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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

  • 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-blowers Act

    Procedure 6.01 Whistle-blowers 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

  • 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

  • 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 CFAs:

    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.

  • 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.

  • Florida Department of TransportationOffice of Inspector General

    Investigations SectionProcedures Manual

    Procedure 1.02Page 1 of 1

    Subject: Organization and Governing PrinciplesProcedureNumber:

    1.02

    ApplicableCFAs:

    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 Generals SharePointsite, which is available to all Investigations Section members. In addition, this missionstatement is posted in the Investigations section and can be found by each staffmember on the sections telephone contact card.

  • 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 CFAs:

    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.

  • 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 CFAs:

    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.

  • 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 Generals SharePoint site, which is available to all Investigations Section members. The organizational chart is updated as changes occur.

  • 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 CFAs:

    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.

  • 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 Generals 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.

  • 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 CFAs:

    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, Conf...

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