Signature: Effective: July 1, 2009

Amended: September 14, 2012

Robert E. Clift, Inspector General

Chapter 4 Procedure 4.04 – Evidence Review

Purpose: This procedure establishes requirements for the review of cases by the Director of Investigations and the Inspector General to ensure sufficiency of case supporting materials, and evidence.

Authority: Section 20.055, Florida Statutes (F.S.)

Applicability: This procedure applies to the Inspector General and all members in the Investigations Section.

Definitions: Investigations Section is defined as a unit within the Office of Inspector General responsible for completing the investigative provisions of Section 20.055, F.S. Case Supporting Materials are defined as items gathered during the course of an administrative investigation (e.g. documents, statements, photographs, computer files or similar materials) which are relevant to the investigation. Evidence is defined as items gathered during a criminal investigation and specifically relating to a criminal allegation.

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Procedure 4.04 Page 2 of 2

Procedures:

I. Evidence: Evidence will be maintained by the law enforcement or prosecuting entity participating in the investigation of criminal allegations.

II. Case Supporting Materials: The Inspector General, or designee, will sign the investigative report to document their review to ensure case supporting materials:

a. Are relevant; [CFA 4.04A] b. Have a logical, sensible relationship to the allegation; [CFA 4.04B] c. Are consistent with the facts; and [CFA 4.04C] d. Are sufficient to support conclusions. [CFA 4.04D]

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Florida Department of Transportation Office of Inspector General

Investigations Section Procedures Manual

Procedure 4.05 Page 1 of 1

Subject: Investigation Process Procedure Number:

4.05

Applicable CFA’s:

CFA Standard: 4.05 Issue Date:

July 1, 2009

Approval Signature: Effective: July 1, 2009

Amended: October 25, 2012

Robert E. Clift, Inspector General

Chapter 4 Procedure 4.05 – Interviews

Purpose: This procedure establishes requirements for conducting interviews.

Authority: Sections 20.055 and 117.03, Florida Statutes (F.S.)

Applicability: This procedure applies to the Inspector General and all members in the Investigations Section.

Definitions: Investigations Section is defined as a unit within the Office of Inspector General responsible for completing the investigative provisions of Section 20.055, F.S.

Procedures:

I. Investigative Interviews: For each case and prior to case completion, interviews will be conducted of the following individuals:

a. The complainant(s) [CFA 4.05A] b. The witness(es) [CFA 4.05B] c. The subject(s): The subject interview will address all allegations. [CFA 4.05C]

II. Sufficiency:

a. Each interview will be conducted under oath. [CFA 4.05D] b. Each interview will be documented or audio recorded. [CFA 4.05E] c. Exceptions to the above will be documented in the case file. [CFA 4.05 A,B,C,D,E] d. The Director of Investigations, or designee, will review the documented interviews to

ensure compliance with the above provisions. [CFA 4.05F]

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Florida Department of Transportation Office of Inspector General

Investigations Section Procedures Manual

Procedure 4.06 Page 1 of 2

Subject: Investigation Process Procedure Number:

4.06

Applicable CFA’s:

CFA Standard: 4.06 Issue Date:

July 1, 2009

Approval Signature: Effective: July 1, 2009

Amended: July 1, 2016

Robert E. Clift, Inspector General

Chapter 4 Procedure 4.06 – Documenting Acceptance of Supporting Materials

Purpose: This procedure establishes requirements for documenting the receipt of case supporting materials.

Authority: Section 20.055, Florida Statutes (F.S.)

Applicability: This procedure applies to the Inspector General and all members in the Investigations Section.

Definitions: Investigations Section is defined as a unit within the Office of Inspector General responsible for completing the investigative provisions of Section 20.055, F.S. Case Supporting Materials are defined as items gathered during the course of an administrative investigation (e.g. documents, statements, photographs, computer files or similar materials) which are relevant to the investigation. Evidence is defined as items gathered during a criminal investigation and specifically relating to a criminal allegation. Investigative Case File is the collection of items or documents used during the course of an Office of Inspector General investigation.

