1. The Office of Inspector General MEETING OF THE PARTNERS’ COUNCIL Integrity and Transparency Orlando, Florida May 11, 2010 The Office of Inspector General MEETING OF THE PARTNERS’ COUNCIL Integrity and Transparency Orlando, Florida May 11, 2010 James F. Mathews, CIG

2. OBJECTIVES  Review the Organizational Structure of the Office of Inspector General;  Provide overview of the Investigative function;  Note Challenges to Transparency;

3. The Inspector General must wear many hats:

4. Organizational Structure of the Office of Inspector General

5. The staff of the Office of Inspector General. Back row from left: Bob Montpellier, John Smith, Philip Arnold, James Mathews, Philip Wilcox and Carolyn McGriff. Front row from left: Shirley Moore, Sherita Keys-Addison and Valerie Fitzpatrick. Our Team of Professionals

6. AUTHORITY & GUIDANCE  Section 20.055, Florida Statutes— Agency inspectors general;  Section112.3187-112.31895, Florida Statutes—Whistleblower’s Act;  Principles & Standards for Offices of Inspector General as adopted by the National Association of Inspectors General;

7. Central point of coordination of and responsibility for activities that promote accountability, integrity, and efficiency in government; 20.055(2)

8. §20.055 (6), Florida Statutes, says: In carrying out the investigative duties and responsibilities, each inspector general shall initiate, conduct, supervise and coordinate investigations designed to detect, deter, prevent and eradicate fraud, waste, mismanagement, misconduct and other abuses.

9. The Office of Inspector General: Receives, evaluates and considers complaints; Evaluates complaints for criteria for an investigation under the Whistleblower’s Act; Coordinates with law enforcement agencies when necessary; Conducts investigations free of impairment; Produces investigative reports; Makes appropriate recommendations At conclusion of the investigation, provides substantially affected individuals and contractors the opportunity to review the findings and submit a written response, if so desired.

10.  You;  USDOL IG-(Investigative Offices in Jacksonville and Ft. Lauderdale);  Governor’s Chief Inspector General – Investigation Section;  Auditor General  GAO;  USDOL /HHS Regional Staffs;  Florida Department of Law Enforcement;  Local Law Enforcement (Police, Sheriffs and States Attorney)  State Government (Attorney General’s Office/Other IGs).

11. Areas most likely to trigger an Investigation  Criminal Acts (definite);  Misuse of funds;  Conflict of Interest;  Mistreatment of individuals; Management/Staff/Customer conduct  Fraud;  Flawed Contracting/Procurement;  Program Abuse;

12. Transparency  Investigations(work-papers, interviews, etc) are public records;  Gives you 20 working days to respond to investigative findings.  Only in whistle-blower cases can the investigation be kept confidential to the end and the whistle-blower can never be identified.

13. The Reaches of Transparency Every citizen/interested party has the right to access records, (IG reports, complaints, Interviews, etc.) unless exempted by law, including:  The news media;  Other entities of government(i.e. federal, state and local);  Private businesses;  Staff within your organization and ours;

14.  Complaints come from many different sources;  Citizens;  RWB Staff  Chief Inspector General;  Governor’s Office; Office of the Attorney General; Chief Financial Officer and others;  Public and Private Entities.

15.  Complainants can telephone the OIG directly;  Or email IG staff from the AWI website (http://www.floridajobs.org);http://www.floridajobs.org  Or complete an Incident Report in accordance with agency policy (also available on the AWI website-mirror process called for in 20 CFR 667.630 for Workforce Investment Act Programs);  Or via regular mail;  Or fax to (850) 245-7144;  Complaints come from many different sources.

16. Challenges to Transparency Complainants may:  File anonymously or hold back information due to fear of retaliation, especially if they are employees;  Fear their complaints may not be taken seriously;  Fear confidentiality may not be protected.

17. Organizations prevent Transparency when they:  Think some complaints are petty or are a waste of time (such as anonymous complaints) before full assessment;  Think because previous audits or monitors did not identify the concern, the complaint is not valid;  Cause employees to be fearful to talk openly to auditors, monitors, or investigators (either intentionally or unintentionally);  Procrastinate-delay addressing expressed concerns;  Provide incomplete information when requested;

18.  Allow employees not to share all the facts;  Discourage reporting, intentionally or unintentionally;  Hide mistakes;  Lack basic awareness of organization’s activities, expenditures, etc.

19. Office of Inspector General 850-245-7135 James F. Mathews, CIG 850-245-7141 Philip Wilcox, Investigations Manager 850-245-7143 Robert Montpellier Valerie Fitzpatrick