1. Investigations Section

2. Authorized in Section 20.055, Florida Statutes Section 20.055, Florida Statutes (F.S.) authorizes the Inspector General to conduct investigations and other inquiries free of actual or perceived impairment to the independence of the OIG or the OIG’s office. This shall include freedom from any interference with investigations and timely access to records and other sources of information. The OIG shall initiate, conduct, supervise, and coordinate investigations designed to detect, deter, prevent, and eradicate fraud, waste, mismanagement, misconduct, and other abuses in state government.

3. Organization Inspector (10) Investigator Management Analyst Administrative Assistant II

4. Responsibilities The Inspector General will keep the Executive Director informed concerning fraud, abuses, and deficiencies relating to programs and operations administered or financed by the Department, recommend corrective action concerning fraud, abuses, and deficiencies, and report on the progress made in implementing corrective action. Section 20.055(2)(f), F.S.

5. Standards Investigations must be conducted in accordance with the current Principles and Standards for the Offices of Inspector General as published by the Association of Inspectors General. Section 20.055(2)(j), F.S.

6. Independence The Inspector General reports to and is under the general supervision of the Executive Director and is not subject to supervision by any other member of the Department. Neither the Department head nor Department staff shall prevent or prohibit OIG staff from initiating, carrying out, or completing an investigation. Conduct investigations in a fair and impartial manner and findings and evidence are based on evidence collected and not at the direction of management. Section 20.055(3) and (6), F.S.

7. Code of Ethics Inspectors are expected to apply and uphold the following principles: Integrity Objectivity Confidentiality Competency

8. Access to Information Inspectors examine and need access to a lot of information to do their jobs. Section 20.055 (5)(c), F.S. states, “The inspector general and the staff shall have access to any records, data, and other information of the state agency he or she deems necessary to carry out his or her duties. The inspector general is also authorized to request such information or assistance as may be necessary from the state agency or from any federal, state, or local government entity.”

9. Complaint Process Complaint Intake, Assessment, and Assignment - This function is a collaborative exercise among the Inspector General, respective Division Staff, and the Bureau of Personnel Services. Complaints can be directed to the Executive Director, the Inspector General, other Executive Leadership Team members, or they may be referred to the Department from the Governor, the Attorney General, other agency heads or other Inspectors General. Discussions regarding complaint assessment and assignment routinely occur and are guided by the scope of the work table below.

10. Complaint Process (Cont.) Office of Inspector General - Criminal and Administrative Investigations involving department members. Examples – Whistle-blower complaints Sexual harassment Hostile workplace Department contractors Operation unit performance issues (waste, fraud, and abuse) Use of excessive force Criminal mischief Criminal conduct Breaches of civil rights Corruption Misconduct Bureau of Personnel Services - Specific types of complaint intake and development of Standards of Disciplinary Actions. Examples – Discrimination – Intake Officer – Department Policy 3.05Policy 3.05 Sexual Harassment – Intake Officer – Department Policy 3.05Policy 3.05 Disciplinary Process – includes complaint handling and some investigative procedures – Department Policy 3.06Policy 3.06

11. Investigative Process Investigative Case Plan - A written and approved case plan will be developed early in the investigative process to ensure that objectives are met within anticipated time frames; elements of the complaint are linked to potential violations; needed resources are identified; witness and subject lists are developed; and evidence is identified, located, and obtained. In an administrative investigation conducted by the OIG, members are required to cooperate, answer questions, answer questions truthfully, and not make an omission or misstatement of material fact, pursuant to current discipline policy. (MP 3.06)

12. Investigative Process (Cont.) In an administrative investigation the compelled statement, except for perjury, can not be used against the subject (or a member) in a criminal case. The OIG makes every attempt to complete investigations in a timely manner. Timeliness may be affected by investigations that are complex, include many allegations, have criminal violations, whistle- blower, or investigator caseload and/or priorities.

13. Interviews In an OIG investigation, the complainant(s), witnesses, and the subject(s) are interviewed. The OIG conducts sworn (under oath) recorded interviews. On an exception basis the OIG may use interrogatory affidavits. A complainant is someone that makes allegations of fraud, waste, mismanagement, misconduct, and other abuses in state government. A witness is someone who may either support or not support allegations. A subject is someone that is alleged to have committed a wrongdoing(s).

14. Interviews (Cont.) Usually the subject is interviewed after the complainant and all witnesses are interviewed. In addition to interviews, the OIG will also collect other evidence to prove or disprove allegations. OIG interviews of members are considered work time and members should not have to take leave to attend the interviews.

15. Interviews (Cont.) Members should not discuss their interviews with other members or management especially in a confidential investigation. Management should not restrict the access of members to contact the OIG or indicate to members that they should not contact the OIG with their complaints. Members do not have to obtain approval from management to communicate with the OIG. In addition, when completing affidavits for the OIG, members do not have to share a copy with management or have management review the document before sending it to the OIG.

16. Reports The findings of an OIG investigation will be: Sustained; Not sustained; Unfounded; Exonerated; or Policy Failure. The OIG sends final investigative reports to the Executive Director, except for whistle-blower investigations, which are reported pursuant to Section 112.3189, F. S. The OIG does not recommend discipline in investigative reports.

17. Reports (Cont.) Investigative Reports and Responses – Investigative reports are the culmination of a thorough and professionally conducted investigative process. As such, investigative reports must clearly communicate the relevant aspects of the investigation, all allegations investigated, and conclusions regarding those allegations. The Inspector General will submit investigative summaries to the Executive Director in a timely manner. In the event the subject of the investigation is a specific entity contracting with the State or an individual substantially affected, as defined in Section 20.055, Florida Statutes, they will be provided the findings and advised in writing that they may submit a written response within twenty (20) working days after receipt of the findings. Any responses received and the Inspector General’s rebuttal to the responses, if any, shall be included in the final investigative report.

18. Annual Report Not later than September 30 of each year, the DHSMV IG submits an annual report to the Executive Director summarizing the activities of the office during the preceding fiscal year. Included in this report is a summarization of the investigative activities of the DHSMV IG. Section 20.055(7), F.S.

19. Contact the Inspector General Office of Inspector General 2900 Apalachee Parkway Tallahassee, Florida 32399 Phone (850) 617-3104 FAX (850) 617-5124 InspectorGeneral@flhsmv.gov