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Procedure 4.06 Page 2 of 2

Procedures:

I. Case Supporting Materials

a. Efforts will be made to locate and obtain case supporting materials for each investigation.

b. Investigations Section staff will document receipt of each item by recording the following information:

1. The date the item was received; 2. From whom the item was received, if applicable; and 3. Any additional pertinent information.

c. Case supporting items will be maintained in the investigative case file.

II. Evidence: Evidence will be maintained by the law enforcement or prosecuting entity participating in the investigation of criminal allegations.

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Florida Department of Transportation Office of Inspector General

Investigations Section Procedures Manual

Procedure 4.07 Page 1 of 2

Subject: Investigation Process Procedure Number:

4.07

Applicable CFA’s:

CFA Standard: 4.07 Issue Date:

July 1, 2009

Approval Signature:

Effective: July 1, 2009

Amended: July 1, 2016

Robert E. Clift, Inspector General

Chapter 4 Procedure 4.07 – Report Preparation

Purpose: This procedure establishes the requirements for preparing reports.

Authority: Section 20.055, Florida Statutes (F.S.)

Applicability: This procedure applies to the Inspector General and all members in the Investigations Section.

Definitions: Investigations Section is defined as a unit within the Office of Inspector General responsible for completing the investigative provisions of Section 20.055, F.S. Governing Directive is defined as a required guideline which governs or regulates the actions of the subject of an investigation. Governing directives can include laws, rules, regulations, policies, procedures, manuals, contracts, and agreements. Investigative Report is defined as the culminating factual report required for each investigation conducted by the Office of Inspector General Investigations Section.

Procedures: Investigative Report

a. Investigative reports will contain the following major sections at a minimum:

[CFA 4.07A] 1. Predicate – The predicate is documented in the Receipt of Initial Information

report of investigative activity. The predicate constitutes the initial conduct, action or event being reported.

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Procedure 4.07 Page 2 of 2

2. Allegations – The allegations (issues) are documented in the Proof Analysis report of investigative activity. The allegations consist of potential violations of laws, rules, regulations, policies, procedures, manuals, contracts, and agreements.

3. Findings – The findings are documented in the Proof Analysis report of investigative activity as a summary of facts compared to the allegations and a conclusion (proved, disproved or inconclusive) that was reached based on this analysis.

4. Recommendations – When applicable, recommendations will be included in the Executive Summary.

b. Allegations are categorized as proved or disproved based on the facts developed during the investigation compared to requirements specified in governing directives. Allegations are categorized as inconclusive when testimony and other case supporting materials, compared to the requirements of governing directives, does not provide enough information to determine if the allegation is proved or disproved. [CFA 4.07B]

c. Each investigation will be conducted in compliance with the Quality Standards for Investigations found within the Principles and Standards for Offices of Inspector General (Green Book), and investigative reports will contain an attestation to that fact. [CFA 4.07C]

d. The Inspector General will sign the investigative report to document their review. [CFA 4.07D]

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Florida Department of Transportation Office of Inspector General

Investigations Section Procedures Manual

Procedure 4.08 Page 1 of 1

Subject: Investigation Process Procedure Number:

4.08

Applicable CFA’s:

CFA Standard: 4.08 Issue Date:

July 1, 2009

Approval Signature: Effective: July 1, 2009

Amended: September 14, 2012

Robert E. Clift, Inspector General

Chapter 4 Procedure 4.08 – Bill of Rights and Union Contracts

Purpose: This procedure establishes requirements for compliance with constitutional, statutory and employee union/bargaining unit requirements when conducting investigations.

Authority: Section 20.055, Florida Statutes (F.S.)

Applicability: This procedure applies to the Inspector General and all members in the Investigations Section.

