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CIG Final Report

CIG Final Report

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Section 14.32, F.S., Office of Chief Inspector General, contains the following
information in pertinent parts:

(1) There is created in the Executive Office of the Governor the Office of
Chief Inspector General. The Chief Inspector General shall be
responsible for promoting accountability, integrity, and efficiency in the
agencies under the jurisdiction of the Governor. The Chief Inspector
General shall be appointed by and serve at the pleasure of the Governor.

(2) The Chief Inspector General shall:

(b) Investigate, upon receipt of a complaint or for cause, any
administrative action of any agency, the administration of which is under
the direct supervision of the Governor, regardless of the finality of the
administrative action.

(i) Act as liaison and monitor the activities of the inspectors general in the
agencies under the Governor’s jurisdiction.

Section 20.055, F.S., Agency Inspectors General, contains the following
information in pertinent parts:

(2) The Office of Inspector General is hereby established in each state
agency to provide a central point for coordination of and responsibility for
activities that promote accountability, integrity, and efficiency in
government. It shall be the duty and responsibility of each inspector
general, with respect to the state agency in which the office is established,
to:

(d) Provide direction for, supervise, and coordinate audits, investigations,
and management reviews relating to the programs and operations of the
state agency …

16

The Florida Department of Law Enforcement OIG provided assistance to the CIG for this review.

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CIG Report # 201111160005

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(e) Conduct, supervise, or coordinate other activities carried out or
financed by that state agency for the purpose of promoting economy and
efficiency in the administration of, or preventing and detecting fraud and
abuse in, its programs and operations.

(j) Comply with the General Principles and Standards for Offices of
Inspector General as published and revised by the Association of
Inspectors General.

(6) In carrying out the investigative duties and responsibilities specified in
this section, each inspector general shall initiate, conduct, supervise, and
coordinate investigations designed to detect, deter, prevent, and eradicate
fraud, waste, mismanagement, misconduct, and other abuses in state
government. For these purposes, each inspector general shall:

(b) Receive and consider the complaints which do not meet the criteria for
an investigation under the Whistle-blower’s Act and conduct, supervise, or
coordinate such inquiries, investigations, or reviews as the inspector
general deems appropriate.

(c) Report expeditiously to the Department of Law Enforcement or other
law enforcement agencies, as appropriate, whenever the inspector
general has reasonable grounds to believe there has been a violation of
criminal law.

(d) Conduct investigations and other inquiries free of actual or perceived
impairment to the independence of the inspector general or the inspector
general’s office. This shall include freedom from any interference with
investigations and timely access to records and other sources of
information.

(e) At the conclusion of each investigation in which the subject of the
investigation is a specific entity contracting with the state[17

] or an

individual substantially affected[18

] as defined by this section, and if the

17

As defined in 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, as
opposed to natural persons, which have entered into a relationship with a state agency as defined in
paragraph (a) 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.

18

As defined in 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 personal service, Selected

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investigation is not confidential or otherwise exempt from disclosure by
law, the inspector general shall, consistent with section 119.07(1), [F.S.],
submit findings to the subject that is a specific entity contracting with the
state or an individual substantially affected, who shall be advised in writing
that they may submit a written response within 20 working days after
receipt of the findings. Such response and the inspector general’s rebuttal
to the response, if any, shall be included in the final investigative report.

(8) The inspector general in each agency shall provide to the agency
head, upon receipt, all written complaints concerning the duties and
responsibilities in this section or any allegation of misconduct related to
the office of the inspector general or its employees, if received from
subjects of audits or investigations who are individuals substantially
affected or entities contracting with the state, as defined in this section.
For agencies solely under the direction of the Governor, the inspector
general shall also provide the complaint to the Chief Inspector General.

Principles and Standards for Offices of Inspector General, as published and
revised by the Association of Inspectors General, May 2004 Revision, also known
as the “Green Book,” under the section entitled
Quality Standards For
Investigations By Offices of Inspector General contains the following information:

General Standards

A. Staff Qualifications

The first general standard for OIG investigative organizations is:

Individuals assigned to conduct the investigative activities
should collectively possess the knowledge, skills, and
experience required for the investigative work.

Guidelines

The General Standard of Staff Qualifications contained in the Quality
Standards for Offices of Inspector General shall apply to investigations
performed by OIG staff.