Definitions: Investigations Section is defined as a unit within the Office of Inspector General responsible for completing the investigative provisions of Section 20.055, F.S.

Procedures: All Investigations Section staff members will comply with constitutional, statutory and employee union/bargaining unit requirements when conducting investigations.

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Florida Department of Transportation Office of Inspector General

Investigations Section Procedures Manual

Procedure 4.09 Page 1 of 1

Subject: Investigation Process Procedure Number:

4.09

Applicable CFA’s:

CFA Standard: 4.09 Issue Date:

July 1, 2009

Approval Signature: Effective: July 1, 2009

Amended: July 1, 2016

Robert E. Clift, Inspector General

Chapter 4 Procedure 4.09 – Legal Sufficiency Review

Purpose: This procedure establishes guidelines for obtaining a review of cases for legal sufficiency when necessary. Authority: Section 20.055, Florida Statutes (F.S.)

Applicability: This procedure applies to the Inspector General and all members in the Investigations Section.

Definitions: Investigations Section is defined as a unit within the Office of Inspector General responsible for completing the investigative provisions of Section 20.055, F.S. Office of General Counsel is the Florida Department of Transportation (department) office responsible for providing consultation, direction and representation, in all legal matters affecting the department.

Procedures: Given the provisions of Section 20.055(3)(d) and (7)(d) F.S. the Office of Inspector General conducts investigations independently; free of impairments and interference. As the department’s Office of General Counsel represents the interests of the department; seeking concurrence on the outcome and sufficiency of investigations could represent an impairment to independence. Requests for review of investigative reports may be made to the department’s Office of General Counsel or another agency’s General Counsel when questions of a legal nature arise and do not present an impairment to the independence of the Office of Inspector General. If deemed appropriate by the Inspector General, requests for reviews by counsel will be documented.

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Investigations Section Procedures Manual

Procedure 5.01 Page 1 of 1

Subject: Case Supporting Materials and Evidence Procedure Number:

5.01

Applicable CFA’s:

CFA Standard: 5.01 Issue Date:

July 1, 2009

Approval Signature: Effective: July 1, 2009

Amended: July 1, 2016

Robert E. Clift, Inspector General

Chapter 5 Procedure 5.01 – Security of Records

Purpose: This procedure establishes guidelines for ensuring the privacy and security of investigation records.

Authority: Section 20.055, Florida Statutes (F.S.)

Applicability: This procedure applies to the Inspector General and all members in the Investigations Section.

Definitions: Investigations Section is defined as a unit within the Office of Inspector General responsible for completing the investigative provisions of Section 20.055, F.S. Designated Secure Area is defined as a room or cabinet located in the Investigations Section secured by a locking device.

Procedures: All Investigations Section staff members will have secure offices in which active case files can be maintained. Completed and closed investigative case files will be maintained in a designated secure area, which ensures all records associated with investigations shall be maintained in a private and secure manner.

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Florida Department of Transportation Office of Inspector General

Investigations Section Procedures Manual

Procedure 5.03 Page 1 of 2

Subject: Case Supporting Materials and Evidence Procedure Number:

5.03

Applicable CFA’s:

CFA Standard: 5.03 Issue Date:

July 1, 2009

Approval Signature: Effective: July 1, 2009

Amended: July 1, 2016

Robert E. Clift, Inspector General

Chapter 5 Procedure 5.03 – Security of Evidence, and Case Supporting Material

Purpose: This procedure establishes guidelines for the storage of evidence, and case supporting materials in designated secure areas.

Authority: Section 20.055, Florida Statutes (F.S.)

Applicability: This procedure applies to the Inspector General and all members in the Investigations Section.

Definitions: Investigations Section is defined as a unit within the Office of Inspector General responsible for completing the investigative provisions of Section 20.055, F.S. Case Supporting Materials are defined as items gathered during the course of an administrative investigation (e.g. documents, statements, photographs, computer files or similar materials) which are relevant to the investigation. Evidence is defined as items gathered during a criminal investigation and specifically relating to a criminal allegation. Designated Secure Area is defined as a room or cabinet located in the Investigations Section secured by a locking device.

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Procedure 5.03 Page 2 of 2

Procedures:

I. Case Supporting Materials: All case supporting materials associated with investigations shall be maintained in a secure manner.

a. All Investigations Section staff members will have secure offices in which active case files can be maintained.

b. Completed and closed investigative case files will be maintained in a designated secure area.

II. Evidence: Evidence will be maintained by the law enforcement or prosecuting entity

participating in the investigation of criminal allegations.

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Investigations Section Procedures Manual

Procedure 6.01 Page 1 of 3

Subject: Whistle-blower’s Act Procedure Number:

6.01

Applicable CFA’s:

CFA Standard: 6.01 Issue Date:

July 1, 2009

Approval Signature:

Effective: July 1, 2009

Amended: July 1, 2016

Robert E. Clift, Inspector General

Chapter 6 Procedure 6.01 – Whistle-blower’s Act

Purpose: This procedure establishes requirements for ensuring compliance with the Florida Whistle-blower’s Act.

Authority: Sections 20.055 and 112.3187-112.31895, Florida Statutes (F.S.)

Applicability: This procedure applies to the Inspector General and all members in the Investigations Section.

Definitions: Investigations Section is defined as a unit within the Office of Inspector General responsible for completing the investigative provisions of Section 20.055, F.S. Office of the Chief Inspector General is defined as the statutorily mandated office responsible for multiple functions including coordination of the activities of the Whistle-blower’s Act. Complaint is defined as the report of an issue, matter or allegation to the Office of Inspector General.

Procedures:

I. Complaint Intake [CFA 6.01A]

a. The Investigations Section will fully comply with the requirements of Sections112.3187-112.31895, F.S., the Whistle-blower’s Act.

b. Each complaint received by the Investigations Section will receive a documented review to determine if the provisions of the Whistle-blower’s Act could apply.

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c. If it is determined by the Inspector General, or designee, that the provisions of the Whistle-blower’s Act do not apply, the complaint will be handled according to Chapter 4 of the Investigations Section Procedures Manual.

d. If it is determined by the Inspector General, or designee, that the provisions of the Whistle-blower’s Act may apply, provisions outlined in the Whistle-blower Determination Protocol Guide, as issued and updated by the Office of the Chief Inspector General, will be followed.

II. Confidentiality [CFA 6.01B]

a. All staff members within the Investigations Section will adhere to the confidentiality

provisions of Section 112.3188, F.S. b. Confidentiality provisions include:

1. The name and identity of any individual who has been determined to be a whistle-blower; and

2. All information received, produced or derived from fact-finding until the case is no longer active, except as specifically authorized by Section 112.3189, F.S.

c. The Inspector General may disclose information deemed confidential under the following exceptions:

1. If it is determined the disclosure of the information is absolutely necessary to prevent a substantial and specific danger to the public’s health, safety or welfare;

2. In order to prevent the imminent commission of a crime; or 3. The whistle-blower may provide written consent in the form of a waiver for

the release of his/her identity.

III. Timeframes, with Justified and Documented Exceptions [CFA 6.01C]

a. Timeframes outlined in the Whistle-blower’s Act will be strictly followed. Any request for extension to these timeframes will be made in writing to the Office of the Chief Inspector General as outlined in the Whistle-blower Determination Protocol Guide.

b. Extension requests will include good cause for the request. All extension requests and approvals will be documented in the investigative case file.

IV. Notification to the Florida Department of Law Enforcement [CFA 6.01D]

a. If it is discovered during the course of a Whistle-blower investigation that a criminal

violation may have occurred, notification will be made to the Florida Department of Law Enforcement.