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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B. Independence

The second general standard for OIG investigative organizations is:

The Inspector General and OIG staff involved in performing or
supervising any investigative assignment must be free from
personal or external impairments to independence and should
constantly maintain an independent attitude and appearance.

Guidelines

The General Standard of independence contained in the Quality
Standards for Offices of Inspector General should apply to
investigations performed by OIG staff.

C. Due Professional Care

The third general standard for OIG investigative organizations is:

Due professional care should be used in conducting
investigations and in preparing accompanying reports.

Guidelines

Exercising due professional care means using good judgment in
choosing investigation subjects and methodology as well as creating
accurate and complete investigation documentation and investigative
reports. Due professional care presumes a working knowledge
consistent with investigation objectives.

Due professional care requires:

• Standards – OIGs and their investigators should follow the
Associations [sic] professional standards and comply with
applicable standards of conduct.

• Thoroughness – Investigations should be conducted in a diligent
and complete manner, and reasonable steps should be taken to
ensure that sufficient relevant evidence is collected; pertinent
issues are sufficiently resolved; and appropriate criminal, civil,
contractual, or administrative remedies are considered.

• Legal Requirements – Investigations should be initiated, conducted,
and reported in accordance with (a) all applicable laws, rules, and
regulations; (b) guidelines from applicable prosecutorial authorities;
and (c) internal agency policies and procedures. Investigations will

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10

be conducted with due respect for rights and privacy of those
involved.

• Appropriate Techniques – Methods and techniques used in each
investigation should be appropriate for the circumstances and
objectives.

• Objectivity – Evidence should be gathered and reported in a fair,
unbiased manner in an effort to determine the validity of alleged
improprieties or evaluate the likelihood of violations of statutes,
rules, or regulations.

• Ethics – At all times the actions of the OIG investigators should
conform with the high standards expected of OIG staff.

• Timeliness – Investigations must be conducted in a timely manner
while recognizing the individual complexities of each investigation.

• Accurate and Complete Documentation – Investigative findings,
conclusions, and outcomes (such as indictments, convictions, and
recoveries) should be supported by adequate documentation,
including investigator notes, court orders of judgment and
commitment, suspension or debarment notices, settlement
agreements, and other documents) [sic] in the case file.

• Coordination – Appropriate OIG staff should coordinate
investigations with appropriate officials. In cases where civil or
administrative actions are necessary, appropriate OIG staff should
coordinate actions with prosecutors and other appropriate officials.

Qualitative Standards

C. Data Collection and Analysis

The third qualitative standard for OIG investigative organizations is:

Information and data gathered during an investigation should
be carefully documented and organized relative to case
objectives.

Guidelines

Appropriate investigative techniques should be chosen and employed
to ensure that the data gathered are sufficiently reliable for making
judgments regarding the matters being investigated.

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Sources of investigative information should be documented in sufficient
detail to provide a basis for assessing its reliability. Such
documentation should address pertinent questions related to the
objectives of the investigation and provide information needed to
determine the facts relative to potential violations of laws, rules,
regulations, policies and procedures.

Data gathered and analyzed as part of the investigation should be
accurately interpreted, logically presented, and maintained in the
investigative case file. The basis and support for the results of
investigations should be carefully organized and described in the
investigative case file.

D. Evidence

The fourth qualitative standard for OIG investigative organizations is:

Sufficient, competent, and relevant evidence is to be obtained
to afford a reasonable basis for the investigative findings and
conclusions.

Guidelines

• Evidence is sufficient if there is enough of it to support the report’s
findings.

• Evidence used to support findings is relevant if it has logical,
sensible relationships to those findings.

• Evidence is competent to the extent that it is consistent with fact

(valid).

F. Reporting

The sixth qualitative standard for OIG investigative organizations is:

Where appropriate, investigative activity should result in a
timely referral for criminal prosecution or written report. All
reports shall present factual data accurately, fairly, and
objectively, and present the results of investigation in a
persuasive manner.

Guidelines

Investigative report language should be clear and concise, recognizing
that some assignments deal with highly technical or sensitive material

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and should be written in terms that are intelligible to informed
professionals.

Systemic weaknesses or management problems disclosed in an
investigation should be reported to appropriate officials. Normally such
disclosures will be made as part of a separate written report including
recommendations as to specific corrective actions.