V. Response to Final Report [CFA 6.01F]

a. The complainant shall be advised in writing that the complainant may submit to the

Chief Inspector General and Inspector General comments on the final report within 20 days of the date of the report and that such comments will be attached to the final report.

b. Any responses received by the complainant will be reviewed by the Inspector General,

or designee, and the Director of Investigations who will determine whether additional

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investigative work is needed. The complainant's comments and any rebuttal will be attached to the final report.

VI. Final Report Dissemination [CFA 6.01G]

a. As required by Section 112.3189(6)(b), F.S., within 60 days following the

determination that an investigation is warranted, a final written report that sets forth the findings, conclusions and recommendations, except where an investigation produces evidence of a criminal violation, will be sent to the complainant and the Chief Inspector General’s Office.

b. The Office of the Chief Inspector General will disseminate a redacted copy of the final

written report to the statutorily mandated recipients.

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Procedure 7.01 Page 1 of 2

Subject: Notification Process

Procedure Number:

7.01

Applicable CFA’s:

CFA Standard: 7.01 Issue Date:

July 1, 2009

Approval Signature: Effective: July 1, 2009

Amended: July 1, 2016

Robert E. Clift, Inspector General

Chapter 7

Procedure 7.01 – State Agency Contractor Investigation Notification

Purpose: This procedure establishes the process for providing required notifications to entities contracting with the state.

Authority: Section 20.055, Florida Statutes (F.S.)

Applicability: This procedure applies to the Inspector General and all members in the Investigations Section.

Definitions: Investigations Section is defined as a unit within the Office of Inspector General responsible for completing the investigative provisions of Section 20.055, F.S. Entities contracting with the state means for-profit and not-for-profit organizations or businesses having a legal existence, such as corporations or partnerships, to provide for consideration certain goods or services to the state agency or on behalf of the state agency. The relationship may be evidenced by payment by warrant or purchasing card, contract, purchase order, provider agreement or other such mutually agreed upon relationship. This definition does not apply to entities which are the subject of audits or investigations conducted pursuant to Sections 112.3187-112.31895, F.S., or Section 409.913, F.S., or which are otherwise confidential and exempt under Section 119.07, F.S.

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Procedures: Notifications: If it is determined by the Inspector General or the Director of Investigations that the subject of an investigation is an entity contracting with the state as defined in accordance with Section 20.055 (7)(e), F.S., the following activities must occur:

a. At the conclusion of the investigation, provided the investigation is not confidential or otherwise exempt from disclosure by law, consistent with Section 119.07(1), F.S, a copy of the investigative findings will be provided to the subject. [CFA 7.01A]

b. A letter to the subject will accompany the investigative findings and advise the subject they may submit a written response within 20 working days after the receipt of the investigative findings. [CFA 7.01B]

c. The letter will also notify the subject their responses and the Inspector General’s rebuttal to the response, if any, will be included in the final investigative report. [CFA 7.01C]

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Subject: Notification Process

Procedure Number:

7.03

Applicable CFA’s:

CFA Standard: 7.03 Issue Date:

July 1, 2009

Approval Signature:

Effective: July 1, 2009

Amended: July 1, 2016

Robert E. Clift, Inspector General

Chapter 7

Procedure 7.03 – State Agency Contractor Employee Investigation Notification

Purpose: This procedure establishes the process for providing required notifications to individuals substantially affected by the findings, conclusions or recommendations of a state agency Inspector General investigation, but not currently afforded an existing right to an independent review process.

Authority: Section 20.055, Florida Statutes (F.S.)

Applicability: This procedure applies to the Inspector General and all members in the Investigations Section.

Definitions: Investigations Section is defined as a unit within the Office of Inspector General responsible for completing the investigative provisions of Section 20.055, F.S. Individuals substantially affected means natural persons who have established a real and sufficiently immediate injury in fact due to the findings, conclusions or recommendations of a final report of a state agency inspector general, who are the subject of the audit or investigation and who do not have or are not currently afforded an existing right to an independent review process. Employees of the state, including career service, probationary, other personnel service, selected exempt service and senior management service employees, are not covered by this definition. This definition also does not cover former employees of the state if the final report of the state agency inspector general relates to matters arising during a former employee's term of state employment. This definition does not apply to persons who are the subject of audits or investigations conducted pursuant to Sections 112.3187-112.31895, F.S., or Section 409.913, F.S., or which are otherwise confidential and exempt under Section 119.07, F.S.

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Procedures: Notifications: If it is determined by the Inspector General or the Director of Investigations that the subject of an investigation is an individual substantially affected as defined in accordance with Section 20.055 (7)(e), F.S., the following activities must occur:

a. At the conclusion of an investigation, provided the investigation is not confidential or otherwise exempt from disclosure by law, consistent with Section 119.07(1), F.S., a copy of the investigative findings will be provided to the subject. [CFA 7.03A]

b. A letter to the subject will accompany the investigative findings and advise the subject they may submit a written response within 20 working days after the receipt of the investigative findings. [CFA 7.03B]

c. The letter will also notify the subject their responses and the Inspector General’s rebuttal to the response, if any, will be included in the final investigative report. [CFA 7.03C]

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Procedure 7.05 Page 1 of 1

Subject: Notification Process Procedure Number:

7.05

Applicable CFA’s:

CFA Standard: 7.05 Issue Date:

July 1, 2009

Approval Signature:

Effective: July 1, 2009

Amended: July 1, 2016

Robert E. Clift, Inspector General

Chapter 7 Procedure 7.05 – State Agency

Inspector General Complaint Notifications

Purpose: This procedure establishes the process by which proper notifications will be made in the event complaints or allegations of misconduct are received related to the Office of Inspector General or its employees.

Authority: Section 20.055, Florida Statutes (F.S.)

Applicability: This procedure applies to the Inspector General and all members in the Investigations Section.

Definitions: Investigations Section is defined as a unit within the Office of Inspector General responsible for completing the investigative provisions of Section 20.055, F.S. Inspector General is defined as the head of the Office of Inspector General as outlined by Section 20.055, F.S. Office of the Chief Inspector General is defined as the statutorily mandated office responsible for multiple functions including coordination of the activities of the Whistle-blower’s Act.

Procedures: Notifications: The Inspector General shall provide to the Department of Transportation Secretary and Chief Inspector General, upon receipt, all written complaints concerning the duties and responsibilities as stated in Section 20.055, F.S., or any allegation of misconduct related to the Office of the Inspector General or its employees, if received from subjects of investigations who are individuals substantially affected or entities contracting with the state.

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Subject: Case Management Procedure Number:

8.01

Applicable CFA’s:

CFA Standard: 8.01 Issue Date:

July 1, 2016

Approval Signature: Effective: July 1, 2016 Amended:

Robert E. Clift, Inspector General

Chapter 8 Procedure 8.01 – Case Tracking System

Purpose: This procedure establishes case tracking procedures used by the Investigations Section.

Authority: Section 20.055, Florida Statutes (F.S.)

Applicability: This procedure applies to the Inspector General and all members in the Investigations Section.

Definitions: Investigations Section is defined as a unit within the Office of Inspector General responsible for completing the investigative provisions of Section 20.055, F.S.

Procedures: The Inspector General, Director of Investigations or their designee will document the following information on the Investigation’s Section Case Management System:

a. Type of case; (CFA 8.01A) b. Assigned Investigator; (CFA 8.01B) c. Date assigned; (CFA 8.01C) d. A summary or listing of allegations; (CFA 8.01D) e. Current status. (CFA 8.01E)

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Subject: Case Management Procedure Number:

8.02

Applicable CFA’s:

CFA Standard: 8.02 Issue Date:

July 1, 2009

Approval Signature: Effective: July 1, 2009

Amended: July 1, 2016

Robert E. Clift, Inspector General

Chapter 8 Procedure 8.02 – Case File Organization

Purpose: This procedure establishes the case file organization used by the Investigations Section.