In an email19

to Deputy Chief Inspector General Dawn Case dated March 22, 2012,
DJJ OIG staff member Sonja Robinson, on behalf of Ms. Eubanks, Subject line:
Report of Investigation for IG 08-0129 (GAP), provided the following in pertinent
parts:

The actions taken by the Department of Juvenile Justice (DJJ), Office of
Inspector General (OIG) since January 2008, were to ensure
investigations conducted by this office followed the guidance and direction
of the Association of Inspectors General (AIG) Green Book and applicable
Florida Statutes.

Additionally, through case reviews as well as oral and written guidelines
provided to inspectors; the OIG reinforces AIG Green Book Standards and
provides specific guidance in the handling of public records, interviews,
report writing, whistle-blower requirements, as well as case file
preparation and investigative time frame expectations.

Prior to publication of the Report of Investigation for 08-0129 on
June 23, 2011, the DJJ OIG began the process of obtaining accreditation
though the Commission on Law Enforcement Accreditation. I am pleased
to report; this office is in the process of finalizing our investigative manual
as we go through the accreditation process. The guidelines previously
mentioned are made part of this manual.

In an email to Ms. Case dated April 09, 2012, Ms. Robinson, on behalf of Ms.
Eubanks, Subject line: 2nd

Response: Report of Investigation for IG 08-0129

(GAP), provided the following in pertinent parts:

Since 2008, the Department of Juvenile Justice (DJJ), Office of Inspector
General (OIG), has implemented a reporting system that uses various
templates to document the investigative activities of the inspectors. These
templates, referred to as Investigative Activity Reports (IARs), include
non-formalized policy and procedures the OIG reiterates, through various
means, to inspectors in performance of their investigative activities.
These templates further provide a reporting mechanism which further

19

This email was submitted to Deputy Chief Inspector General Case pursuant to a request of Ms.
Eubanks for the policies and procedures of the DJJ OIG applicable to the time period for which the GAP
investigation was conducted by the DJJ OIG. These were the only policies provided.

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provides specific procedural direction to the inspector as to the handling of
information obtained subsequent to the investigative activities being
reported. These IARs ensure consistency in reporting and include the
documentation of victim, witness and subject interviews; policies
applicable to the investigation; records obtained, reviewed and considered
relevant to the investigation as well as documentation of any coordinated
activities with other agencies, et.al. These combined IARs then comprise
the Report of Investigation (ROI). As procedures or additional guidelines
are required either internally or through rule or statute modification, the
IARs are modified to reflect these changes. …

Additionally, semi-annual meetings are conducted with OIG staff to ensure
up-to-date investigative guidance is provided, to once again ensure
compliance with investigative procedures. In this regard as it pertains to
the GAP investigation, a December 2008 semi-annual meeting, included
agenda items addressing report writing expectations and guidance,
processing of completed IG cases to include security of documents
obtained during the investigation and the procedures in storing of the
documents on the DJJ server. This meeting also provided inspectors with
direction in the handling and forwarding of documents to headquarters as
part of the final review and retention of records process.

The DJJ OIG 2011 Annual Report contains the following information:

Professional Standards

The Office of Inspector General will follow appropriate professional
standards in fulfilling its responsibilities. These include the International
Standards for the Professional Practice of Internal Auditing and the Code
of Ethics of the Institute of Internal Auditors, Inc., Generally Accepted
Governmental Auditing Standards issued by the Comptroller General of
the United States, and applicable standards from the Association of
Certified Fraud Examiners, and the State of Florida Auditor General’s
Rules.

According to its website, under the DJJ OIG Bureau of Investigations Overview
section, it stated in pertinent part:

In accordance with Section 20.055 (6)(e), [sic] at the conclusion of each
investigation in which the subject of the investigation is a specific entity
contracting with the state or an individual substantially affected as defined
in this section, and if the investigation is not confidential or otherwise
exempt from disclosure by law, the inspector general shall, consistent with
Section 119.07(1), F.S., submit findings to the subject that is a specific
entity contracting with the state or an individual substantially affected, who
shall be advised in writing that they may submit a written response within

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14

20 working days after receipt of the findings. Such response and the
inspector general’s rebuttal to the response, if any, shall be included in the
final investigative report.

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