Authority: Section 20.055, Florida Statutes (F.S.)

Applicability: This procedure applies to the Inspector General and all members in the Investigations Section.

Definitions: Investigations Section is defined as a unit within the Office of Inspector General responsible for completing the investigative provisions of Section 20.055, F.S.

Procedures: The Investigations Section will include the following information in the investigative case files.

a. Intake Form; (CFA 8.02A) b. Initial Complaint; (CFA 8.02B) c. Initial Case Plan; (CFA 8.02C) d. Florida Whistle-blower analysis, if applicable; (CFA 8.02D) e. Interviews; (CFA 8.02E) f. Evidence and supporting documentation; (CFA 8.02F) g. Referral documentation, when applicable; (CFA 8.02G) h. Final report of investigation, with exhibits/and attachments when applicable; and

(CFA 8.02H) i. Management’s response to Inspector General’s recommendations, if applicable

(CFA 8.02I)

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Subject: Case Management Procedure Number:

8.03

Applicable CFA’s:

CFA Standard: 8.03 Issue Date:

July 1, 2009

Approval Signature: Effective: July 1, 2009

Amended: July 1, 2016

Robert E. Clift, Inspector General

Chapter 8 Procedure 8.03 – Record Retention

Purpose: This procedure establishes guidelines for the storage, receipt and archival of case file materials.

Authority: Chapters 119 and 257, Florida Statutes (F.S.); Rule Chapters 1B-24 and 1B-26, Florida Administrative Code; Florida Department of State, General Records Schedule GS1-SL for State and Local Government Agencies; and Florida Department of Transportation, Procedure No. 050-020-025, Records Management (General Records Schedule GS2 is for law enforcement).

Applicability: This procedure applies to the Inspector General and all members in the Investigations Section.

Definitions: Investigations Section is defined as a unit within the Office of Inspector General responsible for completing the investigative provisions of Section 20.055, F.S.

Procedures: The Office of Inspector General will comply with all provisions of the requirements established by the Florida Department of State for storage, receipt, archival and purging of official records and documents. [CFA 8.03]

a. Retention of Inspector General Investigative Records is five anniversary years after final action provided applicable audits have been released.

b. Retention of Whistle-blower Investigative Records is five anniversary years after case closed or conclusion of any litigation that may ensue provided applicable audits have been released.

c. Records surpassing the mandated retention period may be destroyed within the Office of Inspector General with the approval of the Inspector General.

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Procedure 9.01 Page 1 of 2

Subject: Final Reporting Process Procedure Number:

9.01

Applicable CFA’s:

CFA Standard: 9.01 Issue Date:

July 1, 2009

Approval Signature: Effective: July 1, 2009

Amended: July 1, 2016

Robert E. Clift, Inspector General

Chapter 9 Procedure 9.01 – Conclusions of Fact

Purpose: This procedure describes various conclusions of fact used by the Investigations Section.

Authority: Section 20.055, Florida Statutes (F.S.)

Applicability: This procedure applies to the Inspector General and all members in the Investigations Section.

Definitions: Investigations Section is defined as a unit within the Office of Inspector General responsible for completing the investigative provisions of Section 20.055, F.S. Proved means clear and convincing evidence has been established which is highly and substantially more probable to be true than not true that a violation of law, policy, rule or contract has occurred. Disproved means clear and convincing evidence has been established which is highly and substantially more probable to be true than not true that a violation of law, policy, rule or contract has not occurred. Inconclusive means clear and convincing evidence has not been established to support a proved or disproved conclusion that a violation of law, policy, rule or contract has occurred. Resolved by Department means during the course of the investigation, the department took “routine administrative action” to resolve the issue. Administratively Closed means a preliminary inquiry failed to disclose sufficient facts to warrant a substantive investigation.

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Procedures: Conclusions of Fact

a. The Investigations Section will use the following conclusions of fact to categorize investigative findings:

1. Proved; 2. Disproved; 3. Inconclusive; 4. Resolved by Department; and 5. Administratively Closed.

b. The Inspector General may elect to terminate an investigation without reaching a conclusion of fact, listed above, for any reason such as the subject employee terminated employment or consideration of the investigative costs.

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Subject: Final Reporting Process Procedure Number:

9.02

Applicable CFA’s:

CFA Standard: 9.02 Issue Date:

July 1, 2009

Approval Signature: Effective: July 1, 2009

Amended: July 1, 2016

Robert E. Clift, Inspector General

Chapter 9 Procedure 9.02 – Final Report Distribution

Purpose: This procedure establishes guidelines for distributing investigative reports.

Authority: Section 20.055, Florida Statutes (F.S.)

Applicability: This procedure applies to the Inspector General and all members in the Investigations Section.

Definitions: Investigations Section is defined as a unit within the Office of Inspector General responsible for completing the investigative provisions of Section 20.055, F.S.

Procedures: Final Report Distribution

a. Upon signature by the Inspector General, or designee, final investigative reports will be distributed to the Florida Department of Transportation Secretary; the senior agency official of the affected Florida Department of Transportation district or work unit; and any other parties deemed necessary by the Inspector General on a case by case basis.

b. Whistle-blower reports will be distributed according to Procedure 6.01 in the Investigations Section Procedures Manual.

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Subject: Final Reporting Process Procedure Number:

9.03

Applicable CFA’s:

CFA Standard: 9.03 Issue Date:

July 1, 2009

Approval Signature: Effective: July 1, 2009

Amended: July 1, 2016

Robert E. Clift, Inspector General

Chapter 9 Procedure 9.03 – Post Investigative Responses

Purpose: This procedure establishes the guidelines for addressing post investigative responses to investigative reports.

Authority: Section 20.055, Florida Statutes (F.S.)

Applicability: This procedure applies to the Inspector General and all members in the Investigations Section.

Definitions: Investigations Section is defined as a unit within the Office of Inspector General responsible for completing the investigative provisions of Section 20.055, F.S.

Procedures: Post Investigative Response

a. A documented review of issues raised will be completed on any response received regarding an investigation. The Inspector General, and the Director of Investigations will review any responses received to:

1. Determine if additional investigative activity is necessary; or 2. Determine if a response from the Inspector General is necessary.

[CFA 9.03A] b. Any response received regarding an investigation, and any reply, will be maintained in

the investigative case file. [CFA 9.03B]

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Subject: Final Reporting Process Procedure Number:

9.04

Applicable CFA’s:

CFA Standard: 9.04 Issue Date:

July 1, 2009

Approval Signature: Effective: July 1, 2009

Amended: July 1, 2016

Robert E. Clift, Inspector General

Chapter 9 Procedure 9.04 – Law Enforcement Notification

Purpose: This procedure establishes guidelines for documented timely notification to appropriate law enforcement officials when there are reasonable grounds to believe a criminal violation has occurred.

Authority: Section 20.055, Florida Statutes (F.S.)

Applicability: This procedure applies to the Inspector General and all members in the Investigations Section.

Definitions: Investigations Section is defined as a unit within the Office of Inspector General responsible for completing the investigative provisions of Section 20.055, F.S.

Procedures: Notification to Law Enforcement

a. Investigations Section staff members will immediately notify the Director of Investigations, or designee, when there are reasonable grounds to believe a criminal violation has occurred.

b. The Inspector General, or designee, will provide notification to the Florida Department of Law Enforcement, or other appropriate law enforcement agency, complete with any case supporting material pertinent to the investigation.

c. Notification and coordination with law enforcement agencies will be documented in the investigative case file.